Lexology GTDT《PPP专章问答（中国篇）》第四期

信息来源：建领城达所　 时间：2023-04-19　 作者：建领城达所

编者按

国家发改委及财政部 PPP双库专家、上海建领城达律师事务所首席合伙人周吉高律师、高级合伙人王敏律师以及负责PPP业务板块的合伙人李瑞升律师受邀作为独家撰稿人，为国际知名法律咨询平台Lexology GTDT撰写《2023年PPP专章问答（中国篇）》。

Lexology GTDT是国际知名的法律咨询门户网站，通过与超过900家世界顶级律师事务所和法律服务提供方的合作，汇集了超过80个业务领域、150个重要司法辖区的专家撰写的独家法律信息资源。Lexology GTDT 的“市场动态”系列专访有助于读者了解全球主要司法辖区法律和监管环境的演变情况。

建领城达律师事务所主任、首席合伙人：周吉高，复旦大学法律硕士、中国科学院工学硕士、同济大学工学学士。兼任中华全国律师协会建设工程与房地产专业委员会副主任、国家发改委及财政部PPP“双库专家”等社会职务。擅长建设工程、房地产领域的各类专业法律服务。累计为70余家施工企业、70余家房地产公司（集团）提供建筑房地产专业法律服务。凭借在建设工程领域的高胜诉率、客户满意度和市场口碑，周吉高律师连续多年被钱伯斯、The Legal 500、Benchmark Litigation等国际知名法律评级机构评为推荐律师。

建领城达律师事务所高级合伙人、业务一部部长王敏律师，九三学社社员，法学学士。具备十五年以上的公司法务和律师工作经历，为多家世界500强企业、金融机构、国有上市和大型房地产公司、建筑施工企业提供诉讼及非诉法律服务。现致力于建设工程、房地产、金融担保领域法律服务，成功代理了多起疑难、复杂的工程诉讼与仲裁案件（包括申请再审案件），对案件办理过程中的疑难问题进行过深入研究，并就这些问题公开发表过多篇实务文章，现任上海国际经济贸易仲裁委员会（上海国际仲裁中心）仲裁员、上海仲裁委员会仲裁员、海南国际仲裁院仲裁员、南通仲裁委员会仲裁员、上海律师协会建设工程与基础设施业务研究委员会委员等。

建领城达律师事务所合伙人、业务四部部长李瑞升律师，先后在中国政法大学和北京大学获得法学学士和法学硕士学位，长期为承包商提供各类投融建（含PPP）项目的法律咨询服务和纠纷解决服务，以及工程合同纠纷案件代理服务。2021年，李瑞升律师获得ENR/建筑时报“最值得推荐的中国工程法律60位专业律师”奖项。

Question16：May the government ask its counsel to provide a legal opinion on the enforceability of the PPP agreement? May it provide representations as to the enforceability of the PPP agreement? (If yes, indicate what is the customary practice. If no, explain the rationale.)

问题16：政府是否可以要求其律师就 PPP 协议的可执行性提供法律意见？它可以就 PPP 协议的可执行性提供陈述吗？ （如果是，请说明其惯用做法。如果不是，请解释理由。）

Response16：The government usually requires its legal department and/or legal counsel ,who is a lawyer, to issue a legal opinion on the legal compliance, content and reasonableness of the PPP agreement.

回答16：政府通常会要求其法制部门和/或法律顾问（由律师担任）就PPP协议的合法合规性、内容和理性出具法律意见。

Restrictions on foreign entities

对境外实体的限制

Question17：Are there restrictions on participation in PPP projects by foreign entities? May foreign entities exercise control over the project company?

问题17：境外实体参与PPP项目是否受限？境外实体可以控制项目公司吗？

Response17：Overseas entities can participate in PPP projects and control project companies, but the projects they participate in should not be included in the scope of restrictions or prohibitions under the Special Administrative Measures for Foreign Investment Access (Negative List).

回答17：境外实体可以参与PPP项目，可以控制项目公司，但所参与的项目需不在《外商投资准入特别管理措施（负面清单）》的限制或禁止范围之列。

Design and construction in greenfield PPP projects

绿地PPP项目的设计与施工

Form of contract 合同形式

Question18：Does local law mandate that any particular form of contract govern design and construction activities? Does it mandate the choice of governing law?

问题18：当地法律是否规定了设计和施工活动必须遵循某种特定形式的合同？它是否强制规定了适用的管辖法律？

Response18:It should be signed in writing, but there is no mandatory requirement on the content of the contract, and only a recommended model contract text is provided. There is no compulsory provision on the applicable law, but generally if there is no foreign element in the performance of the contract, Chinese law is usually applied.

