公证书之法定证据效力研究

发布时间：2018-06-08 18:26

本文选题：公证书法定效力 + 法定证据效力　；参考：《西南政法大学》2015年博士论文

【摘要】：证据是诉讼的钥匙。在“谁主张、谁举证”的证据规则下,谁取得了最关键的证据,谁就等于掌握了决定诉讼成败的“制胜法宝”。而公证文书作为一种效力层次较高的证据,一直以来在各国证据制度体系中扮演着十分重要的角色。我国《民事诉讼法》第69条关于“经过法定程序公证证明的法律事实和文书,人民法院应当作为认定事实的根据”之规定,特别突出和强调了公证书证据力的高层次性和强效性。有鉴于此,司法实践中,通过公证固定证据并加强所固定证据的采证率便成为大家充分利用公证制度这一司法资源的重要方式之一。尤其近年来,随着互联网和电子商务的迅速发展,证据也呈现出信息化趋势,以计算机和网络为依托的电子数据在证明案件事实中起着越来越重要的作用。我国2012年修订的《民事诉讼法》也适应时势需要新增了“电子数据”的证据种类,而“电子数据”存在状态的“开放性”、“易变性”特点使得证据的提取、固定和保全工作面临诸多考验。而公证机构作为被授权依法独立行使国家证明职能的法定机构,恰恰担负着证明法律行为、有法律意义的文书和事实的真实性、合法性的法定职责,能够以其职能活动确证和固化各种法律行为、法律文书和法律事实,并以其所产生的公信力和公效力满足人们的取证需求。故而,随着人们对公证证据的认知的提升和需求的增长,公证证据在社会生活中的运用也越来越广泛、越来越普遍,公证证据效力的运行机制及其所体现的公证制度价值问题自然也越来越引起关注。在这样的时代语境下探讨公证证据效力问题显然有着现实的必要性,尤其对于缓解司法实践中的老大难问题--举证取证困难更是有着直接的意义。在我国,由于现代公证的恢复重建与发展时间并不久长,“现代公证史”的过于短暂,不可避免暴露出这样那样的问题:全社会尚未普遍培育起“公证意识”,公证价值尚不能全面为公众所认知和接纳;学术界极少涉足公证领域,对公证理论的探讨严重不足;媒体对公证个案的不当渲染和误导,片面夸张了公证的负面效应,对公证的价值作用一度产生了不良影响,使得原本为“预防纠纷、疏减讼源”而设的事前公力救济制度的应然价值得不到有效的发挥。加上公证行业自身改革的不成熟、不彻底,致使社会上普通民众对于公证产生了过于偏激的“两极化”认知误区:一为“公证无用论”,认为公证就是简单的盖章收钱,公证书缺乏公信力、公效力,可以随意予以推翻和否定;一为“公证万能论”,认为凡事经过公证,便“铁证如山”,如同进了“保险箱”,可以万事大吉、高枕无忧了。那么,究竟应如何重新梳理和审视公证书的法定效力体系?如何正确解读和诠释最基本的法定证据效力?公证书证据效力究竟由哪些要件构成?其内在的发生机理又是怎样的?公证证据效力与其他证据效力相比有何不同特点、有何效力优势?当公证书存在瑕疵时应如何看待其证据效力、如何进行救济?我国公证书证据效力在实践中的运用现状如何?存在哪些突出问题亟待解决?目前的应对措施存在哪些不足?如何从制度上进行完善方能使公证书证据效力之应然的实用价值得到真正释放和充分发挥,回应现代市场的广泛而多样的需求?所有的这些问题表明,公证书之法定证据效力确是一个具有很强实践价值的论题,采取实践考察方式理当比纯粹的理论推演更具说服力,因此,笔者力求在理论上有所突破的同时,也有意识地进行广泛的实地考察,辅以实际的调研数据和真实的实务范例来增强理论探讨的“务实性”和“信服力”。而通过理论探讨和实践考察来分析、思考和解决上述问题,以期弥合公证书证据效力的应然价值和实然价值之间的疏离和罅隙,使之更好地服务于市场主体之需求,正是本论文选题和写作的直接目的。当然,理论探讨与实证调研的结合同样贯通了论文的基本逻辑架构,也成就了公证证据效力之论题在理论创新和实践指导方面的双重意义。具体而言,论文全篇由引言、正文五章及结语共七个部分构成,每一部分的基本内容及其创新点简述如下:引言部分结合十四届三中全会精神,从宏观的制度角度导引出公证法定效力之论题,并简要陈明研究公证效力体系中最基本的法定证据效力问题之价值所在及其现实意义。第一章公证法定证据效力概述。论文首先对公证书法定证据效力所涉及的若干极易混淆的概念进行了重新梳理和辨析,然后介绍了两大法系各国或地区关于公证书证据效力的规定,并对我国理论界、实务界关于公证书法定效力的争议进行了评析,在此基础上对公证书证的性质和特点进行了新的归纳和总结。本章的创新之处在于,在公证业界首次提出了公证书作为公证证明职能的直接结果和书面载体,其效力问题承载和体现了公证制度的存在价值,是公证制度的公信力、公效力在纸面上的延伸和表达,故而有必要将公证书的法定效力视为一个综合的具有很强实践品格的价值体系,并在这样的价值体系框架中重新审视公证书证据效力的若干基础理论问题。其中就公证书的证据效力、认证书的证据效力、公证证明对象的法律效力进行了辩证分析,指出现行关于公证书证据效力的诸多争议观点之欠缺和不足,并进一步在比较分析“司法认知说”、“推定说”、“免证事实说”等各家学说的基础上提出宜将公证证据所证明的事实作为一种独立的“免证事实”予以考察。第二章公证书法定证据效力应然内涵之解读。法定证据效力作为公证书最基本、最主要、最普遍的效力,构成了公证书效力体系的脊梁。论文并不局限于业界目前对公证书证据效力的释法性、浅表性的字面理解,而是立足于现有立法并从理论上对法定证据效力的应然内涵进行了深度解读。首先按照证据的一般法理对公证书的证据能力和证明力进行了阐述,然后在对公证书和其他证据的比较中突出和强调了公证书的证据效力优势,并以最具典型性和代表性的保全证据公证书为例集中展现了公证书证据效力的特殊优势,在此基础上,进一步就公证书证据效力优势之内在的发生机理和外在的制度支持进行了深层追问。该章的创新之处在于:在公证业界关于公证书法定证据效力的研究中,第一次分别从“质”和“量”上分析了公证书作为书证的证据能力和证明力,第一次区分处分性公证书和报道性公证书并分别阐述其形式证明力和实质证明力,第一次对公证书法定证据效力比较优势作了较全面的个性化的概括归纳,同样也是第一次从公证职能主体的适法性、公证客体范围的法定性、公证多元职能的专属性、公证执业程序的规范性、错证救济机制的安全性等多重角度确证了公证书证据效力优势的生成机理及其正当性。第三章公证书证据效力之审查与认定。本章阐述了各国司法实践中关于公证证据的审查与认定,就公证书证据效力的构成要件及各要件的尺度把握进行了更加全面的探讨,并对瑕疵公证书之表现形态及其相应的效力认定进行了分类阐析,为后文分析解决实证调研中发现的公证书效力瑕疵问题预作铺垫。该章的创新之处在于第一次从公证书作为证据之效力发挥的视角对其衡量标准--“真实、合法”的内涵作了不同于传统的更加深层的诠释,根据公证实务特点,并结合最新司法解释,提出了个人的思考和见解,即“真实”、“合法”所隐含的应有内涵其实比“字面表述”更加丰富、更加具体、更加宽泛、更加深刻:不仅包括证明事项的真实、合法,而且包括包括当事人主体资格的真实、合法,当事人启动公证程序的真实、合法,也包括提供的证明材料的真实、合法、充分,还包括公证书本身的真实、合法。由此进行引申,以“排除合理怀疑”为砝码对公证证明标准——“真实、合法”的尺度问题进行了反思,建议将契合实务需求的价值理念植入对“真实、合法”的现代考量中,区分不同公证类别重构“二元化”的真实性标准并重新检视合法性的“边界”问题。第四章我国公证证据之运用现状及存在问题。本章通过实证调研方式对公证证据在实践中的运用现状进行考察,用数据统计和实例分析方式如实将公证书证据效力发挥的“实然状态”反映和呈现出来,并就所存在的阻滞公证证据效力常态发挥的较为突出的问题进行了梳理和归纳,既以丰富的素材回应和充实了前文的理论论证,又承前启后,为后文就应对之策展开有的放矢的研究和探讨奠定了切实的、令人信服的基础。本章的创新之处在于:首开先河,以俯瞰式的视角从非讼和诉讼领域全面考察公证书证据效力的运用现状,实事求是地反映了公证书在实际使用中所遭遇的法定证据效力被滥用和误解的各种情形,将其归结为认知偏误、瑕疵争议、异化使用和弄虚作假等,并有针对性地指出我国现行应对措施之欠缺和不足,同时,以搜集的数据信息中所反馈的最易发生争议问题的委托、继承、遗嘱、放弃继承声明、房产赠与、房产买卖及保全证据等类型的公证书为例进行详尽具体的说明,以期助益于公证业内外各界人士正确认知和看待公证证据效力及其现实价值问题。