论违反报批义务的责任认定——以《最高人民法院关于适用〈中华人民共和国民法典〉合同编通则若干问题的解释》第12条为中心  

Liability Determination for Breach of Obligation to Obtain Administrative Approval—with a Focus on Article 12 of the Interpretation of the Supreme People’s Court on Several Issues Concerning the Application of the General Provisions of the Contract Part of the Civil Code of the People’s Republic of China

作　　者：张恩祥 ZHANG Enxiang

机构地区：[1]中国政法大学民商经济法学院

出　　处：《经贸法律评论》2024年第2期37-54,共18页Business and Economic Law Review

基　　金：国家社会科学基金法学重点项目“社会主义核心价值观与民法典价值体系研究”(项目批准号:23AFX003)。

摘　　要：《民法典合同编通则解释》第12条对于违反报批义务的责任规定存在以给付障碍类型决定责任形式,以“二次诉讼”程序扩张赔偿范围的内外体系混乱现状,这源于对既往立法模式的错误继承以及对待批准生效合同的约束力规范来源认识不清。当事人受自己意思约束的一般原则赋予了待批准生效合同的一般约束力,而须经批准生效合同的限定约束力来源于诚实信用原则。对于违反报批义务的责任认定,合同阶段区分标准存在方法论的曲折复杂和忽视公法强制规定意旨的弊端,而行政批准溯及生效标准为参照适用的法技术提供了理据支持,即当行政批准允许合同溯及生效且报批义务对主给付义务具有决定性甚至攸关合同目的实现之时,适用参照违约责任,反之则适用缔约过失责任。Article 12 of the Interpretation on Contract Part in the Civil Code states that there is a chaotic situation in the internal and external systems of determining the form of liability for breach of contract and expanding the scope of compensation through the“two litigation”procedure,in terms of the provisions on liability for breach of application for approval from administrative organs.This stems from the erroneous inheritance of previous legislative documents and unclear understanding of the binding norms for approving effective contracts.The general principle that the parties are bound upon the conclusion of a contract gives a general binding force to the contract to be approved for effectiveness,while the limited binding force of the contract to be approved for effectiveness comes from the principle of good faith.For the determination of responsibility for violating the obligation to submit for approval,the theory of contract process identification has methodological twists and turns and neglects the mandatory provisions of public law.However,the retrospective effectiveness standard of administrative approval combined with the contracting agreement of the parties can provide a doctrinal legal basis for the failure to submit for approval to constitute a performance obstacle.Therefore,when administrative approval cannot be retrospective effective or the parties agree that there is no active obligation to submit for approval,failure to comply with the approval or obstruction of the approval shall fall within the scope of contractual fault liability,and vice versa shall be the form of breach of contract relief liability.

关 键 词：报批义务 行政批准 溯及力 缔约过失责任 违约责任 

分 类 号：D923.6[政治法律—民商法学]