The construction of social credit systems--whether under the coordinating guidance of state organs in Marxist Leninist systems, or subject to compliance oversight of the administrative organs of the state but otherwise markets driven in liberal democratic systems--is heavily dependent on its analytics. And those analytics are a critical aspect of systemic integrity. Just as data management is an important responsibility of those charged with its stewardship, so the construction and application of analytics--especially algorithms that embody in quantitative form the key normative elements embedded in its assumptions--becomes a critical element in the protection of the integrity of social credit systems. More importantly, the management of algorithms in this context also expresses in quantitative form the political power of those who assert authority over its data based systems of nudging behaviors and embedding societal expectations in collectives.
It is natural then for political bodies now driving their domestic legal orders through the mechanisms of quantitative measures, to take a substantially more protective set of measures touching on the development, use and modification of algorithms. To that end the Chinese National Internet Information Office has distributed a draft for comments of its "Internet Information Service Algorithm Recommendation Management Regulations 国家互联网信息办公室关于《互联网信息服务算法推荐管理规定（征求意见稿）》. The object is to bring some order, and to assert a more centralized control at some high level of generality, of mechanisms through which quantitative recommendations are exploited--and their use sometimes corrupted--by its producers. Among its more interesting provisions include the delegation of some measure of self regulation (subject of course to public oversight) (¶5). The required systems of accountability and auditing (¶8) is also worth considering.
The text in the original and a crude English translation follows.
国家互联网信息办公室关于《互联网信息服务算法推荐管理规定（征求意见稿）》
公开征求意见的通知为了规范互联网信息服务算法推荐活动，维护国家安全和社会公共利益，保护公民、法人和其他组织的合法权益，促进互联网信息服务健康发展，我办起草了《互联网信息服务算法推荐管理规定（征求意见稿）》，现向社会公开征求意见。公众可通过以下途径和方式提出反馈意见：
1.登录中华人民共和国司法部 中国政府法制信息网（www.moj.gov.cn、www.chinalaw.gov.cn），进入首页主菜单的“立法意见征集”栏目提出意见。
2.通过电子邮件将意见发送至：jishu10@cac.gov.cn。
3.通过信函将意见寄至：北京市西城区车公庄大街11号国家互联网信息办公室网络法治局，邮编：100044，并请在信封上注明“互联网信息服务算法推荐管理规定征求意见”字样。
意见反馈截止日期为2021年9月26日。
