
英国政府监管机构正在考虑对内政部使用生成式人工智能工具处理庇护申请展开调查,据《连线》(WIRED)获悉。此前,议员和研究人员公开质疑这些工具的准确性,以及政府在使用方面的保密做法,由此引发了潜在调查。
A UK government watchdog is considering an investigation into the Home Office’s use of generative AI tools to process asylum applications, WIRED has learned. The potential probe follows lawmakers and researchers publicly questioning the tools’ accuracy and the government’s secrecy around their use.
监督内政部边境、移民和海关管理工作的独立边境与移民首席视察官(ICIBI)已要求数字权利非营利组织开放权利组织(ORG)分享更多关于这些工具的信息,以便其制定明年视察主题的计划,活动人士萨拉·阿尔谢里夫(Sara Alsherif)告诉《连线》。开放权利组织的调查结果源于一项为期六个月的调查,该调查涉及11个议会质询、两封致部长信函和10份公开记录请求,试图从内政部撬开相关细节,但内政部一直隐瞒这些工具的详情。
The Independent Chief Inspector of Borders and Immigration (ICIBI), which monitors the Home Office’s management of borders, immigration, and customs, has asked digital rights nonprofit Open Rights Group (ORG) to share more information on the tools as it draws up plans for the topics it will inspect next year, campaigner Sara Alsherif tells WIRED. ORG’s findings come from a six-month investigation into the tools, which involved 11 parliamentary questions, two ministerial letters, and 10 public records requests that attempt to pry details from the Home Office, which has withheld details on the tools.
ICIBI 告诉《连线》(WIRED),在发布年度检查优先事项之前,无法确认正在积极考虑的课题,但表示知晓关于使用 AI 工具的担忧,并指出去年的调查发现,其中一款工具的“效果和可靠程度参差不齐”。
The ICIBI tells WIRED it cannot confirm what topics are under active consideration before it publishes its annual inspection priorities, but it says it is aware of concerns about the use of AI tools and pointed to its findings last year that one of the tool’s “effectiveness and reliability were varied.”
英国内政部发言人在给《连线》的电子邮件中表示:“庇护决定由受过培训的案件处理员作出,AI 工具仅用于协助梳理面谈记录和政策信息。它们不能单独使用,也不对申请作出决定。我们会定期监测这些工具的表现,并结合既定的质量保障流程,已经承诺将发布关于其推广应用的最新评估。”
“Asylum decisions are made by trained caseworkers, with AI tools used only to assist in navigating interview records and policy information. They cannot be used in isolation and do not make decisions on claims,” a Home Office spokesperson tells WIRED in an email. “We regularly monitor the performance of these tools alongside our established quality-assurance processes, and have already committed to publishing updated evaluations on their roll out.”
根据开放权利组织(ORG)获取的文件,内政部使用“庇护案件摘要工具”(ACS)和“庇护政策搜索工具”,这两款工具基于 OpenAI 2023 年的 GPT-4 大语言模型和微软 Foundry 构建,用于总结庇护申请人的面谈记录及其原籍国信息。这家移民和执法机构于 2024 年底开始试点这些工具,当时工党政府试图清理约 10 万宗积压庇护案件,同时应对英国每年收到的数万宗新申请。虽然该部门已取得显著进展,在截至 6 月的一年里将等待初步决定的人数减半,但针对决定的上诉数量却激增。
The Home Office uses the Asylum Case Summarisation (ACS) and Asylum Policy Search tools, built on OpenAI’s 2023 GPT-4 large language model and Microsoft Foundry, to summarize transcripts of interviews with asylum applicants and information about their countries of origin, according to documents obtained by ORG. The immigration and law enforcement authority started piloting these tools in late 2024 as the Labour government tried to clear a backlog of around 100,000 asylum cases, while staying on top of the tens of thousands of new applications the UK receives each year. While the department has made significant progress, halving the number of people waiting on an initial decision in the year through June, the number of appeals against decisions has ballooned.
研究人员担忧这些 AI 工具的准确性——尤其是用于决定像是否将某人遣返回其担心遭受迫害的国家这样攸关重大的事情时。ORG 发现,ACS 生成的摘要中被认定为不适用的比例——通常是因为包含事实错误或错误陈述——显著高于试点评估中公布的 9% 错误率。研究还发现,APS 生成的摘要没有质量控制。
Researchers are concerned about the accuracy of the AI tools–especially to decide something as high-stakes as whether to send someone back to a country where they fear persecution. ORG found that the percentage of summaries generated by the ACS deemed not fit for use—often because they contain factual errors or misrepresentations—is significantly higher than the published 9 percent error rate calculated in the pilot evaluation. There is no quality control for the summaries produced by the APS, it also found.
