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Hong Kong


MERCHANT SHIPPING (PREVENTION AND CONTROL OF POLLUTION) ORDINANCE
　(CHAPTER 413)
　ARRANGEMENT OF SECTIONS
　　
　　ion
　　
　　I　　　　PRELIMINARY
　　hort title
　　nterpretation
　　
　　II　　　 REGULATIONS FOR THE PREVENTION AND CONTROL OF POLLUTION
　　egulations for the prevention and control of pollution
　　enalty for taking detained ship to sea
　　
　　III　　　SHIPPING CASUALTIES INVOLVING A RISK OF POLLUTION
　　pplication of Part III
　　hipping casualties
　　irections; right to recover in respect of unreasonable loss or
damage
　　ffences in relation to section 6
　　ervice of directions under section 6
　　Enforcement of fines
　　Saving of rights of action, etc.
　　
　　IV　　　 SAVINGS, AMENDMENTS AND REPEALS
　　Savings, amendments and repeals
　　
　　dule. (Omitted)
　　
　　rdinance to provide for the prevention and control of　pollution　
from
　　s and for incidental or related matters.
　　January 1991] L. N. 14 of 1991
　PART I PRELIMINARY
　　
　　hort title
　　Ordinance may be cited　as　the　Merchant　Shipping　
(Prevention　and
　　rol of Pollution) Ordinance.
　　nterpretation
　　his Ordinance, unless the context otherwise requires--
　　trol" includes contain and reduce;
　　ector" means the Director of Marine;
　　charge" means any release, howsoever caused, from a ship and　
includes
　　escape, disposal, spilling, leaking, pumping,　emitting　or　
emptying;
　　does not include--
　　dumping within the meaning of the　Convention　on　the　
Prevention　of
　　ne Pollution by Dumping of Wastes and Other Matter signed in
London on
　　ovember 1972; or
　　any release directly arising from the　exploration,　
exploitation　and
　　ciated off-shore processing of sea-bed mineral resources; or
　　any release for the purposes of legitimate　scientific　research　
into
　　ution abatement or control;
　　g Kong ship" means--
　　a ship registered in Hong Kong; and
　　a vessel required to be licensed under Part IV　of　the　Shipping　
and
　　Control Ordinance (Cap. 313);
　　" means oil of any description and includes spirit produced　from　
oil
　　ny description and also includes coal tar;
　　p" means a vessel of any　type　whatsoever　operating　in　the　
marine
　　ronment and includes a hydrofoil, hovercraft, submersible or　
floating
　　t and a fixed or floating platform.
　PART II REGULATIONS FOR THE PREVENTION AND CONTROL OF POLLUTION
　　
　　egulations for the prevention and control of pollution
　　In this section--
　　vention" means the International　Convention　for　the　
Prevention　of
　　ution from Ships (including its　protocols,　annexes　and　
appendices)
　　h constitutes Attachment 1 to　the　Final　Act　of　the　
International
　　erence on Marine Pollution signed in London on　2　November　
1973,　as
　　fied by any international agreement referred to in subsection (2)
(b)
　　);
　　tocol" means the Protocol (including the annex　thereto)　
relating　to
　　Convention which constitutes Attachment 2 to　the　Final　Act　
of　the
　　rnational Conference on Tanker Safety and Pollution Prevention　
signed
　　ondon on 17 February 1978, as modified by any international　
agreement
　　rred to in subsection　(2)　(b)　(iii);　"substance　other　
than　oil"
　　udes sewage and garbage of any kind.
　　The Governor in Council may make regulations--
　　relating to the prevention or control of pollution of the sea or
other
　　rs by oil, or any substance other than oil, from ships; and
　　for giving effect to--
　　the Convention;
　　the Protocol; and
　　) any other international agreement (whether　made　by　
resolution　or
　　rwise) which relates to the prevention or control of pollution
of　the
　　or other waters by oil, or any substance other than　oil,　from　
ships
　　which applies to Hong Kong, including any agreement which
modifies any
　　r such agreement.
　　Regulations made under this section may be expressed to apply--
　　to Hong Kong ships, wherever they may be; and
　　to other ships while they are within the waters of Hong Kong.
　　
　　Regulations made under this section may provide that the　
regulations,
　　ny provisions thereof, shall come into force on a　date　
specified　in
　　regulations which is earlier than the date on which the　
international
　　ement to which the regulations relate comes into force.
　　Without limiting the generality of subsection　(2),　
regulations　made
　　r this section may include provisions--
　　for the approval of　documents,　the　appointment　of　
surveyors,　the
　　ying out of　surveys　and　inspections　and　the　rendering　
