定义人工智能事件和相关术语

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DEFININGAI

INCIDENTSANDRELATEDTERMS

OECDARTIFICIAL

INTELLIGENCEPAPERS

May2024No.16

ECD

BETTERPOLlcIESFORBETTERLIVES

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Foreword

ThisreportprovidesadefinitionofAIincidentandrelatedterminology.ThesedefinitionsaimtoclarifywhatconstitutesanAIincident,anAIhazard,andassociatedterminologywithoutbeingoverlyprescriptive.ThisdocumentwillinformthedevelopmentofacommonAIincidentsreportingframeworkanditsapplicationthroughtheOECDAIIncidentsMonitor(AIM).

ThisreportandpreviousversionsofitwerediscussedandreviewedbymembersoftheformerOECD.AIExpertGrouponClassifyingAIsystemsduringaseriesofinformalworkshopsbetweenJulyandOctober2022.ItwasalsodiscussedbytheOECD.AIExpertGrouponAIIncidentsatitsMarch,April,June,AugustandNovember2023meetingsanditsFebruary2024meeting.TheOECDWorkingPartyonArtificialIntelligence(AIGO)discussedthisreportandpreviousversionsofitatitsNovember2022;April,JulyandNovember2023;andFebruary2024meetings.

ThereportwaswrittenbyKarinePersetandLuisArandaunderthesupervisionofAudreyPlonk,DeputyDirectoroftheOECDScienceTechnologyandInnovationDirectorate.ThereportalsobenefittedfromtheinputsofdelegatesfortheOECDWorkingPartyonArtificialIntelligence(AIGO),includingtheCivilSocietyInformationSocietyAdvisoryCouncil(CSISAC)andBusinessattheOECD(BIAC).BénédicteRispal,OrsolyaDobe,JohnTarver,ShelliePhillipsandAndreiaFurtadoprovidededitorialsupport.

ThispaperwasapprovedanddeclassifiedbywrittenprocedurebytheOECDDigitalPolicyCommittee(DPC)on14March2024andpreparedforpublicationbytheOECDSecretariat.

NotetoDelegations:

ThisdocumentisalsoavailableonO.N.Eunderthereferencecode:

DSTI/CDEP/AIGO(2023)10/FINAL

Thisdocument,aswellasanydataandmapincludedherein,arewithoutprejudicetothestatusoforsovereigntyoveranyterritory,tothedelimitationofinternationalfrontiersandboundariesandtothenameofanyterritory,cityorarea.

©OECD2024

Theuseofthiswork,whetherdigitalorprint,isgovernedbytheTermsandConditionstobefoundat

/termsandconditions.

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Acknowledgements

ThisreportisbasedontheworkoftheOECD.AIExpertGrouponAIIncidentsandtheformerOECD.AIExpertGrouponClassifyingAIsystems.ItwaspreparedundertheaegisoftheOECDWorkingPartyonAIGovernance(AIGO).TheOECD.AIExpertGrouponAIincidentswasco-chairedbyIrinaOrssich(EuropeanCommission);ElhamTabassi(NationalInstituteofStandardsandTechnology),MarkoGrobelnik(JozefStefanInstitute)andMarkLatonero(WhiteHouseOfficeofScienceandTechnologyPolicy).KarinePersetandLuisAranda(OECDDigitalEconomyPolicyDivision)ledthereportdevelopmentanddrafting.TheauthorsthankKevinPaeth(ULResearchinstitute)forinitialresearch,stocktakinganddrafting.

Manyexpertsprovidedinvaluablefeedbackandsuggestions,includingSeanMcGregor(ResponsibleAICollaborative);HeatherFrase(CSET);IrinaOrssich,TatjanaEvasandYordankaIvanova(EuropeanComission);PamDixon(WorldPrivacyForum);KevinPaeth(ULResearchinstitute);andAndreaRenda(CEPS);aswellasofnationaldelegationstotheAIGO,includingRoxaneSabourin(Canada);FerencKasa(Hungary);LuisRicardoSánchezHernández(Mexico);RoseWoolhouse(UnitedKingdom);PhilippSchulte(Germany);ZivKatzir(Israel);DavidTurnbull(UnitedStates);andAyakaTano(Japan).

