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governance.

                                                       June, 2021
                                         Shanghai Institute for Science of Science
Shanghai Institute for Science of Science
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WHEN PEOPLE PULL TOGETHER,
NOTHING IS TOO HEAVY
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         BAO PU ZI

                             抱朴子
                                                     Ⅰ
Shanghai Institute for Science of Science
OREWORD FOREWORD                                                                                 Ⅵ    Ⅵ    Patterns of Practice
                                                                                                                             Patterns
                                                                                                                                Will Be
                                                                                                                                      ofFundamental
                                                                                                                                         Practice Will to
                                                                                                                                                       Bethe
                                                                                                                                                          Fundamental
                                                                                                                                                             Success ofto
                                                                                                                                                                        AIthe
                                                                                                                                                                           Governance
                                                                                                                                                                              Success of AI Governance      25              2
y SHI Qian       By SHI Qian                                                                               Abhishek Gupta Abhishek Gupta

NTRODUCTION
         INTRODUCTION                                                                            01   01   Building on Lessons
                                                                                                                           Building
                                                                                                                               for Responsible
                                                                                                                                    on LessonsPublication:
                                                                                                                                               for Responsible
                                                                                                                                                           Safely
                                                                                                                                                               Publication:
                                                                                                                                                                  Deploying Safely
                                                                                                                                                                            GPT-3 Deploying GPT-3           27              2
y LI Hui and BrianByTse
                      LI Hui and Brian Tse                                                                 Irene Solaiman Irene Solaiman

ACKNOWLEDGEMENT
        ACKNOWLEDGEMENT                                                                          06   06   Artificial Intelligence
                                                                                                                               Artificial
                                                                                                                                   Should Intelligence
                                                                                                                                             Follow Sustainable
                                                                                                                                                       Should Follow
                                                                                                                                                                Development
                                                                                                                                                                     Sustainable
                                                                                                                                                                             Principles
                                                                                                                                                                                 Development Principles     29              2
                                                                                                           YANG Fan            YANG Fan
art I Technical
            PartPerspectives
                 I Technical Perspectives
                             from World-class
                                          from Scientists
                                               World-class Scientists                            07   07
                                                                                                           SociAl Contract for
                                                                                                                            SociAl
                                                                                                                               21st Contract
                                                                                                                                    Century for 21st Century                                                31              3
 sues on AI Governance
                Issues on AI Governance                                                          07   07   Danil Kerimi     Danil Kerimi
ohn E. Hopcroft John E. Hopcroft
                                                                                                           Who Should OwnWho
                                                                                                                           Our Data?
                                                                                                                               ShouldData
                                                                                                                                      OwnOwnership
                                                                                                                                          Our Data?&Data
                                                                                                                                                     Policy
                                                                                                                                                         Ownership & Policy                                 33              3
nderstanding AIUnderstanding
                for GovernanceAI for Governance                                                  09   09   Steven Hoffman Steven Hoffman
art Selman     Bart Selman
                                                                                                           The GovernanceThe of AI
                                                                                                                                Governance
                                                                                                                                   in Digital Healthcare
                                                                                                                                              of AI in Digital
                                                                                                                                                          for aHealthcare
                                                                                                                                                                Post-Pandemic
                                                                                                                                                                          for a Post-Pandemic
                                                                                                                                                                                World Requires World
                                                                                                                                                                                               Multistakeholder
                                                                                                                                                                                                     Requires Multistakeholder
ome Engineering
              Some
                Views
                    Engineering
                      to the AI Development
                                 Views to theand
                                              AI Development
                                                  Governance and Governance                      11   11   Partnerships     Partnerships                                                                      35             3
ONG Ke        GONG Ke                                                                                      Omar Costilla-Reyes
                                                                                                                            Omar Costilla-Reyes

ow Can We Use How
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                                                              Also Enabling Misuse?              13   13   Part III Interdisciplinary
                                                                                                                          Part III Interdisciplinary
                                                                                                                                       Analyses from Analyses
                                                                                                                                                       Professional
                                                                                                                                                              from Professional
                                                                                                                                                                    Researchers Researchers 37                              3
laudia Ghezzou Cuervas-Mons,
               Claudia Ghezzou
                             Emma
                               Cuervas-Mons,
                                   Bluemke, ZHOU
                                              EmmaPengyuan
                                                    Bluemke,and
                                                             ZHOUAndrew
                                                                    Pengyuan
                                                                        Trask and Andrew Trask
                                                                                                           Emerging Institutions
                                                                                                                             Emerging
                                                                                                                                  for AIInstitutions
                                                                                                                                          Governancefor AI Governance                                       37              3
uman-Centered Human-Centered
              AI/Robotics Research
                              AI/Robotics
                                   and Development
                                          Research and
                                                    in the
                                                        Development
                                                           Post-Pandemic
                                                                     in theEra
                                                                            Post-Pandemic Era    15   15   Allan Dafoe and Alexis
                                                                                                                             AllanCarlier
                                                                                                                                   Dafoe and Alexis Carlier
HANG Jianwei ZHANG Jianwei
                                                                                                           Risk ManagementRisk
                                                                                                                           of AIManagement
                                                                                                                                 Systems, But
                                                                                                                                            ofHow?
                                                                                                                                              AI Systems, But How?                                          39              3
I and Data Governance
               AI and Data
                      for Digital
                           Governance
                                  Platforms
                                         for Digital Platforms                                   17   17   Jared T. Brown Jared T. Brown
 ex Pentland   Alex Pentland
                                                                                                           AI Governance forAIthe
                                                                                                                                Governance
                                                                                                                                   People    for the People                                                 41              4
lignment Was a Alignment
               Human Problem
                           Was a First,
                                 Human  and
                                          Problem
                                            Still Is First, and Still Is                         19   19   Petra Ahrweiler and
                                                                                                                             Petra
                                                                                                                               Martin
                                                                                                                                   Ahrweiler
                                                                                                                                      Neumannand Martin Neumann
rian Christian Brian Christian
                                                                                                           From Diversity toFrom
                                                                                                                             Decoloniality:
                                                                                                                                 Diversity AtoCritical
                                                                                                                                               Decoloniality:
                                                                                                                                                       Turn A Critical Turn                                 43              4
n Governability On
                of AI
                   Governability of AI                                                           21   21   Malavika Jayaram Malavika Jayaram
oman YampolskiyRoman Yampolskiy
                                                                                                           Governing Artificial
                                                                                                                            Governing
                                                                                                                                Intelligence:
                                                                                                                                         Artificial
                                                                                                                                               fromIntelligence:
                                                                                                                                                    Principles tofrom
                                                                                                                                                                   LawPrinciples to Law                     45              4
art II Responsible
            Part II Responsible
                    Leadership from
                                 Leadership
                                    the Industry
                                            from the Industry                                    23   23   Nathalie Smuha Nathalie Smuha

perationalizing AI
                Operationalizing
                   Ethics: Challenges
                                 AI Ethics:
                                      and Opportunities
                                            Challenges and Opportunities                         23   23   The Covid-19 Pandemic
                                                                                                                           The Covid-19
                                                                                                                                 and thePandemic
                                                                                                                                          Geopolitics
                                                                                                                                                   andofthe
                                                                                                                                                         AI Development
                                                                                                                                                            Geopolitics of AI Development                   47              4
nand S. Rao     Anand S. Rao                                                                               Wendell Wallach Wendell Wallach

      Ⅱ                                                                                                                                                                                                                Ⅲ
Shanghai Institute for Science of Science
Mitigating
itigating Legacies         Legacies
                   of Inequality:    of Inequality:
                                  Global            Global South
                                         South Participation in AIParticipation
                                                                   Governancein AI Governance                             49         49   AI Governance Readiness:
                                                                                                                                                         AI Governance
                                                                                                                                                                   Rethinking
                                                                                                                                                                        Readiness:
                                                                                                                                                                              PublicRethinking
                                                                                                                                                                                     Sector Innovation
                                                                                                                                                                                               Public Sector Innovation                                    77         7
arie-Therese PngMarie-Therese Png                                                                                                         Victor Famubode Victor Famubode

                   Artificial
rtificial Intelligence Needs  Intelligence Needs
                                More Natural     More Natural Intelligence
                                             Intelligence                                                                 51         51   AI Governance inAI
                                                                                                                                                          Latin
                                                                                                                                                             Governance
                                                                                                                                                                America and
                                                                                                                                                                        in Latin
                                                                                                                                                                            Its Impact
                                                                                                                                                                                 America
                                                                                                                                                                                       in Development
                                                                                                                                                                                          and Its Impact in Development                                    79         7
arkus Knauff      Markus Knauff                                                                                                           Olga Cavalli      Olga Cavalli

