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1、国际工程FIDIC合同解读及实例解析,朱印奇,Boring/Snoring,国际工程商务合同管理实务目录 1 FIDIC合同条件简介/99版红皮书 2 理解合同优先顺序的重要意义 3 工程部分移交引发的风险 4 支付预付款的条件和时间表 5 合同争端解决机制DAB/ARBITRATION 6 针对亏损项目如何利用合同条件实现减亏? 7 业主的风险和不可抗力的区别？ 8 终止合同时，如何保障承包商的权益? 9 案例综合演练10 从事国际工程施工管理的感受和体会,FIDIC 合同条件（彩虹系列）,FIDIC 即国际咨询工程师联合会, 于1913年成立，总部设在瑞士洛桑，2002年搬至日内瓦。199
2、9年出版了四本合同格式：1）Conditions of Contract for Construction施工合同条件2) Conditions of Contract for Plant and Design-Build 生产设备和设计-施工合同条件3）Conditions of Contract for EPC/Turnkey Projects 设计采购施工/交钥匙合同条件4）Short Form of Contract 简明合同格式注解：每本合同条件分成三部分，即通用条件 、专用条件编写指南（GPPC，各类保函格式) 、范例格式如投标函 合同协议书 争端裁决协议,红皮书 Red Book
3、,黄皮书 Yellow Book DB合同条件,银皮书Silver Book/EPC,绿皮书 Green Book,粉皮书 Pink Book,金皮书 Golden Book,分包合同条件,FIDIC 指南,合同文件构成（红皮书）,合同协议书,中标通知书,投标函及附录,特殊合同条件,FIDIC通用条件,技术规范Specification,图纸DRAWING,工程量清单BOQ,合同文件构成（黄皮书）,合同协议书,中标通知书,投标函及附录,特殊合同条件,FIDIC通用条件,业主要求,资料表SCHEDULES,承包商建议书,合同文件构成（银皮书）,合同协议书,特殊合同条件,FIDIC 通用条件,业主
4、要求,承包商投标书,构成合同文件任何其他文件,三本合同条件的内容简介,红皮书黄皮书银皮书中国合同法有关规定(八个核心要素）,Words and Expressions (Red Book/60),Words and Expressions,Words and Expressions (Silver Book/50),工程师是业主人员吗？,8.7Delay Damage,建设工程施工总承包合同中的定义,Appendix to Tender,2022/12/7,Appendix to Tender,Appendix to Tender,Appendix to Tender,Appendix to
5、Tender,Appendix to Tender,Appendix to Tender,Appendix to Tender,Appendix to Tender,撰写商务信函格式介绍,HEADLING LOGOReference/Series Number Date ：Addressee/ the person to whom typically a letter, is addressedRE: in the matter of (used typically as the first word in the heading of an official document or to i
6、ntroduce a reference in an official letter) 多用于公函起首处或用来提及公务信函兹就；事涉Subject (主题）,商务信函格式,Dear Sir, /Dear Madam, His Excellency, Contents (Capitalized Initial Letter) Ending (greetings, by courtesy) Yours faithfully, Blank Line (三个空行） Signature & Seal (authorized) Enclosures CC: (Concerned Parties),Word
7、s & Expressions,合同条件以及往来信函中，首字母大写 Capital initial Letters的含义？Identifiable/Particular ConditionsFrequency/day/yearFIDIC 定义，共有6组 (P95)，分类：Contract、Parties /Persons 、Dates/Tests/ Periods/Completion、Money/Payments、Works/Goods、 Other Definitions (P5).,学员英语信函（有哪些单词(P1)或短语需要大写？P16）,2022/12/7,示范信函,案例一 信函写作示
8、例： 国际工程实践过程中，合同通常规定承包商为监理工程师及业主提供交通服务，包括车辆的选型、牌照、保险、司机、加油以及定期的保养和维修，管理过程复杂多变，假如某工程项目，需要提供一台PRADO, 两台COROLLA， 一台12座的TOYOTA面包车，当前承包商已经采购完成，我方致函监理工程师，需要办理移交手续，如何撰写信函？,总结：商务信函的撰写使承包商的商务管理的必备技能，因此写作要求：ContractuallyTechnicallyLogicallyConciselyPrudentlyComprehensively,2022/12/7,不同合同格式的推荐,施工合同条件,推荐用于由雇主或其代
