FIDIC应用实务与国际工程项目管理应用实务与国际工程项目管理（包括对提升国内项目合约管理水平的启示）（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tianweiciticua.com一、继续教育的重要性一、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 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。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。罗蒙诺索夫的导师说：“不可以生活在别人的智慧里，即使对著名的学者，也不应盲目信任。”银行账户签字 原则：制约 + 便捷GroupA（51%）GroupB（49%）索刘田杨宋AnyonesignatoryfromGroupAJOINTLYwithanyonesignatoryfromGroupB.（五位均为公司董事）ForanyamountlessthanUS$50,000.00SINGLYbyMDSong（宋，董事总经理）对方电话突然提出的问题 当地法律规定法律规定法律规定法律规定：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？GroupA（51%）GroupB（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当地法律当地法律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AnytwosignatoriesfromGroupAJOINTLYwithanytwosignatoriesfromGroupB.Itwasfurtherresolvedthatanydirectororthesecretarybeauthorizedtoundertakethenecessaryformalitiestogiveeffecttotheabovebanksignatories.我的原则是先讲真实案例（都是我亲自处理过的项目），再与大家分享并探讨相关思考。很多内容原本是英文，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、为什么是二、为什么是 FIDIC？ 国际惯例国际惯例国际惯例国际惯例对项目合同管理的实用价值对项目合同管理的实用价值项目的启动是从保函开始的。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）； 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。AuthenticationvsEndorsement/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。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ProjectManagerDateTheEmployerDearSir,Re: Performance SecurityWehavepleasureinenclosingouroriginalPerformanceBankGuaranteeasrequiredinaccordancewithClause4.2(PerformanceSecurity)(87版是Clause10.1)oftheConditionsofContract.ThisGuaranteehasbeenissuedbyChineseABCBankandauthenticatedbylocalXYZBankintheFormasapprovedinyourresponseletterRef.No.Dated.Wetrustthatthiswillbeentirelysatisfactorytoyouandwouldappreciateyouracknowledgementforourrecord.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)cc:EngineerinChiefTheEngineer(withphotocopyofauthenticatedPerformanceBankGuarantee)EngineerinChiefDateTheEngineerDearSir,Re: Evidence and Terms of InsuranceWearewritingtoconfirmthatpursuanttoClause18(Insurance)(87版是Clause25.1)oftheConditionsofContractthatweareprovidingthepoliciesofInsurancetotheEmployerc/oyoutheEngineer.TheInsuranceeffectedareconsistentwithallthetermsagreedpriortotheissueoftheLetterofAcceptance.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)cc:ProjectManagerTheEmployer英文例函三、三、国际国际工程项目上，承包商与业主相互工程项目上，承包商与业主相互间的责权利靠什么维系及制约？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)四、合同的法律基础四、合同的法律基础普通法CommonLawvsLawofEnglandandWales崇尚合同的自由约定原则（IwilldoXifyouwilldoY），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（RulesofEquity）典型案例Mortgage抵押贷款（借60抵押100房产罚息按6%x2年=12%最终退还1006060x12%=32.8）。大陆法ContinentalLawvsNapoleonicCode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SurpriseAward）。签约签约签约签约始于始于始于始于研究合同！研究合同！研究合同！研究合同！ 五、五、国际国际工程合同管理的原则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，返还率25%，计价到80%时还清）。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）。TheContractorgetspaidfortheworkheperformsandtheEmployergetstheworkheispayingfor.价责对筹Clause 14 Clause 14 （Contract Price and PaymentContract Price and Payment） 99版FIDIC红皮书为例14.3TheContractorshallsubmitaStatementinsixcopiestotheEngineeraftertheendofeachmonth（也有规定最小验工计价金额的情形）14.6NoamountwillbecertifiedorpaiduntiltheEmployerhasreceivedandapprovedthePerformanceSecurity.Thereafter,theEngineertheEngineershallwithin28dayswithin28daysafterreceivingaStatementandsupportingdocuments,issuetotheEmployeranInterimPaymentCertificatewhichshallstatetheamountwhichtheEngineerfairlydeterminestobedue,withsupportingparticulars.14.7TheEmployershallpaytotheContractor(b)theamountcertifiedineachInterimPaymentCertificatewithin56daysaftertheEngineerreceivestheStatement56daysaftertheEngineerreceivestheStatementandsupportingdocuments.分析：HK45daysvs87版红皮书为28天+28天 vs 77版红皮书为28+30天; 如果SCC把业主付款改成90天，120天，180天，甚或withinareasonabletime？如何取舍？英文例函EngineerinChiefDateTheEngineerDearSir,Re: Notification of Non PaymentWerefertotheEngineersCertificateNodated(withourmonthlyStatementNo)andregrettonoticethatwehavenotreceivedyourpaymentaftertheEngineerreceivesthesameandoursupportingdocumentswithinthestipulatedperiodof56(FiftySix)dayspursuanttoClauses14.7(Payment)and14.8(DelayedPayment)(87版为Clause60.10)oftheConditionsofContract.UnderthecircumstancesinterestentitlementattheratestatedintheAppendixtoTenderwillbeincludedinournextstatementforpayment.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)同样，对于咨询工程师或业主此次扣减掉但经核实后在以后的验工计价中又予以支付的工程款，承包商有权要求拿回利息损失。英文例函ProjectManagerDateTheEmployerDearSir,Re: Notice of Termination of ContractPursuanttoClause16.2(TerminationbyContractor)(87版是Clause69.1)oftheConditionsofContractwewritetogiveyounoticethatwitheffectfrom14(Fourteen)daysafterthegivingofthisnoticeweshallterminateouremploymentundertheContract.SuchnoticeisgivenonthegroundthatyouhavefailedtopaytheamountdueagainsttheEngineersCertificateNoaswellasourmonthlyStatementNo.datedwithin56(FiftySix)daysafterthetimestatedinClauses14.7,14.8and16.2(c)(87版是Clause60.10).Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)cc:EngineerinChiefTheEngineer77版、87版及99版的区别：77版为承包商即刻可以终止合同，再按业主违约追讨损失；87版有两种选择：一可选择索要利息，二也可选择按业主违约而终止合同，并在发出通知的14天后生效；99版是先可索要利息，但想要终止合同，还必须待第56天后再等42天，如果仍没能收到应付工程款，才能通知与业主终止合同，并在发出通知的14天后生效。您怎么选择？六、六、FIDIC合同条件的历史沿革及形成合同条件的历史沿革及形成 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象，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FdrationInternationaledesIngnieurs-Conseils的缩写，中文常译为“菲迪克”。1913年成立。走出去，要接轨。从操作层面上来讲，要“走三步”：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！源于英国的ICE合同，英文是工作语言英文是工作语言英文是工作语言英文是工作语言，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，InterimStatement,InterimCertificate,InterimPayment与中文“验工计价”的不同。ICE1945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）；FIDIC1957（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 1999First Edition 1999）。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。ICEpro-Employer，1818年成立，完全买方市场；FIDICpro-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。 19991999年版年版年版年版 七、七、FIDICFIDIC合同条件的彩虹系列（族）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”）20072007年版年版年版年版 19871987年版年版年版年版八、黄皮书的特点八、黄皮书的特点 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。 