国际建筑市场与工程管理国际工程合同管理采购模式

1、国际建筑市场与工程管理 国际建筑市场与项目管理q 国际工程管理研究动态q 国际建筑市场及结构分析q 国际建筑市场准入和一流承包商发展战略q 国际工程担保和保险q 国际工程招标投标q 国际工程采购模式与合同类型q 国际工程合同原理及注意要点q 国际工程投标报价与决策q 海外工程实践与案例分析讲授：李启明博士、教授讲授：李启明博士、教授 邓小鹏邓小鹏 博士、副教授博士、副教授工程采购模式与合同类型工程采购模式及其特点1 平行承包模式（传统模式）业业 主主咨询工程师咨询工程师设计院设计院承包商承包商分包商分包商1 1分包商分包商2 2注：直线表示合同关系，虚线表示工作关系（下同）注：直线表示合同关系

2、，虚线表示工作关系（下同）DesignProcurementConstructionAcceptanceDPCA 模式Quantity SurveyorEngineers( Structure / Services )contractorsNominated Subcontractors Nominated SuppliesDomestic SubcontractorsDomestic SuppliesClientArchitectClient SectorConsulting SectorProduction SectorLine of SeparationManagement Relati

3、onshipContractual Relationship Typical Separation of Design & Production Functions2 D+B模式（设计施工总承包模式）业业 主主业主代表业主代表设计施工总承包商设计施工总承包商设计院设计院承包商承包商1 1承包商承包商2 2承包商承包商3 3(1) D+B is not new, as many builders designed what they built for centuries, including large cathedrals, castles and palatial building

4、.(2) The industrial revolution required large buildings, then late in the nineteenth century the building professions were established with architects committed exclusively to designing.(3) Modern construction has requirements, including expert advice for owners, consultants for designers (A/E), cos

5、t estimates and other information for biding, management, risk avoidance and subcontractor, who do most construction work.Summary of Key Points for D+B Model(4) Modern construction has problems such as between the following: those acting in good faith and those not, owners with budgets and designers

6、 with not enough knowledge of costs, complex designs and site conditions, those who administer or manage and those who are administered or managed, those who authorize or make payments and those who wait to be paid, a site and a project on one hand, and the laws, regulations, and physical site condi

7、tions on the other, public works and statutes that govern them.(5) They are many differences between building construction and engineering construction, and between most buildings and those that are real architecture.Summary of Key Points for D+B Model(6) Depending on jurisdiction, statutory regulat

8、ions governing practices of architecture and engineering often inhibit design-build entities from providing design services.(7) D+B contracting may reduce an owners building costs through phased construction, direct communication, innovative designing, and building method, but all these can be appli

9、ed in traditional construction.(8) Allocating responsibility in construction as between designer and builder can be a problem, design-build may eliminate it, depending in part on the corporate structure of a design-build entity.Summary of Key Points for D+B Model(9) An owner usually needs an indepen

10、dent advisor no mater which contracting method he employs, in design-build he needs a consultant to prepare the design criteria and to advise on selection of a design-build contractor.(10) Key questions for an owner thinking of design-build include:n What experience do we have and need of D+B?n Do w

11、e need an independent advisor/agent?n What information need we provide in requesting D+B proposal?Summary of Key Points for D+B Modeln What kind of D+B contract do we need?n How do we evaluate D+B proposal?n Do we need to monitor a D+B project?n Who will monitor the D+B project for us?n Should we re

12、quire a two-phase proposal process?n Should unsuccessful proposals be paid some amount?(11) Advantage and disadvantage of D+B may include:n Direct communication by owner to contractor( but can the owner speak the language?)Summary of Key Points for D+B Modeln Less potential for disputes( but does th

13、at include the designer and builder in the same D+B entity?)n Easier to place responsibility for defects( only for the D+B entity is a single corporate person)n Fast track construction with D+B( but is the D+B entity able to do it with the building needed?)n Lower construction costs and more economi

14、c design( but how can an owner be sure?)n Potential for innovative design( but that may benefit only the D+B entity)Summary of Key Points for D+B Model(12) Disadvantages with D+B for an owner may include:n Lake of design initiative( but the owner may not need it)n Lake of independent advice( but the

