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Opinions of the Supreme People's Court on the Implementation of the Judicial Accountability System (for Trial Implementation) [Effective]
最高人民法院司法责任制实施意见(试行) [现行有效]
Opinions of the Supreme People's Court on the Implementation of the Judicial Accountability System (for Trial Implementation) 


(July 25, 2017; Issued by Order No.20 [2017] of the Supreme People's Court) (2017年7月25日 法发[2017]20号印发)

These Implementation Opinions are developed according to the Several Opinions of the Supreme People's Court on Improving the Judicial Accountability System of the People's Courts and in consideration of the work reality of the Supreme People's Court (“SPC”). 根据《最高人民法院关于完善人民法院司法责任制的若干意见》,结合最高人民法院工作实际,制定本实施意见。
I. Basic Principles. 一、基本原则
(1) Various work arrangements of the central government on the reform of the judicial system shall be comprehensively implemented, the law of justice shall be followed, and the requirements for the reform of “making triers render judgments and making judges be accountable” shall be strictly implemented on the basis of implementing the classified administration of personnel and the judge quota system. 1.全面贯彻中央关于司法体制改革的各项工作部署,遵循司法规律,在实行人员分类管理、法官员额制的基础上,严格落实“让审理者裁判,由裁判者负责”的改革要求。
(2) By basing on the function orientation of the SPC, the allocation of the judicial resources shall be optimized, the scope of authority of the trial organizations and personnel shall be clarified, the judicial power operating mechanism shall be improved, the trial supervision and management system shall be perfected, the reform results of conducting pilot program first shall be consolidated, and a series of work requirements of the Party group of the SPC for law enforcement and case handling shall be comprehensively implemented. 2.立足最高人民法院职能定位,优化司法资源配置,明晰审判组织与人员的职责权限,健全审判权运行机制,完善审判监督管理制度,巩固先行先试的改革成果,全面落实院党组关于执法办案的一系列工作要求。
II. Trial Organization and Personnel 二、审判组织与人员
1. Collegial panel and trial teams (一)合议庭和审判团队
(3) The SPC shall implement the case-handling accountability system by the collegial panel and each collegial panel shall be equipped with an appropriate number of judge assistants and clerks. In a circuit court, a trial team shall be deployed by the “1+1+1” model of judge, judge assistant and clerk. 3.最高人民法院实行合议庭办案责任制,每个合议庭配备适当数量的法官助理和书记员。在巡回法庭一般以法官、法官助理、书记员“1+1+1”的模式配置审判团队。
(4) The collegial panel is randomly generated in principle, and a relatively fixed collegial panel may be formed according to the needs of the professional trial. 4.合议庭原则上随机产生,也可以根据专业化审判需要组成相对固定的合议庭。
(5) A senior judge may generally serve as the presiding judge of a collegial panel, and a judge handling the case may also serve as the presiding judge of a collegial panel. 5.合议庭审判长一般由资历较深的法官担任,也可以由承办法官担任。
President, other leaders of a court, chief judges or deputy chief judges participating in the trial of a case shall serve as the presiding judge. 院长及其他院领导、庭长、副庭长参加审判案件,由其担任审判长。
(6) The personnel of a relatively fixed collegial panel and a trial team that need to be formed for the needs of professional trial shall conduct regular exchange generally for a period of two years and shall not exceed five years. 6.因专业化审判需要组建的相对固定合议庭和审判团队,人员应当定期交流,期限一般为两年,最长不超过五年。
(7) President, other leaders of a court, chief judges or deputy chief judges may hear the following cases: 7.院长及其他院领导、庭长、副庭长可以审理下列案件:
(a) major, difficult, complex and new-type cases; (1)重大、疑难、复杂、新类型案件;
(b) cases of guiding significance; (2)具有指导意义的案件;
(c) cases to be tried in the court under the procedures of second instance, the trial supervision procedures, and the state compensation supervision procedures as deliberated and decided by the Judicial Committee of the SPC; (3)经高级人民法院审判委员会讨论决定,在本院适用二审程序、审判监督程序、国家赔偿监督程序审理的案件;
(d) retrial cases initiating the trial supervision procedures and the state compensation supervision procedures for the effective cases of the court; and (4)对本院生效案件启动审判监督程序、国家赔偿监督程序进行再审、重新审理的案件;
(e) other cases required to be tried by a president and another leader of a court, a chief judge or a deputy chief judge. (5)其他有必要由院长及其他院领导、庭长、副庭长审理的案件。
When a president and another leader of a court hears an aforesaid case, the trial management office shall coordinate with the trial business tribunal and the relevant functional departments, and effectively complete the appointed distribution of cases, staffing of trial team, operation of the litigation procedures, judicial publicity, press publicity and other service guarantee work. 院长及其他院领导审理上述案件时,由审判管理办公室协调配合审判业务庭室和相关职能部门,做好指定分案、审判团队配备、诉讼程序运转、司法公开、新闻宣传等服务保障工作。
