人工智能的法律探究.pdf

人 工 智 能 的 法 律 探 究人 工智能的法律探究/002人工智能的法律探究序 言2022 年底，以 ChatGPT 为代表的生成式人工智能（“Generative AI”）掀起了新一轮的科技革命，不断催生新的商务业态。当下人工智能的开发已经上升到国家战略的高度，它的应用正逐渐渗透到社会生活的各种领域中，包括交通运输、金融、医疗、制造业、文娱产业等。人工智能将给人类社会带来全方位的变革。然而，由此衍生的伦理与法律问题也接踵而至。与此同时，各国监管部门纷纷出台相关政策法规，以对人工智能进行规制，内容涵盖监管框架、透明度、可解释性、数据隐私、伦理原则、安全标准、知识产权等多个方面。无论是联合国于 2024 年 3 月通过的首个关于人工智能的全球决议，亦或是全世界 28 个国家及欧盟共同签署的布莱切利宣言、中国提出的全球人工智能治理倡议，以及欧盟的最新立法欧盟人工智能法案，其均在强调人工智能的治理应当重视安全风险，没有底线的运用人工智能会为人类社会带来毁灭性危机。此前，中国生成式人工智能领域的首部专门立法生成式人工智能服务管理暂行办法已于 2023 年 8 月 15 日起正式生效实施，对生成式人工智能服务提供者和使用者提出了一系列合规要求。除了立法监管外，多国法院已开始处理涉及人工智能的法律纠纷。例如，中国北京互联网法院和广州互联网法院此前已分别就首例涉及人工智能生成物（“AIGC”的可版权性，以及生成式人工智能服务提供者的知识产权侵权案件作出判决。美国多家人工智能企业正面临数起集体诉讼纠纷，相关案件均已被美国法院受理。欧盟近期也诞生了涉 AIGC 可版权性问题的第一案。金杜作为一家根植亚洲、服务世界的国际领先律师事务所，拥有广泛的资源和一支具备跨学科背景的专业律师团队，也是中国最早从事人工智能法律实务的律师事务所之一。金杜人工智能团队实力雄厚，在人工智能投融资法律服务、人工智能知识产权保护、人工智能数据合规、人工智能争议解决等领域具有丰富的经验。我们曾多次为人工智能领域的上下游企业及相关公司提供咨询服务、相关协议起草修改、监管执法应对、诉讼和交易服/003序言务，并且能够根据客户的具体需求，设计和实施定制化的“一站式”人工智能问题解决方案，为客户的商业战略服务，帮助客户实现有利的商业结果。同时，金杜还与全球各地的合作伙伴建立了紧密的合作关系，能够为客户提供全球范围内人工智能方面的法律支持。在日新月异的技术发展图景中，金杜人工智能团队始终保持对前沿领域的观察研究，为人工智能从业者提供了最新的实用建议，多次受邀撰写涉及生成式人工智能、大模型及机器学习等领域的专业文章，获得了业界的高度肯定与赞扬。本次发布的人工智能的法律探究，由金杜人工智能团队合力撰写，汇集了团队过去公开发表的文章，凝结了团队在人工智能领域的专业知识和丰富经验，旨在为读者提供人工智能领域法律问题的有益参考与实务参照。本期刊分为政策解读、法律问题探究、案例分析、AI 合规管理及境外的 AI 发展五大部分，涵盖了中美欧英多国人工智能立法解读、生成式人工智能训练数据合法性、AIGC 的可版权性、AIGC 知识产权侵权等热点问题，并且涉及教育、汽车、医疗、娱乐及金融等不同行业领域。除用中英双语解读国内外人工智能监管法规、剖析涉及人工智能的司法案例外，本期刊还分主题、分场景聚焦生成式人工智能服务提供者和使用者可能面临的科技伦理审查、知识产权、数据隐私及国家安全等风险和问题，并提出了针对性的防范措施。我们将以本期刊为起点，上下求索，精益求精，携手社会各界共同把握人工智能时代的新机遇。2024 年 4 月宋海燕金杜国际合伙人目录序言/002AI 政策解读The Latest Draft Measures on the Management of Generative AI/007Chinas First Regulation on the Management of Generative AI/013“卧看星河尽意明”全球首部生成式人工智能法规解读/016生成式人工智能服务安全基本要求要点解析/032生成式人工智能服务安全基本要求实务解析/050AI 法律实务AI-Generated Content and Copyright(China)/062AI 原生应用相关法律问题研究之一：AI+教育法律问题/079AI 原生应用相关法律问题研究之二：AI+医疗/091AI 原生应用相关法律问题研究之三：AI+游戏法律问题/103AI 原生应用相关法律问题研究之四：AI+虚拟数字人的法律问题/111相由 AI 生：浅谈深度伪造（Deepfake）与个人形象权/118论图片生成式 AIGC 平台在侵权纠纷中的角色与责任边界/125简析 AI 绘画著作权风险及规制建议/130AIGC：合规引领探索之路/137“侵权包赔”：AIGC 知识产权赔偿条款之对比分析/148Sora 或者 ChatGPT：AI 生成的内容究竟归谁/153ChatGPT 许可应用，知识产权和数据怎么看？/164浅析 ChatGPT 训练数据之合理使用/174谈 AIGC 的可版权性美国、欧盟、英国与中国之比较/183再论 AIGC 的可版权性中美司法实践剖析与比较/192AI 案例评析The First Digital Avatar Case in China/201生成式人工智能时代下：析美国联邦最高法院 Goldsmith 案中的合理使用新标准/205Chinas First Case on Copyrightability of AI-Generated Picture/212Chinas First Case on AIGC Output InfringementUltraman/217AI 合规管理千帆竞发，百舸争流AI 大模型在汽车行业应用合规风险管理/223大模型合规之现实初探/234大模型（Large Models）时代下资本市场赋能 AI 企业发展人工智能产业链企业境内 A 股上市重点法律问题之实证分析/250人工智能（AI）：科技伦理治理走起/265科技伦理（审查）委员会：如何设立？/277AI 安全与合规：维护国家安全的新疆域/285境内平台使用 ChatGPT？至少注意这些/306AI 赋能零售创新中的合规风险管理/311境外的 AI 发展天下事预则立，不预则废香港私隐公署开展人工智能合规检查，明确 AI 发展指引和提升产业信心/319从美国商务部云计算管控新规看美国 AI 监管新趋势/325全球人工智能治理大变局之欧盟人工智能治理监管框架评述及启示/335路未央，花已遍芳欧盟人工智能法案主要监管及激励措施评述/374历时三年，欧盟人工智能法案通过欧洲议会表决/404AI 政策解 读AI 政策解读/007The Latest Draft Measures on the Management of Generative AI宋海燕 陈佩龄In response to the rapid development of Generative AI services in the past few months,especially the launch of ChatGPT since last December,on April 11,2023,Chinese Cyberspace Administration issued a draft policy Measures on the Management of Generative Artificial Intelligence Services(Draft AI Policy),soliciting feedback from the general public with respect to the regulation and management of Generative AI services.The Draft AI policy addressed a few important topics surrounding AI and AIGC,including(1)the definition of Generative AI and to what extend this Draft AI Policy should apply;(2)whether text and data mining(TDM)might constitute copyright infringement in training AI;(3)misinformation risks associated with AIGC;(4)data privacy issue;and last but not least(5)security evaluation of AI service provider and its filing procedure