PPTEPC设计采购施工合同讲义（中英文）

EPCContractsTimSteadmanContractManagementinInternationalConstructionBeijing,April28,2009设计采购施施工合同TimSteadman国际工程合合同管理2009年4月28日北京2GeneralOverviewIntroductiontoCCConstructionGroupPurposeofpresentationOutlineofpresentationContextRolesPhilosophyStructureFormKeyrisksandcontractterms概述高伟绅绅律所所建设设工程程团队队介绍绍演讲目目的演讲概概要背景角色体系结构形式主要风风险与与合同同条款款3Context-EconomicEffectofcyclesParticipantsProcurementmethodsandstructuresPriceRiskallocationFundingsourcesandmethods背景-经济体系循循环的的效果果参与者者采购方方式与与结构构价格风险分分担资金来来源与与方式式4Context––BusinessCultureMostcountriesembracemarketeconomics(intheory)Inpracticethereareexceptions––helpfulandotherwiseSorelationshipsaretosomeextentadversarial/competitiveAndnegotiationscanbecomplex(especiallyiflendersareinvolved)背景–商业文文化（理论论上））大多多数国国家信信奉市市场经经济实践中中存在在例外外——有益或或有害害因此在在某某种程程度上上存在在对抗抗/竞争性性关系系谈判存存在复复杂性性（尤尤其涉涉及贷贷款人人时））5Context––Legal/RegulatoryLegalsystemispartofbusinesscultureTheruleoflaw/contractisimportant,especiallyinprojectfinanceddealsCivilandcommonlawsystemsdifferinformandsubstanceImpactofprocurementrulesOnowner’sbehaviourOnbiddingtactics背景–法律法规规法律体系系是商业业文化的的一部分分法治/契约规则则很重要要，尤其其在项目目资金筹筹措交易易中罗马法与与普通法法系在形形式与实实质上存存在不同同采购规则则的影响响对业主的的行为对投标技技巧6RolesPrimecontractor(notalwaysEPC)VendorTechnologylicensorInvestorFunder(deliberateorbydefault)角色总承包商商(并非总以以EPC合同形式式)供应商技术许可可人投资者融资者(有或无)7PhilosophyAsacontractorOpenbiddingorsolesource?Immediateprofitormarketpenetration/profile?Soleorinconsortium?Legalandpracticalconsequencesofjointliability?Equityorcontractingroleonly?体系作为承包包人公开投标标或唯一一来源?希求得到到直接利利润或通通过市场场渗透/打造企业业形象?单独投标标或联合合投标?共同责任任的法律律后果或或实际后后果?入股抑或或仅仅是是承包人人角色?8Philosophy(cont’d)AsanownerAllianceorrisktransfer?LinkedtofundingmethodSomesectoralpatternsAlsovariesbetweenpublicandprivatesectorPhilosophyisinfluentialonlyifsharedwithinsupplychain体系(续)作为业主主联合或风风险转移移?与融资方方式相关关联一些部门门模式公共部门门与私营营部门不不同体系仅在在供应链链共享范范围内有有影响9Structure––theProjectPrivatelyprocuredOnbalancesheetOffbalancesheetPubliclyprocuredMaystillbeaccountingconsiderations,eginPPPCombinationsPPPprojectsConcessionsOthers––egPPAs结构–项目私下获得得项目资产负债债表上资产负债债表外公开获得得项目仍可能考考虑对价价，例如如在PPP（公私合合伙）合合同中结合PPP（公私合合伙）项项目让步其他–例如PPA10TypicalPPPStructurePUBLICENTITYCONCESSIONCONTRACTSPVSPONSOREQUITYTHIRDPARTYEQUITYINVESTORSDUEDILIGENCEADVISER1MEZZANINEFUNDERSINSURERSCONSTRUCTIONSENIORFUNDERS(BANK/BOND)SURPLUSREALESTATEDISPOSALDUEDILIGENCEADVISER2SUBCONTRACTOR1DESIGNERSEQUIPMENTSUPPLYOPERATION&MAINTENANCEDEVELOPERDUEDILIGENCEADVISER3INVESTORSSUBCONTRACTOR2SUBCONTRACTOR3BONDS&GUARANTEESSURETIES&GUARANTORS典型PPP结构共同实体体特许权合合同SPV发起人股股份第三方股股份投资人合理注意意顾问1中间融资资者保险人建设高级融资资者(银行/债券)剩余不动动产处置置合理注意意顾问2分包人1设计人设备供应应运营与维维护开发商合理注意意顾问3投资人分包人2分包人3保函与担担保担保与保保证11Structure––theMainConstructionContract(s)EPC/designandbuildOwnerdesignedEPCM/CMOthervariants结构–主建设合合同设计采购购施工/设计施工工业主设计计设计采购购施工管管理/施工管理理EPCM/CM其他变量量12KEY“Traditional””OWNERCONTRACTORSUB-CONTRACTORSARCHITECT/ENGINEER=Appointments=Sub-Contracts=BuildingContractEPCStructureKEY“传统””业主承包人分包人建筑师/工程师

=任命=分包合同=施工合同EPC结构13WheredoesEPCfitin?ConstructionManagementOwnerassumesriskContractorretainsriskTraditionalDesign&BuildLSTK/EPCRISKSPECTRUMExceptasotherwisestatedintheContract:theContractorshallbedeemedtohaveobtainedallnecessaryinformationastorisks,contingenciesandothercircumstanceswhichmayinfluenceoraffecttheWorks;bysigningtheContract,theContractoracceptstotalresponsibilityforhavingforeseenalldifficultiesandcostsofsuccessfullycompletingtheWorks;andtheContractPriceshallnotbeadjustedtotakeaccountofanyunforeseendifficultiesorcosts.LSTK–LumpSumTurnkeyEPC––EngineeringProcurementandConstructionEPCStructure(cont’d)EPC合同适合合什么?建设管理理业主承担担风险承包人保保留风险险传统设计施工工LSTK/EPC风险幅度度除非在合合同中另另有约定定外：承包人应应当被视视为已获获知有关关风险、、意外事事故及其其他可能能影响工工程的情情况的全全部必要要信息；；一俟签约约，承包包人即接接受了所所预见到到的各类类困难的的全部责责任并承承担顺利利完工的的一切费费用；且且合同价款款不得因因考虑任任何不可可预见的的困难或或费用而而调整。。LSTK–一次性付付款交钥钥匙EPC––设计采购购施工EPC结构(续)14EPCKeyFeaturesSinglepointresponsibilitySubjecttocapsandcarve-outsHighdegreeofriskforcontractorAlsohigh(butnotabsolute)degreeofcontractorcontrolPricedaccordinglyThepreferredstructureforprojectfinance/PPPtransactionsLinkagetoshareholdersupportEPC主要特点点单一责任任责任的上上限及分分割承包人承承担高风风险项目多由由承包人人控制，，但非完完全控制制相应报价价项目融资资的更优优模式/PPP交易与股东支支持的联联系15EPCKeyFeatures(cont’d)Sensitivetomarketconditions––recenthistoryWidechoiceofstandardcontracts(egFIDICSilverandYellow)Commonlyusedininfrastructure,thermalpoweranddownstreampetchemEPC主要特点点(续)对市场条条件敏感感——最近的历历史可以选择择更多的的标准合合同(例如FIDIC银皮书和和黄皮书书)在基础设设施、热热电厂和和下游石石化行业业中应用用16KEY“Traditional””OWNERCONTRACTORSUB-CONTRACTORSARCHITECT/ENGINEER=Appointments=Sub-Contracts=BuildingContractOwnerDesignKey“传统””业主承包人分包人建筑师/工程师

