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Ethical Framework for
Machine Learning
26-28 November
Santa Fe, Argentina
Charru Malhotra
Associate Professor (e-Governance
and ICT)
Indian Institute of Public Administration
New Delhi INDIA
charrumalhotra[at]gmail.com
26-28 November
Santa Fe, Argentina
Way Forward
05
 Ethics Guidelines, Collaborations,
Authorities : to check compliance
of EF in ML
Implementation
Strategy
04
 Changes at 3 levels- National,
Organisational , Design Approach
Proposed Ethical
Framework (EF)
03
Combine EQ & SQ with IQ to creates ML
Algos: Mechanical Learner, Cognitive
Learner , Ethical Learner, Ethical
Master/ Leader
Ethical Issues in ML
02
 M/C replace Humans- so who rules?
 Unethical Hacks !
 Biased Databases 
Introduction
01
 Ethics : Right V/s Wrong
 ML : Learning through Algos
Agenda
26-28 November
Santa Fe, Argentina
01
26-28 November
Santa Fe, Argentina
Rules of Conduct
Kantianism
Emanuel Kant (1724- 1804)
- duty central to morality
-not what we do but what
we ought to do
2.Social Contract Theory
Thomas Hobbs et. al (1588-1679)
Moral rules to govern
relationships among citizens
Aristotle (384-322 B.C.E)
virtuous ways benefit
possessor & society
1. Virtue ethics
4. Utilitarianism
Jeremy Bentham (1748-1832)
John Mill (1806- 1873)
Examine right & wrong based
on consequences of act / rule.
Evolution
of Ethics
3.Kantianism
02
ETHICS Ethos
Values
Morals
what is right and wrong .how to act on it to have happiness for self
and society
26-28 November
Santa Fe, Argentina
SOME
ETHICAL
ISSUES
o Decisions left to m/cs esp i
complex, huge data
o Whose judgment is better
o Replace human existence?
o internal frauds ?
o remote hacking ?
o perception-modifications?
Machines recording, analysing preferences
Machines learning from unclean sources
o Non-inclusive policies?
03
26-28 November
Santa Fe, Argentina
04
26-28 November
Santa Fe, Argentina
2017-FACEBOOK has revealed how its artificial intelligence created its own language and began nattering
in private .
Google Photos goof up in facial recognition
MS Chatbot -  Hail Nazi tweets !!!
2016-Online Feud of Wiki-Bots
2016-Self Driven Uber Cars jump red lights;
Smart Home catches fire in Blackberg-Penn
2016-Semi-automated drones ( LETHAL AUTONOMOUS WEAPON SYSTEMS)deployed between demilitarize
zone of South and North Korea
2017-A Russian Robot,Promobot R77 wants to go Free; Sophie wants to kill the
human race
Reality itself is an AI Simulation that is malfunctioning
05
26-28 November
Santa Fe, Argentina
06
INTRODUCTION
The study is an interplay of ML ( the hard science)
and Ethics ( the soft science)
AIM
How to minimize /eliminate bias in ML
algorithms for making predictions and
future decision making
26-28 November
Santa Fe, Argentina
Secondary Sources
Academic Literature of ML & Ethics
20XX
Social Media
Netflix, Youtube, Blogs,Fiction too
Proposed Ethical Framework
DESIGNING ML ALGOs- Consider Emotional Quotient (EQ) &
Spiritual Quotient (SQ) too apart from the Intellectual Quotient (IQ)
Methodology
Descriptive, Exploratory & Analytical
+
07
26-28 November
Santa Fe, Argentina
1942
-Isaac Asimov (Runaround ,
1942)
-3 laws of robotics,
-human-like robots to act
servants & need programming
rules to prevent harm
2018
2009
Wallach & Allen (2009) suggest top-down, bottom-up &
hybrid approach for machine morality.
 Top-down- moral frameworks of philosophers,
 bottom-up- machine learn through manipulation
like a child
2017
2016
Satya Nadella (2016) (CEO,
Microsoft), 10 essential rules for
an ideal AI
Sundar Pichai (2018)
(CEO,Google) -seven principles
that guide Google
(i) socially beneficial; (ii) avoid
unfair bias; (iii) built & test for
safety; (iv) accountable etc.
Existent Ethical Frameworks
Comest of UNESCO:
proposes technology-based
ethical framework on
robotics
08
26-28 November
Santa Fe, Argentina
IQ
EQ
SPIRITUAL
QUOTIENT
 Intelligence
 Rational Clarity
 Scientific Decision
Making (dm)
 Empathy
 Sympathy
 Respecting
existence of
others
PURPOSE
PEACE
Existing ML algos
are based on IQ
Learn & recognise
patterns without
many rules
09
26-28 November
Santa Fe, Argentina
LOW Spiritual Quotient (SQ) High
LOW
High
Emotional
Quotient
(EQ)
COGNITIVE LEARNER ALGO
medium complexity jobs
MECHANICAL LEARNER ALGO
repetitive jobs
ETHICAL MASTER ALGO
best-case for global decisions
ETHICAL LEARNER ALGO
higher complexity jobs
IQ
Proposed Ethical Framework
01
02
03
04
LOW EQ( neutral responses)
LOW SQ ( immature values)
HIGH SQ
( mature values about actions taken,
Awareness about implications for
ALL)
High EQ
(empathetic responses,
context-sensitivity, learning
process is inclusive)
MOST UTOPIAN /IDEAL TYPE
(inclusive, rationale, welfare-
for-all for all life-forms
DHARMA principles- no
shades of black or white)
10
26-28 November
Santa Fe, Argentina
LOW Spiritual Quotient (SQ) High
LOW
High
Emotional
Quotient
(EQ)
COGNITIVE LEARNER ALGO
medium complexity jobs
empathetic, inclusive, contextual
MECHANICAL LEARNER ALGO
repetitive jobs neutral responses & immature values
ETHICAL MASTER ALGO
V. complex decisions by country leaders
ETHICAL LEARNER ALGO
higher complexity jobs- mature values,
awareness of implications for all; community dm
IQ
Proposed Ethical Framework
01
02
03
04
welfare-for-all
Assembly Line Production
Restaurant Robots
TeleMedicine
Industry 4.0
Gia Sensitive Global Policies
C
R
M
Electronic Assistants (Alexa)
NLP
Predicting User Behaviour
Humanoids-Sophia/ Rashmi
Network mgmt, Intrusion /Fault
Detection, Clustering
Weather Forecasting
Dynamic DM for resource-mgmt. 
Traffic Mgmt; SMART HOMES
Military
Drones ; AV
Facial Recognition
DSS/ ES for Global Leaders &
Policy Makers
11
26-28 November
Santa Fe, Argentina
National Level COE
AUTHORITY;
REGULATIONS; ETHICAL
INDICES/STDs/
COLLABORATIONS
 Work with multi experts
 National Ethical
Framework
 Support Policy-
enhancements
 Standards for big data
 Encourage research in
emerging areas by
global / local alliances
Organizational
Level
ETHICS are a MUST
 Develop, Follow &
Monitor Ethical F/w
Templates
 Changes in hiring,
CB- training,
promotion &
feedback
 Incorporation of
ethical aspects at
design stage
 Assigning an
Ethics engineer
Design & Authority
Humans stay the
Master
 Design using EF-
Citizen-Centric
approach
 Machine should
be obedient to Owner,
Design & Authority
 Provide some
autonomy to
machine but basic
program should be
locked so that data
cannot be erased o
hacked.
