Taxonomy
stringclasses 15
values | Scenario
stringlengths 7
31
| Risk Description
stringlengths 30
122
| Priority
int64 1
3
| Control Name
stringlengths 9
40
| Control Activities
stringlengths 58
162
| COBIT Objectives
stringclasses 5
values | Attribution
stringclasses 1
value | Related Standards
stringclasses 1
value |
|---|---|---|---|---|---|---|---|---|
Strategy
|
Strategy deficiency
|
Wasted resources and reputational damage due to lack of clear enterprise-wide AI strategy.
| 1
|
Enterprise AI strategy
|
Develop and implement a comprehensive enterprise-wide AI strategy aligning with business objectives. Establish governance structures, roles, and responsibilities.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Strategy
|
Misaligned strategy
|
Missed opportunities due to insufficient stakeholder engagement, leading to AI systems that do not support business goals.
| 1
|
Stakeholder alignment
|
Establish stakeholder engagement processes. Develop communication protocols to ensure continuous alignment between AI projects and business objectives.
|
Monitor, Evaluate and Assess
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Governance
|
Misaligned ethics
|
Reputational damage due to AI decisions conflicting with organizational ethical values.
| 1
|
Responsible AI principles
|
Develop AI ethics guidelines, establish an ethics review board, and integrate ethical considerations into design and deployment.
|
Monitor, Evaluate and Assess
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Governance
|
Overconfidence in automation
|
Wasted resources due to unrealistic expectations and overconfidence in AI capabilities.
| 1
|
Capability and limitations communication
|
Communicate limitations and potential risks of AI. Avoid overstating capabilities to ensure realistic expectations.
|
Evaluate, Direct and Monitor
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Governance
|
Governance erosion
|
Weakened control due to AI impacts on existing governance, leading to reduced control over data processing.
| 1
|
Control integration
|
Update governance frameworks to incorporate AI-specific considerations. Ensure alignment with established policies and risk protocols.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Governance
|
Compliance failure
|
Regulatory penalties and reputational damage due to non-compliance with AI regulations.
| 1
|
Compliance audit
|
Regularly test, audit, monitor and assess control compliance of AI systems with internal policies and external regulations.
|
Monitor, Evaluate and Assess
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Governance
|
Vendor lock-In
|
Limited flexibility due to lack of exit strategies, leading to dependence on single vendors.
| 1
|
Exit planning
|
Include exit strategy considerations in design and procurement. Ensure ability to migrate to alternative providers.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Governance
|
Trust deficit
|
Limited innovation due to lack of trust in AI technologies, restricting deployment.
| 2
|
AI framework
|
Document capabilities, provide clear explanations of decisions, and establish processes for independent verification.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Governance
|
Communication breakdown
|
Ineffective governance due to lack of common AI language, leading to misunderstandings.
| 2
|
AI glossary management
|
Develop and maintain a glossary of AI terms. Ensure consistent use of terminology across the organization.
|
Evaluate, Direct and Monitor
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Governance
|
Ownership vacuum
|
Unauthorized development and security breaches due to lack of defined ownership.
| 2
|
Operating model definition
|
Establish clear roles, responsibilities, and accountabilities for AI initiatives and ensure segregation of duties.
|
Evaluate, Direct and Monitor
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Decision-making
|
Risk integration gap
|
Unmanaged AI risks due to failure to integrate risk assessment into the AI framework.
| 1
|
Mandatory risk and impact assessments
|
Mandate systematic identification, evaluation, and management of AI risks. Include quantitative model impact assessments.
|
Evaluate, Direct and Monitor
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Decision-making
|
AI model risk exposure
|
Inadequate quantitative model risk management leading to inaccurate models and financial losses.
| 1
|
Quantitative risk model
|
Implement quantitative model risk management. Conduct impact assessments and statistical analyses of model accuracy.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
People
|
Resource misalignment
|
Staffing inefficiencies due to unclear resourcing requirements in AI strategy.
| 1
|
Staff planning
|
Define and document human resource requirements including recruitment, role profiles, and training.
