Interpretation on Certain Issues Concerning the Application of Contract Law of the People's Republic of China (I)

最高人民法院关于适用《中华人民共和国合同法》若干问题的解释（一）

 

Promulgating Institution:        Supreme People's Court

Document Number:        Fa Shi [1999] No. 19

Promulgating Date:         12/29/1999

Effective Date:        12/29/1999

颁布机关:       最高人民法院

文    号:     法释[1999]19号

颁布时间:       12/29/1999

实施时间:       12/29/1999

 

Fa Shi [1999] No. 19

(Adopted at the 1090th Meeting of the Trial Committee of the Supreme People's Court on 1 December 1999: Effective as of 29 December 1999)

(法释〔1999〕19号 1999年12月1日最高人民法院审判委员会第1090次会议通过 自1999年12月29日起施行)

In order to ensure proper trial of cases involving contract disputes, and in accordance with the Contract Law of the People's Republic of China (hereinafter, "Contract Law"), the following interpretations on certain issues concerning the application of the Contract Law are hereby issued:

   为了正确审理合同纠纷案件，根据《中华人民共和国合同法》(以下简称合同法)的规定，对人民法院适用合同法的有关问题作出如下解释：

I. Scope of Application of the Law

   一、法律适用范围

  Article 1   Where an action concerning a dispute arising from a contract concluded after the implementation of the Contract Law is filed with a people's court, the provisions of the Contract Law shall apply; in the event of an action concerning a dispute arising from a contract concluded prior to the implementation of the Contract Law, the provisions of the then current law shall apply except where otherwise provided herein, or the relevant provision of the Contract Law may apply in the absence of the provisions of the then current law.

    第一条 合同法实施以后成立的合同发生纠纷起诉到人民法院的，适用合同法的规定；合同法实施以前成立的合同发生纠纷起诉到人民法院的，除本解释另有规定的以外，适用当时的法律规定，当时没有法律规定的，可以适用合同法的有关规定。

  Article 2   Where a contract was concluded prior to the implementation of the Contract Law, but the time period for performance specified in the contract extends beyond the date of implementation, or commences after the implementation, of the Contract Law, a dispute arising from the performance of the contract shall be governed by the relevant provisions of Chapter Four of the Contract Law.

    第二条 合同成立于合同法实施之前，但合同约定的履行期限跨越合同法实施之日或者履行期限在合同法实施之后，因履行合同发生的纠纷，适用合同法第四章的有关规定。

  Article 3   With respect to the determination of the validity of a contract concluded prior to the implementation of the Contract Law, if application of the then current law leads to the invalidation of the contract, but application of the Contract Law leads to the affirmation of its validity, the People's Court shall apply the Contract Law.

    第三条 人民法院确认合同效力时，对合同法实施以前成立的合同，适用当时的法律合同无效而适用合同法合同有效的，则适用合同法。

  Article 4   To invalidate a contract after the implementation of the Contract Law, a people's court shall make the determination on the basis of the laws adopted by the National People's Congress or its Standing Committee and the administrative regulations adopted by the State Council, rather than on local regulations or local administrative rules.

    第四条 合同法实施以后，人民法院确认合同无效，应当以全国人大及其常委会制定的法律和国务院制定的行政法规为依据，不得以地方性法规、行政规章为依据。

  Article 5   Where a people's court conducts retrial of a case on which a final ruling has been rendered prior to the implementation of the Contract Law, the Contract Law shall not apply.

    第五条 人民法院对合同法实施以前已经作出终审裁决的案件进行再审，不适用合同法。

II. Limitation of Action

   二、诉 讼 时 效

  Article 6   Where the infringement of the right of a party concerned in a technical contract dispute occurs prior to the implementation of the Contract Law, a people's court shall not grant protection if the time period is more than one year between the date on which the party knows, or should have known, of the infringement of the right and the date of the implementation of the Contract Law; if such time period is less than one year, the time limit for the party to institute an action shall be two years.

    第六条 技术合同争议当事人的权利受到侵害的事实发生在合同法实施之前，自当事人知道或者应当知道其权利受到侵害之日起至合同法实施之日超过一年的，人民法院不予保护；尚未超过一年的，其提起诉讼的时效期间为二年。

  Article 7   Where the infringement of the right of a party concerned in a dispute arising from a contract for technology import and export occurs prior to the implementation of the Contract Law, a people's court shall not grant protection if the time period is more than two years between the date on which the party knows, or should have known, of the infringement of the right and the date of the implementation of the Contract Law; if such time period is less than two years, the time limit for the party to institute an action shall be four years.

