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| Nineteenth Group of Guiding Cases Published by the Supreme People's Procuratorate | | 最高人民检察院关于印发最高人民检察院第十九批指导性案例的通知 |
| (No. 24 [2020] of the Supreme People's Procuratorate) | | （高检发办字[2020]24号） |
| The people's procuratorates at all levels: | | 各级人民检察院： |
| It is hereby decided at the 30th session of the Thirteenth Procuratorial Committee of the Supreme People's Procuratorate on December 31, 2019, to issue three guiding cases including Case of Supervision of Commutation of Sentence of 12 Convicts on Probation Including Cai (Cases No. 70 to 72 of the Supreme People's Procuratorate) as the nineteenth group of guiding cases to apply mutatis mutandis. | | 经2019年12月31日最高人民检察院第十三届检察委员会第三十次会议决定，现将宣告缓刑罪犯蔡某等12人减刑监督案等三件指导性案例（检例第70－72号）作为第十九批指导性案例发布，供参照适用。 |
| Supreme People's Procuratorate | | 最高人民检察院 |
| January 28, 2020 | | 2020年2月28日 |
| Case No. 1 | | 案例一 |
| Case of Supervision of Commutation of Sentence of 12 Convicts on Probation Including Cai | | 宣告缓刑罪犯蔡某等12人减刑监督案 |
| (Case No. 70 of the Supreme People's Procuratorate) | | （检例第70号） |
| Keywords: | | 关键词 |
| commutation of sentence convicts on probation | | 缓刑罪犯减刑 |
| continuous supervision | | 持续跟进监督 |
| legal force of local regulatory documents | | 地方规范性文件法律效力 |
| opinions on a final ruling to correct violations | | 最终裁定纠正违法意见 |
| Key Points | | 要旨 |
| Commutation of sentence is generally not applicable to a criminal under sentence of criminal detention or a fixed-term imprisonment of not more than three years and on probation who shows repentance or performs an ordinary meritorious act during the probation period. If a major meritorious act is performed during the probation period, commutation may be granted in accordance with Article 78 of the Criminal Law, mutatis mutandis. If the people's court erroneously applies the law in its ruling to grant commutation to a convict on probation, the people's procuratorate shall provide a corrective opinion in accordance with the law. If the people's court enters a ruling to affirm its original commutation ruling, the people's procuratorate shall continue supervision. | | 对于判处拘役或者三年以下有期徒刑并宣告缓刑的罪犯，在缓刑考验期内确有悔改表现或者有一般立功表现，一般不适用减刑。在缓刑考验期内有重大立功表现的，可以参照刑法第七十八条的规定予以减刑。人民法院对宣告缓刑罪犯裁定减刑适用法律错误的，人民检察院应当依法提出纠正意见。人民法院裁定维持原减刑裁定的，人民检察院应当继续予以监督。 |
| Basic Facts | | 基本案情 |
| Criminal Cai (with part name withheld, the same below), female, born on September 6, 1966, was sentenced to a fixed-term imprisonment of three years with a four-year suspension for the crime of acceptance of a bribe with a four-year suspension, on probation from January 4, 2010 to January 4, 2010, by the Yuhuatai District People's Court of Nanjing City, Jiangsu Province on December 22, 2009. Eleven other convicts including Chen , Ding , and Hu were sentenced to fixed-term imprisonments and placed on probation by the people's court for the crimes of intentional injury, theft, and fraud, among others. The above 12 convicts on probation received community corrections in seven municipal districts of Nanjing City. | | 罪犯蔡某，女，1966年9月6日出生，因犯受贿罪于2009年12月22日被江苏省南京市雨花台区人民法院判处有期徒刑三年，缓刑四年，缓刑考验期自2010年1月4日起至2014年1月3日止。另有罪犯陈某某、丁某某、胡某等11人分别因犯故意伤害、盗窃、诈骗等罪被人民法院判处有期徒刑并宣告缓刑。上述12名缓刑罪犯，分别在南京市的7个市辖区接受社区矫正。 |