付款方式付款方式 计价单 Schedule of Prices（黄/第1.1.27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 routeen 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从承包商把验工计价单呈交给咨询工程师后5656天内天内（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/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）黄皮书与银皮书的主要差别（一） 价格结构价格结构 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。黄皮书与银皮书的主要差别（二）黄皮书与银皮书的主要差别（二） 设计责任设计责任 黄皮书和银皮书都把设计的全部责任压给承包商，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。 变更令变更令 黄皮书的第5.1款要求承包商核查业主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”。九、九、EPCEPC模式下业主的管理介入点及手段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。十、十、FIDIC合同条件的强制性和严肃性合同条件的强制性和严肃性奥地利经济学家FriedrichA.vonHayek（诺贝尔经济学奖得主）说：“从好人的假设出发，只会设计出坏制度；从坏人的假设出发，才会设计出好制度”。因此，需要假设人人都坏的好制度。英国人也有类似的说法。强制性，99版第15款vs第16款/87版和77版第63款vs第69款。严肃性，十分注重evidence,substantiation,verification。因此，alotofpaperwork。要证明事实与条款相符（FaitAccompli），螺丝螺母（咬合）原则书面往来中对事件的描述必须引述合同中的条款号，并准确清晰采用其中的用词做出描述。研读合同vs合约管理缺失！案例007Bond,JamesBond（棒，真棒！）/JackBond（假棒）vsHansRijiniveld/Bogarz，见下页英文例函。“天下难事，必做于易；天下大事，必做于细”（老子）。“Thedeviliswithdetail”。案例成败源于细节vswaxseal/投标。英文例函ProjectManagerDateTheEmployerDearSir,Re: Assistance with Customs ClearanceWerefertoourContractwithyoufortheconstructionofAsarequirementfortheWorkswehaveplacedordersforvariousitemsofconstructionplantandmaterials(includingoil，国际金融机构及经济援助的项目通常全部免除海关税，包括施工用油料)andwewouldaskforyourassistanceinobtainingclearancethroughCustomsfortheencloseditemspursuanttoClauses1.13(CompliancewithLaws)and2.2(Permits,LicencesorApprovals)(87版是Clause54.3)oftheSpecialConditionsofContract.Maywerequestameetingwithyoutodiscussthismatteratyourearliestconvenience.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)Enc.十一、咨询工程师在合同中是何法律十一、咨询工程师在合同中是何法律 地位？地位？什么是“諮詢諮詢”？咨询工程师（99版第3款/87和77版第2款)。“借你的表，然后再告诉你几点种的人”。常称为“三位一体”，英文叫ThetrinityoftheEmployer，theConsultingEngineerandtheContractor，但这个三角关系并非是等边三角形。咨询工程师与承包商的关系：过滤层，有些类似婚姻关系。案例Witness签字的位置；金刚山。咨询工程师vs监理工程师，中外理解上的差异。最大风险:ProfessionalIndemnityInsurance这种保险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提供的信息并按其指令行事，所以得到了侵权行为法（TheLawofTort）的保护。 第4.1款（87版和77版第7.2款）规定承包商设计永久部分的施工图，同时第3.1(c)款（87版和77版第7.3款）写明咨询工程师的批复并不解除承包商的任何责任 适用于隐含法律原则：设计者有责任确保其设计“FitnessforPurpose”。EngineerinChiefDateTheEngineerDearSir,Re: Permanent Works Designed by the ContractorInaccordancewithClauses4.1(ContractorsGeneralObligations)and13.2(ValueEngineering)(87版为Clause7.2)oftheConditionsofContractwehavepleasureinenclosingourdetaileddrawingsanddesigncalculationsfortheasrequestedbyyouandlookforwardtoreceivingyourscrutinyandapprovalscrutinyandapprovaltothesewithinthenext7(Seven)days.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)英文例函这里的红字表述使得当争端最终提交仲裁后，很有可能被判定也要去追究咨询工程师的连带责任（jointandseveralliabilities）,从而转嫁部分风险法理抗辩原则是OnecannotBenefitfromOnesOwnErrors但需事先咨询资深律师！十二、怎么看十二、怎么看“低价拿标，靠低价拿标，靠索赔索赔赚钱赚钱”的说法的说法 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% = 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，如何看待时间跨度延长、风险出现几率等多因素影响（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。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：后面将分析若干案例。 Top 10Top 10Top 10Top 10/72/20条？ 十三、波纹理论（十三、波纹理论（The Ripple Theory） 及其适用性及其适用性99版第19款里正式使用了ForceMajeure的说法。在87版中，当发生ForceMajeure（但条款里的表述用词是forceofnature,Clause20.4,anyoperationoftheforcesofnatureagainstwhichanexperiencedcontractorcouldnotreasonablyhavebeenexpectedtotakeprecautions）后，与一般的贸易合同处理原则不同，不是各自分担，而是划到了业主违约的范畴里面（Clause20,Clause65,Clause69）。十四、承包商创收的三大支柱十四、承包商创收的三大支柱 要特别注意可操作性。 1) V.O（99版第13款/87版第51款和第52款）。银皮书第13款，EPC模式下的变更收钱很难，受制于Lump Sum Contract； 2) 调价公式（99版第13.8款/87版第70款）。银皮书第13.8款，说是在特殊条款里予以考虑，但EPC项目业主通常以是总价合同为理由而删掉）； 3) 索赔（99版第20.1款/87版第53款/77版第52.5款）。银皮书第20.1款，EPC模式下进行索赔比起红皮书来难很多 vs 反索赔。 案例案例（煤矿透水）：合同金额1亿美元，索赔额 600万美元 900万美元 1,200万美元，您自己怎么决策？ 结局：2,200万美元（13,00万美元 + 900万美元）。 探讨几个问题。 Major Claim Major Claim 10%10%20%20%（分水岭）。（分水岭）。 十五、工程变更（十五、工程变更（V.O.V.O.）Clause 13.1（Right to Vary）VariationsmaybeinitiatedbytheEngineer（vsattheEngineersDiscretion)atanytimepriortoissuingtheTaking-OverCertificatefortheWorks,eitherbyaninstructionorbyarequestfortheContractortosubmitaproposal.TheContractorshallexecuteandbeboundbyeachVariation,unlesstheContractorpromptlygivesnoticetotheEngineerstating(withsupportingparticulars)thattheContractorcannotreadilyobtaintheGoodsrequiredfortheVariation.Uponreceivingthisnotice,theEngineershallcancel,confirmorvarytheinstruction.EachVariationmayinclude:(a)changestothequantitiesofanyitemofworkincludedintheContract(however,suchchangesdonotnecessarilyconstituteaVariation),(b)changestothequalityandothercharacteristicsofanyitemofwork,(c)changestothelevels,positionsand/ordimensionsofanypartoftheWorks,(d)omissionofanyworkunlessitistobecarriedoutbyothers,(e)anyadditionalwork,Plant,MaterialsorservicesnecessaryforthePermanentWorks,includinganyassociatedTestsonCompletion,boreholesandothertestingandexploratorywork,or(f)changestothesequenceortimingoftheexecutionoftheWorks.TheContractorshallnotmakeanyalterationand/ormodificationofthePermanentWorks,unlessanduntiltheEngineerinstructsorapprovesaVariation.索赔在77版FIDIC中是作为V.O.的子项在描述。 案例，SNV修小桥。 变更令 工作量增减 10% vs 15% ，87版是对合同有效金额而言（扣除PS项及点工），调整单价。英文例函EngineersRepresentativeDateTheEngineerDearSir,Re: Notification of Valuations Exceeding 10 (Ten) PercentIthasbecomeapparentthatontheissueofTaking-OverCertificateforthewholeoftheWorksitwillbefoundthattherehasbeenanincrease/ordecreasegreaterthan10(Ten)PercentoftheEffectiveContractPrice,i.e.theContractPriceexcludingProvisionalSumsanddayworksallowances.IntheeventofthisoccurringwewillwishtheamountoftheContractPricetobeadjustedhavingregardtoourSiteandgeneraloverheads.Wedeemthistobethenotice,ifrequired,pursuanttoClauses12.3(Evaluation)and13.1(a)(i)(RighttoVary)(87版是Clause52.3,为15%)oftheConditionsofContract.