附件：互联网信息服务算法推荐管理规定（征求意见稿）
国家互联网信息办公室
2021年8月27日
互联网信息服务算法推荐管理规定
（征求意见稿）
第一条 为了规范互联网信息服务算法推荐活动，维护国家安全和社会公共利益，保护公民、法人和其他组织的合法权益，促进互联网信息服务健康发展，弘扬社会主义核心价值观，根据《中华人民共和国网络安全法》、《中华人民共和国数据安全法》、《中华人民共和国个人信息保护法》、《互联网信息服务管理办法》等法律、行政法规，制定本规定。
第二条 在中华人民共和国境内应用算法推荐技术提供互联网信息服务（以下简称算法推荐服务），适用本规定。法律、行政法规另有规定的，依照其规定。
前款所称应用算法推荐技术，是指应用生成合成类、个性化推送类、排序精选类、检索过滤类、调度决策类等算法技术向用户提供信息内容。
第三条 国家网信部门负责全国算法推荐服务的监督管理执法工作。省、自治区、直辖市网信部门依据职责负责本行政区域内算法推荐服务的监督管理执法工作。
第四条 算法推荐服务提供者提供算法推荐服务，应当遵守法律法规，尊重社会公德和伦理，遵守商业道德和职业道德，遵循公正公平、公开透明、科学合理和诚实信用的原则。
第五条 鼓励相关行业组织加强行业自律，建立健全自律制度和行业准则，组织制定行业标准，督促指导算法推荐服务提供者建立健全服务规范、依法提供服务并接受社会监督。
第六条 算法推荐服务提供者应当坚持主流价值导向，优化算法推荐服务机制，积极传播正能量，促进算法应用向上向善。
算法推荐服务提供者不得利用算法推荐服务从事危害国家安全、扰乱经济秩序和社会秩序、侵犯他人合法权益等法律、行政法规禁止的活动，不得利用算法推荐服务传播法律、行政法规禁止的信息。
第七条 算法推荐服务提供者应当落实算法安全主体责任，建立健全用户注册、信息发布审核、算法机制机理审核、安全评估监测、安全事件应急处置、数据安全保护和个人信息保护等管理制度，制定并公开算法推荐相关服务规则，配备与算法推荐服务规模相适应的专业人员和技术支撑。
第八条 算法推荐服务提供者应当定期审核、评估、验证算法机制机理、模型、数据和应用结果等，不得设置诱导用户沉迷或者高额消费等违背公序良俗的算法模型。
第九条 算法推荐服务提供者应当加强信息内容管理，建立健全用于识别违法和不良信息的特征库，完善入库标准、规则和程序。发现未作显著标识的算法生成合成信息的，应当作出显著标识后，方可继续传输。
发现违法信息的，应当立即停止传输，采取消除等处置措施，防止信息扩散，保存有关记录，并向网信部门报告。发现不良信息的，应当按照网络信息内容生态治理有关规定予以处置。
第十条 算法推荐服务提供者应当加强用户模型和用户标签管理，完善记入用户模型的兴趣点规则，不得将违法和不良信息关键词记入用户兴趣点或者作为用户标签并据以推送信息内容，不得设置歧视性或者偏见性用户标签。
第十一条 算法推荐服务提供者应当加强算法推荐服务版面页面生态管理，建立完善人工干预和用户自主选择机制，在首页首屏、热搜、精选、榜单类、弹窗等重点环节积极呈现符合主流价值导向的信息内容。
第十二条 算法推荐服务提供者应当综合运用内容去重、打散干预等策略，并优化检索、排序、选择、推送、展示等规则的透明度和可解释性，避免对用户产生不良影响、引发争议纠纷。
第十三条 算法推荐服务提供者不得利用算法虚假注册账号、非法交易账号、操纵用户账号，或者虚假点赞、评论、转发、网页导航等，实施流量造假、流量劫持；不得利用算法屏蔽信息、过度推荐、操纵榜单或者检索结果排序、控制热搜或者精选等干预信息呈现，实施自我优待、不正当竞争、影响网络舆论或者规避监管。
第十四条 算法推荐服务提供者应当以显著方式告知用户其提供算法推荐服务的情况，并以适当方式公示算法推荐服务的基本原理、目的意图、运行机制等。
第十五条 算法推荐服务提供者应当向用户提供不针对其个人特征的选项，或者向用户提供便捷的关闭算法推荐服务的选项。用户选择关闭算法推荐服务的，算法推荐服务提供者应当立即停止提供相关服务。
算法推荐服务提供者应当向用户提供选择、修改或者删除用于算法推荐服务的用户标签的功能。
用户认为算法推荐服务提供者应用算法对其权益造成重大影响的，有权要求算法推荐服务提供者予以说明并采取相应改进或者补救措施。
第十六条 算法推荐服务提供者向未成年人提供服务的，应当依法履行未成年人网络保护义务，并通过开发适合未成年人使用的模式、提供适合未成年人特点的服务等方式，便利未成年人获取有益身心健康的信息内容。
算法推荐服务提供者不得向未成年人用户推送可能引发未成年人模仿不安全行为和违反社会公德行为、诱导未成年人不良嗜好等可能影响未成年人身心健康的信息内容，不得利用算法推荐服务诱导未成年人沉迷网络。
第十七条 算法推荐服务提供者向劳动者提供工作调度服务的，应当建立完善平台订单分配、报酬构成及支付、工作时间、奖惩等相关算法，履行劳动者权益保障义务。
第十八条 算法推荐服务提供者向消费者销售商品或者提供服务的，应当保护消费者合法权益，不得根据消费者的偏好、交易习惯等特征，利用算法在交易价格等交易条件上实行不合理的差别待遇等违法行为。
第十九条 国家网信部门建立分类分级管理制度，根据算法推荐服务的舆论属性或者社会动员能力、内容类别、用户规模、算法推荐技术处理的数据敏感程度、对用户行为的干预程度等对算法推荐服务提供者实施分类分级管理。
第二十条 具有舆论属性或者社会动员能力的算法推荐服务提供者应当在提供服务之日起十个工作日内通过互联网信息服务算法备案系统填报服务提供者的名称、服务形式、应用领域、算法类型、算法自评估报告、拟公示内容等信息，履行备案手续。
