China: 建工司法解释二重点内容导读

Last Updated: 29 April 2019
Article by Junhai Zhang
Most Read Contributor in China, July 2019

建筑业是国民经济的支柱产业,建筑业的发展带动了自身及其他行业的发展和繁荣,吸纳了大量劳动力,但是也因为其涉及的关联产业多、就业人数总量大,引发的社会矛盾纷繁复杂。法律是社会经济生活的产物,立法、司法和执法的目的都是为社会主义市场经济发展保驾护航。在建筑业社会矛盾频发之机,最高人民法院总结分析了当前建工案件常发的热点疑难问题,从裁判角度作出具体应用的法律解释,即《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(二)》(以下简称"《建工司法解释二》"),以期统一法律适用,更好发挥法律的评价和指引作用。笔者依托《建工司法解释二》,结合自身司法经验,尝试解读该解释的重点内容,期望对建工企业的法律风险防控有所裨益。

一、与时俱进出新规

根据国家统计局数据,近十年来,建筑业高速发展,在国民生产总值中占有重要地位(见图1);同样,根据裁判文书网数据,对应的十年来建设工程施工合同纠纷也在爆发式增长(见图1)。

▲图1

根据上述数据分析可知,建筑业总值连续十年占据国民生产总值四分之一左右,近年来由其引发的诉讼案件也年均超过10万件。因此,有效解决建工纠纷,及时化解建工业及其关联产业的司法矛盾方能发挥法律为经济保驾护航的作用。

同样,在裁判文书网检索,2006至2019年1月以建设工程施工合同为案由的最高院案件共计375件,高频出现的案件关键词统计见下图2:

▲图2

最高院根据建筑业的行业发展特点,结合最新的经济发展形势、法规和政策,为重点解决建筑业司法案件中包括上述频发的疑难问题,根据《立法法》的规定,经过充分调研、反复修改,历时六年推出了《建工司法解释二》。

二、建工司法解释二重点内容导读

《建工司法解释二》主要涉及以下五方面的内容(见图3),现分类论述如下:

▲图3

(一)结算问题

通过图3中可以看出,建工案件的核心争议紧紧围绕着结算纠纷展开,因此,在《建工司法解释二》中涉及到结算的条款有以下7条。

1. 解释了哪些属于合同实质性内容

第1条明确了《招标投标法》中规定的的合同实质性内容含义。《招标投标法》是为了规范招标投标活动,其部分条款为强制性规范, 《建工司法解释二》第1条针对的是 《招标投标法》第46条第1款:"招标人和中标人不得再另行订立背离合同实质性内容的其他协议"。一般而言,在招标人发出中标通知书之后三十日内签订书面合同,但实践中,招标人或者发包人往往借助自身优势,另行与中标人单方谈判或者要求中标人单方让利等,与中标人签订的合同与组成招标文件的合同模板不一致。此时,对于招标人或者发包人是否有权变更招标合同模板以及变更的范围,实践中争议较多, 《建工司法解释二》的第1条对合同实质性变更的内容予以了明确,实际上是对承包人权益的一种保障。

2. 增加了合同无效情形的认定以及确认了合同无效损失赔偿的认定范围

第2条增加了未取得建设工程规划许可证签订的合同无效条款。建设用地和建设工程规划手续属于强制性要求,根据工程规划许可证的审批流程,一般取得建设工程规划许可证的前提条件是已取得建设用地规划许可证,因此,《建工司法解释二》将在起诉前是否取得建设工程规划许可证作为补正合同效力的条件。虽然《建工司法解释二》的起草依据之一是《建筑法》,《最高人民法院建设工程施工合同司法解释(二)理解与适用》(以下简称"《理解与适用》")也通篇围绕住建部管辖范围内的房屋和市政工程项目来论述,但在司法实践中已经确认《建筑法》的适用范围应做广义理解,故本条的"等"也应理解为与工程许可证类似的其他政府许可性文件,如铁路、水利、交通等其他政府部委的行政许可文件。

第3条明确了如何确定无效合同的损失赔偿责任。《合同法》第58条确定了合同无效后的法律责任分为物上请求权、不当得利和缔约过失。《建工司法解释二》对建工施工合同无效造成的损失赔偿确定给予了明确,首先必须是合同无效造成的直接损失,其次是仅限于实际发生的损失,最后是赔偿方必须存在过错,且损失与过错存在因果关系。

