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1、EPC ContractsEPC ContractsTim SteadmanContract Management in Contract Management in International ConstructionInternational ConstructionBeijing, April 28, 2009Beijing, April 28, 2009设计采购施工合同设计采购施工合同Tim Steadman国国际际工程合同管理工程合同管理2009年年4月月28日日 北京北京EPC Contracts - 28 April 20092设计采购施工合同 2009年4月28日2Genera
2、l OverviewIntroduction to CC Construction GroupPurpose of presentationOutline of presentationContextRolesPhilosophyStructureFormKey risks and contract 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 EPC Contracts - 28 April 20093设计采购施工合同 2009年4月28日3Context - EconomicEffect of cyclesParticipantsProc
3、urement methods and structuresPriceRisk allocationFunding 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EPC Contracts - 28 April 20094设计采购施工合同 2009年4月28日4Context Business CultureMost countries embrace market economics (in theory)In practice there are exceptions helpful and otherwiseSo relati
4、onships are to some extent adversarial/competitiveAnd 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）EPC Contracts - 28 April 20095设计采购施工合同 2009年4月28日5Context Legal/RegulatoryLegal system is part of business cultu
5、reThe rule of law/contract is important, especially in project financed dealsCivil and common law systems differ in form and substanceImpact of procurement rulesOn owners behaviourOn 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EPC Contracts - 28 Apri
6、l 20096设计采购施工合同 2009年4月28日6RolesPrime contractor (not always EPC)VendorTechnology licensorInvestorFunder (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)EPC Contracts - 28 April 20097设计采购施工合同 2009年4月28日7PhilosophyAs a contractorOpen bidding or sole source?Immediate profit or market
7、penetration/profile?Sole 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?EPC Contracts - 28 April 20098设计采购施工合同 2009年4月28日8Philosophy (contd)As an ownerAlliance or risk
8、transfer?Linked to funding methodSome sectoral patternsAlso varies between public and private sectorPhilosophy 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EPC Contracts - 28 April 20099设计采购施工合同 2009年4月28日9Structure the ProjectPrivately pr
9、ocuredOn balance sheetOff balance sheetPublicly procuredMay still be accounting considerations, eg in PPPCombinationsPPP projectsConcessionsOthers 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PPAEPC Contracts - 28 April 200910设计采购施工合同 2009年4月28日10Typical PPP Structu
10、rePUBLIC ENTITYCONCESSION CONTRACTSPVSPONSOR EQUITYTHIRD PARTY EQUITY INVESTORSDUE DILIGENCE ADVISER 1MEZZANINE FUNDERSINSURERSCONSTRUCTIONSENIOR FUNDERS (BANK/BOND)SURPLUS REAL ESTATE DISPOSALDUE DILIGENCE ADVISER 2SUBCONTRACTOR 1DESIGNERSEQUIPMENT SUPPLYOPERATION & MAINTENANCEDEVELOPERDUE DILIGENC
11、E ADVISER 3INVESTORSSUBCONTRACTOR 2SUBCONTRACTOR 3BONDS & GUARANTEESSURETIES & GUARANTORS典型PPP结构共同实体特许权合同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EPC Contracts - 28 April 200911设计采购施工合同 2009年4月28日11Structure the Main Construction Con
