最高人民法院釋出《關於規範和加強人工智慧司法應用的意見》

法發〔2022〕33號

最高人民法院

關於規範和加強人工智慧司法應用的意見

為深入學習貫徹黨的二十大精神，深入貫徹總書記法治思想，貫徹落實《中華人民共和國國民經濟和社會發展第十四個五年規劃和2035年遠景目標綱要》和《新一代人工智慧發展規劃》，推動人工智慧同司法工作深度融合，全面深化智慧法院建設，努力創造更高水平的數字正義，結合人民法院工作實際，制定本意見。

一、指導思想

1.堅持以總書記 新時代中國特色社會主義思想為指導，深入貫徹總書記 法治思想，堅持司法為民、公正司法工作主線，加快推進人工智慧技術與審判執行、訴訟服務、司法管理和服務社會治理等工作的深度融合，規範司法人工智慧技術應用，提升人工智慧司法應用實效，促進審判體系和審判能力現代化，為全面建設社會主義現代化國家、全面推進中華民族偉大復興提供有力司法服務。

二、總體目標

2.到2025年，基本建成較為完備的司法人工智慧技術應用體系，為司法為民、公正司法提供全方位智慧輔助支援，顯著減輕法官事務性工作負擔，有效保障廉潔司法，提高司法管理水平，創新服務社會治理。到2030年，建成具有規則引領和應用示範效應的司法人工智慧技術應用和理論體系，為司法為民、公正司法提供全流程高水平智慧輔助支援，應用規範原則得到社會普遍認可，大幅減輕法官事務性工作負擔，高效保障廉潔司法，精準服務社會治理，應用效能充分彰顯。

三、基本原則

3.安全合法原則。堅持總體國家安全觀，禁止使用不符合法律法規的人工智慧技術和產品，司法人工智慧產品和服務必須依法研發、部署和執行，不得損害國家安全，不得侵犯合法權益，確保國家秘密、網路安全、資料安全和個人資訊不受侵害，保護個人隱私，促進人機和諧友好，努力提供安全、合法、高效的智慧化司法服務。

4.公平公正原則。堅持遵循司法規律、服務公正司法，保證人工智慧產品和服務無歧視、無偏見，不因技術介入、資料或模型偏差影響審判過程和結果的公正，同時尊重不同利益訴求，能夠根據司法需求公平提供合理可行方案，充分照顧困難群體、特殊群體，使其在司法活動中獲得必要幫助，實現智慧化司法服務對各類使用者的普適包容和機會均等。

5.輔助審判原則。堅持對審判工作的輔助性定位和使用者自主決策權，無論技術發展到何種水平，人工智慧都不得代替法官裁判，人工智慧輔助結果僅可作為審判工作或審判監督管理的參考，確保司法裁判始終由審判人員作出，裁判職權始終由審判組織行使，司法責任最終由裁判者承擔。各類使用者有權選擇是否利用司法人工智慧提供的輔助，有權隨時退出與人工智慧產品和服務的互動。

6.透明可信原則。堅持技術研發、產品應用、服務執行的透明性，保障人工智慧系統中的司法資料採集管理模式、法律語義認知過程、輔助裁判推定邏輯、司法服務互動機制等各個環節能夠以可解釋、可測試、可驗證的方式接受相關責任主體的審查、評估和備案。司法人工智慧產品和服務投入應用時，應當以便於理解的方式說明和標識相應的功能、效能與侷限，確保應用過程和結果可預期、可追溯、可信賴。

7.公序良俗原則。堅持將社會主義核心價值觀融入司法人工智慧技術研發、產品應用和服務執行全過程，保證人工智慧司法應用不得違背公序良俗，不能損害社會公共利益和秩序，不能違背社會公共道德和倫理，健全風險管控、應急處置和責任查究機制，防範化解人工智慧司法應用中可能產生的倫理道德風險。

四、應用範圍

8.加強人工智慧全流程輔助辦案。支援證據指引與審查、法律法規推送、類案推送、全案由裁判輔助、法律文書輔助生成、法律文書輔助審查等智慧化應用，促進裁判尺度統一，保障司法公正，維護司法權威。

9.加強人工智慧輔助事務性工作。支援電子卷宗自動分類歸目、案件資訊自動回填、案件繁簡分流、送達地址及方式自動推薦、司法活動筆錄自動生成、執行財產查控輔助、電子卷宗自動歸檔等智慧化應用，降低各類人員工作負擔，提高司法效率。

