China: 案外人针对保全错误的救济

Last Updated: 31 May 2019
Article by Hanbo Shi
Most Read Contributor in China, July 2019

一、问题的提出

我们知道在生效法律文书执行阶段,法院保全了债务人名下的财产,拟进行执行的,若案外人认为自己是该财产的所有权人,可以向执行法院提出执行异议,执行异议被驳回的,接来下还可以提出执行异议之诉。在执行异议之诉中,法院会对标的物的归属进行实体审理,判断谁是真正的权利人。

那么,若是在诉讼保全阶段,法院下裁定保全了债务人名下的财产,案外人若认为自己是标的物的所有权人,应如何维护自己的权利,能够采取什么救济措施呢?本文拟对这一问题进行讨论,以期对实务有所帮助。

二、救济措施裁判规则的沿革

对于案外人能够采取什么救济措施,司法解释似乎是有规定的,但司法解释如何理解,实务中如何操作,好像争议一直比较大,至今恐怕也未必完全廓清。并且裁判规则也经历了很明显的变化。因此有必要梳理一下裁判规则的沿革。

《民诉法解释》第172条规定:利害关系人对保全或者先予执行的裁定不服申请复议的,由作出裁定的人民法院依照民事诉讼法第一百零八条规定处理。

司法解释刚刚公布后,人们理解这一条时,一般认为案外人的救济措施就是申请复议,案外人没有提出执行异议(即案外人异议或称为实体异议)的权利,也没有后续提出执行异议之诉的权利。并且对保全的复议是一裁终局的,接下来没有其他后续救济措施。民诉法解释《理解与使用》一书对本条的解读,开始的第一段似乎就是采用的这种观点,该书写到"第一种观点认为,案外人因保全或先予执行错误受到侵害,赋予案外人享有复议的救济程序就足够了,不应适用执行阶段的案外人异议制度。......经研究,并征求全国人大法工委等单位和有关专家学者的意见。我们采纳了第一种意见"。(见该书491页)。

各地法院恐怕大多数都是按照这个观点来执行的。典型的如江苏省高级人民法院,在其2015年7月2日发布的《执行异议之诉案件审理指南》中,有一条是这样规定的

五、对诉讼保全措施能否提起执行异议之诉?案外人对人民法院作出的诉讼保全裁定不服的,应当依照《民诉法解释》第一百七十二条的规定向作出保全裁定的人民法院申请复议。案外人提起执行异议之诉的,应当不予受理;已经受理的,应当裁定驳回起诉。

笔者认为,采用上述观点,显然有很大的问题,不能使案外人获得充分的救济。因为对保全的复议程序,也要遵循形式审查原则,不可能进行实体审理。正常来讲,标的物被查封时,权利外观一般都在被告名下,案外人虽有实体权利,但没有权利外观,去提出复议,根据形式审查原则,很难获得支持。而案外人要想维护自己的实体权利,必须经过实体审理,由法院查明标的物真实的权属,但上面的观点恰恰没有给案外人进入实体审理的机会,因为复议是一裁终局的。那案外人只能等到出现生效判决,案件进入执行阶段,才能通过执行异议及紧接着的执行异议之诉维护自己的权利。从保全到进入执行阶段,可能会持续很长时间,在这个期间内,案外人不能处分收益自己的财产,只能无奈的等待。因此,很难认为案外人的权利获得了充分的救济。

江苏省高院应该也是意识到了上面的问题,紧接着在2016年5月19日,发布了一个《江苏省高级人民法院关于案外人针对诉讼保全措施能否提起执行异议之诉的纪要》,该纪要指出:

会议认为,《最高人民法院关于适用〈中华人民共和国民事诉讼法〉的解释》第一百七十二条规定:利害关系人对保全或者先予执行的裁定不服申请复议的,由作出裁定的人民法院依照民事诉讼法第一百零八条规定处理。该条规定赋予案外人针对保全裁定申请复议的权利,但并未排除案外人对保全标的提起案外人异议进而提起执行异议之诉的权利。诉讼保全行为属于执行措施,案外人不服人民法院作出的诉讼保全裁定,对保全标的提出书面异议的,为充分救济其合法权益,有权依据《民事诉讼法》第二百二十七条的规定,提起案外人异议进而提起执行异议之诉。

上述纪要确立的裁判规则,就非常趋于完善了,避免了上面提到的案外人权利无法救济的尴尬。

再接下来,最高法院在《最高人民法院关于人民法院办理财产保全案件若干问题的规定》的第27条作出了如下规定:

人民法院对诉讼争议标的以外的财产进行保全,案外人对保全裁定或者保全裁定实施过程中的执行行为不服,基于实体权利对被保全财产提出书面异议的,人民法院应当依照民事诉讼法第二百二十七条规定审查处理并作出裁定。案外人、申请保全人对该裁定不服的,可以自裁定送达之日起十五日内向人民法院提起执行异议之诉。

人民法院裁定案外人异议成立后,申请保全人在法律规定的期间内未提起执行异议之诉的,人民法院应当自起诉期限届满之日起七日内对该被保全财产解除保全。

笔者认为,上述规定确立的裁判规则就非常完善了,给予了案外人充分的救济权利,能够保证实体的公正,司法实务的裁判规则,应该统一到上述规定上来。但遗憾的是,从查询到的案例来看,实务中对这一问题,还没有形成统一的认识。对《民诉法解释》第172条和上面《保全规定》第27条的逻辑关系,实务中很多情况下并没有真正理清。笔者下面一节,重点分析一下《民诉法解释》第172条的来源和其缺陷,以及其与《保全规定》第27条的逻辑关系。

