28 Amendments of Catharina RINZEMA related to 2021/0106(COD)
Amendment 348 #
Proposal for a regulation
Recital 5
Recital 5
(5) A Union legal framework laying down harmonised rules on artificial intelligence is therefore needed to foster the development, use and uptake of artificial intelligence in the internal market that at the same time meets a high level of protection of public interests, such as health and safety and the protection of fundamental rights, as recognised and protected by Union law. To achieve that objective, rules regulating the placing on the market and putting into service of certain AI systems should be laid down, thus ensuring the smooth functioning of the internal market and allowing those systems to benefit from the principle of free movement of goods and services. By laying down those rules as well as measures in support of innovation with a particular focus on SMEs and start-ups, this Regulation supports the objective of the Union of being a global leader in the development of secure, trustworthy and ethical artificial intelligence, as stated by the European Council33 , and it ensures the protection of ethical principles, as specifically requested by the European Parliament34 . _________________ 33 European Council, Special meeting of the European Council (1 and 2 October 2020) – Conclusions, EUCO 13/20, 2020, p. 6. 34 European Parliament resolution of 20 October 2020 with recommendations to the Commission on a framework of ethical aspects of artificial intelligence, robotics and related technologies, 2020/2012(INL).
Amendment 576 #
Proposal for a regulation
Recital 37
Recital 37
(37) Another area in which the use of AI systems deserves special consideration is the access to and enjoyment of certain essential private and public services and benefits necessary for people to fully participate in society or to improve one’s standard of living. In particular, AI systems used to evaluate the credit score or creditworthiness of natural persons should be classified as high-risk AI systems, since they determine those persons’ access to financial resources or essential services such as housing, electricity, and telecommunication services. AI systems used for this purpose may lead to discrimination of persons or groups and perpetuate historical patterns of discrimination, for example based on racial or ethnic origins, disabilities, age, sexual orientation, or create new forms of discriminatory impacts. Considering the very limited scale of the impact and the available alternatives on the market, it is appropriate to exempt AI systems for the purpose of creditworthiness assessment and credit scoring when put into service by small-scale providerSMEs and start-ups for their own use. Natural persons applying for or receiving public assistance benefits and services from public authorities are typically dependent on those benefits and services and in a vulnerable position in relation to the responsible authorities. If AI systems are used for determining whether such benefits and services should be denied, reduced, revoked or reclaimed by authorities, they may have a significant impact on persons’ livelihood and may infringe their fundamental rights, such as the right to social protection, non- discrimination, human dignity or an effective remedy. Those systems should therefore be classified as high-risk. Nonetheless, this Regulation should not hamper the development and use of innovative approaches in the public administration, which would stand to benefit from a wider use of compliant and safe AI systems, provided that those systems do not entail a high risk to legal and natural persons. Finally, AI systems used to dispatch or establish priority in the dispatching of emergency first response services should also be classified as high- risk since they make decisions in very critical situations for the life and health of persons and their property.
Amendment 733 #
Proposal for a regulation
Recital 73
Recital 73
(73) In order to promote and protect innovation, it is important that the interests of small-scaletart-ups and SME providers and users of AI systems are taken into particular account. To this objective, Member States should develop initiatives, which are targeted at those operators, including on awareness raising and information communication. Moreover, the specific interests and needs of small-scale providerSMEs and start-ups shall be taken into account when Notified Bodies set conformity assessment fees. Translation costs related to mandatory documentation and communication with authorities may constitute a significant cost for providers and other operators, notably those of a smaller scale. Member States should possibly ensure that one of the languages determined and accepted by them for relevant providers’ documentation and for communication with operators is one which is broadly understood by the largest possible number of cross-border users.
Amendment 802 #
Proposal for a regulation
Article 1 – paragraph 1 – point e a (new)
Article 1 – paragraph 1 – point e a (new)
(e a) measures in support of innovation with a particular focus on SMEs and start-ups, including the setting up of regulatory sandboxes and the reduction of regulatory burdens.
