Secure Area Policy and Procedures
Specification
Establish, document, approve, communicate, apply, evaluate and maintain policies and procedures for maintaining a safe and secure working environment in offices, rooms, and facilities. Review and update the policies and procedures at least annually, or upon significant changes.
Threat coverage
Architectural relevance
Lifecycle
Data storage, Resource provisioning, Team and expertise
Not applicable
Not applicable
Orchestration, AI Services supply chain
Operations, Maintenance
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
Shared Orchestrated Service Provider-Application Provider (Shared OSP-AP)
The OSP and AP 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.
Implementation guidelines
Auditing guidelines
1. Examine the organization's policy and procedures related to physical areas under the organization's control. 2. Determine if policy has been approved, communicated, and reviewed.
Standards mappings
42001: A.2.2 AI Policy 42001: A.2.3 Alignment with other organizational policies 42001: A.2.4 Review of the AI Policy 27001: 5.1 Leadership and Commitment 27001: 5.2 Policy 27001: 7.3 Awareness 27001: 7.4 Communication 27001: 7.5 (7.5.1 to 7.5.3) Documentation Information 27001: 9.1 Monitoring measurement analysis and evaluation 27001: 9.3 Management review 27001: A.5.1 Policies for information security 27001: A.5.4 Management responsibilities 27001: A.7.1 Physical security perimeters 27001: A.7.2 Physical entry 27001: A.7.1 Securing offices rooms and facilities 27001: A.7.4 Physical security monitoring 27002: 7.1 Physical Security perimeters 27002: 7.2 Physical entry 27002: 7.3 Securing offices rooms and facilities 27002: 7.4 Physical security monitoring
Addendum
Include dedicated, enforceable controls for physical security of AI environments, including: Physical perimeters and entry controls Office and facility security measures Monitoring and surveillance Formal lifecycle reviews of these controls
No Mapping
Addendum
The AICM DCS-03 control is not covered in the EU AI Act
No Mapping
Addendum
No controls are established to create policies and procedures for maintaining a safe and secure working environment that includes offices, rooms, and facilities.
AM-02 PS-01
Addendum
N/A
AI-CAIQ questions (2)
Are policies and procedures for maintaining a safe and secure working environment (in offices, rooms, and facilities) established, documented, approved, communicated, applied, evaluated and maintained?
Are policies and procedures for maintaining safe, secure working environments (e.g., offices, rooms, and facilities) reviewed and updated at least annually, or upon significant changes?