人工智能辅助量刑场景下的程序正义反思与重塑

Reevaluation and Reshaping of Procedural Justice in the Scenario of AI-Assisted Sentencing

人工智能辅助量刑是我国近年来刑事司法人工智能应用的重大场景创新。在人工智能辅助量刑场景下,智能量刑辅助技术的适用不仅与实体结果相关联,同时还与量刑程序深度融合,彰显出两种基本程序面向:在程序功能构造方面,其以规范量刑裁量权为程序功能取向,以量刑算法决策为程序功能实现路径;在程序运行逻辑方面,则表现为“人机协同”型程序驱动模式以及“人主机辅”型程序责任分配格局。在此基础上,智能量刑辅助技术的应用引发了有关量刑程序正义的三重结构性风险:即,理论层面的“传统正义理论解释力有限”、制度层面的“量刑算法决策正当程序机制阙如”、司法适用层面的“量刑裁判的人工智能算法依赖”。为保障人工智能辅助量刑场景下程序正义及量刑程序规范化的实现,应当提出具有针对性且体系化的风险治理方案。该方案具体包括:引入“以人为本”的技术性正当程序正义理论,强化理论供给;立足新型算法权利,建构诉讼化的量刑算法决策程序,填补制度空白;将智能量刑辅助技术的适用限定在轻罪案件场域、设置智能量刑辅助意见异议听证程序,严格司法适用。

The AI-assisted sentencing is a significant scenario innovation in the application of artificial intelligence in recent years within China's criminal justice system.In the scenario of AI-assisted sentencing,the application of intelligent sentencing assistance technology is not only related to the result of substantial law but also deeply integrated with the sentencing process.It highlights two fundamental procedural aspects:in terms of procedural function construction,it focuses on the discretion of normative sentencing as the procedural function orientation,with the procedural function implementation path being the sentencing algorithm decision.In terms of procedural operation logic,it is manifested as a"humanmachine collaborative"procedure-driven model and a"human lead-machine assistance"procedure responsibility allocation pattern.Based on this,the application of intelligent sentencing assistance technology has raised concerns about three structural risks related to sentencing procedural justice:theoretical limitations in traditional justice theory,the lack of due process mechanism for sentencing algorithm decisions at the institutional level,and the reliance on artificial intelligence algorithms in sentencing judgments at the judicial application level.To ensure procedural justice and standardization of the sentencing process in the scenario of AI-assisted sentencing,targeted and systematic risk management solutions should be proposed.This includes:introducing a"human-centered"technical due process theory,strengthening theoretical supply;based on new algorithmic rights,constructing a litigation-based sentencing algorithm decision-making process,filling institutional gaps;limiting the application of intelligent sentencing assistance technology to minor criminal cases,establishing a hearing process for objections to intelligent sentencing assistance opinions,and ensuring strict judicial application.