ThepaperbenefittedsignificantlyfromtheoralandwrittencontributionsofthoseassociatedwiththeOECD.AIExpertGrouponAIIncidents,includingAhmetYildiz(MinistryofIndustryandTechnology,RepublicofTürkiye);AndrejsVasiljevs(Tilde);AnnaloreVerhagen(OECD);AurelieJacquet(StandardsAustralia);BarryO’Brien(IBM);CarlosIgnacioGutierrez(FutureofLifeInstitute);CarlosMuñozFerrandis(BigScience);CatelijneMuller(ALLAI);CoranDarling(DLAPiper);CraigShank(independentexpert);DanielSchwabe(CatholicUniversityinRiodeJaneiro);ElhamTabassi(NIST);EvaThelisson(AITransparencyInstitute);FlorianOstmann(TheAlanTuringInstitute);HeatherFrase(CSET);IlyaMeyzin(Dun&Bradstreet);IrinaOrssich(EuropeanCommission);JanaNovohradska(SlovakRepublic);JessicaCussins(UCBerkeley);JohnMcCarthy(Arup);JudithPeterka(Germany);LeonidasAristodemou(OECD);MarkLatonero(WhiteHouseOfficeofScienceandTechnologyPolicy);MarkoGrobelnik(JozefStefanInstitute);MohammedMotiwala(UnitedStates);NicolasMiailhe(TheFutureSociety);NicolasMoës(TheFutureSociety);NozhaBoujemaa(IKEA);PamDixon(WorldPrivacyForum);PeterAddo(AgenceFrançaisedeDéveloppement);PeterCihon(GitHub);PhilipDawson(Armila);PrateekSibal(UNESCO);RajaChatila(IEEE);RayidGhani(CarnegieMellonUniversity);RebeccaAnselmetti(UnitedKingdom);SeanMcGregor(ResponsibleAICollaborative);SebastianHallensleben(CEN-CENELEC);TatjanaEvas(EuropeanCommission);ThiagoGuimarãesMoraes(Brazil);TillKlein(AppliedAI);YolandaLannquist(TheFutureSociety);andYordankaIvanova(EuropeanCommission).

TheSecretariatwouldalsoliketothankstakeholdergroupsattheOECDfortheirinput,includingPamDixon(CivilSocietyInformationSocietyAdvisory–CSISAC);NicolePrimmerandMaylisBerviller(BusinessatOECD–BIAC);andSarahJamesonandAidaPonce(TradeUnionAdvisoryCommittee–TUAC).

Finally,theauthorsthankBénédicteRispal,OrsolyaDobe,JohnTarver,ShelliePhillips,AndreiaFurtadoandAngelaGosmannforeditorialsupport.Theoverallqualityofthisreportbenefittedsignificantlyfromtheirengagement.

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Tableofcontents

Foreword2

Acknowledgements2

Abstract5

Résumé6

1Executivesummary7

2Backgroundandpurpose8

3Actualvs.potentialharmasthestartingpoint9

4Actualharm:AIincidents,seriousAIincidentsandAIdisasters10

DraftdefinitionofanAIincident10

DraftdefinitionofaseriousAIincident11

DraftdefinitionofanAIdisaster11

5Potentialharm:AIhazardsandseriousAIhazards12

DraftdefinitionofanAIhazard12

DraftdefinitionofaseriousAIhazard13

6Conclusionandnextsteps14

AnnexA.Dimensionsofharm15

Typesofharm16

AnnexB.SeriousAIincidentdefinitionintheproposedEUAIAct17

References18

FIGURES

Figure1.ProposedclassificationforAIincidentsandhazardsbasedonseverityofharm10

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TABLES

Table1.Illustrativedimensionsofharm16

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Abstract

AsAIusegrows,sodoitsbenefitsandrisks.Theseriskscanleadtoactualharms,AIincidents,orpotentialdangers,AIhazards.Cleardefinitionsareessentialformanagingandpreventingtheserisks.Thisreportproposes

definitionsforAIincidentsandrelatedterms.Thesedefinitionsaimtofosterinternationalinteroperabilitywhileprovidingflexibilityforjurisdictionsto

determinethescopeofAIincidentsandhazardstheywishtoaddress.

