人脸识别中知情同意原则的适用困境与制度重构

The Applicable Dilemma and Institutional Reconstruction of the Informed Consent Principle in Face Recognition

摘要: 人脸识别技术在公共安全、商业支付、社区管理等领域广泛应用，但其无感化、规模化特征使得传统知情同意原则面临严重的适用失灵。实践中，告知不充分、同意非自愿、豁免泛化等问题突出，司法案例与行政执法均暴露出用户真实意思被架空的结构性困境。本文以典型案件为切入点，系统梳理知情同意失灵的现象表现，结合《中华人民共和国个人信息保护法》及2025年《人脸识别技术应用安全管理办法》的具体条款，分析法律规范在适用中的模糊地带与解释张力。在此基础上，从信息自决权、比例原则、格式条款规制等法学理论视角，揭示失灵背后的深层机理，厘清上述理论在人脸识别场域下的规范内涵与适用要求。最后，回应法理基础并针对前述案例暴露的实际问题，从知情标准、同意形式、豁免程序以及场景类型四个维度，提出知情同意原则的重构路径，以期为我国人脸识别技术的法治化治理提供理论支撑与实践指引。

Abstract: Face recognition technology has been widely applied in fields such as public security, commercial payment, and community management. However, its imperceptible and large-scale characteristics have rendered the traditional informed consent principle severely dysfunctional in practice. Prominent issues include inadequate disclosure, involuntary consent, and overgeneralized exemptions. Both judicial cases and administrative enforcement have revealed a structural predicament in which users’ genuine intentions are bypassed. This paper begins with typical cases to systematically examine the manifestations of the failure of informed consent. It then analyzes the ambiguities and interpretive tensions within the legal framework by examining relevant provisions of the Personal Information Protection Law of the People’s Republic of China and the Measures for the Security Management of Face Recognition Technology Application (2025). On this basis, from the theoretical perspectives of information self-determination, the principle of proportionality, and the regulation of standard-form contracts, this paper reveals the underlying mechanisms of such failure and clarifies the normative implications and applicatory requirements of these theories in the context of face recognition. Finally, responding to the jurisprudential foundations and the practical issues exposed by the aforementioned cases, this paper proposes a reconstruction path for the informed consent principle from four dimensions: standards of disclosure, forms of consent, exemption procedures, and scenario-based typology, with a view to providing theoretical support and practical guidance for the rule-of-law governance of face recognition technology in China.