国务院办公厅转发国家经委、经贸部、国家商检局关于加强出口商品质量管理工作意见的通知(附英文)

作者:法律资料网 时间:2024-07-07 23:01:38   浏览:9883   来源:法律资料网
下载地址: 点击此处下载

国务院办公厅转发国家经委、经贸部、国家商检局关于加强出口商品质量管理工作意见的通知(附英文)

国务院办公厅


国务院办公厅转发国家经委、经贸部、国家商检局关于加强出口商品质量管理工作意见的通知(附英文)
国务院办公厅



国务院同意国家经委、经贸部、国家商检局《关于加强出口商品质量管理工作的意见》,现转发给你们,请结合实际情况,认真贯彻执行。
加强出口商品质量管理,是提高经济效益、增加出口创汇的关键。近年来,我国部分出口商品质量下降,不但造成经济损失,影响出口创汇,而且有损于国家信誉。各地区、各有关部门对此要给予高度重视,采取有力措施,尽快扭转这种状况,把出口商品质量搞上去。

关于加强出口商品质量管理工作的意见
一、清理和整顿出口商品的生产厂点
各地区、各部门要对所有生产出口商品的企业进行一次全面清理和整顿,择优定点。凡不具备质量保证的企业,不准生产出口商品。
重点清理、整顿出口商品质量管理较差、生产加工厂点过多、质量问题较多的行业。
二、加强出口商品生产企业的质量管理和检验工作
(一)在生产企业中,对出口商品的质量,厂长(经理)要全面负责。
(二)出口专业厂、出口生产基地和重要出口商品生产企业,可设总质量师。总质量师协助厂长全面负责产品质量的检验和管理工作,有权代表厂长停止不合格出口商品的生产和出厂。
(三)在重要出口商品生产企业,试行国家商检部门派驻质量监督员制度(简称驻厂员制度)。驻厂员代表国家对生产企业的出口商品质量和检验工作进行监督,有权对出口商品使用的原材料、零部件和成品进行检验、抽查或复验。驻厂员如发现出口商品不合格,有权停止出口商品出
厂,并可通知外贸经营单位不予收购。
(四)所有出口商品生产企业,都要推行全面质量管理,健全质量责任制,加强检验工作,制订严格的工艺规程和劳动纪律。尽快建立和完善出口商品生产企业的质量保证体系。
三、加强出口商品质量的监督和检验
(一)一切出口商品都必须经过检验。不合格的商品(包括包装不合格)不准出厂,外贸经营单位不得收购,商检部门不予出证放行。
(二)逐步充实商检部门的力量,完善出口商品检验手段。
(三)商检部门要会同有关主管部门加快对重要出口商品发放出口商品质量许可证的工作。凡是实行出口商品质量许可证的商品,未取得出口商品质量许可证的,经贸主管部门不能签发出口许可证。
(四)经贸主管部门要加强对外贸经营单位的监督、检查,督促外贸经营单位加强质量管理工作,健全验收制度,增强验收力量,切实做到择优安排出口生产,择优收购商品,坚持质量第一、以质取胜的经营方针。凡不具备外贸经营条件的单位,经贸主管部门有权取消其外贸经营资格
,并通知工商行政管理部门吊销其营业执照。严禁违反国家规定,通过非正常渠道或采取不正当手段出口商品。
四、要把提高出口商品质量,作为企业技术进步工作的重点
各地区、各部门要根据外贸出口的战略需要,以提高产品质量、增加创汇为重点,调整技术进步的投资结构和方向,将出口商品的重点生产企业、专业厂与生产基地的技术改造、科技攻关、技术引进、测试检验、扩大生产、降低消耗等各方面的措施衔接起来。大力改善出口商品仓储条
件,减少商品的污染和损坏。
五、明确出口商品的质量责任
为了保证出口商品的质量,各有关单位和部门都要有明确的责任和制度。出口商品因质量问题造成经济损失或产生不良影响时,必须分清生产加工企业、外贸经营单位、仓储运输单位、商检部门和其他有关部门的责任。凡属渎职、失职造成的质量事故,要追究责任者和有关领导者的责
任,并严肃处理。
六、进一步改善出口商品的包装
中国包装进出口总公司要会同中国包装总公司,进一步研究制订改进出口商品包装的方案、计划和措施。当前要解决好出口食品、饮料、烟叶、罐头、五金、机械、陶瓷、纺织品、服装、棉花和危险品的包装,协调落实包装生产厂点和原材料供应,健全包装质量标准,加强质量管理、
检验和监督工作。
七、加强出口商品的标准化工作,改善口岸的计量条件
(一)标准、商检和经贸部门要会同各主管部门,加快制定和修订出口商品标准及出口检验标准。
(二)运输主管部门要会同商检和计量部门共同研究提出改进口岸计量条件的方案,纳入运输主管部门和有关地区技术改造规划,三年内基本改善口岸计量条件。
八、加强出口商品商标和出口专利产品的管理
(一)对名牌出口商品商标的使用,经贸和工商行政管理部门要共同进行一次清理整顿,加强管理,保护名牌出口商品。
(二)未经上级主管机关批准或专利权人同意,生产企业和外贸经营单位不得生产和经营出口专利产品。
(三)对国内外假冒我国出口商品商标、仿制我出口专利产品和伪造我商检证书的侵权、违法行为,要坚决查处、及时起诉,维护企业和我国的合法权益。
上述意见,如无不妥,请批转各地区、各部门贯彻执行。(附英文)

