Discrimination and Privacy in the Information Society: Data Mining and Profiling in Large Databases

369 Pages·2013·3.423 MB·English

by  Bart Custers (auth.), Bart Custers, Toon Calders, Bart Schermer, Tal Zarsky (eds.)

Studies in Applied Philosophy,
Epistemology and Rational Ethics 3
Editor-in-Chief
Prof.Dr.LorenzoMagnani
DepartmentofArtsandHumanities
PhilosophySection
UniversityofPavia
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Prof.AtochaAliseda
InstitutodeInvestigacionesFilosoficas,UniversidadNacionalAutónomadeMéxico(UNAM),
CiudadUniversitaria,Coyoacan,04510,Mexico,D.F.
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Prof.ChrisSinha
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Prof.PaulThagard
DepartmentofPhilosophy,FacultyofArts,WaterlooUniversity,Waterloo,Ontario,
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Forfurthervolumes:
http://www.springer.com/series/10087
Bart Custers, Toon Calders, Bart Schermer,
and Tal Zarsky (Eds.)
Discrimination and Privacy
in the Information Society
Data Mining and Profiling
in Large Databases
ABC
Editors
Dr.BartCusters(leadeditor) Dr.BartSchermer
FacultyofLaw FacultyofLaw
LeidenUniversity LeidenUniversity
Leiden Leiden
TheNetherlands TheNetherlands
Dr.ToonCalders Dr.TalZarsky
FacultyofMathandComputerScience FacultyofLaw
EindhovenUniversityofTechnology HaifaUniversity
Eindhoven Haifa
TheNetherlands Israel
ISSN2192-6255 e-ISSN2192-6263
ISBN978-3-642-30486-6 e-ISBN978-3-642-30487-3
DOI10.1007/978-3-642-30487-3
SpringerHeidelbergNewYorkDordrechtLondon
LibraryofCongressControlNumber:2012938581
(cid:2)c Springer-VerlagBerlinHeidelberg2013
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Acknowledgements
Astheeditorsofthisbook,wewouldliketothanktheNetherlandsOrganizationfor
ScientificResearch(NWO)forfundingtheresearchprojectonwhichalargepartof
thisbookwasbased.
Furthermore, we would like to thank all the reviewers that contributed to this
book. In alphabetical order, these are: Michael Birnhack, Paul De Hert, Arno
Knobbe, Alan Miller, Rutger Rienks, Jan Kees Schakel, Elisabeth Thole, Susan
Van Den Braak, Bart Van Der Sloot, Sicco Verwer, Jilles Vreeken, Ran Wolff,
AlbrechtZimmerman,IndreZliobaite, Frederik ZuiderveenBorgesiusand Gerrit-
JanZwenne.
Also many thanks to the members of our valorization panel, who provided us
with welcome comments and enthusiastic support: Ron Boelsma, Sunil Choenni,
Tineke Cleiren, Paul De Bra, Renzo Ghianni, Heike Goudriaan, Jeannette Quast,
RutgerRienks,AernoutSchmidt,MineTemu¨rhanandClaartjeThijs.
Finally, we would like to thank Lorenzo Magnani, editor of the book series of
whichthisbookispart,andLeontinaDiCeccofromSpringerVerlagfortheirsup-
portingettingourworkpublished.
Contents
PartI:OpportunitiesofDataMiningandProfiling
1 DataDilemmasintheInformationSociety:Introductionand
Overview ................................................. 3
BartCusters
2 WhatIsDataMiningandHowDoesItWork? .................. 27
ToonCalders,BartCusters
3 Why Unbiased Computational Processes Can Lead to
DiscriminativeDecisionProcedures ........................... 43
ToonCalders,Indre˙ Zˇliobaite˙
PartII:PossibleDiscriminationandPrivacyIssues
4 A Comparative Analysis of Anti-Discrimination and Data
ProtectionLegislations...................................... 61
Raphae¨lGellert,KatjadeVries,PauldeHert,SergeGutwirth
5 TheDiscoveryofDiscrimination.............................. 91
DinoPedreschi,SalvatoreRuggieri,FrancoTurini
6 Discrimination Data Analysis: A Multi-disciplinary
Bibliography .............................................. 109
AndreaRomei,SalvatoreRuggieri
7 RisksofProfilingandtheLimitsofDataProtectionLaw ......... 137
BartSchermer
PartIII:PracticalApplications
8 Explainable and Non-explainable Discrimination in
Classification .............................................. 155
FaisalKamiran,Indre˙ Zˇliobaite˙
VIII Contents
9 Knowledge-BasedPolicing:AugmentingRealitywithRespectfor
Privacy ................................................... 171
Jan-KeesSchakel,RutgerRienks,ReinierRuissen
10 CombiningandAnalyzingJudicialDatabases................... 191
SusanvandenBraak,SunilChoenni,SiccoVerwer
PartIV:SolutionsinCode
11 Privacy-PreservingData Mining Techniques: Survey and
