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美国集团诉讼中的既判力规则/李晓蕊

时间:2024-05-19 11:46:26 来源: 法律资料网 作者:法律资料网 阅读:8415
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集团诉讼判决的既判力问题是集团诉讼制度的核心问题之一,它影响着集团诉讼中的一系列其他规则,但这也正是困扰很多国家立法者的一个难题。美国集团诉讼中的既判力规则是依赖于英美法系的一系列诉讼制度而逐渐形成的。

  在美国集团诉讼发展的上百年历史中,关于集团诉讼判决的既判力规则一直是一个有争议的问题。争议的内容主要在于集团诉讼判决对于未出庭的集团成员是否应当具有约束力,表现在既判力规则与当事人制度以及正当程序之间的紧张关系。美国立法上和司法判例在集团诉讼的既判力问题上来回摇摆,至今仍然没有定论。从源头上梳理美国集团诉讼判决效力规则的发展脉络,有助于凸显既判力规则所需要平衡的各种价值,揭示出不同规定的差异和利弊。美国关于集团诉讼判决效力范围的立法大致经历了三个阶段:

    第一个阶段,联邦衡平法时期。这一时期主要是受英国法的影响,集团诉讼中既判力规则的主要特点就不确定,缺乏详细的规则,法院判决互相矛盾。1842 年联邦衡平法第 48 条是美国首次关于集团诉讼的成文规则,该条规定: “……命令对于缺席当事人的权利和诉求不产生影响。”然而事实上,法院公开漠视该规则的情形并不少见。1912 年修改后的联邦衡平规则第 38 条取消了对集团诉讼判决效力范围的规定,仅仅规定“当一项争议涉及可以构成一个集团的多数人的普遍利益或一般利益,并且所有人同时起诉至法院在事实上不可能时,一人或多人可以为了整个集团起诉或者应诉”,这主要是由于正当程序的影响,因而没有明确规定集团诉讼判决对未出庭团体成员具有约束力。司法实践中,在判决对该团体不利的情况下,由于成员之间的联系比较松散,法院只特别约束那些同意参加诉讼的集团成员。也就是说,“集团诉讼”判决仅仅对已知的当事人有约束力。

  第二个阶段,1938 年联邦民事程序规则。1938 年联邦民事程序规则出台后,关于集团诉讼判决的既判力在理论上的发展主要是集团诉讼的分类以及相应的判决效力理论。在起草 1938 年联邦民事程序规则第 23 条的时候,起草者试图以概念化的方式厘清集团诉讼判决的效力规则。第 23 条( a) 要求集团诉讼的人数必须达到使所有成员合并诉讼不可行的程度,并且从集团中选择的代表应保证能充分代表所有成员。该条款接下来规定,集团主张的或被指控的权利性质必须是“合并的”、“共同的”或“从属的”,并依据这三种权利性质将集团诉讼分为三种类别,“真正的集团诉讼”、“混合的集团诉讼”和“假想的集团诉讼”。

  第三个阶段,1966 年的立法修改。集团诉讼的分类对于解决集团诉讼判决的既判力问题并没有起到帮助作用,甚至在某些情形下还会让事情变得更复杂,容易让人过分关注于分类本身而不是需要解决的问题。因此,1966 年修改联邦民事程序规则第 23条时,对于取消集团诉讼分类的提议几乎没有遇到异议。修改后的第 23 条规定的简单清晰,即任何集团诉讼的判决对于集团成员都具有约束力( 除了“选择退出”的之外) ,无论判决对于集团是否有利。该次改革虽然形式上简化了集团诉讼的规则,但并未能简化集团诉讼中的既判力问题。此后的几十年,法院做出的判决并不一致,目前仍然存在争议的问题是,缺席的集团成员是否可以以代表不充分为由提出新的诉讼? 美国立法及司法在集团判决既判力问题上的不确定,说明该问题的复杂性以及各种价值平衡的难度,也反映出了不同的理论倾向。

