Blue Book on AI and Rule of Law in the World (2020)

420 Pages·2022·8.494 MB·English

by  Yadong Cui

Artificial Intelligence and the Rule of Law
Yadong Cui Editor
Blue Book on AI
and Rule of Law in
the World (2020)
Artificial Intelligence and the Rule of Law
Artificial intelligence is an important driving force of the new round of technological
revolution and industrial change. Artificial intelligence and blockchain have risen to
the level of national policy. While the rapid development of AI brings convenience
to people’s lives, it also poses challenges to global changes and the development
of human society, social governance and legal regulation, such as the leakage of
personal privacy, frequent data security problems, and prejudice and discrimination
caused by algorithms. AI is profoundly changing the world, and it is necessary to
think about how to promote the construction of responsible AI from the perspective
of global governance in the future.
In response to these issues, this series aims to explore and study the new situations
and new issues at the intersection of AI, law and political science all over the world,
to provide a legal basis for the development of AI-related frontier fields and to limit
the development of AI within the framework of law to promote the harmonious
and orderly construction of AI and legal systems. Based on the above purpose,
this series is selected and integrated with multidisciplinary strengths to strengthen
the research on legal, ethical, and social issues related to AI, focusing on laws,
regulations, institutional systems, and ethics for the healthy development of AI. The
authors of this series are all top authoritative experts and scholars in AI, law, political
science, and other disciplines in China, and they have already made considerable
achievements and social reputations in this field of research.
This series has a clear awareness of the problem and proposes specific solu-
tions for the implementation and implementation of AI governance from a multi-
disciplinary and multidisciplinary perspective, covering AI, blockchain, algorithms,
digital currency and other specific segments closely related to law, with cutting-edge,
academic and theoretical value, and filling the gap of similar research in China.
Yadong Cui
Editor
Blue Book on AI and Rule
of Law in the World (2020)
Translated by Cao Yan
Editor
Yadong Cui
Shanghai Law Society
Shanghai, China
ISSN 2731-6238 ISSN 2731-6246 (electronic)
Artificial Intelligence and the Rule of Law
ISBN 978-981-19-3585-5 ISBN 978-981-19-3586-2 (eBook)
https://doi.org/10.1007/978-981-19-3586-2
Jointly published with Shanghai People’s Publishing House
The print edition is not for sale in China (Mainland). Customers from China (Mainland) please order the
print book from: Shanghai People’s Publishing House.
ISBN of the Co-Publisher’s edition: 978-7-208-16580-9
© Shanghai People’s Publishing House 2022
This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher, whether
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Editorial Board
Editorial Office Administrator: Cui Yadong.
Deputy Administrators: Ye Qing, Liu Xiaohong, Wang Tao, Shi Weidong.
Editorial Board Members (Sort by last name stroke):
Wang Li, Bai Ning, Feng Benguo, Liu Xueyao, Liu Xianquan, Sun Li,
Yang Hua, Yang Fei, Yang Yin, Zhang Feihu, Zhang Zhijun, Zhang Xiaoling,
Chen Shusen, Lin Zhujing, Zhou Xiao, Zhao Chunxue, Hu Peng, Hao Zuocheng,
Yuan Dibao, Cao Peilei, Dong Liwu, Peng Chengxin.
Editor-in-Chief: Cui Yadong.
Associate Editors: Ye Qing, Liu Xiaohong, Wang Tao, Shi Weidong.
Editorial Office (Sort by last name stroke):
Ma Sijie, Wang Wenjuan, Wang Ranran, Wang Yufan, Wang Jian, Niu Binru,
Xiang Mingjing, Liu Yuyan, Yang Shengyuan, Yang Liuzixian, Li Yan, Wu Tao,
Zhang Bingjie, Zhang Shundong, Chen Jidong, Chen Shusen, Lin Zhujing,
Zhao Yucheng, Zhao Surui, Zhao Tiantian, Hao Zuocheng,
Hao Yuxuan, Hu Rongxin, Qin Kun, Xu Aijing, Gong Sihan, Peng Hui,
Xue Mengbai.
v
Speech at the Release of the Blue Book (2020)
Respected leaders,
Distinguished guests,
Experts and scholars,
Commissioned by Cui Yadong, Director of the Editorial Board, I now release the
Blue Book on AI and Rule of Law in the World (2020) jointly compiled by the
Shanghai Law Society, Yangtze Delta Region Institute of Tsinghua University, East
China University of Political Science and Law, and Shanghai University of Political
Science and Law.
