Opinions on Certain Issues Concerning the Standardization of the Sentencing Procedures (Trial Implementation)

关于规范量刑程序若干问题的意见（试行）

Promulgating Institution: Supreme People's Court; Supreme People's Procuratorate; Ministry of Public Security; Ministry of State Security; Ministry of Justice

Document Number: Fa Fa [2010] No. 35

Promulgating Date: 09/13/2010

Effective Date: 10/01/2010

颁布机关: 最高人民法院; 最高人民检察院; 公安部; 国家安全部; 司法部

文    号: 法发[2010]35号

颁布时间: 09/13/2010

实施时间: 10/01/2010

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正文

In order to further standardize sentencing practice, and promote openness and fairness in sentencing, these Opinions are formulated pursuant to relevant provisions of the Criminal Procedure Law and the judicial interpretations thereof, in light of judicial practice relating to criminal law.

    为进一步规范量刑活动，促进量刑公开和公正，根据刑事诉讼法和司法解释的有关规定，结合刑事司法工作实际，制定本意见。

   Article 1   People's courts shall, in the trial of criminal cases, ensure the relative independence of sentencing practice.

     第一条 人民法院审理刑事案件,应当保障量刑活动的相对独立性。

   Article 2   Investigation organs and people's procuratorates shall, according to statutory procedures, collect evidence that can prove the gravity of the criminal offenses of criminal suspects or the accused, and other various sentencing-related evidence.

People's procuratorates shall transfer sentencing-related evidence and materials of public prosecution cases in accordance with relevant provisions.

     第二条 侦查机关、人民检察院应当依照法定程序,收集能够证实犯罪嫌疑人、被告人犯罪情节轻重以及其他与量刑有关的各种证据。

    人民检察院提起公诉的案件,对于量刑证据材料的移送,依照有关规定进行。

   Article 3   People's procuratorates may propose sentencing suggestions as regards public prosecution cases. Sentencing suggestions shall generally have a certain range/extent.

People's procuratorates shall generally prepare written sentencing suggestions in proposing sentencing suggestions, and transfer the same to people's courts together with bills of indictment. Depending on the specific circumstances of a case, the relevant people's procuratorate may also propose sentencing suggestions in the statement of public prosecution. As regards cases subject to summary procedures for which people's procuratorates are not required to assign personnel to appear before people's courts, written sentencing suggestions shall be prepared and be transferred together with the bills of indictment to people's courts.

The written sentencing suggestions shall generally cover the type, severity and execution method of the criminal penalties to be imposed on the accused, as well as the reasons and grounds therefor as suggested by the relevant people's procuratorate.

     第三条 对于公诉案件,人民检察院可以提出量刑建议。量刑建议一般应当具有一定的幅度。

    人民检察院提出量刑建议,一般应当制作量刑建议书,与起诉书一并移送人民法院;根据案件的具体情况,人民检察院也可以在公诉意见书中提出量刑建议。对于人民检察院不派员出席法庭的简易程序案件,应当制作量刑建议书,与起诉书一并移送人民法院。

    量刑建议书中一般应当载明人民检察院建议对被告人处以刑罚的种类、刑罚幅度、刑罚执行方式及其理由和依据。

   Article 4   During trial proceedings, the parties concerned, counsels for the accused and agents ad litem may propose sentencing suggestions and state the reasons therefor.

     第四条 在诉讼过程中,当事人和辩护人、诉讼代理人可以提出量刑意见,并说明理由。

   Article 5   Where people's procuratorates propose sentencing suggestions in the written form, people's courts shall serve the written sentencing suggestions on the accused together with the duplicates of the bills of indictment.

     第五条 人民检察院以量刑建议书方式提出量刑建议的,人民法院在送达起诉书副本时,将量刑建议书一并送达被告人。

   Article 6   As regards a public prosecution case, in particular, a case where the accused has pleaded not guilty or where the sentencing suggestions are disputed, if the accused has not appointed a counsel due to financial difficulties or other reasons, the people's court concerned may designate a counsel through legal aid agencies to defend the accused.

     第六条 对于公诉案件,特别是被告人不认罪或者对量刑建议有争议的案件,被告人因经济困难或者其他原因没有委托辩护人的,人民法院可以通过法律援助机构指派律师为其提供辩护。

   Article 7   As regards a case to which summary procedures apply, after it has been confirmed that the accused has no objection on the facts of the criminal offense and the crime charged in the bill of indictment, that the accused has voluntarily pleaded guilty, and that he/she knows the legal consequences of confession, the court concerned may directly focus on sentencing issues in the trial.

     第七条 适用简易程序审理的案件,在确定被告人对起诉书指控的犯罪事实和罪名没有异议,自愿认罪且知悉认罪的法律后果后,法庭审理可以直接围绕量刑问题进行。

   Article 8   As regards a case to which general procedures apply and in which the accused has pleaded guilty, after it has been confirmed that the accused is aware of the facts of the criminal offense and the crime charged in the bill of indictment, that the accused has voluntarily pleaded guilty, and that he/she knows the legal consequences of confession, the court concerned shall mainly focus on sentencing issues and other disputed issues in the trial.

