國(guó)際工程合同管理培訓(xùn)-設(shè)計(jì)采購(gòu)施工合同

EPCContractsTimSteadmanContractManagementin

InternationalCnstruction設(shè)計(jì)采購(gòu)施工合同TimSteadman國(guó)際工程合同管理2GeneralOverviewIntroductiontoCCConstructionGroupPurposeofpresentationOutlineofpresentationContextRolesPhilosophyStructureFormKeyrisksandcontractterms

概述高偉紳律所建設(shè)工程團(tuán)隊(duì)介紹演講目的演講概要背景角色體系結(jié)構(gòu)形式主要風(fēng)險(xiǎn)與合同條款

3Context-EconomicEffectofcyclesParticipantsProcurementmethodsandstructuresPriceRiskallocationFundingsourcesandmethods背景-經(jīng)濟(jì)體系循環(huán)的效果參與者采購(gòu)方式與結(jié)構(gòu)價(jià)格風(fēng)險(xiǎn)分擔(dān)資金來(lái)源與方式4Context–BusinessCultureMostcountriesembracemarketeconomics(intheory)Inpracticethereareexceptions–helpfulandotherwiseSorelationshipsaretosomeextentadversarial/competitiveAndnegotiationscanbecomplex(especiallyiflendersareinvolved)背景–商業(yè)文化（理論上）大多數(shù)國(guó)家信奉市場(chǎng)經(jīng)濟(jì)實(shí)踐中存在例外——有益或有害因此在某種程度上存在對(duì)抗/競(jìng)爭(zhēng)性關(guān)系談判存在復(fù)雜性（尤其涉及貸款人時(shí)）5Context–Legal/RegulatoryLegalsystemispartofbusinesscultureTheruleoflaw/contractisimportant,especiallyinprojectfinanceddealsCivilandcommonlawsystemsdifferinformandsubstanceImpactofprocurementrulesOnowner’sbehaviourOnbiddingtactics背景–法律法規(guī)法律體系是商業(yè)文化的一部分法治/契約規(guī)則很重要，尤其在項(xiàng)目資金籌措交易中羅馬法與普通法系在形式與實(shí)質(zhì)上存在不同采購(gòu)規(guī)則的影響對(duì)業(yè)主的行為對(duì)投標(biāo)技巧6RolesPrimecontractor(notalwaysEPC)VendorTechnologylicensorInvestorFunder(deliberateorbydefault)角色總承包商(并非總以EPC合同形式)供應(yīng)商技術(shù)許可人投資者融資者(有或無(wú))7PhilosophyAsacontractorOpenbiddingorsolesource?Immediateprofitormarketpenetration/profile?Soleorinconsortium?Legalandpracticalconsequencesofjointliability?Equityorcontractingroleonly?體系作為承包人公開(kāi)投標(biāo)或唯一來(lái)源?希求得到直接利潤(rùn)或通過(guò)市場(chǎng)滲透/打造企業(yè)形象?單獨(dú)投標(biāo)或聯(lián)合投標(biāo)?共同責(zé)任的法律后果或?qū)嶋H后果?入股抑或僅僅是承包人角色?8Philosophy(cont’d)AsanownerAllianceorrisktransfer?LinkedtofundingmethodSomesectoralpatternsAlsovariesbetweenpublicandprivatesectorPhilosophyisinfluentialonlyifsharedwithinsupplychain體系(續(xù))作為業(yè)主聯(lián)合或風(fēng)險(xiǎn)轉(zhuǎn)移?與融資方式相關(guān)聯(lián)一些部門模式公共部門與私營(yíng)部門不同體系僅在供應(yīng)鏈共享范圍內(nèi)有影響9Structure–theProjectPrivatelyprocuredOnbalancesheetOffbalancesheetPubliclyprocuredMaystillbeaccountingconsiderations,eginPPPCombinationsPPPprojectsConcessionsOthers–egPPAs結(jié)構(gòu)–項(xiàng)目私下獲得項(xiàng)目資產(chǎn)負(fù)債表上資產(chǎn)負(fù)債表外公開(kāi)獲得項(xiàng)目仍可能考慮對(duì)價(jià)，例如在PPP（公私合伙）合同中結(jié)合PPP（公私合伙）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)體特許權(quán)合同SPV發(fā)起人股份第三方股份投資人合理注意顧問(wèn)1中間融資者保險(xiǎn)人建設(shè)高級(jí)融資者

(銀行/債券)剩余不動(dòng)產(chǎn)處置合理注意顧問(wèn)2分包人1設(shè)計(jì)人設(shè)備供應(yīng)運(yùn)營(yíng)與維護(hù)開(kāi)發(fā)商合理注意顧問(wèn)3投資人分包人2分包人3保函與擔(dān)保擔(dān)保與保證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合同適合什么么?建設(shè)管理業(yè)主承擔(dān)風(fēng)險(xiǎn)險(xiǎn)承包人保留風(fēng)風(fēng)險(xiǎn)傳統(tǒng)設(shè)計(jì)施工LSTK/EPC風(fēng)險(xiǎn)幅度除非在合同中中另有約定外外：承包人應(yīng)當(dāng)被被視為已獲知知有關(guān)風(fēng)險(xiǎn)、、意外事故及及其他可能影影響工程的情情況的全部必必要信息；一俟簽約，承承包人即接受受了所預(yù)見(jiàn)到到的各類困難難的全部責(zé)任任并承擔(dān)順利利完工的一切切費(fèi)用；且合同價(jià)款不得得因考慮任何何不可預(yù)見(jiàn)的的困難或費(fèi)用用而調(diào)整。LSTK––一次性付款交交鑰匙EPC–設(shè)計(jì)采購(gòu)施工工EPC結(jié)構(gòu)(續(xù))14EPCKeyFeaturesSinglepointresponsibilitySubjecttocapsandcarve-outsHighdegreeofriskforcontractorAlsohigh(butnotabsolute)degreeofcontractorcontrolPricedaccordinglyThepreferredstructureforprojectfinance/PPPtransactionsLinkagetoshareholdersupportEPC主要特點(diǎn)單一責(zé)任責(zé)任的上限及及分割承包人承擔(dān)高高風(fēng)險(xiǎn)項(xiàng)目多由承包包人控制，但但非完全控制制相應(yīng)報(bào)價(jià)項(xiàng)目融資的更更優(yōu)模式/PPP交易與股東支持的的聯(lián)系15EPCKeyFeatures(cont’d)Sensitivetomarketconditions––recenthistoryWidechoiceofstandardcontracts(egFIDICSilverandYellow)Commonlyusedininfrastructure,thermalpoweranddownstreampetchemEPC主要特點(diǎn)(續(xù))對(duì)市場(chǎng)條件敏敏感——最近的歷史可以選擇更多多的標(biāo)準(zhǔn)合同同(例如FIDIC銀皮書和黃皮皮書)在基礎(chǔ)設(shè)施、、熱電廠和下下游石化行業(yè)業(yè)中應(yīng)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)17OwnerDesignKeyFeaturesMorecontrolforownerDesignandotherrisksalsoretainedbyownerHistoryofdisputesUsehasdeclinedinrecentdecadesbutstillusedin,eg,publiccivilworksandtechnologyprojectsIncompatiblewithprojectfinanceapproach業(yè)主設(shè)計(jì)主要要特點(diǎn)業(yè)主更多控制制設(shè)計(jì)及其他風(fēng)風(fēng)險(xiǎn)仍由業(yè)主主保留爭(zhēng)議歷史近幾十年來(lái)使使用率降低，，但仍在使用用，例如在公公共民用建筑筑和技術(shù)項(xiàng)目目中與項(xiàng)目融資方方式不兼容18OWNERTCPROFESSIONALTEAMARCHITECTSTRUCTURALENGINEERM&EENGINEERQUANTITYSURVEYORCDMCO-ORDINATORCONSTRUCTIONMANAGERTC=TRADECONTRACTOR=TradeContract=Appointments=CMAKEYEPCM/CMTCTCTCTCTCTCTCTC業(yè)主TCTC專業(yè)隊(duì)伍建筑師結(jié)構(gòu)工程師機(jī)械電氣工程程師成本估算師CDM協(xié)調(diào)師TCTCTCTCTCTCTC施工項(xiàng)目經(jīng)理理TC=專業(yè)承包商=專業(yè)合同=任命=注冊(cè)管理會(huì)計(jì)計(jì)師KEYEPCM/CM19EPCM/CMKeyFeaturesEPCMcontractorisessentiallyaconsultantOwnerbearssubstantialriskInterfaceRecourse/leverageCanproducethelowestcostandfastestcompletionButisheavilydependentonspecialistskills,experienceandresourcesCanbedisastrousifthosearenotpresent–examplesWidelyusedinupstreamoilandgas,renewablesandsomerealestatemarketsEPCM/CM主要特點(diǎn)EPCM承包人實(shí)際上上是顧問(wèn)業(yè)主承擔(dān)實(shí)質(zhì)質(zhì)性風(fēng)險(xiǎn)接口追索/杠桿作用能達(dá)到最低支支出與最快完完工但很大程度上上有賴于專業(yè)業(yè)技術(shù)、經(jīng)驗(yàn)驗(yàn)與資源如果不具備這這些將可能損損失慘重——案例廣泛應(yīng)用于上上游油氣、可可再生資源以以及一些不動(dòng)動(dòng)產(chǎn)市場(chǎng)20VariantsTiming–two-stagecontractingMarketdrivenandmixedfeedbackConversionmechanismScope––isFEEDincluded?CanbeattractiveforcontractorsPricing––targetcost/GMPUsuallyaconsequenceratherthanachoiceExamples––eg2012Linktophilosophy變量時(shí)間–兩步簽約市場(chǎng)驅(qū)動(dòng)與與綜合反饋饋轉(zhuǎn)換機(jī)制范圍–是否包括FEED?對(duì)承包人有有吸引力價(jià)格–目標(biāo)費(fèi)用/優(yōu)良制造標(biāo)標(biāo)準(zhǔn)GMP通常是結(jié)果果而非選擇擇例子–例如2012與體系相關(guān)關(guān)21FormsofContractaprofusionofcolourandvariety!合同格式各種各樣的的色彩和類類型!22FormsofContractStandardorspeciallydrafted?RelevanceofwiderstructureOriginofstandardformsExampleofFIDICOtherstandardforms,egNEC,AIA,ENAA,EICWhyamenda““proven”form?Tocorrectperceivedanomaliesorbias(examples)合同格式標(biāo)準(zhǔn)合同抑抑或特別制制定的合同同?更廣泛結(jié)構(gòu)構(gòu)的相關(guān)性性標(biāo)準(zhǔn)格式起起源FIDIC實(shí)例其他標(biāo)準(zhǔn)格格式，例如如NEC,AIA,ENAA,EIC為何修訂““現(xiàn)有”格格式?修正已發(fā)現(xiàn)現(xiàn)的異?；蚧蚱?例子)23FormsofContract(cont’d)Toreflectdealspecificsorsectorpractice(examples)Toincorporatematerialfromothercontracts(eginPPP)Toreflectrequirementsoffunding(whichmaybeownerorcontractorsourced)Forlegalreasons(examples)Whodrafts–ownerorcontractor?合同格式(續(xù))反映交易特特性或部門門實(shí)踐（例例子）吸納其他合合同素材(例如在PPP合同中)反映融資需需求(可能來(lái)源于于業(yè)主或承承包人)基于法律原原因(例子)由誰(shuí)起草–業(yè)主還是承承包人?24KeyRisksandContractTermsLawandlanguageEnglishlanguageandstylecommonlyusedPrecedenceandintegrationofdocumentsDistinguishlanguageofcontractandofcommunicationsCommonlawpreferredbutlessstronglythesedaysImpactoflocallawinanyeventWidechoiceofmethodsandplacesfordisputeresolution主要風(fēng)險(xiǎn)與與合同條款款法律與語(yǔ)言言通常使用英英語(yǔ)語(yǔ)言與與文體文件的優(yōu)先先順序與整整體性區(qū)分合同語(yǔ)語(yǔ)言與交流流語(yǔ)言優(yōu)先考慮普普通法，但但近來(lái)這一一趨勢(shì)減弱弱任何情況下下本地法的的影響爭(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(wèn)問(wèn)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?主要風(fēng)風(fēng)險(xiǎn)與與合同同條款款(續(xù))知識(shí)產(chǎn)產(chǎn)權(quán)承包人人的所所有權(quán)權(quán)轉(zhuǎn)讓或或許可可給業(yè)業(yè)主?