  美国集团诉讼对于集团成员产生拘束力的前提是成员权益得到充分代表,成立集团诉讼的前提就是必须满足代表的充分性。为了保障代表的充分性,法律设置了一系列的程序要求,如集团诉讼律师必须达到一定的资格,法院对于集团诉讼的和解协议要举行听证并审查其公平性等。另外,在批准集团诉讼阶段和和解阶段,集团成员可以挑战代表的充分性。1966 年修改后的联邦民事诉讼程序规则规定集团诉讼判决对于所有集团成员都具有既判力,无论是否参与诉讼。这是对判决仅仅对于参与诉讼的当事人才有拘束力规则的突破,是立法为了司法系统避免多数人诉讼的过分迟延和高昂费用而采取的措施。集团判决既判力扩张至缺席的集团成员是个体权利对于司法效率的妥协,有些法院甚至判决,如果集团诉讼代表对判决满意,缺席的集团诉讼成员就无权提起上诉。

  必须要强调的是,美国采用的既判力规则是和美国的其他诉讼制度相配套的,譬如广泛的证据开示制度、提起集团诉讼制度的司法审查制度、法官在集团诉讼案件中广泛的案件管理权等等,都从一定程度上保证了没有参与集团诉讼人员的权利,因此美国集团诉讼的既判力制度才能够经受美国宪法规定的“正当程序”的考验。相反,如果缺席成员的权利得不到其他制度安排强有力的保证,那么美国式的既判力规则就必然会侵犯到缺席成员的权利。

阜新市细河城市段地下水资源管理办法的通知

辽宁省阜新市人民政府


阜新市细河城市段地下水资源管理办法的通知

阜政发[2008]11号



各县、区人民政府,市政府各部门,中省直各单位:

现将《阜新市细河城市段地下水资源管理办法》印发给你们,请认真遵照执行。






二○○八年三月二十一日



阜新市细河城市段地下水资源管理办法



第一条 为保护细河城市段生态环境,促进生态阜新建设,根据《中华人民共和国水法》、《辽宁省地下水资源保护条例》等相关法律、法规、规章规定,制定本办法。

第二条 本办法所称的细河城市段是指东自新邱区阿金歹公路桥,西至市污水处理厂,自细河两岸南北向外至500米的区域(含高林河下游至细河段500米)。

第三条 细河城市段禁止以生产经营为目的开采地下水资源。因市政管网未能履盖或供水水压不足不能使用城市供水的居(村)民,可以开采地下水供生活用水需要。

第四条 细河城市段地下水资源的管理实行市政府统一管理的原则。市水利管理部门实施具体监管工作。

细河流经区域的县、区人民政府负责本区域段的地下水监督管理。

第五条 细河城市段的单位排放污水的,必须排入城市排水管网。

第六条 各级水行政主管部门应对细河城市段地下水资源的水量、水质实施监测;其他有关部门应按照各自的法定职责,做好细河城市段地下水资源的保护工作。

第七条 单位和个人造成地下水污染的,由环境保护部门依法予以处理。

第八条 对违反本办法在细河城市段开采地下水的,由水行政主管部门依《辽宁省地下水资源保护条例》的规定予以处罚:

(一)对未经批准开采地下水资源的,责令停止违法行为,限期采取补救措施,并处5万元罚款。

(二)取水设施已自行封闭或被水行政主管部门依法强行封闭后又恢复开采地下水资源的,责令停止违法行为,限期采取补救措施,并处10万元罚款。

(三)承建未经批准的凿井工程的,责令改正,并处5万元罚款。

第九条 自本办法公布之日起,原细河两岸批准的开采地下水手续一律取消。因生产经营需要在细河城市段开采地下水源的,必须停止取水,并自行封闭取水工程。未按规定封闭取水工程的,由水行政主管部门强行封闭,封闭费用由取水人承担。

第十条 本办法自公布之日起施行。


LAW OF THE PEOPLE'S REPUBLIC OF CHINA ON THE PROCEDURE OF THECONCLUSION OF TREATIES ——附加英文版

The Standing Committee of the National People's Congress


LAW OF THE PEOPLE'S REPUBLIC OF CHINA ON THE PROCEDURE OF THECONCLUSION OF TREATIES

(Adopted at the 17th Meeting of the Standing Committee of the
Seventh National People's Congress on December 28, 1990, promulgated by
Order No. 37 of the President of the People's Republic of China on
December 28, 1990, and effective as of the same date)

