国际工程变更、索赔与反索赔及案例分析

1、中信建设公司中信建设公司 田威田威所有谈判达成一致的东西最终都会归结到法律层面上，也就是要签订合同（put it Black and White）。合同靠什么支撑？法律基础的重要性 商业是建立在两条铁轨上向前跑之说。签个MOU对双方有法律制约力吗？律师的问题及建议：你想让它成了以后不能改变，还是想着签约后仍有跑掉的机会？当然，这个机会对双方均等！商业决策，法律保障。普通法 Common Law vs Law of England and Wales 崇尚合同的自由约定原则（I will do X if you will do Y ），通常不会为保障公平或已签合约中不利一方的利益而干预合同，因此

2、很难以显失公允为理由去修改或删除已经签订的文字约定，因为英国法律不保护不公平交易下的合同不利一方。其商法极为发达。 衡平法则 （Rules of Equity） 典型案例 Mortgage 抵押贷款（借60 抵押100房产罚息按6% x 2年=12% 最终退还100 60 60 x12% = 32.8）大陆法 Continental Law vs Napoleonic Code法典 倾向于干涉不公平合同，并会为保护不公平合约中欠获公允对待一方的利益而对原合同进行修改，甚至认定所签订的不公平合同为无效合同（可能会出现Surprise Award）。“承包商工作/干活/履约得到支付，业主付款获得工

3、程”。99版FIDIC第14款/77版和87版第60款的重要性（within的含义），见下页分析。案例（30%当地币经常拖延，怎么办？）The Contractor gets paid for the work he performs and the Employer gets the work he is paying for. 价责对筹14.3 The Contractor shall submit a Statement in six copies to the Engineer after the end of each month （也有规定最小验工计价金额的情形）14.6 No a

4、mount will be certified or paid until the Employer has received and approved the Performance Security. Thereafter, the Engineer shall within 28 days after receiving a Statement and supporting documents, issue to the Employer an Interim Payment Certificate which shall state the amount which the Engin

5、eer fairly determines to be due, with supporting particulars.14.7 The Employer shall pay to the Contractor (b) The amount certified in each Interim Payment Certificate within 56 days after the Employer receives this Payment Certificate. 分析：HK 45 days vs 87版也是56天 vs 77版30+30天;如果SCC改成within a reasonab

6、le time？哪个好？承包商与咨询工程师并无直接的合同关系，但普通法认定双方存在着一种“特殊关系”，因为承包商履约的前提是必须相信咨询工程师所提供的信息并按其指令行事，所以得到了侵权行为法（The Law of Tort）的保护。咨询工程师签认的验工计价单在法律上有效否？案例。99版FIDIC第19款里正式使用了Force Majeure的说法。在77/87版中，当发生Force Majeure（但条款里的表述用词是force of nature, Clause 20.4, any operation of the forces of nature against which an expe

7、rienced contractor could not reasonably have been expected to take precautions ） 后，与一般的贸易合同处理原则不同，不是各自分担，而是划到了业主违约的范畴里面（Clause 20, Clause 65, Clause 69）。 1）从理论上分析（数学推算）：（10 Days MBA） “低价”的本质就是削减利润，那么 原来是25%的毛利，假设现在降到了15%，则要多做多少才能持平原来的25%？ （25%-15%）/15% = 10%/15% = 0.667 如果降到12.5%，则要多做多少才能持平原来的25%？ （

8、25%-12.5%）/12.5% = 12.5%/12.5% = 1， 即再多做一个 如果降到5%，则要多做多少才能持平原来的25%？ （25%-5%）/5 = 20%/5% = 4 如果降到1%，则要多做多少才能持平原来的25%？ （25%-1%）/1% = 24%/1% = 24 ! ? 第一个问题：值吗？无法消灭对手的有生力量 vs 自残（倾向） 第二个问题：深层次上，对于多做的0.667、1、4、24个，如何看待时间跨度的延长、风险出现的或然率等多因素影响（vs Slogan Management）？ 结论：价格竞争是下下策，只能是最后的选择！价格战多数没好结果。结论：价格竞争是下下策

