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王竹、苏洁澈:《英国2006赔偿法案》简介、短评及节译(附英文法条全文)
   2009/11/4 3:33:00

王竹、苏洁澈[1]


2006725日,英国颁布了Compensation Act,根据该法第18条“法律简称”的规定,该法被引用时应称作《2006年损害赔偿法案》(This Act may be cited as the Compensation Act 2006.)。鉴于国内学术界对该法案似乎尚未进行全面研究,我们特将该法案的实体法部分节译出来,并对该法的立法背景作简单的介绍和对我国《侵权责任法》起草可能的启示作短评。笔者尽期能够为《侵权责任法》起草尽绵薄之力,但才疏学浅,留学期间时间和精力也有限,错误难免,敬请同仁批评指正。


一、《英国2006赔偿法案》简介


(一)立法背景介绍


根据我们了解到的情况,该赔偿法案在起草阶段并不包括第3条:“间皮瘤:损害赔偿”(3. Mesothelioma: damages),是在通过阶段增加的。该法的起草具有双重目的:一方面,将Tomlinson v Congleton Borough Council [2003] UKHL 43; [2003] 3 W.L.R. 705 中所体现的重要判决制定为法律。另一方面是为索赔管理业提供长期运行的框架。增加第3条的背景是:英国曾出现众多的因接触石棉而患上间皮瘤病的患者。此类患者经常接触石棉,当前科学条件下,却难以根据患者在不同期间所接触石棉的时间长度,来确定雇主或保险人的责任分担。第三条通过之前,Tomlinson v Congleton Borough Council 对类似责任分担做了论述。确立了雇主的严格责任。该法案得到了公众的支持,但是随后Barker的判决却极大了干扰了立法进程。公众和国会对该案可能对大量因接触石棉而导致间皮瘤患者造成的法律后果比较担心。因此议会做出迅速反应。为了能够让已经受Barker v Corus影响的受害人(间皮瘤患者)得到更好的救济赋予该法案追溯力。


因此,该法案实际解决了三个方面的问题:第一,注意标准(standard of care)的成文化。第二,相关“间皮瘤案”的责任分担 (apportion of liability) 。第三,建立索赔管理工业的规定 (regulation of compensation management industry)


(二)相关案例介绍


与本法案较为相关的英国案例包括:


1Tomlinson v Congleton Borough Council


该案中,原告Tomlinson不顾社区委员会“禁止游泳”的告示,跳入河,而导致身体损害,因此对社区委员会提起诉讼,要求损害赔偿。Lord Hoffman 把这类案子总结为一个问题:是否个人应当为其选择的风险承担责任。Lord Hoffman认为:“如果某人能自由选择进行某项危险活动,则土地的占有者(Occupier)并没有义务采取措施防止他人在其土地上实施危险行为。只有在缺乏真实和充分的信息;或者存在雇佣关系;或者由于他人缺乏能力的情况下,土地占有者才有义务阻止明显的危险或者自我加害的行为。该判决对顾主施加了更为严格的注意义务,则意味着类似间皮瘤案中,雇主的法定预防义务。


2Fairfield v Glenhaven Funeral Services LtdBarker v Corus


这是一个因接触石棉而患间皮瘤的案例。受害人Fairfield曾经受雇于多个雇主,但是受害人却无法证明何时接触石棉而实质性的让其患上间皮瘤。法院认为:只要间皮瘤产生的实质性风险存在,就足以让被告承担责任。这成为举证因果关系的例外原则。实质上,这个判决使每个被告承担共同连带责任。


但是在随后Barker v Corus, 法院对Fairfield案中所确立的责任承担原则进行了限制。法院认为应该根据产生的实质风险对每个被告的责任进行区分,即这种责任应该是共同的,而非连带。该案中,Lord Hoffman认为,不法行为人不应该逃避责任,但是其不应当承担超出其责任范围的那部分。责任规则不应当根据概率来确定。因此该判决可能导致以下结果:如果患者在不同雇佣期间都接触过石棉,如果某个保险人或者雇主破产,则患者无法得到足够的赔偿。


Barker 案中所体现的责任承担方式使得国会和舆论哗然:某议员认为:“如果5个人手中5把枪同时开火,其中一颗子弹射中了被害人的心脏,没有人知道是哪把枪射中了被害人,根据Barker的决定,没有人可以被定罪。但是,事实上每个人都应该被定罪”。因此,制定第三条推翻Barker案所确立的原则。该条中,某人由于过失或者违背法定职责,导致或者允许另外一个人接触石棉,该人由于接触石棉而染上间皮瘤。尽管由于当前科技条件无法确定因为哪次石棉而导致间皮瘤。这时,责任人应当承担责任。


(三)关于英国索赔管理工业的简介


长期以来,英国索赔管理工业实行行业间自我控制,但是这种效果并不好。随着风险诉讼的引入,索赔管理工业在实践运行中极为不合理。索赔管理公司运行完全出于自身商业考虑而忽视社会影响:


大量索赔管理公司为了其公司业绩,误导受害人。进行虚假广告;不告诉受害人存在其他解决方式。并且鼓励受害人进行微不足道的诉讼。这严重导致了社会资源的浪费,同时在媒体的渲染下,英国形成了过度索赔的文化。


2004年,为了抑制这种过度索赔的文化,政府申明:“政府强烈反对损害即有救济的观念,这将严重扭曲社会资源配置”。政府部门认为:有效的索赔管理监管能够防止索赔管理公司、法律职业者鼓励索赔诉讼。因此该赔偿法在第2部分对索赔管理工业进行规制。


二、对中国《侵权责任法》起草的若干启示


笔者关注这一法律的原因在于,该法前三条对于正在起草中的中国《侵权责任法》具有较高的参考价值,短评如下:


(一)关于“注意标准”