15、 owner can buy it)n Limited ability to deal directly with design builder( not with an independent advisor)n Potential conflicts with statutory governing design services( can get legal advice first)n New D+B companies may not have requisite experience( owner can pre qualify proposals)Summary of Key P

16、oints for D+B Modeln Insurances and bonds may not be available for a D+B project( Owner can enquire first)n Standard contracts for D+B projects are relatively new and from different sources( owner can get legal advice from D+B experts)n An owner may have to make a large initial payment to a D+B cont

17、ractor( Owner can only stipulate or negotiate, there may be risk for both sides)n Evaluating D+B proposal is problematic( Owner needs expert and independent advicefor a fee)Summary of Key Points for D+B Model(13) Advantages and disadvantages for design build entities are apparent in this chapter, th

18、e expense of making design build proposal, difficulties with statutes and design services, and with insurance and bonds are among the main disadvantage.(14) Design build presents to owners and builders the possibilities of great value and great risk than more traditional contracting.Summary of Key P

19、oints for D+B Model3 EPC模式（项目总承包交钥匙模式）业主EPC总承包商设计、技术Engineering工艺设备采购Procurement施工管理ConstructionManagement分包商3分包商2分包商1Quantity Surveyor Main ContractorsArchitect/DesignersEngineers( Structural/Services ) Contractors Project CoordinatorClientsIntegrated Design & Build Arrangement Construction Man

20、agementProductionSite Team / Subcontractor Clients Professional Advisers4 CM模式（施工管理模式）CM/Non-Agency 模式(施工管理模式）业主分包商供应商CM总承包商设计商分包商2分包商1供应商2供应商14 CM模式（施工管理模式）CM/Agency 模式(施工管理模式）设计商业主CM总承包商分包商2分包商1供应商2供应商1若干分包商若干供应商设计(D)招标(P)施工(C)D1D2D3P1P2P3C1C2C3总工期缩短提前开始施工时间Fast-Track-Construction Management选择设计师概

21、念设计工程施工招标文件（施工图/规范招投标和授予合同详细设计合同授予选择承包商传统发包模式01020405070100周概念设计分段详细设计和准备招标文件(D1-DN)分段招投标和授予合同(T1-TN)D1D2DNT1T2TNC1C2分段施工(C1-CN)选择CM项目经理选择设计师传统竣工CM竣工工期提前CM开工时间传统开工时间CM发包模式CN5 BOT模式（带资承包模式）业主一般为政府业主一般为政府BOTBOT发起人发起人出资人出资人（银行财团）（银行财团）项目施工项目施工总承包商总承包商项目项目经营者经营者设计设计单位单位施工施工总承包总承包施工施工分包商分包商1 1施工施工分包商分包商2

22、 2供应商供应商该项目采用BOT方式运作。北京市政府作为招标人，面向全世界公开招标项目法人。项目法人与北京市政府的出资人北京市国有资产经营有限责任公司共同组建项目公司，负责国家体育场项目的建设、运营和管理，并于2038年将一座物理形态完好的体育场无偿地移交给北京市政府。由北京城建集团有限责任公司与中信集团、美国金州控股集团按照BOT模式组成的项目联合体中标，各方出资比例为：北京城建集团30%，中信集团65%，美国金州控股集团5%。联合体与北京市国资公司共同成立了“国家体育场有限责任公司”。该公司股东单位及出资比例为：北京市国资公司58%，北京城建集团12.6%，中信集团4.4%，美国金州控股集

23、团2.1%，中信国安岳强22.9%。2003年8月9日联合体分别与北京市人民政府、北京奥组委、北京市国有资产经营有限责任公司签订了特许权协议、国家体育场协议和合作经营合同三个合同协议。中信集团 北京城建集团 美国金州控股集团 项目联合体 北京市国资公司 国家体育场有限责任公司 项目业主设计联合体瑞士赫尔佐格和德梅隆 (Herzog & Meuron)英国奥雅纳(AURP)中国建筑设计研究院中国国际工程咨询公司监理单位北京城建集团有限责任公司总承包商钢结构分包商膜结构分包商机电分包商分包商6 转换型承发包模式（Notation Contract）业业 主主设计院设计院承包商承包商设计院设

