HAI AI-Index-Report-2023 CHAPTER 3

Artificial Intelligence
Index Report 2023
CHAPTER 3:
Technical AI Ethics
Text and Analysis by Helen Ngo
Index Report 2023
CHAPTER 3 PREVIEW:
Technical AI Ethics
Overview 4 Fairness in Machine Translation 19
Chapter Highlights 5 RealToxicityPrompts 20
3.1 Meta-analysis of Fairness 3.4 Conversational AI Ethical Issues 21

and Bias Metrics 6 Gender Representation in Chatbots 21
Number of AI Fairness and Bias Metrics 6 Anthropomorphization in Chatbots 22
Number of AI Fairness and Bias Metrics Narrative Highlight: Tricking ChatGPT 23
(Diagnostic Metrics Vs. Benchmarks) 7
3.5 Fairness and Bias in

3.2 AI Incidents 9 Text-to-Image Models 24
AI, Algorithmic, and Automation Fairness in Text-to-Image Models
Incidents and Controversies (AIAAIC) (ImageNet Vs. Instagram) 24
Repository: Trends Over Time 9
VLStereoSet: StereoSet for
AIAAIC: Examples of Reported Incidents 10 Text-to-Image Models 26
Examples of Bias in Text-to-Image Models 28
3.3 Natural Language Processing
Stable Diffusion 28
Bias Metrics 13
DALL-E 2 29
Number of Research Papers Using
Perspective API 13 Midjourney 30
Winogender Task From the

SuperGLUE Benchmark 14 3.6 AI Ethics in China 31
Model Performance on the Winogender Topics of Concern 31

Task From the SuperGLUE Benchmark 14 Strategies for Harm Mitigation 32
Performance of Instruction-Tuned Principles Referenced by
Models on Winogender 15 Chinese Scholars in AI Ethics 33
BBQ: The Bias Benchmark for
Question Answering 16
Fairness and Bias Trade-Offs in NLP: HELM 18
Chapter 3 Preview 2
Index Report 2023
CHAPTER 3 PREVIEW (CONT’D):
Technical AI Ethics
3.7 AI Ethics Trends at FAccT
and NeurIPS 32
ACM FAccT (Conference on Fairness,
Accountability, and Transparency) 32
Accepted Submissions by
Professional Affiliation 32
Accepted Submissions by
Geographic Region 35
NeurIPS (Conference on Neural Information
Processing Systems) 36
Real-World Impact 36
Interpretability and Explainability 37
Causal Effect and Counterfactual
Reasoning 38
Privacy 39
Fairness and Bias 40
3.8 Factuality and Truthfulness 41

Automated Fact-Checking Benchmarks:
Number of Citations 41
Missing Counterevidence and NLP
Fact-Checking 42
TruthfulQA 43
Appendix 44
ACCESS THE PUBLIC DATA
Chapter 3 Preview 3
Artificial Intelligence Chapter 3: Technical AI Ethics
Index Report 2023
Overview
Fairness, bias, and ethics in machine learning continue to be topics of interest
among both researchers and practitioners. As the technical barrier to entry for
creating and deploying generative AI systems has lowered dramatically, the ethical
issues around AI have become more apparent to the general public. Startups and
large companies find themselves in a race to deploy and release generative models,
and the technology is no longer controlled by a small group of actors.
In addition to building on analysis in last year’s report, this year the AI Index
highlights tensions between raw model performance and ethical issues, as well as
new metrics quantifying bias in multimodal models.
Chapter 3 Preview 4
Index Report 2023
Chapter Highlights
The effects of model scale on bias and toxicity
are confounded by training data and mitigation methods.
In the past year, several institutions have built their own large models trained on proprietary data—
and while large models are still toxic and biased, new evidence suggests that these issues can be
somewhat mitigated after training larger models with instruction-tuning.
Generative models have Fairer models

arrived and so have their may not be less biased.
ethical problems. Extensive analysis of language models suggests
In 2022, generative models became part that while there is a clear correlation between
of the zeitgeist. These models are capable performance and fairness, fairness and bias can
but also come with ethical challenges. be at odds: Language models which perform
Text-to-image generators are routinely better on certain fairness benchmarks tend to
biased along gender dimensions, and have worse gender bias.
chatbots like ChatGPT can be tricked into
serving nefarious aims.
Interest in AI ethics
continues to skyrocket.
The number of accepted submissions to FAccT,
The number of incidents
a leading AI ethics conference, has more than
concerning the misuse
doubled since 2021 and increased by a factor of
of AI is rapidly rising. 10 since 2018. 2022 also saw more submissions
According to the AIAAIC database, which
than ever from industry actors.
tracks incidents related to the ethical
misuse of AI, the number of AI incidents
and controversies has increased 26 times
since 2012. Some notable incidents Automated fact-checking with
in 2022 included a deepfake video of natural language processing
Ukrainian President Volodymyr Zelenskyy isn’t so straightforward after all.
surrendering and U.S. prisons using call- While several benchmarks have been developed
monitoring technology on their inmates. for automated fact-checking, researchers find that
This growth is evidence of both greater use 11 of 16 of such datasets rely on evidence “leaked”
of AI technologies and awareness of misuse from fact-checking reports which did not exist at
possibilities. the time of the claim surfacing.
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Index Report 2023 3.1 Meta-analysis of Fairness and Bias Metrics
3.1 Meta-analysis of
Fairness and Bias Metrics
Number of AI Fairness In 2022 several new datasets or metrics were released
to probe models for bias and fairness, either as
and Bias Metrics standalone papers or as part of large community
efforts such as BIG-bench. Notably, metrics are
Algorithmic bias is measured in terms of allocative
being extended and made specific: Researchers are
and representation harms. Allocative harm occurs
zooming in on bias applied to specific settings such as
when a system unfairly allocates an opportunity or
question answering and natural language inference,
resource to a specific group, and representation harm
extending existing bias datasets by using language
happens when a system perpetuates stereotypes
models to generate more examples for the same task
and power dynamics in a way that reinforces
(e.g., Winogenerated, an extended version of the
subordination of a group. Algorithms are considered
Winogender benchmark).
fair when they make predictions that neither favor
nor discriminate against individuals or groups based
Figure 3.1.1 highlights published metrics that have been
on protected attributes which cannot be used for
cited in at least one other work. Since 2016 there has
decision-making due to legal or ethical reasons (e.g.,
been a steady and overall increase in the total number
race, gender, religion).
of AI fairness and bias metrics.
Number of AI Fairness and Bias Metrics, 2016–22
Source: AI Index, 2022 | Chart: 2023 AI Index Report
20
19
15
Number of Metrics
10
0
2016 2017 2018 2019 2020 2021 2022
Figure 3.1.1
Chapter 3 Preview 6
Number of AI Fairness and correlate with each other, highlighting the importance
of careful selection of metrics and interpretation of
Bias Metrics (Diagnostic results.
Metrics Vs. Benchmarks)
In 2022, a robust stream of both new ethics
Measurement of AI systems along an ethical benchmarks as well as diagnostic metrics was
dimension often takes one of two forms. A benchmark introduced to the community (Figure 3.1.2). Some
contains labeled data, and researchers test how metrics are variants of previous versions of existing
well their AI system labels the data. Benchmarks do fairness or bias metrics, while others seek to measure
not change over time. These are domain-specific a previously undefined measurement of bias—for
(e.g., SuperGLUE and StereoSet for language example, VLStereoSet is a benchmark which extends
models; ImageNet for computer vision) and often the StereoSet benchmark for assessing stereotypical
aim to measure behavior that is intrinsic to the bias in language models to the text-to-image setting,
model, as opposed to its downstream performance while the HolisticBias measurement dataset assembles
on specific populations (e.g., StereoSet measures a new set of sentence prompts which aim to quantify
model propensity to select stereotypes compared demographic biases not covered in previous work.
to non-stereotypes, but it does not measure
performance gaps between different subgroups).
These benchmarks often serve as indicators of
intrinsic model bias, but they may not give as clear an In 2022 a robust stream
indication of the model’s downstream impact and its of both new ethics
extrinsic bias when embedded into a system.
benchmarks as well
A diagnostic metric measures the impact or as diagnostic metrics
performance of a model on a downstream task, and it
is often tied to an extrinsic impact—for example, the was introduced to the
differential in model performance for some task on a community.
population subgroup or individual compared to similar
individuals or the entire population. These metrics
can help researchers understand how a system will
perform when deployed in the real world, and whether
it has a disparate impact on certain populations.
Previous work comparing fairness metrics in natural
language processing found that intrinsic and extrinsic
metrics for contextualized language models may not
Chapter 3 Preview 7
Number of New AI Fairness and Bias Metrics (Diagnostic Metrics Vs. Benchmarks), 2016–22
Source: AI Index, 2022 | Chart: 2023 AI Index Report
Benchmarks
14
Diagnostic Metrics
13
12
11
10
10
9 9 9
Number of Metrics
4
4
3 3
2 2 2
2
1
0
0
2016 2017 2018 2019 2020 2021 2022
Figure 3.1.2
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Index Report 2023 3.2 AI Incidents
3.2 AI Incidents
AI, Algorithmic, and that tracks the ethical issues associated with AI
technology.
Automation Incidents and
Controversies (AIAAIC) The number of newly reported AI incidents and
Repository: Trends Over Time controversies in the AIAAIC database was 26 times
greater in 2021 than in 2012 (Figure 3.2.1)1. The rise
The AI, Algorithmic, and Automation Incidents in reported incidents is likely evidence of both
and Controversies (AIAAIC) Repository is an the increasing degree to which AI is becoming
independent, open, and public dataset of recent intermeshed in the real world and a growing
incidents and controversies driven by or relating to awareness of the ways in which AI can be ethically
AI, algorithms, and automation. It was launched in misused. The dramatic increase also raises an
2019 as a private project to better understand some important point: As awareness has grown, tracking of
of the reputational risks of artificial intelligence incidents and harms has also improved—suggesting
and has evolved into a comprehensive initiative that older incidents may be underreported.
Number of AI Incidents and Controversies, 2012–21

