Artificial Intelligence (AI) Ethics: Ethics of AI and Ethical AI

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01 Apr 2020

Artificial Intelligence (AI) Ethics: Ethics of AI and Ethical AI

Artificial Intelligence (AI) Ethics: Ethics of AI and Ethical AI

Keng Siau

Missouri University of Science and Technology, siauk@mst.edu Weiyu Wang

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Recommended Citation Recommended Citation

Siau, K., & Wang, W. (2020). Artificial Intelligence (AI) Ethics: Ethics of AI and Ethical AI. Journal of Database Management, 31(2), pp. 74-87. IGI Global.

The definitive version is available at https://doi.org/10.4018/JDM.2020040105

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DOI: 10.4018/JDM.2020040105



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Artificial Intelligence (AI) Ethics:

Ethics of AI and Ethical AI

Keng Siau, Missouri University of Science and Technology, Rolla, USA Weiyu Wang, Missouri University of Science and Technology, Rolla, USA

ABSTRACT Artificialintelligence(AI)-basedtechnologyhasachievedmanygreatthings,suchasfacialrecognition, medicaldiagnosis,andself-drivingcars.AIpromisesenormousbenefitsforeconomicgrowth, socialdevelopment,aswellashumanwell-beingandsafetyimprovement.However,thelow-levelof explainability,databiases,datasecurity,dataprivacy,andethicalproblemsofAI-basedtechnology posesignificantrisksforusers,developers,humanity,andsocieties.AsAIadvances,onecritical issueishowtoaddresstheethicalandmoralchallengesassociatedwithAI.Eventhoughtheconcept of“machineethics”wasproposedaround2006,AIethicsisstillintheinfancystage.AIethicsis thefieldrelatedtothestudyofethicalissuesinAI.ToaddressAIethics,oneneedstoconsiderthe ethicsofAIandhowtobuildethicalAI.EthicsofAIstudiestheethicalprinciples,rules,guidelines, policies,andregulationsthatarerelatedtoAI.EthicalAIisanAIthatperformsandbehavesethically. OnemustrecognizeandunderstandthepotentialethicalandmoralissuesthatmaybecausedbyAI toformulatethenecessaryethicalprinciples,rules,guidelines,policies,andregulationsforAI(i.e., EthicsofAI).WiththeappropriateethicsofAI,onecanthenbuildAIthatexhibitsethicalbehavior (i.e.,EthicalAI).ThispaperwilldiscussAIethicsbylookingattheethicsofAIandethicalAI. WhataretheperceivedethicalandmoralissueswithAI?Whatarethegeneralandcommonethical principles,rules,guidelines,policies,andregulationsthatcanresolveoratleastattenuatetheseethical andmoralissueswithAI?Whataresomeofthenecessaryfeaturesandcharacteristicsofanethical AI?HowtoadheretotheethicsofAItobuildethicalAI? KEywoRDS

AI Ethics, Artificial Intelligence, Ethical AI, Ethics, Ethics of AI, Machine Ethics, Roboethics

1. INTRoDUCTIoN Someresearchersandpractitionersbelievethatartificialintelligence(AI)isstillalongwayfrom havingconsciousnessandbeingcomparabletohumans,andconsequently,thereisnorushtoconsider ethicalissues.ButAI,combinedwithothersmarttechnologiessuchasrobotics,hasalreadyshown itspotentialinbusiness,healthcare,transportation,andmanyotherdomains.Further,AIapplications arealreadyimpactinghumanityandsociety.Autonomousvehiclescanreplacealargenumberof jobs,andtransformthetransportationandassociatedindustries.Forexample,short-haulflightsand

hospitalityservicesalonghighwayswillbeimpactedifdriverlesscarsenablepassengerstosleep andworkduringthejourney.AI-recruitersareknowntoexhibithumanbiasesbecausethetraining datainheritsthesamebiaseswehaveashumans.Thewealthgapcreatedbythewideningdifferences betweenreturnoncapitalandreturnonlaborisposedtocreatesocialunrestandupheavals.The futureofworkandfutureofhumanitywillbeaffectedbyAIandplansneedtobeformulatedandput inplace.BuildingAIethicallyandhavingethicalAIareurgentandcritical.Unfortunately,building ethicalAIisanenormouslycomplexandchallengingtask. 1.1. what is Ethics? Ethicsisacomplex,complicated,andconvolutedconcept.Ethicscanbedefinedasthemoralprinciples governingthebehaviorsoractionsofanindividualoragroupofindividuals(Nalini,2019).Inother words,ethicsareasystemofprinciplesorrulesorguidelinesthathelpdeterminewhatisgoodor right.Broadlyspeaking,ethicscanbedefinedasthedisciplinedealingwithrightversuswrong,and themoralobligationsanddutiesofentities(e.g.,humans,intelligentrobots,etc.). Ethicshasbeenstudiedbymanyresearchersfromdifferentdisciplines.Mosthumansarefamiliar withvirtueethicssinceveryyoungbecauseitisabehaviorguideinstilledbyparentsandteachersto helpchildrenpracticegoodconduct.Aristotle(Yu,1998)believeswhenapersonactsinaccordance withvirtue,thispersonwilldowellandbecontent.Virtueethicsispartofnormativeethics,which studieswhatmakesactionsrightorwrong.Itcanbeviewedasoverarchingmoralprinciplesthathelp peopleresolvedifficultmoraldecisions.Astheinteractionbetweenhumans,betweenhumansand animals,betweenhumansandmachines,andevenbetweenmachinesisincreasing,ethicaltheories havebeenappliedtoreal-lifesituations,suchasbusinessethics,animalethics,militaryethics, bioethics,andmachineethics.Thestudyofethicsandethicalprinciplesisconstantlyevolvingand developing.Table1listsseveralethicsdefinitionsgivenbyresearchers. InthecontextofAI,theethicsofAIspecifiesthemoralobligationsanddutiesofanAIandits creators.Researchershavedonemuchworkstudyinghumanethicalissues.Manyethicalframeworks canbeusedtodirecthumanbehaviors,suchasactionsandactivitiesrelatedtorespectforindividuals,

