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

Chapter 1. General Principles

　　1. This set of norms aims to integrate ethics into the entire life cycle of AI, to promote fairness, justice, harmony, safety and security, and to avoid issues such as prejudice, discrimination, privacy and information leakage. 　　2. This set of norms applies to natural persons, legal persons, and other related organizations engaged in related activities such as management, research and development, supply, and use of AI. (1) The management activities mainly refer to strategic planning, formulation and implementation of policies, laws, regulations, and technical standards, resource allocation, supervision and inspection, etc. (2) The research and development activities mainly refer to scientific research, technology development, product development, etc. related to AI. (3) The supply activities mainly refer to the production, operation, and sales of AI products and services. (4) The use activities mainly refer to the procurement, consumption, and manipulation of AI products and services. 　　3. Various activities of AI shall abide by the following fundamental ethical norms. (1) Enhancing the well being of humankind. Adhere to the people oriented vision, abide by the common values of humankind, respect human rights and the fundamental interests of humankind, and abide by national and regional ethical norms. Adhere to the priority of public interests, promote human machine harmony, improve people’s livelihood, enhance the sense of happiness, promote the sustainable development of economy, society and ecology, and jointly build a human community with a shared future. (2) Promoting fairness and justice. Adhere to shared benefits and inclusivity, effectively protect the legitimate rights and interests of all relevant stakeholders, promote fair sharing of the benefits of AI in the whole society, and promote social fairness and justice, and equal opportunities. When providing AI products and services, we should fully respect and help vulnerable groups and underrepresented groups, and provide corresponding alternatives as needed. (3) Protecting privacy and security. Fully respect the rights of personal information, to know, and to consent, etc., handle personal information, protect personal privacy and data security in accordance with the principles of lawfulness, justifiability, necessity, and integrity, do no harm to the legitimate rights of personal data, must not illegally collect and use personal information by stealing, tampering, or leaking, etc., and must not infringe on the rights of personal privacy. (4) Ensuring controllability and trustworthiness. Ensure that humans have the full power for decision making, the rights to choose whether to accept the services provided by AI, the rights to withdraw from the interaction with AI at any time, and the rights to suspend the operation of AI systems at any time, and ensure that AI is always under meaningful human control. (5) Strengthening accountability. Adhere that human beings are the ultimate liable subjects. Clarify the responsibilities of all relevant stakeholders, comprehensively enhance the awareness of responsibility, introspect and self discipline in the entire life cycle of AI. Establish an accountability mechanism in AI related activities, and do not evade liability reviews and do not escape from responsibilities. (6) Improving ethical literacy. Actively learn and popularize knowledge related to AI ethics, objectively understand ethical issues, and do not underestimate or exaggerate ethical risks. Actively carry out or participate in the discussions on the ethical issues of AI, deeply promote the practice of AI ethics and governance, and improve the ability to respond to related issues. 　　4. The ethical norms that should be followed in specific activities related to AI include the norms of management, the norms of research and development, the norms of supply, and the norms of use.

Principle: Ethical Norms for the New Generation Artificial Intelligence, Sep 25, 2021

Published by National Governance Committee for the New Generation Artificial Intelligence, China

Related Principles

Chapter 2. The Norms of Management

　　5. Promotion of agile governance. Respect the law of development of AI, fully understand the potential and limitations of AI, continue to optimize the governance mechanisms and methods of AI. Do not divorce from reality, do not rush for quick success and instant benefits in the process of strategic decision making, institution construction, and resource allocation. Promote the healthy and sustainable development of AI in an orderly manner. 　　6. Active practice. Comply with AI related laws, regulations, policies and standards, actively integrate AI ethics into the entire management process, take the lead in becoming practitioners and promoters of AI ethics and governance, summarize and promote AI governance experiences in a timely manner, and actively respond to the society’s concerns on the ethics of AI. 　　7. Exercise and use power correctly. Clarify the responsibilities and power boundaries of AI related management activities, and standardize the conditions and procedures of power operations. Fully respect and protect the privacy, freedom, dignity, safety and other rights of relevant stakeholders and other legal rights and interests, and prohibit improper use of power to infringe the legal rights of natural persons, legal persons and other organizations. 　　8. Strengthen risk preventions. Enhance bottom line thinking and risk awareness, strengthen the research and judgment on the potential risks during the development of AI, carry out systematic risk monitoring and evaluations in a timely manner, establish an effective early warning mechanism for risks, and enhance the ability of manage, control, and disposal of ethical risks of AI. 　　9. Promote inclusivity and openness. Pay full attention to the rights and demands of all stakeholders related to AI, encourage the application of diverse AI technologies to solve practical problems in economic and social development, encourage cross disciplinary, cross domain, cross regional, and cross border exchanges and cooperation, and promote the formation of AI governance frameworks, standards and norms with broad consensus.

