Artificial intelligence explainability: the technical and ethical dimensions
Open accessAbstract
In recent years, several new technical methods have been developed to make AI-models more transparent and interpretable. These techniques are often referred to collectively as ‘AI explainability’ or ‘XAI’ methods. This paper presents an overview of XAI methods, and links them to stakeholder purposes for seeking an explanation. Because the underlying stakeholder purposes are broadly ethical in nature, we see this analysis as a contribution towards bringing together the technical and ethical dimensions of XAI. We emphasize that use of XAI methods must be linked to explanations of human decisions made during the development life cycle. Situated within that wider accountability framework, our analysis may offer a helpful starting point for designers, safety engineers, service providers and regulators who need to make practical judgements about which XAI methods to employ or to require. This article is part of the theme issue ‘Towards symbiotic autonomous systems’.
The claims and statistics of this paper haven’t been checked yet.
Run the check — free, no account needed. It reads the open-access text and checks the sources it cites.
Integrity signals
Registry
Cites
Statistics
Claims the paper makes
The claims and statistics of this paper haven’t been checked yet.
Run the check — free, no account needed. It reads the open-access text and checks the sources it cites.
Claims other papers make about this one
Each is checked against this paper’s own text: does it say what the citing paper says it does?
Provable AI ethics frameworks propose technical architectures for embedding explainability, constraint validation, and ethical guardrails directly into AI systems rather than relying solely on policy-level oversight.
“Recent evidence50 on provable AI ethics frameworks proposes technical architectures for embedding explainability, constraint validation, and ethical guardrails directly into AI systems rather than relying solely on policy-level oversight.”
From Generative Artificial Intelligence in Healthcare: Automation Bias, Deskilling, and Cognitive Implications – A Systematic Review (2026) · cites this paper as [50]
The Introduction and Discussion describe technical explainability methods that can help assure ML systems, including before and after deployment. They do not propose an architecture that embeds constraint validation or ethical guardrails directly into AI systems; the Conclusion instead places XAI within a wider framework of human accountability. (LLM, conf=0.86)
Experimental — accuracy not yet measured
Self-check
Percentages, sums and reported differences re-computed from the paper’s own numbers.
The self-check needs the paper’s full text.
Cites
A Unified Approach to Interpreting Model Predictions
Lundberg, S., & Lee, S.-I. (2017) · arXiv · doi:10.48550/arxiv.1705.07874 · Cited by 23,707 · see citing works
From local explanations to global understanding with explainable AI for trees
Lundberg, S. M., Erion, G., Chen, H., DeGrave, A., Prutkin, J. M., Nair, B., Katz, R., Himmelfarb, J., Bansal, N., & Lee, S.-I. (2020) · Nature Machine Intelligence · doi:10.1038/s42256-019-0138-9 · Cited by 10,551 · see citing works
Barredo Arrieta, A., Díaz-Rodríguez, N., Del Ser, J., Bennetot, A., Tabik, S., Barbado, A., Garcia, S., Gil-Lopez, S., Molina, D., Benjamins, R., et al. (2020) · Information Fusion · doi:10.1016/j.inffus.2019.12.012 · Cited by 10,423 · see citing works
Case-Based Reasoning: Foundational Issues, Methodological Variations, and System Approaches
Aamodt, A., & Plaza, E. (1994) · AI Communications · doi:10.3233/aic-1994-7104 · Cited by 5,624 · see citing works
The mythos of model interpretability
Lipton, Z. C. (2018) · Communications of the ACM · doi:10.1145/3233231 · Cited by 5,427 · see citing works
Deep Inside Convolutional Networks: Visualising Image Classification Models and Saliency Maps
Simonyan, K., Vedaldi, A., & Zisserman, A. (2013) · arXiv · doi:10.48550/arxiv.1312.6034 · Cited by 5,370 · see citing works
Explanation in artificial intelligence: Insights from the social sciences
Miller, T. (2019) · Artificial Intelligence · doi:10.1016/j.artint.2018.07.007 · Cited by 5,302 · see citing works
Efficient Processing of Deep Neural Networks: A Tutorial and Survey
Sze, V., Chen, Y.-H., Yang, T.-J., & Emer, J. S. (2017) · Proceedings of the IEEE · doi:10.1109/jproc.2017.2761740 · Cited by 4,215 · cited 5× · see citing works
“NNs have sub-classes, e.g. convolutional neural networks (CNNs) [7] and deep neural networks (DNN) [8].”
