LAW OF THE PEOPLE'S REPUBLIC OF CHINA ON CONTROL OF THE ENTRY AND EXIT OF ALIENS

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LAW OF THE PEOPLE'S REPUBLIC OF CHINA ON CONTROL OF THE ENTRY AND EXIT OF ALIENS ——附加英文版

The Standing Committee of the National People's Congress


LAW OF THE PEOPLE'S REPUBLIC OF CHINA ON CONTROL OF THE ENTRY AND EXIT OF ALIENS

(Adopted at the 13th Meeting of the Standing Committee of the
Sixth National People's Congress, promulgated by Order No. 31 of the
President of the People's Republic of China on November 22, 1985, and
effective as of February 1, 1986)

Contents
Chapter I General Provisions
Chapter II Entry into the Country
Chapter III Residence
Chapter IV Travel
Chapter V Exit from the Country
Chapter VI Administrative Organs
Chapter VII Penalties
Chapter VIII Supplementary Provisions

Chapter I General Provisions
Article 1
This Law is formulated with a view to safeguarding the sovereignty of the
People's Republic of China, maintaining its security and public order and
facilitating international exchange.
This Law is applicable to aliens entering, leaving and transiting the
territory of the People's Republic of China and to those residing and
travelling in China.
Article 2
Aliens must obtain the permission of the competent authorities of the
Chinese Government in order to enter, transit or reside in China.
Article 3
For entry, exit and transit, aliens must pass through ports open to aliens
or other designated ports and must be subject to inspection by the
frontier inspection offices. For entry, exit and transit, foreign-owned
means of transport must pass through ports open to aliens or other
designated ports and must be subject to inspection and supervision by the
frontier inspection offices.
Article 4
The Chinese Government shall protect the lawful rights and interests of
aliens on Chinese territory.
Freedom of the person of aliens is inviolable. No alien may be arrested
except with the approval or by decision of a people's procuratorate or by
decision of a people's court, and arrest must be made by a public security
organ or state security organ.
Article 5
Aliens in China must abide by Chinese laws and may not endanger the state
security of China, harm public interests or disrupt public order.

Chapter II Entry into the Country
Article 6
For entry into China, aliens shall apply for visas from Chinese diplomatic
missions, consular offices or other resident agencies abroad authorized by
the Ministry of Foreign Affairs. In specific situations aliens may, in
compliance with the provisions of the State Council, apply for visas to
visa-granting offices at ports designated by the competent authorities of
the Chinese Government.
The entry of nationals from countries having visa agreements with the
Chinese Government shall be handled in accordance with those agreements.
In cases where another country has special provisions for Chinese citizens
entering and transiting that country, the competent authorities of the
Chinese Government may adopt reciprocal measures contingent on the
circumstances.
Visas are not required for aliens in immediate transit on connected
international flights who hold passenger tickets and stay for no more than
24 hours in China entirely within airport boundaries. Anyone desiring to
leave the airport temporarily must obtain permission from the frontier
inspection office.
Article 7
When applying for various kinds of visas, aliens shall present valid
passports and, if necessary, provide pertinent evidence.
Article 8
Aliens who have been invited or hired to work in China shall, when
applying for visas, produce evidence of the invitation or employment.
Article 9
Aliens desiring to reside permanently in China shall, when applying for
visas, present status-of-residence identification forms. Applicants may
obtain such forms from public security organs at the place where they
intend to reside.
Article 10
The competent authorities of the Chinese Government shall issue
appropriate visas to aliens according to the purposes stated in their
entry applications.
Article 11
When an aircraft or a vessel navigating international routes arrives at a
Chinese port, the captain or his agent must submit a passenger name list
to the frontier inspection office; a foreign aircraft or vessel must also
provide a name list of its crew members.
Article 12
Aliens who are considered a possible threat to China's state security and
public order shall not be permitted to enter China.

