1、FIDIC合同條款解讀與應(yīng)用實(shí)務(wù)（包括對提升國內(nèi)項(xiàng)目合約管理水平的啟示）,香港中信裕聯(lián)投資有限公司 田威 ,1,一、繼續(xù)教育的重要性,先提一個(gè)問題： 什么是教育？ 你的答案是什么？ 孔子：有教無類 vs Caste system 我最欣賞的答案是 ,2,每個(gè)企業(yè)高管都是一本書 我的原則是給大家講故事，也就是真實(shí)案例（都是我親自處理過的項(xiàng)目），再與大家分享并探討相關(guān)思考。 所有條款原本是英文，但我給大家用中文講，同時(shí)給出英文的原件，并提供一些常用的英文例函，供大家做第一線業(yè)務(wù)時(shí)可以直接就作為參考資料（也可安排另外就此再開一個(gè)專門的實(shí)用課程），方便拿來即用。 互動(dòng) + 啟發(fā)。 身邊的案例 ，梁定邦

2、的故事，etc.,3,二、什么是FIDIC？,在合同文本的選擇上，業(yè)主（咨詢工程師）占據(jù)主導(dǎo)地位是一個(gè)必須面對的客觀現(xiàn)實(shí)，投標(biāo)項(xiàng)目尤其如此 在實(shí)踐中一定要學(xué)會(huì)主動(dòng)向有經(jīng)驗(yàn)的過來人請教，商務(wù)上是否靠譜，技術(shù)上是否可行，從而有效規(guī)避風(fēng)險(xiǎn)。 FIDIC是法文Fdration Internationale des Ingnieurs-Conseils的縮寫，中文常譯為“菲迪克”。1913年成立。 源于英國的ICE合同，英文是工作語言，99版第1.4款/77版和87版第 5.1款。例如，在99版第14款/77版和87版第60款中， Interim Statement, Interim Certifica

3、te, Interim Payment 與中文“驗(yàn)工計(jì)價(jià)”的不同。 ICE 1945 年頒布，此后修訂分別在1951 年（第二版）、1955 年（第四版）、1973（第五版）、1991 年（第六版）；JCT（房屋建筑）； FIDIC 1957（第一版，紅皮書），此后修訂分別在1969 年（第二版）、1977 年（第三版）、1987 年（第四版）、1988 年（第四版修訂版）、1992 年（第四版再次修訂版）及1999 年（第一版，F(xiàn)irst Edition 1999）。 操作層面上的“三步曲”：走出去，走進(jìn)去（海外市場立足），走上去（不斷提升），重要的是最終還要回得來！出世英雄 vs 全身而退

4、 走出去，要接軌 “一帶一路”的機(jī)會(huì) vs 亞洲基礎(chǔ)設(shè)施投資銀行,5,FIDIC約每十年會(huì)做一次大的修訂，其合同內(nèi)容集合工業(yè)發(fā)達(dá)國家建筑業(yè)上百年的經(jīng)驗(yàn)以及各合約范本之大成，是把工程技術(shù)、法律、經(jīng)濟(jì)和項(xiàng)目管理等有機(jī)結(jié)合起來的一個(gè)合同條件，故又稱為國際工程合同之“圣經(jīng)”。 FIDIC紅皮書編制過程嚴(yán)謹(jǐn)，有相當(dāng)?shù)臋?quán)威性，基本上是國際工程慣例之具體反應(yīng)，其特點(diǎn)是風(fēng)險(xiǎn)分擔(dān)比較公平，故可作為比對某項(xiàng)工程合同是否公平合理之重要參考。 ICE pro-Employer，1818年成立，完全買方市場； FIDIC pro-Contractor，香港的真實(shí)案例。 99版的特點(diǎn)：把87版和77版的72個(gè)條款合并同類

5、項(xiàng)后變成20個(gè)條款（新紅皮書、新黃皮書和銀皮書都是20個(gè)條款，綠皮書是15個(gè)條款）。 FIDIC是合同的標(biāo)準(zhǔn)范本，是法律文件，不是IT，不是高科技。FIDIC受普通法的影響很深。,FIDIC vs The Vickrey Auction (Uniform Second-price),The uniform second-price auction is commonly called the Vickrey Auction, named after William Vickrey, winner of the 1996 Nobel Prize in Economic Sciences, who

