根据风险等级匹配不同人类监督模式，确保AI不削弱人的自主权。
AI and Human Oversight: A Risk-Based Framework for Alignment
- 按AI风险等级选择人机协作模式：指挥、参与或监控。
- 提出可落地的框架，明确高风险场景必须有人类最终决策权。
- 适合政策制定者与AI伦理设计者参考，保障技术向善。
随着人工智能技术持续进步，保护人类自主性并促进伦理决策对于建立信任和问责制至关重要。人工智能系统应主动维护和强化人类的自主能力（即个体做出知情决策的能力）。本文探讨了设计符合基本权利、增强人类自主性并嵌入有效人类监督机制的AI系统策略。讨论了关键监督模型，包括人类在命令中（HIC）、人类在回路中（HITL）和人类在环路中（HOTL），并提出一种基于风险的框架，指导这些机制的实施。通过将AI模型的风险水平与相应的监督形式相匹配，强调人类参与在负责任部署AI中的核心作用，平衡技术创新与个人价值观及权利的保护。该框架旨在确保人工智能技术得到负责任使用，既保障个体自主性，又最大化社会福祉。
原文摘要 · Abstract (English)
As Artificial Intelligence (AI) technologies continue to advance, protecting human autonomy and promoting ethical decision-making are essential to fostering trust and accountability. Human agency (the capacity of individuals to make informed decisions) should be actively preserved and reinforced by AI systems. This paper examines strategies for designing AI systems that uphold fundamental rights, strengthen human agency, and embed effective human oversight mechanisms. It discusses key oversight models, including Human-in-Command (HIC), Human-in-the-Loop (HITL), and Human-on-the-Loop (HOTL), and proposes a risk-based framework to guide the implementation of these mechanisms. By linking the level of AI model risk to the appropriate form of human oversight, the paper underscores the critical role of human involvement in the responsible deployment of AI, balancing technological innovation with the protection of individual values and rights. In doing so, it aims to ensure that AI technologies are used responsibly, safeguarding individual autonomy while maximizing societal benefits.
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