Governance Institution Exemplars

"(International Conference on Recombinant DNA Molecules), 1975
This was an international meeting of biologists, lawyers, and physicians (in Asilomar, California) to discuss regulation of biotechnology, particularly recombinant DNA (combining DNA from different organisms). It was preceded by a voluntary moratorium on recombinant DNA research in academic and industrial research centres, in response to biohazard concerns. The meetings created a system of “assign[ing] a risk estimate to the different types of experiments envisaged, and apply[ing] safety guidelines of varying stringency according to the degree of risk.” [24] It also prohibited research experiments that involved biohazards that were not technologically possible to contain at the time. These formed the basis of the official US guidelines on recombinant DNA issued a year later.[24] The conference allowed this science to develop in a safe and socially beneficial way and is also credited with generally restoring public trust in science by bringing science policy discussions into the open."

Asilomar Conference

"The Bretton Woods system was the establishment of rules and institutions—in particular, the International Monetary Fund (IMF)—to promote international monetary integration. In his closing address at the 1944 Bretton Woods Conference, US Treasury secretary Henry Morgenthau Jr spoke of having “come to recognize that the wisest and most effective way to protect our national interests is through international co-operation — that is to say, through united effort for the attainment of common goals.” [26] While the IMF was the centerpiece of this system, the World Trade Organization (see below) and World Bank were two other important pillars of Bretton Woods.

The most important mechanism of this monetary cooperation was a “par value system” of exchange rates where nations kept the value of their currencies pegged at agreed-upon rates (that were also linked to the price of gold).[27] These exchange rates could only be adjusted to correct a “fundamental disequilibrium” in the balance of payments between nations, and only with the agreement of the IMF (which was governed by the member states). While there had previously been a gold standard for the decades before and after World War I, the Bretton Woods system was the first fully negotiated monetary order between independent nations. The goal was to avoid repeat of the economic policies such as increased trade protectionism, competitive currency devaluations, and limits on foreign-currency holdings that had contributed to the Great Depression. This system flourished for nearly three decades, coinciding with postwar economic expansions across member nations and generally peaceful international economic relations. However, the Bretton Woods system fell apart starting in the late 1960s as the US dollar was seen as increasingly overvalued, and then the gold standard dissolved in August 1971 when the US temporarily suspended the convertibility of US dollars to gold. Following a short-lived attempt to revive fixed exchange rates, since 1973 most major currencies have instead ‘floated’ against each other."

Bretton Woods & IMF

"The MDSAP, which became operational in 2017, was created to facilitate the development and adoption of medical devices (everything from tongue depressors to pacemakers) across national borders. Specifically, its goal was 'to create a scheme in which a medical device can be audited by a single organization for compliance with the (quality management) standards of any of the countries in which it will be sold. Countries participating in the program agree to accept the audit report of the single auditor as meeting the certification requirements of their regulatory scheme.'[36] This is a version of a regulatory market: private sector auditors compete to provide auditing services to device manufacturers, and are regulated by governments. Importantly, it creates a global market for regulation in which individual countries are not obliged to adopt the same regulatory standards. Instead, manufacturers can pass a single audit and be deemed compliant with regulations across all the participating national regulators (Australia, Brazil, Canada, Japan and the U.S.)."

Medical Device Single Audit Program (MDSAP)

"The EU Single Market is a set of rules, principles, and treaties that seek to ensure that people, goods, services, and money can move freely throughout the participating economies. It is intended to increase competition and specialization, leverage economies of scale, and improve the efficiency of resource allocation across the EU (and participating non-EU states such as Norway, Switzerland, Iceland, and the UK). This is achieved through harmonizing standards (especially for trade in goods), prohibiting border levies, replacing customs controls by audits and risk analysis, ensuring fairness in taxation, and eliminating restrictions on capital flows. It also allows for the free movement of workers, including their eligibility for some social benefits. In some cases, the Single Market requires harmonization of national standards, while in others it operates under the mutual recognition principle whereby roughly equivalent standards in each country are recognized as sufficiently harmonized without needing further modification."

European Union Single Market Initiative (EU SMI)

The International Atomic Energy Agency (IAEA) is an autonomous international organization within the United Nations system. The IAEA was created in 1957 in response to the deep fears and expectations generated by the discoveries and diverse uses of nuclear technology. Its mandate is to accelerate the contribution of atomic energy to peace, health and prosperity and to ensure its work is not used to further any military purpose.

Among its key publications are its Safety Standards, which provide fundamental principles, requirements and recommendations to ensure nuclear safety. Regulating safety is a national responsibility, but the IAEA's mandate includes "Safeguards" which are activities by which the IAEA verifies that states are living up to their international commitments. Safeguards are based on assessments of the correctness and completeness of a state’s declared nuclear material and nuclear-related activities. Verification measures include on-site inspections, visits, and ongoing monitoring and evaluation.

International Atomic Energy Agency (IAEA)

"The FSC is an international non-profit organization established in 1993 to promote responsible forest management through market-based certification. It was created in response to widespread deforestation and the need for alternative governance arrangements in the face of the failure of national governments to reach consensus on regulation. It is composed of forest owners, timber firms, and NGOs that collaborate to develop global as well as national standards (adapted to local conditions) for responsible forest management. The FSC then accredits certification bodies that evaluate and monitor companies for compliance with these standards."