Article 1
The present Law is enacted in accordance with the Constitution of the
People's Republic of China.
Article 2
This Law shall be applicable to bilateral or multilateral treaties and
agreements and other instruments of the nature of a treaty or agreement
concluded between the People's Republic of China and foreign states.
Article 3
The State Council, that is, the Central People's Government, of the
People's Republic of China shall conclude treaties and agreements with
foreign states.
The Standing Committee of the National People's Congress of the People's
Republic of China shall decide on the ratification and abrogation of
treaties and important agreements concluded with foreign states.
The President of the People's Republic of China shall, in accordance with
decisions of the Standing Committee of the National People's Congress,
ratify and abrogate treaties and important agreements concluded with
foreign states.
The Ministry of Foreign Affairs of the People's Republic of China shall,
under the leadership of the State Council, administer the specific affairs
concerning the conclusion of treaties and agreements with foreign states.
Article 4
The People's Republic of China shall conclude treaties and agreements with
other states in the name of:
(1) the People's Republic of China;
(2) the Government of the People's Republic of China;
(3) the governmental departments of the People's Republic of China.
Article 5
The decision to negotiate and sign treaties and agreements shall be made
according to the following procedures:
(1) in the case of a treaty or agreement to be negotiated and signed in
the name of the People's Republic of China, the Ministry of Foreign
Affairs or the department concerned under the State Council in conjunction
with the Ministry of Foreign Affairs shall make a recommendation and draw
up a draft treaty or agreement of the Chinese side and submit it to the
State Council for examination and decision;
(2) in the case of a treaty or agreement to be negotiated and signed in
the name of the Government of the People's Republic of China, the Ministry
of Foreign Affairs or the department concerned under the State Council
shall make a recommendation and draw up a draft treaty or agreement of the
Chinese side and, after consultation with the Ministry of Foreign Affairs,
submit it to the State Council for examination and decision. In the case
of an agreement concerning a specific line of business, its Chinese draft
shall, with the consent of the State Council, be examined and decided upon
by the department concerned under the State Council or when necessary in
consultation with the Ministry of Foreign Affairs;
(3) agreements to be negotiated and signed in the name of a governmental
department of the People's Republic of China concerning matters within the
scope of functions and powers of the department concerned shall be decided
upon by the department itself or after consultation with the Ministry of
Foreign Affairs. In the case of an agreement relating to matters of major
importance or matters falling within the functions and powers of other
departments under the State Council, the department concerned shall submit
it by itself or after consultation with the other departments concerned
under the State Council, to the State Council for decision. The draft
agreement of the Chinese side shall be examined and decided upon by the
department concerned or when necessary in consultation with the Ministry
of Foreign Affairs.
When major modification in the Chinese draft of a treaty or agreement
already examined and decided upon by the State Council are necessary as a
result of negotiation, the revised draft shall be submitted to the State
Council for examination and decision.
Article 6
Representatives for negotiating and signing treaties or agreements shall
be appointed according to the following procedures:
(1) In the case of a treaty or agreement to be concluded in the name of
the People's Republic of China or the Government of the People's Republic
of China, the Ministry of Foreign Affairs or the department concerned
under the State Council shall submit a report to the State Council for the
appointment of a representative. The full powers of the representative
shall be signed by the Premier of the State Council, but may also be
signed by the Minister of Foreign Affairs.
(2) In the case of an agreement to be concluded in the name of a
governmental department of the People's Republic of China, a
representative shall be appointed by the head of the department concerned.
The letter of authorization for the representative shall be signed by the
head of the department. Where the head of a department signs an agreement
concluded in the name of the governmental department, and where the
contracting parties agree that it is necessary for the head of the
department to produce full powers, the full powers shall be signed by the
Premier of the State Council, but may also be signed by the Minister of
Foreign Affairs.
The following persons shall dispense with full powers for negotiating and
signing treaties and agreements:
(1) the Premier of the State Council, the Minister of Foreign Affairs;
(2) the head of a diplomatic mission of the People's Republic of China who
