Friday, July 14, 2023

生成式人工智能服务管理暂行办法 [Interim Measures for the Management of Generative Artificial Intelligence Services] Versus FTC Civil Investigation Demand Against Open AI and ChatGPT

 

Pix Credit here (EU AI Act)

It is always interesting to watch the ways in which U.S. and Chinese administrative trajectories respond to similar challenges that move closer to the top of items of regulatory interest to their respective government organs. The major point of interest, beyond substantive and methodological approaches, is to consider the way that these systems manifest managerial and guidance authority within their respective political-legal orders. Even more important may be the way that responses appear occur at about the same time.

Recently issues of generative AI has become a matter of interest globally, but with specific manifestations in the US and China. In the US, the approach has been administrative-regulatory and grounded in the use of the public administrative apparatus to manage markets driven behavior within principles based frameworks.  That, in turn, has specifically focused on a widely reported civil investigation demand (CID) initiated by the Federal Trade Commission (FTC File 232-3044) and directed against OpenAI and its now quite famous ChatGPT.

Pix Credit here
The company behind the popular artificial intelligence tool ChatGPT is being investigated by the Federal Trade Commission (FTC) over potentially engaging in deceptive privacy practices or harming consumers, The Washington Post reported Thursday. The agency is requesting OpenAI, the company behind ChatGPT, send over records about how it addresses risks related to its AI models, according to a 20-page memo sent to the company reported by the Post. The expansive request from the FTC represents the latest — and seemingly most direct — regulatory threat to the company since it launched ChatGPT in November. The FTC asked OpenAI to provide detailed descriptions of all complaints it had received of products making “false, misleading, disparaging or harmful” statements about people. The agency also asked for records related to a security incident the company disclosed in March that allowed some users to see payment-related information, the Post reported. (FTC probing company behind ChatGPT over data security, false information: report, The Hill 13 July 2023).

This regulatory flank attack was focused on consumer production and security for public facing interactions between generative AI and socio-economic activity. By managing market interventions, leveraged by the herd instinct of market participants in the face of regulatory risk, the effect was meant to produce shadow regulation without the bother of regulation--application of an interpretation, then is mre efficient than regulatory modification, especially when applied against a leading market actor. This regulatory flank attack is undertaken even as the US Congress considers direct legislative (and administrative-regulatory) measures  in the politically charged run-up to the 2024 presidential election (Schumer unveils new AI framework as Congress wades into regulatory space ("Schumer's SAFE Innovation framework, unveiled Wednesday, outlines four pillars that he hopes will guide future bipartisan collaboration on legislation governing AI: security, accountability, protecting our foundations and explainability")).

In China, the approach has been directly regulatory but embedded within systems of public oversight and management through interlocking systems of administrative discretion bounded by frameworks of coordination and the specific objectives of these regulatory measures.  That, in turn, has been spcifically manifested in the circulation by Chinese authorities of 生成式人工智能服务管理暂行办法 [Interim Measures for the Management of Generative Artificial Intelligence Services], a coordinated collaborative effort among a significant number of critical regulatory actors affected by or managing generative AI in China. This comes after circulation of a draft in April that might have been viewed as more onerous (see discussion and text of April draft HERE).

Its overall object (the devil is in the detail of course) is to "promote the healthy development and standardized application of generative artificial intelligence, safeguard national security and social public interests, and protect the legitimate rights and interests of citizens, legal persons, and other organizations" (Interim Measures supra Art. 1).

China published measures on Thursday to manage its booming generative artificial intelligence (AI) industry, softening its tone from an earlier draft, and said regulators would seek to support development of the technology. The rules, set to take effect on Aug. 15 and which Beijing described as "interim", come after authorities signalled the end of their years-long crackdown on the tech industry, whose help they seek to spur an economy recovering more slowly than expected after the scrapping of COVID-19 curbs. Analysts said they were far less onerous than measures outlined in an April draft, and that the final rules also took care to stress that China wanted to be supportive of the technology while at the same time ensure security. The Thursday statement from the Cyberspace Administration of China (CAC) said only providers who wanted to offer services to the public would need to submit security assessments, suggesting that firms working on enterprise-facing products would be given leeway. (China says generative AI rules to apply only to products for the public)

This regulatory direct intervention was focused on consumer production and security for public facing interactions between generative AI and socio-economic activity.

