This document summarizes the background and process of developing Ethics Guidelines for Trustworthy AI by the EU's High-Level Expert Group on AI. It discusses establishing an ethical framework for AI in Europe based on principles of lawful, ethical and robust AI. The Guidelines include 7 requirements and an assessment list to operationalize the requirements, which will be piloted with stakeholders. The Expert Group will also make policy and investment recommendations to ensure Europe's competitiveness in developing trustworthy AI.

1. Ethics Guidelines for
Trustworthy AI
Nathalie Smuha
KU Leuven, Faculty of Law (Dept. International & European Law)
Coordinator of the High-Level Expert Group on AI, European Commission

2. Overview
1. Background
2. Ethics 101
3. Ethics Guidelines for Trustworthy AI
4. Policy & Investment Recommendations
5. Next steps
6. Conclusions

3. Background
What do we know?
• AI technology is moving incredibly fast
• Challenge for regulators
• Impact of AI is multifold & not yet fully understood
• Legal, ethical, social, economical…
• AI is context-specific
• Opportunities and challenges may differ for different each sectors / applications
• We don't have all the answers
• Humility & further research needed
• Flexibility / adaptability of regulatory models needed
• Interdisciplinary & multi-stakeholder approach is key

4. Background
EU STRATEGY ON ARTIFICIAL INTELLIGENCE
published in April 2018
Boost AI uptake
Tackle socio-
economic
changes
Ensure adequate
ethical & legal
framework
In this context: appointment of Independent High-Level Expert
Group on Artificial Intelligence (AI HLEG) in June 2018

5. Background
COORDINATION WITH MEMBER STATES
Communication of 7 December 2018
70 Actions in
wide range of
domains
Updated on a
yearly basis
Legal & Ethical
Framework as
one of the areas

6. Background
Third Pillar: Legal & Ethical Framework
• Acknowledging ethical concerns & establishing harmonized ethical framework
 High-Level Expert Group on Artificial Intelligence (AI HLEG): AI Ethics Guidelines
• Evaluating fitness of existing regulatory frameworks: Liability (PLD) & Safety (MD) in
particular
 Expert Group on Liability & Future of Work
 AI HLEG to draft policy recommendations (holistic approach)
• Stakeholder participation: European AI Alliance
 Input gathering to inform EU policymaking & the AI HLEG from wide range of
stakeholders through online platform
• Beyond Europe
 Interacting with other institutions (CoE, OECD, UNESCO…)
 Interacting with other Countries (Japan, Canada, Singapore…)

7. Ethics 101
• Basic distinctions:
• Applied ethics v normative ethics v meta-ethics
• Social ethics v individual ethics
• Ethics or Practical Philosophy v Theoretical Philosophy
• Main ethical theories:
• Deontologism
• Virtue ethics
• Consequentialism (Teleological ethics)

8. Ethics 101
• The Trolley Problem

9. Ethics 101
• The Trolley Problem revisited
• Moral Machine Experiment

10. Ethics 101
• Which ethics?
• Ethical relativism
o Cfr. Moral machine experiment
• Moral universalism
o Fundamental Rights?
• Ethical scepticisim
• Ethics v Law

11. High-Level Expert Group and mandate
Industry
Academia
Civil society
Chair:
Pekka Ala-Pietilä
• Ethics Guidelines for Artificial Intelligence
• Policy & Investment Recommendations
52 members from:
Two deliverables
Interaction with European AI Alliance
• Broad multi-stakeholder platform counting over 3000
members to discuss AI policy in Europe

12. Ethics Guidelines for AI – Process
18 December 2018
First draft published
December 2018-
February 2018
• Open
consultation
• Discussion with
Member States
• Discussion on
the European AI
Alliance
March 2019
Revised document
delivered to the
Commission
April 2019
Final document published &
welcomed through
Commission Communication

13. Ethics Guidelines for AI – Intro
Lawful AI
Three levels of abstraction
Ethical AI Robust AI
Trustworthy AI as our foundational ambition, with three components
Human-centric approach: AI as a means, not an end
from principles
(Chapter I)
to requirements
(Chapter II)
to assessment list
(Chapter III)

14. Ethics Guidelines for AI – Principles
4 Ethical Principles based on fundamental rights
Respect for
human
autonomy
Prevention of
harm
Fairness Explicability

15. Technical Robustness
and safety
Transparency
Privacy and data
governance
Human agency and
oversight
Diversity, non-
discrimination and fairness
Ethics Guidelines for AI – Requirements
Societal & environmental
well-being
Accountability
To be continuously implemented & evaluated
throughout AI system’s life cycle

16. Ethics Guidelines for AI – Assessment List
Official launch of piloting: 26 June – Stakeholder event
Assessment list to operationalise the requirements
• Practical questions for each requirement – 131 in
total
• Test through piloting process to collect feedback
from all stakeholders (public & private sector)
• “Quantitative” analysis track -> open survey
• “Qualitative” analysis track -> in depth interview

17. Ethics Guidelines for AI – Opportunities & Concerns
Beneficial opportunities, e.g.
• Climate change and sustainable infrastructure
• Health and well-being
• Quality education and digital transformation
Critical concerns, e.g.
• Identifying and tracking individuals
• Covert AI systems
• Citizen scoring
• LAWS
• Potential long term concerns

18. Policy & Investment Recommendations
Second deliverable: different audience
(Commission & Member States)
• Ensuring Europe’s competitiveness and policies
for Trustworthy AI
• Looking at key impacts and enablers
• Document to be presented at stakeholder
event on 26 June 2019
• After the summer: recommendations for
strategic sectors

19. Next steps
 26 June: Presentation Recommendations & Kick-off Piloting
 Feedback gathering on assessment list from July till December 2019
 Revised version assessment list & sectorial recommendations in 2020
 Commission will then decide on Next Steps
 Self-regulation / Self-certification?
 Standardisation?
 Sectorial Guidelines?
 Regulation?

20. Conclusions
 Fast-moving topic: Regulatory Humility -> Be smart!
 Close link between research and legislation: solutions cannot be found in
isolation
 Balance between Protection & Innovation
 Balance between Ethics & Regulation
 To be continued…

21. Thank you
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