Table 1. Definition of ethics

Normative Ethics Reference

Ethicsisthecapacitytothinkcriticallyaboutmoralvaluesanddirectouractionsin termsofsuchvalues. Churchill,1999 Ethicsisasetofconceptsandprinciplesthatguideusindeterminingwhatbehavior helpsorharmssentientcreatures. Paul&Elder,2006 Ethicsisthenormforconductthatdistinguishesbetweenacceptableand unacceptablebehavior. Ethicsisthedisciplinethatstudiesstandardsofconduct,suchasphilosophy, theology,law,psychology,orsociology. Ethicsisamethod,procedure,orperspectivefordecidinghowtoactandfor analyzingcomplexproblemsandissues. Resnik,2011 Applied Ethics Computerethicsistheanalysisofthenatureandsocialimpactofcomputer technologyandthecorrespondingformulationandjustificationofpoliciesforthe ethicaluseofsuchtechnology. Moor,1985,p.266 Machineethicsisconcernedwithgivingmachinesethicalprinciplesoraprocedure fordiscoveringawaytoresolvetheethicaldilemmastheymightencounter,enabling themtofunctioninanethicallyresponsiblemannerthroughtheirownethical decisionmaking. AndersonandAnderson,2011, p.1

beneficence,justice,privacy,accuracy,ownership/property,accessibility,fairness,accountability, andtransparency(Wang&Siau,2018). Oneofthebest-knownethicalframeworksisdevelopedbyKenBlanchardandNormanVincent Peale(Blanchard&Peale,2011).Theframeworkconsistsofthreemainquestions:Isitlegal?Is itfair?Howdoesitmakemefeel?AnotherframeworkistheMarkkulaCenterFramework,which identifiesfiveapproachestodealingwithethicalissues,includingtheutilitarianismapproach,rights approach,fairnessorjusticeapproach,commongoodapproach,andvirtueapproach(Markkula CenterforAppliedEthics,2015). AIethics,however,isarelativelynewfieldandthesubsequentpartsofthepaperwilldiscuss theAIethics–ethicsofAIandethicalAI.

1.2. what is “Ethics of AI” and “Ethical AI”?

TheethicsofAIispartoftheethicsofadvancedtechnologythatfocusesonrobotsandotherartificially intelligentagents.Itcanbedividedintoroboethics(robotethics)andmachineethics. Roboethicsisconcernedwiththemoralbehaviorsofhumansastheydesign,construct,use,and interactwithAIagents,andtheassociatedimpactsofrobotsonhumanityandsociety.Inthispaper, weconsideritasethicsofAI,whichdealwithethicalissuesrelatedtoAI,includingethicalissues thatmayarisewhendesigninganddevelopingAI(e.g.,humanbiasesthatexistindata,dataprivacy, andtransparency),andethicalissuescausedbyAI(e.g.,unemploymentandwealthdistribution). Further,asmachinesbecomemoreintelligentandmayonedaygainconsciousness,weshouldconsider robotrights--theconceptthatpeopleshouldhavemoralobligationstowardsintelligentmachines.It issimilartohumanrightsandanimalrights.Forinstance,whetheritisethicaltodeployintelligent militaryrobotstodangerousbattlefieldsorassignrobotstodirtyenvironments.Therightsofliberty, freedomofexpression,equality,andhavingthoughtandemotionbelongtothiscategory. MachineethicsdealswiththemoralbehaviorsofArtificialMoralAgents(AMAs),whichis thefieldofresearchaddressingthedesignofartificialmoralagents.Astechnologyadvancesand robotsbecomemoreintelligent,robotsorartificiallyintelligentagentsshouldbehavemorallyand exhibitmoralvalues.WeconsidertheethicalbehaviorsofAIagentsasethicalAI.Currently,the bestknownproposedrulesforgoverningAIagentsaretheThreeLawsofRoboticsputforthbyIssac Asimovinthe1950s(Asimov,1950).FirstLaw,arobotmaynotinjureahumanbeingor,through inaction,allowahumanbeingtocometoharm.SecondLaw,arobotmustobeytheordersgivento itbyhumanbeingsexceptwhensuchorderswouldconflictwiththeFirstLaw.ThirdLaw,arobot mustprotectitsexistenceaslongassuchprotectiondoesnotconflictwiththeFirstorSecondLaw. Table2depictsthetwodimensionsofAIethics(i.e.,ethicsofAIandethicalAI)andhowthe twodimensionsinteractwithAI,Human,andSociety.TheethicalinteractionbetweenAIsisnew inthispaper.ThisisespeciallyimportantforAIswithconsciousness.NotonlyshouldtheAIsdo noharmtohumansandself-preserve,butitalsoshoulddonoharmtootherintelligentagents. Thus,theThreeLawsofRoboticsmayneedtobeextendedtotakeintoaccounttheinteraction betweenintelligentAIs. UnderstandingtheethicsofAIwillhelptoestablishaframeworkforbuildingethicalAI.Figure 1showstheinitialframeworkforbuildingethicalAI. Table 2. AI ethics AI Human Society

