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民事诉讼三审终审的经济学分析/王学孟

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民事诉讼三审终审的经济学分析
???评《民事案“三审终审”不如强化抗诉职能》

王学孟(北京房山区检察院)


如今司法改革已经成为热点话题,各种问题的改与不改正在进行着激烈的争论,但总体上来说,改的呼声高一些,因为近来民众对司法腐败或者是司法不公意见很大,特别是很多地方对司法的干预严重影响了民众对司法公正的信仰,制约了法治建设的步伐。
在符合民众心声的司法改革进程中,反对的声音不时影响着司法改革的脚步。2005年9月20日检察日报上的一篇文章就是一种反对的声音,这篇文章的题目就是《民事案“三审终审”不如强化抗诉职能》(以下称《民事案》)。看到标题我就觉得不对劲,因为它不想赋予民众更多的权利,至少是不想给当事人提出三审的权利。经济学上讲一个关于效用的问题,其中涉及的一方面就是效用递减规律,形象的理解就是当一个人感到饥饿时吃一个面包与吃饱之后再吃一个面包的效用是不同的,效用问题涉及到的另一方面就是效用的最大化,形象说就是当一个人吃饱之后再吃一个面包跟吃一个水果的效用是不同的,也就是说如果有多种选择,那么总效用会更大。但是《民事案》一文只给面包吃,不给你水果吃,只把水果放在当事人接触不到的地方。
我国现行的民事诉讼是四级两审制,也就是对大多数案件来说三审这个“水果”是存在的,可是我们现在还不允许当事人吃这个“水果”,现在有的人想拿给当事人吃,而有的专家学者却反对,当事人对“水果”的渴望似乎都超过了我们的想象,可是当事人自己是拿不到的,可见《民事案》一文的作者有些可恶。
《民事案》一文的作者拒绝给予当事人提出三审的权利,其中一个理由是要实现司法资源的效用最大化,其引用波斯纳的意见“最大限度地减少法律实施过程中的经济耗费,不仅是司法活动所应追求的目标,也是设计、评价一项法律程序效率高低的重要标准”。我认为,这是作者的一种误解,对于相同的产出而言,当然是耗费越少,效率越高,但我们是要更多产出,费用上涨并不一定会导致效率的降低。
司法首先要求的是公正、公平,再次才考虑效率,经济的考虑应该是次后考虑的问题。因为司法是为了实现法的自由、秩序、正义等最基本价值,效率、利益等是一般的价值,从某种程度上来说我们应该牺牲一般价值来保证基本价值的实现。《民事案》一文的作者可忙着先为大家省钱,把法律的基本价值扔在半边,是本末倒置了。当然,诉讼是讲求效益的,但效益不等于效率,只顾效率就把司法当作了儿戏。 我认为在法治逐渐深入人心的过程中,我们要最大限度地为实现法律的基本价值而努力,让当事人心服口服。再说三审的效率与民事抗诉的效率谁高谁低是一个实证问题,并且对具体案件不是绝对,我们没有理由说三审效率低于民事抗诉的效率。
