Evolution & Global Impact of Presumption of Innocence: A Historical Study, Thesis of Criminal Law

An historical analysis of the presumption of innocence, its evolution in both common and civil law systems, and its impact on international law. The origins of the presumption, its legal effects, and the debates surrounding its interpretation and application. It also discusses the role of international human rights conventions and courts in shaping the presumption's meaning and scope.

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2012/2013

Uploaded on 04/02/2013

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国际法与比较法论坛 文章编号1001 2397201004 0130 08
收稿日期
基金项目司法部
国家法治与法学理论研究
一般项目
查阶段犯罪嫌疑人的权利保障与立法变革07SFB2026
作者简介孙长1964
安徽寿县人
西南政法大学诉讼
法与司法 教授
博士生导师
闫召华
1979
河南商丘人
西南政法大学诉讼法学博士生
山东科技
大学文法系讲师
无罪推定的法律效果比较研究
一种历时分析
孙长永
闫召华
西南政法大学
重庆 401120
无罪推定最初表现为一种富有人权保障价值的证据法原则但由于产生背景
和发展进路的不同
无罪推定在英美法系和大陆法系的功能定位和法律效果上有一定差
前者将其作为审判阶段的证明规则
后者则以无罪推定的证据法内涵为基础
充分挖掘
其程序法意义
将其塑造为具有多重法律效果的人权原则二战后
无罪推定的国际化虽
然推动了无罪推定法律效果限制和生效范围的一些共同基准的形成
但对各法系无罪推
法律效果的影响并不均衡
关键词无罪推定法律效果证明规则人权原则国际化
中图分类号DF71 文献标识码A DOI10. 3969 /j. issn. 1001 2397. 2010. 04 14
无罪推定是一个被普遍认可但又被普遍误解
的概念
1
不少人认为
无罪推定的法律效果是
统一的和普遍
而且
其发展也是单向式的
实上
虽然各国在无罪推定的内涵上已基本达成共
但不同的法制传统和诉讼模式
不同的文化土
壤培植出的无罪推定在法律效果上存在一定差别
而厘清这些差异也是理解无罪推定效果的关键
鉴此
本文拟以无罪推定的产生与发展为主线
析各个时期不同法系无罪推定法律效果的异同
期对我国无罪推定原则的建构有所助益
无罪推定的产生及其法律效果在两大法系
的分化
和诉讼模式的演进一样
无罪推定产生的真实
图景是
在欧洲大陆和不列颠
无罪推定经过早期
共同的思想孕育
却在诉讼传统
政治结构等各
种历史因素最为相似的中世纪中期走上了截然不
同的发展道路
无罪推定的思想由来已久奴隶制社会早期
就存在一个基于自然正义的人性假定法律视每个
031
2010 7
32 4Modern Law Science
Jul. 2010
Vol. 32 No. 4
最明显的表现是
国际组织对无罪推定的规定和解释渐趋
一致
比如
联合国人权事务委员会在 2007 年通过的
一般评论
32 条指出
无罪推定对于人权保障是根本性的
它要求控方承担对
指控的证明责任
保证在未经排除合理疑问地证明指控之前不得推
定罪行的存在
确保存在疑问时作出有利于被追诉者的结论并且
要求被追诉者必须被给予与该原则相一致的对待为此
一切公共
权力机构不得预断案件的审判结果
被告人在审判时通常不得被戴
上镣铐或置于笼子里或者以其它方式显示其可能是危险的罪犯
体应当避免损害无罪推定的新闻报道
审前羁押也绝不能被视为有
罪及罪行轻重的体现
pf3
pf4
pf5
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1001 - 2397 2010 04 - 0130 - 08

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1979 - 。

DF71 A DOI 10. 3969 /j. issn. 1001 - 2397. 2010. 04. 14

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2010 7 32 4 Modern Law Science

Jul. 2010 Vol. 32 No. 4

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———

See Lilienthal’s Tobacco v. United States 97 U. S. 7 Otto 237 267 1877 .

