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LAW OF THE PEOPLE'S REPUBLIC OF CHINA ON THE PROCEDURE OF THECONCLUSION OF TREATIES

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LAW OF THE PEOPLE'S REPUBLIC OF CHINA ON THE PROCEDURE OF THECONCLUSION OF TREATIES ——附加英文版

The Standing Committee of the National People's Congress


LAW OF THE PEOPLE'S REPUBLIC OF CHINA ON THE PROCEDURE OF THECONCLUSION OF TREATIES

(Adopted at the 17th Meeting of the Standing Committee of the
Seventh National People's Congress on December 28, 1990, promulgated by
Order No. 37 of the President of the People's Republic of China on
December 28, 1990, and effective as of the same date)

Article 1
The present Law is enacted in accordance with the Constitution of the
People's Republic of China.
Article 2
This Law shall be applicable to bilateral or multilateral treaties and
agreements and other instruments of the nature of a treaty or agreement
concluded between the People's Republic of China and foreign states.
Article 3
The State Council, that is, the Central People's Government, of the
People's Republic of China shall conclude treaties and agreements with
foreign states.
The Standing Committee of the National People's Congress of the People's
Republic of China shall decide on the ratification and abrogation of
treaties and important agreements concluded with foreign states.
The President of the People's Republic of China shall, in accordance with
decisions of the Standing Committee of the National People's Congress,
ratify and abrogate treaties and important agreements concluded with
foreign states.
The Ministry of Foreign Affairs of the People's Republic of China shall,
under the leadership of the State Council, administer the specific affairs
concerning the conclusion of treaties and agreements with foreign states.
Article 4
The People's Republic of China shall conclude treaties and agreements with
other states in the name of:
(1) the People's Republic of China;
(2) the Government of the People's Republic of China;
(3) the governmental departments of the People's Republic of China.
Article 5
The decision to negotiate and sign treaties and agreements shall be made
according to the following procedures:
(1) in the case of a treaty or agreement to be negotiated and signed in
the name of the People's Republic of China, the Ministry of Foreign
Affairs or the department concerned under the State Council in conjunction
with the Ministry of Foreign Affairs shall make a recommendation and draw
up a draft treaty or agreement of the Chinese side and submit it to the
State Council for examination and decision;
(2) in the case of a treaty or agreement to be negotiated and signed in
the name of the Government of the People's Republic of China, the Ministry
of Foreign Affairs or the department concerned under the State Council
shall make a recommendation and draw up a draft treaty or agreement of the
Chinese side and, after consultation with the Ministry of Foreign Affairs,
submit it to the State Council for examination and decision. In the case
of an agreement concerning a specific line of business, its Chinese draft
shall, with the consent of the State Council, be examined and decided upon
by the department concerned under the State Council or when necessary in
consultation with the Ministry of Foreign Affairs;
(3) agreements to be negotiated and signed in the name of a governmental
department of the People's Republic of China concerning matters within the
scope of functions and powers of the department concerned shall be decided
upon by the department itself or after consultation with the Ministry of
Foreign Affairs. In the case of an agreement relating to matters of major
importance or matters falling within the functions and powers of other
departments under the State Council, the department concerned shall submit
it by itself or after consultation with the other departments concerned
under the State Council, to the State Council for decision. The draft
agreement of the Chinese side shall be examined and decided upon by the
department concerned or when necessary in consultation with the Ministry
of Foreign Affairs.
When major modification in the Chinese draft of a treaty or agreement
already examined and decided upon by the State Council are necessary as a
result of negotiation, the revised draft shall be submitted to the State
Council for examination and decision.
Article 6
Representatives for negotiating and signing treaties or agreements shall
be appointed according to the following procedures:
(1) In the case of a treaty or agreement to be concluded in the name of
the People's Republic of China or the Government of the People's Republic
of China, the Ministry of Foreign Affairs or the department concerned
under the State Council shall submit a report to the State Council for the
appointment of a representative. The full powers of the representative
shall be signed by the Premier of the State Council, but may also be
signed by the Minister of Foreign Affairs.
(2) In the case of an agreement to be concluded in the name of a
governmental department of the People's Republic of China, a
representative shall be appointed by the head of the department concerned.
The letter of authorization for the representative shall be signed by the
head of the department. Where the head of a department signs an agreement
concluded in the name of the governmental department, and where the