CIRCULAR OF THE GENERAL OFFICE OF THE STATE COUNCIL ON THE TRAN-SMISSION OF THE RECOMMENDATIONS SUBMITTED BY THE STATE ECONOMIC COM-MISSION, THE MINISTRY OF FOREIGN ECONOMIC RELATIONS AND TRADE, AND THESTATE BUREAU OF IMPORT AND
EXPORT COMMODITIES INSPECTION CONCERNING THESTRENGTHENIN

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)

CIRCULAR OF THE GENERAL OFFICE OF THE STATE COUNCIL ON THE TRAN-
SMISSION OF THE RECOMMENDATIONS SUBMITTED BY THE STATE ECONOMIC COM-
MISSION, THE MINISTRY OF FOREIGN ECONOMIC RELATIONS AND TRADE, AND THE
STATE BUREAU OF IMPORT AND EXPORT COMMODITIES INSPECTION CONCERNING THE
STRENGTHENING OF QUALITY CONTROL OF EXPORT COMMODITIES
(April 29, 1987)
The State Council has accepted The Recommendations Concerning the
Strengthening of Quality Control of Export Commodities, submitted by the
State Economic Commission, the Ministry of Foreign Economic Relations and
Trade, and the State Bureau of Import and Export Commodities Inspection.
The Recommendations are hereby transmitted to you, and you are requested
to implement them conscientiously in light of the actual conditions in
your spheres of activities.
The strengthening of quality control of export commodities is the key to
increasing economic returns as well as foreign exchange earnings. In
recent years, the quality of some of our country's export commodities has
shown a decline, which has not only caused economic losses and affected
foreign exchange earnings by exports, but also marred the reputation of
our country. All the localities and departments concerned shall give the
amplest attention to this state of affairs, take effective measures to
remedy it quickly so as to upgrade the quality of our export commodities.
RECOMMENDATIONS SUBMITTED BY THE STATE ECONOMIC COMMISSION, THE MINISTRY
OF FOREIGN ECONOMIC RELATIONS AND TRADE, AND THE STATE BUREAU OF IMPORT
AND EXPORT COMMODITIES INSPECTION CONCERNING THE STRENGTHENING OF QUALITY
CONTROL OF EXPORT COMMODITIES
(Extracts)
In recent years, the quality of some of our country's export commodities
has shown a decline, which has not only caused economic losses and had an
unfavourable impact on the foreign exchange earnings by exports, but also
marred the reputation of our country. In order to rapidly remedy this
situation and to strengthen quality control of our export commodities, we
hereby submit, on the basis of the investigations and studies of the
aforesaid situation and the opinions solicited from all localities and
departments concerned, the following recommendations:

I. Checking up and Rectifying Factories to be Designated as Export
Commodities Manufacturers
All the localities and departments concerned must carry out an all-round
checking-up on, and rectification of, all the enterprises that are
manufacturing export commodities and then designate from among them the
most outstanding ones as manufacturers of commodities for export. Those
enterprises found to be lacking the conditions for guaranteeing the
quality of their products shall not be permitted to manufacture
commodities for export. The State Economic Commission, the Ministry of
Foreign Economic Relations and Trade, and the State Bureau of Import and
Export Commodities Inspection shall jointly be responsible for the
checking-up and rectification in conjunction with other competent organs
concerned. The checking-up and rectification shall be focused on those
industries whose quality control over export commodities is comparatively
poor, whose number of factories designated for producing and processing
export commodities is too large, and whose quality problems are numerous.

