谈关于审理上诉案件

　　　　　　　　　　　　　　　北安市人民法院—崔文茂

　　上诉案件的审理程序，根据《民事诉讼法》第157条的规定，首先应依照第二审程序的规定进行审理，第二审程序无规定的，适用第一审普通程序。这表明上诉案件的审理程序与第一审普通程序既有联系又有区别。
　　一、审理前的准备工作
　　第二审人民法院收到每一审人民法院报送的上诉案件后，在开庭审理前，应做好以下几项准备工作：　　（一）组成合议庭，第二审人民法院审理上诉案件，必须由审判员组成合议庭，这是由第二审人民法院的审判职能及上诉案件的特殊性决定的。当事人提起上诉的案件，既是上诉人与对方当事人之间的权利义务还有争议，且案情较为复杂，又是上诉人不服一审判决，认为一审法院的裁判认定事实错误，或适用法律不当。因此，第二审人民法院审理上诉案件，不仅要对当事人之间的权利义务争议重新进行审理，还负有审查监督每一审人民法院的审判工作是否正确的任务。所以，第二审人民法院审理上诉案件，必须由审判员组成合议庭更不能由审判员一人独任审判。司法实践中存在的先由一个审判员审理上诉案件，仅在评议时有合议庭成员参加或判决书上有合议庭成员的署名，这种“先独后合”的现象不利于正确审理民事案件，应当予以纠正。（二）审阅案卷、调查和询问当事人，第二审人民法院的合议庭成员在开庭审理前，应认真审阅案卷材料，这是合议庭熟悉案情的第一步。审查案卷的任务：一是进一步审查上诉人与被上诉人的资格，以及上诉是否超过上诉期间，如发现上诉主体不符合法定条件或超过上诉期的，应裁定驳回其上诉。对于上诉状有欠缺的，应通知其补正。二是审查上诉请求、答辩主以及案卷的其他材料。审查的重点是与上诉请求有关的事实是否清楚，证据是否充分、确凿，适用法律是否正确。通过审阅案卷，以明确哪些案件事实是清楚的，哪些问题需要进行调查和询问当事人后才能查清楚。合议庭根据案情的需要，进行必要的调查和询问当事人，以进一步查明案情。
　　二、上诉案件的审理范围
　　《民事诉讼法》第151条规定，第二审人民法院审理上诉案件，应当对当事人上诉请求的有关事实和适用法律进行审查。所谓上诉请求的有关事实和适用法律，是指证明和确认上诉请求能否成立的事实和法律依据。上诉请求的有关事实，包括上诉人在一审中提出的事实和证据，以及在上诉审中提出的新的事实和证据。上诉请求的法律适用，包括原审人民法院审理过程中对民事诉讼法的适用是否正确，以及对案件裁判所适用的实体法是否正确。
　　民事诉讼法的这一规定，与民事诉讼法（试行）关于第二审人民法院必须全面审查一审法院认定的事实和适用法律，不受上诉范围限制的规定不同。第二审人民法院只审理上诉人提出的上诉请求及有关的事实和适用的法律，对上诉人未提出异议的原审裁判所认定的事实的权利义务，一般不予审查，这是尊重当事人的处分权。但判决违反法律禁止性规定、侵害社会公共利益或者他人利益的除外。
被上诉人在答辩中要求或者补充第一审判决内容的，第二审人民法院可心不予审查。
　　三、上诉案件的审理方式
　　（一）开庭审理，第二审人民法院审理上诉案件，以开庭审理为原则，不开庭审理为例外。第二审人民法院审理上诉案件，一般都应传唤双方当事人和其他诉讼参与人到庭，开庭调查、辩论，并在此甚而上进行合议庭评议和判决。这对上诉案件的正确裁判是必要的，所以民事诉讼法把开庭审理作为原则予以规定。（二）迳行判决，第二审法院合议庭经过阅卷、调查和询问当事人后，认为案件事实清楚、适用法律正确，只是定性错误或者适用法律错误的案件，可以在询问当事人后迳行裁判。这一说明迳行判决不同于书面审理，合议庭仍然要询问当事人，听取当事人的陈述，在查清案件事实后，合议庭才能直接作出判决。根据《意见》第188条的规定，第二审人民法院对下列上诉案件，可以依照《民事诉讼法》第152条的规定迳行判决、裁定：一是一审不予受理、驳回起诉和管辖权异议作出裁定的案件；二是当事人提出的上诉请求明显不能成立的案件；三是原审裁判认定事实清楚，但适用法律错误的案件；四是原判决违反法定程序，可能影响案件正确判决，需要发回重审的案件。
　　四、上诉案件的调解
　　法院调解是民事诉讼法的一项基本原则。它贯穿民事审判程序的始终，所以第二审人民法院审理上诉案件，也可以进行调解。第二审人民法院在审理上诉案件过程中，可以根据双方当事人自愿原则进行调解。经调解达成协议后，第二审人民法院应当制作调解书。调解书由审判员、书记员署名，加盖人民法院印章。调解书送达当事人后即发生法律效力，原审人民法院的判决即视为撤销。所谓“视为撤销”，可以理解为调解书生效后，原一审判决等于被撤销而失去其效力。在二审调解中，当事人双方可以一上诉请求范围内的实体问题进行调解，也可以对一审判决认定的而上诉人未提出异议的实体问题进行调解。因为一审裁决未生效，当事人有权对此进行处分。
　　《意见》第182条至第185条规定，对当事人在一审中已经提出的诉讼请求，原审人民法院未作审理、判决的，第二审人民法院可以根据当事人的自愿的原则进行调解，调解不成的，发回重审。必须参加诉讼的当事人在一审中未参加诉讼，第二审人民法院可以根据自愿原则予以调解，调解不成的，发回重审，但发回重审的裁定书不列应当参加的当事人。在第二审程序中，原审原告增加独立的诉讼请求或原审被告提出反诉的，第二审人民法院可以根据当事人自愿的原则，一新增加的诉讼请求或反诉进行调解，调解不成的，告知当事人加行起诉。一审判决不准离婚的案件，上诉后，第二审人民法院认为应当判决离婚的，可以根据当事人自愿的原则，与子女扶养、财产问题一并调解，调解不成的，发回重审。当事人在二审达成和解协议的，根据《意见》第191条规定，人民法院可以根据当事人的请求，对双方达成的和解协议进行审查，并制作调解书送达当事人；因和解而是申请撤诉，经审查符合撤诉条件的，人民法院应予准许。


