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Canada’s voluntary code of conduct relating to advanced generative AI (artificial intelligence) systems

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These days there’s a lot of international interest in policy and regulation where AI is concerned. So even though this is a little late, here’s what happened back in September 2023, the Canadian government came to an agreement with various technology companies about adopting a new voluntary code. Quinn Henderson’s September 28, 2023 article for the Daily Hive starts in a typically Canadian fashion, Note: Links have been removed,

While not quite as star-studded [emphasis mine] at the [US] White House’s AI summit, the who’s who of Canadian tech companies have agreed to new rules concerning AI.

What happened: A handful of Canada’s biggest tech companies, including Blackberry, OpenText, and Cohere, agreed to sign on to new voluntary government guidelines for the development of AI technologies and a “robust, responsible AI ecosystem in Canada.”

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What’s next: The code of conduct is something of a stopgap until the government’s *real* AI regulation, the Artificial Intelligence and Data Act (AIDA), comes into effect in two years.

The regulation race is on around the globe. The EU is widely viewed as leading the way with the world’s first comprehensive regulatory AI framework set to take effect in 2026. The US is also hard at work but only has a voluntary code in place.

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Henderson’s September 28, 2023 article offers a good, brief summary of the situation regarding regulation and self-regulation of AI here in Canada and elsewhere around the world, albeit, from a few months ago. Oddly, there’s no mention of what was then an upcoming international AI summit in the UK (see my November 2, 2023 posting, “UK AI Summit (November 1 – 2, 2023) at Bletchley Park finishes“).

Getting back to Canada’s voluntary code of conduct. here’s the September 27, 2023 Innovation, Science and Economic Development Canada (ISED) news release about it, Note: Links have been removed,

Today [September 27, 2023], the Honourable François-Philippe Champagne, Minister of Innovation, Science and Industry, announced Canada’s Voluntary Code of Conduct on the Responsible Development and Management of Advanced Generative AI Systems, which is effective immediately. The code identifies measures that organizations are encouraged to apply to their operations when they are developing and managing general-purpose generative artificial intelligence (AI) systems. The Government of Canada has already taken significant steps toward ensuring that AI technology evolves responsibly and safely through the proposed Artificial Intelligence and Data Act (AIDA), which was introduced as part of Bill C-27 in June 2022. This code is a critical bridge between now and when that legislation would be coming into force.The code outlines measures that are aligned with six core principles:

Accountability: Organizations will implement a clear risk management framework proportionate to the scale and impact of their activities.

Safety: Organizations will perform impact assessments and take steps to mitigate risks to safety, including addressing malicious or inappropriate uses.

Fairness and equity: Organizations will assess and test systems for biases throughout the lifecycle.

Transparency: Organizations will publish information on systems and ensure that AI systems and AI-generated content can be identified.

Human oversight and monitoring: Organizations will ensure that systems are monitored and that incidents are reported and acted on.

Validity and robustness: Organizations will conduct testing to ensure that systems operate effectively and are appropriately secured against attacks.

This code is based on the input received from a cross-section of stakeholders, including the Government of Canada’s Advisory Council on Artificial Intelligence, through the consultation on the development of a Canadian code of practice for generative AI systems. The government will publish a summary of feedback received during the consultation in the coming days. The code will also help reinforce Canada’s contributions to ongoing international deliberations on proposals to address common risks encountered with large-scale deployment of generative AI, including at the G7 and among like-minded partners.

Quotes

“Advances in AI have captured the world’s attention with the immense opportunities they present. Canada is a global AI leader, among the top countries in the world, and Canadians have created many of the world’s top AI innovations. At the same time, Canada takes the potential risks of AI seriously. The government is committed to ensuring Canadians can trust AI systems used across the economy, which in turn will accelerate AI adoption. Through our Voluntary Code of Conduct on the Responsible Development and Management of

Advanced Generative AI Systems, leading Canadian companies will adopt responsible guardrails for advanced generative AI systems in order to build safety and trust as the technology spreads. We will continue to ensure Canada’s AI policies are fit for purpose in a fast-changing world.”
– The Honourable François-Philippe Champagne, Minister of Innovation, Science and Industry