24、计院分包商分包商分包商分包商分包商分包商深度深度3080剩余剩余2070合合 转转同同 换换转换前阶段转换前阶段转换后阶段转换后阶段工程采购模式与合同类型工程合同类型及其特点The Form of Contract Price Building or civil work may be paid for in one of three ways Payment of a definite sum for in one of three ways work done with little provision for adjusting the sum payable; Payment on m

25、easured basis of quantities of work, using the rates agreed; Payment on the basis of estimated cost with certain additions for over-headed and profit but limited control of cost. Building or civil contracts may be classified according to various characteristics. Depending on the methodof arriving at

26、 the contract sum, building contract fall into 3 categories:n Lump sum contracts;n Measurement contracts;n Cost reimbursement contracts. 所谓总价合同是指业主付给承包商的款额在所谓总价合同是指业主付给承包商的款额在合同中是一个规定的金额，即总价。总价合同有合同中是一个规定的金额，即总价。总价合同有以下四种不同的形式。以下四种不同的形式。1) 固定总价合同（固定总价合同（Fixed Lump Sum) 适用范围及特点：适用范围及特点：n工期较短；工期较短；n最终

27、产品要求明确；最终产品要求明确；n设计完整，发发包工程内容及技术经济指标明确；设计完整，发发包工程内容及技术经济指标明确；n合同总额是一个规定的金额；合同总额是一个规定的金额；n如果设计和工程范围有变更，合同总价也必须相应变更。如果设计和工程范围有变更，合同总价也必须相应变更。1. 总价合同(Lump Sum Contracts)2） 调值总价合同（Escalation Lump Price) 适用范围和特点：n工期较长；n最终产品要求明确；n设计完整，发发包工程内容及技术经济指标明确；n合同按照时价计算，总额是一个相对固定的价格；n由于通货膨胀导致人工、材料等成本增加，合同总价也必须相应调整

28、。调价方法：文件证明法和调价公式法。调价方法：n 文件证明法 凭正式发票向业主结算价差。n 调价公式法C=Co(0+ 1M/M0+ 2L/L0+ 3T/T0+ nK/K0C，调整后的合同价；Co，原签订合同中的价格；0，固定价格的加权系数，合同价格中不允许调整的固 定部分的系数，包括管理费用，利润等M,L,T,.K，受到价格浮动影响的材料设备、劳动工 资、运费等价格，带脚标0为原合同价，没有脚标 为付款时的价格；1+ 2+ 3+ n=1,相应于各有关项的加权系数，一般通过对工程概算分解测算得到。3）固定工程量总价合同（Lump Sum on Firm Bill of Quantities)4）

29、管理费总价合同（Management Fee Lump Sum)n 可以在报价竞争状态下确定项目造价并固定可以在报价竞争状态下确定项目造价并固定;n 业主在主要开支发生前对工程成本能够心中有数业主在主要开支发生前对工程成本能够心中有数;n 由承包商承担较多风险由承包商承担较多风险;n 评标时易于迅速选定最低报价单位评标时易于迅速选定最低报价单位;n 在施工进度上可极大调动承包商的积极性在施工进度上可极大调动承包商的积极性;n 业主能更容易业主能更容易/更有把握控制项目更有把握控制项目.总价合同优点(从业主角度)n 必须完整而明确地规定承包商的工作必须完整而明确地规定承包商的工作;n 根据项目的

30、规模根据项目的规模/地点和价格价格调整情况地点和价格价格调整情况,应使应使承包商的风险是正常的和能够接受的承包商的风险是正常的和能够接受的;n 必须将设计和施工方面的变化控制在最小限度内必须将设计和施工方面的变化控制在最小限度内;n 只有当承包行情对承包商趋于有利时只有当承包行情对承包商趋于有利时,采用总价合采用总价合同才能招来有竞争力的同才能招来有竞争力的/合格的投标人合格的投标人.采用总价合同的若干要求(1) General legal principles of contracts are a guide only in solving specific contractual prob