許可范范圍侵權(quán)賠賠償——有無(wú)上上限?27KeyRisksandContractTerms(cont’’d)PerformanceSecurityJointliabilityGuaranteesBondsTypesandpurposesIssueswithon-demandbondsCreditissuesincurrentmarketRetentionfunds主要風(fēng)風(fēng)險(xiǎn)與與合同同條款款(續(xù))履約擔(dān)擔(dān)保共同責(zé)責(zé)任擔(dān)保人人保函類型與與目的的按需求求發(fā)放放保函函在當(dāng)前前市場(chǎng)場(chǎng)中按按信用用發(fā)放放保函函保留基基金KeyRisksandContractTerms(cont’’d)SubcontractingApprovalStep-inrightsSiteconditionsCanthreatenviabilityofproject/partiesMitigantsAnopen-mindedapproachGovernmentsupportSurveysandstagingFlexibilityindesign28主要風(fēng)風(fēng)險(xiǎn)與與合同同條款款(續(xù))分包同意介入權(quán)權(quán)現(xiàn)場(chǎng)狀狀況可能威威脅到到項(xiàng)目目/當(dāng)事方方的存存續(xù)降低風(fēng)風(fēng)險(xiǎn)的的辦法法思維開(kāi)開(kāi)放的的方式式政府支支持現(xiàn)場(chǎng)考考查與與籌備備設(shè)計(jì)的的彈性性29KeyRisksandContractTerms(cont’’d)LabourLocallawsLocalpreferenceTimeStatusofprogrammeRemediesfordelayLiquidateddamages(““LDs””)fordelayEnforceabilityissueswithdelayLDsAccelerationMilestonesLook-forwarddefaultCalculationandcappingofLDS主要風(fēng)風(fēng)險(xiǎn)與與合同同條款款(續(xù))勞動(dòng)力力當(dāng)?shù)胤ǚ僧?dāng)?shù)貎?yōu)優(yōu)惠時(shí)間計(jì)劃狀狀況延期賠賠償延期違違約賠賠償金金違約賠賠償金金執(zhí)行行力問(wèn)問(wèn)題趕工重大事事件預(yù)期違約約延期違約約賠償金金的計(jì)算算與上限限30KeyRisksandContractTerms(cont’d)Completion,commissioningandtestingSectordifferencesPerformanceLDsandmake-goodDefectsliabilityTypicalperiods“Evergreen”clausesLatentandpatentdefectsRemediesunderthegenerallaw主要風(fēng)險(xiǎn)險(xiǎn)與合同同條款(續(xù))竣工、試試車與試試驗(yàn)部門差別別履行違約約賠償金金或進(jìn)行行補(bǔ)救缺陷責(zé)任任典型期限限“終生””條款潛在缺陷陷與顯著著缺陷依照一般般原則的的救濟(jì)31KeyRisksandContractTerms(cont’d)VariationsInstructedbytheownerResultingfromchangesinlaworstandardsExamplesofriskallocationPriceandpaymentLumpsumorother?CurrencyissuesInputcostfluctuationMilestonesormeasurement?Offsitematerials主要風(fēng)險(xiǎn)險(xiǎn)與合同同條款(續(xù))變更按照業(yè)主主指示因法律或或標(biāo)準(zhǔn)的的變化風(fēng)險(xiǎn)分擔(dān)擔(dān)的例子子價(jià)款與支支付總價(jià)合同同或其他他?貨幣問(wèn)題題投入成本本的波動(dòng)動(dòng)重大事件件或測(cè)量量?場(chǎng)外原料料32KeyRisksandContractTerms(cont’d)AdvancepaymentsCashflowneutralityPaymentsecurityforcontractorSet-offandcorrectionECArequirementsRemediesfornon-paymentRoleoflender’sengineer主要風(fēng)險(xiǎn)險(xiǎn)與合同同條款(續(xù))預(yù)付款現(xiàn)金流平平衡給承包人人的付款款擔(dān)保抵銷與補(bǔ)補(bǔ)償ECA要求未付款的的救濟(jì)貸款人工工程師的的角色33KeyRisksandContractTerms(cont’d)TerminationForownerconveniencePaymentofprofitForforcemajeureForownerdefaultTypicalgroundsRemediesForcontractordefaultTypicalgroundsRemedies(toincluderejection?)主要風(fēng)險(xiǎn)險(xiǎn)與合同同條款(續(xù))終止基于業(yè)主主的利益益支付利潤(rùn)潤(rùn)基于不可可抗力基于業(yè)主主違約典型原因因救濟(jì)基于承包包人違約