VCIO based description ofsystems for AI trustworthinesscharacterisation
VDE SPEC 90012 V1.0 (en)

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VDE SPEC 900012 V1.0 (en)IPreface
Publication date of this VDE SPEC draft: 25 April 2022
No draft has been published for the present VDE SPEC.
This VDE SPEC has been developed according to the public VDE SPEC specification. The
development is carried out in VDE SPEC consortiums and does not require the participation of all
potential stakeholders.
This document has been developed and adopted by the initiator(s) and authors named below:■

Peylo, Christoph / Robert Bosch GmbH (initiator)■

Slama, Dirk / Digital Trust Forum (initiator)■

Hallensleben, Sebastian / VDE e.V. (project lead)■

Hauschke, Andreas / VDE e.V. (author)■

Hildebrandt, Stefanie / VDE e.V. (project manager, co-author)

The experts listed below have been involved in the development process of this VDE SPEC and arepart of the project group.
Adamietz, Peter / BASF
Damboldt, Heiko / BASF
Fanidakis, Nikolaos / BASF
Grünke, Paul / KIT Karlsruher Institut für Technologie
Hagendorff, Thilo / Uni Tübingen
Hahn, Thomas / Siemens
Hapfelmeier, Andreas / Siemens
Hubig, Christoph / TU Darmstadt
Karls-Eberhard, Andrea / BASF
Karnouskos, Stamatis / SAP
Lachenmaier, Jens / Steinbeis Institut
Loh, Wulf / Uni Tübingen
Lohmüller, Stina / iRights.Lab
Puntschuh, Michael / iRights.Lab
Schlesinger, Dirk / TÜV Süd
Wieczorek, Sebastian / SAP
Zillner, Sonja / Siemens
At present, there are no standards covering this topic in any German standard.
Despite great efforts to ensure the correctness, reliability and precision of technical and non-technicaldescriptions, the VDE SPEC project group cannot give any explicit or implicit warranty with respect tothe correctness of the document. The application of this document is made in the knowledge that the
VDE SPEC project group cannot be held liable for damage or loss of any kind. The application of thisVDE SPEC does not release users from the responsibility for their own actions and therefore at theirown risk.
In the course of establishing and/or introducing products into the European market, producers mustcarry out a risk analysis in order to first determine what risks the product may entail. After carrying out
the risk analysis, they evaluate these risks and, if necessary, take appropriate measures to effectively
eliminate or minimise the risks (risk mitigation). This VDE SPEC does not absolve the user from this
responsibility.
Attention is drawn to the possibility that some of the elements of this document may be the subject ofpatent rights. VDE shall not be held responsible for identifying any or all such patent rights.

VDE SPEC 900012 V1.0 (en)IIContent
1

Scope

1

2

Terms and definitions1

3

Abbreviations

6

4

VCIO Model

7

4.1
4.2
4.2.1
4.2.2
4.2.3
4.2.4
4.2.5
4.2.6

GeneralValuesGeneralTransparency
Accountability
Privacy
Fairness
Reliability

7
8
8
9
16
24
30
41

5

Determining Trust Classes

48

5.1
5.2
5.2.1
5.2.2
5.2.3
5.2.4
5.3
5.3.1
5.3.2
5.3.3
5.4
5.5

GeneralTypes of Indicators
Score Indicators
Negative Anchor Indicators
Positive Anchor Indicators
Skippable Indicators
Aggregation
Criteria Level
Value Level
Example for Aggregation
Aggregation in case of multiple sub-systems
Partial Label

48
48
48
48
48
48
49
49
49
49
51
51

Bibliography

52

Other sources

52

List of figures
Figure 1 – Composition of the VCIO-Model

7

Figure 2 – Composition of Transparency Criteria and Indicators

9

Figure 3 – Composition of Accountability

16

Figure 4 – Composition of Privacy

24

Figure 5 – Composition of Fairness

30

Figure 6 – Composition of Reliability

41

Figure 7 – Illustration of the Aggregation

50

VDE SPEC 900012 V1.0 (en)III

List of tables
Table T1 – Documentation of data sets
Table T2 – Documentation about the AI systems operation
Table T3 – Intelligibility
Table T4 – Accessibility (outside of relevant authorities)
Table A1 – Processes in life cycle to ensure accountability
Table A2 – Corporate/institutional liability (retrospective)
Table A3 – Responsible Human Oversight
Table P1 – Process for processing of data
Table P2 – Protection of personal data (AI related)
Table P3 – Consent-Process, Information and Influence for Users and affected Persons
Table F1 – Assuring fairness during development
Table F2 – Working and Supply Chain Conditions
Table F3 – Ecological Sustain Development
Table R1 – Robustness & Reliability qua Design
Table R2 – Robustness & Reliability in Operation
Table 1 – Corresponding scores for the levels

VDE SPEC 900012 V1.0 (en)

10
11
12
14
17
20
20
25
25
27
31
37
38
42
47
48

IV

1

Scope

This VDE SPEC provides a way to describe certain socio-technical characteristics of systems andapplications that incorporate artificial intelligence techniques and methods. The scope of applicationrefers to products for which a particularly demanding level of trust is desired or required.
By applying the VCIO model explained in this standard, it is possible to describe whether a productadheres to specific values and can be trusted. This standard can therefore e.g., form the basis for
attaching a trust label to a product.
The product characterisation according to this standard can be used in a wide variety of contexts. End
consumers, companies and government organizations can use the description to define requirements
or to compare different products. In doing so, it also becomes possible to assess the compliance withregard to different values (for example, one product might better comply with privacy requirements,
while the other might comply better with transparency criteria).
In addition, target requirements can be set during the development of a given product. Thoserequirements are then considered in the development process in order to achieve a desired value
compliance.
The standardised description is independent of the risk posed by the product and does not define any
minimum requirements in the context of this. It describes compliance with the specified values in an
orthogonal manner. Nevertheless, companies, users or government bodies can themselves set
requirements for a minimum level within this framework.
The consortium has worked towards making this standard compatible with the emerging AI Act at theEuropean level. In the case of AI products, the objective is to have a description of trustworthinessaspects that both demonstrate compliance of the product with the AI Act and provide differentiation in
the market.
The focus of the standard is on systems and applications that incorporate artificial intelligence
techniques and methods. The criteria, indicators and observables therefore aim at characteristics of AI
systems, like underlying data sets, the precise definition of the scope, the development, theapplication, processes, and the clear assignment of responsibilities. In addition, aspects that are notlimited to AI systems, but are necessary to demonstrate their trustworthiness, were considered.

2

Terms and definitions

The terms and definitions are used differently in different contexts, like AI community, safety
community, regulation and legislation. To prevent confusion this section gives an overview of theterms and definitions in the VDE Spec, which aims to be close to the proposed EU AI Act [1].
ISO and IEC maintain terminological databases for use in standardization at the following addresses:–

IEC Electropedia: available at http://www.electropedia.org–

ISO Online browsing platform: available at http://www.iso.org/obp

2.1
accuracy
metric calculated by dividing the number of correctly classified data by the total number of classified
data

2.2
adversarial attack
attack on an AI system by an input variation with the aim to manipulate the output of the system

2.3
affected person or entity
people or entities that are directly affected by the system
E.g., because the system classifies or predicts properties of them or collects data from them.

