民法強(qiáng)制性規(guī)范研究
發(fā)布時(shí)間：2018-08-21 12:53
【摘要】：在司法、立法和理論研究層面,我國民法強(qiáng)制性規(guī)范存在諸多問題。其最終可歸結(jié)為民法強(qiáng)制性規(guī)范的概念界定、類型劃分、效力確定、規(guī)范配置、司法識(shí)別及適用解釋等基本問題。針對這些問題,本文主要從基礎(chǔ)理論、立法論和司法論的角度對民法強(qiáng)制性規(guī)范進(jìn)行闡釋,除導(dǎo)言外,全文共計(jì)六章。前四章主要研究基本理論,第五章是立法論研究,第六章是司法論研究。第一章探討了民法強(qiáng)制性規(guī)范的概念。首先從概念的用語和內(nèi)涵兩方面總結(jié)民法強(qiáng)制性規(guī)范概念的爭議焦點(diǎn)。在用語方面,分析比較了“強(qiáng)制”與“強(qiáng)行”、“規(guī)范”與“規(guī)定”、“規(guī)則”、“法規(guī)”等不同表述,論證了“強(qiáng)制性規(guī)范”作為概念稱謂的合理性。在內(nèi)涵方面,主要研究強(qiáng)制的對象、內(nèi)容和效力。論證強(qiáng)制的對象應(yīng)是民事主體或當(dāng)事人,而非司法機(jī)關(guān);強(qiáng)制的內(nèi)容是當(dāng)事人不能排除或變更法律規(guī)范的司法適用;強(qiáng)制的效力不單是法律制裁,而是當(dāng)事人意欲產(chǎn)生的法律效果遭遇法律障礙。由此認(rèn)為,民法強(qiáng)制性規(guī)范可定義為:當(dāng)事人不能排除或變更司法適用,否則其意欲發(fā)生的法律效果將遭受法律障礙的民事法律規(guī)范。最后,經(jīng)與任意性規(guī)范、倡導(dǎo)性規(guī)范、半強(qiáng)制規(guī)范和禁止性規(guī)范比較,界定了強(qiáng)制性規(guī)范的外延,并說明了科學(xué)界定民法強(qiáng)制性規(guī)范的理論和實(shí)踐意義。第二章論證了民法強(qiáng)制性規(guī)范的法理基礎(chǔ)。對于以私法自治為圭臬的民法而言,民法強(qiáng)制性規(guī)范主要在于限制當(dāng)事人的權(quán)利自由,屬于異質(zhì)規(guī)范,其存在必須具有正當(dāng)性基礎(chǔ),總體而言,大致有三。首先,從歷史緣起看,在民法演化過程中民法法源由開放逐步轉(zhuǎn)變?yōu)閲抑贫ǚㄕ冀y(tǒng)治地位。在國家主導(dǎo)立法的背景下,基于社會(huì)公共利益考量,在私法中注入一定的強(qiáng)制性規(guī)范實(shí)屬必然。古羅馬時(shí)期強(qiáng)制性規(guī)范既已存在,至今數(shù)量劇增,適用范圍擴(kuò)大,成為具有相應(yīng)社會(huì)基礎(chǔ)的本體存在,而且在區(qū)分民法典和特別民法的形式體系中不斷得以強(qiáng)化。其次,民法強(qiáng)制性規(guī)范確實(shí)具有顯著功能。它能夠融通個(gè)人與社會(huì)的關(guān)系,平衡私法自治與國家強(qiáng)制,兼顧形式理性與實(shí)質(zhì)理性,協(xié)調(diào)私人利益與公共利益。這是民法強(qiáng)制性規(guī)范存在的功能基礎(chǔ)。最后,民法強(qiáng)制性規(guī)范能夠維護(hù)形式平等,推動(dòng)實(shí)質(zhì)平等;保障個(gè)人人身財(cái)產(chǎn)安全,保護(hù)市場交易與婚姻家庭安全;確保個(gè)人生活秩序,實(shí)現(xiàn)社會(huì)穩(wěn)定有序;提升經(jīng)濟(jì)與社會(huì)運(yùn)行效率。這是民法強(qiáng)制性規(guī)范存在的法律價(jià)值基礎(chǔ)。第三章闡述了民法強(qiáng)制性規(guī)范的類型劃分。民法強(qiáng)制性規(guī)范研究的重要目的之一在于確定其規(guī)范效力,便于司法。為此,必須首先厘定民法強(qiáng)制性規(guī)范的類型。根據(jù)不同的標(biāo)準(zhǔn),民法強(qiáng)制性規(guī)范可以劃分為不同的類型。某些傳統(tǒng)類型劃分,存在標(biāo)準(zhǔn)不合理或劃分不清晰、不完整的問題。對此,為達(dá)到分類周延、實(shí)用的目標(biāo),本文按照強(qiáng)制的性質(zhì)、強(qiáng)制的程度、強(qiáng)制的依據(jù)、強(qiáng)制的形式、強(qiáng)制的內(nèi)容等標(biāo)準(zhǔn),重構(gòu)出私法型與公法型、全強(qiáng)制規(guī)范與半強(qiáng)制規(guī)范、自足型與轉(zhuǎn)介型、原則型與規(guī)則型、程序型與實(shí)體型等民法強(qiáng)制性規(guī)范的類型。其中,實(shí)體型強(qiáng)制性規(guī)范根據(jù)強(qiáng)制的行為要素細(xì)分為權(quán)限型和行為型;根據(jù)規(guī)制法律關(guān)系內(nèi)容分為權(quán)利型、義務(wù)型和責(zé)任型強(qiáng)制性規(guī)范。第四章探析了民法強(qiáng)制性規(guī)范的效力。民法強(qiáng)制性規(guī)范的效力按內(nèi)容可分為導(dǎo)致行為無效、民事責(zé)任和公法責(zé)任三種。導(dǎo)致行為無效的機(jī)理在于公共利益與公共秩序保護(hù),以及以第三人利益控制行為效力。能夠?qū)е略撔ЯΦ膹?qiáng)制性規(guī)范有雙方型、程序型、行為型強(qiáng)制性規(guī)范,及效力性強(qiáng)制性規(guī)范。而半強(qiáng)制性規(guī)范、權(quán)限型強(qiáng)制規(guī)范與管理性強(qiáng)制規(guī)范不以行為無效為基本效力形態(tài)。導(dǎo)致民事責(zé)任的機(jī)理在于違反義務(wù),包括違反契約義務(wù)和不侵害他人義務(wù)。故此,分別規(guī)定義務(wù)或責(zé)任的義務(wù)型和責(zé)任型強(qiáng)制性規(guī)范會(huì)導(dǎo)致民事責(zé)任。