Data & Information ยท DAT-07
Controlled access and sharing
AI systems and their users can reach only the data they need for the agreed purpose, and data is shared into and out of AI systems only under agreed rules.
Why it matters
AI systems are often given broad access to make them work quickly, and then surface data to users who would never have been allowed to see it directly. Applying least privilege and sharing rules to the AI system itself, not only to its users, keeps existing permissions meaningful.
Levels
| 0 Absent | Confirmed absent: the evidence shows nothing is in place. Not known is recorded as insufficient evidence, not 0. |
|---|---|
| 1 Initial | AI systems are given whatever access makes them work; sharing happens without agreed rules. |
| 2 Developing | Access is restricted for some systems or data, but AI systems' own access is not reviewed and sharing rules are informal. |
| 3 Defined | Access to data by AI systems and users is limited to the agreed purpose and approved, sharing follows agreements, and live sensitive data in development is controlled. |
| 4 Managed | Access rights and sharing agreements for AI are reviewed on a set cycle, excess access is removed, and breaches of sharing rules are detected and acted on. |
| 5 Optimising | Access and sharing controls for AI are applied automatically from data classification and purpose, and are refined from review findings. |
Level 3 criteria
Level 3 is met when every applicable criterion is met. Criteria marked with an overlay apply only to organisations with that characteristic (overlays).
- DAT-07.1 Access by each AI system and its users is limited to what the agreed purpose needs.
- DAT-07.2 Access by each AI system and its users is approved by the data owner.
- DAT-07.3 Sharing data with other systems or organisations follows documented agreements.
- DAT-07.4 A documented route exists for requesting access to data for AI work.
- DAT-07.5 Live personal or sensitive data is used in development, test or experimentation only with data owner approval.
- DAT-07.6 Live personal or sensitive data used in development, test or experimentation is minimised or protected.
Assessment questions
- What data can this AI system reach, and could a user obtain through it something they could not see directly?
- Who approved that access, and when was it last reviewed?
- Where data is shared with another organisation or service for AI, what agreement covers it?
- Access approvals and the latest access review for a sample of AI systems
- Data sharing agreements covering AI use
How to reach Level 3
- For each AI system, define the data it and its users need for the agreed purpose and limit access to that, with data owner approval.
- Put sharing with other systems or organisations under documented agreements.
- Publish a route for requesting access to data for AI work.
- Require data owner approval before live personal or sensitive data is used in development, test or experimentation, and minimise or protect it when it is.
Common pitfalls
- Giving an AI system broad service account access because it is easier to set up.
- Copying live data into test environments without approval.
Starter artefacts
- Access approval record per AI system
- Data sharing agreement template
- Data access request form
Ownership and sequence
- Accountable
- data owner
- Contributors
- security lead, delivery lead
- Depends on
- DAT-02
- Roadmap step
- 2
- Lifecycle
- design, acquire_build, deploy, operate, retire
Cross-references
| AI Cyber Security Code of Practice | 2.5 partial; 2.6 partial; 4.4 partial; 5.4 direct; 6.1 partial; 6.3 partial; 13.1 partial |
|---|---|
| Algorithmic Transparency Recording Standard | Tier 2 Development data specification direct; Tier 2 Operational data specification direct |
| JSP 936 Part 1 | para 168 partial |
| MITRE AI Maturity Model | P5.2 direct; P5.4 direct |
| NIST AI 600-1 | R4 partial |
| UK Data and AI Ethics Framework | Privacy 4 partial; Privacy 7 direct; Safety 3 partial; Safety 4 partial; SAT 1.7 direct; SAT 2.6 partial |
| UNESCO AI Maturity Framework | 3.4 partial; 6.3 direct |
direct: this control at Level 3 meets the item. partial: it covers part of it.