【作者】 杨军；

【导师】 陈桂明；

【作者基本信息】 中国政法大学 ， 诉讼法学， 2007， 博士

【摘要】 在我国民事诉讼法的理论体系中，诉的利益是一个被忽视的概念。这种忽视使得我们不能及时应对民事司法领域内出现的纠纷类型多元化、民众权利救济意识增强、现代性新型诉讼层出不穷等新问题。众所周知，国家的司法资源毕竟有限，法院不可能解决一切纠纷，因此，需要建立一种筛选机制，使得法院能够选择那些最值得运用国家司法资源予以解决的纠纷。如何确立这种筛选机制的评价标准呢?诉的利益就是这样一个标准。本文主要目的是初步构建民事诉讼法学中诉的利益的理论体系及其具体制度，全文共五章。第一章为“诉的利益之界定”。首先，本章界定了诉的利益的概念，诉的利益是指原告所拥有的，在其民事权益受到侵害或者与他人发生民事纠纷时，确有必要、且能够实效地运用民事诉讼实现其诉权所体现出来的正当利益。诉的利益具有以下特征：诉的利益为原告所拥有；诉的利益是每个民事诉讼所必须具备的前提条件；诉的利益是实体利益与程序利益的中介与混合；诉的利益的判断基准在于原告是否具有利用诉讼的必要性与实效性。其次，本章分析了诉的利益与诉权、当事人适格以及原告资格等相近概念的区别与联系。最后，结合目前我国民事司法实务中的新问题，笔者敏锐地把握了诉的利益在含义、功能、内容与保护上扩张的趋势。特别是在诉的利益的功能上，诉的利益除了具有排除不当诉讼的消极功能以外，更为重要的是可以发挥其生成新型权利、促进司法能动与政策(法律)形成、保障当事人宪法上的裁判请求权、防止法院在受理案件时的恣意等积极功能。第二章为“诉的利益之本质”。要想认识诉的利益之本质，必须首先对诉的利益进行科学合理的定位，并探讨诉的利益的性质。诉的利益的定位问题，是指诉的利益究竟是实体法上的事项还是诉讼法上的事项、抑或是兼属实体法上与程序法上事项的问题。笔者认为，诉的利益的合理定位应该是：诉的利益贯穿程序法与实体法两个领域，具有介于程序法与实体法的中间性，并居于实体法与程序法的架桥地位。而诉的利益之定性，其实就是指诉的利益究竟是属于权利保护要件、还是属于诉讼要件问题。笔者认为，诉的利益属于诉讼要件之一。本章最后分析了诉的利益的本质。通过对民事诉讼目的与诉的利益、以及利益衡量理论与诉的利益关系的论证，笔者赞同“国家与当事人利益混合说”，即诉的利益本质是国家利益与当事人利益在民事诉讼上的平衡与协调。“混合说”符合民事诉讼目的多元论的根本精神，并契合“利益衡量论”的内在要求。第三章为“诉的利益的学说渊源”。本章主要从法哲学(主要是利益法学)的视角分析诉的利益，论证了对诉的利益进行衡量的原则、领域及依据。利益法学是诉的利益的学说渊源。民事司法裁决的供给问题打上了利益衡量理论深深的烙印，诉的利益概念内含了利益衡量的含义，在诉的利益的判断上运用利益衡量方法将会使许多疑难问题迎刃而解。诉的利益的衡量主要在原告与国家(全体纳税人)、原告与被告之间进行，并坚持合理价值判断原则、利益平衡原则与合法原则。法官在判断诉的利益时，应当以利益位阶、社会主流价值观念、公共政策、社会效果、公众舆论作为衡量依据。第四章为“诉的利益之判断标准”。由于诉的利益理论具有高度的概括性与抽象性，为了方便法院与当事人在具体民事纠纷中能够予以明确把握，增强诉的利益理论的可操作性与实践指导作用，应当规定诉的利益判断的一般标准以及在各种不同类型诉讼中诉的利益判断的具体标准。关于诉的利益判断的一般标准，往往以否定或阻却诉的利益的事项出现，这些事项具有防止滥用诉权的作用。一般来说，这些否定性事项主要有：原告的诉讼请求不属于法院民事主管的事项；原告并不需要通过法院裁判来实现其自身利益；已有其它权利救济制度的存在而无须提起民事诉讼；当事人之间存在排除民事诉讼的特别约定；存在禁止起诉的法律强制性规定。而对诉的利益判断的具体标准，世界各国民事诉讼法大都是从诉的种类的角度加以规定。本章详尽地论述了在给付之诉、确认之诉和形成之诉中诉的利益判断的具体标准及方法。第五章为“诉的利益之制度保障”。诉的利益是民事诉讼法中一个基本术语，它涉及到民事诉讼法诸多理论的构建和程序环节的设计。首先，在起诉制度上，我国民事诉讼法将实体判决要件置入了起诉的条件之中，抬高了诉讼开始的门槛。我国民事起诉制度改革的方向是取消对起诉的实质审查，改为形式审查。诉的利益属于诉讼要件，而不是属于起诉条件，也就是说，对诉的利益的权衡与判断应在案件受理以后所进行的诉讼行为。所以，在立法上，我们有必要将现行民事诉讼法所规定的起诉条件中涉及到诉的利益的部分予以排除，而对起诉条件仅做形式上的要求。其次，在诉的利益的调查上，诉的利益本质上体现了国家、原告与被告多方主体的利益博弈与权衡，它既涉及到公益，又涉及到原告与被告之间的私益，而且，诉的利益是程序利益与实体利益的混合，因此，对诉的利益有无的事实与证据的调查，既不能单独采用辩论主义，也不能采用纯粹的职权探知主义，而是转而追求两者的“调和”。最后，在法院主管制度上，由于诉的利益决定着主管范围，两者范围应趋向一致；诉的利益与民事审判权处于动态的相互适应的过程，因此，为了强化对当事人诉的利益的保障，我们有必要确立诉的利益为法院主管标准；强化司法权，促进当事人诉的利益的实现；赋予新型诉讼“形成中的权利”以诉的利益，扩大民事主管范围。更多还原

【Abstract】 In the theory system of Chinese civil procedure law, the benefit of litigation is a neglected concept. This kind of neglect enables us not timely solve these new problem: the multiplication of the dispute type, the strengthening of the populace right relief consciousness; the modern new lawsuit emerges one after another, and so on. It is well known, national judicial resources is after all limited, the court is impossible to solve all disputes, therefore, we must establish one kind of filter mechanism, enables the court choose these worthy disputes which can be solved by the national judicature resources. How establishes the evaluation criteria? The benefit of litigation is this kind of standard. The main goal of this article is initially constructs the theory system and concrete system of the benefit of litigation in the Civil Procedure Law. The full text includes five chapters.The first chapter is" the definition of the benefit in litigation ". First, this chapter point out the concept of the benefit of litigation ,it refers, when the civil right and interest of the plaintiff receives the violation or has the civil dispute with the other people, the plaintiff really has essential, also can utilize the actual effect civil action realize the right of action. The benefit of litigation has these characteristics: belongs to the plaintiff; the prerequisite