6、 classified it in the 1960s. It is a sealed-bid English auction（拍賣） (ascending-price; vs Dutch auction（投標(biāo)）, descending price) with an important concept that the highest bidder wins but only pays at the second-highest bid price. Why is the Vickrey Auction significant? Because it is designed to induce

7、 truthful-revelation This variation over the normal bidding procedure is supposed to encourage bidders to bid the largest amount they are willing to pay. Most auctions are first-price auctions with either open-outcry or sealed bid format. The winner is the highest bidder, and correspondingly pays th

8、eir bid.,Like the first-price auction, each bidder is ignorant of other bids while the bids are sealed (instead of open-outcried, NOTE: it is imperative to seal the bid). But the item is awarded only to highest bidder at a price equal to the second-highest bid (or highest unsuccessful bid). In a sea

9、led-bid auction, bidders generally try to shade their bids slightly under their true valuation of the product, thereby creating an opportunity to win the auction and pay less than their valuation (profit-oriented). Bidders do this to avoid the problem of “winners curse”: an idea that the winner of a

10、n auction generally overvalues the product and he will be the final loser. Nonetheless, auction sellers do not wish for players to shade their bids and have developed alternative-style auctions (William Vickreys observation and Theory). In other words, a winner pays less than the highest bid. If, fo

11、r example, bidder A bids $10, bidder B bids $15, and bidder C offers $20, bidder C ($20) would win, however he would only pay the price at the second-highest bid ($15), namely bidder B.,Q and A,BUT What about changing the format just a little and having a second-price, open-outcry auction? In such a

12、 case, participants could bid in the ascending (say English way) format and the winner would ultimately pay the price of the second-highest bid. One might imagine that such an auction would have much the same results as a typical English (ascending, open-outcry) auction, but, in fact, an auction lik

13、e that would be easy to manipulate. Imagine bidder A bidding $25 for an item worth $100. Some other bidder could quite easily and safely bid $750, knowing that no one will bid more and that he will safely get it by only paying $25. It is clearly imperative to seal the bid in a Vickrey Auction instea

14、d of open-outcry.,Again expounding Example of William Vickrey Theory: Assume a Vickrey Auction for 2 Super Bowl Tickets（National Football League, USA） Your own personal valuation of these tickets is $3,000. What would happen if you place a bid greater than $3,000 (for example, $3,100) hoping to incr

15、ease your chances of winning, and knowing that you only need to pay the second highest bid if you win ? 1st scenario: the second highest bid is $2,800; you win the tickets with your bid of $3,100, and pay $2,800. This is the same outcome if you had bid $3,000. 2nd scenario: the second highest bid is

16、 $3,050; you win the tickets with your bid of $3,100, but you pay $3,050. This price is greater than your valuation and therefore is a bad outcome. 3rd scenario: the second highest bid is $3,200; you lose the tickets with your bid of $3,100. But you would have lost with a bid of $3,000 as well.,Now

17、assume that your bid is less than $3,000 (for example, $2,900) hoping to win the tickets at a lower price. 1st scenario: the second highest bid is $2,800; you win the tickets with your bid of $2,900, and pay $2,800. This is the same outcome if you had bid $3,000. 2nd scenario: the second highest bid

18、 is $2,950; you lose the tickets with your bid of $2,900. You would have won with a bid of $3,000. 3rd scenario: the second highest bid is $3,200; you lose the tickets with your bid of $2,900. But you would have lost with a bid of $3,000 as well. CONCLUSION: Under a Vickrey Auction, all players have

19、 the optimal strategy to truthfully reveal their personal valuation of the auctioned product.,三、為什么要學(xué)好 FIDIC？ 國際慣例對項(xiàng)目合同管理的實(shí)用價(jià)值,項(xiàng)目啟動(dòng)從保函開始，如何“倒立看世界”（馬云）？ 保函的種類 。無知帶來風(fēng)險(xiǎn)，遇事要多問個(gè)為什么？ 投標(biāo)保函（？%），為什么？實(shí)際應(yīng)用。 （not less than 的含義，分析競爭對手的標(biāo)價(jià)）； 案例：差價(jià)860萬澳門元 vs 2.6億澳門元合同額及營業(yè)額，860萬/2.6億 = 3.3%；意見分歧與決策/貔貅 預(yù)付款保函（？%）； 履約保