Challenges ................................................ 209
StanMatwin
12 TechniquesforDiscrimination-FreePredictiveModels ........... 223
FaisalKamiran,ToonCalders,MykolaPechenizkiy
13 DirectandIndirectDiscriminationPreventionMethods .......... 241
SaraHajian,JosepDomingo-Ferrer
14 IntroducingPositiveDiscriminationinPredictiveModels ......... 255
SiccoVerwer,ToonCalders
PartV:SolutionsinLaw,NormsandtheMarket
15 FromDataMinimizationtoDataMinimummization ............. 273
BartvanderSloot
16 Quality of Information, the Right to Oblivion and Digital
Reputation................................................ 289
GiusellaFinocchiaro,AnnaritaRicci
17 TransparencyinDataMining:FromTheorytoPractice.......... 301
TalZarsky
18 Data Mining as Search: Theoretical Insights and Policy
Responses................................................. 325
TalZarsky
PartVI:ConciseConclusions
19 TheWayForward.......................................... 341
BartCusters,ToonCalders,TalZarsky,BartSchermer
AuthorIndex ..................................................... 359
SubjectIndex ..................................................... 361
Authors
Toon Calders graduated in 1999 from the University of Antwerp with a MSc in
Mathematics.HereceivedhisPhDinComputerSciencefromthesameuniversityin
May2003,inthedatabaseresearchgroupADReM.FromMay2003untilSeptember
2006, he continued working in the ADReM group as a post-doctoral researcher.
SinceOctober2006,heisanassistantprofessorintheInformationSystemsgroup
at the EindhovenTechnicalUniversity. His main area of expertise is data mining.
Toon Calderspublishedover 70 paperson data mining in conferenceproceedings
andjournals,wasconferencechairoftheBNAIC2009andEDM2011conferences,
andisamemberoftheeditorialboardoftheSpringerDataMiningjournalandArea
EditorfortheInformationSystemsjournal.
SunilChoenniholdsaPhDindatabasetechnologyfromtheUniversityofTwente
and a MSc in theoretical computer science from Delft University of Technol-
ogy. Currently, he is heading the department of Statistical Information Manage-
mentandPolicyAnalysisoftheResearchandDocumentationCentre(WODC) of
theDutchMinistryofSecurityandJusticeandisaprofessorofhumancenteredICT
at the Schoolfor Communication,Media and InformationTechnology,Rotterdam
University of Applied Sciences in Rotterdam. His research interests include data
warehousesanddatamining,databases,e-government,andhumancentereddesign.
Hepublishedseveralpapersinthesefields.
Bart Custers PhD MSc LLB is research managerateLaw, the Centre for Law in
theInformationSocietyatLeidenUniversity,the Netherlands.With a background
inbothlawandphysics,hisresearchisfocusedondiscriminationandprivacyissues
ofnewtechnologies,particularlydataminingandprofiling.
In2004dr.Custerspublishedthebook“ThePowerofKnowledge”onthetech-
nological,legal and ethical effects of data mining and risk profiling.On a regular
basishe giveslecturesonprofilingandprivacyissues ofnewtechnologicaldevel-
opments. He presented his work at internationalconferencesin the United States,
China,Japan,theUnitedKingdom,Portugal,LithuaniaandMalaysia.Hehaspub-
lishedhiswork,over60publications,inbothscientificjournalsandnewspapers.
X Authors
Dr. Custers is also projectleaderTechnologyin Policing atthe Ministry of Se-
curityandJusticeintheNetherlands.Hisworkisfocusedontechnologiesthatmay
contributetolawenforcement,criminalinvestigationandprosecution.Examplesof
suchtechnologiesareAutomaticNumberPlateRecognition(ANPR),wiretapping,
fingerprints,forensicDNA research,databasecoupling,dataminingandprofiling,
camerasurveillanceand networkanalyses. Currently,his team is investigatingthe
effectivenessofnewtechnologiesinpolicingandperformingprivacyimpactassess-
mentsfortheseapplications.
As a former consultant dr. Custers worked for banks (tracing terrorist funds),
insurance companies (tracing fraud), for the Dutch Customs (profiling transports
and detecting suspiciouscargo),for the Dutch Ministry of the Interior(privacyin
thecriminallawchain)andlocalgovernments.
Paul De Hert is an international fundamentalrights expert, with work on human
rightsandcriminallaw,constitutionalismandtheimpactoftechnologyonlaw.He
isinterestedbothinlegalpracticeandmorefundamentalreflectionsaboutlaw.
