February 6, 2022 Report Open Access

Leslie, David; Burr, Christopher; Aitken, Mhairi; Katell, Michael; Briggs, Morgan; Rincon, Cami

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  <identifier identifierType="DOI">10.5281/zenodo.5981676</identifier>
  <creators>
    <creator>
      <creatorName>Leslie, David</creatorName>
      <givenName>David</givenName>
      <familyName>Leslie</familyName>
      <affiliation>The Alan Turing Institute</affiliation>
    </creator>
    <creator>
      <creatorName>Burr, Christopher</creatorName>
      <givenName>Christopher</givenName>
      <familyName>Burr</familyName>
      <affiliation>The Alan Turing Institute</affiliation>
    </creator>
    <creator>
      <creatorName>Aitken, Mhairi</creatorName>
      <givenName>Mhairi</givenName>
      <familyName>Aitken</familyName>
      <affiliation>The Alan Turing Institute</affiliation>
    </creator>
    <creator>
      <creatorName>Katell, Michael</creatorName>
      <givenName>Michael</givenName>
      <familyName>Katell</familyName>
      <affiliation>The Alan Turing Institute</affiliation>
    </creator>
    <creator>
      <creatorName>Briggs, Morgan</creatorName>
      <givenName>Morgan</givenName>
      <familyName>Briggs</familyName>
      <affiliation>The Alan Turing Institute</affiliation>
    </creator>
    <creator>
      <creatorName>Rincon, Cami</creatorName>
      <givenName>Cami</givenName>
      <familyName>Rincon</familyName>
      <affiliation>The Alan Turing Institute</affiliation>
    </creator>
  </creators>
  <titles>
    <title>Human rights, democracy, and the rule of law assurance framework for AI systems: A proposal</title>
  </titles>
  <publisher>Zenodo</publisher>
  <publicationYear>2022</publicationYear>
  <subjects>
    <subject>Artificial Intelligence</subject>
    <subject>AI ethics</subject>
    <subject>trustworthy AI</subject>
    <subject>AI governance</subject>
    <subject>AI assurance</subject>
    <subject>human rights due diligence</subject>
    <subject>algorithmic impact assessment</subject>
    <subject>human rights impact assessment</subject>
    <subject>Council of Europe</subject>
    <subject>stakeholder analysis</subject>
    <subject>multi-stakeholder engagement</subject>
  </subjects>
  <dates>
    <date dateType="Issued">2022-02-06</date>
  </dates>
  <resourceType resourceTypeGeneral="Report"/>
  <alternateIdentifiers>
    <alternateIdentifier alternateIdentifierType="url">https://zenodo.org/record/5981676</alternateIdentifier>
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  <rightsList>
    <rights rightsURI="https://creativecommons.org/licenses/by/4.0/legalcode">Creative Commons Attribution 4.0 International</rights>
    <rights rightsURI="info:eu-repo/semantics/openAccess">Open Access</rights>
  </rightsList>
  <descriptions>
    <description descriptionType="Abstract">&lt;p&gt;Following on from the publication of its&amp;nbsp;&lt;em&gt;Feasibility Study&amp;nbsp;&lt;/em&gt;in December 2020, the Council of Europe&amp;rsquo;s Ad Hoc Committee on Artificial Intelligence (and its subgroups) initiated efforts to formulate and draft its&amp;nbsp;&lt;em&gt;Possible elements of a legal framework on artificial intelligence, based on the Council of Europe&amp;rsquo;s standards on human rights, democracy, and the rule of law&lt;/em&gt;. 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 right due diligence with the assurance of trustworthy AI innovation practices.&lt;/p&gt;

&lt;p&gt;The resulting output, &lt;em&gt;Human Rights, Democracy, and the Rule of Law Assurance Framework for AI Systems: A proposal,&lt;/em&gt;&amp;nbsp;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&amp;nbsp;Human Rights, Democracy and the Rule of Law Assurance Framework&amp;nbsp;(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&amp;rsquo;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.&lt;/p&gt;</description>
  </descriptions>
  <fundingReferences>
    <fundingReference>
      <funderName>Research Councils UK</funderName>
      <funderIdentifier funderIdentifierType="Crossref Funder ID">10.13039/501100000690</funderIdentifier>
      <awardNumber awardURI="info:eu-repo/grantAgreement/RCUK/ESRC/ES/T007354/1/">ES/T007354/1</awardNumber>
      <awardTitle>PATH-AI: Mapping an Intercultural Path to Privacy, Agency, and Trust in Human-AI Ecosystems</awardTitle>
    </fundingReference>
    <fundingReference>
      <funderName>Research Councils UK</funderName>
      <funderIdentifier funderIdentifierType="Crossref Funder ID">10.13039/501100000690</funderIdentifier>
      <awardNumber awardURI="info:eu-repo/grantAgreement/RCUK/EPSRC/EP%2FT001569%2F1/">EP/T001569/1</awardNumber>
      <awardTitle>Strategic Priorities Fund - AI for Science, Engineering, Health and Government</awardTitle>
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