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中文题名:

 我国法院特邀调解制度研究    

姓名:

 陈亢睿    

保密级别:

 公开    

论文语种:

 中文    

学科代码:

 030106    

学科专业:

 诉讼法学    

学生类型:

 博士    

学位:

 法学博士    

学位类型:

 学术学位    

学位年度:

 2019    

校区:

 北京校区培养    

学院:

 法学院    

第一导师姓名:

 熊跃敏    

第一导师单位:

 北京师范大学法学院    

提交日期:

 2019-01-04    

答辩日期:

 2018-12-21    

外文题名:

 Research on the Specially-Invited Mediation System of Chinese Courts    

中文关键词:

 特邀调解 ; 法院附设调解 ; 委派调解 ; 委托调解 ; 司法确认    

中文摘要:
2016年6月最高人民法院发布《关于人民法院特邀调解的规定》(以下简称《特邀调解规定》),首次以司法解释的形式规定了特邀调解制度,使得该制度从之前所处的司法政策、实践探索层面一跃成为引人注目的正式法律制度。特邀调解丰富了当事人的解纷途径,同时也拓展了法院的解纷功能,是多元化纠纷解决机制的重要组成部分。作为一项新型的调解制度,特邀调解尽管有了立法支撑,但对其理论基础、程序的具体运作以及保障措施的研究等仍有待加强,本文拟就该制度在我国的构建和完善展开研究。除引言与结语外,本文共分为七章。 第一章,特邀调解概述。特邀调解是法院将符合条件的人民调解、行业调解等社会调解组织和个人吸纳进特邀调解名册,以接受法院的委派或委托对当事人纠纷进行调解的一种解纷方式。根据特邀调解发生的阶段不同,其可以分为诉前的委派调解和诉中的委托调解两种。特邀调解有别于协助调解、先行调解、专职调解和律师调解制度,在性质上属于中国化的法院附设调解,具有准司法性。特邀调解在我国的发展经历了萌芽、试点和立法三个阶段,通过对比类似制度即法院附设调解在两大法系的发展过程可知,我国的特邀调解正处在从鼓励适用阶段向要求适用阶段转变的过程中。 第二章,特邀调解的法理基础。在以“接近正义”为主题的司法改革运动中,正义的内涵得到重新界定,诉讼并非实现正义的唯一选择,法院也不再是单纯的诉讼之地,法院可以通过行使案件管理权引导当事人选择特邀调解化解矛盾。在特邀调解中,由当事人控制纠纷解决的主动权和决定权,以满足当事人多样化的解纷需求。推动特邀调解制度设置的直接动因是为了弥补诉讼在解纷方面的缺陷、缓解法院案多人少的压力以及助力民间调解力量的发展。特邀调解本身具有高效化解纠纷、维护修复当事人关系以及实现纠纷繁简分流的功能,特邀调解的价值定位应当摆脱弥补诉讼缺陷的配角地位,彰显其独有的解纷功能和价值。 第三章,特邀调解的主体。特邀调解归根到底还是要由调解员来落实,调解员素质的高低直接影响到特邀调解的成效。对特邀调解员的准入资格,可以从道德品行、调解技能、文化水平以及不得存在犯罪记录等正反两方面限定,并加强对调解员入册前和任职期间的培训,改变我国现行实务中粗放随意的做法、提高调解员的综合素质。制定特邀调解名册时,应包含调解业务范围、培训情况、调解经历等实质内容,并在法院的公示栏和官网的显著位置进行公示,方便当事人在选定调解员时进行参考。具体案件中,特邀调解员应首先由双方当事人协商选定,无法达成一致意见时才可由法院或特邀调解组织指定。 第四章,特邀调解的程序启动。目前,特邀调解只有自愿启动一种方式,实践中当事人自愿启动率低、程序启动难已经成为特邀调解的发展瓶颈,为此应当引入强制启动方式,现阶段亟需设定的是诉前的强制启动。当事人的程序选择权是有限的,进入诉讼之前往往是调解的最佳时机,当事人即使是被动参与调解也存在达成协议的可能性,因此在诉前强制当事人参与特邀调解具有正当性。根据纠纷的特点和性质,适宜将小额诉讼、家事诉讼和相邻关系纠纷列为诉前强制启动特邀调解的适用范围,并设定例外情况。另外,由于诉前强制启动的非自愿性,在具体操作中应谨防该程序沦为“走过场”,或者成为法院变相拖延立案的借口。 第五章,特邀调解的程序展开。诉前的特邀调解和诉中的特邀调解在程序路径上的主要区别在于与诉讼程序的衔接环节,在进入具体调解阶段后并无不同。关于调解方式的选择,现阶段预测型调解或许是最能与特邀调解相匹配的调解方式,辅助型调解方式则是特邀调解日后发展的一个方向,而修正后的教化型调解方式亦是不可或缺的,这三种调解方式均有其适合的纠纷类型和情形,调解员在调解过程中可以综合灵活运用。尽管特邀调解的运行过程不拘泥于严格的程序外观,但仍应设定最低限度的程序保障并赋权调解员对调解进行适当干预,以保障实质正义的实现。 第六章,特邀调解的程序终结。特邀调解的结果包括未达成调解协议和达成调解协议两种。在未达成调解协议的情况下,无争议事实记载机制可以最大限度地利用特邀调解的成果,避免解纷资源的浪费。通常特邀调解协议的达成是当事人自由协商的结果,而无异议调解方案认可机制则是调解协议达成的特殊方式。特邀调解协议是一种特殊的民事合同,其具有更强的真实性和证明力、调解的确定效力以及附条件的强制执行力。对特邀调解协议的司法审查包括两大类:一是在当事人对调解协议均没有争议时,共同申请司法确认,由法院对其进行形式审查和有限的实质审查;另一类是当事人对调解协议存在争议时,可以提起针对调解协议或者原纠纷的诉讼,其中也涉及到对协议效力的审查。 第七章,特邀调解的保障措施。徒法不足以自行,为了促进特邀调解的顺利运行应设如下三种保障措施:一是建立全方位的劝告调解制度,将法院对当事人的调解劝告、律师对当事人的调解告知以及当事人对调解劝告的考虑义务化、法定化和程序化。二是健全特邀调解的费用承担,根据“谁使用,谁付费”原则,随着该制度的发展成熟,调解收费应当逐步市场化,以当事人付费为主,同时积极拓展捐赠、保险等其他资金供给渠道。三是发挥诉讼费的杠杆作用,合理提高诉讼费的收费标准并将律师代理费纳入诉讼费范围,通过案件受理费的减免对当事人选择特邀调解进行正面鼓励,设定诉讼费罚则对当事人无理拒绝特邀调解进行反面惩戒。 总之,特邀调解制度在我国的规范化发展起步不久,探寻该制度的理论基础,并从特邀调解主体的选定、程序的启动、具体运作、程序保障措施等方面对其进行深入研究,以构建出针对特邀调解的独立完整的制度体系,对该制度的功能发挥和长远发展具有重要意义和价值。
外文摘要:
In June 2016, the supreme people's court issued the "Provisions on Specially-Invited Mediation by the People's Courts" (hereinafter referred to as the "Provisions on Specially-Invited Mediation"), which for the first time stipulated the system of specially-invited mediation in the form of judicial interpretation, making the system leap from the previous judicial policy and practical exploration to a remarkable formal legal system. Specially-invited mediation enriches the dispute resolution approach of the parties and expands the court's dispute resolution function, which is an important part of the diversified dispute resolution mechanism. As a new type of mediation system, specially-invited mediation has legislative support, but the research on its theoretical basis, specific operation of procedures and supporting measures still needs to be strengthened. This paper intends to carry out research on the establishment and improvement of this system in China. Besides the introduction and conclusion, this paper divided into seven chapters. Chapter one , the summary of specially-invited mediation. Specially-invited mediation is a means of dispute resolution in which the court induces qualified people's mediation, industry mediation and other social mediation organizations and individuals into the list of specially -invited mediation to accept the designation or commission of the court to mediate