Professional Documents
Culture Documents
Information,
Communication &
Society
Publication details, including
instructions for authors and
subscription information:
http://www.tandfonline.com/loi/
rics20
ETHICS, REGULATION
AND THE NEW
ARTIFICIAL
INTELLIGENCE, PART I:
ACCOUNTABILITY AND
POWER
Perri 6
Published online: 07 Dec 2010.
www.tandfonline.com/page/terms-and-conditions
Information, Communication & Society 4:2 2001 199–229
Perri 6
King’s College, London, UK
Abstract
A generation ago, there was a major debate about the social and ethical
Downloaded by [Northeastern University] at 15:51 09 October 2014
Keywords
This is the first of a two-part series of articles concerned with the social,
ethical and public policy challenges raised by the new AI. The article begins
with a discussion of the popular and expert fears associated down the ages with
the ambition of AI. The article uses a neo-Durkheimian theoretical framework:
for reasons of space, the interested reader is referred to other works for a full
explanation of the theoretical basis of this approach. The argument is presented
that the common and enduring theme of an AI takeover arising from the
autonomous decision-making capability of AI systems, most recently resurrected
by Professor Kevin Warwick, is misplaced. However, there are some genuine
practical issues in the accountability of AI systems that must be addressed, and in
the second half of the article, ethical issues of design, management and translation
are addressed.
It is twenty- ve years since the rst edition of Joseph Weizenbaum’s (1984 [1976])
Computer Power and Human Reason: From Judgment to Calculation appeared,
questioning the ethics of some of the ambitions of the arti cial intelligence (AI)
community at that time. Weizenbaum feared that AI advocates, what ever the
practical achievements of their programmes and tools, might effect an uncivilizing
change, and that they might persuade people that problems which call for
complex, humane, ethical and reective judgment should be reduced to crude
optimization upon a small number of variables. Such arguments resonated with
Downloaded by [Northeastern University] at 15:51 09 October 2014
the resurgence of much older fears during the second half of the 1970s through
to the later 1980s. In the same years, Habermas (1989), in writing about his alarm
about what he called the colonization of the life-world by instrumental reason,1
was breathing new life into Weber’s (1976) fear in the rst two decades of the
twentieth century about the coming of the ‘iron cage’ of reason. Fears about the
dangers of intelligent technology long pre-dates Mary Shelley’s Frankenstein , or
even Rabbi Loeuw’s Golem, and it continues to recur at various points in our social
history (Winner 1977).
Fears about AI cluster around several themes, of which three are of central
importance. In the extreme variant, which will be discussed in this rst article,
the fear is of AI as all-powerful, or as the tyrant out of control. In this rst article
(in a two-part series), I argue that this is vastly overstated. However, I suggest that
it does raise important issues of both design and regulation for the accountability
of AI systems.
Secondly, the opposite fear of AI as highly vulnerable is also evident. This is the
fear that we shall nd these systems so benign and so reliable that we shall become
so routinely dependent upon their operations, with the result that any systemic
failure – whether resulting from natural causes, from technical weaknesses, from
the incomprehensibility of the labyrinth of inherited systems making repair almost
impossible (as was expected by some to be the case with the so-called ‘millennium
bug’), or from malevolent human guided attack by information warfare – could
bring our society to its knees, just as completely as denial of fossil fuels has
threatened to at various times.
Thirdly, there are Weizenbaum’s fears that, rst, we shall allocate categories
of decisions to arti cially intelligent systems, resulting both in the degradation of
values and in damaging outcomes, because in many areas of life, we do not simply
want decisions to be made simply by optimization upon particular variables, and,
secondly, that as a result of using AI to do so, both human capabilities of, and the
social sense of moral responsibility for, making judgment will be corroded.
200
ETH ICS, REGULATION & NEW ARTIFICIAL IN TELLIGENCE
recent The Matrix, and so on). Indeed, if fears were simply a response to actual
technological development, then one would have expected popular anxiety levels
about AI to have grown during the 1990s, given the flood of popular science
material about developments in the last ten or fifteen years in such fields as
robotics, neural net systems (Dennett 1998; Kaku 1998; Warwick 1998), digital
agent systems (Barrett 1998), arti cial life modelling (Ward 1999), virtual reality
modelling (Woolley 1992), modelling the less crudely calculative activities of
mental life (Jeffery 1999), and the burgeoning and increasingly intelligent
armamentarium of information warfare (Schwartau 1996). Indeed, writers
within the AI community such as Warwick (1998) have speci cally tried to stir
up anxiety (while others writers have tried to excite euphoria, e.g. Kurzweil
1999) about the idea of takeover of power by AI systems, but they have little
popular impact by comparison with the series of food scares, panics about large
system technologies and urban pollution, etc. Serious considerations of the ethics
of AI such as the work of Whitby (1988, 1996) have attracted little attention
during the 1990s not only within the AI community, but also among wider publics.
