Global Arbitration Review中国建设工程仲裁问答专章•第一期

信息来源：建领城达所　 时间：2021-08-06　 作者：建领城达所

编者按上海建领城达律师事务所主任周吉高律师受Global Arbitration Review（《环球仲裁评论》，简称GAR）邀请，为该杂志撰写中国建设工程仲裁问答专章。内容涵盖了建设工程合同履行、法律救济、仲裁程序等57个与中国建设工程仲裁实践密切相关的重要法律问题。建领城达根据中国大陆地区的现行法律规定、司法解释以及司法实践主流观点，对全部问题逐一作出了细致、专业、准确的回答，以期为境外的企业、律师以及仲裁员快速熟悉、了解中国建设工程仲裁法律实务提供指引和参考。“建领城达”公众号将对中国建设工程仲裁专章问答的全部内容进行分期推送，本文为第一期，以飨读者！

Legal system 法系

Q1： Is your jurisdiction primarily a common law, civil law, customary law or theocratic law jurisdiction? Are the laws substantially derived from the laws of another jurisdiction and, if so, which? What instruments have legal force and effect? Who are the lawmaking bodies? How and where are new laws published? Can laws be passed with retrospective effect?
中国的法系主要是普通法系、大陆法系、习惯法还是神权法？ 这些法律是否实质上源自其他国家的法律，如果是，是哪一个？ 哪些文书具有法律效力？ 谁是立法机构？ 新法律是如何以及在哪里发布的？ 法律可以有溯及力吗？
A1： China is primarily a civil law jurisdiction.
Chinese laws are historically heavily influenced by laws of Germany, Japan, and Soviet Union.
In the field of construction, the instruments that have legal force and effect include: the Civil Code, Construction Law,
Bidding Law, Regulations on Quality Management of Construction Projects, Judicial Interpretation of Construction Contracts for Construction Projects (I), and etc.
The lawmaking bodies are the National People’s Congress, Standing Committees of National People’s Congress and the State Council.
New laws should be first passed by the National People’s Congress or its Standing Committees, then be promulgated by presidential decrees, and in the end be signed by the President. New laws are published on the National People’s Congress website. The administrative regulations formulated by the State Council shall be submitted to the Prime Minister for signing the State Council Decree for promulgation and implementation. These regulations are published through the State Council Communique and the Chinese government’s Legal Information website.
Typically, laws of China have no retroactive effect but there are exceptional situations.
中国是大陆法系国家。 中国法律参考了德日并受前苏联影响。
建筑工程领域主要适用《民法典》、《建筑法》、《招标投标法》、《建设工程质量管理条例》与《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（一）》等。
中国的立法机构是全国人大及其常委会，以及国务院。
全国人民代表大会及其常委会通过的法律由国家主席签署主席令予以公布，相关法律可以通过中国人大网查询。 国务院制定的行政法规报请总理签署国务院令公布施行，可通过国务院公报和中国政府法制信息网查询。
中国的法律原则上没有溯及力，但是有例外。

Contract formation 合同的成立

Q2：What are the requirements for a construction contract to be formed? When is a ‘letter of intent’ from an employer to a contractor given contractual effect?

建筑合同的成立要件是什么？业主给承包商的“意向书”何时会具有合同效力？

 

A2：As per articles 789 and 490 of the Civil Code, a construction contract shall be formed when both parties have affixed their signatures, seals or fingerprints thereto.

Whether a ‘letter of intent’ is effective or not depends on its specific contents. With different contents, a ‘letter of intent’ may be a consultative document, a preliminary contract or a valid contract. When a ‘letter of intent’ constitutes a preliminary contract or a valid contract, it shall have contractual effect.

