Operational guidance only. Qualified owners retain accounting, payroll, HR, legal, security, insurance, and policy decisions.
An exception path tells the preparer what to do when the normal workflow cannot safely continue. Define it before the queue grows so a missing approval or conflicting record does not become an improvised decision.
Write the stop conditions
| Exception | Safe preparation action | Escalate to |
|---|---|---|
| Required source is missing | Record the gap and request the exact document | Source owner |
| Two records conflict | Preserve both references; describe the mismatch | Authorized decision owner |
| Approval is absent | Hold the action that requires approval | Named reviewer |
| Access prevents verification | Record the blocked step without widening permissions | System owner |
| Request exceeds the agreed role | Prepare a scope question; do not promise execution | Operations manager |
A hold should stop the affected action, not hide the entire case. Continue unrelated preparation only when the agreed procedure permits it.
Make one usable exception record
Record the request ID, event time, reason, source references, action held, safe work already completed, decision owner, next review time and decision needed. Use a precise question such as “Which effective date is approved?” instead of “Please advise.” Keep sensitive documents in the authorized repository.
Example: conflicting vendor details
In an illustrative invoice workflow, an email requests a changed supplier address but the approved supplier record shows a different value. The assistant logs the mismatch, links the source records and routes the question to the authorized owner. The assistant does not overwrite the master record to make the invoice appear consistent. If payment details are involved, follow the business's independent verification process.
Define the response and fallback
Agree how the owner will be notified, when a response is needed and who receives the escalation if that owner is unavailable. A missed response time should trigger the agreed follow-up, not permission to proceed. Keep the unresolved item visible in the queue and in the shift handoff.
Resume only with a recorded decision
Link the accepted decision, name its owner and record any conditions before resuming the held action. Preserve the original mismatch and superseded source relationship. Close the exception when the required action and review evidence are complete, not merely when someone replies.
Can an assistant waive a missing requirement?
Only if the business has explicitly assigned that authority for the specific situation. Otherwise the assistant prepares the exception and routes it to the owner.
How should recurring exceptions be handled?
Group them by cause and review them with the workflow owner. A repeated gap may need a clearer intake request, a new source owner or a revised approval step. Do not normalize bypassing the control.
Use a support-role conversation to map the routine work, the stop conditions and the decisions your team keeps.