    第七条 技术进出口合同争议当事人的权利受到侵害的事实发生在合同法实施之前，自当事人知道或者应当知道其权利受到侵害之日起至合同法施行之日超过二年的，人民法院不予保护；尚未超过二年的，其提起诉讼的时效期间为四年。

  Article 8   The time period of "one year" specified in Article 55 of the Contract Law and the time period of "five years" specified in Article 75 and Paragraph 2 of Article 104 of the Contract Law are fixed, and shall not be subject to the provisions on the suspension, discontinuance or extension of the period of limitation of action.

    第八条 合同法第五十五条规定的“一年”、第七十五条和第一百零四条第二款规定的“五年”为不变期间，不适用诉讼时效中止、中断或者延长的规定。

III. Validity of Contracts

   三、合 同 效 力

  Article 9   In accordance with Paragraph 2 of Article 44 of the Contract Law, where the relevant laws or administrative regulations specify that approval formalities are required for a contract, or approval and registration formalities are required for the effectiveness of a contract, and the parties concerned fail to go through the relevant approval formalities or relevant approval and registration formalities prior to the completion of court debate in the first instance, a people's court shall rule that the contract has not taken effect; if the relevant laws or administrative regulations specify that approval formalities are required for a contract, but without requiring the contract to be registered in order to be effective, failure of the parties concerned to go through registration formalities shall not affect the effectiveness of the contract, provided that such failure constitutes an impediment to the transfer of ownership or other real rights of the subject matter of the contract.

In the case of amendment, assignment, or termination of a contract as specified in Paragraph 2 of Article 77, Article 87, and Paragraph 2 of Article 96 of the Contract Law, the provisions of the preceding paragraph shall apply.

    第九条 依照合同法第四十四条第二款的规定，法律、行政法规规定合同应当办理批准手续，或者办理批准、登记等手续才生效，在一审法庭辩论终结前当事人仍未办理批准手续的，或者仍未办理批准、登记等手续的，人民法院应当认定该合同未生效；法律、行政法规规定合同应当办理登记手续，但未规定登记后生效的，当事人未办理登记手续不影响合同的效力，合同标的物所有权及其他物权不能转移。

   合同法第七十七条第二款、第八十七条、第九十六条第二款所列合同变更、转让、解除等情形，依照前款规定处理。

  Article 10   Where the parties concerned conclude a contract beyond their scope of business, a people's court shall not invalidate the contract, unless the conclusion of the contract is in violation of the provisions on the State-restricted businesses, State-permitted businesses, or the prohibition of businesses by the law or administrative regulation.

    第十条 当事人超越经营范围订立合同，人民法院不因此认定合同无效。但违反国家限制经营、特许经营以及法律、行政法规禁止经营规定的除外。

IV. Subrogation

   四、代 位 权

  Article 11   Where a creditor is to institute an action of subrogation pursuant to Article 73 of the Contract Law, the following requirements shall be satisfied:

(1) The creditor's right against a debtor is lawful;

(2) A debtor's omission to exercise the debtor's due right as a creditor harms the creditor's interest;

(3) The creditor's right is due; and

(4) A debtor's right as a creditor is not a creditor's right exclusive to the debtor.

    第十一条 债权人依照合同法第七十三条的规定提起代位权诉讼，应当符合下列条件：

   (一)债权人对债务人的债权合法；

   (二)债务人怠于行使其到期债权，对债权人造成损害；

   (三)债务人的债权已到期；

   (四)债务人的债权不是专属于债务人自身的债权。

  Article 12   For the purposes of the Paragraph 1 of the Article 73 of the Contract Law, a creditor's right exclusive to the debtor shall mean a right to claim payment arising from maintenance of dependants, child support, maintenance of parents, or succession, or a right to claim for wage, retirement pension, annuity, pensions for the disabled or the family of a deceased, relocation allowance, life insurance, or compensation for personal injury, etc.

    第十二条 合同法第七十三条第一款规定的专属于债务人自身的债权，是指基于扶养关系、抚养关系、赡养关系、继承关系产生的给付请求权和劳动报酬、退休金、养老金、抚恤金、安置费、人寿保险、人身伤害赔偿请求权等权利。

  Article 13   For the purposes of Article 73 of the Contract Law, the provision "a debtor's omission to exercise the debtor's due right harms the creditor's interest" shall mean that a debtor neither performs the debtor's due debt obligation toward a creditor nor asserts against its debtor a due creditor's right which involves the payment of money either through a lawsuit or through arbitration, thereby frustrating the realization of the creditor's due right.

Where the secondary debtor (i.e. the debtor of the original debtor) denies the existence of the original debtor's omission to exercise the due creditor's right, the secondary debtor shall bear the burden of proof.

