RESOURCERESOURCE GUIDE GUIDE ONON ARTIFICIAL RESOURCEARTIFICIAL INTELLIGENCEINTELLIGENCEGUIDE STRATEGIES STRATEGIES ON ARTIFICIAL INTELLIGENCE STRATEGIES Resource Guide ON ARTIFICIAL INTELLIGENCE (AI) STRATEGIES April 2021 1 Table of Contents Chapter 1: Introduction ........................................................................................................................................... 4 Chapter 2: Ethics of AI .............................................................................................................................................. 6 Introduction ............................................................................................................................................................. 6 Ethical implications of AI .......................................................................................................... 8 Call for an ethical approach to development and use of AI ................................................... 10 United Nations work on AI Ethics .................................................................................................................. 10 Key References .................................................................................................................................................... 11 International Organizations .................................................................................................... 11 National Governments .......................................................................................................... 17 Private Organizations ............................................................................................................. 23 Civil Society ............................................................................................................................. 29 Chapter 3: Technical Standards for AI and International Strategy ....................................................... 41 Introduction to Technical Standards ............................................................................................................ 41 Standards Development ................................................................................................................................... 42 Conformity Assessment .................................................................................................................................... 43 Standards in Governance ................................................................................................................................. 43 Artificial Intelligence Standards ..................................................................................................................... 44 Open Platforms Advanacing Various Aspects of AI and Machine Learning ..................................... 44 AI Standards Strategies ..................................................................................................................................... 45 Key References .................................................................................................................................................... 47 Chapter 4: National AI Strategies and International Organizations ..................................................... 56 Introduction .......................................................................................................................................................... 56 Key References .................................................................................................................................................... 57 National Strategies ................................................................................................................. 57 International Organizations .................................................................................................... 67 Chapter 5: Observations on the Ways Forward ........................................................................................... 75 Bibliography .............................................................................................................................................................. 79 Annex I: Roadmap for the UNESCO Recommendation on the Ethics of Artificial Intelligence ...... 84 Annex II: Past, ongoing and future initiatives related, either directly or indirectly, to the ethical, legal and social implications of AI within the UN system ...................................................................... 9696 Annex III: Summary Table of Ethical Principles ................................................................................... 100100 Annex IV: Artificial Intelligence Terminology .............................................................................................. 117 2 Acknowledgement The Resource Guide on Artificial Intelligence (AI) Strategies is a UN publication laying out existing resources on artificial intelligence ethics, policies and strategies on national, regional and international level. The work on the Guide was led by Wei Liu (DESA) with input from Richard A. Roehl (DESA), under supervision of Shantanu Mukherjee (DESA). The Guide represents a collaborative effort and reflects the input and contributions of experts in the field of technology and innovation. Overall comments and inputs were received from (in alphabetical order) Joe Hironaka, Maksim Karliuk, Prateek Sibal, Rachel Pollack and Shiyao Ke from UNESCO; Huadong Guo from Chinese Academy of Governance Mario Cervantes, Karin Perset (OECD); Monika Matusiak and Veerle Vandeweerd (European Commission); Naoto Kanehira (World Bank); William Colglazier (the American Association for Advancement of Science); Xiaolan Fu (Oxford University); Yu Ping Chan (United Nations Office of the Envoy on Technology) and Zhengzhong Xu (Chinese Academy of Governance). Chapter 2 received contributions primarily from UNESCO: Dafna Feinholz, Jo Hironaka, Xianhong Hu, Misako Ito, Melissa Tay Ru Jein, Maksim Karliuk, Shiyao Ke, Rachel Pollack, Sasha Rubel, Prateek Sibal, Cedric Wachholz; Alica Daly (WIPO); Bob Bell Jr. and Pilar Fajarnes Garces (UNCTAD); Ewa Staworzynska (ILO); Inese Podgaiska (Association of Nordic Engineers); Jayant Narayan (World Economic Forum); Merve Hickok (Center for AI & Digital Policy); Maria Jose Escobar Silva (Government of Chile); Majid Al Shehry (Saudi Data and AI Authority); Miguel Luengo-Oroz (UN Global Pulse); Olga Cavalli (South School on Internet Governance); Stephan Pattison (Arm Ltd.) and Vanja Skoric (European Center for Not-for-Profit Law ECNL). Chapter 3 received contributions primarily from Charles Michael Ovink (United Nations Office for Disarmament Affairs); Gong Ke, William Kelly and Pan Li of the World Federation of Engineering Organizations (WFEO) and Preetam Maloor (ITU). Chapter 4 received contributions primarily from Christina Pombo Rivera (the Inter- American Development Bank); Elisabetta Zuanelli (the Center for Research and Development on E-Content (CReSEC); Friederike Schüür (UN Global Pulse); Sapienza University of Rome) and Yi Zeng from (Chinese Academy of Science). Research assistance was provided by Adi Gorstein, Catherine Huilin Deng, Kaidi Guo and Naomi Hoffman. Views expressed in this Resource Guide are of the authors and do not represent official positions of the United Nations or its Member States. Written comments and feedback to this Guide will be most welcome and should be addressed to Wei Liu ([email protected]) and Joe Hironaka ([email protected]). 3 Chapter 1: Introduction Artificial Intelligence1 (AI) has rapidly emerged in a context in which sustainable development has been the overarching goal of the international community. The United Nations has called upon governments to develop national strategies for sustainable development, incorporating policy measures to achieve the 2030 Agenda for Sustainable Development. While AI technologies may support breakthroughs in achieving the Sustainable Development Goals (SDGs), they may also have unanticipated consequences that will exacerbate inequalities and negatively impact individuals, societies, economies and the environment. AI implementation will need to be supported by a multi-disciplinary review to steer AI in a direction that will respect human rights and human dignity. AI strategies may necessarily include appropriate regulatory and multi-stakeholder frameworks. Policymakers and development practitioners are thus seeking to better understand and address any policy gaps to safeguard transparency, safety, human rights and ethical standards. At the same time, many technological advances are initiated in the private sector and academia. There are vital knowledge and experiences to share among all Science, Technology and Innovation (STI) stakeholders. In this context, recognition of the need for a multi- stakeholder approach will be essential. The UN Technology Facilitation Mechanism (TFM) was created by the Addis Ababa Action Agenda to support the implementation of the SDGs and was launched with the 2030 Agenda on Sustainable Development in September 2015. From the outset, the Division for Sustainable Development Goals DSDG/DESA has been serving as Secretariat for the “Interagency Task Team on Science, Technology and Innovation for the SDGs” (IATT) and for the Secretary General’s appointed “Group of high-level representatives of scientific community, private sector and civil society” (10-Member Advisory Group) to support the TFM. The two groups mobilize experts from