《国际工程变更索赔及反索赔及案例分析》由会员分享,可在线阅读,更多相关《国际工程变更索赔及反索赔及案例分析(80页珍藏版)》请在金锄头文库上搜索。
1、国际工程项目变更、索赔与 反索赔及案例分析,中信建设公司 田威,一、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。 签个MOU对双方有法律制约力吗? 律师的问题及建议:你想让它成了以后不能改变,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! 商业决策,法律保障。,二、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
2、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 60x12% = 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,
3、甚至认定所签订的不公平合同为无效合同(可能会出现Surprise Award)。,三、国际工程项目管理的原则,“承包商工作/干活/履约得到支付,业主付款获得工程”。 99版FIDIC第14款/77版和87版第60款的重要性(within的含义),见下页分析。 案例(30%当地币经常拖延,怎么办?),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) 99版FIDI
4、C为例,14.3 The Contractor shall submit a Statement in six copies to the Engineer after the end of each month (也有规定最小验工计价金额的情形) 14.6 No amount will be certified or paid until the Employer has received and approved the Performance Security. Thereafter, the Engineer shall within 28 days after receiving a
5、 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 The Employer shall pay to the Contractor (b) The amount certified in each Interim Payment Certifica
6、te within 56 days after the Employer receives this Payment Certificate. 分析:HK 45 days vs 87版也是56天 vs 77版30+30天;如果SCC改成within a reasonable time?哪个好?,四、咨询工程师在合同中是何法律 地位?,承包商与咨询工程师并无直接的合同关系,但普通法认定双方存在着一种“特殊关系”,因为承包商履约的前提是必须相信咨询工程师所提供的信息并按其指令行事,所以得到了侵权行为法(The Law of Tort)的保护。 咨询工程师签认的验工计价单在法律上有效否?案例。,五、
7、波纹理论(The Ripple Theory) 及其适用性,99版FIDIC第19款里正式使用了Force Majeure的说法。 在77/87版中,当发生Force Majeure(但条款里的表述用词是force of nature, Clause 20.4, any operation of the forces of nature against which an experienced contractor could not reasonably have been expected to take precautions ) 后,与一般的贸易合同处理原则不同,不是各自分担,而是划到
8、了业主违约的范畴里面(Clause 20, Clause 65, Clause 69)。,六、怎么看“低价拿标,靠索赔赚钱”的说法,1)从理论上分析(数学推算):(10 Days MBA) “低价”的本质就是削减利润,那么 原来是25%的毛利,假设现在降到了15%,则要多做多少才能持平原来的25%? (25%-15%)/15% = 10%/15% = 0.667 如果降到12.5%,则要多做多少才能持平原来的25%? (25%-12.5%)/12.5% = 12.5%/12.5% = 1, 即再多做一个 如果降到5%,则要多做多少才能持平原来的25%? (25%-5%)/5 = 20%/5%
9、= 4 如果降到1%,则要多做多少才能持平原来的25%? (25%-1%)/1% = 24%/1% = 24 ! ? 第一个问题:值吗?无法消灭对手的有生力量 vs 自残(倾向) 第二个问题:深层次上,对于多做的0.667、1、4、24个,如何看待时间跨度的延长、风险出现的或然率等多因素影响(vs Slogan Management)? 结论:价格竞争是下下策,只能是最后的选择!价格战多数没好结果。 2)从实践上探讨:后面将分析两个案例,七、承包商创收的三大支柱,要特别注意可操作性。 1) 变更令(V.O)(第51款和第52款/99版第13款); 2) 调价公式(第70款/99版第13.8款;
10、银皮书第13.8款,但EPC项目业主通常以是总价合同为理由而删掉); 3) 索赔(77版第52.5款/87版第53款/99版第20.1款;银皮书第20.1款,但比红皮书来得难很多)vs 反索赔。 Major Claim 10%20%(分水岭),案例(煤矿透水),您自己怎么决策?,八、变更令(V.O.),Clause 52(Variations) The Engineer shall make any variation of the form, quality or quantity of the Works or any part thereof that may, in his opini
11、on, be necessary and for that purpose, or if for any other reason it shall, in his opinion(vs at the Engineers Discretion), be appropriate, he shall have the authority to instruct the Contractor to do and The Contractor shall not make any such variation without an instruction of the Engineer. 变更令 工作
12、量增减 10% vs 15% ,对合同有效金额而言(扣除PS项及点工),调整单价; 索赔在77版FIDIC中是作为V.O.的子项在描述。 案例,SNV修小桥,九、调价公式(两大戏剧性变化因素之一),调价公式的通式: 其中 X = 0.15左右(世界银行的项目取此值),该值通常与预付款的比例相等,现实含义就是业主已给出的预付款部分不适用调价公式,i.e. 若预付款是15%,则只有85%可以进行调价。 对于承包商:X 越小越好(参与调价的百分比越大) a,b,c,n 为加权系数,即各项调价的成本因子(比重),常数 约束条件为 X + a + b + c + n = 1 公式中的价格调整因子,L,
13、E, M,W,变量 vs 初始值 在验工计价单中,预付款是先扣除后再进行调价,还是先调价后再扣除?(涉及到调价金额的30%左右) 案例(第60.1款规定优先次序:H核算调价,J扣除保留金,K扣还预付款计25%;第60.11款预付款扣还比例为每次验工计价总款之25% ) 参见FIDIC合同条件应用实务(第二版)pp.134143(价格调整),十、分析一个索赔成功案例,Naubise-Maleku Highway Reconstruction Project 项目背景 世界银行贷款项目,981万美元,强制使用国际通用的FIDIC合同 Quiz(成本、工期、索赔) 结局 咨询工程师准仲裁 国际仲裁
14、友好 解决 索赔清单(Terms of Reference/List of Reference) 补偿金额:443万美元(构成:173万美元 + 2,100万人民币 + 11万美元/尼卢比) 占到合同额981万的45.16%,十一、涉及到的主要条款 Clause 12(Adverse Physical Obstructions or Conditions),If, however, during the execution of the Works the Contractor encounters physical obstructions or physical conditions, o
15、ther than climatic conditions on the Site, which obstructions or conditions were, in his opinion, not foreseeable by an experienced contractor, the Contractor shall forthwith give notice thereof to the Engineer, with a copy to the Employer. Cond,(续),On receipt of such notice, the Engineer shall, if
16、in his opinion such obstructions or conditions could not have been reasonably foreseen by an experienced contractor, after due consultation with the Employer and the Contractor, determine: any extension of time under Clause 44, and the amount of any cost which may have been incurred by the Contractor, which shall be added to the Contract Price . (这句话导致投标时的一次性降价对承包商永远适用;问题:包括索赔金额吗?案