STATE OF IMPLEMENTATION OF THE OECD AI PRINCIPLES INSIGHTS FROM NATIONAL AI POLICIES OECD DIGITAL ECONOMY PAPERS June 2021 No. 311 2 STATE OF IMPLEMENTATION OF THE OECD AI PRINCIPLES: INSIGHTS FROM NATIONAL AI POLICIES Foreword The State of Implementation of the OECD AI Principles: Insights from National AI Policies was developed by the working group on national AI Policies of the OECD.AI Network of Experts. András Hlács, Vice Chair of the OECD Committee on Digital Economy Policy, and Michael Sellitto, Deputy Director, Stanford Institute for Human-Centred AI (HAI) co-chaired the working group. This report was drafted by Laura Galindo-Romero, Karine Perset, and Nobuhisa Nishigata of the OECD’s Digital Economy Policiy Division, with Karine Perset conducting overall co-ordination and oversight. The experts across the OECD provided guidance, input and comments. They include Luis Aranda, Francesca Sheeka, Louise Hatem, Audrey Plonk, Sarah Box, Gallia Doar, Sandrine Kergroach, Dirk Pilat, and Andrew Wyckoff. This report benefited from the contribution of following experts who presented their AI policy work at the working group meetings. They are: Yeong Zee Kin (Infocomm Media Development Authority, Singapore), Benoit Bergeret (Indust.AI), Ashley Casovan (AI Global), Nicolas Miailhe (The Future Society), Edward Teather (Office for AI, United Kingdom), Marc-Antoine Dilhac (University of Montreal), Li Xiuquan (Ministry of Science and Technology, China), Emilia Gómez (European Commission Joint Research Centre), Jean- François Gagné (Element AI), Françoise Soulé (Hub FranceIA), Bertrand Braunschweig (INRIA), Irene Ek (Agency for Growth Policy Analysis, Sweden), Sandrine Kergroach (OECD), Andreas Hartl (Federal Ministry for Economic Affairs and Energy, Germany), Gillian Docherty (The Data Lab), Deuk Jung Kim (National IT Industry Promotion Agency, Korea), Audrey Plonk (OECD), Yoichi Iida (Ministry of Internal affairs and Communications, Japan), José Antonio Guridi (Ministry of Economy, Development and Tourism, Chile), Carlos Avila (Ministry of Science, Technology, Knowledge and Innovation, Chile), Sally Radwan (Ministry of Communications and Information Technology, Egypt), Mariagrazia Squicciarini (OECD), Jennifer Bernal (Deepmind), Anna Byhovskaya (TUAC), Lynne Parker (National AI Office, United States), Juha Heikkilä (DG-CONNECT, European Commission), Ferenc Kasa (Department for AI, Hungary), Elissa Strome (Canadian Institute for Advanced Research), Michel Morvan (Cosmo Tech) and Fernando Galindo-Rueda (OECD). The experts within the working group and the delegates to the OECD Committee on Digital Economy Policy provided their comments and amendments by sharing and reviewing their contries’ national AI policies. The experts include Samuel Ouellet and Ali Tejpar (Innovation, Science and Economic Development, Canada), Colombia Armando Guio-Espanol (Presidency of the Republic of Colombia), Rose Woolhouse (United Kingdom’s Office for AI), Lord Tim-Clement Jones (Member of the United Kingdom’s Parliament), Sonia Park (National IT Industry Promotion Agency, Korea), Robert Kroplewski (Ministry for Digitalisation of the Information Society, Poland), Lynne Parker (National AI Office, United States), Yannick Meneceur (Council of Europe), Emilia Gomez, Monserrat López, Fabienne Stordeur, Paul Desruelle and Vincent Van- Roy (European Commission) and the delegates include José Antonio Guridi, Carlos Avila and the delegation of Chile; Peter Gornischeff and the delegation of Estonia; Takahiro Matsunaga, Koichi Takagi and the delegation of Japan; Kristina Kirk and the delegation of New Zealand; Andrey Neznamov and the delegation of Russia; Yeong Zee Kin, Angela Wibawa and the delegation of Singapore; and Melisa Tekeli and the delegation of Turkey. The Secretariat wishes to thank also all these experts for their valuable OECD DIGITAL ECONOMY PAPERS STATE OF IMPLEMENTATION OF THE OECD AI PRINCIPLES: INSIGHTS FROM NATIONAL AI POLICIES 3 feedback on earlier drafts, and in particular, Eline Chivot, Colin Van Nord, Cailean Osborne, and Richard Wingfield. This report leverages ongoing work streams throughout the OECD. They include work by the Committee for Scientific and Technological Policy and its Working Party of National Experts on Science and Technology Indicators; the Committee on Industry, Innovation and Entrepreneurship; the Committee on SMEs and Entrepreneurship; the Public Governance Committee and the Observatory of Public Sector Innovation; the Education Policy Committee; the Employment, Labour and Social Affairs Committee; the OECD Parliamentary Group on Artificial Intelligence; the programme on Work, Innovation, Productivity and Skills (AI-WIPS), in addition to the Committee on Digital Economy Policy and its Working Party on Communication