作者在文章中说“如果法院完全承担设置‘三审终审’制后的案件负荷,势必加大人力、物力、财力的投入,从而极大地增加司法成本、诉讼成本,而这些成本的开支最后均转化为社会成本。让社会为此承受额外的巨大负担,并不符合社会、经济交易成本最小化、财富最大化原则,是与诉讼效益要求背道而驰的。”作者一味的强调成本的巨大,而不提一点财富的增加,从而否定了“水果”的好处,在某种程度上认为三审终审制度是没有价值的。在此,我先强调一下三审的价值,以免与《民事案》一文作者进入成本大小的争论中,有的学者认为三审的价值主要有:第一,实行三审终审制有利于加强对当事人的权利保障;第二,实行三审终审制是加强司法公正的需要;第三,实行三审终审制是正确适用法律维护司法公正的需要;第四,有利于解决地方主义的问题,进一步提高法官的整体素质;第五,实行三审终审制有利于提高我国司法的公信力;第六,使高级法院和最高法院能够最大限度地接触普通案件的审理,对于这两级法院的法官增加审判经验,掌握审判情况,指导审判实践,具有重要意义。我认为,三审终审能够实现以上价值,这是现有制度是难以实现的,所以,成本即使如作者所想的那样巨大,也是值得的。
《民事案》一文的作者也从制度设计上考虑到三审的经济费用负担,认为:“第三审级完全是新设置的,按照经济学原理,重新创设一项制度所需要的成本高于对原制度的改进,因此通过改革民事抗诉制度存在的缺陷,应该更符合经济学要求。”从字里行间可看出,几个问题:第一,作者把三审制度看作抗诉制度的替代品,二者不能并存;第二,作者认为抗诉制度有些缺陷需要改革;第三,三审终审制度的建立成本比改革民事抗诉制度的成本大。我认为,作者的言论是没有立足基础的,首先,三审的设立不影响民事抗诉制度的存在,如果当事人都选择三审,那说明民众更加信任法院的判决,更加信任法官的公正,这是法治的进步,如果当事人要吃“水果”,我们就给他们,不要违背当事人意愿,要吃“水果”却硬给“面包”吃是有违人意的,当我们不知道当事人要“水果”还是“面包”的时候,我们应该尽力准备好,争取做到按需分配。其次,民事抗诉制度有什么缺陷作者没有明确指出,而因为有了三审制度就说要改革,为什么要改,怎么改,这也许成了更为棘手的问题。再次,如果民事抗诉制度要改革,它的成本不一定就会低于建立三审终身制度的成本,作者没有比较二者的成本,然后说依据经济学理论建立三审终审制度的成本比改革民事抗诉制度的成本高,这显然是一种教条主义。在上文已经说过,即使它的成本大,我们也不应该放弃,因为三审能带给当事人和社会更多的效用和产出,是一种比较经济的制度设计。
三审终审制度的成本我认为并不高,对国家来说是在原有办公大楼里面多设几个法庭,多招募几位能胜任三审制度要求的法官,多些办公经费。对当事人来说,成本一是诉讼费,二是进行诉讼活动的一些成本,包括律师费、车旅费等。在某种程度上说,三审制度的成本是可以量化的,具体的费用可参照最高人民法院收回死刑复核权而多设立了几个法庭的费用,这一费用对于上世纪七八十年代的中国来说也许是高昂,因为人才奇缺,但是对于二十一世纪的中国来说,这一费用可能可以忽略不计,只是法院多了几个工作人员而已,甚至通过整合现有的资源就能够满足三审的需要。
套用《民事案》一文作者的话,三审终审制度是对现有两审终审制度的改良,是符合经济学原理的,符合社会经济交易成本最小化、财富最大化原则,能够实现司法资源的效用最大化,能够把经济价值完全淹没在法律价值的海洋之中,是应该支持的制度设计。

