论司法改革视角下的法官心证公开

发布时间：2018-06-15 14:00

本文选题：司法改革 + 自由心证　；参考：《西南大学》2017年硕士论文

【摘要】：法官心证公开是现代自由心证的基本要求,是现代诉讼制度发展的产物,是现代法治思想的重要组成部分。本文本着“让人民群众在每一个司法个案中都感受到公平正义”的司法改革目标和“让权力在阳光下运行”的司法改革理念,从最广义的角度对法官心证公开进行理解,认为在司法改革视角下,法官心证公开在公开时间、公开地点、公开对象、公开内容等方面都应当具有最广义的含义,即法官自立案后接触案件之日始至本案当事人权利义务关系完全消灭之日止乃至消灭之后的合理期间内,对于案件事实的认定、证据的审查所形成的内心确信,以及在事实认定和证据审查的基础上所形成的法律见解,应当适时适当地向当事人、利害关系人以及社会公众公开。这一最广义的定义虽然与传统的法官心证公开理论有所抵牾,但却契合了我国现阶段司法改革“构建阳光司法机制”的要求。在司法改革视角下,我国法官心证公开出现了运行不畅、心证公开能力下降、心证公开范围被限缩等问题。为了解决这些问题,实现法官心证公开与当下司法改革制度之间的相互融合和适应,本文尝试提出了“以革新传统心证公开理论为逻辑起点,以推动心证公开制度化和常态化为制度保障,以多渠道培养和提高法官心证公开能力为关键步骤”的体系构建之设想。具体而言,本文将从以下四个方面具体展开:第一部分,心证公开的历史发展。文章首先对基础概念进行诠释和辨析,厘清心证公开与司法公开、裁判文书公开、判决理由公开以及法官释明权之间的关系。心证公开的前身——传统自由心证——的确立依托于特定的时代背景,是一种历史必然。自由心证确立初期,在肯定法官自由裁量权、推动证明标准变革、促进诉讼观念革新等方面具有积极意义,但是在司法实践中被滥用从而损害法律可预测性、弱化司法公信力等弊端也不断凸显。为了克服以上弊端,以心证公开为基本标志的现代自由心证应运而生。心证公开的目的具有多元性,它以限制法官自由裁量权、实现心证客观化为直接目的,以防止突袭裁判、维护司法权威为间接目的,以发现案件客观真实、防止冤假错案为基本目的,以保障当事人的程序主体地位为根本目的,其理论基础包括人权保障理论、程序正义理论以及司法参于理论。虽然心证公开在我国的道路并不平坦,理论的分歧和立法态度的模糊是阻碍其发展的桎梏,但是心证公开也在司法改革的浪潮中迎来了前所未有的发展契机。第二部分,心证公开在司法改革时代的问题分析。通过深入研究,我们可以发现:在司法改革的诸多举措中,审判中心主义导致法官心证公开的范围被限缩,终身责任制下法官心证公开运行不畅;员额制导致法官心证公开能力下降。心证公开是现代法治不可抛弃的重要原则,司法改革是当代中国势在必行的举措,因此在分别分析了出现上述问题的原因之后,如何实现二者的调整和革新以相互适应并行不悖,成为本文的核心任务。第三部分,心证公开的域外经验及其启示。美、法、德、日等典型国家以及我国台湾地区对心证公开立法抉择和司法实践启示我们,要消除司法改革视角下法官心证公开与诸多制度之间的龃龉,可以参考借鉴以下经验:建立一套相对统一和完善的心证公开理论,并且理论以服务于实践为宗旨;立法上将心证公开作为一项法定制度或者基本原则,并且在刑事诉讼和民事诉讼领域都适用;法官心证公开具有法定范围,并且在这些范围内的心证公开是法官的一项法律义务;法官心证公开强调法官与当事人的协作与互动,并且与法官释明权以及判决理由公开相区别。第四部分,司法改革视角下法官心证公开的体系构建。本部分是文章的核心,着重探讨如何构建一套能够有效化解我国司法改革和法官心证公开之间的矛盾的新体系。本文从逻辑起点、制度保障和关键步骤三个层层递进的方面进行探索,以期从理论、制度和实践三个方面构建一套符合司法规律且与司法实践相得益彰的心证公开体系。首先,革新传统心证公开理论是逻辑起点,这需要我们对心证公开的理论进行创新,在统一心证公开适用的诉讼领域的前提下,实现心证公开在司法改革视角下的“四化”,即公开范围扩大化、公开主体精细化、公开内容类型化、公开方式多元化。其次,推动心证公开制度化和常态化是制度保障,这需要我们对司法改革具体措施进行局部调试,甚至需要建立新的制度。具体而言,包括确立心证公开为民事诉讼基本原则、完善法官职业保障机制、建立心证公开激励与惩戒机制等。最后,多渠道培养和提高法官心证公开的能力是关键步骤。在基础理论完备、客观条件充分的前提下,主观方面的法官心证公开能力的强弱和水平的高低成为决定心证公开机制能否在司法改革时期顺畅运行的关键。为此,本文认为可从创新优秀法官选任制度、建立法官心证公开能力评估体系、各法院成立心证公开指导与交流会议、细化法官助理与主审法官的职能分工等方面进行探索。
[Abstract]:The openness of the judge's heart and evidence is the basic requirement of the modern freedom of mind. It is the product of the development of modern litigation system and an important part of the modern rule of law. From the point of view of the most broad sense, we understand the public of the judge's heart and evidence. In the view of the judicial reform, the open time, the public place, the public object and the public content should have the most broad meaning in the perspective of the judicial reform, that is, the date of the judge's contact with the case from the case to the case from the beginning of the case to the day of the complete elimination of the rights and obligations of the parties in the case. Within a reasonable period after the end and after the elimination, the belief in the fact of the case, the inner conviction formed by the examination of the evidence, and the legal opinions formed on the basis of the fact finding and the evidence review should be properly and properly disclosed to the parties, the interested parties and the public. The public theory of the judge's heart and evidence is contradictory, but it conforms to the requirement of "constructing the sunshine judicial mechanism" at the present stage of judicial reform in our country. In the perspective of judicial reform, the public evidence of the judges in our country has problems such as poor operation, the decline of the ability to open the evidence and the limits of the open scope of the evidence, and so on. With the integration and adaptation of the current judicial reform system, this paper attempts to put forward the idea of "taking the innovation of the traditional evidence public theory as the logical starting point, promoting the institutionalization and normalization of the open heart card as the institutional guarantee, cultivating and improving the ability of the judge's heart to open the key as the key step". This article will be carried out from the following four aspects: the first part, the historical development of the open heart syndrome. The article first interprets and discriminate the basic concepts, clarifies the relationship between the open heart and the judicature, the public of the referee, the public of the judgment and the interpretation of the judge. Depending on the specific background of the times, it is a historical necessity. In the early stage of the establishment of freedom of mind, it was positive in affirming the discretion of the judge, promoting the reform of the standard of proof, and promoting the innovation of the concept of litigation, but it was abused in judicial practice to damage the predictability of the law and weaken the public trust of the judiciary. In order to overcome the above malpractice, the modern free heart certificate, which is the basic symbol of the public evidence, has emerged as the times require. The purpose of the open heart evidence is pluralistic. It is to restrict the discretion of the judge and