31、lems. Usually it is necessary to consult a lawyer for adequate advice and guidance in dealing with the unique facts of a case.(2) Stipulated-sum contracts have a particular legal character that may be characterized as “a complete job for a stipulated price”; this may not require the contract documen

32、ts to specify everything necessary for a “complete job.” Summary of Key Points for SSC(3) A contractors primary obligations in SSC are to perform the contract, and to be paid accordingly.(4) An owners primary obligations in SSC are to provide information about and access to the site, and to pay for

33、the work as it is done according to the contract.(5) A designers primary duties are to issue the certificates for payment and completion required by a contract when they are due; to issue written interpretation of the contract when required; and to seek the performance of the contract by both partie

34、s when so stipulated( as in the standard forms of contract).Summary of Key Points for SSC(6) Changes can not be made by the owner in SSC without mutual agreement of the contractor; either as stated in the contract( as in the standard forms of contract)r, or as mutually agreed to subsequently by the

35、parties.(7) Subcontractor should contain the conditions of the primary contract, insofar as they are pertinent.(8) In SSC, the contractor is paid to carry the greater burden of risk by the owner, who carries a lesser burden of risk.(9) To the extent that SSC allows changes in the works, the owner is

36、 open to risk from excessive costs.Summary of Key Points for SSC(10) SSC require the design to be practically complete and settled before bids are sought; but this precludes an owner from using a contractors knowledge in the design of the work, and to a significant extent in its implementation.(11)

37、The best kinds of work to be done within a SSC are those of straight forward design and of standard construction.Summary of Key Points for SSC 当准备发包的工程项目内容、技术经济指标一时尚当准备发包的工程项目内容、技术经济指标一时尚不能像采用总价合同时那样明确、具体地予以规不能像采用总价合同时那样明确、具体地予以规定时，则以采用工程单价合同形式为宜。工程单定时，则以采用工程单价合同形式为宜。工程单价合同有以下两种不同的形式。价合同有以下两种不同的形式。

38、1)估计工程量单价合同（估计工程量单价合同（Bill of Approximate Quantities Contract)2)纯单价合同（纯单价合同（Straight Unit Rate Contract)2. 工程单价合同(Unit Price Contract)n 单价固定（只有实际工程量有较大变化时可单价固定（只有实际工程量有较大变化时可调整单价）调整单价）n B/Q表中的工程量只是估算值，工程量须按表中的工程量只是估算值，工程量须按实结算，工程价格应按照实际完成量计算；实结算，工程价格应按照实际完成量计算；n 可适用于大型复杂项目。可适用于大型复杂项目。n 在招标前在招标前,业主无需

39、对工程范围作出完整的业主无需对工程范围作出完整的/详尽详尽的规定的规定,从而可以缩短招标准备时间从而可以缩短招标准备时间;n 能够鼓励承包商提高工作效率能够鼓励承包商提高工作效率,节约工程成本节约工程成本,提提高利润高利润;n 业主只按分项工程量支付费用，可以减少意外开业主只按分项工程量支付费用，可以减少意外开支；支；n 合同结算时只需对那种不可预见的、未予规定的合同结算时只需对那种不可预见的、未予规定的工程单价进行调整，结算程序比较简单。工程单价进行调整，结算程序比较简单。单价合同优点(1) A unit price is an average price per unit of an it

40、em of work.(2) In North America, UPC are limited to engineering construction, but unit prices are used in SSC to price changes in building work.(3) UPC usually require adjustments in the unit prices when quantities of items of work done vary by more than a stipulated amount( typically, 15 percent).(

41、4) With bids for UPC, an owners consultant should watch out for unbalanced bids through which bidders seek an advantage from subsequent changes in amounts of different items of work, or to obtain overpayment in the early stages of a project.Summary of Key Points for UPC(5) UPC require the measuremen

42、t of completed work and the measured quantities to be priced by the unit prices, this makes necessary, as part of the contract, a stated method of measurement.(6) Contracts based on unit prices( in which some or all completed work may be measured) are more common for building works( as well as for e

