【作者】 李英环；

【导师】 车传波；

【作者基本信息】 吉林大学 ， 法律， 2012， 硕士

【摘要】 自罗马法时代至德国19世纪之前，依照罗马法的上诉共通原则，上诉审法院可以作出较原审判决更为不利于上诉人的判决。但到了19世纪初，德国法却打破了上诉共通原则，由于德国法的发展过程中越来越重视对于上诉人利益的维护，基于此种考量而采用了民事上诉禁止不利变更原则。谷口安平教授曾说过：“公正感的重心在今天正在移向程序公正。1”民事上诉禁止不利变更原则正是在推动程序公正的过程中起着非常重要的作用。本文从理清民事上诉禁止不利变更原则的基本概念入手，从多个角度论证我国民事诉讼法是否应当确立民事上诉禁止不利变更原则，民事上诉禁止不利变更原则不仅是维护上诉制度和实现上诉目的的要求，而且也是处分原则的内在要求和辩论主义的客观要求，更重要的在于其体现了程序正义的价值。民事上诉禁止不利变更原则应该在我国民事诉讼法中予以确立，不仅因为其在我国民事诉讼理论及实践中均具有基础，还因为其有助于其他相关制度的完善，从而对我国民事诉讼制度实现程序公正大有裨益。本文内容分为四个部分：一民事上诉禁止不利变更原则概述。本部分从分析民事上诉禁止不利变更原则的涵义入手展开其基本内容，明确了民事上诉禁止不利变更原则的性质是在上诉审程序中，指导和规制法官裁判的原则，并分析了其适用范围及例外情形，随后又探讨了民事上诉禁止不利变更原则的诉之利益。民事上诉禁止不利变更原则之价值体现是民事上诉禁止不利变更原则确立的基础，主要在以下几个方面得以彰显：维护上诉制度和实现上诉目的的要求、处分原则的内在要求、辩论主义的客观要求、程序正义的价值体现。除此之外，本文还对大陆法系国家和地区关于民事上诉禁止不利变更原则的规定及英美法系国家的相关立法例进行了介绍和比较。二民事上诉禁止不利变更原则的基础理论。本部分简要介绍了上诉不加刑原则和行政禁止不利变更原则，并探讨了民事上诉禁止不利变更原则与上诉不加刑原则的区别与联系，民事上诉禁止不利变更原则与行政禁止不利变更原则的区别与联系。还探讨了民事上诉禁止不利变更原则中的其他理论，比如民事上诉禁止不利变更原则中的诉权，民事上诉禁止不利变更原则的确立是诉权保障的体现，但在保障诉权的同时也要注意防范诉权的滥用，民事上诉禁止不利变更原则的核心在于禁止不利变更，而它的另一面禁止利益变更也应当是该原则需要考虑的一个重要方面，不允许在该范围以上变更原判决，即禁止利益变更；同时也不允许在该范围以下变更原判决，即禁止不利益变更。三我国民事上诉禁止不利变更原则之立法现状。本部分从我国立法关于上诉审审理范围的规定开始入手，对我国立法是否存在民事上诉禁止不利变更原则之进行了分析讨论，明确我国目前仍未确立民事上诉禁止不利变更原则，进而阐述了我国确立民事上诉禁止不利变更原则的理论依据和现实意义，具体内容是：第一，确立民事上诉禁止不利变更原则的必要性分析，确立该原则是基于维护上诉人利益的考虑，使得上诉人的利益得到很好的保障。第二，确立民事上诉禁止不利变更原则的可行性论证，在民事诉讼程序中完全可以参照另两个原则的相关经验适用禁止不利变更原则，将禁止不利变更原则引入民事诉讼程序中有其可行性。第三，确立民事上诉禁止不利变更原则的现实意义，有助于我国在法治建设中树立现代程序观念，有利于上诉程序中法官自由裁量权的有序运行。四确立我国民事上诉禁止不利变更原则之构想。本部分从确立当事人主义的诉讼模式和程序公正的诉讼观念入手，阐述了民事上诉禁止不利变更原则之确立前提，以实现诉讼观念和诉讼模式的转变。进一步探讨了民事上诉禁止不利变更原则与其他相关制度之契合，具体为民事上诉禁止不利变更原则与审级制度、上诉审结构、附带上诉制度、先予执行制度之间的契合关系。进而对我国确立民事上诉禁止不利变更原则进行了构想，给出了具体的法条规定，并对法条进行了释义和原理阐释，以供参考。更多还原

