Incident Response Plans
Specification
Establish, document, approve, communicate, apply, evaluate and maintain a security incident response plan, which includes but is not limited to: a communication strategy for notifying relevant internal departments, impacted AICs, and other business critical relationships (such as supply-chain) that may be impacted.
Threat coverage
Architectural relevance
Lifecycle
Data storage
Guardrails, Supply Chain
Validation/Red Teaming
Orchestration, AI Services supply chain, AI applications
Operations, Maintenance, Continuous monitoring, Continuous improvement
Archiving, Data deletion, Model disposal
Ownership / SSRM
PI
Shared across the supply chain
Shared control ownership refers to responsibilities and activities related to LLM security that are distributed across multiple stakeholders within the AI supply chain, including the Cloud Service Provider (CSP), Model Provider (MP), Orchestrated Service Provider (OSP), Application Provider (AP), and Customer (AIC). These controls require coordinated actions, communication, and governance across all involved parties to ensure their effectiveness.
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. Verify the CSP has incident response plans clearly documented and approved. 2. Confirm incident response plans cover critical scenarios for executing cloud services comprehensively. 3. Check plans define specific roles and escalation procedures. 4. Ensure regular reviews and updates of incident response documentation. 5. Confirm testing and drills of incident response plans performed periodically. 6. Verify documented corrective actions following response plan testing.
Standards mappings
42001: B.8.4 27001: A.5.24 27001: A.16.1.2 27001: A.16.1.5 27002: 16.1.2 and 16.1.5
Addendum
Add a dedicated control requiring formal incident response planning, Procedures for AI-related threat scenarios, communications, and escalation, Stakeholder notification policies, including for supply chain and AICs, A regular IRP testing and review cycle.
No Mapping
Addendum
The EU AI Act doesn't explicitly require establishing a formal incident response plan that specifically addresses internal departments, impacted AICs (Assets, Inventory, and Configuration), and critical business relationships such as supply chain.
MG-2.3-001 MG-2.4-002 MG-2.4-003 MG-4.2-002 GV-4.1-003
Addendum
N/A
C4 RE-05 C4 BC-04 C5 SIM-01 C5 OPS-21 C5 INQ-04
Addendum
N/A
AI-CAIQ questions (1)
Is a security incident response plans which includes but is not limited to a communication strategy for notifying relevant internal departments, impacted AICs, and other business critical relationships (such as supply-chain) that may be impacted, established, documented, approved, communicated, applied, evaluated, and maintained?