案外人员是否可参与调解并承担调解义务
——兼谈法院对调解协议的审查

江西省吉水县法院 蓝 敏 强

一、案情简介
某林场与湖南客商刘某于2001年4月签订了一份合办加力酱制品厂协议，协议约定：由某林场出资20万元并提供厂房，刘某出资50万元设备并提供技术合作开办酱制品厂，合作期限10年，约定了期满后资产的清算等。同时约定，酱制品厂由刘某承包经营，自负盈亏，刘某每年向某林场支付承包费3万元，承包期10年，并约定了违约金。刘某承包该厂后，由于技术、市场等原因，刚试产一个月即停产。刘某离开酱制品厂，返回湖南省居住。某林场以刘某违约为由于2004年4月诉至法院，要求被告刘某支付承包金，继续履行合同，并承担违约责任。
二、审判结果
法院受理后，被告刘某主动请求法院进行调解，案外人刘某之兄刘某勇亦主动参与进来。经协商，原告某林场与被告刘某及案外人刘某勇达成如下协议：1、被告刘某所欠原告某林场承包费9万元由刘某之兄刘某勇负责清偿，原、被告所签订的合办加力酱制品厂的协议由刘某勇继续履行。原告某林场放弃要求被告支付违约金的诉讼请求。2、刘某与刘某勇对投资的设备等事宜由其另行签订协议。
三、法理分析
本案调解协议由案外人履行。那么，该调解协议是否违反法律规定？如案外人刘某勇拒不履行调解协议，本调解协议是否可以强制执行？原告应以刘某还是刘某勇为被执行人申请法院执行呢？
（一）调解协议的适用范围和法律性质
调解制度是我国民事诉讼中最具特色的一项制度，它也是目前我国法院运用最多的一种处理民事诉讼的结案方式。诉讼调解是在法院审判人员的主持下，双方通过自愿协商，达成协议，解决民事争议的活动和结案方式。《民事诉讼法》第十三条规定：当事人有权在法律规定的范围内处分自己的民事权利和诉讼权利。按照我国民事诉讼法的规定，除了运用特别程序、督促程序、公示催告程序和企业破产还债程序外，只要不是无效的民事法律行为，没有违反法律禁止性、限制性规定及损害公共秩序和善良风俗，均可由当事人达成协议，法院予以确认。这与我国《民法通则》第五十五条规定的民事法律行为应当具备的条件相一致。从性质上讲，在诉讼中当事人达成的调解协议，是当事人对解决他们之间争议的合意，具有契约性质。这与民法通则及合同法规定的精神是一致的。调解协议的内容本身是协议当事人采用书面形式的民事法律行为，从成立时起具有法律约束力。
本案原、被告及案外人刘某勇之间达成的协议，其内容是三方的合意，即三方订立的契约，又因为该协议是在诉讼中调解形成的，经法院确认，转化为法院的法律文书形式。
（二）民事调解协议的效力
民事调解协议的效力表现在以下几个方面：1、确定当事人间民事法律关系的效力。民事调解协议表明双方当事人对曾经发生争议的民事法律关系已取得共识，并得到法院的确认，原先争议的法律关系演变为无争议的法律关系，权利方应依法行使权利，义务方应依法履行义务，当事人不得对此法律关系再发生争议。2、结束诉讼的效力。当事人不得以用一事实和理由向人民法院再行起诉，这是程序上的效力。调解协议是当事人根据自愿、合法原则，充分协商达成的，依照民事诉讼法的规定，在送达前，允许协议当事人反悔。当事人有充分的时间考虑协议内容是否合意，因而不存在上诉问题。3、强制执行的效力。具有给付内容的调解书，具有强制执行力。当具有履行调解义务的一方当事人未按调解书履行义务时，权利人可以持调解书，向人民法院申请强制执行。
（三）法院对协议的审查范围
民事诉讼是解决当事人之间的财产权、人身权产生的纠纷，属于私权领域。当事人对私权的处分，国家不应有过多限制，人民法院应充分尊重当事人对自己合法权益的处分权。人民法院对调解协议的审查，应限于两个方面，一是内容是否违背了法律法规的强制性规定，是否侵犯了国家、集体或第三人的合法权益；二是当事人达成协议是否出于自愿，协议是否显失公平，是否当事人真实意思表示，至于当事人的协议是否超出了诉讼请求范围及债权债务转让给谁，法院不宜过多干涉，只要不违反法律规定，不侵犯国家、集体和他人利益，不违公序良俗，人民法院没有理由予以反对。
本案原告与被告及案外人刘某勇达成的协议完全没有违反法律规定，被告与案外人刘某勇达成了债权债务的概括转移，且原告同意。原、被告及案外人三方达成的协议是三方的合意，虽然案外人刘某勇不是本案原、被告，亦不是第三人，但系其自愿参加进来。因而法院不应反对，应予确认。经法院确认后该协议赋予了法律效力。
（四）本案如何执行
民事诉讼中，当事人达成调解协议，一般都由当事人自觉履行，也有少数案件当事人不按协议履行。依照《民事诉讼法》的规定，调解书赋予了强制执行的效力，权利人可以申请法院执行。没有案外人参加的调解协议，被执行人即具履行义务一方。本案由于案外人刘某勇加入，成为履行义务一方，那么权利人（即原告某林场）是以被告为被执行人申请执行，还是以案外人刘某勇为被执行人申请执行？被告可以因为无履行义务而不履行，而案外人刘某勇是否可以自己不是本案当事人为由拒不履行呢？笔者认为，由于调解协议是三方当事人共同协商而达成的合意，原告作为债权人同意被告与案外人的债权债务概括转让，形成了新的契约。原告放弃了要求被告刘某履行义务的要求，同意由案外人刘某勇履行，并经法院审查予以确认。因而原告应以案外人刘某勇为履行义务人申请执行，刘某勇应依照协议履行，否则法院可依调解协议执行案外人刘某勇。



