《人工智能技术伦理管理服务办法（试行）》（征求意见稿）

Article 1[Purpose and Basis] TheseMeasureshave been formulated in accordance with theLaw of the People’s Republic of China on Progress of Science andTechnology,1theOpinions on Strengthening the Governance of Science and Technology Ethics,2and the(Trial) Measures for Scientific and Technological Ethics Reviews3(hereinafter referred to as theEthics Measures), and other laws, regulations,and relevant provisions, in order to regulate the ethical governance of artificialintelligence (AI) scientific and technological (S&T) activities, promote fair, just, Article 2[Scope of Application] The AI S&T activities referred to in these Measuresare those AI-related S&T activities conducted within the People’s Republic of China4that may pose ethical risks and challenges in areas such as human health,human dignity, the ecological environment, public order, and sustainable development,including AI scientific research and technology development, as well as other S&T Article 3[Ethical Principles] Those carrying out AI S&T activities shall incorporateS&T ethics requirements throughout the entire process, and shall adhere to the AI S&Tethics principles of promoting human well-being, respecting the right to life, respecting Chapter 2Support and Promotion of AI Technology Ethics Article 4[Standards Construction] A system of AI technology ethics standards shall be established and improved; the formulation of international, national, industry,and group standards for AI technology ethics shall be promoted; and theestablishment of platforms for international standardization exchange and cooperation Article 5[Service System Mechanisms] Development of an AI technology ethicsservice system shall be promoted; service provision shall be strengthened in areassuch as risk monitoring and early warning, detection and assessment, certification, andconsultation; the capabilities of enterprises in technology R&D and prevention of AI Article 6[Encouraging Innovation] Institutes of higher education, researchinstitutions, medical and health institutions, enterprises, and S&T-related socialorganizations shall be encouraged to engage in cutting-edge technological innovationand cross-disciplinary research in thefield of AI technology ethics. Technologicalinnovation in AI technology ethics shall be supported, and the use of technical means Article 7[Propaganda and Education] Relevant work units (单位) shall be guidedto conduct public awareness campaigns and education on AI technology ethics. Therole of S&T ethics-related social organizations in such efforts shall be fully leveraged, Article 8[Talent Cultivation] Institutes of higher education, research institutes,medical and health institutions, enterprises, and S&T-related social organizations shallbe supported in conducting education and training on AI technology ethics. The Chapter 3Implementing Entities Article 4[Entities] Work units that engage in AI S&T activities, including institutesof higher education, scientific research institutions, medical and health institutions, andenterprises, shall be the entities responsible for AI technology ethics managementservices within their respective work units. Work units with the necessary prerequisites Article 10[Duties of Committees and Committee Members] A Committee’scharter and composition, and the duties and obligations of its members, shall be inaccordance with Articles 5 through 8 of theEthics Measures. The composition of a Article 11[Ethics Service Centers] Local and relevant main oversight departments(主管部门) may establish specialized AI technology ethics service centers (hereinafterreferred to as “Service Centers”), taking into account actual conditions and relying onrelevant work units. Service Centers will accept commissions from other work units to Chapter 4Work Procedures Section 1Application and Acceptance Article 12[Application] For AI S&T activities falling within the scope indicated in the Committee of their work unit. If the organization has not established a Committeeor if the Committee is unable to meet the requirements for AI technology ethicsreviews, the person in charge shall apply to the Service Center commissioned by thework unit to conduct the AI technology ethics review. If the person in charge is not (1) The AI S&T activity proposal, including the research background,objectives, plan, and implementation steps; documentation of the lawful capabilities(合法资质) of the relevant institutions involved; personnel details; funding sources; the (2) An S&T ethical risk assessment and risk prevention and control plan forthe AI S&T activity, including an assessment of potential S&T ethical risks arising fromthe intended use, misuse, and abuse of AI technology, as well as plans for the (3) A written commitment to comply with AI technology ethics and research Article 13[Acceptance Notification and Selection of Procedures] The Committeeor Service Center shall decide whether to accept the application based on thesubmitted mate