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Website:www.aigovernancereview.com The report editor can be reached at globalaigovernance@gmail.com We welcome any comments on this report and any communication related to AI governance. June, 2021 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 DataCan and We AI for UseGood, Data Without and AI for Also Good, Enabling Without Misuse? 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
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 America’s Year forQuest Latin for America’s an Ethical Quest Governance for an Ethical of AIGovernance of AI 83 8 Constanza GomezConstanza Mont Gomez Mont I Governance inAI 2020: Governance Toolkit for inthe 2020: Responsible Toolkit for Use the Responsible of AI by Law Use 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 Actions: 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 to Technologists 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 Experiment Swing Is in Full Swing 93 9 ugenio Vargas Garcia Eugenio Vargas Garcia SU Jun SU Jun he Governance Approach The Governance of Artificial Approach Intelligence of Artificial in theIntelligence European Union in the European Union 65 65 Artificial Intelligence Artificial Governance Intelligence Requires Governance “Technical Requires Innovation “Technical + Institutional Innovation Innovation” + 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 Developing 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 Progress Public Trust to Enable Public Trust 69 69 Promote the Formation Promote of “Technology the Formation+ of Regulations” “Technology Comprehensive + Regulations”Governance Comprehensive Solutions Governance Solutions 99 9 aroline JeanmaireCaroline Jeanmaire WANG Yingchun WANG Yingchun om Human-Centric From to Planetary-Scale Human-CentricProblem to Planetary-Scale Solving: Challenges Problem Solving: and Prospects Challenges for AIand 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”: “Cross-Sector Building anGPS”: Industry-Agnostic 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
though full of challenges, Although the full year of challenges, of 2020 was themarvelous year of 2020 for was Artificial marvelous Intelligence for Artificial (AI). Intelligence (AI). Last year, we worked Lastwith year, global we worked expertswith for the global firstexperts time to for jointly the compile first timethe to jointly AI Governance compile the in 2019: AI Governance in 2019: A Year in Review. A WeYear received in Review. extensive We received support extensive from the experts supportwe from invited, the experts which made we invited, us realize which made us realize he outbreak and The spread outbreak of the and COVID-19 spreadpandemic of the COVID-19 significantly pandemic impacted significantly the economic impacted and the social economic development and social of development of that such work could thatbe such more work meaningful could bethan morewe meaningful had anticipated. than weAfter hadthe anticipated. release ofAfter the the report, release we of the report, we ountries around the countries world. Policymakers around the world. and Policymakers researchers around and researchers the world had around to hurriedly the worldputhad aside to hurriedly all their plans put aside all their plans surprisingly found that surprisingly more cooperation found that efforts more cooperation had been formed effortsbased had been on the formed report. based We believe on the report. this We believe this nd spared no effort andtospared deal with no this effort disruptive to deal with newthis issue. disruptive As we see, new AI issue. governance As we see, is aAIsub-topic governance under is this a sub-topic major under this major report itself has become report aitself platform has become promoting a platform mutual learning promoting of mutual all parties learning concerned. of all parties concerned. sue. issue. We hope that the AIWe Governance hope that the in 2020: AI Governance A Year in Review in 2020:can A Year givein further Reviewplay can to give the role further as aplay platform to the role as a platform fact, over the past In fact, year over whenthe allpast workyear seemed wheninallstagnation, work seemed research in stagnation, on AI governance research went on AI the governance opposite went way; itthe opposite way; it for global exchanges, for global and record exchanges, the extraordinary and recordthoughts the extraordinary and actions thoughts in this extraordinary and actions inyear this extraordinary worth year worth ew more attention drew andmore stimulated attention deeper and discussions stimulated deeper as a result discussions of the thorny as a result issuesofbrought the thorny about issues by the brought pandemic. about by the pandemic. remembering. remembering. or example, the application For example,of digital the application tracking technology of digital tracking raised technology extensive discussions raised extensive in many discussions countries.inInmany China, countries. In China, Health Code” (a digital “Healthtracking Code” technology) (a