arXiv:2512.11931cs.CYcs.AI2025-12被引 2

梳理13份AI风险缓解框架,构建四类23项标准化分类体系。

Mapping AI Risk Mitigations: Evidence Scan and Preliminary AI Risk Mitigation Taxonomy

  • 基于831项缓解措施,归纳出治理、技术、流程、透明四类框架。
  • 发现'风险管控'等术语在不同场景下含义差异大,需统一标准。
  • 为政府与企业协作提供可对话的结构化参考工具。

开发和部署人工智能的组织与政府需要协调有效的风险缓解措施。然而,当前人工智能风险缓解框架分散、术语不一致且覆盖存在空白。本文通过快速证据扫描,分析了2023至2025年间发布的13份人工智能风险缓解框架,提取出831项具体缓解措施,并迭代聚类编码,构建了一个初步的AI风险缓解分类体系。该分类体系包含四大类别:(1) 治理与监督:建立人类监督机制和决策规程的正式组织架构与政策框架;(2) 技术与安全:保障人工智能系统安全并约束模型行为的技术、物理及工程防护措施;(3) 运营流程:管理人工智能系统部署、使用、监控、事件响应与验证的过程与管理框架;(4) 透明与问责:信息披露实践与验证机制,以传递系统信息并支持外部审查。快速证据扫描还揭示,'风险治理'、'红队测试'等术语虽广泛使用,但实际指代的责任主体、行动内容和作用机制存在显著差异。该分类体系及其配套的缓解措施数据库虽为初步成果,但为整合与合成人工智能风险缓解策略提供了起点,也为人工智能生态中各类参与者提供了一种清晰、结构化的协作讨论基础。

原文摘要 · Abstract (English)

Organizations and governments that develop, deploy, use, and govern AI must coordinate on effective risk mitigation. However, the landscape of AI risk mitigation frameworks is fragmented, uses inconsistent terminology, and has gaps in coverage. This paper introduces a preliminary AI Risk Mitigation Taxonomy to organize AI risk mitigations and provide a common frame of reference. The Taxonomy was developed through a rapid evidence scan of 13 AI risk mitigation frameworks published between 2023-2025, which were extracted into a living database of 831 AI risk mitigations. The mitigations were iteratively clustered & coded to create the Taxonomy. The preliminary AI Risk Mitigation Taxonomy organizes mitigations into four categories and 23 subcategories: (1) Governance & Oversight: Formal organizational structures and policy frameworks that establish human oversight mechanisms and decision protocols; (2) Technical & Security: Technical, physical, and engineering safeguards that secure AI systems and constrain model behaviors; (3) Operational Process: processes and management frameworks governing AI system deployment, usage, monitoring, incident handling, and validation; and (4) Transparency & Accountability: formal disclosure practices and verification mechanisms that communicate AI system information and enable external scrutiny. The rapid evidence scan and taxonomy construction also revealed several cases where terms like 'risk management' and 'red teaming' are used widely but refer to different responsible actors, actions, and mechanisms of action to reduce risk. This Taxonomy and associated mitigation database, while preliminary, offers a starting point for collation and synthesis of AI risk mitigations. It also offers an accessible, structured way for different actors in the AI ecosystem to discuss and coordinate action to reduce risks from AI.

AI风险治理框架分类体系

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