FIDIC合同概要与红皮书应用解析

1、FIDIC INTERNATIONAL FEDERATION OF CONSULTING ENGINEERS WWW.FIDIC.ORG FIDICFIDIC.ORG COPYRIGHT 2008Contract Management and AdministrationFIDIC合同概要与红皮书应用解析合同概要与红皮书应用解析1FIDIC INTERNATIONAL FEDERATION OF CONSULTING ENGINEERS WWW.FIDIC.ORG FIDICFIDIC.ORG COPYRIGHT 2008Contract Management and Administrati

2、on、FIDIC 合同概要 1 fidic 工程合同起源与发展工程合同起源与发展 2 里程碑的差异里程碑的差异 3 内容差异内容差异 4 主要条件对比主要条件对比 5. 索赔索赔 6. 争端裁决委员会争端裁决委员会 7. 仲裁仲裁 2FIDIC INTERNATIONAL FEDERATION OF CONSULTING ENGINEERS WWW.FIDIC.ORG FIDICFIDIC.ORG COPYRIGHT 2008红皮书红皮书 施工合同条件施工合同条件1957 : 1st 1969 : 2nd 1977 : 3rd 1987 : 4th 1992, 1996 : Revised19

3、99 : 1st Edition黄皮书黄皮书 电气及机械工程合同条件电气及机械工程合同条件1963 : 1st 1980 : 2nd 1987 : 3rd 1988 : Revised橘皮书橘皮书设计建造与交钥匙工程合同条件设计建造与交钥匙工程合同条件1995 : 1st Edition1999 : 1st Edition1999 : 1st Edition绿皮书：绿皮书： 1999 : 简明合同格式简明合同格式GREEN BOOKEPC/交钥匙工程合同条件交钥匙工程合同条件设备与设计建造工程合同条件设备与设计建造工程合同条件施工合同条件施工合同条件1. FIDIC合同文件起源与发展合同文件起

4、源与发展1) 工程合同工程合同红皮书红皮书 土木工程施工分包合同条件土木工程施工分包合同条件1994, 2010 : 2nd Edition 粉皮书粉皮书施工合同条件施工合同条件 (MDB 和谐版和谐版)BLUE-GREEN BOOK 疏浚与回填工程合同格式疏浚与回填工程合同格式)2004, 2006, 2010 (3rd)2006 : 1st Edition 金皮书金皮书设计、建造及运营项目合同条件设计、建造及运营项目合同条件2008 : 1st Edition 3FIDIC INTERNATIONAL FEDERATION OF CONSULTING ENGINEERS WWW.FIDIC

5、.ORG FIDICFIDIC.ORG COPYRIGHT 2008工程标准合同 - 小型项目(Green Book, 1999) - 施工(Red Book, 1999)- MDB 和谐版(Pink Book, 2010)- 设备与设计-建造(Yellow Book, 1999) ）- EPC/交钥匙 (Silver Book, 1999)-设计-建造-运营 (Gold Book, 2008)-疏浚与回填 (Blue-Green, 2006)4FIDIC INTERNATIONAL FEDERATION OF CONSULTING ENGINEERS WWW.FIDIC.ORG FIDICF

6、IDIC.ORG COPYRIGHT 2008标准专业服务协议- 雇主 咨询商 (2006, 4th) - 联营体(1992, 1st) - 咨询分包 (1992 1st, 1998 reprinted with amendments)- 代表 (2004, test) 2) 服务合同服务合同5FIDIC INTERNATIONAL FEDERATION OF CONSULTING ENGINEERS WWW.FIDIC.ORG FIDICFIDIC.ORG COPYRIGHT 20083) 合同文本的合同文本的选择选择简单项目？简单项目？雇主设计？承包商设计？固定价格 总价工程师参与雇主承担

7、不可预见风险 固定价格- 总价 雇主很少参与 承包商承担不可预见风险nononoyesyesyes yes US 500,000美元以下，不超过美元以下，不超过6个月的小型工程，适合时，个月的小型工程，适合时，亦可用于亦可用于US 10,000,000 或以上，或以上， 12 - 18 月重复性的项目。月重复性的项目。不容许扩充延伸6FIDIC INTERNATIONAL FEDERATION OF CONSULTING ENGINEERS WWW.FIDIC.ORG FIDICFIDIC.ORG COPYRIGHT 2008Contract Management and Administra

