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When code isn’t law: rethinking regulation for artificial intelligence 当代码不是法律:重新思考人工智能的监管问题
IF 9.3 1区 社会学 Q1 POLITICAL SCIENCE Pub Date : 2024-05-29 DOI: 10.1093/polsoc/puae020
Brian Judge, Mark Nitzberg, Stuart Russell
This article examines the challenges of regulating artificial intelligence (AI) systems and proposes an adapted model of regulation suitable for AI’s novel features. Unlike past technologies, AI systems built using techniques like deep learning cannot be directly analyzed, specified, or audited against regulations. Their behavior emerges unpredictably from training rather than intentional design. However, the traditional model of delegating oversight to an expert agency, which has succeeded in high-risk sectors like aviation and nuclear power, should not be wholly discarded. Instead, policymakers must contain risks from today’s opaque models while supporting research into provably safe AI architectures. Drawing lessons from AI safety literature and past regulatory successes, effective AI governance will likely require consolidated authority, licensing regimes, mandated training data and modeling disclosures, formal verification of system behavior, and the capacity for rapid intervention.
本文探讨了人工智能(AI)系统监管所面临的挑战,并提出了适合人工智能新特点的监管模式。与过去的技术不同,利用深度学习等技术构建的人工智能系统无法直接根据法规进行分析、指定或审核。它们的行为是在训练中不可预测地出现的,而不是有意设计的。然而,在航空和核能等高风险领域取得成功的将监督权下放给专家机构的传统模式不应被完全抛弃。相反,决策者必须控制当今不透明模式带来的风险,同时支持对可证明安全的人工智能架构的研究。从人工智能安全文献和过去成功的监管经验中汲取教训,有效的人工智能治理可能需要统一的权力、许可制度、强制性的训练数据和建模披露、系统行为的正式验证以及快速干预的能力。
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引用次数: 0
Ideational robustness in turbulent times 动荡时期理想的稳健性
IF 9.3 1区 社会学 Q1 POLITICAL SCIENCE Pub Date : 2024-05-22 DOI: 10.1093/polsoc/puae016
Martin B Carstensen, Eva Sørensen, Jacob Torfing
The concept of robustness has received increasing scholarly attention regarding public policy and governance, where it has enhanced our understanding of how policies and governance are adapted and innovated in response to disruptive events, challenges, and demands associated with heightened societal turbulence. Yet, we know little about the robustness of the ideas undergirding the efforts to foster robust policymaking and public governance. Based on a review of recent strands of governance theory and the ideational turn in public policy research, we define a new ideational robustness concept, which can help us to explain why some governance and policy ideas persist, while others disappear. As the contributions to this special issue demonstrate, studying ideational robustness opens new avenues for reflecting on how the robustness of ideas may affect the robustness of public policy and governance.
稳健性的概念在公共政策和治理方面受到越来越多的学术关注,它增进了我们对如何调整和创新政策和治理以应对与社会动荡加剧相关的破坏性事件、挑战和需求的理解。然而,我们对促进稳健决策和公共治理所依据的思想的稳健性知之甚少。基于对近期治理理论和公共政策研究中的意识形态转向的回顾,我们定义了一个新的意识形态稳健性概念,它可以帮助我们解释为什么一些治理和政策理念会持续存在,而另一些则会消失。正如本特刊的文章所表明的,研究意识形态的稳健性为反思思想的稳健性如何影响公共政策和治理的稳健性开辟了新的途径。
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引用次数: 0
Comparing evidence use in parliaments: the interplay of beliefs, traditions, and practices in the UK and Germany 比较议会中证据的使用:英国和德国的信仰、传统和实践的相互作用
IF 9.3 1区 社会学 Q1 POLITICAL SCIENCE Pub Date : 2024-05-21 DOI: 10.1093/polsoc/puae017
Marc Geddes
This article draws on rich qualitative data from two national parliaments—the UK House of Commons and the German Bundestag—to examine knowledge practices in political institutions. This is an important topic, not only because parliaments play a significant role in democratic decision-making, but because it sheds light on debates about how such decision-making is based on and interacts with knowledge and evidence. By adopting an interpretive analytical approach, I analyze the ways in which those practices are shaped by the beliefs and values of parliamentary actors. Indeed, in better understanding everyday practices, beliefs, and ideational traditions, it also contributes to better explaining how components of political and parliamentary cultures contribute to knowledge use more broadly. In the House of Commons, MPs draw on a highly trusted and independent parliamentary administration; meanwhile, committees have become fruitful avenues for MPs to develop policy expertise and engage with knowledge and evidence in a non-partisan way. In the German Bundestag, MPs also develop policy expertise—in fact, they interpret their role as specialists in a “working” parliament—but their knowledge practices are more openly partisan through the structuring role of parliamentary party groups and the skepticism of “neutral” advice from research services. Consequently, committees tend to be sites of political bargaining and conflict, rather than evidence-gathering. In both cases, parliaments’ knowledge practices are shaped by wider webs of beliefs about the role of MPs within the institutions. This suggests that knowledge use in political and policy settings is shaped by broader cultural factors.
