+Artikkel 5 Tehisintellekti keelatud kasutusviisid
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Artikkel 5 Tehisintellekti keelatud kasutusviisid

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1. Ülevaade

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Artikkel 5 1.

Järgmised tehisintellekti kasutusviisid on keelatud:

a) 

selliste tehisintellektisüsteemide turule laskmine, kasutusele võtmine või kasutamine, milles on kasutatud inimese teadvusest kaugemale ulatuvale alalävisele tajule suunatud võtteid või sihilikult manipuleerivaid või petlikke võtteid, mille eesmärk või tagajärg on isiku või isikute rühma käitumise oluline moonutamine, kahjustades oluliselt nende võimet teha teadlik otsus ja pannes nad seeläbi tegema otsuse, mida nad ei oleks muul juhul teinud, viisil, mis põhjustab või mõistliku tõenäosusega põhjustab sellele isikule, teisele isikule või isikute rühmale olulist kahju;

b) 

selliste tehisintellektisüsteemide turule laskmine, kasutusele võtmine või kasutamine, mis kasutavad ära füüsilise isiku või konkreetse isikute rühma mis tahes haavatavusi, mis tulenevad nende vanusest, puudest või konkreetsest sotsiaalsest või majanduslikust olukorrast ning mille eesmärk või tagajärg on oluliselt moonutada selle isiku või sellesse rühma kuuluva isiku käitumist viisil, mis põhjustab või mõistliku tõenäosusega põhjustab sellele või mõnele teisele isikule olulist kahju;

▼M1

ba) 

sellise tehisintellektisüsteemi turule laskmine, kasutusele võtmine või kasutamine, mis loob või manipuleerib tuvastatava füüsilise isiku intiimsetest kehaosadest või ühemõtteliselt seksuaalses tegevuses osalevast tuvastatavast füüsilisest isikust realistlikke kujutisi, videosid, audio- või samalaadset materjali, ilma et see isik oleks andnud selle loomiseks või manipuleerimiseks vabatahtlikult konkreetse, teadliku, ühemõttelise ja selgesõnalise nõusoleku;

bb) 

sellise tehisintellektisüsteemi turule laskmine, kasutusele võtmine või kasutamine, mis loob või manipuleerib materjali või etteastet direktiivi 2011/93/EL artikli 2 punktide c ja e tähenduses, välja arvatud juhul, kui riigisisese õiguse alusel kohaldatakse õigusvastaselt sooritatud teo kaitset;

▼B

c) 

selliste tehisintellektisüsteemide turule laskmine, kasutusele võtmine või kasutamine, millega hinnatakse või liigitatakse füüsilisi isikuid või isikute rühmi teatava aja jooksul, tuginedes nende sotsiaalsele käitumisele või teadaolevatele, tuletatud või prognoositud isiku- või iseloomuomadustele, kusjuures sotsiaalpunktide tulemuseks on üks või mõlemad järgmisest:

i) 

teatavaid füüsilisi isikuid või isikute rühmi kahjustav või nende suhtes ebasoodne kohtlemine sotsiaalses kontekstis, mis ei ole seotud kontekstiga, milles andmed algselt loodi või koguti;

ii) 

teatavaid füüsilisi isikuid või isikute rühmi kahjustav või nende ebasoodne kohtlemine, mis ei ole põhjendatud või on ebaproportsionaalne võrreldes nende sotsiaalse käitumise või selle kaalukusega;

d) 

tehisintellektisüsteemide turule laskmine või kasutusele võtmine sellel konkreetsel eesmärgil või nende kasutamine füüsiliste isikute riskihindamiste tegemiseks, et hinnata või prognoosida riski, et füüsiline isik paneb toime kuriteo, tuginedes üksnes füüsilise isiku profiilianalüüsile või tema isikuomaduste ja erijoonte hindamisele; seda keeldu ei kohaldata tehisintellektisüsteemide suhtes, mida kasutatakse selleks, et toetada inimhinnangut isiku kuritegelikus tegevuses osalemise kohta, mis juba tugineb kuritegeliku tegevusega otseselt seotud objektiivsetele ja kontrollitavatele faktidele;

e) 

selliste tehisintellektisüsteemide turule laskmine või kasutusele võtmine sellel konkreetsel eesmärgil või nende kasutamine, mis loovad või laiendavad näotuvastuse andmebaase internetist või videovalve salvestistest näokujutiste kindla suunitluseta ekstraheerimise kaudu;

f) 

