【观点】季卫东：数据与算法驱动的中国司法现代化

近日，清华大学国家治理研究院“国是大讲坛”第6期学术讲座在清华大学主楼接待厅举行。上海交通大学文科资深教授、中国法与社会研究院院长、人工智能治理与法律研究中心主任、CCF中国数字经济50人论坛委员季卫东应邀作“数据与算法驱动的中国司法现代化”主题讲座。

在讲座中，季卫东教授首先解题，说明为什么数据和算法能够推动法律与社会变迁、什么是现代化的普遍特征和共性指标、怎样才能在中国的特殊情境中达到审判体系现代化的目的。随后他紧扣中国司法现代化以及数字信息技术的推动作用这一主题，围绕“在数字化时代另辟蹊径的中国法制现代化”、“以数据和人工智能为杠杆的审判制度现代化”、“通过四种数字平台实现的现代法治理念与机制创新”、“结论与展望：把公正程序原则嵌入数据处理流程”等四个方面的内容进行了全面阐述，实际上也从数字化的角度揭示了现代化运动在中国的底层逻辑以及制度性应对方式，印证了国家主席习近平关于在中国“没有信息化就没有现代化”这一命题的意义。

首先，季卫东教授围绕“在数字化时代另辟蹊径的中国法制现代化”进行了深入解读。季教授指出，网络、数据以及人工智能的相乘作用驱动了法律与社会的变迁。随着信息通信技术的普及和性能提高，日常生活被数字信息全覆盖，市场交易的形态从物品转向服务，在法与社会之间也形成一种新的形态。这种新形态体现在：个人与个人的互动关系会加强；私生活世界的透明度大大提高，隐私以及相应的个人自由被严重削弱，社会透明化与算法黑箱化是当代社会的尖锐矛盾。在这里，人工智能治理的原则、法律、技术“三明治”模式以及数据、算法、应用系统、大模型等四种实践场景特别值得关注。 CXO UNION-CXO联盟（cxounion.cn）

季卫东教授认为，从1999年到现在的二十五年间，通过基于IT的案件流程管理、裁判文书上网以及法院无纸化办公，司法领域也渐次实现了数字覆盖，数据和算法正在改变审判运行机制。代码、评分系统、虚拟社区规则等使法律规范更加多元化，而算法黑箱化问题有可能导致问责机制失灵，也增强了进行正当化处理的需求。由此可见，数字化与现代化既有相互作用，也存在两个悖论：一是国家主权的悖论，在数字空间当中，作为规范嵌入系统的人工智能固然有利于加强对国家权力的制约，但数字主权概念也显示了国家主权借助数字信息技术，形成前所未有的力量，转化为算法利维坦的趋势；二是数字技术的悖论，数字技术推进了国际化、全球化与国家主权之间的相互影响，但也刺激民族国家的身份认同感以及围绕价值对齐的冲突。因此，推行“数字立宪主义”或者“数字法治”以保障“数字人权”，根据数字化进程的需求和条件进一步推动法学范式创新已经势在必行。在他看来，法律程序公正与技术程序公正的组合，就是数字时代现代法治的DNA双螺旋结构，是法学创新的关键所在。

其次，季卫东教授围绕“以数据和人工智能为杠杆的审判制度现代化”进行了深刻阐述。季教授指出，审判体系与审判能力的现代化建设的核心目标在于，畅通审判权运行体制、更好彰显人民法院依法独立行使审判权原则、更充分地满足现代法治秩序建构的根本理念，这也是互联网、大数据、云计算、区块链、人工智能等新科技应用于司法场景的主要功能。在司法改革过程中最关注的是如何提高司法公信力，包括司法公正、司法权威、司法效率和司法便民四个因素，其结果是推行司法责任制、司法员额制以及司法智能化。他认为，司法智能化的数据算法、技术架构可以帮助跳出传统网络社会中的关系纠缠，加速实现国家治理的现代化和司法制度的合理化，同时可以推动审判思维方法实现从概念计算（形式逻辑三段论+涵摄技术）到数据计算（规范案件大数据+AI算法）的转化。但依托于信息通信技术的数据处理系统的“输出-结果”导向思维可能会进一步冲击程序导向的司法思维，判决程序与结果也可能因大数据处理而存在异化可能。数据和算法驱动的司法改革导致知识形态大幅度转换，甚至也有可能导致法官、检察官的主体性或多或少被解构或自我消解。 CXO UNION-CXO联盟（cxounion.cn）

