1、國(guó)際建筑市場(chǎng)與工程管理 東南大學(xué)建設(shè)與房地產(chǎn)系 李啟明 DEAN.DR.PROF.DA.FCIOB.FRICS,國(guó)際建筑市場(chǎng)與項(xiàng)目管理,國(guó)際工程管理研究動(dòng)態(tài) 國(guó)際建筑市場(chǎng)及結(jié)構(gòu)分析 國(guó)際建筑市場(chǎng)準(zhǔn)入和一流承包商發(fā)展戰(zhàn)略 國(guó)際工程擔(dān)保和保險(xiǎn) 國(guó)際工程招標(biāo)投標(biāo) 國(guó)際工程采購(gòu)模式與合同類型 國(guó)際工程合同原理及注意要點(diǎn) 國(guó)際工程投標(biāo)報(bào)價(jià)與決策 海外工程實(shí)踐與案例分析,講授：李啟明博士、教授 鄧小鵬 博士、副教授,工程采購(gòu)模式與合同類型,工程采購(gòu)模式及其特點(diǎn),1 平行承包模式（傳統(tǒng)模式）,DPCA 模式,2 D+B模式（設(shè)計(jì)施工總承包模式）,業(yè) 主,業(yè)主代表,設(shè)計(jì)施工總承包商,設(shè)計(jì)院,承包商1,承包商2

2、,承包商3,D+B is not new, as many builders designed what they built for centuries, including large cathedrals, castles and palatial building. The industrial revolution required large buildings, then late in the nineteenth century the building professions were established with architects committed exclus

3、ively to designing. Modern construction has requirements, including expert advice for owners, consultants for designers (A/E), cost 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

4、construction has problems such as between the following: those acting in good faith and those not, owners with budgets and designers 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

5、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 conditions on the other, public works and statutes that govern them. (5) They are many differences between building construction and engineering construction, and between mo

6、st buildings and those that are real architecture.,Summary of Key Points for D+B Model,(6) Depending on jurisdiction, statutory regulations governing practices of architecture and engineering often inhibit design-build entities from providing design services. (7) D+B contracting may reduce an owners

7、 building costs through phased construction, direct communication, innovative designing, and building method, but all these can be applied in traditional construction. (8) Allocating responsibility in construction as between designer and builder can be a problem, design-build may eliminate it, depen

8、ding 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 independent 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 d

9、esign-build contractor. (10) Key questions for an owner thinking of design-build include: What experience do we have and need of D+B? Do we need an independent advisor/agent? What information need we provide in requesting D+B proposal?,Summary of Key Points for D+B Model,What kind of D+B contract do

10、 we need? How do we evaluate D+B proposal? Do we need to monitor a D+B project? Who will monitor the D+B project for us? Should we require a two-phase proposal process? Should unsuccessful proposals be paid some amount? (11) Advantage and disadvantage of D+B may include: Direct communication by owne

11、r to contractor( but can the owner speak the language?),Summary of Key Points for D+B Model,Less potential for disputes( but does that include the designer and builder in the same D+B entity?) Easier to place responsibility for defects( only for the D+B entity is a single corporate person) Fast trac

12、k construction with D+B( but is the D+B entity able to do it with the building needed?) Lower construction costs and more economic design( but how can an owner be sure?) Potential for innovative design( but that may benefit only the D+B entity),Summary of Key Points for D+B Model,(12) Disadvantages

13、with D+B for an owner may include: Lake of design initiative( but the owner may not need it) Lake of independent advice( but the owner can buy it) Limited ability to deal directly with design builder( not with an independent advisor) Potential conflicts with statutory governing design services( can

14、get legal advice first) New D+B companies may not have requisite experience( owner can pre qualify proposals),Summary of Key Points for D+B Model,Insurances and bonds may not be available for a D+B project( Owner can enquire first) Standard contracts for D+B projects are relatively new and from diff