               Limits
mits of Risk Based    of Risk Based
                   Frameworks       Frameworks
                                in Developing   in Developing Countries
                                              Countries                                                                   53         53   Artificial Intelligence
                                                                                                                                                              Artificial
                                                                                                                                                                  in Latin
                                                                                                                                                                         Intelligence
                                                                                                                                                                            America in Latin America                                                       81         8
rvashi Aneja      Urvashi Aneja                                                                                                           Edson Prestes     Edson Prestes

art IV GlobalPart
              Efforts
                  IV Global
                      from the
                            Efforts
                               International
                                    from the International
                                             Community Community                                                          55         55   2020: A Key Year 2020:
                                                                                                                                                           for Latin
                                                                                                                                                                 A Key
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                                                                                                                                                                       Year forQuest
                                                                                                                                                                                Latin for
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                                                                                                                                                                                                       for an Ethical
                                                                                                                                                                                                                 of AIGovernance of AI                     83         8
                                                                                                                                          Constanza GomezConstanza
                                                                                                                                                          Mont     Gomez Mont
I Governance inAI
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                                  2020:
                                     Responsible
                                        Toolkit for Use
                                                    the Responsible
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                                                                     Enforcement
                                                                         of AI by Law Enforcement                         55         55
akli Beridze      Irakli Beridze                                                                                                          Towards a Regional
                                                                                                                                                         Towards
                                                                                                                                                             AI Strategy
                                                                                                                                                                   a Regional
                                                                                                                                                                         in Latin
                                                                                                                                                                               AI America
                                                                                                                                                                                  Strategy in Latin America                                                85         8
                                                                                                                                          Jean García Periche
                                                                                                                                                           Jean García Periche
lobal Cooperation
               Global
                  on AICooperation
                        Governance:onLet’s
                                      AI Governance:
                                           Do Better inLet’s
                                                        2021Do Better in 2021                                             57         57
anit Gal          Danit Gal                                                                                                               AI Policy Making AI
                                                                                                                                                           as Policy
                                                                                                                                                              a Co-Construction
                                                                                                                                                                     Making as a and
                                                                                                                                                                                 Co-Construction
                                                                                                                                                                                     Learning Space
                                                                                                                                                                                                 and Learning Space                                        87         8
                                                                                                                                          José Guridi BustosJosé Guridi Bustos
I in Pandemic Response:
               AI in Pandemic
                         Realising
                               Response:
                                   the Promise
                                          Realising the Promise                                                           59         59
eán Ó hÉigeartaigh
                Seán Ó hÉigeartaigh                                                                                                       Part VI Emerging
                                                                                                                                                      Part Initiatives
                                                                                                                                                           VI Emerging from
                                                                                                                                                                          Initiatives
                                                                                                                                                                             China from China                                                              89         8

rom Principles to
                From
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                      Principles
                           Governing
                                 to Actions:
                                      and Using
                                             Governing
                                                AI for Humanity
                                                       and Using AI for Humanity                                          61         61   Artificial Intelligence
                                                                                                                                                              Artificial
                                                                                                                                                                  and International
                                                                                                                                                                         Intelligence and
                                                                                                                                                                                      Security:
                                                                                                                                                                                          International
                                                                                                                                                                                                Challenges
                                                                                                                                                                                                        Security:
                                                                                                                                                                                                           and Governance
                                                                                                                                                                                                                  Challenges and Governance                89         8

yrus Hodes        Cyrus Hodes                                                                                                             FU Ying           FU Ying

art V Regional
           PartDevelopments
                V Regional Developments
                            from Policy Practitioners
                                         from Policy Practitioners                                                        63         63   China Continues China
                                                                                                                                                          to Promote
                                                                                                                                                                Continues
                                                                                                                                                                     GlobaltoCooperation
                                                                                                                                                                              Promote Global
                                                                                                                                                                                         in AICooperation
                                                                                                                                                                                               Governancein AI Governance                                  91         9
                                                                                                                                          ZHAO Zhiyun       ZHAO Zhiyun

I Is Too Important
                AI to
                   Is Be
                      TooLeft
                          Important
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                                     to Be Left Alone
                                                to Technologists Alone                                                    63         63
                                                                                                                                          Steadily Taking Off:
                                                                                                                                                           Steadily
                                                                                                                                                               China’s
                                                                                                                                                                    Taking
                                                                                                                                                                       AI Social
                                                                                                                                                                            Off: China’s
                                                                                                                                                                                 Experiment
                                                                                                                                                                                         AI Social
                                                                                                                                                                                             Is in Full
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ugenio Vargas Garcia
               Eugenio Vargas Garcia
                                                                                                                                          SU Jun            SU Jun

he Governance Approach
              The Governance
                       of Artificial
                               Approach
                                     Intelligence
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                                                   in theIntelligence
                                                          European Union
                                                                      in the European Union                               65         65
                                                                                                                                          Artificial Intelligence
                                                                                                                                                              Artificial
                                                                                                                                                                  Governance
                                                                                                                                                                         Intelligence
                                                                                                                                                                                  Requires
                                                                                                                                                                                      Governance
                                                                                                                                                                                           “Technical
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                                                                                                                                                                                                      Innovation
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                                                                                                                                                                                                                 + Institutional
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                                                                                                                                                                                                                                    + Institutional Innovation”
                                                                                                                                                                                                                                                            95        9
va Kaili          Eva Kaili
                                                                                                                                          LI Xiuquan        LI Xiuquan

he Third Way: the
                The
                  EU's
                    Third
                       Approach
                          Way: the
                                 toEU's
                                    AI Governance
                                        Approach to AI Governance                                                         67         67
                                                                                                                                          Developing Responsible
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                                                                                                                                                                 AI: From
                                                                                                                                                                      Responsible
                                                                                                                                                                          Principles
                                                                                                                                                                                  AI:to
                                                                                                                                                                                      From
                                                                                                                                                                                        Practices
                                                                                                                                                                                            Principles to Practices                                        97         9
harlotte Stix     Charlotte Stix
                                                                                                                                          WANG Guoyu        WANG Guoyu

Year of Policy Progress
                A Year ofto
                          Policy
                            Enable
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                                   Public Trust
                                          to Enable Public Trust                                                          69         69
                                                                                                                                          Promote the Formation
                                                                                                                                                          Promote
                                                                                                                                                                of “Technology
                                                                                                                                                                   the Formation+ of
                                                                                                                                                                                  Regulations”
                                                                                                                                                                                     “Technology
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                                                                                                                                                                                                                Comprehensive
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                                                                                                                                                                                                                              Governance Solutions
                                                                                                                                                                                                                                             99                       9
aroline JeanmaireCaroline Jeanmaire
                                                                                                                                          WANG Yingchun WANG Yingchun

om Human-Centric
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                                                                and Prospects
                                                                        Challenges
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                                                                                      Utilization
                                                                                          Prospects
                                                                                                  in Japan
                                                                                                      for AI Utilization in71Japan   71
risa Ema          Arisa Ema

dia’s StrategiesIndia’s
                 to Put Strategies
                        Its AI Economy
                                   to PutonItsthe
                                               AI Fast-Track
                                                  Economy on the Fast-Track                                               73         73
aj Shekhar        Raj Shekhar

Cross-Sector GPS”:
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                                    Building an Industry-Agnostic
                                                  and Human-Centered
                                                                  and Human-Centered
                                                                      Future of Work Future of Work75                                75
oon King Wang Poon King Wang

