INC: Incidents

Document Type

Code: INC
Name: Incidents
Domain: Risk & Governance

Abstract

This specification defines the Incidents document type within the BSpec 1.0 Universal Business Specification Standard. It establishes normative requirements, structured templates, and implementation guidance for organizations documenting incidents within the risk-governance domain. This specification enables systematic, machine-readable documentation that supports strategic planning, operational execution, and organizational alignment.

Purpose and Scope

The Incidents document defines systematic approaches to identifying, responding to, and managing incidents that disrupt business operations, threaten stakeholder safety, or impact organizational objectives. It establishes incident management frameworks that enable rapid response, effective recovery, and organizational learning from disruptive events.

Document Metadata Schema

---
id: INC-{incident-type}
title: "Incidents — {Incident Type or Area}"
type: INC
status: Draft|Review|Approved|Active|Deprecated
version: 1.0.0
owner: Incident-Manager|Chief-Risk-Officer|Operations-Team
stakeholders: [incident-response-team, executives, operations, communications]
domain: risk-governance
priority: Critical|High|Medium|Low
scope: incident-management
horizon: tactical
visibility: confidential

depends_on: [RSK-*, OPS-*, CTL-*, COM-*]
enables: [BCR-*, CRI-*, LEA-*, REP-*]

incident_scope: Operational|Security|Safety|Compliance|Financial|Reputational
response_model: Centralized|Decentralized|Hybrid|Federated
maturity_level: Basic|Developing|Defined|Managed|Optimizing
automation_level: Manual|Semi-automated|Automated|Intelligent

success_criteria:
  - "Incident response minimizes impact and enables rapid recovery"
  - "Incident management prevents escalation and protects stakeholders"
  - "Incident processes drive learning and organizational improvement"
  - "Incident preparedness ensures organizational resilience"

assumptions:
  - "Incident response teams are trained and prepared"
  - "Incident procedures are current and accessible"
  - "Stakeholders understand their incident response roles"

constraints: [Resource and operational constraints]
standards: [Incident management and emergency response standards]
review_cycle: quarterly
---

Content Structure Template

# Incidents — {Incident Type or Area}

## Executive Summary
**Purpose:** {Brief description of incident management scope and objectives}
**Incident Scope:** {Operational|Security|Safety|Compliance|Financial|Reputational}
**Response Model:** {Centralized|Decentralized|Hybrid|Federated}
**Automation Level:** {Manual|Semi-automated|Automated|Intelligent}

## Incident Management Framework

### Incident Management Philosophy
- **Prevention First:** {Proactive incident prevention and risk mitigation}
- **Rapid Response:** {Quick and effective incident response and containment}
- **Stakeholder Protection:** {Priority on stakeholder safety and protection}
- **Continuous Learning:** {Learning from incidents to improve resilience}

### Incident Management Approach
    ```yaml
    incident_methodology:
      incident_lifecycle: {Preparation, Detection, Response, Recovery, Learning}
      response_priorities: {Life safety, Asset protection, Business continuity, Reputation protection}
      coordination_model: {Incident command system and coordination structure}
    
    governance_framework:
      oversight_responsibility: {Executive and board incident oversight}
      response_authority: {Clear incident response authority and decision-making}
      accountability_structure: {Incident response accountability and roles}
    ```

### Incident Categories
- **Operational Incidents:** {Business process disruptions and operational failures}
- **Security Incidents:** {Cybersecurity breaches and security threats}
- **Safety Incidents:** {Workplace accidents and safety emergencies}
- **Compliance Incidents:** {Regulatory violations and compliance breaches}

## Incident Classification and Severity

### Incident Classification Framework
    ```yaml
    incident_classification:
      operational_incidents:
        - type: {System Outage}
          description: {Critical system or service unavailability}
          examples: [erp_failure, network_outage, application_crash]
          impact_areas: [operations, customers, revenue]
    
        - type: {Process Failure}
          description: {Business process breakdown or malfunction}
          examples: [supply_chain_disruption, quality_failure, service_breakdown]
          stakeholders: [customers, suppliers, employees]
    
      security_incidents:
        - type: {Data Breach}
          description: {Unauthorized access to sensitive information}
          examples: [customer_data_breach, financial_data_exposure, ip_theft]
          regulations: [gdpr, hipaa, sox, ccpa]
    