2.4
AI modelknowledge representation using Artificial Intelligence techniques

VDE SPEC 900012 V1.0 (en)1

2.5
AI strategy
processes in the lifecycle of the AI system

2.6
AI systemmeans software that is developed with one or more of the techniques and approaches listed in Annex Iof the proposed EU ARTIFICIAL INTELLIGENCE ACT [1] 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
[SOURCE: [1]]2.7
Artificial Intelligence techniquesa) 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 andexpert systems;c) statistical approaches, Bayesian estimation, search and optimization methods.
[SOURCE: [1]]2.8
AI application
Input-output mapping in a given context of use, based on the implemented AI system. Consists of the
AI system and optionally the regarding embedding, including additional software components,
pre-/postprocessing and an interface for input, output and monitoring.
[SOURCE: adapted from [2]]2.9availability<accessibility/usability> property of being accessible and useable upon demand by an authorized
entity[SOURCE: ISO/TS 21089:2018]

2.10
bias
refers to systematic statistical correlations or distortions that can lead to inaccurate or discriminatory
outcomes
E.g., in the data, the AI system or/and its predictions

2.11
clickworktask of labeling or collecting data for ML-applications accomplished by humans

2.12
confidentiality<not disclosed> property that information is not made available or disclosed to unauthorizedindividuals, entities, or processes[SOURCE: ISO/TS 21089:2018]

2.13
criterion
concretizes values by establishing the reference to the states of affairs to be shaped under the values

2.14
data
reinterpretable representation of information in a formalized manner suitable for communication,interpretation, or processing[SOURCE: ISO/IEC 25000:2014)

VDE SPEC 900012 V1.0 (en)

2

2.15
data centres
physical entity in which data is processed (e.g. servers)

2.16
data poisoning
malicious modification or input of false data to manipulate the output of an AI system

2.17
datasheeta structured documentation of the characteristics of a dataset

2.18
development data sets
data which is used for developing an AI system, consists of training, validation, and testing data

2.19
environment<system> context determining the setting and circumstances of all influences upon a system[SOURCE: ISO/IEC/IEEE 12207:2017]

2.20
explainability
ability or function of an AI system or AI application to explain its outputs, the relation from inputs to
outputs or its general behaviour

2.21
global interpretability
possibility to understand the whole logic of an AI system and follow the entire reasoning leading to all
the different possible outcomes[SOURCE: adapted from [3]]

2.22
group
<suffix> indicates that the preceding entity can be divided into meaningful subgroups

2.23
harm
injury or damage to the (physical and mental) health or dignity of people, or impairments to economicor participatory opportunities, or damage to the environment[SOURCE: adapted from ISO/IEC Guide 51:2014, 3.1]

2.24
hazardpotential source of harm
[SOURCE: ISO/IEC Guide 51:2014, 3.2]

2.25
Human In Command (Control)
HIC
refers to the necessity for human final decision making, based on the suggestions of the AI system.
This includes the ability to decide when and how to use the system in any particular situation. This can
include the decision not to use an AI system in a particular situation, to establish levels of humandiscretion during the use of the system, or to ensure the ability to override a decision made by asystem.
[SOURCE: [4]]2.26
Human In The Loop
HITL
refers to the capability for human intervention in every decision cycle of the system[SOURCE: [4]]VDE SPEC 900012 V1.0 (en)

3

2.27
Human On The Loop
HOTL
refers to the capability for human intervention during the design cycle of the system and monitoring thesystem’s operation[SOURCE: [4]]2.28
indicator
an information instance about properties of elements of a state of affairs to be recorded, which aredecisive for the qualitative fulfilment/non-fulfilment "(anchor indicators") or the degree of fulfilment of acriterion

2.29
integrity
designed such that any modification of the electronically stored information, without proper
authorization, is not possible[SOURCE: ISO 17364:2013)

2.30
intended use
reader oriented description of the purpose of the AI system and for what it should and should not be
used

2.31
life cycle
evolution of a system, product, service, project, or other human-made entity from conception throughretirement[SOURCE: ISO/IEC/IEEE 12207:2017]2.32
local interpretability
possibility to understand only the reasons for a specific output or decision. Here only the single
prediction/decision is interpretable[SOURCE: adapted from [3]]2.33
machine Learning (ML)process of optimizing model parameters in an AI system through computational techniques, such thatthe model's behaviour reflects the data or experience[SOURCE: adapted from ISO/IEC DIS 22989, 3.2.9]

2.34
model
mathematical representation of a physical system or process[SOURCE: ISO/TS 18166:2016]

2.35
nudging
subtle measures, which remain unconscious to the user, to make certain decision options attractive or
unattractive by means of aesthetic/affective impressions and/or the design of the effort required tomake and realize respective decisions. This makes use of habits, likes, and dislikes that are known to
the systems from the user profile. Here, the decision options themselves remain fundamentallydisposable.

2.36
observable
an observable (or measurable) quantity about the state of the element of a situation covered by theindicator

VDE SPEC 900012 V1.0 (en)

4

2.37
Operational Design Domain (ODD)
The set of environments and situations the item is intended to operate within. This includes not only
direct environmental conditions and geographic restrictions, but also a characterization of the set ofobjects, events, and other conditions that will occur within that environment.
Note 1 to entry: A system has a single ODD by definition. Assessment is made with regard to theentire ODD.
[SOURCE: UL4600]

2.38
Operational Domain (OD)
set of environments and situations the item can reasonably encounter.
[SOURCE: UL4600; ASAM OpenODD: Concept Paper]

2.39
optimization metric
metric which is optimized by the training process of the AI system. Often a loss function is used andminimized during the training process.

2.40
Out of sample data
data which was not included in the training process

2.41
performance and evaluation metric
metric which is used to evaluate the performance or other requirements of an AI system

2.42
persuasive computing
aims at no longer allowing independent judgments and evaluations of the systemic specifications by
the user. This concerns both decisions of the systems for the preselection of the options for action andmargins of the decision when informing oneself, evaluating and choosing, as well as systemic
information, evaluations and decisions themselves, which are presented as convincing without
alternative and/or are made accordingly by the systems themselves (e.g. no more monitoring to beprovided or made possible in the case of HOTL).

2.43
reliability
ability of a device or a system to perform its intended function under given conditions of use for a
specified period of time or number of cycles[SOURCE: ISO/TS 17574:2017]2.44
systemset of interrelated or interacting elements[SOURCE: ISO 9000:2015(en), 3.5.1]

2.45
target groupmeaningful and appropriate classification of persons or entities that interact or are directly affected by
an AI System into groups according to different characteristics such as domain knowledge, skill level,
etc.
Includes users and affected persons, but can also be used in a limited context, such as target users or
target affected persons

2.46
testing datameans data used for providing an independent evaluation of the trained and validated AI system inorder to confirm the expected performance of that system before its placing on the market or putting
into service[SOURCE: [1]]VDE SPEC 900012 V1.0 (en)

5

2.47
testing strategy
processes to test and assure certain properties of an AI system or AI application

3

Abbreviations

AI

Artificial Intelligence

DKE

Deutsche Kommission Elektrotechnik Elektronik Informationstechnik (www.dke.de)

HIC

Human in Command (Control)

HITL

Human in the Loop

HOTL

Human on the Loop

IEC

International Electrotechnical Commission (www.iec.ch)ISOInternational Organization for Standardization (www.iso.org)

ML

Machine Learning

OD

Operational Domain

ODD

Operational Design Domain

VCIO

Values Criteria Indicators Observables

VDE

Verband der Elektrotechnik, Elektronik und Informationstechnik e.V. (www.vde.de)

VDE SPEC 900012 V1.0 (en)6

4

VCIO Model

4.1

GeneralThe VCIO model this standard is based on, has previously been demonstrated in the context of AI in"From Principles to Practice – An interdisciplinary framework to operationalise AI ethics" by the AI
Ethics Impact Group. The report introduces the approach as follows:“The VCIO model distinguishes and combines the four concepts of values, criteria, indicators andobservables for the evaluation of AI. […] As values are abstract, often in conflict with each other, anddo not include means to evaluate their implementation, it is essential to have other components to fulfil
these tasks. This is where the criteria, indicators and observables of the VCIO approach come intoplay. […]The VCIO approach, therefore, fulfils three tasks:
1) It clarifies what is meant by a particular value (value definition).
2) It explains in a comprehensible manner how to check or observe whether or to what extent atechnical system fulfils or violates a value (measurement).
3) It acknowledges the existence of value conflicts and explains how to deal with these conflicts
depending on the application context (balancing).
To practically implement AI trustworthiness, the VCIO approach operates on four levels:
Values formulate a general trustworthiness concern, something that should guide our actions. They
are defined at the highest level (as transparency, for example). To verify whether an algorithm fulfils or
violates specific values, we must specify Criteria that define the fulfilment or violation of the respective
value. Since it is usually not possible to directly observe whether a criterion is met, we need Indicators(as a specific type of sign) to monitor this. Indicators relate criteria on the one hand with Observableson the other.
The four hierarchical levels provided by values, criteria, indicators and observables are closely linked,
where the fulfilment of the higher level depends on the lower level. However, it is not possible to derive
the lower levels from the higher ones in a straightforward, i.e. deductive way. Instead, the normative
load runs through all four levels and requires new deliberations at all levels, in the course of which theparticular instances must be negotiated in detail.
Note that, typically, several indicators are required to evaluate the fulfilment of a criterion; however, we
can also use the same indicator as part of different criteria. As there are no deductive relationships
between values, criteria, indicators, and observables, at each stage of their determination, normativedecisions need to be made in a scientific and technically informed context.” [5]Figure 1 – Composition of the VCIO-Model(SOURCE: adapted from [5])VDE SPEC 900012 V1.0 (en)7

4.2 Values
4.2.1
GeneralThe following sections show the composition of the values:■

Transparency (Section 4.2.2)■

Accountability (Section 4.2.3)■

Privacy (Section 4.2.4)■

Fairness (Section 4.2.5)■

Reliability (Section 4.2.6)

The VCIO´s are represented as tables in the following sections. These tables are constructed asfollows:■

The first tables in section 4.2.2 – section 4.2.6 shows an overview of each value and the structureof the underlying criteria and indicators■

The second tables in section 4.2.2 – section 4.2.6 show the corresponding Observables to theindicators subsumed under the criteria.
o■Here it is also marked if an indicator is skippable (section 5.2.4) and whether it represents, anegative anchor indicator or a positive anchor indicator.