Published by National Governance Committee for the New Generation Artificial Intelligence, China in Ethical Norms for the New Generation Artificial Intelligence, Sep 25, 2021

· 1. THE MAIN PRIORITY OF THE DEVELOPMENT OF AI TECHNOLOGIES IS PROTECTING THE INTERESTS AND RIGHTS OF HUMAN BEINGS COLLECTIVELY AND AS INDIVIDUALS

1.1. Human centered and humanistic approach. In the development of AI technologies, the rights and freedoms of the individual should be given the greatest value. AI technologies developed by AI Actors should promote or not hinder the realization of humans’ capabilities to achieve harmony in social, economic and spiritual spheres, as well as in the highest self fulfillment of human beings. They should take into account key values such as the preservation and development of human cognitive abilities and creative potential; the preservation of moral, spiritual and cultural values; the promotion of cultural and linguistic diversity and identity; and the preservation of traditions and the foundations of nations, peoples and ethnic and social groups. A human centered and humanistic approach is the basic ethical principle and central criterion for assessing the ethical behavior of AI Actors, which are listed in the section 2 of this Code. 1.2. Respect for human autonomy and freedom of will. AI Actors should take all necessary measures to preserve the autonomy and free will of a human‘s decision making ability, the right to choose, and, in general, the intellectual abilities of a human as an intrinsic value and a system forming factor of modern civilization. AI Actors should, during AIS creation, assess the possible negative consequences for the development of human cognitive abilities and prevent the development of AIS that purposefully cause such consequences. 1.3. Compliance with the law. AI Actors must know and comply with the provisions of the legislation of the Russian Federation in all areas of their activities and at all stages of the creation, development and use of AI technologies, including in matters of the legal responsibility of AI Actors. 1.4. Non discrimination. To ensure fairness and non discrimination, AI Actors should take measures to verify that the algorithms, datasets and processing methods for machine learning that are used to group and or classify data concerning individuals or groups do not intentionally discriminate. AI Actors are encouraged to create and apply methods and software solutions that identify and prevent discrimination based on race, nationality, gender, political views, religious beliefs, age, social and economic status, or information about private life. (At the same time, cannot be considered as discrimination rules, which are explicitly declared by an AI Actor for functioning or the application of AIS for the different groups of users, with such factors taken into account for segmentation) 1.5. Assessment of risks and humanitarian impact. AI Actors are encouraged to assess the potential risks of using an AIS, including the social consequences for individuals, society and the state, as well as the humanitarian impact of the AIS on human rights and freedoms at different stages, including during the formation and use of datasets. AI Actors should also carry out long term monitoring of the manifestations of such risks and take into account the complexity of the behavior of AIS during risk assessment, including the relationship and the interdependence of processes in the AIS’s life cycle. For critical applications of the AIS, in special cases, it is encouraged that a risk assessment be conducted through the involvement of a neutral third party or authorized official body when to do so would not harm the performance and information security of the AIS and would ensure the protection of the intellectual property and trade secrets of the developer.

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

· 1. THE KEY PRIORITY OF AI TECHNOLOGIES DEVELOPMENT IS PROTECTION OF THE INTERESTS AND RIGHTS OF HUMAN BEINGS AT LARGE AND EVERY PERSON IN PARTICULAR

1.1. Human centered and humanistic approach. Human rights and freedoms and the human as such must be treated as the greatest value in the process of AI technologies development. AI technologies developed by Actors should promote or not hinder the full realization of all human capabilities to achieve harmony in social, economic and spiritual spheres, as well as the highest self fulfillment of human beings. AI Actors should regard core values such as the preservation and development of human cognitive abilities and creative potential; the preservation of moral, spiritual and cultural values; the promotion of cultural and linguistic diversity and identity; and the preservation of traditions and the foundations of nations, peoples, ethnic and social groups. A human centered and humanistic approach is the basic ethical principle and central criterion for assessing the ethical behavior of AI Actors listed in Section 2 of this Code. 1.2. Recognition of autonomy and free will of human. AI Actors should take necessary measures to preserve the autonomy and free will of human in the process of decision making, their right to choose, as well as preserve human intellectual abilities in general as an intrinsic value and a system forming factor of modern civilization. AI Actors should forecast possible negative consequences for the development of human cognitive abilities at the earliest stages of AI systems creation and refrain from the development of AI systems that purposefully cause such consequences. 1.3. Compliance with the law. AI Actors must know and comply with the provisions of the national legislation in all areas of their activities and at all stages of creation, integration and use of AI technologies, i.a. in the sphere of legal responsibility of AI Actors. 1.4. Non discrimination. To ensure fairness and non discrimination, AI Actors should take measures to verify that the algorithms, datasets and processing methods for machine learning that are used to group and or classify data that concern individuals or groups do not entail intentional discrimination. AI Actors are encouraged to create and apply methods and software solutions that identify and prevent discrimination manifestations based on race, nationality, gender, political views, religious beliefs, age, social and economic status, or information about private life (at the same time, the rules of functioning or application of AI systems for different groups of users wherein such factors are taken into account for user segmentation, which are explicitly declared by an AI Actor, cannot be defined as discrimination). 1.5. Assessment of risks and humanitarian impact. AI Actors are encouraged to: • assess the potential risks of the use of an AI system, including social consequences for individuals, society and the state, as well as the humanitarian impact of an AI system on human rights and freedoms at different stages of its life cycle, i.a. during the formation and use of datasets; • monitor the manifestations of such risks in the long term; • take into account the complexity of AI systems’ actions, including interconnection and interdependence of processes in the AI systems’ life cycle, during risk assessment. In special cases concerning critical applications of an AI system it is encouraged that risk assessment be conducted with the involvement of a neutral third party or authorized official body given that it does not harm the performance and information security of the AI system and ensures the protection of the intellectual property and trade secrets of the developer.

