合同条件与国际工程合同.ppt

,FIDIC合同条件 与国际工程合同管理,培训课程时间安排表,CONTENTS,一、国际工程合同管理相关背景知识 二、FIDIC及其系列合同条件简介 三、新版FIDIC系列合同条件简介 四、施工招标与投标程序及案例分析 五、基于FIDIC施工合同条件的招标文件分析 六、新版FIDIC施工合同条件分析 七、国际工程项目索赔管理及案例分析 八、国际工程项目合同管理案例分析,Contract Management in IPM,国际工程合同与合同管理 合同的本质： 规定合同双方的权利、义务，以及保证实现此类权利和义务的可靠且可操作的程序。 合同管理的本质： 以合同为保障机制，保证自己一方达到最佳利益，服务于整个项目管理目标。,Contract Management in IPM,国际工程合同与合同管理 合同管理的基础：合同知识和管理技能 合同管理的前提：内部组织管理井然有序 合同管理的行为：合同的签订、执行、补救,Contract Management in IPM,国际工程合同与合同管理 合同管理三个层次： 不读不懂，做事一厢情愿； 既读且懂，教条僵化使用； 掌握精髓，运用之于无形。,国际工程合同与合同管理 合同管理最高境界： “据而不用，就是合同的最大用处。”,Contract Management in IPM,Contract Management in IPM,国际工程合同与合同管理,项 目 管 理,合 同 管 理,工 程 合 同,美国项目管理学会（PMI） A Guide to the Project Management Body of Knowledge (PMBOK 2000),美国项目管理学会（PMI） PMI成立于1969年，1976年起开始讨论能否将项目管理中一些共性编制成标准，把项目管理当作一个独特的专业来看待。1987年发布了PMBOK第一版，1996年发布了第二版， 现使用的为2000年版。,工程项目管理是项目管理的重要领域。,PMBOK 2000 Project Management Areas： Project Integration Management Project Scope Management Project Time Management Project Cost Management Project Quality Management Project Human Resource Management Project Communications Management Project Risk Management Project Procurement Management,PMBOK 2000 项目管理知识领域： 1、项目集成化管理 2、项目范围管理 3、项目时间管理 4、项目成本管理 5、项目质量管理 6、项目人力资源管理 7、项目沟通管理 8、项目风险管理 9、项目采购管理 采购管理、合同管理与项目管理的关系是什么?,美国项目管理学会（PMI） 项目管理知识领域中的项目采购管理 Project Procurement Management includes the processes required to acquire goods and/or services from outside the performing organization. (项目采购管理是包含为达到项目范围而从 执行组织外部获取货物和/或服务所需的过程。),Project Procurement: Procurement of Works Procurement of Goods Procurement of Consulting Services,IT Procurement,一般意义上的采购管理与PMBOK中定义的采购管理的区别？,货物采购和工程项目采购有何异同？,项目采购管理与项目合同管理的定义: PROJECT PROCUREMENT MANAGEMENT PROJECT CONTRACT MANAGEMENT,( PROJECT CONTRACT ADMINISTRATION ),广义的合同管理与狭义的合同管理 ？,工程项目采购管理模式 1. 传统的（通用的）管理模式 （Traditional (general) Management Approach） 2. 建筑工程管理模式 (Construction Management Approach, CM) 3. 设计建造模式（Design-Build, DB） 4. 设计采购施工交钥匙模式 （ EPC/Turnkey） 5. 设计管理模式 （Design-Management, DM） 6. 项目管理模式 （Project Management, PM） 7. 更替型合同模式 （ Novation Contract, Nc） 8. BOT模式 （Build-Operate-Transfer, BOT）,FIDIC各类合同条件都适用于那种项目采购模式 ？,工程项目合同支付类型： 单价合同（Unit Price） 总价合同（Lump Sum） 单价合同与总价合同的比较： 各自适用条件 关于工程量清单（BOQ） 业主向承包商支付的不同,各类FIDIC合同条件属于那种合同支付类型 ？,CONTENTS,一、国际工程合同管理相关背景知识 二、FIDIC及其系列合同条件简介 三、新版FIDIC系列合同条件简介 四、施工招标与投标程序及案例分析 五、基于FIDIC施工合同条件的招标文件分析 六、新版FIDIC施工合同条件分析 七、国际工程项目索赔管理及案例分析 八、国际工程项目合同管理案例分析,Federation Internationale Des Ingenieurs Conseils International Federation of Consulting Engineers 国际咨询工程师联合会,F I D I C,FIDIC1913年由欧洲三个国家独立的咨询工程师协会创立，1948年英国加入，1953年美国、加拿大、澳大利亚等国加入。现总部设在瑞士的日内瓦。 目前正式的成员国会员有65个。 中国工程咨询协会1996年代表中国参加了FIDIC，成为FIDIC的正式成员国。,FIDIC的宗旨： 倡导先进的工程管理理念，从而指导国际承包业的良性发展，为其成员国的会员公司提供服务。 FIDIC的主要工作： 研究国际工程中存在的问题，提出解决问题的策略 召开工程管理国际专题研讨会 编制和推行国际工程中的各类合同范本,FIDIC的各种文献和出版物，包括各种合同、协议标准范本、各项工作指南、以及工作惯例建议等，得到了世界各有关组织的广泛承认和实施，是工程咨询行业的重要指导性文献。,FIDIC 标准系列合同文件范本 Standard Forms of Contracts 为什么学习FIDIC合同范本 ? 