43、ngineering construction works) in many other countries.(7) Standard forms for UPC are published in North America by professional engineers.Summary of Key Points for UPC 当工程内容及其技术经济指标尚未全面确定，而由于种种当工程内容及其技术经济指标尚未全面确定，而由于种种理由工程又必须向外发包时，采用成本补偿合同的形式比理由工程又必须向外发包时，采用成本补偿合同的形式比较合适。较合适。3. 成本补偿合同(Cost-Plus-Fee

44、 Contract) 适用范围：适用范围：n 工期要求紧；工期要求紧；n 中小型项目；中小型项目；n 业主与承包商有良好合作关系。业主与承包商有良好合作关系。缺点：缺点：n 业主不能对项目总造价实行实际的控制；业主不能对项目总造价实行实际的控制；n 承包商对降低成本兴趣不大。合同条款必须严格。承包商对降低成本兴趣不大。合同条款必须严格。1) 成本加固定费用合同（成本加固定费用合同（Cost-plus Fixed Fee)C=Cd+FC：总造价；：总造价；Cd：实际发生的直接费；：实际发生的直接费；F：固定不变的酬金，通常按估算成本的一定百分比：固定不变的酬金，通常按估算成本的一定百分比确定。确

45、定。成本补偿合同形式2）成本加定比费用合同（）成本加定比费用合同（Cost-plus Percentage Fee)C=Cd（1+P）C：总造价；：总造价；Cd：实际发生的直接费；：实际发生的直接费；P：双方事先商定的固定酬金百分比。：双方事先商定的固定酬金百分比。成本补偿合同形式3） 成本加浮动酬金合同（成本加浮动酬金合同（Cost-plus Incentive Fee)成本补偿合同形式工程实际成本罚款酬金速度金额顶点135%概算（100%）报价成本底点60%0Cd=C0, C=Cd+FCdC0, C=Cd+F-FC0, 预期成本F，酬金增减部分，可以是百分比，或固定的绝对数成本补偿合同形式

46、4） 目标成本加奖励目标成本加奖励C=Cd+p1C0+p2(C0-Cd)C0：目标成本；：目标成本；p1：基本酬金百分比；：基本酬金百分比；p2：奖励酬金百分比：奖励酬金百分比成本补偿合同形式5) 成本加固定最大酬金合同（成本加固定最大酬金合同（Cost-plus Upset Max)工程实际成本不予支付支付全部成本及杂项费用速度金额最高成本总额报价指标成本最低成本总额0只支付全部成本支付全部成本、杂项费用及酬金，并分享节余(1) CPFC and SSC are basic type of contracts at opposite ends of a hypothetical scale

47、of risk. Variations on these two types lie between them on the scale. The most important of these is the Guaranteed maximum cost-plus-fee contract, with a sharing clause that reflects the distribution of risk.(2) To an owner in a CPFC there are two kinds of costs: (1) costs are defined( generally, d

48、irect costs), and (2) the fee as defined( generally, to cover the indirect costs of the work). Definitions of costs and fee are critical. These are also known as (1) the reimbursable costs, and (2) the non-reimbursable costs.Summary of Key Points for CPFC(3) Costs of work are direct costs of labor,

49、materials, equipment, and job overhead costs, and the indirect costs of operating (office) overhead and profit.(4) The basic unit for estimating and cost accounting is the item of work.(5) Labor costs are direct costs of wages, statutory payments, benefits, and costs for such things as traveling , b

50、oard, and lodging. Productivity also affects labor costs.(6) Material costs are affected by quality, quantity, time( seasonal demand), place, credit, and discounts.Summary of Key Points for CPFC(7) Plants and equipment costs depend on depreciation, maintenance, investment costs, and the costs of mob

51、ilization, demobilization, and operation; also working and idle time.(8) Job overhead costs include supervision( often the largest cost), premiums for insurances and bonds, fees for permits , costs of security and protection, temporary services and facilities; cost of cleanup, cutting and patching w