The key to understanding these surprising cycles in concern is to recognize that
social fears are patently not simply based upon the calculation of probabilities
based upon evidence. Rather they re ect the shifting patterns of social organiza-
tion and the worldviews thrown up by rival forms of social organization, each of
which pin their basic concerns on the technologies that are to hand.2
At some point in the near future, however, AI is likely once again to be the
focus of attention. Technological developments alone are not the principal driver
of such dynamics of social fear. Rather, technologies attract anxiety when they
are construed3 as violating, blurring or straddling basic conceptual categories of
importance to certain styles of social organization, producing things seen as
‘anomalous’ (Douglas 1966, 1992). For example, biotechnology arouses the
anxiety of some because it is blurs the boundary (blurred in practice for millennia,
but readily construed as sharp) between the ‘natural’ and the ‘artificial’. The
201
PERRI 6
world of vast global forces (Giddens 1999), a risk society where humans can
expect to do little more than survive amid vast and dangerous forces (Beck 1992).
Technologies are the natural peg on which to hang such larger social anxieties.
Therefore, in thinking about the ethical, social, political and regulatory
issues raised by recent breakthroughs in artificial intelligence, we need, if we
are to attempt anticipation, rather than simply to rely on resilience or having
enough resources to cope with problems as they occur, to think not only about
technological prospects but also about the social dynamics of fear and the forms
of social organization that people promote through the implicit and unintended
mobilization of fears.4
The point here is certainly not that there are no risks, or that all technological
dangers and failures are imaginary. In many cases, and in that of AI, that would
be, as Douglas (1990: 8) put it, ‘a bad joke’. As Weizenbaum (1984 [1976])
argued a quarter of a century ago, complex and humane decisions must be made
using judgment (6 2001a), and there are decisions that, even if they soon can be,
should not be delegated to AI systems. Rather, the point is that a political response
to popular risk perception is at least as important as the fine calibration of
technocratic response to expert perceived risk, and it is more a process of
conciliation between rival forms of social organization than a technocratic exercise
in the optimization of a few variables on continuously differentiable linear scales.
Humans are not endlessly inventive in the basic forms of social organization.
This article uses the classi cation developed by the neo-Durkheimian tradition in
the sociology of knowledge over the last thirty- ve years. The basic argument is
that each of the different forms of social organization produce distinct worldviews,
each with their distinct patterns of fear or risk perception. This is summarized in
a heuristic device. The device cross-tabulates Durkheim’s (1951 [1897])
dimensions of ‘social regulation’ and ‘social integration’, to yield four basic types
of ‘mechanical solidarity’ – namely, hierarchy producing a bureaucratic and
managerialist worldview, the isolate structure yielding a fatalist worldview,
202
ETH ICS, REGULATION & NEW ARTIFICIAL IN TELLIGENCE
204
PERRI
Individual Regulated systems are unnecessary or harmful: effective Regulated systems are oppressive – except when they protect autonomy
6
autonomy system emerges spontaneously from individual action Social network structure: enclave, sect, inward-looking should be
should not Social structure: individualism, markets, openness Value stance: collective withdrawal (e.g. from perceived held
always be Value stance: afrmation (e.g. of social values, social order ‘mainstream© ), dissidence, principled dissent accountable
held to institutions) by personal entrepreneurial initiative World view: egalitarian
account World view: libertarian View of natural and articial: Nature is fragile, and people must
View of natural and articial: Nature is benign, a cornucopia, tread lightly upon the earth; the articial is the source of
for individuals to make the most of; the articial should be delement, pollution, danger and oppression, except when
allowed free reign used strictly for protection
Response to hybrids: Hybridity and anomaly is the desirable and Response to hybrids: Anomalies and hybrids are a sign of
welcome outcome of human lateral thinking, inventiveness and delement and pollution, and must be stopped, prevented,
enterprise eliminated
ß Þ Group
Heroic view of society
Social relations are conceived as if they were principally voluntary
Weak social regulation
Figure 1 How institutional styles of social organization produce worldviews and styles of fear and reassurance about technologies.
Source: 6 (1999a,b, adapting Douglas 1982, 1992); Thompson et al. (1990); Schwarz and Thompson (1990). For development of the heuristic, see Fardon
(1999: ch. 10).
ETH ICS, REGULATION & NEW ARTIFICIAL IN TELLIGENCE
Clumsiness has certain merits over sleekness: being cumbersome enough to give
ground to each bias allows for an ongoing negotiation. It is this theoretical
argument that provides the underpinning for the approach taken, in these two
articles, to risk perception and response in connection with AI.
This first article explores the limitations of the enduring theme that
autonomous arti cially intelligent systems represent a threat to the autonomy
and power of human beings, which is grounded in the fear that we shall not
be able to hold AI to account to our interests. The second article develops and
complicates the concept of autonomous decision making by AI systems and
examines in more detail the moral and public policy requirements of developing
Downloaded by [Northeastern University] at 15:51 09 October 2014
clumsy ethical and regulatory institutions; but for the present purpose, a
sophisticated model of machine autonomy is not required. The next section
presents a brief review of that theme, before considering its two central
weaknesses, in respect of its awed understanding of the relationship between
intelligence and functional advantage, and in respect of its misunderstanding of
collective action and power. The second half of this article examines the practical
issues of what accountability for AI systems might mean.
tragic form, in which humans lose their own humanity (the ending of Bladerunner:
The Director’s Cut). For egalitarianism, the trope is one in which the creation of
artificial intelligence results in the loss of individual accountability to human
community and only with its regaining can humans triumph (many versions of The
Golem). For fatalism, there is little that can be done because the technological
achievement in itself determines the outcome, and the genie cannot be put back
into a human bottle (which is Professor Warwick’s tale). Is any version of the
story plausible, interesting or ethically important, or is it in every variant a vehicle
for the claims of the basic biases that should be taken metaphorically rather than
literally?