国家环保局


对外经济开放地区环境管理暂行规定(附英文)

1986年3月15日，国家环境保护局

第一条 为了加强对外经济开放地区的环境管理，防治环境污染和生态破坏，保障人体健康，保护和创造良好的投资环境，促进经济和社会发展，特制定本规定。
第二条 本规定所称对外经济开放地区，是指国家批准的经济特区、沿海开放城市和沿海经济开放区。在对外经济开放地区从事生产、经营活动的一切单位和个人，必须遵守本规定。
第三条 对外经济开放地区的各级人民政府，必须坚持“预防为主、防治结合”的方针，加强环境综合整治工作。应当把环境保护纳入本地区的经济和社会发展规划，明确环境保护的目标、任务和措施，并组织实施。
第四条 对外经济开放地区进行新区建设必须作出环境影响评价，全面规划，合理布局。各有关部门必须严格按照规划和布局的要求进行建设。对外经济开放地区现有的不合理布局，应当结合城市改造、工业调整逐步加以解决。在生活居住区、水源保护区、疗养区、自然保护区，风景游览区、名胜古迹和其他需要特殊保护的地区，不得建设污染环境的项目；已建成的，要限期治理、调整或搬迁。
第五条 管辖对外经济开放地区的省、自治区、直辖市人民政府，对国家环境质量标准中未规定的项目，可以制定地方补充标准；对执行国家污染物排放标准不能保证达到本地区环境质量要求的，可以制定严于国家污染物排放标准的地方污染物排放标准，报国家环境保护部门备案。按照前款规定制定的地方污染物排放标准，所在地的企业、事业单位必须执行。
第六条 对外经济开放地区从国外引进技术和设备，必须符合无污染或少污染的要求，对产生污染，国内又不能配套解决的，应当同时引进相应的环境保护设施。一切新建、改建和扩建项目，必须做到防治环境污染的配套设施与主体工程同时投入使用。
第七条 对外经济开放地区的一切单位和个人，在签订经济合同时，应当明确当事人各方在环境保护方面的义务和责任，落实防治环境污染的措施。合同中不得有违反国国家和地方环境保护法律、法规的内容。
第八条 在对外经济开放地区进行开发建设的单位，必须按照国家规定报送环境影响报告书（表）和建设项目初步设计环境保护篇章；竣工后，必须报送环境保护设施竣工验收报告。环境保护部门应当在接到环境影响报告书（表）的四十五日内，初步设计环境保护篇章、环境保护设施竣工验收报告的三十日内予以批复；逾期不批复的，上报方案自行生效。
第九条 对外经济开放地区的企业事业单位排放污染物，必须到所在地人民政府环境保护部门提出排污申请，如实填报拥有的污染物排放设施、处理设施和在正常作业条件下排放污染物的种类、方式、数量和浓度，经审核批准并取得排污登记证件后，方能生产或营业。排污情况发生变化的，应当及时向所在地人民政府环境保护部门申报。超过国家或地方污染物排放标准的，按照国家规定缴纳超标准排污费；向水体排放污染物的，按照国家规定缴纳排污费。
第十条 对外经济开放地区各级人民政府的环境保护部门，负责组织、协调、监督、检查本地区的环境保护工作。被监督检查单位必须如实提供有关情况和资料。环境保护部门对被监督检查单位提供的情况和资料有保密的义务和责任。
第十一条 凡违反本规定，造成污染损害的单位，对外经济开放地区各级人民政府的环境保护部门或国家规定的其他主管部门，可以责令其限期治理，支付消除污染费用，赔偿损失；并可以给予警告或罚款。当事人不服的，可以在收到决定书之日起十五日内，向人民法院起诉；期满不起诉又不履行的，由环境保护部门或其他主管部门提请人民法院强制执行。
第十二条 对外经济开放地区所在的省、自治区、直辖市人民政府可以根据本规定制定实施办法。
第十三条 本规定自发布之日起施行。

