人工智能 AI Law

人工智能:律师与助理之间来了个林妹妹

Artificial Intelligence: A Lin Sister Appears Between Lawyers and Paralegals

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走进任何一家规范的律师事务所,无论是在上海、纽约或是孟买、东京,你一定会看到两种律师:一种是助理律师,另一种是曾经的助理律师。

人文与科学领域的博士毕业意味着有资格探索前沿、指点江山,而法学领域的博士,无论是中国的法学博士还是美国的JD,都要经过助理的阶段才能成为律师。

即便是美国最著名的前总统林肯,虽聪慧过人可以自学法律,但在老律师手下当几年助理,也是他独立执业之前绕不过去的阶段。

名不正则言不顺。中国的律师行业对助理没有恰当的称谓,不是偶然的疏忽,而是系统的盲点。

一、“律师助理”未必是“助理律师”

一个风险投资交易的合同文本往往经过多个主体多轮的谈判和修改。定稿打印签署之前的文本检查与校对是不可避免的工作环节。承担此任务的应该是律师助理,还是助理律师?

此非脑筋急转弯的问题。但是,答案也并不是那么显而易见:

a.战场情况紧急,伙夫也可以出去拼刺刀,管他头衔是什么?

b.如果时间从容,资源充沛,管理有序,应该是“律师助理”协助“助理律师”执行此任务。

a符合常理,不必赘述。b有点故弄玄虚,突出了助理律师和律师助理的区别。

事实上,

很多律师事务所并不这样区分助理律师和律师助理,而笼而统之地称之为“律师助理”,使用“助理律师”这个头衔的律所是少数。

志在成为律师的助理,往往不在意自己的头衔是“助理”在前(左),还是“律师”二字在前(左),反正自己迟早会成为“曾经的”助理。对于那些因为学历和资格限制不能或不打算成为律师的助理,更不在乎此等头衔里的文字格局。

律师的助理可以完全不涉及法律事务,一如跟随明星演员出行的助手,并不在助理中学会表演;研究生代劳导师的费用报销手续,成为贴发票的高手,但无关学问本身。一个专门解决医疗纠纷的律师可能需要一个专职的助理负责客户(患者)病历档案的管理,一个从事商标维权业务的律师可能有一个助理日复一日专门负责截屏的公证手续,他们的工作虽然服务于律师,但本身都不涉及律师思维。

助理律师,是具有律师资质和必要学历的律师,

只是还不能独当一面为当事人的权益,就法律事务做出判断。

助理律师是未来的律师。

遗憾的是,很多助理律师陷于律师助理的事务,感觉不到自己法律知识的用武之地。还有些助理律师,因为同类助理事务的重复性,感受不到智力层面的乐趣,反而磨灭了对律师工作的向往。

二、助理律师学什么?

常规回答是“学实务”。怎么学?常规回答是“师傅领进门,修行在个人”。这些都是懒人的答复。后者神秘化学习的机制,推卸带教者的指导责任,而前者其实是答非所问,因为问题本意就是:在实务中学什么?

所有的法学院都教合同法,但从未听说法学院系统地训练如何审阅合同。记住合同法的要义和审阅合同是完全不同的智力活动过程。审阅合同需要调动常识,相关技能只能在实务中获得,所谓在游泳中学会游泳。

不妨举个实际例子。客户要求在短时间内完成10份相互保密协议(Mutual Non-Disclosure Agreement, NDA)的审阅。带教律师忙得没有时间具体指导新来的助理律师如何有效地完成审阅。换句话说,带教律师如果有时间把如何审阅讲清楚,不如就用差不多时间亲自完成审阅了。匆忙之中,带教律师这样点拨助理律师:

这10份文件看上去各不相同,但都是同一个行业里的同一类文件。10份虽然没有100份那么多,但也足以反映什么是常规条款和常规表述,什么是离经叛道的条款或非主流的措辞。从这个角度来看这10份文件,助理律师其实有足够的自学资料,迅速成为相互保密协议的“专家”。换言之,作为常用的一种协议,Mutual NDA的基本逻辑和表达规范通过10个样板可以浮现出来。相互保密协议本身不涉及具体产品的买卖或服务交付,而是关于彼此如何承担保密义务的行为规范,因此不太需要具体的交易背景,审阅的重点在于是否对等、合理和有效。

