刍议不安抗辩权制度在商品房预售纠纷中的适用
孙随勤
我国房地产市场起步较晚，相应的法律、法规尚不健全，商品房预售有许多不确定的因素，预售方和预购方均面临较大的风险。允许作为无过错的预购方在自己的权利受到侵害时，适时行使不安抗辩权，中止合同履行，直至解除合同，是其寻求自我保护和自我救济的有效手段。同时，不安抗辩权作为先履行方特有的一项权利，也可能为一些不法分子获取非法利益所利用。其行使应当具有严格的条件。
一、不安抗辩权制度在商品房预售纠纷中的适用条件
（一）必须存在于依法订立并生效的商品房预售合同中
只有有效合同才受法律保护，才对双方当事人具有法律约束力。商品房预售合同是否有效，除了要审查预售方是否取得预售资格，即是否取得土地使用权证、建筑规划许可证、预售许可证外，还要审查合同内容是否真实、合法，有没有损害国家利益、公共利益和他人利益。在审判实践中，遇到诸如预售方缺少“三证”中的一证，有关部门同意补办，事实上已投入资金总额25％以上的情况，该类合同仍应作为有效合同对待。
不安抗辩权须在有效的双务合同中才能行使。商品房预售合同是双务合同，这是勿庸置疑的。预购方取得预定房屋的权利，同时预售方取得收取预付款的权利。只有在双务合同中，才可能存在一方履行义务而对方不履行义务、致使一方的合法权益受到侵害的情况，而在单务合同和不完全的双务合同中均不能行使不安抗辩权。
（二）不安抗辩权存在于履行义务有先后之分的预售合同中
审判实践中，遇到的商品房预售合同都是异时履行，即预售方依法先享受权利，后履行义务；预购方先履行义务，后享受权利。不安抗辩权只存在于异时履行的预售合同中，同时履行的情况不能行使不安抗辩权，不安抗辩权的行使权主要掌握在作为先履行义务方的预购方手中。预购方的债务已到期的，应当履行，如履行期限未届至，预购方可以决定是否暂时停止履行的准备，但不能称之为停止履行。
（三）预购方有确切证据证明预售方在合同成立后丧失或可能丧失履行交房等义务
1、预售方丧失或可能丧失履行交房义务的能力。财产显著减少是丧失履行合同义务能力的首要原因。在预售过程中导致预售方财产显著减少，难以正常履行合同的原因是多方面的。主观原因是预售方丧失信誉、乘建筑材料价格上扬、为牟取暴利，将原应交付给预购方的房屋转卖他人，或私自改变原定的房屋结构，偷工减料，缩小房屋面积，或在建筑材料价格下浮时，改变图纸，恶意扩大房屋面积，强迫预购方接受，或收取的预售房款不用于建房，迟迟不开工。预售方不能履行交付房屋的还有客观原因，诸如自然灾害如台风、地震等不可抗力的因素，国家行为如法律、政策的改变及地方政府对某一特定区域的规划变更等的情势变更因素。这些因素的存在均使合同不能正常履行。当然，如果预售方财产状况明显恶化，但对预购方仍有交房的履行能力，则预购方仍不能行使不安抗辩权。
2、预售方不具备履行义务能力的事实发生在合同成立后的履行期限内。我国《合同法》并没有规定后履行方丧失或可能丧失履行能力应发生在何时，但笔者认为应发生在合同成立之后。就商品房预售纠纷来说，预购方若在与预售方签订合同前，就已知道预售方不具备履行交付房屋的能力，他可能会拒签合同，这时就是没有不安抗辩权也能保护自己的利益，如其明知预售方没有履行交房能力仍与之签订合同，则无行使不安抗辩权寻求保护的必要。如果其在签订合同之前不知预售方无履行义务能力，签订合同之后才发现，为维护无过错方的利益，其应享有不安抗辩权。合同的履行期限，应自预售合同所约定的义务开始履行之日起至截止履行日期止。
3、预购方对预售方履行不能的事实，负有举证责任。为防止不安抗辩权的滥用，防止预购方借口预售方不能履行合同行使不安抗辩权而中止履行自己本应先履行的义务，预购方必须举出预售方履行不能的确切证据，而不能凭自己的主观猜测，如果预购方不能举证或举证有误，应承担擅自中止合同履行的违约责任。同时，预购方行使不安抗辩权中止履行合同后，应及时通知预售方。虽然预购方行使不安抗辩权勿需获得预售方的同意，但是为了使预售方能采取相应的措施，预购方必须及时通知对方。如果预售方在合理的期限内为履行合同提供了相应的担保，则预购方应恢复履行支付房款的义务，不得行使不安抗辩权；如果预售方虽未提供担保，但经过努力恢复了履行能力，预购方也应恢复履行合同。
二、不安抗辩权制度在商品房预售纠纷中适用的后果
1、中止合同的履行。不安抗辩权的行使目的，在于排除合同成立以后，因后履行一方当事人不履行债务而给先履行一方当事人带来的不公平后果，当可能造成这种不公平后果的因素被清除后，则不安抗诉归于消灭，双方仍应继续履行原有合同。因此，不安抗辩权的行使产生的是暂时中止合同履行的法律效力。预购方在行使不安抗辩权时，只是预见对方可能将不履行，而对方尚未毁约，预购方亦只能暂时中止履行自己的付款义务，而不能直接解除合同。预购方在有权中止合同履行的同时，应及时通知对方，并给预售方合理的期限，使其恢复履行能力或提供适当的担保，这个合理期限以不超过30天为宜，通知的方式可以是口头的或是书面的。在合理期限内，预售方未提供担保也未恢复履行能力，要求预购房履行合同，预购方可予以拒绝。在预售方应预购方要求在合理期限内提供了担保，则不安抗辩权消灭，预购方应继续履行合同。
2、解除合同和赔偿损失。预售方在接到中止履行的通知后，不提供担保或者提供的担保不适当，预购方可以解除合同，并可基于合同法关于预期违约的规定追究购售方的违约责任。我国不安抗辩权制度在赋予先履行方解约权的同时，并没有规定先履行方可以请求损害赔偿，这是一大缺憾，侵害了先履行方的合法权益，笔者认为应当赋予先履行方损害赔偿请求权，表现在商品房预售纠纷中，预购方的损害赔偿额应以预售方默示不履行交房等义务时的价格标准计算。