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大连市外商投资企业招聘干部争议仲裁办法

辽宁省大连市人民政府


大连市外商投资企业招聘干部争议仲裁办法
大连市人民政府



一、为解决我市外商投资企业招聘中方在职干部中的争议问题,根据《国务院关于鼓励外商投资的规定》精神,结合我市具体情况,特制定本办法。
二、外商投资企业招聘干部(含中央、省属单位干部),须与干部所在单位协商。干部所在单位同意调出的,应按干部管理权限,由干部管理部门办理正式调动手续;干部所在单位不同意调出的,可由外商投资企业向市人事局申请仲裁。
三、对有争议人员,凡符合下列四项条件的,由市人事局仲裁。
1、干部是应外商投资企业公开招聘,经考试或考核后同意聘用的人员。
2、干部在原单位不是负责重要项目的人员,或不是调出后对本单位有很大影响的技术、管理骨干。
3、招聘地区符合有关规定或经过市人事局批准。
4、干部不是有关政策规定不许招聘的人员。
四、对超出第三条规定范围的有争议人员,由市人事局报请上级有关机关仲裁。
五、干部所在单位应根据仲裁书,为干部办理正式调动手续。有偿分配毕业生的费用及住房等,除干部本人与原单位签有合法合同外,不应作为拒绝办理手续的理由。
六、干部所在单位接到仲裁书后,仍不为干部办理调动手续时,干部本人可凭仲裁书到外商投资企业工作,外商投资企业应按有关规定为干部建立临时档案。
七、本办法自公布之日起施行。




