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The organization shall determine and document details about the acquisition and selection of data used in AI systems, including provenance and consent where applicable.

The organization shall document the provenance of data used in AI systems to enable evaluation and traceability.

Approaches for mapping AI technology and legal risks of its components – including the use of third-party data or software – are in place, followed, and documented, as are risks of infringement of a third-party’s intellectual property or other rights. There is a followed approach for mapping the technology and legal risk carried by each component, including data and software obtained from third parties and the rights position attached to them.

Policies and procedures are in place that address AI risks associated with third-party entities, including risks of infringement of a third party’s intellectual property or other rights. Third-party AI risk is addressed by policy covering data, models, software and services obtained externally, including the rights position on training data and model outputs.

High-risk AI systems that make use of techniques involving the training of AI models shall use training, validation and testing data that meet the quality criteria in Art.10(2)-(5): appropriate data governance, examination for possible biases, identification of data gaps/shortcomings, statistically relevant datasets to the intended purpose, and considerations specific to the geographical, contextual, behavioural or functional setting of intended use.

High-risk AI systems shall be designed and developed in such a way that they achieve an appropriate level of accuracy, robustness, and cybersecurity, and shall perform consistently in those respects throughout their lifecycle. Resilience to errors, faults and inconsistencies; protection against attempts by unauthorised third parties to alter use, output or performance (incl data poisoning, model poisoning, adversarial examples and confidentiality attacks).

Providers of general-purpose AI models must draw up and keep up to date the technical documentation of the model, including its training and testing process and the results of its evaluation, containing at least the Annex XI information, for provision on request to the AI Office and the national competent authorities; draw up, keep up to date and make available to providers who intend to integrate the model information and documentation containing at least the Annex XII elements and sufficient to let them understand the model's capabilities and limitations and meet their own obligations; put in place a policy to comply with Union law on copyright and related rights, including identifying and complying, through state of the art technologies, with a reservation of rights expressed under Art.4(3) of Directive (EU) 2019/790; and draw up and make publicly available a sufficiently detailed summary of the content used for training, following the template provided by the AI Office. The two documentation duties do not apply to models released under a free and open source licence meeting the stated conditions, unless the model has systemic risk. Providers must cooperate with the Commission and the national competent authorities, and where they neither adhere to an approved code of practice nor comply with a European harmonised standard they must demonstrate alternative adequate means of compliance for assessment by the Commission.

Where personal data has not been obtained from the data subject, provide the same identity, contact, purpose, legal basis, recipient and transfer information as Article 13, plus the categories of personal data concerned and the source the data came from including whether it was a publicly accessible source. Provide it within a reasonable period and at the latest within one month of obtaining the data, or at the latest at the first communication with the data subject if the data is used to communicate with them, or at the latest when the data is first disclosed to another recipient. The obligation does not apply where the data subject already has the information, where provision proves impossible or would involve disproportionate effort in which case appropriate protective measures including making the information publicly available must be taken, where obtaining or disclosure is expressly laid down by Union or Member State law with appropriate safeguards, or where the data must remain confidential under an obligation of professional secrecy.

Process personal data only where at least one lawful basis applies: the data subject's consent, necessity for a contract with the data subject or pre-contractual steps at their request, compliance with a legal obligation, protection of vital interests, performance of a public interest task or exercise of official authority, or legitimate interests that are not overridden by the data subject's interests, rights and freedoms. Public authorities cannot rely on legitimate interests for processing carried out in performance of their tasks. Where the basis is legal obligation or public task, that basis must be laid down in Union or Member State law and the purpose must be determined in it. Before processing for a purpose other than the one collected for, without consent or a legal mandate, assess compatibility against the link between the purposes, the context of collection, the nature of the data, the consequences for the data subject and the safeguards in place.

Where data come from elsewhere the controller must give the Article 13 information plus the categories of data and the source (including whether publicly accessible), within a reasonable period and at the latest one month after obtaining the data, or at first communication with the data subject, or when first disclosing to another recipient, and must tell the data subject before further processing for a new purpose. The duty falls away where the data subject already has the information, where obtaining or disclosure is expressly required by domestic law with appropriate protections, where professional secrecy requires confidentiality, where providing the information is impossible or would involve disproportionate effort (judged by the number of data subjects, the age of the data and the safeguards), or where it would render impossible or seriously impair the purposes; a controller relying on the last two must protect the data subject's interests, including by publishing the information.

Processing is lawful only if at least one basis applies: consent for specific purposes, contract with the data subject, legal obligation, vital interests, a public task laid down in domestic law or relevant international law (section 9A of the 2018 Act), a recognised legitimate interest, or legitimate interests not overridden by the data subject's interests, rights and freedoms (particularly where the data subject is a child). Neither legitimate-interest basis is open to public authorities performing their tasks. A recognised legitimate interest (Article 6(1)(ea)) applies only where a condition in Annex 1 is met: disclosure on request to a body that states it needs the data for a public task, national security, public security or defence, responding to an emergency, detecting or preventing crime or prosecuting offenders, and safeguarding a vulnerable individual (under 18, or 18 or over and at risk); no balancing test is required for these. Article 6(11) gives direct marketing, intra-group transmission for internal administration and network and information security as examples of processing that may be necessary for legitimate interests, which still need the balancing test.