“AI Guardrails” are often used as a method to not only get AI programs on track, but also as a way to accelerate AI investments. Projects and programs that fall within the guardrails should be easy to approve, govern, and manage – whereas those outside of the guardrails require further review by a governance team or approval body. The concept of guardrails is familiar to many tech businesses and are often applied in areas such as cybersecurity, digital initiatives, data analytics, governance, and management.

While guidance on implementing guardrails is common, organisations often leave the task of defining their specifics, including their components and functionalities, to their AI and data teams. To assist with this, Ecosystm has surveyed some leading AI users among our customers to get their insights on the guardrails that can provide added value.

Data Security, Governance, and Bias

• Data Assurance. Has the organisation implemented robust data collection and processing procedures to ensure data accuracy, completeness, and relevance for the purpose of the AI model? This includes addressing issues like missing values, inconsistencies, and outliers.
• Bias Analysis. Does the organisation analyse training data for potential biases – demographic, cultural and so on – that could lead to unfair or discriminatory outputs?
• Bias Mitigation. Is the organisation implementing techniques like debiasing algorithms and diverse data augmentation to mitigate bias in model training?
• Data Security. Does the organisation use strong data security measures to protect sensitive information used in training and running AI models?
• Privacy Compliance. Is the AI opportunity compliant with relevant data privacy regulations (country and industry-specific as well as international standards) when collecting, storing, and utilising data?

Model Development and Explainability

• Explainable AI. Does the model use explainable AI (XAI) techniques to understand and explain how AI models reach their decisions, fostering trust and transparency?
• Fair Algorithms. Are algorithms and models designed with fairness in mind, considering factors like equal opportunity and non-discrimination?
• Rigorous Testing. Does the organisation conduct thorough testing and validation of AI models before deployment, ensuring they perform as intended, are robust to unexpected inputs, and avoid generating harmful outputs?

AI Deployment and Monitoring

• Oversight Accountability. Has the organisation established clear roles and responsibilities for human oversight throughout the AI lifecycle, ensuring human control over critical decisions and mitigation of potential harm?
• Continuous Monitoring. Are there mechanisms to continuously monitor AI systems for performance, bias drift, and unintended consequences, addressing any issues promptly?
• Robust Safety. Can the organisation ensure AI systems are robust and safe, able to handle errors or unexpected situations without causing harm? This includes thorough testing and validation of AI models under diverse conditions before deployment.
• Transparency Disclosure. Is the organisation transparent with stakeholders about AI use, including its limitations, potential risks, and how decisions made by the system are reached?

Other AI Considerations

• Ethical Guidelines. Has the organisation developed and adhered to ethical principles for AI development and use, considering areas like privacy, fairness, accountability, and transparency?
• Legal Compliance. Has the organisation created mechanisms to stay updated on and compliant with relevant legal and regulatory frameworks governing AI development and deployment?
• Public Engagement. What mechanisms are there in place to encourage open discussion and engage with the public regarding the use of AI, addressing concerns and building trust?
• Social Responsibility. Has the organisation considered the environmental and social impact of AI systems, including energy consumption, ecological footprint, and potential societal consequences?

Implementing these guardrails requires a comprehensive approach that includes policy formulation, technical measures, and ongoing oversight. It might take a little longer to set up this capability, but in the mid to longer term, it will allow organisations to accelerate AI implementations and drive a culture of responsible AI use and deployment.