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Exceptions to Enterprise Architecture and Standards

Agencies requesting the purchase of products and services outside the parameters of the IT Enterprise Architecture and Standards must, regardless of cost, develop an exception business case supporting their request. The request and business case should be approved by the agency’s highest ranking IT officer and submitted to the Executive Director of COT’s Office of Enterprise Policy and Project Management. Upon receipt, OEPPM will review and respond to requests within five (5) business days. Should the request be denied without agency concurrence, the decision can be appealed to the IT Enterprise Architecture and Standards Committee.

The form below should be used in documenting the business case for an exception. The business case must develop specific justification for the temporary procurement of non-compliant IT products and/or services. The justification must make a strong and compelling business case of why the purchase is in the best interest of the Commonwealth. The form below is to be used for all requests for exceptions to Enterprise Architecture and Standards.

Exception requests are not required for products and services that have no documented standard.

Questions about the content of the Enterprise Architecture and Standards Exception Request template may be directed to the executive director of the Office of Enterprise Policy and Project Management, at (502) 564-1635.
 

Directions for Completing the Exception Request Form

Each of the fields on the form is described below, along with an explanation of what is to be entered into the field.

1. Date: Submission date in mm/dd/yy format.
2. Requested By (Agency): Name of the requesting agency.
3. Requesting Person: Name of the individual requesting the exception.
4. Exception Request Title/Product: Name for this exception request.
5. EAS Standard Name and Number: Name and number of any applicable enterprise standards.
6. Proposed Exception Expiration Date: Suggested date that the exception should expire.
   
   For exceptions that are related to a specific project or Capital Project:
   
7. Project Name: Name of project or Capital Project
8. Project Mgr.: Name of project manager
9. Phase: Which phase is the project currently in?
    
10. Was this issue discussed in an internal architecture design review meeting and/or an Enterprise Architecture and Standards Committee meeting? Yes No (Pick One)
11. EAS staff present: Provide the name(s) of any EAS staff who were present.
12. If the agency is proposing to buy from a vendor that is new to the Commonwealth and not on price contract, mark "yes", otherwise mark "no."
    
    If yes is selected, please attach any available due-diligence information on the vendor evaluation. Note that agencies are always required to follow all applicable purchasing procedures and rules even though an exception to enterprise standards may be granted.
     
13. If the agency is proposing to buy a product or service not currently on Kentucky's list of standards for this particular capability, mark "yes", otherwise mark "no."
14. If you recommend that the current enterprise architecture should be changed to include the proposed solution, mark "yes", otherwise mark "no."
15. Business Justification: Explain why this problem cannot be solved by using products or processes currently included in the Enterprise Architecture and Standards. In the justification, be sure to explore possible alternate approaches and explain why they would not be workable in this instance. Additional space is available on the next page of the form and extra sheets can be attached if necessary.
16. Additional Justification (if needed):  Include any additional justification, if necessary.
17. Business and IT Implications, Benefits, and Consequences (Including Support Cost): Discuss any special implications and consequences that would result from the approval of this exception. Also include a brief summary of the benefits that would be derived from approval.
18. Risk Mitigation Plan: Describe the agency's plans for mitigating any special risks that would be present as a result of this exception being approved.
19. Other Comments: Provide any other comments and justification that are relevant to this request but were not already listed above.
    
    Note:  The exception request must be approved by the agency's highest ranking IT officer, usually the ITO or CIO, before submission.
     
20. Date: Enter the date of the agency ITO approval of this request, in mm/dd/yy format.
21. Name: Name of the agency's ITO, CIO or equivalent
22. Title: Title of the agency's ITO or CIO