| In January 2013, the Nanjing Municipal Bureau of Justice submitted a commutation proposal to the Intermediate People's Court of Nanjing City on the grounds that 12 convicts including Cai showed repentance during the period of community correction. On February 7, 2013, the Intermediate People's Court of Nanjing City respectively ruled that the fixed-term imprisonments be commuted by three months to six months of 12 convicts including Cai A, on the grounds that the convicts were able to admit guilt, abide by the laws and regulations, and the relevant provisions of community corrections and showed repentance, according to Article 78 of the Criminal Law, and shortened the probation period accordingly. | | 2013年1月，南京市司法局以蔡某等12名罪犯在社区矫正期间确有悔改表现为由，向南京市中级人民法院提出减刑建议。2013年2月7日，南京市中级人民法院以蔡某等12名罪犯能认罪服法、遵守法律法规和社区矫正相关规定、确有悔改表现为由，依照刑法第七十八条规定，分别对上述罪犯裁定减去六个月、三个月不等的有期徒刑，并相应缩短缓刑考验期。 |
| Supervision by Procuratorial Agency | | 检察机关监督情况 |
| Discovery of Clues: In August 2014, the People's Procuratorate of Nanjing City discovered during a special procuratorial campaign on commutation, parole, and temporary service of a sentence outside an incarceration facility that the Intermediate People's Court of Nanjing City failed to serve certain commutation and parole rulings entered before August 2014, on the People's Procuratorate of Nanjing City within the statutory period and subsequently submitted a written corrective opinion according to the law. The Intermediate People's Court of Nanjing City accepted the supervisory opinion and served the commutation and parole rulings on the People's Procuratorate of Nanjing City. The People's Procuratorate of Nanjing City discovered by comparing the commutation and parole rulings with the information database for persons in custody and the information database for community correction objects in its jurisdiction one by one that it might be improper for the Intermediate People's Court of Nanjing City to enter commutation rulings for of 12 convicts on probation including Cai . | | 线索发现 2014年8月，南京市人民检察院在开展减刑、假释、暂予监外执行专项检察活动中发现，南京市中级人民法院对2014年8月之前作出的部分减刑、假释裁定，未按法定期限将裁定书送达南京市人民检察院，随后依法提出书面纠正意见。南京市中级人民法院接受监督意见，将减刑、假释裁定书送达南京市人民检察院。南京市人民检察院通过将减刑、假释裁定书与辖区内在押人员信息库和社区矫正对象信息库进行逐一比对，发现南京市中级人民法院对蔡某等12名缓刑罪犯裁定减刑可能不当。 |
| Investigation and Verification: In order to ascertain whether the 12 convicts on probation including Cai met the conditions for commutation, the People's Procuratorate of Nanjing City took the lead, organized a joint investigation by the relevant district people's procuratorates, accessed the original materials on file of the 12 convicts including Cai during the period of community correction, and visited community correction departments, sub-districts, and communities to learn about the actual performance, rewards and punishments, and major meritorious acts of relevant convicts during the period of community correction. According to the investigation and verification, the 12 convicts on probation including Cai were able to admit guilt in period of community correction, seriously participated in various correction activities, reported statutory matters on time, received commendations several times, and all showed repentance, but none of them performed a major meritorious act. | | 调查核实 为查明蔡某等12名缓刑罪犯是否符合减刑条件，南京市人民检察院牵头，组织有关区人民检察院联合调查，调取了蔡某等12名罪犯在社区矫正期间的原始档案材料，并实地走访社区矫正部门、基层街道社区，了解相关罪犯在社区矫正期间实际表现、奖惩、有无重大立功表现等情况。经调查核实，蔡某等12名缓刑罪犯，虽然在社区矫正期间能够认罪服法，认真参加各类矫治活动，按期报告法定事项，受到多次表扬，均确有悔改表现，但是均无重大立功表现。 |
