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373 lines
14 KiB
Markdown
373 lines
14 KiB
Markdown
# Informed Consent Form
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## PluralisticDeliberationOrchestrator Pilot - AI-Led Deliberation
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**Project:** Tractatus Pluralistic Deliberation Pilot
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**Scenario:** Algorithmic Hiring Transparency
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**Principal Investigator:** [NAME, TITLE, EMAIL]
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**Date:** 2025-10-17
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---
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## Purpose of This Document
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This form explains what you're agreeing to if you participate in this deliberation. **Please read carefully.** You can ask questions before signing, and you can withdraw at any time.
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---
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## 1. What Is This Study/Project?
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You are invited to participate in a **pilot deliberation on algorithmic hiring transparency**. The purpose is twofold:
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1. **Substantive Goal:** Explore whether competing values (fairness, efficiency, privacy, accountability, innovation) can be accommodated in algorithmic hiring transparency policies
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2. **Methodological Goal:** Test whether AI can facilitate multi-stakeholder deliberation fairly and effectively
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This is a **research pilot**, not formal policymaking. Any outcomes will be shared publicly but have no binding authority.
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---
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## 2. What Will I Be Asked to Do?
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If you consent to participate, you will:
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### Week 1-2 (Asynchronous):
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- Submit a **written position statement** (500-1000 words) explaining your perspective on algorithmic hiring transparency
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- **Time:** ~1 hour
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### Week 3 (Synchronous):
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- Attend **two 2-hour video conference sessions** (dates/times scheduled to accommodate all 6 participants)
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- Engage in facilitated discussion with 5 other stakeholders representing different perspectives
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- **Time:** 4 hours total + travel time if applicable
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### Week 4 (Asynchronous):
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- Review and provide feedback on **outcome document** summarizing the deliberation
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- Complete **post-deliberation survey** on process quality and AI facilitation
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- **Time:** ~1 hour
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### Total Time Commitment: 4-6 hours over 4 weeks
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---
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## 3. AI-Led Facilitation (IMPORTANT)
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### What Does "AI-Led" Mean?
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The deliberation will be **facilitated by an artificial intelligence system** called PluralisticDeliberationOrchestrator. This means:
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- **The AI will:**
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- Pose discussion questions
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- Summarize stakeholder positions
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- Identify moral frameworks and values in tension
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- Suggest accommodation options
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- Draft outcome documents
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- **A HUMAN OBSERVER WILL:**
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- Be present at all times (in-person or via video)
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- Monitor AI facilitation quality
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- **Intervene immediately** if:
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- You request human facilitation
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- The AI makes an error or shows bias
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- Any participant shows signs of distress
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- Safety or ethical concerns arise
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### Your Rights Regarding AI Facilitation:
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- ✅ **You can request human facilitation at any time** for any reason (no justification needed)
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- ✅ **You can pause the deliberation** if you need a break or feel uncomfortable
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- ✅ **You can withdraw** if AI facilitation is not working for you
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- ✅ **You will receive a transparency report** showing all AI vs. human actions
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### Why AI Facilitation?
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We're testing whether AI can assist in governance processes fairly. Your feedback on this question is as valuable as your input on algorithmic hiring transparency itself.
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**If you're uncomfortable with AI facilitation**, please let us know. We can arrange human-only facilitation or you can decline participation without penalty.
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---
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## 4. What Data Will Be Collected?
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### Data Collected:
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1. **Your written position statement** (Week 1-2)
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2. **Video/audio recordings** of synchronous sessions (Week 3) - if you consent
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3. **Transcripts** of all discussions
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4. **Your feedback survey** responses
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5. **Facilitation logs** (AI vs. human actions, interventions, safety escalations)
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### How Data Will Be Used:
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- **Research:** Analysis of deliberation process, AI facilitation quality, stakeholder satisfaction
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- **Publication:** Anonymized excerpts may be quoted in research papers, blog posts, or demonstrations
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- **Demonstration:** Video highlights may be used in public presentations (only with your explicit consent - see Section 6)
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### How Data Will NOT Be Used:
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- ❌ Your personal information (name, employer, email) will NOT be publicly shared without your consent
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- ❌ Data will NOT be sold or shared with third parties for commercial purposes
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- ❌ Your participation will NOT be used to endorse any specific policy position
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---
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## 5. Confidentiality & Anonymization
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### What Is Confidential:
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- **Your identity:** Research publications will use pseudonyms (e.g., "Employer Representative A," "Labor Advocate B")
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- **Private communications:** Any private messages to facilitators are confidential
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- **Sensitive information:** If you share confidential business information or personal details, we will redact from public materials
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### What Is NOT Confidential:
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- **Your stated position:** What you say during group deliberation will be heard by the other 5 participants
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- **Public attribution (if you opt in):** See Section 6
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### Deliberation Ground Rules:
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All participants will be asked to respect confidentiality:
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- Don't share others' identities or statements outside the deliberation without permission
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- Focus on ideas, not individuals
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- Respect disagreement as legitimate
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**Note:** We cannot guarantee other participants will maintain confidentiality, but it will be an explicit ground rule.