digital tracking has been technology) widely applied has been andwidely praised applied as a powerful and praised tool as forapandemic powerful tool for pandemic SHI Qian SHI Qian evention and control. prevention In contrast, and control. some countries In contrast, holdsome a complicated countries hold and aeven complicated negative and attitude eventowards negative digital attitude track- towards digital track- Director of Shanghai Director Institute of Shanghai for Science Institute of Science for Science of Science g technology even ingattechnology the height even of theatpandemic. the height of the pandemic. his, at the very least, This,reminds at the very us that least, AI reminds governance, us that 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 large international firm, PwCconsulting has the firm, PwC has the tions) provided contributions. tions) provided contributions. Hopcroft continues toHopcroft offer hiscontinues opinions to asoffer a scientist. his opinions as a scientist. opportunity to observe opportunity the AI dynamics to observe of the AI dynamics ofAllan theinterna- Dafoe and Alexis the interna- AllanCarlier Dafoefrom and the Alexis University Carlier of from the University of He has identified 7Heissues has identified in various7 areas issues and in various areas and tional industrial community. tional industrial Anand S.community. Rao, a partner Anandat S. Rao,Oxford mentioned a partner at the Oxford implementation mentioned mechanisms the implementation for mechanisms for As some authors have As some workedauthors on thishave report worked for two highlighted on this report for twothe importance highlighted of “oversight”. the importance of “oversight”. the firm, mentionedthe an firm, interesting mentioned phenomenon: an interesting AI AI governance. phenomenon: AI ForAIexample, governance. a leading For example, national AI a leading national AI consecutive years, they consecutive have beenyears, able to they build haveonbeen their able to build on their remains popular withremains the industrial popularcommunity with the industrial conference against community againstnow requires conference that all nowpaper requires submissions that all paper submissions work from the first year. workTake fromOpenAI the firstas year. an example: Bartexample: Take OpenAI as an Selman, President Bart of Selman, AAAI, reminded President us of AAAI, of an reminded us of an the backdrop of the pandemic, the backdrop with of the the global pandemic, venture include with the global a responsibility venture include statement. a responsibility statement. while its release planwhile for GPT-2 its release in 2019 plan sparked for GPT-2 some important in 2019 sparked issue: AI important some technologyissue: oftenAIoperates technology in aoften operates in a capital funding for capital AI rising funding continuously for AI rising in 2020. continuously in 2020. controversies, the new controversies, release planthe they newproposed plan they manner release at proposedthat at is quitemanner foreign that to us. is quite This makes foreign good to us. This makes good However, very few companies However, had very fully few embedded companies and Jared Brown had fully embedded and from theJared Future Brown of Lifefrom Institute the Future touched of Life on Institute touched on the launch of GPT-3 in the 2020 launch seems of GPT-3 betterin received. 2020 seems governance The better received. Thedependent governance on close collaboration dependent onbetween close collaboration between automated AI risk management automated and AI risk controls management specific in place.and controls issues: what the in place. specific AI risks issues: are, what and how the AI to risks identify, are, and how to identify, European Union is another European goodUnion example: is another following good its example: AI AI researchers following its AI and policymakers. AI researchers and policymakers. assess and manage assess them. and manage them. Ethical Framework released Ethical Framework in 2019, it issued released a White in 2019, it issued a White Abhishek Gupta, Founder Abhishek of Gupta, the Montreal Founder AI Ethics of the Montreal AI Ethics Paper in 2020, proposing Paper corresponding in 2020, proposing regulatory corresponding rules. GONGrules. regulatory Ke, President GONG of the Ke, World President Federation of the ofWorld Federation of Institute, arrived at deep Institute, insights arrived on the at deep reason insights Sociologists why AIon the reason why AI Petra Ahrweiler SociologistsandPetra Martin Ahrweiler Neumannand Martin Neumann Engineering Organizations Engineering (WFEO), Organizations explained (WFEO), how explained how governance principles governance cannot be principles effectively cannot be effectivelymentioned implement- implement-that the mentioned formulation that of regulations the formulation on AIof regulations on AI The unusual situationThe created unusual by the situation pandemic created has by also WFEO the pandemic hasisalso proactively WFEO promoting is proactively the efforts promoting related to the the