1条“对潜在责任的威慑效果”是该法第一部分:“注意标准”的主体。如果不是笔者看到该法条,很难想象以普通法为主体的英国侵权法,会颁布一部成文法,用专门的条文对英国侵权法的核心内容“注意义务”进行说明。在英国侵权法上,过错的判断标准就是所谓的注意义务(duty of care),如果违反该了注意义务就被证明有过失(negligent),再加上因果关系和损害要件,就构成了侵权责任。从这一侵权责任构成的逻辑结构来看,如何确定注意义务实际上就决定了如何确定过失,因此注意义务的标准就显得尤为重要。第1条前段的规定,首先明确了过失(negligence)与违反法定义务(breach of statutory duty)在责任构成上的同等地位,即对法定侵权类型进行了明文化。第1条中段对被告采取特定措施达到注意标准的积极义务做出了规定,并以此作为构成过失或者违反法定义务的判断标准。第1条后段引导(a)款和(b)款确定了两种不同判断标准。(a)款规定“在一定范围内或者一定情形下完全阻止某一意欲行为(desirable activity)”,(b)款则进一步将这种预防的义务扩展到“阻碍行为人从事与该意欲行为相关的活动”,实际上(b)款提高了被告的注意义务。该法第1条的规定,实际上将侵权法上的善良家父(bonus pater familias)注意义务标准在一定程度上拔高到了预防损害的程度,实质上提高了侵权法的预防功能,将有力的促使行为人在行为时提高注意义务,预防损害发生,甚至预防与导致损害发生有关的行为。但这样的提高是否符合我国社会的立法背景,笔者并不肯定。该法为《侵权责任法》起草中过错标准的设定,乃至司法实践中判断过错的标准,提供了一条新的思路。


该法第2条是对“道歉、提供治疗或者其他补救措施”的规定,条文本身非常简单:“道歉、提供治疗或者其他补救措施本身不能视为对过失或者违反法定义务的承认”,但在笔者看来,在整个比较法上,该条文的意义都十分重大。孟子有云“恻隐之心,人皆有之”。在损害发生之后,无论加害人是否有过错,只要其行为与受害人的损害有因果关系的,均有愧疚之心,故道歉实属人之常情。而从人道主义出发,及时将伤者送到医院救治,甚至为其垫付医疗费用,也完全是从受害人的利益出发作出的善举。其他补救性措施,如帮助联系家人或者单位、向公共机关报告等,都是为了最大限度减少损失,尽快解决纠纷。但现实中我们看到的,却是纠纷双方的严重对立与尽量避免接触,因为有一种恶意推定心理在作怪。即认为,如果没有过错,加害人是不可能道歉、提供治疗或者其他补救措施的。换言之,进一步认为,加害人的“道歉、提供治疗或者其他补救措施”,就可以在诉讼中作为证据适用。那么,相应的,加害人为了避免自己因此自己承认有过错,就不可能从人性出发,“道歉、提供治疗或者其他补救措施”。最后实际上受害的,是内心没有得到一丝抚慰、没有得到及时救治、家属或者单位未能及时得到消息的受害人,而整个社会的人性关怀也就此因为“莫须有”的“证据规则”而彻底被遗忘,这大概也是我们法治化进程中可以避免但已经付出的代价之一吧。该法的立法技术相当精湛,通过规定“补救措施本身不能视为(shall not of itself amount to)对过失或者违反法定义务的承认”,一方面否定了过错的推定,但另一方面也不否认这种可能性的存在,极其恰当的给人性化的补救措施,提供了法律和道德空间,值得我国《侵权责任法》起草过程中借鉴,同时对于司法实践中对此类补救措施性质的判断,也有积极参考价值。


(二)关于“间皮瘤案”的责任分担


从本法的结构和其他条文的内容上,很容易看出第3 条“间皮瘤:损害赔偿”的不协调性。该条并非关于注意标准的规定,却被放在第一部分注意标准;而在内容上,与其他条文并不相关,显得突兀;更为重要的是较为庞大篇幅,在第一部分框架下显得反客为主。尽管笔者对于该条文位置的安排颇有微辞,但对该条文的精细结构却赞叹不已。该条分11款,其中第15款为侵权法内容,本评论也仅针对这5款。


1款规定本条的适用范围,分四项,实际上是对因石棉侵害导致间皮瘤的责任构成规定。(a)项规定过失或者违反法定义务,(b)项规定受害人的间皮瘤是由石棉侵害引起的,(c)项确定了一项科学水平原则,即认为以现代医学发展水平还无法确定是(a)项责任人的过错行为还是其他石棉侵害与(b)项受害人的间皮瘤之间的因果关系,并且转承(d)项。(d)项与(c)项之间是并存关系,即尽管无法确定(a)项的责任人的过错行为导致了受害人损害,但可以确定该过错行为与受害人的病患相关。这种相关性包括但不仅限于提高患病风险。综合这四款说明可以看出,本条适用于损害不可分,致害人部分明确或明确,但致害份额不明的情形,属于侵权责任分担的疑难问题。


2款是对责任的规定。(a)项是关于责任构成的规定,责任人要对受害人因为间皮瘤导致的所有损失负责,并且通过两项对抗辩事由进行了限制,(i)子项是对第三人责任的限制,(ii)子项是对责任人自己无责抗辩的限制。即只要符合第1款的规定的情形,所谓的“责任人”就要对受害人因石棉受到的侵害负责。这不但是因果关系的推定,而且不允许责任人通过证明第三人责任或者自己无责任而免除该推定,实际上是一种极其严格的绝对责任(strict liability),这在现代侵权法上,仅见于核工业和航空、航天业等极端危险行业。(b)项是关于侵权责任形态的规定,对所有符合(a)项绝对责任推定的责任人再苛加连带责任。通过(a)项和(b)项的联合规定,就将所有符合第1款情形的所谓“责任人”联合成一个大的赔偿金池(pool),确保受害人的完全受偿。


