论实质真实——以德国刑事诉讼为背景的考察  

On Materielle Wahrheit——A Study in the Context of German Criminal Proceedings

作　　者：施鹏鹏 Shi Pengpeng

机构地区：[1]中国政法大学证据科学研究院

出　　处：《江苏社会科学》2020年第1期126-135,I0004,共11页Jiangsu Social Sciences

基　　金：施鹏鹏所主持的国家社会科学基金一般项目“人民陪审员制度的实质化改革研究”（17BFX046）的阶段性成果

摘　　要：德国刑事诉讼的主导原则是实质真实,这也是职权主义国家区别于当事人主义国家的核心特质。实质真实的传统从中世纪起便在德国生根发芽,经历了传统职权主义、拿破仑法典所构建的新职权主义、1877年《德意志帝国刑事诉讼法典》的半职权主义以及二战后的现代职权主义。在制度层面,德国实质真实的诉讼观主要体现为法院依职权查明真相的原则,"法院在作出判决前有义务依职权主动查明真相",且"不受诉讼当事人申请或主张的约束"。但职权查明义务并非指法院完全越俎代庖,法典和判例对法院职权查明的范围及取证要求进行了设定。随着刑事协商程序正式进入德国刑事诉讼法典,"合意真实"对实质真实造成了一定的冲击。德国的实质真实理论有助于我们重新思考中国当下对职权主义、实质真实、被告人基本权利保障以及认罪认罚从宽制度的一些认识。The dominant principle of German criminal proceedings is Prinzip der materiellen Wahrheit,which is also the core difference between the States that implement the inquisitorial system and that im-plement the adversarial system. Since the Middle Ages, the tradition of materielle Wahrheit has takenroot in Germany, and experienced the following stages:the traditional inquisitorial system, the new in-quisitorial system constructed by the Code Napoleon, the half-inquisitorial system under the frameworkof Reichsstrafprozessordnung 1877 and the modern inquisitorial system after World War II. On the lev-el of institution, the German concept of materielle Wahrheit is mainly reflected in the Amtsaufkl?rungsgrundsatz that requires"the court to be obliged to find out the truth ex officio before making a judg-ment"and"not to be subject to the application or claim of the litigant". However, the Amt-saufkl?rungspflicht does not mean that the court completely replaces other subjects to collect evidence.Codex and precedents prescribe the scope of the court’s powers and the requirements for evidence col-lection. With the formal introduction of the criminal negotiation procedure into the German Code ofCriminal Procedure,"konsensuale Wahrheit"has had a certain impact on the materielle Wahrheit. TheGerman theory of materielle Wahrheit helps us to rethink about China’s current judgments on inquisito-rialism, materielle Wahrheit, the protection of defendant’s basic rights, and the system of leniencybased on admission of guilty and acceptance of punishment.

关 键 词：实质真实 职权主义 当事人主义 法官职权查明义务 刑事协商 

分 类 号：D951.6[政治法律—法学] DD915.3