the disputes between the parties. According to the different stages of specially-invited mediation, it can be divided into two types: the designated mediation before litigation and the commissioned mediation in litigation. The specially-invited mediation is different from the system of assisting mediation, first mediation, full-time mediation and lawyer mediation. The development of specially-invited mediation in China has gone through three stages: germination, pilot and legislation, belongs to the Chinese nature of the court-annexed mediation, has quasi-judicial nature. By comparing the development process of similar system, namely the court-annexed mediation in the two major legal systems, we can come to the conclusion that China's specially-invited mediation is in the process of changing from encouraging the application stage to the requiring application stage. Chapter two, the legal basis of specially-invited mediation. In the judicial reform with the theme of "approaching justice", the connotation of justice has been redefined. Litigation is not the only choice to realize justice, and the court is no longer the solely place for litigation. In the specially-invited mediation, the parties control the initiative and decision-making of dispute resolution to meet the parties' diversified demands for dispute resolution. The direct motivation of promoting the establishment of special mediation system is to remedy the deficiency of dispute resolution in litigation, relieve the pressure of many cases with less stuffs and facilitate the development of folk mediation. Specially-invited mediation has the function of efficiently resolving disputes, maintaining and repairing the relationship between parties and redistributing disputes. The value orientation of specially-invited mediation should get rid of making up for the defects of litigation and highlight its unique function and value of dispute resolution. Chapter three, the specially-invited mediator. In the final analysis, the mediation should be implemented by the mediator. The quality of the mediator directly affects the effectiveness of the mediation. The entry qualifications of the specially-invited mediators can be limited from two aspects: moral conduct, mediation skills, cultural level and the absence of criminal records, etc., and the training of the mediators before and during their entry into the record should be strengthened, so as to change the casual practice in China's current practice and improve the comprehensive quality of the mediators. When the specially-invited mediation roster is formulated, it shall contain substantial contents such as the scope of mediation business, training situation and mediation experience, etc., and shall be published in the bulletin board of the court and the prominent position on the official website, so as to facilitate the parties' reference of selecting mediators. In specific cases, the specially-invited mediators shall be first selected by the parties through consultation and can only be appointed by the court or the specially-invited mediation organization if no consensus can be reached. Chapter four, the initiation of specially-invited mediation. At present, the specially-invited mediation can only be started voluntarily. In practice, low voluntary start rate of parties and difficulty in starting procedures have become the development bottleneck of specially-invited mediation. Therefore, compulsory start mode should be introduced. The parties' procedural options are limited, and the best time for mediation is always before litigation. Even if the parties passively participate in mediation, the possibility of reaching agreements remains. Therefore, it is legitimate to force the parties to participate in specially-invited mediation before litigation. According to the nature of the dispute, it is appropriate to include small claims, family litigation and adjacent relationship disputes as the application scope of compulsory initiation of special mediation before litigation, and to set exceptions. In addition, due to the non-voluntary nature of compulsory initiation before litigation, the procedure should be carefully prevented from becoming