人工智能介入量刑机制:困境、定位与解构
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D924.13;TP18

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中国博士后科学基金第71批面上资助(2022M712650);2022年重庆市教育委员会人文社会科学研究项目"智慧量刑的实践困境与理论破解研究"(22SKGH028);重庆市2019年研究生(博士生)科研创新项目(CYB19130)


Artificial intelligence intervention in sentencing mechanism: dilemma, orientation and deconstruction
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    摘要:

    司法人工智能分为常规型人工智能与专业型人工智能,前者是将通用领域已经发展成熟的人工智能直接移植至司法领域而无需专门的算法更新,主要目的是将审判人员从繁重的"事务性"工作中解放出来,因而其也无法介入审判的核心内容;后者是诸如量刑辅助系统等专门为司法领域开发的介入审判实质内容的人工智能,其是司法人工智能的核心。当前司法人工智能的实践现状是常规型人工智能因其有坚实基础而卓有成效,但极为重要的专业型人工智能的开发与使用并不理想,主要原因是法学研究对专业型人工智能的研发理论供给不足,具体表现为"抽象有余而具象不足",其深层次原因在于法学专业知识与人工智能技术知识没有深度融合,即"懂技术的不懂法律,懂法律的不懂技术"。宏观层面,在智能爆炸不可预期的时空背景下,生命2.0阶段(文化阶段)或弱人工智能时代仍是当下及可预见未来所长期处于的阶段,故作为"工具"的量刑人工智能仍应定位于辅助量刑而非决定量刑,且基于量刑规范化改革的价值内涵,应更进一步地定位于规范性辅助而非参考性辅助,二者的区别是智能系统给出的阶段性量刑结论对法官的约束力大小。在微观层面,智能量刑系统的算法构建应以量刑逻辑主导算法逻辑为原则,以诸如量刑基准、不法刑等具有"共性"属性的阶段性量刑为作用领域而非其能力之外的终局性量刑结论(宣告刑);此外,为防止算法黑箱、算法歧视以及相关关系代替因果关系,须做到量刑人工智能的算法公开和阶段性量刑结论的可解释性。

    Abstract:

    Judicial artificial intelligence is divided into conventional artificial intelligence and professional artificial intelligence, the former is to directly transplant artificial intelligence that has developed and matured in the general field to the judicial field without special algorithm updates, the main purpose is to liberate judges from heavy "transactional" work, so they cannot intervene in the core content of trials; The latter is an artificial intelligence specially developed for the judicial field, such as the sentencing assistance system, which intervenes in the substance of the trial, which is the core of judicial artificial intelligence. The current practice status of judicial artificial intelligence is that conventional artificial intelligence is effective because of its solid foundation, but the development and use of extremely important professional artificial intelligence is not ideal, mainly because the research and development of professional artificial intelligence lacks the theoretical supply of legal research, which is concretely manifested as "too abstract but not enough concrete". The deep reason is that there is no deep integration of legal expertise and artificial intelligence technology knowledge, that is, "those who understand technology do not understand law, and those who understand law do not understand technology". At the macro level, under the space-time background of the unpredictable explosion of intelligence, the life 2.0 stage (cultural stage) or the era of weak artificial intelligence is still the stage in the present and foreseeable future for a long time, and the sentencing artificial intelligence pretending to be a "tool" should still be positioned to assist sentencing rather than determine sentencing, and based on the value connotation of the standardized reform of sentencing. It should be further oriented to normative aid rather than reference aid, the difference between the two is the binding force of the phased sentencing conclusion given by the intelligent system on the judge. At the micro level, the algorithm construction of intelligent sentencing system should be based on the principle of sentencing logic-led algorithm logic, and take phased sentencing with "common" attributes such as sentencing benchmark and illegal punishment as the field of action rather than the final sentencing conclusion (declaration of punishment) outside its ability. In addition, in order to prevent algorithmic black boxes, algorithmic discrimination and correlation replacing causation, it is necessary to make the algorithm of sentencing artificial intelligence open and the interpretation of phased sentencing conclusions.

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甄航.人工智能介入量刑机制:困境、定位与解构[J].重庆大学学报社会科学版,2023,(4):191-202. DOI:10.11835/j. issn.1008-5831. fx.2020.12.003

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  • 在线发布日期: 2023-09-08
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