tehisintellektisüsteemide turule laskmine või kasutusele võtmine sellel konkreetsel eesmärgil või nende kasutamine füüsilise isiku emotsioonide tuletamiseks töökoha ja haridusasutustega seoses, välja arvatud juhul, kui tehisintellektisüsteemi kavatsetakse kasutusele võtta või turule viia meditsiinilistel või ohutusega seotud põhjustel;

g) 

selliste biomeetrilise liigitamise süsteemide turule laskmine või kasutuselevõtmine sellel konkreetsel eesmärgil või nende kasutamine, mis liigitavad füüsilisi isikuid individuaalselt nende biomeetriliste andmete alusel, et tuletada või järeldada nende rassi, poliitilisi vaateid, ametiühingusse kuulumist, usulisi või filosoofilisi veendumusi, seksuaalelu või seksuaalset sättumust; see keeld ei hõlma seaduslikult saadud biomeetriliste andmete, näiteks biomeetrilistel andmetel põhinevate piltide märgistamist või filtreerimist või biomeetriliste andmete kategoriseerimist õiguskaitse valdkonnas;

h) 

avalikult juurdepääsetavas ruumis reaalajas toimuva biomeetrilise kaugtuvastamise süsteemide kasutamine õiguskaitse jaoks, välja arvatud juhul, kui selline kasutamine on vajalik rangelt ainult ühel järgmistest eesmärkidest, ja ainult selleks vajalikus ulatuses:

i) 

konkreetsete inimröövi, inimkaubanduse või seksuaalse ärakasutamise ohvrite sihipärane otsimine ning kadunud isikute otsimine;

ii) 

füüsiliste isikute elu või füüsilist turvalisust ähvardava konkreetse, suure ja vahetu ohu või tegeliku ja olemasoleva või tegeliku ja prognoositava terrorirünnaku ohu ärahoidmine;

iii) 

kuriteo toimepanemises kahtlustatava isiku asukoha kindlaks tegemine või tuvastamine kriminaaluurimise või süüdistuse esitamise või kriminaalkaristuse täitmisele pööramise eesmärgil II lisas osutatud kuritegude eest, mis on asjaomases liikmesriigis karistatavad vabadusekaotuse või vabadust piirava julgeolekumeetmega, mille maksimaalne pikkus on vähemalt neli aastat.

Esimese lõigu punkt h ei piira määruse (EL) 2016/679 artikli 9 kohaldamist biomeetriliste andmete töötlemise suhtes muudel kui õiguskaitse eesmärkidel.
Artikkel 5 1a.

Lõike 1 esimese lõigu punktide ba ja bb kohaldamisel

a) 

on sellise tehisintellektisüsteemi turule laskmine või kasutusele võtmine, mis loob või manipuleerib lõike 1 esimese lõigu punktis ba või bb osutatud materjali või etteastet, keelatud üksnes juhul, kui:

i) 

kõnealune loomine või manipuleerimine on tehisintellektisüsteemi sihtotstarve või

ii) 

süsteemi projekt, treening, arhitektuur, võimed või kasutajale suunatud funktsioonid muudavad kõnealuse loomise või manipuleerimise mõistlikult prognoositavaks ja korratavaks tulemuseks, ilma et oleks vaja teha olulisi tehnilisi muudatusi, ning süsteemil ei ole mõistlikke ja piisavaid tehnilisi ohutusmeetmeid ja muid kaitsemeetmeid, et sellist loomist või manipuleerimist usaldusväärselt vältida, võttes arvesse mõistlikult prognoositavat väärkasutamist, ning täheldatud või teatatud väärkasutamine kõrvaldada;

b) 

on lõike 1 esimese lõigu punktides ba ja bb osutatud materjali või etteastet loova või manipuleeriva tehisintellektisüsteemi kasutamine keelatud üksnes juhul, kui juurutaja kasutab süsteemi sellise materjali või etteaste loomiseks või manipuleerimiseks.
Artikkel 5 1b.
Lõike 1 esimese lõigu punkti ba kohaldamisel ei peeta manipuleerimiseks seda, kui tehisintellektisüsteem manipuleerib materjali viisil, mis ei suurenda kujutatud intiimsete kehaosade eksponeeritust ega muuda kujutatud ühemõtteliselt seksuaalse tegevuse olemust.
Artikkel 5 2.