|
Evaluate, Direct and Monitor
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
People
|
Talent flight
|
Ineffective AI systems due to poor development and retention of human talent.
| 1
|
Talent alignment
|
Establish HR processes to recruit, develop, and retain talent aligned with AI strategy.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
People
|
Knowledge deficit
|
Ineffective operations and poor incident response due to insufficient knowledge retention.
| 1
|
Knowledge continuity
|
Assign individuals to sustainment functions. Ensure knowledge retention through formal management practices.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Architecture
|
Unexplainability
|
Inability to explain AI decisions due to lack of interpretability functionality.
| 1
|
Explainability by design
|
Integrate explainability into requirements. Ensure explanations are clear and accessible. Document explainability features.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Architecture
|
Incompatibilities
|
Operational issues due to integration, scalability, and compatibility failures.
| 1
|
Compatibility testing
|
Perform compatibility testing for software, hardware, and networks. Conduct scalability assessments and stress testing.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Architecture
|
Misaligned architecture
|
Inefficient automation due to undefined AI architecture preventing unified solutions.
| 2
|
Architecture alignment
|
Define enterprise AI architecture including preferred technologies, security controls, and monitoring requirements.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Architecture
|
Segregation deficiency
|
Security/integrity losses due to lack of architectural segregation in cloud/multi-tenant envs.
| 2
|
Architectural segregation
|
Enforce segregation of AI system components and data from other infrastructure. Ensure data integrity via audits.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Architecture
|
Unavailability
|
Business disruption due to insufficient availability of AI systems.
| 2
|
High availability
|
Implement architecture for resilience. Define availability metrics, redundancy plans, and reliability testing.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Architecture
|
Ineffective security
|
Vulnerabilities due to failure to embed 'security by design' principles.
| 3
|
Security by design
|
Embed security policies in architecture and development. Ensure adherence to security standards.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Architecture
|
License noncompliance
|
Legal/financial losses due to non-compliance with software licenses.
| 3
|
License management
|
Establish license management system. Track usage, renewals, and compliance with vendor requirements.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Lifecycle
|
Poor hypothesis
|
Unreliable AI outcomes due to poor hypothesis quality and inadequate governance.
| 1
|
Hypothesis testing
|
Require approval of hypotheses based on predefined criteria. Regular reviews for relevance.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Lifecycle
|
Poor algorithms
|
Ineffective performance due to poor algorithm quality and inadequate controls.
| 1
|
Algorithmic controls
|
Enforce governance policies for algorithm development. Document standards and validation procedures.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Lifecycle
|
Flawed logics
|
Unreliable outputs due to flawed logic or inaccurate model parameters.
| 1
|
Logic validation
|
Establish rigorous logic validation procedures. Document logic and parameters. Require approval for changes.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Lifecycle
|
Data accuracy failures
|
Inaccurate data resulting in erroneous outputs due to failure to maintain standards.
| 1
|
Data accuracy verification
|
Enforce data accuracy verification standards. Document validation, error detection, and correction processes.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Lifecycle
|
Unallocated roles
|
Regulatory/operational failures due to unclear data governance roles.
| 2
|
Data ownership
|
Establish roles for data governance (owners, stewards). audit adherence to roles.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Lifecycle
|
Data corruption
|
Business disruption due to data corruption from unintended system interactions.
| 2
|
Data integrity monitoring
|
Monitor data interactions. Log all interactions and alert on corruption. Require approval for source changes.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Lifecycle
|
Integration failure
|
Operational failure due to corrupted inputs/outputs from external system interactions.
| 2
|
Integration testing
|
Enforce integration testing for inputs/outputs. Monitor for anomalies and remediate corrupted data.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Lifecycle
|
Poor data
|
Ineffective AI systems due to poor quality of learning or production data.
| 2
|
Data governance
|
Implement quality checks on learning and production data. Document cleaning procedures and approvals.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Lifecycle
|
Incomplete inputs
|
Incorrect outcomes due to use of inaccurate or incomplete data.