BackgroundInfluentialDeep Convolutional Neural Networks for Image Classification: A Comprehensive Review
Rawat, W., & Wang, Z. (2017) · Neural Computation · doi:10.1162/neco_a_00990 · Cited by 3,503 · see citing works
Barocas, S., & Selbst, A. D. (2014) · doi:10.2139/ssrn.2477899 · Cited by 3,048 · see citing works
'It's Reducing a Human Being to a Percentage': Perceptions of Justice in Algorithmic Decisions
Binns, R., Van Kleek, M., Veale, M., Lyngs, U., Zhao, J., & Shadbolt, N. (2018) · Proceedings of the 2018 CHI Conference on Human Factors in Computing Systems · doi:10.1145/3173574.3173951 · Cited by 691 · cited 2× · see citing works
“Research suggests that the provision of sufficiently detailed explanations can affect the acceptance of algorithmic decisions by users—primarily expert-users [25].”
BackgroundThe ethics of algorithms: key problems and solutions
Tsamados, A., Aggarwal, N., Cowls, J., Morley, J., Roberts, H., Taddeo, M., & Floridi, L. (2022) · AI & SOCIETY · doi:10.1007/s00146-021-01154-8 · Cited by 384 · see citing works
Toward Trustworthy AI Development: Mechanisms for Supporting Verifiable Claims
Brundage, M., Avin, S., Wang, J., Belfield, H., Krueger, G., Hadfield, G., Khlaaf, H., Yang, J., Toner, H., Fong, R., et al. (2020) · arXiv · doi:10.48550/arxiv.2004.07213 · Cited by 306 · see citing works
ICU Occupancy and Mechanical Ventilator Use in the United States*
Wunsch, H., Wagner, J., Herlim, M., Chong, D. H., Kramer, A. A., & Halpern, S. D. (2013) · Critical Care Medicine · doi:10.1097/ccm.0b013e318298a139 · Cited by 287 · see citing works
Sharma, S., Henderson, J., & Ghosh, J. (2020) · Proceedings of the AAAI/ACM Conference on AI, Ethics, and Society · doi:10.1145/3375627.3375812 · Cited by 226 · see citing works
Flagged first, then by citations
Research works printed but not linked: 55
- [2]Bhatt U et al. 2020 Explainable machine learning in deployment. In Proc. of the 2020 Conf. on Fairness, Accountability, and Transparency, pp. 648–657.
- [3]McDermid JA. 2010 Safety Critical Software. In Encyclopedia of Aerospace Engineering (eds R Blockley, W Shyy). 10.1002/9780470686652.eae506. · DOI
- [4]Zhang GP. 2000 Neural networks for classification: a survey. IEEE Trans. Syst. Man Cybern. Part C (Appl. Rev.) 30, 451- 462. (10.1109/5326.897072) · DOI
- [5]Wang G. 2008 A survey on training algorithms for support vector machine classifiers. In 2008 Fourth Int. Conf. on Networked Computing and Advanced Information Management, vol. 1, Gyeongju, South Korea, 2–4 September 2008, pp. 123–128. New York, NY: IEEE.
- [6]Arulkumaran K, Deisenroth MP, Brundage M, Bharath AA. 2017 Deep reinforcement learning: a brief survey. IEEE Signal Process Mag. 34, 26- 38. (10.1109/MSP.2017.2743240) · DOI · Paper page
- [10]Ashmore R, Calinescu R, Paterson C. 2019 Assuring the machine learning lifecycle: desiderata, methods, and challenges. http://arxiv.org/abs/190504223.
