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Open Access 2024 | Open Access | Buch

Buchtitelbild

Business Data Ethics

Emerging Models for Governing AI and Advanced Analytics

verfasst von: Dennis Hirsch, Timothy Bartley, Aravind Chandrasekaran, Davon Norris, Srinivasan Parthasarathy, Piers Norris Turner

Verlag: Springer International Publishing

Buchreihe : SpringerBriefs in Law

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This open access book explains how leading business organizations attempt to achieve the responsible and ethical use of artificial intelligence (AI) and other advanced information technologies. These technologies can produce tremendous insights and benefits. But they can also invade privacy, perpetuate bias, and otherwise injure people and society. To use these technologies successfully, organizations need to implement them responsibly and ethically. The question is: how to do this? Data ethics management, and this book, provide some answers.

The authors interviewed and surveyed data ethics managers at leading companies. They asked why these experts see data ethics as important and how they seek to achieve it. This book conveys the results of that research on a concise, accessible way.

Much of the existing writing on data and AI ethics focuses either on macro-level ethical principles, or on micro-level product design and tooling. The interviews showed that companies need a third component: data ethics management. This third element consists of the management structures, processes, training and substantive benchmarks that companies use to operationalize their high-level ethical principles and to guide and hold accountable their developers. Data ethics management is the connective tissue makes ethical principles real. It is the focus of this book.

This book should be of use to organizations that wish to improve their own data ethics management efforts, legislators and policymakers who hope to build on existing management practices, scholars who study beyond compliance business behavior, and members of the public who want to understand better the threats that AI poses and how to reduce them.

Inhaltsverzeichnis

Frontmatter

Open Access

Chapter 1. Introduction
Abstract
Business use of artificial intelligence (AI) can produce tremendous insights and benefits. But it can also invade privacy, perpetuate bias, and produce other harms that injure people and damage business reputation. To succeed in today’s economy, companies need to implement AI in a responsible and ethical way. The question is: How to do this? This book points the way. The authors interviewed and surveyed AI ethics managers at leading companies. They asked why these experts see AI ethics as important, and how they seek to achieve it. This book conveys the results of that research on a concise, accessible way that readers should be able to apply to their own organizations. Much of the existing writing on AI ethics focuses either on macro-level AI ethics principles, or on micro-level product design and tooling. The interviews showed that companies need a third component: data and AI ethics management. This third component consists of the management structures, processes, training and substantive benchmarks that companies use to operationalize their high-level data and AI ethics principles and to guide and hold accountable their developers. AI ethics management is the connective tissue that makes AI ethics principles real. It is the focus of this book.
Dennis Hirsch, Timothy Bartley, Aravind Chandrasekaran, Davon Norris, Srinivasan Parthasarathy, Piers Norris Turner

Open Access

Chapter 2. Studying Data Ethics Management: Research Methodology
Abstract
This chapter outlines our approach to investigating how corporations manage the threats and risks that their use of advanced analytics can create. Specifically, we deploy a mixed method research design combining insights from semi-structured interviews and an original survey of business data ethics managers as well as the attorneys, consultants, and think tanks who advise them. The interviews and survey hone in on five key areas of inquiry: (1) the risks big data can create, (2) motivations for why businesses attempt to mitigate the risks of big data when the law does not yet require them do so, (3) how businesses manage these risks via frameworks, management processes, and/or technological solutions, (4) how businesses attempt to use advanced analytics and AI for the social good, and (5) the broader regulatory and legal environment within which data ethics management operates. By using multiple research methods and focusing on multiple dimensions of corporate use of analytics, our analysis provides an entrée into the state of the art of data ethics management.
Dennis Hirsch, Timothy Bartley, Aravind Chandrasekaran, Davon Norris, Srinivasan Parthasarathy, Piers Norris Turner

Open Access

Chapter 3. Risks: From Privacy and Manipulation to Bias and Displacement
Abstract
This chapter leverages findings from both our semi-structured interviews and original survey to discuss the types of risks central to how data ethics managers and their advisors think about advanced analytics and AI. Both survey respondents and interview participants highlighted a broad range of concerns raised by their use of advanced analytics ranging from invasion of privacy and manipulation to bias against protected classes and concerns about power imbalances. While the risks were wide ranging, some risks received more attention than others. Respondents were far more focused on privacy, bias, errors and problems of opacity than on concerns of manipulation or the negative effects technology can have on displacing labor. Understanding the variation in the types of concerns and the unevenness in attention to different risks is critical as such variation likely lends itself to differences in the types of processes and structures organizations develop to manage those risks.
Dennis Hirsch, Timothy Bartley, Aravind Chandrasekaran, Davon Norris, Srinivasan Parthasarathy, Piers Norris Turner

Open Access

Chapter 4. What is Business Data Ethics Management?
Abstract
The law, including privacy law, lags the rapid development of advanced analytics and AI. As a result, compliance with the law is not sufficient to protect individuals or society from the threats that corporate use of these technologies can create. To protect people against these risks, and so to safeguard their own reputations and live by their values, companies need to do more than the law requires. As the interviewees described it, business “data ethics” management consists of the ways in which a company determines how far it wants to go beyond legal minimums, and how it seeks to achieve this goal. As a result, data ethics in the current period is largely a question of beyond compliance principles and assessments, even as legal norms continue to evolve. The literature has described such beyond compliance behavior with respect to corporate environmental performance. This Book documents beyond compliance behavior with respect to business governance of advanced analytics and AI.
Dennis Hirsch, Timothy Bartley, Aravind Chandrasekaran, Davon Norris, Srinivasan Parthasarathy, Piers Norris Turner

Open Access

Chapter 5. Motivations—Why Do Companies Pursue Data Ethics?
Abstract
This chapter examines the reasons that companies go beyond compliance to engage in data ethics management. Our research suggests that a range of different pressures and incentives may encourage companies to adopt data ethics policies. These include issues of corporate and industry reputation (particularly in the wake of scandals), emerging or looming regulation (in both the U.S. and other jurisdictions, especially the EU), demand from employees, and strategic interests in improving decision-making and gaining competitive advantages. Delving into reputational dynamics, the chapter considers the role of data ethics policies in gaining trust not only with consumers/users but also with regulators and business partners. Using our survey data, we examine how types of markets (business-to-business vs. business-to-consumer), media and stakeholder pressures, and perceptions of regulation may be related to whether companies have a data ethics policy or not.
Dennis Hirsch, Timothy Bartley, Aravind Chandrasekaran, Davon Norris, Srinivasan Parthasarathy, Piers Norris Turner

Open Access

Chapter 6. Drawing Substantive Lines
Abstract
This chapter discusses the benchmarks and standards companies use to distinguish between ethical and unethical uses of advanced analytics and AI. In recent years scholars, governmental bodies, multi-stakeholder groups, industry think tanks, and even individual companies have issued model sets of data ethics and AI ethics principles. These model principles provide an initial reference point for setting substantive standards. However, the breath and ambiguity of these principles, and the conflicts among them, make it difficult for companies to operationalize them in all-things-considered decisions. In our study, most companies accordingly grounded their data ethics decisions, not on abstract ethical principles, but on intuitive benchmarks such as the Golden Rule or what “feels right.” Such gut-level standards, while potentially useful for approximating public expectations, are difficult to teach or apply consistently. Companies need substantive standards that are more actionable than high-level principles, and more standardized than intuitive judgment calls. They need generalizable policies that draw the line between ethical and unethical applications of advanced analytics and AI. How best to generate such company-specific policies remains an open question. One company said they did this by capturing past data ethics decisions and using them as “precedents” to guide future such decisions.
Dennis Hirsch, Timothy Bartley, Aravind Chandrasekaran, Davon Norris, Srinivasan Parthasarathy, Piers Norris Turner

Open Access

Chapter 7. Management Structures and Functions
Abstract
This chapter discusses the organizational challenges that businesses face when they pursue data ethics management and the development, in response to these challenges, of new organizational roles and structures to manage data ethics. The nature of data ethics management requires organizations to move away from traditional compliance or quality control check modes and towards prevention of ethically problematic actions. Some organizations have proactively begun to develop new organizational roles and structures that can help standardize data ethics management practices. New roles, such as the Data Ethics Officer, have emerged, as have new entities such as the Data or AI Ethics Committee. These new positions and committees make difficult data ethics decisions and translate new knowledge about data ethics into organizational practices. After introducing these new structures and functions, we discuss the importance of role clarity (i.e., who is responsible for data ethics) within organizations and its relationship with developing organizational structure to support data ethics management.
Dennis Hirsch, Timothy Bartley, Aravind Chandrasekaran, Davon Norris, Srinivasan Parthasarathy, Piers Norris Turner