efforts related to the ed, based on his corporate ed, based background. on his corporate Therefore, background. he governance Therefore, herequires governance an inventoryrequires of knowledge an inventory corporaof knowledge corpora resulted in serious reflection resulted on in serious AI and its reflection on AI and its ethical governance. governance ethical governance. of AI. governance He also highlighted of AI. Hethealso highlighted the proposed the “patterns proposed of practice” the “patterns feasible of practice” for about human feasible for values about which human are to be values implemented which arewith to be implemented with Being compelled to Being reflect compelled on AI may to provide reflect us onwith concept AI may provide of the green concept us with development of theofgreen AI. development of AI. practitioners. practitioners. AI technologies. AI technologies. 01 02
Jurist Malavika Jayaram Jurist emphasized Malavika Jayaram that the movement emphasized that the movement Danit Gal, former Technology Danit Gal, Advisor former Technology at the United Advisor at the United As the Coordinator As of the the Coordinator Edson Prestes fromEdson of the European Commission’s European Commission’s Brazil,Prestes fromGómez Constanza Brazil, Mont Constanza Gómez Mont to decolonize data should to decolonize include efforts data should aimed include at lettingefforts aimed at letting Nations, who led workNations, on AI inwho the implementation led work on AI inofthe theimplementation of the High-Level Expert High-Level Expert Group Group on Artificial from Columbia, Jeanfrom on Artificial Intelligence, Intelligence, Columbia, García PericheJean fromGarcía Periche from Dominican Dominican every region work hard every to preserve region work the hard sovereignty to preserve and the sovereignty and Secretary-General’s United Nations United Nations Roadmap Secretary-General’s for Digital Roadmap for Digital Charlotte Charlotte Stix analyzed how Stix the analyzed European how the European Union Union Republic, Republic, and José A. and José Guridi Bustos A.Chile. from GuridiThey Bustos from Chile. They autonomy of data that autonomy does notoffitdata neatly thatinto does Western not fit neatly into Western introduced Cooperation, Cooperation, the work introduced she participated the work in. she participated in. continued continued to methodically to methodically advance advance its AI discussed its AI governance governance discussedprogress the AI governance the AI governance progress of Latin Ameri- of Latin Ameri- parameters. parameters. Her comprehensive vision Her comprehensive urges global AI vision governance urges global AI governance framework in the yearframework in the year of the pandemic. Sheofintroduced the pandemic. Shecaintroduced ca from from their own point their respectively. of view own point of They view respectively. They cooperation initiatives cooperation to equitably initiatives engage totheequitably Global engage the Global theAI:White the White Paper on Paper on a European AI: a European Approach to Approach to share a common share view that aLatin common viewshould America that Latin haveAmerica should have Nathalie Smuha, a jurist Nathalie as wellSmuha, as a philosopher, a jurist as well asserted as a philosopher, Southasserted and underrepresented South and communities. underrepresented communities. Excellence Excellence and Trust, publishedand Trust, by the EUpublished this year,by the EU its this ownyear, its own voice in global AI voice in global governance. AI also They governance. They also that the time is ripe for thatprinciples the time is and ripe guidelines for principles to beand guidelines to be which which focused on the focused seven on the seven for key requirements key requirements for agreed agreed unanimously unanimously that Latin America,that withLatin its America, with its translated into enforceable translated legislation. into enforceable Moreover, legislation.Seán Moreover, Ó hÉigeartaighSeán from Ó thehÉigeartaigh University offrom Cambridge the University of Cambridge trustworthy trustworthy AI mentioned in the AI mentioned regulatory proposal. proposal. low levelrelatively in the regulatoryrelatively low level of of AI technology, AI technology, R&D, and R&D, and such legislation should such tackle legislation not onlyshould individual tackle harms not only individual is partharms of the Global Partnership is part of theonGlobal AI’s AIPartnership and Pandem-on AI’s AI and Pandem- application, application, should not should blindly adopt thenot blindly adopt the governance governance but also collective and butsocietal also collective harms that andAIsocietal can raise. harms that AI icscan raise.group. Hisics working contribution working group. argues Histhat contribution while the argues that while the Caroline Jeanmaire Caroline from UC Jeanmaire from UC Berkeley Berkeley introduced the introduced developedmodels models ofthe of developed countries. countries. hype about AI is pervasive, hype aboutit AI canis provide pervasive, limited it can provide limited nine principles