Compliance · Compliance Tracker
Certificate of Insurance Tracking
A ready-to-run workflow that helps compliance teams track supplier insurance coverage and limits so cover never lapses mid-engagement. 6 stages, 8 pre-built…
Explore templatePolicy Exception Request Template
Standardize how your team handles every exception request. The template ships with 6 stages, 8 fields and 4 automations you can adjust in minutes.
- Stages
- 6
- Fields
- 8
- Automations
- 4
- Setup
- 45 minutes
Policy Exception Request Approval Workflow · Compliance, Risk & Legal
- 1Request submitted
- 2Validation and clarification
- 3Budget and policy check
- 4Approval routing
- 5Procurement review
- 6Issued and closed
Quick answer
The Policy Exception Request template is a pre-built compliance & risk workflow used to approve deliberate deviations from policy with a recorded justification and an expiry date. It runs across 6 stages, from request submitted to issued and closed, captures 8 standard fields including requester and risk assessment, and applies 4 automations so routing, checks and record-keeping happen without manual chasing.
Inside the Policy Exception Request template
The template gives the exception request process a defined shape. Submission captures 8 fields up front, which removes the back-and-forth that normally follows an incomplete request. From there the record moves through 6 stages, each with its own owner and exit condition, and 4 built-in automations apply checks and routing consistently rather than depending on who is available. It suits compliance teams across industries that need control and an audit trail without adding administrative work, and it syncs with SharePoint and ServiceNow.
The problem it solves. Exceptions are granted verbally and never expire, so the policy quietly becomes optional. Putting the process in Zapro means the information is captured once and stays current for everyone who needs it.
The 6 stages in this template
Every exception request follows the same 6 stages, so anyone can see where a record is without asking. Stages, owners and exit conditions are configurable if your policy differs.
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Request submitted
The requester raises the exception request in a single Zapro form with quantity, need-by date, cost center and justification.
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Validation and clarification
Zapro checks mandatory fields and pushes the exception request back to the requester automatically when something is missing.
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Budget and policy check
The request is matched against the cost center budget and the purchasing policy before it moves any further.
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Approval routing
Approval routes to the compliance officer based on value, category and entity, with reminders on every pending step.
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Procurement review
The procurement team confirms supplier, price and delivery terms, then converts the approved exception request into a downstream document.
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Issued and closed
The final exception request is issued to the supplier, the requester is notified, and the full trail stays searchable for audit.
The data this template collects up front
These 8 fields are pre-configured on the intake form. Mandatory rules, picklists and validation are already applied, so an exception request cannot progress with gaps in it.
- Requester
- Policy affected
- Requested deviation
- Business justification
- Risk assessment
- Compensating controls
- Approver
- Exception expiry
The manual steps this template removes
Risk assessment required before approval
It triggers the moment the condition is met, so nothing waits on someone noticing it first.
Compensating controls captured per exception
This runs as a built-in rule, which removes the follow-up chasing that usually surrounds it.
Automatic expiry with renewal review
Zapro applies this to every exception request as it enters the workflow, so nobody has to remember to do it.
Exception register visible to compliance
Configured once during setup, then enforced consistently on every record without further effort.
What teams get out of this template
- Risk assessments are proportionate to the exposure
- Evidence is stored against the vendor, not in a shared drive
- Re-assessment happens on schedule automatically
- Regulators and auditors get a complete trail on request
- The team can approve deliberate deviations from policy with a recorded justification and an expiry date from a single record
Manual process versus the Policy Exception Request template
| Aspect | Manual process | With the Zapro template |
|---|---|---|
| Exception request handling | Exceptions are granted verbally and never expire, so the policy quietly becomes optional | One workflow that helps you approve deliberate deviations from policy with a recorded justification and an expiry date |
| Approvals | Forwarded emails with no record of who approved what | Rules-based routing with a time-stamped approval trail |
| Data quality | Re-keyed between spreadsheets and the ERP | Captured once, validated at entry, synced to the ERP |
| Audit readiness | Evidence reassembled from mailboxes at audit time | Complete trail generated as the work happens |
| Cycle time | Depends on who is chasing this week | Predictable, with reminders and escalation built in |
Systems this template connects to
Zapro connects to your existing systems so this template becomes part of the process rather than another place to check.
- SharePoint
- ServiceNow
- Microsoft Teams
- Slack
- Zapro Supplier Portal
Guides that go with this template
- Vendor Management
The Zapro product page behind this template and everything it connects to.
- Security at Zapro
How Zapro protects procurement and supplier data.
- Vendor Management Software
Centralised vendor records, documents and compliance status.
Policy Exception Request template FAQs
What is the Policy Exception Request template?
It is a pre-built compliance & risk workflow in Zapro that lets compliance teams approve deliberate deviations from policy with a recorded justification and an expiry date. Each exception request is captured on an 8-field form, moves through 6 stages with a named owner at each step, and is supported by 4 automations covering routing, validation and record updates.
How long does the Policy Exception Request template take to set up?
Most teams have it running in about 45 minutes. The stages, fields and automations are already configured, so setup is mainly adjusting approval thresholds, field labels and owner assignments to match your own policy.
Who uses the Policy Exception Request template?
Primarily compliance officers, working with risk managers and legal counsel. It is most commonly used by compliance teams across industries, though the workflow itself is not sector-specific.
Can assessment depth vary by supplier tier?
Yes. Questionnaire length and evidence requirements are driven by risk tier, so low-risk suppliers are not put through an enterprise-grade assessment.
Is re-assessment automatic?
Yes. Zapro schedules the next assessment based on tier and last review date, and raises it without anyone tracking dates manually.
Start with the Policy Exception Request template
Zapro ships with this template plus the rest of the procurement and vendor management suite. Start with the exception request process and expand into sourcing, contracts, invoices and spend when you are ready.