15、erent sources( owner can get legal advice from D+B experts) An owner may have to make a large initial payment to a D+B contractor( Owner can only stipulate or negotiate, there may be risk for both sides) Evaluating D+B proposal is problematic( Owner needs expert and independent advicefor a fee),Summ

16、ary of Key Points for D+B Model,(13) Advantages and disadvantages for design build entities are apparent in this chapter, the 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 prese

17、nts to owners and builders the possibilities of great value and great risk than more traditional contracting.,Summary of Key Points for D+B Model,3 EPC模式（項(xiàng)目總承包交鑰匙模式）,4 CM模式（施工管理模式）,CM/Non-Agency 模式(施工管理模式）,4 CM模式（施工管理模式）,CM/Agency 模式(施工管理模式）,5 BOT模式（帶資承包模式）,業(yè)主一般為政府,BOT發(fā)起人,出資人 （銀行財(cái)團(tuán)）,項(xiàng)目施工 總承包商,項(xiàng)目 經(jīng)營(yíng)者

18、,設(shè)計(jì) 單位,施工 總承包,施工 分包商1,施工 分包商2,供應(yīng)商,該項(xiàng)目采用BOT方式運(yùn)作。北京市政府作為招標(biāo)人，面向全世界公開招標(biāo)項(xiàng)目法人。項(xiàng)目法人與北京市政府的出資人北京市國(guó)有資產(chǎn)經(jīng)營(yíng)有限責(zé)任公司共同組建項(xiàng)目公司，負(fù)責(zé)國(guó)家體育場(chǎng)項(xiàng)目的建設(shè)、運(yùn)營(yíng)和管理，并于2038年將一座物理形態(tài)完好的體育場(chǎng)無(wú)償?shù)匾平唤o北京市政府。由北京城建集團(tuán)有限責(zé)任公司與中信集團(tuán)、美國(guó)金州控股集團(tuán)按照BOT模式組成的項(xiàng)目聯(lián)合體中標(biāo)，各方出資比例為：北京城建集團(tuán)30%，中信集團(tuán)65%，美國(guó)金州控股集團(tuán)5%。聯(lián)合體與北京市國(guó)資公司共同成立了“國(guó)家體育場(chǎng)有限責(zé)任公司”。該公司股東單位及出資比例為：北京市國(guó)資公司58%，北京

19、城建集團(tuán)12.6%，中信集團(tuán)4.4%，美國(guó)金州控股集團(tuán)2.1%，中信國(guó)安岳強(qiáng)22.9%。2003年8月9日聯(lián)合體分別與北京市人民政府、北京奧組委、北京市國(guó)有資產(chǎn)經(jīng)營(yíng)有限責(zé)任公司簽訂了特許權(quán)協(xié)議、國(guó)家體育場(chǎng)協(xié)議和合作經(jīng)營(yíng)合同三個(gè)合同協(xié)議。,6 轉(zhuǎn)換型承發(fā)包模式（Notation Contract）,業(yè) 主,設(shè)計(jì)院,承包商,設(shè)計(jì)院,分包商,分包商,分包商,深度3080,剩余2070,合 轉(zhuǎn) 同 換,轉(zhuǎn)換前階段,轉(zhuǎn)換后階段,工程采購(gòu)模式與合同類型,工程合同類型及其特點(diǎn),The Form of Contract Price Building or civil work may be paid for

20、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 measured 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

21、 limited control of cost.,Building or civil contracts may be classified according to various characteristics. Depending on the method of arriving at the contract sum, building contract fall into 3 categories: Lump sum contracts; Measurement contracts; Cost reimbursement contracts.,所謂總價(jià)合同是指業(yè)主付給承包商的款額

