81 FR 41610 - Request for Information on Artificial Intelligence

OFFICE OF SCIENCE AND TECHNOLOGY POLICY

Federal Register Volume 81, Issue 123 (June 27, 2016)

Page Range		41610-41611
FR Document		2016-15082

Artificial intelligence (AI) technologies offer great promise for creating new and innovative products, growing the economy, and advancing national priorities in areas such as education, mental and physical health, addressing climate change, and more. Like any transformative technology, however, AI carries risks and presents complex policy challenges along a number of different fronts. The Office of Science and Technology Policy (OSTP) is interested in developing a view of AI across all sectors for the purpose of recommending directions for research and determining challenges and opportunities in this field. The views of the American people, including stakeholders such as consumers, academic and industry researchers, private companies, and charitable foundations, are important to inform an understanding of current and future needs for AI in diverse fields. The purpose of this RFI is to solicit feedback on overarching questions in AI, including AI research and the tools, technologies, and training that are needed to answer these questions.

Federal Register, Volume 81 Issue 123 (Monday, June 27, 2016)

[Federal Register Volume 81, Number 123 (Monday, June 27, 2016)]
[Notices]
[Pages 41610-41611]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-15082]


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OFFICE OF SCIENCE AND TECHNOLOGY POLICY


Request for Information on Artificial Intelligence

ACTION: Notice of Request for Information.

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SUMMARY: Artificial intelligence (AI) technologies offer great promise 
for creating new and innovative products, growing the economy, and 
advancing national priorities in areas such as education, mental and 
physical health, addressing climate change, and more. Like any 
transformative technology, however, AI carries risks and presents 
complex policy challenges along a number of different fronts. The 
Office of Science and Technology Policy (OSTP) is interested in 
developing a view of AI across all sectors for the purpose of 
recommending directions for research and determining challenges and 
opportunities in this field. The views of the American people, 
including stakeholders such as consumers, academic and industry 
researchers, private companies, and charitable foundations, are 
important to inform an understanding of current and future needs for AI 
in diverse fields. The purpose of this RFI is to solicit feedback on 
overarching questions in AI, including AI research and the tools, 
technologies, and training that are needed to answer these questions.

DATES: Responses must be received by July 22, 2016 to be considered.

ADDRESSES: You may submit comments by any of the following methods:
     Webform: https://www.whitehouse.gov/webform/rfi-preparing-future-artificial-intelligence
     Fax: (202) 456-6040, Attn: Terah Lyons.
     Mail: Attn: Terah Lyons, Office of Science and Technology 
Policy, Eisenhower Executive Office Building, 1650 Pennsylvania Ave. 
NW., Washington, DC 20504. Please allow sufficient time for mail 
security processing. Comments must be received by July 22, 2016, to be 
considered.
    Instructions: Response to this RFI is voluntary. Responses 
exceeding 2,000 words will not be considered. Respondents need not 
reply to all questions; however, they should clearly indicate the 
number of each question to which they are responding. Brevity is 
appreciated. Responses to this RFI may be posted without change online. 
OSTP therefore requests that no business proprietary information or 
personally identifiable information be submitted in response to this 
RFI. Please note that the U.S. Government will not pay for response 
preparation, or for the use of any information contained in the 
response.

SUPPLEMENTARY INFORMATION: On May 3, 2016, the White House Office of 
Science and Technology Policy announced a number of new actions related 
to AI: https://www.whitehouse.gov/blog/2016/05/03/preparing-future-artificial-intelligence. As a part of this initiative, the Federal 
Government is working to leverage AI for public good and to aid in 
promoting more effective government. OSTP is in the process of co-
hosting four public workshops in 2016 on topics in AI in order to spur 
public dialogue on these topics and to identify challenges and 
opportunities related to this emerging technology. These topics include 
the legal and governance issues for AI, AI for public good, safety and 
control for AI, and the social and economic implications of AI. A new 
National Science and Technology Council (NSTC) Subcommittee on Machine 
Learning and Artificial Intelligence has also been established. This 
group will monitor state-of-the-art advances and technology milestones 
in artificial intelligence and machine learning within the Federal 
Government, in the private sector, and internationally, as well as help 
coordinate Federal activity in this space. Ultimately, dialogue from 
these workshops and the efforts of the NSTC Subcommittee may feed into 
the development of a public report.
    The Administration is working to leverage AI as an emergent 
technology for public good and toward a more effective government. 
Applications in AI to areas of government that are not traditionally 
technology-focused are especially significant; there are myriad 
opportunities to improve government services in areas related to urban 
systems and smart cities, mental and physical health, social welfare, 
criminal justice, and the environment. There is also tremendous 
potential in AI-driven improvements to programs that help disadvantaged 
and vulnerable populations.
    OSTP is particularly interested in responses related to the 
following topics: (1) The legal and governance implications of AI; (2) 
the use of AI for public good; (3) the safety and control issues for 
AI; (4) the social and economic implications of AI; (5) the most 
pressing, fundamental questions in AI research, common to most or all 
scientific fields; (6) the most important research gaps in AI that must 
be addressed to advance this field and benefit the public; (7) the 
scientific and technical training that will be needed to