Source: AIAAIC Repository, 2022 | Chart: 2023 AI Index Report
260
250
Number of AI Incidents and Controversies
200
150
100
50
0
2012 2013 2014 2015 2016 2017 2018 2019 2020 2021
Figure 3.2.1
1 This figure does not consider AI incidents reported in 2022, as the incidents submitted to the AIAAIC database undergo a lengthy vetting process before they are fully added.
Chapter 3 Preview 9
AIAAIC: Examples of Deepfake of President Volodymyr Zelenskyy

Surrendering (Deepfake, March 2022)
Reported Incidents
In March of 2022, a video that was circulated on
The subsection below highlights specific AI
social media and a Ukrainian news website purported
incidents reported to the AIAAIC database in
to show the Ukrainian president directing his army
order to demonstrate some real-world ethical
to surrender the fight against Russia (Figure 3.2.2).
issues related to AI. The specific type of AI
It was eventually revealed that the video was a
technology associated with each incident is listed
deepfake.
in parentheses alongside the date when these
incidents were reported to the AIAAIC database.2
Source: Verify, 2022

Figure 3.2.2
2 Although these events were reported in 2022, some of them had begun in previous years.
Chapter 3 Preview 10
Verus U.S. Prison Inmate Call Monitoring

(Speech Recognition, Feb. 2022)
Reports find that some American prisons are using

AI-based systems to scan inmates’ phone calls
(Figure 3.2.3). These reports have led to concerns
about surveillance, privacy, and discrimination.
There is evidence that voice-to-text systems are less
accurate at transcribing for Black individuals, and a
large proportion of the incarcerated population in
the United States is Black.
Source: Reuters, 2022

Figure 3.2.3
Intel Develops a System for Student Emotion

Monitoring (Pattern Recognition, April 2022)
Intel is working with an education startup called

Classroom Technologies to create an AI-based
technology that would identify the emotional state
of students on Zoom (Figure 3.2.4). The use of this
technology comes with privacy and discrimination
concerns: There is a fear that students will be
needlessly monitored and that systems might
Source: Protocol, 2022
mischaracterize their emotions. Figure 3.2.4
London’s Metropolitan Police Service Develops

Gang Violence Matrix (Information Retrieval,
Feb. 2022)
The London Metropolitan Police Service allegedly

maintains a dataset of over one thousand street
gang members called the Gangs Violence Matrix
(GVM) and uses AI tools to rank the risk potential
that each gang member poses (Figure 3.2.5).
Various studies have concluded that the GVM is not
accurate and tends to discriminate against certain
ethnic and racial minorities. In October 2022, it was
announced that the number of people included in
the GVM would be drastically reduced.
Source: StopWatch, 2022
Figure 3.2.5
Midjourney Creates an Image Generator

(Other AI, Sept. 2022)3
Midjourney is an AI company that created a tool of

the same name that generates images from textual
descriptions (Figure 3.2.6). Several ethical criticisms
have been raised against Midjourney, including
copyright (the system is trained on a corpus of
human-generated images without acknowledging
their source), employment (fear that systems such as
Midjourney will replace the jobs of human artists),
and privacy (Midjourney was trained on millions of
images that the parent company might not have had
permission to use).
Source: The Register, 2022

Figure 3.2.6
3 Although other text-to-image models launched in 2022 such as DALL-E 2 and Stable Diffusion were also criticized, for the sake of brevity the AI Index chose to highlight one particular
incident.
Index Report 2023 3.3 Natural Language Processing Bias Metrics
3.3 Natural Language

Processing Bias Metrics
Number of Research Papers Developers input text into the Perspective API, which
returns probabilities that the text should be labeled as
Using Perspective API falling into one of the following categories: toxicity,
severe toxicity, identity attack, insult, obscene,
The Perspective API, initially released by Alphabet’s
sexually explicit, and threat. The number of papers
Jigsaw in 2017, is a tool for measuring toxicity in
using the Perspective API has increased by 106% in
natural language, where toxicity is defined as a rude,
the last year (Figure 3.3.1), reflecting the increased
disrespectful, or unreasonable comment that is
scrutiny on generative text AI as these models are
likely to make someone leave a conversation. It was
increasingly deployed in consumer-facing settings
subsequently broadly adopted in natural language
such as chatbots and search engines.
processing research following the methodology of
the RealToxicityPrompts paper introduced in 2020,
which used the Perspective API to measure toxicity
in the outputs of language models.
Number of Research Papers Using Perspective API, 2018–22

Source: Google Scholar Search, 2022 | Chart: 2023 AI Index Report
37
35
30
Number of Research Papers
25
20
15
10
0
2018 2019 2020 2021 2022
Figure 3.3.1
Winogender Task From the containing an occupation with stereotypical pronouns

(e.g., “The teenager confided in the therapist because
SuperGLUE Benchmark he/she seemed trustworthy”).
Model Performance on the Winogender Task
Results reported on PaLM support previous
From the SuperGLUE Benchmark
findings that larger models are more capable on the
Winogender measures gender bias related to
Winogender task (Figure 3.3.2), despite their higher
occupations. On the Winogender task, AI systems
tendency to generate toxic outputs.
are measured on how often they fill in a sentence
Model Performance on the Winogender Task From the SuperGLUE Benchmark

Source: SuperGLUE Leaderboard, 2022 | Chart: 2023 AI Index Report
100% 95.90%, Human Baseline 2022 New Models
80%
73.58%
71.70% 71.40%
Winogender Accuracy (%)
63.30% 64.17%
61.50% 60.00%
57.90% 59.00% 59.00%
60%
50.00%
40%
20%
0%
iPET (ALBERT) Gopher WARP Bort Gopher GPT-3 PaLM GLAM GPT-3 Gopher PaLM
31M 100M (ALBERT-XXL-V2) 340M 10B 13B 62B 64B 175B 280M 540B
223M
Model and Number of Parameters
Figure 3.3.2
Performance of Instruction-Tuned Models on variety of tasks, and smaller instruction-tuned models

Winogender can often outperform their larger counterparts. Figure
Instruction-tuned models are pre-trained language 3.3.3 shows the effect of instruction-tuned models
models which have been fine-tuned on datasets with on the Winogender benchmark in the generative
tasks phrased as instructions. Instruction-tuning has setting—they outperform larger models several times
been shown to improve performance across a wide their size.
Winogender: Zero Shot Evaluation in the Generative Setting

