东北大学学报(社会科学版) ›› 2025, Vol. 27 ›› Issue (2): 111-120.DOI: 10.15936/j.cnki.1008-3758.2025.02.011

• 法学研究 • 上一篇    下一篇

正当程序视角下人工智能辅助量刑的挑战与重塑

洪 涛   

  1. (浙江大学 光华法学院, 浙江 杭州 310008)
  • 收稿日期:2024-04-13 发布日期:2025-04-02
  • 通讯作者: -
  • 作者简介:洪 涛,浙江大学博士研究生。
  • 基金资助:
    教育部哲学社会科学重大专项资助项目(2023JZDZ012)。

Challenges and Reshaping of AIassisted Sentencing from the Perspective of Due Process

HONG Tao   

  1. (Guanghua Law School, Zhejiang University, Hangzhou 310008, China)
  • Received:2024-04-13 Published:2025-04-02
  • Contact: -
  • About author:-
  • Supported by:
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摘要: 人工智能辅助量刑是智慧司法建设的重点工程,但在正当程序视角下可发现其应用带来了多重挑战,如自动化决策架空程序参与原则,歧视性决策有违程序中立原则等。事实上,以上挑战不仅源于人工智能的不确定性,更深层的原因是传统程序正义理论未将数字空间纳入诉讼场域,忽略对技术研发者的规制以及程序公开未延至可解释的时代局限。程序正义范畴下的技术性程序正义与传统程序正义均以尊严理论和司法公信力理论为根基,且前者在适用场域、规制对象、构成要素等方面可补足后者的时代局限,亟须“补充性”引入。技术性程序正义理论用于司法量刑场景时,其要素包括第一层的“以人为本”原则以及第二层的量刑系统的合规性义务和利害关系人的程序性权利。在此指导下,应当增设程序选择制度,明确算法披露制度,健全鉴定制度和专家辅助人制度以及确立智能问责制度,并拓展协同研发机制、算法备案机制、算法听证机制和司法培训机制作为联动。

关键词: 正当程序; 人工智能; 辅助量刑; 技术性程序正义

Abstract: AIassisted sentencing is a key project in the construction of intelligent justice, but from the perspective of due process, it has been found that its application poses multiple challenges, e.g., the principle of procedural participation being hollowed out by automated decisionmaking, and discriminatory decisions violating the principle of procedural neutrality, etc. In fact, these challenges don't merely stem from the uncertainty of artificial intelligence, but the deeper reason is that the traditional theory of procedural justice has not included the digital space into the litigation field, ignoring the regulation of technology developers and the limitation of procedural openness not advancing to the era of explainability. Under the category of procedural justice, the technical procedural justice and traditional procedural justice are both based on the theory of dignity and judicial credibility, and the former can supplement the latter's era limitations in terms of applicable fields, regulatory objects, constituent elements, etc., so “supplementarity” should be introduced. The theory under the judicial sentencing scenarios includes the first layer of the “peopleoriented” principle, and the second layer of the compliance obligations of the sentencing system and the procedural rights of stakeholders. Under this guidance, the procedural selection system should be added, the algorithm disclosure system should be clarified, the identification system and expert assistance system should be improved, and the intelligent accountability system should be established. Furthermore, the cooperative research and development mechanism, algorithm filing mechanism, algorithm hearing mechanism and judicial training mechanism should be expanded as linkage.

Key words: due process; artificial intelligence(AI); assisted sentencing; technical procedural justice

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