关于人类监督有效性的探索：跨学科视角
On the Quest for Effectiveness in Human Oversight: Interdisciplinary Perspectives
AI总结：
本文从心理学、法律、哲学和技术等跨学科视角出发，提出有效人类监督需具备因果权力、认知通达、自我控制和相称意图四个条件，并结合欧盟人工智能法案第14条探讨其实际适用性。
摘要：
人类监督目前被讨论为一种潜在的保障措施，用以应对高风险人工智能应用的一些负面方面。这促使人们批判性地审视在这些系统中被突出称为有效或有意义的人类监督所需的作用和条件。本文通过综合心理学、法律、哲学和技术领域的见解来研究有效的人类监督。基于人类监督的主要目标是风险缓解这一主张，我们提出了一种对人类监督有效性的可行理解：要使人类监督有效，监督者必须（a）对系统及其效果具有充分的因果权力，（b）对情境的相关方面具有适当的认知通达，（c）具有自我控制能力，以及（d）具有与其角色相称的意图。此外，我们认为这等同于说，当且仅当监督者具有道德责任并具有相称的意图时，监督者才是有效的。在这一背景下，我们在追求实际适用性时提出了人类监督有效性的促进因素和抑制因素。我们讨论了三个领域的因素，即系统的技术设计、监督者的个体因素以及他们所处操作的环境条件。最后，本文审视了即将出台的欧盟人工智能法案——特别是关于人类监督的第14条——作为一个示例性监管框架，在其中我们研究我们对有效人类监督的理解的实际可行性。通过分析欧洲人工智能法案提案的条款和影响，我们指出了该提案在多大程度上与我们对有效人类监督的分析相一致，以及它如何能够通过我们对人类监督有效性的概念性理解而得到丰富。
英文摘要：
Human oversight is currently discussed as a potential safeguard to counter some of the negative aspects of high-risk AI applications. This prompts a critical examination of the role and conditions necessary for what is prominently termed effective or meaningful human oversight of these systems. This paper investigates effective human oversight by synthesizing insights from psychological, legal, philosophical, and technical domains. Based on the claim that the main objective of human oversight is risk mitigation, we propose a viable understanding of effectiveness in human oversight: for human oversight to be effective, the oversight person has to have (a) sufficient causal power with regard to the system and its effects, (b) suitable epistemic access to relevant aspects of the situation, (c) self-control, and (d) fitting intentions for their role. Furthermore, we argue that this is equivalent to saying that an oversight person is effective if and only if they are morally responsible and have fitting intentions. Against this backdrop, we suggest facilitators and inhibitors of effectiveness in human oversight when striving for practical applicability. We discuss factors in three domains, namely, the technical design of the system, individual factors of oversight persons, and the environmental circumstances in which they operate. Finally, this paper scrutinizes the upcoming AI Act of the European Union -- in particular Article 14 on Human Oversight -- as an exemplary regulatory framework in which we study the practicality of our understanding of effective human oversight. By analyzing the provisions and implications of the European AI Act proposal, we pinpoint how far that proposal aligns with our analyses regarding effective human oversight as well as how it might get enriched by our conceptual understanding of effectiveness in human oversight.
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