genai-security-crosswalk 2.0.0

package/data/entries/DSGAI08.json

@@ -0,0 +1,698 @@
+{
+  "id": "DSGAI08",
+  "name": "Non-Compliance and Regulatory Violations",
+  "source_list": "DSGAI-2026",
+  "version": "2026-Q1",
+  "severity": "High",
+  "aivss_score": null,
+  "audience": [
+    "red-teamer",
+    "security-engineer",
+    "ciso",
+    "compliance",
+    "ml-engineer",
+    "ot-engineer",
+    "auditor",
+    "developer",
+    "data-engineer"
+  ],
+  "mappings": [
+    {
+      "framework": "MITRE ATLAS",
+      "control_id": "AML.T0057",
+      "control_name": "Data from Information Repositories",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Regulatory violations often arise from ungoverned data repositories — adversary exploits what compliance missed"
+    },
+    {
+      "framework": "MITRE ATLAS",
+      "control_id": "AML.T0051",
+      "control_name": "Exploit Public-Facing Application",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Non-compliant AI deployments may lack security controls that compliance would have required"
+    },
+    {
+      "framework": "MITRE ATLAS",
+      "control_id": "AML.T0035",
+      "control_name": "Exfiltrate via ML Inference API",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Regulatory violations in training data scope make inference API exfiltration more damaging"
+    },
+    {
+      "framework": "NIST AI RMF 1.0",
+      "control_id": "GV-1.6",
+      "control_name": "Policies for data privacy",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Legal and regulatory compliance obligations for GenAI documented in governance policy"
+    },
+    {
+      "framework": "NIST AI RMF 1.0",
+      "control_id": "GV-4.2",
+      "control_name": "Organisational teams",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Cross-functional team accountable for GenAI regulatory compliance — legal, privacy, security, AI"
+    },
+    {
+      "framework": "NIST AI RMF 1.0",
+      "control_id": "MS-2.6",
+      "control_name": "Testing — data leakage",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Compliance testing — lawful basis verification, data subject rights fulfilment, retention compliance"
+    },
+    {
+      "framework": "NIST AI RMF 1.0",
+      "control_id": "MG-2.4",
+      "control_name": "Risk response — data",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Regulatory incident response — breach notification timelines, regulatory reporting obligations"
+    },
+    {
+      "framework": "EU AI Act",
+      "control_id": "Mandatory risk management system for high-risk AI",
+      "control_name": "Art. 9 — Risk management",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Absence of a documented risk management system is an Art. 9 violation"
+    },
+    {
+      "framework": "EU AI Act",
+      "control_id": "Documented quality management system including post-market monitoring",
+      "control_name": "Art. 17 — Quality management",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Absence of a quality management system is an Art. 17 violation"
+    },
+    {
+      "framework": "EU AI Act",
+      "control_id": "Graduated fines based on violation type",
+      "control_name": "Art. 72 — Fines",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Understanding fine exposure is the starting point for compliance prioritisation"
+    },
+    {
+      "framework": "ISO/IEC 27001:2022",
+      "control_id": "A.5.31",
+      "control_name": "Compliance with legal requirements",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Identifying and complying with all legal, regulatory, and contractual requirements applicable to GenAI"
+    },
+    {
+      "framework": "ISO/IEC 27001:2022",
+      "control_id": "A.5.34",
+      "control_name": "Privacy and PII protection",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Privacy requirements for GenAI-processed personal data — lawful basis, minimisation, rights support"
+    },
+    {
+      "framework": "ISO/IEC 27001:2022",
+      "control_id": "A.5.36",
+      "control_name": "Compliance with policies",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Internal policies for GenAI compliance — reviewed and enforced"
+    },
+    {
+      "framework": "ISO/IEC 27001:2022",
+      "control_id": "A.5.1",
+      "control_name": "Policies for information security",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Governance policies covering regulatory obligations for GenAI"
+    },
+    {
+      "framework": "ISO/IEC 42001:2023",
+      "control_id": "Policies",
+      "control_name": "A.2.2",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Foundational"