8、tion: 1 - Introduction附附. 多边开发银行协调版多边开发银行协调版2005年，多边开发银行会同FIDIC共同对“新红皮书”的通用条款进行了研讨和修改，使之标准化。协调后的文件不仅使银行及他们的借款人，还是涉及到项目采购的人（如咨询工程师，承包商和合同律师等）使用时更加方便。2006年，FIDIC又对“新红皮书”的通用条款作了进一步修改，发布多边银行协调版 第二版）。凡涉及下述银行的贷款项目，一律采用此版。-非洲开发银行-亚洲开发银行-黑海贸易与开发银行-加勒比开发银行-欧洲复兴与开发银行-泛美开发银行-国际复兴与开发银行-伊斯兰开发银行-北欧发展基金7FIDIC INTE

9、RNATIONAL FEDERATION OF CONSULTING ENGINEERS WWW.FIDIC.ORG FIDICFIDIC.ORG COPYRIGHT 2008Contract Management and Administration: 1 - Introduction3）. 文本的选择文本的选择-风险风险列出应当由各方检查的与风险有关的主要问题：-雇主的风险-承包商的风险-分担的风险8FIDIC INTERNATIONAL FEDERATION OF CONSULTING ENGINEERS WWW.FIDIC.ORG FIDICFIDIC.ORG COPYRIGHT 20

10、08Contract Management and Administration: 1 - Introduction3）. 文本选择文本选择-风险风险-工程合同和服务协议不一致的地方工程合同和服务协议不一致的地方FIDIC合同的主要参与方包括：雇主 雇主和工程师之间的服务协议（FIDIC白皮书）工程师 工程师代表雇主管理工程合同承包商 工程合同DAB 雇主/承包商和DAB的一名成员或三名成员之间的协议工程师必须：-针对工程师的责任和义务对工程合同进行审查以找出任何与其服务协议向矛盾的地方。-向雇主建议将矛盾之处去掉（通过修改服务协议或者增加对一些对工程师权利的限制）。-向雇主提出如何解决这些矛

11、盾的书面建议。9FIDIC INTERNATIONAL FEDERATION OF CONSULTING ENGINEERS WWW.FIDIC.ORG FIDICFIDIC.ORG COPYRIGHT 2008Contract Management and Administration: 1 - Introduction3）. 文本选择文本选择-风险风险-使用哪种合同：风险分担使用哪种合同：风险分担一个项目的发起者应当仔细分析：-施工项目中各种主要职能尤其是设计职能的划分；-项目本身固有风险的分担；-管理职能的划分；-向承包商支付报酬的方法和时间安排； 适用法律将合同中想象到的风险分配给合同

12、各方。合同要么确认这种分配，要么将风险重新分配或者将风险转移给第三方。10FIDIC INTERNATIONAL FEDERATION OF CONSULTING ENGINEERS WWW.FIDIC.ORG FIDICFIDIC.ORG COPYRIGHT 2008Contract Management and Administration: 1 - Introduction3）. 文本选择文本选择-风险风险-使用哪种合同：风险分担使用哪种合同：风险分担如果适用法律或者合同规定没有将风险分配给合同的某一方，法院将会问到以下问题：-哪一当事方最有能力预测该风险？-哪一当事方最有能力控制该风险

13、？-哪一当事方最有能力承担该风险？-如果该风险实际发生了，哪一当事方因此获益最大或遭受损失最大？将风险分担给不能承担其后果的当事方是不明智的，除非该当事方能够将分配给他的风险转移或分散给其他能够承担的人；风险转移或分散通常是通过保险。对于施工项目来说，切记：-“风险”意味着什么以及它的重要性；-并不是所有的不愿看到的事件都可以预见和发现；-在某些情况下，愿意看到和不愿意看到的后果都可能发生。11FIDIC INTERNATIONAL FEDERATION OF CONSULTING ENGINEERS WWW.FIDIC.ORG FIDICFIDIC.ORG COPYRIGHT 2008Con

