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Models of Criminal Procedure System PDF

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Ruihua Chen MODELS OF CRIMINAL PROCEDURE SYSTEM Models of Criminal Procedure System Ruihua Chen Models of Criminal Procedure System RuihuaChen SchoolofLaw PekingUniversity Beijing,China Translatedby YongGao BeijingInternationalStudiesUniversity Beijing,China ISBN 978-981-19-3650-0 ISBN 978-981-19-3651-7 (eBook) https://doi.org/10.1007/978-981-19-3651-7 ©TheEditor(s)(ifapplicable)andTheAuthor(s),underexclusivelicensetoSpringerNature SingaporePteLtd.2022 Thisworkissubjecttocopyright.AllrightsaresolelyandexclusivelylicensedbythePublisher,whether thewholeorpartofthematerialisconcerned,specificallytherightsoftranslation,reprinting,reuse ofillustrations,recitation,broadcasting,reproductiononmicrofilmsorinanyotherphysicalway,and transmissionorinformationstorageandretrieval,electronicadaptation,computersoftware,orbysimilar ordissimilarmethodologynowknownorhereafterdeveloped. Theuseofgeneraldescriptivenames,registerednames,trademarks,servicemarks,etc.inthispublication doesnotimply,evenintheabsenceofaspecificstatement,thatsuchnamesareexemptfromtherelevant protectivelawsandregulationsandthereforefreeforgeneraluse. Thepublisher,theauthors,andtheeditorsaresafetoassumethattheadviceandinformationinthisbook arebelievedtobetrueandaccurateatthedateofpublication.Neitherthepublishernortheauthorsor theeditorsgiveawarranty,expressedorimplied,withrespecttothematerialcontainedhereinorforany errorsoromissionsthatmayhavebeenmade.Thepublisherremainsneutralwithregardtojurisdictional claimsinpublishedmapsandinstitutionalaffiliations. ThisSpringerimprintispublishedbytheregisteredcompanySpringerNatureSingaporePteLtd. The registered company address is: 152 Beach Road, #21-01/04 Gateway East, Singapore 189721, Singapore Preface There is nothing more to cherish in life than the experience of a “first time.” The Englishversionofmybook,titled“Modelsofcriminalproceduresystem,”willsoon bepublished.ThisisthefirsttimeIhavepublishedanacademicworkoverseas,and the publisher is the prestigious Springer. In the upcoming future, overseas readers can read this book to learn about the progress of China’s criminal justice reform andthetheoreticalexplorationsmadebyChinesecriminalprocedurescholarsandto formanewimpressionofChinesecriminalprocedure.Thishastremendousbenefits forcommunicatinglegalknowledgeandpromotingacademiclegalresearch. The book includes two parts, “Systems” and “Models.” It discusses the main problemsofChina’scriminalproceduresystem,outlinesthecriminaljusticereform in the past thirty years, and provides a theoretical summary and commentary on the models that have been developed in China’s criminal procedure system. The issues discussed in the book involve the formalization of court trials due to the systemoftransferringcasefiles,themalfunctionofcriminalprocedures,thearbitrary disposalofcase-relatedpropertybythejudiciary,thedilemmaofcriminaldefense, etc. With the gradual advancement of criminal justice reform, these issues have been brought to the attention of reform policymakers. They have been gradually addressedtosomeextentattheinstitutionallevel.Ascriminaljusticereformmoves forward, reform policymakers begin to focus on and address these issues. Since the1990s,ourcriminaljusticesystemhasundergonemanysignificantchanges:the “criminaltrialpatternreform”in1996,the“sentencingprocedurereform”in2000, the“criminalevidencelegislation”in2010,the“criminalreconciliationreform”in 2000,the“systemofleniencyforpleadingguiltyandacceptingpunishment”in2014, andthe“non-prosecutionreform”in2020;the“trialcentrismreform”in2014,and the“trialsubstantiationreform”atpresent.Suchlarge-scaleinstitutionalreformsare veryrareinthehistoryofChina’scontemporarylegalsystem. Thecontinuedadvancementofcriminaljusticereformhaspresentedresearchers with many significant topics that need to be studied. Faced with the endless insti- tutional difficulties and new problems brought about by one institutional reform after another, legal researchers should make theoretical responses, summarize the v vi Preface laws of institutional change, reveal the constraints behind the systems and prac- tices, and make their academic contributions. Since 2000, I have used the social science method and the research idea of “from theory experience” to explore the above system and reform issues. I have published dozens of academic papers and several academic books. To provide overseas readers with a comprehensive and objectiveunderstandingofChina’scriminaljusticereformandtofamiliarizethem with the theoretical work done by Chinese legal scholars, I have selected a dozen representativeacademicpapersandmadethemthecontentofthisbook. Inthe“Systems”part,thebooksummarizestheexperienceofChina’strialmodel