國際工程合同十大法律風險TOP10LegalRisksfor趙東峰安泰賽斯國際項目管理咨詢（北京）有限公司AntecessorInternationalPMConsulting(BeiJing)Co.,LTD.演講人安泰賽斯國際項目管理咨詢公司特聘專家畢業(yè)于北京大學法學院，曾任職于中國某著名大型國際承包商，作為合同和法律事務管理人員參與了該公司多個大型國際EPC工程項目，并具有常駐境外參與項目具體實施的經驗?，F(xiàn)為英國品誠梅森-合森中國項目與工程律師聯(lián)盟核心成員。他為境內、境外幾十家國際工程承包商的數(shù)十個國際工程項目提供了爭議或非爭議法律服務，尤其在國際工程仲裁與爭議解決方面，為中國多家承包商在海外項目發(fā)生的包括ICC仲裁、UNCITRAL仲裁以及當?shù)卦V訟在內的爭議提供過法律服務，是我國能夠在國際工程仲裁和爭議解決領域提供法律服務的領先中國本土律師之一。參與撰寫了中國對外承包工程商會主持編寫的《國際工程總承包項目管理規(guī)范》中“爭議解決”篇；應《國際工程與勞務》雜志邀請，發(fā)表多篇有關國際工程管理、合約和法律方面的居于實踐前沿的文章。為多家國內大學、協(xié)會組織、工程公司講授國際工程法律、合約和管理方面的課程。受維也納大學邀請，為其國際工程法法學碩士研究生講授國際工程法課程，他是唯一一位受到該邀請的中國律師。2趙東峰ZhaoDongfeng中國承包商似乎給當?shù)貛硪还尚迈r空氣，他們只關心工程本身，缺乏合同、工程法律知識，合同觀念淡漠，可能附加成本巨大，卻又不進行有力的索賠，同時確實具有實施任何一個項目的財力和實力，這對雇主確實是最佳選擇。摘自英國某咨詢工程師向其雇主提供的竣工報告《標準建筑合同比較研究——以中英為視角》歐海燕2010

開場白3今天的話題一個關于“TOP10”的趣味游戲仁者見仁智者見智：國際工程合同十大法律風險討論與分享：您心中的“TOP10”總結與建議Q&A4Aninterestinggame–TOP10Subject:WhataretheTOP10legalrisksyouthinkwhenreviewinganinternationalconstructioncontract(nottakingaccountoftheparticularityofacertainproject)?

列舉出您認為的國際工程合同審查時的十大法律風險Organizer:

ZhaoDongfengParticipants:

JohnBishop,HewKianHeong,ShouravLahiriGameRules:Participantssendtheirownopinionsbyconfidentialemailandnooneknowstheanswerofothers.5YourTOP10？(2012.10.27)請大家在10-15分鐘左右的時間內，列出您各自心目中的“TOP10”不限于合同和法律風險6JohnBishop’sTOP101.Applicablelaw/適用法律2.Disputeprocess/爭議解決3.EOTprovisions/工期延長條款4.LDs(DelayandPerformance)/延誤和性能違約金5.Capsonandexclusionsfromliability/責任限額和除外情形6.Cashrisk/資金風險7.Unrecogniseddesignrisk/EmployerData/未識別設計風險和業(yè)主資料8.ConditionsPrecedenttoentitlement/前提條件9.PerformanceSecurity/履約擔保10.Groundsfortermination/合同解除理由7HewKianHeong’sTOP101.Paymentrisk/支付風險2.Designresponsibility/設計責任3.AbuseofEmployer/Engineer‘srighttoapprovedesign/業(yè)主或工程師濫用設計審批權4.LimitedrightofContractortoclaimadjustmentofContractPrice承包商要求調整合同價格權利的限制5.AbusebyEmployerofperformancesecurity/業(yè)主惡意索賠保函6.OnerousprocedurestoclaimEOTandadditionalpayment/索賠工期和費用程序繁瑣7.Employer‘sverybroadpowertoordervariations/業(yè)主指令變更權利過大8.LimitsofliabilityonLDs/違約金責任限額9.IncompatibilityofChinesestandardsandlocal/internationalstandard/中國標準與當?shù)鼗驀H標準不兼容10.Ineffectivenessofdisputeresolutioninpractice/爭議解決程序無效8ShouravLahiri’sTOP101.Multiplecurrencies/多種支付貨幣2.Definitionofforcemajeure/不可抗力定義3.PerformanceBonds/履約保函4.Applicablestandardsandcodes/適用標準5.Partiestothecontract/合同當事人6.Notificationofdelayevents/claims/索賠通知7.Insurance/保險8.Termination/解除9.Suspension/暫停10.Governinglawanddisputeresolutionprocess/準據(jù)法與爭議解決過程9MyTOP101.稅(Tax)2.匯率(ExchangeRate)3.法律變換和價格波動(ChangeoflegislationandPriceEscalation)4.許可(Permits)5.技術標準(TechnicalStandards)6.設計責任(DesignResponsibility)7.損害賠償金與責任限制(LDs&LimitationofLiability)8.合同解除(TerminationofContract)9.適用法律(ApplicableLaw)10.索賠與爭議解決(ClaimandDisputeResolution)1011Bycomparison–all4oneItemJohnHewShouravDongfengApplicablelawandstandards√√√√Disputeresolution√√√√Performancesecurity√√√√Paymentandcurrency√√√√ConditionsPrecedent√√√√12BycomparisonItemJohnHewShouravDongfengEOTandCostClaims√√√LDsandLimitationofLiability√√√DesignResponsibility√√√Termination√√√13BycomparisonItemJohnHewShouravDongfengVariation√ForceMajure√Partiestothecontract√Insurance√Suspension√Tax√Permits√Pleasenotethattherearenostandardanswersatall.