第五章解决公证证据实践运用问题的若干思考。基于解决问题的目的,本章从务实的角度出发,考察了大陆法系国家强式公证制度运行模式下关于保障公证书法定证据效力的若干配套机制,并对我国的相应机制之不足进行了检讨,从职责强化、手段保障、制度重构、责任落实等方面提出借鉴和完善的构想。本章内容无论从逻辑思路的创新、论述视角的选择还是异域制度的启示而言,均具有开创性的积极意义:(1)职责强化方面,针对我国公证机构告知义务的形式化,提出将大陆法系各国公证人的“释明义务”与“公示义务”契入我国公证立法中以明晰和强化公证机构机构的职责与义务。(2)手段保障方面,针对我国公证机构审查核实手段之不足,在概括介绍大陆法系各国实质审查手段的基础上,提出重新赋予公证机构调查权的设想,而只有实现调查权的应然回归,方才有利于从实质上保障公证证据的“真实性”、“合法性”。(3)制度重构方面,对两大法系证据制度体系中表现的“典型”和“非典型”的书证优先主义进行了比较分析,并针对目前我国实践中普遍存在的公证书证据效力优势被功利主义的“投机行为”所滥用和异化、而相关证据制度却陷入无力应对、无计可施的尴尬现状,独辟蹊径从“书证优先主义”的精髓中寻求答案,提出在我国现行证据规范所体现的“有限的书证优先主义”中可适度借鉴和吸收“书证优先主义”的合理内容,细化我国相关证据规范,完善我国公证书证据效力优势的法律保障,将公证书证据效力被异化的问题消解在证据制度体系框架内。(4)责任落实方面,针对公证实务中当事人弄虚作假骗取公证书现象愈演愈烈而相关责任追究机制却尚付阙如的情形,结合最新司法解释对公证当事人以及其他个人或者组织的过错责任追究问题进行了抛砖引玉式的探讨。结语部分对正文内容中涉及的主要观点进行了提炼和概括,对我国公证法定证据效力的理论研究、立法规范和实务运作中所存在的诸多问题及其应对措施进行了综合性的归纳和总结。
[Abstract]:Evidence is the key to litigation. Who has obtained the most critical evidence under the evidence rule of "who advocates, who raises evidence", who has mastered the "winning magic weapon" to determine the success or failure of the lawsuit. As a kind of evidence with a higher level of effectiveness, the notary documents have been playing a very important role in the system of evidence system in various countries. Civil Procedure Law > sixty-ninth articles on "legal facts and documents which have been proved by legal procedure, the people's court should be the basis for the identification of facts", especially highlighting and emphasizing the high level and strong effect of the evidence force of notarization. In the light of this, in the judicial practice, the evidence is fixed by notarization and the evidence is strengthened. The rate of evidence has become one of the important ways to make full use of the judicial resources of the public notary system. Especially in recent years, with the rapid development of the Internet and electronic commerce, the evidence also presents a trend of information. Electronic data based on computers and networks play a more and more important role in proving the facts of the case. In 2012, China was repaired. The "law of civil procedure" is also adapted to the need for new evidence of "electronic data", and the "openness" of the existence of "electronic data", the characteristics of "variability", the extraction of evidence, the testing of the work of fixation and preservation, and the statutory function of the state for the independent exercise of the state's function of proof in accordance with the law. The institution is responsible for proving legal acts, the authenticity of legal documents and facts, the legal duties of legality, and the ability to confirm and solidify various legal acts, legal documents and legal facts with their functional activities, and to meet the demands of people's evidence with their credibility and public validity. According to the promotion of cognition and the increase of demand, the application of notarial evidence in social life is becoming more and more widespread and more and more widespread. The operation mechanism of the validity of notarial evidence and the value of the notarial system are more and more concerned. It is obviously realistic to discuss the problem of the validity of the notary evidence in this context of the times. The necessity, especially for alleviating the difficult problem in the judicial practice - the difficulty of proving evidence and obtaining evidence is of direct significance. In our country, because the reconstruction and development time of the restoration and