学习国际工程合同管理的理想基础教程 了解国际惯例，丰富合同谈判知识 从合同角度，提高国际工程项目管理水平,标准系列合同文件范本 Standard Forms of Contracts FIDIC的权威性主要体现在其高质量的工程合同范本上，世界银行、亚洲开发银行、非洲开发银行等国际金融机构的贷款项目指定使用FIDIC的合同范本，并被国际工程界广泛采纳。,FIDIC出版的合同范本主要有哪些 ？,FIDIC Standard Forms of Contract 1、Conditions of Contract for Works of Civil Engineering Construction (1957, 1965, 1977, 1987, 1992(DAB) 2、Conditions of Subcontract for Works of Civil Engineering Construction (1994) 3、Conditions of Contract for Electrical and Mechanical Works (1963, 1980, 1987) 4、 Conditions of Contract for Design-Build and Turnkey (1995) 5、 Conditions of the Client/Consultant Model Services Agreement (1979, 1990, 1998),FIDIC系列标准合同条件 1、土木工程施工合同条件 (1957, 1965, 1977, 1987, 1992(DAB) 2、土木工程施工分包合同条件 (1994) 3、机电设备安装合同条件 (1963, 1980, 1987) 4、设计建造与交钥匙合同条件 (1995) 5、业主与咨询工程师合同协议书 (1979, 1990, 1998),FIDIC系列标准合同条件 土木工程施工合同条件(FIDIC红皮书)的演变： 产生的背景 57年第一版 65年第二版 77年第三版 87年第四版 88年，92年修订（DAB）,FIDIC系列标准合同条件 电气与机械合同条件（黄皮书） 机电工程（包括设备采购和安装） 由监理工程师管理工程的实施 公开招标的项目 应用法律环境开放（有“不可抗力”术语） 其他视情况而定,据调查分析，Design-Build模式发展很快。下表是美国设计建造学会最近的统计和预测数据，表中百分数为各类模式所占市场的份额。由之可以看出，设计建造模式将逐步超过传统发包模式的市场份额。,表中数据采自：HBE(2001), Design-Build continence to group in popularity; blue print.,FIDIC合同条件的发展: 90年代初，国际承包市场的发展 迫切需要包括设计在内的总承包合同条件范本。FIDIC于1995年出版了设计-建造与交钥匙合同条件，亚洲开发银行总承包招标范本即采用了FIDIC设计-建造与交钥匙合同条件。,设计建造与交钥匙合同条件与99新版 FIDIC合同条件的关系 ？,FIDIC系列标准合同条件 业主与咨询工程师标准服务协议书（白皮书）适用的范围： 咨询服务，即：业主（委托人）雇用监理工程师为其进行工程咨询或监理时签定的合同协议书。,咨询服务合同与工程项目合同有什么不同？,咨询服务合同评标更注重方案的评价, 为什么？,FIDIC合同条件的发展： 国际承包市场商业项目的增多，使得原来的FIDIC合同条件有必要加以更新。于是FIDIC在调查了全球几百家业主单位、承包商、咨询公司的基础上，于1999年正式出版了四个新合同版本。,CONTENTS,一、国际工程合同管理相关背景知识 二、FIDIC及其系列合同条件简介 三、新版FIDIC系列合同条件简介 四、施工招标与投标程序及案例分析 五、基于FIDIC施工合同条件的招标文件分析 六、新版FIDIC施工合同条件分析 七、国际工程项目索赔管理及案例分析 八、国际工程项目合同管理案例分析,FIDIC 1999 Editions New Standard Forms of Contract 1、Conditions of Contract for Construction 2、Conditions of Contract for Plant and Design-Build 3、Conditions of Contract for EPC/Turnkey Projects 4、Short Form of Contract,FIDIC 1999年新版合同条件 1、施工合同条件 2、工程设备与设计建造合同条件 3、EPC交钥匙合同条件 4、简明合同条件,前三本合同条件的结构基本统一,新版FIDIC为什么没有咨询服务合同条件？,新版FIDIC合同条件的 编制原则： 术语一致，结构统一 适用法律广，措辞精确 变革而不是改良 淡化工程师的独立地位 实践需要简明合同文本,FIDIC 1999 Editions New Standard Forms of Contract 新版FIDIC各合同条件的适用条件与比较,施工合同条件的适用条件: 各类大型或复杂工程 主要工作为施工 业主负责大部分设计工作 由工程师来监理施工和签发支付证书 按工程量表中的单价来支付完成的工程量 (即单价合同) 风险分担均衡,工程设备和设计建造合同条件的适用条件: 机电设备项目、其他基础设施项目以及其他类型的项目 业主只负责编制项目纲要（即：“业主的要求”）和工程 设备性能要求，承包商负责大部分设计工作和全部施工安装工作 工程师来监督设备的制造、安装和施工，签发支付证书 在包干价格下实施里程碑支付方式，在个别情况下，也可能采用单价支付 风险分担均衡,EPC交钥匙合同条件的适用条件: 私人投资项目，如BOT项目（地下工程太多的工程除外） 固定总价不变的交钥匙合同，并按里程碑方式支付 业主代表直接管理项目实施过程，采用较宽松的管理方式，但严格竣工检验和竣工后检验，以保证完工项目的质量 项目风险大部分由承包商承担，但业主愿意为此多付出一定的费用,EPC合同条件与DB合同条件的主要区别是什么？,简明合同格式的适用条件: 施工合同金额较小（如低于50万美元）、施工工期较短（如少于6个月） 既可以是土木工程，也可以是机电工程 设计工作既可以是业主负责，也可以是承包商负责 合同可以是单价合同，也可以是总价合同，在编制具体合同时，可以在协议书中给出具体规定,为什么FIDIC专门出版简明合同格式？,简明合同格式是否可以用于分包合同？,FIDIC新红皮书、新黄皮书和银皮书的主要结构差别是什么？,FIDIC新版合同条件的支付类型比较：,CONTENTS,一、国际工程合同管理相关背景知识 二、FIDIC及其系列合同条件简介 三、新版FIDIC系列合同条件简介 四、施工招标与投标程序及案例分析 五、基于FIDIC施工合同条件的招标文件分析 六、新版FIDIC施工合同条件分析 七、国际工程项目索赔管理及案例分析 八、国际工程项目合同管理案例分析,国际通用的招标方式是什么？ 合同文件的形成过程，合同文件都包括什么？ 什么是资格预审，资格预审的目的是什么？ 