AttheVrijeUniversiteitBrussel(VUB),PaulDeHertholdsthechairof‘Inter-
national,EuropeanandBelgianCriminalLaw’and‘TheHistoryofConstitutional-
ism’.Inthepasthehastaught‘HumanRights’,‘Legaltheory’and‘Constitutional
criminal law’. He is Director of the Research Group on Fundamental Rights and
Constitutionalism (FRC), Director of the Department of Interdisciplinary Studies
of Law (Metajuridics) and a core member of the Research Group Law Science
Technology & Society (LSTS). He is an associated-professor at Tilburg Univer-
sity whereheteaches“PrivacyandDataProtection”atMasterlevelatthe Tilburg
InstituteofLaw,Technology,andSociety(TILT).
Heismemberoftheeditorialboardsofseveralnationalandinternationalscien-
tific journals, including the Inter-American and European Human Rights Journal
(Intersentia), Criminal Law & Philosophy (Springer) and The Computer Law &
Security Review(Elsevier).He is co-editorin chief ofthe SupranationalCriminal
Law Series (Intersentia) and the New Journal of European Criminal Law (Inter-
sentia). He is editor in chief of the Flemish human rights journal Tijdschrift voor
Mensenrechten.
KatjadeVriesisaPh.D.studentattheCentreforLaw,Science,Technology,and
Society (Vrije Universiteit Brussel). Her Ph.D. research is focused on the colli-
sions and interactions between legal and technological modes of thinking. More
in particular she studies probabilistic understandings of rationality and equality,
andthedifferencesandcontinuitiesbetweentheirfunctioningwithinadvanceddata
technologies and within the legal semantics of privacy, data protection and anti-
discriminationlaw.
DeVriespublishesonawiderangeoftopicssuchastechnology-mediatediden-
tityconstruction;Foucault’stechnologiesoftheself;AmbientIntelligence;thecon-
tinuity between cybernetics and current algorithmic personalization technologies;
thecaselaw,practicesandpoliticaldebateswithregardtoonlinesearchesanddata
retention;theroleofproportionalityinprivacylaw;enlightenedwaysofrelatingto
digitalspaceslikeSecondLife;legalsemioticsandLatour’sempirical-philosophical
Authors XI
wayofstudyingthemodeofenunciationoflaw.In2011sheco-organizedaPhilo-
sophicalReadingPanelon“PrivacyandDueProcessAftertheComputationalTurn”
(CPDP-conference,Brussels).SheisamemberoftheEuropean“LivinginSurveil-
lanceSocieties”-network.
De Vries studied at Sciences Po in Paris, obtained three masters degrees with
distinctionatLeidenUniversity(CivilLaw,CognitivePsychologyandPhilosophy)
andgraduatedin 2007atOxfordUniversity(MagisterJuris).She hasbeena tutor
inRomanLawandthehistoryofPsychology.
Josep Domingo-Ferrer is a Full Professor of Computer Science and an ICREA-
Acade`mia Researcher at Universitat Rovira i Virgili, Tarragona, Catalonia, where
he holds the UNESCO Chair in Data Privacy. He received his M.Sc. and Ph.D.
dereesinComputerSciencefromtheAutonomousUniversityofBarcelonain1988
and1991(OutstandingGraduationAward).HealsoholdsanM.Sc.inMathematics.
Hisresearchinterestsareindataprivacy,datasecurity,statisticaldisclosurecontrol
and cryptographic protocols, with a focus on the conciliation of privacy, security
andfunctionality.
He isa Fellow ofIEEE.He wonthe1stEditionofthe ICREA Acade`miaPrize
2008awardedbytheGovernmentofCatalonia,whichdistinguishedhimasoneof
thestrongest40facultymembersinpublicCatalanuniversitiesasfarasresearchis
concerned.Between2007and2008,hewasaco-recipientoffourentrepreneurship
prizes.In2004and2003,hereceivedtworesearchprizes.Hehasauthored3patents
and over 280 publications. He has been the coordinator of EU FP5 project CO-
ORTHOGONALandofseveralSpanishfundedandU.S.fundedresearchprojects.
Hecurrentlyco-ordinatestheCONSOLIDER“ARES”teamonsecurityandprivacy,
oneofSpain’s34strongestresearchteams.Hehaschaired12internationalconfer-
encesandhasservedintheprogramcommitteeofover140conferencesonprivacy
andsecurity.Heisaco-Editor-in-Chiefof“TransactionsonDataPrivacy”,anArea
Editorof“ComputerCommunications”,andanAssociateEditorofthe“Journalof
OfficialStatistics”.HehasheldvisitingappointmentsinRome,Leuven,Princeton,
MunichandMilwaukee.