EthicsofAI PrinciplesofdevelopingAIto_{interactwithotherAIsethically} PrinciplesofdevelopingAIto_{interactwithhumanethically} PrinciplesofdevelopingAIto_{functionethicallyinsociety} EthicalAI HowAIshouldinteractwith_{otherAIsethically?} HowAIshouldinteractwith_{humansethically?} HowAIshouldoperate_{ethicallyinsociety?}

1.3. why Should we Build Ethical AI? Recently,CriminalsusedAI-basedvoicetechnologytoimpersonateachiefexecutive’svoiceand demandafraudulenttransferof$243,000(Stupp,2019).Thisisnotanisolatedincident.PINDROP reporteda350%riseinvoicefraudbetween2013and2017(Livni,2019).AIvoiceimpersonation beingusedforfraudisnottheonlyconcern.Deepfake,whichisanapproachtosuperimposeand synthesizeexistingimagesandvideosontosourceimagesorvideosusingMachineLearning(ML),is alsobecomingcommon.Withdeepfake,humanfacescouldbesuperimposedonpornographicvideo contentandpoliticalleaderscanbeportrayedinvideostoinciteviolenceandpanic.Deepfakemay alsobeusedintheelectioncycletoinfluenceandbiastheAmericanelectorate(Libby,2019).In2017, researchersfromtheUniversityofWashingtoncreatedasyntheticObama,usinganeuralnetwork AItomodeltheshapeofObama’smouth(BBCNews,2017).Althoughtherewasnosecuritythreat fromtheUniversityofWashingtonexperiment,thedemonstrationillustrateswhatispossiblewith AI-alteredvideos.Fakenewsisanotherconcern.Forexample,anAIfaketextgeneratorwasdeemed toodangeroustobereleasedbyitscreators,OpenAI,forfearofmisuse.Undoubtedly,advancedAI agentscouldputindividuals,companies,andsocietiesatincreasedrisk. Humanrights,suchasprivacy,freedomofassociation,freedomofspeech,righttowork,non-discrimination,andaccesstopublicservices,shouldalwaysbeputinthefirstplace.However,the growinguseofAIinthecriminaljusticesystemmayhaveadiscriminationconcern.Therecidivism risk-scoringsoftwareusedacrossthecriminaljusticesystemshowsincidentsofdiscrimination basedonrace,gender,andethnicity.Forinstance,somedefendantsarefalselylabeledashighrisk becauseoftheirethnicity. Therighttoprivacy,whichisessentialtohumandignity,canalsobeaffectedbyAI.Asbigdata technologydeveloped,thecollectionofdatainterfereswiththerightstoprivacyanddatasecurity. Forinstance,MLmodelscanaccuratelysynthesizedataandestimatepersonalcharacteristics,such asgender,age,maritalstatus,andoccupation,fromcellphonelocationdata.Anotherexampleis governmentsurveillance.IntheU.S.,halfofalladultsarealreadyinlawenforcementfacialrecognition databases(Telcher,2018),whichthreatenstoendanonymity.Rightstofreedomofexpression, assembly,andassociationmayaccordinglybeaffected.Lastbutnotleast,therighttoworkandan adequatestandardofliving(AccessNow,2018)wouldbeaffected.Automationhasresultedinjobloss andjobdisplacementincertainindustriesandtherapidadvancementinAIwouldacceleratethistrend.

2. REVIEw oF ETHICAL GUIDELINES, FRAMEwoRKS, AND PRINCIPLES

AdvancedAIwillsparkunprecedentedbusinessgains,butalongtheway,governmentandindustry leaderswillhavetograpplewithasmorgasbordofethicaldilemmassuchasdataprivacyissues, machinelearningbias,publicsafetyconcerns,aswellasjobreplacementandunemployment rateproblems.Toguidetheirstrategiesindeveloping,adopting,andembracingAItechnologies, organizationsshouldconsiderestablishingAIethicsframeworks/guidelines.Someinstitutionshave startedworkonthisissueandpublishedsomeguidelines.Table3showseightinstitutionsthatwork onAIethicalframeworksorprinciplesandtheirobjectives.Table4showsthecontentofthoseethical frameworksandprinciples.

InTable5,wesummarizedthefrequencyofeachfactorinthoseframeworksshowninTable 4.Wecanseethatdifferentframeworksmayincludethesameorsimilarfactors,butalsoinclude differentconsiderations.ThestudyofethicalissuesofAIisstillanewareaandmorediscussionis neededtofinallyestablishtheframeworkofbuildingethicalAI.Inthenextsection,wewilldiscuss eachethicalissueindetail.

