工业产品质量责任条例(附英文)
国务院
工业产品质量责任条例(附英文)
1986年4月5日，国务院
第一章 总 则
第一条 为了明确工业产品（以下简称产品）质量责任，维护用户和消费者（以下简称用户）的合法权益，保证有计划的商品经济健康发展，促进社会主义现代化建设，特制定本条例。
第二条 产品质量是指国家的有关法规、质量标准以及合同规定的对产品适用、安全和其它特性的要求。产品质量责任是指因产品质量不符合上述要求，给用户造成损失后应承担的责任。
第三条 国家标准化部门负责制定全国统一的国家标准。国家标准应不低于国际标准水平。国家标准可以分级分等。企业主管部门要规定生产企业达到国家标准最高等级的期限。国家物价部门按标准等级，实行按质论价。
第四条 产品的生产、储运、经销企业必须按照本条例的规定，承担产品质量责任。各部门、各地区，特别是企业主管机关必须对产品质量进行管理，监督有关企业坚持质量第一的方针，保证产品质量，承担质量责任；管理和监督不力的也应承坦连带责任。
第五条 质量监督机构、工商行政管理机关必须对产品质量进行监督，维护用户的利益。
第六条 产品的合格证、说明书、优质标志、认证标志等都必须与产品的实际质量水平相一致。产品广告中关于产品质量的说明，必须符合产品的实际质量。
第七条 所有生产、经销企业必须严格执行下列规定：（1）不合格的产品不准出厂和销售；（2）不合格的原材料、零部件不准投料、组装；（3）国家已明令淘汰的产品不准生产和销售；（4）没有产品质量标准、未经质量检验机构检验的产品不准生产和销售；（5）不准弄虚作假、以次充好、伪造商标、假冒名牌。所有生产、经销企业都不得用搭配手段推销产品。
第二章 产品生产企业的质量责任
第八条 产品的生产企业必须保证产品质量符合国家的有关法规、质量标准以及合同规定的要求。产品的生产企业必须建立严密、协调、有效的质量保证体系，要明确规定产品的质量责任。企业必须保证质量检验机构能独立行使监督、检验的职权；严禁对质量检验人员进行打击报复。
第九条 产品出厂，必须符合下列要求：（一）达到本条例第二条规定的质量要求，有检验机构和检验人员签证的产品检验合格证；（二）根据不同特点，有产品名称、规格、型号、成份、含量、重量、用法、生产批号、出厂日期、生产厂家、厂址、产品技术标准编号等文字说明，限时使用的产品应注明失效时间。优质产品必须有标志；（三）实行生产许可证制度的产品，要有许可证编号、批准日期和有效期限；（四）机器、设备、装置、仪表以及耐用消费品，除符合本条（一）、（二）、（三）项要求外，还应有详细的产品使用说明书。内容包括：产品的技术经济参数、使用寿命、使用范围、保证期限、安装方法、维修方法和保存条件、技术保养检修期以及其它有关产品设计参数的有效数据。电器产品，应附有线路图和原理图；（五）包装必须符合国家有关规定和标准。剧毒、危险、易碎、怕压、需防潮、不装倒置的产品，在内外包装上必须有显著的指示标志和储运注意事项。产品包装上必须注明实际重量（净重和毛重）；（六）使用商标和分级分等的产品，在产品或包装上应有商标和分级分等标记；（七）符合国家安全、卫生、环境保护和计量等法规的要求。
第十条 达不到国家的有关标准规定等级、仍有使用价值的“处理品”，经企业主管机关批准后，方可降价销售，在产品和包装上必须标出显著的“处理品”字样。违反国家安全、卫生、环境保护、计量等法规要求的产品，必须及时销毁或作必要的技术处理，不得以“处理品”流入市场。不得用“处理品”生产和组装用以销售的产品。
第十一条 在产品保证期限内发现质量不符合第二条要求时，根据不同情况，由产品生产企业对用户和经销企业承坦质量责任：（一）产品的一般零部件、元器件失效，更换后即能恢复使用要求的，应负责按期修复；（二）产品的主要零部件、元器件失效，不能按期修复的，应负责更换合格品；（三）产品因设计、制造等原因造成主要功能不符合第二条要求，用户要求退货的，应负责退还货款；（四）造成经济损失的，还应负责赔偿实际经济损失；（五）由维修服务或经销企业负责产品售后技术服务时，生产企业必须按售后技术服务合同，提供足够的备品、备件和必要的技术支援。
第三章 产品储运企业的质量责任
第十二条 承储、承运、装卸企业必须根据国家有关规定和产品包装上标明的储运要求进行储存、运输和装卸。
第十三条 承储、承运企业在产品入库储存或出库、产品承运或交货时，应按照国家有关规定，严格执行交接验收制度，明确质量责任。确属储存、运输、装卸原因造成产品损伤，承储、承运、装卸企业应分别承担责任，按国家有关规定，赔偿经济损失。
第四章 产品经销企业的质量责任
第十四条 经销企业在进货时，应对产品进行验收，明确产品的质量责任。经销企业出售的产品，必须符合本条例第七条、第九条的规定。