Kui kasutatakse reaalajas toimuva biomeetrilise kaugtuvastamise süsteemi avalikult juurdepääsetavas ruumis õiguskaitse jaoks ükskõik millisel lõike 1 esimese lõigu punktis h osutatud eesmärgil, toimub kasutus selles punktis sätestatud eesmärkidel üksnes selleks, et kinnitada konkreetselt sihtmärgiks oleva isiku isikusamasust, ning selle puhul võetakse arvesse järgmisi elemente:

a) 

millist laadi on olukord, kus süsteemi võidakse kasutada; eeskätt see, milline oleks kahju raskusaste, tõenäosus ja ulatus juhul, kui süsteemi ei kasutataks;

b) 

millised on süsteemi kasutamise tagajärjed kõigi asjaomaste isikute õiguste ja vabaduste seisukohast; eeskätt see, milline on tagajärgede raskusaste, tõenäosus ja ulatus.

Ühtlasi peab reaalajas toimuva biomeetrilise kaugtuvastamise süsteemi kasutamine avalikult juurdepääsetavas ruumis õiguskaitse jaoks ükskõik millisel käesoleva artikli lõike 1 esimese lõigu punktis h osutatud eesmärgil olema vastavuses kasutamise suhtes kehtivate vajalike ja proportsionaalsete kaitsemeetmete ja tingimustega kooskõlas selle kasutamist lubava siseriikliku õigusega ning seda eeskätt ajaliste, geograafiliste ja isikutega seotud piirangute osas. Reaalajas toimuva biomeetrilise kaugtuvastamise süsteemi kasutamine avalikult juurdepääsetavas ruumis on lubatud üksnes juhul, kui õiguskaitseasutus on viinud lõpule põhiõigustele avalduva mõju hindamise, nagu on sätestatud artiklis 27 ja on registreerinud süsteemi ELi andmebaasis vastavalt artiklile 49. Põhjendatud kiireloomulistel juhtudel võib selliseid süsteeme siiski hakata kasutama ilma neid ELi andmebaasis registreerimata, eeldusel et sellist luba taotletakse põhjendamatu viivituseta.
Artikkel 5 3.
Lõike 1 esimese lõigu punkti h ja lõike 2 kohaldamisel on reaalajas toimuva biomeetrilise kaugtuvastamise süsteemi igaks kasutamiseks avalikult juurdepääsetavas ruumis vaja eelnevat luba, mille annab selle liikmesriigi, kus kasutamine hakkab toimuma, õigusasutus või sõltumatu haldusasutus, kelle otsus on siduv, ja mis antakse põhjendatud taotluse põhjal kooskõlas lõikes 5 osutatud üksikasjalike siseriiklike õigusnormidega. Põhjendatud kiireloomulistel juhtudel võib siiski hakata sellist süsteemi kasutama ilma loata, tingimusel et sellist luba taotletakse põhjendamatu viivituseta ja hiljemalt 24 tunni jooksul. Kui selline luba lükatakse tagasi, lõpetatakse kasutamine viivitamata ning kõik andmed ning selle kasutamise tulemused ja väljundid jäetakse viivitamata kõrvale ja kustutatakse.