再次，季卫东教授围绕“通过四种数字平台实现的现代法治理念与机制创新”进行了系统分析。季教授指出，智慧审判平台、智慧执行平台、智慧诉讼服务平台和智慧管理平台，都有人工智能的应用。作为司法核心的智慧审判平台，可以通过类案推送、电子质证、机器推理、专家软件、文书自动生成、远程电子签章等赋能法官个体，从而达到提高办案效率、增强审判独立、防止裁量权滥用的目标。赋能法官导致独立审判，全程留痕导致数据监控，类案类判导致司法正义，这三个因素对数字时代的审判体系范式转换至关重要。另外，智慧执行平台通过大数据的跨领域应用和算法助推来解决判决“执行难”，提高债权回收的比率和规范化程度，实现“精准执行”。智慧诉讼服务平台试图在互联网、大数据和云计算的基础上为当事人提供一站通办、一网通办、一号通办、一次通办的线上线下相结合的智慧诉讼服务，在发挥便民功能的同时，还可以进一步促进司法公开。智慧管理平台关键是构建和运行司法大数据分析系统，通过案件权重系数计算等评估审理工作量、决定员额编制、进行绩效考核，提高法院管理的效率，并实现以人、案、事为维度的法院管理无纸化、精细化、可视化。

最后，季卫东教授围绕“结论与展望：把公正程序原则嵌入数据处理流程”进行了深刻解读。季教授指出，数据和算法能够推动司法现代化最重要、最核心的机制是把公正程序原则嵌入到数据处理流程当中去。数据和人工智能的双向赋能，使中国司法现代化找到了另辟蹊径的重大机会，为帮助我们跳出“超当事人主义-超职权主义”的怪圈提供了一根撑杆。通过人工智能系统对大数据进行分析和预测以及更广泛的数字化处理，有利于贯彻现代法治精神。把现代审判的理念嵌入数据处理的信息系统，同时也嵌入各级法院的整个运行过程，从而让现代审判制度所要求的客观性、中立性、公正性、形式理性以及规范统一性、审判独立性、司法透明性、诉讼便民性、办案效率性等等目标，都通过计算机科学和信息技术得到更充分、更完美的实现。怎样在安全与发展之间保持适当的平衡关系，是当今人工智能治理和法律必须面对的首要课题，最核心的是如何通过法律性的程序公正和技术性的程序公正二者最恰当的组合，以保证司法改革达到预期目标。 CXO UNION-CXO联盟（cxounion.cn）

讲座现场气氛热烈活跃，掌声雷动。听众表示，季卫东教授的讲座立意前瞻、内容新颖、站位高远，既有前沿的时代气息，又具强烈的本土特色，既有交叉学科的特色，又蕴含法学学科的底色，充分展示了“三个性”：数据驱动是中国司法现代化的前瞻性思考、算法应用是中国司法现代化的全局性谋划、智慧化发展是中国司法现代化的战略性布局。季卫东教授的讲座是对当下司法改革领域应用人工智能、数据算法成果的全景勾勒，充分彰显了中国司法现代化的改革新理念、发展新思路和演变新动向。与会者表示，要以参加本期“国是大讲坛”为契机，努力在思想上与数据算法的新趋势“同频”，主动对标对标数字法学发展的新变化，及时变革观念，牢牢把握法学与国家治理体系现代化以及数字中国发展需求的互动中产生的发展趋势，不断致力于制度创新和知识创新；努力与司法体制改革和法治中国建设“同向”，特别是对标在应用数据算法方面的具体要求，始终将自身的专业学习与理论研究放在司法体制改革的大局中来谋划、放在司法体制改革的潮流来推进；努力在行动上与中国法律与社会现代化的实践“同步”，牢牢把握计算技术、互联网技术、人工智能与法律和法学的交叉、碰撞、融合，以及所引发的法治规则变革、社会治理模式变革和法治范式变革，在法学理论和法治实践的前沿践行现代化的理念。 CXO UNION-CXO联盟（cxounion.cn）

翻译：

Ji Weidong: Data and Algorithm Driven judicial modernization in China

Recently, the 6th academic lecture of the National Governance Institute of Tsinghua University “National is Great Forum” was held in the reception hall of the main building of Tsinghua University. Ji Weidong, senior professor of liberal arts at Shanghai Jiao Tong University, Dean of China Institute of Law and Society, Director of Artificial Intelligence Governance and Law Research Center, and member of CCF China Digital Economy 50 Forum, was invited to give a lecture on the theme of “Data and Algorithm-driven Judicial Modernization in China”. CXO UNION-CXO联盟（cxounion.cn）

