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山西大学2010届硕士学位论文诉讼突袭的法律规制研究作者姓名张冠卿指导教师马爱萍教授学科专业诉讼法学研究方向民事诉讼法培养单位法学院学习年限2007年9月－2010年6月二○一○年六月诉讼突袭的法律规制2ShanXiUniversityDissertationforthe2010’sMaster’sDegreeResearchontheLegalControlofLitigationSurpriseNameZhangGuanqingSupervisorProf.MaAipingMajorProcedureLawFieldofResearchCivilProcedureLawDepartmentLawSchoolResearchDurationSeptember,2007—June,2010June,20093目录引言······································································································6一、诉讼突袭的界定·················································································8（一）诉讼突袭的内涵与成因·····································································8（二）诉讼突袭的本质与构成要件······························································101.诉讼突袭的本质··················································································102.诉讼突袭的构成要件············································································12（三）诉讼突袭的特征与表现形式······························································151.诉讼突袭的特征··················································································152.诉讼突袭的表现形式············································································16二、诉讼突袭法律规制的必要性·································································26（一）诉讼突袭破坏当事人双方的攻防平衡··················································26（二）诉讼突袭浪费有限的司法资源，降低诉讼效率······································27（三）诉讼突袭动摇司法权威····································································28（四）诉讼突袭损害当事人程序主体性························································30三、诉讼突袭法律规制的法理依据······························································30（一）诉讼的正义性················································································30（二）诉讼的经济性················································································33（三）诉讼秩序的安定性··········································································37四、诉讼突袭法律规制的制度构建······························································40（一）域外规制诉讼突袭的经验借鉴···························································401.英美法系规制诉讼突袭的相关法律制度······················································412.大陆法系规制诉讼突袭的相关法律制度······················································47（二）构建我国诉讼突袭法律规制的设想·····················································531.审前程序制度化····················································································542.规范庭审程序·······················································································593.