9、表-工程师设计的建筑或工程项目，承包商可以少量包含由承包商设计的土木、机械、电气或构筑物的某些部分。P&DB-生产设备和设计-施工合同条件推荐用于电气和机械设备供货及建筑或工程的设计与施工。由承包商按照业主要求，设计和提供生产设备和其他工程，可以包含土木、机械、电气和构筑物的任何组合。,EPC/T-设计采购/交钥匙工程合同条件,推荐用于以交钥匙的方式提供加工或动力工厂，由承包商进行全部设计、采购和施工，提供一个配备完善的设施，转动钥匙即可运行。简明合同格式推荐用于简单或重复性的、工期较短、资本金额较小的工程项目。,2022/12/7,三本书主要特点对比,2022/12/7,三本书主要特点对比,
10、三本书主要特点-风险分配,三本书业主风险的区别,三本合同文件主要特点,合同法律上生效？(P21)谁具体负责合同管理? 争端解决方式？如果DAB在合同中没有机制，有哪些影响？承包商实施工程，依据的合同文件？IPC的批复？如何确定进度款？通用条件中风险的分配？EPC 较多的风险不平衡的分配给承包商，投标人需要对工程类型有关的现场水文、地下及其他数据，花费更多的时间审查，评价此类风险。另外两个条件公平公正基础上，合理分配风险。FIDIC “Selection of the appropriate Book is critical to the success of a project. The fo
11、llowing general guidance to be referred page 22/35,2022/12/7,DB合同与EPC/T之间的区别分析,设计施工一体化，总价固定、成品交付（共同点）Design & Engineering的区别？Design: 单一专业方面的结构设计、外观设计、功能设计Engineering: 整个工程的整体策划，各阶段的管理策划，跨专业、跨功能的联动设计、组合设计，生产工艺流程设计，要求各专业产品功能配套、密切配合，发挥最佳功效。,设计比选阶段，DB合同签订前，业主已有较明确的设计要求和总体规划，DB承包商一般只需对方案进行细化和优化，以满足施工要求。
12、EPC项目合同签订前，业主只提出概念性的、功能性的要求，承包商要站在业主的角度提供选择并给出最优的设计方案。设计责任：DB由于业主要求错误，工程师可以变更和调整，EPC设计索赔几乎不可能。,续（一）,Site Data: 现场数据是指项目现场地下、水文条件及环境方面的所有有关数据. (4.10）合同价格的充分性（4.11 Sufficiency of the Accepted Contract Amount) Unforeseeable Physical Conditions (Difficulties 4.12)Employers Risks1）除合同规定以外雇主使用或占有的永久工程的任何部
13、分；,2）由雇主人员或雇主对其负责的其他人员所做的工程任何部分的设计（如果有）；3）不可预见的，或不能合理预期一个有经验承包商应已采取适当预防措施的任何自然力的作用。EPC合同中业主只承担极端状态下的风险，项目常态的风险都由承包商埋单。(不可抗力）结论： DB对于一个承包商所不能合理预见的风险一般不承担；EPC模式下，承包商除了承担设计建造模式下的风险外，还承担了许多一个承包商所不能合理预见的风险。,2022/12/7,项目采购策略 PROJECT PROCUREMENT,PROCUREMENT STRATEGY 针对如下方面做出决定：(P28)根据每个合同要实施的工程，并对每个合同要向承包商
14、提供、或由承包商自己提供设计的范围确定合同最终价格的方式 总额、测量估价、成本加成。Design by Employer:12条款MEASUREMENT/EVALUATION,提供了大量变更的机制，如果采用LUMP-SUM，变更时比较困难，可以考虑COST PLUS予以解决。Design by Contractor: Variations should be instructed as varied requirement with which the Contractors design must comply, and not as a varied design instructed b
15、y the Employer.,2022/12/7,项目干系人 STAKEHOLDERS,国际贸易联运示意MTO,Typical sequence of Principal Events during Contracts for Construction,最终账单何时达成一致？,国际工程商务合同管理实务目录 1 FIDIC合同条件简介/99版红皮书 2 理解合同优先顺序的重要意义 3 工程部分移交引发的风险 4 支付预付款的条件和时间表 5 合同争端解决机制DAB/ARBITRATION 6 针对亏损项目如何利用合同条件实现减亏? 7 业主的风险和不可抗力的区别？ 8 终止合同时，如何保障承包
16、商的权益? 9 从事国际工程施工管理的感受和体会,施工合同条件的优先顺序-priority,53,以红皮书条件为例 Sub-Clause 1.5 合同协议书（如已完成） 中标函 投标书 合同条件第二部分-特殊条件 合同条件第一部分-通用条件 技术规范 图纸 标价的工程量表,案例二 理解合同文件的优先顺序,背景介绍：塔吉克斯坦杜尚别一期房建开发项目（一栋商住&一栋办公楼）。业主：卡塔尔DIAR；监理：DAR。主要事件：7月10日 LETTER OF ACCEPTANCE7月19日 KICK OFF MEETING (THE TEMPLATE OF PERFORMANCE SECURITY)截至8
17、月初，承包商仍旧关于保函条件可转让/不可转让保持跟监理和业主协商，但是没有得到批复。8月6日 监理发出NOTICE TO PROCEED, 告知承包商8月15日项目开工；（42天）,8月10日，承包商中国银行通知阿拉伯银行多哈分行开具履约保函。8月15日，开工。8月16日，监理根据2.1POSSESSION OF SITE前提条件是提供给业主履约保函，结果WITHHOLD THE SITE。2.1-Right of Access to the Site The Employer shall give the Contractor right of access to, and possessi
