Safe and Ethical AI (SEA) Platform Network · Linking Artificial Intelligence Principles (LAIP)

First principle: Human Centricity

The impact of AI enabled systems on humans must be assessed and considered, for a full range of effects both positive and negative across the entire system lifecycle. Whether they are MOD personnel, civilians, or targets of military action, humans interacting with or affected by AI enabled systems for Defence must be treated with respect. This means assessing and carefully considering the effects on humans of AI enabled systems, taking full account of human diversity, and ensuring those effects are as positive as possible. These effects should prioritise human life and wellbeing, as well as wider concerns for human kind such as environmental impacts, while taking account of military necessity. This applies across all uses of AI enabled systems, from the back office to the battlefield. The choice to develop and deploy AI systems is an ethical one, which must be taken with human implications in mind. It may be unethical to use certain systems where negative human impacts outweigh the benefits. Conversely, there may be a strong ethical case for the development and use of an AI system where it would be demonstrably beneficial or result in a more ethical outcome.

Principle: Ethical Principles for AI in Defence, Jun 15, 2022

Published by The Ministry of Defence (MOD), United Kingdom

Related Principles

4. Human centricity

AI systems should respect human centred values and pursue benefits for human society, including human beings’ well being, nutrition, happiness, etc. It is key to ensure that people benefit from AI design, development, and deployment while being protected from potential harms. AI systems should be used to promote human well being and ensure benefit for all. Especially in instances where AI systems are used to make decisions about humans or aid them, it is imperative that these systems are designed with human benefit in mind and do not take advantage of vulnerable individuals. Human centricity should be incorporated throughout the AI system lifecycle, starting from the design to development and deployment. Actions must be taken to understand the way users interact with the AI system, how it is perceived, and if there are any negative outcomes arising from its outputs. One example of how deployers can do this is to test the AI system with a small group of internal users from varied backgrounds and demographics and incorporate their feedback in the AI system. AI systems should not be used for malicious purposes or to sway or deceive users into making decisions that are not beneficial to them or society. In this regard, developers and deployers (if developing or designing inhouse) should also ensure that dark patterns are avoided. Dark patterns refer to the use of certain design techniques to manipulate users and trick them into making decisions that they would otherwise not have made. An example of a dark pattern is employing the use of default options that do not consider the end user’s interests, such as for data sharing and tracking of the user’s other online activities. As an extension of human centricity as a principle, it is also important to ensure that the adoption of AI systems and their deployment at scale do not unduly disrupt labour and job prospects without proper assessment. Deployers are encouraged to take up impact assessments to ensure a systematic and stakeholder based review and consider how jobs can be redesigned to incorporate use of AI. Personal Data Protection Commission of Singapore’s (PDPC) Guide on Job Redesign in the Age of AI6 provides useful guidance to assist organisations in considering the impact of AI on its employees, and how work tasks can be redesigned to help employees embrace AI and move towards higher value tasks.

Published by ASEAN in ASEAN Guide on AI Governance and Ethics, 2021

VI. Societal and environmental well being

For AI to be trustworthy, its impact on the environment and other sentient beings should be taken into account. Ideally, all humans, including future generations, should benefit from biodiversity and a habitable environment. Sustainability and ecological responsibility of AI systems should hence be encouraged. The same applies to AI solutions addressing areas of global concern, such as for instance the UN Sustainable Development Goals. Furthermore, the impact of AI systems should be considered not only from an individual perspective, but also from the perspective of society as a whole. The use of AI systems should be given careful consideration particularly in situations relating to the democratic process, including opinion formation, political decision making or electoral contexts. Moreover, AI’s social impact should be considered. While AI systems can be used to enhance social skills, they can equally contribute to their deterioration.

Published by European Commission in Key requirements for trustworthy AI, Apr 8, 2019

· 2. The Principle of Non maleficence: “Do no Harm”

AI systems should not harm human beings. By design, AI systems should protect the dignity, integrity, liberty, privacy, safety, and security of human beings in society and at work. AI systems should not threaten the democratic process, freedom of expression, freedoms of identify, or the possibility to refuse AI services. At the very least, AI systems should not be designed in a way that enhances existing harms or creates new harms for individuals. Harms can be physical, psychological, financial or social. AI specific harms may stem from the treatment of data on individuals (i.e. how it is collected, stored, used, etc.). To avoid harm, data collected and used for training of AI algorithms must be done in a way that avoids discrimination, manipulation, or negative profiling. Of equal importance, AI systems should be developed and implemented in a way that protects societies from ideological polarization and algorithmic determinism. Vulnerable demographics (e.g. children, minorities, disabled persons, elderly persons, or immigrants) should receive greater attention to the prevention of harm, given their unique status in society. Inclusion and diversity are key ingredients for the prevention of harm to ensure suitability of these systems across cultures, genders, ages, life choices, etc. Therefore not only should AI be designed with the impact on various vulnerable demographics in mind but the above mentioned demographics should have a place in the design process (rather through testing, validating, or other). Avoiding harm may also be viewed in terms of harm to the environment and animals, thus the development of environmentally friendly AI may be considered part of the principle of avoiding harm. The Earth’s resources can be valued in and of themselves or as a resource for humans to consume. In either case it is necessary to ensure that the research, development, and use of AI are done with an eye towards environmental awareness.

