+Artikolu 52 Proċedura
---+Artikolu 52 1.
---+Artikolu 52 2.
---+Artikolu 52 3.
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Artikolu 52 Proċedura
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1. Ħarsa ġenerali
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Regolamentazzjoni |
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Artikolu 52 1.
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Meta mudell tal-IA bi skop ġenerali jissodisfa l-kundizzjoni msemmija fl-Artikolu 51(1), il-punt (a), il-fornitur rilevanti għandu jinnotifika lill-Kummissjoni mingħajr dewmien u fi kwalunkwe każ fi żmien ġimagħtejn wara li jiġi ssodisfat dak ir-rekwiżit jew isir magħruf li ser jiġi ssodisfat. Dik in-notifika għandha tinkludi l-informazzjoni meħtieġa biex jintwera li r-rekwiżit rilevanti ġie ssodisfat. Jekk il-Kummissjoni ssir taf b'mudell tal-IA bi skop ġenerali li jippreżenta riskji sistemiċi li ma tkunx ġiet innotifikata bihom, tista' tiddeċiedi li tiddeżinjah bħala mudell b'riskju sistemiku.
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Artikolu 52 2.
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Il-fornitur ta' mudell tal-IA bi skop ġenerali li jissodisfa l-kondizzjonijiet msemmija fl-Artikolu 51(1), il-punt (a), jista' jippreżenta, flimkien man-notifika tiegħu, argumenti sostanzjati biżżejjed biex juri li, b'mod eċċezzjonali, għalkemm jissodisfa dak ir-rekwiżit, il-mudell tal-IA bi skop ġenerali ma jippreżentax, minħabba l-karatteristiċi speċifiċi tiegħu, riskji sistemiċi u għalhekk jenħtieġ li ma jiġix ikklassifikat bħala mudell tal-IA bi skop ġenerali b'riskju sistemiku.
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Artikolu 52 3.
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Meta l-Kummissjoni tikkonkludi li l-argumenti ppreżentati skont il-paragrafu 2 ma jkunux sostanzjati biżżejjed u l-fornitur rilevanti ma kienx kapaċi juri li l-mudell tal-IA bi skop ġenerali ma jippreżentax, minħabba l-karatteristiċi speċifiċi tiegħu, riskji sistemiċi, hija għandha tirrifjuta dawk l-argumenti u l-mudell tal-IA bi skop ġenerali għandu jitqies li hu mudell tal-IA bi skop ġenerali b'riskju sistemiku.
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Artikolu 52 4.
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Il-Kummissjoni tista' tiddeżinja mudell tal-IA bi skop ġenerali bħala li jippreżenta riskji sistemiċi, ex officio jew wara allert kwalifikat mill-bord skont l-Artikolu 90(1), il-punt (a), abbażi tal-kriterji stipulati fl-Anness XIII. Il-Kummissjoni għandha s-setgħa li tadotta atti delegati skont l-Artikolu 97 sabiex temenda l-Anness XIII billi tispeċifika u taġġorna l-kriterji stipulati f’dak l-Anness.
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Artikolu 52 5.
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Fuq talba motivata ta' fornitur li l-mudell tiegħu jkun ġie ddeżinjat bħala mudell tal-IA bi skop ġenerali b'riskju sistemiku skont il-paragrafu 4, il-Kummissjoni għandha tqis it-talba u tista' tiddeċiedi li tivvaluta mill-ġdid jekk il-mudell tal-IA bi skop ġenerali għadux jista' jitqies li jippreżenta riskji sistemiċi abbażi tal-kriterji stipulati fl-Anness XIII. Tali talba għandu jkun fiha raġunijiet oġġettivi, dettaljati u ġodda li jkunu ħargu minn wara dakinhar li saret id-deċiżjoni tad-deżinjazzjoni. Il-fornituri jistgħu jitolbu rivalutazzjoni mhux qabel sitt xhur wara d-deċiżjoni tad-deżinjazzjoni. Meta l-Kummissjoni, wara r-rivalutazzjoni tagħha, tiddeċiedi li żżomm id-deżinjazzjoni bħala mudell tal-IA bi skop ġenerali b'riskju sistemiku, il-fornituri jistgħu jitolbu rivalutazzjoni mhux qabel sitt xhur wara dik id-deċiżjoni.
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Artikolu 52 6.
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Il-Kummissjoni għandha tiżgura li tiġi ppubblikata lista ta' mudelli tal-IA bi skop ġenerali b'riskju sistemiku u għandha żżomm dik il-lista aġġornata, mingħajr preġudizzju għall-ħtieġa li jiġu rrispettati u protetti d-drittijiet tal-proprjetà intellettwali u l-informazzjoni kummerċjali riżervata jew is-sigrieti kummerċjali f'konformità mal-liġi tal-Unjoni u dak nazzjonali.
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1.1 Referenzi
1.2 Rekwiżiti identifikati
1.3 Standards relatati
2. Rekwiżiti identifikati
3. Standards relatati
Standards
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Rekwiżit |
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SCF
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AI & Autonomous Technologies Registration
Description
Mechanisms exist to maintain a current registration for Artificial Intelligence (AI) and Autonomous Technologies (AAT) with the appropriate governing body, as required by statutory or regulatory requirements.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Determine whether any AI use requires registration (e.g., EU AI Act high-risk systems)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Track AI registration obligations by jurisdiction in compliance checklist
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Register high-risk AI systems with relevant authorities as required
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ AI registration compliance program
∙ Track registration requirements by jurisdiction
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise AI regulatory compliance platform
∙ Automated registration tracking
∙ EU AI Act database registration 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
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.
▪ 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
Compliance (CPL) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CPL domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CPL domain capabilities are well-documented and kept current by process owners.
▪ A Governance, Risk & Compliance (GRC) team, or similar function, is appropriately staffed and supported to implement and maintain CPL domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of governance, risk management and compliance operations (e.g., GRC platform).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CPL domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to maintain a current registration for AAT with the appropriate governing body, as required by statutory or regulatory requirements.
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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SCF
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AI & Autonomous Technologies Registration
Description
Mechanisms exist to maintain a current registration for Artificial Intelligence (AI) and Autonomous Technologies (AAT) with the appropriate governing body, as required by statutory or regulatory requirements.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Determine whether any AI use requires registration (e.g., EU AI Act high-risk systems)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Track AI registration obligations by jurisdiction in compliance checklist
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Register high-risk AI systems with relevant authorities as required
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ AI registration compliance program
∙ Track registration requirements by jurisdiction
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Enterprise AI regulatory compliance platform
∙ Automated registration tracking
∙ EU AI Act database registration 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
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.
▪ 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
Compliance (CPL) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with CPL domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with CPL domain capabilities are well-documented and kept current by process owners.
▪ A Governance, Risk & Compliance (GRC) team, or similar function, is appropriately staffed and supported to implement and maintain CPL domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of governance, risk management and compliance operations (e.g., GRC platform).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with CPL domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to maintain a current registration for AAT with the appropriate governing body, as required by statutory or regulatory requirements.
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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