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)英文例函EngineerinChiefDateTheEngineerDearSir,Re:Request for Reimbursement of Costs in Correcting Inaccurate Setting-out Data V.O & EOTWerefertoyoudrawingRef.Nowhichgivedetailsofsetting-outpoints,linesandlevelsofreferenceforallpartsoftheWorks.Ithasnowbecomeapparentthedrawingsisinaccurateinsomuchthatandwehaveasadirectresultofworkingtotheinformationgivenincurredunforeseeableexpensesincurredunforeseeableexpensesincorrectingthesetting-outandcorrectingfaultyconstructionwork.MaywethereforerequestthattheadditionalcoststhatwehaveincurredadditionalcoststhatwehaveincurredbereimbursedtousbereimbursedtouspursuanttoClause4.12(UnforeseeablePhysicalConditions)(87版是Clause17.1/Setting-out)oftheConditionsofContract.ToenableyoutodetermineanadditiontotheContractPriceanadditiontotheContractPriceinaccordancewithClause13.1(RighttoVary)and13.2(ValueEngineering)(87版是Clause52)oftheConditionsofContractwearemaintainingcontemporaryrecordsandtheyareavailabletoyoutoassistyourdetermination.ByservingthisletterwealsorequestforanEOTpursuanttoClauses8.4(ExtensionofTimeforCompletion)(87版是Clause44.1)and20.1(ContractorsClaims)(87版是Clause53)oftheConditionsofContract.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)英文例函EngineersRepresentativeDateTheEngineerDearSir,Re: Notification of a Varied RateInaccordancewiththerequirementsofClause13(VariationsandAdjustments)(87版是Clause52)wewritetogivenoticepursuanttoClause12.3(Evaluations)(87版是Clause52.2(a)oftheConditionsofContractofourintentiontoadjustavariedrateforsincethenatureoftheworkarisingfromyourVariationOrderNoissuchastorendertheContractrateinapplicableforthefollowingreasonsYoursfaithfully,ProjectManagerTheContractor(Co.Ltd)英文例函EngineersRepresentativeDateTheEngineerDearSir,Re: Boreholes and Exploratory Excavation V.OFurthertoyourrecentrequestwewritetoconfirmthatwehavecompletedourpreparationforthe exploratoryexcavationwork.ThisworkisnotcoveredbyeitheraBillofQuantitiesitemorincludedthereinasaProvisionalSum.MaywethereforerequestaninstructioninwritingundertheprovisionofClause13(VariationsandAdjustments)(87版是Clause51.1),pursuanttoClauses13.1(e)and13.3(87版是Clause18.1)oftheConditionsofContract.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)英文例函EngineersRepresentativeDateTheEngineerDearSir,Re: Removal of Improper Work V.OWerefertoyourInstructionNorequiringustoremoveonthebasisthatofourwrongfulworkmanshipandwehaveimproperlyconstructedthisbyusingmaterialswhichdonotcomplywiththeSpecialSpecificationsofContract.WehavenowlookedatthismattercarefullyanditisouropinionthattheworkmanshipandmaterialsusedcomplyfullywiththeSpecialSpecifications,assuchtheirremovalshouldnotberequiredpursuanttoClause11.5(Removal ofDefectiveWork)(87版是Clause39.1)butshouldbethesubjectofaVariationOrderissuedunderClause13(VariationsandAdjustments)(87版是Clause51.1)oftheConditionsofContract.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)英文例函EngineerinChiefDateTheEngineerDearSir,Re: Clarification of Works of Repair V.OWerefertotheScheduleofDefectsissuedpursuanttoClause11.1(CompletionofOutstandingWorkandRemedyingDefects)(87版是Clause49.2)andwritetoadviseyouthatinouropinionthefollowingitems(a)(b)(c)aredefectswhicharenotattributabletoanyneglectorfailureonourparttocomplywithanyobligationexpressedorimpliedundertheContract.Asweregardtheseitemsofdefectstohavearisenfromothercauseswerequestthatthevalueinmakinggoodbethereforeassessedandpaidforasadditionalworkadditionalwork inaccordancewithClauses13(Variation)and12.3(Evaluation)(87版是Clauses51.1and52.1)pursuanttoClause11.2(CostofRemedyingDefects)(87版是Clause49.3)oftheConditionsofContract.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)英文例函EngineerinChiefDateTheEngineerDearSir,Re: Damage to Works by Special Risks V.O & EOTWewritetogivenoticethatasaresultofdamagetotheWorksbyaspecialriskintheformof,reimbursementissoughtreimbursementissought pursuanttoClause17.4(ConsequencesofEmployersRisks)(87版是Clause65.3)oftheConditionsofContract.MayweaskthatyoudeterminetheamounttobeaddedtotheContractPricetobeaddedtotheContractPriceinaccordancewithClauses13(ValuationsandAdjustments)(87版是Clause52.1)and12.3(Evaluation)(87版是Clause52.2)oftheConditionsofContracttogetherwithasumatfairmarketvalueforthecostofreplacementofouritemsofContractorsEquipmentdamagedatthesametime.WealsowritetorequestforanEOTpursuanttoClauses8.4(ExtensionofTimeforCompletion)(87版是Clause44.1)oftheConditionsofContract.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)十六、调价公式（两大戏剧性变化因素之一）十六、调价公式（两大戏剧性变化因素之一）调价公式的通式（99版第13.8款/87和77版第70.1款）：其中 X = 0.15左右（世界银行的标准FIDIC合同取此值），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（即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, E, M, W，变量vs初始值的选择。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？影响到调价金额的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）。十七、分析一个索赔成功成功案例(Claimsvscounter-claims)Naubise-MalekuHighwayReconstructionProject项目背景 世界银行贷款的公路项目，981万美元，强制使用国际通用的FIDIC合同。Quiz（成本、工期、索赔）？ 鄂式破碎机（碎石粒度均匀）vs 锤式破碎机 vs 针（片）状指数。结局 咨询工程师准仲裁 国际仲裁 友好解决。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% 173万美元Ex Gratia Payment vs 严格履行合同义务 vs 731万（谢主隆恩），您选择哪个？十八、涉及到的主要条款十八、涉及到的主要条款 （87版）版）Clause12（AdversePhysicalObstructionsorConditions）波纹理论的法律描述（索赔案例及具体条款分析，可另外再开一个专题讲座）（索赔案例及具体条款分析，可另外再开一个专题讲座）（索赔案例及具体条款分析，可另外再开一个专题讲座）（索赔案例及具体条款分析，可另外再开一个专题讲座）If,however,duringtheexecutionoftheWorkstheContractorencountersphysicalobstructionsorphysicalconditions,otherthanclimaticconditionsontheSite,whichobstructionsorconditionswere,inhisopinion,notforeseeablebyanexperiencedcontractor,theContractorshallforthwithgivenoticethereoftotheEngineer,withacopytotheEmployer.Cond（续）Onreceiptofsuchnotice,theEngineershall,ifinhisopinionsuchobstructionsorconditionscouldnothavebeenreasonablyforeseenbyanexperiencedcontractor,afterdueconsultationwiththeEmployerandtheContractor,determine:(a)anyextensionoftimeunderClause44,and(b)theamountofanycostwhichmayhavebeenincurredbytheContractor,whichshallbeaddedtotheContractPricetheContractPrice.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？案例，443万544万x（1-18.5%）andshallnotifytheContractoraccordingly,withacopytotheEmployer.