reformandsentencingprocedurereform,analyzesthethreeformsofcriminaltrials, anddiscussesthebasicissuesin“convictiontrial,”“sentencingtrial,”and“procedural trial”.Ananalysisoftheevolutionanddevelopmentofthecasefiletransfersystem reveals the impact of the case file transcripts on the “formalization of the trial” phenomenon. By discussing five aspects, the current situation of the problem of criminal procedure failure is analyzed, and the main causes of this phenomenon arerevealed. The study on thedisposal of case-related property by judicial organs summarizestheexperienceofChina’sreformofthecase-relatedpropertyrecovery system.Itputsforwardthetheoryandreformideaofthe“actioninrem”.Areviewof theevolutionofthecriminaldefensesystemoverthepastfortyyearsdemonstrates the main problems of criminal defense. It presents the main issues for the future developmentofthissystem. In the “Models” part, the book provides a typological and theoretical overview ofthecriminalproceduresystem.Byanalyzingthesystemofleniencyforpleading guiltyandacceptingpunishment,criminalreconciliation,andcompliance-basednon- prosecution,itproposesthetheoriesofthe“publiccooperationmodel,”“privatecoop- erationmodel,”and“complianceincentivemodel.”Bydiscussingthecurrentstatus and reform trends of the civil incidental action system, it summarizes the system intothreeinstitutionalmodels:“civilactionpriorityovercriminalaction,”“criminal actionpriorityovercivilaction,”and“separationofcriminalandcivilactions”and predictsthefuturemodelchoiceofthissystem.WiththeprogressofChina’scrim- inalevidencelegislationsince2010,theexclusionaryrulehasbeenestablishedand hasundergonecontinuouschanges.Thisbooksummarizesthissystemas“manda- toryexclusionaryrule,”“discretionaryexclusionaryrule,”and“curableexclusionary rule.” It provides a theoretical review of the formation, characteristics, and future directionofthesethreerulemodels. The translator of this book, Dr. Gao Yong, is an expert in litigation law who graduatedfromPekingUniversityLawSchoolandiscurrentlyanassociateprofessor atBeijingInternationalStudiesUniversity.IttookthreeyearsforMs.Gaototranslate thebook.Iwanttoexpressmygratitudeforherdedicationtoacademictranslation andthetremendousworkshehasputin. Sincethelate1970s,China’slegalframeworkandjudicialsystemhaveundergone tremendousandprofoundchangesalongwiththecontinuousreformandopening-up andrapideconomicdevelopment.Todate,thischangeisstillinacontinuousprocess. Amidthisrare“greatchange,”Chineselegalresearchersshouldusesocialscience Preface vii researchmethodstoobserve“empiricalfacts,”discovertheconstraintsbehindinsti- tutions,practices,andchanges,revealproblems,andproposeandarguetheories.As apersonalwitnessandresearcherofChina’slegalreform,Iwillcontinuetofollow theabove-mentionedacademicprinciplesandmakemytheoreticalcontributions. Beijing,China RuihuaChen April2022 Contents PartI Systems 1 ThreeFormsofCriminalTrials ................................ 3 1.1 DiversificationofCriminalTrials ........................... 3 1.2 ConvictionTrial .......................................... 5 1.2.1 NatureofConvictionTrial ......................... 6 1.2.2 ReformofConvictionTrial ......................... 7 1.2.3 LitigationStructureofConvictionTrial .............. 9 1.3 SentencingTrial .......................................... 11 1.3.1 NatureofSentencingTrial ......................... 11 1.3.2 SentencingTrialinOrdinaryProcedure .............. 12 1.3.3 SentencingTrialinSummaryProcedure ............. 13 1.4 ProceduralTrial .......................................... 14 1.4.1 NatureofProceduralTrial ......................... 14 1.4.2 ProcedureofExclusionaryRule ..................... 16 1.4.3 ProceduralTrialinPretrialMeeting ................. 17 1.5 ImpactsofThreeFormsofCriminalTrials ................... 18 1.5.1 ConvictionProsecution,SentencingProsecution andProceduralProsecution ........................ 19 1.5.2 Innocence Defense, Sentencing Defense andProceduralDefense ............................ 20 1.5.3 ThreeObjectsofProof ............................ 21 1.5.4 ThreeIdentitiesofInvestigators ..................... 23 2 EvolutionandReflectionofFileTransferSystem ................. 25 2.1 EvolutionofFileTransferSystem .......................... 25 2.2 PretrialFileTransferSystemin1979 ........................ 28 2.3 TrialModelReformin1996 ............................... 30 2.4 Post-TrialFileTransferSystem ............................. 31 2.5 ReinstationofPretrialFileTransferSystem .................. 34 2.6 SeveralDeep-SeatedFactors ............................... 36 ix x Contents 2.6.1 JudicialTraditionofJudgesLeadingEvidence InvestigationinCourt ............................. 37 2.6.2 TrialModelCenteredonCaseFiles ................. 37 2.6.3 MakingVerdictsOutsideofCourt ................... 38 2.6.4 ReviewSystemBasedonFiles ...................... 