论算法解释的基本原则——来自司法公开的启示  

Basic Principles for Explaining Algorithm——Enlightenment from Judicial Disclosure

作　　者：包康赟 BAO Kang-yun(Peking University Law School,Beijing 100871 China)

机构地区：[1]北京大学法学院,北京100871

出　　处：《时代法学》2020年第6期40-55,共16页Presentday Law Science

摘　　要：算法解释与司法公开在规制的方式、目标、对象和成本等关键方面存在共性,在内容权属、决策类型等少数方面保有特性。在构建算法解释的治理方案时,两者的共性为此提供了借鉴基础,彼此的特性则指引了变通的方向。综合而言,司法公开对算法解释有四方面启示:第一,在定位上应确立“谦抑原则”。如同司法公开的地位,算法解释仅为算法决策的治理工具之一,不宜夸大其功能。第二,在限度上应确立“保留原则”。类似司法公开的尺度,算法解释应当有所保留。这是由其可能性、合理性和必要性共同决定的。第三,在要件上应确立“细分原则”。效仿司法公开的举措,算法解释及其各构成要件可以而且应当精细拆分,进而在具体场景下精准地满足监管要求。第四,在实施上应确立“比例原则”。恰如司法公开的实施路径,对于算法解释的内容、时机和对象,应在权衡价值冲突、计算成本收益后灵活确定。上述来自司法公开的启示,为算法解释奠定了基本原则,也将为数字经济保驾护航。Explanation of algorithm and judicial disclosure share common features in key aspects such as regulatory methods,objectives,objects,and costs.While they retain characteristics in terms of ownership and decision type.In constructing the governance plan for explaining algorithm,the commonality of the two lays a foundation for reference,and the characteristics of each other guide the direction of flexibility.On the whole,judicial disclosure has four implications for the explanation of algorithm.First,at the positioning level,the“principle of modesty”should be established.Just like the status of judicial disclosure,explanation of algorithm is only one of the governance tools for algorithmic decision-making,whose functions should not be exaggerated.Second,in terms of limits,the“principle of reservation”should be established.Similar to the scale of judicial disclosure,explanation of algorithm should be reserved.This is determined by its possibility,rationality and necessity.Third,in terms of requirements,the“principle of subdivision”should be established.Following the model of judicial disclosure,explanation of algorithm and its various components could and must be finely divided.In this way,it shall precisely meet regulatory requirements in specific scenarios.Fourth,at the implementation level,the“principle of proportionality”should be established.The content,timing,and objects of the explanation of algorithm,should be determined dynamically after weighing the value conflicts and the cost and benefit.The enlightenment from judicial disclosure has laid the basic principles for explanation of algorithmic and would escort the development of the digital economy.

关 键 词：算法解释 司法公开 算法决策 谦抑原则 保留原则 细分原则 比例原则 

分 类 号：D913[政治法律—民商法学]