+Член 73 Докладване на сериозни инциденти
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---+Член 73 11.

Член 73 Докладване на сериозни инциденти

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1. Преглед

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Член 73 1.
Доставчиците на високорискови системи с ИИ, пуснати на пазара на Съюза, докладват за всеки сериозен инцидент на органите за надзор на пазара на държавите членки, в които е възникнал инцидентът.
Член 73 2.
Докладът, посочен в параграф 1, се изготвя незабавно, след като доставчикът установи причинно-следствена връзка между системата с ИИ и сериозния инцидент или правдоподобна вероятност за такава връзка и във всеки случай не по-късно от 15 дни след като доставчикът или, когато е приложимо, внедрителят, научи за сериозния инцидент.

Срокът за докладването, посочено в първа алинея, е съобразен с тежестта на сериозния инцидент.
Член 73 3.
Независимо от параграф 2 от настоящия член, в случай на широко разпространено нарушение или сериозен инцидент съгласно определението в член 3, точка 49, буква б), докладът, посочен в параграф 1 от настоящия член, се представя незабавно и не по-късно от два дни, след като доставчикът или, когато е приложимо, внедрителят научи за инцидента.
Член 73 4.
Независимо от параграф 2, в случай на смърт на лице, докладът се представя незабавно след като доставчикът или внедрителят установи или веднага щом предположи наличието на причинно-следствена връзка между високорисковата система с ИИ и сериозния инцидент, но не по-късно от 10 дни след датата, на която доставчикът или, когато е приложимо, внедрителят научи за сериозния инцидент.
Член 73 5.
Когато е необходимо да се гарантира своевременно докладване, доставчикът или, когато е приложимо, внедрителят може да представи непълен първоначален доклад, последван от пълен доклад.
Член 73 6.
След докладването на сериозен инцидент съгласно параграф 1 доставчикът незабавно провежда необходимите разследвания във връзка със сериозния инцидент и съответната система с ИИ. Това включва оценка на риска, свързан с инцидента, и коригиращи действия.

По време на разследванията, посочени в първа алинея, доставчикът си сътрудничи с компетентните органи и, когато е целесъобразно, със съответния нотифициран орган и не провежда разследвания, включващи промяна на съответната система с ИИ по начин, който може да засегне всяка последваща оценка на причините за инцидента, преди да информира компетентните органи за това действие.
Член 73 7.
При получаване на уведомление, свързано със сериозен инцидент съгласно член 3, точка 49, буква в), съответният орган за надзор на пазара информира националните публични органи или структури, посочени в член 77, параграф 1. Комисията разработва специални насоки за улесняване на спазването на задълженията, посочени в параграф 1 от настоящия член. Тези насоки се изготвят до 2 август 2025 г. и подлежат на редовна оценка.
Член 73 8.
Органът за надзор на пазара предприема подходящи мерки съгласно член 19 от Регламент (ЕС) 2019/1020 в срок от седем дни от датата на получаване на уведомлението, посочено в параграф 1 от настоящия член, и прилага процедурите за уведомяване, предвидени в посочения регламент.
Член 73 9.
За високорисковите системи с ИИ, посочени в приложение III, които са пуснати на пазара или пуснати в действие от доставчици, за които се прилагат законодателни актове на Съюза, в които се предвиждат задължения за докладване, равностойни на установените в настоящия регламент, уведомяването за сериозни инциденти се ограничава до посочените в член 3, точка 49, буква в) сериозни инциденти.
Член 73 10.
За високорисковите системи с ИИ, които са защитни елементи на устройства или сами по себе си са устройства, попадащи в обхвата на регламенти (ЕС) 2017/745 и (ЕС) 2017/746, уведомлението за сериозни инциденти се ограничава до посочените в член 3, точка 49, буква в) от настоящия регламент сериозни инциденти и се отправя до националния компетентен орган, избран за тази цел от държавите членки, в които е възникнал инцидентът.
Член 73 11.
Националните компетентни органи незабавно уведомяват Комисията за всеки сериозен инцидент, независимо от това дали са предприели действия по него, в съответствие с член 20 от Регламент (ЕС) 2019/1020.

1.1 Препратки

1.2 Идентифицирани изисквания

1.3 Свързани стандарти

2. Идентифицирани изисквания

Изисквания

3. Свързани стандарти

Стандарти
SCF Serious Incident Reporting For AI & Autonomous Technologies

Description

Mechanisms exist to report any serious incident involving operational Artificial Intelligence (AI) and Autonomous Technologies (AAT) to relevant authorities as to when and where the serious incident occurred, in accordance with mandated reporting timelines.

