“算法档案”的概念内涵、治理理念与实现机制

[1] 辞海中将“算法”定义为:解决某问题的一个有限、确定、可行的运算序列.对于该问题的每一组输入信息,都有一组确定的输出结果. [2] Algorithmic archiving project at the bodleian libraries, university of oxford[EB/OL].[2025-04-01]. https://www.cni.org/news/algorithmic-archiving-project-at-the-bodleian-libraries. [3] PODSAKOFF P M, MACKENZIE S B, PODSAKOFF N P. Recommendations for creating better concept definitions in the organizational, behavioral, and social sciences[J]. Organizational Research Methods, 2016(2):159-203. [4] [34]徐拥军, 陈晓婷, 闫静. 人工智能大模型对档案学基础理论的挑战及其回应[J]. 图书情报知识, 2025(1):57-69. [5] 王玉珏, 樊静雅, 侯景瑞, 等. 批判视角下人工智能时代的档案工作:困境反思与职能重构[J]. 档案学研究, 2025(3):4-12. [6] 虽然有学者提到了“algorithmic archive”，但实际指向“算法的集合”，或指向经过算法干预（如分类、著录等）的档案。参见：Algorithmic bias in archives[EB/OL].[2025-08-11]. https://lifestyle.sustainabilitydirectory.com/term/algorithmic-bias-in-archives/. [7] COOK T. Evidence, memory, identity, and community: four shifting archival paradigms[J]. Archival science, 2013(13):95-120. [8] [37]The archival lexicon[C]//Richard Pearce-Moses. A glossary of archival and records terminology. Chicago: The Society Of American Archivist,2005:xiv. [9] 需要说明的是,有学者认为“Record”一词本身令人困惑,因为它在不同的英语国家有不同的含义,参见:FRINGS-HESSAMI V. Continuum, continuity, continuum actions: reflection on the meaning of a continuum perspective and on its compatibility with a life cycle framework[J]. Archival Science, 2022(1):113-128.另外根据SAA定义,“Records”是存储于介质中并用作人类记忆延伸或支持责任归属的信息或数据,或特定“文件格式”.在档案学研究论著中“Records”专指具有法律效力、保存价值并需系统管理的档案或记录,中文译为“记录”或“档案记录”,特指还未归档的信息. [10] YEO G. Concepts of Record (1):evidence, information, and persistent representations[J]. The American Archivist, 2007(2):315-343. [11] [18][19][22]LI M. From archive to anarchive: how bereal challenges traditional archival concepts and transforms social media archival practices[J]. Journal of Contemporary Archival Studies, 2023(10):1-14. [12] MCLEOD J, LOMAS E. Record DNA: reconceptualising digital records as the future evidence base[J]. Archival science, 2023(12):1-36. [13] KETELAAR E. Tacit narratives: the meanings of archives.[J]. Archival science, 2001(2):131-141. [14] “最外围的维度”指AI技术用于处理档案使之作用于社会传播、知识再利用、公共访问与文化记忆重构等方面. [15] COLAVIZZA G, BLANKE T, JEURGENS C, et al. Archives and AI: an overview of current debates and future perspectives[J]. ACM Journal on Computing and Cultural Heritage, 2022(1):1-15. [16] PROSPER S. Conceptualizing records: community archives describing themselves[J]. The American Archivist, 2024(1):19-48. [17] LYNCH C. Stewardship in the "age of algorithms"[J]. First Monday, 2017. [18] ANDERSON K. The footprint and the stepping foot: archival records, evidence, and time[J]. Archival Science, 2013(13):349-371. [19] 龙家庆. 国际数字人文实践中档案(archive)的语言转向探析[J]. 档案学研究, 2024(5):132-140. [20] [27][46]MASJA D R. How can we make our algorithms as fair as possible?[EB/OL].[2024-12-18]. https://www.cbs.nl/en-gb/corporate/2020/49/how-can-we-make-our-algorithms-as-fair-as-possible-. [21] GILLESPIE T. The relevance of algorithms[C]//GILLESPIE T, BOCZKOWSKI P J, Foot K A. Media technologies:essays on communication, materiality, and society. MIT Press Scholarship Online014. [22] JUSTIN M. AI and archives: possibilities and limits, presents and futures[EB/OL].[2025-08-14]. https://apus.libguides.com/apusuahome/blog/AI-and-Archives-Possibilities-and-Limits-Presents-and-Futures. [23] 2019年挪威档案学者Herbjørn Andresen发表了题为“Why and how algorithms may be treated as, or in, archival records”的讲座,参见:ANDRESEN H. Why and how algorithms may be treated as, or in, archival records[EB/OL].[2025-08-09]. https://www.aaudxp-cms.aau.dk/media/qknc5qez/herbjorn-andresen_anneli-sundqvist.pdf;此外还有一些学者认为对算法进行归档非常重要,如:SHU T, NAN Y, SHANG K,et al. Last-X-Generation archiving strategy for multi-objective evolutionary algorithms[C]. 