12、tract(s)EPC/design and buildOwner designedEPCM/CMOther 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EPC Contracts - 28 April 200912设计采购施工合同 2009年4月28日12KEY“Traditional”“Traditional”OWNER CONTRACTORSUB-CONTRACTORS ARCHITECT/ENGINEER = Appointments= Sub-Contracts= Building ContractEPC Structu
13、reKEY“ “传统传统” ”业主承包人分包人建筑师/工程师 = 任命 = 分包合同 = 施工合同EPC结构EPC Contracts - 28 April 200913设计采购施工合同 2009年4月28日13Where does EPC fit in?Where does EPC fit in?Construction ManagementOwner assumes riskContractor retains riskTraditionalDesign & BuildLSTK/ EPCR I S K S P E C T R U MExcept as otherwise stated in
14、 the Contract: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 o
15、f successfully completing the Works; andc)the Contract Price shall not be adjusted to take account of any unforeseen difficulties or costs.LSTK Lump Sum TurnkeyEPC Engineering Procurement and ConstructionEPC Structure (contd)EPCEPC合同适合什么合同适合什么? ?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：a)承包人应
16、当被视为已获知有关风险、意外事故及其他可能影响工程的情况的全部必要信息；b)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c)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)EPC Contracts - 28 April 200914设计采购施工合同 2009年4月28日14EPC Key FeaturesSingle point responsibilitySubject to caps and carve-outsHigh degree of risk for contractorAlso
17、high (but not absolute) degree of contractor controlPriced accordinglyThe preferred structure for project finance/PPP transactionsLinkage to shareholder supportEPC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EPC Contracts - 28 April 200915设计采购施工合同 2009年4月28日15EPC Key Features (
18、contd)Sensitive to market conditions recent historyWide choice of standard contracts (eg FIDIC Silver and Yellow)Commonly used in infrastructure, thermal power and downstream petchemEPC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EPC Contracts - 28 April 200916设计采购施工合同 2009年4月28
19、日16KEY“Traditional”“Traditional”OWNER CONTRACTORSUB-CONTRACTORS ARCHITECT/ENGINEER = Appointments= Sub-Contracts= Building ContractOwner DesignKey“ “传统传统” ”业主承包人分包人建筑师/工程师 = 任命 = 分包合同 = 施工合同业主设计EPC Contracts - 28 April 200917设计采购施工合同 2009年4月28日17Owner Design Key FeaturesMore control for ownerDesign
20、and other risks also retained by ownerHistory of disputesUse has declined in recent decades but still used in, eg, public civil works and technology projectsIncompatible with project finance approach业主设计主要特点业主更多控制设计及其他风险仍由业主保留争议历史近几十年来使用率降低，但仍在使用，例如在公共民用建筑和技术项目中与项目融资方式不兼容EPC Contracts - 28 April 200
21、918设计采购施工合同 2009年4月28日18OWNERTCPROFESSIONAL TEAMARCHITECTSTRUCTURAL ENGINEERM&E ENGINEERQUANTITY SURVEYORCDM CO-ORDINATOR CONSTRUCTION MANAGERTC = TRADE CONTRACTOR= Trade Contract = Appointments= CMAKEYEPCM/CMTCTCTCTCTCTCTCTC业主TCTC专业队伍建筑师结构工程师机械电气工程师成本估算师CDM协调师TCTCTCTCTCTCTC施工项目经理TC = 专业承包商= 专业合同 =
22、任命=注册管理会计师KEYEPCM/CMEPC Contracts - 28 April 200919设计采购施工合同 2009年4月28日19EPCM/CM Key FeaturesEPCM contractor is essentially a consultantOwner bears substantial riskInterfaceRecourse/leverageCan produce the lowest cost and fastest completionBut is heavily dependent on specialist skills, experience and
23、 resourcesCan be disastrous if those are not present examplesWidely used in upstream oil and gas, renewables and some real estate marketsEPCM/CM 主要特点EPCM 承包人实际上是顾问业主承担实质性风险接口追索/杠杆作用能达到最低支出与最快完工但很大程度上有赖于专业技术、经验与资源如果不具备这些将可能损失惨重案例广泛应用于上游油气、可再生资源以及一些不动产市场EPC Contracts - 28 April 200920设计采购施工合同 2009年4月2
