不得强迫自证其罪与应如实回答的理解与适用
－－浅议新刑事诉讼法
我国在进行刑事诉讼法的再修改过程中，关于是否增加“不得强迫自证其罪”，也即“不得采取暴力、胁迫、强迫的方式证明自己有罪或做出致使自己不利的陈述”，备受社会关注。普遍认为，增加规定“不得强迫自证其罪”能从根源上遏制刑讯逼供，但前提是必须废除原有刑诉法中关于“犯罪嫌疑人对侦查人员的提问，应当如实回答”的规定。只有一立一废，我国刑事诉讼结构才能从根本上转向以平等对抗为基础、以保障人权为核心的当事人主义诉讼，才能真正实现我国刑事诉讼从传统走向现代，与国际刑事司法接轨。
2012年3月14日，新修正的《中华人民共和国刑事诉讼法》正式发布。该法第五十五条明确规定，不得强迫任何人证实自己有罪，但第一百一十八条也同时保留犯罪嫌疑人对侦查人员的提问，应当如实回答。这样的规定，不免又引起了一场新的争议，更有学者认为，嫌疑人没有拒绝的权利，也没有保持沉默的权利，这样又形成了冲突，很明显是反映了立法者对不得强迫自证其罪规定的不彻底性。应当如实回答真的与不得强迫自证其罪相矛盾吗？实则未必，矛盾不矛盾，关键还是对两条规定进行正确解读，把握其新刑诉法的立法本意。
一、关于“应当如实回答”
所谓“应当如实回答”，按照通常理解，“就是实事求是的回答，是就是，非就非，既不无中生有，又不避重就轻；既不夸大其问，又不故意缩小。”[①]也即社会大众所普遍认定的“如实陈述义务”。对于这一义务，结合我国1996年刑事诉讼法第93条关于讯问犯罪嫌疑人的两大部分程序，笔者认为应当做如下认定：第一部分是“先讯问犯罪嫌疑人有无犯罪行为，让其陈述有罪的情节或无罪的辩解”，然后进入第二部分是“向犯罪嫌疑人提问，”之后“犯罪嫌疑人针对侦查人员的提问，应当如实回答。”也即只有在犯罪嫌疑人已经“陈述有罪的情节或者无罪的辩解”的基础和前提下，立法上才要求犯罪嫌疑人如实回答。”[②]可以说，针对犯罪嫌疑人面对侦查人员的提问，笔者认为犯罪嫌疑人做到应当“如实”回答，而不是“应当回答”，这样的解释结论，也就相当于赋予犯罪嫌疑人享有沉默权。
可是，1996年刑事诉讼法的立法原意不仅是在于犯罪嫌疑人有“如实陈述义务”，而且否定犯罪嫌疑人享有沉默权，也即针对侦查人员的提问，犯罪嫌疑人必须全部回答，且需全部如实回答。这样的立法原意造成的直接后果，那就是刑讯逼供的不断发生、屡禁不止。而消除这一不利困境的唯一方式就是打破旧有立法原意，赋予犯罪嫌疑人沉默权，从保障人权的角度出发，建立更为科学、更为民主的刑事诉讼制度。因此，经过多年反复的研究和实践，2012年新修正的刑诉法之“不得强迫自证其罪”规定孕育而生。
二、“不得强迫自证其罪”的确立
“不得强迫自证其罪”通常被视为一项权利或者特权，往往被称为“反对自证其罪的权利”或者“反对自证其罪的特权”，[③]在我国有时也被译作“不受强迫自证其罪的特权”，“反对强迫自我归罪的特权”、“拒绝自我归罪的特权”、“拒绝自陷于罪的特权”或者“反对强迫性自我归罪的特免权”等等。[④]我国新刑诉法第五十条明确规定审判人员、检查人员、侦查人员必须依照法定程序，收集能够证实犯罪嫌疑人、被告人有罪或者无罪、犯罪情节轻重的各种证据。严禁刑讯逼供和以威胁、引诱、欺骗以及其他非法方法收集证据，不得强迫任何人证实自己有罪。作为一项重要的人权保障原则，很多国家都将其作为一项重要的宪法性权利予以保障，如今我国新刑诉法引入这一原则，无不是紧跟国际刑事司法准则，以赋予被告人、犯罪嫌疑人一项民主、科学的当事人刑事诉讼权利。
按照普通法解释并结合我国刑诉法条，不得强迫自证其罪规定项下，犯罪嫌疑人享有两项权利：一是犯罪嫌疑人对于是否回答侦查人员的提问享有不受强迫的权利；二是犯罪嫌疑人对于是否回答享有是否提供不利于己的陈述的权利。前者是自由权利规则，后者是沉默权利规则。自由权利规则要求只有基于犯罪嫌疑人自愿的回答、自愿的陈述才是合法的证据，只要不是自愿的，无论是何原因，均不予采纳。
因此，凡是刑讯逼供、威胁、引诱、欺骗及其他方法获取的犯罪嫌疑人陈述，均认定为非法证据予以排除。沉默权利规则则是以消极形式反对自证其罪的行为，即拒绝陈述其有罪的情节，并且犯罪嫌疑人“不回答”也不能被视为态度不好或者主观恶性深、人身危险性大，更不能以抗拒回答为由而受到惩罚。也就是说，“抗拒从严”的政策因违反了新刑诉法的立法本意，将不复存在。总之，根据“不得强迫自证其罪”原则，犯罪嫌疑人享有是否回答侦查人员提问也即是否陈述的选择权，他没有与侦查人员合作的义务，故完全可以选择不陈述而拒绝回答侦查人员的提问，这也就是充分肯定犯罪嫌疑人享有沉默权的体现。
