Thinking Upstream: Ethics and Policy Opportunities in AI Supply Chains

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Looking upstream

After children were pictured sewing its running shoes in the early 1990s, Nike at first disavowed the “working conditions in its suppliers’ factories”, before public pressure led them to take responsibility for ethics in their upstream supply chain. In 2023, OpenAI responded to criticism that Kenyan workers were paid less than $2 per hour to filter traumatic content from its ChatGPT model by stating in part that it had outsourced the work to a subcontractor, who managed workers’ payment and mental health concerns.
In this position paper,** we argue that policy interventions for AI Ethics must consider AI as a supply chain problem**, given how the political economy and intra-firm relations structure AI production, in particular examining opportunities upstream.
Much like physical goods, software is assembled from components developed by many people across diverse contexts, in a “supply chain”. Widder and Nafus suggested that “thinking about ethics and responsibility as chains of relations surfaces specific locations in which ethical decision-making can take place”. They show how interviewees at dow the AI supply chain view their ethical responsibility differently:developers“high”in the chain saw what they were making as too “general purpose” to warrant ethical scrutiny, but those downstream felt unequipped to remediate “ethical debt” accrued upstream. By analogy to technical debt, “ethical debt”refers to unaddressed flaws that may cause harm downstream, to be “paid” by developers or users who later interact with the system.
However, AI ethics approaches often focus on the component being developed or its downstream effects, rather than its upstream supply chain. Company AI Ethics policy statements often scrutinize design while avoiding scrutiny of downstream business uses. Ethical design principles and checklists are insufficient— satire shows that systems satisfying “Fair”, “Accountable”, “Transparent” design principles can nonetheless be patently unethical when used for harm, and others demonstrate that in cases such as Deepfakes, harm is inherent in how a system is freely distributed and thus widely used, not how it is designed.
Relatedly, efforts like “Privacy by Design” and “Data Protection by Design” are legal (in some jurisdictions) and engineering requirements that embed privacy concerns throughout the development lifecycle for a particular software component. However, a supply chain frame would consider how that component depends on privacy assumptions or affordances from its dependencies developed earlier in the supply chain, and in turn for its downstream users. Gürses and Hoboken noted that privacy research and policy interventions focus on sites of “technology consumption” lower in the supply chain, disregarding modern and drastic changes in software production, upstream in the supply chain.
Ethical design interventions for AI often think downstream, often drawing on design futuring, scenarios, or value sensitive design techniquesto consider how stakeholder harms might occur during the deployment and use of AI systems. While useful, we argue that there are unexplored opportunities for acting upstream.
Acting upstream

Conceiving of AI ethics as a supply chain problem, and then looking up the chain, surfaces “values levers”—practices that can pry open discussion about values and ethics— that present opportunities for policy, design and activism.
AI Supply Chains and Human Rights Law. Fukuda-Parr and Gibbons argue that government and civil society must act to ground AI ethics in human rights frameworks, but note that company AI ethics guidelines misuse “`human rights’ as a rhetorical device” in the “absence of enforceable standards” and regulations. Looking beyond AI supply chains to those of physical goods, such standards and regulations exist. For example, the United States banned “any goods, wares, articles, and merchandise mined, produced, or manufactured wholly or in part” (emphasis added) in Xinjiang, unless companies can prove they were not produced using Uyghur forced labor, and the UK Modern Slavery and Human Trafficking Act requires companies to prevent forced labor in their supply chain. Considering the working conditions of upstream AI data workers, such as low paid annotators, suggests opportunities to apply human rights law to workers in the AI supply chain.
Market-Based Policy Interventions: Disclosures, Procurement, and Choosy Customers. Policy interventions focused on making producers of AI systems disclose information about their upstream practices may create market pressures to address ethical issues. A growing number of institutional investors have expressed interest in investing in companies that meet particular social or ethical standards, often termed “environmental and social good” (ESG). While much ESG interest originates in sustainability, monitoring agencies have begun to attend to companies’ possible digital harms, including labor rights, data privacy, and security. This disclosure is often voluntary and thus non-standardized, but future policy initiatives may explore standardized and compulsory ESG disclosures, incorporating AI supply chain ethics topics. Existing regulatory agencies that require companies to make public disclosures about their business practices, such as the U.S. Securities and Exchange Commission, may play a role here.
Widder and Nafus explore the power of being a “choosy” customer, suggesting that those sourcing software might routinize asking suppliers for model cards, if the data it was trained on was properly consented, if crowd workers labeling the data were paid an appropriate wage”, as is often done in supply chains for physical goods. While not all customers are choosy, governments can be perhaps more easily required to be so, especially important in cases where governmental uses of AI affect people's freedoms and life chances. This may also make this scrutiny more routine and thereby normalized. Writing about how government procurement and adoption of ML systems are _policy_ decisions as well as technical ones, Mulligan and Bamberger advocate for using the power of procurement to require suppliers to utilize “contestable design" which “exposes value-laden features”, which might look like making it possible to challenge upstream software features before their downstream consequences are baked in’. Disclosure-based approaches have drawbacks: Gansky and Mcdonald critique “metadata maximalism”, questioning whether model cards and other “provenance and trajectory documentation [provided] in order to enable transparency” can “steer supplier practice via the discipline of the market”, noting inherently messy AI supply chains.
Design and Activism in the Supply Chain. Design and activist practices can make use of an upstream perspective by creating artifacts and tools that help stakeholders understand, question, and advocate for changes upstream in the AI supply chain. The Algorithmic Equity Toolkit (AEKit) was designed to help citizens and community groups “find out more about a specific automated decision system”, providing questions for advocates to ask policymakers and technology vendors, including upstream questions like where a system’s data came from, who gathered it, with what tools, and for what purpose. Artistic approaches to understanding AI systems, such as Crawford and Joler’s “Anatomy of an AI System” can help surface and publicize supply chain relationships in AI systems for further questioning.
Ethical Licensing. Novel software licenses are increasingly proposed and experimented with in open source projects,which recognize harms from making powerful AI freely available.As opposed to permissive licenses, these require downstream users to think about their upstream dependencies, and the ethical commitments they demand, and how these fit with their own.
In sum, these ways of acting “upstream” present future opportunities for design and policy interventions to address questions of AI Ethics.
