Thursday, February 01, 2018

Ethical Governance: what is it and who's doing it?

These days I often find myself talking about ethical governance. Not just talking about but advocating: for instance in written evidence to the 2016 parliamentary select committee on robots and AI I made the link between ethical governance and trust. I believe that without transparent ethical governance robotics and AI will not win public trust, and without trust we will not see the societal benefits of robots and AI that we all hope for.

But what exactly is ethical governance and who is doing it, and perhaps more importantly, who in robotics and AI is doing it well?

In a draft paper on the subject I define ethical governance as
a set of processes, procedures, cultures and values designed to ensure the highest standards of behaviour. Ethical governance thus goes beyond simply good (i.e. effective) governance, in that it inculcates ethical behaviours. Normative ethical governance is seen as an important pillar of responsible research and innovation (RRI), which “entails an approach, rather than a mechanism, so it seeks to deal with ethical issues as or before they arise in a principled manner rather than waiting until a problem surfaces and dealing with it in an ad hoc way [1]” 
The link I make here between ethical governance and responsible research and innovation is I think really important. Ethical governance is a key part of RRI. They are not the same thing but it would be hard to imagine good ethical governance without RRI, and vice versa.

So what would I expect of companies or organisations who claim to be ethical? As a starting point for discussion here are five things that ethical companies should do:
  • Have an ethical code of conduct, so that everyone in the company understands what is expected of them. This should sit alongside a mechanism which allows employees to be able to raise ethical concerns, if necessary in confidence, without fear of displeasing a manager.
  • Provide ethics training for everyone, without exception. Ethics, like quality, is not something you can do as as add-on; simply appointing an ethics manager, while not a bad idea, is not enough. Ethical governance needs to become part of a company's culture and DNA, not just in product development but in management, finance, HR and marketing too.
  • Undertake ethical risk assessments of all new products, and act upon the findings of those assessments. A toolkit, or method, for ethical risk assessment of robots and robotic systems exists in British Standard BS 8611, which - alongside much else - sets out 20 ethical risks and hazards together with recommendations on how to mitigate these and verify that they have been addressed.
  • Be transparent about your ethical governance. Of course your robots and AIs must be transparent too, but here I mean transparency of process, not product. It's not enough to claim to be ethical, you need to show how you are ethical. That means publishing your ethical code of conduct, membership of your ethics board if you have one (and its terms of reference), and ideally case studies showing how you have conducted ethical risk assessments.
  • Really value ethical governance.  Even if you have the four processes above in place you also needs to be sincere about ethical governance; that ethical governance is one of your core values, and just not a smokescreen for what you really value, like maximising shareholder returns.
My final point about really valuing ethical governance is of course hard to evidence. But, like trust, confidence in a company's claim to be ethical has to be earned and - as we've seen - can easily be damaged.

This brings me to my second question: who is doing ethical governance? And are there any examples of best practice? A week or so ago I asked Twitter this question. I've had quite a few nominations but haven't yet looked into them all. When I have, I will complete this blog post.

[1] Rainey, S., and Goujon, P. (2011). Toward a Normative Ethical of Governance of Technology. Contextual Pragmatism and Ethical Governance. In Ren von Schomberg (ed.) Towards Responsible Research and Innovation in the Information and Communication Technologies and Security Technologies Fields, Report of the European Commission-DG Research and Innovation.


  1. Hi Alan, I've already shared this excellent post with my Working Group. As always, insightful, pragmatic and really helpful. Thanks.

    1. Thank you John. Any feedback from your group would be very welcome!

  2. Great Insights as always Alan. Do you think the ethical training, transparency and risk assessments should be mandatory and published, say like annual reports? This is what I suggest because as we know, some organisations when left to their own devices will do the barest minimum or nothing at all. Doing some research+writing on AI for employee surveillance in global financial institutions and seems there are concerns in AI Ethical Governance already. Looking forward to the 2nd part once you've managed to drill through Twitter! All the best. Lola.

    1. Thank you Lola. Yes I agree, transparency reports should - ideally - be mandatory. However, I don't think this is very likely. What I hope is that enough companies choose to publish these on a voluntary basis that others feel compelled to follow suit.

  3. Again - many thanks. I will include this topic into the workshop being organised by CAST

    1. Great, thank you Joseph. Do please send me any feedback.