刑事程序禁止不利益变更原则及其中国化  

The Principle of Reformatio in Peius and its Normative Construction in China

作　　者：牟绿叶[1] Mou lüye

机构地区：[1]浙江大学光华法学院

出　　处：《中外法学》2022年第2期465-484,共20页Peking University Law Journal

基　　金：2020年度教育部人文社会科学研究青年基金项目“刑事二审程序的多元发展和完善路径研究”(项目编号:20YJC820035);2022年度浙江省哲学社会科学规划之江青年理论与调研专项课题“刑事追诉中的公共利益:以法与政治的关系为视角”(项目编号:22ZJQN03YB)的阶段性研究成果。

摘　　要：2019年余金平交通肇事案引发了我国对禁止不利益变更原则的关注和探讨,2021年《最高法解释》第401条相应确立了“实质不利”的判断标准。在刑法修订和犯罪法律后果多元化的背景下,上诉不加刑原则愈发难以回应立法、实务和改革的需求。我国应引入内涵丰富、涵盖面广、体系完整的禁止不利益变更原则,仅为被告人利益的上诉或抗诉,法院不得作出不利于被告人的变更。该原则之确立有助于厘清理论误区,保障被告人权利,推动实体法和程序法的联袂互动和交错适用,并建构一套逻辑融贯、明晰合理的教义学。一般客观标准和具体客观标准相结合的“原则和例外”模式既能为“不利益”的判断提供规范准据,还能解决特殊个案中的争议并促进法律的续造。禁止不利益变更原则是整个上诉制度的一部分,应从上诉理由审核制、一部上诉、有限量刑审查等方面综合研议,继续推动我国刑事上诉制度的多元化改革。The Yujinping case adjudicated in 2019 had attracted our attention and prompted discussions on the principle of reformatio in peius, and accordingly, the Supreme People’s Court introduced a test of “substantive prejudice” in Article 401 of the new judicial interpretation of Criminal Procedure Law. In the context of amending the criminal law and pluralizing the effects of criminal violations, the previous principle of ban against increasing punishment in appeals has been unable to meet the theoretical, practical and reformative needs. We must establish the principle of reformatio in peius, which is more meaningful, extensive and systematic, in order to prohibit the appellate court from increasing the punishment if the appeal has been launched only on the defendant’s behalf. Establishing this principle is conducive to clarifying theoretical misconceptions, safeguarding the defendant’s right, promoting interactions between criminal law and procedure, and constructing the logic and coherent dogmatics. The mode of combining general and specific objective standards can provide normative guidelines for assessing the “prejudice”, and help adjudicate hard cases and promote the growth of law. As the principle of reformatio in peius is embedded with the entire appellate structure, we must consider such aspects as the leave to appeal, teilanfechtung, and deferential sentencing review in a comprehensive way, so as to promote the pluralized development of China’s criminal appeal system.

关 键 词：禁止不利益变更 上诉不加刑 刑法修正案 保安处分 一部上诉 

分 类 号：D925.2[政治法律—诉讼法学]