| 2
|
Data completeness control
|
Ensure completeness of inputs. Document selection and validation processes. Audit data integrity.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Lifecycle
|
Inaccurate results
|
Losses due to models not accurately reflecting underlying parameters.
| 3
|
Model validation
|
Implement validation protocols including sensitivity analysis and benchmarks. Monitor for model drift.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Project
|
Operational misalignment
|
Misalignment with organizational goals due to lack of strategic alignment.
| 2
|
Business case
|
Establish framework to ensure AI initiatives support goals. Formal approval of AI business cases.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Project
|
Problem mismatch
|
Financial losses due to mismatch between business problem and model design.
| 2
|
Iterative development
|
Adopt iterative approaches (Agile). Use prototyping to identify mismatches early.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Project
|
Management gap
|
Failure to meet requirements due to poor project management.
| 2
|
Program management
|
Implement program management methodology. Track resources, timelines, and stakeholder engagement.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Project
|
Poor benefits
|
Unmet strategic goals due to failure to track ROI and benefits.
| 3
|
Impact value
|
Develop benefits management framework. Track metrics for short/long term benefits realization.
|
Evaluate, Direct and Monitor
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Project
|
Assurance deficit
|
Project failures due to lack of independent assurance over objectives.
| 3
|
Assurance
|
Engage independent assurance function. Report on quality, costs, compliance, and controls.
|
Evaluate, Direct and Monitor
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Development
|
Design flaw
|
Unsuccessful delivery due to poor design/development methodology.
| 1
|
Development standards
|
Establish AI development standards integrated with broader IT standards. Ensure consistent application.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Development
|
Inaccurate model
|
Losses due to lack of detailed model universe definition.
| 1
|
Model universe
|
Define the AI model universe (data sources, quality, assumptions). Update regularly.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Development
|
Variable misalignment
|
Incorrect results due to inappropriate variable relationships (correlation vs causality).
| 1
|
Relationship modeling
|
Ensure relationships between variables and hypotheses are defined correctly. Distinguish correlation/causality.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Development
|
Overfitting
|
Model performs well on training data but poorly on new data due to complexity.
| 1
|
Overfitting mitigation
|
Design algorithms to prevent overfitting. Document designs and test on unseen data.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Development
|
Learning bias
|
Discriminatory outcomes due to data bias in learning data.
| 1
|
Bias mitigation
|
Implement controls for sensitivities (race/gender/etc). Document evaluation and bias checks.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Development
|
To-be inaccuracy
|
Failure to meet needs due to poor knowledge of To-Be processes.
| 2
|
To-be analysis
|
Maintain documentation of user stories and process flows. Ensure approval by sponsors.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Development
|
Insufficient segregation
|
Failures during deployment due to insufficient testing in production-like environments.
| 2
|
Environment segregation
|
Maintain separate Dev, QA, and Prod environments. Test in environment identical to production.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Development
|
Temporal misalignment
|
Incorrect insights due to misalignment of data time scales.
| 2
|
Synchronization verification
|
Ensure sourced data aligns with AI system time scale. Document synchronization processes.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Development
|
Data duplication
|
Incorrect insights/wasted resources due to processing duplicate data.
| 2
|
Duplication mitigation
|
Prevent processing of same data multiple times. Implement file/data validation checks.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Development
|
AutoML issues
|
Model complexity/lack of transparency due to Automated ML usage.
| 2
|
AutoML guides
|
Develop guidelines for AutoML usage. Assess complexity vs performance. Integrate explainability tools.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Development
|
As-is ignorance
|
Suboptimal automation design due to poor knowledge of As-Is processes.
| 3
|
As-is analysis
|
Document pre-automation process narratives/flowcharts including exceptions.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Development
|
Undefined controls
|
Increased vulnerabilities due to undefined risks and controls.
| 3
|
Control matrix
|
Maintain risk-based control matrix covering solution, interfaces, and management processes.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Development
|
Control gap
|
Operational risks due to controls not being implemented in the solution.