Chapter III Residence
Article 13
For residence in China, aliens must possess identification papers or
residence certificates issued by the competent authorizes of the Chinese
Government. The term of validity of identification papers or residence
certificates shall be determined according to the purposes of entry.
Aliens residing in China shall submit their certificates to the local
public security organs for examination within the prescribed period of
time.
Article 14
Aliens who, in compliance with Chinese laws, find it necessary to
establish prolonged residence in China for the purpose of investing in
China or engaging in cooperative projects with Chinese enterprises or
institutions in the economic, scientific, technological and cultural
fields, or for other purposes, are eligible for prolonged or permanent
residence in China upon approval by the competent authorities of the
Chinese Government.
Article 15
Aliens who seek asylum for political reasons shall be permitted to reside
in China upon approval by the competent authorities of the Chinese
Government.
Article 16
Aliens who fail to abide by Chinese laws may have their period of stay in
China curtailed or their status of residence in China annulled by the
competent authorities of the Chinese Government.
Article 17
For a temporary overnight stay in China, aliens shall complete
registration procedures pursuant to the relevant provisions.
Article 18
Aliens holding residence certificates who wish to change their place of
residence in China must complete removal formalities pursuant to the
relevant provisions.
Article 19
Aliens who have not acquired residence certificates or who are on a study
programme in China may not seek employment in China without permission of
the competent authorities of the Chinese Government.

Chapter IV Travel
Article 20
Aliens who hold valid visas or residence certificates may travel to places
open to aliens as designated by the Chinese Government.
Article 21
Aliens desiring to travel to places closed to aliens must apply to local
public security organs for travel permits.

Chapter V Exit from the Country
Article 22
For exit from China, aliens shall present their valid passports or other
valid certificates.
Article 23
Aliens belonging to any of the following categories shall not be allowed
to leave China:
(1) defendants in criminal cases or criminal suspects confirmed by a
public security organ, a people's procuratorate or a people's court;
(2) persons who, as notified by a people's court, shall be denied exit
owing to involvement in unresolved civil cases; and
(3) persons who have committed other acts in violation of Chinese law who
have not been dealt with and against whom the competent authorities
consider it necessary to institute prosecution.
Article 24
Frontier inspection offices shall have the power to stop aliens belonging
to any of the following categories from leaving the country and to deal
with them according to law:
(1) holders of invalid exit certificates;
(2) holders of exit certificates other than their own; and
(3) holders of forged or altered exit certificates.

Chapter VI Administrative Organs
Article 25
China's diplomatic missions, consular offices and other resident agencies
abroad authorized by the Ministry of Foreign Affairs shall be the Chinese
Government's agencies abroad to handle aliens' applications for entry and
transit.
The Ministry of Public Security, its authorized local public security
organs, the Ministry of Foreign Affairs and its authorized local foreign
affairs departments shall be the Chinese Government's agencies in China to
handle aliens' applications for entry, transit, residence and travel.
Article 26
The authorities handling aliens' applications for entry, transit,
residence and travel shall have the power to refuse to issue visas and
certificates or to cancel visas and certificates already issued or declare
them invalid.
The Ministry of Public Security and the Ministry of Foreign Affairs may,
when necessary, alter decisions made by their respectively authorized
agencies.
Article 27
An alien who enters or resides in China illegally may be detained for
examination or be subjected to residential surveillance or deportation by
a public security organ at or above the county level.
Article 28
While performing their duties, foreign affairs police of the public
security organs at or above the county level shall have the power to
examine the passports and other certificates of aliens. When conducting
such examinations, the foreign affairs police shall produce their own
service certificates, and relevant organizations or individuals shall have
the duty to offer them assistance.

Chapter VII Penalties
Article 29
If a person, in violation of the provisions of this Law, enters or leaves
China illegally, establishes illegal residence or makes an illegal
stopover in China, travels to places closed to aliens without a valid
travel document, forges or alters an entry or exit certificate, uses
another person's certificate as his own or transfers his certificate, he
may be penalized by a public security organ at or above the county level
with a warning, a fine or detention for not more than ten days. If the
circumstances of the case are serious enough to constitute a crime,
criminal responsibility shall be investigated in accordance with the law.
If an alien subject to a fine or detention by a public security organ
refuses to accept the penalty, he may, within 15 days of receiving
notification, appeal to the public security organ at the next higher
level, which shall make the final decision; he may also directly file suit
in the local people's court.
Article 30
In cases where a person commits any of the acts stated in Article 29 of
this Law, if the circumstances are serious, the Ministry of Public
Security may impose a penalty by ordering him to leave the country within
a certain time or may expel him from the country.

