高风险人工智能的法律界定及规制  

Legal Definition and Regulation of High-Risk Artificial Intelligence Systems

作　　者：解志勇 Xie Zhiyong

机构地区：[1]中国政法大学比较法学研究院

出　　处：《中外法学》2025年第2期285-305,共21页Peking University Law Journal

基　　金：国家社科基金重大项目“应对新一轮科技革命的法治体系完善与基本法理研究”(项目编号:24&ZD134)的阶段性研究成果。

摘　　要：人工智能技术的底层科学逻辑,决定了其风险可认知、可描述、可分析、可界定。与欧盟《人工智能法》确立的一般风险治理进路不同,我国可采取“风险+情境融合治理”的进路,以高质效应对高风险人工智能的系统风险。“高风险”的界定标准,可基于人工智能本体能力强弱、功能作用对象、潜在致害程度等三个维度进行确认。首先,风险级别与人工智能本体强弱呈正相关关系,强人工智能与超强人工智能均属高风险系统;其次,直接作用对象为“重大安全”,涵盖国家安全、社会公共安全、个人生命安全以及其他重要基本权利安全;再次,存在对“重大安全”造成实质性显著减损的可能。鉴于此,高风险人工智能的治理与规制,主要是在特定情境中针对其安全性展开,应遵循合法性原则、科技伦理约束原则、技术治理原则,秉持包容审慎与合作规制理念。以情境作为治理单元,以安全维护为首要目标,采取“行为规制+个体赋权”立法模式,进行事前、事中、事后的全过程治理,立法上最终达致制定《人工智能安全法》的目标。The underlying scientific logic of artificial intelligence technology determines that its risks are cognizable,describable,analyzable and definable.Unlike the general risk governance established by the European Union's Artificial Intelligence Act,China can adopt the approach of“risk+contextual integration governance”to respond to the systemic risks of High-risk artificial intelligence with high quality.The so-called“high-risk”definition standard can be recognized based on three dimensions,such as the strength of the AI ontology,the function of the object,and the degree of potential harm.Firstly,the risk level is positively correlated with the strength of the AI body,and both strong AI and superintelligent AI are high-risk systems.Secondly,the direct object of its function is“significant security”,covering national security,public security,personal life security and other important basic rights security.Thirdly,there is a possibility of substantial impairment of“significant security”.In view of the above standard,the governance and regulation of high-risk AI is mainly focused on its safety,and should follow the principle of legality,the principle of scientific and technological ethical constraints,the principle of technological governance,and uphold the concept of inclusive prudence and cooperative regulation.Taking the situation as the governance unit,with safety maintenance as the primary goal,and adopting the legislative model of behavioral regulation combined with individual empowerment,the whole process of governance is carried out before,during and after the event.Ultimately,the legislative goal is to enact the“Artificial Intelligence Security Law”.

关 键 词：人工智能 高风险人工智能 人工智能安全法 治理 规制 

分 类 号：D922.1[政治法律—宪法学与行政法学]