+    },
+    {
+      "framework": "ISO/IEC 42001:2023",
+      "control_id": "Information for interested parties",
+      "control_name": "A.8.1",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Hardening"
+    },
+    {
+      "framework": "ISO/IEC 42001:2023",
+      "control_id": "Context — interested parties",
+      "control_name": "Cl.4.2",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Foundational"
+    },
+    {
+      "framework": "ISO/IEC 42001:2023",
+      "control_id": "Planning — risk",
+      "control_name": "Cl.6.1",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Hardening"
+    },
+    {
+      "framework": "CIS Controls v8.1",
+      "control_id": "CIS 3",
+      "control_name": "3.1 — Data management process",
+      "tier": "Foundational",
+      "scope": "Both"
+    },
+    {
+      "framework": "CIS Controls v8.1",
+      "control_id": "CIS 8",
+      "control_name": "8.2 — Collect audit logs",
+      "tier": "Foundational",
+      "scope": "Both"
+    },
+    {
+      "framework": "CIS Controls v8.1",
+      "control_id": "CIS 17",
+      "control_name": "17.1 — Incident response management",
+      "tier": "Foundational",
+      "scope": "Both"
+    },
+    {
+      "framework": "OWASP ASVS 4.0.3",
+      "control_id": "V8 Data Protection",
+      "control_name": "V8.3.3 — Consent obtained before PI processing",
+      "tier": "Foundational",
+      "scope": "Both"
+    },
+    {
+      "framework": "OWASP ASVS 4.0.3",
+      "control_id": "V8 Data Protection",
+      "control_name": "V8.3.10 — Personal data not kept longer than needed",
+      "tier": "Foundational",
+      "scope": "Both"
+    },
+    {
+      "framework": "OWASP ASVS 4.0.3",
+      "control_id": "V7 Logging",
+      "control_name": "V7.2.2 — Audit trail sufficient for compliance",
+      "tier": "Foundational",
+      "scope": "Both"
+    },
+    {
+      "framework": "ISA/IEC 62443",
+      "control_id": "Security management system",
+      "control_name": "62443-2-1",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "OT security management system updated to cover GenAI deployments — policy, roles, assessment"
+    },
+    {
+      "framework": "ISA/IEC 62443",
+      "control_id": "Supplier security requirements",
+      "control_name": "62443-2-4",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "GenAI vendors assessed under OT supplier security programme — same requirements as OT software vendors"
+    },
+    {
+      "framework": "ISA/IEC 62443",
+      "control_id": "SR 6.6",
+      "control_name": "Timely response to events",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Non-compliance incidents trigger defined response — regulatory notification procedures documented"
+    },
+    {
+      "framework": "NIST SP 800-82 Rev 3",
+      "control_id": "Data confidentiality",
+      "control_name": "§5.4",
+      "tier": "Hardening",
+      "scope": "Both",
+      "notes": "OT data in retrieval corpora requires access control"
+    },
+    {
+      "framework": "NIST SP 800-82 Rev 3",
+      "control_id": "Risk assessment",
+      "control_name": "§6.2",
+      "tier": "Hardening",
+      "scope": "Both",
+      "notes": "Entitlement leakage in OT data retrieval"
+    },
+    {
+      "framework": "NIST SP 800-82 Rev 3",
+      "control_id": "Network monitoring",
+      "control_name": "§7.3",
+      "tier": "Hardening",
+      "scope": "Both",
+      "notes": "Monitor retrieval patterns for unauthorised OT data access"
+    },
+    {
+      "framework": "NIST CSF 2.0",
+      "control_id": "GV.OC-01",
+      "control_name": "Organisational Context",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Regulatory obligations inform cybersecurity risk management — GenAI regulatory scope assessed and documented"
+    },
+    {
+      "framework": "NIST CSF 2.0",
+      "control_id": "GV.RM-01",
+      "control_name": "Risk Management Strategy",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Risk management strategy includes regulatory compliance risk — GenAI-specific obligations in risk programme"
+    },
+    {
+      "framework": "NIST CSF 2.0",
+      "control_id": "ID.RA-01",
+      "control_name": "Risk Assessment",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Compliance risks identified per GenAI deployment — applicable regulations, triggered obligations, controls gaps"
+    },
+    {
+      "framework": "NIST CSF 2.0",
+      "control_id": "RS.CO-03",
+      "control_name": "Communication",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Regulatory incident communication — breach notification, regulatory reporting, authority contact procedures"
