Module 2: AI Impacts on People and Responsible AI Principles: Existing and Emerging Ethical Guidance on AI

Question 1

In which principles have ethical guidance and organizational design for privacy, security, and other data- or technology-related functions been rooted?

Answer 1

• Fair Information Practice Principles (FIPP)
• Organization for Economic Cooperation and Development (IECD) Principles

Question 2

Name some significant AI ethics publications.

Answer 2

• OECD AI principles (2019)
• White House Office of Science and Technology Policy Blueprint for an AI Bill of Rights (2021)
• UNESCO Principles
• Asilomar AI Principles
• Institute of Electrical and Electronics Engineers Initiative on Ethics of Autonomous and Intelligent Systems
• CNIL AI Action Plan

Question 3

What are the key ethical issues for AI?

Answer 3

• Lawfulness
• Safety for people and the planet
• Protection from unfair bias
• AI use that is transparent and explainable
• Appropriate individual choices about the use of personal information to develop AI
• Option for human intervention in AI-driven decisions impacting legal rights or well-being
• Organizational accountability to ensure AI is secure and responsibly managed

Question 4

Name the factors involved in creating ethical AI.

Answer 4

• Legal and Compliance
• Equitable design
• Transparency and Interpretability
• Privacy and Cybersecurity
• Data governance

Question 5

Name some organizational tasks with regard to use of AI.

Answer 5

Assess whether the organization has appropriate policies and procedures in place for risks such as:

• Unfair bias/disparate impact
• Privacy
• Cybersecurity and data governance

Question 6

What are the 5 OECD AI Principles? When were they established?

Answer 6

1) Inclusive growth, sustainable development and well-being
2) Human rights and democratic values, including fairness and privacy
3) Transparency and explainability
4) Robustness, security and safety
5) Accountability (for proper functioning of AI systems)

2019

Question 7

What is the significance of the Institute of Electrical and Electronics Engineers (IEEE) Initiative on Ethics of Autonomous and Intelligent Systems?

Answer 7

In 2017 it created a document on Ethically Designed Design, a “vision for prioritizing human well-being with autonomous and intelligent systems.”

Question 8

What are the Asilomar AI Principles?

Answer 8

23 principles established in 2017, grouped into the following categories: research, ethics and values, and long-term aspects; formative to many subsequent AI ethics and governance efforts.

Question 9

What did the High-Level Expert Group on Artificial Intelligence (AI HLEG) (EU) accomplish?

Answer 9

They created a checklist in 2020 for self-assessment when implementing key EU requirements for trustworthy AI.

Question 10

What is the White House Office of Science and Technology Policy Blueprint for an AI Bill of Rights?

Answer 10

Guiding principles for the design, use and deployment of automated systems to protect the rights of the American public published in 2021.

1) Safe and Effective Systems
2) Algorithmic Discrimination Protections
3) Data Privacy
4) Notice and Explanation
5) Human Alternatives, Considerations and Fallback

Question 11

What are the UNESCO Principles?

Answer 11

The first global standard on AI ethics, the Recommendation on the Ethics of Artificial Intelligence, focused on protecting human rights and dignity and advancing principles such as transparency and fairness. (2021)

Question 12

What is the CNIL AI Action Plan?

Answer 12

An action plan published in 2023 for the deployment of AI systems that respect the privacy of individuals, structured around four objectives:

1) Understanding the functioning of AI systems and their impacts for people.
2) Enabling and guiding the development of AI that respects personal data.
3) Federating and supporting innovative players in the AI ecosystem in France and Europe.
4) Audit and control AI systems and protect people.

Question 13

What is required of AI models and systems per the FTC’s guidance on transparency and interpretability?

Answer 13

• AI models and products with embedded AI should be labeled as such both internally and externally.
• Consumers should be notified when they are interacting with AI or receiving output/decisions generated by AI. (e.g. chatbots)
• Decisions made by AI should be explainable to a consumer. This also applies when AI is provided by a third party. As such, third-party due diligence, so contracts should ensure a third party can provide explanations of AI-generated decisions.

Question 14

Name the primary Privacy and Cybersecurity considerations for AI.

Answer 14

• Use of personal information to develop and train AI should be disclosed in privacy notices.
• Consent must be obtained in compliance with applicable privacy regulations (e.g., General Data Protection Regulation (GDPR), California Consumer Privacy Act (CCPA) , U.S. state privacy laws, Brazil’s LGPD, and others) for use of personal information for automated profiling.
• Consumers should be able to access and delete their personal information used to develop and train AI models in compliance with applicable laws.
• Data minimization: Personal data unlikely to improve the model should not be included.
• AI must be developed to mitigate the risk of cyber intrusion, such as the extraction of personal information or poisoning of the model.