庇护决定者使用这些工具在审理庇护案件时节省时间;根据政府估算,试点显示两款工具配合使用每个案件可节省约一小时。案件处理人员使用 ACS 加快对庇护申请人面谈记录的审阅,申请人在面谈中解释他们在本国如何遭受迫害以及为何不敢返回。他们使用 APS 作为搜索助手,查找并总结国家政策信息,以判断申请人在原籍国是否面临真实的伤害风险。7 月,一名英国法官指责内政部引用一份“AI 幻觉”文件,以申请人的原籍国对她安全为由,拒绝了一名摩洛哥妇女及其孩子的庇护申请。
Asylum decision-makers use the tools to save time when reviewing asylum cases; when used together, the pilot showed the tools could save around an hour per case, according to government estimates. Caseworkers use the ACS to speed up their review of transcripts of interviews where asylum seekers explain how they were persecuted in their country and why they are afraid to return. They use the APS as a search assistant to find and summarize country policy information, which informs them whether the applicant faces a genuine risk of harm in their home country. In July, a UK judge accused the Home Office of citing an “AI hallucinated” document to refuse a Moroccan woman and her child’s asylum claim on the basis that her home country would be safe for her to return to.
“我们在处理的是人的生命。我们谈论的是那些面临最恶劣境遇的人,而我们本应基于事实和对危害的理解来做决定,”工党后座议员贝尔·里贝罗-阿迪在接受《WIRED》采访时说。“我真的觉得让机器来做这件事并不合适。”
“We’re dealing with people’s lives. We’re talking about people that have faced some of the worst circumstances, and we’re meant to be making decisions based on facts and on understanding harm,” Labour backbench MP Bell Ribeiro-Addy tells WIRED. “I just don’t think it’s appropriate that machines are doing that.”
内政部发言人表示:“人工智能的使用只是我们用于保护边境的工具之一,并不取代或自动化人类决策者的角色。”里贝罗-阿迪、阿尔谢里夫以及公共法项目(Public Law Project)——该项目也在单独调查这些工具——同样担心 GPT 模型中已有充分记录的“文化偏见”可能导致语言障碍和摘要中失去文化细微差别,进而导致歧视性决定。OpenAI 发言人在接受《WIRED》采访时强调,公司正持续改进模型的准确性,并指出公司将在一月退役 GPT‑4。
A Home Office spokesperson says, “Use of Artificial Intelligence is just one of the tools at our disposal to protect our borders, and does not replace or automate the role of human decision-makers.”Ribeiro-Addy, Alsherif, and the Public Law Project, which has separately been investigating the tools, also worry that well-documented “cultural bias” in GPT models could lead to language barriers and the loss of cultural nuances in the summaries, which could in turn result in discriminatory decisions. An OpenAI spokesperson highlighted to WIRED the company’s ongoing work to improve its models’ accuracy and pointed out that the company will be retiring GPT-4 in January.
在缺乏监管的情况下,英国的《人工智能行动手册》要求各部门在决策过程中对所使用的算法工具保持透明,并向公众提供相关信息,包括在公共库中列出这些工具。内政部的案件摘要和政策检索工具并未出现在该名单上。
In the absence of regulation, the UK’s “AI Playbook” mandates that departments must be transparent about the algorithmic tools they use in decision-making processes and make information on them available to the public, including listing those tools on a public repository. The Home Office’s case summarization and policy search tools are not on that list.
寻求庇护者也未被告知其案件中使用了这些 AI 工具。负责 ORG 移民数字司法项目的阿尔谢里夫说:“移民组织、法律从业者,很多人并不知道实际使用了这项工具。所以我们需要让他们了解,让他们知道它是如何运作的,这样他们才能提出质疑。”无法对错误的 AI 摘要提出异议可能违反英国数据权利法,Cloisters 律师事务所在 ORG 委托的独立法律意见中写道。内政部在其隐私声明中表示,决策过程的部分环节可能涉及自动化。
Asylum seekers are also not told when these AI tools are used in their case. “Migrant organizations, legal practitioners, not many of them know about the actual use of this tool,” says Alsherif, who leads ORG’s migrant digital justice program. “So we need to let them know about this, let them know how it works, so they can challenge it.”Not being able to contest an incorrect AI summary of their personal information may breach UK data rights laws, Cloisters lawyers wrote in an independent legal opinion commissioned by ORG. The Home Office states that parts of the decision-making process may involve automation in its privacy notice.
这两个组织都已将调查结果提交给英国数据监管机构信息委员会。该委员会目前正在调查内政部拒绝向ORG透露工作人员如何使用以及如何接受培训使用两款AI工具一事。
Both groups have sent their findings to UK data regulator, the Information Commission, which is currently investigating the Home Office’s refusal to tell ORG how staff use and were trained to use two AI tools.
公共法律项目高级研究员卡罗琳·塞尔曼还指出,ACS和APS工具只是她的团队发现的11个在政府各部门使用却未列入公共存储库的高风险AI系统之中的两个。她担心,政府内部可能还部署了更多系统,甚至连研究人员都不知情,更不用说那些被这些系统所针对的个人了。
Public Law Project senior research fellow Caroline Selman also notes that the ACS and APS tools are just two of the 11 high-risk AI systems that her team has found being used across government but absent from the public repository. She’s concerned there may be more deployed across government that even researchers, let alone the individuals they are being used on, are unaware of.
“其他工具正在被使用,但完全没有公开,”塞尔曼说,“如果你不知道这些东西正在被使用,你甚至无从对它们提出疑问。”
“Other tools are being used but not being publicized at all,” says Selman, “and you can’t even begin to ask questions about things if you don’t know that they’re being used.”