生成式人工智能刑事风险下的原因力理论重塑
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西南政法大学 法学院,重庆 401120

作者简介:

陈伟,西南政法大学法学院二级教授,博士研究生导师,重庆市新型犯罪研究中心执行主任,新疆克拉玛依市中级人民法院职务犯罪研究中心研究员
向珉希(通信作者),西南政法大学刑法学博士研究生,Email:947857519@qq.com。

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D924.1

基金项目:

2025年度重庆市教委科学技术研究计划重点项目“涉案虚拟货币处置问题研究”(KJZD-K202500301)


Reshaping the causative force theory against the criminal risks of generative artificial intelligence
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School of Law, Southwest University of Political Science and Law, Chongqing 401120, P.R.China

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    摘要:

    生成式人工智能主体建基于较为复杂的神经网络技术,通过对预训练数据及人类反馈数据的深度学习,在生成过程和终端外显上展现出前所未有的类人属性与不可解释性。刑法视域下,生成式人工智能所引发的风险可以细分为:在没有外界行为介入的情况下由生成式人工智能主体自身创造的内源性刑事风险,以及由外界因素所诱发的外源性刑事风险两个层面。对生成式人工智能之内源性、外源性风险的刑法介入均需要审慎应对,应当在统筹发展和安全的价值权衡中奠定刑法的价值取向。积极刑法观或者消极刑法观的绝对性偏执均有其局限性,而应秉持更为适宜的“适应性刑法观”,即在坚守刑法为保障法立场的基础上,反对贸然针对生成式人工智能所诱发之刑事风险进行立法规制,避免因为过度扩大犯罪圈而遏制数字经济时代的发展红利,同时亦要不断关注生成式人工智能的迭代变化,对传统刑法理论进行积极调整以应对生成式人工智能可能导致的现实危害。在工具论与主体论的争鸣中,应明确纯粹工具论与纯粹主体论观念在界定生成式人工智能属性时的失准,现阶段既不应过于夸大其自主性程度,以独立性刑事责任主体视之,亦不能固步自封地按照传统观点将其作为被动工具对待。在“适应性刑法观”的正确引导下,面对传统刑法因果关系理论在应对生成式人工智能刑事风险时所呈现出的“乏力”状态,通过对互动参与之下的引起与被引起关系予以深入剖析,应当强调原因力理论在传统刑法因果关系理论中的重要地位,揭示生成式人工智能刑事风险冲击下、刑法归责进程中原因力关系的具体表现。在此基础上,借助进一步拓宽原因力的接受主体范围、将行为关联纳入原因力判断范畴、区分原因力的程度及种类三个着力点,通过数智时代下的刑法理论之革新塑造,对生成式人工智能的相关触刑风险主体之行为、生成式人工智能之运行以及所造成的危害结果间的因果关系等问题进行适应性的客观解释,奠定生成式人工智能动态发展中的刑法规制之理论基础,妥善应对生成式人工智能带来的刑法归责冲击。

    Abstract:

    The subject of generative artificial intelligence is built on relatively sophisticated neural network technology. Driven by the deep learning of pre-trained data and human feedback data, it exhibits unprecedented human-like attributes and inexplicability in both its generation process and terminal manifestations. From the perspective of criminal law, the risks posed by generative artificial intelligence can be subdivided into two dimensions: endogenous criminal risks created by generative artificial intelligence subject itself in the absence of external behavioral intervention, and exogenous criminal risks induced by external factors. Criminal law intervention in both the endogenous and exogenous risks of generative artificial intelligence demands a prudent response, and the value orientation of criminal law should be established on the basis of weighing the values of balancing development and security. An absolute bias toward either the positive criminal law view or the negative criminal law view is inherently limited. Instead, we should adhere to the more appropriate adaptive criminal law view, that is, on the premise of upholding the position of criminal law as a guarantee law, we oppose hasty legislative regulation of the criminal risks induced by generative artificial intelligence to avoid curbing the development dividends of the digital economy era due to excessive expansion of the scope of crimes. Meanwhile, we must keep a close watch on the iterative evolution of generative artificial intelligence and actively adjust traditional criminal law theories to address the potential negative harms it may cause. In the debate between instrumentalism and subjectivism, it is necessary to clarify the inaccuracy of pure instrumentalism and pure subjectivism in defining the attributes of generative artificial intelligence. At the current stage, we should neither overstate its degree of autonomy by treating it as an independent subject of criminal liability, nor adhere to traditional views rigidly by regarding it merely as a passive tool. Under the correct guidance of the adaptive criminal law view, facing the inadequacy of the traditional criminal law causality theory in responding to generative artificial intelligence, we should conduct an in-depth analysis of the causal relationships arising from interactive participation, emphasize the pivotal position of the causative force theory in the traditional criminal law causality theory, and reveal the specific manifestations of causative force relationships in the process of criminal law imputation amid the impact of criminal risks posed by generative artificial intelligence. On this basis, by further expanding the scope of subjects bearing causative force, incorporating behavioral correlation into the scope of causative force judgment, and distinguishing the degrees and types of causative force, we should conduct an adaptive and objective interpretation of the causal relationships between the acts of relevant subjects involved in criminal risks of generative artificial intelligence, the operation of generative artificial intelligence, and the harmful consequences thereby caused, through the innovation and reconstruction of criminal law theories in the digital and intelligent era. This lays a theoretical foundation for the dynamic criminal law regulation of generative artificial intelligence and properly addresses the challenges posed by generative artificial intelligence to criminal law imputation.

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陈伟,向珉希.生成式人工智能刑事风险下的原因力理论重塑[J].重庆大学学报社会科学版,2026,32(2):239-252. DOI:10.11835/j. issn.1008-5831. fx.2026.03.003

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  • 在线发布日期: 2026-05-27
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