The Interim Measures is divided into 5 chapters (1) Chapter 1 (Articles 1-4) General Provisions; (2) Chapter 2 (Articles 5-8) Technology Development and Governance; (3) Chapter 3 (Articles 9-15) Service Specifications; Chapter 4 (Articles 16-21); and Chapter 5  (Articles 22-24) Supplementary Provisions. Some provisions of interest are suggested:

(1) Chapter 1 (Articles 1-4) General Provisions; 

The scope of the Interim Measures is formally limited to "the use of generative artificial intelligence technology to provide services for generating text, pictures, audio, video, and other content to the public within the territory of the People's Republic of China" (Ibid., art. 2). While the meaning of public facing may be ambiguous at its edges, what is clear is that the Interim Measures appears to take a functionally differentiated approach to definition.  Thus, Article 2 also states: "Industry organizations, enterprises, educational and scientific research institutions, public cultural institutions, and relevant professional institutions that develop and apply generative artificial intelligence technology, but do not provide generative artificial intelligence services to the domestic public, shall not be subject to the provisions of these Measures." In addition more specific measures touching on "news publishing, film and television production, and literary and artistic creation" will take precedence over the Interim Measures.

It may be important to note that the regulatory approach is one of balancing among principles of prevent-mitigation-remedy, "development and security, promoting innovation and combining law-based governance" (Article 3). Article 4 retains its objectives focus to align generative AI with the core values of the political economic model in China, as a values based, moral, economic, social, cultural, and political project. The objectives are both quite pointed at a general level but quite ambiguous (as is usual in legislation of this kind) in its specific application, providing, as is also usual, a broad scope of discretion to administrators and their regulatory organs.   Article 5 speaks to the twin objectives of improving transparency the accuracy and reliability of generated content.

 (2) Chapter 2 (Articles 5-8) Technology Development and Governance; 

 This Chapter provides objectives to be used by state organs in managing the development and deployment of generative AI in ways that are aligned with the poetical/policy objectives of the state under the leadership of the CPC. Articles 5-6 are particularly interesting in that respect.  Article 7 then turns to providers. It sets out a n objectives framework in developing ans using generative AI; subject, of course of state facing accountability and guidance. For administrative  purposes it ought to be kept in mind that Articles 7-8 might be read as specific application of the more general framework objectives of Article 4.

(3) Chapter 3 (Articles 9-15) Service Specifications; 

 Chapter 3 provides more detail allocation of responsibility, obligation, and liability aimed at Generative artificial intelligence service providers. These include the requirement that providers "sign a service agreement with the generative artificial intelligence service user (hereinafter referred to as the user) who registers for its service, clarifying the rights and obligations of both parties" (Article 9); disclose core data and "take effective measures to prevent minor users from excessively relying on or indulging in generative" (Article 10); protect use input information and use records, refrain from collecting "unnecessary personal information" or  illegally retaining personally identifiable data input information and use records, and ensure that user information is not provided to others (Article 11). Providers have a duty to discover and remove illegal content (Article 14), and provide adequate complaint mechanisms (Article 15).

Chapter 4 (Articles 16-21)

 This chapter clarifies certain regulatory and administrative rules and structures.  Though, as is usual, enforcement is a public and administrative function, mechanisms must be provided to permit users to "complain and report to the relevant competent authorities" (Article 18). Article 19 empowers "relevant competent departments carry out supervision and inspection of generative artificial intelligence services." Providers may be expected to be subject to multiple inspections and supervision where administrative authority overlaps.  But that is not clear in the statutes.  Generally practice standing rules will provide a measure of coherence. Article 20 is of particular interest to foreigners:
Where the provision of generative artificial intelligence services originating from outside the territory of the People's Republic of China does not comply with laws, administrative regulations, and the provisions of these Measures, the national network information department shall notify relevant agencies to take technical measures and other necessary measures to deal with them.

The language is a bit oracular but it is likely written to provide a substantial measure of flexibility in applying countermeasures against foreigners penetrating Chinese internet and generative AI spaces. Article 21 than provides the framework for the imposition of civi and criminal measures.

Chapter 5  (Articles 22-24) Supplementary Provisions.

Article 22 provides definitions of key terms: Generative artificial intelligence technology; Generative artificial service providers; and Users of generative artificial intelligence services. Article 23 speaks to licensing requirements and requires foreign investors in generative AI comply with the provisions of laws and administrative regulations related to foreign investment. Article 24 specifies the effective date of the Measures. .

