ETHICALLY ALIGNED DESIGN: A Vision for Prioritizing Human Well-being with Autonomous and Intelligent SystemsThe goal of The IEEE Global Initiative on Ethics of Autonomous and Intelligent Systems (“The IEEE Global Initiative”) is that Ethically Aligned Design will provide pragmatic and directional insights and recommendations, serving as a key reference for the work of technologists, educators and policymakers in the coming years. Ethically Aligned Design sets forth scientific analysis and resources, high-level principles, and actionable recommendations. It offers specific guidance for standards, certification, regulation or legislation for design, manufacture, and use of A/IS that provably aligns with and improves holistic societal well-being.Ethical Foundations - Classical Ethics -- By drawing from over two thousand five hundred years of classical ethics traditions, the authors of Ethically Aligned Design explored established ethics systems, addressing both scientific and religious approaches, including secular philosophical traditions, to address human morality in the digital age. Through reviewing the philosophical foundations that define autonomy and ontology, this work addresses the alleged potential for autonomous capacity of intelligent technical systems, morality in amoral systems, and asks whether decisions made by amoral systems can have moral consequences.Institute of Electrical and Electronics EngineersIEEE_1edc1671-4cf3-4e01-9745-e32eedb1ece1EAD ContributorsOur progress and the ongoing positive influence of this work are due to the volunteer experts serving on all our Committees and IEEE P7000™ Standards Working Groups, along with the IEEE professional staff who support our efforts. Thank you for your dedication toward defining, designing, and inspiring the ethical principles and standards that will ensure that autonomous and intelligent systems and the technologies associated with them will positively benefit humanity.EAD Executive CommitteeWe wish to thank the Executive Committee and Committees of The IEEE Global Initiative on Ethics of Autonomous and Intelligent Systems:Raja ChatilaChair Kay Firth-ButterfieldVice ChairJohn C. HavensExecutive DirectorDr. Greg AdamsonExecutive Committee MemberKaren BartlesonExecutive Committee MemberVirginia DignumExecutive Committee MemberDanit GalExecutive Committee MemberMalavika JayaramExecutive Committee MemberSven KoenigExecutive Committee MemberEileen M. LachExecutive Committee MemberRaj MadhavanExecutive Committee MemberRichard MallahExecutive Committee MemberAJung MoonExecutive Committee MemberMonique MorrowExecutive Committee MemberFrancesca RossiExecutive Committee MemberAlan WinfieldExecutive Committee MemberHagit Messer YaronExecutive Committee MemberMark HalversonCommittee Chair, General PrinciplesPeet van BiljonCommittee Chair, General PrinciplesFrancesca RossiCommittee Chair, Embedding Values into Autonomous Intelligent SystemsBertram F. MalleCommittee Chair, Embedding Values into Autonomous Intelligent SystemsRaja ChatilaCommittee Chair, Methodologies to Guide Ethical Research and DesignCorinne CathCommittee Chair, Methodologies to Guide Ethical Research and DesignMalo BourgonCommittee Chair, Safety and Beneficence of Artificial General Intelligence (AGI) and Artificial Superintelligence (ASI)Richard MallahCommittee Chair, Safety and Beneficence of Artificial General Intelligence (AGI) and Artificial Superintelligence (ASI)Katryna DowCommittee Chair, Personal Data and Individual AgencyJohn C. HavensCommittee Chair, Personal Data and Individual AgencyPeter AsaroCommittee Chair, Reframing Autonomous Weapons SystemsElizabeth GibbonsCommittee Chair, Sustainable DevelopmentNicolas EconomouCommittee Chair, LawJohn CaseyCommittee Chair, LawJohn SullinsCommittee Chair, Affective ComputingJoanna J. BrysonCommittee Chair, Affective ComputingJared BielbyCommittee Chair, Classical Ethics in A/ISPeter BrooksCommittee Chair, PolicyMina HannahCommittee Chair, PolicyMonique MorrowCommittee Chair, Extended RealityJay IorioCommittee Chair, Extended RealityLaura MusikanskiCommittee Chair, Well-beingJohn C. HavensCommittee Chair, Well-beingKaren BartlesonCommittee Chair, EditingEileen M. LachCommittee Chair, EditingMaya ZuckermanCommittee Chair, OutreachAli MuzaffarCommittee Chair, OutreachLeanne SeetoCommittee Chair, CommunicationsMark HalversonCommittee Chair, CommunicationsTess PosnerCommittee Chair, High SchoolVictoria WangCommittee Chair, Global Coordination Arisa EmaCommittee Chair, Global Coordination Pavel GotovtsevCommittee Chair, Global Coordination EAD Programs & ProjectsPrograms and Projects Inspired by The IEEE Global Initiative:Ethically Aligned Design University ConsortiumHagit Messer, ChairEthically Aligned Design CommunityLisa Morgan, Program Director, Content and CommunityEthics Certification Program for Autonomous and Intelligent SystemsMeeri Haataja, Chair; Ali Hessami, Vice-ChairEAD GlossarySara M. Jordan, ChairEAD PeopleDr. Ing. Konstantinos KarachaliosWe would like to warmly recognize the leadership and constant support of The IEEE Global Initiative on Ethics of Autonomous and Intelligent Systems by Dr. Ing. Konstantinos Karachalios, Managing Director of the IEEE Standards Association.Stephen WelbyWe would also like to thank Stephen Welby, Executive Director and Chief Operating Officer of IEEE for his generous and insightful support of the Ethically Aligned Design, First Edition process and The IEEE Global Initiative overall.Eileen M. LachWe would especially like to thank Eileen M. Lach, the former IEEE