On The Doctrine Of Issue Preclusion In American Civil Action And Its Enlightenment To China

The preclusive effects of judgments in American civil actions consist of the doctrine ofissue preclusion and the doctrine of claim preclusion. The basic meaning of the doctrine ofissue preclusion is that a party is prohibited to dispute certain issues which are decided in theformer action. The main distinction between the doctrine of issue preclusion and the resjudicata system in civil law countries is that preclusive effects are given to the ratio decidendi.Through the development of more than a century, the doctrine of issue preclusion in Americancivil actions has been continuously deepened and perfected. While guaranteeing thepredictability, consistency and integrality of judicial system, the doctrine of issue preclusionalso plays a positive effect of saving judicial costs and improving lawsuit efficiency, thus itbecomes an important system in American civil action.When we look at the current theory and system of the effect of our civil judgment, it canbe found that a complete system of the effect of judgment has not been established yet. Eventhe core system of res judicata is facing an embarrassment that even though it is graduallypaid attention to in theory, it is neglected in legislation and ignored in practice. As for theeffect of ratio decidendi, because it is not specified in legislation, there is no uniform guidanceand basis in judicial practice and an overwhelming theory is not yet formed.Under such background, the doctrine of issue preclusion in American civil action comesinto the author’s sight. Although the legal tradition and judicial idea of China have a largedifference from that of America, in current theoretical environment of civil action of China, itcannot be an obstacle. The advanced theory and system in American civil justice have beenalready accepted by academic circle in China for a long time. Therefore, from the perspectiveof oughtness, the doctrine of issue preclusion in American civil justice is an ideal choice forsolving the issue of effect of ratio decidendi in Chinese civil action. Maybe it is not realistic tochange the current condition of the Chinese effect system of judgment in a short time;however, the author believes that the advance system of a country with relatively perfect legalsystem is helpful for the construction of effect system of judgment, especially effect rule ofratio decidendi in China.Besides introduction and acknowledgements, the thesis divides into four parts:The first part is an overview of the doctrine of issue preclusion in American civil action. This part mainly introduces the conception, development and jurisprudence basis of thedoctrine of issue preclusion.The second part is the main content of the doctrine of issue preclusion in American civilaction; it is the emphasis of the thesis. This part gives a detailed introduction the subject,condition and exception of application of the doctrine of issue preclusion in American civilaction.The third part is the doctrine of issue preclusion and the theory of issue preclusion inAmerican civil action. This part briefly introduces the theory of issue preclusion whichrepresented by Japan and Taiwan, and makes a comparative analysis of the doctrine of issuepreclusion and the theory of issue preclusion.The forth part is the enlightenment of the doctrine of issue preclusion in American civilaction to China; it is the other emphasis of the thesis. On the basis of the current condition ofeffect of ratio decindendi in Chinese civil action, this part discusses the enlightenment of thedoctrine of issue preclusion in American civil action to the construction of effect system ofratio decidendi in Chinese civil action. Under the premise of considering the current conditionof legislation and practice in Chinese civil action, the author provides two ways for Chinesecivil action to borrow the doctrine of issue preclusion in American civil action: one is toseparately establish effect rule of ratio decidendi, which is similar to the doctrine of issuepreclusion in American civil action, thus to give effect of issue preclusion to ratio decidendi;the other is to give effect of issue preclusion to ratio decidendi under framework of theprinciple of good faith which is newly added in Civil Procedure Law amendment.Through introduction and analysis of the doctrine of issue preclusion in American civilaction, the thesis proposes some suggestions and thoughts for construction of effect system ofratio decidendi in Chinese civil action. Certainly some of the author’s views are immature,and it is inevitable that the thesis has some shortage, all criticisms and corrections arewelcome.