      Ⅳ                                                                                                                                                                                                                                                           Ⅴ
Shanghai Institute for Science of Science
though full of challenges,
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 g technology even
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his, at the very least,
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                                                         though
                                                            AI governance,
                                                                 with considerable
                                                                            though controversy,
                                                                                   with considerable
                                                                                                concerns
                                                                                                     controversy,
                                                                                                         human destiny.
                                                                                                                  concerns human destiny.
                                                                                                                                                           EDITOR-IN-CHIEF: SHI QIAN
he year of 2020 was
                 Thealso
                     yearquite
                          of 2020
                               important
                                  was also
                                         for quite
                                             Shanghai
                                                   important
                                                       Institute
                                                             for Shanghai
                                                                 for Science
                                                                           Institute
                                                                             of Science
                                                                                     for Science
                                                                                          as it marked
                                                                                                  of Science
                                                                                                        our 40th
                                                                                                             as itanniver-
                                                                                                                   marked our 40th anniver-
                                                                                                                                                                                        SHI Qian is the director of Shanghai Institute for Science of
ary. We had planned
                sary.aWe
                      series
                         hadofplanned
                               celebration
                                      a series
                                           activities
                                                of celebration
                                                      but all were
                                                                activities
                                                                   cancelled,
                                                                           but all
                                                                                orwere
                                                                                   just held
                                                                                         cancelled,
                                                                                             on a small
                                                                                                    or just
                                                                                                         scale
                                                                                                            helddue
                                                                                                                 on to
                                                                                                                    a small
                                                                                                                       the scale due to the
                                                                                                                                                                                        Science (SISS). Before joining SISS, Professor SHl was the vice
andemic. The Governance
              pandemic. Forum
                        The Governance
                              of World AIForum
                                          Conference
                                               of World
                                                     (Shanghai)
                                                        AI Conference
                                                                2020, (Shanghai)
                                                                      organized by
                                                                                 2020,
                                                                                   Shanghai
                                                                                       organized
                                                                                             Institute
                                                                                                   by Shanghai
                                                                                                       for     Institute for
                                                                                                                                                                                        president of the Shanghai Academy of Sciences & Technology
 cience of Science,
                 Science
                    also had
                           of to
                              Science,
                                 changealso
                                        its organizational
                                             had to changeform
                                                           its organizational
                                                                to a combination
                                                                              formoftoonline
                                                                                       a combination
                                                                                             and offlineofactivities.
                                                                                                           online and offline activities.
                                                                                                                                                                                        and concurrently the vice president of the Shanghai Institute of
                                                                                                                                                                                        Industrial Technology. He has been long engaged in the general
 ver the 40-year development
                  Over the 40-year
                              of Shanghai
                                   development
                                          Institute
                                                 of for
                                                    Shanghai
                                                        ScienceInstitute
                                                                 of Science,
                                                                         for Science
                                                                              we haveofalways
                                                                                       Science,
                                                                                              believed
                                                                                                we havethat
                                                                                                         always
                                                                                                            learning
                                                                                                                  believed
                                                                                                                     from that learning from
                                                                                                                                                                                        planning for science and technology development, research
 ternational experience
                  international
                         can effectively
                                experience
                                         helpcan
                                              oureffectively
                                                  country tohelp
                                                             develop
                                                                 our country
                                                                      sciencetoand
                                                                                develop
                                                                                   technology
                                                                                        science
                                                                                              policies,
                                                                                                and technology
                                                                                                        and sometimes
                                                                                                                policies, and sometimes                                                 project management, innovation platform building, and services
an even realize twice
                  can the
                      evenresults
                            realize
                                  with
                                    twice
                                       halfthe
                                            theresults
                                                work. We
                                                       withhave
                                                            half the
                                                                  been,
                                                                     work.
                                                                        in aWe
                                                                             variety
                                                                                haveofbeen,
                                                                                       ways,inconstantly
                                                                                               a variety ofintroducing
                                                                                                             ways, constantly
                                                                                                                       interna-introducing interna-                                     for innovation and entrepreneurship. Professor SHI participated
onal research results
                 tionalabout
                        research
                             the law
                                  results
                                     of scientific
                                          about thedevelopment,
                                                     law of scientific
                                                                 the relation
                                                                       development,
                                                                              between
                                                                                    thescience
                                                                                        relationand
                                                                                                 between
                                                                                                    economy,
                                                                                                         science
                                                                                                             the and
                                                                                                                 social
                                                                                                                     economy, the social                                                in the formulation of a number of national industrial development
mpacts of science impacts
                   and related
                           of science
                               policies.
                                      andThe
                                           related
                                             knowledge
                                                   policies.
                                                          introduced
                                                              The knowledge
                                                                     has made
                                                                            introduced
                                                                                a notablehas
                                                                                          contribution
                                                                                             made a notable
                                                                                                       to the development
                                                                                                              contribution to the development                                           plans and the implementation of major national science and
  science and technology
                 of science
                          policies
                            and technology
                                   of China. In
                                             policies
                                                recentofyears,
                                                         China.weInhave
                                                                    recent
                                                                        also
                                                                           years,
                                                                             beenwe
                                                                                  paying
                                                                                    have attention
                                                                                         also beentopaying
                                                                                                     the progress
                                                                                                           attention
                                                                                                                   of to the progress of                                                technology projects, where he presided over several soft science
ountries in the world
                  countries
                      in terms
                             in of
                                theAIworld
                                      governance,
                                           in termshoping
                                                   of AI governance,
                                                          to learn, experience,
                                                                      hoping to and
                                                                                learn,
                                                                                    enhance
                                                                                       experience,
                                                                                              understanding
                                                                                                   and enhance
                                                                                                            withunderstanding
                                                                                                                 such an      with such an                 research projects, such as “Research on Shanghai’s Medium and Long-Term (2021---2035)
 fort.             effort.                                                                                                                                 Developmental Strategy of Science and Technology” from the Shanghai Municipal Govern-
                                                                                                                                                           ment. Professor SHl obtained the Shanghai Special Award for Scientific and Technological
 f course, learningOf
                    should
                      course,
                           notlearning
                               be one-way,
                                       should
                                           butnot
                                               mutual.
                                                  be one-way,
                                                       In face but
                                                               of such
                                                                   mutual.
                                                                       challenges
                                                                           In face of
                                                                                   assuch
                                                                                      the COVID-19
                                                                                          challengespandemic,
                                                                                                     as the COVID-19
                                                                                                              and AI’spandemic, and AI’s                   Progress in 2016. He is also the director of the Technology Foresight Committee of the
                                                                                                                                                           Chinese Association for Science of Science and S&T Policy, and the deputy director of the
 fluence on all human
                  influence
                        beings
                            onmeans
                               all human
                                      everyone’s
                                         beings means
                                                 thoughts
                                                       everyone’s
                                                          matter. Mutual
                                                                   thoughts
                                                                         learning
                                                                             matter.
                                                                                  is not
                                                                                     Mutual
                                                                                         onlylearning
                                                                                              about developing
                                                                                                      is not only coun-
                                                                                                                   about developing coun-
                                                                                                                                                           Expert Advisory Committee of the National New-Generation Al Innovation and Development
 es learning experience
                 tries learning
                         from developed
                                experience
                                         countries,
                                           from developed
                                                    but also countries,
                                                             about developed
                                                                        but alsocountries
                                                                                 about developed
                                                                                          learning about
                                                                                                   countries
                                                                                                         the learning
                                                                                                             thoughtsabout
                                                                                                                      of   the thoughts of
                                                                                                                                                           Pilot Zone in Shanghai.
eveloping countries.
                 developing
                     The mutual
                            countries.
                                understanding
                                       The mutual
                                              based
                                                  understanding
                                                     on mutual learning
                                                                based onis mutual
                                                                           critical to
                                                                                    learning
                                                                                       the eventual
                                                                                             is critical
                                                                                                      establishment
                                                                                                         to the eventual
                                                                                                                     of establishment of
n effective global an
                   consensus.
                      effective global consensus.

