+Articolo 5 Pratiche di IA vietate
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Articolo 5 Pratiche di IA vietate

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1. Panoramica

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Titolo Regolamentazione
Articolo 5 1.

Sono vietate le pratiche di IA seguenti:

a) 

l'immissione sul mercato, la messa in servizio o l'uso di un sistema di IA che utilizza tecniche subliminali che agiscono senza che una persona ne sia consapevole o tecniche volutamente manipolative o ingannevoli aventi lo scopo o l'effetto di distorcere materialmente il comportamento di una persona o di un gruppo di persone, pregiudicando in modo considerevole la loro capacità di prendere una decisione informata, inducendole pertanto a prendere una decisione che non avrebbero altrimenti preso, in un modo che provochi o possa ragionevolmente provocare a tale persona, a un'altra persona o a un gruppo di persone un danno significativo;

b) 

l'immissione sul mercato, la messa in servizio o l'uso di un sistema di IA che sfrutta le vulnerabilità di una persona fisica o di uno specifico gruppo di persone, dovute all'età, alla disabilità o a una specifica situazione sociale o economica, con l'obiettivo o l'effetto di distorcere materialmente il comportamento di tale persona o di una persona che appartiene a tale gruppo in un modo che provochi o possa ragionevolmente provocare a tale persona o a un'altra persona un danno significativo;

▼M1

b bis) 

l'immissione sul mercato, la messa in servizio o l'uso di un sistema di IA che genera o manipola immagini, video e audio realistici o materiale analogo delle parti intime di una persona fisica riconoscibile, o di una persona fisica riconoscibile che partecipi ad atti sessualmente espliciti senza il consenso liberamente prestato, specifico, informato e inequivocabile di tale persona per tale generazione o manipolazione;

b ter) 

l'immissione sul mercato, la messa in servizio o l'uso di un sistema di IA che genera o manipola materiale o spettacoli ai sensi dell'articolo 2, lettere c) ed e), della direttiva 2011/93/UE, salvo nei casi in cui sussista una causa di giustificazione ai sensi del diritto nazionale;

▼B

c) 

l'immissione sul mercato, la messa in servizio o l'uso di sistemi di IAper la valutazione o la classificazione delle persone fisiche o di gruppi di persone per un determinato periodo di tempo sulla base del loro comportamento sociale o di caratteristiche personali o della personalità note, inferite o previste, in cui il punteggio sociale così ottenuto comporti il verificarsi di uno o di entrambi gli scenari seguenti:

i) 

un trattamento pregiudizievole o sfavorevole di determinate persone fisiche o di gruppi di persone in contesti sociali che non sono collegati ai contesti in cui i dati sono stati originariamente generati o raccolti;

ii) 

un trattamento pregiudizievole o sfavorevole di determinate persone fisiche o di gruppi di persone che sia ingiustificato o sproporzionato rispetto al loro comportamento sociale o alla sua gravità;

d) 

l'immissione sul mercato, la messa in servizio per tale finalità specifica o l'uso di un sistema di IA per effettuare valutazioni del rischio relative a persone fisiche al fine di valutare o prevedere il rischio che una persona fisica commetta un reato, unicamente sulla base della profilazione di una persona fisica o della valutazione dei tratti e delle caratteristiche della personalità; tale divieto non si applica ai sistemi di IA utilizzati a sostegno della valutazione umana del coinvolgimento di una persona in un'attività criminosa, che si basa già su fatti oggettivi e verificabili direttamente connessi a un'attività criminosa;

e) 

l'immissione sul mercato, la messa in servizio per tale finalità specifica o l'uso di sistemi di IA che creano o ampliano le banche dati di riconoscimento facciale mediante scraping non mirato di immagini facciali da internet o da filmati di telecamere a circuito chiuso;

f) 

l'immissione sul mercato, la messa in servizio per tale finalità specifica o l'uso di sistemi di IA per inferire le emozioni di una persona fisica nell'ambito del luogo di lavoro e degli istituti di istruzione, tranne laddove l'uso del sistema di IA sia destinato a essere messo in funzione o immesso sul mercato per motivi medici o di sicurezza;

g) 

l'immissione sul mercato, la messa in servizio per tale finalità specifica o l'uso di sistemi di categorizzazione biometrica che classificano individualmente le persone fisiche sulla base dei loro dati biometrici per trarre deduzioni o inferenze in merito a razza, opinioni politiche, appartenenza sindacale, convinzioni religiose o filosofiche, vita sessuale o orientamento sessuale; tale divieto non riguarda l'etichettatura o il filtraggio di set di dati biometrici acquisiti legalmente, come le immagini, sulla base di dati biometrici o della categorizzazione di dati biometrici nel settore delle attività di contrasto;