3. REVIEw oF ETHICAL ISSUES IN AI

AI,atthepresentstage,isreferredtoasNarrowAIorWeakAI.WeakAIcandowellinanarrow andspecializeddomain.TheperformanceofnarrowAIdependsmuchonthetrainingdataand programming,whichiscloselyrelatedtobigdataandhumans.TheethicalissuesofNarrowAI, thus,involvehumanfactors. “Adifferentsetofethicalissuesariseswhenwecontemplatethepossibilitythatsomefuture AIsystemsmightbecandidatesforhavingthemoralstatus”(BostromandYudkowsky,2014,p.5).

Table 3. Institutions’ works on AI ethics and their objectives

Resource Objective FutureofLifeInstitute (2017) Thisreportemphasizes“donoharm”.ItrequiresthedevelopmentofAItobenefitsociety,fostertrustandcooperation,andavoidcompetitiveracing. International AssociationofPrivacy Professionals(IAPP, 2018) Theproposedframeworkexploresriskstoprivacy,fairness,transparency,equality,and manyotherissuesthatcanbeamplifiedbybigdataandartificialintelligence.They provideanoverviewofhoworganizationscanoperatedataethicsandhowtoreflectethical considerationsindecisionmaking. InstituteofElectrical andElectronics Engineers(IEEE, 2019) TheproposeddesignlaysoutpracticesforsettingupAIgovernancestructure,including pragmatictreatmentofdatamanagement,affectivecomputing,economics,legalaffairs,and otherareas.Onekeypriorityistoincreasehumanwell-beingasametricforAIprogress. Besides,theIEEEprinciplerequireseveryoneinvolvedinthedesignanddevelopmentofAIis educatedtoprioritizeethicalconsiderations. ThePublicVoice (2018) TheproposedguidelinesaimtoimprovethedesignanduseofAI,maximizethebenefits ofAI,protecthumanrights,andminimizerisksandthreatsassociatedwithAI.Theyclaim thattheguidelinesshouldbeincorporatedintoethicalstandards,adoptedinnationallawand internationalagreements,andbuiltintothedesignofsystems. European Commission’sHigh-LevelExpertGroup onAI(European Commission,2019) TheguidelinesaredesignedtoguidetheAIcommunityinthedevelopmentanduseof “trustworthyAI”(i.e.,AIthatislawful,ethical,androbust).Theguidelinesemphasizefour principles:respectforhumanautonomy,preventionofharm,fairness,andexplicability. AI4People(Floridiet al.,2018) ThisframeworkintroducesthecoreopportunitiesandrisksofAIforsociety;presenta synthesisoffiveethicalprinciplesthatshouldundergirditsdevelopmentandadoption;and offer20concreterecommendations—toassess,todevelop,toincentivize,andtosupport goodAI—whichinsomecasesmaybeundertakendirectlybynationalorsupranational policymakers. UnitedNations Educational, Scientific,and CulturalOrganization (UNESCO,2017) Theproposedethicalprincipleaimstoprovidedecision-makerswithcriteriathatextend beyondpurelyeconomicconsiderations. Australia’sEthics Framework(Dawsonet al.,2019) Thisethicsframeworkhighlightstheethicalissuesthatareemergingorlikelytoemergein AustraliafromAItechnologiesandoutlinestheinitialstepstowardmitigatingthem.Thegoal ofthisdocumentistoprovideapragmaticassessmentofkeyissuestohelpfosterethicalAI developmentinAustralia.

Theyadoptthedefinitionofmoralstatusthat“Xhasmoralstatus=becauseXcountsmorallyinits ownright,itispermissible/impermissibletodothingstoitforitsownsake.”Fromthisperspective, onceAIhasmoralstatus,weshouldtreatitnotasamachine/system,butanobjectthathasequal rightsashumans.Thetechnologicalsingularity,whentechnologicalgrowthbecomesuncontrollable andirreversible,ishypothesizedtocomeasAIadvances.Ifithappens,humancivilizationwould beaffected,androbotrightsandconsciousnessshouldbeconsidered.Buttheseissuesarebeyond theconsiderationofthispaper.Thefollowingdiscussionmainlyfocusesonethicalissuesrelated tonarrowAI. ResearchonethicalissuesofAIfallsintothreecategories:featuresofAIthatmaygiveriseto ethicalproblems(Timmermansetal.,2010),humanfactorsthatcauseethicalrisks(Larson,2017), andsocialimpactofethicalAIissues.

3.1. Features of AI Give Rise to Ethical Issues

3.1.1. Transparency

Machinelearningisabrillianttool,butitishardtoexplaintheinnerprocessingofmachine learning, which is usually called the “black box”. The “black box” makes the algorithms mysteriouseventoitscreators.Thislimitspeople’sabilitytounderstandthetechnology,leads tosignificantinformationasymmetriesamongAIexpertsandusers,andhindershumantrust inthetechnologyandAIagents.Trustiscrucialinallkindsofrelationshipsandaprerequisite reasonforacceptance(Siau&Wang,2018).

