Creating Incident Records
When an AI-related incident occurs, documenting it promptly and thoroughly is essential — both for regulatory compliance and for your own learning and improvement.
How to Create an Incident
Incident Form Fields
Basic Information
| Field | Guidance |
| Title | Clear, descriptive: "Chatbot provided incorrect product safety information" |
| Linked AI System | Select the AI system involved |
| Severity | Critical / High / Medium / Low (see severity guide) |
| Status | Open / Investigating / Contained / Resolved / Closed |
| Date Occurred | When the incident happened |
| Date Detected | When it was discovered |
| Reported By | Who reported it |
Impact Assessment
| Field | Guidance |
| Affected Parties | Customers, employees, candidates, public, etc. |
| Number Affected | Estimated number of impacted individuals |
| Harm Description | What harm occurred or could have occurred |
| Harm Type | Safety / Discrimination / Privacy / Financial / Reputational / Other |
Response Actions
| Field | Guidance |
| Containment Actions | What was done immediately: "Disabled chatbot feature," "Reverted to manual process" |
| Internal Notifications | Who was notified internally: Security, Legal, Compliance, Leadership |
| External Notifications | Provider, market surveillance authority (if serious incident) |
| Suspension Status | Was the system suspended? Fully / Partially / No |
Resolution (completed after investigation)
| Field | Guidance |
| Root Cause | What caused the incident |
| Resolution Actions | What was done to fix it |
| Preventive Measures | What will prevent recurrence |
| Date Resolved | When the incident was resolved |
| Lessons Learned | Key takeaways |
Attaching Evidence
For each incident, attach supporting evidence:
After Creating
Once an incident is logged:
Best Practices
⏱️ Log immediately: Capture facts while they're fresh — you can update details later
📸 Attach evidence: Screenshots and logs are crucial for investigation
🔍 Be specific on harm: "Incorrect information provided" is less useful than "Customer received incorrect safety dosage guidance for medication"
📋 Follow through: Don't close incidents without documenting resolution and preventive measures