for AI nine principles design, for AI design, development development and applica- and applica- Wendell Wallach, a well-known Wendell Wallach, expert ainwell-known the ethics of expert in the ethics to solutions of the problem solutions of the to pandemic. the problem Weofshould the pandemic. We should tion issued tion issued by President Trump by President near the endTrump of hisnear theCountries Countries end of hisand Regions and Regions (China) (China) science and technology, science evaluated and technology, the use ofevaluated AI in the the useinstead of AI infocus the on what instead is important focus on- what investments is important on - investments on presidency, presidency, and presented and presented the common the of concerns common concerns of unique scenario created unique by the scenario pandemic, created as by wellthe aspandemic, in as wellhealth. public as in In addition, publicthe health. debate In addition, about whether the debate to about whether to America and EuropeAmerica andAtlantic: across the Europetoacross thethe ensure Atlantic: toAIensure the is developing AI is rapidly in developing rapidly China. FU Ying, in China. FU Ying, Chairperson Chairperson the complex geopolitical the complex situation.geopolitical In his opinion, situation. global In his opinion, global tracing use use digital technologies digital tracing to deal technologies with the to deal with the control over AI risks. control over AI risks. for International for International Security and Strategy,Security Tsinghuaand Strategy, Tsinghua Univer- Univer- cooperation is essential. cooperation is essential. pandemic has reminded pandemic us of hasthe reminded complexity us of the complexity of sity,impact sity, talked about the talked ofabout AI ontheinternational impact of AI on international governance issues. governance issues. Arisa Arisa Ema from Japan Ema from presented theJapan presented the jointsecurity, joint statement statement security, and noted that Chinaand notedto is willing that China is dialogue andwilling to dialogue and Marie-Therese Png, Marie-Therese who is active in Png, encouraging who is active the in encouraging the of the 2nd French-German-Japanese of the 2nd French-German-Japanese AI Symposium AI cooperate Symposium cooperate with all parties. with all parties. discourse of developing discourse countries ofin developing global AI governance, countries in global AI Cyrus governance, Hodes, an observer CyrusofHodes, the international an observer governance of the international governance heldfirst held in 2020. While the in 2020. While emphasized conference the first conference a emphasized a worries that the development worries that of AI themay development bring about of aAI may bring of AI,about a summarized the of AI, efforts summarized made by the representative efforts made by representative human-centric human-centric approach, this year, approach, in the facethis of year, the in the ZHAO face ofZhiyun, the ZHAOofZhiyun, Director Director the Advance of the Office of Advance Office of new round of colonization. new round of colonization. organizations in theorganizations past year, when in thethepast pandemic year, when the pandemic pandemic,emphasized pandemic, the joint statement the joint statement emphasizedDevelopment the impor- Development the impor- Planning Planning AI, for New-generation for MOST, New-generation AI, MOST, shook the world. He shook reiterated the the world. points He mentioned reiterated the by points mentioned by tance tance of cooperation of cooperation in addressing in addressing problems on a problems on how illustrated illustrated a against how against the backdrop the backdrop of the pandemic, 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 the perspective of AI from of cognitive the perspective critical of cognitive 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 Tsinghua Jun from Tsinghua is taking University is taking For developing countries, For developing both the countries, awarenessboth of AIthe awareness of AI Shekhar cited Shekhar cited the discussions the on in India discussions inof all aspects India on all theaspects lead of the lead in promoting in promoting asocial a comprehensive comprehensive social governance and their governance regulatoryand capacity their regulatory should be capacityEugenio should Vargas be Garcia, Eugenio Former Vargas Senior Garcia, Adviser Former of theSenior Adviser of the personal personal data protection AI. and responsible AI.experiment, not onlyexperiment, data protection and responsible not onlyexperimental to make an overall to make an overall experimental taken into consideration. taken Urvashi into consideration. Aneja highlighted Urvashi how Aneja low highlighted how Office of low the President Office of the of the United President Nations of General the United Nations General evaluation evaluation of the social impacts of of the socialintelligence, artificial impacts of artificial intelligence, levels of regulatory and levels institutional of regulatory capacity andpose institutional further capacity Assembly, pose