Interim Opinions of the Supreme People's Court on the Trial of Cases Involving Disputes over Construction Project Contracts

最高人民法院关于审理建设工程合同纠纷案件的暂行意见

Promulgating Institution: Supreme People's Court

Promulgating Date: 08/05/2002

Effective Date: 08/05/2002

颁布机关: 最高人民法院

颁布时间: 08/05/2002

实施时间: 08/05/2002

Text

正文

In order to maintain and regulate the market economic order for construction projects and properly try cases involving disputes over construction project contracts, the following interim provisions are hereby specified in accordance with the relevant provisions of the Contract Law of the People's Republic of China and the Construction Law of the People's Republic of China and with the actual trial experiences taken into consideration.

    为了维护、规范建设工程市场经济秩序，正确审理建设工程合同纠纷案件，根据《中华人民共和国合同法》、《中华人民共和国建筑法》的有关规定，结合审判实际经验，特作如下暂行规定。

Parties to a Lawsuit

诉讼主体

1. The parties in a case involving disputes over a construction project contract shall generally be the employer and the contractor of the construction project. A people's court shall determine the litigation status of the parties in such type of cases according to different situations.

    1建设工程合同纠纷案件的当事人通常为建设工程的发包人和承包人。人民法院应根据不同的情况来具体确定该类纠纷案件当事人的诉讼地位。

2. With regard to a dispute arising from the default in payment for the project construction, if the contractor transfers its contracted construction project and the actual constructor files an action against the contractor, the employer may not be involved as a party in the action. If the contractor requires involving the employer as a third person and makes claims against the employer, the employer may be involved as a third person provided that the employer is under obligation towards the contractor and the parties concerned shall bear appropriate legal liability on the basis of different legal relationships. If the transfer of the project is approved by the employer, the transfer shall be the transfer of the contract, and the employer shall be listed as a defendant directly.

    2因拖欠工程款引起的纠纷，承包人将承包的建设工程合同转包而由实际施工人起诉承包人的，可不将发包人列为案件的当事人；承包人提出将发包人列为第三人，并对其主张权利而发包人对承包人又负有义务的，可将发包人列为第三人，当事人根据不同的法律关系承担相应的法律责任；如转包经发包人同意，即属合同转让，应直接列发包人为被告。

3. With regard to a dispute arising from project quality, if the employer files an action only against the contractor and the existence of the transfer of the contracted project is ascertained in the trial, the actual constructor shall be added as a co-defendant, and the actual constructor and the contractor shall bear joint and several liability for the project quality.

    3因工程质量引起的纠纷，发包人只起诉承包人，在审理中查明有转包的，应追加实际施工作共同被告，实际施工人与承包对工程质量承担连带责任。

4. Where a constructor affiliated to another construction enterprise concludes a construction project contract in the name of the construction enterprise and the construction enterprise is reluctant to institute a lawsuit, the constructor may file an action as the plaintiff and it is not necessary to list the construction enterprise as a co-defendant.

    4施工人挂靠其他建筑施工企业，并以被挂靠建筑施工企业名义签订建设工程合同，而被挂靠建筑施工企业不愿起诉的，施工人可作为原告起诉，不必将被挂靠建筑施工企业列为共同被告。

5. Where an action is filed against a constructor that is affiliated to another construction enterprise and concludes a construction project contract in the name of the construction enterprise, the constructor and the construction enterprise shall be listed as co-defendants; where the project contracted by the constructor does not conform with the quality standard, causing loss to the employer, the construction enterprise shall bear joint and several liability.

    5施工人挂靠其他建筑施工企业，并以被挂靠建筑施工企业的名义签订建筑工程合同而被起诉的，应将施工人和被挂靠建筑施工企业列为共同被告；被挂靠建筑施工企业对施工人因承揽的工程不符合质量标准造成发包人损失的，应承担连带责任。

6. Where two or more constructors contract a project jointly and a dispute arises between one of them and the employer out of the execution of the construction project contract, the other constructors shall be listed as co-plaintiffs or co-defendants.

    6两个以上的承包人联合承包工程，由其中一方与发包人签订建设工程合同而发生纠纷的，其他联合承包工程的施工人应列为共同的原被告。

7. Where two or more legal persons, other economic organizations or individuals cooperate to construct a project and have common rights and interests in the cooperative construction project, and a dispute arises between one of them and the contractor out of the execution of a construction project contract, the other constructors shall be listed as co-plaintiffs or co-defendants.