         Ⅵ                                                                                                                                                                                                                                                                               Ⅶ
Last year, we compiled
                       Last our
                            year,first
                                    weannual
                                       compiled
                                             report
                                                ouron
                                                    first        new ideas
                                                       AI annual report     for future new
                                                                        on AI          exploration.
                                                                                           ideas forSeán
                                                                                                     future
                                                                                                          Ó exploration.
                                                                                                            hÉigeartaighSeán Ó hÉigeartaigh                 The work from OpenMined
                                                                                                                                                                              The work
                                                                                                                                                                                    is fascinating
                                                                                                                                                                                        from OpenMined
                                                                                                                                                                                                   this year;
                                                                                                                                                                                                          is fascinating
                                                                                                                                                                                                              they         Irene
                                                                                                                                                                                                                         this    Solaiman
                                                                                                                                                                                                                              year; they from OpenAI,
                                                                                                                                                                                                                                              Irene Solaiman
                                                                                                                                                                                                                                                      an organization
                                                                                                                                                                                                                                                             from OpenAI,
                                                                                                                                                                                                                                                                      with global
                                                                                                                                                                                                                                                                           an organization with global
     governance. The purpose
                         governance.
                             was to identify
                                     The purpose
                                             critical was
                                                      progress            fromprogress
                                                          to identify critical the University offrom
                                                                                                  Cambridge
                                                                                                     the University
                                                                                                             has been
                                                                                                                    of Cambridge
                                                                                                                        delving intohas been delving into   introduced a new privacy-enhancing
                                                                                                                                                                                introduced a newtechnology
                                                                                                                                                                                                  privacy-enhancing      influence,
                                                                                                                                                                                                            follow- technology       explained the
                                                                                                                                                                                                                                follow-        influence,
                                                                                                                                                                                                                                                    releaseexplained
                                                                                                                                                                                                                                                            plan of GPT-3.
                                                                                                                                                                                                                                                                     the release
                                                                                                                                                                                                                                                                            Having
                                                                                                                                                                                                                                                                                 plan of GPT-3. Having
     from numerous AI from
                        governance
                             numerous
                                    studies. We were studies.whether
                                       AI governance                 AI deserves
                                                               We were         whether
                                                                                 its hype
                                                                                       AI or
                                                                                          deserves
                                                                                             whetheritsattention
                                                                                                        hype or whether attention                           ing secure computation,
                                                                                                                                                                            ing secure
                                                                                                                                                                                    federated
                                                                                                                                                                                         computation,
                                                                                                                                                                                              learning federated
                                                                                                                                                                                                        and        learned from
                                                                                                                                                                                                                 learning   and the launch
                                                                                                                                                                                                                                       learned
                                                                                                                                                                                                                                           of GPT-2,
                                                                                                                                                                                                                                               from the
                                                                                                                                                                                                                                                     OpenAI
                                                                                                                                                                                                                                                        launch
                                                                                                                                                                                                                                                             adopted
                                                                                                                                                                                                                                                               of GPT-2,
                                                                                                                                                                                                                                                                     the OpenAI adopted the
     pleasantly surprised pleasantly
                           by the enthusiastic
                                     surprised responses
                                               by the enthusiastic
                                                         to         should be to
                                                                   responses   focused on
                                                                                        should
                                                                                          the basics
                                                                                               be focused
                                                                                                     of theon
                                                                                                            problem,
                                                                                                              the basics
                                                                                                                     like of the problem, like              differential privacy: structured
                                                                                                                                                                                   differentialtransparency.                    new method of releasing
                                                                                                                                                                                                 privacy: structured transparency.                 new GPT-3
                                                                                                                                                                                                                                                        methodthrough
                                                                                                                                                                                                                                                               of releasing
                                                                                                                                                                                                                                                                       an API,
                                                                                                                                                                                                                                                                            GPT-3
                                                                                                                                                                                                                                                                               which
                                                                                                                                                                                                                                                                                   through an API, which
     our invitations, resulting
                             ourin
                                 invitations,
                                   50 expert resulting
                                              contributions
                                                       in 50to
                                                             expert       investments
                                                               our contributions to ourin publicinvestments
                                                                                                 health duringinthe
                                                                                                                 public
                                                                                                                    pandemic.
                                                                                                                        health during
                                                                                                                                Other the pandemic. Other                                                                      can be accessed by approved
                                                                                                                                                                                                                                                  can be accessed
                                                                                                                                                                                                                                                           users with
                                                                                                                                                                                                                                                                  by approved
                                                                                                                                                                                                                                                                      an API key.
                                                                                                                                                                                                                                                                               users with an API key.
     report. The positive report.
                          feedbackThe
                                    from
                                       positive
                                          various
                                                feedback   from variousexperts
                                                   individuals                  question whether
                                                                         individuals      expertsthe
                                                                                                   question
                                                                                                      numerous
                                                                                                            whether
                                                                                                                existing
                                                                                                                     the AI
                                                                                                                         numerous existing AI               Prof. ZHANG Jianwei
                                                                                                                                                                             Prof.
                                                                                                                                                                                fromZHANG
                                                                                                                                                                                     the University
                                                                                                                                                                                           Jianwei of
                                                                                                                                                                                                    from
                                                                                                                                                                                                       Hamburg
                                                                                                                                                                                                         the University of Hamburg
     and organizations onand
                          theorganizations
                              final publication
                                             on the final publication governance
                                                encouraged            encouraged studies governance
                                                                                         can be effectively
                                                                                                    studiestranslated
                                                                                                             can be effectively
                                                                                                                      into      translated into             described the role ofdescribed
                                                                                                                                                                                   AI against
                                                                                                                                                                                           thethe
                                                                                                                                                                                                rolebackdrop
                                                                                                                                                                                                      of AI against        YANG of
                                                                                                                                                                                                              of thethe backdrop Fan,
                                                                                                                                                                                                                                   theCo-founder
                                                                                                                                                                                                                                             YANGof SenseTime,
                                                                                                                                                                                                                                                     Fan, Co-founder
                                                                                                                                                                                                                                                                announced
                                                                                                                                                                                                                                                                     of SenseTime,
                                                                                                                                                                                                                                                                           that    announced that
     us to continue the us
                         initiative
                             to continue
                                    in the the
                                             future.
                                                 initiative
                                                       Notable         policies
                                                            in the future.      for dealing with
                                                                            Notable          policies
                                                                                                 the pandemic.
                                                                                                      for dealing with the pandemic.                        pandemic.             pandemic.                                    as a world-leading AIascompany,
                                                                                                                                                                                                                                                       a world-leading
                                                                                                                                                                                                                                                                SenseTime
                                                                                                                                                                                                                                                                       AI company,
                                                                                                                                                                                                                                                                            is making
                                                                                                                                                                                                                                                                                    SenseTime is making
     contributions include
                         contributions
                            the recommendation
                                       include the ofrecommendation
                                                       the          of the                                                                                                                                                     real efforts at “sustainable
                                                                                                                                                                                                                                                      real efforts
                                                                                                                                                                                                                                                            development”.
                                                                                                                                                                                                                                                                   at “sustainable development”.
     Montreal AI Ethics Institute
                          Montrealand
                                    AIaEthics
                                        letter Institute
                                               from the and
                                                         senior          Bythe
                                                             a letter from   deciding
                                                                               senior to put By
                                                                                              together
                                                                                                 deciding
                                                                                                       thistoglobal
                                                                                                               put together
                                                                                                                    observation
                                                                                                                            this global observation         Scientists are also considering
                                                                                                                                                                                 Scientists are
                                                                                                                                                                                            the also
                                                                                                                                                                                                political
                                                                                                                                                                                                      considering
                                                                                                                                                                                                          and cultural
                                                                                                                                                                                                                   the political and cultural
     advisor at the Officeadvisor
                            of theatPresident
                                      the Office
                                               of of
                                                  thethe President ofreport
                                                       United               this year, we were
                                                                       the United          report
                                                                                               also
                                                                                                  thisable
                                                                                                       year,
                                                                                                           to we
                                                                                                              invite
                                                                                                                 wereexperts
                                                                                                                       also able
                                                                                                                             and to invite experts and      issues raised by technologies.
                                                                                                                                                                                 issues raised
                                                                                                                                                                                           Prof.byAlex
                                                                                                                                                                                                   technologies.
                                                                                                                                                                                                       Pentland from         As an observer
                                                                                                                                                                                                                 Prof. Alex Pentland from   of As
                                                                                                                                                                                                                                               the an
                                                                                                                                                                                                                                                   societal
                                                                                                                                                                                                                                                      observer
                                                                                                                                                                                                                                                            impacts
                                                                                                                                                                                                                                                                of the
                                                                                                                                                                                                                                                                     of societal
                                                                                                                                                                                                                                                                        AI, Danilimpacts of AI, Danil
     Nations General Assembly.
                        NationsWe
                                General
                                  hope that
                                        Assembly.
                                            this report
                                                    Wecan           institutions
                                                        hope that this report canwho wereinstitutions
                                                                                          not involvedwho
                                                                                                        in were
                                                                                                           the previous
                                                                                                                not involved
                                                                                                                        year. in the previous year.         MIT detailed an emerging
                                                                                                                                                                               MIT detailed
                                                                                                                                                                                     issue: how
                                                                                                                                                                                            an emerging
                                                                                                                                                                                                to governissue:           Kerimi digital
                                                                                                                                                                                                           digitalhow to govern  voiced the opinion
                                                                                                                                                                                                                                               Kerimi
                                                                                                                                                                                                                                                    that
                                                                                                                                                                                                                                                      voiced
                                                                                                                                                                                                                                                         AI promotes
                                                                                                                                                                                                                                                              the opinion
                                                                                                                                                                                                                                                                      the that
                                                                                                                                                                                                                                                                          rewriting
                                                                                                                                                                                                                                                                               AI promotes the rewriting
     improve understanding
                        improve
                           of - and
                                  understanding
                                    help to bridgeof- -different        After
                                                        and help to bridge    the previous report
                                                                           - different       After was
                                                                                                   the previous
                                                                                                       released,report
                                                                                                                 it waswas
                                                                                                                        pointed
                                                                                                                            released, it was pointed        platforms interoperating
                                                                                                                                                                                platforms
                                                                                                                                                                                     acrossinteroperating
                                                                                                                                                                                             sovereign andacross  sovereignofand
                                                                                                                                                                                                            institu-          the institu-
                                                                                                                                                                                                                                  social contract.of the social contract.
     viewpoints on the challenges
                        viewpointsand
                                   on the
                                      opportunities
                                          challengesofand       out thatofthe
                                                       AI opportunities     AIvoice of out
                                                                                       the that
                                                                                           Global
                                                                                                theSouth,
                                                                                                    voice of
                                                                                                          especially
                                                                                                             the Global
                                                                                                                     Latin
                                                                                                                        South, especially Latin             tional borders.       tional borders.
     governance. That is the
                         governance.
                             reason weThat
                                       compiled
                                           is the reason
                                                  the report      America
                                                         we compiled       and Africa, had
                                                                     the report         America
                                                                                           been and
                                                                                                neglected.
                                                                                                    Africa, had
                                                                                                            As abeen
                                                                                                                 result,
                                                                                                                      neglected.
                                                                                                                         an      As a result, an                                                                               Steven Hoffman, venture
                                                                                                                                                                                                                                                  Steven
                                                                                                                                                                                                                                                       investor
                                                                                                                                                                                                                                                          Hoffman,
                                                                                                                                                                                                                                                                in the
                                                                                                                                                                                                                                                                    venture
                                                                                                                                                                                                                                                                       Siliconinvestor
                                                                                                                                                                                                                                                                                Valley, in the Silicon Valley,
     this year.            this year.                                   effort was made to include
                                                                                            effort was
                                                                                                    experts
                                                                                                       madefrom
                                                                                                             to include
                                                                                                                 Latin America
                                                                                                                        experts from Latin America          Brian Christian, a bestselling
                                                                                                                                                                                Brian Christian,
                                                                                                                                                                                           authoraofbestselling
                                                                                                                                                                                                     books about          discussed
                                                                                                                                                                                                                author of books     specific problems
                                                                                                                                                                                                                                 about         discussed
                                                                                                                                                                                                                                                       about
                                                                                                                                                                                                                                                         specific
                                                                                                                                                                                                                                                             data.problems
                                                                                                                                                                                                                                                                   In his opinion,
                                                                                                                                                                                                                                                                            about data. In his opinion,
                                                                        and Africa, to reflect the
                                                                                               andconcerns
                                                                                                   Africa, to and
                                                                                                              reflect
                                                                                                                   thethe
                                                                                                                       work
                                                                                                                          concerns
                                                                                                                            done inand the work done in     science and humanities,
                                                                                                                                                                            scienceincluding
                                                                                                                                                                                     and humanities,
                                                                                                                                                                                             “The Alignment        commoditizing
                                                                                                                                                                                                      including “The Alignment the commoditizing
                                                                                                                                                                                                                                   data might notthebe data
                                                                                                                                                                                                                                                        the might
                                                                                                                                                                                                                                                            optimalnot be the optimal
     2020 will leave a deep
                         2020
                            mark
                              will in
                                    leave
                                      human
                                          a deep
                                             history,
                                                  markasinthe       AI governance
                                                            human history, as the there.AI governance there.                                                Problem”, raised a topic
                                                                                                                                                                                 Problem”,
                                                                                                                                                                                     fundamental
                                                                                                                                                                                           raised to
                                                                                                                                                                                                   a topic
                                                                                                                                                                                                     society:
