A Unified Framework of Five Principles for AI in Society

Luciano Floridi, Josh Cowls · Harvard Data Science Review · 2019 · social-sciences · 10.1162/99608f92.8cd550d1 · record floridi2019-a-unified-framework-of-five-princi
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Other fields define these differently the same word, defined another way in another discipline
accountability 4 fields · artificial intelligence 4 fields

Tags on this paper

Every tag the record carries, each linking to every other paper in the corpus that carries it. A tag appears here whether or not its words occur in the article — the spans below are only the ones a sentence in this paper licenses. Of the 11 concept tags on this paper, all 11 are grounded in a quoted sentence. All carry the tagger's gloss of what the term means in this paper, which is not something the article can license.
principle proliferation explicability intelligibility accountability beneficence non-maleficence bioethics digital ethics artificial intelligence thinking meta-autonomy conceptual-analysis
Method, as described: a comparative reading of six sets chosen by three stated criteria - recent, relevant to AI and society as a whole, and published by authoritative multi-stakeholder bodies with at least national scope - mapped onto the four bioethics principles

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mechanismmechanismshow the reported effect is said to come about
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object of studyobject_of_studywhat the paper is about — the thing it investigates
phenomenonphenomenonthe effect or regularity under study
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The paper

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claim_relations 3 · claim_type 1 · concept_edges 2 · concepts 11 · content_tags 17 · contribution 1 · controls 4 · limitations 6 · mechanisms 2 · method 1 · object_of_study 1 · phenomenon 1 · research_question 1 · senses 7

Relations on this page carry a quotation for the claim. Where a relation was separately evidenced — and so tested against the vocabulary for its type — the row says so; none of 2 relations here carry that mark. The rest are the tagger’s reading of the sentence quoted beside them.

facettagfieldconf.whose words
object_of_studySIX PUBLISHED SETS OF AI ETHICS PRINCIPLES, forty-seven principles in all, read against each other to find out whether they converge - the object is a vocabulary, not a phenomenon
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object_of_studythe paper's words
research_questionhow to solve 'principle proliferation': whether the competing declarations say the same thing under different names, or genuinely disagree
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research_questionthe paper's words
contributionfive principles - beneficence, non-maleficence, autonomy and justice imported from bioethics, plus EXPLICABILITY, argued to be new and necessary - claimed to capture all 47
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contributionthe paper's words
claim_typemethod
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claim_typethe paper's words
phenomenona field generating ethical declarations faster than it can reconcile them, with 'similar terms often used to mean different things' and a risk the authors name as a 'market for principles'
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phenomenonthe paper's words
methodconceptual-analysis
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methodthe paper's words
mechanismsthe convergence is explained by a structural resemblance between the fields, and the explanation is offered rather than tested: `Of all areas of applied ethics, bioethics is the one that most closely resembles digital ethics in dealing ecologically with new forms of agents, patients, and environments`
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mechanisms[0]0.95the tagger's words
mechanismsand the fifth principle is argued for FUNCTIONALLY - explicability is needed because the other four cannot be checked without it: you cannot tell whether AI is beneficent without understanding what it does, nor hold anyone to account without knowing why an outcome arose
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mechanisms[1]0.95the tagger's words
limitationsTHE SAMPLE IS SIX DOCUMENTS AND THE PAPER SAYS WHERE THEY COME FROM: each `emerged either from initiatives with global scope, or from within western liberal democracies`, and the framework `would undoubtedly benefit from the perspectives of regions and cultures presently un- or under-represented`
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limitations[0]0.95the tagger's words
limitationsthe coverage claim and the distribution claim are DIFFERENT CLAIMS AND ONLY THE FIRST IS ABSOLUTE: the five principles `capture every one of the 47`, but each principle appears in `almost every statement` - and the paper's own Table 1 shows IEEE missing autonomy and justice, and the Partnership missing autonomy
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limitations[1]0.95the tagger's words
limitationsTHE ADOPTION EVIDENCE INCLUDES BODIES THE AUTHORS SIT ON. AI4People and the EC High-Level Expert Group are counted as uptake, and the disclosure states that FLORIDI CHAIRED AI4PEOPLE, COWLS WAS ITS RAPPORTEUR, AND FLORIDI IS A MEMBER OF THE HLEG. Declared in full, and it is still the authors' framework being adopted by the authors' committees
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limitations[2]0.95the tagger's words
limitationsthe funding sits on the subject: the work was supported by an EPSRC hub AND BY FACEBOOK AND GOOGLE - two of the companies whose AI the framework is written to govern. Declared
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limitations[3]0.95the tagger's words
limitationsthe paper leaves its central ambiguity open and says so twice: `it is not entirely clear whether it is the people developing AI, or the technology itself, which should be encouraged not to do harm - in other words, whether it is Frankenstein or his monster against whose maleficence we should be guarding`
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limitations[4]0.95the tagger's words
limitationsand `justice` is left carrying more than one meaning inside the framework that is supposed to fix it: `Elsewhere ‘justice’ has still other meanings (especially in the sense of _fairness)`. The unification does not reach inside the principles
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limitations[5]0.95the tagger's words
controlsthe six documents were selected by three declared criteria - recent, relevant to AI and society as a whole rather than to one sector, and published by authoritative multi-stakeholder bodies of at least national scope
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eliminates: ad-hoc selection as the explanation of the convergence; the criteria are stated before the result and exclude domain-specific documents · outcome: held
controls[0]0.95the tagger's words
controlswhether the convergence is an artefact of where the documents come from
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eliminates: nothing, and the authors say so: all six came from global-scope initiatives or 'from within western liberal democracies', and the framework would benefit from perspectives 'presently un- or under-represented in our sample' · outcome: failed
controls[1]0.95the tagger's words
controlswhether the framework's later adoption is independent evidence for it
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eliminates: nothing - AI4People and the EC High-Level Expert Group are counted as uptake, and the disclosure states the authors chaired, rapporteured and sat on them. THE DISCLOSURE IS COMPLETE AND THE CIRCULARITY IS STILL THERE · outcome: failed
controls[2]0.95the tagger's words
controlswhether 'beneficence' and 'non-maleficence' are one principle wearing two names
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eliminates: the collapse, explicitly: they 'may seem logically equivalent, they are not, and represent distinct principles', and the six documents treat them separately · outcome: held
controls[3]0.95the tagger's words
conceptsprinciple proliferation
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concepts[0]0.95the paper's words
conceptsexplicability
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also in: explicability
concepts[1]0.95the paper's words
conceptsintelligibility
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concepts[2]0.95the paper's words
conceptsaccountability
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concepts[3]0.95the paper's words
conceptsbeneficence
Quotation withheld — this record is not cleared for redistribution. The sentence is in the paper at the link above.
also in: beneficence
concepts[4]0.95the paper's words
conceptsnon-maleficence
Quotation withheld — this record is not cleared for redistribution. The sentence is in the paper at the link above.
concepts[5]0.95the paper's words
conceptsbioethics
Quotation withheld — this record is not cleared for redistribution. The sentence is in the paper at the link above.
also in: bioethics
concepts[6]0.95the paper's words
conceptsdigital ethics
Quotation withheld — this record is not cleared for redistribution. The sentence is in the paper at the link above.
concepts[7]0.95the paper's words
conceptsartificial intelligence
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concepts[8]0.95the paper's words
conceptsthinking
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also in: thinking
concepts[9]0.95the paper's words
conceptsmeta-autonomy
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also in: meta-autonomy
concepts[10]0.95the paper's words
senses`principle proliferation` - THE CONDITION THIS PAPER NAMES AND TREATS. Either the sets are similar, `leading to unnecessary repetition and redundancy`, or they differ, and `confusion and ambiguity will result instead`. The worst case is named too: a `market for principles` in which stakeholders `SHOP` for the most appealing
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senses[0]0.95the tagger's words
sensesTHE DIAGNOSIS, WHICH IS THIS PROJECT'S OWN THESIS IN ONE CLAUSE: `the underlying meaning of each of the principles is contested, with similar terms often used to mean different things`. A shared word list is not a shared vocabulary
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senses[1]0.95the tagger's words
sensesexplicability - FIVE NAMES FOR ONE PRINCIPLE, LISTED WITH THEIR SOURCES: `TRANSPARENCY` in Asilomar and EGE, `transparency` AND `ACCOUNTABILITY` in IEEE, `INTELLIGIBILITY` in AIUK, `understandable and interpretable` in the Partnership. The new term is coined to cover a thing four documents already had
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senses[2]0.95the tagger's words
sensesexplicability, as defined - TWO SENSES DELIBERATELY BOUND TOGETHER: the EPISTEMOLOGICAL sense of intelligibility (`how does it work?`) and the ETHICAL sense of accountability (`who is responsible for the way it works?`). One term carrying two questions on purpose
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senses[3]0.95the tagger's words
sensesAI - `A Research Area in Search of a Definition` in the paper's own heading. It keeps the 1955 Dartmouth formulation, reads it as A COUNTERFACTUAL (`WERE a human to behave in that way, that behaviour WOULD be called intelligent`), and then substitutes its own working phrase - `a reservoir of smart agency on tap` - justified by fitness for the corpus it is about to analyse
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senses[4]0.95the tagger's words
sensesbeneficence and non-maleficence - `THOUGH DO ONLY GOOD AND DO NO HARM MAY SEEM LOGICALLY EQUIVALENT, THEY ARE NOT, AND REPRESENT DISTINCT PRINCIPLES`. A near-synonymy refused explicitly, which is exactly the move most papers leave implicit
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senses[5]0.95the tagger's words
sensesmeta-autonomy - a coined term for `a DECIDE-TO-DELEGATE model`: humans keep the power to decide WHICH decisions to take, and any delegation must remain `overridable in principle (i.e., deciding to decide again)`
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senses[6]0.95the tagger's words
claim_relationsextends → Beauchamp & Childress's four principles of bioethics, carried into AI ethics with a fifth added and the imperfection of the translation stated
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claim_relations[0]0.95the tagger's words
claim_relationssupports → the 1955 Dartmouth proposal's counterfactual formulation of the AI problem, kept as the working definition sixty-four years later
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claim_relations[1]0.95the tagger's words
claim_relationscontradicts → the claim that ethics is 'Europe's silver bullet' in a 'global AI battle' - answered with two words, 'We disagree', and then with the reason
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claim_relations[2]0.95the tagger's words
concept_edgesbeneficence —distinct-from→ non-maleficence
Quotation withheld — this record is not cleared for redistribution. The sentence is in the paper at the link above.
concept_edges[0]0.95the tagger's words
concept_edgesdigital ethics —distinct-from→ bioethics
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Audit 2026-09-28: DOUBTFUL - read against its span and kept, but the span compares AI principles with bioethics principles; distinct-from is loose.
concept_edges[1]0.95the tagger's words
content_tagsTHE CONDITION HAS A NAME: `principle proliferation` - either the sets are similar and produce `unnecessary repetition and redundancy`, or they differ and produce `confusion and ambiguity`, with the worst case a `market for principles` where stakeholders `SHOP` for the most appealing
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content_tags.findings[0]0.95the tagger's words
content_tagsthe meaning of each principle is contested, with similar terms often used to mean different things
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content_tags.findings[1]0.95the tagger's words
content_tagsFOUR NAMES FOR ONE PRINCIPLE, EACH ATTRIBUTED TO ITS DOCUMENT: `transparency` in Asilomar and EGE, `transparency` and `accountability` in IEEE, `intelligibility` in AIUK, `understandable and interpretable` in the Partnership
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content_tags.findings[2]0.95the tagger's words
content_tagsthe principles converge on the four core bioethics principles, which adapt well to AI but do not offer a perfect translation
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content_tags.findings[3]0.95the tagger's words
content_tags`do only good` and `do no harm` are argued NOT to be logically equivalent and to `represent DISTINCT principles`
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content_tags.findings[4]0.95the tagger's words
content_tagssix documents, 47 principles, and the five are claimed to `capture every one` - while the weaker distribution claim is hedged to `almost every statement`
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content_tags.findings[5]0.95the tagger's words
content_tagsAI is defined by engineered outcomes and actions and treated here as a reservoir of smart agency on tap
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content_tags.findings[6]0.95the tagger's words
content_tagsthe sample is declared: all six sets came from global-scope initiatives or from WITHIN WESTERN LIBERAL DEMOCRACIES
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content_tags.findings[7]0.95the tagger's words
content_tagsFloridi chaired AI4People, Cowls was its rapporteur, and Floridi sits on the EC High-Level Expert Group on AI
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content_tags.findings[8]0.95the tagger's words
content_tagsFloridi's work was funded in part by Facebook and Google, as declared
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content_tags.findings[9]0.95the tagger's words
content_tagsthe central ambiguity is left open in the authors' own words: whether it is `Frankenstein or his monster against whose maleficence we should be guarding`
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content_tags.findings[10]0.95the tagger's words
content_tagsincorporating both the epistemological sense of INTELLIGIBILITY (`how does it work?`) and the ethical sense of ACCOUNTABILITY (`who is responsible for the way it works?`)
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also in: explicability
content_tags.definitions[0]0.95the tagger's words
content_tagsthe 1955 Dartmouth formulation - making a machine behave in ways that WOULD BE CALLED intelligent IF a human were so behaving - read as a counterfactual about behaviour, not a claim about thinking
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content_tags.definitions[1]0.95the tagger's words
content_tagsa decide-to-delegate model: humans retain the power to decide which decisions to take, and delegation remains overridable in principle
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also in: meta-autonomy
content_tags.definitions[2]0.95the tagger's words
content_tagsprinciples across the six documents, claimed to be captured entirely by the five
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content_tags.quantities[0]0.95the tagger's words
content_tagshigh-profile initiatives analysed - Asilomar, Montreal, IEEE, EGE, AIUK, the Partnership on AI
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content_tags.quantities[1]0.95the tagger's words
content_tagscore principles in the resulting framework - four borrowed, one coined
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content_tags.quantities[2]0.95the tagger's words

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