招标文件、投标文件与合同文件的区别和关系是什么？ 合同条件在合同文件中的地位 和作用是什么？ 招标程序中的关键环节有哪些？ 投标者在投标时应注意哪些问题？ 单价合同文件与总价合同文件的组成有什么异同？,FIDIC Tendering Procedure,FIDIC Tendering Procedure,CONTENTS,一、国际工程合同管理相关背景知识 二、FIDIC及其系列合同条件简介 三、新版FIDIC系列合同条件简介 四、施工招标与投标程序及案例分析 五、基于FIDIC施工合同条件的招标文件分析 六、新版FIDIC施工合同条件分析 七、国际工程项目索赔管理及案例分析 八、国际工程项目合同管理案例分析,下面的案例是以基于 FIDIC施工合同条件的世界银行工程招标文件为背景展开分析的。这种类型的项目主要由业主负责项目的设计，承包商负责按设计方案施工，此类合同一般是单价合同。,World Bank: Procurement of Works,STANDARD BIDDING DOCUMENTS Procurement of Works The World Bank Washington, D.C. May 2000,Procurement of Works,PROCUREMENT OF WORKS Volume I Section 1. Invitation for Bids Section 2. Instructions to Bidders Section 3. Bidding Data Section 4. Part I General Conditions of Contract Section 5. Part II Special Conditions of Contract Volume II Section 6. Technical Specifications Volume III Section 7. Form of Bid, Appendix to Bid, and Form of Bid Security Section 8. Bill of Quantities Section 9. Form of Agreement, Forms of Performance Security, and Bank Guarantee for Advance Payment Volume IV Section 10. Drawings,Procurement of Works,工程项目采购招标文件结构 第一卷 第1节 招标邀请书 第2节 投标者须知 第3节 招标资料表 第4节 第一部分：通用合同条件 第5节 第二部分：专用合同条件 第二卷 第6节 技术规范 第三卷 第7节 投标书格式、投标书附录与投标保证格式 第8节 工程量清单 第9节 合同协议书格式、履约保证格式 与动员预付款银行保函格式 第四卷 第10节 图纸,招标文件各部分之间的关系是什么？ 施工类型招标文件、投标文件、合同文件之间的关系？,Procurement of Works,Form of Invitation for Bids letterhead paper of the Employer To: name of Contractor date address Reference: Insert IBRD Loan No. or IDA Credit No. Contract Name, and Identification No. _ / _ Dear Sirs: We hereby inform you that you are prequalified for bidding for the above cited contract. A list of prequalified and conditionally prequalified Applicants is attached to this invitation. On the basis of information submitted in your application, you would not (insert if appropriate) appear eligible for application of the domestic bidder price preference in bid evaluation. Eligibility is subject to confirmation at bid evaluation. We now invite you and other prequalified Applicants to submit sealed bids for the execution and completion of the cited contract. You may obtain further information from, and inspect and acquire the bidding documents at, our offices at mailing address, street address, and cable/telex/facsimile numbers. A complete set of bidding documents may be purchased by you at the above office, on or after time and date and upon payment of a nonrefundable fee of insert amount and currency. All bids must be accompanied by a security in the form and amount specified in the bidding documents, and must be delivered to address and exact location at or before time and date. Bids will be opened immediately thereafter in the presence of bidders representatives who choose to attend. Please confirm receipt of this letter immediately in writing by cable, fax, or telex. If you do not intend to bid, we would appreciate being so notified also in writing at your earliest opportunity. Yours truly, Authorized signature Name and title Employer,Procurement of Works,INSTRUCTIONS