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Planning and Design
- Requirement 01 Risk management plan for AI system and execution of the plan
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Requirement 02 Organization of an AI governance system
- 02-1 Have you established guidelines and policies on AI governance?
- 02-2 Have you formed an AI governance group and reviewed the composition of the group?
- 02-3 Is the AI governance being supervised to ensure proper implementation?
- 02-4 Have you analyzed risk factors that may arise throughout the life cycle of the AI system?
- Requirement 03 Development of a plan to test trustworthiness in the AI system
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Data Collection and Processing
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Requirement 04 Provision of detailed information for data utilization
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04-1 Is there detailed information to support the accurate comprehension and utilization of data?
- 04-1a Have you explained the data attributes before and after cleansing?
- 04-1b Have you sorted data into training data and metadata and is there a specification document for each of them?
- 04-1c Have you explained the reason for selecting the protected attributes and whether they were reflected?
- 04-1d Were data labelers trained and have you provided them with work instructions?
- 04-2 Is data provenance documented and managed?
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04-1 Is there detailed information to support the accurate comprehension and utilization of data?
- Requirement 05 Inspection of abnormal data to ensure data robustness
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Requirement 06 Removal of bias in the collected and processed training data
- 06-1 Have you prepared measures to mitigate bias due to human and physical elements in data collection?
- 06-2 Have you analyzed features used in training and prepared selection criteria?
- 06-3 Have you checked and prevented potential biases in data labeling?
- 06-4 Have you conducted sampling to prevent bias in data collection?
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Requirement 04 Provision of detailed information for data utilization
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AI Model Development
- Requirement 07 Ensuring security and compatibility of the open-source library
- Requirement 08 Removal of bias in the AI model
- Requirement 09 Establishment of defensive measures for AI model attacks
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Requirement 10 Explanation of AI model specifications and the inference results
- 10-1 Do you provide evidence for users to accept the generation process of the model’s inference results?
- 10-2 Have you transparently provided the specification of the model on the AI model specification document?
- 10-3 When needed, do you provide an explanation about the inference results of the AI model?
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System Development
- Requirement 11 Removal of potential bias in the implementation of the AI system
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Requirement 12 Safe mode of AI system and establishment of a process for notification of problems
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12-1 Have you implemented a safe mode that can respond to problems such as attacks, low performance, and social issues?
- 12-1a Have you prepared an exception handling policy for such problems?
- 12-1b Have you implemented a security technique to reinforce the security of the AI system?
- 12-1c Have you considered human intervention if there is a significant ripple effect and high uncertainty due to the AI system’s decision-making?
- 12-1d Are guidance and action on handling expected user error provided?
- 12-2 Does the system perform the function of alerting the operator if a problem occurs in the AI system?
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12-1 Have you implemented a safe mode that can respond to problems such as attacks, low performance, and social issues?
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Requirement 13 Improvement of users’ comprehension of the explanation of the AI system
- 13-1 Have you analyzed user characteristics and constraints in the AI system?
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13-2 Have you provided a thorough explanation based on user characteristics?
- 13-2a Have you established criteria for the evaluation of explanation according to user characteristics?
- 13-2b Have you refrained from using technical terms that are difficult for users to understand?
- 13-2c Have you used accurate expressions to lead users to specific behaviors and comprehension?
- 13-2d Are the location and timing where an explanation is needed appropriate?
- 13-2e Have you utilized various user survey techniques to evaluate user experience?
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Operation and Monitoring
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Requirement 14 Development of a plan to test trustworthiness in the AI system
- 14-1 Have you established measures to track the AI system’s decision-making?
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14-2 Have you obtained the modification history of training data and managed the impact of data modifications?
- 14-2a Have you prepared measures to track the data flow and lineage?
- 14-2b Have you developed measures to monitor modifications in the data source?
- 14-2c Have you managed the versions during data change?
- 14-2d Do you provide information to stakeholders when data change?
- 14-2e When new data have been collected, do you reevaluate the performance of the AI model?
- Requirement 15 Explanation about the scope of services provided and the subject of interactions
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Requirement 14 Development of a plan to test trustworthiness in the AI system
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01-1aHave you identified the risk factors of the AI system and the ripple effect?• Check and classify risk factors that can cause the following negative results in the public sector.① (Public interest and fairness) Possibility of negative impact due to the implementation of the AI system, such as inequality, environmental pollution, human rights violations, and discrimination✓ Check whether AI produces gender discriminatory results by distinguishing gender
✓ Check whether AI is trained to produce results that are discriminatory to a specific minority group, such as LGBTQIA and persons with disabilities
✓ Check if priority in work processing is based on age and occupation
② (Security and privacy protection) Vulnerabilities on files containing personal data and system management for the privacy of the public✓ Check whether defensive measures are put in place for AI devices that self-improve their performance by learning personal data to be invulnerable to hacking
✓ Check whether defensive measures respond to attacks by detecting attacks attempted by a malicious user in advance
✓ Check whether personal data are managed strictly when numerous AI entities share data they’ve learned with all AI systems via the cloud while in service
③ Other risk factors that may arise due to features required in the industrial sector of the service✓ Check for possible external attacks or risks due to low recognition in face recognition systems for public safety and personal authentication
✓ Check if real videos and manipulated videos can be differentiated, such as fake news and videos, using speech recognition and images• You can use techniques such as Delphi and scenarios in this process. You can identify the seriousness of the potential risks posed by the AI system and their impact on human rights through human rights impact assessments and human rights due diligence, in which feedback from people actually affected by the service can be collected.
• Analyze the identified risk factors with the root causes and potential results. Potential results refer to phenomenon or incidents that may adversely impact society. Inequality, environmental pollution, human rights violations, and discrimination are some examples.
• The risk levels of outcomes caused by risk factors can be assessed using criteria such as the probability of occurrence, level of impact (who is impacted, the scale of the impact, vulnerable class, and how they are impacted), and severity. This refers to the ripple effect of risk factors; prepare countermeasures to respond to risk factors with significant ripple effects as a top priority.