AI Regulation & Ethics

Current Regulations & Legislation



– GDPR Articles 13 and 14 require organizations to inform individuals of the existence of automated decision-making, including profiling, which has legal or other significant effects on the individual.

– The National Artificial Intelligence Initiative Act of 2020 (NAIIA):

  • Established a national AI initiative office.
  • NAIIA amends the National Institute of Standards and Technology (NIST) Act to develop standards and best practices for AI.

– EEOC launched an Initiative on AI and Algorithmic Fairness on October 28, 2021 where it “plans to:

  • Establish an internal working group to coordinate the agency’s work on the initiative.
  • Launch a series of listening sessions with key stakeholders about algorithmic tools and their employment ramifications.
  • Gather information about the adoption, design, and impact of hiring an other employment related technologies.
  • Identify promising practices.
  • Issue technical assistance to provide guidance on algorithmic fairness and the use of AI in employment decisions.”

– EEOC also issued a technical assistance document titled “The Americans with Disabilities Act and the Use of Software, Algorithms, and Artificial Intelligence to Assess Job Applicants and Employees” on May 12, 2022 that offers tips to employers regarding possible ADA violations.

– The White House Office of Science and Technology and the NSF launched the National AI Research Resource (NAIRR) Task Force.

– The US-EU Trade and Technology Council (TTC) was formed in September 2021.

– The USPTO released a petition decision in April 2020 that determined that an inventor must be a natural person. The US District Court for the Eastern District of Virginia later granted a summary judgement for the USPTO – the Patent Act (2021 WL 3934803 (E.D. V.A. Sept 2, 2021)).

– FAA issued rules permitting the operation of small unmanned aircrafts in certain conditions (86 Fed. Reg. 4314-01 (Jan. 15, 2021)) and requiring remote identification of unmanned aircraft (86 Fed. Reg. 4390-01 (Jan. 15, 2021)).

– The NHTSA issued a First Amended Standing General Order 2021-01 in June 2021 that requires crashes by vehicles with advance driver assistance systems and automated driving systems to be reported to the NHTSA.

– The Department of Commerce created the National Artificial Intelligence Advisory Committee in September 2021 with a purpose of advising the President and federal agencies.

– Congress created the National Security Commission on Artificial Intelligence (NSCAI) as a temporary organization to address national security and defense in regards to AI. Operations ceased on October 1, 2021 following a final report in March 2021.

– NIST published a proposal in June 2021 about managing bias throughout the AI lifecycle.


– Illinois Artificial Intelligence Video Interview Act.

– California Privacy Rights Act of 2020 (CPRA).

– May provide residents with rights to opt out of profiling activity that could result in automated decisions producing significant effects.

– Utah passed a bill regarding requirements for the use of facial recognition technology in May 2021.

– Virginia passed a bill that requires local law-enforcement agencies and campus police departments to receive authorization in order to use or purchase facial recognition technology in April 2021.

– Washington passed a bill that requires the use of facial recognition technology to be reported and tested for fairness regularly in July 2021.

– King County, WA banned facial recognition technology for use by county administrative offices and executive departments in June 2021.

– Baltimore, MD approved the Council Bill 21-0001, the Ordinance Concerning Surveillance Technology in Baltimore in August 2021.

– Minneapolis, MN passed an ordinance banning the purchase or use of data from facial recognition technology by the city in February 2021.

– Florida passed a bill regarding requirements for low-speed autonomous delivery vehicles in July 2021.

– Nevada passed a bill related to un-manned, low-speed vehicles in July 2021.

– New York, NY set requirements for use of automated employment decision tools in January 1, 2023.

– Portland, OR announced an ordinance preventing the use of defined facial recognition technology in public spaces within the city by private entities in September 2020.

– Florida prohibits public schools from the collection or retention of biometric information retrieved from electronic measurement or evaluation of students or relatives (§ 1002.222(1)(a), Fla. Stat.


– The White House office of Science and Technology Policy (OSTP) published a non-binding Blueprint for an AI Bill of Rights in October 2022 setting out five principles regarding the American public’s right to:

– Be protected from unsafe or ineffective systems.

– Not face discrimination by algorithms and require systems to be used and designed in an equitable way.

– Be protected from abusive data practices with built-in protections and have agency over how one’s personal data is used.

