{"$schema":"https://json-schema.org/draft/2020-12/schema","title":"AI Risk Management System Record (Art. 9 AI Act)","description":"Record of the continuous, iterative risk management system for a high-risk AI system, established, implemented, documented and maintained by the provider under Article 9 of Regulation (EU) 2024/1689 (AI Act). Captures identification and analysis of known and reasonably foreseeable risks (Art. 9(2)(a)), estimation and evaluation of risks that may emerge when the system is used in accordance with its intended purpose and under conditions of reasonably foreseeable misuse, adoption of appropriate and targeted risk-management measures (Art. 9(5)), testing evidence (Art. 9(6)-(8)), and post-market monitoring feedback (Art. 72). The system record is reviewed and updated regularly throughout the lifecycle of the AI system.","type":"object","required":["system","assessment","intended_purpose","reasonably_foreseeable_misuse","identified_risks","mitigations","conclusion","approval"],"additionalProperties":false,"properties":{"system":{"type":"object","description":"Identification of the AI system being assessed (cross-reference to the Annex IV technical documentation).","required":["name","version","provider","high_risk_category"],"additionalProperties":false,"properties":{"name":{"type":"string","minLength":1},"version":{"type":"string","minLength":1},"provider":{"type":"string","minLength":1},"high_risk_category":{"type":"string","description":"Annex III high-risk category under which the system is classified. Must match the classification declared in the sibling AI system technical documentation.","enum":["biometric_identification","critical_infrastructure","education_vocational","employment_worker_management","essential_services","law_enforcement","migration_asylum","justice_democratic"]}}},"assessment":{"type":"object","description":"Metadata for this iteration of the Art. 9 risk management record.","required":["reference","assessment_date","version","methodology","next_review"],"additionalProperties":false,"properties":{"reference":{"type":"string","minLength":1},"assessment_date":{"type":"string","format":"date"},"version":{"type":"string","minLength":1},"methodology":{"type":"string","description":"Prose description of the methodology used to identify, estimate and evaluate risks (Art. 9(2)).","minLength":1},"next_review":{"type":"string","format":"date"}}},"intended_purpose":{"type":"string","description":"Description of the intended purpose of the AI system, as required by Art. 9(2)(a).","minLength":1},"reasonably_foreseeable_misuse":{"type":"string","description":"Description of reasonably foreseeable misuse (Art. 3(13), Art. 9(2)(b)).","minLength":1},"identified_risks":{"type":"array","description":"Known and reasonably foreseeable risks that the AI system can pose to health, safety or fundamental rights (Art. 9(2)(a)).","minItems":1,"items":{"type":"object","required":["id","category","description","who_affected","likelihood","severity","impact"],"additionalProperties":false,"properties":{"id":{"type":"string","minLength":1},"category":{"type":"string","enum":["health","safety","fundamental_rights","discrimination","privacy","security","economic","environmental","other"]},"description":{"type":"string","minLength":1},"who_affected":{"type":"array","description":"Stakeholder groups affected by the risk.","items":{"type":"string"},"minItems":1},"likelihood":{"type":"string","enum":["low","medium","high"]},"severity":{"type":"string","enum":["low","medium","high"]},"impact":{"type":"string","minLength":1}}}},"mitigations":{"type":"array","description":"Appropriate and targeted risk-management measures adopted for each identified risk (Art. 9(5)). Keyed by risk_id.","minItems":1,"items":{"type":"object","required":["risk_id","measures","residual_likelihood","residual_severity","owner"],"additionalProperties":false,"properties":{"risk_id":{"type":"string","minLength":1},"measures":{"type":"array","items":{"type":"string"},"minItems":1},"residual_likelihood":{"type":"string","enum":["low","medium","high"]},"residual_severity":{"type":"string","enum":["low","medium","high"]},"owner":{"type":"string","minLength":1}}}},"testing_evidence":{"type":"array","description":"Testing evidence demonstrating that the risk-management measures have the intended effect (Art. 9(6)-(8)).","items":{"type":"object","required":["test_name","result","date"],"additionalProperties":false,"properties":{"test_name":{"type":"string","minLength":1},"result":{"type":"string","minLength":1},"date":{"type":"string","format":"date"}}}},"post_market_feedback":{"type":"array","description":"Feedback from the post-market monitoring system (Art. 72) that has been considered in this iteration of the risk-management record.","items":{"type":"object","required":["source","summary","date","triggered_update"],"additionalProperties":false,"properties":{"source":{"type":"string","enum":["user_report","incident_log","audit","drift_monitoring","fairness_audit"]},"summary":{"type":"string","minLength":1},"date":{"type":"string","format":"date"},"triggered_update":{"type":"boolean"}}}},"conclusion":{"type":"object","description":"Overall decision on whether to place or keep the AI system on the market, based on the residual risks after mitigations (Art. 9(5)).","required":["decision","rationale"],"additionalProperties":false,"properties":{"decision":{"type":"string","enum":["proceed","proceed_with_conditions","do_not_proceed","suspend"]},"rationale":{"type":"string","minLength":1}}},"approval":{"type":"object","description":"Sign-off of this iteration of the risk-management record by the accountable person within the provider organisation.","required":["signatory_name","signatory_title","date"],"additionalProperties":false,"properties":{"signatory_name":{"type":"string","minLength":1},"signatory_title":{"type":"string","minLength":1},"date":{"type":"string","format":"date"}}}}}