Data Acquisition Legal Considerations

While sourcing terabytes of text data is an engineering challenge, navigating the legal issues surrounding that data is equally significant, particularly given the scale involved in LLM pre-training. Using data improperly can lead to substantial legal risks, reputational damage, and potentially invalidate the significant investment made in training. As engineers building these models, understanding the basic legal boundaries is not about becoming lawyers, it's about implementing responsible data acquisition practices and recognizing potential red flags.

Copyright and Fair Use

Most creative works, including website text, books, and articles, are automatically protected by copyright upon creation. This grants the creator exclusive rights to reproduce, distribute, and create derivative works. Training an LLM arguably involves reproduction (copying data into the training set) and potentially creating derivative works (the model's outputs).

Using copyrighted material without permission is infringement, unless an exception applies. In the United States, the most relevant exception is "fair use". Fair use considers factors like:

1. The purpose and character of the use (e.g., commercial vs. non-profit educational).
2. The nature of the copyrighted work.
3. The amount and substantiality of the portion used.
4. The effect of the use upon the potential market for the copyrighted work.

The application of fair use to LLM training is currently a subject of intense legal debate and active litigation. Arguments for fair use often center on the training (using text to extract statistical patterns rather than presenting the original content) and the public benefit of AI advancement. Arguments against highlight the volume of data copied and the potential for LLMs to generate outputs that compete with the original works. As an engineer, you should operate under the assumption that using copyrighted data carries risk, and the fair use defense is not guaranteed. Documenting your data sources and the rationale for their inclusion is important.

Data Licensing

Aside from copyright defaults, data is often shared under specific licenses. Understanding these licenses is essential.

• Permissive Open Licenses: Licenses like Creative Commons Zero (CC0), CC BY, MIT, or Apache 2.0 are generally preferred.
  • CC0: Public domain dedication, fewest restrictions.
  • CC BY: Requires attribution.
  • CC BY-SA: Requires attribution and that derivative works (potentially including models trained on the data, though this is debated) be shared under the same or a compatible license (ShareAlike).
  • MIT/Apache 2.0: Common for code but sometimes applied to datasets, generally permissive but require retaining license text and copyright notices.
• Restrictive Licenses: Some datasets might have licenses prohibiting commercial use (CC BY-NC), restricting derivative works (CC BY-ND), or custom licenses with specific limitations. Data acquired through private agreements or data vendors will also have contractual restrictions.
• Implied Licenses: Sometimes, data is made publicly available without an explicit license. The legal status here can be ambiguous.

Maintaining provenance and tracking the license associated with each piece of data ingested into your training corpus is a critical engineering task. This metadata is necessary for compliance audits and managing risk. Simple tracking might involve storing license information alongside dataset identifiers.

Simplified flow showing different data sources with varying license types feeding into a central training corpus, highlighting the need for tracking.

Web Scraping Practices

Acquiring web data requires technical and legal diligence.

• robots.txt: This file provides directives for web crawlers. While not always legally binding everywhere, ignoring it (especially Disallow directives) is often considered bad practice, can violate Terms of Service, and increases legal risk. Respecting robots.txt is a standard part of responsible scraping.

  You can use Python's urllib.robotparser to check robots.txt:

  import urllib.robotparser
  import urllib.request
  
  # URL of the website's robots.txt
  robots_url = 'https://example.com/robots.txt'
  # User agent string for your crawler
  user_agent = 'MyLLMDataCrawler/1.0 (+http://mycrawlerinfo.example.com)'
  # URL you intend to crawl
  url_to_check = 'https://example.com/private/data'
  
  rp = urllib.robotparser.RobotFileParser()
  
  try:
      # It's good practice to set a timeout
      with urllib.request.urlopen(robots_url, timeout=10) as response:
          # Read and decode the content
          content = response.read().decode('utf-8')
          rp.parse(content.splitlines())
  
          # Check if fetching is allowed for your user agent
          if rp.can_fetch(user_agent, url_to_check):
              print(f"Crawling allowed for {url_to_check}")
              # Proceed with fetching url_to_check
          else:
              print(f"Crawling DISALLOWED for {url_to_check} by robots.txt")
  
  except urllib.error.URLError as e:
      print(f"Error accessing robots.txt at {robots_url}: {e}")
  except Exception as e:
      print(f"Error parsing robots.txt: {e}")
  
  # Always implement polite delays between requests
  # import time
  # time.sleep(5) # Wait 5 seconds before next request to the same server
  

• Terms of Service (ToS): Websites often have ToS pages outlining permissible uses. Many explicitly prohibit automated scraping. Violating ToS can be considered a breach of contract and, in some jurisdictions (like the US under the Computer Fraud and Abuse Act - CFAA), potentially unauthorized access, although the application of CFAA to public website scraping is also legally contested. Always review the ToS of major data sources.

• Server Load: Aggressive scraping can overload a website's servers, potentially causing denial of service. This is unethical and can lead to IP bans or legal complaints. Implement polite scraping practices: respect Crawl-delay directives in robots.txt, use appropriate user agents, and implement rate limiting.

Personally Identifiable Information (PII)

Massive datasets, especially web crawls, often contain PII (names, email addresses, phone numbers, financial details, health information). Training on PII poses significant privacy risks and can violate regulations like GDPR (General Data Protection Regulation) in Europe or CCPA (California Consumer Privacy Act).

While Chapter 7 discusses data cleaning techniques, including PII scrubbing using methods like regular expressions or Named Entity Recognition (NER) models, achieving perfect PII removal at scale is extremely difficult. The risk of models memorizing and potentially regurgitating PII learned during training is a serious concern. Minimizing the ingestion of PII through careful source selection and filtering is a necessary step.

Data Provenance and Diligence

Ultimately, responsible data acquisition involves careful planning and documentation. Maintain clear records of:

• Where each part of your dataset came from.
• The license or legal basis under which it was obtained.
• Any preprocessing steps applied (especially filtering or PII scrubbing).

This provenance is invaluable for ensuring compliance, debugging model behavior (e.g., tracing sources of bias or toxicity), and responding to potential legal inquiries. The legal environment for LLM training data is dynamic; consult with legal experts familiar with data privacy and intellectual property law in relevant jurisdictions. Your role as an engineer is to build systems that allow for compliance with legal requirements and facilitate risk management through meticulous data handling practices.