FIDIC合同清华讲义.ppt

FIDIC合同条款解读与应用实务（包括对提升国内项目合约管理水平的启示）,香港中信裕联投资有限公司 田威,一、继续教育的重要性,先提一个问题：什么是教育？你的答案是什么？孔子：有教无类 vs Caste system 我最欣赏的答案是,每个企业高管都是一本书 我的原则是给大家讲故事，也就是真实案例（都是我亲自处理过的项目），再与大家分享并探讨相关思考。所有条款原本是英文，但我给大家用中文讲，同时给出英文的原件，并提供一些常用的英文例函，供大家做第一线业务时可以直接就作为参考资料（也可安排另外就此再开一个专门的实用课程），方便拿来即用。互动+启发。身边的案例，梁定邦的故事，etc.,二、什么是FIDIC？,在合同文本的选择上，业主（咨询工程师）占据主导地位是一个必须面对的客观现实，投标项目尤其如此 在实践中一定要学会主动向有经验的过来人请教，商务上是否靠谱，技术上是否可行，从而有效规避风险。FIDIC是法文Fdration Internationale des Ingnieurs-Conseils的缩写，中文常译为“菲迪克”。1913年成立。源于英国的ICE合同，英文是工作语言，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 Certificate,Interim Payment 与中文“验工计价”的不同。ICE 1945 年颁布，此后修订分別在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，红皮书），此后修订分別在1969 年（第二版）、1977 年（第三版）、1987 年（第四版）、1988 年（第四版修订版）、1992 年（第四版再次修订版）及1999 年（第一版，First Edition 1999）。操作层面上的“三步曲”：走出去，走进去（海外市场立足），走上去（不断提升），重要的是最终还要回得来！出世英雄 vs 全身而退 走出去，要接轨“一带一路”的机会 vs 亚洲基础设施投资银行,FIDIC约每十年会做一次大的修订，其合同内容集合工业发达国家建筑业上百年的经验以及各合约范本之大成，是把工程技术、法律、经济和项目管理等有机结合起来的一个合同条件，故又称为国际工程合同之“圣经”。FIDIC红皮书编制过程严谨，有相当的权威性，基本上是国际工程惯例之具体反应，其特点是风险分担比较公平，故可作为比对某项工程合同是否公平合理之重要参考。ICE pro-Employer，1818年成立，完全买方市场；FIDIC pro-Contractor，香港的真实案例。99版的特点：把87版和77版的72个条款合并同类项后变成20个条款（新红皮书、新黄皮书和银皮书都是20个条款，绿皮书是15个条款）。FIDIC是合同的标准范本，是法律文件，不是IT，不是高科技。FIDIC受普通法的影响很深。,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 classified it in the 1960s.It is a sealed-bid English auction（拍卖）(ascending-price;vs Dutch auction（投标）,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 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 their 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 sealed-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 an 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,for 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 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 like 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 instead 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 increase 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$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 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 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 the optimal strategy to truthfully reveal their personal valuation of the auctioned product.,三、为什么要学好 FIDIC？国际惯例对项目合同管理的实用价值,项目启动从保函开始，如何“倒立看世界”（马云）？保函的种类。无知带来风险，遇事要多问个为什么？投标保函（？%），为什么？实际应用。（not less than 的含义，分析竞争对手的标价）；案例：差价860万澳门元 vs 2.6亿澳门元合同额及营业额，860万/2.6亿=3.3%；意见分歧与决策/貔貅 预付款保函（？%）；履约保函（？%）；保留金保函（？%）/（2.5%+2.5%）具体操作，铁路大厦案例。老子 前识者，道之华，而愚之始。是以大丈夫处其厚，不居其薄；处其实，不居其华。Authentication vs Endorsement/Counter-guarantee，转递行（通知行）通常只收10200美元。总承包商应争取采用与投标总价表述相同的当地软货币开出保函（避免用美元或欧元等硬通货），可减少承包商未来面对的风险（时间导致贬值）。