民事审前程序中的审前会议制度研究

硕士学位论文民事审前程序中的审前会议制度研究StudyonpretrialconferenceinPretrialprocedure作者姓名：杨润丹指导教师：李祖军教授西南政法大学SouthwestUniversityofPoliticalScienceandLaw1内容摘要展望当今世界的民事诉法学界，无论是英美法系国家还是大陆法系国家都在为解决日益剧增的民事案件进行审判方式的改革。我国自然也不例外，其中的一个大趋势是特别关注民事审前程序的改革，而审前会议这一制度在我国实践中也有了诸多探索。从上世纪80年代中期以来，我国民事案件审判方式改革的核心内容就是全面强化庭审功能和当事人的举证责任，而庭审功能的强化，其前提就是要完善民事审前准备程序，只有这样才能提高审判效率和完善审判方式。审前会议在美国审前程序中的适用对于我国现今的改革具有重大的借鉴意义。本文的研究思路如下：首先明确审前会议的概念，理清他的历史发展脉络：如何发端、发展到完全确立；然后，对审前程序中的其他配套制度与审前会议的关系也要明晰，进而才能叙述完整审前会议的运作和功能，同时要详列出审前会议的客体内容和各个主体；接着，对于我国能否构建审前会议制度进行探讨，在理论上与实践上进行全面分析；最后，在我国构建审前会议制度的具体措施、注意的问题等方面，同我国实际相结合分析，作出一点个人的建议和意见。本文除引言和结语外共分为四章。引言介绍了审前会议制度产生的社会背景以及在中国当前对其进行研究的现实意义。第一章界定了审前会议制度的概念，对其历史脉络进行了梳理，明晰了一些相关的基本概念。叙述其源起、发展到日益完善的过程，以及随时代发展而产生改变的目的和功能。第二章介绍了审前会议在美国的具体运作和内容，讲明与诉答程序和证据开示的关系和运作衔接以及审前会议在审前程序中的地位。论述了审前会议在发端、发展和确立阶段的功能和作用。分别介绍了首次会议、后续会议、最后会议的内容。第三章介绍的是审前会议中各个主体在程序中的地位和作用。第四章从理论上和实践中全面探讨了美国所独有的审前会议制度在我国构建的必要性和可行性，特别举出一些法院的试点情况说明审前会议在我国实行的美好前景和良好作用。我们构建审前会议制度的具体思路分为建立配套制度措施、注意案件适应范围、预审法官的问题和管理型法官的理念问题以及改进和完善审前调解制度的建议和意见。2结论部分再次指出构建审前会议的必要性以及长期性的任务艰巨性。重申了审前程序的独立价值和完善审前程序和建设审前会议制度对我国民事审判工作的意义。关键词：民事审前程序；审前会议制度1AbstractInthesocietynowadays,boththeAnglo-AmericanlegalsystemandContinentallegalsystemarecarryingthroughtheciviljusticereformationsothatthespeedofsettlementcanmeettherapidgrowthofthecivilcases.Itissointhelegalsysteminourcountry,especiallyinreformingtheprocedureofpretrialconference.Inthemid1980s,thecoreofrevolutioninourlegalsystemistostrengthenthefunctionoftrialandthelitigant’sburdenofproof,andtoperfecttheprocedureofpretrialconferenceisjusttheessentialelementofstrengtheningthefunctionoftrial.Onlyinthiswaycanwesolvetheprobleminimprovingtheefficiencyandfunctionoftrial.Thebasicthreadofthisarticleisasfollows:first,eliminatingthedefinitionandhistoricdevelopmentofpretrialconference;second,inordertoillustratethefunctionofpretrialconferenceinthewholelegalsystem,theotherproceduresrelatedtothepretrialconferencewillbedisplayed;third,theinfluenceofestablishingthepretrialconferencewillbediscussed,togetherwiththeanalysisonitsacademicandpracticalmeaning;last,theauthorwillgiveouthispersonalsuggestionandpointofviewbasedontheactualcondition.Besidesthepreface,theconclusion,thearticledividesintofourchapters:Thefirstchapterintroducesthedefinitionofthepretrialconferenceandsomeconceptionsinvolvedandsummarizesthehistoricevolution,perfectionandfunctionindifferentages.ThesecondchapterrevealsthemanipulationsystemofpretrialconferenceinUSA,introducingthesignificanceandthewholeprocedureofpretrialconferenceinUSA,includingstating,replying,demonstratingofevidence,etc.Thissectioncharacterizesthefunctionofpretrialconferencebothinthebeginningandtheestablishingstage.Itincludesthefirstconference,sequentialconferenceandtheultimateconference.Thethirdchapterdescribesthestatusandroleofthevariousentitiesinthepre-trialconferenceprogram.ThefourthchapterdiscussesthepracticalmeaningandtheprospectofpretrialconferenceinChinafromtheacademicandpracticalaspects.Someexamplesaregiventodemonstratethegreatprospectandfunctionofthenewpretrialconference.AnddescribestheconcretecourseofconceivingpretrialconferenceinChina,includingsettinguptheconcreteprocedureofpretrialconferencereasonably,definingtheapplicablerangeofpretrial2conference,discussingthepreliminaryjudgeissue,establishingtheconceptionofadministrativejudge.Author’spersonalsuggestionandviewpointarealsocomprisedinthissection.Theessentialnessandhardshipinthelongtermareagainstressedintheconclusionfollowedbythevalueandinfluenceofreformingthepretrialconferenceintheend.Keywords:pretrialconference；pretrialpreparation1目录引言„„„„„„„„„„„„„„„„„„„„„„„„„„„„„„„„„1一、审前会议的概念以及历史脉络梳理„„„„„„„„„„„„„„„„„„„„2（一）审前会议的概念„„„„„„„„„„„„„„„„„„„„„„„„„2（二）审前会议的历史脉络梳理„„„„„„„„„„„„„„„„„„„„„31．源始阶段„„„„„„„„„„„„„„„„„„„„„„„„„„„„„„32．确定阶段„„„„„„„„„„„„„„„„„„„„„„„„„„„„„„33.发展成熟阶段„„„„„„„„„„„„„„„„„„„„„„„„„„„„44.最终修正阶段„„„„„„„„„„„„„„„„„„„„„„„„„„„„5（三）审前会议与审前程序中其他制度的关系„„„„„„„„„„„„„„„61.审前程序中的诉答程序和证据开示的概念„„„„„„„„„„„„„„„„7（1）诉答程序的概念„„„„„„„„„„„„„„„„„„„„„„„„„„7（2）证据开示的概念„„„„„„„„„„„„„„„„„„„„„„„„„„72．审前会议同诉答程序和证据开示制度的关系„„„„„„„„„„„„„„„8二、审前会议的运作内容„„„„„„„„„„„„„„„„„„„„„„„„„„9（一）首次审前会议和日程安排命令„„„„„„„„„„„„„„„„„„„„9（二）后续会议„„„„„„„„„„„„„„„„„„„„„„„„„„„„11（三）最后审前会议和最后审前命令„„„„„„„„„„„„„„„„„„„11（四）审前会议中的和解„„„„„„„„„„„„„„„„„„„„„„„12（五）普通审前命令„„„„„„„„„„„„„„„„„„„„„„„„„13（六）审前会议中的制裁措施„„„„„„„„„„„„„„„„„„„„„13三、审前会议中的主体„„„„„„„„„„„„„„„„„„„„„„„„„„„14（一）法官„„„„„„„„„„„„„„„„„„„„„„„„„„„„„14（二）补助法官（magistrate）„„„„„„„„„„„„„„„„„„„„„„15（三）法庭指定专家„„„„„„„„„„„„„„„„„„„„„„„„„„16（四）特别主事官（specialmasters）„„„„„„„„„„„„„„„„„„„16（五）当事人与律师„„„„„„„„„„„„„„„„„„„„„„„„„„17四、审前会议对我国的启示„„„„„„„„„„„„„„„„„„„„„„„„„18（一）在我国构建审前会议制度的必要性与可行性„„„„„„„„„„„„„„„181．山东高密法院的试点成效„„„„„„„„„„„„„„„„„„„„„„„212．广东海事法院的试点成效„„„„„„„„„„„„„„„„„„„„„„„232（二）构建我国审前会议制度的具体措施和理念„„„„„„„„„„„„„„„„241.适用审前程序的案件范围„„„„„„„„„„„„„„„„„„„„„„„242.改进与完善审前和解和审前调解制度„„„„„„„„„„„„„„„„„„31（1）关于促进审前和解„„„„„„„„„„„„„„„„„„„„„„„„25（2）关于促进审前调解„„„„„„„„„„„„„„„„„„„„„„„„253.建立配套的审前程序中的其他制度措施„„„„„„„„„„„„„„„„„26（1）审前的双方诉答程序„„„„„„„„„„„„„„„„„„„„„„„„26（2）审前的证据开示„„„„„„„„„„„„„„„„„„„„„„„„„„274.预审法官的资格和管理型法官的理念应用„„„„„„„„„„„