contracting parties agree that it is necessary for the head of the
department to produce full powers, the full powers shall be signed by the
Premier of the State Council, but may also be signed by the Minister of
Foreign Affairs.
The following persons shall dispense with full powers for negotiating and
signing treaties and agreements:
(1) the Premier of the State Council, the Minister of Foreign Affairs;
(2) the head of a diplomatic mission of the People's Republic of China who
negotiates and signs treaties and agreements concluded between China and
the state to which he is accredited, unless it is otherwise agreed by the
contracting parties;
(3) the head of a governmental department of the People's Republic of
China who negotiates and signs the agreements concluded in the name of his
department, unless it is otherwise agreed by the contracting parties;
(4) the person, dispatched to an international conference or accredited to
an international organization by the People's Republic of China, who is at
the same time the representative for negotiating treaties or agreements in
that conference or organization, unless it is otherwise agreed by the
conference or otherwise provided for in the constitution of the
organization.
Article 7
The ratification of treaties and important agreements shall be decided
upon by the Standing Committee of the National People's Congress.
The treaties and important agreements referred to in the preceding
paragraph are as follows:
(1) treaties of friendship and cooperation, treaties of peace and similar
treaties of a political nature;
(2) treaties and agreements relating to territory and delimitation of
boundary lines;
(3) treaties and agreements relating to judicial assistance and
extradition;
(4) treaties and agreements which contain stipulations inconsistent with
the laws of the People's Republic of China;
(5) treaties and agreements which are subject to ratification as agreed by
the contracting parties; and
(6) other treaties and agreements subject to ratification.
After the signing of a treaty or an important agreement, the Ministry of
Foreign Affairs or the department concerned under the State Council in
conjunction with the Ministry of Foreign Affairs shall submit it to the
State Council for examination and verification; the State Council shall
then refer it to the Standing Committee of the National People's Congress
for decision on ratification; the President of the People's Republic of
China shall ratify it in accordance with the decision of the Standing
Committee of the National People's Congress.
After the ratification of a bilateral treaty or an important bilateral
agreement, the Ministry of Foreign Affairs shall execute the formalities
for the exchange of the instruments of ratification with the other
contracting party. After the ratification of a multilateral treaty or an
important multilateral agreement, the Ministry of Foreign Affairs shall
execute the formalities for the deposit of the instrument of ratification
with the depositary state or international organization. The instrument of
ratification shall be signed by the President of the People's Republic of
China and countersigned by the Minister of Foreign Affairs.
Article 8
After the signing of the agreements and other instruments of the nature of
a treaty which do not fall under paragraph 2, Article 7 of this Law and
which are subject to approval as prescribed by the State Council or as
agreed by the contracting parties, the Ministry of Foreign Affairs or the
departments concerned under the State Council in conjunction with the
Ministry of Foreign Affairs shall submit them to the State Council for
approval. After the approval of agreements and other instruments of the
nature of a treaty, in the case of a bilateral one, the Ministry of
Foreign Affairs shall execute the formalities for the exchange of the
instruments of approval with the other contracting party or for mutual
notification of the approval by diplomatic notes. In the case of a
multilateral one, the Ministry of Foreign Affairs shall execute the
formalities for the deposit of the instrument of approval with the
depositary state or international organization concerned. The instrument
of approval shall be signed by the Premier of the State Council, but may
also be signed by the Minister of Foreign Affairs.
Article 9
After the signing of the agreements which need no decision on ratification
by the Standing Committee of the National People's Congress or approval by
the State Council, the agreements shall be submitted by the departments
concerned under the State Council to the State Council for the record,
except those agreements concluded in the name of the governmental
departments of the People's Republic of China which are to be submitted by
these departments to the Ministry of Foreign Affairs for registration.
Article 10
If the two contracting parties need to go through different domestic legal
procedures for the entry into force of the same treaty or agreement, the
said treaty or agreement shall enter into force after the accomplishment
by the two parties of their respective legal procedures and the mutual
notification by diplomatic notes.
After the signing of the treaties and agreements listed in the preceding
paragraph, the formalities of ratification, approval, entry on the record
or registration shall be executed as the case requires in accordance with
Articles 7, 8 or 9 of this Law. The formalities of notification by note
