Cited by 110Ethics and Social Impacts of AIExplainable Artificial Intelligence (XAI)Digitalization, Law, and Regulation

Decision Provenance: Harnessing Data Flow for Accountable Systems

Open access
Singh, Jatinder, Cobbe, Jennifer, Norval, Chris·2019·IEEE Access

Abstract

Demand is growing for more accountability regarding the technological systems that increasingly occupy our world. However, the complexity of many of these systems—often systems-of-systems—poses accountability challenges. A key reason for this is because the details and nature of the information flows that interconnect and drive systems, which often occur across technical and organizational boundaries, tend to be invisible or opaque. This paper argues that data provenance methods show much promise as a technical means for increasing the transparency of these interconnected systems. Specifically, given the concerns regarding ever-increasing levels of automated and algorithmic decision-making, and so-called “algorithmic systems” in general, we propose decision provenance as a concept showing much promise.Decision provenanceentails using provenance methods to provide information exposing decision pipelines: chains of inputs to, the nature of, and the flow-on effects from the decisions and actions taken (at design and run-time) throughout systems. This paper introduces the concept of decision provenance, and takes an interdisciplinary (tech-legal) exploration into its potential for assisting accountability in algorithmic systems. We argue that decision provenance can help facilitate oversight, audit, compliance, risk mitigation, and user empowerment, and we also indicate the implementation considerations and areas for research necessary for realizing its vision. More generally, we make the case that considerations of data flow, and systems more broadly, are important to discussions of accountability, and complement the considerable attention already given to algorithmic specifics.

AI snapshot

Written from the paper’s full text.

TL;DR

The paper proposes “decision provenance”: using data provenance methods to expose decision pipelines—inputs, decision/action nature, and flow-on effects across interconnected systems—to support accountability in algorithmic systems. It argues this can aid oversight, audit, compliance, risk mitigation, liability investigation, and user empowerment, while outlining implementation and research challenges.

Key findings

  • Decision provenance is introduced as a concept for capturing records of data flow throughout systems so as to make visible the inputs to, nature of, and cascading consequences of decisions/actions, including the legal entities involved.
  • The paper argues decision provenance can assist accountability by supporting system understanding, compliance and obligation management, regulatory audit, technical audit/investigation, liability and legal investigation, and end-user agency.
  • In the ML case study, decision provenance is proposed to help at design-time by revealing training-data lineage and potential bias, at run-time by informing model selection and compliance checks, and post hoc by indicating where deeper model-centric investigation should focus.
  • The paper notes GDPR non-compliance risks fines of up to the greater of €20m or 4% of annual global turnover, and cites GDPR rights/obligations such as erasure, objection, purpose limitation, and restrictions on solely automated decision-making as drivers for provenance-based compliance support.

Methods

  • Conceptual and interdisciplinary (technical-legal) exploration; no empirical study, dataset, or evaluation is reported.
  • The paper develops the decision provenance concept through legal analysis of accountability and data protection drivers, discussion of interconnected systems-of-systems, and an illustrative machine learning pipeline case study.
  • It identifies implementation considerations and research opportunities around capture mechanisms, data management, trust, provenance representation, and usability.

Limitations

  • The paper states that decision provenance “won’t itself solve all the complexities” of interconnected systems and that technology will not itself “solve” accountability issues.
  • It states that broader accountability considerations for provenance have yet to be explored in depth, and that realizing decision provenance at scale faces challenges of scale, federation, complexity, consistency, visibility, veracity, trust, and usability.
  • Evident from the text: the work is conceptual and does not provide empirical validation, deployment results, or measured outcomes for decision provenance.

Model-written summary. Check it against the paper before relying on it.

Integrity signals

Registry

Crossref · 10.1109/access.2018.2887201

Cites

Statistics

Nothing to recompute.

Claims the paper makes

0 of 38 cited sources checked · 0 supported · 0 flagged

  • Premisecitation

    The increasingly interconnected nature of systems means that many systems do not operate discretely and in isolation but are employed as part of a system-of-systems.

    “However, the increasingly interconnected nature of systems means that in many cases they do not operate discretely and in isolation but are employed as part of a system-of-systems [14], [15], with potentially many entities involved [16], [17].”
    Quote in the paperSubstantial claim0 of 3 sources checked
    • cites [14] source

      Not checked in the free run.

    • cites [15] source

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    • cites [16]

      Not checked in the free run.

  • Interpretationcitation

    The general opacity of interconnections between systems, coupled with the general lack of technical means for tracking data flow at such a scale, poses accountability issues.

    “The general opacity of the interconnections between systems, coupled with the general lack of technical means for tracking data flow at such a scale, therefore poses accountability issues, as it becomes difficult to discern the technical components involved, and then who is responsible for these [22], [23].”
    Quote in the paperSubstantial claim0 of 2 sources checked
    • cites [22] source

      Not checked in the free run.

    • cites [23] source

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    • Rests on an assumption: Data flows that drive interconnected systems are often invisible or opaque.
    • Rests on an assumption: Visibility over the nature and flow of data is lost once it moves beyond a technical or administrative boundary.
  • Interpretationreasoning

    Decisions and actions within an assemblage may propagate widely, making it difficult to trace the source and all consequential effects.