20、函（？%）； 保留金保函（？%）/（2.5%+2.5%）具體操作，鐵路大廈案例。 老子 前識(shí)者，道之華，而愚之始。是以大丈夫處其厚，不居其?。惶幤鋵?shí)，不居其華。 Authentication vs Endorsement / Counter-guarantee，轉(zhuǎn)遞行（通知行）通常只收10200美元。 總承包商應(yīng)爭取采用與投標(biāo)總價(jià)表述相同的當(dāng)?shù)剀涁泿砰_出保函（避免用美元或歐元等硬通貨），可減少承包商未來面對的風(fēng)險(xiǎn)（時(shí)間導(dǎo)致貶值）。 若保函中沒有寫明適用法律，則發(fā)生爭端后適用的是擔(dān)保銀行所在地法律。 保險(xiǎn)的實(shí)用性。 案例 保險(xiǎn)業(yè)務(wù)的實(shí)質(zhì)？Mercedez 被偷N次。 保險(xiǎn)公司一定要在保單經(jīng)過律師

21、的確認(rèn)之后才會(huì)做保險(xiǎn)。,英文例函,Project Manager Date The Employer Dear Sir, Re: Performance Security We have pleasure in enclosing our original Performance Bank Guarantee as required in accordance with Clause 4.2 (Performance Security) (87版是Clause 10.1) of the Conditions of Contract. This Guarantee has been issued

22、 by Chinese ABC Bank and authenticated by local XYZ Bank in the Form as approved in your response letter Ref. No . Dated . We trust that this will be entirely satisfactory to you and would appreciate your acknowledgement for our record. Yours faithfully, Project Manager The Contractor (Co. Ltd) cc:

23、Engineer in Chief The Engineer (with photocopy of authenticated Performance Bank Guarantee),Engineer in Chief Date The Engineer Dear Sir, Re: Evidence and Terms of Insurance We are writing to confirm that pursuant to Clause 18 (Insurance) (87版是Clause 25.1 ) of the Conditions of Contract that we are

24、providing the policies of Insurance to the Employer c/o you the Engineer. The Insurance effected are consistent with all the terms agreed prior to the issue of the Letter of Acceptance. Yours faithfully, Project Manager The Contractor (Co. Ltd) cc: Project Manager The Employer,英文例函,學(xué)以致用，知其然，知其所以然，必須

25、在實(shí)踐中可以操作，摒棄教條和束之高閣的理論！ 做項(xiàng)目要理性引領(lǐng)，從實(shí)際出發(fā)，進(jìn)行動(dòng)態(tài)管理，終歸蛇形正途。 下面的案例，如果時(shí)間緊就不再講了。 案例一 Practice lawyer vs CV of Professor/Senior Engineer）。 案例二 履約保函的“On Demand”與違約通知證據(jù)/Webster Project,見附函Conditions Precedent等。 案例三 Mauritius注冊公司（SPV） 電話會(huì)前的方案，而會(huì)上突然提出建議方案，當(dāng)機(jī)立斷的決策。,銀行賬戶簽字 原則：制約 + 便捷,Group A（51%） Group B（49%） 索 劉 田

26、楊 宋 Any one signatory from Group A JOINTLY with any one signatory from Group B. （五位均為公司董事） For any amount less than US$ 50,000.00 SINGLY by MD Song（宋，董事總經(jīng)理）,對方電話突然提出的問題,當(dāng)?shù)胤梢?guī)定：A + B組的每組簽字人里都要再加入一個(gè)當(dāng)?shù)厝耍?dāng)?shù)厝丝梢酝耆皇切问剑⊕烀?，秘書職?wù)），實(shí)際上不一定要簽字。 把報(bào)給銀行的A + B兩組改成如下，可以嗎？ Group A（51%） Group B（49%） 索 劉 田 楊 宋 Gupta（秘書