shall be completed by the Ministry of Foreign Affairs.
Article 11
The decision to accede to multilateral treaties or agreements shall be
made by the Standing Committee of the National People's Congress or the
State Council as the case requires. The procedures for acceding to
multilateral treaties and agreements shall be as follows:
(1) to accede to a multilateral treaty or an important multilateral
agreement listed in Paragraph 2, Article 7 of this Law, the Ministry of
Foreign Affairs or the department concerned under the State Council in
conjunction with the Ministry of Foreign Affairs shall make a
recommendation after examination and submit it to the State Council for
examination and verification; the State Council shall then refer it to the
Standing Committee of the National People's Congress for decision on
accession. The instrument of accession shall be signed by the Minister of
Foreign Affairs, and the specific formalities executed by the Ministry of
Foreign Affairs;
(2) to accede to a multilateral treaty or agreement other than those
listed in Paragraph 2, Article 7 of this Law, the Ministry of Foreign
Affairs or the department concerned under the State Council in conjunction
with the Ministry of Foreign Affairs shall make a recommendation after
examination and submit it to the State Council for decision on accession.
The instrument of accession shall be signed by the Minister of Foreign
Affairs, and the specific formalities executed by the Ministry of Foreign
Affairs.
Article 12
The decision to accept a multilateral treaty or an agreement shall be made
by the State Council.
In the case of a multilateral treaty or agreement containing clauses of
acceptance which is signed by the Chinese representative or does not
require any signature, the Ministry of Foreign Affairs or the department
concerned under the State Council in conjunction with the Ministry of
Foreign Affairs shall make a recommendation after examination and submit
it to the State Council for decision on acceptance. The instrument of
acceptance shall be signed by the Minister of Foreign Affairs, and the
specific formalities executed by the Ministry of Foreign Affairs.
Article 13
A bilateral treaty or agreement concluded by the People's Republic of
China with a foreign state shall be done in the Chinese language and the
official language of the other contracting party, both texts being equally
authentic. When necessary, a text in the language of a third state agreed
upon by the two contracting parties may be executed in addition as a
third, equally authentic, official text or an unofficial text for
reference. It may be stipulated by agreement of the two contracting
parties that the third text shall prevail in case of divergence of
interpretation of the treaty or agreement.
For agreements on specific lines of business and treaties and agreements
concluded with international organizations, a single language fairly
commonly used internationally may also be used by agreement of the two
contracting parties or in accordance with the provisions of the
constitutions of the international organizations concerned.
Article 14
Signed originals of bilateral treaties and agreements concluded in the
name of the People's Republic of China or the Government of the People's
Republic of China and copies of multilateral treaties and agreements
certified as true by the depositary states or international organizations
concerned shall be deposited with the Ministry of Foreign Affairs. Signed
originals of bilateral agreements concluded in the name of the
governmental departments of the People's Republic of China shall be
deposited with these departments.
Article 15
A treaty or an important agreement of which the Standing Committee of the
National People's Congress has decided on ratification or accession shall
be published in the bulletin of the Standing Committee of the National
People's Congress. The measures for publishing other treaties and
agreements shall be made by the State Council.
Article 16
Treaties and agreements concluded by the People's Republic of China shall
be compiled by the Ministry of Foreign Affairs into a collection of the
Treaties of the People's Republic of China.
Article 17
Treaties and agreements concluded by the People's Republic of China shall
be registered with the Secretariat of the United Nations by the Ministry
of Foreign Affairs in accordance with the relevant provisions of the
United Nations Charter. Treaties and agreements concluded by the People's
Republic of China that require registration with other international
organizations shall be registered by the Ministry of Foreign Affairs or
the departments concerned under the State Council in accordance with the
respective constitutions of the international organizations.
Article 18
The procedures for the conclusion of a treaty or an agreement with an
international organization by the People's Republic of China shall follow
this Law and the constitution of the relevant international organization.
Article 19
The procedures for amendment to, abrogation of and withdrawal from
treaties and agreements concluded by the People's Republic of China shall
follow mutatis mutandis the procedures for the conclusion of the treaties
and agreements in question.
Article 20
The State Council may make regulations in accordance with this Law for its
implementation.
Article 21
This Law shall enter into force as of the date of promulgation.


