案例指导制度下类案参照的内外部证成——以三起刑事案件为视角

Internal and External Validation of Class References in the Case Guidance System—Three Criminal Cases as a Perspective

摘要: 在加快建设社会主义法治国家的背景下，构建中国特色案例指导制度成为了重要的步骤。对此，我国提出“类似案件类似审判”，旨在维护司法统一，防止出现“同案不同判”或“异案同判”的司法不公现象。类案参照的核心环节在于比对指导性案例和待决案件的相似性，而判断案件的相似性则需要运用内部证成和外部证成这两个有效工具。内部证成解决的是法律命题是否能够依照逻辑形式从前提中正确地推导出来，外部证成解决的是大前提是否具有正确性的问题。有些法律案件虽然在案情或法律适用方面大体一致，但在法律证成方面却存在差异，这同样不能进行类案参照。为确保类案参照的实质性正确，需要我们对类案参照过程中的内部证成和外部证成进行进一步探究。本文首先分析了类案参照中法律推理的论证模式，其次对内部证成和外部证成在推理中的必要性进行阐释，接着将三起刑事案件——指导性案例4号、指导性案例12号以及“李昌奎故意杀人案”进行类比，通过实例分析，以佐证内外部证成在类案参照中的不可或缺性和有效价值。

Abstract: In the context of accelerating the construction of a socialist rule of law state, the construction of a case guidance system with Chinese characteristics has become an important step. In this regard, China proposes “similar cases with similar trials”, aiming at maintaining judicial unity and preventing judicial injustice of “different judgments in the same case” or “different cases with the same judgment”. The core aspect of similar case reference is to compare the similarity of guiding cases and pending cases, and to judge the similarity of cases, we need to use two effective tools, internal and external evidence. The internal proof is whether the legal proposition can be correctly derived from the premise according to the logical form, and the external proof is whether the premise is correct. There are legal cases that are generally consistent in their merits or application of law, but differ in their legal proofs, which also cannot be referenced by analogy. In order to ensure the substantive correctness of case reference, we need to further investigate the internal and external evidence in the process of case reference. In this paper, we first analyze the argumentation model of legal reasoning in case reference, then explain the necessity of internal and external evidence in reasoning, and then compare three criminal cases, namely, Guiding Case No. 4, Guiding Case No. 12, and “Li Changkui’s intentional murder case”. And analyze them with examples to support the indispensability and effective value of internal and external evidence in the reference of such cases.