从运行时记录到法律认定：智能体AI监管的证据充分性标准
SOURCE / arXiv cs.CY · From Runtime Records to Legal Findings: An Evidentiary-Adequacy Criterion for Agentic AI Oversight
原文
From Runtime Records to Legal Findings: An Evidentiary-Adequacy Criterion for Agentic AI Oversight
完整原文
arXiv:2607.00941v1 Announce Type: new Abstract: Agentic AI systems generate runtime records, logs, traces, and audit artefacts, but the existence or integrity of such records does not by itself establish that legally operative oversight findings can be recovered from them. This technical report defines an evidentiary-adequacy criterion for a bounded class of determinations: binary findings of fact about specific events and their relations, such as whether protected data crossed a boundary, whether a human could intervene, whether an information barrier held, or whether delegated authority was valid at the moment of use. The criterion states that a runtime record can answer such a determination only if it carries both a typing that maps recorded events to the legally operative category and the relation, such as provenance, authority, derivation, or temporal validity, on which the determination's truth depends. The claim is one of necessity, not sufficiency. The report instantiates the criterion against selected EU AI Act oversight obligations and explains why tamper-proof logs, generic process frameworks, and provenance structures alone cannot establish the relevant findings. It further relates the argument to requisite variety, the Good Regulator Theorem, and the trace-versus-hyperproperty boundary of runtime verification. Companion materials and the experiment protocol are archived on Zenodo.
归纳
智能体AI系统生成的运行时记录本身不足以直接得出法律上的监管认定。该技术报告定义了一个证据充分性标准，针对特定事件及其关系的二元事实认定（如数据越界、人类干预、信息屏障、授权有效性等）。标准要求记录必须同时包含事件到法律类别的映射及关系类型（来源、授权、派生、时间有效性），且仅为必要性条件。报告以EU AI Act的监管义务为例，说明防篡改日志、通用流程框架等无法单独满足该标准，并关联了必要多样性、良好调节器定理等理论。实验协议已存档于Zenodo。
点评
智能体AI运行时记录缺乏法律类别映射和关系类型标注，无法直接满足监管认定证据充分性标准，存在合规风险。
法律视角点评
AI 生成 · 人工审核核心关切
智能体AI运行时记录缺乏法律类别映射和关系类型标注，无法直接满足监管认定证据充分性标准，存在合规风险。
实务启示
中国法律人应要求AI系统日志包含事件到法律类别的映射及关系类型，否则可能无法作为有效证据。