    7两个以上的法人、其他经济组织或个人合作建设工程，并对合作建设工程享有共同权益的，其中合作一方因与工程的承包人签订建设工程合同而发生纠纷的，其他合作建设方应列为共同原被告。

Validity of Contracts

合同效力

8. A project construction contract shall be invalid under any of the following circumstances:

(1) Where it is executed by an enterprise or individual not qualified to engage in construction activities;

(2) Where it fails to follow the procedures specified by the State and the investment plans approved by the State;

(3) Where the contractor transfers the whole construction project that it has contracted to a third person;

(4) Where the contractor divides its contracted construction project into parts and transfers them to third persons in the name of subcontracting;

(5) Where the general contractor subcontracts the contracted project without the consent of the employer; or

(6) Where the subcontractor subcontracts or transfers its subcontracted project.

    8有下列情形之一的，所签订的建筑工程施工合同无效：

    (1) 不具有经营建筑活动主体资格的企业或个人；

    (2) 没有按国家规定的程序和国家批准的投资计划；

    (3) 承包人将其承包的全部建设工程转包给第三人；

    (4) 承包人将其承包的全部建设工程肢解后，以分包名义转包给第三人；

    (5) 建设工程总承包人未经建设单位同意，将承包工程中的部分工程分包；

    (6) 分包单位将其承包的工程再分包或转包。

9. A construction project contract that is executed in the name of the enterprise to which the party thereto is affiliated shall be invalid under any of the following circumstances:

(1) Where an individual, partnership organization, or enterprise not qualified to engage in construction activities contracts the project in the name of a construction enterprise having such qualification;

(2) Where a construction enterprise having a lower qualification grade contracts the project in the name of a construction enterprise having a higher qualification grade; or

(3) Where a construction enterprise having no general contracting qualification contracts the project in the name of a construction enterprise having such qualification.

    9有下列情形之一的，并以被挂靠建筑企业名义签订的建筑工程合同无效：

    (1) 不具有从事建筑活动主体资格的个人、合伙组织或企业以具备从事建筑活动资格的建筑企业的名义承揽工程；

    (2) 资质等级低的建筑企业以资质等级高的建筑企业的名义承揽工程；

    (3) 不具有工程总包资格的建筑企业以具有总包资格的建筑企业的名义承揽工程。

10. Where the employer and the contractor execute a construction contract on a project for which no land use right certificate, or construction project planning permit is obtained, and no formalities are completed for approval of the construction, the contract shall be determined invalid; however, the contract shall be determined valid if relevant formalities are completed during the period of the trial.

    10发包人与承包人签订无取得土地使用权证、无取得建筑工程规划许可证、无办理报建手续的“三无”工程建设施工合同，应确认无效；但在审理期间已补办手续的，应确认合同有效。

11. In the event that the employer has been approved to use the land after examination and obtained the construction land planning permit, but has not obtained the land use right certificate due to the incompletion of the formalities for use of the land, the project construction contract shall not be determined invalid on the grounds of such incompletion of formalities.

    11发包人经审查被批准用地，并已取得建设用地规划许可证，只是用地手续尚未办理而未能取得土地使用权证的，不宜将因发包人的用地手续在形式上存在欠缺而认定所签订的建设施工合同无效。

12. A construction project contract executed exceeding the scale as permitted, in violation of the provisions of the Construction Project Planning Permit, shall be determined valid after the relevant formalities have been completed upon approval, provided that it does not violate the provisions of any other law.

    12违反《建设工程规划许可证》的规定，超规模建设所签订的建设工程合同经批准可补办手续，且无违反其他法律规定的，应确认合同有效。

13. With regard to a construction project contract executed by a contractor exceeding its construction qualification grade, such contract may be deemed valid and the project price shall be settled according to the construction qualification grade as agreed in the contract, provided that the contractor can satisfy the requirements for the appropriate qualification grade of such project as set forth in the Construction Enterprise Qualification Grade Standards and the project satisfies the quality requirements as designed and passes acceptance inspection. However, a construction project contract executed by an enterprise far exceeding its construction qualification grade shall be determined invalid.