本文利用来自两个国家议会--英国下议院和德国联邦议院--的丰富定性数据,研究了政治机构中的知识实践。这是一个重要的话题,不仅因为议会在民主决策中发挥着重要作用,还因为它揭示了关于这种决策如何以知识和证据为基础并与之互动的争论。通过采用解释性分析方法,我分析了议会行为者的信仰和价值观如何影响这些实践。事实上,在更好地理解日常实践、信仰和意识形态传统的同时,这也有助于更好地解释政治和议会文化的组成部分是如何更广泛地促进知识使用的。在下议院,国会议员可以利用高度信任和独立的议会行政机构;同时,委员会已成为国会议员发展政策专长、以无党派方式参与知识和证据的富有成效的途径。在德国联邦议院,议员们也发展政策专业知识--事实上,他们将自己的角色诠释为 "工作 "议会中的专家,但通过议会党团的组织作用和对研究机构 "中立 "建议的怀疑,他们的知识实践更加公开地具有党派性。因此,委员会往往成为政治讨价还价和冲突的场所,而不是收集证据的场所。在这两种情况下,议会的知识实践都受到有关国会议员在机构中角色的更广泛信念网络的影响。这表明,政治和政策环境中的知识使用受到更广泛的文化因素的影响。
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引用次数: 0
Advancing collaborative social outcomes through place-based solutions—aligning policy and funding systems 通过基于地方的解决方案推进协作性社会成果--调整政策和供资体系
IF 9.3 1区 社会学 Q1 POLITICAL SCIENCE Pub Date : 2024-05-21 DOI: 10.1093/polsoc/puae018
Lutfun Nahar Lata, Tim Reddel, Brian W Head, Luke Craven
More collaborative and human-centered approaches to tackle social problems of entrenched disadvantage have been introduced in many countries, including Australia, but with mixed results. Traditional programs that reinforce existing political and bureaucratic processes have been seen as blockers to collaborative modes of policymaking, governance, and delivery. Drawing on collaborative governance perspectives, this paper reports new research undertaken in conjunction with a not-for-profit organization (Collaboration for Impact) involved in supporting place-based collaborative community change efforts. Research findings, based on stakeholder perspectives, highlight not only the potential benefits of a more collaborative model (i.e., placed-based and community driven) but also the significant unresolved challenges for “backbone” coordination bodies, which have recently been established to achieve more “joined-up” policy, funding, and service delivery arrangements. The paper concludes by proposing a practice-driven focus on policy and funding systems, together with implications for policy learning and program design.