若保函中没有写明适用法律，则发生争端后适用的是担保银行所在地法律。保险的实用性。案例 保险业务的实质？Mercedez 被偷N次。保险公司一定要在保单经过律师的确认之后才会做保险。,英文例函,Project Manager Date The EmployerDear Sir,Re:Performance SecurityWe 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 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 ManagerThe Contractor(Co.Ltd)cc:Engineer in Chief The Engineer(with photocopy of authenticated Performance Bank Guarantee),Engineer in Chief Date The EngineerDear Sir,Re:Evidence and Terms of InsuranceWe are writing to confirm that pursuant to Clause 18(Insurance)(87版是Clause 25.1)of the Conditions of Contract that we are 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 ManagerThe Contractor(Co.Ltd)cc:Project Manager The Employer,英文例函,学以致用，知其然，知其所以然，必须在实践中可以操作，摒弃教条和束之高阁的理论！做项目要理性引领，从实际出发，进行动态管理，终归蛇形正途。下面的案例，如果时间紧就不再讲了。案例一 Practice lawyer vs CV of Professor/Senior Engineer）。案例二 履约保函的“On Demand”与违约通知证据/Webster Project,见附函Conditions Precedent等。案例三 Mauritius注册公司（SPV）电话会前的方案，而会上突然提出建议方案，当机立断的决策。,银行账户签字 原则：制约+便捷,Group A（51%）Group B（49%）索 刘 田 杨 宋 Any one signatory from Group A JOINTLY with any one signatory from Group B.（五位均为公司董事）For any amount less than US$50,000.00 SINGLY by MD Song（宋，董事总经理）,对方电话突然提出的问题,当地法律规定：A+B组的每组签字人里都要再加入一个当地人，但当地人可以完全只是形式（挂名，秘书职务），实际上不一定要签字。把报给银行的A+B两组改成如下，可以吗？Group A（51%）Group B（49%）索 刘 田 杨 宋 Gupta（秘书公司）Adalahe（秘书公司）,有否制约？争论：可在附注里写明当地人没有签字权！OK？答案是不可以 如果真的发生了与当地法律相悖的情形，则这个附注就是废纸一张！抱怨：怎么突然袭击呢？要想一想，别是陷阱！解决办法 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 formalities to give effect to the above bank signatories.,1999年版,四、FIDIC合同条件的彩虹系列（族）,红皮书（土木建筑工程)黄皮书（机电设备供货）（比银皮书要亲承包商）白皮书（设计咨询合同）橙皮书（D+B）银皮书（EPC）（转嫁风险，干涉权）（承包商喜欢修改黄皮书去做EPC交钥匙合同）绿皮书（简短格式）金皮书（DBO）（黄皮书的“化妆版”）2007年版,1987年版,FIDIC First Edition 1999 New Rainbow Series Model,FIDIC Gold Book,September 2007,also referred to as the cosmetic edition of Yellow Book,五、黄皮书的特点,因2007年版的金皮书（Conditions of Contract for Design,Build and Operate Projects，简称DBO）源于黄皮书，故再讲些黄皮书的内容。黄皮书英文全称：Conditions of Contract for Electrical and Mechanical Works including Erection on Site（3rd Edition 1987）；Conditions of Contract for Plant and Design-Build（First Edition 1999）新黄皮书。什么时候用黄皮书？JV很普遍（土建+机电：优势互补，风险共担）。黄皮书做EPC项目要比银皮书亲承包商（pro-Contractor）（部分敞口合同，有变更及调价条款，亦可以索赔，至少土建有机会）。承包商负责设计，还要负责所有现场操作及工程施工的方案。技术标准和法规：（第15.2款合同一般条件/99版第5.4款）符合项目所在国的（！)vs 中国规范（力争）。评标分两步走：技术标+商务标。设备供货 vs 使用/维修手册 vs 爆破图（要小心!）试车 vs 最终验收（PAC vs FAC,红皮书中的另一种叫法）。,黄皮书与红皮书的主要差别,重视专利和知识产权（99版第17.5款/87版77版第16款）。实例：不侵权之宣/Prior Art/已属先有技术了。承包商的设备（Equipment）vs 设备Plant（黄）vs 永久设施（红）。现场/发货前的监制 vs 利弊。