What makes these US and Chinese approaches particularly interesting are their similarities and differences. Both appear to be focused on public consumption of AI products, and their overall effects on the nature and character of social, political and economic relations. Both appear to reserve other regulatory spaces for the use of AI elsewhere in social operations.  But while the US engages in indirect regulatory measures--using the disciplinary strictures and interpretive flexibility built into the mandate of the FTC, the Chinese have sought direct legislation.  And yet in both cases administrative discretion is accorded a central role. In the case of the US, administrative discretion through the mechanics of enforcement drive behavior accountability that may eventually be encased in legislation; in China hard law produces a structure for the broad exercise of discretion by regulatory organs.

The text of in the original Chinese and a crude English translation follows below.

 

Interim Measures for the Management of Generative Artificial Intelligence Services
Netcom China 2023-07-13 00:01 Posted on Beijing


State Internet Information Office
National Development and Reform Commission, People's Republic of China
Ministry of Education of the People's Republic of China
Ministry of Science and Technology of the People's Republic of China
Ministry of Industry and Information Technology of the People's Republic of China
Ministry of Public Security of the People's Republic of China
State Administration of Radio and Television
make


No. 15

The "Interim Measures for the Management of Generative Artificial Intelligence Services" has been reviewed and approved at the 12th office meeting of the State Internet Information Office in 2023 on May 23, 2023, and has been approved by the National Development and Reform Commission, the Ministry of Education, the Ministry of Science and Technology, the Industry and the The Ministry of Information Technology, the Ministry of Public Security, and the State Administration of Radio and Television agree, and it is hereby promulgated and will come into force on August 15, 2023.

Zhuang Rongwen, director of the State Internet Information Office
Zheng Shanjie, Director of the National Development and Reform Commission
Minister of Education Huai Jinpeng
Minister of Science and Technology Wang Zhigang
Minister of Industry and Information Technology Jin Zhuanglong
Minister of Public Security Wang Xiaohong
Cao Shumin, director of the State Administration of Radio and Television
July 10, 2023


_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _


Interim Measures for the Management of Generative Artificial Intelligence Services

Chapter I General Provisions

Article 1 In order to promote the healthy development and standardized application of generative artificial intelligence, safeguard national security and social public interests, and protect the legitimate rights and interests of citizens, legal persons, and other organizations, according to the "People's Republic of China Cybersecurity Law", "People's Republic of China Data Security Law, "Personal Information Protection Law of the People's Republic of China", "Science and Technology Progress Law of the People's Republic of China" and other laws and administrative regulations, formulate these measures.

Article 2 These Measures apply to the use of generative artificial intelligence technology to provide services for generating text, pictures, audio, video, and other content to the public within the territory of the People's Republic of China (hereinafter referred to as generative artificial intelligence services).

If the state has other regulations on the use of generative artificial intelligence services to engage in activities such as news publishing, film and television production, and literary and artistic creation, those regulations shall prevail.
Industry organizations, enterprises, educational and scientific research institutions, public cultural institutions, and relevant professional institutions that develop and apply generative artificial intelligence technology, but do not provide generative artificial intelligence services to the domestic public, shall not be subject to the provisions of these Measures.

Article 3 The state adheres to the principles of attaching equal importance to development and security, promoting innovation and combining law-based governance, adopts effective measures to encourage the innovation and development of generative artificial intelligence, and implements inclusive prudence and classified and hierarchical supervision of generative artificial intelligence services.

Article 4 The provision and use of generative artificial intelligence services shall abide by laws and administrative regulations, respect social morality and ethics, and abide by the following provisions:

(1) Adhere to the core values of socialism, and must not generate incitement to subvert state power, overthrow the socialist system, endanger national security and interests, damage national image, incite secession, undermine national unity and social stability, promote terrorism, extremism, promote Content prohibited by laws and administrative regulations such as ethnic hatred, ethnic discrimination, violence, obscenity, and false harmful information;
(2) In the process of algorithm design, training data selection, model generation and optimization, and service provision, take effective measures to prevent discrimination based on ethnicity, belief, country, region, gender, age, occupation, health, etc.;
(3) Respect intellectual property rights, business ethics, keep business secrets, and not use algorithms, data, platforms and other advantages to implement monopoly and unfair competition;
(4) Respect the legitimate rights and interests of others, not endanger the physical and mental health of others, and not infringe on others' portrait rights, reputation rights, honor rights, privacy rights, and personal information rights;
(5) Based on the characteristics of service types, take effective measures to improve the transparency of generative artificial intelligence services and improve the accuracy and reliability of generated content.

