You can view a Google doc version of this reference list here.
- Introduction
- Background
- Structure
- Ways to get involved
- Caveats around sources and structures
- Acknowledgments
- Domestic Governance
- Chinese policymaking overview
- Science and technology policy
- Domestic AI policy
- Broad approaches
- Regulations
- Standards
- Model evaluations / benchmarks
- AI ethics
- AI safety funding
- International Governance
- Overview
- Sino-western AI competition
- Race dynamics
- ‘Gap’ between Chinese and Western AI models
- Sino-western AI cooperation
- Diplomacy / Dialogue
- Business / commercial
- Scientific collaboration
- Chinese engagement at multilateral fora
- China’s own international AI governance initiatives
- Key actors and their views on AI risks
- Knowledge of and support for AGI
- AI scientists / key academics
- Industry
- Military
- Public opinion
- AI Inputs
- Algorithms
- Compute
- Semiconductors
- Overview
- Chinese semiconductor policy
- US export controls
- Policy overview
- Impact and China’s efforts to deal with the export controls
- International dynamics (esp. US-China relations)
- Data centers
- Data
- Capital
- Talent
- Resources to follow
Introduction
Background
- There are several China-focused AI reading lists / curricula out there (e.g.: AI governance & China: Reading list (2023), FHI Syllabus (2020), (Basic) Chinese AI Regulation Reading List (2023))
- They are either relatively brief or somewhat outdated, so this reading list aims to provide a more comprehensive set of key resources when it comes to learning about China, AI safety and policy
- We incorporated readings from these reading lists where it felt relevant
- This list is based off a community-generated set of readings that were used for a 6-week AI and China discussion group run by the China & Global Priorities Group in 2023
Structure
- This is designed as a longlist that can act as a starting point for folks looking to dive deeper into a given topic - it is not a snapshot of the 3 most important readings per topic area
- The entire reading list is broken down into key themes
- Domestic AI Governance
- International AI Governance
- Key actors and their views on AI risks
- AI Inputs
- Resources to follow
- We have added in commentary where felt it would be useful to do so (e.g., we were made aware of potential factual inaccuracies or biased views)
- Within sections, sources are arranged roughly in order of relevance, not chronology. Sources earlier in a section are more foundational, while later ones are either primary sources that require more context to analyze or older reports/analysis. Sometimes we put related readings next to each other.
Ways to get involved
- Feel free to suggest additional readings using this form - we’re doing some amount of vetting to prevent the list from ballooning out of control
- Join the China & Global Priorities Group if you want to be notified about further discussion groups / activities
Caveats around sources and structures
- Epistemic status:
- This resource list was put together in a voluntary capacity by a group of non-Chinese folks with backgrounds in China Studies and professional work experience on China- and/or AI-related issues.
- We spent several hours on resource collection and sense-checked items based on their style, content and methodology. We do not necessarily endorse all of these works as “very good,” but did exclude stuff where we could see that it is obviously low quality.
- There are many sub-topics where we struggled to find very high-quality material but we still included some publications to give interested readers a start.
- We expect that most of our audience will not be able to read Chinese easily or fluently, and as such we have provided many English sources. However, it’s important to remember that gaining a deep and concrete understanding of this space is really hard even with Chinese language skills and lived experience in China, so readers without those skills and experiences should be cautious about forming very strong views based on the select few sources that are included here.
- Machine translation is useful but imperfect in many ways.
- Machine translation will not be able to tell you the significance of specific word choice, which potentially requires deeper knowledge of what terminology means in the broader ideological context of the party-state (this is especially true for official statements and documents).
- Moreover, official English versions of Chinese government documents sometimes differ from the Chinese version!
- What is Lost in Translation? Differences between Chinese Foreign Policy Statements and Their Official English Translations, Mokry, 2022
- China is not a monolith; sources you read that claim that ‘China does X’ should be treated with caution. Different actors within China have different aims and while it’s true that the party-state has immense power, even the party-state itself is not one thing, but a collection of various entities and of people with their own specific desires and plans.
- If you are looking to do further research in this space, then treat this list as a starting point for further exploration.
- For further reading on methodological considerations of doing analysis related to China, you can start with a look at the following links:
- We interviewed 15 China-focused researchers on how to do good research (disclaimer: two of the authors of that post also contributed to this reading list)
- China watching in the ‘New Era’: A guide, Parton, 2022
Acknowledgments
We would like to thank Oliver Guest, Jason Zhou, and Jeffrey Ding for their feedback on earlier drafts of this list. We would also like to acknowledge Aris Richardson and Zach Stein-Perlman, whose reading lists we took inspiration from.
Compiled by (in no particular order): Gabriel Wagner, Saad Siddiqui, Sarah G, and Sarah Weiler
Domestic Governance
Chinese policymaking overview
- How does the Chinese Communist Party operate?, South China Morning Post, 2021 (video)
- This is really just a very superficial teaser on the basics of the party-state institutions. It does not explain how policy-making and enforcement works in practice. Watch if you know nothing.
- The US Congressional Research Service has several useful sources on the structure of the party-state
- China Primer: China’s Political System, Susan V. Lawrence, 2024 (2 pages)
- China’s Political System in Charts: A Snapshot Before the 20th Party Congress, 2021, Susan V. Lawrence and Mari Y. Lee (40 pages)
- Chinese Policymaking Made Easy with Trivium China, China Talk, 2019 (podcast)
- Fragmented Authoritarianism in Xi's China, Jude Blanchette and Jessica Teets, 2021 (podcast)
- The “fragmented authoritarianism” model is one of the key heuristics China scholars use to study PRC policy, developed in the 1980s. The podcast explains the concept, and discusses whether it is still useful in today’s China.
- Infographic: China's New Leaders after the 20th Party Congress, Fairbank Centre for China Studies at Harvard University, James Gethyn Evans and Yuanzhuo Wang, 2022 (7 pages)
- Gives an overview of the top leaders that were appointed to the Politburo, China’s top decision-making body. The infographic assumes familiarity with key terms and the names of significant political organs of the party-state.
- Notice and Comment Policymaking in China, Steven J. Balla and Zhoudan (Zoey) Xie, 2021 (5 pages) (longer academic article here)
- This article mostly focuses on explaining trends in public consultation on legislation in China; but also provides some insight into the PRC’s formal policy-making process (draft → public consultation → revised draft → public consultation → final policy). The longer academic article provides much more details and more nuanced discussion. (paywalled)
- China's Political System, Sebastian Heilmann, 2016 (book)(Comprehensive notes from an anonymous AI governance researcher)
- Very systematic overview of China’s political system. Probably not recommended reading from start to finish. The book is quite well organized with a good table of contents and index, making it easy to find relevant parts.
- Perhaps especially valuable are Chapter 2.1 “Socialist organizational and ideological features” and Chapter 6 “Policy-Making: Processes and Outcomes”
Science and technology policy
- Re-engineering China’s innovation machine: A series by MERICS and the UC Institute on Global Conflict and Cooperation, 2024
- Comprehensive, high-level overview of recent reforms in China’s science and industrial policy.
- For a less abstract analysis see Controlling the innovation chain - China’s strategy to become a science & technology superpower, MERICS, Jeroen Groenewegen-Lau and Michael Laha, 2023 (18 pages)
- None of these address in detail the challenges the government faces in actually advancing these reforms.
- If you want more detailed and quantitative/data-driven analysis on key PRC tech policy tools, CSET has good analysis, for instance
- Understanding Chinese Government Guidance Funds, CSET, Ngor Luong, Zachary Arnold, and Ben Murphy, 2021 (89 pages)
- China’s State Key Laboratory System, CSET, Emily S. Weinstein, Channing Lee, Ryan Fedasiuk, and Anna Puglisi, 2022 (45 pages)
- China’s Model of Science: Rationale, Players, Issues, BluePath Labs, 2022 (89 pages)
- Quite a long and advanced read, might be challenging to digest if you don’t have much China-related background. But very thoroughly researched analysis of Chinese decision-makers' thinking. Slightly out of date, written before 2023 scitech government agency restructuring.
- The Party Rules: China’s New Central Science and Technology Commission, The Diplomat, Charles Mok, 2023 (about 2 pages)
- Very basic intro to 2023 scitech government agency restructuring
- ChinAI #218: Why China reorganized its Ministry of Science and Technology, ChinAI, Jeffrey Ding, 2023 (2 pages, full translation 10 pages)
- Translation of a long Chinese article with much more detailed discussion on the why and how of the restructuring.