GiusellaFinocchiaroisfullprofessorofInternetLawandPrivateLawattheUni-
versity of Bologna. She was a member of the special National Commission on
CopyrightandNewTechnologies,whichispartofthePermanentConsultingCom-
mittee on Copyright constituted by the Ministry of Cultural Heritage and Activi-
ties.SheistheItaliancorrespondentforvariousEUCommissionprojects.Sheisa
past memberoftheENISA(EuropeanNetworkandInformationSecurityAgency)
“PermanentStakeholdersGroup”(2008-2010)andoftheENISA“WorkingGroup
onPrivacyandTechnology”.SheisaformermemberofUNCITRAL(TheUnited
Nations Commission on InternationalTrade Law) as an expert on legal issues re-
garding the digital electronic signature. In 2011, she has been designated as the
ItalianrepresentativeatUNCITRALWorkingGrouponelectroniccommerce.She
is a current member of the international group of expert for the “Accountability-
Based Privacy Governance” project of the Centre for Information Policy Lead-
ership with the collaboration of the European Data Protection Commissioners
XII Authors
(2008-2012). Prof. Finocchiaro is the author of many publications in the field of
ComputerlawandInternetlaw.
Raphae¨l Gellert is a Ph.D. student at the Centre for Law, Science, Technology,
and Society (Vrije Universiteit Brussel). His PhD research focuses on privacy,
data protection, and human rights theory in general. More particularly, he is un-
dertakingananalysisofprivacyimpactassessments,focusingontheirgovernance,
orontheconsequencesofinfusingriskthinkingfortheprotectionofprivacy.Ad-
ditionally,thisresearchisfuelledbythemutualinteractionsbetweenlawandtech-
nology.
Raphae¨lGellert haspublishedon conceptualizationof privacyanddata protec-
tion,proportionalityinthecase-lawofthe EuropeanCourtofHumanRights,pre-
caution,equalityandnon-discrimination,ortheprincipleofaccountabilityinsuch
reviewsastheRevuebelgededroitinternational,IEEETechnology&SocietyMag-
azine,ortheInternationalReviewofLaw,ComputingandTechnology.Hewillbea
memberofthejuryoftheBelgian2012“BigBrotherAwards”.
Raphae¨lGellertstudiedLawattheUniversite´LibredeBruxelles(2008)withdis-
tinction.In2009hegraduatedfromtheEuropeanMaster’sDegreeinHumanRights
and Democratization with great distinction (Venice, Helsinki). He has worked
fortheEuropeanParliament’ssub-committeeonhumanrights.
SergeGutwirthisaprofessorofhumanrights,legaltheory,comparativelawandle-
galresearchattheFacultyofLawandCriminologyoftheVrijeUniversiteitBrussel
(VUB),wherehestudiedlaw,criminologyandalsoobtainedapost-graduatedegree
in technologyand science studies. Until 2010 he also held a part-timeposition of
lecturerattheFacultyoflawoftheErasmusUniversityRotterdamwherehetaught
philosophyoflaw.SinceOctober2003Gutwirthisholderofa10yearresearchfel-
lowshipintheframeworkoftheVUB-Researchcontingentforhisproject‘Sciences
andthedemocraticconstitutionalstate:amutualtransformationprocess’.
Gutwirth foundedand still chairsthe VUB-Research groupLaw Science Tech-
nology&Society.HepublisheswidelyinDutchFrenchandEnglishandparticipates
(inter)nationalandinterdisciplinaryresearchprojects(FP6,FP7).Gutwirthhasbeen
(co-)promoterof8publiclydefendedPhD’sandhehasoftenbeeninvitedtobean
externalmemberofPhD-juriesinotheruniversitiesinBelgiumandabroad.Heisa
memberofseveraleditorialboardsofscientificjournals.
Currently,SergeGutwirthisparticularlyinterestedbothintechnicallegalissues
raised by technology (particularly in the field of data protection and privacy) and
inmoregenericissuesrelatedtothearticulationoflaw,sciences,technologiesand
societies.
SaraHajianisaPhDstudentofComputerScienceatUniversitatRoviraiVirgili,
Tarragona,Catalonia,wheresheisamemberofCRISESResearchGroupandisalso
affiliatedwith theUNESCO ChairinDataPrivacy.ShereceivedherM.Sc.degree
in Computer Science from Iran University of Science and Technology (IUST) in
2008.ShealsohadbeenamemberofAPA-IUTcert,anacademicresearchandde-
velopmentcenterintheareaofNetworkSecurityVulnerabilitiesandIncidentHan-
dling(2008-2010).Herresearchinterestsare dataprivacy,privacypreservingdata