Die Europäische KI-Verordnung - Der aktuelle Kommissionsentwurf und praktische Auswirkungen - Noerr
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/ Die Europäische KI-Verordnung
Der aktuelle Kommissionsentwurf und praktische Auswirkungen
Alicante
Berlin
Digital Talks – 18. Mai 2021 Bratislava
Brüssel
Budapest
Bukarest
Dresden
Marieke Merkle, Rechtsanwältin Düsseldorf
Frankfurt/M.
Dr. David Bomhard, Rechtsanwalt Hamburg
London
Moskau
München
New York
Prag
Warschau
noerr.com
/Live-Webinar: Ablauf & Hinweise
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/ Article 3, point 1 - Definitions
‘artificial intelligence system’ (AI system) means software that is
developed with one or more of the techniques and approaches
listed in Annex I and can, for a given set of human-defined
objectives, generate outputs such as content, predictions,
recommendations, or decisions influencing the environments they
interact with
5
/ Annex I - Artificial intelligence techniques and approaches
(a) Machine learning approaches, including supervised, unsupervised and
reinforcement learning, using a wide variety of methods including deep
learning;
(b) Logic- and knowledge-based approaches, including knowledge
representation, inductive (logic) programming, knowledge bases, inference
and deductive engines, (symbolic) reasoning and expert systems;
(c) Statistical approaches, Bayesian estimation, search and optimization
methods
6
/ Article 3 - Definitions
(2) ‘provider’ means a natural or legal person, public authority, agency or
other body that develops an AI system or that has an AI system developed
with a view to placing it on the market or putting it into service under its
own name or trademark, whether for payment or free of charge;
(4) ‘user’ means any natural or legal person, public authority, agency or
other body using an AI system under its authority, except where the AI
system is used in the course of a personal non-professional activity
7
/ Risikobasierter Ansatz
KI-Verbote
(Art. 5)
Hochrisiko-KI
(Art. 6-51)
Besondere
Transparenz (Art. 52)
Voluntary Code of Conduct
(Art. 69)
8
/ Risikobasierter Ansatz
KI-Verbote
(Art. 5)
Hochrisiko-KI
(Art. 6-51)
Besondere
Transparenz (Art. 52)
Voluntary Code of Conduct
(Art. 69)
9/ Article 5 (1) - Prohibited artificial intelligence practices
1. The following artificial intelligence practices shall be prohibited:
(a) the placing on the market, putting into service or use of an AI system that
deploys subliminal techniques beyond a person’s consciousness in order to
materially distort a person’s behaviour in a manner that causes or is likely to cause
that person or another person physical or psychological harm;
10/ Article 5 (1) - Prohibited artificial intelligence practices
1. The following artificial intelligence practices shall be prohibited: […]
(c) the placing on the market, putting into service or use of AI systems by public
authorities or on their behalf for the evaluation or classification of the
trustworthiness of natural persons over a certain period of time based on their
social behaviour or known or predicted personal or personality characteristics, with
the social score leading to either or both of the following:
(i) detrimental or unfavourable treatment of certain natural persons or whole
groups thereof in social contexts which are unrelated to the contexts in which
the data was originally generated or collected;
(ii) detrimental or unfavourable treatment of certain natural persons or whole
groups thereof that is unjustified or disproportionate to their social behaviour
or its gravity;
11/ Article 5 (1) - Prohibited artificial intelligence practices
1. The following artificial intelligence practices shall be prohibited: […]
(d) the use of ‘real-time’ remote biometric identification systems in publicly
accessible spaces for the purpose of law enforcement, unless and in as far as
such use is strictly necessary for one of the following objectives:
(i) the targeted search for specific potential victims of crime, including missing
children;
(ii) the prevention of a specific, substantial and imminent threat to the life or
physical safety of natural persons or of a terrorist attack;
12/ Article 71 - Penalties
1. […] 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.
[…]
3. The following infringements shall be subject to administrative fines of up to 30 000 000 EUR or, if the offender is
company, up to 6 % of its total worldwide annual turnover for the preceding financial year, whichever is higher:
(a) non-compliance with the prohibition of the artificial intelligence practices referred to in Article 5;
(b) non-compliance of the AI system with the requirements laid down in Article 10.
4. The non-compliance of the AI system with any requirements or obligations under this Regulation, other than those
laid down in Articles 5 and 10, shall be subject to administrative fines of up to 20 000 000 EUR or, if the offender is a
company, up to 4 % of its total worldwide annual turnover for the preceding financial year, whichever is higher.
5. The supply of incorrect, incomplete or misleading information to notified bodies and national competent
authorities in reply to a request shall be subject to administrative fines of up to 10 000 000 EUR or, if the offender is a
company, up to 2 % of its total worldwide annual turnover for the preceding financial year, whichever is higher.