算法推荐服务提供者的备案信息发生变更时，应当在变更之日起五个工作日内办理变更手续。
算法推荐服务提供者终止服务的，应当在终止服务三十个工作日前办理注销备案手续，并作出妥善安排。
第二十一条 国家和省、自治区、直辖市网信部门收到备案人提交的备案材料后，材料齐全的，应当在三十个工作日内予以备案，发放备案编号并进行公示；材料不齐全的，不予备案，并应当在三十个工作日内通知备案人并说明理由。
第二十二条 完成备案的算法推荐服务提供者应当在其对外提供服务的网站、应用程序等显著位置标明其备案编号并提供公示信息链接。
第二十三条 具有舆论属性或者社会动员能力的算法推荐服务提供者应当按照国家有关规定开展安全评估。
算法推荐服务提供者应当完善算法推荐服务管理机制，对算法推荐服务日志等信息进行留存，留存期限不少于六个月，并在相关执法部门依法查询时予以提供。
第二十四条 国家和省、自治区、直辖市网信部门会同有关主管部门对算法推荐服务开展算法安全评估和监督检查工作，对发现的问题及时提出整改意见并限期整改。
算法推荐服务提供者应当配合有关主管部门依法实施的安全评估和监督检查工作，并提供必要的技术、数据等支持和协助。
第二十五条 参与算法推荐服务安全评估和监督检查的相关机构和人员应当对在履行职责中知悉的个人信息、隐私和商业秘密严格保密，不得泄露、出售或者非法向他人提供。
第二十六条 算法推荐服务提供者应当接受社会监督，设置便捷的投诉举报入口，及时受理和处理公众投诉举报。
算法推荐服务提供者应当建立用户申诉渠道和制度，规范处理用户申诉并及时反馈，切实保障用户合法权益。
第二十七条 算法推荐服务提供者违反本规定第七条、第八条、第九条第一款、第十条、第十一条、第十二条、第十三条、第十四条、第十五条第二款、第二十二条、第二十六条规定的，由国家和省、自治区、直辖市网信部门依据职责给予警告、通报批评，责令限期改正；拒不改正或者情节严重的，责令暂停信息更新，并处五千元以上三万元以下罚款。构成违反治安管理行为的，依法给予治安管理处罚；构成犯罪的，依法追究刑事责任。
第二十八条 算法推荐服务提供者违反本规定第六条、第九条第二款、第十五条第一款、第三款、第十六条、第十七条、第十八条、第二十三条、第二十四条第二款规定的，由网信等有关主管部门依据职责，按照有关法律、行政法规和部门规章的规定予以处理。
第二十九条 具有舆论属性或者社会动员能力的算法推荐服务提供者违反本规定第二十条的规定，未按照要求备案或者在报送备案时隐瞒有关情况、提供虚假材料或者通过欺骗、贿赂等不正当手段取得备案的，由国家和省、自治区、直辖市网信部门依法撤销备案，并给予警告、通报批评，责令限期改正；拒不改正或者情节严重的，责令暂停信息更新，并处五千元以上三万元以下罚款。
具有舆论属性或者社会动员能力的算法推荐服务提供者终止服务未按照要求及时办理注销备案手续，或者发生严重违法情形受到吊销互联网信息服务许可、关闭网站、终止服务等行政处罚的，由国家和省、自治区、直辖市网信部门予以注销备案。
第三十条 本规定自2021年 月 日起施行。
National Internet Information Office on "Internet Information Service Algorithm Recommendation Management Regulations (Draft for Solicitation of Comments)"
Notice of Public Comment
August 27, 2021 10:00 Source: China Netcom
In order to standardize Internet information service algorithm recommendation activities, safeguard national security and social public interests, protect the legitimate rights and interests of citizens, legal persons and other organizations, and promote the healthy development of Internet information services, the Office drafted the "Internet Information Service Algorithm Recommendation Management Regulations (for comments) Draft)", openly soliciting opinions from the public. The public can provide feedback through the following channels and methods:
1. Log in to the Chinese Government Legal Information Network (www.moj.gov.cn, www.chinalaw.gov.cn) of the Ministry of Justice of the People's Republic of China, and enter the "Legacy Opinion Solicitation" section of the main menu on the home page to submit opinions.
