PPTEPC設(shè)計(jì)采購(gòu)施工合同講義（中英文）

EPCContractsTimSteadmanContractManagementinInternationalConstructionBeijing,April28,2009設(shè)計(jì)采購(gòu)施施工合同TimSteadman國(guó)際工程合合同管理2009年4月28日北京2GeneralOverviewIntroductiontoCCConstructionGroupPurposeofpresentationOutlineofpresentationContextRolesPhilosophyStructureFormKeyrisksandcontractterms概述高偉紳紳律所所建設(shè)設(shè)工程程團(tuán)隊(duì)隊(duì)介紹紹演講目目的演講概概要背景角色體系結(jié)構(gòu)形式主要風(fēng)風(fēng)險(xiǎn)與與合同同條款款3Context-EconomicEffectofcyclesParticipantsProcurementmethodsandstructuresPriceRiskallocationFundingsourcesandmethods背景-經(jīng)濟(jì)體系循循環(huán)的的效果果參與者者采購(gòu)方方式與與結(jié)構(gòu)構(gòu)價(jià)格風(fēng)險(xiǎn)分分擔(dān)資金來來源與與方式式4Context––BusinessCultureMostcountriesembracemarketeconomics(intheory)Inpracticethereareexceptions––helpfulandotherwiseSorelationshipsaretosomeextentadversarial/competitiveAndnegotiationscanbecomplex(especiallyiflendersareinvolved)背景–商業(yè)文文化（理論論上））大多多數(shù)國(guó)國(guó)家信信奉市市場(chǎng)經(jīng)經(jīng)濟(jì)實(shí)踐中中存在在例外外——有益或或有害害因此在在某某種程程度上上存在在對(duì)抗抗/競(jìng)爭(zhēng)性性關(guān)系系談判存存在復(fù)復(fù)雜性性（尤尤其涉涉及貸貸款人人時(shí)））5Context––Legal/RegulatoryLegalsystemispartofbusinesscultureTheruleoflaw/contractisimportant,especiallyinprojectfinanceddealsCivilandcommonlawsystemsdifferinformandsubstanceImpactofprocurementrulesOnowner’sbehaviourOnbiddingtactics背景–法律法規(guī)規(guī)法律體系系是商業(yè)業(yè)文化的的一部分分法治/契約規(guī)則則很重要要，尤其其在項(xiàng)目目資金籌籌措交易易中羅馬法與與普通法法系在形形式與實(shí)實(shí)質(zhì)上存存在不同同采購(gòu)規(guī)則則的影響響對(duì)業(yè)主的的行為對(duì)投標(biāo)技技巧6RolesPrimecontractor(notalwaysEPC)VendorTechnologylicensorInvestorFunder(deliberateorbydefault)角色總承包商商(并非總以以EPC合同形式式)供應(yīng)商技術(shù)許可可人投資者融資者(有或無)7PhilosophyAsacontractorOpenbiddingorsolesource?Immediateprofitormarketpenetration/profile?Soleorinconsortium?Legalandpracticalconsequencesofjointliability?Equityorcontractingroleonly?體系作為承包包人公開投標(biāo)標(biāo)或唯一一來源?希求得到到直接利利潤(rùn)或通通過市場(chǎng)場(chǎng)滲透/打造企業(yè)業(yè)形象?單獨(dú)投標(biāo)標(biāo)或聯(lián)合合投標(biāo)?共同責(zé)任任的法律律后果或或?qū)嶋H后后果?入股抑或或僅僅是是承包人人角色?8Philosophy(cont’d)AsanownerAllianceorrisktransfer?LinkedtofundingmethodSomesectoralpatternsAlsovariesbetweenpublicandprivatesectorPhilosophyisinfluentialonlyifsharedwithinsupplychain體系(續(xù))作為業(yè)主主聯(lián)合或風(fēng)風(fēng)險(xiǎn)轉(zhuǎn)移移?