of　other
　　ices for the purposes of the regulations,　whether　in　Hong　
Kong　or
　　where,　and　for　the　issue,　duration,　effect　and　
recognition　of
　　ificates for those purposes;
　　for the keeping, carriage and inspection of　record　books　and　
other
　　rds of operations involving oil, or any substance other than　oil,　
on
　　d ships;
　　for the　prohibition,　regulation　and　control　of　the　
loading　and
　　iage on board ships, and the unloading or discharge from ships,
of oil
　　ny substance other than oil and for procedures relating thereto;
　　for the design and construction of, and the equipment and fittings　
on
　　d, ships carrying oil or any substance other than oil;
　　for the compulsory reporting of incidents involving pollution　
or　the
　　at of pollution for the purpose of giving effect to Protocol I
　　visions concerning reports on incidents involving harmful　
substances)
　　he Convention;
　　for the payment of fees (whether prescribed under this Ordinance,　
the
　　hant Shipping Ordinance (Cap. 281) or otherwise)　in　respect　
of　any
　　ey, inspection, certificate, service or other matter provided　
for　by
　　regulations;
　　that contraventions of the regulations shall be offences
punishable by
　　lties not exceeding--
　　on conviction upon indictment, a fine of $5,000,000 and, in　the　
case
　　n individual, imprisonment for 2 years;
　　on summary conviction, a fine of $500,000;
　　that in the case of any such contravention an offence is committed
by-
　　the master and the owner of the ship concerned; and
　　where the contravention is due to the　act　or　omission　of　
another
　　on, that person;
　　for denying entry of any ship to the waters of Hong Kong in respect
of
　　h any such contravention is believed to have occurred;
　　for detaining any ship in respect of which any such　
contravention　is
　　eved to have occurred and for notifying the relevant consular
officer
　　any) of the detention and of any proceedings against the ship;
and
　　for the admission of prescribed or specified documents　and　
certified
　　es of documents as evidence in legal proceedings,
　　the regulations may--
　　make different provisions for different circumstances or　in　
relation
　　ifferent classes or descriptions of ships;
　　provide for exemptions from any　provisions　of　the　
regulations　in
　　ect of different classes or descriptions of ships;
　　) provide for the granting by the Director, on such terms (if any)　
as
　　ay specify, of exemptions from any provisions of　the　
regulations　in
　　ect of any ship, or　class　or　description　of　ships,　and　
for　the
　　ration or cancellation of any such exemption;
　　provide for the approval by　the　Director　of　equivalent　
fittings,
　　pment or procedures as alternatives to those prescribed;
　　provide　for　the　delegation　of　powers　exercisable　and　
functions
　　ormable by virtue of the regulations;
　　provide for the application of the regulations to the Crown; and
　　) include such incidental, supplemental and transitional
provisions as
　　ar to the Governor in Council to be expedient for the purposes
of　the
　　lations.
　　
　　Any fees prescribed under this Ordinance--
　　may be fixed at levels which provide for the recovery　of　
expenditure
　　rred or likely to be incurred by the Government or other authority　
in
　　tion generally to the administration, regulation and control　of　
Hong
　　ships and of ports, ships and navigation in the waters of Hong　
Kong,
　　shall not be limited by reference to the amount of　
administrative　or
　　r costs incurred or likely to be incurred　in　the　provision　
of　any
　　icular service, facility or matter; and
　　may, without prejudice to the generality of paragraph (a), be
fixed at
　　erent amounts in relation to different sizes of ship, whether
measured
　　onnage, length or otherwise, or　in　relation　to　different　
classes,
　　s or descriptions of service, facility or ship.
　　
　　enalty for taking detained ship to sea
　　Where a ship is authorized or ordered to be detained under
regulations
　　under this Part, and after such detention or　after　service　on　
the
　　er of any notice of or order for such detention, the ship proceeds　
or
　　mpts to proceed to sea before having　been　released　by　a　
competent
　　ority, the master of the ship commits an offence and is　liable　
to　a
　　of $500,000 and to imprisonment for 2 years;　and　if　the　
owner　or
　　t or any person who sends the ship to sea is party　or　privy　to　