Chapter II Technology Development and Governance

Article 5 Encourage the innovative application of generative artificial intelligence technology in various industries and fields, generate positive, healthy, and positive high-quality content, explore and optimize application scenarios, and build an application ecosystem.
Support industry organizations, enterprises, educational and scientific research institutions, public cultural institutions, and relevant professional institutions to cooperate in generative artificial intelligence technology innovation, data resource construction, transformation and application, and risk prevention.

Article 6 Encourage the independent innovation of basic technologies such as generative artificial intelligence algorithms, frameworks, chips, and supporting software platforms, carry out international exchanges and cooperation on an equal footing and mutual benefit, and participate in the formulation of international rules related to generative artificial intelligence.
Promote the construction of generative artificial intelligence infrastructure and public training data resource platforms. Promote the collaborative sharing of computing power resources and improve the utilization efficiency of computing power resources. Promote the orderly opening of public data classification and classification, and expand high-quality public training data resources. Encourage the adoption of secure and trusted chips, software, tools, computing power and data resources.

Article 7 Generative artificial intelligence service providers (hereinafter referred to as providers) shall carry out pre-training, optimization training and other training data processing activities in accordance with the law, and abide by the following provisions:

(1) Use data and basic models with legitimate sources;
(2) Where intellectual property rights are involved, the intellectual property rights enjoyed by others shall not be infringed;
(3) Where personal information is involved, the consent of the individual shall be obtained or other circumstances stipulated by laws and administrative regulations shall be complied with;
(4) Take effective measures to improve the quality of training data, and enhance the authenticity, accuracy, objectivity, and diversity of training data;
(5) Other relevant provisions of laws and administrative regulations such as the "Network Security Law of the People's Republic of China", "Data Security Law of the People's Republic of China", "Personal Information Protection Law of the People's Republic of China", and relevant regulatory requirements of relevant competent authorities.
Article 8 Where data labeling is carried out during the research and development of generative artificial intelligence technology, the provider shall formulate clear, specific, and operable labeling rules that meet the requirements of these Measures; carry out data labeling quality assessment, and conduct sampling verification of the accuracy of the labeling content; Conduct necessary training for labeling personnel, enhance awareness of respecting and abiding by the law, and supervise and guide labeling personnel to carry out labeling work in a standardized manner.

 

Chapter III Service Specifications

Article 9 Providers shall assume the responsibilities of producers of network information content in accordance with the law and fulfill their network information security obligations. If personal information is involved, the responsibility of the personal information processor shall be assumed in accordance with the law, and the obligation to protect personal information shall be fulfilled.

The provider shall sign a service agreement with the generative artificial intelligence service user (hereinafter referred to as the user) who registers for its service, clarifying the rights and obligations of both parties.

Article 10 Providers shall clarify and disclose the applicable population, occasions, and uses of their services, guide users to scientifically and rationally understand and use generative artificial intelligence technology in accordance with the law, and take effective measures to prevent minor users from excessively relying on or indulging in generative artificial intelligence Serve.

Article 11 The provider shall fulfill the obligation to protect the user's input information and use records in accordance with the law, shall not collect unnecessary personal information, shall not illegally retain input information and use records that can identify the user's identity, and shall not illegally provide the user's information to others. input information and usage records.

The provider shall accept and process the individual's requests for viewing, copying, correcting, supplementing, and deleting their personal information in a timely manner in accordance with the law.

Article 12 Providers shall mark images, videos, and other generated content in accordance with the "Regulations on the Administration of Deep Synthesis of Internet Information Services".

Article 13 Providers shall provide safe, stable, and continuous services in the course of their services to ensure users' normal use.

Article 14 When a provider discovers illegal content, it shall promptly take disposal measures such as stopping generation, stopping transmission, and elimination, take measures such as model optimization training to make rectification, and report to the relevant competent department.

If the provider discovers that the user is using the generative artificial intelligence service to engage in illegal activities, it shall take warnings, restrict functions, suspend or terminate the provision of services and other disposal measures in accordance with the law, keep relevant records, and report to the relevant competent authority.

Article 15 The provider shall establish and improve the complaint and report mechanism, set up a convenient complaint and report portal, announce the handling process and feedback time limit, accept and handle public complaints and reports in a timely manner, and give feedback on the handling results.

