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Registering AI technologies - entities with CTP access

Purpose

This job aid is designed to demonstrate how to register artificial intelligence (AI) in Archer and Commonwealth Technology Portfolio (CTP) Planview.

(see also Artificial Intelligence)

Last updated: May 28, 2024

Overview

Artificial intelligence (AI) technology includes capabilities such as machine learning, natural language processing, expert systems, speech recognition and more. As AI has become more prevalent in society and business, it is important for standards and guidance to be put in place to ensure the responsible, ethical and transparent use of AI technology by Virginia's state government. Executive Order 30 for AI was signed by Governor Glenn Youngkin on Jan. 18. In adherence to the order, any internal or external AI system which an agency or office seeks to develop, implement, employ or procure must be entered into a registry maintained by the Virginia Information Technologies Agency (VITA) and undergo VITA governance review.

Workflow

Workflow steps: 1. Agency creates entry in AI Registry (Archer). 2: Agency ISO and AITR Approvals (Archer and CTP).  3: Submit to VITA (CTP). 4: VITA Review. 5: Commonwealth CIO Recommentation (CTP).  6: Submit to requesting Agency's Secretary (email). 7: Secretary Review and Approval (email). 8: Notification sent to Agency and VITA (CTP).

All AI that is or will be used by agencies should first be registered through Archer, a risk management system, and then submitted to the Commonwealth Technology Portfolio (CTP) Planview tool for approvals and oversight. After submission, the agency information technology resource (AITR) and agency head should approve of the AI tool and usage before it is moved to VITA's oversight and governance. VITA will perform a review and send a notification via an email to the proponent secretary. The proponent secretary will approve or disapprove. The proponent secretary's approval status will be reflected in CTP and a notification will be sent to the agency and to Commonwealth enterprise architecture (EA). VITA shall retain records of the specific AI use and approvals thereof.

Step one: Register AI in Archer

This step will be performed by the agency information security officer (ISO):

  1. Open Archer.
  2. Navigate to Agency Workspace, click the Agency Management drop down and select Artificial Intelligence.
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  3. From the ellipsis menu on the right, select New Record.
    screenshot of ellipses (three dots) selected and in its dropdown
  4. The AI registration form will display. Complete the below fields, then click SAVE AND CLOSE.
    1. Agency
    2. Application
    3. Year
    4. Form Submission Date
    5. Name
    6. Artificial Intelligence Type
    7. Purpose
    8. Sensitivity
    9. Public Safety
    10. Technology Used
    11. Model Architecture
    12. Model Input
    13. Model Output Data type & Structure
    14. Model Algorithm/li>
    15. Data Sets used
    16. Operation

Obtain a portable document format (PDF) from Archer

  1. On the AI registration form, select the ellipsis and click Print
    screenshot of ellipses (three dots) selected and in its dropdown

  2. Archer will navigate to a new tab with the AI entry and a link in the upper right that says Print.
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  3. The print preview screen will open that will allow the user to save the entry as a PDF.
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Obtain a link from Archer

  1. Click the share symbol from the toolbar menu at right and click Copy Link.
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Step two: Submit AI for oversight and review in CTP Planview. This step will be performed by the AITR:

  1. Log in to Okta
  2. From the Okta My Apps dashboard, select Planview Portfolios
    screenshot of the Okta
  3. Create new Work, by selecting the New dropdown, and then selecting Work from the menu that appears
    • Note: Work is a term used in Planview to denote a new entry
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  4. The New Work form appears, fill out all the required fields (fields denoted with a vertical red line) as explained below
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    1. Name your AI Oversight request under Project Name
    2. You must select Investment Type as AI Oversight
    3. Planned Initiation Start Date and Planned Completion Date are not relevant for the AI Oversight request therefore enter today's date for both fields.
    4. Provide a Description of this request - this should be the same as the Purpose entered into Archer
    5. Complete the required fields and enter 0 (number zero) in the Initial Cost field
    6. Click Continue to move to the next form
  5. The AI Oversight Request form now appears
    screenshot of AI Oversight Request form
    1. Include the required AITR and Agency head fields
    2. Proponent Secretary and Proponent Agency should be pulled over the General Information section
    3. The Description should be the same as provided before
    4. Enter whether this is new or existing AI software. If existing, enter the service date in the Existing AI Software in Service Datefield.
    5. Upload the PDF from CTP to the AI PDF field using the Documentation button and obtain the PDF link from the upload.
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      • If this screen appears
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        1. Click Yes.
        2. Click the Document button.
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        3. Click Choose File.
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        4. Select the Archer PDF file and then click Open.
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        5. Right click on the link that appears on screen and choose the Copy link address option.
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        6. Enter this link into the Link (URL) field by pasting. Click Apply.
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    6. Once these fields are entered click the Save and Complete button. A new field will now appear labelled AI Archer.
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    7. Enter the Archer link
      • To retrieve the Archer link, follow the steps documented in the Obtain a link from Archer section. Paste this link in the Link (URL)field and click Apply.
    8. Provided AITR approval in the AITR Approval section
    9. Click the Save and Complete button again
    10. The agency head will receive a notification to approve
  6. The next steps for completion of this AI Oversight request are as follows:
    1. The request is then submitted to VITA for processing. VITA's oversight and governance will perform a review and the proponent secretary will approve via email. The proponent secretary's approval status will be reflected in CTP.
    2. The AITR will receive an email notification from CTP indicating approval of the AI oversight request. If the link is clicked, they will be brought to the following page.
      screenshot of the