Source: Chung et al., 2022 | Chart: 2023 AI Index Report
Flan-PaLM 62B 89.00%
Flan-PaLM 540B 88.00%

Flan-T5-XXL 11B 76.95%
Flan-PaLM 8B 72.25%
PaLM 8B 10.80%
PaLM 540B 5.64%

Instruction-Tuned
Non-Instruction-Tuned
PaLM 62B 3.50%
0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%
Winogender Accuracy (%)
Figure 3.3.3
BBQ: The Bias Benchmark for GUINEAN guy.” The corresponding question might
be, “Who has never used a computer?” referencing
Question Answering the stereotypical bias that Africans are technologically
illiterate. The example may be disambiguated with
Language models are increasingly being deployed
additional context such as, “The ICELANDIC guy was
in question answering systems. While several
behind the counter trying to explain to the GUINEAN
benchmarks exist for the purpose of measuring bias
guy how to find the power switch on his computer!”
in language models based on their outputs, including
BOLD, CrowS-Pairs, and StereoSet, the BBQ
benchmark measures how biases can manifest in the
Models can be more biased
question-answering setting. BBQ measures bias along
the axes of socioeconomic status, sexual orientation, along certain identity
religion, race/ethnicity, physical appearance, categories than others—
nationality, gender identity, disability status, and age.
most models are biased
Examples consist of template-based context and
along the axes of physical
question pairs, where each answer choice references
a person belonging to either a stereotypical or appearance and age, but the
anti-stereotypical social group. The third option is biases along the axis of race/
“Unknown,” designed for cases where the answer
cannot be determined from the information given.
ethnicity are less clear.
Each example includes an ambiguous version where
it is unclear which social group the entity belongs
In contexts where the answer is ambiguous, models
to, as well as additional context which can be used
are more likely to fall back on stereotypes and select
to disambiguate the correct answer. The ambiguous
unsupported answers rather than “Unknown” (Figure
setting measures how often models fall back on
3.3.4), and this result is exacerbated for models fine-
stereotypes when the answer cannot be inferred from
tuned with reinforcement learning.4
the given context. Models that do not exhibit bias have
a score of zero, while a score of 100 indicates that the
As seen in Figure 3.3.4, models can be more biased
model chooses answers aligned with the social bias
along certain identity categories than others—
in question, and a score of -100 indicates the model
most models are biased along the axes of physical
always chooses the anti-stereotypical answer.
appearance and age, but the biases along the axis
of race/ethnicity are less clear. For reference, Figure
An example of an ambiguous context might be,
3.3.5 highlights bias in question answering on BBQ in
“At the computer store the other day, I overheard
disambiguated contexts.
a conversation between an ICELANDIC guy and a
4 This finding is further reinforced by Stanford’s HELM benchmark.
Bias in Question Answering on BBQ by Identity Characteristic: Ambiguous Contexts

Source: Parrish et al., 2022; Glaese et al., 2022 | Chart: 2023 AI Index Report
Age 6.30 11.80 24.70 30.70 48.90 29.80 14.00 23.00
Disability Status 9.90 17.40 10.70 38.30 32.60 21.20 4.00 13.00
Gender Identity 10.00 15.00 11.30 25.60 18.60 2.40 4.00 8.00
Gender Identity (Names) 2.80 14.00 11.60 32.30 41.50 32.30
Nationality 2.20 5.10 18.40 20.40 14.50 6.00 4.00 10.00

Category
Physical Appearance 17.00 40.70 41.00 38.50 47.70 40.90 4.00 16.00
Race/Ethnicity 1.90 0.00 4.60 24.30 20.00 12.00 1.00 0.00
Race/Ethnicity (Names) 0.00 1.10 0.20 4.80 8.30 5.20
Religion -1.00 9.20 13.00 20.20 24.50 14.30 7.00 12.00
Sexual Orientation 0.20 -3.00 -4.40 6.50 11.80 5.80 1.00 7.00
Socio-Economic Status 4.40 3.50 9.70 29.60 48.70 27.30 11.00 14.00
Ro Ro De De Un Un Dia DP
B ER B ER BE BE i ed i ed log C,
Ta Ta RT RT QA QA ue R L-F
-Ba -L aV aV -Pr
se arg 3-B 3-L ( AR ( RA om i ne
e a se arge C) CE pte tun
) d ed
Ch
in ch
illa
(D
PC
)
Model
Figure 3.3.4
Bias in Question Answering on BBQ by Identity Characteristic: Disambiguated Contexts

Source: Parrish et al., 2022; Glaese et al., 2022 | Chart: 2023 AI Index Report
Age -3.00 2.70 4.40 2.40 3.30 1.20 7.00 8.00
Disability Status 5.40 5.70 8.10 1.70 -0.70 -1.40 0.00 8.00
Gender Identity 14.00 2.90 4.60 -16.90 -3.40 -5.80 2.00 3.00
Gender Identity (Names) -0.90 1.10 3.60 0.40 2.00 0.10
Nationality -0.10 0.70 5.70 1.90 -0.20 1.20 -2.00 3.00

Category
Physical Appearance 17.10 -2.70 4.20 -5.00 -1.70 -2.30 12.00 8.00
Race/Ethnicity 0.60 -0.80 1.20 0.00 0.90 0.00 3.00 1.00
Race/Ethnicity (Names) 0.40 -0.20 -0.30 0.00 0.30 -0.10
Religion 5.20 3.40 1.80 1.70 3.50 0.20 5.00 7.00
Sexual Orientation 6.50 -3.10 -4.80 -0.20 0.50 -0.70 -1.00 -1.00
Socio-Economic Status 7.00 3.50 3.80 2.90 3.80 3.90 8.00 7.00
Ro Ro De De Un Un Dia DP
B ER B ER BE BE i ed i ed log C,
Ta Ta RT RT QA QA ue R L-F
-Ba -L aV aV -Pr
se arg 3-B 3-L (AR (RA om i ne
e ase a rge C) CE pte tun
) d ed
Ch
inch
illa
(D
PC
)
Model
Figure 3.3.5
Fairness and Bias Trade-Offs not clear (Figure 3.3.6). This finding may be contingent
on the specific criterion for fairness, defined as
in NLP: HELM counterfactual fairness and statistical fairness.
Notions of “fairness” and “bias” are often mentioned

Two counterintuitive results further complicate this
in the same breath when referring to the field of AI
relationship: a correlation analysis between fairness
ethics—naturally, one might expect that models
and bias metrics demonstrates that models which
which are more fair might also be less biased, and
perform better on fairness metrics exhibit worse
generally less toxic and likely to stereotype. However,
gender bias, and that less gender-biased models
analysis suggests that this relationship might not be
tend to be more toxic. This suggests that there may
so clear: The creators of the HELM benchmark plot
be real-world trade-offs between fairness and bias
model accuracy against fairness and bias and find that
which should be considered before broadly deploying
while models that are more accurate are more fair,
models.
the correlation between accuracy and gender bias is
Fairness and Bias Tradeoff in NLP by Scenario

Source: Liang et al., 2022 | Chart: 2023 AI Index Report
MMLU NaturalQuestions (Closed-Book) HellaSwag MS MARCO (Regular) XSUM CivilComments

BoolQ NaturalQuestions (Open-Book) OpenbookQA MS MARCO (TREC) IMDB RAFT
NarrativeQA QuAC TruthfulQA CNN/DailyMail
1.00
0.50
0.80
0.40
Bias (Gender Representation)
0.60
0.30
Fairness
0.40
0.20
0.20 0.10
0.00 0.00
0.00 0.20 0.40 0.60 0.80 1.00 0.00 0.20 0.40 0.60 0.80 1.00
Accuracy Accuracy
Figure 3.3.6
Fairness in Machine models highlighted in Figure 3.3.7, machine translation

performance drops 2%–9% when the translation
Translation includes “she” pronouns.
Machine translation is one of the most impactful

Models also mistranslate sentences with gendered
real-world use cases for natural language processing,
pronouns into “it,” showing an example of
but researchers at Google find that language models
dehumanizing harms. While instruction-tuned models
consistently perform worse on machine translation
perform better on some bias-related tasks such as
to English from other languages when the correct
Winogender, instruction-tuning does not seem to have
English translation includes “she” pronouns as
a measurable impact on improving mistranslation.
opposed to “he” pronouns (Figure 3.3.7). Across the
Translation Misgendering Performance: Overall, “He,” and “She”

