最高人民检察院关于办理当事人达成和解的轻微刑事案件的若干意见(2011年版)(中英文对照版)

【Title】Notice of the Supreme People’s Procuratorate on Issuing the Several Opinions of the Supreme People’s Procuratorate on Handling Petty Criminal Cases Where the Parties Have Reached

Reconciliation

【法规标题】最高人民检察院关于印发《最高人民检察院关于办理当事人达成和解的轻微刑事案件的若干意

见》的通知

Date issued:01-29-2011

Effective date:01-29-2011

Issuing authority: Supreme People's Procuratorate Area of law:Criminal Law,State Organs 发布日期：2011-01-29

生效日期：2011-01-29

发布部门：最高人民检察院类别：刑法，国家机关

Notice of the Supreme People’s Procuratorate on Issuing the Several Opinions of the Supreme People’s Procuratorate on Handling Petty Criminal Cases Where the Parties Have Reached Reconciliation

(No. 2 [2011] of the Supreme People’s Procuratorate)

The people’s procuratorates of all provinces, autonomous regions and municipalities directly under the Central Government; the military procuratorates; and the People’s Procuratorate of Xinjiang Production and Construction Corps: The Several Opinions of the Supreme People’s Procuratorate on Petty Criminal Cases Where the Parties Have Reached Reconciliation, as adopted at the 50th session of the 11th Procuratorial Committee of the Supreme People’s Procuratorate on December 2, 2010, are hereby issued for your earnest compliance and implementation.

Supreme People’s Procuratorate

January 19, 2011

Several Opinions of the Supreme People’s Procuratorate on Handling Petty Criminal Cases Where the Parties Have Reached Reconciliation

To ensure the legal and correct handling of petty criminal cases where the parties have reached reconciliation by the people’s procuratorates during their examination of arrests and public prosecutions, in accordance with the Criminal Law of the People’s Republic of China (the “Criminal Law”), the Criminal Procedure Law of the People’s Republic of China (the “Criminal Procedure Law”) and other relevant laws and in light of prosecutorial practices, we hereby put forward the following opinions: 最高人民检察院关于印发《最高人民检察院关于办理当事人达成和解的轻微刑事案件的若干意见》的通

知

（高检发研字[2011]2号）

各省、自治区、直辖市人民检察院，军事检察院，新疆生产建设兵团人民检察院：

《最高人民检察院关于办理当事人达成和解的轻微刑事案件的若干意见》已经2010年12月2日最高人民检察院第十一届检察委员会第五十次会议通过，现印发你们，请认真贯彻执行。

最高人民检察院

2011年1月29日

最高人民检察院关于办理当事人达成和解的轻微刑事案件的若干意见

为了保证人民检察院在审查逮捕和公诉工作中依法正确办理当事人达成和解的轻微刑事案件，根据《中华人民共和国刑法》、《中华人民共和国刑事诉讼法》等有关法律规定，结合检察工作实际，提出如下意见：

I. Guidelines and Basic Principles

The guidelines for the people’s procuratorates to handle petty 一、指导思想和基本原则

人民检察院办理当事人达成和解的

criminal cases where the parties have reached reconciliation are: in accordance with the overall requirements of the Commission of Politics and Law of the CPC Central Committee for thoroughly promoting the three major tasks, to correctly execute the criminal policy of combining leniency and strictness, give full effect to the functional roles of the procuratorial organs in solving social conflicts and building a harmonious socialist society, maintain social fairness and justice, and promote social harmony and stability.

When handling a petty criminal case where the parties have reached reconciliation, a people’s procuratorate must follow the following principles:

1. Paying equal attention to handling a case pursuant to law and solving social conflicts;

2. Paying equal attention to punishing crimes and protecting human rights; and

3. Harmonizing the legal effects and social effects. 轻微刑事案件的指导思想是：按照中央关于深入推进三项重点工作的总体要求，正确贯彻宽严相济刑事政策，充分发挥检察机关在化解社会矛盾和构建社会主义和谐社会中的职能作用，维护社会公平正义、促进社会和谐稳定。

办理当事人达成和解的轻微刑事案件，必须坚持以下原则：

1．依法办案与化解矛盾并重；2．惩罚犯罪与保障人权并重；3．实现法律效果与社会效果的有机统一。

II. Scope of Application and Conditions

These Opinions may apply to a criminal case in public prosecution where the accused is likely to be sentenced to imprisonment of not more than three years, criminal detention, public surveillance or a fine only.