General Counsel and Chief Compliance Officer, whose heartfelt conviction that there is a pressing need to focus the global community on highlighting ethical considerations in the development of autonomous and intelligent systems served as a strong catalyst for the development of the Initiative within IEEE.Other EAD CommitteesFinally, we would like to also acknowledge the ongoing work of three Committees of The IEEE Global Initiative regarding their chapters of Ethically Aligned Design that, for timing reasons, we were not able to include in Ethically Aligned Design, First Edition. These Committees include:Reframing Autonomous Weapons SystemsExtended Reality(formerly Mixed Reality)Safety and Beneficence of Artificial General Intelligence (AGI)Artificial Superintelligence (ASI)Other EAD Committee ChairsWe would like to thank Peter Asaro, Monique Morrow and Jay Iorio, Malo Bourgon and Richard Mallah for their leadership in these groups along with all their Committee Members. Once these chapters have completed their review and been accepted by IEEE they could either be included in Ethically Aligned Design, published by The IEEE Global Initiative, or in other publications of IEEE. Holistic societal well-being improves_24d2f2c8-a2c8-11ea-a705-66531583ea00To offer guidance for the design, manufacture, and use of autonomous and intelligent systems_24d2f4b2-a2c8-11ea-a705-66531583ea00PrinciplesGeneral Principles -- The ethical and values-based design, development, and implementation of autonomous and intelligent systems should be guided by the following General Principles:Human Rights1. Human Rights -- A/IS shall be created and operated to respect, promote, and protect internationally recognized human rights.Well-Being2. Well-being -- A/IS creators shall adopt increased human well-being as a primary success criterion for development.Data Agency3. Data Agency -- A/IS creators shall empower individuals with the ability to access and securely share their data, to maintain people’s capacity to have control over their identity.Effectiveness4. Effectiveness -- A/IS creators and operators shall provide evidence of the effectiveness and fitness for purpose of A/IS.Transparency5. Transparency -- The basis of a particular A/IS decision should always be discoverable.Accountability6. Accountability -- A/IS shall be created and operated to provide an unambiguous rationale for all decisions made.Awareness7. Awareness of Misuse -- A/IS creators shall guard against all potential misuses and risks of A/IS in operation.Competence8. Competence -- A/IS creators shall specify and operators shall adhere to the knowledge and skill required for safe and effective operation.Sustainable DevelopmentRecognize and adhere to indicators of societal flourishing._24d2f62e-a2c8-11ea-a705-66531583ea001United NationsA/IS for Sustainable Development -- Through affordable and universal access to communications networks and the Internet, autonomous and intelligent systems can be made available to and benefit populations anywhere. They can significantly alter institutions and institutional relationships toward more human-centric structures, and they can address humanitarian and sustainable development issues resulting in increased individual societal and environmental well-being. Such efforts could be facilitated through the recognition of and adherence to established indicators of societal flourishing such as the United Nations Sustainable Development Goals so that human well-being is utilized as a primary success criteria for A/IS development. _24d2f78c-a2c8-11ea-a705-66531583ea00Data AgencyEnable people to access, share, and benefit from their data and the insights it provides. _24d2f87c-a2c8-11ea-a705-66531583ea002Personal Data Rights and Agency Over Digital Identity -- People have the right to access, share, and benefit from their data and the insights it provides. Individuals require mechanisms to help create and curate the terms and conditions regarding access to their identity and personal data, and to control its safe, specific, and finite exchange. Individuals also require policies and practices that make them explicitly aware of consequences resulting from the aggregation or resale of their personal information. _24d2f962-a2c8-11ea-a705-66531583ea00AccountabilityEnsure accountability and allocate liability when autonomous and intelligent systems cause harm._24d2fa52-a2c8-11ea-a705-66531583ea003Legal Frameworks for Accountability -- The convergence of autonomous and intelligent systems and robotics technologies has led to the development of systems with attributes that simulate those of human beings in terms of partial autonomy, ability to perform specific intellectual tasks, and even a human physical appearance. The issue of the legal status of complex autonomous and intelligent systems thus intertwines with broader legal questions regarding how to ensure accountability and allocate liability when such systems cause harm.Property LawMake autonomous and intelligent technical systems subject to the applicable regimes of property law._24d2fb42-a2c8-11ea-a705-66531583ea003.1Autonomous and intelligent technical systems should be subject to the applicable regimes of property law.Rules & StandardsAdopt rules and standards that ensure effective human control over decisions and operations that should never be delegated to autonomous systems._24d2fc28-a2c8-11ea-a705-66531583ea003.2Government and industry stakeholders should identify the types of decisions and operations that should never be delegated to such