民事判决理由效力的法理基础

Jurisprudential Foundation of the Force of Civil Judgment Reason

民事判决的理由是否具有拘束力,以及具有何种拘束力,这一问题属理论盲区。在民事判决数量持续激增、系列案件频发及裁判文书要“释法说理”的大背景下,回答这一问题具有紧迫性。在实然和应然角度,民事判决理由效力的正当性存在着预决效力、争点效力和参加效力等解释路径,分别反映不同的制度目的,对应于不同的程序保障标准和价值判断空间,体现不同程度的正当性。预决效力可通过免证事实机制缩小证明范围,能够提升诉讼效率,但保障证明权是其适用的前提条件,对后诉事实认定的拘束力较弱,难以为判决理由效力提供正当性支撑。争点效力与民事判决理由效力的关联最紧密,可与既判力形成合理分工。既判力原则上只及于判决主文,而争点效及于判决的理由,借助于价值判断机制落实诉讼诚信原则,阻断生效判决认定的争点事实再次被后诉当事人争执,维护裁判统一。参加效力立足于责任分担理念和诉讼担当法理,为判决理由向无独立请求权第三人及案外第三人扩张提供正当性法理基础。以此为基础的类型化分析,则可廓清判决理由效力适用范围,扩大判决理由拘束效果。

Whether and what kind of binding force the reason of civil judgment has is a theoretical blind spot.As the number of civil judgments continues to surge,serial cases occur frequently,and the judgment documents need to“explain the law and reason”,it is urgent to answer this question.From the positive and normative perspective,the legitimacy of force from judgment reason is derived from three theories on the effect of pre-determination,issue preclusion and litigation participation,which reflect different system aims,procedural security standards,space for value judgment and degrees of legitimacy.The pre-determined effect can narrow the scope of proof through the mechanism of evidence-exemption,which can improve the efficiency of litigation,while the protection of right to prove is the prerequisite for its application,and the binding force on the determination of facts in subsequent litigation is weak,meaning that it is difficult to provide legitimate support for the force of judgment reason.The issue force is most closely related to the force of judgment reason,which can form a reasonable division of labor with res judicata,as res judicata only applies to the main text of the judgment in principle,while the issue force applies to the judgment reason by means of value judgment mechanism which can be used to implement the principle of good faith in litigation and prevent the issue facts from being disputed again by subsequent parties,to maintain the uniformity of judgment.The participating effect is based on the theories of responsibility sharing and litigation undertaking,providing legal basis for the expansion of judgment reason effect to the third parties without independent claim and outside the case.The classification analysis on this basis can clarify the application scope of judgment reason force and expand the binding effect.