13/ Risikobasierter Ansatz
KI-Verbote
(Art. 5)
Hochrisiko-KI
(Art. 6-51)
Besondere
Transparenz (Art. 52)
Voluntary Code of Conduct
(Art. 69)
14/ Article 6 - Classification rules for high-risk AI systems
“1. Irrespective of whether an AI system is placed on the market or put into service independently from
the products referred to in points (a) and (b), that AI system shall be considered high-risk where both
of the following conditions are fulfilled:
(a) the AI system is intended to be used as a safety component of a product, or is itself a
product, covered by the Union harmonisation legislation listed in Annex II;
(b) the product whose safety component is the AI system, or the AI system itself as a product, is
required to undergo a third-party conformity assessment with a view to the placing on the
market or putting into service of that product pursuant to the Union harmonisation legislation
listed in Annex II.
2. In addition to the high-risk AI systems referred to in paragraph 1, AI systems referred to in Annex III
shall also be considered high-risk.”
15/ Article 2 Nr. 2 - Scope
2. For high-risk AI systems that are safety components of products or systems, or which are themselves
products or systems, falling within the scope of the following acts, only Article 84 of this Regulation shall
apply:
(a) Regulation (EC) 300/2008;
(b) Regulation (EU) No 167/2013;
(c) Regulation (EU) No 168/2013;
(d) Directive 2014/90/EU;
(e) Directive (EU) 2016/797;
(f) Regulation (EU) 2018/858;
(g) Regulation (EU) 2018/1139;
(h) Regulation (EU) 2019/2144.
Von William M. Connolley (Diskussion · Beiträge) - Eigenes Werk, CC BY-SA 3.0,
https://commons.wikimedia.org/w/index.php?curid=1233520
16/ Annex III – High-risk AI systems referred to in Article 6 (2)
High-risk AI systems pursuant to Article 6 (2) are the AI systems listed in any of the
following areas:
1. Biometric identification and categorisation of natural persons
2. Management and operation of critical infrastructure
3. Education and vocational training
4. Employment, workers management and access to self-employment
5. Access to and enjoyment of essential private services and public services and
benefits
6. Law enforcement
7. Migration, asylum and border control management
8. Administration of justice and democratic processes
17/ Pflichten des Providers bei ‘high-risk AI‘
• Risk management system (Article 9)
• Data and data governance (Article 10)
• Technical documentation (Article 11)
• Record-keeping (Article 12)
• Transparency and provision of information to users (Article 13)
• Human oversight (Article 14)
• Accuracy, robustness and cybersecurity (Article 15)
18/ Article 10 Nr. 3 - Data and data governance
Training, validation and testing data sets shall be subject to appropriate data governance
and management practices. Those practices shall concern in particular,
(a) the relevant design choices;
(f) examination in view of possible biases;
3. Training, validation and testing data sets shall be relevant, representative, free of
errors and complete. […]
19/ Transparency
Quelle:
https://twitter.com/kirkdborne/status/
898594510976012288?lang=de
20/ Article 13 Nr. 1 - Transparency and provision of information to
users
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.[…].
21/
Quelle:
https://theblue.ai
/blog/lime-
models-
explanation/
22/ 23
/ Article 14 Nr. 1, 4 - Human oversight
1. High-risk AI systems shall be designed and developed in such a way, including with
appropriate human-machine interface tools, that they can be effectively overseen by
natural persons during the period in which the AI system is in use. […]
4. The measures referred to in paragraph 3 shall enable the individuals to whom human
oversight is assigned to do the following, as appropriate to the circumstances:
(a) fully understand the capacities and limitations of the high-risk AI system and be
able to duly monitor its operation, so that signs of anomalies, dysfunctions and
unexpected performance can be detected and addressed as soon as possible;
24/ Article 14 Nr. 4 - Human oversight
4. The measures referred to in paragraph 3 shall enable the individuals to
whom human oversight is assigned to do the following, as appropriate to
the circumstances:
(e) be able to intervene on the operation of the high-risk AI system or
interrupt the system through a “stop” button or a similar procedure.
25/ Article 16 - Obligations of providers of high-risk AI systems
Providers of high-risk AI systems shall:
(e) ensure that the high-risk AI system undergoes the relevant conformity assessment
procedure, prior to its placing on the market or putting into service;
(f) comply with the registration obligations referred to in Article 51;
(i) to affix the CE marking to their high-risk AI systems to indicate the conformity with
this Regulation in accordance with Article 49;
26/ Article 2 - Scope
1. This Regulation applies to:
(a) providers placing on the market or putting into service AI systems in the
Union, irrespective of whether those providers are established within the
Union or in a third country;
(b) users of AI systems located within the Union;
(c) providers and users of AI systems that are located in a third country,
where the output produced by the system is used in the Union;
27/ Article 28 - Obligations of distributors, importers, users or any
other third-party
1. […] third-party shall be considered a provider […], in any of the following
circumstances:
(a) they place on the market or put into service a high-risk AI system
under their name or trademark;
(b) they modify the intended purpose of a high-risk AI system already
placed on the market or put into service;
(c) they make a substantial modification to the high-risk AI system.