which each civil action must have; the midst and mix of the entity benefit and the procedure benefit; the judgment criterion lies in whether the plaintiff has the necessity and the actual effect in lawsuit. Next, this chapter has analyzed the difference and relation in these close concepts: the benefit and right of suit, the suitable standard about litigant as well as the plaintiff qualification, and so on. Finally, considering the new question in Chinese civil judicature at present, the author has exquisitely grasped the tendency which the benefit of litigation expands in the meaning, the function, the content and the protection. Specially in the function, the benefit of litigation except has the negative function about removing the improper legal action, more importantly has these active functions: the production in new right, the promotion in coming into being the new policy, the safeguard in the constitution right about litigant, prevented the court willfully accepts the case ,and so on.The second chapter is "the essence of the benefit of litigation ". Want to know the essence of the benefit of litigation, first, we must carry the benefit of litigation on the science reasonable localization, and discuss the nature of the benefit of litigation. The localization of the benefit of litigation actually refers which the benefit of litigation is in the substantive law item or in the procedural law item, or is in the both law items concurrently. The author believed the reasonable localization of the benefit of litigation should be: it passes through the procedural law and the substantive law in two domains, is situated between the procedural law and substantive law, and lies in the bridging status between the substantive law and the procedural law. The qualitative of the benefit of litigation, actually refers the question which it is belongs to the right protection qualification, or belongs to the lawsuit qualification. The author believed, the benefit of litigation belongs to one of the lawsuit qualification. This chapter finally has analyzed the essence of the benefit of litigation. Through the demonstration of the relation in the civil action’s goal with the benefit of litigation, as well as the theory of benefit balance with the benefit of litigation, the author approves of " the theory of mixing the national and litigant benefit ", namely the essence of the benefit of litigation is the balance and coordination of the national interest and the litigant benefit in the civil action." The mix theory "conforms to the basic spirit of the pluralistic civil action’s goal, and corresponds to the intrinsic request of "the theory of benefit balance ".The third chapter is "the theory origin of the benefit of litigation". This chapter mainly analysis the benefit of litigation from the angle of view in the law philosophy (mainly is benefit legal science), demonstrates the principle, the domain and the basis of the benefit balance in the benefit of litigation. The benefit legal science is the theory origin of the benefit of litigation. The concept of the benefit of litigation contained the meaning of benefit balance. Using the benefit balance method in the judgment of the litigation benefit will be able to cause many hard problems to be easily solved. The benefit balance in the benefit of litigation mainly lies in the plaintiff and the country (all taxpayers), between the plaintiff and the defendant, and must persists the reasonable value judgment principle, the benefit balance principle and the legitimate principle. when Judge estimate the benefit of