欧盟民商事诉讼管辖权规则的新发展-以保护性管辖权为例

欧盟民商事诉讼管辖权规则的新发展—以保护性管辖权为例杨灵一作者简介：杨灵一，女，安徽省六安市人，武汉大学国际教育学院研究生，研究方向：世界贸易组织法。要：在弱者保护方面，欧盟最早从管辖权方面给予弱者特殊保护。分别在《布鲁塞尔公约》和《布鲁塞尔条例》中对保险合同、消费者合同和个人雇佣合同中的弱势一方规定了特殊的管辖权规则，被学者称为保护性管辖权。但是目前，基于保护性管辖权在法律地位、保护对象和管辖依据等方面还存在着诸多问题，欧盟法院通过具体案件的判决对其适用做出规范。最新的C－585/08和C－144/09作者简介：杨灵一，女，安徽省六安市人，武汉大学国际教育学院研究生，研究方向：世界贸易组织法。关键词：保护性管辖权；布鲁塞尔公约；布鲁塞尔条例Abstract:Intheprotectionoftheweak，EUfirstlygivespecialprotectionfortheweakfromtheaspectofjurisdiction，providingspecialjurisdictiontotheweakpartyintheinsurancecontract,consumercontractandindividualemploymentcontractinBrusselsConventionandBrusselsRegulationseparately，whichiscalledbyscholarsasprotectivejurisdiction.However，atpresent，onthebasisthatprotectivejurisdictionstillhasmuchproblemsintheaspectoflegalstatus,protectionobjectandjurisdictionbasis，ECJregulatetheapplicationofprotectivejurisdictionthroughspecificcases.ThejudgementofC－585/08andC－144/09interpretBrusselsRegulationArt.15indetail.Inordertoregulateprotectivejurisdiction，theinternationalcommunityshouldpaymoreattentionandmakejointefforts.Keywords:Protectivejurisdiction；BrusselsConvention；BrusselsRegulation目前国际社会对保护性管辖权还没有统一和明确的定义，它最早出现在欧盟《布鲁塞尔公约》1968BrusselsConventiononjurisdictionandtheenforcementofjudgmentsincivilandcommercialmatters／＊ConsolidatedversionCF498Y0126（01）OfficialspecialeditionL299，31/12/1971（1968）文本中，第三节和第四节对保险合同、消费者合同专门规定了特殊的管辖权规则，这种针对特定的保护对象而采取特殊管辖规则所形成的管辖权类型可以被称为保护性管辖权。罗剑雯．欧盟民商事管辖权比较研究[M]．北京：法律出版社，2003：139．伴随着区域内的一体化进程，欧盟一直致力于国际私法的统一，但是法律在任何时候都不可能完全准确地给社会的每个成员作出何谓善德、何谓正当的规定。人之个性之差异、人之活动的多样性、人类事物无休止的变化，使得人们无论拥有什么技术都无法制定出在任何时候都可以绝对适用于各种问题的规则。博登海默，邓正来译．法理学——法律哲学与法律方法[M]．北京：中国政法大学出版社，2004：10—11．为了更好地维护某些弱者的利益，在一般管辖权和特殊管辖权之外，欧盟赋予处于弱势地位的一方在管辖权方面的选择性和主动性。目前，欧盟对保护性管辖权主要规定在《布鲁塞尔公约》和《布鲁塞尔条例》CouncilRegulation(EC)No44/2001of22December2000onjurisdictionandtherecognitionandenforcementofjudgmentsincivilandcommercialmatters,OfficialJournalL12,1/16/20011968BrusselsConventiononjurisdictionandtheenforcementofjudgmentsincivilandcommercialmatters／＊ConsolidatedversionCF498Y0126（01）OfficialspecialeditionL299，31/12/1971罗剑雯．欧盟民商事管辖权比较研究[M]．北京：法律出版社，2003：139．博登海默，邓正来译．法理学——法律哲学与法律方法[M]．北京：中国政法大学出版社，2004：10—11．CouncilRegulation(EC)No44/2001of22December2000onjurisdictionandtherecognitionandenforcementofjudgmentsincivilandcommercialmatters,OfficialJournalL12,1/16/2001邹国勇．欧盟民商事管辖权规则的嬗变——从《布鲁塞尔公约》到《布鲁塞尔条例》[J]．东岳论丛，2006(5)：6．一、《布鲁塞尔公约》中的保护性管辖权对消费者合同中消费者的保护欧盟对消费者的保护目前在世界范围内是最完善的。欧盟向来将国际消费合同中的消费者作为弱势一方，这是因为相对于有固定组织机构和雄厚资金实力的商家来说，大部分消费者都是为了生活目的购买消费品，这种实力强弱的对比令欧盟认识到在欧盟国际私法统一化过程中，诸多消费者利益的保护必须受到重视。SeeVesnaLazic：ProceduralJusticefor“WeakerParties”inCross-BorderLitigationundertheEUSeeVesnaLazic：ProceduralJusticefor“WeakerParties”inCross-BorderLitigationundertheEURegulatoryScheme.