生成式人工智能算法备案的法律属性与控制路径  

The Legal Attribute and Control Path of Generative Artificial Intelligence Algorithm Filing

作　　者：韩世鹏 Han Shipeng(Graduate Institute for Taiwan Studies,Xiamen University,Xiamen,Fujian 361005)

机构地区：[1]厦门大学台湾研究院,福建厦门361005

出　　处：《河南财经政法大学学报》2024年第2期119-128,共10页Journal of Henan University of Economics and Law

基　　金：2023年第73批中国博士后科学基金“金融科技企业数据治理法律机制研究”(项目编号:2023M732934);2023年四川省社会法制教育普及基地“数字平台算法共谋的反垄断规制纾困”(项目编号:SFJP-05)的阶段性成果。

摘　　要：生成式人工智能算法备案是应对“算法泛在”而创设的新型备案制度。基于破除算法不可解释性的现实需要、算法创新与安全的价值平衡、传统合规模式的加速转型以及扁平化问责的规则改进,生成式人工智能算法备案具有进一步适用的必要性与可行性。算法备案有效实施的关键在于其法律属性的廓清,算法备案与行政许可、行政确认等行政行为存在内容、结构及性质层面的显著区别。质言之,算法备案于行政主体与行政相对人而言,均无法产生直接的法律效果,其法律属性应认定为程序性事实行为。基于此,生成式人工智能算法备案的控制机制应考量生成式人工智能算法的内容敏感度、算法风险等级以及算法备案机关专业能力等因素,明确算法备案的适用范围;将民主性、合理性与严谨性作为形塑算法程序的价值理念;立足算法备案资料报送阶段、事中“责令改正”阶段以及事后执行罚阶段的内容与特征,实施差异化的救济手段。Generative artificial intelligence algorithm filing is a new type of filing system created to address the ubiquitous nature of algorithms.Based on the practical need to break the inexplicability of algorithms,balance the value of algorithm innovation and security,accelerate the transformation of traditional compliance models,and improve the rules of flat accountability,the filing of generative artificial intelligence algorithms has further feasibility and necessity for application.The key to the effective implementation of algorithm filing lies in the clarification of its legal attributes.There are significant differences in the content,structure,and nature between algorithm filing and administrative actions such as administrative licensing and confirmation.To put it bluntly,the algorithm filing cannot produce direct legal effects for both the administrative subject and the administrative counterpart,and its legal attributes should be recognized as procedural factual acts.Based on this,for establishing the control mechanism for the generative artificial intelligence algorithms filing,firstly,we should consider factors such as the content sensitivity,algorithm risk level,and professional ability of the algorithm registration authority,and clarify the scope and connotation of algorithm filing;Secondly,we should take democracy,rationality,and rigor as the values of shaping algorithm programs;Finally,based on the content and characteristics of the algorithm filing information submission stage,the“order for correction”stage during the process,and the post execution penalty stage,we should implement differentiated relief measures.

关 键 词：生成式人工智能 算法备案 法律属性 行政事实行为 程序控制 

分 类 号：D922.16[政治法律—宪法学与行政法学]