。 See Bryan A. Gamer Black’s law dictionary seven edition West Group 1999 pp. 1026 1486. See e. g. Coffin v. United States 156 U. S. 432 454 1895 Estelle v. Williams 425 U. S. 501 503 1976 Norfolk v. Flynn 475 U. S. 560 567 1986 Kentucky v. Whorton 441 U. S. 786 790 1979 Taylor v. Kentucky 436 U. S. 478 479 1978 .

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② 。 20

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———

① ②

③ ④ ⑤

See Kentucky v. Whorton 441 U. S. 786 1979 . See United States v. Barnes 604 F. 2d 121 2d Cir. 1979 cert. denied 446 U. S. 907 1980 . See Vargas v. Keane 86 F. 3d 1273 2d Cir. 1996 . See Stack v. Boyle 342 U. S. 1 1951 . See Bell v. Wolfish 441 U. S. 520 1979 .

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① See US v. Salerno^ 481 U. S. 739^1987 .

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1 Jeff Thaler. Punishing the Innocent The Need for Due Process and the Presumption of Innocence Prior to Trial J . 1978 Wisconsin Law Review 444 1978 459. 2 Franqois Quintara - Morenas. The Presumption of Innocence in the French and Anglo - American Legal Traditions J. 58 American Journal of Comparative Law 107 2010 112 - 126. 3 William L. Burdick. The Principles of Roman Law and Their Relation to Modern Law M . The Lawyers Co Operative Publishing 1938 693. 4 James Bradley Thayer. Presumption of Innocence in Criminal Cases J. 6 Yale Law Journal 185 1896 187 - 191. 5 Meyer. Constitutionality of Pretrial Detention J. 60 Georgetown Law Journal 1381 1972 1448. 6 Thomas Starkie. A Practical Treatise on the Law of Evidence and Digest of Proofs in Civil and Criminal Procedures M . London J. & W. T. Clarke 1824 1248. 7 Frederick G. Kempin. Historical to Anglo - American law M . West Group 2001 62. 8 . M . 2001 32. 9 The Presumption of Innocence in Practice A

Comparison Between the Common and the Civil Law J . 14 Criminal Law Magazine and Reporter 184 1892 188. 10 Jerome E. Janssen The Legal Procedure of the 13th Century French Inquisition D . Ph. D. dissertation University of Wisconsin 1954 53. 11 . M . . 1993 31. 12 · · . M . . 2004 137. 13 J. H. Wigmore. A Treatise on the Anglo - American system of Evidence in trials at Common Law M . Boston Little Brown 1940 407. 14 . M . 2009 42 - 64. 15 Steve Sheppard. Metamorphoses of Reasonable Doubt How Changes in the Burden of Proof Have Weakened the Presumption of Innocence J . 78 Notre Dame Law Review 1165 2003 1239. 16 H. Cleveland Coxe. Personal Liberty in France J . 13 Yale Law . Journal 218 1904 218 - 220. 17 .《 》 2000 G / / . 21

2004 225. 18 . M . 2006 118. 19 · · 、 · . M . . 2001 180. 20 Stefan Trechsel. Human rights in criminal proceedings J . Oxford University Press 2005 170. 21 · . G / /. . 12 2007 287. 22 . M . . 2005 15 - 18. 23 Victor Tadros and Stephen Tierney. Presumption of Innocence and the Human Rights Act J . 67 Modern Law Review 402 2004 404. 24 · . M . . 2009 69. 25 . D . 2006 36 - 53.

A Comparative Study of the Legal Effect of Presumption of Innocence

SUN Chang-yong YAN Zhao-hua Southwest University of Political Science and Law Chongqing 401120 China Abstract Presumption of innocence was initially an evidentiary principle having the value of human rights protection. However due to the divergence in origins and developments the function and legal effect of the presumption has somewhat difference in common law and civil law countries in the former it is held as an evidentiary rule in a trial while in the latter based on the connotation of the presumption its procedural meaning is extended to the maximum and as such it has been re-moulded into a human rights principle with multiple legal effects. After World War II the internationalization of the presumption of innocence has to some extent facilitated the laying-down of uniform criteria concerning limit and function of the presumption but as to different legal families its impact varies upon the legal effects of the presumption. Key Words presumption of innocence legal effect evidentiary rule human rights principles internationalization

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