II. Strengthening the Quality Control and Inspection Work in Enterprises
Producing Export Commodities
(1) In production enterprises, the factory director (the manager) shall
take overall responsibility for quality of export commodities.
(2) In factories specially engaged in the production of export
commodities, the production bases of export commodities, and the
enterprises producing import and export commodities, the post of chief
quality controller may be set up. The chief quality controller shall
assist the factory director in taking the overall responsibility for
inspecting and controlling the quality of products, for implementing the
Regulations on the Responsibility for Quality Control of Industrial
Products, for organizing the formulation and implementation of the rules
for reward and penalty relating to the quality of products, and for making
the decision, on behalf of the factory director, to stop the production
and delivery out of the factory of sub-standard export commodities.
(3) In enterprises producing important export commodities, the system of
having a resident quality supervisor stationed in the enterprise and sent
by the State commodities inspection department (referred to, for short, as
"the resident supervisor system") shall be implemented on a trial basis.
The resident supervisor shall, in the name of the State, exercise
supervision over the quality and inspection of the production enterprise's
export commodities, and have the right to inspect, to spot check, or to
re-inspect the finished products, or the raw and processed materials, or
spare parts and components, used in manufacturing export commodities. In
case where the resident supervisor discovers that the export commodities
are not up to the standard, he/she has the right to stop the delivery out
of the factory of the export commodities, and may ask the foreign trade
corporations not to purchase the said export commodities. The production
enterprise shall provide the resident supervisor with working conditions,
the data of quality, and relevant technical documents for carrying out
quality inspection; and it shall also inspect, spot check, or re-inspect
its products, as required by the resident supervisor. The resident
supervisors shall be personnel of the State commodities inspection
departments, and their salaries, bonuses and welfare benefits shall all be
borne by the sending department so that no direct economic connections
shall exist between the resident supervisors and the production
enterprise.
(4) All the production enterprises manufacturing export commodities shall
implement an all-round quality control, strengthen and perfect the quality
responsibility system, strengthen inspection work, and work out strict
technological processes and labour discipline. The factory director shall
appoint a person who has technical know-how, experience and strong sense
of responsibility, as head of the inspection department, and this
appointment shall be reported to the authorities in charge of the
enterprise for the record. No department or individual within the
enterprise shall be permitted to interfere with the work conducted by the
inspection department, and its independence in performing its functions
shall be guaranteed. It is imperative to establish and perfect, as soon as
possible, the quality guarantee system in enterprises producing export
commodities.

III. Strengthening the Supervision and Inspection of the Quality of Export
Commodities
All export commodities must undergo the process of inspection. Commodities
that are not up to the standard (including those whose packaging is not up
to the standard) shall not be permitted to leave the factory; the foreign
trade corporations shall not be permitted to purchase such commodities;
and the commodities inspection department shall not issue export licence
and grant clearance.
The working contingent of the commodities inspection department shall be
reinforced gradually, and the means of inspection of export commodities be
perfected. The commodities inspection department shall, in conjunction
with the competent authorities concerned, speed up the work for issuing
quality licenses for important export commodities. With respect to those
commodities to which the system of quality licence for export commodities
applies, the competent authorities for foreign economic relations and
trade shall not issue for them export licences before they have obtained
quality licenses for export commodities.
The competent authorities for foreign economic relations and trade shall
strengthen their supervision over and inspection of foreign trade
corporations, and urge them to strengthen the work of quality control, to
improve examination-and-acceptance system, and reinforce the working
personnel for the system, to strive to do a good job in selecting
outstanding factories to manufacture commodities for export, to purchase
commodities from the factories that produce quality products, and to
adhere to the principle of "placing quality first, and winning over the
customers by offering them quality products". The competent authorities
for foreign economic relations and trade shall have the right to
disqualify those units which do not have the qualifications for doing
foreign trade business, and ask the administrative department for industry
and commerce to revoke their business licences. The exportation of
commodities through irregular channels or by using crooked means by
violation of the State provisions shall be strictly prohibited.
IV. Taking the Improvement of the Quality of Export Commodities as the
Focus of the Work of Technical Advancement
All the localities and departments shall, in accordance with the
requirements of the strategy of export and foreign trade, make adjustment
in the structure and the orientation of investment for technical
advancement, and link up the various measures adopted for technical
transformation, the tackling of difficult problems (in science and
technology), the importation of technology, testing and inspection, the
expansion of production, and the reduction in consumption of raw materials
and energy, at the key production enterprises, specialized factories, and
production bases for the manufacture of export commodities by taking the
improvement of the quality of products and the increases in foreign
exchange earnings as the focal point. Strenuous efforts shall be devoted
to the improvement of the warehousing and storage conditions for export
commodities, so as to reduce or eliminate the contamination of or damages
to export commodities.

