诉讼案件非讼审理研究

发布时间：2018-04-19 08:13

本文选题：诉讼案件 + 诉讼法理　；参考：《西南政法大学》2014年博士论文

【摘要】：现如今，世界主要大陆法系国家和地区正在兴起诉讼案件非讼审理的浪潮。世界各国的司法实践证明了诉讼案件非讼审理对于民事纠纷的预防以及达成迅捷、经济、合目的性、展望性和妥当性的裁判具有十分重要的意义。本文从域外的立法和司法经验以及我国司法改革的历程出发，运用实证分析方法、历史分析方法、比较分析方法等研究方法对全球司法改革中出现的非讼审理的潮流进深入细致的分析，从而展示诉讼案件非讼审理的基本理念、制度目标和程序规则。通过对域内外诉讼案件非讼审理改革实践的剖析，以及对相关研究成果的借鉴和吸收，以实现简便、迅捷、廉价、可接近的程序结果为基本目标，以尊重我国司法传统并体现中国司法的特点为指向，提出相关原则、制度、体系建构的建议，以此为推进我国的司法改革和司法现代化。本文除导言外共分四章，10万字。第一章对诉讼案件非讼审理进行概括性的分析，从基本概念和基本理念的阐述入手，对诉讼案件非讼审理的基本理论进行了初步地、概括性地分析，主要阐述了诉讼案件非讼审理的由来、诉讼案件与非讼案件的界分、以及诉讼案件非讼审理过程中所应用的诉讼法理与非讼法理。在诉讼案件非讼审理的由来一节中，将诉讼与非讼的区分追溯到古罗马时期，后经过中世纪教会法、现代法的发展，在西方各国的程序立法中，均有“非讼程序”与“诉讼程序”的区分。司法实践表明，采用非讼程序审理某些诉讼案件更合乎纠纷处理的目的性。在我国司法实践的语境中，在独立的非讼程序规则还未出台之前，为使“诉讼案件非讼审理”对法官更具有可操作性，应把诉讼案件非讼审理界定为法院在诉讼程序中处理争讼案件时采用职权探知主义、书面审理主义、不公开审理主义等非讼法理，以达到迅速、经济、创设性、合目的性、展望性裁判的活动。第二节主要对非讼案件与诉讼案件区分的主要观点作出了归纳，分析了各种观点的利弊，并提出应该根据现行立法区分诉讼案件与非讼案件的观点。同时，对诉讼案件和非讼案件可以进行进一步地划分，非讼案件可以依照现行法规定划分为法定的非讼案件和潜在的非讼案件，所谓法定的非讼案件即法律明确规定适用非讼程序审理的案件，而潜在的非讼案件即具有非讼特征，但现行法未规定适用何种程序或传统上适用诉讼程序的案件。这种观点类似于德日民诉法学界的“实体法规定说”，将非讼案件的范围委诸立法者斟酌，但也在一定程序上预留了“诉讼案件非讼审理”的空间。第三节和第四节主要介绍的是在非讼审理过程中所应用到的主要的诉讼法理和非讼法理以及诉讼案件非讼审理机制的基础理论——“交错适用论”，论述了各种法理的主要内容，以及交错适用论产生的原因、背景和主要观点。在诉讼案件非讼审理的过程中，非讼法理的适用有各种形态，对于不同的案件类型应当采用不同的适用方式。第二章诉讼案件非讼审理的正当性基础，主要从价值论、目的论以及程序之机能等方面论证对诉讼案件非讼审理的正当性，在理论上证明诉讼案件非讼审理之合理性。从价值论的观点看，公平正义、效率、平等等价值都是衡量一个程序机制是否具有正当性的标准，而无论是从实现适时的、可接近的正义、诉讼效率亦或是从实现实质平等方面来分析，诉讼案件的非讼审理都具有其正当性的基础。从目的论的观点来看，民事诉讼制度设置的不同目的决定了其在之后的审判方式改革中的不同趋向，通过分析几种主流的目的论观点，本文认为我国应当以利益保护论作为民事诉讼制度设立的目的，以该目的论为依托，实现诉讼案件的非讼审理更有利于实现民事诉讼制度设置的初衷。从程序的机能来看，程序所要达到的目标无非是达成正确而慎重的裁判、简易、迅速而经济的裁判、合目的性、妥当性、展望性或创设性裁判，无论是哪种程序目标的实现，实际上都需要运用一定的非讼法理，这种需求就构成了诉讼案件非讼审理的正当性前提。第三章诉讼案件非讼审理的合理界限，，是在程序基本权保障的基本前提下，论述诉讼件非讼审理的过程中，非讼审理的边界或底线的确定以及探讨该边界或底线的原因。所谓诉讼案件非讼审理的限度或底线即最低限度地保障当事人的程序基本权，在诉讼案件审理的过程中，程序基本权主要包括人性尊严受尊重、合法庭审请求权、有效率的权利保护以及公正程序请求权等权利，在这些基本权利中，人性尊严保障、有效率的权利保护以及公正程序请求权又具体体现为各种程序权利，一般可在合法听审请求权以及程序选择权中得到体现，本文在程序保障的立场上，主要对非讼审理过程中这两种权利保障的方式方法做出探讨。第四章在我国实现诉讼案件的非讼审理，主要针对我国司法实践中的现实情况，分析诉讼案件非讼审理机制建立的可行性因素。在对诉讼案件进行类型化分析的基础上，研究域外的相关立法，设计我国的非讼程序法，并在此基础上，构建诉讼案件非讼审理的具体规则，完善诉讼案件非讼审理的原则、制度和程序。目前，我国建立诉讼案件非讼审理机制的可行性因素主要包括多样化纠纷类型的需求、立法中一部分案件类型的需要、非讼审理理论基础的形成等，新《民事诉讼法》修改也显示出了立法者对非讼审理的必要性给予了关注。完善非讼案件程序的相关规定是实现诉讼案件非讼审理的立法基础，唯有明确非讼程序的基本原则和制度，非讼审理在司法实践中才能做到于法有据。在具体规则上，文章对有关非讼审理的具体标准、基本原则以及程序上的几个具体问题均有所探讨。
[Abstract]:Now, the main continental law countries and regions in the world is rising non court cases around the world. The tide of judicial practice proved that non litigation cases of civil disputes and prevention trial for a fast, economic, purposiveness, has very important significance and Prospect of the appropriateness of the referee. In this paper, from the legislative and judicial experience the extraterritorial and process of judicial reform in China, the use of empirical analysis, historical analysis, comparative analysis method and so on to the global judicial reform in civil trial power flow into deeply, thus show the basic idea of noncontentious court cases, the target system and the rules of procedure. Through the analysis of the practice of reform trial both inside and outside the domain of litigation non litigation, and the relevant research results of the reference and absorption, to achieve a simple, fast, cheap, accessible. The result is the basic goal. With respect for China's judicial tradition and the characteristics of China's judicature, it puts forward relevant principles, systems and suggestions for system construction so as to promote the judicial reform and judicial modernization in China.