                                                                                                                                                                                                           fundamental    solution,
                                                                                                                                                                                                              how to to society: howand
                                                                                                                                                                                                                                      to we should
                                                                                                                                                                                                                                               solution,
                                                                                                                                                                                                                                                   focus and
                                                                                                                                                                                                                                                         on curbing
                                                                                                                                                                                                                                                             we should
                                                                                                                                                                                                                                                                    abuses.
                                                                                                                                                                                                                                                                       focus on curbing abuses.
     outbreak and spread
                      outbreak
                          of theand
                                  COVID-19
                                    spread pandemic
                                           of the COVID-19 pandemic                                                                                         achieve “alignment” within
                                                                                                                                                                                achieveand
                                                                                                                                                                                         “alignment”
                                                                                                                                                                                           between organizations.
                                                                                                                                                                                                     within and between organizations.
     strained the economic
                        strained
                           and social
                                 the economic
                                      development
                                              and of
                                                  social        Brief introductions
                                                     the development   of the       toBrief
                                                                                       the introductions
                                                                                            opinions of the
                                                                                                          to participating
                                                                                                             the opinions of the participating                                                                                 Omar Costilla-Reyes,
                                                                                                                                                                                                                                                 Omar
                                                                                                                                                                                                                                                    an expert
                                                                                                                                                                                                                                                       Costilla-Reyes,
                                                                                                                                                                                                                                                               in smart an
                                                                                                                                                                                                                                                                         medicine,
                                                                                                                                                                                                                                                                           expert in smart medicine,
     whole world. We oncewhole
                          evenworld.
                               expected
                                     We that
                                        oncelittle
                                               evenprogress          experts
                                                     expected that little     are as follows.
                                                                          progress         experts are as follows.                                          Roman V. Yampolskiy,
                                                                                                                                                                            Romanwho V.specializes
                                                                                                                                                                                         Yampolskiy,
                                                                                                                                                                                                   in AI   specializes elaborated
                                                                                                                                                                                                      whosafety,                  on how social
                                                                                                                                                                                                                       in AI safety,      elaborated
                                                                                                                                                                                                                                                institutions
                                                                                                                                                                                                                                                       on howcansocial
                                                                                                                                                                                                                                                                  adaptinstitutions
                                                                                                                                                                                                                                                                         to the     can adapt to the
     on global AI governance
                       on global
                             would
                                 AI be
                                    governance
                                       made in would
                                               2020. be made in 2020.                                                                                       brought up the concern
                                                                                                                                                                                brought
                                                                                                                                                                                   that AI
                                                                                                                                                                                         upmight
                                                                                                                                                                                            the concern
                                                                                                                                                                                                 be ungovernable.          development of AI, and
                                                                                                                                                                                                        that AI might be ungovernable.         development
                                                                                                                                                                                                                                                  how to adopt
                                                                                                                                                                                                                                                           of AI,new
                                                                                                                                                                                                                                                                   andcertification
                                                                                                                                                                                                                                                                       how to adopt new certification
     However, there was still
                         However,
                              significant
                                      there
                                          interest
                                            was still
                                                   in significant         Technical
                                                      continuing interest in          Communities
                                                                             continuing     Technical Communities                                                                                                              methods in medicine.methods in medicine.
     the annual report. Compared
                          the annual
                                  with
                                     report.
                                       last year,
                                             Compared
                                                  the number
                                                        with last year, the number                                                                          The Industrial Community
                                                                                                                                                                              The Industrial Community
     of participating authors
                          of participating
                              (and institutions)
                                            authors
                                                 turned
                                                    (andout
                                                         institutions)
                                                            to          Technical
                                                                       turned      experts have
                                                                              out to       Technical
                                                                                                 a prominent
                                                                                                     experts have
                                                                                                              place a inprominent
                                                                                                                          AI      place in AI                                                                                  The Interdisciplinary
                                                                                                                                                                                                                                                   The
                                                                                                                                                                                                                                                     Research
                                                                                                                                                                                                                                                       Interdisciplinary
                                                                                                                                                                                                                                                               Community Research Community
     be a little higher this year,
                             be a little
                                   as 52higher
                                          experts
                                               this(from
                                                     year,47
                                                           asinstitu-        governance.
                                                              52 experts (from 47 institu- This year,
                                                                                                  governance.
                                                                                                      Turing Award
                                                                                                               Thiswinner
                                                                                                                    year, Turing
                                                                                                                          Prof. John
                                                                                                                                 Award winner Prof. John    As a large international
                                                                                                                                                                                 As aconsulting
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01                                                                                                                                                                                                                                                                                                                02
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     new round of colonization.
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                                                                                                                                                                                                                                                             of the pandemic,
     Logician Markus KnauffLogician
                            offered Markus
                                    some opinions
                                           Knauff offered
                                                  on the future
                                                          some opinionsother
                                                                       on thecontributors
                                                                              future      and
                                                                                            other
                                                                                              emphasized
                                                                                                  contributors
                                                                                                           thatand
                                                                                                                firmemphasized
                                                                                                                     actions are that firm actions are         planetary scale.      planetary scale.                                                 China is the
                                                                                                                                                                                                                                  China is steadily promoting  steadily promoting
                                                                                                                                                                                                                                                                   further        the further implementa-
                                                                                                                                                                                                                                                                           implementa-
     development of AI from
                        development
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                                              of cognitive
                                                  the perspective critical
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                                                                           following the formulation
                                                                                          critical following
                                                                                                        of principles.
                                                                                                              the formulation of principles.                                                                                                         tion principles
                                                                                                                                                                                                                                  tion of the governance  of the governance
                                                                                                                                                                                                                                                                     issued inprinciples
                                                                                                                                                                                                                                                                               2019.     issued in 2019.
     psychology.           psychology.                                                                                                                         As a strong power inAs a strong power
                                                                                                                                                                                   information       in information
                                                                                                                                                                                               technology,  India alsotechnology, India also
                                                                         Countries and Regions
                                                                                           Countries and Regions                                                                   made
                                                                                                                                                               made gratifying progress ongratifying progress
                                                                                                                                                                                           AI governance      on AI governance
                                                                                                                                                                                                           in 2020. Raj        in 2020. Raj
                                                                                                                                                                                                                               Professor          Professor
                                                                                                                                                                                                                                         SU Jun from        SU University
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                                                                                                                                                                                                                                                                          is taking University is taking
     For developing countries,
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                                                                                                                                                               Shekhar cited the discussions      the on
                                                                                                                                                                                             in India discussions  inof
                                                                                                                                                                                                         all aspects India on all
                                                                                                                                                                                                                               theaspects
                                                                                                                                                                                                                                    lead of      the lead
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                                                                                                                                                                                                                                                       a comprehensive    comprehensive social
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                                                                 should Vargas
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                                                                                                                           the United Nations General                                                                                                  evaluation
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     levels of regulatory and
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                                                 andpose
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                                                                                                                                                                                                          for Innova-         formost
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                                                                                                                                                                                                                                      importantly to most
                                                                                                                                                                                                                                                     lay aimportantly
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                                                                                                                                                                                                                                                                       foundation
     challenges to the suitability
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                                                                                                                                                               tive Cities at the Singapore     at the Singapore   University of for
                                                                                                                                                                                                          of Technology              China to “build an for
                                                                                                                                                                                                                                  Technology                China to
                                                                                                                                                                                                                                                        intelligent   “build with
                                                                                                                                                                                                                                                                    society  an intelligent
                                                                                                                                                                                                                                                                                  humanism”.society with humanism”.
                                                                         related issues. He reviewed
                                                                                             related issues.
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                                                                                                                           theofrelevant progress of           and Design (SUTD) and Designthe
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     International Organizations
                        International Organizations                      UNESCO and the UN
                                                                                         UNESCO
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                                                                                                                                                                                                                  to address      LItoXiuquan         LI Xiuquan
                                                                                                                                                                                                                                       address from Chinese      from of
                                                                                                                                                                                                                                                             Academy  Chinese  Academy
                                                                                                                                                                                                                                                                         Science and   of Science and
                                                                         Digital Cooperation on
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                                                                                                                  on AI governance.
                                                                                                                         Vargas     Eugenio Vargas             employment issues inemployment   issues
                                                                                                                                                                                    the age of AI-an   in the age
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                                                                                                                                                                                                                                     case of for Development
                                                                                                                                                                                                                               Technology                      for Development
                                                                                                                                                                                                                                                             (CASTED)           (CASTED) talked about
                                                                                                                                                                                                                                                                       talked about
     Irakli Beridze, Head of
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                                                                                                                        for increased representation                              transforming
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                                                                                                                                                                                     discussions         discussions
                                                                                                                                                                                                 into specific policy into specific policy
                                                                                                                                                                                                                             the considerations the
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                                                                                                                                                                                                                                                      promoting AI governance
     the United Nations the
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                                                                and the
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                                                                                      in international
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                                                                                                                    on AI    discussions on AI                 initiatives.          initiatives.                                                    through
                                                                                                                                                                                                                                  through both technical     both technical
                                                                                                                                                                                                                                                         and institutional    and institutional innovation.
                                                                                                                                                                                                                                                                           innovation.
     Research Institute (UNICRI),
                         Research showcased
                                   Institute (UNICRI),
                                               a gratifying
                                                        showcased governance
                                                                   a gratifying in recentgovernance
                                                                                          years.    in recent years.
     improvement in theimprovement
                         operationalization
                                      in the ofoperationalization
                                                AI gover-         of AI gover-                                                                                                     Working
                                                                                                                                                               Working across the African   across the
                                                                                                                                                                                          continent,    African
                                                                                                                                                                                                     Victor                       FamubodeWANG Professor
                                                                                                                                                                                                                continent, VictorProfessor
                                                                                                                                                                                                            Famubode                           Guoyu fromWANG
                                                                                                                                                                                                                                                           FudanGuoyu  from Fudan University
                                                                                                                                                                                                                                                                  University
     nance: the UNICRInance:
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                                     AI and Centre
                                             Robotics,
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                                                                Robotics,
                                                                     is an active Europe
                                                                                   promoter
                                                                                         is of
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                                                                                                active
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                                                                                                       promoterEva
                                                                                                                of AI governance. Eva                                               unveiled
                                                                                                                                                               unveiled the gratifying       the ingratifying
                                                                                                                                                                                       progress      awakeningprogress
                                                                                                                                                                                                                 Africanin awakening                 introduced the
                                                                                                                                                                                                                                     African the AI governance
                                                                                                                                                                                                                                introduced                           AI governance
                                                                                                                                                                                                                                                                 efforts promoted byefforts promoted by
     together with INTERPOL’s
                       togetherInnovation
                                with INTERPOL’s
                                          Centre, Innovation
                                                  have       Centre,  have of the Kaili,
                                                              Kaili, Member       European
                                                                                         Member
                                                                                            Parliament,
                                                                                                of the European
                                                                                                        highlighted
                                                                                                                 Parliament, highlighted                                           governments
                                                                                                                                                               governments to the ethical         to theofethical
                                                                                                                                                                                          implications     AI. implications of AI.                Chineseand
                                                                                                                                                                                                                                Chinese computer experts  computer  experts
                                                                                                                                                                                                                                                             philosophers   and philosophers through
                                                                                                                                                                                                                                                                          through
     undertaken to develop
                      undertaken
                            an operationally
                                 to develop oriented
                                             an operationally oriented
                                                          the efforts of Europe in
                                                                                thedetermining
                                                                                    efforts of Europe
                                                                                                the global
                                                                                                       in determining
                                                                                                           leaders in the global leaders in                                                                                       organizations such organizations such asFederation
                                                                                                                                                                                                                                                     as China Computer     China Computer Federation
     toolkit for the responsible
                          toolkit for
                                  usethe
                                      of AI
                                         responsible
                                            by law enforce-
                                                     use of AI by law enforce-
                                                                   AI governance, andAIemphasized
                                                                                        governance,theand
                                                                                                        AI emphasized
                                                                                                           governance the AI governance                                            Despiteofhaving
                                                                                                                                                               Despite having a population         a population
                                                                                                                                                                                             600 million,        of 600 million, Latin
                                                                                                                                                                                                          Latin America           (CCF)America
                                                                                                                                                                                                                                         in 2020.       (CCF) in 2020.
     ment. This toolkit is intended
                           ment. This
                                    to toolkit
                                        supportis and
                                                  intended
                                                      guidetothe
                                                               support and guide
                                                                        model  of the
                                                                                  Europe where
                                                                                            model
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                                                                                                      Europesets
                                                                                                             where
                                                                                                                 thethe
                                                                                                                     principles
                                                                                                                        regulator sets the principles                             has been
                                                                                                                                                               has been under-represented in under-represented   in international discussions
                                                                                                                                                                                             international discussions
     design, development
                      design,
                         and deployment
                              developmentofand
                                            AI deployment
                                               in a       of AI
                                                          and theinmarket
                                                                    a     applies
                                                                             and the
                                                                                  the principles
                                                                                      market applies
                                                                                                 by defining
                                                                                                      the principles
                                                                                                             the     by defining the                           on AI. Thus, several on AI. Thus,
                                                                                                                                                                                    experts fromseveral experts from
                                                                                                                                                                                                 South America  were South America                 The World Artificial
                                                                                                                                                                                                                                   wereArtificial Intelligence
                                                                                                                                                                                                                            The World                                   Intelligence
                                                                                                                                                                                                                                                               Conference            Conference organized
                                                                                                                                                                                                                                                                             organized
     responsible manner.responsible manner.                              standards of the product
                                                                                              standards
                                                                                                  or service.
                                                                                                         of the product or service.                                                   invitedOlga
                                                                                                                                                               invited this year, including   this Cavalli
                                                                                                                                                                                                   year, including Olga Cavalli from
                                                                                                                                                                                                           from Argentina,            Shanghai has widebyinfluence
                                                                                                                                                                                                                                   byArgentina,            Shanghai has wide
                                                                                                                                                                                                                                                                   among     influence
                                                                                                                                                                                                                                                                         the peers     among the peers across
                                                                                                                                                                                                                                                                                    across