第十五条 经销企业售出的产品在保证期限内发现质量不符合第二条的要求时，应由经销企业负责对用户实行包修、包换、包退、承担赔偿实际经济损失的责任。
第五章 产品质量的监督管理
第十六条 各质量监督机构，按照国家有关规定，单独组织或者会同工商行政管理部门、各行业主管部门、企业主管部门，对产品的生产、储运和经销等各个环节实行经常性的监督抽查，并定期公布抽查产品的质量状况。企业必须如实提供抽查样品，并在检测手段和工作条件方面提供方便。除国家已有规定外，质量监督机构抽查产品，不准向企业收费，以保证监督机构的公正性。质量监督机构所需的技术措施费用和检测费用，按实际需要由国家或地方财政拨款解决。各级经济委员会负责对产品质量监督管理工作进行领导和组织协调。
第十七条 各级行业主管部门和企业主管部门负责本行业产品质量的管理工作，其职责是：在授权范围内，制定或参与制定有关产品质量标准以及有关规章制度，负责产品质量的监督管理，督促企业保证产品质量，完善质量保证系统；组织发放生产许可证。
第十八条 对产品质量实行社会性监督。用户可以向产品生产、储运、经销企业提出质量查询；社团组织可以协助用户参与质量争议的调解、仲裁，支持用户向人民法院起诉。
第十九条 用户按双方协议可以派出代表到生产企业对产品生产过程和产品质量进行现场监督。
第六章 产品质量责任争议的处理
第二十条 因产品质量问题发生争议时，有经济合同的，按《经济合同法》的有关规定执行；没有合同的，争议的任何一方都可提请有关的质量监督机构调解处理，也可向人民法院起诉。
第二十一条 对产品质量的技术检验数据有争议时，当事人或调解、仲裁机构可委托法定的质量检验单位进行仲裁检验，质量检验单位应对提供的仲裁检验数据负责。
第二十二条 除国家另有规定外，质量责任的仲裁请求和起诉，应从当事人知悉或应当知悉权益受损害之日起一年内提出。产品质量责任方愿意承担责任时，不受时效限制。
第七章 罚 则
第二十三条 企业产品质量达不到国家规定的标准，企业主管机关应令其限期整顿。经整顿仍无效者，企业主管机关应令其停产或转产，直至建议有关主管机关撤销生产许可证，吊销营业执照。在整顿期间，企业主管机关视不同情况，可扣发企业负责人和职工的奖金、工资。
第二十四条 生产、经销企业违反本条例规定，有下列行为之一者，由企业主管机关对企业负责人和直接责任者给以行政处分，由工商行政管理机关没收其全部非法收入，并视其情节轻重，处以相当于非法收入的15％至20％的罚款，直至由司法机关追究法律责任。（一）生产、经销掺假产品、冒牌产品，以“处理品”冒充合格品；（二）生产、经销隐匿厂名、厂址的产品；（三）生产、经销没有产品检验合格证的产品；（四）生产、经销国家已明令淘汰的产品；（五）生产、经销国家实行生产许可证制度而到期未取得生产许可证的产品；（六）生产、经销用不合格原材料、零部件生产或组装的产品；（七）生产、经销违反国家安全、卫生、环境保护和计量等法规要求的产品；（八）经销过期失效产品。罚没收入全部上交国家财政。
第二十五条 有质量监督抽查中发现生产和经销企业有第二十四条中列举的行为时，由质量监督机构按第二十四条规定处理。对于不符合本条例第九条第七项规定的，由质量监督机构监督就地销毁或作必要的技术处理，并令生产、经销企业在限期内追回已售出的不合格产品。违反本条例第八条的规定，对质量检验人员进行打击报复的，或质量监督、检验机构工作人员徇私舞弊的，由有关主管机关给予行政处分；情节特别严重的，依法追究刑事责任。
第二十六条 由于产品的质量责任，造成用户人身伤亡，财产损失，触犯刑律的，由司法机关依法追究当事人的刑事责任。
第二十七条 上述处罚，不免除产品质量责任方对用户承担的产品包修、包换、包退、赔偿实际经济损失的责任。
第八章 附 则
第二十八条 有关主管部门可根据本条例的规定，制定实施细则；进出口商品、军用产品及有特殊要求的产品的质量责任可由有关主管部门参照本条例的原则，另行规定。
第二十九条 本条例适用于所有全民、集体所有制企业，个体工商业经营者以及在中国境内的中外合资、合作、外资企业。
第三十条 本条例授权国家经济委员会负责解释。
第三十一条 本条例自一九八六年七月一日起施行。(附英文)
REGULATIONS ON QUALITY RESPONSIBILITY FOR INDUSTRIAL PRODUCTS
Important Notice: (注意事项)
英文本源自中华人民共和国务院法制局编译, 中国法制出版社出版的《中华人民
共和国涉外法规汇编》(1991年7月版).
当发生歧意时, 应以法律法规颁布单位发布的中文原文为准.
