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/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12KEY

“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13WheredoesEPCfitin?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)14EPCKeyFeaturesSinglepointresponsibilitySubjecttocapsandcarve-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15EPCKeyFeatures(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16KEY

“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17OwnerDesignKeyFeaturesMorecontrolforownerDesignandotherrisksalsoretainedbyownerHistoryofdisputesUsehasdeclinedinrecentdecadesbutstillusedin,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18OWNERTCPROFESSIONALTEAMARCHITECTSTRUCTURALENGINEERM&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/CM19EPCM/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20VariantsTiming–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21Form辨sof傅Con墙trac卷tapr端ofus并ion恶ofc情olou竹ran抽dva余riet榴y!合同格式各种各样艺的色彩和蔑类型!22For润ms盲of乎Con剖tra症ctSta笛nda伞rd躲or盛spe浩cia嫩lly座dr拐aft谣ed?Rele章vanc窗eof俱wid留ers正truc砌tureOri莫gin凑of春st厨and沙ard脉fo玩rmsExam服ple穴ofF岔IDICOth敬er震sta逐nda抵rd垄for俘ms,egNEC,职AIA闸,EN罩AA,源EICWhy假am饰end珍a蹦“pr偿ove齿n”毁for荣m?To昂cor孙rec起tp净erc投eiv补ed满ano煎mal壁ies逼or浴bi男as艺(ex懂amp勿les警)合同格购式标准合同迅抑或特别疮制定的合欺同?更广泛结孔构的相关粘性标准格工式起源FID泪IC实例其他标准围格式，例哑如NEC恼,A钳IA,泻EN爷AA,太EI现C为何修订励“现有”词格式?修正已究发现的趟异常或拒偏差(例子)23Form颤sof卧Con妖trac塌t(c陷ont’你d)To察ref担lec床td役eal短sp梦eci渔fic超so搭rs薄ect耕or赏pra职cti惕ce耽(ex抹amp塘les艘)To曲inc晨orp辜ora恶te黑mat得eri矿al聪fro躬mo户the鸡rc嘴ont爱rac售ts遵(egin饥PPP守)Tor淡efle问ctr培equi碰reme史nts木off哀undi胡ng(时whic已hma枝ybe趋own躁ero辟rco格ntra抵ctor粪sou贷rced丸)For此le策gal袄re击aso贩ns家(ex烧amp旬les拣)Who择dr骆aft捎s–末ow季ner亡or纪co刮ntr灭act摆or?合同格式(续)反映交易佩特性或部陕门实践（建例子）吸纳其他赔合同素材(例如在PPP合同中)反映融苦资需求(可能来源扇于业主或絮承包人)基于法律背原因(例子)由谁起暂草–业主还是技承包人?24Key绘Ri何sks贺an锤dC三ont脾rac孕tT坡erm臣sLaw术and渗lang滑uageEng耗lis帽hl彻ang拴uag叉ea饲nd捏sty献le像com较mon匙ly宅use财dPre包ced仙enc滑ea矩nd嫩int侮egr简ati趣on凶of雁doc覆ume舞ntsDis大tin乱gui出sh越lan三gua语ge祖of萌con轰tra桐ct货and赚of浇co啦mmu陶nic希ati况onsCom唇mon斜la晌wp匹ref作err甩ed刃but裁le玻ss只str猛ong托ly董the苦se考day柳sImpa执cto意flo氏cal督law月ina旗nye语ventWid挂ec剥hoi涨ce虹of蹲met摆hod惭sa杂nd缎pla充ces盆fo其rd昆isp尽ute茧re玩sol订uti秃on主要风险吓与合同条戴款法律与烧语言通常使呜用英语弊语言与致文体文件的优丽先顺序与迟整体性区分合永同语言蛋与交流副语言优先考面虑普通膛法，但繁近来这埋一趋势偷减弱任何情扇况下本磁地法的出影响争议解浩决方式裕与地点绞的广泛莫选择25Key倾Risk神san哲dCo痒ntra继ctT扎erms仅(co奋nt’d刚)Qual季ity妖and迟scop墙e“Wr索app诱ing饼”egoft答echn陵olog长yor缎exi切stin博gwo杆rks嘉ord含esig拘nFit竭nes凉sf摆or境pur事pos均ea蓄nd惯rea颂son搏abl傲es拔kil哨la收nd祥car尤eInsu卖ranc唱ean氏dri受skr厅eten馅tion祝imp崭lica兴tion救sComp腊lian酸cew示ith研laws凤and侨con密sent赔sSpec秃ial治impo败rtan未ceo扑fen萍viro小nmen域tal悉requ岭irem散entsPas肺s-d两own剧fr最om箱oth狐er盖pro轨jec葡td随ocu裙men搞ts主要风险畏与合同条饰款(续)质量与范扮围“限制”例如，甚对技术歪或现有鸭工程与效设计符合目标鞭及合理技害术与注意摧义务保险与风徐险保留问顷题符合法律井及约定环境要求府的特殊重坚要性其他项腥目文件欲的延续26Key损Risk毫san考dCo岂ntra发ctT锣erms揪(co显nt’d激)Inte近llec侄tual笛pro济pert检yOwne谨rshi烧pby岗con堤trac贪torAss舒ign湖ed云or苏lic鼠ens宪ed财to冤own早er?Sco本pe探of帖lic柴ens跃eInde栏mnit厕ies攻for丸infr喷inge复ment俩–c敲appe挖dor弱not枣?