Paul Wilton

BOTT is a data ethics framework for the practical assessment of AI and predictive analytics models within their ecosystems; Bias, Outcome, Target, Trust

BOTT Framework for Practical AI Ethics - Bias, Outcome, Target, Trust

As a data company, data ethics has always been important to us, but in the last
few years, as Machine learning and AI have become front and centre as a
significant part of digital transformation in the enterprise, data ethics has
become a hot topic. It bears such a considerable weight in predictive analytics,
not just in conveying trust to consumers of machine intelligence, but also in
ensuring predictive models deliver genuine value, make unbiased predictions, and
reflect the true state of the environment within which they live. When data
ethics go wrong, it can go badly wrong, potentially bringing down an entire
organisation, with substantial direct and indirect collateral damage,
potentially even on national democracy and social cohesion - the Cambridge
Analytica incident a case in point.

We all need to take it seriously.

In 2018 Data Language was privileged to have been accepted onto the Digital
Catapult “Machine Intelligence Garage
[https://www.digicatapult.org.uk/for-startups/acceleration-programmes/machine-intelligence-garage]
” programme. As well as supporting us with a terrific programme including
compute resource, strategic help and industry engagement, Digital Catapult also
took Data Language through their ethics programme. This was like a cold-shower,
really waking us up to depth and breadth of data ethics. A realisation that data
ethics is not just about data (technically), but about the way you approach your
entire business. 

With all this in mind, we were motivated to develop a data ethics framework that
we could use internally at Data Language to assess all our predictive analytics
projects, and that could guide us practically during implementation. We call
this framework BOTT.

The BOTT Framework
BOTT (all good frameworks need a memorable acronym) stands for Bias, Outcome,
Target and Trust. Through these four pillars, it allows our data science team to
examine, and assess a predictive analytics model within its local and external
ecosystem for quality, bias, and accuracy, and ensure it meets high standards of
data ethics.

Bias
An analysis of potential bias that may be baked into the model during its
life-cycle, either literally through data or code, or intangibly through for
example, some conscious or subconscious human bias. We examine bias from the
following perspectives :

Training data bias - is the training data diverse enough and comprehensive
enough to accurately reflect the environment of the predictive model. What
potential biases might skew predictive results either for good or bad outcomes -
is there any chance these biases might exist in the training data we have used.

Algorithmic bias - is the model algorithm, its mathematical basis, or code
potentially biased?

Real-time input data - if real-time (predict time) input data is involved in
making some prediction, what might these data biases be, and how can we prevent
them from impacting outputs.

Team bias - has or could conscious or unconscious bias of the model development
team contribute to model bias, and have we mitigated against it. Often just an
open and frank team discussion around bias (with respect to the project under
consideration) is enough to flush out these sort of issues

Political, environmental, and social bias - similar to the team bias but looking
at potential external factors through a similar lens - for both ideally the team
needs to be very comfortable talking about potentially politically or socially
sensitive topics in an open, friendly and non-defensive manner.

Output sampling - essentially QA - have you done effective output sampling and
for quality assurance - does the risk of bias in the predictive model call for
independent third party reviews in QA workflows, etc

Outcome
An analysis and survey of the full range of possible outcomes of the model:

Catalogue - construct a catalogue of the potential outcome scenarios

Impact - What does success and failure of the model mean :

 * in the context of the target use-cases
 * best and worst case scenario modelling
 * model failure consequences, e.g. could somebody die if the model fails ?

Target
Analysis of who or what the model is targeted at and the context in which these
users operate.

Users -  Who are target users of the model  - who or what is the direct consumer
of the model ?

Purpose - What problem is the model solving?

Context: Is it part of an ensemble of models, is there a wider predictive
ecosystem the model sits within - what impact does this model have within this
context ?

Life span -  What is the life expectancy of the model, and how does its
environment change over time

Subversion - Can other users or consumers subvert the model for
unintended/undesirable ends?

Catalogue - Construct  a catalogue of potential unintended uses/consequences,
and ascertain if those vulnerabilities can be designed out of the architecture?

Trust
Providing some visibility of the "behind the scenes" implementation can raise
confidence in the models and foster a trust relationship between consumers and
predictive services.

Explainable AI (XAI) is becoming a field in its own right, and an important part
of machine learning and predictive analytics. Codable frameworks are emerging to
aid explainability (for example Google Model Cards
[https://modelcards.withgoogle.com/about]). This codability will be key in being
able to compare and assess models through some normative evaluation mechanism.

Transparency - what should we be exposing of the lineage and decision making
pipeline of the model prediction algorithm :

 * training cycles / training samples
 * outputs of intermediate predictions
 * decision inputs/outputs

Impact - Why should these be exposed ? - perform an impact analysis of the
possible effects of not exposing model lineage, with respect to legal,
environmental, and model improvement consequences.

Data Ethics

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