    “Moreover, decisions and actions somewhere within an assemblage might propagate widely, making it difficult to trace the source (organisational or technical) when concerns arise, and all the consequential (flow-on) effects.”
    Quote in the paperSubstantial claim
  • Interpretationreasoning

    Transparency facilitates control through intervention.

    “Transparency thus also facilitates control through intervention, where appropriate, so that where problems or potential issues have been identified within or resulting from a system, the designer or operator of the system can intervene (automatically or manually) to address them”
    Quote in the paperSubstantial claim
  • Interpretationreasoning

    Meeting data protection obligations may be difficult, and in some cases impossible, without some knowledge of the provenance of incoming and the path of outgoing data flows.

    “However, meeting these kinds of obligations may be difficult, and in some cases impossible, without some knowledge of the provenance of incoming and the path of outgoing data flows.”
    Quote in the paperSubstantial claim
  • May combine two claims. 27
  • Classified as probably not a substantial claim. 70
  • May combine two claims.

    Interpretationreasoning

    Decision provenance can help improve accountability by assisting oversight, empowerment, investigation, audit, and compliance.

    “As a result, decision provenance can help improve accountability by assisting oversight, empowerment, investigation, audit, and compliance.”
    Quote in the paperSubstantial claim
  • Probably not a substantial claim: may not pass S2 (checkable). May combine two claims.

    Premisereasoning

    Transparency is important for holding those responsible for systems to account, as it enables identification, audit, and oversight.

    “Transparency is important for holding those responsible for such systems to account, as it enables identification, audit, and oversight.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable), S4 (based).

    Interpretationreasoning

    Decision provenance will complement and support ongoing work focusing on accountability as it regards algorithmic decision-making.

    “We further outline the role of decision provenance in relation to ML as an illustrative case study, arguing that it will complement and support the ongoing work focusing on accountability as it regards algorithmic decision-making.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable).

    Interpretationnone given

    Technology will not itself solve accountability issues.

    “Technology will not itself 'solve' accountability issues”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable). May combine two claims.

    Interpretationcitation

    More information regarding the nature of systems could allow those building and deploying systems to improve their quality and identify points of failure, while empowering others by offering more insight into systems and data beyond their direct control.

    “Generally speaking, more information regarding the nature of systems could allow those building and deploying systems to improve their quality and to identify points of failure, while empowering others by offering more insight into the nature of the systems and data that is beyond their direct control [4], [22], [23].”
    Quote in the paperNot a substantial claim0 of 3 sources checked
    • cites [4]

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    • cites [22] source

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    • cites [23] source

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  • Probably not a substantial claim: may not pass S2 (checkable), S4 (based). May combine two claims.

    Interpretationreasoning

    Technical measures can assist in making systems more transparent, improving the accountability of responsible organisations and individuals, and assisting them in meeting their obligations.

    “Technical measures can assist in making systems more transparent, improving the accountability of the organisations and individuals responsible for them, and assisting them in meeting their obligations.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable), S4 (based).

    Interpretationreasoning

    Data provenance methods show much promise as a technical means for increasing the transparency of interconnected systems.

    “This paper argues that data provenance methods show much promise as a technical means for increasing the transparency of these interconnected systems.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable), S4 (based). May combine two claims.

    Interpretationreasoning

    Decision provenance can help facilitate oversight, audit, compliance, risk mitigation, and user empowerment in algorithmic systems.

    “We argue that decision provenance can help facilitate oversight, audit, compliance, risk mitigation, and user empowerment, and we also indicate the implementation considerations and areas for research necessary for realizing its vision.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable). May combine two claims.

    Interpretationreasoning

    Considerations of data flow and systems more broadly are important to discussions of accountability and complement attention to algorithmic specifics.

    “More generally, we make the case that considerations of data flow, and systems more broadly, are important to discussions of accountability, and complement the considerable attention already given to algorithmic specifics.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable), S4 (based). May combine two claims.

    Interpretationnone given

    Decision provenance can aid accountability by assisting regulatory oversight and technical investigation, facilitating compliance and recourse, increasing user agency, and contributing to better system design, operational management, and risk mitigation.

    “In this paper, we explore how this aids accountability through assisting in regulatory oversight and technical investigation, facilitating compliance and recourse, increasing user agency, and generally contributing to better system design, operational (run-time) management, and risk mitigation.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable).

    Interpretationreasoning

    Greater visibility over interconnections and assemblages of systems is important for increasing accountability for them.

    “From the above, we can see that greater visibility over the interrconnections and assemblages of systems is important for increasing accountability for them.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable), S4 (based).

    Interpretationnone given

    A highly interconnected context poses particular accountability challenges which to date have been underexplored.

    “However, a highly interconnected context poses particular accountability challenges which to date have been underexplored.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable).

    Interpretationreasoning

    Decision provenance helps expose decision pipelines to make visible the nature of inputs to and cascading consequences of any decision or action, alongside entities involved, systems-wide.

    “In this way, decision provenance helps expose the decision pipelines in order to make visible the nature of the inputs to and cascading consequences of any decision or action (at design/ or run-time), alongside the entities involved, systems-wide (e.g.see Fig. 2).”
    Quote in the paperNot a substantial claim
    • Rests on an assumption: The use of data provenance methods generally for systems-related accountability concerns has yet to be considered in depth.
  • Probably not a substantial claim: may not pass S4 (based).

