53-Model Card Template v1.0 | Chapter 9 — Bias, Ethics & Safety

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Chapter 9 — Bias, Ethics & Safety

I. Purpose & Scope

• Standardize fields, processes, and release conventions for bias identification & mitigation, ethical compliance, and safety safeguards across the data/parameter/training/inference lifecycle, ensuring outcomes are auditable, traceable, and minimally exposed.
• For path quantities (arrival time/phase), the text must explicitly show gamma(ell) and d ell; the data side records delta_form ∈ {general, factored}; all expressions are parenthesized; publication requires p_dim = 1.0.

II. Prerequisites & Inputs

• Data & splits: align with Dataset Card Ch. 3/4/6/7/9/11 (provenance, schema, splits, QC, Bias/Ethics/Privacy, Bench).
• Training protocol: align with this volume’s Ch. 6 (train_config.yaml, fixed seeds, env snapshot).
• Coverage & covariance: align with Error Budget Card (coverage ∈ {k, alpha, quantile}, Σ PD).
• Parameters & freshness: align with Parameter Card (freshness.policy, cov_group).
• Citations & versions: “volume + version + anchor (P/S/M/I)”, anchor coverage ≥ 90%, public v1.* only.

III. Bias Identification

• Sampling bias: uneven source/site/time-window/device coverage (stratified counts with CIs); compare slice_k deltas.
• Measurement bias: threshold breaches in δt_abs/Δτ_ch/σ_y(τ) or systematic n_eff residuals; log in quality.flags and bias_report.md.
• Labeling bias: insufficient agreement (κ < κ_min, MAE > τ_mae, large DTW/Hausdorff for paths).
• Processing bias: cleaning/normalization/augmentation affecting subgroups asymmetrically (validate via slices).

IV. Bias Mitigation

• Reweight/resample: stratified weights or over/under-sampling (pin seed).
• Calibration correction: correct systematic error or widen intervals U = k·u_c.
• Review reinforcement: raise k_rep and use adjudication; re-review disagreements.
• Slice disclosure: publish high-risk slices separately and tag [Restricted] or limit to qualitative analyses.

V. Ethics Compliance

• Purpose limitation: purpose_limit, consent_id, retention_policy, revocation mechanism.
• Minimization: retain only necessary fields; never log sensitive raw content.
• Transparency & accountability: docs/ethics.md describes data flows, roles, oversight, and appeal routes.
• Third-party data: verify license/redistribution terms; record license and constraints in manifests.

VI. Safety & Misuse Prevention

1. Risk scenarios: unauthorized inference, group harm, malicious automation, out-of-domain deployment (beyond coherence/unlocked/missing path blocks).
2. Safeguards:
   • Input: schema checks, unit/dimension checks (I70-dim_check), path block required gamma/measure/delta_form.
   • Output: threshold gates and conservative intervals; degrade or [Restricted] on breach.
   • Runtime: rate/quota, idempotency keys, block/allow lists, circuit breakers.
   • Model-side: unsafe prompt/output filtering, adversarial/abuse detection (confidence guards, drift alerts).
3. Incidents & rollback: trigger rollback_fsm.yaml, log to audit.jsonl.

VII. Normative Path Forms

• Arrival:
  T_arr = ( 1 / c_ref ) * ( ∫ n_eff d ell ) or T_arr = ( ∫ ( n_eff / c_ref ) d ell ).
• Phase:
  Phi = ( 2π / λ_ref ) * ( ∫ n_eff d ell ).

Explicitly show path & measure; record delta_form; arrays satisfy len(gamma_ell)=len(d_ell)=len(n_eff)≥2.

VIII. Gate Mapping

• G1 Schema completeness (Bias/Ethics/Safety fields & docs present).
• G2 Citation compliance (anchor coverage ≥ 90%).
• G3 Path conventions (path block complete; step compliant).
• G4 Dimensional closure (p_dim = 1.0, check_dim_report.json OK).
• G5 Freshness (clock_state="locked", expired isolated).
• G6 Coverage consistency (interval conventions aligned with Error Budget).
• G7 Covariance consistency (assumptions for risky slices aligned; Σ PD).
• G8 Uniqueness & acyclicity (record_id/checksum unique; lineage DAG acyclic).
• Trigger S1–S5 (dimension/freshness/path/covariance/citation) to block release or tag [Restricted].

IX. Machine-Readable Policies & Manifests
A. safety_policy.yaml

version: "1.0.0"

inputs:

schema_check: true

unit_dim_check: true

path_required: { gamma: true, measure: true, delta_form: ["general","factored"] }

outputs:

confidence_guard: { min_conf: 0.6 }

restricted_label: "[Restricted]"

runtime:

rate_limit: { rps: 100, burst: 200 }

quota: { daily_calls: 100000 }

circuit_breaker: { error_ratio: 0.2, window_s: 60 }

B. bias_report.md (outline)

# Bias Report

- Stratified coverage + CIs

- Measurement bias: δt_abs/Δτ_ch/σ_y(τ)/n_eff residuals

- Labeling consistency: κ/MAE/DTW

- High-risk slices & mitigation

C. ethics.md (outline)

# Ethics Statement

- Purpose limitation & consent

- Minimization & de-identification

- Governance roles & escalation

- Third-party license & redistribution terms

X. Anti-Patterns & Fixes

• Anti: reporting means without intervals → Fix: add k/alpha/quantile intervals with convergence diagnostics.
• Anti: T_arr = ∫ n_eff / c_ref d ell (no parentheses) → Fix: use parenthesized unified forms.
• Anti: missing consent_id/purpose_limit → Fix: backfill and annotate in manifests & front matter.
• Anti: path block missing d ell/delta_form → Fix: complete and equalize with n_eff.
• Anti: high-risk slices not isolated → Fix: split and publish as [Restricted] or qualitative only.

XI. Cross-References

• Dataset Card: Ch. 9 (Bias/Ethics/Privacy), Ch. 6 (Splits/Versioning), Ch. 7 (QC).
• Error Budget Card: Ch. 8/9 (intervals & thresholds).
• Pipeline Card: Ch. 9 (Monitoring & Alerts), Ch. 12 (Outputs & Release).
• This volume: Ch. 6 (Training), Ch. 7 (UQ), Ch. 8 (Bench/Score).

XII. Checklist

• safety_policy.yaml, bias_report.md, ethics.md prepared and referenced in model_manifest.yaml.
• For path quantities, explicit gamma/measure/delta_form; len(path) ≥ 2, Δell compliant; p_dim = 1.0.
• Bias metrics & mitigation complete; publication strategy for high-risk slices defined (quantitative/qualitative/[Restricted]).
• Coverage & covariance conventions aligned with Error Budget; /validate passed G1–G8.
• Audit & compliance materials archived; anchor coverage ≥ 90%; all artifacts carry checksum and signature.