39 2.7 Conclusion .............................................. 40 3 CaseFileCentrism ............................................ 43 3.1 Introduction ............................................. 43 3.2 CourtInvestigationCenteredonCaseFiles ................... 44 3.2.1 TheWaystheProsecutorsLeadCourtInvestigation .... 44 3.2.2 ModelsofReadingOuttheCaseFiles ............... 45 3.2.3 Court Investigation: Tripartite Game ofAsymmetricInformation ........................ 47 3.3 AdmissibilityofTranscripts ............................... 48 3.4 CredibilityofCaseFile ................................... 50 3.5 SpaceforCriminalEvidenceLaw .......................... 54 3.6 Ritualization, Theater Effect and Functions of Court Hearing ................................................. 55 3.7 ReformofCourtTrialSystem .............................. 59 4 AStudyonCriminalProcedureMalfunctions .................... 61 4.1 Introduction ............................................. 61 4.2 ImplementationMechanismofCriminalProcedureLaw ....... 63 4.3 CostsofLegalProceedings ................................ 66 4.4 LossesDuetoFollowingProcedures ........................ 70 4.5 TwoLegalTraditions ..................................... 75 4.6 GuaranteeofLegalProceduresbyJudicialSystem ............ 78 4.7 Conclusion .............................................. 82 5 CriminalActioninRem ....................................... 85 5.1 Introduction ............................................. 85 5.2 NatureofCriminalActioninRem .......................... 88 5.2.1 ProcuratoratesInitiatetheAction ................... 88 5.2.2 The Object of Action in Rem is the Claim forConfiscatingIllegalProperty .................... 89 5.2.3 ActioninRemHasaUniqueLitigationStructure ...... 90 5.2.4 Application of Mechanism of Proof in Civil ProceduretoActioninRem ........................ 90 5.3 ActioninRemwithDefendantsPresent ..................... 91 5.3.1 RestrictiononJudicialDiscretion ................... 91 5.3.2 MaintenanceofProceduralJustice .................. 92 5.3.3 RealizationofTrialCentrism. ...................... 93 5.3.4 RestorationofJudicialCredibility ................... 94 5.4 TwoModelsofActioninRem ............................. 95 5.4.1 IndependentActioninRem ........................ 95 Contents xi 5.4.2 IncidentalActioninRem .......................... 97 5.5 Victims’ParticipationinActioninRem ..................... 97 5.6 LitigationStatusofInterestedParties ........................ 100 5.7 ProceduralGuaranteeofActioninRem ..................... 101 5.8 Conclusion .............................................. 103 6 Retrospect and Prospect of Criminal Defense System inthePastFortyYears ......................................... 105 6.1 ABriefReview ofDevelopment ofCriminalDefense System ................................................. 105 6.2 Lawyers’Role:From“StateLawPractitioners”to“Legal Agents” ................................................. 108 6.3 Lawyers’Participation:From“CourtDefense”to“Whole ProcessDefense” ......................................... 113 6.4 DefenseSubjects:From“TheRighttoDefend”to“The RighttoGetHelpfromLawyers” ........................... 117 6.5 Defense Effect: From “Obtaining Lawyers’ Help” to“ObtainingEffectiveDefense” ........................... 121 6.6 ProtectionoftheRighttoDefense:“JudicialRemedy” and“LegalRiskPreventionandControl” .................... 125 6.7 Conclusion .............................................. 129 PartII Models 7 NegotiatedProceduralJustice .................................. 133 7.1 Introduction ............................................. 133 7.2 LimitationsofTraditionalProceduralJusticeTheory .......... 136 7.2.1 DoesItApplytoNon-ConfrontationalProcedures? .... 138 7.2.2 IstheOut-CourtProcedureJustified? ................ 138 7.2.3 AreThereObjectiveStandardsfortheFairness ofResults? ....................................... 139 7.2.4 DothePartiesnotCareAbouttheResult? ............ 140 7.3 TheRiseofNegotiatedJusticeandItsDisputes ............... 141 7.3.1 SentencingNegotiationProcedure ................... 141 7.3.2 CriminalReconciliationProcedure .................. 142 7.3.3 DisputesOverNegotiatedJusticeProcedures ......... 143 7.4 TheTheoryofNegotiatedProceduralJustice ................. 145 7.4.1 BasicConcepts ................................... 145 7.4.2 BasicElements ................................... 147 7.5 FoundationofNegotiatedProceduralJustice ................. 151 7.5.1 LitigationSubjectTheory .......................... 152 7.5.2 RationalChoiceTheory ........................... 153 7.5.3 UtilitarianismPhilosophy .......................... 154 7.6 ExtendedApplicationofNegotiatedProceduralJustice ........ 155 7.7 Conclusion .............................................. 157

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