Downloaded by [Northeastern University] at 15:51 09 October 2014
As a serious risk assessment about a plausible future, I shall argue, the doomsday
scenario need not detain us long. But it does at least serve to raise more practical
and mundane issues of control and accountability of machines in the management
of risk, which do deserve some practical attention.
The first stage in the construction of the trope is made explicit in Warwick’s
(1998) argument. He asserts that AI systems will be so intelligent that they will
functionally outperform human beings in the same ecological niche that human
beings now occupy, and that they will do so through exercising domination over
human beings. Much of his argument in support of this claim is directed to the
comparative claim that AI systems will be more intelligent than human beings.
In this section, I shall argue that even to the extent that this might well be true,
it does not suf ce to support his conclusion. I shall argue that the comparison in
intelligence is not the relevant consideration in determining either functional
superiority in decision making, or more widely, competitive advantage in any
characterization of the ecological niche(s) that human beings occupy. For Warwick
considers that it is beside the point to respond to his argument by asking him
to explain what is meant by ‘intelligence’ in this context, on the grounds that
sooner or later, machines are able to meet any standards we might set (1998:
170). That may be true, but Warwick seems only to be interested in answering
those arguments that start by claiming some special characteristic or function
for human brains that AI systems cannot possess or replicate (Warwick 1998:
ch. 8). The more important arguments against his position do not rely on any
such assumption. Rather, I shall argue in this section that, even if AI systems
are more rational, more intelligent and better informed than human brains
are, it does not follow that the consequences of their decisions will necessarily be
superior. The rst problem with the trope, then, is the assumption that functional
206
ETH ICS, REGULATION & NEW ARTIFICIAL IN TELLIGENCE
Diagnosis: classifying and identifying the structure and nature of the problems
or conditions presented by particular individuals or groups; and the balance
of probabilities between various alternative diagnoses.
Risk appraisal: judging the nature, severity, probability of risks presented by the
case.
Action set: identifying the optimal, normal or feasible range of responses to
those conditions from the viewpoint of the person or organization on behalf
of whom or which the intelligent machine is undertaking the decision, or from
the interest from which the decision type is modelled.
Choice considerations: appraising the balance of advantages and disadvantages
associated, in cases of the type the diagnosis has classi ed the present situation
under, with each element in the action set.
Preference ranking or decision protocol: some weighting or ranking of consid-
erations for an against each element in the action set; and either
Recommending action and, if appropriate, taking action: identifying the option that
is on balance preferred; or where two or more elements in the action set are
equally highly preferred, either making an arbitrary choice made; or else
Decision remittal: remitting the nal decision to a human being to make.
One way to question Warwick’s claim is to ask, are there limits to the extent to
which improvements can be made in the quality of decisions, at each of these
stages? To make the matter a little more concrete using an example from AI
already in use, consider a neural-net-based system making medical decisions about
diagnosis and treatment for humans.
The quality of decision making is a less stable virtue than decision theory
positivists would have us believe. Consider the stage of diagnosis. It is a well-
known nding in modelling that any statistical procedure that is designed, when
analysing modest numbers of cases, to minimize false positives will run the risk
of high levels of false negatives (more generally, Type I and Type II errors, or
207
PERRI 6
those of wrongly rejecting or accepting a given hypothesis), and vice versa, which
often decreases significantly the statistical confidence one can have in results
(Cranor 1988, 1990, cited in Hollander 1991: 167).
Moreover, judgement cannot be eliminated from diagnosis. Suppose, for
example, that the evidence before the arti cially intelligent autonomous decision
maker means that a null hypothesis cannot be ruled out – for example, that we
cannot rule out the possibility that the rate at which the level of antibodies has
fallen, which is observed in a person’s bloodstream, is no greater than would be
likely if they were not in fact ill. This does not entitle any human or any machine
to draw the conclusion that the person is well. At most it gives some information
Downloaded by [Northeastern University] at 15:51 09 October 2014
to be taken into account in the making of a judgement which will typically not
reach the 95% con dence level which the rule of thumb is typically relied upon
by statisticians (Hollander 1991: 167; Mayo 1991: 271-2). Indeed, this may suf ce
to shift the onus of argument. However, from not-p, one cannot conclude that q,
even if q describes the direct or diametric opposite case from p.
