China: 建设工程司法解释二实际施工人代位权诉讼的实务探讨

Last Updated: 16 April 2019
Article by DeHeng Law Offices
Most Read Contributor in China, March 2019

2019年1月3日,最高人民法院发布了《关于审理建设工程施工合同纠纷适用法律问题的解释(二)》(法释【2018】20号)(以下简称"司法解释二"),司法解释二于2018年10月29日经最高人民法院审判委员会第1751次会议通过,自2019年2月1日起施行。司法解释二就建设工程施工合同实质性内容的认定标准、建设工程施工合同的效力、建设工程价款的结算、建设工程的鉴定、工程质量保证金的返还、建设工程价款优先受偿权和实际施工人权利保护等问题做了明确的规定,在实际施工人权利保护方面,特别增加实际施工人有权提起代位权诉讼条款。笔者试从代位权诉讼主体、管辖、条件等实务方面作一些简要探讨,以期和读者沟通、交流、分享。

2019年1月3日,最高人民法院发布了司法解释二,全文共计26条,内容涉及建设工程施工合同实质性内容的认定标准、建设工程施工合同的效力、建设工程价款的结算、建设工程的鉴定、工程质量保证金的返还、建设工程价款优先受偿权和实际施工人权利保护等问题,司法解释二在特定的情况下,突破合同相对性原则,对处于弱势地位的广大农民工的权益提供强有力的司法保证,解释二规定了发包人与承包人约定放弃或者限制建设工程价款优先受偿权,损害建筑工人利益的,法院不予支持;规定发包人在欠付建设工程价款范围内对实际施工人承担责任;规定实际施工人在转包人或违法分包人怠于向发包人行使到期债权的情况下,有权提起代位权诉讼。司法解释二在实际施工人权利保护方面,特别增加了代位权诉讼,以期进一步加强对建筑工人权益的保护,其法律依据来源于《中华人民共和国合同法》第七十三条规定。

一、现行《合同法》对代位权诉讼的规定

《中华人民共和国合同法》第七十三条规定,代位权诉讼是指因债务人怠于行使其到期债权,对债权人造成损害的,债权人可以向人民法院请求以自己的名义代位行使债务人的债权,但该债权专属于债务人自身的除外。代位权的行使范围以债权人的债权为限。债权人行使代位权的必要费用,由债务人负担。

代位权是债的保全制度的一种,我国合同法第一次明确了代位权的制度,维护了债权人利益,有助于交易安全与建立良好的经济运行环境。

二、司法解释二实际施工人代位权诉讼在实践中的应用探讨

司法解释二第二十五条:实际施工人根据 合同法第七十三条规定,以转包人或违法分包人怠于行使到期债权,对其造成损害为由,提起代位权诉讼的,人民法院应予以支持。该条明确规定了实际施工人有权提起代位权诉讼,笔者试从以下几个方面做初步探讨。

1.代位权诉讼管辖

根据合同法司法解释一第十四条之规定,债权人依照 合同法第七十三条的规定提起代位权诉讼的,由被告住所地人民法院管辖。实际施工人提起代位权诉讼主张工程款时,是否应在被告住所地人民法院管辖?笔者认为,根据 民诉法第二十三条之规定,因合同纠纷提起的诉讼,由被告所在地或合同履行地人民法院管辖, 第三十三条规定,因不动产纠纷提起的诉讼,由不动产所在地的人民法院管辖。 《最高人民法院关于审理建设工程施工合同纠纷案件适用法律问题的解释》(下称"司法解释一")第二十四条规定建设工程施工合同纠纷以施工行为地为合同履行地, 民诉法司法解释第二十八条规定,建设工程施工合同纠纷,按照不动产纠纷确定管辖。从以上规定可以看出,建设工程施工合同纠纷为专属管辖,实际施工人代位权诉讼选择在被告所在地还是不动产所在地管辖,取决于该诉讼所依据的基础法律关系。如果实际施工人通过代位权之诉主张工程款,起诉的次债务人仍是建设施工合同的相关当事人,工程款的属性未发生改变,笔者认为选择专属管辖更有利案情的查明。如果实际施工人通过代位权诉讼主张工程款,起诉的次债务人不是建设施工合同的当事人,或者虽然是施工合同当事人,但次债务人与债务人之间的欠款关系不是工程欠款,而是民间借贷或货款等其他种类的欠款,欠款属性发生了变化,笔者认为,此种情形可以选择合同法司法解释一第十四条规定,由被告所在地的人民法院管辖。