22、在合同中是一個(gè)規(guī)定的金額，即總價(jià)。總價(jià)合同有以下四種不同的形式。,固定總價(jià)合同（Fixed Lump Sum) 適用范圍及特點(diǎn)： 工期較短； 最終產(chǎn)品要求明確； 設(shè)計(jì)完整，發(fā)發(fā)包工程內(nèi)容及技術(shù)經(jīng)濟(jì)指標(biāo)明確； 合同總額是一個(gè)規(guī)定的金額； 如果設(shè)計(jì)和工程范圍有變更，合同總價(jià)也必須相應(yīng)變更。,總價(jià)合同(Lump Sum Contracts),2） 調(diào)值總價(jià)合同（Escalation Lump Price) 適用范圍和特點(diǎn)： 工期較長(zhǎng)； 最終產(chǎn)品要求明確； 設(shè)計(jì)完整，發(fā)發(fā)包工程內(nèi)容及技術(shù)經(jīng)濟(jì)指標(biāo)明確； 合同按照時(shí)價(jià)計(jì)算，總額是一個(gè)相對(duì)固定的價(jià)格； 由于通貨膨脹導(dǎo)致人工、材料等成本增加，合同總價(jià)也必須相

23、應(yīng)調(diào)整。 調(diào)價(jià)方法：文件證明法和調(diào)價(jià)公式法。,調(diào)價(jià)方法： 文件證明法 憑正式發(fā)票向業(yè)主結(jié)算價(jià)差。 調(diào)價(jià)公式法 C=Co(0+ 1M/M0+ 2L/L0+ 3T/T0+ nK/K0 C，調(diào)整后的合同價(jià)； Co，原簽訂合同中的價(jià)格； 0，固定價(jià)格的加權(quán)系數(shù)，合同價(jià)格中不允許調(diào)整的固 定部分的系數(shù)，包括管理費(fèi)用，利潤(rùn)等 M,L,T,.K，受到價(jià)格浮動(dòng)影響的材料設(shè)備、勞動(dòng)工 資、運(yùn)費(fèi)等價(jià)格，帶腳標(biāo)0為原合同價(jià)，沒(méi)有腳標(biāo) 為付款時(shí)的價(jià)格； 1+ 2+ 3+ n=1,相應(yīng)于各有關(guān)項(xiàng)的加權(quán)系數(shù)，一般通過(guò)對(duì)工程概算分解測(cè)算得到。,3）固定工程量總價(jià)合同（Lump Sum on Firm Bill of Qua

24、ntities) 4）管理費(fèi)總價(jià)合同（Management Fee Lump Sum),可以在報(bào)價(jià)競(jìng)爭(zhēng)狀態(tài)下確定項(xiàng)目造價(jià)并固定; 業(yè)主在主要開支發(fā)生前對(duì)工程成本能夠心中有數(shù); 由承包商承擔(dān)較多風(fēng)險(xiǎn); 評(píng)標(biāo)時(shí)易于迅速選定最低報(bào)價(jià)單位; 在施工進(jìn)度上可極大調(diào)動(dòng)承包商的積極性; 業(yè)主能更容易/更有把握控制項(xiàng)目.,總價(jià)合同優(yōu)點(diǎn)(從業(yè)主角度),必須完整而明確地規(guī)定承包商的工作; 根據(jù)項(xiàng)目的規(guī)模/地點(diǎn)和價(jià)格價(jià)格調(diào)整情況,應(yīng)使承包商的風(fēng)險(xiǎn)是正常的和能夠接受的; 必須將設(shè)計(jì)和施工方面的變化控制在最小限度內(nèi); 只有當(dāng)承包行情對(duì)承包商趨于有利時(shí),采用總價(jià)合同才能招來(lái)有競(jìng)爭(zhēng)力的/合格的投標(biāo)人.,采用總價(jià)合同的若干要

25、求,(1) General legal principles of contracts are a guide only in solving specific contractual problems. 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 c

26、haracterized as “a complete job for a stipulated price”; this may not require the contract documents 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

27、 primary obligations in SSC are to provide information about and access to the site, and to pay for 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 int

28、erpretation of the contract when required; and to seek the performance of the contract by both parties 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

