[Federal Register Volume 88, Number 244 (Thursday, December 21, 2023)]
[Notices]
[Pages 88368-88370]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-28232]



[[Page 88368]]

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DEPARTMENT OF COMMERCE

National Institute of Standards and Technology

[Docket Number: 231218-0309]
RIN: 0693-XC135


Request for Information (RFI) Related to NIST's Assignments Under 
Sections 4.1, 4.5 and 11 of the Executive Order Concerning Artificial 
Intelligence (Sections 4.1, 4.5, and 11)

AGENCY: National Institute of Standards and Technology (NIST), 
Commerce.

ACTION: Notice; request for Information.

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SUMMARY: The National Institute of Standards and Technology (NIST) is 
seeking information to assist in carrying out several of its 
responsibilities under the Executive order on Safe, Secure, and 
Trustworthy Development and Use of Artificial Intelligence issued on 
October 30, 2023. Among other things, the E.O. directs NIST to 
undertake an initiative for evaluating and auditing capabilities 
relating to Artificial Intelligence (AI) technologies and to develop a 
variety of guidelines, including for conducting AI red-teaming tests to 
enable deployment of safe, secure, and trustworthy systems.

DATES: Comments containing information in response to this notice must 
be received on or before February 2, 2024. Submissions received after 
that date may not be considered.

ADDRESSES: Comments may be submitted by any of the following methods:
    Electronic submission: Submit electronic public comments via the 
Federal e-Rulemaking Portal.
    1. Go to www.regulations.gov and enter NIST-2023-0309 in the search 
field,
    2. Click the ``Comment Now!'' icon, complete the required fields, 
and
    3. Enter or attach your comments.
    Electronic submissions may also be sent as an attachment to <a href="/cdn-cgi/l/email-protection#6e0f074307001f1b071c070b1d2e00071d1a40090118"><span class="__cf_email__" data-cfemail="12737b3f7b7c63677b607b7761527c7b61663c757d64">[email protected]</span></a> and may be in any of the following unlocked formats: 
HTML; ASCII; Word; RTF; Unicode, or .pdf.
    Written comments may also be submitted by mail to Information 
Technology Laboratory, ATTN: AI E.O. RFI Comments, National Institute 
of Standards and Technology, 100 Bureau Drive, Mail Stop 8900, 
Gaithersburg, MD 20899-8900.
    Response to this RFI is voluntary. Submissions must not exceed 25 
pages (when printed) in 12-point or larger font, with a page number 
provided on each page. Please include your name, organization's name 
(if any), and cite ``NIST AI Executive order'' in all correspondence.
    Comments containing references, studies, research, and other 
empirical data that are not widely published should include copies of 
the referenced materials. All comments and submissions, including 
attachments and other supporting materials, will become part of the 
public record and subject to public disclosure. Relevant comments will 
generally be available on the Federal eRulemaking Portal at 
www.regulations.gov. After the comment period closes, relevant comments 
will generally be available on https://www.nist.gov/artificial-intelligence/executive-order-safe-secure-and-trustworthy-artificial-intelligence. NIST will not accept comments accompanied by a request 
that part or all of the material be treated confidentially because of 
its business proprietary nature or for any other reason. Therefore, do 
not submit confidential business information or otherwise sensitive, 
protected, or personal information, such as account numbers, Social 
Security numbers, or names of other individuals.

FOR FURTHER INFORMATION CONTACT: For questions about this RFI contact: 
<a href="/cdn-cgi/l/email-protection#3e5f571357504f4b574c575b4d7e50574d4a10595148"><span class="__cf_email__" data-cfemail="4a2b236723243b3f2338232f390a2423393e642d253c">[email protected]</span></a> or Rachel Trello, National Institute of Standards 
and Technology, 100 Bureau Drive, Stop 8900, Gaithersburg, MD 20899, 
(202) 570-3978. Direct media inquiries to NIST's Office of Public 
Affairs at (301) 975-2762. Users of telecommunication devices for the 
deaf, or a text telephone, may call the Federal Relay Service toll free 
at 1-800-877-8339.
    Accessible Format: NIST will make the RFI available in alternate 
formats, such as Braille or large print, upon request by persons with 
disabilities.

