A policy exception is a formal, documented approval to deviate from a policy - typically for a specific reason, for a defined period of time, and under certain conditions.
Instead of ignoring or violating a policy, policy exceptions provide a controlled way to acknowledge and manage non-compliance when strict adherence isn't practical or possible.
Submitting an Exception
Follow the steps below to submit a policy exception:
- Navigate to the Policy Center from the left-hand sidebar of Complyance.
- Select the policy you want to submit an exception for by clicking the policy name in the table view.
- Ensure you are in the most recent version of the policy.
Navigation to the exceptions tab on the right-hand side of the policy drawer.
- Select the '+Request new exception' button
- A pop up will open for the exception, fill in the details:
- Name: Title of the exception.
- Description: What the exception is, and how you plan to improve this.
- Policy section: Where in the policy this applies.
- Reason: Why the exception is needed.
- Expiration date: The date at which you expect the policy exception to close out.
- Approvers: Name of the approvers of the exception (must be a platform user)
- Notes: Any additional information.
- Email subject: This is automatically populated with 'Policy Exception Request', but can be customized. N.B. The email is sent directly to the approver.
- Optional custom message: This will be included in the email send to the approver.
- Upload: Documents that support the need for the exception, e.g. previous proof of the exception approval.
- Click 'Send' and the exception email will be sent to the approver.
Exception Status:
- Whilst the exception is awaiting approval the status will be 'awaiting approval'.
- This will change to 'approved' when the exception has been approved.
- When the expiration date is reached, the status of the exception will to 'outdated' and you will need to submit a new exception to stay compliant.
Once the exception has been submitted, you can review this in the Policy drawer. The exception is linked to the version of the policy that you submitted it for and the expiration date you added in the request.
N.B. Once you have submitted the request you cannot edit the details of the request. If you want to change the request you will need to delete the request and submit a new request.
Still have questions? Reach out to our support team via the Support Center for assistance.
If you are interested in our Policy Exceptions feature, please reach out to Complyance.