三、二者互无矛盾、相辅相成
1996年刑事诉讼法对于“应当如实回答”的立法本意是针对侦查人员提出的与案件有关的任何提问，犯罪嫌疑人必须全部回答，并且需要全部如实回答。而随着2012年新刑诉法的正式发布，“不得强迫自证其罪”引入法条，“应当如实回答”的立法原意将改变，其立法原意将增添新的内涵，那就是针对侦查人员提出要求证实自己有罪提问，犯罪嫌疑人可以不予回答，但是一旦自愿回答提问，那就必须如实回答。
首先，根据第五十条之规定，在“不得强迫自证其罪”原则下，犯罪嫌疑人享有陈述自由权，也即他可以选择自愿陈述，也可以选择拒绝陈述，立法赋予其充分的人权保障。一旦审判人员、检查人员、侦查人员未依照法定程序，采用刑讯逼供、威胁、引诱、欺骗以及其他非法方法强迫犯罪嫌疑人证实自己有罪，该口供视为非法证据予以排除。犯罪嫌疑人享有沉默权，犯罪嫌疑人可以拒绝陈述其有罪的情节，不是“应当回答”审判人员、检查人员、侦查人员要求其供述的问题。这样侦查人员获取证据的侦查模式就顺理成章由“口供本位”转向“物证本位”了。
其次，根据第一百一十八条之规定，犯罪嫌疑人一旦选择陈述，也即针对侦查人员的提问，犯罪嫌疑人选择了进行回答，那么对侦查人员的提问就应当做到应当“如实”回答。立法给予犯罪嫌疑人充分的人权保障，一旦他放弃了这一特权而选择陈述，那么就不得虚构事实而误导侦查或者审判，否则就违反了应当“如实”回答义务。
摒弃“应当如实回答”与“不得强迫自证其罪”相冲突的错误认识，深刻领会两者间的具体内涵及新刑事诉讼法新的立法本意，方能在实务中正确的加以适用。只有如此，才能真正保障在刑事诉讼过程中依法办案，保障无罪的人不受刑事追究，保护公民的人身权利、财产权利、民主权利和其他权利，保障社会主义建设事业顺利进行。
【注释】：
①陈光中主编：《刑事诉讼法学》新编，中国政法大学出版社1996年版，第287页。
②参见樊崇义主编：《刑事诉讼法实施问题与对策研究》，中国人民大学出版社2001年版，第343页。
③参见陈光中等主编：《联合国刑事司法准则与中国刑事法制》，法律出版社2001年版，第343页。
④参见王进喜：《刑事证人证言论》，中国人民公安大学出版社，第143页。
以进养出试行办法(附英文)(已失效)
国务院
以进养出试行办法(附英文)
1979年3月26日，国务院
为了实现新时期的总任务，把工作的着重点转移到社会主义现代化建设上来，对外贸易要有一个大的发展。要引进新技术，进口成套设备，必须大量地增加出口。各有关部门和各地区，要千方百计地发展出口商品生产，在充分挖掘国内出口货源潜力的同时，积极利用国外原材料和技术，发挥国内生产能力，大力发展以进养出业务，把出口贸易做大做活，增加外汇收入，增强国家的外汇支付能力。
一、以进养出的范围：
（一）进料加工，包括进口全部原材料或主要原材料，加工成品出口；
（二）进口主件或配件，加工装配产品出口，如进口船用主机或船用仪器装配船舶出口；
（三）以国产原材料为主，进口辅助材料，加工成品出口；
（四）进口饲料、肥料、种子、种畜等，养殖、种植农副土特畜产品出口，以及用进口商品，调换国内农副土特产品出口。
二、现在由国内供应出口商品用的原料、材料和辅料，要按现行物资供应渠道继续保证供应，不得减少或中断，凡国内能增加供应的，应减少进口或不进口。实行以进养出后，各部门、各地区现在供应出口的商品，应随着生产的发展，保持出口的正常增长。
三、以进养出的商品，应当是国际市场适销，创汇率合算，产品质量符合出口要求，国内有生产能力，燃料、电力供应有保证。
四、以进养出需要的外汇，纳入国家进口用汇计划，由外贸部统一掌握使用。具体业务主要由各进出口总公司负责组织进行。各省、自治区、直辖市外贸局对以进养出外汇的使用和业务执行情况要进行监督检查。以进养出的商品需要使用银行外汇贷款时，按短期外汇贷款办法办理。对国外商人来料加工的原材料、辅料和其它物资，不论是否互开信用证，只要实际不用外汇支付的，均不应算作以进养出。
五、以进养出的商品，经外贸部门同有关地区或部门协商，纳入国家生产计划和外贸计划，并逐步实行计划单列，材料直拨，定点生产，以销定产。在保证完成国家计划的前提下，如生产尚有潜力，国外有销路，能及时出口的产品，可在计划外增加安排以进养出，由省、自治区、直辖市外贸局负责组织进行，所需外汇由外贸部专门拨给。