- [13]Burton S, Habli I, Lawton T, McDermid J, Morgan P, Porter Z. 2020 Mind the gaps: assuring the safety of autonomous systems from an engineering, ethical, and legal perspective. Artif. Intell. 279, 103201. (10.1016/j.artint.2019.103201) · DOI
- [15]Mittelstadt B, Russell C, Wachter S. 2019 Explaining explanations in AI. In Proc. of the Conf. on fairness, accountability, and transparency, Atlanta, GA, 29–31 January 2019, pp. 279–288. New York, NY: ACM.
- [16]Raz J. 2011 From normativity to responsibility. Oxford, UK: Oxford University Press.
- [18]Biran O, McKeown K. 2014 Justification narratives for individual classifications. In Proc. of the AutoML workshop at ICML, vol. 2014, pp. 1–7.
- [19]Ward FR, Habli I. 2020 An assurance case pattern for the interpretability of machine learning in safety-critical systems. In Int. Conf. on Computer Safety, Reliability, and Security, Lisbon, Portugal, 15–18 September 2020, pp. 395–407. Berlin, Germany: Springer.
- [22]Rudin C. 2019 Stop explaining black box machine learning models for high stakes decisions and use interpretable models instead. Nat. Mach. Intell. 1, 206- 215. (10.1038/s42256-019-0048-x) PMC9122117 35603010 · DOI · Paper page
- [23]Weller A. 2019 Transparency: motivations and challenges. In Explainable AI: interpreting, explaining and visualizing deep learning (eds W Samek, G Montavon, A Vedaldi, LK Hansen, K-R Müller), pp. 23–40. Berlin, Germany: Springer.
- [24]Langer M, Oster D, Speith T, Hermanns H, Kästner L, Schmidt E, Sesing A, Baum K. 2021 What do we want from Explainable Artificial Intelligence (XAI)? A stakeholder perspective on XAI and a conceptual model guiding interdisciplinary XAI research. Artif. Intel. 296, 103473. (10.1016/j.artint.2021.103473) · DOI · Paper page
- [29]Hastie T, Tibshirani R, Friedman J. 2009 The elements of statistical learning. Berlin, Germany: Springer.
- [30]Louppe G. 2014 Understanding random forests: from theory to practice. http://arxiv.org/abs/14077502.
- [31]Breiman L. 2001 Random forests. Mach. Learn. 45, 5- 32. (10.1023/A:1010933404324) · DOI · Paper page
- [34]Gilpin LH, Bau D, Yuan BZ, Bajwa A, Specter M, Kagal L. 2018 Explaining explanations: an overview of interpretability of machine learning. In 2018 IEEE 5th Int. Conf. on data science and advanced analytics (DSAA), Turin, Italy, 1–3 October 2018, pp. 80–89. New York, NY: IEEE.
- [35]Montano J, Palmer A. 2003 Numeric sensitivity analysis applied to feedforward neural networks. Neural Comput. Appl. 12, 119- 125. (10.1007/s00521-003-0377-9) · DOI
- [36]Liang B, Li H, Su M, Bian P, Li X, Shi W. 2017 Deep text classification can be fooled. http://arxiv.org/abs/170408006.
- [37]Zeiler MD, Fergus R. 2014 Visualizing and understanding convolutional networks. In European Conf. on computer vision, Zürich, Switzerland, 6–12 September 2014, pp. 818–833. Berlin, Germany: Springer.
- [38]Ribeiro MT, Singh S, Guestrin C. 2016 ‘Why should I trust you?’ Explaining the predictions of any classifier. In Proc. of the 22nd ACM SIGKDD Int. Conf. on knowledge discovery and data mining, San Francisco, CA, 13–17 August 2016, pp. 1135–1144. New York, NY: ACM.
- [40]Bhatt U, Ravikumar P, Moura JM. 2019 Towards aggregating weighted feature attributions. http://arxiv.org/abs/190110040.