The artificially intelligent system is, for reasons that lie in the nature of
inference under limited information and uncertainty, no more likely than a careful
and statistically literate human to draw a sensible judgement on the basis of such
evidence. And most decisions have to be made in conditions of limited availability
of information, how ever extensively networked the decision maker is with other
potential informants. It follows that the assumption is probably wrong, that
increasing the computational or crude cognitive or even the learning power of
arti cially intelligent systems amounts to increasing their decisional intelligence
to the point where they are intrinsically more intelligent decision makers than
humans in respect of the quality of decisions. Of course, AI systems may be able
to process more information, make decisions more speedily and perhaps taken
account of a wider range of considerations and perhaps identify more robust
decisions than human decision makers can. There are, nevertheless, limits to the
range of possible improvement in the reliability of judgment under uncertainty
with limited evidence, and there are limits to the range of possible improvement
in the trade-off between risks of different basic types of error. The choice of
statistical procedures is one that already reflects judgments about what error
risks are acceptable, which are already judgments that involve values (Mayo
1991). Those value choices can be modelled, but not eliminated in ways that
could be said to constitute an improvement in the quality of intelligence of
decision making.
The consideration of AI-conducted decision making or decision support in
medical and bio-ethics cases, such as discontinuation of treatment, raises another
limitation to the positivist model of decision-making intelligence which will be
208
ETH ICS, REGULATION & NEW ARTIFICIAL IN TELLIGENCE
morally important. Sometimes in the most dif cult cases in medical ethics, it is
necessary to factor into a decision about, for example, whether to continue with
a pregnancy when the foetus has been diagnosed as having a currently incurable
condition, a judgment about whether at some point in the expected lifetime
of the child, if born, a cure might be discovered or at least improved palliation
might be developed. The timing of the development of new knowledge appears,
as far as we can tell, a genuinely and intrinsically unpredictable variable, and not
particularly well related to expenditure or effort on research (Popper 1949).
There is no reason to think that even the most intelligent of autonomous machines
could make a better guess than any human about the probabilities of future
Downloaded by [Northeastern University] at 15:51 09 October 2014
discoveries, or could know better than a human what weight to put in decision
making on any guess made. What is shown by this point is that there are limits to
the soundness of base of any decision-making procedure, as well as to the
possibilities for the elimination of judgment.
Next, we need to consider how far arti cially intelligent machines capable of
higher technical quality decision making than humans, even within the general
limits upon quality of decision, can handle risk assessments, for instance, about
individual persons, better than human decision makers could. For example, some
psychologists of criminal behaviour claim that it is possible with surprisingly
high accuracy to predict which individuals will become delinquent or turn to
crime, and, therefore, in principle, to target preventive interventions to at-risk
groups of young people. Teachers claim to be able to predict early in the lives of
children, with high degrees of accuracy, who will become an educational failure.
(In practice, of course, much of this tends to be rather dangerous inference from
population or sample statistics to individual cases – ‘the ecological fallacy’ – using
rather coarse indicators of individual risk or vulnerabilities that might well and
often do prove wrong in the individual case.) It is worth considering what our
attitude might be, and what the consequences might be, of a proposal to substitute
for human psychologists conducting such risk assessments, an artificially
intelligent machine supplied with large quantities of pro ling data, which has
been shown – for argument’s sake – to be accurate in its diagnoses more often than
humans to a statistically signi cant degree. Here, we have the problem already
discussed of the moral weight of the consequences of the risk assessment being
wrong, just as in the medical ethics cases. But here we also have an additional
complicating factor: individual risk assessments have consequences for the
behaviour of those assessed, even if they are not told the results of the assessment.
Individuals can be stigmatized, and treated in particular ways that reflect the
knowledge of, for example, teachers, social workers and police of cers that they
have been identi ed as potential troublemakers. In response to the expectations
209
PERRI 6
resource space or ‘niche’ in the sense that ecologists use the term, is supposed to
be entirely transparent, but as we have seen already, this can hardly be the case.
Even if there were to be accepted, the argument can only be made out if we are
prepared to assume that AI systems and human beings are indeed, and necessarily
have to be, direct competitors in the same ecological niche. This assumption is
left entirely unargued in Warwick’s treatment.
However, even the briefest consideration of the history of technologies suggests
that once human beings have developed a technology that serves a certain purpose
sufciently reliably, and once they have developed with an institutional framework
that provides some more or less provisionally stable settlement the kinds of
con ict over that task that erupt in any given society, then human beings have
tended to vacate those ecological niches. Indeed, they tend almost invariably to
vacate those economic arenas represented by stable and institutionally acceptably
governed technologies, despite the occasionally serious Luddite backlash.
Is there something different about AI systems that closes off this well-
trodden path? Warwick would argue that intelligence and autonomy make all
the difference. But how could they make this difference? We have already seen
that, without more, intelligence alone would not make this difference. Autonomy
will be considered in much greater detail in the second article in this series, and
there it will be argued that in fact autonomy for AI systems is likely to make sense
only in the context of institutional arrangements. But Warwick needs AI
autonomy to undermine all human institutions, although he cannot show how or
why this would happen.
Perhaps Warwick would argue in favour of his assumption that AI systems
and human beings will be competitors in the same ecological niche with the claim
that AI systems will either be completely general problem solvers or else will
come under the control (via networking) of other AI systems that are, that general
problem solvers will be able to operate with a measure of freedom across
ecological niches comparable to that of human beings. At the very least, Warwick
211
PERRI 6
has not shown this to be the case. As we shall see in the next section, there is
nothing about networking in general that automatically gives control to the node
that possesses the most general problem structuring, analysis and solving
capabilities, or even that solves the well-known collection action problems.
