tractatus/docs/stakeholder-recruitment/informed-consent-form-ai-led-deliberation.md

# Informed Consent Form
## PluralisticDeliberationOrchestrator Pilot - AI-Led Deliberation

**Project:** Tractatus Pluralistic Deliberation Pilot
**Scenario:** Algorithmic Hiring Transparency
**Principal Investigator:** [NAME, TITLE, EMAIL]
**Date:** 2025-10-17

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## Purpose of This Document

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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## 1. What Is This Study/Project?

You are invited to participate in a **pilot deliberation on algorithmic hiring transparency**. The purpose is twofold:

1. **Substantive Goal:** Explore whether competing values (fairness, efficiency, privacy, accountability, innovation) can be accommodated in algorithmic hiring transparency policies

2. **Methodological Goal:** Test whether AI can facilitate multi-stakeholder deliberation fairly and effectively

This is a **research pilot**, not formal policymaking. Any outcomes will be shared publicly but have no binding authority.

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## 2. What Will I Be Asked to Do?

If you consent to participate, you will:

### Week 1-2 (Asynchronous):
- Submit a **written position statement** (500-1000 words) explaining your perspective on algorithmic hiring transparency
- **Time:** ~1 hour

### Week 3 (Synchronous):
- Attend **two 2-hour video conference sessions** (dates/times scheduled to accommodate all 6 participants)
- Engage in facilitated discussion with 5 other stakeholders representing different perspectives
- **Time:** 4 hours total + travel time if applicable

### Week 4 (Asynchronous):
- Review and provide feedback on **outcome document** summarizing the deliberation
- Complete **post-deliberation survey** on process quality and AI facilitation
- **Time:** ~1 hour

### Total Time Commitment: 4-6 hours over 4 weeks

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## 3. AI-Led Facilitation (IMPORTANT)

### What Does "AI-Led" Mean?

The deliberation will be **facilitated by an artificial intelligence system** called PluralisticDeliberationOrchestrator. This means:

- **The AI will:**
  - Pose discussion questions
  - Summarize stakeholder positions
  - Identify moral frameworks and values in tension
  - Suggest accommodation options
  - Draft outcome documents

- **A HUMAN OBSERVER WILL:**
  - Be present at all times (in-person or via video)
  - Monitor AI facilitation quality
  - **Intervene immediately** if:
    - You request human facilitation
    - The AI makes an error or shows bias
    - Any participant shows signs of distress
    - Safety or ethical concerns arise

### Your Rights Regarding AI Facilitation:

- ✅ **You can request human facilitation at any time** for any reason (no justification needed)
- ✅ **You can pause the deliberation** if you need a break or feel uncomfortable
- ✅ **You can withdraw** if AI facilitation is not working for you
- ✅ **You will receive a transparency report** showing all AI vs. human actions

### Why AI Facilitation?

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.

**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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## 4. What Data Will Be Collected?

### Data Collected:

1. **Your written position statement** (Week 1-2)
2. **Video/audio recordings** of synchronous sessions (Week 3) - if you consent
3. **Transcripts** of all discussions
4. **Your feedback survey** responses
5. **Facilitation logs** (AI vs. human actions, interventions, safety escalations)

### How Data Will Be Used:

- **Research:** Analysis of deliberation process, AI facilitation quality, stakeholder satisfaction
- **Publication:** Anonymized excerpts may be quoted in research papers, blog posts, or demonstrations
- **Demonstration:** Video highlights may be used in public presentations (only with your explicit consent - see Section 6)

### How Data Will NOT Be Used:

- ❌ Your personal information (name, employer, email) will NOT be publicly shared without your consent
- ❌ Data will NOT be sold or shared with third parties for commercial purposes
- ❌ Your participation will NOT be used to endorse any specific policy position

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## 5. Confidentiality & Anonymization

### What Is Confidential:

- **Your identity:** Research publications will use pseudonyms (e.g., "Employer Representative A," "Labor Advocate B")
- **Private communications:** Any private messages to facilitators are confidential
- **Sensitive information:** If you share confidential business information or personal details, we will redact from public materials

