形成诉权行使方式的反思与重构  

Rethinking and Reconstructing the Way of Exercising the Formative Action Right

作　　者：宋史超 Song Shichao

机构地区：[1]东南大学法学院

出　　处：《环球法律评论》2024年第5期156-172,共17页Global Law Review

摘　　要：形成之诉的基础是形成诉权,但形成诉权的行使方式并不限于提起形成之诉。就形成诉权而言,起诉方式能够实现法律关系变动的明确性、安定性,并实现对法律关系变动的司法介入和控制。德国法并不禁止形成诉权的仲裁行使。仲裁方式能够实现与起诉方式相当的效果。判断某种具体的形成诉权能否仲裁行使,需要考虑《民法典》的规定、纠纷是否具有可仲裁性、形成诉权是否符合仲裁程序的特点。形成诉权人为诉讼被告时,形成诉权的行使方式存在“抗辩说”与“反诉说”之争,应当肯定以抗辩方式行使形成诉权。抗辩方式能够实现与起诉方式相当的效果,符合《民法典》的规定和民事抗辩体系,并有助于实现纠纷一次性解决。本诉判决理由对形成诉权抗辩的认定同样具有终局性。如果仅因为形成诉权有“诉权”之名就只允许起诉行使、不允许仲裁行使或抗辩行使,就陷入了概念法学的窠臼。形成诉权行使方式的多元化,也有助于减少诉源和促进纠纷多元化解。A formative lawsuit is based on formative action right,but the exercise of formative action right is not limited to filing a formative lawsuit.For formative action right,filing a lawsuit means an ex ante judicial review of changes in legal relations to achieve clarity,stability and judicial control of changes in legal relations.China's civil legislation has always expressly affirmed the exercise of formative action right by arbitration,but this affirmation is questioned by the majority of academic opinion.There is no prohibition on the exercise of formative action right by arbitration in German law.Arbitration can achieve an effect comparable to that of filing a lawsuit and is consistent with the positioning of arbitration as an ADR system.Whether a specific formative action right can be exercised by arbitration is determined by taking into account the formulation of the provisions of the China Civil Code,the arbitrability of the dispute,and the formative action right's compatibility with the characteristics of the arbitration procedure.Whether a creditor's right of avoidance,a right to divide property in divorce,or a right to set aside a corporate resolution can be exercised by arbitration is an issue that should be decided on a case-by-case basis.When the holder of the formative action right is a defendant in a lawsuit,there is a dispute between the“defense theory”and the“counterclaim theory”.Judicial interpretations expressly provide that some formative action rights may be exercised by defense.There are some problems with the current arguments for both the“defense theory”and the“counterclaim theory”.The German law doctrine of“hidden formative judgment”allows for the exercise of a formative action right by defense.Filing a lawsuit,counterclaim and defense are the different forms in which a right holder may request a court to change a civil legal relation,and defense can achieve an effect comparable to that of filing a lawsuit.The recognition of the defense of formative action right is the r

关 键 词：形成诉权 形成之诉 仲裁 抗辩 

分 类 号：D923[政治法律—民商法学] D925[政治法律—法学]