29、 in the contract( as in the standard forms of contract)r, or as mutually agreed to subsequently by the 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,

30、 who carries a lesser burden of risk. (9) To the extent that SSC allows changes in the works, the owner is 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 usin

31、g a contractors knowledge in the design of the work, and to a significant extent in its implementation. (11) 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,當(dāng)準(zhǔn)備發(fā)包的工程項(xiàng)目?jī)?nèi)容、技術(shù)經(jīng)濟(jì)指標(biāo)一時(shí)尚不能像采用總價(jià)合同時(shí)那樣明確、具體地予以規(guī)定時(shí)，則

32、以采用工程單價(jià)合同形式為宜。工程單價(jià)合同有以下兩種不同的形式。,估計(jì)工程量單價(jià)合同（Bill of Approximate Quantities Contract) 純單價(jià)合同（Straight Unit Rate Contract),2. 工程單價(jià)合同(Unit Price Contract),單價(jià)固定（只有實(shí)際工程量有較大變化時(shí)可調(diào)整單價(jià)） B/Q表中的工程量只是估算值，工程量須按實(shí)結(jié)算，工程價(jià)格應(yīng)按照實(shí)際完成量計(jì)算； 可適用于大型復(fù)雜項(xiàng)目。,在招標(biāo)前,業(yè)主無(wú)需對(duì)工程范圍作出完整的/詳盡的規(guī)定,從而可以縮短招標(biāo)準(zhǔn)備時(shí)間; 能夠鼓勵(lì)承包商提高工作效率,節(jié)約工程成本,提高利潤(rùn); 業(yè)主只按分項(xiàng)工

33、程量支付費(fèi)用，可以減少意外開支； 合同結(jié)算時(shí)只需對(duì)那種不可預(yù)見(jiàn)的、未予規(guī)定的工程單價(jià)進(jìn)行調(diào)整，結(jié)算程序比較簡(jiǎn)單。,單價(jià)合同優(yōu)點(diǎn),(1) A unit price is an average price per unit of an item of work. In North America, UPC are limited to engineering construction, but unit prices are used in SSC to price changes in building work. UPC usually require adjustments in the u

34、nit prices when quantities of items of work done vary by more than a stipulated amount( typically, 15 percent). 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 ob

35、tain overpayment in the early stages of a project.,Summary of Key Points for UPC,(5) UPC require the measurement 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 p

36、rices( in which some or all completed work may be measured) are more common for building works( as well as for engineering 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,當(dāng)工程內(nèi)容及其技術(shù)經(jīng)濟(jì)指標(biāo)尚未全面

37、確定，而由于種種理由工程又必須向外發(fā)包時(shí)，采用成本補(bǔ)償合同的形式比較合適。,3. 成本補(bǔ)償合同(Cost-Plus-Fee Contract),適用范圍： 工期要求緊； 中小型項(xiàng)目； 業(yè)主與承包商有良好合作關(guān)系。,缺點(diǎn)： 業(yè)主不能對(duì)項(xiàng)目總造價(jià)實(shí)行實(shí)際的控制； 承包商對(duì)降低成本興趣不大。合同條款必須嚴(yán)格。,成本加固定費(fèi)用合同（Cost-plus Fixed Fee) C=Cd+F C：總造價(jià)； Cd：實(shí)際發(fā)生的直接費(fèi)； F：固定不變的酬金，通常按估算成本的一定百分比確定。,成本補(bǔ)償合同形式,2）成本加定比費(fèi)用合同（Cost-plus Percentage Fee) C=Cd（1+P） C：總造價(jià)