付款方式 计价单 Schedule of Prices（黄/第款/99版第14.4款Schedule of Payments）vs 工程量价单 Bill of Quantities（红）；L/C 更类似贸易合同；en route（第33.2(b)款的语言和描述 in respect of Plant shipped and en route to the Site,对 Site 的定义要十分谨慎，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.付款时限（定量制约）14天+28天（黄皮书第33.333.5款）vs 28天+28天（87版红皮书第60款）vs 从承包商把验工计价单呈交给咨询工程师后56天内（99版红皮书第14.6和14.7款）vs 28天+30天（77版红皮书第60款）；而99版银皮书第14.7(b)款直接就是56天（因无咨询工程师）。99版第14.8款/黄皮/第33.6款：如果延误了付款？承包商有权追索利息损 失：承包商本国的中央银行贴现率（discount rate）（or Libor）+3%+其它权利；上述“其它权利”包括了在未收到付款后的14天通知（停工）+28天，即行终止合同（第33.7款/99版第16款）。,黄皮书与银皮书的主要差别（一）,价格结构 黄皮书是价格敞口的合同，而银皮书是价格封口，银皮书的原则就是要把风险转嫁给承包商，这也是银皮书与黄皮书的最关键差别。实际上由于私人融资的有限追索性质，使用银皮书的业主宁愿支付承包商较高的价格，但一定要让其来承担全部风险。咨询工程师 黄皮书里有咨询工程师，但银皮书里没有咨询工程师这个角色，黄皮书就使得承包商在某种程度上有一定的缓冲保护，尤其是当咨询工程师能够比较坚持其专业操守的话。现场数据 黄皮书里业主需向承包商提供地下和水文等数据，承包商只是负责对这些数据进行解释，但银皮书则要求承包商还必须对业主所提供的数据负责核实，加重了承包商的责任。不可预见的地质情况 黄皮书中规定承包商在遇到不可预见的地质情况后有权为此获得工期顺延，但银皮书第4.12款把所有诸如可预见、不可预见甚至无法想像的风险全都转嫁给了承包商。而土建是拖延工期的主要因素之一。延长工期 黄皮书明确说明了可获延期的理由包括：1）由不可预见的实际或天气原因导致的延误，2）由于瘟疫或政府行为导致的不可预见的人力或物资短缺。但这些理由在银皮书中被删掉了。,银皮书第20.1款似乎在形式上给予了承包商索赔的权利，但是，请特别注意看清如下的英文原文：,前提条件为“If the Contractor considers himself to be entitled to any extension of the Times for Completion and/or any additional payment,under any Clause of these Conditions or otherwise in connection with the Contract”，而同时银皮书第4.12款（Unforeseeable Difficulties）里又写明了这样的字句：a）The Contractor shall be deemed to have obtained all necessary information as to risks,contingencies and other circumstances which 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.（这就是定性EPC合同为Lump Sum Contract的合约依据）。,其实，回到了一个很简单的问题 承包商提出索赔要求是否有合同依据？在哪里？是什么？,结论：银皮书第4.12款已经从根本上废掉了承包商进行变更和索赔的合约基础和机会，而现实中没有业主会在特殊条件里主动说要删掉这一条款的！此外，“银皮书”通常很难签下来调价公式，因为第13.8款只是说在特殊条款里予以考虑，但由于国际工程承包市场是一个明显的买方市场，EPC项目的业主通常会以总价合同为由全部删掉调价公式，因而增大了承包商必须面对的通涨风险，而这又是导致承包商盈亏出现戏剧性变化的两大因素之一 尽管银皮书第13.8款所对应的特殊条件编写指南里都写明“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 Plant and Design-Build就是黄皮书！这就是为什么很多有经验的承包商都会以“黄皮书”去与业主商谈签订EPC合同，当然这可另外再做专题讲解）,which may be considered appropriate.Expert advice may be appropriate.”/“专家”与“牛”,黄皮书与银皮书的主要差别（二）,设计责任 黄皮书和银皮书都把设计责任全部压给了承包商，但银皮书比黄皮书走得更远，第5.1款进一步把业主要求中的错误和疏漏(negligence)风险也转嫁给承包商。1）另一方面，银皮书承包商通常会根据“Fitness for Purpose”抗争 State of Art，只要满足签约时双方设定及当时公认的设计标准即可，超出正常使用情况的任何特殊要求或高标准均将被视为变更，业主要为此再向承包商额外追加费用，因为对歧义的解释原则是：当承包商的诉求与业主的要求互相矛盾时，以对承包商有利为准；2）如果业主在银皮书合同里加入雇佣一个咨询工程师来作为业主代表，或通过类似的角色来管理承包商，那法律上他就一定负有“Reasonable Skilled Man and Care”的责任，不可以借口疏漏而逃脱其责任。变更令 黄皮书的第5.1款中，承包商有权核查业主的要求中有无错误和疏漏，并且一旦发现 只要他在投标之前无法合理预见到这些错误和疏漏，那么业主必须为此发出变更令，并且承包商完全有权根据该变更令，按黄皮书第1.9款规定，获得工期延期和费用补偿。索赔、不可抗力及调价公式 尽管黄皮书和银皮书都有索赔条款以及不可抗力Force Majeure条款（黄皮书Clause 34 Calims vs 银皮书 Clause 20 Claims,Disputes and Arbitration；黄皮书Clause 44 Force Majeure vs 银皮书 Clause 19 Force Majuere），而两者在操作时受制于诸多因素，实际上有相当难度。