论监察从宽处罚建议制度的正当性及其与司法的衔接  

The Discussion of Justification of Supervisory Lenient Punishment Advice and Its Coherence to Judicial System

作　　者：常保国[1] 胡雨晴 CHANG Bao-guo;HU Yu-qing(China University of Political Science and Law,Beijing 100088,China)

机构地区：[1]中国政法大学,北京100088

出　　处：《河北法学》2025年第4期19-37,共19页Hebei Law Science

基　　金：国家社科基金重大项目“中国特色国家监察学学科体系建设研究”(19ZDA134)。

摘　　要：立法上规定,对于符合“主动认罪认罚+一般自首/余罪自首/退赃/重大立功/涉及国家重大利益”条件的被调查人,监察机关经法定审批程序可以在移送起诉时提出从宽处罚的建议。这一特殊的制度安排契合中国特色反腐败体制和现实需求,符合“宽严相济”和“罪刑相适应”的要求,具有正当性。监察从宽处罚建议作为一种监察文书,是对“量刑建议”或“量刑”的建议,司法机关原则上应当采纳,但其据以提出的依据发生变化确实不宜从宽处罚,或者司法机关对从宽情节认定存在不同意见等情形除外。监察从宽处罚建议制度理论上面临权利保障的质疑,实践中存在程序设计不完善、适用率低等问题,可以借力检察提前介入制度强化被调查人权利保障,通过规范内容、强化说理提高监察从宽处罚建议的可操作性与可接受性,并进一步优化审批程序,激活监察从宽处罚建议的适用。The legislation stipulates that for the person under investigation who meets the conditions of“active confession+general surrender/surrendering of surplus crimes/returning of assets/major merit doing/involving the major interests of the state”,the supervisory organ can propose lenient punishment advice when it is transferred for prosecution through the statutory approval procedure.This special institutional arrangement is in line with the anti-corruption system with Chinese characteristics and practical needs,in line with the requirements of“tempering leniency with severity”and“adapting crime to punishment”,and has legitimacy.As a kind of supervision document,the supervision leniency punishment proposal is a“sentencing proposal”or“sentencing”proposal,which should be adopted by the judicial organ in principle,except that the basis on which it is proposed has changed and it is not suitable for leniency punishment,or the judicial organ has different opinions on the identification of leniency circumstances.In theory,the supervision leniency punishment proposal system faces questions about rights protection,and in practice,there are problems such as imperfect program design and low application rate.The prosecution intervention system in advance can be used to strengthen the protection of the rights of the investigated,improve the operability and acceptability of the supervision leniency punishment proposal by standardizing the content and strengthening the reasoning,and further optimize the approval procedure.Activate monitoring of the application of lenient punishment recommendations.

关 键 词：监察从宽处罚建议 职务犯罪 特别认罪认罚从宽 体系建构 

分 类 号：DF314[政治法律—宪法学与行政法学]