控辩协商中被追诉人预期利益保障的本土化省思——中美比较视域下的考察  

Indigenized Reflection on the Expected Interest Protection of the Accused in Prosecution and Defense Negotiation--A Comparative Study between China and the United States

作　　者：严嘉琪 YAN Jia-qi(School of Guanghua Law,Zhejiang University,Hangzhou 310008,China)

机构地区：[1]浙江大学光华法学院,浙江杭州310008

出　　处：《政法学刊》2024年第4期56-69,共14页Journal of Political Science and Law

基　　金：2018年国家社科基金重大项目“深化司法体制改革和现代科技应用相结合的难点与路径研究”(18ZDA137)。

摘　　要：对于美国辩诉交易中被追诉人预期利益保障机制而言,联邦为被追诉人设置了撤回认罪答辩、排除不利证据等相关规定,而部分州则创设出“法官信息提供模式”和“司法调和模式”等司法参与协商的保障体系。在制度构思上,美国法官在多数情形中仅充当着形式上确认辩诉协议和量刑建议的角色。在我国的控辩协商过程中,审判方的最终裁决权并未因协商性司法理念的引入向控方移转,实践中法官对控辩合意的调整可能影响被追诉人对量刑的预期。基于比较法视域下的法文化思考,此类现象揭示出以妥协为核心的协商性司法这一子系统与以追求国家本位、实质真实的刑事诉讼母系统之间的张力。控辩协商在我国的制度语境下不宜单纯定位为纠纷解决的手段,可以作为尽快探知事实真相的辅助方式。相应地,我国可在宏观考量上为检法沟通赋予适当的空间,并通过法官依申请介入协商、对司法参与进行录音录像以及设置量刑咨询法官等举措规避司法参与协商的潜在隐患。In the context of plea bargaining in the United States,the federal system provides mechanisms for the protection of the expected interests of the accused,including provisions such as withdrawing guilty pleas and excluding adverse evidence.Additionally,some states have established judicial protection systems,such as the“judge-provided information model”and the“judicial conciliation model”,to ensure judicial participation in negotiations.In terms of institutional design,American judges in most cases only serve as a superficial confirmation of plea agreements and sentencing recommendations.However,in the process of prosecution and defense negotiation in China,the final adjudication right of the trial party has not been transferred to the prosecution due to the introduction of consultative judicial concept.In practice,the judge's adjustment of the prosecution and defense has affected the expectation of sentencing.Based on the legal culture from the perspective of comparative law,this phenomenon reveals the tension between the subsystem of consultative justice with compromise as the core and the criminal litigation parent system with state standard and reality.In the institutional context of China,the prosecution and defense consultation should not be simply positioned as a means of dispute settlement,but should be used as an auxiliary way to explore the truth as soon as possible.Accordingly,China could provide adequate space for prosecutorial communication at a macro level and mitigate potential risks associated with judicial participation in negotiations by allowing judges to intervene upon request,recording judicial participation and appointing sentencing advisory judges.

关 键 词：控辩协商 辩诉交易 预期利益保障 司法参与 法文化 

分 类 号：D925.2[政治法律—诉讼法学]