The premise of this paper is that compliance with Trustworthy AI governance best practices and regulatory frameworks is an inherently fragmented process spanning across diverse organizational units, external stakeholders, and systems of record, resulting in process uncertainties and in compliance gaps that may expose organizations to reputational and regulatory risks. Moreover, there are complexities associated with meeting the specific dimensions of Trustworthy AI best practices such as data governance, conformance testing, quality assurance of AI model behaviors, transparency, accountability, and confidentiality requirements. These processes involve multiple steps, hand-offs, re-works, and human-in-the-loop oversight. In this paper, we demonstrate that process mining can provide a useful framework for gaining fact-based visibility to AI compliance process execution, surfacing compliance bottlenecks, and providing for an automated approach to analyze, remediate and monitor uncertainty in AI regulatory compliance processes.
翻译:本文件的前提是,遵守可信赖的AI治理最佳做法和监管框架是一个固有的支离破碎过程,涉及不同的组织单位、外部利益攸关方和记录系统,导致过程不确定性和合规差距,可能使各组织面临声誉和监管风险;此外,满足可信赖的AI最佳做法的具体层面,如数据治理、合规测试、AI模式行为质量保证、透明度、问责制和保密要求等,也存在复杂性,这些过程涉及多个步骤、搭接、重整工作以及人员在业监督。在本文件中,我们表明,进程采矿可以提供一个有用的框架,使AI合规进程的执行获得基于事实的可见度,消除合规瓶颈,并提供自动方法,分析、补救和监测AI监管合规进程中的不确定性。