V. Clearly Defining the Responsibility for the Quality of Export
Commodities
In order to guarantee the quality of export commodities, all units and
departments concerned must have both a clear-out definition of the job
responsibility and rules. If the poor quality of some export commodities
has resulted in economic losses or made a negative reflection on China's
reputation, it is imperative to check up on the responsibilities to be
borne by the production and processing enterprises, the foreign trade
corporations, the warehousing and storage units, the department for
commodities inspection, or other departments concerned. Cases of quality
problem caused by dereliction or neglect of one's duty shall be looked
into, and the person in charge as well as the leading personnel involved
shall be held responsible and be dealt with in all seriousness.
VI. Further Improving the Packing of Export Commodities
The China National Packing Import and Export Company shall, in cooperation
with the China National Packing Corporation, conduct further studies on,
and work out programs and measures for the improvement of the packing of
export commodities. Each year, efforts must be made to improve the packing
of certain categories of export commodities. At present, it is imperative
to improve the packing of foodstuffs, beverages, tobacco leaves, canned
foods, hardware, machinery, ceramics, textiles, garments, cotton, and
dangerous articles. The two companies shall coordinate the supply-and-
demand relationship between packing factories and packing material
suppliers, perfect the packing standards, and strengthen the work of
quality control, inspection and supervision.
VII. Strengthening the Standardization of Export Commodities, and
Improving the Conditions for Conducting Measurement at Ports
(1) The authorities of standardization of commodities inspection, and of
foreign economic relations and trade shall, in cooperation with various
competent organs, speed up the formulation and revision of the standards
for export commodities and inspection criteria.
(2) The competent authorities of transportation shall, in cooperation with
the authorities of commodities inspection and metrological authorities,
submit a plan to improve metrological conditions at ports and incorporate
it into the program for technological transformation of the competent
authorities of transportation and the interested localities so as to
improve basically the metrological conditions at ports within 3 years.

VIII. Strengthening the Administration of Trademarks of Export Commodities
and Patented Products
With respect to the use of trademarks for export commodities of famous
brands, the authorities of foreign economic relations and trade and the
administrative departments for industry and commerce shall jointly conduct
a checking-up and rectification campaign to strengthen the administration
and protect export commodities of famous brands. Without the approval of
the competent authorities at a higher level or without the consent of the
patentee, no production enterprises and foreign trade corporations may
produce patented products for export and engage in export of such
products. Cases occurring either at home or abroad of infringements or
illegal acts such as counterfeiting the trademarks of our export
commodities, imitating the patented commodities we export or forging our
export commodities inspection certificates shall be resolutely
investigated and dealt with, and the offenders shall even be prosecuted in
time so as to safeguard the lawful rights and interests of the enterprises
as well as of the State.
If no inappropriateness is found in the recommendations submitted above,
we request that they be approved and transmitted to all the localities and
departments for implementation.