the
　　nce he also commits an offence and is liable to the same
punishment.
　　Where a ship proceeds to sea in contravention of subsection (1)
whilst
　　ng on board a public officer who is acting in　the　execution　of　
his
　　, the master and owner of the ship--
　　in addition to any punishment　to　which　they　may　be　liable　
under
　　ection (1), both commit an offence against　this　subsection　
and　are
　　liable to imprisonment for 6 months and to a fine of $20,000　and　
an
　　tional fine of $1,000 for each day during the period from the date　
on
　　h the ship proceeded to sea　until　the　date　on　which　the　
officer
　　rns to Hong Kong or, if he does not　return　directly　to　Hong　
Kong,
　　d have returned if he had travelled by the quickest practicable
route;
　　
　　are jointly and severally liable to pay to the Government all
expenses
　　dental to the taking of the officer to sea and to securing his　
return
　　ong Kong.
　　Expenses referred to in subsection (2) (b) may be recovered as
if they
　　a fine imposed by a magistrate.
　PART III SHIPPING CASUALTIES INVOLVING A RISK OF POLLUTION
　　
　　pplication of Part III
　　Subject to subsections (2) and (3), this Part shall apply in　
relation
　　ll ships whether within or outside the waters of Hong Kong.
　　As respects a ship which--
　　is not a Hong Kong ship; and
　　is for the time being outside the waters of Hong Kong,
　　power conferred on the governor by section 6 (2)　to　give　
directions
　　only be exercised in relation to--
　　an　individual　who　is　a　British　citizen,　a　British　
Dependent
　　itories citizen, a British Overseas citizen or who under the Hong
Kong
　　tish Nationality) Order 1986 (App. III, p. EG1) is a British
National
　　rseas); or
　　a body corporate which is established under the laws　of　Hong　
Kong,
　　section 8 (2) shall apply to such　an　individual　or　body　
corporate
　　.
　　No direction under section 6 (2) shall apply　to　any　vessel　
of　Her
　　sty's navy or to any ship not forming part of Her Majesty's navy
which
　　ngs to Her Majesty or is held by any person on behalf of　or　for　
the
　　fit of the Crown in right of Her Majesty's Government　in　the　
United
　　dom or Her Majesty's Government in Hong Kong, and no action　shall　
be
　　n under section 6 (4) or (5) as respects any such vessel or ship.
　　
　　hipping casualties
　　The powers conferred by this section may be exercised where--
　　an accident has occurred to or in a ship; and
　　in the opinion of the Governor--
　　oil, or any substance other than oil, from the ship will or may　
cause
　　ution on a large scale in Hong Kong or in the waters of Hong Kong;
　　if the ship is one referred to　in　section　5　(2),　the　
danger　of
　　ution is grave and imminent; and
　　) the exercise of the powers conferred by　this　section　is　
urgently
　　ed.
　　For the purpose of preventing or reducing pollution, or　the　
risk　of
　　ution, the Governor may give directions as respects the　ship　or　
its
　　o--
　　to the owner of the ship, or to any person in possession or control
of
　　ship; or
　　to the master of the ship; or
　　to any salvor in possession of the ship, or to any person who　is　
the
　　ant or agent of any such salvor, and who is in charge of the　
relevant
　　age operation.
　　Directions under subsection (2) may require the person　to　whom　
they
　　given to take,　or　refrain　from　taking,　any　action　of　
any　kind
　　soever, and without limiting　the　generality　of　the　
foregoing　the
　　ctions may require--
　　that the ship is to be, or is not to be, moved--
　　to or from a specified place, area or locality;
　　over a specified route; or
　　that any oil or other cargo is to be, or is not　to　be,　unloaded　
or
　　harged; or
　　that specified salvage measures are to be, or are not to be, taken.
　　If in the opinion of the Governor the powers conferred by
subsection
　　are, or have proved to be, inadequate for the　purpose,　the　
Governor
　　for the purpose of preventing or reducing pollution, or the　risk　
of
　　ution, take, as respects the ship or its cargo, any action of any
kind
　　soever, and without limiting　the　generality　of　the　
foregoing　the
　　rnor may--
　　do anything he has power to require to be done by　a　direction　
under
　　ection (2);
　　cause operations to be undertaken for the sinking　or　
destruction　of
　　ship, or any part of it, of a kind which is not within　the　means　
of
　　person to whom he may give such a direction;
　　cause operations to be undertaken which involve taking over
