【作者】 李华；

【导师】 冀宗儒；

【作者基本信息】 对外经济贸易大学 ， 法律， 2003， 硕士

【摘要】 从世界范围来看，简化诉讼程序，提高诉讼效益，是当代各国民事诉讼立法的一个共同发展趋势，其中发源于美国的小额诉讼制度颇受各国的青睐。小额诉讼程序制度是针对小额轻微事件而设立，通过合理配置司法资源，在保障公平的前提下最大限度地提高程序效益，以使整个民事诉讼体制获得公平与效率衡平的重要制度。当然，小额诉讼程序不是完美无缺的，还存在到目前为止无法解决的问题，而解决这些问题的关键是从构建多元化纠纷解决机制的角度出发，谨慎限制小额程序的范围，尽可能将其设定为一种由当事人选择的替代性程序，同时，发展非诉讼纠纷解决机制，使其发挥应有的作用，促进诉讼程序与非诉讼程序的协调和衔接，从而使小额诉讼制度可能产生的负价值降低到最低点。此外，值得注意的是，要注重法官整体素质的提高，确定法官裁量权的限度，以此作为有效的制约机制。尽管小额诉讼制度存在不尽如人意之处，然而任何有利于提高诉讼效率和经济性的措施及制度对法院与当事人都有难以抗拒的诱惑力，因此我国肯定也要设立这一制度以解决日益增长的诉讼压力。但笔者认为，由于任何制度的设立与发展都与各国的经济发展、人们的文化传统、法律制度的具体运行环境等因素密切相关，因此现阶段比较妥当的做法是将完善我国现行民事简易程序的这段时间作为设立小额诉讼制度的过渡阶段，采取这样的步骤可以避免在立法与司法实践中出现较大的动荡。本文运用了历史的研究方法，对小额诉讼程序的有关概念、特征、意义等基本理论问题进行了初步探讨，分析了小额诉讼程序的法理基础及其应具有的程序内容，并在比较研究国外一些主要立法例的基础上，提出了在我国应分步骤地构建小额民事诉讼程序制度的建议。本文除引言与结论外，共分为五部分。第一部分首先简要介绍小额诉讼程序的产生与发展的过程，对其由来进行了初步的考察，并界定了小额诉讼程序的概念，指出小额诉讼程序是只能受理诉讼标的在一定金额以下或具有其他特定性质的纠纷，且关于处理这些纠纷的程序乃至审理主体都有一些特殊规定的诉讼程序。其次归纳了小额诉讼程序所具备的一般特性，即适用的案件类型单纯，程序简便，注重调解，低成本高效率，与替代性纠纷解决程序相比小额诉讼程序原则上由职业法官审判。第二部分阐述了小额诉讼程序设立的背景条件，是由主客观两方面的因素及其自身的社会功能决定的。客观方面主要是由于普通程序固有的弊端以及诉讼的压力迫使人们寻求较为简便、经济的纠纷解决程序；主观方面则是因为人们观念的转变，从原来只注重实体利益开始关注程序利益，要求在解决纠纷的同时付出的成本与得到的利益是相当的，与此同时，自治的观念也在人们脑中形成，要求参加到纠纷解决的过程中来，这为小额诉讼程序的产生奠定基础。另外，小额诉讼程序所具备的独特的社会功能也使其在各国得到广泛<WP=3>的确认，这些功能包括解决被社会或国家认为不甚重要的民事纠纷，对诉讼程序乃至法治的补偏救弊，是诉讼与非诉讼方式纠纷解决方式之间的联结点。随后，从应当保障当事人平等使用诉讼制度的机会，“慎重裁判之程序保障”与“简速裁判之程序保障”的平衡，费用相当性原理的运用，这三个不同的角度，进一步分析了小额诉讼程序的法理基础。第三部分则是根据上述小额诉讼程序赖以存在的法理基础及其独特的社会功能来设计这一程序应具有的程序内容，有以下几点：（1）适用小额诉讼程序的对象主要是小额轻微事件，也就是争议金额较小和案情轻微没有实质争执的事件，同时还规定了适用小额诉讼程序审理事件的标准；（2）从方便小额权利人的角度出发，法院的管辖应有所调整；（3）为了兼顾达成慎重裁判之基本需求与简速裁判之基本需求，应当保障当事人有程序选择权，满足程序保障多样化的需要;（4）因为小额诉讼程序是高度简化了的程序，因而要赋予法官相当大的职权，包括程序与实体两方面的；（5）小额诉讼中采取本人诉讼原则，对律师作代理人一般是有限制的，各国对此规定不尽相同，此外，律师还具有不同于在普通诉讼中的职能。第四部分分别介绍了属于英美法系的美国、英国和属于大陆法系的德国、日本的小额诉讼制度的立法体例，指出由于各国历史文化传统的不同、法律制度具体运行环境的差异，其小额诉讼制度的设立也是各具特色的。美国与英国是将小额诉讼程序作为一种性质上与普通程序不同的特殊程序来设立，德国则是将其作为普通程序的简易形态来设定，而日本则根据本国的实际情况，设计出了不同于前两者的小额诉讼程序，其立法颇具特色。但是不管各国将其置于何种位置，到目前为止小额诉讼制度本身都存在无法解决的矛盾与问题，例如：小额诉讼程序与普通诉讼程序如何衔接或整合的问题，小额诉讼中法官职权得到进一步强化但缺少相应制约机制的问题，快捷便利的纠纷解决与提供足够的程序保障之间的矛盾，简化诉讼程序与诱发滥诉的矛盾。第五部分首先总结了我国现行相关民事诉讼立法中存在的问题，一方面是现行的简易程序在立法及司法实践中的局限性，另一方面为适用简易程序价值取向上的单一性，即只注重效率忽视程序公正。其次，提出了笔更多还原