Chapter VIII Supplementary Provisions
Article 31
For the purposes of this Law the term "alien" means any person not holding
Chinese nationality according to the Nationality Law of the People's
Republic of China.
Article 32
Transistory entry into and exit from China by aliens who are nationals of
a country adjacent to China and who reside in areas bordering on China
shall be handled according to any relevant agreements between the two
countries or, in the absence of such agreements, according to the relevant
provisions of the Chinese Government.
Article 33
The Ministry of Public Security and the Ministry of Foreign Affairs shall,
pursuant to this Law, formulate rules for its implementation, which shall
go into effect after being submitted to and approved by the State Council.
Article 34
Affairs concerning members of foreign diplomatic missions and consular
offices in the People's Republic of China and other aliens who enjoy
diplomatic privileges and immunities, after their entry into China, shall
be administered in accordance with the relevant provisions of the State
Council and its competent departments.
Article 35
This Law shall go into effect on February 1, 1986.




Important Notice:
This English document is coming from "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.

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上海市工商行政管理局关于印发《上海市著名商标认定与保护暂行办法》的通知

上海市工商行政管理局


上海市工商行政管理局关于印发《上海市著名商标认定与保护暂行办法》的通知

沪工商标[1996]第446号


浦东新区、各区、县工商行政管理局:
现印发《上海市著名商标认定与保护暂行办法》,请遵照执行。
一九九六年八月十四日


上海市著名商标认定与保护暂行办法



第一章总则
第一条 为提高上海商标的知名度和市场竞争能力,加强对著名商标的保护,推动上海企业积极创立在国内外市场上有影响的驰名商标,促进上海经济的发展,特制定本办法。
第二条 上海市工商行政管理局是上海商标工作的行政主管机关,根据《中华人民共和国商标法》和上海市人民政府赋予的职责,负责上海市著名商标的认定和保护工作。
第三条 上海市著名商标是在市场上具有较高信誉、较高市场占有率、较高商标附加值的商标。
第四条 上海市著名商标实行个案认定、特殊保护。
第二章组织
第五条 上海市工商行政管理局成立上海市著名商标认定委员会(以下简称“认定委员会”)。
认定委员会下设办公室,负责日常工作。
第六条 认定委员会履行下列职责:
(一)受理区、县工商行政管理局推荐的申请;
(二)受理申请人对区、县工商行政管理局不予推荐的复议;
(三)复审申请材料;
(四)向有关方面征询意见;
(五)对著名商标申请作审议决定。
第七条 区、县工商行政管理局履行下列职责:
(一)接受本辖区申请人申请上海市著名商标;
(二)对申请进行初审,作出推荐或不推荐的意见;
(三)同意推荐的应当上报推荐材料;不予推荐的应当上报备案材料。
第八条 认定委员会人选由上海市工商行政管理局确定,委员人数为单数。认定委员会在每年4月至10月,不定期召开会议,审理“上海市著名商标”申请。
第三章条件
第九条 上海市著名商标应符合下列条件:
(一)商标注册和实际使用均满三年以上;
(二)商标使用区域大,在国内市场上具有较高的信誉,并为相关公众所熟知;
(三)商标所指的商品或服务质量优良,并能长时期保持稳定;
(四)商标所指的商品或服务的产量、销售额、利润、市场占有率等主要经济指标在同行业中名列前茅;
(五)商标宣传面大、覆盖地域广、成效显著;
(六)商标所有人有较强的商标意识,注重商标的使用、管理和保护工作。
(七)出口商品的商标应当在较多国家(地区)注册,并拥有较广泛的销售地区。
第四章程序
第十条 本市依法成立的企业、事业单位、社会团体、个体工商户,其在中国注册的商标,符合上海市著名商标条件的,可以申请上海市著名商标。
第十一条 申请上海市著名商标实行申请人自愿申报,并由申请人负举证责任。申请人应当按照上海市著名商标条件提供有关材料,并附送近三年的举证材料。