(8) Besides the trial responsibilities to be jointly assumed by the members of a collegial panel, a presiding judge shall also assume the following trial responsibilities: 8.审判长除承担由合议庭成员共同承担的审判职责外,还应当以下审判职责:
(a) He or she shall determine the case trial plan and the trial outline, coordinate with the division of responsibilities in the trial among the members of a collegial panel, and direct them to effectively complete other preparations for trial. (1)确定案件审理方案、庭审提纲,协调合议庭成员庭审分工并指导做好其他庭审准备工作;
(b) He or she shall preside over and direct the trial activities. (2)主持、指挥庭审活动;
(c) He or she shall preside over the deliberation of the collegial panel. (3)主持合议庭评议;
(d) He or she shall submit the cases with big variation in the handling opinions to the professional judge meetings for discussion or report them to the compensation committee and the trial committee level by level for discussion under the procedures. (4)将合议庭处理意见分歧较大的案件提交专业法官会议讨论,或按程序层报赔偿委员会、审判委员会讨论;
(e) He or she shall sign legal instruments in accordance with the authority. (5)依照权限签署法律文书;
(f) He or she shall exercise other judicial powers according to the law. (6)依法行使其他审判权力。
When handling a case, a presiding judge shall concurrently fulfill the responsibilities of a judge handling the case. 审判长自己承办案件时,应当同时履行承办法官的职责。
(9) A judge handling the case shall fulfill the following trial responsibilities: 9.承办法官应当履行以下审判职责:
(a) He or she shall guide the judge assistant to effectively make pretrial preparations and complete other trial auxiliary work. (1)指导法官助理做好庭前准备及其他审判辅助工作;
(b) He or she shall submit a request of applications filed by a party for preservation, judicial identification and exclusion of illegally obtained evidence to the collegial panel for deliberation. (2)就当事人提出的保全、司法鉴定、非法证据排除申请等提请合议庭评议;
(c) He or she shall conduct a comprehensive review of the evidence submitted by the parties, put forward the examination opinions, and obtain the necessary evidence according to the law. (3)对当事人提交的证据进行全面审核,提出审查意见,依法调取必要证据;
(d) He or she shall make the written record for the consultation of case files , draft the trial outline, and write a trial report. (4)制作阅卷笔录,拟订庭审提纲,撰写审理报告;
(e) He or she shall assist the presiding judge in conducting the trial activities; (5)协助审判长开展庭审活动;
(f) He or she shall participate in the deliberation of the case, and firstly put forward the handling opinions. (6)参与案件评议,并先行提出处理意见;
(g) He or she shall, according to the majority opinions of the collegial panel, the compensation committee and the judicial committee, write and sign a written judgment. (7)根据合议庭、赔偿委员会、审判委员会多数意见制作并签署裁判文书;
(h) He or she shall direct the trial assistants to implement the working requirements of the Party group of the court on online handling of cases, judicial publicity, electronic files, file archiving, etc. (8)指导审判辅助人员落实院党组关于网上办案、司法公开、电子卷宗、案卷归档等工作要求;
(f) He or she shall exercise other judicial powers according to the law. (9)依法行使其他审判权力。
(10) When a case is tried by the collegial panel, other judges of the collegial panel shall diligently fulfill the trial responsibilities, jointly participate in the consultation of the case files, court hearing, deliberation, and other trial activities, conduct review and affix seals to the written judgment. 10.合议庭审理案件时,合议庭其他法官应当认真履行审判职责,共同参与阅卷、庭审、评议等审判活动,复核并在裁判文书上签名。
(11) A written judgment shall be signed in sequence by the judge handling the case, other judges of the collegial panel and the presiding judge; and a presiding judge serving as the judge handling the case shall sign the written judgment at last. 11.裁判文书由承办法官、合议庭其他法官、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。
For a case in which a decision is to be made by the compensation committee according to the law, a written judgment shall be signed by the chairman of the compensation committee or the vice chairman authorized. 依法由赔偿委员会作出决定的案件,裁判文书由赔偿委员会主任委员或经授权的副主任委员签署。
For a case in which a request is submitted to the trial committee for discussion and decision-making, a written judgment shall be signed by the president or another leader of the court entrusted by the president. 报请审判委员会讨论决定的案件,裁判文书由院长或受其委托的其他院领导签署。
An order to execute the death sentence shall be issued by the president. 执行死刑的命令由院长签发。