10.加強人工智慧輔助司法管理。支援案件裁判偏離度預警、終本案件核查、不規範司法行為自動巡查、廉潔司法風險防控等智慧化應用，提升司法管理質效，保障廉潔司法。

11.加強人工智慧服務多元解紛和社會治理。支援司法資源推薦、訴訟和調解諮詢問答、訴訟預期輔助評估、社會治理風險預警與輔助決策等智慧化應用，為化解社會矛盾、服務社會治理提供新的途徑和方式。

12.不斷拓寬人工智慧司法應用場景和範圍。結合人工智慧技術創新程式和人民法院改革發展實踐，積極探索訴訟服務、審判執行、司法管理和服務社會治理等領域的重大應用場景，不斷擴充新的應用範圍。

五、系統建設

13.加強人工智慧應用頂層設計。按照人民法院資訊化建設發展規劃部署，設計完善智慧法院人工智慧相關資訊系統體系架構和技術標準體系，豐富擴充人工智慧司法應用場景，建立健全人工智慧系統資訊保安和運維保障制度，指導和規範各級人民法院人工智慧系統建設。

14.加強司法資料中臺和智慧法院大腦建設。加快推進司法資料庫、資料服務平臺、司法知識庫、人工智慧引擎、知識服務平臺和司法區塊鏈平臺等系統的建設和整合，打造實體化司法資料中臺和智慧法院大腦，為面向各類業務的人工智慧司法應用提供核心驅動。

15.加強司法人工智慧應用系統建設。圍繞人民法院司法活動典型業務場景，以提升智慧化水平為主線，促進司法資料中臺和智慧法院大腦與智慧服務、智慧審判、智慧執行和智慧管理等業務應用系統融合整合，不斷提供滿足司法業務需求、符合先進技術發展方向的司法人工智慧產品和服務。

16.加強司法人工智慧關鍵核心技術攻關。依託國家重點工程、科研專案和科技創新平臺，組織產學研優勢力量，發揮學科交叉催化劑作用，針對面向司法語境的大規模預訓練語言模型及其應用、多模態司法大資料高效處理方法、司法資料驅動與知識引導相結合的深度神經網路模型構建與樣本學習方法、基於法律知識增強的可解釋檢索和推理模型、面向司法效能提升的人機互動正規化、基於新一代人工智慧的審判輔助系統等關鍵核心技術集智攻關，為司法人工智慧系統建設提供牽引和支撐。

17.加強基礎設施建設和安全運維保障。根據司法人工智慧對算力、通訊和服務能力的需求，科學合理地規劃和建設通訊網路、計算儲存、通用終端裝置和專用資訊化設施等資訊基礎設施，強化網路安全、資料安全和個人資訊保護能力，完善人工智慧執行維護機制，為人工智慧司法應用提供必要的保障條件。

六、綜合保障

18.提高思想認識，加強組織領導。高度重視人工智慧應用對司法為民、公正司法的重要意義，以智慧法院新一代人工智慧示範應用為契機，找準工作結合點、切入點，把握髮展規律，爭取資金支援，注重宣傳培訓，引導幹警充分參與，努力推動司法人工智慧應用取得突破。

19.促進協同創新，保護智慧財產權。加強司法大資料質量管控，完善跨部門、跨層級、跨業務的司法資料協同共享和智慧化服務共建共享機制，支援司法人工智慧科技創新和專利、軟體著作權申報，切實保護相關智慧財產權。

20.加強安全保障，防範安全風險。加強司法資料分類分級管理，強化重要資料和敏感資訊保護，完善司法資料安全共享和應用模式，透過司法人工智慧倫理委員會等機制，綜合採用倫理稽核、合規審查、安全評估等方式，防範化解人工智慧應用過程中的安全風險。

最高人民法院

2022年12月8日

The Supreme People’s Court

The Opinions on Regulating and Strengthening the Applications of Artificial Intelligence in the Judicial Fields

In order to thoroughly study and implement Xi Jinping Thought on the Rule of Law and the spirit of the 20th Communist Party of China (CPC) National Congress, and to enforce the Outline of the 14th Five-Year Plan (2021-2025) for National Economic and Social Development and the Long-Range Objectives Through the Year 2035 and the New-generation Artificial Intelligence Development Plan, the Supreme People’s Court (SPC), aligning with the practice of the people’s courts, is now publishing the Opinions. The Opinions aim to promote the in-depth integration of artificial intelligence with judicial work, deepen the construction of smart courts, and strive to achieve a higher level of digital justice.