而規(guī)定權(quán)利的權(quán)利型強(qiáng)制性規(guī)范、全強(qiáng)制規(guī)范及單方型強(qiáng)制性規(guī)范的效力可能具有多樣性。導(dǎo)致公法責(zé)任的機(jī)理在于違反公法義務(wù)。民法中可以導(dǎo)致該責(zé)任的是公法型強(qiáng)制性規(guī)范。轉(zhuǎn)介型強(qiáng)制性規(guī)范,只有在轉(zhuǎn)介公法性法律時(shí)才可能引發(fā)公法責(zé)任。第五章分析了民法強(qiáng)制性規(guī)范的立法配置。在法律全球化時(shí)代,科學(xué)立法配置需要借鑒域外經(jīng)驗(yàn)。大陸法系與我國頗具親緣�？疾炱涿穹◤�(qiáng)制性規(guī)范立法配置的規(guī)律,借鑒其優(yōu)秀的立法成例,有利于在我國民法典編纂中更加明晰類型關(guān)系,確定規(guī)范構(gòu)成,健全制度功能,完善立法方式。我國現(xiàn)行民法強(qiáng)制性規(guī)范存在條文數(shù)量過多、強(qiáng)制程度較高、對權(quán)利自由的限制過度、以及規(guī)范詞使用不當(dāng)?shù)戎T多問題。其原因在于民法根植之市民社會(huì)羸弱、立法理念偏頗及立法技術(shù)落后。對此,應(yīng)在充分認(rèn)識(shí)個(gè)體之于社會(huì)、市場之于政府、私法之于公法的優(yōu)位性基礎(chǔ)上,更新立法配置的指導(dǎo)思想,確定民法強(qiáng)制性規(guī)范的立法模式、立法本位、立法人像和立法方法,科學(xué)配置民法強(qiáng)制性規(guī)范,確保其合理性和可操作性,促使我國未來的民法典真正具有科學(xué)性、前瞻性和適用性。第六章研討了民法強(qiáng)制性規(guī)范的司法適用。規(guī)范適用的前提是規(guī)范識(shí)別。民法強(qiáng)制性規(guī)范司法適用時(shí),可以經(jīng)由強(qiáng)制性規(guī)范詞進(jìn)行形式識(shí)別;通過意義發(fā)現(xiàn)和規(guī)范解釋進(jìn)行內(nèi)容識(shí)別;運(yùn)用價(jià)值判斷和利益衡量方法進(jìn)行本質(zhì)識(shí)別。在司法實(shí)踐中,一旦法無明文、法律抵觸或者法律滯后時(shí),適用原則型強(qiáng)制性規(guī)范就具有必要性、可能性與正當(dāng)性。適用時(shí)應(yīng)先確定原則型強(qiáng)制性規(guī)范的范疇關(guān)系和規(guī)范意義。當(dāng)法無明文時(shí),依據(jù)原則型強(qiáng)制規(guī)范予以漏洞補(bǔ)充或者類推適用;當(dāng)法律抵觸時(shí),依據(jù)原則性強(qiáng)制規(guī)范進(jìn)行法律續(xù)造;當(dāng)法律滯后時(shí),亦可根據(jù)原則性強(qiáng)制規(guī)范的精神進(jìn)行必要的司法創(chuàng)制。規(guī)則型強(qiáng)制性規(guī)范的適用,主要是解釋適用。其解釋對象是構(gòu)成法律規(guī)范的條文或文字;解釋方法包括文義解釋、目的解釋、歷史解釋、體系解釋等,分別從文字含義、規(guī)范目的、立法精神、邏輯體系等方面確保規(guī)則型強(qiáng)制性規(guī)范的司法適用。
[Abstract]:At the level of judicature, legislation and theoretical research, there are many problems in the compulsory norms of civil law in our country, which can be summed up as the basic problems such as the definition of the concept of compulsory norms of civil law, the division of types, the determination of effectiveness, the allocation of norms, the judicial identification and the interpretation of application. The first four chapters mainly study the basic theory, the fifth chapter is the study of legislative theory, the sixth chapter is the study of judicial theory. The first chapter discusses the concept of mandatory norms of civil law. In terms of language, this paper analyzes and compares the different expressions of "compulsory" and "compulsory", "normative" and "prescriptive", "rule" and "statute", and demonstrates the rationality of "compulsory norm" as a conceptual appellation. The parties, not the judicial organs; the content of compulsion is that the parties can not rule out or change the judicial application of legal norms; the effect of compulsion is not only legal sanctions, but also the legal effect of the parties intent to produce legal obstacles. Finally, by comparing with arbitrary norms, advocacy