建立诉讼责任机制·················································································70结语·····································································································77参考文献·······························································································78发表文章目录·························································································79诉讼突袭的法律规制4致谢·····················································································································80参考文献5内容摘要对诉讼突袭行为进行有效的规制，是诉讼能否实现正义，社会能否和谐的关键。我国现行不完善的法律体制为诉讼突袭留有很大的“生存空间”，这给司法实践带来了许多困扰，并严重影响了纠纷解决的彻底性。基于这种现状，加强对民事诉讼突袭行为的法律规制研究刻不容缓。本文以如何建构我国诉讼突袭的法律规制为主题，从剖析我国诉讼突袭的现状入手，在合理借鉴域外法制发达国家的有益经验、立足法理依据的基础上，提出了重构我国诉讼突袭的法律规制模式的设想。全文共分为以下几个部分：引言部分：该部分阐述了国内外对诉讼突袭法律规制的研究现状，分析了我国法律规制诉讼突袭的重要意义，介绍了本文研究的整体思路。第一部分：诉讼突袭的界定。在此部分，笔者具体界定了诉讼突袭并以此为基础分析了诉讼突袭发生的原因，总结了诉讼突袭的本质与构成要件，分析了诉讼突袭的特征与表现形式，为全文阐述诉讼突袭的法律规制奠定了的基础。第二部分：诉讼突袭法律规制的必要性。在此部分，笔者通过分析诉讼突袭的危害，从宏观上重点归纳了诉讼突袭对我国法制建设带来的不良影响。第三部分：诉讼突袭法律规制的法理依据。在此部分，笔者深入地阐释了程序正义、诉讼经济与诉讼秩序安定性等法学原理，为诉讼突袭的法律规制重构奠定理论基础。第四部分：诉讼突袭法律规制的制度构建。结合域外相关制度的有益经验，笔者提出我国应当着重完善审前程序制度，规范庭审程序，建立诉讼责任机制等方面的内容。结语部分：总结了全文的主要观点，再次申明了论文写作的目的和意义。笔者运用演绎分析法和比较分析法，通过对诉讼突袭构成要件、特征及表现的分析，以及对诉讼突袭进行法律规制的法理基础的研究，从而论证了将诉讼突袭的规制策略定位于诉讼法律制度具体构建。另外笔者对世界各国的诉讼理念、及相关制度设计有针对性地进行论述，在更诉讼突袭的法律规制6广阔的视野下，对选题予以更深刻地把握并进行科学地论证。从而在结构上、视角上和观点上具有一定的创新之处。关键词：诉讼突袭；法律规制；当事人程序主体性地位；法官释明参考文献7引言随着全球化的推动，各国法律制度相互融合的态势日趋明显。就民事诉讼制度的建设和改革而言，两大法系的建构理念也呈现出更多的交汇点。同时，国内外学界对其各种理论观点、制度构建模式等方面的研究也包含了多维的观察视角与丰富的参考元素。具体到我国的民事司法改革中，为了摆脱过去超职权主义模式的浓厚色彩，我们更多地强调对当事人诉权的维护与保障，而法官对程序的指挥与控制，在当事人主义诉讼模式下则相对会被愈来愈弱化，这一倾向给处于市场经济发展初期阶段的我国民事诉讼改革将带来很多本可以避免的“不当”成本支出。另外，学界对诉讼突袭问题的分析和研究也仅是在论述诉讼模式、证据交换、审前准备程序等理论时，从不同角度有所谈及。都少有从理论层面进行系统、全面地梳理与论证。而实践中，面对由诉讼突袭引发的诸多问题却亟待解决。诉讼突袭与民事诉讼的辩论主义、处分原则、心证公开等诸多理论及制度密切相关，系统地研究诉讼突袭对其他具体民事诉讼制度的构建将产生积极影响，进而拓展我国民事诉讼理论研究的视野。针对诉讼突袭，当前我国实践中仍缺乏完善有效的诉讼制度设计来应对，在民商事的诉讼案件中尤为突显。在司法运作过程中，由于诉讼突袭的存在，很多当事人不能进行充分、有效的攻击与防御；法院在审理过程中所造成的诉讼迟延、司法资源的浪费更是不可避免。而本选题则在对诉讼突袭基本理论问题的论证基础上，以保障当事人合法权诉讼突袭的法律规制8益为前提，通过法律规制的路径来规制诉讼突袭，进而促进诉讼制度公正、高效地运作。国外没有对诉讼突袭进行过系统地阐释，两大法系国家的研究基本都是以当事人在诉讼中滥用诉讼权利为视角。其中大陆法系国家集中研究该问题的主要为德国和日本，其中又以日本为代表。19世纪末期，随着社会法学地位的提升，法律保障的重心由个人转向兼顾社会与个人利益并重的方向发展。由此，德国开始在民法典中对实体权力滥用予以规范性制约，随后沿及到诉讼法领域，诉讼权利的滥用这一问题也开始受到诉讼法学界的关注。后日本诉讼法学界也开始专注于这一问题的研究，日本学界规制诉讼突袭的策略主要定位于强化法官在诉讼程序中的指挥权以及将当事人滥用诉权的责任规则化。英美法系国家专门针对诉讼突袭的研究很少，基本都是散见于各种理论及制度的论述中。与我国相比，域外法制发达国家在对诉讼突袭的法律规制方面已经很有建树。各国在强调对实施各种诉讼突袭所应承担的责任同时，为诉讼主体在遭受诉讼突袭的打击后寻求救济的途径上也设置了一系列保障程序。在立足我国现实国情基础上，如何合理吸收国外的有益经验，更新理念，构建我国诉讼突袭行为的法律规制基本模式和具体内容，正是本文要解决的主要问题。参考文献9一、诉讼突袭的界定（一）诉讼突袭的内涵与成因我国1999年版的《辞海》中，对“突”字的解释之一是“急促貌