为AI风险评估提供法律与权利保护的理论框架
Foundations for Risk Assessment of AI in Protecting Fundamental Rights
- 用比例原则平衡权利冲突,引入可撤销推理应对法律动态性
- 强调分析部署场景,识别对基本权利的多层影响
- 适合政策制定者与AI治理研究者参考
本章提出一种用于AI定性风险评估的概念框架,特别针对欧盟《人工智能法案》背景。该框架通过定义权衡与可撤销推理,解决法律合规与基本权利保护之间的复杂性。定义权衡采用比例原则处理相互冲突的权利,可撤销推理则适应法律决策的动态特征。方法强调对AI部署场景的分析,识别潜在法律违规及对基本权利的多层次影响。在此基础上,构建了AI风险分析的哲学基础,整合了可撤销推理中的定义权衡与权利情境化促进或削弱的论证。这一分层方法使高风险AI系统和通用目的AI(GPAI)系统的评估模型更具操作性,尤其突显后者的广泛适用性。未来工作将发展形式化模型与有效算法,推动理论向实践转化,支持负责任的AI治理。
原文摘要 · Abstract (English)
This chapter introduces a conceptual framework for qualitative risk assessment of AI, particularly in the context of the EU AI Act. The framework addresses the complexities of legal compliance and fundamental rights protection by itegrating definitional balancing and defeasible reasoning. Definitional balancing employs proportionality analysis to resolve conflicts between competing rights, while defeasible reasoning accommodates the dynamic nature of legal decision-making. Our approach stresses the need for an analysis of AI deployment scenarios and for identifying potential legal violations and multi-layered impacts on fundamental rights. On the basis of this analysis, we provide philosophical foundations for a logical account of AI risk analysis. In particular, we consider the basic building blocks for conceptually grasping the interaction between AI deployment scenarios and fundamental rights, incorporating in defeasible reasoning definitional balancing and arguments about the contextual promotion or demotion of rights. This layered approach allows for more operative models of assessment of both high-risk AI systems and General Purpose AI (GPAI) systems, emphasizing the broader applicability of the latter. Future work aims to develop a formal model and effective algorithms to enhance AI risk assessment, bridging theoretical insights with practical applications to support responsible AI governance.
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