Brandie Nonnecke

Anthony M. Barrett, Dan Hendrycks, Jessica Newman et al. · berkeley

Artificial intelligence (AI) systems can provide many beneficial capabilities but also risks of adverse events. Some AI systems could present risks of events with very high or catastrophic consequences at societal scale. The US National Institute of Standards and Technology (NIST) has been developing the NIST Artificial Intelligence Risk Management Framework (AI RMF) as voluntary guidance on AI risk assessment and management for AI developers and others. For addressing risks of events with catastrophic consequences, NIST indicated a need to translate from high level principles to actionable risk management guidance. In this document, we provide detailed actionable-guidance recommendations focused on identifying and managing risks of events with very high or catastrophic consequences, intended as a risk management practices resource for NIST for AI RMF version 1.0 (released in January 2023), or for AI RMF users, or for other AI risk management guidance and standards as appropriate. We also provide our methodology for our recommendations. We provide actionable-guidance recommendations for AI RMF 1.0 on: identifying risks from potential unintended uses and misuses of AI systems; including catastrophic-risk factors within the scope of risk assessments and impact assessments; identifying and mitigating human rights harms; and reporting information on AI risk factors including catastrophic-risk factors. In addition, we provide recommendations on additional issues for a roadmap for later versions of the AI RMF or supplementary publications. These include: providing an AI RMF Profile with supplementary guidance for cutting-edge increasingly multi-purpose or general-purpose AI. We aim for this work to be a concrete risk-management practices contribution, and to stimulate constructive dialogue on how to address catastrophic risks and associated issues in AI standards.

Anthony M. Barrett, Jessica Newman, Brandie Nonnecke et al.

Increasingly multi-purpose AI models, such as cutting-edge large language models or other 'general-purpose AI' (GPAI) models, 'foundation models,' generative AI models, and 'frontier models' (typically all referred to hereafter with the umbrella term 'GPAI/foundation models' except where greater specificity is needed), can provide many beneficial capabilities but also risks of adverse events with profound consequences. This document provides risk-management practices or controls for identifying, analyzing, and mitigating risks of GPAI/foundation models. We intend this document primarily for developers of large-scale, state-of-the-art GPAI/foundation models; others that can benefit from this guidance include downstream developers of end-use applications that build on a GPAI/foundation model. This document facilitates conformity with or use of leading AI risk management-related standards, adapting and building on the generic voluntary guidance in the NIST AI Risk Management Framework and ISO/IEC 23894, with a focus on the unique issues faced by developers of GPAI/foundation models.