control of
　　ship.
　　The powers of the Governor under subsection (4) may also be　
exercised
　　uch persons as may be authorized in that behalf by the Governor.
　　A person concerned in complying with directions given,　or　in　
action
　　n, under this section shall use his best endeavours to avoid　risk　
to
　　n life.
　　Nothing in this section shall derogate from or　affect　any　
right　or
　　r of the Government existing apart from　this　section　whether　
under
　　rnational law or otherwise.
　　
　　Any action taken as respects a　ship　which　is　under　arrest　
or　as
　　ects the cargo of such a ship, being action taken　under　a　
direction
　　n under subsection (2), or under subsection (4) or (5)--
　　does not constitute contempt of court; and
　　shall not constitute a ground or cause of action in legal　
proceedings
　　ituted against the Government.
　　In this section--
　　ident" includes the loss, stranding, abandonment of　or　damage　
to　a
　　; "any substance other than oil" means--
　　any substance specified in an order made under subsection (10);
and
　　any other substance which is　liable　to　create　a　hazard　to　
human
　　th, to harm living resources and marine life, to damage　
amenities　or
　　nterfere with other legitimate uses of the sea;
　　cified", in relation　to　a　direction　under　subsection　(2),　
means
　　ified in the direction.
　　The Governor may, by order published　in　the　Gazette,　
specify　any
　　tance for the purposes of the definition of "any substance other　
than
　　in subsection (9).
　　
　　irections; right to recover in respect of unreasonable loss or
damage
　　If any action taken under a direction under section 6　(2),　or　
under
　　ion 6 (4) or (5)--
　　was not reasonably necessary to prevent or reduce pollution or,
as may
　　ppropriate, the risk of pollution; or
　　was　such　that　the　good　it　did　or　was　 likely　 to　
do　 was
　　roportionately less than the expense incurred, or damage suffered,　
as
　　sult of the action,
　　rson incurring expense or suffering damage as a result of the　
action,
　　f himself having taken the action, shall　be　entitled　to　
claim　and
　　ver compensation from the Government.
　　In determining whether subsection (1) applies in　a　particular　
case,
　　unt shall be taken of--
　　the extent and risk of pollution if the action had not been taken;
　　the likelihood of the action being effective; and
　　the extent of the damage which has been caused by the action.
　　Any reference in this section to the taking of any action　
includes　a
　　rence to a compliance with a direction　not　to　take　some　
specified
　　on.
　　ffences in relation to section 6
　　A person to whom a direction is given under section 6 (2) who fails
to
　　ly with any requirement of the direction, commits an offence.
　　A person who wilfully obstructs any person who is--
　　acting on behalf of the Governor in　connection　with　the　
giving　or
　　ice of a direction under section 6 (2);
　　acting in compliance with such a direction; or
　　acting under subsection (4) or (5) of that section,
　　its an offence.
　　In proceedings for an offence under subsection　(1),　it　shall　
be　a
　　nce for the accused to prove that--
　　he used all due diligence to secure compliance with the direction;
or
　　he had reasonable cause for believing that such compliance would　
have
　　lved a serious risk to human life.
　　A person who commits an offence under this section is liable-
-
　　on conviction upon indictment, to a fine of $5,000,000;
　　on summary conviction, to a fine of $500,000.
　　ervice of directions under section 6
　　If the Governor is satisfied that a company or other body
corporate is
　　one to which section 338 or 356 of the Companies Ordinance　(Cap.　
32)
　　ies so as to authorize the service of a direction on that　body　
under
　　er of those sections, he may give a direction under section 6 (2)--
　　to that body, as the owner of, or the person in possession or　
control
　　a ship, by serving the direction on the master of the ship; or
　　to that body, as a salvor, by serving the direction on the　person　
in
　　ge of the salvage operations.
　　For the purpose of giving or serving a direction under section　
6　(2)
　　r on any person on a ship, a person acting on behalf of　the　
Governor
　　l have the right to go on board the ship.
　　
　　Enforcement of fines
　　e a fine imposed in proceedings against the owner or master of
a　ship
　　an offence under this Part is not paid at　the　time　ordered　by　