1987年1月9日

国务院关于鼓励华侨和香港澳门同胞投资的规定(附英文)

国务院


国务院关于鼓励华侨和香港澳门同胞投资的规定(附英文)

1990年8月19日,国务院

规定
第一条 为促进我国经济发展,鼓励华侨和香港澳门同胞(以下统称华侨、港澳投资者)在境内投资,制定本规定。
第二条 华侨、港澳投资者可以在境内各省、自治区、直辖市、经济特区投资。
鼓励华侨、港澳投资者依照国家有关规定从事土地开发经营。
第三条 华侨、港澳投资者在境内可以下列形式进行投资:
(一)举办华侨、港澳投资者拥有全部资本的企业;
(二)举办合资经营企业、合作经营企业;
(三)开展补偿贸易、来料加工装配、合作生产;
(四)购买企业的股票和债券;
(五)购置房产;
(六)依法取得士地使用权,开发经营;
(七)法律、法规允许的其他投资形式。
第四条 华侨、港澳投资者可以在境内的工业、农业、服务业以及其他符合社会和经济发展方向的行业投资。华侨、港澳投资者可以从各地方人民政府有关部门公布的项目中选择投资项目,也可以自行提出投资项目意向,向拟投资地区对外经济贸易部门或者地方人民政府指定的审批机关申请。
国家鼓励华侨、港澳投资者投资举办产品出口企业和先进技术企业,并给予相应的优惠待遇。
第五条 华侨、港澳投资者在境内投资举办拥有全部资本的企业、合资经营企业和合作经营企业(以下统称华侨、港澳同胞投资企业),除适用本规定外,参照执行国家有关涉外经济法律、法规的规定,享受相应的外商投资企业待遇。
华侨、港澳投资者在境内进行其他形式的投资,以及在境内没有设立营业机构而有来源于境内的股息、利息、租金、特许权使用费和其他所得,除适用本规定外,也可以参照执行国家有关涉外经济法律、法规的规定。
第六条 华侨、港澳投资者可以用可自由兑换货币、机器设备或者其他实物、工业产权、专有技术等作为投资。
第七条 华侨、港澳投资者在境内的投资、购置的资产、工业产权、投资所得利润和其他合法权益受国家法律保护,并可以依法转让和继承。
华侨、港澳投资者在境内的活动应当遵守国家的法律、法规。
第八条 国家对华侨、港澳投资者的投资和其他资产不实行国有化。
第九条 国家根据社会公共利益的需要,对华侨、港澳同胞投资企业实行征收时,依照法律程序进行并给予相应的补偿。
第十条 华侨、港澳投资者投资获得的合法利润,其他合法收入和清算后的资金,可以依法汇往境外。
第十一条 华侨、港澳同胞投资企业在其投资总额内进口本企业所需的机器设备、生产用车辆和办公设备,以及华侨、港澳同胞个人在企业工作期间运进自用的、合理数量的生活用品和交通工具,免缴进口关税、工商统一税,免领进口许可证。
华侨、港澳同胞投资企业进口用于生产出口产品的原材料、燃料、散件、零部件、元器件、配套件,免缴进口关税、工商统一税,免领进口许可证,由海关实行监管。上述进口料件,如用于在境内销售的产品,应当按照国家规定补办进口手续,并照章补税。
华侨、港澳同胞投资企业生产的出口产品,除国家限制出口的外,免缴出口关税和工商统一税。
第十二条 华侨、港澳同胞投资企业可以向境内的金融机构借款,也可以向境外的金融机构借款,并可以本企业资产和权益抵押、担保。
第十三条 华侨、港澳同胞投资者拥有全部资本的企业,经营期限由投资者自行确定;合资经营企业和合作经营企业,经营期限由合资或者合作各方协商确定,也可以不规定经营期限。
第十四条 合资经营企业董事会的组成和董事长的委派、合作经营企业董事会或者联合管理机构的组成和董事长或者联合管理机构主任的委派,可以参照出资比例或者合作条件,由合资或者合作各方协商决定。
第十五条 华侨、港澳同胞投资企业依照经批准的合同、章程进行经营管理活动。企业的经营管理自主权不受干涉。
第十六条 在境内投资的华侨、港澳同胞个人以及华侨、港澳同胞投资企业从境外聘请的技术和管理人员,可以申请办理多次入出境的证件。
第十七条 华侨、港澳投资者在境内投资可以委托境内的亲友为其代理人。代理人应当持有具有法律效力的委托书。
第十八条 在华侨、港澳同胞投资企业集中的地区,华侨、港澳投资者可以向当地人民政府申请成立华侨、港澳投资者协会。
第十九条 华侨、港澳投资者在境内投资举办合资经营企业、合作经营企业,由境内的合资、合作方负责申请;举办华侨、港澳投资者拥有全部资本的企业,由华侨、港澳投资者直接申请或者委托在境内的亲友、咨询服务机构等代为申请。华侨、港澳投资者投资举办企业的申请,由当地对外经济贸易部门或者地方人民政府指定的审批机关统一受理。
华侨、港澳同胞投资企业的审批,按照国务院规定的权限办理。各级对外经济贸易部门或者地方人民政府指定的审批机关应当在收到全部申请文件之日起四十五天内决定批准或者不批准。
申请人应当在收到批准证书之日起三十天内,按照有关登记管理办法,向工商行政管理机关申请登记,领取营业执照。
第二十条 华侨、港澳投资者在境内投资因履行合同发生的或者与合同有关的争议,当事人应当尽可能通过协商或者调解解决。
当事人不愿协商、调解的,或者协商、调解不成的,可以依据合同中的仲裁条款或者事后达成的书面仲裁协议,提交境内或者其他仲裁机构仲裁。
当事人没有在合同中订立仲裁条款,事后又没有达成书面仲裁协议的,可以向人民法院起诉。
第二十一条 本规定由对外经济贸易部负责解释。
第二十二条 本规定自发布之日起施行。

