美国辩诉交易中的控辩协商——以“审判阴影模型”为视角的思考  

Negotiation between Prosecution and Defense of Plea-Bargaining in U.S.from Perspective of Model of Trial Shadow

作　　者：王喆[1] WANG Zhe(School of Law,Jilin University of Finance and Economics,Changchun 130117,China)

机构地区：[1]吉林财经大学法学院,吉林长春130117

出　　处：《兰州大学学报（社会科学版）》2019年第2期43-53,共11页Journal of Lanzhou University（Social Sciences）

基　　金：中国国家留学基金项目;国家社科基金重大项目"中国特色刑事证据理论体系研究"(18ZDA139)

摘　　要：传统观点认为,辩诉交易是"审判阴影模型"下的一种讨价还价,辩诉协议在很大程度上反映了本来就会在庭审中出现的实质性结果。在以美国辩诉交易中的控辩协商为对象加以研究后,我们发现除"审判阴影"外,还有不确定性、成本的压力、被告人的风险与利益偏好等因素影响了这一决策过程。为了保障案件的实体公正,美国刑事司法发展出一系列制度,旨在保障控辩协商在"审判阴影模型"下进行,这些制度对于我国认罪认罚案件中控辩协商程序的构建具有重要的借鉴意义。The traditional view holds that plea-bargaining is a kind of bargaining under the“model of trial shadow”and the plea agreement reflects the substantive results to be produced in the trial to a large extent.The study on negotiation system of prosecution and defense of plea-bargaining in the U.S.shows that in addition to the“trial shadow”,several other factors such as uncertainty,pressure of the cost,risk and interest preference of the defendant affect the decision-making process.To ensure substantive justice of the case,the U.S.criminal justice system has developed a series of systems to ensure that the negotiation of prosecution and defense is implemented under the“model of trial shadow”.These systems are of great significance for the construction of the negotiation procedure between prosecution and defense in China.

关 键 词：美国 “审判阴影模型” 控辩协商 有效辩护 事实审查 量刑指南 

分 类 号：D916.5[政治法律—法学]