9、，只能是最后的选择！价格战多数没好结果。 2）从实践上探讨：后面将分析两个案例 要特别注意可操作性。1) 变更令（V.O）（第51款和第52款/99版第13款）; 2) 调价公式（第70款/99版第13.8款；银皮书第13.8款，但EPC项目业主通常以是总价合同为理由而删掉）； 3) 索赔（77版第52.5款/87版第53款/99版第20.1款；银皮书第20.1款，但比红皮书来得难很多）vs 反索赔。 Major Claim 10%20%（分水岭），案例（煤矿透水），您自己怎么决策？Clause 52（Variations） The Engineer shall make any variat

10、ion of the form, quality or quantity of the Works or any part thereof that may, in his opinion, be necessary and for that purpose, or if for any other reason it shall, in his opinion（vs at the Engineers Discretion）, be appropriate, he shall have the authority to instruct the Contractor to do and The

11、 Contractor shall not make any such variation without an instruction of the Engineer. 变更令 工作量增减 10% vs 15% ，对合同有效金额而言（扣除PS项及点工），调整单价； 索赔在77版FIDIC中是作为V.O.的子项在描述。 案例，SNV修小桥调价公式的通式：其中 X = 0.15左右（世界银行的项目取此值），该值通常与预付款的比例相等，现实含义就是业主已给出的预付款部分不适用调价公式，i.e. 若预付款是15%，则只有85%可以进行调价。对于承包商：X 越小越好（参与调价的百分比越大）a,b,c,

12、n 为加权系数，即各项调价的成本因子（比重），常数约束条件为 X + a + b + c + n = 1公式中的价格调整因子，L, E, M,W，变量 vs 初始值在验工计价单中，预付款是先扣除后再进行调价，还是先调价后再扣除？（涉及到调价金额的30%左右）案例（第60.1款规定优先次序：H核算调价，J扣除保留金，K扣还预付款计25%；第60.11款预付款扣还比例为之25% .）参见FIDIC合同条件应用实务（第二版）pp.134143（价格调整）ononononnWWnMMcEEbLLaXP.Naubise-Maleku Highway Reconstruction Project 项目背景

13、 世界银行贷款项目，981万美元，强制使用国际通用的FIDIC合同Quiz（成本、工期、索赔）结局 咨询工程师准仲裁 国际仲裁 索赔清单（Terms of Reference/List of Reference） 补偿金额：443万美元（构成：173万美元 + 2,100万人民币 + 11万美元/尼卢比） 占到合同额981万的45.16% If, however, during the execution of the Works the Contractor encounters physical obstructions or physical conditions, other than

14、 climatic conditions on the Site, which obstructions or conditions were, in his opinion, not foreseeable by an experienced contractor, the Contractor shall forthwith give notice thereof to the Engineer, with a copy to the Employer. CondOn receipt of such notice, the Engineer shall, if in his opinion

15、 such obstructions or conditions could not have been reasonably foreseen by an experienced contractor, after due consultation with the Employer and the Contractor, determine: any extension of time under Clause 44, andthe amount of any cost which may have been incurred by the Contractor, which shall

16、be added to . （这句话导致投标时的一次性降价对承包商永远适用；问题：包括索赔金额吗？案例，443万 544万x（1-18.5%）and shall notify the Contractor accordingly, with a copy to the Employer. Unless （77版表述为Insofar as） it is , the Contractor shall execute and complete the Works and remedy any defects therein in strict accordance with the Contract

17、, to the satisfaction of the Engineer. （略） 要反回来理解该条款的两大前置限定（Conditions Precedent）： （1）Legal impossibility （2）Physical impossibility 然后，才能去谈承包商按照合同履约。20.3 (Loss or Damage Due to Employers Risks)In the event of any such loss or damage happening from any of the risks defined in Sub-Clause 20.4, or in c

18、ombination with other risks, the Contractor shall, if and to the extent require by the Engineer, rectify the loss or damage and the Engineer shall determine an addition to the Contract price in accordance with Clause 52 and shall notify the Contractor accordingly, with a copy to the Employer. （略）20.

19、4 (Employers Risks)The Employers risks are: war, commotion or , unless solely restricted to employees of the Contractor or of his Subcontractors any operation of the forces of nature against which an experienced contractor could not reasonably have been expected to take precautions（77版表述为foreseen）.

