摘要：

认罪认罚从宽制度的一个显著特征是存在一纸认罪认罚具结书。在法律属性上，该具结书不宜简单理解为保证书或者证明材料，应当视为一种刑事协议。它有破裂的多种可能性：被追诉人的反悔、检察官的变更起诉或者法官的不予采纳。协议破裂是认罪认罚从宽制度中典型的“肥尾风险”，发生概率很小但影响很大，处理不当将会引发难以估量的反噬风险。未来的制度完善，应以司法公正、司法公信力与正当预期利益的平衡为原则，构建协议破裂与程序反转的正当规则。被追诉人的反悔权应当有所限制，分为正当反悔与不正当反悔，并适用不同的反转程序；检察官应遵循禁止违反承诺原则；法官不采纳具结书应遵循“事先告知、听取意见与可撤回”的正当程序。唯此，认罪认罚从宽制度才不至于让被追诉人误读为获取有罪供述、打击犯罪的一种精巧安排，该制度才能走得更远。

关键词: 认罪认罚, 具结书, 反悔, 撤回, 司法公信力, 预期利益, 程序反转

Abstract:

A notable feature of pleading guilty from the lenient system is the existence of agreement for crime and penalty.In terms of legal attributes，the paper should not be simply understood as a guarantee or proof material，and should be regarded as a criminal agreement.In practice，it has multiple possibilities for breach：the remorse of the prosecuted，the prosecution’s change of complaint，and the judge’s disapproval.The breach of the agreement is a typical“fat tail risk”in the lenient system of pleading guilty，that is，an event with a small probability of occurrence but a great influence.Improper handling will lead to an incalculable risk of countering，affecting the normal operation of the confession and punishment process.In the future，the improvement of the system should be based on the principle of judicial justice，judicial credibility and the legitimate expectation of interests，and construct a reasonable regulatory mechanism and a proper reversal procedure for the breakdown of the agreement.The right of redress of the accused should be limited，divided into righteous repentance and improper remorse，and different reversal procedures should be applied；the prosecutor should follow the principle of estoppel；the judge who does not accept the stipulations should follow the due process of“advance notification，debate and retraction”.Only in this way，the system of pleading guilty and confessing to the lenient system will not let the accused misunderstand as a delicate arrangement for obtaining guilty confessions and fighting crimes，and the system can go further.

Key words: Pleading Guilty, Agreement for Crime and Penalty, Repent, Withdraw, Judicial Credibility, Expected Interest, Program Reversal