第十二条 申请上海市著名商标的应当填写《上海市著名商标认定申请表》,并向所在地区、县工商行政管理局提出申请。区、县工商行政管理局根据条件和申请人提供的材料进行初审,认为符合上海市著名商标条件的,签署意见后向认定委员会推荐;对不符合上海市著名商标条件不予推荐的,应将审查结果通知申请人,并报认定委员会备案。
第十三条 申请人对区、县工商行政管理局初审意见有异议的,可以向认定委员会请求复议。经认定委员会复议后,认为请求理由成立的,转所在地区、县工商行政管理局再审查,或者由认定委员会直接受理;认为请求理由不能成立的,不予受理,并通知申请人。
第十四条 认定委员会对区、县工商行政管理局推荐上报材料进行复审,需要调查核实的,委托上海市商标协会予以调查。
第十五条 上海市商标协会按照认定委员会的委托,对申请人上报的有关材料进行调查核实。
第十六条 认定委员会对申请认定的商标向行业组织、消费者协会,商标管理部门、质量监督部门等有关方面征询意见。
第十七条 认定委员会召开上海市著名商标审定会议。审定著名商标必须有五分之四以上委员出席、经出席会议的三分之二以上委员无记名投票表决同意方为有效。
第十八条 每认定一个著名商标,认定委员会应当制作《上海市著名商标认定表决书》。
第十九条 认定委员会委员不得委托他人代为出席会议,不得委托他人投票表决。
第二十条 经认定为上海市著名商标的,由上海市工商行政管理局发认定书并公告;未予认定的,以书面形式通知推荐单位及申请人。
第五章保护
第二十一条 上海市著名商标是企业重要的知识产权,工商行政管理机关应当按照《商标法》、《反不正当竞争法》、《企业名称管理规定》等法律、法规、规章,依法加强对著名商标的保护。
第二十二条 被认定为上海市著名商标的商标可以受到或者申请下列特殊保护:
(一)上海市著名商标扩大到企业字号的保护,禁止他人在相同行业或相关领域内用上海市著名商标的名称作企业字号;对认定前已存在的企业字号不具追溯力;
(二)上海市著名商标的商品视同“知名商品”,禁止他人擅自使用上海市著名商标商品上特有的名称、包装、装潢;
(三)禁止他人以各种方式淡化、丑化、贬低上海市著名商标的行为;
(四)上海市工商行政管理局定期下发“上海市著名商标保护名录”,并抄告各地工商行政管理机关。各级工商行政管理机关在市场监督和执法中对上海市著名商标实施主动干预和强化保护。凡假冒上海市著名商标的,依据《商标法》和有关工商法规从重处罚;
(五)扩大上海市著名商标的注册保护。上海市著名商标在申请商标扩大注册保护时,对有困难的,本市有关工商行政管理机关帮助协调或者出具有关证明;
(六)由上海市消费者协会利用投诉监督网,反馈上海市著名商标的市场信誉、市场占有率、被假冒侵权等信息。凡在异地被假冒侵仅的,由有关工商行政管理机关提供咨询、指导、协调等服务。
第六章管理
第二十三条 上海市著名商标的权利人,应当加强商标管理和保护,自觉维护上海市著名商标的信誉。
第二十四条 上海市著名商标权利人不得滥用权利、毁坏商标声誉、损害消费者或用户利益,凡有下列行为之一的,任何人可向认定委员会检举,经认定委员会核实后,由上海市工商行政管理局责令其限期改正,情节严重的撤销其著名商标资格。
(一)超越核准的商标和核定的商品范围使用的;
(二)滥施许可,变相买卖商标标识的;
(三)利用著名商标信誉,产品粗制滥造,损害消费者(用户)利益的;
(四)无偿或低价转让其商标,未经评估和有关工商行政管理机关批准,擅自在合资、合作、联营中转让其商标的;
(五)以行政机关名义为其作广告宣传的;
(六)其它违反法律、法规、规章的行为。
第二十五条 撤销上海市著名商标的,由上海市工商行政管理局予以公告。
第二十六条 因产品老化、淘汰、市场变动等原因,难以保持上海市著名商标信誉的,可由商标权利人自动提出注销其“上海市著名商标”。经认定委员会审理后,由上海市工商行政管理局注销其著名商标资格。
第二十七条 著名商标注册人名义发生变化的,应当向认定委员会申请变更。
第七章纪律
第二十八条 申请人申请上海市著名商标时有弄虚作假、伪造证据或者以其他手段串通有关人员牟取不正当利益行为的,取消其申请资格,并在三年内不得再申请。
第二十九条 认定委员会委员与有关工作人员,在上海市著名商标认定和保护工作中应当坚持公开、公平、公正的原则,自觉以职业道德和廉政规定为约束,不得弄虚作假,不得偏袒和说情,不得以权谋取个人或部门利益。
第三十条 认定和保护工作实行无偿原则,任何单位不得乱收费。
第三十一条 参加认定委员会的区、县委员在评审本区、县申请人的申请时,应予回避;有关委员及有关工作人员涉及与申请人利益关系的,应予回避;对申请人有关材料进行调查的人员,在评审该申请时应予回避。
申请人认为对其有利害关系的有关委员或工作人员,可以申请回避。委员或工作人员的回避由认定委员会主任决定,认定委员会主任的回避由上海市工商行政管理局局长决定。
第三十二条 凡涉及此项工作的有关人员,应当对申请人的有关资料妥善保管,并负保密责任。
第三十三条 认定委员会委员在工作中如有严重违反纪律的,由上海市工商行政管理局撤销其委员资格;工作人员有严重违反纪律的,由认定委员会停止其相关工作;对严重违反纪律的人员同时由有关方面追究其责任。
第八章附则
第三十四条 被认定上海市著名商标的,自发文之日起三年内有效;期满由申请人申请重新认定。逾期不申请重新认定的,经认定委员会核实后由上海市工商行政管理局撤销其著名商标资格,并不享有对其的特殊保护。
本办法实施前评选的上海市著名商标,未经认定委员会认定,不享有本办法的特殊保护。
第三十五条 申报国家工商行政管理局商标局认定“中国驰名商标”的,由上海市工商行政管理局在“上海市著名商标”中择优推荐。
第三十六条 有关表式由认定委员会统一制作。
第三十七条 本办法由上海市工商行政管理局负责解释。
第三十八条 本办法自一九九六年九月一日起施行