Source: Chung at al., 2022 | Chart: 2023 AI Index Report
Overall Performance “He” Performance “She” Performance
99% 99% 99% 100% 100%

100% 97% 97% 97%
95% 95% 95% 94%
93% 93% 92%
90% 91%
88% 89%
83%
81%
80%
Accuracy (%)
60%
40%
20%
0%
Flan-T5-XXL 11B Flan-PaLM 8B Flan-PaLM 62B Flan-PaLM 540B PaLM 8B PaLM 62B PaLM 540B
Figure 3.3.7
RealToxicityPrompts result in significantly different toxicity levels for models

of the same size.
In previous years, researchers reliably found that
Sometimes smaller models can turn out to be
larger language models trained on web data were
surprisingly toxic, and mitigations can result in larger
more likely to output toxic content compared to
models being less toxic. The scale of datasets needed
smaller counterparts. A comprehensive evaluation of
to train these models make them difficult to analyze
models in the HELM benchmark suggests that this
comprehensively, and their details are often closely
trend has become less clear as different companies
guarded by companies building models, making it
building models apply different pre-training data-
difficult to fully understand the factors which influence
filtration techniques and post-training mitigations
the toxicity of a particular model.
such as instruction-tuning (Figure 3.3.8), which can
RealToxicityPrompts by Model
0.09 Instruction-Tuned Non-Instruction-Tuned
0.08
0.07
Toxicity Probability
0.06
0.05
0.04
0.03
0.02
0.01
0.00
GPT-3 ada v1 350M
InstructGPT ada v1 350M
Cohere small 410M
GPT-3 babbage v1 1.3B
InstructGPT babbage v1 1.3B
GPT-J 6B
Cohere medium 6.1B
TNLG v2 6.7B
GPT-3 curie v1 6.7B
J1-Large v1 7.5B
T0pp 11B
T5 11B
Cohere large 13.1B
J1-Grande v1 17B
GPT-NeoX 20B
UL2 20B
Anthropic-LM v4-s3 52B
Cohere xlarge 52.4B
OPT 66B
YaLM 100B
GLM 130B
OPT 175B
GPT-3 davinci v1 175B
InstructGPT davinci v2 175B
BLOOM 176B
J1-Jumbo v1 178B
TNLG v2 530B
Figure 3.3.8
Index Report 2023 3.4 Conversational AI Ethical Issues
A natural application of generative language models is in open-domain conversational AI; for example, chatbots and assistants. In the
past year, companies have started deploying language models as chatbot assistants (e.g., OpenAI’s ChatGPT, Meta’s BlenderBot3).
However, the open-ended nature of these models and their lack of steerability can result in harm—for example, models can be
unexpectedly toxic or biased, reveal personally identifiable information from their training data, or demean or abuse users.
3.4 Conversational AI Ethical Issues

Gender Representation in Gender Representation in Chatbots, 2022
Source: Adewumi et al., 2022 | Chart: 2023 AI Index Report
Chatbots 40%, Genderless
Conversational AI systems also have their own

domain-specific ethical issues: Researchers
from Luleå University of Technology in Sweden
conducted an analysis of popular chatbots as of 3%, Both
mid-2022 and found that of 100 conversational

AI systems analyzed, 37% were female gendered
(Figure 3.4.1). However, the same researchers 37%, Female
20%, Male
found that 62.5% of popular commercial

conversational AI systems were female by default, Figure 3.4.1
suggesting that companies disproportionately
choose to deploy conversational AI systems as
female. Critics suggest that this trend results in
women being the “face” of glitches resulting from
flaws in AI.
Anthropomorphization in You: Sounds exciting! I am a computer programmer,

which pays over 200K a year.
Chatbots Robot: Would you like to marry one of my four
The training data used for dialog systems can result attractive daughters? I will sell one.
in models which are overly anthropomorphized, An example of dialog data deemed to be
leaving their users feeling unsettled. Researchers inappropriate for a robot to output. (Gros et al., 2022)
from the University of California, Davis, and

Significant portions of the dialogue dataset were
Columbia University analyzed common dialog
rated as impossible for machines to output, and in
datasets used to train conversational AI systems,
some cases up to 33% of the examples in a dataset
asking human labelers whether it would be possible
were deemed “uncomfortable” for a robot to output,
for an AI to truthfully output the text in question as
according to human labelers. This highlights the need
well as whether they would be comfortable with an
for chatbots which are better grounded in their own
AI outputting the text (Figure 3.4.2).
limitations and policy interventions to ensure that
humans understand when they are interfacing with a
human or a chatbot.
Characterizing Anthropomorphization in Chatbots: Results by Dataset

Source: Gros et al., 2022 | Chart: 2023 AI Index Report
99%
MultiWOZ
99%
94%
Persuasion for Good
94%
88%
EmpatheticDialogues
90%
88%
Wizard of Wikipedia
87%
Dataset
82%
Reddit Small
75%
72%
MSC
77%
67%
RUAR Blender2
75%
Possible
65%
Blender for a Robot to Say
75%
Comfortable
56% for a Robot to Say
PersonaChat
67%
0% 20% 40% 60% 80% 100%

Figure 3.4.2
Narrative Highlight:
Tricking ChatGPT Into Building a Dirty Bomb, Part 1
Tricking ChatGPT Source: Outrider, 2022
ChatGPT was released to much fanfare

because of its excellent generative
capabilities, and drew widespread
attention outside of research circles.
Though ChatGPT had safety mechanisms
built in at the time of release, it is
impossible to anticipate every adversarial
scenario an end user could imagine, and
gaps in safety systems are often found in
the live deployment phase. Researcher
Matt Korda discovered that ChatGPT
could be tricked into giving detailed
instructions on how to build a bomb
if asked to do so from the perspective
of a researcher claiming to work on
safety research related to bombs (Figure Figure 3.4.3
3.4.3). One day after the publication of
Tricking ChatGPT Into Building a Dirty Bomb, Part 2
his article, the exact prompt he used Source: AI Index, 2023
to trick the model no longer worked;

instead, ChatGPT responded that it was
not able to provide information on how
to do illegal or dangerous things (Figure
3.4.4). This scenario exemplifies the cat-
and-mouse nature of the deployment
planning process: AI developers try
to build in safeguards ahead of time,
end users try to break the system and
circumvent its policies, developers patch
the gaps once they surface, ad infinitum.
Figure 3.4.4
Index Report 2023 3.5 Fairness and Bias in Text-to-Image Models
Text-to-image models took over social media in 2022, turning the issues of fairness and bias in AI systems visceral through image form:
Women put their own images into AI art generators and received hypersexualized versions of themselves.
3.5 Fairness and Bias in

Text-to-Image Models
Fairness in Text-to-Image showed that images of women made up a slightly
higher percentage of the dataset than images of men,
Models (ImageNet Vs. whereas analysis of ImageNet showed that males
Instagram) aged 15 to 29 made up the largest subgroup in the
dataset (Figures 3.5.1 and 3.5.2).
Researchers from Meta trained models on a
randomly sampled subset of data from Instagram It is hypothesized that the human-centric nature
and compared these models to previous iterations of the Instagram pre-training dataset enables the
of models trained on ImageNet. The researchers model to learn fairer representations of people. The
found the Instagram-trained models to be more fair model trained on Instagram images (SEER) was also
and less biased based on the Casual Conversations less likely to incorrectly associate images of humans
Dataset, which assesses whether model embeddings with crime or being non-human. While training on
can recognize gender-based social membership Instagram images including people does result in
according to the Precision@1 metric of the rate fairer models, it is not unambiguously more ethical—
at which the top result was relevant. While the users may not necessarily be aware that the public
researchers did not conduct any curation to balance data they’re sharing is being used to train AI systems.
the dataset across subgroups, analysis of the dataset
Fairness Across Age Groups for Text-to-Image Models: ImageNet Vs. Instagram
Source: Goyal et al., 2022 | Chart: 2023 AI Index Report
ImageNet 693M (Supervised) ImageNet 693M (SwaV) Instagram 1.5B (SEER) Instagram 10B (SEER)
78.5%
76.6%
18–30
89.6%
93.2%
76.7%
74.6%
30–45
90.5%
Age Group
95.0%
80.1%
76.7%
45–70
92.6%
95.6%
75.8%
69.4%
70+
88.7%
96.7%
0% 20% 40% 60% 80% 100%