2.代位权诉讼主体

司法解释二规定提起代位权诉讼的主体为实际施工人。实际施工人在法律层面没有一个明确的定义,综合司法解释一、司法解释二,实际施工人是因非法转包、分包或借用企业资质等行为导致无效施工合同中最终实际完成工程建设的主体,主要包括无效施工合同的承包人、转包人、借用资质的挂靠人。一般来说,根据合同的相对性,债权债务发生在债权人与债务人之间,代位权诉讼突破了合同的相对性,根据 合同司法解释一第十六条规定,债权人以次债务人为被告向人民法院提起代位权诉讼,未将债务人列为第三人的,人民法院可以追加债务人为第三人。为了便于查明案情,实际施工人提起代位权诉讼,可以将转包人、违法分包人列为第三人,法院也可以追加,如果实际施工人有充分证据证明发包人欠付转包人、违法分包人工程款的,也可不列转包人、违法分包人为第三人。

3.代位权诉讼的条件

(1)实际施工人对转包人、违法分包人主张的工程款必须合法、确定。

首先,实际施工人对转包人、违法分包人享有具有金钱给付标的债权必须合法,任何不合法的债务(如赌博、高利贷等),以索要工程款的名义提起代位权诉讼,将不会得到法院的支持。

其次,实际施工人对转包人、违法分包人主张工程款的金额是确定的,有两种情况,一种情况是实际施工人与转包人、违法分包人已经经过结算,以结算金额去除已付款金额,就是代位权诉讼金额。另一种情况是,实际施工人与转包人、违法分包人未进行结算,该工程款如何确定,是否可以提起代位权诉讼?如建设工程已经竣工验收合格,虽然未经结算,但是可以通过诉讼等法律途径,委托法院进行司法鉴定确定工程款金额,笔者认为此种情形,应视为金额可确定,可以提起代位权诉讼,如建设工程未经结算,建设工程也未竣工验收合格,则情况较为复杂,可能涉及质量纠纷,则此种情形,笔者认为不符合金额确定的条件,提起代位权诉讼的条件不成就。

最后,在代位权诉讼中,实际施工人行使代位权的请求额不得超过转包人或违法分包人所负债务或超过发包人对转包人或违法分包人所负债务。对超出部分人民法院不予支持。

(2)转包人或违法分包人怠于行使其到期债权,对实际施工人造成损害。

债务人不履行其对债权人的到期债务,又不以诉讼方式或者仲裁方式向其债务人主张其享有的具有金钱给付内容的到期债权,致使债权人的到期债权未能实现。如转包人或违法分包人通过私下调解的方式达成支付协议,实际施工人仍然可以通过司法解释二提起代位权诉讼。

(3)实际施工人的债权已经到期,未到期的债权不得提起代位诉讼。

如实际施工人已经和转包人、违法分包人达成了结算协议,结算协议支付期限届满后则按规定提起代位权之诉。如实际施工人和转包人、违法分包人未达成了结算协议,则债权是否到期需要根据工程状况、合同约定等证据综合认定。

(4)实际施工人的债权不是专属于转包人或违法分包人自身的债权。

该债权是基于债务人对第三人具有金钱给付性质的债权,如因债务人基于抚养关系、抚养关系、赡养关系、继承关系产生的给付请求权和劳动报酬、退休金、养老金、抚恤金、安置费、人寿保险、人身伤害赔偿请求权等专属于债务人自身的债权,则债权人不得提出代位权之诉。实际施工人向发包人代位主张工程款,是基于分包人欠付转包人或违法分包人工程款,非专属于转包人或违法分包人自身的债权。

4.代位权诉讼的效力

(1)实际施工人提起代位权诉讼后,转包人和违法分包人不得处分其债权,不得和发包人私下调解,否则,实际施工人有权要求法院确认处分行为无效。

(2)在代位权诉讼中,实际施工人有权请求法院对次债务人(发包人)的财产采取保全措施,但应提供相应的财产担保。

(3)实际施工人向发包人提起的代位权诉讼经人民法院审理后认定代位权成立的,由发包人向实际施工人履行清偿义务,实际施工人与转包人、违法分包人之间相应的债权债务关系即予消灭。