包括澳大利亚在内的许多国家都采用了更具协作性和以人为本的方法来解决根深蒂固的弱势社会问题,但结果喜忧参半。强化现有政治和官僚程序的传统计划被视为决策、治理和交付协作模式的障碍。本文从合作治理的角度出发,报告了与一家参与支持以地方为基础的社区合作变革工作的非营利组织("为影响而合作")共同开展的新研究。基于利益相关者观点的研究结果不仅强调了更多协作模式(即基于地点和社区驱动)的潜在益处,还强调了 "骨干 "协调机构尚未解决的重大挑战,这些机构最近才成立,以实现更多 "联合 "政策、资金和服务交付安排。本文最后提出了以实践为导向的政策和资助体系重点,以及对政策学习和计划设计的影响。
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引用次数: 0
How framing strategies foster robust policy ideas 框架战略如何促进形成强有力的政策理念
IF 9.3 1区 社会学 Q1 POLITICAL SCIENCE Pub Date : 2024-05-07 DOI: 10.1093/polsoc/puae014
Daniel Béland, Robert Henry Cox
In this contribution, we identify how the framing strategies employed by policy and political actors make policy ideas robust. We examine the policy ideas of solidarity and sustainability to show how framing strategies that took advantages of the valence and polysemy of both ideas shaped them into robust policy ideas. Both ideas began as wide-ranging concepts designed to build coalitions in debates over a particular large-scale policy problem. Robustness is a quality that emerged over time as these ideas grew to become highly attractive framing devices to justify policy proposals. Moreover, they have proven to be resilient despite changing circumstances or even efforts of their opponents to reframe them in a negative way.
在这篇论文中,我们确定了政策和政治行动者采用的构思策略是如何使政策理念变得稳健的。我们研究了团结和可持续性这两个政策理念,以说明如何利用这两个理念的多义性和多义性的优势来制定框架策略,从而将它们塑造成稳健的政策理念。这两个理念最初都是范围广泛的概念,旨在就特定的大规模政策问题进行辩论时建立联盟。随着时间的推移,这些理念逐渐发展成为极具吸引力的框架工具,为政策建议提供依据,因此,稳健性也就随之产生了。此外,事实证明,尽管环境不断变化,甚至反对者试图以负面的方式重构这些理念,但它们仍然具有顽强的生命力。
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引用次数: 0
Framing contestation and public influence on policymakers: evidence from US artificial intelligence policy discourse 框架之争与公众对决策者的影响:来自美国人工智能政策讨论的证据
IF 9.3 1区 社会学 Q1 POLITICAL SCIENCE Pub Date : 2024-04-11 DOI: 10.1093/polsoc/puae007
Daniel S Schiff
As artificial intelligence (AI) policy has begun to take shape in recent years, policy actors have worked to influence policymakers by strategically promoting issue frames that define the problems and solutions policymakers should attend to. Three such issue frames are especially prominent, surrounding AI’s economic, geopolitical, and ethical dimensions. Relatedly, while technology policy is traditionally expert-dominated, new governance paradigms are encouraging increased public participation along with heightened attention to social and ethical dimensions of technology. This study aims to provide insight into whether members of the public and the issue frames they employ shape—or fail to shape—policymaker agendas, particularly for highly contested and technical policy domains. To assess this question, the study draws on a dataset of approximately five million Twitter messages from members of the public related to AI, as well as corresponding AI messages from the 115th and 116th US Congresses. After using text analysis techniques to identify the prevalence of issue frames, the study applies autoregressive integrated moving average and vector autoregression modeling to determine whether issue frames used by the public appear to influence the subsequent messaging used by federal US policymakers. Results indicate that the public does lead policymaker attention to AI generally. However, the public does not have a special role in shaping attention to ethical implications of AI, as public influence occurs only when the public discusses AI’s economic dimensions. Overall, the results suggest that calls for public engagement in AI policy may be underrealized and potentially circumscribed by strategic considerations.