应当注意的是不安抗辩权的成立无须对方当事人主观上是否存在过错，而造成预售方不能履行原因有很多，有违约的情形，也有情势变更的情形，因此在审判实践中还应注意根据实际情况变更合同的有关内容，排除不公平的结果，从而平衡双方当事人的利益，以维护法律关系的稳定性，不能因预售方在对自明显不利的情况不同意提供担保就机械地一概解除合同。
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MARITIME TRAFFIC SAFETY LAW OF THE PEOPLE'S REPUBLIC OF CHINA ——附加英文版
The Standing Committee of the National People's Congress
MARITIME TRAFFIC SAFETY LAW OF THE PEOPLE'S REPUBLIC OF CHINA
(Adopted at the Second Meeting of the Standing Committee of the
Sixth National People's Congress, promulgated by Order No. 7 of the
President of the People's Republic of China on September 2, 1983, and
effective as of January, 1, 1984)
Contents
Chapter I General Provisions
Chapter II Inspection and Registration of Vessels
Chapter III Personnel on Vessels and Installations
Chapter IV Navigation, Berthing and Operations
Chapter V Safety Protection
Chapter VI Transport of Dangerous Goods
Chapter VII Rescue from Disasters at Sea
Chapter VIII Salvage and Removal of Sunken and Drifting Objects
Chapter IX Investigation and Handling of Traffic Accidents
Chapter X Legal Liability
Chapter XI Special Provisions
Chapter XII Supplementary Provisions
Chapter I General Provisions
Article 1
This law is formulated in order to strengthen the control of maritime
traffic; ensure the safety of vessels, installations, human life and
property; and safeguard the rights and interests of the state.
Article 2
This Law shall apply to all vessels, installations and personnel and to
the owners and managers of such vessels and installations that navigate,
berth or operate in the coastal waters of the People's Republic of China.
Article 3
The harbour superintendence agencies of the People's Republic of China
shall be the competent authorities responsible for the unified supervision
and administration of traffic safety in the coastal waters.
Chapter II Inspection and Registration of Vessels
Article 4
Vessels and their major equipment relating to navigation safety must have
valid technical certificates issued by vessel inspection departments.
Article 5
A vessel must have a certificates showing its nationality, a vessel
registry certificate or a vessel licence.
Chapter III Personnel on Vessels and Installations
Article 6
Vessels shall be manned with qualified crew members according to a
standard quota to ensure the vessels' safety.
