INTERNAL USE ONLY 01-Aug-2024

Document Management Information

Document Title: Artificial Intelligence Security Policy

Document Number: ORGANISATION-AI-SEC-POL

Document Classification: Internal Use Only

Document Status: Approved

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Version No. Revision Date Particulars Approved by

1.0 First Release of Document ISSC

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Author CISO

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AI SECURITY POLICY
1. Introduction

1.1 Purpose

This Artificial Intelligence (AI) Security Policy establishes a framework for the secure development,
deployment, and operation of AI systems within Organization. It aims to protect the confidentiality,
integrity, and availability of AI systems and associated data while ensuring ethical and responsible AI
use.

1.2 Scope

This policy applies to all employees, contractors, vendors, and third parties involved in any aspect of AI
development, deployment, or use within Organization. It covers all AI systems, including but not limited
to machine learning models, neural networks, and automated decision-making systems.

1.3 Definitions

• Artificial Intelligence (AI): Systems or machines that mimic human intelligence to perform tasks
and can iteratively improve themselves based on the information they collect.
• Machine Learning (ML): A subset of AI that uses statistical techniques to give computer systems
the ability to "learn" from data.
• Personal Data: Any information relating to an identified or identifiable natural person.
• Model: A mathematical representation of a real-world process used in AI/ML systems.

1.4 Roles and Responsibilities

• Chief Information Security Officer (CISO): Overall responsibility for AI security

• AI Security Team: Day-to-day implementation and monitoring of AI security measures
• AI Developers: Adherence to security best practices in AI development
• Data Protection Officer: Ensuring compliance with data protection regulations
• All Employees: Adherence to this policy and reporting of potential security issues

2. Governance and Risk Management

2.1 AI Governance Structure

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 • Establish an AI Governance Committee comprising representatives from IT, Security, Legal,
Ethics, and relevant business units.
• The committee shall oversee AI initiatives, ensure policy compliance, and address ethical
concerns.

2.2 Risk Assessment

• Conduct comprehensive risk assessments for all AI systems prior to development and
deployment.
• Implement a continuous risk monitoring process for production AI systems.
• Develop and maintain a risk register specific to AI systems.

2.3 Compliance

• Ensure all AI systems comply with relevant laws, regulations, and industry standards (e.g., GDPR,
CCPA, ISO 27001).
• Regularly review and update compliance measures as regulations evolve.

3. Data Protection and Privacy

3.1 Data Collection and Use

• Implement data minimization principles; collect only data necessary for the specific AI use case.
• Clearly define and document the purpose of data collection for each AI system.
• Obtain explicit consent for personal data use in AI systems where required by law.

3.2 Data Storage and Transmission

• Encrypt all AI-related data at rest using industry-standard encryption algorithms (e.g., AES-256).
• Use secure protocols (e.g., TLS 1.3) for all data transmissions related to AI systems.
• Implement proper key management practices for all encryption processes.

3.3 Data Retention and Deletion

• Establish and enforce data retention policies specific to AI training and operational data.
• Implement secure data deletion procedures, including for AI models that may have incorporated
personal data.

3.4 Privacy Impact Assessments

• Conduct Privacy Impact Assessments (PIAs) for all AI systems processing personal data.

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 • Review and update PIAs annually or when significant changes occur to the AI system or data
processing activities.

4. AI Model Security

4.1 Model Development

• Use secure coding practices and conduct regular code reviews during AI model development.
• Implement version control for all model code, training data, and hyperparameters.
• Maintain a detailed inventory of all AI models, including their purpose, owner, and current
status.

4.2 Model Training

• Use trusted and verified datasets for model training.

• Implement measures to detect and mitigate bias in training data and resulting models.
• Secure the training environment to prevent unauthorized access or tampering.

4.3 Model Deployment

• Implement a secure model deployment pipeline with proper access controls and audit logging.
• Use containerization or sandboxing techniques to isolate AI models in production environments.
• Regularly update and patch the underlying infrastructure supporting AI models.

4.4 Model Monitoring and Maintenance

• Implement continuous monitoring of model performance, including drift detection.

