国际工程合同风险分析ppt课件

品诚梅森与合森中国项目与工程律师联盟PinsentMasons&HesenAlliance,品诚梅森与合森国际工程合同十大风险2013版TOP10RisksforInternationalConstructionContract,2013EditionbyPinsentMasons&Hesen,英国品诚梅森-合森中国项目与工程律师联盟创始人清华大学国际工程项目管理研究院特聘教授，建设法律协会（中国）副主席他是中国境内第一位工程法律研究方向博士，拥有中国国家一级建造师、英国皇家特许建造师、英国皇家特许测量师、英国土木工程师学会关联会员等资格他是中国新版建设工程施工合同示范文本、2012版标准设计施工总承包招标文件、国际工程总承包项目管理规范起草专家组成员他在国际工程、EPC总承包、工程保险、工程索赔及争端处理等领域拥有丰富经验和突出业绩，居于实践前沿他入选2013Whoswholegal“年度建设工程律师”名录（中国执业律师仅四人入选）,周显峰博士Dr.ElvisZhou,演讲人,2,英国品诚梅森-合森中国项目与工程律师联盟核心成员他持有北京大学法律硕士学位，曾在中国某著名国际承包商从事海外特大EPC项目的现场合约管理工作，国际项目商务经验十分丰富。他先后为数十个国际工程项目提供了高质量的专业法律咨询服务，特别是在国际工程仲裁与争议解决方面，是中国目前少有的能够在该领域提供法律顾问支持的中国律师之一。他最近在一起由于非洲某EPC项目合同解除而引发的案情复杂的ICC国际商会仲裁案中，帮助中国某承包商大获全胜。,赵东峰ZhaoDongfeng,演讲人,3,PinsentMasons品诚梅森,品诚梅森拥有世界规模最大的国际项目与建设工程专业律师团队在国际工程领域执业超过50年，是客户和同行公认的全球领先的建设工程律师事务所，连续多年荣获Whoswholegal“年度最佳建设工程律师事务所”大奖在中国，品诚梅森是大多数中国领先承包商优先选择的长期战略合作伙伴合森律师事务所(HesenLawfirm)是品诚梅森在中国的独家长期合作伙伴，双方于2011年建立品诚梅森-合森中国项目与工程律师联盟在2013年Whoswholegal“年度建设工程律师”（中国）名录中，品诚梅森与合森联盟共7人入选（总人数为11人）,4,Beijing,Shanghai,HongKong,Singapore,Dubai,UK,我们位于亚洲、中东和欧洲的办公室OurofficesinAsia,MiddleEastandEurope,Munich,Doha,Paris,Falkland,品诚梅森-合森中国律师联盟,JohnBishop,HewKianHeong,周显峰博士,叶万和,6,ShouravLahiri,品诚梅森-合森中国律师联盟,公益活动,天大-品诚梅森工程法律奖学金,PinsentMasons-CHINCA年度建筑法律讲座ACEL,贸仲-北仲-清华-天大-CIOB-ICE-RICS联合建设管理讲座(JCM),清华建设管理奖学金工程法律学位课程,国际经济合作国际项目管理论坛,7,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。摘自西方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,8,Casestudy中东某国首都污水收集项目,9,开场白,今天的话题,一个关于“TOP10”的趣味游戏国际良好实践分享：品诚梅森与合森版“十大风险”讨论与分享：您心目中的“TOP10”总结与建议Q&A,10,声明,限于交流时间，本讲座可能需要进行选讲，敬请谅解本课件著作权归英国品诚梅森律师事务所与北京合森律师事务所享有本课件所涉及数据、资料、信息仅作为品诚梅森-合森律师联盟应本次交流活动要求而提供的内部参考资料，不作他用,11,Subject: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:Dr.ElvisZhouParticipants:JohnBishop,HewKianHeong,ShouravLahiri,YeWanheGameRules:Participantssendtheirownopinionsbyconfidentialemailandnooneknowstheanswerofothers.,12,AninterestinggameTOP10,Aninterestinggame,JohnBishop,HewKianHeong,Organizer,13,ShouravLahiri,Participants,叶万和,英国品诚梅森律师事务所亚太区高级合伙人兼北京代表处首席代表，英国品诚梅森-合森中国项目与工程律师联盟创始人他是“ClareEdwards”建筑法律终身成就奖得主，被业内誉为“专家中的专家”和“行业领先人物”，是国际工程法律界公认的“大师级”人物。他在长达40多年的辉煌执业生涯中，创造了一系列经典案例，其中包括在举世闻名的英法海底隧道项目中担任承包商联合体首席律师。他在如何帮助和引领中国承包商应对疑难复杂的国际工程索赔和国际仲裁方面，拥有独一无二的卓越经验，并取得了令人振奋的突出业绩。,庄本信JohnBishop,ParticipantA,14,英国品诚梅森律师事务所合伙人，品诚梅森-合森中国项目与工程律师联盟创始人他是中国对外工程承包领域最具经验和影响力的国际律师之一，精通国际工程法律风险预防、工程索赔、争议处理和国际仲裁。他在中国境内外大型项目和国际工程的重大和疑难法律顾问服务方面，拥有非常丰富的实战经验并取得一系列卓越成就。他同时持有新加坡、香港、英格兰和威尔士律师执业资格。他目前还是中国国际经济贸易仲裁委员会仲裁员。