 

Chapter IV Supervision and Inspection and Legal Responsibilities

Article 16 Departments of cybersecurity and informatization, development and reform, education, science and technology, industry and informatization, public security, radio and television, press and publication, etc., shall strengthen the management of generative artificial intelligence services in accordance with the law according to their respective responsibilities.
Relevant national competent departments are to improve scientific supervision methods compatible with innovation and development, and formulate corresponding classification and classification supervision rules or guidelines based on the characteristics of generative artificial intelligence technology and its service applications in relevant industries and fields.

Article 17 Those who provide generative artificial intelligence services with public opinion attributes or social mobilization capabilities shall conduct security assessments in accordance with relevant state regulations, and perform algorithm filing, modification, and cancellation filing procedures in accordance with the "Internet Information Service Algorithm Recommendation Management Regulations".

Article 18 If users find that generative artificial intelligence services do not comply with laws, administrative regulations and the provisions of these Measures, they have the right to complain and report to the relevant competent authorities.

Article 19 The relevant competent departments carry out supervision and inspection of generative artificial intelligence services according to their duties, and the provider shall cooperate in accordance with the law, explain the source, scale, type, labeling rules, algorithm mechanism, etc. of the training data as required, and provide necessary Technical, data and other support and assistance.

Relevant institutions and personnel involved in the security assessment and supervision and inspection of generative artificial intelligence services shall keep state secrets, commercial secrets, personal privacy and personal information known in the performance of their duties confidential in accordance with the law, and shall not disclose or illegally provide them to others.

Article 20 Where the provision of generative artificial intelligence services originating from outside the territory of the People's Republic of China does not comply with laws, administrative regulations, and the provisions of these Measures, the national network information department shall notify relevant agencies to take technical measures and other necessary measures to deal with them.

Article 21 Where a provider violates the provisions of these Measures, the relevant competent authority shall, in accordance with the "Network Security Law of the People's Republic of China", "Data Security Law of the People's Republic of China", "Personal Information Protection Law of the People's Republic of China", "People's Republic of China The Science and Technology Progress Law and other laws and administrative regulations shall be punished; if there is no provision in the law or administrative regulations, the relevant competent department shall give a warning, circulate a criticism according to its duties, and order corrections within a time limit; if it refuses to make corrections or the circumstances are serious, it shall be ordered to suspend the provision of Related Services.

If a violation of public security management is constituted, public security management penalties shall be given according to law; if a crime is constituted, criminal responsibility shall be investigated according to law.

 

Chapter V Supplementary Provisions

Article 22 The meanings of the following terms in these Measures are:

(1) Generative artificial intelligence technology refers to models and related technologies that have the ability to generate text, pictures, audio, video and other content.
(2) Generative artificial intelligence service providers refer to organizations and individuals that use generative artificial intelligence technology to provide generative artificial intelligence services (including providing generative artificial intelligence services by providing programmable interfaces, etc.).
(3) Users of generative artificial intelligence services refer to organizations and individuals who use generative artificial intelligence services to generate content.

Article 23 Where laws and administrative regulations stipulate that the provision of generative artificial intelligence services shall obtain relevant administrative licenses, the providers shall obtain licenses in accordance with the law.
Foreign investment in generative artificial intelligence services shall comply with the provisions of laws and administrative regulations related to foreign investment.

Article 24 These Measures shall come into force on August 15, 2023.

Please indicate the source of the reprint: "Netcom China" WeChat public account
Reviewer: Li Jiamin
Editor: Wang Yutong
Proofreading: Zhao Yaqi


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生成式人工智能服务管理暂行办法

网信中国 2023-07-13 00:01 Posted on 北京


国家互联网信息办公室
中华人民共和国国家发展和改革委员会
中华人民共和国教育部
中华人民共和国科学技术部
中华人民共和国工业和信息化部
中华人民共和国公安部
国家广播电视总局

第15号


  《生成式人工智能服务管理暂行办法》已经2023年5月23日国家互联网信息办公室2023年第12次室务会会议审议通过,并经国家发展和改革委员会、教育部、科学技术部、工业和信息化部、公安部、国家广播电视总局同意,现予公布,自2023年8月15日起施行。

国家互联网信息办公室主任  庄荣文
国家发展和改革委员会主任  郑栅洁
教育部部长  怀进鹏
科学技术部部长  王志刚
工业和信息化部部长  金壮龙
公安部部长  王小洪
国家广播电视总局局长  曹淑敏
2023年7月10日




