一审判决效力与二审中的诉讼外和解协议——最高人民法院公布的2号指导案例评析  

Compromise outside Action in the Second Instance and Effect of the First Instance Judgment

作　　者：王亚新[1] 

机构地区：[1]清华大学法学院

出　　处：《法学研究》2012年第4期74-83,共10页Chinese Journal of Law

基　　金：北京市支持中央在京高校共建项目"民事诉讼法修改与多元化争议解决机制的完善"的部分成果

摘　　要：对指导案例2号归纳的程序规则,理论上可用"执行力替代说"来加以说明。引入诚实信用原则并明确其在法律解释中的作用亦为本案的靓点之一。指导性案例应当随时间的推移而呈现出系列性,使规则的流变和连续这两种司法实务的需要有机地结合起来。在此意义上,本案能够成为程序规则发展的一个起点或中间项。通过对案情基本事实多种演化形态的示例性延伸,本案程序规则的内容及其参照运用能够体现出微妙地调整变化却又保持前后一贯稳定性的独特机制和作用。本案所提炼出来的裁判规则既可能循着诚实信用原则的实质化、要件化这一路径发展,也可能根据司法实务中对"撤回上诉还是撤回原审起诉"的现实问题作出的回答而演变。对指导案例2号的分析表明,可以把"类似"或"参照"等对指导性案例制度具有重要意义的关键概念逐渐地加以具体化和类型化。Guiding Case No. 2 promulgated by the Supreme People＇s Court touches upon the effec- tive conflict or concurrence between the compromise contract outside the action in the second in- stance and the judgment of the first instance. The procedural rules contained in it say, when both parties come to compromise outside the action in the second instance, and the people＇s court per- mits the withdrawal of the appeal, if one party defaults and the other party applies for the en- forcement of the first instance judgment, the people＇s court should permit, which may be inter- preted by the theory of alternative execution. The introduction of the principle of good faith and the expression of its role in the legal interpretation are also remarkable in Guiding Case No. 2. Guiding Cases should appear in series as time goes on, so that they can reconcile the relation- ship between flexibleness and consecutiveness of rules both of which are demanded by the legal practice. In this sense, Guiding Case No. 2 could play the role as a starting point or an intermedi- ate item in the development of the procedural rules. In this article, from the fictional scenario 1 to scenario 8 factually similar to the basic facts of Guiding Case No. 2, rules contained in it change subtly hut with consistent characteristics, in the respects of both their contents and applications. Rules contained in Guiding Case No. 2 may develop through the approach in which the principle of good faith develops into a substantive and elementary one, or evolve in accordance with the an- swer from the legal practice to the choice between withdrawal of the appeal and withdrawal of the originating claim. The analysis of Guiding Case No. 2 indicates that the key concepts in regard to the guiding case system as ＂similarity＂ and ＂reference＂ may be specified and typed gradually.

关 键 词：执行力替代说 诚实信用原则 类似案件 参照 类型化 

分 类 号：D926.2[政治法律—法学]