Signing Date：10-2022
Area： Science and Technology Cooperation
Category： Document
Status： Effective
中国关于加强人工智能伦理治理的立场文件
Position Paper of the People's Republic of China on Strengthening Ethical Governance of Artificial Intelligence (AI)
（2022年10月）
(October 2022)
一、人工智能作为最具代表性的颠覆性技术，在给人类社会带来潜在巨大发展红利的同时，其不确定性可能带来许多全球性挑战，甚至引发根本性的伦理关切。在伦理层面，国际社会普遍担心如不加以规范，人工智能技术的误用滥用恐将损害人的尊严和平等、侵犯人权和基本自由、加剧歧视和偏见、冲击现有法律体系等，并对各国政府管理、国防建设、社会稳定其至全球治理产生深远影响。
I. As the most representative disruptive technology, artificial intelligence (AI), while providing enormous potential development benefits to human society, has also brought uncertainty that may give rise to multiple global challenges and even fundamental ethical concerns. At the ethical level, there are widespread concerns in the international community that, if left unregulated, the misuse and abuse of AI technologies may undermine human dignity and equality, violate human rights and fundamental freedoms, exacerbate discrimination and prejudice, disrupt existing legal systems, and have far-reaching impacts on government administration,building of national defense, social stability and even global governance.
中国始终致力于在人工智能领域构建人类命运共同体，积极倡导“以人为本”和“智能向善”理念，主张增进各国对人工智能伦理问题的理解，确保人工智能安全、可靠、可控，更好赋能全球可持续发展，增进全人类共同福祉。为实现这一目标，中国呼呼各方秉持共商共建共享理念，推动国际人工智能伦理治理。
China is committed to building a community with a shared future for mankind in the domain of AI, advocating a people-centered approach and the principle of AI for good. China finds it important to enhance the understanding of all countries on AI ethics, and ensure that AI is safe, reliable, controllable, and capable of better empowering global sustainable development and enhancing the common well-being of all mankind. To this end, China calls on all parties to uphold the principles of extensive consultation, joint contribution and shared benefits, and advance international AI ethical governance.
二、2021年12月，中国发布《关于规范人工智能军事应用的立场文件》，呼吁各方遵守国家或地区人工智能伦理道德准则。中国现结合自身在科技伦理领域的政策实践，参考国际社会相关有益成果，从人工智能技术监管、研发、使用及国际合作等方面提出以下主张：
II. In December 2021, China released the Position Paper of the Peoples' Republic of China on Regulating Military Applications of Artificial Intelligence (AI), calling on parties toobserve national or regional ethical norms for AI. In this connection, China, based on its own policies and practices andwith reference to useful international experience, makes the following points in the aspects of regulation, research and development, utilization and international cooperation.
（一）监管
(1) Regulation
各国政府应坚持伦理先行，建立并完善人工智能伦理准则、规范及问责机制，明确人工智能相关主体的职责和权力边界，充分尊重并保障各群体合法权益，及时回应国内和国际相关伦理关切。
Governments should give priority to ethics, establish and improve rules, norms and accountability mechanisms for AI ethics, clarify responsibilities and power boundaries of AI-related entities, fully respect and protect the legitimate rights and interests of all groups, and respond to relevant ethical concerns at home and abroad in a timely manner.
各国政府应重视人工智能伦理与法律的基础理论问题研究，逐步建立并完善人工智能伦理规范、法律法规和政策体系，形成人工智能伦理指南，建立科技伦理审查和监管制度，加强人工智能安全评估和管控能力。
Governments should place emphasis on research on fundamental theoretical issues regarding AI ethics and laws, gradually put in place and improve AI ethical norms, laws, regulations, and policies, formulate guidelines on AI ethics, establish review and regulation mechanisms for ethics in science and technology, and strengthen evaluation and management capacity for AI security.
各国政府应增强底线思维和风险意识，加强研判人工智能技术的潜在伦理风险，逐步建立有效的风险预警机制，采取敏捷治理，分类分级管理，不断提升风险管控和处置能力。
Governments should bear in mind worst-case scenarios and enhance risk awareness, better identify potential ethical risks that AI technologies may entail, gradually establish an effective early warning mechanism, apply agile governance and tiered and categorized management, and continuously improve risk management, control and settlement capacity.
各国政府应立足自身人工智能发展阶段及社会文化特点，遵循科技创新规律，逐步建立符合自身国情的人工智能伦理体系，健全多方参与、协同共治的人工智能伦理治理体制机制。
Governments should, in light of their own stage of AI development as well as social and cultural characteristics, and in accordance with the new features of scientific and technological innovation, gradually establish AI ethical systems suited to their national conditions, and improve AI ethical governance mechanisms featuring wide participation and cooperative governance.
