EPC交钥匙合同-菲迪克课件

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EPCContractsTimSteadmanContr2GeneralOverviewIntroductiontoCCConstructionGroupPurposeofpresentationOutlineofpresentationContextRolesPhilosophyStructureFormKeyrisksandcontractterms

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

2GeneralOverviewIntroduction3Context-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3Context-EconomicEffectofc4Context–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）4Context–BusinessCultureMos5Context–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5Context–Legal/RegulatoryLeg6RolesPrimecontractor(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)6RolesPrimecontractor(notal7PhilosophyAsacontractorOpenbiddingorsolesource?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?7PhilosophyAsacontractor体系作为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8Philosophy(cont’d)Asanowne9Structure–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PPA9Structure–theProjectPrivat10TypicalPPPStructurePUBLICENTITYCONCESSIONCONTRACTSPVSPONSOREQUITYTHIRDPARTYEQUITYINVESTORSDUEDILIGENCEADVISER1MEZZANINEFUNDERSINSURERSCONSTRUCTIONSENIORFUNDERS(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10TypicalPPPStructurePUBLIC11Structure–theMainConstructionContract(s)EPC/designandbuildOwnerdesignedEPCM/CMOthervariants结构–主建设合同设计采购施工/设计施工业主设计设计采购施工管理/施工管理EPCM/CM其他变量11Structure–theMainConstru12KEY

“Traditional”OWNER

CONTRACTORSUB-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12KEY

“Traditional”OWNERCONTR13WheredoesEPCfitin?ConstructionManagementOwnerassumesriskContractorretainsriskTraditionalDesign&BuildLSTK/EPCRISKSPECTRUMExceptasotherwisestatedintheContract:theContractorshallbedeemedtohaveobtainedallnecessaryinformationastorisks,contingenciesandothercircumstanceswhichmayinfluenceoraffecttheWorks;bysigningtheContract,theContractoracceptstotalresponsibilityforhavingforeseenalldifficultiesandcostsofsuccessfullycompletingtheWorks;andtheContractPriceshallnotbeadjustedtotakeaccountofanyunforeseendifficultiesorcosts.LSTK–LumpSumTurnkeyEPC–EngineeringProcurementandConstructionEPCStructure(cont’d)EPC合同适合什么?建设管理业主承担风险承包人保留风险传统设计施工LSTK/EPC风险幅度除非在合同中另有约定外：承包人应当被视为已获知有关风险、意外事故及其他可能影响工程的情况的全部必要信息；一俟签约，承包人即接受了所预见到的各类困难的全部责任并承担顺利完工的一切费用；且合同价款不得因考虑任何不可预见的困难或费用而调整。LSTK–一次性付款交钥匙EPC–设计采购施工EPC结构(续)13WheredoesEPCfitin?Constr14EPCKeyFeaturesSinglepointresponsibilitySubjecttocapsandcarve-outsHighdegreeofriskforcontractorAlsohigh(butnotabsolute)degreeofcontractorcontrolPricedaccordinglyThepreferredstructureforprojectfinance/PPPtransactionsLinkagetoshareholdersupportEPC主要特点单一责任责任的上限及分割承包人承担高风险项目多由承包人控制，但非完全控制相应报价项目融资的更优模式/PPP交易与股东支持的联系14EPCKeyFeaturesSinglepoint15EPCKeyFeatures(cont’d)Sensitivetomarketconditions–recenthistoryWidechoiceofstandardcontracts(egFIDICSilverandYellow)Commonlyusedininfrastructure,thermalpoweranddownstreampetchemEPC主要特点(续)对市场条件敏感——最近的历史可以选择更多的标准合同(例如FIDIC银皮书和黄皮书)在基础设施、热电厂和下游石化行业中应用15EPCKeyFeatures(cont’d)Sen16KEY