與融資方方式相關(guān)關(guān)聯(lián)一些部門門模式公共部門門與私營(yíng)營(yíng)部門不不同體系僅在在供應(yīng)鏈鏈共享范范圍內(nèi)有有影響9Structure––theProjectPrivatelyprocuredOnbalancesheetOffbalancesheetPubliclyprocuredMaystillbeaccountingconsiderations,eginPPPCombinationsPPPprojectsConcessionsOthers––egPPAs結(jié)構(gòu)–項(xiàng)目私下獲得得項(xiàng)目資產(chǎn)負(fù)債債表上資產(chǎn)負(fù)債債表外公開獲得得項(xiàng)目仍可能考考慮對(duì)價(jià)價(jià)，例如如在PPP（公私合合伙）合合同中結(jié)合PPP（公私合合伙）項(xiàng)項(xiàng)目讓步其他–例如PPA10TypicalPPPStructurePUBLICENTITYCONCESSIONCONTRACTSPVSPONSOREQUITYTHIRDPARTYEQUITYINVESTORSDUEDILIGENCEADVISER1MEZZANINEFUNDERSINSURERSCONSTRUCTIONSENIORFUNDERS(BANK/BOND)SURPLUSREALESTATEDISPOSALDUEDILIGENCEADVISER2SUBCONTRACTOR1DESIGNERSEQUIPMENTSUPPLYOPERATION&MAINTENANCEDEVELOPERDUEDILIGENCEADVISER3INVESTORSSUBCONTRACTOR2SUBCONTRACTOR3BONDS&GUARANTEESSURETIES&GUARANTORS典型PPP結(jié)構(gòu)共同實(shí)體體特許權(quán)合合同SPV發(fā)起人股股份第三方股股份投資人合理注意意顧問1中間融資資者保險(xiǎn)人建設(shè)高級(jí)融資資者(銀行/債券)剩余不動(dòng)動(dòng)產(chǎn)處置置合理注意意顧問2分包人1設(shè)計(jì)人設(shè)備供應(yīng)應(yīng)運(yùn)營(yíng)與維維護(hù)開發(fā)商合理注意意顧問3投資人分包人2分包人3保函與擔(dān)擔(dān)保擔(dān)保與保保證11Structure––theMainConstructionContract(s)EPC/designandbuildOwnerdesignedEPCM/CMOthervariants結(jié)構(gòu)–主建設(shè)合合同設(shè)計(jì)采購(gòu)購(gòu)施工/設(shè)計(jì)施工工業(yè)主設(shè)計(jì)計(jì)設(shè)計(jì)采購(gòu)購(gòu)施工管管理/施工管理理EPCM/CM其他變量量12KEY“Traditional””O(jiān)WNERCONTRACTORSUB-CONTRACTORSARCHITECT/ENGINEER=Appointments=Sub-Contracts=BuildingContractEPCStructureKEY“傳統(tǒng)””業(yè)主承包人分包人建筑師/工程師

=任命=分包合同=施工合同EPC結(jié)構(gòu)13WheredoesEPCfitin?ConstructionManagementOwnerassumesriskContractorretainsriskTraditionalDesign&BuildLSTK/EPCRISKSPECTRUMExceptasotherwisestatedintheContract:theContractorshallbedeemedtohaveobtainedallnecessaryinformationastorisks,contingenciesandothercircumstanceswhichmayinfluenceoraffecttheWorks;bysigningtheContract,theContractoracceptstotalresponsibilityforhavingforeseenalldifficultiesandcostsofsuccessfullycompletingtheWorks;andtheContractPriceshallnotbeadjustedtotakeaccountofanyunforeseendifficultiesorcosts.LSTK–LumpSumTurnkeyEPC––EngineeringProcurementandConstructionEPCStructure(cont’d)EPC合同適合合什么?建設(shè)管理理業(yè)主承擔(dān)擔(dān)風(fēng)險(xiǎn)承包人保保留風(fēng)險(xiǎn)險(xiǎn)傳統(tǒng)設(shè)計(jì)施工工LSTK/EPC風(fēng)險(xiǎn)幅度度除非在合合同中另另有約定定外：承包人應(yīng)應(yīng)當(dāng)被視視為已獲獲知有關(guān)關(guān)風(fēng)險(xiǎn)、、意外事事故及其其他可能能影響工工程的情情況的全全部必要要信息；；一俟簽約約，承包包人即接接受了所所預(yù)見到到的各類類困難的的全部責(zé)責(zé)任并承承擔(dān)順利利完工的的一切費(fèi)費(fèi)用；且且合同價(jià)款款不得因因考慮任任何不可可預(yù)見的的困難或或費(fèi)用而而調(diào)整。。