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How the biggest companies wrote their own generative AI guardrails

2023-10-23 12:54:02
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Are your colleagues using generative AI on the sly? The statistics suggest a couple of them have – and probably do not plan to tell their managers about it any time soon. According to a survey earlier this year by Deloitte, an estimated one in ten adults in the UK have used generative AI for work purposes. When asked whether their managers would approve of them using ChatGPT-like services to assist them in their daily tasks, only 23% concluded that their managers would endorse their unorthodox working arrangements. 

It gets worse. Of those people who have actually used it for work purposes, “43% mistakenly assume that it always produces factually accurate answers, while 38% believe that [the] answers generated are unbiased”. This collective failure to recognise that the definition of ‘accuracy’ for such models has repeatedly been proven to be Fantanta-esque at best, and should unsettle even the most experienced CIO. So, too, should the danger of generative AI models being able to plagiarise artwork and code, or leak sensitive corporate data unwittingly inputted by an unsuspecting office worker. These factors combined mean businesses could be plunged into acute legal danger at a moment’s notice. 

This isn’t just happening in the UK. Across the pond, an earlier survey found that almost 70% of US employees who had used ChatGPT in a work context had not informed their line manager that they were using the model – respondents who claimed to work for several Fortune 500 companies. In response, many of these firms simply banned staff from using ChatGPT or any other generative AI model that wasn’t approved by the C-Suite. The potential productivity benefits of using the technology, it seemed, were vastly outweighed by the security risks. “ChatGPT is not accessible from our corporate systems, as that can put us at risk of losing control of customer information, source code and more,” said a spokesperson for US telco Verizon back in February. “As a company, we want to safely embrace emerging technology.” 

But, as generative AI expert Henry Ajder explains, “Risk tolerances and adoption speeds are far from uniform.” Many major companies, as it turns out, believe there is a way to harness generative AI in the workplace in a supervised manner that reduces any potential reputational or legal risk to the wider firm. McKinsey confidently announced in June that it was letting “about half” of its employees use the technology under supervision. The following month, insurance provider AXA announced its deployment of ‘AXA Secure GPT,’ which leveraged Microsoft Azure’s OpenAI service to ‘generate, summarise, translate, and correct texts, images and codes.’ 

It’s in these seemingly high-value but low-risk tasks, says Ajder, where the biggest companies are most enthusiastic about deploying generative AI. “If you have some human oversight, this stuff could be deployed pretty quickly and pretty easily,” he adds – the hope being that the productivity benefits will naturally follow. 

A manager talking to a robot, metaphorically illustrating the difficulty of safely integrating generative AI into corporate workflows.
Growing interest and use of generative AI by employees have forced managers to come up with creative approaches to imposing guardrails on the use of services like ChatGPT and Copilot. (Photo by la pico de gallo/Shutterstock)

Guardrailing generative AI

Any company that sets out to build its own internal guardrails for the use of generative AI within its workplace needs to define its tolerance for risk when using the technology – a process usually worked out in committee. Over the past year, it has become de rigueur for major financial institutions, consultancies and even movie studios to form a dedicated task force on AI to doorstep departments across the company about all the possible calamities that might result from its use. After these have been worked out, a threshold for appropriate use begins to be defined. 

These guidelines vary from business to business, explains Ajder, but there are commonalities. Many have “clear rules, for example, around ingesting company data, disclosing to customers when [generative AI models] are being used, and not deploying it in any context where there is not any human oversight in the final application or output”, he says. Among institutions with serious compliance budgets, like banks and legal firms, such models may even be restricted at a departmental level, “to people working in, say, marketing, or in spaces that have a bit more freedom”.

Again, this comes back to risk. There are fewer scenarios wherein an edited LLM-generated press release will result in catastrophic reputational damage to an insurance firm, for example, than if an auditor were to use it to produce a report about recent changes in EU regulations that they should have written themselves. There is less consensus about who is responsible when mistakes are introduced into workflows through the use of generative AI. At one company Ajder recently observed, “the buck always stopped at the manager who was managing the model”, he says, a prospect that might trigger consternation among staff who are being pressured to use such services by their superiors. 

