Innovation and Regulation: Attaining and Maintaining Transparency and Accountability in Automated Decision-Making

创新与监管：实现并保持自动化决策的透明度和问责制

• 批准号: 2445651
• 金额: --
• 依托单位: University of Nottingham
• 依托单位国家: 英国
• 项目类别: Studentship
• 财政年份: 2020
• 资助国家: 英国
• 起止时间: 2020 至 无数据
• 项目状态: 未结题
• 来源: https://gtr.ukri.org/projects?ref=studentship-2445651
• 关键词: Innovation; Regulation; Attaining; Maintaining; Transparency

Within society, Automated Decision-Making (ADM) (a decision with no human involvement) is increasing. The retail sector uses ADM to profile and personalise content to its customers through Recommender Systems (RS). RS takes the information the organisation knows or perceives about an individual or group of people and applies an algorithm that predicts and recommends future purchases. RS's perceived benefits are that the individual sees content that is more relevant to them and is cost-effective to organisations, and increases sales. As online retail grew over 30% between 2015-2018, and April 2020 saw e-commerce sales grow by 209%, keeping abreast of consumer interests and habits is particularly important for organisations to optimise survival chances. In contrast, RS present many challenges for individuals and society, primarily around privacy. As they work behind the scenes, many individuals may be unaware of RS, and studies continue to understand more about the ethical challenges and their real impact upon society. This research concentrates on the policy aspects of RS with the General Data Protection Regulation. We seek to understand how organisations interpret this technology's use in line with the GDPR, particularly the application and distinction between general profiling activity, decision-making based upon profiling and automated individual decision-making, including profiling. The GDPR is a key starting point as its general design is to bring clearer rights for individuals and provide more obligations and consequences for organisations. While the GDPR does not define transparency, we mean being 'clear, open and honest' to all and by accountability, we mean 'taking responsibility' and 'demonstrating compliance'.To understand the current position regarding elements of transparency and accountability, we will consider the organisation's publicly available information and make use of our individual rights. Semi-structured interviews with organisations, individuals and regulators will also provide wide stakeholder feedback on RS transparency and accountability, both on the present position and what they feel may improve matters. Overall, the project aims to understand the balance between organisations, individuals and society and make appropriate recommendations to inform the future regulation of ADM in RS for societal good.

在社会中，自动决策（ADM）（无需人工参与的决策）正在增加。零售行业使用 ADM 通过推荐系统 (RS) 向客户描述和个性化内容。 RS 获取组织了解或感知的有关个人或群体的信息，并应用预测和建议未来购买的算法。 RS 的明显好处是，个人可以看到与他们更相关、对组织来说更具成本效益的内容，并增加销售额。随着 2015 年至 2018 年在线零售增长超过 30%，到 2020 年 4 月，电子商务销售额增长了 209%，因此了解消费者的兴趣和习惯对于组织优化生存机会尤为重要。相比之下，RS 给个人和社会带来了许多挑战，主要是围绕隐私问题。由于他们在幕后工作，许多人可能不知道 RS，并且研究继续更多地了解道德挑战及其对社会的真正影响。本研究重点关注《通用数据保护条例》中 RS 的政策方面。我们寻求了解组织如何根据 GDPR 解释该技术的使用，特别是一般分析活动、基于分析的决策和自动化个人决策（包括分析）之间的应用和区别。 GDPR 是一个关键起点，因为其总体设计是为个人带来更明确的权利，并为组织提供更多的义务和后果。虽然 GDPR 没有定义透明度，但我们的意思是对所有人“清晰、公开和诚实”，而问责制的意思是“承担责任”和“展示合规性”。为了了解透明度和问责制要素的当前立场，我们将考虑组织的公开信息并利用我们的个人权利。对组织、个人和监管机构的半结构化访谈还将提供利益相关者对 RS 透明度和问责制的广泛反馈，包括目前的状况以及他们认为可以改善问题的方面。总体而言，该项目旨在了解组织、个人和社会之间的平衡，并提出适当的建议，为 RS 中 ADM 的未来监管提供信息，以造福社会。