Professor Ji Weidong delivered the keynote speech

In the lecture, Professor Ji Weidong first solved problems, explaining why data and algorithms can drive legal and social change, what are the universal characteristics and common indicators of modernization, and how to achieve the goal of modernization of the trial system in the special context of China. He then focused on the theme of judicial modernization in China and the driving role of digital information technology, focusing on “Modernization of China’s legal System in the Digital Age”, “Modernization of the trial system with Data and Artificial Intelligence as leverage”, “Innovation of modern rule of Law Concept and Mechanism through four digital Platforms”, “Conclusion and Outlook:

First of all, Professor Ji Weidong made an in-depth interpretation of “the modernization of Chinese legal system in a new way in the digital age”. Ji pointed out that the multiplier effect of the Internet, data and artificial intelligence is driving legal and social change. With the popularization and performance improvement of information and communication technology, daily life is fully covered by digital information, and the form of market transactions has shifted from goods to services, forming a new form between law and society. This new form is reflected in: the interaction between individuals will be strengthened; The transparency of the private world has been greatly enhanced, and the privacy and the corresponding personal freedom have been seriously weakened. The social transparency and the algorithm black box are sharp contradictions in contemporary society. Here, the principles, laws, and technology “sandwich” mode of artificial intelligence governance, as well as four practical scenarios such as data, algorithms, application systems, and large models, are particularly noteworthy.

Professor Ji Weidong believes that in the 25 years from 1999 to the present, the judicial field has gradually realized digital coverage through IT-based case process management, the Internet of judgment documents and the paperless office of the court, and data and algorithms are changing the trial operation mechanism. Codes, scoring systems, virtual community rules, etc., make legal norms more diverse, and the problem of algorithmic black boxes can cause accountability mechanisms to fail, but also increase the need for legitimate processing. It can be seen that digitalization and modernization not only interact, but also exist two paradoxes: One is the paradox of national sovereignty. In the digital space, artificial intelligence as a normative embedded system is certainly conducive to strengthening the restriction of state power, but the concept of digital sovereignty also shows the trend of national sovereignty forming unprecedented power with the help of digital information technology and transforming it into an algorithm-based leviathan; The second is the paradox of digital technology, which promotes the interplay between internationalization, globalization, and national sovereignty, but also stimulates nation-state identities and conflicts over value alignment. Therefore, it is imperative to promote “digital constitutionalism” or “digital rule of law” to protect “digital human rights” and further promote the innovation of legal paradigm according to the needs and conditions of the digital process. In his view, the combination of legal procedural justice and technical procedural justice is the DNA double helix structure of modern rule of law in the digital age, and is the key to legal innovation.

Secondly, Professor Ji Weidong made a profound elaboration around the “modernization of the trial system with data and artificial intelligence as leverage”. Professor Ji pointed out that the core goal of the modernization of the trial system and trial capacity is to smooth the operation of the trial power system, better demonstrate the principle of people’s courts exercising judicial power independently according to law, and more fully meet the fundamental concept of modern legal order construction, which is also the main function of the application of new technologies such as the Internet, big data, cloud computing, blockchain, and artificial intelligence to the judicial scene. In the process of judicial reform, the most concerned is how to improve judicial credibility, including judicial justice, judicial authority, judicial efficiency and judicial convenience four factors, the result is the implementation of judicial responsibility system, judicial staffing system and judicial intelligence. He believes that the data algorithm and technical architecture of judicial intelligence can help jump out of the entanglement of the relationship in the traditional network society, accelerate the modernization of national governance and the rationalization of the judicial system, and promote the transformation of the trial thinking method from conceptual calculation (formal logic syllogism + adaptive technology) to data calculation (big data of standardized cases +AI algorithm). However, the “output-result” oriented thinking of the data processing system based on information and communication technology may further impact the procedure-oriented judicial thinking, and the judgment procedure and result may also be alienated due to big data processing. The judicial reform driven by data and algorithm leads to a large transformation of knowledge form, and may even cause the subjectivity of judges and prosecutors to be more or less deconstructed or self-dissolved. CXO UNION-CXO联盟（cxounion.cn）