PROVISIONS OF THE STATE COUNCIL CONCERNING THE ENCOURAGEMENT OFINVESTMENTS BY OVERSEAS CHINESE AND COMPATRIOTS FROM HONG KONG AND MACAO

Important Notice: (注意事项)
英文本源自中华人民共和国务院法制局编译, 中国法制出版社出版的《中华人民
共和国涉外法规汇编》(1991年7月版).
当发生歧意时, 应以法律法规颁布单位发布的中文原文为准.
This English document is coming from the "LAWS AND REGULATIONS OF THE
PEOPLE'S REPUBLIC OF CHINA GOVERNING FOREIGN-RELATED MATTERS" (1991.7)
which is compiled by the Brueau of Legislative Affairs of the State
Council of the People's Republic of China, and is published by the China
Legal System Publishing House.
In case of discrepancy, the original version in Chinese shall prevail.

Whole Document (法规全文)
PROVISIONS OF THE STATE COUNCIL CONCERNING THE ENCOURAGEMENT OF
INVESTMENTS BY OVERSEAS CHINESE AND COMPATRIOTS FROM HONG KONG AND MACAO
(Promulgated by Decree No. 64 of the State Council of the People's
Republic of China on August 19, 1990, and effective as of the date of
promulgation)
Article 1
These Provisions are formulated with a view to promoting the economic
development of our country and to encouraging overseas Chinese and
compatriots from Hong Kong and Macao (hereinafter referred to as "overseas
Chinese investors and those from Hong Kong and Macao") to make investments
in China's inland areas.
Article 2
Overseas Chinese investors and those from Hong Kong and Macao can make
investments in the various provinces, autonomous regions, municipalities
directly under the Central Government, and special economic zones in
China's inland areas.
Overseas Chinese investors and those from Hong Kong and Macao are
encouraged to engage themselves in business operations of land development
in accordance with the pertinent regulations of the state.
Article 3
The investments made by the overseas Chinese investors and those from Hong
Kong and Macao may take the following forms:
(1) to establish enterprises with the capital wholly owned by the overseas
Chinese investors and those from Hong Kong and Macao;
(2) to establish equity joint ventures and contractual joint ventures;
(3) to carry out compensation trade, to process supplied materials, to
assemble supplied parts, and to carry out contractual production;
(4) to purchase shares and various bonds and debentures of existing
enterprises;
(5) to purchase real estate;
(6) to obtain land use right according to law and to engage in land
development operation;
(7) to use other forms of investment permitted under the laws and
regulations.
Article 4
Overseas Chinese investors and those from Hong Kong and Macao can make
investments in various trades in China's inland areas: in industries, in
agriculture, in service trades, and in other trades that are in conformity
with the orientation of social and economic development. Overseas Chinese
investors and compatriots from Hong Kong and Macao may select their
investment projects from the lists of projects made public by the
departments concerned under various local people's governments; they may
also put forward, of their own accord, proposals as to their investment
intent and file their applications to the departments of foreign economic
relations and trade or to the examining and approving organs designated by
various local people's governments located in areas where they intend to
make their investments.
The State encourages overseas Chinese investors and those from Hong Kong
and Macao to make investments in the establishment of export-oriented
enterprises and of technologically advanced enterprises, and gives
corresponding preferential treatment to such enterprises.
Article 5
With respect to the various types of enterprises established with
investments by overseas Chinese investors and those from Hong Kong and
Macao - enterprises with the capital wholly owned by such investors
equity, joint ventures, and contractual joint ventures (hereinafter
referred to as "enterprises with investments by overseas Chinese and
compatriots from Hong Kong and Macao"), they shall all be operated in
accordance with these Provisions; in addition, they may also enjoy the
corresponding preferential treatment as enjoyed by enterprises with
foreign investments, in the light of the relevant provisions in the state
laws, decrees and regulations on external economic relations. Cases
concerning other forms of investment made by such investors in China's
inland areas, and concerning their dividends, interest, rental, royalties
and other incomes that come from China's inland areas without establishing
business offices here, shall be handled in accordance with these
Provisions, and, if need be, with reference to foreign-related economic
laws, decrees and regulations of the State.
Article 6
Overseas Chinese investors and those from Hong Kong and Macao may make
their investments by using convertible currencies, machinery and equipment
or other physical goods industrial property rights, and proprietary
technology.
Article 7
The investment made in China's inland areas by overseas Chinese investors
and those from Hong Kong and Macao, the assets they have purchased, their
industrial property rights, the profits from their investments, and other
lawful rights and interests shall be protected by State laws, and may be
transferred or inherited according to law. Overseas Chinese investors and
those from Hong Kong and Macao shall abide by State laws and regulations
in their activities in inland areas.
Article 8
The State shall not nationalize the investment made by overseas Chinese
investors and compatriots from Hong Kong and Macao or other assets
belonging to them.
Article 9
Where the state, in accordance with the needs of social and public
interest, has to requisition the enterprises with investments by overseas
Chinese investors and those from Hong Kong and Macao, the state shall
handle the case according to the legal procedures and the investors
concerned shall be duly compensated.
Article 10
The lawful profits gained by overseas Chinese investors and those from
Hong Kong and Macao from their investments, their other lawful incomes and
the funds after liquidation may be remitted out of China's inland areas
according to law.
Article 11
Machinery and equipment imported to meet the needs of enterprises with
investments by overseas Chinese and compatriots from Hong Kong and Macao
and, included in the total amount of investment, motor vehicles for use in
production, office equipment, as well as articles and means of
communications for personal use and within reasonable quantities, imported
by overseas Chinese and compatriots from Hong Kong and Macao during the
period when they work in the aforesaid enterprises shall be exempted from
Customs duties and consolidated industrial and commercial tax, and also
from the application for import licences.
The raw and processed materials, fuels, bulk parts, spare and component