TO BIDDERS GENERAL BIDDING DOCUMENTS PREPARATION OF BIDS SUBMISSION OF BIDS BID OPENING AND EVALUATION AWARD OF CONTRACT,Procurement of Works,GENERAL 1. Scope of Bid 2. Source of Funds 3. Eligible Bidders 4. Eligible Materials, Plant, Supplies, Equipment, and Services 5. Qualification of the Bidder 6. One Bid per Bidder Cost of Bidding Site Visit,Procurement of Works,B. BIDDING DOCUMENTS 9. Content of Bidding Documents 10. Clarification of Bidding Documents 11. Amendment of Bidding Documents,Procurement of Works,C. PREPARATION OF BIDS 12. Language of Bid 13. Documents Comprising the Bid Bid Prices Currencies of Bid and Payment 16. Bid Validity 17. Bid Security 18. Alternative Proposals by Bidders Pre-Bid Meeting Format and Signing of Bid,Procurement of Works,D. SUBMISSION OF BIDS Sealing and Marking of Bids Deadline for Submission of Bids 23. Late Bids 24. Modification and Withdrawal of Bids,Procurement of Works,E. BID OPENING AND EVALUATION 25. Bid Opening 26. Process to Be Confidential Clarification of Bids and Contacting the Employer Examination of Bids and Determination of Responsiveness 29. Correction of Errors 30. Conversion to Single Currency for Comparison of Bids 31. Evaluation and Comparison of Bids 32. Preference for Domestic Bidders,Procurement of Works,F. AWARD OF CONTRACT 33. Award Employers Right to Accept Any Bid and to Reject Any or All Bids 35. Notification of Award 36. Signing of Agreement 37. Performance Security 38. Disputes Review Method 39. Corrupt or Fraudulent Practices,Procurement of Works,Bidding Data 的作用是什么？ Bidding Data 与 Instructions to Bidders是什么关系?,Procurement of Works,General Conditions of Contract Special Conditions of Contract Appendix to Tender 这三个文件之间的关系是什么?,Procurement of Works,通用合同条件是针对某一类项目所设计的，是对应类型项目的公共合同平台；专用合同条件是根据项目的具体特点和业主的不同要求，对通用合同条件的补充、修改和具体化；投标书附录与通用合同条件是对应的，其中列出了合同条件中关键的、根据项目特点可变的数据和信息。 将合同条件分为通用和专用两个部分可提高合同文件的标准化程度，有利与项目相关各方对合同的理解，也便于合同管理人员的使用，减少管理人员的合同学习时间。 并不是所有项目的合同条件都分为通用和专用两部分。当业主同时管理多个类似项目时，或总承包商同时管理多个分包商时，应考虑将合同条件分为通用和专用两部分。,Procurement of Works,Form of Bid/Letter of Bid Name of Contract:* To:* insert name of Employer Gentlemen: 1. In accordance with the Conditions of Contract, Specification, Drawings, and Bill of Quantities and Addenda Nos. insert Addenda Nos. for the execution of the above-named Works we, the undersigned, offer to construct and install such Works and remedy any defects therein in conformity with the Conditions of Contract, Specifications, Drawings, Bill of Quantities, and Addenda for the sum of insert amounts in numbers and words as specified in the Appendix to Bid or such other sums as may be ascertained in accordance with the conditions. 