Thirdly, Professor Ji Weidong conducted a systematic analysis of “modern rule of law concept and mechanism innovation achieved through four digital platforms”. Professor Ji pointed out that the intelligent trial platform, intelligent execution platform, intelligent litigation service platform and intelligent management platform all have the application of artificial intelligence. As the core of the judiciary, the intelligent trial platform can empower individual judges through case pushing, electronic cross-examination, machine reasoning, expert software, automatic generation of documents, remote electronic signature, etc., so as to achieve the goal of improving case handling efficiency, enhancing trial independence, and preventing abuse of discretion. Empowering judges leads to independent trials, leaving traces throughout the process leads to data monitoring, and case-by-case sentencing leads to judicial justice. These three factors are crucial to the paradigm shift of trial system in the digital age. In addition, the intelligent execution platform solves the “difficult execution” of judgments through the cross-field application of big data and algorithm boost, improves the ratio and normalization of claims recovery, and achieves “accurate execution”. On the basis of the Internet, big data and cloud computing, the smart litigation service platform attempts to provide the parties with a combination of online and offline smart litigation services of GovHK, OneNetcom, OneNetcom and onetime, which can not only play the function of convenience for the people, but also further promote judicial openness. The key to the smart management platform is to build and operate the judicial big data analysis system, evaluate the trial workload, decide the staffing, and conduct performance assessment through the calculation of the case weight coefficient, improve the efficiency of court management, and realize the paperless, refined and visual court management based on the dimensions of people, cases and events.

Finally, Professor Ji Weidong made a deep interpretation of “Conclusion and Prospect: Embedding the principle of fair procedure into the data processing process”. Professor Ji pointed out that the most important and core mechanism through which data and algorithms can promote judicial modernization is to embed fair process principles into the data processing process. The two-way empowerment of data and artificial intelligence has provided a major opportunity for China’s judicial modernization to find a new path, and has provided a pole to help us break out of the vicious circle of “supramentarianism – supramentarianism”. The analysis and prediction of big data through artificial intelligence systems and the broader digital processing are conducive to the implementation of the modern spirit of the rule of law. The concept of modern trial is embedded in the information system of data processing, as well as in the entire operation process of courts at all levels, so as to achieve the objectives required by the modern trial system, such as objectivity, neutrality, impartiality, formal rationality, normative unity, trial independence, judicial transparency, convenience of litigation, and efficiency of handling cases. Through computer science and information technology to be more fully, more perfect realization. How to maintain a proper balance between security and development is the primary issue that AI governance and law must face today, and the most core is how to adopt the most appropriate combination of legal procedural justice and technical procedural justice to ensure that judicial reform achieves the expected goal. CXO UNION-CXO联盟（cxounion.cn）

The atmosphere of the lecture was warm and active, and the applause was thunderous. The audience said that Professor Ji Weidong’s lecture was forward-looking, novel in content, and high in position, which not only had a cutting-edge atmosphere of The Times, but also had strong local characteristics, both cross-disciplinary characteristics, and contained the background color of the legal discipline, fully demonstrating the “three personalities” : Data-driven is the forward-looking thinking of China’s judicial modernization, algorithm application is the overall planning of China’s judicial modernization, and intelligent development is the strategic layout of China’s judicial modernization. Professor Ji Weidong’s lecture is a panoramic outline of the current application of artificial intelligence and data algorithm achievements in the field of judicial reform, fully demonstrating the new reform concepts, new development ideas and new trends in the evolution of China’s judicial modernization. The participants said that they should take the opportunity to participate in this “National is Great Forum” as an opportunity to strive to “keep pace” with the new trend of data algorithm in thought, take the initiative to benchmark the new changes in the development of digital law, timely change the concept, firmly grasp the development trend generated by the interaction between law and the modernization of the national governance system and the development needs of digital China, and constantly commit to institutional innovation and knowledge innovation; Strive to be “in the same direction” with the judicial system reform and the construction of the rule of law in China, especially the specific requirements of the application of data algorithms, and always plan their professional learning and theoretical research in the overall situation of the judicial system reform and promote it in the trend of the judicial system reform; We strive to “synchronize” our actions with the practice of China’s legal and social modernization, firmly grasp the intersection, collision and integration of computing technology, Internet technology, artificial intelligence and law and jurisprudence, as well as the changes in rule of law rules, social governance model and rule of law paradigm, and practice the concept of modernization at the forefront of legal theory and rule of law practice. CXO UNION-CXO联盟（cxounion.cn）

本文由CXO UNION-CXO联盟（cxounion.cn）转载而成，来源于中国数字经济50人论坛；编辑/翻译：CXO UNIONCXO联盟小U。

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