数字科技伦理监管:美国进展与中国借鉴  

Ethical Regulation of Digital Technology:Progress in the United States and Reference From China

作　　者：肖红军[1] 阳镇 XIAO Hong-jun;YANG Zhen(Institute of Industrial Economics,Chinese Academy of Social Sciences,Beijing 100006,China;Research Center of Technological Innovation,Tsinghua University,Beijing 100084,China)

机构地区：[1]中国社会科学院工业经济研究所,北京100006 [2]清华大学技术创新研究中心,北京100084

出　　处：《财经问题研究》2023年第6期73-86,共14页Research On Financial and Economic Issues

基　　金：国家社会科学基金重大项目“国企混合所有制改革的实现路径选择研究”(20&ZD073);中国社会科学院国情调研重大项目“数字科技伦理监管制度调查研究”(GQZD2023009);中国社会科学院登峰战略企业管理优势学科建设项目。

摘　　要：新一轮数字技术产生了全新的数字经济形态和数字社会,但也引发了系列负外部性问题,数字科技伦理监管成为数字经济时代必须直面的重大现实议题,既有研究对数字科技伦理监管的理论框架、监管模式和主要议题缺乏深度解构。本文立足美国数字科技伦理监管的最新政策布局与监管实践,解析美国数字科技伦理监管的主要主体、监管模式和重点议题,搭建面向数字科技伦理监管的“监管主体—监管模式—监管机制”的一般性理论框架,研究发现,美国数字科技伦理监管主体涵盖“联邦政府—州政府—行业协会—企业”等多元主体,监管模式型侧重以国会为主导的美国政府立法与标准引领型监管、行业协会和研究机构等社会组织多元参与型监管,以及企业以数字科技伦理嵌入公司治理的嵌入型自治模式的三重主导模式,监管重点议题涵盖道德式人工智能与透明、公平和可解释的算法以及数据隐私与数据伦理等核心议题。中国加快构建数字科技伦理监管体系,需要强化数字科技伦理监管立法,在分层分类思路开展数字科技伦理制度设计和政策执行的基础上,需要进一步发挥地方数字科技伦理监管政策制定与执行的自主性原则,调动数字企业在数字科技伦理监管与治理方面的治理标准、行业规范、企业倡议、治理指南和操作手册等方面的引领作用。In recent years,a new round of technological revolution and industrial revolution driven by digital technology has evolved alternately,giving birth to new forms of digital economy,and promoting the innovative development of digital industrial organizations and digital enterprises.However,digital technology has also produced many negative social problems in the process of enabling economy and high⁃quality social development.Based on this,it is urgent to accelerate the construction of a regulation and governance system in the process of digital technology innovation and development.This article takes the ethical regulation of digital technology in the United States as the main research object,takes strategic texts and policy documents introduced by the US government and local governments in recent years as the scope of literature search,and makes full use of Internet materials to manually organize annual reports and public speeches of management of major digital technology enterprises in the United States.We discuss institutional arrangements related to ethical regulation of digital technology in the text,and conduct systemic analysis of policy deployment,major regulatory strategies,and key areas of ethical regulation of digital technology.The research results show that firstly,regulatory entities of digital technology ethics in the United States cover multiple levels and types of entities,such as the‘federal government⁃state governments⁃industry associations⁃enterprises’.The regulatory models mainly include the legislative and standard⁃led regulatory model led by the Congress,the participatory regulatory model of multiple social organizations such as industry associations and research institutions,and the embedded regulatory model in digital technology ethics governance for enterprises.Secondly,in terms of policy layout for ethical regulation of digital technology,it mainly focuses on the development and application of digital technologies such as artificial intelligence,big data,and blockchain.The k

关 键 词：数字科技伦理 监管模式 数字企业 

分 类 号：F49[经济管理—产业经济] F125.1