生成式人工智能算法备案的现状检视与路向探索

Review and Exploration of the Current Situation and Future Directions of the Filing System for Generative Artificial Intelligence Algorithms

  • 摘要: 生成式人工智能算法备案作为新时代创设的算法治理制度,是“有效市场与有为政府相结合”的治理原则在数字领域的延伸,在算法信息收集与公开、推进企业自治与合规建设方面发挥着重要作用。检视我国算法备案制度现状发现,其面临行政主体备案职责履行不足、算法备案监管规则有待完善、算法备案配套制度缺失等问题。结合算法备案的性质界定、功能定位、指导原则等原理阐释,明确了生成式人工智能算法备案的发展路向:首先,应确认算法备案机关的材料接收和程序审查义务,完善算法备案接收程序,明确算法备案补正告知事项,健全算法备案分类审查标准,加强算法备案的合法性控制;其次,灵活设置算法备案期间,采取非现场检查、“双随机、一公开”监管、信用风险分级分类监管等多元手段,形成算法备案的监管合力,保障算法备案的合理性建构;最后,构建算法备案信息共享机制,促进算法备案信息资源在不同机构、部门之间共享,建立系统科学的信用分类与评价体系,推行信用为导向的告知承诺制,搭建政府机关与算法备案主体之间的信任桥梁,实现算法备案的法治化运行。

     

    Abstract: As a newly established algorithm governance system in the digital era, the filing of generative artificial intelligence algorithms embodies the governance principle of "combining an effective market with a proactive government". It plays a significant role in the collection and disclosure of algorithm information and in promoting corporate self-governance and compliance. An examination of the current status of China's algorithm filing system reveals that it faces issues such as insufficient performance of administrative filing duties, the need for improvement in regulatory rules for algorithm filing, and the absence of supporting systems. Based on the nature, function, and guiding principles of algorithm filing, the development direction of generative artificial intelligence algorithm filing is clarified: Firstly, the obligation of algorithm filing authorities to receive materials and conduct procedural reviews should be confirmed, the algorithm filing reception process should be improved, the matters for supplementary notification in algorithm filing should be clarified, the classification review standards for algorithm filing should be enhanced, and the legality control of algorithm filing should be strengthened. Secondly, the algorithm filing period should be flexibly set, and multiple regulatory measures such as non-site inspections, "dual randomization and public disclosure" supervision, and credit risk classification and regulation should be adopted to form a regulatory synergy for algorithm filing and ensure its rational construction. Finally, an information sharing mechanism for algorithm filing should be established to promote the sharing of algorithm filing information resources among different institutions and departments, a systematic and scientific credit classification and evaluation system should be built, a credit-oriented notification and commitment system should be implemented, and a trust bridge between government agencies and algorithm filing entities should be established to achieve the rule of law in algorithm filing operations.

     

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