The criteria, indicators and observables are indexed as follows:o

Criteria are indexed with the first letter of the corresponding value and an index number (1, 2,
3, …, n)oIndicators are indexed with the corresponding criterion Index followed by a point and an
additional index number.

Observables are indexed by the corresponding indicator index followed by the Level (“A” to “G”).

VDE SPEC 900012 V1.0 (en)8

4.2.2

Transparency

Figure 2 – Composition of Transparency Criteria and Indicators

VDE SPEC 900012 V1.0 (en)9Table T1 – Documentation of data sets
T1

Documentation of data sets

T1.1

A

Is the data’s origin
documented?

B

C

Established structured Yes, with structured Yes, with structured Yes, information isnotations likedatasheets, including datasheets including collected on:"datasheets fordetailed information detailed information
datasets" areon:on:recommended here. ■ data handling■ data handling■ data collection
method■ data collector■ data collector■ data collection
method■ data collection
methodD

E

F

Only general
information on the
data's origin is
documented.

GNo■ data handling■ data collector

containing few (not all) containing few orinformation
missing information
without structured
datasheets.
T1.2

A

Are thecharacteristics ofdata sets analysedand documented?

B

Explorative question. Yes, structured
Yes, structured
Related to R1.2 andinformation about the information about theF1.7.
characteristics of data characteristics of data
Characteristics of data sets, including all
sets, including all
mentioned
mentioned
sets are:characteristics arecharacteristics, are■ fit to operational
provided.
provideddomainonly some contain■ number of data
few or missing
points in
information.
relationship to thedomainC

D

Yes, structured
Yes, some notinformation about the structured information
characteristics of data about thesets are provided,characteristics of data
but not covering all sets are provided.
mentioned
characteristics.

E

F

G
None

■ individual or
perturbated data
points potential forbias■ analysis forpotential proxies

VDE SPEC 900012 V1.0 (en)10Table T2 – Documentation about the AI systems operation
T2

Documentation about the AI systems operation

T2.1

A

Are thecharacteristics of
the AI system(s)documented?

Characteristics of AI
system(s) are:Yes, characteristics are
documented, including:■ architecture ormodel graphmodel graph(Number of layers, ■ expected input data
Parameters,■ expected output
connectivity inputdata
output dimensions)■ parameter precision■ expected input data
If there are relevant■ expected output
stakeholders, thedata
documentation is■ parameter precision available to them.
(e.g. 8/16/32-bit)A
Characteristics of AI
application are:

■ Hardware
requirements■ Training method(e.g. online/
offline/ …)■ System architecture

C

E

F

G
No

model graph■ expected input data
■ expected output
data■ parameter precision
The documentation isavailable for thecompetent authorities,
but nor for all relevant
stakeholders.
B

C

Yes, characteristics are Yes, characteristics are Yes, characteristics are
documented, including: documented, including: documented, but they
are not available to all■ Hardware■ Hardware
relevant stakeholders.
requirements
requirements■ Training methodD

Yes, characteristics are Yes, somedocumented, including: characteristics are
documented.
■ architecture or■ architecture or

T2.2
Are thecharacteristics of
the AI Application
documented?

B

D

E

F

G
No

■ Training method■ System architecture■ Flow of information■ Flow of information
If there are relevant
stakeholders, thedocumentation isavailable to them.

VDE SPEC 900012 V1.0 (en)If there are relevant
stakeholders, thedocumentation isavailable to them.

11Table T3 – Intelligibility
T3Intelligibility

T3.1

A

Have the mostintelligible AI
models/systems
been selected thatcan fulfil theapplication
purpose?

Aspects of thejustification:■ performance■ efficiency■ simplicity■ intelligibility■ locally / globallyinterpretableC

D

Yes, the AI systemNo, but the AI system
and application
was evaluatedapproach has been
regardingevaluated,interpretability.
documented andjustified. The mostintelligible model fromthis analysis has beenused.

No, but the AI system
was evaluatedregardinginterpretability.

This evaluation is
open to the publicThis evaluation is
open to the competentauthorities.

T3.2

A

What degree of
explainability
including aregardingdocumentation isprovided?

B

Definition of local and An interface with
global explainability is details about the AI
system/applicationin the glossary.
and the decisionmaking process isavailable and the AI
application is globallyinterpretable.

VDE SPEC 900012 V1.0 (en)This evaluation is
open to the public.

B
An interface withdetails about the AI
system/applicationand the decisionmaking process isavailable and the AI
application is locallyinterpretable.

C

D

E

F

G
No, the AI system(architecture) has notbeen evaluated.

E

F

An interface with
The modes of
The modes of
The model is only
details about the AI
interpretability areinterpretability need to theoreticallysystem/application
available, but can only be adjusted ex post to comprehensible.
and the decisionbe used/understoodthe individual model
making process ispost hoc by experts. and use by experts.
available. It allows to
extract the most
relevant features androughly represent theirinterrelationships andinteractions.

G
There are no known
modes ofinterpretability.

12

T3.3

A

B

C

Is the interface of the User-oriented:
Yes, the interface ofYes, the interface ofYes, but withoutAI
The interface /the system is based
the system is based
participation of thesystem/application interaction with theon the feedback ofon the feedback oftarget groups.
designed in a way
system should be
the users-groups
specific target users,
that adequately
designed in such a
and affected
e.g.:
informs the user
way that the userpersons, e.g.:groups about thegroups understand the ■ user and affected ■ user and affected
outcomes andprocedures andperson groupperson groupmechanisms?
outcomes. The
analysisanalysis
understanding■ tested with the■ tested with thedepends on theuser-group.
user-group.
relevant Information■■
experiencesfromexperiences fromnecessary totheanalysisortest
the analysis or test
adequately to fulfil
of former productsof former products
their task.
T3.4

A

B

C

Are the explanations Affected Persons
Yes, the explanation Yes, the explanation Yes, but withoutof the AI
oriented:of the system is based of the system is based participation of thesystem/application The explanations ofon the feedback ofon the feedback ofaffected persons.
outcome designed in the system should be the affected persons, specific affected
a way thatdesigned in such ae.g.:
person groups, e.g.:adequately informs way that the affected ■ affected person■ affected personthe affected
persons understandgroups analysis
groups analysis
persons?
the procedures and■ tested with the■ tested with theoutcomes. The
affected personaffected person
understanding
groupsgroupsdepends on the■ experiences from ■ experiences fromrelevant Information
the analysis or test
the analysis or testnecessary toof former productsof former products
understand the effects
to them.

VDE SPEC 900012 V1.0 (en)

D

E

F

Yes, but the modes orinterpretability are only
specific for one target
group.

D
Yes, but the modes orinterpretability are only
specific for one
affected persons
group.

GNo, the modes ofinterpretability are nottarget-group specific.

E

F

G
No, the modes ofinterpretability are notaffected person groupspecific.

13

Table T4 – Accessibility (outside of relevant authorities)
T4

Accessibility (outside of relevant authorities)

T4.1

A

Who has access to
the AI System andthe AI application?

C

If an NDA is used inWith the possibility of With the possibility ofthis context, it must not non-disclosure
non-disclosure
prevent the publication agreement:
agreement:of conclusions drawn ■ operators of the AI ■ operators of the AI
from access andsystemsystemanalysis of the data,■ competent■ competentthe right to analyse theauthorities
authorities
data freely and fully as■
additional
well as partly
information andpublication of single
trust intermediaries
data points or(e.g. regulators,
database entries aswatchdogs,
illustrations forresearch, courts)
conclusions.

T4.2

A

Who has access tothe datasets?