| Supervisory Opinion: The People's Procuratorate of Nanjing City discovered upon examination that the ruling entered by the Intermediate People's Court of Nanjing City to grant commutation to convicts on probation who did not perform a major meritorious act contravened Article 13 of the Provisions of the Supreme People's Court on Several Issues Concerning the Application of Law in Handling Cases of Commutation and Parole (Interpretation No. 2 [2012], SPC): "In general, commutation shall not apply to any convict sentenced to criminal detention or a fixed-term imprisonment of less than three years with probation. Where a convict as prescribed in the preceding paragraph performs a major meritorious act during probation period, the convict's sentence may be commuted pursuant to Article 78 of the Criminal Law, and the probation period shall be concurrently shortened in accordance with law. The probation period for criminal detention shall not be less than two months, and that for fixed-term imprisonment shall not be less than one year." and should be corrected in accordance with the law. On October 14, 2014, the People's Procuratorate of Nanjing City respectively delivered 12 Opinions on Correction of Improper Commutation Rulings to the Intermediate People's Court of Nanjing City. The Intermediate People's Court of Nanjing City established another collegial panel to try the above cases and entered criminal rulings on December 4, 2014, affirming the commutation of the 12 convicts including Cai , on the main grounds that in accordance with the relevant provisions of regulatory documents on community corrections formulated by the people's courts, people's procuratorates, public security agencies, and judicial administrative agencies of Jiangsu Province and Nanjing City in 2004 and 2006, the 12 convicts including Cai were commended many times during the period of community correction, showed repentance, and might be given commutation, and the original criminal rulings were thus not improper. After another examination, the People's Procuratorate of Nanjing City held that the criminal ruling entered by the Intermediate People's Court of Nanjing City still contravened the law and delivered a Notice of Correction of Violations to the court on December 24, 2014, requiring the court to take corrective action. | | 监督意见 南京市人民检察院经审查认为，南京市中级人民法院对没有重大立功表现的缓刑罪犯裁定减刑，违反了《最高人民法院关于办理减刑、假释案件具体应用法律若干问题的规定》（法释〔2012〕2号）第十三条“判处拘役或者三年以下有期徒刑并宣告缓刑的罪犯，一般不适用减刑。前款规定的罪犯在缓刑考验期限内有重大立功表现的，可以参照刑法第七十八条的规定，予以减刑，同时应依法缩减其缓刑考验期限。拘役的缓刑考验期限不能少于二个月，有期徒刑的缓刑考验期限不能少于一年”的规定，依法应当予以纠正。2014年10月14日南京市人民检察院向南京市中级人民法院分别发出12份《纠正不当减刑裁定意见书》。南京市中级人民法院重新组成合议庭对上述案件进行审理，2014年12月4日作出了维持对蔡某等12名罪犯减刑的刑事裁定。主要理由是，依据2004年、2006年江苏省、南京市两级人民法院、人民检察院、公安机关、司法行政机关先后制定的有关社区矫正规范性文件的有关规定，蔡某等12名罪犯在社区矫正期间受到多次表扬，确有悔改表现，可以给予减刑，因此原刑事裁定并无不当。经再次审查，南京市人民检察院认为南京市中级人民法院的刑事裁定仍违反法律规定，于2014年12月24日向该院发出《纠正违法通知书》，要求该院纠正。 |
| On January 8, 2015, the Intermediate People's Court of Nanjing City established a separate collegial panel to try the above cases; the People's Procuratorate of Nanjing City appointed its staff to appear in court according to the law, read the Notice of Correction of Violations, and state a procuratorial opinion; and the Nanjing Municipal Bureau of Justice, as the agency requesting commutation, appointed its staff to appear in court and state its opinion, claiming that during the pilot program of community corrections, in order to motivate community correction objects to accept corrections, the relevant departments of Jiangsu Province and Nanjing City formulated regulatory documents, stating that a community correction object commended many times might be given a commutation, and