Open Access

Chapter 8. Management Processes
Abstract
  • Management processes are essential to an organization’s ability to spot and address ethical issues. In this chapter we investigate the types of processes used by organizations to manage ethical risks related to their use of advanced analytics and AI. We find that it is typical for organizations to develop processes for spotting ethical issues, escalating them to the appropriate decision-maker, and for reaching decisions about these issues. There is no single “silver bullet” approach to these vital data ethics management tasks and we saw a variety of practices. Some organizations placed data ethics professionals at various parts of the organization to spot ethical issues and escalate them to the center. Others employed checklists for data scientists, or consultation with external advisors. For decision-making, some organizations deployed a cross-functional data ethics committee. The committees at some companies operated with more autonomy and authority than those at others. We conclude this chapter by discussing how organizations can go beyond their traditional boundaries and institute processes that govern, not only the company’s own use of advanced analytics and AI, but also that of their suppliers and customers.
Dennis Hirsch, Timothy Bartley, Aravind Chandrasekaran, Davon Norris, Srinivasan Parthasarathy, Piers Norris Turner

Open Access

Chapter 9. Technical Solutions
Abstract
This chapter reviews the technological solutions that organizations leverage to ensure the ethical management and downstream use of collected data for building analytic and AI models. Survey respondents discussed solutions that ranged from privacy preserving data management strategies such as differential privacy, to the use of virtualization and data lake control systems for secure access. Survey respondents also keyed in on the clear and pressing need for data and algorithmic auditing technology and systems to support ethical data governance. With respect to how such data is used ethically, respondents identified the importance of algorithmic fairness as well as model transparency as essential to help identify and also mitigate risks associated with real world modeling failures.
Dennis Hirsch, Timothy Bartley, Aravind Chandrasekaran, Davon Norris, Srinivasan Parthasarathy, Piers Norris Turner

Open Access

Chapter 10. Data Analytics for the Social Good
Abstract
This chapter describes instances in which companies intentionally use advanced analytics and AI to serve the social good without any direct benefit to their own bottom lines. Broadly speaking, we found two types of “social good” projects. Some employed approaches to learn about, and inform individuals of, risks or opportunities to improve their lives. Others provided information to public bodies that enabled them to improve their planning efforts or efficiency, such as utilizing location data to improve evacuation planning during natural disasters or to track infectious diseases. The research suggested that companies are cognizant of the need to attend both to moral values and to the interests of a broad set of stakeholders, and of the fact that doing so can build trust and contribute to the company’s own well-being. In our study, many companies expressed a willingness to enter into beyond compliance ethical thinking in recognition of the convergence of their own business interests with the demands of trustworthy and responsible decision-making. These efforts raise interesting questions about companies’ moral obligation to pursue the public good and how companies will behave when the public and corporate good diverge.
Dennis Hirsch, Timothy Bartley, Aravind Chandrasekaran, Davon Norris, Srinivasan Parthasarathy, Piers Norris Turner

Open Access

Chapter 11. Conclusion
Abstract
This book began with a description of an ethical dilemma: whether an issuer of subprime credit cards should cut in half the credit limits of customers who use their card to pay for marital counseling. This Conclusion illustrates how an organization could use the data ethics management strategies described in the prior chapters to arrive at a responsible answer to this question.
Dennis Hirsch, Timothy Bartley, Aravind Chandrasekaran, Davon Norris, Srinivasan Parthasarathy, Piers Norris Turner
Metadaten
Titel
Business Data Ethics
verfasst von
Dennis Hirsch
Timothy Bartley
Aravind Chandrasekaran
Davon Norris
Srinivasan Parthasarathy
Piers Norris Turner
Copyright-Jahr
2024
Electronic ISBN
978-3-031-21491-2
Print ISBN
978-3-031-21490-5
DOI
https://doi.org/10.1007/978-3-031-21491-2