摘要
目前我国科技伦理审查实践存在审查形式化、虚置化等现实问题,并且科技伦理治理固有的"软治理"特征也使得该制度难以实现预期的制度目标.实践中伦理失控风险主要表现为既有的科技伦理审查制度难以有效控制人工智能科技伦理风险,造成这一现象的根源在于未能明确人工智能科技伦理审查制度的功能定位,导致在审查范围、审查标准、审查程序等方面存在模糊性问题.该审查制度虽然属于典型的风险治理范式,但其以非强制性的社会伦理规范为制度基础,审查结果属于伦理道德层面的判断,其性质属于科技创新活动的合理性审查.基于此种定位,应当适当区分科技伦理委员会与科技伦理审查委员会的定位差异,仅限于涉及敏感研究领域才强制要求被审查对象组建科技伦理审查委员会,并将审查结果与安全风险评估结果一并作为采取特定治理措施的风险依据.
Abstract
At present,there are practical problems such as formalization and virtualization in the practice of science and technology ethics review in my country,and the inherent"soft governance"char-acteristics of science and technology ethics governance also make it difficult for the system to achieve the expected institutional goals.In practice,it is manifested that the existing science and technology ethics review system is difficult to effectively control the"out of control"phenomenon of artificial intelligence science and technology ethics risks.The root cause of this phenomenon is the failure to accurately under-stand the functional positioning of the AI science and technology ethics review system,and there are am-biguities in the scope of review,review standards,and review mechanisms.First,the operation mecha-nism of the Science and Technology Ethics Review Committee and its own legal nature are always in doubt.Second,there is no consensus on how to improve the governance effect of the"weak constraint"effect of science and technology ethics review through the rule of law.Third,whether the formalization of science and technology ethics review can be solved through legal responsibility is worth discus-sing.Although this mechanism is a typical risk governance mechanism,it is still based on non-mandatory social ethical norms.The review results belong to the judgment of the ethical level,and it is more appro-priate to understand it as a rationality review of scientific and technological innovation activities.In terms of risk identification,the realization of the functions of the artificial intelligence science and technology ethics review system needs not only to be improved in terms of review items and review processes,but al-so to be supplemented in the feedback and rectification of review results.In terms of risk prevention,the artificial intelligence science and technology ethics review system can target unexpected artificial intelli-gence science and technology innovation activities and discover technical application methods that may vi-olate ethics and damage personal dignity in the early stage.In terms of rationality judgment,the current artificial intelligence science and technology ethics review mainly solves the potential science and technol-ogy ethics risks at the technical application level and judges whether the corresponding technical applica-tion methods are reasonable.Based on this positioning,the positioning differences between the Science and Technology Ethics Committee and the Science and Technology Ethics Review Committee should be appropriately distinguished.Only when sensitive research fields are involved,the subject of the review is required to form a Science and Technology Ethics Review Committee,and the review results and security risk assessment results are used as the risk basis for taking specific governance measures.The application of science and technology ethics review should involve three situations.The first situation involves new ways of applying artificial intelligence technology;the second situation involves scientific and technological innovation activities that involve significant abnormal scientific and technological ethical risks;and the third situation involves gatekeeping.Scientific and technological innovation and application activities engaged in by high-tech enterprises with human status.
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