Infrastructures and Services Policy as well as the Working Party on Data Governance and Privacy. The authors are grateful to John Tarver for editing this report, and to Joseph Loux, Angela Gosmann and Daisy Pelham for editorial support. The overall quality of this report benefited from their engagement. The support of the Japanese Ministry of Internal affairs and Communications (MIC) is gratefully acknowledged. This report was approved and declassified by the CDEP on 15 April 2021 and prepared for publication by the OECD Secretariat. For more information, please visit www.oecd.ai. Note to Delegations: This document is also available on O.N.E. under the reference code: DSTI/CDEP(2020)15/FINAL This document, as well as any data and any map included herein, are without prejudice to the status of or sovereignty over any territory, to the delimitation of international frontiers and boundaries and to the name of any territory, city or area. © OECD 2021 The use of this work, whether digital or print, is governed by the Terms and Conditions to be found at http://www.oecd.org/termsandconditions. OECD DIGITAL ECONOMY PAPERS 4 STATE OF IMPLEMENTATION OF THE OECD AI PRINCIPLES: INSIGHTS FROM NATIONAL AI POLICIES Abstract This is the first report on the state of implementation of the policy recommendations to governments contained in the OECD AI Principles that were adopted in May 2019. This report presents a conceptual framework, provides findings, identifies good practices, and examines emerging trends in AI policy, particularly on how countries are implementing the five recommendations to policy makers contained in the OECD AI Principles. This report builds both on the expert input provided at meetings of the OECD.AI Network of Experts working group on national AI policies that took place online from February 2020 to April 2021 and on the EC-OECD database of national AI strategies and policies. As policy makers and AI actors around the world move from principles to implementation, this report aims to inform the implementation of the OECD AI Principles. This report is also a contribution to the OECD AI Policy Observatory. OECD DIGITAL ECONOMY PAPERS STATE OF IMPLEMENTATION OF THE OECD AI PRINCIPLES: INSIGHTS FROM NATIONAL AI POLICIES 5 Table of contents Foreword 2 Abstract 4 Background 7 Executive Summary 9 AI policy design 10 AI policy implementation 10 AI policy intelligence to monitor implementation 15 International and multi-stakeholder co-operation on AI 15 1. AI policy design 16 AI policy stages of development 16 Policies to promote inclusive social dialogue on AI 18 Countries and inter-governmental organisations are exploring different regulatory frameworks to ensure trustworthy AI systems 28 2. AI policy implementation 36 Promoting investments in AI R&D 36 Digital infrastructure for AI 46 Shaping an enabling environment for AI 53 AI skills, jobs and labour market transformation 60 3. AI policy intelligence to monitor implementation 68 4. International and multi-stakeholder co-operation on AI 73 International AI research collaboration 73 International and multi-stakeholder co-operation on trustworthy AI 74 OECD DIGITAL ECONOMY PAPERS 6 STATE OF IMPLEMENTATION OF THE OECD AI PRINCIPLES: INSIGHTS FROM NATIONAL AI POLICIES References 78 Annexes 85 Annex A. AI work across the OECD 86 Annex B. OECD.AI Network of experts working group on national AI policies membership 88 FIGURES Figure 1. The expert group’s analytical approach 9 Figure 2. A selection of AI policies that follow OECD AI Principle 2.1 on investing in AI R&D 11 Figure 3. A selection of AI policies that follow OECD AI Principle 2.2 on AI digital infrastructure 12 Figure 4. A selection of AI policies that follow OECD AI Principle 2.3 on shaping an enabling policy environment for AI 13 Figure 5. A selection of AI policies that follow OECD AI Principle 2.4 on AI jobs and skills 14 Figure 6. Timeline of U.S. AI policy actions 17 Figure 7. Governance approaches to national AI policy 21 Figure 8. AI publication time series by country, 2001-2020 37 Figure 9. Top 10% ranked AI publication time series by country, 2001-2020 37 Figure 10. Launch of National AI Research Institutes 40 Figure 11. Germany’s Network of AI Research Competence Centres 41 Figure 12. AI Japan R&D Network 41 Figure 13. AI Hub in Korea 46 Figure 14. GAIA-X 48 Figure 15. Korea’s Data Dam 49 Figure 16. AI+X Project in Korea 54 Figure 17. Germany’s Hubs for Tomorrow 56 Figure 18. Cross-country AI skills penetration 61 Figure 19. Academic offer of advanced digital skills in 2019-20 (EC-JRC) 61 Figure 20. ICT Innovation Centres in Korea 63 Figure 21. Between-country AI skills migration 64 Figure 22. Digital change in the World of Work 66 Figure 23. Domestic and international AI research collaboration