Ministry of science and technology: AI enterprises may need to establish a science and technology ethics review committee

7月28日,，科技部发布《关于加强科技伦理治理的指导意见（征求意见稿）》（以下简称《意见》），征求公众意见，《意见》旨在加强科技伦理治理，促进科学进步和技术。《意见》明确了我国科技伦理治理的基本要求和原则，规定了科技伦理的治理体系、监督和审查。

On July 28, the Ministry of science and Technology issued the guiding opinions on strengthening the ethical governance of science and Technology (Draft for comments) (hereinafter referred to as the "opinions") to solicit opinions from the public《 The opinion aims to strengthen the governance of science and technology ethics and promote the good of science and technology. The opinion defines the basic requirements and principles of China's science and technology ethics governance, and stipulates the governance system, supervision and review of science and technology ethics.

清华大学教授梁正认为，尊重生命权是科技发展的基本底线，在任何情况下都不可侵犯。

Liang Zheng, a professor at Tsinghua University, believes that respecting the right to life is the basic bottom line of scientific and Technological Development and cannot be infringed under any circumstances.

该意见还呼吁防止不同社会群体对技术的歧视和偏见。

The opinion also calls for the prevention of discrimination and prejudice against technology in different social groups.

"意见"还体现了"协同治理"的思想:"意见要求科技活动要建立利益相关者和公众的合理参与机制,建立涉及重大敏感伦理问题的披露机制,，保持公开透明。

The thought of "collaborative governance" is also reflected in the opinions《 The opinion requires that scientific and technological activities should establish a reasonable participation mechanism for stakeholders and the public, establish a disclosure mechanism involving major and sensitive ethical issues, and maintain openness and transparency.

明确道德监督和审查机制

Clarify the ethical supervision and review mechanism

在具体治理体系方面，《意见》从政府、创新主体、社会组织和科技人员四个维度提出了治理要求。《意见》明确指出，国家科技伦理委员会是最高的咨询、审查、监管机构，组织协调科技道德建设，并要求地方各级政府和部门负责具体的道德治理工作。

In terms of specific governance system, the opinions puts forward governance requirements from four dimensions: government, innovation subject, social organizations and scientific and technological personnel《 The opinions clearly states that the national science and technology ethics committee is the highest consultation, review, regulation, organization and coordination organization of science and technology ethics, and requires local governments at all levels and departments to be responsible for specific ethical governance.

"创新主体"是指高校、科研机构、医疗机构、企业等。《意见》明确要求从事生命科学等科技活动的机构，如果医学和人工智能的研究内容涉及科技伦理的敏感领域，则应设立科技伦理（审查）委员会。

"Innovation subject" refers to universities, scientific research institutions, medical institutions, enterprises, etc《 The opinions specifically requires that institutions engaged in scientific and technological activities such as life sciences, medicine and artificial intelligence should establish scientific and Technological Ethics (review) committees if their research contents involve sensitive fields of scientific and technological ethics.

在监督方面，《意见》要求明确科技伦理监督责任，完善科技伦理监督流程，完善科技伦理审查、风险处置、违规处理等监督规则。同时，加强立法研究，及时将重要科技伦理提升为法律法规，强化违反科技伦理行为的责任追究。

In terms of supervision, the opinions requires to clarify the supervision responsibilities of science and technology ethics, improve the supervision process of science and technology ethics and the supervision rules such as science and technology ethics review, risk disposal and violation handling. At the same time, strengthen legislative research, timely upgrade important scientific and technological ethics into laws and regulations, and strengthen the accountability for violations of scientific and technological ethics.

在伦理审查方面，《意见》要求涉及高伦理风险的科学技术活动，如人和实验动物，必须由科学技术伦理（审查）委员会审查和批准。对不符合科学技术审查（伦理）条件的单位，委托（伦理）委员会进行科学技术审查。任何单位、组织和个人不得资助违反科学技术道德要求的科学技术活动。

In terms of ethical review, the opinion requires that scientific and technological activities involving high ethical risks such as people and experimental animals must be reviewed and approved by the scientific and Technological Ethics (review) committee. Units that do not meet the conditions for establishing the scientific and Technological Ethics (review) committee shall entrust other scientific and technological Ethics (review) committees to carry out the review. No unit, organization or individual may fund scientific and technological activities that violate the requirements of scientific and technological ethics.

