国际工程法律风险

1、 国际工程合同十大法律风险TOP 10 Legal Risks for 赵东峰安泰赛斯国际项目管理咨询（北京）有限公司Antecessor International PM Consulting(BeiJing)Co.,LTD.演讲人演讲人n安泰赛斯国际项目管理咨询公司特聘专家n毕业于北京大学法学院，曾任职于中国某著名大型国际承包商，作为合同和法律事务管理人员参与了该公司多个大型国际EPC工程项目，并具有常驻境外参与项目具体实施的经验。n现为英国品诚梅森-合森中国项目与工程律师联盟核心成员。他为境内、境外几十家国际工程承包商的数十个国际工程项目提供了争议或非争议法律服务，尤其在国际工程仲裁与争

2、议解决方面，为中国多家承包商在海外项目发生的包括ICC仲裁、UNCITRAL仲裁以及当地诉讼在内的争议提供过法律服务，是我国能够在国际工程仲裁和争议解决领域提供法律服务的领先中国本土律师之一。n参与撰写了中国对外承包工程商会主持编写的国际工程总承包项目管理规范中“争议解决”篇；应国际工程与劳务杂志邀请，发表多篇有关国际工程管理、合约和法律方面的居于实践前沿的文章。n为多家国内大学、协会组织、工程公司讲授国际工程法律、合约和管理方面的课程。n受维也纳大学邀请，为其国际工程法法学硕士研究生讲授国际工程法课程，他是唯一一位受到该邀请的中国律师。2赵东峰赵东峰Zhao DongfengZhao Don

3、gfeng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。摘自英国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3今天的今天的话题话题n一个关于“TOP 10”的趣味游戏n仁者见仁智者见智：国际工程合同十大法律风险n讨论与分享：您心中的“TOP 10”n总结与建议nQ&A4An interesting game TOP 10An interesting game TOP 10nSubject: Wh

4、at are the TOP 10 legal risks you think when reviewing an international construction contract (not taking account of the particularity of a certain project)? 列举出您认为的国际工程合同审查时的十大法律风险nOrganizer: Zhao DongfengnParticipants: John Bishop, Hew Kian Heong, Shourav LahirinGame Rules: Participants send their

5、 own opinions by confidential email and no one knows the answer of others.5Your TOP 10Your TOP 10？ (2012.10.27)(2012.10.27)n请大家在10-15分钟左右的时间内，列出您各自心目中的“TOP 10”n不限于合同和法律风险6John Bishops TOP 10John Bishops TOP 10n1. Applicable law/适用法律n2. Dispute process/争议解决n3. EOT provisions/工期延长条款n4. LDs (Delay and

6、Performance)/延误和性能违约金n5. Caps on and exclusions from liability/责任限额和除外情形n6. Cash risk/资金风险n7. Unrecognised design risk/Employer Data/未识别设计风险和业主资料n8. Conditions Precedent to entitlement/前提条件n9. Performance Security/履约担保n10. Grounds for termination/合同解除理由7Hew Kian Hew Kian HeongsHeongs TOP 10 TOP 10n1

7、. Payment risk/支付风险n2. Design responsibility/设计责任n3. Abuse of Employer/Engineers right to approve design/业主或工程师滥用设计审批权n4. Limited right of Contractor to claim adjustment of Contract Price 承包商要求调整合同价格权利的限制n5. Abuse by Employer of performance security/业主恶意索赔保函n6. Onerous procedures to claim EOT and ad

8、ditional payment/索赔工期和费用程序繁琐n7. Employers very broad power to order variations/业主指令变更权利过大n8. Limits of liability on LDs/违约金责任限额n9. Incompatibility of Chinese standards and local/international standard/中国标准与当地或国际标准不兼容n10. Ineffectiveness of dispute resolution in practice/争议解决程序无效8Shourav Shourav Lahi

9、risLahiris TOP 10 TOP 10n1. Multiple currencies/多种支付货币n2. Definition of force majeure/不可抗力定义n3. Performance Bonds/履约保函n4. Applicable standards and codes/适用标准n5. Parties to the contract/合同当事人n6. Notification of delay events/claims/索赔通知n7. Insurance/保险n8. Termination/解除n9. Suspension/暂停n10. Governing

