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This article comes from "CaiJing" magazine May 26, 2013

Judicial corruption is more than a matter of ethics and oversight, and the 200 cases making up this report primarily analyze the special characteristics of judicial corruption, the groups at high risk, the areas for power-leasing, the judicial ecology and more. 而治理法官腐败的痼疾,亟待推进司法体制改革及政治体制改革,以消除体制性障碍

Within this collection of 200 cases of judicial corruption are both the once powerful and high-positioned such as the former vice-president of the Supreme People's Court, Huang Songyou, and the former vice-president of the Jiang County court in Shanxi Province, who was playfully called "the thrice blind court president", Tiao Xiaohong; but also unremarkable others who abused the powers of their office such as Assistant Judge Lin Daocong of the Xiamen Municpal court , Kaiyuan District (see appendix for details). 因涉腐败,他们同被收录在这份报告中。

Judicial Corruption as indicated in this report follows the definition of Transparency International, the non-governmental organization committed to monitoring global corruption ; based on the idea that corruption is the abuse of public power for personal gain, they designate "all improper influences on fair judicial procedures by any member of the court system" as judicial corruption.

However, this report concentrates only on judges among those in the court system. 美国法学家德沃金有一句名言,“法律是帝国的首都,法官是帝国的王侯。 ”这是对法律权威、法官地位的高度赞美。 据最高法院官方网站,全国法院目前共30余万干警,法官19万余人。 他们手握审判权、执行权,是社会公平正义的最后一道守护者。

The sample of 200 people collects some of the judges who were pursued for criminal responsibility between 1995-2013, with only a few exceptions (expulsion from the Party). 他们的案情见于司法文书、官方通报和媒体报道,覆盖除西藏、港澳以外的31个省(市、自治区)的全国四级法院,位于金字塔顶端的最高法院亦不能超然于外,级别最高者是黄松有。

The areas for their power leasing are concentrated in enforcement, civil commercial matters and criminal judgments, and court infrastructure. 样本中,地方高级法院和中级法院法官各为35人、69人,分别占样本总数17.5%和34.5%,可谓法官腐败重灾区(见图一)。

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Similary, each level court's 'top dog' is at high risk for corruption. 200人的样本中,各级法院原院长、副院长分别是41人、43人,共占样本总数的42%(见图二)。 其中,地方高级法院和最高法院的原院长、副院长14人。

It must be explained that due to limits in judicial openness, this sample only contains cases of judges being terminated that are available through public channels and does not meet statistical requirements for total sample size or diversity. 目前,最高法院正在建立中国裁判文书网,据《财经》记者了解,2013年内有望开通运行,不过公开程度、范围有待观察。

It is difficult to assess the overall situation of judicial corruption. 法官腐败的人数,散见于最高法院历年工作报告,但因为并无统一的统计口径,难以计算较长时间跨度的总和(见图四)。

According to the Supreme People's Court's work report for 1988-1992, 138 cadres were released for disciplinary violations (including 32 adjudicators) and 157 persons received criminal punishments (including 44 adjudicators). 1993年-1997年,全国法院共有376人被追究刑事责任。 1998年的数字飙升,显示为近年最高峰值。 当年全国法院共对2512名违法违纪的法官和其他工作人员作出严肃处理,其中法院工作人员被行政处分和党纪处分的分别是1654人和637人,221人被追究刑事责任,被追究刑责的人数是前十年总和的四成。

The important background is that in the year prior, the 15th people's congress has made 'governance by law' the basic strategy of national governance, and also put forward the promotion of judicial reform. 三个月后,全国政法工作会议提出保证司法机关严格执法。 1998年,按照中央政法委的统一部署,法院系统开展队伍集中教育整顿,以清除司法人员腐败。 当时中央政法委提出的“四条禁令”沿用至今。

In March of the next year, the Supreme People's Court use 1/3 of it's work report recounting the circumstances of the rectifictions, saying that issues prominently present in: 1) handling cases based on relationships, sentiment or money, even soliciting and accepting bribes or twisting the law for personal gain; 2) Unlawful sealing or seizure of assets, unlawful case handling and unlawful enforcement; 3) participation in local protectionism, favoring local parties, and infringing the lawful rights and interests rights of non-local parties; 4) unlawfully violating judgment discipline, revealing judgment secrets, referring cases to lawyers, recommending lawyers to parties, and finding profit in cases; 5) Randomly taking fees such as randomly accepting sponsorships or disorganized management of court fees. 这基本概述了法官贪腐的主要情形。

The regulation of adjudicators' professional conduct and establishment of institutional systems that increase court's internal oversight and restraint begins with this. 1998年,最高法院制定《人民法院审判人员违法审判责任追究办法(试行)》和《人民法院审判纪律处分办法(试行)》。

In response, the second session of the ninth national people's Congress's <Resolution on the Supreme People's Court's Work Report" put forward that "we will get a handle on court personnel set up and continue to eliminate the phenomenon of judicial corruption." ”中共中央下发《关于进一步加强政法干部队伍建设的决定》,要求加强政法干部队伍的监督管理,推进政法干部队伍的正规化、法制化等。

In 1999, the Supreme Court opened the curtain for sustainable judicial reform by issuing the first 5-year plan for judicial reform (1999-2003).

Reform is imperative. 伴随社会主义市场经济体制的逐步建立,社会经济关系和利益格局发生变化,新旧矛盾交织,各类案件大幅攀升,新类型案件增多。 执法环境复杂,给法院工作带来挑战,法院队伍暴露出不少问题。 据统计,1988年至1998年,法院受理的案件从165万件增加到588万件。

The Supreme Court addressed the background for reform said that the court management system and trial work mechanisms still can not fully adapt to the changing situation and that it is difficult to fairly resolve a large number of the cases that are filed in the courts.

