arXiv:2509.11332cs.CYcs.AI2025-09中稿 · manuscript of the …被引 28

提出五层AI治理框架,打通政策到落地的执行路径。

A five-layer framework for AI governance: integrating regulation, standards, and certification

  • 从监管到认证分五层递进,明确合规实施路径
  • 案例验证可发现标准缺失与报告机制漏洞
  • 适合政策制定者和企业用于提升合规与风险管控

人工智能治理需要将宏观监管原则与具体实施相衔接。现有框架缺乏对法规如何转化为合规机制的清晰说明,导致执行缺口。本文提出一个涵盖五个层级的AI治理框架,从宏观监管指令逐步细化至具体标准、评估方法和认证流程,形成可落地的执行路径。通过在AI公平性和事故报告两个案例中的应用验证,框架能有效识别法律指令、标准化和实施层面的差距。其设计兼顾全球与区域需求,实现监管要求与实际操作的精准对接,有助于提升合规性与风险管理水平。该研究为政策制定者、监管机构和产业界提供了可操作的治理模板,推动建立公众信任并促进AI向善发展。

原文摘要 · Abstract (English)

Purpose: The governance of artificial iintelligence (AI) systems requires a structured approach that connects high-level regulatory principles with practical implementation. Existing frameworks lack clarity on how regulations translate into conformity mechanisms, leading to gaps in compliance and enforcement. This paper addresses this critical gap in AI governance. Methodology/Approach: A five-layer AI governance framework is proposed, spanning from broad regulatory mandates to specific standards, assessment methodologies, and certification processes. By narrowing its scope through progressively focused layers, the framework provides a structured pathway to meet technical, regulatory, and ethical requirements. Its applicability is validated through two case studies on AI fairness and AI incident reporting. Findings: The case studies demonstrate the framework's ability to identify gaps in legal mandates, standardization, and implementation. It adapts to both global and region-specific AI governance needs, mapping regulatory mandates with practical applications to improve compliance and risk management. Practical Implications - By offering a clear and actionable roadmap, this work contributes to global AI governance by equipping policymakers, regulators, and industry stakeholders with a model to enhance compliance and risk management. Social Implications: The framework supports the development of policies that build public trust and promote the ethical use of AI for the benefit of society. Originality/Value: This study proposes a five-layer AI governance framework that bridges high-level regulatory mandates and implementation guidelines. Validated through case studies on AI fairness and incident reporting, it identifies gaps such as missing standardized assessment procedures and reporting mechanisms, providing a structured foundation for targeted governance measures.

AI治理合规框架监管标准

Thank you to arXiv for use of its open access interoperability. PaperDance 不是 arXiv 官方产品;中文卡片由大模型生成,请以原文为准。