指导性案例效力的层次构造——以权威理论为视角  

The Hierarchical Structure of the Validity of Guiding Cases in the Perspective of the Theory of Authority

作　　者：彭中礼[1] 高原 PENG Zhongli;GAO Yuan(Law School,Central South University,Changsha 410083,China)

机构地区：[1]中南大学法学院,湖南长沙410012

出　　处：《云南师范大学学报(哲学社会科学版)》2025年第1期84-97,共14页Journal of Yunnan Normal University:Humanities and Social Sciences Edition

基　　金：国家社会科学基金重大项目“中国共产党司法政策百年发展史研究”(21ZDA120)。

摘　　要：自案例指导制度实施以来,学界对指导性案例效力问题的争议较大,一直未有定论。通过构建合理的权威理论模型,分析和梳理不同权威对指导性案例效力形成的影响和贡献可知,指导性案例的效力呈现三阶结构。一是因充分的理论权威衍生的社会价值和司法价值而形成的应然效力,体现为一种价值拘束力;二是由最高权力机关行使规范性权威而生成的法定效力,即既可以具有法律效力而作为裁判依据使用,也可以不具有法律效力而只能作为裁判理由使用,体现为一种授权性自由裁量行为的对象或内容;三是由最高司法机关行使最高权力机关授予其的授权行为的权威而形成的实践效力,即只能作为裁判理由引述,而不得作为裁判依据引用,但应当负有偏离时的报批和论证义务。指导性案例各种类型的效力在司法实践中的影响力往往是相互融合、相互作用的,形成了复合型、位阶性的实践关系。Since the implementation of the case-guidance system,there has been significant controversy in academia regarding the validity of guiding cases,and no consensus has been reached.By constructing a reasonable authoritative theoretical model and analyzing the impacts and contribution of different authorities on the validity of guiding cases,it can be concluded that the validity of guiding cases presents a 3-dimensional structure.One is the due validity formed by the social and judicial value derived from the sufficient theoretical authority,which is reflected as a kind of value-binding force.The second is the legal validity generated by the exercise of the normative authority by the highest authority,that is,it can either have legal validity and be used as the basis of judgment,or it can only be used as the reason of judgment without legal validity,which is reflected in the object or content of an authorized discretionary act.The third is the practical validity formed by the highest judicial authority in the exercise of the authority of authorized actions granted by the highest authority,which can only be cited as a reason for judgment but not as a basis for judgment,but it should bear the obligation to apply for approval and argumentation when deviating.The influence of various types of the validity of guiding cases in judicial practice is often integrated and interactive,forming a complex and hierarchical practical relationship.

关 键 词：指导性案例 权威 应然效力 法定效力 实践效力 

分 类 号：D901[政治法律—法学理论]