认罪认罚具结书的性质解构与效力重塑

The Nature Deconstruction and Effect Reconstruction of the Agreements on Guilty Plea and Punishment Acceptance

认罪认罚具结书的性质存在“保证说”“契约说”“证据说”等多种观点。其中,“契约说”与“保证说”针锋相对,不可调和。从“具结”的词源本义和职权主义诉讼模式等多重角度看,认罪认罚具结书应当是犯罪嫌疑人向人民检察院出具的单方保证,而不应当是控辩双方之间达成的认罪认罚协议。这一性质定位,决定了认罪认罚具结书的效力仅及于被追诉人,而不可能约束人民检察院和人民法院。为兼顾权利保障和诉讼效率的平衡,可以允许嫌疑人在审查起诉阶段随时撤回具结书,但撤回具结书后,在审查起诉阶段应禁止其再次具结。从认罪认罚案件正式进入庭审开始,不再允许被告人撤回具结书。具结书对人民检察院和人民法院没有约束力。在被追诉人签署具结书后,人民检察院原则上没有正当理由不应再行改变量刑建议,但这并不是受具结书拘束,而是受认罪认罚制度本身的约束。人民法院“一般应当采纳人民检察院指控的罪名和量刑建议”,也不是受具结书的拘束,而是受人民检察院量刑建议权的约束。

There are many views on the nature of the agreements on guilty plea and punishment accep‐tance,such as“guarantee theory”,“contract theory”and“evidence theory”.Among them,the“contract theory”and the“guarantee theory”are contradictory and irreconcilable.From the perspectives of the etymology of“agreement”and the litigation mode of ex officio doctrine,the agreements on guilty plea and punishment ac‐ceptance should be a unilateral guarantee issued by the criminal suspect to the People’s Procuratorate,rather than a plea agreement reached between the People’s Procuratorate and the defendant.This nature determines that the effect of the agreements on guilty plea and punishment acceptance is only used to bind to the accused,and it is impossible to bind the People’s Procuratorate and the People’s Court.In order to strike a balance be‐tween the protection of rights and the efficiency of litigation,the suspect can be allowed to withdraw the agree‐ment at any time during the review and prosecution stage,but after the withdrawal of the agreement,he should be prohibited from making another affidavit during the review and prosecution stage.From the time the case of‐ficially enters the trial,the defendant is no longer allowed to withdraw the agreement.The agreement has no binding force on the People’s Procuratorate and the People’s Court.After the defendant signs the agreement,the People’s Procuratorate should not change the sentencing proposal without legitimate reasons in general.But this is not bound by the agreement,but by the system of guilty plea and punishment acceptance.The People’s Court“should generally adopt the charges and sentencing suggestions charged by the People’s Procu‐ratorate”nor be bound by the agreement,but be bound by the sentencing suggestion power of the People’s Procuratorate.