Software Agents, Surveillance, and the Right to Privacy : a Legislative Framework for Agent-enabled Surveillance

254 Pages·2007·0.65 MB·English

by  Bart Willem Schermer

Software agents, surveillance,
and the right to privacy:
a legislative framework for
agent-enabled surveillance
PROEFSCHRIFT
ter verkrijging van
de graad van Doctor aan de Universiteit Leiden,
op gezag van de Rector Magnificus prof. mr. P.F. van der Heijden,
volgens besluit van het College voor Promoties
te verdedigen op woensdag 9 mei 2007
klokke 15.00 uur
door
Bart Willem Schermer
geboren te Alkmaar in 1978
SIKS dissertation series no. 2007-05
Theresearchreportedinthisthesishasbeencarriedoutundertheauspices
ofSIKS,theDutchResearchSchoolforInformationandKnowledgeSystems
Lay-out: Anne-Marie Krens – Tekstbeeld – Oegstgeest
Leiden University Press is an imprint of Amsterdam University Press
© B.W. Schermer / Leiden University Press, 2007
ISBN 978 90 8728 021 5
BehoudensdeinofkrachtensdeAuteurswetvan1912gesteldeuitzonderingenmagnietsuitdezeuitgave
wordenverveelvoudigd,opgeslagenineengeautomatiseerdgegevensbestand,ofopenbaargemaakt,inenige
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2130KBHoofddorp,www.cedar.nl/pro).
Nopartofthisbookmaybereproducedinanyform,byprint,photoprint,microfilmoranyothermeanswithout
writtenpermissionfromthepublisher.
Preface
TowritethisthesisIusedanApplelaptopcomputerthatgavemeaccessto
a variety of cognitive tools such as a word processor, a PDF reader, and the
internet.AmeretwentyyearsagoIwouldnothavehadthebenefitofthese
technologies,eitherbecausetheydidnotexist,orbecausetheywerenotyet
readyformassadoption.Tomethisillustrateshowfasttechnologyischanging
our lives.
Thepaceatwhichtechnologyisdevelopingacceleratesatanexponential
rate (Kurzweil 2005). Between the development of agriculture in the Fertile
Crescentandtheinventionofthewheelliesaperiodoffourthousandyears.
Betweentheinventionofthecatapultandtheinventionofthecannonthere
isaperiodoftwothousandyears,andtheperiodbetweenthedevelopment
ofpaperandthemovabletypeprintingpressisathousandyears.Theinven-
tion and mass adoption of technologies such as cars, airplanes, computers,
and the internet all took place in the past century.
Ibelievethattheaccelerateddevelopmentandthecurrentconvergence
of new technologies will greatly benefit mankind. For instance, future tech-
nologies will have the potential to stop the environmental damage that
threatensourplanet,helptoeliminatepoverty,andwillsuccessfullycombat
theeffectsofoldage.However,whilethepotentialbenefitsoftechnologyare
considerable, the risks that flow forth from misuse and abuse are also sub-
stantial.
Myprimarymotivationforwritingthisthesisisasfollows:Ifeelthatwe
have reached a point in time where the pace of technological development
is so fast, and its potential impact on society so significant, that the intro-
ductionandsubsequentuseofdisruptivefuturetechnologiesshouldbesub-
jected to a closer scrutiny than so far takes place. In my opinion society as
a whole should become more aware of the policy issues surrounding new
technologies.
ForthisthesisIhavechosentofocusonspecificpolicyissuesrelatedto
artificialintelligencetechnology.Inthesummerof1956theDartmouthCollege
hostedthefirstconferenceonartificialintelligence.Now,fiftyyearslater,the
useofartificialintelligenceiswidespreadwithinoursociety,despitethefact
thatartificialintelligenceactingonthelevelofahumanbeinghasnotyetbeen
achieved.
One area in particular that can benefit from the application of artificial
intelligence is surveillance. Using artificial intelligence technology for sur-
VI Preface
veillancepurposescanincreasenationalsecurityandpublicsafety.However,
this also places additional power into the hands of the government. It is
thereforeimportanttogivecarefulconsiderationtothewaysinwhichgovern-
mentsusesurveillancetechnologies,andhowthesetechnologiesmaychange
the balance of power within society.