    第十三条 合同法第七十三条规定的“债务人怠于行使其到期债权，对债权人造成损害的”，是指债务人不履行其对债权人的到期债务，又不以诉讼方式或者仲裁方式向其债务人主张其享有的具有金钱给付内容的到期债权，致使债权人的到期债权未能实现。

   次债务人(即债务人的债务人)不认为债务人有怠于行使其到期债权情况的，应当承担举证责任。

  Article 14   Where a creditor institutes an action of subrogation pursuant to Article 73 of the Contract Law, the action shall be under the jurisdiction of the people's court of the place where the defendant is domiciled.

    第十四条 债权人依照合同法第七十三条的规定提起代位权诉讼的，由被告住所地人民法院管辖。

  Article 15   Where a creditor files an action of subrogation against a secondary debtor with a people's court after it files a action against a debtor with the same court, the people's court shall accept the action provided that such action complies with the provisions of Article 14 hereof and the requirements for filing an action specified in Article 108 of the Civil Procedural Law of the People's Republic of China; if such action fails to comply with the provisions of Article 14 hereof, the people's court shall notify the creditor to institute a separate action with the people's court of the place where the secondary debtor is domiciled.

The people's court that accepts the action of subrogation shall suspend such action in accordance with Item (5) of Article 136 of the Civil Procedural Law of the People's Republic of China before the decision on the action filed by the creditor against the debtor takes effect.

    第十五条 债权人向人民法院起诉债务人以后，又向同一人民法院对次债务人提起代位权诉讼，符合本解释第十四条的规定和《中华人民共和国民事诉讼法》第一百零八条规定的起诉条件的，应当立案受理；不符合本解释第十四条规定的，告知债权人向次债务人住所地人民法院另行起诉。

   受理代位权诉讼的人民法院在债权人起诉债务人的诉讼裁决发生法律效力以前，应当依照《中华人民共和国民事诉讼法》第一百三十六条第(五)项的规定中止代位权诉讼。

  Article 16   Where an creditor files an action of subrogation with a people's court with the secondary debtor as the defendant but without listing the debtor as a third person, the people's court may add the debtor as a third person.

Where the same secondary debtor is named as the defendant in actions of subrogation instituted separately by two or more creditors, the people's court may consolidate the actions for trial.

    第十六条 债权人以次债务人为被告向人民法院提起代位权诉讼，未将债务人列为第三人的，人民法院可以追加债务人为第三人。

   两个或者两个以上债权人以同一次债务人为被告提起代位权诉讼的，人民法院可以合并审理。

  Article 17   In an action of subrogation, if the creditor requests a people's court to take measures for preservation of the properties of the secondary debtor, the creditor shall provide appropriate property guarantee.

    第十七条 在代位权诉讼中，债权人请求人民法院对次债务人的财产采取保全措施的，应当提供相应的财产担保。

  Article 18   In an action of subrogation, the secondary debtor may assert against the creditor the defense against the debtor.

Where the debtor raises an objection to the creditor's right in an action of subrogation, and the objection is found to be tenable upon examination, the people's court shall reject the action filed by the creditor.

    第十八条 在代位权诉讼中，次债务人对债务人的抗辩，可以向债权人主张。

   债务人在代位权诉讼中对债权人的债权提出异议，经审查异议成立的，人民法院应当裁定驳回债权人的起诉。

  Article 19   If the creditor wins an action of subrogation, the court fees shall be borne by the secondary debtor, and shall be paid in priority out of the proceeds from the enforced creditor's right.

    第十九条 在代位权诉讼中，债权人胜诉的，诉讼费由次债务人负担，从实现的债权中优先支付。

  Article 20   Where a people's court affirms the subrogation in an action of subrogation instituted by a creditor against a secondary debtor, the secondary debtor shall perform the obligation of compensation to the creditor, whereupon the respective creditor-debtor relationships between the creditor and the debtor, and between the debtor and the secondary debtor, are discharged accordingly.

    第二十条 债权人向次债务人提起的代位权诉讼经人民法院审理后认定代位权成立的，由次债务人向债权人履行清偿义务，债权人与债务人、债务人与次债务人之间相应的债权债务关系即予消灭。

  Article 21   In an action of subrogation, where the amount of subrogation claim by the creditor exceeds the amount owed by the debtor or the amount owed to the debtor by the secondary debtor, the people's court shall not uphold the claim for the excess amount.

    第二十一条 在代位权诉讼中，债权人行使代位权的请求数额超过债务人所负债务额或者超过次债务人对债务人所负债务额的，对超出部分人民法院不予支持。

  Article 22   In an action of subrogation, if the debtor also makes claims against the secondary debtor for the amount exceeding the amount of the subrogation claim of the creditor, the people's court shall notify the debtor to institute a separate action with a competent people's court with jurisdiction.