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Some of the more nuanced questions about the technical capabilities and limitations of LLMs can also be answered by internal company sandboxes, Ajder argues. These give employees the freedom to “play around” with different models in a risk-free environment. Some have also chosen to adopt an almost constitutional approach to AI risk. Salesforce – both a user and producer of generative AI solutions – has devised a set of key principles, which inform policy on the use of such models at every level of the business. 

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“Our AI research team started working on generative AI long before ChatGPT hit the mainstream,” says Yoav Schlesinger, Salesforce’s architect for responsible AI and tech, who claims that the company anticipated many of the concerns surrounding LLM hallucinations – he prefers the term ‘confabulations’, as it’s less anthropomorphising – long before the rest of the tech world. Its key principles include setting realistic expectations about the accuracy of an LLM’s outputs and their potential for toxicity or bias; being honest about the provenance of the data used to train a model; and ensuring that such systems are used sustainably and to augment rather than replace human capabilities.  

These tenets not only inform the framework for the appropriate use of generative AI by Salesforce’s own staff but also its provision of external AI services. “We’ve crafted a number of prohibitions…that hopefully also steer our customers away from high risk,” says Schlesinger, including against using its chatbots to deceive consumers into believing they’re talking to a human, the use of such models in biometric identification, and even to offer personalised medical advice. 

A manager opposite a robot, illustrating the difficulties of integrating generative AI into corporate workflows.
Most major companies have shaped their rules governing the internal use of generative AI products around real and perceived risks – often resulting in such models being confined to peripheral application areas within the marketing or IT departments. (Image by la pico de gallo/Shutterstock)

Moving with the times

Salesforce’s overall aim, Schlesinger claims, is to keep “that important human in the loop to address those areas where there might be other risks that are opened up.” It’s a sentiment shared by other providers of enterprise AI solutions, all of which seem to have recognised that winning the hearts and minds of CIOs around the world requires them to constantly address their very real concerns about safety and reputational risk. Generative AI can boost workplace productivity in all kinds of ways, reads one of Microsoft’s latest missives on the subject, but should only be pursued after the imposition of “proper governance measures based on rigorous data hygiene”.

Enterprise AI providers have also proven sensitive to the many cybersecurity concerns surrounding generative platforms. While there “have been a few, high-profile cases of company data leaking after being ingested via large language models”, says Ajder, “I think that fear is a little overblown now” when applied to more mainstream services designed for corporate use. Most of these, he adds, can now be tweaked to prevent any sensitive data from being inadvertently collected for training future models. 

As if to push any hesitating CIOs over the line, Microsoft and others have gone as far as to promise to pay the legal costs of those companies who find themselves being sued for copyright infringement by disgruntled coders and artists. It remains to be seen how convincing that offer is to your average compliance department. Even so, there does seem to be a growing openness among some companies to overlook bringing in complex risk assessments for using generative AI models in select applications. During a panel discussion in Copenhagen last month, Vodafone’s chief technology officer, Scott Petty, suggested that there were plenty of opportunities for the firm’s operations teams to use such services without consulting any internal ethics committee. 

“There are so many places where you can apply AI where the risk is really low which can generate immense value,” he said, adding that many potential application areas could be easily found in the IT department. This, added Petty, “is the bottleneck in every telco [and] there is far more demand for new capabilities than we can deliver. Generative AI can unlock that velocity.” 

But is that how far the risk appetite really extends for generative AI among major companies? Ajder suspects so. Many such firms, he explains, are waiting on new legislation in the UK, EU and the US to formally define liability as it relates to the use of AI models. And while the current regulatory environment is changing relatively quickly, many CIOs are still in wait-and-see mode. “They realise that if they completely go all-in on generative AI in its current form, and in the current regulatory landscape, they could end up with them having to finish implementing something that is no longer compliant, or is going to be incredibly costly to maintain,” says Ajder.

For his part, Schlesinger maintains that CEOs, CIOs and CTOs should all keep an open mind about the potentiality of generative AI in the workplace. “Generative AI has incredible promise to help unlock human potential, and we should imagine and expect that people will use it to augment their work,” he says. “Fighting against that tide is a fool’s errand.”

Read more: What’s the role of a CTO in an AI-driven world?

