轻罪治理下的行刑反向衔接机制研究

Research on the Reverse Connection Mechanism of Execution under Misdemeanor Governance

摘要: 随着我国犯罪结构的重大改变，被判处三年以下的轻罪占据了主导地位。轻罪治理不当会产生放纵违法行为的后果，为了贯彻有责必究的原则，学界将着眼点置于行刑反向衔接制度的建构上，行刑反向衔接机制已经成为轻罪治理的关键制度。行刑反向衔接机制以刑罚的谦抑性和法秩序统一原则为理论基础，各地司法机关在实践中发现反向衔接制度存在实体边界模糊、证据转化障碍、责任替代失衡等困境。本文通过实证和规范分析，大量参考最高检察院出台的反向衔接指引以及各地检察院的创新试点举措，研究聚焦于出罪机制规范构建与责任梯度衔接，提出通过规范实质出罪标准和畅通程序出罪机制来实现刑事出罪的精准性。反向移送中构建入行类型化规则以实现检察意见的精准制发、证据阶梯化转化机制及全链条协同机制，以解决证据衔接断裂和行刑责任真空的问题。在为轻罪治理提供兼顾公正与效率、惩罚与教育的行刑衔接体系，推动刑事法治现代化。

Abstract: With significant changes in China’s crime structure, misdemeanors sentenced to less than three years have become dominant. Improper governance of misdemeanors can lead to the indulgence of illegal behaviors. In order to implement the principle of accountability, the academic community has focused on the construction of a reverse execution connection system, which has become a key system for the governance of misdemeanors. The reverse execution connection mechanism is theoretically based on the principles of restraint in punishment and the unity of legal order. Judicial authorities across the country have found in practice that the reverse connection system faces challenges such as blurred substantive boundaries, obstacles in evidence transformation, and imbalances in responsibility substitution. This paper, through empirical and normative analysis, extensively references the reverse connection guidelines issued by the Supreme People’s Procuratorate and innovative pilot measures taken by procuratorates across the country. The research focuses on the standardized construction of the decriminalization mechanism and the gradient connection of responsibilities, proposing to achieve precision in criminal decriminalization by standardizing substantive decriminalization criteria and smoothing procedural decriminalization mechanisms. In reverse transfer, it constructs typified rules for entry types to achieve precise issuance of procuratorial opinions, a tiered evidence transformation mechanism, and a full-chain collaboration mechanism to address issues of evidence connection gaps and execution responsibility vacuums. It provides a criminal execution connection system that balances justice and efficiency, punishment and education for the governance of misdemeanors, promoting the modernization of criminal rule of law.