2. We acknowledge that the Appendix forms part of our Bid. 3. We undertake, if our Bid is accepted, to commence the Works as soon as is reasonably possible after the receipt of the Engineers notice to commence, and to complete the whole of the Works comprised in the Contract within the time stated in the Appendix to Bid. 4. We agree to abide by this Bid until the date specified in ITB Clause 16 insert date, and it shall remain binding upon us and may be accepted at any time before that date. 5. Unless and until a formal Agreement is prepared and executed this Bid, together with your written acceptance thereof, shall constitute a binding Contract between us. 6. We understand that you are not bound to accept the lowest or any bid you may receive. 7. We certify/confirm that we comply with the eligibility requirements as per ITB Clause 3 of the bidding documents. Dated this day of 20 Signature in the capacity of duly authorized to sign bids for and on behalf of in block capitals or typed Address: Witness: Address: Occupation,Procurement of Works,Form of Bid Security (Bank Guarantee) WHEREAS, name of Bidder (hereinafter called “the Bidder”) has submitted his Bid dated date for the execution of name of Contract (hereinafter called “the Bid”). KNOW ALL PEOPLE by these presents that We name of Bank of name of country having our registered office at address (hereinafter called “the Bank”) are bound unto name of Employer (hereinafter called “the Employer”) in the sum of amount for which payment well and truly to be made to the said Employer the Bank binds himself, his successors, and assigns by these presents. SEALED with the Common Seal of the said Bank this day of 20 . THE CONDITIONS of this obligation are: (1) if the Bidder withdraws his Bid during the period of Bid validity specified in the Form of Bid; or (2) if the Bidder refuses to accept the correction of errors in his Bid; or (3) if the Bidder, having been notified of the acceptance of his Bid by the Employer during the period of Bid validity; (a) fails or refuses to execute the Form of Agreement in accordance with the Instructions to Bidders, if required; or (b) fails or refuses to furnish the Performance Security, in accordance with the Instruction to Bidders; we undertake to pay to the Employer up to the above amount upon receipt of his first written demand, without the Employer having to substantiate his demand, provided that in his demand the Employer will note that the amount claimed by him is due to him owing to the occurrence of one or both of the two conditions, specifying the occurred condition or conditions. This Guarantee will remain in force up to and including the date 28 days after the date of expiration of the Bid Validity, as stated in the Instructions to Bidders, or as it may be extended by the Employer, notice of which extension(s) to the Bank is hereby waived. Any demand in respect of this Guarantee should reach the Bank not later than the above date. DATE SIGNATURE OF THE BANK WITNESS SEAL signature, name, and address,Procurement of Works,什么是工程量清单 (Bill of Quantities)，其作用是什么？ 总价合同中有无工程量清单？ 工程量清单的编制原则是什么？ 工程量清单与项目 WBS的关系？ 工程量清单对于单价合同非常重要，为什么？ 单价合同的投标报价是如何计算出来的？ 什么是不平衡报价 ，投标者如何利用？ 什么是暂定金额，其作用是什么？ 什么是计日工 ，计日工主要是针对什么项目的支付？ 业主的标底、投标者的投标价格、评标价格、合同价格、 合同完成后业主向承包商实际支付的价格之间是什么关系？