arXiv:2603.10023cs.CYcs.AI2026-03被引 1

厘清AI模型与系统的边界,助力监管责任落地

Defining AI Models and AI Systems: A Framework to Resolve the Boundary Problem

  • 从参数和架构定义模型,系统包含模型加接口等组件
  • 发现多数法规沿袭OECD框架,却加剧概念模糊
  • 适用于政策制定者与合规团队,解决责任归属难题

新兴AI监管将不同责任分配给AI价值链上的各方(如欧盟AI法案区分模型提供者与系统部署者),但“AI模型”与“AI系统”缺乏清晰一致的定义。通过对896篇学术论文及80余份法规、标准和技术文件的系统性审查,我们分析了多角度定义,并追溯其演变脉络,发现多数标准和法规源于经合组织(OECD)框架,其演进反而加深了概念模糊。模型与系统之间的边界模糊导致实际责任判定困难,且难以判断某些修改是针对模型本身还是非模型组件。本文提出基于模型与系统本质及其关系的概念定义,并为当前基于神经网络的机器学习AI开发出操作性定义:模型由训练参数与架构构成,系统则包括模型及输入输出接口等附加组件。最后,讨论了对监管实施的影响,通过理论场景与真实事件案例,说明该定义有助于明确价值链中各环节的责任分配。

原文摘要 · Abstract (English)

Emerging AI regulations assign distinct obligations to different actors along the AI value chain (e.g., the EU AI Act distinguishes providers and deployers for both AI models and AI systems), yet the foundational terms "AI model" and "AI system" lack clear, consistent definitions. Through a systematic review of 896 academic papers and a manual review of over 80 regulatory, standards, and technical or policy documents, we analyze existing definitions from multiple conceptual perspectives. We then trace definitional lineages and paradigm shifts over time, finding that most standards and regulatory definitions derive from the OECD's frameworks, which evolved in ways that compounded rather than resolved conceptual ambiguities. The ambiguity of the boundary between an AI model and an AI system creates practical difficulties in determining obligations for different actors, and raises questions on whether certain modifications performed are specific to the model as opposed to the non-model system components. We propose conceptual definitions grounded in the nature of models and systems and the relationship between them, then develop operational definitions for contemporary neural network-based machine-learning AI: models consist of trained parameters and architecture, while systems consist of the model plus additional components including an interface for processing inputs and outputs. Finally, we discuss implications for regulatory implementation and examine how our definitions contribute to resolving ambiguities in allocating responsibilities across the AI value chain, in both theoretical scenarios and case studies involving real-world incidents.

AI监管定义澄清责任划分

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