回答18：需要通过书面形式签订，但对合同的内容无强制性要求，而只是提供了推荐性的示范合同文本。对准据法没有强制规定，但是一般如果合同履行没有涉外因素的话，通常适用中国法律。

Design defect liability

设计缺陷责任

Question19：Does local law impose liability for design defects and, if so, on what terms? (For example, some jurisdictions impose joint and several liability on the designer and contractor for a period of years.)

问题19：当地法律是否规定了对于设计缺陷的责任，如果是的话，会在何种条件下出现？(例如，一些司法管辖区规定设计者和承包商在数年内承担连带责任）。

Response19:Relevant laws, regulations and standard documents, such as the Construction Law and the Regulations on Quality Management of Construction Projects, stipulate the responsibilities of the designer. For quality problems and safety accidents caused by design defects, the designer and the responsible personnel are liable for civil compensation, administrative punishment or even criminal punishment. The period of liability is usually determined in accordance with the design service life.

回答19：《建筑法》和《建设工程质量管理条例》等相关法律法规和标准文件均规定了设计方的责任。对于设计缺陷造成的质量问题、安全事故，设计方和责任人员须承担民事赔偿、行政处罚甚至刑事处罚的责任。责任年限通常按照设计使用年限确定。

Warranties

担保

Question20：Does local law require the inclusion of specific warranties? Are there implied warranties in cases where the relevant contract is silent? Does local law mandate or regulate the duration of warranties?

问题20：当地法律是否要求包含明确的保修条款？在相关合同没有规定的情况下，是否存在隐含的保证条例？当地法律是否规定或调控保修期限？

Response20:The Construction Law and the Regulations on the Quality Control of Construction Projects stipulate the statutory warranty period for all kinds of projects.

回答20：《建筑法》和《建设工程质量管理条例》规定了各类工程的法定保修期。

Damages for delay

延误带来的损害赔偿

Question21：Are liquidated damages for delay in construction enforceable? Are certain penalty clauses unenforceable?

问题21：施工延误造成的违约金是否可强制执行?是否存在某些不可执行的惩罚条款？

Response21:It can be enforced, but if the standard of liquidated damages is too high and significantly higher than the damages of the defaulting party, the defaulting party can request the court or arbitration committee to reduce it.

回答21：可以强制执行，但违约金标准过高，显著高于守约方的损失时，违约方可以请求法院或者仲裁委员会予以调低。

Indirect or consequential damages

间接的损害赔偿

Question22：What restrictions are imposed by local law on the contractor’s ability to limit or disclaim liability for indirect or consequential damages?

问题22：当地法律对于承包商限制或拒绝承担间接损害赔偿责任的能力有哪些约束？

Response22:According to Article 584 of the Civil Law, compensation shall not exceed the losses that the defaulting party foresaw or should have foreseen at the time of  concluding the contract.

回答22：按照《民法典》第584条，赔偿不能得超过违约一方在订立合同时预见到或者应当预见到的因违约可能造成的损失。

Non-payment

未付款

Question23：May a contractor suspend performance for non-payment?

问题23：承包商是否可以因对方不付款而暂停履约？

Response23:In the event that the other party fails to perform the payment obligation, the contractor can usually exercise the rights of First-performance defense, Simultaneous performance defense or Insecurity defense.

回答23：在对方不履行支付义务时，承包商通常可以按照法律规定行使先履行抗辩权、同时履行抗辩权或者不安抗辩权。

Applicable clauses

适用条款

Question24：Does local law restrict ‘pay if paid’ or ‘paid when paid’ clauses?

问题24：当地法律是否限制 "发包人在分包商得到报酬的前提下再向总承包人付款报酬"或 "承包商无条件承诺在收到业主付款后的合理时间内向分包商付款"条款的使用？

Response24:No special restrictions are currently placed on the effect of such provisions, but reasonable consideration is given to whether the obligated party actively contributes to the fulfillment of the conditions when the clause is used. If the conditions for performance of the obligation are not actively facilitated and  delayed, it will propose that the conditions are fulfilled in accordance with Article 159 of the Civil Law, and thus the developer is required to pay the general contractor even if the subcontractor is not paid, and the contractor is required to pay the subcontractor even if the contractor does not receive payment from the owner.

回答24：目前不对该类条款的效力作出特别限制，但在条款使用时会合理考虑负有义务的一方是否积极促成其义务履行条件的成就，如果未积极促成从而导致义务的履行条件迟迟未成就，按照《民法典》第159条，会拟制为履行义务的条件已经成就，进而即使分包商未获得报酬，发包人也需向总承包人付款，承包商未收到业主付款，也需要向分包商付款。

Question25：Are ‘equivalent project relief’ clauses enforceable under local law?