国务院


国务院批转国家出版局关于发布加强对外合作出版管理的暂行规定的报告的通知(附英文)
1981年10月12日，国务院

通知
现将国家出版局《关于发布加强对外合作出版管理的暂行规定的报告》和《加强对外合作出版管理的暂行规定》转发给你们，请参照执行．

国家出版局关于发布加强对外合作出版管理的暂行规定的报告
一九七九年以来，我国部分出版社开始同国外出版公司合作出版书刊．去年六月，国务院和中央宣传部批准国家出版局《关于加强同国外合作出版的报告》以后，对外合作出版业务有了新的发展．
目前，我国已有四十多家出版社同日本、南斯拉夫、美国、英国、法国、西德、意大利、瑞士、澳大利亚、新加坡等十二个国家和港澳地区的七十多家出版公司，签订了一百二十多项合同，计划合作出版书刊四百余种，主要形式是由我国出版社负责编辑，由外国出版社负责印刷发行．
书稿内容涉及中外语文工具书、教科书、科学技术、农业、医药、体育、美术、文物、旅游、烹调、轻工、建筑等方面．其中已经出版发行的书刊有二十余种．这批书刊，思想内容健康，表现形式活泼，装帧设计新颖，受到国外读者欢迎．
为了总结交流经验，加强对外合作出版工作的领导与管理，我们于一九八一年五月在成都召开了全国对外合作出版工作座谈会．
会议指出，两年来对外合作出版的发展和取得的成绩证明：开展对外合作出版，可以利用国外出版公司的印刷出版条件和发行渠道，在全世界出版发行我们编写的书刊，加强对外宣传和文化交流，扩大我国的影响；同时可以保护我国部分作品的版权和为国家增加外汇收入；也可以吸取
国外先进的出版、印刷、摄影技术和编辑工作经验，改进我国的出版工作．
会议认为，鉴于我们还缺乏经验，对外合作出版目前应当采取稳步前进的方针．各个出版社要统筹兼顾、全面规划，在为国内多出书、出好书的条件下，按照自己的出书方针与范围，逐步地开展对外合作出版工作．
为了适应对外合作出版的需要，会议要求有合作出版任务的出版社要注意选拔、培养熟悉出版业务的外语干部，在今后三、五年内，每个出版社应当配备三、五名外语干部，大的出版社还应多一些．
会议讨论并制订了《加强对外合作出版管理的暂行规定》，现送上，请一并审批．如认为可行，望批转全国执行．

