Safeguards in a World of Ambient Intelligence The International Library of Ethics, Law and Technology VOLUME 1 Editors Anthony Mark Cutter, Centre for Professional Ethics, University of Central Lancashire, United Kingdom Bert Gordijn, Chair of Ethics & Director, Institute of Ethics, Dublin City University, Dublin, Ireland Gary E. Marchant, Executive Director, Center for the Study of Law, Science, & Technology, University of Arizona, USA Alain Pompidou, Former President, European Patent Office, Munich, Germany Editorial Board Dieter Birnbacher, Professor, Institute of Philosophy, Heinrich-Heine-Universität, Germany Roger Brownsword, Professor of Law, King’s College London, UK Ruth Chadwick, Director, ESRC Centre for Economic & Social Aspects of Genomics, Cardiff, UK Paul Stephen Dempsey, Professor & Director of the Institute of Air & Space Law, Université de Montréal, Canada Michael Froomkin, Professor, University of Miami Law School, Florida, USA Serge Gutwirth, Professor of Human Rights, Comparative Law, Legal theory and Methodology, Faculty of Law, Vrije Universiteit, Brussels, Belgium Henk ten Have, Director, UNESCO Division of Ethics of Science and Technology, Paris, France Søren Holm, Director, Cardiff Centre for Ethics, Law & Society, Cardiff, UK George Khushf, Humanities Director, Center for Bioethics, University of South Carolina, USA Justice Michael Kirby; High Court of Australia, Canberra, Australia Bartha Maria Knoppers, Director, Centre of Genomics & Policy, McGill University, Montreal, Canada David Krieger, President, The Waging Peace Foundation, California, USA Graeme Laurie, Co-Director, AHRC Centre for Intellectual Property and Technology Law, UK Rene Oosterlinck, Director of External Relations, European Space Agency, Paris Edmund D. Pellegrino, Professor, Emeritus of Medicine and Medical Ethics, Kennedy Institute of Ethics, Georgetown University, USA John Weckert, Professor, School of Information Studies, Charles Sturt University, Australia Forothertitlespublishedinthisseries,goto www.springer.com/series/7761 David Wright (cid:127) Serge Gutwirth Michael Friedewald (cid:127) Elena Vildjiounaite Yves Punie Editors and Authors Safeguards in a World of Ambient Intelligence Pasi Ahonen (cid:127) Petteri Alahuhta Barbara Daskala (cid:127) Sabine Delaitre Paul De Hert (cid:127) Ralf Lindner Ioannis Maghiros (cid:127) Anna Moscibroda Wim Schreurs (cid:127) Michiel Verlinden Authors David Wright Serge Gutwirth Trilateral Research & Consulting Vrije Universiteit Brussel London, UK Belgium Michael Friedewald Elena Vildjiounaite Fraunhofer Institute VTT Technical Research Centre of Finland, Oulu for Systems and Innovation Finland Research (ISI) Karlsruhe, Germany Yves Punie Institute for Prospective Technological Studies (IPTS) European Commission JRC Seville, Spain ISSN1875-0044 e-ISSN1875-0036 ISBN978-1-4020-6661-0 (cid:151)(hardcover) e-ISBN978-1-4020-6662-7 ISBN978-90-481-8786-7 (cid:151)(softcover) DOI10.1007/978-1-4020-6662-7 Springer Dordrecht Heidelberg London New York Library of Congress Control Number: 2010924814 © Springer Science + Business Media B.V. 2008, First softcover printing 2010 No part of this work may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, microfilming, recording or otherwise, without written permission from the Publisher, with the exception of any material supplied specifically for the purpose of being entered and executed on a computer system, for exclusive use by the purchaser of the work. Printed on acid-free paper Springer is part of Springer Science+Business Media (www.springer.com) Foreword by Emile Aarts On the morning of 22 March 2006, I was hurrying to get to Brussels in time because I had to go there to present one of my Ambient Intelligence lectures. I was invited to give a keynote at an international conference with the name SWAMI, which was organized among others by the European Commission. I did not take the effort to study the scope of the conference in detail, nor did I take the time to have a close look at the list of participants. It had something to do with ethics I was told and I took it for granted that I could present my normal introductory ambient intelli- gence story. So I went to Brussels and I had a unique learning experience. When I arrived at the conference hotel, they just had a break and I had to present just after the break. I started off with my normal positive and technology-driven motivation for the need to have ambient intelligence, but I could read from the faces of the audience that they were not amused by my argumentation. So I concluded that obviously this was all common knowledge to them and I started adding more industrial evidence for the economic value of ambient intelligence by reasoning about technology innovation and business models. This, however, resulted in even less positive feedback and faces grew darker, some persons in the audience even seemed to get annoyed by my presentation and evidently I had not found the right tone so far. So again I switched content and spoke a little about applications, but this also did not help. Then I remembered that the conference was