38、； Cd：實(shí)際發(fā)生的直接費(fèi)； P：雙方事先商定的固定酬金百分比。,成本補(bǔ)償合同形式,3） 成本加浮動(dòng)酬金合同（Cost-plus Incentive Fee),成本補(bǔ)償合同形式,Cd=C0, C=Cd+F CdC0, C=Cd+F-F,C0, 預(yù)期成本 F，酬金增減部分，可以是 百分比，或固定的絕對(duì)數(shù),成本補(bǔ)償合同形式,4） 目標(biāo)成本加獎(jiǎng)勵(lì) C=Cd+p1C0+p2(C0-Cd) C0：目標(biāo)成本； p1：基本酬金百分比； p2：獎(jiǎng)勵(lì)酬金百分比,成本補(bǔ)償合同形式,5) 成本加固定最大酬金合同（Cost-plus Upset Max),CPFC and SSC are basic type of

39、contracts at opposite ends of a hypothetical scale 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. To an owner in a CPFC there are two kin

40、ds of costs: (1) costs are defined( generally, direct 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

41、CPFC,(3) Costs of work are direct costs of labor, materials, equipment, and job overhead costs, and the indirect costs of operating (office) overhead and profit. The basic unit for estimating and cost accounting is the item of work. Labor costs are direct costs of wages, statutory payments, benefits

42、, and costs for such things as traveling , board, and lodging. Productivity also affects labor costs. 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, maintena

43、nce, investment costs, and the costs of mobilization, 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 facilit

44、ies; cost of cleanup, cutting and patching work, 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.,Su

45、mmary of Key Points for CPFC,(10) Profit is a cost 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

46、 a CPFC. (13) In a CPFC the owner and design are more 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) Guarant

47、eed Maximums CPFC are bid like a SSC and administered 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 fo

48、r CPFC,10300,最終價(jià)格(萬(wàn)),最終成本(萬(wàn)),9500,10000,10500,某項(xiàng)目采用如下三種合同類型: 1 固定總價(jià)合同(10300萬(wàn)) 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 試計(jì)算當(dāng)成本分別為9500,10000,10500萬(wàn)時(shí)的承包商的利潤(rùn)? 并繪制承包商的成本和最終價(jià)格曲線?,某項(xiàng)目采用如下三種合同類型: 1 固定總價(jià)合同(10300萬(wàn)) 試計(jì)算當(dāng)成本分別為9500,10000,10500萬(wàn)時(shí)的承包商的利潤(rùn)? 并繪制承包商的成本和最終價(jià)格曲線?,某項(xiàng)目采用如下三種合同類型: 2 成本加百分比酬金(5%)合同 試計(jì)算當(dāng)

49、成本分別為9500,10000,10500萬(wàn)時(shí)的承包商的利潤(rùn)? 并繪制承包商的成本和最終價(jià)格曲線?,某項(xiàng)目采用如下三種合同類型: 3 GMP(10500)下的成本加固定酬金(500)合同 試計(jì)算當(dāng)成本分別為9500,10000,10500萬(wàn)時(shí)的承包商的利潤(rùn)? 并繪制承包商的成本和最終價(jià)格曲線?,Lump sum (drgs 該協(xié)議通常是完全合同(Entire Contract); 該協(xié)議通常是為了完成某項(xiàng)工作(Works); 承包商完成協(xié)議是為了獲取酬金; 該酬金通常采用分期支付的方式.,1 國(guó)際工程合同概論,1.2 工程合同的分類 按照建造行業(yè)劃分: 房屋建筑工程合同(JCT,AIA); 土

50、木工程合同(ICE,FIDIC); 其他類型合同. 按照工作性質(zhì)劃分: 固定規(guī)范合同; 限定的規(guī)范與變更條款合同; 期限合同.,1 國(guó)際工程合同概論,1.2 工程合同的分類 按照承包商義務(wù)范圍劃分: 建造合同; 設(shè)計(jì)和建造合同; EPC/交鑰匙合同. 按照支付方式劃分: 總價(jià)合同; 計(jì)量與估價(jià)合同; 成本加酬金合同. 按照項(xiàng)目組織方式劃分: 傳統(tǒng)建筑師/工程師合同; 管理承包合同; 建造管理合同.,1 國(guó)際工程合同概論,1.3 工程合同中的若干關(guān)鍵定義 一 關(guān)于合同的若干定義: FIDIC99建造的定義: “合同指的是合同協(xié)議書,中標(biāo)通知書,投標(biāo)書,合同條件,規(guī)范,圖紙,計(jì)劃和列在合同協(xié)議或中

