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Final Version of 30 December 2021
Information Polity 27, 2 (Jun 2022) 175-191, Special Issue on 'Questioning Modern Surveillance Technologies'
Roger Clarke **
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This document is at http://rogerclarke.com/DV/AIP-S.html
Artificial Intelligence (AI) is one of the most significant of the information and communications technologies being applied to surveillance. AI's proponents argue that its promise is great, and that successes have been achieved, whereas its detractors draw attention to the many threats embodied in it, some of which are much more problematic than those arising from earlier data analytical tools.
This article considers the full gamut of regulatory mechanisms. The scope extends from natural and infrastructural regulatory mechanisms, via self-regulation, including the recently-popular field of 'ethical principles', to co-regulatory and formal approaches. An evaluation is provided of the adequacy or otherwise of the world's first proposal for formal regulation of AI practices and systems, by the European Commission. To lay the groundwork for those analyses, overviews are provided of the many forms of surveillance, and of the nature of AI.
The conclusion reached is that, despite the threats inherent in the deployment of AI, the current safeguards are seriously inadequate, and the prospects for near-future improvement are far from good. To avoid undue harm from AI applications to surveillance, it is necessary to rapidly enhance existing, already-inadequate safeguards and establish additional protections.
The scope for harm to arise from Artificial Intelligence (AI) has been recognised by technology providers, user organisations, policy-makers and the public alike. On the other hand, effective management of the risks inherent in its application has been much less apparent. Many users of Information & Communications Technologies (ICT) for surveillance purposes have been successful in avoiding meaningful regulation of their activities. What are the prospects of AI's use for surveillance being brought under control?
This article undertakes an assessment of those prospects. In order to reach a conclusion, it undertakes analysis of multiple elements of the context. It commences by reviewing the many categories of surveillance. The scope of surveillance is defined in terms of individual people, excluding such contexts as public health and seismology. That is followed by an overview of AI, firstly in the abstract, then moving on to sub-fields of AI with apparent relevance to surveillance. An appreciation of the characteristics of the technologies enables the identification of disbenefits and risks involved in AI's application to surveillance. A review is then undertaken of the ways in which control might be exercised. Particular attention is paid to the wave of publishing activity during the period 2015-21 in the area of 'Principles for Responsible AI'. The analysis draws on a previously-published, consolidated super-set of Principles.
Almost all of the publications to date are 'Guidelines'. This provides a justification for individuals and organisations inclined towards greater care in the deployment of technology, but it lacks enforceability, and in most cases has little impact on AI practice. A critique is provided of the proposal of 21 April 2021 of the European Commission, which appears to be a world-first initiative to establish formal regulation of a bespoke nature for AI applications. The analysis suggests that the provisions appear to be so weak, and the exemptions so broad, that enactment of the proposal, while it would provide window-dressing for AI-using organisations, would not deliver any significant protections for the public. The article concludes with an assessment of the prospects of effective control being achieved over AI applications to surveillance even by organisations with limited market and institutional power, let alone by large corporations and government agencies.
This section adopts a framework for surveillance analysis previously proposed in Clarke (2009). The framework reflects the substantial body of knowledge about surveillance (e.g. Rule 1974, Gandy 1993, Lyon 2001, Marx 2016). However its purpose is instrumentalist: to assist in understanding the impacts of new technologies and techniques. The first component of the framework is concerned with the contexts of surveillance. The original sense of the word, adopted from French, was of 'watching over', possibly watching over things, but primarily watching over people. It was inherently physical, spatial and visual. In the mid-twentieth century, Foucault (1975/1977) revived the application of the idea to panoptic efficiency in prisons (Bentham 1791), and reinforced the visual metaphor.
There have been many extensions to the contexts of surveillance beyond the visual (e.g. Petersen 2012, Marklund & Skouvig 2021). Aural monitoring of sound, and particularly the human voice, has a long history. Both visual and aural observation can be conducted at distance with the aid of tools such as telescopic lenses and directional microphones. Retrospective surveillance began with hand-recording of the visual by textual descriptions and depictions, and of voice by textual transcriptions. Photographic means became available from the mid-19th century, and sound recording from the turn of the 20th century.
Message-carriage services by 'mail' or 'post' date back millennia, and some countries have had extensive and reliable services for the general public since about 1800. The early emergence of communications surveillance is evidenced by the use of simple substitution cyphers in the Roman Empire. Beyond geo-space, and as early as the 1840s, the telegraph gave rise to electronic surveillance, which extended to telephone wiretapping from the 1860s (Jepson 2014), establishing surveillance in the new context now referred to as 'virtual space'. Recording of digital data passing through communications networks became possible by, at latest, the middle of the 20th century (Hosein & Palow 2013). The US National Security Agency has used the catchcry of "you need the haystack to find the needle" to justify its desire for mass surveillance of all communications channels (Nakashima & Warrick 2013).
With the application of computing to administrative tasks commencing in 1952, it quickly became more efficient to observe people through the data available about them, variously as an adjunct to physical surveillance of the person themselves, as a replacement for it, and as a trigger for it. This has become widely referred to as dataveillance (Clarke 1988). The data sources were initially byproducts of individuals' interactions with organisations, with the data co-opted or expropriated to additional purposes. Multiple data-sets were commonly physically or virtually consolidated with data from other sources, frequently without consideration of the extent to which the data-sets were mutually compatible. To facilitate consolidation, organisations created cross-indexes among different identification schemes, and imposed multi-use identifiers on people (Clarke 1994).
Organisational efficiency was improved by providing individuals with artefacts carrying pre-recorded identifying data. Much of the effort and cost involved in data capture was progressively transferred from organisations to individuals, initially through ATMs, later web-forms. Additional data-gathering emerged for the specific purpose of monitoring behaviour, as waves of digitisation and 'born-digital' swept across industry. Automated data capture by artefacts also became common, with household appliances, electricity meters and motor vehicles streaming personal data to corporations.