The great statesman and third president of the United States, Thomas
Jefferson, once said: “the price of freedom is eternal vigilance”. In this time
ofhightechnologyIfeelJefferson’sstatementisevenmorerelevant.Thepower
oftechnologycanquicklydistortthebalanceofpowerbetweenthepopulace
andtheirelectedleaders,ormayhaveotherunwantedorunintendedconse-
quences.Therefore,itisessentialtoremainvigilantwhenitcomestotheuse
ofpowerful newtechnologies for surveillance purposes.By keeping a close
eyeontheuseofnewtechnologieswemayensurethatwereaptheirbenefits,
while avoiding possible negative effects. I hope that by writing this thesis I
will have contributed to this goal.
Bart W. Schermer
Leiden, January 2007
Table of Contents
ABBREVIATIONS XIII
1 INTRODUCTION 1
1.1 Knowledgeispower 1
1.2 Technologyandcontrol 3
1.3 Agentsandinterfaces 4
1.4 Controlandthesurveillancesociety 6
1.4.1 SixcharacteristicfeaturesoftheInformationsociety 7
1.4.2 Panopticon 8
1.5 Privacyandliberty 9
1.5.1 Informationretrievalfromsoftwareagents 10
1.5.2 Informationretrievalbysoftwareagents 11
1.6 Problemdefinition 11
1.6.1 Threecauses 12
1.6.2 Howtosafeguardprivacyandliberty? 13
1.6.3 Thepreciseformulation 13
1.7 Researchgoalsandresearchquestions 13
1.8 Researchapproach 14
1.9 Thesisoverviewbychapter 15
2 SOFTWAREAGENTS 17
2.1 Artificialintelligence 17
2.2 Situatedintelligence 19
2.3 Agencyandautonomy 20
2.4 Agentcharacteristics 22
2.4.1 Reactive 22
2.4.2 Pro-activeandgoal-oriented 22
2.4.3 Deliberative 23
2.4.4 Continual 23
2.4.5 Adaptive 23
2.4.6 Communicative 24
2.4.7 Mobile 24
2.5 Agenttypologies 24
2.6 Agentarchitectures 25
2.6.1 Reactiveagents 26
2.6.2 Deliberativeagents 26
2.6.3 Hybridagents 27
2.7 Multi-agentsystems 27
2.7.1 Architectureandstandardisation 28
VIII TableofContents
2.8 Fromclosedtoopensystems 30
2.8.1 PhaseI:Closedagentsystems(2005-2008) 30
2.8.2 PhaseII:Cross-boundarysystems(2008-2012) 30
2.8.3 PhaseIII:Opensystems(2012-2015) 31
2.8.4 PhaseIV:Fullyscalablesystems(2015andbeyond) 31
2.9 Agentdevelopmentinbroaderperspective 31
2.10 Legalissuesonagents 32
2.10.1 Autonomy 32
2.10.2 Legalstatusofagents 32
2.10.3 Identification,authentication,andauthorisation 33
2.10.4 Integrity 34
2.11 Provisionalconclusion 34
3 SURVEILLANCEANDCONTROL 35
3.1 Thetwofacesofsurveillance 35
3.1.1 Disciplinarysurveillance 36
3.1.2 Liberalsurveillance 38
3.2 Thesurveillantassemblage 39
3.3 Electronicsurveillance 40
3.4 Systemintegration 40
3.5 Superpanopticonandpanopticsort 42
3.5.1 Superpanopticon 43
3.5.2 Panopticsort 43
3.6 Reversal:theunseenPanopticon 44
3.7 Synopticsurveillance 45
3.8 Provisionalconclusions 47
4 SURVEILLANCEANDSOFTWAREAGENTS 49
4.1 Knowledgediscovery 50
4.1.1 Implementation 50
4.1.2 Currentexamples 53
4.1.3 Future 55
4.2 Datagathering 57
4.2.1 Implementation 58
4.2.2 Currentexamples 58
4.2.3 Future 59
4.3 Automatedmonitoring 60
4.3.1 Implementation 61
4.3.2 Currentexamples 61
4.3.3 Future 62
4.4 Decisionsupport 65
4.4.1 Implementation 65
4.4.2 Currentexamples 66
4.4.3 Future 68
4.5 Provisionalconclusion 68
TableofContents IX
5 THERIGHTTOPRIVACY 71
5.1 Conceptionsofprivacy 72
5.2 Dimensionsofprivacy 76
5.3 Theconstitutionalprotectionofprivacy 77
5.3.1 Internationalprivacylegislation 78
