Moral Responsibility for AI Systems

As more and more decisions that have a significant ethical dimension are being outsourced to AI systems, it is important to have a definition of moral responsibility that can be applied to AI systems. Moral responsibility for an outcome of an agent who performs some action is commonly taken to involve both a causal condition and an epistemic condition: the action should cause the outcome, and the agent should have been aware -- in some form or other -- of the possible moral consequences of their action. This paper presents a formal definition of both conditions within the framework of causal models. I compare my approach to the existing approaches of Braham and van Hees (BvH) and of Halpern and Kleiman-Weiner (HK). I then generalize my definition into a degree of responsibility.

Causal Models with Constraints

Causal models have proven extremely useful in offering formal representations of causal relationships between a set of variables. Yet in many situations, there are non-causal relationships among variables. For example, we may want variables $LDL$, $HDL$, and $TOT$ that represent the level of low-density lipoprotein cholesterol, the level of lipoprotein high-density lipoprotein cholesterol, and total cholesterol level, with the relation $LDL+HDL=TOT$. This cannot be done in standard causal models, because we can intervene simultaneously on all three variables. The goal of this paper is to extend standard causal models to allow for constraints on settings of variables. Although the extension is relatively straightforward, to make it useful we have to define a new intervention operation that $disconnects$ a variable from a causal equation. We give examples showing the usefulness of this extension, and provide a sound and complete axiomatization for causal models with constraints.

Backtracking Counterfactuals

Counterfactual reasoning -- envisioning hypothetical scenarios, or possible worlds, where some circumstances are different from what (f)actually occurred (counter-to-fact) -- is ubiquitous in human cognition. Conventionally, counterfactually-altered circumstances have been treated as "small miracles" that locally violate the laws of nature while sharing the same initial conditions. In Pearl's structural causal model (SCM) framework this is made mathematically rigorous via interventions that modify the causal laws while the values of exogenous variables are shared. In recent years, however, this purely interventionist account of counterfactuals has increasingly come under scrutiny from both philosophers and psychologists. Instead, they suggest a backtracking account of counterfactuals, according to which the causal laws remain unchanged in the counterfactual world; differences to the factual world are instead "backtracked" to altered initial conditions (exogenous variables). In the present work, we explore and formalise this alternative mode of counterfactual reasoning within the SCM framework. Despite ample evidence that humans backtrack, the present work constitutes, to the best of our knowledge, the first general account and algorithmisation of backtracking counterfactuals. We discuss our backtracking semantics in the context of related literature and draw connections to recent developments in explainable artificial intelligence (XAI).

A Causal Analysis of Harm

As autonomous systems rapidly become ubiquitous, there is a growing need for a legal and regulatory framework to address when and how such a system harms someone. There have been several attempts within the philosophy literature to define harm, but none of them has proven capable of dealing with with the many examples that have been presented, leading some to suggest that the notion of harm should be abandoned and "replaced by more well-behaved notions". As harm is generally something that is caused, most of these definitions have involved causality at some level. Yet surprisingly, none of them makes use of causal models and the definitions of actual causality that they can express. In this paper we formally define a qualitative notion of harm that uses causal models and is based on a well-known definition of actual causality (Halpern, 2016). The key novelty of our definition is that it is based on contrastive causation and uses a default utility to which the utility of actual outcomes is compared. We show that our definition is able to handle the examples from the literature, and illustrate its importance for reasoning about situations involving autonomous systems.

Quantifying Harm

In a companion paper (Beckers et al. 2022), we defined a qualitative notion of harm: either harm is caused, or it is not. For practical applications, we often need to quantify harm; for example, we may want to choose the lest harmful of a set of possible interventions. We first present a quantitative definition of harm in a deterministic context involving a single individual, then we consider the issues involved in dealing with uncertainty regarding the context and going from a notion of harm for a single individual to a notion of "societal harm", which involves aggregating the harm to individuals. We show that the "obvious" way of doing this (just taking the expected harm for an individual and then summing the expected harm over all individuals can lead to counterintuitive or inappropriate answers, and discuss alternatives, drawing on work from the decision-theory literature.

Causal Explanations and XAI

Although standard Machine Learning models are optimized for making predictions about observations, more and more they are used for making predictions about the results of actions. An important goal of Explainable Artificial Intelligence (XAI) is to compensate for this mismatch by offering explanations about the predictions of an ML-model which ensure that they are reliably action-guiding. As action-guiding explanations are causal explanations, the literature on this topic is starting to embrace insights from the literature on causal models. Here I take a step further down this path by formally defining the causal notions of sufficient explanations and counterfactual explanations. I show how these notions relate to (and improve upon) existing work, and motivate their adequacy by illustrating how different explanations are action-guiding under different circumstances. Moreover, this work is the first to offer a formal definition of actual causation that is founded entirely in action-guiding explanations. Although the definitions are motivated by a focus on XAI, the analysis of causal explanation and actual causation applies in general. I also touch upon the significance of this work for fairness in AI by showing how actual causation can be used to improve the idea of path-specific counterfactual fairness.

Causal Sufficiency and Actual Causation

Pearl opened the door to formally defining actual causation using causal models. His approach rests on two strategies: first, capturing the widespread intuition that X=x causes Y=y iff X=x is a Necessary Element of a Sufficient Set for Y=y, and second, showing that his definition gives intuitive answers on a wide set of problem cases. This inspired dozens of variations of his definition of actual causation, the most prominent of which are due to Halpern & Pearl. Yet all of them ignore Pearl's first strategy, and the second strategy taken by itself is unable to deliver a consensus. This paper offers a way out by going back to the first strategy: it offers six formal definitions of causal sufficiency and two interpretations of necessity. Combining the two gives twelve new definitions of actual causation. Several interesting results about these definitions and their relation to the various Halpern & Pearl definitions are presented. Afterwards the second strategy is evaluated as well. In order to maximize neutrality, the paper relies mostly on the examples and intuitions of Halpern & Pearl. One definition comes out as being superior to all others, and is therefore suggested as a new definition of actual causation.

The Counterfactual NESS Definition of Causation

In previous work with Joost Vennekens I proposed a definition of actual causation that is based on certain plausible principles, thereby allowing the debate on causation to shift away from its heavy focus on examples towards a more systematic analysis. This paper contributes to that analysis in two ways. First, I show that our definition is in fact a formalization of Wright's famous NESS definition of causation combined with a counterfactual difference-making condition. This means that our definition integrates two highly influential approaches to causation that are claimed to stand in opposition to each other. Second, I modify our definition to offer a substantial improvement: I weaken the difference-making condition in such a way that it avoids the problematic analysis of cases of preemption. The resulting Counterfactual NESS definition of causation forms a natural compromise between counterfactual approaches and the NESS approach.

Equivalent Causal Models

The aim of this paper is to offer the first systematic exploration and definition of equivalent causal models in the context where both models are not made up of the same variables. The idea is that two models are equivalent when they agree on all "essential" causal information that can be expressed using their common variables. I do so by focussing on the two main features of causal models, namely their structural relations and their functional relations. In particular, I define several relations of causal ancestry and several relations of causal sufficiency, and require that the most general of these relations are preserved across equivalent models.