违反规章的合同效力判断——以未经审批的外债合同的效力问题切入

On the Judgment of Validity of the Contract in Violationof Regulations

违反规章规定的合同,不能简单以'违反社会公共利益'或'违反法律、行政法规的强制性规定'为由,被认定无效。虽然规章层级相对较低,其实际作用却不容忽视,应慎重判断违反规章的合同效力。至于具体分析思路,既有的'二分法'操作模式为合同效力的判断提供了可行的路径,但由于所涉'效力规定'与'取缔规定'概念高度概括,不易区分,会出现裁判过程随意性较大、裁判结果可预见性较低的问题。本文尝试引入比例原则分析违反规章的合同效力,即依据适合性、必要性、均衡性原则,依次分析违反规章的合同是否有损于社会公共利益;是否可通过其他手段保护社会公共利益;以及使合同无效的后果与保护的社会公共利益是否相当。只有当合同违反的规章内容与社会公共利益具有直接相关性、判令合同无效是足以保护社会公共利益的唯一手段、且依据社会大众的一般观念可知合同无效的后果与因合同损害的社会公共利益之间具有均衡性,违反规章的合同才能被认定为无效。否则,在这三项原则中,只要有一项原则不能满足,相应的合同就不能仅仅因违反规章而被认定为无效。

The contract in violation of regulations is not found to be invalid,in accordance with‘violation of the public interest’,or‘violation of the law,the mandatory administrative regulations;.Although level of the regulation is relatively low,but its actual role can not be ignored,we should carefully determine validity of the contract in violation of regulations.As for the specific analysis of ideas,the“dichotomy”operating mode to determine the validity of contract provides a feasible path,but because of 44the effectiveness of the provision”and“banning provision”highly summarized concept that is difficult to be distinguished*the mode will lead to arbitrary discretion and less predictable results.This paper attempts to judge validity of the contract in violation of regulations under the principle of proportionality,which according to suitability,necessity and proportionality principle,followed by analysis of whether the contract in violation of regulations detrimental to the public interest;whether the public interest can be protected by other means;and make whether the consequences of invaliding the contract and the protection of the public interest fairly.