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Résumé

Àmesurequel’utilisationdel’IAsedéveloppe,sesavantagesetsesrisquesaugmententégalement.Cesrisquespeuvententrainerdespréjudicesréels,incidentsliésàl’IA,oudesdangerspotentiels,

dangersliésàl’IA.Desdéfinitionsclairessontessentiellespourlagestionetlapréventiondecesrisques.Leprésentrapportproposedesdéfinitionspourlesincidentsliésàl’IAetlestermesconnexes.Cesdéfinitionsvisentàfavoriseruneinteropérabilitéinternationaletoutenlaissantauxjuridictionslapossibilitédedéterminerlesdimensionsdesincidentsetdangersliésàl’IAqu’ellessouhaitentprendreencompte.

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1Executivesummary

InJanuary2023,theOECDformalisedtheOECD.AIExpertGrouponAIIncidentstoadvancethedevelopmentofi)acommonAIincidentreportingframeworkandii)anAIIncidentsMonitor(AIM).ThisreportprovidespreliminarydefinitionsandterminologyrelatedtoAIincidentstosupportthedevelopmentandadvancementofbothinitiatives.

AsAIsystemsbecomemorewidelyused,thepotentialforthemtocauseharmtopeople,organisationsandtheenvironmentalsoincreases.HarmcausedbyAIsystemscanrangefromminortosevere,andcanaffectdifferentgroupsofpeople,differentsectorsanddifferentaspectsoflife.

AIsystemsneedtobetrustworthyandreliabletoavoidnegativeeffectsonpeople,organisationsandtheenvironment.Toachievethis,AIactorsneedtousethesametermstotalkabouttheproblemsandfailuresofAIsystemssothatwecanlearnataninternationallevelandpreventrepeats.TheseeventsarebroadlyreferredtoundertheemergingtermAIincidents.

ThisreportprovidesdefinitionsforAIincidentsandrelatedterms,basedontheworkoftheOECD.AIExpertGrouponAIIncidentsandtheOECDWorkingPartyonAIGovernance(AIGO).

AneventwherethedevelopmentoruseofanAIsystemresultsinactualharmistermedanAIincident,whileaneventwherethedevelopmentoruseofanAIsystemispotentiallyharmfulistermedanAIhazard.Thispaperdefinesthemasfollows:

AnAIincidentisanevent,circumstanceorseriesofeventswherethedevelopment,useormalfunctionofoneormoreAIsystemsdirectlyorindirectlyleadstoanyofthefollowingharms:

(a)injuryorharmtothehealthofapersonorgroupsofpeople;

(b)disruptionofthemanagementandoperationofcriticalinfrastructure;

(c)violationsofhumanrightsorabreachofobligationsundertheapplicablelawintendedtoprotectfundamental,labourandintellectualpropertyrights;

(d)harmtoproperty,communitiesortheenvironment.

AnAIhazardisanevent,circumstanceorseriesofeventswherethedevelopment,useormalfunctionofoneormoreAIsystemscouldplausiblyleadtoanAIincident,i.e.,anyofthefollowingharms:

(a)injuryorharmtothehealthofapersonorgroupsofpeople;

(b)disruptionofthemanagementandoperationofcriticalinfrastructure;

(c)violationstohumanrightsorabreachofobligationsundertheapplicablelawintendedtoprotectfundamental,labourandintellectualpropertyrights;

(d)harmtoproperty,communitiesortheenvironment.

Thisreportalsoincludesproposeddefinitionsforassociatedterminology,includingwhatconstitutesAIhazards,seriousAIhazards,seriousAIincidentsandAIdisasters,withoutbeingoverlyprescriptive.Thesedefinitionsaredesignedtofacilitateinternationalinteroperability,providetheflexibilitynecessarytoencompassactualand/orpotentialharmsandalloweachjurisdictiontodeterminetherangeofAIincidentsandhazardstheywishtoaddress.

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2

Backgroundandpurpose

AtthesecondmeetingoftheOECDWorkingPartyonArtificialIntelligenceGovernance(AIGO)inNovember2022,theOECDSecretariatpresentedaconceptnoteondevelopingacommonAIincidentreportingframework,includingthegoalsofasuccessfulcommonframeworkattheOECDlevelandbeyond.Thenotesummarisedconsultationsandpreliminaryworktodateonthetopicandpresentedapreliminaryworkingdefinitionofan“AIincident”consideredbytheSecretariatandtheOECDExpertGrouponAIClassification&Risk.

