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| Several Opinions of the Supreme People's Court on Improving the Judicial Accountability System of People's Courts | | 最高人民法院关于完善人民法院司法责任制的若干意见 |
| (No. 13 [2015] of the Supreme People's Court) | | （法发〔2015〕13号） |
| For the purpose of implementing the general deployment of the Central Government on deepening the reform of the judicial system, optimizing the allocation of the trial resources, clarifying the authority of the trial organizations, improving the judicial accountability system of people's courts, establishing and improving the trial power operation mechanism conforming to the judicial rules, enhancing the personal experience of judges in case hearing, and ensuring that judges independently and impartially perform trial duties according to law, these Opinions are hereby developed, according to relevant law and the actual work circumstances of people's courts. | | 为贯彻中央关于深化司法体制改革的总体部署，优化审判资源配置，明确审判组织权限，完善人民法院的司法责任制，建立健全符合司法规律的审判权力运行机制，增强法官审理案件的亲历性，确保法官依法独立公正履行审判职责，根据有关法律和人民法院工作实际，制定本意见。 |
| I. Objectives and Principles | | 一、目标原则 |
| (1) The judicial accountability system of people's courts shall be improved; and with the strict trial accountability system as the core, under the premise of a scientific trial power operation mechanism, on the basis of specific power of trial organizations and the responsibilities of judicial officers, and with effective trial management and supervision system as the guarantee, triers shall render judgment and judges shall be accountable, to ensure that people's courts independently and impartially exercise trial power according to the law. | | 1.完善人民法院的司法责任制，必须以严格的审判责任制为核心，以科学的审判权力运行机制为前提，以明晰的审判组织权限和审判人员职责为基础，以有效的审判管理和监督制度为保障，让审理者裁判、由裁判者负责，确保人民法院依法独立公正行使审判权。 |
| (2) People's courts shall promote the reform of the trial accountability system under the following basic principles: | | 2.推进审判责任制改革，人民法院应当坚持以下基本原则： |
| (a) They shall adhere to the leadership of the Party and keep to the road of socialist rule of law with the Chinese characteristics. | | （1）坚持党的领导，坚持走中国特色社会主义法治道路； |
| (b) They shall exercise judicial power independently in accordance with the Constitution and the law. | | （2）依照宪法和法律独立行使审判权； |
| (c) They shall follow the operation rules of judicial power, reflect the property of right to judge and right of judgment, and highlight the dominant role of judges in handling cases. | | （3）遵循司法权运行规律，体现审判权的判断权和裁决权属性，突出法官办案主体地位； |
| (d) They shall regard the trial power as the core and the trial supervision right and the trial administration right as the guarantee. | | （4）以审判权为核心，以审判监督权和审判管理权为保障； |
| (e) They shall have specific responsibilities, integrated power and responsibilities, orderly supervision, and effective restraint. | | （5）权责明晰、权责统一、监督有序、制约有效； |
| (f) They shall combine subjective fault and objective behavior, and combine responsibility and guarantee. | | （6）主观过错与客观行为相结合，责任与保障相结合。 |
| (3) Judges shall be protected by law while performing trial duties according to the law. Judges shall be entitled to independently issue opinions on case fact finding and application of law. Judges shall not be held accountable for performing duties according to the law unless there is a statutory reason or unless the statutory procedure has been completed. | | 3.法官依法履行审判职责受法律保护。法官有权对案件事实认定和法律适用独立发表意见。非因法定事由，非经法定程序，法官依法履职行为不受追究。 |
| II. Reforming the Trial Power Operation Mechanism | | 二、改革审判权力运行机制 |
| 1. The sole-judge trial system and the collegiate bench operation mechanism | | （一）独任制与合议庭运行机制 |
| (4) A basic and intermediate people's court may form a trial team composed of a judge and judge assistant, clerk and other necessary supporting members, for trial of cases to which summary procedure apply and other cases as prescribed by law according to the law by a sole judge. | | 4.基层、中级人民法院可以组建由一名法官与法官助理、书记员以及其他必要的辅助人员组成的审判团队，依法独任审理适用简易程序的案件和法律规定的其他案件。 |
| People's courts may, according to the category of cases accepted and through the way of random selection, form a collegial panel composed of judges or judges and people's assessors, to hear cases to which formal procedure apply and cases to be heard by collegial panels under summary procedure. Basic people's courts with large number of cases may form relatively fixed trial teams and implement the flat management mode. | | 人民法院可以按照受理案件的类别，通过随机产生的方式，组建由法官或者法官与人民陪审员组成的合议庭，审理适用普通程序和依法由合议庭审理的简易程序的案件。案件数量较多的基层人民法院，可以组建相对固定的审判团队，实行扁平化的管理模式。 |
| People's courts shall, in combination with the function positioning and the level of trial, reasonably allocate a certain number of judge assistants, clerks and other trial supporting members for judges. | | 人民法院应当结合职能定位和审级情况，为法官合理配置一定数量的法官助理、书记员和其他审判辅助人员。 |
