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1、河北大学 硕士学位论文 民事诉讼发回重审制度实证分析 姓名:谢超 申请学位级别:硕士 专业:法律硕士(法学) 指导教师:柯阳友 2011-06 摘 要 I 摘 要 发回重审制度与一个国家的普通救济程序乃至基本司法制度的科学性有着紧密的 联系。司法实践中,发回重审制度发挥了一定的积极作用。但是也产生了一些负面的影 响,主要表现为在司法实践中出现了大量的案件久审不决的情况。这些案件的存在不仅 使案件当事人陷入诉累之中,其合法权利得不到及时保护,而且增加了诉讼成本,浪费 了司法资源,影响了司法的公正和效率,损害了法律尊严和司法机关的声誉,也受到了 社会各界质疑。很有必要对目前的发回重审制度进行完善。
2、因此,本文从最高人民法院 的统计数据出发,引出我国近十年发回重审制度的运行状况趋势,并由此引出了对发回 重审制度的思考。本文共计 20000 字左右,分为三部分。第一部分为发回重审制度的立 法考察分析。首先,通过罗列我国发回重审制度立法现状的若干规定,结合笔者对发回 重审立法制度的思考,揭示出了此制度立法上的缺陷及造成其缺陷的原因。其次,介绍 并研究了国外发回重审制度的若干规定,其研究的重要意义在于:通过对两大法系国家 立法制度上的比较和分析,尤其是对其差异上的分析,总结出对我国发回重审制度有利 的借鉴意见。第二部分是发回重审制度的实践考察分析。在这一章节中,笔者主要从三 种不同主体的角度来分
3、析发回重审制度实践中存在的缺陷与不足。 首先是从二审法院的 角度分析其面对发回重审的现状,得出了因事实证据发回重审比例偏重,因程序轻微发 回重审比例偏高的重要结论。其次,考察了原审法院面对发回重审的情况,逐渐的发觉 了原审法院面对发回重审案件维持原判比例偏高,当事人服判息诉比例偏低的现状。最 后,提出了当事人面对发回重审的现状分析,这是从当事人的角度来分析发回重审制度 存在的缺陷与原因。第三部分是我国发回重审制度的改革与完善。这一部分笔者主要通 过以发回重审立法设计时所应追求的价值核心作为着眼点, 再从具体的角度对发回重审 制度引发的立法实践问题做各个击破和逐个完善, 希望能够使发回重审制度真
4、正成为对 诉讼有益的程序制度。 关键词 发回重审;立法考察;实践考察;价值评析;制度完善 Abstract II Abstract Retrial system and a countrys ordinary relief program and basic judicial system of science are closely linked. Judicial practice, retrial system played a positive role. But also produced some negative influence, main show is in the ju
5、dicial practice there appear a large number of cases of judge him for long. These cases exist not only make the case the parties in lawsuit tired under the legal rights not promptly protection, but also increased the litigation cost and waste a judicial resources and influenced the judicial justice
6、and efficiency, and damages the dignity of the law and judicial organs reputation was also questioned the social from all walks of life. It is necessary to present retrial system consummation. Therefore, this article from the supreme peoples court statistics based in China in the past decade, prompt
7、ing retrial system operational status of the trend, and has drawn out for retrial system thinking. Firstly, the author retrial system legislation of investigation, in order to seek retrial legislation system flaw, and analyzes the reasons, and in China retrial legislation on the basis of investigati
8、on, inspects the world about the retrial of legislation, this paper compares their differences in provisions, in hopes of China retrial system consummation for reference. Then,the author retrial system of judicial practice investigation, the hope can from the discovery in practice retrial system ins
9、ufficiency, to perfect retrial system, finally the author lay a good foundation for our countrys judicial practice, points out the problems existing in the retrial system, then put forward propulsion retrial system reform and perfect the system of the our country guide parties parties retrial system
10、 conception. This paper totaling more than 20,000 words, is divided into three parts. The first part is retrial system legislation survey. In the first place, through China retrial system, combining with the legislation of investigation the research emphases in this paper, the author puts forward th
11、e retrial system in legislation the insufficiency and the defects. Secondly, foreign retrial system inspection section, its research has the following important significance: based on two big law country legislation comparison, hope can extract form the retrial of opinion. The second part was the re
12、trial system review and analysis of practice. First is analysis of second instance court facing the retrial of present situation, obtained because of evidence for a retrial proportion of retrial procedure dwindling-and proportion is on the conclusion. Secondly, to court facing the retrial of case an
13、alysis. Finally, this article puts forward the parties facing the retrial of current Abstract III situation analysis. The third part is China retrial system reform and perfect. This part of the main reveals the retrial of core value and from the specific Angle of retrial system caused problem do eac
14、h break for hopes to set new trial system for litigation beneficial procedure system. Key words Retrial;Legislative investigation;Investigation;Value comments; System consummation 前 言 1 前 言 最高人民法院公报(如下表)数据显示,2002 年到 2009 年我国二审法院发回重审 率呈逐年下降的趋势,而且这种趋势的变化并非直线型的变化,而是呈阶段式的折线型 变化。这种变化本身与我国立法、政策以及国家重视程度紧密相
15、连。民事二审发回重审 率等于二审发回重审数与二审判决结案量之比。2002 年到 2003 年二审发回重审率由 8.03%下降到 7.41%,同比下降了 0.62 个百分点,下降幅度相对其他年份最大。短短两 年的时间,二审法院发回重审的次数急剧下降,应该是与我国 2002 年最高人民法院颁 布的关于人民法院对民事案件发回重审和指令再审有关问题的规定的司法解释息息 相关。这一解释的出台从制度层面上极大的限制了发回重审的次数,减少了发回重审的 频率。 2004 年到 2007 年发回重审率由 7.31%下降到 7.01%, 平均每年以 0.1 个百分点的 速度下降,下降幅度明显恢复平缓,这表明尽管我
16、国立法上始终坚持尽可能避免发回重 审的原则, 发回重审立法时遗留的问题还是在司法实践中逐渐暴露出来。 2007 年到 2009 年,甚至可以推算到今天,发回重审由 7.01%下降到 6.21%,平均每年以 0.4 个百分点 的速度下降,下降幅度再次回升,这从某种程度上反映出二审法院越来越重视发回重审 带来的弊端和危害,对发回重审制度逐渐弱化,同时折射出司法理念的转变。 “任何一项制度的设计,都应当考虑其自身的价值,透视其现实的实效” 1。发回 重审制度的设计本身,是为追求兼顾司法公正和司法效率价值目标的体现,其现实实效 在于权利救济的重要方式,权力制约的必然要求以及审级监督的重要体现。由此不难看 出,发回重审制度从价值层面上有自己的优势所在,这也是此项制度至今仍在保留运用 的重要原因。但是,这几年的司法统计数据(同上表)和司法实践,都暴露出发回重审 制度本身存在的无论从设计还是从运作角度上的缺陷, 这不得不使我们再次从立法和实 践角度来揣摩此项制度给我们带来了什么, 如何运用发回重审制度来实现司法公正和司 法效率的终极目标。因此,笔者将通过对发回重审制度的立法现状的考