Pädev õigusasutus või sõltumatu haldusasutus, kelle otsus on siduv, annab loa üksnes juhul, kui on talle esitatud objektiivsete tõendite või selgete asjaolude põhjal veendunud, et kõnealuse reaalajas toimuva biomeetrilise kaugtuvastamise süsteemi kasutamine on vajalik ja proportsionaalne mõne lõike 1 esimese lõigu punktis h täpsustatud ja taotluses nimetatud eesmärgi saavutamiseks, ning et eelkõige piirdub süsteemi kasutamine sellega, mis on rangelt vajalik seoses ajavahemiku ning geograafilise ja isikulise kohaldamisalaga. Kõnealune asutus võtab taotluse kohta otsuse tegemisel arvesse lõikes 2 osutatud elemente. Ühtki isiku suhtes kahjulikke õiguslikke tagajärgi põhjustavat otsust ei tohi teha üksnes reaalajas toimuva biomeetrilise kaugtuvastamise süsteemi tulemuste põhjal.
Artikkel 5 4.
Ilma et see piiraks lõike 3 kohaldamist, teavitatakse asjaomast turujärelevalveasutust ja riiklikku andmekaitseasutust igast reaalajas toimuva biomeetrilise kaugtuvastamise süsteemi kasutamisest avalikult juurdepääsetavas ruumis õiguskaitse eesmärgil kooskõlas lõikes 5 osutatud siseriiklike õigusnormidega. Teates esitatakse vähemalt lõikes 6 täpsustatud teave ning teade ei sisalda tundlikke operatiivandmeid.
Artikkel 5 5.
Liikmesriik võib otsustada näha ette võimaluse täielikult või osaliselt lubada reaalajas toimuva biomeetrilise kaugtuvastamise süsteemi kasutamist avalikult juurdepääsetavas ruumis õiguskaitse jaoks lõike 1 esimese lõigu punktis h ning lõigetes 2 ja 3 loetletud piirides ja tingimustel. Asjaomased liikmesriigid kehtestavad oma siseriiklikus õiguses lõikes 3 osutatud lubade taotlemise, andmise ja kasutamise ning nende lubadega seotud järelevalve ja aruandluse jaoks vajalikud üksikasjalikud õigusnormid. Kõnealustes õigusnormides tuleb täpsustada, milliste lõike 1 esimese lõigu punktis h loetletud eesmärkide, sealhulgas milliste punkti h alapunktis iii osutatud kuritegude puhul võib anda pädevatele asutustele loa kasutada neid süsteeme õiguskaitse jaoks. Liikmesriigid teatavad nendest õigusnormidest komisjonile hiljemalt 30 päeva jooksul pärast nende vastuvõtmist. Liikmesriigid võivad kooskõlas liidu õigusega kehtestada biomeetrilise kaugtuvastamise süsteemide kasutamise kohta piiravamaid õigusakte.
Artikkel 5 6.
Riiklikud turujärelevalveasutused ja liikmesriikide riiklikud andmekaitseasutused, keda on lõike 4 kohaselt teavitatud reaalajas toimuva biomeetrilise kaugtuvastamise süsteemide kasutamisest avalikult juurdepääsetavas ruumis õiguskaitse eesmärkidel, esitavad komisjonile sellise kasutamise kohta aastaaruanded. Selleks esitab komisjon liikmesriikidele ning riiklikele turujärelevalve- ja andmekaitseasutustele vormi, mis sisaldab teavet pädevate õigusasutuste või sõltumatu haldusasutuse poolt, kelle otsus on siduv, lõike 3 kohaste loataotluste suhtes tehtud otsuste arvu ja nende tulemuste kohta.
Artikkel 5 7.
Komisjon avaldab lõikes 6 osutatud aastaaruannete põhjal aastaaruanded reaalajas toimuva biomeetrilise kaugtuvastamise süsteemide kasutamise kohta avalikult juurdepääsetavates ruumides õiguskaitse eesmärgil, tuginedes liikmesriikide koondandmetele. Nimetatud aastaaruanded ei sisalda asjaomase õiguskaitsealase tegevuse tundlikke operatiivandmeid.
Artikkel 5 8.
Käesolev artikkel ei mõjuta keelde, mida kohaldatakse juhul, kui tehisintellektiga seotud tegevus rikub muud liidu õigust.

1.1 Viited

1.2 Tuvastatud nõuded

1.3 Seotud standardid

2. Tuvastatud nõuded

Nõuded

3. Seotud standardid

Standardid
SCF AI & Autonomous Technologies Conformity

Description

Mechanisms exist to ensure deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT) conform to applicable statutory and regulatory requirements, based on:
(1) Defined use cases;
(2) Geographic markets; and
(3) Use of Intellectual Property (IP).

Possible Solutions & Considerations

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

∙ Review applicable AI regulations before deploying AI tools

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

∙ Legal review of AI deployments for regulatory compliance

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

∙ Formal AI compliance review process
∙ Regulatory mapping (EU AI Act, NIST AI RMF)

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

∙ AI regulatory compliance program
∙ Dedicated compliance review for AI deployments

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

∙ Enterprise AI regulatory compliance framework
∙ Legal and compliance team integration
∙ Automated regulatory tracking
∙ AI Act conformity assessments

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.
▪ AAT is regarded as a technology and governed by the entity's existing IT governance practices.
▪ No formal Governance, Risk & Compliance (GRC) team exists to provide oversight of AAT-related activities. GRC functions are assigned 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 ensure deployed AAT conform to applicable statutory and regulatory requirements, based on:
(1) Defined use cases;
(2) Geographic markets; and
(3) Use of Intellectual Property (IP).

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 Manipulative or Deceptive Techniques

Description

Mechanisms exist to prohibit the sale, deployment and/or use of Artificial Intelligence (AI) and Autonomous Technologies (AAT) that utilize manipulative or deceptive techniques (including biased data) to impair an individual's ability to make a reasonably informed decision.