14、tract Management and Administration: 1 - Introduction3）. 文本选择文本选择-风险风险-使用哪种合同：风险分担使用哪种合同：风险分担项目风险分为：-多数情况下可以投保的风险：合同执行过程中的损害、伤害和损失风险，包括：由缺陷设计、缺陷材料和缺陷工艺导致的事故；天灾；火灾；人为失误；未能采取足够的预防措施等产生的后果。-多数情况下不能投保的风险：导致财务和/或时间损失而且给项目带来影响的风险，包括：未能尽早占用场地；未能及时收到必要的信息；设计更改；原合同变更。1999版红皮书没有对风险进行适当地划分和明确。- 第17条应当是“雇主受到损失或

15、损害的风险”而并不是全部的项目风险（即，风险只限于那些会导致某种形式的财产损失或损害或人员伤害的情况，从而可能导致财务或时间损失）。- 从中得出的结论是所有其它风险都是雇主的风险，但事实并非如此。在2010年修订版中，对这一点将予以纠正。12FIDIC INTERNATIONAL FEDERATION OF CONSULTING ENGINEERS WWW.FIDIC.ORG FIDICFIDIC.ORG COPYRIGHT 2008Contract Management and Administration: 1 - Introduction3）文本选择）文本选择- 风险风险-使用哪种合同：

16、风险分担使用哪种合同：风险分担既然承认存在风险差异，项目发起者在各方之间分配职责和风险时，就必须考虑管理问题，以及对完成的工作进行估价的方法和怎样支付的问题。他应当考虑自己是否准备与其他各方分担这些风险，如果是，分担的程度如何。大体上讲，可以考虑三种情况：-费用可补偿合同；-基于单价和价格的再测量合同；-总价合同13FIDIC INTERNATIONAL FEDERATION OF CONSULTING ENGINEERS WWW.FIDIC.ORG FIDICFIDIC.ORG COPYRIGHT 2008Contract Management and Administration: 1 -

17、 Introduction3）文本选择）文本选择- 风险风险-使用哪种合同：项目类型使用哪种合同：项目类型价值相对较小，施工期短或者只需简单的或重复性工作的项目：简明合同格式较大或者较复杂的项目B1. 雇主（或工程师）负责大部分设计工作-施工合同条件B2. 承包商负责大部分设计工作-生产设备和设计施工合同条件和DBB3. PFI项目（私人融资）或者BOT项目或者类似项目，在这类项目中，特许权人全权负责融资、施工和运营-EPCTC. 还是EPCT合同C1. 如果雇主希望项目的实施采用固定价格的交钥匙方式-EPCT合同14FIDIC INTERNATIONAL FEDERATION OF CONS

18、ULTING ENGINEERS WWW.FIDIC.ORG FIDICFIDIC.ORG COPYRIGHT 20082. 施工里程碑差异施工里程碑差异Tender, BidTaking-Over Certificate Acceptance, Agreement Performance Certificate Time for CompletionDefects Notification PeriodTender PeriodTenderCommissioning Certificate Acceptance, Agreement Contract Completion Certifica

19、te Time for CompletionDesign-BuildOperation PeriodRed, Pink, Yellow, SilverGold Book Commencement Date ( 42 days) Retention Period ( 1 Y) 28 daysPerformance SecurityTender Period 28 daysPerformance SecurityReduction of Performance Security Cut Off DateCommencement in Pink Book (except as otherwise s

20、pecified in the Particular Conditions)Commencement Date shall be the date at which the following precedent conditions have been fulfilled:Signature of the Contract Agreement by both Parties, and if required, approval of the Contract by relevant authorities of the Country. Delivery to the Contractor

21、of reasonable evidence of the Employers Financial Arrangements. Effective access to and possession of the Site together with such permissions under (a) of Sub-Clause 1.13Compliance with LawsReceipt by the Contractor of the Advance Payment.If the instruction for commencement is not received by the Co

22、ntractor within 180 days from the Letter of Acceptance, the Contractor shall be entitled to terminate the Contract under Sub-Clause 16.2 Termination by Contractor15FIDIC INTERNATIONAL FEDERATION OF CONSULTING ENGINEERS WWW.FIDIC.ORG FIDICFIDIC.ORG COPYRIGHT 20083. 内容的差异内容的差异 Definitions; Interpretat

23、ion; Communications; Law and Language; Priority of Documents; Contract Agreement; Assignment; Care and Supply of Documents; Delayed Drawings or Instructions(RED), Errors in the Employers Requirements(YELLOW), Confidentiality(SILVER), Employers Use of Contractors Documents, Contractors Use of Employe

24、rs Documents, Confidential Details, Compliance with Laws, Joint and Several Liability1. 一般规定一般规定2. The EmployerRight of Access to the Site; Permits, Licences or Approvals; Employers Personnel; Employers Financial Arrangements, Employers Claims3. The Engineer(RED, YELLOW), The Employers Administratio

25、n(SILVER)Engineers Duties and AuthorityThe Employers Representative; Delegation by the EngineerOther Employers Personnel; Instructions of the EngineerDelegated Persons; Replacement of the EngineerInstructions; Determinations4. The ContractorContractors General Obligations; Performance Security; Cont

26、ractors Representative; Subcontractors; Assignment of Benefit of Subcontract(RED), Nominated Subcontractors(YELLOW, SILVER); Co-operation; Setting Out; Safety Procedure; Quality Assurance; Site Data; Sufficiency of the Accepted Contract Amount(RED, YELLOW), Sufficiency of the Contract Price(SILVER);

27、 Unforeseeable Physical Conditions(RED, YELLOW), Unforeseeable Difficulties(SILVER), Rights of Way and Facilities; Avoidance of Interference; Access Route; Transport of Goods; Contractors Equipment; Protection of Environment; Electricity, Water and Gas, Employers Equipment and Free-Issue Material; P

28、rogress Reports; Security of the Site; Contractors Operation on Site; Fossils5. Nominated Subcontractors (RED)Definition of “nominated Subcontractor”; Objection of Nomination; Payments to nominated Subcontractors; Evidence of Payments 5. Design (YELLOW, SILVER)General Design Obligations; Contractors

29、 Documents; Contractors Undertaking; Technical Standards and Regulations; Training; As-Built Documents; Operation and Maintenance Manuals; Design Error16FIDIC INTERNATIONAL FEDERATION OF CONSULTING ENGINEERS WWW.FIDIC.ORG FIDICFIDIC.ORG COPYRIGHT 2008Engagement of Staff and Labour; Rates of Wages an

30、d Conditions of Labour; Persons in the Service of Employer; Labour Laws; Working Hours, Facilities for Staff and Labour; Health and Safety; Contractors Superintendence; Contractors Personnel, Records of Contractors Personnel and Equipment; Disorderly Conduct6. Staff and Labour7. Plant, Materials and

31、 WorkmanshipManner of Execution; Samples; Inspection; Testing; Rejection; Remedial Work; Ownership of Plant and Materials; Royalties8. Commencement, Delays and SuspensionCommencement of Works; Time for Completion; Programme; Extension of Time for Completion; Delays Caused by Authorities; Rate of Pro

32、gress; Delay Damages; Suspension of Work; Consequences of Suspension; Payment for Plant and Materials in Event of Suspension; Prolonged Suspension; Resumption of Work9. Test on CompletionContractors Obligations; Delayed Tests; Retesting; Failure to Pass Tests on Completion10. Employers Taking OverTa

33、king Over of the Works and Sections; Taking Over of Parts of the Works; Interference with Tests on Completion; Surfaces Requiring Reinstatement(RED, YELLOW)11. Defects LiabilityCompletion of Outstanding Work and Remedying Defects; Cost of Remedying Defects; Extension of Defects Notification Period;

34、Failure to Remedy Defects; Removal of Defective Work; Further Tests; Right of Access; Contractor to Search; Performance Certificate; Unfulfilled Obligations; Clearance of Site12. Measurement and Evaluation (RED)Works to be measured; Method of Measurement; Evaluation; Omissions17FIDIC INTERNATIONAL F

35、EDERATION OF CONSULTING ENGINEERS WWW.FIDIC.ORG FIDICFIDIC.ORG COPYRIGHT 2008Procedure for Tests after Completion; Delayed Tests; Retesting; Failure to Pass Tests after Completion12. Tests after Completion (YELLOW, SILVER)13. Variation and AdjustmentsRight to Vary; Value Engineering; Variation Proce

