认罪认罚从宽量刑协商机制问题研究

A Study on the Sentencing Negotiation Mechanism for Leniency for Guilty Pleas and Acceptance of Punishment

摘要: 认罪认罚从宽制度是我国刑事司法改革的重要成果，其核心在于通过控辩双方的量刑协商实现程序分流与实体从宽。该制度在理论层面，融合了合作性司法、程序主体性和功利主义哲学等多重理论基础，具有优化司法资源配置、提升诉讼效率和保障当事人权利等重要价值；实践层面，量刑协商机制存在检察机关主导地位过强、被追诉人知情权与律师帮助权保障不足、被害人参与机制缺失以及协商程序规范化程度较低等突出问题。在考察域外相关制度基础上，提出应当构建权力制约与权利保障并重的完善路径：如需明确检察机关的准司法定位并规范量刑建议效力边界；以及应健全被追诉人证据知悉制度和值班律师实质参与机制，同时完善被害人程序参与权；程序规范层面可建立双向启动机制、制定统一量刑指南并推行协商过程全程留痕制度。

Abstract: The system of leniency for guilty pleas and acceptance of punishment is a significant achievement of China’s criminal justice reform, with its core focus on achieving procedural diversion and substantive leniency through sentencing negotiations between the prosecution and the defense. Theoretically, this system integrates multiple theoretical foundations, including cooperative justice, procedural autonomy, and utilitarian philosophy, and holds significant value in optimizing the allocation of judicial resources, enhancing litigation efficiency, and safeguarding the rights of parties involved. In practice, however, the sentencing negotiation mechanism faces prominent issues, such as excessive dominance by the procuratorate, insufficient safeguards for the accused’s right to information and the right to legal counsel, a lack of mechanisms for victim participation, and a low degree of standardization in negotiation procedures. Based on an examination of relevant systems in other jurisdictions, this paper proposes a path to improvement that balances the restraint of power with the protection of rights: for instance, the quasi-judicial status of the procuratorate should be clarified, and the boundaries of the effectiveness of sentencing recommendations should be defined; furthermore, the system for defendants’ access to evidence and the mechanism for the substantive participation of duty lawyers should be improved, while the procedural participation rights of victims should be enhanced; at the procedural level, a two-way initiation mechanism could be established, uniform sentencing guidelines formulated, and a system for documenting the entire negotiation process implemented.