- The Trajectory of China’s Industrial Policies, Barry Naughton, Siwen Xiao, and Yaosheng Xu, 2021 (33 pages)
- Describes important shifts in PRC industrial policy over the past decades, most notably a shift in focus from economic growth to security and self-reliance.
- Explains well China’s vision for a “enterprise-driven, government-steered” tech ecosystem
- Naughton is a very authoritative scholar for China’s economy, and mostly researched industrial policy in recent years
- The Great Rectification: A New Paradigm for China’s Online Platform Economy, Rogier Creemers, 2023 (28 pages)
- Analyses the relation between party-state and Chinese big tech, the ‘tech crackdown’, and the role of the Cyberspace Administration of China (CAC).
- Xi Jinping speech on science and technology, Xi Jinping, Pekingnology Translation, 2021 (19 pages)
- Probably skip this if you have no previous experience with reading original Chinese party-state documents.
- Very comprehensive outline of Xi’s thoughts on scitech, what it means for the economy and global competition, key challenges China faces, etc.
- Ethical Review of Science and Technology in China: Draft Trial Measures, China Briefing, 2023 (10 min)
- Brief analysis of China’s regulation on science ethics, which focus on life sciences, medicine, and AI.
- The analysis is based on the draft policy, which by now has been finalized. Some details may be different in the final version.
Domestic AI policy
Broad approaches
- Spotlight Series on Global AI Policy — Part III: China’s Policy Approach to Artificial Intelligence, Global Policy Watch, Wanyu Zhang, Ashwin Kaja, Yan Luo & Sean Stein, February 2024 (7 pages)
- Discusses in brief China’s overall approach to AI and key takeaways
- "Domestic AI Governance" in "State of AI Safety in China", Concordia, 2023 (pages 7-23)
- A bit old, but probably still good starting points
- Deciphering China’s AI Dream, Jeffrey Ding, 2018 (44 pages)
- Understanding China’s AI Strategy: Clues to Chinese Strategic Thinking on Artificial Intelligence and National Security, Allen, 2019 (32 pages)
- Touches on several important AI policy issues, including the role AI will likely play in China’s national security policy, the danger of AI arms race dynamics, and China’s AI capabilities
- Attempts to outline “Chinese views” on these issues based on published documents, official statements, as well as informal conversations the author had with Chinese actors (track 2); no rigorous academic analysis or transparent methodology for how evidence was selected
- Relevance and clarity of the piece make this a resource with high potential value, as long as readers take into account that the insights rely heavily on the perspective and evidence selection of the author
- Full Translation: China’s ‘New Generation Artificial Intelligence Development Plan’, DigiChina, Graham Webster, Rogier Creemers, Elsa Kania, and Paul Triolo, 2017 (35 pages)
- Chapter 2 “China’s AI Approach: A Top-Down Nationally Concerted Strategy?” in this book (based on this article), Jinghan Zeng, 2022 (book)
- Provides key context on central-local relations in China’s AI governance, debunks the claim that China’s AI development is driven by a coherent strategy.
- Other chapters in the book could also be useful, pick at your own discretion.
- China’s Approach to Promoting Artificial Intelligence as a General Purpose Technology, Jeffrey Ding, 2022 (22 pages)
- What We Get Wrong About AI & China, Interview with Jeffrey Ding, 2023 (10 pages)
- Alibaba and CAICT researchers analyze domestic & int'l approaches to AI governance, translation by ChinAI, Jeffrey Ding, 2023 (2 pages, full translation 10 pages)
Regulations
- Tracing the Roots of China’s AI Regulations, Matt Sheehan, 2024 (25 pages)
- Goes into detail about the societal circumstances and policymaking process behind 2 of China’s 3 AI laws - regulation on (a) recommendations algorithm and (b) deepfakes
- China’s Emerging Approach to Regulating General-Purpose Artificial Intelligence: Balancing Innovation and Control, Qiheng Chen, 2024, (7 pages)
- Details some of China’s AI regulations and the overall strategy that can be discerned from them
- China’s AI Regulations and How They Get Made, Matt Sheehan, 2023 (14 pages) (ChinaTalk podcast with the author)
- Overview of existing binding regulations for AI, and a discussion on the process of how they are made.
- Highlights how different stakeholders can influence AI policy in the PRC.
- Probably worth checking out some of the author's other writing
- Key Changes to Generative AI Measures, Jeremy Daum, 2023 (5 pages)
- Overview of key differences between draft and final version of PRC’s generative AI regulations
- A key, unresolved debate is whether existing AI regulations slow down Chinese AI developers
- Arguing that the regulations are restrictive
- AI in Chains, Ciel Qi, 2023 (7 pages)
- How Tight AI Regs Hurt Chinese Firms, anonymous, 2023 (9 pages)
- Arguing that the regulations in fact support Chinese companies
- The Promise and Perils of China's Regulation of Artificial Intelligence Chinese Regulators Give AI Firms a Helping Hand, Angela Huyue Zhang, 2023 (53 pages)
- Author explains similar arguments in this paywalled shorter oped (2 pages) and this presentation (video, 1 hour 28 minutes)
- This site of the debate stresses that the broader regulatory environment matters just as much as regulation explicitly targeting AI, for instance highlighting pro-business copyright rulings in the PRC.
- Forum: Analyzing an Expert Proposal for China’s Artificial Intelligence Law, DigiChina, Graham Webster, Jason Zhou, Mingli Shi, Hunter Dorwart, Johanna Costigan, and Qiheng Chen, 2023 [translation of the expert proposal here] (8 pages)
- This article contains discussion by experts around a proposal of a new comprehensive AI law, written by scholars from the Chinese Academy of Social Sciences.
- Note that this is just an unofficial expert proposal for an AI Law, it is not a government draft. The NPC (National People’s Congress) still has to formulate an “official” draft that would then likely be revised 2 more times before becoming a law. The expert proposal could significantly impact how the final law looks like, but there will likely be major differences.
- The timeline for the AI law remains uncertain. The State Council included it in its legislative plan in 2023, but it is for now absent from the NPC 5-year legislative plan.
- Blue Paper Report on Large Model Governance (2023): From Rules to Practice, CAICT (China Academy of Information and Communications Technology, 中国信通院), 2023 (11 pages)
- Probably start from Concordia’s coverage, and only read the whole thing if you feel it is specifically valuable. Partial translation by Jeff Ding here.
Standards
- "Voluntary Standards" in "State of AI Safety in China", Concordia AI, 2023 (page 13)
- Ministry for Industry and Information publishes an updated draft guide for the construction of a national AI standards system, Concordia, 2024
- “The document lists goals for AI industry standards, calling for China to create 50 new national standards and industry standards as well as participate in more than 20 international standards on AI by 2026. The document divides the standards system into six categories, including one category called “safety/security and governance”
- An earlier guide was published in 2020, and was co-signed by 5 ministries
- In the linked newsletter, Concordia also point to 7 new draft standards created by the Standards Administration of China - which include standards on evaluations of pre-trained models
- 人工智能关键技术和应用评测工业和信息化部重点实验室大模型工作纵览-, 语音之家, 2023 (4 pages) (failed to archive)
- This is commentary around the CAICT model evaluations approach, tracing its development from a model engineering focus in 2020 to a Model-as-a-Service focus in 2024.
- CAICT (a think tank under the MIIT) has been doing AI trustworthiness evaluations since ~2019/2020, and has started doing LLM evaluations in 2023 (archived link).
- Artificial Intelligence Standardization White Paper, 4th Electronics Research Institute (a think tank under MIIT), translated by CSET, 2021 (100 pages)
- A whitepaper that lays out thinking by a think-tank under the MIIT and the Standardization Administration of China on how to think about AI standards. These have been developed and further updated in the more recent documents standards construction guidance documents linked above.
Model evaluations / benchmarks
- Twitter Thread on genAI model safety evaluations standard, Matt Sheehan, 2023
- Provides succinct summary and takeaways on this draft standard (archived link)
- The thread uses the term ‘red teaming’, but the standard is not really about what most AI safety researchers would consider ‘red teaming’. Sheehan concedes this point in a twitter reply to Jiahao Chen.