52、ork, and closeout costs.(9) Operating overhead cost are those that can not be directly identified with and attributed to a specific project including office staff, rent, and all office costs for equipment and supplies, communications and similar items.Summary of Key Points for CPFC(10) Profit is a c

53、ost to an owner; profitability is a measurement of return on investment in a business, and the better way to quantify profit.(11) A CPFC requires for its success goodwill and trust between the parties.(12) The Owner usually carries the greater risk in a CPFC.(13) In a CPFC the owner and design are m

54、ore involved in the work and its costs than in other kinds of contracts.Summary of Key Points for CPFC(14) Guaranteed Maximums CPFC often are preferable to traditional SSC for major building works because they provide more flexibility.(15) Guaranteed Maximums CPFC are bid like a SSC and administered

55、 like a CPFC so as to adjust the maximum cost, which in turn may affect the results of a sharing clause in the contract.(16) Standard forms for CPFC require care and attention in adapting them to particular project needs.Summary of Key Points for CPFC10300最终价格(万)最终成本(万)95001000010500某项目采用如下三种合同类型:1

56、固定总价合同(10300万)2 成本加百分比酬金(5%)合同3 GMP(10500)下的成本加固定酬金(500)合同试计算当成本分别为9500,10000,10500万时的承包商的利润?并绘制承包商的成本和最终价格曲线?10300最终价格(万)最终成本(万)95001000010500ABC固定总价合同(10300万):如果最终成本=9500,承包商利润A=800(8.42%)如果最终成本=10000,承包商利润B=300(3.00%)如果最终成本=10500,承包商利润C= -200(-1.9%)某项目采用如下三种合同类型:1 固定总价合同(10300万)试计算当成本分别为9500,1000

57、0,10500万时的承包商的利润?并绘制承包商的成本和最终价格曲线?9975最终价格(万)最终成本(万)95001000010500ABC成本加百分比酬金(5%)合同:如果最终成本=9500,承包商利润A=475(5.00%)如果最终成本=10000,承包商利润B=500(5.00%)如果最终成本=10500,承包商利润C=525(5.00%)1050011025某项目采用如下三种合同类型:2 成本加百分比酬金(5%)合同试计算当成本分别为9500,10000,10500万时的承包商的利润?并绘制承包商的成本和最终价格曲线?10000最终价格(万)最终成本(万)95001000010500AB

58、CGMP(10500)下的成本加固定酬金(500)合同:如果最终成本=9500,承包商利润A=500(5.26%)如果最终成本=10000,承包商利润B=500(5.00%)如果最终成本=10500,承包商利润C=0.00(0.00%)10500某项目采用如下三种合同类型:3 GMP(10500)下的成本加固定酬金(500)合同试计算当成本分别为9500,10000,10500万时的承包商的利润?并绘制承包商的成本和最终价格曲线?Lump sum (drgs & spec.)Lumpsum(BQ) Measurement & value(B of AQ) Measurement

59、 & value(Sch of prices)Target price C+fluc feeC+fixed feeEqual share of riskLittle partial transferred to contractorClient retains all risksC+%Complete transferred to contractorContractors risk合同类型比较表合同类型比较表百分数酬金固定酬金浮动酬金目标成本加奖励公 式应用范围广泛广泛酌 情业主控制投资易较易最难难不易有可能承包商风险大风险小有风险无风险总价合同 单价合同 成 本 补 偿 合 同 紧

60、急工程、保密工程、为试验研究合技术发展修建的工程。业主与承包商长期共事、相互信任miiimuC10CC)1 (pCCdFCCdFFCCd)(0001ddCCpCpCC选择合同类型参考表选择合同类型参考表合同类型 设计阶段设计主要内容包括设计深度要求满足1、详细设备清单1、设备、材料的安排2、详细材料清单2、非标准设备的制造3、施工详图3、施工图预算的编制4、施工图预算4、施工组织设计的编制5、施工组织设计5、其他施工要求1、较详细的设备清单1、设计方案中重大技术问题的要求2、较详细的设备材料清单2、有关试验方面的要求3、工程必须的设计内容3、有关设备制造方面的要求4、修正总概算1、总概算2、设计依据、指导思想3、建设规模、产品方案1、主