LSTK–一次性付付款交鑰鑰匙EPC––設(shè)計(jì)采購(gòu)購(gòu)施工EPC結(jié)構(gòu)(續(xù))14EPCKeyFeaturesSinglepointresponsibilitySubjecttocapsandcarve-outsHighdegreeofriskforcontractorAlsohigh(butnotabsolute)degreeofcontractorcontrolPricedaccordinglyThepreferredstructureforprojectfinance/PPPtransactionsLinkagetoshareholdersupportEPC主要特點(diǎn)點(diǎn)單一責(zé)任任責(zé)任的上上限及分分割承包人承承擔(dān)高風(fēng)風(fēng)險(xiǎn)項(xiàng)目多由由承包人人控制，，但非完完全控制制相應(yīng)報(bào)價(jià)價(jià)項(xiàng)目融資資的更優(yōu)優(yōu)模式/PPP交易與股東支支持的聯(lián)聯(lián)系15EPCKeyFeatures(cont’d)Sensitivetomarketconditions––recenthistoryWidechoiceofstandardcontracts(egFIDICSilverandYellow)Commonlyusedininfrastructure,thermalpoweranddownstreampetchemEPC主要特點(diǎn)點(diǎn)(續(xù))對(duì)市場(chǎng)條條件敏感感——最近的歷歷史可以選擇擇更多的的標(biāo)準(zhǔn)合合同(例如FIDIC銀皮書和和黃皮書書)在基礎(chǔ)設(shè)設(shè)施、熱熱電廠和和下游石石化行業(yè)業(yè)中應(yīng)用用16KEY“Traditional””O(jiān)WNERCONTRACTORSUB-CONTRACTORSARCHITECT/ENGINEER=Appointments=Sub-Contracts=BuildingContractOwnerDesignKey“傳統(tǒng)””業(yè)主承包人分包人建筑師/工程師

=任命=分包合同=施工合同業(yè)主設(shè)計(jì)計(jì)17OwnerDesignKeyFeaturesMorecontrolforownerDesignandotherrisksalsoretainedbyownerHistoryofdisputesUsehasdeclinedinrecentdecadesbutstillusedin,eg,publiccivilworksandtechnologyprojectsIncompatiblewithprojectfinanceapproach業(yè)主設(shè)計(jì)計(jì)主要特特點(diǎn)業(yè)主更多多控制設(shè)計(jì)及其其他風(fēng)險(xiǎn)險(xiǎn)仍由業(yè)業(yè)主保留留爭(zhēng)議歷史史近幾十年年來使用用率降低低，但仍仍在使用用，例如如在公共共民用建建筑和技技術(shù)項(xiàng)目目中與項(xiàng)目融融資方式式不兼容容18OWNERTCPROFESSIONALTEAMARCHITECTSTRUCTURALENGINEERM&EENGINEERQUANTITYSURVEYORCDMCO-ORDINATORCONSTRUCTIONMANAGERTC=TRADECONTRACTOR=TradeContract=Appointments=CMAKEYEPCM/CMTCTCTCTCTCTCTCTC業(yè)主TCTC專業(yè)隊(duì)伍伍建筑師結(jié)構(gòu)工程程師機(jī)械電氣氣工程師師成本估算算師CDM協(xié)調(diào)師TCTCTCTCTCTCTC施工項(xiàng)目目經(jīng)理TC=專業(yè)承包包商=專業(yè)合同同=任命=注冊(cè)管理理會(huì)計(jì)師師KEYEPCM/CM19EPCM/CMKeyFeaturesEPCMcontractorisessentiallyaconsultantOwnerbearssubstantialriskInterfaceRecourse/leverageCanproducethelowestcostandfastestcompletionButisheavilydependentonspecialistskills,experienceandresourcesCanbedisastrousifthosearenotpresent––examplesWidelyusedinupstreamoilandgas,renewablesandsomerealestatemarketsEPCM/CM主要特點(diǎn)點(diǎn)EPCM承包人實(shí)實(shí)際上是是顧問業(yè)主承擔(dān)擔(dān)實(shí)質(zhì)性性風(fēng)險(xiǎn)接口追索/杠桿作用用能達(dá)到最最低支出出與最快快完工但很大程程度上有有賴于專專業(yè)技術(shù)術(shù)、經(jīng)驗(yàn)驗(yàn)與資源源如果不具具備這些些將可能能損失慘慘重——案例廣泛應(yīng)用用于上游游油氣、、可再生生資源以以及一些些不動(dòng)產(chǎn)產(chǎn)市場(chǎng)20VariantsTiming––two-stagecontractingMarketdrivenandmixedfeedbackConversionmechanismScope––isFEEDincluded?CanbeattractiveforcontractorsPricing–targetcost/GMPUsuallyaconsequenceratherthanachoiceExamples––eg2012Linktophilosophy變量時(shí)間–兩步簽約約市場(chǎng)驅(qū)動(dòng)動(dòng)與綜合合反饋轉(zhuǎn)換機(jī)制制范圍–是否包括括FEED?