Assess and follow up a breach or incident
Use Breach Assessment to record the classification, assessment details and follow-up for an existing Breach/Incident Register entry.
Check your role
Breach Assessment and Email adviser require the Compliance Manager role. Full Access by itself enables register maintenance, status changes and comments, but does not enable those two actions.
Open the assessment
Select Breach/Incident Register and find the record using search, All statuses or All types. Management users also have practice and adviser filters.
Open View details, then click Breach Assessment.
At Is it a Breach or an Incident (Investigate)?, select Breach or Incident, then click Next.
If you select Incident
Explain why the incident is not a breach in the displayed assessment field. Record the resolution date where known, choose Open or Closed, and add supporting documents and comments as appropriate. Click Save Assessment.
The incident-saving workflow generates an incident report for the supporting documents. After saving, review the record and its Documents.
If you select Breach
Complete the assessment fields for frequency, impact, adequacy of compliance arrangements and actual or possible financial loss. Continue through Reportability and the details requested for your selected category.
The later steps vary with your answers. For example, None of the above asks for an explanation, while Significant breaches or likely significant breaches of core obligations asks for a significance category and further details. Complete each displayed step and click Save Assessment at the end.
Use your licensee’s approved assessment process when making these selections. SARA records your answers and displays an outcome based on them. Saving the assessment is a recordkeeping step; arrange any required external reporting through your licensee’s process.
Keep the record up to date
Status: in the details screen, select Open or Closed under Breach status, then click Save status. Review any relevant dates separately in the record.
Documents: choose files under Add supporting documents and click Upload documents. Register uploads accept PDF, DOC, DOCX, JPG, JPEG and PNG, up to 50 MB each.
Comments: enter the update and click Add comment.
Email the adviser
Compliance Managers can click Email adviser beside Comments. Check the To and CC recipients, edit Subject and Body, and select any attachments you want to send. Click Send email, then check the result and refreshed Comments. Do not assume the record’s existing documents are automatically attached to the email.