03                                                                                                                                                                                                                                                                                                                      04
the world. WANG Yingchun
                       the world.
                              fromWANG
                                   Shanghai
                                       Yingchun   fromforShanghaiBased
                                            Institute                    onfor
                                                                  Institute the reportsBased
                                                                                       of more
                                                                                             onthan
                                                                                                the reports
                                                                                                    50 experts,
                                                                                                            of more
                                                                                                                it is clear
                                                                                                                      than 50 experts, it is clear
     Science of Science presented
                        Science ofthe
                                   Science
                                      relevant
                                            presented  the relevantthat
                                               information              the industrial and
                                                                    information          that
                                                                                           policy
                                                                                              the industrial
                                                                                                  research communities,
                                                                                                             and policy research
                                                                                                                           as    communities, as
     about WAIC 2020 - AIabout
                          Governance
                               WAIC 2020 - AI Governance Forum. well as the internationalwell
                                     Forum.                                               organizations,
                                                                                              as the international
                                                                                                          regions, organizations,
                                                                                                                   and countries regions, and countries
                                                                         have made progress have
                                                                                            on AImade
                                                                                                 governance
                                                                                                      progress
                                                                                                            in 2020.
                                                                                                               on AI governance
                                                                                                                     While it   in 2020. While it
     Based on the annualBased
                        observations
                              on the annual   it is evident of 2019,isit possible
                                     of 2019,observations                         to identify is
                                                                         is evident            these
                                                                                                 possible
                                                                                                     emerging
                                                                                                          to identify
                                                                                                                trends,
                                                                                                                      these
                                                                                                                         it is emerging
                                                                                                                               impos- trends, it is impos-
     that the global AI governance
                          that the global
                                     system
                                          AI is
                                             governance
                                                taking shape.         sible shape.
                                                          system is taking  to present all ofsible
                                                                                               the to
                                                                                                    progress
                                                                                                      presentmade.
                                                                                                              all of the
                                                                                                                     The progress
                                                                                                                          annual made. The annual            We appreciate the recognition and support of all the          Shanghai Institute for Science of Science. After the
     The annual observations
                          Theofannual
                                2020 show
                                      observations
                                           that thisof
                                                    is 2020
                                                       ongoing          report
                                                            show that this      summarized here
                                                                           is ongoing       report
                                                                                                is primarily
                                                                                                   summarizedintended
                                                                                                                 here to
                                                                                                                      is primarily
                                                                                                                         provide intended to provide         authors involved. We appreciate the participation of          publication of the 2019 report, we were honored to
     but with the added feature
                          but with
                                of 2020:
                                   the added
                                         the reflection
                                              feature ofon
                                                         2020:          a springboard
                                                           the the reflection on the  for further
                                                                                           a springboard
                                                                                                  conversations
                                                                                                          for further
                                                                                                                 and discus-
                                                                                                                      conversations and discus-              50 experts in AI Governance in 2019: A Year in                receive recognition and inquiries from some founda-
     global AI governanceglobal
                          system.
                                AI governance system.                    sions.                sions.                                                        Review, who enabled the “birth” of our report, and            tions. Among other things, we fortunately have
                                                                                                                                                             the participation of 52 experts in AI Governance in           received support from Jaan Tallinn, who provided
                                                                                                                                                             2020: A Year in Review, who enabled the continua-             funding for the production of the 2020 report.
                                                                                                                                                             tion of our report. We appreciate the joint efforts
                                                                                                                                                             made by 80 experts from all over the world in the             We would also like to thank our volunteers. who were
                                                                                                                                                             past two years, which have laid a foundation for the          attracted by the reports last year to join us. Caroline
                                                                                                                                                             serial production of this report. It is our belief that the   Jeanmaire from University of California, Berkeley
                                                                                                                                                             report will truly become an annual tradition for              helped us polish the framework and the introduction
                                                                                                                                                             scholarly exchange on topics of AI governance.                of the report. Irene Solaiman from OpenAI gave us
                                                                                                                                                                                                                           suggestions and helped us with some editing work.
                                                                                                                                                             We also appreciate all the work that the authors              Herbert Chia (Sequoia Capital China) helped us
                                                                                                                                                             have done. Although the report is released under the          contact with some contributors.
                                                                                                                                                             name of Shanghai Institute for Science of Science,
                                                                                                                                                             it is actually a result of the partnership among all          XU Nuo from Shanghai Institute for Science of Science,
                                                                                                                                                             authors. In addition, one of the features of this report      provided support in polishing the translation to aid
                                EXECUTIVE EDITORS: LI HUI; BRIAN TSE (INVITED)                                                                               is that the authors of the report are also its editors.       better understanding for readers from different
                                                                                                                                                             The formal editing team made few modifications to             language environments. CHEN Yakun from the Chinese
                                                LI Hui is an associate professor at the Shanghai Institute for Science of Science. He regularly
                                                                                                                                                             the articles, meaning that the authors were able to           Academy of Social Sciences, and HU Xiaomeng
                                                participates in the formulation of AI strategies for Shanghai as well as on a national level. He
                                                                                                                                                             check both the contents and the grammars and                  from Hunan Normal University also contributed
                                                also frequently publishes his views on AI governance in major Chinese media such as People’s
                                                                                                                                                             expressions of their contributions. Many of the               lots of advice and suggestions.
                                                Daily, Guangming Daily and Wenhui Daily. He has played a prominent role in organizing the
                                                                                                                                                             authors are actually the organizers of the report,
                                                Governance Forum of the World Artificial Intelligence Conference 2019, 2020 and 2021. He
                                                                                                                                                             helping to invite new applicable authors for their            NIE Yunzhe from Columbia University in the City of
                                                earned his PhD in history of science from Shanghai Jiao Tong University in 2011. His
                                                                                                                                                             engagement. For example, all the South American               New York contacted the experts as the project leader
                                                background led to his research interests on issues related to AI governance with a long-term
                                                                                                                                                             authors of the 2020 report were referred to us by Mr.         of the report, making many painstaking efforts.
                                                perspective and global thinking.
                                                                                                                                                             Eugenio Vargas Garcia from the United Nations.
                                                                                                                                                                                                                           We also extend our appreciation to three individuals,
                                                                                                                                                             We would like to thank all our colleagues at Shang-           who have devoted their time and efforts to review,
                                                Brian Tse focuses on researching and improving cooperation over AI safety, governance, and
                                                                                                                                                             hai Institute for Science of Science for their support.       edit and polish the entire report prior to its publication:
                                                stability. Brian is a Policy Affiliate at the University of Oxford’s Center for the Governance of AI,
                                                                                                                                                             Although the report is compiled by the team led by            JI Caixuan, PhD student in Area Studies from the
                                                Coordinator at the Beijing AI Academy’s AI4SDGs Cooperation Network, and Senior Advisor at
                                                                                                                                                             the Director of Shanghai Institute for Science of             University of Oxford; Dr. ZHANG Kai, PhD in Materi-
                                                the Partnership on AI. He has advised organizations such as Google DeepMind, OpenAI, Baidu,
                                                                                                                                                             Science in person, the leading team, the research             als from the University of Oxford; and LI Hailong,
                                                Tencent’s WeBank, Carnegie Endowment for International Peace, and Tsinghua University’s
                                                                                                                                                             management department, and the administrative                 MSc in Chemical Engineering from the University of
                                                World Peace Forum. He is a member of the AI safety program committee at AAAI & IJCAI, IEEE
                                                                                                                                                             department also provided great and solid support in           Birmingham.
                                                P2894 XAI Working Group, and IEEE P2863 Organizational Governance of AI Working Group.
                                                                                                                                                             setup, funding, promotion of the project in the later
                                                                                                                                                             stage, and other aspects.                                     We appreciate the support of all our partners, peers
                                                                                                                                                                                                                           and friends from all over the world! We are so honored
                                                                                                                                                             We would like to thank our sponsors. The report would         to work with them all for such a significant task.
                                                                                                                                                             not be completed without the financial support from

