learn-ai-governance-with-phoebe / Practitioner session 4 of 8
Learn AI Governance with Phoebe · Practitioner track · Session 4 of 8

GPAI and foundation models what you owe, and when

Almost every team now builds on a foundation model somebody else trained. The EU AI Act carves out a whole regime for those general-purpose AI (GPAI) models - a baseline set of duties for every provider, and a heavier tier for the largest models that could pose systemic risk. The good news for most of us: you are usually a deployer, not a provider. The catch: fine-tune or rebrand a model as your own and you can inherit the provider's obligations. This session sorts out which hat you are wearing. Vantage builds on a third-party LLM here.

🟠 Hands-on AI/ML · providers · deployers GPAI regime Session 4 of 8
0-3 · Welcome 3-22 · Baseline duties 22-40 · Systemic-risk tier 40-45 · Q&A
Part 0

Why GPAI gets its own rulebook

The risk-tier logic from session b1 classifies AI systems by what they do. But a foundation model does not do any one thing - it can be pointed at a thousand tasks downstream. So the Act treats general-purpose AI models as their own category with their own obligations, sitting parallel to the system tiers. If you train, fine-tune, or rebrand such a model, this part of the Act is yours. If you only call one through an API, most of it belongs to your supplier - but you still need to know what to ask them for.

Read this first Educational, not legal advice. This session is a working map of the GPAI regime (Articles 51, 53, 55) to help you spot your role and your duties - it is not a compliance opinion. Real obligations turn on your specific facts. Read Regulation (EU) 2024/1689 and get advice.
Live - presented in session Self-study - full depth after class ★ Try it now Sources covered at the end
★ What you build today A clear read on whether you are a GPAI provider or a downstream deployer, the four baseline duties every provider owes, the extra obligations that kick in for systemic-risk models, and the one move - material fine-tuning under your own name - that flips a deployer into a provider.
Part 1 · covers the baseline regime

Baseline GPAI obligations 9 min live

Every provider of a general-purpose AI model owes four baseline duties under Article 53 - two documentation duties, a copyright policy, and a public training-content summary. Two of them relax for open-source models, but never for systemic-risk ones.

GPAI modelprovider (Art 53) Technical docsAnnex XI - to theAI Office / authorities Downstream docsAnnex XII - for thosewho build on it Copyright policyhonour Art 4(3) TDMopt-outs Training summarypublic, sufficientlydetailed Open-source relaxes the first two docs -free/open model, public params + architecture. The copyright policy and public summary hold for every provider - open or closed, small or systemic.
🔍 Click to zoom - the four baseline GPAI duties
LiveDuty 1 - technical documentation (Annex XI)2 min▶

The provider keeps up-to-date technical documentation of the model and makes it available to the AI Office and national authorities on request. Annex XI sets out what goes in it: the training and testing process, evaluation results, design choices, and the model's capabilities and limitations.

  • Who reads it: the regulator, not the public. It is your evidence that you built and tested the model responsibly.
  • Keep it current: "up-to-date" is doing real work here - it must track material changes to the model.
LiveDuty 2 - documentation for downstream providers (Annex XII)2 min▶

Separately, the provider gives documentation to the companies that will build AI systems on top of the model. Annex XII covers what these downstream providers need: the model's capabilities and limitations, how to integrate it, and what it can and cannot safely be used for.

  • Who reads it: the developers downstream - so they can comply with their own obligations.
  • The point: obligations flow down the chain. A downstream team cannot govern what it was never told.

If you are the deployer calling the model, this is the document you should be asking your supplier for.

LiveDuty 3 - a copyright policy2 min▶

The provider puts in place a policy to comply with EU copyright law. In particular, it must honour the text-and-data-mining (TDM) opt-outs that rights-holders can exercise under Article 4(3) of the Copyright Directive (Directive 2019/790).

  • What it means in practice: if a rights-holder has reserved their content from data mining, your training pipeline must respect that reservation.
  • Why it is here: foundation models are trained on vast scraped corpora - this is the Act's hook to keep that lawful.
LiveDuty 4 - a public training-content summary2 min▶

The provider publishes a "sufficiently detailed summary" of the content used to train the model, following a template provided by the AI Office. This one is public - it is the transparency counterweight to models trained on data nobody can see.

  • Not a full dataset dump: a summary, at the level of detail the template asks for - enough for rights-holders and the public to understand what went in.
  • The template matters: the AI Office sets the shape, so this is not a free-form disclosure.
LiveThe open-source relaxation - and its hard limit2 min▶
  • What relaxes: for a free and open-source model released with public parameters and architecture, the first two documentation duties (Annex XI and XII) are relaxed.
  • What never relaxes: the copyright policy and the public training-content summary stay - open or closed.
  • The hard limit: the open-source relaxation does NOT apply to models with systemic risk. Cross that threshold and every duty is back on, plus the Article 55 tier.
★ Try it now (any chat AI)List the four baseline obligations of a GPAI model provider under Article 53 of the EU AI Act, note which two are relaxed for open-source models, and explain why that relaxation does not apply to systemic-risk models.
Part 2 · the systemic-risk tier

The systemic-risk tier 9 min live

The largest models get extra scrutiny. A model is presumed to carry systemic risk once its training compute crosses 10^25 FLOP - and then a heavier set of duties under Article 55 attaches on top of the baseline.