根据《民法典》第789条、第490条第1款规定，建筑合同应当采用书面形式，合同自双方当事人签名、盖章或按指印时合同成立。意向书是否具有合同效力，需要依据该意向书中的具体内容判断。意向书可能是磋商性文件、预约合同或者本约合同。如果意向书构成预约、本约，即具有合同效力。

Choice of laws, seat, arbitrator and language 准据法、仲裁地、仲裁员和语言的选择

Q3： Are parties free to choose: (a) the governing law of their contract; (b) the law of the arbitration agreement; (c) the seat of the arbitration; (d) any arbitral rules; (e) anyone to act as arbitrator; and (f) the language of the contract and the arbitration? If not, what are the limitations on choice and what happens if the parties act contrary to them?
当事人是否可以自由选择：(a)合同准据法；(b)仲裁协议的法律；(c)仲裁地；（d）任何仲裁规则；(e)仲裁员；(f)合同和仲裁的语言？如果不能自由选择，限制是什么？如果双方的行为与限制相反，会有什么后果？   A3： For (a) and (b): in China, the parties to a not foreign-related contract cannot choose foreign law as the governing law and the law of the arbitration agreement. The parties to a foreign-related contract may freely choose foreign law as the governing law of the contract and arbitration agreement.
For (c) and (d): parties cannot agree that contract disputes without foreign-related contents shall be submitted to an overseas arbitration institution, but parties can do so if there are foreign-related elements.
For (e) and (f): parties are free to agree on the ones to be arbitrators, the language of arbitration and the language of the contract.
If the agreement and acts of parties are contrary to the above restrictions, the agreement and acts will be deemed as ineffective.
对于(a)合同准据法以及(b)仲裁协议的法律而言：
在中国，非涉外合同的当事人不得选择外国法作为准据法、仲裁协议适用的法律。
涉外合同的当事人一般可以选择外国法作为准据法、仲裁协议适用的法律。
对于(c)仲裁地、(d)任何仲裁规则而言：不得约定将不具有涉外因素的合同争议交由境外仲裁机构管辖，但有涉外因素则可以。
对于(e)仲裁员、(f)合同和仲裁的语言，当事人可以自由约定。
如果当事人约定、行为与上述限制相违背，则该约定、行为无效。

Implied terms 默示条款

Q4： How might terms be implied into construction contracts? What terms might be implied?
建筑合同中如何包含默示条款？ 有哪些默示条款？   A4： Terms might be implied into construction contracts by express agreement (written). Typically, there are three types of implied terms in construction contracts:
• non-performance of contractors. For example, if the contractor fails to reply after receiving the employer’s claim report, it shall be deemed as approval from the contractor.
• non-performance of employers. For example, if the employer fails to complete the review or the employer raises no objection within the time limit after receiving a completion settlement agreement submitted by the contractor, it shall be deemed as approval from the employer.
• non-performance of supervisors. For example, if the supervisor fails to complete the review of the bill of quantities submitted by the contractor, it shall be deemed as approval from the supervisor.
中国法下，建筑合同默示条款需要双方在合同中明确约定。
建筑合同中包括三类默示条款：1）承包人不作为默示条款，如承包人在收到发包人的索赔报告逾期未答复的，视为认可。2）发包人不作为默示条款，如发包人在收到承包人报送的竣工结算申请书逾期未完成审核或未提出异议的，视为认可竣工结算申请书。3）监理人不作为默示条款，如监理人逾期未完成承包人报送的工程量报表审核的，视为认可承包人报送的工程量。

Certifiers签证人

Q5：When must a certifier under a construction contract act impartially, fairly and honestly? To what extent are the parties bound by certificates (where the contract does not expressly empower a court or arbitral tribunal to open up, review and revise certificates)? Can the contractor bring proceedings directly against the certifier?

建筑合同下的签证人何时必须公正、公平和诚实地作出确定？当事人在多大程度上受签证人作出确定的约束(如果合同没有明确授权法院或仲裁庭公开、审查和修订签证单)？承包商能否直接对签证人提起诉讼？

 

A5：In China, the ‘certifier’ is similar to the ‘supervisor’ under a construction contract.

When parties cannot reach an agreement on the disputed matters (such as the adjustment of the contract price or the construction period caused by changes of laws) through negotiation, in practice, parties would agree that the supervisor can decide the matter with discretion. The supervisor shall prudently make a fair judgment in accordance with the terms of the contract. However, because the supervisor is usually appointed by the employer, it is difficult for the supervisor to make an impartial, fair and honest decision under a construction contract in China.

