Thursday, June 27, 2019

Regulating Artificial Intelligence in the criminal justice system

A new report from the Law Society of England and Wales, “Algorithms in the Criminal Justice System,” lays out a thoughtful alternative that creates legal structures and procedures around AI in the criminal justice system that protect due process and the rule of law while allowing for technology’s experimentation, writes Jason Tashea for the ABA Journal.
Like in the U.K., AI is proliferating at all levels of the U.S. justice system. Risk assessments assist in bail, sentencing and parole decisionsPolice are dispatched into communities with an algorithm’s insistence. And facial recognition is being rolled out by law enforcement at the federal, state and local levels.
The challenges and harms of these technologies are well-documented. Facial recognition and risk assessments show racial bias. Complex algorithms are not built to “explain” their conclusions, which closes a part of an otherwise open court process. Even if AI software is “explainable,” private companies shield their software from scrutiny by claiming it as a trade secret—despite being used by a public agency.
These challenges are compounded in the U.S. because federal and state lawmakers are using algorithms as a public policy crutch.
At the federal level, the First Step Act, passed in 2018, expects to release more people from federal prison with the assistance of a risk assessment tool. In a similar vein, California passed a major bail reform bill–SB-10—that is now on the ballot. If ratified, the law would require local agencies to use risk assessment tools in lieu of cash bail.
In both cases, drafters of these otherwise decent laws made the bet that an algorithm can stand in for existing processes and policy choices. At the same time, neither law provides legal standards on how the tool should be built, what oversight and transparency are needed or how to assess an algorithms efficacy, including its impact on the legal rights of the accused.
Handing off this type of rule-making to an agency is standard in legislation; however, there’s evidence that agencies are also being deferential to the technology. In New York, for example, the Department of Corrections and Community Supervision has put in multiple layers of bureaucracy to limit human override of the agency’s risk assessment tool.
This legislative and regulatory trend outsources decisions traditionally made by publicly accountable individuals to private companies. Algorithms are opinions expressed through math, and when an algorithm is used for a public purpose, everything from the problem definition to the data used to build the algorithm are public policy concerns. As the report from London notes, the value-based decisions that ultimately make up an algorithm are “usually not between a ‘bad’ and a ‘good’ outcome, but between different values that are societally held to be of similar importance.”
Take for example, defining fairness when using a risk assessment for bail. As University of Pennsylvania criminology professor Richard Berk wrote with colleagues in 2017, there are six types of fairness and not all are compatible with each other. A government could decide that fairness is achieved when a tool provides the same accuracy for two protected groups, like men and women. Or fairness can be attained if the error rates are the same among groups, even though it might mean more men than women are incarcerated.
These two outcomes are not compatible, so a choice needs to be made. Depending on the community, either could be the “right” decision, but it’s not a decision to be left up to a software company.
Beyond the legislative and executive branches, unjustifiable trust in these tools extends to the judiciary. The Supreme Court of Wisconsin in 2016 decided that the lack of transparency of a risk assessment tool used at sentencing did not infringe on a defendant’s due process. A California appeals court in 2015 made a similar conclusion regarding DNA testing software, which was used to convict a man of rape and murder.
Collectively, these approaches to legislating and judicial decision making are regrettable—but fixable.
To be clear, the use of algorithms is not fundamentally the problem. The problem is the lack of accountability, effectiveness, transparency and competence surrounding these tools, as defined by the IEEE’s comprehensive principles on the ethical use of AI in legal systems.
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