个人信息大数据与刑事正当程序的冲突及其调和

Big Data with Regard to Personal Data and Criminal Due Process:Conflict and its Coordination

信息革命引发现代国家治理发生相应变革,这集中体现在国家权力与公民权利的互动上。在此背景下,个人信息保护不仅针对信息本身,还应防止因个人信息被滥用而侵害公民的合法权益。具体到刑事司法领域,以个人信息为基础的大数据在介入犯罪治理活动后,其具有的过程性和算法依赖性、以行为模式为前提假设的预测性、基于数据挖掘的新认知范式和数据碎片性等特性,引发犯罪治理思路和模式的相应转变,这尤其表现在两个方面:一是服务于刑事诉讼的数据收集、存留及共享义务的扩张,二是风险防控思维下犯罪治理活动启动时点的前移。个人信息大数据在助力犯罪风险评估从而优化刑事司法资源配置的同时,亦与刑事正当程序发生冲突,其中又以无罪推定原则、控辩平等原则和权力专属原则为甚。鉴于社会信息化的总体趋势,要调和这些冲突,需要以信息革命引发的"权力—权利"二元互动关系变革为出发点,寻求犯罪控制与保障人权两项刑事司法基本价值之间的新平衡点,并对具体的程序规则进行修正。

The information revolution that the modern society is experiencing has led to profound transformation of the ideology and paradigm of state governance,which are particularly embodied in the interaction between state power and human rights.Against this background,the protection of personal information entails not only the protection of the information itself,but also the prevention of the abuse of the information,which may lead to the infringement upon other legal rights of citizens,either substantial or procedural.In the context of criminal justice,information revolution introduces personal information big data into the process of crime control.The key attributes of big data-process and algorithm reliance,behavioral pattern oriented prediction,data exploration based cognition paradigm,and data fragmentation-have led to the corresponding changes in the ideology and model of crime control.The changes can be observed mainly from two aspects:the expansion of third parties’obligations of personal data collection,retention,and data sharing on the one hand,and an earlier starting point of crime control for the purpose of risk management on the other.While personal information big data can contribute to the identification of criminal risks and,subsequently,to the optimization of the allocation of criminal justice resources,it can also get into violent conflicts with criminal justice due process,particularly with the principle of presumption of innocence,the principle of equality of arms between the prosecution and the defense,and the principle of legality regarding the allocation and monopoly of power.At this point in history,and from an information society perspective,an analytical framework elaborating the start point and the foothold of the reform of relevant procedural rules needs to be adopted to resolve these conflicts.The start point refers to the dynamic evolution of the“power-right”interaction in the digital era,while the foothold refers to the establishment of a new equilibrium between the dual value of criminal justice-that is,crime control on the one hand,and human rights protection on the other.