arXiv:2412.02145cs.CYcs.AI2024-12被引 6

专家评估发现三类措施能有效降低通用AI的系统性风险。

Effective Mitigations for Systemic Risks from General-Purpose AI

  • 通过专家调研评估27项风险缓解措施的有效性。
  • 安全事件报告、第三方审计和风险评估最受认可,专家同意率超60%。
  • 强调外部监督、主动评估和透明度是关键,适合政策制定者参考。

通用人工智能模型带来的系统性风险日益引发关注,但现有缓解措施的有效性仍缺乏深入研究。本研究通过对76位涵盖人工智能安全、关键基础设施、民主进程、化学生物辐射核风险(CBRN)及歧视偏见等领域的专家进行调查,评估了文献中提出的27项缓解措施。结果显示,多数措施被专家认为在降低各类系统性风险方面有效且技术可行。其中,安全事件报告与信息安全共享、第三方预部署模型审计、预部署风险评估三项措施在四个风险领域均获得超过60%的专家一致认可,并在专家推荐的组合方案中占比超40%。专家普遍强调外部监督、主动评估与透明度是有效缓解的关键原则。研究据此提出政策建议,为监管框架与行业实践提供依据。

原文摘要 · Abstract (English)

The systemic risks posed by general-purpose AI models are a growing concern, yet the effectiveness of mitigations remains underexplored. Previous research has proposed frameworks for risk mitigation, but has left gaps in our understanding of the perceived effectiveness of measures for mitigating systemic risks. Our study addresses this gap by evaluating how experts perceive different mitigations that aim to reduce the systemic risks of general-purpose AI models. We surveyed 76 experts whose expertise spans AI safety; critical infrastructure; democratic processes; chemical, biological, radiological, and nuclear risks (CBRN); and discrimination and bias. Among 27 mitigations identified through a literature review, we find that a broad range of risk mitigation measures are perceived as effective in reducing various systemic risks and technically feasible by domain experts. In particular, three mitigation measures stand out: safety incident reports and security information sharing, third-party pre-deployment model audits, and pre-deployment risk assessments. These measures show both the highest expert agreement ratings (>60\%) across all four risk areas and are most frequently selected in experts' preferred combinations of measures (>40\%). The surveyed experts highlighted that external scrutiny, proactive evaluation and transparency are key principles for effective mitigation of systemic risks. We provide policy recommendations for implementing the most promising measures, incorporating the qualitative contributions from experts. These insights should inform regulatory frameworks and industry practices for mitigating the systemic risks associated with general-purpose AI.

AI安全系统性风险专家评估政策建议

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