加强对外合作出版管理的暂行规定
为了加强对外合作出版工作的领导和管理，特制订本规定．
一、对外合作出版，必须符合我国的外交政策和对外方针，有利于加强对外宣传和文化交流；不得有损于我主权和国家利益；并严格遵守国家有关保密的规定．
二、对外合作出版，应注意了解国际图书市场的情况，维护我国作者和出版者的权益，在平等互利的基础上，在经济上有所收益．
三、确定对外合作项目，要根据自己的条件与特点，符合本社的出书方针和出书范围．
四、对外合作出版项目，应经双方充分协商确定．合作书刊的编辑方针、书稿内容以及最后定稿，均须经我方同意．凡经我方审定的书稿，未经我方同意，对方不得擅自增删或作其他改动．合作出版介绍我国情况的摄影画册或其他书刊中选用的照片，一般应由我方提供，不宜采取由对方派人拍摄或双方合拍的方式．
五、合作出版供我国读者使用的外国编辑的书稿，应是我国所急需的，必要时应根据我国的情况对其内容进行增删或改编，在经济上尽量做到不用外汇支付对方应得的收益．
六、对外合作出版，只能由国家正式批准的出版社进行．任何非出版单位和个人，均不得同国外进行合作出版．未经原出版社同意，任何出版社不得同国外合作出版其他出版社出版的书刊．出版社拟同国外合作出版的书稿，应事先征得原作者或原编辑单位的同意．
七、出版社可以直接对外洽谈合作出版业务，也可以委托国家 批准的经营对外合作出版业务的专业公司或国外可靠的代理商进行．
八、同我进行合作出版的单位，应是对我友好并有可靠的信誉和资金，不要同情况不明的外商签订合同．
九、为了明确双方的权利和义务，每个合作项目都应签订有一定时限的合同．对于版权所有，一方转让或准许另一方使用的出版发行权和其他权利，支付报酬的数量、方式和时间，均应在合同中逐项加以规定．凡我方提供的书稿或图片，未经我方同意，对方不得转让版权，不得扩大使用权，不得扩大发行区域．
十、确定对外合作出版项目，应分别不同情况履行审批手续：
凡国内已公开出版的出版物，中央一级出版社由出版社自行决定，报上级主管部门备案，地方出版社报省、市、自治区出版局审批；
凡国内尚未出版的出版物，中央一级出版社报上级主管部门审批，地方出版社报省、市、自治区人民政府审批．内容涉及到全国的大型丛书，应事先征得国家出版局的同意；
凡涉及党和国家重大方针和外交政策的书稿，党和国家领导人的著作或传记，须经国家出版局会签后，报国务院或中央审批；
重要文物和其他珍品的摄影和使用，涉及国界线的地图的出版，应严格按照国家有关规定办理．
所有对外合作出版的送审报告、中外文合同（或协议书）、样本，均应报国家出版局备案．
十一、对于开展对外合作出版所必需的业务人员同国外的往来，主管部门应简化审批手续，提供方便，以利于合同的顺利执行．
十二、合作出版书刊，应按国内现行稿酬制度，分别情况向作者支付报酬；
首次出版的书稿，可按略高于国内稿酬标准支付报酬；
使用国内已出版过的书稿，亦可支付适当的报酬，一般不超过原基本稿酬的百分之六十；
使用外国人的作品，可按略高于国内作者稿酬支付．
上述报酬，均以人民币支付，个别确属特别情况必须支付外汇者，经上级主管部门批准后，在本单位所得外汇中支付．
十三、在对外合作出版工作中，各出版社之间要发扬社会主义协作风格，注意互通情报，对外协调一致，遇有分歧和矛盾，应内部协商或报上级机关协调解决．
十四、在对外交往中，要严格遵守外事纪律，维护民族尊严和国家声誉．

