颠覆性技术的科林格里奇困境与合规治理出路  

The Collingridge Dilemma of Disruptive Technologies and the Way out of Compliance Governance

作　　者：张光君[1,2] 彭池 Zhang Guangjun;Peng Chi(School of Artificial Intelligence and Law,Southwest University of Political Science and Law,Chongqing 401120,China;Intelligent Judicial Research,Chongqing 2011 Collaborative Innovation Center,Chongqing 401120,China)

机构地区：[1]西南政法大学人工智能法学院,重庆401120 [2]智能司法研究重庆市2011协同创新中心,重庆401120

出　　处：《科技管理研究》2024年第20期1-8,共8页Science and Technology Management Research

基　　金：重庆市教委人文社会科学基地研究项目“人工智能司法应用风险防范研究”(20JD021);重庆市地方立法研究协同创新中心规划项目“人工智能支撑科学立法的理论基础及实践路径”(DFLF2020Y02)。

摘　　要：颠覆性技术在发展过程中不可避免地带来风险控制和治理难题,陷入科林格里奇困境,面临技术控制的介入时机难把握、治理主体遭遇“信息赤字”难题、技术治理囿于行动者视角等三重现实困境,导致监管机构和企业主体对立,法律制度与企业制度出现鸿沟且双双失效。基于颠覆性技术与企业内外制度的双重协同演化逻辑,推导出全流程风险防控、全过程信息公开、多主体协同参与的颠覆性技术合规治理思路,以有效纠正技术治理的时间错位,弥补技术预测的不确定性,规避外部监管的被动性。结合颠覆性技术所处的生态位阶段,通过“‘黑名单’+合规指南”方式提供底线守护和支持,完善信息披露等机制,增强技术风险透明性,坚持小规模试错和试验性立法结合,构建企业合规官制度推动内外规制融通,进而构建协同合规治理体系,为解决颠覆性技术带来的治理困境提供可行的路径和策略参考。In the process of development,disruptive technologies inevitably bring risk control and governance problems,which fall into the Collingridge dilemma,facing with three practical dilemmas of the difficult time to grasp the intervention of technology control,the difficult problem of"information deficit"encountered by governance subjects,and the perspective of technology governance limited by actors.It results in the confrontation between regulatory bodies and enterprise subjects,the gap between legal system and enterprise system,and the failure of both.Based on the dual co-evolutionary logic of disruptive technologies and enterprise internal and external systems,the compliance governance ideas of whole-process risk prevention and control,whole-process information disclosure,and multi-entity collaborative participation are derived,which aim to effectively correct the time dislocation of technology governance,make up for the uncertainty of technology prediction,and avoid the passivity of external supervision.In combination with the niche stage of disruptive technologies,provide bottom line protection and support through the"'list'+compliance guide"approach,improve information disclosure and other mechanisms to enhance transparency,adhere to the combination of small-scale trial and error and experimental legislation,build a corporate compliance officer system to promote internal and external regulatory integration,and then build a collaborative compliance governance system.It provides a feasible path and strategy reference to solve the governance dilemma brought by disruptive technologies.

关 键 词：颠覆性技术 科林格里奇困境 技术-制度协同论 合规治理 技术风险治理 

分 类 号：TP18[自动化与计算机技术—控制理论与控制工程] F49[自动化与计算机技术—控制科学与工程] G301[经济管理—产业经济]