norms, semi-compulsory norms and prohibitive norms, this paper defines the extension of compulsory norms, and explains the theoretical and practical significance of scientifically defining compulsory norms of civil law. As far as the civil law is concerned, the compulsory norms of civil law mainly lie in restricting the rights and freedoms of the parties and belong to heterogeneous norms. Their existence must be based on legitimacy. Generally speaking, there are roughly three. First of all, from the historical origin, during the evolution of civil law, the origin of civil law has gradually changed from opening to China. Under the background of state-dominated legislation, it is inevitable to inject certain compulsory norms into private law in consideration of social and public interests. Secondly, the mandatory norms of civil law do have significant functions. They can harmonize the relationship between individuals and society, balance the autonomy of private law and state compulsion, give consideration to both formal and substantive rationality, and coordinate private interests and public interests. This is the functional basis of the existence of mandatory norms of civil law. After that, the compulsory norms of civil law can safeguard formal equality and promote substantive equality; protect personal property security, protect market transactions and marital and family security; ensure the order of personal life, realize social stability and order; enhance the efficiency of economic and social operation. This is the legal value basis of the existence of compulsory norms of civil law. One of the important purposes of the study of compulsory norms of civil law is to determine the validity of the norms so as to facilitate the administration of justice. Therefore, we must first determine the types of compulsory norms of civil law. According to different standards, compulsory norms of civil law can be divided into different types. In order to achieve the goal of classification and practicality, this paper reconstructs the types of private law and public law, full compulsory norm and semi-compulsory norm, self-sufficient norm and referral norm, principled and rule-based norm and procedure according to the nature of compulsion, the degree of compulsion, the basis of compulsion, the form of compulsion and the content of compulsion. Among them, substantive mandatory norms are divided into jurisdictional norms and behavioral norms according to the elements of compulsory acts; according to the content of the legal relationship, they are divided into rights, obligations and responsibilities. Chapter 4 explores the effectiveness of civil law mandatory norms. Effectiveness can be divided into three types according to the