[论文解读] Human rights, democracy, and the rule of law assurance framework for AI systems: A proposal

David Leslie, C. Burr+4 more|arXiv (Cornell University)|Feb 6, 2022

Legal and Policy Issues被引用 5

一句话总结

本文提出了一个名为‘人权、民主与法治保障框架’（HUDERAF）的端到端治理框架，将人权尽职调查、利益相关方参与、风险评估与影响缓解整合进人工智能项目全生命周期。该框架通过将透明度、问责制和民主监督嵌入可信人工智能创新，确保符合未来具有法律约束力的法规要求。

ABSTRACT

Following on from the publication of its <em>Feasibility Study </em>in December 2020, the Council of Europe’s Ad Hoc Committee on Artificial Intelligence (and its subgroups) initiated efforts to formulate and draft its <em>Possible elements of a legal framework on artificial intelligence, based on the Council of Europe’s standards on human rights, democracy, and the rule of law</em>. This document was ultimately adopted by the CAHAI plenary in December 2021. To support this effort, The Alan Turing Institute undertook a programme of research that explored the governance processes and practical tools needed to operationalise the integration of human right due diligence with the assurance of trustworthy AI innovation practices. The resulting output, <em>Human Rights, Democracy, and the Rule of Law Assurance Framework for AI Systems: A proposal,</em> was completed and submitted to the Council of Europe in September 2021. It presents an end-to-end approach to the assurance of AI project lifecycles that integrates context-based risk analysis and appropriate stakeholder engagement with comprehensive impact assessment, and transparent risk management, impact mitigation, and innovation assurance practices. Taken together, these interlocking processes constitute a Human Rights, Democracy and the Rule of Law Assurance Framework (HUDERAF). The HUDERAF combines the procedural requirements for principles-based human rights due diligence with the governance mechanisms needed to set up technical and socio-technical guardrails for responsible and trustworthy AI innovation practices. Its purpose is to provide an accessible and user-friendly set of mechanisms for facilitating compliance with a binding legal framework on artificial intelligence, based on the Council of Europe’s standards on human rights, democracy, and the rule of law, and to ensure that AI innovation projects are carried out with appropriate levels of public accountability, transparency, and democratic governance.

研究动机与目标

• 开发一个实用且可操作的框架，确保人工智能系统符合人权、民主与法治标准。
• 通过提供可信人工智能创新的治理机制，支持欧洲委员会法律框架的制定。
• 通过结构化的风险评估与利益相关方参与，将人权尽职调查在人工智能项目全生命周期中具体化。
• 确保人工智能创新过程中的公众问责、透明度与民主治理。
• 为组织提供用户友好且易于获取的工具集，以符合基于欧洲委员会标准的未来具有法律约束力的人工智能法规框架。

提出的方法

• 设计覆盖人工智能项目全生命周期的端到端保障框架。
• 整合基于情境的风险分析，识别人工智能系统中潜在的人权与民主风险。
• 嵌入全面的影响评估，以评估人工智能项目在社会、法律与伦理方面的后果。
• 在开发与部署各阶段建立透明的风险管理与缓解策略。
• 建立利益相关方参与机制，确保多元视角纳入人工智能治理。
• 将程序性人权尽职调查与技术及社会技术防护机制相结合，推动负责任的创新。

实验结果

研究问题

• RQ1 如何系统性地将人权尽职调查整合进人工智能开发与部署的全生命周期？
• RQ2 需要哪些治理机制才能确保人工智能创新过程中的透明度、问责制与民主监督？
• RQ3 如何以符合人权、民主与法治原则的方式，实现风险评估与影响缓解的可操作化？
• RQ4 哪些实用工具与流程可支持组织符合未来具有法律约束力的人工智能法规？
• RQ5 如何在人工智能保障流程中实质性地嵌入利益相关方参与，以增强合法性和信任？

主要发现

• HUDERAF框架为人工智能保障提供了一个全面、端到端的解决方案，将人权、民主与法治贯穿于人工智能全生命周期。
• 该框架通过结构化的风险分析、影响评估与利益相关方参与流程，将人权尽职调查具体化。
• HUDERAF通过嵌入程序性与技术性防护机制，支持组织符合未来具有法律约束力的人工智能法规框架，推动可信创新。
• 该框架通过要求记录风险缓解与影响管理策略，增强了公众问责与透明度。
• 该框架与艾伦·图灵研究所合作开发，并于2021年9月提交给欧洲委员会，以纳入其法律框架制定进程。
• HUDERAF专为希望将人工智能创新与民主及人权标准对齐的组织而设计，具有高度可访问性与用户友好性。