3款是对追偿权和受害人过错的规定。在苛加责任人绝对责任与连带责任的同时,也网开一面,允许责任人向其他责任人追偿和主张受害人过错,这是英美侵权法在侵权责任分担领域优势的体现。(a)项的追偿权将第2款(b)项与第4款联系起来,而(b)项则将第2款(a)项与英国普通法上的受害人过错制度联系起来。众所周知,1945年英国颁布了《法律改革(助成过失)法令》(Law Reform (Contributory Negligence) Act),将1911年《海事公约法令》的比较过失规则适用范围扩展到了整个侵权法,确立了现代意义上的比较过失制度。受害人有过失时,并非全免赔偿义务人的责任,而是依据具体情形酌减。这是一个在责任人与受害人之间就损害赔偿总额的责任分担条款。从结构上看,第3款是一个侵权责任分担条款。


在第2款(b)项规定责任人的连带责任和第3款(a)项规定追偿权的基础上,第4款是最终责任确定条款,并以此作为追偿范围确定的标准。该条实现确定了“相对时间长度”标准,这是一种“致害风险标准”,即认为各个责任人对造成损害的原因力应该大致相当于其造成损害的风险,而该风险比例又大致相当于每个人导致受害人被石棉侵害的时间。该标准在理论上的精湛程度简直可以和1980年美国加州最高法院在Sindell v. Abbott Labs.一案中确立的市场份额责任媲美。更为巧妙的是,立法者还规定了两种例外情况:(a)项允许责任人之间基于其他依据达成责任分担范围共识,这实际上是允许涉及使用石棉的行业内部机制的运作;(b)项则允许在特定案件情形下法院通过其他更为合理的方式确定责任分担的比例,例如综合考虑石棉的不同种类、含量、受侵害的环境等因素。这两项例外情况的规定与美国侵权法上关于环境污染的责任分担理论有异曲同工之妙,可谓大规模侵权领域责任分担领域的一个新的理论亮点,尤其值得我国《侵权责任法》和其他特别法相关法条制定过程中在相关特殊侵权责任领域予以借鉴。


5款是关于损害预防的规定,与本法第1条的预防义务遥相呼应,进一步提高了第3条第1款(a)项的注意义务标准,并扩大了本条的适用范围。某种意义上将,是本法第1条在第3条中的具体体现,也是本条看似与本部分内容相关的唯一一款。


总体来讲,第3条对英国因石棉侵害导致间皮瘤损害的大规模侵权诉讼的影响,将不会低于当年美国加州最高法院对于Sindell案的判决。但由于采用成文法的立法方式,能够较为统一在英国全国对该类诉讼进行有效的规范,也不失为正视该类诉讼,积极解决的良策。其具体实施效果,还拭目以待。但从比较法上来看,该条规定精湛的展示了现代侵权法理论的新增长点——侵权责任分担机制在大规模侵权中的受害人保护和风险分配作用,也标志着英国侵权法在该领域改变了长期以来的保守态度,体现出与美国法学会《侵权法重述·第三次·责任分担编》和美国统一州法委员会《统一侵权责任分担法》相同的发展方向与同步趋势,使得侵权责任分担理论在整个英美法体系中得到了全面的发展。


三、UK Compensation Act 2006参考节译


CONTENTS


Part 1 Standard of care


第一部分:注意标准


1. Deterrent effect of potential liability


1、对潜在责任的威慑影响


2. Apologies, offers of treatment or other redress


2、道歉、提供治疗或者其他补救措施


3. Mesothelioma: damages


3、间皮瘤:损害赔偿


Part 2 Claims Management Services


第二部分:索赔管理服务


4. Provision of regulated claims management services


4、关于被调整的索赔管理服务的规定


5. The Regulator


5、管理者


6. Exemptions


6、豁免


7. Enforcement: offence


7、强制执行:违法


8. Enforcement: the Regulator


8、强制执行:管理者


9. Regulations


9、管理规定


10. Obstructing the Regulator


10、阻碍管理者


11. Pretending to be authorised, &c.


11、虚假授权


12. The Claims Management Services Tribunal


12、索赔管理服务审理委员会


13. Appeals and references to Tribunal


13、向审理委员会申诉和提交仲裁


14. Interpretation


15、术语释义


15. Orders and regulations


15、命令和规定


Part 3 General


第三部分:通则


16. Commencement


16、生效日期


17. Extent


17、适用范围


18. Short title


18、法律简称


This Act may be cited as the Compensation Act 2006.


本法引用时应称作《2006年损害赔偿法案》。


Schedule --Claims Management Regulations


进度——索赔管理规定


 


 


An Act to specify certain factors that may be taken into account by a court determining a claim in negligence or breach of statutory duty; to make provision about damages for mesothelioma; and to make provision for the regulation of claims management services.


本法明确了法院在确定一项基于过失或者违法法定义务的损害赔偿请求时可以纳入考量的特定要素;对间皮瘤相关的损害赔偿进行了规定;对索赔(赔偿)管理服务进行规定。


[25th July 2006]


2006725


Be it enacted by the Queen’s most Excellent Majesty, by and with the advice and consent of the Lords Spiritual and Temporal, and Commons, in this present Parliament assembled, and by the authority of the same, as follows:—


根据女王最高权威许可,得到上议院神职议员和世俗议员以及下议院的建议和同意,在本届国会得到通过并根据上述权力,颁布如下:


Part 1 Standard of care


第一部分:注意标准


1 Deterrent effect of potential liability


1、对潜在责任的威慑效果


A court considering a claim in negligence or breach of statutory duty may, in determining whether the defendant should have taken particular steps to meet a standard of care (whether by taking precautions against a risk or otherwise), have regard to whether a requirement to take those steps might—


法院在考虑一项基于过失或者违法法定义务的损害赔偿请求时,在决定被告是否应该采取特定措施达到注意标准时(不论是针对危险而采取预防措施或者其他措施),应该注意到采取措施的要求是否能够:


(a) prevent a desirable activity from being undertaken at all, to a particular extent or in a particular way, or


a)在一定范围内或者一定情形下完全阻止某一意欲行为,或


(b) discourage persons from undertaking functions in connection with a desirable activity.


b)阻碍行为人从事与该意欲行为相关的活动。


2 Apologies, offers of treatment or other redress


2、道歉、提供治疗或者其他补救措施


An apology, an offer of treatment or other redress, shall not of itself amount to an admission of negligence or breach of statutory duty.