content, i.e. invalid conduct, civil liability and public liability. The mechanism of invalidation lies in the protection of public interest and public order, and the control of the effect of the act by the third party's interest. The mandatory norms that can lead to the effect are bilateral, procedural, behavioral and effective mandatory norms. The mechanism leading to civil liability lies in breach of obligations, including breach of contractual obligations and non-infringement of obligations of others. Therefore, the compulsory norms of obligation or liability stipulated separately will lead to civil liability. The mechanism leading to public law liability lies in the violation of public law obligations. Chapter 5 analyzes the legislative allocation of mandatory norms of civil law. In the era of legal globalization, scientific legislative allocation needs to draw on extraterritorial experience. There are many problems in the compulsory norms of civil law in China, such as too many articles, high degree of compulsion, excessive restriction on freedom of rights, and improper use of normative terms. Therefore, we should renew the guiding ideology of legislative allocation, determine the legislative mode of compulsory norms of civil law, legislative standard, legislative portraits and legislative methods, scientifically allocate compulsory norms of civil law to ensure its rationality on the basis of fully understanding the superiority of individual to society, market to government and private law to public law. Chapter 6 discusses the judicial application of compulsory norms of civil law. The premise of norm application is norm identification. When civil law compulsory norms are applied in judicial practice, they can be identified in the form of compulsory norms; and through meaning discovery and normative interpretation. In judicial practice, it is necessary, possible and legitimate to apply the principled mandatory norms when the law is not clear, the law is inconsistent or the law is lagging behind. When the law is not clear, it should be supplemented or applied by analogy according to the principled mandatory norms; when the law is inconsistent, it should be renewed according to the principled mandatory norms; when the law lags behind, it can also be created according to the spirit of the principled mandatory norms. The object of interpretation is the clause or text that constitutes the legal norm; the interpretation methods include literal interpretation, purpose interpretation, historical interpretation, system interpretation and so on, which ensure the judicial application of the rule-based mandatory norm from the literal meaning, normative purpose, legislative spirit, logical system and so on.
