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法律风险预控警示快讯之四:
设计成果交付及确认的法律风险提示
发布时间: 2013-10-30 [特大 ]

一、法律风险案例

(一)案例介绍

2007年6月,设计人与发包人签订了《XX综合楼》的设计合同。合同约定设计服务内容包括方案设计、初步设计、施工图设计和施工配合,并约定了各阶段设计周期及违约责任,下一阶段设计周期均以上一设计阶段工作完成为起算点。

在合同履行过程中,设计人按期提交了全部方案设计文件。在初步设计过程中,发包人口头要求设计人提前交付某单体工程的初步设计和施工图设计文件,并同意设计人适当推迟其他单体初步设计文件的交付期限。此后,设计人按发包人要求及时完成了某单体工程的初步设计文件和施工图设计文件,但因赶工影响,其他单体初步设计文件未能按期交付。在设计人完成全部初步设计文件之前,因项目土地迟迟无法落实,发包人电话通知设计人暂停设计工作。

设计人提交某单体初步设计文件和施工图设计文件时,由发包人所属某普通工作人员签收,但发包人并未在签收文件上加盖公章。

设计工作中止一年后,设计人因项目无任何进展,故要求发包人结算设计费,双方发生争议。设计人要求发包人按合同约定支付方案设计、已完成的某单体初步设计和施工图设计工作的相应设计费,但发包人提出:(1)发包人未收到设计人已交付的某单体工程初步设计文件、施工图设计文件,设计人提供的设计文件签收人并非发包人的员工,发包人无义务支付相应的设计费;(2)在上一阶段设计文件被确认之前,设计人不应提前启动下一阶段设计工作;(3)设计人应按合同约定承担未按期提交全部初步设计文件的违约责任。

因设计人无法证明签收设计文件者的身份,也无法提供发包人要求某单体初步设计文件和施工图设计文件提前交付和其他单体相应设计文件延期交付的证明,设计人最终被迫接受发包人提出的和解方案,因此蒙受重大经济损失。

一、Legal risk case

(一)Case introduction

In June 2007,a designer and a developer signed the design contract of "XX integrated building".Design services include conceptual design,preliminary design,construction drawing design and construction coordination as agreed in the contract,as well as liability for breach of contract.Each stage of the design cycle shall be calculated by the way that the starting point of the next phase of the design cycle is the completion of the former phase of the design.

During the performance of the contract,the designer submitted all the project design documents.In the initial design process,the developer orally required the designer to deliver preliminary design and construction drawing design documents of a single part of the whole project in advance,and agreed to appropriately postpone term of delivery of preliminary design documents for the other parts of the project.Thereafter,the designer of complete timely the preliminary design documents and construction drawings design documents of the single part according to the requirement of the developer.However,due to crashing,the preliminary design documents of the other parts could not delivered on time.Before completion of all the preliminary design documents,the developer informed the designer by phone that the designing would be suspended because of failure of approval for the project land.

When the designer submitted preliminary design documents and construction drawings design documents of the single part,an employee of the developer signed for it   with the developer stamping on it.

One year after the suspension of designing,because the project had no further progress,the designer demand settlement of design fees from the developer,which aroused controversy between the two parties.The designer required the developer to make the corresponding payment of conceptual design of the whole project,preliminary design and construction drawing design of the single part according to the contract.But the developer argued: (1) the developer hadn't received preliminary design documents and the person signed on the design documents was not the employee of the developer,so the developer has no obligation to pay the corresponding design fees;(2) before design documents in the last stages to be confirmed by the developer,the designer should not to start the next stage of design work early;(3) the designer should assume the liability for breach of contract as agreed in the contract for failure of submitting all of the preliminary design documents.

Because the designer cannot prove to the identity of the signatory,and were unable to provide the proof that the developer required preliminary design documents and construction drawings design documents of the single part delivered ahead of schedule and agreed delay delivery of corresponding design documents of the other parts,the designer were eventually forced to accept a settlement proposed by the developer and suffered heavy losses.

(二)案例分析

上述设计人之所以蒙受重大经济损失,主要存在三大失误。

1、 合同约定的设计周期时间起算点不严谨;

2、 设计人轻信发包人的口头要求,且事后又未进行书面确认;

3、 设计成果交付手续不规范。

(二)Case analysis

There are three major mistakes causing heavy losses to the designer:

1.the starting time point of the design cycle agreed in the contract is less rigorous;

2.the designer easily believed the developer's oral requirement without a written confirmation;

3.the delivery procedures of design results are lack of standardization.

二、预控风险的建议

为预控设计成果交付及确认的法律风险,经集团证券法务部、集团规划运营部、北京市明诚律师事务所和北京时代九和律师事务所等四个部门的相关人员共同商讨,一致建议如下:

1、 设计周期起算点的约定应严谨

建议约定为"以业主的书面确认文件为准(对上一阶段的设计成果进行书面确认,并书面指示开展下一阶段的设计工作)"。

2、 严格设计文件的确认手续

1)严格执行设计合同约定的确认手续;

2)若设计合同没有相关约定,则建议:要求发包人按阶段签发设计文件确认单,并加盖公章;确认单内容应明确无异议;如该阶段设计文件需政府主管部门审批,发包人应提供相应批复文件。

3)对于发包人口头提出涉及合同变更事项的,事后应以补充协议或函件予以确认。

4)接到对方发送的沟通函后,应及时回复书面意见。

3、 规范设计文件交付手续

1)严格执行设计文件的交付手续;

2)若设计合同没有相关约定,则建议:设计人交付设计文件时,应同时提交设计文件交付清单(包括设计阶段、专业、图号、数量等,不宜以"图纸一套"的方式表述),发包人在该清单上签收并加盖公章,由设计人留存;必要时,可通过特快专递方式予以交付(应在"内件品名"和"数量"栏中写明文件名称及其数量),如对方拒收退回,应妥善保管,不得开启。

二、Advices to pre-control the risk

In order to pre-control the design results delivery and confirm risk,after the discussion of Group Security and Legal Department,Group Planning and Operation Department,and external law firms (Beijing Professional Business Law Office and Beijing Jurisino Law Group),the suggestion of pre-control risks is as followed:

1.The convention of starting point of the design cycle should be rigorous

The contract should agree that "the starting point of the design cycle is subject to the written confirmation of the owners (giving the written confirm of the design results of the previous stage,and written instructions to carry out the next phase of the design work)

2.Confirm procedures of design documents should be strict

1) Strictly implementation of the design contract confirm formalities

2) If the design contract does not have the related conventions,it is recommended that the owner should issue the design documents confirmation with official seal by stage;the content of the confirmation should be clear and without objection;if the design documents of the stage required approval of government departments,the owner shall provide the approval documents.

3) If the owner proposes the matter of the contract change by oral,it should confirm it by  supplemental agreement or letter afterwards.

4) Prompt respond should be done after receiving the communication letter of the owner and by written comments

3.Specification design document delivery procedures

1) Strict implementation of the design document delivery procedures

2) If the design contract does not have related agreement,it is recommended that when the design documents are delivered,the design documents delivery list (including the design stage,major,drawing number,quantity,etc.,the expression of "a set of drawing"is not appropriate) should be submitted at the same time.The owner should sign and chop with the official seal on the list and retained by the designer.When necessary,it could be delivered by speedpost (indicate the file name and the number in the "name"and "quantity"column),if the owner reject,the mail should be safekeeping and not be opened.

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