SOP-1007-01-AI_AI-Asset-Management
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Title: AI Asset Management
Page 1 of 10
Effective Date: TBD
Previous Version: None
Reason for Update: New AI-focused SOP
Owner: Asset Management Lead (AI)
Location: SharePoint or Document Repository
Signature/Date: [Owner signs here]
Objective
This Standard Operating Procedure (SOP) defines the responsibilities and methods used for the identification, tracking, monitoring, and management of AI assets, including both hardware (servers, storage devices, GPUs, specialized AI accelerators) and software (AI frameworks, models, datasets, and related tools). Additionally, it addresses the AI-IRB (Intelligences Review Board) compliance checkpoints necessary to ensure ethically and legally sound asset usage.
Scope
This SOP applies to all AI-related technical acquisitions, usage, and lifecycle management across all SDLC phases, from initial deployment of AI hardware and software, through modifications or updates, and finally to the secure decommissioning/disposal of assets. This includes on-premise and cloud-based AI resources governed by the Performing Organization (Engineering Department) and relevant support from the AI-IRB.
Applicable To
- AI-IRB Liaison involved in asset usage compliance.
- Operations teams dealing with day-to-day asset deployment and management.
- Engineering (Development, AI/ML teams) using AI infrastructure.
- Product Development that defines AI features requiring new or updated assets.
- Quality Assurance verifying correct usage and inventory of AI assets.
- Technical Support that provides first-level user support for AI tools.
Sections
- Procedure Diagram
- Roles and Responsibilities
- Metrics
- Procedure Activities
- Forms
- Exemptions
- Tools/Software/Technology Used
Attachments
- None at this time.
- Additional attachments may be added if new forms or templates are developed.
Definitions
- AI Asset: Any hardware or software specifically used for AI development or inference (e.g., GPUs, FPGAs, HPC clusters, data labeling tools, model weights, or large curated training datasets).
- AI-IRB: The Intelligences Review Board ensuring compliance with ethical, privacy, and regulatory mandates for AI usage and data handling.
- Asset Owner: Individual primarily responsible for the day-to-day operation and usage of a specific AI asset.
- Asset Manager: Person or team in charge of the overall asset tracking, ensuring updates and changes to asset states are captured, including AI compliance checkpoints in synergy with the AI-IRB.
- Temporary Access: Time-bound permissions to AI assets, typically used for consultants or specialized tasks.
- Authorized AI Agent: AI entities or subroutines officially sanctioned by the AI-IRB to perform autonomous or semi-autonomous tasks within the scope of this procedure.
SECTION 1: PROCEDURE DIAGRAM
(A conceptual flow of the procedure would be shown here, e.g., from request to acquisition, usage, compliance checks, maintenance, and disposal. If referencing a PlantUML diagram, it would appear in a separate file or an attached reference. The diagram is omitted here for brevity in the text-based SOP.)
SECTION 2: ROLES AND RESPONSIBILITIES
| Role | Responsibilities |
|---|---|
| Asset Owner | • Coordinates daily usage of assigned AI asset • Reports any changes, reconfigurations, or problems to the Asset Manager • Ensures AI usage is within ethical and compliance guidelines set forth by the AI-IRB. |
| Asset Manager | • Maintains the AI Asset Tracking Database • Receives notifications about asset changes or new acquisitions • Updates asset records, including compliance tags if relevant • Checks with the AI-IRB Liaison if asset usage might pose compliance risks. |
| AI-IRB Liaison | • Reviews any new asset requests that might have ethical or compliance implications • Coordinates with external regulators or legal teams if needed • Approves or denies usage modifications based on ethical, privacy, or regulatory concerns. |
| Operations | • Provides final approval for deployment environment changes • Moves AI assets from staging to production or from on-premise to cloud environment • Implements security measures for AI asset storage or disposal. |
| Engineering | • Communicates new AI asset needs to the Asset Manager • Sets up environment for model training/inference • Performs and documents reconfiguration steps per the AI-IRB compliance guidelines. |
| Technical Support | • Addresses first-level issues with AI asset usage or environment • Routes advanced requests to Engineering or Asset Manager • Informs the AI-IRB Liaison if user queries hint at potential compliance or ethical concerns. |
| Quality Assurance | • Verifies correct usage of AI assets is documented and tested • Confirms that necessary steps for reconfiguration or disposal were followed • Issues corrective or preventive actions if asset usage fails any compliance or internal QA checks. |
SECTION 3: METRICS
| Metric | Description |
|---|---|
| Time to Approve New AI Asset | Measures how many days/hours pass from the initial request for an AI asset until final sign-off from AI-IRB & Ops. |
| Incidents of Non-Compliance | Number of times an asset usage triggered compliance issues or had untracked reconfigurations. |
| Downtime from Asset Failure | Total hours of AI environment or hardware unavailability that affects project timelines or production environments. |
SECTION 4: PROCEDURE ACTIVITIES
- Identify AI Asset Need
- Trigger: A new or updated AI feature (including recursive self-improvement subroutines), or capacity shortfall discovered by Engineering or Product Development.
- Action: The relevant group (Engineering or Product Dev) completes a Change/Acquisition Request Form, referencing AI compliance guidelines.