18、on of, all parts of the Site within the time(or times) stated in the Appendix to TenderHowever, the Employer may withhold any such right or possession until the Performance Security has been received. /(accepted?),TYPICAL CASE,案例背景介绍,8月16日，RAMADAN 开始，阿拉伯银行多哈分行9天不工作。8月31日，阿拉伯银行上海代表处来函，称“塔吉克风险高，没有营业范围
19、”为由拒绝开具履约保函。阿拉伯银行是标书中规定的银行，当时投标保函就是该银行提供的。紧急磋商，承包商推荐ICBC DOHA BRANCH (ALTERNATIVE PROPOSAL)9月12日召开多哈专题会，与业主高层协商，业主同意接受ICBC。,2022/12/7,拖期罚款风险DELAY DAMAGE,9月19日 承包商提供了履约保函；9月21日 业主 监理 承包商共同移交和接受了现场（从开工到现在，36天）9月24日 预付款保函；RISK BEING ARISEN FOR DELAY (施工延误风险开始显现）合同中约定 7个KEY DATE，每个KEY DATE 都有DELAY DAMAG
20、E第一个KEY DATE 10月31日，要求住宅和办公出零平，总共75天的时间，而现场移交已经延误了36天。如何应对？?,SECURITY/GUARANTEE/BOND,履约保证是承包商向业主提出的保证认真履行合同的一种经济担保，一般有两种形式，即银行保函（Bank Guarantee）或叫履约保函（Performance Guarantee），以及履约担保（Performance Bond）。世界银行贷款项目一般规定，履约保函金额为合同总价的10%，履约担保金额为合同总价的30%以上。,保函或担保中的“保证金额”由保证人根据投标书附录中规定的合同价百分数折成金额填写，采用合同中的货币或业主可
21、接受的自由兑换货币表示。采用何种履约保证形式，各国际组织和各国的习惯不同。美洲习惯采用履约担保，欧洲则采用银行保函。只有世界银行贷款项目列入了上述两种保证形式。一般由业主自有选择采用任一种形式。亚洲开发银行则规定只能用银行保函。,2022/12/7,4.2 PERFORMANCE SECURITY,4.2 Performance Security/99FIDIC The Performance Security shall be issued by an entity and from within a country (or other jurisdiction) approved by t
22、he Employer, and shall be in the form annexed to the Particular Conditions or in another form approved by the Employer.The Employer shall return the Performance Security to the Contractor within 21 days after receiving a copy of the Performance Certificate. (FIDIC CONTRACT GUIDE PAGE208) 主收兑保函的4种情况未
23、能按照要求延长有效期（validity)Employers Claim 2.5 (payment as agreed and determined /awarded to be effected within 42days) 42天内没有支付。业主发出纠正违约的通知，（remedy a default, 42days failure)不管是否发出终止的通知，业主根据15.2有权终止的情况。如果业主Declaration is subsequently proved to be incorrect? The Contractor may have recourse under the Laws.
24、,2022/12/7,各类履约担保的分类,根据各方相互对立的愿望，保函可以分为有条件和无条件的担保（unconditional-on demand security and conditional security)根据与被担保的合同（contract)的关系，可以分为独立保函，即independent security 和从属担保，即Accessory Bond,GPPC附件中两种履约担保范例Annex C (page 115)Annex D (page 116)问题：这两个担保属于有条件还是无条件？是独立的还是从属的？适用的法律？（page212, Article 27)Signature
25、/Authorization ?,2022/12/7,各类保险单的介绍,Insuring Party（投保方）Policy/Evidence/Premium18.2 Insurance for Works and Contractors Equipment/99FIDIC/ (a) shall be effected and maintained by the Contractor as insuring Party,(b) shall be in the joint names of the Parties(Works/Plant/Material/Contractors Equipment
