Abstract
Adaptive autonomous intelligent systems (A/IS) may satisfy design functionality and user experiential requirements but prior to deployment an assessment must be made of their impact on user rights. A/IS systems may assist rather than replace humans but it is unclear where the line is drawn between supplementing human endeavour and knowledge, on the one hand, and gradual erosion of human cognitive abilities on the other. This paper makes the case for development of ethical standards for user awareness of A/IS in operation, taking account of rights under the EU General Data Protection Regulation (GDPR) and the Council of Europe Modernised Convention for the Protection of Individuals with Regard to Automatic Processing of Personal Data (Convention 108+). It sets out three main user awareness stages (pre-use, during-use, and post-use) along with consideration of commensurate rights. In the pre-use stage potential users will need to be aware that an A/IS is either fully or partially in operation, and consent to such an operation or have the option to opt out. During A/IS use if there is a part of the A/IS operation which involves a “black box” scenario, that is, it is difficult for a human to discern what the system is doing and why, then appropriate risk-based parameters need to be set for the systems use. Post-use requires users to be aware of how their data and information shared with the A/IS will be used by the system and any third parties.
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References
Respect for human autonomy is one of four ethical principles established under the EU AI Guidelines - Ethics Guidelines for Trustworthy AI, High-Level Expert Group on Artificial Intelligence (EU AI HLEG), European Commission. https://ec.europa.eu/futurium/en/ai-alliance-consultation/guidelines/2. Accessed 03 Feb 2020, p. 12; cf. Articles 32 (which implicitly predicates the security framework for data processing on guaranteeing the human dignity of natural persons), and 88(2) (which refers to safeguarding the data subject’s human dignity in the processing of data for employment purposes) of the European Parliament and Council of the European Union, Regulation (EU) 2016/679 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, repealing Directive 95/46/EC (General Data Protection Regulation) (GDPR), (OJ L 119, 4.5.2016), 27 April 2016; Preamble of the Council of Europe Modernised Convention for the Protection of Individuals with Regard to Automatic Processing of Personal Data (ETS No. 108+), Amending Protocol to the Convention, adopted by the Committee of Ministers at its 128th Session in Elsinore on 18 May 2018 (Convention 108+) (which refers to securing human dignity and personal autonomy, and predicates the legal framework on safeguarding these)
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Prevention of harm is the second ethical principle established under the EU AI HLEG, p. 12; generally expressed as violations of privacy and data protection rules under the GDPR; generally expressed as interference with the fundamental rights and freedoms of the individual under Convention 108+
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Accountability represents a key requirement to implement the ethical principle of fairness under the EU AI HLEG, pp. 19–20; cf Article 5(2) GDPR; Principle 6 IEEE EAD, pp. 29–30
Legal responsibility is subsumed in the accountability requirement under the EU AI HLEG, pp. 19–20; Recitals 74 and 79, Article 24 GDPR; Article 15(1) Convention 108+; Principle 6 IEEE EAD
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Under GDPR Article 4(4) “profiling” means “any form of automated processing of personal data consisting of the use of personal data to evaluate certain personal aspects relating to a natural person, in particular to analyse or predict aspects concerning that natural person’s performance at work, economic situation, health, personal preferences, interests, reliability, behaviour, location or movements”
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WP Guidelines, p. 21
GDPR Article 9(1)
GDPR Article 9(2)(a)
GDPR Article 9(2)(g)
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See examples of practical application of these different interpretations to the information needed: Automated decision-making on the basis of personal data that has been transferred from the EU to companies certified under the EU-U.S. Privacy Shield Fact-finding and assessment of safeguards provided by U.S. law (European Commission Final Report, Directorate-General for Justice and Consumers, October 2018), pp. 45–47
WP Guidelines, pp. 34–35
WP Guidelines, p. 26
Convention 108+ Explanatory Report, p. 24
Convention 108+ Explanatory Report, p. 20
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Ulgen, O. (2020). User Rights and Adaptive A/IS – From Passive Interaction to Real Empowerment. In: Sottilare, R.A., Schwarz, J. (eds) Adaptive Instructional Systems. HCII 2020. Lecture Notes in Computer Science(), vol 12214. Springer, Cham. https://doi.org/10.1007/978-3-030-50788-6_15
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