51、標(biāo)函的后續(xù)文件” ICE第6版的定義: “合同指的是合同條件,規(guī)范,圖紙,工程量清單,標(biāo)書,書面中標(biāo)函和合同協(xié)議(如有)”,1 國(guó)際工程合同概論,FIDIC99建造的合同組成: 中標(biāo)函(Letter of Acceptance) 正式的接受信函; 有投標(biāo)書中的業(yè)主簽字; 包括有雙方當(dāng)事人簽字的協(xié)議所構(gòu)成的附件備忘錄. (2) 投標(biāo)函(Letter of Tender) 由承包商完成的投標(biāo)文件; 包含回應(yīng)業(yè)主關(guān)于工作的要約,邀請(qǐng)的簽字要約.,1 國(guó)際工程合同概論,FIDIC99建造的合同組成: (3) 規(guī)范(Specification) 包含在合同中說(shuō)明工作的文件; 依據(jù)合同增加和修改的說(shuō)明文件

52、,如變更. 圖紙(Drawing)-FIDIC99 圖紙是作為包括在合同內(nèi)的工作的圖紙; 由雇主(或其代表)根據(jù)合同簽發(fā)的增加和修改的圖紙. 計(jì)劃(Schedules)-FIDIC99 有計(jì)劃性質(zhì)的文件; 有承包商完成; 與投標(biāo)書同時(shí)提交; 系合同文件的組成部分.,1 國(guó)際工程合同概論,FIDIC99建造的合同組成: 計(jì)劃可包含下列文件: 工程量清單; 數(shù)據(jù); 表目; 費(fèi)率和/或價(jià)格計(jì)劃. 工程量清單(Bill of Quantities) “已標(biāo)價(jià)和填寫完成的工程量清單”.,1 國(guó)際工程合同概論,1.3 工程合同中的若干關(guān)鍵定義 二 當(dāng)事人和人員: 當(dāng)事人:是指合同環(huán)境中的業(yè)主和承包商. 人

53、員:建筑師,工程師,分包商. 1.4 法律 1.5 語(yǔ)言,2 工程合同的成立,2.1 合同成立的本質(zhì) Formation of Contract Offeror: Offer Offeree: Acceptance, Promise 2.2 合同成立的步驟 投標(biāo)人資格預(yù)審,業(yè)主邀請(qǐng)承包商投標(biāo),承包商投標(biāo),業(yè)主評(píng)標(biāo),業(yè)主發(fā)出中標(biāo)函,雙方簽署協(xié)議.,2 工程合同的成立,2.3 投標(biāo)邀請(qǐng) 投標(biāo)邀請(qǐng)函 投標(biāo)須知 投標(biāo)書格式與附錄 通用合同條件 專用合同條件 規(guī)范 圖紙 工程量清單或價(jià)格表 資料數(shù)據(jù),要求投標(biāo)人提交的附加資料清單.,投標(biāo)邀請(qǐng)?jiān)诜缮贤ǔ７Q為要約邀（Invitation to offer）

54、，對(duì)業(yè)主形不成多大拘束力(Binding)，即業(yè)主不必接受最低標(biāo)（Lowest tender）。但當(dāng)業(yè)主在招標(biāo)邀請(qǐng)時(shí)明確表示接受最低標(biāo)，則該招標(biāo)邀請(qǐng)是具有拘束力的邀請(qǐng)，從而將招標(biāo)邀請(qǐng)從一般意義的要約邀請(qǐng)轉(zhuǎn)化為要約。,2.4 要約 承包人為履行工作而進(jìn)行的投標(biāo)通常成為要約。 2.5 接受 （1）無(wú)條件接受 （2）有條件接受 中標(biāo)函的發(fā)出構(gòu)成合同成立 中標(biāo)函的發(fā)出不構(gòu)成合同成立 當(dāng)招標(biāo)文件內(nèi)容比較齊備，合同條款基本齊全，則中標(biāo)函 的發(fā)出構(gòu)成合同成立；反之招標(biāo)文件缺乏詳細(xì)規(guī)定，需進(jìn) 一步簽署協(xié)議方能完善合同，則中標(biāo)函的發(fā)出不構(gòu)成合同 成立。 第三方同意或批準(zhǔn)的條件 如地方政府會(huì)在中標(biāo)通知書上附“以貸

