缔约过失责任制度研究
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摘要
本文在阐述了缔约过失责任的历史渊源、产生和发展、法律基础、价值取向及法律特征等基本理论问题之后，着重论述了缔约过失责任的构成要件、适用范围及损害赔偿的问题。并在此基础上，分析我国现行立法对该制度规定之不足，提出了立法上的完善建议。在结构安排上，本文除引言和结语之外，分为以下六章。
第一章介绍缔约过失责任制度的产生和发展。阐述了缔约过失责任在罗马法上的历史渊源、正式提出及其在相关国家和国际立法与司法实践中的发展概况。
第二章主要论述了缔约过失责任的基本理论问题。首先在承认诚信原则为理论基础的前提下，提出了缔约当事人需保护之信赖为其最直接的理论基础；其次，从论述以诚信原则作为单一的价值取向的不良后果出发，表明了缔约过失责任建构应采取双重价值取向的问题，即诚信原则和自由原则之间的合理平衡；第三，以发展的观点，对缔约过失责任的概念作出进一步的探讨，修正其发展了的概念；第四，对缔约过失责任的法律特征进行论述，以进一步把握该制度的实质内涵；最后，对该制度在民法中的地位及其与相关制度的区别作出探讨，确立其作为独立制度存在的合理性。
第三章主要论述了缔约过失责任的构成要件。本章在分析学界相关论述的基础上，提出缔约过失责任的构成要件有四，即当事人之间存在缔约或磋商之行为，违反先合同义务及有过错，缔约当事人存在受损害的事实，违反诚实信用的行为与损害后果之间具有因果关系。对此，本文对以上要件一一做了比较详细的论述。特别是对先合同义务的论述，使诚信原则得以具体化，并在适用上更具可操作性。
第四章主要讨论缔约过失责任的适用范围。在上述缔约过失责任构成要件分析的基础上，进一步对具体情形之缔约过失责任作出探讨。本文以合同状态作为讨论之出发点，其目的不在阐释缔约过失责任与合同状态之间的联系，而在希望通过以此为出发点，能够比较全面有序地对各种类型作出论述。该章比较全面地论述了实务中所可能碰到的缔约过失责任类型，同时也表明了作者对不同类型在适用该制度时的观点。
第五章主要阐述了缔约过失责任的损害赔偿问题。首先，对缔约过失责任的
责任形式作出论述，以发展的视角提出不以损害赔偿为单一责任形式的观点;其
次，在对两大法系信赖利益概念作出比较介绍的前提下，提出了对大陆法系信赖
利益概念进行修正的观点，主要是在保留信赖利益概念的前提下，将固有利益单
独作为一种缔约过失责任的利益损害类型，并以此希望达到消除理论界对赔偿限
额之争论的目的;最后，本章对责任适用之一般原则、举证责任、时效等也作出
了探讨。
第六章致力于提出完善我国缔约过失责任制度的立法建议。本章通过论述我
国对该制度的规定及存在之不足的前提下，提出了立法上的完善建议，以期对完
善我国该制度的立法起到一定的推动作用。
最后，鉴于缔约过失责任制度随判例及学说之不断发展的特点，全文贯彻了
发展的观点来论述问题的思维方式。希望能通过对制度发展本质的把握，起到更
加合理、准确地论述缔约过失责任制度的目的。
This dissertation dissertates the birth, development, law-basis, characteristics, constitutive elements, the application and the legal results about the Culpa in Contrahendo. Based on the above analysis, it analyzed the defaults of our country's legislation and put forward the suggestions to further perfect the legislation of the culpa in Contrahendo in our country. In the arrangement of the structure, this paper includes six chapters except the pre-words and the closing-words, they are:
Chaptert gives a brief introduction of the culpa in Contrahendo. It expatiated the historical origin, the formally introduction and the legislation status in other countries and the international civil and commercial law.
Chapter2 indulges in probing the basic theoretical problems of the liability. First of all, it probes the legal foundation of the liability, it put forward that the treaty party's reasonable reliance is the directness legal foundation in admitting the bona fide doctrine as the basic legal foundation. Then, it discussed the disadvantage of taking the bona fide doctrine as the single value and pointed out that the free contracting rule should also be considered, which means that we should balance the two values of the bona fide doctrine and the free contracting rule. Third, it takes a further study about the liability's concept and insisted that it should be modified to accord with the changed connotation. Fourth, it discussed the characteristics of the liability and probes into the status of the liability in the civil law.
Chapters mainly dissertates the constitutive elements of the liability. Based on the analysis of the related dissertations, it pointed out that there is four elements should be considered. That is: (i) there should be a contracting or negotiation relationship between the two parties; (ii) the litigants breaks the pre-contractual duties and has subjective fault; (iii) the litigants has suffered actual losses; (iv) the conduct of breaching the pre-contractual duties is the
direct reason of the other party's losses. This part especially discussed the pre-contractual duties and made the bona fide doctrine becoming easy to handle.