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1153  publisher = {sage},
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1155  author = {Miles, Matthew B and Huberman, A Michael},
1156  title = {Qualitative data analysis: An expanded sourcebook},
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1158
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1165
1166@inproceedings{devanbu2003modularity,
1167  year = {2003},
1168  pages = {723--724},
1169  booktitle = {25th International Conference on Software Engineering},
1170  author = {Devanbu, Premkumar and Balzer, Bob and Batory, Don and Kiczales, Gregor and Launchbury, John and Parnas, David and Tarr, Peri},
1171  title = {Modularity in the new millenium: A panel summary},
1172}
1173
1174@incollection{parnas1972criteria,
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1181}
1182
1183@article{shaw2015seminal,
1184  publisher = {Carnegie Mellon University},
1185  year = {2015},
1186  author = {Shaw, Mary and Aldrich, Jonathan and Breaux, Travis D and Garlan, David and K{\"a}stner, Christian and Le Goues, Claire and Scherlis, William},
1187  title = {Seminal Papers in Software Engineering: The Carnegie Mellon Canonical Collection},
1188}
1189
1190@inproceedings{sambasivan2021everyone,
1191  year = {2021},
1192  pages = {1--15},
1193  booktitle = {ACM Conference On Human Factors In Computing Systems},
1194  author = {Sambasivan, Nithya and Kapania, Shivani and Highfill, Hannah and Akrong, Diana and Paritosh, Praveen and Aroyo, Lora M},
1195  title = {“Everyone wants to do the model work, not the data work”: Data Cascades in High-Stakes AI},
1196}
1197
1198@article{wong2021tactics,
1199  publisher = {ACM New York, NY, USA},
1200  year = {2021},
1201  pages = {1--28},
1202  number = {CSCW2},
1203  volume = {5},
1204  journal = {Conference on Human-Computer Interaction},
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1206  title = {Tactics of Soft Resistance in User Experience Professionals' Values Work},
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1208
1209@article{lally2021makes,
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1217
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1222  author = {McPherson, Tara},
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1225
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1237  publisher = {JSTOR},
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1242  title = {Cutting the network},
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1244
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1246  year = {2002},
1247  pages = {7},
1248  number = {2},
1249  volume = {14},
1250  journal = {Scandinavian journal of information systems},
1251  author = {Suchman, Lucy},
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1253}
1254
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1257  author = {Proctor, Robert N and Schiebinger, Londa},
1258  title = {Agnotology: The making and unmaking of ignorance},
1259}
1260
1261@incollection{nafus2021ground,
1262  doi = {10.7551/mitpress/11310.003.0005},
1263  publisher = {The MIT Press},
1264  month = {08},
1265  year = {2021},
1266  booktitle = {Making and Doing: Activating STS through Knowledge Expression and Travel},
1267  author = {Nafus, Dawn},
1268  isbn = {9780262366052},
1269  title = {The Ground Keeps Opening Up: Building An Infrastructure For Data Appropriation},
1270}
1271
1272@article{petrozzino2021pays,
1273  publisher = {Springer},
1274  year = {2021},
1275  pages = {205--208},
1276  number = {3},
1277  volume = {1},
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1281}
1282
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1285  pages = {183-201},
1286  journal = {Simians, cyborgs, and women: The reinvention of nature},
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1288  title = {Situated knowledges: The science question in feminism and the privilege of partial perspective},
1289}
1290
1291@book{bryan2016sentient,
1292  publisher = {Rowman \& Littlefield},
1293  year = {2016},
1294  author = {Bryan, Hilary and Burdock, Maureen and Craig, Maxine Leeds and Curtis, Jess and Dumit, Joseph and Feit, Sean and Rodr{\'\i}guez, {\'A}lvaro Iv{\'a}n Hern{\'a}ndez and Hutter, Verena and Little, Nita and Manning, Erin and others},
1295  title = {Sentient performativities of embodiment: thinking alongside the human},
1296}
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1298@inproceedings{mitchell2019model,
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1300  pages = {220--229},
1301  booktitle = {conference on fairness, accountability, and transparency},
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1303  title = {Model cards for model reporting},
1304}
1305
1306@article{gebru2021datasheets,
1307  publisher = {ACM New York, NY, USA},
1308  year = {2021},
1309  pages = {86--92},
1310  number = {12},
1311  volume = {64},
1312  journal = {Communications of the ACM},
1313  author = {Gebru, Timnit and Morgenstern, Jamie and Vecchione, Briana and Vaughan, Jennifer Wortman and Wallach, Hanna and Iii, Hal Daum{\'e} and Crawford, Kate},
1314  title = {Datasheets for datasets},
1315}
1316
1317@inproceedings{thomas2019migration,
1318  organization = {IEEE},
1319  year = {2019},
1320  pages = {12--17},
1321  booktitle = {2019 ACM/IEEE 14th International Conference on Global Software Engineering (ICGSE)},
1322  author = {Thomas, Suzanne L},
1323  title = {Migration versus management: the global distribution of computer vision engineering work},
1324}
1325
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1328  pages = {11},
1329  volume = {8},
1330  journal = {International journal of communication},
1331  author = {Nafus, Dawn and Sherman, Jamie},
1332  title = {Big data, big questions| this one does not go up to 11: the quantified self movement as an alternative big data practice},
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1334
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1342}
1343
1344@book{davis2020artifacts,
1345  publisher = {MIT Press},
1346  year = {2020},
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1348  title = {How artifacts afford: The power and politics of everyday things},
1349}
1350
1351@inproceedings{widder2022limits,
1352  year = {2022},
1353  booktitle = {conference on fairness, accountability, and transparency},
1354  author = {Widder, David Gray and Nafus, Dawn and Dabbish, Laura and Herbsleb, James},
1355  title = {Limits and Possibilities for “Ethical AI” in Open Source: A Study of Deepfakes},
1356}
1357
1358@article{ethicaldebt2020fiesler,
1359  year = {2020},
1360  booktitle = {Wired Ideas},
1361  author = {Fiesler, Casey and Garrett, Natalie},
1362  title = {Ethical Tech Starts with Addressing Ethical Debt},
1363}
1364
1365@incollection{dijkstra1982role,
1366  publisher = {Springer},
1367  year = {1982},
1368  pages = {60--66},
1369  booktitle = {Selected writings on computing: a personal perspective},
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1371  title = {On the role of scientific thought},
1372}
1373
1374@book{cetina1999epistemic,
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1376  year = {1999},
1377  author = {Cetina, Karin Knorr},
1378  title = {Epistemic cultures: How the sciences make knowledge},
1379}
1380
1381@article{malazita2019infrastructures,
1382  publisher = {Taylor \& Francis},
1383  year = {2019},
1384  pages = {300--312},
1385  number = {4},
1386  volume = {30},
1387  journal = {Digital Creativity},
1388  author = {Malazita, James W and Resetar, Korryn},
1389  title = {Infrastructures of abstraction: how computer science education produces anti-political subjects},
1390}
1391
1392@book{latour2012we,
1393  publisher = {Harvard university press},
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1397}
1398
1399@inproceedings{tarr1999n,
1400  organization = {IEEE},
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1402  pages = {107--119},
1403  booktitle = {1999 International Conference on Software Engineering},
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1405  title = {N degrees of separation: Multi-dimensional separation of concerns},
1406}
1407
1408@article{zhang2021ai,
1409  year = {2021},
1410  journal = {arXiv preprint arXiv:2103.06312},
1411  author = {Zhang, Daniel and Mishra, Saurabh and Brynjolfsson, Erik and Etchemendy, John and Ganguli, Deep and Grosz, Barbara and Lyons, Terah and Manyika, James and Niebles, Juan Carlos and Sellitto, Michael and others},
1412  title = {The ai index 2021 annual report},
1413}
1414
1415@inproceedings{sirur2018we,
1416  year = {2018},
1417  pages = {88--95},
1418  booktitle = {2nd International Workshop on Multimedia Privacy and Security},
1419  author = {Sirur, Sean and Nurse, Jason RC and Webb, Helena},
