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人工智能(Artificial Intelligence,简称AI)的发展简史是计算机模型对人类认知能力和专业知识的分析和吸收过程,其在法律领域内的介入可概括为对法律推理和司法裁判的模仿历史。但值得注意的是随后的研究重心又转向为"决策辅助系统",多数文献对相关研究范式的转变都未曾提及或语焉不详。本文试图阐释计算机在理解、识别案情等方面存在的"认知"缺陷来回答原委。司法裁判的人工智能化尝试,虽有益于重塑对司法智慧的构想,但设计者和支持者们忽视了系统的直接使用者(法官)的接受度问题:任何试图削减司法权的行为都有可能受到来自体系本身的抵触。因而智识上的挑战乐趣,未必会转化成实践的可能性和需求性。
Abstract：The history of artificial intelligence(AI) could be characterized by a steady expansion of human cognition and expertise amenable to computational models. This general trend also characterizes research on AI & law in the aspects of legal reasoning and judicial decision-making. Recent research, however, hasfocused increasingly on the decision support, most of the literatures do not mention the change of the related research paradigm. This essay tries to explain the reason by exploring the defect of computer on recognizing and understanding case. The modeling judicial decision-making in artificial intelligence can dedicate the largest part of its methodological analyses to judicial theory, but they will not be accepted by the intended users because they are not based upon recognition of users' needs. Each attempt to reduce discretion through computers will be resisted by the judiciary. So, the challenge of intellectual may not translate into practical possibilities and needs.
(1)Bruce G.Buchanan and Thomas E.Headrick,“Some Speculation about Artificial Intelligence and Legal Reasoning”,23 Stanford Law Review,40~62(1970).
(2)马克思·韦伯曾说:“现代的法官是自动售货机,投进去的是诉状和诉讼费,吐出来的是判决和从法典上抄下来的理由。”参见[德]马克思·韦伯:《论经济与社会中的法律》,张乃根译,中国大百科全书出版社1998年版,第62页。
(3)Alldridge,P.,“Anoraks Among the Suits and Jeans Computers,Law and the Legal Academy”,2 Journal of Law,Information and Technology(1997).
(4)[美]史蒂文·J·伯顿著:《法律和法律推理导论》,张志铭、解兴权译,中国政法大学出版社1998年版,第3页。
(5)Collins,A.M.,“Fragments of a Theory of Human Plausible Reasoning”,Proceedings of the 1978 Workshop on Theoretical Issues in Natural Language Processing,Associa tion for Computational Linguistics(1978);Collins,A.,and Michalski,R.,“The Logic of Plausible Reasoning:A Core Theory”,13 Cognitive sciences,1~49(1989).
(6)关于同案不同判的解释,请参见吴习彧:《法律应如何回应情感---论价值模式的区分与同约性难题》,《浙江社会科学》2012年第2期。
(7)Gardner,A.,“An Artificial Intelligence Approach to Legal Reasoning”,MIT Press(1987).
(8)Weizenbaum,J.,“Computer Power and Human Reason:From Judgment to Calculation”,W H Freeman&Co;1st edition(1976);Gardner,A.“An Artificial Intelligence Ap proach to Legal Reasoning”,MIT Press(1987);Bennan,Dand Hafner,C“The Potential of AI to Help Solve the Crisis in our Legal System”,32 Communications of the ACM,928~938(1989).
(9)Uri J.Schild,“Criminal Sentencing and Intelligent Decision Support”,6 Artificial Intelligence and Law,151~202(1998).
(10)在过去的几年当中,量刑委员会曾经非正式地调查过系统使用者们对于ASSYST实用性的判定。总体来说,该程序并没有被频繁地使用。在衡量了程序的实用性后,ASSYST项目被终止,2.1是ASSYST的最终版本。该系统由英属哥伦比亚大学(University of British Columbia)开发完成。
(11)关于该系统的介绍,请参见Simon E.and Gaes G.,“ASSYST-Computer Support for Guideline Sentencing”,Second International Conference on Artificial Intelligence and Law,195~200(1989).当然也有些批评者把这套系统称之为“量刑指南计算器”。
(12)Chan,J.,“A Computerized Sentencing Information System for New South Wales Courts”,Computer Law and Practice,137~150(1991).
(13)犯罪记录中还会有四个分类选项:(1)无前科;(2)主要犯罪行为种类中无前科;(3)至少有一项同类犯罪前科;(4)至少有一项同类犯罪前科,并被监禁。
(14)Doob,A.N.,and Park,N.W.,“Computerized Sentencing Information for Judges:An Aid to the Sentencing Process”.30 Crim.LQ,54~72(1987).
(15)Lovegrove,Austin.,“Judicial Decision Making,Sentencing Policy,and Numerical Guidance”.Springer Science&Business Media(2012).
(16)Taruffo,M.,“Judicial Decisions and Artificial Intelligence”,Judicial Applications of Artificial Intelligence,Springer Netherlands,207~220(1998).
(17)Doob,A.,“Sentencing Aids:Final Report to the Donner Canadian Foundation”,Centre of Criminology University of Toronto:Toronto(1990).
(18)相同的情况可以在“案例指导”制度上窥见一二。在案例指导制度试点时,已发现案例适用率较低,试点法院共结案30500件,但参照适用案例的仅占结案总数的0.58%,占判决结案总数(6334件)的2.73%。参见左卫民:《中国特色案例指导制度的发展与完善》,载《中国法学》2013年第3期。
(19)Philip Leith,“The Judge and the Computer:How Best Decision Support?”6 Artificial Intelligence and Law,289~309(1998).
(20)P.Wahlgren,“Automation of Legal Reasoning:A Study on Artificial Intelligence and Law”,11 Computer Law Series.Kluwer Law and Taxation(1992).
(21)Bryan Niblett,“Expert Systems for Lawyers”,29 Computers and Law(1981).
(22)L.Karl Branting,James C.Lester and Charles B.Callaway,“Automating Judicial Document Drafting:A DiscourseBased Approach”,6 Artificial Intelligence and Law,111~149(1998).
基本信息:
DOI：10.14167/j.zjss.2017.04.008
中图分类号:TP18;D916.2
引用信息:
[1]吴习彧.司法裁判人工智能化的可能性及问题[J].浙江社会科学,2017,No.248(04):51-57+157-158.DOI:10.14167/j.zjss.2017.04.008.
基金信息:
教育部人文社科青年基金项目(15YJC820063);; 司法部国家法治与法学理论研究项目(13SFB3001);; 浙江省哲学社会科学规划立项(17NDJC233YB)的阶段性成果;; 浙江工业大学人文社科研究基金资助
2017-04-15
2017-04-15