设计采购施工合同

EPCContractsTimSteadmanContractManagementin

InternationalConstruction,April28,2021设计采购施工合同TimSteadman国际工程合同管理2021年4月28日北京2GeneralOverviewIntroductiontoCCConstructionGroupPurposeofpresentationOutlineofpresentationContextRolesPhilosophyStructureFormKeyrisksandcontractterms

概述高伟绅律所建立工程团队引见演讲目的演讲概要背景角色体系构造方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构造价钱风险分担资金来源与方式4Context–BusinessCultureMostcountriesembracemarketeconomics(intheory)Inpracticethereareexceptions–helpfulandotherwiseSorelationshipsaretosomeextentadversarial/competitiveAndnegotiationscanbecomplex(especiallyiflendersareinvolved)背景–商业文化〔实际上〕大多数国家信奉市场经济实际中存在例外——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/契约规那么很重要，尤其在工程资金筹措买卖中罗马法与普通法系在方式与本质上存在不同采购规那么的影响对业主的行为对招标技巧6RolesPrimecontractor(notalwaysEPC)VendorTechnologylicensorInvestorFunder(deliberateorbydefault)角色总承包商(并非总以EPC合同方式)供应商技术答应人投资者融资者(有或无)7PhilosophyAsacontractorOpenbiddingorsolesource?Immediateprofitormarketpenetration/profile?Soleorinconsortium?Legalandpracticalconsequencesofjointliability?Equityorcontractingroleonly?体系作为承包人公开招标或独一来源?希求得到直接利润或经过市场浸透/打造企业笼统?单独招标或结合招标?共同责任的法律后果或实践后果?入股抑或仅仅是承包人角色?8Philosophy(cont’d)AsanownerAllianceorrisktransfer?LinkedtofundingmethodSomesectoralpatternsAlsovariesbetweenpublicandprivatesectorPhilosophyisinfluentialonlyifsharedwithinsupplychain体系(续)作为业主结合或风险转移?与融资方式相关联一些部门方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构造–工程私下获得工程资产负债表上资产负债表外公开获得工程仍能够思索对价，例如在PPP〔公私合伙〕合同中结合PPP〔公私合伙〕工程退让其他–例如PPA10TypicalPPPStructurePUBLICENTITYCONCESSIONCONTRACTSPVSPONSOREQUITYTHIRDPARTYEQUITYINVESTORSDUEDILIGENCEADVISER1MEZZANINEFUNDERSINSURERSCONSTRUCTIONSENIORFUNDERS(BANK/BOND)SURPLUSREALESTATEDISPOSALDUEDILIGENCEADVISER2SUBCONTRACTOR1DESIGNERSEQUIPMENTSUPPLYOPERATION&MAINTENANCEDEVELOPERDUEDILIGENCEADVISER3INVESTORSSUBCONTRACTOR2SUBCONTRACTOR3BONDS&GUARANTEESSURETIES&GUARANTORS典型PPP构造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留意顾问1中间融资者保险人建立高级融资者(银行/债券)剩余不动产处置合理留意顾问2分包人1设计人设备供应运营与维护开发商合理留意顾问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构造–主建立合同设计采购施工/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〞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构造13WheredoesEPCfitin?ConstructionManagementOwnerassumesriskContractorretainsriskTraditionalDesign&BuildLSTK/EPCRISKSPECTRUMExceptasotherwisestatedintheContract:theContractorshallbedeemedtohaveobtainedallnecessaryinformationastorisks,contingenciesandothercircumstanceswhichmayinfluenceoraffecttheWorks;bysigningtheContract,theContractoracceptstotalresponsibilityforhavingforeseenalldifficultiesandcostsofsuccessfullycompletingtheWorks;andtheContractPriceshallnotbeadjustedtotakeaccountofanyunforeseendifficultiesorcosts.LSTK–LumpSumTurnkeyEPC–EngineeringProcurementandConstructionEPCStructure(cont’d)EPC合同适宜什么?建立管理业主承当风险承包人保管风险传统设计施工LSTK/EPC风险幅度除非在合同中另有商定外：承包人该当被视为已获知有关风险、不测事故及其他能够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当顺利完工的一切费用；且合同价款不得因思索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构造(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当高风险工程多由承包人控制，但非完全控制相应报价工程融资的更优方式/PPP买卖与股东支持的联络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规范合同(例如FIDIC银皮书和黄皮书)在根底设备、热电厂和下游石化行业中运用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管争议历史近几十年来运用率降低，但仍在运用，例如在公共民用建筑和技术工程中与工程融资方式不兼容18OWNERTCPROFESSIONALTEAMARCHITECTSTRUCTURALENGINEERM&EENGINEERQUANTITYSURVEYORCDMCO-ORDINATORCONSTRUCTIONMANAGERTC=TRADECONTRACTOR=TradeContract=Appointments=CMAKEYEPCM/CMTCTCTCTCTCTCTCTC业主TCTC专业队伍建筑师构造工程师机械电气工程师本钱估算师CDM协调师TCTCTCTCTCTCTC施工工程经理TC=专业承包商=专业合同=任命=注册管理睬计师KEYEPCM/CM19EPCM/CMKeyFeaturesEPCMcontractorisessentiallyaconsultantOwnerbearssubstantialriskInterfaceRecourse/leverageCanproducethelowestcostandfastestcompletionButisheavilydependentonspecialistskills,experienceandresourcesCanbedisastrousifthosearenotpresent–examplesWidelyusedinupstreamoilandgas,renewablesandsomerealestatemarketsEPCM/CM主要特点EPCM承包人实践上是顾问业主承当本质性风险接口追索/杠杆作用能到达最低支出与最快完工但很大程度上有赖于专业技术、阅历与资源假设不具备这些将能够损失繁重——案例广泛运用于上游油气、可再生资源以及一些不动产市场20VariantsTiming–two-stagecontractingMarketdrivenandmixedfeedbackConversionmechanismScope–isFEEDincluded?CanbeattractiveforcontractorsPricing–targetcost/GMPUsuallyaconsequenceratherthanachoiceExamples–eg2021Linktophilosophy变量时间–两步签约市场驱动与综合反响转换机制范围–能否包括FEED?对承包人有吸引力价钱–目的费用/优良制造规范GMP通常是结果而非选择例子–例如2021与体系相关21FormsofContractaprofusionofcolourandvariety!合同格式各种各样的颜色和类型!22FormsofContractStandardorspeciallydrafted?RelevanceofwiderstructureOriginofstandardformsExampleofFIDICOtherstandardforms,egNEC,AIA,ENAA,EICWhyamenda“proven〞form?Tocorrectperceivedanomaliesorbias(examples)合同格式规范合同抑或特别制定的合同?更广泛构造的相关性规范格式来源FIDIC实例其他规范格式，例如NEC,AIA,ENAA,EIC为何修订“现有〞格式?修正已发现的异常或偏向(例子)23FormsofContract(cont’d)Toreflectdealspecificsorsectorpractice(examples)Toincorporatematerialfromothercontracts(eginPPP)Toreflectrequirementsoffunding(whichmaybeownerorcontractorsourced)Forlegalreasons(examples)Whodrafts–ownerorcontractor?合同格式(续)反映买卖特性或部门实际〔例子〕吸纳其他合同素材(例如在PPP合同中)反映融资需求(能够来源于业主或承包人)基于法律缘由(例子)由谁起草–业主还是承包人?24KeyRisksandContractTermsLawandlanguageEnglishlanguageandstylecommonlyusedPrecedenceandintegrationofdocumentsDistinguishlanguageofcontractandofcommunicationsCommonlawpreferredbutlessstronglythesedaysImpactoflocallawinanyeventWidechoiceofmethodsandplacesfordisputeresolution主要风险与合同条款法律与言语通常运用英语言语与文体文件的优先顺序与整体性区分合同言语与交流言语优先思索普通法，但近来这一趋势减弱任何情况下本地法的影响争议处理方式与地点的广泛选择25KeyRisksandContractTerms(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的及合理技术与留意义务保险与风险保管问题符合法律及商定环境要求的特殊重要性其他工程文件的延续26KeyRisksandContractTerms(cont’d)IntellectualpropertyOwnershipbycontractorAssignedorlicensedtoowner?ScopeoflicenseIndemnitiesforinfringement–cappedornot?主要风险与合同条款(续)知识产权承包人的一切权转让或答应给业主?答应范围侵权赔偿——有无上限?27KeyRisksandContractTerms(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誉发放保函保管基金KeyRisksandContractTerms(cont’d)SubcontractingApprovalStep-inrightsSiteconditionsCanthreatenviabilityofproject/partiesMitigantsAnopen-mindedapproachGovernmentsupportSurveysandstagingFlexibilityindesign28主要风险与合同条款(续)分包赞同介入权现场情况能够要挟到工程/当事方的存续降低风险的方法思想开放的方式政府支持现场调查与筹备设计的弹性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方案情况延期赔偿延期违约赔偿金违约赔偿金执行力问题赶工艰苦事件预期违约延期违约赔偿金的计算与上限30KeyRisksandContractTerms(cont’d)Completion,commissioningandtestingSectordifferencesPerformanceLDsandmake-goodDefectsliabilityTypicalperiods“Evergreen〞clausesLatentandpatentdefectsRemediesunderthegenerallaw主要风险与合同条款(续)开工、试车与实验部门差别履行违约赔偿金或进展补救缺陷责任典型期限“终生〞条款潜在缺陷与显著缺陷按照普通原那么的救援31KeyRisksandContractTerms(cont’d)VariationsInstructedbytheownerResultingfromchangesinlaworstandardsExamplesofriskallocationPriceandpaymentLumpsumorother?CurrencyissuesInputcostfluctuationMilestonesormeasurement?Offsitematerials主要风险与合同条款(续)变卦按照业主指示因法律或规范的变化风险分担的例子价款与支付总价合同或其他?货币问题投入本钱的动摇艰苦事件或丈量?场外原料32KeyRisksandContractTerms(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要求未付款的救援贷款人工程师的角色33KeyRisksandContractTerms(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缘由救援基于承包人违约典型缘由救援(包括拒收?