Possible Solutions & Considerations

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

∙ Policy prohibiting use of AI tools with deceptive/manipulative capabilities

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

∙ AI acceptable use policy prohibiting manipulative AI techniques

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

∙ Formal policy prohibiting manipulative AI
∙ Review process before AI tool adoption

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

∙ AI ethics program
∙ Formal prohibition on manipulative AI
∙ Vendor agreements with ethics requirements

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

∙ Enterprise AI ethics framework
∙ Ethics board review
∙ Regulatory compliance for AI manipulation prohibitions

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 prohibit the sale, deployment and/or use of AAT that utilize manipulative or deceptive techniques (including biased data) to impair an individual's ability to make a reasonably informed decision.

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 Materially Distorting Behaviors

Description

Mechanisms exist to prohibit the sale, deployment and/or use of Artificial Intelligence (AI) and Autonomous Technologies (AAT) that exploit a human subject to materially affect a targeted behavior due to their:
(1) Age;
(2) Disability; or
(3) Specific social or economic situation.

Possible Solutions & Considerations

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

∙ Policy prohibiting AI tools that exploit human vulnerabilities

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

∙ AI acceptable use policy prohibiting exploitative AI behaviors

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

∙ Formal policy prohibiting materially distorting AI
∙ Impact assessment process

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

∙ AI ethics program with formal prohibition
∙ Vendor compliance requirements

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

∙ Enterprise AI ethics framework
∙ Human rights impact assessments
∙ Regulatory compliance mapping

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 prohibit the sale, deployment and/or use of AAT that exploit a human subject to materially affect a targeted behavior due to their:
(1) Age;
(2) Disability; or
(3) Specific social or economic situation.

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 Social Scoring

Description

Mechanisms exist to prohibit the sale, deployment and/or use of Artificial Intelligence (AI) and Autonomous Technologies (AAT) that:
(1) Evaluate human subjects over a certain period of time based on their social behavior or known, inferred or predicted personal or personality characteristics; and
(2) Assign a "social score" branding or equivalent classification.

Possible Solutions & Considerations

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

∙ Policy prohibiting social scoring AI tools

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

∙ AI acceptable use policy prohibiting social scoring

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

∙ Formal prohibition on social scoring AI
∙ Review process before AI adoption

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

∙ AI ethics program with formal prohibition
∙ Legal review for AI deployments

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

∙ Enterprise AI ethics framework
∙ Regulatory compliance (EU AI Act Art. 5)
∙ Automated detection of prohibited practices

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 prohibit the sale, deployment and/or use of AAT that:
(1) Evaluate human subjects over a certain period of time based on their social behavior or known, inferred or predicted personal or personality characteristics; and
(2) Assign a "social score" branding or equivalent classification.

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 Detrimental or Unfavorable Treatment

Description

Mechanisms exist to prohibit the sale, deployment and/or use of Artificial Intelligence (AI) and Autonomous Technologies (AAT) that lead to the detrimental or unfavorable treatment of certain data subjects, or groups of data subjects, in social contexts that is:
(1) Are unrelated to the contexts in which the data was originally generated or collected; and/or
(2) Is unjustified or disproportionate to their social behavior or its gravity.

Possible Solutions & Considerations

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

∙ Policy prohibiting AI tools causing unfair treatment

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

∙ AI acceptable use policy prohibiting discriminatory AI

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

∙ Formal policy on AI fairness and non-discrimination

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

∙ AI fairness program
∙ Bias testing before deployment
∙ Vendor requirements

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

∙ Enterprise AI fairness framework
∙ Automated bias detection tools
∙ Third-party AI audits

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 prohibit the sale, deployment and/or use of AAT that lead to the detrimental or unfavorable treatment of certain data subjects, or groups of data subjects, in social contexts that is:
(1) Are unrelated to the contexts in which the data was originally generated or collected; and/or
(2) Is unjustified or disproportionate to their social behavior or its gravity.

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 Detrimental or Unfavorable Treatment

Description

Mechanisms exist to prohibit the sale, deployment and/or use of Artificial Intelligence (AI) and Autonomous Technologies (AAT) that lead to the detrimental or unfavorable treatment of certain data subjects, or groups of data subjects, in social contexts that is:
(1) Are unrelated to the contexts in which the data was originally generated or collected; and/or
(2) Is unjustified or disproportionate to their social behavior or its gravity.

