设计采购施工合同.ppt

EPCContracts,TimSteadman,ContractManagementinInternationalConstruction,Beijing,April28,2009,设计采购施工合同,TimSteadman,国际工程合同管理,2009年4月28日北京,2,GeneralOverview,IntroductiontoCCConstructionGroupPurposeofpresentationOutlineofpresentationContextRolesPhilosophyStructureFormKeyrisksandcontractterms,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,3,Context-Economic,EffectofcyclesParticipantsProcurementmethodsandstructuresPriceRiskallocationFundingsourcesandmethods,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,4,ContextBusinessCulture,Mostcountriesembracemarketeconomics(intheory)InpracticethereareexceptionshelpfulandotherwiseSorelationshipsaretosomeextentadversarial/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）,5,ContextLegal/Regulatory,LegalsystemispartofbusinesscultureTheruleoflaw/contractisimportant,especiallyinprojectfinanceddealsCivilandcommonlawsystemsdifferinformandsubstanceImpactofprocurementrulesOnownersbehaviourOnbiddingtactics,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,6,Roles,Primecontractor(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),7,Philosophy,AsacontractorOpenbiddingorsolesource?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?,8,Philosophy(contd),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,9,StructuretheProject,PrivatelyprocuredOnbalancesheetOffbalancesheetPubliclyprocuredMaystillbeaccountingconsiderations,eginPPPCombinationsPPPprojectsConcessionsOthersegPPAs,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PPA,10,TypicalPPPStructure,PUBLICENTITY,CONCESSIONCONTRACT,SPV,SPONSOREQUITY,THIRDPARTYEQUITYINVESTORS,DUEDILIGENCEADVISER1,MEZZANINEFUNDERS,INSURERS,CONSTRUCTION,SENIORFUNDERS(BANK/BOND),SURPLUSREALESTATEDISPOSAL,DUEDILIGENCEADVISER2,SUBCONTRACTOR1,DESIGNERS,EQUIPMENTSUPPLY,OPERATIONbysigningtheContract,theContractoracceptstotalresponsibilityforhavingforeseenalldifficultiesandcostsofsuccessfullycompletingtheWorks;andtheContractPriceshallnotbeadjustedtotakeaccountofanyunforeseendifficultiesorcosts.,LSTKLumpSumTurnkeyEPCEngineeringProcurementandConstruction,EPCStructure(contd),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),14,EPCKeyFeatures,SinglepointresponsibilitySubjecttocapsandcarve-outsHighdegreeofriskforcontractorAlsohigh(butnotabsolute)degreeofcontractorcontrolPricedaccordinglyThepreferredstructureforprojectfinance/PPPtransactionsLinkagetoshareholdersupport,EPC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,15,EPCKeyFeatures(contd),SensitivetomarketconditionsrecenthistoryWidechoiceofstandardcontracts(egFIDICSilverandYellow)Commonlyusedininfrastructure,thermalpoweranddownstreampetchem,EPC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,16,KEY,“Traditional”,OWNER,CONTRACTOR,SUB-CONTRACTORS,ARCHITECT/ENGINEER,OwnerDesign,Key,“传统”,业主,承包人,分包人,建筑师/工程师,业主设计,17,OwnerDesignKeyFeatures,MorecontrolforownerDesignandotherrisksalsoretainedbyownerHistoryofdisputesUsehasdeclinedinrecentdecadesbutstillusedin,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,18,OWNER,TC,PROFESSIONALTEAMARCHITECTSTRUCTURALENGINEERM&EENGINEERQUANTITYSURVEYORCDMCO-ORDINATOR,CONSTRUCTIONMANAGER,TC=TRADECONTRACTOR,EPCM/CM,TC,TC,TC,TC,TC,TC,TC,TC,业主,TC,TC,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,TC,TC,TC,TC,TC,TC,TC,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,KEY,EPCM/CM,19,EPCM/CMKeyFeatures,EPCMcontractorisessentiallyaconsultantOwnerbearssubstantialriskInterfaceRecourse/leverageCanproducethelowestcostandfastestcompletionButisheavilydependentonspecialistskills,experienceandresourcesCanbedisastrousifthosearenotpresentexamplesWidelyusedinupstreamoilandgas,renewablesandsomerealestatemarkets,EPCM/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,20,Variants,Timingtwo-stagecontractingMarketdrivenandmixedfeedbackConversionmechanismScopeisFEEDincluded?CanbeattractiveforcontractorsPricingtargetcost/GMPUsuallyaconsequenceratherthanachoiceExampleseg2012Linktophilosophy,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,21,FormsofContract,aprofusionofcolourandvariety!,合同格式,各种各样的色彩和类型!,22,FormsofContract,Standardorspeciallydrafted?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),23,FormsofContract(contd),Toreflectdealspecificsorsectorpractice(examples)Toincorporatematerialfromothercontracts(eginPPP)Toreflectrequirementsoffunding(whichmaybeownerorcontractorsourced)Forlegalreasons(examples)Whodraftsownerorcontractor?,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?,24,KeyRisksandContractTerms,LawandlanguageEnglishlanguageandstylecommonlyusedPrecedenceandintegrationofdocumentsDistinguishlanguageofcontractandofcommunicationsCommonlawpreferredbutlessstronglythesedaysImpactoflocallawinanyeventWidechoiceofmethodsandplacesfordisputeresolution,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,25,KeyRisksandContractTerms(contd),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,26,KeyRisksandContractTerms(contd),IntellectualpropertyOwnershipbycontractorAssignedorlicensedtoowner?ScopeoflicenseIndemnitiesforinfringementcappedornot?,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?,27,KeyRisksandContractTerms(contd),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,KeyRisksandContractTerms(contd),SubcontractingApprovalStep-inrightsSiteconditionsCanthreatenviabilityofproject/partiesMitigantsAnopen-mindedapproachGovernmentsupportSurveysandstagingFlexibilityindesign,28,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,29,KeyRisksandContractTerms(contd),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,30,KeyRisksandContractTerms(contd),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,31,KeyRisksandContractTerms(contd),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,32,KeyRisksandContractTerms(contd),AdvancepaymentsCashflowneutralityPaymentsecurityforcontractorSet-offandcorrectionECArequirementsRemediesfornon-paymentRoleoflendersengineer,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,33,KeyRisksandContractTerms(contd),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?),34,KeyRisksandContractTerms(contd),RiskIndemnitiesTreatmentofhazardouss