litigation ,he must take the order of benefit, the social mainstream value idea, the community policy, the social effect, the consensus as the judgment basis.The fourth chapter is "the judgment standard of the benefit of litigation ". Because the theory of the benefit of litigation has the high generalizability and abstract, in order to facilitate the court and the litigant can clear about it, and enhance its operation and practice instruction function, we have to stipulate the general judgment standard of the benefit of litigation, as well as the concrete judgment standard which lies in various different type legal action. About the general judgment standard of the benefit of litigation often appears in the denial items. These items have the function of prevented the abuse in the right of suit. Generally speaking, these denial items mainly have: Plaintiff’s lawsuit requested does not belong to the court civil manager’s item; The plaintiff certainly does not need to realize its own benefit through the court referee; Had other right relief systems and not need lodge a complaint; Between the litigant exists the special agreement which removes the civil action; Existence the legal compulsory stipulation of enjoining from prosecution. But to the concrete judgment standard t of the benefit of litigation, the various countries civil procedure law mostly stipulate it from the angle of litigation type. This chapter exhaustively elaborated the concrete judgment standard and method of the benefit of litigation in different litigation type.The fifth chapter is" the safeguard system of the benefit of litigation ". The benefit of litigation is a basic terminology in the civil procedure law; it involves too many civil procedure law theories and procedures. First, in the prosecution system, the Chinese civil procedure law set the entity judgment condition into in the prosecution condition, raised the threshold which the lawsuit started. The reform direction of Chinese civil prosecution system is changing the prosecution substantive examination to the form examination. The benefit of litigation belongs to the lawsuit condition, but not to the prosecution condition, in other words, the balance and judgment of the benefit of litigation should be after the case accepts. Therefore, in the legislation, we must remove the benefit of litigation from the prosecution condition, but request the prosecution condition only in the form. Next, about the investigation of the benefit of litigation, the benefit of litigation essentially has manifested the balance in the nation, the plaintiff and defendant, it both involves the public welfare, and the private benefit between the plaintiff and the defendant, moreover, it is the mix of procedure benefit and entity benefit, therefore, about the fact and evidence investigation in the benefit of litigation, not only can use the debate principle, but also the pure authority inquiry principle, must turn to running after the both "harmonious". Finally, in court manager system, because the benefit of litigation was deciding the court responsible scope, both scopes should tend to consistently; the benefit of litigation and the jurisdiction are in the dynamic mutual adaptation process, therefore, in order to strengthen the safeguard of the litigant, we must do well in the establishment for the court manager standard, the strengthened jurisdiction which can promotes the realization in the benefit of litigation for litigant, endowing the new lawsuit of "the developing f right" with the benefit of litigation, the expanded civil manager scope.更多还原