    Interpretationnone given

    The lack of visibility over data flows in interconnected systems poses various challenges from a legal point of view.

    “Likewise, the lack of visibility over data flows in interconnected systems poses various challenges from a legal point of view.”
    Quote in the paperNot a substantial claim
    • Rests on an assumption: Visibility over the nature and flow of data is lost once it moves beyond a technical or administrative boundary.
  • Probably not a substantial claim: may not pass S2 (checkable), S4 (based).

    Interpretationnone given

    The complexity of interconnected environments poses significant challenges for accountability.

    “The complexity of such interconnected environments poses significant challenges for accountability.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable), S3 (load-bearing).

    Premisecitation

    At a technical level, accountability is grounded in transparency and control.

    “It is said that at a technical level, accountability is grounded in transparency and control [4], [13].”
    Quote in the paperNot a substantial claim0 of 2 sources checked
    • cites [4]

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    • cites [13] source

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  • Probably not a substantial claim: may not pass S2 (checkable).

    Interpretationreasoning

    There is a clear need for provenance methods for accountability concerns in interconnected systems.

    “Towards this, there appears a clear need for provenance methods, which concern recording information about the nature and flow of data and the contexts in which it is processed; however, their use for accountability concerns in such contexts have had little consideration.”
    Quote in the paperNot a substantial claim
    • Rests on an assumption: Data flows that drive interconnected systems are often invisible or opaque.
  • Probably not a substantial claim: may not pass S4 (based).

    Interpretationnone given

    Technical transparency might not itself address legal accountability concerns.

    “technical transparency might not itself address legal accountability concerns”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable).

    Interpretationreasoning

    There is real potential in applying data provenance methods as a means of working towards greater visibility over interconnections and assemblages of systems.

    “Given that data drives systems, there appears to be real potential in applying data provenance methods as a means of working towards this.”
    Quote in the paperNot a substantial claim
    • Rests on an assumption: The use of data provenance methods generally for systems-related accountability concerns has yet to be considered in depth.
  • Probably not a substantial claim: may not pass S2 (checkable), S3 (load-bearing). May combine two claims.

    Premisecitation

    In interconnected systems, data flow drives everything, integrating systems and bringing their functionality.

    “Importantly, in these interconnected systems data flow drives everything, in that the flow of data between, through, and across systems works to integrate them and brings their functionality [22].”
    Quote in the paperNot a substantial claim0 of 1 sources checked
    • cites [22] source

      Not checked in the free run.

  • Probably not a substantial claim: may not pass S2 (checkable).

    Interpretationreasoning

    Transparency providing knowledge of the nature of systems can help in evaluating correctness, bias, fairness, and whether systems operate within expected parameters.

    “transparency providing knowledge of the nature of systems can help in evaluating those aspects for correctness, bias, fairness, and whether they are operating within the parameters that are expected or desired by their designers, operators, or end-users”
    Quote in the paperNot a substantial claim
  • Classified as probably not a substantial claim.

    Interpretationreasoning

    Technology can provide tooling and information to assist and facilitate accountability.

    “however, technology can provide the tooling and information to assist and facilitate accountability, for example, by providing 'evidence' indicating what is happening, or by enabling constraints, responses, and rectifications.”
    Quote in the paperSubstantial claim
  • Probably not a substantial claim: may not pass S3 (load-bearing).

    Interpretationreasoning

    An interconnected system-of-systems poses practical implementation challenges given the requirement for the provenance regime to operate consistently throughout.

    “An interconnected system-of-systems -with its many moving parts -poses practical implementation challenges, given the requirement for the provenance regime to operate consistently throughout, as we now explore.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable). May combine two claims.

    Interpretationcitation

    Proactive measures could allow users to set policy that constrains particular information flows or keep users informed of changes in circumstance.

    “That said, proactive measures could also be employed to allow users to set policy that constrain particular information flows [22], or keep users informed of any change in circumstance.”
    Quote in the paperNot a substantial claim0 of 1 sources checked
    • cites [22] source

      Not checked in the free run.

  • Probably not a substantial claim: may not pass S2 (checkable), S4 (based).

    Interpretationreasoning

    Measures that help users make better-informed decisions about which systems they engage with may incentivise technology producers to improve their practices and align offerings with user expectations.

    “Measures that help users make better-informed decisions about which systems they engage with may also work to incentivise those producing and operating technology to improve their practices at all steps, and to help better align their offerings with user expectations and preferences.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable), S3 (load-bearing), S4 (based).

    Interpretationreasoning

    If data being passed into a live model comes from a recognisably different source than the data used to train the model, actions could be taken to prevent such processing.

    “For example, if data being passed into a live model comes from a recognisably different source (sampling distribution) than the data that was used to train the model, actions could be taken to prevent such processing.”
    Quote in the paperNot a substantial claim
  • May combine two claims.

    Interpretationreasoning

    Provenance will not solve all accountability challenges, but it assists by providing visibility in complex environments by exposing relations and dependencies where such visibility may not otherwise exist.

