3. The future scenario
• Introduction of higher levels of automation
expected with SESAR
Potential CHANGE in the way the machine
SUPPORTS human performance
potential NEW ALLOCATION of the DECISION
MAKING TASKS between the human and the
automation
4. The ALIAS context: Implications of
automation
• Humans as controllers and supervisors
• Delegation of task from operators to technology
• Hybrid agency (man-machine coagency)
• The challenge of complexity
• Machine intelligence and autonomy
5. Significant legal questions to answer:
Does the higher level of automation imply any change in the
responsibility of the actors involved?
Who is going to be legally liable for damage resulting from human,
technical or organisational failures within a highly automated
socio-technical system?
6. The Legal Case
• A novel methodology to address legal issues of
automated technologies for ATM during their design
process. It includes:
– A standard process to identify legal liabilities at the design stage,
in a structured way, so that problems are addressed before
deployment, through convenient technological adaptations or
legal arrangements.
– A variety of supporting tools (such as tables to assess levels of
automation and identify tasks and duties, flow diagrams to guide
the assessment process, tables and reports which embed the
produced results).
7. Five leading principles
– Design according to liability: legal liabilities should be addressed in a
coherent and comprehensive way at the design stage of a new concept
– Proactive approach to liabilities: legal liabilities should be addressed
from an anticipatory risk-management perspective
– Socio-technical approach to liabilities: as system failures can only be
understood in a systemic socio-technical perspective, so should be legal
liabilities
– Multidisciplinary approach: technical and legal knowledge should be
integrated, to facilitate the communication between legal and
technical experts
– Standard Case-based approach: the legal case complements the other
available Cases and is consistent with the Generic Transversal Areas
Assessment Process of SESAR
8. New approach to liability
We look at liability as one of
the inherent properties of the
ATM systems.
Human
Performance
ATM
system
LIABILITY
liabilities are likely to
affect the
stakeholders’
acceptability and to
constrain the
application of a new
technology.
We propose to
“design according to
liabilities.”
9. The design according to liabilities
Enlarges the scope of
the operational
concept design
Addresses liability
issues early in the
system’s lifecycle
Ensures the legal
feasibility and
acceptability of the
new technology
10. User of the Legal Case
The Legal Case is mainly designed to be used by
a Legal Analyst.
We assume the Legal Analyst to be a member of
an interdisciplinary project team.
In this respect, the Legal Case can be conceived
as key communication tool between experts
belonging to different communities.
11. The 4 steps of the Legal Case
UNDERSTAND THE
ATM CONCEPT
• Collect background
information
• Identify the level
of automation
• Identify possible
failures
IDENTIFY THE
LIABILITY ISSUES
• Identify liability
risks
• Examine the legal
risk
PERFORM THE
LEGAL ANALYSIS
• Perform the legal
analysis and
identify
acceptable legal
measures
COLLECT
FINDINGS AND
PRODUCE
RESULTS
• Produce results of
the analysis and
recommendations
13. The maps approach
• A novel way to represent legal issues and to link them to
failures and risk analyses, including:
– Classification maps
– Argumentation maps
• Maps are representation, connection, communication and assessment
tools:
– Connection tool: they structure and connect information about the system
failures and damages on the one side, and the applicable legal framework on
the other side
– Communication tool: they work as a powerful visual representation and
communication medium between different stakeholders
– Assessment tool: they support the legal risk analysis carried out in the LC,
helping to identify and evaluate legal risks.
14. Argumentation maps
• Argumentation maps are visual
representations of set of arguments.
• Visual representations of arguments are used
to organise information, structure reasoning
and evaluate evidence. The nodes are
navigable on different levels, and evaluations
are supported.
16. Step 1: understand the ATM Concept
Step 1 is meant to provide an understanding of the ATM concept, focusing on:
the scope of the technology
its use in the operational context
its impacts on allocation of tasks, roles, and responsibilities
its possible failures
17. Step 2: identify liability issues
Liability risks associated with possible failures are identified through risk-liability and
damage-liability maps
Liability risks are assessed though legal-analysis maps, according to existing laws and
contractual arrangements
18. Step 3: perform the legal analysis
The acceptability of the legal implications identified in previous step is discussed.