SUPPLEMENTARY INFORMATION: NIST is responsible for contributing to 
several deliverables assigned to the Secretary of Commerce. Among those 
is a report identifying existing standards, tools, methods, and 
practices, as well as the potential development of further science-
backed and non-proprietary standards and techniques, related to 
synthetic content, including potentially harmful content, such as child 
sexual abuse material and non-consensual intimate imagery of actual 
adults. NIST will also assist the Secretary of Commerce to establish a 
plan for global engagement to promote and develop AI standards.
    Respondents may provide information on one or more of the topics in 
this RFI and may elect not to address every topic.
    NIST is seeking information to assist in carrying out several of 
its responsibilities under Sections 4.1, 4.5, and 11 of E.O. 14110. 
This RFI addresses the specific assignments cited below. Other 
assignments to NIST in E.O. 14110 related to cybersecurity and privacy, 
synthetic nucleic acid sequencing, and supporting agencies' 
implementation of minimum risk-management practices are being addressed 
separately. Information about NIST's assignments and plans under E.O. 
14110, along with further opportunities for public input, may be found 
here: https://www.nist.gov/artificial-intelligence/executive-order-safe-secure-and-trustworthy-artificial-intelligence.
    In considering information for submission to NIST, respondents are 
encouraged to review recent guidance documents that NIST has developed 
with significant public input and feedback, including the NIST AI Risk 
Management Framework (https://www.nist.gov/itl/ai-risk-management-framework). Other NIST AI resources may be found on the NIST AI 
Resource Center (https://airc.nist.gov/home). In addition, respondents 
are encouraged to take into consideration the activities of the NIST 
Generative AI Public Working Group (https://airc.nist.gov/generative_ai_wg).
    Information that is specific and actionable is of special interest, 
versus general statements about the challenges and needs. Copyright 
protections of materials, if any, should be clearly noted. Responses 
which include information generated by means of AI techniques should be 
identified clearly.
    NIST is interested in receiving information pertinent to any or all 
of the assignments described below.

1. Developing Guidelines, Standards, and Best Practices for AI Safety 
and Security

    NIST is seeking information regarding topics related to generative 
AI risk management, AI evaluation, and red-teaming.
    a. E.O. 14110 Sections 4.1(a)(i)(A) and (C) direct NIST to 
establish guidelines and best practices in order to promote consensus 
industry standards in the development and deployment of safe, secure, 
and trustworthy AI systems. Accordingly, NIST is seeking information 
regarding topics related to this assignment, including:
    (1) Developing a companion resource to the AI Risk Management 
Framework (AI RMF), NIST AI 100-1 (https://www.nist.gov/itl/ai-risk-management-framework), for generative AI. Following is a non-exhaustive 
list of possible topics that may be addressed in any comments relevant 
to AI RMF companion resource for generative AI:

