算法治理适用比例原则的法理

Jurisprudential Analysis of the Application of the Principle ofProportionality to Algorithmic Governance

当下各国政策、法律、判例和研究都强调用比例原则来评估、规制公共部门的算法治理,比例原则的规范性法理有待进一步发掘,应使其更有效地内化为公共部门治理者思考和行动原则。比例原则强调算法治理中的人类主体性,适用比例原则需要治理者秉持明智思维,包括审慎思维、法治思维和权利思维。适用比例原则体现了人类治理者的自信,结合必要性原则的规范性可以推导出:治理者可以拒绝算法建议,公共部门可以拒绝采购、使用算法。通过评估治理者是否“依法”开展算法治理,比例原则不仅意味着“少做”,更激励治理者“多做”。算法治理适用比例原则需要优化必要性、适当性原则和证明责任要求。

Current policies,laws,precedents,and research in various countries emphasize the use of the principle of proportionality to evaluate and regulate algorithmic governance in the public sector.The normative aspect of the principle of proportionality requires further exploration to be more effectively internalized as a guiding principle for public sector governance.The principle of proportionality emphasizes human agency in algorithmic governance.Applying this principle requires governance actors to adhere to wise thinking,including prudent thinking,rule of law thinking,and rights-based thinking.The application of the principle of proportionality reflects the confidence of human governors.Combined with the normativity of the necessity principle,it can be deduced that governors can reject algorithmic recommendations,and the public sector can refuse to procure and use algorithms.By evaluating whether governors conduct algorithmic governance“according to law”,the principle of proportionality not only implies“doing less”but also encourages governors to“do more”.Applying the principle of proportionality in algorithmic governance need to optimize the principles of necessity,appropriateness,and the requirements of the burden of proof.