1420  title = {Are we there yet? Understanding the challenges faced in complying with the General Data Protection Regulation (GDPR)},
1421}
1422
1423@book{geertz1973interpretation,
1424  publisher = {Basic books},
1425  year = {1973},
1426  volume = {5019},
1427  author = {Geertz, Clifford and others},
1428  title = {The interpretation of cultures},
1429}
1430
1431@misc{elish2020repairing,
1432  url = {https://datasociety.net/pubs/repairing-innovation.pdf},
1433  publisher = {New York: Data & Society Research Institute},
1434  year = {2020},
1435  author = {Elish, Madeleine Clare and Watkins, Elizabeth Anne},
1436  title = {Repairing Innovation: A Study of Integrating AI in Clinical Care},
1437}
1438
1439@book{scott1985weapons,
1440  publisher = {Yale University Press},
1441  year = {1985},
1442  author = {Scott, James C},
1443  title = {Weapons of the weak: Everyday forms of peasant resistance},
1444}
1445
1446@inproceedings{buolamwini2018gender,
1447  organization = {PMLR},
1448  year = {2018},
1449  pages = {77--91},
1450  booktitle = {Conference on fairness, accountability and transparency},
1451  author = {Buolamwini, Joy and Gebru, Timnit},
1452  title = {Gender shades: Intersectional accuracy disparities in commercial gender classification},
1453}
1454
1455@article{fjeld2020principled,
1456  year = {2020},
1457  number = {2020-1},
1458  journal = {Berkman Klein Center Research Publication},
1459  author = {Fjeld, Jessica and Achten, Nele and Hilligoss, Hannah and Nagy, Adam and Srikumar, Madhulika},
1460  title = {Principled artificial intelligence: Mapping consensus in ethical and rights-based approaches to principles for AI},
1461}
1462
1463@article{winecoff2022artificial,
1464  year = {2022},
1465  journal = {arXiv preprint arXiv:2203.01157},
1466  author = {Winecoff, Amy A and Watkins, Elizabeth A},
1467  title = {Artificial Concepts of Artificial Intelligence: Institutional Compliance and Resistance in AI Startups},
1468}
1469
1470@book{costanza2020design,
1471  publisher = {The MIT Press},
1472  year = {2020},
1473  author = {Costanza-Chock, Sasha},
1474  title = {Design justice: Community-led practices to build the worlds we need},
1475}
1476
1477@article{ottinger2022responsible,
1478  publisher = {Taylor \& Francis},
1479  year = {2022},
1480  pages = {1--19},
1481  journal = {Journal of Responsible Innovation},
1482  author = {Ottinger, Gwen},
1483  title = {Responsible epistemic innovation: How combatting epistemic injustice advances responsible innovation (and vice versa)},
1484}
1485
1486@article{lorde2003master,
1487  publisher = {Routledge New York, NY},
1488  year = {2003},
1489  pages = {27},
1490  volume = {25},
1491  journal = {Feminist postcolonial theory: A reader},
1492  author = {Lorde, Audre},
1493  title = {The master’s tools will never dismantle the master’s house},
1494}
1495
1496@book{polanyi2001great,
1497  publisher = {Beacon press},
1498  year = {2001},
1499  author = {Polanyi, Karl},
1500  title = {The great transformation: The political and economic origins of our time},
1501}
1502
1503@article{vallor2018ethics,
1504  year = {2018},
1505  journal = {The Markkula Center for Applied Ethics at Santa Clara University. https://www. scu. edu/ethics},
1506  author = {Vallor, Shannon and Green, Brian and Raicu, Irina},
1507  title = {Ethics in technology practice},
1508}
1509
1510@article{friedman1996value,
1511  publisher = {ACM New York, NY, USA},
1512  year = {1996},
1513  pages = {16--23},
1514  number = {6},
1515  volume = {3},
1516  journal = {interactions},
1517  author = {Friedman, Batya},
1518  title = {Value-sensitive design},
1519}
1520
1521@inproceedings{le2009values,
1522  year = {2009},
1523  pages = {1141--1150},
1524  booktitle = {ACM Conference On Human Factors In Computing Systems},
1525  author = {Le Dantec, Christopher A and Poole, Erika Shehan and Wyche, Susan P},
1526  title = {Values as lived experience: evolving value sensitive design in support of value discovery},
1527}
1528
1529@book{ferguson1994anti,
1530  publisher = {Minnesota Press},
1531  year = {1994},
1532  author = {Ferguson, James},
1533  title = {The anti-politics machine:" development," depoliticization, and bureaucratic power in Lesotho},
1534}
1535
1536@article{callon1998introduction,
1537  publisher = {SAGE Publications Sage UK: London, England},
1538  year = {1998},
1539  pages = {1--57},
1540  number = {1\_suppl},
1541  volume = {46},
1542  journal = {The sociological review},
1543  author = {Callon, Michel},
1544  title = {Introduction: the embeddedness of economic markets in economics},
1545}
1546
1547@book{plattner1989economic,
1548  publisher = {Stanford University Press},
1549  year = {1989},
1550  author = {Plattner, Stuart},
1551  title = {Economic anthropology},
1552}
1553
1554@misc{memic2018pesia,
1555  url = {https://blogit.itu.dk/virteuproject/2018/10/30/whats-the-pesia-framework/},
1556  publisher = {New York: Data & Society Research Institute},
1557  year = {2018},
1558  author = {Memic, Inda},
1559  title = {What's the PESIA Framework?},
1560}
1561
1562@inproceedings{gansky2022counterfacctual,
1563  year = {2022},
1564  pages = {1982--1992},
1565  booktitle = {2022 ACM Conference on Fairness, Accountability, and Transparency},
1566  author = {Gansky, Ben and McDonald, Sean},
1567  title = {CounterFAccTual: How FAccT undermines its organizing principles},
1568}
1569
1570@book{arendt1963eichmann,
1571  publisher = {Viking Press},
1572  year = {1963},
1573  author = {Arendt, Hannah},
1574  title = {Eichmann in Jerusalem: A report on the banality of evil},
1575}
1576
1577@article{chmielinski2022dataset,
1578  year = {2022},
1579  journal = {arXiv preprint arXiv:2201.03954},
1580  author = {Chmielinski, Kasia S and Newman, Sarah and Taylor, Matt and Joseph, Josh and Thomas, Kemi and Yurkofsky, Jessica and Qiu, Yue Chelsea},
1581  title = {The dataset nutrition label (2nd Gen): Leveraging context to mitigate harms in artificial intelligence},
1582}
1583
1584@article{strathern2002anthropological,
1585  publisher = {Oxford University Press on Demand},
1586  year = {2002},
1587  pages = {302},
1588  journal = {Virtual society?: Technology, cyberbole, reality},
1589  author = {Strathern, Marilyn},
1590  title = {An anthropological comment},
1591}
1592
1593@article{grant1991friedman,
1594  publisher = {Springer},
1595  year = {1991},
1596  pages = {907--914},
1597  number = {12},
1598  volume = {10},
1599  journal = {Journal of Business Ethics},
1600  author = {Grant, Colin},
1601  title = {Friedman fallacies},
1602}
1603
1604@inproceedings{lee2015working,
1605  year = {2015},
1606  pages = {1603--1612},
1607  booktitle = {onference on human factors in computing systems},
1608  author = {Lee, Min Kyung and Kusbit, Daniel and Metsky, Evan and Dabbish, Laura},
1609  title = {Working with machines: The impact of algorithmic and data-driven management on human workers},
1610}
1611
1612@misc{isaac_hao_2022,
1613  howpublished = {\url{https://www.youtube.com/watch?v=9u-62Ijtb1I}},
1614  month = {Jun},
1615  year = {2022},
1616  author = {Isaac, William and Hao, Karen},
1617  journal = { ACM Conference on Fairness, Accountability and Transparency},
1618  title = {Keynote Interview: Karen Hao in Conversation with William Isaac},
1619}
1620
1621@book{goffman1959presentation,
1622  publisher = {Anchor},
1623  year = {1959},
1624  author = {Goffman, Erving},
1625  title = {The presentation of self in everyday life},
1626}
1627
1628@article{gebru2022slowAI,
1629  year = {2022},
1630  month = {March},
1631  day = {31},
1632  author = {Strickland ,Eliza},
1633  journal = {IEEE Spectrum},
1634  note = {Accessed: 2022-07-7},
1635  howpublished = {\url{https://spectrum.ieee.org/timnit-gebru-dair-ai-ethics}},
1636  title = {Timnit Gebru Is Building a Slow AI Movement},
1637}
1638
1639@inproceedings{bender2021dangers,
1640  year = {2021},
1641  pages = {610--623},
1642  booktitle = {Conference on Fairness, Accountability, and Transparency},
1643  author = {Bender, Emily M and Gebru, Timnit and McMillan-Major, Angelina and Shmitchell, Shmargaret},
1644  title = {On the Dangers of Stochastic Parrots: Can Language Models Be Too Big?},
1645}
1646
1647@article{wang2019federated,
1648  year = {2019},
1649  journal = {arXiv preprint arXiv:1910.10252},
1650  author = {Wang, Kangkang and Mathews, Rajiv and Kiddon, Chlo{\'e} and Eichner, Hubert and Beaufays, Fran{\c{c}}oise and Ramage, Daniel},
1651  title = {Federated evaluation of on-device personalization},
1652}
1653
1654@article{feller2006value,
1655  year = {2006},
1656  pages = {1--7},
1657  volume = {1},
1658  journal = {BP trends},
1659  author = {Feller, Andrew and Shunk, Dan and Callarman, Tom},
1660  title = {Value chains versus supply chains},
1661}
1662
1663@misc{dobbe2022safety,