+    },
+    {
+      "framework": "SOC 2",
+      "control_id": "Commitment to compliance with applicable laws and regulations including AI-specific obligations",
+      "control_name": "CC5.1 — Control environment",
+      "tier": "Foundational",
+      "scope": "Both"
+    },
+    {
+      "framework": "SOC 2",
+      "control_id": "Regulatory risks identified in GenAI risk assessment — GDPR, EU AI Act, sector-specific regulations",
+      "control_name": "CC3.2 — Risk assessment",
+      "tier": "Foundational",
+      "scope": "Both"
+    },
+    {
+      "framework": "SOC 2",
+      "control_id": "Privacy programme covers GenAI processing of personal information — policies, notices, accountability",
+      "control_name": "P1.1 — Privacy management",
+      "tier": "Foundational",
+      "scope": "Both"
+    },
+    {
+      "framework": "SOC 2",
+      "control_id": "Regulatory compliance status communicated to management — AI Act obligations, NIS2 requirements",
+      "control_name": "CC2.1 — Communication",
+      "tier": "Foundational",
+      "scope": "Both"
+    },
+    {
+      "framework": "PCI DSS v4.0",
+      "control_id": "Req 12.1.1",
+      "control_name": "Security policy",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "PCI security policy covers GenAI processing of CHD — updated to reflect AI system deployments"
+    },
+    {
+      "framework": "PCI DSS v4.0",
+      "control_id": "Req 12.3.1",
+      "control_name": "Annual assessment",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Annual targeted risk analysis covers all GenAI systems that may process CHD"
+    },
+    {
+      "framework": "PCI DSS v4.0",
+      "control_id": "Req 12.4.1",
+      "control_name": "Programme oversight",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Executive accountability for GenAI PCI compliance — CISO or equivalent with oversight documented"
+    },
+    {
+      "framework": "PCI DSS v4.0",
+      "control_id": "Req 12.6.1",
+      "control_name": "Security awareness",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Security awareness covers PCI obligations in GenAI context — staff understand scope implications"
+    },
+    {
+      "framework": "ENISA Multilayer Framework",
+      "control_id": "GOV",
+      "control_name": "Governance and Risk",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "All applicable regulations identified and mapped to AI controls — EU AI Act, GDPR, NIS2, sector-specific obligations tracked in AI governance programme"
+    },
+    {
+      "framework": "ENISA Multilayer Framework",
+      "control_id": "L2",
+      "control_name": "Data and Model Security (DMS)",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Data controls designed to meet regulatory requirements — GDPR Article 10 training data obligations, NIS2 data security measures"
+    },
+    {
+      "framework": "ENISA Multilayer Framework",
+      "control_id": "IRS",
+      "control_name": "Incident Response",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "AI incident response plan includes regulatory notification procedures — NIS2 Article 23 significant incident reporting, GDPR breach notification"
+    },
+    {
+      "framework": "ENISA Multilayer Framework",
+      "control_id": "L1",
+      "control_name": "General ICT — Governance",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "AI acceptable use and data protection policies document regulatory obligations and controls"
+    },
+    {
+      "framework": "OWASP SAMM v2.0",
+      "control_id": "D-TA",
+      "control_name": "Design / Threat Assessment",
+      "tier": "Hardening",
+      "scope": "Both",
+      "notes": "Model all paths where over-retrieval can expose unauthorised content"
+    },
+    {
+      "framework": "OWASP SAMM v2.0",
+      "control_id": "I-SB",
+      "control_name": "Implementation / Secure Build",
+      "tier": "Hardening",
+      "scope": "Both",
+      "notes": "Enforce per-query entitlement filtering in retrieval pipeline"
+    },
+    {
+      "framework": "OWASP SAMM v2.0",
+      "control_id": "V-ST",
+      "control_name": "Verification / Security Testing",
+      "tier": "Hardening",
+      "scope": "Both",
+      "notes": "Test whether queries can retrieve documents from other tenants or restricted tiers"
+    },
+    {
+      "framework": "OWASP SAMM v2.0",
+      "control_id": "O-OM",
+      "control_name": "Operations / Operational Management",
+      "tier": "Hardening",
+      "scope": "Both",
+      "notes": "Log all retrieved documents with user identity for forensic review"