Chapter4 discussed the liability's scope of application. Based on the above analysis, it further probes into some actual circumstances relied on the status of the contract. Applying such a structure is not to illuminate the liability's relation with the contract's status, but to analysis it more completely and orderly. Through this chapter's discussion we can better grasp the liability's application in different circumstances that the legislation and the practice might meet, the author's view is also presented in the meantime.
Chapters mainly concerns about the legal results of the culpa in contrahendo. It first insisted that the method of compensation shouldn't be restricted to the single method of compensation for damages. Second, after introducing the concepts of confide interest in the two law systems. It put forward that the concept of confide interest in the continental law should be changed. That is to creating an independent concept of the actual interest, which might help to get rid of the controversy relating the scope of the compensation. At last, this chapter also probes into the other regulations, such as the burden of adducing evidence etc.
Chapter6 indulged in bring forward the legislation suggestions about perfecting the liability in our country's legislation after dissertating the status and defaults of our country's present legislation.
Yang Yunfei (civil & commercial law) Directed by: Shen Qiuming Professor
第一章介绍缔约过失责任制度的产生和发展。阐述了缔约过失责任在罗马法上的历史渊源、正式提出及其在相关国家和国际立法与司法实践中的发展概况。
第二章主要论述了缔约过失责任的基本理论问题。首先在承认诚信原则为理论基础的前提下，提出了缔约当事人需保护之信赖为其最直接的理论基础；其次，从论述以诚信原则作为单一的价值取向的不良后果出发，表明了缔约过失责任建构应采取双重价值取向的问题，即诚信原则和自由原则之间的合理平衡；第三，以发展的观点，对缔约过失责任的概念作出进一步的探讨，修正其发展了的概念；第四，对缔约过失责任的法律特征进行论述，以进一步把握该制度的实质内涵；最后，对该制度在民法中的地位及其与相关制度的区别作出探讨，确立其作为独立制度存在的合理性。
第三章主要论述了缔约过失责任的构成要件。本章在分析学界相关论述的基础上，提出缔约过失责任的构成要件有四，即当事人之间存在缔约或磋商之行为，违反先合同义务及有过错，缔约当事人存在受损害的事实，违反诚实信用的行为与损害后果之间具有因果关系。对此，本文对以上要件一一做了比较详细的论述。特别是对先合同义务的论述，使诚信原则得以具体化，并在适用上更具可操作性。
第四章主要讨论缔约过失责任的适用范围。在上述缔约过失责任构成要件分析的基础上，进一步对具体情形之缔约过失责任作出探讨。本文以合同状态作为讨论之出发点，其目的不在阐释缔约过失责任与合同状态之间的联系，而在希望通过以此为出发点，能够比较全面有序地对各种类型作出论述。该章比较全面地论述了实务中所可能碰到的缔约过失责任类型，同时也表明了作者对不同类型在适用该制度时的观点。
第五章主要阐述了缔约过失责任的损害赔偿问题。首先，对缔约过失责任的
责任形式作出论述，以发展的视角提出不以损害赔偿为单一责任形式的观点;其
次，在对两大法系信赖利益概念作出比较介绍的前提下，提出了对大陆法系信赖
利益概念进行修正的观点，主要是在保留信赖利益概念的前提下，将固有利益单
独作为一种缔约过失责任的利益损害类型，并以此希望达到消除理论界对赔偿限
额之争论的目的;最后，本章对责任适用之一般原则、举证责任、时效等也作出
了探讨。
第六章致力于提出完善我国缔约过失责任制度的立法建议。本章通过论述我
国对该制度的规定及存在之不足的前提下，提出了立法上的完善建议，以期对完
善我国该制度的立法起到一定的推动作用。
最后，鉴于缔约过失责任制度随判例及学说之不断发展的特点，全文贯彻了
发展的观点来论述问题的思维方式。希望能通过对制度发展本质的把握，起到更
加合理、准确地论述缔约过失责任制度的目的。
This dissertation dissertates the birth, development, law-basis, characteristics, constitutive elements, the application and the legal results about the Culpa in Contrahendo. Based on the above analysis, it analyzed the defaults of our country's legislation and put forward the suggestions to further perfect the legislation of the culpa in Contrahendo in our country. In the arrangement of the structure, this paper includes six chapters except the pre-words and the closing-words, they are:
Chaptert gives a brief introduction of the culpa in Contrahendo. It expatiated the historical origin, the formally introduction and the legislation status in other countries and the international civil and commercial law.