1664  copyright = {arXiv.org perpetual, non-exclusive license},
1665  year = {2022},
1666  publisher = {arXiv},
1667  title = {System Safety and Artificial Intelligence},
1668  keywords = {Systems and Control (eess.SY), Artificial Intelligence (cs.AI), Computers and Society (cs.CY), Machine Learning (cs.LG), Software Engineering (cs.SE), FOS: Electrical engineering, electronic engineering, information engineering, FOS: Electrical engineering, electronic engineering, information engineering, FOS: Computer and information sciences, FOS: Computer and information sciences},
1669  author = {Dobbe, Roel I. J.},
1670  url = {https://arxiv.org/abs/2202.09292},
1671  doi = {10.48550/ARXIV.2202.09292},
1672}
1673
1674@inproceedings{shaw2011modularity,
1675  year = {2011},
1676  pages = {1--6},
1677  booktitle = {international conference on Aspect-oriented software development},
1678  author = {Shaw, Mary},
1679  title = {Modularity for the modern world: summary of invited keynote},
1680}
1681
1682@book{baldwin2000design,
1683  publisher = {MIT press},
1684  year = {2000},
1685  volume = {1},
1686  author = {Baldwin, Carliss Young and Clark, Kim B and Clark, Kim B and others},
1687  title = {Design rules: The power of modularity},
1688}
1689
1690@inproceedings{martini2016estimating,
1691  organization = {IEEE},
1692  year = {2016},
1693  pages = {92--99},
1694  booktitle = {2016 42th Euromicro conference on software engineering and advanced applications (SEAA)},
1695  author = {Martini, Antonio and Sikander, Erik and Medlani, Niel},
1696  title = {Estimating and quantifying the benefits of refactoring to improve a component modularity: a case study},
1697}
1698
1699@article{maccormack_exploring_2006,
1700  file = {MacCormack et al. - 2006 - Exploring the Structure of Complex Software Design.pdf:/Users/dwidder/Zotero/storage/S5WG9UDD/MacCormack et al. - 2006 - Exploring the Structure of Complex Software Design.pdf:application/pdf},
1701  pages = {1015--1030},
1702  year = {2006},
1703  month = {July},
1704  author = {MacCormack, Alan and Rusnak, John and Baldwin, Carliss Y.},
1705  journal = {Management Science},
1706  urldate = {2022-08-05},
1707  number = {7},
1708  language = {en},
1709  abstract = {This paper reports data from a study that seeks to characterize the differences in design structure between complex software products. We use design structure matrices (DSMs) to map dependencies between the elements of a design and define metrics that allow us to compare the structures of different designs. We use these metrics to compare the architectures of two software products—the Linux operating system and the Mozilla Web browser—that were developed via contrasting modes of organization: specifically, open source versus proprietary development. We then track the evolution of Mozilla, paying attention to a purposeful “redesign” effort undertaken with the intention of making the product more “modular.” We find significant differences in structure between Linux and the first version of Mozilla, suggesting that Linux had a more modular architecture. Yet we also find that the redesign of Mozilla resulted in an architecture that was significantly more modular than that of its predecessor and, indeed, than that of Linux. Our results, while exploratory, are consistent with a view that different modes of organization are associated with designs that possess different structures. However, they also suggest that purposeful managerial actions can have a significant impact in adapting a design’s structure. This latter result is important given recent moves to release proprietary software into the public domain. These moves are likely to fail unless the product possesses an “architecture for participation.”},
1710  doi = {10.1287/mnsc.1060.0552},
1711  url = {http://pubsonline.informs.org/doi/10.1287/mnsc.1060.0552},
1712  shorttitle = {Exploring the {Structure} of {Complex} {Software} {Designs}},
1713  issn = {0025-1909, 1526-5501},
1714  volume = {52},
1715  title = {Exploring the {Structure} of {Complex} {Software} {Designs}: {An} {Empirical} {Study} of {Open} {Source} and {Proprietary} {Code}},
1716}
1717
1718@article{vessey1983some,
1719  publisher = {ACM New York, NY, USA},
1720  year = {1983},
1721  pages = {128--134},
1722  number = {2},
1723  volume = {26},
1724  journal = {Communications of the ACM},
1725  author = {Vessey, Iris and Weber, Ron},
1726  title = {Some factors affecting program repair maintenance: an empirical study},
1727}
1728
1729@article{shen1985identifying,
1730  publisher = {IEEE},
1731  year = {1985},
1732  pages = {317--324},
1733  number = {4},
1734  journal = {IEEE Transactions on Software Engineering},
1735  author = {Shen, Vincent Yun and Yu, Tze-jie and Thebaut, Stephen M. and Paulsen, Lorri R.},
1736  title = {Identifying error-prone software—an empirical study},
1737}
1738
1739@article{kim2014empirical,
1740  publisher = {IEEE},
1741  year = {2014},
1742  pages = {633--649},
1743  number = {7},
1744  volume = {40},
1745  journal = {IEEE Transactions on Software Engineering},
1746  author = {Kim, Miryung and Zimmermann, Thomas and Nagappan, Nachiappan},
1747  title = {An empirical study of refactoringchallenges and benefits at microsoft},
1748}
1749
1750@article{basili1984software,
1751  publisher = {ACM New York, NY, USA},
1752  year = {1984},
1753  pages = {42--52},
1754  number = {1},
1755  volume = {27},
1756  journal = {Communications of the ACM},
1757  author = {Basili, Victor R and Perricone, Barry T},
1758  title = {Software errors and complexity: an empirical investigation0},
1759}
1760
1761@article{kemerer1995software,
1762  publisher = {Springer},
1763  year = {1995},
1764  pages = {1--22},
1765  number = {1},
1766  volume = {1},
1767  journal = {Annals of Software Engineering},
1768  author = {Kemerer, Chris F},
1769  title = {Software complexity and software maintenance: A survey of empirical research},
1770}
1771
1772@inproceedings{kastner2011road,
1773  year = {2011},
1774  pages = {1--8},
1775  booktitle = {15th International Software Product Line Conference, Volume 2},
1776  author = {K{\"a}stner, Christian and Apel, Sven and Ostermann, Klaus},
1777  title = {The road to feature modularity?},
1778}
1779
1780@article{troy1981measuring,
1781  publisher = {Elsevier},
1782  year = {1981},
1783  pages = {113--120},
1784  number = {2},
1785  volume = {2},
1786  journal = {Journal of Systems and Software},
1787  author = {Troy, Douglas A and Zweben, Stuart H},
1788  title = {Measuring the quality of structured designs},
1789}
1790
1791@inproceedings{korson1986modularity,
1792  organization = {Intellect L \& DEFAE},
1793  year = {1986},
1794  pages = {168},
1795  volume = {1},
1796  booktitle = {Empirical Studies of Programmers: Papers Presented at the First Workshop on Empirical Studies of Programmers, June 5-6, 1986, Washington, DC},
1797  author = {Korson, Timothy D and Vaishnavi, Vijay K},
1798  title = {Modularity on Program Modifiability},
1799}
1800
1801@article{yeung2019ai,
1802  year = {2019},
1803  journal = {The Oxford Handbook of AI Ethics, Oxford University Press (2019)},
1804  author = {Yeung, Karen and Howes, Andrew and Pogrebna, Ganna},
1805  title = {AI governance by human rights-centred design, deliberation and oversight: An end to ethics washing},
1806}
1807
1808@inproceedings{javadi2021monitoring,
1809  year = {2021},
1810  pages = {597--607},
1811  booktitle = {AAAI/Conference on AI, Ethics, and Society},
1812  author = {Javadi, Seyyed Ahmad and Norval, Chris and Cloete, Richard and Singh, Jatinder},
1813  title = {Monitoring AI Services for Misuse},
1814}
1815
1816@article{madaio2022assessing,
1817  publisher = {ACM New York, NY, USA},
1818  year = {2022},
1819  pages = {1--26},
1820  number = {CSCW1},
1821  volume = {6},
1822  journal = {Conference On Computer-Supported Cooperative Work And Social Computing},
1823  author = {Madaio, Michael and Egede, Lisa and Subramonyam, Hariharan and Wortman Vaughan, Jennifer and Wallach, Hanna},
1824  title = {Assessing the Fairness of AI Systems: AI Practitioners' Processes, Challenges, and Needs for Support},
1825}
1826
1827@article{piorkowski2021ai,
1828  publisher = {ACM New York, NY, USA},
1829  year = {2021},
1830  pages = {1--25},
1831  number = {CSCW1},
1832  volume = {5},
1833  journal = {Conference On Computer-Supported Cooperative Work And Social Computing},
1834  author = {Piorkowski, David and Park, Soya and Wang, April Yi and Wang, Dakuo and Muller, Michael and Portnoy, Felix},
1835  title = {How ai developers overcome communication challenges in a multidisciplinary team: A case study},
1836}
1837
1838@inproceedings{subramonyam2022solving,
1839  year = {2022},
1840  pages = {1--21},
1841  booktitle = {ACM Conference On Human Factors In Computing Systems},