1987年4月29日
下载地址: 点击此处下载
立卷审查若干问题探析
王玉宏

  最高人民法院《关于人民法院立案工作的暂行规定》(1997年4月21日)首次提出“立卷审查”一语(见该规定第二十二条),虽然在此之前的《最高人民法院关于各级人民法院处理刑事申诉的暂行规定》(1987年10月12日)、《最高人民法院关于各级人民法院处理民事经济纠纷案件申诉的暂行规定》(1989年7月12日)中也提到:人民法院审查处理申诉,应立申诉卷。但司法实务界对立卷审查理解不一,法学理论界也未涉猎过这一专题,造成实际工作中的诸多不便。笔者从便利于人民群众诉讼,便于人民法院审判的原则出发,对立卷审查的属性、对象、期限及其在审判监督程序中的地位予以探析,以期对立卷审查的司法实务研究起到抛砖引玉的作用。
一、立卷审查的属性
  当前在司法实践中,关于立卷审查有两种观点,笔者认为其分别为“形式审查说”和“实质审查说”。
  形式审查说认为,立卷审查是人民法院的立案机构,针对当事人不服本院或下级法院的生效裁判所提出的申诉或再审申请进行形式审查,即审查当事人的诉讼主体资格、其是否向人民法院提交了申诉状(或再审申请书)、原审生效裁判法律文书、相应的证据等,若审查合格,则将有关材料交由审判监督机构进行审理。
  实质审查说认为,立卷审查是人民法院的立案机构,针对当事人的申诉或再审申请除形式审查外,还要进行实质审查,即审查当事人的申诉或再审申请是否符合法定的再审条件,若符合法定再审条件,则裁定进入再审程序,交由审判监督机构审理;若不符合法定再审条件,则通知当事人驳回其申请。
  两种观点在实践中各有其实践者,象山东等地的立案、审监工作即按“形式审查说”进行操作,而河南、四川等地法院的立案、审监工作则按“实质审查说”进行操作。笔者同意“实质审查说”,理由如下:
  (一)从立法本意上看,立卷审查应为实质审查。以民事(含经济纠纷,下同)诉讼为例,最高人民法院《关于各级人民法院处理民事经济纠纷案件申诉的暂行规定》第七条规定了立卷审查,第八条即规定:申诉经人民法院审查,认为原判决、裁定正确,应当说服当事人服判息诉,撤回申诉。对其中坚持无理申诉的,针对申诉理由,依法书面通知驳回。如果发现原判决、裁定确有错误,由审查处理该案的人民法院依法提交审判委员会讨论决定;后最高院在法函(1996)68号函中规定:对于当事人认为已经发生法律效力的判决、裁定有错误而申请再审,符合法律规定的,人民法院应当再审,不必一律经审判委员会讨论决定方能立案。这说明立卷后要审查的内容,主要是原判决、裁定正确与否,此实质审查之内容。最高人民法院《关于人民法院立案工作的暂行规定》第二十二条、第二十三条的规定,也表明立卷审查应属实质审查,非形式审查。
  (二)从最高法院提倡“立审分离”这一诉讼运作机制来看,立卷审查应为实质审查。近年来,立审分离是审判方式改革的一项重要举措,其目的在于防止司法腐败,加强法院内部的监督制约机制,并便利于人民群众诉讼,便利于人民法院审判。立审分离的实质就是要求立案与审判相分离,在审判监督程序中,与一、二审程序一样,存在着立案与审判相分离的问题,那么审判监督程序立案与审判的分界点在哪儿呢?笔者认为,这一分界点应当是在立卷审查完毕,对原判决、裁定是否正确作出判断,即应否立案进入再审程序这一点。与一、二审程序一样,立案与否决定着一个案件能否进入审理程序,而再审程序的立案与否就是立卷审查的结果——对原判决、裁定是否正确作出判定,以确定某一案件能否进入再审程序。
二、立卷审查的对象
  关于立卷审查的对象,实践中有三种观点:
  一种观点认为立卷审查的对象是原生效裁判文书(含调解书,下同)。其理论依据是再审程序立案的标准是原裁判有误,立卷审查作为再审程序的立案操作阶段,其审查的对象只能是原生效法律文书,若原裁判正确的则不能立案进入再审程序;若原裁判有误的,则应立案进入再审程序。
  一种观点认为立卷审查的对象是当事人的申诉或再审申请。其依据是最高人民法院关于刑事、民事案件申诉的暂行规定中明确规定,“人民法院审查、处理刑事、民事申诉,应立申诉卷”,说明人民法院要审查的就是刑事申诉或民事申诉、民事再审申请。
  第三种观点认为立卷审查的对象是当事人的申诉或再审申请是否符合再审条件。其依据是(仍以民事诉讼为例)民诉法第一百七十九条有明确规定,立卷审查既然是再审程序的立案阶段,那么立卷审查的对象就应当是当事人的再审申请(或申诉)是否符合再审条件,而不仅仅是原裁判是否有误,以及有新证据足以推翻原裁判的等等。
  笔者同意第三种观点。第一种观点的不足之处,第三种观点已有说明;对于第二种观点,其错误在于人民法院审查当事人的申诉或再审申请,应立申诉卷,这说明这种立卷审查仍是形式审查,仅审查其是否符合申诉或申请再审条件,若符合则立申诉卷,而不是通过审查,确定某一案件能否进入再审程序。故第一、第二种观点均不可取,唯第三种观点既符合立法者本意,亦便于实践中操作,与法理不相违背。