    “Naturally, provenance will not solve all accountability challenges, but it assists by providing visibility in complex environments by exposing the relations and dependencies where such visibility may not otherwise exist.”
    Quote in the paperSubstantial claim
  • Probably not a substantial claim: may not pass S2 (checkable), S4 (based).

    Interpretationnone given

    Knowledge of the nature of data flowing in, out and within a system can help systems designers and operators monitor, maintain and improve the quality of their systems on an ongoing basis.

    “Generally, knowledge of the nature of the data flowing in, out and within a system, in terms of where it has come from, where it goes, how it has and is being used, as well as the relevant environmental and computational contexts, can help systems designers and operators (manually or through automatic means) monitor, maintain and improve the quality of their systems on an ongoing basis.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S3 (load-bearing).

    Premisecitation

    The increasing popularity of ML risks non-domain experts unintentionally misusing datasets that are unsuitable in particular contexts.

    “the increasing popularity of ML risks those who are not domain experts unintentionally misusing datasets which are unsuitable in particular contexts [38]”
    Quote in the paperNot a substantial claim0 of 1 sources checked
    • cites [38] source

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  • Probably not a substantial claim: may not pass S2 (checkable).

    Interpretationreasoning

    For provenance to enable accountability, the consistency, visibility, and veracity of provenance information across a federated environment are crucial.

    “For provenance to enable accountability, crucial is the consistency, visibility, and veracity of provenance information across this federated environment.”
    Quote in the paperNot a substantial claim
  • Classified as probably not a substantial claim.

    Interpretationreasoning

    Decision provenance can offer preemptive advantages by allowing organisations greater control over how their data and services are subsequently used.

    “In this way, decision provenance can offer preemptive advantages, by allowing organisations to have greater control over how their data (that for which they have responsibilities) and services are subsequently used.”
    Quote in the paperSubstantial claim
  • Probably not a substantial claim: may not pass S3 (load-bearing).

    Premisenone given

    In an interconnected context, a training dataset may comprise data from a range of sources, including sensors, human input, system logs, data brokers, and outputs from calculations, analytics, or other ML models.

    “In an interconnected context, a training dataset may comprise data from a range of sources, including sensors, human input, system logs, data brokers, and so on, and can also include outputs from calculations, analytics, or indeed, other ML models ( §III).”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable), S3 (load-bearing), S4 (based). May combine two claims.

    Interpretationnone given

    Evidence of prior behaviour does not necessarily imply future behaviour will remain the same, but it can be indicative.

    “Of course, evidence of prior behaviour does not necessarily imply future behaviour will remain the same; however it can be indicative.”
    Quote in the paperNot a substantial claim
  • May combine two claims.

    Interpretationreasoning

    Exposing the decision pipeline can help identify steps behind leakage of personal or sensitive data and track cascading consequences of a particular event.

    “Exposing the decision pipeline can help in identifying aspects such as the steps behind the leakage of personal or otherwise sensitive data, and in tracking the cascading consequences of a particular (perhaps erroneous) event.”
    Quote in the paperSubstantial claim
  • Probably not a substantial claim: may not pass S3 (load-bearing).

    Premisecitation

    One categorisation of provenance mechanisms entails two categories: disclosed and observed provenance.

    “One categorisation of provenance mechanisms entails two categories [24]: disclosed and observed provenance.”
    Quote in the paperNot a substantial claim0 of 1 sources checked
    • cites [24] source

      Not checked in the free run.

  • Probably not a substantial claim: may not pass S2 (checkable), S3 (load-bearing), S4 (based). May combine two claims.

    Interpretationreasoning

    Enhanced means for governance could encourage collaboration and help tackle data silos.

    “Indeed, enhanced means for governance could encourage collaboration, and help in tackling data silos.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable).

    Interpretationreasoning

    In practice, exposing the decision pipeline will require several complementary capture regimes.

    “In practice, it is likely that exposing the decision pipeline will require several complementary capture regimes.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S3 (load-bearing).

    Interpretationreasoning

    Decision provenance methods are useful for organisations to help manage their own data supply chains.

    “Beyond regulators and oversight bodies, the same methods are useful for organisations to help in managing their own data 'supply chains'.”
    Quote in the paperNot a substantial claim
  • May combine two claims.

    Interpretationreasoning

    Where harm is caused by a failure in complex systems, decision provenance can help identify which system caused the harm, thereby helping identify the responsible and potentially liable organisation.

    “Where harm is caused by a failure, particularly in complex systems environments, decision provenance can help identify which system caused that harm, thereby helping to identify the organisation responsible and potentially liable for that harm and assisting in holding them to account.”
    Quote in the paperSubstantial claim
  • Probably not a substantial claim: may not pass S2 (checkable), S3 (load-bearing), S4 (based).

    Interpretationnone given

    Provenance information could inform model selection, where the lineage of data determines at run-time the appropriate model on which the data is applied.

    “As an example, provenance information could inform model selection: where the lineage of data determines (at runtime) the appropriate model on which the data is applied.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable).

    Interpretationreasoning

    The use of decision provenance techniques has much potential to aid the auditing and oversight activities of regulators.

    “The use of decision provenance techniques has much potential to aid the auditing and oversight activities of regulators, as provenance involves generating detailed information for assisting oversight that was previously unavailable.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable), S3 (load-bearing).