Published by The European Commission’s High-Level Expert Group on Artificial Intelligence in Draft Ethics Guidelines for Trustworthy AI, Dec 18, 2018

Second principle: Responsibility

Human responsibility for AI enabled systems must be clearly established, ensuring accountability for their outcomes, with clearly defined means by which human control is exercised throughout their lifecycles. The increased speed, complexity and automation of AI enabled systems may complicate our understanding of pre existing concepts of human control, responsibility and accountability. This may occur through the sorting and filtering of information presented to decision makers, the automation of previously human led processes, or processes by which AI enabled systems learn and evolve after their initial deployment. Nevertheless, as unique moral agents, humans must always be responsible for the ethical use of AI in Defence. Human responsibility for the use of AI enabled systems in Defence must be underpinned by a clear and consistent articulation of the means by which human control is exercised, and the nature and limitations of that control. While the level of human control will vary according to the context and capabilities of each AI enabled system, the ability to exercise human judgement over their outcomes is essential. Irrespective of the use case, Responsibility for each element of an AI enabled system, and an articulation of risk ownership, must be clearly defined from development, through deployment – including redeployment in new contexts – to decommissioning. This includes cases where systems are complex amalgamations of AI and non AI components, from multiple different suppliers. In this way, certain aspects of responsibility may reach beyond the team deploying a particular system, to other functions within the MOD, or beyond, to the third parties which build or integrate AI enabled systems for Defence. Collectively, these articulations of human control, responsibility and risk ownership must enable clear accountability for the outcomes of any AI enabled system in Defence. There must be no deployment or use without clear lines of responsibility and accountability, which should not be accepted by the designated duty holder unless they are satisfied that they can exercise control commensurate with the various risks.

Published by The Ministry of Defence (MOD), United Kingdom in Ethical Principles for AI in Defence, Jun 15, 2022

· Transparency and explainability

37. The transparency and explainability of AI systems are often essential preconditions to ensure the respect, protection and promotion of human rights, fundamental freedoms and ethical principles. Transparency is necessary for relevant national and international liability regimes to work effectively. A lack of transparency could also undermine the possibility of effectively challenging decisions based on outcomes produced by AI systems and may thereby infringe the right to a fair trial and effective remedy, and limits the areas in which these systems can be legally used. 38. While efforts need to be made to increase transparency and explainability of AI systems, including those with extra territorial impact, throughout their life cycle to support democratic governance, the level of transparency and explainability should always be appropriate to the context and impact, as there may be a need to balance between transparency and explainability and other principles such as privacy, safety and security. People should be fully informed when a decision is informed by or is made on the basis of AI algorithms, including when it affects their safety or human rights, and in those circumstances should have the opportunity to request explanatory information from the relevant AI actor or public sector institutions. In addition, individuals should be able to access the reasons for a decision affecting their rights and freedoms, and have the option of making submissions to a designated staff member of the private sector company or public sector institution able to review and correct the decision. AI actors should inform users when a product or service is provided directly or with the assistance of AI systems in a proper and timely manner. 39. From a socio technical lens, greater transparency contributes to more peaceful, just, democratic and inclusive societies. It allows for public scrutiny that can decrease corruption and discrimination, and can also help detect and prevent negative impacts on human rights. Transparency aims at providing appropriate information to the respective addressees to enable their understanding and foster trust. Specific to the AI system, transparency can enable people to understand how each stage of an AI system is put in place, appropriate to the context and sensitivity of the AI system. It may also include insight into factors that affect a specific prediction or decision, and whether or not appropriate assurances (such as safety or fairness measures) are in place. In cases of serious threats of adverse human rights impacts, transparency may also require the sharing of code or datasets. 40. Explainability refers to making intelligible and providing insight into the outcome of AI systems. The explainability of AI systems also refers to the understandability of the input, output and the functioning of each algorithmic building block and how it contributes to the outcome of the systems. Thus, explainability is closely related to transparency, as outcomes and ub processes leading to outcomes should aim to be understandable and traceable, appropriate to the context. AI actors should commit to ensuring that the algorithms developed are explainable. In the case of AI applications that impact the end user in a way that is not temporary, easily reversible or otherwise low risk, it should be ensured that the meaningful explanation is provided with any decision that resulted in the action taken in order for the outcome to be considered transparent. 41. Transparency and explainability relate closely to adequate responsibility and accountability measures, as well as to the trustworthiness of AI systems.

Published by The United Nations Educational, Scientific and Cultural Organization (UNESCO) in The Recommendation on the Ethics of Artificial Intelligence, Nov 24, 2021