This English document is coming from the "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.
Whole Document (法规全文)
REGULATIONS ON QUALITY RESPONSIBILITY FOR INDUSTRIAL PRODUCTS
(Promulgated by the State Council on April 5, 1986)
Chapter I General Provisions
Article 1
The present Regulations are enacted in order to define the quality
responsibility for industrial products ("products" for short hereinafter),
safeguard the legitimate rights of the customer and consumer ("customer"
for short hereinafter), ensure the healthy development of commodity
economy in a planned way, and promote socialist modernization.
Article 2
"Quality of product" refers to the requirement for the applications,
safety and other properties of the products stipulated in related laws and
regulations, quality standards and contracts.
"Quality responsibility for products" refers to the responsibility that
shall be born due to the product's failure to satisfy the above-mentioned
requirements, which leads to loss on the part of the customer.
Article 3
The national standardization department is responsible for drawing up the
unified national standards. The national standards shall not be lower than
the international standards. National standards may be classified and
graded. The competent authorities responsible for the enterprise shall fix
a time limit for achieving the highest grade of the national standards.
The price department of the Central Government shall fix the prices
according to the grades of standards and implement the principle of "price
according to quality".
Article 4
Those enterprises engaging in the production, storing, transporting and
marketing of the product must, in accordance with the stipulations of the
present Regulations, undertake the quality responsibility for the
products.
The various departments, various localities, especially the competent
authorities for the manufacturer must exercise strict control over the
quality of the products, supervise and see that the manufacturer concerned
abides by the principle of "quality first", with a view to guaranteeing
the quality of product and undertaking quality responsibility. Those
failing to exercise effective control and supervision shall also undertake
liability arising therefrom.
Article 5
Quality-supervision agencies and the industry and commerce administration
departments must keep supervision over the quality of product and protect
the interest of the customer.
Article 6
The quality certificate, manuals, "high-quality" sign and identity sign of
a product must all be in conformity with the actual quality level of the
product. The explanation in the advertisement of the product must conform
to the actual quality of the product.
Article 7
All the manufacturers and the marketing firms must observe strictly the
following rules:
(1) unqualified product is forbidden from being dispatched from the
factory or marketed;
(2) unqualified raw materials and parts and components are not allowed to
be put into production or be used for assembly;
(3) it is forbidden to manufacture the products whose elimination the
State has explicitly ordered;
(4) product without the product-quality standard or without being tested
by the state quality-testing organ is not allowed to be manufactured and
marketed;
(5) it is forbidden to plot frauds, to pass of unqualified product as
qualified, to forge trademarks, or to imitate the famous brand products.
All the manufacturers and marketing firms are not allowed to sell their
products by way of coupling-sale.
Chapter II Quality Responsibility of the Product Manufacturer
Article 8
The manufacturer of the product must make sure that the quality of the
product conforms to the requirements laid down by relevant laws and
regulations, quality standards and stipulations of the contract.
The manufacturer of the product must set up a strict, well-coordinated and
effective quality-guarantee system, with a view to fixing the quality
responsibility for the product in an explicit manner.
The manufacturer must see to it that the quality-inspecting organ can
independently perform its functions of supervision and testing. It is
strictly forbidden to retaliate against the quality inspectors.
Article 9
The product shall not leave the factory unless it satisfies the following
requirements:
(1) achieving the quality requirements stipulated in Article 2 of the
present Regulations, and obtaining the quality certificate of the product
issued by testing organ and testing personnel;
(2) having the written explanation of, according to specific
characteristics, the product's name, size, model, ingredients, the
percentage of the ingredients, weight, direction for applications, lot No.
of production, date of production, name of manufacturer, address of the
manufacturer, and the serial number of the technical specifications of the
said product; explicitly specifying the date of expiry in case of a
product with time limit of efficacy. "High-quality" product must bear the
mark thereof;
(3) having the serial number, date of approval and the term of validity of
the production licence in case of a product manufactured under the
production licence system;
(4) machinery, equipment, devices, apparatus and durable consumer goods,
apart from satisfying the requirements in Items (1), (2) and (3) of this
Article, shall be accompanied with detailed instructions on the use of the
product. The content thereof includes: the product's technical-economic
parameters, service life, range of application, term of guarantee, methods
for installation, methods of maintenance and conditions for storing, term
of technical maintenance and repair, and other effective data concerning
the design parameters of the product. Electric products shall be attached
with the circuit diagram and schematic diagram;
(5) the package must conform to the related state regulations and
standards. As regards the products that are drastically poisonous,
dangerous, fragile, can not be laid on by heavy load, needing protection
against moisture, can not be turned upside down, there must be, on both
the external and interior packing, obvious indication marks and notices
for storing and transportation. On the package of the product, there must
be noted explicitly the actual weights (net and gross);
(6) on the product or the package thereof on which the trademark and
quality classification and grading system is applied, there shall be signs
for the said trademark, classification and grading;
(7) conforming to the requirements of the state laws and regulations
concerning safety, hygiene, protection of environment and measuring.