2. Send your opinions via email to: jishu10@cac.gov.cn.
3. Send your opinions by letter to: Network Rule of Law Bureau, National Internet Information Office, No. 11 Chegongzhuang Street, Xicheng District, Beijing, zip code: 100044, and please indicate the words "Soliciting Comments on Internet Information Service Algorithm Recommendation Management Regulations" on the envelope.
The deadline for comments is September 26, 2021.
Attachment: Regulations on the Recommendation and Management of Internet Information Service Algorithms (Draft for Soliciting Comments)
National Internet Information Office
August 27, 2021
Internet Information Service Algorithm Recommendation Management Regulations
(Draft for comments)
Article 1 In order to standardize Internet information service algorithm recommendation activities, safeguard national security and social public interests, protect the legitimate rights and interests of citizens, legal persons, and other organizations, promote the healthy development of Internet information services, and promote socialist core values, according to the "Network of the People’s Republic of China" These regulations are formulated by the Security Law, the Data Security Law of the People’s Republic of China, the Personal Information Protection Law of the People’s Republic of China, and the Measures for the Administration of Internet Information Services.
Article 2 The application of algorithm recommendation technology to provide Internet information services within the territory of the People's Republic of China (hereinafter referred to as algorithm recommendation service) is subject to these regulations. Where laws and administrative regulations provide otherwise, follow those provisions.
The application algorithm recommendation technology mentioned in the preceding paragraph refers to the application of algorithm technologies such as generation synthesis, personalized push, sorting and selection, retrieval and filtering, and scheduling and decision-making to provide users with information content.
Article 3 The national cybersecurity and informatization department is responsible for the supervision, management and law enforcement of the national algorithm recommendation service. The cybersecurity and informatization departments of provinces, autonomous regions, and municipalities directly under the Central Government are responsible for the supervision, management, and law enforcement of algorithm recommendation services in their respective administrative regions based on their responsibilities.
Article 4 Algorithm recommendation service providers who provide algorithm recommendation services shall abide by laws and regulations, respect social ethics and ethics, abide by business ethics and professional ethics, and follow the principles of fairness, openness, transparency, scientific rationality, and honesty.
Article 5: Encourage relevant industry organizations to strengthen industry self-discipline, establish and improve self-discipline systems and industry standards, organize the formulation of industry standards, and urge and guide algorithm recommendation service providers to establish and improve service standards, provide services in accordance with the law, and accept social supervision.
Article 6 The algorithm recommendation service provider shall adhere to the mainstream value orientation, optimize the algorithm recommendation service mechanism, actively spread positive energy, and promote the application of algorithms for the better.
Algorithm recommendation service providers shall not use algorithm recommendation services to engage in activities prohibited by laws or administrative regulations such as endangering national security, disrupting economic and social order, or infringing on the legitimate rights and interests of others, and shall not use algorithm recommendation services to disseminate information prohibited by laws and administrative regulations.
Article 7 Algorithm recommendation service providers shall implement the main responsibility of algorithm security, establish and improve user registration, information release review, algorithm mechanism review, security assessment monitoring, emergency response to security incidents, data security protection, and personal information protection management systems, and formulate It also discloses the relevant service rules for algorithm recommendation, and is equipped with professionals and technical support commensurate with the scale of algorithm recommendation services.
Article 8 Algorithm recommendation service providers shall regularly review, evaluate, and verify algorithm mechanism mechanisms, models, data, and application results, etc., and may not set up algorithm models that violate public order and good customs, such as inducing users to indulge or consume high amounts.
Article 9 Algorithm recommendation service providers shall strengthen the management of information content, establish and improve a feature database for identifying illegal and unhealthy information, and improve storage standards, rules and procedures. If it is found that an algorithm that has not made a distinctive mark generates synthetic information, it shall make a distinctive mark before continuing to transmit.