Since the late 20th century, the public has been enlisted as donors of copious personal data through the carriage and use of promiscuous handheld devices. This is a form of auto-surveillance, that is to say 'surveillance of the self, by the self', for the benefit of the self, but much more so for others (Clarke 2020b). The phenomenon has been extended beyond handhelds to wearable 'wellness' devices adjacent to and on individuals' bodies, and to implanted chips for identification and for monitoring of physiological phenomena such as heart-rate.
A further development, primarily since about 2000, is experience surveillance (Clarke 2014a). Almost all forms of searching for, gaining access to, and experiencing text, data, image and video, together with access to live events, migrated from mostly-anonymous analogue to mostly-identified digital forms during a remarkably short time between the emergence of the Web c.1993 and its subversion by Web 2.0 c.2005 (Clarke 2008, Fuchs 2011). By substituting services dependent on remote parties, the public was lulled into a new norm of disclosing to networks of service-providers not only their interests and social networks, but also their intellectual influences and associations.
The analytical approach to the many contexts of surveillance, adopted above, needs to be complemented by an appreciation of the holist view of the individual that arises from the correlation of information arising from multiple sources (Michael & Michael 2007, Clarke 2010, Marx 2016).
The primarily technical perspectives on surveillance outlined in the preceding paragraphs have been complemented by circumspect constructs such as 'surveillance society' Marx 1985, Gandy 1989, Lyon 2001), 'the panoptic sort' (Gandy 1993, 2021), 'ubiquitous transparency' (Brin 1998), 'location and tracking' (Clarke 2001, Clarke & Wigan 2011), 'sousveillance' (from below rather than above, by the weak of the powerful - Mann et al. 2003), 'equiveillance' (Mann 2005), 'uberveillance' (both comprehensive and from within - Michael & Michael 2007), 'surveillance capitalism' (Zuboff 2015) and the 'digital surveillance economy' (Clarke 2019a).
Surveillance has been enabled and supported by a wide range of sciences and technologies, as diverse as optics and photography, acoustics and sound engineering, electronic engineering, computer science, cryptology, telecommunications, remote sensing, and biometrics. The remainder of this article considers the contributions to surveillance of the loose cluster of technologies that are currently labelled as AI.
A further component of the framework in Clarke (2009b) is the use of seven interrogatives. In answering the question '(1) Surveillance of What?', the dominant policy concern is about the observation of one or more people. In some contexts, however, the aim may be the monitoring of a physical space such as that in front of a door, within a room, or along a fence or wall, or a virtual space such as a bulletin-board, chat-forum, or communications channel. The activity may have a broad field of view, or the focus may be as specific as a single person or piece of luggage. Each location within a space can be assigned an address or coordinates. A mobile physical object (such as a motor vehicle or a mobile phone) or virtual object (such as a data-file) changes location within a space and hence surveillance involves the identification and/or authentication of the identity of the object, establishing its location and tracking its succession of locations.
To reflect the diversity of the phenomena, technologies and interpretations, a working definition needs to encompass all of these forms:
Surveillance is the more or less systematic investigation or monitoring of the actions, communications and/or experiences of a person (personal surveillance) or of many people (mass surveillance), or of spaces or objects particularly where that is conducted to assist in the investigation or monitoring of one or more people
The answer to '(2) For Whom?' may be the individual themselves, or a person who has an interest in the space or object being monitored. Alternatively, it may be an entity with a relationship with the person under surveillance, such as a person in loco parentis or an employer. It may, however, be a third party, and perhaps one unknown to the individual(s) being monitored or whose object or space is under surveillance.
The question '(3) By Whom?' may point to the individual themselves (auto-surveillance), as occurs with various forms of autobiographical logging, and safeguards implemented in or adjacent to a person's home or applied to valuable possessions such as artworks. Alternatively, the active party may be an associate (e.g. fellow householder, or employer), or a third party, possibly unknown. In an era of intense specialisation of services and ubiquitous outsourcing, a service-provider may be involved, and even a supply-chain or network of service-providers. Such organisations may act not only as agents for their customers, but also as principals, exploiting the resulting data for their own purposes. The phenomenon of 'tech platforms' has emerged, to enable the financial exploitation of the vast quantities of data arising from the modern context of high connectivity and uncontrolled data collection and reticulation (Taeuscher & Laudien 2018).
The question '(4) Why?' leads to a vast array of socially-positive motivations, including private security of self, family and assets, public security against threats as varied as natural disaster, over-crowding, riotous behaviour, preparation for violence, and violent acts. Some motivations are of course less socially-positive, such as monitoring behaviour that does not conform with the values of the observer (whether the activity is conducted by the State, a corporation, an association of individuals seeking to enforce their own moral code on others, or individual vigilantes).
Surveillance is an enabler of action by one party against another. It is increasingly embedded in the architecture and infrastructure of both the public and private sectors. This has been described as algorithmic governmentality (Foucault 1991), characterised by organisational decisions about people based entirely on data and without any appreciation of the individual, and machinic judgement (Henman 2021), characterised by automated decision-making systems, without the human intervention inherent in decision-support systems.
Even covert surveillance may have a deterrent effect on behaviour, or at least a displacement effect where the surveillance is thought to be localised rather than ubiquitous. Where the consequences are thought to be significant, the mere suspicion that covert surveillance might be conducted gives rise to the 'chilling effect', whereby individuals suppress behaviours (Schauer 1978, Penney 2016). There is a marked difference in social utility between the suppression of inclinations towards violence and theft, on the one hand, and political speech and non-conformist, inventive and innovative behaviours in cultural, economic and scientific contexts (Kim 2004).
The '(5) How?' of surveillance is diverse, as discussed earlier, and the '(6) Where?' question is closely related to the considerations discussed in relation to '(1) Of What?'. The question '(7) When?', however, is more challenging, because it requires analysis of multiple elements, including:
Combining these aspects of 'When?' enables appreciation of the varying intensities and impacts of monitoring. For example, being subjected to once-off, ephemeral, visual-only surveillance at a protest event - especially if the video is subject to deletion 48 hours after the event - is far less intrusive than repeated and prolonged subjection to observation of both the individual and the individual's telecommunications traffic, recorded, and subjected to real-time, retrospective, and anticipatory analysis.
