TEC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–主建设合同设计采购施工工/设计施工业主设计设计采购施工工管理/施工管理EPCM/CM其他变量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合同适合什么么?建设管理业主承担风险险承包人保留风风险传统设计施工LSTK/EPC风险幅度除非在合同中中另有约定外外：承包人应当被被视为已获知知有关风险、、意外事故及及其他可能影影响工程的情情况的全部必必要信息；一俟签约，承承包人即接受受了所预见到到的各类困难难的全部责任任并承担顺利利完工的一切切费用；且合同价款不得得因考虑任何何不可预见的的困难或费用用而调整。LSTK––一次性付款交交钥匙EPC–设计采购施工工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)基于法律律原因(例子)由谁起草草–业主还是是承包人人?24KeyRisksandContractTermsLawandlanguageEnglishlanguageandstylecommonlyusedPrecedenceandintegrationofdocumentsDistinguishlanguageofcontractandofcommunicationsCommonlawpreferredbutlessstronglythesedaysImpactoflocallawinanyeventWidechoiceofmethodsandplacesfordisputeresolution主要风险险与合同同条款法律与语语言通常使用用英语语语言与文文体文件的优优先顺序序与整体体性区分合同同语言与与交流语语言优先考虑虑普通法法，但近近来这一一趋势减减弱任何情况况下本地地法的影影响争议解决决方式与与地点的的广泛选选择25KeyRisksandContractTerms(cont’d)Qualityandscope“Wrapping””egoftechnologyorexistingworksordesignFitnessforpurposeandreasonableskillandcareInsuranceandriskretentionimplicationsCompliancewithlawsandconsentsSpecialimportanceofenvironmentalrequirementsPass-downfromotherprojectdocuments主要风险与与合同条款款(续)质量与范围围“限制”例如，对技技术或现有有工程与设设计符合目标及及合理技术术与注意义义务保险与风险险保留问题题符合法律及及约定环境要求的的特殊重要要性其他项目文文件的延续续26KeyRisksandContractTerms(cont’d)IntellectualpropertyOwnershipbycontractorAssignedorlicensedtoowner?ScopeoflicenseIndemnitiesforinfringement––cappedornot?主要风险与与合同条款款(续)知识产权承包人的所所有权转让或许可可给业主?许可范围侵权赔偿——有无上限?27KeyRisksandContractTerms(cont’d)PerformanceSecurityJointliabilityGuaranteesBondsTypesandpurposesIssueswithon-demandbondsCreditissuesincurrentmarketRetentionfunds主要风险与与合同条款款(续)履约担保共同责任担保人保函类型与目的的按需求发放放保函在当前市场场中按信用用发放保函函保留基金KeyRisksandContractTerms(cont’d)SubcontractingApprovalStep-inrightsSiteconditionsCanthreatenviabilityofproject/partiesMitigantsAnopen-mindedapproachGovernmentsupportSurveysandstagingFlexibilityindesign28主要风险与与合同条款款(续)分包同意介入权现场状况可能威胁到到项目/当事方的存存续降低风险的的办法思维开放的的方式政府支持现场考查与与筹备设计的弹性性29KeyRisksandContractTerms(cont’d)LabourLocallawsLocalpreferenceTimeStatusofprogrammeRemediesfordelayLiquidateddamages(““LDs””)fordelayEnforceabilityissueswithdelayLDsAccelerationMilestonesLook-forwarddefaultCalculationandcappingofLDS主要风风险与与合同同条款款(续)劳动力力当地法法律当地优优惠时间计划状状况延期赔赔偿延期违违约赔赔偿金金违约赔赔偿金金执行行力问问题赶工重大事事件预期违违约延期违违约赔赔偿金金的计计算与与上限限30KeyRisksandContractTerms(cont’’d)Completion,commissioningandtestingSectordifferencesPerformanceLDsandmake-goodDefectsliabilityTypicalperiods“Evergreen””clausesLatentandpatentdefectsRemediesunderthegenerallaw主要风风险与与合同同条款款(续)竣工、、试车车与试试验部门差差别履行违违约赔赔偿金金或进进行补补救缺陷责责任典型期期限“终生生”条条款潜在缺缺陷与与显著著缺陷陷依照一一般原原则的的救济济31KeyRisksandContractTerms(cont’’d)VariationsInstructedbytheownerResultingfromchangesinlaworstandardsExamplesofriskallocationPriceandpaymentLumpsumorother?CurrencyissuesInputcostfluctuationMilestonesormeasurement?Offsitematerials主要风风险与与合同同条款款(续)变更按照业业主指指示因法律律或标标准的的变化化风险分分担的的例子子价款与与支付付总价合合同或或其他他?货币问问题投入成成本的的波动动重大事事件或或测量量?场外原原料32KeyRisksandContractTerms(cont’’d)AdvancepaymentsCashflowneutralityPaymentsecurityforcontractorSet-offandcorrectionECArequirementsRemediesfornon-paymentRoleoflender’’sengineer主要风风险与与合同同条款款(续)预付款款现金流流平衡衡给承包包人的的付款款担保保抵销与与补偿偿ECA要求未付款款的救救济贷款人人工程程师的的角色色33KeyRisksandContractTerms(cont’’d)TerminationForownerconveniencePaymentofprofitForforcemajeureForownerdefaultTypicalgroundsRemediesForcontractordefaultTypicalgroundsRemedies(toincluderejection?)主要风风险与与合同同条款款(续)终止基于业业主的的利益益支付利利润基于不不可抗抗力基于业业主违违约典型原原因救济基于承承包人人违约约典型原原因救济(包括拒拒收?)34KeyRisksandContractTerms(cont’’d)RiskIndemnitiesTreatmentofhazardoussitesCareoftheworksExceptedrisksLinktoinsuranceLiabilityLiabilitycapExclusionof““con