etc.I.Generative AI and the Scope of this Draft AI PolicyTo start with,Generative AI is defined in the Draft AI Policy as a technology that generates text,images,soundvideo,codes and other contents based on algorithms,models,and rules.Article 2 of the Draft AI Policy stipulates that,regardless whether a Generative AI service or product is developed or used in China,as long as it is targeting at consumers located within China,that AI service or product provider will be subject to the Draft AI Policy.II.TDM Issue Training AIUnlike the UK,EU,Japan or Singapore that allows text and data mining exception in training AI,the Draft AI Policy explicitly states in Article 7 that,the AI product/service provider shall be responsible for the legality of the source of pre-training and optimization training data,thus requiring the AI product/service provider to obtain clearance from IP rights holders prior to using such copyrighted works to train AI.Given the limited few statutory categories of fair use exceptions in Chinese Copyright Law and the mixed results of copyright fair use cases in the recent Chinese case law,the use of copyrighted works to train AI(i.e.,TDM)still faces big challenges of copyright infringement suits.III.MisinformationChinese legislators are apparently well aware of the risks associated with AIGC,in terms of 人工智能的法律探究/008potential discrimination issue,misinformation and violation of right of publicity etc.Specifically,the Draft AI Policy(Articles 4,7 and 12)requires AI product/service providers to apply technical means to avoid the generation of illegal content,false information,and discriminatory content as much as possible.IV.Data PrivacyIn response to the data privacy concerns associated with generative AI,the Draft AI Policy addresses the issue.Specifically,it emphasizes the obligation of AI product/service providers to protect users personal information and privacy.Article 11 of the Draft AI Policy sets a limit on information retention for generative AI products/services,stipulating that providers shall not illegally retain input information that can infer the users identity,shall not draw portraits based on the users input information and usage,and shall not provide the users input information to others.Article 13 of the Draft AI Policy also requires AI product/service providers to establish a mechanism for receiving and handling user complaints,stating that measures shall be taken to stop such generation and prevent enduring hazard when an infringement is discovered.V.Security Evaluation and Filing ProcedureArticle 6 of the Draft AI Policy requires that any release of AIGC products must undergo a security evaluation and be filed with the competent authorities.Article 6 stipulates that Before providing services to the public with generative artificial intelligence products,it shall report to the National Cyberspace Administration for security assessment in accordance with the Regulations on the Security Assessment of Internet Information Services with the Attributes of Public Opinion or the Ability of Social Mobilization,and go through the procedures of algorithm filing,alteration and cancellation in accordance with the Regulations on the Management of Algorithmic Recommendations in Internet Information Services.ConclusionIt should also be noted that the Draft AI Policy is silent on the copyrightability of AIGC,i.e.,whether AI generated content should be entitled to copyright protection,which is traditionally reserved for human authors.It is unclear whether Chinese Copyright Office will issue a separate policy statement on the copyrightability of AIGC,if it is not to be covered under this Draft AI Policy.In view of the recent two cases1 on AIGC,we feel that Chinese attribute on the copyrightability of AIGC might be similar to the copyright policy statement2 issued by the U.S.Copyright Office on March 16,2023.This Draft AI Policy is one of the recent legislative efforts that Chinese government made to regulate the development of AI technology and services.In the Regulations on the Management of Algorithmic Recommendations in Internet Information Services and the 1 See:北京互联网法院(2018)京 0491 民初 239 号；北京知识产权法院(2019)京 73 民终 2030 号;广东省深圳市南山区人民法院（2019）粤 0305 民初 14010 号。