28/ Article 53 - AI regulatory sandboxes
1. AI regulatory sandboxes […] shall provide a controlled environment that facilitates the
development, testing and validation of innovative AI systems for a limited time […]
[…] shall take place under the direct supervision and guidance by the competent
authorities with a view to ensuring compliance with the requirements of this Regulation
and, […] Union and Member States legislation […].
3. The AI regulatory sandboxes shall not affect the supervisory and corrective powers of
the competent authorities. […]
4. Participants in the AI regulatory sandbox shall remain liable […] for any harm inflicted
on third parties as a result from the experimentation taking place in the sandbox.
29/ Risikobasierter Ansatz
KI-Verbote
(Art. 5)
Hochrisiko-KI
(Art. 6-51)
Besondere
Transparenz (Art. 52)
Voluntary Code of Conduct
(Art. 69)
30/ Article 52 - Transparency obligations for certain AI systems
1. Providers shall ensure that AI systems intended to interact with natural persons are
designed and developed in such a way that natural persons are informed that they are
interacting with an AI system, unless this is obvious from the circumstances and the
context of use. […]
2. Users of an emotion recognition system or a biometric categorisation system shall
inform of the operation of the system the natural persons exposed thereto. […]
3. Users of an AI system that generates or manipulates image, audio or video content
that appreciably resembles existing persons, objects, places or other entities or events
and would falsely appear to a person to be authentic or truthful (‘deep fake’), shall
disclose that the content has been artificially generated or manipulated. However, the
first subparagraph shall not apply where […] it is necessary for the exercise of the right
to freedom of expression and the right to freedom of the arts and sciences […].
31/Vielen Dank für Ihre Teilnahme!
Freuen Sie sich auf die nächsten Digital Talks:
Am 19. Mai 2021, 15.00 Uhr Alicante
Berlin
informieren Lucie Gerhard und Denis Förster zum Thema Bratislava
Brüssel
Cyberangriffe: Smart Practice aus Unternehmens- und Kanzleisicht Budapest
Bukarest
Dresden
Düsseldorf
Frankfurt/M.
Hamburg
Am 29. Juni 2021, 13.30 Uhr London
Moskau
informieren Dr. David Bomhard und Andreas Daum zum Thema München
New York
Cloud AGB und regulierte Unternehmen Prag
Warschau
noerr.com
Eine Übersicht über kommende Veranstaltungen und die entsprechenden Anmeldelinks finden Sie auf
unserer Homepage unter Veranstaltungen./ Vielen Dank!
Marieke Merkle ist spezialisiert auf die Dr. David Bomhard ist Physiker und
rechtliche Beratung bei Rechtsanwalt, spezialisiert auf die rechtliche
Digitalisierungsprozessen und komplexen IT- Beratung bei komplexen IT-Projekten (insb. IT-
Projekten nationaler und internationaler Outsourcing, Plattformen, Einsatz künstlicher
Mandanten in diversen Branchen Intelligenz). Ein besonderer Schwerpunkt liegt
(insbesondere agile Softwareentwicklung, IT- auf IT- und Cloud-Auslagerungen im BaFin-
Outsourcing, Cloud Computing, Umfeld (insb. Versicherungen und Banken).
Automatisierung von Daneben berät Herr Dr. Bomhard regelmäßig
Unternehmensprozessen, Datenschutz) sowie zu Datennutzungs-Verträgen, Software as a
auf die rechtliche Beratung im Service, Cybersecurity, Softwareurheberrecht,
Zusammenhang mit Software-as-a Service IT-Transaktionen und Datenschutzrecht.
(SaaS), Datennutzungs-Verträgen, Weiterhin ist er Dozent für
Marieke Merkle Dr. David Bomhard
Cybersecurity, IT-Transaktionen und Verhandlungsmanagement sowie
Rechtsanwältin Rechtsanwalt
Softwareurheberrecht. Lehrbeauftragter für IT- und Datenrecht an
Associate Senior Associate
der Universität Passau.
+49 89 28628 227 Kompetenzen +49 89 28628 2610
marieke.merkle@noerr.c ◦ IT-Recht (Softwareverträge, Outsourcing, David.Bomhard@noerr.c Kompetenzen
om Digitalisierung) om ◦ IT-Recht
◦ Cloud- Computing ◦ Outsourcing
◦ Open Source Software ◦ Agile Softwareentwicklung
◦ KI/Big Data ◦ Cloud Computing/Software as a Service
◦ Allgemeine Geschäftsbedingungen ◦ Service Level Agreements
◦ Datenschutz ◦ Künstliche Intelligenz
◦ Urheberrecht ◦ Datenschutz/IT-SicherheitYou can also read
