arXiv:2607.24391cs.CYcs.AI2026-07

AI治理需关注合法性,而非仅追求对齐目标。

Regulating for AI Legitimacy

  • 提出合法性作为独立于对齐的监管目标,关注权力正当性。
  • 指出透明度缺失、私人权力垄断和行政自动化导致合法性危机。
  • 建议通过整合、熟悉感和可争议性三原则提升AI规则的公众认可。

AI系统已实际掌控社会运行:排序言论、分配注意力、筛选申请人、分诊申请。当前主流的‘对齐’框架只关注系统是否安全地追求正确目标,却忽略了更根本的问题:这些目标由谁授权设定并执行?本文认为,合法性是独立于对齐的自主监管目标,指被支配者相信权力行使具有正当性。绩效无法自动带来这种信念。社交媒体与搜索引擎在各项指标上均取得巨大成功,仍引发合法性危机,因公众质疑少数企业是否有权制定言论、可见性与知识的规则。即使构建出善意的AI,仍可能面临权威合法性危机。文章指出三个合法性失效的领域:不透明性阻碍受众形成合理信念;私人权力使企业以公共职能行事却无明确授权;行政自动化削弱政府内部的说理、参与与审查机制。接着探讨法律能做什么:薄合法性(公开性、稳定性、一致适用)可减少任意性,但易沦为形式主义;厚合法性则强调规则的公众制定。由此提出三项普适原则:集成性——将重要AI规则置于既有权威机构中;熟悉性——以本地可信形式呈现规则与理由;争议性——保障有实质救济的二次审查机制。

原文摘要 · Abstract (English)

AI systems already govern. They rank speech and allocate attention, filter applicants and triage claims. The dominant frame for AI governance, alignment, asks whether such systems pursue the right objectives safely. It cannot answer a prior question: by what right are those objectives set and enforced? This Article argues that legitimacy is an autonomous regulatory objective, distinct from alignment and not secured by it. Legitimacy here is sociological: the belief among those subject to power that it is exercised rightfully. Performance does not produce that belief. We already have the proof of concept. Social media and search delivered enormous gains on every familiar metric and still triggered a legitimacy crisis, because publics questioned who authorized a handful of firms to set the rules of speech, visibility, and knowledge. It is possible to build a benevolent AI and still face a political crisis over its authority. The Article maps three sites where AI legitimacy falters: opacity, which blocks audiences from forming justified beliefs; private power, where firms exercise public-facing authority without recognizable authorization; and administrative automation, which strains reason-giving, participation, and review inside the state. It then asks what law can contribute. Thin legality (publicity, stability, consistent application) signals non-arbitrariness and buys real recognition, but invites legitimacy-washing when form drifts from practice. Thick legality supplies what form cannot: public authorship of the rules that bind. Three portable principles follow. Integration seats consequential AI rule-setting in venues a polity already treats as authoritative. Familiarity presents rules and reasons in locally credible forms. Contestation guarantees a credible second look with real remedies.

AI治理合法性权力正当性规则透明

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。