论行政法视域下人脸识别技术适用必要性原则的规制细化研究

On the Refinement of Necessity Principle of Face Recognition Technology from the Perspective of Administrative Law

摘要: 必要性原则与比例原则是行政法约束公权力运行、保障公民宪法基本权利的核心准则。人脸识别作为新型生物识别治理手段，已深度嵌入政务管理、公共安检、基层社区治理、政务服务等公权力运行场域，行政机关及受委托公共管理主体借助该技术大规模采集、存储、甄别公民人脸生物信息。然而实践中，公权力主体存在技术泛化滥用、超法定目的采集、无替代方案论证便强制适用等乱象，不断挤压公民隐私权、个人信息权与人身自由的权利边界。文章立足行政法与宪法权利保障双重视角，采用案例分析研究方法，梳理公共行政领域人脸识别适用中存在的滥用乱象、基本权利受侵害、行政审判对必要性原则界定模糊等现实症结；究其根源，在于人脸识别公域适用准入门槛宽松、必要性原则行政法律规制供给匮乏、行政指导性案例缺位失衡。对此，从行政立法细则完善、行政惩戒机制细化、行政案例指导制度构建三个层面，对人脸识别技术公权力适用的必要性原则进行层级细化，规范行政自由裁量权，划定公权力介入私人信息的法治边界，实现数字智慧治理与公民基本权利保障的平衡适配。

Abstract: The principles of necessity and proportionality are the core norms of administrative law to restrict the operation of public power and protect citizens’ basic constitutional rights. As a new biometric governance method, face recognition technology has been deeply embedded in the operational fields of public power, such as government affairs management, public security inspection, grass-roots community governance, and government service. Administrative organs and entrusted public management entities collect, store, and screen citizens’ facial biometric information on a large scale with the help of this technology. In practice, however, public power subjects have chaotic phenomena such as generalized abuse of technology, collection beyond legal purposes, and mandatory application without demonstration of alternative schemes, which constantly squeeze the right boundary of citizens’ privacy, personal information rights, and personal freedom. From the dual perspective of administrative law and constitutional right protection, this paper adopts the case analysis method to sort out the practical cruxes such as abuse chaos, infringement of basic rights, and vague definition of necessity principle in administrative trial in the application of face recognition in public administration. The root causes lie in the loose access threshold for the application of face recognition in the public domain, the lack of administrative legal regulation, the necessity principle, and the unbalanced absence of administrative guiding cases. Therefore, from three aspects of improving the detailed administrative legislation, refining the administrative punishment mechanism and constructing the administrative case guidance system, this paper hierarchically refines the necessity principle applied by public power in face recognition technology, standardizes administrative discretion, delimits the legal boundary of public power intervening in private information, and realizes the balanced adaptation between digital intelligent governance and the protection of citizens’ basic rights.