法理与建构：中国司法改革的宏观思考

【作者】 吴卫军；

【导师】 樊崇义； 宋英辉；

【作者基本信息】 中国政法大学 ， 诉讼法学， 2003， 博士

【摘要】 当代中国，随着市场经济体制的逐步建立、民主政治的日益完善，以及依法治国理念的宪法化，社会日益孕育与呼唤更加民主、科学的司法体制以及与之相配套的运作机制。正在全国范围内如火如荼开展的司法改革正是回应时代要求的伟大社会变革运动。在此背景下，深入研析司法改革相关问题无疑具有十分重要的理论价值和现实意义。论文以司法改革中的一些基本理论问题如司法权的功能与构成要素、司法改革的主体与对象、司法改革的基本理念与基本原则、司法改革的路径选择与目标图景等为研究对象，综合运用思辨、比较等研究方法，站在法理高度从规范和实证两个方面宏观分析了我国司法改革的现状及存在的问题，并有针对性地提出了一些改革举措。论文共分七章，其中前五章是对司法改革基本理论问题的分析，后两章则侧重于研究司法改革中的具体问题，各章主要内容如下：第一章司法改革概述。首先，分析了司法与司法权的基本概念，指出本文中的司法是指法院、检察院依照一定程序适用法律处理诉讼案件的活动，与此相对应，司法权既包括检察权，也包括审判权，现代司法主要有纠纷解决功能和其他社会功能两方面的功能；其次，分析了司法权四个方面的构成要素：司法主体、司法行为、司法客体、司法程序，认为它们是紧密联系、密不可分；再次，分析了司法改革的概念，认为司法改革是指有关司法体制、司法机制及司法观念的变化与革新的总称，司法改革具有历史必然性、系统性、长期性；然后，分析了司法改革的基本类型，指出各国司法改革大体上可分为建立法治型、深化法治型、简化法治型以及复合型四种形态，我国司法改革应当归属于复合型司法改革；最后，指出司法改革中应当坚持“泛主体论”，其中全体公民、司法机关及司法人员、律师及律师协会、立法机关、政府是司法改革的重要主体，而司法改革的对象则包括司法主体、司法行为、司法客体、司法程序四方面的内容。第二章司法改革的背景分析与历程回顾。首先，分析了司法改革的历史背景与社会动因，指出中国社会正经历着整体转型、政治经济全球化的影响日益加深、司法出现了一定程度的应对失灵、司法改革成为政治体制改革的先行等四方面的因素构成了我国司法改革的动力机制；其次，将我国正广泛开展的司法改革运动在时间层面分为三个阶段进行了简要分析回顾。第三章司法改革的基本理念与基本原则。首先，认为司法改革的基本理念是指贯穿司法改革全过程并在其中发挥主导和支配作用的基本指导思想，我国司法改革中应当树立法律至上与以民（人）为本两个基本理念，并对两者的内涵进行了详细阐述；其次，指出司法改革中应当坚持五项原则：渐进性原则、系统性原则、本土化原则、现代化原则、国家主导原则，并对上述五项原则的基本内容进行了分析诠释。<WP=4>第四章司法改革的路径选择与目标图景。首先，分析了司法改革中可能的三种路径选择：激进主义的建构路径、保守主义的进化路径、折衷主义的改良路径，指出作者在整体上倾向于第三种改革路径；其次，分析了我国司法改革的目标图景应当定位于制度变革与观念更新两个层面，其中前者又包括四方面的内容：独立、专业的司法队伍，公正、高效的司法运行机制，合理、协调的纠纷解决体系，正义、理性的司法程序，后者则着重于建立以市场经济、民主政治为基础的，与现代司法制度协调发展、良性互动的观念体系，包括对司法功能的认识、对诉讼价值的认识、对“认识论”的认识、对司法国际标准的认识及“国家本位”、“权力本位”、“义务本位”观念的转变等几方面的内容。第五章司法改革的评析与前瞻。首先，在充分肯定我国司法改革积极意义的基础上，指出目前至少存在六个方面的问题：改革指导思想和目标定位的阙如，改革缺乏系统规划和统一协调，改革的合法性、正当性依据不足，改革偏于功利性与应对性、前瞻性不够，改革推行中民众的参与不够，一些重要事项还没有引起足够重视并被提上改革日程；其次，针对这些问题提出了七个方面的具体改进措施：确立法律至上与以民（人）为本的改革理念，明确司法改革的目标定位，设立统一的国家司法改革委员会，扩大民众的参与度，及时完善和制定相关立法，建立科学的改革评估机制，加强对司法改革基础理论的研究。第六章司法程序改革。首先，分析了司法程序在司法改革中的定位，指出程序改革是司法改革的重要组成部分，是决定司法改革能否成功的关键因素，同时还是绝大部分司法改革举措得以推行的归宿，因此居于十分重要的地位；其次，分析了司法改革对司法程序的目标定位，即建构一个兼具独立性、刚性、交涉性、亲和性的司法程序；再次，从独立性、刚性、交涉性、亲和性四方面对我国现行司法程序制度设计及司法实践现状进行反思和检讨，并在此基础上提出了相应的改进举措。第七章法律教育改革。首先，分析了法律教育的含义、分类，指出法律教育能为司法改革提供强有力的理论支持，能为司法改革提供源源不断的人才供给，是提升我国司法人员素质的重要途径，因此，法律教育改革在司法改革中发挥着十分重要的作用；其次，简要介绍了我国法律教育的现状，并有针对性?更多还原