I. Guiding Principles

1. People’s courts must follow the guidance of Xi Jinping Thought on Socialism with Chinese Characteristics for a New Era, thoroughly implement Xi Jinping Thought on the Rule of Law, and uphold justice for the people and judicial impartiality as our cardinal work. People’s courts shall advance in-depth integration of artificial intelligence with adjudication and enforcement, litigation service, court management, as well as social governance facilitation, regulate yet pursue effective application of artificial intelligence in the judicial fields, to accelerate the modernization of the judicial system and judicial capability, and to serve the building China into a modern socialist country in all respects and promoting the great rejuvenation of the Chinese nation at all fronts with judicial safeguards.

II. Overall Objectives

2. People’s courts shall, by the year 2025, construct an improved functional system for the application of artificial intelligence in the judicial field, the function of which is to provide all-round intelligent support for serving the people and justice, and to effectively alleviate the high administrative workload of judges, thus achieving improvement in anti-corruption and court management, and innovation in facilitating social governance. People’s courts shall, by the year 2030, build an application and theoretical system for the utilization of artificial intelligence in the judicial field with model rules and demonstration effects, to provide whole-process high-level intelligent support for serving the people and justice, with the normsand principles being widely acknowledged, the administrative workload of judges being significantly reduced, providing effective and adequate safeguards for anti-corruption, precise facilitation for social governance, and achieving full application effectiveness.

III.General Principles

3. Principle of Security and Legality. Pursuing a holistic approach to national security, forbidding the usage of illegal AI technologies and products. Judicial AI products and services shall be legally developed, deployed and operated, and shall not be detrimental to national security and legal interests. It shallsecure state secrets, network security, data security and personal information free from infringement, protect personal privacy, promote a harmonious and friendly interface between the user and AI, and provide safe, legitimate, and efficient intelligent judicial services.

4. Principle of Fairness and Justice. Following fundamental judicial rules, serving judicial fairness, ensuring AI products and services are free from discrimination and prejudice. The fairness of the processes and outcomes of trials shall not be impaired by the introduction of technology, either model nor data deviations. Meanwhile, respecting diverse interests, offering fair, reasonable and feasible solutions based on judicial demands, adequately providing necessary assistance to communitiesin difficulties and people with special needs to participate in judicial activities. Intelligent judicial services shall achieve universal inclusion of all groups of users with equal opportunities.

5. Principle of Supporting Adjudication. Affirming the supportive role of AI in adjudication, and the user’s rights to decision-making. AI shall not make judicial decision substituting for the judge in any case, disregarding technology advancement. The results from AI shall be for supplemental references only, for adjudication or judicial supervision and management. Ensuring all judicial decision are made by the judicature, all judicial powers are administered by adjudicative authorities, and all judicial accountability ultimately falls on the decision-maker. All users have the rights to decide whether or not to use judicial AI assistance and the rights to terminate their interface with AI products and services.

6. The Principle of Transparency and Credibility. Ensuring the transparency of technology development, product application and service operation. Ensuring all links of AI systems, including the collection and management patterns of judicial data, the process of legal cognitive semantics, and the logic of assisting judicial presumptions would accept examination, evaluation and registration with relevant authoritative entities with interpretability, testability and verifiability. Corresponding features, capabilities and limitations shall be instructed and identified in a manner that can be easily understood when any judicial AI products and services are used, to ensurethat the procedure and outcome of applications are predictable, traceable and credible.

7. The Principle of Abiding By PublicOrder and Good Customs. Infusing the Core Socialist Values into the whole process of technology development, product application and service operation of judicial AI. The application of judicial AI shall not endanger public order and good customs, shall not damage public interests and social order, and shall not violate public morals and ethics. A mechanism of risk management, emergency response and responsibility investigation shall be established to avoid and resolve possible moral and ethical risks from the application of judicial AI.

IV. Application Scope

8. Enhancing AI-assisted case-handling in whole process. People’s courts shall support the development of AI applications on evidence guidance and review, smart push of laws, regulations and similar cases, adjudication assistance for all causes of actions, AI-assistedlegal documentsgeneration and review, to further advance the uniformity of adjudication, secure judicial justice and safeguard judicial authority.

9. Enhancing AI-assisted complementation of administrative work. People’s courts shall support the development of AI applications for e-filesclassification and categorization, case informationcrawling, automatic diversion of complex and simple cases, automatic recommendation of service addresses and methods, automatic generation of judicial records, AI-assisted property investigation and seizure, automatic electronic casefiling and other related aspects, to reduce the administrative workload of all types of judicial personnel and improve judicial efficiency.