that these regulatory documents, which had not yet been repealed, might be used as basis for commutation. The public procurator in court pointed out that as the Measures for the Implementation of Community Correction (No. 12 [2012], Ministry of Justice), effective on March 1, 2012, clearly required that meeting the statutory conditions for commutation be a prerequisite for communal correction objects to receive commutation, the law and judicial interpretations should apply to the commutation of convicts on probation, instead of local regulatory documents in conflict with the law and judicial interpretations. | | 2015年1月8日，南京市中级人民法院重新另行组成合议庭对上述案件进行了审理；南京市人民检察院依法派员出庭，宣读了《纠正违法通知书》，发表了检察意见；南京市司法局作为提请减刑的机关，派员出庭发表意见，认为在社区矫正试点期间，为了调动社区矫正对象接受矫正积极性，江苏省、南京市有关部门先后制定规范性文件，规定对获得多次表扬的社区矫正对象可以给予减刑。这些规范性文件目前还没有废止，可以作为减刑的依据。出庭检察人员指出，2012年3月1日实施的《社区矫正实施办法》（司发通〔2012〕12号）明确规定，符合法定减刑条件是为社区矫正人员办理减刑的前提，因此，对缓刑罪犯减刑应当适用法律和司法解释的规定，不应当适用与法律和司法解释相冲突的地方规范性文件。 |
| Supervision Results: On January 21, 2015, the Intermediate People's Court of Nanjing City entered new criminal rulings, agreed to the corrective opinion of the People's Procuratorate of Nanjing City, determined that the original commutation rulings and the original retrial commutation rulings entered by the court for 12 convicts on probation including Cai were erroneous in the application of law, and respectively ruled that the original commutation rulings and the original retrial commutation rulings should be set aside, the 12 convicts on probation including Cai should be denied commutation, and the remaining probation period should continue. After the rulings took effect, the Intermediate People's Court of Nanjing City delivered the legal documents to the execution agencies in a timely manner, and the 12 convicts on probation including Cai reported to the original district bureaus of justice within the statutory period to accept community corrections. | | 监督结果 2015年1月21日，南京市中级人民法院重新作出刑事裁定，同意南京市人民检察院的纠正意见，认定该院对蔡某等12名缓刑罪犯作出的原减刑裁定、原再审减刑裁定，系适用法律错误，分别裁定撤销原减刑裁定、原再审减刑裁定，对蔡某等12名缓刑罪犯不予减刑，剩余缓刑考验期继续执行。裁定生效后，南京市中级人民法院及时将法律文书交付执行机关执行，蔡某等12名罪犯在法定期限内到原区司法局报到，接受社区矫正。 |
| Guiding Significance | | 指导意义 |
| 1. If the people's court erroneously applies the law in its commutation ruling, the people's procuratorate shall supervise corrective action according to the law. When handling a commutation or parole case, the people's procuratorate shall accurately grasp the regulatory documents on which the court's commutation or parole ruling is based. Judicial interpretation documents formulated by local people's courts and people's procuratorates shall be reviewed in accordance with the Notice by the Supreme People's Court and the Supreme People's Procuratorate of Prohibiting Local People's Courts and People's Procuratorates from Formulating Documents of a Nature of Judicial Interpretation. If the people's court enters a ruling based on any judicial interpretation document formulated by a local people's court or people's procuratorate, there is an erroneous application of law, and the people's procuratorate shall submit a written supervisory and corrective opinion to the people's court in accordance with the law and supervise the people's court establishing another collegial panel to conduct a trial. | | 1.人民法院减刑裁定适用法律错误，人民检察院应当依法监督纠正。人民检察院在办理减刑、假释案件时，应准确把握法院减刑、假释裁定所依据规范性文件。对于地方人民法院、人民检察院制定的司法解释性文件，应当根据《最高人民法院 最高人民检察院关于地方人民法院、人民检察院不得制定司法解释性质文件的通知》予以清理。人民法院依据地方人民法院、人民检察院制定的司法解释性文件作出裁定的，属于适用法律错误，人民检察院应当依法向人民法院提出书面监督纠正意见，监督人民法院重新组成合议庭进行审理。 |