Table 4. Ethical frameworks and principles from eight institutions

Resource Ethical Framework/Principle

FutureofLifeInstitute(2017) Safety,FailureTransparency,JudicialTransparency,Responsibility,ValueAlignment,HumanValues,PersonalPrivacy,LibertyandPrivacy,Shared Benefit,SharedProsperity,HumanControl,Non-subversion,AIArmsRace InternationalAssociationofPrivacy

Professionals(IAPP,2018) Dataethics,Privacy,Bias,Accountability,Transparency,HumanRights

InstituteofElectricalandElectronics

Engineers(IEEE,2019) HumanRights,Well-being,DataAgency,Effectiveness,Transparency,Accountability,AwarenessofMisuse,Competence ThePublicVoice(2018) RighttoTransparency;RighttoHumanDetermination;Identification Obligation;FairnessObligation;AssessmentandAccountabilityObligation; Accuracy,Reliability,andValidityobligation;DataQualityObligation;Public SafetyObligation;CybersecurityObligation;ProhibitiononSecretProfiling; ProhibitiononUnitaryScoring;TerminationObligation. EuropeanCommission’sHigh-Level ExpertGrouponAI(European Commission,2019) HumanAgencyandOversight,TechnicalRobustnessandSafety,Privacyand DataGovernance,Transparency,Diversity,SocietalandEnvironmentalWell-being,Accountability AI4People(Floridietal.,2018) Beneficence:promotingwell-being,preservingdignity,sustainingtheplanet; Non-maleficence:privacy,security,monitoringAIadvancement/capability; Autonomy:thepowertodecide;Justice:promotingprosperity,preserving solidarity;Explicability:enablingtheotherprinciplesthroughintelligibility andaccountability UnitedNationsEducational, Scientific,andCulturalOrganization (UNESCO,2017) HumanDignity,ValueofAutonomy,ValueofPrivacy,“Donoharm” Principle,PrincipleofResponsibility,ValueofBeneficence,ValueofJustice Australia’sEthicsFramework (Dawsonetal.,2019) GeneratesNet-benefits,RegulatoryandLegalCompliance,Fairness, Contestability,DoNoHarm,PrivacyProtection,Transparencyand Explainability,Accountability

Further,becauseoftheblackboxthathumansarenotabletointerpret,AImayevolvewithout humanmonitoringandguidance.Forexample,in2017,FacebookshutdownanAIenginebecause theyfoundthattheAIhadcreateditsownuniquelanguageandhumanscouldnotunderstandthe language(Bradley2017).WhetherhumanscancontrolAIagentsisabigconcern.Humansprefer AIagentstoalwaysdoexactlywhatwewantthemtodo.Forinstance,ifaguestasksaself-driving taxitodrivetotheairportasfastaspossible,thetaximaynotfollowthetrafficrules,butreachthe airportatthefastestspeed.Thisisnotwhatthecustomerwantsbutwhatthecustomeraskedfor literally.However,consideringthisproblemfromanotherperspective,ifwetreatAIagentsethically, isitethicalthatwecontrolwhatactionstheytakeandhowtheymakedecisions?

3.1.2. Data Security and Privacy

ThedevelopmentofAIagentsreliesheavilyonthehugeamountofdata,includingpersonaldataand privatedata.Almostalloftheapplicationdomainsinwhichdeeplearningissuccessful,suchasApple SiriandGoogleHome,haveaccesstomountainsofdata.Withmoredatageneratedinsocietiesand businesses,thereisahigherchancetomisusethesedata.Forinstance,ahealthrecordalwayscontains sensitiveinformation,whichifnotadequatelyprotected,arogueinstitutioncouldgainaccesstothat informationandharmthepatientspersonallyandfinancially.Thus,datamustbemanagedproperly topreventmisuseandmalicioususe(Timmermansetal.,2010).Tokeepdatasafe,eachactionto thedatashouldbedetailedandrecorded.Boththedataperseandthetransactionrecordmaycause privacy-relatedrisks.Itis,therefore,importanttoconsiderwhatshouldberecordedandwhoshould takechargeoftherecordingaction,andwhocanhaveaccesstothedataandrecords.

Table 5. Summary of factors of ethical frameworks

Factors\Institutions FLI IAPP IEEE TPV EUCE AI4P UNESCO AEF Total

Responsibility/Accountability 1 1 1 1 1 1 1 1 8 Privacy 1 1 1 1 1 1 1 7 Transparency 1 1 1 1 1 1 6 HumanValues/DoNoHarm 1 1 1 1 1 1 6 HumanWell-Being/Beneficence 1 1 1 1 4 Safety 1 1 1 3 Liberty/Autonomy 1 1 1 3 HumanControl 1 1 1 3 Bias/Fairness 1 1 1 3 SharedBenefit 1 1 2 AIArmsRace 1 1 2 Justice 1 1 2 Prosperity 1 1 Effectiveness 1 1 Accuracy 1 1 Reliability 1 1 Diversity 1 1 HumanDignity 1 1 RegulatoryAndLegalCompliance 1 1