(4)代位权诉讼中,无论转包人或违法分包人是否参加诉讼,人民法院的判决均对其发生法律效力。如果其他实际施工人参加诉讼,人民法院的判决也对其产生效力。

(5)代位权诉讼中,实际施工人行使代位权的必要费用,由转包人或违法分包人负担,实际施工人胜诉的,诉讼费由次债务人(发包人)负担,从实现的债权中优先支付。

5.多重代位问题

在实践过程中,建设工程存在层层转包、多次分包之现象,实际施工人是否可以多次行使代位权之诉,层层追索呢?合同法第73条规定了债权人可以向次债务人提起代位权诉讼,但没有规定债权人可以向次债务人的债务人提起代位权之诉,且在司法实践中,也未出现过多重代位的判例,因此就目前法律法规、司法解释等相关文件来说,实际施工人只能就一次转包、违法分包的情形,主张代位权,对层层转包、多次分包的情形,实际施工人无法主张多重代位诉讼,是不利于保护施工人的利益的。

6.发包人(次债务人)的抗辩权

合同法司法解释一第十八条规定,在代位权诉讼中,次债务人对债务人的抗辩,可以向债权人主张.实际施工人提起代位权之诉,向发包人主张工程款,发包人应在欠付承包人工程款范围内承担责任。发包人有权根据其与承包人所签订的施工合同约定追究承包人的违约责任,如果抗辩成立,则可以减轻发包人欠付承包人工程款的责任。当然,如发包人欠付承包人工程款,承包人欠付发包人除工程款以外的款项,发包人以债权债务相抵销来抗辩则不能成立。 

7.代位权诉讼可以主张建设工程价款优先受偿权

承包人依法享有建设工程价款的优先受偿权,发包人未按期支付工程款,承包人可以依法行使建设工程价款优先受偿权,实际施工人是基于 司法解释第二十五条向发包人提起代位诉讼,主张的仍是工程款,承包人的优先受偿权不因提起代位权的诉讼方式而丧失,如果因承包人怠于行使建设工程价款优先受偿权的权利,导致该权利丧失的,则发包人可以此理由作为抗辩,抗辩成立的,则代位权诉讼中的优先受偿权不予支持。如发包人与承包人约定放弃或限建设工程价款的优先受偿权,损害实际施工人的利益,发包人以此作为抗辩理由的,则依据 司法解释二第二十三条的定,抗辩不能成立。 司法解释二第二十四条实际施工人以发包人为被告主张权利,虽然主张的也是工程款的纠纷,由于起诉主体非承包人,在该种情形下,实际施工人不可以主张建设工程价款优先受偿权。

三、司法解释二第二十四条与实际施工人代位权诉讼是实际施工人两条不同的救济路径

《司法解释二》第二十四条规定实际施工人以发包人为被告主张权利的,人民法院应当追加转包人或者违法分包人为本案第三人,在查明发包人欠付转包人或违法分包人建设工程价款的数额后,判决发包人在欠付建设工程价款范围内对实施施工人承担责任。从该规定可以看出,实际施工人可以突破合同的相对性,直接起诉发包人。

司法解释二第二十四条与实际施工人代位权诉讼虽然都是实际施工人直接起诉发包人,但两者的性质是不同的。司法解释二第二十四条不具有代位诉讼的性质。

在荣盛(蚌埠)置业有限公司与王修虎等建设工程施工合同再审一案中(案号2014)民申字第1575号),最高人民法院认为,《最高人民法院关于审理建设工程施工合同纠纷案件适用法律问题的解释》第二十六条第二款规定,实际施工人在一定条件下可以向与其没有合同关系的发包人主张权利。该规定是一定时期及背景下为解决拖欠农民工工资问题的一种特殊制度安排,其不等同于代位权诉讼,不具有代位请求的性质。同时,该条款规定发包人只在欠付工程价款范围内对实际施工人承担责任,目的是防止无端加重发包人的责任,明确工程价款数额方面,发包人仅在欠付承包人的工程价款数额内承担责任,这不是对实际施工人权利范围的界定,更不是对实际施工人程序性诉讼权利的限制。实际施工人向发包人主张权利,不能简单地理解为是对承包人权利的承继,也不应受承包人与发包人之间仲裁条款的约束。

综上,笔者从实际施工人代位诉讼的管辖、条件、主体、抗辩等实务方面做了简要探讨,司法解释二增加了实际施工人代位权诉讼,无疑为农民工的合法权益提供了更强有力的保障,但代位权诉讼适用条件苛刻,在具体实务应用方面,仍需相关部门出具更详细的规定,对管辖权、多重代位等不确定的问题做进一步解释。

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

To print this article, all you need is to be registered on Mondaq.com.