INTERIM PROVISIONS FOR THE ADMINISTRATION OF THE ENVIRONMENT INTHE ECONOMIC ZONES OPEN TO THE OUTSIDE WORLD

Important Notice: (注意事项)
英文本源自中华人民共和国务院法制局编译, 中国法制出版社出版的《中华人民
共和国涉外法规汇编》(1991年7月版).
当发生歧意时, 应以法律法规颁布单位发布的中文原文为准.
This English document is coming from the "LAWS AND REGULATIONS OF THE
PEOPLE'S REPUBLIC OF CHINA GOVERNING FOREIGN-RELATED MATTERS" (1991.7)
which is compiled by the Brueau of Legislative Affairs of the State
Council of the People's Republic of China, and is published by the China
Legal System Publishing House.
In case of discrepancy, the original version in Chinese shall prevail.

Whole Document (法规全文)
INTERIM PROVISIONS FOR THE ADMINISTRATION OF THE ENVIRONMENT IN
THE ECONOMIC ZONES OPEN TO THE OUTSIDE WORLD
(Approved by the State Council on March 4, 1986 and promulgated by
the State Administration for Environmental Protection on March 15, 1986)
Article 1
These Provisions are formulated for the purpose of strengthening the
administration of the environment in the economic zones open to the
outside world, preventing and remedying environmental pollution and the
disruption of ecological balance, safeguarding human health and protecting
and creating good investment environment so as to promote economic and
social development.
Article 2
The term "economic zones open to the outside world" as used in these
Provisions refers to the special economic zones, the open coastal cities
and the coastal economic development areas approved by the State.
All units and individuals that are engaged in production and business
activities in the economic zones open to the outside world shall abide by
these Provisions.
Article 3
People's governments at various levels in the economic zones open to the
outside world shall adhere to the principles of "having prevention as the
main concern and combining prevention with remedying" and strengthen the
work for the comprehensive improvement of the environment. They shall
incorporate environmental protection into the economic and social
development plans of their own localities and specify the targets, tasks
and measures with respect to environmental protection and organize the
implementation thereof.
Article 4
It shall be imperative to evaluate the impact on the environment, carry
out overall planning and ensure rational distribution, if construction of
new areas is to be undertaken in the economic zones open to the outside
world. All departments concerned shall carry out the construction in
strict accordance with the requirements in respect of planning and
distribution.
The existing irrational distribution of the economic zones open to the
outside world shall be rectified gradually in conjunction with urban
reform and industrial readjustment. In residential areas, water-resource
reserves, health resorts, nature reserves, tourist resorts, scenic spots
and places of historic interest, and other areas which need special
protection, no projects that may cause environmental pollution may be
constructed and a deadline shall be set for any such projects that have
been completed to be improved, readjusted, or removed.
Article 5
With respect to projects that are not covered by the State provisions
concerning the standards of environmental quality, the people's
governments of the provinces, autonomous regions and municipalities
directly under the Central Government having jurisdiction over the
economic zones open to the outside world may formulate their own local
supplementary standards. If the implementation of the State standards
concerning the discharge of pollutants fails to satisfy the requirements
for environmental quality of their own localities, they may formulate
their own local standards concerning the discharge of pollutants which are
stricter than the State standards concerning the discharge of pollutants
and submit them to the State departments for environmental protection for
the record.
The local standards concerning the discharge of pollutants formulated in
accordance with the provisions of the preceding paragraph shall be
implemented by the enterprises and institutions in the localities.
Article 6
Technology and equipment introduced from abroad into the economic zones
open to the outside world shall conform to the requirement that they shall
cause no pollution or little pollution. If the technology or equipment to
be introduced from abroad will cause pollution and no means is yet
available at home to tackle it, the corresponding environmental protection
facilities shall be introduced simultaneously. With respect to all newly-
constructed projects, alteration projects or expansion projects, it shall
be imperative to ensure that both the supporting facilities for preventing