36、dure; Payment in Applicable Currencies; Provisional Sums; Daywork; Adjustments for Changes in Legislation; Adjustments for Changes in Cost14. Contract Price and PaymentThe Contract Price; Advance Payment; Application for Interim Payment Certificates(RED, YELLOW), Application for Interim Payment(SILV

37、ER); Schedule of Payments; Plant and Materials intended for the Works; Issue of Interim Payment Certificates(RED, YELLOW), Interim Payments(SILVER); Payment(RED, YELLOW), Timing of Payments(SILVER); Delayed Payment; Payment of Retention Money; Statement at Completion; Application for Final Payment C

38、ertificate(RED, YELLOW), Application for Final Payment(SILVER); Discharge; Issue of Final Payment Certificate(RED, YELLOW), Final Payment(SILVER); Cessation of Employers Liability; Currencies of Payment15. Termination by EmployerNotice to Correct; Termination by Employer; Valuation at Date of Termin

39、ation; Payment after Termination; Employers Entitlement to Termination16. Suspension and Termination by ContractorContractors Entitlement to Suspend Work; Termination by Contractor; Cessation of Work and Removal of Contractors Equipment; Payment on Termination17. Risk and ResponsibilityIndemnities;

40、Contractors Care of the Works; Employers Risks; Consequences of Employers Risks; Intellectual Industrial Property Rights; Limitation of Liability18. InsuranceGeneral Requirements for Insurances; Insurance for Works and Contractors Equipment; Insurance against Injury to Persons and Damage to Property

41、; Insurance for Contractors Personnel18FIDIC INTERNATIONAL FEDERATION OF CONSULTING ENGINEERS WWW.FIDIC.ORG FIDICFIDIC.ORG COPYRIGHT 2008Definition of Force Majeure; Notice of Force Majeure; Duty to Minimise Delay; Consequences of Force Majeure; Force Majeure Affecting Subcontractor; Optional Termin

42、ation, Payment and Release19. Force Majeure20. Claims, Disputes and ArbitrationContractors Claims; Appointment of the Dispute Adjudication Board; Failure to Agree Dispute Adjudication Board; Obtaining Dispute Adjudication Boards Decision; Amicable Settlement; Arbitration; Failure to Comply with Disp

43、ute Adjudication Boards Decision; Expiry of Dispute Adjudication Boards Appointment19FIDIC INTERNATIONAL FEDERATION OF CONSULTING ENGINEERS WWW.FIDIC.ORG FIDICFIDIC.ORG COPYRIGHT 2008DescriptionRed BookPink BookYellow BookSilver BookGold Book合同条件名称Conditions of Contract for Construction for Building

44、 and Engineering Works designedesigned by d by the Employerthe EmployerConditions of Contract for Construction MDB HarMDB Harmonised Editionmonised EditionConditions of Contract for Plant and Design-Build for Electrical and Mechanical Works and for Building and Engineering Works designed designed by

45、 the Contractorby the ContractorConditions of Contract for EPC/TurnkeyEPC/Turnkey ProjectsConditions of Contract for Design, Build and Operate Projects应用传统的设计-招投标-施工合同类型设计-建造设计-建造（但风险主要归于承包商）类似黄皮书，但含20年运营服务。合同管理工程师雇主雇主代表设计 责任义务 合同规定的限度 承包商的责任符合业主要求中说明的标准条件 承包商的责任 雇主的责任限定为：-合同中说明不可变动或归于业主雇主责任的部分、数据和信

46、息-为工程或其任何部分进行了定义或说明预期目的。-竣工工程试验和性能标准-承包商无法证实的数据、信息，除非合同中有说明 类似黄皮书设计过程对承包商文件 根据说明和图纸 工程师审核设计（在有规定时，含批准） “无需批准 类似黄皮书204. 主要差异比较主要差异比较FIDIC INTERNATIONAL FEDERATION OF CONSULTING ENGINEERS WWW.FIDIC.ORG FIDICFIDIC.ORG COPYRIGHT 2008DescriptionRed BookPink BookYellow BookSilver BookGold Book合同文件 合同协议书/C