Forest Stewardship Council (FSC)

The International Organization for Standardization (ISO) is a non-governmental organization responsible for developing common, but voluntary technical standards in order to facilitate world trade and integration for a wide range of products and services. These standards promote product compatibility and safety.[28] Since 1946, nearly 800 technical committees from 165 member nations have developed over 23,000 international standards “covering almost all aspects of technology and manufacturing.”[29] For example, the ISO has developed standards for day-to-day items such as paper sizes and formats, as well as for more sensitive socio-technical issues like cybersecurity and nuclear energy. These standards are crafted on a consensus-basis by committees of technical experts (from academia, industry, government, and elsewhere) who are nominated by national member organizations, which also approve standards by voting.[30] The standards are then enforced by other existing institutions through de facto methods like governments exercising their purchasing power as well as through de jure methods such as standardization mandates under World Trade Organization agreements.[31] The ISO has so far developed at least 46 standards relevant to responsible AI. This includes standards on the assessment of machine learning classification performance, addressing biases in AI systems, and big data standards.[32] However, some argue that while standards are helpful for influencing the development and deployment of AI through product specifications, building trust among key actors, and disseminating best practices globally, “existing market forces are insufficient to incentivize the adoption of standards that govern fundamental research and other transaction-distant systems and practices.”[33]

International Organization for Standardization (ISO)

The Maritime Labour Convention is a set of international treaties under the auspices of the International Labour Organization, a UN agency. It combines and updates many existing maritime labour standards. Since taking effect in 2012, the MLC has established minimum working conditions for seafarers, such as regarding their hours of work and rest, accommodation, health protection, medical care, welfare and social security protection. [34] As of 2019 the MLC has been signed by 97 countries that represent 91% of global shipping. Even ships from non-signatory countries must meet these requirements, however, since ratifying states must enforce sanctions on any ships coming into their harbors according to a "no more favorable treatment principle." [35] The MLC was drafted and is under continuous review by a tripartite process involving governments, ship owners, and seafarers unions.

Maritime Labour Convention (MLC)

Prior to the adoption of the OECD Guidelines for Cryptography Policy in 1997, there was very limited international cooperation around cryptography (defined generally as the code-based transformation of information so that it cannot be understood without some decryption key).[37] Nations tended to pursue cryptography as a tool for national security and attempted to use various forms of domestic regulation and export controls to limit the diffusion of cryptographic technology.[38] The 1997 OECD Guidelines, which were subsequently adopted by several countries through national regulation, marked a shift towards an international “relaxation of regulations concerning encryption.”[39] However, the absence of global regulation has contributed to a fragmentation of the global market into several non-interoperable cryptographic technologies.[40] Moreover, there has been little action on essentially international issues related to cryptography and human rights.

OECD Guidelines for Cryptography Policy, 1997

"The Treaty on Principles Governing the Activities of States in the Exploration and Use of Outer Space was signed by the US, UK, and USSR in 1967 to ensure the peaceful exploration of space. [41] It involved a rare agreement among adversaries to limit the use of an evolving technology, holding that nuclear weapons would not be allowed in space and that celestial bodies could not be colonized or used for military purposes. The treaty is deliberately short and was designed to be flexibly interpreted so that issues that arose later in space exploration would be addressed. This also allowed a deal to get done in time: “Not letting the best be the enemy of the good meant that by the time man landed on the moon we had a global political framework as a foundation on which to build.” [42] It continues to be in force and has now been signed by 104 nations."

Outer Space Treaty, 1967

"The United Nations was founded in 1945, at the conclusion of World War Two, to maintain international peace and security and achieve international cooperation. There are three main UN bodies relevant to this discussion of global AI governance. The UN General Assembly (UNGA), which is the main deliberative body of the UN, meets in annual sessions of all UN member states and approves most resolutions (which are non-binding) by a simple majority vote. The UNGA can make recommendations on any matters within the scope of the UN with the exception of issues related to peace and security. The UN Security Council (UNSC) is able to make binding decisions (known as resolutions) on member states in order to maintain international peace and security. The UNSC is composed of 15 member states—five that are permanent members and can veto a resolution, and ten that are elected to two-year terms voted by the UNGA. Finally, the UN Economic and Social Council (ECOSOC) promotes international cooperation, largely by coordinating the work of a diverse set of UN agencies. ECOSOC has 54 members elected by the UNGA for three-year terms."

United Nations (UN)

"The WTO was officially created in 1995 to set and enforce rules for international trade, provide a forum for negotiating and monitoring trade liberalization, and increase the transparency of decision-making processes around trade. This importantly involves governing countries’ use of trade protection measures (such as tariffs and standards) and, in particular, disputes around these measures. For the WTO, dispute resolution relies on a multi-stage process of consultations, expert panel reports, hearings, and appeals to an adjudicative Dispute Settlement Appellate Body, which can sanction retaliatory trade actions. [43] However, recently opposition from the US has limited the operations of this Appellate Body.[44]

"The WTO was a successor to the General Agreement on Tariffs and Trade (GATT), which had been in force since 1948. The GATT was designed to boost economic growth by facilitating a reduction in trade barriers, limiting discriminatory tariff preferences, and providing a system for peacefully resolving trade disputes.[45] It was created as one of three pillars (along with the International Monetary Fund and the World Bank) of the Bretton Woods system, whereby the victorious Allied nations designed the governance of international monetary and commercial relations after World War Two. As with the WTO, GATT relied on reciprocity in trade protections, multilateral negotiations, and nondiscrimination in trade (the extension of trade concessions to all members)."

World Trade Organization (WTO)

m

Paris Memorandum on Port State Control