六、以进养出的进口物资和出口产品，不参加国内的平衡分配，逐步做到进口物资由外贸公司直拨生产单位，产品由生产单位直供外贸公司收购出口。
七、以进养出的产品，要择优安排生产。工业品要选择条件比较好的工厂定点生产。农副土特产品要因地制宜划片生产。定点和划片都要相对稳定。
八、根据军民结合、平战结合的原则，要积极发挥军工企业的生产潜力，发展以进养出商品的生产。军工企业生产供应出口产品的价格，要与民用企业的出口产品实行同质同价。
九、以进养出的工业品，外贸公司同生产或供货单位，应签订经济合同或协议，规定各自承担的义务。任何一方不按合同或协议执行而造成的损失，要承担经济赔偿的责任。
十、以进养出的农副土特畜产品，在安排进口饲料、肥料、种子、种畜等的同时，外贸公司同生产或供货单位，应商定增加供应出口商品的品种、数量、规格质量和交货时间。
十一、以进养出的工业品，外贸公司同生产或供货单位，要商定供应出口产品的合格率，原材料、辅料的消耗定额和交货时间。对于产品合格率低，质量没有保证，原材料消耗多，生产成本高的生产企业，不要安排以进养出。
十二、以进养出商品的创汇，要逐项进行核算，出口成品创汇率一般应掌握在百分之三十至五十以上。生产技术工艺比较复杂的产品，创汇率要高一些；生产技术工艺比较简单的产品，创汇率可低一些，但最低不得少于百分之三十。
十三、承担以进养出的生产企业（包括国营农场），要努力做到按时、按质、按量完成生产和供货任务。由于生产某些批量小、花色品种复杂、交货期短的出口产品，如果影响企业的正常利润，经外贸部门和有关部门商定，可由外贸公司给予必要的价外补贴。
十四、以进养出所需进口物资的国内人民币作价，原则上按照现行进口作价办法办理。对以进养出中由于进口原辅料国内调拨价格或利润、税率偏高而使出口成品外贸亏损大的少数品种，只要国际市场好销，创汇率合算，经过批准，可采用外贸部门代理进口只收手续费，或免征关税、工商税的办法处理。生产、供货单位供应出口的产品，应按外贸进口原辅料实际拨交的价格计算成本。
十五、以进养出商品的外汇留成按国家统一规定的留成办法办理。
各地区、各有关部门及外贸公司、生产企业单位对以进养出的业务活动，要建立专项登记和统计，加强经济核算，保证有关业务凭证、原始记录的完整。
十六、进行以进养出的生产或供货单位，经营好、创汇多，工资、奖金和福利可以多给一些。粗制滥造、克扣进口物资和私分产品的，要追究责任，严肃处理。
十七、对以进养出的生产或供货单位，外货公司应随时提供国外先进产品的样本、样品和技术资料，吸收生产或供货单位的人员参加对外谈判，有计划地组织出国考察和邀请外商进行技术交流。
十八、对以进养出的工作，各地区、各有关部门要加强领导，积极组织进行，并解决生产、供货中存在的问题。生产、供货部门和外贸部门要及时总结经验，推动这项工作不断发展。
TRIAL MEASURES CONCERNING THE PROMOTION OF EXPORTS BY IMPORTATION
Important Notice: (注意事项)
英文本源自中华人民共和国务院法制局编译, 中国法制出版社出版的《中华人民共和国涉外法规汇编》(1991年7月版).
当发生歧意时, 应以法律法规颁布单位发布的中文原文为准.
This English document is coming from "LAWS AND REGULATIONS OF THE
PEOPLE'S REPUBLIC OF CHINA GOVERNING FOREIGN-RELATED MATTERS" (1991.7)
which is compiled by the Brueau of Legislative Affairs of the State
Council of the People's Republic of China, and is published by the China
Legal System Publishing House.
In case of discrepancy, the original version in Chinese shall prevail.
Whole Document (法规全文)
TRIAL MEASURES CONCERNING THE PROMOTION OF EXPORTS BY IMPORTATION
(Approved and promulgated by the State Council on March 26, 1979)
