论缔约过失责任
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摘要
对缔约上的过失依据契约法原则判定当事人的责任，已是很多国
家民商法所确立的一项重要债法制度。但是当事人基于违反什么义务
而要承担此项责任，对方当事人究竟蒙受了什么损失，应得到怎样的
赔偿，法官又是依据什么作出裁判等问题，学术上颇有争议。本文从
分析缔约过失责任的概念入手，从学说、判例、立法和实践的角度，
阐明了确立缔约过失责任制度的现实与理论意义，提出并分析了缔约
过失责任的概念、特征、损害赔偿的形式、构成要件及范围。同时对
我国关于缔约过失责任的立法现状及在审判实践中的应用情况作以反
思，提出自己的观点。
传统的民事立法和民法理论对于合同的法律保护，只是保护契约
阶段即从合同有效成立后到合同标的履行完毕之间这一过程，而对从
要约提出到合同有效成立这一先契约阶段是不予保护的。契约责任的
发生被定位在相互具有契约权利义务关系的当事人之间。因此，对合
同有效成立前，当事人因相信合同有效成立而由于合同未成立、无效
或被撤销所遭受的损失和缔约阶段的人身、财产损害是无法适用违约
责任的。而适用侵权责任又不利于受害人保护自身利益，因为如果让
受害人适用侵权行为法的规定寻求救济，那么侵权行为法上有关雇用
人免责的规定，时效制度、举证责任制度的规定将使当事人受到限制。
是社会生活的实际需要使缔约过失责任应运而生，将这种损害赔偿按
合同一般规则处理，解决了适用违约责任和侵权责任不能解决的问
题，更广泛、更有利地保护了缔约人的利益。其使原先在侵权法领域
中得不到有效保护的当事人获得了契约法的有力保障，对大陆法系的
合意论和英美法上的对价理论构成巨大冲击，从而形成了“侵权行为
责任契约责任化”及“契约责任扩张化”的现象，促使了现实主义契
约法的诞生。
缔约过失责任理论由德国法学家耶林首创，该理论历史很短，但
对许多国家的民事立法和审判实践产生了重大影响。20世纪以后，随
着经济的发展和社会生活的实际需要，缔约过失责任制度得以广泛应
用。在大陆法系，有的国家以立法将其确认为一般原则在司法实践中
加以运用，有的国家虽然追随德国民法，规定其在契约中的三种情况
下适用，但司法判例和学说却推动缔约过失责任制度向其他领域发
展。在英美法系，英美衡平法中出现了“允诺禁反言之规则”，使受
允诺者的信赖利益得到救济。英美契约法中，也逐渐采取了对契约缔
结前情报提供义务所造成的信赖利益损失进行补偿的措施，诚实信用
已被作为一般义务规定在《英国统一商法典》的总定义中。我国正式
确立缔约过失责任制度见于《中华人民共和国合同法》的有关规定。
具体体现在：1、假借订立合同，恶意进行磋商时的缔约过失责任；2。
故意隐瞒与订立合同有关的重要事实或者提供虚假情况时的缔约过失
责任；3、有其他违背诚实信用原则的行为时的缔约过失责任；4。缔
约之际未尽保密义务时的缔约过失责任；5、合同无效、被撤销时的
缔约过失责任。这些规定对促进社会主义市场经济健康发展，树立诚
‘信观念，维护交易安全，完善民事法律制度，尤其是债法制度，都具
有十分重要的意义。但我国关于缔约过失责任制度的规定尚有不足之
处，主要有：第一，关于缔约过程中一方因过夫违反先契约义务，造
成另一方人身、财产损害的赔偿问题没作明确规定。第二，关于信赖
利益损失赔偿范围问题没明确规定以履行利益为限，实践中易损害缔
约过错方的正当利益。第三，《合同法》对缔约过失责任采取列举兼
概括规定的立法技术不妥。建议对《合同法｝｝第42条进行修定。
为了达到正确界定和判断缔约过失责任的目的，本文着重分析了
缔约过失责任的理论基础，违反的义务内容。保护的利益范围。过夫
行为的发生阶段，认为缔约过失责任无论发生在何种情形之下，其归
责基础都在于缔约过程中的行为有违诚实信用义务，这种在缔约过程
中所承担的义务显然不是契约义务，而是“先契约义务”，其内容原
则上包括协助、通知、保护、诚实、保密等义务，缔约过失责任的提
出不仅保护缔约双方不因缔约行为不成立、被撤销或无效而遭受损
失，亦保护当事人现有人身、财产利益不受侵害。但被追究缔约过失
责任的过失行为必须是发生在缔约过程中，一般是在要约生效后。合
同确定生效前，而行为的后果可能发生在行为当时或之后的任何阶
段。在论述了以上问题的基础上，将缔约过失责任的概念界定为一方
当事人在缔结合同过程中，故意或过失的违反依据诚实信用原则所要
求的义务，导致合同不成立、无效或被撤销，
Contracting negligence liability system has been established in the civil and commercial laws of many countries. In the continental legal system,some countries confirm it as a general principle by legislation to apply in judicial practice. Although some countries follows Civil Law of Germany to stipulate that it is suitable for use in three circumstances of contract,judicial precedent and doctrine promote contracting negligence liability system to develop toward other fields. In Anglo.-American legal system,Promissory Estoppel Rule appears in Anglo-American Law of Equity,so the trust benefit of promisee is relieved. In Anglo-American Law of Contract,the measure for compensating the trust benefit loss caused by the intelligence providing obligation before making a contract is gradually adopted,good faith and credibility are stipulated a general obligation in the general definition of British Unitary Commercial Code. But there is much academic controversy on the litigant to bear the liability in view
