Promulgation Date: 2020-9-14 Title: Opinions of the Supreme People's Court on Improving the Mechanism for work on Standards for the Uniform Application of Law Document Number:法发〔2020〕35号 Expiration date: Promulgating Entities:Supreme People's Court Source of text: http://www.court.gov.cn/zixun-xiangqing-257981.html
These Opinions are formulated so as to ensure judicial fairness, increase the credibility of the judiciary, accelerate the advance of the modernization of trial systems and trial capacity, and aggregate experience from the actual conditions of the people's courts for standards for the uniform application of law.
I. The significance of standards for the unified application of law and the principles that should be adhered to
1. Fully recognize the significance of uniform standards for the application of law. Standards for the uniform application of law in trial work are an inherent requirement for establishing and improving the system of socialist rule of law system with Chinese characteristics, are a basic duty of the people's courts in independently and impartially exercising the judicial power in accordance with law, are an important guarantee for preserving the uniform dignity and authority of the national legal system, are an unavoidable requirement of improving the quality, efficiency and credibility of the judiciary; relating to the correct exercise of the judicial power in accordance with the law, to the protection of parties' legitimate rights and interests, and to the realization of social fairness and justice. All levels of people's court should make unifying standards for the application of law an important part of comprehensively implementing judicial responsibility, deepening comprehensive reforms of the law and accompanying systems, accelerating the advancement of the establishment and reform of law enforcement and judicial restraint and oversight mechanisms using improvement of trial work systems, management systems, and mechanisms for the operation of rights to regulate judicial conduct, unify standards for rulings, ensure an effective, fair, and authoritative judiciary, and striving to allow the people feel fairness and justice from every case.
2. Firmly grasp the principles that should be adhered to in standards for the uniform application of law.
Uphold the party's absolute leadership over judicial work. Persist in having Xi Jinping Thought on Socialism with Chinese Characteristics for the New Era as guidance, thoroughly implementing General Secretary Xi Jinping's new concpect, ideology, and strategy on governance in accordance with law, comprehensively implementing the spirit of the 19th Party Congress and its 2nd, 3rd, and 4th plenary sessions, strengthening the 'four awarenesses', persisting in the four 'self-confidences', and the 'two preservations', achieving to the organic integration of the leadership of the Party with the people as masters of the nation, and governance in accordance with law, to implement the theory of Chinese socialist rule of law with Chinese characteristics, persist in the path of Socialism with Chinese characteristics, and ensure that the Party Central Committee's decisions and deployment plans for trial implementation work are implemented to the letter.
Adhere to people-centered thinking on development. The goals of judicial practice for the people are to preserve the people's rights and interests in accordance with law, resolve conflicts and disputes, and promote social harmony and stability. Actively use judicial tactics to promote the protection and improvement of people's livelihoods, strive to resolve issues of public safety, rights protection, and fairness and justice that are most vital to the people, and meet the people's ever-increasing judicial needs. Adhere to the combination of governing the country in accordance with the law and governing the country by virtue, taking into account the country's laws, nature, and human sentiments, give full play to the guiding role of judgments, promote the core socialist values, and continuously enhance the people's sense of fairness and justice.
Adhere to the supremacy of the constitution and the law. Always be loyal to the Constitution and laws, and exercise the adjudication power independently in accordance with the law. Persist in the equality of all before the law and resolutely exclude interference in judicial activities. Adhere to the facts as the basis and the law as the criterion, abide by legal procedures, follow the rules of evidence, correctly apply the law, strictly regulate the exercise of discretionary power, ensure the uniform and correct implementation of the law, and effectively maintain the unified dignity and authority of the national legal system.
Persist in serving the overall situation of economic and social development. Give full play to the trial function, fulfill the duties and missions of safeguarding national political security, ensuring overall social stability, promoting social fairness and justice, and ensuring that people live and work in peace and contentment, serve normalized epidemic prevention and control and economic and social development, and promote economic stability and long-term social stability and harmony. Fully implement the new development concept and serve the high-quality development of the economy; protect the legitimate rights and interests of various market players in accordance with the law, increase judicial protection of property rights and intellectual property rights, and create a stable, fair, transparent, and predictable legal business environment; implement the concept of green development, strengthen judicial protection of the ecological environment, and strive to achieve the organic unity of political, legal, and social effects.
II. Strengthen Efforts on Judicial Interpretations and Case Guidance
3. Give play to the important role of judicial interpretations in standards for the uniform application of law. Judicial interpretations are an important part of the socialist judicial system with Chinese characteristics and an important duty of the Supreme People's Court. For specific issues on the application of law in trial work, especially issues such as a lack of specific and clear legal provisions that makes understanding and enforcement difficult, changes in circumstances that lead to a different understanding of the basis for case handling, or inconsistent judgment criteria for some specific type of cases, the Supreme People’s Court shall strengthen investigation and research to promptly formulate judicial interpretations in strict accordance with laws and regulations. Public comments shall be solicited for judicial interpretations involving the people's vital interests or major difficult issues. Further standardize the procedures for the formulation of judicial interpretations, completing mechanisms for investigation, project initiation, drafting, debate, review, publication, sorting, and abolition, and improving mechanisms for aggregation and management and for reporting and review.
4. Strengthen efforts on guiding cases. The guiding cases issued by the Supreme People's Court play a guiding role in the trial and enforcement work of courts across the country. They are important measures for summarizing trial experience, unifying legal application standards, improving trial quality, and maintaining judicial justice. People's courts at all levels shall recommend typical cases with uniform legal application standards and the significance of establishing rules from the judgments that have already taken legal effect, which shall be discussed and determined by the Supreme People's Court adjudication committee and published in a unified manner. Guiding cases are not to be directly cited as the basis for judgments, but they have reference value for similar cases under trial. Further improve the reporting, screening, publishing, compilation, evaluation, application, and clean-up mechanisms of guiding cases, improve the working mechanism of converting Supreme People's Court judgments into guiding cases, and enhance the standardization, pertinence, and timeliness of case guidance.
5. Give play to the guiding role of judicial guidance documents and example cases. 司法指导性文件、典型案例对于正确适用法律、统一裁判标准、实现裁判法律效果和社会效果统一具有指导和调节作用。 围绕贯彻落实党和国家政策与经济社会发展需要，最高人民法院及时出台司法指导性文件，为新形势下人民法院工作提供业务指导和政策指引。 针对经济社会活动中具有典型意义及较大影响的法律问题，或者人民群众广泛关注的热点问题，及时发布典型案例，树立正确价值导向，传播正确司法理念，规范司法裁判活动。
III. Establish and complete Supreme People's Court Mechanisms for Resolving Issues in the Uniform Application of Law
6. Establish a dedicated national platform for issues on the application of law. 最高人民法院建立重大法律适用问题发现与解决机制，加快形成上下贯通、内外结合、系统完备、规范高效的法律适用问题解决体系，及时组织研究和解决各地存在的法律适用标准不统一问题。 充分发挥专家学者在统一法律适用标准中的咨询作用，积极开展专家咨询论证工作，通过组织召开统一法律适用标准问题研讨会等方式，搭建人大代表、政协委员、专家学者、行业代表等社会各界广泛参与的平台，总结归纳分歧问题，研究提出参考意见，为审判委员会统一法律适用标准提供高质量的辅助和参考。
7. Establish mechanisms for resolving disputes on the application of the law. 审判委员会是最高人民法院法律适用分歧解决工作的集体领导和决策机构，最高人民法院各业务部门、审判管理办公室和中国应用法学研究所根据法律适用分歧解决工作需要，为审判委员会决策提供服务和决策参考。 进一步优化法律适用分歧的申请、立项、审查和研究工作机制，对于最高人民法院生效裁判之间存在法律适用分歧或者在审案件作出的裁判结果可能与生效裁判确定的法律适用标准存在分歧的，应当依照《最高人民法院关于建立法律适用分歧解决机制的实施办法》提请解决。
IV. Improve High-court Mechanisms for Work on Standards on the Uniform Application of Law
8. Regulate higher-people's courts trial guidance work. 各高级人民法院可以通过发布办案指导文件和参考性案例等方式总结审判经验、统一裁判标准。 各高级人民法院发布的办案指导文件、参考性案例应当符合宪法、法律规定，不得与司法解释、指导性案例相冲突。 各高级人民法院应当建立办案指导文件、参考性案例长效工作机制，定期组织清理，及时报送最高人民法院备案，切实解决不同地区法律适用、办案标准的不合理差异问题。
9. Establish mechanisms for the resolution of discrepancies in the application of law in the high courts. 各高级人民法院应当参照最高人民法院做法，建立本辖区法律适用分歧解决机制，研究解决本院及辖区内法院案件审理中的法律适用分歧。 各中级、基层人民法院发现法律适用标准不统一问题，经研究无法达成一致意见的，应当层报高级人民法院，超出高级人民法院辖区范围的，应当及时报送最高人民法院研究解决。
V. Strengthen legally-prescribed duties for trial organizations' uniform application of law.
1. Strengthen the duty to correctly apply the law for judges hearing cases alone and collegial panels. 各级人民法院应当全面落实司法责任制，充分发挥独任法官、合议庭等审判组织在统一法律适用标准中的基础作用。 独任法官、合议庭应当严格遵守司法程序，遵循证据规则，正确运用法律解释方法，最大限度降低裁量风险，避免法律适用分歧。 发现将要作出的裁判与其他同类案件裁判不一致的，应当及时提请专业法官会议研究。 合议庭应当将统一法律适用标准情况纳入案件评议内容，健全完善评议规则，确保合议庭成员平等行权、集思广益、民主决策、共同负责。
11. Give play to the duties of the adjudication committees in standards for the uniform application of law. 完善审判委员会议事规则和议事程序，充分发挥民主集中制优势，强化审判委员会统一法律适用标准的重要作用。 审判委员会应当着重对下列案件，加强法律适用标准问题的研究总结：（1）涉及法律适用标准问题的重大、疑难、复杂案件；（2）存在法律适用分歧的案件；（3）独任法官、合议庭在法律适用标准问题上与专业法官会议咨询意见不一致的案件；（4）拟作出裁判与本院或者上级法院同类案件裁判可能发生冲突的案件。 审判委员会应当及时总结提炼相关案件的法律适用标准，确保本院及辖区内法院审理同类案件时裁判标准统一。
VI. Implement court presidents and division chiefs duties to oversee and manage standards for the uniform application of law.
12. Clarify and consolidate the supervision and management responsibilities of court presidents and division chiefs. 院庭长应当按照审判监督管理权限，加强审判管理和业务指导，确保法律适用标准统一。 通过主持或参加专业法官会议，推动专业法官会议在统一法律适用标准上充分发挥专业咨询作用，定期组织研究独任法官、合议庭审理意见与专业法官会议咨询意见、审判委员会决定不一致的案件，为统一法律适用标准总结经验。 及时指导法官对审理意见长期与专业法官会议咨询意见、审判委员会决定意见不一致的案件进行分析，促进法官提高统一法律适用标准能力，防止裁判不公和司法不廉。 推动院庭长审判监督管理职责与审判组织审判职能、专业法官会议咨询职能、审判委员会决策职能有机衔接、有效运行，形成统一法律适用标准的制度机制体系。
13. Strengthen oversight and management of the 'four types of cases'. 院庭长应当对《最高人民法院关于完善人民法院司法责任制的若干意见》规定的“四类案件”加强监督管理，及时发现已决或待决案件中存在的法律适用标准不统一问题，依照程序采取改变审判组织形式、增加合议庭成员、召集专业法官会议、建议或决定将案件提交审判委员会讨论等举措，及时解决法律适用分歧。 院庭长可以担任审判长或承办人审理“四类案件”，依照职权主持或者参加审判委员会讨论决定“四类案件”，在审判组织中促进实现法律适用标准统一。
VII. Give full play to the role of trial management in standards for the uniform application of law.
14. Strengthen and regulate trial management work. 各级人民法院应当完善审判管理机制，构建全面覆盖、科学规范、监管有效的审判管理制度体系。 审判管理部门在履行流程管理、质量评查等审判管理职责时，对于发现的重大法律适用问题应当及时汇总报告，积极辅助审判委员会、院庭长研究解决统一法律适用标准问题。
15. Make standards for the uniform application of law the focus of trial management. 各级人民法院应当加强审判质量管理，完善评查方法和评查标准，将统一法律适用标准情况纳入案件质量评查指标体系。 对于可能存在背离法律、司法解释、指导性案例所确定裁判规则等情形的，承办法官应当向案件评查委员会说明理由。 对信访申诉、长期未结、二审改判、发回重审、指令再审、抗诉再审案件的审判管理中发现法律适用标准不统一问题的，应当及时提请院庭长和审判委员会研究解决。
VIII. Give full play the role of the system of trial at higher levels of courts and court oversight procedures in standards for the uniform application of law.
16. Give play to the role of the oversight system of trial at higher levels. 强化最高人民法院统一裁判尺度、监督公正司法的职能。 加强上级法院对下级法院的审级监督指导，建立健全改判、发回重审、指令再审案件的跟踪督办、异议反馈制度，完善分析研判和定期通报机制。 充分发挥二审程序解决法律争议的作用，在二审程序中依法对法律适用问题进行审查，对属于当事人意思自治范围内的法律适用问题，应当充分尊重当事人的选择；对影响司法公正的法律适用标准不统一问题，应当根据当事人诉求或者依职权予以纠正。
17. Give full play to trial oversight procedures' role in making corrections in accordance with law. 生效案件存在法律适用标准不统一问题的，应当正确处理审判监督程序与司法裁判稳定性的关系，区分案件情况，根据当事人请求或者依法启动院长发现程序，对法律适用确有错误的案件提起再审。 人民检察院提出检察建议、抗诉等法律监督行为，涉及法律适用标准不统一问题的，应当依法处理，必要时提请审判委员会讨论决定。
IX. Improve work mechanisms for mandatory searches for similar cases and reporting of new case types.
18. Regulate and improve efforts to search for similar cases. 按照《最高人民法院关于统一法律适用加强类案检索的指导意见（试行）》要求，承办法官应当做好类案检索和分析。 对于拟提交专业法官会议或者审判委员会讨论决定的案件、缺乏明确裁判规则或者尚未形成统一裁判规则的案件、院庭长根据审判监督管理权限要求进行类案检索的案件，应当进行类案检索。 对于应当类案检索的案件，承办法官应当在合议庭评议、专业法官会议讨论及审理报告中对类案检索情况予以说明，或者制作类案检索报告，并随案流转归档备查。
19. Regulate the application of similar case search results. 法官在类案检索时，检索到的类案为指导性案例的，应当参照作出裁判，但与新的法律、行政法规、司法解释相冲突或者为新的指导性案例所取代的除外；检索到其他类案的，可以作为裁判的参考；检索到的类案存在法律适用标准不统一的，可以综合法院层级、裁判时间、是否经审判委员会讨论决定等因素，依照法律适用分歧解决机制予以解决。 各级人民法院应当定期归纳整理类案检索情况，通过一定形式在本院或者辖区内法院公开，供法官办案参考。
X. Strengthen technical support and talent safeguards for uniform application of law
20. Strengthen techincal supports for standards for the uniform application of law. 各级人民法院应当深化智慧法院建设，为统一法律适用标准提供信息化保障。 最高人民法院加快建设以司法大数据管理和服务平台为基础的智慧数据中台，完善类案智能化推送和审判支持系统，加强类案同判规则数据库和优秀案例分析数据库建设，为审判人员办案提供裁判规则和参考案例，为院庭长监督管理提供同类案件大数据报告，为审判委员会讨论决定案件提供决策参考。 各级人民法院应当充分利用中国裁判文书网、“法信”、中国应用法学数字化服务系统等平台，加强案例分析与应用，提高法官熟练运用信息化手段开展类案检索和案例研究的能力。
21. Strengthen the cultivation of trial personnel's capacity to apply the law. All levels of people's court shall increase the extent of training for trial personnel on political caliber and operational ability, strengthen training on capacity in areas related to standards for the uniform application of law such as the relationship of judicial interpretations, case analysis, searches for similar case types, and applications of technology, to comprehensively increase trial personnel's awareness and capacity for uniform application of the law.
Supreme People's Court
September 14, 2020