[[Page 41611]]

take advantage of harnessing the potential of AI technology, and the 
challenges faced by institutions of higher education in retaining 
faculty and responding to explosive growth in student enrollment in AI-
related courses and courses of study; (8) the specific steps that could 
be taken by the federal government, research institutes, universities, 
and philanthropies to encourage multi-disciplinary AI research; (9) 
specific training data sets that can accelerate the development of AI 
and its application; (10) the role that ``market shaping'' approaches 
such as incentive prizes and Advanced Market Commitments can play in 
accelerating the development of applications of AI to address societal 
needs, such as accelerated training for low and moderate income workers 
(see https://www.usaid.gov/cii/market-shaping-primer); and (11) any 
additional information related to AI research or policymaking, not 
requested above, that you believe OSTP should consider.

FOR FURTHER INFORMATION CONTACT: Terah Lyons, (202) 456-4444, 
[email protected], OSTP.

Ted Wackler,
Deputy Chief of Staff.
[FR Doc. 2016-15082 Filed 6-24-16; 8:45 am]
 BILLING CODE 3270-F5-P

Federal Register / Vol. 81, No. 123 / Monday, June 27, 2016 / Notices 41611

take advantage of harnessing the Rule 19b–4 thereunder,2 proposed rule Following the closing of the
potential of AI technology, and the changes in connection with the Transaction, Deutsche Börse and Eurex
challenges faced by institutions of acquisition of the Exchanges’ indirect Frankfurt will cease to be upstream
higher education in retaining faculty parent company, U.S. Exchange owners of the Exchanges.7 The
and responding to explosive growth in Holdings, Inc. (‘‘U.S. Exchange Exchanges will become indirect
student enrollment in AI-related courses Holdings’’) by Nasdaq, Inc. (‘‘Nasdaq’’). subsidiaries of Nasdaq, and Nasdaq will
and courses of study; (8) the specific The proposed rule changes were become the ultimate parent company of
steps that could be taken by the federal published for comment in the Federal the Exchanges.8 The remaining
government, research institutes, Register on May 16, 2016.3 On June 10, upstream owners of the Exchanges,
universities, and philanthropies to 2016, the Exchanges each filed however, will remain the same. Namely,
encourage multi-disciplinary AI Amendment No. 1 to their respective U.S. Exchange Holdings will remain the
research; (9) specific training data sets proposed rule changes.4 The sole, direct owner of ISE Holdings,
that can accelerate the development of Commission received no comment which, in turn, will continue to remain
AI and its application; (10) the role that letters on the proposed rule changes. the sole, direct owner of the Exchanges.
‘‘market shaping’’ approaches such as This order provides notice of filing of In order to consummate the
incentive prizes and Advanced Market Amendment No. 1 to each of the Transaction and reflect Nasdaq’s
Commitments can play in accelerating proposed rule changes and grants proposed ownership of U.S. Exchange
the development of applications of AI to accelerated approval to the proposed Holdings, the Exchanges propose, upon
address societal needs, such as rule changes, each as modified by closing of the Transaction, to eliminate
accelerated training for low and Amendment No. 1. certain corporate resolutions of
moderate income workers (see https:// Deutsche Börse and Eurex Frankfurt that
II. Background were previously filed with the
www.usaid.gov/cii/market-shaping-
primer); and (11) any additional Currently, the Exchanges are wholly Commission as rules of the Exchanges
information related to AI research or owned subsidiaries of International and adopt Nasdaq’s Amended and
policymaking, not requested above, that Securities Exchange Holdings, Inc. (‘‘ISE Restated Certificate of Incorporation
you believe OSTP should consider. Holdings’’). ISE Holdings, in turn, is a (‘‘Nasdaq COI’’) and Bylaws (‘‘Nasdaq
wholly owned subsidiary of U.S. Bylaws’’, and together with the Nasdaq
FOR FURTHER INFORMATION CONTACT:
Exchange Holdings, which is wholly COI, the ‘‘Nasdaq governing
Terah Lyons, (202) 456–4444, Tech_ documents’’) as rules of the Exchanges.9
Innovation@ostp.eop.gov, OSTP. owned together by Deutsche Börse AG
The Exchanges also propose to amend
(‘‘Deutsche Börse’’) and Eurex Frankfurt
Ted Wackler, certain provisions regarding ownership
AG (‘‘Eurex Frankfurt’’).5 On March 9,
Deputy Chief of Staff. limits and voting limits of the Second
2016, Deutsche Börse and Eurex
[FR Doc. 2016–15082 Filed 6–24–16; 8:45 am] Amended and Restated Certificate of
Frankfurt entered into an agreement
Incorporation of ISE Holdings (‘‘ISE
BILLING CODE 3270–F5–P with Nasdaq, pursuant to which Nasdaq
Holdings COI’’) and to amend the Third
would acquire all of the capital stock of
Amended and Restated Certificate of
U.S. Exchange Holdings (the
Incorporation of U.S. Exchange
SECURITIES AND EXCHANGE ‘‘Transaction’’) and thereby indirectly
Holdings (‘‘U.S. Exchange Holdings
COMMISSION all of the interests of the Exchanges.6
COI’’) to reflect that Nasdaq will hold
Nasdaq currently owns and operates all, and have the rights to vote all,
[Release No. 34–78119; File Nos. SR–ISE– three national securities exchanges, The
2016–11; SR–ISE Gemini–2016–05; SR–ISE authorized shares of stock of U.S.
NASDAQ Stock Market LLC (‘‘NASDAQ Exchange Holdings.10 Additionally, the
Mercury–2016–10] Exchange’’), NASDAQ PHLX LLC Exchanges propose to eliminate the
(‘‘PHLX’’), and NASDAQ BX, Inc. Third Amended and Restated Trust
Self-Regulatory Organizations;
(‘‘BX’’). Agreement (the ‘‘Trust Agreement’’) that
International Securities Exchange,
LLC; ISE Gemini, LLC; ISE Mercury, exists among ISE Holdings, U.S.
2 17 CFR 240.19b–4.
LLC; Notice of Filing of Amendments 3 See
Exchange Holdings, and the Trustees (as
Securities Exchange Act Release Nos. 77794
No. 1 and Order Granting Accelerated (May 10, 2016), 81 FR 30351 (‘‘ISE Notice’’); 77795
defined therein), which was previously
Approval of Proposed Rule Changes, (May 10, 2016), 81 FR 30386 (May 16, 2016) (‘‘ISE established as rules of the Exchanges,
Each as Modified by Amendment No. 1 Gemini Notice’’); and 77796 (May 10, 2016), 81 FR
Thereto, Relating to a Corporate 30403 (May 16, 2016) (‘‘ISE Mercury Notice’’). 7 See ISE Notice, supra note 3 at 30352; ISE
4 See infra Section V (discussing the changes Gemini Notice, supra note 3, at 30387; and ISE
Transaction in Which Nasdaq, Inc. Will proposed in Amendment No. 1). Amendment No. Mercury Notice, supra note 3, at 30404. Upon
Become the Indirect Parent of ISE, ISE 1 has been placed in the public comment file for completion of the Transaction, the Exchanges will
Gemini, and ISE Mercury SR–ISE–2016–11, SR–ISE Gemini–2016–05, and ISE also cease to have any non-U.S. upstream owners.
Mercury–2016–10 at https://www.sec.gov/ See id.
June 21, 2016. comments/sr-ise-2016-11/ise201611-1.pdf, https:// 8 The Exchanges will also become affiliates of

