【作者】 梁锋；

【导师】 喻敏；

【作者基本信息】 西南财经大学 ， 民商法学， 2008， 硕士

【摘要】 第三人利益合同是合同当事人为了使合同以外的第三人受益,从而赋予该第三人直接取得对债务人的给付请求权的合同。第三人利益合同赋予合同当事人以外的第三人以合同权利,是合同相对性原则的例外和突破。合同相对性是古典契约法体系的第一块基石,但随着社会经济联系的日趋紧密以及合同的社会化,严格恪守合同相对性原则已不能适应复杂社会经济生活的多重需要。因此,实践中常常会出现这样一种尴尬的局面,即受到损害的一方无权以合同为依据起诉加害方,而有权起诉的一方往往因为未受损害而不愿起诉,进而导致第三方的权利得不到有利的保护,在实践中产生诸多纠纷。为了解决这一问题,无论大陆法系还是英美法系都在不同程度上对合同相对性予以突破,纷纷建立或在不同程度上承认了第三人利益合同制度。然而遗憾的是,第三人利益合同在我国还没有引起足够的重视,虽然在一些特别法(如保险法、信托法等)中存在着一些承认第三人利益合同的规则,并赋予了第三人合同上的权利,但是却缺少统一的一般性规定。立法的滞后已经对社会经济的正常往来产生了负面影响,现实生活中大量存在第三人的权利因为没有法律依据而无法得到有利保护的现象,因此建立具有中国特色的、科学合理的第三人利益合同制度势在必行。第三人利益合同制度的研究核心在于第三人利益合同的效力规则,其中又以第三人何以享有对债务人的直接给付请求权为研究重点。但可惜得是,目前我国的理论研究还局限于合同相对性理论,无论是传来说和转移说、承诺说、无因管理说、无权代理说和直接取得说均试图在合同相对性的制度构架内为第三人的权利提供理论救济。笔者认为,第三人利益合同的出现,本身即构成对合同相对性的突破,因此欲在此框架内为第三人的权利提供理论支持是几乎不可能的,我们必须转变研究思路,从法理层面来进行研究:承认第三人的权利体现了对合同当事人意思自治和对合同自由原则的尊重,也有助于保护第三人的信赖利益,当然该制度更能有效的减少诉讼成本和实现社会公平正义。此部分内容的研究也构成了本文在观点上的一大创新。目前我国学界并没有对第三人利益合同效力的一般规则展开系统研究。因此对此问题展开研究,具有较大的现实意义。本文从界定第三人利益合同中“第三人”的概念出发,重点对第三人利益合同的效力规则展开了研究,其中包括第三人利益合同对第三人的效力和对当事人的效力,笔者还基于实务的需要展开了对第三人利益合同的解除和违约责任承担的初步探讨,最后笔者针对我国现阶段第三人利益合同的立法现状,就未来我国民法典中第三人利益合同一般规则的构建进行了建议。全文除导论外共分为五个部分,其内容依次为:“导论”部分在文献综述的基础上,就本选题的意义、研究方法和研究思路对本文的基本内容进行了总体介绍。它首先就第三人利益合同的研究现状入手,指出学界研究的缺陷所在,并指明了本选题所具有的现实意义。本部分通过文献综述的介绍认为,目前我们展开对第三人利益合同效力规则的系统研究势在必行。第一章“第三人利益合同中第三人的界定”,本部分首先介绍了“第三人”的概念,“第三人”是指由第三人利益合同约定,经债权人和债务人指定,依照利益第三人约款而享有对债务人直接给付请求权的人。接着,笔者介绍了第三人欲享有合同权利应具有的条件和第三人的历史由来,进而明确了第三人的范围和分类,并将其与其他制度中的“第三人”进行了区分,通过上述介绍为本文的理论研究打下了坚实的基础。第二章“第三人利益合同对第三人的效力”,作为全文的研究重点,在本部分中笔者首先对第三人的权利来源进行了一个简短的文献综述,并通过上述文献综述指出要想在合同相对性理论的框架内为第三人的权利提供理论救济是不可能也是不现实的。笔者进而提出自己的观点,认为我们需转换研究思路,从法理的层面来进行理论突破:第三人利益合同有利于实现当事人的意思自治、有利于保护第三人的信赖利益,更体现了对合同自由的尊重,同时有利于节约交易成本和防范商业风险。第三人权利的内容很广泛,包括实体权利和程序权利,有积极的请求权,也有消极的抗辩权。至于受益第三人所承担的义务,笔者认为第三人原则上不应承担义务,但如果享受权利而必须承担的附随义务则除外。第三章“第三人利益合同对当事人的效力”,本部分的研究分为两个层次:笔者首先就第三人利益合同对债权人的效力进行了介绍,指出债权人享有请求债务人向第三人给付的权利和相应的救济权,债权人应当承担协助债务人履行的附随义务,以及产生不当得利时的返还义务和不得任意变更、撤销合同的义务;第二层次则为第三人利益合同对债务人的效力,债务人享有抗辩权和法定解除权,还可以基于第三人的受领迟延而主张损害赔偿。同时,债务人应当按照合同履行义务,一旦债务人因可归责于自己的原因违反合同义务,就要对债权人或第三人承担违约责任。第四章“第三人利益合同的解除与违约责任”,笔者通过上述对第三人利益合同效力规则的系统研究后,试图结合我国《民法通则》及《合同法》的立法规定,对第三人利益合同的解除以及违约责任的承担进行梳理,以解决实务之需。本部分简要介绍了第三人利益合同的解除事由、解除权的行使以及解除后的法律后果等。至于第三人利益合同违约责任的承担,笔者将之分为债务人违约以及债权人违约两个方面来展开研究,并讨论了第三人受领迟延时违约责任如何追究的问题。第五章“完善我国第三人利益合同制度的探讨”,该部分主要分为两个层次进行研究。笔者首先分析了我国第三人利益合同制度的立法现状,通过研究笔者指出,我国《合同法》第64条不过是对债务履行方式的一种特别规定,其并没有规定第三人的给付请求权,不是我国立法上关于第三人利益合同的一般规定。我国合同立法仍以合同相对性作为一项重要规则和基本内容,仅在合同法分则和一些单行法规中个别的赋予第三人以合同权利,立法上的不完善直接导致司法实践中的困难,现实中大量存在的第三人利益合同,法院无法按照第三人利益合同的原则作出判决,原因就在于缺乏立法上的依据。紧接着,作为本文结构上的一个创新点,笔者选取了单行立法中比较典型的第三人利益合同(如保险合同、运输合同)为研究对象,并对其体现出的与普通合同不同的涉他性进行了介绍,以便使读者了解我国单行法中第三人利益合同的发展状况。其次,在上述分析的基础上,笔者指出了构建我国第三人利益合同制度所具有的必要性,并提出了构建该制度的具体建议,主要包括将来在制定民法典时,第三人利益合同所应处的位置和该制度的具体条文设计。笔者认为一个符合中国国情的科学、合理、系统的第三人利益合同制度将有助于社会经济往来,并在中国的经济现代化过程中发挥重要作用。综上,本文以第三人利益合同的效力规则为研究中心,采用比较研究、文献分析、法解释学等研究方法试图对第三人利益合同的效力规则展开了系统研究,并从中得到一些启发,笔者指出我国应规定第三人利益合同的一般规则,以适应不断发展的社会经济生活的需要,承认第三人利益合同不会与合同相对性原则的价值冲突,反而与私法自治的精神相吻合。更多还原

【Abstract】 The contract for the benefit of third party is the contract in which the parties agree that one of the contract’s party pays to the third party and the third party directly obtains rights of claim. Such contract is the exception and breakthrough of the doctrine of the relativity of contract and the third party is given contractual rights. Though Relativity of Contract is the most fundamental principle of the Classical Contract Law, firm adherence to the principle is far from meeting the multifaceted needs of our social and economic life due to the close economic linkage and the socialization of contracts. A dilemma often emerges when Relativity of Contract is applied to practice: The person who suffered from loss or damage has no right to bring a lawsuit against the defendant on the contract, while the party who has the right to enforce the contract, is unwilling to do so because of no damage. In order to solve this problem, Regardless of the Roma legal system or the general legal system have set up or acknowledged the system of contract for the benefit of the third party in some extent.Contract for the benefit of the third party means the party entrusts the direct claim right to the third party with the purpose of benefiting him. The core of the system is about the efficacy of Third-party Beneficiary. Most researches at home focus on the debates of theories abroad without profound answers to the general regulation of the validity. Oriented to the situation in China, the author attempts to present his own understanding of how the right of the third party’s benefit originates from the perspective of Jurisprudence. Many aspects should be taken into consideration as to granting contract for the benefit of the third party, among which the respect towards Party Autonomy and Contract Freedom takes priority, and protect the third party’ s reliance interest, But It is a pity that our country hasn’t paid enough attention to it so far, because of lacking of uniform general regulations, although there are some relevant rules in special laws.Beginning with the clear definition of“the Third Party”, the author spends the most efforts researching on the efficacy principles and puts forward suggestions about the construction of Third-party Beneficiary in the future Civil Code of China.In addition to the introduction, the thesis consists of five chapters:On the basis of literature review, a general view of the significance, methods and thoughts of researching is given in the introduction.Chapter 1 lays a solid basis for this theoretical research by making clear the origination and the categories of the key term“the Third Party”.Chapter 2 is the most important part of the thesis in that it presents the author’s plausible explanations to the origin of the Third Party from the perspective of jurisprudence, it makes the analysis regarding some basic problems about the system of the contract for the benefit of third party. It introduces the rationality of the contract for the benefit of third party, It is conducive to the realization of parties’ expression freedom, the protection of third party’s trust interests and the conservation of transaction costs and prevention from business risks. In which the author divides the right of the Third Party into two types: substantive rights and procedural rights. As to the obligations the Third Party should assume, the authors holds that the Third Party is not supposed to take any obligation except collateral obligations or some special agreements between the Party and the Third Party.Chapter 3 deals with the efficacy of the Third Party’s Beneficiary from two respects: Firstly, the thesis deals with the effect of the contract to creditors. It points out that creditor’s right to request payment and right to request protection. Creditor’s obligation is mainly guaranteeing that the debtor pays to the third party and assisting the debtor to fulfill the duty. Secondly, it elaborates the effect of the contract to the debtor. The debtor’s rights are mainly the right to defend and the right to rescind. The debtor’s obligation is to comprehensively and suitably fulfill contractual duty according to the principle of good faith. Once the debtor violates the contractual obligations, he has to assume responsibility for breach.Chapter 4 clarifies the compensation for losses concerning the dissolution and breach of the contract for the benefit of third party.Chapter 5 probes into perfecting the regulations of Contract for the benefit of third party. In the concluding part, the author proposes constructive methods for the improvement through careful analysis of the existing problems. Then, the author focuses on the application of the contract for the benefit of third party to the Special Law. In the part, the author summarizes the typical contract for the benefit of third party in the relevant single laws, which can help the readers better understand the situation of this kind of special contract in China. Besides, the author presents his supposition about the position of the contract in the future Civil Code and its detailed rules and regulations.The final part makes the conclusion that we should scheme universality regulation and further consummate the existent legislation to adapt the developing economy.更多还原