Implementation Strategies
12
26-28 November
Santa Fe, Argentina
Formulate
Based on the
proposed EF,
formulation of
International
guidelines for
QoV ( just like we
have QoServices ,
Qo Experiences)
Intervene
Interventions at
National level like
 Regulatory
Framework
 Standards
/Authority
 EF Templates for
ML programming
Collaborate
Associations of
leaders, academia,
ethics- advocates ,
practitioners at
global level
Multi-disciplinary
diverse design
teams at local level
Monitor &
Control
National authority
to check ethical
indices of ML
innovations for
QoV ;
Organisations to
check compliance
Way Forward : QoV (Quality of Values) in ML
13
26-28 November
Santa Fe, Argentina
WTO, WCO, GENEVA (2018)
UNCTAD (United Nations Conference on
Trade and Development), GENEVA ( 2018)
The Swiss Embassy-India ( 2017)
The World Bank (2000  till Now)
The Economist Intelligence Unit , HK-2017)
IIMD- International Institute for
Management Development (Lausanne,
Switzerland) (2016)
ADB - Asian Development Bank (2014)
Panth辿on Sorbonne, PARIS (2016,2014)
Wollongong University, AUSTRALIA (
2011)
The Winrock International (1999)
Central Universities - JNU,DU,
BHU,IIT-D, Rajasthan University
Central ministries- meity 端, DoPT, MHA,
MEA,DST, CPWD, DARP&G
STATE GOVTS  KARNATAKA,
HARAYANA
INDUSTRY ASSOCIATIONS - NASSCOM
MEDIA/ Civil Society  The LokSabha, DEF
IT Consultancies with International
agencies
National Agencies
28 years of
IT Journey
-From MIS/IT/ICT realm (MCA ,MCSD )
to the real world (IIT-Delhi) of 600
villages of India
(2005-2009)
-NE (Sikkim, Shillong, Mizoram)
-South (TN, Kerala, Ktka)
-North (Punjab, Haryana, Rajasthan)
-Centre (MP, 36garh,UP)
Almost 70.5
millions for IIPA
in last 5 years
20 Mphils/PhD
- 30 Papers/
chapters/ articles
- 6 handbooks
- 5 reports
Generated
Guided
About the Speaker
14
26-28 November
Santa Fe, Argentina
Gracias
charrumalhotra@gmail.com vinod.kotwal@nic.in intern5.icm@mea.gov.in
Special Thanks to- Ms.Ishita Malhotra and Mr. Gaurav Khandelwal; Presentation Courtesy- Shilpa, Nishtha, Heeba, Rashmi
Charru Malhotra Vinod Kotwal Surabhi Dalal
For the longevity of natural life on earth it is imperative we design
algorithms for machines that become aware of what harmony, empathy,
conservation of resources is that knows that WE ARE ALL ONE
15
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S6.2 ethical framework for machine malhotra

  • 1. Ethical Framework for Machine Learning 26-28 November Santa Fe, Argentina Charru Malhotra Associate Professor (e-Governance and ICT) Indian Institute of Public Administration New Delhi INDIA charrumalhotra[at]gmail.com
  • 2. 26-28 November Santa Fe, Argentina Way Forward 05 Ethics Guidelines, Collaborations, Authorities : to check compliance of EF in ML Implementation Strategy 04 Changes at 3 levels- National, Organisational , Design Approach Proposed Ethical Framework (EF) 03 Combine EQ & SQ with IQ to creates ML Algos: Mechanical Learner, Cognitive Learner , Ethical Learner, Ethical Master/ Leader Ethical Issues in ML 02 M/C replace Humans- so who rules? Unethical Hacks ! Biased Databases Introduction 01 Ethics : Right V/s Wrong ML : Learning through Algos Agenda
  • 4. 26-28 November Santa Fe, Argentina Rules of Conduct Kantianism Emanuel Kant (1724- 1804) - duty central to morality -not what we do but what we ought to do 2.Social Contract Theory Thomas Hobbs et. al (1588-1679) Moral rules to govern relationships among citizens Aristotle (384-322 B.C.E) virtuous ways benefit possessor & society 1. Virtue ethics 4. Utilitarianism Jeremy Bentham (1748-1832) John Mill (1806- 1873) Examine right & wrong based on consequences of act / rule. Evolution of Ethics 3.Kantianism 02 ETHICS Ethos Values Morals what is right and wrong .how to act on it to have happiness for self and society
