Platform / The governance core

Threshold breaches

Somebody has to answer for a number that crosses red, and it should not be the person who produced the number. A policy can say so, and a spreadsheet cannot enforce it.

The breaches list: every active breach with its source, entity, the value that crossed red, its status and when it opened A drawn view of the platform's breaches list with the navigation beside it. Filters across the top count the breaches that are active, open, in remediation, responded to and closed. A table lists five breaches: what raised each one (a value crossing a red threshold, a failed control or a breach raised by hand), the entity, the value against its threshold, a status pill and the date it opened. Connected risk intelligence All entities (Group) Dashboard Risk register Risk assessments Controls Control assessments KRI register KRI collection Breaches Risk events Remediation Committee packs Audit log MODULES TPRM & Supplier DD Obligations Management ICARA Operational Resilience Customer Oversight Portal RMRisk manager Breaches Active breaches, most urgent first. One with an open action shows as in remediation and cannot close until the action does. Raise breach Active (5) Open (2) In remediation (1) Responded (2) Closed (1) SOURCEENTITYVALUESTATUSOPENED Open third party issues unresolved Investment managementValue 22 against a red threshold of 10Open1 JulView Post-migration defects open Platform servicesValue 17 against a red threshold of 15Open3 JulView Daily client money reconciliation not completed Control failure Investment managementControl assessed ineffectiveIn remediation5 AugView Incorrect order entry Raised by hand Investment managementRaised by the second lineResponded6 AugView Trade debtors over 90 days AdvisoryValue 12% against a red threshold of 10%Responded1 JulView Two people are frozen onto each record, the author of the original submission and the author of the value that crossed red, and neither can write its response. A breach does not close itself when the next value comes in green. Closing one by hand needs a reason.

Drawn from the platform.

What changes

A value that crosses red raises a formal record the day it happens, and the person who produced the number cannot write the response to it.

A value crossing red raises a breach record that two people cannot respond to On the left, a value collected monthly climbs from the green band through amber and across a dashed red threshold into the red band. An arrow leads to a box labelled breach record. Beneath, three people: the one who submitted the value and the one who amended it are marked as unable to respond, and a third person is marked as the one who responds. red amber green red threshold JunJulAugSep Breach record own lifecycle, own response raised the same day submitted the value cannot respond amended it into red cannot respond somebody else writes the response
Two people are frozen onto the record and neither can write its response.

In detail

A value that crosses a red threshold raises a formal breach record automatically, with its own lifecycle and versioned response. Two people are frozen onto it: the author of the original submission and the author of the value that crossed red. Neither can write the response. Without that, a benign figure could be submitted by one person and amended into a breach by another, with either of them writing the response.

A breach does not close itself when the next value comes in green. Closing one by hand needs a reason; reopening one is narrow, audited and reserved for the second line. An incident that has already happened is a risk event, recorded against the risk with its own record.

The evidence it leaves behind

The refusal is enforced on the server, which makes it a security control as well as a governance one. Segregation of duties, enforced rather than asserted

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See it against your own thresholds

Tell us how a breach is handled today, from the value crossing red to the committee hearing about it, and we will walk you through the platform against that.

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