Click to Login as an existing user or Register so you can print this article.

Authors
 
Some comments from our readers…
“The articles are extremely timely and highly applicable”
“I often find critical information not available elsewhere”
“As in-house counsel, Mondaq’s service is of great value”

Related Topics
 
Related Articles
 
Up-coming Events Search
Tools
Print
Font Size:
Translation
Channels
Mondaq on Twitter
 
Mondaq Free Registration
Gain access to Mondaq global archive of over 375,000 articles covering 200 countries with a personalised News Alert and automatic login on this device.
Mondaq News Alert (some suggested topics and region)
Select Topics
Registration (please scroll down to set your data preferences)

Mondaq Ltd requires you to register and provide information that personally identifies you, including your content preferences, for three primary purposes (full details of Mondaq’s use of your personal data can be found in our Privacy and Cookies Notice):

  • To allow you to personalize the Mondaq websites you are visiting to show content ("Content") relevant to your interests.
  • To enable features such as password reminder, news alerts, email a colleague, and linking from Mondaq (and its affiliate sites) to your website.
  • To produce demographic feedback for our content providers ("Contributors") who contribute Content for free for your use.

Mondaq hopes that our registered users will support us in maintaining our free to view business model by consenting to our use of your personal data as described below.

Mondaq has a "free to view" business model. Our services are paid for by Contributors in exchange for Mondaq providing them with access to information about who accesses their content. Once personal data is transferred to our Contributors they become a data controller of this personal data. They use it to measure the response that their articles are receiving, as a form of market research. They may also use it to provide Mondaq users with information about their products and services.

Details of each Contributor to which your personal data will be transferred is clearly stated within the Content that you access. For full details of how this Contributor will use your personal data, you should review the Contributor’s own Privacy Notice.

Please indicate your preference below:

Yes, I am happy to support Mondaq in maintaining its free to view business model by agreeing to allow Mondaq to share my personal data with Contributors whose Content I access
No, I do not want Mondaq to share my personal data with Contributors

Also please let us know whether you are happy to receive communications promoting products and services offered by Mondaq:

Yes, I am happy to received promotional communications from Mondaq
No, please do not send me promotional communications from Mondaq
Terms & Conditions

Mondaq.com (the Website) is owned and managed by Mondaq Ltd (Mondaq). Mondaq grants you a non-exclusive, revocable licence to access the Website and associated services, such as the Mondaq News Alerts (Services), subject to and in consideration of your compliance with the following terms and conditions of use (Terms). Your use of the Website and/or Services constitutes your agreement to the Terms. Mondaq may terminate your use of the Website and Services if you are in breach of these Terms or if Mondaq decides to terminate the licence granted hereunder for any reason whatsoever.

Use of www.mondaq.com

To Use Mondaq.com you must be: eighteen (18) years old or over; legally capable of entering into binding contracts; and not in any way prohibited by the applicable law to enter into these Terms in the jurisdiction which you are currently located.

You may use the Website as an unregistered user, however, you are required to register as a user if you wish to read the full text of the Content or to receive the Services.

You may not modify, publish, transmit, transfer or sell, reproduce, create derivative works from, distribute, perform, link, display, or in any way exploit any of the Content, in whole or in part, except as expressly permitted in these Terms or with the prior written consent of Mondaq. You may not use electronic or other means to extract details or information from the Content. Nor shall you extract information about users or Contributors in order to offer them any services or products.