2 Copyright Registration Guidance:Works Containing Material Generated by Artificial Intelligence.https:/www.federalregister.gov/documents/2023/03/16/2023-05321/copyright-registration-guidance-works-containing-material-generated-by-artificial-intelligence.last visit：4/17/23.AI 政策解读/009Regulations on the Administration of Deep Synthesis Internet Information Services issued in 2022,Chinese government also addressed the issues of deep fake and data privacy associated with AI development.The Measures for the Administration of Generative Artificial Intelligence Service(Draft for comments)Article 1 For the purpose of promoting the sound development and standardized application of generative artificial intelligence,the Measures are formulated in accordance with the Cybersecurity Law of the Peoples Republic of China,the Data Security Law of the Peoples Republic of China,the Personal Information Protection Law of the Peoples Republic of China and other laws and administrative regulations.Article 2 The Measures shall apply to those who develop and utilize generative artificial intelligence products to provide services to the public within the territory of the Peoples Republic of China.Generative artificial intelligence as mentioned in the Measures refers to the technology of generating text,image,sound,video,code and other contents based on algorithms,models and rules.Article 3 The State supports independent innovation,popularization and application of artificial intelligence algorithms,frameworks and other basic technologies as well as international cooperation,and encourages priority to be given to the use of secure and trustworthy software,tools,calculations and data resources.Article 4 The provision of generative artificial intelligence products or services shall comply with the requirements of laws and regulations,observe social ethics,public order and good morals,and meet the following requirements:(1)The content generated by generative artificial intelligence should demonstrate the socialist core values.It must not contain content such as subverting state power,overthrowing the socialist system,inciting secession of the country,undermining national unity,promoting terrorism and extremism,promoting ethnic hatred and discrimination,violence,obscene and pornography,false information,and content that may disturb economic and social order.(2)In the process of algorithm design,training data selection,model generation and optimization,and service provision,measures should be taken to prevent discrimination based on race,ethnicity,belief,nationality,region,sex,age,occupation,etc.(3)Respect intellectual property rights and business ethics,and shall not use algorithms,data,platforms and other advantages to carry out unfair competition.(4)The content generated by generative artificial intelligence shall be authentic and accurate,measures should be taken to prevent the generation of false information.