Research on the Effectiveness of the Contract of Construction Design in Chinese Mainland: Focus on the Contractor Lack of Related Qualifications.

中國對於工程設計行業之市場准入制度係採行以單位資質管理為主，個人執業資格管理為輔的政策方向，而依據其「建築法」及「建設工程勘察設計管理條例」規定行事建築活動之工程設計單位及設計業務承包方應於其申請取得之資質等級許可範圍內從事設計業務，因此引發工程實務上之爭議，關於欠缺資質等級許可或不具相應資質等級許可而承攬設計業務之承包方，其與設計業務之發包方所締結之建設工程設計合同效力應如何判定之爭議。而就此問題，大陸最高人民法院曾針對施工合同提出司法解釋認定應判定合同無效，惟就設計合同得否同時適用，尚存有疑義，故本文以建設工程設計合同之效力為研究核心。 本文主要分成四個部份進行研究，第一部分對大陸現行工程設計行業之准入制度進行通盤性歸納及分析，包括工程設計行業分類、設計範圍、資質等級許可及對於外商投資企業(下稱外資企業)、外國企業之特別規定；第二部份說明資質管理制度對於承包方承攬設計業務時之規範效力及適用範圍；第三部分則係以大陸學說及實務見解說明違法建設工程設計合同之法律依據，及應如何判定此類違法合同效力，並參照最高人民法院對於違反資質管理規範時合同效力之見解判定建設工程設計合同效力；最後以大陸人民法院民事判決為中心，說明此類案件之判決見解及本文分析。 總結上述四個部份，資質管理規範之目的在維護市場秩序及保障工程質量，惟從案例分析發現，縱然建設工程設計合同之雙方當事人非因質量問題或擾亂市場秩序發生糾紛訴至法院，假若發包方主張或是法院自行認定承包方不具相應資質承攬時，法院仍可能判定合同無效，顯與資質管理規範之處罰目的相悖。再者，判定合同無效，違法責任偏重於由承包方負擔，似有忽略資質管理規範亦同時課予發包方應察明並發包予具資質承包方之法定責任，於合同判定無效後，說明發包方與有過失，亦不符合民事糾紛處理應以衡平當事人利益為原則之核心思想，且此類合同之違法情狀大多非屬嚴重，行政機關應得透過一定監管程序予以處罰，惟現多由司法機關判定合同無效以達規範目的，導致司法機關代行政機關執法而有越權之嫌。The market access system of the field of construction design in China is mostly based on qualification management of construction companies and aided by qualification management of personal certified occupation. According to the requirement of Chinese Building Ordinance and Regulations of Construction Survey Design, the construction design companies and contractors of design business applying construction activities should be engaged in the design business with authorized quality levels which they have been applied for, as the design contract is not confirmed as invalid as the construction contract by the Supreme People's Court (SPC) when construction disputes happen in the outsourcer entering contract with the contractors deficient in or not equipped with corresponding quality levels. This thesis therefore, will discuss the research topic in the validity of construction design contract when the contractors do not have the corresponding qualifications. This thesis is divided into four parts. The first part will describe a full picture of current market access system of construction design in China, including classification of construction design ,scope of design ,permission of quality levels and special provisions of companies running with foreign capital and foreign companies. The second part of this thesis will explain the influence of qualification management when the contractors take design business. It will be first illustrated the matters could be affected by the regulation of qualification management when concluding construction design contracts, and then be illustrated the influence of the concluding and contents of design contract for the contractors. The third part will explain based on the legislative authority and criterion of the validity of contract the validity of legislative criterion of violating the design contract. This part will end up with judging the validity of design contract according to the Supreme People's Court (SPC) opinion of the violation of the regulations of qualification management. The fourth part will analyze how the validity of contract according to the current exceptions applied by Chinese courts ;the legal responsibility should be taken after the contract judged to be invalid and the balance of interested parties, is adapted to article fifty-eight of contract law. At last, this thesis is proposed to conclude all the parts, to probe into the topic and trying to be helpful when investors in Taiwan meet the dispute of this sort