“We are very pleased to see the Canadian government taking a strong leadership role in building a regulatory framework that will help society maximize the benefits of AI, while addressing the many legitimate concerns that exist. It is essential that we, as an industry, address key issues like bias and ensure that humans maintain a clear role in oversight and monitoring of this incredibly exciting technology.”
– Aidan Gomez, CEO and Co-founder, Cohere

“AI technologies represent immense opportunities for every citizen and business in Canada. The societal impacts of AI are profound across education, biotech, climate and the very nature of work. Canada’s AI Code of Conduct will help accelerate innovation and citizen adoption by setting the standard on how to do it best. As Canada’s largest software company, we are honoured to partner with Minister Champagne and the Government of Canada in supporting this important step forward.”
– Mark J. Barrenechea, CEO and CTO, OpenText

“CCI has been calling for Canada to take a leadership role on AI regulation, and this should be done in the spirit of collaboration between government and industry leaders. The AI Code of Conduct is a meaningful step in the right direction and marks the beginning of an ongoing conversation about how to build a policy ecosystem for AI that fosters public trust and creates the conditions for success among Canadian companies. The global landscape for artificial intelligence regulation and adoption will evolve, and we are optimistic to see future collaboration to adapt to the emerging technological reality.”
– Benjamin Bergen, President, Council of Canadian Innovators

Quick facts

*The proposed Artificial Intelligence and Data Act (AIDA), part of Bill C-27, is designed to promote the responsible design, development and use of AI systems in Canada’s private sector, with a focus on systems with the greatest impact on health, safety and human rights (high-impact systems).

*Since the introduction of the bill, the government has engaged extensively with stakeholders on AIDA and will continue to seek the advice of Canadians, experts—including the government’s Advisory Council on AI—and international partners on the novel challenges posed by generative AI, as outlined in the Artificial Intelligence and Data Act (AIDA) – Companion document.

*Bill C-27 was adopted at second reading in the House of Commons in April 2023 and was referred to the House of Commons Standing Committee on Industry and Technology for study.

You can read more about Canada’s regulation efforts (Bill C-27) and some of the critiques in my May 1, 2023 posting, “Canada, AI regulation, and the second reading of the Digital Charter Implementation Act, 2022 (Bill C-27).”

For now, the “Voluntary Code of Conduct on the Responsible Development and Management of Advanced Generative AI Systems” can be found on this ISED September 2023 webpage.

Other Canadian AI policy bits and bobs

Back in 2016, shiny new Prime Minister Justin Trudeau announced the Pan-Canadian Artificial Intelligence Strategy (you can find out more about the strategy (Pillar 1: Commercialization) from this ISED Pan-Canadian Artificial Intelligence Strategy webpage, which was last updated July 20, 2022).

More recently, the Canadian Institute for Advanced Research (CIFAR), a prominent player in the Pan-Canadian AI strategy, published a report about regulating AI, from a November 21, 2023 CIFAR news release by Kathleen Sandusky, Note: Links have been removed,

New report from the CIFAR AI Insights Policy Briefs series cautions that current efforts to regulate AI are doomed to fail if they ignore a crucial aspect: the transformative impact of AI on regulatory processes themselves.

As rapid advances in artificial intelligence (AI) continue to reshape our world, global legislators and policy experts are working full-tilt to regulate this transformative technology. A new report, part of the CIFAR AI Insights Policy Briefs series, provides novel tools and strategies for a new way of thinking about regulation.

“Regulatory Transformation in the Age of AI” was authored by members of the Schwartz Reisman Institute for Technology and Society at the University of Toronto: Director and Chair Gillian Hadfield, who is also a Canada CIFAR AI Chair at the Vector Institute; Policy Researcher Jamie Amarat Sandhu; and Graduate Affiliate Noam Kolt.

The report challenges the current regulatory focus, arguing that the standard “harms paradigm” of regulating AI is necessary but incomplete. For example, current car safety regulations were not developed to address the advent of autonomous vehicles. In this way, the introduction of AI into vehicles has made some existing car safety regulations inefficient or irrelevant.

Through three Canadian case studies—in healthcare, financial services, and nuclear energy—the report illustrates some of the ways in which the targets and tools of regulation could be reconsidered for a world increasingly shaped by AI.