In addition to the introduction, this article is divided into four chapters and 10 thousand words.
The first chapter makes a general analysis of the trial of cases of non litigation, starting from the basic concept and the basic concept of elaboration, the basic theory of litigation non litigation trial conducted a preliminary analysis and summary, mainly expounds the origin of non litigation court cases, and non litigation cases of lawsuits, legal proceedings and noncontentious proceedings the application of non litigation and litigation in the course of the trial. In the case of a non origin trial section, will be back to distinguish between litigation and non litigation in ancient Rome period, after the church in the middle ages, the development of modern law, the legislative procedure in western countries, have distinguishing "non contentious procedure" and "procedure" the judicial practice shows that the more in line with the purpose of noncontentious proceedings disputes the trial of some litigation cases. In China's judicial practice in the context of the independent non litigation procedure rules Not before the introduction of the "non litigation trial" is more practical for judges, should be defined as non litigation cases trial court litigation cases in the proceedings when the doctrine of ex officio doctrine, written trial, public trial is not the doctrine of non lawsuit legal theory, in order to achieve rapid economic, creating. Purpose, prospective judgments activities. The second section mainly on the main points of non litigation cases and litigation division to the induction, analysis of the pros and cons of various views, and proposed should be based on the current legislation and distinguish litigation non litigation case. At the same time, the litigation and non litigation cases can be further divided, non litigation in accordance with the existing law cases can be divided into statutory non litigation cases and potential non litigation cases, the so-called statutory non litigation cases expressly provided in law applicable to non litigation procedure trial case A potential civil case with non litigation characteristics, but the current law does not provide for what program or traditionally for the proceedings of the case. This view is similar to the substantive law of Civil Procedure Law of Germany and Japan, "said" will weigh the range of non litigation case Commission of the legislators, but also set aside the lawsuit the case trial "in a certain space of noncontentious procedure. The third section and the fourth section is mainly introduced in the basis of" crossing application theory "is applied to non litigation trial in the process of the main legal litigation and litigation and non litigation legal litigation trial mechanism, this paper expounds the main contents of the various legal reasons, and staggered on the application, the background and main point of view. In the process of non litigation cases in the trial, application of non litigation legal has various forms, for different types of cases should be used for different type.