h) 

l'uso di sistemi di identificazione biometrica remota «in tempo reale» in spazi accessibili al pubblico a fini di attività di contrastoa meno che, e nella misura in cui, tale uso sia strettamente necessario per uno degli obiettivi seguenti:

i) 

la ricerca mirata di specifichevittime di sottrazione, tratta di esseri umani o sfruttamento sessuale di esseri umani, nonché la ricerca di persone scomparse;

ii) 

la prevenzione di una minaccia specifica, sostanziale e imminente per la vita o l'incolumità fisica delle persone fisiche o di una minaccia reale e attuale o reale e prevedibile di un attacco terroristico;

iii) 

lalocalizzazione o l'identificazione di una persona sospettata di aver commesso un reato, ai fini dello svolgimento di un'indagine penale, o dell'esercizio di un'azione penale o dell'esecuzione di una sanzione penale per i reati di cui all'allegato II, punibile nello Stato membro interessato con una pena o una misura di sicurezza privativa della libertà della durata massima di almeno quattro anni.

La lettera h) del primo comma lascia impregiudicato l'articolo 9 del regolamento (UE) 2016/679 per quanto riguarda il trattamento dei dati biometrici a fini diversi dall'attività di contrasto.

Article 5 1a.

For the purposes of paragraph 1, first subparagraph, points (ba) and (bb):

(a) 

the placing on the market or putting into service of an AI system that generates or manipulates the material or performance referred to in paragraph 1, first subparagraph, point (ba) or (bb) is only prohibited where:

(i) 

that generation or manipulation is the intended purpose of the AI system; or

(ii) 

the system’s design, training, architecture, capabilities or user-facing functionalities make that generation or manipulation a reasonably foreseeable and reproducible outcome, without requiring significant technical modification, and the system does not have reasonable and adequate technical safety measures and other safeguards to reliably prevent that generation or manipulation, taking into account reasonably foreseeable misuse, and to correct observed or reported misuse;

(b) 

the use of an AI system that generates or manipulates the material or performance referred to in paragraph 1, first subparagraph, points (ba) and (bb) is only prohibited where the deployer uses the system for the purpose of generating or manipulating such material or performance.

Article 5 1b.
For the purposes of paragraph 1, first subparagraph, point (ba), an AI system that manipulates material in a way that does not increase the exposure of any depicted intimate parts or alter the nature of any depicted sexually explicit activities shall not constitute manipulation.
Articolo 5 2.

L'uso di sistemi di identificazione biometrica remota «in tempo reale» in spazi accessibili al pubblico a fini di attività di contrasto per uno qualsiasi degli obiettivi di cui al paragrafo 1, primo comma, lettera h), è applicato ai fini di cui a tale lettera, solo per confermare l'identità della persona specificamente interessata e tiene conto degli elementi seguenti:

a) 

la natura della situazione che dà luogo al possibile uso, in particolare la gravità, la probabilità e l'entità del danno che sarebbe causato in caso di mancato uso del sistema;

b) 

le conseguenze dell'uso del sistema per i diritti e le libertà di tutte le persone interessate, in particolare la gravità, la probabilità e l'entità di tali conseguenze.

L'uso di sistemi di identificazione biometrica remota «in tempo reale» in spazi accessibili al pubblico a fini di attività di contrasto per uno qualsiasi degli obiettivi di cui al paragrafo 1, primo comma, lettera h), del presente articolo rispetta inoltre le tutele e le condizioni necessarie e proporzionate in relazione all'uso, conformemente al diritto nazionale che autorizza tale uso, in particolare per quanto riguarda le limitazioni temporali, geografiche e personali. L'uso del sistema di identificazione biometrica remota «in tempo reale» in spazi accessibili al pubblico è autorizzato solo se l'autorità di contrasto ha completato una valutazione d'impatto sui diritti fondamentali come previsto all'articolo 27 e ha registrato il sistema nella banca dati UE conformemente all'articolo 49. Tuttavia, in situazioni di urgenza debitamente giustificate, è possibile iniziare a usare tali sistemi senza la registrazione nella banca dati dell'UE, a condizione che tale registrazione sia completata senza indebito ritardo.

