重塑破产程序中的待履行合同——以“限缩的功能主义”为视角  

Reform Executory Contract in Bankruptcy Proceedings:from Restricted Functional Approach

作　　者：武诗敏 WU Shimin

机构地区：[1]新加坡国立大学法学院 [2]中国人民大学破产法研究中心

出　　处：《法学评论》2024年第1期73-84,共12页Law Review

摘　　要：明确待履行合同的定义是有效解决破产程序中待履行合同处理问题的基础和关键。就待履行合同的界定问题,美国破产法学界形成了两种主要标准,即实质违约标准与功能主义路径。实质违约标准与我国合同法关于违约形态的相关规定相抵牾,将导致问题的争议转为何为实质违约。我国理论界现有的通过区分给付义务与附随义务的方式判断合同义务是否已履行完毕的路径与待履行合同选择权这一制度的内在价值并不相符,且合同法上的义务群问题本身在民法领域也面临争议。功能主义路径有一定的合理性,但其固有的局限性不应被忽视,且其内在逻辑与我国合同法理论不兼容。正确理解待履行合同的内涵,应采取“限缩的功能主义”,关注合同项下债务人义务的履行情况,破产申请被受理时债务人一方尚未履行完毕其义务的合同即为待履行合同。功能主义可能导致的利益失衡后果则可通过“修正的拒绝履行模式”的适用有效避免。A clear definition of executory contract is the basis of effective treatment.Two essential doctrines have been formed in the U.S.bankruptcy law regarding the definition of executory contract:the material breach test and the functional approach.The material breach test contradicts the relevant provisions of contract law in China and turns the dispute to the definition of material breach.The existing path of distinguishing primary obligation and collateral obligation in China is inconsistent with the inherent value of the executory contract regime.Meanwhile,the problem of obligation groups in contract law itself is also controversial in civil law.The functional approach is reasonable to some extent,but its inherent limitations should not be ignored,and its internal logic is incompatible with China's contract law theory.The"restricted functional approach"should be adopted to analyze the definition of executory contract.Therefore,attention should be paid to the contractual duty of the debtor,which means a contract that the debtor has not fulfilled its obligations is an executory contract.The consequences of an imbalance of interests that the functional approach may cause can be effectively avoided by applying the"nodified rejection doctrine."

关 键 词：待履行合同 实质违约 限缩的功能主义 拒绝履行 

分 类 号：D92[政治法律—法学]