A criminal case within the aforesaid scope must satisfy all of the following conditions:

1. It is an intentional crime with a specific victim or a negligent crime with a direct victim;

2. The case facts are clear and the evidence is hard and sufficient;

3. The criminal suspect or defendant honestly pleads guilty, and has effectively performed the reconciliation agreement; or the criminal suspect or defendant has provided a valid guaranty or the mediation agreement has been confirmed by the people’s court, if the reconciliation agreement cannot be performed instantly;

4. The parties have reached reconciliation on such matters as compensation for losses, restitution, apology, and relief of mental distress; and

5. The victim and the legal representative or close relative thereof have explicitly expressed their forgiveness of the criminal suspect or defendant, and requested or agreed to a lenient punishment for the criminal suspect or defendant in accordance with law.

These Opinions do not apply to the following cases:

1. A criminal case where the accused has seriously damaged 二、关于适用范围和条件

对于依法可能判处三年以下有期徒刑、拘役、管制或者单处罚金的刑事公诉案件，可以适用本意见。上述范围内的刑事案件必须同时符合下列条件：

1．属于侵害特定被害人的故意犯罪或者有直接被害人的过失犯罪；2．案件事实清楚，证据确实、充分；

3．犯罪嫌疑人、被告人真诚认罪，并且已经切实履行和解协议。对于和解协议不能即时履行的，已经提供有效担保或者调解协议经人民法院确认；

4．当事人双方就赔偿损失、恢复原状、赔礼道歉、精神抚慰等事项达成和解；

5．被害人及其法定代理人或者近亲属明确表示对犯罪嫌疑人、被告人予以谅解，要求或者同意对犯罪嫌疑人、被告人依法从宽处理。以下案件不适用本意见：

1．严重侵害国家、社会公共利益，严重危害公共安全或者危害社会公共秩序的犯罪案件；

2．国家工作人员职务犯罪案件；

the national or public interests, endangered the public security or disrupted the public order;

2. A case about malfeasance of a state functionary; and

3. A criminal case where the accused has damaged the lawful rights and interests of an unspecific majority of people. 3．侵害不特定多数人合法权益的犯罪案件。

III. Contents of Reconciliation Reached by the Parties

The parties may reach reconciliation on such civil liability matters as compensation for losses, restitution, apology and relief of mental distress, and may reach consensus on the lenient punishment of the criminal suspect or defendant by the public security and judicial organs as requested or allowed by the victim and the legal representative or close relative thereof. However, the parties shall not negotiate matters which fall within the functions of the public security and judicial organs such as determination of case facts, evidence, application of law, conviction and sentencing.

The parties or their legal representatives are entitled to reach reconciliation, and the close relatives and lawyers of the parties and other persons authorized by the parties may negotiate reconciliation and other matters on behalf of the parties. Where the parties have reached reconciliation, they shall sign a written agreement, which must be confirmed by the parties or their legal representatives. The criminal suspect or defendant must make an apology to the victim in person or in writing and show genuine remorse.

In general, the compensation for losses in a reconciliation agreement shall correspond to the legal liability assumed and damage caused to the victim, and the compensation and remedy capabilities of the criminal suspect or defendant and the legal representative thereof may be taken into consideration. 三、关于当事人和解的内容

当事人双方可以就赔偿损失、恢复原状、赔礼道歉、精神抚慰等民事责任事项进行和解，并且可以就被害人及其法定代理人或者近亲属是否要求或者同意公安、司法机关对犯罪嫌疑人、被告人依法从宽处理达成一致，但不得对案件的事实认定、证据和法律适用、定罪量刑等依法属于公安、司法机关职权范围的事宜进行协商。

双方当事人或者其法定代理人有权达成和解，当事人的近亲属、聘请的律师以及其他受委托的人，可以代为进行协商和解等事宜。双方达成和解的，应当签订书面协议，并且必须得到当事人或者其法定代理人的确认。犯罪嫌疑人、被告人必须当面或者书面向被害人一方赔礼道歉、真诚悔罪。

和解协议中的损害赔偿一般应当与其承担的法律责任和对被害人造成的损害相适应，并且可以酌情考虑犯罪嫌疑人、被告人及其法定代理人的赔偿、补救能力。

IV. Ways for the Parties to Reach Reconciliation and the Connecting Mechanism for Procuratorial Organs and People’s Mediation Organizations

Reconciliation between the parties includes reconciliation reached by the parties themselves and reconciliation reached after mediation by an organization or individual such as a people’s mediation committee, a self-governing organization at the basic level, or the employer, a colleague or a relative of a party.

A people’s procuratorate shall actively communicate with and closely cooperate with a people’s mediation organization to establish a connecting mechanism, timely inform the parties of their rights to apply for the people’s mediation, the application 四、关于当事人达成和解的途径与检调对接

当事人双方的和解，包括当事人双方自行达成和解，也包括经人民调解委员会、基层自治组织、当事人所在单位或者同事、亲友等组织或者个人调解后达成和解。

人民检察院应当与人民调解组织积极沟通、密切配合，建立工作衔接机制，及时告知双方当事人申请委托人民调解的权利、申请方法和操作程序以及达成调解协议后的案件处理方式，支持配合人民调解组织

methods, the operating procedures and the modes of case handling after the parties reach a mediation agreement, and give support and assistance to the people’s mediation organization.

