Document control
Document ID: 004
Author(s): GRC Team
Version: 1.0
Date: 03/08/2026
Disclaimer:
This controlled document is intended for authorized SecureXcel use. It may not be reproduced, distributed, quoted, or disclosed outside its approved audience without prior authorization from the document owner.
Document Details
| Document Title | Artificial Intelligence (AI) Incident Recording and Reporting Policy | ||||
|---|---|---|---|---|---|
| Document Id | SecureXcel/AIMS/AI-004 | Current Version | 1.0 | Date of Release | 09-Nov-2026 |
| Classification | Internal | Author | GRC & Compliance Team | ||
| Reviewed by | GRC & Compliance Lead | ||||
| Approved by | Management Representative | AI Governance Committee | |||
| Designation |
Revision History
| Version | Date | Author | GRC & Compliance Team | GRC & Compliance Lead | Management Representative | |
|---|---|---|---|---|---|---|
| 1.0 | 22/07/2025 | GRC Lead | GRC Head | AIGC | Initial version | |
| 1.0 | 03/08/2026 | GRC Lead | GRC Head | AIGC | No Changes Made |
1. Introduction
The purpose of this policy is to establish a structured framework for recording, reporting, and managing incidents related to Artificial Intelligence (AI) systems within the organization. This policy ensures timely detection, assessment, and mitigation of AI-related risks while maintaining compliance with ISO 42001:2023.
2. Scope
Artificial Intelligence (AI) Incident Recording and Reporting Policy
- All employees, contractors, and third-party vendors interacting with AI systems.
- All AI-powered applications, models, and automation tools used in business operations.
- Any AI-related incidents affecting data security, privacy, decision-making, or ethics.
- Incidents occurring within internal AI systems or third-party AI service providers.
3. Definition of AI Incidents
An AI incident is defined as any unexpected or harmful outcome resulting from the use of AI, including but not limited to:
- Algorithmic bias or unfair decision-making.
- Security vulnerabilities or unauthorized AI system access.
- Data privacy breaches caused by AI tools.
- Malfunctioning AI models leading to operational disruption.
- Ethical concerns, including misinformation or misuse of AI-generated content.
- Violations of AI compliance regulations, such as GDPR, or ISO 42001:2023.
4. AI Incident Reporting Process
All AI-related incidents must be reported immediately following these steps:
- Identify the AI incident – Recognize abnormal AI behavior, security breaches, or ethical concerns.
- Record incident details – Document the incident with a timestamp, description, and affected system.
- Notify responsible personnel – Report the incident to the AI Governance Committee (AIGC) and IT Security (security@securexcel.com).
- Escalate critical incidents – In cases of high-risk AI failures, escalate the issue to senior management.
- Initiate corrective actions – Implement measures to contain and resolve the AI incident.
- Conduct a post-incident review – Analyze the cause and impact of the incident for future prevention.
5. AI Incident Categories
AI incidents are classified based on their severity:
- Low Risk: Minor operational issues without security or compliance violations.
- Medium Risk: AI misbehavior affecting decision-making or small-scale data integrity.
- High Risk: AI-generated misinformation, bias, or privacy breaches.
- Critical Risk: Security breaches, legal violations, or major ethical concerns.
6. AI Incident Investigation and Resolution
To secure AI data, the organization shall:
- Assign an AI Incident Response Team (IRT) to investigate the issue.
- Analyze the AI model’s behavior and root cause of the incident.
- Implement immediate containment strategies to minimize impact.
- Develop long-term corrective actions to prevent recurrence.
- Document the incident and update AI risk mitigation strategies.
7. AI Incident Documentation and Reporting
Every AI incident must be recorded in an AI Incident Log, including:
- Date and time of occurrence.
- Description of the incident.
- AI tool or system involved.
- Severity classification.
- Actions taken to resolve the issue.
- Lessons learned and future preventive measures.
8. AI Security and Compliance Measures
To prevent AI incidents, the organization shall:
- Implement real-time AI monitoring and anomaly detection systems.
- Conduct periodic AI risk assessments and security audits.
- Ensure compliance with ISO 42001:2023, GDPR, and other regulations.
- Restrict AI model access based on user roles and security policies.
- Regularly update AI governance policies to reflect emerging risks.
9. AI Ethics and Responsible Use
All employees must adhere to ethical AI practices to prevent incidents by:
- Ensuring transparency in AI decision-making processes.
- Avoiding AI bias and discrimination in automated outcomes.
- Using AI tools responsibly, without spreading misinformation.
- Reporting AI misuse, security threats, or ethical concerns immediately.
10. AI Incident Review and Policy Improvement
The AI Governance Committee (AI CoE) will conduct periodic reviews of:
- AI incidents recorded over a defined period.
- Effectiveness of AI risk mitigation strategies.
- Compliance with evolving AI regulations.
- Recommendations for improving AI policies and security frameworks.
11. Compliance with ISO 42001:2023 and Other Standards
This policy aligns with:
- ISO 42001:2023 (Artificial Intelligence Management System)
- ISO 27001 (Information Security Management)
- GDPR and other data protection laws