论违约金的履约担保功能——兼论违约金酌减规则  

On the Function of Liquidated Damages for Guarantee of Performance:Involving the Discretionary Rule of Liquidated Damages

作　　者：张厚东 Zhang Houdong

机构地区：[1]北京大学法学院

出　　处：《财经法学》2023年第3期144-160,共17页Law and Economy

基　　金：国家社会科学基金重大项目“社会主义核心价值观融入司法裁判的理论基础与实施对策研究”(19VHJ019)的阶段性成果。

摘　　要：补偿性违约金由合意事实直接上升为法定规范类型,致使出现名实不符之下的司法困境。补偿性违约金因系属损害赔偿之预估,难谓独立的私法制度,且事后调整也无需借助于酌减规则。与之相比,立足于交易实践,违约金附属于合同给付义务而存在,乃是作为债务履行的威慑机制发挥着履约担保功能,这构成了违约金的制度基础。同时,为了规制违约金内在惩罚性的异化倾向,法官根据违约方的请求可予以事后调整以防止不公情形,也即违约金酌减规则。在酌减过程中,一是应遵循不酌减为原则、酌减为例外的基本立场,结合具体的交易形态,准确把握过分高于损失的含义,而不能以违约金高于实际损失这一事实判断直接推演出酌减这一内含价值抉择的法律后果;二是酌减规则的目的在于发现真实的履约担保功能,而非直接降至实际损失的程度。随着社会经济的发展,违约金的制度面貌和内在功能日益呈现出多元化形态,法律亦应对此持开放态度,实现法律和社会的共同成长。The fact that compensatory liquidated damages are directly elevated from consensual facts to statutory norms leads to a judicial dilemma under the discrepancy between name and reality.Also,the compensatory liquidated damages are estimated damages,so it is difficult to say that rules relating to them forms an independent private law system,and there is no need to use the discretionary rules to adjust them afterwards.In contrast,based on transactional practice,punitive damages are attached to the contractual obligation and exist as a deterrent mechanism for the performance of contracts,which forms the basis of the system.At the same time,in order to regulate the tendency of punitive alienation,the judge can,by the request of the defaulting party,adjust the amount of punitive liquidated damages afterwards.Meanwhile,in the process of discretionary reduction,first is to keep the basic position of no discretionary reduction as the principle,discretionary reduction as the exception,and it needs to understand the real meaning of much higher than the amount of damages by combining with the specific transaction form rather than directly deducing the consequences of discretionary reduction because of the factual judgment that the liquidated damages are higher than the actual loss;second,the purpose of the discretionary rules is to discover the true guarantee function,rather than directly reduce to the extent of the actual loss.With the development of social economy,the system of liquidated damages and its inherent functions are increasingly diversified,so the law should uphold an open attitude to achieve the common growth of law and society.

关 键 词：补偿性违约金 惩罚性违约金 履约担保 酌减规则 实际损失 

分 类 号：D923[政治法律—民商法学]