Amendment 862 #
Proposal for a regulation
Article 2 – paragraph 2 a (new)
Article 2 – paragraph 2 a (new)
2 a. AI systems likely to interact with or impact on children shall be considered high-risk for this group;
Amendment 1456 #
Proposal for a regulation
Article 6 a (new)
Article 6 a (new)
Amendment 1466 #
Proposal for a regulation
Article 7 – paragraph 1 – introductory part
Article 7 – paragraph 1 – introductory part
1. The Commission is empowered to adopt delegated acts in accordance with Article 73 to update the list in Annex III by adding high-risk AI systems where, after an adequate and transparent consultation process involving the relevant stakeholders, to update the list in Annex III by withdrawing areas from that list or by adding critical areas. For additions both of the following conditions arneed to be fulfilled:
Amendment 1747 #
Proposal for a regulation
Article 10 a (new)
Article 10 a (new)
Article 10 a Risk management system for AI systems likely to interact with children AI systems likely to interact with or impact on children shall implement a riskmanagement system addressing content, contact, conduct and contract risks to children;
Amendment 1753 #
Proposal for a regulation
Article 11 – paragraph 1 – subparagraph 1
Article 11 – paragraph 1 – subparagraph 1
The technical documentation shall be drawn up in such a way to demonstrate that the high-risk AI system complies with the requirements set out in this Chapter and provide national competent authorities and notified bodies with all the necessary information to assess the compliance of the AI system with those requirements. It shall contain, at a minimum, the elements set out in Annex IV or, in the case of SMEs and start-ups, any equivalent documentation meeting the same objectives, subject to approval of the competent authority.
Amendment 1790 #
Proposal for a regulation
Article 13 – paragraph 1
Article 13 – paragraph 1
1. High-risk AI systems shall be designed and developed in such a way to ensure that their operation is sufficiently transparent to enable users to interpret the system’s output and use it appropriately. An appropriate type and degree of transparency shall be ensured, with a view to achieving compliance with the relevant obligations of the user and of the provider set out in Chapter 3 of this Title. Transparency shall thereby mean that, to the extent that can be reasonably expected and is feasible in technical terms, the AI systems output is interpretable by the user and the user is able to understand the general functionality of the AI system and its use of data.
Amendment 2141 #
Proposal for a regulation
Article 41 – paragraph 2
Article 41 – paragraph 2
2. The Commission, when preparing the common specifications referred to in paragraph 1, shall gather the views of stakeholders, including SMEs and start- ups, relevant bodies or expert groups established under relevant sectorial Union law.
Amendment 2375 #
Proposal for a regulation
Article 55 – paragraph 1 – point a
Article 55 – paragraph 1 – point a
(a) provide small-scale providerSMEs and start-ups with priority access to the AI regulatory sandboxes to the extent that they fulfil the eligibility conditions;
Amendment 2377 #
Proposal for a regulation
Article 55 – paragraph 1 – point b
Article 55 – paragraph 1 – point b
(b) organise specific awareness raising activities about the application of this Regulation tailored to the needs of the small-scale providerSMEs, sart-ups and users;
Amendment 2379 #
(c) where appropriate, establish a dedicated channel for communication with small-scale providers andSMEs, start-ups, users and other innovators to provide guidance and respond to queries about the implementation of this Regulation.
Amendment 2381 #
Proposal for a regulation
Article 55 – paragraph 1 – point c a (new)
Article 55 – paragraph 1 – point c a (new)
(c a) support SME's increased participation in the standardisation development process;
Amendment 2387 #
Proposal for a regulation
Article 55 – paragraph 2
Article 55 – paragraph 2
2. The specific interests and needs of the small-scale providerSMEs and start-ups shall be taken into account when setting the fees for conformity assessment under Article 43, reducing those fees proportionately to their size and market size.
Amendment 2389 #
Proposal for a regulation
Article 55 a (new)
Article 55 a (new)
Article 55 a Promoting research and development of AI in support of socially and environmentally beneficial outcomes Member States shall promote research and development of AI solutions which support socially and environmentally beneficial outcomes, including but not limited to development of AI-based solutions to increase accessibility for persons with disabilities, tackle socio- economic inequalities, and meet sustainability and environmental targets, by: (a) providing relevant projects with priority access to the AI regulatory sandboxes to the extent that they fulfil the eligibility conditions; (b) earmarking public funding, including from relevant EU funds, for AI research and development in support of socially and environmentally beneficial outcomes; (c) organising specific awareness raising activities about the application of this Regulation, the availability of and application procedures for dedicated funding, tailored to the needs of those projects; (d) where appropriate, establishing accessible dedicated channels for communication with projects to provide guidance and respond toqueries about the implementation of this Regulation.