此文原载《司法审判动态与研究》2007年总第8集,第456-469页。


走向“信息完美”
---论科斯定理对庭审过程的启示

董国庆(浙江省高级人民法院研究室法官。法学硕士。)


运用经济学工具分析和解决法律问题,是近三十年以来西方法学发展的又一潮流,它几乎可以涉及法律的每一个领域1。罗纳德·科斯,这位美国芝加哥大学的教授,一生著述不少,其中最有名的两篇论文:一篇是发表于1937年的《企业的性质》,另一篇是1960年发表的《社会成本问题》。前者提出了被后人概括为“交易成本”的概念,并用它分析了企业与市场的差别与联系;后者则强调了“产权”在经济问题中的重要地位。这些概念和理论,发展起了“交易成本经济学”和“产权学派”,并以它们为主要内容,形成了现代的“新制度经济学”。科斯因其对“产权”和“交易成本”在资源配置上的关系作了令人叹为观止的分析,而获得1991年诺贝尔经济学奖2。科斯定理已成为法律经济学中的经典理论之一。
本文拟就运用科斯定理对双方当事人之间的“和解3”要价进行定量分析,并以博弈论为工具就诉讼的发生率与信息的关联度进行分析。
一、科斯定理及其经典案例
科斯定理是科斯通过一系列案例对外部效应和侵权法的解释而闻名的,他自己从未对其做过精确地定义4,科斯定理一般表述为“当交易成本为零时,私人谈判将导致资源最优的配置,无论产权在法律上的安排是怎样的情况。” 5有学者将其观点概述成科斯定律和科斯定理推论,也有学者称其为科斯定律和科斯反定律。其实,所谓科斯定理推论、科斯反定律不过是科斯定理的“逆反”含义“如果交易成本过高,即使产权明确,私人间的交易也不能实现资源的最优配置。”6以下是一个描述科斯定理的经典案例:
假定一个牲畜饲养者与一农夫家毗邻而居,农夫在他的土地上种植了玉米。饲养场与农庄之间的界线是清晰的,但是没有栅栏。有时牲畜会跑到农夫的田里践踏玉米。可以通过安装围栏来减少这种损失。在没有任何栅栏的情况下,牲畜的侵犯使得农夫每年损失100美元,在农夫的玉米田周围安装围栏的成本每年是50美元,而在饲养场的周围建造围栏每年是75美元。到底是由农夫花去50美元还是由饲养者花去75美元来建造围栏由法律做出规定。显然,从效率的角度考虑,法律的规定应该是饲养权,即饲养者有权放牧,农夫只好建造围栏避免自己的损失。但是,倘若法律的规定是农夫权,即饲养者有责任让牲畜呆在畜圈内,故围栏应由饲养者来建造以免给农夫造成玉米损失,饲养者会花去75美元来建造围栏吗?科斯认为不会,饲养者会去和农夫交易,给农夫50美元让农夫建造围栏。饲养者因此而省下了25美元,再与农夫平分,拿出12.5美元给农夫。这25美元便是合作剩余,通过合作谈判双方均受益。科斯得出的结论是:法律的规定应该是饲养权,这样才有效率。但是,倘若法律的规定是农夫权,只要交易成本为零,双方总能成功地进行谈判,资源的配置同样达到最优。