    13对承包人超越建筑资质等级签订的建设工程合同，如承包人具备《施工企业资质等级标准》的规定的可上浮与建设项目的要求相符的等级条件，工程质量符合设计要求并验收合格的，可按有效合同处理，并以合同约定的建筑资质等级结算工程款。但严重超越本企业建筑资质等级订立的建设工程合同无效。

14. Where the contractor undertakes a project construction project in a province, region, or city other than the place where the contractor is registered, but executes a construction project contract without going through the formalities for obtaining the permit for project contracting by a non-local construction enterprise, the contractor shall be ordered to go through the relevant formalities. Such matter shall be resolved by the relevant administrative departments in accordance with the relevant provisions, and shall not serve as grounds for determining the contract invalid.

    14承包人跨省区或跨市承揽建设工程，但未办理外来施工企业承包工程许可证手续而订立的建设工程合同，应责令承包人被办有关手续，并由有关行政部门按规定处理，而不应据此认定合同无效。

15. Where the employer directly contracts out a construction project for which a public tender invitation is required, and the contractor having an appropriate qualification has performed the project construction contract, the contract shall not be determined invalid on the grounds of failure to issue a public tender invitation for the project.

    15对应实行公开招标的建设工程，发包人直接发包后，具备相应资质的承包人已开始履行合同的，不宜以建筑工程未实行公开招标为由，认定所签订的建筑工程施工合同无效。

16. The clauses on project contracting with fund provided, or fund or payment advanced, by the contractor shall be determined invalid, and the employer shall pay interest on the fund or payment provided or advanced, if any, by the contractor for undertaking the construction of the project.

Where a foreign-invested construction enterprise contracts a project in China with its own funds according to the relevant provisions of the State, the contractual clause on project contracting with the fund provided by the contractor shall be determined valid.

    16建筑工程合同中带资、垫资和垫款承包工程的条款应确认无效，对承包人带资、垫资和垫款承建的工程，发包人应支付该款相应的利息。

    外商投资建筑业企业依据国家有关规定，在我国境内带资承包工程，合同中的带资条款认定有效。

17. Where a construction project contract fails to specify any provision on settlement of project price or the employer and the contractor reach a self-settlement agreement notwithstanding such provision, the settlement agreement shall be valid, except for a major project where the State invests in the construction and controls the settlement of the project price in accordance with the law.

    17建设工程合同对工程款结算没有约定或虽有约定，但发包人与承包人自行结算达成的结算协议有效。属国家投资建设的重大工程，并由国家对工程款结算依法进行管理的除外。

18. Where an internal branch of a contractor qualified as a legal person executes a construction project contract externally within the business scope of the contractor's business license, the execution of the contract shall be deemed to have been authorized by the contractor, the contract shall be valid, and the project price shall be settled according to the contractor's construction qualification grade.

    18具备法人资格的承包人内部分支机构，在其营业执照的经营范围内对外签订的建设工程合同，应视为承包人对其行为已授权，其签订的合同有效，并应以该承包人的建筑资质等级结算工程款。

Civil Liability

民事责任

19. If the employer knows or should know that the contractor is affiliated to another construction enterprise, but still executes a construction project contract with the contractor, the employer shall bear appropriate fault liability for the invalidity of the contract.

    19发包人知道或应当知道承包人挂靠其他建筑企业仍与之签订建设工程合同的，应对无效合同承担相应过错责任。

20. Where a construction project contract executed through transfer of the contracted project or affiliation to another construction enterprise is determined invalid, the project price shall be settled according to the actual constructor's construction qualification grade. However, the contractor's claim for the portion relating to estimated profits in the settlement of the project price shall not be upheld.

    20转包、挂靠签订的建设工程合同被确认无效后，应按实际工人的建筑资质等级结算工程款，但对施工人主张的工程结算中有关计划利润部分的请求可不予支持。

21. After a construction project contract is determined invalid due to the employer's fault, the project price shall be settled on the basis of a valid contract; where the contract becomes invalid due to the contractor's lack of qualification for engaging in construction activities, the project price shall be settled on the basis of non-graded qualification.

    21建设工程合同被确认无效后，如属发包人的过错，工程款的结算按有效合同的原则处理；因承包人不具有从事建筑活动主体资格造成合同无效的，应按非等级资质结算工程款。

22. If the construction is stopped or slowed down due to the contractor's failure to make progress payment as agreed in the construction project contract, the contractor may postpone the project schedule and shall have the right to claim compensation for losses arising from the stoppage or slowdown of the construction.