This section provides an overview of the origins and the ambiguous and contested nature of AI. The fields that appear to have particular relevance to surveillance are then outlined. That provides a basis for identifying the disbenefits and risks that AI applications to surveillance appear to embody.
The term Artificial Intelligence was coined in the mid-20th century, based on "the conjecture that every aspect of learning or any other feature of intelligence can in principle be so precisely described that a machine can be made to simulate it" (McCarthy et al. 1955). The word 'artificial' implies 'artefactual' or 'human-made'. Its conjunction with 'intelligence' leaves open the question as to whether the yardstick is 'equivalent to human', 'different from human' or 'superior to human'. Conventionally (Albus 1991, Russell & Norvig 2003, McCarthy 2007):
Artificial Intelligence is exhibited by an artefact if it: (1) evidences perception and cognition of relevant aspects of its environment; (2) has goals; and (3) formulates actions towards the achievement of those goals.
Histories of AI (e.g. Russell & Norvig 2009, pp. 16-28, Boden 2016, pp.1-20) identify multiple strands and multiple re-visits to much the same territory. Over-enthusiastic promotion has always been a feature of the AI arena. The revered Herbert Simon averred that "Within the very near future - much less than twenty-five years - we shall have the technical capability of substituting machines for any and all human functions in organisations. ... it would be surprising if it were not accomplished within the next decade" (Simon 1960). Unperturbed by ongoing failures, he kept repeating such predictions throughout the following decades. His mantle was inherited: "by the end of the 2020s" computers will have "intelligence indistinguishable to biological humans" (Kurzweil 2005, p.25). Such repeated exaggerations have resulted in under-delivery against expectations, a cyclical 'boom and bust' pattern of 'AI winters', and existential doubts.
The last decade has seen a(nother) outbreak. Spurred on by the hype associated with it and by the research funding that proponents' promises have extracted, AI has excited activity in a variety of fields. Some of potential significance, although not in call cases to surveillance, include natural language understanding, image processing and manipulation, artificial life, evolutionary computation aka genetic algorithms, and artificial emotional intelligence.
AI intersects with robotics, to the extent that the software installed in a robot is justifiably regarded as artificially intelligent. Robotics involves two key elements:
Two further, frequently-mentioned elements of robotics, which are implied atttributes rather than qualifying criteria, are sensors, to enable the gathering of data about the devices's environment; and flexibility, in that the device can both operate using a range of programs, and manipulate and transport materials in a variety of ways. Where robotics does incorporate AI elements, the disbenefits and risks are considerably greater, because of the inherent capacity of a robot to act autonomously in the real world (Clarke 2014b), and the temptation and tendency for the power of decision and action to be delegated to the artefact, whether intentionally or merely by accident.
Considerable scepticism is necessary when evaluating the claims of AI's successes. This applies in all domains, but none moreso than surveillance. Civil society analyses of AI in surveillance depend very heavily on media reports that repeat the content of corporate and government media releases and that are highly superficial in their depiction of the underlying technologies. Typical of this vacuity is the assertion, unsupported by any evidence, that many workplace surveillance tools are "powered by artificial intelligence" (Cater & Heikkilä 2021).
In a widely-read study, Feldstein (2019) identified relevant 'AI surveillance techniques' as being smart city/safe city platforms, facial recognition systems and smart policing (p.16). The author was, however, unable to provide much detail about actual techniques used, beyond the ubiquitous example of facial recognition (e.g. Heikkilä 2021). The limited technical information that is publicly available reflects the strong tendency of the operators of surveillance to obscure the nature of their activities, and in some cases even the fact of their conduct. The reasons underlying the obfuscation appear to include institutional cultures of secrecy, intellectual property considerations, weaknesses in the technologies such that transparency would enable effective countermeasures, and/or the technology's ineffectiveness for the claimed purpose.
One of the few concrete examples the author was able to provide was "iBorderCtrl ... an AI-based lie-detecting system ... based on 'affect recognition science', which purports to read facial expressions and infer emotional states in order to render legal judgments or policy decisions" (p.22. See iBorderCtrl 2016). The claims for it were criticised as "pseudo-scientific security hocus pocus" (Campbell et al. 2020, Bacchi 2021). The project is reported to have ended in 2019, in apparent failure. Evidence is not available, however, because, despite being funded as an EU research project, public access to meaningful information about it was denied on commercial grounds (Breyer 2021).
A further feature of AI applications to surveillance is the vagueness with which the term 'AI' is used. From some descriptions, it could be inferred that the longstanding techniques of pattern recognition are being applied, e.g. to the extraction of useful data from images of vehicle registration-plates and faces. In other cases, the intention of product promoters may be to claim that machine learning is being employed, e.g. to perform trawls of data collections, and of mergers of disparate data collections, with the intention of detecting anomalies that create suspicion about people, items or places. On the other hand, most forms of surveillance were developed independently of AI. They may be being enhanced using AI features; but they may merely be having gloss added through the unjustified appropriation of the AI tag to refer to an 'advanced' or merely 'the latest' version of a product.
A case in point is another of Feldstein's few named instances: "The idea behind smart policing is to feed immense quantities of data into an algorithm -- geographic location, historic arrest levels, types of committed crimes, biometric data, social media feeds -- in order to prevent crime, respond to criminal acts, or even to make predictions about future criminal activity" (p.20). The example provided was the PredPol predictive analytics program; but the description on the company's websites (PredPol 2021) makes clear that it is not an AI product.
Given that supplier obfuscation severely hampers the independent evaluation of existing products, an analysis is reported here that is based on the generic characteristics of AI technologies. This approach identifies several fields of AI that have apparent potential for application to surveillance.