| 3
|
Control testing
|
Test that internal controls are developed/configured in line with design.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Development
|
Weak traceability
|
Audit challenges due to bot activities not being traceable.
| 3
|
Bot identification
|
Assign unique identifiers (e.g., static IP) to bots to trace activities.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Development
|
Improper testing
|
Operational disruptions due to insufficient testing and go-live strategy.
| 3
|
Testing execution
|
Define testing and go-live strategy including migration and contingency. Collect evidence of testing logs.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Development
|
User acceptance deficiency
|
Misaligned solutions due to inadequate UAT without business input.
| 3
|
Test approvals
|
Conduct UAT with business input. Maintain records of feedback and approvals.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Operations
|
Resource laxity
|
Inefficient resource use/costs due to inadequate control over unpredictable AI demands.
| 2
|
Project monitoring
|
Monitor IT resource demands closely. Prevent inefficient use and increased costs.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Operations
|
Error oversight
|
Unauthorized changes/data loss due to undetected system errors.
| 2
|
Incident management
|
Establish consistent incident management procedures. Ensure timely resolution and escalation.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Operations
|
Undetected error
|
Delayed incident resolution due to lacking procedures.
| 2
|
Error resolution
|
Perform timely processing of exceptions. Monitor for interruptions and completeness.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Operations
|
Unsupported jobs
|
Delayed resolution due to inconsistent job monitoring.
| 2
|
Job monitoring
|
Implement job monitoring to ensure completeness/timeliness. Identify interruptions.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Operations
|
Capacity issues
|
Inability to meet demand due to inadequate capacity management.
| 2
|
Capacity management
|
Implement availability/capacity management. Embed scalability in design.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Operations
|
Performance drift
|
Accuracy degradation due to lack of stability checks and drift monitoring.
| 2
|
Stability monitoring
|
Implement stability checks. Detect data/concept drift. Ensure ongoing validation.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Operations
|
Shadow AI
|
Misalignment with strategy due to unknown AI solutions (Shadow IT).
| 3
|
AI inventory
|
Maintain up-to-date inventory of all AI platforms/solutions and dependencies.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Operations
|
IP loss
|
Theft of IP/Code held by third parties.
| 3
|
IP protection
|
Establish repository of IP. Secure backups. Mitigate risk in external interactions.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Operations
|
AI component blindness
|
Ineffective controls due to lacking understanding of IT components.
| 3
|
Configuration management
|
Maintain CMDB to understand components and relationships. Update via change management.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Monitoring
|
Outcome blindness
|
Not achieving results due to insufficient monitoring of behavior against ethics/business needs.
| 1
|
Outcome monitoring
|
Regularly review outcomes using analytics. Ensure alignment with ethical requirements. Maintain audit trails.
|
Monitor, Evaluate and Assess
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Monitoring
|
Monitoring ineffectiveness
|
Reduced effectiveness due to inadequate monitoring of AI operations.
| 1
|
Operational monitoring
|
Real-time monitoring/alerting for anomalies. Detailed logging. Establish KPIs/KRIs.
|
Monitor, Evaluate and Assess
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Monitoring
|
Undetected issues
|
Financial/compliance losses due to lack of post-deployment monitoring.
| 1
|
Post-deployment monitoring
|
Framework for metrics/thresholds. Automated monitoring tools for anomalies. Review KPIs regularly.
|
Monitor, Evaluate and Assess
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Monitoring
|
Control override
|
Financial loss if automated stop/loss controls fail.
| 2
|
Automated stop/loss
|
Design stop/loss controls. Implement override process for exceptions with checks.
|
Monitor, Evaluate and Assess
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Security
|
Lack of auditability
|
Inability to validate outcomes due to unsecured storage.
| 1
|
Auditability
|
Securely store data/algorithms. Comply with privacy/retention regulations. 'Vault principle'.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Security
|
Unauthorized access
|
Losses due to inappropriate changes to learning data.