在进入下面的分析之前,笔者再对《保全规定》第27条为何要加"诉讼争议标的以外的财产"这样一个限制,进行简要分析。即如果保全的是诉讼争议的标的,那么案外人是否可以提出执行异议和执行异议之诉,不能提出的话,其如何维护权利呢?在保全的是诉讼争议标的的情况下,案外人不能提出执行异议和执行异议之诉,并不意味着其权利无法保护,案外人有一个更直接的方式维护自己的权利,他可以以有独立请求权第三人的身份,以提起独立的诉讼请求的方式参加到案件的审理中来。通过参加案件的审理,促使法院在实体上查明标的物的归属,如果法院认定标的物归案外人所有,那么标的物自然不能再被案件的原告执行,也应当解除保全。这样就实现了与执行异议之诉相同的效果,并且在一个案件中就一并解决了,非常直接便捷。因此,案外人这个时候,就不需要再费事提出执行异议及衔接执行异议之诉了。因此,《保全规定》第27条加了"诉讼争议标的以外的财产"这样一个限制。

三、救济措施的学理分析

《民诉法解释》第172条,来源于最高法院2011年10月19日发布的《最高人民法院关于执行权合理配置和科学运行的若干意见》,该《意见》第17规定:

当事人、案外人对财产保全、先予执行的裁定不服申请复议的,由作出裁定的立案机构或者审判机构按照民事诉讼法第九十九条的规定进行审查。

当事人、案外人、利害关系人对财产保全、先予执行的实施行为提出异议的,由执行局根据异议事项的性质按照民事诉讼法第二百零二条或者第二百零四条的规定进行审查。

当事人、案外人的异议既指向财产保全、先予执行的裁定,又指向实施行为的,一并由作出裁定的立案机构或者审判机构分别按照民事诉讼法第九十九条和第二百零二条或者第二百零四条的规定审查。

(注意上述规定中民事诉讼法的条文编号是2012年修订之前的)

《民诉法解释》第172条的规定,即来源于该《意见》第17条第1款。《意见》的该条规定区分了对裁定有异议和对裁定的实施行为有异议,分别赋予了不同的救济措施,即对裁定有异议不服的,要申请复议,对裁定的实施行为有异议的,要提出执行异议(可以是对执行行为的异议,也可以是实体异议)。并且这种区分也被延续到了今天,民诉法解释《理解与适用》一书第493页的相关论述,也是按照《意见》第17条来讨论的,相当于把《意见》第17条展开来说了一下。即使是《保全规定》的第27条,依旧延用了这个表述,即案外人对"保全裁定"或者"保全裁定实施过程中的执行行为"不服,但不同的是,《保全规定》已经赋予两种情况下都可以提出执行异议及执行异议之诉的权利,使得案外人获得了充分的救济。

经过本文上面第二大段的分析,我们知道了怎样的裁判规则才是合理的。此时反过头来看《意见》第17条的规定,我们发现它其实是存在缺陷的。笔者认为对裁定有异议和对裁定的实施行为有异议是没有必要区分的,也是无法区分的。

就对标的物享有所有权的案外人来讲,其本质上要实现的目的为:在主张自己对标的物享有所有权的基础上,请求法院解除保全措施。参考强制执行阶段,案外人提出执行异议一般诉请法院:判令不得执行某某标的物,而不会请求法院撤销某某执行裁定。在诉讼保全阶段,案外人提出异议的异议书中,请求事项应当是:请求法院依法解除对标的物的保全措施,而事实与理由部分,要论述自己如何对标的物享有所有权。

从我国的司法实践来看,保全裁定有不同的表现形式,有些保全裁定表述为:查封、扣押、冻结被申请人某某某价值人民币若干元的财产;而有些保全裁定直接表述为:查封被申请人某某某的某项财产(例如车辆)。目前实践中常用的是第一种,而最高法院发布的诉讼文书样式中,采用的是第二种。针对第一种裁定,因为没有直接涉及保全什么财产,不会损害案外人的权益,案外人也无法就第一种类型的裁定提出复议。针对第二种裁定,保全行为的实施损害到案外人的权益时,案外人为了充分维护自己的权益,必然会请求法院依法解除对标的物的保全措施,若异议被驳回,案外人必然需要一个执行异议之诉的救济。因此,案外人似乎没有必要主张所谓的对保全裁定不服,进而走入复议程序。

综上所述,笔者经过反复思考,最终还是认为,对"保全裁定"或者对"保全裁定实施过程中的执行行为"有异议是没有必要区分的,针对错误的保全,案外人若是认为对标的物享有实体权利,救济措施就是提出执行异议(或者称为保全异议),如果异议被驳回的,进而可以提起执行异议之诉。

因此,笔者认为《民诉法解释》第172条在实践中已经没有用武之地。要论《保全规定》第27条和《民诉法解释》第172条的逻辑关系,笔者认为《保全规定》第27条实质上取代了《民诉法解释》第172条,而不是对它的补充。

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