Many AI fields involve 'pattern recognition', for which four major components are needed: "data acquisition and collection, feature extraction and representation, similarity detection and pattern classifier design, and performance evaluation" (Rosenfeld & Wechsler 2000, p.101).
Pattern recognition can be applied in a variety of contexts. Those relevant to surveillance include:
The last of these requires closer attention. Common features of the classical approaches to pattern-recognition in data have been that:
An algorithm is a procedure, or set of steps. The steps may be serial and invariant. Alternatively, and more commonly, the steps may also include repetition constructs (e.g. 'perform the following steps until a condition is fulfilled') and selection constructs (e.g. 'perform one of the following sets of steps depending on some test'). Since about 1965, the preparation of computing software has been dominated by the use of languages designed to enable the convenient expression of algorithms, sometimes referred to as procedural or imperative languages. Software developed in this manner represents a humanly-understandable solution to a problem, and hence the rationale underlying an inference drawn using it can be readily expressed. Techniques that express algorithms do not qualify as AI, unless the resulting artefact fulfils the conventional criteria identified in the previous section: evidence of perception, cognition and goal-seeking behaviour.
Other approaches to developing software exist (Clarke 1991). Two that are represented as being AI techniques are highly relevant to the issues addressed in the present analysis. The approach adopted in rule-based 'expert systems' is to express a set of rules that apply within a problem-domain. A classic rule-example is:
If <Person> was born within the UK or any of <list of UK Colonies> between <date = 1 Jan 1949> and <date = 31 Dec 1982>, they qualify as <a Citizen of the United Kingdom and Colonies (CUKC)> and hence qualify for a UK passport
When software is developed at this level of abstraction, a model of the problem-domain exists; but there is no explicit statement of a particular problem or a solution to it. In a simple case, the reasoning underlying an inference that is drawn in a particular circumstance may be easy to provide, whether to an executive, an aggrieved person upset about a decision made based on that inference, or a judge. However, this may not be feasible where data is missing, the rulebase is large or complex, the rulebase involves intertwining among rules, the rulebase embodies some indeterminacies and/or decision-maker discretions exist. Inferences drawn from rule-based schemes in surveillance contexts, e.g. for suspicion-generation about individuals who may be involved in bomb-making, and in so-called 'predictive policing', are subject to these challenges.
A further important software development approach is (generically) machine learning (sometimes referred to as AI/ML), and (specifically) connectionist networks or artificial neural networks (ANNs). ANNs originated in the 1940s in the cognitive sciences, prior to the conception of AI (Medler 1998). They have subsequently been co-opted by AI researchers and are treated as an AI technique. The essence of neural network approaches is that tools, which were probably developed using a procedural or imperative language, are used to process examples taken from some problem-domain. Such examples might comprise the data relevant to 5% of all applicants for UK passports during some time-period who were born in, say, Jamaica, including the result of the applications.
The (probably algorithmic) processing results in a set of weights on such factors as the tool treats as being involved in drawing the inference. Although the tool may have been developed using a procedural or imperative language implementing an algorithm, the resulting software that is used to process future cases is appropriately referred to as being empirical. The industry misleadingly refers to it as being algorithmic, and critics have adopted that in terms such as 'algorithmic bias'; but the processing involved is empirically-based, not algorithmic, and hence a more appropriate term is empirical bias or sample bias.
A critical feature of ANNs is a-rationality, that is to say that there is no reasoning underlying the inference that is drawn, and no means of generating an explanation any more meaningful than 'based on the data, and the current weightings in the software, you don't qualify'. The approach is referred to as 'machine learning' partly because the means whereby the weightings are generated depends on the collection of prior cases that are fed to the tool as its 'learning set'. Hence, in the (to many people, somewhat strange) sense of the term used in this field, the software 'learns' the set of weightings. In addition, the system may be arranged so as to further adapt its weightings (i.e. 'keep learning'), based on subsequent cases.
There are two different patterns whereby the factors and weightings can come about (DeLua 2021). The description above was of supervised learning, in that the factors were fed to the tool by a supervisor ('labelled' or 'tagged'), and in each case the 'right answer' was provided within the data. In the case of unsupervised learning, on the other hand, there are no labels, and 'right answers' are not provided with the rest of the data. The tool uses clusterings and associations to create the equivalent of what a human thinker would call constructs, but without any contextual information, 'experience' or ' common sense' about the real world that the data purports to relate to. On the one hand, 'unsupervised learning' is touted as being capable of discovering patterns and relationships that were not previously known; but, on the other, this greatly exacerbates the enormous scope that already exists with 'supervised learning' for inferences to be drawn that bear little or no relationship to the real world.
The vagaries of 'tagging' and even moreso of automated construct creation, coupled with the a-rationality of all AI/ML and its inherently mysterious and inexplicable inferencing, leads people who are not AI enthusiasts to be perturbed and even revulsed by the use of ANNs to make decisions that materially affect people. The issues are all the more serious when ML-based inferencing is conducted in surveillance contexts, because of the severity of the consequences for the unjustly-accused, the absence of a rationale for the inference, the strong tendencies in the system towards reversal of the onus of proof, and the near-impossibility in such circumstances of prosecuting one's innocence.
A great many claims have been made about the potential benefits AI might offer. Many of these feature vague explanations of the process whereby the benefits would arise. A proportion of the claims have some empirical evidence to support them, but many are mere assertions in media releases, without the support of independent testing. The analysis reported here is concerned with the downsides: disbenefits, by which is meant impacts that are predictable and harmful to some party, and risks, that is to say harmful impacts that are contingent on particular conditions arising in particular circumstances.
Pattern-matching of all kinds is inherently probabilistic rather than precise. It results in inferences that include false-positives (wrongly asserting that a match exists) and false-negatives (wrongly asserting the absence of a match). When used carefully, with inbuilt and effective safeguards against misinterpretation, benefits may arise and disbenefits and risks may be manageable. Where safeguards are missing or inadequate, the likelihood that disbenefits and risks will arise, and even dominate, increases rapidly. For example, where facial recognition is used for identity authentication, low-quality pattern-matching may cause only limited harm when a device refuses its owner permission to use it, but some alternative authentication mechanism such as a password is readily available. On the other hand, there are many other circumstances in which no alternative is available, the scope for error is high, and serious harm can arise. This is common with uses for identification of individuals presumed to be within populations for which biometric measures have already been recorded, such as at border-crossings.