Article 10
The "substandard" goods that fail to achieve the requirements of the
related state standards, but still have some use value, cannot be marketed
at reduced price until having obtained the approval from the competent
authorities of the manufacturer; and on the package there must be clearly
marked with the words of "substandard goods". Products that fail to meet
the requirements of the state laws and regulations concerning safety,
hygiene and environmental protection and measuring must be destroyed or
undergo necessary technical treatment in good time. They are not allowed
to enter the market in the name of "substandard goods".
"Substandard goods" are not allowed to be used to manufacture or assemble
market-oriented products.
Article 11
Within the guarantee period of the product, in case of the quality found
out of line with the requirements stipulated in Article 2, the
manufacturer shall, according to the following different circumstances,
undertake the quality liability to the customer and marketing firm:
(1) the common part or component loses efficacy and therefore, after being
replaced, the performance can immediately be restored; in this case, the
manufacturer shall be responsible for replacing with qualified parts or
components and for restoring the normal performance;
(2) in case that the main part or competent of the product has lost the
efficacy and cannot be repaired within the set period, the manufacturer
shall be responsible for replacing with qualified products;
(3) in case the major function fails to satisfy the requirements of
Article 2 due to such causes as designing and manufacture, if the customer
requires to return the goods, the manufacturer shall refund;
(4) in case of economic loss caused by the quality faults, the
manufacturer shall also compensate for the actual loss;
(5) if maintenance and repair service or marketing firm responsible for
the aftersale technical service, so required and manufacturer must,
according to the contract of aftersale service, supply sufficient standby
products, spare parts and necessary technical support.
Chapter III Quality Responsibility of Enterprises for Storing or Transporting the Product
Article 12
The enterprises which undertake to store, transport, load or unload the
products must conduct the work of the storing, transportation, loading and
unloading in compliance with the relevant state stipulations and the
storing-transporting requirements indicated on the package of the product.
Article 13
In the course of the product entering the warehouse for storing or leaving
the warehouse, undertaking to transport the product or handing over the
product, the enterprise that stores or transports the product shall
observe the pertinent state stipulations and the storing-trans-system of
handing-over and checking before acceptance, so as to define the quality
responsibility. In case it has been testified that the damage of the
product is due to the cause of storage, transport or loading and
unloading, the enterprises which store, transport or load and unload the
product shall bear their respective liabilities and, according to related
government regulations, compensate for the economic loss.
Chapter IV Quality Responsibility of the Marketing Firm of the Product
Article 14
When laying in a stock of merchandise, the marketing firm shall, before
acceptance, test the product, so that the quality responsibility can be
clearly defined. The products sold by the marketing firm must conform to
the requirements stipulated in Articles 7 and 9 of the present
Regulations.
Article 15
In case the product sold by the marketing firm is found not up to the
conditions stipulated in Article 2 within the period of guarantee, the
marketing firm shall be responsible for guaranteed repairing, replacement,
taking back the product and refunding, and undertaking the responsibility
of compensating for the actual economic loss.
Chapter V Supervision and Control over the Quality of Product
Article 16
The various quality-supervising agencies shall, in accordance with the
relevant regulations of the state, organize independently, or together
with the industry and commerce administrative authorities, the responsible
departments of the various trades, and the responsible departments of the
various manufacturers, regular supervisional sample-checking on the
various links such as manufacture, storing, transportation, and marketing,
and regularly publicize the result of the testing of the samples.
Enterprises must honestly furnish the samples for checking and provide
facilities with respect to the testing means and working conditions.
Unless otherwise stated in state regulations, it is not allowed for the
quality-supervising agencies to collect fees from the enterprises for
sample-checking on the product, so as to guarantee the impartiality of the
supervising agencies. The expenses needed for the technical means and
measures and for the test by the quality-supervising agencies shall be
covered by the state or local financial allocations according to the
actual needs.
The economic commission at various levels are responsible for leadership,
organization and coordination of the supervision and control over product
quality.
Article 17
Responsible departments of the trades and responsible departments for the
enterprises at various levels are responsible for the control over the
quality of products in the respective trades within their authorization,
which covers: formulating or taking part in the formulation of the quality
standards for the products in their respective areas of responsibility and
the pertinent rules and regulations, being responsible for supervision and
control over the quality of products, urging the enterprises to ensure the
quality of product, perfecting the quality guaranteeing system, and
organizing the issuance of production licences.
Article 18
Exercise social supervision over the quality of product. The customer can
make inquiries about the quality of the product at the manufacturer, the
enterprises for storing and transporting, and the marketing firms; and the
social associations and organizations can help the customers participate
in the mediation, arbitration over quality disputes, and support the
customers to file lawsuits with the people's court.
Article 19
The customer can, according to the mutual agreement between the customer
and manufacturer, send his representative to the manufacturer to conduct
on-the-spot-supervision over the process of the production and the quality
of the product.
