arXiv:2512.15740cs.AImath.OC2025-12

用数学模型让人工智能和人类决策更理性:不确定时该行动还是先查证?

The Principle of Proportional Duty: A Knowledge-Duty Framework for Ethical Equilibrium in Human and Artificial Systems

  • 提出责任随认知状态动态变化的‘比例责任’框架
  • 不确定性越高,主动纠错的责任越强,避免盲目决策
  • 适合研究伦理算法、可信AI及制度设计的学者

传统伦理框架常将不确定性视为行动的简单限制,本文提出比例责任原则(PPD),揭示道德责任会随认知状态动态转化:不确定性上升时,行动责任(Action Duty)按比例转为纠错责任(Repair Duty)。该关系由公式 D_total = K[(1-HI) + HI * g(C_signal)] 揭示,其中总责任取决于知识(K)、谦逊/不确定性(HI)与情境信号强度(C_signal)。蒙特卡洛模拟表明,保持基础谦逊系数(λ > 0)可提升责任分配稳定性,降低过度自信风险。通过将谦逊建模为系统参数,该框架为可审计的人工智能决策系统提供数学基础。应用覆盖临床伦理、受托人权利法、经济治理与人工智能四领域,验证其跨学科有效性。结果表明,比例责任在复杂系统中具有稳定作用,能平衡认知信心与情境风险,防止过激或懈怠。

原文摘要 · Abstract (English)

Traditional ethical frameworks often struggle to model decision-making under uncertainty, treating it as a simple constraint on action. This paper introduces the Principle of Proportional Duty (PPD), a novel framework that models how ethical responsibility scales with an agent's epistemic state. The framework reveals that moral duty is not lost to uncertainty but transforms: as uncertainty increases, Action Duty (the duty to act decisively) is proportionally converted into Repair Duty (the active duty to verify, inquire, and resolve uncertainty). This dynamic is expressed by the equation D_total = K[(1-HI) + HI * g(C_signal)], where Total Duty is a function of Knowledge (K), Humility/Uncertainty (HI), and Contextual Signal Strength (C_signal). Monte Carlo simulations demonstrate that systems maintaining a baseline humility coefficient (lambda > 0) produce more stable duty allocations and reduce the risk of overconfident decision-making. By formalizing humility as a system parameter, the PPD offers a mathematically tractable approach to moral responsibility that could inform the development of auditable AI decision systems. This paper applies the framework across four domains, clinical ethics, recipient-rights law, economic governance, and artificial intelligence, to demonstrate its cross-disciplinary validity. The findings suggest that proportional duty serves as a stabilizing principle within complex systems, preventing both overreach and omission by dynamically balancing epistemic confidence against contextual risk.

伦理算法可信AI责任建模

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