- [41]Štrumbelj E, Kononenko I. 2014 Explaining prediction models and individual predictions with feature contributions. Knowl. Inf. Syst. 41, 647- 665. (10.1007/s10115-013-0679-x) · DOI · Paper page
- [42]Chen J, Song L, Wainwright MJ, Jordan MI. 2018 L-shapley and c-shapley: efficient model interpretation for structured data. http://arxiv.org/abs/180802610.
- [45]Zintgraf LM, Cohen TS, Adel T, Welling M. 2017 Visualizing deep neural network decisions: prediction difference analysis. http://arxiv.org/abs/170204595.
- [47]Shrikumar A, Greenside P, Shcherbina A, Kundaje A. 2016 Not just a black box: learning important features through propagating activation differences. http://arxiv.org/abs/160501713.
- [48]Sundararajan M, Taly A, Yan Q. 2017 Axiomatic attribution for deep networks. http://arxiv.org/abs/170301365.
- [49]Shrikumar A, Greenside P, Kundaje A. 2017 Learning important features through propagating activation differences. http://arxiv.org/abs/170402685.
- [50]Ancona M, Ceolini E, Öztireli C, Gross M. 2017 Towards better understanding of gradient-based attribution methods for deep neural networks. http://arxiv.org/abs/171106104.
- [52]Kolodner JL. 1992 An introduction to case-based reasoning. Artif. Intell. Rev. 6, 3- 34. (10.1007/BF00155578) · DOI
- [53]Richter MM, Weber RO. 2016 Case-based reasoning. Berlin, Germany: Springer.
- [54]Jia Y, Kaul C, Lawton T, Murray-Smith R, Habli I. 2020 Prediction of weaning from mechanical ventilation using convolutional neural networks. Artif. Intell. Med. 117, 102087. 34127233
- [55]Wachter S, Mittelstadt B, Russell C. 2017 Counterfactual explanations without opening the black box: automated decisions and the GDPR. Harv. JL & Tech. 31, 841. (10.2139/ssrn.3063289) · DOI · Paper page
- [56]Mothilal RK, Sharma A, Tan C. 2020 Explaining machine learning classifiers through diverse counterfactual explanations. In Proc. of the 2020 Conf. on Fairness, Accountability, and Transparency, Barcelona, Spain, 27–30 January 2020, pp. 607–617.
- [57]Sharma S, Henderson J, Ghosh J. 2019 Certifai: Counterfactual explanations for robustness, transparency, interpretability, and fairness of artificial intelligence models. http://arxiv.org/abs/190507857.
- [58]Szegedy C, Zaremba W, Sutskever I, Bruna J, Erhan D, Goodfellow I, Fergus R. 2013 Intriguing properties of neural networks. http://arxiv.org/abs/13126199.
- [59]Xie C, Tan M, Gong B, Wang J, Yuille AL, Le QV. 2020 Adversarial examples improve image recognition. In Proc. of the IEEE/CVF Conf. on Computer Vision and Pattern Recognition, Seattle, WA, 13–19 June 2020, pp. 819–828. New York, NY: IEEE.
- [60]Jia R, Liang P. 2017 Adversarial examples for evaluating reading comprehension systems. http://arxiv.org/abs/170707328.
- [61]Sato M, Suzuki J, Shindo H, Matsumoto Y. 2018 Interpretable adversarial perturbation in input embedding space for text. http://arxiv.org/abs/180502917.
- [62]Etmann C, Lunz S, Maass P, Schönlieb CB. 2019 On the connection between adversarial robustness and saliency map interpretability. http://arxiv.org/abs/190504172.
- [63]Koh PW, Liang P. 2017 Understanding black-box predictions via influence functions. http://arxiv.org/abs/170304730.