3.1.3. Autonomy, Intentionality, and Responsibility Whethertherobotsareregardedasmoralagentsaffecttheinteractions(Sullins,2011).Tobeseen asrealmoralagents,robotshavetomeetthreecriteria:autonomy,intentionality,andresponsibility (Sullins,2011).Autonomymeansthatthemachinesarenotunderthedirectcontrolofanyother agents.Intentionalitymeansthatmachines“actinawaythatismorallyharmfulorbeneficialand theactionsareseeminglydeliberateandcalculated.”Responsibilitymeansthemachinesfulfillsome socialrolethatcarrieswithitsomeassumedresponsibilities.Intheveryclassictrolleycase,theone whocontrolsthetrolleyistheethicalproducer(Allenetal.,2006).Tocontinuetorunonthecurrent trackandkillfiveworkersortoturntoanothertrackandkillaloneworkerisahard-ethicalchoice forhumans.WhatchoiceshouldorwouldAImake?WhoshouldberesponsiblefortheAI’schoice? Themilitaryrobotsthattakechargeofbombdisposalareethicalrecipients.Isitethicalthathumans decidethedestinyoftheserobots?Humanethicsandmoralitytodaymaynotbeseenasperfectby futurecivilizations(BostromandYudkowsky,2014).Onereasonisthathumanscannotsolveallthe recognizedethicalproblems.Theotherreasonisthathumanscannotrecognizealltheethicalproblems.

3.2. Human Factors Give Rise to Ethical Issues

HumanBias,suchasgenderbias(Larson,2017)andracebias(KoolenandCranenburgh,2017),may beinheritedbyAI.AIagentsareonlyasgoodasthedatahumanputintothem. AIagentsarebeingtrainedbyhumansandusingdatasetsmadebyhumans,existingbiasesmaybe learnedbyAIagentsandexhibitedinrealapplications.OncebiaseddataareusedbytheAIagent,the biaswillbecomeanongoingproblem.Forinstance,softwareusedtopredictfuturecriminalsshowed biasagainstacertainrace(Bossmann,2016).Thebiascomesfromthetrainingdatathatcontains humanbiases.Thus,figuringouthowtoprogramandtrainAIagentswithouthumanbiasesiscritical. 3.2.1. Accountability WhenanAIagentfailsatacertainassignedtask,whoshouldberesponsible.Thismayleadtowhat isreferredtoas“theproblemofmanyhands”(Timmermansetal.,2010).WhenusinganAIagent, anundesirableconsequencemaybecausedbytheprogrammingcodes,entereddata,improper operation,orotherfactors.Whoshouldbetheresponsibleentityfortheundesirableconsequence --theprogrammer,thedataowner,ortheend-users? 3.2.2. Ethical Standards “Theultimategoalofmachineethicsistocreateamachinethatitselffollowsanidealethicalprinciple orsetofprinciples”(AndersonandAnderson,2007p.15).Itistheoreticallyeasybutpracticallyhard toformulateethicalprinciplesforAIagents.Withoutcomprehensiveandunbiasedethicalstandards, howcanhumanstrainamachinetobeethical?Further,howcanwemakecertainthatintelligent machinesunderstandethicalstandardsinthesamewaythatwedo?(WangandSiau,2019a).For instance,ifweprogramrobotstoalwaysperformnoharm,weshouldfirstmakesurethattherobots understandwhatharmis.Thisresultsinanotherproblem--whatshouldbetheethicalstandardsfor harm?Aglobaloruniversallevelofethicsisneeded.Toputsuchethicsintomachines,itisnecessary toreducetheinformationasymmetriesbetweenAIprogrammersandcreatorsofethicalstandards. WhileattemptingtoformulateethicalstandardsforAIandintelligentmachines,researchersand practitionersshouldtrytobetterunderstandexistingethicalprinciplessothattheywillbeableto applytheethicalprinciplestoresearchactivitiesandhelptraindeveloperstobuildethicalAIs(Wang andSiau,2018).

3.2.3. Human Rights Laws

Withouttraininginhumanrightslaws,softwareengineersmaywritecodesthatviolateandbreach keyhumanrightswithoutevenknowingit.Itiscrucialtoteachhumanrightslawstosoftware

engineers.Ensuringprivacy-by-designisimportantandmorecost-efficientthanthealternatives. AbetterknowledgeofhumanrightslawscanhelpAIdesignersandengineerseliminateoratleast alleviatethediscriminationandinvasionofprivacyissuesinAI.

3.3. Social Impact of Ethical Issues

3.3.1. Automation and Job Replacement

ThedebateonwhetherAIageandIndustry4.0(Siau,Xi,andZou,2019;WangandSiau,2019b) willcreatemorejobsoreliminatesomejobsisstillheated.Storiesoffactoryworkersbeing replacedbyautomatedsystemsandrobotsabound.SomearguethatAIwillalsocreatemillions ofnewjobswithmanyofthesejobsthatarenon-existencetoday.Nevertheless,theconcern isstillthereaboutthefutureworkforcedisruptionsintheageofAI,suchasthecooperation betweenhumansandAIagents.ThelabormarketwillbedisruptedandtransformedwithAI. Whatisnotentirelyclearisthespeedandscopeofthechange.Theterm“uselessclass”hasbeen suggestedbyHarari(2016).UniversalBasicIncome(UBI)hasbeenpilotedinsomecountries andFreedomDividend,whichisauniversalbasicincomeforallAmericanadultswithnostrings attached,isthecampaignplatformfora2020U.S.PresidentialcandidateAndrewYang.The originalintentionoftechnologydevelopmentistoassisthumansandimprovehumanlives.If automationandAIcausehugejobreplacementandunemployment,shouldwekeeptherapid paceoftechnologydevelopment?Also,howcanweprotecthumanrightsandhumanwell-being whilekeepingupwiththerapidevolutionsandrevolutionsoftechnology? 3.3.2. Accessibility Accessibility,asanethicalprinciple,referstowhethersystems,products,andservicesareavailable, accessible,andsuitableforallpeople,includingtheelderly,thehandicapped,andthedisabled. Consideringthecomplexityofnewtechnologyandhigh-techproducts,aswellastheaging populationsinsomecountries,theaccessibilityofnewtechnologywilldirectlyaffecthumanwell-being.Technologydevelopmentshouldbenefithumans.Butifonlyaportionofpeoplebenefit,isit ethicalandfair?Considerationmustbegiventodevelopingsystems,products,andservicesthatare accessibletoall,andthebenefitsofadvancedtechnologyshouldbefairlydistributedtoall(Wang andSiau,2019b).

