ASEAN Guide on AI Governance and Ethics

ASEAN

v2024

7 domains

37 controls

The ASEAN Guide on AI Governance and Ethics provides a practical framework for ASEAN member states and organizations to deploy AI responsibly. Based on principles of transparency, fairness, security, accountability, and human-centricity, it provides guidance for both AI developers and deployers. Complements existing national AI strategies across ASEAN member states.

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Framework Domains (7)

Guiding Principles

7 controls

The seven guiding principles for trustworthy AI (Section B).

Controls in the Guiding Principles domain of ASEAN Guide on AI Governance and Ethics — 7 controls
Code	Title	Description
AIGE-P1	Transparency and Explainability	Provide disclosure on when an AI system is used and the involvement of AI, and communicate the reasoning behind AI decis...
AIGE-P2	Fairness and Equity	Ensure AI systems do not produce unjust bias or discriminatory outcomes and that similar individuals are treated similar...
AIGE-P3	Security and Safety	Ensure the safety of developers, deployers and users by conducting impact and risk assessments, applying technical secur...
AIGE-P4	Human-centricity	Design, develop and deploy AI to benefit humans and respect human values throughout the AI system lifecycle, prioritisin...
AIGE-P5	Privacy and Data Governance	Respect and uphold data privacy and protection during design, development and deployment, including privacy-by-design an...
AIGE-P6	Accountability and Integrity	Establish clear accountability for AI outcomes with appropriate oversight, integrity of data and systems, and mechanisms...
AIGE-P7	Robustness and Reliability	Ensure AI systems function reliably and as intended, including in unexpected conditions, with access control and protect...

Human Involvement in AI-Augmented Decision-Making

5 controls

Governance framework component 2: risk-based determination of the level of human oversight.

Controls in the Human Involvement in AI-Augmented Decision-Making domain of ASEAN Guide on AI Governance and Ethics — 5 controls
Code	Title	Description
AIGE-HI-1	Establish AI objectives and assess against principles and risks	During design, establish the intended commercial objectives of the AI system, ensure compatibility with the guiding prin...
AIGE-HI-2	Assess probability and severity of harm	Evaluate AI solutions along the probability and severity of harm to users and individuals, considering nature, reversibi...
AIGE-HI-3	Determine the level of human involvement	Based on the risk assessment, determine the category of human involvement, human-in-the-loop, human-over-the-loop, or hu...
AIGE-HI-4	Document risk impact assessments	Keep proper documentation of AI risk impact assessments (per the Annex A template) for audit purposes, and continually r...
AIGE-HI-5	Mitigate automation bias and protect affected groups	Guard against automation bias (rubber-stamping) where humans defer to AI outputs, and give special consideration to impa...

Internal Governance Structures and Measures

6 controls

Governance framework component 1: oversight structures, roles, policies, training and review.

Controls in the Internal Governance Structures and Measures domain of ASEAN Guide on AI Governance and Ethics — 6 controls
Code	Title	Description
AIGE-IG-1	Establish internal AI governance structures and oversight body	Put in place internal governance structures (e.g. an AI Ethics Board or Committee, multi-disciplinary) for oversight of...
AIGE-IG-2	Define roles and responsibilities for AI oversight	Establish clear roles, terms of reference and responsibilities for personnel involved in responsible design, development...
AIGE-IG-3	AI ethics policies, standards and code of conduct	Develop AI governance policies, standards and a code of conduct for the ethical use of data and AI, with oversight mecha...
AIGE-IG-4	Training, awareness and capability building	Provide guidance and training to personnel in the governance process and raise organisation-wide awareness of AI ethics,...
AIGE-IG-5	Periodic review of the governance model	Periodically review and assess the sufficiency and effectiveness of the governance model and controls across the AI life...
AIGE-IG-6	Apply risk-based proportionality	Take account of organisation size and capabilities, applying a risk-based approach where a full multi-disciplinary body...

National-level Recommendations

3 controls

Section D: recommendations to ASEAN Member State governments.

Controls in the National-level Recommendations domain of ASEAN Guide on AI Governance and Ethics — 3 controls
Code	Title	Description
AIGE-NR-1	Nurture AI talent and upskill the workforce	Governments should nurture AI talent and upskill the workforce to support AI adoption and governance.
AIGE-NR-2	Invest in AI research and development	Governments should invest in AI research and development, build talent pools and digital infrastructure, and foster rese...
AIGE-NR-3	Support the AI innovation ecosystem and investment	Governments should foster the AI innovation ecosystem, promote investment in AI start-ups, and enable cross-border data...

Operations Management

10 controls

Governance framework component 3: managing risks across the AI system lifecycle.