26、 & Documents) 问题：临时工程在工程一切险保单范围内吗？Page120 工程一些险的保险对象 Permanent Works+Goods+Contractors Document?b) 18.3 Insurance against Injury to Persons and Damage to Property(第三方责任险）c) 18.4 Insurance for Contractors Personnel（业主人员及工程师？)“Goods” means Contractors Equipment, Materials, Plant and Temporary Works, o
27、r any of them as appropriate.,2022/12/7,Letter of Acceptance,补救措施 (REMEDY )如何化解风险？,10月15日到达现场,研究合同条款提出应对措施；CAUSE-EFFECT根据合同文件的优先顺序论述索赔Commencement Date to be amendedPOSSESSION OF THE SITE (208 / 322/ P264)监理批复信函案例总结：Experience and lessonsImpossible is nothingWell begun is half doneRole of the Contra
28、ct Manager (lawyer and liar),国际工程商务合同管理实务目录 1 FIDIC合同条件简介/99版红皮书 2 理解合同优先顺序的重要意义 3 工程部分移交引发的风险 4 支付预付款的条件和时间表 5 合同争端解决机制DAB/ARBITRATION 6 针对亏损项目如何利用合同条件实现减亏? 7 业主的风险和不可抗力的区别？ 8 终止合同时，如何保障承包商的权益? 9 从事国际工程施工管理的感受和体会,工程移交 (临时验收）,工程尽早移交的意义？当前国际工程中，普遍存在移交滞后业主故意拖延接收工程？移交的必要条件？移交之后，遇到争议，如何根据合同条件，维护承包商的利益？,
29、2022/12/7,整体工程移交、单位工程移交、部分工程移交,10.1-Taking over of the Works and Sections (page386)Substantial Completion-移交条件（重视）Minor outstanding work(改变移交条件）17.2Contractors Care of the Works The Contractor shall take full responsibility for the care of the Works and Goods from the Commencement Date until the Tak
30、ing-Over Certificate is issued (or is deemed to be issued under Sub-Clause 10.1Taking Over of the Works and Sections) for the Works, when responsibility for the care of the Works shall pass to the Employer. If a Taking-Over Certificate is issued (or is so deemed to be issued) for any Section or part
31、 of the Works, responsibility for the care of the Section or part shall then pass to the Employer.,2022/12/7,竣工文件滞后 中国承包商的普遍存在的问题4.1 Contractors General Obligations,rior to the commencement of the Tests on Completion, the Contractor shall submit to the Engineer the “as-built” documents and operation
32、 and maintenance manuals in accordance with the Specification and in sufficient detail for the Employer to operate, maintain, dismantle, reassemble, adjust and repair this part of the Works. (Page 200) 红皮书 Sub-Clause 4.1 (d),Such part shall not be considered to be completed for the purposes of takin
33、g-over under Sub-Clause 10.1 Taking Over of the Works and Sections until these documents and manuals have been submitted to the Engineer. (Page 302 304 306) DB &EPCT SC 5.5 5.6 5.7Clause 9 Tests on Completion (Page 376),2022/12/7,案例三 工程部分移交引发的风险,CASE 非洲某机场 AIRPORT TERMINAL BUILDING2010年南非世界杯 仓促上马，边设