The system for management of judges mainly refers to judicial selection, training, security, rewards and punishment and the like. 1954年的《法院组织法》,确立了法官的选任制度。 1978年,中共十一届三中全会提出健全社会主义法制。 法院步入重建和迅速发展时期,法官队伍急剧扩张,复转军人、教师、乡村干部进入法院。 1983年的《法院组织法》,要求审判人员“必须具有法律专业知识”。 1995年,《法官法》颁布,首次明确规定法官的任职条件、程序等。

But for a long time, the management of Chinese judges has followed an administrative management model for judicial administration and this treatment of the judiciary has been repeatedly criticized. 2005年《公务员法》明确将法官、检察官纳入公务员范围。 自1949年以来,法院的财政经费经历了中央财政统一负担、中央财政和同级财政共同负担到“分级管理,分级负担”。 基于人事和财政对地方的依赖,司法中的地方保护主义产生、泛滥,司法的地方化成为司法的一大弊端。

"Only through reform and the gradual establishment of mechanisms for independent and fair trials in accordance with law can the needs of the development of the socialist market economy and the construction of the democratic legal system be accomodated. ”最高法院称。

The effectiveness of the first round of judicial reform is visible. 仅在廉政建设上,1998年到2002年,法院违法违纪人数逐年减少,从所占法院人员的6.7‰下降到2‰。 2003年全年查处违法违纪法官794人,468人利用审判权和执行权贪赃枉法、徇私舞弊,其中52人因滥用审判权、执行权被究刑责。 同期,广东省高级法院原院长麦崇楷、辽宁省高级法院原院长田凤岐落马。

In the last decade, the central government has initiated two rounds of large scale judicial reforms and the SPC has released its second and third 5-year reform plans . 继续改革和加强法院内部监督和接受外部监督的各项制度,完善对审判权、执行权、管理权运行的监督机制,保持司法廉洁;落实依法公开的原则;提高审判、执行的透明度;优化法院职权配置;改革经费保障体制,建立“分类负担、收支脱钩、全额保障”的司法机关经费保障体制。

The number of judges investigated for disciplinary violations has dropped further with each 5 year cycle. 2007年利用审判权和执行权贪赃枉法、徇私舞弊的有218人,比2003年下降53.42%。 2008年至2011年,法院分别查处的各类违纪违法人员曲线下降,分别是712人、795人、783人、519人。 这一时期,黄松有落马,广西壮族自治区高级法院原副院长欧绍轩、宁夏回族自治区高级法院原副院长马彦生、重庆市高级法院原副院长张等落马。

In view of the realities of social and judicial transformation, judicial corruption may be unavoidable, and is not so different in form from corruption in the overall system of government workers so as to stand out . 当前中国面临腐败问题“越演越烈”的情势,党政机关、行政执法部门、司法部门的工作人员均是重点反腐对象。 30多年来的反腐表明,经济体制改革与政治体制改革不同步所拉开的缝隙,正是腐败滋生蔓延并得以易发多发的生存空间。 但作为公平正义的最后一道防线,法官腐败更重要的是伤及社会公平正义、司法权威。

In November 2012, at the national symposium on court discipline inspection and supervision work, the Supreme Court party committee member and Central discipline inspection committee team leader in residence at the SPC diciplinary group, Zhang Jiannan, emphasized minimizing the likelihood of corruption in the judiciary.

Zhou Qiang, the new President of the Supreme Court had repeatedly publicly stressed the "fair administration of justice," and put forward taking hold of team construction with the momentum of"stepping on stones leaves a print, grabbing iron leaves a scar."

Objectively speaking, in recent years, courts at every level have optimized the configuration of judicial authority optimized to emphasize the separation and balance of powers, to place weight on ethics education, and to increase the power of investigations judges who violate laws or discipline, and to build an increasingly thick barriers to divide governmental branches. 此外,监督机制增多,检察机关的监督扩至民事、行政、执行活动中,纪检监察对法官渎职行为的监督虽然有限但在加强。 不过,仅有这些,只能解决机制性的问题,不足以实现期待中的司法廉洁。

With the help of this limited sample, the report primarily analyzes the special characteristics of judicial corruption, the groups at high-risk, the principal areas for power-leasing and unhealthy influences in the judicial ecology such as 'litigation brokers'. 报告表明,法官腐败并非单纯的道德和监督问题。 虽然法官贪腐的个案时常挑动公众的神经,引发公众热议、痛恨,但对法官贪腐的实质、土壤及背后的权力运行机制并不能深切体察。

During China's present transition period , judicial authoritativeness and credibility still need to be cultivated, and this report hopes to put forward more rational observations and constructive comments on judicial corruption.

Report 1: The special characteristics of judicial corruption

(1) Cases of goup corruption "dens" and "chains" are on the rise

Corruption can be divided into individual corruption and group corruption on the basis of their scale of the corrupt body - cases of corruption "dens" and "chains" are typical styles of group corruption. 因早年的法官腐败案例收集难度较大,200人的样本中,除5人查处时间不详,仅有14人的查处时间分布在1995年至2000年间。 1998年受审的河北省张家口市桥西区法院院长程贵卿、张家口市中级法院经一庭副庭长王胜国案是样本中那六年唯一的腐败串案。

According to media reports of that year, this was Hebei's largest single case of judicial corruption , and Central leaders followed this case of three levels of judges accepting bribes extremely closely, and several leaders indicated it should be dealt with severely.

Upon verification of the evidence, two interdependently employed persons involved in a commercial lease dispute paid bribes in excess of 38000 RMB over a 4 year period, with 9 judges involved in accepting the payments (The case of Hebei High Court appellate adjudicator, Liu Mo was handled separately) and 3 judicial enforcement officers. 最终,程贵卿和王胜国分别被判缓刑。

Five years later in 2002, investigation of bribery at the Wuhan City intermediate court case continued, becoming a "corruption den" case involving 13 judges and 44 lawyers. 在级别上,包括时任武汉市中级法院常务副院长柯昌信、副院长胡昌尤及副庭长3名。 数额上,柯昌信收受贿赂68.2万元、
$9000 USD, and 10,000 HKD; he was given 13 years at the first instance trial.

Another five years later in 2008, the discharge Guangdong Provincial High Court Executive Board Director, Yang Xiancai, was given indefinite imprisonment for accepting more than 11,830,000 RMB in bribes and also having another 16,940,000 RMB of property for which he could not explain the origin. 此案串连出黄松有及多名法官,黄最后被判无期。

The sample shows that over the past 13 years group corruption den or chain cases were increasingly common, as in cases such as the Fuyang Intermediate Court, The Shenzhen Intermediate Court and the Shenyang Intermediate Court 另外,2011年,宁夏回族自治区高级法院原副院长马彦生落马,后因受贿罪获刑13年。 该案涉及自治区三级法院18名干警,其中2人被追究刑责,2人被开除党籍,14人被调离法院。

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Judicial corruption den cases and chain cases receive wide attention because they implicate more people, involve higher levels, are complex and have a deleterious effect. 2004年,湖北省检察院工作人员曾撰写调查报告,分析当时湖北出现的法官职务犯罪问题指出,40%的法官职务犯罪案件,都是共同犯罪或相互牵连的串案。

Associate Professor Liu Linna, a researcher of crimes of abuse of public office at the National Procuratorate College, told Caijing reporters that other than institutional factors, this is related to unchecked leaders in courts becoming ground zero for corruption, and litigation brokers stoking the fires from within. 受腐败次文化的影响,集体受贿的可能性增多,将贪腐“合理化”。

(2) The capacity for countering investigations is strong, and the difficulty of conducting ivestigations great.

The 200 person sample includes corrupt judges from every level of court. 他们当中虽有“三盲院长”姚晓红,但多数人精通法律,这是他们与其他腐败群体的一大不同。

Of these 200 people, there are a total of 84 court presidents or vice presidents from all levels of courts. 统计其各自犯罪时间跨度,除12人信息不详,犯罪时间跨度三年以下(含三年)的有25人,约占84人的30%;犯罪时间跨度四年至八年的26人,约占31%;犯罪时间超过八年的有11人,约占13%。 如果再考虑被查处的时间,周期更长。 其案发多因举报或他案牵连。

Liu Linna feels that there are undetected crimes of judicial corruption because judicial personnel are versed in the law, and are capable of resisting investigation,; their corruption often is through abuse of judicial discretion and extremely well concealed making it very difficult to detect.

Judges' misuse of "discretion" to commit crimes is the most covert form of corruption. 北京大学法学院教授陈兴良将法官的“自由裁量权”解释为:“在法律没有规定或规定有缺陷时,法官根据法律授予的职权,在有限范围内按照公正原则处理案件的权力。 "

Once a judge accepts the temptations of sentiment and cash to use the flexibility of discretionary power to admit or prepare evidence favorable to one side at trial so as to seek a benefit, it comprises an "abuse of discretion". 法律问题具有专业性、复杂性,利益受损的当事人难以发现,如有人对案件进行监督质疑,滥用者会解释称对案件事实的认识、对法律的理解不同。

Therefore it is not difficult to understand, that among the 72 court presidents and vice-presidents whose cases can be reviewed, there are 37 whose crimes continued for four years or more.

The second division of the Beijing Municipal procuratorate investigated the corruption case of former Hunan High Court President Wu Chenghan. 该院检察官接受媒体采访时曾分析,司法腐败案件犯罪存在“超隐蔽性”。 以受吴振汉干扰的案件为例,他多采取在当事人提交的书面材料上批示“依法处理”。 参与审理的法官,看他在哪方的书面材料上批示便心领神会。 当法院内部对案件有不同意见时,吴会“指点”请托的当事人去找人大代表,以人大代表行使质询权、询问权的方式为其意见争得支持。

Some judge and parties to a case form "coalitionsof interests" also making it more difficult to investigate the case. 广东省茂名市茂港区法院原院长严得,因贪污、受贿、挪用公款、包庇纵容黑社会性质组织、民事枉法裁判罪五罪并罚,获刑死缓。 这可谓法官中被控罪名最多的案例之一,其被认定伙同他人贪污公款797万余元、挪用公款911万余元。

It all began with a 2005 case of conspiring to misappropriate case funds, in which a business man named Mr. Liang was unable to finish a building project due to financial difficulties, and his partner Mr. Xiang, hoping to take over the project, sought out Judge Yan De, who suggested that he file a malicious groundless lawsuit against Liang. 向某胜诉后,严以支付部分款项给梁某为由扣下300万元诉讼保证金。 随后,严找到梁某,让梁某写收款收据交给法院平账,与正在为资金发愁的梁某一拍即合,两人共同侵吞案款287万元。 直至2010年,严得才因包庇黑社会性质组织在“打黑”中落马。

Report II: Personnel at high-risk for corruption.

(1) Distinguishing on the basis of court level: Intermediate and High Courts are the greatest cause for concern

The sample of 200 corrupt judges covers all four levels of court in 31 provinces (cities, or autonomous regions) excluding Hong Kong, Macao and Tibet, but excluding specialized courts such as military and maritime courts.

Differentiating by court level, statistics make clear that violators at the basic court level stand at 46% of the sample with a total of 92 persons. 一因数据不透明,二因部分基层法院法官的贪腐不具有典型性未进入媒体报道视野和官方警示教育案例,这个比例与实际情况应有差距。 最高法院在2000年的工作报告中提及,“80%的审判人员工作在基层,但80%的违法违纪行为也发生在基层。 "

Data from the sample indicates, the intermediate courts have already become ground zero for corruption, and intermediate courts have discharged 69 persons, 34% of those in the sample. 样本中的重点地域有:深圳、沈阳、长沙、衡阳、武汉、阜阳等地。

There are four levels of Chinese courts, the supreme court and local courts at the high, intermediate, and basic levels. 中级法院处于承上启下的位置。 四级法院两审终审制的审判体系,使中级法院承担了大量的二审上诉案件和辖区内重大疑难案件的一审,审判覆盖面和接触面较为广泛。

There are 35 discharged high court judges in the sample, comprising 17.5%. 高级法院承担的是重大疑难案件的一审和从中级法院上诉而来的案件二审,诉讼标的额巨大。

Vigilance against corruption in the intermediate and high courts is needed. 据统计,全国共32个高级法院(含1个解放军军事法院)、409个中级法院、3117个基层法院。 高级法院有7000余名法官,中级法院有3.6万余名法官,基层法院有14.6万余名。 对应这组数据,地方中、高级法院的腐败堪忧。

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In Peking University Law School Professor Zhu Suli's view, the current jurisdiction by level for civil and commercial cases promotes judicial unfairness or even judicial corruption. 诉讼标的的金额越大,当事人各方就越有动力采取一切合法的、边际的和虽然违法但很难查处的手段,同法官预先建立各种对己有利的关系。

The Supreme Court has had 4 people discharged, with former court vice-president Huang Songyou at the top of the list, making him the highest ranking official to be forced to step down since the nation's establishment.

The distribution of the discharged judges discussed above is in-line with the pyramid structure of Chinese courts. 最高法院高居金字塔之顶,是案件审理的最后一道“关口”,其人数和案件数量最少。

Because the current system of courts results in a decentralization of judicial power and a weakening of oversight, there have been calls to reform the four-tiered court system, and system of two trials before final judgement. 朱苏力教授建议,废除级别管辖,除极少数案件由中级法院初审外,其余案件原则上应当由基层法院管辖。 其次,实行三审终审制,二审兼顾事实审和法律审,三审为最后上诉审;最高法院则可以对高级法院审理终结仍然提出上诉的案件有裁量性的上诉管辖权。

(2) Distinguishing according to duties: Court Presidents as a High Risk Population

In the 200 person sample, there are 41 and 43 former court presidents and vice presidents from all levels of court, for a total of 84 persons or 42% of the sample, fast approaching half the sample. 84人中有受贿行为的达82%(见图三)。

This includes 13 local high court presidents and vice-presidents. 另外,业务庭庭长和副庭长(包括执行庭)60人,执行局局长或副局长12人(有3人为副院长兼执行局局长未算入此列)。

The ratio of leadership discharges in the sample might be greater than in reality, but court it is a reality that the corruption rate of court judges is quite high. 2009年3月,张建南在分析法院人员违纪违法的特点时称,法院领导干部违纪违法的案件居高不下,2008年全国法院副庭长以上领导干部违纪违法人数约占违纪违法总数的41%。 2011年,张建南对外称,法院领导干部违纪违法的案件依旧比率偏高。

The sample evidences that because court presidents "hold all the cards" in the court, corruption cases concentrate around their agreeing to disrupt a case's judgment or enforcement, to engage in power-leasing or trading; or to manipulate court personnel and infrastructure decisions. 副院长案发,多因在其分管领域内过度“插手”,庭长和执行负责人的贪腐更是如此。

The specific professional responsibilities of court presidents and chief judges are not clearly provided for by law, but in practice, court presidents in courts of all levels comprehensively manage the entire court's administrative work. Although they are judges, they are largely separated from adjudication work, but do preside over the adjudication committee in researching and discussing challenging or complicated cases and other major issues, and their comments are often dispositive even though a small number of court presidents don't have any expert knowledge.

In the view of Peking University Law School professor He Weifang, this is relevant to the over-powering of court presidents and chief judges and the interference in specific cases. 院长、庭长既属于审判人员,又是管理者,具有审判权和行政管理权,但两者界限不明,有行政权力的人易成为“寻租”
exceeding their authority to interfere with case handling.

In the Wuhan City Intermediate Court corruption den case, a Judge Liu accepted bribes 23 times, 12 of which were accepted jointly with court vice-president Wang, chief judges Zhou and Gao, as well other judges Ju and Li; as well as jointly accepting bribes 7 times with Zhou. 有的主审法官受贿后还把贿赂带回去分给其他承办人、审判长、庭长、分管副院长。

The high court of Guandong province's enforcement bureau chief, Yang Jiancai was sentenced to life in prison for accepting bribes and having received assets from an unclear source. 杨贤才案的司法材料中可多处看到他对相关案件的批示。 如2003年张炳光申请执行富恒地产有限公司案中,杨收受30万港元接受张的请托,先后批示将案件指定到广州市黄埔区法院、佛山市中级法院执行。

The former president of Shenyang City Intermediate Court, Jia Yongxiang, was sentenced to indefinite imprisonment for for accepting bribes, embezzlement, misappropriation of public funds and receiving large amounts of property from unidentified sources. 他在忏悔中说,自当上院长,权力越来越大,监督越来越少,感觉“当上‘一把手’就像进了保险箱”,陷入“法律的盲区”。

He Weifang feels that behind the corruption of court presidents and chief judges is the flawed practice of making the court system administrative and the bureaucratization of the judicial profession. 院长庭长脱离审判岗位,但对案件进行审批背离了司法规律。 这使得法官没有真正的决策权,加剧法官本身的腐败倾向,并弱化法官的责任心使其疏于职守,不严格依照法律判决和执行,而是以领导意志代替法律。

The Law on Judges promulgated in 1995 for the first time provided for the division of judicial levels but had no supporting system and did not make any firm connection between judicial levels, politics and economic benefits. 对法官的管理,套用的是行政机关公务员的管理模式,法官的职务序列依次是院长、副院长、审判委员会委员、庭长、副庭长、审判员和助理审判员。 在不少法院,案件的立案、审理都需向庭长汇报,重大疑难案件报院长审批,这强化了法院审判管理的行政化和法官职业的官僚化。

In this regard, the Supreme Court is also encourages and requires court presidents and chief judges to directly participate in the collegial panels to handle cases, attenuating the court presidents and chief judges use administrative means to carry our their roles. 上世纪90年代的审判方式改革,增加合议庭职权,意在限制院长庭长审批案件。 第二轮法院改革提出,强化院长、副院长、庭长、副庭长的审判职责,明确其审判管理职责和政务管理职责;建立法官依法独立判案责任制,强化合议庭和独任法官的审判职责,“逐步实现合议庭、独任法官负责制”。 但是在现有的体制框架下,这些举措收效有限。

Regulation of the coordination, examination and approval of cases by the court leadership has been needed for a long time. 2009年和2011年,最高法院相继出台《关于“五个严禁”的规定》和《关于在审判工作中防止法院内部人员干扰办案的若干规定》等制度,明确领导干部非因履行职责,不得过问他人办理的案件,不得向审判组织和审判人员批转涉案材料。

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In 2013, during the nation' "two sessions" , Jiangsu Province High Court president, Xu Fei, suggested watering down the administrative model of managing judges and establishing a pattern suited to the work of adjudication and suited to the special characteristics of courts and the judicial profession.

In practice, further steps must be taken to make the scope of court leaders', collegial panel's and presiding judges' authority, and to make clear the procedures by which leaders carry out trial management and the systems for oversight.

(3) Distinguishing on the basis of management: Implementation as a disaster area.

In the current period, violations of law or discipline is most prominent in the operation of the powers of adjudication and enforcement. 最高法院多次重申,“重点查处利用审判权、执行权贪赃枉法的人和事,坚决清除法官队伍中的害群之马,维护司法廉洁。 "

Looking to statistics from all the specialized courtrooms in the sample, there are 48 judges in the enforcement area, 18 judges from the civil court and economic courts, 15 judges from criminal adjudication, and 5 judges from the case filing room.

Of the 84 court presidents and vice presidents, 41 are presidents of a local court at some level. 43名副院长中分管业务有据可查的是29人,其中分管执行的有15人,负责民事审判、经济庭、破产评估清算、破产仲裁的有9人,分管刑事审判的有9人,3人负责审判监督(由院长分管两类以上业务)。

据此,执行领域落马人员共63人,占可查样本人群的31.5%,是腐败易发、高发的群体。 如最高法院执行办原审判员张甫旗、广东省高级法院执行局原局长杨贤才、四川省高级法院执行局原局长罗书平、吉林省高级法院执行庭李征达等,罪名多集中在受贿、滥用职权、挪用公款等。

Secondly are civil commercial trials and criminal trials, but the number in these two areas is far below that of enforcement. 因中国实行的是大民事审判格局,各地名目不一,商事和经济审判也多划入民庭,在分析时统称为民商事审判。

This top-to-bottom order is in line with the analysis of lawyer Xuan Dong of the Kyoto Law firm, 宣东在转为律师之前拥有26年审判工作经历。 据其分析,执行事关财产利益,执行人员的权力太大,执行工作主动与否、执行款能否及时发放、多个债权人参与分配执行标的时的分配、执行中的委托拍卖评估,都给腐败留下空间。

而民商案件数量多、事实和适用法律复杂,且案件标的额较大,审判人员有较大空间的自由裁量权。 另外,法官与社会有广泛的接触面。 “中国还处在熟人社会,法官还不能超脱于人情世故,会出现案件一进门,双方都托人追求利益最大化。 ”宣东说。

利用刑事审判犯罪的比率虽然较低,但同案不同判,法官卖刑、违法减刑假释时有发生。 海南省高级法院刑事审判庭原审判员陈陆健,在主审吴志卿贩毒上诉案中,先后两次收受吴的亲属15万元和手机一部,在主持合议庭时作出对吴由死刑改判无期徒刑的审理意见。 因受贿,陈陆健获判八年。

立案人员以权谋私、权钱交易亦在样本中有所体现,如辽宁省抚顺市中级法院立案一庭原审判员高峰案中,律师刘某试图制造假案以帮助当事人获取驰名商标,为打通立案环节,每个案件允诺给高峰5万元,将六起案件30万元“立案费”打入高的账户。 近年来,多地多名法官与律师身陷驰名商标假案丑闻。

Report III: Key areas for power-leasing

(1) Auction evaluations and other enforcement scenarios

Corruption in the area of enforcement has been on the rise over the last few years. 2009年10月,时任最高法院院长王胜俊向全国人大常委会作报告时表示,“执行领域存在的消极腐败现象在司法不廉中占较大比例。 一些执行人员对自己要求不严,吃请受礼,办‘人情案、关系案、金钱案’。 "

在样本中,利用执行权或法院领导向执行人员打招呼,从而索贿受贿、徇私舞弊、违法执行、拖延办案的共53人(贪、挪执行款除外),占样本的26.5%。 他们的身份大多集中在执行庭负责人或执行员,部分是法院院长、副院长。


1.The unwritten rules of evaluation auctions.

In the process of enforcement, evaluation and bidding are major factors worth paying attention to and which facilitate major corruption cases. 因拍卖活动竞争不充分、程序上的不公开及背后蕴含的经济利益,使拍卖成为问题多发环节。

潜规则之一是,评估方、拍卖行为承揽业务,向法院人员行贿或者被索贿。 如乌鲁木齐铁路运输中级法院原院长杨志明超越职权,个人擅自决定收取巨额中介费用,将拍卖、作价业务指定给个别中介机构独揽,收受中介单位各类款项450余万元。

其次是法官与买受人、拍卖和评估人员串通,授意评估人员低价拍卖。 福建省漳州市芗城区法院执行局原副局长刘毅明,收受执行申请人好处后,滥用职权、违法采取强制执行措施,授意评估公司和拍卖行将价值605万元的地块以226万元拍卖给该申请人,致使被执行人遭受379万余元的重大经济损失。


样本中即有19人染指执行款,接近样本数的10%。 他们采取的方式多是执行款不入账私自截留、伪造或使用作废的协助划款通知书划账、以当事人名义冒领、伪造领款收条等。

如黄松有案中,被追溯贪污120万元的指控即涉及十年前的旧事。 1996年,广东省法官协会下文规定,广东省境内法院系统的拍卖业务都交给其下属的广东法建拍卖公司承拍。 1997年,湛江中院处理湛江中美化学工业有限公司破产案,需要拍卖大宗资产。 时任广东省高院院长麦崇楷出面希望由其子经营的广东粤法拍卖公司承拍,佣金大约1500万元。 经黄松有出面协调,最终商定由两家拍卖公司联合承拍。 拍卖完成后,其中的一半佣金,由黄松有主持的湛江中院党组决定,法院留下60%,其余40%给广东法建拍卖公司。 后者决定将其中的120万元给黄松有作为感谢费。




杨贤才案是典型的执行腐败弊案。 1996年至2008年间,其利用职务便利,先后接受12人的请托,在十多起执行案中提供帮助,收受贿赂1183万余元。

他最大的一笔受贿达600万港元,来自深圳大景源实业有限公司。 2001年下半年,该公司欲取得深圳市盛宝实业有限公司(下称盛宝公司)在福田一宗地产的使用权,法定代表人黎智华两次找杨打听案情,后与盛宝公司签订4500万元的虚假借款协议,得以介入这块土地的执行案。 随后,黎智华请求杨贤才将案件指定到惠州市中级法院执行,最终如愿拿到这块地的使用权。 另外,在执行案中,杨贤才还优先保障兑现请托人的债权、提出有利于请托人的执行意见等,利用执行权谋利。

This case arose from the Guangzhou Prudential Plaza. 杨贤才接受香港佳兆业集团控股有限公司董事长郭成请托,为该公司下属子公司收购中诚广场提供帮助,收受100万港元。 2008年,得知中纪委已介入调查中诚广场收购案,其恐事情败露又将钱退给郭的妹夫。

杨贤才案诠释了执行工作体制和执行运行机制的不完善。 杨贤才曾表示,“执行难”的一大因素是执行法院和法官面临“错综复杂的关系”,对此他提出提级执行、交叉执行、指定执行等举措,成为法院系统的“明星”。 2003年,广东省高级法院下发规定,该院可以对全省各级法院的执行案件指定执行,各中级法院可以对所辖基层法院的执行案件指定执行。 这使得广东省高级法院在指定执行上权力过大。 没有监督的权力必然导致腐败,杨贤才因此案发在多起案件的指定执行上。


传统的执行模式是一名执行员“包案到底”,执行启动、查控财产、处分财产、强制措施等所有环节均由一名执行员负责。 因为执行难的现状和执行权高度集中,又缺乏必要的监督和透明度,必然带来效率不高和执法不廉,执行乱。 1998年,最高法院发布司法解释,明确执行程序中重大事项的办理,应由三名以上执行员讨论,并报院长批准。

1999年,最高法院写就《关于解决人民法院“执行难”问题的报告》递交中共中央。 报告称截至1998年底,全国法院共积存未执行案件53万余件,标的金额总计1000多亿元。

“执行难”有多方面的因素:地方保护主义,有的地方和部门对一些企业“特殊”保护;法制观念淡薄;执法不严;法律规定不完善,在对执行人和执行程序的一些环节缺乏约束力。 另外,法院执行力量不足,部分人员素质不高,物质装备较差,是不可回避的客观因素。

3. The advantages and disadvantages of enforcement reform

As an important part of judicial reform, enforcement reform is pervasive.


在第二轮的改革中(2004年-2008年),深化执行权运行机制改革,裁执分离,建立执行案当事人和案外人申请复议等救济途径;建立全国法院执行案件信息管理系统,公开执行信息。 由于对执行款的制度管理一直缺位,2006年最高法院出台《关于执行款物管理工作的规定》(试行),明确各级法院财务部门应当开设执行款专户,对执行款实行专项管理、专款专付;对执行款的收付逐案登记并建立明细账;确需执行人员直接代收现金或者票据的,应当不少于两名执行人员在场。



2009年,最高法院出台《人民法院委托评估、拍卖和变卖工作的若干规定》,进一步规范、指导法院委托评估、拍卖和变卖工作,如规定法院在编制委托评估、拍卖机构名册时纪检、监察、审判、执行部门组成评审委员会,并可邀请评估、拍卖行业的专家参加评审。 机构随机选择、保留价征询当事人意见等。 但切断拍卖过程中的利益潜规则,彻底杜绝暗箱操作,不是一日之力。

在立法层面,以回应惩治执行腐败的呼声,2002年12月《刑法修正案(四)》增设执行判决、裁定失职罪和执行判决、裁定滥用职权罪。 样本显示,这两种罪名出现在2004年后案发的执行人员上。

鉴于执行腐败的现实,有专家学者认为,执行改革限于法院内部,更多停留在执行机制和改进工作方法的层面,建议取消法院的执行权纳入司法行政机构。 贺卫方则认为:“执行是行政事务,应该剥离出去,但谁来运行都有腐败的可能,监督是一大难题。 "

长期以来,对执行腐败的监督主要是依靠内部的纪检监察机构,但查处力度大打折扣。 此前,关于检察权是否可以监督执行在法律上界定不明,实践中认识不一,检察院遭遇监督尴尬。 1995年最高法院曾下发《关于对执行程序中的裁定的抗诉不予受理的批复》,对检察院关于民事执行裁定的抗诉不予受理。 直至2012年民事诉讼法修改后,明确检察院有权对民事执行活动进行监督,但监督的方法和程序还有待细化。


(2) self-serving judgments or arbitrary rulings

法院审判中的腐败,受损的不只是当事人或受害者的利益,更主要的是伤及司法正义和对法治的信心。 因此,利用审判权进行权权交易、权钱交易、权色交易、滥用职权、枉法裁判最易被公众痛恨。

统计样本表明,案情中涉及利用审判权办人情案、关系案、金钱案或者枉法裁判者约占样本的37%。 主要发生在立案环节,民商事案件和刑事案件的一审、二审甚至再审中。

在立案阶段,主要是三种情形:应予立案的不立,不该立案的立案,违法级别管辖立案。 如1999年,沈阳中级法院原副院长焦玫瑰应“黑老大”刘涌请托,对涉及刘涌利益的穆某诉沈阳市土地局一案不予立案,后变更案件管辖地。

刑事审判方面则表现为法官接受被告人家属或者律师请托,重罪轻判将刑期商品化或者违法办理取保、减刑假释。 例如在湖南,犯罪嫌疑人陈锡钟因参与贩卖、运输、制造甲基苯丙胺1599公斤被诉。 2003年9月,陈锡钟的家属请时任郴州市中级法院刑一庭副庭长黄孝光(后调入最高法院)帮忙,两方商议由陈家出500万元缴纳罚金和好处费。 2003年12月,该案移送审理,黄孝光担任主审人,将陈家愿缴纳罚金和贿赂的情况告诉该院时任副院长陈瑶云,后者表示同意。 后在刑庭和审判委员会研究此案时,陈瑶云发表了判处陈锡钟死缓的意见。 次年,陈锡钟获判死缓。 最高法院复核此案后,认为该案量刑失衡。 在此期间,黄孝光、陈瑶云先后四次收受200万元。

民商事审判谋取私利的情形较为复杂,包括接受请托后快审快判、久拖不判,或者在案件审理及诉前保全时接受请托或者索贿,偏袒一方损害另一方的利益,更有甚者接受双方当事人现金、吃请原被告通吃。 另外一种恶劣的情形,是帮助进行虚假诉讼。

梳理相关的制度建设,可发现《人民法院审判人员违法审判责任追究办法》《人民法院审判纪律处分办法》《法官法》等都有惩治条例,反腐倡廉的教育亦不匮乏。 但效果不佳。



However, the corruption situation is still grim, because cases of power-leasing with adjudication powers still occur. 盖因事前、事中的监督少,事后监督多;内部监督的无力,外部监督的机制不健全。

(3) the Court infrastructure


样本中有具体案情可查的法院基建腐败涉及19人,比如辽宁省高级法院原院长田凤岐、北京市西城区法院原院长郭生贵等。 19人中仅有1人案发时任职法院党组成员,15人案发前任职法院院长,3人任职法院副院长。 他们主要是在法院新建审判大楼和干警宿舍楼中,通过工程承建和招投标向有关人员吃拿卡要或者接受贿赂。 仅此一项在各自的受贿总额中均占有不小的比例。


分析基建领域的腐败,可发现案件多发于2000年后,当时的背景之一是加强法庭建设。 最高法院1994年的统计称,约20%的法院没有审判法庭,31.8%的法庭没有办公用房。 2002年,当时的建设部、国家发展计划委员会批准发布首部法院法庭建设标准,把法庭建设纳入标准化、规范化的轨道。

基建腐败体现在法院院长身上,与党政领导作为“一把手”赋权过重有关。 近年来,各地均贯彻中央对领导干部分权的要求,实施“一把手”不直接分管人事、财务、基建的规定,这或可在一定程度上实现制约。 另一方面,对司法行政装备管理部门的监督也值得重视。

This is essentially the executive power corruption that is brought on by making the judiciary administrative. 贺卫方说,司法行政领域的腐败会加剧司法腐败,承建商与法院领导干部建立利益关系后,如再涉及诉讼,法院又如何保持公正?他认为,解决之道是把司法行政事务转移到法院之外,法院的基建和采购由专门的机构负责。

(4) Litigation fees


1998 was a major turning point in the history of China's system of litigation fees. 当年辽宁省辽阳市太子河区法院告诉申诉庭审判员高雅杰因私自受理办理案件,贪污、挪用诉讼费和执行款7万余元,被究刑责。 次年这一案例进入最高法院工作报告,最高法院表示将规范诉讼费的管理。

这与1999年开始统一实行的法院诉讼费用全额纳入财政专户,严格实行“收支两条线”的政策不无关系。 1984年,中国结束30余年的诉讼无偿时代,开始收取民事诉讼费用、办案费。 1989年出台的《关于加强诉讼费用管理的暂行规定》称,考虑财政困难,法院依法收取的诉讼费用暂不上交财政,以弥补法院业务经费的不足。

.But with the development of the market economy, courts at all levels have gradually begun to engage in the arbitrary collection of fees, the establishment of personal treasuries, and the transfer and maintenance of litigation fees.

From 1993-1998, former chief judge Feng Xuekong of the YouXing court in Jingshan County, Hainan used the handling and management of court accounts and funds to conveniently conceal the courts income from interest, swallowing up 17,482 RMB in interest on public funds over a long time, and being sentenced to one year for corruption.

其时,政法部门均存在因坐收坐支而暴露出的类似弊端,国家财政管理制度也正值改革时机。 实际上,1996年时,诉讼费“收支两条线”已在酝酿,诉讼费用扣除办案费用支出后,应按期将结余及时上交同级财政专户。 1997年中央规定执法部门所需办案和业务经费,一律列入同级财政预算。 1998年,财政部联合多部门发布通知,确立贯彻落实政法部门“收支两条线”的规定。 次年,诉讼费“收支两条线”正式进入制度。

但是,地方财政承担政法经费,“分灶吃饭、分级负担、分级管理”,也带来一定问题,首先是司法权的地方化,其次因地区经济状况的差异,部分地区政法部门的经费不能得到保障,一些地方以案谋利或者滥用司法权。 个别法官索要赞助费的情况在样本中亦有体现。 湖南祁阳县法院经济庭原庭长张国平和沈阳大东区法院民庭原副庭长王忠学,就分别因索要或收取赞助费被追责,案件发生在1997年至2000年间。


This circumstance changed after 2007. 当年,《诉讼费用交纳办法》开始实施,取消法院对诉讼费的管理权,下调、取消部分收费,明确在诉讼中不得违反规定和范围向当事人收取费用。 同年,中央财政设立中央补助法院办案专款,对地方法院办案经费给予一定补助,以缓解基层法院资金短缺。 2009年,中央和省级加大对政法资金转移支付力度。

Report 4: Litigation Brokers

So-called "litigation brokers", akin to political power brokers or commercial brokers, act as intermediaries and facilitators to collect fees or seek other benefits, by exploiting litigation participant's unfamiliarity with the procedural rules or by taking advantage of their relationships. “诉讼掮客”主要有四种:法律从业人员、司法人员亲友、离职的司法人员和官员、活动能量巨大的人。

Individual lawyers becoming "litigation brokers" highlights the abnormal relationship between lawyers and judges. 法官本是社会公平和正义的最后一道守护者,律师是护法使者。 少数律师行贿法官或者被迫行贿,与司法权力相结合成为寄生审判权、执行权的利益共同体,破坏本已脆弱的司法生态。

(1) professional lawyers' "gray" repesentation

In this sample of discharged judges, 32 people's cases show evidence of the influence from interactions of lawyer's and judicial workers, where they profit from the role of 'litigation broker'.

The sample shows that most attorneys 'operate' by earning commissions in specific cases or specific judge's courts, and only a small number of very powerful lawyers wandering can roam among several judges. 如广东法制盛邦律师事务所原主任陈卓伦,一人即将黄松有和杨贤才两个重量级法官拉下水。

律师陈卓伦是黄的潮汕老乡、西南政法大学的校友。 据司法材料,2005年至2006年,陈卓伦请托黄松有,希望黄帮助促成其代理的一起执行案和解。 黄松有利用职务便利,向最高法院执行工作办公室的案件承办人打招呼,并作出书面批示,使案件如陈所愿。 2008年5月,陈卓伦送给黄300万元,约占黄受贿总额76%。 他还向杨贤才行贿5万元。


还有的法官“养”着多名律师。 如北京市西城法院原院长郭生贵,与北京市宜君律师事务所原法律工作者张汝平、博安律师事务所原律师邬民、北京市德政律师事务所原律师高桂兰“合作”,由郭介绍案源,他从中收取案源介绍费367万元。 其中张汝平曾在郭生贵任职过的北京市东城区法院实习。


曾行贿广西壮族自治区高院原副院长欧绍轩131万元的律师龚志成,也曾在法院工作。 湖南省高级法院刑一庭原助理审判员李小平,从法院离职后下海经商,成立拍卖公司,为承接法院委托的拍卖业务,先后行贿湖南省高级法院原院长吴振汉50万元。

“诉讼掮客”的出现,与法官职业的特殊性有关,法官手握司法裁决的公权力,本应与当事人保持距离。 但在希望借此谋利的法官和争取利益最大化的当事人之间,需要有能超越诉讼规则的特定群体居间运作。 而律师和法官作为共同维护法治的法律人,具有天然联系,曾互为同学、同事,甚至有法官和律师同为一个家庭,也有法官和律师搞权色交易,为司法寻租寻找载体,有些律师因此沦为职业的“诉讼掮客”。

青岛市中级法院原副院长刘青峰即是典型的一例,他的妻子员某和情人李某均是律师。 至案发前,刘青峰授意当事人与其妻、情人签订法律服务协议或推荐两人担任诉讼代理人,从中敛财的案件共有六起。 其中一例,李某作为名义上的委托代理人,未提供任何服务,轻松收获代理费120万元。

The special nature of the relationship between judges and lawyers put the supreme court on guard in 2004. 2002年,武汉市中级法院13名法官腐败窝案被查,44名律师涉案,震惊司法界。 次年司法部对武汉、宜昌等六城市法官受贿犯罪专项调查,发现牵出行贿律师多达88名。 司法部进一步调查认为,在从事诉讼业务中,律师与司法人员“拉关系”具有普遍性;请吃饭、送钱、送物,办“关系案”“金钱案”现象呈上升趋势;律师与司法人员形成利益共同体,损害国家和当事人利益的违法犯罪逐渐增多。

2004年,最高法院、司法部联合发布《关于规范法官和律师相互关系维护司法公正的若干规定》,明确法官不得向当事人推荐律师、律师不得邀请法官娱乐等。 司法部紧随其后出台惩戒规定,明确律师在执业中如向法官行贿一经发现终身不得从事律师职业,建立律师和律师事务所不良行为投诉制度。

But the role of relevant provisions is limited. 2009年,最高法院公布“五个严禁”,严禁违反规定与律师进行不正当交往。 2011年,最高法院还出台《关于配偶子女从事律师职业的法院领导干部和审判执行岗位法官实行任职回避的规定》,要求法院领导干部和审判、执行岗位法官,其配偶、子女在其任职法院辖区内从事律师职业的,应实行任职回避。


(B) "invisible powerbroker" relatives and friends

比起那些公开从事律师职业的法官家属,更难监管的是背后作为中间人的“隐形掮客”。 样本显示,有的法官家庭成员虽然不是律师,但作为特定关系人,成为当事人或者律师拉拢腐蚀的对象。

Former president of the High Court of Hunan Province Wu Zhenhan's family tragedy, is worth considering. 2006年,吴振汉被判死缓后,其妻、子分别获判有期徒刑12年和无期徒刑。 这并非个案。 衡阳市中级法院原院长罗安荣及其妻、子也因受贿全家获刑。

据司法材料,1999年至2003年间,吴振汉的儿子吴剑雄接受请托,要求其父利用职务便利,在案件审理、执行和承揽法院评估和基建业务上为他人谋利,分别伙同其父或其母李芝先后12次收受545万元。 吴剑雄还接受请托,为他人承揽拍卖业务提供帮助,收受8.1万元。 吴剑雄抽取佣金的比例甚至达到五五分成。

吴振汉的妻子李芝另外还被法院认定,为他人干部职务晋升谋取利益。 李芝的侄子李民曾是湖南省司法厅法律援助中心律师,在吴振汉的腐败弊案中也未能幸免。 李民的故事,更好地注释了律师与法官互相利用的关系。

李民与长沙中级法院副院长唐吉凯相识后,1999年,李民将唐介绍给吴氏夫妇,此后唐三次共送给吴15万元。 但吴有所不知的是,这15万元均由李民提供,李民希望日后律师业务获得唐的关照。 2002年底,长沙市中级法院换届,在湖南省高级法院党组会上,吴振汉两次要求将唐作为长沙中级法院院长候选人推荐给湖南省委组织部门,不过并未通过。

湖南省高级法院执行局原副局长王旷案中的行贿人詹小勇(另案处理)是该院前任领导的家属。 詹作为一家矿产品和金属材料公司的经理,在湖南高院的四起委托拍卖业务、执行案中作为中介人斡旋获利。 而在浙江省高级法院审委会原专职委员童志兴受贿案中,童的妻子盛某也扮演了不可或缺的角色。




Rational observations and constructive comments

Social, economic and institutional factors are all major elements at the heart of judicial corruption. 因此,治理法官腐败的痼疾,亟待改革,以消除司法腐败背后的体制性、保障性障碍。

目前,深入推进司法体制改革已成共识。 中共十八大报告提出,进一步深化司法体制改革,确保审判机关、检察机关依法独立公正行使审判权、检察权。 中共中央总书记习近平履新以来多次提出全力推进法治中国、过硬队伍建设,深化司法体制机制改革,坚决反对执法不公、司法腐败。


Judicial fairness is the bedrock of rule of law in China and the two are both established on the effective remedying of judicial corruption. 具体而言,破局法官腐败,或可推进几项实质性的工作:

--Ensuring the independence and impartiality of the judiciary, eliminating the awkward situation of having personnel, assets and materials inf the control of the localities, and having central finance bear the burden for all judicial expenses.

- Promote the professionalization of judges, the scientific design of mechanisms for the selection, admission, appointment and impeachment of judges, a substantial increase in judges compensation, and the incorporation of experts and lawyers into the judicial profession.




当然,司法改革并非法院一己之力,还需政治体制改革的推进。 “司法改革离不开政治体制改革,并会对国家的政治生活有深远影响,党政高层以及更多的国民都要认识到这点。 ”贺卫方说。

This magazine's [Caijing's] intern Li Hui also contributed to this article.

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