Chapter 5. The Norms of Use

  18. Promote good use. Strengthen the justifications and evaluations of AI products and services before use, fully get aware on the benefits of AI products and services, and fully consider the legitimate rights and interests of various stakeholders, so as to better promote economic prosperity, social progress and sustainable development.   19. Avoid misuse and abuse. Fully get aware and understand the scope of applications and potential negative effects of AI products and services, and earnestly respect the rights of relevant entities not to use AI products or services, avoid improper use, misuse and abuse of AI products and services, and avoid unintended cause of damages to the legitimate rights and interests of others.   20. Forbid malicious use. It is forbidden to use AI products and services that do not comply with laws, regulations, ethical norms, and standards. It is forbidden to use AI products and services to engage in illegal activities. It is strictly forbidden to endanger national security, public safety and production safety, and it is strictly forbidden to do harm to public interests.   21. Timely and Proactive feedback. Actively participate in the practice of AI ethics and governance, prompt feedback to relevant subjects and assistance for solving problems are expected when technical safety and security flaws, policy and law vacuums, and lags of regulation are found in the use of AI products and services.   22. Improve the ability to use. Actively learn AI related knowledge, and actively master the skills required for various phases related to the use of AI products and services, such as operation, maintenance, and emergency response, so as to ensure the safe and efficient use of them.
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 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.

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

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

Chapter 4. The Norms of Supply

  14. Respect market rules. Strictly abide by the various rules and regulations for market access, competition, and trading activities, actively maintain market order, and create a market environment conducive to the development of AI. Data monopoly, platform monopoly, etc. must not be used to disrupt the orderly market competitions, and any means that infringe on the intellectual property rights of other subjects are forbidden.   15. Strengthen quality control. Strengthen the quality monitoring and the evaluations on the use of AI products and services, avoid infringements on personal safety, property safety, user privacy, etc. caused by product defects introduced during the design and development phases, and must not operate, sell, or provide products and services that do not meet the quality standards.   16. Protect the rights and interests of users. Users should be clearly informed that AI technology is used in products and services. The functions and limitations of AI products and services should be clearly identified, and users’ rights to know and to consent should be ensured. Simple and easy to understand solutions for users to choose to use or quit the AI mode should be provided, and it is forbidden to set obstacles for users to fairly use AI products and services.   17. Strengthen emergency protection. Emergency mechanisms and loss compensation plans and measures should be investigated and formulated. AI systems need to be timely monitored, user feedbacks should be responded and processed in a timely manner, systemic failures should be prevented in time, and be ready to assist relevant entities to intervene in the AI systems in accordance with laws and regulations to reduce losses and avoid risks.

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

9. Safety and Security

Agencies should promote the development of AI systems that are safe, secure, and operate as intended, and encourage the consideration of safety and security issues throughout the AI design, development, deployment, and operation process. Agencies should pay particular attention to the controls in place to ensure the confidentiality, integrity, and availability of the information processed, stored, and transmitted by AI systems. Agencies should give additional consideration to methods for guaranteeing systemic resilience, and for preventing bad actors from exploiting AI system weaknesses, including cybersecurity risks posed by AI operation, and adversarial use of AI against a regulated entity’s AI technology. When evaluating or introducing AI policies, agencies should be mindful of any potential safety and security risks, as well as the risk of possible malicious deployment and use of AI applications.

Published by The White House Office of Science and Technology Policy (OSTP), United States in Principles for the Stewardship of AI Applications, Nov 17, 2020

6 Promote artificial intelligence that is responsive and sustainable

Responsiveness requires that designers, developers and users continuously, systematically and transparently examine an AI technology to determine whether it is responding adequately, appropriately and according to communicated expectations and requirements in the context in which it is used. Thus, identification of a health need requires that institutions and governments respond to that need and its context with appropriate technologies with the aim of achieving the public interest in health protection and promotion. When an AI technology is ineffective or engenders dissatisfaction, the duty to be responsive requires an institutional process to resolve the problem, which may include terminating use of the technology. Responsiveness also requires that AI technologies be consistent with wider efforts to promote health systems and environmental and workplace sustainability. AI technologies should be introduced only if they can be fully integrated and sustained in the health care system. Too often, especially in under resourced health systems, new technologies are not used or are not repaired or updated, thereby wasting scare resources that could have been invested in proven interventions. Furthermore, AI systems should be designed to minimize their ecological footprints and increase energy efficiency, so that use of AI is consistent with society’s efforts to reduce the impact of human beings on the earth’s environment, ecosystems and climate. Sustainability also requires governments and companies to address anticipated disruptions to the workplace, including training of health care workers to adapt to use of AI and potential job losses due to the use of automated systems for routine health care functions and administrative tasks.

Published by World Health Organization (WHO) in Key ethical principles for use of artificial intelligence for health, Jun 28, 2021