实体关联纠纷审理中诉讼主体的扩张及其限度  

Expansion and Its Boundaries of Litigant involved in Entity-related Dispute Adjudication

作　　者：卢佩[1] Lu Pei

机构地区：[1]对外经济贸易大学法学院

出　　处：《财经法学》2024年第4期178-192,共15页Law and Economy

基　　金：2018年北京市社会科学青年基金项目“准共同诉讼类型研究——以北京地区机动车交通事故审判实务为中心”(18FXC020)的阶段性成果。

摘　　要：所有受程序所涵盖的实体权利或法律状况的承受者皆应被赋予程序参与的机会,但参与诉讼并不意味着必须以当事人的身份进入诉讼才是符合程序正义的。因此应根据实体关系关联程度的不同层次采纳不同的诉讼主体构造,并辅之以类型化的判决效力体系。对紧密型关联纠纷,应将关联纠纷当事人追加为必要共同诉讼人,但应根据其是否占据主导地位以及诉讼行为是否具有独立性进行必要的限制。对松散型关联纠纷,应适用普通共同诉讼进行合并审理,但适用前景因准入门槛严苛而并不乐观。对半紧密型关联纠纷,关联纠纷当事人应以无独立请求权第三人的身份加入,但法院应以旨在实现程序保障的辅助型第三人为适用原则,严格限制被告型第三人的适用空间。未来我国多数人参与诉讼体系的构建,应以案件事实的查明和纠纷的一次性解决为目标,在审理对象的层次和效力扩张的方式上体现梯度差异。All entities whose substantive rights or legal positions are implicated by the proceedings should be afforded procedural participation.However,this does not necessitate their engagement as a formal party to be aligned with principles of procedural justice.Given the varying depths of these entity relationships,appropriate litigation structures should be adopted by a tiered system of adjudicative effects,complemented by a categorized system of effects of judgments.In the adjudication of closely connected disputes,it is necessary to include the relevant disputing parties as necessary co-litigants.However,this inclusion should be restricted based on their dominance and the autonomy of their litigation actions.For loosely connected disputes,typical co-litigation procedures should be applied and litigations should be consolidated for a single trial.Yet,the prospects for such application remain uncertain due to stringent entry criteria.In the case of semi-connected disputes,the disputing parties should be joined in the litigation as third parties without independent claims.Courts,in these cases,should favor the principle of auxiliary third parties which is designed to ensure procedural safeguards,while rigorously delimiting the realm for defendant-type third parties.In forging China's litigation framework involving multiple participants,the ultimate aim should be accurate finding of the facts and ensuring disputes are resolved comprehensively in a single instance.However,the approach to expanding the scope of adjudication powers and its effectiveness in terms of litigants should be differentiated and gradational.

关 键 词：实体关联纠纷 诉讼构造 程序参与 判决效力 

分 类 号：D925[政治法律—诉讼法学]