2024 IEEE Congress on Evolutionary Computation(CEC), 2024: 1-8; HODGES J A, TRACE C B. Preserving algorithmic systems: a synthesis of overlapping approaches, materialities and contexts[J]. Journal of Documentation, 2023(6):1380-1392. [24] BHARDWAJ E, GUJRAL H, WU S, et al. Machine learning data practices through a data curation lens: an evaluation framework[M]. Proceedings of the 2024 ACM Conference on Fairness, Accountability, and Transparency. 2024: 1-22. [25] BEZERRA L C T, LÓPEZ-IBÁÑEZ M, STÜTZLE T. Archiver effects on the performance of state-of-the-art multi-and many-objective evolutionary algorithms[C]//Proceedings of the Genetic and Evolutionary Computation Conference. 2019: 620-628. [26] [31]BERNS T, ROUVROY A. Algorithmic governmentality and prospects of emancipation disparateness as a precondition for individuation through relationships?[J]. Réseaux, 2013(77): 163-196. [27] TERRY C. Foreword[C]//JOHN R. From polders to postmodernism: a concise history of archival theory. Sacramento: Litwin Books, 2009: xviii. [28] BELLARDO L J, BELLARDO L L. A glossary for archivists, manuscript curators, andrecords managers[M]. Chicago: Society of American Archivists, 1992:v. [29] BUNN J. Working in contexts for which transparency is important: a recordkeeping view of explainable artificial intelligence(XAI)[J]. Records Management Journal, 2020(2):143-153. [30] 谢伦伯格. 现代档案—原则与技术[M]. 黄坤坊,等译. 北京: 档案出版社, 1983:46. [31] 《人工智能—概念与术语》(ISO/IEC 22989:2022)中将算法分为四个阶段:数据收集与准备,模型构建与训练,模型部署与运行,监控、评估与风险管理. [32] 目前,算法可以按照学习方式、功能或应用任务、复杂度和自主性分层等角度进行分类.本文所采纳的分类方式依据Artificial intelligence: a modern approach (4th ed.)(2022)中对算法类型的划分. [33] BARBARA R. Recordkeeping innovation[EB/OL].[2025-08-09]. https://www.aaudxp-cms.aau.dk/media/45inxx3o/barbara-reed.pdf. [34] 该论文认为痕迹代表具体行为和事件,路径则是文档遵循的规划与维护路线.在当前实践领域,文档管理主要涉及规划和维护此类路径,以确保高效、公正且可验证的案件处理流程.参见:HERBJØRN A. Skal digitale arkiver dokumentere løyper eller spor?(Should digital archives document trails or tracks?)[EB/OL].[2025-06-14]. https://orcid.org/0000-0003-4137-4263. 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From co-generated data to generative AI: new rights and governance models indigital ecosystems. [42] [52]HURLEY C, MCKEMMISH S, REED B, et al. The power of provenance in the records continuum[J]. Archival science, 2024(24):825-845. [43] Introduction.[C]//LEE J A. Producing the archival body. Oxfordshire: Routledge, 2021: 15. [44] WITTNER R, MASCIA C, GALLO M, et al. Lightweight distributed provenance model for complex real-world environments[J]. Science Data, 2022: 503. [45] YAKEL E. Archival representation[J]. Archival science, 2003(1):1-25. [46] SMIT F, GLAUDEMANS A, JONKER R. Archives in liquid times[M]. The Hague: Stichting Archiefpublicaties, 2017: 253. [47] CUI Z J, LIANG Z, PANG L M, et al. When to truncate the archive? On the effect of the truncation frequency in multi-objective optimisation[C]//Proceedings of the Genetic and Evolutionary Computation Conference Companion. 2025: 351-354. [48] BEER D. Power through the Algorithm? Participatory web cultures and the technological unconscious[J]. New Media & Society, 2009(6): 985-1002. [49] LI M. From archive to anarchive: how bereal challenges traditional archival concepts and transforms social media archival practices[J]. Journal of Contemporary Archival Studies, 2023(10):1-14. [50] LYNCH C. Stewardship in the "age of algorithms"[J]. First Monday, 2017(12). [51] ANDRESEN H. Why and how algorithms may betreated as, or in, archival records[EB/OL].[2025-08-09]. https://www.aaudxp-cms.aau.dk/media/qknc5qez/herbjorn-andresen_anneli-sundqvist.pdf.