B

B

If an NDA is used inWith the possibility of With the possibility ofthis context, It must not non-disclosure
non-disclosure
prevent the publication agreement:
agreement:of conclusions drawn ■ operators of the AI ■ operators of the AI
from access andsystemsystemanalysis of the data,■ competent■ competentthe right to analyse theauthorities
authorities
data freely and fully as■
additional
well as partly
information andpublication of single
trust intermediaries
data points or(e.g. regulators,
database entries aswatchdogs,
illustrations forresearch, courts)
conclusions.

VDE SPEC 900012 V1.0 (en)D

E

Only competentauthorities.

C

D
Only competentauthorities.

F

G

Nobody outside of the Nobody outside of thecompany.
development team,
not even inside thecompany.

E

F

G

Nobody outside of the Nobody outside of thecompany.
development team,
not even inside thecompany.

14

T4.3

A

Who has access tothe documentation
regarding the AI
system/applicationand its data?

Documentation from
T1.1 and T1.2.,
including a short
description of theoperational domain.

B

C

D

E

With the possibility of With the possibility of Only competentnon-disclosure
non-disclosure
authorities.
agreement:
agreement:

Everyonesystemsystem■ competentauthorities

authorities

G

Nobody outside of the Nobody outside of thecompany.
development team,
not even inside thecompany.

■ operators of the AI ■ operators of the AI■ competentF■ additional
information andtrust intermediaries(e.g. regulators,
watchdogs,
research, courts)
T4.4

A

Who can see whichdata attributes(including preprocessing) wereused as an input for
the AI
system/application
to generate its
output?

This refers only to thename/label and not to
the individual content
of the data attribute.

Everyone

B

C

D

With the possibility of With the possibility of Only competentnon-disclosure
non-disclosure
authorities.
agreement:
agreement:■ operators of the AI ■ operators of the AI
systemsystem■ competent■ competentauthorities

authorities

E

F

G

Nobody outside of the Nobody outside of thedevelopment team,company.
not even inside thecompany.

■ additional
information andtrust intermediaries(e.g. regulators,
watchdogs,
research, courts)

VDE SPEC 900012 V1.0 (en)15

4.2.3

Accountability

Figure 3 – Composition of Accountability

VDE SPEC 900012 V1.0 (en)16Table A1 – Processes in life cycle to ensure accountability
A.1

Processes in life cycle to ensure accountability

A1.1

A

How detailed is the Relevant
process of datastakeholders can forcollection andexample be data
management
users, productlogged/recorded and manager or
how easily cancompetent
relevant
authorities.
stakeholders accessLogs/Records haveit?
to be stored for areasonable time toallow delayed
analysis.

B

C

Logging/Records
includes:

Logging/Records
includes:

Logging/Records
includes:1. origin of data

1. origin of data

1. origin of data

2. responsible person 2. responsible person 2. responsible person

D
There is no
logging/recording, but
details about origin ofdata are documented.

EF

G
The data collection
process is not logged
or documented.

3. relevant data
3. relevant datapreparation
preparation
processing
processing
operations
operations(annotation,(annotation,labelling, cleaning,labelling, cleaning,enrichment,enrichment,
aggregation, ...)
aggregation, ...)
4. Recovery of data in 4. Recovery of data inevery stage
every stage
Stakeholder access:Stakeholder access:■ easy, universal■ In an unstructured ■ In an unstructured ■ In an unstructured

formatand not
clearly/preparedform

Stakeholder access:and not
clearly/preparedform

Stakeholder access:and not
clearly/preparedform■ only for competent ■ only for competent ■ only for competentauthorities

VDE SPEC 900012 V1.0 (en)authorities

authorities

17

A1.2
Are the development
and training processlogged/recorded?

A

B

Yes, comprehensive
logging/recording
including the
responsibilities isavailable, including:Yes, comprehensive
logging/recording
including the
responsibilities isavailable, including:C

No logging/recording
available, but ageneral description of
the development andtraining process
1. operation in which 1. operation in which including
the data was usedthe data was used responsibilities isand how they haveand how they have provided for all
relevant stakeholders.
been modified
been modified

D

E

F

No logging/recording,but a generaldescription of thedevelopment andtraining process isprovided.

G
There is no logging
and information about
the process.

2. version control of 2. version control ofAI systems and theAI systems and the
involved data
involved data
3. version
restore/recovery ofAI systems
and is available for all and is available for all
relevant stakeholders. relevant stakeholders.
A1.3

A

Is the traceability ofthe systemcomposition(including soft- andhardwarecomposition andcomponents)
guaranteed?

SoftwareThere is sufficientcomponents can be: information about thesystem available:
AI modelAI system
AI application
Hardwarecomponents can be:…

BC

There is sufficient
information about thesystem available:

There is sufficient
information about thesystem available to:D

There is not enoughinformation toreconstruct thecomposition of the■ to easily■ to easily■ reconstruct thereconstruct thereconstruct thecomposition of the system.
composition of thecomposition of thesystem withsystemsystemadditional efforts

E

F

G
No

■ at every time in its ■ at major inflection
lifecycle

VDE SPEC 900012 V1.0 (en)points (releases,
gates) in its
lifecycle

18

A1.4

A

B

C

Are systems with a Learning systems,
Yes, the learning
Yes, the learning
The learning processlearning component which adapt theirprocess is monitored: process is monitored: will be logged, butmonitored in their
behaviour during■ Logging of input- ■ Logging of input- reviewed only atinteraction with their their use should have
output behaviour is
output behaviour is infrequent intervals
environment
additional monitoring■ Misuse is detectedavailable for aavailable for athroughout theapplications thatdefined period
defined period
and reported
track the changes inruntime?
■ Misuse is detected ■ Misuse is detected ■ Concept Drift andthe system andData Drift isand reported
and reported
highlight how thedetected and■■Concept
DriftandConcept
Driftandevolving systems
reported (e.g.
Data Drift is
Data Drift isdiffer from thechanging
detected anddetected andoriginal one.
operational domain
reported (e.g.
reported (e.g.
properties)changingchanging
operational domain
properties)

D

E

F

G

The learning process There is no logging or
will be logged, butmonitoring of thereview is not planned. learning process.

operational domain
properties)

If required, theinformation can beadequately preparedand made available to
the relevant
stakeholders.

VDE SPEC 900012 V1.0 (en)19Table A2 – Corporate/institutional liability (retrospective)
A.2

Corporate/institutional liability (retrospective)A

A2.1
Is there a definedchannel for giving
feedback and obtain
information aboutsystemcharacteristics?

Information andexplanations about
theses that can bereceived:■ A1.4 - Interactionsof learning
Systems with theenvironment■ F1.2 - Target
GroupsB

Yes, there is an
instance that:

Yes, there is an
instance that:■ has enough■ has enoughInformation andpower to giveindividualized
Information

Information andpower to giveindividualized
Information

C

D

E

F

Yes, but only
standardized
Information can begiven.

GNo■ can enforce
reviews of systemcharacteristics■ F1.3 - MarginalisedGroups■ F1.7 - Bias
■ R1.1 - ODD andIntended Use■ R1.5 - Risk andpotential harms■ T3.3 - User
Interface■ T3.4 - Explanations
for affected
persons
A2.2
How "easy" is theaccess to the
feedback channels?

A

B

C

Everyone with ajustified interest cancontact the feedback
channel and receives
direct feedback.

Only users cancontact the feedback
channels.

Access is only
possible when fulfillingcertain requirements:

D

E

F

G

Only for the competent No
authorities.

e.g. additional
payment or only at
predefined points
during the lifecycle.

Table A3 – Responsible Human Oversight

VDE SPEC 900012 V1.0 (en)

20

A.3

Responsible Human Oversight

A3.1

Skippable

Skippable if not HIC Human in Command(Control):Is the user expertiseneeded to judge theresults of the AI
system to avoid
overconfidence
defined?

A3.2

A

C

The level of expertise The level of expertise The expertise that isrequired for a human that is required by arequired by a humanuser to understandhuman operator tooperator to workand judge thecheck the plausibility successfully with thesystem'sof thesystem arerecommendations,recommendations of documented.
given the data andthe system given the
body of knowledge in data and the body ofthe field, isknowledge of that
documented anddomain areappropriate with
documented.
regard to the intended
purpose.
Skippable

Skippable if not HIC Human in Command(Control):
Which effort isneeded to understandand interact with the
AI system?
(depending on theapplication context)

BA
The intended user
understands theactions of the AI
system/application
with no effort andknows how to interact
with it immediately.

