国际工程法律风险

国际工程合同十大法律风险TOP10LegalRisksfor赵东峰安泰赛斯国际项目管理咨询（北京）有限公司AntecessorInternationalPMConsulting(BeiJing)Co.,LTD.演讲人安泰赛斯国际项目管理咨询公司特聘专家毕业于北京大学法学院，曾任职于中国某著名大型国际承包商，作为合同和法律事务管理人员参与了该公司多个大型国际EPC工程项目，并具有常驻境外参与项目具体实施的经验。现为英国品诚梅森-合森中国项目与工程律师联盟核心成员。他为境内、境外几十家国际工程承包商的数十个国际工程项目提供了争议或非争议法律服务，尤其在国际工程仲裁与争议解决方面，为中国多家承包商在海外项目发生的包括ICC仲裁、UNCITRAL仲裁以及当地诉讼在内的争议提供过法律服务，是我国能够在国际工程仲裁和争议解决领域提供法律服务的领先中国本土律师之一。参与撰写了中国对外承包工程商会主持编写的《国际工程总承包项目管理规范》中“争议解决”篇；应《国际工程与劳务》杂志邀请，发表多篇有关国际工程管理、合约和法律方面的居于实践前沿的文章。为多家国内大学、协会组织、工程公司讲授国际工程法律、合约和管理方面的课程。受维也纳大学邀请，为其国际工程法法学硕士研究生讲授国际工程法课程，他是唯一一位受到该邀请的中国律师。2赵东峰ZhaoDongfeng中国承包商似乎给当地带来一股新鲜空气，他们只关心工程本身，缺乏合同、工程法律知识，合同观念淡漠，可能附加成本巨大，却又不进行有力的索赔，同时确实具有实施任何一个项目的财力和实力，这对雇主确实是最佳选择。摘自英国某咨询工程师向其雇主提供的竣工报告《标准建筑合同比较研究——以中英为视角》欧海燕2010

开场白3今天的话题一个关于“TOP10”的趣味游戏仁者见仁智者见智：国际工程合同十大法律风险讨论与分享：您心中的“TOP10”总结与建议Q&A4Aninterestinggame–TOP10Subject:WhataretheTOP10legalrisksyouthinkwhenreviewinganinternationalconstructioncontract(nottakingaccountoftheparticularityofacertainproject)?

列举出您认为的国际工程合同审查时的十大法律风险Organizer:

ZhaoDongfengParticipants:

JohnBishop,HewKianHeong,ShouravLahiriGameRules:Participantssendtheirownopinionsbyconfidentialemailandnooneknowstheanswerofothers.5YourTOP10？(2012.10.27)请大家在10-15分钟左右的时间内，列出您各自心目中的“TOP10”不限于合同和法律风险6JohnBishop’sTOP101.Applicablelaw/适用法律2.Disputeprocess/争议解决3.EOTprovisions/工期延长条款4.LDs(DelayandPerformance)/延误和性能违约金5.Capsonandexclusionsfromliability/责任限额和除外情形6.Cashrisk/资金风险7.Unrecogniseddesignrisk/EmployerData/未识别设计风险和业主资料8.ConditionsPrecedenttoentitlement/前提条件9.PerformanceSecurity/履约担保10.Groundsfortermination/合同解除理由7HewKianHeong’sTOP101.Paymentrisk/支付风险2.Designresponsibility/设计责任3.AbuseofEmployer/Engineer‘srighttoapprovedesign/业主或工程师滥用设计审批权4.LimitedrightofContractortoclaimadjustmentofContractPrice承包商要求调整合同价格权利的限制5.AbusebyEmployerofperformancesecurity/业主恶意索赔保函6.OnerousprocedurestoclaimEOTandadditionalpayment/索赔工期和费用程序繁琐7.Employer‘sverybroadpowertoordervariations/业主指令变更权利过大8.LimitsofliabilityonLDs/违约金责任限额9.IncompatibilityofChinesestandardsandlocal/internationalstandard/中国标准与当地或国际标准不兼容10.Ineffectivenessofdisputeresolutioninpractice/争议解决程序无效8ShouravLahiri’sTOP101.Multiplecurrencies/多种支付货币2.Definitionofforcemajeure/不可抗力定义3.PerformanceBonds/履约保函4.Applicablestandardsandcodes/适用标准5.Partiestothecontract/合同当事人6.Notificationofdelayevents/claims/索赔通知7.Insurance/保险8.Termination/解除9.Suspension/暂停10.Governinglawanddisputeresolutionprocess/准据法与争议解决过程9MyTOP101.税(Tax)2.汇率(ExchangeRate)3.法律变换和价格波动(ChangeoflegislationandPriceEscalation)4.许可(Permits)5.技术标准(TechnicalStandards)6.设计责任(DesignResponsibility)7.损害赔偿金与责任限制(LDs&LimitationofLiability)8.合同解除(TerminationofContract)9.适用法律(ApplicableLaw)10.索赔与争议解决(ClaimandDisputeResolution)1011Bycomparison–all4oneItemJohnHewShouravDongfengApplicablelawandstandards√√√√Disputeresolution√√√√Performancesecurity√√√√Paymentandcurrency√√√√ConditionsPrecedent√√√√12BycomparisonItemJohnHewShouravDongfengEOTandCostClaims√√√LDsandLimitationofLiability√√√DesignResponsibility√√√Termination√√√13BycomparisonItemJohnHewShouravDongfengVariation√ForceMajure√Partiestothecontract√Insurance√Suspension√Tax√Permits√Pleasenotethattherearenostandardanswersatall.