34、计边施工，变更超过几百项。工程移交没有SECTION，PHASE 1 &2 (PART)PHASE 1 TAKING OVER 2010 5 18由于部分移交后，有很多质量缺陷，最终埋下隐患。PHASE 2 移交的前提是（监理）一期消缺完成。由此导致合同终止，目前正在进行ARBITRATION.合同中没有DAB 机制。问题：如果按照10.2，得到了移交证书，那么此部分工程是否进入了质保期？,TAKING OVER CERTIFICATE,根据10.1【Taking Over of the Works and Sections】移交与10.2【Taking Over of parts of th
35、e Works】移交的区别？移交证书内容“in terms of Clause 10.2 of the FIDIC Conditions of Contract for Construction First Edition of 1999, we hereby certify that the Works carried out under the above Contract, except for the items listed on an attached defects schedule, are deemed to have been completed for the purpo
36、ses of occupation by the Employer in terms of Contract Document volume (page9),1.1.3.7 “Defects Notification Period” means the period for notifying defects in the Works or a Section (as the case may be) under Sub-Clause 11.1Completion of Outstanding Work and Remedying Defects, as stated in the Appen
37、dix to Tender (with any extension under Sub-Clause 11.3 Extension of Defects Notification Period), calculated from the date on which the Works or Section is completed as certified under Sub-Clause 10.1 Taking Over of the Works and Sections. （熟悉FIDIC中名词解释，意义重大),施工合同条件10.2条款解读,The Engineer may, at the
38、 sole discretion of the Employer, issue a Taking-Over Certificate for any part of the Permanent Works.The Employer shall not use any part of the Works (other than as a temporary measure which is either specified in the Contract or agreed by both Parties) unless and until the Engineer has issued a Ta
39、king-Over Certificate for this part. DB & EPCT可以部分移交吗？ 如果合同中没有规定关于部分工程的占用，我们可以索赔有关费用吗？ 是业主的风险吗？,续10.2,However, if the Employer does use any part of the Works before the Taking-Over Certificate is issued:(a) the part which is used shall be deemed to have been taken over as from the date on which it i
40、s used,(b) the Contractor shall cease to be liable for the care of such part as from this date, when responsibility shall pass to the Employer, and(c) if requested by the Contractor, the Engineer shall issue a Taking-Over Certificate for this part.,2022/12/7,Clause 9-Tests on Completion竣工试验的安排（如果业主提
41、前占用）,After the Engineer has issued a Taking-Over Certificate for a part of the Works, the Contractor shall be given the earliest opportunity to take such steps as may be necessary to carry out any outstanding Tests on Completion. The Contractor shall carry out these Tests on Completion as soon as pr
42、acticable before the expiry date of the relevant Defects Notification Period.,合同终止,根据合同，PHASE 1新航站楼移交后，开始二期（原航站楼拆除及与一期连接）的施工。一期移交后(part)，基本满足运行要求，业主的利益没有被剥夺，但是由于有大量的缺陷，而需要很长时间消缺。一期移交后，监理还在发变更，在整个项目施工过程中（一期和二期），图纸修改达598次、设计变更累计有339项、工期遭遇延误。二期基本结束后，承包商反复提交移交申请，要求二期移交。监理提出二期移交的前提是一期的缺陷完成。由于没有消完缺而拒绝接受此申
