Management-Based Oversight of the Automated State: Emerging Standards for AI Impact Assessment and Auditing in the Public Sector

U of Penn Law School, Public Law Research Paper No. 23-45

Emad Yaghmaei, et al., eds., Global Perspectives on AI Impact Assessment (Oxford University Press, forthcoming 2024)

21 Pages Posted: 8 Dec 2023

See all articles by Cary Coglianese

Cary Coglianese

University of Pennsylvania Carey Law School

Nabil Shaikh

University of Pennsylvania Carey Law School

Date Written: December 4, 2023

Abstract

This paper focuses on the role for algorithmic auditing and impact assessment as a management-based approach to governing uses of artificial intelligence (AI) by government agencies. Because these uses can vary widely, as can their purposes, contexts, designs, and impacts, the responsible use of AI almost never can depend on compliance with a set of formulaic rules governing specific actions that agencies must take or outcomes to be avoided. Rather, AI governance will depend on adherence to a set of management-based standards that call for measures involving testing, validation, and monitoring throughout the lifecycle of AI design, development, and deployment. These measures of impact assessment and auditing will necessarily play a key role in helping to ensure that AI uses accord with principles of responsible AI. Already, governmental auditors from around the world have developed a series of frameworks and standards for auditing governmental use of AI. This paper describes and compares the main elements of such an approach by reference to standards issued in the United States, Canada, and Europe. The paper offers a synthesis of the main elements of AI impact assessment in the public sector and explores what is realistic to expect from the use of impact assessment and auditing as a tool for governing public sector AI.

Keywords: artificial intelligence, AI, algorithmic auditing, government agencies, public sector, management-based approach, AI governance, management-based standards, administrative law

Suggested Citation

Coglianese, Cary and Shaikh, Nabil, Management-Based Oversight of the Automated State: Emerging Standards for AI Impact Assessment and Auditing in the Public Sector (December 4, 2023). U of Penn Law School, Public Law Research Paper No. 23-45, Emad Yaghmaei, et al., eds., Global Perspectives on AI Impact Assessment (Oxford University Press, forthcoming 2024) , Available at SSRN: https://ssrn.com/abstract=4657333

Cary Coglianese (Contact Author)

University of Pennsylvania Carey Law School ( email )

3501 Sansom Street
Philadelphia, PA 19104
United States
215-898-6867 (Phone)

HOME PAGE: http://www.law.upenn.edu/coglianese

Nabil Shaikh

University of Pennsylvania Carey Law School ( email )

Philadelphia, PA 19104
United States

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