55、款方同意為條件”，或“以某部委同意為條件”等。,2 工程合同的成立,2.5 意向書 有時(shí)在中標(biāo)函之前有一意向書，業(yè)主表達(dá)接受投標(biāo)的意愿并附有限制條件。如果簽發(fā)意向書，則其一般包括： 明確申明業(yè)主有意接受投標(biāo)書及任何先決條件； 如果業(yè)主準(zhǔn)備讓承包商開始工程的某部分（如開工動(dòng) 員、訂購(gòu)材料、簽訂分包合同等），詳細(xì)指出這些內(nèi)容； 在正式對(duì)投標(biāo)人授予中標(biāo)函前，對(duì)其授權(quán)的工作的支付 依據(jù)，以及可能發(fā)生的財(cái)務(wù)責(zé)任； 申明如果合同隨后不授予該投標(biāo)人，則該投標(biāo)人執(zhí)行意 向書授權(quán)其做的工作所導(dǎo)致的合理費(fèi)用在核定后將由業(yè) 主支付； 要求該投標(biāo)人回函說(shuō)明收到了意向書，并確認(rèn)接受意向 書的條件。,2 工程合同的成立,

56、2.5 意向書 意向書與工程合同關(guān)系 意向書與意向聲明區(qū)別 意向書與附期限的民事法律行為的區(qū)別 意向書的法律責(zé)任,2 工程合同的成立,2.6 投標(biāo)書的拒絕 投標(biāo)書的拒絕 反要約 2.7 投標(biāo)書的錯(cuò)誤 錯(cuò)標(biāo)責(zé)任的免除：在美國(guó)公共項(xiàng)目招標(biāo)中，當(dāng)承包商滿足下列條件時(shí)有權(quán)撤消標(biāo)書： 強(qiáng)制執(zhí)行此類錯(cuò)誤的結(jié)果是不合理的； 此類錯(cuò)誤影響意思表示即錯(cuò)誤嚴(yán)重； 此類錯(cuò)誤一定發(fā)生而不在意是否在通常注意下； 必須使其他方當(dāng)事人處于原狀。,2 工程合同的成立,2.7 投標(biāo)書的錯(cuò)誤 如果承包商在中標(biāo)函發(fā)出前意識(shí)到標(biāo)書有重大錯(cuò)誤時(shí)，應(yīng)采取一定的步驟來(lái)確保有機(jī)會(huì)獲得免責(zé)： （1）承包商應(yīng)立即通知業(yè)主標(biāo)書中的錯(cuò)誤，最好是書面

57、通知；如果時(shí)間不允許，可以先口頭，然后迅速提交書面修正請(qǐng)求或撤回有關(guān)錯(cuò)誤的文件； （2）通知后承包商應(yīng)與業(yè)主開會(huì)討論標(biāo)書錯(cuò)誤，并提供有關(guān)證據(jù)，包括：解釋錯(cuò)誤的書面陳述；標(biāo)書副本；原始計(jì)算表；出版發(fā)行的價(jià)格表；準(zhǔn)備投標(biāo)所使用的任何其他數(shù)據(jù)。,2 工程合同的成立,2.7 投標(biāo)書的錯(cuò)誤 業(yè)主應(yīng)履行告知義務(wù)： 在通常情況下，業(yè)主發(fā)現(xiàn)或應(yīng)該發(fā)現(xiàn)承包商標(biāo)書錯(cuò)誤時(shí)，有義務(wù)告知承包商此錯(cuò)誤。 錯(cuò)標(biāo)的撤回與修正： 雖然許多判例承包商有權(quán)撤回錯(cuò)標(biāo)，但通常無(wú)權(quán)改正錯(cuò)標(biāo)。但是有些判例規(guī)定，如果錯(cuò)標(biāo)在修正錯(cuò)誤之前或之后均為最低標(biāo)，則該錯(cuò)標(biāo)應(yīng)允許修正。 減修正(Downward Correction) 正修正(Upwar