Possible legal arrangements or technological mitigations are identified and
discussed
Possible modifications to the existing public legal framework are possibly advanced
19. Step 4: collect findings and produce results
The results of the Legal Case are collected
They are presented in a structured and standardised way.
20. The 4 outputs of the Legal Case
description of the relevant aspects of the operational
concept; level of automation and task-responsibilities;
identification of possible failures
relationships between failures/damages and liability
issues; identification of liability risk
acceptability and sustainability of the legal implications
of the ATM concept (for all stakeholders)
recommendations and proposal for changes
1
2
3
4
21. Current status of the methodology
• It has been validated through two sets of activities: test
applications and interviews with experts
• Test Applications: applied and tested the
methodology with relevant stakeholders
• Interviews: selected experts from relevant ATM
organizations and institutions
Editor's Notes
Paradosso della complessità
In this context, the allocation of functions, responsibilities, and liabilities may be viewed as a governance mechanism enabling the enhancement of the functioning of ATM. The Legal Case presented intends to provide a methodological tool to begin applying this approach, focusing on the topic of liability and automation for ATM systems. Issues the lege lata and the lege ferenda
In the application the first question should be “does the change imply any change in the responsibility?”. Level of automation as example, but it is not just this.
The Legal Case is a methodological tool intended to support the integration of any technology in complex systems, particularly in ATM
Purpose: to address and mitigate (where possible) the liability issues emerging from the interaction between the human and the ATM automated tools
We look at liability as one of the inherent properties of the ATM systems.
This approach moves from the consideration that —as well as other inherent properties of the ATM systems, such as safety and human performance— legal liabilities are likely to affect the stakeholders’ acceptability and to constrain the application of a new technology.
As a consequence they should be taken into account during the design process of new operational concepts in order to early address issues that later on may reveal themselves as show-stoppers for the success of the technology.
In other words together with the need to design for safety and human performance, we assume that there is a need to “design according to liabilities.”
The notion of “design according to liabilities” enlarges the scope of the operational concept design and aims to ensure the legal feasibility and acceptability of the new automated tools.
The idea is that addressing liability issues earlier in the development process will make easier, less costly and controversial to address legal issues than at a later stage, when the system is deployed
The figure recalls the generic user-centered design process and shows how the Legal Case methodology can be applied proactively in order to iteratively feed the operational concept evaluation and validation process.
The “design according to liabilities” is the innovative approach that we propose to the design of automated systems.
The innovative aspect here regards the application of the user-centred design process to new topics, i.e. the legal aspects, that traditionally were not addressed in such methods.
The Legal Case methodology relies on the consolidated methodology represented by the Cases currently available (the EUROCONTROL Safety Case and Human Factors Case) proposed in the framework of E-OCVM.
In line with this, a close examination of the available Cases (namely Safety, Human Factors and Human Performance Cases), has been performed in order to identify differences and common patterns. This comparative analysis was focused on the scope, purpose, structure and context of application of the different Cases. It was targeted to highlight features to be taken into consideration for the design of the Legal Case methodology and to derive differences due to the specific topic addressed by the Legal Case, i.e. the liability impact of automated systems.
In line with E-OCVM, the SESAR Programme has identified 5 Transversals Areas, namely Safety, Human Performance, Security, Environment and Cost-Benefit, to be transversally addressed throughout the Programme via a case-based approach. It intends to develop Security, Environment and Business Cases, and to further refine the available Safety and HF Cases in order to make them compliant and combinable. In particular, the SESAR Case-based approach intends to provide: i) a common process according to which each TA will have to produce a Case (named Generic Transversal Areas Assessment Process), and ii) a methodology through which all the cases will be integrated, with the final aim of feeding this into the Business Case.
The Legal Case proposed in this document has been designed in order to be coherent with the same case-based approach adopted in the SESAR Programme. This provides the potential to integrate the methodology with the other Cases being developed.
The Legal Case may contribute to enlarging the scope of the Business Case, thus not excluding that “Legal Implications” could come to be considered as a Transversal Area (i.e. an inherent property of an ATM system) as shown in the figure.
Human performance report
Alias include a number of supporting table. I will show some of them. Aspects answers
Identify and classify possible failures through failure maps
Link with EUROCONTROL Safety Case
Common approach to risks, faults, hazards and failures
Common techniques of hazard identification