27、公司） Adalahe（秘書公司）,有否制約？ 爭論： 可在附注里寫明當(dāng)?shù)厝藳]有簽字權(quán)！OK？ 答案是不可以 如果真的發(fā)生了與當(dāng)?shù)胤上嚆５那樾危瑒t這個(gè)附注就是廢紙一張！ 抱怨： 怎么突然襲擊呢？要想一想，別是陷阱！ 解決辦法 Any two signatories from Group A JOINTLY with any two signatories from Group B. It was further resolved that any director or the secretary be authorized to undertake the necessary formal

28、ities to give effect to the above bank signatories.,1999年版,四、FIDIC合同條件的彩虹系列（族）,紅皮書（土木建筑工程) 黃皮書（機(jī)電設(shè)備供貨） （比銀皮書要親承包商） 白皮書（設(shè)計(jì)咨詢合同） 橙皮書（D + B） 銀皮書（EPC）（轉(zhuǎn)嫁風(fēng)險(xiǎn)，干涉權(quán)） （承包商喜歡修改黃皮書 去做EPC交鑰匙合同） 綠皮書（簡短格式） 金皮書（DBO）（黃皮書的“化妝版”） 2007年版,1987年版,25,FIDIC First Edition 1999 New Rainbow Series Model,FIDIC Gold Book, Septe

29、mber 2007, also referred to as the cosmetic edition of Yellow Book,五、黃皮書的特點(diǎn),因2007年版的金皮書（Conditions of Contract for Design, Build and Operate Projects，簡稱DBO）源于黃皮書，故再講些黃皮書的內(nèi)容。 黃皮書英文全稱： Conditions of Contract for Electrical and Mechanical Works including Erection on Site（3rd Edition 1987）； Conditions o

30、f Contract for Plant and Design-Build（First Edition 1999） 新黃皮書。 什么時(shí)候用黃皮書？ JV很普遍（土建 + 機(jī)電：優(yōu)勢互補(bǔ)，風(fēng)險(xiǎn)共擔(dān)）。 黃皮書做EPC項(xiàng)目要比銀皮書親承包商（pro-Contractor）（部分敞口合同，有變更及調(diào)價(jià)條款，亦可以索賠，至少土建有機(jī)會(huì)）。 承包商負(fù)責(zé)設(shè)計(jì)，還要負(fù)責(zé)所有現(xiàn)場操作及工程施工的方案。 技術(shù)標(biāo)準(zhǔn)和法規(guī)：（第15.2款合同一般條件/99版第5.4款）符合項(xiàng)目所在國的（！) vs 中國規(guī)范（力爭）。 評標(biāo)分兩步走：技術(shù)標(biāo) + 商務(wù)標(biāo)。 設(shè)備供貨 vs 使用/維修手冊 vs 爆破圖（要小心!） 試車

31、 vs 最終驗(yàn)收（PAC vs FAC,紅皮書中的另一種叫法）。,黃皮書與紅皮書的主要差別,重視專利和知識(shí)產(chǎn)權(quán)（99版第17.5款/87版77版第16款）。 實(shí)例：不侵權(quán)之宣/Prior Art/已屬先有技術(shù)了。 承包商的設(shè)備（Equipment） vs 設(shè)備Plant（黃）vs 永久設(shè)施（紅）。 現(xiàn)場/發(fā)貨前的監(jiān)制 vs 利弊。 付款方式 計(jì)價(jià)單 Schedule of Prices（黃/第1.1.27款/99版第14.4款Schedule of Payments） vs 工程量價(jià)單 Bill of Quantities （紅）； L/C 更類似貿(mào)易合同； en route （第33.2(b

32、)款的語言和描述 in respect of Plant shipped and en route to the Site , 對 Site 的定義要十分謹(jǐn)慎，99版第14.5款 Plant and Materials . have been shipped to the Country, on route to the Site . in a clean shipped bill of lading or other evidence of shipment . freight and insurance . 付款時(shí)限 （定量制約） 14天+28天（黃皮書第33.333.5款）vs 28天+