    22发包人未按建筑工程合同约定支付工程进度款致使停工、窝工的，承包人可顺延工程日期，并有权要求赔偿停工、窝工等损失。

23. Where the contractor fails to raise any objection to the employer's failure to make progress payment as scheduled and continues the construction, the request made by the contractor, after a dispute arises, for holding the other party liable for the breach of contract shall not be upheld.

    23承包人对发包人逾期支付工程进度款没有异议并继续施工的，在发生纠纷后，承包人要求对方对此承担违约责任，不予支持。

24. Where the construction of a project is suspended or slowed down due to reasons attributable to the employer, the employer shall notify, in a timely manner, the other party to take appropriate measures to prevent any increase in loss; in the case of its failure to take such measures, the contractor shall not be entitled to claim compensation for the increased loss.

    24因发包人的原因致使工程中途停建、缓建的，发包人应及时通知对方采取适当的措施防止损失扩大；承包人没有采取适当的措施致使损失扩大的，不得就扩大的损失要求赔偿。

25. Where the contractor incurs loss due to the quality problem with a hidden subsurface work discovered in its construction continued after the work has been inspected and accepted by both parties concerned, the employer shall bear appropriate fault liability, and the design organization and the supervision organization shall bear liability to the extent of their respective fault if they are both at fault.

    25隐蔽工程经双方验收认可后，承包人继续施工而发现隐蔽工程存在质量问题造成损失的，发包人应承担相应的过错责任；若设计单位和监理单位都有过错，应按过错大小各自承担相应的责任。

26. Where the contractor continues, upon the employer's request, the construction of a project that is required to stop by an order of the relevant department due to its lack of land use right certificate, construction planning permit and the necessary approval procedures, the employer shall bear primary, and the contract shall bear secondary, fault liability for the loss arising therefrom.

    26“三无”工程被有关部门责令停建后，承包人仍然依发包人的要求继续施工的，由此造成的损失发包人负主要过错责任，承包人承担次要的过错责任。

27. Where a construction project contract specifies a fixed amount of the total price of the project or the price of materials, the project price shall be settled as agreed provided that the contract is valid. In the event that it is obviously unfavorable to the contractor due to great increase in the price of construction materials resulting from change of circumstances, the contractor may request an increase of the project price. However, as the increase in price of construction materials is within the scope of the normal market risks, the increase shall be borne by the contractor.

    27建设工程合同约定对工程总价或材料价格实行包干的，如合同有效，工程款应按该约定结算。因情势变更导致建材价格大幅上涨而明显不利于承包人的，承包人可请求增加工程款。但建材涨价属正常的市场风险范畴，涨价部分应由承包人承担。

28. Where a construction project fails to be delivered as scheduled due to reasons attributable to the contractor, the contractor shall be liable for breach of contract. If the employer's loss resulting from such delay of delivery exceeds the liquidated damages, the employer may request compensation from the other party, provided that the compensation shall not exceed the possible loss resulting from the breach of contract which the contractor foresees or ought to foresee when breaching the contract.

    28因承包人的原因造成逾期交付建设工程的，承包人应承担违约责任。如果由于逾期交付工程致使发包人的损失超过违约金的，发包人可请求对方赔偿，但不得超过承包人违约时预见或应当预见的因违反合同时可能造成损失。

29. Where the employer uses the project in advance or without approval prior to the acceptance inspection of the project, the employer shall be liable for quality problems or any other problem arising therefrom. However, the contractor shall be liable for the quality problem caused due to reasons attributable to the contractor. In the case that both parties are at fault for the quality problem, they shall bear appropriate civil liability to the extent of their respective fault.

    29工程未经验收，发包人提前使用或擅自动用，因此而发生质量或其他问题，由发包人承担责任，但工程质量因承包人原因造成的，由承包人负责。对造成质量问题双方都有过错的，应根据过错大小各自承担相应的民事责任。

30. After a construction project successfully passes the completion inspection, the contractor shall have the obligation to first deliver the project and the relevant materials to the other party. Any loss resulting from the employer's failure to exercise its rights to possess, use, and dispose of the completed project due to the contractor's refusal to deliver the project because of the employer's delay in paying the project price as agreed shall be borne by the contractor.

    30建筑工程竣工验收合格后，承包人有先将工程及相关的资料交付给对方的义务。承包人因发包人未按约定支付工程款而拒绝交付工程、致使发包人无法对竣工的工程行使占有、使用和处分权利而发生的损失，由承包人承担。