- [65]Ambrosino N, Gabbrielli L. 2010 The difficult-to-wean patient. Expert Rev. Respiratory Med. 4, 685- 692. (10.1586/ers.10.58) 20923345 · DOI
- [66]Kuo HJ, Chiu HW, Lee CN, Chen TT, Chang CC, Bien MY. 2015 Improvement in the prediction of ventilator weaning outcomes by an artificial neural network in a medical ICU. Respir. Care 60, 1560- 1569. (10.4187/respcare.03648) 26329358 · DOI
- [67]Johnson AE et al. 2016 MIMIC-III, a freely accessible critical care database. Sci. Data 3, 1- 9. (10.1038/sdata.2016.35) PMC4878278 27219127 · DOI · Paper page
- [69]Sessler CN, Gosnell MS, Grap MJ, Brophy GM, O’Neal PV, Keane KA, Tesoro EP, Elswick RK. 2002 The Richmond Agitation–Sedation Scale: validity and reliability in adult intensive care unit patients. Am. J. Respir. Crit. Care Med. 166, 1338- 1344. (10.1164/rccm.2107138) 12421743 · DOI · Paper page
- [70]Mehrabi N, Morstatter F, Saxena N, Lerman K, Galstyan A. 2019 A survey on bias and fairness in machine learning. http://arxiv.org/abs/190809635.
- [71]Eubanks VA. 2018 Automating inequality: how high-tech tools profile, police, and punish the poor. New York, NY: St. Martin’s Press.
- [73]Habli I, Lawton T, Porter Z. 2020 Artificial intelligence in health care: accountability and safety. Bull. World Health Organ. 98, 251. (10.2471/BLT.19.237487) 32284648 PMC7133468 · DOI · Paper page
- [74]Sullivan E. 2019 Understanding from machine learning models. Br. J. Philos. Sci. (10.1093/bjps/axz035) · DOI
- [75]Kelly TP. Arguing safety: a systematic approach to managing safety cases. PhD thesis, University of York.
- [76]Burton S, Gauerhof L, Heinzemann C. 2017 Making the case for safety of machine learning in highly automated driving. In Int. Conf. on Computer Safety, Reliability, and Security, Trento, Italy, 12–15 September 2017, pp. 5–16. Berlin, Germany: Springer.
- [77]Picardi C, Hawkins R, Paterson C, Habli I. 2019 A pattern for arguing the assurance of machine learning in medical diagnosis systems. In Int. Conf. on Computer Safety, Reliability, and Security, pp. 165–179. Berlin, Germany: Springer.
- [78]Denney E, Pai G, Habli I. 2015 Dynamic safety cases for through-life safety assurance. In 2015 IEEE/ACM 37th IEEE Int. Conf. on Software Engineering, Florence, Italy, 16–24 May 2015, vol. 2, pp. 587–590. New York, NY: IEEE.
- [79]Asaadi E, Denney E, Menzies J, Pai GJ, Petroff D. 2020 Dynamic assurance cases: a pathway to trusted autonomy. Computer 53, 35- 46. (10.1109/MC.2020.3022030) · DOI
Cited by
Sorted by citations
Abdelwanis, M., Alarafati, H. K., Tammam, M. M. S., & Simsekler, M. C. E. (2024) · Journal of Safety Science and Resilience · doi:10.1016/j.jnlssr.2024.06.001 · Cited by 137 · see citing works
Artificial intelligence for diagnostic and prognostic neuroimaging in dementia: a systematic review
Borchert, R. J., Azevedo, T., Badhwar, A., Bernal, J., Betts, M., Bruffaerts, R., Burkhart, M. C., Dewachter, I., Gellersen, H. M., Low, A., et al. (2023) · Alzheimer's & Dementia · doi:10.1002/alz.13412 · Cited by 125 · see citing works
Survey on Explainable AI: Techniques, challenges and open issues
Abusitta, A., Li, M. Q., & Fung, B. C. M. (2024) · Expert Systems with Applications · doi:10.1016/j.eswa.2024.124710 · Cited by 98 · see citing works
Artificial Intelligence, AI literacy, Digital literacy, AI literacy scale
ÇELEBİ, C., YILMAZ, F., DEMİR, U., & KARAKUŞ, F. (2023) · Öğretim Teknolojisi ve Hayat Boyu Öğrenme Dergisi - Instructional Technology and Lifelong Learning · doi:10.52911/itall.1401740 · Cited by 77 · see citing works
