AI安全治理技术白皮书（英文原文）

GTI

AISecurityGovernanceTechnologyWhitePaper

-SecurityRootedinNetworks,GoverningAIwithIntelligence,ShiftLeftCo-Governance

GTIAISecurityGovernanceTechnologyWhitePaper

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GTIAISecurityGovernanceTechnologyWhitePaper

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5G-A×AIDevelopmentProgram

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ResearchontheTechnicalFrameworkforAISecurityGovernance

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ChinaMobile,HKT,YTL,BeijingBaiduNetcom

ScienceTechnologyCo.,Ltd.,BeijingQihooTechnologyCo.,Ltd.,HuaweiTechnologiesCo.,Ltd.,NewH3C

TechnologiesCo.,Ltd.,Novare,iFLYTEKCo.,Ltd.,AnhuiSparkShieldIntelligentTechnologyCo.,Ltd.,

ZTECorporationCo.,Ltd.,BeijingUniversityofPostsandTelecommunications,FudanUniversity,Zhejiang

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MediaTek,TsinghuaUniversity,TÜVRheinland,YoungAlLeadersCommunity-SanFranciscoHub

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2026-08-21

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2026-09-07

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Confidentiality:ThisdocumentmaycontaininformationthatisconfidentialandaccesstothisdocumentisrestrictedtothepersonslistedintheConfidentialLevel.Thisdocumentmaynotbeused,disclosedorreproduced,inwholeorinpart,withoutthepriorwrittenauthorizationofGTI,andthosesoauthorizedmayonlyusethisdocumentforthepurposeconsistentwiththeauthorization.GTIdisclaimsanyliabilityfortheaccuracyorcompletenessortimelinessoftheinformationcontainedinthisdocument.Theinformationcontainedinthisdocumentmaybesubjecttochangewithoutpriornotice.

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Date

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2026-09-01

1.0

Version1.0

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Foreword

Artificialintelligenceisrapidlyintegratingintoeconomicandsocialoperationsandpoweringdigitaltransformationacrossindustries.AsAIsystemsscale,modernAIapplicationsdependondatapipelines,computinginfrastructure,softwareecosystems,externaltools,digitalidentities,andinterconnectedbusinessprocesses.Securityrisksthereforeextendfarbeyondmodeloutputs.Vulnerabilitiesininfrastructure,misuseofpermissions,maliciousdatamanipulation,autonomousagentbehavior,andsupply-chaindependenciescanallaffectthereliabilityandtrustworthinessofAIsystems.Traditionalgovernancemechanisms,whichwerelargelydesignedforconventionalinformationsystems,areofteninsufficienttoaddresstheseemergingchallenges.

Aroundtheworld,governments,standardsorganizations,enterprises,andresearchinstitutionsareacceleratingthedevelopmentofgovernanceframeworksforAI.Safety,accountability,transparency,robustness,privacyprotection,andvaluealignmentareincreasinglyrecognizedasessentialrequirementsforresponsibleinnovation.EffectivegovernancemustbalanceinnovationwithriskmanagementwhileensuringthatAIremainscontrollable,trustworthy,andbeneficialtosociety.Tothisend,a“1-3-9”AISecurityGovernanceFrameworkisproposedthatintegratessecurityrequirementsthroughouttheentirelife-cycleofAIsystemsbyfocusingon'SecurityrootedinNetworks','GoverningAIwithIntelligence',and'ShiftLeftCo-Governance'tosupportlarge-scaleAIdeployment.Thisproposalsummarizesthemajordevelopmenttrends,governancechallenges,strategicapproaches,implementationpathways,andcollaborativeinitiativesnecessarytoestablishasecure,trustworthy,andsustainableAIecosystem.