Chapter VI Settlement of Disputes over Quality Responsibility for the Product
Article 20
Any dispute arising from the quality of product shall, provided there is
an economic contract, observe the relevant stipulations in the Economic
Contract Law. In the absence of such contracts, either party to the
dispute can refer the dispute to a relevant quality-supervising agency for
mediation or settlement, or take the case to the people's court.
Article 21
In case of any dispute over the data of technical testing of the quality
of product, the party concerned or the mediating or arbitrating agencies
can entrust legally designated quality-testing unit for arbitral testing;
and the said quality testing unit shall be responsible for the data of the
arbitral testing.
Article 22
Unless otherwise stipulated by the government, the request for arbitration
or prosecution over quality responsibility shall be raised within one year
from the date the party concerned is aware of or should be aware of his
interest and rights being damaged. Where the party bearing the quality
responsibility for the product is willing to bear the responsibility, it
is not limited by the term of validity.
Chapter VII Penalties
Article 23
Where the product of an enterprise fails to reach the state-stipulated
standards, the competent authoritative department of the said enterprise
shall order the enterprise to rectify production within a fixed period.
Where the said rectification within the fixed period turns out to be of no
effect, the competent authoritative department of the said enterprise
shall order it to stop production or switch over to a new line of
products, or even suggest that the relevant authorities revoke the
production licence and the business licence. In the period of
rectification, the competent authoritative department responsible for the
said enterprise may, according to different circumstances, deduct the
bonus and wages of the executive members of the enterprise and of the
staff and workers.
Article 24
Where the manufacturer or marketing firm has committed one of the
following acts in violation of the stipulations of the present
Regulations, the authoritative department responsible for the enterprise
or firm shall mete out disciplinary punishment to the responsible persons
of the enterprise and to the persons bearing direct responsibility; and
the industry and commerce administrative organ shall confiscate all the
illegal income, and impose on it a fine equivalent to 15% to 20% of the
illegal income according to the degree of seriousness of the case; or even
the legal liabilities shall be fixed by the judicial organs through due
investigation.
1. manufacture or market adulterated product or imitated product, or pass
off "substandard" product as qualified;
2. manufacture or market products without indicating the name and address
of the manufacturer;
3. manufacture or market products without quality certificate;
4. manufacture or market products of which the State has issued explicit
order for their elimination;
5. manufacture or market the products on which the State adopts the system
of production licence, but fails to renew the said production licence
after its expiry;
6. manufacture or market products manufactured or assembled with
unqualified raw materials, parts or components;
7. manufacture or market products in violation of the requirements
stipulated by state laws and regulations concerning safety, hygiene,
environmental protection and measuring;
8. market products which have passed the expiry date.
The incomes collected from fines shall be handed to the state treasury.
Article 25
In the course of sample-check on quality supervision, in case it is found
that the manufacturer or marketing firm has committed the act(s) listed in
Article 24, the quality-supervising agency shall treat the case according
to the stipulation in Article 24. As regards the product not in conformity
to the provision of Item (7) of Article 9 of the present Regulations, the
product shall be destroyed on the spot by the quality-supervising agency
or be given the necessary technical treatment; and the manufacturer and
the marketing firm shall be ordered to recover within the given time all
the substandard products that have already been sold.
In case of violation of the stipulations in Article 8 of the present
Regulations, or retaliation against quality-testing personnel, or the
working personnel in quality-supervising and quality-testing agencies act
wrongly out of personal consideration, the responsible authoritative
department shall mete out disciplinary punishment. As regards those of
extraordinary seriousness, criminal liabilities shall be investigated and
fixed according to law.
Article 26
Where the poor quality of the product has resulted in the injury or death
of the customer, and in his loss of property, hence violating the criminal
code, the judicial organs shall investigate and fix the legal liability of
the party concerned.
Article 27
The above-mentioned penalty does not acquit the party bearing the quality
responsibility of its responsibility for the guaranteed repair,
replacement, recovering the product with the money already paid, and the
compensation for the actual economic loss to the customer(s).
Chapter VIII Supplementary Provisions
Article 28
The relevant responsible authorities may, in line with the provisions of
the present Regulations, work out the implementing details. The quality
responsibility regulations for import & export products, for goods with
military application as well as goods for special requirements, the
relevant authorities may, with reference to the principles of the present
Regulations, enact separate specific regulations.
Article 29
The present Regulations apply to all enterprises with ownership by the
whole people, enterprises with ownership by the collective, individual
industrial and commercial operators as well as the Chinese-foreign equity
joint ventures, contractual joint ventures, and foreign-capital
enterprises.
Article 30
The State Economic Commission is authorized to interpret the present
Regulations.
Article 31
The present Regulations shall go into force on July 1st, 1986.