對(duì)承包人人有吸引引力價(jià)格–目標(biāo)費(fèi)用用/優(yōu)良制造造標(biāo)準(zhǔn)GMP通常是結(jié)結(jié)果而非非選擇例子–例如2012與體系相相關(guān)21FormsofContractaprofusionofcolourandvariety!合同格式式各種各樣樣的色彩彩和類型型!22FormsofContractStandardorspeciallydrafted?RelevanceofwiderstructureOriginofstandardformsExampleofFIDICOtherstandardforms,egNEC,AIA,ENAA,EICWhyamenda““proven”form?Tocorrectperceivedanomaliesorbias(examples)合同格式式標(biāo)準(zhǔn)合同同抑或特特別制定定的合同同?更廣泛結(jié)結(jié)構(gòu)的相相關(guān)性標(biāo)準(zhǔn)格式式起源FIDIC實(shí)例其他標(biāo)準(zhǔn)準(zhǔn)格式，，例如NEC,AIA,ENAA,EIC為何修訂訂“現(xiàn)有有”格式式?修正已發(fā)發(fā)現(xiàn)的異異?；蚱?例子)23FormsofContract(cont’d)Toreflectdealspecificsorsectorpractice(examples)Toincorporatematerialfromothercontracts(eginPPP)Toreflectrequirementsoffunding(whichmaybeownerorcontractorsourced)Forlegalreasons(examples)Whodrafts–ownerorcontractor?合同格式式(續(xù))反映交易易特性或或部門實(shí)實(shí)踐（例例子）吸納其他他合同素素材(例如在PPP合同中)反映融資資需求(可能來源源于業(yè)主主或承包包人)基于于法法律律原原因因(例子子)由誰(shuí)誰(shuí)起起草草–業(yè)主主還還是是承承包包人人?24KeyRisksandContractTermsLawandlanguageEnglishlanguageandstylecommonlyusedPrecedenceandintegrationofdocumentsDistinguishlanguageofcontractandofcommunicationsCommonlawpreferredbutlessstronglythesedaysImpactoflocallawinanyeventWidechoiceofmethodsandplacesfordisputeresolution主要要風(fēng)風(fēng)險(xiǎn)險(xiǎn)與與合合同同條條款款法律律與與語(yǔ)語(yǔ)言言通常常使使用用英英語(yǔ)語(yǔ)語(yǔ)語(yǔ)言言與與文文體體文件件的的優(yōu)優(yōu)先先順順序序與與整整體體性性區(qū)分分合合同同語(yǔ)語(yǔ)言言與與交交流流語(yǔ)語(yǔ)言言優(yōu)先先考考慮慮普普通通法法，，但但近近來來這這一一趨趨勢(shì)勢(shì)減減弱弱任何何情情況況下下本本地地法法的的影影響響爭(zhēng)議議解解決決方方式式與與地地點(diǎn)點(diǎn)的的廣廣泛泛選選擇擇25KeyRisksandContractTerms(cont’’d)Qualityandscope“Wrapping””egoftechnologyorexistingworksordesignFitnessforpurposeandreasonableskillandcareInsuranceandriskretentionimplicationsCompliancewithlawsandconsentsSpecialimportanceofenvironmentalrequirementsPass-downfromotherprojectdocuments主要要風(fēng)風(fēng)險(xiǎn)險(xiǎn)與與合合同同條條款款(續(xù))質(zhì)量量與與范范圍圍“限制制”例如如，，對(duì)對(duì)技技術(shù)術(shù)或或現(xiàn)現(xiàn)有有工工程程與與設(shè)設(shè)計(jì)計(jì)符合合目目標(biāo)標(biāo)及及合合理理技技術(shù)術(shù)與與注注意意義義務(wù)務(wù)保險(xiǎn)險(xiǎn)與與風(fēng)風(fēng)險(xiǎn)險(xiǎn)保保留留問問題題符合合法法律律及及約約定定環(huán)境境要要求求的的特特殊殊重重要要性性其他他項(xiàng)項(xiàng)目目文文件件的的延延續(xù)續(xù)26KeyRisksandContractTerms(cont’’d)IntellectualpropertyOwnershipbycontractorAssignedorlicensedtoowner?ScopeoflicenseIndemnitiesforinfringement––cappedornot?主要要風(fēng)風(fēng)險(xiǎn)險(xiǎn)與與合合同同條條款款(續(xù))知識(shí)識(shí)產(chǎn)產(chǎn)權(quán)權(quán)承包包人人的的所所有有權(quán)權(quán)轉(zhuǎn)讓讓或或許許可可給給業(yè)業(yè)主主?