【Abstract】 As viewed from all over the world, it’s a common trend to simplify the procedures and raise the efficiency of litigation in contemporary civil legislation. Many countries pay great attention to the small claims litigation system originated from the United States. The small claims litigation system was established with correspond to the small disputes by means of reasonably assigning the judicial resources. The establishment of small claims procedure is on the basis of the presumption of raising the efficiency of civil action with guarantee justice in order to make the whole civil action system get equilibrium of justice and efficiency. Of course, this system is not perfect and has the problems which are not solved. The key of solving these problems is, from the angle with constructing the multi-dispute-settling mechanism of the whole society, to limit the scope of small claims procedure, to make it become the substitutive procedure, meanwhile, to develop the mechanism of non-litigious settling disputes and to stimulate the coordination with the litigious procedure and the non-litigious procedure. At the same time, the limitation of judge’s discretion should be decided, which can be taken as the most effective institute to control. Although there are drawbacks in small claims procedure, any procedure which is beneficial to raising efficiency can attract to courts and parties, therefore, it’s certain that we introduce the system from the foreign countries in order to mitigate judicial pressure. However, the author believes that the introduction of small claims procedure should be implemented in two stages in China. Firstly, we should reform the existing summary procedure. Secondly, after the certain conditions are mature, small claims procedure can be established in our country. When we introduce the system, we should take into consideration such as a country’s economic development, people’s culture and tradition, environment of legal system operation. At present, owing to many differences between China and the foreign countries, the proper method is to take the practice mentioned above to avoid turbulence in legislation and judicial activity. This paper conducts a preliminary probe into the basic theoretical problems on the small claims procedure such as its concept and relevant notions, its features and research significance, analyzes its value and jurisprudential basis, and puts forward the thinking about gradually establishing<WP=5>this procedure in our country based on a comparative study on major patterns in foreign legislation.Besides the introduction and conclusion, the present paper consists of five parts.PartⅠbriefly introduces the process of the small claims procedure, conducts a preliminary examination on the origin of small claims litigation system, establishes the concept of small claims litigation, which is aiming as a target a payment demand of a small sum or other suits containing special natures, what’s more, the procedure and the trail subjects are particularly prescribed, and sums up the general features of small claims procedure: (a) the application object is specific; (b) the procedure is more and more simple and completely operates in the common way; (c) mediation is emphasized; (d) a distinct orientation is low cost and high benefit; (e) it is subject to a kind of civil procedure which should be heard by professional judges in principle being seen from the form and nature. PartⅡexpounds the background of the small claims procedure, which depends on the subjective and objective aspects and its own social functions. On one hand, inherent drawbacks in the ordinary procedure and judicial pressure make the small claims procedure come into being; on the other hand, people have changed their mind, from pay attention to the substantial benefit to the procedural benefit, demanding that the benefit is equal to the cost, meanwhile, more and more people want to take part in the civil litigation. What’s more, the peculiar functions of small claims procedure have been confirmed all over the wo更多还原