        - type: {Cyber Attack}
          description: {Malicious cyber attack or intrusion}
          examples: [malware, ransomware, ddos, phishing]
          response_priority: {Immediate containment and forensics}
    
      safety_incidents:
        workplace_injury: {Employee or visitor injury incidents}
        environmental_incident: {Environmental damage or contamination}
        facility_emergency: {Fire, flood, or structural emergencies}
    ```

### Severity Assessment
- **Critical (Level 1):** {Immediate threat to life, major business impact}
- **High (Level 2):** {Significant business impact, regulatory implications}
- **Medium (Level 3):** {Moderate business impact, contained scope}
- **Low (Level 4):** {Minor impact, limited business disruption}

### Impact Assessment
    ```yaml
    impact_assessment:
      business_impact:
        revenue_impact: {Direct and indirect revenue impact assessment}
        operational_impact: {Operational capability and service impact}
        customer_impact: {Customer experience and satisfaction impact}
        reputation_impact: {Brand and reputation impact assessment}
    
      stakeholder_impact:
        employee_impact: {Employee safety and well-being impact}
        customer_impact: {Customer data, service, and experience impact}
        supplier_impact: {Supply chain and vendor relationship impact}
        regulatory_impact: {Regulatory compliance and reporting impact}
    
      recovery_assessment:
        recovery_time: {Estimated time to restore normal operations}
        recovery_complexity: {Complexity of recovery and restoration efforts}
        resource_requirements: {Resources needed for incident response and recovery}
    ```

## Incident Response Procedures

### Incident Response Framework
    ```yaml
    incident_response:
      detection_reporting:
        incident_detection: {Automated and manual incident detection systems}
        reporting_channels: {Multiple channels for incident reporting}
        initial_assessment: {Rapid initial impact and severity assessment}
        escalation_triggers: {Clear escalation triggers and criteria}
    
      immediate_response:
        incident_commander: {Incident commander appointment and authority}
        response_team: {Incident response team activation and coordination}
        containment_actions: {Immediate containment and stabilization actions}
        stakeholder_notification: {Initial stakeholder notification and communication}
    
      investigation_analysis:
        evidence_preservation: {Evidence collection and preservation procedures}
        root_cause_analysis: {Systematic root cause investigation}
        impact_assessment: {Comprehensive impact and damage assessment}
        regulatory_notification: {Required regulatory notification and reporting}
    ```

### Response Team Structure
- **Incident Commander:** {Overall incident response leadership and coordination}
- **Operations Team:** {Operational response and system restoration}
- **Communications Team:** {Stakeholder communication and media relations}
- **Legal and Compliance:** {Legal, regulatory, and compliance response}

### Emergency Procedures
    ```yaml
    emergency_procedures:
      life_safety:
        evacuation_procedures: {Building and facility evacuation procedures}
        emergency_services: {Emergency service coordination and communication}
        medical_response: {Medical emergency response and first aid}
        safety_communication: {Emergency safety communication systems}
    
      business_continuity:
        critical_process_continuity: {Critical business process continuation}
        alternate_site_activation: {Backup site and facility activation}
        supply_chain_management: {Emergency supply chain and vendor management}
        customer_service_continuity: {Customer service continuation procedures}
    
      technology_response:
        system_isolation: {Affected system isolation and containment}
        data_protection: {Data backup and protection procedures}
        forensic_procedures: {Digital forensics and evidence collection}
        system_recovery: {System restoration and recovery procedures}
    ```

## Crisis Management

### Crisis Management Framework
    ```yaml
    crisis_management:
      crisis_definition:
        crisis_criteria: {Criteria for declaring organizational crisis}
        crisis_types: [operational_crisis, financial_crisis, reputation_crisis, regulatory_crisis]
        escalation_thresholds: {Thresholds for crisis escalation}
    
      crisis_leadership:
        crisis_management_team: {Senior leadership crisis management team}
        decision_authority: {Crisis decision-making authority and approval}
        external_advisors: {External crisis management and legal advisors}
    
      crisis_communication:
        internal_communication: {Employee and stakeholder internal communication}
        external_communication: {Media, customer, and public communication}
        regulatory_communication: {Regulatory and government agency communication}
        social_media_management: {Social media monitoring and response}
    ```