Important Notice:
This English document is coming from "LAWS AND REGULATIONS OF THE
PEOPLE'S REPUBLIC OF CHINA GOVERNING FOREIGN-RELATED MATTERS" (1991.7)
which is compiled by the Brueau of Legislative Affairs of the State
Council of the People's Republic of China, and is published by the China
Legal System Publishing House.
In case of discrepancy, the original version in Chinese shall prevail.

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论法院调解的程序价值
——兼论我国调解程序的建构

崔明石

(沈阳师范大学 辽宁 沈阳 110034)



摘 要: “调解程序”虽然在及时调解纠纷、保障社会安定、提高办案效率等方面具有很大的优越性,但是,随着时代的发展,原来计划经济下调解程序无法跟上时代的步伐,一些不足之处便显露出来。对调解程序进行改革的各种学说,虽从不同角度提出了一些建构模式,但由于没有从程序价值这一根本理念入手,使这些司法模式都存在一些弊端。本文从调解程序所应体现的程序价值:正义与效益入手,对调解程序的重构提出不同的观点。
关键词: 法院调解 程序价值 正义 效益



在我国的民事诉讼中,法院调解制度历来占有重要的地位,成为法院民事审判权的主导性运作方式。立法上也将其作为一项基本原则贯穿于审判程序的始终。调解作为一项重要的纠纷解决机制,在中华民族几千年的历史长河中不断的发展和变迁着。被国外称之为“东方经验”,成为我国民事诉讼的表征。在近几年的民事审判制度改革的浪潮中,这一古老的制度再一次成为关注的热点。本文通过调解程序的价值探究,为调解制度的改革提供一斑之见。