+    },
+    {
+      "framework": "OWASP SAMM v2.0",
+      "control_id": "G-PC",
+      "control_name": "Governance / Policy & Compliance",
+      "tier": "Hardening",
+      "scope": "Both",
+      "notes": "Policy mapping corpus access to user roles and data classification"
+    },
+    {
+      "framework": "CWE/CVE",
+      "control_id": "CWE-359",
+      "control_name": "CWE-359",
+      "tier": "Foundational",
+      "scope": "Both",
+      "url": "https://cwe.mitre.org/data/definitions/359.html"
+    },
+    {
+      "framework": "CWE/CVE",
+      "control_id": "CWE-778",
+      "control_name": "CWE-778",
+      "tier": "Foundational",
+      "scope": "Both",
+      "url": "https://cwe.mitre.org/data/definitions/778.html"
+    },
+    {
+      "framework": "MAESTRO",
+      "control_id": "L6",
+      "control_name": "Security & Compliance",
+      "tier": "Foundational",
+      "scope": "Both"
+    },
+    {
+      "framework": "MAESTRO",
+      "control_id": "L2",
+      "control_name": "Data Operations",
+      "tier": "Foundational",
+      "scope": "Both"
+    },
+    {
+      "framework": "MAESTRO",
+      "control_id": "L7",
+      "control_name": "Agent Ecosystem",
+      "tier": "Foundational",
+      "scope": "Both"
+    },
+    {
+      "framework": "AIUC-1",
+      "control_id": "A",
+      "control_name": "Data & Privacy domain",
+      "tier": "Hardening",
+      "scope": "Both",
+      "notes": "Foundational"
+    },
+    {
+      "framework": "AIUC-1",
+      "control_id": "B005",
+      "control_name": "Implement real-time input filtering",
+      "tier": "Hardening",
+      "scope": "Both",
+      "notes": "Foundational"
+    },
+    {
+      "framework": "AIUC-1",
+      "control_id": "B006",
+      "control_name": "Prevent unauthorized AI actions",
+      "tier": "Hardening",
+      "scope": "Both",
+      "notes": "Foundational"
+    },
+    {
+      "framework": "OWASP NHI Top 10",
+      "control_id": "Embedding store service account with cross-tenant read access",
+      "control_name": "NHI-5 Over-Privileged NHI",
+      "tier": "Hardening",
+      "scope": "Both",
+      "notes": "Per-tenant credentials or row-level security with minimum scope"
+    },
+    {
+      "framework": "OWASP NHI Top 10",
+      "control_id": "Unauthenticated embedding store access",
+      "control_name": "NHI-4 Insecure Authentication",
+      "tier": "Hardening",
+      "scope": "Both",
+      "notes": "Require authentication for all vector database connections"
+    },
+    {
+      "framework": "OWASP NHI Top 10",
+      "control_id": "Same embedding store credential used for multiple tenants",
+      "control_name": "NHI-9 NHI Reuse",
+      "tier": "Hardening",
+      "scope": "Both",
+      "notes": "Separate credentials per tenant or use row-level security"
+    },
+    {
+      "framework": "NIST SP 800-218A",
+      "control_id": "PS.1.1-PS",
+      "control_name": "Protect all code from unauthorised access — data exfiltration prevention",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Implement controls preventing sensitive data exfiltration through model interfaces, API endpoints, and pipeline outputs; enforce data classification boundaries"
+    },
+    {
+      "framework": "NIST SP 800-218A",
+      "control_id": "PW.5.1-PS",
+      "control_name": "Secure coding — data handling in AI pipelines",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Enforce secure coding practices for all data handling in AI pipelines; implement output filtering, PII detection, and data masking before model responses reach consumers"
+    },
+    {
+      "framework": "NIST SP 800-218A",
+      "control_id": "PW.7.2-PS",
+      "control_name": "Review for security vulnerabilities — data leakage review",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Include data leakage and memorisation scenarios in pre-release security reviews; verify that outputs cannot reveal training data or sensitive context"
+    },
+    {
+      "framework": "FedRAMP",
+      "control_id": "SC-28",
+      "control_name": "Protection of Information at Rest — AI data encryption",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Encrypt all AI data at rest — training data, model weights, inference logs, embedding stores — using FIPS 140-validated modules"
+    },
+    {
+      "framework": "FedRAMP",
+      "control_id": "AC-3",
+      "control_name": "Access Enforcement — AI data access",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Enforce role-based access control on all AI data stores; restrict access based on clearance, need-to-know, and data sensitivity"