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论不完全履行归责事由举证责任

【内容提要】众所周知，自1902年德国人Staub（史韬布）发现债务不完全履行理论以来，其一直是现代民法理论中一个颇受争议的问题。围绕不完全履行理论争议之处颇多，从而也促进了现代民法的发展。与我国而言，虽无不完全履行理论见诸于律法之上，然亦有研究之必要，可资立法、司法之参考。本文所探讨的是债务不完全履行中归责事由的举证责任的问题，关于不完全履行归责事由的举证责任问题，历来学者研究较少。然举证责任作为现代民事诉讼中的脊梁，对其研究有助于全面认识不完全履行之理论。因此，笔者试图从不完全履行体系本身着手，并结合民法体系构建和我国当代社会发展的现实，对不完全履行归责事由的举证责任进行合理分配，务使当事人的举证责任更加符合理论和实际的需要。

【关键词】 不完全履行 举证责任 瑕疵履行 加害给付



一、不完全履行
（一） 不完全履行的概念

债的不完全履行，又称之为履行不当，或不完全给付。它同履行（给付）不能，履行（给付）迟延一样同属于债务不履行之一种形态 。所谓不完全履行，谓债务人虽以为完全给付之意思为给付，而未符合债务本旨之给付 。意指债务人自认为自己是按完全履行之意思来为给付，然实际上该给付并不符债务的本旨，从而对债权人的利益造成了一定的损害。不完全履行，虽说是履行的不完全，但其毕竟做出了债务履行的行为，是一种近乎于履行的状态。从债务不履行这一词的词面上意思观之，会发现不完全履行似非属债务不履行之范畴 。理论上言之，债务不履行只存在履行不能和履行延迟两种状态中，但为了研究和实务的需要，大多数国家立法亦或学说著作中都将不完全履行纳入债务不履行之框架内，在此需要注意下。
不完全履行，前身是“积极侵害契约”，它是由德国人Staub(史韬布)在1902年德国法学会的纪念文集上发表的一篇论文 “论积极侵害契约及其法律效果”而得名的。Staub针对德国民法实施后实务中遇到的问题（德国民法1901年颁布施行），譬如a.出卖人将其所制造含有易爆成份之照明设备交付给买受人时，并没有告知其应当注意事项，致买受人在使用该照明设备时发生爆炸，造成重大损害；b店员因过失，以低于进货的价格出售商品；c出卖人交付腐败的苹果，致买受人其他苹果受到传染，发生重大损害等等计有14个案例来说明虽然德国民法在债务不履行中对履行不能及履行迟延虽设有详细规定，但其所提出的这些既不属于履行不能，也不构成履行迟延，德国民法对此并没有规定，是法律上的一个漏洞 。所以Staub氏认为，德国民法对于积极侵害契约之案例既未设规定，侵权行为法之规定又未尽周全，而这些案例中，债务人应负损害赔偿责任却是很明显的，因此应类推适用给付迟延之规定，使债权人就其所受之损害，得请求损害赔偿。对于持续性履行的契约，如果契约无法达到其目的，可以解除契约。当时也有学者质疑Staub,认为可以使用侵权行为的理念来调整，但Staub认为侵权行为之成立，原则上须以权利（尤其是绝对权）受侵害为前提要件，单纯的义务之违反，并不构成侵权行为。不论Staub的解释是否合理，但至少Staub的理论开启了不完全履行理论研究的先河。此后学者对于不完全履行的问题进行了深入的研究。Enneccerus认为这种债务不履行，不应当仅仅限于因契约而生的债务，单独行为以及依法律规定而生的债务也同样适用，故改“积极的债权的侵害”较妥。Zitelmann认为，不作为亦可构成此种债务不履行之责任，例如机器之出卖人未告知特殊之使用方法，致发生损害，即其所举出的著名例子，“积极”一词，不无语病，故改称为不良给付 。惟一般言之，德国学者通说承认及采取Staub氏的基本理论，称之为“积极侵害债权”，我国台湾地区则称为不完全给付。对于Staub的发现，德国权威民法学者Larenz教授对此项理论之发展，曾有如下之结论：“现行民法有漏洞存在，确属事实。Staub于1902年即已发现，并提出填补此项漏洞的方法，即类推适用关于迟延的规定。事实上，所应适用者，非仅此而已。我们应由给付迟延及给付不能之规定，导出一项法律基本原则，认为债务人因有可归责之事由违反债之关系上之义务无论其为给付迟延，给付不能或不良给付致债权人于其人身或其他权益遭受损害，应当承担损害赔偿责任。此项原则，为判例所长期认可和明确承认，并且符合国民的法律意识，已经具有了习惯法的效力 。”