问题25：根据当地法律，"同等项目救济 "条款是否可以执行？

Response25:No such clause exists.

回答25：不存在此类条款。

Expansion of scope of work

扩大工作范围

Question26：May the government party decide unilaterally to expand the scope of work under the PPP agreement?

(If so, what regime governs compensation to the private party? Are there limits on the government’s ability to add incremental works?)

问题26：政府方能否能单方面地决定扩大PPP协议中的工作范围？

(如果政府能单方面做出决定，什么制度规定了对于社会资本方的补偿？政府增加工程量的能力是否受限？）

Response26:The government can make reasonable adjustments to the scope of work of the PPP agreement, including expansion or reduction. However, if the expansion of the scope of work results in the financial expenditure of the project exceeding the demonstrated amount of financial affordability before the implementation of the PPP project, or exceed the approved investment amount of the project, the excess investment amount will require separate approval procedures at the financial and project investment levels, otherwise the financial expenditure will not be arranged.

回答26：政府方可以对PPP协议的工作范围作出合理调整，包括扩大或减少。但如果工作范围扩大导致项目的财政支出超过PPP项目在实施之前的财政承受能力论证金额，或者超过项目经批准的投资金额，则超出部分的投资额需要另行履行财政和项目投资层面的审批程序，否则将无法安排财政支出。

Rebalancing agreements

调整协议

Question27：Does local law entitle either party to have a PPP agreement ‘rebalanced’ or set aside if it becomes unduly burdensome owing to unforeseen events? Can this be agreed to by the parties?

问题27：如果政府与社会资本合作协议因不可预见的事件而变得过于繁重，当地法律是否赋予了任何一方调整或搁置该协议的权利？各方能否能同意这样做？

Response27:According to article 533 of the Civil Law, the basic conditions of the contract have undergone major changes which could not be foreseen by the parties at the time of conclusion of the contract and which are not commercial risks, and if the continued performance of the contract is manifestly unfair to one of the parties, the party adversely affected may renegotiate with the other party; if consultation fails within a reasonable time, the parties may request the court or the arbitration institution to modify or terminate the contract. The court or the arbitration institution shall modify or terminate the contract in the light of the actual circumstances of the case and in accordance with the principle of equity.

回答27：按照《民法典》第533条，合同成立后，合同的基础条件发生了当事人在订立合同时无法预见的、不属于商业风险的重大变化，继续履行合同对于当事人一方明显不公平的，受不利影响的当事人可以与对方重新协商；在合理期限内协商不成的，当事人可以请求人民法院或者仲裁机构变更或者解除合同。人民法院或者仲裁机构应当结合案件的实际情况，根据公平原则变更或者解除合同。

Liens laws

留置权法

Question28：Are statutory lien laws applicable to construction work performed in connection with a PPP agreement?

问题28：法定留置权法是否适用于与政府社会资本合作协议相关的建筑工程？

Response28:The right of lien may only apply to movable property and not to construction work. However, in accordance with Article 807 of the Civil Code, if the developer fails to pay the price as agreed, the contractor may demand the developer to pay the price within a reasonable time. If the developer fails to pay within the time limit, the contractor may agree with the developer to discount the project, or request the court to auction the project according to law, except that it is not appropriate to discount or auction the project according to the nature of the construction project. The price of the construction project shall have priority in compensation of the discount price of the project or the price of the auction.

回答28：留置权仅可针对动产而不适用于建筑工程。但按照《民法典》第807条，发包人未按照约定支付价款的，承包人可以催告发包人在合理期限内支付价款。发包人逾期不支付的，除根据建设工程的性质不宜折价、拍卖外，承包人可以与发包人协议将该工程折价，也可以请求人民法院将该工程依法拍卖。建设工程的价款就该工程折价或者拍卖的价款优先受偿。

Other relevant provisions

其他相关条款

Question29：Are there any other material provisions related to design and construction work that PPP agreements must address?

问题29：是否存在其他PPP协议必须涉及的与设计和施工相关的其他核心条款？

Response29:There is no such clause, and the content of the agreement is agreed by the parties themselves. For sewage treatment projects and garbage treatment projects, the government has provided model PPP agreements, but it is up to the parties themselves to choose whether to use or modify or supplement the terms of the model agreements.

回答29：不存在此类条款，协议内容由当事人自行约定。对于污水处理项目和垃圾处理项目，政府提供了示范性的PPP协议文本，但是否使用、是否对示范文本的条款进行修改或补充，均由当事人自行选择。