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算法嵌入政府环境治理的正向效应、潜在风险与规制路径OA北大核心CSSCICSTPCD

Positive effects,potential risks,and regulatory paths of algorithm-embedded government environmental governance

中文摘要英文摘要

与传统的政府环境治理模式相比,政府运用算法开展环境治理具有明显的正向效应:能够提升环境治理的精准性、预测性和高效性.算法嵌入政府环境治理的过程容易引发伦理、工具和法治三个维度的风险.伦理维度中面临价值失衡风险,工具维度中包含环境数据结构性不足、环境算法模型透明度不足的风险,法治维度中则存在环境算法模型掌控者权力滥用和责任分配不均的风险,故有必要对算法嵌入政府环境治理所诱发的风险建构系统性的法律规制体系,从而充分发挥算法自动化决策的环境治理优势.在规制路径的选择上,应当立足于宏观基本原则指引和具体规制方案设计两个方面,对算法嵌入政府环境治理的潜在风险进行系统规范:宏观层面上,算法嵌入政府环境治理应该遵循依法治理、公平正义、浮动比例和正当程序的基本原则.在具体的规制方案上,既要建立算法嵌入政府环境治理的支持结构,以发挥算法嵌入政府环境治理的优势,又要根据算法本身的漏洞,进行适当的规则变动,从而通过"支持性结构和适应性流变相平衡"的方式,提升具体规制方案的可行性.在具体规制方案的架构上,应秉持全过程治理的视角,实现事前预防、事中监管和事后归责相统一:在事前预防部分,要求算法嵌入政府环境治理能够切实符合伦理要求,建立完善的环境数据核准、反馈和保护机制以及环境算法模型的解释机制.在事中监管部分,应当建立算法嵌入政府环境治理的部门、社会组织和社会公众监管制度.在事后归责部分,需要压实算法嵌入政府环境治理的责任分配制度.

Compared with the traditional government environmental governance model,the government's use of algorithms to carry out environmental governance has obvious positive effects:it can improve the accuracy,predictability,and efficiency of environmental gov-ernance.However,embedding algorithms into government environmental governance can easily lead to risks in three dimensions:eth-ics,tools,and the rule of law.The ethical dimension faces the risk of value imbalance;the tool dimension includes the risk of insuffi-cient environmental data structure and insufficient transparency of environmental algorithm models;and the legal dimension includes the risk of abuse of power and uneven distribution of responsibilities by those who control the environmental algorithm models.There-fore,it is necessary to address the risks induced by embedding algorithms in government environmental governance and to build a sys-tematic legal regulation system,thereby fully leveraging the advantages of algorithmic automated decision-making in environmental gov-ernance.In the selection of regulatory paths,the potential risks of algorithms embedded in government environmental governance should be systematically regulated based on the guidance of basic macro principles and the design of specific regulatory plans.At a macro level,algorithms embedded in government environmental governance should follow the basic principles of legal governance,fair-ness and justice,floating proportions,and due process.In terms of specific regulatory plans,it is necessary to establish a support struc-ture for algorithms embedded in government environmental governance to take advantage of these algorithms.It is also necessary to make appropriate rule changes based on the loopholes of the algorithms themselves,using the'supportive structures and adaptive flow phase balance'method to improve the feasibility of specific regulatory plans.The structure of the specific regulatory plan should adhere to the perspective of whole-process governance and achieve the unity of prevention beforehand,supervision during the incident,and ac-countability after the incident.The pre-prevention part requires that algorithms embedded in government environmental governance ef-fectively meet ethical requirements,and a complete environmental data approval,feedback,and protection mechanism,along with an explanation mechanism for environmental algorithm models,should be established.The interim supervision part should establish de-partments and social organizations where algorithms are embedded in government environmental governance as well as a public supervi-sion system.The ex post facto attribution part needs to embed the algorithm into the responsibility allocation system of government envi-ronmental governance.

秦鹏;周继钊

重庆大学法学院,重庆 400044

政治法律

算法决策政府环境治理治理风险法律规制

algorithmic automated decision-makinggovernment environmental governancegovernance risklegal regulation

《中国人口·资源与环境》 2024 (006)

80-89 / 10

中央高校基本科研业务费重大专项"'双碳'目标下生产生活方式绿色变革的法治保障研究"(批准号:2022CDJSKPY26).

10.12062/cpre.20240322

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