(12) Except under the special circumstances as specified in these Opinions, a president and another leader of the court, or a chief judge shall no longer examine or issue any written judgment for a case in which they do not directly participate, or approve any case in a disguised form by giving oral instruction, observing the trial and participating in deliberation, submitting instruments for review, and other methods. 12.除本规定列明的特殊情形外,院长及其他院领导、庭长对其未直接参加审理案件的裁判文书不再审核签发,也不得以口头指示、旁听合议、文书送阅等方式变相审批案件。
(13) A judge assistant shall fulfill the following responsibilities under the guidance of the judge: 13.法官助理在法官指导下履行以下职责:
(a) He or she shall examine the litigation materials and assist the judges in organizing pretrial evidence exchange. (1)审查诉讼材料,协助法官组织庭前证据交换;
(b) He or she shall assist the judges in organizing the pretrial mediation and drafting the mediation instruments. (2)协助法官组织庭前调解,草拟调解文书;
(c) He or she shall be entrusted to handle property preservation, evidence preservation, etc. or assist the judges in handling property preservation, evidence preservation, etc. according to the law. (3)受法官委托或协助法官依法办理财产保全、证据保全等;
(d) He or she shall, as assigned by the judge, coordinate the auxiliary judicial technical department for entrusted identification, assessment, audit and other work. (4)受法官指派,协调司法技术辅助部门办理委托鉴定、评估、审计等工作;
(e) He or she shall be entrusted to obtain necessary evidence or assist the judge in obtaining necessary evidence according to the law. (5)受法官委托或协助法官依法调取必要证据;
(f) He or she shall, according to the request of the judge, prepare the reference materials relevant to the trial of a case and study the legal issues involved in the case. (6)根据法官要求,准备与案件审理相关的参考资料,研究案件涉及的法律问题;
(g) He or she shall draft the trial report and written judgment under the guidance of the judge. (7)在法官指导下草拟审理报告、裁判文书;
(h) He or she shall complete other supporting trial work assigned by the judge. (8)完成法官交办的其他审判辅助性工作。
(14) A clerk shall fulfill the following responsibilities under the guidance of the judge: 14.书记员在法官指导下履行以下职责:
(a) He or she shall be responsible for the routine work of the pretrial preparation. (1)负责庭前准备的事务性工作;
(b) He or she shall examine the appearance of the litigation participants in court and announce court rules. (2)检查开庭时诉讼参与人的出庭情况,宣布法庭纪律;
(c) He or she shall be responsible for the recording of the trial of cases. (3)负责案件审理中的记录工作;
(d) He or she shall, in accordance with the requirements for online case handling, upload the case materials in a timely manner and specifically implement the various work requirements for judicial publicity. (4)按照网上办案要求及时上传案件材料,具体落实司法公开各项工作要求;
(e) He or she shall proofread and serve legal instruments. (5)校对、送达法律文书;
(f) He or she shall sort out, bind and archive the materials. (6)整理、装订、归档案卷材料;
(g) He or she shall complete other routine work assigned by the judge. (7)完成法官交办的其他事务性工作。
2. Professional judge meeting (二)专业法官会议
(15) Where a professional judge meeting is convened by all the trial business tribunals within the scope of their departments and a case to be discussed involves the cross fields, senior judges in the relevant professional trial fields may be invited from the court to participate in the discussion. The opinions form at a professional judge meeting shall be used as the reference for the collegial panel. 15.专业法官会议由各审判业务庭室在本部门范围内召集,拟讨论案件涉及交叉领域的,可以在全院范围内邀请相关专业审判领域的资深法官参与讨论。专业法官会议形成的意见供合议庭参考。
(16) The following cases may be discussed at the professional judge meetings: 16.专业法官会议讨论下列案件:
(a) cases with relatively big difference in the handling opinions of the collegial panel; (1)合议庭处理意见分歧较大的案件;
(b) cases deemed to be major, difficult, complex and new-type by the collegial panel; (2)合议庭认为属于重大、疑难、复杂、新类型的案件;
(c) cases requiring instructions to which the collegial panel plans to offer replies or official replies; (3)合议庭拟作出答复或批复的请示案件;
(d) cases for which the judgments planned to be rendered by the collegial panel are inconsistent with the adjudication criteria of the court for similar effective cases; (4)合议庭拟作出裁判结果与本院同类生效案件裁判尺度不一致的案件;
(e) cases as decided to be submitted for discussion by the president and other leaders of the court, or the chief judge according to their trial supervision administrative authority; (5)院长及其他院领导、庭长按照审判监督管理权限决定提交讨论的案件;
(f) cases to be submitted to the judicial committee for discussion; and (6)拟提交审判委员会讨论的案件;