1842  author = {Subramonyam, Hariharan and Im, Jane and Seifert, Colleen and Adar, Eytan},
1843  title = {Solving Separation-of-Concerns Problems in Collaborative Design of Human-AI Systems through Leaky Abstractions},
1844}
1845
1846@article{rakova_where_2021,
1847  file = {Rakova et al. - 2021 - Where Responsible AI meets Reality Practitioner P.pdf:/Users/dwidder/Zotero/storage/W8M7SHV4/Rakova et al. - 2021 - Where Responsible AI meets Reality Practitioner P.pdf:application/pdf},
1848  pages = {1--23},
1849  year = {2021},
1850  month = {April},
1851  author = {Rakova, Bogdana and Yang, Jingying and Cramer, Henriette and Chowdhury, Rumman},
1852  journal = {on Human-Computer Interaction},
1853  urldate = {2022-08-05},
1854  number = {CSCW1},
1855  language = {en},
1856  abstract = {Large and ever-evolving technology companies continue to invest more time and resources to incorporate responsible Artificial Intelligence (AI) into production-ready systems to increase algorithmic accountability. This paper examines and seeks to offer a framework for analyzing how organizational culture and structure impact the effectiveness of responsible AI initiatives in practice. We present the results of semi-structured qualitative interviews with practitioners working in industry, investigating common challenges, ethical tensions, and effective enablers for responsible AI initiatives. Focusing on major companies developing or utilizing AI, we have mapped what organizational structures currently support or hinder responsible AI initiatives, what aspirational future processes and structures would best enable effective initiatives, and what key elements comprise the transition from current work practices to the aspirational future.},
1857  doi = {10.1145/3449081},
1858  url = {https://dl.acm.org/doi/10.1145/3449081},
1859  shorttitle = {Where {Responsible} {AI} meets {Reality}},
1860  issn = {2573-0142},
1861  volume = {5},
1862  title = {Where {Responsible} {AI} meets {Reality}: {Practitioner} {Perspectives} on {Enablers} for {Shifting} {Organizational} {Practices}},
1863}
1864
1865@inproceedings{hong2021planning,
1866  file = {/Users/dwidder/Zotero/storage/VAVH5E5E/Hong et al. - 2021 - Planning for Natural Language Failures with the AI.pdf},
1867  keywords = {madaio recomended},
1868  langid = {english},
1869  isbn = {978-1-4503-8096-6},
1870  abstract = {Prototyping AI user experiences is challenging due in part to probabilistic AI models making it difcult to anticipate, test, and mitigate AI failures before deployment. In this work, we set out to support practitioners with early AI prototyping, with a focus on natural language (NL)-based technologies. Our interviews with 12 NL practitioners from a large technology company revealed that, in addition to challenges prototyping AI, prototyping was often not happening at all or focused only on idealized scenarios due to a lack of tools and tight timelines. These fndings informed our design of the AI Playbook, an interactive and low-cost tool we developed to encourage proactive and systematic consideration of AI errors before deployment. Our evaluation of the AI Playbook demonstrates its potential to 1) encourage product teams to prioritize both ideal and failure scenarios, 2) standardize the articulation of AI failures from a user experience perspective, and 3) act as a boundary object between user experience designers, data scientists, and engineers.},
1871  doi = {10.1145/3411764.3445735},
1872  address = {{Yokohama Japan}},
1873  publisher = {{ACM}},
1874  pages = {1--11},
1875  month = {May},
1876  year = {2021},
1877  author = {Hong, Matthew K. and Fourney, Adam and DeBellis, Derek and Amershi, Saleema},
1878  booktitle = {Conference Human Factors in Computing Systems},
1879  title = {Planning for {{Natural Language Failures}} with the {{AI Playbook}}},
1880}
1881
1882@inproceedings{bennett2019promise,
1883  file = {/Users/dwidder/Zotero/storage/59REB23M/Bennett and Rosner - 2019 - The Promise of Empathy Design, Disability, and Kn.pdf},
1884  langid = {english},
1885  isbn = {978-1-4503-5970-2},
1886  abstract = {This paper examines the promise of empathy, the name commonly given to the initial phase of the human-centered design process in which designers seek to understand their intended users in order to inform technology development. By analyzing popular empathy activities aimed at understanding people with disabilities, we examine the ways empathy works to both powerfully and problematically align designers with the values of people who may use their products. Drawing on disability studies and feminist theorizing, we describe how acts of empathy building may further distance people with disabilities from the processes designers intend to draw them into. We end by reimagining empathy as guided by the lived experiences of people with disabilities who are traditionally positioned as those to be empathized.},
1887  doi = {10.1145/3290605.3300528},
1888  address = {{Glasgow Scotland Uk}},
1889  publisher = {{ACM}},
1890  pages = {1--13},
1891  month = {May},
1892  year = {2019},
1893  author = {Bennett, Cynthia L. and Rosner, Daniela K.},
1894  booktitle = {{{Conference}} on {{Human Factors}} in {{Computing Systems}}},
1895  shorttitle = {The {{Promise}} of {{Empathy}}},
1896  title = {The {{Promise}} of {{Empathy}}: {{Design}}, {{Disability}}, and {{Knowing}} the "{{Other}}"},
1897}
1898
1899@book{latour1999pandora,
1900  publisher = {Harvard university press},
1901  year = {1999},
1902  author = {Latour, Bruno and others},
1903  title = {Pandora's hope: essays on the reality of science studies},
1904}
1905
1906@incollection{liboiron2021pollution,
1907  publisher = {Duke University Press},
1908  year = {2021},
1909  booktitle = {Pollution Is Colonialism},
1910  author = {Liboiron, Max},
1911  title = {Pollution is colonialism},
1912}
1913
1914@inproceedings{dix2007designing,
1915  file = {/Users/dwidder/Zotero/storage/3BE34IZI/Dix - 2007 - Designing for appropriation.pdf},
1916  keywords = {appropriation,guidelines,hackability,tailorability},
1917  isbn = {978-1-902505-95-4},
1918  abstract = {Ethnographies often show that users appropriate and adapt technology in ways never envisaged by the designers, or even deliberately subverting the designers' intentions. As design can never be complete, such appropriation is regarded as an important and positive phenomenon. However designing for appropriation is often seen as an oxymoron; it appears impossible to design for the unexpected. In this paper we present some guidelines for appropriation based on our own experience and published literature and demonstrate their use in two case studies. You may not be able to design for the unexpected, but you can design to allow the unexpected.},
1919  address = {{Swindon, GBR}},
1920  publisher = {{BCS Learning \& Development Ltd.}},
1921  pages = {27--30},
1922  series = {{{BCS-HCI}} '07},
1923  month = {September},
1924  year = {2007},
1925  author = {Dix, Alan},
1926  booktitle = {21st {{British HCI Group Annual Conference}} on {{People}} and {{Computers}}: {{HCI}}...but Not as We Know It - {{Volume}} 2},
1927  title = {Designing for Appropriation},
1928}
1929
1930@article{nissenbaum1996accountability,
1931  file = {/Users/dwidder/Zotero/storage/K64IKDF2/Nissenbaum - 1996 - Accountability in a computerized society.pdf},
1932  keywords = {accountability,bugs,computer ethics,liability,moral responsibility,standard of care},
1933  langid = {english},
1934  abstract = {This essay warns of eroding accountability in computerized societies. It argues that assumptions about computing and features of situations in which computers are produced create barriers to accountability. Drawing on philosophical analyses of moral blame and responsibility, four barriers are identified: 1) the problem of many hands, 2) the problem of bugs, 3) blaming the computer, and 4) software ownership without liability. The paper concludes with ideas on how to reverse this trend.},
1935  doi = {10.1007/BF02639315},
1936  issn = {1471-5546},
1937  pages = {25--42},
1938  number = {1},
1939  volume = {2},
1940  journal = {Science and Engineering Ethics},
1941  month = {March},
1942  year = {1996},
1943  author = {Nissenbaum, Helen},
1944  title = {Accountability in a Computerized Society},
1945}
1946
1947@misc{hanna2020scale,
1948  file = {/Users/dwidder/Zotero/storage/AU4GCCEJ/Hanna and Park - 2020 - Against Scale Provocations and Resistances to Sca.pdf;/Users/dwidder/Zotero/storage/T5BVHY2H/2010.html},
1949  keywords = {Computer Science - Computers and Society},
1950  archiveprefix = {arXiv},