这样的点拨让本来没有头绪的任务有了抓手。助理律师不是逐个地、孤立地审阅10份文件,而是在互相比照中发现规律、彰显模式。助理律师带着模式审阅,眼前不再是成千上万的文字堆积,而是结构明晰的条款与条款之间的关系。在此基础上,助理律师可以快速形成判断,做出批注和建议。

在这样一个小小的实务项目中,助理律师学到了保密协议的核心逻辑和常规表述,但这并非最重要的收获。真正影响长久的收获在于助理律师有了识别模式、掌握和适用规则做出判断的生动体验。

三、人工智能:跻身律师和助理之间

前文提及的助理律师基于10份类似文件就能识别模式、掌握套路、自学解题,是因为助理律师是高学历高智商的专业人士。如果是纯粹的小白,是不是基于10万份类似文件的自学训练也能够达到同等水平呢?

当今时髦的人工智能 (Artificial Intelligence, AI)特别是所谓神经网络“深度学习”(Deep Learning)领域的专家认为没有什么智能行为是机器学不会的,只要有足够大的训练数据库。10万份不够,那就100万份。

人工智能技术已经在改变生产和生活的方方面面。法律行业也在感受人工智能带来的效益。某些机器翻译法律文件的质量之高令人咋舌,更不提其速度之快、费用之低。

人工智能的应用不限于法律文件的翻译。

今年8月18日最高人民法院院长周强在国际会议上提到,中国司法系统正在“加强人工智能与审判执行工作相融合……实现辅助事务自动化办理、案件智能画像、证据自动核验、法条及类案精准推送等,不断提升司法质量效率。”中国社会科学院法学研究所科技与法研究中心主任杨延超称其团队[1]“在一部叫‘FILE’的机器人身上进行了大量的实验,最终它可以在知识产权领域为律师撰写专业的代理意见。”

上海人工智能研究院数字化治理中心主任彭嘉昊这样展望[2]:

以目前OpenAI最先进的通用语言模型GPT-3为例,其参数量达到了惊人的1750亿,拥有强大的计算能力,完成翻译、问答、文本等复杂的行为,其生成的新闻同人类的作品真假难分,甚至超越了人类的水平。无论我们是否担心,人工智能未来一定会做出同法官极为接近的裁判结果,从一个辅助性的工具,变成与法官共同工作的伙伴。

天上掉下了个林妹妹,助理和律师之间冒出了AI。

福兮?祸兮?高性价比的AI代替助理的部分职责,淘汰立案庭的人工审查,不亦乐乎;但AI抢律师和法官的饭碗?且慢。

四、AI:永远不能出徒的助理

人工智能系统和任何时髦的东西一样,往往“腹内草莽人轻浮”。任正非在央视《面对面》专访[3]里说得比较公允和客气:人工智能就是统计学嘛!

所谓“深度学习”,其实不过是在输入和输出端之间增加多层的神经网络节点,使得系统的信息输入和输出之间的错误纠正机制更细密,从而提高学习的准确率。所谓“神经网络”并非真地在实质意义上复制或模拟人脑的神经网络,而只是基于人脑的神经系统的网络形态打个粗浅的外形比方。很多外行人士“不明觉厉”,被这两个玄妙的名词所震慑,不敢深究。

相比腹内草莽的深度学习AI系统,律师的自学效率并不依靠海量的同类数据的反复刺激,因为律师思维的精髓恰恰在于发现和适用新类别。律师和诗人一样,都是在常人看到同类的地方发现另类,在常人认为迥异的地方发现同类。美国最高院大法官Potter Stewart说,我无法给“淫秽”下定义,但是放到我面前我能做出判断。显然大法官并不需要看海量的淫秽作品才能形成判断力。诗人说,“黑夜给了我黑色的眼睛,我却用它寻找光明。”AI或许能基于海量的样本文字的统计规律模仿出类似的句式,但索然无味。

AI写诗之无味和AI写法律文书或司法判决之不堪都是因为当今的AI深度学习以结果对错论英雄,却完全无视了诗歌和法律实务都是先有情境,后才有结果,结果之对错总是相对于特定情境而言,而情境又取决于人的意图。AI没有也不可能有自主的意图,只有设定的任务。用于训练深度学习机器人的数据的标签是人设定的。标签本身就已经体现了人的意图。

什么是情境,什么是意图?

