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不可抗力构成要件与合同不能履行关系之辨-7411威尼斯

发布时间:

2020-03-09


2020年初,新冠肺炎疫情骤然爆发继而席卷全国,各地纷纷出台疫情应对行政防控措施。

        2020年初,新冠肺炎疫情骤然爆发继而席卷全国,各地纷纷出台疫情应对行政防控措施。疫情或相关行政防控措施对各类合同的履行均可能产生影响,并可能引发纠纷,由此也引起了法律实务界对可能涉及的法律问题的大量探讨。其中,疫情或相关行政防控措施与不可抗力构成的关系作为基础性问题,各方讨论者或多或少都发表了相应观点,多地法院亦出台了相关意见,各观点或意见之间也出现了较大的分歧。具体而言,分歧所涉主要问题为“不可抗力的构成是否须结合合同履行情况认定”。我们认为,分歧发生的根本原因在于对不可抗力的概念或构成要件理解的差异,故此,本文从不可抗力的学理概念、我国立法以及司法实践等角度,对我国立法中的不可抗力定义及构成要件进行探讨、辨析,以期为实践中厘清不可抗力的认定标准提供一些帮助。

        一、实务中不可抗力认定现状

从实务角度而言,关于不可抗力的认定标准是比较模糊、不统一的。如针对此次疫情或防控措施,全国人大法工委以及多地法院关于如何认定不可抗力的意见并不统一,主要存在以下三种意见:

①是否构成不可抗力须结合合同履行情况认定

如全国人大法工委发言人在回答记者问时表示:“当前我国发生了新冠肺炎疫情这一突发公共卫生事件。为了保护公众健康,政府也采取了相应疫情防控措施。对于因此不能履行合同的当事人来说,属于不能预见、不能避免并不能克服的不可抗力事件。”又如,《山东高院民一庭涉疫情建设工程施工合同纠纷案件法官会议纪要》第1条规定:“对于为防治新冠疫情而采取行政措施,导致建设工程施工合同不能履行,或者由于疫情的影响致使当事人根本不能履行合同义务的,应当认定为不可抗力。”

该发言以及该会议纪要均认为疫情或防控措施仅在导致“当事人不能履行合同”时,才构成不可抗力。

②是否构成不可抗力无须结合合同履行情况认定

如浙江高院民二庭的《关于审理涉新冠肺炎疫情相关商事纠纷的若干问题解答》(浙高法民二〔2020〕1号文)第2条规定:“新冠肺炎疫情虽属不可抗力,但并非对所有商事合同的履行都构成阻碍。”

该解答直接将疫情认定为不可抗力。

③对于如何认定不可抗力未明确表态

《江苏省高级人民法院关于为依法防控疫情和促进经济社会发展提供司法服务保障的指导意见》第5条第3句规定:“因政府及有关部门为防治疫情而采取行政措施直接导致合同不能履行,或者由于疫情影响致使合同当事人根本不能履行而引起的纠纷,适用合同法关于不可抗力的规定处理。”

该意见仅规定疫情相关合同纠纷“适用合同法关于不可抗力的规定处理”,而并未对不可抗力如何认定发表意见。

此外,司法实践案例对于不可抗力的认定的裁判标准亦不相同:一些案例将合同能否履行作为不可抗力认定因素之一,如湖北高院在(2016)鄂民终1341号案件中判决认为:“因政府决定征收道达尔公司承包的向阳加油站房屋土地,致使武昌市政公司与道达尔公司之间的承包经营合同客观上无法继续履行,这一情形属于双方当事人不能预见、不能避免并不能克服的客观情况……”;一些案例则在认定是否构成不可抗力时并不考虑合同能否履行因素,如最高院在(2017)最高法民申3252号案件中直接判定“涉案威马逊台风符合不可抗力的构成要件”。

        二、不可抗力构成要件与法律效果要件的厘清

实务界对于“不可抗力的构成是否须结合合同履行情况认定”问题产生分歧的原因之一在于对“不可抗力认定要件”与“不可抗力法律效果要件”有所混淆,对此有必要首先予以厘清。

关于不可抗力的定义,根据《合同法》第117条第2款以及《民法总则》第180条第2款规定,不可抗力是指不能预见、不能避免且不能克服(以下合称“三不”)的客观情况。由此可见,构成不可抗力满足“不能预见、不能避免、不能克服、客观情况”四个要件即可。至于《合同法》第117条第1款规定的“因不可抗力不能履行合同”,则属于不可抗力发生后产生“免除责任”法律效果的构成要件,并非不可抗力的构成要件。