INTERIM PROVISIONS FOR STRENGTHENING THE ADMINISTRATION OF PUBLI-CATION IN CO-OPERATION WITH FOREIGN COUNTRIES

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 STRENGTHENING THE ADMINISTRATION OF PUBLI-
CATION IN CO-OPERATION WITH FOREIGN COUNTRIES
(Approved and promulgated by the State Council on Oct. 12, 1981)
These Provisions are formulated for the purpose of strengthening the
leadership over, and administration of, the work of publication in co-
operation with foreign countries.
1. Publication in co-operation with foreign countries shall conform to
China's foreign policy and principle and facilitate the strengthening of
China's publicity in and cultural exchanges with, foreign countries, shall
do no harm to China's sovereignty and national interests and shall be
strictly governed by the State provisions concerning the maintenance of
secrets.
2. In co-operation with foreign countries in publication, it is imperative
to study the situation of the international book market, safeguard the
rights and interests of China's authors and publishers and, on the basis
of equality and mutual benefits, achieve reasonable economic returns.
3. A publishing house shall determine its projects of co-operation with
foreign countries in the light of its own conditions and characteristics
and in conformity with its own publishing principle and scope of
publication.
4. Projects of publication in co-operation with foreign countries shall be
determined through full consultation between the two parties thereto. The
editing principle, the contents of the manuscript and the finalized
version thereof with respect to a book or journal to be jointly published
shall all be subject to the consent of the Chinese party. Without the
consent of the Chinese party, no part of the contents of a manuscript that
has been examined and finalized by the Chinese party may be supplemented,
deleted or otherwise altered by the other party. Pictures selected for use
in picture-albums or other books or journals to be jointly published for
the purpose of giving information about China shall in general be provided
by the Chinese party and it is unadvisable to have them taken by the other
party or jointly taken by both parties.
5. Manuscripts edited by a foreign country to be jointly published for use
by Chinese readers shall be those of which China is in urgent need and
shall, when necessary, be duly supplemented, deleted or re-edited in
accordance with the actual situation in China. Financially, every possible
means shall be tried to avoid making payment in foreign exchange for the
economic returns that the other party shall be entitled to.
6. Publication in co-operation with foreign countries shall only be
undertaken by the publishing houses that have been officially authorized
by the State. No non-publishing units or individuals may undertake
publication in co-operation with foreign countries. Without the
permission of the original publishing houses, no publishing houses may co-
operate with foreign parties in publishing books or journals published by
other publishing houses. A publishing house that intends to co-operate
with a foreign party in publishing a manuscript shall solicit in advance
the permission of the author or the original editing unit.
7. A publishing house may negotiate co-operative publication business
directly with a foreign party or may entrust a specialized company that
has been authorized by the State to handle co-operative publication
business with foreign countries or entrust a reliable foreign agency with
the negotiation.
8. Foreign units that are to co-operate with China in publication business
shall be those which are friendly to China and have reliable credit and
financial resources. It is imperative not to sign contracts with foreign
businessmen whose standing is not clear.
9. In order to specify the rights and obligations of both parties, a
contract prescribing a time limit shall be signed. As to the ownership of
the copyright, the transfer by one party to the other the right of
publication and distribution and other rights or the permission by one
party to the other of the use of these rights, as well as the amount of
remuneration, the mode and time of payment thereof shall be stipulated
item by item in the contract. With respect to manuscripts and pictures
that are provided by the Chinese party, without the consent of the Chinese
party, the other party may not transfer the copyright, or extend the use
thereof, or extend the areas where they shall be distributed.
10. In determining projects of co-operative publication with foreign
countries, the following formalities of examination and approval shall,
depending on the different circumstances, be carried out respectively:
With respect to publications that have been published domestically,
publishing houses at the central level may make their own decisions and
report the projects to the higher competent authority for the record,
whereas publishing houses in the localities shall submit their project
proposals to the publication bureaus of the provinces, municipalities
directly under the Central Government or autonomous regions for
examination and approval.
With respect to publications that have not come off the press
domestically, publishing houses at the central level shall submit their
project proposals to the higher competent authority for examination and
approval, and publishing houses in the localities shall submit their
project proposals to the people's governments of the provinces,
municipalities directly under the Central Government or autonomous regions
for examination and approval. With respect to a project of co-operative
publication of full-length book series whose contents have a nation-wide
bearing, consent of the State Bureau of Publication shall have to be
solicited in advance.
With respect to manuscripts whose contents involve the major principles of
the Party and the State and China's foreign policy and to works by, or
biographies of, the leaders of the Party and the State, the project
proposals shall, after being counter-signed by the State Bureau of
Publication, be submitted to the State Council for examination and
approval.
The taking of photographs of important cultural relics and other rare,
precious objects and the use of such photographs, and the publication of
maps that involve boundary lines of China shall be handled in strict
accordance with the pertinent provisions of the State.
With respect to a publication project of co-operation with a foreign
party, the report submitted requesting the examination and approval of the
project proposal, copies of the contract (or agreement) both in Chinese
and in the foreign language concerned and the sample version of the item
to be published shall be submitted to the State Bureau of Publication for
the record.
11. With respect to trips abroad and back to China by professional
personnel needed in effecting publication in co-operation with foreign
countries, the competent departments shall simplify the examining and
approving formalities and provide convenience so as to facilitate the
smooth implementation of the contract.
12. For books and journals published cooperatively, remuneration shall be
paid to the authors on the merits of each case and in accordance with the
existing domestic system of remuneration.
For manuscripts that are published for the first time, the remuneration
may be slightly higher than the domestic rates.
If a manuscript that has been published domestically is used, appropriate
fees may as well be paid, which shall in general not exceed 60 percent of
the original remuneration. If works of foreign authors are used, the
remuneration may be slightly higher than that which would be paid to
domestic authors.
The aforesaid remunerations shall be paid in Renminbi. The few really
special cases that require payment in foreign exchange, the payment shall,
upon approval by the higher competent departments, be made out of the
foreign exchange that the units concerned have obtained.
13. In the work of publication in co-operation with foreign countries, it
is imperative for various publishing houses to display the socialist style
of co-operation among themselves, keep each other well informed, and work
in co-ordination when dealing with foreign countries. Differences and
contradictions, should they arise, shall be settled through consultations
among themselves or mediation by higher authorities.
14. In dealings with foreign countries, it is imperative to strictly abide
by the disciplines related to foreign affairs and uphold our national
dignity and state prestige.