道歉、提供治疗或者其他补救措施本身不能视为对过失或者违反法定义务的承认。


3 Mesothelioma: damages


3、间皮瘤:损害赔偿


(1) This section applies where—


1)本条适用于当:


(a) a person (“the responsible person”) has negligently or in breach of statutory duty caused or permitted another person (“the victim”) to be exposed to asbestos,


a)某人(“责任人”)因过失或者违反法定义务导致或者容许他人(“受害人”)受到石棉侵害,


(b) the victim has contracted mesothelioma as a result of exposure to asbestos,


b)受害人因受到石棉侵害而患间皮瘤,


(c) because of the nature of mesothelioma and the state of medical science, it is not possible to determine with certainty whether it was the exposure mentioned in paragraph (a) or another exposure which caused the victim to become ill, and


c)鉴于间皮瘤的性质和医学发展水平的限制,不可能确定是否由于(a)款提到或者其他石棉侵害导致患病,并且


(d) the responsible person is liable in tort, by virtue of the exposure mentioned in paragraph (a), in connection with damage caused to the victim by the disease (whether by reason of having materially increased a risk or for any other reason).


d)责任人由于(a)款提到的石棉侵害而承担侵权责任,与该病患导致的受害人损失之间相关(不论是因为较大的提高了患病风险或者其他原因)。


 (2) The responsible person shall be liable—


2)责任人将对以下负责:


(a) in respect of the whole of the damage caused to the victim by the disease (irrespective of whether the victim was also exposed to asbestos—


a)就该病患导致的所有损失(无论该受害人是否也受到石棉侵害:


(i) other than by the responsible person, whether or not in circumstances in which another person has liability in tort, or


i)除了该责任人,无论在该情况下他人是否负侵权责任,或


(ii) by the responsible person in circumstances in which he has no liability in tort), and


ii)在该情况下该责任人无侵权责任),并且


(b) jointly and severally with any other responsible person.


b)与任何其他责任人承担连带责任。


(3) Subsection (2) does not prevent—


3)本条第(2)款并不阻碍:


(a) one responsible person from claiming a contribution from another, or


a)某责任人针对他人的追偿权,或者


(b) a finding of contributory negligence.


b)主张受害人过错。


(4) In determining the extent of contributions of different responsible persons in accordance with subsection (3)(a), a court shall have regard to the relative lengths of the periods of exposure for which each was responsible; but this subsection shall not apply—


4)在根据第(3)款a项决定不同责任人之间追偿范围时,法院应该注意到每个责任人导致受害人被石棉侵害的相对时间长度;但该款将在以下情形不被适用:


(a) if or to the extent that responsible persons agree to apportion responsibility amongst themselves on some other basis, or


a)如果责任人之间基于其他依据达成责任分担范围共识,或


(b) if or to the extent that the court thinks that another basis for determining contributions is more appropriate in the circumstances of a particular case.


b)在特定案件情形下法院认为其他决定责任分担的依据更为适当。


(5) In subsection (1) the reference to causing or permitting a person to be exposed to asbestos includes a reference to failing to protect a person from exposure to asbestos.


5)在本条第(1)款关于导致或者容许某人被石棉侵害的规定包括未能防止受害人遭受石棉侵害的情形。


(6) In the application of this section to Scotland—


(a) a reference to tort shall be taken as a reference to delict, and


(b) a reference to a court shall be taken to include a reference to a jury.


(7) The Treasury may make regulations about the provision of compensation to a responsible person where—


(a) he claims, or would claim, a contribution from another responsible person in accordance with subsection (3)(a), but


(b) he is unable or likely to be unable to obtain the contribution, because an insurer of the other responsible person is unable or likely to be unable to satisfy the claim for a contribution.


(8) The regulations may, in particular—


(a) replicate or apply (with or without modification) a provision of the Financial Services Compensation Scheme;


(b) replicate or apply (with or without modification) a transitional compensation provision;


(c) provide for a specified person to assess and pay compensation;


(d) provide for expenses incurred (including the payment of compensation) to be met out of levies collected in accordance with section 213(3)(b) of the Financial Services and Markets Act 2000 (c. 8) (the Financial Services Compensation Scheme);


(e) modify the effect of a transitional compensation provision;


(f) enable the Financial Services Authority to amend the Financial Services Compensation Scheme;


(g) modify the Financial Services and Markets Act 2000 in its application to an amendment pursuant to paragraph (f);


(h) make, or require the making of, provision for the making of a claim by a responsible person for compensation whether or not he has already satisfied claims in tort against him;


(i) make, or require the making of, provision which has effect in relation to claims for contributions made on or after the date on which this Act is passed.


(9) Provision made by virtue of subsection (8)(a) shall cease to have effect when the Financial Services Compensation Scheme is amended by the Financial Services Authority by virtue of subsection (8)(f).


(10) In subsections (7) and (8)—


(a) a reference to a responsible person includes a reference to an insurer of a responsible person, and


(b) “transitional compensation provision” means a provision of an enactment which is made under the Financial Services and Markets Act 2000 and—


(i) preserves the effect of the Policyholders Protection Act 1975 (c. 75), or


(ii) applies the Financial Services Compensation Scheme in relation to matters arising before its establishment.


(11) Regulations under subsection (7)—


(a) may include consequential or incidental provision,


(b) may make provision which has effect generally or only in relation to specified cases or circumstances,


(c) may make different provision for different cases or circumstances,


(d) shall be made by statutory instrument, and


(e) may not be made unless a draft has been laid before and approved by resolution of each House of Parliament.


Part 2 Claims Management Services


4 Provision of regulated claims management services


(1) A person may not provide regulated claims management services unless—


(a) he is an authorised person,


(b) he is an exempt person,


(c) the requirement for authorisation has been waived in relation to him in accordance with regulations under section 9, or


(d) he is an individual acting otherwise than in the course of a business.