“Traditional”OWNER

CONTRACTORSUB-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16KEY

“Traditional”OWNERCONTR17OwnerDesignKeyFeaturesMorecontrolforownerDesignandotherrisksalsoretainedbyownerHistoryofdisputesUsehasdeclinedinrecentdecadesbutstillusedin,eg,publiccivilworksandtechnologyprojectsIncompatiblewithprojectfinanceapproach业主设计主要特点业主更多控制设计及其他风险仍由业主保留争议历史近几十年来使用率降低，但仍在使用，例如在公共民用建筑和技术项目中与项目融资方式不兼容17OwnerDesignKeyFeaturesMor18OWNERTCPROFESSIONALTEAMARCHITECTSTRUCTURALENGINEERM&EENGINEERQUANTITYSURVEYORCDMCO-ORDINATORCONSTRUCTIONMANAGERTC=TRADECONTRACTOR=TradeContract=Appointments=CMAKEYEPCM/CMTCTCTCTCTCTCTCTC业主TCTC专业队伍建筑师结构工程师机械电气工程师成本估算师CDM协调师TCTCTCTCTCTCTC施工项目经理TC=专业承包商=专业合同

=任命=注册管理会计师KEYEPCM/CM18OWNERTCPROFESSIONALTEAMCON19EPCM/CMKeyFeaturesEPCMcontractorisessentiallyaconsultantOwnerbearssubstantialriskInterfaceRecourse/leverageCanproducethelowestcostandfastestcompletionButisheavilydependentonspecialistskills,experienceandresourcesCanbedisastrousifthosearenotpresent–examplesWidelyusedinupstreamoilandgas,renewablesandsomerealestatemarketsEPCM/CM主要特点EPCM承包人实际上是顾问业主承担实质性风险接口追索/杠杆作用能达到最低支出与最快完工但很大程度上有赖于专业技术、经验与资源如果不具备这些将可能损失惨重——案例广泛应用于上游油气、可再生资源以及一些不动产市场19EPCM/CMKeyFeaturesEPCMcon20VariantsTiming–two-stagecontractingMarketdrivenandmixedfeedbackConversionmechanismScope–isFEEDincluded?CanbeattractiveforcontractorsPricing–targetcost/GMPUsuallyaconsequenceratherthanachoiceExamples–eg2012Linktophilosophy变量时间–两步签约市场驱动与综合反馈转换机制范围–是否包括FEED?对承包人有吸引力价格–目标费用/优良制造标准GMP通常是结果而非选择例子–例如2012与体系相关20VariantsTiming–two-stagec21FormsofContractaprofusionofcolourandvariety!合同格式各种各样的色彩和类型!21FormsofContractaprofusion22FormsofContractStandardorspeciallydrafted?RelevanceofwiderstructureOriginofstandardformsExampleofFIDICOtherstandardforms,egNEC,AIA,ENAA,EICWhyamenda“proven”form?Tocorrectperceivedanomaliesorbias(examples)合同格式标准合同抑或特别制定的合同?更广泛结构的相关性标准格式起源FIDIC实例其他标准格式，例如NEC,AIA,ENAA,EIC为何修订“现有”格式?修正已发现的异常或偏差(例子)22FormsofContractStandardor23FormsofContract(cont’d)Toreflectdealspecificsorsectorpractice(examples)Toincorporatematerialfromothercontracts(eginPPP)Toreflectrequirementsoffunding(whichmaybeownerorcontractorsourced)Forlegalreasons(examples)Whodrafts–ownerorcontractor?合同格式(续)反映交易特性或部门实践（例子）吸纳其他合同素材(例如在PPP合同中)反映融资需求(可能来源于业主或承包人)基于法律原因(例子)由谁起草–业主还是承包人?23FormsofContract(cont’d)To24KeyRisksandContractTermsLawandlanguageEnglishlanguageandstylecommonlyusedPrecedenceandintegrationofdocumentsDistinguishlanguageofcontractandofcommunicationsCommonlawpreferredbutlessstronglythesedaysImpactoflocallawinanyeventWidechoiceofmethodsandplacesfordisputeresolution主要风险与合同条款法律与语言通常使用英语语言与文体文件的优先顺序与整体性区分合同语言与交流语言优先考虑普通法，但近来这一趋势减弱任何情况下本地法的影响争议解决方式与地点的广泛选择24KeyRisksandContractTerms25KeyRisksandContractTerms(cont’d)Qualityandscope“Wrapping”egoftechnologyorexistingworksordesignFitnessforpurposeandreasonableskillandcareInsuranceandriskretentionimplicationsCompliancewithlawsandconsentsSpecialimportanceofenvironmentalrequirementsPass-downfromotherprojectdocuments主要风险与合同条款(续)质量与范围“限制”例如，对技术或现有工程与设计符合目标及合理技术与注意义务保险与风险保留问题符合法律及约定环境要求的特殊重要性其他项目文件的延续25KeyRisksandContractTerms26KeyRisksandContractTerms(cont’d)IntellectualpropertyOwnershipbycontractorAssignedorlicensedtoowner?ScopeoflicenseIndemnitiesforinfringement–cappedornot?主要风险与合同条款(续)知识产权承包人的所有权转让或许可给业主?许可范围侵权赔偿——有无上限?26KeyRisksandContractTerms27KeyRisksandContractTerms(cont’d)PerformanceSecurityJointliabilityGuaranteesBondsTypesandpurposesIssueswithon-demandbondsCreditissuesincurrentmarketRetentionfunds主要风险与合同条款(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函在当前市场中按信用发放保函保留基金27KeyRisksandContractTermsKeyRisksandContractTerms(cont’d)SubcontractingApprovalStep-inrightsSiteconditionsCanthreatenviabilityofproject/partiesMitigantsAnopen-mindedapproachGovernmentsupportSurveysandstagingFlexibilityindesign28主要风险与合同条款(续)分包同意介入权现场状况可能威胁到项目/当事方的存续降低风险的办法思维开放的方式政府支持现场考查与筹备设计的弹性KeyRisksandContractTerms(29KeyRisksandContractTerms(cont’d)LabourLocallawsLocalpreferenceTimeStatusofprogrammeRemediesfordelayLiquidateddamages(“LDs”)fordelayEnforceabilityissueswithdelayLDsAccelerationMilestonesLook-forwarddefaultCalculationandcappingofLDS主要风险与合同条款(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金违约赔偿金执行力问题赶工重大事件预期违约延期违约赔偿金的计算与上限29KeyRisksandContractTerms30KeyRisksandContractTerms(cont’d)Completion,commissioningandtestingSectordifferencesPerformanceLDsandmake-goodDefectsliabilityTypicalperiods“Evergreen”clausesLatentandpatentdefectsRemediesunderthegenerallaw主要风险与合同条款(续)竣工、试车与试验

