违反合同报批义务的责任承担——《合同编通则司法解释》第12条的适用问题  

Liability for Breach of Contract Approval Obligations——The Application of Article 12 of the Judicial Interpretation of the General Principles of Contract Compilation

作　　者：刘璐 LIU Lu(School of Law,Tsinghua University,Beijing 100084,China)

机构地区：[1]清华大学法学院,北京100084

出　　处：《北京理工大学学报（社会科学版）》2024年第5期86-96,共11页Journal of Beijing Institute of Technology：Social Sciences Edition

基　　金：国家社科基金项目“民法典中动产与权利担保体系研究”(19BFX118)。

摘　　要：《合同编通则司法解释》第12条明确未履行报批义务的合同成立未生效,具有形式拘束力。第12条将责任承担划分为三层。第一层,当事人不履行报批义务,相对方申请解除合同但不符合《民法典》563条法定解除权要件,司法解释创设新的法定解除权。当事人解除合同请求赔偿责任与预约合同中的违约责任不同,这里的赔偿责任是指缔约过失责任。第二层,法院判决当事人履行报批义务,当事人拒不履行,可以类推适用《民法典》第159条的规定,视为合同生效,当事人承担整个合同的违约责任。这种违约责任带有惩罚性质。第三层,行政机关因当事人的过错不予批准合同生效,《合同编通则司法解释》未明确规定此种情形合同能否解除,参照《九民纪要》第40条规定,当事人可以解除合同,并根据当事人过错请求承担赔偿责任。赔偿范围依据《民法典》第157条规定,涵盖固收损失及机会利益损失。机会利益损失并非固定,需要根据当事人的过错程度以及与行政审批之间的因果关系进行评估和判断。12 of the Judicial Interpretation of the General Provisions of Contract Compilation explicitly states that a contract with unfulfilled obligations of approval procedures is deemed as established but not yet effective,possessing formal binding force.This article divides the allocation of liabilities into three tiers.Firstly,in cases where a party fails to fulfill its obligation of approval procedures,and the other party applies for termination of the contract but does not meet the requirements for the statutory right of termination stipulated in Article 563 of the Civil Code,the judicial interpretation creates a new statutory right of termination.The claim for compensation upon termination of the contract differs from the liability for breach of a pre-contract,as it refers to the liability for culpa in contrahendo.Secondly,if the court orders a party to fulfill the obligation of approval procedures and the party refuses to comply,Article 159 of the Civil Code may be applied analogously,treating the contract as effective,and holding the party liable for the breach of the entire contract.This type of breach liability carries a punitive nature.Thirdly,when an administrative authority refuses to approve a contract due to the fault of the parties,and the Judicial Interpretation of the General Provisions of Contract Compilation does not explicitly specify whether the contract can be terminated in such circumstances,reference can be made to Article 40 of the Minutes of the Ninth National Civil and Commercial Judicial Work Conference,which allows parties to terminate the contract and seek compensation based on their fault.The scope of compensation,as stipulated in Article 157 of the Civil Code,encompasses both the loss of certain benefits and the loss of opportunity interests.The latter is not fixed and requires assessment and judgment based on the degree of fault of the parties and the causal relationship with the administrative approval process.

关 键 词：合同编通则司法解释 未生效合同解除 损害赔偿 信赖利益 机会利益 

分 类 号：DF418[政治法律—经济法学]