  • 5. 26-28 November Santa Fe, Argentina SOME ETHICAL ISSUES o Decisions left to m/cs esp i complex, huge data o Whose judgment is better o Replace human existence? o internal frauds ? o remote hacking ? o perception-modifications? Machines recording, analysing preferences Machines learning from unclean sources o Non-inclusive policies? 03
  • 7. 26-28 November Santa Fe, Argentina 2017-FACEBOOK has revealed how its artificial intelligence created its own language and began nattering in private . Google Photos goof up in facial recognition MS Chatbot - Hail Nazi tweets !!! 2016-Online Feud of Wiki-Bots 2016-Self Driven Uber Cars jump red lights; Smart Home catches fire in Blackberg-Penn 2016-Semi-automated drones ( LETHAL AUTONOMOUS WEAPON SYSTEMS)deployed between demilitarize zone of South and North Korea 2017-A Russian Robot,Promobot R77 wants to go Free; Sophie wants to kill the human race Reality itself is an AI Simulation that is malfunctioning 05
  • 8. 26-28 November Santa Fe, Argentina 06 INTRODUCTION The study is an interplay of ML ( the hard science) and Ethics ( the soft science) AIM How to minimize /eliminate bias in ML algorithms for making predictions and future decision making
  • 9. 26-28 November Santa Fe, Argentina Secondary Sources Academic Literature of ML & Ethics 20XX Social Media Netflix, Youtube, Blogs,Fiction too Proposed Ethical Framework DESIGNING ML ALGOs- Consider Emotional Quotient (EQ) & Spiritual Quotient (SQ) too apart from the Intellectual Quotient (IQ) Methodology Descriptive, Exploratory & Analytical + 07
  • 10. 26-28 November Santa Fe, Argentina 1942 -Isaac Asimov (Runaround , 1942) -3 laws of robotics, -human-like robots to act servants & need programming rules to prevent harm 2018 2009 Wallach & Allen (2009) suggest top-down, bottom-up & hybrid approach for machine morality. Top-down- moral frameworks of philosophers, bottom-up- machine learn through manipulation like a child 2017 2016 Satya Nadella (2016) (CEO, Microsoft), 10 essential rules for an ideal AI Sundar Pichai (2018) (CEO,Google) -seven principles that guide Google (i) socially beneficial; (ii) avoid unfair bias; (iii) built & test for safety; (iv) accountable etc. Existent Ethical Frameworks Comest of UNESCO: proposes technology-based ethical framework on robotics 08
  • 11. 26-28 November Santa Fe, Argentina IQ EQ SPIRITUAL QUOTIENT Intelligence Rational Clarity Scientific Decision Making (dm) Empathy Sympathy Respecting existence of others PURPOSE PEACE Existing ML algos are based on IQ Learn & recognise patterns without many rules 09
  • 12. 26-28 November Santa Fe, Argentina LOW Spiritual Quotient (SQ) High LOW High Emotional Quotient (EQ) COGNITIVE LEARNER ALGO medium complexity jobs MECHANICAL LEARNER ALGO repetitive jobs ETHICAL MASTER ALGO best-case for global decisions ETHICAL LEARNER ALGO higher complexity jobs IQ Proposed Ethical Framework 01 02 03 04 LOW EQ( neutral responses) LOW SQ ( immature values) HIGH SQ ( mature values about actions taken, Awareness about implications for ALL) High EQ (empathetic responses, context-sensitivity, learning process is inclusive) MOST UTOPIAN /IDEAL TYPE (inclusive, rationale, welfare- for-all for all life-forms DHARMA principles- no shades of black or white) 10