（二）不完全履行的分类

不完全履行的分类 是不完全履行理论当中相当关键的一环，所谓债务之不履行，自当有义务之违反，那么不完全履行违反了何种义务？从债之关系义务群来看不完全履行的分类，存在于违反主给付义务和从给付义务中。而对于附随义务的违反 ，德国法中一直认为积极侵害债权理论中包含不良给付和附随义务的违反，而且在实务当中，又以附随义务的违反比较普遍。我国台湾地区的民法理论由于立法对于附随义务是否属于不完全履行没做规定，所以尚存在争论。不过学者大多主张附随义务的违反可构成不完全履行。如史尚宽先生将因附随义务的违反而构成的给付不完全纳入到加害给付中，其侧重于附随义务对于履行利益以外的利益所受到的损害。）王泽鉴先生虽主张慎重对待，但亦支持附随义务的违反可构成不完全给付。“盖债之关系（尤其是契约关系）系一种信赖关系，当事人依诚实信用原则，负有某种作为及不作为之义务。一方面在于使债权人之利益能够圆满实现，另一方面在于避免因债之履行致他方当事人之人身或其他财产法益遭受损害 。”
我国民法理论的论著，教科书中，亦认可附随义务的违反可构成不完全履行。王利明先生谓：“从严格意义上讲，债务人履行时，未尽到其依据诚实信用的原则，所产生的附随义务（如未尽到瑕疵告知的义务，保护协作忠实的义务等等）也表明债务人未能全面履行其应尽的义务，因此是一种不合格的履行 。”笔者同意上述几位法学家们的观点，但是关于附随义务的违反在分类上应归为瑕疵给付还是加害给付，亦或兼而有之，尚不得知。
关于不完全履行的分类，笔者列出了表格，以资参考：

不完全履行


种类 分类的名称 例如
主给付义务 履行利益本身受到侵害 瑕疵给付 甲所交付的马血统证明书具有瑕疵，难为必要的证明，致乙不能将其参加比赛或者是售出
从给付义务 履行利益以外的利益受到侵害 加害给付 甲出卖给乙的马匹患有传染疾病，致使乙农场其他马匹染病死亡
附随义务 履行利益本身或者以外的利益受到侵害 加害给付？？？ 出卖人未告知机器之使用方法，机器本身价值或效用之减少；机器爆破时，债权人人身财产所受之损害