Possible Solutions & Considerations

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

∙ Policy prohibiting AI tools causing unfair treatment

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

∙ AI acceptable use policy prohibiting discriminatory AI

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

∙ Formal policy on AI fairness and non-discrimination

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

∙ AI fairness program
∙ Bias testing before deployment
∙ Vendor requirements

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

∙ Enterprise AI fairness framework
∙ Automated bias detection tools
∙ Third-party AI audits

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 prohibit the sale, deployment and/or use of AAT that lead to the detrimental or unfavorable treatment of certain data subjects, or groups of data subjects, in social contexts that is:
(1) Are unrelated to the contexts in which the data was originally generated or collected; and/or
(2) Is unjustified or disproportionate to their social behavior or its gravity.

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 Risk and Criminal Profiling

Description

Mechanisms exist to prohibit the sale, deployment and/or use of Artificial Intelligence (AI) and Autonomous Technologies (AAT) that:
(1) Assess the risk of an individual committing a criminal offence; and
(2) Predict risk based solely on the profiling of personality traits and characteristics.

Possible Solutions & Considerations

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

∙ Policy prohibiting criminal risk profiling AI tools

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

∙ AI acceptable use policy prohibiting criminal profiling AI

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

∙ Formal prohibition on AI-based criminal profiling
∙ Legal review

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

∙ AI ethics program with formal prohibition
∙ Legal and compliance review

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

∙ Enterprise AI ethics framework
∙ Regulatory compliance (EU AI Act Art. 5)
∙ Legal review process

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 prohibit the sale, deployment and/or use of AAT that:
(1) Assess the risk of an individual committing a criminal offence; and
(2) Predicts risk based solely on the profiling of personality traits and characteristics.

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 Populating Facial Recognition Databases

Description

Mechanisms exist to prohibit the sale, deployment and/or use of Artificial Intelligence (AI) and Autonomous Technologies (AAT) that create, or expand, facial recognition databases through scraping facial images from:
(1) The Internet; or
(2) Closed-Circuit Television (CCTV) footage.

Possible Solutions & Considerations

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

∙ Policy prohibiting facial recognition database scraping tools

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

∙ AI acceptable use policy prohibiting facial recognition database scraping

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

∙ Formal prohibition on scraping facial recognition databases

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

∙ AI ethics program with formal prohibition
∙ Technical controls to prevent scraping

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

∙ Enterprise AI ethics framework
∙ Technical controls against facial recognition scraping
∙ Regulatory compliance

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 prohibit the sale, deployment and/or use of AAT that create, or expand, facial recognition databases through scraping facial images from:
(1) The Internet; or
(2) Closed-Circuit Television (CCTV) footage.

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 Emotion Inference

Description

Mechanisms exist to prohibit the sale, deployment and/or use of Artificial Intelligence (AI) and Autonomous Technologies (AAT) that infer human emotions of an individual based on observed characteristics.

Possible Solutions & Considerations

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

∙ Policy prohibiting emotion inference AI tools

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

∙ AI acceptable use policy prohibiting emotion inference

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

∙ Formal prohibition on AI emotion inference tools

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

∙ AI ethics program
∙ Prohibition enforced in vendor agreements

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

∙ Enterprise AI ethics framework
∙ Regulatory compliance mapping
∙ Technical controls against emotion inference

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 prohibit the sale, deployment and/or use of AAT that infer human emotions of an individual based on observed characteristics.

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 Biometric Categorization

Description

Mechanisms exist to prohibit the sale, deployment and/or use of Artificial Intelligence (AI) and Autonomous Technologies (AAT) that categorize an individual based on their biometric data to deduce, or infer, the individual's:
(1) Race;
(2) Political opinions;
(3) Trade union membership;
(4) Religious or philosophical beliefs;
(5) Sex life or sexual orientation; and/or
(6) Age.

Possible Solutions & Considerations

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

∙ Policy prohibiting biometric categorization AI tools

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

∙ AI acceptable use policy prohibiting biometric categorization

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

∙ Formal prohibition on biometric categorization AI

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

∙ AI ethics program with formal prohibition
∙ Legal review for biometric technologies

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

∙ Enterprise AI ethics and privacy framework
∙ Regulatory compliance (EU AI Act, GDPR)
∙ Technical controls

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 prohibit the sale, deployment and/or use of AAT that categorize an individual based on their biometric data to deduce, or infer, the individual's:
(1) Race;
(2) Political opinions;
(3) Trade union membership;
(4) Religious or philosophical beliefs;
(5) Sex life or sexual orientation; and/or
(6) Age.

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.