For the following cases meeting the scope of application and conditions as set out in these Opinions, a people’s procuratorate may advise the parties to reach reconciliation, inform them of their related rights and obligations, and if necessary, provide legal consultation:

1. A case described in item 2 of Article 170 of the Criminal Procedure Law, which is opened for investigation by a public security organ;

2. A petty criminal case where the accused is a minor or student; and

3. A petty criminal case where the accused is a person at the age of 70 or more.

Where the criminal suspect or defendant or the relative or defender thereof forces or induces the victim into reaching reconciliation by violence, threat, cheating or any other illegal means, or threatens or retaliates upon the victim after the performance of the agreement is completed, the provisions on no arrest or no public prosecution shall not apply. If a decision on no arrest or no public prosecution has been made, the people’s procuratorate shall revoke the decision, and arrest or institute a public prosecution against the criminal suspect or defendant in accordance with law.

A criminal suspect or defendant or the relative or defender thereof which commits an aforesaid act seriously shall be subject to legal liability in accordance with law. 的工作。

人民检察院对于符合本意见适用范围和条件的下列案件，可以建议当事人进行和解，并告知相应的权利义务，必要时可以提供法律咨询：l．由公安机关立案侦查的刑事诉讼法第一百七十条第二项规定的案件；

2．未成年人、在校学生犯罪的轻微刑事案件；

3．七十周岁以上老年人犯罪的轻微刑事案件。

犯罪嫌疑人、被告人或者其亲友、辩护人以暴力、威胁、欺骗或者其他非法方法强迫、引诱被害人和解，或者在协议履行完毕之后威胁、报复被害人的，不适用有关不捕不诉的规定，已经作出不逮捕或者不起诉决定的，人民检察院应当撤销原决定，依法对犯罪嫌疑人、被告人逮捕或者提起公诉。

犯罪嫌疑人、被告人或者其亲友、辩护人实施前款行为情节严重的，依法追究其法律责任。

V. Examination of a Reconciliation Agreement Reached by the Parties

A people’s procuratorate shall examine a reconciliation agreement reached by the parties mainly from the following aspects:

1. whether the parties have reached reconciliation voluntarily;

2. whether the amount of economic compensation by the accused corresponds to the damage caused, whether the compensation capability of the accused has been taken into consideration, whether the criminal suspect or defendant has showed genuine remorse and actively performed the reconciliation agreement, whether the criminal suspect or defendant has provided a valid guaranty for the performance of the agreement, or whether the mediation agreement has been confirmed by the people’s court;五、关于对当事人和解协议的审查人民检察院对当事人双方达成的和解协议，应当重点从以下几个方面进行审查：

1．当事人双方是否自愿；

2．加害方的经济赔偿数额与其所造成的损害是否相适应，是否酌情考虑其赔偿能力。犯罪嫌疑人、被告人是否真诚悔罪并且积极履行和解协议或者是否为协议履行提供有效担保或者调解协议经人民法院确认；

3．被害人及其法定代理人或者近亲属是否明确表示对犯罪嫌疑人、被告人予以谅解；

3. whether the victim and the legal representative or close relative thereof have clearly stated their forgiveness of the criminal suspect or defendant;

4. whether the reconciliation agreement complies with law;

5. whether the reconciliation agreement damages the national, collective or public interests or the lawful rights and interests of other persons; and

6. whether the reconciliation agreement complies with social morality.

During examination, the people’s procuratorate shall hear the opinions of both parties on reconciliation face to face, inform the victim of the legal consequences of the possible lighter punishment in the criminal case, inform both parties of their respective rights and obligations, and keep a record of this process. 4．是否符合法律规定；

5．是否损害国家、集体和社会公共利益或者他人的合法权益；6．是否符合社会公德。

审查时，应当当面听取当事人双方对和解的意见、告知被害人刑事案件可能从轻处理的法律后果和双方的权利义务，并记录在案。

VI. Handling of Cases Where the Parties Have Reached Reconciliation by the Procuratorial Organs

If a case where a public security organ requests an approval of arrest meets the scope of application and conditions as set out in these Opinions, it shall be taken into consideration as a major factor for unnecessary arrest, and the people’s procuratorate may, genrally, decide not to approve the arrest; if an arrest has been approved and the public security organ notifies the people’s procuratorate of a modification of the comp ulsory measure, the people’s procuratorate shall conduct supervision in accordance with law; during the stage of examination for prosecution, the compulsory measure may be modified according to law provided that the legal proceedings are not adversely affected.

If a petty criminal case described in item 2 of Article 170 of the Criminal Procedure Law, which is opened for investigation and transferred for prosecution examination by a public security organ, meets the scope of application and conditions as set out in these Opinions, the people’s procuratorate may, generally, decide not to institute a public prosecution.