梁正评论说，《意见》将成立科技伦理委员会的想法转化为实际操作。作为治理的主体，科技伦理委员会能够建立一套工作程序。但他也提到,目前,"意见"主要提供一些原则指导,"在具体领域,审查应遵循哪些程序,审查结果将如何发挥作用,需要具体化"

Liang Zheng commented that the opinions turned the idea of establishing the science and technology ethics committee into practical operation. As the main body of governance, the science and technology ethics committee was able to establish a set of working procedures. However, he also mentioned that at present, the opinions mainly provide some principled guidelines" In specific areas, what procedures should be followed for the review and how the results of the review will play a role need to be concretized. "

段维文认为，加强对科技伦理的审查和监督，涉及到对许多复杂的新兴科技伦理问题的辨析和判断，这可能是一项复杂的系统工程，具有实践难度。在科技伦理监督中，对相关方主体责任的界定和调查必须涉及认知差异和利益冲突。如何协调将考验各方的治理智慧。

Duan Weiwen believes that strengthening the review and supervision of science and technology ethics involves the discrimination and judgment of many complex emerging science and technology ethics issues, which may be a complex systematic project with practical difficulty. In the supervision of science and technology ethics, the definition and investigation of the main responsibilities of relevant parties must involve cognitive differences and conflicts of interest. How to coordinate and coordinate will test the governance wisdom of all parties.

最后,"意见"指出,要加强科技道德教育和宣传,不仅要对科技人员进行道德培训,而且要对公众进行科技道德宣传,，鼓励公众自觉提高科技道德意识。

Finally, the opinions pointed out that we should strengthen the education and publicity of science and technology ethics, not only carry out ethical training for scientific and technological personnel, but also carry out science and technology ethics publicity for the public, and encourage the public to consciously improve the awareness of science and technology ethics.

段维文认为,从长远看,必须突出科技伦理在高等教育中的重要性,建立科技与人文相结合的科技伦理研究教育新机制,，根据实际需要，大力推进专业化、前瞻性的科技伦理研究。

Duan Weiwen believes that in the long run, we must highlight the importance of science and technology ethics in higher education, establish a new research and education mechanism of science and technology ethics combining science and technology with humanities, and vigorously promote professional and forward-looking research on science and technology ethics according to practical needs.

专家：《意见》是一般性的指导，具体领域还需要法律解决

Expert: the opinions are general guidance, and specific areas still need to be solved by law

南都记者注意到，科技部发布的《意见》特别强调了科技伦理在生命科学、医学和人工智能领域的重要性，这是目前伦理问题比较集中的领域。

Nandu reporter noted that the opinions issued by the Ministry of science and technology specially emphasized the importance of scientific and technological ethics in the fields of life science, medicine and artificial intelligence, which are the areas where ethical issues are more concentrated at present.

中国人民大学副教授Guo Rui认为，科技部有必要颁布《科学技术伦理学》，特别是对人工智能、生物技术和人工智能的交叉学科。以往的伦理问题没有得到足够的重视。当后果严重时，往往很难处理。"

Guo Rui, associate professor of Renmin University of China, believes that it is necessary for the Ministry of science and technology to issue the opinions on science and technology ethics" Especially for the interdisciplinary of artificial intelligence, biotechnology and artificial intelligence, the previous ethical issues have not been paid enough attention. When the consequences are serious, it is often difficult to deal with them. "

他评论说，《意见》不仅提到了伦理审查制度的设置，还为科技伦理教育和立法指明了未来的发展方向。然而，在特定领域，还需要进行更扎实的研究。

He commented that the opinions not only mentioned the setting of the ethical review system, but also gave the future development direction for the education and legislation of science and technology ethics. However, in specific areas, more solid research is needed.

他说："说到科技伦理，我们仍然只是一个口号，或者只是重复道德规范，但在具体领域的具体实践中仍然存在不足。"。

"When it comes to the ethics of science and technology, we are still a slogan or simply repeat the ethical norms, but there are still deficiencies in the specific practices in specific fields." He said.

