套用蜘蛛侠本叔叔的话:巨大的权力伴随着错综复杂的责任 & challenges.”
人工智能(AI)不再是科幻小说. It is revolutionizing industries, from healthcare and finance to manufacturing and customer service. However, as IT auditors, ensuring responsible AI that benefits the organization and its stakeholders is paramount, thereby ensuring that enterprise decisions are aligned with strategic goals and that IT resources are adequately managed. This alignment requires careful navigation guided by the six core principles of responsible AI, 基于独立开发的框架 Microsoft and IBM: fairness, accountability, transparency, safety, privacy and human oversight/inclusiveness.
But navigating the complexities of AI and ensuring its responsible implementation can feel like venturing into a labyrinth. 这是ISACA的所在地 数字信任生态系统框架(DTEF) comes in. ISACA最近的白皮书 Using the Digital Trust Ecosystem Framework to Achieve Trustworthy AI 可以成为IT审计人员的指南针吗. It serves as a beacon guiding us through the complexities of AI adoption and implementation while upholding the six core principles of responsible AI. DTEF also is cohesive with established industry frameworks such as COBIT and COSO, ensuring a comprehensive approach to evaluating compliance with enterprise policy and industry regulatory guidance.
为什么负责任的人工智能审计很重要
Imagine AI-powered diagnostics personalizing patient treatment or chatbots handling customer inquiries with human-like efficiency. 这些只是几种可能性, but ensuring responsible AI development is crucial for several reasons:
- 公平与非歧视: IT auditors can leverage DTEF to assess potential bias in AI models. We can review data sets for imbalances and test algorithms for fairness, 减轻歧视性后果.
- 问责制和人的监督: DTEF强调明确的问责制. IT auditors will be able to map stakeholders involved in AI development and deployment, 确保人的监督和道德决策.
- 透明度和可解释性: “黑匣子”人工智能模型侵蚀信任. DTEF推动可解释AI (XAI). IT auditors can assess the interpretability of AI models, understanding how they arrive at decisions.
- Safety and security: 人工智能系统容易受到网络攻击. IT auditors could deploy DTEF to assess the security of AI systems and data, employing vulnerability testing and penetration testing to identify and mitigate risks.
- 隐私和数据治理: 人工智能依赖于数据，但隐私问题至关重要. IT auditors can review and alert the makers to ensure responsible data collection, storage and usage practices according to DTEF and relevant regulations.
DTEF:负责任人工智能审计的整体框架
DTEF provides a holistic framework for building and maintaining responsible AI throughout the lifecycle. 它考虑的不仅仅是技术, but also people, 流程和组织文化, 确保与六项核心原则保持一致. 以下是IT审计人员如何利用DTEF:
- 了解你的商业环境: DTEF鼓励定义人工智能的愿景、使命和目标. IT auditors ensure alignment between AI initiatives and overall business strategy, 促进负责任的发展.
- 绘制你的数字景观: DTEF promotes identifying existing AI assets, stakeholders and user touchpoints. IT auditors use this mapping to pinpoint potential trust gaps and areas needing focus on fairness, 透明度和隐私.
- 制定数字信任战略: 基于商业和数字景观的理解, DTEF帮助制定构建负责任的人工智能的战略计划. IT auditors can use DTEF to identify key performance indicators (KPIs) to measure progress on fairness, accountability, 透明度及其他原则.
- 实施和持续改进: DTEF强调迭代方法. IT auditors can collaborate with developers to pilot AI projects, monitor their impact on trust and adherence to the six principles, 并在学习的基础上不断完善策略.
Beyond the Framework: Additional Considerations for Responsible AI
While DTEF offers a valuable roadmap, here are some additional tips:
- 投资可解释AI (XAI): 促进可解释的人工智能模型的发展, 符合DTEF的透明度原则.
- 优先考虑人为监督: 人工智能应该增强人类的判断力. Maintain human oversight loops to ensure ethical decision-making and mitigate potential risks.
- 培养信任的文化; 开放的沟通和员工的认同是至关重要的. Educate your workforce on AI and its implications, addressing any concerns.
确保人工智能有利于你的组织
人工智能潜力巨大, but navigating its complexities requires a well-defined strategy grounded in the six core principles. ISACA's DTEF empowers IT auditors to play a vital role in assessing the governing structures put in place to build responsible AI. By leveraging DTEF, 我们可以确保人工智能对组织有利, fosters trust with stakeholders and adheres to ethical considerations. Remember, 人工智能是一个强大的工具, 在正确的指导下, we can navigate the AI maze responsibly and reach the destination of success.
About the author: 奇丹巴拉姆Narayanan is a highly experienced internal auditor with over 20 years of expertise in accounting & audit disciplines. 他擅长金融和IT领域, having served Fortune 500 companies across diverse industries including manufacturing, automotive, engineering, and retail.Mr. Narayanan is a Chartered Accountant and holds a comprehensive suite of certifications, 包括CISA和微软网络安全专家(SC-100). He currently contributes his leadership as a Board Member for the ISACA Muscat Chapter.