［J］UtrechtLawReview,Vol.10,Issue4(2014),p.101最早规定在1968年《布鲁塞尔公约》，并经历了一个丰富完善的过程。在原始《布鲁塞尔公约》文本中，第四节Section4JurisdictioninmattersrelatingtoinstalmentsalesandloansSection4JurisdictioninmattersrelatingtoinstalmentsalesandloansArticle13Inmattersrelatingtothesaleofgoodsoninstalmentcreditterms,ortoloansexpresslymadetofinancethesaleofgoodsandrepayablebyinstalments,jurisdictionshallbedeterminedbythisSection,withoutprejudicetotheprovisionsofArticles4and5(5).Article14AsellerorlenderwhoisdomiciledinaContractingStatemaybesuedeitherinthecourtofthatStateorinthecourtsoftheContractingStateinwhichthebuyerorborrowerisdomiciled.ProceedingsmaybebroughtbyaselleragainstabuyerorbyalenderagainstaborroweronlyinthecourtsoftheStateinwhichthedefendantisdomiciled.Theseprovisionsshallnotaffecttherighttobringacounterclaiminthecourtinwhich,inaccordancewiththisSection,theoriginalclaimispending.Article15TheprovisionsofthisSectionmaybedepartedfromonlybyanagreement:1.whichisenteredintoafterthedisputehasarisenor2.whichallowsthebuyerortheborrowertobringproceedingsincourtsotherthanthoseindicatedinthisSectionor3.whichisconcludedbetweenabuyerandaseller,orbetweenaborrowerandalender,bothofwhomaredomiciledorhabituallyresidentinthesameContractingState,andwhichconfersjurisdictiononthecourtsofthatState,providedthatsuchanagreementisnotcontrarytothelawofthatState.另一方面，在协议管辖方面，公约也是作出了诸多限制以维护消费者权益。第十五条就协议管辖规定了如下三个条件：（1）管辖协议是在纠纷产生后达成的；（2）管辖协议允许消费者在消费者住所地、被告住所地、合同履行地以外的法院起诉；（3）消费者和提供者在缔结合同时都有住所或惯常居所在同一成员国，管辖权也授予该国法院并且不与该国法律相抵触。以上条件与保险合同管辖协议的规定基本一致，比如在时间上都是在纠纷发生后，避免格式合同对消费者利益和选择权的减损；管辖法院都可以扩大至上述三种法院之外，只要不与该国法律相抵触即可。但有一点不同，要求合同缔结时双方的住所或者惯常居所在同一成员国，增加了惯常居所这一连接因素。这样规定比保险合同协议管辖更灵活，因为消费者合同比较容易达成，消费者惯常在哪里居住，就需要在该地消费。惯常居所与协议的联系可能更为紧密，体现了公约对消费者，特别是真正的弱势消费者群体的特殊保护。在管辖权这种程序性事项上，公约已经尽可能在消费者选择权上加大力度。总的来说，1968年《布鲁塞尔公约》对两种类型的消费者合同的消费者提供了三种管辖权选择，在协议管辖的情况下还可以突破上述三种法院管辖权的限制。随着欧盟境内一体化进程的开展，人员与货物流通出现进一步扩大的趋势。仅仅在这两种消费者合同上采取保护性管辖权已经不能适应类型日益丰富的消费者合同了。为避免保护性管辖权只保护部分消费者，为此，欧共体在英国和爱尔兰加入《布鲁塞尔公约》之际，通过《1978年加入公约》CouncilConventionontheaccessionoftheKingdomofDenmark,IrelandandtheUnitedKingdomofGreatBritainandNorthernIrelandtotheConventiononjurisdictionandtheenforcementofjudgmentsincivilandcommercialmattersandtotheProtocolonitsinterpretationbytheCourtofJustice（Signedon9October1978）（78/884/EEC）对第十三条消费者合同的范围进行了扩充，第四节Section4CouncilConventionontheaccessionoftheKingdomofDenmark,IrelandandtheUnitedKingdomofGreatBritainandNorthernIrelandtotheConventiononjurisdictionandtheenforcementofjudgmentsincivilandcommercialmattersandtotheProtocolonitsinterpretationbytheCourtofJustice（Signedon9October1978）（78/884/EEC）Section4JurisdictionoverconsumercontractsArticle13Inproceedingsconcerningacontractconcludedbyapersonforapurposewhichcanberegardedasbeingoutsidehistradeorprofession,hereinaftercalled"theconsumer",jurisdictionshallbedeterminedbythissection,withoutprejudicetotheprovisionsofArticles4and5(5),ifitis:1.acontractforthesaleofgoodsoninstalmentcreditterms,or2.acontractforaloanrepayablebyinstalments,orforanyotherformofcredit,madetofinancethesaleofgoods,or3.anyothercontractforthesupplyofgoodsoracontractforthesupplyofservices,and(a)intheStateoftheconsumer'sdomiciletheconclusionofthecontractwasprecededbyaspecificinvitationadressedtohimorbyadvertising,and(b)theconsumertookinthatStatethestepsnecessaryfortheconclusionofthecontract.WhereaconsumerentersintoacontractwithapartywhoisnotdomiciledinaContractingStatebuthasabranch,agencyorotherestablishmentinoneoftheContractingStates,thatpartyshall,indisputesarisingoutoftheoperationsofthebranch,agencyorestablishment,bedeemedtobedomiciledinthatState.Thissectionshallnotapplytocontractsoftransport.对保险合同中保单持有人、被保险人、受益人的保护对保险合同保护性管辖权的规定在1968年《布鲁塞尔公约》文本第七条至第十二条。第七条Article7Inmattersrelatingtoinsurance,jurisdictionshallbedeterminedbythisSection,withoutprejudicetotheprovisionsofArticles4and5(5).首先指出虽然对保险事项作了特殊规定，但是前面的一般规定（第四条和第五条第五款）仍然适用，扩大了原告可以选择的法院的范围。第四条构成了基础管辖权依据，即原告可以在被告住所地起诉。第五条第五款进一步细化了被告住所地这一连结因素，将管辖扩大到保险人的分支、代理或其他机构所在地法院。第八条Article8AninsurerdomiciledinaContractingStatemaybesued,eitherinthecourtsofthatState,orinanotherContractingStateinthecourtsfortheplacewherethepolicy-holderisdomiciled,or,iftwoormoreinsurersarethedefendants,inthecourtsoftheContractingStatewhereanyoneofthemisdomiciled.Aninsurermayalso,ifthereisprovisionforsuchjurisdictioninthelawofthecourtseisedofthematter,besuedinaContractingStateotherthanthatofhisdomicileinthecourtsfortheplacewheretheagentwhoactedasintermediaryinthemakingofthecontractofinsurancehashisdomicile,providedthatthisdomicileismentionedintheinsurancepolicyorproposal.Article7Inmattersrelatingtoinsurance,jurisdictionshallbedeterminedbythisSection,withoutprejudicetotheprovisionsofArticles4and5(5).Article8AninsurerdomiciledinaContractingStatemaybesued,eitherinthecourtsofthatState,orinanotherContractingStateinthecourtsfortheplacewherethepolicy-holderisdomiciled,or,iftwoormoreinsurersarethedefendants,inthecourtsoftheContractingStatewhereanyoneofthemisdomiciled.Aninsurermayalso,ifthereisprovisionforsuchjurisdictioninthelawofthecourtseisedofthematter,besuedinaContractingStateotherthanthatofhisdomicileinthecourtsfortheplacewheretheagentwhoactedasintermediaryinthemakingofthecontractofinsurancehashisdomicile,providedthatthisdomicileismentionedintheinsurancepolicyorproposal.AninsurerwhoisnotdomiciledinaContractingStatebuthasabranchoranagencyinoneoftheContractingStatesshall,indisputesarisingoutoftheoperationsofthebranchoragency,bedeemedtobedomiciledinthatState.Article9Inrespectofliabilityinsuranceorinsuranceofimmovableproperty,theinsurermayinadditionbesuedinthecourtsfortheplacewheretheharmfuleventoccurred.Thesameappliesifmovableandimmovablepropertyarecoveredbythesameinsurancepolicyandbothareadverselyaffectedbythesamecontingency.Article10Inrespectofliabilityinsurance,theinsurermayalso,ifthelawofthecourtpermitsit,bejoinedinproceedingswhichtheinjuredpartyhasbroughtagainsttheinsured.TheprovisionsofArticles7,8and9shallapplytoactionsbroughtbytheinjuredpartydirectlyagainsttheinsurer,wheresuchdirectactionsarepermitted.Ifthelawgoverningsuchdirectactionsprovidesthatthepolicy-holderortheinsuredmaybejoinedasapartytotheaction,thesamecourtshallhavejurisdictionoverthem.除此之外，公约还承认意思自治原则，允许当事人协议选择法院的管辖权，不过这里也体现了公约对弱方的保护，设置了诸多对保险人的限制。主要规定在第十二条Article12Article12TheprovisionsofthisSectionmaybedepartedfromonlybyanagreement:1.whichisenteredintoafterthedisputehasarisenor2.whichallowsthepolicy-holder,theinsuredorabeneficiarytobringproceedingsincourtsotherthanthoseindicatedinthisSectionor3.whichisconcludedbetweenapolicy-holderandaninsurer,bothofwhomaredomiciledinthesameContractingState,andwhichhasthe,effectofconferringjurisdictiononthecourtsofthatStateeveniftheharmfuleventweretooccurabroad,providedthatsuchanagreementisnotcontrarytothelawofthatState.相较于公约对保单持有人、被保险人、受益人的倾斜保护，第七条至第十二条中仅有第十一条对保险人起诉的权利作出了规定：“在不妨碍第十条第三款规定的情况下，保险人只能在被告住所地的缔约国法院提起诉讼，不论被告是保单持有人、被保险人或受益人。”这条虽然保障了保险人基本的诉讼权利，但是在管辖权方面设置了限制，即只能在被告住所地的缔约国法院提起诉讼，在选择范围上大大少于保单持有人、被保险人、受益人的选择权。虽然有学者指出该条第二款条款同样适用于保险人针对保单持有人、被保险人或者受益人的反诉情形，这样一来，实际上是避开了保险人不得在其本人的住所地、侵权行为发生地等缔约国法院主动起诉上述当事人的限制，从而保护自己应有的合法权益。罗剑雯．罗剑雯．欧盟民商事管辖权比较研究[M]．北京：法律出版社，2003：141．对个人雇佣合同中受雇人的保护前述在消费者合同管辖权保护中已经提到，货物消费合同、服务消费合同都受到欧盟的特殊保护。随着服务贸易的发展，越来越多的人选择到另一个国家提供劳务，这种提供个人雇佣服务的受雇者的法律保护也逐渐受到欧盟的重视。在管辖权方面，欧盟通过《1989年加入公约》ConventionontheaccessionoftheKingdomofSpainandthePortugueseRepublictotheConventiononjurisdictionandtheenforcementofjudgmentsincivilandcommercialmattersandtotheProtocolonitsinterpretationbytheCourtofJusticewiththeadjustmentsmadetothembytheConventionontheaccessionoftheKingdomofDenmark,ofIrelandandoftheUnitedKingdomofGreatBritainandNorthernIrelandandtheadjustmentsmadetothembytheConventionontheaccessionoftheHellenicRepublicConventionontheaccessionoftheKingdomofSpainandthePortugueseRepublictotheConventiononjurisdictionandtheenforcementofjudgmentsincivilandcommercialmattersandtotheProtocolonitsinterpretationbytheCourtofJusticewiththeadjustmentsmadetothembytheConventionontheaccessionoftheKingdomofDenmark,ofIrelandandoftheUnitedKingdomofGreatBritainandNorthernIrelandandtheadjustmentsmadetothembytheConventionontheaccessionoftheHellenicRepublic（89/535/EEC）经过1989年的修订，《布鲁塞尔公约》第五条第一款指明个人雇佣合同的管辖权依据是受雇人惯常工作地，或者当受雇人在一国境内并无惯常工作地地时，由受雇者过去或现在受雇人的业务所在地法院管辖。