Human rights, democracy, and the rule of law assurance framework for AI systems: A proposal

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 its 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 right due diligence with the assurance of trustworthy AI innovation practices. The resulting framework 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.

Artificial intelligence, human rights, democracy, and the rule of law: a primer

In September 2019, the Council of Europe's Committee of Ministers adopted the terms of reference for the Ad Hoc Committee on Artificial Intelligence (CAHAI). The CAHAI is charged with examining the feasibility and potential elements of a legal framework for the design, development, and deployment of AI systems that accord with Council of Europe standards across the interrelated areas of human rights, democracy, and the rule of law. As a first and necessary step in carrying out this responsibility, the CAHAI's Feasibility Study, adopted by its plenary in December 2020, has explored options for an international legal response that fills existing gaps in legislation and tailors the use of binding and non-binding legal instruments to the specific risks and opportunities presented by AI systems. The Study examines how the fundamental rights and freedoms that are already codified in international human rights law can be used as the basis for such a legal framework. The purpose of this primer is to introduce the main concepts and principles presented in the CAHAI's Feasibility Study for a general, non-technical audience. It also aims to provide some background information on the areas of AI innovation, human rights law, technology policy, and compliance mechanisms covered therein. In keeping with the Council of Europe's commitment to broad multi-stakeholder consultations, outreach, and engagement, this primer has been designed to help facilitate the meaningful and informed participation of an inclusive group of stakeholders as the CAHAI seeks feedback and guidance regarding the essential issues raised by the Feasibility Study.