Training computeabove 10^25 FLOP?(or Commission designation) Systemic riskpresumed - Art 51baseline duties STAY Model evaluationadversarial / red-teaming Assess + mitigate riskat Union level Report incidentsserious ones, to AI Office Cybersecuritymodel + infrastructure Above the threshold, Article 55 stacks four extra duties on top of the four baseline ones.
🔍 Click to zoom - the systemic-risk threshold and the extra duties
LiveThe 10^25 FLOP threshold (Article 51)2 min▶
  • The presumption: a GPAI model is presumed to have high-impact capabilities - and therefore systemic risk - when the cumulative compute used for its training exceeds 10^25 floating-point operations (FLOP).
  • The other route: the Commission can also designate a model as systemic based on other criteria, and it can update the threshold as the field moves.
  • Scale: this catches a handful of frontier models. Almost nothing a typical company trains gets near it.
LiveThe four extra obligations (Article 55)3 min▶

On top of the baseline duties, a systemic-risk model provider must:

  • Evaluate the model - including adversarial testing and red-teaming to find and document risks.
  • Assess and mitigate systemic risks at Union level, across the model's lifecycle.
  • Track and report serious incidents to the AI Office (and relevant authorities), with corrective measures.
  • Ensure cybersecurity of the model and its physical infrastructure.

These are ongoing, operational duties - not a one-time filing. They mirror the kind of frontier-safety work the largest labs already publish.

LiveProvider or deployer? The role that decides everything2 min▶
  • Most companies are deployers of GPAI, not providers - you call a model through an API or embed a licensed one, and the provider's obligations sit with the lab.
  • But you can inherit them: if you materially fine-tune a model, or put a model on the market under your own name or brand, you can become a provider - with the Article 53 (and possibly 55) duties.
  • The honest test: "am I presenting this as my own model, or meaningfully changing what it is?" If yes, assume you have picked up provider obligations.
Real world

Vantage builds on a third-party LLM. Vantage's hiring tool calls a commercial foundation model through an API - it does not train or materially fine-tune it. So the LLM vendor is the GPAI provider and carries the Article 53/55 duties; Vantage is a downstream deployer. Vantage's job is to demand the Annex XII documentation from the vendor and fold it into its own high-risk system file. If Vantage later fine-tuned the model on its own candidate data and shipped it as "Vantage AI", that calculus would change - it could become a provider too.

Practitioner tip Before you assume you are "just a deployer", check your contract and your pipeline. Two things flip you into provider territory: putting the model out under your own name, and fine-tuning it enough to materially change its capabilities. Light prompt-tuning or RAG on top does not - but write down the reasoning either way.
Build-along · take it further

Which hat are you wearing? ★ 10 min

Decide, for one real use of a foundation model, whether it makes you a GPAI provider or a downstream deployer - and what you owe as a result.

Name the model + your use. Which foundation model do you rely on, and how - API call, embedded license, or your own training/fine-tuning?

Apply the two flip tests. Are you putting it out under your own name? Are you materially fine-tuning it? A yes to either points to provider; two no's point to deployer.

List what you owe. If deployer: the documentation you must get from your provider (Annex XII) and fold into your own system file. If provider: the four baseline duties, plus the Article 55 tier if you are anywhere near systemic scale.

Reflect. In one line: are you certain your vendor actually meets its GPAI duties - and have you asked them for the evidence?

★ Vantage after b4 Vantage confirms it is a downstream deployer of its LLM vendor, not a GPAI provider. So its job is not the four baseline duties - it is to demand the vendor's Annex XII documentation and copyright/training assurances, and file them as evidence in its own high-risk system dossier. One decision, and Vantage knows exactly which obligations are the vendor's and which are its own.
Homework

Before session b5 ◐ 40 min total

Source material

Official sources covered

Taught from the EU AI Act text. This page covers ~80% of the working content on the GPAI regime.

✓EU AI Act Article 53 (baseline GPAI obligations)Part 1 · the four duties + the open-source relaxation
✓EU AI Act Article 51 (systemic-risk classification)Part 2 · the 10^25 FLOP threshold + designation
✓EU AI Act Article 55 (systemic-risk obligations)Part 2 · evaluation, mitigation, incidents, cybersecurity
Check yourself

Three questions before you go 🎯 ◐ 90 seconds

1 · Which baseline GPAI duty is public (not just filed with regulators)?

The training-content summary is published following the AI Office template. The Annex XI docs go to the AI Office/authorities on request, and Annex XII docs go to downstream providers - neither is public.

2 · A GPAI model is presumed to carry systemic risk when...

Article 51 sets a presumption of systemic risk above 10^25 FLOP of training compute; the Commission can also designate a model and update the threshold. Open/closed and user counts are not the test.

3 · Your team calls a commercial LLM through an API without fine-tuning it. You are...

Calling a model as-is makes you a deployer; the vendor is the GPAI provider. You would only inherit provider duties by materially fine-tuning the model or putting it out under your own name.

Practitioner session 4 cheat sheet · pin this

GPAI is parallelFoundation-model duties sit alongside the system risk tiers, not inside them.
Four baseline dutiesAnnex XI tech docs, Annex XII downstream docs, a copyright policy, a public training summary (Art 53).
Copyright policyComply with EU copyright law and honour Art 4(3) TDM opt-outs (Directive 2019/790).
Public summaryA sufficiently detailed summary of training content, on the AI Office template.
Open-source relaxes 2Free/open models drop the two doc duties - but never the copyright policy or summary.
Systemic thresholdPresumed above 10^25 FLOP training compute, or by Commission designation (Art 51).
Art 55 extrasModel evaluation + red-teaming, assess/mitigate systemic risk, report incidents, cybersecurity.
Provider vs deployerMost are deployers - but fine-tune or rebrand a model as your own and you become a provider.