- Chinese AI labs and academics have also put out a range of comprehensive benchmarks to assess different types of capabilities and risks (none of these are mandated by law, but it is useful to understand how Chinese researchers are working on characterizing model capabilities and safety)
- There are several types of safety evaluations that Chinese labs and researchers have conducted. These include SafetyBench (part of a broader SuperBench evaluation), Super-CLUE-safety, CVALUES. More details about these can be found on p. 39 of Concordia’s report here.
- Other examples:
- Flames: Benchmarking Value Alignment of Chinese Large Language Models, Kexin Huang, Xiangyang Liu, Qianyu Guo, Tianxiang Sun, Jiawei Sun, Yaru Wang, Zeyang Zhou, Yixu Wang, Yan Teng, Xipeng Qiu, Yingchun Wang, and Dahua Lin, 2023 (39 pages)
- Commentary by GoogleDeepMind’s international policy manager on whether this benchmark really tests for the kinds of value alignment safety researchers are concerned with (archived link)
AI ethics
- "S&T Ethics System" in "State of AI Safety in China", Concordia AI, 2023 (page 15)
- China’s Approach to AI Ethics - Mapping AI ethics discussions in China, Danit Gal, 2020 (3 pages)
- Very basic overview on China’s AI ethics documents.
- Primary sources / translations
- AI Expert Yi Zeng: Value Alignment with Humanity is AI’s Biggest Challenge, translation by Helen Toner, ChinAI, Jeffrey Ding, 2019 (2 pages, full translation 5 pages)
- Interview with one of the leading Chinese AI ethicists about the Beijing Artificial Intelligence Principles (which are distinct from the “Governance Principles” below), CAIEG, (4 pages) (archived link)
- Governance Principles for a New Generation of Artificial Intelligence: Develop Responsible Artificial Intelligence, The National New Generation Artificial Intelligence Governance Specialist Committee, blog post by New America, translation by Lorand Laskai and Graham Webster, 2019 (5 pages)
- Ethical Norms for New Generation Artificial Intelligence, The National New Generation Artificial Intelligence Governance Specialist Committee, CSET translation, 2021 (6 pages)
AI safety funding
We do not know of any systematic analysis of AI safety funding in the PRC. Below are a few government-funded projects we happen to be aware of. They can, at best, serve illustrative purposes.
- National Natural Science Foundation of China releases application guide, encouraging AI safety research, Concordia, 2023 (section on funding 1 page)
- “..proposes funding six projects at 500,000 RMB ($70,000) per project, in any of six research directions. Two of those directions are directly relevant to AI safety: “research on value and safety alignment strategy for large models” and “research on automated evaluation methods for generative models.”
- Note: this is a very small funding stream and it is unclear how important this is overall; we suspect that labs are spending more on AI safety but given the lack of sources, we remain uncertain
- Notice on the Release of the “Guide to the 2023 Annual Projects for the Major Research Program on Explainable and Generalizable Next-Generation Artificial Intelligence Methods”, CSET, Translation by Kevin Wei, 2023 (14 pages)
- Lays out 2023 funding priorities in ‘explainable’, ‘generalizable’ AI by NSFC (National Natural Science Foundation of China), one of the PRC’s main government bodies for basic research funding
- Some directions are related to AI safety (interpretability research), but others are focused on capabilities in specific domains like biotechnology or medicine
- No funding amount disclosed
- 会议回顾|国家科技创新2030——“新一代人工智能”重大项目“可信人工智能立法制度建设研究”启动暨实施方案论证会召开, Renmin Law and Technology Institute, 2023 (3 pages) (archived link)
- The PRC is currently running 16 “Technological Innovation 2030 – Mega-Projects” (2017–2030). One of them is focused on “next generation AI” (科技创新2030—“新一代人工智能”重大项目)
- Funding for each mega-project is estimated to be around 50 billion RMB. But the mega projects are relatively opaque, and no official statistics on funding size are published.
- Institutional set-up and supervision varies significantly from one project to the other (see Barry Naughton 2022, pp. 52–59).
- China’s domestic Comac C919 aircraft, one of the 2006–2020 mega projects, was set up as a state-owned joint stock corporation.
- Other “mega projects” are a loose collection of many smaller sub-projects executed by unis, research institutes and companies, supervised by a specific Ministry.
- We are not aware of any systematic analysis of the AI-focused mega project. But it appears to be supervised by MoST, with new calls (archived link) for sub-project applications published every one or two years.
- The article describes a kick-off meeting for one of these sub-projects titled “Research on Establishing a Trustworthy AI Legislative System”. It focuses on legal systems for aggregated data governance, algorithm governance, AI safety risk assessment, and more. The project is led by Renmin University and brings together 7 institutions including the China Electronic Technology Standardization Research Institute.
- The article has detailed information about attendees.
International Governance
Overview
- "International AI Governance" in "State of AI Safety in China", Concordia AI, 2023, pp. 24–33, especially the subsections: "Introduction" and "Features of China's Approach" (10 pages total)
- This resource provides a general overview of China’s approach to international AI governance, offering many concrete examples of initiatives and features of the country’s approach
- Beijing's Vision of Global AI Governance Sihao Huang, 2023, (5 pages)
- This resource provides an overview of China’s engagement with international governance of AI, including China’s Initiative for Global AI Governance
- In Pursuit of (Soft) Power: Chinese Artificial Intelligence Governance in an Age of Great Power Competition, K Blomquist, 2022 (88 pages)
- The article makes an interesting argument about the implementation of domestic policy as a means to influence foreign policy through demonstration of success
Sino-western AI competition
Race dynamics
- An AI Race for Strategic Advantage: Rhetoric and Risks, Association for the Advancement of Artificial Intelligence, Stephen Cave and Seán S ÓhÉigeartaigh, 2018 (4 pages)
- Outlines the risks of race rhetoric pertaining to AI and alternative framings
- Tracking the US and China AI Arms Race, AI Now Institute, 2023 (23 pages)
- Who's Winning the AI Race? It's Not That Simple, Foreign Policy, Rishi Iyengar, 2023 (2 pages)
- Makes the case that there is no simple or straightforward way to rank AI superpowers
- Choking off China's Access to the Future of AI, CSIS, Gregory C. Allen, 2022, (10 pages).
- Discusses the first major round of US-led export controls on semiconductors and semiconductor manufacturing equipment.
- A Bigger Yard, A Higher Fence CSET, Hanna Dohmen and Jacob Feldgoise, 2023, (16 pages)
- Discusses the October 2023 version of the export controls.
- The Illusion of China’s AI Prowess, Helen Toner, Jenny Xiao, and Jeffrey Ding, 2023, (7 pages)
- Makes the case that there is a bigger gap between Chinese and Western models than observers in the West may expect
- In U.S.-China AI contest, the race is on to deploy killer robots, Reuters, David Lague, 2023, (14 pages) (archived link)
- Sensational title but actually gets into some of the first military tests utilizing AI and some of the race dynamics in that domain
- Mapping U.S.-China Data De-Risking, DigiChina, Samm Sacks, Yan Luo, Graham Webster, 2024 (20 pages)
- Lays out steps that both governments have taken to reduce interdependence since 2019
‘Gap’ between Chinese and Western AI models
- Overview
- The state of AI in different countries, EA Forum, Lizka, 2023, (15 pages)
- Describes progress that multiple countries including China have made on AI, including comparison points
- Who is leading in AI? Epoch, Ben Cottier, Tamay Besiroglu, and David Owen, 2023, (10 pages)
- Discussion includes commentary on the gap between Chinese models and leading Western models
- 通用大模型的进展与治理报告(2.0出版), section 2 pp. 26–46, East China University of Political Science and Law, You Tengfei (游腾飞), Du Huan (杜欢), Yang Yuxiao (杨宇霄), Liang Zihan (梁子晗), Fang Hongyu (房虹宇), (王锐骐), Zhang Haomiao (张皓淼), 2023 (21 pages) (archived link)
- Comparatively outlines the progress that various countries including China have made on AI
- Project overseen by Gao Qiqi, a contributor on a consensus paper that warned of advanced risks from advanced AI, alongside Yoshua Bengio, Andrew Yao and Geoffrey Hinton
- Assessing China's importance as an AI superpower, EA Forum, Julian Hazell, 2023, (1 page)
- Summary of longer blog post assessing China’s AI capabilities, where the author tries to assess China’s importance as a global actor on the path to transformative AI
- Comparative model evaluations / benchmarks
- SuperBench, Tsinghua Foundation Model Centre (archived link)
- A comprehensive benchmark from China’s leading science and technology university across many capability and safety metrics. Includes both leading Chinese and Western models.