史尚宽先生认为附随义务的违反构成了加害给付，从史尚宽先生的文中所举出的“书籍返还人未告贷于人以其书曾经患猩红热病者之手”和“机器之出卖人误告买受人使用方法，致发生爆裂并对于买受人之财产或身体与以损害或者伤害”例子可知 。（此处财产从意思上看并不包括机器本身，而是除此之外的财产），但史尚宽先生似乎仅仅针对保护义务，即避免侵害履行利益以外的人身和财产利益的义务而谈的。而附随义务中还有一些是辅助权利人实现之义务，例如照顾，忠实，协作，告知等义务，对此应当归于何类？史尚宽先生没有提及。钱国成先生倒是认为违反附随义务之情形（仅违反告制义务最常见），其亦构成瑕疵给付 。那么违反瑕疵义务是构成加害给付呢？还是瑕疵履行？亦或兼而有之？笔者认为，违反附随义务中的保护义务可构成加害给付，如是不假。而辅助权利人实现的义务是帮助债权人，使其履行利益得以实现，在这过程中既可能使履行利益本身受到侵害，也有可能会造成履行利益以外的利益受到侵害，因而，如何将其归类，尚不能得出准确之结论。然而不管怎样，不完全履行与损害效果观之，究系有瑕疵履行和加害给付这两种形态，与本文研究之问题无碍，在此不做探讨。

二、举证责任
（一） 举证责任

民事诉讼之举证责任是民事诉讼中的核心问题，其在民事诉讼法中占据着举足轻重的地位。民事诉讼的举证责任内涵具有双重涵义 ，即行为意义上的证明责任 和结果意义上的证明责任，前者指当事人对所主张的事实负有提供证据证明的责任，后者指在事实处于真伪不明状态时，主张该事实的当事人所承担的不利诉讼结果，这种不利的诉讼结果，既表现为实体法上的权利主张得不到人民法院的确认和保护，又通常表现为因败诉而负担的诉讼费用 。实际上，行为责任与结果责任在证明责任中地位并不相同，只有结果责任才能真正反映证明责任的本质，而行为责任依附于结果责任 。举证责任问题的重点在于结果意义上的举证责任问题，因为其将决定谁将承担因无法举证而产生的不利的诉讼后果，其意义是不不言而喻的。
众所周知不完全履行理论之于民法体系中出现的时间最晚，而且一经出现就饱受争议，因此，历来学者对于不完全履行之理论研究著述颇丰，从不同角度对于不完全履行的意义，种类，构成，效力及后果等进行了颇为详尽的分析，其论述都是相当有见地，令人如沐春风，受益匪浅。但是针对不完全履行的举证责任问题，不知为何，学者们却鲜有研究。在所有涉及于不完全履行的著述中对于举证责任总是一笔代过，甚至不做讨论。然而，现代社会因民事争端引起的民事诉讼，其诉讼过程中举证责任的承担是相当重要的，尤其是谁负有举证责任，就应当由其对主张之事实提供证据并予以证明，若诉讼终了时根据全案证据仍然不能判明当事人主张的事实真伪，则由当事人承担不利的诉讼后果。
举证责任之分配，学说甚多。近代以来以罗森贝克之“法律要件分类说”成为通说。认为凡主张权利存在的当事人，应就权利发生法律要件存在的事实予以举证；凡否定权利存在的当事人，应就权利妨害法律要件，或者权利消灭法律要件，亦或权利制约法律要件的存在事实负有举证责任 。就不完全给付而言，需明确一点，不完全给付状态之确定的举证责任，理应由债权人负举证责任 。否则则无诉讼之必要，这也是学界通说。而归责事由之举证责任，正系本文所论之内容。

