国际工程合同管理培训-设计采购施工合同

EPCContractsTimSteadmanContractManagementin

InternationalCnstruction设计采购施工合同TimSteadman国际工程合同管理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：承包人人应当当被视视为已已获知知有关关风险险、意意外事事故及及其他他可能能影响响工程程的情情况的的全部部必要要信息息；一俟签签约，，承包包人即即接受受了所所预见见到的的各类类困难难的全全部责责任并并承担担顺利利完工工的一一切费费用；；且合同价价款不不得因因考虑虑任何何不可可预见见的困困难或或费用用而调调整。。LSTK––一次性性付款款交钥钥匙EPC––设计采采购施施工EPC结构(续)14EPCKeyFeaturesSinglepointresponsibilitySubjecttocapsandcarve-outsHighdegreeofriskforcontractorAlsohigh(butnotabsolute)degreeofcontractorcontrolPricedaccordinglyThepreferredstructureforprojectfinance/PPPtransactionsLinkagetoshareholdersupportEPC主要特特点单一责责任责任的的上限限及分分割承包人人承担担高风风险项目多多由承承包人人控制制，但但非完完全控控制相应报报价项目融融资的的更优优模式式/PPP交易与股东东支持持的联联系15EPCKeyFeatures(cont’’d)Sensitivetomarketconditions––recenthistoryWidechoiceofstandardcontracts(egFIDICSilverandYellow)Commonlyusedininfrastructure,thermalpoweranddownstreampetchemEPC主要特特点(续)对市场场条件件敏感感——最近的的历史史可以选选择更更多的的标准准合同同(例如FIDIC银皮书书和黄黄皮书书)在基础础设施施、热热电厂厂和下下游石石化行行业中中应用用16KEY“Traditional””OWNERCONTRACTORSUB-CONTRACTORSARCHITECT/ENGINEER=Appointments=Sub-Contracts=BuildingContractOwnerDesignKey“传统统”业主承包人人分包人人建筑师师/工程师师

=任命=分包合同=施工合同业主设设计17OwnerDesignKeyFeaturesMorecontrolforownerDesignandotherrisksalsoretainedbyownerHistoryofdisputesUsehasdeclinedinrecentdecadesbutstillusedin,eg,publiccivilworksandtechnologyprojectsIncompatiblewithprojectfinanceapproach业主设设计主主要特特点业主更更多控控制设计及及其他他风险险仍由由业主主保留留争议历历史近几十十年来来使用用率降降低，，但仍仍在使使用，，例如如在公公共民民用建建筑和和技术术项目目中与项项目目融融资资方方式式不不兼兼容容18OWNERTCPROFESSIONALTEAMARCHITECTSTRUCTURALENGINEERM&EENGINEERQUANTITYSURVEYORCDMCO-ORDINATORCONSTRUCTIONMANAGERTC=TRADECONTRACTOR=TradeContract=Appointments=CMAKEYEPCM/CMTCTCTCTCTCTCTCTC业主主TCTC专业业队队伍伍建筑筑师师结构构工工程程师师机械械电电气气工工程程师师成本本估估算算师师CDM协调调师师TCTCTCTCTCTCTC施工工项项目目经经理理TC=专业业承承包包商商=专业业合合同同=任命命=注册册管管理理会会计计师师KEYEPCM/CM19EPCM/CMKeyFeaturesEPCMcontractorisessentiallyaconsultantOwnerbearssubstantialriskInterfaceRecourse/leverageCanproducethelowestcostandfastestcompletionButisheavilydependentonspecialistskills,experienceandresourcesCanbedisastrousifthosearenotpresent––examplesWidelyusedinupstreamoilandgas,renewablesandsomerealestatemarketsEPCM/CM主要要特特点点EPCM承包包人人实实际际上上是是顾顾问问业主主承承担担实实质质性性风风险险接口口追索索/杠杆杆作作用用能达达到到最最低低支支出出与与最最快快完完工工但很很大大程程度度上上有有赖赖于于专专业业技技术术、、经经验验与与资资源源如果果不不具具备备这这些些将将可可能能损损失失惨惨重重———案例例广泛泛应应用用于于上上游游油油气气、、可可再再生生资资源源以以及及一一些些不不动动产产市市场场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主要风险险与合同同条款(续)质量与范范围“限制”例如，对对技术或或现有工工程与设设计符合目标标及合理理技术与与注意义义务保险与风风险保留留问题符合法律律及约定定环境要求求的特殊殊重要性性其他项目目文件的的延续26KeyRisksandContractTerms(cont’d)IntellectualpropertyOwnershipbycontractorAssignedorlicensedtoowner?ScopeoflicenseIndemnitiesforinfringement–cappedornot?主要风险险与合同同条款(续)知识产权权承包人的的所有权权转让或许许可给业业主?许可范围围侵权赔偿偿——有无上限限?27KeyRisksandContractTerms(cont’d)PerformanceSecurityJointliabilityGuaranteesBondsTypesandpurposesIssueswithon-demandbondsCreditissuesincurrentmarketRetentionfunds主要风险险与合同同条款(续)履约担保保共同责任任担保人保函类型与目目的按需求发发放保函函在当前市市场中按按信用发发放保函函保留基金金KeyRisksandContractTerms(cont’d)SubcontractingApprovalStep-inrightsSiteconditionsCanthreatenviabilityofproject/partiesMitigantsAnopen-mindedapproachGovernmentsupportSurveysandstagingFlexibilityindesign28主要风险险与合同同条款(续)分包同意介入权现场状况况可能威胁胁到项目目/当事方的的存续降低风险险的办法法思维开放放的方式式政府支持持现场考查查与筹备备设计的弹弹性29KeyRisksandContractTerms(cont’d)LabourLocallawsLocalpreferenceTimeStatusofprogrammeRemediesfordelayLiquidateddamages(“LDs””)fordelayEnforceabilityissueswithdelayLDsAccelerationMilestonesLook-forwarddefaultCalculationandcappingofLDS主要风险险与合同同条款(续)劳动力当地法律律当地优惠惠时间计划状况况延期赔偿偿延期违约约赔偿金金违约赔偿偿金执行行力问题题赶工重大事件件预期违约约延期违约约赔偿金金的计算算与上限限30KeyRisksandContractTerms(cont’d)Completion,commissioningandtestingSectordifferencesPerformanceLDsandmake-goodDefectsliabilityTypicalperiods“Evergreen”clausesLatentandpatentdefectsRemediesunderthegenerallaw主要风险险与合同同条款(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