【作者】 周丹；

【导师】 侯学宾；

【作者基本信息】 吉林大学 ， 法学理论， 2023， 硕士

【摘要】 在便利诉讼和司法效率性目标占据优先地位的现实基础上,我国确立了四级两审制。为了弥补四级两审制的司法公正性目标,立法者赋予了各级法院初审权和全面审查监督权,这些制度安排使得各级法院和各级程序的价值目标、职能配置和程序运作呈现为同质化的“柱型结构”。但是柱型结构因存在内在缺陷而未能实现审级制度的公正性目标,从而引发了当事人对审判监督程序的需求。而审判监督程序的理论基础与审级程序的诉权基础相悖,导致实践中同时出现了“申诉滥”和“申诉难”两种完全相反的状况。为了维护合法性认同,审判监督程序中的申诉程序被改造为再审之诉,并由上一级法院管辖,成为了事实上的第三审。再审程序改革加重了柱型结构中高层级法院的审判负担,而基于资源稀缺理论的金字塔结构正好满足了改革者对审级制度在资源配置方面的要求。我国审级结构在2021年四级法院审级职能定位改革之后已具备金字塔结构的雏形,最高人民法院的再审程序呈现出法律审的特征,四级法院职能分工转为基本的对应型。因为审级结构转型的根本动因在于诉讼爆炸所引起的司法资源不足,柱型结构背后的一些关键理论没有发生根本转换,所以目前的审级结构还保留着柱型结构的一些特征。柱型结构的第一点保留在于再审程序的主要功能仍是权利救济,再审审查不仅启动容易,而且全面审查事实问题和法律问题。再审程序的功能定位一是源于我国以实质公正、有错必究为目标的诉讼文化,二是为了替代信访,提供权利救济功能,重塑合法性认同。再审程序的救济功能与高级人民法院兼顾依法纠错和统一裁判尺度的职能出现错位,导致了“再审难”和“再审滥”共存的格局,反过来又会加深合法性认同危机。柱型结构的第二点保留在于通过提级管辖重新分配各级法院的初审权。这种层次型分工背后的指导理念主要源自基于委托代理关系的司法等级观和纠错观演进的指导观。司法等级观预设“上级法院优于下级法院”,指导观强调事前的预防错误,两种观念的结合就要求保障特殊类型案件一审判决的正确性。在这两种观念下,正确性的内涵已经逐渐转变为以上级为准的统一性,上级法院的指导占据重要地位,这削弱了上诉程序的价值,以至于加深了我国的司法行政化症状。柱型结构保留的两点特征,反映了我国目前注重法院职能分层而不注重程序功能分化的“职能型”审级结构特性,程序成为了职能的低层次要素。而金字塔结构的核心要义体现为“程序型”审级结构,强调程序的优位价值。“程序型”审级结构的建立,一方面需要对各级程序功能进行分化,将提供权利救济的合法性认同功能从再审程序下沉至一审和二审两级程序之中。再审审查程序应改权利性再审为裁量性再审,注重司法效率性目标,替代提级管辖机制发挥分流案件的作用。另一方面各级法院之间的关系需要重新定位,引入协调博弈关系来替代委托代理关系,以协调上级法院的权威性和下级法院的独立性,在统一法律适用目标的同时也关注法律适用过程中的动态演变,让司法解释回归为技艺手段。更多还原

【Abstract】 Based on the reality that the goals of facilitating litigation and judicial efficiency take precedence,China has established a four-level,two-trial system.In order to compensate for the impartiality goals of the four-level two-trial system,the legislator has given the courts the power of first instance and the power of comprehensive review and supervision at all levels,and these institutional arrangements have resulted in a homogeneous “Cylindrical Structure” in terms of the value goals,function configuration and procedural operation of the courts and procedures at all levels.The inherent deficiencies of the Cylindrical Structure fail to achieve the fairness goals of the trial level system and trigger the demand of the parties for trial supervision procedures.Because the theoretical basis of the trial supervisory process is in contradiction with the right to appeal in the trial level process,two completely opposite situations of “abuse of appeal” and “difficulty of appeal” have emerged in practice.Based on the maintenance of legal identity,the trial supervision procedure of the complaint was transformed into a retrial of the appeal,and the trial level was raised,becoming the de facto third trial.The reform of the retrial process has increased the trial burden of the higher courts in the Cylindrical Structure,while the Pyramid Structure based on the theory of resource scarcity has met the reformers’ requirements for the trial level system in terms of resource allocation.China’s trial structure has taken the shape of a Pyramid structure after the reform of the positioning of the trial functions of the four levels of courts in 2021,with the retrial procedures of the Supreme People’s Court taking on the characteristics of a legal trial and the division of functions of the four levels of courts shifting to a basic corresponding type.Because the fundamental motivation for the transformation of the judicial hierarchy in the lack of judicial resources caused by the litigation explosion,some key doctrines behind the Cylindrical Structure have not undergone a fundamental transformation,which also results in the current trial structure retaining the characteristics of the Cylindrical Structure.The first reservation of the Cylindrical Structure lies in the fact that the main function of the retrial process lies in the right remedy,not only the easy initiation of retrial review,but also the comprehensive review of factual and legal issues.The orientation of the function of the retrial procedure lies firstly in the litigation culture of our country which aims at substantial justice and investigation of errors,and secondly,it has the special significance of replacing the petition and reshaping the legitimacy identity.The relief function of the retrial procedure is misaligned with the function of the High People’s Court of correcting mistakes and unifying the scale of judgment,which leads to the coexistence of “difficult retrial” and “abusive retrial”,which in turn will deepen the crisis of legitimacy.The second reservation of the Cylindrical structure lies in the redistribution of the first instance power of courts at all levels through the elevated jurisdiction.The guiding concept behind this hierarchical division of labor is the evolution of the judicial hierarchy and error correction concept based on the principal-agent relationship.The judicial hierarchy concept presupposes that “higher courts are superior to lower courts”,and the guidance concept emphasizes the prevention of errors beforehand.Under these two concepts,the connotation of correctness has gradually changed to uniformity based on the superior,and the guidance of the superior court has taken an important position,weakening the value of the appellate process to the extent that it has deepened the symptoms of judicial administrativeization in China.The two features retained in the Cylindrical structure reflect the “functional”Judicial Structure that focuses on the hierarchy of court functions rather than on the differentiation of procedural functions,and the procedures have become a low-level element of the functions.The essence of the pyramid structure is reflected in the“procedural” Judicial Structure,which emphasizes the superior value of the procedure.The establishment of the “procedural” Judicial Structure should,on the one hand,divide the functions of procedures at all levels,and transfer the function of legitimacy recognition from the retrial procedure to the first and second trial procedures.From the perspective of limited resources,the retrial process,which no longer has a special function,should focus on the economic efficiency of the retrial process mechanism and play the role of diverting cases instead of the elevated jurisdiction mechanism.On the other hand,the relationship between courts at all levels should be repositioned,and mixed-motive coordination game relationship should be introduced to replace the delegated agency relationship,to coordinate the authority of higher courts and the independence of lower courts,to focus on the dynamic evolution in the process of law application while unifying the goal of law application,and to return judicial interpretation as a means of skill.更多还原