【作者】 罗丹；

【导师】 杨遂全；

【作者基本信息】 四川大学 ， 法律硕士（专业学位）， 2021， 硕士

【摘要】 挂靠在建设工程领域屡见不鲜,在现行法律体制下甚至以更隐秘的状态存在,因挂靠引发的纠纷也越来越多。在众多的工程挂靠纠纷中,发包人、实际施工人、材料商、分包商等挂靠协议之外的第三人同时向挂靠人和被挂靠人主张责任的问题也尤为突出。但由于现行法律仅仅规定了在工程质量不合格的情形下,资质借用双方对施工合同的发包方承担连带责任,其他关于被挂靠人对于挂靠人工期延误、工程款返还及工程款拖欠等应向发包人承担什么样的责任,被挂靠人对于与挂靠人建立合同关系的分包商、材料商、设备商及实际施工人的责任如何承担,现行法律则尚未明确。对于被挂靠人对发包人应承担的责任,最高人民法院及各地方人民法院普遍认为,对发包人而言,挂靠双方就是一个共同利益主体,作为共同利益主体,挂靠双方当然应对发包人的损失承担共同承担赔偿责任,即连带责任。但对于被挂靠人应当对与挂靠人建立合同关系的分包商、材料商、设备商及实际施工人应当承担何种责任,各地法院的处理意见则大相径庭,本文也主要分析对此类纠纷应确立的责任承担规则。通过反复探讨,可以看出,总体上而言,各级法院对被挂靠人对材料商、分包商、实际施工人等人应承担的责任,普遍存在三种意见:第一,被挂靠人和挂靠人应共同对外承担连带责任;第二,挂靠人作为直接的合同相对方先行承担责任,被挂靠人承担补充责任;第三,挂靠人根据合同相对性直接承担责任,或者根据挂靠人的行为及第三人的主观状态判断挂靠人的行为是否构成表见代理,然后由挂靠人或被挂靠人单独承担责任。在具体的判定责任依据上,共同侵权、被挂靠人存在过错、民事诉讼法解释关于挂靠双方诉讼地位的规定、公平原则往往是实务中认定被挂靠人承担连带责任的主要理由;被挂靠人和相对人均存在过错则构成了被挂靠人承担补充责任的条件;主张挂靠双方各自承担单独责任的理由则主要基于合同相对性或表见代理,从挂靠人的行为名义及相对人的主观状态来判定是由挂靠人或被挂靠人各自承担单方责任。在这三种意见中,连带责任至今仍为实务界的主流意见,但单方责任理论也开始逐渐为越来越多法院所接受,实务中也出现了越来越多的案例开始从合同相对性角度和是否构成表见代理来认定被挂靠人的责任形态。本文正是从工程挂靠中现行被挂靠人的对外责任承担制度出发,结合司法实务及连带责任理论、补充责任理论、表见代理制度对被挂靠人对外责任作出的探讨。第一章从三个最高院审理的案例出发,根据三个案例所体现的连带责任、补充责任论、单独责任论三种不同裁判意见引出文章写作背景及写作意义,同时在对现有研究成果的总结上,指出现有研究基于表见代理制度和连带责任理论所做的讨论存在理论依据上的不足。第二章从司法实务中总结了工程挂靠中现行被挂靠人对外责任承担制度下的三种责任理论和三类责任认定标准,对该三种责任理论、三类责任认定标准进行了具体的介绍和分析,并在此基础上提出工程挂靠中现行被挂靠人对外责任制度下的责任理论存在理论依据上的不足,具体包括连带责任理论法理依据不足,补充责任理论内容不完整、单独责任理论让违法行为人获益,有违公平正义等。第三章回归于挂靠行为的本质,通过对工程挂靠中被挂靠人权利义务的分析,结合挂靠人行为名义和第三人主观状态对实际施工人等第三人合同债权实现的影响,从义务和责任的一致性角度,明确了被挂靠人是基于违反了不得出借资质的法定义务和对挂靠人行为的管理义务决定了在挂靠人以被挂靠人名义对外行为和挂靠人以自己名义对外行为,但第三人对挂靠事实明知两种情形下对第三人之合同债权承担责任。第四章在前文的基础上,从挂靠双方对影响第三人合同债权的原因力大小上,提出被挂靠人是消极责任人,被挂靠人的对外责任应属于补充责任。其次,参照原司法解释中关于开办单位在收取的资金、实物范围内对被开办企业的债务承担责任的规定,被挂靠人承担补充责任的限额也应在收取管理费的范围内。此外,由于现行民法典所规定补充责任是一种替代责任,补充责任人可向直接侵权人追偿,但工程挂靠中被挂靠人的责任不是一种替代责任,而是其本应承担的过错侵权责任,因此,本人提出了工程挂靠中被挂靠人承担的补充责任应该属于不可追偿的补充责任。更多还原