### What Is NOT Confidential:

- **Your stated position:** What you say during group deliberation will be heard by the other 5 participants
- **Public attribution (if you opt in):** See Section 6

### Deliberation Ground Rules:

All participants will be asked to respect confidentiality:
- Don't share others' identities or statements outside the deliberation without permission
- Focus on ideas, not individuals
- Respect disagreement as legitimate

**Note:** We cannot guarantee other participants will maintain confidentiality, but it will be an explicit ground rule.

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## 6. Public Attribution (Optional)

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.

**If you opt in to public attribution:**

- Your name, title, and organization may be listed as a participant
- You may be quoted by name in publications or presentations
- Video of your participation may be used in demonstrations

**If you decline public attribution:**

- You will be referred to by pseudonym only
- No identifying information will be shared
- You can still be quoted, but anonymously

**You are NOT required to decide now.** We will ask again after the deliberation when you can review the final materials.

---

## 7. Risks & Discomforts

### Potential Risks:

1. **Time commitment:** 4-6 hours over 4 weeks (may conflict with work/personal obligations)

2. **Emotional discomfort:** Engaging with perspectives you strongly disagree with may be frustrating or stressful

3. **AI facilitation concerns:** You may feel uncomfortable being facilitated by AI, or feel AI is biased

4. **Confidentiality breach:** Other participants might share your identity or statements despite ground rules (we mitigate this by screening participants and setting clear expectations)

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)

### Mitigation Measures:

- **Human observer** present at all times to intervene if needed
- **Right to withdraw** at any time without penalty
- **Optional attribution:** You control whether you're publicly identified
- **Participant screening:** We select participants committed to good-faith deliberation

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## 8. Benefits

### Direct Benefits to You:

- **Exposure to diverse perspectives:** Understand how employers, advocates, regulators, and others think
- **Skill development:** Experience in pluralistic deliberation and conflict resolution
- **Network:** Relationships with stakeholders in your field
- **Recognition:** Optional public attribution in research/media
- **Contribution:** Help advance responsible AI governance

### Broader Benefits:

- **Policy influence:** Findings may inform real regulations (NYC, EU, federal)
- **Methodological advancement:** Demonstrate feasibility of AI-assisted governance
- **Precedent-setting:** Model for future values conflicts (credit scoring, content moderation, etc.)

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## 9. Compensation

**This is a volunteer pilot.** You will NOT receive financial compensation for your participation.

**If compensation is a barrier to your participation**, please contact us. We may be able to provide:

- Modest honorarium (up to $500, subject to funding availability)
- Reimbursement for childcare or other expenses enabling participation
- Acknowledgment letter for employer (documenting your contribution to public interest research)

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## 10. Voluntary Participation & Withdrawal

### Your Participation Is Completely Voluntary

- You may **decline to participate** without any penalty
- You may **skip questions** you don't want to answer
- You may **take breaks** during sessions
- You may **withdraw at any time** (before, during, or after the deliberation)

### If You Withdraw:

- **Before deliberation starts:** No data collected
- **During deliberation:** We will ask if we can use data collected up to that point (you can say no)
- **After deliberation:** You can request that your data be excluded from research (within 30 days of completion)

### What Happens If You Withdraw:

- **No penalty:** Your decision is respected, no questions asked
- **Data handling:** We will delete your data if you request it (unless already anonymized and published)
- **Replacement:** We may invite another participant to fill your role

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## 11. Questions & Concerns

### Before Signing:

If you have questions about:

- **The deliberation process:** Contact [PROJECT LEAD NAME, EMAIL]
- **AI facilitation or safety:** Contact [AI SAFETY LEAD NAME, EMAIL]
- **Your rights as a participant:** Contact [IRB or ETHICS CONTACT, if applicable]

### During the Deliberation:

- **Immediate concerns:** Tell the human observer or request a break
- **Ongoing concerns:** Contact [PROJECT LEAD] between sessions

