+Člen 73 Poročanje o resnih incidentih
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Člen 73 Poročanje o resnih incidentih

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1. Pregled

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Člen 73 1.
Ponudniki visokotveganih sistemov UI, ki so dani na trg Unije, organom za nadzor trga držav članic, v katerih je prišlo do navedenega incidenta, poročajo o vsakem resnem incidentu.
Člen 73 2.
Poročilo iz odstavka 1 se sestavi takoj, ko ponudnik ugotovi obstoj vzročne zveze med sistemom UI in resnim incidentom ali razumno verjetnost take zveze, v vsakem primeru pa najpozneje 15 dni po tem, ko ponudnik ali, kadar je ustrezno, uvajalec izve za resen incident.

Pri roku za poročanje iz prvega pododstavka se upošteva resnost incidenta.
Člen 73 3.
Ne glede na odstavek 2 tega člena se v primeru močno razširjene kršitve ali resnega incidenta, kakor je opredeljen v členu 3, točka 49(b), poročilo iz odstavka 1 predloži nemudoma, najpozneje pa dva dni po tem, ko ponudnik ali, kadar je ustrezno, uvajalec izve za ta incident.
Člen 73 4.
Ne glede na odstavek 2 se v primeru smrti osebe poročilo predloži takoj, ko ponudnik ali uvajalec ugotovi ali posumi, da obstaja vzročna zveza med visokotveganim sistemom UI in resnim incidentom, vendar najpozneje 10 dni po datumu, ko ponudnik ali, kadar je ustrezno, uvajalec izve za resen incident.
Člen 73 5.
Kadar je to potrebno zaradi pravočasnega poročanja, lahko ponudnik ali, kadar je ustrezno, uvajalec najprej predloži nepopolno začetno poročilo, nato pa predloži še popolnega.
Člen 73 6.
Po poročanju o resnem incidentu na podlagi odstavka 1 ponudnik nemudoma izvede potrebne preiskave v zvezi z resnim incidentom in zadevnim sistemom UI. To vključuje oceno tveganja incidenta in ►C1  korektivne ukrepe ◄ .

Ponudnik med preiskavami iz prvega pododstavka sodeluje s pristojnimi organi in po potrebi z zadevnim priglašenim organom ter brez predhodne obvestitve pristojnih organov ne izvede nobene raziskave, ki vključuje spremembo zadevnega sistema UI na način, ki bi lahko vplival na poznejšo oceno vzrokov za incident.
Člen 73 7.
Zadevni organ za nadzor trga po prejemu uradnega obvestila o resnem incidentu iz člena 3, točka 49(c), obvesti nacionalne javne organe ali telesa iz člena 77(1). Komisija pripravi posebne smernice za lažje izpolnjevanje obveznosti iz odstavka 1 tega člena. Navedene smernice se izdajo do 2. avgusta 2025 in se redno ocenjujejo.
Člen 73 8.
Organ za nadzor trga sprejme ustrezne ukrepe, kot je določeno v členu 19 Uredbe (EU) 2019/1020, v sedmih dneh od datuma prejema uradnega obvestila iz odstavka 1 tega člena in upošteva postopke uradnega obveščanja iz navedene uredbe.
Člen 73 9.
Za visokotvegane sisteme UI iz Priloge III, ki jih dajejo na trg ali v uporabo ponudniki, za katere veljajo zakonodajni instrumenti Unije, v katerih so določene obveznosti glede poročanja, enakovredne tistim iz te uredbe, se uradno obveščanje o resnih incidentih zahteva le za incidente iz člena 3, točka 49(c).
Člen 73 10.
Za visokotvegane sisteme UI, ki so varnostne komponente pripomočkov ali so sami pripomočki, zajeti v uredbah (EU) 2017/745 in (EU) 2017/746, je uradno obvestilo o resnih incidentih omejeno na tiste iz člena 3, točka 49(c), te uredbe in se pošlje pristojnemu nacionalnemu organu, ki ga v ta namen izberejo države članice, v katerih se je navedeni incident zgodil.
Člen 73 11.
Pristojni nacionalni organi v skladu s členom 20 Uredbe (EU) 2019/1020 nemudoma uradno obvestijo Komisijo o vsakem resnem incidentu, ne glede na to, ali so v zvezi z njim ukrepali ali ne.

1.1 Sklici

1.2 Ugotovljene zahteve

1.3 Povezani standardi

2. Ugotovljene zahteve

Zahteve

3. Povezani standardi

Standardi
SCF Serious Incident Reporting For AI & Autonomous Technologies

Description

Mechanisms exist to report any serious incident involving operational Artificial Intelligence (AI) and Autonomous Technologies (AAT) to relevant authorities as to when and where the serious incident occurred, in accordance with mandated reporting timelines.