development of modern notarization is not long, "the history of modern Notarization" is too short, which inevitably exposes such problems: the whole society has not yet generally nurture "Notarization" Consciousness, the value of notarization is not yet fully recognized and accepted by the public; the academic circles rarely involve in the field of notarization, and the discussion of the theory of notarization is seriously inadequate; the improper exaggeration and misleading of the media to notarization cases have exaggerated the negative effects of notarization, and have had a negative effect on the value of notarization, making it the original "prevention and correction". In addition to the immature and unthorough reform of the notary industry, the common people in the society have produced excessively extreme "polarization" cognitive misunderstandings on Notarization: one is the "Notarization theory", and the notarization is a simple stamp. In order to collect money, the notarization is lacking in public trust and public validity. It can be overthrown and denied at will. What are the essential elements of the validity of the evidence? What is the inherent mechanism of the evidence? What is the difference between the validity of the evidence and the effect of other evidence, and what is the advantage? How should the evidence effect and the relief when the notarization is defective? What is the present situation of the application of the evidence effectiveness of the public certificate in China? What are the outstanding problems that need to be solved? What are the shortcomings of the current countermeasures? How to improve the practical value of the evidence effectiveness from the system can be truly released and fully played, and respond to the wide and diverse needs of the modern market. All these questions show that the legal evidence effectiveness of the notarization is indeed a topic of great practical value, and it is more convincing to take practical investigation methods than purely theoretical deduction. Therefore, the author tries to make a breakthrough in theory and carry out a wide range of field investigations, supplemented by practical investigation. According to the actual practical examples, we should strengthen the "pragmatism" and "convincing force" of the theoretical discussion, and through theoretical and practical investigation to analyze, think and solve the above problems in order to bridge the alienation and gaps between the deserved value and the real value of the evidence effect of notarization, so that it can better serve the demand of the market subject. Of course, the combination of theoretical and empirical research, of course, is the same as the basic logic framework of the thesis, and also the dual significance of the issue of the validity of notary evidence in theoretical and practical guidance. In particular, the thesis is composed of seven parts, five chapters and conclusion. A part of the basic content and its innovation points are summarized as follows: the introduction, in combination with the spirit of the the third Plenary Session of the 14th CPC Central Committee, leads to the issue of the legal effect of notarization from a macro institutional perspective, and the value of the value of the most basic legal evidence effect in the system of notarial validity in Chen Ming's study and its practical significance. Chapter 1 notarization of legal evidence First of all, the paper recombed and discriminated some very confusing concepts involved in the validity of the definite evidence of the notary calligraphy, and then introduced the provisions on the evidence effect of the notarization by the countries or regions of the two legal systems, and analyzed the disputes on the validity of the notary calligraphy in the theoretical and practical circles of our country. This chapter makes a new summary and summary of the nature and characteristics of notarial certificate. The innovation of this chapter is that in the notary industry, it first put forward the direct result and the written carrier of the notary book as a notarial proof function. Its effectiveness is the bearing and embodiment of the existence value of the notary system. It is the public trust of the notary system and the public validity is on the paper. It is necessary to consider the legal effect of the notarization as a comprehensive value system with a strong practical character, and reexamine some basic theoretical problems of the evidence effect of the notary book in the framework of such a value system, including the evidence effectiveness of the notarization, the evidence effect of the certificate, the proof of the notarization. The legal effect has been dialectically analyzed. It points out the lack and deficiency of many controversial views on the validity of the evidence of notarization, and further puts forward the fact that the evidence proved by the notarial evidence should be taken as an independent "exemption" on the basis of a comparative analysis of the theories of "judicial cognition", "presumption", "free fact theory" and so on. The second chapter is an investigation. The basic, most important and most common effect of the legal evidence is the backbone of the system of the validity of the notary book. The paper is not limited to the interpretation of the validity of the evidence in the notarization, but a superficial understanding, but a foothold. In the present legislation and theoretically the connotation of the validity of the legal evidence is explained in depth. First, the evidence ability and proof are expounded in accordance with the general jurisprudence of the evidence, and then the advantages of the evidence effect of the notarization are highlighted and emphasized in the comparison of the notarization and other evidence. As an example, the representative certificate of preservation evidence shows the special advantages of the evidence effect of the notary book. On this basis, it further inquired into the internal mechanism and external institutional support of the evidence advantage of notarization. The innovation of this chapter lies in the research on the validity of the fixed evidence in notarial calligraphy in the notary industry. In the first time, from "quality" and "quantity", the paper analyzes the evidence ability and proof of the notarization book as a documentary evidence. The first time it distinguishes the dispose of the public notarization and the report of the public notarization, the formal proof and the substantial proof are respectively expounded. It is also the first time from the legitimacy of the subject of notarization, the legality of the scope of the object of notarization, the specificity of the multiple functions of notarization, the standardization of the procedure of notary practice, the security of the remedy mechanism of the false evidence and so on. The third chapter is the evidence of the evidence of the notarization. This chapter expounds the review and identification of notarial evidence in