negotiates and signs treaties and agreements concluded between China and
the state to which he is accredited, unless it is otherwise agreed by the
contracting parties;
(3) the head of a governmental department of the People's Republic of
China who negotiates and signs the agreements concluded in the name of his
department, unless it is otherwise agreed by the contracting parties;
(4) the person, dispatched to an international conference or accredited to
an international organization by the People's Republic of China, who is at
the same time the representative for negotiating treaties or agreements in
that conference or organization, unless it is otherwise agreed by the
conference or otherwise provided for in the constitution of the
organization.
Article 7
The ratification of treaties and important agreements shall be decided
upon by the Standing Committee of the National People's Congress.
The treaties and important agreements referred to in the preceding
paragraph are as follows:
(1) treaties of friendship and cooperation, treaties of peace and similar
treaties of a political nature;
(2) treaties and agreements relating to territory and delimitation of
boundary lines;
(3) treaties and agreements relating to judicial assistance and
extradition;
(4) treaties and agreements which contain stipulations inconsistent with
the laws of the People's Republic of China;
(5) treaties and agreements which are subject to ratification as agreed by
the contracting parties; and
(6) other treaties and agreements subject to ratification.
After the signing of a treaty or an important agreement, the Ministry of
Foreign Affairs or the department concerned under the State Council in
conjunction with the Ministry of Foreign Affairs shall submit it to the
State Council for examination and verification; the State Council shall
then refer it to the Standing Committee of the National People's Congress
for decision on ratification; the President of the People's Republic of
China shall ratify it in accordance with the decision of the Standing
Committee of the National People's Congress.
After the ratification of a bilateral treaty or an important bilateral
agreement, the Ministry of Foreign Affairs shall execute the formalities
for the exchange of the instruments of ratification with the other
contracting party. After the ratification of a multilateral treaty or an
important multilateral agreement, the Ministry of Foreign Affairs shall
execute the formalities for the deposit of the instrument of ratification
with the depositary state or international organization. The instrument of
ratification shall be signed by the President of the People's Republic of
China and countersigned by the Minister of Foreign Affairs.
Article 8
After the signing of the agreements and other instruments of the nature of
a treaty which do not fall under paragraph 2, Article 7 of this Law and
which are subject to approval as prescribed by the State Council or as
agreed by the contracting parties, the Ministry of Foreign Affairs or the
departments concerned under the State Council in conjunction with the
Ministry of Foreign Affairs shall submit them to the State Council for
approval. After the approval of agreements and other instruments of the
nature of a treaty, in the case of a bilateral one, the Ministry of
Foreign Affairs shall execute the formalities for the exchange of the
instruments of approval with the other contracting party or for mutual
notification of the approval by diplomatic notes. In the case of a
multilateral one, the Ministry of Foreign Affairs shall execute the
formalities for the deposit of the instrument of approval with the
depositary state or international organization concerned. The instrument
of approval shall be signed by the Premier of the State Council, but may
also be signed by the Minister of Foreign Affairs.
Article 9
After the signing of the agreements which need no decision on ratification
by the Standing Committee of the National People's Congress or approval by
the State Council, the agreements shall be submitted by the departments
concerned under the State Council to the State Council for the record,
except those agreements concluded in the name of the governmental
departments of the People's Republic of China which are to be submitted by
these departments to the Ministry of Foreign Affairs for registration.
Article 10
If the two contracting parties need to go through different domestic legal
procedures for the entry into force of the same treaty or agreement, the
said treaty or agreement shall enter into force after the accomplishment
by the two parties of their respective legal procedures and the mutual
notification by diplomatic notes.
After the signing of the treaties and agreements listed in the preceding
paragraph, the formalities of ratification, approval, entry on the record
or registration shall be executed as the case requires in accordance with
Articles 7, 8 or 9 of this Law. The formalities of notification by note
shall be completed by the Ministry of Foreign Affairs.
Article 11
The decision to accede to multilateral treaties or agreements shall be
made by the Standing Committee of the National People's Congress or the
State Council as the case requires. The procedures for acceding to