許可可范范圍圍侵權(quán)權(quán)賠賠償償———有無無上上限限?27KeyRisksandContractTerms(cont’’d)PerformanceSecurityJointliabilityGuaranteesBondsTypesandpurposesIssueswithon-demandbondsCreditissuesincurrentmarketRetentionfunds主要要風(fēng)風(fēng)險(xiǎn)險(xiǎn)與與合合同同條條款款(續(xù))履約約擔(dān)擔(dān)保保共同同責(zé)責(zé)任任擔(dān)保保人人保函函類型型與與目目的的按需需求求發(fā)發(fā)放放保保函函在當(dāng)當(dāng)前前市市場(chǎng)場(chǎng)中中按按信信用用發(fā)發(fā)放放保保函函保留留基基金金KeyRisksandContractTerms(cont’’d)SubcontractingApprovalStep-inrightsSiteconditionsCanthreatenviabilityofproject/partiesMitigantsAnopen-mindedapproachGovernmentsupportSurveysandstagingFlexibilityindesign28主要要風(fēng)風(fēng)險(xiǎn)險(xiǎn)與與合合同同條條款款(續(xù))分包包同意意介入入權(quán)權(quán)現(xiàn)場(chǎng)場(chǎng)狀狀況況可能能威威脅脅到到項(xiàng)項(xiàng)目目/當(dāng)事事方方的的存存續(xù)續(xù)降低低風(fēng)風(fēng)險(xiǎn)險(xiǎn)的的辦辦法法思維維開開放放的的方方式式政府府支支持持現(xiàn)場(chǎng)場(chǎng)考考查查與與籌籌備備設(shè)計(jì)計(jì)的的彈彈性性29KeyRisksandContractTerms(cont’’d)LabourLocallawsLocalpreferenceTimeStatusofprogrammeRemediesfordelayLiquidateddamages(““LDs”)fordelayEnforceabilityissueswithdelayLDsAccelerationMilestonesLook-forwarddefaultCalculationandcappingofLDS主要風(fēng)險(xiǎn)與合合同條款(續(xù))勞動(dòng)力當(dāng)?shù)胤僧?dāng)?shù)貎?yōu)惠時(shí)間計(jì)劃狀況延期賠償延期違約賠償償金違約賠償金執(zhí)執(zhí)行力問題趕工重大事件預(yù)期違約延期違約賠償償金的計(jì)算與與上限30KeyRisksandContractTerms(cont’d)Completion,commissioningandtestingSectordifferencesPerformanceLDsandmake-goodDefectsliabilityTypicalperiods“Evergreen””clausesLatentandpatentdefectsRemediesunderthegenerallaw主要風(fēng)險(xiǎn)與合合同條款(續(xù))竣工、試車與與試驗(yàn)部門差別履行違約賠償償金或進(jìn)行補(bǔ)補(bǔ)救缺陷責(zé)任典型期限“終生”條款款潛在缺陷與顯顯著缺陷依照一般原則則的救濟(jì)31KeyRisksandContractTerms(cont’d)VariationsInstructedbytheownerResultingfromchangesinlaworstandardsExamplesofriskallocationPriceandpaymentLumpsumorother?CurrencyissuesInputcostfluctuationMilestonesormeasurement?Offsitematerials主要風(fēng)險(xiǎn)與合合同條款(續(xù))變更按照業(yè)主指示示因法律或標(biāo)準(zhǔn)準(zhǔn)的變化風(fēng)險(xiǎn)分擔(dān)的例例子價(jià)款與支付總價(jià)合同或其其他?貨幣問題投入成本的波波動(dòng)重大事件或測(cè)測(cè)量?場(chǎng)外原料32KeyRisksandContractTerms(cont’d)AdvancepaymentsCashflowneutralityPaymentsecurityforcontractorSet-offandcorrectionECArequirementsRemediesfornon-paymentRoleoflender’sengineer主要風(fēng)險(xiǎn)與合合同條款(續(xù))預(yù)付款現(xiàn)金流平衡給承包人的付付款擔(dān)保抵銷與補(bǔ)償ECA要求未付款的救濟(jì)濟(jì)貸款人工程師師的角色33KeyRisksandContractTerms(cont’d)TerminationForownerconveniencePaymentofprofitForforcemajeureForownerdefaultTypicalgroundsRemediesForcontractordefaultTy