Summary

In the UK National AI Strategy, the Government set out an ambitious ten-year plan to remain a global AI superpower. It was stressed that the national regulatory regime should remain able to keep pace with and respond to the new and distinct challenges and opportunities posed by AI. Therefore, the Department for Digital, Culture, Media and Sport proposes to establish a pro-innovation framework for regulating AI which is underpinned by a set of cross-sectoral principles tailored to the specific characteristics of AI. The framework should be (i) context-specific (ii) pro-innovation and risk-based; (iii) coherent and (iv) proportionate and adaptable.

A context-based approach allows AI-related risk to be identified and assessed at the application level. This will enable a targeted and nuanced response to risk because an assessment can be made by the appropriate regulator of the actual impact on individuals and groups in a particular context. This also allows domains that have existing and distinct approaches to AI regulation, such as defence, to continue to develop appropriate mechanisms according to context. Relying on existing regulatory structures also provides the flexibility to identify and adapt according to emerging risks since it is unlikely that new risks will develop in a consistent way across the entire economy.

The UK’s approach will also be risk-based and proportionate. It is anticipated that regulators will establish risk-based criteria and thresholds at which additional requirements come into force. Through engagement with regulators, it should be to ensure that proportionality is at the heart of implementation and enforcement of the framework, eliminating burdensome or excessive administrative compliance obligations. The Department also seeks to ensure that regulators consider the need to support innovation and competition as part of their approach to implementation and enforcement of the framework. This is preferable to a single framework with a fixed, central list of risks and mitigations. Such a framework applied across all sectors would limit the ability to respond in a proportionate manner by failing to allow for different levels of risk presented by seemingly similar applications of AI in different contexts. This could lead to unnecessary regulation and stifle innovation. A fixed list of risks also could quickly become outdated and does not offer flexibility. A centralised approach would also not benefit from the expertise of experienced regulators who are best placed to identify and respond to emerging risks through the increased use of AI technologies within their domains.

The strategy, however, acknowledges that a context-driven approach offers less uniformity than a centralised approach. It should, therefore, be complemented with a set of overarching cross-sector principles to make sure that common cross-cutting challenges are approached in a coherent and streamlined way. These cross-sectoral principles are:

• Ensuring that AI is used safely;
• Ensuring that AI is technically secure and functions as designed;
• Making sure that AI is appropriately transparent and explainable;
• Defining legal persons' responsibility for AI governance;
• Clarifying routes to redress or contestability;
• Embedding considerations of fairness into AI.

These principles are deliberate 'values' making sure that AI-driven growth and innovation is aligned with the UK’s broader values. The principles are not, however, intended to create an extensive new framework of rights for individuals. The principles describe what well-governed AI use should look like on a cross-cutting basis, but taken as part of the broader context-based, pro-innovation approach. These principles provide clear steers for regulators, but will not necessarily translate into mandatory obligations. Regulators are expected to further lead the process of identifying, assessing, prioritising and contextualising the specific risks addressed by the principles.