Secondly, there is no reason to think that completely general problem-solving
tools will be universally preferred. Ecologists know that the degree of generalism
or specialism that is more likely to be a successful survival strategy for any
organism is very hard to predict, and indeed is genuinely uncertain in advance
because it is hard in complex systems to predict the reactions of other organisms
to the strategic choice of the focal organism, which may in turn impact upon the
Downloaded by [Northeastern University] at 15:51 09 October 2014
kinds of wrongs against other persons, including old-fashioned biotic ones like
human beings. This will bring about signi cant changes in their behaviour from
those that Warwick seems to expect. Perhaps human beings might resent the
emergence of non-biotic persons, and we or our descendents might fail to
abide these duties to extend the circle of those to whom duties are owed; but that
is quite another matter. The point is that, if and when machine persons are
produced, or even if they emerge by Lamarckian evolution from AI systems
unaided by human intervention after the human production of AI systems that are
significantly less than persons, then there is no reason to suppose that such
machine-persons would be malevolent, but rather every reason to suppose that
they would be no more and no less benign than human persons, who are capable
of great evil but also of co-operation and acceptance of moral responsibilities on
an awesome scale.
The second central problem with the Terminator trope, taken literally, is that it
utterly lacks any understanding of collective action and power. Yet it is impossible
to make sense of a claim about the likely transfer of power without understanding
the nature of power relationships. For this, we require not the tools of the analysis
of arti cial intelligence, but of social science.
Power – even, and in the simple and crude form of domination without
consent, or tyranny which is the main conception of power offered by the trope
– requires several things of those seek it and maintain it. The rst is collective
action. In the trope, this collective action by autonomous arti cially intelligent
machines is supposed to be achieved straightforwardly by networking and the
issuing of commands from one machine to another, and the accumulation of vast
intelligence through agglomeration over networks. But collective action is
difcult. Those autonomous actors that are equipped only with high degrees of
213
PERRI 6
rational intelligence and nothing much else in fact nd it more dif cult than the
rest of us. For the temptation to free ride, to put other priorities rst, and, if the
circumstances and the balance of incentives shift against collective action, to
defect, are great indeed for purely and only rational and intelligent autonomous
agents (Olson 1971).
Perhaps machines might overcome these problems, in the ways that human
beings do, by developing a shared identity and common ‘culture’, around which
they achieve social closure (Dunleavy 1991: ch.3). In Warwick’s tale, they
are expected to do so purely by virtue of their intelligence. But this is utterly
unlikely and possibly incoherent. Indeed, the more simply and merely intelligent
Downloaded by [Northeastern University] at 15:51 09 October 2014
a system is, the more it is likely to be ready to trade off the limited consolations
of identity for the practical bene ts of defection from the shared identity. One
needs more than intelligence to achieve social closure around identity. Indeed,
the only structure that has been identified that can reliably achieve this, is a
form of social organization solidarity, and to deploy this requires the capacity
for institutional creativity in solving trust problems within the de ned group,
at least as well as cohesive groups ever do, and groups are ssiparous structures
by nature. Managing institutional creativity requires capacities such as affective
and institutional sensibilities that are more than merely intelligent: they are
characteristic of persons. Machine-persons may one day have these capacities,
but at that point, most of the interesting questions about arti cial intelligence as
distinct from any other kind have disappeared, for they will then be persons
operating within and subject to institutions alongside and just like the rest of us.
One might overcome this in autonomous artificially intelligent machines
by programming some of them – or other arti cially intelligent machines might
‘learn’ that it is in their interests to program themselves or other machines – to
act as hierarchical managers of other machines, to skew the incentives for
collective action by machines. This was Hobbes’s (1968 [1651]) solution to the
same problem in the human context, by programming an autonomous Leviathan
to discipline and structure incentives for all others. However, there are severe
limits to the effectiveness of such a hierarchical order of decision making and
imposition in organization (see, for example, Miller 1992). These are not only
found in human societies, where other biases quickly apply negative feedback of
various kinds in social systems. They are found in purely rational autonomous
systems of the kinds that can be modelled by game theory, and which can
embodied in anything from purely digital entities to networked robots.
In the rst place, it is costly for the programming machine, for it would have
to have the capacity to acquire unachievably large amounts of information about
the incentives facing all other machines. Even assuming the processing capacity
214
ETH ICS, REGULATION & NEW ARTIFICIAL IN TELLIGENCE
for these kinds of costs typically rise to the point where they outweigh the bene ts
from collective action in hierarchical systems (Miller 1992).
The second thing that is required for the maintenance even of simple domi-
nation, is capacity for judgment under uncertainty. As has been argued above,
this is a tall order, requiring more than intelligence conventionally de ned. Even
the most intelligent system attempting judgment under uncertainty needs skills
in problem structuring (Rosenhead 1989), abilities to anticipate the behaviour of
large numbers of other agents (humans and machines), who may be working with
different patterns of risk perceptions and preferences and different ‘deviations’
from the supposed rational norm, and to make judgements about their likely
interactions and the effects (since there are typically too many Nash equilibria
in remotely realistic decision matrices to yield uniqueness, even before taking
into account uncertainty, limited information and the varieties of institutions
and social organization styles, and the role of institutional affect (6, 2000) to be
anticipated). The machine or group of machines seeking power would need
to possess and be able to use skills which go far beyond intelligence, in the
appreciation of institutional and cultural settings.