3. 增加了建设工程施工合同结算依据

第9条明确了非必须招标工程进行招标后的工程款结算依据。《建工司法解释二》明确了非必须招标工程选择适用招标方式,必须遵守《招标投标法》的相关规定。结合《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》(以下简称"《建工司法解释一》")第21条的理解可知,无论是必须招标项目还是非必须招标项目,应当以中标合同作为结算工程价款的依据。同时,因为本条解决的是结算依据问题,而建工施工合同履行周期长,变更多,不可预见的事项多,所以本条也规定客观条件发生变化不适用的除外条款。事实上,在《建设工程施工合同(示范文本)》(GF-2017-0201)第10条变更条款就是解决建工施工合同履约过程中合同变更问题。

第10条明确了建工施工合同与招投标文件不一致时的结算依据。工程范围、工期、质量和工程价款是建工施工合同的核心条款,如同《建工司法解释二》第1条所述,如果该等内容发生了变化应当认定为合同内容发生了实质性变化。所以,本条从不同侧面再次强调了应当首先以招标投标文件作为争议时结算的依据。需要重点注意的是,一是参照的招投标文件必须是招投标活动合法有效;二是该条仅解决结算依据问题,而不能够得出当事人的全部权利义务都可以按照招投标文件为准。

第11条明确了多份合同无效时建设工程价款结算的依据。该条确认了实践裁判经验:多份合同无效时,以实际履行合同优先;实际履行合同难以确定时,以最后签订的合同优先的原则。但适用该条款时,应当紧紧把握无效合同的处理基本原则——各方不能因无效合同而获利,即参照无效合同结算时,不能获得比有效合同更多利益。同时,《建工司法解释一》和《建工司法解释二》均贯彻质量优先原则,即承包人获得合同款必须以工程质量合格为前提。

第12条明确了诉前结算效力。根据《关于完善矛盾纠纷多元化解机制的意见》、《关于人民法院进一步深化多元化纠纷解决机制改革的意见》等文件,ADR、DAB等多元调解机制将在更广范围内发挥化解纠纷作用,所以这些机构以及当事人自行达成的诉前结算协议将会增多,为了进一步尊重和保障当事人的"意思自治和合意",本条确认达成诉前结算协议后,一方当事人在诉讼中违背诚实信用原则申请造价鉴定的,将不予支持。

(二)工期和质量问题

工期索赔问题是建工案件中的疑难问题之一,第5条总结了法院裁判经验,强调实际开工日期是事实问题,应当以客观事实发生为准,同时强调工程开工应当具备开工条件。第6条,针对示范文本和工程索赔实践中,承包人经常遇到的工期索赔失权问题,规定只要承包人能够证明按照合同约定曾经申请过工期顺延,或者发包人在合同约定工期索赔期限后同意工期顺延,则承包人有权利继续主张工期顺延。

第7条明确发包人就工程质量问题主张的违约金、赔偿修理、返工和改建的合理费用等损失提出反诉的,可以合并审理。事实上,在司法实践中,如果发包人仅以工程质量问题或者承包人在施工过程中偷工减料、未按照图纸施工或者因承包人拒绝履行修复义务而另行委托第三人等提出的减少工程款,这通常属于发包人抗辩的情形而非反诉。同时,根据《民诉法司法解释》第232条规定,如发包人提出的反诉符合受理条件的,法院应当与本诉合并审理,而不能告知发包人另行起诉。第8条针对发包人拖延返还承包人质保金的问题,规定了在不同情况下承包人请求返还质保金的期限。

(三)鉴定问题

第13条明确了诉讼外鉴定咨询意见仅是一种书证,除非当事人双方已经通过委托合同或者其他方式明确表示接受该咨询意见的约束,法院应当尊重当事人的意思自治,对当事人一方事后申请鉴定的行为,应当不予准许。第14条重申了负有举证责任的当事人经释明未申请鉴定,应当承担举证不能的法律后果。同时可知,在二审中申请鉴定,只有在双方当事人都愿意放弃审级利益并同意二审法院直接委托鉴定的情形下,二审法院才可直接委托鉴定,否则应当发回重审。第15条明确,法院准许鉴定后,应当根据当事人申请及查明案件事实的需要,确定委托鉴定的事项、范围、鉴定期限等事项,同时明确鉴定材料的质证程序应由法院组织进行。第16条强调,对鉴定材料进行质证是作出鉴定的前提,同时法院应当组织当事人对鉴定意见进行质证,避免"以鉴代审"。

