禁止不利益变更原则的反思与引入

Reflecting and Introducing the Principle of Prohibition of Alteration with Prejudice

禁止不利益变更原则是大陆法系国家上诉审中遵循的一项基本原则。公益考量之下,在被上诉人未上诉或提起附带上诉时此原则仍有适用的例外,但传统适用例外的情形亦有值得反思之处。我国民事上诉程序中尚未确立禁止不利益变更原则。基于对当事人处分权的贯彻,我国应引入此原则。此原则的适用应与既判力的客观范围保持一致,仅限于判决主文。我国对禁止不利益变更原则的规定应采用大陆法系国家"撤销或变更判决的范围应限于不服申请的限度内"的立法方式,并在此基础上以列举方式规定此原则适用的例外。禁止不利益变更原则的引入并不必然要求设立附带上诉制度。

The principle of prohibition of alteration with prejudice is a basic principle followed in the appellate of civil law system countries.Based on public interest considerations,there are still exceptions to this principle where the appellee has not appealed or filed an incidental appeal.However,there are still some points worthy of reflection in the application of the traditional exceptions.China’s appeal process of civil procedure did not establish the principle of prohibition of alteration with prejudice.This principle should be introduced in order to implement the principle of disposal to the parties.The application of this principle should be consistent with the objective scope of the res judicata and should be limited to the main text of the judgment.China’s legislation on prohibition of alteration with prejudice should adopt the legislative mode in civil law system countries of "the scope for revoking or changing the judgment should be in the limitation of the disobey to the application".Meanwhile,enumerating the exceptions which should not be applied to this principle.The introduction of the principle does not necessarily bring the establishment of the incidental appeal.