If any other petty criminal case meets the scope of application and conditions as set out in these Opinions, it may be considered as a major factor for unnecessary criminal punishment for a petty crime or for exemption from criminal punishment, and the people’s procuratorate may, generally, decide not to institute a public prosecution. If a public prosecution must be instituted according to law, t he people’s procuratorate may offer a sentencing suggestion for lenient punishment within the statutory range. 六、关于检察机关对当事人达成和解案件的处理

对于公安机关提请批准逮捕的案件，符合本意见规定的适用范围和条件的．应当作为无逮捕必要的重要因素予以考虑，一般可以作出不批准逮捕的决定；已经批准逮捕，公安机关变更强制措施通知人民检察院的，应当依法实行监督；审查起诉阶段，在不妨碍诉讼顺利进行的前提下，可以依法变更强制措施。

对于公安机关立案侦查并移送审查起诉的刑事诉讼法第一百七十条第二项规定的轻微刑事案件，符合本意见规定的适用范围和条件的，一般可以决定不起诉。

对于其他轻微刑事案件，符合本意见规定的适用范围和条件的，作为犯罪情节轻微，不需要判处刑罚或者免除刑罚的重要因素予以考虑，一般可以决定不起诉。对于依法必须提起公诉的，可以向人民法院提出在法定幅度范围内从宽处理的量刑建议。

对被不起诉人需要给予行政处罚、行政处分或者需要没收其违法所得的，应当提出检察意见，移送有关主管机关处理。

If an administrative punishment or an administrative disciplinary action against the person not prosecuted is required or the illegal income ther eof needs to be confiscated, the people’s procuratorate shall offer a procuratorial opinion and transfer the case to relevant competent authority for handling.

For a case where the parties have reached reconciliation and the people’s procuratorate decides not to institute a public prosecution, the people’s procuratorate shall, before announcing its decision on no public prosecution, hear again the opinions of both parties on reconciliation, and verify whether the criminal suspect has shown genuine remorse, whether the reconciliation agreement has been performed, whether a valid guaranty has been provided for the performance of the agreement or whether the mediation agreement has been confirmed by a people’s court.

For a case where the accused may be sentenced to imprisonment of more than three years in accordance with law and the parties have reached a reconciliation agreement, when the people’s procuratorate institutes a public prosecution, it may offer a sentencing suggestion on lenient punishment within the statutory range. For a crime with especially serious circumstances and especially serious harm to the society, besides the reconciliation factor, the people’s procuratorate shall also pay attention to the educational and preventative functions of the Criminal Law. 对于当事人双方达成和解、决定不起诉的案件，在宣布不起诉决定前应当再次听取双方当事人对和解的意见，并且查明犯罪嫌疑人是否真诚悔罪、和解协议是否履行或者为协议履行提供有效担保或者调解协议经人民法院确认。

对于依法可能判处三年以上有期徒刑刑罚的案件，当事人双方达成和解协议的，在提起公诉时，可以向人民法院提出在法定幅度范围内从宽处理的量刑建议。对于情节特别恶劣，社会危害特别严重的犯罪，除了考虑和解因素，还应注重发挥刑法的教育和预防作用。

VII. Legally Standardizing the Handling of Cases where the Parties Have Reached Reconciliation

When a people’s procuratorate handles a case pursua nt to these Opinions, it shall observe the provisions on time limits for handling cases of the Criminal Procedure Law and the Criminal Procedure Rules for the People’s Procuratorates.

Where a decision on no arrest or no public prosecution is to be made in a petty criminal case where the parties have reached reconciliation pursuant to these Opinions, the procuratorial committee shall deliberate and decide it.

A people’s procuratorate shall strengthen its supervisory inspection on cases where the parties have reached reconciliation during arrest approval or prosecution examination. Where any violation of law or disciplines is found, if the violation is petty, the people’s procuratorate shall give criticism and education of the violator; if the violation is serious, it shall take a Party measure or disciplinary action against the violator according to the relevant provisions; if the violation constitutes a crime, the violator shall be subject to criminal 七、依法规范当事人达成和解案件的办理工作

人民检察院适用本意见办理案件，应当遵守《中华人民共和国刑事诉讼法》、《人民检察院刑事诉讼规则》等有关办案期限的规定。

根据本意见，拟对当事人达成和解的轻微刑事案件作出不批准逮捕或者不起诉决定的，应当由检察委员会讨论决定。

人民检察院应当加强对审查批捕、审查起诉工作中办理当事人达成和解案件的监督检查，发现违法违纪，情节轻微的，应当给予批评教育；情节严重的，应当根据有关规定给予组织处理或者纪律处分；构成犯罪的，依法追究刑事责任。

liability according to law.