英文例函EngineersRepresentativeDateTheEngineerDearSir,Re: Notice of Unforeseeable Adverse Physical ConditionsPursuanttoClause4.12(UnforeseeablePhysicalConditions)(87版是Clause12.2)oftheConditionsofContractwewritetogivenoticethatwehavehaveencounteredadversephysicalconditionsencounteredadversephysicalconditionsonSitewhichinouropinionwereunforeseeablebyanexperiencedcontractorunforeseeablebyanexperiencedcontractor.TheadversephysicalconditionisandlocatedYoursfaithfully,ProjectManagerTheContractor(Co.Ltd)英文例函EngineersRepresentativeDateTheEngineerDearSir,Re:Notice of Discovery of an Item of Geological and/or Archaeological InterestInaccordancewiththerequirementofClause4.24(Fossils)(87版是Clause27.1)oftheConditionsofContractwewritetogiveyounoticeofthediscoveryonSiteofWearecomplyingwiththegeneralobligationsunderClause4.24(Fossils)(87版是Clause27.1)totakereasonableprecautionstoprotectthefindandwouldaskforyourimmediateinstructionfordealingwiththisdiscovery.AsaresultofthisobligationwehavetoadviseyouthattheworksarenowbeingdelayedandweshallbeseekingareimbursementofouradditionalcostareimbursementofouradditionalcostandanextensionoftimebasedonClauses4.12(UnforeseeablePhysicalConditions)(87版是Clauses12.2),4.24(Fossils)(87版是Clause27.1)and8.4(ExtensionofTimeforCompletion)(87版是Clauses44.1)and20.1(ContractorsClaims)(87版是Clause53)oftheConditionsofContract.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)cc:EngineerinChiefTheEngineerProjectManagerTheEmployer英文例函EngineersRepresentativeDateTheEngineerDearSir,Re:Reimbursement of Additional CostsReimbursement of Additional Costs and EOT arising from Notice of Discovery of an Item of Geological and/or Archaeological InterestWerefertothediscoveryonSiteofandyoursubsequentinstructionswhichweareabletoconfirmhavenowbeencompliedwith.Asaresultofcomplyingwithyourinstructionsanan additionalcostshaveadditionalcostshavebeenincurredbeenincurredandtheworkshavebeendelayed.WehavemaintainedsuchcontemporaryrecordsaswefeelnecessaryorasmayberequiredbyyouandtheseareattachedtotosubstantiatesubstantiateouradditionalouradditionalcostscostsaswellasanextensionoftimepursuanttoClauses4.12(UnforeseeablePhysicalConditions)(87版是Clause12.2),4.24(Fossils)(87版是Clause27.1)and8.4(ExtensionofTimeforCompletion)(87版是Clause44.1)and20.1(ContractorsClaims)(87版是Clause53)oftheConditionsofContract.Welookforwardtoyourearlydeterminationofthisapplicationaccordingly.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)cc：EngineerinChiefTheEngineerProjectManagerTheEmployerClause13（WorktobeinAccordancewithContract）Unless（77版表述为Insofaras，99版是第4.12款与第19.7款合起来解读）itislegallyorphysicallyimpossiblelegallyorphysicallyimpossible,theContractorshallexecuteandcompletetheWorksandremedyanydefectsthereininstrictaccordancewiththeContract,tothesatisfactionoftheEngineer.（略）要反向思维来理解该条款的两大前置限定（ConditionsPrecedent）：（1）Legalimpossibility（2）Physicalimpossibility然后，才能去谈承包商按照合同履约。英文例函EngineerinChiefDateTheEngineerDearSir,Re: Physical/Legal Impossible Work InaccordancewithClauses4.12(UnforeseeablePhysicalConditions)and19.7(ReleasefromPerformanceundertheLaw)(87版是Clause13.1)oftheConditionsofContractwewritetogivenoticethathavingexaminedyourdrawingsitisapparentthattheworkasdesignedcannotbeconstructedsinceitisphysicallyimpossibletoconstructbecause(物理上行不通)/orfailstomeet(有悖法律法规)SincethisisamatterforwhichwearenotliableunderClauses4.1(ContractorsGeneralObligations)and4.10(SiteData)(87版是Clause13.1)maywerequestaninstructiontovarytheworkspursuanttoClause13(VariationsandAdjustments)(87版是Clause51.1)oftheConditionsofContract.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)英文例函EngineerinChiefDateTheEngineerDearSir,Re:Adjustments for Changes in Legislation FurthertoournoticethattherecentByelawNoreferringtohasresultedinadditionalcosttoourContract,wearewritingtorequestthatpursuanttoClauses13.7(AdjustmentsforChangesinLegislation)(87版是Clause70.2)and8.4(ExtensionofTimeforCompletion)(87版是Clause44.1)and20.1(ContractorsClaims)(87版是Clause53)oftheConditionsofContractyoudeterminetheamountofthecosttobeaddedtothecosttobeaddedtotheContractPriceContractPriceandtheextensionoftimetowhichweareentitled.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)cc:ProjectManagerTheEmployerClause20（CareofWorks）20.3 (LossorDamageDuetoEmployersRisks)IntheeventofanysuchlossordamagehappeningfromanyoftherisksdefinedinSub-Clause20.4,orincombinationwithotherrisks,theContractorshall,ifandtotheextentrequirebytheEngineer,rectifythelossordamageandtheEngineershalldetermineanadditiontotheContractpriceinaccordancewithClause52andshallnotifytheContractoraccordingly,withacopytotheEmployer.（略）20.4(EmployersRisks)TheEmployersrisksare:war,hostilities (whether war declared or not) hostilities (whether war declared or not) commotionor disorderdisorder,unlesssolelyrestrictedtoemployeesoftheContractororofhisSubcontractorsanyoperationoftheforcesofnatureagainstwhichanexperiencedcontractorcouldnotreasonablyhavebeenexpectedtotakeprecautions（77版表述为foreseen）.Clause40.3（Suspensionlastingmorethan84Days）IftheprogressoftheworksoranypartthereofissuspendedonthewritteninstructionsoftheEngineerandifpermissiontoresumeworkisnotgivenbytheEngineerwithina84daysfromthedateofsuspensionthen,.theContractormaygivenoticetotheEngineerrequiringpermission,within28daystoproceedwiththeWorksorthatpartthereofinregardtowhichprogressissuspended.Cond 注：77版FIDIC为90天+28天（续）Ifwithinthesaidtime,suchpermissionisnotgranted,theContractormay,butisnotboundto,electtotreatthesuspension,whereitaffectspartonlyoftheWorks,asanomissionomission ofsuchpartunderClause51(Alternations,AdditionsandOmissions)bygivingafurthernoticetotheEngineertothateffect,orwhereitaffectsthewholeoftheWorks,treatthesuspensionasaneventofdefaultdefault（77版表述为abandonmentabandonmentoftheContract）bytheEmployerandterminatehisemploymentundertheContractinaccordancewithClause69(DefaultofEmployer)英文例函ProjectManagerDateTheEmployerDearSir,Re: Entitlement to Suspend Work PursuanttoClause16.1(ContractorsEntitlementtoSuspendWork)(87版是Clause69.4)oftheConditionsofContractwewritetogiveyounoticethatasaresultofyourfailuretopayustheamountdueunderEngineersCertificateNodatedwithin56(FiftySix)daysaftertheexpiryofthetimestatedinSub-Clause14.7(Payment)(87版是Clause60.10)withinwhichpaymentistobemadeandsubjecttoanydeductionthatyouareentitledtoundertheContractweshallsuspendworkorreducetherateofworkafter28(TwentyEight)daysofthegivingofthisnotice.WeshallkeepsuchrecordsasmayberequiredfortheEngineertodetermineanyextensionoftimetowhichwemaybeentitledunderClause8.4(ExtensionofTimeforCompletion)(87版是Clause44.1)and20.1(ContractorsClaims)(87版是Clause53)fortheamountofsuchcostswhichshallcostswhichshallbeaddedtotheContractPricebeaddedtotheContractPrice.