of which obligation,what loss the litigant of the other side has suffered,how they should be compensated,in the light of what the judge makes judgment,and so on. Firstly,the actual and theoretical sense of confirming contracting negligence liability system is expounded in this article,the litigant without effective protection in the law of torts field originally has gained the powerful guarantee of contract law,forming tremendous impact to the consensus theory of continental legal system and consideration theory of Anglo-American legal system,impelling the emergence of realistic contract law. It has very important sense for promoting the healthy development of socialist market economy of our country,building the idea of transaction with good faith and credibility,maintaining the safety of transaction,perfecting the civil laws system of our country especially law of obligation system. But the stipulation about contracting negligence liability system of our country is still somewhat inadequate. In order to rea
ch the aim of correctly defining and determining the contracting negligence liability,the feature,form,compensation limit and scope of contracting negligence liability are posed and analysed in this article,at the same time,the legislation status about contracting negligence liability of our country and the application condition in adjudicatory practice is deliberated,the own viewpoint is posed. Contracting negligence liability is considered to mean the prior contract obligation that should be borne by one side of litigant because of intentionally or negligently violating the principle of following good faith and credibility after the taking effect of offer and before the taking effect of contract,causing the contract to be not established,not valid or abolished,one side of litigant suffering certain loss,or causing one side of litigant suffering personal or property damage,the side of litigant at fault should assume the responsibility of compensation,both sides at fault should assume mutual responsibility o
f compensation. The occurrence stage of negligence conduct of contracting must be after the taking effect of qffer and before the taking effect of contract. And the aftermath of conduct may occur at the time of conduct or any stage after that. The nature of contracting negligence liability is a kind of statutory duty violating the prior contract obligation taking the principle of good faith and credibility as rationale. The subjective constitutive elements must include subjective mistake. The scope of its application includes the circumstance of not established,abolished,invalid contract. The extent of compensation of contracting negligence liability is to protect the trust benefit of aggrieved party,the right of contracting person not suffering disbenefit or loss because of not established,abolished,invalid contracting conduct and enjoying existing property and personal benefit which should not be infringed because of the trust to the contracting conduct of the concerned person. There are many categories of
家民商法所确立的一项重要债法制度。但是当事人基于违反什么义务
而要承担此项责任，对方当事人究竟蒙受了什么损失，应得到怎样的
赔偿，法官又是依据什么作出裁判等问题，学术上颇有争议。本文从
分析缔约过失责任的概念入手，从学说、判例、立法和实践的角度，
阐明了确立缔约过失责任制度的现实与理论意义，提出并分析了缔约
过失责任的概念、特征、损害赔偿的形式、构成要件及范围。同时对
我国关于缔约过失责任的立法现状及在审判实践中的应用情况作以反
思，提出自己的观点。
传统的民事立法和民法理论对于合同的法律保护，只是保护契约
阶段即从合同有效成立后到合同标的履行完毕之间这一过程，而对从
要约提出到合同有效成立这一先契约阶段是不予保护的。契约责任的
发生被定位在相互具有契约权利义务关系的当事人之间。因此，对合
同有效成立前，当事人因相信合同有效成立而由于合同未成立、无效
或被撤销所遭受的损失和缔约阶段的人身、财产损害是无法适用违约
责任的。而适用侵权责任又不利于受害人保护自身利益，因为如果让
受害人适用侵权行为法的规定寻求救济，那么侵权行为法上有关雇用
人免责的规定，时效制度、举证责任制度的规定将使当事人受到限制。
是社会生活的实际需要使缔约过失责任应运而生，将这种损害赔偿按