If illegal information is discovered, the transmission shall be stopped immediately, and disposal measures such as elimination shall be taken to prevent the spread of the information, the relevant records shall be kept, and the report shall be made to the network information department. If unhealthy information is discovered, it shall be dealt with in accordance with the relevant regulations on the ecological governance of network information content.
Article 10 The algorithm recommendation service provider shall strengthen the management of user models and user tags, improve the rules for the points of interest recorded in the user model, and shall not record illegal and undesirable information keywords in the user points of interest or as user tags and push information content accordingly , Do not set discriminatory or biased user tags.
Article 11 The algorithm recommendation service provider shall strengthen the ecological management of the algorithm recommendation service page, establish a sound manual intervention and user independent selection mechanism, and be active in the first screen of the homepage, hot search, selection, list category, pop-up window and other key links Present information content that conforms to the mainstream value orientation.
Article 12 The algorithm recommendation service provider shall comprehensively use strategies such as content de-duplication and dispersal intervention, and optimize the transparency and interpretability of rules such as retrieval, sorting, selection, push, and display, so as to avoid adverse effects on users and triggers Disputes disputes.
Article 13 Algorithm recommendation service providers shall not use algorithms to falsely register accounts, illegal trading accounts, manipulate user accounts, or falsely like, comment, forward, or navigate web pages, etc., to implement traffic fraud or traffic hijacking; they must not use algorithms to block information, Excessive recommendation, manipulation of lists or ranking of search results, control of hot search or selection, etc. interfere with the presentation of information, implement self-preferential treatment, unfair competition, influence online public opinion, or evade supervision.
Article 14 The algorithm recommendation service provider shall inform users in a conspicuous manner of its provision of the algorithm recommendation service, and publicize the basic principle, purpose and operation mechanism of the algorithm recommendation service in an appropriate manner.
Article 15 The algorithm recommendation service provider shall provide users with options that are not specific to their personal characteristics, or provide users with a convenient option to turn off the algorithm recommendation service. If the user chooses to close the algorithm recommendation service, the algorithm recommendation service provider shall immediately stop providing related services.
Algorithm recommendation service providers shall provide users with the function of selecting, modifying or deleting user tags for algorithm recommendation services.
If the user believes that the algorithm recommendation service provider's application of algorithms has a significant impact on his rights and interests, he has the right to request the algorithm recommendation service provider to explain and take corresponding improvement or remedial measures.
Article 16: Algorithmic recommendation service providers who provide services to minors shall fulfill their obligations to protect minors’ network in accordance with the law, and facilitate the development of a model suitable for minors and providing services suitable for minors’ characteristics. Minors obtain information content that is beneficial to physical and mental health.
Algorithm recommendation service providers shall not push to minor users information that may cause minors to imitate unsafe behaviors, violate social ethics, induce minors’ bad habits, and other information that may affect the physical and mental health of minors, and shall not use algorithm recommendation services Induce minors to addicted to the Internet.
Article 17: Algorithmic recommendation service providers who provide work scheduling services to workers shall establish and improve related algorithms such as platform order distribution, remuneration composition and payment, working hours, rewards and punishments, and fulfill the obligations of protecting workers' rights and interests.
Article 18 When an algorithm recommendation service provider sells goods or provides services to consumers, it shall protect the legitimate rights and interests of consumers, and shall not use algorithms to implement unreasonable trading conditions such as transaction prices based on consumer preferences and transaction habits. Differential treatment and other illegal acts.
Article 19 The national cybersecurity and informatization department shall establish a classified and hierarchical management system, which shall be based on the public opinion attributes or social mobilization capabilities of the algorithm recommendation service, content category, user scale, data sensitivity of the algorithm recommendation technology, and the degree of intervention in user behavior. It is recommended that service providers implement classified and hierarchical management.
Article 20: Algorithm recommendation service providers with public opinion attributes or social mobilization capabilities shall fill in the service provider's name, service form, application field, and algorithm through the Internet information service algorithm filing system within ten working days from the date of providing the service. Type, algorithm self-assessment report, content to be publicized and other information, complete the filing procedures.
When the filing information of the algorithm recommendation service provider is changed, it shall go through the change procedures within five working days from the date of the change.