Article 7
The captain, chief engineer, pilot, engineers, radio and telephone
operators and similar personnel on board seaplanes or submersibles must
hold valid job certificates. All other crew members must undergo
specialized technical training required for their work.
Article 8
In accordance with state provisions, all installations shall be provided
with personnel who have mastered the techniques of collision avoidance,
signalling, communications, fire control, life-saving and other
operations.
Article 9
All personnel on vessels and installations must observe relevant rules and
regulations concerning maritime traffic safety, follow the operating rules
and ensure the safety of the vessels and installations in navigation,
berthing and operations.
Chapter IV Navigation, Berthing and Operations
Article 10
While navigating, berthing or carrying out operations, vessels and
installations must abide by the relevant laws, administrative statutes and
rules and regulations of the People's Republic of China.
Article 11
Non-military vessels of foreign nationality may not enter the internal
waters and harbours of the People's Republic of China without the approval
of its competent authorities. However, under unexpected circumstances such
as critical illness of personnel, engine breakdown or the vessels being in
distress or seeking shelter from weather when they do not have the time to
obtain approval, they may, while entering China's internal waters of
harbour, make an emergency report to the competent authorities and shall
obey its directions.
Military vessels of foreign nationality may not enter the territorial
waters of the People's Republic of China without the approval of the
Government of the People's Republic of China.
Article 12
Vessels sailing on international routes that enter and leave the harbours
of the People's Republic of China must accept inspection by the competent
authorities. Vessels of Chinese nationality sailing on domestic routes
that enter and leave such harbours must obtain port entry and departure
visas.
Article 13
Vessels of foreign nationality entering and leaving a harbour of the
People's Republic of China, navigating or shifting berths in the harbour
area, or approaching or leaving mooring points or loading spots outside
the harbour must be navigated by a pilot designated by the competent
authorities.
Article 14
When entering or leaving harbours or passing through controlled traffic
areas, crowded navigable areas or areas where navigational conditions are
restricted, vessels must observe the special regulations promulgated by
the Government of the People's Republic of China or by the competent
authorities.
Article 15
Vessels shall be prohibited from entering or passing through restricted
navigation zones unless specially permitted by the competent authorities.
Article 16
Towing operations on the open sea involving large-sized installations and
mobile platforms must undergo towing inspection conducted by vessel
inspection departments and be reported to the competent authorities for
examination and approval.
Article 17
If the competent authorities finds the actual condition of a vessel to be
not in conformity with what is stated in the vessel's certificates, it
shall have the right to require the vessel to apply for a new inspection
or notify its owner or manager to adopt effective safety measures.
Article 18
If the competent authorities believes that a vessel presents a menace to
the safety of a harbour, it shall have the right to forbid the vessel from
entering the harbour or to order it to leave the harbour.
Article 19
The competent authorities shall have the right to forbid a vessel or an
installation from leaving the harbour or order it to suspend its voyage,
change its route or cease its operations under any one of the following
circumstances:
(1) if it violates any law, administrative statute or other rule or
regulation of the People's Republic of China;
(2) if it is in a condition unsuitable for navigation or towing;
(3) if it was involved in a traffic accident and has not completed the
necessary formalities;
(4) if it has not paid the fees that are due or furnished appropriate
security to the competent authorities or the department concerned: or
(5) if the competent authorities considers that there are other
circumstances that will jeopardize or might jeopardize maritime traffic
safety.
Chapter V Safety Protection
Article 20
Construction operations to be carried out on the surface or underwater in
coastal waters and the demarcation of corresponding safe operation zones
must be reported to the competent authorities for examination and approval
and must be publicly announced. Vessels not involved in the construction
project may not enter the safe operation zones. The construction unit may
not enlarge such zones without authorization. When shore lines are to be
used in harbour areas or when construction work, including overhead
operations, is to be carried out on the sea surface or underwater in such
areas, the plan and a drawing thereof must be submitted to the competent
authorities for examination and approval.
Article 21
The designation of restricted navigation zones in coastal waters must be
approved by the State Council or the competent authorities. However, the
designation of restricted navigation zones for military purposes shall be
approved by the competent department of the state in charge of military
affairs.
The restricted navigation zones shall be announced by the competent
authorities.