一、调解制度的功能原理
(一)调解的语义分析
在现代社会中,纠纷的解决机制呈多样化的趋势。理性的当事人可以根据不同的偏好选择不同的纠纷解决机制,以保障个人的权利和实现社会公正。调解是指由第三者主持,对发生纠纷的当事人进行说服教育,进行调停,排解疏导,促使当事人自愿达成协议而解决纠纷的一种活动。我国的调解制度主要有诉讼内调解和诉讼外调解两大类。诉讼外调解主要包括人民调解,行政调解,仲裁调解。诉讼内调解只有法院调解。法院调解,是指在法院审判人员的主持下,双方当事人通过自愿协商,达成协议,解决民事争议的活动和结案方式。法院调解制度表现为公权力和私权力的有机结合方式:一方面,法官作为中立的第三人介入调解过程,使的调解协议具有一定的强制力;另一方面,调解协议的产生又是双方当事人合意的结果, 使的调解协议乐为双方当事人所接受。因此,同审判相比,调解具有其独特的司法救济价值。
(二)法院调解制度存在根源
从现代世界民事诉讼制度的发展趋势来看,为克服诉讼迟延、法律职业工作者人数跟不上实际需要、诉讼费昂贵等诸弊端,和解或调解作为解决民事纠纷的机制,无论在大陆法系还是在普通法系;无论在西方国家还是东方国家;无论在立法层面还是司法层面,都受到前所未有的重视,对和解或调解制度的完善也处于不断成熟之中。有“诉讼王国”之称的美国,95%的民事案件经过和解在法院内附设的强制仲裁或调解等所谓代替诉讼解决纠纷程序得到解决,只有不到5%的案件才进入法庭审理阶段;日本通过调停解决的案件占总数的53%到54%,诉讼中经和解解决的案件达35%;德国的和解率最低,其案件总数的75%是通过判决解决的。虽然各国的和解、调解程序并非完全相同,但通过协商解决纠纷、降低当事人诉讼成本和减轻法院案件过多的负担是各国法律设立调解制度的本意所在。同时,法院调解制度具有诉讼外和解与审判优势相结合的特点,理性的当事人可以积极的在司法公正与利益之间寻求平衡点,以最大限度的满足自己的需求。随着社会生活节奏的加快,单纯的诉讼外和解与单纯的民事诉讼其价值都无法满足社会对司法救济制度的多样化的需求。另由于个人自由理念的提升,希望通过在诉讼的过程中,积极参与纠纷的解决。而法院调解则是将诉讼外和解与民事诉讼中审判的制度予以调和的产物,同时满足人们对调解与审判优势进行融合的需要。在这种模式下,当事人可以在程序保障与效益、公正评价与利益协调之间寻求平衡点,以最大限度的满足自己的要求。可以说,法院人力不足的困境及纠纷双方对纠纷解决的多元化需求是法院调解存在的根源。
二、法院调解的本质——兼评各解决学说
以调解为主的处理民事诉讼,能及时化解矛盾,对社会稳定有积极的作用。但由于我国曾经长期实行计划经济,以及对法制的相对忽视,法院调解制度不可避免地打上了计划经济的烙印,具有强烈的职权主义的特点。当前,随着市场经济的逐步完善,法制观念的深入人心,法院调解制度在实践中日益暴露出它的局限性和诸多弊端,严重地阻碍了其作用的发挥。虽然,1991年对民诉法(试行)进行修订,针对“着重调解原则”存在的问题,立法机关修正了这一原则,但是从现实情况看,在审判实务中倚重调解的做法仍无根本的改观。一方面,调解制度本身存在着缺陷,另一方面,法院在实务中还要以其为主要的调解纠纷的方式。使调解在司法中处于进退两难的尴尬境地。国内学者对我们的法院调解制度及国外的“替代性纠纷解决办法”(ADR)进行研究之后,相继提出了一些改革建言。总结其主张,可以归结为三种,即“取消说”、“合一说”、“分离说”。
(一)取消说。目前有民诉法学者主张以诉讼和解代替法院调解,从法典中抹去法院调解的字眼,从而凸现出当事人的诉讼主题地位,充分保障当事人自由行使处分权。其认为,我国的法院调解与台湾地区的调解程序,外国诉讼和调解制度相比,其分界岭就是调解的职权性和审理性质。审判人员在当事人的和解中充当着主导的、主动的、必不可少的调解人兼审判人角色,并使调解成为审判活动的一部分;建议民诉法在取消法院调解后,加强对诉讼上和解制度的立法。
(二)合一说。即调审合一的主张,是指在人民法院审判组织的主持下,双方当事人自愿协商,达成协议,经人民法院认可后,终结司法程序的活动;如果调解不成,则由同一审判组织及时做出判决。其性质有三:第一,法院调解是在法院受理案件后的诉讼中进行;第二,审判人员在法院调解中占主导地位,并在调解中起指挥、主持、监督作用;第三,调解协议必须经法院审查确认,否则,协议不能发生法律效力。
(三)分离说。目前学术界最流行的学说就是“分离说”,该学说主张将调审分离,即仍将调解规定在诉讼程序中,但只在进入审判程序之前由专门人员负责进行,调解不成的,案件转入审判程序,调解人不得参加审判。
其实,法院调解一方面是在两种意志(主持调解人员意志与当事人意志)中间寻找一个平衡点,以便保证当事人合意具有相当的“纯度”,使调解协议具有公正性;另一方面又使纠纷解决主持人员具有一定的影响力,使纠纷解决程序具有一定的效率和利用率。因此法院调解制度包含以下三个特征:一是法官作为中立的第三人居中调解,并富有影响。二是调解协议是当事人双方合意的结果。三是当事人具有相当的自由。上述学说从不同的角度对调解程序进行了改革,为调解程序的最终模式的确定提供很大的指导、借鉴意义。但由于其只是对现实中调解程序表面问题的认识,而不是从程序价值的角度进行审视,使上述的各种学说都有失偏颇。“取消说”提出诉讼和解制度和“合一说”提出的法院调解制度在本质上没有什么区别。(1)此两种学说下的调解,着重体现了程序的效益。在司法资源有限的情况下,法官既是裁判者又是调解人,确实可以节省一定的司法资源。(2)审判人员在调解中占主导地位,可以促使调解协议的尽快达成,达到了节省时间和成本的目的。然效益的提高,不应以牺牲程序的公正性为代价。在法官具有调解偏好的固疾下,如何避免调解人的恣意妄为,是为体现程序公正这一根本价值取向所无法回避的问题。“分离说”在这一点有了一定的进步。首先解决了程序公正的前提,即调解人和裁判者由不同的法官担任。但就如何在调解过程中体现程序正义,却没有提出明晰的方案。并且,在多消耗了一定司法资源的前提下,如何使这部分资源“内化”在调解程序中,进而达到程序效益的最大化方面,显得束手无策。
解决调解制度面临的困境,起着眼点是厘清市场经济条件下法院调解制度的本质;从程序价值这一理念审视调解制度,使其能公正、高效的解决纠纷,使参与诉讼的主体需求真正的予以实现和满足。

