Record a breach or incident
Create a record in the Breach/Incident Register when an issue needs to be documented and assessed under your licensee’s process.
Who can create a record
Users with Full Access or Compliance Manager can add and maintain breach records. Adviser users without either management role can open the register, but do not have its add or edit controls. Breach Assessment is a separate action that requires the Compliance Manager role.
Start the record
Select Breach/Incident Register in the left menu, then Add Breach. The Create New Breach form opens.
Enter a Breach name and confirm the Adviser. If a client is relevant, type at least two characters in Client name and select a search result. Selecting an existing client can set and lock their adviser.
If the client does not exist, select Create new client, enter their name and select the adviser. This creates a client profile as part of the workflow, so check the search results first.
Check the compliance-manager details displayed under Adviser. SARA looks up the adviser’s manager and may use your assigned manager as a fallback. If the lookup fails, check the assignment and use Retry manager lookup. A resolved manager and complete practice assignment are needed to create the record.
Complete the guided steps
Use Next and Back to work through the form:
Date of breach or likely breach: enter Breach date and Date aware.
Breach description: describe what happened and the relevant circumstances.
How was the breach detected? record how the issue came to light.
How long the breach lasted: record the duration and whether it is continuing.
Other information: add relevant details and any Add supporting documents files.
Supporting files can be PDF, DOC, DOCX, JPG, JPEG or PNG, up to 50 MB each. Review the details, then click Create.
Check the result
A new record is submitted with type To Be Assessed and status Open. The creation workflow generates a PDF report and attempts to notify the resolved compliance manager.
Read the result message carefully. If it says the record was created but the notification failed, check the saved record before trying again so you do not create a duplicate. Open View details to review the record and its Documents.
This step records the issue for assessment. Follow your licensee’s escalation and reporting process for any action required outside SARA.