仁者见仁，智者见智

适用法律与标准ApplicableLawandStandards

14LocalLaw/LawClause/ChangeofLawWhatlawistoapply?Lookatthelocallawsapplicabletothecontractandtenderingprocessestochecktheenforceabilityofthecontractgenerallyandofparticulartermssuchasthelanguageandlawclausesetc.DoestheEmployertaketheriskofachangeoflaw?15JohnBishop/庄本信IncompatibilityofChinesestandardsandlocalorinternationalstandards16HewKianHeong/丘健雄makeexpressmentionofagoverninglaw(anylaw,butmentionit)makecleariflocalstandards,British/AmericanstandardsorChinesestandardstobeusedforassessingperformanceofwork.Forprocessplants,theremightbeamixofstandards(civilworkstolocalstandards,processtoChinesestandards).Inthatcase,considerclearseparationand,incaseofconflict,apriorityprovision.17ShouravLahiri/肖瑞夫

争议解决DisputeResolution18ReviewtheDisputesProcesstoseewhetheritoffersaspeedyinterimdisputesprocess(e.g.DAB),

andanoperablefinaldisputesprocessi.e.arbitrationresultinginanenforceable19JohnBishop/庄本信IneffectivenessofdisputeresolutioninpracticetoallowContractortoproperlyenforcehisrights:norighttoarbitratebeforeprojectcompletionlocalarbitrationorcourtdelayindisputeresolutionprocessdifficultyinenforcement20HewKianHeong/丘健雄ifchoosingarbitration,identifytheproperarbitralinstitutionatleastasthatwillatleasttakecareofanyomissionsinnecessaryinformation.Chooseaseat,languageandnumberofarbitratorsifyoucan.21ShouravLahiri/肖瑞夫

履约担保PerformanceSecurity22WhataretheContractor’sbondingobligations?Aretheyondemand?Istherenoticebeforeacall?Isthereaprovisiondealingwithrepaymentfollowingawrongfulcall?23JohnBishop/庄本信AbusebyEmployerofperformancesecurity.24HewKianHeong/丘健雄forChinesecontractors,ifpossible,shouldtryandgettheOwnertoacceptabondfromaChinesebankpreferablyabranchoftheBankinChina,notthelocalbranchoftheChinesebank.Mayallowforeasierinjunctiverelief.25ShouravLahiri/肖瑞夫

支付与币种Payment&Currency26CashriskIspaymentsecured?Howlongistheperiodbetweenthetimewhencostisincurredandtermination/suspensionfornonpaymentispossible?Isthereretentionmoneyandcanitbeexchangedforabond?Howgreatisthecashconsequenceofanimproperbondcall27JohnBishop/庄本信therightoftheContractortobepaidontimepaymentmechanismpaymentmethodlinkagewithcashflowandprogressofworktheprotectionaffordedtotheContractorifhedoesnotgetpaidontimerighttoaskforevidenceoffinancingpaymentsecurityrighttosuspendorterminaterighttogotodisputeresolution.28HewKianHeong/丘健雄MultiplecurrenciesIfcontractpriceisstipulatedinonecurrencybutisbeingpaidintwoormorecurrencies,butthecontractor'scostsarenotinthesamecurrenciesorinthesamecurrenciesbutnotinthesameproportionsasthepaymentsplit,thenneedeitheraprovisionthatallowsforadjustmentuponchangesinexchangeratesbetweenthecurrenciesorthecontractorneedstoconsiderhedging.29ShouravLahiri/肖瑞夫Suspensionsomecountries'lawsmayallowthecontractorastatutoryrighttosuspendperformanceoftheworkfornon-paymentofinterimcertificates,eventhoughthereisnocontractualprovisionallowingit.Justensurethereisnocontractualprovisionexpresslyremovingthecontractor'srighttososuspendifthecontractissilentonthispoint,itsbetter.30ShouravLahiri/肖瑞夫