– Be notified that an automated system is being used and understand how and why it contributes to certain outcomes.

– Opt out, where appropriate, and have access to a person who can quickly consider and remedy any problems encountered.

– FTC.

  • Published a blog about algorithms creating legal exposure for companies and noted the sale or use of racially biased algorithms is prohibited: FTC: Jillson E., “Aiming for truth, fairness, and equity in your company’s use of AI”.
  • Published a blog post regarding truth, fairness, and equity of companies using AI.
  • Proposed rules for privacy and AI.
  • Proposed a Trade Regulation Rule on Commercial Surveillance.
  • Published an article on Article, Bias and AI: The Case for Inclusive Tech: Comply with FTC Guidance.
  • The Department of Homeland Security (DHS) issued an information collection request in November 2021 called the Public Perceptions of Emerging Technology.

– The Office of Science and Technology Policy (OSTP) requested input regarding biometric technologies and identification and attribution inference in October 2021.

– The Comptroller of the Currency, Federal Reserve System, Federal Deposit Insurance Corporation, National Credit Union Administration, and Consumer Financial Protection Bureau requested comments on the use of AI, including machine learning (86 Fed. Reg. 16837-01 (Mar. 31, 2021)). The comment period closed on June 1, 2021.

– The International Organization for Standardization (ISO) is beginning to set standards for the use of AI.

Proposed/Pending Regulations & Legislation


– The Office of Management and Budget (OMB) released a draft memorandum on January 7, 2020 that followed President Trump’s Executive Order 13859 setting a guidance with policy considerations on the use and development of AI. It includes ten principles for considering regulatory and non-regulatory approaches for this:

  • Public trust in AI.
  • Public Participation.
  • Scientific integrity and information quality.
  • Risk assessment and management.
  • Benefits and costs.
  • Flexibility.
  • Fairness and non-discrimination.
  • Disclosure and transparency.
  • Safety and security.
  • Interagency coordination.

– Consumer Safety Technology Act.

– H.R.3723.

– Fourth Amendment is Not for Sale Act.

– National Science Foundation for the Future Act.


– US Innovation and Competition Act of 2021.

– Algorithmic Accountability Act.

– Algorithmic Justice and Online Platform Transparency Act.

– Data Protection Act of 2021.

– Filter Bubble Transparency Act.

– Justice in Forensic Algorithms Act of 2021.

– Advancing Facial Recognition Technology Act.

– Facial Recognition and Biometric Technology Moratorium Act of 2021.

– No Biometric Barriers to Housing Act.

– State:

– Consumer privacy laws in Colorado, Connecticut, and Virginia will allow residents to opt out of any profiling activity that could result in automated decisions that produce legal or similarly significant effects starting in 2023.

– The California Department of Fair Employment and Housing (DFEH) issued proposed Draft Modifications to Employment Regulations Regarding Automated-Decision Systems on March 15, 2022.

– Other:

– In US-EU Trade and Technology Council’s (TTC) Inaugural Joint Statement in September of 2021, the TTC “committed to upholding and implementing the OECD Recommendation on Artificial Intelligence.”

Best Practices

– FTC, April 8, 2020 – Tips and Advice Blog on managing consumer protecting risks arising from AI use recommends algorithms should be:

  • Transparent.
  • Explainable.
  • Fair.
  • Empirically sound.
  • Foster accountability.

– The FTC Guidance also recommends that organizations explain algorithmic decision-making to individuals.

– Data minimization requires organizations to:

  • Not use more personal information than is necessary to achieve the stated purposes of processing.
  • Minimize the time they keep the data.

– Organizations using AI should consider:

  • Establishing in advance the scope of information that will be necessary and relevant to developing a successful algorithm.
  • De-identifying the dataset to the extent possible by limiting the amount and nature of the information used.

– Organizations should adopt good information governance to enforce appropriate retention schedules for data used in AI.

– Institute of Electrical and Electronics Engineers (IEEE) have proposed AI policies.

– The Occupational Safety and Health Act includes physical robot safety guidelines within Guidelines for Robotics Safety, Directive STD 01-12-002 (Sept. 21, 1987).

– While creating AI policies companies should consider and address:

  • Safety standards.
  • Ethical considerations.
  • Oversight and reporting abilities.
  • Third-party governance.