Published by AI Alliance Russia in AI Ethics Code (revised version), Oct 21, 2022 (unconfirmed)

· 2. RESPONSIBILITY MUST BE FULLY ACKNOWLEDGED WHEN CREATING AND USING AI

2.1. Risk based approach. The degree of attention paid to ethical AI issues and the nature of the relevant actions of AI Actors should be proportional to the assessment of the level of risk posed by specific AI technologies and systems for the interests of individuals and society. Risk level assessment shall take into account both known and possible risks, whereby the probability level of threats, as well as their possible scale in the short and long term shall be considered. Making decisions in the field of AI use that significantly affect society and the state should be accompanied by a scientifically verified, interdisciplinary forecast of socio economic consequences and risks and examination of possible changes in the paradigm of value and cultural development of the society. Development and use of an AI systems risk assessment methodology are encouraged in pursuance of this Code. 2.2. Responsible attitude. AI Actors should responsibly treat: • issues related to the influence of AI systems on society and citizens at every stage of the AI systems’ life cycle, i.a. on privacy, ethical, safe and responsible use of personal data; • the nature, degree and extent of damage that may result from the use of AI technologies and systems; • the selection and use of hardware and software utilized in different life cycles of AI systems. At the same time, the responsibility of AI Actors should correspond with the nature, degree and extent of damage that may occur as a result of the use of AI technologies and systems. The role in the life cycle of the AI system, as well as the degree of possible and real influence of a particular AI Actor on causing damage and its extent, should also be taken into account. 2.3. Precautions. When the activities of AI Actors can lead to morally unacceptable consequences for individuals and society, which can be reasonably predicted by the relevant AI Actor, the latter, should take measures to prohibit or limit the occurrence of such consequences. AI Actors shall use the provisions of this Code, including the mechanisms specified in Section 2, to assess the moral unacceptability of such consequences and discuss possible preventive measures. 2.4. No harm. AI Actors should not allow the use of AI technologies for the purpose of causing harm to human life and or health, the property of citizens and legal entities and the environment. Any use, including the design, development, testing, integration or operation of an AI system capable of purposefully causing harm to the environment, human life and or health, the property of citizens and legal entities, is prohibited. 2.5. Identification of AI in communication with a human. AI Actors are encouraged to ensure that users are duly informed of their interactions with AI systems when it affects human rights and critical areas of people’s lives and to ensure that such interaction can be terminated at the request of the user. 2.6. Data security. AI Actors must comply with the national legislation in the field of personal data and secrets protected by law when using AI systems; ensure the security and protection of personal data processed by AI systems or by AI Actors in order to develop and improve the AI systems; develop and integrate innovative methods to counter unauthorized access to personal data by third parties and use high quality and representative datasets obtained without breaking the law from reliable sources. 2.7. Information security. AI Actors should ensure the maximum possible protection from unauthorized interference of third parties in the operation of AI systems; integrate adequate information security technologies, i.a. use internal mechanisms designed to protect the AI system from unauthorized interventions and inform users and developers about such interventions; as well as promote the informing of users about the rules of information security during the use of AI systems. 2.8. Voluntary certification and Code compliance. AI Actors may implement voluntary certification systems to assess the compliance of developed AI technologies with the standards established by the national legislation and this Code. AI Actors may create voluntary certification and labeling systems for AI systems to indicate that these systems have passed voluntary certification procedures and confirm quality standards. 2.9. Control of the recursive self improvement of AI systems. AI Actors are encouraged to cooperate in identifying and verifying information about ways and forms of design of so called universal ("general") AI systems and prevention of possible threats they carry. The issues concerning the use of "general" AI technologies should be under the control of the state.

Published by AI Alliance Russia in AI Ethics Code (revised version), Oct 21, 2022 (unconfirmed)

· Responsibility and accountability

42. AI actors and Member States should respect, protect and promote human rights and fundamental freedoms, and should also promote the protection of the environment and ecosystems, assuming their respective ethical and legal responsibility, in accordance with national and international law, in particular Member States’ human rights obligations, and ethical guidance throughout the life cycle of AI systems, including with respect to AI actors within their effective territory and control. The ethical responsibility and liability for the decisions and actions based in any way on an AI system should always ultimately be attributable to AI actors corresponding to their role in the life cycle of the AI system. 43. Appropriate oversight, impact assessment, audit and due diligence mechanisms, including whistle blowers’ protection, should be developed to ensure accountability for AI systems and their impact throughout their life cycle. Both technical and institutional designs should ensure auditability and traceability of (the working of) AI systems in particular to address any conflicts with human rights norms and standards and threats to environmental and ecosystem well being.

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