近年来,随着人工智能(AI)政策开始成形,政策制定者通过战略性地推广问题框架,确定政策制定者应关注的问题和解决方案,努力对政策制定者施加影响。其中,围绕人工智能的经济、地缘政治和伦理层面的三个问题框架尤为突出。与此相关的是,虽然技术政策传统上由专家主导,但新的治理模式正在鼓励更多的公众参与,同时加强对技术的社会和伦理层面的关注。本研究旨在深入探讨公众及其所使用的问题框架是否影响--或未能影响--决策者的议程,尤其是在争议较大的技术政策领域。为了评估这个问题,本研究利用了一个数据集,其中包含约 500 万条与人工智能有关的公众 Twitter 消息,以及第 115 届和第 116 届美国国会的相应人工智能消息。在使用文本分析技术确定问题框架的普遍性后,研究采用自回归综合移动平均和向量自回归模型来确定公众使用的问题框架是否会影响美国联邦决策者随后使用的信息。结果表明,总体而言,公众确实引导了决策者对人工智能的关注。然而,公众在引导人们关注人工智能的道德影响方面并没有发挥特殊作用,因为只有当公众讨论人工智能的经济层面时才会产生影响。总之,研究结果表明,要求公众参与人工智能政策的呼声可能没有得到充分实现,而且有可能受到战略考虑的限制。
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引用次数: 0
Why and how is the power of Big Tech increasing in the policy process? The case of generative AI 大科技的力量为何以及如何在政策制定过程中不断增强?生成式人工智能案例
IF 9.3 1区 社会学 Q1 POLITICAL SCIENCE Pub Date : 2024-03-27 DOI: 10.1093/polsoc/puae012
Shaleen Khanal, Hongzhou Zhang, Araz Taeihagh
The growing digitalization of our society has led to a meteoric rise of large technology companies (Big Tech), which have amassed tremendous wealth and influence through their ownership of digital infrastructure and platforms. The recent launch of ChatGPT and the rapid popularization of generative artificial intelligence (GenAI) act as a focusing event to further accelerate the concentration of power in the hands of the Big Tech. By using Kingdon’s multiple streams framework, this article investigates how Big Tech utilize their technological monopoly and political influence to reshape the policy landscape and establish themselves as key actors in the policy process. It explores the implications of the rise of Big Tech for policy theory in two ways. First, it develops the Big Tech-centric technology stream, highlighting the differing motivations and activities from the traditional innovation-centric technology stream. Second, it underscores the universality of Big Tech exerting ubiquitous influence within and across streams, to primarily serve their self-interests rather than promote innovation. Our findings emphasize the need for a more critical exploration of policy role of Big Tech to ensure balanced and effective policy outcomes in the age of AI.
随着社会数字化程度的不断提高,大型科技公司(Big Tech)如雨后春笋般崛起,它们通过拥有数字基础设施和平台,积累了巨大的财富和影响力。最近推出的 ChatGPT 和快速普及的生成式人工智能(GenAI)成为进一步加速权力向大科技公司集中的焦点事件。通过使用 Kingdon 的多重流框架,本文研究了大科技公司如何利用其技术垄断和政治影响力来重塑政策格局,并将自己打造成为政策过程中的关键参与者。文章从两个方面探讨了大科技的崛起对政策理论的影响。首先,它发展了以大科技为中心的技术流,强调了与传统的以创新为中心的技术流不同的动机和活动。其次,它强调了大科技在技术流内部和技术流之间施加无处不在的影响的普遍性,其主要目的是为自身利益服务,而不是促进创新。我们的研究结果表明,有必要对大科技公司的政策角色进行更加批判性的探索,以确保在人工智能时代取得平衡有效的政策成果。
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引用次数: 0
Activation policy: bruised and battered but still standing 启动政策:遍体鳞伤但仍屹立不倒
IF 9.3 1区 社会学 Q1 POLITICAL SCIENCE Pub Date : 2024-03-27 DOI: 10.1093/polsoc/puae013
Niklas A Andersen, Flemming Larsen
Policies aimed at upskilling, motivating and/or disciplining the unemployed have remained a cornerstone of most OECD countries’ employment policies since the 1990s. Central to these policies is the idea of activation – i.e. the premise that benefit entitlement is conditional on one’s participation in some kind of activity. This article seek to understand how this idea of activation has proven so enduring by analyzing the international development of Activation Policies since 1990 through the lens offered by the concept of ideational robustness. It is analyzed how the robustness of the idea of activation has been continuously challenged through critiques raised against the effects, the legitimacy and the relevance of activation policies. Yet, in each of these moments of contest, proponents of the idea of activation succeeded in keeping the idea relevant as a point of reference for policymaking. They did so by rebalancing disciplinary and enabling approaches to activation, adding a new scope of application for activation policies, and rearticulating the underlying assumption about client agency. The analysis further reveals how these robustness mechanisms succeeded in appropriating the critiques due to their inscription within the technical and seemingly de-political language concerning effect evaluations, implementation deficits, and new forms of governance. Policymakers were thereby able to downplay normative questions of the legitimacy, fairness, and justice of activation policies. The idea of activation has thus taken on a status as an objective to be implemented as effective and efficiently as possible rather than as an idea to be discussed or challenged. However, while the idea of activation remains robust, the same cannot be said of the governance and implementation structures of activation policies. Our study suggest that the near-constant reforms of these governance arrangements and implementation structures during the last 30 years are partly a consequence of critique being skewed from the idea of activation to these structures and arrangements. The robustness of the idea of activation has thus, rather paradoxically, come about by reducing the robustness of specific activation policies and governance arrangements.