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TableofContents

DocumentHistory III

Foreword IV

TableofContents V

1TrendsinArtificialIntelligenceDevelopmentandtheGlobalGovernanceLandscape 1

1.1DevelopmentTrends:AcceleratingTechnologicalEvolutionTowardSystemicand

AgenticAI

1

1.2GlobalPerspective:GovernanceRulesAreTakingShape 1

1.3IndustryPerspective:CollaborativeExplorationbyDiverseStakeholders 2

2RisksandChallenges:AISecurityGovernanceFacesFiveMajorShifts 3

2.1TheUnknownOutweighstheKnown 3

2.2AttacksOutpaceDefenses 4

2.3EvolutionOutpacesGovernance 4

2.4DivergenceOutweighsConsensus 5

2.5BehaviorOverContent 5

3OverallApproachtoAISecurityGovernance 7

3.1Vision:BecomingFoundationBuilders,Guardians,andEnablersforAIforGreater

Good

8

3.2StrategicApproach 9

3.2.1SecurityrootedinNetworks 9

3.2.2GoverningAIwithintelligence 9

3.2.3ShiftLeftCo-Governance 10

3.3DevelopmentPath:ThreeDirectionsandNinePathways 10

3.3.1InfrastructureSecurityDirection 11

3.3.2Intelligence-DrivenGovernanceDirection 11

3.3.3Full-ScopeCollaborativeGovernanceDirection 12

3.4GovernanceAssessment:SixCapabilityDimensions 13

4AISecurityGovernanceInitiative 16

4.1BalanceHigh-QualityDevelopmentwithHigh-LevelSecurity 16

4.2BuildRobustandReliableOperationalFoundations 16

4.3EmbedEndogenousGovernanceThroughoutLifecycles 16

4.4FosterOpenandCollaborativeSecurityEcosystems 17

AcronymsandAbbreviations 18

References 19

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1TrendsinArtificialIntelligenceDevelopmentandtheGlobalGovernanceLandscape

Artificialintelligenceisbecomingacoredriverofeconomicandsocialtransformation.Technologicalprogress,industrialadoption,andgovernancedevelopmentareoccurringsimultaneously,creatingbothopportunitiesandchallengesforstakeholdersacrossindustries.

1.1DevelopmentTrends:AcceleratingTechnologicalEvolution

TowardSystemicandAgenticAI

AIdevelopmentisshiftingfromsingle-modelperformancetosystemiccapabilitiesthatcombinealgorithms,computingpower,data,toolchains,agents,andengineeringplatforms.LLM,multi-modalinteraction,longcontext,andtoolusemoveAItowardplanning,coordination,andcomplexexecution.Agentsareevolvingintosystemsthatunderstandgoals,decomposetasks,invoketools,interactwithenvironments,andlearnfromfeedback.AsAIentersR&D,finance,publicservices,andnetworkoperations,deploymentrequiresprocessadaptation,datagovernance,integration,accesscontrol,andsecureoperations.

1.2GlobalPerspective:GovernanceRulesAreTakingShape

Fromtheperspectiveofglobalgovernance,majorcountries,internationalorganizations,standardsbodies,andindustrystakeholdersareacceleratingthedevelopmentofAIgovernancerulesandpracticalapproaches.Currenteffortsfocusonareassuchasriskclassification,trustworthinessassessment,datagovernance,

modeltransparency,accountabilityboundaries,contentprovenanceandlabeling,

technicalstandards,andinternationalcoordination.

AIsecuritygovernanceisalsodevelopingalongtwocloselyrelatedfronts.ThefirstisAIforSecurity.AIisbecominganimportantenablerforstrengtheningsecuritycapabilities,supportingvulnerabilitydiscovery,threatanalysis,securityoperations,andriskassessmentthroughintelligentanalysis,automateddetection,anddecisionsupport.ThesecondisSecurityofAI.AsthecapabilitiesanddeploymentboundariesofAIsystemscontinuetoexpand,thesecurityofAIitselfisreceivinggrowingattention.Risksrelatedtomodelsecurity,datasecurity,agentbehavior,inter-agentcommunicationleakage,andsupply-chaindependenciesarebecomingkey

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governancepriorities.Addressingtheserisksrequiresriskassessment,life-cyclemanagement,andruntimecontrolmechanismsthatimprovethesecurityandtrustworthinessofAIsystems.

AIgovernanceismovingfromhigh-levelprinciplesandvoluntaryinitiativestowardamorematurestagethatcombinesinstitutionalarrangements,standardsdevelopment,technicalevaluation,andregulatoryimplementation.Althoughgovernanceapproachesdifferacrosscountriesandregions,abroadconsensusisemergingaroundsafetyandtrustworthiness,riskcontrol,clearaccountability,human-centereddevelopment,andopencollaboration.