数人侵权责任诉讼模式研究
肖建国 中国人民大学法学院 教授 , 黄忠顺 贵州六盘水师范学院
内容提要: 我国《侵权责任法》规定的数人侵权责任服从和服务于救济、预防、惩罚等多重功能的实现，而数人侵权责任的追究程序，往往因诉讼模式研究的滞后而难以实现其预期目标。数人侵权责任诉讼可以类型化为个别型、整体型以及选择型三种诉讼模式。选择型诉讼模式契合侵权责任法以受害人为中心、强化对受害人救济的当代重要发展趋势，应当成为数人侵权责任诉讼程序设置的基准模式，而法定诉讼担当的运用则有助于奠定该诉讼模式在当事人适格方面的正当性基础。
伴随着个人责任向社会责任的适度倾斜，侵权责任的分担主体不再局限于加害人，甚至无须承担最终责任者也可能被要求向受害人临时性或者终局性承担侵权责任，以此实现最终责任主体无法承担侵权责任风险的移转。为此，我国民法学者对替代责任、连带责任、不真正连带责任、垫付责任、补充责任、相应补充责任等新型责任形态加以系统研究，并使用“数人侵权责任”作为“共同侵权责任”的上位概念，使得受害人依据《侵权责任法》追究责任的主体并非总是（主观上存在可谴责性的）侵权行为人，以适应侵权责任法功能扩张之需，即：在存在最终责任主体的情形下，实体法拓展责任主体范围，有助于叠加数人之责任财产以增加受害人损失获得填补的几率；在不存在最终责任主体或者最终责任主体不明确的情形下，实体法将原本与侵权之债不存在任何关系的主体列为责任主体，其本质是立法者基于公平原则而适度移转或者分散受害人之损失。[1]然而，相对于实体法努力拓展受害人救济途径而言，程序法学者对不同侵权责任形态下的诉讼模式及其正当性基础缺乏相应的研究，实体法与程序法的脱节在相当程度上限制了侵权责任法功能的发挥。鉴于此，本文在对数人侵权责任诉讼模式比较分析的基础上得出“以选择型诉讼模式为原则，以整体型诉讼模式为例外，禁止个别型诉讼模式”的结论，并运用法定诉讼担当理论对数人侵权责任诉讼中所涉及的当事人适格问题加以探讨，以期融通实体法与程序法，动态实现侵权责任法的多重功能[2]，全程贯彻侵权法的人文关怀理念[3]。
一、我国《侵权责任法》的数人侵权责任形态
民法学者认为，数人侵权责任形态包括连带责任、按份责任、不真正连带责任和补充责任，[4]并将其进一步类型化为一般数人侵权责任分担形态与特殊数人侵权责任分担形态，前者的每个责任人都承担一定份额的最终责任，包括按份责任与连带责任；而后者则只有最终责任人承担最终责任，其他责任人在承担责任后，可以向其追偿，包括不真正连带责任与补充责任。[5]然而，前述观点形成于《侵权责任法》之前，对数人侵权责任形态体系的构建与类型化未必符合《侵权责任法》的规定。
按照杨立新教授的观点，我国《侵权责任法》所确立的侵权责任形态有自己责任、分担责任、适当责任、按份责任、替代责任、垫付责任、连带责任、不真正连带责任、补充责任以及相应责任等 10 种。[6]笔者认为，前三种系在受害人与责任人之间分担风险而不涉及不同侵权责任主体之间的责任承担问题，而相应责任可以类型化为单向连带责任相应责任与过失相抵的相应责任，[7]前者涉及数人侵权责任可被连带责任形态所吸收，而后者系在侵权人与受害人之间分担责任而与数人侵权责任无关，因而，相应责任并非严格意义上独立类型的数人侵权责任形态。除此以外的其他六种侵权责任形态均涉及侵权请求权所指向责任主体的复数化趋势，笔者倾向于均将其纳入本文的考察范围。
在数人侵权责任形态的类型化方面，本文倾向于将按份责任作为数人侵权责任的基准形态，而将连带责任、不真正连带责任、补充责任、替代责任、垫付责任作为数人侵权责任的特殊形态。原因在于：按份责任系对个人责任伦理原则的贯彻，而连带责任、不真正连带责任、补充责任、替代责任、垫付责任则均属于为了追求侵权责任法的社会功能而对个人责任伦理原则所作的法定例外规定。[8]相对于“将连带责任纳入一般数人侵权责任形态，并在一般数人侵权责任形态中进一步将按份责任作为原则”的方案，本文立场能够在发挥按份责任在数人侵权责任形态配置中的基础性作用的同时，避免重复运用“一般——特殊”法理而具有简化适用规则的功能，并且有助于克服因“内部份额”的解释不周所带来的难以自圆其说。[9]