部门差别履行违约赔偿金或进行补救缺陷责任典型期限“终生”条款潜在缺陷与显著缺陷依照一般原则的救济30KeyRisksandContractTerms31KeyRisksandContractTerms(cont’d)VariationsInstructedbytheownerResultingfromchangesinlaworstandardsExamplesofriskallocationPriceandpaymentLumpsumorother?CurrencyissuesInputcostfluctuationMilestonesormeasurement?Offsitematerials主要风险与合同条款(续)变更按照业主指示因法律或标准的变化风险分担的例子价款与支付总价合同或其他?货币问题投入成本的波动重大事件或测量?场外原料31KeyRisksandContractTerms32KeyRisksandContractTerms(cont’d)AdvancepaymentsCashflowneutralityPaymentsecurityforcontractorSet-offandcorrectionECArequirementsRemediesfornon-paymentRoleoflender’sengineer主要风险与合同条款(续)预付款现金流平衡给承包人的付款担保抵销与补偿ECA要求未付款的救济贷款人工程师的角色32KeyRisksandContractTerms33KeyRisksandContractTerms(cont’d)TerminationForownerconveniencePaymentofprofitForforcemajeureForownerdefaultTypicalgroundsRemediesForcontractordefaultTypicalgroundsRemedies(toincluderejection?)主要风险与合同条款(续)终止基于业主的利益支付利润基于不可抗力基于业主违约典型原因救济基于承包人违约典型原因救济(包括拒收?)33KeyRisksandContractTerms34KeyRisksandContractTerms(cont’d)RiskIndemnitiesTreatmentofhazardoussitesCareoftheworksExceptedrisksLinktoinsuranceLiabilityLiabilitycapExclusionof“consequentialloss”Exceptions主要风险与合同条款(续)风险补偿危险现场的处置工程移交除外责任与保险的联系责任责任限额“后续损失”的排除除外34KeyRisksandContractTerms35KeyRisksandContractTerms(cont’d)InsuranceMaincategoriesCAR/EARTPL/PLPIIPlantandvehiclesDSA/ALOPLatentdefectsOperationalinsuranceWhoarrangescover?Othercontractterms主要风险与合同条款(续)保险主要类型工程一切险/建筑物一切险第三方责任险、公共责任险职业免责险设备与装置债务中止协议/预期利润损失险潜在缺陷运营保险由谁决定保险赔偿的分配?其他合同条款35KeyRisksandContractTerms36KeyRisksandContractTerms(cont’d)ForceMajeureOpenorclosedclause?Territoriallimits?ExclusionsConsequences主要风险与合同条款(续)不可抗力开放式或封闭式条款?区域性限制?除外情况后果36KeyRisksandContractTermsCliffordChance,10UpperBankStreet,CanaryWharf,London,E145JJ,UK©CliffordChanceLLP2007CliffordChanceLimitedLiabilityPartnership