33、28天（87版紅皮書第60款）vs 從承包商把驗(yàn)工計(jì)價(jià)單呈交給咨詢工程師后56天內(nèi)（99版紅皮書第14.6和14.7款）vs 28天+30天（77版紅皮書第60款）；而99版銀皮書第14.7(b)款直接就是56天（因無咨詢工程師）。 99版第14.8款/黃皮/第33.6款：如果延誤了付款？承包商有權(quán)追索利息損 失：承包商本國的中央銀行貼現(xiàn)率（discount rate）（or Libor）+ 3% + 其它權(quán)利； 上述“其它權(quán)利”包括了在未收到付款后的14天通知（停工）+ 28天，即行終止合同（第33.7款/99版第16款）。,黃皮書與銀皮書的主要差別（一）,價(jià)格結(jié)構(gòu) 黃皮書是價(jià)格敞口的合同，

34、而銀皮書是價(jià)格封口，銀皮書的原則就是要把風(fēng)險(xiǎn)轉(zhuǎn)嫁給承包商，這也是銀皮書與黃皮書的最關(guān)鍵差別。實(shí)際上由于私人融資的有限追索性質(zhì)，使用銀皮書的業(yè)主寧愿支付承包商較高的價(jià)格，但一定要讓其來承擔(dān)全部風(fēng)險(xiǎn)。 咨詢工程師 黃皮書里有咨詢工程師，但銀皮書里沒有咨詢工程師這個(gè)角色，黃皮書就使得承包商在某種程度上有一定的緩沖保護(hù)，尤其是當(dāng)咨詢工程師能夠比較堅(jiān)持其專業(yè)操守的話。 現(xiàn)場數(shù)據(jù) 黃皮書里業(yè)主需向承包商提供地下和水文等數(shù)據(jù)，承包商只是負(fù)責(zé)對這些數(shù)據(jù)進(jìn)行解釋，但銀皮書則要求承包商還必須對業(yè)主所提供的數(shù)據(jù)負(fù)責(zé)核實(shí)，加重了承包商的責(zé)任。 不可預(yù)見的地質(zhì)情況 黃皮書中規(guī)定承包商在遇到不可預(yù)見的地質(zhì)情況后有權(quán)為此獲

35、得工期順延，但銀皮書第4.12款把所有諸如可預(yù)見、不可預(yù)見甚至無法想像的風(fēng)險(xiǎn)全都轉(zhuǎn)嫁給了承包商。而土建是拖延工期的主要因素之一。 延長工期 黃皮書明確說明了可獲延期的理由包括：1）由不可預(yù)見的實(shí)際或天氣原因?qū)е碌难诱`，2）由于瘟疫或政府行為導(dǎo)致的不可預(yù)見的人力或物資短缺。但這些理由在銀皮書中被刪掉了。,銀皮書第20.1款似乎在形式上給予了承包商索賠的權(quán)利，但是，請?zhí)貏e注意看清如下的英文原文：,前提條件為 “If the Contractor considers himself to be entitled to any extension of the Times for Completion

36、 and/or any additional payment, under any Clause of these Conditions or otherwise in connection with the Contract ”，而同時(shí)銀皮書第4.12款（Unforeseeable Difficulties）里又寫明了這樣的字句：a）The Contractor shall be deemed to have obtained all necessary information as to risks, contingencies and other circumstances which

37、may influence or affect the Works; b）by signing the Contract, the Contractor accepts total responsibility for having foreseen all difficulties and costs of successfully completing the Works; c）the Contract Price shall not be adjusted to take account of any unforeseen difficulties or costs.（這就是定性EPC合

38、同為Lump Sum Contract的合約依據(jù)）。,其實(shí)，回到了一個(gè)很簡單的問題 承包商提出索賠要求是否有合同依據(jù)？在哪里？是什么？,結(jié)論：銀皮書第4.12款已經(jīng)從根本上廢掉了承包商進(jìn)行變更和索賠的合約基礎(chǔ)和機(jī)會(huì)，而現(xiàn)實(shí)中沒有業(yè)主會(huì)在特殊條件里主動(dòng)說要?jiǎng)h掉這一條款的！ 此外，“銀皮書”通常很難簽下來調(diào)價(jià)公式，因?yàn)榈?3.8款只是說在特殊條款里予以考慮，但由于國際工程承包市場是一個(gè)明顯的買方市場，EPC項(xiàng)目的業(yè)主通常會(huì)以總價(jià)合同為由全部刪掉調(diào)價(jià)公式 ，因而增大了承包商必須面對的通漲風(fēng)險(xiǎn)，而這又是導(dǎo)致承包商盈虧出現(xiàn)戲劇性變化的兩大因素之一 盡管銀皮書第13.8款所對應(yīng)的特殊條件編寫指南里都寫明“

39、Provision for adjustment may be required if it would be unreasonable for the Contractor to bear the risk of escalating costs due to inflation. Wording for provisions based on cost indices have been published in FIDIC Conditions of Contract for Plant and Design-Build （FIDIC Conditions of Contract for

40、 Plant and Design-Build就是黃皮書！這就是為什么很多有經(jīng)驗(yàn)的承包商都會(huì)以“黃皮書”去與業(yè)主商談簽訂EPC合同，當(dāng)然這可另外再做專題講解）, which may be considered appropriate. Expert advice may be appropriate.” /“專家”與“?！?黃皮書與銀皮書的主要差別（二）,設(shè)計(jì)責(zé)任 黃皮書和銀皮書都把設(shè)計(jì)責(zé)任全部壓給了承包商，但銀皮書比黃皮書走得更遠(yuǎn)，第5.1款進(jìn)一步把業(yè)主要求中的錯(cuò)誤和疏漏(negligence)風(fēng)險(xiǎn)也轉(zhuǎn)嫁給承包商。 1）另一方面，銀皮書承包商通常會(huì)根據(jù)“Fitness for Purpose

41、”抗?fàn)?State of Art，只要滿足簽約時(shí)雙方設(shè)定及當(dāng)時(shí)公認(rèn)的設(shè)計(jì)標(biāo)準(zhǔn)即可，超出正常使用情況的任何特殊要求或高標(biāo)準(zhǔn)均將被視為變更，業(yè)主要為此再向承包商額外追加費(fèi)用，因?yàn)閷ζ缌x的解釋原則是：當(dāng)承包商的訴求與業(yè)主的要求互相矛盾時(shí)，以對承包商有利為準(zhǔn)； 2）如果業(yè)主在銀皮書合同里加入雇傭一個(gè)咨詢工程師來作為業(yè)主代表，或通過類似的角色來管理承包商，那法律上他就一定負(fù)有“Reasonable Skilled Man and Care”的責(zé)任，不可以借口疏漏而逃脫其責(zé)任。 變更令 黃皮書的第5.1款中，承包商有權(quán)核查業(yè)主的要求中有無錯(cuò)誤和疏漏，并且一旦發(fā)現(xiàn) 只要他在投標(biāo)之前無法合理預(yù)見到這些錯(cuò)誤和疏

42、漏，那么業(yè)主必須為此發(fā)出變更令，并且承包商完全有權(quán)根據(jù)該變更令，按黃皮書第1.9款規(guī)定，獲得工期延期和費(fèi)用補(bǔ)償。 索賠、不可抗力及調(diào)價(jià)公式 盡管黃皮書和銀皮書都有索賠條款以及不可抗力Force Majeure條款（黃皮書Clause 34 Calims vs 銀皮書 Clause 20 Claims,Disputes and Arbitration；黃皮書Clause 44 Force Majeure vs 銀皮書 Clause 19 Force Majuere），而兩者在操作時(shí)受制于諸多因素，實(shí)際上有相當(dāng)難度。黃皮書有調(diào)價(jià)公式（第47款），涉及對工、料、運(yùn)費(fèi)、司法變更以及其它費(fèi)用，但銀皮書中

43、被全刪掉了，因而增大了承包商的風(fēng)險(xiǎn)。 結(jié)論：黃皮書比銀皮書要相對地更親承包商一些。 2007版的FIDIC（DBO）金皮書是黃皮書的“化妝版”。,紅皮書、銀皮書和黃皮書三者的主要差別,99版紅皮書第4.12款里明確 bad ground（hydrological）屬于“physical conditions which he (the Contractor) considers to have been unforeseeable”，非常具體地涉及到了bad ground。而銀皮書第4.12款（Unforeseeable Difficulties）明確了由承包商來承擔(dān)所有風(fēng)險(xiǎn)，除非合同中另有規(guī)

