DAR File No. 27108

Governor, Planning and Budget, Chief Information Officer

R365-6

IT Plan Submission Rule for Executive Branch Agencies

NOTICE OF PROPOSED RULE

DAR File No.: 27108
Filed: 04/20/2004, 11:31
Received by: NL

RULE ANALYSIS

Purpose of the rule or reason for the change:

This proposed new rule provides a common base for Information Technology (IT) Plan Submission to maximize consistency of format and content across the enterprise.

Summary of the rule or change:

The proposed new rule establishes consistent format for state agency IT Plan submission.

State statutory or constitutional authorization for this rule:

Sections 63D-1a-301.2 and 63D-1a-303

Anticipated cost or savings to:

the state budget:

None--Agency IT Departments currently submit annual IT plans per the statute.

local governments:

None--This rule is for Executive Branch Agencies only.

other persons:

None--This rule affects Executive Branch Agencies only.

Compliance costs for affected persons:

Cost for compliance is negligible. Agencies currently provide this information.

Comments by the department head on the fiscal impact the rule may have on businesses:

This rule represents the base standards for the Executive Branch IT Planning Documents. This is a continuing process, and therefore will have no fiscal impact upon participating departments.

The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at:

Direct questions regarding this rule to:

Randy Hughes at the above address, by phone at 801-537-9071, by FAX at 801-538-1547, or by Internet E-mail at randyhughes@utah.gov

Interested persons may present their views on this rule by submitting written comments to the address above no later than 5:00 p.m. on:

06/14/2004

This rule may become effective on:

06/15/2004

Authorized by:

Val Oveson, Chief Information Officer

RULE TEXT

R365. Governor, Planning and Budget, Chief Information Officer.

R365-6. IT Plan Submission Rule for Agencies.

R365-6-1. Purpose.

State agencies are required by statute to submit IT plans for review and approval by the Chief Information Officer (CIO) office. This rule provides the format and content requirements for IT Plan submission.

R365-6-2. Authority.

This rule is issued by the Chief Information Officer under the authority of Section 63D-1a-301.2 of the Information Technology Act, in accordance with Section 63-46a-3 of the Utah Rulemaking Act, Utah Code Annotated, and section 63D-1a-303 of the Utah code, Agency Information Technology Plans.

R365-6-3. Scope of Application.

All state agencies of the executive branch of the State of Utah government shall comply with this rule, which provides a consistent technology planning method for the State of Utah.

R365-6-4. Definitions.

(1) "Project" Investment in development of a new application/system or to upgrade or enhance and existing information system.

(2) Plan Timeframe: Two fiscal years into the future; i.e., 1) Budget fiscal year and 2) Planning fiscal year.

(3) Severity level: Severity level is rated on four categories: impact on citizens, visibility to the public and Legislature, impact on state operations, and the consequences of doing nothing. The severity rating reflects the impact on external stakeholders.

(4) Risk level: The risk criteria measure the impact of the project on the organization, the effort needed to complete the project, the stability of the proposed technology, and the agency preparedness. The risk rating reflects the impact on the internal stakeholders.

R365-6-5. Compliance and Responsibilities.

The following are the compliance issues and the responsibilities for state agencies:

(1) Any state executive branch agency that develops, hosts, or funds information technology projects or infrastructure shall submit a plan following the format outlined in R365-06-5(a) below.

(2) The CIO office shall provide education and instruction to the agencies to enable consistent response.

(3) Agency IT Plans shall be delivered to the CIO office, in electronic format, by July 1 of each year.

(4) Agency IT Plans shall use document formatting methods as defined in CIO instruction.

(5) Agency IT Plans at a division level, shall be combined for submission to the CIO office at the Agency/Department level.

(6) Amendments to the IT Plan shall be submitted for any significant change in a project or if an IT supplemental appropriation is requested during the budget process.

R365-6-6. Agency IT Plan Format.

The following is the IT plan format:

(1) SUBMIT AN EXECUTIVE SUMMARY.

(a) Department/Agency Mission Statement.

(b) Department/Agency Business Objectives that have IT projects supporting them.

(c) Statement of IT Vision/Mission.

(d) Description of accomplishments of past calendar year.

(e) Description of IT alignment with business objectives.

(f) IT Budget Summary for Department/Agency.

(g) Verification of compliance procedures for information technology policies, administrative rules, and statutes.

(2) IT PLAN DETAILS.

(a) IT Assets Inventory.

(b) Security Plan Documentation.

(c) Disaster Recovery/Business Resumption Plan Documentation.

(d) Budget Fiscal Year : If a supplemental IT appropriation is anticipated, describe.

(e) Planning Fiscal Year: Describe anticipated changes in objectives, projects or initiatives.

(f) Planning Fiscal Year: If a building block request for an IT appropriation is anticipated, describe.

(3) PROPOSED PROJECT DESCRIPTION

Complete a project description for each IT project including the following information:

(a) Project organizational impact:

(i) Division (or other dept. sub-unit) project; identify:

(ii) Department project.

(iii) Cross-department project.

(b) Project Name.

(c) Project Manager.

(d) Project Purpose (check all that apply):

(i) Maintain/enhance existing infrastructure.

(ii) New infrastructure.

(iii) Maintain/enhance existing application/product.

(iv) Develop new application/product.

(v) Support of UCA 46-4-503.

(vi) Pilot project.

(vii) Implement/enhance GIS.

(viii) Collaboration with local government.

(ix) Public/private partnership.

(x) Other, please specify.

(4) DOCUMENT SUPPORT OF EXECUTIVE BRANCH STRATEGIC GOALS.

(5) DESCRIBE PROPOSED PROJECT AND ITS ANTICIPATED BENEFITS.

(6) DESCRIBE PERFORMANCE MEASURES USED BY THE AGENCY FOR IMPLEMENTING THE AGENCY'S INFORMATION TECHNOLOGY OBJECTIVES.

(7) IDENTIFY THE IMPACT ON ITS SERVICES THAT MAY RESULT WITH THE DEVELOPMENT OF THIS PROJECT.

(8) LIST ESTIMATED START AND END DATE FOR PROJECT.

(9) ESTIMATE PROJECT COSTS INCLUDING LABOR, HARDWARE, SOFTWARE, CONTRACT SERVICES AND OTHER.

(10) ESTIMATE ANNUAL OPERATION/MAINTENANCE COSTS.

(11) DESCRIBE RISK LEVEL OF PROJECT FOLLOWING CIO INSTRUCTION FOR FORMAT.

(12) DESCRIBE SEVERITY LEVEL OF PROJECT FOLLOWING CIO INSTRUCTION FOR FORMAT.

R365-6-7. Exceptions.

Any variance to format or content as established in this rule shall be approved by the CIO office.

R365-6-8. Rule Compliance Management.

The CIO may enforce this rule by non-approval of the IT Plan as defined in Utah Code, Section 63D-1a-303.

KEY: IT planning

2004

63D-1a-301.2

63D-1a-303

63-46a-3

ADDITIONAL INFORMATION

PLEASE NOTE:

• Text to be deleted is struck through and surrounded by brackets (e.g., [example]). Text to be added is underlined (e.g., example). Some browsers may not depict some or any of these attributes on the screen or when the document is printed.
• Please see the DISCLAIMER regarding information available from state web pages.

For questions regarding the content or application of this rule, please contact Randy Hughes at the above address, by phone at 801-537-9071, by FAX at 801-538-1547, or by Internet E-mail at randyhughes@utah.gov

For questions about the rulemaking process, please contact the Division of Administrative Rules (801-538-3764). Please Note: The Division of Administrative Rules is NOT able to answer questions about the content or application of these administrative rules.