arXiv:2604.20805cs.CYcs.AI2026-04中稿 · the Ninth Annual A…被引 1

AI对齐问题本质是治理难题,而非单纯技术问题。

Relative Principals, Pluralistic Alignment, and the Structural Value Alignment Problem

  • 从委托代理框架出发,提出目标、信息、委托方三轴模型
  • 揭示对齐问题源于多方利益冲突与制度设计缺陷
  • 强调需通过制度机制管理对齐,适合政策制定者阅读

人工智能对齐问题常被视作纯技术或规范性挑战,有时聚焦于未来假设系统。本文认为,该问题更应被理解为治理结构问题:不是系统是否抽象对齐,而是对谁、在何种程度上、付出何种代价对齐。基于经济学中的委托代理框架,本文将错位归因于三个相互作用的维度:目标、信息和委托方。三轴框架系统化诊断现实系统中错位的成因,表明对齐并非模型的单一技术属性,而是由目标设定方式、信息分布以及实际中哪些利益被纳入决定共同塑造的结果。核心贡献在于证明三轴分解意味着对齐本质上是治理问题而非仅工程问题。由此视角看,对齐具有内在多元性和情境依赖性,解决错位涉及不同价值间的权衡。由于错位可能沿任一轴发生并影响不同利益相关方,结构性描述表明对齐无法仅靠技术设计‘解决’,而必须通过持续的制度过程来管理——包括目标设定、系统评估,以及受影响群体参与决策重塑的途径。

原文摘要 · Abstract (English)

The value alignment problem for artificial intelligence (AI) is often framed as a purely technical or normative challenge, sometimes focused on hypothetical future systems. I argue that the problem is better understood as a structural question about governance: not whether an AI system is aligned in the abstract, but whether it is aligned enough, for whom, and at what cost. Drawing on the principal-agent framework from economics, this paper reconceptualises misalignment as arising along three interacting axes: objectives, information, and principals. The three-axis framework provides a systematic way of diagnosing why misalignment arises in real-world systems and clarifies that alignment cannot be treated as a single technical property of models but an outcome shaped by how objectives are specified, how information is distributed, and whose interests count in practice. The core contribution of this paper is to show that the three-axis decomposition implies that alignment is fundamentally a problem of governance rather than engineering alone. From this perspective, alignment is inherently pluralistic and context-dependent, and resolving misalignment involves trade-offs among competing values. Because misalignment can occur along each axis -- and affect stakeholders differently -- the structural description shows that alignment cannot be "solved" through technical design alone, but must be managed through ongoing institutional processes that determine how objectives are set, how systems are evaluated, and how affected communities can contest or reshape those decisions.

AI对齐治理结构委托代理

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