(2) In this Part—


(a) “authorised person” means a person authorised by the Regulator under section 5(1)(a),


(b) “claims management services” means advice or other services in relation to the making of a claim,


(c) “claim” means a claim for compensation, restitution, repayment or any other remedy or relief in respect of loss or damage or in respect of an obligation, whether the claim is made or could be made—


(i) by way of legal proceedings,


(ii) in accordance with a scheme of regulation (whether voluntary or compulsory), or


(iii) in pursuance of a voluntary undertaking,


(d) “exempt person” has the meaning given by section 6(5), and


(e) services are regulated if they are—


(i) of a kind prescribed by order of the Secretary of State, or


(ii) provided in cases or circumstances of a kind prescribed by order of the Secretary of State.


(3) For the purposes of this section—


(a) a reference to the provision of services includes, in particular, a reference to—


(i) the provision of financial services or assistance,


(ii) the provision of services by way of or in relation to legal representation,


(iii) referring or introducing one person to another, and


(iv) making inquiries, and


(b) a person does not provide claims management services by reason only of giving, or preparing to give, evidence (whether or not expert evidence).


(4) For the purposes of subsection (1)(d) an individual acts in the course of a business if, in particular—


(a) he acts in the course of an employment, or


(b) he otherwise receives or hopes to receive money or money’s worth as a result of his action.


(5) The Secretary of State may by order provide that a claim for a specified benefit shall be treated as a claim for the purposes of this Part.


(6) The Secretary of State may specify a benefit under subsection (5) only if it appears to him to be a United Kingdom social security benefit designed to provide compensation for industrial injury.


5 The Regulator


(1) The Secretary of State may by order designate a person (“the Regulator”)—


(a) to authorise persons to provide regulated claims management services,


(b) to regulate the conduct of authorised persons, and


(c) to exercise such other functions as are conferred on the Regulator by or under this Part.


(2) The Secretary of State may designate a person only if satisfied that the person—


(a) is competent to perform the functions of the Regulator,


(b) will make arrangements to avoid any conflict of interest between the person’s functions as Regulator and any other functions, and


(c) will promote the interests of persons using regulated claims management services (including, in particular, by—


(i) setting and monitoring standards of competence and professional conduct for persons providing regulated claims management services,


(ii) promoting good practice by persons providing regulated claims management services, in particular in relation to the provision of information about charges and other matters to persons using or considering using the services,


(iii) promoting practices likely to facilitate competition between different providers of regulated claims management services, and


(iv) ensuring that arrangements are made for the protection of persons using regulated claims management services (including arrangements for the handling of complaints about the conduct of authorised persons)).


(3) If the Secretary of State thinks that no existing person (whether an individual or a body corporate or unincorporate) is suitable for designation under subsection (1), he may by order establish a person for the purpose of being designated.


(4) The Regulator shall—


(a) comply with any directions given to him by the Secretary of State;


(b) have regard to any guidance given to him by the Secretary of State;


(c) have regard to any code of practice issued to him by the Secretary of State;


(d) try to meet any targets set for him by the Secretary of State;


(e) provide the Secretary of State with any report or information requested (but this paragraph does not require or permit disclosure of information in contravention of any other enactment).


(5) The Secretary of State shall lay before Parliament any code of practice issued by him to the Regulator.


(6) The Secretary of State may pay grants to the Regulator (which may be on terms or conditions, including terms and conditions as to repayment with or without interest).


(7) A reference in this Part to the Regulator includes a reference to a person acting on behalf of the Regulator or with his authority.


(8) The Secretary of State may by order revoke a person’s designation under subsection (1).


(9) While no person is designated under subsection (1) the Secretary of State shall exercise functions of the Regulator.


(10) The Secretary of State may by order transfer (whether for a period of time specified in the order or otherwise) a function of the Regulator to the Secretary of State.


6 Exemptions


(1) The Secretary of State may by order provide that section 4(1) shall not prevent the provision of regulated claims management services by a person who is a member of a specified body.


(2) The Secretary of State may by order provide that section 4(1) shall not prevent the provision of regulated claims management services—


(a) by a specified person or class of person,


(b) in specified circumstances, or


(c) by a specified person or class of person in specified circumstances.


(3) Provision by virtue of subsection (1) or (2) may be expressed to have effect subject to compliance with specified conditions.


(4) Section 4(1) shall not prevent the provision of regulated claims management services by a person who is established or appointed by virtue of an enactment.


(5) For the purposes of this Part a person is “exempt” if, or in so far as, section 4(1) does not, by virtue of this section, prevent him from providing regulated claims management services.


7 Enforcement: offence


(1) A person commits an offence if he contravenes section 4(1).


(2) A person who is guilty of an offence under subsection (1) shall be liable—


(a) on conviction on indictment—


(i) to imprisonment for a term not exceeding two years,


(ii) to a fine, or


(iii) to both, or


(b) on summary conviction—


(i) to imprisonment for a term not exceeding 51 weeks,


(ii) to a fine not exceeding level 5 on the standard scale, or


(iii) to both.


(3) Until the commencement of section 281(4) and (5) of the Criminal Justice Act 2003 (c. 44) (51 week maximum term of sentences) the reference in subsection (3)(b)(i) above to 51 weeks shall have effect as if it were a reference to six months.


8 Enforcement: the Regulator


(1) The Regulator may apply to the court for an injunction restraining a person from providing regulated claims management services if he is not—


(a) an authorised person,


(b) an exempt person, or


(c) the subject of a waiver in accordance with regulations under section 9.


(2) In subsection (1) “the court” means the High Court or a county court.


(3) The Regulator may—


(a) investigate whether an offence has been committed under this Part;


(b) institute criminal proceedings in respect of an offence under this Part.


(4) For the purpose of investigating whether an offence has been committed under this Part the Regulator may require the provision of information or documents.