about ethical things and I skipped to the last part of my presentation where I added a few slides with philosophical statements on the role of ambient intelligence in society, but harm was done already and this could hardly turn the presentation for the better. I decided to stop and to open the floor for a discussion with the audience. One of the first remarks was a statement made by a nice person from Austria who exclaimed that my talk was “both ingenious and ridiculous”. I will never forget this remark during my entire life and I assume that the gentleman intended to emphasize that he disliked the lack of social responsibility that I expressed in my talk, and he was right. For more than half an hour, we elaborated on these social implications in a plenary setting until the chairman stopped the discussion for the sake of time. The discussions went on for another hour in the hotel corridors and after that I had to leave for another meeting, almost an hour behind schedule, but chastened. It is my true conviction that the work this group of persons had been doing is of utmost importance. The development of ambient intelligence is going on for almost v vi Foreword by Emile Aarts 10 years now and most of the time we have been emphasizing the technological potential of this novel and disruptive approach. We also have been largely building on the belief that user insights and user-centric design approaches should be used to come up with solutions that really matter to people, but we hardly paid attention to questions related to such important matters as trust, security, and legal aspects, nor to speak about the more ethical issues such as alienation, digital divide, and social responsibility as raised and discussed by the SWAMI community. This book, which can be viewed as a direct outcome of the 2006 SWAMI conference, presents a very comprehensive overview of all the relevant issues and options related to the ethics of ambient intelligence. The many high-quality c ontributions reflect the scholarship and integrity of its authors, and some of the chapters even resemble the level of a philosophical treatise. The book approaches ambient intelligence from a unique angle and it is mandatory reading material for anyone who is professionally active in the field of ambient intelligence as it can be seen as a landmark contribution to the discussion on ambient intelligence. After almost 10 years of development, ambient intelligence can now live up to its expectation that it can change peoples’ lives for the better through its novel user- centric technology. In the end, however, this will only work if we can settle the ethical issues that are connected to it, and the SWAMI effort has contributed sig- nificantly to this greater cause. Finally, I would like to thank the SWAMI people for giving me the opportunity to have one of the most compelling learning experiences in my professional life. Emile Aarts Scientific Program Manager Philips Research Eindhoven, The Netherlands 2 February 2007 Foreword by Gary T. Marx SWAMI, How I Love Ya For I dipt into the future, far as human eyes could see, saw the world, and all the wonders that would be Alfred Lord Tennyson, “Locksley Hall” And you will have a window in your head. Not even your future will be a mystery Any more. Your mind will be punched in a card And shut away in a little drawer. When they want you to buy something They will call you…. So friends, every day do something That won’t compute…. Wendell Berry, “The Mad Farmer Liberation Front” These poems reflect polar images of science and technology in western societies. Such contrasting views are daily expressed in our literature, popular culture, poli- tics, policies and everyday life. We are enthralled by, and fearful of, the astounding powers new technologies may bring. We hope with Edison that “whatever the mind of man creates” can be “controlled by man’s character”, even as we worry with Einstein that technological progress can become “like an axe in the hand of a patho- logical criminal”. In our dynamic and very unequal worlds of such vast system complexity, there is much to be worried about. But there is also much to be optimistic about. This book is a welcome contrast to much of the disingenuous commentary on new infor- mation technologies offered by technical, commercial and political advocates who command the largest megaphones. The book strikes a balance between encouraging the wonders that could be, while reminding us of the dark forces of history and society, and that nature is filled with surprises. We cannot and should not stop invention, but neither should we uncritically apply it, absent the careful controls and continual evaluation the book recommends. Before our age of avaricious, data-hungry sensors that can record everything in their path, to say that a person “really left a mark” implied that they willfully did vii viii Foreword by Gary T. Marx something special. Now, merely being passively present – whether in a physical or biological sense, let alone actively communicating, moving or consuming leaves remnants as well. In an age when everyone (and many