李 安

(中南财经政法大学知识产权研究中心 武汉 430073)

Algorithm Impact Assessments: Institutional Innovation of Algorithm Regulation

Li An

(Research Centre of Intellectual Property, Zhongnan University of Economics and Law, Wuhan 430073)

Abstract: [Purpose/Significance] While promoting the intelligent revolution, algorithms bring a series of technical risks and social problems, mainly including algorithm black box and algorithm bias. Therefore, it is necessary to explore the effective path of algorithm regulation from the institutional level. [Method/Process] The key point of algorithm regulation is to improve the transparency. In comparison with the existing methods of algorithm transparency, the institutional superiority of Algorithm Impact Assessments (AIAs) is proposed. Furthermore, AIAs is deeply analyzed from two perspectives called institutional origins and theoretical basis. And the specific construction of AIAs is discussed systematically from the aspects of classification management, the scope of assessment, the procedure of assessment, impact statement, etc. [Result/Conclusion] AIAs can contribute to building a transparent and fair algorithm society. China should closely keep pace with the legislative policy trend of European and American countries (regions), and take the "two-step" scheme to promote the construction and improvement of the AIAs.

Keywords: artificial intelligence; algorithm transparency; Algorithmic Impact Assessments; mate-regulation; information law

0 引 言

人工智能社会本质上是一个“算法泛在”并由“算法主导”的社会。人工智能社会的一个突出表现是，基于算法的自动决策正在逐步地替代或补充人类决策：银行使用算法系统对用户进行信用评级和风险评估，以此为基础决定是否对其发放贷款；互联网企业采用协同过滤等算法技术对商品和内容实行个性化推荐，面向消费者进行精准营销；网络平台采用感知哈希算法对用户上传的内容进行识别查验，自动移除或屏蔽版权侵权、暴力恐怖、淫秽色情等违法内容。这些算法应用，既有商业性决策，也有社会政策性决策，覆盖了人类社会的方方面面，对我们的生产生活产生了意义深远的影响。

算法技术在推动人类社会智能化革命的同时也催生了一系列技术风险和社会问题，其突出表现为算法偏见和算法黑箱：a.算法偏见，即算法应用中存在的不公正现象。比如，动态定价算法系统以用户提交的身份信息和过往的行为信息为基础“算计”用户，对其实行价格歧视，俗称“杀熟”；另如，版权人和网络平台采用的版权算法决策系统，倾向于保护版权人利益，而侵害用户合理使用作品的合法权益，出现过渡执法的“积极错误”(false positive)[1]。b.算法黑箱，即算法决策过程的不公开、不透明。产生算法黑箱的原因很复杂，主要有两点：一是在事实层面，以晦涩难懂的目标代码为表达形式的算法具有天生的不透明性；……