further recognizes Assembly, that AI isrecognizes important enough that AI is that important enough that Poon Poon King Wang at the LeeKing KuanWang at the Lee Yew Centre Kuan Yew Centre for Innova- formost but Innova- but importantly to most lay aimportantly theoretical to lay a theoretical foundation foundation challenges to the suitability challenges of risk-based to the suitability approaches. of risk-based approaches. international cooperation international is required cooperation to jointly is address required to jointly address tive CitiesUniversity 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. the relevant He reviewed progress theofrelevant progress of and Design (SUTD) and Designthe proposed (SUTD) proposed “cross-sector the “cross-sector GPS” GPS” International Organizations International Organizations UNESCO and the UN UNESCO Secretary-General and the UNRoadmap Secretary-General for Roadmap for initiative to help initiative to help the Singaporean the Singaporean Government Government to address LItoXiuquan LI Xiuquan address from Chinese from of Academy Chinese Academy Science and of Science and Digital Cooperation on Digital AI governance. CooperationEugenio on AI governance. Vargas Eugenio Vargas employment issues inemployment issues the age of AI-an in the age excellent of of case AI-an excellent Technology case of for Development Technology for Development (CASTED) (CASTED) talked about talked about Irakli Beridze, Head of Irakli the Beridze, Centre for Head AI and of the Robotics Centreoffor AI andGarcia Robotics hasof been calling Garciaforhas increased been calling representation for increased representation transforming transforming academic academic discussions discussions into specific policy into specific policy the considerations the on considerations on promoting AI governance promoting AI governance the United Nations the Interregional United Nations Crime Interregional and Justice Crime from and the Justice Global Southfrom in international the Global South discussions in international 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: CentretheforUNICRI AI and Centre Robotics, for AI andEurope Robotics, is an active Europe promoter is of an AI active governance. 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 the of regulator 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 few need of thetoissues be thought that need totive be thought of government tive and of which government shouldand be developed which should be develope about and regulated. about Other and issues regulated. concern Othersafety issues in concern by safety in The creation industry? by industry? of anThe AI governance creation of an policy AI governance polic Issues on AI Governance human AI interactions, human security, etc. One also needs AI interactions, etc.toOne consider ethical situations, also needs at what security, ethical needs to level consider issues situations, at what level 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 4. Eliminating bias 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 are trained and bias using in the data data and bias in the data Computer Science at Cornell University. From January 1994 until June 2001, he oth responsible use bothofresponsible AI by organizations use of AIand by organizations faster and will fasterthe AI system. impact will impact For the example, AI system. if highFor level example, jobs if high level jobs was the Joseph Silbert Dean of Engineering. After receiving both his M.S. (1962) conomic growth. A economic number of growth. issuesAare: number of issues are: are primarily held byare men, primarily an AI system held by ismen, likelyantoAIprimarily system is likely to primarily 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 example, responsible who will when driverless when 5. be aresponsible Explanability 5. Explanability a driverless Science in 1985. He served as chairman of the Department of Computer Science ehicle is in an accident? vehicle Is is in it the an accident? owner, theIsmanufac- it the owner, the manufac- Many AI system are Many 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 Updating the AI system? 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. When we do a webWhen search, wethe do a search web search, companythesaves 6. Face search company and affect6.recognition saves Face and affect recognition l searches by IPalladdress. searches From by IP thisaddress. database, From onethis database, Face andone affect recognition Face andhasaffect many recognition 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 are,extract wherewho we shop, we are, what where items wewe shop, what butitems we not bebut it should used it should for some notmatters be usedsuch for some as racial matters such as racial (NAS), the National Academy of Engineering (NAE), a foreign member of the Chinese Academy of Sciences, and urchase. Lookingpurchase. at all searches Lookingfrom at alla searches single IP from a or single IP 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. 07 08
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