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1、EPCContracts,TimSteadman,ContractManagementin InternationalConstruction,Beijing,April28,2009,设计采购施工合同,TimSteadman,国际工程合同管理,2009年4月28日北京,2,General Overview,Introduction to CC Construction Group Purpose of presentation Outline of presentation Context Roles Philosophy Structure Form Key risks and contr
2、act terms,概述,高伟绅律所建设工程团队介绍 演讲目的 演讲概要 背景 角色 体系 结构 形式 主要风险与合同条款,3,Context - Economic,Effect of cycles Participants Procurement methods and structures Price Risk allocation Funding sources and methods,背景-经济,体系循环的效果 参与者 采购方式与结构 价格 风险分担 资金来源与方式,4,Context Business Culture,Most countries embrace market eco
3、nomics (in theory) In practice there are exceptions helpful and otherwise So relationships are to some extent adversarial/competitive And negotiations can be complex (especially if lenders are involved),背景商业文化,（理论上）大多数国家信奉市场经济 实践中存在例外有益或有害 因此 在某种程度上存在对抗/竞争性关系 谈判存在复杂性（尤其涉及贷款人时）,5,Context Legal/Regula
4、tory,Legal system is part of business culture The rule of law/contract is important, especially in project financed deals Civil and common law systems differ in form and substance Impact of procurement rules On owners behaviour On bidding tactics,背景法律法规,法律体系是商业文化的一部分 法治/契约规则很重要，尤其在项目资金筹措交易中 罗马法与普通法系
5、在形式与实质上存在不同 采购规则的影响 对业主的行为 对投标技巧,6,Roles,Prime contractor (not always EPC) Vendor Technology licensor Investor Funder (deliberate or by default),角色,总承包商(并非总以EPC合同形式) 供应商 技术许可人 投资者 融资者 (有或无),7,Philosophy,As a contractor Open bidding or sole source? Immediate profit or market penetration/profile? Sole
6、 or in consortium? Legal and practical consequences of joint liability? Equity or contracting role only?,体系,作为承包人 公开投标或唯一来源? 希求得到直接利润或通过市场渗透/打造企业形象? 单独投标或联合投标? 共同责任的法律后果或实际后果? 入股抑或仅仅是承包人角色?,8,Philosophy (contd),As an owner Alliance or risk transfer? Linked to funding method Some sectoral patterns Al
7、so varies between public and private sector Philosophy is influential only if shared within supply chain,体系(续),作为业主 联合或风险转移? 与融资方式相关联 一些部门模式 公共部门与私营部门不同 体系仅在供应链共享范围内有影响,9,Structure the Project,Privately procured On balance sheet Off balance sheet Publicly procured May still be accounting considerati
8、ons, eg in PPP Combinations PPP projects Concessions Others eg PPAs,结构项目,私下获得项目 资产负债表上 资产负债表外 公开获得项目 仍可能考虑对价，例如在PPP（公私合伙）合同中 结合 PPP （公私合伙）项目 让步 其他 例如PPA,10,Typical PPP Structure,PUBLIC ENTITY,CONCESSION CONTRACT,SPV,SPONSOR EQUITY,THIRD PARTY EQUITY INVESTORS,DUE DILIGENCE ADVISER 1,MEZZANINE FUNDER
9、S,INSURERS,CONSTRUCTION,SENIOR FUNDERS (BANK/BOND),SURPLUS REAL ESTATE DISPOSAL,DUE DILIGENCE ADVISER 2,SUBCONTRACTOR 1,DESIGNERS,EQUIPMENT SUPPLY,OPERATION & MAINTENANCE,DEVELOPER,DUE DILIGENCE ADVISER 3,INVESTORS,SUBCONTRACTOR 2,SUBCONTRACTOR 3,BONDS & GUARANTEES,SURETIES & GUARANTORS,典型PPP结构,共同实体
10、,特许权合同,SPV,发起人股份,第三方股份 投资人,合理注意顾问1,中间融资者,保险人,建设,高级融资者 (银行/债券),剩余不动产处置,合理注意顾问2,分包人1,设计人,设备供应,运营与维护,开发商,合理注意顾问3,投资人,分包人2,分包人 3,保函与担保,担保与保证,11,Structure the Main Construction Contract(s),EPC/design and build Owner designed EPCM/CM Other variants,结构主建设合同,设计采购施工/设计施工 业主设计 设计采购施工管理/施工管理EPCM/CM 其他变量,12,KEY
11、,“Traditional”,OWNER,CONTRACTOR,SUB-CONTRACTORS,ARCHITECT/ENGINEER,EPC Structure,KEY,“传统”,业主,承包人,分包人,建筑师/工程师,EPC结构,13,Where does EPC fit in?,Construction Management,Owner assumes risk,Contractor retains risk,Traditional,Design & Build,LSTK/ EPC,R I S K S P E C T R U M,Except as otherwise stated in t
12、he Contract: 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; by signing the Contract, the Contractor accepts total responsibility for having foreseen all difficulties and costs of su
13、ccessfully completing the Works; and the Contract Price shall not be adjusted to take account of any unforeseen difficulties or costs.,LSTK Lump Sum Turnkey EPC Engineering Procurement and Construction,EPC Structure (contd),EPC合同适合什么?,建设管理,业主承担风险,承包人保留风险,传统,设计施工,LSTK/ EPC,风险幅度,除非在合同中另有约定外： 承包人应当被视为已
14、获知有关风险、意外事故及其他可能影响工程的情况的全部必要信息； 一俟签约，承包人即接受了所预见到的各类困难的全部责任并承担顺利完工的一切费用；且 合同价款不得因考虑任何不可预见的困难或费用而调整。,LSTK 一次性付款交钥匙 EPC 设计采购施工,EPC结构(续),14,EPC Key Features,Single point responsibility Subject to caps and carve-outs High degree of risk for contractor Also high (but not absolute) degree of contractor con
15、trol Priced accordingly The preferred structure for project finance/PPP transactions Linkage to shareholder support,EPC主要特点,单一责任 责任的上限及分割 承包人承担高风险 项目多由承包人控制，但非完全控制 相应报价 项目融资的更优模式/PPP交易 与股东支持的联系,15,EPC Key Features (contd),Sensitive to market conditions recent history Wide choice of standard contract
16、s (eg FIDIC Silver and Yellow) Commonly used in infrastructure, thermal power and downstream petchem,EPC主要特点(续),对市场条件敏感最近的历史 可以选择更多的标准合同 (例如FIDIC银皮书和黄皮书) 在基础设施、热电厂和下游石化行业中应用,16,KEY,“Traditional”,OWNER,CONTRACTOR,SUB-CONTRACTORS,ARCHITECT/ENGINEER,Owner Design,Key,“传统”,业主,承包人,分包人,建筑师/工程师,业主设计,17,Owner Design Ke