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)英文例函EngineerinChiefDateTheEngineerDearSir,Re: Request for Permission to Proceed with the Suspended Works Werefertoyourinstructiondatedtosuspendtheprogressofthecontractworks/thatpartoftheworksandnotethat84(EightyFour)dayshavenowelapsedfromthedateofyourinstruction.WewritethereforetogivenoticepursuanttoClause8.11(ProlongedSuspension)(87版是Clause40.3)oftheConditionsofContractrequiringpermissionwithin28(TwentyEight)daystoproceedwiththesuspendedwork.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)十九、Omissions属于Clause51(Alternations,AdditionsandOmissions)的范畴，余下的工作量都是V.O.（道路维修）Omissions后余下的工作量都用合约工程中临时发生的点工计费标准/英国土木工程承包商协会计价付款，简称“英国点工计费标准”。有经验的承包商项目经理高频率使用的重要文件（之一）vs英国咨询工程师的思维方式。应用到VO中的技巧案例。77版和87版第52.4款（Daywork）和第58款（PS，备用金）/99版第13.5款（PS）和第13.6款（Daywork）/的实用性。EOTvsoverheadcompensation用于报价分析，作为参考数据之一。英文例函EngineerinChiefDateTheEngineerDearSir,Re: Notice to Treat the Suspended Work as Omitted from Contract WerefertoourletterRef.Nodatedseekingyouragreementtoproceedwiththecontractworks/partoftheworksandnotethattheperiodof28(TwentyEight)dayshavenowelapsedsinceourrequesttoproceed.WewritethereforetogivenoticepursuanttoClause8.11(ProlongedSuspension)(87版是Clause40.3)thatweelecttotreatthesuspensionasaneventofdefaultbytheEmployerandterminateouremploymentundertheContractinaccordancewiththeprovisionsofClause16.2(TerminationbyContractor)(87版是Clause69.1)oftheConditionsofContract/anomissionofthesuspendedpartoftheContractunderClause13(VariationsandAdjustments)(87版是Clause51.1).Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)英文例函EngineersRepresentativeDateTheEngineerDearSir,Re:Daily Notification of Resources Expended on DayworkAsrequiredpursuanttoClause13.6(Daywork)(87版是Clause52.4)oftheConditionsofContractweattachourdayworkrecordsnoting:-(a)Itemsofdayworkbeingundertaken;(b)Detailsoflabourexpended;(c)Detailsofplant,materialbeingusedforworkscarriedoutonMayweaskthattheduplicatecopybesignedandreturnedtooursiteoffice.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)Enc.英文例函EngineersRepresentativeDateTheEngineerDearSir,Re:Monthly Daywork Statement No AsrequiredpursuanttoClause13.6(Daywork)(87版是Clause52.4)oftheConditionsofContractwehavepleasureinenclosingthepricedStatementNoofthelabour,materialandContractorsequipmentwhichiscoveredbyourDailyNotificationofResourcesExpendedonDayworkfortheperiodfromtoPleaseacknowledgeyourreceiptofthisStatement.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)cc:EngineerinChiefTheEngineerEnc.英文例函EngineerinChiefDateTheEngineerDearSir,Re:Provisional SumsInaccordancewithClause13.5(ProvisionalSums)(87版是Clause58.1)oftheConditionsofContractwerequestyourdeterminationfortheamounttowhichwetheamounttowhichweareentitledtoareentitledtoinrespectofthework,supplyorcontingencytowhichsuchProvisionalSumsrelateareasfollows:-ProvisionalSums:-.Workinvolved:-.Amountincurred:-.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)cc：ProjectManagerTheEmployerClause65（SpecialRisks）TheContractorshallbeundernoliabilitywhatsoeverinconsequenceofanyofthespecialrisksreferredtoinSub-Clause65.2,whetherbywayofindemnityorotherwise65.2SpecialRisksare(a)therisksdefinedunderparagraphs(a),(c),(d)and(e)ofSub-Clause20.4and(b)therisksdefinedunderparagraph(b)ofSub-Clause20.4insofarastheserelatetothecountryinwhichtheWorksaretobeexecuted.结论： 特殊风险（第20款） 业主风险（第65款）Clause65.5（IncreasedCostsarisingfromSpecialRisks）SavetotheextentthattheContractorisentitledtopaymentunderanyotherprovisionoftheContract,theEmployershallrepaytotheContractoranycostsoftheexecutionoftheWorks(otherthansuchasmaybeattributabletothecostofreconstructingworkcondemnedundertheprovisionofClause39(DefaultofContractorinCompliance)priortotheoccurrenceofanyspecialrisks)whicharehowsoeverattributabletoorinconsequentonortheresultoforinanywaywhatsoeverconnectedwiththespecialrisks,.Cond（续）theContractorshall,assoonasanysuchcostcomestohisknowledge,forthwithnotifytheEngineerthereof.TheEngineershall,after due after due consultation with the Employerconsultation with the EmployerandtheContractor,determinetheamountoftheContractorscostsinrespectthereofwhichshallbeaddedtotheContractPriceandshallnotifytheContractoraccordingly,withacopytotheEmployer.英文例函EngineerinChiefDateTheEngineerDearSir,Re: Consequence of Employers Risks and Force MajeureWewritetogivenoticepursuanttoClauses17.4(ConsequenceofEmployersRisks)and19.4(ConsequenceofForceMajeure)(87版是Clause65.5)oftheConditionsofContractthatwehaveandarecontinuingtoincurincreasedcostsincurincreasedcostsasaconsequenceofasaconsequenceoftheoccurrenceofaspecialrisknamelyWearemaintainingcontemporaryrecordstosubstantiatethecostsinvolvedandarereadytoassistyoutodeterminethefinancialcompensationfinancialcompensationforwhichwehavebeensufferinghavebeensufferingtodate.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)Clause66(ReleasefromPerformance)77版FIDIC小标题为FrustrationIfanycircumstanceoutsidethecontrolofbothpartiesarisesaftertheissueoftheLetterofAcceptancewhichrendersitimpossible（指physical）orunlawful（指legal）foreitherpartytofulfillhiscontractualobligations,orunderthelawgoverningtheContractthepartiesarereleased（frustrated，77版FIDIC）fromfurtherperformance,thenthesumpayablebytheEmployertotheContractorinrespectoftheworkexecutedshallbethesameasthatwhichwouldhavebeenpayableunderClause65(andClause69，77版FIDIC)iftheContracthadbeenterminatedundertheprovisionsofClause65.Clause67（SettlementofDisputes）90+28天内（within）仲裁（77版）84+70（表达不满，最短？天）+56天当天或之后（onorafter）（友好解决）仲裁（87版）DRB（92版）vsDAB（99版）；Mediation/Reconciliation（ADR）；Abrahamson信的主要内容：双方都蒙受损失，出面协调，互为妥协，愿当律师！和解胡萝卜加大棒！证据缺失？问题：友好解决争端与仲裁的前后置？案例（Pakistan供货商与分包商的争端解决）二十、争端的解决二十、争端的解决 歧义（ambiguity,discrepancy）Discrepanciesareapttoappearinacontract.合同中典型的歧义例子出现badground的情形：投标首封函里承包商确认了HavinginspectedandexaminedtheSite，ConditionsofContract，Specifications，Drawings，allinformationetc.madeavailablebytheEmployer.(99版第4.10/4.11款也有类似描述)。但承包商认为业主应对其所提供的一切之准确度负责，因此根据第12/13款，仲裁倾向当任何unforeseenphysical或legalconditions发生，承包商都有权得到额外补偿条款的抗辩范围很宽泛，但涉及到badground这一点并不具体。99版红皮书第4.12款明确badground（hydrological）属于“physicalconditionswhichhe(Contractor)considerstohavebeenunforeseeable”，非常具体地涉及到了badground。而99版银皮书明确承包商来承担所有风险，除非合同中另有规定，承包商对unforeseen及badground的抗辩都缺乏合同依据及支持。如果合同没有明说，则通常认为承包商已承接了这些风险，lumpsum的EPC总包合同划入到此类里，因此对承包商并不好。案例发电厂项目海边打桩/无底洞。对歧义的解释？