The brief proposes a novel concept—Regulatory Impacts Analysis (RIA)—as a means to evaluate the impact of AI on regulatory regimes. RIA aims to assess the likely impact of AI on regulatory targets and tools, helping policymakers adapt governance institutions to the changing conditions brought about by AI. The authors provide a real-world adaptable tool—a sample questionnaire—for policymakers to identify potential gaps in their domain as AI becomes more prevalent.

This report also highlights the need for a comprehensive regulatory approach that goes beyond mitigating immediate harms, recognizing AI as a “general-purpose technology” with far-reaching implications, including on the very act of regulation itself.

As AI is expected to play a pivotal role in the global economy, the authors emphasize the need for regulators to go beyond traditional approaches. The evolving landscape requires a more flexible and adaptive playbook, with tools like RIA helping to shape strategies to harness the benefits of AI, address associated risks, and prepare for the technology’s transformative impact.

You can find CIFAR’s November 2023 report, “Regulatory Transformation in the Age of AI” (PDF) here.

I have two more AI bits and these concern provincial AI policies, one from Ontario and the other from British Columbia (BC),

Stay tuned, there will be more about AI policy throughout 2024.

Age of AI and Big Data – Impact on Justice, Human Rights and Privacy Zoom event on September 28, 2022 at 12 – 1:30 pm EDT

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The Canadian Science Policy Centre (CSPC) in a September 15, 2022 announcement (received via email) announced an event (Age of AI and Big Data – Impact on Justice, Human Rights and Privacy) centered on some of the latest government doings on artificial intelligence and privacy (Bill C-27),

In an increasingly connected world, we share a large amount of our data in our daily lives without our knowledge while browsing online, traveling, shopping, etc. More and more companies are collecting our data and using it to create algorithms or AI. The use of our data against us is becoming more and more common. The algorithms used may often be discriminatory against racial minorities and marginalized people.

As technology moves at a high pace, we have started to incorporate many of these technologies into our daily lives without understanding its consequences. These technologies have enormous impacts on our very own identity and collectively on civil society and democracy. 

Recently, the Canadian Government introduced the Artificial Intelligence and Data Act (AIDA) and Bill C-27 [which includes three acts in total] in parliament regulating the use of AI in our society. In this panel, we will discuss how our AI and Big data is affecting us and its impact on society, and how the new regulations affect us. 

Date: Sep 28 Time: 12:00 pm – 1:30 pm EDT Event Category: Virtual Session

Register Here

For some reason, there was no information about the moderator and panelists, other than their names, titles, and affiliations. Here’s a bit more:

Moderator: Yuan Stevens (from her eponymous website’s About page), Note: Links have been removed,

Yuan (“You-anne”) Stevens (she/they) is a legal and policy expert focused on sociotechnical security and human rights.

She works towards a world where powerful actors—and the systems they build—are held accountable to the public, especially when it comes to marginalized communities. 

She brings years of international experience to her role at the Leadership Lab at Toronto Metropolitan University [formerly Ryerson University], having examined the impacts of technology on vulnerable populations in Canada, the US and Germany. 

Committed to publicly accessible legal and technical knowledge, Yuan has written for popular media outlets such as the Toronto Star and Ottawa Citizen and has been quoted in news stories by the New York Times, the CBC and the Globe & Mail.

Yuan is a research fellow at the Centre for Law, Technology and Society at the University of Ottawa and a research affiliate at Data & Society Research Institute. She previously worked at Harvard University’s Berkman Klein Center for Internet & Society during her studies in law at McGill University.

She has been conducting research on artificial intelligence since 2017 and is currently exploring sociotechnical security as an LL.M candidate at University of Ottawa’s Faculty of Law working under Florian Martin-Bariteau.

Panelist: Brenda McPhail (from her Centre for International Governance Innovation profile page),

Brenda McPhail is the director of the Canadian Civil Liberties Association’s Privacy, Surveillance and Technology Project. Her recent work includes guiding the Canadian Civil Liberties Association’s interventions in key court cases that raise privacy issues, most recently at the Supreme Court of Canada in R v. Marakah and R v. Jones, which focused on privacy rights in sent text messages; research into surveillance of dissent, government information sharing, digital surveillance capabilities and privacy in relation to emergent technologies; and developing resources and presentations to drive public awareness about the importance of privacy as a social good.