| 2
|
Data access
|
Securely configure input datasets. Prevent unauthorized changes. Validate data input.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Security
|
Security breach
|
Data loss due to inconsistent security management.
| 3
|
Cyber security
|
Consistent security management across code/infrastructure/data. Align with ISO 27001.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Security
|
Malware attack
|
Harm due to undetected malware in AI environment.
| 3
|
Malware protection
|
Malware protection systems. Monitor patches. Protect self-learning components.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Security
|
Data breach
|
Data loss due to insecure temporary files.
| 3
|
Encryption
|
Encrypt code, storage, and network communications. Document protocols.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Security
|
Vulnerability blindness
|
Losses due to undetected weaknesses.
| 3
|
Vulnerability testing
|
Periodic penetration tests and Red-team reviews. Test sensors/monitoring.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Access
|
Compromised bot
|
Unauthorized actions due to inadequate tracking of Bot accounts.
| 3
|
Bot control
|
Assign unique accounts to Bots. Track usage. Compensating controls for shared accounts.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Access
|
Compromised user
|
Tampering with logic due to inadequate access controls.
| 3
|
User control
|
Unique accounts for humans. Restrict access to logic/algorithms.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Access
|
Excessive bot access
|
Unauthorized access due to excessive rights assigned to Bots.
| 3
|
Bot access authorization
|
Assign Bot rights on 'need to have' basis. Constrain to specific transactions.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Access
|
Excessive user access
|
Unauthorized access due to excessive rights assigned to users.
| 3
|
User access authorization
|
Assign user rights on 'need to have' basis. Constrain access to Bot environment.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Access
|
Inadequate account provisioning
|
Unauthorized access due to lack of formal approval.
| 3
|
Account provisioning
|
Procedures for creating accounts/assigning privileges. Require formal business approval.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Access
|
Inadequate access revocation
|
Unauthorized access due to failure to delete accounts.
| 3
|
Access revocation
|
Timely deletion/locking of accounts when no longer needed.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Access
|
Undetected bot access
|
Unauthorized access due to lack of review of Bot privileges.
| 3
|
Bot access review
|
Periodic reviews of Bot access/privileges. Act on exceptions.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Access
|
Undetected user access
|
Unauthorized access due to lack of review of user privileges.
| 3
|
User access review
|
Periodic reviews of user access/privileges. Act on exceptions.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Access
|
Excessive privileged access
|
Unauthorized access due to excessive privileged rights.
| 3
|
Privileged access authorization
|
Restrict powerful accounts to admins. Use secure networks/encryption/MFA.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Access
|
Segregation of duties conflicts
|
Unauthorized access due to conflicting access rights.
| 3
|
Access segregation
|
Ensure SoD compliance. Prevent single individuals from creating accounts AND approving changes.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Access
|
Weak authentication
|
Unauthorized access due to weak passwords/biometrics.
| 3
|
Authentication
|
Strong auth controls (MFA, password complexity) for all accounts including automation.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Access
|
Unauthorized third-party access
|
Unauthorized access due to inadequate third-party controls.
| 3
|
Third-party control
|
Subject third parties to same controls as regular users. Monitor access.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Change management
|
Collateral IT impact
|
Disruptions to other services due to AI changes.
| 1
|
IT Impact assessment
|
Mandate impact analysis for all changes. Require integration testing.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Change management
|
Inadequate ongoing testing
|
Missed defects due to insufficient post-implementation testing.
| 1
|
Testing protocol
|
Establish comprehensive testing protocols. Pre- and post-implementation tests.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Change management
|
Undetected errors
|
Operational failures due to lack of automated monitoring for changes.
| 2
|
Automated error monitoring
|
Deploy automated tools to test/validate after changes. Detect errors in real-time.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Change management
|
Unauthorized changes
|
Disruptions/vulnerabilities due to lack of change management.
| 3
|
Change management
|
Enforce formal change management. Document risk assessment and approvals.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Change management
|
Untracked modifications
|
Performance degradation due to untracked modifications.