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    <bullet> Risks and harms of generative AI, including challenges in 
mapping, measuring, and managing trustworthiness characteristics as 
defined in the AI RMF, as well as harms related to repression, 
interference with democratic processes and institutions, gender-based 
violence, and human rights abuses (see https://www.whitehouse.gov/briefing-room/speeches-remarks/2023/11/01/remarks-by-vice-president-harris-on-the-future-of-artificial-intelligence-london-united-kingdom);
    <bullet> Current standards or industry norms or practices for 
implementing AI RMF core functions for generative AI (govern, map, 
measure, manage), or gaps in those standards, norms, or practices;
    <bullet> Recommended changes for AI actors to make to their current 
governance practices to manage the risks of generative AI;
    <bullet> The types of professions, skills, and disciplinary 
expertise organizations need to effectively govern generative AI, and 
what roles individuals bringing such knowledge could serve;
    <bullet> Roles that can or should be played by different AI actors 
for managing risks and harms of generative AI (e.g., the role of AI 
developers vs. deployers vs. end users);
    <bullet> Current techniques and implementations, including their 
feasibility, validity, fitness for purpose, and scalability, for:
    [cir] Model validation and verification, including AI red-teaming;
    [cir] Human rights impact assessments, ethical assessments, and 
other tools for identifying impacts of generative AI systems and 
mitigations for negative impacts;
    [cir] Content authentication, provenance tracking, and synthetic 
content labeling and detection, as described in Section 2a below; and
    [cir] Measurable and repeatable mechanisms to assess or verify the 
effectiveness of such techniques and implementations.
    <bullet> Forms of transparency and documentation (e.g., model 
cards, data cards, system cards, benchmarking results, impact 
assessments, or other kinds of transparency reports) that are more or 
less helpful for various risk management purposes (e.g., assessment, 
evaluation, monitoring, and provision of redress and contestation 
mechanisms) and for various AI actors (developers, deployers, end 
users, etc.) in the context of generative AI models, and best practices 
to ensure such information is shared as needed along the generative AI 
lifecycle and supply chain);
    <bullet> Economic and security implications of watermarking, 
provenance tracking, and other content authentication tools;
    <bullet> Efficacy, validity, and long-term stability of 
watermarking techniques and content authentication tools for provenance 
of materials, including in derivative work;
    <bullet> Criteria for defining an error, incident, or negative 
impact;
    <bullet> Governance policies and technical requirements for tracing 
and disclosing errors, incidents, or negative impacts;
    <bullet> The need for greater controls when data are aggregated; 
and
    <bullet> The possibility for checks and controls before 
applications are presented forward for public consumption.
    (2) Creating guidance and benchmarks for evaluating and auditing AI 
capabilities, with a focus on capabilities and limitations through 
which AI could be used to cause harm. Following is a non-exhaustive 
list of possible topics that may be addressed in any comments relevant 
to AI evaluations:
    <bullet> Definition, types, and design of test environments, 
scenarios, and tools for evaluating the capabilities, limitations, and 
safety of AI technologies;
    <bullet> Availability of, gap analysis of, and proposals for 
metrics, benchmarks, protocols, and methods for measuring AI systems' 
functionality, capabilities, limitations, safety, security, privacy, 
effectiveness, suitability, equity, and trustworthiness. This includes 
rigorous measurement approaches for risks and impacts such as:
    [cir] Negative effects of system interaction and tool use, 
including from the capacity to control physical systems or from 
reliability issues with such capacity or other limitations;
    [cir] Exacerbating chemical, biological, radiological, and nuclear 
(CBRN) risks;
    [cir] Enhancing or otherwise affecting malign cyber actors' 
capabilities, such as by aiding vulnerability discovery, exploitation, 
or operational use;
    [cir] Introduction of biases into data, models, and AI lifecycle 
practices;
    [cir] Risks arising from AI value chains in which one developer 
further refines a model developed by another, especially in safety- and 
rights-affecting systems;
    [cir] Impacts to human and AI teaming performance;
    [cir] Impacts on equity, including such issues as accessibility and 
human rights; and
    [cir] Impacts to individuals and society; including both positive 
and negative impacts on safety and rights.
    <bullet> Generalizability of standards and methods of evaluating AI 
over time, across sectors, and across use cases;
    <bullet> Applicability of testing paradigms for AI system 
functionality, effectiveness, safety, and trustworthiness including 
security, and transparency, including paradigms for comparing AI 
systems against each other, baseline system performance, and existing 
practice, such as:
    [cir] Model benchmarking and testing; and
    [cir] Structured mechanisms for gathering human feedback, including 
randomized controlled human-subject trials; field testing, A/B testing, 
AI red-teaming.
    b. E.O. 14110 Section 4.1(a)(ii) directs NIST to establish 
guidelines (except for AI used as a component of a national security 
system), including appropriate procedures and processes, to enable 
developers of AI, especially of dual-use foundation models, to conduct 
AI red-teaming tests to enable deployment of safe, secure, and 
trustworthy systems. The following is a non-exhaustive list of possible 
topics that may be addressed in any comments relevant to red-teaming:
    <bullet> Use cases where AI red-teaming would be most beneficial 
for AI risk assessment and management;
    <bullet> Capabilities, limitations, risks, and harms that AI red-
teaming can help identify considering possible dependencies such as 
degree of access to AI systems and relevant data;
    <bullet> Current red-teaming best practices for AI safety, 
including identifying threat models and associated limitations or 
harmful or dangerous capabilities;
    <bullet> Internal and external review across the different stages 
of AI life cycle that are needed for effective AI red-teaming;
    <bullet> Limitations of red-teaming and additional practices that 
can fill identified gaps;
    <bullet> Sequence of actions for AI red-teaming exercises and 
accompanying necessary documentation practices;
    <bullet> Information sharing best practices for generative AI, 
including for how to share with external parties for the purpose of AI 
red-teaming while protecting intellectual property, privacy, and 
security of an AI system;
    <bullet> How AI red-teaming can complement other risk 
identification and evaluation techniques for AI models;
    <bullet> How to design AI red-teaming exercises for different types 
of model risks, including specific security risks (e.g., CBRN risks, 
etc.) and risks to individuals and society (e.g., discriminatory 
output, hallucinations, etc.);
    <bullet> Guidance on the optimal composition of AI red teams 
including different backgrounds and varying levels of skill and 
expertise;

[[Page 88370]]

    <bullet> Economic feasibility of conducting AI red-teaming 
exercises for small and large organizations; and
    <bullet> The appropriate unit of analysis for red teaming (models, 
systems, deployments, etc.)

