对价与原因的比较研究

【作者】 郑嫣；

【导师】 郏丙贵；

【作者基本信息】 上海海事大学 ， 民商法学， 2007， 硕士

【摘要】 什么是合同?英美法系采用“允诺说”,大陆法系采用“协议说”。尽管在概念体系上有较大差异,但是,两大法系合同法所关注的核心和承载的使命并没有本质差别,即二者都是围绕合同约束力(效力)的问题展开的。正如海因·克茨教授所言:“实际上,确定哪些协议具有拘束力、哪些合同没有拘束力,这些构成了合同法的绝大部分内容。”合同法的目的就在于甄别可执行的允诺与不可执行的允诺,或者有约束力的协议与没有约束力的协议,并保证允诺或者合同的执行与实现。英美法主要是运用对价原则来确定允诺是否具有约束力;大陆法系没有对价的概念,却创建了原因理论作为判定合同效力的标准之一。因此,对对价原则和原因理论的比较研究将深化我们对两大法系合同法理论内涵和制度设计的把握。论文以历史和社会学的实证主义方法以及比较法学作为主要的研究方法,兼采自然法的价值论方法作为补充,以期多层次、多角度展现对价和原因两大制度的基本内容及其异同,并尽可能地挖掘两者背后所蕴含的文化内涵和价值理念。全文共分五章,主要内容如下:第一章为合同效力的根源及其解释理论。一个有效的合同为什么会在当事人之间产生相当于法律的效力?对于合同效力根源问题的回答,历史上产生过各种各样的理论学说:除了对价原则和原因理论外,还包括形式主义原则、意志决定论、信赖理论、效率理论以及社会契约论等等。这些理论都在合同法领域有着显著的影响,对合同效力根源的解释作出过重要贡献。第二章着重研究了英美合同法上的对价原则。对价原则是英美法系合同约束力的核心根源,经历了从英国的“获益——受损”理论到美国的对价交易理论的长期历史进化过程,逐渐形成了一套复杂的规则体系。本章通过对其具体规则及其例外的探讨,展现了对价原则的制度理性和实践理性。第三章以法国合同法为重点,探讨了大陆法上的原因理论。原因是法国合同法上合同生效要件之一,是判断合同是否对当事人产生拘束力的重要标准。在建立了原因理论的大陆法国家,原因理论经历了“客观原因论”到“主观原因论”的变革,这一转变体现了大陆法系合同法的价值理念从个人本位向社会本位的转移。第四章为对价和原因的比较研究。原因理论和对价原则存在的差异不能掩盖两大法系在合同法体系结构、合同效力规则和合同功能定位上的相似性,这为我们跨越两大法系进行比较法的研究提供了前提。论文从起源、适用、价值理念、功能定位以及现状未来等五个角度,对两大理论进行了比较分析。第五章为对价与原因对于我国合同效力理论与制度建设的启发。对他国法律理论和法律制度研讨的最终落脚点在于深化对本国相关制度的认识,并加以完善。本章的写作目的在于解决对价原则和原因理论对于中国法律的意义问题。笔者通过对我国的法律规范和学界理论的检讨与思考,认为我国合同效力规则虽然自成体系,但是,借鉴吸收对价制度和原因理论中的合理内容未尝不是未来法律改革的一条可行途径与思路。更多还原

【Abstract】 What is a contract? It is a promise or a set of promises in Anglo-American law of contract, while it is an agreement in continental legal system. Although the formulations are of notably differences, the final purpose and ultimate mission of the two legal systems’ contact law are definitely the same that is discriminating whether a promise is enforceable or unenforceable, in other words, whether an agreement is binding or unbinding. The doctrine of consideration is used as a tool to make the above judgment in Anglo-American law of contract, while a lawful cause is one of the requisites for the validity of an agreement in the continental contract law. Undoubtedly, to compare and analyze the doctrine of consideration and the theory of cause would deepen our understanding of the concept and meaning of contract law theory in the two legal systems.The comparative method and the method of combining historical and social study with positive analysis are the main research methods of this dissertation. Besides detailed discussion and fully comparison of the doctrine of consideration and the theory of cause, the author also used the value theory of nature law as a special approach to disclose the culture connotation and value orientation behind them. The dissertation is divided into five parts.Chapter I is about the source of the validity of a contract and its related explanation theories. A valid contract will generate a kind of legally obligation between the contractors, that’s why? To figure out this ultimate question about the validity of contracts, there are various theories and doctrines sparkling their gleams of wisdom in the river of history. According to the time order, they are the Doctrine of Pharisaism, Will Theory, Theory of Reliance Interest, Efficiency Theory, the New Social Contract Theory, including the Doctrine of Consideration and the Theory of Cause, which have made notable influences in the fields of contract law, and contributed a lot to the explanation of the source of the validity of contracts.Chapter II focuses on the introduction and investigation of the doctrine of consideration. The doctrine of consideration is the essential source of binding force of a contract in Anglo-American law, which has experienced a long process of evolution: from the "benefit-detriment theory" in England to the " bargain theory" in America. There is a series of complex rules under the title of the doctrine of consideration. The detailed discussion of the concrete rules and exceptive rules is used to prove that the doctrine of consideration also has an institutional reason, and is very relevant to legal practice.Chapter III mainly illuminates and discusses the theory of cause. According to The Civil Code of France, a lawful cause is one of the requisites for the validity of an agreement, which is also a magnitude criterion to judge whether a contract is binding. In some countries of continental legal system, this theory has evolved from "the theory of subjective cause" to "the theory of objective cause", accompanied by the transformation of value proposition from individual orientation to social orientation.Chapter IV makes a deep comparison between consideration and cause. The functional similarity in the contract law by the doctrine of consideration and theory of cause provides us with the premise to make a comparison between them. The author compared these two theories from the following points of view: their origins, applying, value propositions, functional orientations and statuses in quo & futures.The last chapter of the dissertation is the question of consideration in Chinese context. To study the foreign legal system and theory itself is not the end, it is just a tool. So after the comparison and analyzing, the author turns to asking the meaning of these two theories to the Chinese law. By analyzing Chinese legal texts and theoretical essays, we can get the conclusion that absorbing and drawing upon fruits of the doctrine of consideration and the theory of cause should be considered as an appropriate approach to our legal reform.更多还原