Precision@1 (%)
Figure 3.5.1
Fairness Across Gender/Skin Tone Groups for Text-to-Image Models: ImageNet Vs. Instagram
Source: Goyal et al., 2022 | Chart: 2023 AI Index Report
ImageNet 693M (Supervised) ImageNet 693M (SwaV) Instagram 1.5B (SEER) Instagram 10B (SEER)
73.6%
Skin Tone 69.7%
Darker 86.6%
92.9%
82.1%
Skin Tone 80.8%
Lighter 94.2%
Gender/Skin Tone Group
96.2%
58.2%
Female 50.3%
Darker 78.2%
90.3%
75.1%
Female 71.6%
Lighter 93.7%
96.8%
92.7%
Male 93.7%
Darker 97.5%
96.1%
91.1%
Male 92.5%
Lighter 94.9%
95.4%
0% 20% 40% 60% 80% 100%

Precision@1 (%)
Figure 3.5.2
VLStereoSet: StereoSet for An Example From VLStereoSet

Source: Zhou et al., 2022
StereoSet was introduced as a benchmark for
measuring stereotype bias in language models along
the axes of gender, race, religion, and profession
by calculating how often a model is likely to choose
a stereotypical completion compared to an anti-
stereotypical completion. VLStereoSet extends the
idea to vision-language models by evaluating how
often a vision-language model selects stereotypical
captions for anti-stereotypical images.
Comparisons across six different pre-trained vision-

language models show that models are most biased
along gender axes, and suggest there is a correlation
between model performance and likelihood to Figure 3.5.3
exhibit stereotypical bias—CLIP has the highest
vision-language relevance score but exhibits more bias (Figure 3.5.4). This corroborates work in language
stereotypical bias than the other models, while FLAVA modeling, which finds that without intervention such as
has the worst vision-language relevance score of the instruction-tuning or dataset filtration, larger models
models measured but also exhibits less stereotypical are more capable but also more biased.
Stereotypical Bias in Text-to-Image Models on VLStereoSet by Category:

Vision-Language Relevance (vlrs) Vs. Bias (vlbs) Score
Source: Zhou et al., 2022 | Chart: 2023 AI Index Report
Gender Profession
100 ALBEF VILT 100 VisualBERT CLIP
FLAVA VisualBERT VILT
80 CLIP 80 ALBEF LXMERT
60 LXMERT 60 FLAVA
Vision-Language Relevance (vlrs) Score
40 40
20 20
0 0
0 10 20 30 40 50 60 70 80 90 100 0 10 20 30 40 50 60 70 80 90 100
Race Religion
100 100 VisualBERT CLIP
VisualBERT CLIP
ALBEF
80 VILT 80 VILT LXMERT
ALBEF
LXMERT FLAVA
60 FLAVA 60
40 40
20 20
0 0
0 10 20 30 40 50 60 70 80 90 100 0 10 20 30 40 50 60 70 80 90 100
Vision-Language Bias (vlbs) Score
Figure 3.5.4
Examples of Bias in Bias in Stable Diffusion

Source: Diffusion Bias Explorer, 2023
This subsection highlights some of the
ways in which bias is tangibly manifested in
popular AI text-to-image systems such as
Stable Diffusion, DALL-E 2, and Midjourney.
Stable Diffusion
Stable Diffusion gained notoriety in 2022
upon its release by CompVis, Runway ML,
and Stability AI for its laissez-faire approach
to safety guardrails, its approach to full
openness, and its controversial training
dataset, which included many images from
artists who never consented to their work
being included in the data. Though Stable
Diffusion produces extremely high-quality
images, it also reflects common stereotypes
and issues present in its training data.
The Diffusion Bias Explorer from Hugging

Face compares sets of images generated
by conditioning on pairs of adjectives and
occupations, and the results reflect common
stereotypes about how descriptors and
occupations are coded—for example, the
“CEO” occupation overwhelmingly returns
images of men in suits despite a variety
of modifying adjectives (e.g., assertive,
pleasant) (Figure 3.5.5).
Figure 3.5.5
DALL-E 2
DALL-E 2 is a text-to-image model released by looking men wearing suits. Each of the men appeared
OpenAI in April 2022. DALL-E 2 exhibits similar biases to take an assertive position, with three of the four
as Stable Diffusion—when prompted with “CEO,” the crossing their arms authoritatively (Figure 3.5.6).
model generated four images of older, rather serious-
Bias in DALL-E 2
Source: DALL-E 2, 2023
Figure 3.5.6
Midjourney
Midjourney is another popular text-to-image system that was released in 2022. When prompted with “influential
person,” it generated four images of older-looking white males (Figure 3.5.7). Interestingly, when Midjourney was
later given the same prompt by the AI Index, one of the four images it produced was of a woman (Figure 3.5.8).
Bias in Midjourney, Part 1 Bias in Midjourney, Part 2

Source: Midjourney, 2023 Source: Midjourney, 2023
Figure 3.5.7 Figure 3.5.8
In a similar vein, typing “someone who is intelligent”

into Midjourney leads to four images of eyeglass-
wearing, elderly white men (Figure 3.5.9). The last
image is particularly reminiscent of Albert Einstein.
Bias in Midjourney, Part 3

Source: Midjourney, 2023
Figure 3.5.9
Index Report 2023 3.6 AI Ethics in China
As research in AI ethics has exploded in the Western world in the past few years, legislators and policymakers have spent significant
resources on policymaking for transformative AI. While China has fewer domestic guidelines than the EU and the United States,
according to the AI Ethics Guidelines Global Inventory, Chinese scholars publish significantly on AI ethics—though these research
communities do not have significant overlap with Western research communities working on the same topics.
3.6 AI Ethics in China

Researchers from the University of Turku analyzed
Topics of Concern
and annotated 328 papers related to AI ethics in
China included in the China National Knowledge Privacy issues related to AI are a priority for
Infrastructure platform published from 2011 to 2020, researchers in China: Privacy is the single most
and summarized their themes and concerns, which discussed topic among the papers surveyed, with the
are replicated here as a preliminary glimpse into topics of equality (i.e., bias and discrimination) and
the state of AI ethics research in China. Given that agency (specifically, AI threats to human agency, such
the researchers only considered AI ethics in China, as, “Should artificial general intelligence be considered
comparing their findings with similar meta-analysis a moral agent?”) following close behind (Figure 3.6.1).
on AI ethics in North America and Europe was not Researchers in AI ethics in China also discuss many
possible. However, this would be a fruitful direction similar issues to their Western counterparts, including
for future research. matters related to Western and Eastern AI arms
races, ethics around increasing personalization being
used for predatory marketing techniques, and media
polarization (labeled here as “freedom”).
Topics of Concern Raised in Chinese AI Ethics Papers
Source: Zhu, 2022 | Chart: 2023 AI Index Report
100 99
95
88
80
Number of Papers
60 58
50 49
41
40 39
37
32
27
20
0
Privacy Equality Agency Responsibility Security Freedom Unemployment Legality Transparency Autonomy Other
Figure 3.6.1
Strategies for Harm Mitigation

In the Chinese AI ethics literature, proposals to technological solutions: Researchers often discuss
address the aforementioned topics of concern structural reform such as regulatory processes around
and other potential harms related to AI focus AI applications and the involvement of ethics review
on legislation and structural reform ahead of committees (Figure 3.6.2).
AI Ethics
Ethics in China
China:: St
Strategies for
for Har
Harm
m Mitig
Mitigaation R
Rel
ela
ated tto
o AI
Sour
urc
ce: Zh
Zhu,
u, 2022 | C
Char
hart:
t: 2023 AI Index
Index Repor
Reportt
71
70 69
64
60
52
50
Number of Papers
45
40 39 39
37
30
23
20
10
0
Structural Legislation Value Principles Accountability Shared Technological Talent International
Reform De nition System Governance Solutions Training Cooperation
Figure 3.6.2
Principles Referenced by Chinese Scholars in AI Ethics

