确立中国式的辩诉交易制度

【作者】 杜薇；

【导师】 余经林；

【作者基本信息】 安徽大学 ， 法律， 2003， 硕士

【摘要】 法律按其真正的含义而言与其说是限制还不如说是指导一个自由而有智慧的人去追求他的正当利益。 刑事司法追求的是最大限度的控制犯罪和保护人权，公正和效率成为现代刑事诉讼中不可缺少的两个价值目标。公正是刑事诉讼的恒久主题，各国均设计相应的科学程序以保证该价值目标的实现，但是刑事案件的不断攀生与司法资源有限之间的矛盾成为刑事诉讼中需要迫切解决的问题，如何协调公正和效率之间的冲突可以说是世界性的难题。面对这一难题，各国大都采用繁简分流的方法，适当简化某些案件的程序，以有限的司法资源处理尽可能多的刑事案件，通过这一方法来保证公正与效率价值目标的同时实现。 辩诉交易制度是源于美国的具有一定普遍性和实效性的刑事诉讼法律实践。它在一定程度上满足了提高效率和减轻控方负担的需要，被许多国家采用，我国的司法实践中也有体现，只不过其制度化要素不足。由于我国法律文化传统与西方国家不同，法治环境有着自己特色而且新中国刑事诉讼法制建设也只有短短的几十年时间，与其他国家完备的诉讼法制相比较，我国刑事诉讼中许多规定显得过于抽象和原则，制度的构造上也有不合理、不完善之处。这不仅使得辩诉交易制度在我国司法实践中操作困难，也与建设社会主义法制国家目标，与我国司法改革步伐不相适应。因此建立并完善具有中国特色、适应我国法律文化传统的辩诉交易制度尤为必要。 鉴于上述情况，本文以“确立中国式的辩诉交易制度”为题，期望通过对辩诉交易制度理论与实践的系统探讨，明确其价值目标，并在结合我国刑事诉讼司法实践，充分借鉴外国辩诉交易制度立法经验基础上，能够对建立和完善我国的辩诉交易制度贡献微薄之力。 全文共分四个部分： 第一部分内容是辩诉交易制度的法律分析。本部分在对辩诉交易基本涵义进行法律分析、法律界定的基础上，总结了辩诉交易的特征，辩诉交易中参与的主体范围以及在交易中发挥的作用。关于法官和被害人是否能够成为辩诉交易的主体的争论，本文提出自己的观点，提出我国如果确立辩诉交易制度时应明确当事人的范围。文中同时介绍了美国辩诉交易制度产生的历史背景，该制度发展的曲折过程，辩诉交易的分类及效力，以及在美国一项有效的辩诉协议应该具备的条件及检察官所受到的制约等。最后，本文介绍了国外某些国家关于辩诉交易制度的立法例，希望通过对他们国家该制度的考察，对建立中国式的辩诉交易制度提供帮助。 第二部分内容论述了辩诉交易制度体现的司法价值取向以及在我国存在的现实基础。理论界历来对我国能否确立辩诉交易制度争议较大，针对目前关于能否确立该制度正反两方面的意见，本部分从五个方面来分析辩诉交易制度的价值基础，指出其中值得我们借鉴之处。笔者着重指出的是实行辩 内容摘要．2．诉交易制度虽然是提高效率的重大举措，仍然体现了公正优先的诉讼理念。我国刑事诉讼立法上没有规定辩诉交易制度，但是通过对刑事诉讼实践，尤其是侦查和检控制度进行考察，我国长期以来存在着类似辩诉交易制度的做法，拥有实现该交易的法律程序，文中指出有些法律程序的设计不能体现应有的价值。本部分最后探讨了我国法律实践中存在类似辩诉交易的做法与美国辩诉交易制度的区别。 第三部分内容是辩诉交易制度在我国确立的利弊分析以及现阶段确立辩诉交易制度的障碍。我国的司法环境现状是否适合建立辩诉交易制度，我国是否应该全盘吸收西方国家的做法；在“本土化”和“拿来主义”之间究竟应该如何选择？本部分从四个方面论述了我国确立辩诉交易制度的必要性，认为在现阶段我国应该根据具体国情确立辩诉交易制度，任何超越国情的制度设计会破坏我国刑事诉讼程序的完整性，有损司法资源，会牺牲社会正义。最后指出辩诉交易制度在中国确立的障碍。 第四部分内容是现阶段我国有条件的实行辩诉交易制度的程序设计及检察官在辩诉交易中应该发挥的地位和作用。提出要使辩诉交易制度“本土化”，必须在制度设计中考虑中国的现状，最大限度的避免负面影响。如建立有罪答辩制度，明确辩诉交易制度在我国适用的范围，确定交易中减少指控的幅度，完善刑事证据展示制度，建立不正当交易的救济制度等。本文分析了辩诉交易中检察官应该具有的地位和作用，提出检察官应该享有求刑权。最后，论述了确立中国式的辩诉交易制度的立法思考，以及必须要加强的制度建设等。更多还原