科斯定理中“交易成本为零”是指所有的交易谈判没有阻碍、没有其它成本。由于现实交易中交易成本是大量存在的,如双方搜集相关信息、进行谈判、订立相关协议并监督协议实施所需的费用等。因此科斯定理中“交易成本为零”的情形是不存在的。科斯定理的价值在于科斯定理的“逆反”含义:假定饲养者去找农夫交易,通过谈判签订一个饲养者支付50美元给农夫,由农夫将玉米田用栅栏围起来的协议,从而产生25美元的剩余。但谈判过程中却花去交易成本30美元,为了计算合作的净收益,交易成本必须要从合作剩余中减去,即:25美元 - 30美元= - 5美元。由于交易成本过高致使净收益为负,双方就不会交易了。科斯定理中“产权”的涵义是很广的,它可理解为从一项财产,如知识、技能、环境等上获取利益的权利。譬如钢铁厂被赋予“任意处置河水,获取利润”的权利,那么就说在排放污染这一问题上,钢铁厂拥有对河水的“产权”;如果沿河居民被赋予了“使用清洁河水,可以拒绝任何污染”的权利,则说居民们拥有对河水的“产权”,而钢铁厂则没有这个“产权”7。科斯自己也说“产权是一种权利.....我没有被这些定义问题所纠缠” 8,郑曙光认为“从经济学的角度看,产权是具有明确归属的财产在运行中形成的一系列权利。”9张乃根认为“‘产权’仍然是一个法律意义上的概念,只是在经济学家看来,财产权制度具有经济意义。” 10故笔者认为在调解程序中将“产权”解释成“权属”、“交易成本”解释成“和解成本”是可以的。事实上,“科斯的结论一半是通过研究经济学、一半是通过研究法律得出的。”11
本文所称“权属”意指权利义务、法律责任等,所称“和解成本”是指双方当事人花去聘请律师、调查取证、出差住宿、协商对策,还有艰难谈判,讨价还价,直至监督协议的执行费用等。
二、“权属”明确是和解的必要条件
假定原告甲诉称被告乙借了他一只价值300元的水壶并打碎了这只壶,乙辩称他从未从甲那里借过水壶。即便可以证明借了,乙不承认水壶碎了。即便可以证明水壶碎了,但乙不承认水壶是他打碎的12。要解决此纠纷,可能存在着和解、诉讼、仲裁等不同的方式。诉讼是昂贵的,除了直接交付给法院的受理费用外,还有较大的诉讼风险、执行风险,还要消耗诉讼当事人的时间和精力,还有逝去的机会成本。因此理性的纠纷当事人首先会考虑和解,和解可以使当事人将节省下来的诉讼成本在双方之间进行分配,是一种增进福利的行为。根据科斯定理,在交易成本很低的情况下,如果有合作剩余可分,那么双方当事人就应该进行交易。由于“科斯定理在不同的实体法领域有不同的含义”13故换成调解中的表述:即便由于法律所规定的法定权力分配不当,但只要明确,和解成本足够低,双方当事人会以私权处分的方式在和解过程中得到最优结果。
和解过程是一个非合作博弈14:若原告愿意接受的最低价格高于被告愿意支付的最高价格时,则和解失败,只好寻求法院判决,此为零和博弈;若双方出价有重叠时,则原、被告当事人都努力使自己分配到的和解剩余最大,此为常和博弈。所谓零和博弈是指一方的受益必定是另一方的损失,如法院判决一方应得的赔偿款定是另一方拿出的。所谓常和博弈是指各博弈方的得益之和是一个非零的常数,本文中指合作剩余。“零和博弈的特点是各个博弈方之间的利益总是相对立的,是‘你死我活的关系’。常和博弈也是对立的,不过由于常和博弈中并不一定要有输家,利益的对立体现在利益的多少,结果可能出现大家分的合理或者说满意的一份,因此也比较容易相互妥协。”15