Chapter2 indulges in probing the basic theoretical problems of the liability. First of all, it probes the legal foundation of the liability, it put forward that the treaty party's reasonable reliance is the directness legal foundation in admitting the bona fide doctrine as the basic legal foundation. Then, it discussed the disadvantage of taking the bona fide doctrine as the single value and pointed out that the free contracting rule should also be considered, which means that we should balance the two values of the bona fide doctrine and the free contracting rule. Third, it takes a further study about the liability's concept and insisted that it should be modified to accord with the changed connotation. Fourth, it discussed the characteristics of the liability and probes into the status of the liability in the civil law.
Chapters mainly dissertates the constitutive elements of the liability. Based on the analysis of the related dissertations, it pointed out that there is four elements should be considered. That is: (i) there should be a contracting or negotiation relationship between the two parties; (ii) the litigants breaks the pre-contractual duties and has subjective fault; (iii) the litigants has suffered actual losses; (iv) the conduct of breaching the pre-contractual duties is the
direct reason of the other party's losses. This part especially discussed the pre-contractual duties and made the bona fide doctrine becoming easy to handle.
Chapter4 discussed the liability's scope of application. Based on the above analysis, it further probes into some actual circumstances relied on the status of the contract. Applying such a structure is not to illuminate the liability's relation with the contract's status, but to analysis it more completely and orderly. Through this chapter's discussion we can better grasp the liability's application in different circumstances that the legislation and the practice might meet, the author's view is also presented in the meantime.
Chapters mainly concerns about the legal results of the culpa in contrahendo. It first insisted that the method of compensation shouldn't be restricted to the single method of compensation for damages. Second, after introducing the concepts of confide interest in the two law systems. It put forward that the concept of confide interest in the continental law should be changed. That is to creating an independent concept of the actual interest, which might help to get rid of the controversy relating the scope of the compensation. At last, this chapter also probes into the other regulations, such as the burden of adducing evidence etc.
Chapter6 indulged in bring forward the legislation suggestions about perfecting the liability in our country's legislation after dissertating the status and defaults of our country's present legislation.
Yang Yunfei (civil & commercial law) Directed by: Shen Qiuming Professor
引文
1 林诚二．民法理论与问题研究．中国政法大学出版社，1999
2 周枬．罗马法原论(下)．商务印书馆，1996
3 王泽鉴．民法学说与判例研究(一)～(七)．中国政法大学出版社，1998
4 王泽鉴．债法原理(一)．中国政法大学出版社，2001
5 黄茂荣．债法总论．中国政法大学出版社，2003
6 潘维大，黄阳寿．英美契约法案例解析．北京大学出版社，2001
7 史尚宽．债法总论．中国政法大学出版社，2000
8 波斯纳．法律的经济分析(上)．中国大百科全书出版社，1997
9 庞德．通过法律的社会控制—法律的任务．商务印书馆，1984
10 罗伯特·霍恩、海因·科茨、汉斯·G．莱塞．德国民商法导论．中国大百科全书出版社，1996