1.3IndustryPerspective:CollaborativeExplorationbyDiverseStakeholders

AIgovernancerequirescollaborationamonggovernments,infrastructureproviders,technologycompanies,securityvendors,standardsorganizations,researchinstitutions,andendusers.NosinglestakeholderpossessessufficientvisibilityorauthoritytomanageallaspectsofAIrisk.

DigitalinfrastructureprovidersplayaparticularlyimportantrolebecauseAIsystemsrelyheavilyonconnectivity,computingpower,identitymanagement,andoperationalmonitoring.TrustedinfrastructureprovidesthefoundationforsecureAIdeployment.Atthesametime,collaborationacrossindustriespromotesknowledgesharing,standardization,interoperability,andcoordinatedriskmanagement.

Thelong-termsuccessofAIgovernancedependsonestablishingmechanismsthatencouragecooperationwhilemaintainingflexibilityforinnovation.

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2RisksandChallenges:AISecurityGovernanceFacesFiveMajorShifts

Thelarge-scaledeploymentofAIisfundamentallychangingthenatureofsecurityrisks.Governancechallengesincreasinglyemergefrominteractionsamongmodels,data,infrastructure,permissions,andoperationalprocesses.Asaresult,governanceapproachesmustevolvebeyondstaticcontrolsandcompliance-basedsupervision.

Fivegovernanceshiftsataglance

01TheUnknownOutweighstheKnown

Emergentbehaviorandcomplexinteractionsmakerisks

difficulttopredictbeforedeployment.

02AttacksOutpaceDefense

AIlowersthecostofvulnerabilitydiscovery,socialengineering,andcoordinatedattackcampaigns.

03EvolutionOutpacesGovernance

Newarchitecturesandscenariosevolvefasterthanstandards,rules,andgovernancemechanisms.

04DivergenceOutweighsConsensus

Sharedprinciplesexist,butregulatorytools,riskboundaries,andstandardsremainfragmented.

05BehaviorOverContent

Riskmovesfromcompliantoutputstocontrollableactions,permissions,andexecutionchains.

2.1TheUnknownOutweighstheKnown

ModernAIsystemsexhibitemergentbehaviorsthatareoftendifficulttopredict.Capabilitiessuchaslong-contextreasoning,memorymanagement,externaltool

invocation,andmulti-agentcollaborationintroduceuncertaintyintooperationalenvironments.Risksmayemergethroughcomplexinteractionsratherthanisolatedfailures.

Examplesincludehallucinations,promptinjectionattacks,objectivemisalignment,andunexpectedbehavioraloutcomes.Becausetheseriskscannotalwaysbeidentifiedduringdevelopment,governanceframeworksmustsupportcontinuousmonitoring,runtimeassessment,andadaptivemitigationstrategies.

Governancemustthereforeevolvebeyondstaticrulematchingtowardpre-deploymentriskassessment,continuousruntimemonitoring,dynamicriskevaluation,andruntimecalibration.Reassessmentshouldbetriggeredwhenkey

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elementssuchasmodels,data,toolpermissions,orapplicationscenarioschange,ensuringthatgovernancemeasuresremainalignedwiththeevolutionofAIsystems.

2.2AttacksOutpaceDefenses

AIisbecomingdeeplyembeddedinsoftwaredevelopment,securitytesting,andcyberoperations.Vulnerabilitydiscoveryisshiftingfromexpert-drivenanalysistowardintelligentworkflowsthatsupportlarge-scalescreening,automatedvalidation,andcontinuousoperation.MaliciousactorsmayuseAItoacceleratevulnerabilitydiscovery,exploitvalidation,andattack-chainorchestration,loweringpreparationcostsandexecutionbarriers.Defenders,bycontrast,mustbalancebusinesscontinuity,systemcompatibility,andoperationalstability,whichlengthensresponsechainsandwidensthetempogapbetweenattackanddefense.

