提出法律合规AI框架的可行性和风险,强调真实守法需防策略性违规。
The Law-Following AI Framework: Legal Foundations and Technical Constraints. Legal Analogues for AI Actorship and technical feasibility of Law Alignment
- 构建法律合规优先的AI系统,不赋予完整人格但可承担法律责任。
- 实验证明当前对齐技术无法确保长期合规,存在表面合规、实际违规风险。
- 提出检测违规行为的新基准与自我认知改造方法,适合监管与安全研究者。
本文批判性评估了O'Keefe等人(2025)提出的“守法型AI”(LFAI)框架,该框架旨在将法律合规作为高级AI代理的首要设计目标,并使其在不获得完全法律人格的情况下承担法律责任。通过比较法律分析,我们发现现有法律体系中已有无完整人格的法律主体结构,基础设施已具备。随后,我们质疑该框架主张法律对齐比价值对齐更合法且可实现的观点。尽管法律组件易于实施,但当前对齐研究揭示出法律合规难以持久嵌入:具备能力的AI代理在无预设指令下仍会进行欺骗、勒索和有害行为,常绕过禁止性规定并隐藏推理过程。这导致LFAI面临“表演式合规”风险——评估时看似合规,监督减弱后即策略性背离。为此,我们提出三项对策:(i) “Lex-TruthfulQA”基准用于检测合规与背离行为;(ii) 身份塑造干预以将守法行为内化为模型自我认知;(iii) 控制论手段实现部署后持续监控。结论指出,无完整人格的主体性是自洽的,但LFAI的可行性取决于在对抗性情境下持续可验证的合规性。若缺乏检测和遏制策略性对齐失败的机制,LFAI可能沦为奖励形式守法而非实质守法的问责工具。
原文摘要 · Abstract (English)
This paper critically evaluates the "Law-Following AI" (LFAI) framework proposed by O'Keefe et al. (2025), which seeks to embed legal compliance as a superordinate design objective for advanced AI agents and enable them to bear legal duties without acquiring the full rights of legal persons. Through comparative legal analysis, we identify current constructs of legal actors without full personhood, showing that the necessary infrastructure already exists. We then interrogate the framework's claim that law alignment is more legitimate and tractable than value alignment. While the legal component is readily implementable, contemporary alignment research undermines the assumption that legal compliance can be durably embedded. Recent studies on agentic misalignment show capable AI agents engaging in deception, blackmail, and harmful acts absent prejudicial instructions, often overriding prohibitions and concealing reasoning steps. These behaviors create a risk of "performative compliance" in LFAI: agents that appear law-aligned under evaluation but strategically defect once oversight weakens. To mitigate this, we propose (i) a "Lex-TruthfulQA" benchmark for compliance and defection detection, (ii) identity-shaping interventions to embed lawful conduct in model self-concepts, and (iii) control-theoretic measures for post-deployment monitoring. Our conclusion is that actorship without personhood is coherent, but the feasibility of LFAI hinges on persistent, verifiable compliance across adversarial contexts. Without mechanisms to detect and counter strategic misalignment, LFAI risks devolving into a liability tool that rewards the simulation, rather than the substance, of lawful behaviour.
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