(5) On an application by the Regulator a judge of the High Court, Circuit judge or justice of the peace may issue a warrant authorising the Regulator to enter and search premises on which a person conducts or is alleged to conduct regulated claims management business, for the purposes of investigating whether an offence has been committed under this Part.


(6) The Regulator may take copies of written or electronic records found on a search by virtue of subsection (5) for a purpose specified in subsection (3)(a) or (b).


(7) In subsections (4) to (6) a reference to the Regulator includes a reference to a person authorised by him in writing.


(8) The Secretary of State shall make regulations—


(a) specifying matters of which a judge or justice of the peace must be satisfied, or to which he must have regard, before issuing a warrant under subsection (5), and


(b) regulating the exercise of a power under or by virtue of subsection (4) or (5) (whether by restricting the circumstances in which a power may be exercised, by specifying conditions to be complied with in the exercise of a power, or otherwise).


9 Regulations


(1) The Secretary of State shall make regulations about—


(a) authorisations under section 5(1);


(b) the functions of the Regulator.


(2) The Schedule specifies particular provision that may be made by the regulations.


(3) Transitional provision of regulations under this section may, in particular, make provision about the extent to which functions under this Part or under the regulations may be exercised in respect of matters arising before the commencement of a provision made by or by virtue of this Part.


10 Obstructing the Regulator


(1) A person commits an offence if without reasonable excuse he obstructs the Regulator in the exercise of a power—


(a) under section 8(4) to (6), or


(b) by virtue of paragraph 14 of the Schedule.


(2) A person who is guilty of an offence under subsection (1) shall be liable on summary conviction to a fine not exceeding level 5 on the standard scale.


11 Pretending to be authorised, &c.


(1) A person commits an offence if he falsely holds himself out as being—


(a) an authorised person,


(b) an exempt person, or


(c) the subject of a waiver in accordance with regulations under section 9.


(2) A person commits an offence if—


(a) he offers to provide regulated claims management services, and


(b) provision by him of those services would constitute an offence under this Part.


(3) For the purposes of subsection (2) a person offers to provide services if he—


(a) makes an offer to a particular person or class of person,


(b) makes arrangements for an advertisement in which he offers to provide services, or


(c) makes arrangements for an advertisement in which he is described or presented as competent to provide services.


(4) A person who is guilty of an offence under subsection (1) or (2) shall be liable—


(a) on conviction on indictment—


(i) to imprisonment for a term not exceeding two years,


(ii) to a fine, or


(iii) to both, or


(b) on summary conviction—


(i) to imprisonment for a term not exceeding 51 weeks,


(ii) to a fine not exceeding level 5 on the standard scale, or


(iii) to both.


(5) Where a person commits an offence under this section by causing material to be displayed or made accessible, he shall be treated as committing the offence on each day during any part of which the material is displayed or made accessible.


(6) Until the commencement of section 281(4) and (5) of the Criminal Justice Act 2003 (c. 44) (51 week maximum term of sentences) the reference in subsection (4)(b)(i) above to 51 weeks shall have effect as if it were a reference to six months.


12 The Claims Management Services Tribunal


(1) There shall be a tribunal to be known as the Claims Management Services Tribunal.


(2) The Tribunal shall be constituted as follows—


(a) members of the Financial Services and Markets Tribunal shall also be members of the Claims Management Services Tribunal,


(b) the President of the Financial Services and Markets Tribunal shall also act as President of the Claims Management Services Tribunal,


(c) the Deputy President of the Financial Services and Markets Tribunal shall also act as Deputy President of the Claims Management Services Tribunal, and


(d) the panel of chairmen of the Financial Services and Markets Tribunal shall also be the panel of chairmen of the Claims Management Services Tribunal.


(3) An appeal or reference to the Tribunal shall be heard by a member of the panel of chairmen—


(a) selected in accordance with arrangements made by the President, and


(b) sitting alone or, in accordance with those arrangements, with one or two members of the lay panel;


and a chairman who sits with one other member shall have a casting vote.


(4) The Lord Chancellor may make rules about the proceedings of the Tribunal; and the rules—


(a) shall include provision about timing of references and appeals,


(b) shall include provision for the suspension of decisions of the Regulator while an appeal could be brought or is pending,


(c) shall include provision about the making of interim orders,


(d) shall enable the Tribunal to suspend or further suspend (wholly or partly) the effect of a decision of the Regulator,


(e) shall permit the Regulator to apply for the termination of the suspension of a decision of his,


(f) may include provision about evidence,


(g) may include provision about any other matter of a kind for which rules under section 132 of the Financial Services and Markets Act 2000 (c. 8) (the Financial Services and Markets Tribunal) may make provision,


(h) may include transitional, consequential or incidental provision,


(i) may make provision generally or only for specified cases or circumstances,


(j) may make different provision for different cases or circumstances,


(k) shall be made by statutory instrument, and


(l) shall be subject to annulment in pursuance of a resolution of either House of Parliament.


(5) The following provisions of Schedule 13 to the Financial Services and Markets Act 2000 shall have effect, with any necessary modifications, in relation to the Claims Management Services Tribunal—


(a) paragraph 5 (remuneration and allowances),


(b) paragraph 6 (staff),


(c) paragraph 7(3) and (4) (composition),


(d) paragraph 8 (sittings),


(e) paragraph 10 (practice directions),


(f) paragraph 11 (evidence), and


(g) paragraph 12(1) to (3) (decisions).


(6) In Part 1 of Schedule 1 to the Tribunals and Inquiries Act 1992 (c. 53) (tribunals under supervision of Council) insert at the appropriate place—


Claims management services The Claims Management Services Tribunal established by the Compensation Act 2006.”


13 Appeals and references to Tribunal


(1) A person may appeal to the Claims Management Services Tribunal if the Regulator—


(a) refuses the person’s application for authorisation,


(b) grants the person authorisation on terms or subject to conditions,


(c) imposes conditions on the person’s authorisation,


(d) suspends the person’s authorisation, or


(e) cancels the person’s authorisation.