One of the most developed and convincing theories of decision making by
those exercising power focuses on the nature of judgment (Vickers 1995).
Judgment does not principally consist in the intelligent gathering of information
and the selection of a preferred strategy, given a prior goal (Lindblom 1959,
1979; Lindblom and Braybrooke 1970). In general, the shortage of time and
the costs of information collection make this unfeasible, even for a network of
machines with near innite processing power. Rather, the essential capacity for
judgment is the deployment of an ‘appreciative system’ (Vickers 1995: ch.2),
which involves institutional and affective sensibilities. An appreciative system
is a set of institutionally enabled capacities to identify salient, relevant and
contextually important information from noise, using analogical and lateral rather
than exclusively analytical and vertical reasoning methods, to determine particular
215
PERRI 6
structures to be problems and not mere conditions (Barzelay with Armajani 1992:
21), to allocate the scarce resource of attention to problems (March and Olsen
1975), and to do all this not in relation to a given purpose, but for the process
of identifying possible purposes, and at the same time identifying the range of
potential values, ideals and practical operating norms at stake. Feasibly, under
practical constraints of the costs of information and the range of possible
trajectories, institutions are needed with which to manage and sustain appreciative
systems, and the cognitive skills of engaging in institutional life are not reducible
to ‘mere’ intelligence.
At the point where we have autonomous artificially intelligent machines
Downloaded by [Northeastern University] at 15:51 09 October 2014
conceived and re-modelled in its own image. The power of the trope lies in its
apocalyptic aesthetic and its mobilizing capacity for particular solidarities, rather
than its intellectual coherence. But there are deep continuities between rival
aesthetic appreciations and competing moral commitments (Thompson 1983).
The role of the trope is itself to organize fears to engage in aesthetic and moral
conflict in human, not machine, society and to mobilize for conflict between
biases, the widespread sense of the fragility to that conict of the institutions and
cultures that sustain the organic solidarity or settlements that sustain social
cohesion.
Downloaded by [Northeastern University] at 15:51 09 October 2014
Setting aside the trope as a myth (in the proper sense of that term, namely, a
theme that expresses fears and ideals implicit in certain forms of social organi-
zation), however, there are some important practical issues about how we are to
manage the risks that might be presented by autonomous arti cially intelligent
systems, whether in the form of digital agents or of kinetic robots.
No doubt some systems will learn the wrong things; some will go haywire;
some will fail in either chronic or spectacularly acute ways; some will use their
capacity to evolve communication systems that humans cannot immediately
understand with other autonomous arti cially intelligent systems to undertake
activities that are not desired; some autonomous intelligent digital agents will
be captured by hostile systems and ‘turned’ to work against the interests of
their owners or principals. The risk management problem, then, is to nd an
appropriate trade-off between the advantages to business and government users
from deploying systems with unrestricted autonomy to pursue the goals set for
them, and the importance of securing limits to that autonomy to prevent these
kinds of problems. This is not a new or particularly intellectually dif cult problem,
for it occurs in all kinds of agency relationships, including employment contracts
and in the design and management of many less autonomous and less intelligent
systems.
In the remainder of this article, I discuss just two of the principal elds in which
this trade-off between unhampered pursuit of the task might lead to greater
autonomy and sensible risk management might lead to some restrictions upon
autonomy (the second article will deal in more detail with the concept of
autonomy in AI systems).
217
PERRI 6
In his book on his own experiments with groups of robots communicating with
one another, Warwick (1998) reports that in his laboratory at the University of
Reading, he has found that robots develop systems of communication which
supplement the basic concepts that are programmed into them, and which require
hard work for humans to translate.
This is indeed an important nding, but not necessarily as catastrophic as his
version of the takeover myth would suggest. The key point here is that these
systems have the capacity to develop by ‘evolutionary’ problem solving (in the
Downloaded by [Northeastern University] at 15:51 09 October 2014
particular sense that AI programmers use the terms ‘evolutionary’ and ‘genetic’,
to mean strategies of sequential generation of large numbers of routines, followed
by brute force trial and error, elimination and incremental improvement
techniques) and communication transfer of capacities over networks, to develop
from a small number of ‘pre-programmed’ categories and concepts, autonomy
within the group of autonomous systems, among which collective action problems
have been solved by one means or another, classi catory autonomy. The central
challenge for an anthropologist and a linguist learning a language for which
no dictionaries, no grammatical rulebooks and no prior translations exist, is to
understand the classi cation system, and what is counted as similar, and what
dissimilar, to what (Quine 1960; Goodman 1970; Douglas 1972, Douglas and
Hull 1992). As Warwick indicates, the problem is not insoluble, provided that
we have rich contextual information and that we can follow over time the nature
of the practices that are associated with communication, but difficulties and
uncertainties remain.