Possible Solutions & Considerations

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

∙ Report serious AI incidents to relevant authorities as required

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

∙ Incident reporting procedure for serious AI incidents

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

∙ Formal serious AI incident reporting process
∙ Regulatory reporting contacts

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

∙ AI incident response plan with regulatory reporting requirements
∙ Legal team involvement

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

∙ Enterprise AI incident response program
∙ Automated regulatory notification workflows
∙ Legal and compliance integration

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 report any serious incident involving operational AAT to relevant authorities as to when and where the serious incident occurred, in accordance with mandated reporting timelines.

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 Serious Incident Reporting For AI & Autonomous Technologies

Description

Mechanisms exist to report any serious incident involving operational Artificial Intelligence (AI) and Autonomous Technologies (AAT) to relevant authorities as to when and where the serious incident occurred, in accordance with mandated reporting timelines.

Possible Solutions & Considerations

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

∙ Report serious AI incidents to relevant authorities as required

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

∙ Incident reporting procedure for serious AI incidents

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

∙ Formal serious AI incident reporting process
∙ Regulatory reporting contacts

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

∙ AI incident response plan with regulatory reporting requirements
∙ Legal team involvement

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

∙ Enterprise AI incident response program
∙ Automated regulatory notification workflows
∙ Legal and compliance integration

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 report any serious incident involving operational AAT to relevant authorities as to when and where the serious incident occurred, in accordance with mandated reporting timelines.

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 Serious Incident Reporting For AI & Autonomous Technologies

Description

Mechanisms exist to report any serious incident involving operational Artificial Intelligence (AI) and Autonomous Technologies (AAT) to relevant authorities as to when and where the serious incident occurred, in accordance with mandated reporting timelines.

Possible Solutions & Considerations

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

∙ Report serious AI incidents to relevant authorities as required

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

∙ Incident reporting procedure for serious AI incidents

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

∙ Formal serious AI incident reporting process
∙ Regulatory reporting contacts

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

∙ AI incident response plan with regulatory reporting requirements
∙ Legal team involvement

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

∙ Enterprise AI incident response program
∙ Automated regulatory notification workflows
∙ Legal and compliance integration

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 report any serious incident involving operational AAT to relevant authorities as to when and where the serious incident occurred, in accordance with mandated reporting timelines.

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 Serious Incident Reporting For AI & Autonomous Technologies

Description

Mechanisms exist to report any serious incident involving operational Artificial Intelligence (AI) and Autonomous Technologies (AAT) to relevant authorities as to when and where the serious incident occurred, in accordance with mandated reporting timelines.

Possible Solutions & Considerations

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

∙ Report serious AI incidents to relevant authorities as required

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

∙ Incident reporting procedure for serious AI incidents

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

∙ Formal serious AI incident reporting process
∙ Regulatory reporting contacts

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

∙ AI incident response plan with regulatory reporting requirements
∙ Legal team involvement

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

∙ Enterprise AI incident response program
∙ Automated regulatory notification workflows
∙ Legal and compliance integration

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 report any serious incident involving operational AAT to relevant authorities as to when and where the serious incident occurred, in accordance with mandated reporting timelines.

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 Serious Incident Reporting For AI & Autonomous Technologies

Description

Mechanisms exist to report any serious incident involving operational Artificial Intelligence (AI) and Autonomous Technologies (AAT) to relevant authorities as to when and where the serious incident occurred, in accordance with mandated reporting timelines.

Possible Solutions & Considerations

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

∙ Report serious AI incidents to relevant authorities as required

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

∙ Incident reporting procedure for serious AI incidents

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

∙ Formal serious AI incident reporting process
∙ Regulatory reporting contacts

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

∙ AI incident response plan with regulatory reporting requirements
∙ Legal team involvement

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

∙ Enterprise AI incident response program
∙ Automated regulatory notification workflows
∙ Legal and compliance integration

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 report any serious incident involving operational AAT to relevant authorities as to when and where the serious incident occurred, in accordance with mandated reporting timelines.

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 Serious Incident Root Cause Analysis (RCA) For AI & Autonomous Technologies

Description

Mechanisms exist to perform an investigation when there is a serious incident involving operational Artificial Intelligence (AI) and Autonomous Technologies (AAT) that documents a:
(1) Root Cause Analysis (RCA);
(2) Risk assessment of the incident; and
(3) Description of corrective actions taken, including measures implemented to prevent a recurrence of the incident.

Possible Solutions & Considerations

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

∙ Conduct post-incident review after serious AI incidents

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

∙ Root cause analysis process for serious AI incidents

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

∙ Formal RCA procedure for AI incidents
∙ Document findings and corrective actions

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

∙ AI incident investigation program with formal RCA methodology
∙ Corrective action tracking

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

∙ Enterprise AI incident management platform
∙ Formal RCA framework (5 Whys, Fishbone)
∙ Corrective action management system

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 perform an investigation when there is a serious incident involving operational AAT that documents a:
(1) Root Cause Analysis (RCA);
(2) Risk assessment of the incident; and
(3) Description of corrective actions taken, including measures implemented to prevent a recurrence of the incident.

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.