Criminal Procedural Agreements in China and England and Wales and England in China Agreements Procedural Criminal Criminal Procedural Agreements in China and England and Wales Wei Pei Wei Pei Wei +#'#(&+).+& !+'(-, #( "#(((!&((&, -+ *+),+"-&#$%)/+(%)',-( #( "#(((!&((&, +) ,"+# --+/+%+#$!#(!/(!+/()-)+( +,'.,(#/+,#-#-)--+')*!1!/( +-)+'!(# #., +) + )&, (/)&!(,,&.#-/("- )&&!/))++)')-#, )*(+/+#!#(!1&*&-,/#(()* /+#$! $.(#)'..+ ))+ ## !)+(-"(0# "#( +)')-)+( +) '+ &#"+)- +) +# /+#!&( +) '+)&+ +) '++ +#$(, +) )!,)( " To my parents, Pei Chengfa and Li Jialin Table of Contents Acknowledgments ................................................................................................................................... 1 List of Abbreviations .............................................................................................................................. 3 List of Main Cases .................................................................................................................................. 5 List of Laws and Official Documents .................................................................................................... 9 CHAPTER I INTRODUCTION ........................................................................................................ 11 1. Development of Agreements in Criminal Procedure ............................................................... 11 2. Research Subject ......................................................................................................................... 14 3. Research Questions ..................................................................................................................... 16 4. Research Methods ....................................................................................................................... 17 5. Structure of the Thesis ................................................................................................................ 19 CHAPTER II CONCEPTUALIZING CPAS: MODEL, ELEMENTS, AND NATURE ............. 21 1. Introduction ................................................................................................................................. 21 2. The Pure Model and Its Variants .............................................................................................. 21 2.1 Basic Elements of An Agreement ......................................................................................... 22 2.2 Context in Which CPAs Take Place ..................................................................................... 22 2.3 Additional Elements by Referring to ‘Contract’ ................................................................... 23 2.4 Pure Model and Its Variants .................................................................................................. 24 3. Categorization: From the Offender’s Perspective ................................................................... 25 3.1 Plea Agreement ..................................................................................................................... 26 3.2 Assistance Agreement ........................................................................................................... 29 3.3 Restoration Agreement .......................................................................................................... 31 4. Fundamental Parties and Other Stakeholders ......................................................................... 32 4.1 Fundamental Parties: Offender and Criminal Justice Authorities ......................................... 32 4.1.1 Offenders ........................................................................................................................... 32 4.1.2 Police ................................................................................................................................. 33 4.1.3 Public Prosecutors ............................................................................................................. 33 4.1.4 Judges ................................................................................................................................ 34 4.2 Other Stakeholders ................................................................................................................ 36 4.2.1 Victims .............................................................................................................................. 36 4.2.2 The Accused Person Targeted in Assistance Agreement .................................................. 38 5. Goals for CPAs ............................................................................................................................ 38 5.1 Goal for Plea Agreement ....................................................................................................... 38 5.2 Goal for Assistance Agreement ............................................................................................. 39 5.3 Goal for Restoration Agreement ........................................................................................... 39 5.4 Common Ideology behind Goals ........................................................................................... 40 6. Nature of CPAs: Possibility, Necessity and Feasibility ............................................................ 40 6.1 Possibility: Bargaining Power of Parties ............................................................................... 41 6.1.1 State’s Bargaining Power .................................................................................................. 41 6.1.2 Offender’s Bargaining Power ............................................................................................ 43 6.2 Necessity: The Demands of Parties ....................................................................................... 44 6.2.1 Offender’s Demands ......................................................................................................... 44 6.2.2 State’s Demands ................................................................................................................ 45 6.3 Feasibility of Coordinating CPAs with Ordinary Procedures ............................................... 47 6.3.1 Characteristics of CPAs in the Criminal Justice Scenario ................................................ 47 6.3.2 Feasibility of Coordination ................................................................................................ 48 7. Conclusions .................................................................................................................................. 49 CHAPTER III CRIMINAL PROCEDURAL AGREEMENTS IN CHINA ................................. 51 1. Introduction ................................................................................................................................. 51 2. Plea Agreement ........................................................................................................................... 51 2.1 Historical Review on Plea Agreement in China: from Subsidiary to Independent ............... 53 2.2.1 Before 21st Century: In Practice but Out-of-Law ............................................................. 53 2.2.2 Beginning of the 21st Century: The Boomlet of Plea Bargaining ..................................... 54 2.2.3 After 2003: Enhanced Facilitation for Plea Agreement .................................................... 56 2.2 Current Legal Regime of Plea Agreement ............................................................................ 57 2.2.1 Categorization ................................................................................................................... 57 2.2.2 Proceedings ....................................................................................................................... 58 2.2.3 Legal Concessions ............................................................................................................. 59 2.3 Motivations for Plea Agreement ........................................................................................... 60 2.3.1 Enhancing Efficiency ........................................................................................................ 60 2.3.2 Indication of Improving Respect for Individual Rights .................................................... 62 2.3.3 Uphold the Principle of Legality ....................................................................................... 63 2.4 Potential Risks ....................................................................................................................... 64 2.4.1 Tension with Seeking Truth .............................................................................................. 64 2.4.2 Tension with Inquisitorial Tradition ................................................................................. 65 2.4.3 Tension with Supporting Mechanisms .............................................................................. 66 2.5 Chinese Version of Plea Agreement: Nature and Future ...................................................... 68 2.6 Summary ............................................................................................................................... 70 3. Assistance Agreement ................................................................................................................. 70 3.1 Historical Review on Assistance Agreement: