從實體問責到程序之治－－中國法院錯案追究制運行的實證考察

From Substantive Responsibility to the Rule of Procedure: An Empirical Study of the Operation of the Wrongful Case Responsibility System in China

20世紀90年代初確立的中國法院錯案追究制在實踐中是如何運行的？探索這一問題，既可以回應多年來關於錯案追究制的學術爭論，也有助於進一步推進司法改革。對西南地區七個法院的法律社會學調查顯示，司法實踐中錯案追究存在五個步驟，其背後是“舉重放輕”的實踐邏輯，即錯案標準最終從實體問責演變為程序之治。中國法院的錯案追究實踐雖然加劇了審級不獨立，但也提升了法官的程序合法意識，並且未出現一些學者所擔憂的懲罰任意性、審判委員會不堪重負、法官不獨立、破壞法院和諧等負面效果。

How has China's wrongful case responsibility system worked in practice since its establishment in the early 1990s? A study on this topic not only responds to academic debates, but also promotes the judicial reform. Based on socio-legal research in seven courts in southwest China, this article describes five steps of the wrongful case responsibility system in practice and presents its logic. Its basic standard is to examine whether or not a case has any procedural mistake rather than substantive mistake. The rule of procedure in the wrongful case responsibility system has aggravated the dependence of lower-level courts on higher-level courts, but it has also improved the procedural consciousness of judges. Furthermore, the system has not displayed some negative effects that many scholars are concerned with, such as willful punishment, heavy burden on the adjudication committee, judges' lack of independence, or damage to the harmony in courts.