systems. These stakeholders should adopt rules and standards that ensure effective human control over those decisions and how to allocate legal responsibility for harm caused by them.Legal ProtectionsProtect the manifestations generated by autonomous and intelligent technical systems under national and international laws._24d2fd22-a2c8-11ea-a705-66531583ea003.3The manifestations generated by autonomous and intelligent technical systems should, in general, be protected under national and international laws.StandardsEnsure that standards of transparency, competence, accountability, and evidence of effectiveness govern the development of autonomous and intelligent systems._24d2fe1c-a2c8-11ea-a705-66531583ea003.4Standards of transparency, competence, accountability, and evidence of effectiveness should govern the development of autonomous and intelligent systems.Education & AwarenessProtect and promote of human rights, safety, privacy, and cybersecurity as well as understanding of the impact of autonomous and intelligent systems on society._24d2ff0c-a2c8-11ea-a705-66531583ea004Policies for Education and Awareness -- Effective policy addresses the protection and promotion of human rights, safety, privacy, and cybersecurity, as well as the public understanding of the potential impact of autonomous and intelligent technical systems on society. To ensure that they best serve the public interest, policies should:Legal NormsSupport, promote, and enable internationally recognized legal norms._24d300f6-a2c8-11ea-a705-66531583ea004.1ExpertiseDevelop government expertise in related technologies._24d3025e-a2c8-11ea-a705-66531583ea004.2GovernmentsGovernance & EthicsEnsure governance and ethics are core components in research, development, acquisition, and use._24d303e4-a2c8-11ea-a705-66531583ea004.3Safety & ResponsibilityRegulate to ensure public safety and responsible system design._24d3057e-a2c8-11ea-a705-66531583ea004.4Societal ImpactsEducate the public on societal impacts of related technologies._24d306fa-a2c8-11ea-a705-66531583ea004.5The PublicSocietyImplementation_24d3086c-a2c8-11ea-a705-66531583ea005MetricsAddress the full spectrum of metrics for the well-being for individuals, the environment, and society._24d30b3c-a2c8-11ea-a705-66531583ea005.1Well-being Metrics -- For autonomous and intelligent systems to provably advance a specific benefit for humanity, there need to be clear indicators of that benefit. Common metrics of success include profit, gross domestic product, consumption levels, and occupational safety. While important, these metrics fail to encompass the full spectrum of well-being for individuals, the environment, and society. Psychological, social, economic fairness, and environmental factors matter. Well-being metrics include such factors, allowing the benefits arising from technological progress to be more comprehensively evaluated, providing opportunities to test for unintended negative consequences that could diminish human well-being. A/IS can improve capturing of and analyzing the pertinent data, which in turn could help identify where these systems would increase human well-being, providing new routes to societal and technological innovation.ValuesEmbed values into autonomous and intelligent systems._24d30cc2-a2c8-11ea-a705-66531583ea005.2Embedding Values into Autonomous and Intelligent Systems -- If machines engage in human communities as quasi-autonomous agents, then those agents must be expected to follow the community’s social and moral norms. Embedding norms in such quasi-autonomous systems requires a clear delineation of the community in which they are to be deployed. Further, even within a particular community, different types of technical embodiments will demand different sets of norms. The first step is to identify the norms of the specific community in which the systems are to be deployed and, in particular, norms relevant to the kinds of tasks that they are designed to perform.R&DPut human advancement at the core of development of technical systems._24d30e66-a2c8-11ea-a705-66531583ea005.3Methods to Guide Ethical Research and Design -- To create autonomous and intelligent technical systems that enhance and extend human well-being and freedom, values-based design methods must put human advancement at the core of development of technical systems. This must be done in concert with the recognition that machines should serve humans and not the other way around. Systems developers should employ values-based design methods in order to create sustainable systems that can be evaluated in terms of not only providing increased economic value for organizations but also of broader social costs and benefits.EmotionsEnsure that autonomous and intelligent systems do not cause harm by either amplifying or dampening human emotional experience._24d3101e-a2c8-11ea-a705-66531583ea005.4Affective Computing -- Affect is a core aspect of intelligence. Drives and emotions such as anger, fear, and joy are often the foundations of actions throughout our lives. To ensure that intelligent technical systems will be used to help humanity to the greatest extent possible in all contexts, autonomous and intelligent systems that participate in or facilitate human society should not cause harm by either amplifying or dampening human emotional experience.2020-05-31https://standards.ieee.org/content/dam/ieee-standards/standards/web/documents/other/ead1e.pdf?utm_medium=undefined&utm_source=undefined&utm_campaign=undefined&utm_content=undefined&utm_term=undefinedOwenAmburOwen.Ambur@verizon.net