1951  abstract = {At the heart of what drives the bulk of innovation and activity in Silicon Valley and elsewhere is scalability. This unwavering commitment to scalability -- to identify strategies for efficient growth -- is at the heart of what we refer to as "scale thinking." Whether people are aware of it or not, scale thinking is all-encompassing. It is not just an attribute of one's product, service, or company, but frames how one thinks about the world (what constitutes it and how it can be observed and measured), its problems (what is a problem worth solving versus not), and the possible technological fixes for those problems. This paper examines different facets of scale thinking and its implication on how we view technology and collaborative work. We argue that technological solutions grounded in scale thinking are unlikely to be as liberatory or effective at deep, systemic change as their purveyors imagine. Rather, solutions which resist scale thinking are necessary to undo the social structures which lie at the heart of social inequality. We draw on recent work on mutual aid networks and propose questions to ask of collaborative work systems as a means to evaluate technological solutions and guide designers in identifying sites of resistance to scale thinking.},
1952  institution = {{arXiv}},
1953  primaryclass = {cs},
1954  eprinttype = {arxiv},
1955  eprint = {2010.08850},
1956  number = {arXiv:2010.08850},
1957  month = {November},
1958  year = {2020},
1959  author = {Hanna, Alex and Park, Tina M.},
1960  shorttitle = {Against {{Scale}}},
1961  title = {Against {{Scale}}: {{Provocations}} and {{Resistances}} to {{Scale Thinking}}},
1962}
1963
1964@article{horwitz2021facebook,
1965  file = {/Users/dwidder/Zotero/storage/D23QHZXH/the-facebook-files-11631713039.html},
1966  keywords = {entertainment,Facebook,FB,graphics,GRAPHICS,Mark Zuckerberg,media,Media/Entertainment,online service providers,Online Service Providers,social media platforms,Social Media Platforms/Tools,SYND,technology,Technology,tools,WSJ-PRO-WSJ.com},
1967  langid = {american},
1968  chapter = {Tech},
1969  abstract = {Facebook knows, in acute detail, that its platforms are riddled with flaws but hasn't fixed them. That's a key finding of a Journal series that launched this week, based on an array of internal company documents. Read all the stories here.},
1970  issn = {0099-9660},
1971  journal = {Wall Street Journal},
1972  month = {October},
1973  year = {2021},
1974  author = {Horwitz, Jeff and others},
1975  title = {The {{Facebook Files}}},
1976}
1977
1978@incollection{agre1997lessons,
1979  year = {1997},
1980  publisher = {Lawrence Erlbaum Associates, Inc.},
1981  booktitle = {Social science, technical systems, and cooperative work: Beyond the Great Divide},
1982  editor = {Bowker, G and Star,  L and Turner,  B and Gasser, L},
1983  author = {Agre, Philip E},
1984  title = {Bridging the Great Divide: Social Science, Technical Systems, and Cooperative Work},
1985}
1986
1987@article{hockenberry2021redirected,
1988  publisher = {Taylor \& Francis},
1989  year = {2021},
1990  pages = {641--662},
1991  number = {4-5},
1992  volume = {35},
1993  journal = {Cultural studies},
1994  author = {Hockenberry, Matthew},
1995  title = {Redirected entanglements in the digital supply chain},
1996}
1997
1998@inbook{gurses2018agile,
1999  collection = {Cambridge Law Handbooks},
2000  pages = {579–601},
2001  year = {2018},
2002  editor = {Selinger, Evan and Polonetsky, Jules and Tene, OmerEditors},
2003  author = {Gürses, Seda and van Hoboken, Joris},
2004  publisher = {Cambridge},
2005  booktitle = {The Cambridge Handbook of Consumer Privacy},
2006  doi = {10.1017/9781316831960.032},
2007  title = {Privacy after the Agile Turn},
2008  series = {Cambridge Law Handbooks},
2009  place = {Cambridge},
2010}
2011
2012@article{carroll2020care,
2013  year = {2020},
2014  author = {Carroll, Stephanie Russo and Garba, Ibrahim and Figueroa-Rodr{\'\i}guez, Oscar L and Holbrook, Jarita and Lovett, Raymond and Materechera, Simeon and Parsons, Mark and Raseroka, Kay and Rodriguez-Lonebear, Desi and Rowe, Robyn and others},
2015  title = {The CARE principles for indigenous data governance.},
2016}
2017
2018@article{posner2018see,
2019  journal = {Logic Magazine},
2020  year = {2018},
2021  author = {Posner, Miriam},
2022  title = {See no evil},
2023}
2024
2025@article{widder2022dislocateda,
2026  file = {/Users/dwidder/Zotero/storage/MPIM24UX/Widder and Nafus - 2022 - Dislocated Accountabilities in the AI Supply Chain.pdf},
2027  langid = {english},
2028  abstract = {Responsible AI guidelines often ask engineers to consider how their systems might harm. However, contemporary AI systems are built by composing many preexisting software modules that pass through many hands before becoming a finished product or service. How does this shape responsible AI practice? In interviews with 27 AI engineers across industry, open source, and academia, our participants often did not see the questions posed in responsible AI guidelines to be within their agency, capability, or responsibility to address. We use Lucy Suchman's notion of located accountability to show how responsible AI labor is currently organized, and to explore how it could be done differently. We identify cross-cutting social logics, like modularizability, scale, reputation, and customer orientation, that organize which responsible AI actions do take place, and which are relegated to low status staff or believed to be the work of the next or previous person in the chain. We argue that current responsible AI interventions, like ethics checklists and guidelines that assume panoptical knowledge and control over systems, could improve by taking a located accountability approach, where relations and obligations intertwine and incrementally add value in the process. This would constitute a shift from "supply chain' thinking to "value chain" thinking.},
2029  doi = {10.48550/arXiv.2209.09780},
2030  month = {September},
2031  year = {2022},
2032  author = {Widder, David Gray and Nafus, Dawn},
2033  shorttitle = {Dislocated {{Accountabilities}} in the {{AI Supply Chain}}},
2034  title = {Dislocated {{Accountabilities}} in the {{AI Supply Chain}}: {{Modularity}} and {{Developers}}' {{Notions}} of {{Responsibility}}},
2035}
2036
2037@article{doorey2011transparent,
2038  file = {/Users/dwidder/Zotero/storage/GHBQQXIA/Doorey - 2011 - The Transparent Supply Chain from Resistance to I.pdf},
2039  langid = {english},
2040  abstract = {Information disclosure is a common regulatory tool designed to influence business behavior. A belief is that transparency can provoke learning and also positive institutional change by empowering private watchdogs to monitor and pressure business leaders to alter harmful behavior. Beginning in the late 1990s, a private movement emerged that pressured corporations to disclose the identify of their global supplier factories. These activists believed that factory disclosure would lead to greater accountability by corporations for the working conditions under which their products are made, which in time would improve labor practices. In 1995, Nike and Levi-Strauss (Levis) surprised the business community by publishing their supplier lists. This paper describes case studies of Nike and Levis, tracking the evolution from resistance to supply chain transparency through to the decision to be industry leaders in factory disclosure. The paper evaluates the contribution of factory disclosure and proposes that other companies should be urged to move toward supply chain transparency.},
2041  doi = {10.1007/s10551-011-0882-1},
2042  issn = {0167-4544, 1573-0697},
2043  pages = {587--603},
2044  number = {4},
2045  volume = {103},
2046  journal = {Journal of Business Ethics},
2047  month = {November},
2048  year = {2011},
2049  author = {Doorey, David J.},
2050  shorttitle = {The {{Transparent Supply Chain}}},
2051  title = {The {{Transparent Supply Chain}}: From {{Resistance}} to {{Implementation}} at {{Nike}} and {{Levi-Strauss}}},
2052}
2053
2054@misc{2023exclusive,
2055  file = {/Users/dwidder/Zotero/storage/PXASVVA5/openai-chatgpt-kenya-workers.html},
2056  langid = {english},
2057  howpublished = {https://time.com/6247678/openai-chatgpt-kenya-workers/},
2058  abstract = {A TIME investigation reveals the difficult conditions faced by the workers who made ChatGPT possible},
2059  journal = {Time},
2060  month = {January},
2061  year = {2023},
2062  shorttitle = {Exclusive},
2063  title = {Exclusive: {{The}} \$2 {{Per Hour Workers Who Made ChatGPT Safer}}},
2064}
2065
2066@article{fukuda-parr2021emerging,
2067  file = {/Users/dwidder/Zotero/storage/E4CIYKC9/Fukuda-Parr and Gibbons - 2021 - Emerging Consensus on ‘Ethical AI’ Human Rights C.pdf;/Users/dwidder/Zotero/storage/CHIUVNKP/1758-5899.html},
2068  annotation = {\_eprint: https://onlinelibrary.wiley.com/doi/pdf/10.1111/1758-5899.12965},
2069  langid = {english},
