提出五要素框架与评估模型,系统分析多国AI监管现状
The AI Pentad, the CHARME$^{2}$D Model, and an Assessment of Current-State AI Regulation
- 构建AI五要素模型:人、算法、数据、算力、能源
- 设计CHARME²D模型,关联监管机制与核心组件
- 对比欧、中、阿联酋等五国监管政策,揭示差异与短板
人工智能近年发展迅速,应用已渗透社会各领域。尽管普遍认为需加强监管,但缺乏统一的框架来构建和评估监管措施。现有方法多基于主观价值判断,如责任、公平、无偏见、透明度和信任,常因学术界对定义分歧而难以落地。本文从核心AI组件出发,提出统一监管模型。首先引入AI五要素:人与组织、算法、数据、算力、能源;其次梳理监管支撑机制,包括注册披露、监测与执行;进而提出CHARME²D模型,深入分析五要素与监管机制的关系;最后将该模型应用于欧盟、中国、阿联酋、英国和美国的AI监管实践,比较其优势、不足与空白,为未来立法提供参考。
原文摘要 · Abstract (English)
Artificial Intelligence (AI) has made remarkable progress in the past few years with AI-enabled applications beginning to permeate every aspect of our society. Despite the widespread consensus on the need to regulate AI, there remains a lack of a unified approach to framing, developing, and assessing AI regulations. Many of the existing methods take a value-based approach, for example, accountability, fairness, free from bias, transparency, and trust. However, these methods often face challenges at the outset due to disagreements in academia over the subjective nature of these definitions. This paper aims to establish a unifying model for AI regulation from the perspective of core AI components. We first introduce the AI Pentad, which comprises the five essential components of AI: humans and organizations, algorithms, data, computing, and energy. We then review AI regulatory enablers, including AI registration and disclosure, AI monitoring, and AI enforcement mechanisms. Subsequently, we present the CHARME$^{2}$D Model to explore further the relationship between the AI Pentad and AI regulatory enablers. Finally, we apply the CHARME$^{2}$D model to assess AI regulatory efforts in the European Union (EU), China, the United Arab Emirates (UAE), the United Kingdom (UK), and the United States (US), highlighting their strengths, weaknesses, and gaps. This comparative evaluation offers insights for future legislative work in the AI domain.
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