ThisdocumentcontainsadraftdefinitionofanAIincidentandrelatedterminology.Itbuildsonthatconceptnoteandthedocuments“InitialstocktakingofAIincidentdefinitionsandrelatedterminology”[DSTI/CDEP/AIGO/RD(2023)1],“StocktakingforthedevelopmentofanAIincidentdefinition”[DSTI/CDEP/AIGO(2022)11/REV1andDSTI/CDEP/AIGO(2022)11/REV2],presentedtoAIGOinNovember2022,April2023andJuly2023,respectively.Thisdocumentwasdiscussedatthe5thand6thAIGOmeetingsinNovember2023andFebruary2024,andincorporatesfeedbackfromnationaldelegationsandmembersoftheOECD.AIexpertgrouponAIincidents.

ThisdocumentaimstoinformthedevelopmentofacommonAIincidentsreportingframeworkandthe

AI

IncidentsMonitor(AIM).

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3

Actualvs.potentialharmasthestartingpoint

Theconceptofharmiscentraltothetechnicalstandardsandregulationsthatdefineincidentsandhazards.Differentframeworksconsiderdifferentdimensionsofharmdependingonthespecificcontext,regulatoryenvironment,goalsandareasofimpact(AnnexA).Acommonthreadamongmostoftheseframeworksisthatincidentdefinitionstheyuseoftenfocusonpotentialharm,actualharmorboth(OECD,2023[1]).

Potentialharmisoftenexpressedastheriskorlikelihoodthatharmordamagewilloccur.Riskisafunctionofboththeprobabilityofaneventoccurringandtheseverityoftheconsequencesthatwouldresult.Forexample,theriskofanexplosioninachemicalplantisgreateriftheplantisinadenselypopulatedarea,andtheconsequencesofanexplosionwouldbesevere.ItiscrucialtoidentifyandaddressrisksandhazardsthatcanarisefromthedevelopmentanduseofAIsystemsforriskmanagementandAIincidentreportingframeworks.Potentialharmiscommonlyassociatedwiththeconceptofhazard(OECD,2023[1]).

Actualharmisoftenexpressedasariskthatmaterialisedintoharm.Definitionsofactualharminstandardsandregulationsdependsignificantlyoncontext.Theygenerallyfocusonphysicalinjuryordamagetohealth,propertyortheenvironment.Somestandardsandregulations,suchastheEuropeanUnion’sGeneralDataProtectionRegulation(GDPR),employthetermdamagetorefertoharms(Regulation2016/679,EU[2]).Actualharmisoftenassociatedwiththeconceptofanincident(OECD,2023[1]).

Figure1

detailstheproposedOECDclassificationofAIincidentsandhazardsbasedontheseverityofharm.Thisclassificationisbasedonastocktakingexerciseofover30frameworks,standardsandlegalinstrumentsrelevanttoriskandharms(OECD,2023[1]).ItwasfurtherinformedbydiscussionswiththeOECDWorkingGrouponAIGovernance(AIGO)andnumerousworkshopsoftheOECD.AIexpertgrouponAIincidents.

Figure1.ProposedclassificationforAIincidentsandhazardsbasedonseverityofharm

Source:AdaptedfromOECD(2023[1])anddiscussionswiththeOECD.AIexpertgrouponAIincidents.

ThefollowingsectionsprovidepreliminarydefinitionsfortheAIincidentsandhazardsterminologyforpotentialandactualharm.

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Actualharm:AIincidents,seriousAIincidentsandAIdisasters

DraftdefinitionofanAIincident

AnAIincidentisanevent,circumstanceorseriesofeventswherethedevelopment,useormalfunctionofoneormoreAIsystemsdirectlyorindirectlyleadstoanyofthefollowingharms:

(a)injuryorharmtothehealthofapersonorgroupsofpeople;

(b)disruptionofthemanagementandoperationofcriticalinfrastructure;

(c)violationsofhumanrightsorabreachofobligationsundertheapplicablelawintendedtoprotectfundamental,labourandintellectualpropertyrights;

(d)harmtoproperty,communitiesortheenvironment.