【Abstract】 In modern China, with the establishment of market economic system, graduate perfection of democratic politics, and constitutionalization of the concept "Rule of the Country by Law", China is more in need of more democratic, scientific judicial structure as well as the operating system consistent with it. The judicial reform in progress all over China is exactly the great social movement meeting this demand. Under this situation, it is of theoretical value and practical significance to conduct study and analysis concerning related issues of judicial reform. This thesis covers some basic theoretical issues in judicial reform, like the function and ingredients of the sword of justice, the subject and target, the fundamental ideas and principles, and methods and goals of judicial reform. It comprehensively takes the approaches of comparison, etc., and based on judicial theories, it conducts a macro analysis on the current status and existing problems of China’s judicial reform. Moreover, this thesis proposes some reform measures. This thesis is divided in 7 chapters, with the first 5 on the analysis of fundamental theoretical issues in judicial reform, and last 2 on the specific issues in the reform. The details of each chapter goes as follows:Chapter 1 Overview of Judicial Reform. First of all, the author analyzes the basic concepts of justice and the sword of justice, pointed out that justice mentioned in this thesis refers to the activities of courts and procuratorates handling proceedings in accordance to law, and corresponding to this, judicial office refers to both procuratorial authority and court. Second, the author analyzes four elements constituting jurisdiction: judicial subject, judicial act, judicial object, and judicial process, and regards them as interrelated and inseparable. Third, the author analyzes the concept of judicial reform, proposing that judicial reform refers to a general term for transformations and changes relating to judicial system, judicial structure and judicial concept, and pointing out that judicial reform is of inevitable, systematic and long-term nature. Fourth, the author analyzes the basic forms of judicial reform, listing four possible types of our judicial reform, that is, the type of establishing legal rule, the type of deepening legal rule, the type of simplifying legal rule and the type of composite rule, and pointing out that our reform belongs to the last category. Last, the author notes that "Pan Subject Theory" should be promoted in our judicial reform, with all citizens, judicial organs and judicial practitioners, attorneys, bar, legislature,<WP=6>government being the important subjects of the judicial reform, and the targets of judicial reform should cover judicial subject, judicial act, judicial object, and judicial process.Chapter 2 Background Analysis and Review of Judicial Reform. First, the author analyzes the historical background and social conditions for the judicial reform. Second, a brief review of the currently ongoing judicial reform was conducted by dividing it into three stages.Chapter 3 Fundamental ideas and Basic Principles of Judicial Reform. First, the author holds that the fundamental ideas of judicial reform refers to the basic guiding thoughts that go through all the reform process and play guiding and dominant role, and proposes that in our judicial reform two basic ideas should be promoted: law prevail over everything and people-orientedness. Second, five principles are suggested: the principle of phase-in, the principle of system, the principle of localization, the principle of modernization, the principle of national authority.Chapter 4 Methods and Goals of the Judicial Reform. First, three potential methods are analyzed: radical, conservative and middle-of-the-road, and the last one is favored. Second, the goals should aimed at the two areas of system transformation and concept change, and four specific aspects: independent professional judicial team, just and effective judicial system, reasonable dispute resol更多还原