论CISG中的根本违约及其在我国合同法中的继受

发布时间：2018-07-22 17:07

【摘要】：根本违约是以违约及其后果的严重程度为标准对违约行为所作的划分，现代意义上的根本违约制度起源于英国判例法，英国法院将合同条款区分为条件条款和担保条款，违反条件条款非违约方得解除合同；违反担保条款非违约方不能解除合同，只能请求损害赔偿。此后，英国法院在实践中创造了中间条款，作为对条件条款和担保条款的补充，违反此类条款，非违约方能否解除合同，须视违约的性质及其严重性而定。英国对根本违约的判断，经历了以合同条款属于条件还是担保为依据的条款主义，到以违约行为及其后果的严重程度为依据的结果主义。大陆法系中的根本违约体现为合同解除制度，法国、德国、意大利等大陆法系国家普遍将违约的严重性作为合同解除的前提条件。《联合国国际销售合同公约》（以下简称《公约》）吸收了大陆法系和英美法系的合理成分，对根本违约作了明确的定义，并形成了以《公约》第25条为核心的违约救济体系。根本违约一方面赋予当事人解除合同的权利，一方面限制当事人的滥用合同解除权。此外，，根本违约对于风险转移和免责条款效力也有所影响。《公约》对我国《合同法》的制定产生了积极的影响。在合同法定解除制度中，我国《合同法》继受《公约》关于根本违约的规定，借鉴其关于根本违约的客观判定标准，以违约后果的严重性作为解除合同的前提条件，同时摒弃了违约后果可预见性的主观判定标准，减少了因主观标准的介入造成的在判定根本违约时的不确定性。理论界对根本违约的判定标准有不同的意见，笔者比较赞同折中说，即以违约后果的严重性为主要判定标准，同时结合违反义务的类型对根本违约进行判定。我国《合同法》第94条第2款至第4款规定了因违约而导致的合同解除情形，其中94条第4款被多数学者认为是《合同法》关于根本违约的直接体现。第94条第4款规定，“当事人一方迟延履行债务或者有其他违约行为致使不能实现合同目的”，另一方当事人可以解除合同。合同目的成为判断根本违约的关键因素。我国《合同法》中的合同目的对应《公约》第25条“根据合同有权期待得到的东西（what he is entitled to expect underthe contract），我国学者对合同目的的理解经历了由窄向宽发展的过程，并逐渐与《公约》的解释趋于一致，即合同目的乃缔约当事人通过订立和履行合同，最终期望获得的利益、享有的权利、得到的东西、达到的结果或状态。对合同目的的理解和界定不同，将直接影响根本违约的构成与否。合同目的是合同本身所反映出来的客观利益，是从带有客观基础的合同中推断出来的利益，不因当事人的主观意图的改变而改变。实践中对根本违约的判定不一而同，出现同案不同判的现象，一些认定根本违约的判决尚难令人信服。法官作为合同目的的探究者和阐释者，应结合合同规定、缔约情况、当事人之间的洽谈、商业惯例、违约后补救的可能性等进行界定，同时遵循根本违约制度鼓励交易、限制当事人滥用解除权的价值理念，具体案例具体分析，对根本违约作出恰如其分的判定。我国《合同法》的法定解除制度吸收了《公约》根本违约制度的合理成分，堪称一部具有现代法精神的高水平立法。然而，法定解除制度存在以下不足：默示预期违约与不安抗辩未实现有机契合；不能实现合同目的的判定标准过于简单、抽象；解除权的一元模式导致制度内部逻辑混乱。笔者建议用完整的默示预期违约制度代替不安抗辩制度；对合同目的进行概括式的定义，同时采取列举式的规定辅以具体考虑因素，并设立兜底条款以保证法律的弹性适用；确立合同解除与合同终止的二元结构。
[Abstract]:The fundamental breach of contract is the division of breach of contract by the standard of breach of contract and its consequences. In the modern sense, the fundamental breach of contract system originates from the British case law. The British court distinguishes the terms of the contract into a condition clause and a guarantee clause. The breach of a condition clause is not a breach of contract; a breach of a guarantee clause is not a breach of contract. To be able to terminate the contract, it can only claim damages. After that, the British court created an intermediate clause in practice as a supplement to the conditions and guarantee clauses. In violation of such clauses, the non breaching party will be able to dissolve the contract depending on the nature and severity of the breach. The judgment of the fundamental breach of contract in the UK has gone through the article of the contract. The fundamental breach of contract in civil law countries, such as France, Germany and Italy, generally regards the seriousness of breach of contract as a prerequisite for the termination of the contract. < United Nations international sales cooperation. The same Convention (hereinafter referred to as < convention >) absorbs the rational elements of the civil law and common law system, defines a fundamental breach of contract clearly and forms a system of breach of contract at the core of the twenty-fifth article of the Convention. On the one hand, the fundamental breach of contract gives the parties the right to dissolve the contract, and on the one hand, the parties' abuse of the right to terminate the contract. Fundamental breach also has an impact on the risk transfer and the validity of the exemption clause.