    Interpretationcitation

    The importance of technical audit and investigation concerns will only increase as IoT and smart cities become a reality.

    “The importance of such concerns will only increase as the visions of the IoT and smart cities become a reality, due to their complex and highly-interconnected nature and also their potential for emergent functionality and real-time reconfiguration [4], [22].”
    Quote in the paperNot a substantial claim0 of 2 sources checked
    • cites [4]

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    • cites [22] source

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  • Probably not a substantial claim: may not pass S2 (checkable).

    Interpretationreasoning

    Decision provenance complements ML-oriented work on algorithmic accountability by providing auditors with information of the wider practical context in which automated decision making processes were defined, built and operate, as a means for indicating where deeper investigations can take place.

    “As such, decision provenance complements the ML-oriented work on 'algorithmic accountability' (i.e. that focused on the decision-making elements), by providing auditors with information of the wider, practical context in which automated decision making processes were defined, built and operate, as a means for indicating where deeper (model-centric or other) investigations can then take place.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable).

    Interpretationreasoning

    Measures driven by provenance information could allow users to take action, such as exercise rights, complain to a regulator, or stop using the service.

    “Such measures, driven by provenance information, could allow users to take action, e.g.exercise their rights, complain to a regulator, stop using the service.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable), S4 (based).

    Interpretationreasoning

    The potential for provenance methods to allow one to see across systems and their interconnections can enable proactive steps to address problems before they arise.

    “The potential for provenance methods to allow one to 'see' across systems and their interconnections can also enable proactive steps to be taken in order to address problems before they arise.”
    Quote in the paperNot a substantial claim
  • May combine two claims.

    Interpretationreasoning

    Provenance can show the nature of training datasets; revealing the pipeline can allow greater knowledge of the sources of data and assist in assessing their veracity.

    “Provenance has a clear role to play in showing the nature of the training datasets, in that revealing the pipeline can allow for greater knowledge of the sources of data, assisting in assessing their veracity.”
    Quote in the paperSubstantial claim
  • Classified as probably not a substantial claim.

    Interpretationreasoning

    Decision provenance helps investigate complex and interconnected systems by exposing the data flow and interconnections leading up to a decision or action, and the entities involved.

    “As §IV describes, decision provenance helps investigate complex and interconnected systems by exposing the data flow and interconnections leading up to a decision or action, and the entities involved.”
    Quote in the paperSubstantial claim
  • Classified as probably not a substantial claim.

    Interpretationreasoning

    Once the decision pipeline has been used to identify the source or sources potentially related to an issue, auditors can narrow their focus and go into detail.

    “Once the decision pipeline has been used to identify the particular source(s) (technical components and/ or legal entities) potentially related to an issue, auditors can then narrow their focus and go into detail.”
    Quote in the paperSubstantial claim
  • Probably not a substantial claim: may not pass S3 (load-bearing).

    Premisecitation

    Observed provenance captures information by observing what occurs, for example by embedding the capture mechanism into the platform or infrastructure to capture data flows regarding applications running within that environment.

    “Observed provenance captures information by observing what occurs; for example, by embedding the capture mechanism into the platform/infrastructure (e.g. an operating system (OS)), to capture the data flows regarding the applications running within that environment [41]- [43].”
    Quote in the paperNot a substantial claim0 of 1 sources checked
    • cites [41]- [43]

      Not checked in the free run.

  • Probably not a substantial claim: may not pass S4 (based).

    Interpretationreasoning

    If a user could see in advance that giving data to a system could result in undesired decisions or flow to an undesired entity, this helps the user make a more informed choice about whether to use that system.

    “If a user could see in advance that giving data to a particular system could, for example, (a) result in certain decisions being made that have particular undesired consequences; or (b) flow to an undesired entity (such as a certain advertisement network), then this helps that user to make a more informed choice about whether to use (allow their data to flow into) that system.”
    Quote in the paperNot a substantial claim
  • Classified as probably not a substantial claim.

    Interpretationreasoning

    Knowledge of the nature of data flow between parties could make it possible to ensure and validate that data is processed compatibly with the contract governing that data flow or processing relationship.

    “For instance, where contractual obligations exist between entities, knowledge of the nature of data flow between parties could make it possible to ensure and validate that data is processed in a way compatible with the contract governing that data flow or processing relationship.”
    Quote in the paperSubstantial claim
  • Probably not a substantial claim: may not pass S2 (checkable), S4 (based).

    Interpretationnone given

    Many open challenges for decision provenance operating between systems and across boundaries stem from the scale, federation, and complexity of wide-scale distributed systems that encompass a range of technologies and organisations with different and possibly competing incentives.

    “In terms of decision provenance operating between systems and across boundaries, many of the open challenges predominately stem from the scale, federation, and complexity of what are effectively wide-scale distributed systems that can encompass a range of technologies, and also a number of organisations with different and possibly competing incentives.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable).

    Interpretationreasoning

    Decision provenance information could help users make better-informed decisions about the services they use.

    “Decision provenance information could help users make better-informed decisions about the services that they use.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S3 (load-bearing).

    Premisecitation

    It is increasingly recognised that ML practitioners should record information relating to datasets, such as motivation for creation, composition, collection, preprocessing, distribution, maintenance, and legal and ethical considerations.