• Establish procedures for safe model updates and rollbacks.
• Regularly retrain models with updated data to maintain accuracy and relevance.

5. Access Control and Authentication

5.1 Identity and Access Management

• Implement Role-Based Access Control (RBAC) for all AI systems and related infrastructure.
• Enforce the principle of least privilege for all AI-related access.
• Regularly review and audit access rights to AI systems and data.

5.2 Authentication

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 • Require multi-factor authentication (MFA) for all access to AI development and production
environments.
• Use strong, unique passwords for all AI-related accounts.
• Implement Just-in-Time (JIT) access for administrative functions.

5.3 API Security

• Secure all APIs used by AI systems with proper authentication and authorization mechanisms.
• Implement rate limiting and monitoring on APIs to prevent abuse.
• Use API gateways to centralize API security controls and logging.

6. Monitoring, Logging, and Incident Response

6.1 System Monitoring

• Implement real-time monitoring of AI system performance, security, and usage.

• Use anomaly detection techniques to identify unusual patterns or potential security breaches.
• Establish and monitor Key Performance Indicators (KPIs) and security metrics for AI systems.

6.2 Logging and Auditing

• Maintain comprehensive logs of all AI system activities, including model training, testing, and
inferences.
• Ensure log integrity through tamper-evident logging mechanisms.
• Retain logs for a period aligned with compliance requirements and organizational needs.

6.3 Incident Response

• Develop an AI-specific incident response plan, integrated with the organization's overall
cybersecurity incident response procedures.
• Conduct regular drills to test the effectiveness of the AI incident response plan.
• Establish clear roles and responsibilities for handling AI security incidents.

6.4 Forensics and Post-Incident Analysis

• Develop capabilities for AI-specific digital forensics.

• Conduct thorough post-incident reviews and incorporate lessons learned into security practices.

7. Ethical AI and Responsible Use

7.1 Ethical Guidelines

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 • Develop and enforce a set of ethical guidelines for AI development and use.
• Establish an AI Ethics Review Board to assess and approve high-risk AI projects.

7.2 Fairness and Bias Mitigation

• Implement processes to detect and mitigate bias in AI systems throughout their lifecycle.
• Regularly assess AI systems for fairness across different demographic groups.

7.3 Transparency and Explainability

• Develop mechanisms to explain AI decision-making processes where required.

• Maintain documentation on AI model limitations and potential risks.

7.4 Human Oversight

• Establish procedures for human oversight of AI systems, especially for high-stakes decisions.
• Clearly define the division of responsibilities between AI systems and human operators.

8. Third-Party and Vendor Management

8.1 Vendor Assessment

• Conduct thorough security and privacy assessments of all third-party AI vendors.

• Ensure vendors comply with this AI Security Policy and relevant regulations.

8.2 Contractual Requirements

• Include specific AI security and privacy requirements in all vendor contracts.

• Establish right-to-audit clauses for critical AI services provided by vendors.

8.3 Ongoing Monitoring

• Implement continuous monitoring of third-party AI services for security and performance.

• Conduct regular security reviews of third-party AI providers.

9. Training and Awareness

9.1 Employee Training

• Provide mandatory AI security awareness training for all employees.

• Conduct specialized training for personnel directly involved in AI development and operations.

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9.2 Security Culture

• Foster a culture of security awareness and responsible AI use throughout the organization.
• Encourage reporting of potential AI security issues or ethical concerns.

10. Compliance and Enforcement

10.1 Policy Compliance

• Conduct regular audits to ensure compliance with this AI Security Policy.

• Establish a process for reporting and addressing policy violations.

10.2 Enforcement

• Define consequences for non-compliance with this policy, up to and including termination of
employment or contract.
• Ensure fair and consistent enforcement of policy violations.

11. Policy Review and Update

• Review and update this AI Security Policy annually or when significant changes occur in AI
technology or the regulatory landscape.
• Maintain a log of all policy revisions and approvals.

12. Related Documents

• Information Security Policy
• Data Protection Policy
• Incident Response Plan
• Ethical AI Guidelines

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