parts, primary parts, and fittings, which are imported by enterprises with
investments by overseas Chinese and compatriots from Hong Kong and Macao
for the production of export commodities, shall all be exempt from Customs
duties and consolidated industrial and commercial tax and also from the
application for import licences and placed under the supervision of the
Customs. In case that the aforesaid imported materials and parts are used
for the production of commodities to be sold on China's inland markets, it
is imperative to make up the procedures for importation and to pay taxes
and duties according to the regulations.
The export commodities produced by the enterprises with investments by
overseas Chinese and compatriots from Hong Kong and Macao shall, with the
exception of those commodities the exportation of which is under
restriction by the State, be exempt from Customs duties on export goods
and consolidated industrial and commercial tax.
Article 12
Enterprises with investments by overseas Chinese and compatriots from Hong
Kong and Macao may obtain loans from financial institutions in China's
inland areas; they may also obtain loans from financial institutions
outside China's inland areas, and may use their assets as well as their
rights and interests as mortgage or security.
Article 13
With respect to enterprises with the capital wholly owned by overseas
Chinese investors and compatriots from Hong Kong and Macao, their period
of operation shall be determined by the investors themselves; as to equity
joint ventures and contractual joint ventures, their period of operation
shall be determined, through consultation, by the various parties to the
above-said joint ventures; they may also set no limit to the period of
operation.
Article 14
The composition of the board of directors of joint ventures and the
appointment of the chairman of the board of directors, the composition of
the board of directors or of the joint management organs of contractual
joint ventures and the appointment of the chairman or the appointment of
the director of the joint management organs, shall be determined, through
consultation, by the various parties to the equity joint ventures or to
the contractual joint ventures in the light of the proportion of
investments or the terms of contract.
Article 15
Enterprises with investments by overseas Chinese and compatriots from Hong
Kong and Macao shall conduct their operational and management activities
in accordance with the approved contract or articles of association. The
enterprises' decision-making power for business operations and management
shall not be interfered with.
Article 16
Overseas Chinese and compatriots from Hong Kong and Macao who have made
investments in China's inland areas, and the technical and managerial
personnel engaged from outside the boundaries of China's inland areas by
enterprises with investments by overseas Chinese and compatriots from Hong
Kong and Macao, may apply for multi-journey travel documents.
Article 17
Overseas Chinese investors and those from Hong Kong and Macao who make
investments in China's inland areas may appoint their relatives or friends
residing in the inland areas as their agents. The agents should hold
legally effective letters of authority.
Article 18
In areas where enterprises with investments by overseas Chinese and
compatriots from Hong Kong and Macao are concentrated, overseas Chinese
investors and those from Hong Kong and Macao may apply to the local
people's government for the establishment of the association of overseas
Chinese investors and investors from Hong Kong and Macao.
Article 19
With respect to equity joint ventures and contractual joint ventures to be
established in China's inland areas, with the investments by overseas
Chinese investors and those from Hong Kong and Macao, the application for
the establishment of the aforesaid enterprises shall be filed by the
inland party; as to the enterprises to be established with capital wholly
owned by overseas Chinese investors and those from Hong Kong and Macao,
the application shall be filed directly by such investors themselves, or
they may entrust their relatives or friends residing in China's inland
areas, or entrust the institution providing consultancy services, with the
application. Applications for the establishment of enterprises with
investments by overseas Chinese and compatriots from Hong Kong and Macao
shall be accepted and handled exclusively by the local department for
foreign economic relations and trade, or by the examining and approving
organs designated by the local people's government.
The examination and approval of the applications for the establishment of
enterprises with investments from overseas Chinese and compatriots from
Hong Kong and Macao shall be handled in accordance with the authorization
by the State Council. Departments for foreign economic relations and trade
at the various levels or the examining and approving organs designated by
the local people's government shall, within forty-five days of receipt of
complete application documents, make the decision on whether the said
application is approved or disapproved.
The applicant shall, within thirty days of receipt of the written
approval, file an application to the department for the administration of
industry and commerce, and, in accordance with the relevant procedures for
registration and administration, go through the procedures for
registration and obtain the business licence.
Article 20
With respect to overseas Chinese investors and those from Hong Kong and
Macao who have made investments in China's inland areas, in case that a
dispute arises during the execution of or in relation to a contract, the
parties concerned shall try their best to settle the dispute through
consultation or mediation.
In case that the parties concerned are unwilling to settle the dispute
through consultation or mediation, or the dispute cannot be settled
through consultation or mediation, the parties concerned may, in
accordance with the stipulations of the arbitration articles in the
contract, or in accordance with the written arbitration agreement reached
by the parties concerned after the dispute has arisen, submit their
dispute to the arbitration authorities in China's inland areas or
elsewhere for settlement.
In the event that the parties concerned did not specify an arbitration
article in their contract, and no written arbitration agreement has been
reached after the dispute occurs, then the dispute may be brought before
the people's court.
Article 21
The right to interpret these Provisions rests with the Ministry of Foreign
Economic Relations and Trade.
Article 22
These Provisions shall go into effect as of the date of promulgation.