国际工程合同管理培训-设计采购施工合同

EPCContractsTimSteadmanContractManagementin

InternationalCnstruction设计采购施工合同TimSteadman国际工程合同管理2GeneralOverviewIntroductiontoCCConstructionGroupPurposeofpresentationOutlineofpresentationContextRolesPhilosophyStructureFormKeyrisksandcontractterms

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

3Context-EconomicEffectofcyclesParticipantsProcurementmethodsandstructuresPriceRiskallocationFundingsourcesandmethods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4Context–BusinessCultureMostcountriesembracemarketeconomics(intheory)Inpracticethereareexceptions–helpfulandotherwiseSorelationshipsaretosomeextentadversarial/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）5Context–Legal/RegulatoryLegalsystemispartofbusinesscultureTheruleoflaw/contractisimportant,especiallyinprojectfinanceddealsCivilandcommonlawsystemsdifferinformandsubstanceImpactofprocurementrulesOnowner’sbehaviourOnbiddingtactics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6RolesPrimecontractor(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)7PhilosophyAsacontractorOpenbiddingorsolesource?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?8Philosophy(cont’d)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9Structure–theProjectPrivatelyprocuredOnbalancesheetOffbalancesheetPubliclyprocuredMaystillbeaccountingconsiderations,eginPPPCombinationsPPPprojectsConcessionsOthers–egPPAs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PPA10TypicalPPPStructurePUBLICENTITYCONCESSIONCONTRACTSPVSPONSOREQUITYTHIRDPARTYEQUITYINVESTORSDUEDILIGENCEADVISER1MEZZANINEFUNDERSINSURERSCONSTRUCTIONSENIORFUNDERS(BANK/BOND)SURPLUSREALESTATEDISPOSALDUEDILIGENCEADVISER2SUBCONTRACTOR1DESIGNERSEQUIPMENTSUPPLYOPERATION&MAINTENANCEDEVELOPERDUEDILIGENCEADVISER3INVESTORSSUBCONTRACTOR2SUBCONTRACTOR3BONDS&GUARANTEESSURETIES&GUARANTORS典型PPP结构共同实体特许权合同SPV发起人股份第三方股份投资人合理注意顾问1中间融资者保险人建设高级融资者

(银行/债券)剩余不动产处置合理注意顾问2分包人1设计人设备供应运营与维护开发商合理注意顾问3投资人分包人2分包人3保函与担保担保与保证11Structure––theMainConstructionContract(s)EPC/designandbuildOwnerdesignedEPCM/CMOthervariants结构–主建设合合同设计采购购施工/设计施工工业主设计计设计采购购施工管管理/施工管理理EPCM/CM其他变量量12KEY“Traditional””OWNERCONTRACTORSUB-CONTRACTORSARCHITECT/ENGINEER=Appointments=Sub-Contracts=BuildingContractEPCStructureKEY“传统””业主承包人分包人建筑师/工程师

=任命=分包合同=施工合同EPC结构13WheredoesEPCfitin?ConstructionManagementOwnerassumesriskContractorretainsriskTraditionalDesign&BuildLSTK/EPCRISKSPECTRUMExceptasotherwisestatedintheContract:theContractorshallbedeemedtohaveobtainedallnecessaryinformationastorisks,contingenciesandothercircumstanceswhichmayinfluenceoraffecttheWorks;bysigningtheContract,theContractoracceptstotalresponsibilityforhavingforeseenalldifficultiesandcostsofsuccessfullycompletingtheWorks;andtheContractPriceshallnotbeadjustedtotakeaccountofanyunforeseendifficultiesorcosts.LSTK––LumpSumTurnkeyEPC–EngineeringProcurementandConstructionEPCStructure(cont’d)EPC合同适合什么么?建设管理业主承担风险险承包人保留风风险传统设计施工LSTK/EPC风险幅度除非在合同中中另有约定外外：承包人应当被被视为已获知知有关风险、、意外事故及及其他可能影影响工程的情情况的全部必必要信息；一俟签约，承承包人即接受受了所预见到到的各类困难难的全部责任任并承担顺利利完工的一切切费用；且合同价款不得得因考虑任何何不可预见的的困难或费用用而调整。LSTK––一次性付款交交钥匙EPC–设计采购施工工EPC结构(续)14EPCKeyFeaturesSinglepointresponsibilitySubjecttocapsandcarve-outsHighdegreeofriskforcontractorAlsohigh(butnotabsolute)degreeofcontractorcontrolPricedaccordinglyThepreferredstructureforprojectfinance/PPPtransactionsLinkagetoshareholdersupportEPC主要特点单一责任责任的上限及及分割承包人承担高高风险项目多由承包包人控制，但但非完全控制制相应报价项目融资的更更优模式/PPP交易与股东支持的的联系15EPCKeyFeatures(cont’d)Sensitivetomarketconditions––recenthistoryWidechoiceofstandardcontracts(egFIDICSilverandYellow)Commonlyusedininfrastructure,thermalpoweranddownstreampetchemEPC主要特点(续)对市场条件敏敏感——最近的历史可以选择更多多的标准合同同(例如FIDIC银皮书和黄皮皮书)在基础设施、、热电厂和下下游石化行业业中应用16KEY“Traditional”OWNERCONTRACTORSUB-CONTRACTORSARCHITECT/ENGINEER=Appointments=Sub-Contracts=BuildingContractOwnerDesignKey“传统”业主承包人分包人建筑师/工程师

