Human hand holding a smartphone. AI machine in the background working on the phone.

Guidance on Artificial Intelligence and Data Protection

Image by geralt from Pixabay.

For many of us, Artificial Intelligence (“AI”) represents innovation, opportunities, and potential value to society.

For data protection professionals, however, AI also represents a range of risks involved in the use of technologies that shift processing of personal data to complex computer systems with often opaque processes and algorithms.

Data protection and information security authorities as well as governmental agencies around the world have been issuing guidelines and practical frameworks to offer guidance in developing AI technologies that will meet the leading data protection standards.

Below, we have compiled a list* of official guidance recently published by authorities around the globe.

China:

  • 1/5/2021 – National Information Security Standardisation Technical Committee of China (“TC260”), Cybersecurity practice guide on AI ethical security risk prevention
    https://www.tc260.org.cn/upload/2021-01-05/1609818449720076535.pdf (in Chinese)
    The guide highlights ethical risks associated with AI, and provides basic requirements for AI ethical security risk prevention.

E.U.:

  • 7/14/2021 – European Commission’s Joint Research Center (“JRC”), AI Watch – AI Standardisation Landscape
    https://publications.jrc.ec.europa.eu/repository/handle/JRC125952
    Most recently, the JRC published this report on the AI standardization landscape. The report describes the ongoing standardization efforts on AI and aims to contribute to the definition of a European standardization roadmap.
  • European Telecommunication Standards Institute (“ETSI”) Industry Specification Group Securing Artificial Intelligence (“ISG SAI Standards”)
    https://www.etsi.org/committee/1640-sai
    The ISG SAI has published standards to preserve and improve the security of AI. The works focus on using AI to enhance security, mitigating against attacks that leverage AI, and securing AI itself from attack.
  • 4/21/2021 – European Commission, “Proposal for a Regulation of the European Parliament and of the Council Laying Down Harmonised Rules on Artificial Intelligence (Artificial Intelligence Act) and Amending Certain Union Legislative Acts”
    https://ec.europa.eu/newsroom/dae/document.cfm?doc_id=75788
    The EU Commission proposed a new AI Regulation – a set of flexible and proportionate rules that will address the specific risks posed by AI systems, intending to set the highest global standard. As an EU regulation, the rules would apply directly across all European Member States. The regulation proposal follows a risk-based approach and calls for the creation of a European enforcement agency.

France:

  • 9/3/2020 – French Data Protection Authority (“CNIL”), Whitepaper and Guidance on Use of Voice Assistance
    https://www.cnil.fr/sites/default/files/atoms/files/cnil_livre-blanc-assistants-vocaux.pdf (in French)
    This whitepaper explores legal and technical considerations for developers and businesses which may utilize voice assistance technology in light of recent AI technology development. It further includes best practices and recommended approaches.

Germany:

Hong Kong:

  • 8/18/2021 – Office of the Privacy Commissioner for Personal Data (“PCPD”), “Guidance on the Ethical Development and Use of Artificial Intelligence”
    https://www.pcpd.org.hk/english/resources_centre/publications/files/guidance_ethical_e.pdf
    This guidance discusses ethical principles for AI development and management while also highlighting recent development in AI governance around the globe. The guidance further includes a helpful self-assessment checklist in its appendix concerning businesses’ AI strategy and governance, risk assessment and human oversight, development and management of AI systems as well as communication and engagement with stakeholders.

India:

  • 7/15/2021 – Data Security Council of India (“DCSI”), “Handbook on Data Protection and Privacy for Developers of Artificial Intelligence in India”
    https://www.dsci.in/sites/default/files/documents/resource_centre/AI%20Handbook.pdf
    The handbook establishes guidelines for responsible and ethical AI development in line with the applicable legal data protection framework. While the handbook does not provide technical solution but instead focuses on the ethical and legal objectives to pursue when designing AI systems, it does provide for a checklist of questions and good practices which developers shall keep in mind while in the design process.

International:

  • International Organization for Standardization (“ISO”) – ISO/IEC JTC 1/SC 42  Standards
    https://www.iso.org/committee/6794475/x/catalogue/p/1/u/0/w/0/d/0
    Together with the International Electrotechnical Commission (“IEC”), ISO has published a number of AI standards in recent years. The newest standards, published in March of 2021, provide background about existing methods to assess the robustness of neural networks. Additional AI standards are currently under development.

Japan:

  • 8/4/2021 – Ministry of Internal Affairs and Communications (“MIC”), AI Network Society Promotion Council Report
    https://www.soumu.go.jp/main_content/000761967.pdf (in Japanese)
    The report highlights recent trends in AI utilization as well as efforts to promote secure and reliable social implementation of AI.

Singapore:

South Korea:

Spain:

U.K.:

U.S.:

  • 7/30/2021 – Department of Homeland Security (“DHS”), “Artificial Intelligence and Machine Learning Strategic Plan”
    https://www.dhs.gov/sites/default/files/publications/21_0730_st_ai_ml_strategic_plan_2021.pdf
    The strategic plan of DHS’ Science and Technology Directorate (“S&T”) outlines its goals that are committed to ensuring that AI/ML research, development, test, evaluation, and departmental applications comply with statutory and other legal requirements, and sustain privacy protections and civil rights and liberties for individuals. It further advises stakeholders on recent developments in AI/ML and the associated opportunities and risks.
  • 5/5/2021 – Electronic Privacy Information Center (“EPIC”), New National Artificial Intelligence Initiative Office Website.
    https://www.ai.gov/
    The White House launched its new website, AI.gov, featuring policy priorities, reports, and news regarding AI.
  • 4/19/2021 – Federal Trade Commission (“FTC”), “Aiming for Truth, Fairness, and Equity in Your Company’s Use of AI”
    https://www.ftc.gov/news-events/blogs/business-blog/2021/04/aiming-truth-fairness-equity-your-companys-use-ai
    In this blog post, the FTC offers guidance for companies in their use of AI, specifically instructing them to show transparency and accountability when employing new algorithms.
  • 4/8/2020 – FTC, “Using Artificial Intelligence and Algorithms”
    https://www.ftc.gov/news-events/blogs/business-blog/2020/04/using-artificial-intelligence-algorithms
    In this blog post, the FTC outlines best practices when relying on algorithms and highlights key principles such as transparency, fairness, accuracy, and accountability.
  • 9/9/2019 – National Institute of Standards and Technology (“NIST”) – “U.S. Leadership in AI: A Plan for Federal Engagement in Developing Technical Standards and Related Tool”
    https://www.nist.gov/system/files/documents/2019/08/10/ai_standards_fedengagement_plan_9aug2019.pdf
    Following an executive order directing federal agencies to develop international standards to promote and protect innovation and public confidence in AI technologies, NIST published this plan. The plan intends to provide guidance regarding priorities and appropriate levels of engagement in matters of AI standards.

*While extensive, this list is not meant to be exhaustive. We will do our best to update this list from time to time, and add new guidance as it becomes available.