Possible Solutions & Considerations

Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2

∙ Report serious AI incidents to relevant authorities as required

Small Business (10-49 staff) / BLS Firm Size Classes 3-4

∙ Incident reporting procedure for serious AI incidents

Medium Business (50-249 staff) / BLS Firm Size Classes 5-6

∙ Formal serious AI incident reporting process
∙ Regulatory reporting contacts

Large Business (250-999 staff) / BLS Firm Size Classes 7-8

∙ AI incident response plan with regulatory reporting requirements
∙ Legal team involvement

Enterprise (> 1,000 staff) / BLS Firm Size Class 9

∙ Enterprise AI incident response program
∙ Automated regulatory notification workflows
∙ Legal and compliance integration

SCR-CMM

Level 0 Not Performed

Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.

Level 1 Performed Informally

Artificial Intelligence and Autonomous Technology (AAT) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with AAT domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ AAT-related processes are expected to follow the organization's existing processes (e.g., incident response, asset management, change control and risk assessments).
▪ No formal Governance, Risk & Compliance (GRC) team exists to provide AAT oversight, where the Chief Information Officer (CIO), or similar function, governs technology decisions what is acceptable for AAT within the organization.

Level 2 Planned Tracked

Artificial Intelligence and Autonomous Technology (AAT) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with AAT domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with AAT domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with AAT domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Artificial Intelligence (AI)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Asset management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.

Level 3 Well Defined

Artificial Intelligence and Autonomous Technology (AAT) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with AAT domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with AAT domain capabilities are well-documented and kept current by process owners.
▪ An Artificial Intelligence Governance (AIG) team, or similar function, is appropriately staffed and supported to implement and maintain AAT domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of AI governance, risk management and compliance operations (e.g., dedicated AI governance platform).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with AAT domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to report any serious incident involving operational AAT to relevant authorities as to when and where the serious incident occurred, in accordance with mandated reporting timelines.

Level 4 Quantitatively Controlled

Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.

Level 5 Continuously Improving

Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
SCF Serious Incident Reporting For AI & Autonomous Technologies

Description

Mechanisms exist to report any serious incident involving operational Artificial Intelligence (AI) and Autonomous Technologies (AAT) to relevant authorities as to when and where the serious incident occurred, in accordance with mandated reporting timelines.

Possible Solutions & Considerations

Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2

∙ Report serious AI incidents to relevant authorities as required

Small Business (10-49 staff) / BLS Firm Size Classes 3-4

∙ Incident reporting procedure for serious AI incidents

Medium Business (50-249 staff) / BLS Firm Size Classes 5-6

∙ Formal serious AI incident reporting process
∙ Regulatory reporting contacts

Large Business (250-999 staff) / BLS Firm Size Classes 7-8

∙ AI incident response plan with regulatory reporting requirements
∙ Legal team involvement

Enterprise (> 1,000 staff) / BLS Firm Size Class 9

∙ Enterprise AI incident response program
∙ Automated regulatory notification workflows
∙ Legal and compliance integration

SCR-CMM

Level 0 Not Performed

Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.

Level 1 Performed Informally

Artificial Intelligence and Autonomous Technology (AAT) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with AAT domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ AAT-related processes are expected to follow the organization's existing processes (e.g., incident response, asset management, change control and risk assessments).
▪ No formal Governance, Risk & Compliance (GRC) team exists to provide AAT oversight, where the Chief Information Officer (CIO), or similar function, governs technology decisions what is acceptable for AAT within the organization.

Level 2 Planned Tracked

Artificial Intelligence and Autonomous Technology (AAT) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with AAT domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with AAT domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with AAT domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Artificial Intelligence (AI)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Asset management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.

Level 3 Well Defined

Artificial Intelligence and Autonomous Technology (AAT) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with AAT domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with AAT domain capabilities are well-documented and kept current by process owners.
▪ An Artificial Intelligence Governance (AIG) team, or similar function, is appropriately staffed and supported to implement and maintain AAT domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of AI governance, risk management and compliance operations (e.g., dedicated AI governance platform).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with AAT domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to report any serious incident involving operational AAT to relevant authorities as to when and where the serious incident occurred, in accordance with mandated reporting timelines.

Level 4 Quantitatively Controlled

Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.

Level 5 Continuously Improving

Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
SCF Serious Incident Reporting For AI & Autonomous Technologies

Description

Mechanisms exist to report any serious incident involving operational Artificial Intelligence (AI) and Autonomous Technologies (AAT) to relevant authorities as to when and where the serious incident occurred, in accordance with mandated reporting timelines.