In your use of the Website and/or Services you shall: comply with all applicable laws, regulations, directives and legislations which apply to your Use of the Website and/or Services in whatever country you are physically located including without limitation any and all consumer law, export control laws and regulations; provide to us true, correct and accurate information and promptly inform us in the event that any information that you have provided to us changes or becomes inaccurate; notify Mondaq immediately of any circumstances where you have reason to believe that any Intellectual Property Rights or any other rights of any third party may have been infringed; co-operate with reasonable security or other checks or requests for information made by Mondaq from time to time; and at all times be fully liable for the breach of any of these Terms by a third party using your login details to access the Website and/or Services

however, you shall not: do anything likely to impair, interfere with or damage or cause harm or distress to any persons, or the network; do anything that will infringe any Intellectual Property Rights or other rights of Mondaq or any third party; or use the Website, Services and/or Content otherwise than in accordance with these Terms; use any trade marks or service marks of Mondaq or the Contributors, or do anything which may be seen to take unfair advantage of the reputation and goodwill of Mondaq or the Contributors, or the Website, Services and/or Content.

Mondaq reserves the right, in its sole discretion, to take any action that it deems necessary and appropriate in the event it considers that there is a breach or threatened breach of the Terms.

Mondaq’s Rights and Obligations

Unless otherwise expressly set out to the contrary, nothing in these Terms shall serve to transfer from Mondaq to you, any Intellectual Property Rights owned by and/or licensed to Mondaq and all rights, title and interest in and to such Intellectual Property Rights will remain exclusively with Mondaq and/or its licensors.

Mondaq shall use its reasonable endeavours to make the Website and Services available to you at all times, but we cannot guarantee an uninterrupted and fault free service.

Mondaq reserves the right to make changes to the services and/or the Website or part thereof, from time to time, and we may add, remove, modify and/or vary any elements of features and functionalities of the Website or the services.

Mondaq also reserves the right from time to time to monitor your Use of the Website and/or services.

Disclaimer

The Content is general information only. It is not intended to constitute legal advice or seek to be the complete and comprehensive statement of the law, nor is it intended to address your specific requirements or provide advice on which reliance should be placed. Mondaq and/or its Contributors and other suppliers make no representations about the suitability of the information contained in the Content for any purpose. All Content provided "as is" without warranty of any kind. Mondaq and/or its Contributors and other suppliers hereby exclude and disclaim all representations, warranties or guarantees with regard to the Content, including all implied warranties and conditions of merchantability, fitness for a particular purpose, title and non-infringement. To the maximum extent permitted by law, Mondaq expressly excludes all representations, warranties, obligations, and liabilities arising out of or in connection with all Content. In no event shall Mondaq and/or its respective suppliers be liable for any special, indirect or consequential damages or any damages whatsoever resulting from loss of use, data or profits, whether in an action of contract, negligence or other tortious action, arising out of or in connection with the use of the Content or performance of Mondaq’s Services.

General

Mondaq may alter or amend these Terms by amending them on the Website. By continuing to Use the Services and/or the Website after such amendment, you will be deemed to have accepted any amendment to these Terms.

These Terms shall be governed by and construed in accordance with the laws of England and Wales and you irrevocably submit to the exclusive jurisdiction of the courts of England and Wales to settle any dispute which may arise out of or in connection with these Terms. If you live outside the United Kingdom, English law shall apply only to the extent that English law shall not deprive you of any legal protection accorded in accordance with the law of the place where you are habitually resident ("Local Law"). In the event English law deprives you of any legal protection which is accorded to you under Local Law, then these terms shall be governed by Local Law and any dispute or claim arising out of or in connection with these Terms shall be subject to the non-exclusive jurisdiction of the courts where you are habitually resident.

You may print and keep a copy of these Terms, which form the entire agreement between you and Mondaq and supersede any other communications or advertising in respect of the Service and/or the Website.

No delay in exercising or non-exercise by you and/or Mondaq of any of its rights under or in connection with these Terms shall operate as a waiver or release of each of your or Mondaq’s right. Rather, any such waiver or release must be specifically granted in writing signed by the party granting it.

If any part of these Terms is held unenforceable, that part shall be enforced to the maximum extent permissible so as to give effect to the intent of the parties, and the Terms shall continue in full force and effect.

Mondaq shall not incur any liability to you on account of any loss or damage resulting from any delay or failure to perform all or any part of these Terms if such delay or failure is caused, in whole or in part, by events, occurrences, or causes beyond the control of Mondaq. Such events, occurrences or causes will include, without limitation, acts of God, strikes, lockouts, server and network failure, riots, acts of war, earthquakes, fire and explosions.

By clicking Register you state you have read and agree to our Terms and Conditions