the judicial practice of various countries, and makes a more comprehensive discussion on the constituent elements of the evidence validity of the notarization and the scale assurance of the various elements, and classifies the expression form and its corresponding effectiveness of the defective notarization, which is solved for the later analysis. The innovation of this chapter is the first time from the point of view of the validity of the evidence from the perspective of the notarization, the connotation of "true and legitimate", which is different from the traditional, according to the characteristics of the public testimony and the latest judicial interpretation. There is a personal thought and opinion, that is, the implied meaning of "truth" and "legality" is actually more rich, more specific, more broad and deeper than "literal expression", which includes not only the truth, legitimacy but also the authenticity of the subject matter of the parties, which includes the true, legal, and the truth of the parties to start the notarization procedure. The law, including the authenticity, legitimacy and full of the evidence provided, also includes the authenticity and legality of the notarization itself, which is extended to reflect on the scale problem of "true and legitimate" with the weight of "excluding reasonable doubt" as the weight, and suggests that the value concept of the practical needs should be fit into the "true, legal". In the modern examination, it distinguishes the authenticity standard of "two yuan" and reexamines the "boundary" problem of legality. In the fourth chapter, the present situation and existing problems of the application of notarial evidence in China. This chapter investigates the present situation of the use of notarial evidence in practice through empirical research, and uses data statistics and examples. The method of analysis reflects and presents the "real state" of the validity of the evidence of the notarization, and combs and sums up the prominent problems that exist in the normal state of the effectiveness of the proof of evidence. It not only responds to the rich material and enriches the theoretical evidence of the previous text, but also leads the future to the future. In this chapter, the innovation of this chapter lies in the following innovations: first, the present situation of the application of the evidence effect of the notarization from the non litigation and litigation field, which reflects the misuse of the legal evidence encountered in the practical use of the notarization. And all kinds of misunderstandings are summed up as cognitive errors, defect disputes, dissimilation use and fraud, and the lack and deficiency of our current countermeasures are pointed out. At the same time, the Commission, succession, will, abandonment of the succession statement, the property gift, the property purchase, and the deficiency of the current countermeasures in our country are pointed out. In order to help people from all walks of life to correctly recognize and treat the validity of notarial evidence and its practical value, the fifth chapter is to solve the problem of practical application of notarial evidence. This chapter starts from a pragmatic perspective. This paper examines some supporting mechanisms for guaranteeing the effectiveness of notarial evidence in civil law countries under the operation mode of strong notary system.
【学位授予单位】：西南政法大学
【学位级别】：博士
【学位授予年份】：2015
【分类号】：D926.6

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