自 20 世纪 90 年代以来,旨在提高失业者技能、激励和/或约束失业者的政策一直是大多数经合组织国家就业政策的基石。这些政策的核心是 "激活"(activation)理念--即享受福利的前提是参与某种活动。本文试图通过 "意识形态稳健性 "这一概念,分析 1990 年以来 "激活政策 "在国际上的发展,从而了解 "激活 "这一理念为何如此经久不衰。文章通过对激活政策的效果、合法性和相关性的批判,分析了激活理念的稳健性是如何不断受到挑战的。然而,在每一次争论中,激活思想的支持者都成功地保持了这一思想作为决策参考点的相关性。为此,他们重新平衡了激活的学科方法和扶持方法,为激活政策增加了新的适用范围,并重新阐明了关于客户代理的基本假设。分析进一步揭示了这些稳健性机制是如何成功地利用了批评意见,因为这些批评意见被纳入了有关效果评估、实施缺陷和新治理形式的技术性和看似非政治性的语言中。政策制定者因此能够淡化激活政策的合法性、公平性和公正性等规范性问题。因此,激活政策的理念已成为一个需要尽可能有效和高效地实施的目标,而不是一个需要讨论或质疑的理念。然而,虽然激活的理念依然强大,但激活政策的治理和实施结构却并非如此。我们的研究表明,在过去的 30 年中,这些治理安排和实施结构几乎一直在改革,这在一定程度上是由于人们的批评从激活理念转向了这些结构和安排。因此,颇为矛盾的是,激活理念的稳健性是通过降低具体激活政策和治理安排的稳健性而实现的。
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引用次数: 0
Ideational robustness of economic ideas in action: the case of European Union economic governance through a decade of crisis 经济理念在行动中的思想稳健性:经历十年危机的欧盟经济治理案例
IF 9.3 1区 社会学 Q1 POLITICAL SCIENCE Pub Date : 2024-03-27 DOI: 10.1093/polsoc/puae011
Martin B Carstensen, Vivien A Schmidt
Is it possible to develop a robust crisis management response in a system where governance is characterized by coercive power and adversarial bargaining rather than the diversity, inclusion, and openness highlighted by extant scholarship as conducive factors for robustness? Using two instances of crisis in the European Union—the Eurozone crisis (2010‒2015) and COVID-19 pandemic (2020‒2022)—the paper argues that how actors reinterpret existing rules and institutions offers an important source of robustness in crisis management. Based on the employment of a disaggregation of robustness into degrees of robustness, as well as the concepts of ideational and institutional power, we show how actors can counter the coercive power of dominant coalitions and open up for rule adaptation through reinterpretations of existing rules that, at least in the short term, can solidify the functioning of existing institutions faced by turbulence. In the context of the Eurozone crisis, ideational and institutional power thus enabled a moderately robust response without treaty reform. In the case of the pandemic, it was possible to convince (particularly German) policymakers of the need to employ new ideas about common debt. This meant less need to employ ideational and institutional power by other actors, leading to significantly more effective crisis management than in the Eurozone crisis, what the paper terms maximal robustness.