### Business Continuity Integration
- **Continuity Planning:** {Integration with business continuity planning}
- **Recovery Operations:** {Business recovery and restoration coordination}
- **Alternate Operations:** {Alternate operating procedures and facilities}
- **Vendor Coordination:** {Critical vendor and supplier coordination}

### Stakeholder Management
    ```yaml
    stakeholder_management:
      stakeholder_mapping:
        internal_stakeholders: [employees, management, board, shareholders]
        external_stakeholders: [customers, suppliers, regulators, media, community]
        stakeholder_priorities: {Stakeholder communication priorities and timing}
    
      communication_strategy:
        message_development: {Consistent and accurate message development}
        communication_channels: {Multiple communication channels and methods}
        frequency_timing: {Communication frequency and timing strategy}
        feedback_monitoring: {Stakeholder feedback monitoring and response}
    
      reputation_management:
        reputation_monitoring: {Real-time reputation and sentiment monitoring}
        damage_mitigation: {Reputation damage mitigation strategies}
        recovery_strategy: {Reputation recovery and rebuilding strategy}
    ```

## Investigation and Analysis

### Investigation Framework
    ```yaml
    investigation_process:
      investigation_team:
        team_composition: {Investigation team structure and expertise}
        independence: {Investigation independence and objectivity}
        external_support: {External investigation support when needed}
    
      investigation_methodology:
        evidence_collection: {Systematic evidence collection and documentation}
        witness_interviews: {Employee and stakeholder interviews}
        technical_analysis: {Technical and forensic analysis procedures}
        timeline_reconstruction: {Incident timeline reconstruction}
    
      root_cause_analysis:
        causal_factors: {Identification of immediate and root causes}
        contributing_factors: {Analysis of contributing and systemic factors}
        system_failures: {Analysis of system and process failures}
        human_factors: {Human factors and behavioral analysis}
    ```

### Analysis Techniques
- **5 Whys Analysis:** {Iterative why analysis for root cause identification}
- **Fishbone Diagram:** {Cause and effect analysis using fishbone method}
- **Fault Tree Analysis:** {Logical analysis of incident causation}
- **Failure Mode Analysis:** {Analysis of potential failure modes and effects}

### Documentation and Reporting
    ```yaml
    documentation_framework:
      incident_documentation:
        incident_record: {Comprehensive incident record and timeline}
        evidence_log: {Evidence collection and chain of custody log}
        action_log: {Response action and decision log}
        communication_log: {Stakeholder communication record}
    
      investigation_report:
        executive_summary: {Executive summary of incident and findings}
        detailed_findings: {Detailed investigation findings and analysis}
        root_causes: {Root cause analysis and conclusions}
        recommendations: {Corrective and preventive action recommendations}
    
      regulatory_reporting:
        compliance_requirements: {Regulatory reporting requirements and deadlines}
        disclosure_obligations: {Public disclosure and notification obligations}
        legal_implications: {Legal and liability implications assessment}
    ```

## Recovery and Restoration

### Recovery Planning
    ```yaml
    recovery_framework:
      recovery_strategy:
        recovery_priorities: {Recovery priority setting and sequencing}
        resource_allocation: {Recovery resource allocation and management}
        timeline_development: {Recovery timeline and milestone planning}
    
      restoration_procedures:
        system_restoration: {Technology system restoration procedures}
        process_restoration: {Business process restoration and validation}
        service_restoration: {Customer service restoration and verification}
        facility_restoration: {Physical facility restoration and reopening}
    
      validation_testing:
        system_testing: {Restored system testing and validation}
        process_testing: {Business process testing and verification}
        integration_testing: {End-to-end integration testing}
        user_acceptance: {User acceptance testing and sign-off}
    ```

### Corrective Actions
- **Immediate Fixes:** {Immediate corrective actions to prevent recurrence}
- **System Improvements:** {System and process improvements and enhancements}
- **Control Enhancements:** {Internal control strengthening and implementation}
- **Training and Awareness:** {Additional training and awareness programs}

