民法典语境下交付移转风险规则的体系联动效应辨识  

The System Effects of Risk Shifting Rules on account of Delivery in the Context of Civil Code

作　　者：刘洋 Liu Yang

机构地区：[1]上海财经大学法学院

出　　处：《财经法学》2022年第2期114-129,共16页Law and Economy

基　　金：2020年度上海市哲学社会科学规划课题青年项目“民法典中风险负担制度的基础理论和司法适用研究”(2020EFX003);2019年度上海市浦江人才计划“船舶油污风险防控及损害赔偿”(2019PJC049)的阶段性成果。

摘　　要：我国《民法典》在买卖合同一章(第604条以下)确立了交付移转风险的规则,这会在《民法典》规范框架内产生体系联动效应,表现为两个方面:一是风险负担配置格局对于物上瑕疵责任可适用性有决定功能;二是风险转移会引发损害向债权人迁移,令其溯源性转嫁的规范通道之型塑成为必要。在前一方面,又须从“时间”和“空间”两重维度切入观察。在时间轴线上,物上瑕疵责任得贯通性地适用于从缔约至合同依约履行的整个期间,风险转移不足以成为物上瑕疵责任适用的时间界限,这植根于风险未转移状态下债务人须为标的物性能质量概括负责的规范机理。在空间方向上,风险转移排除了物上瑕疵责任在非可归责性标的物减损案型的适用;但对可归责于债务人的标的物减损,纵在风险转移后亦应承认规范性“瑕疵”和物上瑕疵责任的成立,而非借用一般履行障碍法予以调整。在后一方面,因风险转移的制度作用而迁移至债权人的损害,亦可能基于规范体系联动的范式引导而溯源归咎至他处。其中,就可控的第三人行为造成的损害作为被转移风险指涉的对象时,应藉“附保护第三人效力契约”机制或经由《民法典》第1181条第1款第1句之准用,赋予债权人以直接请求权,以此疏通该等损害进一步对外转嫁的规范通道,而非求诸比较法上渐遭扬弃的“第三人损害清算理论”。The risk shifting rules on account of delivery can lead to system effects within the framework of the Civil Code, and this kind of system effects is to be divided into two aspects.Firstly, the risk allocation determines the applicability of seller’s liability for defects in things.Secondly, the shift of risk will result in the migration of damages to creditors, making it necessary to form a normative access for the further recursion of damages.The former respect of system effects can be observed from the perspectives of “time” and “space”.On the time axis, the liability for defects in things can be applied throughout the whole period from the conclusion of the contract to its complete performance.The shift of risk is not to be qualified as the time limit for the application of liability for defects in things, which is rooted in the normative mechanism that the debtor undertakes an overall responsibility for the subject matter’s quality when the risk is not shifted.In the spatial direction, the shift of risk excludes the application of liability for defects in things in cases where the impairments of object matters are non-imputable.However, if the impairments of object matters are imputable, we should recognize the existence of normative “defects” and the application of seller’s liability for defects in things, even though the price risk is already shifted to the side of creditor.This types of cases should not be governed by the general rules in the law for obstacles in performance.In the latter aspect, the damages moved to creditor resulting from the shift of risk may also be further passed on to other subjects based on the system effects of risk shifting rules.Under this background, when it comes to the situation where shifted risks direct to the damages caused by the controllable third party’s behavior, the creditor should be given the right of direct claim by the mechanism of “contract with the effect of protecting the third party” or through application mutatis mutandis of Art.1181 I(

关 键 词：风险转移 物上瑕疵责任 时间界限 空间界限 损害转嫁 

分 类 号：D923.6[政治法律—民商法学]