44、定，承包商對于unforeseeable及bad ground的抗辯都缺乏合同條款依據(jù)及支持。如果合同里沒有明說，則通常認(rèn)為承包商已承接了這些風(fēng)險(xiǎn)，lump sum 的EPC總包合同劃入到此類里，因此銀皮書對承包商并不好。甚至連銀皮書第13.8款所對應(yīng)的特殊條件編寫指南里都在明確推薦采用黃皮書“If the Works include tunneling or other substantial sub-surface construction, it is usually preferable for the risk of unforeseen ground conditions to b

45、e allocated to the Employer. Responsible contractors will be reluctant to take the risks of unknown ground conditions which are difficult or impossible to estimate in advance. The Conditions of Contract for Plant and Design-Build should be used in these circumstances for works designed by (or on beh

46、alf of) the Contractor”,六、EPC模式下業(yè)主的管理介入點(diǎn)及手段,先要明確：EPC合同的特點(diǎn)（沒有咨詢工程師）及與其它FIDIC彩虹系列合同條件的區(qū)別。 EPC融資人的關(guān)注點(diǎn)：Certainty of Price. 內(nèi)部聘請?jiān)O(shè)計(jì)院再監(jiān)控。 現(xiàn)場巡視及獨(dú)立監(jiān)理（土建：咨詢工程師 vs EPC的原則：業(yè)主的不干預(yù)；但總包商要特別注意對分包商的監(jiān)控，力爭談成Pay if paid條款）。 重要手段（經(jīng)濟(jì)制約）：借助保函、保險(xiǎn)（國際通用性），還有 LD vs Penalty/Fine Liquidated Damages(LD) are enforceable whereas a

47、 Penalty is not. LD是簽約前預(yù)先估定的真實(shí)傷害值（a reasonable genuine covenanted pre-estimate damage judged of as at the time of making the Contract），其目的是用于懲戒承包商拖延施工，而并非為了在實(shí)際出現(xiàn)違約狀況后（not at the time of breach）來賠償業(yè)主的全部潛在損失。據(jù)此承包商可事先知道其風(fēng)險(xiǎn)程度，而且業(yè)主也預(yù)知其將受到的保護(hù)程度。 Penalty/Fine在性質(zhì)上具有恐嚇警告作用（in terrorem），其金額在制定時(shí)可能會(huì)被無限地夸大，因此在仲裁

48、中可能遭裁定不予支付。 承包商有權(quán)在簽約后抗辯合同中的LD金額太高，性質(zhì)已經(jīng)轉(zhuǎn)變成為Penalty，但在仲裁中對此要負(fù)有舉證責(zé)任，而并非是由業(yè)主來證明其金額合理與否。,34,七、國際工程項(xiàng)目上，承包商與業(yè)主相互間的責(zé)權(quán)利靠什么維系及制約？,所有談判達(dá)成一致的東西最終都會(huì)歸結(jié)到法律層面上，也就是要簽訂合同（put it Black and White）。 合同靠什么支撐？ 法律基礎(chǔ)的重要性 商業(yè)是建立在兩條鐵軌上向前跑之說。 項(xiàng)目管理者應(yīng)努力成為“合同專家”！ 簽個(gè)MOU對雙方有法律制約力嗎？案例。 律師的問題及建議：你想讓它成了以后不能再改變，還是想著簽約后仍有跑掉的機(jī)會(huì)？當(dāng)然，這個(gè)機(jī)會(huì)對雙方

49、均等！案例。 商業(yè)決策，法律保障。(Domestic features vs Uzbek pjt),八、合同的法律基礎(chǔ),普通法 Common Law vs Law of England and Wales 崇尚合同的自由約定原則（I will do X if you will do Y ），通常不會(huì)為保障公平或已簽合約中不利一方的利益而干預(yù)合同，因此很難以顯失公允為理由去修改或刪除已經(jīng)簽訂的文字約定，因?yàn)橛刹槐Ｗo(hù)不公平交易下的合同不利一方。其商法極為發(fā)達(dá)。 衡平法則 （Rules of Equity） 典型案例 Mortgage 抵押貸款（借60 抵押100房產(chǎn) 罰息按6% x 2年=1