其突出进步意义在于运用了特征性履行的方法，可以受雇人获得了更为广泛而且便利的起诉选择权。受雇人惯常工作地是动态连结因素，可以使得与受雇人利益有最密切联系的法院获得管辖权，从而对抗雇佣人的优势地位。此外，该公约通过第十七条承认受雇人与雇佣人之间所订立的管辖协议的效力。具体规定与《海牙管辖权公约》中对消费者合同协议管辖权的规定是一致的，即首先肯定纠纷发生后订立的管辖协议的效力，同时也在一定条件下承认纠纷发生之前所订立的管辖协议的效力，即只有受雇人可以其他法院中选择。二、《布鲁塞尔条例》中的保护性管辖权对消费者合同中消费者的保护由于《布鲁塞尔公约》的制定背景，当时并没有对网络消费者合同作出说明，公约逐渐无法适应迅速发展的网络消费者合同。此后，欧盟在《布鲁塞尔条例》中做了补充规定。主要规定在第四部分Section4JurisdictionoverconsumercontractsArticle151.Inmattersrelatingtoacontractconcludedbyaperson,theconsumer,forapurposewhichcanberegardedasbeingoutsidehistradeorprofession,jurisdictionshallbedeterminedbythisSection,withoutprejudicetoArticle4andpoint5ofArticle5,if:(a)itisacontractforthesaleofgoodsoninstalmentcreditterms;or(b)itisacontractforaloanrepayablebyinstalments,orforanyotherformofcredit,madetofinancethesaleofgoods;orSection4JurisdictionoverconsumercontractsArticle151.Inmattersrelatingtoacontractconcludedbyaperson,theconsumer,forapurposewhichcanberegardedasbeingoutsidehistradeorprofession,jurisdictionshallbedeterminedbythisSection,withoutprejudicetoArticle4andpoint5ofArticle5,if:(a)itisacontractforthesaleofgoodsoninstalmentcreditterms;or(b)itisacontractforaloanrepayablebyinstalments,orforanyotherformofcredit,madetofinancethesaleofgoods;or(c)inallothercases,thecontracthasbeenconcludedwithapersonwhopursuescommercialorprofessionalactivitiesintheMemberStateoftheconsumer'sdomicileor,byanymeans,directssuchactivitiestothatMemberStateortoseveralStatesincludingthatMemberState,andthecontractfallswithinthescopeofsuchactivities.2.WhereaconsumerentersintoacontractwithapartywhoisnotdomiciledintheMemberStatebuthasabranch,agencyorotherestablishmentinoneoftheMemberStates,thatpartyshall,indisputesarisingoutoftheoperationsofthebranch,agencyorestablishment,bedeemedtobedomiciledinthatState.3.ThisSectionshallnotapplytoacontractoftransportotherthanacontractwhich,foraninclusiveprice,providesforacombinationoftravelandaccommodation.刘益灯．跨国消费者保护的法律冲突及其解决对策[M]．北京：法律出版社，2008：264．LornaE.Gillies:Addressingthe"CyberspaceFallacy":TargetingtheJurisdictionofanElectronicConsumerContract［J］InternationalJournalofLawandInformationTecnology,Vol.16,Issue3(2008),P.245LornaE.Gillies:Addressingthe"CyberspaceFallacy":TargetingtheJurisdictionofanElectronicConsumerContract［J］InternationalJournalofLawandInformationTecnology,Vol.16,Issue3(2008),P.247对个人雇佣合同中受雇人的保护相较于《布鲁塞尔公约》对个人雇佣合同管辖权分散的规定，《布鲁塞尔条例》作出了专章规定。第五部分第十八条Article181.Inmattersrelatingtoindividualcontractsofemployment,jurisdictionshallbedeterminedbythisSection,withoutprejudicetoArticle4andpoint5ofArticle5.2.WhereanemployeeentersintoanindividualcontractofemploymentwithanemployerwhoisnotdomiciledinaMemberStatebuthasabranch,agencyorotherestablishmentinoneoftheMemberStates,theemployershall,indisputesarisingoutoftheoperationsofthebranch,agencyorestablishment,bedeemedtobedomiciledinthatMemberState.