Human Rights, Democracy, and the Rule of Law Assurance Framework for AI Systems: A Proposal

341 Pages Posted: 25 Mar 2022

See all articles by David Leslie

David Leslie

The Alan Turing Institute

Christopher Burr

The Alan Turing Institute; University of Oxford - Oxford Internet Institute

Mhairi Aitken

The Alan Turing Institute

Michael Katell

The Alan Turing Institute Public Policy Programme

Morgan Briggs

The Alan Turing Institute

Cami Rincon

The Alan Turing Institute

Date Written: September 19, 2021

Abstract

Following on from the publication of its Feasibility Study in December 2020, the Council of Europe’s Ad Hoc Committee on Artificial Intelligence (CAHAI) and its subgroups initiated efforts to formulate and draft the possible elements of a legal framework on artificial intelligence, based on the Council of Europe’s standards on human rights, democracy, and the rule of law. This document was ultimately adopted by the CAHAI plenary in December 2021. To support this effort, The Alan Turing Institute undertook a programme of research that explored the governance processes and practical tools needed to operationalise the integration of human rights due diligence with the assurance of trustworthy AI innovation practices.

The resulting output, Human Rights, Democracy, and the Rule of Law Assurance Framework for AI Systems: A proposal, was completed and submitted to the Council of Europe in September 2021. It presents an end-to-end approach to the assurance of AI project lifecycles that integrates context-based risk analysis and appropriate stakeholder engagement with comprehensive impact assessment, and transparent risk management, impact mitigation, and innovation assurance practices. Taken together, these interlocking processes constitute a Human Rights, Democracy and the Rule of Law Assurance Framework (HUDERAF). The HUDERAF combines the procedural requirements for principles-based human rights due diligence with the governance mechanisms needed to set up technical and socio-technical guardrails for responsible and trustworthy AI innovation practices. Its purpose is to provide an accessible and user-friendly set of mechanisms for facilitating compliance with a binding legal framework on artificial intelligence, based on the Council of Europe’s standards on human rights, democracy, and the rule of law, and to ensure that AI innovation projects are carried out with appropriate levels of public accountability, transparency, and democratic governance.

Keywords: Artificial Intelligence, AI ethics, trustworthy AI, AI governance, AI assurance, human rights due diligence, algorithmic impact assessment, human rights impact assessment, Council of Europe, stakeholder analysis, multi-stakeholder engagement

Suggested Citation

Leslie, David and Burr, Christopher and Burr, Christopher and Aitken, Mhairi and Katell, Michael and Briggs, Morgan and Rincon, Cami, Human Rights, Democracy, and the Rule of Law Assurance Framework for AI Systems: A Proposal (September 19, 2021). Available at SSRN: https://ssrn.com/abstract=4027875 or http://dx.doi.org/10.2139/ssrn.4027875

David Leslie (Contact Author)

The Alan Turing Institute ( email )

British Library, 96 Euston Road
London, NW12DB
United Kingdom

HOME PAGE: http://https://www.turing.ac.uk/people/researchers/david-leslie

Christopher Burr

University of Oxford - Oxford Internet Institute ( email )

1 St. Giles
University of Oxford
Oxford OX1 3PG Oxfordshire, Oxfordshire OX1 3JS
United Kingdom

The Alan Turing Institute ( email )

British Library
96 Euston Road
London, NW1 2DB
United Kingdom

HOME PAGE: http://https://chrisdburr.com

Mhairi Aitken

The Alan Turing Institute ( email )

British Library
96 Euston Road
London, NW1 2DB
United Kingdom

Michael Katell

The Alan Turing Institute Public Policy Programme ( email )

British Library
96 Euston Road
London, NW1 2DB
United Kingdom

Morgan Briggs

The Alan Turing Institute ( email )

British Library
96 Euston Road
London, NW1 2DB
United Kingdom

Cami Rincon

The Alan Turing Institute ( email )

British Library
96 Euston Road
London, NW1 2DB
United Kingdom

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