11 刘德宽．民法诸问题与新展望．台湾三民书局，1980
12 江平．民法学．中国政法大学出版社，2000
13 冯大同．国际商法．对外经济贸易大学出版社，1991
14 王利明．违约责任论．中国政法大学出版社，1996
15 王利明，崔建远．合同法新论．中国政法大学出版社，2000
16 王利明．民商法研究(第一辑修订版)(第三辑)．法律出版社，2001，1998
17 王利明，杨立新．侵权行为法．法律出版社，1996
18 王利明．民法．中国人民大学出版社，2000
19 梁慧星．民法学说判例与立法研究．中国政法大学出版社，1993
20 梁慧星．民商法论丛(第3卷)～(第7卷)．法律出版社，1995～1997
21 杨立新．民法判例研究与适用(第二集)．中国检察出版社，1996
22 郭明瑞，房绍坤．新合同法原理．中国人民大学出版社，2000
23 崔建远．合同法．法律出版社，1998
24 崔建远．合同责任研究．吉林大学出版社，1992
25 张恒山．法理要论．北京大学出版社，2002
26 杜景林，卢谌．德国债法改革—《德国民法典》最新进展．法律出版社，2003
27 傅静坤．二十世纪契约法．法律出版社，1997
28 杨桢．英美契约法论．北京大学出版社，1997
29 马强．债权法新问题与判解研究．人民法院出版社，2002
30 詹福满．当代中国法律热点问题研究．群众出版社，2001
31 王军．美国合同法判例选评．中国政法大学出版社，1995
32 吴合振．合同法理论与实践．人民法院出版社，2002
33 刘鸿君．缔约过失责任的适用条件之管见．学术交流，1999(3)
34 吴卫星．对缔约过失责任概念之界定．政法论丛，1999(1)
35 张春普．附随义务涵义和价值理念的探析．河北法学，2001(2)
36 道文．试析合同法上的附随义务．法学，1999(10)
37 刘英．论缔约过失责任．广西大学硕士学位论文，2002(5)
38 杨路明．缔约过失责任制度研究．湖南师范大学硕士学位论文，2003(3)
39 王洪亮．缔约上过失制度研究．中国政法大学博士学位论文，2000(4)
40 慕宏伟．论缔约过失责任的法律适用．郑州大学硕士学位论文，2003(5)
41 叶建丰．缔约过失制度研究．华侨大学硕士学位论文，2000(6)
42 乔烨宏．缔约过失责任研究．厦门大学硕士学位论文，2001(6)
43 贺为民．信赖利益辨析．政法论坛，2002(4)
44 吴根发．缔约中的信赖利益及其损害赔偿．法学，1999(3)
45 崔建远．缔约上过失责任论．吉林大学社会科学学报，1992(3)
46 吴卫星．对缔约过失责任概念之界定．政法论丛，1999(1)
47 孟刚，李显萍．对合同附随义务的几点认识．吉林省经济管理干部学院学报，2000(4)
48 马新彦．信赖与信赖利益考．中国民商法律网，2003年6月(http://www.civillaw.com.cn/weizhang/default.asp?id=8021)
49 L.L. Fuller& William R. Perdue. The Reliance Interest in Contract Damages. The Yale Law Journal, Vol. 46, 1936
50 Atiyah. The Move from Agreement to Reliance In English Law and the Exclusion of Liability Relating to Defective Good, on Contract Law Today. Anglo-French Comparisons. Edited by Donald Harris and Denis Tallon. Clarendon Press, Oxford. 1989
51 Atiyah. An Introduction to the Law of Contract, Clarendon Press, Oxford. 1971.
52 Kessler & Fine. Culpa in Contrahendo. Bargaining in Good Faith and Freedom of Contract: A Comparative Study, Harv. L. R401. Vol. 77, 1964
52 Hamiliton, Rau, Poul & Minn, Cases and Materials on Contracts, West Publishing Co., 1992
53 Cohen, Precontractual Duties and Good Faith in Contract Law, in: Beatson & Friedmann (ed.), Good Faith and Fault in Contract Law. 1995
2 周枬．罗马法原论(下)．商务印书馆，1996
3 王泽鉴．民法学说与判例研究(一)～(七)．中国政法大学出版社，1998
4 王泽鉴．债法原理(一)．中国政法大学出版社，2001
5 黄茂荣．债法总论．中国政法大学出版社，2003
6 潘维大，黄阳寿．英美契约法案例解析．北京大学出版社，2001
7 史尚宽．债法总论．中国政法大学出版社，2000
8 波斯纳．法律的经济分析(上)．中国大百科全书出版社，1997
9 庞德．通过法律的社会控制—法律的任务．商务印书馆，1984
10 罗伯特·霍恩、海因·科茨、汉斯·G．莱塞．德国民商法导论．中国大百科全书出版社，1996
11 刘德宽．民法诸问题与新展望．台湾三民书局，1980
12 江平．民法学．中国政法大学出版社，2000
13 冯大同．国际商法．对外经济贸易大学出版社，1991
14 王利明．违约责任论．中国政法大学出版社，1996
15 王利明，崔建远．合同法新论．中国政法大学出版社，2000
16 王利明．民商法研究(第一辑修订版)(第三辑)．法律出版社，2001，1998
17 王利明，杨立新．侵权行为法．法律出版社，1996
18 王利明．民法．中国人民大学出版社，2000
19 梁慧星．民法学说判例与立法研究．中国政法大学出版社，1993
20 梁慧星．民商法论丛(第3卷)～(第7卷)．法律出版社，1995～1997
21 杨立新．民法判例研究与适用(第二集)．中国检察出版社，1996
22 郭明瑞，房绍坤．新合同法原理．中国人民大学出版社，2000
23 崔建远．合同法．法律出版社，1998
24 崔建远．合同责任研究．吉林大学出版社，1992
25 张恒山．法理要论．北京大学出版社，2002
26 杜景林，卢谌．德国债法改革—《德国民法典》最新进展．法律出版社，2003
27 傅静坤．二十世纪契约法．法律出版社，1997
28 杨桢．英美契约法论．北京大学出版社，1997
29 马强．债权法新问题与判解研究．人民法院出版社，2002
30 詹福满．当代中国法律热点问题研究．群众出版社，2001
31 王军．美国合同法判例选评．中国政法大学出版社，1995
32 吴合振．合同法理论与实践．人民法院出版社，2002
33 刘鸿君．缔约过失责任的适用条件之管见．学术交流，1999(3)
34 吴卫星．对缔约过失责任概念之界定．政法论丛，1999(1)
35 张春普．附随义务涵义和价值理念的探析．河北法学，2001(2)
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