### After the Deliberation:

- **Feedback:** Complete the post-deliberation survey
- **Complaints:** Contact [PROJECT LEAD] or [INSTITUTIONAL CONTACT if applicable]

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## 12. Future Contact

### May we contact you in the future?

☐ **Yes**, you may contact me about:
  - Follow-up questions about this deliberation
  - Future deliberations on related topics
  - Research findings and publications

☐ **No**, please do not contact me after this deliberation ends

**Preferred contact method:** ☐ Email  ☐ Phone  ☐ Other: __________

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## 13. Consent Statement

**I have read and understood this consent form. I have had the opportunity to ask questions and my questions have been answered. I understand:**

☐ **The purpose** of this deliberation (substantive and methodological goals)

☐ **AI-led facilitation** and my right to request human facilitation or withdraw

☐ **Time commitment** (4-6 hours over 4 weeks)

☐ **Data collection** (recordings, transcripts, surveys, facilitation logs)

☐ **Confidentiality** (pseudonymous by default, public attribution optional)

☐ **Risks** (time, emotional discomfort, AI concerns, confidentiality breach risk)

☐ **Benefits** (exposure, skills, network, contribution to research)

☐ **Voluntary participation** and my right to withdraw at any time

☐ **No compensation** (volunteer pilot, with possible modest honorarium if needed)

**By signing below, I consent to participate in this deliberation under the conditions described above.**

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**Participant Name (printed):** _____________________________________________

**Signature:** ___________________________________  **Date:** _______________

**Email:** ___________________________________________________________________

**Phone (optional):** _________________________________________________________

**Organization/Affiliation:** __________________________________________________

**Role in this deliberation:** ☐ Job Applicant Rep  ☐ Employer/HR Rep  ☐ AI Vendor Rep
☐ Regulator Rep  ☐ Labor Advocate  ☐ AI Ethics Researcher

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## Video/Audio Recording Consent (Optional)

**Do you consent to being video/audio recorded during synchronous sessions?**

☐ **Yes**, I consent to video/audio recording for:
  - ☐ Research purposes only (transcription, analysis)
  - ☐ Public demonstration (video clips may be shown in presentations) - I understand I can revoke this later

☐ **No**, I do not consent to recording. (We will take notes instead; you can still participate)

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**Signature (if consenting to recording):** ______________________  **Date:** ________

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## Researcher/Facilitator Statement

I certify that:

- This consent form was explained to the participant
- The participant had the opportunity to ask questions
- All questions were answered to the participant's satisfaction
- The participant signed this form voluntarily

**Researcher/Facilitator Name:** _____________________________________________

**Signature:** ___________________________________  **Date:** _______________

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## Participant Copy

**Please keep a copy of this form for your records.**

If you have questions later, contact:

**Project Lead:** [NAME]
**Email:** [EMAIL]
**Phone:** [PHONE]

**Institutional Contact (if applicable):** [NAME, TITLE, EMAIL]

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**Document Version:** 1.0
**Date:** 2025-10-17
**IRB Approval (if applicable):** [PROTOCOL NUMBER, DATE]

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## Appendix: Key Terms Defined

**PluralisticDeliberationOrchestrator:** AI system designed to facilitate multi-stakeholder deliberation by identifying moral frameworks in tension and exploring accommodations (not forcing consensus).

**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).

**Pluralistic Accommodation:** A resolution that honors multiple values simultaneously, even when they conflict. Dissent is documented as legitimate, not suppressed.

**Transparency Report:** Document showing all AI vs. human facilitation actions, interventions, safety escalations, and stakeholder feedback. Demonstrates accountability.

**Human Intervention:** When the human observer steps in to take over from AI facilitation due to safety concerns, quality issues, or stakeholder request.

**Pattern Bias:** When AI (or process) inadvertently centers vulnerable populations as "the problem" or uses stigmatizing framing. A mandatory intervention trigger.