Establishing and evaluating trustworthy AI: overview and research challenges
Kowald, D., Scher, S., Pammer-Schindler, V., Müllner, P., Waxnegger, K., Demelius, L., Fessl, A., Toller, M., Mendoza Estrada, I. G., Šimić, I., et al. (2024) · Frontiers in Big Data · doi:10.3389/fdata.2024.1467222 · Cited by 59 · see citing works
Clinicians risk becoming “liability sinks” for artificial intelligence
Lawton, T., Morgan, P., Porter, Z., Hickey, S., Cunningham, A., Hughes, N., Iacovides, I., Jia, Y., Sharma, V., & Habli, I. (2024) · Future Healthcare Journal · doi:10.1016/j.fhj.2024.100007 · Cited by 60 · see citing works
Self-citationDu, Y., Antoniadi, A. M., McNestry, C., McAuliffe, F. M., & Mooney, C. (2022) · Applied Sciences · doi:10.3390/app122010323 · Cited by 47 · see citing works
Al-Anezi, F. M. (2026) · Journal of Healthcare Leadership · doi:10.2147/jhl.s590498 · Cited by 6 · see citing works
- Authors
- McDermid, J. A., Jia, Y., Porter, Z., & Habli, I.
- Affiliations
- University of York (GB)
- Department of Computer Science, University of York, Deramore Lane, York YO10 5GH, UK
- Corresponding author
- McDermid, John A.
- Venue
- Philosophical Transactions of the Royal Society A: Mathematical, Physical and Engineering Sciences
- Publisher
- The Royal Society
- Published
- 2021-08-16
- Volume
- 379
- Issue
- 2207
- Pages
- 20200363
- ISSN
- 1364-503X (ISSN-L)
- 1471-2962
- PMC
- PMC8366909
- OpenAlex
- W3195947859
- Cited by
- 136
- References
- 15
- Citations by year
- 2026: 28 · 2025: 36 · 2024: 32 · 2023: 25 · 2022: 14 · 2021: 1
- FWCI
- 6.36
- Type
- journal article
- Language
- en
- Open access
- hybrid
- doi.org
- Locations
- Philosophical Transactions of the Royal Society A Mathematical Physical and Engineering Sciences (publishedVersion, cc-by)
- PubMed Central (publishedVersion, cc-by)
- PubMed (publishedVersion)
- White Rose Research Online (University of Leeds, The University of Sheffield, University of York) (acceptedVersion)
- Funders
- Assuring Autonomy International Programme
- University of York
- Lloyds Register Foundation
- Topics
- Physical Sciences › Computer Science › Artificial Intelligence › Explainable Artificial Intelligence (XAI)
- Social Sciences › Safety Research › Ethics and Social Impacts of AI
- Physical Sciences › Engineering › Safety, Risk, Reliability and Quality › Safety Systems Engineering in Autonomy
- Keywords
- explainable AI, model transparency, model interpretability, AI ethics, accountability, AI regulation
About these checks
Registry, retraction, Cites and statistics results are computed, not judged, with one exception: a printed reference that no index lists is read once by a model before it counts as a citation error. Claims are extracted by a model and kept only when their quote appears verbatim in the text; each cited source is then checked, with a model’s help, for whether it says what the claim relies on. Those verdicts can be wrong — read the claim’s quote and the cited source before relying on one.
Statistics and arithmetic are recomputed, not judged.
Confidence bands are shown only for fields calibrated on our annotated test set. None is calibrated yet, so no band is shown.
What counts as a claim ›How we measure confidence ›How we check this ›
Are you an author, or do you see a problem with this page? Request a review