合同一般规则处理，解决了适用违约责任和侵权责任不能解决的问
题，更广泛、更有利地保护了缔约人的利益。其使原先在侵权法领域
中得不到有效保护的当事人获得了契约法的有力保障，对大陆法系的
合意论和英美法上的对价理论构成巨大冲击，从而形成了“侵权行为
责任契约责任化”及“契约责任扩张化”的现象，促使了现实主义契
约法的诞生。
缔约过失责任理论由德国法学家耶林首创，该理论历史很短，但
对许多国家的民事立法和审判实践产生了重大影响。20世纪以后，随
着经济的发展和社会生活的实际需要，缔约过失责任制度得以广泛应
用。在大陆法系，有的国家以立法将其确认为一般原则在司法实践中
加以运用，有的国家虽然追随德国民法，规定其在契约中的三种情况
下适用，但司法判例和学说却推动缔约过失责任制度向其他领域发
展。在英美法系，英美衡平法中出现了“允诺禁反言之规则”，使受
允诺者的信赖利益得到救济。英美契约法中，也逐渐采取了对契约缔
结前情报提供义务所造成的信赖利益损失进行补偿的措施，诚实信用
已被作为一般义务规定在《英国统一商法典》的总定义中。我国正式
确立缔约过失责任制度见于《中华人民共和国合同法》的有关规定。
具体体现在：1、假借订立合同，恶意进行磋商时的缔约过失责任；2。
故意隐瞒与订立合同有关的重要事实或者提供虚假情况时的缔约过失
责任；3、有其他违背诚实信用原则的行为时的缔约过失责任；4。缔
约之际未尽保密义务时的缔约过失责任；5、合同无效、被撤销时的
缔约过失责任。这些规定对促进社会主义市场经济健康发展，树立诚
‘信观念，维护交易安全，完善民事法律制度，尤其是债法制度，都具
有十分重要的意义。但我国关于缔约过失责任制度的规定尚有不足之
处，主要有：第一，关于缔约过程中一方因过夫违反先契约义务，造
成另一方人身、财产损害的赔偿问题没作明确规定。第二，关于信赖
利益损失赔偿范围问题没明确规定以履行利益为限，实践中易损害缔
约过错方的正当利益。第三，《合同法》对缔约过失责任采取列举兼
概括规定的立法技术不妥。建议对《合同法｝｝第42条进行修定。
为了达到正确界定和判断缔约过失责任的目的，本文着重分析了
缔约过失责任的理论基础，违反的义务内容。保护的利益范围。过夫
行为的发生阶段，认为缔约过失责任无论发生在何种情形之下，其归
责基础都在于缔约过程中的行为有违诚实信用义务，这种在缔约过程
中所承担的义务显然不是契约义务，而是“先契约义务”，其内容原
则上包括协助、通知、保护、诚实、保密等义务，缔约过失责任的提
出不仅保护缔约双方不因缔约行为不成立、被撤销或无效而遭受损
失，亦保护当事人现有人身、财产利益不受侵害。但被追究缔约过失
责任的过失行为必须是发生在缔约过程中，一般是在要约生效后。合
同确定生效前，而行为的后果可能发生在行为当时或之后的任何阶
段。在论述了以上问题的基础上，将缔约过失责任的概念界定为一方
当事人在缔结合同过程中，故意或过失的违反依据诚实信用原则所要
求的义务，导致合同不成立、无效或被撤销，
Contracting negligence liability system has been established in the civil and commercial laws of many countries. In the continental legal system,some countries confirm it as a general principle by legislation to apply in judicial practice. Although some countries follows Civil Law of Germany to stipulate that it is suitable for use in three circumstances of contract,judicial precedent and doctrine promote contracting negligence liability system to develop toward other fields. In Anglo.-American legal system,Promissory Estoppel Rule appears in Anglo-American Law of Equity,so the trust benefit of promisee is relieved. In Anglo-American Law of Contract,the measure for compensating the trust benefit loss caused by the intelligence providing obligation before making a contract is gradually adopted,good faith and credibility are stipulated a general obligation in the general definition of British Unitary Commercial Code. But there is much academic controversy on the litigant to bear the liability in view
of which obligation,what loss the litigant of the other side has suffered,how they should be compensated,in the light of what the judge makes judgment,and so on. Firstly,the actual and theoretical sense of confirming contracting negligence liability system is expounded in this article,the litigant without effective protection in the law of torts field originally has gained the powerful guarantee of contract law,forming tremendous impact to the consensus theory of continental legal system and consideration theory of Anglo-American legal system,impelling the emergence of realistic contract law. It has very important sense for promoting the healthy development of socialist market economy of our country,building the idea of transaction with good faith and credibility,maintaining the safety of transaction,perfecting the civil laws system of our country especially law of obligation system. But the stipulation about contracting negligence liability system of our country is still somewhat inadequate. In order to rea
