AI for Compliance Mini Survey

公司概览
Company overview
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1. 请选择贵公司的公司性质
Please select your company's nature
A.跨国公司
A.MNC
B.国内药企-国企
B.Chinese pharmaceutical enterprises - state-owned enterprises
C.国内药企-民营企业
C.Chinese pharmaceutical enterprises - private enterprises
D.其他，请具体描述
D.Other, Please specify
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2. 公司在华所有员工数规模
Total number of employees in China
A.300人（不含）以下
A.Below 300
B.300（含）-500人（不含）
B.300 (inclusive) - 500 (exclusive)
C.500（含）-1,000人（不含）
C.500 (inclusive) - 1,000 (exclusive)
D.1,000（含）-2,000人（不含）
D.1,000 (inclusive) - 2,000 (exclusive)
E.2,000（含）-3,000人（不含）
E.2,000 (inclusive) - 3,000 (exclusive)
F.3,000（含）以上
F.3,000 (inclusive) or more
G.其他，请具体描述
G.Other, Please specify
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3. 贵公司2025年在华收入规模区间
Revenue scale in China in 2025
A.10亿（不含）以下，人民币
A.Below 1 Bn (RMB)
B.10亿（含）-30亿（不含），人民币
B.1Bn (inclusive) - 5 Bn (exclusive) (RMB)
C.30亿（含）-50亿（不含），人民币
C.5Bn (inclusive) - 10 Bn (exclusive) (RMB)
D.50亿（含）-70亿（不含），人民币
D.10Bn (inclusive) - 20 Bn (exclusive) (RMB)
E.70亿（含）-100亿（不含），人民币
E.7 Bn (inclusive) - 10 Bn (exclusive) (RMB)
F.100亿（含）-150亿（不含），人民币
F.10Bn (inclusive) - 15 Bn (exclusive) (RMB)
G.150亿（含）以上，人民币
G.15 Bn(inclusive) or more (RMB)
H.其他，请具体描述
H.Other, Please specify
AI应用趋势
AI Application Trends
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1.贵公司目前处于AI在合规管理应用的哪个阶段？【单选】
At which stage is your company currently in applying AI to compliance management? [Select one]
A. 尚未探索（无明确计划和试点）
A. Not yet explored (no confirmed plans or pilots)
B. 初步探索（已进行内部讨论或概念验证）
B. Initial exploration (internal discussions or PoC phase)
C. 试点实施（在1-2个合规领域开展试点项目）
C. Pilot implementation (pilot projects launched in 1–2 compliance areas)
D. 局部推广（在多个合规领域常态化使用AI工具）
D. Partial deployment (AI tools routinely used across multiple compliance domains)
E. 深度整合（AI已系统性嵌入全流程合规管理）
E. Deep integration (AI systematically integrated into end-to-end compliance management)
F. 其他（请注明）：
F. Other (please specify):
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2. AI目前在合规工作中的角色（作用）更接近？【单选】
Which of the following best describes AI’s current role in compliance? [Select one]
A. 辅助工具（仅支持人工）
A. Supporting tool (human-led, AI support only)
B. 半自动化（人工+AI协作）
B. Semi-automated (human-AI collaboration)
C. 自动触发预警，人工复核
C. Automated alerting with manual review
D. 部分流程实现自动决策
D. Partial automation of decision-making processes
E. 尚未应用
E. Not yet implemented
F. 其他（请注明）：
F. Other (please specify):
AI落地实践
AI Practical Implementation
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3. 贵公司2026年在合规领域AI投入预算的规模为?【单选】
What is your company's budget allocation for AI-related compliance initiatives in 2026? [Select one]
A. 100万元元以下
A. Below 1 million (RMB)
B. 100万元 - 200万元（含100万元）
B. 1 (inclusive) - 2million (exclusive) (RMB)
C. 200万元 - 500万元（含200万元）
C. 2 (inclusive) - 5 million (exclusive) (RMB)
D. 500万元 - 800万元（含500万元）
D. 5 (inclusive) - 8million (exclusive) (RMB)
E. 800万元 - 1000万元（含800万元）
E. 8 (inclusive) -10million (exclusive) (RMB)
F. 1000万元 - 1500万元（含1000万元）
F. 10 (inclusive) - 15million (exclusive) (RMB)
G. 1500万元 - 2000万元（含1500万元）
G. 15 (inclusive) - 20million (exclusive) (RMB)
H. 2000万元以上（含2000万元）
H. Above 20million (RMB)
I. 无专项合规Al预算
I. No dedicated compliance Al budget
J. 其他（请注明）：
J. Other (please specify):
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4. 贵司合规部门AI应用场景落地情况及成熟度如何？场景如下：【单选】
How is the implementation and maturity of AI applications in your company’s compliance department?
