Exemptions¶

Exemptions allow ad hoc overrides to bordereau validation rules defined on a DUA contract. They follow a governance approval workflow, ensuring that any deviation from agreed validation thresholds is reviewed and approved before being applied.

Enabling exemptions¶

In applicationconfig/ui_config.json:

{
  "features": {
    "exemptions": true
  }
}

Once enabled, an Exemptions tab appears on completed DUA contract risks where duaEnabled is true.

Exemption lifecycle¶

PENDING → APPROVED / DECLINED → REMOVED

Status	Meaning
`PENDING`	Exemption request raised, awaiting approval
`APPROVED`	Approved — the validation rule is overridden for the specified scope
`DECLINED`	Declined — the validation rule remains in force
`REMOVED`	Exemption removed (after approval, when the override is no longer needed)

Custom data capture¶

Configure a custom form for capturing additional exemption data (e.g. policy reference, reason for exemption) at:

config/{client}/dua/exemptions/default.json              (global — applies to all LOBs)
config/{client}/dua/exemptions/{lob}/default.json        (LOB-specific override)

The form uses the standard screen meta data structure (groups → sections → elements). See Element Types.

UI localisation for custom fields¶

Labels for custom fields in the exemption side-peek panel are configured via ui_localisation business constants. Use the prefix:

dua.exemptions.exemptionSidePeek.customData.{fieldKey}

For example, to label a custom policyReference field:

{
  "typeCode": "ui_localisation",
  "itemCode": "dua.exemptions.exemptionSidePeek.customData.policyReference",
  "value": "Policy Reference"
}

Programmatic exemption creation¶

Client microservices can create and manage exemptions via the Client API:

POST /v2/dua/exemptions
PUT  /v2/dua/exemptions/{exemptionId}
PATCH /v2/dua/exemptions/{exemptionId}/status?status=APPROVED&statusReasonCode=CODE

Status reason codes are configured in business-constants/exemption-status-reason.json:

[
  { "typeCode": "exemption-status-reason", "itemCode": "AGREED_WITH_BROKER", "value": "Agreed with broker" },
  { "typeCode": "exemption-status-reason", "itemCode": "WITHIN_TOLERANCE", "value": "Within acceptable tolerance" }
]

Workflow integration¶

Exemptions are typically raised by the underwriter when a bordereau row fails validation and the deviation is commercially acceptable. The workflow:

Bordereau validation flags a row as breaching a rule
Underwriter raises an exemption request (PENDING)
A supervisor or compliance officer reviews and approves or declines
If approved, the exemption is applied and the row is accepted
When the exemption is no longer needed, it is set to REMOVED

Reporting¶

Exemptions are tracked on the DUA contract and provide a full audit trail of all validation overrides. This is important for regulatory reporting and Lloyd's market compliance.