程序法视野下的美国惩罚性赔偿制度研究

发布时间：2018-05-14 17:46

本文选题：惩罚性赔偿 + 正当程序原则　；参考：《山东大学》2012年硕士论文

【摘要】：惩罚性赔偿制度设计的初衷乃是为了对不法行为人进行惩罚,进而对其及潜在的其他不法行为人造成威慑,使其不敢为、不再为类似不法行为。鉴于惩罚性赔偿所具有的独特功能,其虽属于民事责任体系,但却俨然成为一种“准刑事责任”。在英美法上的发展历史表明,惩罚性赔偿制度一直都与其他制度息息相关,每一次惩罚性赔偿的判决都受到诸如律师制度、陪审团制度等制度的影响。近些年不断出现的高额惩罚性赔偿金判决更使其饱受学者批判。与内容相仿的现有研究成果相比较,本文的研究特色在于,并未将研究视野局限在惩罚性赔偿制度本身,而是将之放在整个法律体系之中,从各个不同的法律制度角度出发,研究惩罚性制度与其他制度如何相互影响。惩罚性赔偿是一个饱受争议的制度,但是,每一个争议都牵涉到其他制度。如,关于是否应由陪审团来决定是否适用惩罚性赔偿的争议,根源其实在于对陪审团审判制度的检讨。关于惩罚性赔偿金数额过高的批评,律师制度又难脱干系。本文希望通过横向研究不同制度与惩罚性赔偿制度的关系,以期获得对此项制度的更全面了解。而从不同的法律制度出发研究惩罚性赔偿制度,将在研究的广度和深度上有所提升。本文将采用下列研究方法： 1.判例分析法。本文通过引用大量判例,考察惩罚性赔偿制度在现实中的适用,试图厘清惩罚性赔偿在适用过程中如何与其他各种制度发生关系。 2.比较研究的方法。本文通过比较研究的方法,比较与惩罚性赔偿制度相关的一些制度在德国法和美国法上的异同,达到对其全面认识的目的。 3.综合分析方法。一项法律制度的产生和运作总是关涉到诸多法律制度,惩罚性赔偿制度也不例外。在整个适用过程中,惩罚性赔偿都与各个不同的法律制度相互影响,如陪审团制度、正当程序原则等。本文通过横向的综合分析,以期从一个全新的角度认识惩罚性赔偿制度。本文一共包括六个部分。导论部分是本文的写作基础。在行文伊始,本文就作出论断：美国上惩罚性赔偿制度如此发达,根本原因在于其独特的程序法。正文第一章为“正当程序原则与惩罚性赔偿制度”。可以说,正当程序原则是美国最为重要的宪法性原则。各个部门法在设计之初必定将这一原则贯穿其中,对任何其他程序的违反都可能被认为是违反了正当程序原则。惩罚性赔偿在适用过程中也广受这一指责,尤其是高额的惩罚性赔偿金,更是深陷争议的深渊。第二章为“诉因制度与惩罚性赔偿制度”。在英美民事诉讼中,诉因是指具有法律意义的事实或者事实的集合。美国法禁止“分割诉因”,所以基于某一侵权行为产生的诉讼请求必须在一次诉讼中一次性提出,否则,既判事项原则将阻止受害人再次得到救济。同时,美国颇具特色的法院组织方法使得法院在同一时间可以处理的案件颇为有限,所以,也迫使控诉人在起诉时将所有诉讼请求一并提出。这些制度都导致了在涉及惩罚性赔偿的案件中,惩罚性赔偿金可能数额巨大。第三章为“陪审团制度与惩罚性赔偿制度”。陪审团制度也是个历史悠久的制度。在陪审团产生之初之初,陪审团成员仅凭各自所掌握的知识和常识来评判案件。到了近现代,证据制度的发展使得陪审团必须凭借在听审过程中所掌握的证据来作出裁判。但是,不管古代还是现代,陪审团作出裁判是出于其对社会普遍道德观念的认同。作为“邻人的陪审团”,其在日常的诉讼过程中,倾向于频繁判处高额的惩罚赔偿金,这也导致了众多的对陪审团制度和惩罚性赔偿制度的批评。第四章为“律师制度与惩罚性赔偿制度”。在对抗制的美国诉讼体制中,律师的作用举足轻重。而且,不同于大陆法系中强势的法官,美国的法官在诉讼过程中处于中立的地位,这也给了律师掌控案件判决的机会。在“胜诉酬金制”出现之后,律师可以在“美国规则”确定的律师费规则之外,获得更大的利益。这也激励着律师们尽量主导诉讼过程,争取陪审团或法官判处被告承担惩罚性赔偿金。第五章为“集团诉讼与惩罚性赔偿制度”。在频发的大规模侵权案件中,集团诉讼越来越多的得到适用。而且,在集团诉讼中,律师制度、既判事项原则仍然占有重要地位。所以,在涉及侵权的集团诉讼中,更有可能判处高额的惩罚性赔偿金。在最后的“结语”部分,笔者认为：惩罚性赔偿制度在美国广泛使用,而且惩罚性赔偿金有高企之势,是美国奉行程序中心主义,并拥有种种复杂的诉讼程序规则、原则的结果。
[Abstract]:The design of punitive damages system is designed to punish the illegal acts and to deter them and other internationally wrongful acts from being a kind of " quasi - criminal responsibility " . In view of the unique function of punitive damages , it has become a kind of " quasi - criminal responsibility " . The history of punitive damages has been closely related to other systems , and the judgment of each punitive damages has been affected by such systems as lawyer system and jury system .

