+Artículo 92 Poderes para realizar evaluaciones
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Artículo 92 Poderes para realizar evaluaciones
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1. Resumen
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Regulación |
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Artículo 92 1.
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La Oficina de IA, previa consulta al Consejo de IA, podrá realizar evaluaciones del modelo de IA de uso general de que se trate con el fin de:
a)
evaluar si el proveedor cumple sus obligaciones en virtud del presente Reglamento, cuando la información recabada con arreglo al artículo 91 resulte insuficiente, o
b)
investigar riesgos sistémicos a escala de la Unión de modelos de IA de uso general con riesgo sistémico, en particular a raíz de una alerta cualificada del grupo de expertos científicos de conformidad con el artículo 90, apartado 1, letra a).
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Artículo 92 2.
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La Comisión podrá decidir nombrar a expertos independientes para que realicen las evaluaciones en su nombre, también expertos científicos del grupo establecido de conformidad con el artículo 68. Los expertos independientes que se nombren para realizar estas tareas cumplirán los criterios establecidos en el artículo 68, apartado 2.
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Artículo 92 3.
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A los efectos del apartado 1, la Comisión podrá solicitar el acceso al modelo de IA de uso general de que se trate a través de API o de otros medios y herramientas técnicos adecuados, como, por ejemplo, el código fuente.
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Artículo 92 4.
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La solicitud de acceso indicará la base jurídica, la finalidad y los motivos de la solicitud, y fijará el plazo durante el que deberá facilitarse el acceso y las multas que se establecen en el artículo 101 por no facilitarlo.
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Artículo 92 5.
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Los proveedores del modelo de IA de uso general interesados o su representante facilitarán la información solicitada. En caso de que se trate de personas jurídicas, sociedades o empresas, o cuando el proveedor carezca de personalidad jurídica, las personas habilitadas por ley o por sus estatutos para representarlas, facilitarán el acceso solicitado en nombre del proveedor del modelo de IA de uso general interesado.
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Artículo 92 6.
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La Comisión adoptará actos de ejecución en los que se establezcan las modalidades detalladas y las condiciones de las evaluaciones, incluidas las disposiciones detalladas para la participación de expertos independientes y el procedimiento para su selección. Dichos actos de ejecución se adoptarán de conformidad con el procedimiento de examen a que se refiere el artículo 98, apartado 2.
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Artículo 92 7.
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Antes de solicitar el acceso al modelo de IA de uso general de que se trate, la Oficina de IA podrá entablar un diálogo estructurado con el proveedor del modelo de IA de uso general para recabar más información sobre los ensayos internos del modelo, las salvaguardias internas para prevenir los riesgos sistémicos y otros procedimientos y medidas internos que el proveedor haya adoptado para mitigar tales riesgos.
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1.1 Referencias
1.2 Requisitos identificados
1.3 Estándares relacionados
2. Requisitos identificados
Requisitos
| Fuente |
Requisito |
3. Estándares relacionados
Estándares
| Fuente |
Requisito |
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SCF
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Legal Assessment of Investigative Inquires
Description
Mechanisms exist to determine whether a government agency has an applicable and valid legal basis to request data from the organization and what further steps need to be taken, if necessary.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Legal review
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Legal review
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Legal review
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Legal review
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Legal review
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
Compliance (CPL) 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 CPL domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CPL 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 CPL domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Compliance management controls-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Compliance management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ External compliance requirements for cybersecurity and data privacy are identified and documented, based on applicable laws, regulations and contractual obligations.
▪ IT and/or cybersecurity personnel work with the organization's legal counsel for guidance on how to respond to legal orders (e.g., court orders and investigations).
Level 3 Well Defined
Compliance (CPL) 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 CPL 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 CPL domain capabilities are well-documented and kept current by process owners.
▪ A Governance, Risk & Compliance (GRC) team, or similar function, is appropriately staffed and supported to implement and maintain CPL domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of governance, risk management and compliance operations (e.g., GRC 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 CPL 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 determine whether a government agency has an applicable and valid legal basis to request data from the organization and what further steps need to be taken, if necessary.
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.
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SCF
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Legal Assessment of Investigative Inquires
Description
Mechanisms exist to determine whether a government agency has an applicable and valid legal basis to request data from the organization and what further steps need to be taken, if necessary.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Legal review
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Legal review
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Legal review
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Legal review
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Legal review
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
Compliance (CPL) 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 CPL domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with CPL 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 CPL domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Compliance management controls-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Compliance management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ External compliance requirements for cybersecurity and data privacy are identified and documented, based on applicable laws, regulations and contractual obligations.
▪ IT and/or cybersecurity personnel work with the organization's legal counsel for guidance on how to respond to legal orders (e.g., court orders and investigations).
Level 3 Well Defined
Compliance (CPL) 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 CPL 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 CPL domain capabilities are well-documented and kept current by process owners.
▪ A Governance, Risk & Compliance (GRC) team, or similar function, is appropriately staffed and supported to implement and maintain CPL domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of governance, risk management and compliance operations (e.g., GRC 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 CPL 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 determine whether a government agency has an applicable and valid legal basis to request data from the organization and what further steps need to be taken, if necessary.
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.
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