- Putting China’s Top LLMs to the Test, ChinaTalk, Irene Zhang, 2023, (14 pages)
- Compares Chinese and Western LLMs. Not a rigorous metrics-based evaluation, but just a ‘regular user’ trying out how they perform on a couple of typical prompts.
- ChinAI #219: Ernie Bot vs. GPT-4, ChinAI, Jeffrey Ding, 2023, (6 pages)
- Details evaluation of comparative analysis of Ernie Bot and GPT-4 through a series of tests
- Others
- Comparing U.S. and Chinese Contributions to High-Impact AI Research, CSET, Ashwin Acharya and Brian Dunn, 2022 (35 pages)
- Uses a variety of benchmarks to discuss the relative research contributions; less to do explicitly with models but captures other important factors
- What Washington Gets Wrong About China and Technical Standards, Carnegie Endowment for International Peace, Matt Sheehan and Jacob Feldgoise, 2023 (6 pages)
- Not about AI specifically but argues that the US needs to be vigilant about the growing presence of Chinese actors in international standards-setting bodies, especially in high-stakes industries
Sino-western AI cooperation
Cooperation can take many forms - including a range of different diplomatic dialogues (official, semi-official etc) to investment and scientific collaboration. It is worth noting that commercial and research collaboration has continued in many forms, but that both forms of exchange and collaboration are coming under increasing scrutiny from different parts of the American government.
Diplomacy / Dialogue
- The State of China-Western Track 1.5 and 2 Dialogues on AI, Concordia AI, 2024 (7 pages)
- Back on Track?, The Wire China, Bob Davis, 2024, (25 mins)
- Outlines the return of US-China Track 2 dialogues (unofficial exchanges between non-governmental figures) after the pandemic; including 3–4 (in at least a total of 40) on AI
- A roadmap for a US-China AI dialogue, Brookings, Graham Webster and Ryan Hass, 2024 (5 pages)
- Gives a concrete roadmap with specific areas of focus for US-China AI dialogue going forward
- What Topics Can Be Discussed in the China-U.S. Artificial Intelligence Dialogue, (original title《中美人工智能对话可以谈些什么》), Wang Yifan and Zhu Rongsheng, 2024, (4 pages)
- Tsinghua University Researchers outline potential topics for the new U.S.-China Intergovernmental Dialogue on AI
- Principled AI, Practical Challenges: The U.S.-China Endeavor in Ethical Tech Governance, Peter Bittner, 2023 (4 pages)
- Discusses differences in approach to global governance and potentials for cooperation
- The AI Power Paradox, Ian Bremmer and Mustafa Suleyman, 2023 (18 pages)
- Details challenges to the United States and China working together on AI governance and possible fixes
- The Path to AI Arms Control, Foreign Affairs: Henry Kissinger and Graham Allison, 2023 (11 pages)
- Outlines reasons for cooperation on AI and gives suggestions as to how the United States and China might cooperate
- Chinese thinking on AI integration and interaction with nuclear command and control, force structure, and decision-making, Chapter 6 “Military applications of AI and risks mitigation: role of major powers” pp. 26-31, European Leadership Network, Fei Su and Jingdong Yuan, 2023 (6 pages)
- Outlines Chinese perspectives on the role of major powers and cooperation under multilateral frameworks on risks mitigation of AI
- 香会中美“互怼”未成重头戏 中国传递自己声音, last paragraph quote by Zhu Qichao, China Youth Online, 2017 (<1 page) (archived link)
- At the end of the article, Zhu Qichao, an influential figure at NUDT, calls for the utilization of think tanks to establish track 1.5 and track 2 dialogues; multiple such dialogues were then established over the following couple of years
Business / commercial
- US Moves To Narrowly Limit Investment in China, Skadden, Brian J. Egan, Eytan J. Fisch, Michael E. Leiter, Brooks E. Allen, Jordan Cannon, and Katie Clarke, 2023 (6 pages)
- Coverage of a late 2023 executive order from the Biden administration that instructs the Committee on Foreign Investment in the US (CFIUS) under the Department of Treasury to create an outbound investment control regime, to look at American investments going into China in sensitive sectors (e..g, semiconductors)
- This complements existing authority that CFIUS has to look at investments of foreign capital in the US
- U.S. Outbound Investment into Chinese AI, CSET, Emily S. Weinstein and Ngor Luong, 2023 (68 pages)
- CSET report that points out that significant American investment into Chinese AI development has taken place
Scientific collaboration
- AI Index, Anka Reuel, 2023 (55 pages total)
- Pp. 10–11 of Chapter 1 set US-China AI collaboration in context to other dyads (country-country pairs) of international collaboration on AI
- Can democracies cooperate with China on AI research?, Brookings, Cameron F. Kerry, Joshua P. Meltzer, and Matt Sheehan, 2023 (4 pages)
- Outlines recent trends in US-China AI research cooperation, and discusses challenges and concerns vis-a-vis such cooperation (from a US perspective)
- Recommends a “risk-based” approach to handling research cooperation with China
- Reset, Prevent, Build: A Strategy to Win America's Economic Competition with the CCP, U.S. House of Representatives Select Committee on the Strategic Competition Between the United States and the Chinese Communist Party, 2023 (53 pages)
- A report by a special committee within the American House of Representatives calling on further action to be taken by the U.S. government to win in a competition with China
- Pp. 33–34 point to restrictions the committee is calling for on fundamental research in sensitive areas for researchers that receive federal funding
- China and the United States: Unlikely Partners in AI, Stanford Human-Centered Artificial Intelligence, Edmund L. Andrews, 2022 (2 pages)
- Coverage of the 2022 AI index, which points to significant scientific collaboration on AI between the US and China, despite rising tensions
Chinese engagement at multilateral fora
- Prominent AI Scientists from China and the West Propose Joint Strategy to Mitigate Risks from AI, 2023 (5 pages total)
- A statement signed by leading Western and Chinese academics, calling for greater investment in AI safety and continued cooperation. The signatories include members of China’s Ministry of Science and Technology’s AI ethics committee, as well as Turing Award winner Yoshua Bengio and Andrew Yao
- Managing AI Risks in an Era of Rapid Progress, Bengio et. al, 2023 (4 pages)
- A short consensus paper on the risks from advanced AI systems, ranging from large-scale social harms to malicious uses. This was written by a very broad range of Chinese and Western scholars, including, Yoshua Bengio, Geoffrey Hinton, Andrew Yao and Stuart Russell. Several influential Chinese academics are also on this paper (including Xue Lan, the chairperson of the Ministry of Science and Technology’s AI ethics committee).