### Monitoring and Validation
    ```yaml
    recovery_monitoring:
      performance_monitoring:
        system_performance: {Restored system performance monitoring}
        process_performance: {Business process performance verification}
        service_levels: {Service level achievement and monitoring}
    
      stability_assessment:
        stability_monitoring: {System and process stability monitoring}
        early_warning: {Early warning indicators for potential issues}
        preventive_maintenance: {Enhanced preventive maintenance procedures}
    
      stakeholder_feedback:
        customer_feedback: {Customer experience and satisfaction feedback}
        employee_feedback: {Employee feedback on recovery effectiveness}
        supplier_feedback: {Supplier and vendor feedback and concerns}
    ```

## Learning and Improvement

### Lessons Learned Framework
    ```yaml
    learning_framework:
      post_incident_review:
        review_process: {Structured post-incident review process}
        stakeholder_input: {Input from all involved stakeholders}
        objective_analysis: {Objective analysis of response effectiveness}
    
      lessons_identification:
        what_worked: {Identification of effective response elements}
        improvement_areas: {Areas for response and process improvement}
        systemic_issues: {Systemic issues and vulnerabilities identified}
    
      knowledge_capture:
        documentation: {Lessons learned documentation and storage}
        knowledge_sharing: {Lessons sharing across organization}
        training_integration: {Integration into training and preparedness}
    ```

### Continuous Improvement
- **Process Enhancement:** {Incident management process improvement}
- **Technology Advancement:** {Technology enhancement for incident management}
- **Training Updates:** {Training program updates based on lessons learned}
- **Preparedness Improvement:** {Enhanced preparedness and response capability}

### Organizational Learning
    ```yaml
    organizational_learning:
      culture_development:
        reporting_culture: {Culture encouraging incident reporting}
        learning_culture: {Culture focused on learning from incidents}
        improvement_culture: {Culture of continuous improvement}
    
      capability_building:
        skill_development: {Incident response skill development}
        leadership_development: {Crisis leadership capability building}
        team_effectiveness: {Response team effectiveness improvement}
    
      system_resilience:
        resilience_assessment: {Organizational resilience assessment}
        vulnerability_reduction: {Systematic vulnerability reduction}
        adaptive_capacity: {Adaptive capacity and flexibility enhancement}
    ```

## Technology and Automation

### Incident Management Technology
    ```yaml
    incident_technology:
      incident_platforms:
        incident_management_systems: [servicenow, pagerduty, opsgenie]
        communication_platforms: [slack, teams, zoom, conference_bridges]
        collaboration_tools: [shared_workspaces, document_sharing, real_time_collaboration]
    
      monitoring_detection:
        automated_monitoring: {24/7 automated system and service monitoring}
        alerting_systems: {Intelligent alerting and escalation systems}
        anomaly_detection: {AI-powered anomaly detection and early warning}
    
      response_automation:
        automated_response: {Automated initial response and containment}
        workflow_automation: {Incident response workflow automation}
        communication_automation: {Automated stakeholder notification}
    ```

### Analytics and Intelligence
- **Incident Analytics:** {Analytics for incident pattern identification}
- **Predictive Modeling:** {Predictive modeling for incident prevention}
- **Performance Analytics:** {Response performance analytics and optimization}
- **Trend Analysis:** {Incident trend analysis and forecasting}

## Performance Measurement

### Incident Management Metrics
    ```yaml
    incident_performance:
      response_metrics:
        - metric: {Mean Time to Detection (MTTD)}
          measurement: {Average time from incident occurrence to detection}
          target: {Minimize detection time}
    
        - metric: {Mean Time to Response (MTTR)}
          measurement: {Average time from detection to initial response}
          benchmark: {Industry best practice standards}
    
        - metric: {Mean Time to Recovery (MTTR)}
          measurement: {Average time from incident to full recovery}
          target: {Minimize recovery time}
    
      effectiveness_metrics:
        - metric: {Incident Recurrence Rate}
          measurement: {Rate of similar incident recurrence}
          target: {Minimize recurrence through learning}
    