objects) will continuously leave marks of all sorts, that phrase may become less meaningful. The topic of this book is ostensibly the embedding of low visibility, networked sensors within and across ever more environments (called ambient intelligence or AmI in Europe and ubiquitous computing or networked computing in America and Japan). But the book is about much more. It offers a way of broadly thinking about information-related technical developments. It is the most informative and compre- hensive policy analysis of new information and surveillance technologies seen in recent decades. Those wishing to praise a book often say, “essential reading for anyone con- cerned with …”. But I would go beyond that strong endorsement to say Safeguards in a World of Ambient Intelligence (SWAMI) should be required reading for anyone concerned with public policy involving new communications and surveillance tech- nologies. This should be bolstered by frequent certifying quizzes (and maybe even licenses) for those developing and applying information technology and for those on whom it is applied. The goal is to keep ever in view the multiplicity of analytical factors required to reach judgments about technologies which so radically break with the limits of the human senses and of space and time. In encouraging caution and steps to avoid worst-case scenarios, such analysis can limit unwanted surprises occurring as a result of interactions within very complex networked systems. How do I like this book? Let me count the ways. If this were a musical comedy, the first song would be “SWAMI, How I love Ya, How I love ya” (with apologies to George Gershwin). First, it creatively and fairly wends its way through the minefields of praise and criticism that so inform our contradictory views of technology. It avoids the extremes of technophilia and technophobia implied in the poems above and often in superficial media depictions and in rhetorical excesses of the players. It also avoids the shoals of technological, as against social and cultural, determinism. There is noth- ing inherent in technology or nature that means specific tools must be developed or used. The social and cultural context is central to the kind of tools developed and their uses and meaning. Yet technologies are rarely neutral in their impact. They create as well as respond to social and cultural conditions. The book suggests a flashing yellow light calling for caution and analysis rather than the certainty of a green or a red light. This can be seen as a limited optimism or a qualified pessimism, but what matters is the call for humility and continual analysis. As with much science fiction, the dark scenarios the book offers extrapo- late rather than predict. They call attention to things that could happen in the hope that they would not. While the report is a product of 35 experts, numerous meetings, work teams and consultants, it does not read like the typical pastiche committee or team report. Rather it is smooth flowing, consistent and integrated. The product of specialists from many parts of Europe, it nonetheless offers a common view of the issues that transcend the particularities of given cultures and language. As such, it speaks to an emerging European, and perhaps global, sense of citizenship fostered by standard- Foreword by Gary T. Marx ix ized technologies that so effortlessly transcend traditional national borders, as well as those of distance and time. While the United States is the major player in the development and diffusion of new information technologies, it sadly lags far behind Europe in providing deep and comprehensive analysis of the social and ethical consequences of such t echnology. Not only does it lack privacy and information commissions, but there is no longer a strong national analytical agency concerned with the impact of new technologies. The short-sighted Congressional elimination of the nonpartisan a nalytical Office of Technology Assessment in 1995 has deprived the United States of an independent public interest voice in these matters.1 The book offers a very comprehensive review of the relevant literature from many fields, at least for the English language. As a historical record and chronicle of turn-of-the-century debates and concerns raised by these developments, the book will be of inestimable value to future scholars confronting the novel c hallenges brought by the continuing cascade of new information technologies. I particularly appreciate some of the metaphors and concepts the book uses such as data laundering, AmI technosis, technology paternalism, coincidence of cir- cumstances, digital hermits, and the bubble of digital territory in its analysis. Much of the extensive supporting documentation and reference material is avail- able online, making it easy and inviting for the reader to pursue topics in more detail or to check on the book’s interpretations. However, I hope this would not soon come with an AmI program that, seeing what was accessed, makes recom- mendations for future reading or offers discounts for related book purchases or worse sends political messages seeking to