ThisworkingdefinitionofanAIincidentisbasedontheConceptnoteondevelopingacommonframeworkforAIincidentreportingandanAIincidentsmonitor(OECD,2022[3]),thedefinitionofaseriousAIincidentbeingproposedinthecontextoftheEUAIAct,andnumerousdiscussionswiththeOECDWorkingPartyonArtificialIntelligenceGovernance(AIGO)andtheOECD.AIexpertgrouponAIincidents.

Keyclarifications:

•AIincidentscouldresultinharmtoindividuals,groups,organisations,communities,society,andtheenvironment.

•Fortheavoidanceofdoubt,aneventorseriesofeventscouldinclude,interalia,AIsystemmalfunctionsandincidentsarisingfromtheinteractionbetweentwoormoreAIsystems,includingagenticAIsystems.

•Insomecases,thedevelopmentofanAIsystemmaycauseharmsevenbeforethesystemisbroadlydeployed.Forexample,traininganAImodelwithproprietaryinformationcouldinfringecopyrightlaws.

•UseincludesharmsarisingfromusesoftheAIsystemoutsideofitsintendedpurposesandintentionalorunintentionalmisuse.

•Groupsofpeopleincludestheconceptofcommunity,whichreferstopeoplelivinginthesameplace,area,etc.orhavingaparticularcharacteristicoractivityincommon.

•Psychologicalharmsandharmstomentalhealthareincludedunderthebroaderconceptofhealthin(a).

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•Insomejurisdictions,criticalinfrastructureisrelatedtocriticalfunctions.Thesecommonlyincludebothphysicalandnon-physicalinfrastructureandfunctions,suchasthefinancialandelectoralsystems.

•Reputationalharmtoindividualsandintangibleharmssuchashatespeechandmis-anddisinformationareincludedunder(c)inrelationtoabreachoffundamentalrights.

•Harmstodemocraticprocessesmayrelateto(b)forcountrieswhereconductingelectionsisconsideredacriticalinfrastructureorfunctionandundertheconceptofharmtocommunitiesin(d)forothercountries.

•Violationsofintellectualpropertyrightsandcopyrightmayfallunderboth(c)and(d).Forexample,

violationsofauthors’andpersonalrightsfitinto(c),whileviolationsofindustrialpropertyrightsareincludedundertheconceptofharmtopropertyin(d).

•Reputationalharmstoorganisationsaswellasfinancialharmsareincludedin(d)undertheconceptofharmtoproperty.

DraftdefinitionofaseriousAIincident

AseriousAIincidentisanevent,circumstanceorseriesofeventswherethedevelopment,useormalfunctionofoneormoreAIsystemsdirectlyorindirectlyleadstoanyofthefollowingharms:

(a)thedeathofapersonorseriousharmtothehealthofapersonorgroupsofpeople;

(b)aseriousandirreversibledisruptionofthemanagementandoperationofcriticalinfrastructure;

(c)aseriousviolationofhumanrightsoraseriousbreachofobligationsundertheapplicablelawintendedtoprotectfundamental,labourandintellectualpropertyrights;

(d)seriousharmtoproperty,communitiesortheenvironment.

ThisworkingdefinitionofaseriousAIincidentalignswiththedefinitionproposedinthecontextoftheEUAIAct(AnnexB).SeriousAIincidentsareasubsetofAIincidentsandareintendedtoincludesubstantial,materialincidents.

Keyclarifications:

•AssessingtheseriousnessofanAIincidentishighlycontext-dependent;eachjurisdictionmaydefineitdifferently.

•Insomecases,theaccumulationofsmallerAIincidentscouldleadtoaseriousAIincident.Thewording“event,circumstanceorseriesofevents”aimstoaccountforthispossibility.

•Insomecases,harmsinflictedbyseriousAIincidentscanbeprolongedovertime.

DraftdefinitionofanAIdisaster

AnAIdisasterisaseriousAIincidentthatdisruptsthefunctioningofacommunityorasocietyandthatmaytestorexceeditscapacitytocope,usingitsownresources.TheeffectofanAIdisastercanbeimmediateandlocalised,orwidespreadandlastingforalongperiodoftime.

ThisworkingdefinitionofanAIdisasterisbasedonthedefinitionsofdisasterbytheUnitedNationsOfficeforDisasterRiskReductionandtheInternationalFederationofRedCrossandRedCrescentSocieties(UNDRR,2023[4];IFRC,2023[5]).AIdisastersareasubsetofseriousAIincidents.

