Table Of ContentSPRINGER BRIEFS IN RESEARCH AND
INNOVATION GOVERNANCE
Bernd Carsten Stahl
Artificial Intelligence
for a Better Future
An Ecosystem Perspective
on the Ethics of AI
and Emerging Digital
Technologies
Foreword by Julian Kinderlerer
SpringerBriefs in Research and Innovation
Governance
Editors-in-Chief
DorisSchroeder,CentreforProfessionalEthics,UniversityofCentralLancashire,
Preston,Lancashire,UK
KonstantinosIatridis,SchoolofManagement,UniversityofBath,Bath,UK
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Bernd Carsten Stahl
Artificial Intelligence
for a Better Future
An Ecosystem Perspective on the Ethics of AI
and Emerging Digital Technologies
Foreword by Julian Kinderlerer
BerndCarstenStahl
CentreforComputingandSocialResponsibility
DeMontfortUniversity
Leicester,UK
Horizon2020FrameworkProgrammeThebookwillbeprimarilybasedonworkthatwas
and is undertaken in the SHERPA project (www.project-sherpa.eu). It can, however, draw
onsignificantamountsofworkundertakeninotherprojects,notablyResponsible-Industry
(www.responsible-industry.eu), ORBIT (www.orbit-rri.org) and the Human Brain Project
(www.humanbrainproject.eu).TheSHERPAconsortiumhas11partnersfromsixEuropean
countries(representingacademia,industry,civilsociety,standardsbodies,ethicscommittees,
art).
ISSN2452-0519 ISSN2452-0527 (electronic)
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Foreword
The volume of data collected daily about each of us, as we use the internet and
socialmedia,isimmense.Thatdatacanbeusedinallsortsofways,fromtracking
ourbehaviourtoensuringthatadvertisingandinformationaretailoredforspecific
individuals. Collated data may also be used to provide the raw material for Arti-
ficial Intelligence (AI) systems. Computers have become ubiquitous and are used
tocontroloroperateallmannerofeverydayitemsinwaysthatwereunimaginable
onlyafewyearsago.Smartphones,abletotrackwhereweareandwhowemeet,
arecommonplace.Autonomousweaponscapableofdecidingindependentlywhatto
attackandwhenarealreadyavailabletogovernments—and,byextension,toterror-
ists. Digital trading systems are being used to rapidly influence financial markets,
with just 10% of trading volume now coming from human discretionary investors
(Kolakowski2019).AIsystemscan(andare)beingusedtoredefinework,replacing
humans “with smart technology in difficult, dirty, dull or dangerous work” (EGE
2018:8).Thelossofjobsislikelytobecomeamajorfactorinwhatisnowtermed
the “post-industrial society”. New jobs and new opportunities for humans need to
becreated.Inmedicine,AIisassistinginthediagnosisofillnessanddisease,inthe
designofnewdrugsandinprovidingsupportandcaretothosesufferingillhealth.
In many instances, AI remains under the control of users and designers, but in
increasingnumbersofapplications,thebehaviourofasystemcannotbepredicted
bythoseinvolvedinitsdesignandapplication.Informationisfedintoa“blackbox”
whoseoutputmayaffectmanypeoplegoingabouttheirdailylives:
Withoutdirecthumaninterventionandcontrolfromoutside,smartsystemstodayconduct
dialogueswithcustomersinonlinecall-centres,steerrobothandstopickandmanipulate
objectsaccuratelyandincessantly,buyandsellstockatlargequantitiesinmilliseconds,
directcarstoswerveorbrakeandpreventacollision,classifypersonsandtheirbehaviour,
orimposefines.(EGE2018:6)
Newlydevelopedmachinesareabletoteachthemselvesandeventocollectdata.
Facialrecognitionsystemsscancrowdsastheymaketheirwaythroughthestreets
todetectpresumedtroublemakersormiscreants.