    “It is increasingly recognised the importance for the ML practitioners, themselves, to record information relating to the datasets, such as their motivation for creation, composition, process of collection, preprocessing, distribution, maintenance, and legal and ethical considerations [38].”
    Quote in the paperNot a substantial claim0 of 1 sources checked
    • cites [38] source

      Not checked in the free run.

  • Probably not a substantial claim: may not pass S3 (load-bearing).

    Interpretationreasoning

    Rules could prevent a data subject's personal data being presented to an ML model at run-time unless they have chosen to allow solely automated decision making.

    “Further, rules could, for example, prevent a data subject's personal data being presented to a ML model -at run-time -unless they have chosen to allow solely automated decision making 20”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable).

    Interpretationreasoning

    Decision provenance can provide much information, perhaps complementing other records, for data and model assessment.

    “In this way, decision provenance can provide much information, perhaps complementing other records, for data and model assessment.”
    Quote in the paperNot a substantial claim
  • May combine two claims.

    Premisecitation

    A general observed capture mechanism is comparatively less-targeted and raises serious overhead considerations given the propensity for the volume of recorded information to be extremely large and complex.

    “However, a general observed capture mechanism is comparatively less-targeted, and raises serious overhead considerations given the propensity for the volume of the recorded information to be extremely large and complex [44].”
    Quote in the paperSubstantial claim0 of 1 sources checked
    • cites [44]

      Not checked in the free run.

  • Probably not a substantial claim: may not pass S2 (checkable).

    Interpretationnone given

    Decision provenance involves technical means for collecting information relating to data and models, potentially including the computational contexts in which models were constructed, throughout a data supply chain.

    “decision provenance involves technical means for collecting information relating to data and models, potentially including the computational contexts in which models were constructed, right throughout a data supply chain.”
    Quote in the paperNot a substantial claim
  • Classified as probably not a substantial claim. May combine two claims.

    Premisecitation

    Although provenance has been considered for some specific compliance aspects, the broader accountability considerations have yet to be explored in depth.

    “Though, as mentioned, provenance has been considered for some specific compliance aspects (see for e.g.[22], [23], [27]- [29]), the broader accountability considerations have yet to be explored in depth.”
    Quote in the paperSubstantial claim0 of 3 sources checked
    • cites [22] source

      Not checked in the free run.

    • cites [23] source

      Not checked in the free run.

    • cites [27]- [29]

      Not checked in the free run.

  • Probably not a substantial claim: may not pass S4 (based).

    Interpretationreasoning

    By capturing the provenance and nature of model inputs and the decision itself, decision provenance could be used to detect conflicts and uphold compliance at run-time.

    “By capturing the provenance and nature of the model inputs and the decision itself (i.e. the model outputs), decision provenance could be used to detect conflicts and uphold compliance at run-time.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable), S3 (load-bearing).

    Interpretationreasoning

    Given that provenance information may be relevant for different audiences, there may be a need for various tools and extensions to assist.

    “Given that provenance information may be relevant for different audiences, there may be a need for various tools and extensions to assist.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable). May combine two claims.

    Interpretationreasoning

    Decision provenance will not itself solve all the complexities of increasingly interconnected systems; rather it provides visibility over the relations and dependencies of such systems where such visibility may not otherwise exist.

    “Decision provenance won't itself solve all the complexities of increasingly interconnected systems, rather it provides visibility over the relations and dependencies of such systems where such visibility may not otherwise exist.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable), S3 (load-bearing), S4 (based).

    Interpretationnone given

    Means for increasing accountability in a systems-of-systems context will only increase in importance as visions of pervasive computing such as smart cities, the Internet of Things, and autonomous transport systems become a reality.

    “Indeed, means for increasing accountability in a systems-ofsystems context will only increase in importance as visions of pervasive computing: smart cities, the Internet of Things, autonomous transport systems, etc., become a reality.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable). May combine two claims.

    Interpretationreasoning

    Exposing information of the contexts and nature of data flow, and the broader decision pipeline, is important, relevant and complements other accountability work that focuses on the decision-making elements.

    “In all, our wider goal is to highlight and raise awareness that exposing information of the contexts and nature of data flow, and the broader decision pipeline, is important, relevant and complements other accountability work that focuses on the decision-making elements (e.g.ML models).”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable), S4 (based).

    Interpretationnone given

    In a systems context, it is important that there is a common representation of provenance data so that it can be widely understood and interoperate system-wide.

    “In a systems context, it is important that there is a common representation of provenance data so that it can be widely understood and interoperate system-wide.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable), S4 (based). May combine two claims.

    Interpretationreasoning

    Since data-driven assemblages tend to be opaque, there is a pressing need to expose the nature and flow of data leading to, and resulting from, a decision or action to help raise accountability in interconnected environments.

    “Since these data-driven assemblages tend to be opaque, there is a pressing need to expose the nature and flow of data leading to, and resulting from, a decision or action to help raise levels accountability in interconnected environments.”
    Quote in the paperNot a substantial claim
    • Rests on an assumption: Data-driven assemblages tend to be opaque.
  • Probably not a substantial claim: may not pass S3 (load-bearing). May combine two claims.

