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面向風(fēng)險(xiǎn)的人工智能監(jiān)管進(jìn)展、創(chuàng)新與啟示:基于歐盟視角的觀察
網(wǎng)絡(luò)安全與數(shù)據(jù)治理
王春曉,李懷勝
中國(guó)政法大學(xué)刑事司法學(xué)院
摘要: 隨著人工智能技術(shù)發(fā)展和市場(chǎng)化應(yīng)用下的風(fēng)險(xiǎn)衍化,人工智能監(jiān)管產(chǎn)生并獨(dú)立于人工智能治理,成為化解人工智能風(fēng)險(xiǎn)的基礎(chǔ)理念與新興領(lǐng)域。歐盟首創(chuàng)面向風(fēng)險(xiǎn)的人工智能監(jiān)管新范式,并借助國(guó)際合作、倫理約束與風(fēng)險(xiǎn)監(jiān)管框架等方式實(shí)現(xiàn)歐盟人工智能監(jiān)管的領(lǐng)導(dǎo)力和行動(dòng)力??紤]到人工智能技術(shù)與社會(huì)需求的參差,歐盟優(yōu)化人工智能監(jiān)管主體、監(jiān)管流程以及監(jiān)管內(nèi)容以達(dá)到人工智能動(dòng)態(tài)風(fēng)險(xiǎn)的有效監(jiān)管。面對(duì)復(fù)雜的人工智能風(fēng)險(xiǎn)態(tài)勢(shì),我國(guó)可借鑒歐盟經(jīng)驗(yàn),在政策決定層面,基于本土國(guó)情制定面向風(fēng)險(xiǎn)的人工智能法律政策與框架體系;在應(yīng)用實(shí)踐層面,構(gòu)建司法機(jī)關(guān)、市場(chǎng)監(jiān)督機(jī)關(guān)以及企業(yè)等主體的交互協(xié)同機(jī)制;在產(chǎn)業(yè)結(jié)構(gòu)層面,通過(guò)市場(chǎng)賦能推動(dòng)人工智能監(jiān)管職能下沉和產(chǎn)業(yè)創(chuàng)新發(fā)展;在通識(shí)教育層面,培育人工智能素養(yǎng)作為防范人工智能風(fēng)險(xiǎn)的監(jiān)管“安全閥”,實(shí)現(xiàn)公正、和諧和創(chuàng)新的未來(lái)人工智能發(fā)展。
中圖分類號(hào):TP18;D912.1文獻(xiàn)標(biāo)識(shí)碼:ADOI:10.19358/j.issn.2097-1788.2024.11.015引用格式:王春曉,李懷勝.面向風(fēng)險(xiǎn)的人工智能監(jiān)管進(jìn)展、創(chuàng)新與啟示:基于歐盟視角的觀察[J].網(wǎng)絡(luò)安全與數(shù)據(jù)治理,2024,43(11):92-100.
Risk-oriented artificial intelligence regulation: progress, innovation and inspiration from the European Union perspective
Wang Chunxiao,Li Huaisheng
School of Criminal Justice, China University of Political Science and Law
Abstract: As artificial intelligence technology advances and market application risks evolve, artificial intelligence regulation has emerged and been independent of artificial intelligence governance, which has become the basic concept and emerging field of resolving artificial intelligence risks. The European Union has pioneered a new paradigm of risk-oriented AI regulation, and realized the leadership and action of EU AI regulation by means of international cooperation, ethical constraints and risk regulation framework. Considering the difference between artificial intelligence technology and social needs, the EU should optimize the main body, regulatory process and regulatory content of artificial intelligence to achieve the effective regulation of artificial intelligence risks. Faced with the complex risk situation of artificial intelligence, China can learn from the experience of the European Union, and formulate the risk-oriented legal policy and framework system of artificial intelligence based on local national conditions at the policy decision-making level. At the level of application and practice, an interactive and collaborative mechanism among judicial organs, market supervision organs and enterprises is constructed. At the industrial structure level, the market empowerment was used to promote the sinking of artificial intelligence regulatory functions and the development of industrial innovation. At the level of general education, it fosters artificial intelligence literacy as a Security Valve of regulation to mitigate risks associated with artificial intelligence, and realizes the fair, harmonious and innovative future development of artificial intelligence.
Key words : artificial intelligence regulation; European Union; Artificial Intelligence Act; artificial intelligence risk

引言

隨著人工智能系統(tǒng)普遍嵌入數(shù)字經(jīng)濟(jì)產(chǎn)業(yè),其引發(fā)的算法偏見(jiàn)、數(shù)據(jù)隱私、倫理失范等潛在風(fēng)險(xiǎn)也接踵而至。正如聯(lián)合國(guó)教科文組織(United Nations Educational, Scientific and Cultural Organization, UNESCO)在《人工智能倫理建議書(shū)》所說(shuō),人工智能可以對(duì)人類大有裨益并惠及全球,但也可能加劇偏見(jiàn)而導(dǎo)致算法歧視、數(shù)字鴻溝和數(shù)字互斥,威脅文化、社會(huì)和生物多樣性并造成社會(huì)經(jīng)濟(jì)失衡。與此同時(shí),該文件將人工智能監(jiān)管視為人工智能風(fēng)險(xiǎn)的解決之道,鼓勵(lì)各國(guó)政府采用人工智能監(jiān)管(Artificial Intelligence Regulation,AI Regulation)以預(yù)測(cè)后果、減少風(fēng)險(xiǎn)、避免有害后果、促進(jìn)公民參與和應(yīng)對(duì)社會(huì)挑戰(zhàn)[1]。在此背景下,歐盟逐步意識(shí)到人工智能風(fēng)險(xiǎn)引起的監(jiān)管需求,構(gòu)建起人工智能監(jiān)管范式并創(chuàng)新政策體系和實(shí)踐舉措,逐漸成為世界人工智能監(jiān)管領(lǐng)域的重要一極。

鏡鑒歐盟人工智能監(jiān)管的先進(jìn)經(jīng)驗(yàn)對(duì)中國(guó)的人工智能監(jiān)管改革、發(fā)展和變革具有重要的意義和作用。本文為明確歐盟人工智能監(jiān)管的領(lǐng)域界分,首先在理論基礎(chǔ)上對(duì)人工智能監(jiān)管與人工智能治理(Artificial Intelligence Governance,AI Governance)進(jìn)行區(qū)分和對(duì)比,明晰歐盟面向風(fēng)險(xiǎn)的人工智能監(jiān)管的范式變革。其次,從歐盟最新出臺(tái)的《人工智能法案》(下稱《法案》)入手,分析歐盟面向風(fēng)險(xiǎn)的人工智能監(jiān)管理論與實(shí)踐動(dòng)向,以展現(xiàn)歐盟在人工智能監(jiān)管領(lǐng)域的先進(jìn)舉措。最后,結(jié)合歐盟人工智能監(jiān)管理論創(chuàng)新和實(shí)踐經(jīng)驗(yàn),為我國(guó)人工智能監(jiān)管發(fā)展提供有益借鑒。


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作者信息:

王春曉,李懷勝

(中國(guó)政法大學(xué)刑事司法學(xué)院,北京100088)


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