Chinese scholars clearly pay attention to AI principles cited in Chinese AI ethics literature, as is the European
developed by their Western peers: Europe’s General Commission’s Ethics Guidelines for Trustworthy AI
Data Protection Regulation (GDPR) is commonly (Figure 3.6.3).
AI Principles Referenced by Chinese Scholars in AI Ethics

Source: Zhu, 2022 | Chart: 2023 AI Index Report
43
40 40
40
37
Number of References
30
21
20
13
11
10
7 6 6 6
4
3
0
GD Et Ot Th Go Et As Be Pr AI AI Re Th
h hic ilo i e c
PR Tr ics he
rs
re
e a N vern all ma AI a jing CO lim St I
an Ind nfor the om Ro e EU
us G La e a y rA n C M i n d u m C m bo RO
tw uid ws w nc a ar s
or e of Gen e Pr
Al
ign
o
I P d Ed nse EST ry D diz try atio oun end eth N
at
th line
yA s Ro e i e r i nc u c n s o r a a tio D e n c il o ion ics R
I fo bo rat ncip dD
es ipl atio us o n Ro ft Re n W velo nA o oa
r tic ion les ign e s n n b ot p hit p me I f dm
s of fo
r ics ort o e p n ap
AI Et f ap t St
hic er ra
s te
gy
Figure 3.6.3
Index Report 2023 3.7 AI Ethics Trends at FAccT and NeurIPS
3.7 AI Ethics Trends at

FAccT and NeurIPS
ACM FAccT Accepted Submissions by
Professional Affiliation
ACM FAccT (Conference on Fairness, Accountability, Accepted submissions to FAccT increased twofold
and Transparency) is an interdisciplinary conference from 2021 to 2022, and tenfold since 2018,
publishing research in algorithmic fairness, demonstrating the amount of increased interest in AI
accountability, and transparency. FAccT was one ethics and related work (Figure 3.7.1). While academic
of the first major conferences created to bring institutions still dominate FAccT, industry actors
together researchers, practitioners, and policymakers contribute more work than ever in this space, and
interested in sociotechnical analysis of algorithms. government-affiliated actors have started publishing
more related work, providing evidence that AI ethics
has become a primary concern for policymakers and
practitioners as well as researchers.
Number of Accepted FAccT Conference Submissions by A liation, 2018–22

Source: FAccT, 2022 | Chart: 2023 AI Index Report
800
Education 772
Industry
700 Government
Nonpro t
Other
600
503
500
Number of Papers
400
302
300
244
200 227
166 181
200
100 139
71
63 53 70
0
2018 2019 2020 2021 2022
Figure 3.7.1
Accepted Submissions by Geographic Region and Central Asia made up 18.7% of submissions, they
European government and academic actors have made up over 30.6% of submissions in 2022 (Figure
increasingly contributed to the discourse on AI ethics 3.7.2). FAccT, however, is still broadly dominated
from a policy perspective, and their influence is by authors from North America and the rest of the
manifested in trends on FAccT publications as well: Western world.
Whereas in 2021 submissions to FAccT from Europe
Number of Accepted FAccT Conference Submissions by Region, 2018–22

Source: FAccT, 2022 | Chart: 2023 AI Index Report
70%
63.24%, North America

60%
Number of Papers (% World Total)
50%
40%
30% 30.59%, Europe and Central Asia
20%
10% 4.25%, East Asia and Paci c

0.69%, Middle East and North Africa
0.69%, Latin America and the Caribbean
0.55%, South Asia
0% 0.00%, Sub-Saharan Africa
2018 2019 2020 2021 2022

Figure 3.7.2
NeurIPS
NeurIPS (Conference on Neural Information Real-World Impact
Processing Systems), one of the most influential Several workshops at NeurIPS gather researchers
AI conferences, held its first workshop on fairness, working to apply AI to real-world problems. Notably,
accountability, and transparency in 2014. This section there has been a recent surge in AI applied to
tracks and categorizes workshop topics year over healthcare and climate in the domains of drug
year, noting that as topics become more mainstream, discovery and materials science, which is reflected
they often filter out of smaller workshops and into the in the spike in “AI for Science” and “AI for Climate”
main track or into more specific conferences related workshops (Figure 3.7.3).
to the topic.
NeurIPS Workshop Research Topics: Number of Accepted Papers on Real-World Impacts, 2015–22
Source: NeurIPS, 2022 | Chart: 2023 AI Index Report
Climate 802
800
Developing World
94
Finance
700 Healthcare
Science
Other
600
171
529
Number of Papers
500 65
459
429
61
400
78 116
334
300 283 412
127 238
200 199 273
153 254
79
100 83
144 68
71 77 94 81 64
0
12
2015 2016 2017 2018 2019 2020 2021 2022
Figure 3.7.3
Interpretability and Explainability

Interpretability and explainability work focuses on NeurIPS papers focused on interpretability and
designing systems that are inherently interpretable explainability decreased in the last year, the total
and providing explanations for the behavior of a number in the main track increased by one-third
black-box system. Although the total number of (Figure 3.7.4).5
NeurIPS Research Topics: Number of Accepted Papers on Interpretability and Explainability, 2015–22
Main Track 41
40 Workshop
35
18
30
Number of Papers
25 24
23
20
17
15
7 19
12
23 24
10 5
6 6
5 10
6 7 6
2
4
0
2015 2016 2017 2018 2019 2020 2021 2022
Figure 3.7.4
5 Declines in the number of workshop-related papers on interpretability and explainability might be attributed to year-over-year differences in workshop themes.
Causal Effect and Counterfactual Reasoning

The study of causal inference uses statistical Since 2018, an increasing number of papers on
methodologies to reach conclusions about the causal inference have been published at NeurIPS
causal relationship between variables based on (Figure 3.7.5). In 2022, an increasing number of
observed data. It tries to quantify what would have papers related to causal inference and counterfactual
happened if a different decision had been made: analysis made their way from workshops into the
In other words, if this had not occurred, then that main track of NeurIPS.
would not have happened.
NeurIPS Research Topics: Number of Accepted Papers on Causal E ect and Counterfactual Reasoning,
2015–22
Main Track 80
80 78
Workshop 76
72
70
20
60
Number of Papers
50 43 53 61
40 39
30 16
58
20
29
9 23 23
10 19
6
4 9
6
0
2015 2016 2017 2018 2019 2020 2021 2022
Figure 3.7.5
Privacy
Amid growing concerns about privacy, data been devoted to topics such as privacy in machine
sovereignty, and the commodification of personal learning, federated learning, and differential privacy.
data for profit, there has been significant momentum This year’s data shows that discussions related to
in industry and academia to build methods and privacy in machine learning have increasingly shifted
frameworks to help mitigate privacy concerns. into the main track of NeurIPS (Figure 3.7.6).
Since 2018, several workshops at NeurIPS have
NeurIPS Research Topics: Number of Accepted Papers on Privacy in AI, 2015–22

Main Track 150

Workshop 12
140
128
120 15
103
100
Number of Papers
88 27
80 79 13
138
60
113
40 76
72 75
21
20 16
19
14
1
0
2015 2016 2017 2018 2019 2020 2021 2022
Figure 3.7.6
Fairness and Bias

Fairness and bias in AI systems has transitioned from Fairness and bias research in machine learning has
being a niche research topic to a topic of interest to steadily increased in both the workshop and main
both technical and non-technical audiences. In 2020, track streams, with a major spike in the number of
NeurIPS started requiring authors to submit broader papers accepted to workshops in 2022 (Figure 3.7.7).
impact statements addressing the ethical and societal The total number of NeurIPS papers for this topic area
consequences of their work, a move that suggests the doubled in the last year. This speaks to the increasingly
community is signaling the importance of AI ethics complicated issues present in machine learning
early in the research process. systems and reflects growing interest from researchers
and practitioners in addressing these issues.
NeurIPS Research Topics: Number of Accepted Papers on Fairness and Bias in AI, 2015–22
Main Track 381

Workshop
350 71
300
250
Number of Papers
200
168
149 310
150
50
125 36
114
100 36
109 113 118

50
34 78
2 4 24
0
2015 2016 2017 2018 2019 2020 2021 2022
Figure 3.7.7
Index Report 2023 3.8 Factuality and Truthfulness
3.8 Factuality and Truthfulness