Panelist: Nidhi Hegde (from her University of Alberta profile page),

My research has spanned many areas such as resource allocation in networking, smart grids, social information networks, machine learning. Broadly, my interest lies in gaining a fundamental understanding of a given system and the design of robust algorithms.

More recently my research focus has been in privacy in machine learning. I’m interested in understanding how robust machine learning methods are to perturbation, and privacy and fairness constraints, with the goal of designing practical algorithms that achieve privacy and fairness.

Bio

Before joining the University of Alberta, I spent many years in industry research labs. Most recently, I was a Research team lead at Borealis AI (a research institute at Royal Bank of Canada), where my team worked on privacy-preserving methods for machine learning models and other applied problems for RBC. Prior to that, I spent many years in research labs in Europe working on a variety of interesting and impactful problems. I was a researcher at Bell Labs, Nokia, in France from January 2015 to March 2018, where I led a new team focussed on Maths and Algorithms for Machine Learning in Networks and Systems, in the Maths and Algorithms group of Bell Labs. I also spent a few years at the Technicolor Paris Research Lab working on social network analysis, smart grids, and privacy in recommendations.

Panelist: Benjamin Faveri (from his LinkedIn page),

About

Benjamin Faveri is a Research and Policy Analyst at the Responsible AI Institute (RAII) [headquarted in Austin, Texas]. Currently, he is developing their Responsible AI Certification Program and leading it through Canada’s national accreditation process. Over the last several years, he has worked on numerous certification program-related research projects such as fishery economics and certification programs, police body-worn camera policy certification, and emerging AI certifications and assurance systems. Before his work at RAII, Benjamin completed a Master of Public Policy and Administration at Carleton University, where he was a Canada Graduate Scholar, Ontario Graduate Scholar, Social Innovation Fellow, and Visiting Scholar at UC Davis School of Law. He holds undergraduate degrees in criminology and psychology, finishing both with first class standing. Outside of work, Benjamin reads about how and why certification and private governance have been applied across various industries.

Panelist: Ori Freiman (from his eponymous website’s About page)

I research at the forefront of technological innovation. This website documents some of my academic activities.

My formal background is in Analytic Philosophy, Library and Information Science, and Science & Technology Studies. Until September 22′ [September 2022], I was a Post-Doctoral Fellow at the Ethics of AI Lab, at the University of Toronto’s Centre for Ethics. Before joining the Centre, I submitted my dissertation, about trust in technology, to The Graduate Program in Science, Technology and Society at Bar-Ilan University.

I have also found a number of overviews and bits of commentary about the Canadian federal government’s proposed Bill C-27, which I think of as an omnibus bill as it includes three proposed Acts.

The lawyers are excited but I’m starting with the Responsible AI Institute’s (RAII) response first as one of the panelists (Benjamin Faveri) works for them and it’s a view from a closely neighbouring country, from a June 22, 2022 RAII news release, Note: Links have been removed,

Business Implications of Canada’s Draft AI and Data Act

On June 16 [2022], the Government of Canada introduced the Artificial Intelligence and Data Act (AIDA), as part of the broader Digital Charter Implementation Act 2022 (Bill C-27). Shortly thereafter, it also launched the second phase of the Pan-Canadian Artificial Intelligence Strategy.

Both RAII’s Certification Program, which is currently under review by the Standards Council of Canada, and the proposed AIDA legislation adopt the same approach of gauging an AI system’s risk level in context; identifying, assessing, and mitigating risks both pre-deployment and on an ongoing basis; and pursuing objectives such as safety, fairness, consumer protection, and plain-language notification and explanation.

Businesses should monitor the progress of Bill C-27 and align their AI governance processes, policies, and controls to its requirements. Businesses participating in RAII’s Certification Program will already be aware of requirements, such as internal Algorithmic Impact Assessments to gauge risk level and Responsible AI Management Plans for each AI system, which include system documentation, mitigation measures, monitoring requirements, and internal approvals.

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The AIDA draft is focused on the impact of any “high-impact system”. Companies would need to assess whether their AI systems are high-impact; identify, assess, and mitigate potential harms and biases flowing from high-impact systems; and “publish on a publicly available website a plain-language description of the system” if making a high-impact system available for use. The government elaborated in a press briefing that it will describe in future regulations the classes of AI systems that may have high impact.

