Issues & Breaches


Issues & Breaches

Raise and track your issues & breaches through the complete analysis and root cause life cycle for audit preparation

The Ruleguard Issue and Breach management module is a dedicated software solution for raising and managing compliance risk incidents.


Users can create incidents as part of the Ruleguard attestation workflow or as standalone items within the system. Details such as discovery, reporting and resolution dates can be entered along with a full description of each item, and where a rule has been broken, breaches can be specifically identified.


Ruleguard’s powerful rules-mapping system integrates fully with the Breach module, allowing you to link breaches directly to the relevant regulation. Linking breaches to Ruleguard risks, controls, and business

processes is also possible, and Ruleguard will suggest relationships where your mapping information finds suitable connections.


Breaches can be assigned to Ruleguard users to investigate, and action plans consisting of individual tasks can be created. Online workflows make it simple to complete tasks, and Ruleguard’s file repository features extend fully to breaches, allowing you to store and keep an audit trail of relevant documents.


Detailed MI and reporting features give you complete oversight of the breach process, and the rich relationship mapping created through Ruleguard provides the ability to report on breaches organised however you need.