（二） 我国的举证责任

就我国的举证责任来看，举证责任的分配规则仍不完备，现行《民事诉讼法》第64条第1款虽然对举证责任做了一般性的规定，然而其规定的是一种行为意义上的举证责任，并不包含结果意义上的举证责任。而且它无法解决双方当事人所主张的事实处于真伪不明的情况下，由何方当事人来承担不利诉讼后果的问题 。由于其在实践中缺乏可操作性，理论上缺乏逻辑性，不能经受理论和实践的检验，故无法对举证责任问题提供一般性准则。虽然最高人民法院《关于民事诉讼证据的若干规定》第2条第1款对其有所改进，但仍存在着不足，最为明显之处在于不能使双方当事人之间的举证责任达到平衡，诉讼双方的地位严重不平等，从而背离了诉讼中程序公正的要求。举证责任分配应当以形式标准为主，实质标准为辅。其中形式标准主要包括法律规定、司法解释、证明责任契约、法律要件分类。实质标准则是法官根据具体案情对举证责任的分配进行具体的自由裁量 。不完全履行的举证责任，也应当以此为基准，确定举证责任之问题。笔者认为，必须加强我国有关举证责任理论研究的力度，务求合理的分配举证责任之问题，这也是本文之目的所在。

三、不完全履行的举证责任

（一） 举证责任分配的诸家学说

关于不完全履行的举证责任，德国民法第363条规定：“债权人对于为履行而提出之给付，以其为履行而受领者，如以之为异于债务人所负担之给付或为不完全，而欲不认其给付为履行时，应付举证之责。”看来德国法中对于不完全履行的举证责任认定上，偏向债务人。债权人对于债务人所负担之不完全应该负举证责任。我国台湾地区的民法中对于不完全履行的举证责任没有规定，有几位学者对此有过一定的论述，史尚宽先生的观点同德国法的意思是一致的，认为“给付之完全，应由债务人证明。否则债权人得拒绝受领，如欲不认其为履行，则应负证明其不完全之责任 。”同时，史尚宽先生又谓，不完全给付与侵权行为之损害赔偿责任竞合时，债权人得以任意行使其一。“但为侵权行为损害赔偿之请求。债权人应证明债务人之为故意或过失或其他可归责债权人之事由。反之，基于债务不履行之不完全给付，损害赔偿请求则债权人无此举证责任。债务人需证明其非可归责于己始可免责 。”在史尚宽先生看来，不完全履行的举证责任，由于债务人已履行其交付义务，债权人受领给付，说明债权人对此是满意的，尔后出现了履行不完全，自然应当由债权人承担举证责任。但当其于侵权责任产生竞合时，方采债务人就不可归责之事由负举证责任。郑玉波先生，认为“今日工商社会，大量生产，大量消费，不完全给付尤其是加害给付，往往与消费者保护之问题有关，应否采无过失责任，或采举证责任转换之方式，以维护消费者之利益，值得研究。从中可以看出郑玉波先生立论的是根据是现代社会生产工作生活等各项活动的特点，具有很强的现实适用性和针对性。王泽鉴先生，其观点基本上与郑玉波先生相似，但其认为在立法政策上，似有商榷之余地，盖契约之种类繁多，性质有别，均采无过失主义，不免失其轻重，惟就现行法解释而言，使债务人就不可归责之事由负举证责任（举证责任之倒换），可资采取。换句话说，王泽鉴先生认为采无过失责任太过绝对化，而采举证责任之倒换，似较妥。他的理由有二点（1）判例学者之一致见解 ，不完全给付为债务不履行之一种，原则上应采统一解释 （2）债务人所为之给付,何以不完全,债权人不易明了,损害事实原因多在债务人控制领域内,要债务人就不可归责之事由付举证责任,承担不能举证之不利益,实合乎公平正义之原则 。由上我们可以看出，关于不完全履行的举证责任，学者们的观点并不是一致的，史尚宽同意德国民法，认为应当由债权人来承担举证责任，其于侵权责任产生竞合时，方采债务人就不可归责之事由负举证责任。而郑玉波和王泽鉴先生则认为应当由债务人承担举证责任，虽然程度有异。那么究竟应采何种说法为宜？
瞥开二者对错先不谈，根据刚才分析得出的结论，即不完全履行可大致分成加害给付和瑕疵履行两类，笔者将分别论述其举证责任。做此安排的依据或是，不完全履行同民法其他理论往往能交叉适用，具体的说加害给付往往和侵权行为，产品质量责任产生竟合；而瑕疵履行对应的是瑕疵担保责任这一法律制度。故而应当对此予以分类讨论，找出问题，解决问题。

（二）加害给付