Compliance Exception Request Form

A Compliance Exception Request Form is a document used to formally request a temporary exemption or deviation from established compliance policies or procedures. Key features include:

1. Requestor’s information and department

2. Specific policy or procedure for which an exception is requested

3. Detailed justification for the exception

4. Proposed duration of the exception

5. Risk assessment and mitigation plan

This form provides a structured process for handling situations where strict adherence to compliance policies may not be feasible or practical. It ensures that exceptions are properly documented, evaluated, and approved by appropriate authorities. The document typically includes a section for review and approval by compliance officers or management. It helps maintain control over compliance practices while allowing for flexibility in unique circumstances, and creates an audit trail of approved exceptions.