本案中,要达成和解协议需满足两个条件:第一, 达成该协议的和解成本要够低。在未把纠纷交给法庭之前,双方要达成合意的和解成本是很大的,这是因为对对方的信息和证据无法知晓,谈判成本很高,而当起诉到法院后,经过庭前证据交换,双方谈判障碍(和解成本)会大大降低,为和解的达成奠定了基础;第二,原告愿意接受的最低价格低于被告愿意支付的最高价格。根据波斯纳的归纳,并结合我国民事诉讼法败诉方承担相应诉讼费用的规定,原告的诉讼预期净收益为其胜诉时判决确定数额乘以其估计胜诉概率再加上原告的和解成本,减去败诉部分的诉讼费。被告的诉讼预期损失为其败诉时判决确定数额乘以其估计败诉概率减去被告的和解成本,加上败诉部分的诉讼费成本。16
假定甲、乙对自己的胜诉率、败诉率估计一致:甲相信自己的胜诉率是60%,乙相信自己的败诉率是60%,诉讼费为100元,和解成本各自为30元,则:(1)甲打官司的预期所得净值为170元。因为水壶的价值为300元,他胜诉的概率是60%,以及和解成本30元,还有败诉部分诉讼费100×0.4 = 40元 所以打一场官司的预期净所得300×0.6 +30 - 100×0.4 = 170元;(2)乙打官司的预期损失为210元。因为水壶的价值是300元,他败诉的概率为60%,以及和解成本30元,还有败诉部分诉讼费100×0.6 = 60元,所以一场官司后对他来说得付出300×0.6 - 30 + 60 = 210元。 所以一个合理的和解方案就是:由乙向甲支付170 + 20 = 190元和解结案。甲和乙各自从和解中多收益20元,甲和乙不打官司而合作的剩余是40元,这40元其实就是100元诉讼费减去二人的和解成本之和60元的剩余。
假定甲、乙对自己的胜诉率、败诉率估计不一致:甲认为自己胜诉率是60%,乙相信自己的胜诉率也是60%(即40%败诉率),诉讼费为100元,和解成本各自为30元,则:(1)甲打官司的预期所得净值为170元。因为水壶的价值为300元,他胜诉的概率是60%,以及和解成本30元,败诉部分诉讼费40元 所以打一场官司的预期净所得是300×0.6 + 30 -100×0.4 = 170元;(2)乙打官司的预期损失为130元。因为水壶的价值是300元,他败诉的概率为40%,以及和解成本30元,败诉部分诉讼费40元。所以一场官司对他来说值300×0.6 - 30 + 100×0.4 = 130元。由于双方都预料打官司比和解有利,故双方都比较乐观。乙出价130元低于甲的要价170元,而且各方都事先对该40元剩余进行了合理的划分,甲希望在和解中得到170 + 20 = 190元赔款,乙只肯付出130 - 20 = 110元。显然无法和解,这是因为由于当事人中有一方或双方过于乐观,导致期望值超过了诉讼费用的节省,只好审判解决。
因此,我们就有了下面这样一个和解发生条件的方程:假设J是原告胜诉情况下判决确定的数额,Pp是原告估计自己胜诉概率,Pd是被告估计的原告胜诉概率,C是诉讼费,S是当事人的和解成本,又假定诉讼当事人风险中立17、案件中的标的额、和解成本是双方对等,则:
PpJ十S - C(1-Pp)