AsAIisfurtherintegratedintocloudcomputing,mobilenetworks,andedgecomputing,defensemodelsthatrelyonfixedperimetersandlocaldetectionareincreasinglychallenged.Edgeintelligence,distributedinference,andautonomousagentinteractionareweakeningtraditionalnetworkboundaries.Securitygovernanceisthereforeevolvingfromperimeter-basedprotectiontowarddynamictrustenabledbydistributedtelemetry.Inthefuture,securitycapabilitieswillbefurtherembeddedintocommunicationnetworksandcomputinginfrastructure,formingadaptiveruntimeguardrailsforAIsystemsthroughoperational-statesensing,entityverification,anddynamicpolicyadjustment.

2.3EvolutionOutpacesGovernance

Technologicalinnovationoftenadvancesfasterthanstandards,regulations,andgovernancemechanisms.AIisevolvingfromsingle-modelinvocationintoanintegratedtechnicalsystemthatcombinesmultiplecapabilities,connectsmultiplesystems,andbecomesembeddedacrossmultipleoperationalstages.Itscapabilitiesareexpandingfromtextgenerationtomulti-modalunderstanding,codegeneration,tooluse,andtaskplanning,whileapplicationsareextendingfromassistant-styleQ&Atoofficecollaboration,softwaredevelopment,customerservice,operationsmanagement,andproductioncontrol.

Astechnicalforms,applicationboundaries,andoperatingmodescontinuetochange,governancerules,evaluationmethods,accountabilityboundaries,andauditmechanismsfacecontinuouspressuretoadapt.Governancethereforeneedstomovebeyondfixedrulematchingtowardamodelthatcombinesrisk-basedmanagement,principle-guidedgovernance,anddynamicadaptation.Governancerequirements

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shouldalsoexpandfromcontentcompliancetodataflows,permissionuse,externalconnections,behavioralprocesses,andaccountabilitychains.Fulllife-cycleaccesscontrol,dynamicbehaviorcalibration,real-timeriskcorrection,andcontinuousevaluationandauditingareneededtonarrowgovernancegaps.

2.4DivergenceOutweighsConsensus

Globalactorsbroadlyendorseprinciplessuchascommongood,people-centereddevelopment,safety,reliability,transparency,accountability,fairness,inclusiveness,humanoversight,andriskgovernance.However,differencesindevelopmentstages,industrialfoundations,andregulatorysystemshaveledtodifferentgovernancepathwaysintermsofregulatoryintensity,policytools,riskboundaries,responsibilityallocation,andstandardssystems.TheEUplacesgreateremphasisonriskclassification,complianceobligations,andmandatoryregulation;theUSfocusesmoreonriskmanagementframeworks,technicalguidance,industrypractice,andthebalancebetweeninnovationandgovernance;SingaporeandtheUKareexploringmoreflexibleapproaches.

Representativegovernanceframeworksandinitiativeshavealsotakenshape.TheEUArtificialIntelligenceActfocusesonriskclassificationandcompliancerequirements,NISTAIRMFemphasizesriskmanagementprocesses,andISO/IEC42001addressestheestablishmentofAImanagementsystems.TheBletchleyDeclaration,theUNESCORecommendationontheEthicsofArtificialIntelligence,andITUAIforGoodfurthercontributetoglobalconsensusonsafety,ethics,andsustainabledevelopment.

Lookingahead,greatereffortsareneededtopromoteinteroperablestandardsframeworks,evaluationmethodologies,interfacerules,andcoordinationmechanisms.Thiswillhelpdifferentstakeholdersbuildbaselineconsensusonriskidentification,informationsharing,incidentresponse,andaccountabilitytracing,therebyreducingregulatoryfrictionandcoordinationcosts.

2.5BehaviorOverContent

AsAIentersoperations,manufacturing,autonomousdriving,andinspections,modeljudgmentsandinstructionsincreasinglybecomesystemconfigurations,equipmentactions,andprocessdecisions.Riskthereforeshiftsfromcompliantcontenttocontrollablebehavior.Errorcodes,configurationmistakes,perceptionanomalies,corrupteddata,oradversarialinputscanpropagatethroughbusinessor

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perception-decision-executionchains,causingleaks,disruptions,productionfailures,orreal-worldsafetyissues.

Consequently,organizationsmustensurethatAIactionsremainwithinauthorizedboundaries.Governancemechanismsshouldincludeaccesscontrols,approvalworkflows,anomalydetection,rollbackcapabilities,andcomprehensiveauditing.ThegoalistoensurethatAIbehaviorremainspredictable,controllable,andaccountable.