- What Should the Global Summit on AI Safety Try to Accomplish?, China section, GovAI: Garfinkel & Heim, 2023 (<1 page)
- Details Chinese involvement in international governance, provides helpful foreground to discussions that led up to the Global AI Safety Summit
- AI Safety in China #4, International AI Governance section, Concordia AI, 2023, (about 1 page)
- Gives worthwhile commentary on China’s participation in the Global AI Safety Summit and China’s issuance of its Global AI Governance Initiative
- Overcoming Barriers to Cross-cultural Cooperation in AI Ethics and Governance, Seán S. ÓhÉigeartaigh, Jess Whittlestone, Yang Liu, Yi Zeng, and Zhe Liu, 2020, (23 pages)
- Discusses barriers to international cooperation and potential fixes
- Written by members of the China-UK Research Centre for AI Ethics and Governance, which includes scholars from the Chinese Academy of Sciences and the University of Cambridge’s Leverhulme Centre for the Future of Intelligence
- U.S., China, other nations urge 'responsible' use of military AI, Reuters, Toby Sterling, 2023 (about 2 pages) (archived link)
- Text of declaration (From USG source; archived link) (Chinese name for the declaration is 《关于负责任地军事使用人工智能和自主技术的政治宣言》)
- Details the Political Declaration on Responsible Military Use of Artificial Intelligence and Autonomy, which China and other countries signed
- Primary sources
- China calls for AI safety cooperation at [Global AI Safety Summit] (English), State Council Information Office, 2023 (3 pages) (archived link)
- Outlines China’s perspective on the summit
- Full Translation: China’s ‘New Generation Artificial Intelligence Development Plan’ (2017), Section V.1 and V.3, Stanford University Digichina, Graham Webster, Rogier Creemers, Elsa Kania, and Paul Triolo, 2017 (about 1 page)
- Outlines guidance that China’s State Council has outlined to engage in standards-setting
- Remarks by Ambassador Zhang Jun at the UN Security Council Briefing on Artificial Intelligence: Opportunities and Risks for International Peace and Security, Permanent Mission of the People’s Republic of China to the UN, 2023, (2 pages) (archived link)
- An example of how China is engaging rhetorically at the UN level on AI governance
China’s own international AI governance initiatives
- 通用大模型的进展与治理报告(2.0出版), section 4.3 pages 98–102, East China University of Political Science and Law: Yan Xingjian (严行建), Ji Lei (吉磊), Kou Pupu (寇菩菩), Xie Ruipeng (谢睿朋), Li Dakun (李大琨), Pan Yixin (潘翌昕), Wang Shiyu (王诗羽), and Huang Yichen (黄逸尘) 2023 (5 pages) (archived link)
- Details steps that could be taken to strengthen international governance including current barriers to progress
- Project overseen by Gao Qiqi, a contributor on a consensus paper that warned of advanced risks from advanced AI, alongside Yoshua Bengio, Andrew Yao and Geoffrey Hinton
- Primary sources:
- Global AI Governance Initiative, Ministry of Foreign Affairs of the People’s Republic of China, 2023 (2 pages) (archived link)
- China’s primary vision for AI governance at the global level
- For additional context, see Sihao Huang’s piece at the top of this document
- Position Paper of the People's Republic of China on Strengthening Ethical Governance of Artificial Intelligence (AI), Ministry of Foreign Affairs of the People’s Republic of China, 2022 (2 pages) (archived link)
- Precursor to the Global AI Governance Initiative
- China ready to jointly regulate military use of AI with different parties: Defense Spokesperson, Ministry of Defense of the People’s Republic of China, 2023 (<1 page) (archived link)
- Jointly Implementing the Global Security Initiative For Lasting Peace and Security of the World——Keynote Speech by H.E. Nong Rong Assistant Minister of Foreign Affairs At the 10th Beijing Xiangshan Forum, Ministry of Foreign Affairs of the People’s Republic of China, 2023 (3 pages but can just read sections with information relevant to AI) (archived link)
- Demonstrates the nesting of China’s Global AI Governance Initiative under the broader structure of the Global Security Initiative. While AI also comes under consideration in the Global Development Initiative, it is most heavily considered under the umbrella of the Global Security Initiative. The Global Security Initiative is one of the major three pillars of China’s overarching foreign policy messaging in the current era.
Key actors and their views on AI risks
Caveat: Besides the scan that Concordia and CSET have done, there are not many comprehensive overviews of key actors. Moreover, the CSET report has some errors that we flag below, which leads us to be less confident in the report’s overall accuracy. Where we are aware of other potentially relevant individuals, we have also included their names, even if we have no clear resources to link to.
Knowledge of and support for AGI
- "Introduction" in "State of AI Safety in China", pp. 1–3, Concordia, 2023 (3 pages)
- Beijing Policy Interest in General Artificial Intelligence is Growing, Heide, 2023
- Argues that Chinese policymakers’ focus shifted from narrow to general AI in early 2023.
- Just as for the English 'artificial general intelligence’, there are multiple interpretations of the Chinese term 通用人工智能. So there is still plenty of ambiguity on what the Politburo meant with the term, which is only partly acknowledged in this piece.
- This is an opinion piece that gestures towards a potential trend, based on high-level reasoning, rather than rigorous evaluation
- China's Advanced AI Research, CSET, William Hannas, Huey-Meei Chang, Daniel Chou, Brian Fleegeras, 2022 (78 pages)
- This is a fairly comprehensive report but there are several factual and framing issues that have been identified since its release that are relevant for any reader to consider
- The report implies that China is looking to develop AGI to achieve a decisive advantage over its rivals due to the self-improving nature of AGI; a closer reading of the quoted policies suggests a more commercial implication that this is linked more closely to ensuring Chinese firms have larger market share in new technological industries
- This report (and a wide range of other materials) imply that there is unified Chinese action on AI/AGI. However, there are a range of relevant government and non-government actors involved, and arguing that ‘China wants X’ with any strong degree of confidence is quite fraught
- The report also inaccurately characterizes the types of research being pursued at particular large AI labs in China
AI scientists / key academics
- Chinese Perspectives on AI, Concordia AI (interactive webpage)
- Database of translations of key Chinese AI safety scientists’ views on AI risk and safety (currently about ~1 article for each of the 10 authors on their website)
- "Expert Views" in "State of AI Safety in China", pp. 43-60 Concordia AI, 2023 (17 pages)
- "Technical Safety Developments" in "State of AI Safety in China", pp. 34–42, Concordia AI, 2023 (18 pages)
- AI Alignment: A Comprehensive Survey, Jiaming Ji et. al, 2023 (98 pages total)
- A wide-ranging bilingual survey of many directions written by a broad range of Chinese authors, focused on AI alignment research (not specifically within China)
- Further resources linked to the paper available here
- 安远AI受邀参与“人工智能立法之开源发展与法律规制”会议, Concordia AI, 2024 (9 pages) (archived link)
- Contains a summary of a roundtable meeting between various academics on the topic of open source models and the draft AI law
- This conference was organized by Tsinghua University’s School of Public Policy and Management and was attended by academics from various universities and disciplines, a representative from Concordia, compliance officers and lawyers, as well as a member of an ISO standard setting technical committee
- Participants had a wide range of views on how much AI regulation was required and whether and in what way open source models are risky. Several attendees drew attention to the security risks posed by open source models
Industry
- Recent Trends in China's LLM Landscape, Centre for the Governance of AI, Jenny Xiao and Jeffrey Ding, 2023 (14 pages)
- Points to trends in Chinese LLM model landscape, including some commentary about industry perception of different factors of AI development
- "Lab Self-Governance" in "State of AI Safety in China", pp. 61–73 Concordia AI, 2023 (13 pages)
- Tencent Research Institute releases Large Model Security & Ethics Report, ChinAI, Jeffrey Ding, 2024 (3 pages, full translation 23 pages)
- Tencent report on large model security and ethics, covering 1) LLM development trends, 2) opportunities and challenges in LLM security, 3) LLM security frameworks, 4) best practices for large model security, and 5) large model value alignment progress and trends
- The report gives insight into the types of assessments Chinese AI labs are implementing to comply with generative AI regulations.
- AI Safety in China #10, Concordia AI, 2024 (10 pages)
- This issue covers meetings held by China’s AI industry association, which include working groups on value alignment, policy and law, and security and governance. The policy and law working group meeting covered here focused on AGI risks.
Military
- U.S.-China Competition and Military AI, CNAS, Jacob Stokes, Alexander Sullivan and Noah Greene, 2023 (32 pages total)
- Explores how use of AI in the military poses risks in the context of US-China competition. P.2-5 lays out the way Chinese government sources have talked about the use of AI in military applications. P.6-10 talk about the ways in which this use of AI can cause particular types of risks.
- Debunking the SCMP report that shaved 36 bln HKD off Baidu, Pekingology, Zichen Wang and Jia Yuxuan, 2023 (25 pages) (archived link)
- A response to a South China Morning Post (SCMP) article that covered a Chinese academic paper. The SCMP article claimed that Chinese researchers had connected civilian AI systems (Baidu and iFlytek LLMs) to military applications, and led to a significant dip in Baidu’s stock value
- This response argues that this characterization by the SCMP article is false and that a closer reading of the paper reveals no such activity took place
- It’s worth noting that this source has close ties to the party-state and therefore has a vested interest in mounting this defense. However, it seems like the response has some merit too.
- It seems like the Chinese researchers were interested in trying to develop militarily useful agents and did try to do so by prompting LLMs. However, rather than integration of AI into military systems to fire weapons etc, the use case here seems more akin to using LLMs as advisers on military situations
- This is notable because it's kind of crux-y to understand whether and in what ways leading AI civilian companies like Baidu are also being used in military applications
- The PLA’s Strategic Support Force and AI Innovation, Brookings, Amy J. Nelson and Gerald L. Epstein, 2022 (6 pages)
- Dives into the setting up of the Chinese military’s AI support force that aims to modernize China’s military, including through the use of AI
- Draft Code of Conduct for the Use of AI in Military Applications, Centre for Humanitarian Dialogue, 2021 (10 pages)
- A draft developed during a US-China Track 2 dialogue organized by the Centre for Humanitarian Dialogue and Tsinghua University’s Centre for International Security and Strategy
- Chinese Debates on the Military Utility of Artificial Intelligence, War on the Rocks, Michael Dahm, 2020 (11 pages) (archived link)
- Chinese thinking on AI integration and interaction with nuclear command and control, force structure, and decision-making, European Leadership Network, Fei Su and Dr. Jingdong Yuan, November 2023 (44 pages)
- Broadly covers Chinese thinking on AI military integration and major power dynamics surrounding specific topics related to strategic stability.
