【作者】 姜作利；

【导师】 梁慧星；

【作者基本信息】 山东大学 ， 法学理论， 2007， 博士

【摘要】 随着当今世界经济全球化的迅猛发展，法律全球化已成为人类社会发展过程中的必然，而国际商事合同统一化则是法律全球化中最引人注目的经济及法律现象。将国际商事合同在全球范围内统一起来，可以有诸多方法，而仿照美国的合同法重述方法，使用非立法方法来实现国际商事合同统一化，已成为国际商事合同统一方面最成功的尝试之一，一直被国际国内法学界所注目。在这方面，罗马国际私法统一协会所制定的《国际商事合同通则》，被誉为使用非立法方式来统一和和谐国际商事合同统一化中最重要的贡献。本文以此为题，从法哲学的高度对这一现象进行了较系统的分析，力求搭建一个国际商事合同统一化法理学分析的框架，从而推动法学界对国际商事合同统一化进行系统性的理论方面的探讨。本文共分五章，分别从不同的方面，对当前经济法律全球化背景下的国际商事合同通则的法学理论进行了深入研究。第一章，主要通过对经济及法律全球化进行理性思考与分析，从而揭示国际商事合同通则制订的深层原因及历史必然性。本章第一节对经济及法律全球化进行了再思考，指出国际商事合同通则是经济及法律全球化的产物。第二节分析了经济效益的概念、相关理论、经济人假设、国际分工理论、成本理论等经济学理论及其在国际商事合同发展中的作用，指出经济效益最大化是国际商事合同统一化的根据目的。本节还强调人们追求经济效益最大化，必须实现合作，并且必然会拓展其合作的范围，这自然使相互所签定的合同逐步统一起来，以迫使相互信任，保障各自的经济效益得到最大化的实现。因此，如果人们没有追求经济效益的最大化动力，国际商事合同的统一化自然就成为无源之水，没有任何意义。同时，对国际商事合同通则制订的背景——国际商事合同统一化历史沿革及《国际商事合同通则》在国际商事领域的实践进行考察，试图厘清国际商事合同统一化的发展脉络及发展规律，并对其发展前景进行展望。第二章，主要对国际商事合同通则中的自由主义思想进行探析。第一节对自由的概念、政治及经济领域中的自由主义思想进行了考察和审视。第二节探讨了自由主义思想在国际商事合同通则中的主要体现及国际商事合同统一化发展中的重要作用。通过本章的研究，指出自由主义法律价值决定了契约的当事人成为契约的主体的资格，主体在契约中权利义务，主体对契约的取舍等权利。因此，可以说，自由主义思想是契约的灵魂，契约是自由主义价值的直接产物，没有自由主义思想中的个人权利至高无上性，自由正义的契约就无从存在。第三章，主要考察了诚实信用原则的历史发展脉络，并对诚实信用原则在国际商事合同统一化中的作用及在《国际商事合同通则》中的表现内容进行了研究。本章概括性指出了诚实信用原则在国际商事合同得到普及在国际法发展中的重要意义：有利于在国际商事活动中规范各国人民的经济交易行为，推动经济在全球的发展；大大促进了国际法的发展。从国际法的发展历史看，国际法的发展的轨迹是先发展国内法，然后再发展国际法。尤其引人注目的是，随着美国经济在世界经济中霸主地位的确立，美国法在国际法中占有特别重要的地位。然而，从诚实信用原则在国际商事合同统一化中的普及的实践来看，该原则在美英国家尚未普及，却在国际商事活动中得到了普及，这种现象表明世界各国在国际商事发展中迫切需要相关法律予以规范，尽快吸收各国民法法系中的精华，是加快国际经济立法的捷径。因此，诚实信用原则在国际商事合同统一化中的广泛适用，有利于制约个别经济强国在国际商事法律领域的霸权地位，推动建立更加公正、平等的国际经济法体系。第四章，主要对《国际商事合同通则》效力正当化展开研究，指出了《国际商事合同通则》效力正当化方面的特征及在国际商事合同统一化中的重要意义。本章第二节对合同效力的相关理论进行了再思考，第三节采用了比较方法对国际商事合同通则在效力规则方面的特点进行了深入的分析，强调了国际商事合同通则在国际商事合同统一化中的重要地位。第五章，主要论述了《国际商事合同通则》的违约赔偿理论及其在国际商事合同统一化中的重要意义。本章指出《国际商事合同通则》采纳严格责任原则至少具有下列意义：顺应了国际商事发展的特点，有利于鼓励交易；由违约方承担责任，有利于保护受害方的利益；有利于督促违约方承担举证责任；有利于及时解决合同纠纷。在允许精神损害赔偿方面，《通则》的规定丰富了当今世界国际商事合同法体系，促进了国际法的发展；有利于国际商事交易中的商人提高经济效益，促进国际商事的发展。更多还原