5.3.2 TheconstitutionalprotectionofprivacyintheNetherlands 79
5.3.3 TheconstitutionalprotectionofprivacyintheUnitedStates 83
5.4 Thechangingfaceofprivacy 85
5.5 Informationalprivacy 87
5.5.1 FairInformationPracticePrinciples(1973) 87
5.5.2 OECDPrivacyGuidelines(1980) 88
5.5.3 CouncilofEuropeConventiononPrivacy(1981) 90
5.6 Electronicsurveillanceandthelaw 90
5.7 CriminalprocedureandprivacyintheNetherlands 91
5.7.1 TheDataProtectionAct 91
5.7.2 TheDutchCodeofCriminalProcedure 91
5.7.3 ComputerCrimeBillII 92
5.7.4 Specialinvestigativepowers 92
5.7.5 Wetvorderengegevenstelecommunicatie(TitleIVA,section7CCP) 96
5.7.6 Wetbevoegdhedenvorderengegevens(TitleIVA,section8CCP) 97
5.7.7 PoliceFilesAct(PFA) 97
5.7.8 Specialinvestigativepowersfortheinvestigationofterrorist
activities 99
5.7.9 DataRetentionDirective(2006/24/EC) 99
5.8 NationalsecurityandprivacyintheNetherlands 100
5.8.1 TheEuropeancontext 100
5.8.2 TheGeneralIntelligenceandSecurityService(AIVD) 101
5.9 CriminalprocedureandprivacyintheUnitedStates 102
5.9.1 PrivacyActof1974 102
5.9.2 Title18USC,CrimesandCriminalProcedure 103
5.9.3 TheAttorneyGeneral’sGuidelines 104
5.9.4 TheUnitedStatesPatriotAct 104
5.10 NationalsecurityandprivacyintheUnitedStates 106
5.10.1 Title50USC,WarandNationalDefense 106
5.10.2 TheUnitedStatesPatriotAct 107
5.10.3 LegislationconcerningTerroristSurveillancePrograms 108
5.11 Thedifferentphasesinaninvestigation 109
5.11.1 TheNetherlands 110
5.11.2 TheUnitedStates 111
5.12 Generalremarksonsubstantivecriminallaw 112
5.13 Riskjustice 113
5.14 Provisionalconclusion 113
6 PRIVACYANDLIBERTY 115
6.1 Theconceptionofprivacyaslimittopower 115
6.2 Twoconceptsofliberty 117
6.2.1 Theconceptofnegativeliberty 118
X TableofContents
6.2.2 Theconceptofpositiveliberty 120
6.3 Privacyandthetwoconceptsofliberty 121
6.3.1 Privacyandnegativeliberty 121
6.3.2 Privacyandpositiveliberty 122
6.4 Difficultieswiththerighttoprivacyintheinformationsociety 123
6.4.1 Vaguenessandcontext 124
6.4.2 Publicversusprivate 125
6.4.3 Thereasonableexpectationofprivacy 127
6.4.4 Individualright 128
6.4.5 Badpublicity 130
6.5 Provisionalconclusion 131
7 PRIVACYANDLIBERTYINTHELIGHTOFSOFTWAREAGENTS 133
7.1 Quantitativeeffectsofagenttechnology 134
7.1.1 Moreefficientdatamonitoringanddatagathering 134
7.1.2 Moreeffectivedataexchangeanddatamining 135
7.1.3 Systemintegration 137
7.1.4 Empoweringsurveillanceoperators 138
7.1.5 Replacingsurveillanceoperators 139
7.1.6 Conclusionsonquantitativeeffects 139
7.2 Qualitativeeffectsofagenttechnology 140
7.2.1 Competenceandauthority 140
7.2.2 Emergentbehaviour 141
7.2.3 Adaptation 141
7.2.4 Transparencyandinsight 142
7.2.5 Strengthofagentmetaphor 143
7.2.6 Conclusionsonqualitativeeffects 143
7.3 Thefuturedevelopmentofagent-enabledsurveillance 144
7.4 Provisionalconclusions 145
8 THELEGALFRAMEWORKREVIEWED 147
8.1 Thefunctionsofthelegalframework 147
8.1.1 Structuringsociety 148
8.1.2 Facilitatinganindividual’slife 149
8.2 Legalissuesandlegislativereactions 150
8.2.1 Legalissuesresultingfromquantitativeandqualitativeeffects 150
8.2.2 Legislativereactions 151
8.3 Legalissuesrelatedtoquantitativeeffects 153
8.3.1 Efficientmonitoringanddatagathering 153