| 2. If the people's court enters a ruling to grant commutation to a convict on probation who has not performed a major meritorious act, the people's procuratorate shall supervise corrective action. Commutation and parole are China's important execution systems of criminal punishment, and no commutation or parole may be granted, unless the statutory conditions and statutory procedures are met. According to the relevant laws and judicial interpretations, in general, commutation shall not apply to any convict sentenced to criminal detention or a fixed-term imprisonment of less than three years with probation; and where a convict as prescribed in the preceding paragraph performs a major meritorious act during probation period, the convict's sentence may be commuted pursuant to Article 78 of the Criminal Law. Therefore, the statutory condition for applying commutation to convicts on probation is limited to the performance of a major meritorious act during the probation period. According to the relevant provisions of the Community Correction Law, the people's procuratorate shall implement legal supervision over the community correction work according to the law, and if it discovers that the commutation proposal for a convict on probation given by a community correction agency to the people's court is improper, it shall offer a corrective opinion as legally required; and if it discovers that the people's court enters a ruling to grant commutation to a convict on probation who shows repentance or performs an ordinary meritorious act, instead of a major meritorious act, it shall deliver an Opinion on Correction of an Improper Commutation Ruling to the people's court in accordance with the law, stating the reasons, basis and opinions for supervision, and supervise the people's court establishing a new collegial panel to conduct a trial and make a final ruling. | | 2.人民法院对没有重大立功表现的缓刑罪犯裁定减刑的，人民检察院应当予以监督纠正。减刑、假释是我国重要的刑罚执行制度，不符合法定条件和非经法定程序，不得减刑、假释。根据有关法律和司法解释的规定，判处拘役或者三年以下有期徒刑并宣告缓刑的罪犯，一般不适用减刑；在缓刑考验期限内有重大立功表现的，可以参照刑法第七十八条的规定，予以减刑。因此，对缓刑罪犯适用减刑的法定条件限是在缓刑考验期限内有重大立功表现。根据《社区矫正法》的有关规定，人民检察院依法对社区矫正工作实行法律监督，发现社区矫正机构对宣告缓刑的罪犯向人民法院提出减刑建议不当的，应当依法提出纠正意见；发现人民法院对于确有悔改表现或者有一般立功表现但没有重大立功表现的缓刑罪犯裁定减刑的，应当依法向人民法院发出《纠正不当减刑裁定意见书》，申明监督理由、依据和意见，监督人民法院重新组成合议庭进行审理并作出最终裁定。 |
| 3. If the people's procuratorate discovers that an effective commutation or parole ruling entered by the people's court remains erroneous, it shall continue to offer a written corrective opinion to the people's court. After the people's procuratorate has offered a corrective opinion on the commutation or parole ruling entered by the people's court, it shall supervise the people's court establishing another collegial panel to conduct a trial within one month after receiving the corrective opinion and supervise whether a new ruling entered by the people's court conforms with the law. If the new ruling entered by the people's court still does not conform with the law, the people's procuratorate shall continue offering a corrective opinion to the people's court and request the people's court to form another collegial panel in accordance with the trial supervision procedures to conduct a retrial and enter a ruling. If the people's court still does not accept the corrective opinion, the people's procuratorate shall request a higher people's procuratorate to continue supervision. | | 3.人民检察院发现人民法院已经生效的减刑、假释裁定仍有错误的，应当继续向人民法院提出书面纠正意见。人民检察院对人民法院减刑、假释的裁定提出纠正意见后，应当监督人民法院在收到纠正意见后一个月内重新组成合议庭进行审理，并监督人民法院重新作出的裁定是否符合法律规定。人民法院重新作出的裁定仍不符合法律规定的，人民检察院应当继续向人民法院提出纠正意见，提请人民法院按照审判监督程序依法另行组成合议庭重新审理并作出裁定。对人民法院仍然不采纳纠正意见的，人民检察院应当提请上级人民检察院继续监督。 |