逆编者释义原则（ContraProferentumRule）友好解决（FIDIC87版，84+70(1)+56=141）准仲裁（90+28,实践上91）（FIDIC77版红皮书）DRB（FIDIC92版红皮书/95版橙皮书）DAB（FIDIC99版）英文例函EngineerinChiefDateTheEngineerDearSir,Re: Request for Clarification of Ambiguity (and for Reimbursement of Extra Cost) MaywedrawyourattentiontoanapparentambiguitybetweenthedescriptiongivenonpagenumberforItemNoandthecontradictoryforanotherItemNoonpagenumberinthesameBillofQuantity(orsaybetweenfiguredandscaleddimensionsfor)WethereforerequestclarificationofthisdiscrepancypursuanttoClause1.5(PriorityofDocuments)(87版是Clause5.2)oftheConditionsofContractandifyoudeemnecessarytheissueofaninstruction.Shouldanysuchinstructioncauseextracostwhichcouldnothavewhichcouldnothavebeenreasonablyforeseenbyanexperiencedbeenreasonablyforeseenbyanexperiencedc contractorontractorunderClause4.12(UnforeseeablePhysicalConditions)(87版是Clause12.2)weassumethatyouwillbecertifyinganadditionalsumtoadditionalsumtocovertheamountinvolvedcovertheamountinvolved.Yourearliestreplywillbehighlyappreciated.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)英文例函EngineerinChiefDateTheEngineerDearSir,Re: Request for an Engineers DeterminationWearewritingtorecordandadviseyouthatadisputehasarisenbetweenthepartiestotheContractandpursuanttoClauses3.5(Determinations)(87版是Clause67.1)and20.1(ContractorsClaims)(87版是Clause53)oftheConditionsofContractwearethereforereferringthistoyouforadetermination.Thenatureofthedisputeisasfollows:-Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)cc:ProjectManagerTheEmployer77版版/87版版/92版版/95版版99版争端条款之比较版争端条款之比较77版争端90天（咨询工程师决定/准仲裁）+28天（表达不满，1天）仲裁走到仲裁：最短=90天+1天=9191天天天天87版争端84天（咨询工程师决定/准仲裁）+70天（表达不满，1天）+56天（友好解决）仲裁走到仲裁：最短=84天+1天+56天=141141天天天天92版（红皮书）争端84天（咨询工程师决定/准仲裁）+56天（DRB）+28天（表达不满，1天）+56天（友好解决）仲裁走到仲裁：最短=84天+56天+1天+56天=197197天天天天95版橙皮书（无咨询工程师）争端28天（共同任命DAB）+56天（DRB）+28天（表达不满，1天）+56天（友好解决）仲裁走到仲裁：最短=28天+56天+1天+56天=141141天天天天99版新红皮书42天（咨询工程师决定/准仲裁）+84天（DAB）+28天（表达不满，1天）+56天（友好解决）仲裁走到仲裁：最短=42天+84天+1天+56天=183183天天天天银皮书（无咨询工程师）争端28天（共同任命DAB）+84天（DAB）+28天（表达不满，1天）+56天（友好解决）仲裁走到仲裁：最短=28天+84天+1天+56天=169169天天天天业主、承包商和律师各自的观点异同vs客观现实vs您的选择？掌握最终决策权！二十一、二十一、99版版FIDIC合同的特色合同的特色 DAB 99版FIDIC彩虹系列合同都在第20.2款中（绿皮书是第15.1款）明确了这样一个过程：Disputes shall be adjudicated by a DAB 1）红皮书的状况（先要获得咨询工程师的准仲裁）：红皮书是采用常设性的DAB（StandingDAB）常设的DAB是在投标前或签约后即以予以任命，一般在投标前就已确定（在AppendixtoTender里通常会限定日期），最迟是在签约开工日后的28天内。红皮书的DAB存续于整个合同期间费用高，因为从签约开始就要发生DAB的日常维护费用，包括支付聘请酬金和差旅食宿、定期会议和进度报告等项成本，而银皮书的DAB就没有这笔经常性开支；2）银皮书的状况（因合同中没有咨询工程师这个角色，因此争议就直接交由DAB裁决）：银皮书是采用临时性的争端裁决委员会（AdHocDAB）对特定的争端任命特定的DAB。DAB的主要特点：DAB为一人或三人（与双方都签订合同），类似仲裁，但不会太激化矛盾；决定时间短（84天），有时双方会同意在特殊条款里把DAB从84天缩短到42天，甚至28天，而仲裁的平均耗时一年半多，这还属于比较乐观的情况；DAB有权决定自己的管辖权及所涉及的争议范围，并能就此展开调查；所做出的的决定尽管不是最终的，但通常具有约束力，直到在仲裁中被推翻；合同中规定要在28天的时间内发出不满通知，但实际操作上是1天。DAB的可执行性因为时间一到，既不提交仲裁也不执行DAB的裁决属于合同违约，所以一般问题不大；但DAB胜诉方对有些国家在执行DAB裁决的问题上存在担忧能否从法理上继而通过快速仲裁的方式强制执行DAB裁决？因此：FIDIC金皮书中新加入了第20.9款（FailuretoComplywithDisputeAdjudicationBoardsDecision）：IntheeventthataPartyfailstocomplywithanydecisionoftheDAB,whetherbindingorfinalandbinding,thentheotherPartymay,withoutprejudicetoanyotherrightsitmayhave,referthefailureitselftoarbitrationunderSub-Clause20.8(Arbitration)forsummaryorotherexpeditedrelief,asmaybeappropriate.Sub-Clause20.6(ObtainingDisputeAdjudicationBoardsDecision)andSub-Clause20.7(AmicableSettlement)shallnotapplytothisreference.金皮书第20.9款表达了如下立场：赢得DAB裁决的一方可以直接申请仲裁，仲裁员可能会做出快速裁决。同时，DAB中的胜诉方无需再等待56天强制友好解决的时间，给对方施以压力。以上条款具有方向性的启示作用。FIDIC已提议可先借用金皮书中新加入的第20.9款来解决目前出现的问题；红皮书和黄皮书将对下一个版本进行类似的修订。二十二、国际仲裁二十二、国际仲裁DisputeSettlementhet国际仲裁什么是“仲裁”MaxW.AbrahamsonEngineeringLawandICEContracts99版第20款/77版和87版第67款（仲裁与重大索赔的关系），银皮书第20款（“索赔、争端和仲裁”，与99版红皮书思路相同）。仲裁规则，ICC、UNCITRAL和AAA、CIETAC等；仲裁地点vsApplicableLaw；仲裁员vs律师。 案例（AustinRoad，1亿vs9,500万vs80万，JV股份50%:50%问题的启示及探讨）。不得再诉讼的仲裁条款（附后供参考），案例。Clause 20（Claims, Disputes and Arbitration（基于国际通用的FIDIC合同）20.6(d)ArbitrationAlldisputesarisingoutoforinconnectionwiththeContractanditsattachmentsasdefinedintheClause2oftheSpecialConditionsofContractshallbefinallysettledundertherulesofarbitrationofInternationalChamberofCommercebythreearbitratorsappointedinaccordancewiththesaidrules.ThelocationofarbitrationshallbeinBern,Switzerland.FortheavoidanceofdoubtitisconfirmedthatthedecisionofthearbitratorsshallbefinalandbindingandneitherPartyshallhaveanyrighttoappealfromanydecisionofthearbitratorstoanyCourtinordertoreviewanydecisionofthearbitrators.常用的国际仲裁规则常用的国际仲裁规则 UnitedNationsCommissiononInternationalTradeandLaw（UNCITRAL）InternationalChamberofCommerce（ICC，中国1995年加入ICC）AmericanArbitrationAssociation（AAA，简称tripleA）LondonCourtofInternationalArbitration（LCIA）StockholmChamberofCommerce（SCC，因解决冷战时期东西方前苏联与美国的商业争端而出名，现在40%60%的前苏联加盟共和国仍认同此机构，费用比ICC便宜且快）中国国际经济贸易仲裁委员会（CIETAC）“1958纽约宣言”（1958NewYorkConvention）中国于1987年1月正式加入了1958年在纽约通过的承认及执行外国仲裁裁决公约（ConventionontheRecognitionandEnforcementofForeignArbitralAwards），约150个国家。下决心打仲裁的几大原则下决心打仲裁的几大原则 要赢、要快vs“小问题、小困难”（缺乏信心）。仲裁的特点：灵活性、保密性、仲裁与调解结合（CIETAC）、一裁终局、强制执行；仲裁时的证据（FaitAccompli）（供参考：7+7条款）vs“isdeemedtobe”，但没有by/专家报告；仲裁的成败往往取决于所提交的文件质量案情介绍要准备得简洁、全面，所有内容应尽量提供电子版，方便剪贴；仲裁费用（仲裁员vs律师/solicitor事务律师）；善用外部资源（大vs小）（您倾向防风险开口跑，还是想借助法律制约对方成交？普通法vs大陆法）；律师的收费与你的选择（转变观念！市场导向，价格与价值）：小时收费+SuccessFee+RetainerScheme二十三、看一个仲裁成功案例的启示二十三、看一个仲裁成功案例的启示项目背景：项目背景：某工厂项目，合同金额7,500万美元，EPC合同（EP成分占到了80%，即6,000万美元），业主已经支付30%的预付款（7,500x30%=2,250万美元），付款方式为里程碑式。业主是一家JV，该投资项目签约后受金融危机影响而不赚钱业主因此中止合同，理由是“forEmployersconvenience”，此外对承包商的履约无争议；双方对合同的解释有差异歧义。ICC伦敦仲裁，1人仲裁庭；在终止合同后，在终止合同后，如如何计算应支付给承包商的工程款何计算应支付给承包商的工程款?承包商认为业主为自身利益而终止合同，已支付了的30%预付款预付款（2,250万美元）万美元）应视作合同项下的第一笔工程款；此外，业主还应再向其支付追加工程款，并提出了相关的计价方法；而业主则要求承包商退还部分预付款，因为业主按已完成的里程碑进度计算出：承包商的实际成本只占到了合同金额的13%，坚持预付款金额超出了业主所应支付的成本：承包商要退还17%的预付款给业主。制胜的关键制胜的关键心态决定成败心态决定成败承包商的态度承包商的态度 我怕谁？心态心态无畏vs决策决策坚定vs最终结果结果。律师的服务协议律师的服务协议：原则服务费以按常规打完此类仲裁的总计小时收费做成一个包干费（85万美元），但对设定的最低收费给出了很大折扣（-40%），而偏重于此后的成功费因素。律师不管承包商输赢，都以最低收取双方商定包干费的60%（85万x60%=51万美元）作为其成本底线如果打到承包商不把30%的预付款退回给业主的结果（第一设定目标），则100%地收取此包干费（85万美元）即拿回含有合理利润的正常小时收费。对于成功赢得超出了30%的追加工程款，双方再对增幅部分按60%（归属承包商）：40%（给律师的成功费分成）的比例进行分配。仲裁裁决：30%的预付款属于第一笔工程款，因此无需返还给业主。同时，确认了采纳承包商提出的工程款计价方法，指示双方再去据此互相核算并落实，希望最终达至庭外和解；另外，仲裁裁决业主向承包商支付垫付的律师包干费（85万美元）和承担全部76万美元的仲裁费（onreimbursementbasis）。最终结果最终结果：仲裁用时14个月结束；在仲裁之后的一个月内，双方就支付追加工程款形成友好解决包括基本采用承包商的方法，计算出业主再向承包商额外支付18%=1,350万美元；承包商总共从业主处赢得了合同金额的48%48%（其中：30%的预付款+18%的追加工程款）7,500万美元x48%=3,6003,600万美元万美元万美元万美元。