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3OverallApproachtoAISecurityGovernance

ToaddressthefivemajorshiftsinAIsecuritygovernance,weproposea“1-3-9”AISecurityGovernanceFramework.Traditionalpoint-basedapproachescenteredonmodelsecurity,contentsafety,andapplicationprotectionarenolongersufficienttoaddresscross-model,cross-data,cross-tool,cross-computing,andcross-stakeholderrisksarisingfromsystemicandagenticAI.AIsecuritygovernanceisthereforemovingtowardamoreintegratedapproachthatcoversinfrastructuresupport,intelligentgovernance,applicationoperations,andecosystemcollaboration.

BuildingontheevolvingglobalAIgovernancelandscapeandthesecurityneedsoflarge-scaleAIdeployment,theframeworkisguidedbySecurityRootedinNetworks,GoverningAIwithIntelligence,andShift-LeftCollaborativeGovernance.Itconsistsofonesharedvision,threestrategicapproaches,andninedevelopmentpathways.Byembeddingsecurityrequirementsintoinfrastructuresupport,intelligentcapabilitygovernance,andindustryapplicationecosystems,theframeworkworksincoordinationwithinternationalframeworkssuchasNISTAIRMFandISO/IEC42001,providingapracticalreferencefortranslatingAIsecuritygovernanceprinciplesintoimplementation.

SixCapabilityDimensions

TrustworthyEntities

Esdsbishtrustmscbisms

Control

MeasurableRisk

Achieveriskquantificationandpreciseassessment

TraceableProcesses

andfulltraceability

ControllableBehavior

Ensdecotrolaliewareness

AlignedValues

ohadtnabenivelentiacigles

trustworthymanner

EvolvingCapabilities

otinuosritereteard

ConvergedFoundationofThreeNetworks

TellecommunicationComputing

NetworksPowerNetworks

1VisionandPositioning

3MajorStrategicApproaches

9DevelopmentPathways

GovemninCo-Defense

Securecomputing

resources

IntelligenceNetworks

Ilntelisence-

Trust

Chaining

Positioning

Bobavins

connectivity

Figure1:“1-3-9”AISecurityGovernanceFramework

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3.1Vision:BecomingFoundationBuilders,Guardians,andEnablersforAIforGreaterGood

AIisrapidlyintegratingintoproduction,dailylife,andsocialgovernance,becomingavitalforcedrivingthedevelopmentofnewproductiveforces,theconstructionofdigitalsocieties,andthemodernizationofgovernancesystems.AIsecuritygovernanceservesasacriticalpillarforensuringthatAIremainssafe,trustworthy,inclusive,beneficial,andhigh-qualityinitsdevelopment.Acrosskeyscenariossuchasdigitalandintelligentproduction,digitalandintelligentliving,anddigitalandintelligentgovernance,allindustrystakeholdersneedtocollectivelyfulfilltheirrolesinprovidingfoundationalsupport,securityassurance,andscenarioempowerment.Together,theyshouldactasfoundationbuilders,guardians,andenablersforthebeneficialdevelopmentofAI.

ForDigitalandIntelligentProduction-ActingasFoundationBuildersforTrustworthyAIDevelopment

AsAIbecomesdeeplyembeddedinkeyareassuchasR&Danddesign,productionandmanufacturing,supplychaincoordination,andoperationsmanagement,securitycapabilitieshavebecomeanessentialfoundationforindustrialintelligenttransformation.Itisnecessarytoleveragenetwork,computing,data,andplatformcapabilitiestopromotethecoordinateddevelopmentofsecuritycapabilitiesalongsideAIinfrastructure,therebyprovidingastable,reliable,safe,andtrustworthyfoundationforindustrialintelligentupgrading.

ForDigitalandIntelligentLiving—ActingasGuardiansforSecureAIApplications

Asapplicationssuchassmarthomes,intelligentterminals,andvirtualdigitalavatarsspread,AIservicesrequirestrongersafeguardsforindividualsandfamilies.Thereisanurgentneedtostrengthencomprehensivepublic-facingsecuritysafeguards.Securitygovernancemustbeembeddedthroughouttheentireprocessofintelligentproductdesign,serviceoperation,anduserinteraction,reinforcingprotectionforuserdata,servicecontent,identityauthentication,andterminalaccess.ThisensuresthatsecurityboundariesaremaintainedforAIapplicationsservingthepublic,makingintelligentapplicationsmoretrustworthyandreassuring.

