建设工程合同违反主体强制性规定的合同效力研究

发布时间：2018-10-16 17:51

【摘要】：建筑活动事关公民的生命和财产安全，国家对承包人的资格有特殊要求并实行特许经营制度，，是完全必要的，这不仅是世界各国立法一致的做法，也是建筑实践的需要，我国也采用了建设工程许可制度。规定建设工程许可制度的规范包括法律、行政法规和规章等，其中法律的规定比较概括和一般，很多相关的事项留给了行政法规和规章来规定，规章的规定最细。有关建设工程合同主体的规定属于强制性规定，违反法律、行政法规和规章并不因为其效力层级的高低而在结果上有区别，违反规章订立的合同由合同法的相关规定予以吸收。之所以在建筑行业中实行建筑许可制度，是因为建筑行业的行业利益以及其所代表的社会公共利益需要特殊的保护，防止出现“楼倒倒”、“楼歪歪”这样的闹剧和悲剧。建设工程合同违反主体强制性规定的类型从大的方面讲包括三类：不具备一般的民事主体资格、不具备相应的资质等级以及未取得相应的建筑施工许可。不具备相应的资质等级又可以分为未取得相应的资质等级、超越资质等级和借用资质等级等情况。借用资质等级常见的有挂靠、联营、内部假承包、将“包工头”聘为承包人的项目经理等。违反建设工程合同主体强制性规定的合同效力为何，从本质上讲是一个政策选择的问题，判断合同效力最终因素应该是利益，即哪种利益更值得保护，否定合同效力对利益格局的变动产生什么样的影响。随着我国《民法通则》、《合同法》以及有关的司法解释的出台，合同效力评价的政策性就更加突出。违反主体强制性规定的建设工程合同的效力状态并不如其他的合同那样具有多样性，只有有效或者无效的可能，并不存在可撤销或者效力待定的情形。之所以这样认定，是因为违反这种规定所损害的一方面是特别重要的公民的生命和财产安全，这是整个建筑法所要达到的目的，另一方面，就目前来看，放宽对违反主体强制性合同效力认定的标准，将某些违反的合同认定为有效的合同，其实际上并不能保护债权人的利益，反而鼓励不具备资质等级或者未经许可的单位或者个人参加到建设工程领域中去。当事人之间产生的利益变动可以通过相应的民事制度加以平衡。
[Abstract]:Construction activities are related to the safety of citizens' lives and property. It is absolutely necessary for the state to have special requirements on the qualifications of contractors and to implement the franchise system. This is not only a consistent practice of legislation in various countries in the world, but also a need of construction practice. Our country has also adopted the construction project license system. The regulation of the permit system for construction works includes laws, administrative regulations and regulations, among which the provisions of the laws are more general and general, and many related matters are left to the administrative regulations and rules, and the regulations are the most detailed. The stipulation about the subject of construction project contract belongs to the mandatory stipulation, violates the law, the administrative regulation and the rule does not have the difference in the result because of its level of effectiveness, the contract which violates the rules and regulations is absorbed by the relevant stipulation of the contract law. The reason for carrying out the building permit system in the construction industry is that the interests of the construction industry and the social and public interests it represents need special protection to prevent farce and tragedy such as "falling down the building" and "building crooked". The types of construction contract violating the mandatory provisions of the subject include three types: not having the general civil subject qualification, not having the corresponding qualification grade and not obtaining the corresponding construction permit. The lack of the corresponding qualification grade can be divided into the situation of not obtaining the corresponding qualification grade, exceeding the qualification grade and borrowing the qualification grade. Common use of qualifications are affiliated, associated, internal false contracting, "contractor" as the contractor's project manager and so on. What is the validity of the contract in violation of the mandatory provisions of the main body of the construction contract? in essence, it is a question of policy choice. The ultimate factor in judging the effectiveness of the contract should be interest, that is, which kind of interest is more worthy of protection. What kind of influence does the negation contract effect produce to the change of interest pattern. With the introduction of General principles of Civil Law, contract Law and related judicial interpretations, the policy of evaluating the effectiveness of contracts becomes more prominent. In violation of the mandatory provisions of the subject, the effective state of the construction contract is not as diverse as other contracts, only valid or invalid, and there is no situation of revocation or validity to be determined. The reason for this finding is that the violation of such provisions damages the safety of the lives and property of particularly important citizens on the one hand, which is the purpose of the entire building law. On the other hand, for the time being, The relaxation of the criteria for the determination of the validity of a breach of a mandatory contract, and the determination of certain violated contracts as valid contracts, can in fact not protect the interests of creditors. Units or individuals who are not qualified or unlicensed are encouraged to participate in the field of construction engineering. The change of interests between the parties can be balanced by the corresponding civil system.
【学位授予单位】：华中科技大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D923.6

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