当年上海刚解放,粟裕作为华东野战军的首长和夫人楚青忙里偷闲街头散步,遇到一个咖啡馆[4]。粟裕说这地方不错。楚青是大家闺秀出身,自然知道咖啡馆浪漫休闲的意味。没等她欣喜地拉着粟裕走进去,粟裕接着说:这里屋顶架上机枪可以封锁整个区域。输入的物理场景是一样的,意图不同,情境不同,输出的反应完全不同,没有对错之分,只是无意中成就一段历史趣事。

律师的思维始终扎根于具体的情境,敏感当事人、相对方和有关第三方的意图,根据意图主动塑造情境,在林林总总的大小规则中发现最有利的作为大前提。

剩下的三段论推理是助理律师或者足够强大的AI可以执行的简单任务。

还记得几年前出尽风头的IBM机器人Watson? 它可以在知识抢答竞赛中夺冠,可以打败下棋高手。但这些所谓智力行为离律师的思维还相差十万八千里。Watson缺乏常识,不能识别和把握情境,只能在固定参数范围内照猫画虎地做一些简单客服问答。

不成熟的诗人模仿,成熟的诗人剽窃。(此言出自T·S艾略特,乔布斯在1996年有过类似表述:“good artists copy; great artists steal — and we have always been shameless about stealing great ideas.”)

所谓剽窃就是挪用。为什么艾略特、毕加索和乔布斯都不以挪用为耻,原因在于被公然挪用的只是形,而嫁接的场合情境迥然不同,传达的意义自然不同。形同神异,挪用产生了新的意义即构成创造。

助理律师和AI都是模仿。AI永远只会模仿,而助理基于模仿会在新情境下尝试自主挪用嫁接,触类旁通,从而成为独立律师。

注释:

[1] http://iolaw.cssn.cn/bwsf/202008/t20200805_5166326.shtml

[2] https://www.thepaper.cn/newsDetail_forward_18756992

[3] https://cloud.tencent.com/developer/article/1400717

[4] https://new.qq.com/rain/a/20200705A0CEYG00

Walk into any standardized law firm, whether in Shanghai, New York, Mumbai, or Tokyo, and you will certainly see two types of lawyers: one is the associate lawyer, and the other is a former associate lawyer.

A doctoral degree in humanities and science means qualification to explore frontiers and指点江山 (make strategic remarks), while a doctoral degree in law, whether a Chinese Juris Doctor or an American JD, must go through the associate stage before becoming a lawyer.

Even the most famous former U.S. President Lincoln, as smart as he was and able to study law on his own, still had to spend a few years as an associate under an experienced lawyer before he could practice independently—a stage he could not bypass.

When names are not proper, words cannot proceed smoothly. The lack of an appropriate title for associates in China’s lawyer industry is not an occasional oversight but a systematic blind spot.

1. “Lawyer Assistant” Is Not Necessarily “Associate Lawyer”

Contract texts for venture capital transactions often undergo multiple rounds of negotiation and revision by multiple parties. Text checking and proofreading before final printing and signing is an unavoidable work环节. Should this task be undertaken by a lawyer assistant or an associate lawyer?

This is not a brain teaser. However, the answer is not so obvious:

a. In urgent battlefield conditions, even a cook can go out to fight with bayonets—regardless of titles?

b. If time is ample, resources are abundant, and management is orderly, it should be the “lawyer assistant” assisting the “associate lawyer” in executing this task.

a conforms to common sense and needs no elaboration. b is somewhat being clever, highlighting the difference between associate lawyer and lawyer assistant.

In fact,

Many law firms do not distinguish between associate lawyers and lawyer assistants, calling them all “lawyer assistants” in general. Few law firms use the title “associate lawyer.”

Associates aspiring to become lawyers often do not care whether their title has “assistant” first (left) or “lawyer” first (left)—they will sooner or later become “former” assistants. For those who cannot or do not plan to become lawyers due to educational and qualification limitations, they care even less about the textual structure of such titles.

A lawyer’s assistant can completely avoid involving legal affairs, just like assistants accompanying celebrity actors do not learn performance; graduate students handling their mentors’ expense reimbursement procedures become experts at attaching invoices, but this has nothing to do with academic pursuits. A lawyer specializing in medical dispute resolution may need a dedicated assistant to manage client (patient) medical record archives, while a lawyer engaged in trademark rights protection may have an assistant who day after day specializes in handling notarization procedures for screenshots—their work, while serving lawyers, does not itself involve lawyer thinking.

An associate lawyer is a lawyer with lawyer qualifications and necessary education,

just not yet able to independently make judgments on legal affairs for clients’ rights and interests.

An associate lawyer is a future lawyer.