        - metric: {Stakeholder Satisfaction}
          measurement: {Stakeholder satisfaction with incident response}
          survey: {Post-incident stakeholder survey}
    
      preparedness_metrics:
        training_completion: {Incident response training completion rates}
        drill_effectiveness: {Incident response drill performance}
        capability_assessment: {Incident response capability maturity}
    ```

### Continuous Monitoring
- **Real-Time Dashboards:** {Real-time incident management dashboards}
- **Performance Trending:** {Long-term performance trend analysis}
- **Benchmarking:** {Industry and peer benchmarking comparison}
- **Improvement Tracking:** {Improvement initiative tracking and measurement}

## Validation
*Evidence that incident management minimizes impact, enables recovery, and drives organizational learning*

## Quality Standards

### Bronze Level (Minimum Viable)
- [ ] Basic incident response procedures with team assignments
- [ ] Simple incident classification and escalation processes
- [ ] Basic investigation and documentation procedures
- [ ] All required metadata fields completed

### Silver Level (Investment Ready)
- [ ] Comprehensive incident management framework with crisis management
- [ ] Structured investigation processes with lessons learned integration
- [ ] Effective recovery procedures with stakeholder communication
- [ ] Regular incident response training and preparedness testing

### Gold Level (Operational Excellence)
- [ ] Advanced incident management with predictive capabilities
- [ ] Sophisticated automation and intelligent response systems
- [ ] Comprehensive organizational learning and resilience building
- [ ] Strategic incident management excellence with industry leadership

## Common Pitfalls

1. **Poor preparation**: Inadequate preparation leading to ineffective incident response
2. **Slow response**: Delayed incident detection and response causing increased impact
3. **Communication failures**: Poor communication during incidents creating confusion
4. **Learning gaps**: Failure to learn from incidents leading to recurrence

## Success Patterns

1. **Proactive preparedness**: Comprehensive preparedness enabling rapid and effective response
2. **Coordinated response**: Well-coordinated incident response minimizing impact and confusion
3. **Effective communication**: Clear and timely communication maintaining stakeholder confidence
4. **Continuous learning**: Systematic learning from incidents driving organizational resilience

## Relationship Guidelines

### Typical Dependencies
- **RSK (Risks)**: Risk assessments drive incident preparedness and response planning
- **OPS (Operations)**: Operational processes drive incident response and recovery procedures
- **CTL (Controls)**: Internal controls drive incident prevention and detection capabilities
- **COM (Compliance)**: Compliance requirements drive incident reporting and response procedures

### Typical Enablements
- **BCR (Business Continuity)**: Incident management enables business continuity and recovery
- **CRI (Crisis Management)**: Incident response enables crisis management and stakeholder protection
- **LEA (Learning)**: Incident analysis enables organizational learning and improvement
- **REP (Reporting)**: Incident management enables incident reporting and disclosure

## Document Relationships

This document type commonly relates to:

- **Depends on**: RSK (Risks), OPS (Operations), CTL (Controls), COM (Compliance)
- **Enables**: BCR (Business Continuity), CRI (Crisis Management), LEA (Learning), REP (Reporting)
- **Informs**: Risk management, operational procedures, crisis planning
- **Guides**: Response procedures, recovery actions, learning processes

## Validation Checklist

- [ ] Executive summary with clear purpose, incident scope, response model, and automation level
- [ ] Incident management framework with philosophy, approach, and categories
- [ ] Incident classification with framework, severity assessment, and impact assessment
- [ ] Response procedures with framework, team structure, and emergency procedures
- [ ] Crisis management with framework, business continuity, and stakeholder management
- [ ] Investigation and analysis with framework, techniques, and documentation
- [ ] Recovery and restoration with planning, corrective actions, and monitoring
- [ ] Learning and improvement with lessons learned, continuous improvement, and organizational learning
- [ ] Technology and automation with incident technology and analytics
- [ ] Validation evidence of impact minimization, recovery enablement, and organizational learning

---

## Related Documents

- [Back to Document Types](/docs/document-types)
- [Domain: Risk & Governance](/docs/domains/risk-governance)
- [Full Specification](/spec/v1-0-0)