主要风险润与合同条氧款(续)知识产权承包人智的所有沟权转让或许慎可给业主?许可范肆围侵权赔活偿——有无上限?27Key肤Risk合san慢dCo刮ntra答ctT团erms青(co罗nt’d酱)Perf薪orma冈nce谢Secu扑rityJoi堂nt鸭lia舞bil穷ityGua码ran择tee欠sBond荐sType缘瑞san美dpu焰rpos舟esIss净ues忌wi区th批on-向dem铃and坚bo幕ndsCre抚dit堂is财sue恭si蚁nc兆urr欧ent阀ma猜rke靠tRet付ent穷ion匠fu捉nds主要风险便与合同条说款(续)履约担保共同责任担保人保函类型与胃目的按需求罩发放保冬函在当前输市场中撑按信用聚发放保基函保留基航金Key诉Ri惯sks饥an崇dC件ont吹rac陶tT绍erm旷s(胶con婶t’d肃)Sub创con蝴tra公cti垮ngApp荡rov秀alSte角p-i磨nr害igh领tsSit常ec昆ond震iti耀onsCan剥thre冰aten巡寿via伤bili撇tyo悉fpr贫ojec占t/pa饿rtie距sMiti炉gant茂sAno筹pen-探mind闲eda具ppro诞achGove莫rnme损nts克uppo欣rtSurv版eys饶and复stag薄ingFlex赢ibil妻ity浪ind纵esig洁n28主要风均险与合细同条款(续)分包同意介入权现场状勺况可能威看胁到项柿目/当事方蛾的存续降低风朋险的办相法思维开放伟的方式政府支持现场考查国与筹备设计的弹舞性29Key牌Ri颤sks者an汗dC累ont数rac所tT遇erm古s(寒con与t’d钻)Lab费ourLoca指lla袍wsLoc纹al汉pre偏fer数enc新eTim愚eSta穗tus捐of停pr疤ogr趟amm兰eRem罩edi北es栋for岩de淘layLiq戒uid慨ate唱dd忽ama投ges墨(“躲LDs师”)伞for冷de汇layEnf自orc丽eab宾ili可ty并iss朵ues授wi励th单del摇ay垦LDsAcce饭lera培tionMile想ston啄esLoo撕k-f迫orw宾ard羞de劈燕fau赌ltCal魂cul霞ati纪on据and秧ca坝ppi辆ng棋of啄LDS主要风险金与合同条渠款(续)劳动力当地法菊律当地优惠时间计划状况延期赔偿延期违有约赔偿挂金违约赔纺偿金执钻行力问饿题赶工重大事两件预期违约延期违纽奉约赔偿氧金的计牵算与上顿限30Key判Risk挖san笛dCo旁ntra伍ctT拔erms购(co朱nt’d聪)Com踢ple竟tio痛n,陪com稳mis桨sio祖nin雪ga依nd剧tes有tin券gSect拔ord泊iffe宗renc扣esPer僻for价man拼ce芝LDs姑an梢dm亮ake抚-go接odDefe哨cts简liab赵ilit籍yTyp峡ica破lp絮eri展ods“Eve摔rgre势en”呀clau丘sesLat霞ent积an衔dp掘ate僵nt绿def严ect梅sReme讽dies速und御ert消heg驴ener禾all躬aw主要风险版与合同条秘款(续)竣工、浆试车与各试验部门差衣别履行违崭约赔偿蓝金或进盒行补救缺陷责袜任典型期限“终生”楚条款潜在缺陷浩与显著缺欧陷依照一般野原则的救饿济31Key百Ri温sks皇an傅dC贤ont掘rac廉tT喊erm刘s(岂con痒t’d榴)Var潜iat泉ion错sInst摘ruct新edb定yth惧eow煮nerResu速ltin斩gfr贷omc男hang绪esi仇nla雾wor睛sta出ndar企dsExam腔ples著of淹risk唤all着ocat侍ionPri许ce摇and物pa哈yme叔ntLum题ps纽奉um啄or君oth链er?Cur兔ren顺cy偿iss谷uesInp哪ut垒cos络tf虫luc零tua阿tio捏nMile善ston泼eso刊rme铜asur弊emen垦t?Offs估ite胆mate孕rial纪s主要风险烛与合同条母款(续)变更按照业智主指示因法律袋或标准搜的变化风险分粪担的例扔子价款与支焦付总价合同蝇或其他?货币问功题投入成本佛的波动重大事件镰或测量?场外原料32Key哑Risk苦san颈dCo黎ntra咸ctT罢erms迹(co让nt’d汤)Adv俱anc滴ep望aym困ent治sCash玩flowneut黎rali逗tyPaym抹ent杂secu萍rity佳for状con解trac肤torSet缝-of畅fa屋nd身cor御rec葵tio育nECA自re崭qui仔rem伐ent厘sRem置edi通es捐for他no签n-p忘aym射entRole法of沿lend倒er’s敌eng践inee堪r主要风险指与合同条娇款(续)预付款现金流平皇衡给承包人竭的付款担熔保抵销与吊补偿ECA要求未付款的连救济贷款人工短程师的角往色33Key需Risk竞san快dCo驻ntra凑ctT剂erms仅(co研nt’d卵)Ter泽min熔ati精onFor还ow垃ner腰co神nve洒nie快ncePaym枪ent数ofp急rofi造tFor愧forc思ema酷jeur被eFor滔owne姐rde往faul瘦tTyp闻ica岁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