< convention > has a positive impact on the formulation of the contract law of China. In the system of legal termination of the contract, the contract law of China, following the provisions on the fundamental breach of contract by the Convention, draws on its objective criteria for determining the fundamental breach of contract, taking the seriousness of the consequences of breach of contract as a prerequisite for the termination of the contract, and abandoning the foreseeable consequences of the breach of contract. The subjective criteria of sex determination reduce the uncertainty in determining the fundamental breach caused by the intervention of the subjective standard. The theorists have different opinions on the criteria for determining the fundamental breach of contract. The author agrees with the compromise that the main criterion is the seriousness of the consequences of breach of contract, and the fundamental breach of contract is carried out in combination with the type of breach of duty. Judgment. The contract law of China, ninety-fourth clause second to fourth paragraph stipulates the situation of termination of contract caused by breach of contract, of which 94 and fourth paragraphs are considered by most scholars as the direct embodiment of the contract law on the fundamental breach of contract. The ninety-fourth article and fourth paragraph stipulates that "one party or one party may delay the performance of the debt or have other defaults resulting in the failure to achieve the contract list." The other party can dissolve the contract. The purpose of the contract is the key factor to judge the fundamental breach. The contract purpose in the contract law of China corresponds to the twenty-fifth article of the Convention (what he is entitled to expect underthe contract). The understanding of the contract aims by Chinese scholars has gone through the narrow direction. The process of wide development and gradually converge with the interpretation of the Convention, that is, the purpose of a contract is the right, the right, the result or the state of the party that the contracting parties are expected to obtain by concluding and performing the contract. The difference in understanding and definition of the purpose of the contract will directly affect the composition of the fundamental breach of contract. It is the objective interest reflected by the contract itself, the benefit deduced from the contract with the objective basis, not the change of the subjective intention of the parties. In practice, the judgment of the fundamental breach of contract is different and the same case is different. The explorer and interpreter of the purpose of the contract should define the conditions of the contract, the negotiation between the parties, the negotiation between the parties, the business practice, the possibility of remedial after default, and follow the fundamental breach of contract system to encourage the transaction, and limit the value idea of the parties' abuse of the right to terminate, specific case analysis and the exact breach of the contract. The judgement of the division.
The legal termination system of the contract law of China absorbs the reasonable component of the basic breach of contract, which can be called a high level legislation with the spirit of modern law. However, the legal termination system has the following shortcomings: implied anticipatory breach of contract and unrealized defenses are not realized organically; the criteria for the failure to realize the contract are too simple. The author suggests that a complete implied anticipatory breach of contract system should be replaced by a complete implied anticipatory breach of contract system, a general definition of the purpose of the contract, a list of provisions and specific considerations, and the establishment of a submission to ensure the flexible application of the law; and the establishment of a contract. The two yuan structure to terminate and terminate the contract.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D923.6;D997.1

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