黄皮书有调价公式（第47款），涉及对工、料、运费、司法变更以及其它费用，但银皮书中被全删掉了，因而增大了承包商的风险。结论：黄皮书比银皮书要相对地更亲承包商一些。2007版的FIDIC（DBO）金皮书是黄皮书的“化妆版”。,红皮书、银皮书和黄皮书三者的主要差别,99版红皮书第4.12款里明确 bad ground（hydrological）属于“physical conditions which he(the Contractor)considers to have been unforeseeable”，非常具体地涉及到了bad ground。而银皮书第4.12款（Unforeseeable Difficulties）明确了由承包商来承担所有风险，除非合同中另有规定，承包商对于unforeseeable及bad ground的抗辩都缺乏合同条款依据及支持。如果合同里没有明说，则通常认为承包商已承接了这些风险，lump sum 的EPC总包合同划入到此类里，因此银皮书对承包商并不好。甚至连银皮书第13.8款所对应的特殊条件编写指南里都在明确推荐采用黄皮书“If the Works include tunneling or other substantial sub-surface construction,it is usually preferable for the risk of unforeseen ground conditions to be 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 behalf of)the Contractor”,六、EPC模式下业主的管理介入点及手段,先要明确：EPC合同的特点（没有咨询工程师）及与其它FIDIC彩虹系列合同条件的区别。EPC融资人的关注点：Certainty of Price.内部聘请设计院再监控。现场巡视及独立监理（土建：咨询工程师 vs EPC的原则：业主的不干预；但总包商要特别注意对分包商的监控，力争谈成Pay if paid条款）。重要手段（经济制约）：借助保函、保险（国际通用性），还有 LD vs Penalty/Fine Liquidated Damages(LD)are enforceable whereas a Penalty is not.LD是签约前预先估定的真实伤害值（a reasonable genuine covenanted pre-estimate damage judged of as at the time of making the Contract），其目的是用于惩戒承包商拖延施工，而并非为了在实际出现违约状况后（not at the time of breach）来赔偿业主的全部潜在损失。据此承包商可事先知道其风险程度，而且业主也预知其将受到的保护程度。Penalty/Fine在性质上具有恐吓警告作用（in terrorem），其金额在制定时可能会被无限地夸大，因此在仲裁中可能遭裁定不予支付。承包商有权在签约后抗辩合同中的LD金额太高，性质已经转变成为Penalty，但在仲裁中对此要负有举证责任，而并非是由业主来证明其金额合理与否。,七、国际工程项目上，承包商与业主相互间的责权利靠什么维系及制约？,所有谈判达成一致的东西最终都会归结到法律层面上，也就是要签订合同（put it Black and White）。合同靠什么支撑？法律基础的重要性 商业是建立在两条铁轨上向前跑之说。项目管理者应努力成为“合同专家”！签个MOU对双方有法律制约力吗？案例。律师的问题及建议：你想让它成了以后不能再改变，还是想着签约后仍有跑掉的机会？当然，这个机会对双方均等！案例。商业决策，法律保障。(Domestic features vs Uzbek pjt),八、合同的法律基础,普通法 Common Law vs Law of England and Wales 崇尚合同的自由约定原则（I will do X if you will do Y），通常不会为保障公平或已签合约中不利一方的利益而干预合同，因此很难以显失公允为理由去修改或删除已经签订的文字约定，因为英国法律不保护不公平交易下的合同不利一方。其商法极为发达。衡平法则（Rules of Equity）典型案例 Mortgage 抵押贷款（借60 抵押100房产 罚息按6%x 2年=12%最终退还100 60 60 x12%=32.8）。大陆法 Continental Law vs Napoleonic Code法典 倾向于干涉不公平合同，并会为保护不公平合约中欠获公允对待一方的利益而对原合同进行修改，甚至可能认定所签订的不公平合同为无效合同（也许会出现Surprise Award）。签约始于研究合同！,九、国际工程合同管理的原则,“承包商履约得到支付，业主付款获得工程”。99版红皮书第14.6和14.7款是从承包商把验工计价单呈交给咨询工程师后56天内业主必须付款 咨询工程师要在28天内批出certificate（87版和77版第60款）；而银皮书EPC第14.7(b)款直接就是56天（因无咨询工程师）within含义的重要性。预付款 承包商呈交预付款保函后的42天内（通常验工计价达20%时开始扣还预付款，计价到80%时还清，返还率25%）。咨询工程师签认的验工计价单在法律上有效否？案例。业主对30%的当地币经常拖延，怎么办？案例（参见最后一页英文信函的黄色标注处）。案例 Marshangdi电站（Siemens设备）的铁丝网 vs 砖砌高墙/N级设防，Thats not the Employer is paying for!,The Contractor gets paid for the work he performs and the Employer gets the work he is paying for.价责对筹,Clause 14（Contract Price and Payment