     第八条 对于适用普通程序审理的被告人认罪案件,在确认被告人了解起诉书指控的犯罪事实和罪名,自愿认罪且知悉认罪的法律后果后,法庭审理主要围绕量刑和其他有争议的问题进行。

   Article 9   As regards a case for which the accused or the counsel has pleaded not guilty, relevant facts relating to sentencing shall be ascertained in the court investigation stage. In the court debate stage, the judge concerned shall guide both the prosecution and the defense to debate on issues relating to conviction first. Upon conclusion of the debate on conviction, the judge shall inform the prosecution and the defense that they may proceed to debate on issues of sentencing, make sentencing suggestions or comments, and shall state the reasons and grounds therefor.

     第九条 对于被告人不认罪或者辩护人做无罪辩护的案件,在法庭调查阶段,应当查明有关的量刑事实。在法庭辩论阶段,审判人员引导控辩双方先辩论定罪问题。在定罪辩论结束后,审判人员告知控辩双方可以围绕量刑问题进行辩论,发表量刑建议或意见,并说明理由和依据。

   Article 10   In the court investigation process, people's courts shall ascertain the severity of specific statutory penalties applicable to the accused, as well as other statutory or discretionary sentencing circumstances under which heavier, lighter or mitigated penalties or exemption applies.

     第十条 在法庭调查过程中,人民法院应当查明对被告人适用特定法定刑幅度以及其他从重、从轻、减轻或免除处罚的法定或者酌定量刑情节。

   Article 11   Social research reports on minors made by relevant parties upon entrustment by people's courts, people's procuratorates, investigation organs or counsels shall be read out in court and be subject to cross-examination.

     第十一条 人民法院、人民检察院、侦查机关或者辩护人委托有关方面制作涉及未成年人的社会调查报告的,调查报告应当在法庭上宣读,并接受质证。

   Article 12   During court trial proceedings, a judge having doubts on sentencing-related evidence may announce an adjournment to conduct investigation and verification of the evidence. Where necessary, the judge may also require the people's procuratorate to make additional investigation and verification. The people's procuratorate shall make additional investigation to verify the evidence, and may request assistance from the investigation organ where necessary.

     第十二条 在法庭审理过程中,审判人员对量刑证据有疑问的,可以宣布休庭,对证据进行调查核实,必要时也可以要求人民检察院补充调查核实。人民检察院应当补充调查核实有关证据,必要时可以要求侦查机关提供协助。

   Article 13   Where the parties concerned and the counsel or the agent ad litem apply to the competent people's court for the latter to request for and gather sentencing-related evidence and materials collected in the investigation and/or prosecution review process, the people's court shall do so in accordance with the law when it is deemed necessary. The people's court shall state the reasons if it is of the opinion that there is no need to request for and gather sentencing-related evidence and materials.

     第十三条 当事人和辩护人、诉讼代理人申请人民法院调取在侦查、审查起诉中收集的量刑证据材料,人民法院认为确有必要的,应当依法调取。人民法院认为不需要调取有关量刑证据材料的,应当说明理由。

   Article 14   Debate on sentencing shall proceed in the following order:

(1) the public prosecutor, or the private prosecutor and the agent ad litem thereof make sentencing suggestions or comments;

(2) the victim (or the plaintiff of the civil suit collateral to the criminal case) and the agent ad litem thereof express views on sentencing; and

(3) the accused and the counsel respond and express views on sentencing.

     第十四条 量刑辩论活动按照以下顺序进行:

    (一)公诉人、自诉人及其诉讼代理人发表量刑建议或意见;

    (二)被害人(或者附带民事诉讼原告人)及其诉讼代理人发表量刑意见;

    (三)被告人及其辩护人进行答辩并发表量刑意见。

   Article 15   Where new sentencing-related facts emerge during court debate, and further investigation is needed, court investigation shall resume and court debate shall proceed only after the facts have been ascertained.

     第十五条 在法庭辩论过程中,出现新的量刑事实,需要进一步调查的,应当恢复法庭调查,待事实查清后继续法庭辩论。

   Article 16   Criminal judgement instruments of people's courts shall state the grounds for sentencing, which grounds shall mainly include:

(1) the ascertained sentencing-related facts and the effect thereof on sentencing;

(2) whether or not the sentencing suggestions and comments made by the public prosecutors, the parties concerned, the counsels and the agents ad litem are admitted, and the reasons therefor; and

(3) the grounds and legal basis for the sentencing mete out by the people's courts.

     第十六条 人民法院的刑事裁判文书中应当说明量刑理由。量刑理由主要包括:

    (一)已经查明的量刑事实及其对量刑的作用;

    (二)是否采纳公诉人、当事人和辩护人、诉讼代理人发表的量刑建议、意见的理由;

    (三)人民法院量刑的理由和法律依据。

   Article 17   Sentencing practice of second-instance trials and retrials for which court sessions are opened shall proceed in accordance with relevant legal provisions. In the absence of such legal provisions, these Opinions shall apply mutatis mutandis. 

As regards second-instance trials and retrials for which no court session is opened, the judges shall pay particular attention to sentencing-related facts and evidence in reviewing case files, questioning the accused and listening to the opinions of other parties, counsels and agents ad litem.

     第十七条 对于开庭审理的二审、再审案件的量刑活动,依照有关法律规定进行。法律没有规定的,参照本意见进行。

    对于不开庭审理的二审、再审案件,审判人员在阅卷、讯问被告人、听取其他当事人、辩护人、诉讼代理人的意见时,应当注意审查量刑事实和证据。

   Article 18   These Opinions shall become effective on October 1, 2010 on a trial basis.

     第十八条 本意见自2010年10月1日起试行。