24、8日20VariantsTiming two-stage contractingMarket driven and mixed feedbackConversion mechanismScope is FEED included?Can be attractive for contractorsPricing target cost/GMPUsually a consequence rather than a choiceExamples eg 2012Link to philosophy变量时间 两步签约市场驱动与综合反馈转换机制范围 是否包括FEED?对承包人有吸引力价格目标费用/优良制造
25、标准GMP通常是结果而非选择例子例如2012与体系相关EPC Contracts - 28 April 200921设计采购施工合同 2009年4月28日21Forms of Contracta profusion of colour and variety!合同格式n各种各样的色彩和类型!EPC Contracts - 28 April 200922设计采购施工合同 2009年4月28日22Forms of ContractStandard or specially drafted?Relevance of wider structureOrigin of standard formsExa
26、mple of FIDICOther standard forms, eg NEC, AIA, ENAA, EICWhy amend a “proven” form?To correct perceived anomalies or bias (examples)合同格式标准合同抑或特别制定的合同?更广泛结构的相关性标准格式起源FIDIC实例其他标准格式，例如NEC, AIA, ENAA, EIC为何修订“现有”格式?修正已发现的异常或偏差 (例子)EPC Contracts - 28 April 200923设计采购施工合同 2009年4月28日23Forms of Contract (co
27、ntd)To reflect deal specifics or sector practice (examples)To incorporate material from other contracts (eg in PPP)To reflect requirements of funding (which may be owner or contractor sourced)For legal reasons (examples)Who drafts owner or contractor?合同格式(续)反映交易特性或部门实践（例子）吸纳其他合同素材 (例如在PPP合同中)反映融资需求
28、(可能来源于业主或承包人)基于法律原因 (例子)由谁起草业主还是承包人?EPC Contracts - 28 April 200924设计采购施工合同 2009年4月28日24Key Risks and Contract TermsLaw and languageEnglish language and style commonly usedPrecedence and integration of documentsDistinguish language of contract and of communicationsCommon law preferred but less stron
29、gly these daysImpact of local law in any eventWide choice of methods and places for dispute resolution主要风险与合同条款法律与语言通常使用英语语言与文体文件的优先顺序与整体性区分合同语言与交流语言优先考虑普通法，但近来这一趋势减弱任何情况下本地法的影响争议解决方式与地点的广泛选择EPC Contracts - 28 April 200925设计采购施工合同 2009年4月28日25Key Risks and Contract Terms (contd)Quality and scope“Wra
30、pping” eg of technology or existing works or designFitness for purpose and reasonable skill and careInsurance and risk retention implicationsCompliance with laws and consentsSpecial importance of environmental requirementsPass-down from other project documents主要风险与合同条款(续)质量与范围“限制” 例如，对技术或现有工程与设计符合目标
31、及合理技术与注意义务保险与风险保留问题符合法律及约定环境要求的特殊重要性其他项目文件的延续EPC Contracts - 28 April 200926设计采购施工合同 2009年4月28日26Key Risks and Contract Terms (contd)Intellectual propertyOwnership by contractorAssigned or licensed to owner?Scope of licenseIndemnities for infringement capped or not?主要风险与合同条款(续)知识产权承包人的所有权转让或许可给业主?许可
32、范围侵权赔偿有无上限?EPC Contracts - 28 April 200927设计采购施工合同 2009年4月28日27Key Risks and Contract Terms (contd)Performance SecurityJoint liabilityGuaranteesBonds-Types and purposes-Issues with on-demand bonds-Credit issues in current marketRetention funds主要风险与合同条款(续)履约担保共同责任担保人保函类型与目的按需求发放保函在当前市场中按信用发放保函保留基金EPC
33、 Contracts - 28 April 200928设计采购施工合同 2009年4月28日Key Risks and Contract Terms (contd)SubcontractingApprovalStep-in rightsSite conditionsCan threaten viability of project/partiesMitigants-An open-minded approach-Government support-Surveys and staging-Flexibility in design28主要风险与合同条款(续)分包同意介入权现场状况可能威胁到项