2070  abstract = {Voluntary guidelines on `ethical practices' have been the response by stakeholders to address the growing concern over harmful social consequences of artificial intelligence and digital technologies. Issued by dozens of actors from industry, government and professional associations, the guidelines are creating a consensus on core standards and principles for ethical design, development and deployment of artificial intelligence (AI). Using human rights principles (equality, participation and accountability) and attention to the right to privacy, this paper reviews 15 guidelines preselected to be strongest on human rights, and on global health. We find about half of these ground their guidelines in international human rights law and incorporate the key principles; even these could go further, especially in suggesting ways to operationalize them. Those that adopt the ethics framework are particularly weak in laying out standards for accountability, often focusing on `transparency', and remaining silent on enforceability and participation which would effectively protect the social good. These guidelines mention human rights as a rhetorical device to obscure the absence of enforceable standards and accountability measures, and give their attention to the single right to privacy. These `ethics' guidelines, disproportionately from corporations and other interest groups, are also weak on addressing inequalities and discrimination. We argue that voluntary guidelines are creating a set of de facto norms and re-interpretation of the term `human rights' for what would be considered `ethical' practice in the field. This exposes an urgent need for action by governments and civil society to develop more rigorous standards and regulatory measures, grounded in international human rights frameworks, capable of holding Big Tech and other powerful actors to account.},
2071  doi = {10.1111/1758-5899.12965},
2072  issn = {1758-5899},
2073  pages = {32--44},
2074  number = {S6},
2075  volume = {12},
2076  journal = {Global Policy},
2077  year = {2021},
2078  author = {{Fukuda-Parr}, Sakiko and Gibbons, Elizabeth},
2079  shorttitle = {Emerging {{Consensus}} on `{{Ethical AI}}'},
2080  title = {Emerging {{Consensus}} on `{{Ethical AI}}': {{Human Rights Critique}} of {{Stakeholder Guidelines}}},
2081}
2082
2083@article{kriebitz2020xinjiang,
2084  file = {/Users/dwidder/Zotero/storage/GP2ZZV65/Kriebitz and Max - 2020 - The Xinjiang Case and Its Implications from a Busi.pdf},
2085  keywords = {China,Digitization,Human rights,Xinjiang},
2086  langid = {english},
2087  abstract = {The discourse on economic integration with authoritarian regimes has evolved as a key topic throughout the different disciplines of social sciences. Are sanctions and boycotts effective methods to incentivize human rights improvements? To analyze this question, we focus on the situation in China's Xinjiang province from 2010 to 2019. In this paper, we discuss the relevance of human rights as an ethical norm within business ethics and international law. We evaluate the ongoing processes in Xinjiang from this perspective and scrutinize the interests of major players in the region, including the Central Government of the People's Republic of China, Xinjiang's local government, and enterprises involved in the region. Following this, we discuss which economic measures will improve the human rights situation and how these measures contribute to an improvement of the situation.},
2088  doi = {10.1007/s12142-020-00591-0},
2089  issn = {1874-6306},
2090  pages = {243--265},
2091  number = {3},
2092  volume = {21},
2093  journal = {Human Rights Review},
2094  month = {September},
2095  year = {2020},
2096  author = {Kriebitz, Alexander and Max, Raphael},
2097  title = {The {{Xinjiang Case}} and {{Its Implications}} from a {{Business Ethics Perspective}}},
2098}
2099
2100@article{flacks2022uyghur,
2101  file = {/Users/dwidder/Zotero/storage/4C5F7TIB/uyghur-forced-labor-prevention-act-goes-effect.html},
2102  langid = {english},
2103  abstract = {The Uyghur Forced Labor Prevention Act creates a presumption that no goods from Xinjiang can be imported into the United States due to the use of forced labor. Read what this means for U.S. importers and supply chains, and how it could impact human rights in the region.},
2104  year = {Mon, 06/27/2022 - 12:00},
2105  author = {Flacks, \hspace{0pt}Marti and Songy, Madeleine},
2106  title = {The {{Uyghur Forced Labor Prevention Act Goes}} into {{Effect}}},
2107}
2108
2109@article{mulligan2019procurement,
2110  publisher = {HeinOnline},
2111  year = {2019},
2112  pages = {773},
2113  volume = {34},
2114  journal = {Berkeley Tech. LJ},
2115  author = {Mulligan, Deirdre K and Bamberger, Kenneth A},
2116  title = {Procurement as policy: Administrative process for machine learning},
2117}
2118
2119@inproceedings{wong2019bringing,
2120  file = {Attachment:C\:\\Users\\rwong34\\Zotero\\storage\\5U4VE2RS\\Wong, Mulligan - 2019 - Bringing Design to the Privacy Table Broadening Design in Privacy by Design Through the Lens of HCI.pdf:application/pdf;PDF:C\:\\Users\\rwong34\\Zotero\\storage\\442IMFBC\\Wong, Mulligan - 2019 - Bringing Design to the Privacy Table Broadening Design in Privacy by Design Through the Lens of HCI.pdf:application/pdf},
2121  keywords = {2019, acm reference format, bringing design, design approaches, Design approaches, design research, Design research, mulligan, privacy by design, Privacy by design, richmond y, wong and deirdre k},
2122  year = {2019},
2123  author = {Wong, Richmond Y. and Mulligan, Deirdre K.},
2124  booktitle = {{CHI} {Conference} on {Human} {Factors} in {Computing} {Systems} ({CHI} 2019)},
2125  abstract = {In calls for privacy by design (PBD), regulators and privacy scholars have investigated the richness of the concept of "privacy." In contrast, "design" in HCI is comprised of rich and complex concepts and practices, but has received much less attention in the PBD context. Conducting a literature review of HCI publications discussing privacy and design, this paper articulates a set of dimensions along which design relates to privacy, including: the purpose of design, which actors do design work in these settings, and the envisioned beneficiaries of design work. We suggest new roles for HCI and design in PBD research and practice: utilizing values- and critically-oriented design approaches to foreground social values and help define privacy problem spaces. We argue such approaches, in addition to current "design to solve privacy problems" efforts, are essential to the full realization of PBD, while noting the politics involved when choosing design to address privacy.},
2126  doi = {10.1145/3290605.3300492},
2127  isbn = {978-1-4503-5970-2},
2128  title = {Bringing {Design} to the {Privacy} {Table}: {Broadening} "{Design}" in "{Privacy} by {Design}" {Through} the {Lens} of {HCI}},
2129}
2130
2131@misc{fiesler_black_2018,
2132  year = {2018},
2133  author = {Fiesler, Casey},
2134  journal = {How we get to Next},
2135  urldate = {2021-06-09},
2136  url = {https://howwegettonext.com/the-black-mirror-writers-room-teaching-technology-ethics-through-speculation-f1a9e2deccf4},
2137  title = {Black {Mirror}, {Light} {Mirror}: {Teaching} {Technology} {Ethics} {Through} {Speculation}},
2138}
2139
2140@inproceedings{ballard_judgment_2019,
2141  file = {Attachment:C\:\\Users\\rwong34\\Zotero\\storage\\KSRPX3B3\\Ballard, Chappell, Kennedy - 2019 - Judgment Call the Game.pdf:application/pdf;PDF:C\:\\Users\\rwong34\\Zotero\\storage\\XXW768QK\\Ballard, Chappell, Kennedy (2019) Judgement call the game - using value sensitive design and design fiction to surface ethical concerns related to technology.pdf:application/pdf},
2142  pages = {421--433},
2143  year = {2019},
2144  author = {Ballard, Stephanie and Chappell, Karen M. and Kennedy, Kristen},
2145  publisher = {ACM Press},
2146  booktitle = {Proceedings of the 2019 on {Designing} {Interactive} {Systems} {Conference} - {DIS} '19},
2147  doi = {10.1145/3322276.3323697},
2148  url = {http://dl.acm.org/citation.cfm?doid=3322276.3323697},
2149  isbn = {978-1-4503-5850-7},
2150  title = {Judgment {Call} the {Game}: {Using} value sensitive design and design fiction to surface ethical concerns related to technology},
2151  address = {New York, New York, USA},
2152}
2153
2154@article{shilton_values_2013,
2155  file = {Attachment:C\:\\Users\\rwong34\\Zotero\\storage\\83AR7SVG\\Shilton - 2013 - Values Levers Building Ethics into Design.pdf:application/pdf;PDF:C\:\\Users\\rwong34\\Zotero\\storage\\XK5FZ6PH\\Shilton (2012) Values Levers- Building Ethics into Design.pdf:application/pdf},
2156  pages = {374--397},
2157  keywords = {dissertation, value centered design},
2158  year = {2013},
2159  author = {Shilton, Katie},