Implementations include: [Select one]
未应用 Not yet implemented试点/PoC Pilot / PoC局部落地 Limited deployment规模化应用 Scaled implementation
4.1 HCP费用异常监测（讲者费/会议费）
HCP expense anomaly detection (speaker fees / meeting fees)
4.1 HCP费用异常监测（讲者费/会议费）
HCP expense anomaly detection (speaker fees / meeting fees)
4.2 学术会议执行合规监测
Compliance detection of academic conference execution
4.2 学术会议执行合规监测
Compliance detection of academic conference execution
4.3 合规文件审阅（如学术会议资料审核）
Compliance document review (e.g., review of academic conference materials)
4.3 合规文件审阅（如学术会议资料审核）
Compliance document review (e.g., review of academic conference materials)
4.4 CSO/经销商行为监测
CSO/distributor behavior detection
4.4 CSO/经销商行为监测
CSO/distributor behavior detection
4.5 合规尽调（如合作方合规风险筛查、背景核查）
Compliance due diligence (e.g., partners' compliance risk screening and background checks)
4.5 合规尽调（如合作方合规风险筛查、背景核查）
Compliance due diligence (e.g., partners' compliance risk screening and background checks)
4.6 合规BP咨询答疑（如合规问题智能回复、政策解读）
Compliance BP advisory and Q＆A (e.g., AI-powered responses to compliance queries, policy interpretation)
4.6 合规BP咨询答疑（如合规问题智能回复、政策解读）
Compliance BP advisory and Q＆A (e.g., AI-powered responses to compliance queries, policy interpretation)
4.7 合规培训（如智能题库、个性化培训推送）
Compliance training (e.g., intelligent question bank, personalized training recommendations)
4.7 合规培训（如智能题库、个性化培训推送）
Compliance training (e.g., intelligent question bank, personalized training recommendations)
4.8 合规飞检(如智能分析语音声纹)
Compliance spot checks (e.g., intelligent analysis of voice and speech patterns)
4.8 合规飞检(如智能分析语音声纹)
Compliance spot checks (e.g., intelligent analysis of voice and speech patterns)
4.9 合规调查(如违规线索筛查、证据分析)
Compliance investigations (e.g., violation clue screening, evidence analysis)
4.9 合规调查(如违规线索筛查、证据分析)
Compliance investigations (e.g., violation clue screening, evidence analysis)
4.10 合规雷达（如可视化看板）
Compliance radar (e.g., visual dashboards)
4.10 合规雷达（如可视化看板）
Compliance radar (e.g., visual dashboards)
4.11 AI for BI（如数据洞察AI智能回复）
AI for BI (e.g., AI-powered intelligent responses for data insights)
4.11 AI for BI（如数据洞察AI智能回复）
AI for BI (e.g., AI-powered intelligent responses for data insights)
4.12 其他：请注明
Other: Please specify
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5. 您对AI项目成功的价值期望是什么？【按重要性依次排序】
What are your value expectations for the success of AI projects? [Rank by importance]【排序题】
  • A. 直接成本节约（如减少多少FTE）
    A. Direct cost savings (e.g., reduction in FTEs)
  • B. 收入/转化率提升（如提高拜访有效率）
    B. Revenue or conversion rate improvement (e.g., increased effectiveness of client visits)
  • C. 流程时间大幅缩短（如一个合规会议审批从2天降为2小时）
    C. Significant reduction in process time (e.g., compliance meeting approval time reduced from 2 days to 2 hours)
  • D. 降低错误率和风险概率（如从抽检变成全检）
    D. Reduction in error rate and risk probability (e.g., shift from random sampling to full inspection)
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6. 就AI在合规管理中的应用，您认为最合理的落地模式是？【单选】
Regarding the AI application in compliance management, which implementation model do you consider most reasonable? [Select one]
A.沿用总部部署的统一平台和技术
A.Adopt the unified platforms and technologies deployed by headquarters
B. 采购成熟的第三方SaaS服务，快速部署，关注业务应用而非技术细节
B. Procure established third-party SaaS solutions for rapid deployment, focusing on business application rather than technical intricacies
C. 与专业公司合作定制开发，更能贴合自身业务流和合规需求
C. Collaborate with specialized vendors to co-develop customized solutions, better aligning with internal business processes and compliance requirements
D. 加大内部研发投入，自主研发核心算法，将AI能力构建为核心竞争力
D. Increase internal R＆D investment to develop core algorithms in-house, positioning AI capabilities as a strategic competitive advantage
E. 暂不进行大规模投入，以观察和试点为主
E. No large-scale investment for now, focusing on observation and pilot projects
F. 其他（请注明）：
F. Other (please specify):
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7. 贵司认为最有价值且最希望能落地的AI场景是哪些？【多选，限选5个】