If parties to the contract do not raise any objection to the supervisor’s decision, the decision shall be implemented. If any party to the contract has an objection, it shall be dealt in accordance with the dispute resolution provision of the contract. Before the dispute is resolved, parties to the contract shall temporarily implement it as decided by the supervisor. After the dispute is settled, if the result of the dispute settlement is inconsistent with the supervisor’s decision, the dispute settlement shall prevail.

The contractor cannot bring proceedings directly against the supervisor. Based on the doctrine of ‘privity of contract’, which is confirmed by the Contract Law, a contractor can only bring proceedings against the employer and claim losses caused by the implementation of the supervisor’s wrong decision.

在中国建筑合同下的签证人，通常指监理人。

在合同当事人不能通过协商对争议事项（如法律变化引起合同价格或工期调整的问题）达成一致意见时，若合同约定监理人有权对该事项进行确定，则可由监理人按照合同约定审慎做出公正的确定。但是，客观上，由于监理人受发包人委托，故中国建筑合同下监理人较难公正、公平和诚实地作出确定。

合同当事人对监理人的确定没有异议的，按照监理人的确定执行。任何一方合同当事人有异议，按照合同争议解决条款处理，争议解决前，合同当事人暂按监理人的确定执行；争议解决后，争议解决的结果与监理人的确定不一致的，按照争议解决的结果执行。

承包人不能直接对监理人提起诉讼。根据合同相对性原则，承包人只能向发包人主张因执行监理人错误的确定造成的损失。

Competing causes of delay 工期延误原因竞合

Q6： If an employer would cause (eg, by variation) a two-week critical delay to the completion of the works (which by itself would justify an extension of time under the construction contract) but, independently, culpable delay by the contractor (eg, defective work) would cause the same delay, is the contractor entitled to an extension?
如果业主本来就会有(例如，通过变更)两个星期的工程竣工延(其本身能够证明施工合同项下的延期是合理的)，但承包商的过失(例如，缺陷工程)也会导致同样的延期（独立原因），这种情况下承包商有权延期吗？   A6： In practice, there are two situations: • the contractor is entitled to an extension of time but is also liable for delay to the completion of the works. This situation is generally agreed in a construction contract in practice. It is difficult to determine the reasons independently caused by any party because the reasons for delay are always so complex. If both the construction contract and laws have no stipulation on liabilities for a delay, parties shall be liable for losses according to the principle of fairness under the Contract Law.
• the contractor is entitled to an extension of time if the contractor can prove that the reason for the delay is caused by the employer, for example, the construction period is delayed for two weeks due to changes of the work made by the employer.
司法实践中，有两种情形。
其中一种为：承包人有权主张顺延工期，发包人也有权追究承包人的工期违约责任。中国的司法实践中发生的工期延误往往交织着承发包双方综合的因素，难以认定系承发包哪方独立的原因导致的。建筑合同中通常会约定发包人原因导致工期延误的承包人有权主张工期顺延，承包人原因导致工期延误的发包人有权主张逾期竣工违约金。在建筑合同对两个独立原因导致工期延误如何承担责任没有约定、法律也没有规定的情况下，我们认为可以依据《民法典》第6条的公平原则酌定由承发包双方共同分担该工期延误的责任。
另外一种为：承包人有权主张工期顺延。原因在于如果发包人举证证明竣工工期延误，则承包人需要承担工期违约责任。但是，承包人如果能够举证证明工期延误的原因在于发包人等（如因工程变更导致工期延误两个星期，延误的原因在于发包人），则承包人根据合同约定以及举证责任分配原则，有权获得工期顺延，此时，无需考虑承包人的过失。