,Procurement of Works,BILL OF QUANTITIES Objectives The objectives of the Bill of Quantities are (a) to provide sufficient information on the quantities of Works to be performed to enable bids to be prepared efficiently and accurately; and (b) when a contract has been entered into, to provide a priced Bill of Quantities for use in the periodic valuation of Works executed. In order to attain these objectives, Works should be itemized in the Bill of Quantities in sufficient detail to distinguish between the different classes of Works, or between Works of the same nature carried out in different locations or in other circumstances which may give rise to different considerations of cost. Consistent with these requirements, the layout and content of the Bill of Quantities should be as simple and brief as possible.,Procurement of Works,BILL OF QUANTITIES Content The Bill of Quantities should be divided generally into the following sections: (a) Preamble; (b) Work Items (grouped into parts); (c) Daywork Schedule; and (d) Summary.,Procurement of Works,BILL OF QUANTITIES Bill No.1: General Items,Procurement of Works,BILL OF QUANTITIES Bill No.2: Earthworks,Procurement of Works,BILL OF QUANTITIES Grand Summary,Procurement of Works,Form of Agreement AGREEMENT THIS AGREEMENT made the day of 20 between of (hereinafter called “the Employer”) of the one part and of (hereinafter called “the Contractor”) of the other part. WHEREAS the Employer is desirous that certain Works should be executed by the Contractor, viz., , and has accepted a Bid by the Contractor for the execution and completion of such Works and the remedying of any defects therein. NOW THIS AGREEMENT WITNESSETH as follows: 1. In this Agreement, words and expressions shall have the same meanings as are respectively assigned to them in the Conditions of Contract hereinafter referred to. The following documents shall be deemed to form and be read and construed as part of this Agreement, and the priority of the documents shall be as follows: (a) the Letter of Acceptance; (b) the said Bid and Appendix to Bid; (c) the Conditions of Contract (Part II); (d) the Conditions of Contract (Part I); (e) the Specifications; (f) the Drawings; (g )the Priced Bill of Quantities; and (h) other documents, as listed in the Appendix to Bid,Procurement of Works,Form of Agreement 3. In consideration of the payments to be made by the Employer to the Contractor as hereinafter mentioned, the Contractor hereby covenants with the Employer to execute and complete the Works and remedy any defects therein in conformity in all respects with the provisions of the Contract. 4. The Employer hereby covenants to pay the Contractor in consideration of the execution and completion of the Works and the remedying of defects therein the Contract Price or such other sum as may become payable under the provisions of the Contract at the times and in the manner prescribed by the Contract. IN WIT