在一个以强制力和对抗性谈判为治理特点,而不是以现有学术研究所强调的多样性、包容性和开放性为稳健性有利因素的系统中,是否有可能制定稳健的危机管理对策?本文利用欧盟的两次危机--欧元区危机(2010-2015 年)和 COVID-19 大流行(2020-2022 年)--论证了行动者如何重新解释现有规则和制度是危机管理稳健性的重要来源。基于将稳健性分解为不同程度的稳健性,以及意识形态权力和制度权力的概念,我们展示了行动者如何通过对现有规则的重新诠释来对抗主导联盟的强制力,并为规则调整开辟道路,从而至少在短期内巩固面临动荡的现有机构的运作。因此,在欧元区危机中,意识形态和制度的力量使我们能够在不进行条约改革的情况下做出适度有力的反应。在大流行病的情况下,有可能说服(尤其是德国)政策制定者需要采用有关共同债务的新理念。这意味着其他行为体较少需要运用意识形态和制度力量,从而导致比欧元区危机更有效的危机管理,即本文所说的最大稳健性。
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引用次数: 0
The ideational robustness of liberal democracy in the wake of the pandemic: comparing the Danish and Swedish cases 大流行病后自由民主在意识形态上的稳健性:比较丹麦和瑞典的情况
IF 9.3 1区 社会学 Q1 POLITICAL SCIENCE Pub Date : 2024-03-25 DOI: 10.1093/polsoc/puae009
Åsa Knaggård, Peter Triantafillou
The Covid-19 pandemic sparked unprecedented political responses dramatically affecting societies, markets, and the lives of individuals. Under great uncertainty and turbulent conditions, governments adopted far-reaching political interventions to curb the pandemic. These interventions might therefore be expected to challenge key ideas underpinning liberal democracy. We analyze and compare how the political interventions seeking to curb the spread of the coronavirus in Denmark and Sweden challenged and possibly adapted three key ideas underpinning liberal democracy, namely, constitutionality, parliamentarism, and public responsiveness. When ideas are adapted in ways that advance their ability to stay relevant when faced with turbulence, we understand them as robust. Our study found both similarities and differences between the two countries. The idea of constitutionality was challenged in Denmark but remained robust in Sweden. The idea of parliamentarism appeared robust in both countries, whereas the idea of public responsiveness was adapted in neither country but challenged further in Sweden than in Denmark. Paradoxically, Denmark saw fewer adaptations to the liberal democratic ideas than Sweden yet appeared better prepared to protect lives during turbulent times. Our study suggests that liberal democracies must very carefully balance trade-offs between individual liberties and the protection of public health to preserve the core public ideas of constitutionality, parliamentarism, and public responsiveness.
Covid-19 大流行病引发了前所未有的政治反应,极大地影响了社会、市场和个人生活。在巨大的不确定性和动荡的条件下,各国政府采取了影响深远的政治干预措施来遏制疫情。因此,这些干预措施可能会对支撑自由民主的关键理念提出挑战。我们分析并比较了丹麦和瑞典为遏制冠状病毒传播而采取的政治干预措施是如何挑战并可能调整自由民主的三个关键理念的,这三个理念是:合宪性、议会制和公众响应。当这些理念在面临动荡时被调整以提高其保持相关性的能力时,我们就认为它们是稳健的。我们的研究发现了两国之间的相似之处和不同之处。合宪性理念在丹麦受到了挑战,但在瑞典却保持了活力。议会制的理念在这两个国家都显得稳健,而公众响应的理念在这两个国家都没有得到调整,但在瑞典比在丹麦受到了更多的挑战。矛盾的是,丹麦对自由民主理念的调整比瑞典少,但在动荡时期保护生命的准备却比瑞典充分。我们的研究表明,自由民主国家必须非常谨慎地平衡个人自由与保护公众健康之间的权衡,以维护宪政、议会制和公众响应等核心公共理念。
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