34、目/当事方的存续降低风险的办法思维开放的方式政府支持现场考查与筹备设计的弹性EPC Contracts - 28 April 200929设计采购施工合同 2009年4月28日29Key Risks and Contract Terms (contd)LabourLocal lawsLocal preferenceTimeStatus of programmeRemedies for delay-Liquidated damages (“LDs”) for delay-Enforceability issues with delay LDs-Acceleration-Milestones-Lo
35、ok-forward defaultCalculation and capping of LDS主要风险与合同条款(续)劳动力当地法律当地优惠时间计划状况延期赔偿延期违约赔偿金违约赔偿金执行力问题赶工重大事件预期违约延期违约赔偿金的计算与上限EPC Contracts - 28 April 200930设计采购施工合同 2009年4月28日30Key Risks and Contract Terms (contd)Completion, commissioning and testingSector differencesPerformance LDs and make-goodDefects
36、 liabilityTypical periods“Evergreen” clausesLatent and patent defectsRemedies under the general law主要风险与合同条款(续)竣工、试车与试验 部门差别履行违约赔偿金或进行补救缺陷责任典型期限“终生”条款潜在缺陷与显著缺陷依照一般原则的救济EPC Contracts - 28 April 200931设计采购施工合同 2009年4月28日31Key Risks and Contract Terms (contd)VariationsInstructed by the ownerResulting f
37、rom changes in law or standards-Examples of risk allocationPrice and paymentLump sum or other?Currency issuesInput cost fluctuationMilestones or measurement?Offsite materials主要风险与合同条款(续)变更按照业主指示因法律或标准的变化风险分担的例子价款与支付总价合同或其他?货币问题投入成本的波动重大事件或测量?场外原料EPC Contracts - 28 April 200932设计采购施工合同 2009年4月28日32Ke
38、y Risks and Contract Terms (contd)Advance paymentsCashflow neutralityPayment security for contractorSet-off and correctionECA requirementsRemedies for non-paymentRole of lenders engineer主要风险与合同条款(续)预付款现金流平衡给承包人的付款担保抵销与补偿ECA要求未付款的救济贷款人工程师的角色EPC Contracts - 28 April 200933设计采购施工合同 2009年4月28日33Key Risk
39、s and Contract Terms (contd)TerminationFor owner convenience-Payment of profitFor force majeureFor owner default-Typical grounds-RemediesFor contractor default-Typical grounds-Remedies (to include rejection?)主要风险与合同条款(续)终止基于业主的利益支付利润基于不可抗力基于业主违约典型原因救济基于承包人违约典型原因救济(包括拒收? )EPC Contracts - 28 April 200
40、934设计采购施工合同 2009年4月28日34Key Risks and Contract Terms (contd)RiskIndemnitiesTreatment of hazardous sitesCare of the worksExcepted risksLink to insuranceLiabilityLiability capExclusion of “consequential loss”Exceptions主要风险与合同条款(续)风险补偿危险现场的处置工程移交除外责任与保险的联系责任责任限额“后续损失”的排除除外EPC Contracts - 28 April 20093
41、5设计采购施工合同 2009年4月28日35Key Risks and Contract Terms (contd)InsuranceMain categories-CAR/EAR-TPL/PL-PII-Plant and vehicles-DSA/ALOP-Latent defects-Operational insuranceWho arranges cover?Other contract terms主要风险与合同条款(续)保险主要类型工程一切险/建筑物一切险第三方责任险、公共责任险职业免责险设备与装置债务中止协议/预期利润损失险潜在缺陷运营保险由谁决定保险赔偿的分配?其他合同条款EPC
42、 Contracts - 28 April 200936设计采购施工合同 2009年4月28日36Key Risks and Contract Terms (contd)Force MajeureOpen or closed clause?Territorial limits?ExclusionsConsequences主要风险与合同条款(续)不可抗力开放式或封闭式条款?区域性限制?除外情况后果Clifford Chance, 10 Upper Bank Street, Canary Wharf, London, E14 5JJ, UK Clifford Chance LLP 2007Clif
43、ford Chance Limited Liability PEPC ContractsEPC ContractsContract Management in Contract Management in International ConstructionInternational ConstructionBeijing, April 28, 2009Beijing, April 28, 2009Clifford Chance, 10 Upper Bank Street, Canary Wharf, London, E14 5JJ, UK Clifford Chance LLP 2007Clifford Chance Limited Liability P设计设计采采购购施工合同施工合同国国际际工程合同管理工程合同管理20092009年年4 4月月2828日日 北京北京