As regards AI generally, the disbenefits and risks have been presented in many different ways (e.g. Scherer 2016, esp. pp. 362-373, Yampolskiy & Spellchecker 2016, Duursma 2018, Crawford 2021). Clarke (2019b) identifies five factors underlying concerns about AI:
The fourth of these, the lack of access to reasoning underlying inferences, has particularly serious implications (Clarke 2019b, pp.428-429). Where no rationale for the outcome exists and none can be convincingly constructed, no humanly-understandable explanation can be provided. The process may also be impossible to replicate, because parameters affecting it may have since changed, and the prior state may not be able to be replicated. This means that the process may not be able to be checked by an independent party such as an auditor, judge or coroner, because records of the initial state, intermediate states and triggers for transitions between states, may not exist and may not be able to be re-constructed, such that the auditability criterion is failed.
Where an outcome appears to be in error, the factors that gave rise to it may not be discoverable, and undesired actions may not be correctable. These factors combine to provide entities that have nominal responsibility for a decision or action with an escape clause, in a manner similar to force majeure: AI's opaqueness may be claimed to be a force that is beyond the capacity of a human entity or organisation to cope with, thereby absolving it of responsibility. In short, every test of due process and procedural fairness may be incapable of being satisfied, and accountability destroyed. Surveillance, with its inherent tendency to generate suspicion and to justify the exercise of power, is a particularly dangerous application for AI tools that, by their nature, absolve the operator from accountability.
In summary, "AI gives rise to errors of inference, of decision and of action, which arise from the more or less independent operation of artefacts, for which no rational explanations are available, and which may be incapable of investigation, correction and reparation" (Clarke 2019b, p.426).
The second of the five factors relates to problematic aspects of the data. In respect of AI-based data analytics, the quality of outcomes is dependent on many features of data that need to reach a threshold of quality before they can be reliably used to draw inferences (Wang & Strong 1996, Shanks & Darke 1998, Piprani & Ernst 2008, summarised in Clarke 2016 into 13 factors).
As regards the third of the five factors, process quality, all data analytics techniques embody assumptions about the form that the data takes (such as the scale against which it is measured), and its quality, and the reliability of the assumptions made about the associations between the data and some part of the real world. Text-books on data analytics teach almost nothing about the need for, and the techniques that need to be applied to deliver, assurance of inferencing quality.
This gives rise to challenges in relation to the use of the inferences drawn by data-analytical processes from data-sets. For inferences to be reliable, and decisions and actions taken based on those inferences equitable, there is a need for:
Yet, despite the substantial catalogue of problems with data meaning, data quality, and inconsistencies among data-sets, data analytics teaching and practice invest a remarkably small amount of effort into quality assurance. That is the case even with long-established forms of data analytics. The reason such cavalier behaviour is possible is discussed in the following section.
AI/ML-based data analytics, on the other hand, is inherently incapable of addressing any of these issues. Further, the opacity issue overlays all of the other problems. Pre-AI, genuinely 'algorithmic' inferencing is capable of delivering explanations, enabling the various elements of accountability to function. Rule-based 'expert systems' dilute explainability. Whereas AI/ML inferencing comprehensively fails the explainability test, and undermines accountability.
Procedural fairness has long been a requirement in the hitherto conventional environment of human-made or at least human-mediated decisions, for which courts demand a rational explanation. In the new world of AI, and particularly AI/ML, decisions are being imposed and actions taken that are incapable of being explained and justified before a court of law. The need for effective regulatory mechanisms is clear. What is far less clear is how protective mechanisms can be structured, and whether they are in place, or at least emergent.
AI may have very substantial impacts, both good and ill, both intended and accidental, and both anticipated and unforeseen. Building on the above review, this section presents an analysis of the regulatory spectrum, to support assessment of whether the threats inherent in AI applied to surveillance can be dealt with appropriately. The regulatory framework proposed in Clarke (2021a) is applied, in particular the s.2.2, presented in graphical form in Figure 1.
The foundational layer, (1) Natural Regulation, is a correlate of the natural control processes that occur in biological systems. It comprises natural influences intrinsic to the relevant socio-economic system, such as countervailing power by those affected by an initiative, activities by competitors, reputational effects, and cost/benefit trade-offs. It is incumbent on any party that argues for regulatory intervention to demonstrate that such natural influences as exist are inadequate to prevent harms arising. In the case of AI, marketing energy and unbounded adopter enthusiasm exist, and surveillance is an idea in good standing. These appear to go close to entirely negating the effects of natural regulatory processes.
The second-lowest layer, (2) Infrastructural Regulation, is exemplified by artefacts like the mechanical steam governor. It comprises particular features of the infrastructure that reinforce positive aspects and inhibit negative aspects of the relevant socio-economic system. A popular expression for infrastructural regulation in the context of IT is '[US] West Coast Code' (Lessig 1999, Hosein et al. 2003), which posits that software, and more generally architecture, have regulatory impact. Another such notion is security-by-design (Anderson 2020). If privacy-by-design (Cavoukian 2009) is ever articulated, and graduates beyond aspirational status, it would also represent a Layer (2) intervention. However, it appears very challenging to embed safeguards within AI-based software and artefacts (Clarke 1993).
At the uppermost layer of the regulatory hierarchy, (7) Formal Regulation exercises the power of a parliament through statutes and delegated legislation such as Regulations. Laws demand compliance with requirements that are expressed in more or less specific terms, and are complemented by sanctions, enforcement powers and resources, and actual enforcement. Lessig (1999) refers to formal regulation as '[US] East Coast Code'.