【Abstract】 Globalization of law, along with the rapid development of world economic globalization, has become an inevibable outcome in the course of development of human society, and the unification of international commercial contracts is the most noticeable economic and legal phenomenon of globalization of law. There may be several means to the unification of international commercial contracts, however, the non-legislative means as an imitation of US restatements of contract law has been one of the most successful means, and thus the focus of legal science in both China and abroad. In this connection, the "Principles of International Commercial Contracts" issued by the International Institute for the Unification of Private Law (UNIDROIT) is famed as the most important contribution to the unification of international commercial contracts. The author in this dissertation takes this as the topic and, makes systemetic analysis from philosophic views on this phenomenon, for the purpose to create a frame of jurisprudantial analysis for the unification of internation commercial contracts and push forward the research of jurisprudance on the unification of international commercial contracts.This dissertation has 5 chapters, and the author makes jurisprudantial analysis from different aspects on the Principles of International Commercial Contracts under the background of the present economic and legal globalization.Chapter One is chiefly devoted to the jurisprudential analysis on the economic and legal globalization with the purpose to bring to light its deep causes and historical inevitability. The author in Section 1 does a rethinking on the economic and legal globalization, and points out that The Principles of International Commercial Contracts is an inevitable outcome of the economic and legal globalization. Section 2 of this chapter contains a general suvey of some important economic theories such as economic person, international division of labor, costs and their roles in the unification of international commercial contracts. The author holds in this section that the basic goal of the unification of international commercial contracts is to achieve the maximization of economic efficiency, and that it is only through cooperation that people can exchange what they need and give full play to their respective skills and talents to realize the maximization of economic efficiency. However, people’s cooperation must be based on mutual trust, namely, it is only by mutual trust that people can gain their respective expectation interests. In fact, the conclusion of contracts is the most significant means to guarantee the realization of mutual expectation interests, and therefore without the motivation generated by the maximization of economic efficiency , the unification of international commercial contracst would lose its natural resourses and becme meaningless. At the same time, the author conducts a general survey of the historical process of the unification of international commercial contracts and the practices of the "Principle of International Commercial Contracts", so as to make clear the rules of development of the unification of international commercial contracts, and look ahead the prospects for the unification of international commercial contracts.Chapter Two is chiefly dedicated to a research on the idea of liberalism embodied in the Principles of International Commercial Contracts. Section 1 contains a survey on the concept of liberalism and the idea of liberalism in political and economic fields. Section 2 is devoted to an analysis on the expressions of liberalism in the Principles of International Commercial Contracts and its role in the unification of interantional commercial contracts. The author in this chapter holds that legal value of liberalism determines the capacity of parties to contracts as subjects and their rights and obligations, and therefore, the idea of liberalism is the soul of contracts, and contracts are a direct outcome of the value of liberalism, and the existance of free contracts will become meaningless without the supremeness of individual rights orignated in liberalism.Chapter three covers the historical development of the principle of good faith, and a research on the functions of the principle of good faith in the unification of international commercial law and its manifestation in the "Principles of International Commercial Contract". This chapter presents generally the significance of the principle of good faith applied in the "Principle of International Commercial Contracts" in international law: to standardize the transactional activities of the peoples of all the world for the promotion of global economy; and to push forward the development of interntional law. In terms of the historical development of international law, the development of national law normally comes earlier than international law, and what is more noticeable, the United States’ law takes a special position in international law as a result of its superpowerful position in the world economy. However, in view of the practical facts of wide application of the principle of good faith in the unification of international commercial law, the principle of good faith has not been applied widely in the US law, but rather popularized in international commercial activities. This fact indicates that nations all over the world need earnestly to govern legally the development of international commerce, and the absorbtion of the essence of civil laws of all nations is an important approach to motivate the legislature of international commerce. In a conclusion, the wide application of the principle of good faith in the unification of international commercial law is helpful to restrict the hegemonism of some economic powers in international commercial law and promote a more just and fair international economic legal system.Chapter four chiefly makes a study on justifiable validity of the "Principles of International Commercial Contracts", and places great emphasis on the features and significance of the justifiable validity of the "Prinicple of International Commercial Contracts" in the unification of international commercial contracts. Section 2 contains an ananlysis on some important theories of contractual validity, and section 3 does a research by comparasion on the characteristics of the Principles of International Commercial Contracts, and makes emphasis on its important position in the unification of international commercial contracts.Chapter five mainly presents an analysis on the sigificance of doctrines of damages of the "Prinicples of International Commercial Contracts" in the unification of international commercial contracts: it meets the requirements of development of international commerce and promotes international transactions, its rule that the party in breach shall take burden of proof is beneficial to the injured party, and it is helpful to urge the party in breach to take the burden of proof, and to settle disputes timely. With regard to emotional damages, this rule can enrich the present system of international commercial contracts, encourage the development of international law, and be advantagous to merchants in international commerce to improve their economic efficiency and to enhance the development of international commerce.更多还原