Possible Solutions & Considerations

Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2

∙ Report serious AI incidents to relevant authorities as required

Small Business (10-49 staff) / BLS Firm Size Classes 3-4

∙ Incident reporting procedure for serious AI incidents

Medium Business (50-249 staff) / BLS Firm Size Classes 5-6

∙ Formal serious AI incident reporting process
∙ Regulatory reporting contacts

Large Business (250-999 staff) / BLS Firm Size Classes 7-8

∙ AI incident response plan with regulatory reporting requirements
∙ Legal team involvement

Enterprise (> 1,000 staff) / BLS Firm Size Class 9

∙ Enterprise AI incident response program
∙ Automated regulatory notification workflows
∙ Legal and compliance integration

SCR-CMM

Level 0 Not Performed

Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.

Level 1 Performed Informally

Artificial Intelligence and Autonomous Technology (AAT) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with AAT domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ AAT-related processes are expected to follow the organization's existing processes (e.g., incident response, asset management, change control and risk assessments).
▪ No formal Governance, Risk & Compliance (GRC) team exists to provide AAT oversight, where the Chief Information Officer (CIO), or similar function, governs technology decisions what is acceptable for AAT within the organization.

Level 2 Planned Tracked

Artificial Intelligence and Autonomous Technology (AAT) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with AAT domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with AAT domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with AAT domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Artificial Intelligence (AI)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Asset management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.

Level 3 Well Defined

Artificial Intelligence and Autonomous Technology (AAT) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with AAT domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with AAT domain capabilities are well-documented and kept current by process owners.
▪ An Artificial Intelligence Governance (AIG) team, or similar function, is appropriately staffed and supported to implement and maintain AAT domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of AI governance, risk management and compliance operations (e.g., dedicated AI governance platform).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with AAT domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to report any serious incident involving operational AAT to relevant authorities as to when and where the serious incident occurred, in accordance with mandated reporting timelines.

Level 4 Quantitatively Controlled

Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.

Level 5 Continuously Improving

Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
SCF Serious Incident Reporting For AI & Autonomous Technologies

Description

Mechanisms exist to report any serious incident involving operational Artificial Intelligence (AI) and Autonomous Technologies (AAT) to relevant authorities as to when and where the serious incident occurred, in accordance with mandated reporting timelines.

Possible Solutions & Considerations

Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2

∙ Report serious AI incidents to relevant authorities as required

Small Business (10-49 staff) / BLS Firm Size Classes 3-4

∙ Incident reporting procedure for serious AI incidents

Medium Business (50-249 staff) / BLS Firm Size Classes 5-6

∙ Formal serious AI incident reporting process
∙ Regulatory reporting contacts

Large Business (250-999 staff) / BLS Firm Size Classes 7-8

∙ AI incident response plan with regulatory reporting requirements
∙ Legal team involvement

Enterprise (> 1,000 staff) / BLS Firm Size Class 9

∙ Enterprise AI incident response program
∙ Automated regulatory notification workflows
∙ Legal and compliance integration

SCR-CMM

Level 0 Not Performed

Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.

Level 1 Performed Informally

Artificial Intelligence and Autonomous Technology (AAT) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with AAT domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ AAT-related processes are expected to follow the organization's existing processes (e.g., incident response, asset management, change control and risk assessments).
▪ No formal Governance, Risk & Compliance (GRC) team exists to provide AAT oversight, where the Chief Information Officer (CIO), or similar function, governs technology decisions what is acceptable for AAT within the organization.

Level 2 Planned Tracked

Artificial Intelligence and Autonomous Technology (AAT) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with AAT domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with AAT domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with AAT domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Artificial Intelligence (AI)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Asset management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.

Level 3 Well Defined

Artificial Intelligence and Autonomous Technology (AAT) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with AAT domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with AAT domain capabilities are well-documented and kept current by process owners.
▪ An Artificial Intelligence Governance (AIG) team, or similar function, is appropriately staffed and supported to implement and maintain AAT domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of AI governance, risk management and compliance operations (e.g., dedicated AI governance platform).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with AAT domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to report any serious incident involving operational AAT to relevant authorities as to when and where the serious incident occurred, in accordance with mandated reporting timelines.

Level 4 Quantitatively Controlled

Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.

Level 5 Continuously Improving

Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
SCF Serious Incident Reporting For AI & Autonomous Technologies

Description

Mechanisms exist to report any serious incident involving operational Artificial Intelligence (AI) and Autonomous Technologies (AAT) to relevant authorities as to when and where the serious incident occurred, in accordance with mandated reporting timelines.

