MP-4.1 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
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 intelle
4
artefacts
0
held by a system
1
at each review
hard
to go live
Vendor register / contract repository
where the evidence lives
teal = a system already holds it · olive = produced at each review
system holds itEvidence a system already holds
none for this control
periodic reviewEvidence produced at each review
- Evidence the approach was followed for the components actually in use · Vendor register / contract repository
governing documentDocuments that govern the control
- The documented approach for mapping component technology and legal risk · Vendor register / contract repository
- Component inventory identifying third-party data, models and software · Vendor register / contract repository
- Intellectual property and rights analysis for each third-party component · Vendor register / contract repository
First move
This control is evidenced by people and documents, not systems. Put the document under version control with an owner and review date, and log each review as a record with reviewer and date. Do not try to automate it.
Common gaps auditors find
- Approach documented but not applied to components adopted since
- Pre-trained models used with no analysis of the provenance of their training data
- Rights reviewed for commercial components only, not for freely obtained ones
Do this for your whole sheet
Paste the rows you run your controls from and get this mapping for every control at once, with the periodic-review ones flagged and a first move per row. No account for the first run.
Build my evidence sheetMP-3.5 Processes for human oversight are defined, assessed, and documented in accordance with organizational policies from the GOVERN function · MP-4.2 Internal risk controls for components of the AI system including third-party AI technologies are identified and documented