【作者】 魏文超；

【导师】 陈桂明；

【作者基本信息】 中国政法大学 ， 诉讼法学， 2008， 博士

【摘要】 民事立案工作是一个独具特色的审判领域,目前人民法院的民事立案工作仍处于摸索、发展阶段,民事立案制度作为一项有中国特色的诉讼制度,其理论基础、制度价值以及各类案件的立案条件、审查程序等诸多实际问题尚未厘清。文章在引言部分分析了民事立案制度的研究价值,确立了文章体系和研究方向。主文共分为七章,主要内容如下:第一章题为“绪论”。提出了民事立案制度的概念,介绍了我国民事立案制度的沿革以及新中国民事立案工作的历史发展,分析了民事立案制度的制度功能,认为民事立案制度的合理构建将有利于保障当事人平等参与诉讼、保障程序安定、提高诉讼效率、合理节约司法资源、保障公民接近正义。第二章题为“民事立案制度的理论基础”。提出了民事立案制度的理论基础,对诉权理论、当事人制度、诉讼标的与既判力理论以及诉的利益等诉讼理论和制度进行了分析,探讨了这些理论与民事立案制度的关系。第三章题为“起诉立案论(总论)”。第一部分,简述了两大法系主要国家涉及民事起诉的相关法律规定,分析了各国对当事人提起诉讼设定的条件;并对大陆法系民事诉讼理论上存在的诉讼要件和起诉要件的概念和适用进行了研究分析。认为诉讼要件和起诉要件理论对于我国民事立案制度的健全和完善具有一定的借鉴意义。第二部分,对我国民事诉讼法设定的起诉立案的条件进行了研究。认为:为当事人的起诉设定必要的条件在所难免,对起诉立案条件的设计,不能单纯的以国外的立法例作为依据,因为任何法律制度的移植都必须考虑到本国的国情。但是,我国民事诉讼法为当事人提起诉讼设定的“门槛”的确过于严格,相当程度地妨碍了诉权的合法行使,有必要给予一定的限制。文章在这一部分还对诉讼费用制度和司法救助制度在民事立案中的地位和作用进行了研究。第四章题为“起诉立案论(分论)”。第一部分,总结了我国司法实践中有关起诉立案的基本模式和受理程序。第二部分,以类型化为基础,以民商事法律关系的性质为标准,将民事案件分为八大类,并对部分具体类型的案件的立案审查及相关程序中所涉及的特殊问题进行了探讨。第三部分,对几种特殊形式的案件的立案问题进行了研究,主要涉及反诉案件和共同诉讼案件中存在的特殊问题。第四部分,研究了对滥用诉权的界定和规制问题,认为当事人的诉权行使必须受到法律的限制,只有权利的个体性和权利的社会性实现了平衡的状态,才能构建个人利益和社会共同利益有机结合、和谐发展的社会。第五章题为“上诉立案论”。第一部分,分析了审级制度与上诉制度的关系和对上诉立案条件的影响,对我国上诉立案应具备的条件进行了研究。认为:上诉条件设定过低或者不设定上诉条件,会损害第一审人民法院的权威,并导致案件的久拖不决。因此,有必要借鉴国外有关上诉利益的学说为我国的无限制上诉设定必要的条件。第二部分,从上诉申请的提出和审查入手,明确了现有制度下上诉立案的程序。第六章题为“再审立案论”。第一部分,以我国可以启动再审的三种渠道为线索,分析了再审立案的条件。认为:应严格再审立案的审查条件,在保障当事人申请再审权利的同时,维护生效裁判的既判力,保障对方当事人已有的合法权益。当前民诉法修正案所确定的再审事由仍存在不够科学和完善的地方。另外,还分析了人民法院和人民检察院依职权启动再审程序与民事诉讼理论的矛盾冲突,指出了其中存在的弊端,认为在当事人申请再审权利已经得到有效保障的情况下,职权主义只应该作为启动再审程序的补充。第二部分,按照启动再审的三种渠道,明确了现有制度下再审立案的相关程序。第七章题为“余论”。本章对起诉立案、上诉立案和再审立案问题进行了回顾和总结,并尝试提出了自己对于健全和完善我国民事立案制度的相关立法和司法建议。更多还原