50、2% 最終退還100 60 60 x12% = 32.8）。 大陸法 Continental Law vs Napoleonic Code法典 傾向于干涉不公平合同，并會(huì)為保護(hù)不公平合約中欠獲公允對待一方的利益而對原合同進(jìn)行修改，甚至可能認(rèn)定所簽訂的不公平合同為無效合同（也許會(huì)出現(xiàn)Surprise Award）。 簽約始于研究合同！,九、國際工程合同管理的原則,“承包商履約得到支付，業(yè)主付款獲得工程”。 99版紅皮書第14.6和14.7款是從承包商把驗(yàn)工計(jì)價(jià)單呈交給咨詢工程師后56天內(nèi)業(yè)主必須付款 咨詢工程師要在28天內(nèi)批出certificate（87版和77版第60款）；而銀皮書EPC第14

51、.7(b)款直接就是56天（因無咨詢工程師）within含義的重要性。 預(yù)付款 承包商呈交預(yù)付款保函后的42天內(nèi)（通常驗(yàn)工計(jì)價(jià)達(dá)20%時(shí)開始扣還預(yù)付款，計(jì)價(jià)到80%時(shí)還清，返還率25%）。 咨詢工程師簽認(rèn)的驗(yàn)工計(jì)價(jià)單在法律上有效否？案例。 業(yè)主對30%的當(dāng)?shù)貛沤?jīng)常拖延，怎么辦？案例（參見最后一頁英文信函的黃色標(biāo)注處）。 案例 Marshangdi電站（Siemens設(shè)備）的鐵絲網(wǎng) vs 磚砌高墻/N級設(shè)防，Thats not the Employer is paying for !,The Contractor gets paid for the work he performs and th

52、e Employer gets the work he is paying for. 價(jià)責(zé)對籌,Clause 14 （Contract Price and Payment） 99版FIDIC紅皮書為例,14.3 The Contractor shall submit a Statement in six copies to the Engineer after the end of each month （也有規(guī)定最小驗(yàn)工計(jì)價(jià)金額的情形） 14.6 No amount will be certified or paid until the Employer has received and a

53、pproved the Performance Security. Thereafter, the Engineer shall within 28 days after receiving a Statement and supporting documents, issue to the Employer an Interim Payment Certificate which shall state the amount which the Engineer fairly determines to be due, with supporting particulars. 14.7 Th

54、e Employer shall pay to the Contractor (b) the amount certified in each Interim Payment Certificate within 56 days after the Engineer receives the Statement and supporting documents. 分析：HK 45 days vs 87版紅皮書為28天+28天 vs 77版紅皮書為28+30天; 如果SCC把業(yè)主付款改成90天，120天，180天，甚或within a reasonable time？如何取舍？,英文例函,Eng

55、ineer in Chief Date The Engineer Dear Sir, Re: Notification of Non Payment We refer to the Engineers Certificate No dated (with our monthly Statement No ) and regret to notice that we have not received your payment after the Engineer receives the same and our supporting documents within the stipulat

56、ed period of 56 (Fifty Six) days pursuant to Clauses 14.7 (Payment) and 14.8 (Delayed Payment) (87版為Clause 60.10) of the Conditions of Contract. Under the circumstances interest entitlement at the rate stated in the Appendix to Tender will be included in our next statement for payment. Yours faithfu

57、lly, Project Manager The Contractor (Co. Ltd),同樣，對于咨詢工程師或業(yè)主此次扣減掉但經(jīng)核實(shí)后在以后的驗(yàn)工計(jì)價(jià)中又予以支付的工程款，承包商有權(quán)要求拿回利息損失。,英文例函,Project Manager Date The Employer Dear Sir, Re: Notice of Termination of Contract Pursuant to Clause 16.2 (Termination by Contractor) (87版是Clause 69.1 ) of the Conditions of Contract we write

58、to give you notice that with effect from 14 (Fourteen) days after the giving of this notice we shall terminate our employment under the Contract. Such notice is given on the ground that you have failed to pay the amount due against the Engineers Certificate No as well as our monthly Statement No . dated within 56 (Fifty Six) days after the time stated in Clauses 14.7, 14.8 and 16.2(c) (87版是Clause 60.10) . Yours faithfully, Project Manager The Contractor (Co. Ltd) cc: Engineer in Chief Th