生成式人工智能服务管理暂行办法

第一章  总 则

  第一条  为了促进生成式人工智能健康发展和规范应用,维护国家安全和社会公共利益,保护公民、法人和其他组织的合法权益,根据《中华人民共和国网络安全法》、《中华人民共和国数据安全法》、《中华人民共和国个人信息保护法》、《中华人民共和国科学技术进步法》等法律、行政法规,制定本办法。
  第二条  利用生成式人工智能技术向中华人民共和国境内公众提供生成文本、图片、音频、视频等内容的服务(以下称生成式人工智能服务),适用本办法。
  国家对利用生成式人工智能服务从事新闻出版、影视制作、文艺创作等活动另有规定的,从其规定。
  行业组织、企业、教育和科研机构、公共文化机构、有关专业机构等研发、应用生成式人工智能技术,未向境内公众提供生成式人工智能服务的,不适用本办法的规定。
  第三条  国家坚持发展和安全并重、促进创新和依法治理相结合的原则,采取有效措施鼓励生成式人工智能创新发展,对生成式人工智能服务实行包容审慎和分类分级监管。
  第四条  提供和使用生成式人工智能服务,应当遵守法律、行政法规,尊重社会公德和伦理道德,遵守以下规定:
  (一)坚持社会主义核心价值观,不得生成煽动颠覆国家政权、推翻社会主义制度,危害国家安全和利益、损害国家形象,煽动分裂国家、破坏国家统一和社会稳定,宣扬恐怖主义、极端主义,宣扬民族仇恨、民族歧视,暴力、淫秽色情,以及虚假有害信息等法律、行政法规禁止的内容;
  (二)在算法设计、训练数据选择、模型生成和优化、提供服务等过程中,采取有效措施防止产生民族、信仰、国别、地域、性别、年龄、职业、健康等歧视;
  (三)尊重知识产权、商业道德,保守商业秘密,不得利用算法、数据、平台等优势,实施垄断和不正当竞争行为;
  (四)尊重他人合法权益,不得危害他人身心健康,不得侵害他人肖像权、名誉权、荣誉权、隐私权和个人信息权益;
  (五)基于服务类型特点,采取有效措施,提升生成式人工智能服务的透明度,提高生成内容的准确性和可靠性。
第二章  技术发展与治理
  第五条  鼓励生成式人工智能技术在各行业、各领域的创新应用,生成积极健康、向上向善的优质内容,探索优化应用场景,构建应用生态体系。
  支持行业组织、企业、教育和科研机构、公共文化机构、有关专业机构等在生成式人工智能技术创新、数据资源建设、转化应用、风险防范等方面开展协作。
  第六条  鼓励生成式人工智能算法、框架、芯片及配套软件平台等基础技术的自主创新,平等互利开展国际交流与合作,参与生成式人工智能相关国际规则制定。
  推动生成式人工智能基础设施和公共训练数据资源平台建设。促进算力资源协同共享,提升算力资源利用效能。推动公共数据分类分级有序开放,扩展高质量的公共训练数据资源。鼓励采用安全可信的芯片、软件、工具、算力和数据资源。
  第七条  生成式人工智能服务提供者(以下称提供者)应当依法开展预训练、优化训练等训练数据处理活动,遵守以下规定:
  (一)使用具有合法来源的数据和基础模型;
  (二)涉及知识产权的,不得侵害他人依法享有的知识产权;
  (三)涉及个人信息的,应当取得个人同意或者符合法律、行政法规规定的其他情形;
  (四)采取有效措施提高训练数据质量,增强训练数据的真实性、准确性、客观性、多样性;
  (五)《中华人民共和国网络安全法》、《中华人民共和国数据安全法》、《中华人民共和国个人信息保护法》等法律、行政法规的其他有关规定和有关主管部门的相关监管要求。
  第八条  在生成式人工智能技术研发过程中进行数据标注的,提供者应当制定符合本办法要求的清晰、具体、可操作的标注规则;开展数据标注质量评估,抽样核验标注内容的准确性;对标注人员进行必要培训,提升尊法守法意识,监督指导标注人员规范开展标注工作。
第三章  服务规范
  第九条  提供者应当依法承担网络信息内容生产者责任,履行网络信息安全义务。涉及个人信息的,依法承担个人信息处理者责任,履行个人信息保护义务。
  提供者应当与注册其服务的生成式人工智能服务使用者(以下称使用者)签订服务协议,明确双方权利义务。