（二）研发
(2) Research and Development (R&D)
各国政府应要求研发主体加强对人工智能研发活动的自我约束，主动将伦理道德融入人工智能研发过程各环节，避免使用可能产生严重消极后果的不成熟技术，确保人工智能始终处于人类控制之下。
Governments should require R&D entities to strengthen self-discipline, voluntarily incorporate ethics into the whole process of AI R&D, avoid premature use of technologies that may cause serious consequences, and ensure that AI is always under the control of humans.
各国政府应要求研发主体努力确保人工智能研发过程的算法安全可控，在算法设计、实现、应用等环节，不断提升透明性、可解释性、可靠性，逐步实现可审核、可监督、可追溯、可预测、可信赖。
Governments should require R&D entities to strive for algorithm security and controllability throughout the AI R&D process, improve transparency, explainability and reliability in the stages of algorithm design, implementation, application, etc., and gradually make AI verifiable, regulatable, traceable, predictable and trustworthy.
各国政府应要求研发主体努力提升人工智能研发过程的数据质量，在数据收集、存储、使用等环节，严格遵守所在国的数据安全规定、伦理道德及相关法律标准，提升数据的完整性、及时性、一致性、规范性和准确性等。
Governments should require R&D entities to strive for better data quality during AI R&D, strictly abide by data security regulations, ethics and relevant laws and standards in the phases of data collection, storage, utilization, etc., and improve the completeness, timeliness, consistency, normalization and accuracy of data.
各国政府应要求研发主体加强对数据采集和算法开发伦理审查，充分考虑差异化诉求，避免可能存在的数据采集与算法偏见，努力实现人工智能系统的普惠性、公平性和非歧视性。
Governments should require R&D entities to strengthen ethics review of data collection and algorithm development, fully consider diversified demands, avoid potential data and algorithms bias, and strive to achieve the universality, fairness and non-discrimination of AI systems.
（三）使用
(3) Utilization
各国政府应禁止使用违背法律法规、伦理道德和标准规范的人工智能技术及相关应用，强化对已使用的人工智能产品与服务的质量监测和使用评估，研究制定应急机制和损失补偿措施。
Governments should prohibit using AI technologies and relevant applications which run counter to laws, regulations, ethics and standards, strengthen quality monitoring and evaluations on the use of AI products and services, and formulate emergency mechanisms and compensation measures.
各国政府应加强人工智能产品与服务使用前的论证和评估，推动人工智能伦理培训机制化，相关人员应充分了解人工智能技术的功能、特点、局限、潜在风险及后果，并具备必要的专业素质与技能。
Governments should strengthen pre-use study and evaluations of AI products and services, and promote institutionalized training on AI ethics. Relevant personnel should fully understand the functions, features, limitations and potential risks and consequences of AI technologies, and acquire necessary professional expertise and skills.
各国政府应保障人工智能产品与服务使用中的个人隐私与数据安全，严格遵循国际或区域性规范处理个人信息，完善个人数据授权撤销机制，反对非法收集利用个人信息。
Governments should safeguard individual privacy and data security of Al products and services, strictly follow international or regional norms for handling of personal information, improve the mechanism for revoking personal data authorization, and oppose illegal collection and utilization of personal information.
各国政府应重视公众人工智能伦理教育，保障公众知情权与有效参与，发挥科技相关社会团体作用，引导社会各界自觉遵守人工智能伦理准则与规范，提高人工智能伦理意识。
Governments should attach importance to public education on AI ethics, guarantee the public's rights of knowledge and meaningful participation, give full play to the roles of scientific and technological communities, guide all sectors of society to comply with AI ethical rules and norms, and raise AI ethical awareness.
（四）国际合作
(4) International cooperation
各国政府应鼓励在人工智能领域开展跨国家、跨领域、跨文化交流与协作，确保各国共享人工智能技术惠益，推动各国共同参与国际人工智能伦理重大议题探讨和规则制定，反对构建排他性集团、恶意阻挠他国技术发展的行为。
Governments should encourage transnational, interdisciplinary, and cross-cultural exchanges and cooperation, ensure that the benefits of AI technologies are shared by all countries, promote joint participation of countries in international discussions and rules-making on major issues regarding AI ethics, and oppose the building of exclusive groups and malicious obstruction of other countries' technological development.
各国政府应加强对人工智能领域国际合作研究活动的伦理监管，相关科技活动应符合各方所在国家的人工智能伦理管理要求，并通过相应的人工智能伦理审查。
Governments should strengthen the regulation of AI ethics for international cooperative research activities. Relevant science and technology activities should comply with the requirements of AI ethics management in the countries where the cooperating parties are located, and pass the AI ethics review accordingly.
中国呼吁国际社会在普遍参与的基础上就人工智能伦理问题达成国际协议，在充分尊重各国人工智能治理原则和实践的前提下，推动形成具有广泛共识的国际人工智能治理框架和标准规范。
China calls on the international community to reach international agreement on the issue of AI ethics on the basis of wide participation, and work to formulate widely accepted international AI governance framework, standards and norms while fully respecting the principles and practices of different countries' AI governance.
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