AI Standard: Safety, Security, and Dual-Use Risk

1. Purpose

Reduce harms from AI failure, misuse, adversarial attack, and dual-use deployment.

2. Applicability

• Applies to Tier 1–3 systems.
• Tier 2–3 require structured safety engineering and incident readiness.

3. Ethical Mapping

• A5 Proportionality & Moderation
• A4 Truthfulness & Trustworthiness
• A7 Stewardship

4. Requirements (Normative)

AI-S-1 (Risk Assessment). Tier 1–3 operators MUST perform a documented risk assessment covering:

• intended use and misuse/abuse cases
• safety/security threats (including adversarial threats)
• potential severity and reversibility of harms
• mitigations and residual risk

AI-S-2 (Red-Teaming). Tier 2–3 operators MUST conduct pre-deployment red-teaming proportional to system capability and exposure, including attempts to:

• elicit unsafe instructions or harmful behavior
• bypass safety controls
• induce data leakage or privacy violations
• cause discriminatory outcomes

AI-S-3 (Change Control). For Tier 2–3, model updates that can materially change behavior MUST undergo safety review and MUST be traceable to a versioned release process.

AI-S-4 (Incident Response). Tier 2–3 operators MUST maintain:

• incident classification and escalation runbooks
• rollback/disable mechanisms
• user/affected-party notification criteria and templates

AI-S-5 (Dual-Use Controls). Where credible dual-use risk exists, operators MUST implement access controls and monitoring proportionate to risk, and MUST document justification for any release that increases misuse capability.

5. Compliance Evidence

• risk assessment artifact and update cadence
• red-team plans, findings, and remediation evidence
• release/version logs and safety sign-offs
• incident response runbooks and tabletop exercise reports
• access logs, monitoring reports, and abuse handling metrics

6. Rationale (Non-normative)

Safety is a lifecycle property. Tier 2–3 systems require verifiable engineering processes, not just policy statements.

7. Failure Modes & Abuse Cases

• unreviewed model updates introducing regressions
• security-by-obscurity without monitoring
• misaligned incentives leading to premature deployment

8. Change Log

• v0.1: Initial draft.

Traceability Table (Requirement → Axiom → Evidence)

Requirement / Control	Axiom(s)	Evidence Artifacts
AI-S-1	A5	risk assessment artifact, residual risk statement
AI-S-2	A4, A5	red-team plans, findings, remediation evidence
AI-S-3	A4	release/version logs, safety sign-offs
AI-S-4	A7	incident runbooks, rollback tests, notification templates
AI-S-5	A5, A7	access controls, monitoring reports, release justification