- Template version
- AGK-TPL-06 v1.0
- Format
- Excel · 50 KB
- Used by
- AI Governance Lead, IT Security, DPO
- When
- Weeks 4–6, before the first incident
AGK-TPL-06_AI_Incident_Nonconformity_and_CAPA_Log_v1.0.xlsx
Sheets in this workbook
Read Me
Instructions, summary or lookup lists.
Summary
Instructions, summary or lookup lists.
Log
- Incident ID
- Detected (date & time)
- Reported by
- AI system ID (TPL-01)
- Category
- Near-miss?
- Description
- Impact
- Urgency
- Priority
- Respond by
- Contain / suspend by
- Containment action
- Agent / feature suspended?
- Personal data involved?
- Breach notification assessed required?
- Notify regulator by
- Regulator(s) notified
- Date notified
- Incident owner
- Status
- Root cause
- Corrective / preventive actions
- Closed date
Incident Report
Instructions, summary or lookup lists.
Nonconformity & CAPA
- NC ID
- Date raised
- Source
- Related ref (incident / audit / control ID)
- Description of nonconformity
- Requirement not met (control ID / clause)
- Root cause
- Correction (immediate fix)
- Corrective action (prevent recurrence)
- Owner
- Due date
- Status
- Effectiveness check (date / result)
- Overdue?
Priority Matrix
- Impact ↓ / Urgency →
- High
- Medium
- Low
Lists
Instructions, summary or lookup lists.
Column headings as they appear in the template. Formulas, drop-downs and the sample rows are in the download.
