Shaping New Norms for AI: A Three-Pronged Approach to Governance
December 18, 2024Introduction: Artificial intelligence (AI) is transforming industries and societies at an unprecedented pace. With its rapid adoption, a pressing need arises to establish norms that guide its use, ensuring safety, fairness, and inclusivity. The paper “Shaping New Norms for AI” delves into how these norms are taking shape through three distinct avenues: formal institutions, informal institutions, and spontaneous norms. Each pathway presents unique challenges and opportunities in navigating the evolving AI landscape.
Table of Contents
1. Formal Institutions: The Role of Governments and Regulations
The Need for Regulation
Formal institutions, such as governments, play a critical role in defining and enforcing laws to govern AI use. Regulation is particularly crucial in high-stakes areas like healthcare and finance, where AI’s decisions can significantly impact human lives. Among global leaders, the European Union stands out for its proactive approach to AI regulation.
Challenges in Top-Down Governance
Despite the consensus on the importance of regulation, formal institutions face significant hurdles:
- Unpredictable AI Evolution: The rapid development of AI introduces “unknown unknowns,” making it nearly impossible to craft regulations that remain relevant.
- Ease of Implementation: The simplicity of deploying AI systems complicates efforts to control malicious actors, especially since AI operates across borders.
- Power Imbalances: The concentration of AI research in a few private companies raises concerns about conflicts of interest. Companies might influence regulations to serve their agendas rather than societal good.
- Historical Lessons: Poorly designed regulations can stifle innovation. For example, the UK’s 1865 Locomotive Act imposed overly restrictive speed limits on self-propelled vehicles, hindering progress in transportation.
These challenges underscore the need for thoughtful, adaptive regulation that balances innovation with societal safeguards.
2. Informal Institutions: Adapting to Contexts
Influence Beyond Legislation
Informal institutions, including universities, religious organizations, and professional bodies, contribute by setting codes of conduct. Although lacking legal authority, they play a complementary role, adapting formal regulations to specific contexts or filling gaps where laws are absent.
Case Studies: Scientific Publishing and Education
- Scientific Publishing: The emergence of large language models (LLMs) like ChatGPT has sparked debates. Should AI tools be listed as co-authors, or should their use be disclosed? Leading publishers have decided against listing AI as authors, while policies on disclosing AI usage vary widely—from outright bans to mandatory transparency.
- Education: Schools and universities are grappling with the impact of AI on learning. While some institutions have banned AI tools, others are exploring nuanced solutions. For instance, oral exams are being reconsidered as an alternative to written assignments vulnerable to AI-generated responses.
Challenges with Informal Norms
Informal institutions tend to act swiftly, tailoring their policies to the current state of technology. However, this reactive approach may lead to:
- Inconsistent Standards: Rules may vary widely across institutions, leading to confusion.
- Contagion Effects: Lesser institutions might adopt norms established by prestigious ones without critically evaluating their suitability.
By fostering collaboration and inclusivity, informal institutions can contribute to creating adaptable, forward-looking norms.
3. Spontaneous Norms: Grassroots Coordination
The Organic Evolution of Norms
Spontaneous norms arise from individual interactions, often without formal directives. These unwritten rules develop in two phases:
- Competing Alternatives: Various practices emerge as people explore solutions.
- Winner Takes All: A single practice gains dominance, often through collective agreement rather than optimality.
Opportunities and Risks
While grassroots processes can drive innovation, they may not always produce equitable outcomes. For instance, the norm of declaring ChatGPT usage in academic writing could disadvantage non-native English speakers, who might rely on AI tools more heavily to overcome language barriers.
Critical Mass and Norm Change
The paper highlights the role of critical mass in bottom-up norm shifts. When a committed minority advocating change grows large enough, their behavior can trigger widespread adoption of new norms.
The Role of AI in Norm Evolution
AI itself influences norm formation. A conversation with ChatGPT revealed that users generally treat the tool with respect, use it responsibly, and acknowledge its limitations. This dynamic suggests a coevolution of norms: humans adapt to AI, and AI evolves to align with human expectations.
AI’s large-scale deployment and persuasive capabilities also open avenues for contributing to social movements or challenging the status quo. However, these capabilities necessitate vigilance to prevent misuse in spreading harmful or divisive messages.
Balancing Regulation, Adaptation, and Organic Growth
A Multi-Stakeholder Approach
The paper emphasizes that effective AI governance requires a holistic approach:
- Formal Institutions: Crafting adaptive regulations that anticipate future developments.
- Informal Institutions: Bridging gaps through tailored, context-specific norms.
- Spontaneous Norms: Embracing organic processes while addressing inequities and risks.
The Importance of Public Discourse
Inclusive, democratic dialogue is crucial for shaping norms that reflect collective values. Open discussions can help bridge the gap between top-down regulations and bottom-up innovations, ensuring that AI serves the greater good.
Conclusion: Shaping the Future Together
The formation of AI norms is an ongoing process that demands collaboration across governments, organizations, and individuals. By leveraging the strengths of formal, informal, and spontaneous mechanisms, societies can navigate the challenges of AI governance. The stakes are high, but with thoughtful and inclusive approaches, humanity can harness AI’s potential while safeguarding its values and interests.
Closing Thought:
As AI continues to reshape our world, the norms we establish today will define its trajectory tomorrow. The question isn’t just how we regulate AI—but how we, as a society, choose to coexist with it.