(四)建设工程价款优先受偿权

随着承包人维权意识增强,在承包人主张工程款时,通常均会主张在欠付工程款范围内享有优先受偿权。如前所述,有关建设工程价款优先受偿权的案件也是建工热点之一,《建工司法解释二》第17条至23条主要释疑了建设工程价款优先权的相关疑问。通过对《最高人民法院建设工程施工合同司法解释(二)理解与适用》1关于工程价款优先权的学习和理解,笔者认为应当重点注意:

一是,依照第17条的解释,依法享有工程价款优先受偿权的人必须与发包人存在直接的施工合同关系,建设工程的勘察人、设计人、分包人、实际施工人、监理人以及与发包人无合同关系的装饰装修工程的施工人均不应享有此项权利。

二是,依照第18条的解释,装饰装修工程的发包人为装修工程所有权人或者发包人虽然不是所有权人,但发包人属于有权处分该建筑物的人。

三是,依照第19条的解释,建设工程质量合格,即使合同无效,承包人仍然享有工程价款优先受偿权。但是违法建筑、质量不合格且难以修复的建筑,不宜折价、拍卖的建筑,不成成为工程价款优先权的对象。

四是,依照第20条的解释,未竣工质量合格的建设工程,承包人就其承建部分享有工程价款优先受偿权。

五是,依照第21条的解释,工程价款的范围一般是指人材机费用、企业管理费、利润、规费和税金。对于违约损失不属于工程价款,如利息、违约金、损害赔偿金等。

六是,依照第22条的解释,自发包人应当给付建设工程价款有之日起算工程价款优先权。首先,合同有约定的,应当遵从当事人约定。其次,在合同无效,但建设工程经竣工验收合格的情况下,可以参照合同约定的应付工程款的时间。再次,合同解除或者终止履行时,以该协议约定确定工程款的支付时间作为工程价款优先权的起算时间。最后,对于付款时间没有约定或者约定不明的,如果建设工程实际交付的,以建设工程实际交付之日为付款时间;如果建设工程没有交付,仍有承包人占有,但是承包人提交了竣工结算文件,发包人在合同约定期限内不予答复的,应当认定此时为付款时间;建设工程未结算也未交付的,以一审承包人起诉的时间作为付款时间。

(五)实际施工人问题

第24条和25条再次规定了实际施工人权利救济的路径。实际施工人不是一个法律概念,其在《建工司法解释一》中首次提出。《建工司法解释一》第26条实际施工人的立法本意是由发包人在欠付工程价款范围内向劳务分包合同的承包人承担责任。后,在司法裁判实践中,扩展至转包人、违法分包人。关于实际施工人权利的救济途径,理论和司法实践争议较多,在《建工司法解释二》中保留了 《建工司法解释一》第26条关于实际施工人权利的救济途径,且总结司法实践规定,转包人和违法分包人必须作为第三人参加诉讼和要求法院查明发包人欠付转包人或者违法分包人的工程价款后,判决发包人是否应在欠付工程款范围内对实际施工人承担责任。同时,本条解释规定不适用于借用资质的实际施工人,即挂靠人;本条可以适用于合法的劳务分包合同的承包人。

第25条新增了实际施工人的代位权诉讼。前述实际施工人的第一种权利救济途径更多的是对党和国家政策的一种落实,但是其法理基础一直备受诟病。第25条实际施工人代位权救济路径是一种法理回归,而且转包人和违法分包人对发包人的债权不仅限于建设工程价款的债权,但是限于司法实践中代位权诉讼的窘境,本条的适用应结合 《合同法》第73条和《合同法司法解释(一)》代位权的相关规定。重点注意代位权的构成要件;对于涉及工程款的诉讼适用专属管辖;对于非属于工程款的诉讼,应由发包人住所地法院管辖等内容。

结语

《建工司法解释二》已经于2019年2月1日起施行,但是对于解释的解读仍在路上,可能在未来一段时间内我们都会有常读常新的感觉。关于招投标制度的秩序性要求与民法的自由性原则的冲撞,可能需要我们结合国务院的最新建工政策来把握二者间的平衡以及对合同效力的影响;对于有关结算条款、优先权条款和实际施工人条款新增的内容,如何解读和落地司法实操,尤其是排除已有最高判例、地方高院意见的影响,将是我们这些建工法律工作者的任务之一。本文在《建工司法解释二》正式施行之机,结合笔者数年来的建工司法工作经验,对《建工司法解释二》的重点内容进行了提示和解读,以期抛砖引玉,最终法律共同体可以统一认识、理解,为建设工程法律风险防范做出贡献。

参考文献:

[1] 最高人民法院民事审判第一庭:《最高人民法院建设工程施工合同司法解二理解适用》,人民法院出版社,2019年1月第1版本,第354~478页。

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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.

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