Formal regulation appears to be the most logical approach when confronted by a threat of the magnitude that AI may prove to be. However, IT providers and insufficiently critical user organisations clamour for the avoidance of constraints on innovation. Corporate power has been instrumental over many decades in greatly reducing regulatory commitment in many jurisdictions and in many contexts. De-regulation and 'better regulation' movements have achieved ratcheting back of existing controls, commonly followed by unacceptable levels of harm, stimulating clumsy re-regulation (Braithwaite & Drahos 1999). Safeguards have also been avoided through the outsourcing of both activities and responsibilities, including the use of low-regulation havens, and jurisdictional arbitrage. In the public sector, key factors include the drift from subcontracting, via comprehensive outsourcing, to public-private partnerships, and on towards the corporatised state (Schmidt & Cohen 2014). A particular factor that appears to have largely 'flown under the radar' to date is the conversion of locally-installed software products to remotely-provided services (AI as a Service - AIaaS), of which IBM's Watson was an early exemplar.
Several intermediate forms lie between the informal and formal ends of the regulatory hierarchy. Examples of (3) Organisational Self-Regulation include internal codes of conduct and 'customer charters', and self-restraint associated with expressions such as 'business ethics' and 'corporate social responsibility' (Parker 2002). Layer (4) Industry Sector Self-Regulation involves schemes that express technical or process standards, codes of conduct or of practice or of ethics, and industry Memoranda of Understanding (MoUs). These commonly lack much impact, because organisations use them primarily as means to create an appearance of safeguards and thereby avoid formal regulatory activity. (Braithwaite 2017) notes that "self-regulation has a formidable history of industry abuse of privilege" (p.124). The conclusion of Gunningham & Sinclair (2017) is that 'voluntarism' is generally an effective regulatory element only when it exists in combination with 'command-and-control' components.
Other, intermediate forms have emerged that have been claimed to offer greater prospects of achieving regulatory objectives. These are clustered into layer (6) Meta- and Co-Regulation. In many areas, convincing arguments can reasonably be made by regulatees to the effect that government is poorly placed to cope with the detailed workings of complex industry sectors and/or the rate of change in industries' structures, technologies and practices. Hence, the argument proceeds, parliaments should legislate the framework, objectives and enforcement mechanisms, but delegate the articulation of the detailed requirements (Ayres & Braithwaite 1992, Parker 2007). In practice, examples of effective layer (6) designs are uncommon, because the interests of regulatees dominate, advocates for the nominal beneficiaries lack influence and in many cases are not even at the table, and the powers of regulators are so weak that the resulting 'enforceable Codes' are almost entirely ineffective. For this reason, the framework in Figure 1 also identifies the commonly-experienced layer (5) Pseudo Meta- and Co-Regulation.
Despite the sceptical tone of the above analysis, several techniques in the mid-layers (3) to (6) of the hierarchy might make contributions, if they are elements within a complex of safeguards. Organisational risk assessment and management is one such technique. However, it considers risks only from the viewpoint of the organisation itself. For example, the focus of the relevant ISO Standards series (31000) is on 'managing risks faced by organizations'. Harm to stakeholders is only within-scope where the stakeholder has sufficient power to undermine fulfilment of the organisation's objectives. It is highly desirable that risk assessment and management processes also be conducted for those stakeholders that have legitimacy but lack power (Achterkamp & Vos 2008). Although multi-stakeholder risk assessment is feasible (Clarke 2019b), it remains highly unusual.
Another approach to identifying or anticipating potential harm, and devising appropriate safeguards, is impact assessment. This is a family of techniques that has matured in the environmental context, is understood in theory in the privacy arena, but is to date very poorly applied (Clarke 2009a), and is emergent in broader areas of social concern (Becker & Vanclay 2003). Impact assessment has also been described in the specific context of surveillance (Wright & Raab 2012). However, there is no impetus for any such process to be undertaken, and little likelihood of such approaches assisting powerless stakeholders harmed by AI.
A further possible source of protection might be application of 'the precautionary principle' (Wingspread 1998). Its strong form exists in some jurisdictions' environmental laws, along the lines of: "When human activities may lead to morally unacceptable harm that is scientifically plausible but uncertain, actions shall be taken to avoid or diminish that potential harm" (TvH 2006). In the context of AI, on the other hand, the 'principle' has achieved no higher status than an ethical norm to the effect that: 'If an action or policy is suspected of causing harm, and scientific consensus that it is not harmful is lacking, then the burden of proof falls on those taking the action'.
Finally, the notion of 'ethically-based principles' has been popular during the latter part of the decade to 2020, with a wave of 'Principles for Responsible AI' published. The documents ranged from trivial public relations documents from ICT corporations to serious-minded proposals from policy agencies and public interest advocates. Several catalogues have been developed, and analyses undertaken, e.g. Zeng et al. (2019), Clarke (2019c) and Jobin et al. (2019).
The second of those analyses developed a consolidated super-set of 50 Principles. This was then used as a basis for assessing the coverage of the 30 individual sets from which it was derived. The assessment awarded 1 point for each Principle if the idea was in some way evident, even if only some of the Principle was addressed, and irrespective of the strength of the prescription. Even using that liberal approach, however, "the main impression is of sparseness, with remarkably limited consensus [even on quite fundamental requirements], particularly given that more than 60 years have passed since AI was first heralded" (Clarke 2019c, p.415). "[Each set] reflected on average only 10 of the 50 Principles", "each of the 50 Principles was reflected [on average] in only 6 of the 30 documents", and "only 3 source-documents achieved moderately high scores [46%, 58% and 74%, with the remainder in the range 8%-34%]" (all on p.416).
Weak government guidelines are exploited by business enterprises, and of course may be designed to do just that. And example provided by Australian experience involves a set of 'AI Ethics Principles' published by the Department of Industry in late 2019 (DI 2019). Within 18 months, the two largest banks and the privatised PTT, Telstra, had adapted the Department's work into internal policies (Hendry 2021). This was despite the extremely weak score that the Department of Industry's document scored against the 50 Principles - in the range 26-40% (Clarke 2019d), and the complete absence of any formal regulatory framework, i.e. it is merely a Layer (3)-(4) publication gilded with a government agency's name. The document is difficult to distinguish from a public relations tool intended to mislead the public into trusting AI and thereby avoiding regulatory intervention.
