[论文解读] Addressing the regulatory gap: moving towards an EU AI audit ecosystem beyond the AI Act by including civil society

David Hartmann, José Renato Laranjeira de Pereira+2 more|arXiv (Cornell University)|Feb 26, 2024

Regulation and Compliance Studies被引用 7

一句话总结

本文认为 EU DSA 与 AI Act 尚未创建一个完整的 AI 审计生态系统，指出监管差距并倡导第三方审计，以及研究人员和公民社会对数据/模型的访问，以确保有效监督。

ABSTRACT

The European legislature has proposed the Digital Services Act (DSA) and Artificial Intelligence Act (AIA) to regulate platforms and Artificial Intelligence (AI) products. We review to what extent third-party audits are part of both laws and how is access to information on models and the data provided. By considering the value of third-party audits and third-party data access in an audit ecosystem, we identify a regulatory gap in that the AIA does not provide access to data for researchers and civil society. Our contributions to the literature include: (1) Defining an AI audit ecosystem incorporating compliance and oversight. (2) Highlighting a regulatory gap within the DSA and AIA regulatory framework, preventing the establishment of an AI audit ecosystem that has effective oversight by civil society and academia. (3) Emphasizing that third-party audits by research and civil society must be part of that ecosystem, we call for AIA amendments and delegated acts to include data and model access for certain AI products. Furthermore, we call for the DSA to provide NGOs and investigative journalists with data access to platforms by delegated acts and for adaptions and amendments of the AIA to provide third-party audits and data and model access, at least for high-risk systems. Regulations modeled after EU AI regulations should enable data access and third-party audits, fostering an AI audit ecosystem that promotes compliance and oversight mechanisms.

研究动机与目标

• 定义一个兼顾合规与监督的 AI 审计生态系统。
• 识别 DSA 和 AI Act 中阻碍 AI 审计生态系统的监管差距。
• 主张在 AI Act 中纳入对某些 AI 产品的第三方审计与数据/模型访问。

提出的方法

• 回顾并综合与审计和数据访问相关的 DSA 与 AI Act 条款。
• 根据现有文献和监管框架定义审计类型学与审计师角色。
• 分析第三方审计的案例研究及其对欧盟审计生态系统的影响。
• 主张对监管进行调整，使研究人员与公民社会能够获得数据访问与第三方审计。

实验结果

研究问题

• RQ1 DSA 加 AI Act 是否足以建立一个 EU AI 审计生态系统？
• RQ2 研究人员与公民社会进行的第三方审计在问责与监督中扮演什么角色？
• RQ3 应提供哪些数据与模型访问，以便为高风险 AI 系统实现有效的第三方审计？

主要发现

• 研究人员与公民社会的第三方审计对运行中的 AI 审计生态系统至关重要。
• 当前的 DSA 与 AI Act 共同并未自动创建 AI 审计生态系统，因为在数据与模型访问方面存在差距。
• 应对 AI Act 进行调整，为某些 AI 产品提供数据与模型访问，以实现有意义的第三方审计。
• DSA 应通过授权法案使 NGOs 和调查记者能够访问平台数据。