10、law and dispute resolution process/准据法与争议解决过程9My TOP 10My TOP 10n1. 税(Tax)n2. 汇率(Exchange Rate)n3. 法律变换和价格波动(Change of legislation and Price Escalation)n4.许可(Permits)n5.技术标准(Technical Standards)n6.设计责任(Design Responsibility)n7.损害赔偿金与责任限制(LDs & Limitation of Liability)n8.合同解除(Termination of Contract)

11、n9.适用法律(Applicable Law)n10.索赔与争议解决(Claim and Dispute Resolution)1011By comparison all 4 oneBy comparison all 4 oneItemJohn Hew Shourav DongfengApplicable law and standards Dispute resolution Performance security Payment and currency Conditions Precedent 12By comparisonBy comparisonItemJohn Hew Shour

12、av Dongfeng EOT and Cost Claims LDs and Limitation of Liability Design Responsibility Termination 13By comparisonBy comparisonItemJohn Hew Shourav DongfengVariation Force Majure Parties to the contractInsurance Suspension TaxPermitsPlease note that there are no standard answers at Please note that t

13、here are no standard answers at allall. . 仁者仁者见见仁，智者仁，智者见见智智 适用法律与标准Applicable Law and Standards 14nLocal Law/Law Clause/Change of LawuWhat law is to apply?uLook at the local laws applicable to the contract and tendering processes to check the enforceability of the contract generally and of particul

14、ar terms such as the language and law clauses etc.uDoes the Employer take the risk of a change of law?15John Bishop/庄本信nIncompatibility of Chinese standards and local or international standards16Hew Kian Heong/丘健雄nmake express mention of a governing law (any law, but mention it)nmake clear if local

15、standards, British/American standards or Chinese standards to be used for assessing performance of work.nFor process plants, there might be a mix of standards (civil works to local standards, process to Chinese standards).uIn that case, consider clear separation and, in case of conflict, a priority

16、provision.17Shourav Lahiri/肖瑞夫 争议解决Dispute Resolution18nReview the Disputes Process to see whether it offers ua speedy interim disputes process (e.g. DAB), anduan operable final disputes process i.e. arbitration resulting in an enforceable19John Bishop/庄本信nIneffectiveness of dispute resolution in pr

17、actice to allow Contractor to properly enforce his rights:uno right to arbitrate before project completionulocal arbitration or courtudelay in dispute resolution processudifficulty in enforcement20Hew Kian Heong/丘健雄nif choosing arbitration, uidentify the proper arbitral institution at least as that

18、will at least take care of any omissions in necessary information. uChoose a seat, language and number of arbitrators if you can.21Shourav Lahiri/肖瑞夫 履约担保Performance Security22nWhat are the Contractors bonding obligations? nAre they on demand? nIs there notice before a call? nIs there a provision de

19、aling with repayment following a wrongful call?23John Bishop/庄本信nAbuse by Employer of performance security.24Hew Kian Heong/丘健雄nfor Chinese contractors, if possible, should try and get the Owner to accept a bond from a Chinese bank upreferably a branch of the Bank in China, not the local branch of t

20、he Chinese bank. May allow for easier injunctive relief.25Shourav Lahiri/肖瑞夫 支付与币种Payment & Currency26nCash riskuIs payment secured? uHow long is the period between the time when cost is incurred and termination/suspension for non payment is possible? uIs there retention money and can it be exchange

21、d for a bond? uHow great is the cash consequence of an improper bond call27John Bishop/庄本信nthe right of the Contractor to be paid on timeupayment mechanismupayment methodulinkage with cash flow and progress of worknthe protection afforded to the Contractor if he does not get paid on time uright to a

22、sk for evidence of financingupayment securityuright to suspend or terminateuright to go to dispute resolution.28Hew Kian Heong/丘健雄nMultiple currenciesuIf contract price is stipulated in one currency but is being paid in two or more currencies, but the contractors costs are not in the same currencies