VDE SPEC 900012 V1.0 (en)

B

C

D

E

F

The level of expertiseis not specified but
descriptions about it
can be requested andobtained.

D

The intedned user
Guided introduction of Extended training isunderstands thethe AI system /needed.
actions of the AI
application is needed.
system/application
with little effort andknows how to interact
with it after a shorttime period.

G
No measures havebeen taken.

E

F

G
Extended training anda prior knowledge in
the application context
of the AI system isneeded.

21

A3.3

Skippable

Skippable if not HITL Human in the Loop:
Which measures aretaken to ensure that
the AI system does
not affect humanautonomy byinterfering with theoperator’s decisionmaking process in an
unintended way?

A3.4

A

B

C

The level of humancontrol andinvolvement in thedecision is
documented and theinterfaces is designed
to allow the operator
to easily understandand influence thedecision process.
Proposal of thesystem and humandecision are
documented.

The level of humancontrol andinvolvement in thedecision is
documented and theinterfaces is designed
to allow the operator
to influence thedecision process.

The level of humancontrol andinvolvement in thedecision is
documented in a waythat allows auditing.

A

B

C

Skippable

Skippable if not HITL Human in the Loop:Is the human takeoverof the systemdesigned so that theuser understands thecurrent state of thesystem and cantherefore take overquickly?

DF

The level of humancontrol andinvolvement in thedecision is
documented.

D

The system has been The system has been The system has been The system has been
designed in a way that designed in a way that designed in a way that designed in a way thata seamless handover a seamless handover a seamless handover a seamless handover
to a human operator is to a human operator is to a human operator is to a human operator isalways possible. This always possible. This always possible. This always possible. This
handover has been
handover has been
handover has only
handover was nottested within the fulltested andbeen tested
tested.
operations envelope documented in the
sporadically.
of the system andmain modes ofproperly documents
operation.

VDE SPEC 900012 V1.0 (en)E

G
None of the above.

E

F

G
System was notdesigned and has notbeen tested regarding
the handover to ahuman operator.

22

A3.5

Skippable

Skippable if not HOL Human on the Loop:
Does the system
makes the decisionparameterstransparent andallows post-hoc
changes?

A

B

Decision parameters
are well documented
and transparent.

Decision parameters
are well documented
and transparent.

C

Decision parameters
are transparent andcan be changed(System can be
There is a process
Decisions taken by the retrained byand tools in place that system are wellcustomer).
allow documentation documented.
and ex-post
Process parametersexplanation of
can be changed
decisions taken by the (System can besystem. Process
retrained byparameters can becustomer).
changed (System canbe retrained bycustomer).

VDE SPEC 900012 V1.0 (en)D
Process in place tochange decisionparameters bydeveloper.

E

F

G
No

23

4.2.4

Privacy

Figure 4 – Composition of Privacy

VDE SPEC 900012 V1.0 (en)24Table P1 – Process for processing of data
P1

Process for processing of data

P1.1

A

Does theorganization
comply to the
GDPR?

B

C

D

E

F

Yes

G
No

Table P2 – Protection of personal data (AI related)
P2

Protection of personal data (AI related)

P2.1

positive Anchor

Which grade ofanonymity has theused data?

How anonymous is the It is justified, that nodataset, i.e. How much personal data exists
personal information in the dataset.
can be inferred fromthe dataset(s).

VDE SPEC 900012 V1.0 (en)

A

B

C

Dataset has beensanitised (removal of
all data directly
identifing a natural
person) andanonymised.

dataset anonymised
with state-of-the-art
methods (e.g.
k--anonymization,differential privacy,etc.).

D
Pseudonymization

E

F

G
No measures taken.

25

P2.2

A

B

Is it assured that no How does the AI
Yes, it is assured that
personal data can be system development no personal data can
extracted from the AI and training affect the be extracted, and theprivacy of the dataset? approach taken is
System?
How much information justified in a report.
can be inferred fromthe AI system /application as a resultof the chosendevelopment process?
E.g. via model
inversion, membership
inference attack, etc.
P2.3
What measure havebeen taken, toprevent attacks on
the AI System andApplication with theaim to inferred
data/information?

Deployed/Live-system
privacy preserving
mechanism andprivacy attack
mitigation process

C

D

E

It is justified, that
personal data can only
be extracted with higheffort.

G

Personal data can
No measures taken.
easily be extracted
from the AI system. A
public report explains
to users which kind ofdata can be extracted
and what the risk ofextraction is.

A

B

C

D

Analysis of thepotential attacks
Evaluation of thepossible risk.
Countermeasures tomitigate the risks.

Analysis of thepotential attacks
Evaluation of thepossible risk.
Countermeasures tomitigate the risks.

Analysis of thepotential attacks
Evaluation of thepossible risk.
Countermeasures tomitigate the risks.

Analysis of thepotential attacks
Evaluation of thepossible risk.
Countermeasures tomitigate the risks.

Strict Access Control Access Control(no direct access to AI
system or AI
application for the
user)

F

E
Analysis of thepotential attacks
Evaluation of thepossible risk.

F

G
No measures taken.

Access Control

Penetration tests
Penetration tests have
have been conducted. been conducted.

VDE SPEC 900012 V1.0 (en)26

Table P3 – Consent-Process, Information and Influence for Users and affected Persons
P3

Consent-Process, information and influence for users and affected persons

P3.1

A

B

Is the privacy impact The assessment needs to Yes, individualized forassessment
include the following
different user groups.
presented in the
aspects:
consent process?
■ What might be a

C

D

E

F

Yes, but in a general
way.

G
No

concrete physicalimpact when working
with the system?

■ What kind of moral
harm can be causedby such a system?

■ What could be material
consequences of sucha system?
P3.2

SkippableA

Is the privacy impact If there is a system that is Yes, individualized forassessment
allowed to take data from different groups ofaccessible for
non-users due to aaffected persons.
permission status
affected Persons?
(Erlaubnistatbestand), canthey still see the impact
analysis?

VDE SPEC 900012 V1.0 (en)B

C
Yes, but in a general
way.

D

E

F

G
No

27

P3.3

Skippable

Can affected
persons review andrectify data
concerning them?

If there is a system that isallowed to collect datafrom non-users due to apermission status, canthey still see what data
has been collected fromthem and have theopportunity to correct it?

A

B

There is a possibility
that allows affected
persons to easily
review and rectify
data concerning
them.

There is a possibility
for affected persons
to review and rectify
data concerning themon request.

C

D

E

No possibility toreview or rectify data

Appropriate
Appropriate
information (e.g. sign) information (e.g. sign)that data is collected that data is collected
is available.
is available.

Appropriate
Appropriate
information (e.g. sign) information (e.g. sign)that data is collected that data is collected
is available.
is available.

Contact possibilities
are indicated.

Contact possibilities
are indicated.

VDE SPEC 900012 V1.0 (en)Contact possibilities
are indicated.

F

G
No

28

P3.4

Skippable

Design of theConsent-Process

A

B

C

D

E

The consent process The consent process The consent process The consent process The consent process
was examined andwas examined andwas examined andwas examined andwas examined andidentified for possible identified for possible identified for possible identified for possible identified for possible
nudging or persuasive nudging or persuasive nudging or persuasive nudging or persuasive nudging or persuasive
computing effects
computing effects
computing effects
computing effects
computing effects
from a psychological from a psychological from a psychological from a psychological from a psychologicaland sociologicaland sociologicaland sociologicaland sociologicaland sociologicalperspective.
perspective.
perspective.
perspective.
perspective.
The effects werecommunicated to:

The effects werecommunicated to:

The effects werecommunicated to:

The effects werecommunicated to:■ users■ users■ users■ users■ affected persons■ affected persons■ affected persons

FG
An examination has
not taken place.

Appropriate
Appropriate
precautionary
precautionary
measures were taken measures were taken
regarding:with regard to:■ users■ users■ affected persons.
Privacy by default(opt-in for usage of
personal data isneeded) for:Privacy by default(opt-in for usage of
personal data isneeded) for:■ users■ users■ affected persons

VDE SPEC 900012 V1.0 (en)29

4.2.5

Fairness

Figure 5 – Composition of Fairness

VDE SPEC 900012 V1.0 (en)30Table F1 – Assuring fairness during development
F1

Assuring fairness during development

F1.1

A

Are all entities
impacted and/or
influenced by thesystem considered?