    Premisenone given

    The W3C PROV standard provides an extensible mechanism for modelling provenance data, while ontologies provide the means for describing what has been captured.

    “The W3C PROV 25 standard provides an extensible 26 mechanism for modelling provenance data, while ontologies (description vocabularies) provide the means for describing what has been captured.”
    Quote in the paperNot a substantial claim
  • May combine two claims.

    Premisecitation

    The security of and access to provenance data raises accountability questions, given that it may itself be sensitive or come with various legal obligations, particularly in a cross-organisational context.

    “Further, the security of, and access to the provenance data itself raises accountability questions, given that, as information about data, systems and processing, it may itself be sensitive [23], or come with various legal obligations -particularly in a cross-organisational context.”
    Quote in the paperSubstantial claim0 of 1 sources checked
    • cites [23] source

      Not checked in the free run.

  • Probably not a substantial claim: may not pass S2 (checkable), S3 (load-bearing), S4 (based).

    Interpretationnone given

    Data retention considerations are particularly important if provenance data serves as evidence supporting investigations or other accountability processes.

    “Data retention considerations are particularly important if serving as 'evidence' supporting investigations or other accountability processes.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable), S3 (load-bearing). May combine two claims.

    Interpretationreasoning

    Provenance data captured may be difficult to interpret for some, for instance non-technical users, and those seeking to interact with such data may not be familiar with the nature of the systems involved.

    “This means that the provenance data captured may be difficult to interpret for some -for instance, making sense of data representing different levels of the technical stack/abstraction may be beyond the expertise of non-technical users -and, further, those seeking to interact with such data may not be familiar with the nature of the systems involved.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable). May combine two claims.

    Interpretationcitation

    There is a clear requirement for means that assure and ensure the integrity of the capture regime, recorded data, query mechanism, and other compliance mechanisms, and maintain that integrity throughout any pipeline.

    “In all, there is a clear requirement for means that assure and ensure the integrity of the capture regime, recorded data, the query mechanism, and any other compliance mechanisms (such as policy enforcement regimes) that leverage provenance data, and also to ensure that this integrity is maintained throughout any pipeline [22], [23], [48].”
    Quote in the paperNot a substantial claim0 of 3 sources checked
    • cites [22] source

      Not checked in the free run.

    • cites [23] source

      Not checked in the free run.

    • cites [48]

      Not checked in the free run.

  • Probably not a substantial claim: may not pass S2 (checkable), S4 (based).

    Premisenone given

    For provenance information to be useful, it must be reliable.

    “For provenance information to be useful, it must be reliable.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable). May combine two claims.

    Interpretationreasoning

    Standards, guarantees and best practices regarding capture mechanisms will be important for increasing completeness in provenance records, for reconciliation and interoperability, and for enabling provenance at scale.

    “These will be important for increasing levels of completeness in provenance records, including the reconciliation and interoperability just mentioned, and more generally, to enable provenance at scale.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S3 (load-bearing). May combine two claims.

    Interpretationreasoning

    Concerns about interpreting provenance data are exacerbated in a large-scale systems context and are problematic where accountability is the aim.

    “Such concerns are exacerbated in a large-scale systems context, and are problematic where accountability is the aim.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable), S3 (load-bearing).

    Interpretationreasoning

    There is a clear opportunity for human computer interaction research to assist in ensuring that decision provenance approaches enable a representation that assists end-users regarding their accountability concerns.

    “There is a clear opportunity for human computer interaction (HCI) research to assist in ensuring that decision provenance approaches enable a representation that assists end-users regarding their accountability concerns.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable). May combine two claims.

    Interpretationreasoning

    Decision provenance offers much potential for assisting with issues of responsibility, technical compliance, and improved user agency in systems.

    “We therefore propose decision provenance as an important piece of this accountability 'jigsaw', offering much potential for assisting with issues of responsibility, technical compliance, and improved user agency in systems.”
    Quote in the paperNot a substantial claim
  • Probably not a substantial claim: may not pass S2 (checkable), S3 (load-bearing), S4 (based).

    Interpretationnone given

    The storage requirements and possible sensitivity of provenance data tend towards such information being federated across organisations.

    “The storage requirements and possible sensitivity of provenance data tends towards such information being federated across organisations.”
    Quote in the paperNot a substantial claim
77 of 77
  • The paper relies on this without support.

    Data flows that drive interconnected systems are often invisible or opaque.

    “Importantly, the data flows that drive these interconnected systems are often invisible or opaque.”
  • The paper relies on this without support.

    Visibility over the nature and flow of data is lost once it moves beyond a technical or administrative boundary.

    “However, in most cases the visibility over the nature and flow of data is lost once it moves beyond a particular boundary, whether that is technical (e.g. between software components and services) or administrative (e.g. between organisations or jurisdictions).”
  • The paper relies on this without support.

    The use of data provenance methods generally for systems-related accountability concerns has yet to be considered in depth.

    “However, the use of data provenance methods generally for systems-related accountability concerns, as detailed above, has yet to be considered in depth.”
  • The paper relies on this without support.

    The complexity of interconnected systems-of-systems is set to increase.

    “The complexity of these systems-of-systems is set to increase as more and more advanced technologies are developed, deployed, interconnected, and automated, by a range of entities.”
  • The paper relies on this without support.