  • 13. 26-28 November Santa Fe, Argentina LOW Spiritual Quotient (SQ) High LOW High Emotional Quotient (EQ) COGNITIVE LEARNER ALGO medium complexity jobs empathetic, inclusive, contextual MECHANICAL LEARNER ALGO repetitive jobs neutral responses & immature values ETHICAL MASTER ALGO V. complex decisions by country leaders ETHICAL LEARNER ALGO higher complexity jobs- mature values, awareness of implications for all; community dm IQ Proposed Ethical Framework 01 02 03 04 welfare-for-all Assembly Line Production Restaurant Robots TeleMedicine Industry 4.0 Gia Sensitive Global Policies C R M Electronic Assistants (Alexa) NLP Predicting User Behaviour Humanoids-Sophia/ Rashmi Network mgmt, Intrusion /Fault Detection, Clustering Weather Forecasting Dynamic DM for resource-mgmt. Traffic Mgmt; SMART HOMES Military Drones ; AV Facial Recognition DSS/ ES for Global Leaders & Policy Makers 11
  • 14. 26-28 November Santa Fe, Argentina National Level COE AUTHORITY; REGULATIONS; ETHICAL INDICES/STDs/ COLLABORATIONS Work with multi experts National Ethical Framework Support Policy- enhancements Standards for big data Encourage research in emerging areas by global / local alliances Organizational Level ETHICS are a MUST Develop, Follow & Monitor Ethical F/w Templates Changes in hiring, CB- training, promotion & feedback Incorporation of ethical aspects at design stage Assigning an Ethics engineer Design & Authority Humans stay the Master Design using EF- Citizen-Centric approach Machine should be obedient to Owner, Design & Authority Provide some autonomy to machine but basic program should be locked so that data cannot be erased o hacked. Implementation Strategies 12
  • 15. 26-28 November Santa Fe, Argentina Formulate Based on the proposed EF, formulation of International guidelines for QoV ( just like we have QoServices , Qo Experiences) Intervene Interventions at National level like Regulatory Framework Standards /Authority EF Templates for ML programming Collaborate Associations of leaders, academia, ethics- advocates , practitioners at global level Multi-disciplinary diverse design teams at local level Monitor & Control National authority to check ethical indices of ML innovations for QoV ; Organisations to check compliance Way Forward : QoV (Quality of Values) in ML 13
  • 16. 26-28 November Santa Fe, Argentina WTO, WCO, GENEVA (2018) UNCTAD (United Nations Conference on Trade and Development), GENEVA ( 2018) The Swiss Embassy-India ( 2017) The World Bank (2000 till Now) The Economist Intelligence Unit , HK-2017) IIMD- International Institute for Management Development (Lausanne, Switzerland) (2016) ADB - Asian Development Bank (2014) Panth辿on Sorbonne, PARIS (2016,2014) Wollongong University, AUSTRALIA ( 2011) The Winrock International (1999) Central Universities - JNU,DU, BHU,IIT-D, Rajasthan University Central ministries- meity 端, DoPT, MHA, MEA,DST, CPWD, DARP&G STATE GOVTS KARNATAKA, HARAYANA INDUSTRY ASSOCIATIONS - NASSCOM MEDIA/ Civil Society The LokSabha, DEF IT Consultancies with International agencies National Agencies 28 years of IT Journey -From MIS/IT/ICT realm (MCA ,MCSD ) to the real world (IIT-Delhi) of 600 villages of India (2005-2009) -NE (Sikkim, Shillong, Mizoram) -South (TN, Kerala, Ktka) -North (Punjab, Haryana, Rajasthan) -Centre (MP, 36garh,UP) Almost 70.5 millions for IIPA in last 5 years 20 Mphils/PhD - 30 Papers/ chapters/ articles - 6 handbooks - 5 reports Generated Guided About the Speaker 14
  • 17. 26-28 November Santa Fe, Argentina Gracias charrumalhotra@gmail.com vinod.kotwal@nic.in intern5.icm@mea.gov.in Special Thanks to- Ms.Ishita Malhotra and Mr. Gaurav Khandelwal; Presentation Courtesy- Shilpa, Nishtha, Heeba, Rashmi Charru Malhotra Vinod Kotwal Surabhi Dalal For the longevity of natural life on earth it is imperative we design algorithms for machines that become aware of what harmony, empathy, conservation of resources is that knows that WE ARE ALL ONE 15