20、If the progress of the works or any part thereof is suspended on the written instructions of the Engineer and if permission to resume work is not given by the Engineer within a 84 days from the date of suspension then, . the Contractor may give notice to the Engineer requiring permission, within 28

21、days to proceed with the Works or that part thereof in regard to which progress is suspended. Cond 注：77版FIDIC为90+28天 If within the said time, such permission is not granted, the Contractor may, but is not bound to, elect to treat the suspension, where it affects part only of the Works, as an of such

22、 part under Clause 51 (Alternations, Additions and Omissions) by giving a further notice to the Engineer to that effect, or where it affects the whole of the Works, treat the suspension as an event of （77版表述为 of the Contract） by the Employer and terminate his employment under the Contract in accorda

23、nce with Clause 69 (Default of Employer) Omissions 后余下的工作量都用英国点工计价。有经验的承包商项目经理高频率使用的重要文件（之一） vs 英国咨询工程师的思维方式。应用到到VO中的中的技巧，案例。 99版第13.5款（PS ，备用金）和第13.6款（Daywork）/77版和87版第52.4款（Daywork）和第58款（PS）的实用性。EOT vs overhead compensation用于报价分析，作为参考数据之一。87版FIDIC为第53款（Procedure for Claims）99版FIDIC为20款（Claim，Dispu

24、tes and Arbitration）直接费（工费、料费、机械折旧或机械闲置费）间接费赶工费延期管理费（参考英国点工计费标准）资金回收（Recapitalization）利息整理索赔而发生的费用（Shang Wan拿回了）The Contractor shall be under no liability whatsoever in consequence of any of the special risks referred to in Sub-Clause 65.2,whether by way of indemnity or otherwise 65.2 Special Risks

25、are (a) the risks defined under paragraphs (a),(c),(d) and (e) of Sub-Clause 20.4 and (b) the risks defined under paragraph (b) of Sub-Clause 20.4 insofar as these relate to the country in which the Works are to be executed.结论： 特殊风险（第20款） 业主风险（第65款） Save to the extent that the Contractor is entitled

26、 to payment under any other provision of the Contract, the Employer shall repay to the Contractor any costs of the execution of the Works (other than such as may be attributable to the cost of reconstructing work condemned under the provision of Clause 39(Default of Contractor in Compliance) prior t

27、o the occurrence of any special risks) which are howsoever attributable to or in consequent on or the result of or in any way whatsoever connected with the special risks, . Cond the Contractor shall, as soon as any such cost comes to his knowledge, forthwith notify the Engineer thereof. The Engineer

28、 shall, and the Contractor, determine the amount of the Contractors costs in respect thereof which shall be added to the Contract Price and shall notify the Contractor accordingly, with a copy to the Employer. If any circumstance outside the control of both parties arises after the issue of the Lett

29、er of Acceptance which renders it impossible（指physical） or unlawful（指legal） for either party to fulfill his contractual obligations, or under the law governing the Contract the parties are released（frustrated，77版FIDIC） from further performance, then the sum payable by the Employer to the Contractor

30、in respect of the work executed shall be the same as that which would have been payable under Clause 65(and Clause 69，77版FIDIC) if the Contract had been terminated under the provisions of Clause 65.90 + 28天内（within） 仲裁（77版）84 + 56天当天或之后（on or after）（友好解决）仲裁（87版）DRB（92版） vs DAB（99版）； Mediation/Reconc

31、iliation（ADR）；Abrahamson 信的主要内容：双方都蒙受损失，出面协调，互为妥协，愿当律师！和解问题：友好解决争端与仲裁的前后置？案例（Pakistan 供货商与分包商的争端解决）逆编者释义原则（Contra Proferentum Rule）。99版第20款/77版和87版第67款（仲裁与重大索赔的关系），银皮书第20款（“索赔、争端和仲裁”，与99版红皮书思路相同）。仲裁规则，ICC、UNCITRAL和AAA、CIETAC等。仲裁地点 vs Applicable Law仲裁员 vs 律师。律师的收费与你的选择（转变观念！价格与价值） 小时收费 + Success Fee

32、+ Retainer Scheme。仲裁可能出现的多种结局。案例( Austin Road,1亿 vs 9,500万 vs 80万，JV 股份50%:50%的问题）。不得再诉讼的仲裁条款（附后供参考，案例）。 Clause 20（Claims, Disputes and Arbitration） （基于国际通用的 FIDIC合同） 20.6 (d) Arbitration All disputes arising out of or in connection with the Contract and its attachments as defined in the Clause 2 of

33、 the Special Conditions of Contract shall be finally settled under the rules of arbitration of International Chamber of Commerce by three arbitrators appointed in accordance with the said rules. The location of arbitration shall be in Bern, Switzerland. For the avoidance of doubt it is confirmed tha

