Oversight and control, which we collectively call supervision, are often discussed as ways to ensure that AI systems are accountable, reliable, and able to fulfill governance and management requirements. However, the requirements for "human oversight" risk codifying vague or inconsistent interpretations of key concepts like oversight and control. This ambiguous terminology could undermine efforts to design or evaluate systems that must operate under meaningful human supervision. This matters because the term is used by regulatory texts such as the EU AI Act. This paper undertakes a targeted critical review of literature on supervision outside of AI, along with a brief summary of past work on the topic related to AI. We next differentiate control as ex-ante or real-time and operational rather than policy or governance, and oversight as performed ex-post, or a policy and governance function. Control aims to prevent failures, while oversight focuses on detection, remediation, or incentives for future prevention. Building on this, we make three contributions. 1) We propose a framework to align regulatory expectations with what is technically and organizationally plausible, articulating the conditions under which each mechanism is possible, where they fall short, and what is required to make them meaningful in practice. 2) We outline how supervision methods should be documented and integrated into risk management, and drawing on the Microsoft Responsible AI Maturity Model, we outline a maturity model for AI supervision. 3) We explicitly highlight boundaries of these mechanisms, including where they apply, where they fail, and where it is clear that no existing methods suffice. This foregrounds the question of whether meaningful supervision is possible in a given deployment context, and can support regulators, auditors, and practitioners in identifying both present and future limitations.
翻译:监督与控制(我们统称为监管)常被视为确保人工智能系统具备可问责性、可靠性并满足治理与管理要求的手段。然而,对“人类监督”的要求可能固化对监督与控制等关键概念的模糊或不一致解读。这种术语的模糊性可能损害对必须在有效人类监管下运行的系统进行设计或评估的努力。这一问题至关重要,因为欧盟《人工智能法案》等监管文本已采用该术语。本文针对非人工智能领域的监管文献进行了针对性批判性综述,并简要总结了以往与人工智能相关的监管研究。我们进一步区分:控制属于事前或实时操作层面而非政策或治理功能;监督则属于事后执行或政策治理职能。控制旨在预防故障,而监督侧重于检测、补救或激励未来预防。基于此,我们做出三项贡献:1)提出一个将监管期望与技术及组织可行性对齐的框架,阐明各机制可行的条件、局限性及其实践有效性的要求;2)概述监管方法应如何记录并整合至风险管理中,借鉴微软负责任人工智能成熟度模型,构建人工智能监管成熟度模型;3)明确揭示这些机制的边界,包括其适用范围、失效场景以及现有方法明显不足的领域。这凸显了在特定部署背景下实现有效监管的可能性问题,可为监管机构、审计人员及从业者识别当前与未来的局限性提供支持。