58、d Correction),2 工程合同的成立,2.7 標(biāo)書的評(píng)價(jià) 在美國(guó)公共工程授標(biāo)的標(biāo)準(zhǔn)是承包商提交了“最低的、可靠的且回應(yīng)的”(Lowest responsible and responsive)要約或“最低且最好的”(Lowest and best)要約。一個(gè)成功的投標(biāo)書應(yīng)具備三個(gè)條件： （1）低價(jià)格； （2）由可靠的承包商提交（能力/道德/業(yè)績(jī)等）； （3）此標(biāo)書應(yīng)回應(yīng)業(yè)主的要求（重大偏離法/嚴(yán)格偏離法）。,2 工程合同的成立,2.7 標(biāo)書的評(píng)價(jià) 重大偏離的認(rèn)定： 限制或改動(dòng)招標(biāo)條件的一條或多條條款； 投標(biāo)人的條件和資格與投標(biāo)內(nèi)容不符，或提出的履約 方法與招標(biāo)要求的施工方法、工期或工

59、程性質(zhì)不符； 業(yè)主修改承包商投標(biāo)以使其與招標(biāo)要求相符； “二口咬蘋果”(Two bites at the apple)； 投標(biāo)書不確認(rèn)招標(biāo)文件的附錄，特別是附錄中包含國(guó) 家條例要求的條款； 投標(biāo)書的現(xiàn)金流特別不平衡； 投標(biāo)報(bào)價(jià)是參照性投標(biāo)價(jià)； 投標(biāo)書中開具投標(biāo)保函的機(jī)構(gòu)與招標(biāo)人在招標(biāo)文件中 所述的合法機(jī)構(gòu)不同。,2 工程合同的成立,2.7 標(biāo)書的評(píng)價(jià) 微動(dòng)的認(rèn)定：在美國(guó)業(yè)主有權(quán)對(duì)微動(dòng)做出免責(zé)。 （1）單位價(jià)格的省略，而此價(jià)格可通過(guò)總價(jià)除工程量 算出； （2）在投標(biāo)保函中填入錯(cuò)誤的招標(biāo)序號(hào)； （3）投標(biāo)保函有簽字而標(biāo)書省略了簽字； （4）標(biāo)價(jià)比所有合理解釋的價(jià)格還低時(shí)的模糊標(biāo)價(jià)； （5）未能包括所要求的附屬信息； （6）未能確認(rèn)招標(biāo)文件的修改，并且此舉并不嚴(yán)重影 響價(jià)格，或?qū)r(jià)格僅有細(xì)微的影響； （7）未能提供設(shè)備描述信息，但標(biāo)書并沒(méi)有清楚地說(shuō) 明此舉會(huì)導(dǎo)致對(duì)標(biāo)書的拒絕； （8）未能提供代理人權(quán)限的證據(jù)； （9）雖然修改招標(biāo)文件，但修改后的條件屬于合同的 默示內(nèi)容。,2 工程合同的成立,2.7 標(biāo)書的評(píng)價(jià) FIDIC基本認(rèn)同了重大偏離法的精神，認(rèn)為“能夠保證對(duì)業(yè)主與投標(biāo)人雙方公正，從長(zhǎng)遠(yuǎn)來(lái)看，也能保證業(yè)主們收