34、t the decision of the arbitrators shall be final and binding and neither Party shall have any right to appeal from any decision of the arbitrators to any Court in order to review any decision of the arbitrators. (e) Fast Track Arbitration The Parties agree to cooperate to procure a speedy conclusion

35、 of the Arbitration adopting “Fast Track” principles and agree that the Six (6) month deadline in Article 24(1) for the issuance by the Tribunal of its Award （完成全部举证并获签认后） shall be reduced to Four (4) months and they wish that it should only be extended in exceptional circumstances. To this end the

36、Parties agree that the period in Article 5(1) （Answer to the Request/Counterclaims, 原文为30天内）of the ICC Rules shall be reduced to within Fifteen (15) days , that the period in Article 18(2) （Term of Reference/ Procedural Timetable, 原文为两个月内） for establishing terms of reference shall be reduced to with

37、in One (1) month. In the event of the Employer: (a) failing to pay the Contractor the amount due under any certificate of the Engineer after the expiring of the time stated in Sub-Clause 60.10 within which payment is to be made (b) interfering or obstructing or (c) become bankrupt (d) giving notice

38、to the Contractor it is impossible for him to meet his contractual obligations. The Contractor shall be entitled to terminate his employment under the Contract the Employer shall be under the same obligations to the Contractor in regard to payment as if the Contract had been terminated under the pro

39、visions of Clause 65 the Employer shall pay to the Contractor the amount of any loss or damage to the Contractor arising out of or in connection with or by consequence of such termination.典型条款 Clause 53 (Procedure for Claims) ，87版FIDIC为例 53.1 Notwithstanding any other provision of the Contract, if t

40、he Contractor intends to claim any additional payment pursuant to any Clause of these Conditions or otherwise, he shall give notice of his intention to the Engineer, with a copy to the Employer, within 28 days after the event giving rise to the claim has first arisen.索赔很重要！如何书面记录索赔，又不激怒对方？Claim dema

41、nd ones due Baggage Claim Luggage Reclaimwording have suffered loss, financial compensation Ex Gratia Payment索赔过程十分注重evidence, substantiation, verification。因此，a lot of paper work。Clause 53.3（ of Claims） Within 28 days, or such other reasonable time as may be agreed by the Engineer, the Contractor sh

42、all send to the Engineer an account giving detailed particulars of the amount claimed and the grounds upon which the claim is based The Contractor shall, if required by the Engineer so to do, copy to the Employer all accounts sent to the Engineer pursuant to this Sub-Clause.IBA Rules on the Taking o

43、f Evidence in International Arbitration (29 May 2010)法律问题（Issue of Law）靠律师事实问题（Issue of Fact）靠自己证据（Evidence）可找出事实（Fact），但证据和事实与真相（Truth）没有关系。在提供不了任何证据的情况下，有责任举证的一方会败诉。一种现象：仲裁庭总是相信证据文件多的一方 留好证据文件是。证据的提供在国际仲裁中十分重要，务求要比对手握有更多或稍多的有力证据，如果做不到，就必须抓住一纵即逝的和解机会。形成、保留与搜集证据可能是一个耗时及昂贵的过程（例如聘用翻译 vs 有双语工作能力的专业人员），

44、要证明事实与条款相符（Fait Accompli），螺丝螺母咬合原则。奥地利经济学家Friedrich A. von Hayek（诺贝尔经济学奖得主）说：“从好人假设出发，只会设计出坏制度；从坏人假设出发，才会设计出好制度”。因此，需要假设人人都坏的好制度。英国人也有类似的说法。成败源于细节 vs wax seal ，案例，Hans Rijiniveld。 勿以恶小而为之，勿以善小而不为。石油大亨David Rockfeller的故事（借款 US$ 500 无收据 vs US$ 1,000 vs 一个月(你期望对方的还款时间) vs 更正反驳）口头指令转变为书面指令，FIDIC合同77版和87

45、版最长都是7天+7天=14天（最短？天），对承包商自我保护的现实意义。 99年版第3.3款用instruction ： 更缩短为2天+2天=4天（最短？天）。银皮书第1.3款和第3.4款，但取消了定量规定，对承包商欠公平！法律上对一天的定义。拒绝签收 vs 证据获取 vs 条款保障。项目背景 私人项目Shang Wan，合同额 6,200万港币，ICE合同的香港版（pro-Employer） 房地产调控 “800套政策” + 亚洲金融危机2,256万港币索赔（36.4%） + (382万港币律师+91万仲裁庭）法律费用（ 7.6%） plus 1,561万应付验工计价款（）/采取财产保全措施。

