类ChatGPT系统的刑事风险与治理路径
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D924.7

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上海市哲学社会科学规划课题“预防性刑事立法及其限度研究”(2022EFX003)


Criminal risk and governance path of ChatGPT-like system
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    摘要:

    “类ChatGPT系统”,是指以ChatGPT为代表的生成式预训练和算法语言转换相结合的内容生成式人工智能(AIGC)。类ChatGPT系统在推动人类社会发展的同时,也带来相应刑事风险。类ChatGPT系统为了完成生成某一内容的指令而获取相应信息时,容易脱离人类控制与干预,有可能会不当侵犯其他数据库的保护措施,从而侵犯其他数据的保密性。同时,类ChatGPT系统生成违法犯罪信息,或使用者不当利用类ChatGPT系统所生成的信息,也可能会涉及相应的刑事风险。但是,根据类ChatGPT技术的发展现状,其尚不具有独立自主的意识和意志,不可能作为犯罪主体,其本质属性仍是人类的工具。刑法规制类ChatGPT系统犯罪,也并非规制类ChatGPT系统所实施的犯罪行为,而是规制类ChatGPT系统背后的人类过错。在类ChatGPT系统的研发和使用过程中,为有效治理技术风险,使技术“向善”,研发者应当履行保证人义务,尽最大可能预测、识别类ChatGPT系统可能引发的刑事风险,并及时采取有效策略化解危机。使用者在使用类ChatGPT系统的过程中,不能故意诱导其违反道德伦理或法律法规输出违法犯罪内容。如果研发者未尽最大可能预见并阻止类ChatGPT系统输出违法犯罪信息,或者使用者故意诱导类ChatGPT系统输出违法犯罪信息,可能需要承担相应的刑事责任。从宏观层面而言,刑法在治理类ChatGPT系统涉及的刑事风险时,始终应当坚持自身的谦抑性,如果前置法律法规能够有效治理类ChatGPT系统所引发的风险,刑法的“触角”就应适度后移,避免因刑法规制手段的泛化使用而对技术创新发展形成阻碍。从微观层面而言,针对类ChatGPT系统刑事风险的内容与特征,需构建治理类ChatGPT系统刑事风险的分级治理机制:通过类ChatGPT系统研发企业制定与执行自治计划,探索能够有效预防类ChatGPT系统刑事风险的治理策略;提高行政监管力度,将科技监管手段融入行政监管体系,利用行政手段降低刑事风险实际发生的几率;刑事治理手段的使用必须严格遵循前置法律法规失效的前提条件,对行为刑事违法性的判断要在罪刑法定原则框架内进行,不能以行政违法性判断代替刑事违法性判断。

    Abstract:

    ChatGPT-like system refers to the content-generating artificial intelligence (AIGC) represented by ChatGPT, which combines generative pre-training with algorithmic language conversion. ChatGPT-like system not only promotes the development of human society, but also brings criminal risks. When ChatGPT-like systems obtain corresponding information to generate certain content, it is easy to break away from human control and intervention and improperly infringe on the confidentiality of other data. At the same time, if the content generated by ChatGPT-like system contains illegal and criminal information, or users improperly use the information generated by ChatGPT-like system, it may also involve corresponding criminal risks. However, ChatGPT-like system does not have the qualification of the subject of criminal responsibility, that is, the subject that may ultimately bear criminal responsibility is not ChatGPT-like system, but the developer or user related to it. In the development and use of ChatGPT-like system, to prevent technical risks and make the technology "good", the developers should fulfill the obligations as guarantors, foresee the possible harmful results caused by ChatGPT-like system as much as possible, and take corresponding countermeasures to prevent them. Users should not intentionally induce ChatGPT-like system to break through the ethical and legal bottom line and output illegal and criminal information. If the developer fails to foresee and prevent ChatGPT-like system from outputting illegal and criminal information to the greatest extent, or the user intentionally induces ChatGPT-like system to output illegal and criminal information, he shall bear corresponding criminal responsibility. From the macro level, when regulating criminal risks involved in ChatGPT-like system, the criminal law principle of modesty should be observed to avoid hindering technological innovation and development. From the micro level, in view of the content and characteristics of criminal risks in ChatGPT-like systems, it is necessary to construct a hierarchical governance mechanism: develop and implement compliance plans through ChatGPT-like system research and development enterprises, and explore preventive governance strategies for the criminal risks; strengthen administrative supervision, and integrate scientific and technological supervision means into administrative supervision system, to reduce the possibility of criminal risks; the use of criminal governance measures must strictly adhere to the precondition that prior legal and regulatory provisions are ineffective, the assessment of criminal illegality must be conducted within the framework of the principle of legality in criminal law, and administrative illegality should not be used to replace criminal illegality.

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引用本文

房慧颖.类ChatGPT系统的刑事风险与治理路径[J].重庆大学学报社会科学版,2024,30(6):263-272. DOI:10.11835/j. issn.1008-5831. fx.2023.11.001

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  • 在线发布日期: 2025-02-13
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