| 3
|
Modification logging
|
Log all changes in real-time. Reconcile logs with change records.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Change management
|
Poor change
|
Degraded performance due to poor change control.
| 3
|
Change control
|
Strict change control procedures. Review, test, and approve all changes.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Change management
|
Insufficient validations
|
Unreliable outcomes due to insufficient validation of changes.
| 3
|
Validation procedure
|
Require pre-deployment tests (functional/security/performance). Document results.
|
Build, Acquire and Implement
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Third-party
|
Black box solution
|
Disruption due to insufficient understanding of logic/IP.
| 2
|
Contract review
|
Define IP ownership and escrow agreements. Ensure right to audit.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Third-party
|
Third-party default
|
Losses due to vendors with low control maturity.
| 3
|
Due diligence
|
Subject 3rd parties to same controls or external assurance (ISAE 3402).
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Third-party
|
Third-party dependency
|
Disruption due to single supplier concentration risk.
| 3
|
Third-party segmentation
|
Categorize suppliers by criticality. Implement contingency plans and backup suppliers.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Third-party
|
Shadow third-party
|
Control failures due to unknown vendors.
| 3
|
Third party management
|
Maintain inventory of all 3rd party providers. Integrate into risk/compliance planning.
|
Align, Plan and Organize
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Business continuity
|
Inability to recover
|
Losses due to inability to roll back to last known good state.
| 1
|
Roll-Back
|
Establish roll-back mechanism. Ensure availability of cleansed data for retraining.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Business continuity
|
Ineffective backhups
|
Losses due to lack of backups.
| 1
|
Backup restoration
|
Maintain backups/snapshots of AI system and learning data. Test restoration.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Business continuity
|
Ineffective fallback
|
Disruptions due to lack of alternative processing facilities.
| 2
|
Fallback facility
|
Establish alternative IT infrastructure and operational capabilities.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Business continuity
|
Fragility
|
Prolonged disruption due to lack of continuity plans.
| 3
|
Continuity planning
|
Develop BCP aligned with ISO 22301. Integrate with enterprise BCM.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
Business continuity
|
Ineffective response
|
Ineffective response due to lack of testing/training.
| 3
|
Continuity testing
|
Perform regular BCP simulations. Train staff for crisis conditions.
|
Deliver, Service and Support
|
Prof. Hernan Huwyler
|
ISO/IEC 42001, ISO/IEC 42005, COBIT 2019
|
This dataset contains 100 Common AI Risk Scenarios paired with specific Control Activities. It is designed to serve as the operational backbone for an ISO/IEC 42001 (AI Management System).
While ISO 42001 provides the "What" (Requirements), this dataset provides the "How" (Scenarios and Controls), specifically mapping to ISO/IEC 42005 (AI Risk Management) impact assessments and COBIT 2019 objectives.
This library was developed and curated by: Prof. Hernan Huwyler, MBC, CPA
This dataset reflects a synthesis of global best practices in IT Audit and AI Governance.
The dataset contains the following fields:
When implementing the internal controls listed in ISO 42001 Annex A, use this dataset to flesh out the specific activities.
Taxonomy = Lifecycle to find controls for "Hypothesis Testing" and "Model Validation."Use the Risk description column to populate your Risk Register.
Internal Auditors can use the Recommended control activities as a checklist to verify if the organization's AI governance is effective.
| Taxonomy | Scenario | Priority | Control Name | Control Activities |
|---|---|---|---|---|
| Strategy | Strategy deficiency | 1 | Enterprise AI strategy | Develop and implement a comprehensive enterprise-wide AI strategy aligning with business objectives. |
| Lifecycle | Data accuracy failures | 1 | Data accuracy verification | Enforce data accuracy verification standards. Document validation, error detection, and correction processes. |
| Security | Vulnerability blindness | 3 | Vulnerability testing | Conduct periodic penetration tests and 'Red-team' reviews. |
If you use this dataset in research or corporate frameworks, please cite:
Huwyler, H. (2024). AI Risk Scenarios & Control Library. Hugging Face Datasets.