⁠​‌​​​‌​​‌​‌‌‌​​​​‌‌​‌​​‌‌‌‌​‌​‌​⁠Interim Measures for Generative AI

Do we need a security assessment and an algorithm filing before launch?

What you may need to do

1. Judge whether the service has public opinion attributes or social mobilisation capacity
2. Where required, complete the security assessment and keep it on file before launch
3. Complete the filing formalities under the algorithm recommendation provisions
4. Handle amendment or cancellation of the filing when the service changes or goes offline
5. Put the assessment and filing conclusions into the pre-launch checklist

Provisions relied on

One-line conclusion

A security assessment and an algorithm filing are not required for every AI service; the trigger is “public opinion attributes or social mobilisation capacity”. Where the condition is met, both must be done: carry out the security assessment in accordance with relevant state provisions, and complete the formalities for algorithm filing and for amending or cancelling the filing under the Provisions on the Administration of Algorithm Recommendation for Internet Information Services.

Basis

Article 17 binds the two obligations together: a provider offering a generative AI service with public opinion attributes or social mobilisation capacity shall carry out a security assessment in accordance with relevant state provisions, and shall, in accordance with the Provisions on the Administration of Algorithm Recommendation for Internet Information Services, complete the formalities for algorithm filing and for amending or cancelling the filing.

Understanding this article needs three points.

First, the trigger is the attribute of the service, not the size of the enterprise. The key question is whether the service disseminates information to the public and whether it can influence the public expression of opinion.

Second, the security assessment comes first and the filing runs in parallel. Article 17 says “carry out a security assessment, and ... complete the formalities for algorithm filing and for amending or cancelling the filing”. Both must be completed; filing alone without an assessment will not do.

Third, filing is a continuing obligation. The article expressly states amending and cancelling the filing, which means that when the service content, functions or the entity change, or when the service stops, the corresponding formalities must be handled. Many enterprises file at launch and then stop dealing with it as features iterate, which easily creates problems.

Article 23 adds another layer: where laws or administrative regulations require an administrative licence to provide generative AI services, the provider shall obtain the licence in accordance with the law. A licence is a different kind of precondition and is not the same thing as filing; the two must be judged separately.

What you need to do

1. Make an attribute judgement first. Against the actual functions of the service, decide whether it has public opinion attributes or social mobilisation capacity, and put the reasoning in a document on file. The boundary follows the local cyberspace administration authority.
2. Where the trigger is met, complete the security assessment before the service goes live, produce the assessment material and archive it.
3. Handle the algorithm filing formalities under the Provisions on the Administration of Algorithm Recommendation for Internet Information Services, and keep the filing certificate.
4. Build a change ledger. Feature launches, shutdowns, changes of entity and termination of service all need an assessment of whether an amended filing or a cancellation of the filing is triggered.
5. Put the security assessment and the filing status into the pre-launch checklist as items that must be confirmed before release.
6. Where special sectors such as finance, medical care or news are involved, judge separately whether an administrative licence is also required.

Common pitfalls

• Assuming a small company need not file. The trigger is the attribute of the service, not the size of the enterprise.
• Filing without a security assessment. Article 17 requires both.
• Not updating the filing after a feature iteration. Amending the filing is an express obligation.
• Confusing filing with licensing. The administrative licence question under Article 23 is a separate one.
• Launching first and catching up later because time is short. The security assessment should be completed before the service is provided.

Common follow-up questions

How do we judge whether there are public opinion attributes or social mobilisation capacity? These Measures give no specific list; the judgement must weigh how far the service is aimed at the public, the dissemination characteristics of the generated content, and whether it influences the public expression of opinion. The boundary follows the local cyberspace administration authority.

What formalities apply when the service goes offline? Under Article 17, the formalities for cancelling the filing must be completed in accordance with the Provisions on the Administration of Algorithm Recommendation for Internet Information Services.

Does filing require submitting training data information? The specific requirements for filing material follow the Provisions on the Administration of Algorithm Recommendation for Internet Information Services and the filing authority. Article 19 separately requires explaining the source, scale and type of training data when cooperating with supervision and inspection.

Common follow-up questions

Does an AI system used inside an enterprise need to be filed?

The trigger in Article 17 is providing a service to the domestic public with public opinion attributes or social mobilisation capacity. Where it is used internally only and not provided to the domestic public, Article 2, paragraph 3 makes these Measures inapplicable.

Who carries out the security assessment?

Article 17 speaks of carrying out a security assessment in accordance with the relevant provisions. The specific form, the material required and the reporting method follow the local cyberspace administration authority, and the process and conclusion should be kept on file.

After filing, do we have to start again if we change the model or add functions?

Article 17 expressly requires the formalities for amending the filing. Whether a case requires amendment is judged under the Provisions on the Administration of Algorithm Recommendation for Internet Information Services and the requirements of the filing authority.

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