三、调解程序价值的再探究
一个制度的确立,即民事诉讼程序的制定,应体现其根本的价值,调解制度作为“类司法制度”也不例外。所谓价值在哲学上是一种关系的范畴,即客体对主体需要的满足。调解程序价值既为参与调解的主体的内在需要所给予的满足与实现。程序价值包括两个方面:一为内在价值,即程序本身所具有的价值——公正,效率和自由等。其最主要者为公正与效率。二为外在价值,通过程序的运作导致的实体公正,秩序等具体形态。因此,调解程序的重构首先在根本上体现其内在价值,即公正与效益。只有体现了内在价值的程序,才能在司法运作中带来实体的公正,进一步实现社会秩序稳定的外在价值。
(一)调解之程序正义价值探究
法律从诞生之日起,便与正义建立了密切的联系,正义是法律所追求的永恒的目标。尽管如博登海默所说正义就象“普洛透斯的脸”[1] 令人难以捉摸,但是,在司法运作中还是有其实现的客观标准。罗尔斯认为正义的实现有如下两个原则:(1)平等原则,既程序对每一个人的适用应没有差别。当事人之间的合意在很大程度上是在相互妥协的基础上形成的,而对妥协协议的公正性的内心确信,主要以当事人各方地位平等为前提,当事人双方自由的提出自己的意见,保障其诉讼上的利益。法官在调解时对于双方的基本权利是不容侵犯的,法官作为中立人应给予双方当事人以平等的机会提起诉讼中的权利。(2)差别原则,既程序在平等的基础上,可以使不利的一方获得最大的利益。这就是说允许法官差别对待当事人双方,但这种差别要对诉讼中不利的一方。这里不利的一方是指法律知识的欠缺严重,而导致在诉讼中个人的合法利益无法得以保障。因为,在现实中各方势均力敌的情形并不多见,所以通过程序的规定保障当事人的对等性安排是十分必要的。
调解程序是由第三人来主持,通过斡旋解决纠纷的程序。而由第三者处理案件这一事实本身就必然包含着判断契机,因而学理上关注的重点首先应当是如何适当地防止恣意。因此作为调解程序中法官的职权应该受到一定的规制,使其只能充当中立的第三方,以保障当事人合意的纯度。如果当事人或利害关系人从各自所拥有的手段确认调解法官提出的某个妥协点是能够得到的最佳效果,这样纠纷的解决即可获得。法官的中立是这个妥协点能够被当事人双方合理接受的前提,也是保障程序正义的前提。从程序正义的角度,调解制度中应包括以下四个要素:(1)平等。一个公平的调解程序要求每个当事人都应得到平等的对待。平等决不是程序的一个简单的或直接的属性,它可以成为一个严格的要求。(2)准确。公正的调解程序应能够保障当事人双方了解争议所涉及的实体法律的信息,在平等协商的基础上达成的合意,(3)公开。调解程序的运行状态应该是在当事人对席的情况下进行,并且其运行的规则和标准对当事人双方是透明的。(4)尊严。在调解程序中不应使当事人的一方或双方以一种有损尊严的方式进行协商。
(二)调解之程序效益价值探究
效益是成本与收益关系的范畴,是经济学的永恒的主题。由于资源具有稀缺性,行为主体必须对有限的资源做出理性的选择,选择的场所在市场。波斯纳认为,法律权利(义务)作为一种资源,是不同利益集团在“法律市场”上进行交易的结果;诉讼程序实际上也是一种交易清结过程。恰当的调解程序不仅应当通过纠纷的解决使资源分配达到效益极大化,而且调解程序本身必须尽可能的降低诉讼成本,提高程序收益。[2] 程序成本是指程序主体在实施诉讼行为的过程中所耗费的人力、物力、财产和时间等法律资源的总和。程序收益是程序主体预期利益的实现和社会秩序的稳定。
波斯纳认为提高程序效益的根本方式是使经济成本最小化,并且其认为一个错误的裁判结果也是一种对司法资源的浪费。因此程序效益的最大化可以描述为:错误成本(EC)和直接成本(DC)的最小化,即SUM (EC+DC)的最小化。在波斯纳提出错误成本(EC)和直接成本(DC)的基础之上,美国哲学家贝勒斯将效益的实现表述为实现经济和道德错误成本(MC)及直接成本的最小化,即SUM(EC+MC+DC)[3] 的最小化。在调解制度中效益的最大化的重要因素是使调解成本最小化。调解在本质上是一种以“合意”为核心要素的解决纠纷的方式,这种合意是私法上意思自治原则在纠纷解决领域的延伸,与审判相比,贯彻的是当事人主义。由于充分体现作为理性的当事人的意思自治。在此意义上调解的道德成本和错误成本是不存在的,因此决定调解程序的成本只有直接成本,包括人力、物力、时间等因素。调解程序的特点之一是由中立的第三人来促使当事人双方进行协商、谈判,然后达成“合意”的过程。托马斯•霍布斯认为即使谈判中没有严重的障碍,人们也极少有充分的理性,在合作剩余的分割上达成协议,所以,应有一个第三者迫使他们同意合作,这就是法律的目标之一,即建立法律以使私人协议失败造成的损失达到最小,所以法律设计应该能防止胁迫和消除意见分歧的损害,这就是所谓规范的“霍布斯定理”。因此在调解程序中中立的法官发挥相宜的作用,参与合意的达成,以行使释明权的方式对当事人双方的请求进行评价,弥补双方的分歧,以此来消除私人谈判的障碍,促进合作,减少调解耗费的直接成本。从程序效益的角度,调解制度中应包括的措施有:法官应对双方当事人列举出案件所适用的法律,因为就当事人和法官而言,法官比当事人能少时省力了解法律的适用。当事人可根据法官提出的法律适用问题,以免无理取闹,减少诉讼中耗费的时间成本。其次,合意达成的过程也就是双方进行博弈的过程,“囚徒困境”的事实告诉我们,信息的获得是理性的当事人有效达成合作博弈的前提。调解程序应使就纠纷的所涉及的信息为双方所共知。以避免一方利用信息的优势,阻碍合意的达成。再次,无故增加他人成本的一方(例如对调解协议的反悔),应承担相应的诉讼费用,以免诉讼成本的增加和他人程序收益的减少。通过上述几个方面来使法院多耗费一定司法资源的问题“内化”在调解程序里,以达到效益的最大化。
四、调解程序的重构
对调解程序的价值探究为其重新建构指引了方向,笔者认为在调、审适当分离的基础上,把调解程序规定在诉讼中,由调解法官进行负责,调解不成的,案件转入审判程序。其具体的设计思路如下:
1.调解程序的启动和终止
在庭审准备阶段,调解法官,在基本了解案件之后,对于属于调解范围的案件应告知诉讼双方当事人,可转入调解阶段。为避免法官的调解偏好,维护程序的公正,应由当事人提出申请进入调解程序。调解程序由双方当事人通过合意,达成调解协议;或经过调解规定的时间期限,或在期限内当事人申请撤回调解,转入审判程序。
2.调解案件的范围:
对调解适用范围加以严格的限制,以保证纠纷的解决公正和效率。可适用的案件包括:离婚维持或终止收养关系的人身权的案件;适用简易程序的案件。此类案件的事实清晰,案件简单,法律的适用明了。当事人的双方在博弈的过程中可以减少信息的收集,以利于合意的达成。不包括调解的案件:非诉案件;督促程序和公示催告程序;民事法律行为无效应给予民事制裁的案件;受害人未参与的案件。此类有些是不符合调解的特征,如受害人未参加的案件。
3.调解适用的阶段
明确法院调解应适用于一审程序。在适用阶段上,笔者主张法院调解应限于一审判决之前,在其它诉讼阶段不宜再启动调解程序,这有利于防止当事人诉讼权利滥用,节约诉讼成本,也有利于杜绝法官不适当行使职权,维护公正判决的权威,使当事人认真对待和重视一审程序,发挥一审法院查明事实、分清是非的应有作用。
4.调解进行的状态
调解应该在和谐的状态下进行。首先,法官应保持中立且调解法官不作为审判法官,以保障程序正义。其次,调解应当公开进行,不应进行背对背调解,保障当事人的合法权利和利益。再次,法官在调解开始应简单说明一下争议所涉及的实体法的适用。对当事人的请求进行简单的评价,促使调解协议的合理达成,提高程序效益。另,对调解的时限加以规定,可以30天为限,以减少时间成本。
5.对当事人的反悔权进行严格的限制
调解协议一经签字即具有法律效力。任何一方当事人不得随意反悔,但为防止可能发生的错误调解所造成的不公正后果,法院调解无效适用标准如下:(1)一方当事人欺诈、胁迫影响另一当事人意思真实表达;(2)调解程序违法或法官违反审判纪律;(3)当事人恶意串通,非法行使处分权,直接损害国家集体或第三人的合法利益;且无法补救第三人损失的;(4)调解协议违反法律原则或禁止性规定。在社会主义市场经济迅猛发展的今天,我国的民事权益之争日趋复杂化、多样化,以调解的方式妥善处理各类纠纷案件,对于化解社会矛盾、快速调节经济关系,预防和减少诉讼,增强人民内部团结,维护社会稳定具有判决结案方式所不可替代的优越性。法院调解虽然在及时解决纠纷,保障社会安定,提高法院办案效率,减轻当事人的诉累,提高当事人的法制观点等方面具有特殊的司法救济价值。但是仍然无法掩盖在现实生活中的种种弊端。