    Demand for more accountability for technologies will likely grow.

    “This demand will likely grow as technology increasingly pervades society, particularly as visions such as of smart-cities and of the Internet of Things (IoT) come to be realised.”
  • The paper relies on this without support.

    ML models are built on data and therefore reflect the nature of that data.

    “Machine learning models are built (trained) on data, and therefore reflect the nature of that data.”
  • The paper relies on this without support.

    Data-driven assemblages tend to be opaque.

    “Since these data-driven assemblages tend to be opaque”
7 of 7

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?

  • Meaningful accountability requires a view of the whole socio-technical process, from commissioning of the system; through design of the model, selection of training data, and training and testing procedures; to making individual decisions; and on to the effects of those decisions and any subsequent investigations.

    “Meaningful accountability thus requires a view of the whole socio-technical process [2,43,66,75], from commissioning of the system; through design of the model, selection of training data, and training and testing procedures; to making individual decisions; and on to the effects of those decisions and any subsequent investigations.”

    From Reviewable Automated Decision-Making: A Framework for Accountable Algorithmic Systems (2021) · cites this paper as [66]

    Section II (Accountability) and section VII (Concluding Remarks) support looking beyond an individual model to the people, organisations, data flows, decisions and effects involved. Sections V-A (Assisting Training and Design) and V-C (Points for Investigation) also address training data, model construction and later investigation. The paper does not clearly extend that account to commissioning the system or to training and testing procedures as distinct stages, so it supports much, but not all, of the stated sequence. (LLM, conf=0.82)

    Experimental — accuracy not yet measured
  • Models are only one aspect of ADM and cannot by themselves provide accounts of the process as a whole, whether to technical, legal, or other forums.

    “Models are only one aspect of ADM and cannot by themselves provide accounts of the process as a whole [66], whether to technical, legal, or other forums.”
  • Records of cascading consequences are important for better understanding the broader impacts and flow-on effects of decisions.

    “Records of these are therefore important for better understanding the broader impacts and flow-on effects of decisions (see [66]).”
  • Reviewable systems may not capture interactions with other socio-technical processes, which form part of wider, complex, interconnected systems.

    “They may not capture interactions with other socio-technical processes, which form part of wider, complex, interconnected systems (although other mechanisms, such as decision provenance [66] could assist here).”
  • The proposed Algorithmic Accountability Act and EU AI Act do not properly account for the data-driven supply chain dimension that AI services bring.

    “While the increased legal and regulatory focus on fairness and bias concerns is welcome, neither the proposed Algorithmic Accountability Act in the US nor the EU's proposed AI Act properly account for the data-driven 'supply chain' [28,139] dimension that AI services bring.”

The citation lists haven’t been fetched yet

References 59 · Cited by 110

Research works printed but not linked: 5

  1. 2018, How to Prevent Discriminatory Outcomes in Machine Learning
  2. 2017, Proposal for a Regulation of the European Parliament and of the Council Concerning the Respect for Private Life and the Protection of Personal Data in Electronic Communications and Repealing Directive 2002/58/EC (Regulation on Privacy and Electronic Communications), 1
  3. 2015, Smart Cities How Rapid Advances in Technology are Reshaping our Economy and Society
  4. kroll, 2017, Accountable algorithms, Univ of Pennsylvania Law Rev, 165, 633
  5. 2016, Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data and repealing Directive 95/46/EC (General Data Protection Regulation), 1

Authors
Singh, J., Cobbe, J., & Norval, C.
Affiliations
University of Cambridge (GB)
Venue
IEEE Access
Published
2019
Volume
7
Pages
6562-6574
ISSN
2169-3536 (ISSN-L)
OpenAlex
W2796571581
Cited by
110
References
59
Citations by year
2026: 19 · 2025: 17 · 2024: 6 · 2023: 10 · 2022: 16 · 2021: 12 · 2020: 18 · 2019: 8 · 2018: 4
FWCI
20.88
Type
journal article
Language
en
Open access
Locations
  • IEEE Access (publishedVersion, cc-by)
  • arXiv (Cornell University) (submittedVersion)
  • Apollo (University of Cambridge) (submittedVersion, cc-by)
  • Aberdeen University Research Archive (Aberdeen University) (submittedVersion)
  • DOAJ (DOAJ: Directory of Open Access Journals) (submittedVersion, cc-by-sa)
  • arXiv (Cornell University)
  • Apollo (cc-by)
Funders
  • Engineering and Physical Sciences Research Council (EP/P024394/1, EP/R033501/1)
  • Microsoft
Topics
  • Social Sciences › Safety Research › Ethics and Social Impacts of AI
  • Physical Sciences › Computer Science › Artificial Intelligence › Explainable Artificial Intelligence (XAI)
  • Social Sciences › Law › Digitalization, Law, and Regulation
Keywords
decision provenance, data provenance, algorithmic accountability, algorithmic systems, automated decision-making, transparency, compliance, risk mitigation, user empowerment, systems of systems, data flow

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.

Claims read by deepseek-v4.1-flash under definition version 3 (extract-v3) on 2026-10-09.

Classified by jev-1.13-20260917 (gold-guideline-v0.2) on 2026-10-09.

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