控方撤回认罪认罚:比较考察与类型规制  

Withdrawal of A Guilty Plea by the Prosecution:A Comparative Study and Typological Regulation

作　　者：郭烁 Guo Shuo

机构地区：[1]中国政法大学诉讼法学研究院

出　　处：《交大法学》2024年第2期5-18,共14页SJTU Law Review

基　　金：国家社会科学基金重点项目“大数据侦查的程序控制与证据适用研究”(项目编号:19AZD024);教育部重大攻关课题“提高一体化推进‘三不腐’能力和水平研究”(项目编号:22JZD022)。

摘　　要：现有关于认罪认罚案件反悔与撤回的研究大多聚焦于被追诉人面向,鲜有涉及控方撤回。但控方撤回在实践中业已呈现出一定混乱局面,应当予以重视。通过考察比较法可知,美国辩诉交易视阈下原则上允许控方在被告人认罪答辩前撤回诉辩协议,认罪答辩后撤回则须基于特殊情形,其体现出的审慎、克制的撤回思路值得借鉴。实体事由上,被追诉人反悔、法院告知调整量刑建议与被追诉人无悔罪表现皆非控方撤回情形,检察机关只能基于新的事实和证据撤回认罪认罚从宽,该新的事实为自然事实,且应厘定为“新的定罪事实”。程序运行上,若控方合法撤回则应给予被追诉人选择权,并贯彻“供述失权”原则;若控方非法撤回应给予其程序性制裁,并坚持特定履行原则;同时协调公诉变更与控方撤回,只允许补充起诉情形下撤回认罪认罚。从实体和程序两个层面进行规制,可以将控方撤回认罪认罚限制在合理、适当的范围之内。Existing research on repentance and withdrawal in cases involving pleading guilty and acceptance of punishment mostly focuses on the aspect of the person being prosecuted and rarely pays much attention to the withdrawal of the prosecutors which has showcased confusion in practice and should be taken seriously.Through comparative inspection,it can be seen that under the plea bargaining perspective in the United States,the prosecutor is allowed to withdraw the plea agreement before the defendant pleads guilty in principle,while withdrawal after the defendant pleads guilty shall be based on extenuating circumstances.The prudent and restrained attitude of withdrawal that it embodies is worth learning from.In terms of substantive matters,the defendant's retraction,the court's notification to adjust the sentencing recommendation,and the defendant's lack of remorse are not circumstances in which the prosecutor is allowed to withdraw.On the contrary,the prosecutor can only revoke the written recognizance based on new facts and evidence which are natural facts and should be determined as“new conviction facts”.In terms of procedural operation,if the prosecutor withdraws legally,the accused should have the right to choose whether to continue to plea guilty or not,and the confession should not be used to charge.If the prosecutor withdraws illegally,procedural sanctions should be imposed and specific performance should be insisted on.At the same time,the change of prosecution and the withdrawal should be coordinated:the withdrawal of lenient punishment is only allowed in the case of a supplementary prosecution.Regulations at both the substantive and procedural levels can limit the prosecutor's withdrawal of lenient punishment of pleading guilty and accepting punishment within reasonable and appropriate limits.

关 键 词：认罪认罚 控方撤回 辩诉交易 实体事由 程序规制 

分 类 号：D925.2[政治法律—诉讼法学]