梁正认为,科技部发布的意见,实际上是根据以往"科技伦理监督"一些重点领域相关文件的经验,对科技伦理进行的一个普遍的,普遍的道德指导,，针对以前出现的问题，在具体领域采取了一些措施。这个《意见》是探索一个普适的指南，"科学技术"是一个非常大的概念

Liang Zheng believes that the opinions issued by the Ministry of science and technology is actually a general and universal ethical guidance based on the experience of relevant documents in some key areas that have been issued before" In the supervision of science and technology ethics, there have been some measures in specific fields for the problems that have arisen before. This "opinion" is exploring a universal guide, "science and technology" is a very big concept. "

2018年的"基因编辑婴儿"事件引起了轩然大波。十一月，中国南方科技大学副教授Jiankui宣布了一对基因编辑婴儿的诞生，命名为露露和Nana。由于对这对双胞胎的一个基因（CCR5）进行了修饰，他们能够在出生后自然抵抗艾滋病毒。这消息震惊了全世界。

The "gene editing baby" incident in 2018 caused an uproar. In November, He Jiankui, an associate professor of South China University of science and technology, announced the birth of a pair of gene editing babies named Lulu and Nana. Because of the modification of one gene (CCR5) of these twins, they were able to naturally resist HIV HIV after birth. The news shook the world.

2019年12月，法院裁定"编辑婴儿基因"行为违反国家相关规定和医德，构成非法行医罪。何建奎被判处三年徒刑。

In December 2019, the court ruled that the act of "gene editing baby" violated relevant national regulations and medical ethics and constituted the crime of illegal medical practice. He Jiankui was sentenced to three years' imprisonment.

2020年12月26日，《中华人民共和国刑法修正案（11）》正式通过，并将"非法基因编辑"纳入刑法。

On December 26, 2020, the amendment to the criminal law of the people's Republic of China (11) was officially adopted, and "illegal gene editing" was included in the criminal law.

梁正肯定了《意见》对"将重要科技伦理纳入法律法规"的强调。他说，监管需要法律依据，基因编辑就是一个很好的例子。此外，还可以在人工智能领域引入《道德法》草案和《个人数据保护法》。

Liang Zheng affirmed the emphasis in the opinions on "raising important scientific and technological ethics into laws and regulations". He said that supervision needs legal basis, and gene editing is a good example. In addition, the draft of the law on ethics and the law on the protection of personal data can also be introduced in the field of artificial intelligence.

段伟文认为，新兴科技领域的大量创新活动都是由科技企业进行的。他建议在指南中更具体地说明这一点。

Duan Weiwen believes that a large number of innovation activities in emerging science and technology fields are carried out by science and technology enterprises. He suggests that this should be more specifically stated in the guidance.

梁正分析，科技部的意见主要针对技术研发，而不是商业活动，"商业活动范围太广。以人工智能为例。新闻推荐涉及的部门可能是互联网信息办公室，自动驾驶主管部门可能是工业和信息化部，智慧城市可能涉及一些社会服务部门。。。我们不能指望科技部解决所有问题。"

According to Liang Zheng's analysis, the opinions issued by the Ministry of science and technology are mainly aimed at technology R & d rather than commercial activities" The scope of business activities is too wide. Take artificial intelligence as an example. The department involved in news recommendation may be the Internet Information Office, the competent department of automatic driving may be the Ministry of industry and information technology, and the smart city may involve some social service departments... We can't expect the science and Technology Department to exhaust all the problems. "

他指出，《意见》作为一个指导性文件，与过去的一些技术伦理文件相比已经取得了很大的进步，"但是，在具体领域，仍然需要一些标准、规范或法律法规来作出强制性规定和指导。"

He pointed out that the opinions, as a guiding document, has made great progress compared with some technical ethics documents in the past" However, in specific areas, some standards, specifications or laws and regulations are still needed to make mandatory provisions and guidance. "

据了解，目前，中国已经在医疗数据等一些关键领域发布了强制性国家标准，互联网连接车辆、人脸识别等新兴领域也将出台国家标准。

It is understood that at present, China has issued mandatory national standards in some key fields such as medical data, and there will also be national standards in emerging fields such as Internet connected vehicles and face recognition.

编辑：南都实习记者李亚宁

Editor: Nandu trainee reporter Li Yaning

Link：https://new.qq.com/omn/20210731/20210731A08W7C00.html

update time：2021-07-31 17:18:08