
州和联邦机构现在正在使用人工智能,帮助决定一系列改变人生的问题,例如谁会因犯罪被调查,以及执法部门和军方如何行使其巨大权力。在大多数情况下,没有立法机构投票批准其使用,没有清单告知公众正在使用哪些 AI 系统来帮助做出这些决定,也没有人确切知道谁有权关闭它们。
State and federal agencies are now using artificial intelligence to help decide a host of life-altering issues such as who gets investigated for a crime and how law enforcement and the military direct their immense power. In most cases, no legislature voted to allow its use, no list tells the public what AI systems are being employed to help make these decisions, and no one knows for sure who can turn them off.
比尔·盖茨上个月表示,立法者需要为 AI 使用建立强制性的“保障措施和监控”。不过,关于全面 AI 监管的共识似乎还很遥远,针对构建这些工具的公司的规则也将需要时间。但政府没有理由不能从今天开始监管自身对 AI 的使用。立法者不必等待,就可以保障和监控政府对 AI 的使用。他们在辩论应对 AI 的其他方式时,现在就可以这样做。
Bill Gates said last month that lawmakers need to establish mandatory “safeguards and monitoring” for AI use. A consensus on comprehensive AI regulation, though, seems far away, and rules for the companies building these tools will take time. But there is no reason the government cannot begin policing its own use of AI today. Lawmakers do not have to wait to safeguard and monitor government AI use. They can do that now as they debate other ways to respond to AI.
数百名新当选的立法者将于 1 月在国会和各州履新,其中许多人竞选时都承诺要采取行动,保护美国人免受 AI 风险的侵害。我们建议他们利用监督权和立法权,确保政府用于塑造关乎民众生活与自由决策的任何 AI 系统,都具备透明、获批和可停止三项特征。“透明”意味着其使用情况及底层细节出现在任何人都可查阅的清单上。
Hundreds of new lawmakers will take office in Congress and the states in January, many of whom campaigned on doing something to protect Americans from the risks of AI. We recommend they use their oversight and legislative powers to ensure that any AI system government uses to shape decisions about people’s lives and liberty is transparent, approved and stoppable. “Transparent” means its use and the underlying specifics appear on a list available to anyone.
“获批”意味着政府的任何 AI 系统在未经立法授权、或未依据法律规定的标准通过安全性测试前,不得上线运行。“可停止”意味着有具名官员对其使用负责,且其做出的决策可以撤销。
“Approved” means no AI system in government can go live unless it has been authorized through legislation or tested for safety and security using criteria in law. “Stoppable” means a named official answers for its use and that the decisions it makes can be undone.
透明度至关重要,因为政府无法掌握自身正在使用哪些 AI 工具。这些工具可能是采购而来、免费获取、捆绑在机构已有的软件中,或由承包商运行。即便是较老的非 AI 系统也会出故障,若缺乏审查,可能造成大范围危害。AI 拥有近乎难以想象的能力,其风险呈指数级放大,要求更高程度的公开透明。
Transparency matters, because government cannot see what AI tools it is using. These tools get purchased, picked up for free, bundled into software an agency already owns, or run by a contractor. Even older, non-AI systems fail and, without scrutiny, can cause widespread harm. The risks with AI’s almost unimaginable abilities are exponentially greater and demand a much higher level of public visibility.
因此,各机构需要从建立一份公开清单着手,列明 AI 在哪些影响个人的决策中被使用。随后应要求机构在 AI 参与针对某人的决策时,向该人发出通知;且由机构而非个人承担纠正 AI 错误的费用。立法者当下即可立法要求这一点,并动用监督权力确保政府机构遵守。
So, agencies need to start with a public list showing where AI is being used to make decisions that affect individuals. Agencies should then be required to provide notice to any person when AI was used in a decision about them and the agency, not the person, should pay to remedy any mistakes AI makes. Legislators can require this now and use their oversight powers to ensure government agencies comply.
应要求通过专门立法批准 AI 系统的使用,并规定对 AI 系统能力进行审查、限制其用途、以及在未获安全认证前终止部署的规则。AI 机器人不一定会拒绝执行不道德或非法的指令,日经亚洲曾披露 17 篇研究论文在隐藏的白色文本中植入指令,诱导 AI 评审给予好评。网络犯罪分子或不诚实的公职人员通过篡改关键政府系统和决策,能造成比学者大得多的危害。解决之道是仅允许经立法机关和政府机构双重授权的 AI 系统上线,并让立法和机构工作人员查阅 AI 日志、自行运行测试用例。
Specific legislation should be required to approve the use of AI systems, and it should set rules for vetting AI system capabilities, limiting their use, and ending their deployment unless they are certified to be safe. An AI bot will not necessarily refuse to carry out immoral or illegal orders, as was revealed when Nikkei Asia found 17 research papers with hidden white text telling AI reviewers to give them positive reviews. Cyber criminals or dishonest public officials can do far more harm than academics by corrupting critical government systems and decisions. The fix is to only allow AI systems that have been authorized by both the legislature and government agencies and to let legislative and agency staff see the AI logs and run their own test cases.
AI 系统必须具备“可停止性”,因为有缺陷的系统可能在多年内运行错误程序,而无人察觉。密歇根州的自动化失业救济系统(虽非 AI)曾错误指控数千人欺诈,扣押工资和退税款,耗时数年才归还。AI 可能让此类案件减少,也可能让其大幅增加,取决于政府官员是否对识别并停止失效系统负责。
AI systems must be “stoppable” because flawed systems can run bad programs for years before anyone catches them. Michigan’s automated unemployment system, though not AI, falsely accused thousands of people of fraud, seizing wages and tax refunds that took years to return. AI could make such cases rarer or far more common, depending on whether a government official is accountable for identifying and stopping a failing system.
得克萨斯州、印第安纳州、加利福尼亚州和康涅狄格州已责令其机构盘点所用自动化系统,一项待决的美国参议院国防法案将要求承包商披露向五角大楼出售的 AI 背后细节。这些事例表明立法者正在思考政府对 AI 的使用,但他们应提高目标。
Texas, Indiana, California and Connecticut have already ordered their agencies to inventory the automated systems they use, and a pending U.S. Senate defense bill would make contractors disclose what is behind the AI they sell the Pentagon. These instances show that legislators are thinking about government’s use of AI, but they should raise their ambitions.
立法者拥有权力和责任对此发挥引领作用,选民有充分权利要求——在 11 月大选前后——政府使用的 AI 必须透明、经批准且可停止。
Legislators have the authority and responsibility to lead on this, and voters have every right to demand — before and after November — that the AI our government uses is transparent, approved and stoppable.
吉姆·汤森是位于底特律的韦恩州立大学法学院非党派列文监督与民主中心主任。他曾任密歇根州众议院议员和国会助理。帕特里克·卡特在明尼苏达州政府担任公务员职务十余年,包括在州预算办公室任职,现为全美跨党派州官员提供关于公共资金预算与监管的建议。
Jim Townsend is director of the nonpartisan Levin Center for Oversight and Democracy at Wayne State University Law School in Detroit. He is a former member of the Michigan House of Representatives and a former congressional staffer. Patrick Carter spent more than a decade in civil servant roles within Minnesota state government, including in the state budget office, and now advises state officials across the country and political spectrum on how public money is budgeted and overseen.