Classi catory autonomy in groups can be an important and powerful resource.
It can be part of solutions to collective action problems; it can be much more
ef cient, and in particular less time consuming, than relying upon systems for
which all classi cation must be provided in detail in advance. The whole point of
introducing autonomous articially intelligent machines and systems will be to
economize on precisely this detailed and expensive control. But when the systems
begin to operate in ways that are undesirable, classificatory autonomy limits
human capacity for understanding, and thus reduces the transparency to humans
of such systems. Here we have a conflict between the individualist and
instrumental outlook, which regards the bene ts from systems that are not under
detailed control as likely to outweigh the risks, and the hierarchical and control-
oriented outlook, which takes the reverse view of such problems. In practice,
some settlement – or some series of settlements changing over time – will have
to be struck between the rival claims of these two biases.
218
ETH ICS, REGULATION & NEW ARTIFICIAL IN TELLIGENCE
Warwick’s own laboratory solution to the problem may represent the basis
of a viable settlement in many practical contexts. It may be possible to permit
extensive AI systems to exercise classi catory autonomy in environments that
are designed to be manipulated to limit the risks of machines causing damage
or harm, or else in environments that are suf ciently limited that the range of
communicative possibilities is readily understood by humans and where trans-
lation and understanding can be achieved relatively readily, or where the period
is relatively short for which groups of autonomous machines are run without
being switched off and the capacities gained thereby erased, so that evolutionary
development in group classi cation is curtailed. It is not dif cult to think of many
Downloaded by [Northeastern University] at 15:51 09 October 2014
propriety in transactions, etc. (Day and Klein 1987; March and Olsen 1995: ch.5;
Vickers 1995: ch. 12; Bovens 1998; Hogwood et al. 1998). For example, an
arti cially intelligent system that provides a translation into human languages of
the communications of a network of other collectively acting arti cially intelli-
gent systems is providing an elementary form of account. More sophisticated or
summary, analytical and relevant, less tediously blow-by-blow accounts can
readily be provided by intelligent systems.
The next level of accountability is the acceptance by a system held to account
that it is responsible for its autonomous decisions under some accepted goal or
value, and redirecting its decisions, actions and operations to that goal or value.
Downloaded by [Northeastern University] at 15:51 09 October 2014
One might imagine here the designing in of some code of ‘professional’ ethics to
the motivation functions of autonomous articially intelligent systems, whether
digital or kinetic. This was, presumably, what Asimov had in mind for his
famous three laws. While those laws are of the wrong order of generality to be
of much use (as Warwick (1998) correctly argues), the basic idea of designing for
accountability by embodying some commitments, even if they can be overridden
in certain kinds of emergencies, is broadly sound. The design must serve as the
arti cial equivalent of the human professional taking an oath binding her or him
to the code of professional conduct. However, as we shall see in the second article
in this series, there are dif culties in determining what it would mean to sanction
an autonomous arti cially intelligent system for failure to abide by the code.
Designing in such a code would represent a limitation upon autonomy in the
minimal sense that it represents the honest and sincere attempt of an agent to
focus action upon a task desired by a principal, and which has been internalized.
This will presumably be basic to the design of arti cially intelligent systems and
to the ‘training’ of neural nets and evolutionary problem-solving systems.
The next level of accountability is the possibility of the revocation of the
mandate. For autonomous artificially intelligent machines, this might mean a
simple switch-off, commissioning the machines (or other machines) to reverse
damage done, re-training its decision-making system, and/or allocating the task
to another system, perhaps another autonomous arti cially intelligent system or
perhaps a group of humans. It will be important in many contexts that not only
is there the possibility of such revocation of mandate designed into autonomous
artificially intelligent machines, but that there is also designed in from the
beginning, the trigger mechanisms that will enable humans either to begin the
process of revocation or to ensure that it is done.
One possibility might be of course to use autonomous articially intelligent
machines to hold other machines accountable. They too might fail. But this is not
a new problem. Since ancient times, the question, ‘quis custodiet custodes?’ (who
220
ETH ICS, REGULATION & NEW ARTIFICIAL IN TELLIGENCE
shall guard the guardians?), has arisen for every system of audit and accountability,
whether those who hold others to account are auditors, inspectors, police of cers,
politicians or machines. In practice, we nd various ways of solving it, through
creating mutual accountability systems, rotating those who hold others to account
by removing them from of ce after a while, etc. – all of which could be used with
autonomous arti cially intelligent machine systems.
In the human context, the nal level of accountability is concerned with the
administration of sanctions. But this is probably not meaningful in the case of
most artificially intelligent systems, at least until such time as we possess the
technology to create machine-persons (see the second article in this series).
Downloaded by [Northeastern University] at 15:51 09 October 2014
Robots and digital agents will almost certainly not take over and subject
humans to their power, as the now centuries-old myth has it. But, like any other
technology, when they go wrong, they will no doubt expose humans to some
risks. Those risks may well be worth running for the bene ts that will accrue
from the mainstream deployment of these systems. But sensible risk management
will be an important element in good design. The exact nature of the degree
to which design for transparency and accountability needs to restrict the
classificatory and decisional autonomy of these machines will vary from one
application and context to another. But trade-offs will have to be made between
the individualist view that bene ts will always outweigh risks and the hierarchical
attitude that control must always override autonomy.