3.3.3. Democracy and Civil Rights

UnethicalAIresultsinthefragmentationoftruthandeventuallossoftrust,andlossofsocietal supportforAItechnology.Thelossofinformedandtrustingcommunitiesdentsthestrengthsof democracies.Asdemocraciessufferandstructuralbiasesamplified,thefreeexerciseofcivilrights nolongerremainsuniformlyavailabletoall.AIethicsneedstotakeintoconsiderationdemocracy andcivilrights. Figure2summarizestheaboveethicalissuesinAI.Solvingtheseissuesproperlywillhelpto establishaframeworkforbuildingethicalAI. 4. DISCUSSIoNS

4.1. From Framework to Practice

Figure2establishestheframeworkforAIethicslistingthefactorsthatneedtobeconsideredindefining theethicsofAIinordertobuildethicalAI.EventhoughdefiningtheethicsofAIismultifaceted andconvoluted,puttingtheethicsofAIintopracticetobuildethicalAIisnoeasyfeattoo.What shouldethicalAIlooklike?Inthesimplestform,wemaydefinethatethicalAIshoulddonoharm tohumans.But,whatisharm?Whatconstituteshumanrights?Manyquestionsneedtobeanswered beforewecandesignandbuildethicalAI.ethicalsensitivitytrainingisrequiredtomakegoodethical

decisions.Intheory,AIshouldbeabletorecognizeethicalissues.IfAIiscapableofmakingdecisions, howcanwedesignanddevelopanAIthatissensitivetoethicalissues?Unfortunately,itisnoteasy toimplementinpracticeandtorealize.Long-termandsustainedeffortsareneeded.Nonetheless, understandingandrealizingtheimportanceofdevelopingethicalAIandstartingtoworkonitstep bysteparepositivestepsforward. Manyinstitutions,suchasGoogle,IBM,Accenture,Microsoft,andAtomium-EISMD,have startedworkingonbuildingethicalprinciplestoguidethedevelopmentofAI.InNovember2018, theMonetaryAuthorityofSingapore(MAS),togetherwithMicrosoftandAmazonWebServices, launchedtheFEATprinciples(i.e.,fairness,ethics,accountability,andtransparency)fortheuseof AI.Academics,practitioners,andpolicymakersshouldworktogethertowidentheengagementto establishethicalprinciplesforAIdesign,development,anduse. Withtheframeworksandprinciples,protectiveguardrailstoensureethicalbehaviorsareneeded. Goodgovernanceisnecessarytoenforcetheimplementationandadherencetothoseethicalprinciples, andalegalvoidiswaitingtobefilledbyregulatoryauthorities(Hanna,2019).Eitherbasedoncase laworaccomplishedvialegislativeandregulatoryobligations,theselegalandregulatoryinstruments willbecriticaltothegoodgovernanceofAI,whichhelpstoimplementandenforceethicsofAIto enablethedevelopmentofethicalAI. Toprotectthepublic,theU.S.haslongenactedregulatoryinstruments,suchasrulesagainst discrimination,equalemploymentopportunity,HIPAATitleII,CommercialFacialRecognition PrivacyAct,andAlgorithmicAccountabilityAct.Alltheseinstrumentswouldbeusefulinguiding thedevelopmentoflegalandregulatorypoliciesandframeworksforAIethics. Inadditiontothelegalandgovernmentrules,self-regulationplaysanimportantroleaswell. Communicationandinformationdisclosurecanhelpsocietyasawholetoensurethedevelopment anddeploymentofethicalAI.Fosteringdiscussionforumsandpublishingethicalguidelinesby companies,industries,andpolicymakerscanhelptoeducateandtrainthepublicinunderstandingthe benefitsofAIanddispellingmythsandmisconceptionsaboutAI.Besides,havingabetterknowledge oflegalframeworksonhumanrights,strengtheningthesenseofsecurity,andunderstandingthe ethicalissuesrelatedtoAI,canfostertrustinAIandenablethedevelopmentofethicalAImore efficientlyandeffectively.