Article 22
Without the approval of the competent authorities, no installations may be
established or constructed, nor may any activities that hinder
navigational safety be carried out in harbour areas, anchorages,
navigation lanes, or crowded navigable areas, as well as in navigation
routes announced by the competent authorities.
With respect to any installations which have been established or
constructed in the above-mentioned areas without authorization, the
competent authorities shall have the right to order their owners to remove
or dismantle the installations within a given period of time.
Article 23
It shall be forbidden to damage navigation aids or navigational
facilities. Whoever has damaged navigation aids or navigational facilities
shall immediately report the damage to the competent authorities and be
liable for compensation.
Article 24
Vessels and installations shall promptly make a report to the competent
authorities if they discover any of the following situations:
(1) If navigation aids or navigational facilities malfunction or become
abnormal;
(2) if an obstacle or drifting object jeopardizing the safety of
navigation is discovered; or
(3) if there are other abnormal situations jeopardizing the safety of
navigation.
Article 25
No obstacle affecting the efficacy of navigation aids may be erected or
installed in areas surrounding the aids. Any lights in the vicinity of the
navigation aids or navigational lanes that jeopardize navigation safety
shall be properly screened.
Article 26
When removing or dismantling installations, salvaging or removing sunken
ships or objects, and handling the finishing operations of underwater
projects, no hidden dangers shall be left to menace navigational or
operational safety. Before the aforesaid operations have been properly
completed, their owners or managers must be responsible for erecting
markers as required and making an accurate report to the competent
authority on the type, shape, size and location of the obstacle and the
depth of water over it.
Article 27
Safety administration must be strengthened with respect to harbour
wharves, mooring points and loading spots outside of harbour areas as well
as ship locks, so that they are always kept in good condition.
Article 28
To meet the requirements of maritime traffic safety, the competent
authority shall fix and adjust traffic control areas and harbour
anchorages. The designation of anchorages outside of harbour areas shall
be announced by the competent authority after the report relative thereto
has been submitted to and approved by higher authorities.
Article 29
The competent authorities shall, in accordance with relevant provisions of
the state, be responsible for issuing navigational warnings and
navigational notices.
Article 30
In order to ensure the safety of navigation, berthing and operations, the
departments concerned shall maintain unimpeded communications facilities,
ensure distinct and effective navigation aids and navigational facilities
and, in a timely manner, provide offshore meteorological forecasts and
necessary books and reference materials concerning maritime navigation.
Article 31
When vessels and installations are involved in accidents that jeopardize
or may jeopardize traffic safety, the competent authorities shall have the
right to take necessary, compulsory measures to deal with the matter.
Chapter VI Transport of Dangerous Goods
Article 32
When vessels or installations store, load, unload or transport dangerous
goods, they must maintain safe and reliable equipment and conditions and
observe the state provisions governing the control and transport of
dangerous goods.
Article 33
When vessels load and transport dangerous goods, they must go through the
procedures for declaration to the competent authorities and they may not
enter or leave the harbour or load or unload until approval has been
obtained.
Chapter VII Rescue from Disasters at Sea
Article 34
When vessels, installations or aircraft are in distress, they shall, in
addition to issuing distress signals calling for help, use the quickest
method possible to report to the competent authorities the time and place
of the accident, the extent of damage, the assistance required and the
cause of the accident.
Article 35
Vessels, installations or aircraft in distress and their owners or mangers
shall take all effective measures to organize their own rescue efforts.
Article 36
When vessels or installations in the vicinity of the scene of an accident
receive a distress signal or discover that people's lives are endangered,
they shall do their best to rescue the people in distress insofar as their
own safety is not seriously endangered, and promptly report to the
competent authorities the situation at the scene, their own names, call
numbers and positions.
Article 37
Vessels or installations involved in a collision shall exchange their
names, nationalities and ports of registry and do their best to rescue
personnel in distress. The vessels involved may not leave the scene of
the accident without authorization, insofar as their own safety is not
seriously endangered.
Article 38
Upon receiving a request for rescue, the competent authorities shall
immediately organize a rescue operation. All units concerned and vessels
or installations in the vicinity of the scene must act under the orders of
the competent authorities.
Article 39
When a foreign country intends to dispatch vessels or aircraft into the
territorial waters or the airspace over the territorial waters of the
People's Republic of China to search for and rescue vessels or people in
distress, it must obtain the approval of the competent [Chinese]
authorities.