三、立卷审查的期限
  立卷审查的期限,法律法规均无明文规定,实践中长短不一,但绝大多数案件的立卷审查期限均过于漫长,即使最高人民法院及上级人民法院要结果的案件,也往往一审就是半年、一年,甚至更长时间。遥遥无期的审查阶段,极易造成当事人往返奔波,多次上访,甚而越级上访、重复上访,导致“申诉难”。故给立卷审查确定一个适当的时限,是既有利于人民法院审判工作,又有利于当事人早日停访息诉。
  关于立卷审查期限的确定,姚水斌同志在《试谈民事案件再审的提起及限制》(见《政法论坛》(中国政法大学学报)1994年第6期)一文中有所论述:人民法院对受理当事人申请再审的期限,亦可参照第一审程序受理起诉时限的原则作如下规定:(1)人民法院在接到当事人申请再审书,经审查认为符合再审条件的,应当在七日或十日内,以通知书的形式通知当事人,本院受理审查其申请并告知当事人申请再审后应注意的事项,如不得停止原判决、裁定的执行,有新的证据应向人民法院提供等等。(2)人民法院受理当事人申请再审后,应在一个月内作出结论:对其中申请无理的,用通知驳回当事人申请;对申请符合申请再审法定情形之一应当再审的,即裁定再审。(3)申请再审的案件,应当在三个月内结案,以纠正久拖不审,久审不结的问题。笔者认为,姚文对民事案件审判监督程序中所提的这三个期限比较合理,但第(3)个期限与民诉法规定的期限相违背,该法第一百八十四条规定再审案件,原生效法律文书是第一审法院作出的,按第一审程序审理,审限应为六个月(见该法第一百三十五条);原生效法律文书是由第二审法院作出的,或是上级法院按审判监督程序提审的,按第二审程序审理,审限应为三个月(见该法第一百五十九条);而第(2)个期限,即立卷审查的期限,应扣除决定再审的人民法院调卷的期限。虽然最高人民法院对调卷的期限有所规定,即下级人民法院自接到上级人民法院调卷函之日起十五日内应将全部卷宗检齐呈送上级人民法院,但实践中调卷的期限往往比较长,有的卷甚至多年调不到的现象亦存在,即使卷能如期调到,调齐一个案件的卷宗也大约需要一个月的时间;故立卷审查期限,应以案卷到承办人手中之次日起开始计算,而不能以人民法院受理当事人再审申请之次日起计算;对于第(1)个期限,姚文表述不准确,“人民法院在接到当事人申请再审书,经审查认为符合再审条件的……”这里不能作“符合再审条件”这一诉讼语言,而只能使用“符合立卷审查条件”一语,因如果人民法院认为当事人的申请符合再审条件,依照民诉法的规定即应决定再审,并进入再审程序,而不能再驳回当事人的再审申请。
  对于行政申诉案件立卷审查的期限界定,可参照民事申请再审案件立卷审查的有关期限界定进行操作。
四、立卷审查在审判监督程序中的地位
  从事过审判监督程序工作的法院干警都知道,立卷审查是审判监督程序的重要组成部分,其结果决定着当事人的申诉或申请再审理由是否成立,相关案件能否进入再审程序重新进行审理。
  仍以民事申请再审案件为例,根据民事诉讼法第一百七十八条、第一百七十九条、第一百八十条的规定,以及《最高人民法院关于人民法院立案工作的暂行规定》第二十二条、第二十三条等规定,当事人对已经发生法律效力的判决、裁定、调解,认为有错误的,即可向原审人民法院或上一级人民法院申请再审,人民法院认为其中符合立卷审查条件的,应立卷审查,立卷后经审查,若当事人的申请符合再审条件,即有第一百七十九条、第一百八十条规定的情形之一的,应裁定再审,并中止原判决的执行,案件从此进入再审审理程序。综观民诉法“审判监督程序”一章,再审程序立案与审理界限清晰,而整章重点在于立案,因其审理程序依照该法第一百八十四条的规定,与一、二审程序相同。至于再审案件的立案,有三条途径:一条途径是第一百七十七条规定的由本院院长提交审判委员会决定再审及上级人民法院决定再审;一条途径是第一百八十五条到第一百八十八条规定的最高人民检察院及上级人民检察院提出抗诉引起的再审;一条途径就是第一百七十八条到第一百八十三条规定的当事人申请再审符合再审条件而由人民法院裁定再审的,规定这种再审立案的条款占到审判监督程序所有条款的近百分之五十,这仅仅是立法上的比例;而在审判实践中,因当事人申请再审符合法定再审条件从而进入再审程序的,则占到整个再审案件的百分之九十五以上;而当事人的申请是否符合再审条件,都要通过立卷审查来决定,由此可见,立卷审查在审判监督程序中的重要地位。
  立卷审查作为人民法院一项独立的审判业务,起步较晚,有关法律法规及司法解释还不够详尽,还需要广大从事审判监督程序审判工作的法院干警在实践中加以探索,不断积累经验教训,以推动立卷审查工作的规范化。
  
