论“执转破”职权启动正当性危机的应对——基于比例原则的视角  

Addressing the Legitimacy Crisis of Ex Officio Initiation in"Execution to Bankruptcy"--From the Perspective of the Principle of Proportionality

作　　者：丁兆增[1] 竺元居 DING ZHAOZENG;ZHU YUANJU(Fujian Normal University School of Law,Fujian Fuzhou,354000,China)

机构地区：[1]福建师范大学法学院,福建福州354000

出　　处：《西安电子科技大学学报（社会科学版）》2024年第3期86-95,共10页Journal of Xidian University：Social Science Edition

基　　金：2023年《地方财政与区域金融双风险治理的法律对策研究》(福建省社科基金特别委托一般项目)项目编号:FJ2023TWFX02。

摘　　要：依职权启动“执转破”程序是公权力对私权的干预,其职权运行理应保有一定限度。2022年《强制执行法(草案)》设置的“执转破”职权启动模式因与“终结本次执行”程序并行而存在过度干预倾向,或将导致当事人程序选择权受损以及司法资源浪费,使“执转破”启动职权面临正当性危机。基于依职权启动“执转破”程序“权力-权利”的法律关系结构,比例原则为“执转破”启动职权限缩提供了独特视角,在适当性原则、必要性原则与均衡性原则的审视下,应明确职权启动应以当事人拒绝适用“执转破”为前提,并以债务人清偿能力穷尽做为职权启动的积极要件、破产无意义或负收益作为职权启动的消极要件,同时探索构建破产简易程序及“执破联通”信息化平台以提高程序运行效率。The ex officio initiation of the“execution to bankruptcy”procedure represents an intervention of public power into private rights,and such exercise of authority should have reasonable limits.The 2022 Draft of the Compulsory Enforcement Law of the People’s Republic of China introduces an ex officio model for initiating“execution to bankruptcy”,which operates parallel to the“termination of the enforcement”procedure.This leads to tendencies of over-intervention and potentially infringes on litigants’right of procedural selection and wastes judicial resources,thus posing a legitimacy crisis to the ex officio initiation of execution to bankruptcy.Based on the legal relationship structure of“power-rights”in the ex officio initiation of execution to bankruptcy,the principle of proportionality is a unique perspective to conduct research on limiting the exercise of authority.Under the principles of suitability,necessity,and proportionality,it is proposed that ex officio initiation should be predicated on the party’s refusal to apply“execution to bankruptcy”procedure,with the exhaustion of the debtor’s solvency as the positive condition for initiation,and the lack of purpose or negative return from bankruptcy as the negative condition.Additionally,exploring the establishment of a simplified bankruptcy procedure and an integrated“execution to bankruptcy”information platform can enhance procedural efficiency,ensuring that the ex officio initiation of bankruptcy remains reasonable and legitimate.

关 键 词：执转破 强制执行法 职权主义 比例原则 破产利益 

分 类 号：D925.1[政治法律—诉讼法学]