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+AI TEVV Third-Party Risk Management |
AI TEVV Third-Party Risk ManagementDescriptionMechanisms exist to assess, approve and continuously monitor third-party Artificial Intelligence (AI) and Autonomous Technologies (AAT):(1) Components; (2) Application Programming Interfaces (APIs); and/or (3) Services used by AI agents for security, privacy and compliance. Possible Solutions & ConsiderationsMicro-Small Business (<10 staff) / BLS Firm Size Classes 1-2∙ Review third-party AI components before useSmall Business (10-49 staff) / BLS Firm Size Classes 3-4∙ Vendor assessment for third-party AI components and APIsMedium Business (50-249 staff) / BLS Firm Size Classes 5-6∙ Third-party AI component risk assessment process∙ Ongoing monitoring policy Large Business (250-999 staff) / BLS Firm Size Classes 7-8∙ Formal TPRM program for AI vendors∙ API security testing ∙ Continuous monitoring of third-party AI Enterprise (> 1,000 staff) / BLS Firm Size Class 9∙ Enterprise TPRM platform (e.g., OneTrust, BitSight)∙ Automated third-party AI monitoring ∙ Supply chain security for AI components SCR-CMMLevel 0 Not PerformedPractices 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 InformallyArtificial 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 TrackedSCR-CMM Level 2 criteria definitions are not available for this control:▪ A reasonable person would conclude a well-defined and standardized process is required. ▪ At this level of maturity, the “requirements-driven” nature of performing the control is focused on a localized and/or regionalized implementation, not uniform and consistent across the organization. ▪ Requirements are narrowly scoped for applicability and are primarily derived from compliance obligations (e.g., laws, regulations and contracts). Level 3 Well DefinedArtificial 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 assess, approve and continuously monitor third-party AAT: (1) Components; (2) Application Programming Interfaces (APIs); and/or (3) Services used by AI agents for security, privacy and compliance. Level 4 Quantitatively ControlledUtilize 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 ImprovingUtilize 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. 1. Panoramica
1.1 Riferimenti1.2 Requisiti identificati1.3 Regolamentazioni correlate2. Requisiti identificati
3. Regolamentazioni correlate
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