规定只要在雇佣人在缔约国有住所或者尽管雇佣人在缔约国境内无住所，但如果其在有关争议产生的缔约国设有分支、代理者其他机构，则适用于以下第十九条至第二十一条对管辖权的规定。第十九条Article19AnemployerdomiciledinaMemberStatemaybesued:Article181.Inmattersrelatingtoindividualcontractsofemployment,jurisdictionshallbedeterminedbythisSection,withoutprejudicetoArticle4andpoint5ofArticle5.2.WhereanemployeeentersintoanindividualcontractofemploymentwithanemployerwhoisnotdomiciledinaMemberStatebuthasabranch,agencyorotherestablishmentinoneoftheMemberStates,theemployershall,indisputesarisingoutoftheoperationsofthebranch,agencyorestablishment,bedeemedtobedomiciledinthatMemberState.Article19AnemployerdomiciledinaMemberStatemaybesued:1.inthecourtsoftheMemberStatewhereheisdomiciled;or2.inanotherMemberState:(a)inthecourtsfortheplacewheretheemployeehabituallycarriesouthisworkorinthecourtsforthelastplacewherehedidso,or(b)iftheemployeedoesnotordidnothabituallycarryouthisworkinanyonecountry,inthecourtsfortheplacewherethebusinesswhichengagedtheemployeeisorwassituated.Article201.AnemployermaybringproceedingsonlyinthecourtsoftheMemberStateinwhichtheemployeeisdomiciled.2.TheprovisionsofthisSectionshallnotaffecttherighttobringacounter-claiminthecourtinwhich,inaccordancewiththisSection,theoriginalclaimispending.Article21TheprovisionsofthisSectionmaybedepartedfromonlybyanagreementonjurisdiction:1.whichisenteredintoafterthedisputehasarisen;or2.whichallowstheemployeetobringproceedingsincourtsotherthanthoseindicatedinthisSection.三、保护性管辖权在实践中的新发展—以C－585/08和C－144/09为例前面笔者对欧盟保护性管辖权的具体规定做了系统的梳理，其中既有对条文修改的分析，也提出了理论的模糊之处。正因为保护性管辖权在理论上还不够规范，所以在实践中，具体到案件中，保护性管辖权的适用出现了脱节的情况。欧盟在促进保护性管辖权理论不断完善的同时，也通过欧盟法院对相关条文做出了最新的解释，以供保护性管辖权真正为弱势一方提供保护。笔者选取了欧盟法院的案件判决，对消费者合同纠纷适用保护性管辖权问题进行解释。在C－585/08PeterPammervReedereKarlSchluterGmbH&Co和C-144/09HotelAlpenhofGesmbHvOliverHeller中，欧盟法院试图对《布鲁塞尔条例》第15条（1）（c）做出解释。这两个案件很重要，因为这是欧盟法院第一次考虑和解释一个网站的行为在何种程度上能被认定为是对居住在其他成员国消费者的“指向”行为。CharlesWild,StuartWeinsteinandChristineRiefa:CouncilRegulation(EC)44/2001andInternetConsumerContracts:SomeThoughtsonArticle15andtheFutilityofApplying“CharlesWild,StuartWeinsteinandChristineRiefa:CouncilRegulation(EC)44/2001andInternetConsumerContracts:SomeThoughtsonArticle15andtheFutilityofApplying“IntheBox”ConflictofLawRulestothe“OutoftheBox”BorderlessWorld[J]InternationalReviewofLaw,Computer&Technology,Vol.19,Issue1(March2005),P.17.案件事实在C－585/08中，居住在澳大利亚的MrPammer通过网站与一个德国公司在澳大利亚的代理商达成了一项旅行合同，但是MrPammer认为结果并没有达到网站对合同内容的描述和自己对此的期望。经过协商澳大利亚代理商仅返还了部分费用，MrPammer对此提起诉讼。澳大利亚国家法院受理后认为需要解决两个问题，第一，这个合同是否构成一揽子旅游合同，第二，MrPammer和澳大利亚代理商的邮件往来是否构成充分的联系（sufficientlink）以致澳大利亚拥有管辖权。澳大利亚法院认为其享有管辖