自动化行政处罚程序的法律风险及规制

Legal Risks and Regulation of Automated Administrative Penalty Procedures

摘要: 随着人工智能的飞速发展，自动化行政已经融入我们日常生活中，近年来，自动化行政处罚作为行政执法的一种手段进入公众的视野。自动化行政处罚程序能够大幅度提升执法效率、更新治理模式、完善法治建设，但同时自动化行政处罚程序也存在着法律风险，如瞬时完成的行政处罚决定容易侵害行政相对人正当的程序性权利；基于算法模型由原有的裁量模式转变为羁束模式，引发过罚不当或者同案不同罚情形；对于自动化设备的设置及证据采集过程审查不足，也容易造成败诉风险。基于此应当对自动化行政处罚程序进行必要的规制，应当明确自动化行政处罚程序的正当程序原则的内涵，对自动化行政处罚程序分情形设置必要的人工干预机制，完善对自动化设备及证据采集过程的审查。

Abstract: With the rapid advancement of artificial intelligence, automated administrative processes have become an integral part of daily life. In recent years, automated administrative penalties as a tool of law enforcement have gained public attention. While these automated procedures significantly enhance enforcement efficiency, modernize governance models, and strengthen legal frameworks, they also present inherent legal risks. For instance, instant penalty decisions may infringe upon legitimate procedural rights of administrative subjects. The shift from discretionary to algorithm-driven decision-making models may lead to disproportionate penalties or inconsistent rulings in similar cases. Additionally, insufficient oversight of automated equipment deployment and evidence collection processes increases litigation risks. To address these issues, it is imperative to establish necessary regulations for automated administrative penalties. This includes clarifying the principles of due process, implementing human intervention mechanisms for two specific scenarios, and enhancing supervision over automated equipment and evidence collection procedures.