  (作者单位:河南省高级人民法院)

  办案过错责任是指法院工作人员在办案过程中故意或过失违反法律规定,存在实体、程序错误,导致所办案件裁判错误或被依法改判、发回重审、执行回转、引起国家赔偿等情形,或者在办案过程中存在其他明显违反实体法、程序法规定的行为及其他的违法审判情形而应承担的相应责任。

  案件实体裁判方面的错误包含:认定事实是否清楚;证据是否确实、充分;适用法律是否正确,是否有遗漏。办案程序方面的错误包含:案件管辖是否合法;采取财产保全等强制措施是否合法;是否贯彻诉讼有关违反公开审判、回避、辩护、质证、辩论、调解等原则;是否违反审限规定;是否有其他严重违反法定程序的情形等。其他的违法审判情形主要指的是违反廉政纪律、审判工作纪律的情形而导致的冤假错案。除了上述情形外,笔者认为还应包括以下几种小错误:案由缺乏全称、表述不规范、定性不准确;案件编号不规范、不一致;案件当事人材料不全、送达情况不明,当事人署名不全;数字、称谓使用不规范,前后不统一;裁判文书中多处错别字、漏字、字句重复;裁判文书落款日期错误;裁判文书中当事人顺序颠倒、名字、年龄、重要数据、期限错误或有遗漏;“三大笔录”不规范,记录不全没有签名或有错误等等。

  实行错案责任追究制度,对增强审判人员的严肃执法意识和业务素质,促进廉政建设,保障司法公正,起到了积极作用。

  下面对因过失导致错案、办案过错的发现及责任认定进行简单地论述。

  一、因过失导致错案的怎样追究责任

  审判、执行人员故意违反有关规定(这里的规定既包括法律的有关规定,也包括法院本身因案件质量管理而出台的有关制度)而导致案件错误,毫无疑问,有关人员应受到惩处。但因过失导致案件错误的,则要区分情况分别对待。因过失导致案件错误的主要表现为:审判、执行人员主观臆断、盲目轻信或因对有关法律、法规不熟悉、认识分析能力不强等业务素质方面的原因,导致办案错误,尽管主观上没有办案过错的故意,但客观上造成了错误的结果发生,对这种过失行为也应予惩戒。如果对过失导致错案的情形不予追究,则会出现这样的情况:在绝大多数情况下审判人员主观上的故意较难判断,大家纷纷以过失为借口,逃避责任追究。故而,对过失导致错案的人员应当依法追究责任。但是,又不能对所有因过失导致错案的情形均追究责任,因为即使是各方面素质都比较高的法官,也难以保证其办案百分之百地都正确。“人非圣贤,孰能无过”。对于法官在案件处理上的过失,在一定限度内应当予以豁免。因而,追究过失办理错案的责任限于“造成严重后果”,如导致刑事案件的被告人本来无罪而被判有罪或者本来有罪而被判无罪,民事、行政审判以及执行的错案导致当事人或者案外人遭受财产权、人身权的损害,甚至影响社会安定团结,引发群众集体上访、闹事等,则应当按照有关规定追究责任,给予有关审判、执行人员以警告至记大过的纪律处分。如果没有造成严重后果,不追究违法审判责任,免予纪律处分。但对于有的错误裁判,比如,在刑事案件中超过法定量刑幅度的判处(畸轻或畸重),在民事案件中将甲方承担全部或明显主要责任判成乙方承担全部或明显主要责任(是非责任颠倒),因为原判事实不清、证据不足或程序违法而被发回重审的,如果均以“认识上的偏差”和未造成“严重后果”而免除审判人员的一切责任,则不利于审判人员从中汲取经验教训,以提高业务水平和审判质量,并且在加强监督、确保公正之声日盛的现实环境下,难免会遭至社会的非议。为此,可以对有关办案人员给予经济上的一定惩扣、取消当年评先(评优)和晋升资格、责令书面检查、通报批评等处罚,作为弥补违法审判责任追究制度不足的一个配套措施。