- Testimony before the US-China Economic and Security Review Commission Chinese Military Innovation in AI, Elsa B. Kania, 2019 (56 pages total) (archived link)
- A bit dated but seems quite comprehensive
- Primary sources
- 中国关于规范人工智能军事应用的立场文件, Chinese Ministry of Foreign Affairs, 2023 (2 pages) (archived link)
- China’s Official Position Paper on regulating the use of AI in Military, official English translation available at the link
- China Keyhole
- It is unclear who the researchers behind this initiative are but they have a few pieces that provide significant detail about different dimensions of China’s military AI effort, up to 2020
- For example, there is slightly outdated information about the People’s Liberation Army’s AI Research Centre and doctoral research in military AI (document 18 pages total)
- Chinese Academy of Military Sciences (AMS) has a subsidiary committee that focuses on AI.
- There is no clear website to refer to, however, you can refer to Chapter 9, Section 6 of the AMS’s 2020 publication on the Science of Military Strategy (page 170 of the PDF translation linked, pdf page 183) (archived link)
Public opinion
- "Public Opinion" in "State of AI Safety in China", pp. 68–73, Concordia AI, 2023 (6 pages)
- This section of Concordia’s report takes a look at several opinion polls, notably two by the Centre for Long-term AI, led by Zeng Yi, listed as one of Time’s 100 notable AI figures in 2023. These include a poll on whether we can and should develop strong AI, and one on Chinese perspectives on pausing AI development.
AI Inputs
Here we try to provide more varied sources linked to the different inputs of AI models. Some sources will be repeated. For three of the sections (Algorithms, Capital and Talent), we only did a cursory survey of the literature; the pieces in these sections are thus just a snapshot and it is quite likely that relevant publications have been overlooked.
Algorithms
For lack of time, we only did a cursory survey of the literature. The pieces in the section are thus just a snapshot and it is quite likely that relevant publications have been overlooked.
- 互联网信息服务算法备案系统, CAC (interactive government portal)
- The portal where the Chinese government shares information about the algorithm registry. There is some detail about which companies have been registered, alongside brief descriptions of the algorithms. (From an initial scan this include both deep synthesis and other algorithms)
- Recent releases of the registry include several AI companies (as far as one can tell from their names)
- You can find a compiled list of application results for post-2023 ‘deep synthesis’ algorithms here
- Relevant domestic regulations
- What China’s Algorithm Registry Reveals about AI Governance, Matt Sheehan and Sharon Du, 2022 (4 pages)
- Tracing the Roots of China’s AI Regulations, Matt Sheehan, 2024 (48 pages total)
Compute
Semiconductors
Overview
- Introduction to AI chip making in China, Institute for AI Policy and Strategy, Erich Grunewald and Christopher Phenicie, 2023 (41 pages total)
- A good basic overview of the importance of semiconductors to AI with some details about China’s role.
- The majority of the report sets global context for specific parts of the semiconductor supply chain, with Chinese gaps vis-a-vis the West highlighted for each part of the supply chain.
- Key gaps specified p.15-22; details about export controls covered p.23-24; forecasting questions about Chinese chip-making linked in p.26-27
- China’s New Strategy for Waging the Microchip Tech War, CSIS, Gregory C. Allen, 2023 (21 pages total)
- Slightly dated as it doesn’t account for responses since the more restrictive 2023 export control updates; but a decent CSIS Report on China’s overall responses to the 2022 export controls. Includes context on Chinese state support for the chip industry
- 半导体产业政策梳理与分析:集成电路政策力度有望加大, CITIC Securities, 2023 (19 pages) (archived link)
- A detailed overview of the history of semiconductor policy in China, including a breakdown of gaps by specific parts of the supply chain and key priorities for key local governments
- Measuring China’s Technological Self-Reliance Drive, China Leadership Monitor, Jeffrey Ding, 2023 (10 pages)
- Chinese policy-making is driven by metrics, including quantitative targets for domestic substitution in semiconductors. The article problematizes/disentangles what these metrics mean.
Chinese semiconductor policy
- Chip Subsidy Flows – Comparing China and the U.S., Arrian Ebrahimi and Jiong Feng, 2023 (9 pages)
- Lays out Chinese semiconductor subsidies from local and central government, and contrasts them to the US CHIPS Act.
- Does not discuss the role of Chinese SOEs, which form a significant part of the Chinese semiconductor industry.
- Has a section on China’s ‘Big Fund’, but fails to mention its major corruption scandal.
- “Chip Promotion Law” Proposal at the China People’s Political Consultative Conference, Chip Capitols, Arrian Ebrahimi, 2023 (9 pages total)
- Introduces a proposal made at China’s largest legislative meeting in 2023 to streamline national policy on semiconductors.
- Note that this is just a suggestion by an expert, but not an existing policy.
- This was a proposal made to the China People’s Political Consultative Conference, a national advisory body whose proposals are considered but are not legally binding. There are thousands such proposals made every year about all kinds of policy areas, the majority of which do not directly lead to major policy change.
- Chinese Semiconductor Industrial Policy: Past and Present, United States International Trade Commission Journal of International Commerce and Economics, John VerWey, 2019 (29 pages)
- Comprehensive background to understand the PRC’s semiconductor industrial policy (going back to 1950, focusing on more recent years)
- Not an up-to-date picture of current semiconductor policy, but useful as a complement (& informative backdrop) to more recent commentary
US export controls
There are quite a few articles linked here, in essence track the changing views on how well export controls have been able to actually impact Chinese chipmaking capacity. It is important to note that experts seem to disagree about how much of a lag one should expect to see between the introduction of these export controls and their actual impact on Chinese chipmaking, given that Chinese companies have some reserves of now-restricted chips, amongst other reasons.
Policy overview
- Public Information On Export Controls Imposed On Advanced Computing And Semiconductor Manufacturing Items To The People’s Republic Of China (PRC) In 2022 And 2023, Bureau of Industry and Security, U.S. Department of Commerce, 2023 (continuous updates?) (1 page)
- A Bigger Yard, A Higher Fence CSET, Hanna Dohmen Jacob Feldgoise, 2023 (16 pages)
- Discusses the most recent version of the export controls.
- 2023 Export Control Update, ChinaTalk, Diego, 2023 (13 pages)
- Podcast discussion focused on the new updates to the export controls. The discussants argue that the controls seem to close up loopholes (visualized here) that had been left open under the previous export controls
- Choking off China's Access to the Future of AI, CSIS, Gregory C. Allen, 2022 (10 pages)
- Discusses the first major round of US-led export controls on semiconductors and semiconductor manufacturing equipment.
Impact and China’s efforts to deal with the export controls
- Overview
- A New Era for the Chinese Semiconductor Industry: Beijing Responds to Export Controls, American Affairs Journal, Paul Triolo, 2024 (28 pages)
- Detailed account of the impact of and response to export controls by key actors in the Chinese semiconductor industry
- Weathering the Storm: Chinese Chipmakers Respond to U.S. Export Controls, Justin Feng, April 2023 (4 pages)
- Brief blog post describing the export control measures, their observed effects on Chinese chipmakers in the short term, China’s possible policy responses, and the likely medium- to longer-term consequences for China’s chip industry
- China Boosts Semiconductor Subsidies as US Tightens Restrictions, Arrian Ebrahimi, 2023 (2 pages)
- R&D subsidies form part of the Chinese govt response to tightened export control
- The “Chokepoint” Fallacy of Tech Export Controls, Stimson Center, Ansgar Baums, 2024
- Briefly recaps the first and second round of export controls, and cites some data on their effects
- Challenges the idea that there are singular chokepoints in tech value chains that could be leveraged effectively for foreign policy goals
- Argues that the main effect of US technology export controls may be to incentivize faster industrial innovation in China
- Internet giants, it’s hard to buy A100s even if you have money, translation by Jeffrey Ding, Chinese original by Xu Qing (archived link), February 2024 (original 14 pages, translation 12 pages)
- On-the-ground reporting on how Chinese tech companies have been responding to (expected) chip shortages. No causal or explanatory analysis, but gives some insights into the practical consequences that can result from a policy like the US export controls.
