实际施工人跨越合同关系起诉与仲裁协议效力扩张问题研究  

FResearch on Actual Constructor's Suit for Breaking through the Relativity of Contract and the Expansion of the Validity of Arbitration Agreement

作　　者：张晓峰 张少波 Zhang Xiaofeng;Zhang Shaobo

机构地区：[1]北京市万商天勤律师事务所

出　　处：《北京仲裁》2024年第2期95-114,共20页Beijing Arbitration Quarterly

摘　　要：《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)》(以下简称《施工合同解释》)中为实际施工人起诉发包人创设了特殊救济路径,但该规范的设定与传统仲裁理论产生冲突,在法院与仲裁委对案件的主管权上提出了新的挑战,而其背后所暗含的是实际施工人实体权利与仲裁协议私主体意思自治的法益权衡。本文基于法院对该类案件主管权实证研究并结合仲裁协议效力扩张理论的再思考,分别针对挂靠法律关系与转包/违法分包法律关系下仲裁协议效力扩张至实际施工人进行分析,认为发包人知悉挂靠法律关系及实际施工人订有仲裁条款时,法院无主管权;发包人不知悉挂靠法律关系与转包/违法分包法律关系中,当非仲裁协议签署方的实际施工人选择加入仲裁协议时,仲裁条款应当对其发生扩张的效力,实际施工人若未有加入仲裁的意思表示,法院可参照《最高人民法院关于适用〈中华人民共和国民法典〉合同编通则若干问题的解释》(以下简称《合同编通则解释》)第36条之规定,兼顾发包人的程序抗辩权利和实际施工人实体权利保护。The Interpretation of Construction Contract creates a special remedy path for the actual constructor to sue the employer,but the setting of this norm conflicts with the traditional arbitration theory,which poses a new challenge to the jurisdiction of the court and the arbitration commission over the case,and what is implied behind it is the balance of the substantive rights of the actual constructor and the autonomy of the private subject in the arbitration agreement.Based on the empirical study of the court's jurisdiction over such cases and the reconsideration of the theory of the expansion of the validity of the arbitration agreement,this paper analyzes the expansion of the validity of the arbitration agreement to the actual constructor under the affiliated legal relationship and the subcontracting/illegal subcontracting legal relationship respectively,and holds that the court has no jurisdiction when the employer knows the affiliated legal relationship and the actual constructor has an arbitration clause;In the legal relationship of affiliation and subcontracting/illegal subcontracting,when the actual constructor who is not the signatory of the arbitration agreement chooses to join the arbitration agreement,the arbitration clause shall have the effect of expansion.If the actual constructor does not express his intention to join the arbitration,the court may refer to the provisions of Article 36 of the Interpretation of the General Principles of Contract.Give consideration to the procedural defense right of the employer and the protection of the substantive rights of the actual constructor.

关 键 词：实际施工人 仲裁协议效力扩张 合同相对性原则的例外 

分 类 号：D92[政治法律—法学]