人工智能产业的包容审慎监管:理论内涵与实现路径  

Accommodative and Prudential Regulation of the Artificial Intelligence Industry:Theoretical Connotation and Implementation Path

作　　者：戚聿东 刘健[2] QI Yu-dong;LIU Jian(Business School,Beijing Normal University,Beijing 100875;School of Economics,Beijing Wuzi University,Beijing 101149,China)

机构地区：[1]北京师范大学经济与工商管理学院,北京100875 [2]北京物资学院经济学院,北京101149

出　　处：《兰州大学学报（社会科学版）》2024年第4期154-165,共12页Journal of Lanzhou University（Social Sciences）

基　　金：国家社会科学基金重大项目“技术标准与知识产权协同推进数字产业创新的机理与路径研究”(19ZDA077)。

摘　　要：人工智能产业是具有“新技术、新产品、新经济、新风险”等新特征的新兴产业,对人工智能产业监管模式与监管路径的研究是实现创新与风险相平衡的核心与关键。包容审慎监管是集包容创新与风险防范于一体的监管模式,具有有效市场与有为政府相融合的理论内涵,是市场与政府关系理论在监管领域的实践表出。按照分层分类的研究思路与方法,人工智能产业基础层、技术层与应用层具有不同的技术、经济、风险特征,包容审慎监管契合人工智能产业跨领域、跨主体、跨行业的技术经济特征,能有效防范人工智能产业多层次、多元化、复合型的风险属性,是适合于人工智能产业等新经济的有效监管模式。应以底线思维和以人为本为监管原则,以监管沙盒为主要运行机制,以分级分类、全过程动态和多主体协同为主要手段,有效实施对人工智能产业的包容审慎监管。The AI industry is an emerging industry with new characteristics such as“new technologies,new products,new economy,and new risks”.Research on AI industry regulation modes and paths is the key to balancing innovation and risks.The accommodative and prudential regulation can be regarded as a regulatory model that integrates inclusive innovation and risk prevention.With the theoretical connotation of integrating effective markets with promising governments,the regulation is a practical manifestation of the relational theory of the market and government in supervision areas.According to the research approach of hierarchical classification,the layers of the foundation,technology,and application of the AI industry have different tech-nical,economic,and risk characteristics.Since accommodative and prudential regulation is in accordance with the AI industry’s technical and economic characteristics of spanning multiple fields,entities,and indus-tries,and can effectively prevent the AI industry’s attributes of multi-level,diversified,and composite risks,it is an effective regulatory model for the new economical forms like the AI industry.In regulatory practice,it is necessary to adopt bottom line thinking and people-oriented philosophy as regulatory principles,regula-tion sandbox as the primary operating mechanism,and graded classification of risks,dynamic monitoring throughout the entire process,and multi-agent collaborative regulator system as the main methods,to effec-tively practice accommodative and prudential regulation of the AI industry.

关 键 词：人工智能产业 包容审慎监管 理论内涵 适应性 实现路径 

分 类 号：F426[经济管理—产业经济] F019.6