Unfortunately, many associate lawyers get bogged down in lawyer assistant tasks, unable to feel the use of their legal knowledge. Some associate lawyers, due to the repetitive nature of similar assistant tasks, cannot feel intellectual enjoyment, which instead dampens their enthusiasm for lawyer work.

2. What Do Associate Lawyers Learn?

The conventional answer is “learn practical skills.” How to learn? The conventional answer is “the master introduces you to the door, but cultivation depends on the individual.” These are lazy people’s responses. The latter mystifies the learning mechanism and shifts the responsibility of guidance from instructors, while the former is actually answering a different question, because the original intent was: what to learn in practice?

All law schools teach contract law, but no law school has ever systematically trained how to review contracts. Remembering the essentials of contract law and reviewing contracts are entirely different intellectual activity processes. Reviewing contracts requires mobilizing common sense, and related skills can only be obtained in practice—the so-called “learning to swim by swimming.”

Let me give a practical example. A client requires completing the review of 10 Mutual Non-Disclosure Agreements (NDA) in a short time. The supervising lawyer is too busy to specifically guide the new associate lawyer on how to effectively complete the review. In other words, if the supervising lawyer had time to explain how to review, they might as well complete the review personally in about the same time. In the rush, the supervising lawyer guided the associate lawyer thus:

These 10 documents appear different but are actually the same type of documents in the same industry. Although 10 is not as many as 100, it is still enough to reflect what are standard clauses and standard expressions, and what are unorthodox clauses or non-mainstream wording. Viewing these 10 documents from this perspective, the associate lawyer actually has sufficient self-study materials to quickly become an “expert” on mutual NDAs. In other words, as a commonly used agreement, the basic logic and expression norms of Mutual NDA can emerge through 10 templates. The mutual NDA itself does not involve the buying or selling of specific products or service delivery, but rather governs how parties bear confidentiality obligations, so it does not require specific transaction backgrounds—the focus of review is on whether it is reciprocal, reasonable, and effective.

Such guidance gave the associate lawyer a grasp on an otherwise formless task. Rather than reviewing the 10 documents one by one in isolation, the associate lawyer discovers patterns and highlights models by comparing them with each other. With patterns in mind, the associate lawyer’s review no longer faces thousands of words piled up, but rather the clear structural relationships between clauses. Based on this, the associate lawyer can quickly form judgments and make annotations and suggestions.

In such a small practical project, the associate lawyer learned the core logic and standard expressions of NDAs, but this was not the most important gain. The gain that truly has long-lasting impact is that the associate lawyer has had a vivid experience of identifying patterns, mastering rules, and applying them to make judgments.

3. Artificial Intelligence: Inserting Itself Between Lawyers and Assistants

The associate lawyer mentioned earlier who could identify patterns, master routines, and self-study problem-solving based on 10 similar documents is because the associate lawyer is a highly educated and high-IQ professional. If it were a complete novice, could they also reach the same level through self-study training based on 100,000 similar documents?

Today’s fashionable Artificial Intelligence (AI), especially experts in the so-called neural network “Deep Learning” field, believe that there is no intelligent behavior that machines cannot learn, as long as there is a sufficiently large training database. If 100,000 is not enough, then 1,000,000.

AI technology is already changing all aspects of production and life. The legal industry is also feeling the benefits brought by AI. The quality of some machine-translated legal documents is astonishing, not to mention the speed and low cost.

The application of AI is not limited to translating legal documents.

On August 18 this year, Zhou Qiang, President of the Supreme People’s Court, mentioned at an international conference that China’s judicial system is “strengthening the integration of AI with trial and execution work… achieving automated handling of auxiliary affairs, intelligent case profiling, automatic evidence verification, precise push of legal provisions and similar cases, continuously improving judicial quality and efficiency.” Yang Yanchao, Director of the Science, Technology and Law Research Center at the Law Institute of the Chinese Academy of Social Sciences, said that his team [1] “conducted numerous experiments on a robot called ‘FILE,’ and ultimately it can write professional attorney briefs in the intellectual property field for lawyers.”

Peng Jiahao, Director of the Digital Governance Center at the Shanghai Artificial Intelligence Institute, envisioned [2]:

Taking GPT-3, OpenAI’s most advanced general language model, as an example, its parameter scale reaches an astonishing 175 billion, possessing powerful computing capability to complete complex tasks like translation, Q&A, and text generation—its generated news is indistinguishable from human works, even surpassing human levels. Whether we worry or not, AI will certainly produce results extremely close to those of judges in the future, transforming from an auxiliary tool to a partner working alongside judges.