In order to carry out the general task of the new period and to shift the
focus of the work on to the track of socialist modernization, foreign
trade should be greatly expanded and developed. Exports must be greatly
increased for the purpose of introducing new technology and importing
equipment in complete sets. All departments concerned and all regions
should try their best and use every possible means to develop the
production of export commodities; while tapping fully the domestic
potentials for increasing the sources of export commodities, raw materials
and technology from abroad should be utilized fully so as to bring into
full play the domestic production capacity, to devote major efforts to the
promotion of exports by importation and to expand export trade extensively
and in a flexible way, thus increasing foreign exchange earnings, and
strengthening the country's paying capability in foreign exchange.
1. The scope of promoting exports through importation:
(1) to import materials for processing, including the importation of all
raw and semifinished materials or key raw and semifinished materials, and
to process them into finished products for export;
(2) to import main component parts or fittings, and to process and
assemble them into finished products for export; for example, to import
ships' main engines or instruments for assembling vessels for export;
(3) to mainly use home-produced raw and semifinished materials, and import
auxiliary materials, then to process them into finished products for
export; and (4) to import animal feeds, fertilizers, seeds, and breeding
stocks, and to use them in growing and breeding occupations, then to use
the animal, farm, and side-line products and local specialties for export;
or to exchange imported commodities for home-produced farm and side-line
products and local specialties, and to use them for export.
