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

6. Accountability and Integrity

There needs to be human accountability and control in the design, development, and deployment of AI systems. Deployers should be accountable for decisions made by AI systems and for the compliance with applicable laws and respect for AI ethics and principles. AI actors9 should act with integrity throughout the AI system lifecycle when designing, developing, and deploying AI systems. Deployers of AI systems should ensure the proper functioning of AI systems and its compliance with applicable laws, internal AI governance policies and ethical principles. In the event of a malfunction or misuse of the AI system that results in negative outcomes, responsible individuals should act with integrity and implement mitigating actions to prevent similar incidents from happening in the future. To facilitate the allocation of responsibilities, organisations should adopt clear reporting structures for internal governance, setting out clearly the different kinds of roles and responsibilities for those involved in the AI system lifecycle. AI systems should also be designed, developed, and deployed with integrity – any errors or unethical outcomes should at minimum be documented and corrected to prevent harm to users upon deployment

Principle: ASEAN Guide on AI Governance and Ethics, 2024

Published by ASEAN

Related Principles

Accountability

Those responsible for the different phases of the AI system lifecycle should be identifiable and accountable for the outcomes of the AI systems, and human oversight of AI systems should be enabled. This principle aims to acknowledge the relevant organisations' and individuals’ responsibility for the outcomes of the AI systems that they design, develop, deploy and operate. The application of legal principles regarding accountability for AI systems is still developing. Mechanisms should be put in place to ensure responsibility and accountability for AI systems and their outcomes. This includes both before and after their design, development, deployment and operation. The organisation and individual accountable for the decision should be identifiable as necessary. They must consider the appropriate level of human control or oversight for the particular AI system or use case. AI systems that have a significant impact on an individual's rights should be accountable to external review, this includes providing timely, accurate, and complete information for the purposes of independent oversight bodies.

Published by Department of Industry, Innovation and Science, Australian Government in AI Ethics Principles, Nov 7, 2019

· 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)

Principle 7 – Accountability & Responsibility

The accountability and responsibility principle holds designers, vendors, procurers, developers, owners and assessors of AI systems and the technology itself ethically responsible and liable for the decisions and actions that may result in potential risk and negative effects on individuals and communities. Human oversight, governance, and proper management should be demonstrated across the entire AI System Lifecycle to ensure that proper mechanisms are in place to avoid harm and misuse of this technology. AI systems should never lead to people being deceived or unjustifiably impaired in their freedom of choice. The designers, developers, and people who implement the AI system should be identifiable and assume responsibility and accountability for any potential damage the technology has on individuals or communities, even if the adverse impact is unintended. The liable parties should take necessary preventive actions as well as set risk assessment and mitigation strategy to minimize the harm due to the AI system. The accountability and responsibility principle is closely related to the fairness principle. The parties responsible for the AI system should ensure that the fairness of the system is maintained and sustained through control mechanisms. All parties involved in the AI System Lifecycle should consider and action these values in their decisions and execution.

Published by SDAIA in AI Ethics Principles, Sept 14, 2022

Plan and Design:

1 This step is crucial to design or procure an AI System in an accountable and responsible manner. The ethical responsibility and liability for the outcomes of the AI system should be attributable to stakeholders who are responsible for certain actions in the AI System Lifecycle. It is essential to set a robust governance structure that defines the authorization and responsibility areas of the internal and external stakeholders without leaving any areas of uncertainty to achieve this principle. The design approach of the AI system should respect human rights, and fundamental freedoms as well as the national laws and cultural values of the kingdom. 2 Organizations can put in place additional instruments such as impact assessments, risk mitigation frameworks, audit and due diligence mechanisms, redress, and disaster recovery plans. 3 It is essential to build and design a human controlled AI system where decisions on the processes and functionality of the technology are monitored and executed, and are susceptible to intervention from authorized users. Human governance and oversight establish the necessary control and levels of autonomy through set mechanisms.

Published by SDAIA in AI Ethics Principles, Sept 14, 2022

Responsibility and accountability

United Nations system organizations should have in place appropriate oversight, impact assessment, audit and due diligence mechanisms, including whistle blowers’ protection, to ensure accountability for the impacts of the use of AI systems throughout their lifecycle. Appropriate governance structures should be established or enhanced which attribute the ethical and legal responsibility and accountability for AIbased decisions to humans or legal entities, at any stage of the AI system’s lifecycle. Harms caused by and or through AI systems should be investigated and appropriate action taken in response. Accountability mechanisms should be communicated broadly throughout the United Nations system in order to build shared knowledge resources and capacities.

Published by United Nations System Chief Executives Board for Coordination in Principles for the Ethical Use of Artificial Intelligence in the United Nations System, Sept 20, 2022