multilateral treaties and agreements shall be as follows:
(1) to accede to a multilateral treaty or an important multilateral
agreement listed in Paragraph 2, Article 7 of this Law, the Ministry of
Foreign Affairs or the department concerned under the State Council in
conjunction with the Ministry of Foreign Affairs shall make a
recommendation after examination and submit it to the State Council for
examination and verification; the State Council shall then refer it to the
Standing Committee of the National People's Congress for decision on
accession. The instrument of accession shall be signed by the Minister of
Foreign Affairs, and the specific formalities executed by the Ministry of
Foreign Affairs;
(2) to accede to a multilateral treaty or agreement other than those
listed in Paragraph 2, Article 7 of this Law, the Ministry of Foreign
Affairs or the department concerned under the State Council in conjunction
with the Ministry of Foreign Affairs shall make a recommendation after
examination and submit it to the State Council for decision on accession.
The instrument of accession shall be signed by the Minister of Foreign
Affairs, and the specific formalities executed by the Ministry of Foreign
Affairs.
Article 12
The decision to accept a multilateral treaty or an agreement shall be made
by the State Council.
In the case of a multilateral treaty or agreement containing clauses of
acceptance which is signed by the Chinese representative or does not
require any signature, the Ministry of Foreign Affairs or the department
concerned under the State Council in conjunction with the Ministry of
Foreign Affairs shall make a recommendation after examination and submit
it to the State Council for decision on acceptance. The instrument of
acceptance shall be signed by the Minister of Foreign Affairs, and the
specific formalities executed by the Ministry of Foreign Affairs.
Article 13
A bilateral treaty or agreement concluded by the People's Republic of
China with a foreign state shall be done in the Chinese language and the
official language of the other contracting party, both texts being equally
authentic. When necessary, a text in the language of a third state agreed
upon by the two contracting parties may be executed in addition as a
third, equally authentic, official text or an unofficial text for
reference. It may be stipulated by agreement of the two contracting
parties that the third text shall prevail in case of divergence of
interpretation of the treaty or agreement.
For agreements on specific lines of business and treaties and agreements
concluded with international organizations, a single language fairly
commonly used internationally may also be used by agreement of the two
contracting parties or in accordance with the provisions of the
constitutions of the international organizations concerned.
Article 14
Signed originals of bilateral treaties and agreements concluded in the
name of the People's Republic of China or the Government of the People's
Republic of China and copies of multilateral treaties and agreements
certified as true by the depositary states or international organizations
concerned shall be deposited with the Ministry of Foreign Affairs. Signed
originals of bilateral agreements concluded in the name of the
governmental departments of the People's Republic of China shall be
deposited with these departments.
Article 15
A treaty or an important agreement of which the Standing Committee of the
National People's Congress has decided on ratification or accession shall
be published in the bulletin of the Standing Committee of the National
People's Congress. The measures for publishing other treaties and
agreements shall be made by the State Council.
Article 16
Treaties and agreements concluded by the People's Republic of China shall
be compiled by the Ministry of Foreign Affairs into a collection of the
Treaties of the People's Republic of China.
Article 17
Treaties and agreements concluded by the People's Republic of China shall
be registered with the Secretariat of the United Nations by the Ministry
of Foreign Affairs in accordance with the relevant provisions of the
United Nations Charter. Treaties and agreements concluded by the People's
Republic of China that require registration with other international
organizations shall be registered by the Ministry of Foreign Affairs or
the departments concerned under the State Council in accordance with the
respective constitutions of the international organizations.
Article 18
The procedures for the conclusion of a treaty or an agreement with an
international organization by the People's Republic of China shall follow
this Law and the constitution of the relevant international organization.
Article 19
The procedures for amendment to, abrogation of and withdrawal from
treaties and agreements concluded by the People's Republic of China shall
follow mutatis mutandis the procedures for the conclusion of the treaties
and agreements in question.
Article 20
The State Council may make regulations in accordance with this Law for its
implementation.
Article 21
This Law shall enter into force as of the date of promulgation.


Important Notice:
This English document is coming from "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.