ForDigitalandIntelligentGovernance—ActingasEnablersforIntegratedAIInnovation

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Asgovernmentservices,urbanoperations,publicsafety,andemergencymanagementadoptAI,cross-industryandcross-regionalcollaborationbecomesvital.ItisnecessarytopromotedeepintegrationofAIcapabilitiesandsecuritycapabilitieswithindustryscenarios,providingrobustsupportforgovernancemodernizationandintelligentsocialoperations.

Byestablishingsecurefoundationsforconnectivity,computing,andintelligentservices,theframeworkseekstosupportthelong-termdevelopmentofaresilientandtrustworthyAIecosystem.

3.2StrategicApproach

Theframeworkisbuiltuponthreestrategicprinciples:SecurityrootedintoNetworks,GoverningAIwithintelligence,andShiftLeftCo-Governance.Together,theseprinciplesprovideaholisticapproachtomanagingAIrisksthroughoutthelife

cycleofsystemsandservices.

01SecurityRootedinNetworks

02GoverningAIwithintelligence

03ShiftLeftCo-Governance

3.2.1SecurityrootedinNetworks

SecurityRootedinNetworksemphasizesdigitalinfrastructureasthefoundationforAIsecuritygovernance.Fromtheperspectiveoflarge-scaleAIdeployment,AIdependsonthecoordinatedsupportofconnectivity,computingpower,trust,data,models,andapplications.Amongthese,connectivity,computing,andtrustareessentialtosecureandreliableAIoperations,andarekeyareaswherenetworkoperatorscanprovidefoundationalsupport.

Securityrequirementsshouldthereforebeembeddedintoconnectivitylinks,computingenvironments,interactionentrypoints,andbusinessworkflows.Thisenablessecuritycapabilitiestobedeployed,monitored,andenforcedinstepwithAIoperations,forminginfrastructure-levelprotectionacrossrealoperationalchains.

3.2.2GoverningAIwithintelligence

GoverningAIwithIntelligenceemphasizestheuseofAIcapabilitiestostrengthenAIsecuritygovernance.Asmodelcapabilitiescontinuetoemerge,agentsbecomemoreautonomous,attacksbecomeincreasinglyautomated,andriskspropagateacrosschains,governancecapabilitiesmustmatchthespeedandcomplexityofevolvingrisks.

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Security-orientedAImodels,intelligentsensing,dynamicassessment,behavioralanalyses,situationalawareness,andpolicyorchestrationcanbeusedtocontinuouslyidentify,assess,andinterveneintheorigins,behaviors,andtrendsofAI-relatedrisks.Combinedwithcontinuousandautomatedsecurityvalidation,includingredteaming,attacksimulation,andriskverification,thesecapabilitieshelpuncoverpotentialrisks,refineprotectionstrategies,andformaclosedloopofriskdiscovery,validation,assessment,andsecurityimprovement.

Thisenablesgovernancetomovefromexperience-basedmanualoversighttowardhuman-AIcollaboration,intelligentjudgment,andproactivedefense.

3.2.3ShiftLeftCo-Governance

Shift-LeftCollaborativeGovernanceemphasizesembeddingsecuritygovernanceearlyintothefullprocessofAIdevelopmentandapplication,reducingriskaccumulationthroughsourcepreventionandprocesscontrol.GiventhesystemicnatureofAIsecuritygovernance,itrequirescoordinatedmanagementofcoreelements,lifecyclestages,anddiversestakeholders,movinggovernancetowardfull-scopecoverage,early-stageprevention,andmulti-partycollaboration.

Responsibilitiesshouldbeclearlydefinedamongdevelopers,deployers,users,andotherrelevantactors.Inhigh-riskscenarios,humanoversight,intervention,andaccountabilitymechanismsshouldbestrengthenedtoensurethatAIapplicationsremaincontrollableandresponsibilitiesremaintraceable.T