Model Risk Incident Report Template

{"Title":"Model Risk Incident Report","IntroductionHtml":"

Use this form to capture a consistent, auditable record whenever a model behaves unexpectedly, shows signs of bias, or causes business or customer impact. Provide evidence, initial mitigations, a remediation plan, and the post-incident learning steps. Fields marked required help ensure regulators and auditors can follow the timeline and decisions.

","SubmitLabel":"Save Incident Report","SuccessMessage":"Incident saved. You can return to update the record, or export it for audits and reviews.","DataType":"model_incident_report","SchemaVersion":"1.0","Fields":[{"Key":"incident_id","FieldType":"text","Label":"Incident ID","HelpText":"Unique identifier (team may use existing incident number). If you don\u2019t have one, leave blank and the system will generate an ID.","Required":false},{"Key":"reported_by","FieldType":"text","Label":"Reported by (name / role)","HelpText":"Person who submitted this report.","Required":true},{"Key":"reported_date","FieldType":"text","Label":"Date and time (UTC)","HelpText":"Format: YYYY-MM-DD HH:MM, e.g. 2026-08-26 14:30. Include timezone if not UTC.","Required":true},{"Key":"incident_summary","FieldType":"textarea","Label":"Incident summary","HelpText":"Short, plain-language summary: what happened, when it was first observed, and who noticed it.","Required":true},{"Key":"detection_method","FieldType":"select","Label":"How was the incident detected?","HelpText":"Select the primary detection channel.","Required":true,"Options":[{"Value":"monitoring_alert","Label":"Monitoring / alert"},{"Value":"customer_report","Label":"Customer / user report"},{"Value":"internal_test","Label":"Internal testing or QA"},{"Value":"audit_finding","Label":"Audit or compliance finding"},{"Value":"manual_observation","Label":"Manual observation by staff"},{"Value":"other","Label":"Other"}]},{"Key":"affected_models","FieldType":"textarea","Label":"Affected model(s) and versions","HelpText":"List model names, IDs, versions, deployment IDs, and locations (prod/staging). Include URLs or pointers to model registry entries if available.","Required":true},{"Key":"business_impact","FieldType":"select","Label":"Business / customer impact","HelpText":"Select the best description of current impact.","Required":true,"Options":[{"Value":"no_customer_impact","Label":"No customer impact"},{"Value":"minor","Label":"Minor (limited scope, workaround available)"},{"Value":"moderate","Label":"Moderate (some customers affected, partial degradation)"},{"Value":"major","Label":"Major (widespread impact or revenue loss)"},{"Value":"critical","Label":"Critical (safety, legal, or major compliance exposure)"}]},{"Key":"severity_scale","FieldType":"scale","Label":"Severity (1 = low, 5 = critical)","HelpText":"Numeric severity to help prioritization.","Required":true,"Options":[{"Value":"1","Label":"1"},{"Value":"2","Label":"2"},{"Value":"3","Label":"3"},{"Value":"4","Label":"4"},{"Value":"5","Label":"5"}]},{"Key":"key_metrics_and_evidence","FieldType":"textarea","Label":"Key metrics and evidence","HelpText":"Describe metrics that changed (counts, error rates, bias metrics) and point to dashboards, logs, or example records. Paste key numbers or short JSON snippets if helpful.","Required":true},{"Key":"supporting_links","FieldType":"textarea","Label":"Supporting links and artifacts","HelpText":"URLs to dashboards, logs, model registry entries, dataset snapshots, issue trackers, or evidence files.","Required":false},{"Key":"initial_triage_steps","FieldType":"textarea","Label":"Initial triage steps taken","HelpText":"What immediate checks were performed? Who was pulled in? Include commands, queries, or scripts used if helpful.","Required":true},{"Key":"mitigations_in_place","FieldType":"textarea","Label":"Temporary mitigations / containment steps applied","HelpText":"Example: disable feature flag, rollback to prior model, throttle traffic, apply business-rule override. State start time for each mitigation.","Required":true},{"Key":"root_cause_hypothesis","FieldType":"textarea","Label":"Root cause hypothesis (initial)","HelpText":"A concise hypothesis for why the model failed (data drift, training bug, feature pipeline change, labeling issue, model degradation, external system change, adversarial input, etc.).","Required":false},{"Key":"validation_plan","FieldType":"textarea","Label":"Validation plan to confirm root cause","HelpText":"How will the hypothesis be tested? List tests, datasets, expected outcomes, and owners.","Required":false},{"Key":"stakeholder_notifications","FieldType":"checkbox","Label":"Stakeholders notified or to notify","HelpText":"Select stakeholder groups that have been or should be notified.","Required":true,"Options":[{"Value":"product","Label":"Product Management"},{"Value":"legal","Label":"Legal"},{"Value":"compliance","Label":"Compliance"},{"Value":"security","Label":"Security / InfoSec"},{"Value":"operations","Label":"Operations / SRE"},{"Value":"data_science","Label":"Data Science / ML"},{"Value":"privacy","Label":"Privacy"},{"Value":"customers","Label":"Affected customers"},{"Value":"regulators","Label":"Regulators"},{"Value":"other","Label":"Other"}]},{"Key":"regulatory_considerations","FieldType":"textarea","Label":"Regulatory or contractual considerations","HelpText":"Notes on data subject rights, breach-reporting timelines, or contract obligations. Include statutory reporting deadlines if known.","Required":false},{"Key":"remediation_steps","FieldType":"textarea","Label":"Remediation steps (planned)","HelpText":"Concrete actions to fix the problem, who will do them, and acceptance criteria.","Required":true},{"Key":"remediation_timeline_days","FieldType":"number","Label":"Planned timeline (days)","HelpText":"Estimated days to remediate from now.","Required":false},{"Key":"post_incident_review_actions","FieldType":"textarea","Label":"Post-incident review and policy updates","HelpText":"Suggested improvements to monitoring, runbooks, testing, deployment controls, or governance that will reduce recurrence.","Required":false},{"Key":"lessons_learned_owner","FieldType":"text","Label":"Owner for lessons learned / follow-up","HelpText":"Person responsible for ensuring PR, playbook, and policy updates are completed.","Required":false},{"Key":"audit_trail_preserved","FieldType":"yesno","Label":"Is an audit trail preserved (logs, snapshots)?","HelpText":"Yes = evidence is saved to a secure, immutable location; No = not yet preserved.","Required":true},{"Key":"urgent_actions_required","FieldType":"yesno","Label":"Are urgent customer-facing actions required?","HelpText":"For example, recall, customer notification, or temporary shutdown.","Required":true},{"Key":"confidential","FieldType":"yesno","Label":"Mark as confidential / restricted","HelpText":"Restrict sharing if the incident contains sensitive personal data or trade secrets.","Required":false},{"Key":"additional_notes","FieldType":"textarea","Label":"Additional notes","HelpText":"Anything else the incident team should know.","Required":false}],"Notes":"This InteractiveForm captures a complete, consistent incident record for model failures. Use the Supporting links field to attach pointers to evidence. Teams should extend this base form with site-specific required fields (for example, internal ticket numbers, product line, or regulation-specific items)."}