PPTEPC设计采购施工合同讲义（中英文）

EPCContractsTimSteadmanContractManagementin

InternationalConstructionBeijing,April28,2009设计采购施工合同TimSteadman国际工程合同管理2009年4月28日北京2GeneralOverviewIntroductiontoCCConstructionGroupPurposeofpresentationOutlineofpresentationContextRolesPhilosophyStructureFormKeyrisksandcontractterms

概述高伟绅律所建设工程团队介绍演讲目的演讲概要背景角色体系结构形式主要风险与合同条款

3Context-EconomicEffectofcyclesParticipantsProcurementmethodsandstructuresPriceRiskallocationFundingsourcesandmethods背景-经济体系循环的效果参与者采购方式与结构价格风险分担资金来源与方式4Context–BusinessCultureMostcountriesembracemarketeconomics(intheory)Inpracticethereareexceptions–helpfulandotherwiseSorelationshipsaretosomeextentadversarial/competitiveAndnegotiationscanbecomplex(especiallyiflendersareinvolved)背景–商业文化（理论上）大多数国家信奉市场经济实践中存在例外——有益或有害因此在某种程度上存在对抗/竞争性关系谈判存在复杂性（尤其涉及贷款人时）5Context–Legal/RegulatoryLegalsystemispartofbusinesscultureTheruleoflaw/contractisimportant,especiallyinprojectfinanceddealsCivilandcommonlawsystemsdifferinformandsubstanceImpactofprocurementrulesOnowner’sbehaviourOnbiddingtactics背景–法律法规法律体系是商业文化的一部分法治/契约规则很重要，尤其在项目资金筹措交易中罗马法与普通法系在形式与实质上存在不同采购规则的影响对业主的行为对投标技巧6RolesPrimecontractor(notalwaysEPC)VendorTechnologylicensorInvestorFunder(deliberateorbydefault)角色总承包商(并非总以EPC合同形式)供应商技术许可人投资者融资者(有或无)7PhilosophyAsacontractorOpenbiddingorsolesource?Immediateprofitormarketpenetration/profile?Soleorinconsortium?Legalandpracticalconsequencesofjointliability?Equityorcontractingroleonly?体系作为承包人公开投标或唯一来源?希求得到直接利润或通过市场渗透/打造企业形象?单独投标或联合投标?共同责任的法律后果或实际后果?入股抑或仅仅是承包人角色?8Philosophy(cont’d)AsanownerAllianceorrisktransfer?LinkedtofundingmethodSomesectoralpatternsAlsovariesbetweenpublicandprivatesectorPhilosophyisinfluentialonlyifsharedwithinsupplychain体系(续)作为业主联合或风险转移?与融资方式相关联一些部门模式公共部门与私营部门不同体系仅在供应链共享范围内有影响9Structure–theProjectPrivatelyprocuredOnbalancesheetOffbalancesheetPubliclyprocuredMaystillbeaccountingconsiderations,eginPPPCombinationsPPPprojectsConcessionsOthers–egPPAs结构–项目私下获得项目资产负债表上资产负债表外公开获得项目仍可能考虑对价，例如在PPP（公私合伙）合同中结合PPP（公私合伙）项目让步其他–例如PPA10TypicalPPPStructurePUBLICENTITYCONCESSIONCONTRACTSPVSPONSOREQUITYTHIRDPARTYEQUITYINVESTORSDUEDILIGENCEADVISER1MEZZANINEFUNDERSINSURERSCONSTRUCTIONSENIORFUNDERS(BANK/BOND)SURPLUSREALESTATEDISPOSALDUEDILIGENCEADVISER2SUBCONTRACTOR1DESIGNERSEQUIPMENTSUPPLYOPERATION&MAINTENANCEDEVELOPERDUEDILIGENCEADVISER3INVESTORSSUBCONTRACTOR2SUBCONTRACTOR3BONDS&GUARANTEESSURETIES&GUARANTORS典型PPP结构共同实体特许权合同SPV发起人股份第三方股份投资人合理注意顾问1中间融资者保险人建设高级融资者