2. With respect to the raw, semifinished and auxiliary materials now
supplied domestically for the production of export commodities, such
supplies shall be guaranteed through the current supplying channel of
materials and shall not be reduced or cut; the materials which can be
supplied domestically shall not be imported or their importation shall be
reduced. After the implementation of the policy of promoting exports by
imports, various departments and areas, which are at present supplying
commodities for export, shall maintain a normal increase in export with
the development of production.
3. The commodities manufactured under the policy of promoting exports by
importation, shall be marketable on the international market;
profitable in earning foreign exchange; up to the quality standards for
export; and can be manufactured domestically with a guarantee for the
supply of fuels and power.
4. The amount of foreign exchange needed for carrying out the policy of
promoting exports by importation shall be included in the state plan for
the allocation of foreign exchange for imports, which shall be executed
solely by the Ministry of Foreign Trade. The specific business operations
shall be organized by the head offices of various national import and
export corporations. The bureaus of foreign trade of various provinces,
autonomous regions and municipalities directly under the Central
Government shall be responsible for supervising and examining the use of
foreign exchange for promoting exports by importation and the situation of
business operations. Where bank loans in foreign exchange are needed for
commodities for promoting exports by importation, the case shall be
handled in accordance with the measures for granting short-term foreign
exchange loans. With respect to the raw and semifinished materials,
auxiliary materials and other materials supplied by businessmen abroad for
processing on the basis of materials supplied, no matter letters of credit
are mutually opened or not, so long as the payment is not actually
effected in foreign exchange, the aforesaid materials shall not be counted
as the materials used for promoting exports by importation.
5. The commodities for promoting exports by importation shall, after
consultation made by the foreign trade departments with the relevant
regions or departments, be included in the state plans for production and
for foreign trade, and the following principles shall be implemented step
by step; separate plans; direct allocation of materials; production at
designated units and production quota fixed according to sales conditions.
On the condition that the fulfillment of the state plan is guaranteed, if
there still exist production potentials and products marketable on the
international market can be timely exported, then arrangements may be made
for extra exports for promoting exports by importation beyond the plans,
and the foreign trade bureaus of provinces, autonomous regions, or
municipalities directly under the Central Government shall be responsible
for organizing this matter; the foreign exchange needed for the production
shall be allotted specially by the Ministry of Foreign Trade.
6. The materials imported, and the products exported for promoting exports
by importation, shall not be included in the domestic scheme for balanced
distribution; imported materials shall, step by step, be allocated
directly by foreign trade companies to production units, and the products
shall be supplied directly by the production units to foreign trade
companies which shall purchase the products for export.
7. The production of products for promoting exports by importation shall
be arranged on the basis of good quality. For the manufacture of
industrial commodities, only factories with better production conditions
shall be designated specially for the said purpose. With respect to farm
and side-line products and local specialities, the production shall be
developed in the light of local conditions with tracts of land assigned
for the purpose. The aforesaid designation of factories and division of
arable land shall remain relatively stable.
8. In accordance with the principle of "integration of military production
and civil production" and "integration of production in peacetime and that
in wartime", it is imperative to tap the productive potentials of the
military industrial enterprises, and to made full use of these military
industrial enterprises in promoting the production of export commodities
for promoting exports by importation. The prices of export commodities
manufactured by the military industrial enterprises shall be fixed
according to the principle of "same quality, same price" as the export
commodities manufactured by civil enterprises.
9. With respect to industrial commodities for promoting exports by
importation, the foreign trade company and the production or supplying
unit shall conclude and sign an economic contract or agreement, in which
are stipulated their respective obligations. In the event that either of
the two parties fails to execute the said contract or agreement, which
consequently has given rise to economic losses, the violator shall be
liable for compensating for the economic losses.
10. With respect to the farm and side-line products, livestock products
and local specialties for promoting exports by importation, while
arrangements are being made for the importation of animal feeds,
fertilizers, seeds and breeding stocks, the foreign trade company and the
production or supplying unit shall reach an agreement through consultation
concerning the increase of varieties and quantity, the specifications and
quality of the commodities they supply for export, as well as the time for
delivery.