a "formality" or an excuse for the court to delay the filing of the case. Chapter five, the procedure of specially-invited mediation. The main difference between specially-invited mediation before litigation and specially-invited mediation in litigation lies in its connection with litigation procedure. About the choice of the ways of mediation, at present the prediction mediation may be the most matching for specially-invited mediation, ancillary mediation is a direction of specially-invited mediation in the future, and the enlightenment of the revised settlement way is also essential, these three methods all have their suitable dispute type and situation, the mediator can use them flexibly. Although the operation of the specially-invited mediation is not limited to the strict appearance of the procedure, a minimum level of procedural safeguards should be set up and the mediator should be empowered to intervene appropriately to guarantee the realization of substantive justice. Chapter six, the end of the specially-invited mediation. The results of specially-invited mediation include the failure and the achievement of a mediation agreement. In the absence of a mediation agreement, the non-dispute factual recording mechanism can make the most of the results of the specially-invited mediation and avoid the waste of dispute resolution resources. Generally, the achievement of a mediation agreement is the result of the parties' free negotiation, while the recognition mechanism of the no-objection mediation program is a special way to reach the mediation agreement. The specially-invited mediation agreement is a kind of special civil contract, which has the stronger authenticity and the proof power, the mediation determination effect and the conditional enforcement power. The judicial review of the specially -invited mediation agreement is divided into two categories. First, when the parties have no disputes over the mediation agreement, they jointly apply for judicial confirmation, and the court conducts formal examination and limited substantive examination of the mediation agreement. The other type is when the parties have disputes over the mediation agreement, they may bring a lawsuit against the mediation agreement or the original dispute, which also involves the examination of the effectiveness of the agreement. Chapter seven, the safeguards of specially-invited mediation. In order to promote the smooth operation of the specially-invited mediation, the law of specially-invited mediation is not enough. The following three safeguards should be adopted: first, a comprehensive advisory mediation system should be established to make the court's advice to the parties, the lawyer's advice to the parties and the parties' consideration of mediation advice compulsory, legal and procedural. Secondly, the expenses of specially-invited mediation should be improved. According to the principle of "who uses and who pays", with the development and maturity of the system, the mediation fees should be gradually marketized, with the party paying the main fees, and other capital supply channels such as donation and insurance should be actively expanded. Thirdly, Play a leverage role of the litigation costs, reasonably raise the standards of litigation costs and include the lawyer agency fees into the scope of litigation costs. Encourage the parties to choose the special mediation through the reduction and exemption of the litigation costs. Set the penalty rules for litigation costs and punish the parties to unreasonably refuse the specially-invited mediation. All in all, the standardization of the specially-invited mediation system in our country started soon, explore the theoretical basis of the system, and from the mediator, procedure, operation and safeguards on the in-depth research, to construct the special independent and complete system of specially-invited mediation, play great significance and value to the function and long-term development of the system.
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馆藏地:

 图书馆学位论文阅览区(主馆南区三层BC区)    

馆藏号:

 博030106/19001    

开放日期:

 2020-07-09    

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