Controls in the Operations Management domain of ASEAN Guide on AI Governance and Ethics — 10 controls
Code	Title	Description
AIGE-OM-1	Project governance and problem statement definition	Define the problem statement, conduct risk-based assessments before data collection or modelling, assign roles and accou...
AIGE-OM-10	Third-party and vendor AI governance	Where AI or components are sourced from third-party developers or vendors, define responsibilities, due diligence and go...
AIGE-OM-2	Data quality and representativeness	Ensure data used for training, testing and validation is sufficiently representative and of adequate quality, monitored...
AIGE-OM-3	Bias identification and mitigation	Identify and mitigate types of bias (representation, societal, labelling, measurement, activity, proxy) through dataset...
AIGE-OM-4	Data provenance, minimisation and protection	Track data provenance and lineage, apply data minimisation and protection, and conduct a data protection impact assessme...
AIGE-OM-5	Model explainability	Adopt explainability practices so the functioning of the model and how it arrives at decisions can be communicated to re...
AIGE-OM-6	Repeatability and reproducibility	Ensure the AI system can consistently obtain the same results given the same scenario (repeatability) and that results c...
AIGE-OM-7	Robustness and security testing	Test the robustness and security of AI systems, including against adversarial inputs, especially for public-facing syste...
AIGE-OM-8	Traceability and auditability	Maintain traceability and audit trails of AI system and user behaviour to support periodic risk assessment, accountabili...
AIGE-OM-9	Deployment, monitoring and review	Validate before deployment and continue to monitor and review deployed AI systems for performance and drift, with regula...

Regional-level Recommendations

2 controls

Section E: recommendations for regional AI governance cooperation.

Controls in the Regional-level Recommendations domain of ASEAN Guide on AI Governance and Ethics — 2 controls
Code	Title	Description
AIGE-RR-1	Establish an ASEAN Working Group on AI Governance	Set up an ASEAN Working Group on AI Governance to drive and oversee the technical and operational implementation of AI g...
AIGE-RR-2	Foster regional alignment, cooperation and interoperability	Promote regional alignment of AI frameworks, international cooperation on AI governance, and interoperability across jur...

Stakeholder Interaction and Communication

4 controls

Governance framework component 4: disclosure, feedback, review and acceptable use.

Controls in the Stakeholder Interaction and Communication domain of ASEAN Guide on AI Governance and Ethics — 4 controls
Code	Title	Description
AIGE-SI-1	Stakeholder communication policy and AI-use disclosure	Develop a stakeholder communication policy identifying audience, purpose and context, and disclose to users when AI is u...
AIGE-SI-2	Feedback channels	Provide feedback channels and mechanisms for users to raise issues and, where relevant, correct their data, and manage t...
AIGE-SI-3	Decision review and recourse channels	Where reasonable, provide channels for AI-influenced decisions to be reviewed by a human and for users to seek recourse.
AIGE-SI-4	Acceptable use policies	Set up acceptable use policies that outline the boundaries for interacting with AI systems.

Your Compliance Coverage

If you comply with ASEAN Guide on AI Governance and Ethics, you already cover:

ISO/IEC 42001:2023

65%

24 controls mapped

Compare →

NIST AI Risk Management Framework (AI RMF 1.0)

57%

21 controls mapped

Compare →

OECD AI Principles

43%

16 controls mapped

Compare →

+ 8 more: OECD Recommendation on Artificial Intelligence (2024 Update) (30%), Australia AI Ethics Framework (22%)

See all 11 mapped frameworks ↓

Maps to 11 other frameworks

37 total controls

ISO/IEC 42001:2023

24 source controls mapped|16 target controls covered

65%

NIST AI Risk Management Framework (AI RMF 1.0)

21 source controls mapped|16 target controls covered

57%

OECD AI Principles

16 source controls mapped|7 target controls covered

43%

OECD Recommendation on Artificial Intelligence (2024 Update)

11 source controls mapped|6 target controls covered

30%

Australia AI Ethics Framework

8 source controls mapped|8 target controls covered

22%

ISO/IEC 23894:2023

2 source controls mapped|2 target controls covered

ISO/IEC 27018:2019

2 source controls mapped|2 target controls covered

ISO 13485:2016

1 source controls mapped|1 target controls covered

ISO/IEC 17050-2:2004

1 source controls mapped|1 target controls covered

ISO/IEC 38500:2024

1 source controls mapped|2 target controls covered

ISO/IEC TR 24028:2020

1 source controls mapped|1 target controls covered

Compare ASEAN Guide on AI Governance and Ethics with ISO/IEC 42001:2023

Frequently Asked Questions

What is ASEAN Guide on AI Governance and Ethics?

ASEAN Guide on AI Governance and Ethics is a compliance framework from ASEAN with 7 domains and 37 controls. The ASEAN Guide on AI Governance and Ethics provides a practical framework for ASEAN member states and organizations to deploy AI responsibly. Based on principles of transparency, fairness, security, accountability, and human-centricity, it provides guidance for both AI developers and deployers. Complements existing national AI strategies across ASEAN member states. It is used by organisations to establish and maintain compliance with industry standards and regulatory requirements.

How many controls does ASEAN Guide on AI Governance and Ethics have?

ASEAN Guide on AI Governance and Ethics has 37 controls organised across 7 domains. The largest domains are Operations Management (10 controls), Guiding Principles (7 controls), Internal Governance Structures and Measures (6 controls). Each control defines specific requirements that organisations must implement to achieve compliance.

What frameworks does ASEAN Guide on AI Governance and Ethics map to?

ASEAN Guide on AI Governance and Ethics maps to 11 other compliance frameworks. The top mapping partners are ISO/IEC 42001:2023 (65% coverage), NIST AI Risk Management Framework (AI RMF 1.0) (57% coverage), OECD AI Principles (43% coverage). Use our comparison tool to explore control-level mappings between frameworks.

How do I get started with ASEAN Guide on AI Governance and Ethics compliance?

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