  第十条  提供者应当明确并公开其服务的适用人群、场合、用途,指导使用者科学理性认识和依法使用生成式人工智能技术,采取有效措施防范未成年人用户过度依赖或者沉迷生成式人工智能服务。
  第十一条  提供者对使用者的输入信息和使用记录应当依法履行保护义务,不得收集非必要个人信息,不得非法留存能够识别使用者身份的输入信息和使用记录,不得非法向他人提供使用者的输入信息和使用记录。
  提供者应当依法及时受理和处理个人关于查阅、复制、更正、补充、删除其个人信息等的请求。
  第十二条  提供者应当按照《互联网信息服务深度合成管理规定》对图片、视频等生成内容进行标识。
  第十三条  提供者应当在其服务过程中,提供安全、稳定、持续的服务,保障用户正常使用。
  第十四条  提供者发现违法内容的,应当及时采取停止生成、停止传输、消除等处置措施,采取模型优化训练等措施进行整改,并向有关主管部门报告。
  提供者发现使用者利用生成式人工智能服务从事违法活动的,应当依法依约采取警示、限制功能、暂停或者终止向其提供服务等处置措施,保存有关记录,并向有关主管部门报告。
  第十五条  提供者应当建立健全投诉、举报机制,设置便捷的投诉、举报入口,公布处理流程和反馈时限,及时受理、处理公众投诉举报并反馈处理结果。
第四章  监督检查和法律责任
  第十六条  网信、发展改革、教育、科技、工业和信息化、公安、广播电视、新闻出版等部门,依据各自职责依法加强对生成式人工智能服务的管理。
  国家有关主管部门针对生成式人工智能技术特点及其在有关行业和领域的服务应用,完善与创新发展相适应的科学监管方式,制定相应的分类分级监管规则或者指引。
  第十七条  提供具有舆论属性或者社会动员能力的生成式人工智能服务的,应当按照国家有关规定开展安全评估,并按照《互联网信息服务算法推荐管理规定》履行算法备案和变更、注销备案手续。
  第十八条  使用者发现生成式人工智能服务不符合法律、行政法规和本办法规定的,有权向有关主管部门投诉、举报。
  第十九条  有关主管部门依据职责对生成式人工智能服务开展监督检查,提供者应当依法予以配合,按要求对训练数据来源、规模、类型、标注规则、算法机制机理等予以说明,并提供必要的技术、数据等支持和协助。
  参与生成式人工智能服务安全评估和监督检查的相关机构和人员对在履行职责中知悉的国家秘密、商业秘密、个人隐私和个人信息应当依法予以保密,不得泄露或者非法向他人提供。
  第二十条  对来源于中华人民共和国境外向境内提供生成式人工智能服务不符合法律、行政法规和本办法规定的,国家网信部门应当通知有关机构采取技术措施和其他必要措施予以处置。
  第二十一条  提供者违反本办法规定的,由有关主管部门依照《中华人民共和国网络安全法》、《中华人民共和国数据安全法》、《中华人民共和国个人信息保护法》、《中华人民共和国科学技术进步法》等法律、行政法规的规定予以处罚;法律、行政法规没有规定的,由有关主管部门依据职责予以警告、通报批评,责令限期改正;拒不改正或者情节严重的,责令暂停提供相关服务。
  构成违反治安管理行为的,依法给予治安管理处罚;构成犯罪的,依法追究刑事责任。
第五章  附 则
  第二十二条  本办法下列用语的含义是:
  (一)生成式人工智能技术,是指具有文本、图片、音频、视频等内容生成能力的模型及相关技术。
  (二)生成式人工智能服务提供者,是指利用生成式人工智能技术提供生成式人工智能服务(包括通过提供可编程接口等方式提供生成式人工智能服务)的组织、个人。
  (三)生成式人工智能服务使用者,是指使用生成式人工智能服务生成内容的组织、个人。
  第二十三条  法律、行政法规规定提供生成式人工智能服务应当取得相关行政许可的,提供者应当依法取得许可。
  外商投资生成式人工智能服务,应当符合外商投资相关法律、行政法规的规定。
  第二十四条  本办法自2023年8月15日起施行。

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审核:李佳民
编辑:王宇彤
校对:赵雅琪

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