中國民事訴訟「調判一體化」研究

Research on the Integration of Adjudication and Mediation in Chinese Civil Litigation

Student thesis: Doctoral Thesis

View graph of relations

Author(s)

Related Research Unit(s)

Detail(s)

Awarding Institution
Supervisors/Advisors
Award date6 Apr 2022

Abstract

民事诉讼“调判一体化”是中国民事诉讼的独特现象,以此作为研究对象,在当下中国司法改革的趋势下具有显著的理论意义与实践价值,更应当受到关注与重视。本文聚焦民事诉讼“调判一体化”命题,重点围绕调判解纷机制中的内在机理、行为逻辑、以及诉讼结果检视标准等内容展开,在此基础上建构“调判一体化”诉讼理论以及实践规则。在诉讼理论建构上,本文提出的“调判一体化”系对我国民事诉讼调解和判决的司法关系脉络进行的重新厘定整合,系对我国民事诉讼理论的创新与突破,同时决定了其鲜明的司法适用特点。在实践层面,本文从制度分析转向过程分析,建构起调判一体化的运行逻辑的第一组分析模型。同时,通过可接受性的分析视角,建构起从形式到实质正义的可接受性的二重判断标准。研究方法上,本文分析思路拟从内、外两个维度入手,通过实证分析法、历史分析法、比较分析法等研究方法,同时以法学理论与实践为主,配合以社会学、经济学等人文社科内容,以期充分发掘、探讨与解析中国民事诉讼“调判一体化”的深刻理论与实践内涵,系统分析与梳理归纳中国民事诉讼“调判一体化”问题,避免以偏概全之弊端。

本论文共六章,其中第二、三、四、五章是本文研究的核心章节。

第一章 导论。介绍了本文的研究缘起、研究综述、研究方法等问题。本章从“彭宇案”“无锡冷冻胚胎案”“旋转门”等特色鲜明的中国民事诉讼司法案例及现象切入,提出并分析调解与判决在民事诉讼纠纷中的关系与适用问题,从而引起中国民事诉讼“调判一体化”研究主题。

第二章 “调判一体化”诉讼理论重构。利用比较法研究的方法,从调判解纷模式的域外法视角出发,重点比较研究了美德两国在调判解纷程序设置差异、程序效力差异、以及差异性的原因分析。在此基础上从三个层面对中国民事诉讼“调判适用”样态进行考察。三个层面分别为程序结构:表明中国民事诉讼具有动态适用特征;主体关系:表明解纷主体系协同下的合作与对抗;效力评价:表明调判具有同等效力。据此提出“调判一体化”概念,并进行理论建构。

第三章 “调判一体化”的内在机理。从调判共生、调判张弛、行为逻辑三重维度深入阐释了中国民事诉讼调判一体化的内在机理。这种内在机理合理回答了为什么在应然的理想图景与实然的客观现实之间,中国民事诉讼能够形成迥异于西方司法文化的独特景观,并始终保持着持久旺盛的生命力和延续性。应该说,调判一体化的诉讼结构层次是多元的。

第四章 “调判一体化”的运行逻辑。以诉讼主体的角度对调判一体化的运行过程进行动态解构,全景式展现了调判运行中的主体博弈、典型形态等,分析“调判一体化”运行逻辑下的合作与对抗。通过对诉讼参与主体和参与程序的分析,可以看到,作为调判一体化运行主体的法官,在纠纷化解过程中对调判的处理是主动的、积极的,从整体上基于对诉讼主体的利益衡平构筑起调判一体化的结构并灵活运用。作为参与主体的当事人一方,则通过处分权的行使来干预调判一体化的运作。民事诉讼过程中调判一体化的运作成效则主要表现为实现纠纷化解基础上诉讼主体的利益平衡、在价值引领基础上实现对司法裁判的规则塑造、以及在社会稳定层面实现纠纷的可接受性。

第五章 “调判一体化”诉讼结果的可接受性。本章对可接受性评价采形式和实质二分模式,即形式可接受性和实质可接受性分别评价。形式与实质二分评价模式是分别对诉讼结果的形式可接受性与实质可接受性作出分析,然后综合分析作出最终的可接受性分析。本章重点解决了四个问题:一是如何在诉讼中促成、加深扩大诉讼共识问题;二是如何使得当事人的诉讼更加理性化的问题;三是如何平衡诉讼场域内外影响因素的问题;四是如何提升调判适用效果的问题。在此基础上,进一步明确调判一体化的适用原则和具体规则,以提升诉讼结果的可接受性。

第六章 观点总结与未来展望。在最终得出结论的基础上,结合中国民事诉讼的理论及实践现状,分析 “调判一体化”的发展趋势,并预测中国民事诉讼“调判一体化”可能出现的新特点与新问题。