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Potentialharm:AIhazardsandseriousAIhazards

DraftdefinitionofanAIhazard

AnAIhazardisanevent,circumstanceorseriesofeventswherethedevelopment,useormalfunctionofoneormoreAIsystemscouldplausiblyleadtoanAIincident,i.e.,anyofthefollowingharms:

(a)injuryorharmtothehealthofapersonorgroupsofpeople;

(b)disruptionofthemanagementandoperationofcriticalinfrastructure;

(c)violationstohumanrightsorabreachofobligationsundertheapplicablelawintendedtoprotectfundamental,labourandintellectualpropertyrights;

(d)harmtoproperty,communitiesortheenvironment.

ThisworkingdefinitionofanAIhazardisbasedontheConceptnoteondevelopingacommonframeworkforAIincidentreportingandAIincidentsmonitor(OECD,2022[3]),thedefinitionproposedinthecontextoftheEUAIAct,andnumerousdiscussionswiththeOECDWorkingPartyonArtificialIntelligenceGovernance(AIGO)andtheOECD.AIexpertgrouponAIincidents.

Keyclarifications:

•NearmissesareeventsthatcouldhaveledtoanAIincidentandarethereforeincludedunderthisdefinitionofAIhazards.

•AI-relatedrisksareincludedunderAIhazards,totheextentthatsuchriskscouldleadtoAIincidents.

•AIhazardscouldresultinharmtoindividuals,groups,organisations,communities,society,andtheenvironment.

•Forthesakeofclarity,anevent,circumstanceorseriesofeventscouldinclude,interalia,AIsystemmalfunctionsaswellasinteractionsbetweentwoormoreAIsystems,includingagenticAIsystems.

•InthecontextofAI,hazardsarenotsimplyAImodelsingeneralbutalsoelementsofthedesign,training,andoperatingcontextoftheAIsystem.HazardsrelatedtoAIsystemsmaybepresentatanystageoftheAIsystemlifecycle,asmodelledintheOECDFrameworkfortheClassificationofAISystems(OECD,2022[6]).

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DraftdefinitionofaseriousAIhazard

AseriousAIhazardisanevent,circumstanceorseriesofeventswherethedevelopment,useormalfunctionofoneormoreAIsystemscouldplausiblyleadtoaseriousAIincidentorAIdisaster,i.e.,anyofthefollowingharms:

(a)thedeathofapersonorseriousharmtothehealthofapersonorgroupsofpeople;

(b)aseriousandirreversibledisruptionofthemanagementandoperationofcriticalinfrastructure;

(c)aseriousviolationofhumanrightsoraseriousbreachofobligationsundertheapplicablelawintendedtoprotectfundamental,labourandintellectualpropertyrights;

(d)seriousharmtoproperty,communitiesortheenvironment;

(e)thedisruptionofthefunctioningofacommunityorasocietyandwhichmaytestorexceeditscapacitytocopeusingitsownresources.

SeriousAIhazardsareasubsetofAIhazards.

Keyclarifications:

•AssessingtheseriousnessofanAIhazardishighlycontextdependent–eachjurisdictionmaydefineitdifferently.

•Insomecases,theaccumulationofsmallerAIhazardscouldleadtoaseriousAIhazard.Thewording“event,circumstanceorseriesofevents”aimstoaccountforthispossibility.

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Conclusionandnextsteps

TheOECD.AIexpertgrouponAIincidentsaimstodevelopacommonAIincidentreportingframeworktoenabletheappropriateassessmentofharmsandrisksintheAIcontext.Theframeworkwillhelpidentifythekeytypesofharm,suchasphysical,environmental,economicandreputationalharm,harmtopublicinterestandharmtofundamentalrights.Itwillalsoaddressfurtherdimensionsofharm,suchaslevelofseverity,scope,geographicscale,tangibility,quantifiability,materialisation,reversibility,recurrence,impactandtimeframe

(AnnexA)

.

Afurtherstepwouldbetoestablishcleartaxonomiestocategoriseincidentsforeachdimensionofharm.Assessingthe“seriousness”ofanAIincident,harm,damage,ordisruption(e.g.,todeterminewhetheraneventisclassifiedasanincidentoraseriousincident)iscontext-dependentandisalsoleftforfurtherdiscussion.

Thede