东盟人工智能治理与伦理指南-东南亚国家联盟（英）.docx

ASEANGuideonAlGovernanceandEthicsContentsExecutiveSummary03A. Introduction061. Objectives082. Assumptions083. TargetAudience094. Definitions09B. GuidingPrinciplesfortheFramework101. TransparencyandExplainability-112. FairnessandEquity123. SecurityandSafety134. Human-centricity145. PrivacyandDataGovernance-146. AccountabilityandIntegrity157. RobustnessandReliability16C. AlGovernanceFramework171. Internalgovernancestructuresandmeasures182. DeterminingthelevelofhumaninvolvementinAl-augmenteddecision-making-233. Operationsmanagement274. Stakeholderinteractionandcommunication41D. National-levelRecommendations46E. Regional-levelRecommendations53F. Conclusion58Annex A: AlRiskImpactAssessmentTemplate_60Annex B: UseCases731. AboitizGroup-742. EY763. Gojek784. CARE.AI805. SmartNationGroup(SNG)1Singapore836. MinistryofEducation,Singapore85ExecutiveSummaryWhattheGuideisaboutThisdocumentservesasapracticalguidefororganisationsintheregionthatwishtodesign,develop,anddeploytraditionalAltechnologiesincommercialandnon-militaryordual-useapplications.ThisGuidefocusesonencouragingalignmentwithinASEANandfosteringtheinteroperabilityofAlframeworksacrossjurisdictions.Italsoincludesrecommendationsonnational-levelandregional-levelinitiativesthatgovernmentsintheregioncanconsiderimplementingtodesign,develop,anddeployAlsystemsresponsibly.GuidingPrinciplesfortheFrameworkx/-/4KeyComponentsInternalgovernancestructuresandmeasures Multi-disciplinary,centralgoverningbody,suchasanAlEthicsAdvisoryBoard,tooverseeAlgovernanceefforts Developstandards,guidelines,tools,andtemplatestohelporganisationsdesign,develop,anddeployAlresponsibly Clearlylayouttherolesandresponsibilitiesofpersonnelinvolvedintheresponsibledesign,developmentand/ordeploymentofAlDeterminingthelevelofhumaninvolvementinAl-augmenteddecision-making/Conductrelevantriskimpactassessmentstodeterminelevelofrisk Threebroadcategoriesofhumaninvolvementbasedonlevelofrisk一human-in-the-loop,human-over-the-loop,human-out-of-the-loopMitigatingriskshelpsbuildtrusttowardstheacceptanceandgreateruseofAltechnologiesintheregionOperationsmanagement TheAlSystem1.ifecycleconsistsofvariousstagesandisoftenaniterativeprocess Conductrisk-basedassessmentsbeforestartinganydatacollectionandprocessingormodelling Mitigaterisksofunjustbiasduetoinsufficientlyrepresentativetraining,testingandvalidationdatasetsStakeholderinteractionandcommunicationDeveloptrustwithstakeholdersthroughoutthedesign,development,anddeploymentofAl ProvidegeneraldisclosureofwhenAlisusedinproductsand/orserviceofferings PutinplacemeasurestohelpemployeesadapttoanAl-augmentedworkenvironmentNational-levelRecommendations.NurturingAltalentandupskillingworkforceWorkcloselywithpublicandprivatesectorstoensurethatacountry'sworkforcecanadapttothenewwaysofworkingandpossessesenoughdigitalskillstointeracteffectivelywithAlsystems.SupportingAlinnovationecosystemandpromotinginvestmentinAlstart-upsWorkcloselywithpublicandprivatesectorstocreateasupportiveenvironmentforAldevelopment,wherecompaniesareabletoaccessandleveragedata,digitaltechnologies,andinfrastructure.InvestinginAlresearchanddevelopmentKeepabreastofthelatestdevelopmentsinAlandencourageresearchrelatedtothecybersecurityofAl,Algovernance,andAlethicstoensurethatthesafetyandresiliencyofAlsystemsandtoolsalsoadvanceinparallelwithnewusecases.PromotingadoptionofusefultoolsbybusinessestoimplementtheASEANGuideonAlGovernanceandEthicsDeploytoolstoenabletheimplementationofAlgovernanceinoperationsandensurethatdocumentationandvalidationprocessesaremoreefficient.RaisingawarenessamongcitizensontheeffectsofAlinsocietyRaiseawarenessofthepotentialrisksandbenefitsofAlsocitizenscanmakeinformeddecisionsabouttheappropriateuseofAlandtakeappropriateactionstoprotectthemselvesfromharmfulusesofAlsystems.Regional-levelrecommendations.SettingupanASEANWorkingGrouponAlGovernancetodriveandoverseeAlgovernanceinitiativesintheregionTheWorkingGroupcanconsistofrepresentativesfromeachoftheASEANmemberstateswhocanworktogethertorollouttherecommendationslaidoutinthisGuide,aswellasprovideguidanceforASEANcountrieswhowishtoadoptcomponentsofthisGuide,andwhereappropriate,includeconsultationwithotherindustrypartnersfortheirviewsandinput.AdaptationofthisGuidetoaddressgovernanceofgenerativeAlRisksinclude: Mistakesandanthropomorphism Factuallyinaccurateresponsesanddisinformation Deepfakes,impersonation,fraudulentandmaliciousactivities Infringementofintellectualpropertyrights Privacyandconfidentiality PropagationofembeddedbiasesGovernanceshouldinclude: Adaptationofexistingframeworksandtools Guidanceondevelopingasharedresponsibilityframework GuidanceonincreasingthecapacitytomanagerisksofgenerativeAl GuidanceonhowtodistinguishAl-generatedcontentversusauthenticallygeneratedonesCompilingacompendiumofusecasesdemonst