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参考译文
科技巨头们如何制定生成式AI的监管准则
你的同事是否在暗中使用生成式人工智能?统计数据表明,他们中的一些人正在这么做,而且短期内可能不会向管理者说明此事。根据德勤今年早些时候的一项调查,大约十分之一的英国成年人曾使用生成式人工智能处理工作事务。当被问及他们的管理者是否会批准他们使用类似ChatGPT的服务来协助完成日常任务时,只有23%的人认为他们的管理者会认可这种非常规的工作方式。情况甚至更糟。在那些实际上已经在工作中使用生成式人工智能的人中,有43%的人错误地认为它始终提供的是事实准确的答案,而38%的人则相信其生成的答案是没有偏见的。这种集体性的误判,未能认识到这类模型中“准确性”的定义在实践中往往不过是一场幻想,对于经验最丰富的首席信息官来说,这也应该引起极大的不安。同样令人担忧的是,生成式人工智能模型可能会剽窃艺术作品和代码,或者无意中泄露敏感的公司数据,而这些数据是由办公室员工不小心输入的。这些因素叠加在一起,意味着企业可能在顷刻之间陷入严重的法律危机。这并不仅仅是在英国发生的事。在大西洋彼岸,一项更早的调查显示,几乎所有70%的美国员工在工作中使用过ChatGPT,但并未向他们的直线经理说明这一点——这些受访者声称就职于多家财富500强公司。作为回应,许多公司干脆禁止员工使用ChatGPT或未经高层批准的任何其他生成式人工智能模型。显然,这种技术的潜在生产效率提升远远无法抵消它所带来安全风险。美国电信公司Verizon的一位发言人早在2月时表示:“我们公司系统中无法访问ChatGPT,因为这可能会导致我们失去对客户信息和源代码等数据的控制。作为一个公司,我们希望以安全的方式拥抱新兴技术。”但正如生成式人工智能专家亨利·阿杰德(Henry Ajder)所解释的那样,“风险容忍度和采用速度远远不一致。” 事实证明,许多大公司相信,可以在受监督的情况下在工作场所中使用生成式人工智能,从而减少对整体公司可能造成的声誉或法律风险。麦肯锡在6月份自信地宣布,它已允许“大约一半”的员工在监督下使用这项技术。接下来的月份,保险公司AXA宣布部署了“AXA Secure GPT”,该系统利用了微软Azure的OpenAI服务,用于“生成、总结、翻译和纠正文本、图像和代码”。阿杰德指出,这些高价值但低风险的任务正是各大公司最热衷于部署生成式人工智能的地方。“如果你有一些人为监督,这些技术可以很快且很容易地得到部署,”他补充道,希望是生产效率的提升自然而然地随之而来。员工对生成式人工智能日益增长的兴趣和使用,迫使管理者们想出创造性的方法,以规范对ChatGPT和Copilot等服务的使用。(照片来源:la pico de gallo/Shutterstock) 生成式人工智能的约束 任何一家公司,如果试图在其工作场所内建立自己的内部规则以规范生成式人工智能的使用,都需要明确自己在使用这项技术时对风险的容忍度——这一过程通常由委员会共同制定。过去一年中,许多大型金融机构、咨询公司,甚至电影工作室都已开始组建专门的人工智能任务小组,对整个公司各个部门进行走访,了解其使用可能带来的各种灾难性后果。在这些问题被厘清之后,关于适当使用的标准也开始被定义。阿杰德解释说,这些指南在公司之间有所不同,但存在一些共通之处。许多公司制定了“明确的规则,例如关于公司数据的摄入、向客户披露是否使用了生成式人工智能模型,以及在任何缺乏最终应用或输出的人为监督的情况下不使用该技术。”在那些具有严格合规预算的机构中,比如银行和律师事务所,这些模型甚至可能被限制在部门层面,比如只允许“从事市场营销工作,或者在自由度较高领域工作的人使用。”这再次回到了“风险”这一核心问题。例如,与一名审计人员利用生成式人工智能生成应由他们自己撰写的欧盟法规更新报告相比,经过编辑的大型语言模型生成的新闻稿造成保险公司声誉严重损失的可能性要小得多。当生成式人工智能在工作流程中引入错误时,谁应对此负责,目前尚无统一结论。