【學(xué)位授予單位】：鄭州大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2015
【分類號(hào)】：D913
，
本文編號(hào)：2195796
[Abstract]:At the level of judicature, legislation and theoretical research, there are many problems in the compulsory norms of civil law in our country, which can be summed up as the basic problems such as the definition of the concept of compulsory norms of civil law, the division of types, the determination of effectiveness, the allocation of norms, the judicial identification and the interpretation of application. The first four chapters mainly study the basic theory, the fifth chapter is the study of legislative theory, the sixth chapter is the study of judicial theory. The first chapter discusses the concept of mandatory norms of civil law. In terms of language, this paper analyzes and compares the different expressions of "compulsory" and "compulsory", "normative" and "prescriptive", "rule" and "statute", and demonstrates the rationality of "compulsory norm" as a conceptual appellation. The parties, not the judicial organs; the content of compulsion is that the parties can not rule out or change the judicial application of legal norms; the effect of compulsion is not only legal sanctions, but also the legal effect of the parties intent to produce legal obstacles. Finally, by comparing with arbitrary norms, advocacy norms, semi-compulsory norms and prohibitive norms, this paper defines the extension of compulsory norms, and explains the theoretical and practical significance of scientifically defining compulsory norms of civil law. As far as the civil law is concerned, the compulsory norms of civil law mainly lie in restricting the rights and freedoms of the parties and belong to heterogeneous norms. Their existence must be based on legitimacy. Generally speaking, there are roughly three. First of all, from the historical origin, during the evolution of civil law, the origin of civil law has gradually changed from opening to China. Under the background of state-dominated legislation, it is inevitable to inject certain compulsory norms into private law in consideration of social and public interests. Secondly, the mandatory norms of civil law do have significant functions. They can harmonize the relationship between individuals and society, balance the autonomy of private law and state compulsion, give consideration to both formal and substantive rationality, and coordinate private interests and public interests. This is the functional basis of the existence of mandatory norms of civil law. After that, the compulsory norms of civil law can safeguard formal equality and promote substantive equality; protect personal property security, protect market transactions and marital and family security; ensure the order of personal life, realize social stability and order; enhance the efficiency of economic and social operation. This is the legal value basis of the existence of compulsory norms of civil law. One of the important purposes of the study of compulsory norms of civil law is to determine the validity of the norms so as to facilitate the administration of justice. Therefore, we must first determine the types of compulsory norms of civil law. According to different standards, compulsory norms of civil law can be divided into different types. In order to achieve the goal of classification and practicality, this paper reconstructs the types of private law and public law, full compulsory norm and semi-compulsory norm, self-sufficient norm and referral norm, principled and rule-based norm and procedure according to the nature of compulsion, the degree of compulsion, the basis of compulsion, the form of compulsion and the content of compulsion. Among them, substantive mandatory norms are divided into jurisdictional norms and behavioral norms according to the elements of compulsory acts; according to the content of the legal relationship, they are divided into rights, obligations and responsibilities. Chapter 4 explores the effectiveness of civil law mandatory norms. Effectiveness can be divided into three types according to the content, i.e. invalid conduct, civil liability and public liability. The mechanism of invalidation lies in the protection of public interest and public order, and the control of the effect of the act by the third party's interest. The mandatory norms that can lead to the effect are bilateral, procedural, behavioral and effective mandatory norms. The mechanism leading to civil liability lies in breach of obligations, including breach of contractual obligations and non-infringement of obligations of others. Therefore, the compulsory norms of obligation or liability stipulated separately will lead to civil liability. The mechanism leading to public law liability lies in the violation of public law obligations. Chapter 5 analyzes the legislative allocation of mandatory norms of civil law. In the era of legal globalization, scientific legislative allocation needs to draw on extraterritorial experience. There are many problems in the compulsory norms of civil law in China, such as too many articles, high degree of compulsion, excessive restriction on freedom of rights, and improper use of normative terms. Therefore, we should renew the guiding ideology of legislative allocation, determine the legislative mode of compulsory norms of civil law, legislative standard, legislative portraits and legislative methods, scientifically allocate compulsory norms of civil law to ensure its rationality on the basis of fully understanding the superiority of individual to society, market to government and private law to public law. Chapter 6 discusses the judicial application of compulsory norms of civil law. The premise of norm application is norm identification. When civil law compulsory norms are applied in judicial practice, they can be identified in the form of compulsory norms; and through meaning discovery and normative interpretation. In judicial practice, it is necessary, possible and legitimate to apply the principled mandatory norms when the law is not clear, the law is inconsistent or the law is lagging behind. When the law is not clear, it should be supplemented or applied by analogy according to the principled mandatory norms; when the law is inconsistent, it should be renewed according to the principled mandatory norms; when the law lags behind, it can also be created according to the spirit of the principled mandatory norms. The object of interpretation is the clause or text that constitutes the legal norm; the interpretation methods include literal interpretation, purpose interpretation, historical interpretation, system interpretation and so on, which ensure the judicial application of the rule-based mandatory norm from the literal meaning, normative purpose, legislative spirit, logical system and so on.
【學(xué)位授予單位】：鄭州大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2015
【分類號(hào)】：D913
，
本文編號(hào)：2195796
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