EPCContractsContractManagementinInternationalConstructionBeijing,April28,2009CliffordChance,10UpperBankStreet,CanaryWharf,London,E145JJ,UK©CliffordChanceLLP2007CliffordChanceLimitedLiabilityPartnership

设计采购施工合同国际工程合同管理2009年4月28日北京CliffordChance,10UpperBankEPCContractsTimSteadmanContractManagementin

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EPCContractsTimSteadmanContr39GeneralOverviewIntroductiontoCCConstructionGroupPurposeofpresentationOutlineofpresentationContextRolesPhilosophyStructureFormKeyrisksandcontractterms

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

2GeneralOverviewIntroduction40Context-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3Context-EconomicEffectofc41Context–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）4Context–BusinessCultureMos42Context–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5Context–Legal/RegulatoryLeg43RolesPrimecontractor(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)6RolesPrimecontractor(notal44PhilosophyAsacontractorOpenbiddingorsolesource?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?7PhilosophyAsacontractor体系作为45Philosophy(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8Philosophy(cont’d)Asanowne46Structure–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PPA9Structure–theProjectPrivat47TypicalPPPStructurePUBLICENTITYCONCESSIONCONTRACTSPVSPONSOREQUITYTHIRDPARTYEQUITYINVESTORSDUEDILIGENCEADVISER1MEZZANINEFUNDERSINSURERSCONSTRUCTIONSENIORFUNDERS(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10TypicalPPPStructurePUBLIC48Structure–theMainConstructionContract(s)EPC/designandbuildOwnerdesignedEPCM/CMOthervariants结构–主建设合同设计采购施工/设计施工业主设计设计采购施工管理/施工管理EPCM/CM其他变量11Structure–theMainConstru49KEY