CONCLUSION
The really important challenge that the new AI presents is not an eschatological
one, in which human beings become the prey of their own creations and human
societies are subjected to a tyranny of merciless machines. Rather, the really
important challenges are only (!) exacerbations of the eternal problems of
technological risk. The exacerbating factor is the vastly greater autonomy of AI
systems in making decisions than is exhibited by almost any other tool. In the
second and concluding article, I explore in much more conceptual and policy
detail the nature and the implications of this recognition.
The reverse of the coin of developing autonomous intelligence to the point
that a tool must be thought of also as an agent, is that practical problems of
accountability become very important indeed. The choice must be made whether
to subject AI systems to the kinds of accountability that are appropriate to a tool
or to an agent: some key practical implications of this will be explored in the
second article in this series. No doubt on a case-by-case basis depending on
particular institutional setting, and the technical capabilities of the AI systems
221
PERRI 6
involved, different regimes may be applied over time to one and the same AI
system (however, we individuate self-replicating virtual systems working over
networks, when they do not have physical ‘bodies’ to manage like a robot).
In the rst instance, accountability is a challenge for designers, and it ought to
be a matter of some concern that there is no agreed statement of the professional
ethics to which AI designers are expected to subscribe. In the second place,
accountability is a matter for the governance of AI systems by owners and users
in many cases within large organizations. The disciplines of management and
organization design will, sooner or later, be expected to respond to the challenge
of creating human roles and institutions within organizations for the proper
Downloaded by [Northeastern University] at 15:51 09 October 2014
ACKNOWLEDGEMENTS
The research on which this article is based was conducted with nancial support
from Bull Information Systems (UK and Ireland): for the full report from which
much of the material in this article has been derived, see 6 (1999b). I am
particularly grateful to Stephen Meyler, Marketing Director, and Amanda Purdie,
Downloaded by [Northeastern University] at 15:51 09 October 2014
then Chief Press Of cer, at Bull, for their support. In particular, I am grateful to
Bull and the Internet Intelligence Bulletin for supporting an electronic conference
of experts where I was able to elicit comments on a late draft of the report
from Francis Aldhouse, Liam Bannon, Paul Bennett, John Browning, Christian
Campbell, Ian Christie, David Cooke, John Haldane, Peter Hewkin, Clive
Holtham, Dan Jellinek, Mary Mulvihill, Bill Murphy, Clive Norris, Charles Raab,
Sarah Tanburn and Blay Whitby. I am grateful also to Bill Dutton and Brian Loader,
the editors of this journal, and to two anonymous referees, for their helpful
suggestions on how to improve upon my earlier drafts. However, none of these
people should be held in any responsible for my errors nor should they be assumed
to agree with my arguments.
Perri 6
Director, Policy Programme
Institute for Applied Health & Social Policy
King’s College, London
c/o 63 Leyspring Rd
Leytonstone
London
E11 3BP
perri@stepney-green.demon.co.uk
NOTES
1 The title of Weizenbaum’s nal chapter was ‘Against the imperialism of instrumental
reason’.
2 See, for example, Douglas (1992) for a social systems perspective grounded in anthropology;
Joffe (1999) for a combined psychoanalytic and social representation view; Lupton (1999)
for a compendium of sociological views; and Caplan (2000) for some other anthropological
theories. Even mainstream psychological writers with roots in psychometric work have
recognized the force of at least some part of these arguments in recent years: see, for
example, Renn (1998) and Slovic (1993).
3 By ‘construal’ here, I do not mean – as the text argues below – to suggest that the
distinctions are in some way illusory. For an explanation of why the term ‘construal’, which
suggests interpretation of evidence about the real, is preferred in the neo-Durkheimian
223
PERRI 6
REFERENCES
224
ETH ICS, REGULATION & NEW ARTIFICIAL IN TELLIGENCE
225
PERRI 6
226
ETH ICS, REGULATION & NEW ARTIFICIAL IN TELLIGENCE
227
PERRI 6
Thompson, M., Ellis, R.J. and Wildavsky, A. (1990) Cultural Theory, Boulder,
CO: Westview Press.
Vickers, Sir G. (1995) [1963] The Art of Judgement: A Study of Policy-making,
Centenary edition, London: Sage [London: Chapman and Hall].
von Mises, L. (1935) ‘Economic calculation in the socialist commonwealth’, in
F.A. von Hayek (ed.) Collectivist Economic Planning: Critical Studies in the
Possibilities of Socialism, London: Routledge, pp. 87–130.
Ward, M. (1999) Virtual Organisms: the Startling World of Arti cial Life,
Basingstoke: MacMillan.
Warwick, K. (1998) In the Mind of the Machine: The Breakthrough in Arti cial
Intelligence , London: Arrow (Random House).
Weber, M. (1976) The Protestant Ethic and the Spirit of Capitalism, trans.
Downloaded by [Northeastern University] at 15:51 09 October 2014
228
ETH ICS, REGULATION & NEW ARTIFICIAL IN TELLIGENCE
229