46、我写过一封信，希望1,600万港币（其中1,561万为应付验工计价款）友好解决，只比合同总价多了0.6%。对冲前的数，结果是（-784+3,040） 2,256 +1,561 +382+91 共实际拿回 4,290万港币（69%）仲裁裁决： The time for completion of the Works was set at large.仲裁结果出来后再起事端：诉讼 公关 TIME AT LARGE vs The fugitive is at large 逍遥法外逍遥法外I FIND as a FACT that a reasonable time for completion of

47、 the Works is 24th June 1998（原合同工期：1996年5月23日1997年5月22日,顺延了13个月） the Contractor is entitled to rely on the effects of non-payment and late payment of Interim Payment.As noted above, the evidence of Peter Yau demonstrate that the finishing trades were affected by the cash flow problems and in particu

48、lar there was a considerable slow down in progress of work I HOLD as a matter of LAW that on a proper construction of the Contract, Clause 24.2（Loss and Expenses Caused by Disturbance of Regular Progress of the Works） enables the Claimant to make a claim for damages or for a breach of Contract.The C

49、laimant contends that the extension of time clause should be construed strictly against the Respondent.I HOLD as a matter of LAW that the Architect is under an obligation to grant an extension of time to the Claimant if it knows of delaying events, notwithstanding the Claimants failure to give a not

50、ice forthwith as required by Clause 23（Extension of Time） of Standard Form of Building Contract.I FIND as a FACT that the Architect was or should have been aware of the delaying effects on the eleven matters identified by the Claimant above.I also FIND as a FACT that the Respondent delayed the Claim

51、ant in its completion of the Works due to the non-payment and the late payment of Interim Payment. The reason for this finding is dealt with in more detail Section in the consideration of the time at large issue.The Respondent has urged me to consider what information was available to the Architect

52、in exercising my discretion in relation to the awarding of interest. I need to consider the period for which interest should be payable.The claimant has incurred costs throughout the period （注意比较与的说法不同）on site but only fairly recently that sufficient information has been made available for those cos

53、ts to be ascertained. Taking all these matters into consideration I believe that it would be reasonable to award interest from the date of Practical Completion up to the date of publication of this award. This is a period of 610 days.The Respondent has said that the Claimant has failed to discharge

54、its burden of proof in respect of this head of claim. The Respondent has also said that it is necessary the Claimant to demonstrate that there were other works available and it was prevented from Tendering and obtaining this work due to prolongation in respect of these work.Mr. Franki Lui gave evide

55、nce that Head Office Overheads were incurred during the prolongation period that the Claimant was on site. However the evidence of the annual turnover did not arise from a proper independent audit. I FIND as a FACT that there is no reliable evidence to support the Claimants contention that it has in

56、curred Head Office Overheads during this period of prolongation on site although as a matter of common sense, it must have incurred some losses. me to speculate what those losses might be. Upon it becoming reasonably apparent that the progress of the Works is delayed, the Main Contractor shall forth

57、with give written notice of the cause of the delay to the Architect, and if in the opinion of the Architect the completion of the Works is likely to be or has been delayed beyond the Date for Completion stated in the Appendix to these Conditions or beyond any extended time previously fixed under eit

58、her this clause or clause 33(1)(c)（战争赔偿） of these Conditions, (a) by force majeure, or (b) by reason of inclement weather or the subsequent effects of such inclement weather; for the purpose of this sub-clause “inclement weather” is defined as rainfall in excess of twenty millimeters in a twenty fou

59、r hour period (midnight to midnight) as recorded at the Hong Kong Observatory or the hoisting of Typhoon Signal N.8 or higher, or (c) by reason of loss or damage occasioned by any one or more of the Contingencies referred to in clause 20AorBof these Conditions, or (d) by reason of civil commotion，lo

60、cal combination of workmen，strike or lockout affecting any of the trades employed upon the Works or any of the trades engaged in the preparation，manufacture Or transportation of any of the goods or materials required for the Works，or (e) by reason of Architects instructions issued under clauses 1(2)