2. Reducing the Risk of Synthetic Content

    NIST is seeking information regarding topics related to synthetic 
content creation, detection, labeling, and auditing.
    a. E.O. 14110 Section 4.5(a) directs the Secretary of Commerce to 
submit a report to the Director of the Office of Management and Budget 
(OMB) and the Assistant to the President for National Security Affairs 
identifying existing standards, tools, methods, and practices, along 
with a description of the potential development of further science-
backed standards and techniques for reducing the risk of synthetic 
content from AI technologies. NIST is seeking information regarding the 
following topics related to reducing the risk of synthetic content in 
both closed and open source models that should be included in the 
Secretary's report, recognizing that the most promising approaches will 
require multistakeholder input, including scientists and researchers, 
civil society, and the private sector. Existing tools and the potential 
development of future tools, measurement methods, best practices, 
active standards work, exploratory approaches, challenges and gaps are 
of interest for the following non-exhaustive list of possible topics 
and use cases of particular interest.
    <bullet> Authenticating content and tracking its provenance;
    <bullet> Techniques for labeling synthetic content, such as using 
watermarking;
    <bullet> Detecting synthetic content;
    <bullet> Resilience of techniques for labeling synthetic content to 
content manipulation;
    <bullet> Economic feasibility of adopting such techniques for small 
and large organizations;
    <bullet> Preventing generative AI from producing child sexual abuse 
material or producing non-consensual intimate imagery of real 
individuals (to include intimate digital depictions of the body or body 
parts of an identifiable individual);
    <bullet> Ability for malign actors to circumvent such techniques;
    <bullet> Different risk profiles and considerations for synthetic 
content for models with widely available model weights;
    <bullet> Approaches that are applicable across different parts of 
the AI development and deployment lifecycle (including training data 
curation and filtering, training processes, fine-tuning incorporating 
both automated means and human feedback, and model release), at 
different levels of the AI system (including the model, API, and 
application level), and in different modes of model deployment (online 
services, within applications, open-source models, etc.);
    <bullet> Testing software used for the above purposes; and
    <bullet> Auditing and maintaining tools for analyzing synthetic 
content labeling and authentication.

3. Advance Responsible Global Technical Standards for AI Development

    NIST is seeking information regarding topics related to the 
development and implementation of AI-related consensus standards, 
cooperation and coordination, and information sharing that should be 
considered in the design of standards.
    a. E.O. 14110 Section 11(b) directs the Secretary of Commerce, 
within 270 days and in coordination with the Secretary of State and the 
heads of other relevant agencies, to establish a plan for global 
engagement on promoting and developing AI consensus standards, 
cooperation, and coordination, ensuring that such efforts are guided by 
principles set out in the NIST AI Risk Management Framework (https://www.nist.gov/itl/ai-risk-management-framework) and the U.S. Government 
National Standards Strategy for Critical and Emerging Technology 
(https://www.whitehouse.gov/wp-content/uploads/2023/05/US-Gov-National-Standards-Strategy-2023.pdf). The following is a non-exhaustive list of 
possible topics that may be addressed:
    <bullet> AI nomenclature and terminology;
    <bullet> Best practices regarding data capture, processing, 
protection, quality, privacy, transparency, confidentiality, handling, 
and analysis, as well as inclusivity, fairness, accountability, and 
representativeness (including non-discrimination, representation of 
lower resourced languages, and the need for data to reflect freedom of 
expression) in the collection and use of data;
    <bullet> Examples and typologies of AI systems for which standards 
would be particularly impactful (e.g., because they are especially 
likely to be deployed or distributed across jurisdictional lines, or to 
need special governance practices);
    <bullet> Best practices for AI model training;
    <bullet> Guidelines and standards for trustworthiness, 
verification, and assurance of AI systems;
    <bullet> AI risk management and governance, including managing 
potential risk and harms to people, organizations, and ecosystems;
    <bullet> Human-computer interface design for AI systems;
    <bullet> Application specific standards (e.g., for computer vision, 
facial recognition technology);
    <bullet> Ways to improve the inclusivity of stakeholder 
representation in the standards development process;
    <bullet> Suggestions for AI-related standards development 
activities, including existing processes to contribute to and gaps in 
the current standards landscape that could be addressed, and including 
with reference to particular impacts of AI;
    <bullet> Strategies for driving adoption and implementation of AI-
related international standards;
    <bullet> Potential mechanisms, venues, and partners for promoting 
international collaboration, coordination, and information sharing on 
standards development;
    <bullet> Potential implications of standards for competition and 
international trade; and
    <bullet> Ways of tracking and assessing whether international 
engagements under the plan are having the desired impacts.
    Across all these topics, NIST is seeking information about costs 
and ease of implementation for tools, systems, practices, and the 
extent to which they will benefit the public if they can be efficiently 
adopted and utilized.
    Authority: Executive Order 14110 of Oct. 30, 2023; 15 U.S.C. 272.

Alicia Chambers,
NIST Executive Secretariat.
[FR Doc. 2023-28232 Filed 12-19-23; 4:15 pm]
BILLING CODE 3510-13-P


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