www.sec.gov/comments/sr-isegemini-2016-05/ NASDAQ Exchange, PHLX, NASDAQ BX, Inc. BX,
I. Introduction isegemini201605.shtml, and https://www.sec.gov/ Boston Stock Exchange Clearing Corporation
comments/sr-isemercury-2016-10/ (‘‘BSECC’’), and Stock Clearing Corporation of
On April 28, 2016, the International isemercury201610.shtml (see letters from Michael Philadelphia (‘‘SCCP’’) through common, ultimate
Securities Exchange, LLC (‘‘ISE’’), ISE Simon, Secretary, General Counsel, and Chief ownership by Nasdaq. See ISE Notice, supra note
Gemini, LLC (‘‘ISE Gemini’’), and ISE Regulatory Officer, ISE, ISE Gemini, and ISE 3 at 30351; ISE Gemini Notice, supra note 3, at
Mercury, LLC (‘‘ISE Mercury’’) Mercury, to Brent J. Fields, Secretary, Commission, 30386; and ISE Mercury Notice, supra note 3, at
mstockstill on DSK3G9T082PROD with NOTICES

dated June 13, 2016). 30403. Upon closing of the Transaction, Nasdaq
(collectively, the ‘‘Exchanges’’) filed 5 Eurex Frankfurt holds an 85% interest in U.S. will be the sole owner of eight self-regulatory
with the Securities and Exchange Exchange Holdings, and Deutsche Börse holds the organizations: ISE, ISE Gemini, ISE Mercury,
Commission (‘‘Commission’’), pursuant remaining 15%. In turn, Deutsche Börse holds a NASDAQ Exchange, PHLX, BX, BSECC, and SCCP.
to Section 19(b)(1) of the Securities 100% interest in Eurex Frankfurt. See ISE Notice, 9 See infra Section III.A (Non-U.S. Upstream

supra note 3 at 30352. Owner Resolutions and Nasdaq Governing
Exchange Act of 1934 (‘‘Act’’),1 and 6 See ISE Notice, supra note 3 at 30352; ISE Documents).
Gemini Notice, supra note 3, at 30387; and ISE 10 See infra Section III.B (Ownership Limits and
1 15 U.S.C. 78s(b)(1). Mercury Notice, supra note 3, at 30404. Voting Limits).

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Document Created: 2016-06-25 02:06:34
Document Modified: 2016-06-25 02:06:34

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
Action		Notice of Request for Information.
Dates		Responses must be received by July 22, 2016 to be considered.
Contact		Terah Lyons, (202) 456-4444, [email protected], OSTP.
FR Citation		81 FR 41610