非正式制度如何转向正式制度——由职权主义认罪协商的变革经验展开

How Informal Institutions Shift to Formal Institutions ——Unfolding from the Transformative Experience of Ex Officio Plea Negotiation

非正式制度与正式制度之间的互动关系构成了职权主义认罪协商变革的基本特征。由于非正式制度对司法实践形成了一种持续的引导作用,相对于正式制度表现出自发性、延续性与非普遍性的特点,将会影响甚至阻碍制度变革的进程,并导致决定变革成效的因素更为复杂、多元。职权主义的构造与传统是阻碍认罪协商变革的深层原因。职权主义国家欠缺判例创制的传统,失去了一种缓冲风险与凝聚改革共识的手段;科层型权力构造则要求层级治理而强调“自上而下”的控制,制度变革难以自行完成,而更加依赖于改革者的行动逻辑,无形中弱化了改革的法治逻辑与法律要求。实现刑事司法制度的改革创新,从非正式制度转向正式制度不失为一条现实可行的变革路径,但应当注重变革基础以及与非正式制度相联系的意识认同,确保制度正式化的合理性与可持续性,实现“地方性知识”与“中央控制”的共存、互补,并正视利益相关者的参与及诉求。

The interaction between the informal system and the formal system constitutes a fundamental feature of plea-bargaining reform in inquisitorial system.Since the informal system has formed a continuous guiding role in judicial practice,which shows the characteristics of spontaneity,continuity and non-universality compared with the formal system,will affect,or even hinder the process of institutional change and lead to more complex and pluralistic factors determining the effectiveness of change.The structure and tradition of the inquisitorial system are the deep-seated reasons that hinder the change of plea-bargaining reform.Inquisitorial countries lack precedent creation that makes it difficult to respond to reform controversies through individual cases and loses a means of buffering risks and building consensus on reform.What’s more,the bureaucratic power structure requires hierarchical governance and emphasizes“top-down”control,and institutional change is difficult to complete by itself,relying more on the logic of reformers’actions,but virtually weakening the rule of law logic and legal requirements of reform.Realizing the reform and innovation of the criminal justice system,shifting from the informal system to the formal system would be a realistic and feasible path.And it should pay attention to the basis of change and the awareness and recognition associated with the informal system,realize the coexistence and complementarity of“local knowledge”and“central control”,and face up to the participation and reasonable demands of stakeholders so as to ensure the rationality and sustainability of the formalization of the system.