【Abstract】 The true meaning of laws is to guide free and wise people to seek and enjoy their legal rights, instead of to impose restrictions and regulations on them.Effective crime control and full protection of human rights are what criminal justice administrations pursue, and in modern criminal suits, justice and efficiency have become the essential and indispensable goals of values. Being the eternal theme of criminal procedures, justice is being realized and reinforced by different countries through making suitable and scientific processes. However, the contradiction between the continuous rising of criminal cases and the relative inadequacy of judicial resources is becoming undoubtedly one of the urgent problems to be solved in today’s penal actions. It is safe to say that how to effectively coordinate the conflicts between justice and efficiency is a pending issue for the law enforcement sectors world widely. Facing this question, many countries adopt the streaming approach - to divide the cases into different groups according to their complexity, to simplify the processes of certain complicated cases, and with limited judicial resources, to close as many criminal cases as possible, and ultimately, to ensure that both justice and efficiency - the two goals of values - to be realized and achieved at the same time.Plea bargain, originated from USA, is a judicial practice with certain universality and practicability in criminal suits. To a large extent, the plea bargaining system has satisfied the urgent demands to improve the efficiency of criminal procedures, as well as to lighten the burdens on the prosecutors and judges. Therefore, it has been adopted by many countries, and even has been embodied in the judicial practices in China, even though it is not systematized. It is generally known that the legal environment in China processes its own characteristics due to the cultural and traditional differences between the Chinese and western legal systems, and the construction of the criminal justice administration system was started only dozens of years ago, therefore, compared to the complete judicial systems in some western countries, the Chinese system has some improper and imperfect parts in its structure, and some regulations seem too abstract and principled. These drawbacks not onlyhave caused difficulty to implement and to apply plea bargaining system in the legal practices in China, but also do not meet the requirements that are set by the goal to establish a modern socialist country with adequate and complete legal systems, as well as by the demand to accelerate reforms in the legal sectors. Therefore, it is vitally essential and important for China to set up and to perfect a plea bargaining system that has its own characteristics, and adapts to the country’s cultural and legal traditions.The objective of this dissertation, whose title is "Establishing a plea bargaining system in China with Chinese characteristics", is to study and investigate the theoretical and practical background of plea bargaining systems, to define and clarify the goals of values, and with the judicial practices in China as base and foreign experience in plea bargaining systems as references, to support and contribute theoretically the proposal for establishing a plea bargaining system in China.The dissertation consists of four chapters and is organized in the following order.Chapter 1 is the introduction and legal analysis of the plea bargaining system. Based on the legal definition and analysis, this part summarizes the characteristics of plea bargains, introduces the main participants in a plea bargaining negotiations, and explains their respective legal roles and functions. Regarding the issue of whether judges or victims should be the subject body in plea bargains, this chapter suggests that the legal functions of all parties in plea bargains should be clarified if the plea bargain system is built in China. In addition, some facts about the plea bargaining system in America are introduced here, such as its histori更多还原