arXiv:2603.05175cs.LG2026-03

为应对AI监管中的信息不对称和统计不确定性,提出基于可信集的机制设计新框架。

Incentive Aware AI Regulations: A Credal Characterisation

  • 用可信集(credal set)刻画非合规证据分布,实现精准监管
  • 证明当且仅当非合规证据构成闭凸集时可达成理想监管效果
  • 适用于需防范黑箱模型违规的公平性与虚假特征监管场景

AI应用的快速普及加剧了对其有效监管的讨论。理想的监管需平衡两个目标:一是阻止不合规提供者进入市场,二是保留合规提供者。我们称此为完美市场结果(PMO)。监管面临两大障碍:提供者拥有私有信息并可策略性规避合规,且从有限样本中得出的证据本身带有统计不确定性。由于信息不对称与统计不确定性是任何有效监管的固有属性,本文通过显式考虑统计不确定性的机制设计框架对其进行形式化。研究发现:一个机制能实现PMO当且仅当非合规证据分布构成一个闭合、凸的概率测度集合,即模糊概率论中的可信集(credal set)。该结果可作为判断特定监管能否实现PMO的诊断工具。进一步表明,可通过一组假设检验构造实现PMO的机制,并在虚假特征与公平性监管实验中验证了理论贡献。

原文摘要 · Abstract (English)

The rapid proliferation of AI applications has intensified debate on effective regulation of these black-box services. Effective regulation must balance two competing goals: (1) deterring non-compliant providers from entering the market, while (2) retaining compliant ones. We call this ideal the perfect market outcome (PMO). Regulators face two compounding obstacles that make PMO difficult to achieve: providers hold private information and can act strategically to evade compliance, while any evidence drawn or derived from a finite sample carries statistical uncertainty in proving non-compliance. As this information asymmetry and statistical uncertainty is inherent to any effective regulation, we formalise them through a mechanism design framework that explicitly accounts for such statistical uncertainty. This yields a sharp characterisation: a mechanism achieves PMO if and only if the set of non-compliant evidence distributions forms a closed, convex set of probability measures, known in imprecise probability as a credal set. This result serves as a diagnostic tool to determine whether PMO is achievable under a given regulation. We further show that PMO-achieving mechanisms can be constructed from a collection of hypothesis tests, and validate our theoretical contributions through experiments on spurious-feature and fairness-based regulations.

机制设计可信集AI监管

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