强制性规范与合同效力研究

发布时间：2018-07-08 15:51

本文选题：强制性规范 + 规范目的　；参考：《西南政法大学》2011年硕士论文

【摘要】：随着我国法律规范的逐渐完善,中国民法的发展将进入到第二阶段—法律的解释与适用阶段。王泽鉴先生说：真正法律的发展是法律的适用。因此,对法律规范的解释将是今后很长时间的主要研究方向。作为一个民商法专业的学生,最重要的亦是要学会法律的解释技术,强制性规范的适用无疑是连接这一理论与实践技术的重要媒介。而强制性规范与合同效力的关系一直是民法中的热点和难点问题,其涉及如何看待公法和私法关系的问题,涉及司法实践中违反强制性规范的合同效力如何解释的问题。因此,研究这一问题具有的重要理论和实践意义。本文从强制性规范的内涵与外延入手,以《合同法》第52条第5项为中心,比较、总结并评析了国外和台湾地区对违反强制性规范的合同效力的研究现状,指出其可借鉴之处,进而对我国强制性规范的解释与适用提出了自己的观点。全文分为三个部分：第一部分：强制性规范的界定；第二部分：强制性规范与合同效力的比较法研究；第三部分：我国强制性规范的解释与适用。第一部分：强制性规范的界定。本部分由三个部分组成。首先是强制性规范的内涵。其次是强制性规范的外延,《合同法》第52条第5项所指的强制性规定包括公法上的强制性规定和私法上的强制性规定,但基于该条的引致作用和法律适用的逻辑,其所指的强制性规范主要是公法上的强制性规范,这也是本文主要研究的对象。再次是强制性规范的法源位阶,笔者认为现阶段有采取位阶说的必要,并认为宪法非强制性规范的直接法源,对于最高院的司法解释的地位问题,解决方式是将法律解释权赋予最高院。第二部分：强制性规范与合同效力的比较法研究。本部分通过运用比较法的研究方法,依次介绍了德国、日本、英美国家和台湾地区的研究现状,并做了总结和评析。在德国影响力最大的是规范目的说；在日本研究最有影响力的是以综合判断说为前提的经济公序说和基本权保护说；在英国和美国,判断违法合同的效力的方法是将合同利益与公共政策进行利益衡量；在台湾最有深度的是苏永钦教授所引入的德国理论界和实务界的处理方式。第三部分：我国强制性规范的解释与适用。本部分主要有三个部分组成。第一,我国学者的研究现状与评析。我国学者多是在认定《合同法》第52条第5项为概括条款的前提下进行的探讨。有深度的是沿着规范目的说和基本权保护说进行的研究。学界已取得了诸多共识：违反强制性规范的合同不一定无效；在判定合同效力上要探究规范目的、进行利益衡量；防止国家过度干预合同自由等。但就如何探究规范目的、强制性规范与公序良俗为何种关系,如何限制国家干预等问题的研究有待深入。第二,公法与私法相对分离法理观。强制性规范与合同效力背后隐含的是公法与私法的关系及其功能。笔者秉持公法与私法相对分离的法理观,笔者认为法律的终极追求是自由,而自由的界限在法律上的体现是强制性规范,公法与私法背后的共同价值追求—自由构成了限制法律行为正当性的理由。第三,强制性规范的解释与适用。首先是强制性规范的识别,其标准最终还是要取决于规范目的。对于规范目的,应以客观目的为主,主观目的为辅。探索规范目的的方法,应从具体法法律关系涉及的部门法入手,以官方发布的释义性文件为补充。其次,在利益衡量方法部分,笔者探讨了强制性规范与公序良俗的关系,笔者认为,现阶段对二者应作二元论把握；利益衡量的场域应是具体的案件或者法律关系。再次是强制性规范干预法律行为的判断,通过本文第二部分对比较法的评析,综合判断是必走的路径,限制干预法律行为程度有效的方法是比例说,笔者将二者合并称为实体控制和程序控制；微观上,履行与否应作为认定违反强制性规范合同效力的重要考量因素；在纵向上,违反强制性规范合同的效力的判断可分为三个层次。本文最终的落脚点是强制性规范的适用基础,即《合同法》第52条第5项以及以及《合同法司法解释二》第14条,无论合同是有效、无效还是介于二者之间的中间状态都是对该两条解释的结果。
[Abstract]:With the gradual perfection of the legal norms of our country , the development of Chinese civil law will enter the second stage - the interpretation and application of law .

Based on the connotation and extension of the peremptory norm , the article compares , summarizes and evaluates the research status of the contract effect of the foreign and Taiwan areas on the breach of the peremptory norm , points out that it can be used for reference , and then puts forward its own views on the interpretation and application of the compulsory norms in China . The whole is divided into three parts : Part I : Definition of peremptory norm ;
The second part : the comparison of the mandatory norms and the contract effect ;
Part three : The interpretation and application of compulsory norms in China .

The first part is the definition of the peremptory norm . This part consists of three parts . Firstly , it is the connotation of the peremptory norm . The second is the extension of the peremptory norm . The compulsory regulation referred to in Article 52 ( 5 ) of the Contract Law includes the compulsory regulation in public law and the mandatory regulation in private law . It is also the subject of compulsory norm .

The second part is the comparative law study of the mandatory norms and the contract effect . This part introduces the current situation of research in Germany , Japan , British and American countries and Taiwan by applying the comparative method , and summarizes and analyzes the research situation in Germany , Japan , British and American countries and Taiwan .
The most influential in Japanese research is economic public order theory and basic right protection theory based on comprehensive judgment .
In the UK and the United States , the method of judging the effectiveness of the illegal contract is to measure the interests of the contract with the public policy ;
The most advanced in Taiwan is the treatment of German theory and practice bound by Professor Su Yongqin .

Part three : The interpretation and application of the mandatory norms in China . This part mainly consists of three parts .

First , the present situation and analysis of Chinese scholar ' s research . There are many scholars in our country on the premise that the article 52 , paragraph 5 , of the contract law is considered as the general clause . There is a lot of consensus that the contract of breach of the peremptory norm is not necessarily null and void ;
To determine the validity of the contract , to explore the purpose of the specification and to carry out the benefit measurement ;
The study of how to restrict the state intervention is to be deepened in terms of how to explore the relationship between the normative purpose , the mandatory norms and the public order , and how to restrict the state intervention .

The author holds that the ultimate pursuit of law is freedom , and the limitation of freedom is the common value pursuit behind the mandatory norms , public law and private law .

Third , the interpretation and application of the peremptory norm . Firstly , it is the identification of the peremptory norm , its standard should ultimately depend on the purpose of the specification . For the purpose of the specification , it should be based on the objective purpose and the subjective purpose . Secondly , in the part of the method of the measurement of interest , the author discusses the relation between the compulsory norm and the public order .
The field of interest measurement should be a specific case or legal relationship . Again , it is the judgment of the compulsory norms to intervene the legal act . Through the second part of this article , the judgment of comparative law is made , the comprehensive judgment is the path which will be taken , the method of restricting the degree of the intervention legal action is proportional , the author combines them as entity control and program control ;
On the microscopic level , the performance of the contract should be regarded as an important factor in determining the effectiveness of the compulsory standard contract .
In the longitudinal direction , the judgment of breach of compulsory norms contract can be divided into three levels . The final foothold in this paper is the application basis of the mandatory norm , namely , Article 52 ( 5 ) of the Contract Law , and Article 14 of the judicial interpretation of the Contract Law , whether the contract is valid or invalid or the intermediate state between them is the result of the two interpretation .
【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D923.6

【引证文献】