正当程序理念下的执行转破产机制:基于法理视角的反思  

The Conversion of Execution into Bankruptcy under the Idea of Due Process: Reflection from the Perspective of Ratio Juris

作　　者：廖丽环 

机构地区：[1]厦门大学法学院

出　　处：《法制与社会发展》2018年第3期122-142,共21页Law and Social Development

基　　金：国家社会科学基金项目"法治中国视阈下的司法与政治关系研究"(14BFX002)的阶段性成果

摘　　要：最高人民法院创制的执行转破产程序是政治动员之下的非常态之举,它因应功利主义导向下贯彻国家供给侧结构改革、解决执行难和法院绩效考评问题的需要而产生,缺乏正当性支撑,亟需通过正当程序理念加以修正。正当程序所内含的程序性正当和实体性正当不仅从微观层面调整执转破程序规则,更从宏观视阈重新定位法院在国家治理体系视阈下的诉审商谈型和政策实施型的角色。但不论是贯彻供给侧结构性改革,还是健全市场主体的救治和退出机制,执转破都不是长远之策,从根本上讲,还需要依靠市场化破产以提高破产程序适用率,改变以往以指令法理为主导的破产制度,转向侧重市场法理,唯有如此,才是实现程序性正当向实体性正当转捩的必由之路。The procedure of the conversion of execution into bankruptcy created by the Supreme People＇s Court is a unusual work under the political mobilization. It is due to the need to carry out the national supply-side structure reform, the difficulty of execution and the performance appraisal of court under the guidance of utilitarianism. So it lacks the legitimate support, and is urgently needed to be amended by the idea of due process. The procedural legitimacy and substantive legitimacy con- tained in due process not only adjust the rules of conversion of execution into bankruptcy, but also re- locate the role of the court in the national governance system from the macro perspective as for the conversation of prosecution and trial and the policy implement. However, whether carrying out the structural reform of the supply side, or improving the relief and withdrawal mechanism of the market subject, the conversion of execution into bankruptcy is not a long-term policy. Fundamentally, it needs to rely on the market-based bankruptcy to improve the application rate of the bankruptcy pro- cedure, change the previous bankruptcy system dominated by the instruction orientation and focus on the market orientation. So, this is the only way to turn procedural legitimacy into substantive legiti macy.

关 键 词：正当程序 执行转破产 程序性正当 实体性正当 市场法理 

分 类 号：D926.2[政治法律—法学]