【Abstract】 From Roman law era to Germany19th century ago, in accordance with commonprinciples on appeal of Roman law, the appellate court can make the judgment whichis more in favor of the appellant compared to the original judgment. But by the early19th century, German common law break the common principles on appeal of Romanlaw, as more and more attention to the maintenance of interests of the appellant in thedevelopment process of the German common law, based on this consideration, thusadopting the principle of prohibiting alteration with prejudice in civil appeal.Professor Taniguchi Aeka, once said:“Now the focus of the fair sense is towardprocedural fairness.” The principle of prohibiting alteration with prejudice in civilappeal plays a very important role is precisely in the process to promote proceduralfairness. This article starts from to clarify the basic concepts of the principle ofprohibiting alteration with prejudice in civil appeal, to demonstrate whether thisprinciple should be established in civil procedure law of our country from multipleperspectives. This principle is not only the requirements of the maintenance of thesystem of appeals and the requirements to achieve the purposes of an appeal, but alsothe inherent requirements of principle of disposition and the objective requirements ofadversary doctrine, more important is that it reflects the value of procedural justice.The principle should be established in the civil procedure law in our country. Notonly because of its basis in civil action theory of our country and practice, but alsobecause it helps the perfection of other system. Therefore the principle contributes toour civil procedure to achieve procedural fairness.This article is divided into four parts:Chapter I: An overview of the principle of prohibiting alteration with prejudicein civil appealThis section starts from the analysis of the meaning of this principle to expand its basic content. To make clear the nature of this principle is the principle ofappellate procedure, guidance and regulation each judge, its scope of application ofthe exceptions made to further discuss, and then explored the interests of action ofthis principle. The value of the principle of prohibiting alteration with prejudice is thebasis of the principle established, Is mainly reflected in several aspects: requirementsfor maintenance of the system of appeals and to achieve the purposes of an appeal,the inherent requirements of disposition principle, the objective requirements ofadversary system, value of procedural justice.Chapter II: The basic theory of the principle of prohibiting alteration withprejudice in civil appealThis section briefly describes no aggravating punishment on defendants and theprinciple of adverse alteration prohibition in administrative reconsideration procedure,and to explore the differences and relations between the principle of the prohibitingalteration for interests in civil appeal and no aggravating punishment on defendants.Also discusses right of action in the principle of the prohibiting alteration for interestsin civil appeal. The establishment of the principle is the embodiment of protection tolitigant right, but at the same time protect the right of appeal should also pay attentionto the prevention of abuse of the right to appeal.Chapter III: The current legislation of the principle of prohibiting alteration withprejudice in civil appealThis section starts from the hearing scope of civil trial on appeal of our country,analyzing and discussing whether the principle of prohibiting alteration withprejudice exists in our country. This principle is not yet established in our country.Thus this section describes the theoretical basis and practical significance of ourestablishing this principle in our country. First, the need to establish this principle, theprinciple is established for the maintenance of the consideration of the appellantinterests, so that the appellant’s interests are protected. Second, the feasibility study ofto establish this principle, the application of the principle can refer to the twoprinciples of relevant experience in civil procedure. Third, the practical significanceof to establish the principle help our country to establish the concept of procedures inlegal construction, is conducive to the orderly operation of judicial discretion in the appeal procedures.Chapter IV: Construction of the principle of prohibiting alteration with prejudicein civil appealThis section starts from establishing the pattern of adversary system and lawsuitthought of procedural justice, discussing the premise to establish the principle ofprohibiting alteration with prejudice, in order to achieve the transition of lawsuitthought and civil litigation pattern. Further discussion on the agreement between thisprinciple and other relevant systems, is the concrete embody of the relationshipbetween this principle and the civil trial grade system, trial on appeal system,collateral appeal system, prior execution.更多还原