2160  journal = {Science, Technology, \& Human Values},
2161  number = {3},
2162  doi = {10.1177/0162243912436985},
2163  url = {http://journals.sagepub.com/doi/10.1177/0162243912436985},
2164  issn = {0162-2439},
2165  volume = {38},
2166  title = {Values {Levers}: {Building} {Ethics} into {Design}},
2167}
2168
2169@inproceedings{Wong2021timelines,
2170  file = {PDF:C\:\\Users\\rwong34\\Zotero\\storage\\ME9CN5BG\\CHI_2021___Timelines Double Column Camera Ready.pdf:application/pdf},
2171  pages = {1--15},
2172  keywords = {classroom use is granted, copies are not made, design fction, design fiction, ethics, or, or distributed, or hard copies of, part or all of, permission to make digital, this work for personal, values advocacy, values in design, values work, without fee provided that},
2173  year = {2021},
2174  month = {May},
2175  author = {Wong, Richmond Y. and Nguyen, Tonya},
2176  publisher = {ACM},
2177  booktitle = {Proceedings of the 2021 {CHI} {Conference} on {Human} {Factors} in {Computing} {Systems}},
2178  doi = {10.1145/3411764.3445447},
2179  url = {https://dl.acm.org/doi/10.1145/3411764.3445447},
2180  isbn = {978-1-4503-8096-6},
2181  title = {Timelines: {A} {World}-{Building} {Activity} for {Values} {Advocacy}},
2182  address = {New York, NY, USA},
2183}
2184
2185@inproceedings{shen_value_2021,
2186  file = {Full Text:C\:\\Users\\rwong34\\Zotero\\storage\\GVPZPA5Y\\Shen et al. - 2021 - Value Cards An Educational Toolkit for Teaching S.pdf:application/pdf},
2187  pages = {850--861},
2188  year = {2021},
2189  month = {March},
2190  author = {Shen, Hong and Deng, Wesley H. and Chattopadhyay, Aditi and Wu, Zhiwei Steven and Wang, Xu and Zhu, Haiyi},
2191  publisher = {ACM},
2192  booktitle = {Proceedings of the 2021 {ACM} {Conference} on {Fairness}, {Accountability}, and {Transparency}},
2193  urldate = {2023-01-19},
2194  language = {en},
2195  doi = {10.1145/3442188.3445971},
2196  url = {https://dl.acm.org/doi/10.1145/3442188.3445971},
2197  shorttitle = {Value {Cards}},
2198  isbn = {978-1-4503-8309-7},
2199  title = {Value {Cards}: {An} {Educational} {Toolkit} for {Teaching} {Social} {Impacts} of {Machine} {Learning} through {Deliberation}},
2200  address = {Virtual Event Canada},
2201}
2202
2203@misc{zevenbergen2020explainability,
2204  copyright = {Creative Commons Attribution 4.0 International},
2205  year = {2020},
2206  publisher = {arXiv},
2207  title = {Explainability Case Studies},
2208  keywords = {Computers and Society (cs.CY), FOS: Computer and information sciences, FOS: Computer and information sciences, K.4; K.3.2; I.2},
2209  author = {Zevenbergen, Ben and Woodruff, Allison and Kelley, Patrick Gage},
2210  url = {https://arxiv.org/abs/2009.00246},
2211  doi = {10.48550/ARXIV.2009.00246},
2212}
2213
2214@article{wong2023privacy,
2215  year = {2023},
2216  number = {CSCW1},
2217  volume = {7},
2218  journal = {Proceedings of the ACM on Human-Computer Interaction},
2219  author = {Wong, Richmond Y and Chong, Andrew and Aspegren, R Cooper},
2220  title = {Privacy Legislation as Business Risks: How GDPR and CCPA are Represented in Technology Companies’ Investment Risk Disclosures},
2221}
2222
2223@incollection{Schreck2013Disclosure,
2224  year = {2013},
2225  date = {2013},
2226  editor = {Idowu, Samuel O and Capaldi, Nicholas and Zu, Liangrong and Gupta, Das Ananda},
2227  author = {Schreck, Philipp},
2228  title = {Disclosure (CSR Reporting)},
2229  publisher = {Springer Berlin Heidelberg},
2230  isbn = {9783642280368},
2231  doi = {10.1007/978-3-642-28036-8},
2232  booktitle = {Encyclopedia of Corporate Social Responsibility},
2233}
2234
2235@misc{Kaissar2022Institutional,
2236  year = {2022},
2237  date = {2022},
2238  note = {[Online; accessed 2022-07-09]},
2239  author = {Kaissar, Nir},
2240  url = {https://www.bloomberg.com/opinion/articles/2022-04-13/institutional-investors-are-flexing-their-esg-muscles},
2241  title = {Institutional Investors Are Flexing Their ESG Muscles},
2242  journal = {Bloomberg},
2243}
2244
2245@misc{GlobalReportingInitiativeGRI,
2246  year = {0},
2247  date = {2022},
2248  note = {[Online; accessed 2022-07-09]},
2249  author = {Global Reporting Initiative},
2250  url = {https://www.globalreporting.org/how-to-use-the-gri-standards/gri-standards-english-language/},
2251  title = {GRI Standards - English},
2252  isbn = {9789088661334},
2253}
2254
2255@inproceedings{Krafft2021toolkit,
2256  series = {FAccT '21},
2257  location = {Virtual Event, Canada},
2258  keywords = {Participatory design, accountability, participatory action research, surveillance, algorithmic justice, regulation, algorithmic equity},
2259  numpages = {10},
2260  pages = {772–781},
2261  booktitle = {Proceedings of the 2021 ACM Conference on Fairness, Accountability, and Transparency},
2262  abstract = {Motivated by the extensive documented disparate harms of artificial intelligence (AI), many recent practitioner-facing reflective tools have been created to promote responsible AI development. However, the use of such tools internally by technology development firms addresses responsible AI as an issue of closed-door compliance rather than a matter of public concern. Recent advocate and activist efforts intervene in AI as a public policy problem, inciting a growing number of cities to pass bans or other ordinances on AI and surveillance technologies. In support of this broader ecology of political actors, we present a set of reflective tools intended to increase public participation in technology advocacy for AI policy action. To this end, the Algorithmic Equity Toolkit (the AEKit) provides a practical policy-facing definition of AI, a flowchart for assessing technologies against that definition, a worksheet for decomposing AI systems into constituent parts, and a list of probing questions that can be posed to vendors, policy-makers, or government agencies. The AEKit carries an action-orientation towards political encounters between community groups in the public and their representatives, opening up the work of AI reflection and remediation to multiple points of intervention. Unlike current reflective tools available to practitioners, our toolkit carries with it a politics of community participation and activism.},
2263  doi = {10.1145/3442188.3445938},
2264  url = {https://doi.org/10.1145/3442188.3445938},
2265  address = {New York, NY, USA},
2266  publisher = {Association for Computing Machinery},
2267  isbn = {9781450383097},
2268  year = {2021},
2269  title = {An Action-Oriented AI Policy Toolkit for Technology Audits by Community Advocates and Activists},
2270  author = {Krafft, P. M. and Young, Meg and Katell, Michael and Lee, Jennifer E. and Narayan, Shankar and Epstein, Micah and Dailey, Dharma and Herman, Bernease and Tam, Aaron and Guetler, Vivian and Bintz, Corinne and Raz, Daniella and Jobe, Pa Ousman and Putz, Franziska and Robick, Brian and Barghouti, Bissan},
2271}
2272
2273@misc{crawford2018anatomy,
2274  url = {https://anatomyof.ai/},
2275  year = {2018},
2276  author = {Crawford, Kate and Joler, Vladan},
2277  title = {Anatomy of an AI System},
2278}
2279
2280@inproceedings{martelaro2020could,
2281  year = {2020},
2282  pages = {99--101},
2283  booktitle = {12th International Conference on Automotive User Interfaces and Interactive Vehicular Applications},
2284  author = {Martelaro, Nikolas and Ju, Wendy},
2285  title = {What could go wrong? Exploring the downsides of autonomous vehicles},
2286}
2287
2288@inproceedings{contractor2022behavioral,
2289  year = {2022},
2290  pages = {778--788},
2291  booktitle = {2022 ACM Conference on Fairness, Accountability, and Transparency},
2292  author = {Contractor, Danish and McDuff, Daniel and Haines, Julia Katherine and Lee, Jenny and Hines, Christopher and Hecht, Brent and Vincent, Nicholas and Li, Hanlin},
2293  title = {Behavioral use licensing for responsible AI},
2294}
2295
2296@misc{carlosmunozferrandis2022openrail,
2297  file = {/Users/dwidder/Zotero/storage/R82UYXH9/open_rail.html},
2298  howpublished = {https://huggingface.co/blog/open\_rail},
2299  abstract = {We're on a journey to advance and democratize artificial intelligence through open source and open science.},
2300  month = {August},
2301  year = {2022},
2302  author = {{Carlos Munoz Ferrandis}},
2303  shorttitle = {{{OpenRAIL}}},
2304  title = {{{OpenRAIL}}: {{Towards}} Open and Responsible {{AI}} Licensing Frameworks},
2305}
2306
2307@misc{hippocratic,
2308  author = {Organization for Ethical Source},
2309  title = {The Hippocratic License: An Ethical License for Open Source},
2310}
Attribution

arXiv:2303.07529v1 [cs.CY]
License: cc-by-4.0
Thinking Upstream: Ethics and Policy Opportunities in AI Supply Chains

Looking upstream

Acting upstream

Bibliography

Attribution

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