,丘健雄HewKianHeong,15,ParticipantB,ParticipantC,英国品诚梅森律师事务所合伙人Shourav擅长向境内外能源、基建和建筑行业的客户就项目的工程设计、采购和施工提供法律服务。他是专业的仲裁和诉讼律师，曾作为多个大型环保和城镇规划争议的法律顾问提供服务Shourav在新加坡开始执业生涯，在过去15年间曾在香港、伦敦和迪拜工作。他曾在亚太、海湾国家和欧洲地区担任法院、仲裁和调解程序的顾问。他在新加坡、香港和英格兰和威尔士获得了相关的出庭和/或事务律师资格Shourav还荣获斯坦福大学商学院的MBA学位,肖瑞夫ShouravLahiri,16,ParticipantD,英国品诚梅森-合森中国项目与工程律师联盟创始人，合森律师事务所主任他通过资深专业路径(SPR)获准成为英国皇家特许测量师(MRICS)，并持有中国国家一级建造师资格他是建设工程施工合同（示范文本）修订工作组成员，并连续三届入选中国建造师执业资格考试建设工程法规及相关知识编写委员会他在国际工程保函、工程保险、工程索赔以及建设工程争议解决领域拥有丰富经验和突出业绩，居于实践前沿他入选2012/2013年度Whoswholegal年度“建设工程律师”名录（中国执业律师仅四人入选）,叶万和YeWanhe,17,请大家在15分钟的时间内，列出您心目中的“TOP10”也可以写下您关注的希望得到解答的问题数量非硬性要求，多多益善每一项描述的越细致越好仁者见仁智者见智，没有标准答案,18,YourTOP10从个人智慧到集体智慧,“TOP10”ByPinsentMasons&Hesen,19,1.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,20,JohnBishopsTOP10,1.Paymentrisk/支付风险2.Designresponsibility/设计责任3.AbuseofEmployer/Engineersrighttoapprovedesign/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.Employersverybroadpowertoordervariations/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/争议解决程序无效率,21,HewKianHeongsTOP10,1.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,22,ShouravLahirisTOP10,1.税(Tax)2.汇率(ExchangeRate)3.价格波动(PriceEscalation)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),23,WanhesTOP10,24,Bycomparisonall4one,25,Bycomparison,26,Bycomparison,Pleasenotethattherearenostandardanswersatall.仁者见仁，智者见智,适用法律与标准ApplicableLawandStandards,27,LocalLaw/LawClause/ChangeofLawWhatlawistoapply?Lookatthelocallawsapplicabletothecontractandtenderingprocessestochecktheenforceabilityofthecontractgenerallyandofparticulartermssuchasthelanguageandlawclausesetc.DoestheEmployertaketheriskofachangeoflaw?,28,JohnBishop/庄本信,IncompatibilityofChinesestandardsandlocalorinternationalstandards,29,HewKianHeong/丘健雄,makeexpressmentionofagoverninglaw(anylaw,butmentionit)makecleariflocalstandards,British/AmericanstandardsorChinesestandardstobeusedforassessingperformanceofwork.Forprocessplants,theremightbeamixofstandards(civilworkstolocalstandards,processtoChinesestandards).Inthatcase,considerclearseparationand,incaseofconflict,apriorityprovision.,30,ShouravLahiri/肖瑞夫,争议解决DisputeResolution,31,ReviewtheDisputesProcesstoseewhetheritoffersaspeedyinterimdisputesprocess(e.g.DAB),andanoperablefinaldisputesprocessi.e.arbitrationresultinginanenforceable,32,JohnBishop/庄本信,IneffectivenessofdisputeresolutioninpracticetoallowContractortoproperlyenforcehisrights:norighttoarbitratebeforeprojectcompletionlocalarbitrationorcourtdelayindisputeresolutionprocessdifficultyinenforcement,33,HewKianHeong/丘健雄,ifchoosingarbitration,identifytheproperarbitralinstitutionatleastasthatwillatleasttakecareofanyomissionsinnecessaryinformation.Chooseaseat,languageandnumberofarbitratorsifyoucan.,34,ShouravLahiri/肖瑞夫,履约担保PerformanceSecurity,35,WhataretheContractorsbondingobligations?Aretheyondemand?Istherenoticebeforeacall?Isthereaprovisiondealingwithrepaymentfollowingawrongfulcall?,36,JohnBishop/庄本信,AbusebyEmployerofperformancesecurity.,37,HewKianHeong/丘健雄,forChinesecontractors,ifpossible,shouldtryandgettheOwnertoacceptabondfromaChinesebankpreferablyonthepaperofabranchoftheBankinChina,notthelocalbranchoftheChinesebank.Mayallowforeasierinjunctiverelief.,38,ShouravLahiri/肖瑞夫,支付与币种Payment&Currency,39,CashriskIspaymentsecured?Howlongistheperiodbetweenthetimewhencostisincurredandtermination/suspensionfornonpaymentispossible?Isthereretentionmoneyandcanitbeexchangedforabond?Howgreatisthecashconsequenceofanimproperbondcall,40,JohnBishop/庄本信,therightoftheContractortobepaidontimepaymentmechanismpaymentmethodlinkagewithcashflowandprogressofworktheprotectionaffordedtotheContractorifhedoesnotgetpaidontimerighttoaskforevidenceoffinancingpaymentsecurityrighttosuspendorterminaterighttogotodisputeresolution.,41,HewKianHeong/丘健雄,MultiplecurrenciesIfcontractpriceisstipulatedinonecurrencybutisbeingpaidintwoormorecurrencies,butthecontractorscostsarenotinthesamecurrenciesorinthesamecurrenciesbutnotinthesameproportionsasthepaymentsplit,thenneedeitheraprovisionthatallowsforadjustmentuponchangesinexchangeratesbetweenthecurrenciesorthecontractorneedstoconsiderhedging.,42,ShouravLahiri/肖瑞夫,Suspensionsomecountrieslawsmayallowthecontractorastatutoryrighttosuspendperformanceoftheworkfornon-paymentofinterimcertificates,eventhoughthereisnocontractualprovisionallowingit.Justensurethereisnocontractualprovisionexpresslyremovingthecontractorsrighttososuspendifthecontractissilentonthispoint,itsbetter.,43,ShouravLahiri/肖瑞夫,前提条件ConditionsPrecedent,44,ConditionsPrecedenttoentitlementWhatmusttheContractordotoobtainentitlements?Whatistheconsequenceoffailingtomeettheconditionsprecedent?,45,JohnBishop/庄本信,OnerousprocedurestoclaimEOTandadditionalpaymentnoticerequirementslevelofproof,46,HewKianHeong/丘健雄,Notificationofdelayevents/claimscheckiftheyarestatedtobe(a)conditionprecedentsbarringentitlementor(b)requirements,thefailuretocomplywithwhichmayprejudiceextentofrecovery.Tryandavoid(a)typeofclausesifpossible.Butinadministeringthecontract,putinplacepropernotificationproceduresanywayassomecountrieslawswillupholdConditionsPrecedentclausesstrictly.,47,ShouravLahiri/肖瑞夫,工期延长与费用索赔ExtensionofTime(EOT)andCostClaims,48,EOTprovisionsWhenistheContractorentitledtoanEOT?IfadvisinganEmployer,isthereatimeatlargerisk?,49,JohnBishop/庄本信,LimitedrightofContractortoclaimadjustmentofContractPricei.e.materialcostescalationchangeoflawunforeseengroundconditionscurrencyfluctuationrisketc.,50,HewKianHeong/丘健雄,违约金与责任限额LDsandLimitationofLiability,51,LiquidatedDamages(LDs,forDelayandPerformance)Whatisthelevel?Aretheycappedandifsoatwhatlevel?Isitanexclusiveremedy?Aretheycapableofattackunderthelocallaw?,52,JohnBishop/庄本信,CapsonandexclusionsfromliabilityandgroundsforbreachingcapIsthereacap?Whatliabilitiesareexcluded(e.g.consequentiallosses)?Arethecapandexclusionsenforceableunderthelocallaw?Whencanthecapsbebreached?,53,JohnBishop/庄本信(Contd),WhetherthecontracthaslimitsofliabilityonLDs(delayand/orperformance)andoveralllimitonliability.,54,HewKianHeong/丘健雄,设计责任DesignResponsibility,55,Unrecogniseddesignrisk/EmployerDataIftheContractorhasadesignrisk,isitwhatheexpected?Doeshehaveahiddendesignrisk(heselectionofplantandmaterials)?Ishetakingadesignriskbecausesubcontractorshaveone?Ifsohowisitsecured?Ifheneedsdesignapproval,whatistheprocessandisitcapableofbeingabused?(e.g.mustallcommentsbegivenatthefirstopportunity?)Isthereaco-ordination/interfacerisk?IstheEmployeracceptinganyrisk(hesiteorotherconditionsandintheinformationheprovidestothecontractor),56,JohnBishop/庄本信,DesignresponsibilitywhatmustContractordesignfreedomofchoiceliabilityfordesignfailure.AbuseofEmployer/Engineersrighttoapprovedesign.,57,HewKianHeong/丘健雄,解除Termination,58,GroundsforterminationWhatarethegroundsfortermination?Aretheyreasonable?Isthereacureperiod?,59,JohnBishop/庄本信,Terminationforconveniencesomecountrieslawsdonotallowforacontractualrighttoterminateforconvenience.Iftheownerseekstoexercisethisprovision,thecontractormaybeabletoresistit(tostrengthenhisbargainingpositionindiscussionsofpostterminationdamagespayment).,60,ShouravLahiri/肖瑞夫,变更Variation,61,EmployersverybroadpowertoordervariationsandtorequireCtoperformfirst,claimlater.,62,HewKianHeong/丘健雄,不可抗力ForceMajure,63,Definitionofforcemajeureincontractswhichhaveanoffshoreelementinadditiontoanonshoreelementshouldensurethatwar,insurrectionetcintheoffshorecountryalsoqualifyasforcemajeureevents.,64,Shou