美国量刑理论中的关注焦点理论

Sentencing Decision Making in the US:The Focal Concern Theory

关注焦点理论是美国刑事司法领域解释量刑差异的主流理论。该理论认为,法官和其他刑事司法系统的决策者在作出量刑决定时有三个关注焦点:罪犯的可谴责性、人身危险性,以及实践中的可操作性。由于法官在量刑时缺乏完整的信息,因此使用"感官速记"把对这三个焦点的关注转化为对性别、年龄、种族等表面信息的关注,导致"类案不同判"。对关注焦点的研究,在理论上有助于理解司法过程中量刑差异的产生原因,在实践中有助于解决量刑不规范的问题。通过介绍美国的关注焦点理论,以及这个理论框架下的实证研究和对关注焦点理论的评论,反思对我国量刑理论和实践的借鉴意义。

The focal concern theory is the predominant theoretical framework in the field of criminal justice for explaining sentencing disparities in the USA.According to focal concern theory,there are three focal concerns when judges and other criminal justice decision-makers determine sentences–blameworthiness,future dangerousness,and practical constraints.When the information is incomplete,judges use perceptual shorthand,which links the three concerns to the offenders’superficial characteristics such as gender,age,and race.That causes different sentencing outcome for different offenders.Research on focal concerns have clear theoretical implications.It furthers the understanding of the sources of sentencing disparities.It also has important policy implications by helping reduce the disparities.The current study introduces focal concern theory in the US,reviews empirical research under the focal concern framework and related comments and critiques,and finally,points out how it could be used as a reference for Chinese sentencing theories and practices.