- Review Asset Availability
- Asset Manager checks if there is an existing AI asset that can fulfill the requirement.
- If yes, reassign or reconfigure as needed. If not, proceed with new procurement.
- Notify AI-IRB for Approval
- If the AI request has potential compliance or ethical concerns, the Asset Manager contacts the AI-IRB Liaison.
- The Liaison may require additional documentation or sign-off.
- Procurement / Provisioning
- Operations executes the standard procurement procedures (SOP 1004-01-AI) for any new hardware.
- For new software or cloud resource usage, the AI-IRB’s stance must be checked again if not previously documented.
- Receive & Track Asset
- Once acquired, the Asset Manager logs the new AI asset into the AI Asset Tracking Database.
- The asset is assigned an Asset ID, location/URL if a cloud instance, and any relevant compliance or license constraints.
- Configure & Deploy
- Operations physically or logically configures the AI asset (e.g. sets up GPU drivers, frameworks, user access).
- The Asset Owner is notified that the asset is ready.
- QA might do initial acceptance testing if the new asset is mission-critical.
- Ongoing Monitoring & Maintenance
- The Asset Manager continuously updates the tracking database whenever the asset is reconfigured, transferred, or repaired.
- If the asset usage changes significantly, a new compliance check with AI-IRB may be triggered.
- QA ensures reconfiguration steps are documented and tested.
- Warranty & Lease Expirations
- The Asset Manager monitors the asset’s warranty or lease timeline.
- If nearing expiration, consult with the AI-IRB Liaison if renewed usage might shift compliance risk.
- Asset Retirement/Disposal
- When an AI asset is no longer needed, it must be destroyed or wiped according to data privacy guidelines.
- For hardware disposal, follow the secure destruction method (physical or magnetic wipe).
- The final status is updated in the AI Asset Tracking Database.
- Periodic Asset Audits
- The Asset Manager performs routine checks to ensure the actual AI environment matches the documented inventory, including verifying Exochain Peer Reviews for any agent-generated asset reconfigurations.
- Any anomalies or unlogged changes are escalated to the AI-IRB Liaison if suspected compliance breach.
SECTION 5: FORMS
- Change/Acquisition Request Form: Document used to request new AI hardware or software, or to upgrade existing.
- Asset Change Form: Used to log modifications or reconfigurations of an existing AI asset.
SECTION 6: EXEMPTIONS
- Sandbox Environments for quick AI prototypes might have minimal tracking if the usage period is less than 72 hours and data used is synthetic or non-sensitive. The AI-IRB must still be informed if any real data is involved.
SECTION 7: TOOLS/SOFTWARE/TECHNOLOGY USED
- AI Asset Tracking Database: Could be an internal web-based system or service (like ServiceNow, Jira, or custom DB).
- E-Mail: Used to communicate changes or requests among the roles.
- File/Document Repositories: Store relevant documentation, including compliance sign-offs and configuration instructions.
END OF SOP-1007-01-AI
@startuml
’ Define participants (using short references in quotes as required)
participant “Engineering” as ENG
participant “Asset Owner” as AO
participant “Asset Manager” as AM
participant “AI-IRB Liaison” as IRB
participant “Operations” as OPS
participant “Technical Support” as TS
participant “Quality Assurance” as QA
ENG -> AO: Discuss AI asset need (new or update)
AO -> AM: Submit Change/Acquisition Request
AM -> AM: Check existing AI asset availability
alt “Asset found”
AM -> AO: Reconfigure or reassign existing AI asset
AM -> ENG: Notify asset is ready
else “No suitable asset”
AM -> IRB: Request compliance review for new asset
IRB —> AM: Approve or Deny usage
alt “Approved”
AM -> OPS: Proceed with procurement/provisioning
OPS —> AM: Asset delivered & prepared
AM -> AO: Assign new asset and update tracking database
else “Denied”
AM -> AO: Notify request is denied
end
end
AO -> OPS: Deploy and configure AI asset
OPS -> QA: [If critical] Request QA acceptance test
QA —> OPS: Provide test results
alt “Test passed”
OPS -> AO: Confirm asset is fully operational
else “Test failed”
OPS -> ENG: Fix identified issues
ENG -> QA: Re-test updated solution
end
AO -> TS: Request operational support if any issues arise
AM -> AM: Periodically audit AI assets for compliance
AM -> IRB: Escalate usage changes for further compliance checks
AO -> AM: Notify of disposal or major upgrade needs
AM -> OPS: Execute secure disposal or major reconfiguration
OPS —> AM: Confirm final status (disposed or reconfigured)
@enduml
Short textual explanation:
This sequence diagram shows how AI-related assets are requested, validated for compliance, and ultimately deployed or reconfigured. Engineering or the Asset Owner initiates the need, and the Asset Manager checks availability. If no suitable asset is found, the AI-IRB Liaison may need to approve new acquisitions. Once approved, Operations acquires or prepares the asset, Quality Assurance tests it if necessary, and the Asset Owner uses it in production. Ongoing reviews and eventual disposal remain under the Asset Manager’s purview, with AI-IRB oversight for any compliance-sensitive changes.