The second chapter litigation legitimacy noncontentious proceedings, mainly from the theory of value, objective justification theory and procedure of litigation non litigation trial function, prove the rationality of the trial proceedings litigation in theory. From the theory of value, justice, efficiency, equality and other values are whether justice is a measure of the standard procedures, and whether it is from the implementation of timely, accessible and justice, litigation efficiency and to realize equality analysis from the aspects of litigation non litigation trial basis has its legitimacy. From the point of view, different purpose to set up the system of civil procedure decide the different trend after the reform of the trial, through the analysis of several mainstream objective theory, this paper argues that China should be based on the protection of the interests of the civil litigation system as established. Based on the skopos theory, based on the realization of litigation non litigation trial is more conducive to the realization of civil lawsuit system set the intention. From the function of procedures, procedures to achieve the goal is reached right and prudent judgment, simple, rapid and economic judgment, purposiveness, appropriateness, or outlook the creation of the referee, whether it is to achieve what kind of goal, actually need to use certain non lawsuit legal theory, this demand constitutes the legitimacy of court cases. The premise of non litigation
The third chapter case non reasonable limit of trial, is the basic premise to guarantee the fundamental procedural right, discusses the process of trial proceedings litigation, non litigation trial or determine the boundary line and investigate the cause of the boundary or the bottom line. The lawsuit trial limit or the bottom line that is non minimum guarantee basic procedure right the party, in the process of litigation case, the fundamental procedural rights including human dignity respected, the right to request the legal protection of the rights of fair trial, and the procedure right of efficiency, these rights in this medium, guarantee human dignity, efficiency and justice to protect the rights of claim and embodied in the program all kinds of procedural rights, can be reflected in the legal right to request the hearing and the right of choosing procedure, the procedure guarantee position, mainly to the non trial process this The ways and means of the two rights protection are discussed.
The fourth chapter in the realization of the non trial case in our country, mainly according to the reality of judicial practice in China, a feasibility study of hearing mechanism established. Based on non litigation cases of type analysis of cases, the relevant legislation of extraterritorial, a method to calculate the non contentious procedure of our country, and on this basis on the construction of non specific rules of court cases, non perfect court cases principle, system and procedure. At present, the establishment of non litigation feasibility factors hearing mechanism in our country mainly includes various types of disputes needs, legislation in a part of the types of cases, the theoretical basis of the formation of the trial court, the new "Civil Procedure Law > also shows the necessity of legislation non trial given attention. Perfect relevant provisions of civil case program is the realization of non litigation lawsuit trial Only a clear legislative basis, basic principle and system of non litigation procedure, non litigation trial in judicial practice can be done in according to the law. In the specific rules, the specific standards for non litigation procedure, has several specific problems on the basic principles and procedures are discussed.

【学位授予单位】：西南政法大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：D925.1

【参考文献】