| (5) On the basis of strengthening the construction of trial professionalization, a case assignment system dominated by random case assignment with designated assignment of cases as the supplement shall be implemented. According to the category of the trial field, judges handling the case shall be randomly determined. Where the results of random assignment of cases need to be adjusted under special circumstances, the reasons for and the results of the adjustment shall be disclosed on the court work platform. | | 5.在加强审判专业化建设基础上，实行随机分案为主、指定分案为辅的案件分配制度。按照审判领域类别，随机确定案件的承办法官。因特殊情况需要对随机分案结果进行调整的，应当将调整理由及结果在法院工作平台上公示。 |
| (6) A written judgment formed by a sole judge in case hearing shall be directly signed by the sole judge. A written judgment formed by a collegial panel in case hearing shall be signed by the judges handling the case, other members of the collegial panel, and the presiding judge in order. Where a presiding judge is the judge handling the case, the written judgment shall finally signed by the presiding judge. A written judgment may be issued upon signing by the judges organized for the trial in order. Except the cases determined by the judicial committee through discussions, presidents, vice presidents, and chief judges shall no longer examine or issue written judgments of cases not directly heard thereby. | | 6.独任法官审理案件形成的裁判文书，由独任法官直接签署。合议庭审理案件形成的裁判文书，由承办法官、合议庭其他成员、审判长依次签署；审判长作为承办法官的，由审判长最后签署。审判组织的法官依次签署完毕后，裁判文书即可印发。除审判委员会讨论决定的案件以外，院长、副院长、庭长对其未直接参加审理案件的裁判文书不再进行审核签发。 |
| The deliberation and voting procedures of the collegial panel shall be governed by the Organic Law of the People's Courts, the Procedure Law, the Several Provisions of the Supreme People's Court concerning the Work of the Collegial Panels of the People's Courts, and the Several Provisions of the Supreme People's Court on Further Strengthening the Functions of Collegial Panels. | | 合议庭评议和表决规则，适用人民法院组织法、诉讼法以及《最高人民法院关于人民法院合议庭工作的若干规定》《最高人民法院关于进一步加强合议庭职责的若干规定》。 |
| (7) Presidents, vice presidents, full-time members of the judicial committee, chief judges, and deputy chief judges incorporated into the specified number of judges shall handle cases. The number of cases to be handled by the president, vice president, and full-time members of the judicial committee on an annual basis shall be reasonably determined with reference to the per capita number of cases handled by judges of the court and according to the workload of trial management and supervision affairs and the administrative affairs assumed thereby. The number of cases to be handled by the president on an annual basis shall be determined according to the per capita number of cases handled by judges of the court. Significant, difficult, and complex cases may be directly heard by collegial panels composed of the president, vice president, and full-time members of the judicial committee. | | 7.进入法官员额的院长、副院长、审判委员会专职委员、庭长、副庭长应当办理案件。院长、副院长、审判委员会专职委员每年办案数量应当参照全院法官人均办案数量，根据其承担的审判管理监督事务和行政事务工作量合理确定。庭长每年办案数量参照本庭法官人均办案数量确定。对于重大、疑难、复杂的案件，可以直接由院长、副院长、审判委员会委员组成合议庭进行审理。 |
| Under the principle of separating trial power and administrative right, a pilot court may explore and implement a centralized administration system of personnel, funds, government affairs, and other administrative affairs, and may designate a vice president to specifically assist the president in managing administrative affairs. | | 按照审判权与行政管理权相分离的原则，试点法院可以探索实行人事、经费、政务等行政事务集中管理制度，必要时可以指定一名副院长专门协助院长管理行政事务。 |
| (8) A people's court may separately establish a professional judges conference composed of judges in civil, criminal, administrative and other trial fields, to provide advisory opinions for the correct understanding and law application of collegial panels. A collegial panel holding the opinion that there is non-uniform standard of law application in a significant, difficult, and complicated case heard may submit the issue of law application to the professional judges conference for research and discussion. The discussion opinions of the professional judges conference shall be referred by the collegial panel in reconsideration; whether or not to adopt such opinions shall be determined by the collegial panel; and the discussion records shall be put on file for future reference. | | 8.人民法院可以分别建立由民事、刑事、行政等审判领域法官组成的专业法官会议，为合议庭正确理解和适用法律提供咨询意见。合议庭认为所审理的案件因重大、疑难、复杂而存在法律适用标准不统一的，可以将法律适用问题提交专业法官会议研究讨论。专业法官会议的讨论意见供合议庭复议时参考，采纳与否由合议庭决定，讨论记录应当入卷备查。 |
| A legal discussion mechanism shall be established for trial business. The criteria for judgment shall be unified through reference to similar cases, case analysis, and other ways. | | 建立审判业务法律研讨机制，通过类案参考、案例评析等方式统一裁判尺度。 |
| 2. The judicial committee operation mechanism | | （二）审判委员会运行机制 |
| (9) The judicial committee's functions of unifying the judgment criteria of the court shall be specified. The scope of cases to be discussed by the judicial committee shall be determined reasonably according to the law. The judicial committee shall only discuss significant and complicated cases involving diplomacy, security, and social stability of the country, and law application of significant, difficult and complicated cases. Judicial committee's macro guidance functions of summarizing trial experience, and discussing and deciding the major issues of trial shall be strengthened. | | 9.明确审判委员会统一本院裁判标准的职能，依法合理确定审判委员会讨论案件的范围。审判委员会只讨论涉及国家外交、安全和社会稳定的重大复杂案件，以及重大、疑难、复杂案件的法律适用问题。强化审判委员会总结审判经验、讨论决定审判工作重大事项的宏观指导职能。 |
| (10) A collegial panel holding the opinion that a case needs to be submitted to the judicial committee for discussion and decision-making shall put forward and specify the issue of law application to be discussed and decided by the judicial committee, and summarize different opinions and reasons. | | 10.合议庭认为案件需要提交审判委员会讨论决定的，应当提出并列明需要审判委员会讨论决定的法律适用问题，并归纳不同的意见和理由。 |
| The conditions and procedure for submission of a case by a collegial panel to the judicial committee for discussion shall be governed by the Organic Law of the People's Courts, the Procedure Law, the Several Provisions of the Supreme People's Court concerning the Work of the Collegial Panels of the People's Courts, and the Implementation Opinions of the Supreme People's Court on Reforming and Improving the Judicial Committee System of the People's Court. | | 合议庭提交审判委员会讨论案件的条件和程序，适用人民法院组织法、诉讼法以及《最高人民法院关于人民法院合议庭工作的若干规定》《最高人民法院关于改革和完善人民法院审判委员会制度的实施意见》。 |
| (11) Where a case needs to be submitted to the judicial committee for discussion and decision-making, members of the judicial committee shall review the materials submitted by the collegial panel for discussion in advance, understand the different opinions and reasons of the collegial panel on the issue of law application, consult audio or video of court hearing or consult case files if necessary. | | 11.案件需要提交审判委员会讨论决定的，审判委员会委员应当事先审阅合议庭提请讨论的材料，了解合议庭对法律适用问题的不同意见和理由，根据需要调阅庭审音频视频或者查阅案卷。 |
| Members of the judicial committee shall fully express opinions in case discussion, determine the voting order in an ascending order according to the levels of judges, and make the host cast the final vote. Whole-process track shall be implemented for review of the judicial committee. Audio, video, and meeting minutes shall be recorded therefor. The decisions of the judicial committee shall be implemented by the collegial panel. All members that participate in the discussion and voting shall sign on the meeting minutes of the judicial committee. | | 审判委员会委员讨论案件时应当充分发表意见，按照法官等级由低到高确定表决顺序，主持人最后表决。审判委员会评议实行全程留痕，录音、录像，作出会议记录。审判委员会的决定，合议庭应当执行。所有参加讨论和表决的委员应当在审判委员会会议记录上签名。 |
| A duty performance evaluation and internal publicity mechanism shall be established for the judicial committee. A supervision, reply, and publicity system of the decision items of the judicial committee shall be established. | | 建立审判委员会委员履职考评和内部公示机制。建立审判委员会决议事项的督办、回复和公示制度。 |
| 3. Trial administration and supervision | | （三）审判管理和监督 |
| (12) A case quality evaluation system and evaluation mechanism conforming to the judicial rules shall be established. The trial administration and trial supervision institution shall regularly analyze the trial quality operation situation, and conduct professional evaluation of the case quality through routine random inspection, focused evaluation and examination, special evaluation and examination, and other ways. | | 12.建立符合司法规律的案件质量评估体系和评价机制。审判管理和审判监督机构应当定期分析审判质量运行态势，通过常规抽查、重点评查、专项评查等方式对案件质量进行专业评价。 |
| (13) People's courts at all levels shall set up a Commission for Examination and Assessment of Judges, establish a judges performance evaluation system, and create performance records. Performance records shall mainly include judges' personal routine duty performance situation, number of cases handled, trial quality, judicial skills, honesty and self-discipline, and external evaluation, among others. Judges' performance evaluation shall be regarded as an important basis for the appointment, assessment of those who have outstanding achievements, and promotion of judges. | | 13.各级人民法院应当成立法官考评委员会，建立法官业绩评价体系和业绩档案。业绩档案应当以法官个人日常履职情况、办案数量、审判质量、司法技能、廉洁自律、外部评价等为主要内容。法官业绩评价应当作为法官任职、评先评优和晋职晋级的重要依据。 |
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