发表机构
University of Southern California; Arizona State University（南加州大学; 亚利桑那州立大学）
机构由 AI 辅助整理，请以论文原文为准。AI 中文总结
本文提出AI代理声明的可审计性框架，要求声明明确政策、范围、记录及决策规则，并扩展至代理的独立记录、授权绑定和完备性条件，通过证明和案例验证其有效性。
AI 中文摘要
组织对其AI代理做出声明：例如，每封外部邮件都需经过人员批准，每个操作都有日志记录，评估显示该代理可安全部署。欧盟《人工智能法案》第12条要求高风险系统允许自动记录事件，但并未规定哪些记录能够证实特定声明。我们的立场可概括为一句话：若要核查关于代理的声明，首先必须明确其政策、适用范围、可证实该声明的记录，以及记录由谁编写。借鉴鉴证业务的先决条件，当这些要素和决策规则在任何裁决前确定且记录可获取时，我们称该声明为可审计的。这将我们“可审计代理”框架中的“政策可核查性”维度从单一操作扩展至声明。代理增加了三个条件：独立记录的覆盖性、授权与每个操作的参数绑定、以及完整性之外的完备性。在显式模型下，我们证明在其假设成立的每种情况下，缺少任一条件都无法提供支持。一个声明核查表将该方法应用于六种常见声明，这些声明基于当前NIST、IETF和OWASP草案。一个实际案例展示了同一声明在五种证据状态下的演变。最后，我们为运营者、购买者、审计师和标准制定者提供了实践建议和步骤。
英文摘要
Organizations make claims about their AI agents: a person approves every external email, every action is logged, an evaluation shows the agent is safe to deploy. Article 12 of the EU AI Act requires high-risk systems to allow the automatic recording of events but does not say which records settle a given claim. The position is one sentence: to be checked, a claim about an agent must first name its policy, its scope, the records that would settle it, and who writes them. Adapting the preconditions of an assurance engagement, we call a claim auditable when these elements and a decision rule are fixed before any verdict and the records are obtainable. This extends the Policy Checkability dimension of our Auditable Agents framework from single actions to claims. Agents add three conditions: coverage by an independent record, authorization bound to each action's arguments, and completeness beyond integrity. Under an explicit model, we prove that support is impossible without each wherever its hypotheses hold. A claim-check table applies the method to six common claims, anchored in current NIST, IETF, and OWASP drafts. A worked case follows one claim through five evidence states. We close with a practice box and steps for operators, buyers, auditors, and standard setters.