If the algorithm recommendation service provider terminates the service, it shall go through the formalities for the cancellation record 30 working days before the termination of the service, and make proper arrangements.
Article 21. After the national, provincial, autonomous region, and municipal network information department receives the filing materials submitted by the filing party, if the filing materials are complete, they shall file for filing within 30 working days, issue the filing number and make public announcements; the materials are not complete If it is found, the filing shall not be granted, and the filing person shall be notified within 30 working days and the reasons shall be explained.
Article 22 The algorithm recommendation service provider that has completed the filing shall indicate its filing number and provide a link to the public information in a prominent place on the website or application that provides services to the outside world.
Article 23: Algorithm recommendation service providers with public opinion attributes or social mobilization capabilities shall carry out safety assessments in accordance with relevant national regulations.
The algorithm recommendation service provider shall improve the algorithm recommendation service management mechanism, and keep the algorithm recommendation service log and other information for a period of not less than six months, and provide it when inquired by the relevant law enforcement department according to law.
Article 24 The cybersecurity and informatization departments of the state, provinces, autonomous regions, and municipalities directly under the Central Government, together with relevant competent departments, carry out algorithm security evaluation and supervision and inspection of algorithm recommendation services, and promptly put forward rectification opinions on problems found and rectification within a specified time.
Algorithm recommendation service providers shall cooperate with the safety assessment and supervision and inspection work carried out by relevant competent authorities according to law, and provide necessary technical and data support and assistance.
Article 25 Relevant institutions and personnel involved in the security evaluation and supervision and inspection of algorithm recommendation services shall strictly keep the personal information, privacy and business secrets learned in the performance of their duties confidential, and shall not disclose, sell or illegally provide them to others.
Article 26 The algorithm recommendation service provider shall accept social supervision, set up a convenient complaint and report portal, and promptly accept and handle public complaints and reports.
Algorithm recommendation service providers shall establish user appeal channels and systems, standardize the handling of user appeals and provide timely feedback, and effectively protect the legitimate rights and interests of users.
Article 27 The algorithm recommendation service provider violates Article 7, Article 8, Article 9, Paragraph 1, Article 10, Article 11, Article 12, Article 13, and Article 14 of these regulations Article, Article 15, paragraph 2, Article 22, Article 26, the national and provincial, autonomous region, and municipal cybersecurity and informatization departments shall give warnings, circulate criticisms, and order corrections within a time limit according to their duties; refusal to make corrections Or if the circumstances are serious, the information update shall be suspended and a fine of not less than 5,000 yuan but not more than 30,000 yuan shall be imposed. If a violation of public security management is constituted, public security management penalties shall be imposed in accordance with the law; if a crime is constituted, criminal responsibility shall be investigated in accordance with the law.
Article 28 The algorithm recommendation service provider violates Article 6, Article 9, Paragraph 2, Article 15, Paragraph 1, Paragraph 3, Article 16, Article 17, and Article 18 of these regulations , Article 23 and Article 24, paragraph 2, shall be dealt with by relevant competent authorities such as cyberspace affairs in accordance with their duties and in accordance with relevant laws, administrative regulations and departmental rules.
Article 29: Algorithmic recommendation service providers with public opinion attributes or social mobilization capabilities violate Article 20 of these regulations, fail to file as required, conceal relevant information, provide false materials, or resort to deception or bribery when filing for the record. If the filing is obtained by improper means, the national and provincial, autonomous region, and municipal cybersecurity and informatization departments shall revoke the filing in accordance with the law, and shall give warnings, circulate criticisms, and order corrections within a time limit; if corrections are refused or the circumstances are serious, they shall be ordered to suspend information updates and be sentenced to five points. A fine of not less than 1,000 yuan but not more than 30,000 yuan.
If an algorithmic recommendation service provider with the attribute of public opinion or social mobilization ability terminates the service and fails to complete the cancellation and filing procedures in time as required, or is subject to administrative penalties such as revoking the Internet information service license, closing the website, or terminating the service in a serious violation of the law, the state and province shall , Autonomous regions and municipalities directly under the Central Government's cybersecurity and informatization departments shall be cancelled and filed.
Article 30 These regulations shall come into force on the day of 2021.
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