【Abstract】 Civil Case Filing set up in China in the 1990s,is a unique field in adjudication and is still at the stage of trial and development.In this newly developed litigation system with Chinese characteristics,several basic matters are yet to be clarified.This dissertation aims to make an exploration in this regard by dealing with such issues as its theoretical basis, its value as a system,filing requirements for various types of cases and its examination procedures.The dissertation is composed of seven parts:Chapter One,the Preface,proposes the concept of civil case filing system,surveys the course of change and development of civil case filing system in China,analyzes its function,and argues that the construction of a well-defined civil case filing system will help guarantee equal opportunities of parties,ensure a smooth conduction of the trial of cases,enhance the efficiency of proceedings,save judicial resources,and ultimately enable citizens’ fair access to justice.Chapter one also points out the necessity and urgency of studies in this field,and hence setting the goals for the research.Chapter Two,the Theoretical Basis for the Civil Case Filing System, examines the system’s theoretical basis through analyses of some other theories and systems of litigation such as the theory of the right of litigation, regulations on parties,the subject matter of action and res judicata,and the interest of action of the system,and discusses their relationship with the civil case filing system.Chapter Three,entitled "On Case Filing in Complaint Filing(General Principles)" comprises three sections.Section One introduces the relevant legal provisions on civil case filing in both the common law systems and the civil law systems,analyzes the legal requirements imposed by various countries on the party for filing a complaint,and examines the legal requirements for litigation and complaint filing in the theory of civil procedures in the civil law system.Section One concludes that the theories on litigation requirements and the theories on complaint-filing requirements provide a new angle for the completion and perfection of our current civil case filing system.Section Two studies the legal requirements provided in our Civil Procedural Law for filing a complaint and a case.It argues that while it is inevitable to impose legal requirements for filing a complaint,the conception of the legal requirements for case filing after a complaint filing cannot be solely based on the legislative precedents abroad, because in transplanting any legal system one has to take into consideration the actual conditions of one’s own country.In fact,China’s Civil Procedural Law sets so high a threshold for the party to file a complaint that it hinders,to a certain extent,the legitimate exercise of the right of action.Therefore,it is necessary to impose some regulations in this regard. Such provisions as the party "with direct interest in the case",the submission of sufficient evidence,which all hinder,to a considerable degree,the legal exercise of the right of action need to be imposed limitations on.In addition,this chapter also discusses the roles and functions of the provision on the litigation fees and those of the system of judicial assistance in civil case filing.Chapter Four,"On Case Filing in Complaint Filing(Other Provisions)",is composed of four sections.Section One summarizes the basic module and procedures in the practice of case filing and acceptance in China.Section Two,taking the nature of the legal relationship in civil and commercial activities as a yardstick,and using the method of categorization,divides civil cases into eight categories and explores some distinct issues involved in the examination and other relevant procedures when placing on file certain categories of cases.Section Three surveys the case filing issues of several special categories of cases,with a focus on the counterclaim and joint actions cases.Section Four discusses how to define and regulate the abuse of the right of action.It points out that the parties’ exercise of their right of action must be restrained by law,and only when there is a balance between individualization and socialization of the right, can a harmonious society be established where personal interests and social interests are mutually related and coordinated.Chapter Five,"On Case Filing in the Appellate Procedures ",is made up of two sections.The first section analyzes the relationship between the systems of appeals and trial instances as well as the impact of such relationship on the legal requirements for case filing in the appellate procedures.It also makes suggestions as regards the legal requirements in China for case filing in the appellate.,procedures.Section One concludes that if the threshold for filing appeals is set too low or non-existent,the authority of the court of first instance will be undermined and constant postponement of cases is bound to ensue.Thus,it is necessary to draw on the relevant theories of interest in appeals of other countries,creating conditions for limitless appeal system in China.Section Two,starting with the submission and examination of the applications for appeal,clarifies the proceedings of case filing in the appellate procedures in the current system.Chapter Six,comprising two sections,is entitled "On Case Filing in the Retrial Procedures".Retrial procedures are also called adjudicatory supervision procedures in China.The first section discusses the three approaches to the commencement of the retrial procedures in China and analyzes the legal requirements for placing a case on file in the retrial procedures.It argues that the legal requirements for case filing in the retrial procedures should be strictly imposed,and that while guaranteeing the party’s right to apply for case retrial,the authority of res judicata in effect and the legitimate right and interest of the counterparty should also be maintained.The first section also points out the contradictions between the commencement of the retrial procedures by the people’s court or by the people’s procuratorate within their power and the theory of civil procedures, indicating that where the party’s right to apply for case retrial has been effectively guaranteed,the ex officio doctrine should only be used as a supplement to the commencement of the retrial procedures.The second section in this chapter explicates the relevant procedures for placing a case on file in the retrial procedures in compliance with the three ways to commence such procedures.The last chapter "Epilogue" reviews and summarizes the case filing issues involved in complaint filing,in the appellate procedures and in the retrial procedures,and ventures to propose suggestions as regards the completion and perfection of relevant legislation and judicature of China’s civil case filing system.更多还原