The AIDA draft also outlines clear criminal penalties for entities which, in their AI efforts, possess or use unlawfully obtained personal information or knowingly make available for use an AI system that causes serious harm or defrauds the public and causes substantial economic loss to an individual.

If enacted, AIDA would establish the Office of the AI and Data Commissioner, to support Canada’s Minister of Innovation, Science and Economic Development, with powers to monitor company compliance with the AIDA, to order independent audits of companies’ AI activities, and to register compliance orders with courts. The Commissioner would also help the Minister ensure that standards for AI systems are aligned with international standards.

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Apart from being aligned with the approach and requirements of Canada’s proposed AIDA legislation, RAII is also playing a key role in the Standards Council of Canada’s AI  accreditation pilot. The second phase of the Pan-Canadian includes funding for the Standards Council of Canada to “advance the development and adoption of standards and a conformity assessment program related to AI/”

The AIDA’s introduction shows that while Canada is serious about governing AI systems, its approach to AI governance is flexible and designed to evolve as the landscape changes.

Charles Mandel’s June 16, 2022 article for Betakit (Canadian Startup News and Tech Innovation) provides an overview of the government’s overall approach to data privacy, AI, and more,

The federal Liberal government has taken another crack at legislating privacy with the introduction of Bill C-27 in the House of Commons.

Among the bill’s highlights are new protections for minors as well as Canada’s first law regulating the development and deployment of high-impact AI systems.

“It [Bill C-27] will address broader concerns that have been expressed since the tabling of a previous proposal, which did not become law,” a government official told a media technical briefing on the proposed legislation.

François-Philippe Champagne, the Minister of Innovation, Science and Industry, together with David Lametti, the Minister of Justice and Attorney General of Canada, introduced the Digital Charter Implementation Act, 2022. The ministers said Bill C-27 will significantly strengthen Canada’s private sector privacy law, create new rules for the responsible development and use of artificial intelligence (AI), and continue to put in place Canada’s Digital Charter.

The Digital Charter Implementation Act includes three proposed acts: the Consumer Privacy Protection Act, the Personal Information and Data Protection Tribunal Act, and the Artificial Intelligence and Data Act (AIDA)- all of which have implications for Canadian businesses.

Bill C-27 follows an attempt by the Liberals to introduce Bill C-11 in 2020. The latter was the federal government’s attempt to reform privacy laws in Canada, but it failed to gain passage in Parliament after the then-federal privacy commissioner criticized the bill.

The proposed Artificial Intelligence and Data Act is meant to protect Canadians by ensuring high-impact AI systems are developed and deployed in a way that identifies, assesses and mitigates the risks of harm and bias.

For businesses developing or implementing AI this means that the act will outline criminal prohibitions and penalties regarding the use of data obtained unlawfully for AI development or where the reckless deployment of AI poses serious harm and where there is fraudulent intent to cause substantial economic loss through its deployment.

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An AI and data commissioner will support the minister of innovation, science, and industry in ensuring companies comply with the act. The commissioner will be responsible for monitoring company compliance, ordering third-party audits, and sharing information with other regulators and enforcers as appropriate.

The commissioner would also be expected to outline clear criminal prohibitions and penalties regarding the use of data obtained unlawfully for AI development or where the reckless deployment of AI poses serious harm and where there is fraudulent intent to cause substantial economic loss through its deployment.

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Canada already collaborates on AI standards to some extent with a number of countries. Canada, France, and 13 other countries launched an international AI partnership to guide policy development and “responsible adoption” in 2020.

The federal government also has the Pan-Canadian Artificial Intelligence Strategy for which it committed an additional $443.8 million over 10 years in Budget 2021. Ahead of the 2022 budget, Trudeau [Canadian Prime Minister Justin Trudeau] had laid out an extensive list of priorities for the innovation sector, including tasking Champagne with launching or expanding national strategy on AI, among other things.