and remedying environmental pollution and the principal part of the
project are put into operation simultaneously.
Article 7
When entering into an economic contract, all units and individuals in the
economic zones open to the outside world shall specify the obligations and
responsibilities of each of the parties thereto in respect of
environmental protection and ensure that measures for preventing and
remedying environmental pollution are duly stipulated. The contract may
not contain anything that runs counter to the laws and regulations of the
State or of the locality for environmental protection.
Article 8
Units that intend to engage in developmental construction in the economic
zones open to the outside world shall, in accordance with the pertinent
provisions of the State, submit an environmental impact report/form(s) and
a text on environmental protection in the preliminary design of a
construction project and shall, upon completion of the project, submit a
report on inspecting and accepting the completed environmental protection
facilities.
The department for environmental protection shall, within 45 days of
receipt of the environmental impact report/form(s) or within 30 days of
receipt of the text on environmental protection in the preliminary design
of a construction project and the report on inspecting and accepting the
completed environmental protection facilities, give an official written
reply to the unit that has submitted the above-mentioned documents. If no
such reply is given within the prescribed period of time, the documents
submitted shall automatically become effective.
Article 9
Enterprises and institutions in the economic zones open to the outside
world that have to discharge pollutants shall apply to the departments for
environmental protection under the local people's governments for
permission to discharge pollutants and fill in forms to report truthfully
on the pollutant discharging and treating facilities that they possess and
the kind(s) of pollutants to be discharged, the mode(s) of discharging,
and the quantity and density of the pollutants under normal operational
conditions. Their production or business operations shall begin only
after the application has been verified and approved and the document for
the registration of pollutant discharge has been obtained. If changes have
taken place in the discharge of pollutants, these shall be reported in
good time to the departments for environmental protection under the local
people's governments.
Those that discharge pollutants in excess of the State or local standards
shall pay an excess pollutant discharge fee in accordance with the
pertinent provisions of the State; those that discharge pollutants into
water shall pay a pollutant discharge fee in accordance with the pertinent
provisions of the State.
Article 10
The departments for environmental protection under the people's
governments at various levels in the economic zones open to the outside
world shall be responsible for organizing, co-ordinating, supervising and
inspecting the work of environmental protection in their own localities.
The units that are subjected to supervision and inspection shall provide
the actual relevant information and data.
The departments for environmental protection shall undertake the
obligation and responsibility to maintain the confidentiality of the
information and data provided by the units that are subjected to
supervision and inspection.
Article 11
The departments for environmental protection under the people's
governments at various levels in the economic zones open to the outside
world or other competent departments may order those units that have
violated these Provisions and caused pollution damage to remedy the
situation within a prescribed period of time, pay the expenses for
eliminating the pollution and compensate for the losses thus incurred and
may also give them a warning or impose a fine on them.
Any party concerned that does not accept the penalties may file a suit
with a people's court within 15 days of receipt of the written decision
concerning the penalties. If no suit is filed and yet the decision is not
carried out within the prescribed period of time, the departments for
environmental protection or other competent departments may apply to the
people's court for the compulsory enforcement of the decision.
Article 12
The people's governments of the provinces, autonomous regions and
municipalities where the economic zones open to the outside world are
located may formulate measures for the implementation of these Provisions
in accordance therewith.
Article 13
These Provisions shall go into effect on the date of promulgation.