因此,在认定是否构成不可抗力时,仅对“三不客观情况”进行认定即可,而不应将“因不可抗力不能履行合同”纳入认定要件之一。

        三、不可抗力“三不”要件所指对象以及判定标准辨析——是否包含合同履行障碍以及是否采用当事人主观标准

虽然上文已经将“因不可抗力不能履行合同”排除不可抗力的认定要件范围,但是,要解决“不可抗力的构成是否须结合合同履行情况认定”问题,还须进一步对“三不”要件进行分析。具体而言,涉及不可抗力的两个基本理论问题:其一,“三不”要件所指对象为何,是仅指某客观事件本身,还是包括该事件对合同履行产生的影响;其二,“三不”的判定标准为何,是以合同当事人实际的预见、避免和克服能力作为判定标准(即“主观标准”),还是以一般人的预见、避免和克服能力作为判定标准(即“客观标准”)。下文结合相关理论学说、我国立法以及司法实践,对这两个问题进行分析。

        (一)不可抗力的理论学说及我国法理论通说

        1.三种理论学说

        关于不可抗力,理论上存在三种学说,分别为客观说、主观说、折中说。客观说认为,不可抗力的发生及损害,基于其事件外部的、重大且显著的性质,是不可预见、不可避免的;主观说则认为,以最大之注意尚不能防止其发生的事件,为不可抗力;折中说认为,不可抗力是不可预见其发生的外来事件,其损害效果,虽以周到之注意措施,尚不可避免的。[1]

       结合我国学者对于三种学说的解读,[2]总结其主要的差异在于:客观说强调外部事件本身性质上就具有客观上的重大性,其发生及其损害是一般人不可预见、不可避免的;主观说则以合同当事人主观角度判断事件是否可预见、可防免,从而认定是否构成不可抗力;折中说一方面强调事件发生的外部性、客观性,另一方面又考察事件的发生及其损害效果是否为合同当事人尽最大谨慎和最大努力仍不能防止。

        2.我国法理论通说

        我国法下不可抗力认定的要件设计以何种理论学说为基础,学术界通说我国关于不可抗力的立法理论渊源属于折中说。具体而言,事件的发生具有外部性、客观性,不受当事人意志左右,该事件的发生及其损害为合同当事人不能预见、不能避免,该事件的发生及其损害对合同履行造成的障碍为合同当事人不能克服。[3]

        关于“不能预见”,虽然学界通说以合同当事人作为预见主体,以订立合同时作为预见时点,[4]但并未以合同当事人的预见能力作为标准,而是以一般人能否预见为标准,即采取客观标准而非主观标准。[5]当然,也不排除采取主观标准的例外情况,如“在债务人具有特别预见能力的场合,只要债权人可以证明这一点,则依具体的预见能力加以判断”。[6]然而,对于“不能避免、不能克服”的判定标准,应采取主观标准还是客观标准,学界通说并未予以阐明。

        (二)对于“三不”要件所指对象以及判定标准的检讨

        1.关于“不能克服”的对象应否包括“合同履行障碍”问题

        对于“不能克服”的对象,上述学界通说认为所指向的是客观事件及其损害所造成合同履行障碍,实务界亦多为此观点。我们认为该观点有待商榷:

        (1)从学理角度而言,“不可抗力”是指不可抗拒的“事件及其损害”,而无涉“合同履行障碍”。

首先,无论是学理上的主观说、客观说或是折中说,对“不可抗力”定义的落脚点是“事件”,虽亦可扩张理解为“事件及其损害”(为行文之便,以下均代称为“事件”),但“损害”与“合同履行障碍”并非等同概念,并且“损害”的发生并不必然构成“合同履行障碍”(例如,在出卖人交付标的物于买受人之前,该标的物因地震等灾害而毁损灭失,如果标的物为种类物,则虽发生标的物灭失之“损害”,但并不构成“合同履行障碍”)。

其次,抛开三种学说视角,学界在对“不可抗力”进行单独定义时,一般都定义为“人力所不可抗拒的力量或意外事故”[7],在对其范围进行列举时大多分为自然灾害事件(如台风、海啸、蝗灾等)、社会异常事件(如战争、全面罢工等)、政府行为(法律的颁布实施、政策的出台落实、行政或司法部门的强制措施等)等。

由此可见,“不可抗力”是指不可抗拒的“事件”,而无涉“合同履行障碍”。“不能克服”作为“不可抗力”的要件之一,其对象应当也仅限于事件本身,而无关乎于事件所造成的“合同履行障碍”,否则,与不可抗力的内涵相矛盾。

