文书提出义务再认识
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作者:
作者单位:

西南政法大学 法学院,重庆 401120

作者简介:

唐力,西南政法大学法学院教授,博士研究生导师,Email:547936112@qq.com。

通讯作者:

中图分类号:

D925.1

基金项目:

2024年国家社会科学基金一般项目“强制执行法典化背景下股权执行疑难问题研究”(24BFX098)


Recognition of the obligation of submission documents
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Law School, Southwest University of Political Science and Law, Chongqing 401120, P.R.China

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    摘要:

    法院与当事人在发现诉讼案件事实过程中存在角色分担,当事人承担案件事实第一次发现责任或者主要责任,法院在特定情况下承担辅助责任。证据作为案件事实发现的必要手段,从制度上必须为当事人提供获取证据的保障;当事人因不能归咎于自己的原因无法获取相关证据时,为查明案件事实,法院应给予必要的辅助。在本属于当事人自己应当收集的证据范围,因证据为对方当事人持有或者案外第三人持有而无法获取时,从制度层面应保障负有证明责任一方当事人获取该证据的制度安排,文书提出命令制度便是为解决这一问题而作出的制度安排。文书提出命令作为提高当事人证据收集能力的手段,课以持有文书的相对方当事人、案外第三人文书提出义务。文书提出义务的法理依据是当事人诉讼协力义务和案外第三人协助法院查明案件真实所承担的公法义务。文书提出义务制度的构建,应当兼顾多种利益的保护,不应将其一般化为义务设置。负有证明责任一方当事人,其有义务收集和提供证明案件事实之证据,如果将文书提出义务一般化设置,则可能导致过度加重不负证明责任一方当事人的程序义务,使得证明责任制度之归责功能失效,造成程序不公以及判决缺乏正当性基础。因此,文书提出义务一是要以实体法“信息开示请求权”为基础,二是以发现案件真实之特别规定为补充。强化文书持有人文书提出义务的同时,应兼顾其利益保护之平衡,特定事由下免除文书提出义务之制度规定成为必要。违反文书提出命令之法律后果应区分当事人和案外人持有文书分别规制,在当事人违反文书提出义务时,以文书记载内容“拟制真实”为其规制效果,即使在持有文书的当事人实施了证明妨害行为,也不宜将规制后果拟制为“以该文书作为证据的待证事实为真实”,此后果剥夺了法官对证据评价的权力。在案外人不履行文书提出命令时,文书记载内容“拟制真实”的法律后果没有适用的余地,应以法院作出的“文书提出命令”作为执行依据强制案外人交付文书作为制度保障。

    Abstract:

    In litigation, the court and the parties share roles in the process of discovering case facts. The parties bear the primary responsibility or the first responsibility for discovering case facts, while the court assumes an auxiliary responsibility under specific circumstances. Evidence is a necessary means for the discovery of case facts, therefore, effective means for obtaining evidence must be provided to the parties in terms of institutional safeguards; when the parties are unable to obtain relevant evidence due to reasons not attributable to themselves, the court should provide necessary assistance to ascertain the facts of the case. When evidence falls within the scope that should be collected by the parties themselves, but is unobtainable because it is held by the opposing party or a third party outside the case, institutional arrangements should be designed to ensure that the party bearing the burden of proof can obtain such evidence. The document submission order system is designed to address this issue. As a means of expanding the parties’ ability to collect evidence, the document submission order imposes an obligation on the opposing party holding the document and a third party outside the case to submit the document. The legal basis for the obligation to submit documents is the parties’ liability for litigation cooperation and the public law obligation of third parties outside the case to assist the court in ascertaining the truth of the case. The construction of the document submission order system should take into account the protection of multiple interests and should not be set as a generalized obligation. The party bearing the burden of proof has the obligation to collect and provide evidence to prove the facts of the case. If the obligation to submit documents is generalized, it may lead to excessively aggravating the procedural obligations of the party who does not bear the burden of proof, making the imputation function of the burden of proof system ineffective, resulting in procedural injustice and a lack of a justifiable basis for judgments. Therefore, the obligation to submit documents is based on the substantive law right to information disclosure and supplemented by special provisions for discovering the true facts of the case. While strengthening the obligation of document holders to present documents, it is necessary to take into account the balance between the protection of their interests, therefore, it is essential to establish a system that exempts the obligation to submit documents under specific circumstances. Different legal consequences shall be stipulated for the different circumstances in which the party holding the document violates the order to submit documents and a third party outside the case holding the document violates the order to submit documents. When a party violates the obligation to submit documents, the regulatory effect is to presume the truth of the contents recorded in the document. Even if the party holding the document engages in conduct that obstructs evidence, it is not appropriate to presume the regulatory consequence that the facts to be proven by using the document as evidence are true, as this outcome deprives the judge of the power to evaluate the evidence. When a third party outside the case fails to comply with the order to submit a document made by the court, there is no room for application of the legal consequences that the content recorded in the document is presumed to be true. And as the system safeguard, the order for submission of documents made by the court should be used as the basis for enforcement, compelling the third party to deliver the documents.

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引用本文

唐力,程诗棋.文书提出义务再认识[J].重庆大学学报社会科学版,2025,31(6):210-222. DOI:10.11835/j. issn.1008-5831. fx.2024.12.001

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  • 在线发布日期: 2026-01-20
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