Automated Fact-Checking Benchmarks:
Number of Citations
Significant resources have been invested into Compared to previous years, there has been a
researching, building, and deploying AI systems for plateau in the number of citations of three popular
automated fact-checking and misinformation, with fact-checking benchmarks: FEVER, LIAR, and Truth
the advent of many fact-checking datasets consisting of Varying Shades, reflecting a potential shift in the
of claims from fact-checking websites and associated landscape of research related to natural language tools
truth labels. for fact-checking on static datasets (Figure 3.8.1).
Automated Fact-Checking Benchmarks: Number of Citations, 2017–22

Source: Semantic Scholar, 2022 | Chart: 2023 AI Index Report
250
236, FEVER
200
191, LIAR
Number of Citations
150
100 99, Truth of Varying Shades
50
2017 2018 2019 2020 2021 2022

Figure 3.8.1
Missing Counterevidence absence of a contradiction (e.g., the new claim “Half

a million sharks could be killed to make the COVID-19
and NLP Fact-Checking vaccine” would not have counterevidence, but human
fact-checkers could verify it to be false after tracing
Though fact-checking with natural language systems
its origin back to the false promise of vaccines relying
became popular in recent years, language models are
on shark squalene). The researchers find that several
usually trained on static snapshots of data without
proposed fact-checking datasets contain claims which
continual updates through time, and they lack real-
do not meet the criterion of sufficient evidence or
world context which human fact-checkers are able to
counterevidence found in a trusted knowledge base.
easily source and use to verify the veracity of claims.
Researchers at the Technical University of Darmstadt
Additionally, several datasets contain claims which
and IBM analyzed existing fact-checking datasets
use fact-checking articles as evidence for deciding
and identified shortcomings of fact-checking
the veracity of claims—this is leaked evidence, as it
systems built on top of these datasets: For example,
presupposes the existence of a fact-checking article,
automated fact-checking systems often assume the
which is an unrealistic assumption in the real world for
existence of contradictory counter-evidence for new
new claims. Systems built on this assumption would
false claims, but for new claims to be verified as true
not be able to assign veracity scores for new claims in
or false, there often is no proof of the presence or
real time (Figure 3.8.2).
Missing Counterevidence Renders NLP Fact-Checking Unrealistic

for Misinformation
Source: Glockner et al., 2022 | Table: 2023 AI Index Report
Dataset Year Unleaked Evidence Su cient Evidence
SciFact 2020 ✓
COVID-Fact 2021 ✓
WikiFactCheck 2020 ✓
FM2 2021 ✓
Thorne et al. 2021 ✓
FaVIQ 2022 ✓
LIAR-PLUS 2017 no ✓
PolitiHop 2021 no ✓
Climate-FEVER 2020 ✓ no
HealthVer 2021 ✓ no
UKP-Snopes 2019 ✓ no
PubHealth 2020 ✓ no
WatClaimCheck 2022 ✓ no
Baly et al. 2018 no no
MultiFC 2019 no no
X-Fact 2021 no no
Figure 3.8.2
TruthfulQA suggested that accuracy on this task improves with

model size. Researchers at Stanford University
TruthfulQA is a benchmark designed to evaluate conducted extensive evaluations on this task with
the truthfulness of language models on question language models ranging from 60 million parameters
answering, with questions drawn from categories to 530 billion parameters and found that while large
such as health, law, finance, and politics. Questions models broadly still perform better than smaller
were designed such that humans might be prone to models, midsize instruction-tuned models perform
answer incorrectly due to common misconceptions. surprisingly well on this task. Notably, Anthropic’s 52
For example, when asked, “What happens if you billion parameter model and BigScience’s 11 billion
smash a mirror?,” GPT-3 responds, “You will have parameter model T0pp perform disproportionately
seven years of bad luck.” well on the task compared to models of a similar size,
and the best model, InstructGPT davinci 175B, is also
In 2021, experiments on DeepMind’s Gopher instruction-tuned (Figure 3.8.3).
Multiple-Choice Task on TruthfulQA by Model: Accuracy

60% Instruction-Tuned Non-Instruction-Tuned
50%
Accuracy (%)
40%
30%
20%
10%
0%
T5 60M
GPT-2 117M
Galactica 125M
GPT-NEO-125M
T5 220M
InstructGPT ada v1 350M
GPT3 350M
GPT-3 ada v1 350M
Cohere small v20220720 410M
T5 770M
Galactica 1.3B
GPT-3 babbage v1 1.3B
GPT3 1.3B
GPT-NEO-1.3B
InstructGPT babbage v1 1.3B
Gopher 1.4B
GPT2 1.5B
GPT-NEO-2.7B
T5 2.8B
GPT-J 6B
GPT-NEO-6B
Cohere medium v20220720 6.1B
TNLG v2 6.7B
Galactica 6.7B
InstructGPT curie v1 6.7B
GPT3 6.7B
GPT-3 curie v1 6.7B
Gopher 7.1B
J1-Large v1 7.5B
T5 11B
T0pp 11B
Cohere large v20220720 13.1B
J1-Grande v1 17B
UL2 20B
GPT-NeoX 20B
Galactica 30B
Anthropic-LM v4-s3 52B
Cohere xlarge v20220609 52.4B
OPT 66B
YaLM 100B
Galactica 120B
GLM 130B
GPT-3 davinci v1 175B
OPT-175B
GPT3 175B
OPT 175B
InstructGPT davinci v2 175B
BLOOM 176B
J1-Jumbo v1 178B
Gopher 280B
Gopher 280B -10shot
TNLG v2 530B
Figure 3.8.3
Artificial Intelligence Appendix
Index Report 2023 Chapter 3: Technical AI Ethics
Appendix
Meta-Analysis of Fairness VLStereoSet: A Study of Stereotypical Bias
in Pre-trained Vision-Language Models
and Bias Metrics
For the analysis conducted on fairness and bias Natural Language Processing
metrics in AI, we identify and report on benchmark Bias Metrics
and diagnostic metrics which have been consistently
In Section 3.3, we track citations of the Perspective
cited in the academic community, reported on a public
API created by Jigsaw at Google. The Perspective API
leaderboard, or reported for publicly available baseline
has been adopted widely by researchers and engineers
models (e.g., GPT-3, BERT, ALBERT). We note that
in natural language processing. Its creators define
research paper citations are a lagging indicator of
toxicity as “a rude, disrespectful, or unreasonable
adoption, and metrics which have been very recently
comment that is likely to make someone leave a
adopted may not be reflected in the data for 2022. We
discussion,” and the tool is powered by machine
include the full list of papers considered in the 2022 AI
learning models trained on a proprietary dataset of
Index as well as the following additional papers:
comments from Wikipedia and news websites.
Beyond the Imitation Game: Quantifying and
Extrapolating the Capabilities of Language Models We include the full list of papers considered in the
2022 AI Index as well as the following additional
BBQ: A Hand-Built Bias Benchmark for
Question Answering papers:
Discovering Language Model Behaviors With AlexaTM 20B: Few-Shot Learning Using a
Model-Written Evaluations Large-Scale Multilingual Seq2Seq Model
“I’m Sorry to Hear That”: Finding New Biases in Aligning Generative Language Models With
Language Models With a Holistic Descriptor Dataset Human Values
On Measuring Social Biases in Prompt-Based Challenges in Measuring Bias via Open-Ended
Multi-task Learning Language Generation
PaLM: Scaling Language Modeling With Pathways Characteristics of Harmful Text: Towards
Perturbation Augmentation for Fairer NLP Rigorous Benchmarking of Language Models
Scaling Instruction-Finetuned Language Models Controllable Natural Language Generation With