Chapter VIII Salvage and Removal of Sunken and Drifting Objects
Article 40
With respect to sunken or drifting objects that may affect the safety of
navigation and the management of navigation lanes, as well as those
constituting a threat of explosion, the owners or managers thereof shall
salvage and remove such objects within a deadline set by the competent
authorities. Otherwise, the competent authorities shall have the right to
take measures to compel the salvage and removal of the objects, and their
owners or managers shall bear all the expenses incurred thereby.
The provisions of this Article shall not prejudice the rights of the
owners or managers of the sunken or drifting objects to demand
compensation from third parties.
Article 41
No sunken vessels or sunken objects in the coastal waters may be salvaged
or dismantled without the approval of the competent authorities.
Chapter IX Investigation and Handling of Traffic Accidents
Article 42
Any vessel or installation involved in a traffic accident shall submit a
written accident report and relative materials to the competent
authorities and accept its investigation and handling of the accident.
While being investigated by the competent authorities the parties involved
in the accident and relevant personnel must give a truthful account of
circumstances at the scene of the accident and other relevant information.
Article 43
In the event of a traffic accident that involves a vessel or installation,
the competent authorities shall ascertain the cause of the accident and
fix the responsibility for it.
Chapter X Legal Liability
Article 44
The competent authorities shall, in the light of the circumstances, impose
one or more of the following penalties on anyone who violates this Law:
(1) warnings;
(2) withholding or revoking work certificates; or
(3) fines.
Article 45
If a party does not accept the penalty of a fine or revocation of his work
certificate imposed by the competent authorities, he may bring suit in a
people's court within 15 days after receiving notification of the penalty.
If he neither brings suit nor complies with the penalty upon the
expiration of that period, the competent authorities shall request
compulsory enforcement from the people's court.
Article 46
A civil dispute arising from a maritime traffic accident may be settled
through mediation by the competent authorities. If the parties are
unwilling to have the case mediated or if the mediation is unsuccessful,
the parties may bring suit in the people's court. Parties to a case
involving foreign interests may also submit the case to an arbitration
agency for mediation, in accordance with the written agreement concluded
between them.
Article 47
Those whose violation of this Law constitutes a crime shall be
investigated for their criminal responsibility by judicial organs in
accordance with the Law.
Chapter XI Special Provisions
Article 48
Within the waters of fishing harbours, the state fisheries administration
and fishing harbour superintendence agencies shall exercise the functions
and powers of the competent authorities as provided in this Law, being
responsible for the supervision and administration of traffic safety and
for the investigation and handling of traffic accidents between fishing
vessels in coastal waters. Concrete measures for implementation shall be
separately prescribed by the State Council.
Article 49
The internal administration of offshore military jurisdictional areas and
military vessels and installations, the administration of surface and
underwater operations carried out for military purposes, and the
inspection and registration of public security vessels, the provision of
their personnel and the issuing of their port entry and departure visas
shall be separately prescribed by the relevant competent departments of
the state in accordance with this Law.
Chapter XII Supplementary Provisions
Article 50
For the purpose of this Law, the definitions of the following terms are:
"Coastal waters" means the harbours, inland waters, territorial waters and
all other sea areas under the jurisdiction of the state along the seacoast
of the People's Republic of China.
"Vessels" means all types of displacement or non-displacement ships,
rafts, seaplanes, submersibles and mobile platforms.
"Installations" means all types of surface and underwater structures or
installations, whether fixed or floating, and fixed platforms.
"Operations" means investigations, exploration, exploitation, survey
construction, dredging, demolition, rescue, salvage, towing, fishing,
aquatic breeding, loading and unloading, scientific experimentation and
other surface and underwater operations.
Article 51
The competent department of the State Council shall, on the basis of this
Law, formulate rules for its implementation, which shall go into effect
after being submitted to and approved by the State Council.
Article 52
In cases of conflict between laws and regulations pertaining to maritime
traffic safety hitherto promulgated and this Law, this Law shall prevail.
Article 53
This Law shall go into effect on January 1, 1984.
Important Notice:
This English document is coming from "LAWS AND REGULATIONS OF THE
PEOPLE'S REPUBLIC OF CHINA GOVERNING FOREIGN-RELATED MATTERS" (1991.7)
which is compiled by the Brueau of Legislative Affairs of the State
Council of the People's Republic of China, and is published by the China
Legal System Publishing House.
In case of discrepancy, the original version in Chinese shall prevail.
