Documentation
Specification
Develop, identify, and acquire documentation, both internally and from external parties, that is relevant to support the business continuity and operational resilience programs. Make the documentation available to authorized stakeholders and review at least annually or upon significant changes.
Threat coverage
Architectural relevance
Lifecycle
Data storage, Resource provisioning, Team and expertise
Not applicable
Not applicable
AI Services supply chain, AI applications
Operations, Maintenance, Continuous monitoring
Archiving, Data deletion, Model disposal
Ownership / SSRM
PI
Owned by the Cloud Service Provider (CSP)
The Cloud Service Provider (CSP) is responsible for the design, development, implementation, and enforcement of the control to mitigate security, privacy, or compliance risks associated with cloud computing (processing, storage, and networking) technologies in the context of the services or products they develop and offer. The CSP is responsible and accountable for implementing the control within its own infrastructure/environment. The CSP is responsible for enabling the customer and/or upstream partner to implement/configure the control within their risk management approach. The CSP is accountable for ensuring that its providers upstream implement the control related to the service/product developed and offered by the CSP.
Model
Owned by the Model Provider (MP)
The model provider (MP) designs, develops, and implements the control as part of their services or products to mitigate security, privacy, or compliance risks associated with the Large Language Model (LLM). Model Providers are entities that develop, train, and distribute foundational and fine-tuned AI models for various applications. They create the underlying AI capabilities that other actors build upon. Model Providers are responsible for model architecture, training methodologies, performance characteristics, and documentation of capabilities and limitations. They operate at the foundation layer of the AI stack and may provide direct API access to their models. Examples: OpenAI (GPT, DALL-E, Whisper), Anthropic(Claude), Google(Gemini), Meta(Llama), as well as any customized model.
Orchestrated
Shared Model Provider-Orchestrated Service Provider (Shared MP-OSP)
The MP and OSP are jointly responsible and accountable for the design, development, implementation, and enforcement of the control to mitigate security, privacy, or compliance risks associated with Large Language Model (LLM)/GenAI technologies in the context of the services or products they develop and offer.
Application
Owned by the Application Provider (AP)
The Application Provider (AP) is responsible for the design, development, implementation, and enforcement of the control to mitigate security, privacy, or compliance risks associated with Large Language Model (LLM)/GenAI technologies in the context of the services or products they develop and offer. The AP is responsible and accountable for the implementation of the control within its own infrastructure/environment. If the control has downstream implications on the users/customers, the AP is responsible for enabling the customer and/or upstream partner in the implementation/configuration of the control within their risk management approach. The AP is accountable for carrying out the due diligence on its upstream providers (e.g MPs, Orchestrated Services) to verify that they implement the control as it relates to the service/product develop and offered by the AP. These providers build and offer end-user applications that leverage generative AI models for specific tasks such as content creation, chatbots, code generation, and enterprise automation. These applications are often delivered as software-as-a-service (SaaS) solutions. These providers focus on user interfaces, application logic, domain-specific functionality, and overall user experience rather than underlying model development. Example: OpenAI (GPTs,Assistants), Zapier, CustomGPT, Microsoft Copilot (integrated into Office products), Jasper (AI-driven content generation), Notion AI (AI-enhanced productivity tools), Adobe Firefly (AI-generated media), and AI-powered customer service solutions like Amazon Rufus, as well as any organization that develops its AI-based application internally.
Implementation guidelines
Auditing guidelines
1. Verify that documentation supporting cloud service continuity (especially AI platform services) is maintained and regularly updated. 2. Confirm inclusion of infrastructure diagrams, zone/region failover strategies, and recovery timelines. 3. Check that CSP documentation covers service-level agreements, support models, and business continuity roles. 4. Ensure documentation is available to enterprise AI tenants upon request, subject to NDA or contractual agreement. 5. Validate that documentation incorporates input from infrastructure, service delivery, and customer support teams. 6. Confirm that key documentation artifacts (e.g., DR test results, audit logs, incident response procedures) are stored securely and access-controlled. 7. Ensure documentation is reviewed annually and updated based on changes to AI service architecture or regional availability.
Standards mappings
ISO 42001: A.4.2 (Resource documentation) ISO 42001: A.4.3 (Data resources) ISO 42001: A.4.4 (Tooling resources)
Addendum
N/A
Article 15 (4) Article 9 (6) Article 17 Annex IV
Addendum
Business continuity documentation, external document integration, internal stakeholder access provisions, scheduled review processes.
MP-2.3-002 GV-4.2-003
Addendum
Revise documentation requirements to explicitly include all artifacts related to business continuity and operational resilience—including plans and procedures with periodic review cycles.
BCM-03
Addendum
N/A
AI-CAIQ questions (2)
Is relevant documentation, both internal and from external parties, for supporting the business continuity and operational resilience programs, developed, identified, and acquired?
Is the documentation available to authorized stakeholders and reviewed at least annually or upon significant changes.?