11. With respect to the industrial products for promoting exports by
importation, the foreign trade company and the production or supplying
unit shall reach an agreement through consultation concerning the rate of
quality products for export, the rating for the consumption of raw,
semifinished, and auxiliary materials, and the time for delivery.
Those production enterprises, whose rate of quality products for export is
low, thus unable to guarantee the quality of their products, and whose
consumption of raw and semifinished materials and production costs are
high, are not eligible to be engaged in "promoting exports by
importation".
12. With respect to the earnings of foreign exchange from commodities for
promoting exports by importation, business accounting shall be carried out
item by item, and the rate of foreign exchange earnings from exporting
finished goods should generally be controlled at the rate from 30% to 50%
or higher. The rate of foreign exchange earnings from products that call
for more sophisticated production technology shall be higher, while the
rate of foreign exchange earnings from products that are turned out with
simpler production technology shall be lower, but it shall not be lower
than 30%.
13. Production enterprises (including state-run farms) that engage in
promoting exports by importation shall try their best to fulfil their
production tasks on time with the required quality and quantity and
deliver their goods on schedule. In the event that a production enterprise
undertakes the task of manufacturing a particular item of export product
in small quantity, with complicated designs and varieties and a very short
time limit for delivery, and consequently suffers a loss in its normal
profit earnings, the foreign trade company shall make compensation for
this by giving the production enterprise a necessary subsidy not included
in the calculated purchasing prices after the foreign trade department and
the relevant departments have reached an agreement through consultation.
14. The making of prices in Renminbi within the country for the imported
goods and materials needed for promoting exports by importation shall, in
principle, be handled in accordance with the current measures for making
prices for imported goods. With respect to a few varieties of export goods
included in promoting exports by importation, which, as a consequence of
the high domestic appropriation prices of imported raw and auxiliary
materials or the high profit and tax rates, give rise to great losses in
exporting such finished goods, so long as the aforesaid varieties of goods
sell well on the international market and the rate of earnings in foreign
exchange is acceptable, they may, with approval, be imported through
agency by the foreign trade department and only service fees shall be
charged or Customs duty/consolidated industrial and commercial tax be
exempted from. The products supplied by production or supplying units for
export shall calculate the production costs in accordance with the actual
appropriation price of the said raw and auxiliary materials imported
through the foreign trade channel.
15. With respect to the retention quota of foreign exchange earnings from
the commodities for promoting exports by importation, the case shall be
handled in accordance with the retention measures prescribed uniformly by
the State. With respect to the business activities carried out for
promoting exports by importation, all regions and areas, all departments
concerned, as well as foreign trade companies and production enterprises,
shall set up special register and compile statistics for the said business
activities, strengthen the cost check-up and accounting, and guarantee the
completeness of all business vouchers and original records.
16. With respect to those production or supplying units engaged in
promoting exports by importation, which maintain better business
performance and higher foreign exchange earnings, higher pay, more bonuses
and welfare allowances may be allowed. As to those production or supplying
units which turn out poor quality products, embezzle imported goods and
materials, and plot to share among themselves the products, an
investigation shall be made into their illegal acts, and their cases shall
be dealt with seriously.
17. To the production or supplying units engaged in promoting exports by
importation, the foreign trade companies should, at any time, provide the
aforesaid production or supplying units with specimens and samples of
foreign advanced products as well as relevant technical data, invite the
personnel from the production or supplying units to participate in
business talks with foreign companies or businessmen, organize, according
to plan, study groups to carry out investigations abroad, and invite
foreign businessmen for technical exchange.
18. All regions and areas, and all departments concerned, should
strengthen the leadership of the work concerning the production of export
commodities for promoting exports by importation, enthusiastically
organize the implementation, and solve the problems arising in production
and supply of goods. The production and supplying units and foreign trade
departments should sum up, in good time, their experience so as to push
forward the steady development of this work.