【Abstract】 Attachment is common in the field of construction engineering,and even exists in a more secretive state under the current legal system.The disputes caused by attachment are also increasing.In the numerous project affiliate disputes,the problem that the third party outside the affiliate agreement,such as the employer,the actual construction person,the material supplier and the subcontractor,simultaneously claims the responsibility to the affiliate and the affiliated person is also particularly prominent.But due to the current law only in the case of the engineering quality is unqualified,qualified to borrow the two sides jointly and severally liable to the construction of the contract,the other about has been linked to the affiliated construction period delay,return project and project payment default and should be what kind of responsibility to the developer,and is affiliated with the affiliated people establish a contractual relationship of subcontractors,material suppliers,equipment and the actual construction of how to bear the responsibility,the current law is not clear.The Supreme People’s Court and local people’s courts at all levels generally believe that,for the employer,the two affiliated parties are one subject.So the affiliated person and the affiliated person should jointly bear the responsibility to the employer,that is,assume joint and several liability.However,the courts in different places have different opinions on the liability that the attached person should bear to the subcontractors,material suppliers,equipment suppliers and actual constructors who establish contractual relations with the attached person.This paper mainly analyzes the liability bearing rules that should be established for such disputes.Through repeated discussions,it can be seen that,in general,the Supreme People’s Court and local people’s courts at all levels hold that the attached person should bear three types of liabilities to the material supplier,subcontractor and actual construction person,etc.First,the attached person and the attached person should jointly bear joint and several liabilities externally;Second,as a direct contract party,the affiliated party shall bear the responsibility first,and the affiliated party shall bear the supplementary liability;The third is that the dependent person directly bears the responsibility according to the relativity of the contract,or judges whether the dependent person’s behavior constitutes an apparent agency according to the behavior of the dependent person and the subjective state of the third party,and then the dependent person or the dependent person bears the responsibility alone.On the basis of specific judgment of liability,joint infringement,the affiliated person’s fault,the interpretation of the civil procedure law on the litigation status of the affiliated parties,and the principle of fairness are often the reasons for identifying the affiliated person to bear joint liability in practice.The fault of the dependent person and the relative person is the reason that the dependent person bears the supplementary liability.The reason for claiming that the affiliated parties shall bear the sole liability is mainly based on the relativity of the contract or apparent agency,and it can be judged that the affiliated or the affiliated parties shall bear the unilateral liability respectively from the name of the affiliated person’s behavior and the subjective judgment of the other party.Among the three opinions,joint and several liability is still the mainstream opinion in the field of practice,but the theory of unilateral liability has gradually been accepted by more and more courts.In practice,more and more cases begin to determine the liability form of the attached person from the perspective of contract relativity and whether it constitutes an apparent agency.This article is based on the current external liability system of the attached person,combined with judicial practice,joint and several liability theory,complementary liability theory,apparent agency system to the external liability of the attached person to make a discussion.The first chapter embarks from the three cases of the Supreme Court trial,according to three cases of joint and several liability,supplementary liability theory,three different referee opinion separate responsibility theory derivation article writing background and significance,and on the summary of existing research results,points out that the existing research based on the theory and the agency by estoppels system jointly and severally liable to discuss theoretical basis on the deficiencies.The second chapter from the judicial practice,summarizes the engineering linked current by affiliated foreign responsibility system under the three criteria for recognition of the liability theory and three kinds of responsibility for the three kinds of theory,three kinds of responsibility cognizance standard has carried on the detailed introduction and analysis,and on this basis points out the current in the project are attached by the affiliated foreign liability under the system of responsibility theory is the lack of theoretical basis,Specifically,the theory of joint and several liability has insufficient legal basis,the theory of supplementary liability is incomplete,and the theory of sole liability benefits the wrongdoer and violates fairness and justice.The third chapter is back to the nature of the attached act.Through the analysis of the rights and obligations of the attached person in the project attached,combined with the influence of the name of the attached person’s act and the subjective state of the third party on the realization of the contractual creditor’s rights of the actual construction person and other third party,from the perspective of the consistency of obligations and responsibilities,It makes clear that the affiliated person violates the legal obligation of not lending the qualification and the management obligation of the affiliated person’s behavior,and determines that the third party shall be liable for the contractual claims of the third party under the circumstances that the affiliated person acts in the name of the affiliated person and the affiliated person acts in the name of the affiliated person,but the third party knows the affiliated fact.The fourth chapter,on the basis of the foregoing,points out that the affiliated person is the negative liability person and the external liability of the affiliated person should belong to the supplementary liability from the perspective of the cause force of the affiliated parties to the third party’s contractual creditor’s rights.Secondly,referring to the provisions of the original judicial interpretation on the start-up unit to assume responsibility for the debts of the start-up enterprise within the scope of funds and objects collected,the limit of the supplementary liability borne by the affiliated person should also be within the scope of management fees collected.In addition,due to the current civil code provisions supplementary liability is a kind of vicarious liability,the subjects can recover from the direct infringer,but is not the responsibility of the affiliated person in engineering are attached one kind of vicarious liability,but its the fault of infringement responsibility,therefore,I proposed the project in the attached are affiliated person supplement responsibility should belong to recover the supplement responsibility.更多还原