Essential Concepts (AI)
(CT:DATA-13; 02-20-2025)
(Office of Origin: M/SS/CFA)
20 FAM 301.2-1 Artificial Intelligence
(CT:DATA-11; 11-28-2024)
This chapter defines Artificial Intelligence (AI) using NDAA Fiscal Year 2019 section 238(g), which includes any of the following:
(1) Any artificial system that performs tasks under varying and unpredictable circumstances without significant human oversight, or that can learn from experience and improve performance when exposed to data sets.
(2) An artificial system developed in computer software, physical hardware, or other context that solves tasks requiring human-like perception, cognition, planning, learning, communication, or physical action.
(3) An artificial system designed to think or act like a human, including cognitive architectures and neural networks.
(4) A set of techniques, including machine learning, that is designed to approximate a cognitive task.
(5) An artificial system designed to act rationally, including an intelligent software agent or embodied robot that achieves goals using perception, planning, reasoning, learning, communicating, decision making, and acting.
20 FAM 301.2-2 AI service
(CT:DATA-13; 02-20-2025)
An AI application that consists of an AI system/tool/app provided by a third party (e.g., an outside service provider).
20 FAM 301.2-3 AI Terms of Service (TOS)
(CT:DATA-13; 02-20-2025)
For the purposes of this chapter, a binding agreement between the provider of an AI service and the Department of State regarding Department use of that provider's AI service. Note: This chapter uses "Terms of Service" to refer to such agreements, irrespective of whether an AI service provider refers to such agreements as “Terms of Service” or “Terms of Use”.
20 FAM 301.2-4 AI Use Case
(CT:DATA-13; 02-20-2025)
An AI Use Case is any Department application or use of AI described in either of the following:
(1) AI designed, developed, acquired, or used specifically to advance the execution of the Department’s missions, enhance decision making, or provide the public with a specified benefit.
(2) Both existing and new uses of AI; both standalone AI and AI embedded within other systems or applications; AI developed both by the Department or by third parties on behalf of the Department for the fulfillment of specific Department missions, including relevant data inputs used to train AI and outputs used in support of decision making; and the Department’s procurement of AI applications.
20 FAM 301.2-5 Generative AI
(CT:DATA-13; 02-20-2025)
Generative AI refers to a sub-category of artificial intelligence techniques that generate new data in the form of text, images, or video, using the data they were trained on as a model, and an external input (like a question from a user) as a prompt.
20 FAM 301.2-6 RIGHTS-IMPACTING AI
(CT:DATA-13; 02-20-2025)
AI whose output serves as a principal basis for a decision or action concerning a specific individual or entity that has a legal, material, binding, or similarly significant effect on that individual’s or entity’s:
(1) Civil rights, civil liberties, or privacy, including but not limited to freedom of speech, voting, human autonomy, and protections from discrimination, excessive punishment, and unlawful surveillance;
(2) Equal opportunities, including equitable access to education, housing, insurance, credit, employment, and other programs where civil rights and equal opportunity protections apply; or
(3) Access to or the ability to apply for critical government resources or services, including healthcare, financial services, public housing, social services, transportation, and essential goods and services.
(4) For guidance on how to seek and obtain approval to use rights-impacting AI, please see 20 FAH-1 H-304.
(5) Refer to 20 FAM 102.2-3(B) AI Use Case Owner Responsibilities for additional information.
20 FAM 301.2-7 Safety-Impacting AI
(CT:DATA-13; 02-20-2025)
AI whose output produces an action or serves as a principal basis for a decision that has the potential to significantly impact the safety of:
(1) Human life or well-being, including loss of life, serious injury, bodily harm, biological or chemical harms, occupational hazards, harassment or abuse, or mental health, including both individual and community aspects of these harms;
(2) Climate or environment, including irreversible or significant environmental damage;
(3) Critical infrastructure, including the critical infrastructure sectors defined in Presidential Policy Directive 21 or any successor directive and the infrastructure for voting and protecting the integrity of elections; or
(4) Strategic assets or resources, including high-value property and information marked as sensitive or classified by the Federal Government.
(5) For guidance on how to seek and obtain approval to use safety-impacting AI, please see 20 FAH-1 H-304.
(6) Refer to 20 FAM 102.2-3(B) AI Use Case Owner Responsibilities for additional information.
20 FAM 301.2-8 Trustworthy AI
(CT:DATA-13; 02-20-2025)
a. Trustworthy AI must be designed and trained to follow fair, consistent, transparent, impartial, reliable, and safe/secure decisions.
b. Trustworthy AI Principles are based on the Principles for Use of AI in Government set forth in section 3 of E.O. 13960.