认罪认罚案件量刑建议采纳例外之中国模式构建
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作者单位:

西南政法大学 诉讼法与司法改革研究中心,重庆 401120

作者简介:

李昌盛,西南政法大学诉讼法与司法改革研究中心教授,博士研究生导师
任建新,西南政法大学诉讼法与司法改革研究中心研究人员,博士研究生,Email:1614388081@qq.com。

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中图分类号:

D925.2

基金项目:

国家社会科学基金项目“证据的支撑力和区分力问题研究”(19XFX006);重庆市教育委员会人文社会科学研究基地项目“落实证人出庭作证制度研究”(23SKJD008);西南政法大学法学院2023年度学生科研创新项目“一般应当采纳”疑难问题研究(FXY2023020)


Construction of the Chinese model for exceptions to the adoption of sentencing recommendations in cases of admitting guilt and accepting punishment
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Research Center for Procedural Law and Judicial Reform, Southwest University of Political Science and Law, Chongqing 401120, P.R.China

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    摘要:

    认罪认罚从宽制度走深走实的过程中,已经不再局限于规则,囿于刑事诉讼法内,而是在国家治理体系和治理能力现代化视域下的重大变革,对于理念、制度、实践都有着巨大的冲击,是刑事诉讼乃至国家治理结构的转型,对于实现中国式现代化,助推司法高质量发展具有时代意义。其中,“一般应当采纳”条款具有关键使命。通过检察院量刑建议法院予以采纳的从宽兑现,激励被追诉人及早认罪认罚,完成取证、便宜起诉、快速审判,进而节约大量司法资源,减轻侦查、起诉、审判等环节的负担。但在程序快速推进的过程中,却产生了公共利益难维护、被追诉人认罪认罚非明知明智、律师帮助虚化、被害人权益被忽视等现象。受制于“一般应当采纳”条款所限,法院即便发现上述不公之处,也很难进行惩戒,强制约模式下束缚了法院能动性,不仅增加了诉讼主体之间的矛盾,也严重折损了认罪认罚从宽制度的应有使命。无论是法院审级职能定位改革,抑或审判质量管理指标体系改革,都着重强调案件办理要公正和效率并重,要坚持质量优先,兼顾效率,实现质量、效率、效益的兼得。这需要充分发挥法院准确查明事实、实质化解纠纷的关键作用,进一步的落脚点,是保障案件公正的基础,充分释放裁判主体的裁量权,实现能动司法。于此,合理的量刑建议采纳例外情形可以为法院自主裁断留有路径,促使认罪认罚过程中公正裁判、控审平衡、程序公正等机理得以实现。采纳例外模式在不同制度土壤中有所差异,但也有趋同性,应当在辩证分析的基础上综合考察合理元素。将不符合公共利益、非明知或非明智,律师未帮助、未听取被害人意见纳入“其他可能影响公正审判的情形”,不断丰富其应然内涵和实然标准,促使认罪认罚从宽制度在新发展阶段中发挥更大的作用。

    Abstract:

    In the process of deepening the leniency system of admitting guilt and accepting punishment, it is no longer limited to a rule or confined to the criminal procedural law, but a major change from the perspective of the modernization of the national governance system and governance capacity, which has a huge impact on the concept, system and practice. It is the transformation of criminal procedure and even the national governance structure, and it has era significance for realizing Chinese-style modernization and promoting high-quality judicial development. Among them, the “shall generally adopt” clause has a key mission. Through the court’s adoption of the procuratorate’s sentencing recommendations, the leniency system encourages the accused to admit guilt and accept punishment early, facilitates evidence collection, expedites prosecution, and enables rapid trials—thus saving substantial judicial resources and alleviating the burden on investigation, prosecution, trial, and other links. However, in the rapid progress of the procedure, the public interest is difficult to safeguard, the accused’s admission of guilt and acceptance of punishment are unknowing and irrational, assistance from lawyers is nominal, and the victims’ rights and interests are ignored. Subject to the “shall generally adopt” clause, even if the court finds the above injustice, it is difficult to punish, and the strong restriction mode restricts the initiative of the court, which not only increases the contradiction between the subjects of the lawsuit, but also seriously damages the due mission of the leniency system. In the reform of the court’s trial level function positioning, and the reform of the trial quality management index system, it is emphasized that case handling should pay equal attention to fairness and efficiency, adhere to the priority of quality, take into account efficiency, and achieve both quality, efficiency and benefit. This requires giving full play to the key role of the court in accurately ascertaining facts and substantively resolving disputes, the further goal is to fully release the discretion of the adjudicator on the basis of ensuring the justice of the case, so as to realize active justice. Therefore, reasonable exceptions to the adoption of sentencing recommendations can leave a path for the court to make its own decision, and promote fair judgment, balance of prosecution and trial, and procedural justice in the process of admitting guilt and accepting punishment. The exception models vary across different institutional contexts, but there is also convergence, reasonable elements should be comprehensively investigated on the basis of dialectical analysis. Incorporating circumstances such as inconsistent with the public interest, unknowing and irrational, without the assistance of a lawyer, and without taking the victim’s opinions into account into the category of other circumstances that may affect a fair trial, and constantly enriching its content and actual standards, can promote the leniency system of admitting guilt and accepting punishment to play a greater role in the new stage of development.

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李昌盛,任建新.认罪认罚案件量刑建议采纳例外之中国模式构建[J].重庆大学学报社会科学版,2025,31(5):231-246. DOI:10.11835/j. issn.1008-5831. fx.2023.07.001

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  • 在线发布日期: 2025-12-05
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