财政部决定发行2010年第九、十、十一期储蓄国债的公告

财政部


财政部决定发行2010年第九、十、十一期储蓄国债的公告


根据国家国债发行的有关规定,财政部决定发行2010年第九期储蓄国债(电子式)(以下简称第九期),2010年第十期储蓄国债(电子式)(以下简称第十期)和2010年第十一期储蓄国债(电子式)(以下简称第十一期)。储蓄国债(电子式)是财政部面向个人投资者发行的,以电子方式记录债权的一种不可上市流通的人民币债券。现将有关事项公告如下:

一、本次发行的三期国债为固定利率固定期限国债,其中第九期期限为1年,年利率2.85%,发行额为60亿元;第十期期限为3年,年利率4.25%,发行额为150亿元;第十一期期限为5年,年利率4.60%,发行额为90亿元。本次发行的三期国债发行期为2010年11月15日至11月28日,公告日至发行截止日,如遇中国人民银行调整同期限金融机构存款利率,这三期国债从调息之日起停止发行。

二、本次发行的三期国债从2010年11月15日起息,按年付息,每年11月15日支付利息,第九期于2011年11月15日偿还本金并支付利息,第十期于2013年11月15日偿还本金并支付最后一次利息,第十一期于2015年11月15日偿还本金并支付最后一次利息。财政部通过储蓄国债(电子式)试点商业银行(以下简称试点银行)于付息日或到期日将本期国债利息或本金拨付投资者指定的资金账户,转入资金账户的本息资金作为居民存款由试点银行按活期存款利率计付利息。

三、本次发行的三期国债以100元为起点按100元的整数倍发售、兑付和办理各项业务,每个账户购买单期国债最高限额为500万元。本次发行的三期国债实行实名制,不可以流通转让,可以按照相关规定提前兑取、质押贷款和非交易过户。

四、投资者购买本次发行的三期国债,需持本人有效身份证件和试点银行的活期存折(或借记卡)在试点银行网点开立个人国债账户,个人国债账户不收开户费和维护费用,开立后可以永久使用。已经通过试点银行开立记账式国债托管账户的投资者可继续使用原来的账户购买储蓄国债(电子式),不必重复开户。活期存折(或借记卡)的相关收费按照各行标准执行。

五、从2010年11月15日开始计算,持有本次发行的三期国债不满6个月提前兑取不计付利息,满6个月不满12个月按票面利率计息并扣除180天利息;持有第十期和第十一期满12个月不满24个月按票面利率计息并扣除180天利息,满24个月不满36个月按票面利率计息并扣除90天利息;持有第十一期满36个月不满60个月按票面利率计息并扣除60天利息。提前兑取本次发行的三期国债需按照兑取本金的1‰缴纳手续费。付息日(到期日)前2个法定工作日起停止办理提前兑取、非交易过户等一切与债权转移相关业务,付息日恢复办理。

六、本次发行的三期国债试点银行为40家2009年-2010年凭证式国债承销团成员,上述银行在全国已经开通相应系统的地区和营业网点销售本次发行的三期国债。

特此公告。

中华人民共和国财政部
二〇一〇年十一月十日