Which AI applications does your company consider the most valuable and most desired to implement? [Select all that apply, up to 5]【最多选择5项】
A. HCP费用异常监测（讲者费/会议费）
A. HCP expense anomaly detection (speaker fees / meeting fees)
B. 学术会议执行合规监测
B. Compliance detection of academic conference execution
C. 合规文件审阅（如学术会议资料审核）
C. Compliance document review (e.g., review of academic conference materials)
D. CSO/经销商行为监测
D. CSO/distributor behavior detection
E. 合规尽调（如合作方合规风险筛查、背景核查）
E. Compliance due diligence (e.g., partners' compliance risk screening and background checks)
F. 合规BP咨询答疑（如合规问题智能回复、政策解读）
F. Compliance BP advisory and Q＆A (e.g., AI-powered responses to compliance queries, policy interpretation)
G. 合规培训（如智能题库、个性化培训推送）
G. Compliance training (e.g., intelligent question banks, personalized training recommendations)
H. 合规飞检(如智能分析语音声纹)
H. Compliance spot checks (e.g., intelligent analysis of voice and speech patterns)
I. 合规调查(如违规线索筛查、证据分析)
I. Compliance investigations (e.g., violation clue screening, evidence analysis)
J. 合规雷达（如可视化看板）
J. Compliance radar (e.g., visual dashboards)
K. AI for BI（如数据洞察AI智能回复）
K. AI for BI (e.g., AI-powered intelligent responses for data insights)
L. 其他（请注明）：
L. Other (please specify):
AI治理挑战
AI Governance Challenges
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8. 在推进AI场景落地应用过程中，贵公司面临的最大挑战是什么？
What is the biggest challenge your company faces in advancing the AI practical application? [Select all that apply]【多选题】
A. 找不到合适场景
A. Difficulty identifying suitable use cases
B. 责任困境，AI 出错难定责
B. Accountability dilemma — unclear responsibility when AI errors occur
C. AI准确率不能满足业务需求
C. AI accuracy fails to meet business requirements
D. 全球总部AI工具与本地合规要求冲突（例如，Global推荐的生成式AI不符合中国数据出境法规）
D. Conflict between the application of global headquarters’ AI tools and local compliance requirements (e.g., generative AI solutions recommended by Global do not comply with China’s data export regulations)
E. 缺乏内部专业人才（既懂合规又懂AI的复合型人员稀缺）
E. Lack of internal specialized talents (shortage of cross-functional professionals with expertise in both compliance and AI)
F. 算法透明度与可解释性不足（难以向监管机构解释AI决策逻辑）
F. Insufficient algorithm transparency and explainability (challenges in justifying AI decision-making logic to regulators)
G. 实施成本过高或预算不足
G. High implementation costs or insufficient budget allocation
H. 投资回报率不明确、难以量化（担忧投入成本高于效率提升收益）
H. Unclear or unquantifiable return on investment (concerns that implementation costs may exceed efficiency gains)
I. 涉及部门多流程重构的阻力大
I. Significant resistance to process reengineering due to involvement of multiple departments
J. 现有IT基础设施整合难度大
J. Challenges in integrating with existing IT infrastructure
K. 都是散点的AI建设，缺乏整体性规划，投资很多但未形成合力
K. Fragmented AI initiatives lacking a holistic strategy — substantial investment made but no synergistic impact
L. 数据安全与隐私顾虑（担心敏感合规数据泄露）
L. Data security and privacy concerns (fear of sensitive compliance data leakage)
M. 数据质量不佳或数据分散，较难整合使用
M. Poor data quality or data silos, making integration and utilization difficult
N. 其他（请注明）：
N. Other (please specify) :
O. 不涉及AI应用，尚未遇到此问题
O. No AI applications involved; the issue has not been encountered
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9. 在贵公司当前或计划中的AI应用中，您认为在AI合规治理方面最亟需加强的领域是？
In your company's current or planned AI applications, which areas of AI compliance governance do you believe need the most improvement? [Select all that apply]【多选题】
A. 需要整体性规划以形成合力
A. An overall strategy to create synergy
B. AI系统的透明性与可解释性（例如：确保AI决策逻辑可被审查）
B. Transparency and explainability of AI systems (e.g., ensuring AI decision-making logic is auditable and interpretable)
C. 数据隐私与患者信息安全（例如：符合GDPR、中国《个人信息保护法》等法规）
C. Data privacy and patient information security (e.g., compliance with regulations such as GDPR and China’s Personal Information Protection Law)
D. AI使用过程中的偏见识别与公平性保障
D. Identification of bias and assurance of fairness in AI applications
E. AI相关操作的内部审批与问责机制