Disruption干扰

Q7： How does the law view ‘disruption’ to the contractor (as distinct from delay or prolongation to the completion of the works) caused by the employer’s breaches of contract and acts of prevention? What must the contractor show for a disruption claim to succeed? If an entitlement in principle can be shown (eg, that a loss has been caused by a breach of contract) must the court or arbitral tribunal do its best to quantify that loss (even if proof of the quantum is lacking or uncertain)?
法律如何认定业主违反合同和预防行为对承包商造成的“干扰”(有别于工程竣工的延迟或延长)？ 承包商怎样才能“干扰索赔”成功？ 如果原则上可以证明一项权利（例如，一项损失是由违反合同造成的），法院或仲裁庭是否必须尽最大努力量化该损失（即使缺乏相关证据或证据不确定）？   A7： There is no concept of ‘disruption’ under Chinese laws, but, in practice, some acts of employers in breaching contracts will constitute ‘disruption’ to the contractors. Under these situations, the employer shall be held liable, for example: (i) the employer does not pay the price as agreed, (ii) the main materials, components and equipment provided by the employer do not meet mandatory standards and (iii) the employer does not perform assistance obligations.
When ‘disruption’ transpires, the contractor shall fix evidence and make claims in accordance with procedures agreed in the contract to succeed claims. In practice, the contractor shall submit a notice of intention to claim, a claim report, a notice of continuation of the claim at reasonable intervals (if any), a report on the actual situation and records of continuous impacts (if any).
In general, if an entitlement can be shown in principle but the contractor cannot prove the actual loss, the contractor’s claim will typically be rejected by the court. The court or the arbitral tribunal will not have to do its best to quantify losses. However, in practice, there are also cases where the court or the arbitral tribunal will decide losses based on the facts even if there is a lack of evidence.
中国法律没有使用“干扰”一词，但是，业主违反合同行为包含了会对承包人造成“干扰”的行为。即业主未按约定支付工程价款，提供的主要建筑材料、建筑构配件和设备不符合强制性标准，不履行合同约定的协助义务等，实际上构成对承包人造成的“干扰”，业主为此需要承担赔偿责任。但是，对于预防行为对承包人造成的“干扰”并没有法律规定。
当业主的行为对承包人造成干扰时，承包人应当及时固定业主违约的证据，并按照合同约定的程序索赔。如承包人应在知道或应当知道索赔事件发生后先向监理人或业主递交索赔意向通知书，说明发生索赔事件的事由。在发出索赔意向通知书后向监理人或业主正式递交索赔报告，附必要的记录和证明材料。在索赔事件影响结束后向监理人或业主递交最终索赔报告，并附必要的记录和证明材料。若索赔事件具有持续影响的，承包人应按合理时间间隔继续递交延续索赔通知，并说明持续影响的实际情况和记录。
一般情况下，如果原则上可以证明一项权利，若承包人就实际损失举证不能的话，承包人的索赔将被驳回，法院或者仲裁庭没有义务必须尽最大努力量化该损失。但是，实践中，也有相关的案例，在缺乏证据或者证据不足以证明实际损失的情况下，法院或仲裁庭会根据实际情况酌定相关损失数额。

Acceleration赶工

Q8： How does the law view ‘constructive acceleration’ (where the contractor incurs costs accelerating its works because an extension of time has not been granted that should have been)? What must the contractor show for such a claim to succeed? Does your answer differ if the employer acted unreasonably or in bad faith?
法律如何看待“建设性赶工”（推定赶工）？（在这种情况下，承包商因未获得本应获得的工程延期而产生了赶工费用）承包商怎样才能索赔成功？如果业主的行为不合理或不守信，你的回答会不同吗？   A8： There is no concept of ‘constructive acceleration’ under Chinese laws, but in practice, there are circumstances where the contractor incurs costs by accelerating its works because an extension of time has not been granted but should have been. In accordance with business practice in construction, the employer shall pay the costs. In practice, the contractor must report the acceleration plan to the employer, carry out the acceleration after being approved by the employer or the supervisor, and then claim costs incurred by the acceleration plan, etc, to succeed claims.
If the employer acted unreasonably or in bad faith, the contractor may claim costs by bringing a suit or apply for arbitration. Meanwhile, the contractor shall collect and fix relevant evidence, such as the acceleration plan signed or approved by the supervisor or the employer, and the paid costs caused by the plan.
中国法下没有建设性赶工的特定概念，但实践中也存在承包商因未获得本应获得的工程延误而进行赶工并产生相应赶工费用的情形。根据行业惯例，在此种情况下，由业主承担承包商的赶工费用。
在实践中，承包人应当上报赶工方案，经业主或监理审批后进行赶工，进而依据赶工方案等进行费用索赔。
如果业主的行为不合理或不守信，承包人可通过提起诉讼或仲裁的方式主张赶工费用，并特别注意留存业主或监理签收或审批赶工方案的证明材料、赶工费用支出凭证等资料。