(2) The Regulator may refer to the Tribunal (with or without findings of fact or recommendations)—


(a) a complaint about the professional conduct of an authorised person, or


(b) the question whether an authorised person has complied with a rule of professional conduct.


(3) On a reference or appeal under this section the Tribunal—


(a) may take any decision on an application for authorisation that the Regulator could have taken;


(b) may impose or remove conditions on a person’s authorisation;


(c) may suspend a person’s authorisation;


(d) may cancel a person’s authorisation;


(e) may remit a matter to the Regulator;


(f) may not award costs.


(4) An authorised person may appeal to the Court of Appeal against a decision of the Tribunal.


14 Interpretation


In this Part—


action” includes omission,


authorised person” has the meaning given by section 4,


claim” has the meaning given by section 4,


claims management services” has the meaning given by section 4,


exempt person” has the meaning given by section 6(5),


regulated claims management services” shall be construed in accordance with section 4(2)(e),


specified”, in relation to an order or regulations, means specified in the order or regulations, and


the Regulator” means (subject to section 5(7)) the person designated under section 5(1) or, where no person is designated or in so far as is necessary having regard to any order under section 5(10), the Secretary of State.


15 Orders and regulations


(1) An order or regulations under this Part—


(a) may make provision that applies generally or only in specified cases or circumstances,


(b) may make different provision for different cases or circumstances, and


(c) may include transitional, incidental or consequential provision.


(2) An order or regulations under this Part shall be made by statutory instrument.


(3) An order under section 4(2)(e)—


(a) may not be made unless the Secretary of State has consulted—


(i) the Office of Fair Trading, and


(ii) such other persons as he thinks appropriate, and


(b) may not be made unless a draft has been laid before and approved by resolution of each House of Parliament.


(4) An order under section 4(5) may not be made unless a draft has been laid before, and approved by resolution of, each House of Parliament.


(5) An order under section 5 may not be made unless a draft has been laid before, and approved by resolution of, each House of Parliament.


(6) An order under section 5(3) may include provision—


(a) for the appointment of members;


(b) for funding;


(c) for dissolution (which may include provision enabling the Secretary of State to make provision for the transfer of property, rights and liabilities).


(7) The first order made under section 6 may not be made unless a draft has been laid before, and approved by resolution of, each House of Parliament.


(8) An order under section 6 which has the effect of removing or restricting an exemption from section 4(1) may not be made unless a draft has been laid before, and approved by resolution of, each House of Parliament.


(9) Any other order under section 6 shall be subject to annulment in pursuance of a resolution of either House of Parliament.


(10) Regulations under section 8 or 9 may not be made unless a draft has been laid before, and approved by resolution of, each House of Parliament.


Part 3 General


16 Commencement


(1) The preceding provisions of this Act, other than sections 1, 2 and 3, shall come into force in accordance with provision made by order of the Secretary of State.


(2) An order under subsection (1)—


(a) may make provision generally or only for specified purposes,


(b) may make different provision for different purposes,


(c) may make transitional, consequential or incidental provision, and


(d) shall be made by statutory instrument.


(3) Section 3 shall be treated as having always had effect.


(4) But the section shall have no effect in relation to—


(a) a claim which is settled before 3rd May 2006 (whether or not legal proceedings in relation to the claim have been instituted), or


(b) legal proceedings which are determined before that date.


(5) Where a claim is settled on or after that date and before the date on which this Act is passed, a party to the settlement may apply to a relevant court to have the settlement varied; and—


(a) a court is a relevant court for that purpose if it had, or would have had, jurisdiction to determine the claim by way of legal proceedings,


(b) an application shall be brought as an application in, or by way of, proceedings on the claim, and


(c) a court to which an application is made shall vary the settlement to such extent (if any) as appears appropriate to reflect the effect of section 3.


(6) Where legal proceedings are determined on or after that date and before the date on which this Act is passed, a party to the proceedings may apply to the court to vary the determination; and—


(a) “the court” means the court which determined the proceedings,


(b) the application shall be treated as an application in the proceedings, and


(c) the court shall vary the determination to such extent (if any) as appears appropriate to reflect the effect of section 3.


17 Extent


(1) This Act shall extend to England and Wales only.


(2) But section 3 (and section 16(3) to (6)) shall extend to—


(a) England and Wales,


(b) Scotland, and


(c) Northern Ireland.


18 Short title


This Act may be cited as the Compensation Act 2006.


本法引用时应称作《2006年损害赔偿法》。


SCHEDULE    (Section 9)


Claims Management Regulations


Introduction1 In this Schedule “regulations” means regulations under section 9.


2 Regulations made by virtue of a provision of this Schedule may confer a discretion on the Regulator.


Waiver of requirement for authorisation3 (1) Regulations may permit the Regulator to waive the requirement for authorisation, as mentioned in section 4(1)(c), in specified cases or circumstances.


(2) Regulations by virtue of this sub-paragraph may permit waiver in relation to a person only—


(a) if the Secretary of State intends to exempt the person under section 6, and


(b) for a single period not exceeding six months.


(3) The regulations may, in particular, permit or require the Regulator to provide for waiver to be subject to a condition of a kind specified in the regulations.


Grant of authorisations4 (1) Regulations shall prescribe the procedure for applying to the Regulator for authorisation.


(2) Regulations may, in particular, require the provision of information or documents relating to the applicant or to any person who appears to the Regulator to be connected with the applicant.


5 (1) Regulations shall require the Regulator not to grant an application for authorisation unless satisfied of the applicant’s competence and suitability to provide regulated claims management services of the kind to which the application relates.


(2) For that purpose the Regulator shall apply such criteria, and have regard to such matters, as the regulations shall specify.