- Export control evasions
- Preventing AI Chip Smuggling to China, Tim Fist and Erich Grunewald, 2023 (8 pages)
- Accessing Controlled AI Chips via Infrastructure-as-a-Service (IaaS): Implications for Export Controls, Centre for the Governance of AI, Lennart Heim and Janice Egan, 2023 (20 pages)
- Chinese AI groups use cloud services to evade US chip export controls, Financial Times, Eleanor Olcott, Qianer Liu, and Demetri Sevastopulo, 2023 (2 pages)
- Retaliation by the PRC
- The New Arms Race: Sanctions, Export Control Policy, and China, CSIS, Jeannette Chu, 2022 (6 pages)
- Describes Chinese policies to combat foreign governments’ measures to restrict economic flows to and from the PRC: China’s Anti-Foreign Sanctions Law, Rules on Counteracting Unjustified Extra-territorial Application of Foreign Legislation and Other Measures, the Export Control Law, and Unreliable Entities List
- Explains that these policies have not been strictly enforced in response to the recent U.S. export controls, but argues that they may foreshadow a tit-for-tat dynamic between China and the U.S.
- China just fought back in the semiconductor exports war. Here’s what you need to know, MIT Technology Review, Zeyi Yang, 2023 (5 pages) (archived link)
- Describes China’s export restrictions on gallium and germanium (July 2023), two materials used in computer chips and other products
- Analyzes the immediate and expected longer-term impact of the restrictions, and discusses the likelihood of further retaliatory measures from the Chinese side
- China’s New Graphite Restrictions, CSIS, Emily Benson and Thibault Denamiel, 2023 (4 pages)
- Describes China’s restrictions on certain graphite products (October 2023) in retaliation against the second round of U.S. semiconductor export controls
- Discussions around Huawei’s release of Mate 60 Pro, a phone that is reported to contain a domestically produced 7nm semiconductor chip
- Huawei’s 5G chip breakthrough needs a reality check, MIT Technology Review, Zeyi Yang, 2023, (6 pages)
- Explains the relevance of Huawei’s release of the Mate 60 Pro smartphone in spite of the export controls: Argues that it shows unexpected advances in domestic chip design and manufacturing capabilities, but that export controls are still hampering Chinese companies and that China’s capabilities to mass-produce advanced chips domestically remain an open question
- China AI & Semiconductors Rise: US Sanctions Have Failed, Semianalysis, Dylan Patel, Afzal Ahmad, and Myron Xie, 2023 (14 pages)
- In light of SMIC’s production of a 7nm chip for Huawei smartphones (August 2023), the authors argue that the first round of US export controls failed to achieve their intended goals
- Size isn’t everything: China’s new chip is less earthshaking than you may have heard, DefenseOne: Matt Brazil and Peter W. Singer, 2023 (2 pages)
- Contrasting perspective on how much of a breakthrough the SMIC chip used in Huawei’s Mate 60 Pro phone represents
International dynamics (esp. US-China relations)
- The Global Might of the Tiny Chip, Virginia Heffernan, 2022
- Book review of Chris Miller’s Chip War
- The book and book review present insights into global semiconductor supply chains, and discuss what this implies for international affairs
- Nvidia’s China Business is Important to US Geopolitical Positioning, Kevin Xu, 2023 (7 pages)
- Argues that Nvidia retaining some business in China is important for the US. Also mentions Nvidia’s new chips (in development) (archived link), that are compliant with the updated controls and to be launched in Q2 2024
- Not Trading With the Enemy: The Case of Computer Chips, Olga Hrynkiv and Saskia Lavrijssen, 2024 (pdf)
- Provides a legal analysis of the compatibility of export controls with the international trade law framework
- Also analyzes possible effects of governments’ ‘decoupling’ strategies toward China on shaping international trade law
- See also resources listed under: Race dynamics
Data centers
- 中国算力发展指数白皮书, CAICT, 2023 (63 pages) (failed to archive)
- A whitepaper by a think-tank under the Ministry of Industry and Information which looks into the development of China’s data center industry and includes suggestions for what China can do to further develop this industry
- Relatedly, CAICT also released another paper (archived link) that goes further into the details behind the construction of the index used in the whitepaper to evaluate the state of China’s computing industry
- China's Data Center Sector: Industry and Regulatory Insights, China Briefing from Dezan Shira and Associates, Giulia Interesse, 2023 (12 pages)
- Overview of key regulations, regulators and recent developments in China’s data center sector
- “Eastern Data, Western Computing” – China’s Big Plan to Boost Data Center Computing Power Across Regions, China Briefing from Dezan Shira and Associates, Arendse Huld, 2022 (12 pages)
- Describes China’s state-driven infrastructure project that is supposed to lead to more efficient allocation of computing resources
- ChinAI #249: China's idle AI computing centers, ChinAI, Jeffrey Ding, 2024 (3 pages, translation 9 pages)
- Paradox of simultaneous over- and under-supply of compute in China
- ChinAI #210: Huawei's New Undertaking in New Infrastructure, ChinAI, Jeffrey Ding, 2023 (3 pages, translation 10 pages)
- Translation of coverage about Huawei’s new data centers
- Worth thinking about how this relates to Huawei potentially running out of compute to train their earlier Pangu model (as pointed by Xiao and Ding on p.7 of this report)
Data
- General overview
- Note: there are not many good general overviews of data as an input in China’s approach to AI, but you can get a sense of how it is being treated through reading some of the regulations and sources related to considerations of data ownership, sharing and trading, storage, and cross-border flows.
- Much Ado About Data: How America and China Stack Up, MacroPolo: Matt Sheehan, 2019
- Analyzes dimensions of the landscape of data as an input in China
- Debunks the meme of “China has an advantage in AI because of all the data”
- Training data
- 大模型高质量语料缘何短缺?, China Science and Technology Network, 2024 (archived link)
- Coverage about factors potentially limiting the availability of high-quality corpora for LLM training
- WuDaoCorpora: A super large-scale Chinese corpora for pre-training language models, AI Open, Sha Yuan, Hanyu Zhao, Zhengxiao Du, Ming Ding, Xiao Liu, Yukuo Cen, Xu Zou, Zhilin Yang, and Jie Tang, 2021 (4 pages)
- Relevant domestic regulations that are data-focused
- China proposes blacklist of training data for generative AI models, Reuters, 2023 (about 2 pages) (archived link)
- This is not a regulation, but highlights limitations on the data that is able to be utilized in the training of AI models that China’s National Information Security Standardization Committee has published.
- Data Security Law of the People’s Republic of China, enacted by the 13th National People’s Congress, Translated by DigiChina with significant reference to China Law Translate, 2021(12 pages, 21 pages including Chinese text)
- Most significant piece of legislation recently addressing data, should be well understood as following AI regulations that consider the use of data have been and will be built on the foundation of this law in concert with other relevant foundational laws such as one on cybersecurity and one on personal information
- Broader regulations that touch on data
- Artificial Intelligence Law, Model Law v. 1.0 (Expert Suggestion Draft), Chinese Academy of Social Sciences Major National Condition Research Project, Translated by Concordia AI, Kwan Yee Ng, Jason Zhou, Ben Murphy, Rogier Creemers, and Hunter Dorwart, 2023 (23 pages, 39 including Chinese text)
- This is not a regulation, but expert proposals such as these could influence the direction of a draft AI law that is reportedly in the works in 2024; suggested regulations related to data are sprinkled throughout the draft and include measures related to data sharing, specialized databases, data security, discrimination, risk management, etc.