(银行/债券)剩余不动产处置合理注意顾问2分包人1设计人设备供应运营与维护开发商合理注意顾问3投资人分包人2分包人3保函与担保担保与保证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–两步签约市场驱动与综综合反馈转换机制范围–是否包括FEED?对承包人有吸吸引力价格–目标费用/优良制造标准准GMP通常是结果而而非选择例子–例如2012与体系相关21FormsofContractaprofusionofcolourandvariety!合同格式各种各样的色色彩和类型!22FormsofContractStandardorspeciallydrafted?RelevanceofwiderstructureOriginofstandardformsExampleofFIDICOtherstandardforms,egNEC,AIA,ENAA,EICWhyamenda“proven”form?Tocorrectperceivedanomaliesorbias(examples)合同格式标准合同抑或或特别制定的的合同?更广泛结构的的相关性标准格式起源源FIDIC实例其他标准格式式，例如NEC,AIA,ENAA,EIC为何修订“现现有”格式?修正已发现的的异常或偏差差(例子)23FormsofContract(cont’d)Toreflectdealspecificsorsectorpractice(examples)Toincorporatematerialfromothercontracts(eginPPP)Toreflectrequirementsoffunding(whichmaybeownerorcontractorsourced)Forlegalreasons(examples)Whodrafts––ownerorcontractor?合同格式(续)反映交易特性性或部门实践践（例子）吸纳其他合同同素材(例如在PPP合同中)反映融资需求求(可能来源于业业主或承包人人)基于法律原因因(例子)由谁起草–业主还是承包包人?24KeyRisksandContractTermsLawandlanguageEnglishlanguageandstylecommonlyusedPrecedenceandintegrationofdocumentsDistinguishlanguageofcontractandofcommunicationsCommonlawpreferredbutlessstronglythesedaysImpactoflocallawinanyeventWidechoiceofmethodsandplacesfordisputeresolution主要风险与合合同条款法律与语言通常使用英语语语言与文体体文件的优先顺顺序与整体性性区分合同语言言与交流语言言优先考虑普通通法，但近来来这一趋势减减弱任何情况下本本地法的影响响争议解决方式式与地点的广广泛选择25KeyRisksandContractTerms(cont’d)Qualityandscope“Wrapping”egoftechnologyorexistingworksordesignFitnessforpurposeandreasonableskillandcareInsuranceandriskretentionimplicationsCompliancewithlawsandconsentsSpecialimportanceofenvironmentalrequirementsPass-downfromotherprojectdocuments主要风险与合合同条款(续)质量与范围“限制”例如，对技术术或现有工程程与设计符合目标及合合理技术与注注意义务保险与风险保保留问题符合法律及约约定环境要求的特特殊重要性其他项目文件件的延续26KeyRisksandContractTerms(cont’d)IntellectualpropertyOwnershipbycontractorAssignedorlicensedtoowner?ScopeoflicenseIndemnitiesforinfringement–cappedornot?主要风险与合合同条款(续)知识产权承包人的所有有权转让或许可给给业主?许可范围侵权赔偿——有无上限?27KeyRisksandContractTerms(cont’d)PerformanceSecurityJointliabilityGuaranteesBondsTypesandpurposesIssueswithon-demandbondsCreditissuesincurrentmarketRetentionfunds主要风险与合合同条款(续)履约担保共同责任担保人保函类型与目的按需求发放保保函在当前市场中中按信用发放放保函保留基金KeyRisksandContractTerms(cont’d)SubcontractingApprovalStep-inrightsSiteconditionsCanthreatenviabilityofproject/partiesMitigantsAnopen-mindedapproachGovernmentsupportSurveysandstagingFlexibilityindesign28主要风险与合合同条款(续)分包同意介入权现场状况可能威胁到项项目/当事方的存续续降低风险的办办法思维开放的方方式政府支持现场考查与筹筹备设计的弹性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)TerminationForownerconveniencePaymentofprofitForforcemajeureForownerdefaultTypicalgroundsRemediesForcontractordefaultTypicalgroundsRemedies(toincluderejection?)主要风险与与合同条款款(续)终止基于业主的的利益支付利润基于不可抗抗力基于业主违违约典型原因救济