A Lin Sister fell from the heavens—AI emerged between assistants and lawyers.

Is it a blessing or a curse? The cost-effective AI replacing some associate duties and eliminating manual review at the filing division is great; but AI grabbing the jobs of lawyers and judges? Hold on.

4. AI: The Associate Who Can Never Complete Apprenticeship

Like anything fashionable, AI systems are often “superficial and flighty despite showy appearances.” Ren Zhengfei said quite fairly and politely in a Face-to-Face interview on CCTV [3]: AI is just statistics!

The so-called “deep learning” is nothing more than adding multiple layers of neural network nodes between input and output ends, making the error correction mechanism between the system’s information input and output more detailed, thereby improving learning accuracy. The so-called “neural network” does not truly replicate or simulate human brain neural networks in any substantive sense—it merely makes a rough analogy based on the network form of the human brain’s nervous system. Many laypeople are “confused but awed” by these two mystical terms and dare not investigate deeply.

Compared to the deep-learning AI system that is “superficial and flighty despite showy appearances,” a lawyer’s self-study efficiency does not rely on repeated stimulation from massive amounts of similar data, because the essence of lawyer thinking is precisely discovering and applying new categories. Like poets, lawyers discover the different in what ordinary people see as the same, and discover the same in what ordinary people think is different. U.S. Supreme Court Justice Potter Stewart said, I cannot define “obscenity,” but I know it when I see it. Obviously, the justice does not need to see massive amounts of obscene works to form judgment. A poet said, “The night gives me black eyes, but I use them to seek light.” AI may mimic similar sentences based on statistical patterns of massive sample texts, but it is boring.

The tastelessness of AI writing poetry and the inadequacy of AI writing legal documents and judicial judgments both stem from today’s AI deep learning judging success or failure by results, completely ignoring that poetry and legal practice both have situations first, then results, and that right and wrong of results are always relative to specific situations, while situations depend on human intentions. AI has no and cannot have autonomous intentions—only assigned tasks. The data labels used to train deep-learning robots are set by humans. The labels themselves already embody human intentions.

What are situations and what are intentions?

When Shanghai was just liberated, Su Yu, as commander of the East China Field Army, and his wife Chu Qing were strolling down the street in a rare moment of leisure and encountered a café [4]. Su Yu said this place is nice. Chu Qing, born into a prestigious family, naturally knew the romantic and leisurely meaning of a café. Before she could happily pull Su Yu to walk in, Su Yu continued: the rooftop here can set up machine guns to封锁 (blockade) the entire area. The input physical scene was the same, but with different intentions, the situation was different, and the output reactions were completely different—no right or wrong, it just inadvertently became a historical anecdote.

A lawyer’s thinking is always rooted in specific situations, sensitive to the intentions of clients, counterparties, and relevant third parties, proactively shaping situations based on intentions, and discovering the most favorable ones as major premises among the various rules.

The remaining syllogistic reasoning is a simple task that associate lawyers or sufficiently powerful AI can execute.

Do you remember the IBM robot Watson, which made a splash a few years ago? It could win knowledge contests and defeat chess masters. But these so-called intellectual behaviors are worlds apart from lawyer thinking. Watson lacks common sense, cannot recognize and grasp situations, and can only do simple customer service Q&A within fixed parameter ranges.

Immature poets imitate, mature poets plagiarize. (This statement comes from T.S. Eliot; Steve Jobs made a similar statement in 1996: “good artists copy; great artists steal—and we have always been shameless about stealing great ideas.”)

The so-called plagiarism is borrowing. Why Eliot, Picasso, and Jobs were not ashamed of borrowing is because what was publicly borrowed was only form, but the situations to which they were grafted were vastly different, and the meanings conveyed were naturally different. Same form, different spirit—borrowing creates new meaning and thus constitutes creation.

Both associate lawyers and AI imitate. AI will only ever imitate, while associates, based on imitation, will try autonomous borrowing and grafting in new situations, making connections and thus becoming independent lawyers.

Notes:

[1] http://iolaw.cssn.cn/bwsf/202008/t20200805_5166326.shtml

[2] https://www.thepaper.cn/newsDetail_forward_18756992

[3] https://cloud.tencent.com/developer/article/1400717

[4] https://new.qq.com/rain/a/20200705A0CEYG00