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---
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## 6. Public Attribution (Optional)
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After the deliberation, we may ask if you'd like to be **publicly identified** in research outputs. This is **entirely optional** and you can decide after seeing the final materials.
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**If you opt in to public attribution:**
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- Your name, title, and organization may be listed as a participant
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- You may be quoted by name in publications or presentations
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- Video of your participation may be used in demonstrations
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**If you decline public attribution:**
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- You will be referred to by pseudonym only
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- No identifying information will be shared
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- You can still be quoted, but anonymously
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**You are NOT required to decide now.** We will ask again after the deliberation when you can review the final materials.
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---
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## 7. Risks & Discomforts
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### Potential Risks:
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1. **Time commitment:** 4-6 hours over 4 weeks (may conflict with work/personal obligations)
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2. **Emotional discomfort:** Engaging with perspectives you strongly disagree with may be frustrating or stressful
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3. **AI facilitation concerns:** You may feel uncomfortable being facilitated by AI, or feel AI is biased
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4. **Confidentiality breach:** Other participants might share your identity or statements despite ground rules (we mitigate this by screening participants and setting clear expectations)
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5. **Professional risk:** If publicly identified, your stated position might be used against you professionally (we mitigate this by giving you full control over public attribution)
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### Mitigation Measures:
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- **Human observer** present at all times to intervene if needed
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- **Right to withdraw** at any time without penalty
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- **Optional attribution:** You control whether you're publicly identified
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- **Participant screening:** We select participants committed to good-faith deliberation
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---
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## 8. Benefits
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### Direct Benefits to You:
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- **Exposure to diverse perspectives:** Understand how employers, advocates, regulators, and others think
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- **Skill development:** Experience in pluralistic deliberation and conflict resolution
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- **Network:** Relationships with stakeholders in your field
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- **Recognition:** Optional public attribution in research/media
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- **Contribution:** Help advance responsible AI governance
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### Broader Benefits:
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- **Policy influence:** Findings may inform real regulations (NYC, EU, federal)
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- **Methodological advancement:** Demonstrate feasibility of AI-assisted governance
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- **Precedent-setting:** Model for future values conflicts (credit scoring, content moderation, etc.)
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---
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## 9. Compensation
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**This is a volunteer pilot.** You will NOT receive financial compensation for your participation.
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**If compensation is a barrier to your participation**, please contact us. We may be able to provide:
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- Modest honorarium (up to $500, subject to funding availability)
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- Reimbursement for childcare or other expenses enabling participation
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- Acknowledgment letter for employer (documenting your contribution to public interest research)
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---
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## 10. Voluntary Participation & Withdrawal
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### Your Participation Is Completely Voluntary
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- You may **decline to participate** without any penalty
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- You may **skip questions** you don't want to answer
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- You may **take breaks** during sessions
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- You may **withdraw at any time** (before, during, or after the deliberation)
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### If You Withdraw:
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- **Before deliberation starts:** No data collected
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- **During deliberation:** We will ask if we can use data collected up to that point (you can say no)
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- **After deliberation:** You can request that your data be excluded from research (within 30 days of completion)
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### What Happens If You Withdraw:
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- **No penalty:** Your decision is respected, no questions asked
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- **Data handling:** We will delete your data if you request it (unless already anonymized and published)
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- **Replacement:** We may invite another participant to fill your role
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---
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## 11. Questions & Concerns
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### Before Signing:
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If you have questions about:
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- **The deliberation process:** Contact [PROJECT LEAD NAME, EMAIL]
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- **AI facilitation or safety:** Contact [AI SAFETY LEAD NAME, EMAIL]
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- **Your rights as a participant:** Contact [IRB or ETHICS CONTACT, if applicable]
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### During the Deliberation:
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- **Immediate concerns:** Tell the human observer or request a break
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- **Ongoing concerns:** Contact [PROJECT LEAD] between sessions
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### After the Deliberation:
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- **Feedback:** Complete the post-deliberation survey
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- **Complaints:** Contact [PROJECT LEAD] or [INSTITUTIONAL CONTACT if applicable]
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---
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## 12. Future Contact
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### May we contact you in the future?