The Blue Book on AI and Rule of Law in the World (2019) was released at the
Rule of Law Forum of the 2019 World AI Conference on August 30, 2019. Upon its
release, the book attracted much attention from all walks of life, and China Central
Television and other media have made detailed reports. On August 31, 2019, at the
closing ceremony of the 2019 World Artificial Intelligence Conference, the confer-
ence released the “On the Construction of Artificial Intelligence Shanghai Hub—
Building a First-class Innovation Ecology Action Plan” (hereinafter referred to as
“AI Shanghai Action Plan”), which clearly listed the Blue Book on AI and Rule
of Law in the World as one of the “seven actions” to build a first-class innovation
ecology of AI in Shanghai.
According to the “AI Shanghai Action Plan”, in December 2019, the Blue Book
Editorial Board started the writing of the Blue Book on AI and Rule of Law in the
World (2020), which took 7 months to complete until the end of June 2020.
The Blue Book (2020) mainly consists of 14 parts: preface, overview of AI and
rule of law development, AI and rule of law development index, 2019 AI and rule
of law development assessment report in China, essence of viewpoint from the Rule
of Law Forum of 2019 World AI Conference, analysis reports (four parts, Part 1:
AI policy and law; Part 2: AI and rule of law theory research; Part 3. AI application
in rule of law; Part 4: AI-related case analysis (China), special reports (six reports,
research on intellectual property protection of AI, research on data security in AI
applications, research on legal issues of face recognition and privacy protection,
research on legal issues related to AI applications in medical field, research on legal
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viii SpeechattheReleaseoftheBlueBook(2020)
issues related to blockchain technology, empirical research on the cultivation of
interdisciplinary talents in AI and rule of law, the special column on the use of AI in
rule of law response to major epidemics (six articles, “law + AI” in the response to
COVID-19, the application of AI in the fight against COVID-19, the application of
health QR codes in the prevention and control of the epidemic and legal adjustments,
the role of the network direct reporting system in the prevention and control of
the epidemic and legal regulation, the development of the epidemic accountability
information disclosure mechanism, prospects for the construction of judicial big
data to ensure enterprises to resume work and resume epidemic and legal regulation,
the development of the epidemic accountability information disclosure mechanism,
prospects for the construction appendices. The Blue Book (2020) focuses on the
latest development of AI and rule of law in the world from July 2019 to June 2020
by collecting and summarizing the latest information on strategies, policies, laws,
major theoretical studies, practical project applications, and typical judicial cases
in various countries regarding the development of AI and rule of law and provides
readers with an objective, fair, and accurate report through analysis and evaluation,
with charts, illustrations, and cases.
Compared with the Blue Book (2019), the Blue Book (2020) has a more reasonable
structure and richer content and the following new features. First, it has formulated the
AI and Rule of Law Development Index (the first of its kind in the world, hereinafter
referred to as the Index). The index mainly includes the AI Rule of Law Development
Index System, index weights, and assessment methods. Based on this, the paper
evaluates and forms an evaluation report on the development of AI and rule of law in
China in 2019. Second, it focuses on important events in the special column on the
use of AI in rule of law response to major epidemics. Third, it includes more content
by adding AI and rule of law development special reports, expert interviews, and
questionnaires, forming a more reasonable structure. It provides academic reserves
and institutional supply for prospering and leading the study of AI and rule of law.
Due to the limitations of time and resources, there might still be some errors or
mistakes in this book. Therefore, corrections and suggestions from readers will be
welcomed.
The writing and publishing of the Blue Book on AI and Rule of Law in the World
will be done every year. Let us make joint efforts to promote the development of AI
and the rule of law and AI global governance. Thank you very much.