前提条件ConditionsPrecedent31ConditionsPrecedenttoentitlementWhatmusttheContractordotoobtainentitlements?Whatistheconsequenceoffailingtomeettheconditionsprecedent?32JohnBishop/庄本信OnerousprocedurestoclaimEOTandadditionalpaymentnoticerequirementslevelofproof33HewKianHeong/丘健雄Notificationofdelayevents/claimscheckiftheyarestatedtobe(a)conditionprecedentsbarringentitlementor(b)requirements,thefailuretocomplywithwhichmayprejudiceextentofrecovery.Tryandavoid(a)typeofclausesifpossible.Butinadministeringthecontract,putinplacepropernotificationproceduresanywayassomecountries'lawswillupholdConditionsPrecedentclausesstrictly.34ShouravLahiri/肖瑞夫

工期延长与费用索赔ExtensionofTime(EOT)andCostClaims35EOTprovisionsWhenistheContractorentitledtoanEOT?IfadvisinganEmployer,isthereatimeatlargerisk?36JohnBishop/庄本信LimitedrightofContractortoclaimadjustmentofContractPricei.e.materialcostescalationchangeoflawunforeseengroundconditionscurrencyfluctuationrisketc.37HewKianHeong/丘健雄

违约金与责任限额LDsandLimitationofLiability38LiquidatedDamages(LDs,forDelayandPerformance)Whatisthelevel?Aretheycappedandifsoatwhatlevel?Isitanexclusiveremedy?Aretheycapableofattackunderthelocallaw?39JohnBishop/庄本信CapsonandexclusionsfromliabilityandgroundsforbreachingcapIsthereacap?Whatliabilitiesareexcluded(e.g.consequentiallosses)?Arethecapandexclusionsenforceableunderthelocallaw?Whencanthecapsbebreached?40JohnBishop/庄本信(Cont’d)WhetherthecontracthaslimitsofliabilityonLDs(delayand/orperformance)andoveralllimitonliability.41HewKianHeong/丘健雄

设计责任DesignResponsibility42Unrecogniseddesignrisk/EmployerDataIftheContractorhasadesignrisk,isitwhatheexpected?Doeshehaveahiddendesignrisk(heselectionofplantandmaterials)?Ishetakingadesignriskbecausesubcontractorshaveone?Ifsohowisitsecured?Ifheneedsdesignapproval,whatistheprocessandisitcapableofbeingabused?(e.g.mustallcommentsbegivenatthefirstopportunity?)

Isthereaco-ordination/interfacerisk?IstheEmployeracceptinganyrisk(hesiteorotherconditionsandintheinformationheprovidestothecontractor)43JohnBishop/庄本信DesignresponsibilitywhatmustContractordesignfreedomofchoiceliabilityfordesignfailure.AbuseofEmployer/Engineer'srighttoapprovedesign.44HewKianHeong/丘健雄

解除Termination45GroundsforterminationWhatarethegroundsfortermination?Aretheyreasonable?Isthereacureperiod?46JohnBishop/庄本信Terminationforconveniencesomecountries'lawsdonotallowforacontractualrighttoterminateforconvenience.Iftheownerseekstoexercisethisprovision,thecontractormaybeabletoresistit(tostrengthenhisbargainingpositionindiscussionsofpostterminationdamagespayment).47ShouravLahiri/肖瑞夫

变更Variation48Employer'sverybroadpowertoordervariationsandtorequireCto"performfirst,claimlater".49HewKianHeong/丘健雄

不可抗力ForceMajure50Definitionofforcemajeureincontractswhichhaveanoffshoreelementinadditiontoanonshoreelementshouldensurethatwar,insurrectionetcintheoffshorecountryalsoqualifyasforcemajeureevents.51ShouravLahiri/肖瑞夫

合同当事人PartiestotheContract52makesurethattheentitysigningthecontracthastheappropriateauthoritytodosoifagovernmen