05                                                                                                                                                                                                                                                                                       06
These are a few ofThese
                                                                                                                                                                          the issues
                                                                                                                                                                                are a that
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                            Issues on AI Governance                                                                                                    human AI interactions,
                                                                                                                                                                       human security,
                                                                                                                                                       etc. One also needs
                                                                                                                                                                              AI interactions,
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                                                                                                                                                                               consider
                                                                                                                                                                                       ethical situations,
                                                                                                                                                                                  also needs
                                                                                                                                                                                        at what
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                                                                                                                                                                                                                         to include government,
                                                                                                                                                                                                                        issues
                                                                                                                                                                                                                   representatives.
                                                                                                                                                                                                                                     needs to include
                                                                                                                                                                                                                                                  academy,
                                                                                                                                                                                                                                    representatives.
                                                                                                                                                                                                                                                      government,
                                                                                                                                                                                                                                                           and industry
                                                                                                                                                                                                                                                                  academy, and indust

                            By John E. Hopcroft
                                                                                                                                                       should be considered.
                                                                                                                                                                        should
                                                                                                                                                                             Which
                                                                                                                                                                               be considered.
                                                                                                                                                                                   issues are the
                                                                                                                                                                                              Which
                                                                                                                                                                                                  preroga-
                                                                                                                                                                                                     issues are the preroga-