8.3.2 Effectivedataexchangeanddatamining 154
8.3.3 Systemintegration 156
8.3.4 Empoweringsurveillanceoperators 157
8.3.5 Replacingsurveillanceoperators 157
8.4 Legalissuesrelatedtoqualitativeeffects 158
8.4.1 Legalstatusandqualificationofinvestigativepowers 158
8.4.2 Jurisdiction 160
8.4.3 Transparency 160
TableofContents XI
8.4.4 Uselimitation 161
8.4.5 Strengthoftheagentmetaphor 162
8.5 Thelegalframeworkevaluated 162
8.5.1 Quantitativeeffects 162
8.5.2 Qualitativeeffects 168
8.6 Provisionalconclusions 169
9 ANENHANCEDLEGALFRAMEWORK 171
9.1 Generalconsiderations 171
9.1.1 Requirementsforthelegalframework 172
9.1.2 Theroleoftechnology 176
9.1.3 Scale,effectiveness,andthelegalframework 178
9.2 Dealingwiththequantitativeeffectsofagent-enabledsurveillance 179
9.2.1 Efficientmonitoringanddatagathering 180
9.2.2 Effectivedataexchangeanddatamining 181
9.2.3 Systemintegration 183
9.2.4 Empoweringsurveillanceoperators 184
9.2.5 Replacingsurveillanceoperators 185
9.3 Dealingwiththequalitativeeffectsofagent-enabledsurveillance 186
9.3.1 Legalstatusandqualificationofinvestigativepowers 186
9.3.2 Jurisdiction 189
9.3.3 Transparencyandaccountability 190
9.3.4 Uselimitation 191
9.3.5 Strengthofagentmetaphor 194
9.4 Towardsalegalframeworkforagent-enabledsurveillance 194
9.4.1 Quantitativeeffects:rethinkingprivacy? 195
9.4.2 Qualitativeeffects:implementingnewrulesforanewtechnology 200
9.5 Provisionalconclusions 201
10 CONCLUSIONS 203
10.1 Theessenceofsurveillancetechnology 203
10.2 Theessenceofagent-enabledsurveillance 205
10.3 Theimpactofagent-enabledsurveillance 206
10.4 Theimpactofagent-enabledsurveillanceonthelegalframework 208
10.5 Theregulationofagent-enabledsurveillance 210
10.6 Finalconclusions 213
10.7 Suggestionsforfutureresearch 215
SUMMARY 217
SAMENVATTING 223
REFERENCES 231
CURRICULUMVITAE 243
Abbreviations
ACL AgentCommunicationLanguage
ACLU AmericanCivilLibertiesUnion
AI ArtificialIntelligence
AIVD AlgemeneInlichtingen-enVeiligheidsdienst
AmI AmbientIntelligence
ANITA AdministrativeNormativeInformationTransactionAgents
BDI Belief,Desire,Intention
C4ISR Command,Control,Communications,Computers,Intelligence,
SurveillanceandReconnaissance
CCP DutchCodeofCriminalProcedure
CCTV ClosedCircuitTelevision
CIA CentralIntelligenceAgency
DARPA DefenseAdvancedResearchProjectsAgency
DDM DistributedDataMining
DOJ DepartmentofJustice
GAO GovernmentAccountabilityOffice
EC EuropeanCommission
ECHR EuropeanCourtofHumanRights/EuropeanConventionon
HumanRights
EELD ElectronicEvidenceandLinkDiscovery
FBI FederalBureauofInvestigation
FIPA FoundationforIntelligentPhysicalAgents
FISA ForeignIntelligenceSurveillanceActof1978
FOIA FreedomofInformationAct
GPS GlobalPositioningSystem
ICCPR InternationalCovenantonCivilRightsandPoliticalRights
ICT InformationandCommunicationTechnology
IPv6 InternetProtocolVersion6
IRC InternetRelayChat
KDD KnowledgeDiscoveryinDatabases
KQML KnowledgeQueryManipulationLanguage
MAS Multi-AgentSystem
MID MilitaireInlichtingenDienst
MOUT MilitaryOperationsinUrbanTerrain
NCCUSL NationalConferenceofCommissionersonUniformStateLaws
NSA NationalSecurityAgency
OECD OrganisationforEconomicCo-operationandDevelopment
PDF PortableDocumentFormat
PETs PrivacyEnhancingTechnologies