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SOP-AIDLC-09 — Incident, Rollback & Model Retirement

Handles AI-specific incidents, rollbacks, and retirement of models.

Owner: AI Platform DirectorApprover: AI Governance CouncilVersion: 1.7Updated: 12/4/1969

1. Purpose

Respond to AI incidents, retire unsafe models, and preserve evidence.

2. Scope

All production AI systems.

3. Definitions

  • AI incident — An event where an AI system produced unsafe, unlawful, or off-scope output.

4. Roles & Responsibilities (RACI)

ActivityRACICadence
Detect & triageOn-callAI Platform DirectorCouncilExecutive24/7
Approve rollbackAI Platform DirectorAI Governance CouncilGRCTeamAs needed
Approve retirementAI Governance CouncilSVP OperationsGRCUsersAs needed

5. Procedure

  1. On detection of an AI incident, contain by rolling back or disabling the model.
  2. Preserve prompts, inputs, outputs, and traces for investigation.
  3. Notify affected clients and regulators per contract and law.
  4. Perform root cause and CAPA per SOP-QMS-10.
  5. For retirement: publish notice, migrate users, dispose of PHI-touching artefacts per SOP-SDLC-09.

6. Inputs & Outputs

Inputs

  • Alert
  • User complaint
  • Regulator inquiry

Outputs

  • Incident ticket
  • Rollback record
  • Retirement package

7. Controls & Metrics

MetricTarget
Tier 1 incidents contained within 30 min≥ 95%
Retirements with data-disposal certificate100%

8. Exceptions & Escalation

  • Regulator-mandated model shutdown is executed immediately with executive concurrence.

9. Records & Retention

RecordRetention
Incident tickets10 years
Retirement packages10 years

10. Related Documents

  • SOP-AIDLC-07
  • SOP-SDLC-08
  • SOP-SDLC-09

11. References

  • ISO/IEC 42001 §10
  • NIST AI RMF Manage

12. Revision History

See the Versions tab for the full change history maintained by the Auto-Doc Engine.

Document code: SOP-AIDLC-09 · Aligned to ISO/IEC 42001 §10 / NIST AI RMF Manage. Controlled document — reproduction outside the UBC QMS requires the Quality Manager's approval.

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