E. Internal approval processes and accountability mechanisms for AI-related operations
F. 与监管机构就AI应用进行有效沟通和报备的策略
F. Strategies for effective communication and reporting to regulatory authorities regarding AI adoption
G. 需要明确内部AI治理政策或跨部门协作机制
G. Need to establish clear internal AI governance policies or cross-functional collaboration frameworks
H. 加强对第三方AI供应商的合规风险评估与管理
H. Strengthened assessment and management of compliance risks associated with third-party AI vendors
I. 尚未系统考虑AI合规问题 / 暂无AI应用场景
I. AI compliance issues have not yet been systematically addressed / No AI use cases currently in scope
J. 其他（请注明）：
J. Other (please specify) :
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10. 因地缘政策导致“Global AI工具难以在本地直接落地”的挑战，贵公司是否得到有效解决，若已有成功经验，是通过什么方式解决？【单选】
Has your company effectively addressed the challenge of ‘Global AI tools being difficult to implement locally due to geopolitical policies’? If successful, what approaches were implemented? [Select one]
A.国内药企，本题不适用
A.Chinese pharmaceutical enterprises, not applicable for this question
B. 是。与Global积极沟通，争取在合规前提下使用经过脱敏处理的本地数据在Global平台进行模型微调
B. Yes. Actively engaging with Global to seek approval for fine-tuning models on the Global platform using desensitized local data on a compliant basis.
C. 是。本地化部署，选择或开发符合中国法规的本地化AI解决方案，即使初期功能相对简单
C. Yes. Opting for on-premise deployment and selecting or developing AI solutions compliant with China’s regulatory requirements, even if initial functionality is limited.
D. 是。暂缓推进，等待Global工具更新或全球监管框架统一后再做打算
D. Yes. Temporarily pausing progress, awaiting updates to Global tools or alignment of global regulatory frameworks before proceeding.
E. 是。采用混合模式，非核心业务使用Global工具，核心合规审核流程使用本地化工具
E. Yes. Adopting a hybrid approach: using Global tools for non-core functions while reserving locally compliant solutions for critical compliance review processes
F. 其他（请注明）：
F. Other (please specify) :
G. 否，未解决
G. No, the issue remains unresolved.
H. 不涉及AI应用，尚未遇到此问题
H. No AI applications involved; the issue has not been encountered
AI风险认知
AI Risk Perception
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11. 您最担忧AI在合规领域应用带来的哪些风险？
What risks related to AI compliance are you most concerned about? [Select all that apply]
【多选题】
A. 模型漂移：AI模型随时间推移性能衰减，导致风险误判
A. Model drift: AI model performance degrades over time, making it difficult to explain how specific conclusions are generated
B. 算法偏见：训练数据偏差可能导致AI对特定业务场景或区域产生歧视性判断
B. Inconsistency and bias: AI may display bias or produce inconsistent judgments across specific business scenarios or regions
C. 数据泄露：核心合规数据在AI处理过程中被泄露或滥用
C. Data leakage: Core compliance data may be leaked or misused during processing
D. 责任界定困难：AI参与决策后，出现合规问题时的责任归属不清
D. Difficulty in defining liability: When AI is involved in decision-making, responsibility becomes unclear in the event of compliance failures
E. 过度依赖：员工因信任AI而削弱独立判断能力，形成新的风险盲区
E. Over-reliance: Excessive trust in AI may erode employees’ independent judgment, creating new blind spots and risks
F. 其他（请注明）：
F. Other (please specify) :
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12. 为应对AI风险，贵公司已建立或计划建立哪些治理机制？
To mitigate AI-related risks, what governance mechanisms has your company established or plans to establish? [Select all that apply]【多选题】
A. 成立跨部门AI治理委员会（含合规、法务、IT、业务）
A. Establish a cross-functional AI Governance Committee (including Compliance, Legal, IT, and Business units)
B. 制定专门的AI系统验证与生命周期管理SOP
B. Develop dedicated SOPs for AI system validation and lifecycle management
C. 明确所有AI决策的最终责任由指定人员承担（人机回环，Human-in-the-loop）
C. Clearly designate responsible individuals for all AI-driven decisions (implementing a human-in-the-loop mechanism to ensure accountability)
D. 建立AI应用清单和审计追踪日志，确保所有操作可追溯
D. Maintain an AI application inventory and audit trail logs to ensure full traceability of actions
E. 尚未建立明确机制
E. No mechanism established yet
F. 其他（请注明）：
F. Other (please specify) :
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