[论文解读] Regulatory Markets: The Future of AI Governance

Gillian K. Hadfield, Jack A. Clark|arXiv (Cornell University)|Apr 11, 2023

Regulation and Compliance Studies被引用 17

一句话总结

本文提出以监管市场作为治理模式，政府通过要求设定的监管目标向政府授权的私营监管机构购买监管服务，以解决AI监管中的技术和民主缺陷。

ABSTRACT

Appropriately regulating artificial intelligence is an increasingly urgent and widespread policy challenge. We identify two primary, competing problem. First is a technical deficit: Legislatures and regulatory face significant challenges in rapidly translating conventional command-and-control legal requirements into technical requirements. Second is a democratic deficit: Over-reliance on industry to provide technical standards fails to ensure that the many values-based decisions that must be made to shape AI development and deployment are made by democratically accountable public, not private, actors. We propose a solution: regulatory markets, in which governments require the targets of regulation to purchase regulatory services from a government-licensed private regulator. This approach to AI regulation could overcome the limitations of both command-and-control regulation and excessive delegation to industry. Regulatory markets could enable governments to establish policy priorities for the regulation of AI while relying on market forces and industry R&D efforts to pioneer the technical methods of regulation that best achieve policymakers' stated objectives.

研究动机与目标

• 识别AI治理中的主要监管挑战，包括技术性缺陷和民主性缺陷。
• 提出监管市场作为克服命令-控制监管和行业主导标准局限性的解决方案。
• 解释监管市场如何使监管结果与由民主负责任的公共主体保持一致。
• 概述政府在利用市场力量发展监管技术的同时如何设定政策优先级。

提出的方法

• 界定AI治理中的两大核心缺陷：技术性缺陷和民主性缺陷。
• 引入监管市场的概念，即目标向政府许可的监管者购买服务。
• 论证该模型如何利用市场力量和行业研发推动高效监管的形成。
• 讨论在保持问责制的同时将监管方法与政策制定者的既定目标对齐的潜力。

实验结果

研究问题

• RQ1 将传统监管要求转化为AI特定技术标准的主要挑战是什么？
• RQ2 监管市场如何同时解决AI治理中的技术缺陷和民主缺陷？
• RQ3 政府在哪些方面可以利用私营监管者来实施和改进AI监管，同时保持问责？
• RQ4 AI监管中监管市场的政策优先级设定机制是什么？

主要发现

• 监管市场可以克服传统的命令-控制监管的不足。
• 依赖行业制定技术标准存在民主性问责不足的风险；监管市场提供了替代方案。
• 政府许可的私营监管者能够提供与政策制定者目标一致的监管服务。
• 该模型使政府能够设定政策优先级，同时受益于市场驱动的监管创新。