The likelihood of any combination of Layer (1)-(5) elements providing effective protection for public interests against the ravages of AI appears very low. What, then, are the prospects of effective interventions at Layers (6) and (7), Formal, Meta- and Co-Regulation?
A new phase was ushered in by a proposal for statutory intervention published by the European Commission (EC) in April 2021. This is sufficiently significant that the Proposal is evaluated here as a proxy for formal regulation generally.
The EC's announcement was of "new rules and actions for excellence and trust in Artificial Intelligence", with the intention to "make sure that Europeans can trust what AI has to offer". The document's title was a 'Proposal for a Regulation on a European approach for Artificial Intelligence' (EC 2021), and the draft statute is termed the Artificial Intelligence Act (AIA).
The document of 2021 is formidable, and the style variously eurocratic and legalistic. It comprises an Explanatory Memorandum, pp. 1-16, a Preamble, in 89 numbered paragraphs on pp. 17-38, and the proposed Regulation, in 85 numbered Articles on pp. 38-88, supported by 15 pages of Annexes.
A first difficulty the document poses is that the term "AI System" is defined in a manner inconsistent with mainstream usage. It omits various forms of AI (such as natural language understanding, robotics and cyborgisation), and encompasses various forms of data analytics that are not AI (specifically, "statistical approaches, Bayesian estimation, search and optimization methods". These pre-date the coinage of the term 'AI' in 1955, and are commonly associated with operations research and data mining / 'data analytics'). A more descriptive term for the proposed statute would be 'Data Analytics Act'.
The EC proposes different approaches for each of four categories of AI (qua data analytics), which it terms 'Levels of Risk': unacceptable, high, limited and minimal. A few "AI Practices" would be prohibited (Art. 5). A number of categories of "High-Risk AI Systems" would be subject to a range of provisions (Arts. 6-7, 8-51, Annexes II-VII). A very limited transparency requirement would apply to a small number of categories of "AI Systems" (Art. 52). All other "AI Systems" would escape regulation by the AIA (although not other law that may be applicable in particular circumstances, such as human rights law and the GDPR).
The consolidated set of 50 Principles was used to assess the sole category to which safeguards would apply, "High-Risk AI Systems". A comprehensive report is provided in an unpublished working paper (Clarke 2021b). The EC Proposal was found to make a contribution of some kind to only 50% of the 50 Principles. Its worst failings are in relation to foundational issues, with Theme 1 (Assess Positive and Negative Impacts and Implications) at 22%, 2 (Complement Humans) at 0%, 3 (Ensure Human Control) at 57%, and 4 (Ensure Human Safety and Wellbeing) at 33%. Also scoring badly are 7 (Embed Quality Assurance) at 33%, and 10. (Enforce, and Accept Enforcement of, Liabilities and Sanctions) at 50%.
Given that it is a proposal for law, the liberal scoring scheme is much less appropriate than it is for mere 'ethical guidelines'. A separate score was accordingly assigned that reflects the extent of coverage, the scope of exemptions, exceptions and qualifications, and the apparent practicability of enforcement. Applying a scoring technique explained in Clarke (2021b), the EC Proposal was found to be highly deficient, scoring only 14.7 / 50 (29%). Of the 50 Principles, 25 scored nothing, and 8 more less than 0.5 on a scale of 0.0 to 1.0. The foundational Themes 1-4 achieved only 4%, 0%, 33% and 28% of their possible scores, for a total of 20%. The only 3 of the 10 Themes with anything resembling a Pass-level score are 8 (Exhibit Robustness and Resilience - 68%), 5 (Ensure Consistency with Human Values and Human Rights - 60%), and 9 (Ensure Accountability for Obligations - 50%).
During the 'ethical guidelines' phase, the EC's contribution, the "Ethics Guidelines for Trustworthy AI" prepared by a "High-Level Expert Group on Artificial Intelligence" (EC 2019), had achieved easily the highest score against the consolidated set of 50 Principles, with 74%. The disjunction between the EC Proposal (EC 2021) and the earlier 'Ethics Guidelines' is striking. Key expressions in the earlier document, such as 'Fairness', 'Prevention of Harm', 'Human Autonomy', 'Human agency', 'Explicability', 'Explanation', 'Well-Being' and 'Auditability', are nowhere to be seen in the body of the 2021 Proposal, and 'stakeholder participation' and 'auditability' are not in evidence.
The conclusion reached by the assessment was that "the EC's Proposal is not a serious attempt to protect the public. It is very strongly driven by economic considerations and administrative convenience for business and government, with the primary purposes being the stimulation of the use of AI systems. The public is to be lulled into accepting AI systems under the pretext that protections exist. The social needs of the affected individuals have been regarded as a constraint not an objective. The many particularities in the wording attest to close attention being paid to the pleadings of advocates for the interests of providers of AI-based goods and services, and of government agencies and corporations that want to apply data analytics techniques with a minimum of interference. The draft statute seeks the public's trust, but fails to deliver trustworthiness" (Clarke 2021b).
Assessment was undertaken of the extent to which the EC's Proposal affects AI applications to surveillance. Relevant extracts from EC (2021) are provided in an Annex to this article.
Of the four categories of Prohibited AI Practices (Art. 5), two are related to surveillance: (c) Social scoring ("the evaluation or classification of the trustworthiness of natural persons ..."), and (d) 'Real-Time' remote biometric identification in public places for law enforcement. The scope of these prohibitions is, however, subject to substantial qualifications. For example, biometric identification is not prohibited if it is concerned with any of (i) retrospective or even prospective rather than 'real-time' (contemporaneous) identification, (ii) proximate rather than remote identification, (iii) authentication (1:1 matching) rather than identification (1:many matching), (iv) non-public rather than public places, (v) any use other than law enforcement, as narrowly-defined in Art.3(41) to refer only to criminal and not administrative matters, or "strictly necessary" for any of (vi) "targeted search for specific potential victims of crime", (vii) "the prevention of a specific, substantial and imminent threat to the life or safety of natural persons ...", or (viii) "the detection, localisation, identification or prosecution of a perpetrator or suspect of a criminal offence [with a custodial sentence of at least three years]".
