How to Formalize the Client Exception Approval Process. A formalized client exception approval process is necessary for effective exception management in IT governance. In this video, we'll go through how you can formalize the process with your clients. Before we begin, be sure to subscribe to NinjaOne's IT video hub and YouTube channel for more tech content like this. Understanding Exceptions in IT Governance. An exception refers to a deviation from a rule set out in your security or IT policies. Security policies exist to protect users through measures like mandating up-to-date operating systems, fully patched software, and the principle of least privilege, but sometimes you'll have to make an exception. Some examples of exceptions include allowing the use of legacy software that isn't compatible with newer operating systems, or continuing to support obsolete devices for business reasons. Formalizing the Client Exception Approval Process. Here's a step-by-step guide on formalizing the process with your client: Step 1: Define and Categorize Exceptions. Define what qualifies as an exception and categorize it: security (firewall, anti-malware, multifactor authentication, and software patching exclusion), operational (workflow or SLA deviations), or access (elevated privileges). Differentiate exceptions and user preferences; remember that a user preference, like a lower screen resolution, isn't an exception. Documenting preferences as exceptions creates noise that obscures the ones requiring real oversight. Step 2: Standardize the Request Process. Create a web form that captures structured information, such as a unique exception ID, request date, requesting party, description, justification, and business impact if denied. Include internal fields for risk assessment notes and document any monitoring or mitigation measures required if the request is approved and introduces known vulnerabilities. Step 3: Establish a Review and Approval Workflow. Document an auditable workflow: client requests are logged via ticket or form, the Service Manager evaluates the scope and risks, the Security Lead approves or rejects, a technician implements if approved, and the record is stored centrally. Communicate risks clearly with the client and where appropriate, have them sign off for accountability. Step 4: Track Exceptions With Expiry Dates. Exceptions shouldn't be permanent by default. Assign each one an expiry or review date ideally with the automated creation of a support ticket, and require explicit re-enabling where feasible. Log everything in one place so you can generate a report of all currently approved exceptions. Step 5: Retire or Convert Into SOPs. Regularly review exceptions and retire those no longer needed, documenting why for future context. Recurring exceptions that don't introduce security vulnerabilities or compliance issues may become part of your standard SOPs or warrant a policy change. A formalized exception approval process balances client flexibility with accountability, while ensuring exceptions are evaluated consistently, documented, monitored, and retired when they're no longer needed. For more information, check out our official blog post on How to Formalize the Client Exception Approval Process, linked in the description below.