=任命=分包合同=施工合同业主设计计17OwnerDesignKeyFeaturesMorecontrolforownerDesignandotherrisksalsoretainedbyownerHistoryofdisputesUsehasdeclinedinrecentdecadesbutstillusedin,eg,publiccivilworksandtechnologyprojectsIncompatiblewithprojectfinanceapproach业主设计计主要特特点业主更多多控制设计及其其他风险险仍由业业主保留留争议历史史近几十年年来使用用率降低低，但仍仍在使用用，例如如在公共共民用建建筑和技技术项目目中与项目融融资方式式不兼容容18OWNERTCPROFESSIONALTEAMARCHITECTSTRUCTURALENGINEERM&EENGINEERQUANTITYSURVEYORCDMCO-ORDINATORCONSTRUCTIONMANAGERTC=TRADECONTRACTOR=TradeContract=Appointments=CMAKEYEPCM/CMTCTCTCTCTCTCTCTC业主TCTC专业队伍伍建筑师结构工程程师机械电气气工程师师成本估算算师CDM协调师TCTCTCTCTCTCTC施工项目目经理TC=专业承包包商=专业合同同=任命=注册管理理会计师师KEYEPCM/CM19EPCM/CMKeyFeaturesEPCMcontractorisessentiallyaconsultantOwnerbearssubstantialriskInterfaceRecourse/leverageCanproducethelowestcostandfastestcompletionButisheavilydependentonspecialistskills,experienceandresourcesCanbedisastrousifthosearenotpresent––examplesWidelyusedinupstreamoilandgas,renewablesandsomerealestatemarketsEPCM/CM主要特点点EPCM承包人实实际上是是顾问业主承担担实质性性风险接口追索/杠杆作用用能达到最最低支出出与最快快完工但很大程程度上有有赖于专专业技术术、经验验与资源源如果不具具备这些些将可能能损失惨惨重——案例广泛应用用于上游游油气、、可再生生资源以以及一些些不动产产市场20VariantsTiming––two-stagecontractingMarketdrivenandmixedfeedbackConversionmechanismScope––isFEEDincluded?CanbeattractiveforcontractorsPricing–targetcost/GMPUsuallyaconsequenceratherthanachoiceExamples––eg2012Linktophilosophy变量时间–两步签约约市场驱动动与综合合反馈转换机制制范围–是否包括括FEED?对承包人人有吸引引力价格–目标费用用/优良制造造标准GMP通常是结结果而非非选择例子–例如2012与体系相相关21FormsofContractaprofusionofcolourandvariety!合同格式式各种各样样的色彩彩和类型型!22FormsofContractStandardorspeciallydrafted?RelevanceofwiderstructureOriginofstandardformsExampleofFIDICOtherstandardforms,egNEC,AIA,ENAA,EICWhyamenda““proven”form?Tocorrectperceivedanomaliesorbias(examples)合同格式式标准合同同抑或特特别制定定的合同同?更广泛结结构的相相关性标准格式式起源FIDIC实例其他标准准格式，，例如NEC,AIA,ENAA,EIC为何修订订“现有有”格式式?修正已发发现的异异常或偏偏差(例子)23FormsofContract(cont’d)Toreflectdealspecificsorsectorpractice(examples)Toincorporatematerialfromothercontracts(eginPPP)Toreflectrequirementsoffunding(whichmaybeownerorcontractorsourced)Forlegalreasons(examples)Whodrafts–ownerorcontractor?合同格式式(续)反映交易易特性或或部门实实践（例例子）吸纳其他他合同素素材(例如在PPP合同中)反映融资资需求(可能来源源于业主主或承包包人)基于于法法律律原原因因(例子子)由谁谁起起草草–业主主还还是是承承包包人人?24KeyRisksandContractTermsLawandlanguageEnglishlanguageandstylecommonlyusedPrecedenceandintegrationofdocumentsDistinguishlanguageofcontractandofcommunicationsCommonlawpreferredbutlessstronglythesedaysImpactoflocallawinanyeventWidechoiceofmethodsandplacesfordisputeresolution主要要风风险险与与合合同同条条款款法律律与与语语言言通常常使使用用英英语语语语言言与与文文体体文件件的的优优先先顺顺序序与与整整体体性性区分分合合同同语语言言与与交交流流语语言言优先先考考虑虑普普通通法法，，但但近近来来这这一一趋趋势势减减弱弱任何何情情况况下下本本地地法法的的影影响响争议议解解决决方方式式与与地地点点的的广广泛泛选选择择25KeyRisksandContractTerms(cont’’d)Qualityandscope“Wrapping””egoftechnologyorexistingworksordesignFitnessforpurposeandreasonableskillandcareInsuranceandriskretentionimplicationsCompliancewithlawsandconsentsSpecialimportanceofenvironmentalrequirementsPass-downfromotherprojectdocuments主要要风风险险与与合合同同条条款款(续)质量量与与范范围围“限制制”例如如，，对对技技术术或或现现有有工工程程与与设设计计符合合目目标标及及合合理理技技术术与与注注意意义义务务保险险与与风风险险保保留留问问题题符合合法法律律及及约约定定环境境要要求求的的特特殊殊重重要要性性其他他项项目目文文件件的的延延续续26KeyRisksandContractTerms(cont’’d)IntellectualpropertyOwnershipbycontractorAssignedorlicensedtoowner?ScopeoflicenseIndemnitiesforinfringement––cappedornot?主要要风风险险与与合合同同条条款款(续)知识识产产权权承包包人人的的所所有有权权转让让或或许许可可给给业业主主?许可可范范围围侵权权赔赔偿偿———有无无上上限限?27KeyRisksandContractTerms(cont’’d)PerformanceSecurityJointliabilityGuaranteesBondsTypesandpurposesIssueswithon-demandbondsCreditissuesincurrentmarketRetentionfunds主要要风风险险与与合合同同条条款款(续)履约约担担保保共同同责责任任担保保人人保函函类型型与与目目的的按需需求求发发放放保保函函在当当前前市市场场中中按按信信用用发发放放保保函函保留留基基金金KeyRisksandContractTerms(cont’’d)SubcontractingApprovalStep-inrightsSiteconditionsCanthreatenviabilityofproject/partiesMitigantsAnopen-mindedapproachGovernmentsupportSurveysandstagingFlexibilityindesign28主要要风风险险与与合合同同条条款款(续)分包包同意意介入入权权现场场状状况况可能能威威胁胁到到项项目目/当事事方方的的存存续续降低低风风险险的的办办法法思维维开开放放的的方方式式政府府支支持持现场场考考查查与与筹筹备备设计计的的弹弹性性29KeyRisksandContractTerms(cont’’d)LabourLocallawsLocalpreferenceTimeStatusofprogrammeRemediesfordelayLiquidateddamages(““LDs”)fordelayEnforceabilityissueswithdelayLDsAccelerationMilestonesLook-forwarddefaultCalculationandcappingofLDS主要风险与合合同条款(续)劳动力当地法律当地优惠时间计划状况延期赔偿延期违约赔偿偿金违约赔偿金执执行力问题赶工重大事件预期违约延期违约赔偿偿金的计算与与上限30KeyRisksandContractTerms(cont’d)Completion,commissioningandtestingSectordifferencesPerformanceLDsandmake-goodDefectsliabilityTypicalperiods“Evergreen””clausesLatentandpatentdefectsRemediesunderthegenerallaw主要风险与合合同条款(续)竣工、试车与与试验部门差别履行违约赔偿偿金或进行补补救缺陷责任典型期限“终生”条款款潜在缺陷与显显著缺陷依照一般原则则的救济31KeyRisksandContractTerms(cont’d)VariationsInstructedbytheownerResultingfromchangesinlaworstandardsExamplesofriskallocationPriceandpaymentLumpsumorother?CurrencyissuesInputcostfluctuationMilestonesormeasurement?Offsitematerials主要风险与合合同条款(续)变更按照业主指示示因法律或标准准的变化风险分担的例例子价款与支付总价合同或其其他?货币问题投入成本的波波动重大事件或测测量?场外原料32KeyRisksandContractTerms(cont’d)AdvancepaymentsCashflowneutralityPaymentsecurityforcontractorSet-offandcorrectionECArequirementsRemediesfornon-paymentRoleoflender’sengineer主要风险与合合同条款(续)预付款现金流平衡给承包人的付付款担保抵销与补偿ECA要求未付款的救济济贷款人工程师师的角色33KeyRisksandContractTerms(cont’d)TerminationForownerconveniencePaymentofprofitForforcemajeureForownerdefaultTypicalgroundsRemediesForcontractordefaultTy