Safe and Ethical AI (SEA) Platform Network · Linking Artificial Intelligence Principles (LAIP)

· (6) Fairness, Accountability, and Transparency

Under the "AI Ready society", when using AI, fair and transparent decision making and accountability for the results should be appropriately ensured, and trust in technology should be secured, in order that people using AI will not be discriminated on the ground of the person's background or treated unjustly in light of human dignity. Under the AI design concept, all people must be treated fairly without unjustified discrimination on the grounds of diverse backgrounds such as race, sex, nationality, age, political beliefs, religion, etc. Appropriate explanations should be provided such as the fact that AI is being used, the method of obtaining and using the data used in AI, and the mechanism to ensure the appropriateness of the operation results of AI according to the situation AI is used. In order for people to understand and judge AI proposals, there should be appropriate opportunities for open dialogue on the use, adoption and operation of AI, as needed. In order to ensure the above viewpoints and to utilize AI safely in society, a mechanism must be established to secure trust in AI and its using data.

Principle: Social Principles of Human-centric AI, Dec 27, 2018

Published by Cabinet Office, Government of Japan

Related Principles

· (1) Human centric

Utilization of AI should not infringe upon fundamental human rights that are guaranteed by the Constitution and international norms. AI should be developed and utilized and implemented in society to expand the abilities of people and to pursue the diverse concepts of happiness of diverse people. In the AI utilized society, it is desirable that we implement appropriate mechanisms of literacy education and promotion of proper uses, so as not to over depend on AI or not to ill manipulate human decisions by exploiting AI. AI can expand human abilities and creativity not only by replacing part of human task but also by assisting human as an advanced instrument. When using AI, people must judge and decide for themselves how to use AI. Appropriate stakeholders involved in the development, provision, and utilization of AI should be responsible for the result of AI utilization, depending on the nature of the issue. In order to avoid creating digital divide and allow all people to reap the benefit of AI regardless of their digital expertise, each stakeholder should take into consideration to user friendliness of the system in the process of AI deployment.

Published by Cabinet Office, Government of Japan in Social Principles of Human-centric AI, Dec 27, 2018

9. Principle of transparency

AI service providers and business users should pay attention to the verifiability of inputs outputs of AI systems or AI services and the explainability of their judgments. Note: This principle is not intended to ask for the disclosure of algorithm, source code, or learning data. In interpreting this principle, privacy of individuals and trade secrets of enterprises are also taken into account. [Main points to discuss] A) Recording and preserving the inputs outputs of AI In order to ensure the verifiability of the input and output of AI, AI service providers and business users may be expected to record and preserve the inputs and outputs. In light of the characteristics of the technologies to be used and their usage, in what cases and to what extent are the inputs and outputs expected to be recorded and preserved? For example, in the case of using AI in fields where AI systems might harm the life, body, or property, such as the field of autonomous driving, the inputs and outputs of AI may be expected to be recorded and preserved to the extent whch is necessary for investigating the causes of accidents and preventing the recurrence of such accidents. B) Ensuring explainability AI service providers and business users may be expected to ensure explainability on the judgments of AI. In light of the characteristics of the technologies to be used and their usage, in what cases and to what extent is explainability expected to be ensured? Especially in the case of using AI in fields where the judgments of AI might have significant influences on individual rights and interests, such as the fields of medical care, personnel evaluation and recruitment and financing, explainability on the judgments of AI may be expected to be ensured. (For example, we have to pay attention to the current situation where deep learning has high prediction accuracy, but it is difficult to explain its judgment.)

Published by Ministry of Internal Affairs and Communications (MIC), the Government of Japan in Draft AI Utilization Principles, Jul 17, 2018

· 2. NEED FOR CONSCIOUS RESPONSIBILITY WHEN CREATING AND USING AI

2.1. Risk based approach. The level of attention to ethical issues in AI and the nature of the relevant actions of AI Actors should be proportional to the assessment of the level of risk posed by specific technologies and AISs and the interests of individuals and society. Risk level assessment must take into account both the known and possible risks; in this case, the level of probability of threats should be taken into account as well as their possible scale in the short and long term. In the field of AI development, making decisions that are significant to society and the state should be accompanied by scientifically verified and interdisciplinary forecasting of socio economic consequences and risks, as well as by the examination of possible changes in the value and cultural paradigm of the development of society, while taking into account national priorities. In pursuance of this Code, the development and use of an AIS risk assessment methodology is recommended. 2.2. Responsible attitude. AI Actors should have a responsible approach to the aspects of AIS that influence society and citizens at every stage of the AIS life cycle. These include privacy; the ethical, safe and responsible use of personal data; the nature, degree and amount of damage that may follow as a result of the use of the technology and AIS; and the selection and use of companion hardware and software. In this case, the responsibility of the AI Actors must correspond to the nature, degree and amount of damage that may occur as a result of the use of technologies and AIS, while taking into account the role of the AI Actor in the life cycle of AIS, as well as the degree of possible and real impact of a particular AI Actor on causing damage, as well as its size. 2.3. Precautions. When the activities of AI Actors can lead to morally unacceptable consequences for individuals and society, the occurrence of which the corresponding AI Actor can reasonably assume, measures should be taken to prevent or limit the occurrence of such consequences. To assess the moral acceptability of consequences and the possible measures to prevent them, Actors can use the provisions of this Code, including the mechanisms specified in Section 2. 2.4. No harm. AI Actors should not allow use of AI technologies for the purpose of causing harm to human life, the environment and or the health or property of citizens and legal entities. Any application of an AIS capable of purposefully causing harm to the environment, human life or health or the property of citizens and legal entities during any stage, including design, development, testing, implementation or operation, is unacceptable. 2.5. Identification of AI in communication with a human. AI Actors are encouraged to ensure that users are informed of their interactions with the AIS when it affects their rights and critical areas of their lives and to ensure that such interactions can be terminated at the request of the user. 2.6. Data security AI Actors must comply with the legislation of the Russian Federation in the field of personal data and secrets protected by law when using an AIS. Furthermore, they must ensure the protection and protection of personal data processed by an AIS or AI Actors in order to develop and improve the AIS by developing and implementing innovative methods of controlling unauthorized access by third parties to personal data and using high quality and representative datasets from reliable sources and obtained without breaking the law. 2.7. Information security. AI Actors should provide the maximum possible protection against unauthorized interference in the work of the AI by third parties by introducing adequate information security technologies, including the use of internal mechanisms for protecting the AIS from unauthorized interventions and informing users and developers about such interventions. They must also inform users about the rules regarding information security when using the AIS. 2.8. Voluntary certification and Code compliance. AI Actors can implement voluntary certification for the compliance of the developed AI technologies with the standards established by the legislation of the Russian Federation and this Code. AI Actors can create voluntary certification and AIS labeling systems that indicate that these systems have passed voluntary certification procedures and confirm quality standards. 2.9. Control of the recursive self improvement of AISs. AI Actors are encouraged to collaborate in the identification and verification of methods and forms of creating universal ("strong") AIS and the prevention of the possible threats that AIS carry. The use of "strong" AI technologies should be under the control of the state.

