Independent Oversight

Summary: Independent oversight involves having an external group review the development and use of AI systems to ensure that they are in compliance with established laws, regulations, or standards.

Type of pattern: Governance pattern

Type of objective: Trustworthiness

Target users: RAI governors

Impacted stakeholders: AI technology producers and procurers, AI solution producers and procurers, RAI tool producers and procurers

Lifecycle stages: All stages

Relevant AI ethics principles: Human, societal and environmental wellbeing, human-centered values, fairness, privacy protection and security, reliability and safety, transparency and explainability, contestability, accountability

Mapping to AI regulations/standards: EU AI Act, ISO/IEC 42001:2023 Standard.

Context: AI failures and incidents can lead to significant consequences, such as harm to individuals, economic or reputation loss for organizations, and negative societal impacts. In addition to immediate negative effects, they can also erode public trust in AI technology, making it more difficult for organizations to develop and adopt AI. Auditing is crucial to identify risks associated with the development and use of AI systems, helping to build public confidence in the technology.

Problem: How can we audit AI systems and conduct investigations in a trusted manner, particularly when failures or issues arise?

Solution: Independent oversight refers to the process of having an independent review board audit the development and use of AI systems to ensure that they are in line with laws/regulations and established standards. The independent review board is typically composed of experts with no conflicts of interest with the organizations being reviewed. The activities of independent oversight include planning review, continuous monitoring, and analysis of failures or near misses. The goal of independent oversight is to provide an objective and unbiased assessment of the development and operation activities and to help identify any issues that may need to be addressed.

Benefits:

  • Confidence: By establishing a trusted audit process, independent oversight can help build confidence in AI.
  • Reduced RAI risk: The additional expertise and audit provided by an independent oversight can help reduce the RAI risks associated with AI systems.

Drawbacks:

  • Lack of independence: A key factor of the success in independent oversight is the independence of the oversight body. If the oversight body has conflicts of interest, the review may be inadequate or biased. This can undermine the credibility and effectiveness of the oversight and result in problems being misidentified or overlooked.
  • Limited expertise: Finding qualified and experienced experts to serve on independent review boards can be challenging, particularly in emerging areas of AI.

Related patterns:

  • N/A

Known uses: