China: 律师:检察机关落实认罪认罚从宽制度的四个建议

Last Updated: 12 August 2019
Article by Zhenhai GUAN
Most Read Contributor in China, August 2019

2018年刑事诉讼法第15条规定:"犯罪嫌疑人、被告人自愿如实供述自己的罪行,对指控的犯罪事实没有异议,愿意接受处罚的,可以依法从宽处理。"但在实践中,从宽的幅度如何掌握,还有认罪认罚与与自首、坦白、退赃退赔等其他刑法规定的量刑情节之间是包含关系还是独立关系等,目前还没有定论。这在某种程度上影响了认罪认罚从宽制度的开展,限制了犯罪嫌疑人、被告人认罪认罚的积极性。

理论和实务部门大多数观点认为,"认罪认罚"作为一种从宽情节,应独立于刑法中的自首、坦白等情节。我们对这种观点深表赞同。首先,该制度是刑事诉讼法规定的程序性从宽措施,不同于刑法规定的实体评价标准。其次,该制度与自首、坦白等量刑情节相比,有其独特的内容"认罚"。换言之,"认罚"属于刑事诉讼法规定的内容,具有独立的程序价值,并不能为现有刑法中的量刑情节所包含。最后,认罪认罚从宽制度的立法目的在于以效率促公正、修复社会关系。将"认罪认罚"作为一个独立的从宽量刑情节,等于给犯罪嫌疑人、被告人更多的刑罚优惠,这更能提高其积极认罪认罚的积极性和主动性,更有利于实现立法目的。

关于"认罪认罚"的从宽幅度,建议根据不同的案件类型、不同的证据情况设定不同的幅度,情节较轻的可以做出不起诉处理。例如,对于普通刑事案件可以从轻20-30%。对于案发时间长、取证条件差的案件,犯罪嫌疑人认罪认罚主动交代事实进而找到涉案关键证据的,最高可以从轻50%。侦查阶段即认罪认罚的,从宽幅度大于审查起诉阶段才认罪认罚的,等等。

三、应制定量刑协商的程序性规定

量刑的轻重对于犯罪嫌疑人、被告人具有重大的现实意义。我国刑事诉讼法第201条规定;"对于认罪认罚案件,人民法院依法作出判决时,一般应当采纳人民检察院指控的罪名和量刑建议"。可见,刑事诉讼法赋予了量刑建议实体性裁量的功能,基本相当于法院的判决,直接确定了犯罪嫌疑人、被告人的刑期。而量刑协商程序又是量刑建议作出的必经程序。从这个意义上讲,量刑协商程序与量刑建议之间,犹如法院开庭程序与判决一样。因此,我们必须重视量刑协商的独立的程序性价值。

在目前的实践中,量刑协商的程序性价值并没有完全凸显出来。以笔者辩护的案件为例,还有一些案件没有协商程序。例如有的检察机关承办人收到辩护律师的法律意见后,自行提出量刑建议,然后让犯罪嫌疑人和律师签字确认。当后者提出不同意见时,只是简单回应说"如果不同意不签字,量刑建议会更重"。这种情况下犯罪嫌疑人和律师只是配合办案人员而已,整个过程没有任何"协商"。还有的检察机关承办人在量刑协商环节不通知犯罪嫌疑人委托的辩护律师,只是让值班律师在认罪认罚具结书上签字,实际上剥夺了犯罪嫌疑人和辩护律师的辩护权。

