Review monitoring and review status
Monitoring keeps attention on the AI use after registration and approval. It helps the organisation see upcoming reviews, open incidents, material changes and overdue conditions.
Use the status as a prompt to open the related work. A clear status does not by itself prove that the AI use is safe, compliant or operating as expected.
How to review monitoring and review status
- Open the AI use and select Governance.
- Find Monitoring & review.
- Check what needs attention and when the next review is scheduled.
- Open any linked incident, change, condition or review action.
What happens next
Use an incident or material-change record when an event may affect earlier assessment, risk or approval decisions.
Common situations
- If an AI use is paused or retired, update its lifecycle information and complete any required governance follow-up so reports do not present it as active.
Report an incident
Record an incident when an AI-related event caused harm, may have caused harm, or revealed a failure that needs governance attention.
Record the known facts, apparent severity and immediate response promptly. The initial report starts the review; it is not the final conclusion about cause, impact or responsibility.
How to report an incident
- Open Changes & incidents.
- Select Report incident.
- Choose the affected AI use, or record that it is not yet known.
- Describe what happened and enter the occurrence date.
- Choose the apparent severity: Low, Moderate, High or Critical.
- Record the immediate action taken and select Report incident.
What happens next
The incident starts in Reported and is ready for governance review.
Common situations
- If the incident is also managed in an operational, security or safety system, continue that process and record the approved reference in Swell. Swell does not replace mandatory reporting or operational response procedures.
Review and update an incident
Incident review confirms the severity, considers what governance work is needed and records the next response.
Use verified information where possible and identify gaps that still need investigation. Create reassessment, specialist review or reapproval work when the incident affects earlier assumptions or decisions.
How to review and update an incident
- Open the incident from Changes & incidents.
- Review what happened, immediate action, reporter and activity.
- Select Update review.
- Confirm severity.
- Choose any required Security, Privacy or Legal review.
- Choose whether reassessment or reapproval is required.
- Describe what needs to happen, add notes and save.
What happens next
The incident can move to Under review or Action required, with linked governance work.
Close an incident
Close an incident only after the governance review and required follow-up have been completed or transferred to a clearly managed process.
Operational recovery alone is not enough if reassessment, control, specialist or approval work remains open.
Before you start
- Do not close an incident merely because the immediate operational event has ended.
How to close an incident
- Open the incident.
- Check that the review is complete and linked actions have been resolved.
- Select Close incident.
- Read the warning and confirm the closure.
What happens next
The incident remains in history with status Closed.
Record a material change
Record a material change when something important about the AI use changes, even if nothing adverse has happened.
Changes to purpose, supplier, model, data, integrations, users or automation can affect earlier assessment and approval. Describe what changed and when so the reviewer can decide which governance work must be refreshed.
How to record a material change
- Open Changes & incidents or the AI use.
- Select Record material change.
- Choose the AI use and enter the change date.
- Describe what changed.
- Choose the closest type: model/provider, data/information, integration/access, behaviour/capability, purpose/process, users/affected people, or other.
- Add any supporting detail that will help the reviewer understand the change, then submit it.
What happens next
The change is ready for review. It does not automatically replace the registered facts.
Common situations
- Use the ordinary edit workflow for minor factual corrections. Use a material change when the change may affect assessment, risk, specialist review or approval.
- When a supplier changes the technology, data practices or hosting arrangement, record the change and retain the supplier notice or assurance evidence through the organisation’s normal records process.
Review a material change
The change review compares the new facts with the assumptions behind the current assessment, risks, controls and approval.
Choose only the follow-up that the change genuinely requires, and explain the reasoning. The review should not minimise a significant change or create unnecessary work for a minor correction.
How to review a material change
- Open the material-change record.
- Review what changed, when it changed and the supporting details.
- Record whether the current assessment is affected.
- Choose any required specialist review, reassessment or reapproval.
- Create or follow the linked actions.
What happens next
The AI use shows the resulting reassessment or reapproval work.
Close a material change
Close the material-change record after its review is complete and all required follow-up has been created or finished.
Closing the record confirms that the change has been dealt with through the governance process; it does not erase the change or earlier decisions.
How to close a material change
- Open the material change.
- Confirm the review and linked governance work are complete.
- Select Close and confirm.
What happens next
The closed record and activity remain available for audit.
Periodic reviews
Periodic reviews help confirm that an AI use is still operating as expected and that the information, risks, controls and approval recorded in Swell remain current.
Swell may show when a review is due or overdue. If a review action is assigned to you but you cannot open or complete it, use Request help.
What to check
- Open the AI use and select Governance.
- Find Monitoring & review and check whether a review is due, overdue or in progress.
- Open the assigned review from My actions when a working link is available.
- Use Request help if an assigned review cannot be opened or completed.
Availability: Full periodic-review instructions will be added when the complete workflow is available.
Choose between an incident and a material change
Use an incident when something went wrong, caused harm or could have caused harm.
Use a material change when something important about the AI use changed, even if nothing adverse happened—for example its purpose, supplier, data, users or level of automation.
If both occurred, record the incident first and capture the associated change where it affects the ongoing governance of the AI use.
How to choose between an incident and a material change
- Use Report incident when something adverse happened or may have caused harm.
- Use Record material change when the AI use, data, provider, purpose, users or capability changed.
- Use Request help if you cannot safely determine which current pathway applies.