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The following diagrams illustrate the steps of the exception process.

Architecture Exception Process Model

Figure 1: Architecture Exception Process

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1. An information technology (IT) project team determines that an exception to the NIH Enterprise Architecture standards is required. The IT project’s Project Manager (PM) obtains the necessary internal approval to file for an exception request (“internal approval” meaning from within his/her project’s governance structure).

2. The exception process formally begins when the “Requestor” (usually the IT project’s PM) completes the Architecture Exception Request Form. The Architecture Exception Request Form documents the business case (i.e., the justification) for the request.

3. The requestor submits the form to the Office of the Chief IT Architect (OCITA) via e-mail to EnterpriseArchitecture@mail.nih.gov.

4. An OCITA staff member ensures the form is complete. If the form requires more information, OCITA returns it to the requestor with direction to provide more information.

5. If the form is complete, OCITA assigns a tracking number to the request and provides it to the NIH Chief IT Architect to classify the request as “major” or “minor”.

6. The NIH Chief IT Architect reviews the request, classifies it as “major” or “minor”, and attaches his recommendation for approval or disapproval to the exception request.

7. OCITA forwards the exception request, with the Chief IT Architect’s recommendation, to either the NIH Chief Information Officer (CIO) for minor requests or to the Architecture Review Board (ARB) for major requests.

8. The NIH CIO reviews “minor” requests, considers the Chief IT Architect’s recommendation, and approves or disapproves the request.

  • The NIH CIO notifies OCITA of his disposition.
  • OCITA informs the Requestor of the CIO’s disposition. If it was disapproved the process ends. If it was approved, a waiver is granted and published to the NIH Portal.

9. The ARB reviews “major” requests, considers the Chief IT Architect’s recommendation, and approves or disapproves the request.

  • ARB notifies OCITA of their disposition.
  • OCITA informs the Requestor of the ARB’s disposition. If it was disapproved the process ends. If it was approved, a waiver is granted and published to the portal.


Last Updated: November 18, 2011