If such action instituted separately by the debtor meets the statutory requirements, the people's court shall accept such action; the people's court accepting the action filed by the debtor shall suspend such action in accordance with the law prior to that the ruling on the action of subrogation takes legal effect.

    第二十二条 债务人在代位权诉讼中，对超过债权人代位请求数额的债权部分起诉次债务人的，人民法院应当告知其向有管辖权的人民法院另行起诉。

   债务人的起诉符合法定条件的，人民法院应当受理；受理债务人起诉的人民法院在代位权诉讼裁决发生法律效力以前，应当依法中止。

V. Right of Annulment

   五、撤 销 权

  Article 23   Where a creditor institutes an annulment action pursuant to Article 74 of the Contract Law, the action shall be under the jurisdiction of the people's court in the place where the defendant is domiciled.

    第二十三条 债权人依照合同法第七十四条的规定提起撤销权诉讼的，由被告住所地人民法院管辖。

  Article 24   Where an creditor files an annulment action involving the debtor as a defendant but without listing the beneficiary or the assignee as a third person, the people's court may add the beneficiary or the assignee as a third person.

    第二十四条 债权人依照合同法第七十四条的规定提起撤销权诉讼时只以债务人为被告，未将受益人或者受让人列为第三人的，人民法院可以追加该受益人或者受让人为第三人。

  Article 25   Where a creditor institutes an annulment action pursuant to Article 74 of the Contract Law, and petitions a people's court for annulment of the debtor's act of waiving its creditor's right or transferring its property, the people's court shall conduct trial of the case to the extent of the amount claimed by the creditor; if the debtor's act is canceled in accordance with the law, such act is of no effect ab initio.

Where the same debtor is named as the defendant in annulment actions instituted separately by two or more creditors in respect of the same subject matter, the people's court may consolidate the actions for trial.

    第二十五条 债权人依照合同法第七十四条的规定提起撤销权诉讼，请求人民法院撤销债务人放弃债权或转让财产的行为，人民法院应当就债权人主张的部分进行审理，依法撤销的，该行为自始无效。

   两个或者两个以上债权人以同一债务人为被告，就同一标的提起撤销权诉讼的，人民法院可以合并审理。

  Article 26   The attorney's fee, travel expenses, and other necessary expenses incurred by the creditor in enforcing its right of annulment shall be borne by the debtor; if the third person is also at fault, it shall share such expenses appropriately.

    第二十六条 债权人行使撤销权所支付的律师代理费、差旅费等必要费用，由债务人负担；第三人有过错的，应当适当分担。

VI. Third Person in Case of Assignment of Contracts

   六、合同转让中的第三人

  Article 27   Where an action is filed with a people's court due to the dispute arising between the debtor and the assignee out of the performance of a contract after the creditor has assigned the rights under the contract, and the debtor raises a defense in respect of the rights of the creditor, the creditor may be listed as a third person.

    第二十七条 债权人转让合同权利后，债务人与受让人之间因履行合同发生纠纷诉至人民法院，债务人对债权人的权利提出抗辩的，可以将债权人列为第三人。

  Article 28   Where an action is filed with a people's court due to a dispute arising between the assignee and the creditor out of the performance of a contract after the debtor has assigned the obligations under the contract with the consent of the creditor, and the assignee raises a defense in respect of the rights of the debtor against the creditor, the debtor may be listed as a third person.

    第二十八条 经债权人同意，债务人转移合同义务后，受让人与债权人之间因履行合同发生纠纷诉至人民法院，受让人就债务人对债权人的权利提出抗辩的，可以将债务人列为第三人。

  Article 29   If a party to a contract assigns all the rights and obligations under a contract to an assignee with the consent of the other party and an action is filed with a people's court due to a dispute arising between the other party and the assignee out of the performance of the contract, the assignor may be listed as a third person in the event of a defense raised by the other party in respect of the rights and obligations under the contract.

    第二十九条 合同当事人一方经对方同意将其在合同中的权利义务一并转让给受让人，对方与受让人因履行合同发生纠纷诉至人民法院，对方就合同权利义务提出抗辩的，可以将出让方列为第三人。

VII. Concurrence of Claims

   七、请求权竞合

  Article 30   Where a creditor makes a choice of claim when instituting an action with a people's court in accordance with Article 122 of the Contract Law, and subsequently changes its choice of claim prior to the commencement of the court session of first instance, the people's court shall allow such change. Where the other party raises an objection to the jurisdiction and the objection is found to be tenable upon examination, the people's court shall reject such action.

    第三十条 债权人依照合同法第一百二十二条的规定向人民法院起诉时作出选择后，在一审开庭以前又变更诉讼请求的，人民法院应当准许。对方当事人提出管辖权异议，经审查异议成立的，人民法院应当驳回起诉。