  二、错案经过怎样的程序来认定

  根据违法审判责任办法的规定,“各级人民法院监察部门是违法审判责任追究工作的职能部门,负责违法审判线索的收集、对违法审判责任进行调查以及对责任人员依照有关规定进行处理”。如果不涉及案件实体、程序上的错误认定,而是其他的违法审判情形(主要是指违反廉政纪律或违反审判工作纪律的情形),可以由监察部门来承担收集线索、初步调查的职责。但是如果涉及实体、程序上错误的认定,由于要对所有裁判错误或被依法改判、发回重审、执行回转、引起国家赔偿等案件进行重新审查,工作量不会小,加之专业性强,考虑到监察部门工作人员少、专业方面的知识和经验较之于审判业务庭薄弱的情况,由监察部门来认定裁判和程序是否错误,要么力不从心,要么难以胜任。因此,根据法院实践中的做法,可以由审判监督庭通过案件质量评查来发现案件在实体和程序方面的错误,向本院审判委员会提出初步审查意见(包括是否属于错案以及造成错案的原因),由审判委员会讨论决定。对确认为错案的,由监察室依照最高法院有关规定审查有关审判、执行人员是否具有违法审判、执行的情形,提出追究责任的意见,虽然不够追究违法审判责任但根据案件具体情况应当追究一定责任的,按照执法过错责任追究制度或者考核办法予以追究,对不应当追究任何责任的情形,向有关审判业务庭和审判人员发出总结经验、改进工作的书面意见。

  在确认错案过程中,作出认定和处理决定前,应当听取办案人员的申辩,而不是仅仅限于在作出错案认定和责任处理决定后可以提出异议(复议)。如可以在审判委员会讨论认定错案时,允许案件主审人和合议庭其他成员参加,听取他们陈述理由,表明意见,通过“听证会”的形式来确认是否属于错案,体现了公开、民主的原则。

  三、出现错案时如何承担责任及处罚

  在办案过程中出现了错案,承担的责任应依据“权力与责任相结合、权利与义务相伴随”的基本原则,分别由不同的人员承担,做到既不株连无辜,又不使确实负有责任的人员逃避追究。院长、庭长等主管领导承担责任的范围,应当限于参加了案件的研究,该种情形包括:以审判长身份参加合议庭,或不是合议庭成员但主持或参与了案件的研究;作为审判委员会的委员参加了对案件的研究;对案件的有关法律文书(包括判决、裁定、决定以及采取财产保全、强制执行等措施的法律文书)进行了审批。不属于上述几情形的,不应当以“管理失职”为由追究连带责任。如果院长、庭长故意违反法律规定或者严重不负责任,对独任审判员或者合议庭的错误不按照法定程序纠正,导致违法裁判的,院长、庭长、独任审判员或者合议庭有关人员均应当承担相应责任。

  追究违法审判的法官的错案责任的处罚种类有:警告、记过、记大过、降级、撤职、开除,涉及犯罪的,移送有关司法机关处理。另外法院根据实际工作的需要,可以增设本单位对违法审判的法官的罚则,如警示谈话;通报批评;扣发奖金;取消晋升晋级及评选先进等荣誉称号的资格;调离审判、执行工作岗位。法院可以根据案件错误的严重性和影响对有关人员进行处罚,从而使审判、执行人员的经济收入、升迁前景与案件的处理结果挂钩。

  (作者单位:江西省高安市人民法院)