4.2. ways to Educate AI to Be Ethical

Moor(2006)indicatesthreepotentialwaystotransferAItoethicalagents:totrainAIinto“implicit ethicalagents”,“explicitethicalagents”,and“fullethicalagents”.Implicitethicalagentsmean

constrainingthemachine’sactionstoavoidunethicaloutcomes.Explicitethicalagentsmeanstating explicitlywhatactionisallowedandwhatisforbidden.Fullethicalagentsmeanmachines,ashumans, haveconsciousness,intentionality,andfreewill.Animplicitethicalagentcanrestrictthedevelopment ofAI.Anexplicitethicalagentiscurrentlygettingthemostattentionandisconsideredtobemore practical(AndersonandAnderson,2007).AfullethicalagentisstillanR&Dinitiativeandoneis notsurewhenafullethicalagentwillbeareality. Whenafullethicalagentisrealized,howtotreatanAIagentthathasconsciousness,moral sense,emotion,andfeelingswillbeanothercriticalconsideration.Forinstance,isitethicalto“kill” (shutdown)anAIagentifitreplaceshumanjobsorevenendangershumanlives?Isitethicalto deployrobotsintoadangerousenvironment?Thesequestionsareintertwinedwithhumanethics andmoralvalues.

4.3. Tradeoff Between AI Ethics and AI Advancement

President-electoftheEuropeanCommissionmadeclearinherrecentlyunveiledpolicyagendathat thecornerstoneoftheEuropeanAIplanwillbetoensurethat“AImadeinEurope”ismoreethical thanAImadeanywhereelseintheworld.TheEuropeanCommissionisnottheonlyonethatis concernedaboutAIethics.ManycountriesarealsoworkingonAIethics.U.S.agenciessuchas theDepartmentofDefenseandtheDepartmentofTransportationhavelaunchedtheirinitiatives toensuretheethicaluseofAIwithintheirrespectivedomains.InChina,thegovernment-backed BeijingAcademyofArtificialIntelligencehasdevelopedtheBeijingAIPrinciplesthatrivalthose ofothercountries,andtheChineseAssociationforArtificialIntelligencehasalsodevelopeditsown ethicsguidelines.Manynon-Europeancountries,includingtheUnitedStates,havesignedontothe OrganizationforEconomicCo-operationandDevelopment’s(OECD)AIPrinciplesfocusingon “responsiblestewardshipoftrustworthyAI.” However,themakersandresearchersofAIatthistimearelikelytopaymoreattentiontohard performancemetrics,suchassafetyandreliability,orsofterperformancemetrics,suchasusability andcustomersatisfaction.Morenebulousconceptslikeethicsarenotyetthemosturgentconsideration –especiallywiththeintensecompetitionbetweencompaniesandbetweennations. Further,whilesomeconsumersmaypaylipservicetoethicaldesign,theirwordsdonotmatch theiractions.Forexample,amongconsumerswhosaidtheydistrusttheInternet,only12%reportusing technologicaltools,suchasvirtualprivatenetwork,toprotecttheirdata,accordingtoaworldwideIpsos survey(CIGI-Ipsos,2019).Instead,themostimportantfactorsinfluencingconsumers’purchasing decisionsarestillthepriceandquality.Rightnow,consumerscaremoreaboutwhatAIcandorather thanwhetherallAI’sactionsareethical. ThissituationmayputcompaniesandinstitutionswhicharedevelopingAIinatradeoffsituation --whethertofocusonAIadvancementtorealizeprofitmaximization,ortofocusonAIethicsto ensuresocietalbenefitsfromAIinnovations. 5. CoNCLUSIoN UnderstandingandaddressingethicalandmoralissuesrelatedtoAIisstillintheinfancystage.AI ethicsisnotsimplyabout“rightorwrong”,“goodorbad”,and“virtueandvice”.Itisnotevena problemthatcanbesolvedbyasmallgroupofpeople.However,ethicalandmoralissuesrelatedto AIarecriticalandneedtobediscussednow.Thisresearchaimstocallattentiontotheurgentneed forvariousstakeholderstopayattentiontotheethicsandmoralityofAIagents.Whileattemptingto formulatetheethicsofAItoenablethedevelopmentofethicalAI,wewillalsounderstandhuman ethicsbetter,improvetheexistingethicalprinciples,andenhanceourinteractionswithAIagentsinthis AIage.AIethicsshouldbethecentralconsiderationindevelopingAIagentsandnotanafterthought. ThefutureofhumanitymaydependonthecorrectdevelopmentofAIethics!

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Keng Siau is Chair of the Department of Business and Information Technology at the Missouri University of Science and Technology. Previously, he was the Edwin J. Faulkner Chair Professor and Full Professor of Management at the University of Nebraska-Lincoln (UNL), where he was Director of the UNL-IBM Global Innovation Hub. Dr. Siau also served as VP of Education for the Association for Information Systems. He has written more than 300 academic publications, and is consistently ranked as one of the top information systems researchers in the world based on the h-index and productivity rate. Dr. Siau’s research has been funded by the U.S. National Science Foundation, IBM, and other IT organizations. He has received numerous teaching, research, service, and leadership awards, including from the International Federation for Information Processing Outstanding Service Award, the IBM Faculty Award, and the IBM Faculty Innovation Award. Dr. Siau received his Ph.D. in Business Administration from the University of British Columbia. He can be reached at siauk@mst.edu.

Weiyu Wang holds a Master of Science degree in Information Science and Technology and an MBA from the Missouri University of Science and Technology. Her research focuses on the impact of artificial intelligence (AI) on economy, society, and mental well-being. She is also interested in the governance, ethical, and trust issues related to AI. She can be reached at wwpmc@mst.edu.