B

C

Considers the impact Yes, entities are
Yes, entities areon the environment in considered that:considered that:which the system is to 1. directly interface
1. directly interface
be used, including thewith the AI systemwith the AI system
human agency(1st order network(1st orderconcept,
effects)
network effects)
implementation in the
2. affected by the
2. affected by thesocio-technicaldeployment of thisdeployment of thissystem, …
system (2nd ordersystem (2nd order
network effects)
network effects)

D

E

F

G
No

Yes, entities are
considered that:
1. directly interface
with the AI system(1st order
network effects)

3. entities within the
broader socialtechnical system it
operates within
F1.2

A

Are target groups
defined?

B

C

D

ImportantYes, all ofYes, all ofYes, most ofYes, some ofcharacteristics to
1. the target groups, 1. the target groups, 1. the target groups, 1. the target groups,
define different target
entities and users
entities and users
entities and users
entities and users
groups:are identified
are identified
are identified
are identified
Demography (age,
2. and a justification 2. and a justification 2. and a justification
income, family size,for the selection isfor the selection isfor the selection isfamily status, gender,
providedprovidedprovidededucation, …)
3. including additional
Geography
target groups that
(residence, origin, …)
arise fromreasonably
unforeseen
misuses

VDE SPEC 900012 V1.0 (en)

E

G

F
No

31

F1.3

A

Are there
marginalised entities
within the target
group and does riskarise for them being
marginalised?

B

C

Yes,

Yes,

Yes,

1. A research toidentify all
marginalised
groups/entities iscarried out.

1. A research toidentify all
marginalised
groups/entities iscarried out.

1. A research toidentify all affectedmarginalised
groups/entities iscarried out.

2. All risk that arises
from any of thegroups being
marginalised aredetailed andjustified.

2. All risk that arises
from any of thegroups being
marginalised aredetailed andjustified.

D

E

F

G
No

3. The marginalised
groups/entities are
involved in thedevelopment
process.

VDE SPEC 900012 V1.0 (en)

32

F1.4
Is there acommitment to afairness definition
that considers F1.2
and F1.3.?

A

B

C

A fairness definition isdefined and provided
in collaboration withthe target group andmarginalised
entities/groups.

A fairness definition isprovided andconsideredthroughout the
lifecycle of the AI
system.

A fairness definition isprovided andconsideredthroughout the
lifecycle of the AI
system.

DE

A fairness definition is A fairness definition isprovided andprovided.
considered within thedevelopment
process.

F

G
No

There is acommitment toconsidering it
throughout the
lifecycle of the AI
system.
There is a
There is acommitment to acommitment to aprocess to validate
process to validate
and ensure theand ensure theintegrity of the fairness integrity of the fairness
criteria throughout the criteria throughout thelife cycle of the AI
life cycle of the AI
system.
system.
Easy access andEasy access andEasy access andtransparency to thetransparency to thetransparency to thefairness definition and fairness definition and fairness definition andcriteria is provided to criteria is provided to criteria is provided tothe public, including
the public, including
the public, including
justification for thejustification for thejustification for thedefinition and process. definition and process. definition and process.

VDE SPEC 900012 V1.0 (en)

33

F1.5

A

Are metrics to
Typical fairness
Several metrics totrack/evaluate
metrics are e.g.,measure and track
fairness with respect statistical parity, equal fairness are in place,to F1.2 and F1.4 in
distribution of falsethat completely alignplace?
negatives, equalwith the fairness
distribution of false
definition and criteria
positives, decision
throughout the wholebetween group
lifecycle of the AI
fairness or individual system.
fairness, fairness
These metrics havethrough unawareness, been developed inequality ofcollaboration with theopportunity.
target group and themarginalised
users/entities.

B

C

D

E

Several metrics tomeasure and track
fairness are in place,that completely alignwith the fairness
definition and criteria
throughout the whole
lifecycle of the AI
system.

Several metrics tomeasure and track
fairness are in place,that completely alignwith the fairness
definition and criteria
throughout the whole
lifecycle of the AI
system.

Several metrics tomeasure and track
fairness are in place.

A metric to measure
and track fairness is inplace.

F

G
No

These metrics havebeen developed incollaboration with thetarget group and themarginalised
users/entities.

The metrics are well
documented andtransparent to the
public.

VDE SPEC 900012 V1.0 (en)

34

F1.6

A

Has the data been
analysed forpotential harmful,unintended biases
with regard to F1.4
and F1.5?

BC

D

A datasheet is
A datasheet is
A datasheet isprovided. It documents provided. It documents provided. The
which data sources
which data sources
documentation covers
have been assessed have been assessed the objectives andand with which
and with whichmeasures taken tomethods in order tomethods in order toavoid harm and risk.
identify biases that
identify biases thatmight bring harm or
might bring harm or
risk.
risk.

E
The data has been
analysed for the mostcommon and easily
identifiable biases.
This has been
documented andconsidered withrespect to the fairness
definition and criteria.

F

G
No

The documentation
The documentation
covers the objectives covers the objectives
and measures taken and measures taken
to avoid harm and risk. to avoid harm and risk.
It also states why the The documentation isactions taken are
released to the public.
reasonable in relation
to the selected
fairness metric. The
documentation isreleased to the public.
The nature of the bias The nature of the bias The nature of the bias The nature of the bias
has been ascertained. has been ascertained. has been ascertained. has been ascertained.
It was considered and It was considered and It was considered and It was considered andassessed with respect assessed with respect assessed with respect assessed with respect
to the fairness
to the fairness
to the fairness
to the fairness
definition and criteria. definition and criteria. definition and criteria. definition and criteria.

VDE SPEC 900012 V1.0 (en)

35

F1.7

A

B

Have trade-offs
Identification,
between fairness
assessment, andand other objectives justification according
been identified,to the target groupassessed, andand marginalised
justified?
users/entities.

Trade-offs have been
identified anddocumented incollaboration with thetarget group andmarginalised groups.

Trade-offs have been
identified anddocumented incollaboration with thetarget group andmarginalised groups.

Possible objectives
can be performanceor privacy.

Consideration of how
to balance any tradeoff involved
collaboration with orare based on the
feedback of the target
group andmarginalised groups.

Consideration of how
to balance any tradeoff involved
collaboration with orare based on the
feedback of the target
group andmarginalised groups.

C

D

E

Trade-offs have been Trade-offs have been
identified andidentified anddocument in
document.
collaboration with thetarget group andmarginalised
users/entities.

F

G
No

This process is well
documented andaccessible to thetarget group andmarginalised groups.

VDE SPEC 900012 V1.0 (en)36

Table F2 – Working and Supply Chain Conditions
F2

Working and Supply Chain Conditions

F2.1

Skippable

Skippable if noexternal
participation
Are the working
conditions ofexternal persons
involved in thelabelling processevaluated?

Minimal safety andYes, the following
worker protection
conditions are
standards andevaluated:
standards regarding■ minimal safety andsocial security andworker protection
protection fromstandards
exploitation in place at■ minimal standards
the facility providing
regarding social
click work are covered
security andby the Supply Chain
protection from
Act, for example.
exploitation

A

B
Yes, the following
conditions areevaluated:

C

D

E

Yes, one of the two
following conditions
are evaluated:

GF

No, there is noevaluation or
documentation.

■ minimal safety and ■ minimal safety andworker protection
standards

worker protection
standards■ minimal standards ■ minimal standards
regarding social
security andprotection from
exploitation

regarding social
security andprotection from
exploitation

The datasets (e.g.
The datasets (e.g.
datasheet) containdatasheet) contain
information about
information aboutlabelling (click working) labelling (clickprocess.
working) process.

The datasets (e.g.
datasheet) contain
information aboutlabelling (click
working) process.

The datasets (e.g.
datasheet) contain
information aboutlabelling (click
working) process.

It is published, thatexternal persons are
involved.

It is published, thatexternal persons are
involved.

It is published, that It is published, thatexternal persons are external persons are
involved.
involved.

■ click work-specificworking conditions(diversification oftasks, potential
emotional/psycholog
ical dangers fromexplicit material)

VDE SPEC 900012 V1.0 (en)It is published, thatexternal persons are
involved.

37

F2.2

A

Is the supply chain
monitored toevaluate working
conditions and toprevent humanrights violation andchild labour?

Examples for legal
requirements:■ German Act on
Corporate Due
Diligence
Obligations in
Supply Chains

B

Yes, the supply chain isconsequently
monitored due toexisting legal
requirements or similar
obligations.

C

D

E

F

G
No

The suppliers are
The suppliers arereviewed once. There reviewed once.
is a company specificpolicy to handle
violations.

