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ETHICALLY ALIGNED DESIGN

A Vision for Prioritizing Human Well-being

with

Autonomous and Intelligent Systems

First Edition

The IEEE Global Initiative on Ethics of Autonomous and Intelligent Systems

Table of Contents

This work is licensed under a

Creative Commons Attribution-NonCommercial 4.0 United States License. The views and opinions expressed in this collaborative work are those of the authors and do not necessarily reflect the official policy or position of their respective institutions or of the Institute of Electrical and Electronics Engineers (IEEE). This work is published under the auspices of the IEEE Global Initiative on Ethics of Autonomous and Intelligent Systems for the purposes of furthering public understanding of the importance of addressing ethical considerations in the design of autonomous and intelligent systems. Please see page 290, How the Document Was Prepared, for more details regarding the preparation of this document.

Introduction 2

Executive Summary

3 -6

Acknowledgements

7-8

Ethically Aligned Design

From Principles to Practice 9-16

General Principles

1 7-35

Classical Ethics in A/IS

3 6-67

Well-being

6 8-89

Affective Computing

90
-109

Personal Data and Individual Agency

1

10-123

Methods to Guide Ethical Research and Design

1

24-139

A/IS for Sustainable Development

1

40-168

Embedding Values into Autonomous and Intelligent Systems 1

69-197

Policy

198-210

Law 2

11-281

About

Ethically Aligned Design

The Mission and Results of The IEEE Global Initiative 282 From Principles to Practice—Results of Our Work to Date 2

83-284

IEEE P7000™ Approved Standardization Projects

2

85-286

Who We Are

2 87

Our Process

2

88-289

How the Document was Prepared

2 90

How to Cite

Ethically Aligned Design

290

Key References

2 91

Table of Contents

The IEEE Global Initiative on Ethics of Autonomous and Intelligent Systems

This work is licensed under a

Creative Commons Attribution-NonCommercial 4.0 United States License. 2 The IEEE Global Initiative on Ethics of Autonomous and Intelligent Systems

Introduction

This work is licensed under a

Creative Commons Attribution-NonCommercial 4.0 United States License. As the use and impact of autonomous and intelligent systems (A/IS) become pervasive, we need to establish societal and policy guidelines in order for such systems to remain human-centric, serving humanity"s values and ethical principles. These systems must be developed and should operate in a way that is benecial to people and the environment, beyond simply reaching functional goals and

addressing technical problems. This approach will foster the heightened level of trust between people

and technology that is needed for its fruitful use in our daily lives. To be able to contribute in a positive, non-dogmatic way, we, the techno-scientic communities, need to enhance our self-reection. We need to have an open and honest debate around our explicit or implicit values, including our imaginary 1 around so-called “Articial Intelligence" and the institutions, symbols, and representations it generates.

Ultimately, our goal should be

eudaimonia, a practice elucidated by Aristotle that denes human

well-being, both at the individual and collective level, as the highest virtue for a society. Translated

roughly as “ourishing", the benets of eudaimonia begin with conscious contemplation, where ethical considerations help us dene how we wish to live. Whether our ethical practices are Western (e.g., Aristotelian, Kantian), Eastern (e.g., Shinto, /School of Mo, Confucian), African (e.g., Ubuntu), or from another tradition, honoring holistic denitions of

societal prosperity is essential versus pursuing one-dimensional goals of increased productivity or gross

domestic product (GDP). Autonomous and intelligent systems should prioritize and have as their goal

the explicit honoring of our inalienable fundamental rights and dignity as well as the increase of human

ourishing and environmental sustainability. The goal of The IEEE Global Initiative on Ethics of Autonomous and Intelligent Systems (“The IEEE

Global Initiative") is that

Ethically Aligned Design

will provide pragmatic and directional insights and

recommendations, serving as a key reference for the work of technologists, educators and policymakers

in the coming years.

Ethically Aligned Design

sets forth scientic analysis and resources, high-level principles, and actionable recommendations. It offers specic guidance for standards, certication, regulation or legislation for

design, manufacture, and use of A/IS that provably aligns with and improves holistic societal well-being.

1

The symbols, values, institutions, and norms of a societal group through which people imagine their lives and constitute their societies.

3 The IEEE Global Initiative on Ethics of Autonomous and Intelligent Systems

Introduction

This work is licensed under a

Creative Commons Attribution-NonCommercial 4.0 United States License.