23、 or in the same currencies but not in the same proportions as the payment split, then need either a provision that allows for adjustment upon changes in exchange rates between the currencies or the contractor needs to consider hedging.29Shourav Lahiri/肖瑞夫nSuspensionusome countries laws may allow the

24、 contractor a statutory right to suspend performance of the work for non-payment of interim certificates, even though there is no contractual provision allowing it. uJust ensure there is no contractual provision expressly removing the contractors right to so suspend if the contract is silent on this

25、 point, its better.30Shourav Lahiri/肖瑞夫 前提条件Conditions Precedent31nConditions Precedent to entitlementuWhat must the Contractor do to obtain entitlements? uWhat is the consequence of failing to meet the conditions precedent?32John Bishop/庄本信nOnerous procedures to claim EOT and additional payment uno

26、tice requirementsulevel of proof33Hew Kian Heong/丘健雄nNotification of delay events/claimsucheck if they are stated to be (a) condition precedents barring entitlement or (b) requirements, the failure to comply with which may prejudice extent of recovery. uTry and avoid (a) type of clauses if possible.

27、 uBut in administering the contract, put in place proper notification procedures anyway as some countries laws will uphold Conditions Precedent clauses strictly.34Shourav Lahiri/肖瑞夫 工期延长与费用索赔Extension of Time (EOT) and Cost Claims35nEOT provisionsuWhen is the Contractor entitled to an EOT? uIf advis

28、ing an Employer, is there a time at large risk?36John Bishop/庄本信nLimited right of Contractor to claim adjustment of Contract Price i.e. umaterial cost escalationuchange of lawuunforeseen ground conditionsucurrency fluctuation risk etc.37Hew Kian Heong/丘健雄 违约金与责任限额LDs and Limitation of Liability38nLi

29、quidated Damages (LDs, for Delay and Performance) uWhat is the level? uAre they capped and if so at what level? uIs it an exclusive remedy? uAre they capable of attack under the local law?39John Bishop/庄本信nCaps on and exclusions from liability and grounds for breaching capuIs there a cap? uWhat liab

30、ilities are excluded (e.g. consequential losses)? uAre the cap and exclusions enforceable under the local law? uWhen can the caps be breached?40John Bishop/庄本信(Contd)nWhether the contract has ulimits of liability on LDs (delay and/or performance) and uoverall limit on liability.41Hew Kian Heong/丘健雄

31、设计责任Design Responsibility42nUnrecognised design risk/Employer DatauIf the Contractor has a design risk, is it what he expected? uDoes he have a hidden design risk (e.g. in the selection of plant and materials)? uIs he taking a design risk because subcontractors have one? If so how is it secured? uIf

32、 he needs design approval, what is the process and is it capable of being abused? (e.g. must all comments be given at the first opportunity?) uIs there a co-ordination/interface risk?uIs the Employer accepting any risk (e.g. in the site or other conditions and in the information he provides to the c

33、ontractor)43John Bishop/庄本信nDesign responsibilityuwhat must Contractor designufreedom of choiceuliability for design failure.nAbuse of Employer/Engineers right to approve design.44Hew Kian Heong/丘健雄 解除Termination45nGrounds for terminationuWhat are the grounds for termination? uAre they reasonable? u

34、Is there a cure period?46John Bishop/庄本信nTermination for convenienceusome countries laws do not allow for a contractual right to terminate for convenience. If the owner seeks to exercise this provision, the contractor may be able to resist it (to strengthen his bargaining position in discussions of

35、post termination damages payment).47Shourav Lahiri/肖瑞夫 变更Variation48nEmployers very broad power to order variations and to require C to perform first, claim later.49Hew Kian Heong/丘健雄 不可抗力Force Majure50nDefinition of force majeure in contracts which have an offshore element in addition to an onshore elementushould ensure that war, insurrection etc in the offshore country also qualify as force majeure events.51Shourav Lahiri/肖瑞夫 合同当事人Parties to the Contract52nmake sure that the entity signing the contract has uthe appropriate authority to