【作者】 罗水平；

【导师】 屈茂辉；

【作者基本信息】 湖南大学 ， 法学， 2013， 博士

【摘要】 在司法实践中，民事诉讼发回重审制度发挥着保障初审程序的正当性、维系不同审级法院之职能分工及保护当事人的审级利益之功效。此种功效使得发回重审作为一种独立的结案方式区别于直接改判。尽管发回重审制度具有其独特的存在价值，但作为废弃原判决之最为极端方法，其对诉讼进程、诉讼成本的影响不可忽视。案件经上诉审法院审理后发回一审法院重审，意味着案件将多经历一次一审，当事人不服还可提起上诉，则案件即经历了二次二审，此种处理方式使得整个诉程拉长，当事人之间的法律关系长期得不到确立。此不利后果在再审程序中体现得更为明显。从这个意义上讲，发回重审在民事诉讼中的适用应受到严格限制。纵观两大法系关于发回重审制度之规定，其对于发回重审这种极端的结案方式都采取了审慎的、限制的态度。此种限制反映在立法上，主要表现在以下三个方面：一是严格限制发回重审事由，明确案件符合发回情形时方可发回；二是对发回重审的程序进行限定或规范，避免发回程序的随意性，并赋予当事人合意选择上诉审法院直接改判的权利；三是从效力上进行约束，赋予废弃发回判决以拘束力，防止重审法院固执于自己的意见，作出与上级法院相异之判断，造成案件在两级法院间不断往返之诉讼浪费。然而，在我国，发回重审事由规定失范、程序不完善以及效力规范缺失直接导致发回重审率一直处于高位运行。而且，案件发回原审法院重新审理后，新的判决与原审判决结果一致的所占比例较高，再次上诉比例较高。不唯如此，发回重审程序还存在随意性较大的问题。此种现状一方面浪费了稀缺的司法资源，案件在上下级法院之间循环往复，诉讼久拖不决，另一方面也对当事人的权利实现增加了障碍，对当事人造成讼累。因此，显然有必要予以改进。从保障程序正义及实现诉讼经济考虑，我们有必要科学构建民事案件发回重审制约机制，以有效降低发回重审被滥用的机率以及提高重审案件质量，保障当事人的诉讼权利以及实体权利。具体而言，一是在发回重审事由方面，取消事实不清、证据不足这一标准，在程序性事由上，应以原审程序存在重大瑕疵作为发回重审的标准，新的证据的出现不能一概构成发回重审的法定理由。二是建立完善的程序，赋予当事人通过诉讼契约选择上诉审法院直接改判的权利，上级法院有权将案件发回到与原审法院同级的其他法院，也可在再审程序中将案件发回到二审法院重审。重审法院对案件重新审理时，应另行组成合议庭，重审法院作出判决后，当事人不服，提起上诉，原上诉审法院作出发回判决的合议庭不需要回避。同时，应明确规定，发回重审适用于一审以民事裁定结案的案件。三是构建发回判决对上级法院及下级法院的制约机制，发回重审的法律意见不仅应对上诉审法院形成约束，而且重审法院亦应遵从。至于拘束力的范围，应限于否定原审判决且与撤销原判决有直接因果关系的法律见解及该法律见解的必要前提条件。事由制约、效力制约、程序制约相互配合共同构成民事案件发回重审制约机制，此机制之科学构建将对发回重审制度的滥用形成约束。更多还原

【Abstract】 In judicial practice, the remand system plays an important role in protecting thelegitimacy of the trial, maintaining a different division of functions in trial-levelcourts and protecting the trial-level interests of the parties. Despite the remand systemhas its own unique existence, as a waste of the original decision of the most extremeway, remand is a high cost, long process of First Instance, the overall efficiency is lowand easy to create tired of First Instance of the second trial the parties closed way.Moreover, the remand of the cause of the damage stability program, the program is nota direct consequence of the stability of the litigation between the parties rights andobligations due to lack of a final court decision is not clearly confirm the status of thejudicial authority is difficult to establish. In this sense, remand the application in civilproceedings should be strictly limited. Two Schools for the remand of this "extreme"cases by the way have adopted a cautious, limited approach. Such restrictions arereflected in the legislation, mainly in the following three aspects: First, strictly limitthe remand subject; second is desirable to give the parties choose to appeal the trialcourt commuted the right to direct; third is to give the waste back to the decision to bebinding, Court to prevent a retrial on their own stubborn views, making the differenceswith the superior court judge, resulting in two court cases from the litigationcontinued between waste. Remand provisions subject anomie, lack of controlmechanism, leading to inadequate procedures remand rate in China has been at a highlevel. In addition, the remand system in practice, also show the followingcharacteristics: First, the case back to trial court re-trial, the new trial court’s decisionis consistent with the high proportion; Second, remand the case again a higherproportion of appeals. We need to regulate the subject of remand, remand the sciencebuilding control mechanism to reduce the chances of abuse remand. Specifically, onesubject in remand, and to eliminate "the fact is unclear, evidence insufficient," thestandard, on procedural grounds, should be "the first instance has a major flaw," as thestandard remand,"the new evidence "there should not be any reason to constitute astatutory remand. Second, a higher court ruling on back and the constraints of thelower court, the parties to the higher court’s control mechanism. Remand the case inthe trial of organizational issues on retrial the court should be formed a collegiatebench retrial retrial the court ruling, an appeal against, appeal, appellate court made the original decision to sit back do not need to avoid. Remanded for retrial system isreasonable, but there was abuse, should establish appropriate mechanisms for theproper use of the constraints.更多还原