The author hopes to study the relationship between punitive damages and punitive damages from different legal system angles , and to study the relationship between punitive damages and punitive damages in order to obtain a more comprehensive understanding of the system .

The following research methods will be used :

1 . Case analysis method . By quoting a lot of jurisprudence , this paper investigates the application of punitive damages in reality , and attempts to clarify how punitive damages can be related to other systems in the course of application .

2 . The methods of comparative study are compared with those of punitive damages in German and American law .

3 . Comprehensive analysis method . The production and operation of a legal system is always related to many legal systems , and the punitive damages system is no exception . In the whole application process , punitive damages are influenced by different legal systems , such as jury system , due process principle , etc . Through comprehensive analysis in the transverse direction , this paper aims to realize the punitive damages system from a new angle .

This paper consists of six parts . The introductory part is the basis of writing . At the beginning of the text , the thesis makes an argument that the punitive damages system in the United States is so developed that the root cause lies in its unique procedural law .

The first chapter of the text is " due process principle and punitive damages system " . It can be said that due process principle is the most important constitutional principle in the United States . Each department law must pass this principle through it at the beginning of the design . Any violation of any other program may be regarded as a violation of the due process principle . The punitive damages are also widely accepted in the application process , especially the punitive damages of the high amount , but also the abyss of dispute .

The second chapter is the " v . v . system and punitive damages system " . In the Anglo - American civil procedure , the prosecution is the collection of facts or facts which have legal meaning . The American law prohibits " division of v . v . " , so the procedural request based on a tort must be put forward once in a lawsuit . Otherwise , the court organization method with special characteristics will prevent the victim from getting relief again . At the same time , the prosecution person will bring all the litigation requests together at the time of the prosecution . These systems all lead to the large amount of punitive damages in cases involving punitive damages .

The third chapter is the " jury system and punitive damages system " . The jury system is also a long - standing system . In the beginning of the jury ' s production , the jury members only judge the cases by the knowledge and common sense .

The fourth chapter is the " lawyer system and punitive damages system " . The role of lawyers plays an important role in the US litigation system against the system . And , unlike the strong judge in the civil law system , the judges of the United States are in a neutral position in the course of the proceedings , which also gives the lawyer the opportunity to control the case judgment . In the case of " winning the compensation system " , the lawyer can gain a greater benefit from the lawyer fee rule determined by the American Rules . This also encourages lawyers to lead the proceedings as far as possible , seeking a jury or judge to impose punitive damages on the accused .

The fifth chapter is " Group litigation and punitive damages system " . In the case of large - scale infringement of the frequency , the group lawsuit is more and more applicable . Moreover , in the group lawsuit , the lawyer system , not only the matter principle still occupies the important position . Therefore , in the group lawsuit involving infringement , it is more likely to impose a high punitive damages .

In the final " concluding remarks " , the author thinks that punitive damages system is widely used in the United States , and punitive damages are high , which is the result of American policy - centered doctrine and complex procedural rules and principles .

【学位授予单位】：山东大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D971.2;DD915

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