realize the objective of the evidence, in order to prevent the attack of the referee and safeguard the judicial authority, to find the objective truth of the case, and to prevent the false and false case. For the basic purpose, the fundamental purpose is to guarantee the status of the subject of the procedure of the parties. Its theoretical basis includes the theory of human rights protection, the theory of procedural justice and the theory of judicial reference. Although the road of the open heart is not flat in our country, the disagreement of the theory and the ambiguity of the legislative attitude are the shackles that impede its development, but the open heart of the heart is also in the Department. In the wave of law reform, the unprecedented opportunity for development is ushered in. The second part is the analysis of the problems in the era of judicial reform. Through in-depth study, we can find that in many measures of the judicial reform, the trial centralism leads to the limit of the open range of the judge's heart and evidence, and the open operation of the judge's heart card under the system of lifelong responsibility is not open. The post system leads to a decline in the ability of the judges to be open to the public. The open heart card is an important principle that the modern rule of law can not be abandoned. The judicial reform is a necessary measure in contemporary China. Therefore, after the analysis of the reasons for the above problems, how to realize the adjustment of the two parties and to adapt to each other is the core of this article. The third part, the extraterritorial experience and Its Enlightenment from the open heart card. The typical countries of the United States, France, Germany, Japan and other typical countries, as well as the legislative choice and judicial practice of the open heart evidence in Taiwan, we should eliminate the discord between the public and many systems in the perspective of judicial reform, and can refer to the following experience: to establish a set of relative experiences The unity and perfection of the theory of open heart evidence, and the theory to serve the practice as its purpose; the legislative General of heart evidence as a legal system or basic principle, and applicable in the field of criminal and civil litigation; the public evidence of a judge has a legal scope, and the open heart of the heart is a legal meaning of the judge in these areas. The judge's heart certificate publicly emphasizes the cooperation and interaction between the judge and the parties, and is different from the judge's interpretation right and the reason for the judgment. The fourth part, the system construction of the judge's heart and evidence open from the perspective of judicial reform. This part is the core of the article, and focuses on how to build a set of effective solutions to our judicial reform and the heart of the judge. A new system of contradiction between the public and the public is explored in this paper from three layers of progressive aspects: logical starting point, system guarantee and key step, in order to build a set of heart evidence open body which is consistent with the law of theory, system and practice in three aspects, which is consistent with judicial practice. First, the innovation of the traditional theory of open heart evidence is logic. Starting point, this requires us to innovate the theory of open heart evidence. Under the premise of unifying the applicable field of litigation, we can realize the "four modernizations" in the perspective of judicial reform, that is, the enlargement of public scope, the refinement of public subjects, the type of open content, and the diversification of public ways. Secondly, to promote the institutionalization of the open heart. And normalization is the system guarantee, which requires us to make local adjustment to the concrete measures of judicial reform and even establish a new system. In particular, it includes the establishment of the basic principles of the public evidence public as the basic principle of civil litigation, the improvement of the professional guarantee mechanism of the judge, the establishment of the public incentive and punishment mechanism of the heart card, and so on. Finally, the multi-channel training and improvement of the judge's heart The ability to be open is the key step. Under the premise of complete basic theory and sufficient objective conditions, the key to determine whether the open mechanism of the open heart is open in the period of judicial reform is the key to deciding whether the open mechanism of the heart card is open in the period of judicial reform. The evaluation system of the public ability of the official heart certificate, the court set up the open guidance and exchange meeting of the heart card, and make the exploration of the division of the function of the judge assistant and the judge.
【学位授予单位】：西南大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D926.2

【参考文献】