Within the AI community, companies and groups have been looking at AI ethics for some time. Scotiabank donated $750,000 in funding to the University of Ottawa in 2020 to launch a new initiative to identify solutions to issues related to ethical AI and technology development. And Richard Zemel, co-founder of the Vector Institute [formed as part of the Pan-Canadian Artificial Intelligence Strategy], joined Integrate.AI as an advisor in 2018 to help the startup explore privacy and fairness in AI.

When it comes to the Consumer Privacy Protection Act, the Liberals said the proposed act responds to feedback received on the proposed legislation, and is meant to ensure that the privacy of Canadians will be protected, and that businesses can benefit from clear rules as technology continues to evolve.

“A reformed privacy law will establish special status for the information of minors so that they receive heightened protection under the new law,” a federal government spokesperson told the technical briefing.

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The act is meant to provide greater controls over Canadians’ personal information, including how it is handled by organizations as well as giving Canadians the freedom to move their information from one organization to another in a secure manner.

The act puts the onus on organizations to develop and maintain a privacy management program that includes the policies, practices and procedures put in place to fulfill obligations under the act. That includes the protection of personal information, how requests for information and complaints are received and dealt with, and the development of materials to explain an organization’s policies and procedures.

The bill also ensures that Canadians can request that their information be deleted from organizations.

The bill provides the privacy commissioner of Canada with broad powers, including the ability to order a company to stop collecting data or using personal information. The commissioner will be able to levy significant fines for non-compliant organizations—with fines of up to five percent of global revenue or $25 million, whichever is greater, for the most serious offences.

The proposed Personal Information and Data Protection Tribunal Act will create a new tribunal to enforce the Consumer Privacy Protection Act.

Although the Liberal government said it engaged with stakeholders for Bill C-27, the Council of Canadian Innovators (CCI) expressed reservations about the process. Nick Schiavo, CCI’s director of federal affairs, said it had concerns over the last version of privacy legislation, and had hoped to present those concerns when the bill was studied at committee, but the previous bill died before that could happen.

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Now the lawyers. Simon Hodgett, Kuljit Bhogal, and Sam Ip have written a June 27, 2022 overview, which highlights the key features from the perspective of Osler, a leading business law firm practising internationally from offices across Canada and in New York.

Maya Medeiros and Jesse Beatson authored a June 23, 2022 article for Norton Rose Fulbright, a global law firm, which notes a few ‘weak’ spots in the proposed legislation,

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… While the AIDA is directed to “high-impact” systems and prohibits “material harm,” these and other key terms are not yet defined. Further, the quantum of administrative penalties will be fixed only upon the issuance of regulations. 

Moreover, the AIDA sets out publication requirements but it is unclear if there will be a public register of high-impact AI systems and what level of technical detail about the AI systems will be available to the public. More clarity should come through Bill C-27’s second and third readings in the House of Commons, and subsequent regulations if the bill passes.

The AIDA may have extraterritorial application if components of global AI systems are used, developed, designed or managed in Canada. The European Union recently introduced its Artificial Intelligence Act, which also has some extraterritorial application. Other countries will likely follow. Multi-national companies should develop a coordinated global compliance program.

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I have two podcasts from Michael Geist, a lawyer and Canada Research Chair in Internet and E-Commerce Law at the University of Ottawa.

  • June 26, 2022: The Law Bytes Podcast, Episode 132: Ryan Black on the Government’s Latest Attempt at Privacy Law Reform “The privacy reform bill that is really three bills in one: a reform of PIPEDA, a bill to create a new privacy tribunal, and an artificial intelligence regulation bill. What’s in the bill from a privacy perspective and what’s changed? Is this bill any likelier to become law than an earlier bill that failed to even advance to committee hearings? To help sort through the privacy aspects of Bill C-27, Ryan Black, a Vancouver-based partner with the law firm DLA Piper (Canada) …” (about 45 mins.)
  • August 15, 2022: The Law Bytes Podcast, Episode 139: Florian Martin-Bariteau on the Artificial Intelligence and Data Act “Critics argue that regulations are long overdue, but have expressed concern about how much of the substance is left for regulations that are still to be developed. Florian Martin-Bariteau is a friend and colleague at the University of Ottawa, where he holds the University Research Chair in Technology and Society and serves as director of the Centre for Law, Technology and Society. He is currently a fellow at the Harvard’s Berkman Klein Center for Internet and Society …” (about 38 mins.)