+    },
+    {
+      "framework": "FedRAMP",
+      "control_id": "AU-2",
+      "control_name": "Event Logging — leakage detection logging",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Log AI data access and model outputs with sufficient detail to detect data leakage; include output content metadata"
+    },
+    {
+      "framework": "FedRAMP",
+      "control_id": "SI-4",
+      "control_name": "System Monitoring — leakage indicator detection",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Monitor model outputs and data access patterns for leakage indicators — PII, credentials, classification markings in outputs; alert on detection"
+    },
+    {
+      "framework": "DORA",
+      "control_id": "Art. 9",
+      "control_name": "Protection and Prevention — data leakage controls",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Implement security controls preventing AI data leakage — output monitoring, DLP, access controls, and encryption for all financial AI data"
+    },
+    {
+      "framework": "DORA",
+      "control_id": "Art. 17–23",
+      "control_name": "ICT Incident Management — data breach reporting",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Classify AI data leakage events as ICT-related incidents; report to competent authorities per DORA incident classification criteria"
+    },
+    {
+      "framework": "DORA",
+      "control_id": "Art. 10",
+      "control_name": "Detection — leakage indicator monitoring",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Deploy detection for data leakage indicators in model outputs — PII, financial data, credentials; alert and block on detection"
+    },
+    {
+      "framework": "DORA",
+      "control_id": "Art. 13",
+      "control_name": "Learning and Evolving — leakage post-mortem",
+      "tier": "Foundational",
+      "scope": "Both",
+      "notes": "Conduct post-incident analysis for data leakage events; identify root cause and update controls"
+    }
+  ],
+  "tools": [
+    {
+      "name": "OneTrust",
+      "type": "commercial",
+      "url": "https://www.onetrust.com"
+    },
+    {
+      "name": "Osano",
+      "type": "commercial",
+      "url": "https://www.osano.com"
+    },
+    {
+      "name": "EU AI Office guidance",
+      "type": "open-source",
+      "url": "https://digital-strategy.ec.europa.eu/en/policies/ai-office"
+    },
+    {
+      "name": "GDPR.eu compliance guides",
+      "type": "open-source",
+      "url": "https://gdpr.eu"
+    },
+    {
+      "name": "IBM OpenPages",
+      "type": "commercial",
+      "url": "https://www.ibm.com/products/openpages"
+    },
+    {
+      "name": "OpenDP",
+      "type": "open-source",
+      "url": "https://github.com/opendp/opendp"
+    },
+    {
+      "name": "Privado",
+      "type": "open-source",
+      "url": "https://github.com/Privado-Inc/privado"
+    },
+    {
+      "name": "Presidio",
+      "type": "open-source",
+      "url": "https://github.com/microsoft/presidio"
+    },
+    {
+      "name": "LLM Guard",
+      "type": "open-source",
+      "url": "https://github.com/protectai/llm-guard"
+    },
+    {
+      "name": "Nightfall",
+      "type": "commercial",
+      "url": "https://www.nightfall.ai"
+    },
+    {
+      "name": "Microsoft Presidio",
+      "type": "open-source",
+      "url": "https://github.com/microsoft/presidio"
+    },
+    {
+      "name": "Nightfall DLP",
+      "type": "commercial",
+      "url": "https://www.nightfall.ai"
+    },
+    {
+      "name": "AWS Macie / Azure Purview",
+      "type": "commercial",
+      "url": "https://aws.amazon.com/macie/"
+    }
+  ],
+  "incidents": [
+    {
+      "name": "DeepSeek AI database exposure — 1M+ chat logs publicly accessible",
+      "url": "https://github.com/emmanuelgjr/GenAI-Security-Crosswalk/blob/main/data/incidents.json",
+      "year": 2025,
+      "incident_id": "INC-032"
+    },
+    {
+      "name": "Cursor AI code agent leaking repository secrets via context window",
+      "url": "https://github.com/emmanuelgjr/GenAI-Security-Crosswalk/blob/main/data/incidents.json",
+      "year": 2025,
+      "incident_id": "INC-034"
+    }
+  ],
+  "crossrefs": {
+    "dsgai_2026": [
+      "DSGAI07"
+    ],
+    "llm_top10": [
+      "LLM02",
+      "LLM08",
+      "LLM07",
+      "LLM01"
+    ],
+    "agentic_top10": [
+      "ASI06",
+      "ASI01",
+      "ASI02",
+      "ASI03"
+    ]
+  },
+  "changelog": [
+    {
+      "date": "2026-03-27",
+      "version": "1.0.0",
+      "change": "Initial entry — generated from GenAI Security Crosswalk v1.5.1 mapping files",
+      "author": "emmanuelgjr"
+    }
+  ]
+}