47、ontract Agreement 中标函/Letter of Acceptance 投标函/Letter of Tender (Letter of Bid) 本合同条件These Conditions 规规范范Specification 图纸图纸Drawings 资料表Schedules completed by the Contractor,include 数量表Bill of Quantities, data, list andschedule of rates/prices 其他合同协议书或中标函中列明的文件Further Documents listed in the Contrac

48、t Agreement or in the Letter of Acceptance Contract Agreement Letter of Acceptance Letter of Tender These Conditions 雇主要求雇主要求Employers Requirements Schedulescompleted by theContractor, include data, list and 付款付款计划计划schedule of payment/prices 承包商建承包商建议书议书Contractors Proposal Further Documents listed

49、 in the Contract Agreement or in the Letter of Acceptance Contract Agreemen These Conditions 雇主要求雇主要求Employers Requirements Tender Further Documents listed inthe Contract Agreement Schedule of Payment shallbe included in the Contrast Contract Agreement Letter of Acceptance Letter of Tender These Con

50、ditions 雇主要求雇主要求Employers Requirements Schedulescompleted by the Contractor, include 资产置换资料表Asset Replacement Schedule, data, list and 付款计划schedule of payment/prices and guarantees 承包商建承包商建议书议书Contractors Proposal 运营证书运营证书Operating Licence Further Documents listed in the Contract Agreement or in the

51、 Letter of AcceptanceAppendix to Tender Contract Data Appendix to TenderParticular ConditionsContract Data合同价格 Accepted Contract Amount amount accepted in the Letter of Acceptance Contract Price-合同价格根据12.3条同意和确定The Contract Price shall be agreed anddetermined under Sub-Clause 12.3 Evaluation and sub

52、ject to adjustments in accordance with the Contract. Any quantities set out in the Bill of Quantities or other Schedule are estimated quantities and are not taken as the actual and correct quantities. Accepted Contract Amount amount accepted in the Letter of Acceptance Contract Price-The Contract Pr

53、ice shall the lump 中中标标的合同的合同总总价价sum Accepted Contract Amount and be subject to adjustments in accordance with the Contract. Any quantities or price data which may be set out in a Schedule shall be used for the purpose stated in the Schedule and may be inapplicable for other purpose 合同合同协议书协议书中同意的金中

54、同意的金额额Contract Price agreedamount stated in the Contract Agreement subject to adjustments-基于基于总总价格式付款价格式付款Payment of the Works shall be made on the basis of the lump sum Contract Price, subject to adjustments in accordance with the Contract Accepted Contract Amount amount accepted in the Letter of A

55、cceptance Contract Price-The Contract Price shall be the amount(s) submitted by the Contractor for the Design-Build and the Operation Service including Asset Replacement Fund priced at the Base Date subject to adjustments 21FIDIC INTERNATIONAL FEDERATION OF CONSULTING ENGINEERS WWW.FIDIC.ORG FIDICFI

56、DIC.ORG COPYRIGHT 2008DescriptionRed BookPink BookYellow BookSilver BookGold Book预付款 for mobilization用于动员 for mobilization and cash flow support用于动员和支撑现金流 for mobilization and Design用于动员和设计 Deduction : Same as YellowBook Deduction (unless stated otherwise)- from when all certified interim payments (

57、excluding the advance and retention) exceeds 30% of the Accepted Contract Amount less provisional sum- at the rate stated in the Contract Data. - shall be completely repaid prior to 90% of Accepted Contract Amount less provisional sums Deduction (unless stated otherwise)-from when all certified inte

58、rim payments(excluding the advance and retention) exceeds 10% of the Accepted Contract Amount less provisional sum-at the rate of 25% of each payment certificate Deduction (unless stated otherwise)-Shall be repaid through proportional deductions in interim payments. -at the rate stated in the Partic

59、ular Conditions Deduction (unless stated otherwise)-from when all certified interim payments(excluding the advance and retention) exceeds 10% of the Accepted Contract Amount for the Design-Build less Provisional Sum-at the rate of 25% of each payment certificate during the Design-Build Period付款 Thro

60、ugh Interim Payment Certificate Without Certificate Same as Yellow Book Payment Application 付款申请 Estimated Contract Value of the Works executed and the Contractors Documents Any addition or deduction in accordance with Sub-Clause 13.7 Changes in Legislation, 13.8 Changes in Cost Retention Advance Pa