Amendment 2405 #
Proposal for a regulation
Article 56 – paragraph 2 – introductory part
Article 56 – paragraph 2 – introductory part
2. The Board shall provide advice and assistance to the Commission and to the national supervisory authorities in order to:
Amendment 2484 #
Proposal for a regulation
Article 58 – paragraph 1 – introductory part
Article 58 – paragraph 1 – introductory part
When providing advice and assistance to the Commission and to the national supervisory authorities in the context of Article 56(2), the Board shall in particular:
Amendment 2513 #
Proposal for a regulation
Article 58 – paragraph 1 – point c a (new)
Article 58 – paragraph 1 – point c a (new)
(c a) carry out annual reviews and analyses of the complaints sent to and findings made by national competent authorities, of the serious incidents reports referred to in Article 62, and of the new registration in the EU Database referred to in Article 60 to identify trends and potential emerging issues threatening the future health and safety and fundamental rights of citizens that are not adequately addressed by this Regulation;
Amendment 2521 #
Proposal for a regulation
Article 58 – paragraph 1 – point c b (new)
Article 58 – paragraph 1 – point c b (new)
(c b) coordinate among national competent authorities; issue guidelines, recommendations and best practices with a view to ensuring the consistent implementation of this Regulation;
Amendment 2526 #
Proposal for a regulation
Article 58 – paragraph 1 – point c c (new)
Article 58 – paragraph 1 – point c c (new)
(c c) promote the cooperation and effective bilateral and multilateral exchange of information and best practices between the national supervisory authorities;
Amendment 2539 #
Proposal for a regulation
Article 58 – paragraph 1 – point c f (new)
Article 58 – paragraph 1 – point c f (new)
(c f) promote public awareness and understanding of the benefits, rules and safeguards and rights in relation to the use of AI systems.
Amendment 2710 #
Proposal for a regulation
Article 65 – paragraph 1 a (new)
Article 65 – paragraph 1 a (new)
1 a. When AI systems are likely to interact with or impact on children, the precautionary principle shall apply.
Amendment 2712 #
Proposal for a regulation
Article 65 – paragraph 2 – introductory part
Article 65 – paragraph 2 – introductory part
2. Where the market surveillance authority of a Member State has sufficient reasons to consider that an AI system presents a risk as referred to in paragraph 1, they shall carry out an evaluation of the AI system concerned in respect of its compliance with all the requirements and obligations laid down in this Regulation. When risks to the protection of fundamental rights are present, the market surveillance authority shall also inform the relevant national public authorities or bodies referred to in Article 64(3). The relevant operators shall cooperate as necessary with the market surveillance authorities and the other national public authorities or bodies referred to in Article 64(3). Where there is sufficient reason to consider that that an AI system exploits the vulnerabilities of children or violates their rights intentionally or unintentionally, the market surveillance authority shall have the duty to investigate the design goals, data inputs, model selection, implementation and outcomes of the AI system and the burden of proof shall be on the operator or operators of that system to demonstrate compliance with the provisions of this Regulation. The relevant operators shall cooperate as necessary with the market surveillance authorities and the other national public authorities or bodies referred to in Article 64(3), including by providing access to personnel, documents, internal communications, code, data samples and on platform testing as necessary. Where, in the course of its evaluation, the market surveillance authority finds that the AI system does not comply with the requirements and obligations laid down in this Regulation, it shall without delay require the relevant operator to take all appropriate corrective actions to bring the AI system into compliance, to withdraw the AI system from the market, or to recall it within a reasonable period, commensurate with the nature of the risk, as it may prescribe. The corrective action can also be applied to AI systems in other products or services judged to be similar in their objectives, design or impact.
Amendment 2793 #
Proposal for a regulation
Article 69 – paragraph 4
Article 69 – paragraph 4
4. The Commission and the Board shall take into account the specific interests and needs of the small-scale providerSMEs and start-ups when encouraging and facilitating the drawing up of codes of conduct.
Amendment 2821 #
Proposal for a regulation
Article 71 – paragraph 1
Article 71 – paragraph 1
1. In compliance with the terms and conditions laid down in this Regulation, Member States shall lay down the rules on penalties, including administrative fines, applicable to infringements of this Regulation and shall take all measures necessary to ensure that they are properly and effectively implemented. The penalties provided for shall be effective, proportionate, and dissuasive. They shall take into particular account the size and interests of small-scale providerSMEs and start-ups and their economic viability.
Amendment 3136 #
Proposal for a regulation
Annex III – paragraph 1 – point 5 – point b
Annex III – paragraph 1 – point 5 – point b
(b) AI systems intended to be used to evaluate the creditworthiness of natural persons or establish their credit score, with the exception of AI systems put into service by small scale providerSMEs and start-ups for their own use;