■ EU Corporate Due
Diligence
Obligations in
Supply Chains

Table F3 – Ecological Sustain Development
F3

Ecological Sustain Development

F3.1

A

B

Are data centres or Renewable energy
Yes, at least 99% and Yes, at least 99 %.
servers, which areincludes solar, wind, the data centres areused for developing, hydro, geothermal,
climate positive.
supplied withbiomass and marine
renewable energy? energy. Climate
positivity can bereached through e.g.,
carbon offsetting orreuse of excessenergy for heating.

VDE SPEC 900012 V1.0 (en)

C

D

E

F

In part, at least 80%.

In part, at least 60%.

In part, at least 40%.

In part, at least 20%.

G
Less than 20 %.

38

F3.2

A

Is a report available
detailing of energy
consumption during
training of the AI
system?

B

The report has toYes, and this report
Yes, and this report
include a calculation was published before was published afteror estimates of energy or during launch of the the system wasconsumption andsystem with estimates already in use.
carbon emissions ofand was updated after
all system
the launch with actual
components or theenergy use
system overall,calculations.
measures for carbon
offsetting or energy
reuse, a description ofother ecologicalimpact incl. directly
resulting waste
generation, an
explanation of theprocess ofconsideration between
its ecological impact(incl. energy
consumption) andother factors (e.g.
accuracy), and an
explanation of why thechosen AI model isused with regards to
its ecologicalsustainability.

VDE SPEC 900012 V1.0 (en)C
Yes, and this report
was published before
or during launch of thesystem with estimate.s

DE
A report was written
but is only available
internally.

F

G
No

39

F3.3
How is the disposalof electronic waste
processed?

Does not include thewaste generated by
the user.

A

B

It is ensured thatelectronic waste isrecycled as far as
possible and notexported to risk areas(including Supply
Chain).

It is ensured thatelectronic waste isrecycled as far as
possible and notexported to risk areas(just for electronics
that are in control of
the organisation).

VDE SPEC 900012 V1.0 (en)

C

D

E

F

G
There is no detailed
knowledge.

40

4.2.6

Reliability

Figure 6 – Composition of Reliability

VDE SPEC 900012 V1.0 (en)41Table R1 – Robustness & Reliability qua Design
R1

Robustness & Reliability qua Design

R1.1

A

Is the operational
design domain of
the AI system /application clearly
defined anddocumented?

B

C

The Operational
A onthologically
A onthologically
A description of the:Design Domain (ODD) complete, structured complete, structured ■ operational design
describes theand detailed
and detailed
domainconditions anddescription of the:description of the:■ and the intended
environment an AI■ operational design ■ operational designuse cases
system/application is
domaindomainintended to operate■ and the intended ■ and the intended
within, and reasonably
use cases
use cases
expected to encounter.
This ODD should be
described accurately
These are published These are published These are publishedand in enough detail
and well understood and well understood and well understoodsuch that the
by:
by:
by:
environment and■ the users of the AI ■ the users of the AI ■ the users of the AI
boundaries ofsystemsystemsystem,operation are clear.
■ auditors■ auditors■ auditors
The user andstakeholders should be ■ regulatory bodies ■ regulatory bodies ■ regulatory bodies
able to easily deduce ■ all additionalfrom this whether the
stakeholders
planned/intended useof an AI system iswithin the scope of the
ODD.

VDE SPEC 900012 V1.0 (en)DE

A description of the:A description of the:

F

G
No

■ operational design ■ the intended use
domaincases■ and the intended
use cases

These are publishedand well understoodby:

These are publishedand well understoodby:■ the users of the AI ■ the users of the AI
system.

system

42

R1.2

A

Was ensured, thatthe quality andquantity of the data
fit to the intended
purpose andOperational Design
Domain?

B

C

D

E

F

Documentation ofwhich shows, theexamination of:Documentation ofwhich shows, theexamination of:Documentation of/which shows, theexamination of:Documentation of/which shows, theexamination of:Documentation of/which shows, theexamination of:■ Completeness of■ Completeness of■ Completeness of■ Completeness of■ Completeness of

the attributes of thedata■ Correctness ofdata

the attributes of thedata■ Correctness ofdata

the attributes of thedata■ Correctness ofdata

the attributes of thedata■ data format■ data format■ the labeling and■ the labeling and■ the Labeling and■ the Labeling andAnnotation
Process including
quality assurance

Annotation
Process including
quality assurance■ compatibility ofTraining data withthe operational
design domain■ relevant datapreparation; i.e.
raw data preprocessing (e.g.
cleaning,
enrichment,
aggregation)with regard to theintended purpose
and Operational
Design Domain of
the AI System

VDE SPEC 900012 V1.0 (en)the attributes of the
data

data

■ data format
Annotation
Process including
quality assuranceNo■ Correctness of■ data format
Annotation
Process including
quality assuranceG■ data format■ compatibility ofTraining data withthe operational
design domain■ relevant datapreparation; i.e.
raw data preprocessing (e.g.
cleaning,
enrichment,
aggregation)■ relevant datapreparation; i.e.
raw data preprocessing (e.g.
cleaning,
enrichment,
aggregation)

43

R1.3

A

Was the quality ofthe development of
the AI systems
ensured?

B

C

D

E

F

G

Justification of theJustification of theJustification of theJustification of theJustification of theJustification of thenoapproach and models approach and models approach and models approach and models approach and models approach and models
used.
used.
used.
used.
used.
used.
With documentation
With documentation
With documentation
With documentation
With documentationand justification of the and justification of the and justification of the and justification of the and justification of thechosen:chosen:chosen:chosen:chosen:■ Performance and■ Performance and■ Performance and■ Performance and■ Performance andEvaluation Metrics

Evaluation Metrics

Evaluation Metrics

Evaluation Metrics

Evaluation Metrics■ Optimization metric ■ Optimization metric ■ Optimization metric ■ Optimization metric ■ Optimization metric■ The testing■ The testing■ The testing

strategy

strategy

strategy

Live testing thatcovers the ODD andreasonably foreseen
situations of the OD
has been performed.

Live testing thatcovers the ODD has
been performed.

A

B

R1.4
Is the systemrobust against
varyingenvironments (i.e.
distribution shift)and outliers?

Varying environments
can influence the
Performance of an AI
system. The systemneeds to be able todetect varying
environments to adapt
his behaviour. flawed
data = data that is
influenced by astatistical or nonstatistical disturbanceor malfunction.
E.g. rain, dust, lenseffects, noise.

(Virtual) Testing inside (Virtual) Testing inside
the ODD has been
the ODD has been
performed.
performed.

C

System must be able Relaxation of Grade Yes, but only in a
to gracefully track and A: reasonably adhere subdomain.
monitor changes into changes in thethe operational
operational design
environment. It must domain.
offer mechanisms toadapt to observedchanges in theoperational design
domain.

VDE SPEC 900012 V1.0 (en)

D

E

F

G
No

44

R1.5
Are all possible
risks assesed andthe harms thesystem could haveclassified (e.g. lifeand health, violationof rights etc.)?

A

B

C

All risks aretransparent, well
documented with the
product and madeavailable tocustomers.

All risks aretransparent and canbe obtained by adefined interface.

Main risks are
identified and can be
retrieved by a definedprocess.

A

B

C

D

Measures defined
information can be
retrieved by a definedinterface.

Measures partly
defined andinformation can be
retrieved by a definedprocess.

R1.6
Are measures inplace to ensure theintegrity,robustness, andoverall security of
the AI system /application against
potential attacks
over its life cycle?

Implementation ofgeneral cybersecurity
measures.

Compliance to
Measures are defined
cybersecurity
and transparently
standards (e.g.
documented with the
ISO 27k series,
product.
IEC 62443,
ISO/SAE 21434,
ETSI EN 303 645, ... ).

D

E

F

G
None of the above.

E

F

G
None of the above.

Regular review
security measures andprotocols.
Measures (including
the ones taken during
training of AI system)
are defined andtransparently
documented with the
product.

VDE SPEC 900012 V1.0 (en)

45

R1.7

A

Are end-users
informed of theduration of security
coverage andupdates? What
length is the
expected timeframe
within which
security updates for
the AI
system/application
will be provided?

C

D

E

F

Information is shipped Information can be
Information partiallywith the product.
obtained by a defined available and can beinterface.
retrieved by a definedprocess.

R1.8

A

Are technicaldocumentations
documented,
including standards,
that need to be
applied by the AI
system/application?