本论文的贡献主要体现为:一是填补了国内相关理论研究的空白。在理论研究层面首次将“调判一体化”的司法现象理论化与体系化,填补了国内外在该领域研究的空白,夯实了制度理论的研究基础,为后续研究提供了“前车之鉴”,成为本文研究的最大创新与亮点突破,可为裨益;二是本文结合我国法治建设推进、司法政策变迁、司法制度改革等内容,从理论与实证角度重申坚持“调判一体化”司法模式符合我国司法现状,实证研究中援引了大量的案例数据、这些案例数据全部源自于笔者从事司法审判工作的“一线”,具有较好的典型性和代表性,显著增加并深化了课题研究的深度和高度,对于后续研究具有重要的实践价值和指导意义;三是本文综合运用了实证研究、比较研究、历史研究等多重方法,特别是在理论建构方面,创造性地将“一体化”理论由其他领域引入民事诉讼领域,实现跨学科“交叉研究”,属于研究方法的创新与突破,对于类似问题或领域的研究可以提供方法论指导。
Chapter I Introduction. The first chapter presents the original motivation, the literature overview and research methodology of the research. This chapter commences with the well-known lawsuits and outstanding features in Chinese civil litigation, including the PengYu case, the Frozen Embryos case and the "Revolving Door Symptom" in the adjudication & mediation interaction. After that, it demonstrates and analyzes the relationship and applicability of adjudication & mediation in dispute resolution within Chinese court, and introduces the theme of this thesis subsequently.

Chapter II Re-construction of the Integration Procedural Theory. This chapter deals with the re-construction of the theory relevant with the Integration. With the comparative study method, this chapter analyzes the differences in procedural settings and procedural validity of civil dispute resolution models in United State s and Germany, and explores the reasons of such differences. Based on the conclusion of comparative study, this chapter examines the status quo of adjudication & mediation application in Chinese civil litigation from three dimensions: the procedure structu re, which demonstrates the dynamic feature; the litigants' interaction, which manifests both cooperation and confrontation; the validity evaluation, which shows their equal validity. Therefore, the concept of integration can be constructed theoretically.

Chapter III the Internal Functions of the Integration. This theme was explored from the perspective of the co-existence of adjudication & mediation, their tension and participants' behaviour logic. These internal functions explain why the Chinese civil litigation, undergoing the tension between the idealism and realism, possesses different features compared with the Western judicial culture and evolves with constant sustainability and living strength. Therefore, the Integration has a multi-level structure.

Chapter IV Operation Logic of the Integration. This chapter illustrates the dynamics of the Integration by deconstructing its operation process from the angle of litigation participants, presents a typical gaming mechanism within the participants during the disputes resolution, and analyzes the litigants' cooperation and confrontation process driven by the Integration logic. By analyzing the civil litigation participants and its process, this thesis demonstrates the active role of Chinese judges in their flexible application of adjudication & mediation during the dispute resolution, and the Integration structure based on their comprehension of the interests balance among the litigants. In the mean while, different from judges, the litigants affect the Integration operation by disposing their rights. The effectiveness of the Integration can be embodied by balancing the litigants' interests while resolving disputes, shaping the judicial decision-making rules while setting value orientation, and enhancing the outcome acceptability of the judicial rulings while maintaining the social stability.

Chapter V Acceptability of the Integration Litigation Outcome. This chapter examines the outcome acceptability of the judicial rulings resulted from the Integration, by utilizing substantial and formal test respectively and conducting a final and comprehensive analysis based on such dichotomy. This part emphasizes on solving four problems: how to facilitate and intensify the common-ground among the participants, how to promote the reasonableness of the litigants, how to balance the internal and external affecting features of the civil ligation, and how to improve the effectiveness of the adjudication & mediation application. Based on the above analysis, this chapter further clarifies the application principles and specific rules about the Integration in order to enhance its outcome acceptability.

Chapter VI Conclusion and Outlook. The final part draws conclusion about the Integration. Based on the conclusion and the status quo of Chinese civil procedure theory and practice, this chapter also forecasts the Integration's development tendency as well as new features and concerns.

The thesis's primary contributions are as follows: Firstly, it fills the void in the current theory research. This thesis pioneers in theorizing and systematizing the legal phenomenon of such integration, and provides a structural and theoretical foundation for the subsequent study. Secondly, it affirms that the Integration model satisfies the current needs of Chinese judicial practice under the circumstance of construction of "rule by law", the gradual change of legal policy and judicial reformation. The empirical study in this thesis cites various typical cases and data collected during author's adjudicating career for decades, significantly promoting the theoretical and practical value of this thesis and providing substantial foundations for subsequent studies. Finally, this thesis uses comprehensive methodology such as empirical, comparative and historical study, while innovatively introducing integration theory into the civil procedure study. It is a significant trans-disciplinary breakthrough of study method, which will benefit the subsequent studies in this field.

    Research areas

  • Chinese civil procedure, Dispute resolution, Integration of adjudication & mediation