10. Enhancing AI-assisted judicial management. People’s courts shall support the development of AI applications forwarning deviationof adjudicative criteria, review of the procedural-terminated enforcement cases, inspection of judicial irregularities, prevention and control of judicial corruption risk and other related aspects, to optimize the quality and efficiency ofjudicial management and maintain judicial integrity.

11. Enhancing AI services for diversified dispute resolution and social governance. People’s courts shall support the development of AI applications for judicial resolution recommendation, litigation and mediation consultation or Q&A, AI-assisted litigation prediction, early warning of social governance risk, AI-assisted decision-making and other related aspects, to provide new methods for resolving social conflicts and serving social governance.

12. Expanding the AI application scope in judicial fields. People’s courts shall combine the innovation of AI technology with the practice of judicial reform, exploring AI application scenarios in the fields of litigation service, adjudication, enforcement, judicial management and social governance, and expanding new application scope within different fields.

V. System Construction

13. Strengthening the top-level design of AI application. According to the Plan for Information Construction at People’s Courts, the Supreme People’s Court shall build and improve the structure of the Smart AI Court Information System and its technical standard. TheSupreme People’s Court shall broaden the application scenarios of AI Judiciary while establishing and improving the information security, operation and maintenance mechanism of the AI System, and shall guide and regulate the AI system construction of people’s courts at each level.

14. Strengthening the construction ofjudicial data centers and smart court brains.People's courts shall expedite the construction and integration of systems, including judicial databases, data service platforms, judicial knowledge bases, artificial intelligence engines, knowledge service platforms and judicial blockchain platforms. These measures aim to virtualize and enhance the judicial data centers and smart court brains, providing the core driving force for AI applications on judicial services.

15. Strengthening the construction of judicial AI application system. With the main focus being improving the AI performance, People’s courts shall promote the integration of AI application systems including judicial data centres, smart court brains, smart services, smart adjudication, smart enforcement, smart management and other typical judicial scenarios. People’s courts shall continuously provide advanced judicial AI products and services to meet the growingjudicial needs.

16. Reinforcing research on key and core technologies of judicial AI. Based on the strength of national significant projects, scientific research programs and technology innovation platforms, the SPC shall organize leading research forces from industries, academies and laboratories, enhancing the catalyst effect of interdisciplinary study. The research shall focus on pre-trained language models and application regarding judicial context, high efficiency multimodal judicial data processing, judicial data-driven and knowledge-oriented deep neural networks model and transfer learning, legal knowledge-enhanced interpretable retrieval and reasoning model, human-computer interaction aiming at improving judicial efficiency, adjudication support system based on new generation AI and other core technologies, thus promoting and upholding the construction of judicial AI system.

17. Strengthening the construction of infrastructure, security operation and maintenance. Accommodating the needs of judicial AI on computing power, communication and service capacity, People’s courts shall plan and construct information infrastructure in a reasonable scientific manner, including communication network, computing storage, terminal equipment，and specialized information facility. These plans and construction shall strengthen internet security and data security, further protect personal information and improve AI’s operation and maintenance mechanism, providing vital protection and condition for judicial AI applications.

VI. Comprehensive Supports

18. Guiding the Development with Higher Awarenessand Deeper Understanding. By attaching great importance to judicial AI applications in realizing justice for the people and judicial impartiality,People’s courts shall take the opportunity of Smart Courts construction, one of the selected AI model application scenarios, to identify valuable conjunction and connection points, and grasp the laws governing development. More efforts shall be devoted to attracting financial support, enhancing publicity and training, encouraging more judicial personnel to fully participate, andfurther promoting breakthroughs in judicial AI applications.

19. Promoting Collaborative Innovation to Protect Intellectual Property Rights. People’s courts shall increase the quality management of judicial Big-Data supplies to fully exploit and develop systems with the features of inter-departmental, cross-level and cross-service that share collaborative judicial data and intelligent judicial service. People’s courts shall support judicial AI innovations, encouragerelated patent applications or software copyright registrations, providing sufficient protection of intellectual property rights.

20. Enhancing Security Management to MitigateCybersecurity Risks. People’s courts shall promote categorized and hierarchical management of judicial data, enhance the protection of crucial data and sensitive information, and secure the safety of judicial data developing and sharing. Through mechanisms such as Judicial AI Ethics Council, People’s courts shall comprehensively adopt methods,including ethical reviews, compliance reviews, and security assessments, to prevent and mitigate cybersecurity risks in judicial AI applications.

文章來源：最高人民法院

文章原標題：《《最高人民法院關於規範和加強人工智慧司法應用的意見》全文（中英文版）》

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