ch the aim of correctly defining and determining the contracting negligence liability,the feature,form,compensation limit and scope of contracting negligence liability are posed and analysed in this article,at the same time,the legislation status about contracting negligence liability of our country and the application condition in adjudicatory practice is deliberated,the own viewpoint is posed. Contracting negligence liability is considered to mean the prior contract obligation that should be borne by one side of litigant because of intentionally or negligently violating the principle of following good faith and credibility after the taking effect of offer and before the taking effect of contract,causing the contract to be not established,not valid or abolished,one side of litigant suffering certain loss,or causing one side of litigant suffering personal or property damage,the side of litigant at fault should assume the responsibility of compensation,both sides at fault should assume mutual responsibility o
f compensation. The occurrence stage of negligence conduct of contracting must be after the taking effect of qffer and before the taking effect of contract. And the aftermath of conduct may occur at the time of conduct or any stage after that. The nature of contracting negligence liability is a kind of statutory duty violating the prior contract obligation taking the principle of good faith and credibility as rationale. The subjective constitutive elements must include subjective mistake. The scope of its application includes the circumstance of not established,abolished,invalid contract. The extent of compensation of contracting negligence liability is to protect the trust benefit of aggrieved party,the right of contracting person not suffering disbenefit or loss because of not established,abolished,invalid contracting conduct and enjoying existing property and personal benefit which should not be infringed because of the trust to the contracting conduct of the concerned person. There are many categories of
引文
1．王泽鉴：《民法学说与判例研究》第一册
2．梁慧星：《民商法论丛》、《民法》、《民法学说判例与立法研究》、《民法解释学》
3．张广兴：《债法总论》
4．张广兴、韩世远：《合同法总则》
5．杨立新：《合同法总则》
6．王利明：《违约责任论》
7．崔建元：《合同责任研究》
8．王军：《美国合同法判例选评》、《美国合同法》
9．佟柔：《中国民法》
10．马原：《民事审判实务》
11．陶希晋、梁慧星：《中国民法学》
12．林国民、赵贵龙、吴锦标：《外国民商法》
13．高圣平、刘璐：《民事合同理论与实务》
14．史尚宽：《债法总论》
15．隋彭生：《合同法论》
16．傅静坤：《二十世纪契约法》
17．沈达明：《英美合同法引论》
18．唐纳德·哈里斯和丹尼斯·泰龙：《当代合同法》
19．高尔淼：《英美合同法纲要》
20．董安生：《民事法律行为》
21．贝勒斯：《法律的原则》
22．罗伯特·霍恩：《德国民商法导论》
23．尹田：《法国现代合同法》
24．冯大同：《国际商法》
25．波斯纳：《法律的经济分析》
26．徐国栋：《民法基本原则解释》
27．王家福：《中国民法学·民法债权》
28．邓峰：《合同运用与求偿法律技巧》
29．李国光：《合同法解释与适用》
30．张经、汪泽：《中华人民共和国合同法释义》
31．全国人大法工委研究室编写组：《中华人民共和国合同法释义》
32．《法学大辞典》
2．梁慧星：《民商法论丛》、《民法》、《民法学说判例与立法研究》、《民法解释学》
3．张广兴：《债法总论》
4．张广兴、韩世远：《合同法总则》
5．杨立新：《合同法总则》
6．王利明：《违约责任论》
7．崔建元：《合同责任研究》
8．王军：《美国合同法判例选评》、《美国合同法》
9．佟柔：《中国民法》
10．马原：《民事审判实务》
11．陶希晋、梁慧星：《中国民法学》
12．林国民、赵贵龙、吴锦标：《外国民商法》
13．高圣平、刘璐：《民事合同理论与实务》
14．史尚宽：《债法总论》
15．隋彭生：《合同法论》
16．傅静坤：《二十世纪契约法》
17．沈达明：《英美合同法引论》
18．唐纳德·哈里斯和丹尼斯·泰龙：《当代合同法》
19．高尔淼：《英美合同法纲要》
20．董安生：《民事法律行为》
21．贝勒斯：《法律的原则》
22．罗伯特·霍恩：《德国民商法导论》
23．尹田：《法国现代合同法》
24．冯大同：《国际商法》
25．波斯纳：《法律的经济分析》
26．徐国栋：《民法基本原则解释》
27．王家福：《中国民法学·民法债权》
28．邓峰：《合同运用与求偿法律技巧》
29．李国光：《合同法解释与适用》
30．张经、汪泽：《中华人民共和国合同法释义》
31．全国人大法工委研究室编写组：《中华人民共和国合同法释义》
32．《法学大辞典》