In addition, scope exists for 'gaming' the regulatory scheme, because, despite the need for "prior authorisation granted by a judicial authority or by an independent administrative authority ... issued upon a reasoned request", "use of the system" can "in a duly justified situation of urgency ... be commenced without an authorisation and the authorisation may be requested only during or after the use" (Art.5(3)). Hence a nominally "prohibited AI practice" can be developed, deployed in particular contexts, then withdrawn, without a prior or even contemporaneous application for authorisation, let alone approval. Moreover, any Member State can override the prohibition (Art.5(4)). Hence many systems in these categories would achieve exemption from the scheme.
Multiple 'High-Risk AI Systems' (Arts. 6-7, 8-51, Annexes II-VII, particularly III) are also relevant to surveillance. Some instances of "1. Biometric identification and categorisation of natural persons" (Annex III-1) are defined in, but only in respect of those that satisfy all of the following criteria: "[i] intended to be used for [ii] the `real-time' and [iii] `post' [iv] remote [v] biometric [vi] identification [vii] of natural persons" (III-1(a)). The provision appears likely to be subject to lengthy legal interpretation, and the large number of conjoined criteria that apply means that a great many systems may be exempted, and it may be very easy for providers to achieve exemption-by-design.
Some spatial surveillance is defined to be within this category, as "2. Management and operation of critical infrastructure", but only where the system is a "safety component" in "the management and operation of road traffic and the supply of water, gas, heating and electricity". If the system, for example, draws inferences about people's usage of roads, or households' usage of energy, it is not high-risk, and hence subject to no regulatory protections under the EC Proposal.
More positively, a system is subject to some conditions if it is "5. ... intended to be used by public authorities or on behalf of public authorities to evaluate the eligibility of natural persons for public assistance benefits and services" or "intended to be used to evaluate the creditworthiness of natural persons". However, there are exemptions for (i) systems used without intent, (ii) 'private services and benefits' in their entirety (e.g. privately-run school-bus services, even if 'essential') - despite the nominal inclusion of "private services" in the "area" - and (iii) use for evaluation but without at least one of grant, reduce, revoke, or reclaim (due to the use of the conjunction 'as well as'). A number of very specific categories of "6. Law enforcement" and "7. Migration, asylum and border control management" uses are also defined in.
Even for those systems that do not fit into the array of escape-clauses, the statutory obligations (Art. 8) are very limited in comparison with those in the consolidated set of 50 Principles, comprising only:
Further, most such systems are either absolved from undergoing conformity assessment (Art.41-43, 47) or permitted to self-assess. It would appear that considerably more effort will be expended in finding ways to avoid the requirements than in complying with them.
Finally, of the four categories of AI systems to which a limited transparency obligation applies (Art.52), two are related to surveillance", but are heavily qualified: 2. "an emotion recognition and/or detection system" except where "permitted by law to detect, prevent and investigate criminal offences, unless those systems are available for the public to report a criminal offence", and 3. "a biometric categorisation system", separately described as "an AI system to determine association with (social) categories based on biometric data", except where "permitted by law to detect, prevent and investigate criminal offences".
The large majority of applications of AI to surveillance would be entirely unaffected by the EC Proposal should it be enacted in anything resembling its current form. This includes many applications of AI that lie very close to the boundary of what the EC considers should be prohibited, and many applications that the EC considers to be 'high-risk'. Even those 'high-risk' applications that are subject to the new law would be subject to very weak requirements. Advocates for the public interest are justified in treating the EC Proposal with derision, both generally in respect of AI, and specifically in relation to the application of AI to surveillance.
There is strong evidence that data analytics practices in general are not subject to adequate safeguards for public interests, even before AI's incursions into the field. One prominent example is RoboDebt in Australia, which a new AUD 1 billion system both incorrectly and illegally imposed automatically-generated debts on welfare-recipients, resulting in serious impacts on half a million individuals, AUD 2 billion of repayments, and withdrawal of the scheme (Clarke 2020). In another case, 20,000 false accusations by the taxation authority of fraudulent drawing of child benefits resulted in the Dutch government resigning Erdbrink 2021).
The present article has summarised the many signs of alarm about the damage AI can do. To the formal evidence can be added the implicit recognition by AI proponents that the public has much to fear, in that they have undertaken a 'charm offensive' involving good news stories about AI applications, and utterances of 'principles' further glossed by the word 'ethical'.
A review of the many forms that regulation can take found nothing outside the uppermost layers of formal regulation that would appear at all likely to deliver meaningful safeguards for the public against AI. Until the second quarter of 2021, there was very little evidence of formal regulation being emergent. The first such proposal, from the EC, when reviewed against a consolidated set of 'principles for responsible AI', has been found to be extremely poor.
Given these inadequacies, and the power of the government agencies and corporations that apply surveillance, the current prospects of effective control being achieved over AI applications to surveillance are extremely low. The history of deregulatory/regulatory cycles suggests that, unless very prompt action is taken to elevate both the urgency and the quality of proposals, regulatory protections will come long after the damage has commenced, and in the form of ill-considered, kneejerk reactions to the damage arising during the early, 'wild west' phase of deployment.
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This article had the benefit of substantial comments from two reviewers, which materially assisted the author in clarifying and tightening the analyses.
Roger Clarke is Principal of Xamax Consultancy Pty Ltd, Canberra. He is also a Visiting Professor associated with the Allens Hub for Technology, Law and Innovation in UNSW Law, and a Visiting Professor in the Research School of Computer Science at the Australian National University.
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