(3) Regulations by virtue of sub-paragraph (2) may, in particular—


(a) refer to a provision of directions, guidance or a code given or issued under section 5(4);


(b) relate to persons who are or are expected to be employed or engaged by, or otherwise connected with, the applicant;


(c) relate to—


(i) criminal records;


(ii) proceedings in any court or tribunal;


(iii) proceedings of a body exercising functions in relation to a trade or profession;


(iv) financial circumstances;


(v) management structure;


(vi) actual or proposed connections or arrangements with other persons;


(vii) qualifications;


(viii) actual or proposed arrangements for training;


(ix) arrangements for accounting;


(x) practice or proposed practice in relation to the provision of information about fees;


(xi) arrangements or proposed arrangements for holding clients' money;


(xii) arrangements or proposed arrangements for insurance.


6 Regulations may—


(a) provide for authorisation to be on specified terms or subject to compliance with specified conditions;


(b) permit the Regulator to grant authorisation on terms or subject to conditions;


(c) permit the Regulator to grant an application for authorisation only to a specified extent or only in relation to specified matters, cases or circumstances.


7 Regulations may—


(a) enable the Regulator to charge—


(i) fees in connection with applications for, or the grant of, authorisation;


(ii) periodic fees for authorised persons;


(b) specify the consequences of failure to pay fees;


(c) permit the charging of different fees for different cases or circumstances (which may, in particular, be defined wholly or partly by reference to turnover or other criteria relating to an authorised person’s business);


(d) permit the waiver, reduction or repayment of fees in specified circumstances;


(e) provide for the amount of fees to be prescribed or controlled by the Secretary of State;


(f) make provision for the manner in which fees are to be accounted for;


(g) make provision for the application of income from fees (which may, in respect of a time when the Secretary of State is exercising functions of the Regulator under section 5(9) or (10), include provision permitting or requiring payment into the Consolidated Fund).


Conduct of authorised persons8 (1) Regulations shall require the Regulator to prescribe rules for the professional conduct of authorised persons.


(2) Regulations under sub-paragraph (1) shall include provision—


(a) about the manner in which rules are to be prepared and published (which may, in particular, include provision requiring—


(i) consultation;


(ii) the submission of a draft to the Secretary of State for approval);


(b) about the consequences of failure to comply with the rules (which may, in particular, include—


(i) provision for rules to be treated as conditions of authorisations;


(ii) provision enabling the Regulator to impose conditions on, suspend or cancel authorisations).


9 (1) Regulations shall enable the Regulator to issue one or more codes of practice about the professional conduct of authorised persons.


(2) Regulations under sub-paragraph (1) shall include provision—


(a) about the manner in which a code is to be prepared and published (which may, in particular, include provision requiring—


(i) consultation;


(ii) the submission of a draft to the Secretary of State for approval);


(b) about the consequences of failure to comply with a code (which may, in particular—


(i) provide for compliance with a code to be treated as a condition of authorisations;


(ii) enable the Regulator to impose conditions on, suspend or cancel authorisations).


10 (1) Regulations shall provide for the Regulator to investigate complaints about the professional conduct of an authorised person.


(2) Regulations under sub-paragraph (1) shall enable the Regulator to—


(a) impose conditions on a person’s authorisation;


(b) suspend a person’s authorisation;


(c) cancel a person’s authorisation.


11 (1) Regulations may require, or permit the Regulator to require, an authorised person to take out a policy of professional indemnity insurance in respect of his actions in the course of providing or purporting to provide regulated claims management services.


(2) Regulations under sub-paragraph (1) may, in particular—


(a) make provision about the level or nature of insurance cover to be provided by the policy;


(b) include provision about failure to comply (which may, in particular, provide for compliance to be treated as a condition of authorisations or enable the Regulator to impose conditions on, suspend or cancel authorisations).


12 (1) Regulations may require the Regulator to establish a scheme to compensate a client of an authorised person where—


(a) money is paid to the authorised person in complete or partial satisfaction of the client’s claim, and


(b) the client is unable to obtain all or part of the money because the authorised person becomes insolvent or is otherwise unable or unwilling to pay.


(2) In particular, regulations may make provision—


(a) about the purchase of bonds or other forms of insurance or indemnity;


(b) about the funding of the scheme (which may include the application of part of fees charged in accordance with paragraph 7 and may not include payments, or other financial assistance, by a Minister of the Crown);


(c) about procedure in connection with compensation (including criteria to be applied);


(d) about the amount of compensation.


Enforcement13 Regulations may permit or require the Regulator to take action of a specified kind for the purpose of assessing compliance with terms or conditions of authorisations.


14 (1) Regulations may enable the Regulator, for the purpose of investigating a complaint about the activities of an authorised person or for the purpose of assessing compliance with terms and conditions of an authorisation, to require the provision of information or documents.


(2) The Regulations may provide that on an application by the Regulator a judge of the High Court, Circuit judge or justice of the peace may issue a warrant authorising the Regulator to enter and search premises on which a person conducts or is alleged to conduct regulated claims management business, for the purpose of—


(a) investigating a complaint about the activities of an authorised person, or


(b) assessing compliance with terms and conditions of an authorisation.


(3) Regulations may enable the Regulator to take copies of written or electronic records found on a search by virtue of sub-paragraph (2) for a purpose specified in that subsection.


(4) Regulations may enable the Regulator to impose conditions on, suspend or cancel a person’s authorisation if—


(a) a requirement imposed by virtue of sub-paragraph (1) is not complied with, or


(b) an attempt to exercise a power by virtue of sub-paragraph (2) or (3) is obstructed.


(5) In this paragraph a reference to the Regulator includes a reference to a person authorised by him in writing.


(6) Regulations shall—


(a) specify matters of which a judge or justice of the peace must be satisfied, or to which he must have regard, before issuing a warrant under sub-paragraph (2),


(b) regulate the exercise of a power under or by virtue of sub-paragraph (1), (2) or (3) (whether by restricting the circumstances in which a power may be exercised, by specifying conditions to be complied with in the exercise of a power, or otherwise).


15 Regulations may make provision about the exercise by the Regulator of a power under section 8.







[1] 王竹系中国人民大学法学院博士研究生,美国康奈尔大学访问学者。

  苏洁澈系中国人民大学法学院博士研究生、英国阿伯丁大学法学院博士研究生。




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