Weneedtoensurethatthevaluesweholdasasocietyarebuiltintothesystems
we take into use, systems which will inevitably change our lives and those of our
v
vi Foreword
children.TheCharterofFundamentalRightsoftheEuropeanUniondelineatesthe
valuesthatsocietywishestoseeimplemented.Thosedesigningthesesystemsand
draftingthealgorithmsthatdrivethemneedtobeawareoftheethicalprinciplesthat
underliesociety.MargaretThatcheroncesaidthat“there’snosuchthingassociety”
(Thatcher2013),butrathertherewereindividuals.TheriseofAIischangingthat,
aswebecomeidentifiablecipherswithinthebigdatausedforAI.AIsystemshave
toensurethesafetyandsecurityofcitizens,andprovidethesafeguardsenshrinedin
theCharter.
Controlofbigdata,andoftheAIrevolution,isinthehandsofasmallgroupof
super-national(ormultinational)companiesthatmayormaynotrespecttherights
ofpeopleastheyuseourinformationforcommercialorpoliticalpurposes.
TheadventofAIhasgivenmuchtosociety,andoughttobeaforceforgood.This
bookthereforecomesatanimportantjunctureinitsdevelopment.BerndStahlleads
a major project, SHERPA (Shaping the Ethical Dimensions of Smart Information
Systems),whichhasanalysedhowAIandbigdataanalyticsimpactethicsandhuman
rights.TherecommendationsandideasBerndputsforwardinthisbookarethought-
provoking–anditiscrucialthatweallthinkabouttheissuesraisedbytheimpact
ofAIonoursociety.
Theseareexcitingtimes!
Sheffield,England JulianKinderlerer
References
EGE(2018)EuropeanGrouponEthicsinScienceandNewTechnologies:Statementonartificial
intelligence,roboticsand“autonomous”systems.EuropeanCommission,Brussels.https://doi.
org/10.2777/531856
KolakowskiM(2019)Howrobotsrulethestockmarket(SPX,DJIA).Investopedia,25June.https://
www.investopedia.com/news/how-robots-rule-stock-market-spx-djia/.Accessed10Nov2020
ThatcherM(2013)MargaretThatcher:alifeinquotes.TheGuardian,8April.https://www.thegua
rdian.com/politics/2013/apr/08/margaret-thatcher-quotes.Accessed10Nov2020
EmeritusProf.JulianKinderlerer isavisitingProfessorintheSchoolofLawattheUniversity
ofKwaZulu-Natal,EmeritusProfessorofIntellectualPropertyLawattheUniversityofCapeTown
andformerProfessorofBiotechnologyandSocietyatDelftUniversityofTechnology.Heisthe
immediatepastpresidentoftheEuropeanGrouponEthicsinScienceandNewTechnologies(EGE),
whichadvisestheEuropeanCommission,CouncilandParliamentonethicalissues.Hehasacted
asaDirectorattheUnitedNationsEnvironmentProgrammeprovidingguidancetocountrieson
legislationandregulationfortheuseoflivingmodifiedorganisms,andwasamemberoftheadvisory
boardfortheSHERPAproject.
Acknowledgements
Thisbookcouldnothavecomeintoexistencewithoutthecontributionsandsupport
ofmanygroupsandindividualsinarangeofprojects.Iwouldliketothankeverybody
whohascontributedtotheseprojectsandwithwhomIhavecollaboratedoverthe
years.
ParticularthanksareduetothemembersoftheSHERPAconsortiumfordoing
muchoftheworkthatinformsthisbook.Ifurthermoreowethankstocontributorsand
collaboratorsfromotherprojects,notablytheHumanBrainProject,theResponsible-
Industryproject,theCONSIDERprojectandtheETICAproject.Specialthanksare
due to Doris Schroeder, who supported the development of this book, not only as
a project colleague but also as the series editor, and facilitated its publication by
Springer.
ThebookfurthermoreowesmuchtoinputfromcolleaguesatDeMontfortUniver-
sity, in particular the members of the Centre for Computing and Social Responsi-
bility.IhopethisvolumecontributestotherichresearchrecordthattheCentrehas
establishedsince1995.
The book has been expertly and speedily copy-edited by Paul Wise, a brilliant
editorinSouthAfrica.IalsowanttothankJulianaPitanguyatSpringerforoverseeing
thepublishingprocess.