仁者見仁，智者見智

適用法律與標準ApplicableLawandStandards

14LocalLaw/LawClause/ChangeofLawWhatlawistoapply?Lookatthelocallawsapplicabletothecontractandtenderingprocessestochecktheenforceabilityofthecontractgenerallyandofparticulartermssuchasthelanguageandlawclausesetc.DoestheEmployertaketheriskofachangeoflaw?15JohnBishop/莊本信IncompatibilityofChinesestandardsandlocalorinternationalstandards16HewKianHeong/丘健雄makeexpressmentionofagoverninglaw(anylaw,butmentionit)makecleariflocalstandards,British/AmericanstandardsorChinesestandardstobeusedforassessingperformanceofwork.Forprocessplants,theremightbeamixofstandards(civilworkstolocalstandards,processtoChinesestandards).Inthatcase,considerclearseparationand,incaseofconflict,apriorityprovision.17ShouravLahiri/肖瑞夫

爭議解決DisputeResolution18ReviewtheDisputesProcesstoseewhetheritoffersaspeedyinterimdisputesprocess(e.g.DAB),

andanoperablefinaldisputesprocessi.e.arbitrationresultinginanenforceable19JohnBishop/莊本信IneffectivenessofdisputeresolutioninpracticetoallowContractortoproperlyenforcehisrights:norighttoarbitratebeforeprojectcompletionlocalarbitrationorcourtdelayindisputeresolutionprocessdifficultyinenforcement20HewKianHeong/丘健雄ifchoosingarbitration,identifytheproperarbitralinstitutionatleastasthatwillatleasttakecareofanyomissionsinnecessaryinformation.Chooseaseat,languageandnumberofarbitratorsifyoucan.21ShouravLahiri/肖瑞夫

履約擔保PerformanceSecurity22WhataretheContractor’sbondingobligations?Aretheyondemand?Istherenoticebeforeacall?Isthereaprovisiondealingwithrepaymentfollowingawrongfulcall?23JohnBishop/莊本信AbusebyEmployerofperformancesecurity.24HewKianHeong/丘健雄forChinesecontractors,ifpossible,shouldtryandgettheOwnertoacceptabondfromaChinesebankpreferablyabranchoftheBankinChina,notthelocalbranchoftheChinesebank.Mayallowforeasierinjunctiverelief.25ShouravLahiri/肖瑞夫

支付與幣種Payment&Currency26CashriskIspaymentsecured?Howlongistheperiodbetweenthetimewhencostisincurredandtermination/suspensionfornonpaymentispossible?Isthereretentionmoneyandcanitbeexchangedforabond?Howgreatisthecashconsequenceofanimproperbondcall27JohnBishop/莊本信therightoftheContractortobepaidontimepaymentmechanismpaymentmethodlinkagewithcashflowandprogressofworktheprotectionaffordedtotheContractorifhedoesnotgetpaidontimerighttoaskforevidenceoffinancingpaymentsecurityrighttosuspendorterminaterighttogotodisputeresolution.28HewKianHeong/丘健雄MultiplecurrenciesIfcontractpriceisstipulatedinonecurrencybutisbeingpaidintwoormorecurrencies,butthecontractor'scostsarenotinthesamecurrenciesorinthesamecurrenciesbutnotinthesameproportionsasthepaymentsplit,thenneedeitheraprovisionthatallowsforadjustmentuponchangesinexchangeratesbetweenthecurrenciesorthecontractorneedstoconsiderhedging.29ShouravLahiri/肖瑞夫Suspensionsomecountries'lawsmayallowthecontractorastatutoryrighttosuspendperformanceoftheworkfornon-paymentofinterimcertificates,eventhoughthereisnocontractualprovisionallowingit.Justensurethereisnocontractualprovisionexpresslyremovingthecontractor'srighttososuspendifthecontractissilentonthispoint,itsbetter.30ShouravLahiri/肖瑞夫