“Traditional”OWNER

CONTRACTORSUB-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12KEY

“Traditional”OWNERCONTR50WheredoesEPCfitin?ConstructionManagementOwnerassumesriskContractorretainsriskTraditionalDesign&BuildLSTK/EPCRISKSPECTRUMExceptasotherwisestatedintheContract:theContractorshallbedeemedtohaveobtainedallnecessaryinformationastorisks,contingenciesandothercircumstanceswhichmayinfluenceoraffecttheWorks;bysigningtheContract,theContractoracceptstotalresponsibilityforhavingforeseenalldifficultiesandcostsofsuccessfullycompletingtheWorks;andtheContractPriceshallnotbeadjustedtotakeaccountofanyunforeseendifficultiesorcosts.LSTK–LumpSumTurnkeyEPC–EngineeringProcurementandConstructionEPCStructure(cont’d)EPC合同适合什么?建设管理业主承担风险承包人保留风险传统设计施工LSTK/EPC风险幅度除非在合同中另有约定外：承包人应当被视为已获知有关风险、意外事故及其他可能影响工程的情况的全部必要信息；一俟签约，承包人即接受了所预见到的各类困难的全部责任并承担顺利完工的一切费用；且合同价款不得因考虑任何不可预见的困难或费用而调整。LSTK–一次性付款交钥匙EPC–设计采购施工EPC结构(续)13WheredoesEPCfitin?Constr51EPCKeyFeaturesSinglepointresponsibilitySubjecttocapsandcarve-outsHighdegreeofriskforcontractorAlsohigh(butnotabsolute)degreeofcontractorcontrolPricedaccordinglyThepreferredstructureforprojectfinance/PPPtransactionsLinkagetoshareholdersupportEPC主要特点单一责任责任的上限及分割承包人承担高风险项目多由承包人控制，但非完全控制相应报价项目融资的更优模式/PPP交易与股东支持的联系14EPCKeyFeaturesSinglepoint52EPCKeyFeatures(cont’d)Sensitivetomarketconditions–recenthistoryWidechoiceofstandardcontracts(egFIDICSilverandYellow)Commonlyusedininfrastructure,thermalpoweranddownstreampetchemEPC主要特点(续)对市场条件敏感——最近的历史可以选择更多的标准合同(例如FIDIC银皮书和黄皮书)在基础设施、热电厂和下游石化行业中应用15EPCKeyFeatures(cont’d)Sen53KEY

“Traditional”OWNER

CONTRACTORSUB-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16KEY

“Traditional”OWNERCONTR54OwnerDesignKeyFeaturesMorecontrolforownerDesignandotherrisksalsoretainedbyownerHistoryofdisputesUsehasdeclinedinrecentdecadesbutstillusedin,eg,publiccivilworksandtechnologyprojectsIncompatiblewithprojectfinanceapproach业主设计主要特点业主更多控制设计及其他风险仍由业主保留争议历史近几十年来使用率降低，但仍在使用，例如在公共民用建筑和技术项目中与项目融资方式不兼容17OwnerDesignKeyFeaturesMor55OWNERTCPROFESSIONALTEAMARCHITECTSTRUCTURALENGINEERM&EENGINEERQUANTITYSURVEYORCDMCO-ORDINATORCONSTRUCTIONMANAGERTC=TRADECONTRACTOR=TradeContract=Appointments=CMAKEYEPCM/CMTCTCTCTCTCTCTCTC业主TCTC专业队伍建筑师结构工程师机械电气工程师成本估算师CDM协调师TCTCTCTCTCTCTC施工项目经理TC=专业承包商=专业合同