综上所述，本文框架下的数人侵权责任形态包括按份责任、连带责任、不真正连带责任、补充责任、替代责任以及垫付责任等六种形态，其中按份责任是数人侵权责任的基准形态，而其他五种为数人侵权责任的特殊形态。除非法律另有规定，数人侵权责任主体之间仅负按份责任，而其他责任形态的适用则需要法律特别规定，立法者已经通过《侵权责任法》完成特殊数人侵权责任形态的设置。然而，数人侵权责任形态的现行规定与既有研究均仅注重责任的静态配置，而忽视责任的动态实现，程序法滞后的现状妨碍了精致的数人侵权责任制度功能的实现，因此目前迫切需要对我国数人侵权责任诉讼形态的现状和问题进行分析的基础上，重新建构和配置数人侵权诉讼模式。
二、数人侵权责任诉讼模式的建构原理
立法者在按份责任基准形态的基础上创设或确认连带责任等五种特殊数人侵权责任形态，试图藉此叠加不同民事主体的责任财产，以强化受害人的侵权损害赔偿请求权，此乃实体法层面“以受害人为中心”，强化受害人救济的立法精神的贯彻。[10]程序法上的诉讼形态配置应当贯彻侵权责任法立法宗旨，建立有利于受害人行使诉讼实施权的数人侵权责任诉讼模式。
（一）三种不同的数人侵权责任诉讼模式的划分
以受害人行使诉讼实施权的不同方式，可以将数人侵权责任诉讼模式分为三种：个别型、整体型和选择型。受害人须向不同侵权责任主体分别行使诉讼实施权的，为个别型诉讼模式；受害人须对所有侵权责任主体概括性行使诉讼实施权的，为整体型诉讼模式；受害人根据自身利益安排可以自主确定被告的，为选择型诉讼模式。
个别型诉讼模式要求受害人分别对不同侵权责任主体行使损害赔偿请求权，形成民诉法中的单一诉讼形态（即一个原告诉一个被告）；受害人同时将不同的侵权责任主体列为被告起诉，人民法院合并审理的，构成民诉法上的普通共同诉讼，适用普通共同诉讼的主张共同、证据共通和抗辩共通原则。显而易见，个别型诉讼模式有助于贯彻侵权责任法的个人责任原则。通常情况下，受害人将复数侵权责任主体作为普通共同被告提起诉讼，请求其分别承担与其最终责任份额相当的侵权责任并不会妨碍个人责任原则的贯彻，反而有助于法院将侵权之诉与分担之诉合并审理，提高诉讼效率。但在不真正连带责任诉讼中，我国现行法允许受害人不受被告最终责任份额限制而请求其承担全部侵权赔偿责任，而不允许原告直接追究最终责任分担主体的侵权责任，在相当程度上限制了受害人在诉讼策略选择方面的自由。
整体型诉讼模式强制受害人一次性穷尽行使侵权请求权（否则视为放弃部分侵权请求权），将所有侵权责任主体作为共同被告概括性请求其承担侵权责任，数个共同被告要承担与其最终责任份额相当或者超出其最终责任份额的侵权责任，这种诉讼构成了民诉法中的必要共同诉讼形态（即所有侵权责任主体均列为必要共同被告）。一般而言，强制受害人一次性行使对数个侵权责任主体的诉讼实施权，有助于提高司法效率，符合诉讼经济原则，在客观上起到了保护间接责任主体的作用。因为在特定数人侵权责任形态下，间接责任主体对受害人承担侵权责任是附条件的，而这些条件是否具备往往构成受害人与直接责任主体的争点，强制要求受害人捆绑式对直接责任人与间接责任人行使诉讼实施权显然有助于对间接责任人的保护。
选择型诉讼模式授予受害人提起个别型诉讼或者整体型诉讼的选择权，有助于其科学运用诉讼策略，契合当代侵权责任法以受害人为中心及强化对受害人救济的发展趋势，应当得以肯定和推广适用。选择型诉讼模式赋予受害人在诸多诉讼策略之中选择最佳救济途径，如果复数侵权责任主体实际诉讼能力悬殊较大或者对承担侵权责任态度不甚相同，那么受害人可以选择提起个别诉讼的方式请求实际诉讼能力较弱或者原告有充分证据证明的部分侵权责任主体承担部分或者全部赔偿责任；如果不存在前述提起个别诉讼的优势，那么受害人可以通过整体诉讼的方式节约诉讼成本。[11]
（二）数人侵权责任三种诉讼模式的比较与评判
1．选择型模式相对于个别型模式的优越性
相对于个别型诉讼模式而言，选择型诉讼模式更有利于被害人灵活采取诉讼策略、更好地避免不正当地人为增加受害人维权成本，且契合国际发展趋势。详言之，在保障被害人得以充分运用诉讼策略方面，选择型诉讼模式赋予受害人在个别诉讼与整体诉讼之间进行选择，并最终确立对其最有利的诉讼路径，而个别型诉讼模式则强行性要求受害人只能向不同主体分别行使诉讼实施权，因而，前者更有助于从程序法层面强化对被害人的保护。在防止不正当增加受害人维权成本方面，个别型诉讼模式要求受害人对复数侵权责任主体分别行使诉讼实施权的做法势必导致诉讼效率低下、诉讼成本增加，而在选择型诉讼模式下，尽管受害人也可能选择进行个别诉讼，但是，受害人在抉择时已经对诉讼效率及诉讼成本有所考虑并在综合权衡的基础上自愿决定采取该诉讼策略，因而，后者并不存在强行增加受害人维权成本的诘难。在数人侵权诉讼模式的国际发展趋势方面，基于普通共同诉讼适用范围的泛化以及新诉讼标的理论的传播，传统大陆法系采取个别型诉讼模式加以解决的民事纠纷，在我国通过选择型诉讼模式解决，既有助于贯彻纠纷一次性解决原理，也有助于受害人更加集约地实现其权益。