前提條件ConditionsPrecedent31ConditionsPrecedenttoentitlementWhatmusttheContractordotoobtainentitlements?Whatistheconsequenceoffailingtomeettheconditionsprecedent?32JohnBishop/莊本信OnerousprocedurestoclaimEOTandadditionalpaymentnoticerequirementslevelofproof33HewKianHeong/丘健雄Notificationofdelayevents/claimscheckiftheyarestatedtobe(a)conditionprecedentsbarringentitlementor(b)requirements,thefailuretocomplywithwhichmayprejudiceextentofrecovery.Tryandavoid(a)typeofclausesifpossible.Butinadministeringthecontract,putinplacepropernotificationproceduresanywayassomecountries'lawswillupholdConditionsPrecedentclausesstrictly.34ShouravLahiri/肖瑞夫

工期延長與費用索賠ExtensionofTime(EOT)andCostClaims35EOTprovisionsWhenistheContractorentitledtoanEOT?IfadvisinganEmployer,isthereatimeatlargerisk?36JohnBishop/莊本信LimitedrightofContractortoclaimadjustmentofContractPricei.e.materialcostescalationchangeoflawunforeseengroundconditionscurrencyfluctuationrisketc.37HewKianHeong/丘健雄

違約金與責任限額LDsandLimitationofLiability38LiquidatedDamages(LDs,forDelayandPerformance)Whatisthelevel?Aretheycappedandifsoatwhatlevel?Isitanexclusiveremedy?Aretheycapableofattackunderthelocallaw?39JohnBishop/莊本信CapsonandexclusionsfromliabilityandgroundsforbreachingcapIsthereacap?Whatliabilitiesareexcluded(e.g.consequentiallosses)?Arethecapandexclusionsenforceableunderthelocallaw?Whencanthecapsbebreached?40JohnBishop/莊本信(Cont’d)WhetherthecontracthaslimitsofliabilityonLDs(delayand/orperformance)andoveralllimitonliability.41HewKianHeong/丘健雄

設計責任DesignResponsibility42Unrecogniseddesignrisk/EmployerDataIftheContractorhasadesignrisk,isitwhatheexpected?Doeshehaveahiddendesignrisk(heselectionofplantandmaterials)?Ishetakingadesignriskbecausesubcontractorshaveone?Ifsohowisitsecured?Ifheneedsdesignapproval,whatistheprocessandisitcapableofbeingabused?(e.g.mustallcommentsbegivenatthefirstopportunity?)

Isthereaco-ordination/interfacerisk?IstheEmployeracceptinganyrisk(hesiteorotherconditionsandintheinformationheprovidestothecontractor)43JohnBishop/莊本信DesignresponsibilitywhatmustContractordesignfreedomofchoiceliabilityfordesignfailure.AbuseofEmployer/Engineer'srighttoapprovedesign.44HewKianHeong/丘健雄

解除Termination45GroundsforterminationWhatarethegroundsfortermination?Aretheyreasonable?Isthereacureperiod?46JohnBishop/莊本信Terminationforconveniencesomecountries'lawsdonotallowforacontractualrighttoterminateforconvenience.Iftheownerseekstoexercisethisprovision,thecontractormaybeabletoresistit(tostrengthenhisbargainingpositionindiscussionsofpostterminationdamagespayment).47ShouravLahiri/肖瑞夫

變更Variation48Employer'sverybroadpowertoordervariationsandtorequireCto"performfirst,claimlater".49HewKianHeong/丘健雄

不可抗力ForceMajure50Definitionofforcemajeureincontractswhichhaveanoffshoreelementinadditiontoanonshoreelementshouldensurethatwar,insurrectionetcintheoffshorecountryalsoqualifyasforcemajeureevents.51ShouravLahiri/肖瑞夫

合同當事人PartiestotheContract52makesurethattheentitysigningthecontracthastheappropriateauthoritytodosoifagovernmen