- Interim Measures for the Management of Generative Artificial Intelligence Services, especially Chapter II, Cyberspace Administration of China, translation by China Law Translate, 2023 (about 8 pages)
- Gives stipulations related to data and discrimination, the requirements for data sources, appropriate uses of data, and content tagging
- Provisions on the Administration of Deep Synthesis Internet Information Services, Cyberspace Administration of China, translation by China Law Translate, 2022 (about 8 pages)
- Established on the basis of the Cybersecurity Law, Data Security Law (below) and Personal Information Protection Law (archived link) of the People's Republic of China, etc.; with respect to data, the provisions mainly list stipulations to ensure security of data including protection of personal information
- Ethical Norms for New Generation Artificial Intelligence, National New Generation Artificial Intelligence Governance Expert Committee, translation by CSET (see also the translation by Yi Zeng at International Research Center for AI Ethics and Governance), 2021, Section 1 Article 3, Section 3, and Section 4 Article 14 (6 pages)
- Gives stipulations including on ensuring data integrity, timeliness, consistency, normative compliance, and accuracy as well as preventing discrimination and ensuring the security of data
- Data ownership, data sharing/trading, storage
- Unpacking data: China’s ‘bundle of rights’ approach to the commercialization of data, Bingwan Xiong, Jiangqiu Ge, and Li Chen, 2023 (14 pages)
- A comprehensive look at China’s legal treatment of data and the properties that this implies
- People's Daily unit issues first ‘data certificates’ in China to prove data ownership and rights, South China Morning Post, Ben Jiang, 2023 (3 pages) (archived link)
- Gives an interesting example of a data ownership and trading platform
- China Wants to Put Data to Work as an Economic Resource—But How? DigiChina, Qiheng Chen, 2022 (5 pages)
- Discusses China’s approach to data as a factor of production and potential uncertainties surrounding ownership and data sharing
- China just set up a new bureau to mine data for economic growth, MIT Technology Review, Zeyi Yang, 2023 (5 pages)
- Very basic overview of China’s National Data Administration, a new government body set up in 2023.
Capital
For lack of time, we only did a cursory survey of the literature on the capital resources that go into AI developments in China. The pieces in the section are thus just a snapshot and it is quite likely that relevant publications have been overlooked.
- ChinAI #191: AI Venture Capital Trends Report, ChinAI, Jeffrey Ding, 2022 (5 pages, translation 10 pages)
- U.S. Outbound Investment into Chinese AI, CSET, Emily S. Weinstein Ngor Luong, 2023 (68 pages)
- CSET report that points out that significant American investment into Chinese AI development has taken place
- Biden Takes Measured Approach on China Investment Controls, Foreign Policy, Kevin Klyman, 2023 (about 10 pages)
- About the US outbound investment control for three technology sectors in China: semiconductors, quantum information technologies, and AI.
- Understanding Chinese Government Guidance Funds, CSET, Ngor Luong, Zachary Arnold, and Ben Murphy, 2021 (89 pages)
- Not AI-focused, but provides general context on tech financing in the PRC.
- CHINA'S AI ECOSYSTEM, Andres C. Johansson, 2022 (68 pages)
- Has several sections related to capital and funding.
Talent
For lack of time, we only did a cursory survey of the literature on AI talent in China. The pieces in the section are thus just a snapshot and it is quite likely that relevant publications have been overlooked.
- The Global AI Talent Tracker 2.0, MacroPolo, 2024 (8 pages)
- Uses data from the Neural Information Processing Systems conference (NeurIPS) to estimate top-tier AI talent flows between China, US, Europe, etc.
- China Artificial Intelligence Talent Training Report, Zhejiang University and Baidu, translation by CSET, 2022 (79 pages)
- White paper that examines shortcomings in China’s AI talent training. Urges closer university-enterprise cooperation.
- China’s AI Workforce, CSET: Gelhaus et al, 2022 (60 pages)
- Assesses China's AI workforce demands through a dataset of ~7M job postings.
- China's quest for AI talent in Chinese Power and Artificial Intelligence, Emily Weinstein and Jeffrey Stoff, edited by William C. Hannas and Huey-Meei Chang, 2022 (book chapter, 16 pages)
Resources to follow
- Concordia’s AI Safety in China newsletter
- The AI Safety in China newsletter provides regular news and research updates on Technical safety and alignment research in China; China’s governance and policy efforts to reduce AI risk; and China’s positions on international AI governance.
- 中国计算机学会通讯
- The journal of the China Computer Federation, a leading academic publication for computer scientists. Important to gain a sense of leading intellectual thinking across various issues - e.g., 2nd issue of 2024 on compute
- Defense AI and Arms Control Network, Centre for Long-term AI
- This is a database of AI and military related material (policies, commentary, white papers) maintained by a leading think-tank within the Chinese Academy of Sciences. Center for Long-term AI is led by Yi Zeng, one of Time’s 100 AI leaders in 2023 and a signatory of both FLI and CAIS open letters.
- MERICS
- MERICS is a German-based think tank focused exclusively on China-related issues, analyzing and commenting on these with an eye to implications for Europe and Germany. Most relevant analyses on China x AI can be found in their Industrial Policy and Technology and Digital China topic pages.
- Chinatalk - newsletter and podcast run by Jordan Schneider, a fellow at the Center for New American Security; features commentary by Jordan as well as by guest writers and speakers
- Recode China AI - run by a Communications Manager at Baidu in the US
- Chip Capitols Newsletter - written by Arrian Ebrahimi, a Yenching Scholar with experience in the semiconductor industry
- BluePath Labs - for defense technology related analysis
- Geotechnopolitics - Patrick Zhang, ex Chinese Foreign Ministry, writes about geopolitics and tech
- Chinese tech news websites
- Leiphone
- 36Kr
- Wechat Accounts (Note: it is not possible to “link” to Wechat accounts, but you can find them by simply searching for the names in Wechat. Some of these accounts may also have websites and you can find those on Google/Baidu)
- General
- AI 科技评论
- Posts about AI research and the implementation of AI projects
- 数据观
- Posts content and industry information related to big data, blockchain, AI
- 安远 AI
- Concordia’s Chinese-language channel
- Think-tanks
- 清华大学人工智能国际治理研究院
- Has a weekly newsletter on AI governance (AI治理周报) with several sections on government policy, enterprise news, international AI governance, etc.
- 中国信通院 CAICT
- A research institution under the Ministry of Industry and Information Technology, regularly publishes white papers related to AI and other technologies
- 可信 AI 评测
- A WeChat account run by the CAICT, dedicated to evaluations of AI. They have been running model evaluations around trustworthiness for the past few years, and have also done model evaluations recently. These evaluations are done by a ‘national key laboratory’ under the MIIT, set up in 2017
- AI lab accounts
- 智谱AI
- A leading AI startup that collaborates with Tsinghua University to produce ChatGLM
- Moonshot AI
- The startup behind KimiChat, one of the best performing Chinese LLMs
- 瑞莱智慧RealAI
- Another leading AI startup, with significant focus on AI security
- 诺亚方舟实验室
- Huawei’s Noah Ark Lab focused on AI research and development
- 上海人工智能实验室
- Shanghai AI Laboratory, an AI lab that publishes research on theories, technology, and ethics. Works with Sensetime on their InternLM model.
- 阿里巴巴人工智能治理研究中心
- Alibaba Artificial Intelligence Governance Laboratory, which focuses on over 200 AI applications in and outside of the Alibaba ecosystem
- 腾讯研究院
- Tencent’s research institute, which puts out content about AI safety, including a series on AI alignment
- 腾讯安全应急响应中心
- Tencent Security Response Center, online platform for cooperation between Tencent security team and international researchers; WeChat account publishes reports on security, LLM capabilities, and security risks to LLMs
- Semiconductor-focused
- 半导体观察 (Semiconductor observatory)
- More domestic-focused look at semiconductors
- 全球半导体观察 (world semicon observatory)
- Chinese perspectives on global semiconductors
- 半导体材料行业分会(Semicon materials association)
- Posts updates from forums and investment / project update announcements
- Translation resources
- Jeff Ding’s ChinAI newsletter and searchable archive
- Translates AI- and China-related articles and documents from government departments, think tanks, traditional media, and newer forms of “self-media,” etc., aiming to disseminate a diverse discourse from the Chinese-language world to an English audience
- The Center for Strategic Translation
- Translates material “of strategic and historical value” and annotates them to contextualize the relevance of specific phrases, words and ideas
- Interpret: China (CSIS)
- Translates selected documents, and adds interpretation and contextualisation
- Material covered: speeches, newspaper and academic articles, government and policy documents, and other primary source materials; selected “for relevance” by their analysts
- China Law Translate
- Translates key regulations
- ETO Scout
- Collects Chinese-language news and commentary on technology issues, lists them in a search-able database, provides short English summary and link to the original for each item, and offers to send customized updates on new releases via email
- CSET Translations
- Selects and translates documents (mostly Chinese state and Communist party sources, or sources from institutions with links to the Chinese state or Communist party)