(g) cases that minority members of the collegial panel insist on submitting a request for discussion and to which the chief judge grants consent. (7)合议庭少数意见坚持认为需要提请讨论并经庭长同意的案件。
3. Judicial committee (三)审判委员会
(17) The judicial committee shall, according to the needs of the trial work, set up internal criminal trial, civil and administrative trial, enforcement and other professional committees. 17.审判委员会根据审判工作需要,在内部设立刑事审判、民事行政审判、执行等专业委员会。
(18) The judicial committee shall discuss and make decisions for the following cases: 18.审判委员会讨论决定下列案件:
(a) major and complex cases involving national interests and social stability; (1)涉及国家利益、社会稳定的重大、复杂案件;
(b) cases requiring retrial as there are indeed errors in the effective judgments, rulings, decisions and mediations of the court; (2)本院已经生效的判决、裁定、决定、调解书确有错误需要再审、重新审理的案件;
(c) cases for which the Supreme People's Procuratorate files appeals and procuratorial opinions against the effective judgments and decisions of the court under the trial supervision procedures and the state compensation supervision procedures; (3)最高人民检察院依照审判监督程序、国家赔偿监督程序对本院生效裁判、决定提出抗诉、检察意见的案件;
(d) cases for which there are major difference in the opinions of the collegial panel and for which decisions are difficult to be made upon discussion at the professional judge meetings; (4)合议庭意见有重大分歧,经专业法官会议讨论仍难以作出决定的案件;
(e) cases for which the laws and regulations are unspecific and there are problems in the application of the law; (5)法律规定不明确,存在法律适用疑难问题的案件;
(f) cases whose handling outcome may have significant social impact; (6)处理结果可能产生重大社会影响的案件;
(g) new-type cases with guiding significance for the trial; and (7)对审判工作具有指导意义的新类型案件;
(h) other major, difficult and complex cases that need to be submitted to the judicial committee for discussion. (8)其他需要提交审判委员会讨论的重大、疑难、复杂案件。
(19) Besides discussion and decision-making of cases, the judicial committee shall fulfill the following responsibilities: 19.除讨论决定案件外,审判委员会履行以下职责:
(a) It shall sum up the trial work experience. (1)总结审判工作经验;
(b) It shall supervise and direct the trial work of the courts across the country. (2)监督指导全国法院审判工作;
(c) It shall develop the judicial interpretations and regulatory documents. (3)制定司法解释和规范性文件;
(d) It shall listen to the work report of the trial business tribunal, analyze, study and judge the operation situation of the trial work of this court and the courts across the country, and implement trial administration. (4)听取审判业务庭室工作汇报,分析研判本院和全国法院审判工作运行态势,实施审判管理;
(e) It shall discuss and issue guiding cases. (5)讨论发布指导性案例;
(f) It shall discuss other major issues relevant to the trial. (6)讨论其他有关审判工作的重大问题。
4. Compensation committee (四)赔偿委员会
(20) The responsibilities, scope of cases to be discussed, work flow, rules of procedure, etc. of the compensation committee shall be governed by the relevant provisions of the Working Rules of the Compensation Committee of the Supreme People's Court. 20.赔偿委员会的职责、讨论案件范围、工作流程、议事规则等,按照《最高人民法院赔偿委员会工作规则》有关规定执行。
III. Judicial process 三、审判流程
1. Docketing (一)立案
(21) Unified standards of the court shall be strictly implemented for the acceptance and docketing of cases. 21.收案和立案工作应当严格执行全院统一标准。
Where the materials submitted by a party and an attorney do not satisfy the formal requirements, the materials to be supplemented and corrected and the time limit shall be comprehensively notified in writing at a time. 当事人及诉讼代理人提交的材料不符合形式要件的,应当以书面形式一次性全面告知应当补正的材料和期限。
From the time when the materials are received, the docketing tribunal and the litigation service center shall disclose the information on the process of acceptance and docketing of case to the party and attorney in a timely manner through the China Judicial Process Information Online. 自接收材料起,立案庭、诉讼服务中心应当依托中国审判流程信息公开网及时向当事人及诉讼代理人公开收立案环节的信息。
(22) Where the conditions for acceptance and docketing are met, the docketing tribunal and the litigation service center shall comprehensively collect the name, number of certificate or license, address for service, communication method and other information on the party and attorney applying for docketing of a case, request them to sign a letter for confirmation of the address for service and method of service, and provide the corresponding information of the opposite party and a third party. 22.符合收案和立案条件的,立案庭、诉讼服务中心应当全面采集申请立案当事人及诉讼代理人的姓名名称、证照号码、送达地址、通讯方式等信息,要求其签署送达地址、送达方式确认书,提供对方当事人及第三人的相应信息。
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