对待给付风险负担的基本原则及其突破

Basic Principle of Gegenleistungsgefahrtragung and Its Exceptions

对待给付风险负担的规范体系中存在"基本原则——例外突破"的基本结构。其基本原则是,对待给付风险负担于给付义务完全履行之前均应停留于债务人方面。它立足于双务合同上给付义务之间的牵连关系,体现了交换正义的法理思想。例外突破则包括交付行为完成、债权人迟延状态出现、可归责于债权人的因素导致履行不能时,对待给付风险负担提前移转或自始由债权人负担。这三种例外规范对于双务合同上给付义务之间牵连关系的打破均有其各自的正当性。交付导致风险负担提前移转的规则亦可用于寄送买卖。债权人迟延制度风险移转功能的规范前提则包括:债务人具有履行能力与履行意愿;履行的实际提供或者例外情形的口头提供,少数特殊场合则可免于履行提供;债权人未履行配合行为。就可归责于债权人因素的判断,根本基准在于合同内容与当事人意思表示的解释;在其具体展开上,债权人违反保护义务与给付义务、不实施必要的协助配合行为、因特约或特殊交易关系承担额外获取风险时,均能将履行不能归入债权人负责的范围,令其自始承担风险。我国现行合同法在对待给付风险负担的规范设置上还存在很多缺漏,民法典合同编草案应当予以增补和完善。

The institution of Gegenleistungsgefahr has the fundamental structure of“basic principle-exceptional interruption”.The basic principle is that the burden of Gegenleistungsgefahr should always stay with the debtor before the main obligation is completely fulfilled.This principle is based on the synallagma between the main obligations of bilateral contracts and reflects the jurisprudential idea of commutative justice.The exceptions include the following situations,that is,the handing-over-act is accomplished,the status of delay on the side of the creditor arises,and a factor attributable to the creditor has led to the impossibility of fulfilling the main obligation.In these situations,the burden of gegenleistungsgefahr will be shifted to the creditor in advance or even should be shouldered by the creditor from the outset.Each of these three rules of exception has its own legitimacy.The rule that the handing-over-act can cause the Gegenleistungsgefahr to shift in advance applies also to sales contracts involving carriage.The risk-shift function of the institution of default of creditor takes followings as its normative pre-conditions,that is,the debtor is able and willing to fulfill the main obligation,the debtor has factually made the tender of performance or,in exceptional circumstances,has tendered with words-only in rare cases is the tender of performance unnecessary,and the creditor has not implemented the act of cooperation.As for the judgment of whether or not the relevant factors are attributable to the creditor,the fundamental criterion lies in the content of contract and the construction of the declaration of will of the contractual parties.In the course of unfolding the third kind of exception,the creditor should be held responsible for the impossibility of performance and bear the burden of Gegenleistungsgefahr from the outset under the following situations:the creditor breaches the duty of protection or the main obligation,the creditor does not implement necessary acts of cooperation,or the creditor takes extra risk as a result of a special promise or specific category of transactions.In the Chinese Contract Law,there are still many statutory gaps with respect to the institution of Gegenleistungsgefahrtragung,which should be filled up in the Title on Contract Law of the Draft Chinese Civil Code.