阿杰德最近观察过的一家公司中,“责任始终落在管理模型的经理身上”,他补充道,这可能引发一些员工的不安,因为他们正被上级施压使用这些服务。来自我们的合作伙伴的内容 Reynolds Catering通过升级其ERP系统来提升其能力的规模化 Zeelandia利用人工智能优化精度、效率和定价 金融服务公司如何为欧盟的DORA规定做好准备 关于大型语言模型的技术能力和限制的一些更微妙的问题,阿杰德认为也可以通过公司内部的沙盒测试来回答。这些测试可以让员工在风险可控的环境中“随意尝试”不同的模型。一些公司还选择采用一种近乎宪法式的AI风险方法。Salesforce——既是生成式人工智能的用户,也是生产者——制定了一套关键原则,这些原则指导着公司业务各个层面使用此类模型的政策。查看所有时事通讯 注册我们的时事通讯 由《科技监控》团队提供的数据、见解和分析在此送达 注册此处 “我们的AI研究团队早在ChatGPT进入主流之前就开始进行生成式人工智能的研究,”Salesforce负责责任AI和技术的架构师约阿夫·施莱辛格(Yoav Schlesinger)表示。他声称,公司早在整个科技界之前就预见到了围绕大型语言模型“幻觉”——他更喜欢使用“虚构”这一词,因为这个词的拟人化程度较低——的许多担忧。Salesforce的关键原则包括:对大型语言模型输出的准确性设定现实的期望,并认识到其潜在的毒性或偏见;诚实地说明用于训练模型的数据来源;并确保这些系统用于可持续发展,以增强而不是取代人类的能力。这些原则不仅为Salesforce内部员工适当使用生成式人工智能提供指导框架,也适用于其对外提供的AI服务。“我们制定了一系列禁止行为……希望也能引导客户避免高风险,”施莱辛格表示,其中包括禁止其聊天机器人欺骗消费者相信他们正在与人类对话,禁止在生物识别识别中使用此类模型,甚至禁止其提供个性化医疗建议。大多数大公司都围绕真实和感知的风险制定了内部使用生成式人工智能产品的规则,这往往导致这些模型被限制在营销或IT部门的边缘应用领域。(图片来源:la pico de gallo/Shutterstock) 与时俱进 据施莱辛格称,Salesforce的整体目标是“确保重要的人类始终在环中,以应对可能出现的其他风险。”其他企业AI解决方案提供者似乎也有相同的看法。他们都认识到,要赢得全球首席信息官的心和思想,必须不断解决他们对安全和声誉风险的真实担忧。微软最近关于该主题的一篇文章中提到,生成式人工智能可以在各种方式上提高工作效率,但应在“基于严格数据清洁的适当治理措施”之后才进行。企业AI提供商同样敏感地意识到围绕生成式平台的许多网络安全问题。虽然阿杰德提到“有几起知名案例显示,公司数据在被大型语言模型摄入后发生泄露”,但“我认为现在对面向企业主流服务的这种担忧被夸大了。”他补充说,大多数此类服务现在都可以进行调整,以防止敏感数据被无意中收集用于训练未来模型。为了进一步推动犹豫不决的首席信息官,微软和其他公司甚至承诺向因不满程序员和艺术家指控版权侵权而被起诉的公司支付法律费用。然而,这种提议在平均合规部门看来是否具有说服力仍有待观察。阿杰德认为,许多此类公司正在等待英国、欧盟和美国的新立法,以正式定义与人工智能模型使用相关责任的范围。尽管当前的监管环境正在相对快速地变化,但许多首席信息官仍持观望态度。“他们意识到,如果他们现在完全投入当前形式的生成式人工智能,并在当前的监管环境中实施,他们最终可能会不得不完成实施一些不再合规,或者维护起来非常昂贵的项目,”阿杰德说。至于施莱辛格,他认为首席执行官、首席信息官和首席技术官都应该对生成式人工智能在工作场所中的潜力保持开放心态。“生成式人工智能具有巨大的潜力,可以帮助释放人类的潜力,我们应该想象并期待人们会利用它来增强自己的工作,”他说。“试图对抗这一趋势是一场徒劳无功的错误。” 了解更多:在人工智能驱动世界中,首席技术官的角色是什么?
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