alter the assumed positions of the user/reader. The strength of this book is in raising basic questions and offering ways of thinking about these. Answers will vary depending on the context and time, but the social factors and trade-offs that must be considered remain relatively constant. Rules and regulations will differ depending on the setting and the phase. A given use can be approached through a temporal process as we move from the conditions of collection to those of security and use. Or settings can be contrasted with respect to issues such as whether individuals should be given maximum, as against no, choice regarding the offering/taking of their personal data; questions around the retention or destruction of personal information; and whether the data should be seen as the private property of those who collect it, those about whom it is c ollected, or as a public record. A related issue involves whether AmI systems are viewed as public utilities in principle available to all or are viewed as private c ommodities available only to those who can afford them and/or who qualify. 1 In a blatantly partisan and socially destructive move, the 104th Congress withdrew funding for OTA and its full-time staff of 143 persons. Copies of OTA publications are available from the Superintendent of Documents, P.O. Box 371954, Pittsburgh, PA 15250-7974. As this book notes, the National Research Council has stepped in to partially fill the void, most recently with the Committee on Privacy in the Information Age, Engaging Privacy and Information Technology in a Digital Age, 2007. x Foreword by Gary T. Marx It has verisimilitude both in its treatment of the policy issues and in its scenarios. It offers an encyclopedia of safeguards and calls for a mixture of available means of regulation. While the book gives appropriate attention to technical controls and those involving legislation and courts at many levels (national, European community, international) and notes the role of markets, it stands apart from the voluminous policy literature in attending to civil society factors such as the media, public awareness and education, cultural safeguards and emerging tools such as trust marks, trust seals and reputation systems. The informal, as well as the formal, must be part of any policy considerations and analysis of impact. An aspect of the book’s reality check is its consideration of the trade-offs and tensions between conflicting goals and needs. In spite of the promises of politicians and marketeers and the fantasies of children, we cannot have it all. Hard choices must often be made and compromises sought. In the rush to certainty and in the pursuit of self-interest, too much discussion of technology shows a misguided either/or fallacy. But when complex and complicated topics are present, it is well, with Whitehead, not to find clarity and consistency at the cost of “overlooking the subtleties of truth”. We need to find ways of reconciling, both intellectually and practically, seemingly contradictory factors. In considering issues of computers and society, there are enduring value conflicts and ironic, conflicting needs, goals and consequences that require the informed seeking out of the trade-offs and continual evaluation the book recommends. These can be considered very abstractly as with the importance of liberty and order, individualism and community, efficiency and fair and valid treatment. When we turn to AmI, we see the tensions more concretely. Thus, the need for collecting, merging and storing detailed personal information in real time, on a continual basis across diverse interoperable systems, is central for maximizing the potential of the AmI. But this can cause tension between the goals of authentication, personalized service and validity and those of privacy and security (the latter two can, of course, also be in tension, as well as mutually sup- portive). The generation of enormous databases presents monumental challenges in guarding against the trust-violations of insiders and the damage that can be wrought by outsider hackers. How can the advantages of both opacity and transparency be combined such that systems are easy to use and in the background and hence more egalitarian and efficient, while simultaneously minimizing misuse and encouraging accountability and privacy? As the song says, “something’s got to give”. Personalization with its appreciation of the individual’s unique needs and circum- stances must be creatively blended with impersonalization with its protections of privacy and against manipulation. We need solutions that optimize rather than maximize with a keen awareness of what is gained and what is lost (and for whom under what conditions) with different technical arrangements and policy regimes. Under dynamic conditions, the balance and effort to mange competing needs must be continuously revisited. Some changes are purposive as individuals and organizations seek to undermine AmI as its operation becomes understood, others involve growth and development as individuals change their preferences and behav- ior, and environmental conditions change.