Published by AI Alliance Russia in Artificial Intelligence Code of Ethics, Oct 26, 2021

· Proportionality and Do No Harm

25. It should be recognized that AI technologies do not necessarily, per se, ensure human and environmental and ecosystem flourishing. Furthermore, none of the processes related to the AI system life cycle shall exceed what is necessary to achieve legitimate aims or objectives and should be appropriate to the context. In the event of possible occurrence of any harm to human beings, human rights and fundamental freedoms, communities and society at large or the environment and ecosystems, the implementation of procedures for risk assessment and the adoption of measures in order to preclude the occurrence of such harm should be ensured. 26. The choice to use AI systems and which AI method to use should be justified in the following ways: (a) the AI method chosen should be appropriate and proportional to achieve a given legitimate aim; (b) the AI method chosen should not infringe upon the foundational values captured in this document, in particular, its use must not violate or abuse human rights; and (c) the AI method should be appropriate to the context and should be based on rigorous scientific foundations. In scenarios where decisions are understood to have an impact that is irreversible or difficult to reverse or may involve life and death decisions, final human determination should apply. In particular, AI systems should not be used for social scoring or mass surveillance purposes.

Published by The United Nations Educational, Scientific and Cultural Organization (UNESCO) in The Recommendation on the Ethics of Artificial Intelligence, Nov 24, 2021

· Transparency and explainability

37. The transparency and explainability of AI systems are often essential preconditions to ensure the respect, protection and promotion of human rights, fundamental freedoms and ethical principles. Transparency is necessary for relevant national and international liability regimes to work effectively. A lack of transparency could also undermine the possibility of effectively challenging decisions based on outcomes produced by AI systems and may thereby infringe the right to a fair trial and effective remedy, and limits the areas in which these systems can be legally used. 38. While efforts need to be made to increase transparency and explainability of AI systems, including those with extra territorial impact, throughout their life cycle to support democratic governance, the level of transparency and explainability should always be appropriate to the context and impact, as there may be a need to balance between transparency and explainability and other principles such as privacy, safety and security. People should be fully informed when a decision is informed by or is made on the basis of AI algorithms, including when it affects their safety or human rights, and in those circumstances should have the opportunity to request explanatory information from the relevant AI actor or public sector institutions. In addition, individuals should be able to access the reasons for a decision affecting their rights and freedoms, and have the option of making submissions to a designated staff member of the private sector company or public sector institution able to review and correct the decision. AI actors should inform users when a product or service is provided directly or with the assistance of AI systems in a proper and timely manner. 39. From a socio technical lens, greater transparency contributes to more peaceful, just, democratic and inclusive societies. It allows for public scrutiny that can decrease corruption and discrimination, and can also help detect and prevent negative impacts on human rights. Transparency aims at providing appropriate information to the respective addressees to enable their understanding and foster trust. Specific to the AI system, transparency can enable people to understand how each stage of an AI system is put in place, appropriate to the context and sensitivity of the AI system. It may also include insight into factors that affect a specific prediction or decision, and whether or not appropriate assurances (such as safety or fairness measures) are in place. In cases of serious threats of adverse human rights impacts, transparency may also require the sharing of code or datasets. 40. Explainability refers to making intelligible and providing insight into the outcome of AI systems. The explainability of AI systems also refers to the understandability of the input, output and the functioning of each algorithmic building block and how it contributes to the outcome of the systems. Thus, explainability is closely related to transparency, as outcomes and ub processes leading to outcomes should aim to be understandable and traceable, appropriate to the context. AI actors should commit to ensuring that the algorithms developed are explainable. In the case of AI applications that impact the end user in a way that is not temporary, easily reversible or otherwise low risk, it should be ensured that the meaningful explanation is provided with any decision that resulted in the action taken in order for the outcome to be considered transparent. 41. Transparency and explainability relate closely to adequate responsibility and accountability measures, as well as to the trustworthiness of AI systems.

Published by The United Nations Educational, Scientific and Cultural Organization (UNESCO) in The Recommendation on the Ethics of Artificial Intelligence, Nov 24, 2021