I. Purpose of

Ethically Aligned Design, First Edition

(EAD1e) Autonomous and intelligent technical systems are specically designed to reduce the necessity for human intervention in our day-to-day lives. In so doing, these new systems are also raising concerns about their impact on individuals and societies. Current discussions include advocacy for a positive impact, such as optimization of processes and resource usage, more informed planning and decisions,

and recognition of useful patterns in big data. Discussions also include warnings about potential harm to

privacy, discrimination, loss of skills, adverse economic impacts, risks to security of critical infrastructure,

and possible negative long-term effects on societal well-being.

Because of their nature, the full benet of these technologies will be attained only if they are aligned

with society"s dened values and ethical principles. Through this work we intend, therefore, to establish

frameworks to guide and inform dialogue and debate around the non-technical implications of these

technologies, in particular related to ethical aspects. We understand “ethical" to go beyond moral

constructs and include social fairness, environmental sustainability, and our desire for self-determination.

Our analyses and recommendations in

Ethically Aligned Design

address values and intentions as well

as implementations, both legal and technical. They are both aspirational, what we hope or wish should

happen, and practical, what we—the techno-scientic community and every group involved with and/or

affected by these technologies—could do for society to advance in positive directions. The analyses and

recommendations in EAD1e are offered as guidance for consideration by governments, businesses, and the public at large in the advancement of technology for the benet of humanity.

Chapters in

Ethically Aligned Design, First Edition

1. Fr om Principles to Practice

2. G eneral Principles 3. C lassical Ethics in A/IS 4.

Well-being

5. A ffective Computing 6. P ersonal Data and Individual Agency7. Methods to Guide Ethical Research and Design 8. A /IS for Sustainable Development 9. E mbedding Values into Autonomous an d Intelligent Systems 10.

Policy

11. L aw

Executive Summary

4 The IEEE Global Initiative on Ethics of Autonomous and Intelligent Systems

Introduction

This work is licensed under a

Creative Commons Attribution-NonCommercial 4.0 United States License.

II. General Principles

The ethical and values-based design,

development, and implementation of autonomous and intelligent systems should be guided by the following General Principles: 1. H uman Rights A /IS shall be created and operated to respect, pr omote, and protect internationally re cognized human rights. 2.

Well-being

A /IS creators shall adopt increased human w ell-being as a primary success criterion f or development. 3. D ata Agency A /IS creators shall empower individuals with t he ability to access and securely share their d ata, to maintain people"s capacity to have c ontrol over their identity. 4.

Effectiveness

A /IS creators and operators shall provide e vidence of the effectiveness and tness f or purpose of A/IS. 5. T ransparency T he basis of a particular A/IS decision should al ways be discoverable. 6.

Accountability

A /IS shall be created and operated to provide an u nambiguous rationale for all decisions made. 7. A wareness of Misuse A /IS creators shall guard against all potential m isuses and risks of A/IS in operation. 8.

Competence

A /IS creators shall specify and operators shall a dhere to the knowledge and skill required f or safe and effective operation.

III. Ethical Foundations

Classical Ethics

By drawing from over two thousand ve

hundred years of classical ethics traditions, the authors of

Ethically Aligned Design

explored established ethics systems, addressing both scientic and religious approaches, including secular philosophical traditions, to address human morality in the digital age. Through reviewing the philosophical foundations that dene autonomy and ontology, this work addresses the alleged potential for autonomous capacity of intelligent technical systems, morality in amoral systems, and asks whether decisions made by amoral systems can have moral consequences.

IV. Areas of Impact

A/IS for Sustainable Development

Through affordable and universal access to

communications networks and the Internet, autonomous and intelligent systems can be made available to and benet populations anywhere. They can signicantly alter institutions and institutional relationships toward more human-centric structures, and they can address humanitarian and sustainable development issues resulting in increased individual societal and environmental well-being. Such efforts could be facilitated through the recognition of and adherence to established indicators of societal ourishing such as the United Nations Sustainable

Development Goals so that human well-being is

utilized as a primary success criteria for

A/IS development.

5 The IEEE Global Initiative on Ethics of Autonomous and Intelligent Systems

Introduction

This work is licensed under a

Creative Commons Attribution-NonCommercial 4.0 United States License.

Personal Data Rights and Agency

Over Digital Identity

People have the right to access, share, and

benet from their data and the insights it provides. Individuals require mechanisms to help create and curate the terms and conditions regarding access to their identity and personal data, and to control its safe, specic, and nitequotesdbs_dbs33.pdfusesText_39

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