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Maine State Government
Dept. of Administrative & Financial Services
Office of Information Technology
I. Statement of Policy
to policy, standards and procedures is a necessary part of conducting state
business. It is equally important to document the process for
The purpose of this policy is to outline and document a
process for the seeking a waiver and the cataloging mechanism.
III. Guidelines & Procedures
A. Once it is determined that a waiver to an existing policy
or standard is desired, the person seeking the waiver will create an email
addressed to the chair of the Enterprise Architecture Team (Enterprise.Architect@Maine.Gov) that includes the following:
1. State the name of the person
requesting the waiver and the IT Manager approving the request to
2. Identify the policy or
standard for which the waiver is being requested.
3. Describe the compelling
technical or business case that identifies the specific action and how it
4. State the duration length of
5. The exit strategy is to terminate the waiver and
to bring the product into our standard offering.
6. Finally, what is the impact if the waiver is not approved?
B. The recommendation from the Enterprise
Architecture Team will then be presented to the Executive Management Group
(EMG). The EMG meets every Wednesday afternoon and will consider all
pending waivers at that time.
C. Once the EMG has made a
determination on the waiver the CIO will be briefed on our recommendation. This
will occur at the weekly CIO/EMG meeting that is held on Monday afternoons. The
CIO will approve or deny the wavier in whole, part and/or with conditions.
D. Approval or denial of the
request will be made within three weeks of the submittal via email to the
requestor and will include the Names outlined in III A. 1.
E. Emergency requests will be handled in the same manner only
on an expedited scale via e-mail. Approval may be granted or denied at any time
by the CIO.
F. A Save As function will take
place on the last email thread, saving the file with the last name of
the requestor and the date. Example: Jones112009.
G. The response will be cataloged
on the CIO-Common/Policies/waiver/approval denial directory.
H. By the expiration of the
waiver period, it is expected that corrective actions would have been taken to
convert to an accepted standard or policy. Should that not be the case, then
the requester may petition for a follow-up waiver with an explicit explanation
as to why they did not adhere to the terms of the original waiver grant.
is applicable to all OIT issued policies, standards and procedures. This policy
may be utilized by entities outside of OIT. For example, an agency may wish to
request a waiver to the Domain Name Policy.
A. OIT management will respond
within a three week time frame to wavier requests. OIT management who are listed
as the follow designations on the policy, standard or procedure to which a
waiver is being sought, are responsible for alerting appropriate OIT staff when
a waiver request is submitted:
Point of Contact: Name
Approved By: Name
Position Title(s) or Agency Responsible
for Enforcement: Name
B. Those seeking a waiver are not permitted to proceed with
their desired outcome until they receive an email indicating the waiver has been
VI. Document Information
A. Document Reference Number: 42
B. Category: General/Governance
C. Adoption Date: 02/22/2010
D. Effective Date: 02/22/2010
E. Review Date: 02/22/2013
F. Point of Contact: Chair and/or co-chair of the
Enterprise Architecture Team, Victor Chakravarty 624-8800.
G. Approved By: Richard B.
Thompson, Chief Information Officer
H. Position Title(s) or Agency
Responsible for Enforcement: Executive Management Group comprised of the
Associate CIO for Applications, the Associate CIO for Policy, Planning, and
Oversight, and the Chief Technology Officer.
I. Legal Citation: Title 5, Maine
Revised Statutes, Chapter 163 §1973, Section 1, Paragraph B authorizes the CIO
to “set policies and standards for the implementation and use of information
and telecommunications technologies” and Title 5, Maine Revised Statutes,
Chapter 147 §1621, Section 4.
J. Waiver Process: N/A