Articolo 5 3.
Ai fini del paragrafo 1, primo comma, lettera h), e del paragrafo 2, ogniuso di un sistema di identificazione biometrica remota «in tempo reale» in spazi accessibili al pubblico a fini di attività di contrasto è subordinato a un'autorizzazione preventiva rilasciata da un'autorità giudiziaria oda un'autorità amministrativa indipendente, la cui decisione è vincolante, dello Stato membro in cui deve avvenire l'uso, rilasciata su richiesta motivata e in conformità delle regole dettagliate del diritto nazionale di cui al paragrafo 5. Tuttavia, in una situazione di urgenza debitamente giustificata, è possibile iniziare a usare il sistema senza autorizzazione a condizione che tale autorizzazione sia richiesta senza indebito ritardo, al più tardi entro 24 ore. Se tale autorizzazione è respinta, l'uso è interrotto con effetto immediato e tutti i dati nonché i risultati e gli output di tale uso sono immediatamente eliminati e cancellati.

L'autorità giudiziaria competente o un'autorità amministrativa indipendente la cui decisione è vincolante rilascia l'autorizzazione solo se ha accertato, sulla base di prove oggettive o indicazioni chiare che le sono state presentate, che l'uso del sistema di identificazione biometrica remota «in tempo reale» in questione è necessario e proporzionato al conseguimento di uno degli obiettivi di cui al paragrafo 1, primo comma, lettera h), come indicato nella richiesta e, in particolare, rimane limitato a quanto strettamente necessario per quanto riguarda il periodo di tempo e l'ambito geografico e personale. Nel decidere in merito alla richiesta, tale autorità tiene conto degli elementi di cui al paragrafo 2. Nessuna decisione che produca effetti giuridici negativi su una persona può essere presa unicamente sulla base dell'output del sistema di identificazione biometrica remota «in tempo reale».

Articolo 5 4.
Fatto salvo il paragrafo 3, ogni uso di un sistema di identificazione biometrica remota «in tempo reale» in spazi accessibili al pubblico a fini di attività di contrasto è notificato alla pertinente autorità di vigilanza del mercato e all'autorità nazionale per la protezione dei dati conformemente alle regole nazionali di cui al paragrafo 5. La notifica contiene almeno le informazioni di cui al paragrafo 6 e non include dati operativi sensibili.
Articolo 5 5.
Uno Stato membro può decidere di prevedere la possibilità di autorizzare in tutto o in parte l'uso di sistemi di identificazione biometrica remota «in tempo reale» in spazi accessibili al pubblico a fini di attività di contrasto, entro i limiti e alle condizioni di cui al paragrafo 1, primo comma, lettera h), e ai paragrafi 2 e 3. Gli Stati membri interessati stabiliscono nel proprio diritto nazionale le necessarie regole dettagliate per la richiesta, il rilascio, l'esercizio delle autorizzazioni di cui al paragrafo 3, nonché per le attività di controllo e comunicazione ad esse relative. Tali regole specificano inoltre per quali degli obiettivi elencati al paragrafo 1, primo comma, lettera h), compresi i reati di cui alla lettera h), punto iii), le autorità competenti possono essere autorizzate ad utilizzare tali sistemi a fini di attività di contrasto. Gli Stati membri notificano tali regole alla Commissione al più tardi 30 giorni dopo la loro adozione. Gli Stati membri possono introdurre, in conformità del diritto dell'Unione, disposizioni più restrittive sull'uso dei sistemi di identificazione biometrica remota.
Articolo 5 6.
Le autorità nazionali di vigilanza del mercato e le autorità nazionali per la protezione dei dati degli Stati membri cui è stato notificato l'uso di sistemi di identificazione biometrica remota «in tempo reale» in spazi accessibili al pubblico a fini di attività di contrasto a norma del paragrafo 4, presentano alla Commissione relazioni annuali su tale uso. A tal fine, la Commissione fornisce agli Stati membri e alle autorità nazionali di vigilanza del mercato e di protezione dei dati un modello comprendente informazioni sul numero di decisioni che le autorità giudiziarie competenti, o un'autorità amministrativa indipendente la cui decisione è vincolante, hanno adottato in risposta alle richieste di autorizzazione a norma del paragrafo 3 e il loro esito.
Articolo 5 7.
La Commissione pubblica relazioni annuali sull'uso di sistemi di identificazione biometrica remota «in tempo reale» in spazi accessibili al pubblico a fini di attività di contrasto, fondate sui dati aggregati negli Stati membri sulla base delle relazioni annuali di cui al paragrafo 6. Tali relazioni annuali non includono dati operativi sensibili delle relative attività di contrasto.
Articolo 5 8.
Il presente articolo lascia impregiudicati i divieti che si applicano qualora una pratica di IA violi altre disposizioni di diritto dell'Unione.

1.1 Riferimenti

1.2 Requisiti identificati

1.3 Standard correlati

2. Requisiti identificati

Requisiti
Fonte Requisito

3. Standard correlati

Standard
Fonte Requisito
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.