我们认为,量刑协商必须有相应的程序性规定。例如,对于犯罪嫌疑人及其律师提出的启动认罪认罚程序的意见,原则上检察人员应当同意,除非该案件不符合认罪认罚的条件。不同意适用的,必须出具书面回复意见,阐明不能适用的理由,且该法律文书应当归档备案。另外,量刑协商程序可以比照法院的开庭程序设计,包括核实犯罪嫌疑人、被告人的身份,核实犯罪嫌疑人是否认罪以及认罪是否自愿,听取犯罪嫌疑人及其律师的量刑意见,然后提出自己的量刑建议。在这个过程中,检察人员应当对犯罪嫌疑人及其律师的量刑意见进行回应,没有采纳的还要说明理由。对于检察人员的量刑建议,犯罪嫌疑人和律师也可以提出不同的意见,直到双方达成一致意见或者确定无法达成一致意见为止。整个量刑协商过程应当记录在案并归档,由犯罪嫌疑人及其律师签字确认,有条件的还要全程录音录像。同时也应当明确违反程序的法律责任,例如检察人员故意不启动认罪认罚程序的,或者故意不同意犯罪嫌疑人及其律师提出的启动建议的,在考核时应予以否定评价。检察人员威胁、胁迫犯罪嫌疑人及其律师签订认罪认罚具结书的,该协议无效,相应违法人员应当承担相应责任。

为了保障量刑协商程序的有效开展,建议检察机关(最好与法院一起)制定一部精细化的量刑细则,明确不同案件不同情况下认罪认罚从宽的幅度,其他量刑情节的从宽、从严幅度可以参考法院的《量刑指导意见》。这样,控辩双方开展量刑协商有统一标准,能够保障量刑协商的效率和质量。

四、确定刑量刑建议更符合认罪认罚从宽制度的立法目的

在实践中,检察机关提出的量刑建议一般有两种模式:确定刑模式和量刑区间模式。通常认为,前一种模式可以固化犯罪嫌疑人、被告人对刑罚的心理预期,后一种模式有利于保障法院的自由裁量权。具体到认罪认罚制度,我们认为确定刑量刑建议更符合认罪认罚制度的立法目的。具体理由是:

第一,确定刑量刑建议符合认罪认罚案件的诉讼构造。认罪认罚案件与其他刑事案件的诉讼构造不同。在犯罪嫌疑人、被告人不认罪认罚的情况下,检察机关与犯罪嫌疑人、被告人是对立的双方,也正是基于这种对立关系,案件最终要移交法院这个中立的第三方居中裁决。

换言之,不认罪认罚案件的诉讼构造呈现"三角形"模式。但是在认罪认罚案件中,这种诉讼构造发生了变化。由于检察机关与被告人在定罪量性方面的一致性,双方不再是对立的双方。这种情况下,法官的职责也随之发生了变化,关注的重点从犯罪事实和证据的审查认定,转移到审查被告人签署量刑具结书是否自愿,被告人认罪认罚是否真实、合法、是否反悔,量刑建议是否明显错误等。换言之,在认罪认罚案件中,法官的职责内容发生了变化。正如刑事诉讼法第201条规定的,法院一般应当采纳人民检察院指控的罪名和量刑建议。在这种情况下,确定刑的量刑建议当然不会影响法官的自由裁量权;

第二,确定刑的量刑建议能够固化犯罪嫌疑人、被告人对刑罚的心理预期,缓解其焦虑情绪。本人在看守所会见犯罪嫌疑人、被告人时,尽管他们大多希望诉讼程序能够尽快终结,从看守所转移到监狱。但他们最大的压力还不是生活的问题,而是诉讼结果的不确定性。这种不确定性给他们以巨大的心理压力,甚至有犯罪嫌疑人说:刑期确定后,我宁肯在监狱待一年,也不愿意在看守所多呆一天。可见,确定刑的量刑建议更能满足犯罪嫌疑人、被告人的心理需要,也更能容易调动其认罪认罚的积极性;

第三,确定刑的量刑建议能够提高诉讼效率。具体而言,就是确定刑的量刑建议能够降低被告人在审判阶段反悔的概率,防止因为法院判决的刑罚结果与其预期之间存在反差而产生心理波动,收回之前的认罪认罚意愿或者提出上诉。本人办理一起认罪认罚案件时,犯罪嫌疑人在签署认罪认罚具结书后告诉我:"这个案件检察院的量刑建议是2-3年,如果法院判决2年有期徒刑,我就确定不再上诉,如果判决我2年6个月及以上有期徒刑,我就一定上诉。如果判决2年以上、2年6个月以下有期徒刑,我就考虑一下再说。"这充分表明了量刑区间模式对被告人心理造成的影响。

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