通过算法审计规制自动化决策以社会技术系统理论为视角

Regulating Automated Decision-Making through Algorithmic Auditing Perspectives from Socio-Technical Systems Theory

自动化决策并非纯粹的技术工具,而是一种社会技术系统,由社会子系统和技术子系统构成,其引发的风险具备社会性,有必要进行规制。以个体赋权、信息规制、技术问责为代表的传统规制路径缺乏社会技术思维,容易陷入“破损谬误”泥淖,难以因应自动化决策的风险与挑战,无法有效实现法律及伦理规范提出的规制目标。算法审计作为一种社会技术方法,能够很好地契合自动化决策的社会技术系统属性,具备诸多方法论优势和国际实践经验。从建构社会技术系统工程的角度出发,根据审计学的一般原理,我国可以从规范指引、实施主体、方法选择和实施结果四个方面推动算法审计实现制度化发展,并在此基础上探索基于场景的算法审计,实现可信赖的自动化决策。

Automated decision-making is a socio-technical system that consists of social and technical subsystems.It is not solely a technical tool and poses social risks that require regulation.The conventional regulatory approaches of individual empowerment,information regulation,and technical accountability lack socio-technical considerations and are susceptible to the“fallacy of the broken part”,which is inadequate for addressing the risks and challenges of automated decision-making.As a result,they are unable to effectively achieve the regulatory objectives outlined by legal and ethical norms.Algorithmic auditing can be a suitable socio-technical method for automated decision-making systems.It has many methodological advantages and practical experience internationally.To construct socio-technical system engineering,China can promote the institutionalized development of algorithmic auditing in four aspects:normative guidelines,implementation subjects,methodological choices and implementation results.The general principles of auditing should be followed.Additionally,context-based algorithmic auditing should be explored to achieve trustworthy automated decision-making.