43、请。承包商认为，已经尽最大努力，在开展消缺的工作。而且认为按照10.2移交，一期还没有进入维修期。业主认为一期完成后，将近两年的时间，一期的缺陷还没有完成，是承包商放弃了履约责任，而以15条款的规定终止了合同。,2022/12/7,移交后监理是否还可以发变更？,13.1【Right to Vary】Variations may be initiated by the Engineer at any time prior to issuing the Taking-Over Certificate for the Works, either by an instruction or by a r
44、equest for the Contractor to submit a proposal.承包商有权拒绝执行变更吗？积极推进成立DAB，通过DAB来解决一系列的合同争端。,DECISION GIVEN BY THE DAB,DECISION GIVEN BY DAB,承包商在如下情况如何维权？,假如一个公路项目，承包商收到了移交证书，工程照管的责任转给了业主。由于交通事故（不是承包商人员造成的），护栏被撞坏，业主（或监理）来函要求承包商进行修复，没有说维修费用由谁来承担，我们承包商根据合同，如何正式回复，确保承包商的权益？承包商要执行监理或业主发出的INSTRUCTION, 有义务执行。（
45、EXECUTION & REMEDYING)为什么？（13.1 RIGHT TO VARY),2022/12/7,有关合同条款,11.1 Completion of Outstanding Work and Remedying DefectsThe Contractor shall:(b) execute all work required to remedy defects or damage, as may be notified by (or on behalf of) the Employer on or before the expiry date of the Defects No
46、tification Period for the Works or Section (as the case may be).If a defect appears or damage occurs, the Contractor shall be notified accordingly, by (or on behalf of) the Employer.,2022/12/7,修补缺陷、损坏的费用,11.2 Cost of Remedying Defects All work referred to in sub-paragraph (b) of Sub-Clause 11.1 Comp
47、letion of Outstanding Work and Remedying Defects shall be executed at the risk and cost of the Contractor, if and to the extent that the work is attributable to:any design for which the Contractor is responsible,Plant, Materials or workmanship not being in accordance with the Contract, orFailure by
48、the Contractor to comply with any other obligation.(insurance cover to be maintained during DNP)If and to the extent that such work is attributable to any other cause, the Contractor shall be notified promptly by (or on behalf of) the Employer, and Sub-Clause 13.3 Variation Procedure shall apply.,20
49、22/12/7,承包商的应对措施,根据11.2条款规定，这个损坏是否是承包商造成的？显然，护栏的损坏是因为道路使用者由于交通事故造成的损坏，因此在监理或者业主通知承包商修复损坏的护栏，在没有提及任何有关费用的情况下“the necessity for remedial work is attributable to any other cause, then 13.3 Variation Procedure shall be applied. ”He should promptly respond to the notice by giving notice and detailed part
50、iculars of his claim in accordance with the procedure specified in Sub-Clause 20.1.,2022/12/7,18.2 Insurance for Works & Contractors Equipment,业主是否可以通过工程一切险得到费用的补偿？The insuring party shall insure the Works, Plant, Materials and Contractors Documents for not less than the full reinstatement cost incl