人工智能的法律探究/010(5)Respect the legitimate interests of others,prevent injury to the physical and mental health of others,prevent damage to the right of likeness,right of reputation and personal privacy,and the infringement of intellectual property rights.It is prohibited to illegally obtain,disclose or use personal information,privacy and business secrets.Article 5 Organizations and individuals(hereinafter referred to as providers)that use generative artificial intelligence products to provide services such as chat,text,image and sound generation,including supporting others to generate text,image and sound by providing programmable interfaces,shall assume the responsibilities of producers of the content generated by such products;Where personal information is involved,it shall bear the statutory responsibility of the person handling personal information and fulfill the obligation of personal information protection.Article 6 Before providing services to the public with generative artificial intelligence products,it shall report to the National Cyberspace Administration for security assessment in accordance with the Regulations on the Security Assessment of Internet Information Services with the Attributes of Public Opinion or the Ability of Social Mobilization,and go through the filing,alteration and cancellation procedures for algorithm in accordance with the Regulations on the Management of Algorithmic Recommendations in Internet Information Services.Article 7 Providers shall be responsible for the legality of pre-training and optimized training data sources of generative AI products.The pre-training and optimized training data used for generative AI products shall meet the following requirements:(1)It should comply with the requirements of the Cybersecurity Law of the Peoples Republic of China and other laws and regulations;(2)The contents should not infringe intellectual property rights;(3)If the data contains personal information,consent of the subject of personal information shall be obtained or other circumstances prescribed by laws and administrative regulations shall be complied with;(4)The authenticity,accuracy,objectivity and diversity of data should be ensured;(5)Other regulatory requirements of the Cyberspace Administration of China on generative artificial intelligence services.Article 8 When manual labeling is used in the development of generative artificial intelligence products,providers shall make clear,specific and operable labeling rules in accordance with the requirements of the Measures,conduct necessary training for labeling personnel,and verify the correctness of labeling contents by sampling.Article 9 The provision of generative artificial intelligence services shall require users to provide AI 政策解读/011real identity information in accordance with the provisions of the Cybersecurity Law of the Peoples Republic of China.Article 10 Providers shall clarify and disclose the applicable groups,circumstances,and uses of its services,and take appropriate measures to prevent users from excessively relying on or indulging in the generated content.Article 11 In the process of providing services,providers shall undertake the obligation to protect the input information and usage records of users.Providers shall not illegally retain input information that can infer the identity of the user,shall not draw portraits based on the users input information and usage,and shall not provide the users input information to others,except as otherwise provided for by any law or regulation.Article 12 Providers shall not generate discriminatory content based on the users race,nationality,sex,etc.Article 13 Providers shall establish a mechanism for receiving and handling users complaints and promptly handle requests for correction,deletion or shielding of their personal information;When generated text,image,sound or video is found to infringe upon the right of likeness,right of reputation,personal privacy and trade secrets of others,or fail to meet the requirements of the Measures,measures shall be taken to