Myfinalthanksgotomyfamily,whoallowedmetolockmyselfawayevenmore
thanlegallyrequiredduringthepandemic-inducedtimeofsocialisolationinwhich
thebookwaswritten.
ThisresearchreceivedfundingfromtheEuropeanUnion’sHorizon2020Frame-
workProgrammeforResearchandInnovationunderGrantAgreementsNo.786641
(SHERPA),No.785907(HumanBrainProjectSGA2)andNo.945539(HumanBrain
Project SGA3), and the Framework Partnership Agreement No. 650003 (Human
BrainProjectFPA).
vii
Contents
1 Introduction ................................................... 1
References ..................................................... 4
2 PerspectivesonArtificialIntelligence ............................. 7
2.1 MachineLearningandNarrowAI ............................ 9
2.2 GeneralAI ................................................ 11
2.3 AIasConvergingSocio-TechnicalSystems .................... 12
References ..................................................... 15
3 ConceptsofEthicsandTheirApplicationtoAI ................... 19
3.1 EthicalTheories ............................................ 20
3.2 AIforHumanFlourishing ................................... 21
3.3 PurposesofAI ............................................. 23
3.4 TheoreticalPerspectivesonHumanFlourishing ................. 26
3.5 EthicalPrinciplesofAI ..................................... 28
References ..................................................... 30
4 EthicalIssuesofAI ............................................. 35
4.1 EthicalBenefitsofAI ....................................... 35
4.2 EmpiricalAccountsofEthicalIssuesofAI ..................... 37
4.3 EthicalIssuesArisingfromMachineLearning .................. 40
4.4 GeneralIssuesRelatedtoLivinginaDigitalWorld ............. 42
4.5 MetaphysicalIssues ........................................ 45
References ..................................................... 50
5 AddressingEthicalIssuesinAI .................................. 55
5.1 OptionsatthePolicyLevel .................................. 55
5.1.1 PolicyAimsandInitiatives ............................ 56
5.1.2 LegislationandRegulation ............................ 56
5.1.3 AIRegulator ........................................ 59
5.2 OptionsattheOrganisationalLevel ........................... 60
5.2.1 IndustryCommitments ................................ 60
5.2.2 OrganisationalGovernance ............................ 61
5.2.3 StrategicInitiatives ................................... 64
ix
x Contents
5.2.4 EmpiricalInsightsintoAIEthicsinOrganisations ........ 65
5.3 GuidanceMechanisms ...................................... 66
5.4 AIEthicsStakeholders ...................................... 71
References ..................................................... 74
6 AIEcosystemsforHumanFlourishing:TheBackground .......... 81
6.1 AnEcosystemsViewofAI .................................. 81
6.1.1 AIInnovationEcosystems ............................. 82
6.2 Ethicsofandin(Eco)Systems ................................ 87
References ..................................................... 88
7 AIEcosystemsforHumanFlourishing:TheRecommendations ..... 91
7.1 ChallengesofEthicalGovernanceoftheAIEcosystem .......... 91
7.2 RequirementsforShapingtheAIEcosystem ................... 96
7.2.1 ClearBoundaryoftheEcosystem ...................... 96
7.2.2 KnowledgeandCapacity .............................. 98
7.2.3 GovernancePrinciplesofAIEcosystems ................ 101
7.3 ShapingAIEcosystems ..................................... 103
7.3.1 ConceptualClarification:MoveBeyondAI .............. 104
7.3.2 Excellence and Flourishing: Recognise Their
Interdependence ..................................... 105
7.3.3 Measurements of Flourishing: Understanding
ExpectedImpacts .................................... 106
7.3.4 AIBenefits,RisksandCapabilities:Communication,
KnowledgeandCapacityBuilding ...................... 108
7.3.5 StakeholderEngagement:UnderstandingSocietal
Preferences ......................................... 109
7.3.6 Responsibility for Regulation and Enforcement:
DefiningtheCentralNode(s)oftheAIEcosystems ....... 110
References ..................................................... 112
8 Conclusion .................................................... 117
Index ............................................................. 123