| Relevant Provisions | | 相关规定 |
| Article 78 of the Criminal Law of the People's Republic of China: The punishment of a criminal sentenced to public surveillance, criminal detention, fixed-term imprisonment or life imprisonment may be commuted if, while serving his sentence, he conscientiously observes prison regulations, accepts education and reform through labor and shows true repentance or performs meritorious services; the sentence shall be commuted if a criminal performs any of the following major meritorious services: | | 《中华人民共和国刑法》第七十八条 被判处管制、拘役、有期徒刑、无期徒刑的犯罪分子，在执行期间，如果认真遵守监规，接受教育改造，确有悔改表现的，或者有立功表现的，可以减刑；有下列重大立功表现之一的，应当减刑： |
| (1) preventing another person from conducting major criminal activities; | | （一）阻止他人重大犯罪活动的； |
| (2) reporting major criminal activities committed inside or outside prison and verified through investigation; | | （二）检举监狱内外重大犯罪活动，经查证属实的； |
| (3) having inventions or important technical innovations to his credit; | | （三）有发明创造或者重大技术革新的； |
| (4) coming to the rescue of another in production and everyday life at the risk of losing his own life; | | （四）在日常生产、生活中舍己救人的； |
| (5) performing remarkable services in fighting against natural disasters or curbing major accidents; or | | （五）在抗御自然灾害或者排除重大事故中，有突出表现的； |
| (6) making other major contributions to the country and society. | | （六）对国家和社会有其他重大贡献的。 |
| After commutation, the actually executed term of criminal penalty shall not be: | | 减刑以后实际执行的刑期不能少于下列期限： |
| (1) less than 1/2 of the original term of criminal penalty, if control, criminal detention or fixed-term imprisonment is imposed; | | （一）判处管制、拘役、有期徒刑的，不能少于原判刑期的二分之一； |
| (2) less than 13 years, if life imprisonment is imposed; or | | （二）判处无期徒刑的，不能少于十三年； |
| (3) less than 25 years if the death penalty with a reprieve imposed on a convict is legally commuted to life imprisonment upon expiration of the reprieve period, or less than 20 years if it is commuted to imprisonment of 25 years upon expiration of the reprieve period, where the people's court has put restrictions on commutation of the death penalty with a reprieve according to paragraph 2, Article 50 of this Law. | | （三）人民法院依照本法第五十条第二款规定限制减刑的死刑缓期执行的犯罪分子，缓期执行期满后依法减为无期徒刑的，不能少于二十五年，缓期执行期满后依法减为二十五年有期徒刑的，不能少于二十年。 |
| Article 13 of the Provisions of the Supreme People's Court on Several Issues Concerning the Application of Law in Handling Cases of Commutation and Parole (Interpretation No. 2 [2012], SPC): In general, commutation shall not apply to any convict sentenced to criminal detention or a fixed-term imprisonment of less than three years with probation. | | 《最高人民法院关于办理减刑、假释案件具体应用法律若干问题的规定》（法释〔2012〕2号）第十三条 判处拘役或者三年以下有期徒刑并宣告缓刑的罪犯，一般不适用减刑。 |
Where a convict as prescribed in the preceding paragraph performs a major meritorious act during probation period, the convict's sentence may be commuted pursuant to Article 78 of the Criminal Law, and the probation period shall be concurrently shortened in accordance with the law. The probation period for criminal detention shall not be less than two months, and that for fixed-term imprisonment shall not be less than one year.
．．．．．． | | 前款规定的罪犯在缓刑考验期限内有重大立功表现的，可以参照刑法第七十八条的规定，予以减刑，同时应依法缩减其缓刑考验期限。拘役的缓刑考验期限不能少于二个月，有期徒刑的缓刑考验期限不能少于一年。
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