Possible Solutions & Considerations

Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2

∙ Report serious AI incidents to relevant authorities as required

Small Business (10-49 staff) / BLS Firm Size Classes 3-4

∙ Incident reporting procedure for serious AI incidents

Medium Business (50-249 staff) / BLS Firm Size Classes 5-6

∙ Formal serious AI incident reporting process
∙ Regulatory reporting contacts

Large Business (250-999 staff) / BLS Firm Size Classes 7-8

∙ AI incident response plan with regulatory reporting requirements
∙ Legal team involvement

Enterprise (> 1,000 staff) / BLS Firm Size Class 9

∙ Enterprise AI incident response program
∙ Automated regulatory notification workflows
∙ Legal and compliance integration

SCR-CMM

Level 0 Not Performed

Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.

Level 1 Performed Informally

Artificial Intelligence and Autonomous Technology (AAT) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with AAT domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ AAT-related processes are expected to follow the organization's existing processes (e.g., incident response, asset management, change control and risk assessments).
▪ No formal Governance, Risk & Compliance (GRC) team exists to provide AAT oversight, where the Chief Information Officer (CIO), or similar function, governs technology decisions what is acceptable for AAT within the organization.

Level 2 Planned Tracked

Artificial Intelligence and Autonomous Technology (AAT) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with AAT domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with AAT domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with AAT domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Artificial Intelligence (AI)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Asset management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.

Level 3 Well Defined

Artificial Intelligence and Autonomous Technology (AAT) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with AAT domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with AAT domain capabilities are well-documented and kept current by process owners.
▪ An Artificial Intelligence Governance (AIG) team, or similar function, is appropriately staffed and supported to implement and maintain AAT domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of AI governance, risk management and compliance operations (e.g., dedicated AI governance platform).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with AAT domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to report any serious incident involving operational AAT to relevant authorities as to when and where the serious incident occurred, in accordance with mandated reporting timelines.

Level 4 Quantitatively Controlled

Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.

Level 5 Continuously Improving

Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
SCF Serious Incident Root Cause Analysis (RCA) For AI & Autonomous Technologies

Description

Mechanisms exist to perform an investigation when there is a serious incident involving operational Artificial Intelligence (AI) and Autonomous Technologies (AAT) that documents a:
(1) Root Cause Analysis (RCA);
(2) Risk assessment of the incident; and
(3) Description of corrective actions taken, including measures implemented to prevent a recurrence of the incident.

Possible Solutions & Considerations

Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2

∙ Conduct post-incident review after serious AI incidents

Small Business (10-49 staff) / BLS Firm Size Classes 3-4

∙ Root cause analysis process for serious AI incidents

Medium Business (50-249 staff) / BLS Firm Size Classes 5-6

∙ Formal RCA procedure for AI incidents
∙ Document findings and corrective actions

Large Business (250-999 staff) / BLS Firm Size Classes 7-8

∙ AI incident investigation program with formal RCA methodology
∙ Corrective action tracking

Enterprise (> 1,000 staff) / BLS Firm Size Class 9

∙ Enterprise AI incident management platform
∙ Formal RCA framework (5 Whys, Fishbone)
∙ Corrective action management system

SCR-CMM

Level 0 Not Performed

Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.

Level 1 Performed Informally

SCR-CMM Level 1 criteria definitions are not available for this control:
▪ A reasonable person would conclude this control requires a structured process.
▪ At this level of maturity, the "ad hoc" nature of performing a capability informally would indicate the intent of the control is not met due to a lack of consistency and formality.

Level 2 Planned Tracked

Artificial Intelligence and Autonomous Technology (AAT) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with AAT domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with AAT domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with AAT domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Artificial Intelligence (AI)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Asset management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.

Level 3 Well Defined

Artificial Intelligence and Autonomous Technology (AAT) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with AAT domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with AAT domain capabilities are well-documented and kept current by process owners.
▪ An Artificial Intelligence Governance (AIG) team, or similar function, is appropriately staffed and supported to implement and maintain AAT domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of AI governance, risk management and compliance operations (e.g., dedicated AI governance platform).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with AAT domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to perform an investigation when there is a serious incident involving operational AAT that documents a:
(1) Root Cause Analysis (RCA);
(2) Risk assessment of the incident; and
(3) Description of corrective actions taken, including measures implemented to prevent a recurrence of the incident.

Level 4 Quantitatively Controlled

Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.

Level 5 Continuously Improving

Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.