        (2)从我国立法而言,“不能克服”的对象包括“合同履行障碍”不符合相关规定的逻辑与文义

首先,《合同法》第117条第1款规定不可抗力免责构成要件之一为“因不可抗力不能履行合同”,第117条第2款则对不可抗力进行了定义。可见,我国立法将“不可抗力”与“不可抗力导致履行障碍”进行了明确区分。如果再将不可抗力的要件之一“不能克服”的对象扩大为“合同履行障碍”,则会导致“不可抗力”构成要件与“不可抗力免责”构成要件发生重叠,不符合法条本身的逻辑。

其次,从《合同法》第117条第2款“不可抗力”的定义条款文义而言,“三不”属于并列要件,其所指对象应是一致的,都是“客观情况”,如果对“三不”对象作区分理解,明显不符合该法条文义。

因此,“不能克服”的对象与“不能预见、不能避免”的对象应为一致,应当都仅限于事件本身,而不应再包含事件造成的“合同履行障碍”。

        2. 关于“三不”的判定应采取主观标准还是客观标准问题

该问题攸关举证责任及举证内容。若采用主观标准,则合同当事人一方需举证证明其自身对客观情况的发生不具备预见及防免能力;若采用客观标准,则须举证证明该一般人对客观情况的发生不具备预见及防免能力即可。因此,有必要对该问题予以探讨、明确。

我们赞同通说中对“不能预见”采取客观标准,例外情况下采取主观标准的观点。对于“不能避免、不能克服”,我们认为判定标准也应当与“不能预见”一致,理由如下:

        (1)从学理角度而言,采主观标准与我国违约责任理论相冲突

如主张“三不”应采取主观标准,实际上是采取了主观说,而主观说与我国的违约责任理论存在不可调和的矛盾。在主观说上,免责的理论依据在于过错要件的欠缺:被告已经尽了最大的注意义务仍旧无法预见和防免,主观上不存在过错,因此不负赔偿责任。然而,由于我国合同法关于违约责任系采无过错原则,即责任的承担不应当考虑当事人的过错,既然不考虑过错,则一方合同当事人就不能以自己已尽最大注意义务仍无法预见和防免的事件为由获得免责,这与主观说是相矛盾的。

        (2)从实践角度而言,主观标准将导致举证及认证的混乱,而客观标准则相对有序

对是否构成不可抗力的举证责任在于遭受不可抗力的合同方,如果采用主观标准判定,一方面其必须证明其自身对不可抗力事件的发生缺乏预见和防免能力,实质上属于对“消极事实”的证明,而预见能力及防免能力因人而异,法院无从判定举证到何种程度方能达到证明标准,必将导致司法裁判的混乱。另一方面,遭受不可抗力的合同方势必有动力举证其预见和防免能力弱,而相对方如主张不构成不可抗力,往往被迫需要对遭受不可抗力的合同方具备相应能力进行举证,此时相当于将举证责任转嫁至相对方,实际上发生了举证责任倒置的后果。

然而,若采用客观标准,不可抗力认定的标准相对稳定,法院在认定是否达到证明标准时以一般人的预见、避免、克服的能力作为衡量标准即可。相对方也无须对此承担举证责任,除非其主张遭受不可抗力合同方的能力高于一般人的能力。

(3)从法条文义角度而言,“三不”判定标准应为一致

根据《合同法》第117条第2款关于“不可抗力”的定义规定,“三不”属于并列要件,其判定标准也应当是一致的,如果对“三不”判定标准作区分理解,明显不符合该法条文义。

因此,“三不”的判定标准均应采用客观标准,如出现合同当事人的能力高于一般人能力,且相对方能够举证证明的例外情形,此时则可采用主观标准判定。

        四、小结

        综上所述,关于我国法上不可抗力的构成要件如何理解已初步厘清:(1)首先,不可抗力属于“三不客观情况”,其构成要件不应包括“因不可抗力不能履行合同”。(2)其次,关于不可抗力的“三不”构成要件的所指对象及判定标准问题:①“三不”的对象“客观情况”所指均为事件本身,而并不包括事件所造成“合同履行障碍”;②“三不”的判定标准一般应采用客观标准为宜,即以一般人的预见、避免和克服能力而非合同当事人能力作为判定标准,例外情况下方可采用主观标准。基于此,我国对于不可抗力定义的立法理论渊源应属于客观说,而非折中说。

        关于文首提出的“不可抗力的构成是否须结合合同履行情况认定”之问题,答案已然明确,即不可抗力的构成无须结合合同履行情况认定。就本次疫情或防控措施而言,其本身即可构成不可抗力,而无须将其对于合同履行的影响作为认定要素。

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