                                                                                                                                                        ABOUT THE AUTHOR             John E. Hopcroft

 I will deliver greatAI
                     benefits
                        will deliver
                                and be
                                     great
                                        a significant
                                           benefits and
                                                      compo-         4. Eliminating
                                                        be a significant compo-     bias
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                                                                                                                                                                                     John E. Hopcroft is the IBM Professor of Engineering and Applied Mathematics in
 ent of our environment.
                   nent ofOversight
                           our environment.
                                    is important
                                             Oversight
                                                 to ensure
                                                        is important
                                                                  AI to ensure are trained
                                                                      systems         AI systems
                                                                                           using data
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                                                                                                              using
                                                                                                                in the
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                                                                                                                                                                                     Computer Science at Cornell University. From January 1994 until June 2001, he
 oth responsible use
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                                    use of AIand
                                              by organizations
                                                 faster        and
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                                                                  impact          will impact
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                                                                                                                                                                                     was the Joseph Silbert Dean of Engineering. After receiving both his M.S. (1962)
 conomic growth. A
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                             issuesAare:
                                     number of issues are: are primarily held byare
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                                                                                                                                                                                     and Ph.D. (1964) in electrical engineering from Stanford University, he spent three
                                                                   recommend men for
                                                                                  recommend
                                                                                     high level jobs.
                                                                                                men for high level jobs.                                                             years on the faculty of Princeton University. He joined the Cornell faculty in 1967,
  Update the legal
                1. system
                   Update the legal system                                                                                                                                           was named professor in 1972 and the Joseph C. Ford Professor of Computer
 or example, who will
                 For be
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                                                              a driverless                                                                                                           Science in 1985. He served as chairman of the Department of Computer Science
 ehicle is in an accident?
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                                                  it the owner, the manufac-
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                                                                                     black
                                                                                         AI boxes
                                                                                            systemand
                                                                                                   areprovide
                                                                                                       black boxes
                                                                                                              answers
                                                                                                                   and provide answers                                               from 1987 to 1992 and was the associate dean for college affairs in 1993. An
 rer, or the developer
                  turer,oforthe
                             theAIdeveloper
                                   system? of
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                                                     the     Updating the but notoexplanation
                                                              to queries           queries butfornothe
                                                                                                     explanation
                                                                                                       answers. for
                                                                                                                 If a the answers. If a                                              undergraduate alumnus of Seattle University, Hopcroft was honored with a Doctor
 gal system is important
                  legal system
                         for companies
                               is important
                                        to make
                                            for companies
                                                 invest- to make  invest-
                                                             system  turns downsystem
                                                                                an individual
                                                                                       turns down
                                                                                              for a job,
                                                                                                     an individual
                                                                                                         the individual
                                                                                                                   for a job, the individual                                         of Humanities Degree, Honoris Causa, in 1990.
 ents.             ments.                                          may insist on a reason
                                                                                     may insist
                                                                                          for theondenial.
                                                                                                    a reason
                                                                                                           Wasfor
                                                                                                                it based
                                                                                                                   the denial.
                                                                                                                         on Was it based on
                                                                   his qualifications orhis
                                                                                         some
                                                                                            qualifications
                                                                                               other factor?
                                                                                                           or some other factor?                       Hopcroft's research centers on theoretical aspects of computing, especially analysis of algorithms, automata
  Clarify data ownership
                 2. Clarify data ownership                                                                                                             theory, and graph algorithms. He has coauthored four books on formal languages and algorithms with Jeffrey D.
                                                                                                                                                       Ullman and Alfred V. Aho. His most recent work is on the study of information capture and access.
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                                                                                                      important has
                                                                                                                applications
                                                                                                                    many important applications
                                                                                                                                                       He was honored with the A. M. Turing Award in 1986. He is a member of the National Academy of Sciences
 an extract who wecan
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                                                                                                                                                       (NAS), the National Academy of Engineering (NAE), a foreign member of the Chinese Academy of Sciences, and
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                                            single IP from a
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                                                              ethnic origin, personality
                                                                               or ethnic traits,
                                                                                         origin,or
                                                                                                 personality
                                                                                                   mental health.
                                                                                                             traits, or mental health.
                                                                                                                                                       a fellow of the American Academy of Arts and Sciences (AAAS), the American Association for the Advancement
 ddress also provides
                 address
                      information
                          also provides
                                  about information
                                         our gender,about our gender,
                                                                                                                                                       of Science, the Institute of Electrical and Electronics Engineers (IEEE), and the Association of Computing
 ur hobbies, and our
                 otherhobbies,
                        personal
                               and
                                 information.
                                    other personal
                                              Will we        7. Social
                                                    information.       network7.
                                                                 Will we      communication
                                                                                 Social network communication                                          Machinery (ACM). In 1992, he was appointed by President Bush to the National Science Board (NSB), which
 low search companies
                allow search
                      to sell this
                               companies
                                   information?
                                          to sell this information?
                                                               Individuals use companies
                                                                                 Individuals
                                                                                          like
                                                                                             use
                                                                                               Facebook
                                                                                                 companies
                                                                                                        andlike
                                                                                                             Twitter
                                                                                                                Facebook and Twitter                   oversees the National Science Foundation (NSF), and served through May 1998. From 1995-98, Hopcroft
                                                                   to communicate information
                                                                                    to communicate
                                                                                              or disinformation
                                                                                                     information to
                                                                                                                  or large
                                                                                                                      disinformation to large          served on the National Research Council's Commission on Physical Sciences, Mathematics, and Applications.
  Fairness         3. Fairness                                     numbers of users.numbers
                                                                                     This canof
                                                                                             have
                                                                                                users.
                                                                                                   positive
                                                                                                       This can
                                                                                                            or negative
                                                                                                                have positive or negative
 he impact of AI needs
                   The to
                       impact
                          be regulated
                               of AI needs
                                        so that
                                            to be
                                                allregulated
                                                    classes so thatimpact
                                                                     all classes
                                                                            on a nation.
                                                                                      impact
                                                                                         AI may
                                                                                              onbe
                                                                                                 a nation.
                                                                                                   used toAI
                                                                                                           control
                                                                                                             may bewhat
                                                                                                                     used
                                                                                                                        is to control what is          In addition to these appointments, Hopcroft serves as a member of the SIAM financial management committee,
  people benefit, not
                  of people
                      just thebenefit,
                               rich andnot
                                        powerful.
                                           just the rich and powerful.
                                                                 communicated and
                                                                                communicated
                                                                                  will require AIand
                                                                                                  governance.
                                                                                                     will require AI governance.                       IIIT New Delhi advisory board, Microsoft's technical advisory board for research Asia, and the Engineering
                                                                                                                                                       Advisory Board, Seattle University.

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