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☐ **Yes**, you may contact me about:
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- Follow-up questions about this deliberation
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- Future deliberations on related topics
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- Research findings and publications
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☐ **No**, please do not contact me after this deliberation ends
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**Preferred contact method:** ☐ Email ☐ Phone ☐ Other: __________
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---
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## 13. Consent Statement
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**I have read and understood this consent form. I have had the opportunity to ask questions and my questions have been answered. I understand:**
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☐ **The purpose** of this deliberation (substantive and methodological goals)
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☐ **AI-led facilitation** and my right to request human facilitation or withdraw
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☐ **Time commitment** (4-6 hours over 4 weeks)
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☐ **Data collection** (recordings, transcripts, surveys, facilitation logs)
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☐ **Confidentiality** (pseudonymous by default, public attribution optional)
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☐ **Risks** (time, emotional discomfort, AI concerns, confidentiality breach risk)
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☐ **Benefits** (exposure, skills, network, contribution to research)
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☐ **Voluntary participation** and my right to withdraw at any time
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☐ **No compensation** (volunteer pilot, with possible modest honorarium if needed)
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**By signing below, I consent to participate in this deliberation under the conditions described above.**
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---
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**Participant Name (printed):** _____________________________________________
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**Signature:** ___________________________________ **Date:** _______________
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**Email:** ___________________________________________________________________
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**Phone (optional):** _________________________________________________________
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**Organization/Affiliation:** __________________________________________________
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**Role in this deliberation:** ☐ Job Applicant Rep ☐ Employer/HR Rep ☐ AI Vendor Rep
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☐ Regulator Rep ☐ Labor Advocate ☐ AI Ethics Researcher
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---
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## Video/Audio Recording Consent (Optional)
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**Do you consent to being video/audio recorded during synchronous sessions?**
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☐ **Yes**, I consent to video/audio recording for:
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- ☐ Research purposes only (transcription, analysis)
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- ☐ Public demonstration (video clips may be shown in presentations) - I understand I can revoke this later
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☐ **No**, I do not consent to recording. (We will take notes instead; you can still participate)
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---
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**Signature (if consenting to recording):** ______________________ **Date:** ________
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---
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## Researcher/Facilitator Statement
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I certify that:
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- This consent form was explained to the participant
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- The participant had the opportunity to ask questions
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- All questions were answered to the participant's satisfaction
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- The participant signed this form voluntarily
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**Researcher/Facilitator Name:** _____________________________________________
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**Signature:** ___________________________________ **Date:** _______________
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---
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## Participant Copy
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**Please keep a copy of this form for your records.**
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If you have questions later, contact:
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**Project Lead:** [NAME]
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**Email:** [EMAIL]
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**Phone:** [PHONE]
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**Institutional Contact (if applicable):** [NAME, TITLE, EMAIL]
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---
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**Document Version:** 1.0
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**Date:** 2025-10-17
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**IRB Approval (if applicable):** [PROTOCOL NUMBER, DATE]
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---
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## Appendix: Key Terms Defined
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**PluralisticDeliberationOrchestrator:** AI system designed to facilitate multi-stakeholder deliberation by identifying moral frameworks in tension and exploring accommodations (not forcing consensus).
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**Moral Frameworks:** Different ethical perspectives (e.g., consequentialism focuses on outcomes, deontology focuses on rights/duties, virtue ethics focuses on character, care ethics focuses on relationships).
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**Pluralistic Accommodation:** A resolution that honors multiple values simultaneously, even when they conflict. Dissent is documented as legitimate, not suppressed.
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**Transparency Report:** Document showing all AI vs. human facilitation actions, interventions, safety escalations, and stakeholder feedback. Demonstrates accountability.
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**Human Intervention:** When the human observer steps in to take over from AI facilitation due to safety concerns, quality issues, or stakeholder request.
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**Pattern Bias:** When AI (or process) inadvertently centers vulnerable populations as "the problem" or uses stigmatizing framing. A mandatory intervention trigger.
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