Ye Qing
President of ECUPL
Deputy Administrator of the Editorial Board of the Blue Book
Shanghai Law Society
Yangtze Delta Region Institute of Tsinghua University, Zhejiang
East China University of Political Science and Law
Shanghai University of Political Science and Law
July 2020
Speech at the Release of the Index
and the Evaluation Report
Respected leaders,
Distinguished guests,
Experts and scholars,
Commissioned by Cui Yadong, Director of the Editorial Board, I now release the AI
and Rule of Law Development Index and the Evaluation Report on the Development
of AI and Rule of Law in China (2019).
On the AI and Rule of Law Development Index
In recent years, to prevent and cope with the risks and challenges that AI may bring
and to guarantee the safe, reliable, controllable, and healthy development of AI, AI
and rule of law were born, as was its research. To promote the development of AI
and rule of law systems, create AI and rule of law ecology, prosper and lead AI and
rule of law research, and promote AI global governance, according to the proposal of
authoritative experts in law, science and technology and the actual development of AI
and rule of law, the Blue Book on AI and Rule of Law in the World (2020) formulated
the AI and Rule of Law Development Index, which reflects the development of AI
and rule of law more accurately, objectively, and comprehensively in a quantifiable
and visual form, to provide support for AI and rule of law research and to promote
the development of AI and rule of law.
As a result of multidisciplinary research, the Index integrates the basic theories of
many disciplines, such as law, sociology, and statistics. The development of the Index
adheres to the concepts and principles of being people-oriented, reliable, control-
lable, standardized and orderly and striving for security, innovative development,
and shared results. It follows six major paths of AI and rule of law development,
including regulatory and policy documents, rule of law theory support, law enforce-
ment implementation effect, legal market scale, social concerns and expectations,
and rule of law environment cultivation. Developed using the Delphi method, the
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x SpeechattheReleaseoftheIndexandtheEvaluationReport
Index underwent several rounds of design and revision. Through in-depth research,
extensive consultation, and several rounds of expert verification, the expert team
sought the opinions of 43 authoritative experts in law, science and technology, and
finally determined six primary indicators, namely, policy documents, rule of law
theory, law enforcement, legal market, social concerns, and legal environment, and
18 secondary indicators, such as regulations and policies, judgments and rulings,
and determined the indicator weighting. Since the evaluation indicators are not all
scored by a percentage system, they cannot be simply added up in the comprehensive
scoring, and the data of different units need to be synthesized into a total index score.
Therefore, it is necessary to use statistical dimensionless processing to convert the
actual value of the index into the assessed value of the index, and on that basis, a
weighted sum method is used for the comprehensive scoring of the index. Combined
with the level of AI and rule of law development, the level of the specific evaluation
object is determined.
The AI development index is conducive to improving the pertinence, systematic-
ness, and authority of AI legal construction planning layouts, integrating AI devel-
opment and application into the rule of law track, and using the rule of law to guide,
standardize, and guarantee the safe, reliable, controllable, and healthy development
of AI.
On the Evaluation Report on the Development of AI and Rule
of Law in China (2019)
According to the evaluation index system and assessment methods set by the Index,
the Blue Book Editorial Board organized a team of experts to assess the development
of AI and rule of law for the first time. As the first assessment of AI and rule of law, this
assessment is exploratory. Therefore, this assessment attempts to start with simple
aspects and gradually increase the difficulty. We set the scope of this assessment in
China. This data sampling was evaluated using both questionnaires and objective
assessments to collect relevant data to evaluate the development of AI and rule of
law in China in 2019.
The assessment was launched in March 2020 with the following main methods:
first, questionnaires. The evaluation team conducted questionnaires for four groups:
rule of law researchers, users of AI legal products, technicians, and other categories of
personnel, and a total of 1,444 valid questionnaires were collected. Second, objec-
tive measurement. According to the AI and rule of law assessment index system,
objective data in multiple places (mainly through the Internet) were collected and
aggregated for measurement, and data testing was performed to ensure the objectivity
and accuracy of the statistics.
According to the evaluation data, the overall score of AI and the rule of law
in China in 2019 was 83.79, which reflects the rapid development of AI in China.