2．选择型模式相对于整体型模式的优越性
选择型诉讼模式并不排斥受害人选择行使整体性诉讼实施权，而只是禁止违背受害人意志强制性推行整体型诉讼模式，整体型诉讼模式的相对优势同样能够在选择型诉讼模式中得以实现。反之，整体型诉讼模式的基准化则存在着以下弊端：首先，整体型诉讼模式的基准化有违特殊侵权责任形态的设置宗旨。按份责任是数人侵权责任的基准形态，侵权责任法规定按份责任以外的其他责任形态，目的在于强化对受害人所享有的实体请求权的保护程度。在法律没有特别规定的情形下受害人享有对个别诉讼与整体诉讼进行选择的利益。其次，整体型诉讼模式的基准化有违《侵权责任法》立法宗旨。在《侵权责任法》的起草、论证过程中，立法者原本试图回避对实体法与程序法在连带责任诉讼模式方面存在的冲突，但基于学界的努力，立法机关最终通过第 13 条有关“法律规定承担连带责任的，被侵权人有权请求部分或者全部连带责任人承担责任”的规定，试图对司法解释及司法实践中将其作为固有必要共同诉讼而要求“被侵权人只得请求全部连带责任人承担责任”的做法（即整体型诉讼模式）加以修正。尽管本条仅适用于连带责任形态，并且因使用“被侵权人”术语而使得其适用范围受到进一步限制，[12]但是，其中所包含的立法精神系对整体型诉讼模式的否定，而对选择型诉讼模式的肯定。最后，整体型诉讼模式的基准化有违共同诉讼基本原理及其发展趋势。大陆法系国家以共同诉讼必要性与法律上的统合确定必要性为考量因素对共同诉讼加以类型化分析，其中，不具备共同诉讼必要性且不具备统合必要性的共同诉讼被称为“普通共同诉讼”，既具备共同诉讼必要性也具备统合确定必要性的共同诉讼被界定为“固有必要共同诉讼”，虽不存在共同诉讼必要性但具备统合确定必要性的共同诉讼则被概括为“类似必要共同诉讼”。所谓“共同诉讼必要性”系指法律规定一定范围内的人员必须成为当事人，而不允许以个别诉讼形式起诉或者应诉；而所谓“法律上的统合确定必要性”则指存在对共同诉讼人全体做出统一裁判的必要性及因此而产生的统一诉讼资料及诉讼进程的必要性。具体到数人侵权责任诉讼而言，一方面，我国实体法并没有明确将数人侵权责任人全体作为诉讼当事人，而允许以个别诉讼形式主张权利，因而，不具备“共同诉讼必要性”；另一方面，在数人侵权责任诉讼中，并不否定不同责任主体在是否认诺受害人的诉讼请求、是否自认其他诉讼主体的主张事实以及是否接受调解、与对方达成和解等方面的独立性，因而，也不具备统一裁判的必要性。因而，大陆法系将其确定为类似必要共同诉讼或者普通共同诉讼，目前大陆法系转而进入“强化普通共同诉讼功能、限定固有必要共同诉讼范围、严格解释类似必要共同诉讼”阶段，鉴于此，我国强制性推行整体型诉讼模式有违共同诉讼的发展趋势。
3．我国数人侵权责任诉讼模式的建构
由于我国侵权责任法在传统大陆法系数人侵权责任形态的基础上进一步拓展了侵权责任主体范围，将不存在主观可谴责性的民事主体纳入间接责任人之列，对这些间接责任人给予最低限度的程序保障，也是利益衡量之必需。在这个方面，整体型诉讼模式能够有效防范不正当扩张间接责任人对受害人承担侵权责任的范围、确保一般民事主体的行为自由的价值。基于此，整体型诉讼模式应当成为选择型诉讼模式的有效补充，两者共同构成我国数人侵权责任诉讼模式体系，其中，选择型诉讼模式着眼于保护受害人，而整体型诉讼模式侧重于保护间接责任人，前者为基准，后者为有益补充。
选择型诉讼模式除了上述优越性外，优如下特质也值得关注：其一，选择型诉讼模式并不会给法院增加程序上的不便。个别诉讼实施权的行使未必对受害人更为有利，在受害人选择行使整体诉讼实施权的情形下，该模式设置并没有给法院带来相对于整体型诉讼模式的不便。其二，选择型诉讼模式并不会造成未被起诉的责任主体程序保障权的损害。受害人与部分责任人诉讼获得的确定裁判尽管对复数责任主体整体上具有拘束力（外部效力），但并不能当然在复数责任主体内部最终责任分担方面具有拘束力；同时，未被起诉的责任主体可以其他身份参加到诉讼程序中，因此其实体利益和程序利益并不会实质性地遭受损害。
三、我国数人侵权责任诉讼形态的基本配置