=任命=注册管理会计师KEYEPCM/CM18OWNERTCPROFESSIONALTEAMCON56EPCM/CMKeyFeaturesEPCMcontractorisessentiallyaconsultantOwnerbearssubstantialriskInterfaceRecourse/leverageCanproducethelowestcostandfastestcompletionButisheavilydependentonspecialistskills,experienceandresourcesCanbedisastrousifthosearenotpresent–examplesWidelyusedinupstreamoilandgas,renewablesandsomerealestatemarketsEPCM/CM主要特点EPCM承包人实际上是顾问业主承担实质性风险接口追索/杠杆作用能达到最低支出与最快完工但很大程度上有赖于专业技术、经验与资源如果不具备这些将可能损失惨重——案例广泛应用于上游油气、可再生资源以及一些不动产市场19EPCM/CMKeyFeaturesEPCMcon57VariantsTiming–two-stagecontractingMarketdrivenandmixedfeedbackConversionmechanismScope–isFEEDincluded?CanbeattractiveforcontractorsPricing–targetcost/GMPUsuallyaconsequenceratherthanachoiceExamples–eg2012Linktophilosophy变量时间–两步签约市场驱动与综合反馈转换机制范围–是否包括FEED?对承包人有吸引力价格–目标费用/优良制造标准GMP通常是结果而非选择例子–例如2012与体系相关20VariantsTiming–two-stagec58FormsofContractaprofusionofcolourandvariety!合同格式各种各样的色彩和类型!21FormsofContractaprofusion59FormsofContractStandardorspeciallydrafted?RelevanceofwiderstructureOriginofstandardformsExampleofFIDICOtherstandardforms,egNEC,AIA,ENAA,EICWhyamenda“proven”form?Tocorrectperceivedanomaliesorbias(examples)合同格式标准合同抑或特别制定的合同?更广泛结构的相关性标准格式起源FIDIC实例其他标准格式，例如NEC,AIA,ENAA,EIC为何修订“现有”格式?修正已发现的异常或偏差(例子)22FormsofContractStandardor60FormsofContract(cont’d)Toreflectdealspecificsorsectorpractice(examples)Toincorporatematerialfromothercontracts(eginPPP)Toreflectrequirementsoffunding(whichmaybeownerorcontractorsourced)Forlegalreasons(examples)Whodrafts–ownerorcontractor?合同格式(续)反映交易特性或部门实践（例子）吸纳其他合同素材(例如在PPP合同中)反映融资需求(可能来源于业主或承包人)基于法律原因(例子)由谁起草–业主还是承包人?23FormsofContract(cont’d)To61KeyRisksandContractTermsLawandlanguageEnglishlanguageandstylecommonlyusedPrecedenceandintegrationofdocumentsDistinguishlanguageofcontractandofcommunicationsCommonlawpreferredbutlessstronglythesedaysImpactoflocallawinanyeventWidechoiceofmethodsandplacesfordisputeresolution主要风险与合同条款法律与语言通常使用英语语言与文体文件的优先顺序与整体性区分合同语言与交流语言优先考虑普通法，但近来这一趋势减弱任何情况下本地法的影响争议解决方式与地点的广泛选择24KeyRisksandContractTerms62KeyRisksandContractTerms(cont’d)Qualityandscope“Wrapping”egoftechnologyorexistingworksordesignFitnessforpurposeandreasonableskillandcareInsuranceandriskretentionimplicationsCompliancewithlawsandconsentsSpecialimportanceofenvironmentalrequirementsPass-downfromotherprojectdocuments主要风险与合同条款(续)质量与范围“限制”例如，对技术或现有工程与设计符合目标及合理技术与注意义务保险与风险保留问题符合法律及约定环境要求的特殊重要性其他项目文件的延续25KeyRisksandContractTerms63KeyRisksandContractTerms(cont’d)IntellectualpropertyOwnershipbycontractorAssignedorlicensedtoowner?ScopeoflicenseIndemnitiesforinfringement–cappedornot?主要风险与合同条款(续)知识产权承包人的所有权转让或许可给业主?许可范围侵权赔偿——有无上限?26KeyRisksandContractTerms64KeyRisksandContractTerms(cont’d)PerformanceSecurityJointliabilityGuaranteesBondsTypesandpurposesIssueswithon-demandbondsCreditissuesincurrentmarketRetentionfunds主要风险与合同条款(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函在当前市场中按信用发放保函保留基金27KeyRisksandContractTermsKeyRisksandContractTerms(cont’d)SubcontractingApprovalStep-inrightsSiteconditionsCanthreatenviabilityofproject/partiesMitigantsAnopen-mindedapproachGovernmentsupportSurveysandstagingFlexibilityindesign65主要风险与合同条款(续)分包同意介入权现场状况可能威胁到项目/当事方的存续降低风险的办法思维开放的方式政府支持现场考查与筹备设计的弹性KeyRisksandContractTerms(66KeyRisksandContractTerms(cont’d)LabourLocallawsLocalpreferenceTimeStatusofprogrammeRemediesfordelayLiquidateddamages(“LDs”)fordelayEnforceabilityissueswithdelayLDsAccelerationMilestonesLook-forwarddefaultCalculationandcappingofLDS主要风险与合同条款(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金违约赔偿金执行力问题赶工重大事件预期违约延期违约赔偿金的计算与上限29KeyRisksandContractTerms67KeyRisksandContractTerms(cont’d)Comple