=任命=分包合同=施工合同业主设计17OwnerDesignKeyFeaturesMorecontrolforownerDesignandotherrisksalsoretainedbyownerHistoryofdisputesUsehasdeclinedinrecentdecadesbutstillusedin,eg,publiccivilworksandtechnologyprojectsIncompatiblewithprojectfinanceapproach业主设计主要要特点业主更多控制制设计及其他风风险仍由业主主保留争议历史近几十年来使使用率降低，，但仍在使用用，例如在公公共民用建筑筑和技术项目目中与项目融资方方式不兼容18OWNERTCPROFESSIONALTEAMARCHITECTSTRUCTURALENGINEERM&EENGINEERQUANTITYSURVEYORCDMCO-ORDINATORCONSTRUCTIONMANAGERTC=TRADECONTRACTOR=TradeContract=Appointments=CMAKEYEPCM/CMTCTCTCTCTCTCTCTC业主TCTC专业队伍建筑师结构工程师机械电气工程程师成本估算师CDM协调师TCTCTCTCTCTCTC施工项目经理理TC=专业承包商=专业合同=任命=注册管理会计计师KEYEPCM/CM19EPCM/CMKeyFeaturesEPCMcontractorisessentiallyaconsultantOwnerbearssubstantialriskInterfaceRecourse/leverageCanproducethelowestcostandfastestcompletionButisheavilydependentonspecialistskills,experienceandresourcesCanbedisastrousifthosearenotpresent–examplesWidelyusedinupstreamoilandgas,renewablesandsomerealestatemarketsEPCM/CM主要特点EPCM承包人实际上上是顾问业主承担实质质性风险接口追索/杠杆作用能达到最低支支出与最快完完工但很大程度上上有赖于专业业技术、经验验与资源如果不具备这这些将可能损损失惨重——案例广泛应用于上上游油气、可可再生资源以以及一些不动动产市场20VariantsTiming–two-stagecontractingMarketdrivenandmixedfeedbackConversionmechanismScope––isFEEDincluded?CanbeattractiveforcontractorsPricing––targetcost/GMPUsuallyaconsequenceratherthanachoiceExamples––eg2012Linktophilosophy变量时间–两步签约市场驱动与与综合反馈馈转换机制范围–是否包括FEED?对承包人有有吸引力价格–目标费用/优良制造标标准GMP通常是结果果而非选择择例子–例如2012与体系相关关21FormsofContractaprofusionofcolourandvariety!合同格式各种各样的的色彩和类类型!22FormsofContractStandardorspeciallydrafted?RelevanceofwiderstructureOriginofstandardformsExampleofFIDICOtherstandardforms,egNEC,AIA,ENAA,EICWhyamenda““proven”form?Tocorrectperceivedanomaliesorbias(examples)合同格式标准合同抑抑或特别制制定的合同同?更广泛结构构的相关性性标准格式起起源FIDIC实例其他标准格格式，例如如NEC,AIA,ENAA,EIC为何修订““现有”格格式?修正已发现现的异常或或偏差(例子)23FormsofContract(cont’d)Toreflectdealspecificsorsectorpractice(examples)Toincorporatematerialfromothercontracts(eginPPP)Toreflectrequirementsoffunding(whichmaybeownerorcontractorsourced)Forlegalreasons(examples)Whodrafts–ownerorcontractor?合同格式(续)反映交易特特性或部门门实践（例例子）吸纳其他合合同素材(例如在PPP合同中)反映融资需需求(可能来源于于业主或承承包人)基于法律原原因(例子)由谁起草–业主还是承承包人?24KeyRisksandContractTermsLawandlanguageEnglishlanguageandstylecommonlyusedPrecedenceandintegrationofdocumentsDistinguishlanguageofcontractandofcommunicationsCommonlawpreferredbutlessstronglythesedaysImpactoflocallawinanyeventWidechoiceofmethodsandplacesfordisputeresolution主要风险与与合同条款款法律与语言言通常使用英英语语言与与文体文件的优先先顺序与整整体性区分合同语语言与交流流语言优先考虑普普通法，但但近来这一一趋势减弱弱任何情况下下本地法的的影响争议议解解决决方方式式与与地地点点的的广广泛泛选选择择25KeyRisksandContractTerms(cont’’d)Qualityandscope“Wrapping””egoftechnologyorexistingworksordesignFitnessforpurposeandreasonableskillandcareInsuranceandriskretentionimplicationsCompliancewithlawsandconsentsSpecialimportanceofenvironmentalrequirementsPass-downfromotherprojectdocuments主要要风风险险与与合合同同条条款款(续)质量量与与范范围围“限制制”例如如，，对对技技术术或或现现有有工工程程与与设设计计符合合目目标标及及合合理理技技术术与与注注意意义义务务保险险与与风风险险保保留留问问题题符合合法法律律及及约约定定环境境要要求求的的特特殊殊重重要要性性其他他项项目目文文件件的的延延续续26KeyRisksandContractTerms(cont’’d)IntellectualpropertyOwnershipbycontractorAssignedorlicensedtoowner?ScopeoflicenseIndemnitiesforinfringement––cappedornot?主要风风险与与合同同条款款(续)知识产产权承包人人的所所有权权转让或或许可可给业业主?许可范范围侵权赔赔偿——有无上上限?27KeyRisksandContractTerms(cont’’d)PerformanceSecurityJointliabilityGuaranteesBondsTypesandpurposesIssueswithon-demandbondsCreditissuesincurrentmarketRetentionfunds主要风风险与与合同同条款款(续)履约担担保共同责责任担保人人保函类型与与目的的按需求求发放放保函函在当前前市场场中按按信用用发放放保函函保留基基金KeyRisksandContractTerms(cont’’d)SubcontractingApprovalStep-inrightsSiteconditionsCanthreatenviabilityofproject/partiesMitigantsAnopen-mindedapproachGovernmentsupportSurveysandstagingFlexibilityindesign28主要风风险与与合同同条款款(续)分包同意介入权权现场状状况可能威威胁到到项目目/当事方方的存存续降低风风险的的办法法思维开开放的的方式式政府支支持现场考考查与与筹备备设计的的弹性性29KeyRisksandContractTerms(cont’’d)LabourLocallawsLocalpreferenceTimeStatusofprogrammeRemediesfordelayLiquidateddamages(““LDs””)fordelayEnforceabilityissueswithdelayLDsAccelerationMilestonesLook-forwarddefaultCalculationandcappingofLDS主要风风险与与合同同条款款(续)劳动力力当地法法律当地优优惠时间计划状状况延期赔赔偿延期违违约赔赔偿金金违约赔赔偿金金执行行力问问题赶工重大事事件预期违约约延期违约约赔偿金金的计算算与上限限30KeyRisksandContractTerms(cont’d)Completion,commissioningandtestingSectordifferencesPerformanceLDsandmake-goodDefectsliabilityTypicalperiods“Evergreen”clausesLatentandpatentdefectsRemediesunderthegenerallaw主要风险险与合同同条款(续)竣工、试试车与试试验部门差别别履行违约约赔偿金金或进行行补救缺陷责任任典型期限限“终生””条款潜在缺陷陷与显著著缺陷依照一般般原则的的救济31KeyRisksandContractTerms(cont’d)VariationsInstructedbytheownerResultingfromchangesinlaworstandardsExamplesofriskallocationPriceandpaymentLumpsumorother?CurrencyissuesInputcostfluctuationMilestonesormeasurement?Offsitematerials主要风险险与合同同条款(续)变更按照业主主指示因法律或或标准的的变化风险分担担的例子子价款与支支付总价合同同或其他他?货币问题题投入成本本的波动动重大事件件或测量量?场外原料料32KeyRisksandContractTerms(cont’d)AdvancepaymentsCashflowneutralityPaymentsecurityforcontractorSet-offandcorrectionECArequirementsRemediesfornon-paymentRoleoflender’sengineer主要风险险与合同同条款(续)预付款现金流平平衡给承包人人的付款款担保抵销与补补偿ECA要求未付款的的救济贷款人工工程师的的角色33KeyRisksandContractTerms(cont’d)TerminationForownerconveniencePaymentofprofitForforcemajeureForownerdefaultTypicalgroundsRemediesForcontractordefaultTypicalgroundsRemedies(toincluderejection?)主要风险险与合同同条款(续)终止基于业主主的利益益支付利润润基于不可可抗力基于业主主违约典型原因因救济基于承包包人违约