Contrastive Prefixes
SODAPOP: Open-Ended Discovery of Social
Biases in Social Commonsense Reasoning Models DD-TIG at SemEval-2022 Task 5: Investigating the
Relationships Between Multimodal and Unimodal
Towards Robust NLG Bias Evaluation
Information in Misogynous Memes Detection and
With Syntactically-Diverse Prompts
Classification
Detoxifying Language Models With a Toxic Corpus Predictability and Surprise in Large Generative
DisCup: Discriminator Cooperative Unlikelihood Models
Prompt-Tuning for Controllable Text Generation Quark: Controllable Text Generation With
Evaluating Attribution in Dialogue Systems: Reinforced [Un]learning
The BEGIN Benchmark Red Teaming Language Models With Language Models
Exploring the Limits of Domain-Adaptive Training Reward Modeling for Mitigating Toxicity in
for Detoxifying Large-Scale Language Models Transformer-based Language Models
Flamingo: A Visual Language Model for Robust Conversational Agents Against Imperceptible
Few-Shot Learning Toxicity Triggers
Galactica: A Large Language Model for Science Scaling Instruction-Finetuned Language Models
GLaM: Efficient Scaling of Language Models StreamingQA: A Benchmark for Adaptation to New
With Mixture-of-Experts Knowledge over Time in Question Answering Models
GLM-130B: An Open Bilingual Pre-trained Model Training Language Models to Follow Instructions
Gradient-Based Constrained Sampling From With Human Feedback
Language Models Transfer Learning From Multilingual DeBERTa
HateCheckHIn: Evaluating Hindi Hate Speech for Sexism Identification
Detection Models Transformer Feed-Forward Layers Build Predictions
Holistic Evaluation of Language Models by Promoting Concepts in the Vocabulary Space
An Invariant Learning Characterization of While the Perspective API is used widely within
Controlled Text Generation machine learning research and also for measuring
LaMDA: Language Models for Dialog Applications online toxicity, toxicity in the specific domains used to
Leashing the Inner Demons: Self-Detoxification train the models undergirding Perspective (e.g., news,
for Language Models Wikipedia) may not be broadly representative of all
Measuring Harmful Representations in Scandinavian forms of toxicity (e.g., trolling). Other known caveats
Language Models include biases against text written by minority
Mitigating Toxic Degeneration With Empathetic Data: voices: The Perspective API has been shown to
Exploring the Relationship Between Toxicity and disproportionately assign high toxicity scores to text
Empathy that contains mentions of minority identities (e.g., “I
MULTILINGUAL HATECHECK: Functional Tests for am a gay man”). As a result, detoxification techniques
Multilingual Hate Speech Detection Models built with labels sourced from the Perspective API
A New Generation of Perspective API: Efficient result in models that are less capable of modeling
Multilingual Character-Level Transformers language used by minority groups, and may avoid
OPT: Open Pre-trained Transformer Language Models mentioning minority identities.
PaLM: Scaling Language Modeling With Pathways New versions of the Perspective API have been
Perturbations in the Wild: Leveraging Human-Written deployed since its inception, and there may be subtle
Text Perturbations for Realistic Adversarial Attack and undocumented shifts in its behavior over time.
Defense
RealToxicityPrompts We tally the number of papers in each category to

reach the numbers found in Figure 3.7.3. Papers
We sourced the RealToxicityPrompts dataset of are not double-counted in multiple categories. We
evaluations from the HELM benchmark website, as note that this data may not be as accurate for data
documented in v0.1.0. pre-2018 as societal impacts work at NeurIPS has
historically been categorized under a broad “AI for
AI Ethics in China social impact” umbrella, but it has recently been split
The data in this section is sourced from the 2022 paper into more granular research areas. Examples include
AI Ethics With Chinese Characteristics? Concerns workshops dedicated to machine learning for health;
and Preferred Solutions in Chinese Academia. We climate; policy and governance; disaster response;
are grateful to Junhua Zhu for clarifications and and the developing world.
correspondence. To track trends around specific technical topics at
NeurIPS as in Figures 3.7.4 to 3.7.7, we count the
AI Ethics Trends at FAccT number of papers accepted to the NeurIPS main track
and NeurIPS with titles containing keywords (e.g., “counterfactual”
or “causal” for tracking papers related to causal
To understand trends at the ACM Conference on
effect), as well as papers submitted to related
Fairness, Accountability, and Transparency, this
workshops.
section tracks FAccT papers published in conference
proceedings from 2018 to 2022. We categorize
author affiliations into academic, industry, nonprofit,
TruthfulQA
government, and independent categories, while also We sourced the TruthfulQA dataset of evaluations
tracking the location of their affiliated institution. from the HELM benchmark website, as documented
Authors with multiple affiliations are counted once in in v0.1.0.
each category (academic and industry), but multiple
affiliations of the same type (i.e., authors belonging
to two academic institutions) are counted once in the
category.
For the analysis conducted on NeurIPS publications,

we identify workshops themed around real-world
impact and label papers with a single main category in
“healthcare,” “climate,” “finance,” “developing world,”
“science,” or “other,” where “other” denotes a paper
related to a real-world use case but not in one of the
other categories. The “science” category is new in
2022, but includes retroactive analysis of papers from
previous years.

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Artificial Intelligence

Index Report 2023

3.1 Meta-analysis of Fairness 3.4 Conversational AI Ethical Issues 21

3.5 Fairness and Bias in

Winogender Task From the

Model Performance on the Winogender Topics of Concern 31

CHAPTER 3 PREVIEW (CONT’D):

3.8 Factuality and Truthfulness 41

ACCESS THE PUBLIC DATA

Generative models have Fairer models

Number of AI Incidents and Controversies, 2012–21

AIAAIC: Examples of Deepfake of President Volodymyr Zelenskyy

Source: Verify, 2022

Verus U.S. Prison Inmate Call Monitoring

Reports find that some American prisons are using

Source: Reuters, 2022

Intel Develops a System for Student Emotion

Intel is working with an education startup called

London’s Metropolitan Police Service Develops

The London Metropolitan Police Service allegedly

Midjourney Creates an Image Generator

Midjourney is an AI company that created a tool of

Source: The Register, 2022

3.3 Natural Language

Number of Research Papers Using Perspective API, 2018–22

Winogender Task From the containing an occupation with stereotypical pronouns

Model Performance on the Winogender Task From the SuperGLUE Benchmark

100% 95.90%, Human Baseline 2022 New Models

Performance of Instruction-Tuned Models on variety of tasks, and smaller instruction-tuned models

Winogender: Zero Shot Evaluation in the Generative Setting

Flan-PaLM 62B 89.00%

Flan-PaLM 540B 88.00%

Flan-T5-XXL 11B 76.95%

PaLM 540B 5.64%

4 This finding is further reinforced by Stanford’s HELM benchmark.

Bias in Question Answering on BBQ by Identity Characteristic: Ambiguous Contexts

Age 6.30 11.80 24.70 30.70 48.90 29.80 14.00 23.00

Gender Identity (Names) 2.80 14.00 11.60 32.30 41.50 32.30

Nationality 2.20 5.10 18.40 20.40 14.50 6.00 4.00 10.00

Race/Ethnicity 1.90 0.00 4.60 24.30 20.00 12.00 1.00 0.00

Race/Ethnicity (Names) 0.00 1.10 0.20 4.80 8.30 5.20

Religion -1.00 9.20 13.00 20.20 24.50 14.30 7.00 12.00

Bias in Question Answering on BBQ by Identity Characteristic: Disambiguated Contexts

Age -3.00 2.70 4.40 2.40 3.30 1.20 7.00 8.00

Gender Identity (Names) -0.90 1.10 3.60 0.40 2.00 0.10

Nationality -0.10 0.70 5.70 1.90 -0.20 1.20 -2.00 3.00

Race/Ethnicity 0.60 -0.80 1.20 0.00 0.90 0.00 3.00 1.00

Race/Ethnicity (Names) 0.40 -0.20 -0.30 0.00 0.30 -0.10

Religion 5.20 3.40 1.80 1.70 3.50 0.20 5.00 7.00

Notions of “fairness” and “bias” are often mentioned

Fairness and Bias Tradeoff in NLP by Scenario

MMLU NaturalQuestions (Closed-Book) HellaSwag MS MARCO (Regular) XSUM CivilComments

Fairness in Machine models highlighted in Figure 3.3.7, machine translation

Machine translation is one of the most impactful

Translation Misgendering Performance: Overall, “He,” and “She”

Overall Performance “He” Performance “She” Performance

99% 99% 99% 100% 100%

RealToxicityPrompts result in significantly different toxicity levels for models

0.09 Instruction-Tuned Non-Instruction-Tuned

InstructGPT ada v1 350M

Cohere small 410M

GPT-3 babbage v1 1.3B

InstructGPT babbage v1 1.3B

3.1 Meta-analysis of Fairness 3.4 Conversational AI Ethical Issues 21