指导性案例参照适用中的案件事实相似性判断

The Confirmation of Fact Similarity in the Reference and Application of Guiding Case

参照适用指导性案例是案例指导制度运行的核心环节,但是在现有的裁判文书中,指导性案例的援引率较低,相关规定亟待改进。就参照适用的前提条件——案件事实相似性的比较来说,现有规定中“基本案情”的表述过于宽泛,而相关研究成果使用的“实质事实”“关键事实”等表述在一定程度上过于强调案例指导对判例制度的借鉴。作为相似性比较点,指导性案例中的“案件事实”更适合用“重要事实”来表述,其含义是体现创新规则的事实。这种界定更符合案例指导在中国司法语境中的准确定位。作为相似性比较的基本方面,案件事实决定着法律适用,应当成为法官参照指导性案例时主要考察的对象。这一结论可以从司法运行的一般原理、判例法的历史经验、裁判文书的现状等方面得到支持。具体到案件事实相似性的确定方式而言,在程序方面主要存在着法官主动检索和庭审中回应诉求这两种程序性方式:前者需要以裁判要点和规范目的为指引,并结合裁判理由部分的论述;后者则需要更多地引入英美法系中普通法运行的经验总结。而确定案件事实相似性的实体方式,则需要借助于法律适用方面的相似性进行对比和检验,特别是在考察体现创新规则的重要事实是否相似时,还需要结合方法论的因素。以案件事实相似性的分析为开端,案例指导制度还需要在更多方面继续完善。

Reference and application of guiding case is the core in guiding case system,but only a few judgment documents have referred guiding case.As to the primes of fact similarity,the rulings of guiding case system have many defects.The expression“basic facts”in the existing provisions is too broad,while the expressions such as“substantive facts”and“material facts”used in relevant research results overemphasize the reference of the case guidance to the precedent system to a certain extent.The“important fact”is more suitable,which means to show the innovation of guiding case to the legal rules.This definition is more in line with the accurate positioning of case guidance in the context of Chinese justice.The similarity of case fact has determined that of legal application,and the judges should pay more attention.This conclusion can be supported by the general principles of judicial operation,the historical experience of case law,and the current status of adjudication documents.As to the process of confirmation of fact similarity,there are two main procedural approaches.The former needs to be guided by the main points and normative purposes of the adjudication,and combined with the discussion of the reasons for the adjudication;the latter needs more experience summaries of common law operations in common law systems.In particular,when examining whether the important facts that embody the rules of innovation are similar,it is necessary to combine methodological factors.Starting with the similarity rulings,the guiding case system should be improved in many other aspects.