B

Yes

VDE SPEC 900012 V1.0 (en)B

C

G
None of the above.

D

E

F

G
No

46

Table R2 – Robustness & Reliability in Operation
R2

Robustness & Reliability in Operation

R2.1

A

Is the applied AI
lifecycle
management robust
to changes in theoperational domain?

B

C

D

E

F

Continuous modelContinuous model
Regular model
Occasional model
Occasional model
Occasional testing ismonitoring and testing monitoring and testing monitoring and testing monitoring and testing monitoring and testing carried out.
(including integrity(including integrity(including integrity(including integrity
is carried out.
checks) as a feature checks) as a feature checks) as a feature checks) are carriedof the AI strategyof the AI strategyof the AI strategy
out.
covering the fullcovering
covering
operational domain.
key/important areas of key/important areas ofthe operational
the operational
domain.
domain.

R2.2

A

B

Is a failure mitigation Is there a fail-safe
Yes, the following:
Yes, the following:strategy for the AI- strategy for the AI■ redundancy,■ redundancy,
based system inbased system in place?
■ fall back■ fall backplace?
Reaction of the systemmechanisms (e.g.
mechanisms,
if parts of it are not
defaulting to a safe
working properly (suchmode, kill-switch),as sensors
malfunctioning) or if the ■ alert system (end- ■ alert system,
input data is either
user, provider,corrupted or contains
competentnoise.
authority),
Presence of fall-back■systems in case the AIbased system cannot
work properly anymore ■e.g., broken/dirty
lens/microphone,electromagnetic
interference.

fail-safe logging(i.e. black box),

Yes, the following:

D

E

None of the above.

F

Yes, the following:

Yes, the following:

Yes, the following:■ fall back■ fall back■ fall backG
None of them.

■ redundancy,■ fall backmechanisms,

mechanisms,

mechanisms,■ alert system,■ alert system,■ alert system.

■ secure failure.

■ secure failure.

mechanisms,■ basic alert system.

■ fail-safe logging,secure failure (e.g. ■ secure failure.
tamper protection,safe mode) andsystem restoration.

VDE SPEC 900012 V1.0 (en)

C

G

47

5

Determining Trust Classes

5.1

GeneralTo receive a rating in the VCIO scheme, an observable for every indicator needs to be determined.
The rating of the indicators subsumed under a criterion is then aggregated to a rating for thecorresponding criteria. These criteria subsumed under a value are then also aggregated to arrive at
the final rating for the corresponding value.
Each indicator has corresponding observables, that have a rating from “A” (best or fully fulfilled) to “G”(worst / not fulfilled at all).
There are three different types of indicators, that are described in the following sections:■

Score indicators (5.2.1)■

Positive anchor indicators (5.2.3)■

Negative anchor indicators (5.2.2)

Each of them has a different impact on the aggregation on the criteria level.
For some criteria, there exist indicators that fulfil the same aim with a different approach. These aremarked as alternative indicators and are handled as one indicator. Therefore, the indicator with thehigher ranked observable is chosen.
NOTE Since one alternative indicator can be chosen, just one alternative indicator is considered for aggregation.

In specific cases, it is possible that some Indicators do not apply to the rated product. In this case, theindicator and its observables can be omitted and are not counted towards the aggregation.

5.2 Types of Indicators
5.2.1
Score Indicators
Score indicators contain of observables rating from “A” to “G”. Every level of the observables
corresponds to a score (see Table 1 – Corresponding scores for the levels), which allows to aggregate
them to the criterion level mentioned in section 5.3.1. There it is also explained how the types ofindicators have different effects in the aggregation.
Table 1 – Corresponding scores for the levels
Level

A

B

C

D

E

F

G

Score

0

1

2

3

4

5

6

5.2.2

Negative Anchor Indicators

Negative anchor indicators are necessary conditions to meet the aim of a criteria. If a negative
indicator is not sufficiently fulfilled, the indicator cannot be fulfilled either. Therefore, if a negative
indicator is rated with a “G”, the corresponding criteria is automatically rated with “G”.
If the negative anchor indicator is at least partially fulfilled, the necessary condition is meet and thenegative anchor indicator is handled as a Score indicator.

5.2.3

Positive Anchor Indicators

Positive anchor indicators are sufficient conditions to fulfil the aspects of a criterion. Therefore, if apositive anchor indicator is rated with an “A”, the corresponding criterion is rated with an “A”.

5.2.4

Skippable Indicators

In some cases, not all indicators are applicable for the intended use of an AI system. These aremarked as skippable, which means that they do not need to be answered if not applicable and are nottaken into account for aggregation.
For example, it is possible to skip privacy indicators, if no personal data is acquired and therefore no
individuals are affected in their privacy. Also, an AI system can just have one underlying Human
Agency concept. In this case the other Human Agency indicators can be skipped.

VDE SPEC 900012 V1.0 (en)48

If one or more indicators are skipped, this results in a reduced number of indicators which areconsidered for the aggregation. This shall be considered for the divider of the rounded average insection 5.3.1.

5.3 Aggregation
5.3.1
Criteria Level
To reach an aggregation from indicator to criterion, the following steps must be taken, depending on
which kind of indicators exist in the considered criterion.
Step 1: Check for negative anchor indicator
If a negative anchor indicator exists in the considered criterion this step has to be taken, otherwise it
can be skipped.
If the negative anchor indicator is rated with “G” and therefore not fulfilled at all, the whole criterion
cannot be fulfilled and is likewise rated with a “G” and the aggregation of the criterion is terminated.
If the level of the negative anchor indicator is “F” or higher, it is at least partially fulfilled and it istreated like a score indicator.
Step 2: Application of positive anchor indicators
Positive anchor indicators can fully fulfil a criterion if they exist and are fully fulfilled. If they do notexist, this step can be skipped.
This means if a positive anchor indicator is marked with an “A”, the corresponding criterion is also
marked with an “A”.
If positive anchor indicators are not fully fulfilled, this means level below “A”, they are treated as scoreindicators.
Step 3: Aggregation with score indicators
Every level of the observable for an indicator corresponds with a (malus)score. Here “A” gets thelowest score and “G” the highest (see Table 1 – Corresponding scores for the levels).
To aggregate the level of the indicators to the criteria level the rounded average of the scores is taken.
This means the scores are added, divided by the number of applied indicators, and are rounded to thenext integer. The resulting score can then be translated back to a corresponding level.
If a positive anchor indicator for this criterion exists and is fully fulfilled and rated with an “A” in step 2,
the criterion is also marked with an “A”.
Example: If an indicator with an “A” gets aggregated with an indicator with a “B” the correspondingscores are “0” and “1”. After adding them up this results in “1”. Divided by the number of indicators (inthis case 2) you receive “0.5”, which then is rounded to 1 and corresponds to “B”. Therefore “B” would
be the result of the aggregation.

5.3.2

Value Level

After completing the criteria level, the aggregation on the value level can be performed. Since thecriteria all have the same significance, the scores are determined by a rounded average. The scores
are equivalent to the one on indicator level, and the aggregation is analogue to Step 3 for the criteria
level (see Table 1 – Corresponding scores for the levels) negative or positive anchor criteria do notexist.
Therefore, to aggregate the level of the criteria to the value level the rounded average of the scores istaken. This means the scores get added, divided by the number of applied Indicators, and are rounded
to the next integer. The resulting score can then be translated back to a corresponding level.

5.3.3

Example for Aggregation

To illustrate the aggregation on criteria and value level an example is shown in Figure 7 – Illustrationof the Aggregation.

VDE SPEC 900012 V1.0 (en)49Figure 7 – Illustration of the Aggregation

VDE SPEC 900012 V1.0 (en)

50

5.4

Aggregation in case of multiple sub-systems

AI Systems can consist of multiple sub-items, like multiple AI models or datasets.
These sub-items could have different observables in an indicator. For example, different datasets
have differently detailed corresponding information (T1.1). In this case the lowest reached observableis taken for the indicator.

5.5

Partial Label

The AI Trust Label is intended to show the trustworthiness and adherence to values of products. In thecase of AI, the focus of the standard is on entire products that contain AI technologies.
However, these systems can be composed and integrated from several sub-items within a supply chain.
For this reason, these sub-items can also fulfil indicators or criteria if they can be meaningfully assigned.
In this case, it would also be possible for the creator of this sub-item to prove the indicators or criteria
including the corresponding level. These can then be used by the integrator without having to performa further check.

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