理性选择:认罪认罚自愿性的内涵新解  

Rational Choice:a New Understanding of the Connotation of Voluntary Pleading Guilty and Accepting Punishment

作　　者：王浩宇 WANG Haoyu

机构地区：[1]中山大学法学院

出　　处：《中国政法大学学报》2025年第1期140-157,共18页Journal Of CUPL

基　　金：国家社会科学基金重大项目“把社会主义核心价值观融入刑事诉讼法治建设研究”(项目批准号:17VHJ004)的阶段性成果。

摘　　要：自愿标准模糊不清,根源在于“自愿”的价值事实性质。自愿性审查依赖于价值判断主体的主观因素,受制于作出价值判断的时代背景以及政策环境。由于自愿性蕴含着价值判断,因此在自愿标准上不存在客观的唯一正确的答案。退而求其次的办法是,寻求一个“最有效”而非“最正确”的自愿标准。既有的自愿标准均存在有效性上的不足。理性选择标准与认罪认罚从宽制度的激励逻辑具有契合性。引入理性选择标准能够使自愿性认定更加有的放矢,避免沦为空泛的价值讨论。在自愿性审查过程中,理性选择标准实际上起到中介作用,它并不直接取代司法审查者的价值判断,而是借助行为经济学及认知科学等实证知识,提示可能导致非理性认罪认罚的结构性缺陷,从而发挥自愿标准在规范公权力行为,保障被告人自由选择之权利以及防范无辜者认罪上的应然功能。The ambiguity of voluntariness standards stems from the nature of their value facts.Voluntariness review depends on the subjective factors of value-judging entity,and is subject to its historical background,public policy and even political requirements.Since voluntariness implies value judgments,there is no objective single correct answer to the voluntariness standard.As a compromise,the focus shifts to seeking a voluntariness standard that is“most effective”rather than“most correct”.The existing voluntariness standards are not effective enough.The rational choice criterion is consistent with the incentive logic of the lenient punishment system.It can make voluntariness identification more targeted and avoid being reduced to an abstract value or moral discussion.In the process of voluntariness review,the rational choice criterion actually serves as an intermediary.It does not directly replace the value judgment of the judicial reviewer.Instead,it uses empirical knowledge such as behavioral economics and cognitive science to suggest the structural defects that may lead to irrational pleading guilty and accepting punishment.Thus the voluntary standard plays an important role in regulating public power behaviour,protecting the defendant’s right to free choices and preventing innocent people from pleading guilty.Starting from the criterion of rational choice,perfecting the sentencing system,enhancing the transparency of the negotiation mechanism,and strengthening the effective help of lawyers to reduce the uncertainty of the criminal procedure should be the direction of improving the system to ensure the voluntariness of pleading guilty and accepting punishment.

关 键 词：理性选择 真理的效用论 行为经济学 价值事实 

分 类 号：D925.2[政治法律—诉讼法学]