但是，承包商要将额外拿回的18%追加工程款中之40%作为成功费奖励给律师（7,500万美元x18%x40%=540万美元）此乃承包商最终的实际成本；承包商的实际收入承包商的实际收入：7,500万美元x30%+7,500万美元x18%x60%=2,250万+810万=3,060万美元万美元 有史以来最盈利的项目！律师律师的实际收入的实际收入：625万美元其中已由承包商垫付了的85万美元最终由业主支付（仲裁裁决），540万美元是由承包商从其18%的额外收入中作为成功费支付（占承包商全部所得3,600万美元的15%）。比较与启示：比较与启示： 承包商实际收入3,0603,060万美元万美元万美元万美元 vs540540万美元万美元万美元万美元（承包商支付给律师的费用）85%85% ：15%15%（17.36%，即便85万律师包干费由承包商自理）鉴于仲裁耗时较长（统计显示平均一年半），有经验的承包商通常加入如下补充： (e)FastTrackArbitrationThePartiesagreetocooperatetoprocureaspeedyconclusionoftheArbitrationadopting“FastTrack”principlesandagreethattheSix(6)monthdeadlineinArticle24(1)fortheissuancebytheTribunalofitsAward（完成全部举证并获签认后）shallbereducedtoFour(4)monthsandtheywishthatitshouldonlybeextendedinexceptionalcircumstances.TothisendthePartiesagreethattheperiodinArticle5(1)（AnswertotheRequest/Counterclaims,原文为30天内）oftheICCRulesshallbereducedtowithinFifteen(15)days,thattheperiodinArticle18(2)（TermofReference/ProceduralTimetable,原文为两个月内）forestablishingtermsofreferenceshallbereducedtowithinOne(1)month.如果签订的是主辅两个合同，分别在其中都写明使用同一仲裁条款，是双保险还是添风险？（案例）主合同（MASTER AGREEMENT）12.11 Dispute ResolutionIntheeventthatanydispute,controversyorclaimofwhatsoevernature(the“Dispute”)arisesbetweenthePartiesinconnectionwith,orarisingoutofthisAgreement,oritsperformanceincludinginrelationtotheinterpretationofanyofitsprovisions,atthewrittenrequestofeitherParty,suchDisputeshallbereferredpromptly(butnolaterthanwithinFourteen14days)bythePartiestothelegalrepresentatives(oranypersonauthorisedbysuchlegalrepresentatives)oftheParties,inanefforttoresolvesuchDisputethroughconsultation.ContdIntheeventthatasettlementisnotreachedwithinSixty(60)daysafteronePartyissuesthesaidwrittenrequest,eitherPartyshallhavetherighttosubmittheDisputetotheInternationalCourtofArbitrationofInternationalChamberofCommerceforarbitrationpursuanttoitsarbitrationrulesthenineffect.TheplaceofarbitrationshallbeHongKong.ThearbitrationtribunalshallconsistofThree(3)members.AnydecisionorawardofthearbitrationtribunalshallbefinalandbindingonthePartiesandfortheavoidanceofdoubtthePartiesconfirmthatthereshallbenoappealtherefromtoanyCourt.ContdThePartiesfurtheragreethatanydispute,controversyorclaimofwhatsoevernaturebetweeneitherorbothofthemandPartyAsRepresentative(collectivelytheTripartiteParties)arisingoutoforinconnectionwiththeTripartiteAgreementshallberesolvedpursuanttotheDisputeResolutionProcedureinthisClause12.11ifanyoftheTripartitePartiesservesavalidnoticesorequiringunderthedisputeresolutionclauseoftheTripartiteAgreement.Further,thePartiesconfirmthattheyconsenttoanysuchdisputesbeingincludedinanyarbitrationbetweenthePartiespursuanttothisClauseandtoPartyAsRepresentativebeingjoinedasaPartytoanyarbitrationcommencedbetweentheParties.辅合同（ANCILLARY AGREEMENT/ TRIPARTITE） 13.10 Dispute Resolution(1)Intheeventthatanydispute,controversyorclaimofwhatsoevernature(the“Dispute”)arisesbetweenthePartiesoranyoftheminconnectionwith,orarisingoutofthisAgreement,oritsperformanceincludinginrelationtotheinterpretationofanyofitsprovisions,atthewrittenrequestofanyParty,suchDisputeshallbereferredpromptly(butnolaterthanwithinFourteen14days)bythePartiestothelegalrepresentatives(oranypersonauthorisedbysuchlegalrepresentatives)oftheParties,inanefforttoresolvesuchDisputethroughconsultation.(2)SubjecttotheremainingprovisionsofthisArticle,intheeventthatasettlementisnotreachedwithinEighty(80)daysafteronePartyissuesthesaidwrittenrequest,anyPartyshallhavetherighttosubmittheDisputetotheInternationalCourtofArbitrationofInternationalChamberofCommerceforarbitrationpursuanttoitsarbitrationrulesthenineffect.TheplaceofarbitrationshallbeHongKong.ThearbitrationtribunalshallconsistofThree(3)members.AnydecisionorawardofthearbitrationtribunalshallbefinalandbindingonthePartiesandfortheavoidanceofdoubtitisconfirmedthatthereshallbenoappealtherefromtoanyCourt.Contd(3)ThePartiesfurtheragreethatifbothPartyBandPartyCarepartiestosuchDisputeandif,intheopinionofanyoftheParties,thatDisputetouchesandconcernstheMasterAgreementorthesubjectmatterthereofanyPartymaybynoticeinwriting(a“Joinder Notice”)totheotherPartiesrequiretheDisputetobedealtwithunderandinaccordancewithArticle12.11oftheMasterAgreement.(4)WhereaJoinderNoticeisservedpriortoanarbitraltribunalbeingappointedunderArticle13.10(2)ofthisTripartiteAgreement:Contd(i) TheDisputeshallberesolvedbyanArbitralTribunal(“the Master Agreement Tribunal” 注：其实质就是主辅两个合同均采用单一仲裁庭！)appointedortobeappointedunderArticle12.11oftheMasterAgreementandthePartiesagreeandconfirmthatPartyCshallbejoinedinasapartytosuchArbitrationunderArticle12.11oftheMasterAgreement.(ii) PartiesAandCshalljointlynominateandappointasinglememberoftheMasterAgreementTribunalunlessPartyAhasalreadynominatedamemberoftheArbitralTribunalunderArticle12.11oftheMasterAgreementinwhichcasethatmembershallcontinueasthejointlynominatedandappointedmemberoftheMasterAgreementTribunalforPartyAandC.(iii)Fortheavoidanceofdoubt,thePartiesagreethatPartyCshallforthesepurposesbedeemedandconsideredtobeapartytothearbitrationagreementinArticle12.11oftheMasterAgreement.(iv) Forthefurtheravoidanceofdoubt,Partiesagreethattheorders,directionsandawardsoftheMasterAgreementTribunalshallbefinalandbindinguponthePartiesandeachoftheminrelationtotheissuesandmattersthattheorders,directionsandawardsaddressanditisconfirmedthatthereshallbenoappealtherefromtoanyCourt.Contd(5)WhereaJoinderNoticeisservedafteranarbitraltribunalhasbeenappointedunderArticle13.10(2)aboveofthisTripartiteAgreement,theDisputeshallberesolvedbytheMasterAgreementTribunalinaccordancewithArticle13.10(4)unlesstheMasterAgreementTribunalshalldecideinitsdiscretionthatitwouldbeunjustsotodo.IntheeventthattheMasterAgreementTribunaldecidesthatitwouldbeunjust,theDisputeshallthenbedeterminedbyanarbitraltribunalunderArticle13.10(2)aboveofthisTripartiteAgreement.AnyrelevantarbitrationcommencedpursuanttoArticle13.10(2)ofthisTripartiteAgreementshallbestayedpendingtheMasterAgreementTribunalsdecisioninrelationtothewhetherornotitwouldbeunjustfortheDisputetoberesolvedbytheMasterAgreementTribunal.IftheMasterAgreementTribunaldecidesthatitwouldnotbeunjustfortheDisputetoberesolvedbytheMasterAgreementTribunaltherelevantarbitrationcommencedunderArticle13.10(2)ofthisTripartiteAgreementshallbediscontinuedwiththecostsofthediscontinuancetobesubsequentlydeterminedbytheMasterAgreementTribunal.Contd(5)WhereaJoinderNoticeisservedafteranarbitraltribunalhasbeenappointedunderArticle13.10(2)aboveofthisTripartiteAgreement,theDisputeshallberesolvedbytheMasterAgreementTribunalinaccordancewithArticle13.10(4)unlesstheMasterAgreementTribunalshalldecideinitsdiscretionthatitwouldbeunjustsotodo.IntheeventthattheMasterAgreementTribunaldecidesthatitwouldbeunjust,theDisputeshallthenbedeterminedbyanarbitraltribunalunderArticle13.10(2)aboveofthisTripartiteAgreement.AnyrelevantarbitrationcommencedpursuanttoArticle13.10(2)ofthisTripartiteAgreementshallbestayedpendingtheMasterAgreementTribunalsdecisioninrelationtothewhetherornotitwouldbeunjustfortheDisputetoberesolvedbytheMasterAgreementTribunal.IftheMasterAgreementTribunaldecidesthatitwouldnotbeunjustfortheDisputetoberesolvedbytheMasterAgreementTribunaltherelevantarbitrationcommencedunderArticle13.10(2)ofthisTripartiteAgreementshallbediscontinuedwiththecostsofthediscontinuancetobesubsequentlydeterminedbytheMasterAgreementTribunal.Clause69（DefaultofEmployer）IntheeventoftheEmployer:(a)failingtopaytheContractortheamountdueunderanycertificateoftheEngineeraftertheexpiringofthetimestatedinSub-Clause60.10withinwhichpaymentistobemade(b)interferingorobstructingor(c)becomebankrupt(d)givingnoticetotheContractoritisimpossibleforhimtomeethiscontractualobligations.TheContractorshallbeentitledtoterminatehisemploymentundertheContracttheEmployershallbeunderthesameobligationstotheContractorinregardtopaymentasiftheContracthadbeenterminatedundertheprovisionsofClause65theEmployershallpaytotheContractortheamountofanylossordamagetotheContractorarisingoutoforinconnectionwithorbyconsequenceofsuchtermination.二十四、记录索赔的时限二十四、记录索赔的时限“When project is good, claims are good. When project is bad, claims are better! ”索赔很重要索赔与市场景气度成反比关系。典型条款99版FIDIC为第20款（Claim，DisputesandArbitration）87版FIDIC为第53款（ProcedureforClaims）77版FIDIC为第52.5款（VariationOrder里的Claim子项），现以银皮书和99版红皮书Clause20.1(ContractorsClaims)为例Within 42 days after the Contractor became aware (or should have become aware) of the event or circumstance giving rise to the claim, or within such other period as may be proposed by the Contractor and approved by the Employer, the Contractor shall send to the Employer a fully detailed claim which includes full supporting particulars of the basis of the claim and of the extension of time and/or additional payment claimed. 由于99版和87版写明了：索赔的书面通知如没在规定的时间内发出（或者存有缺陷），就会丧失其合法权利，这种因果关系表述非常明确，因此对孔孟之道思维的中国承包商风险很大。有时如果没能按照规定发出通知，即使是由业主导致的延误，最终往往是承包商来支付拖期违约罚款。而77版的合同对承包商的书面索赔通知没有时间限定，在这方面比较安全。如何书面通知并记录索赔，又不激怒对方？以一种不冒犯的言辞来发出书面通知，同时又确保满足合同中关于记录的要求技巧！ClaimdemandonesdueBaggageClaimLuggageReclaimwordinghavesufferedloss,additionalcostshavebeenincurred,financialcompensation,reimbursement,etc.,参见英文例函中的相关红字表述。可以索赔的内容：直接费（工费、料费、机械折旧或机械闲置费）间接费赶工费（acceleration）延期管理费（参考合约工程中临时发生的点工计费标准/英国土木工程承包商协会）资金回收（recapitalization）利息整理索赔而发生的费用（BohamStrand拿回了）英文例函EngineerinChiefDateTheEngineerDearSir,Re: Notice of Claim No InaccordancewithrequirementsetdowninClause20.1(ContractorsClaims)(87版是Clause53.1)oftheConditionsofContractwearewritingtogiveyounoticeofintentiontoclaimadditionalpaymentsandthisletterconstitutesourClaimNo.Theeventwhichisasfollowsoccurredontheandwearekeepingsuchcontemporaryrecordsaswefeelnecessarytosubstantiateourclaim.Wereserveourreserveour(contractual/legitimate/statutory可用可不用)righttoinitiateaclaimrighttoinitiateaclaimbasedonClauses.oftheConditionsofContract.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)cc:ProjectManagerTheEmployer英文例函EngineerinChiefDateTheEngineerDearSir,Re: Financial CompensationFinancial Compensation for Cost of Repairs in respect of an Employers RiskWerefertoyourinstructiontocarryoutrectificationworksarisingfrom.SincethisrequirementhasarisenasadirectresultofoneoftheEmployersRisksaslistedunderClause17.3(EmployersRisks)(87版是Clause20.4)oftheConditionsofContractweshallrequireyoutodeterminethecostoftheworkinvolvedandforthistobeaddedtotheContractPriceasfinancialcompensationfinancialcompensationpursuanttoClause17.4(ConsequencesofEmployerRisks)(87版是Clause20.3)oftheConditionsofContract.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)二十五、索赔时证据的严肃性二十五、索赔时证据的严肃性索赔过程十分注重evidence,substantiation,verification。因此，alotofpaperwork。案例11万美元/尼卢比的repatriationfeesClause53.3（SubstantiationSubstantiationofClaims）Within28days,orsuchotherreasonabletimeasmaybeagreedbytheEngineer,theContractorshallsendtotheEngineeranaccountgivingdetailedparticularsoftheamountclaimedandthegroundsuponwhichtheclaimisbasedTheContractorshall,ifrequiredbytheEngineersotodo,copytotheEmployerallaccountssenttotheEngineerpursuanttothisSub-Clause.IBARulesontheTakingofEvidenceinInternationalIBARulesontheTakingofEvidenceinInternationalArbitration(29May2010)Arbitration(29May2010)英文例函EngineerinChiefDateTheEngineerDearSir,Re: Substantiation of Claim No FurthertoourletterRef.Nodated.givingnoticeofourintentiontosubmitaclaim,wenowenclosepursuanttoClause20.1(ContractorsClaims)(87版是Clause53.3)oftheConditionsofContractouraccountgivingafullydetailedamountclaimedtogetherwiththefullsupportingparticularsofthereasonandgroundsuponwhichourClaimNoisbased.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)英文例函EngineerinChiefDateTheEngineerDearSir,Re: Substantiation of Claim No FurthertoourletterRef.Nodated.givingnoticeofourintentiontosubmitaclaim,wenowenclosepursuanttoClause20.1(ContractorsClaims)(87版是Clause53.3)oftheConditionsofContractouraccountgivingfullanddetailedparticularsoftheamountclaimedtogetherwiththefulldetailsofthereasonandgroundsuponwhichourclaimisbased.Astheeventisofacontinuingnaturethisaccountissubmittedasaninterimaccountandfurtheraccountwillbeforwardedtoyouinduecourse.InaccordancewithClause20.1(ContractorsClaims)(87版是Clause53.3)weshallsendtoyouafullydetailedaccountwithin42daysoftheendoftheeffectsresultingfromthisevent.MayweaskthatyouadviseusastotheintervalsatwhichyourequirefurtherinterimaccountsandwhethertheattachedandanyfurtheraccountsaretobecopiedtotheEmployer.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)索赔（仲裁）涉及到两大问题索赔（仲裁）涉及到两大问题 ）法律问题（Issue of LawIssue of Law）靠律师 ）事实问题（Issue of FactIssue of Fact）靠自己 证据（EvidenceEvidence）可找出事实（FactFact），但证据和事实与真相（TruthTruth）没有关系。 在提供不了任何证据的情况下，有责任举证的一方会败诉。 一种现象：仲裁庭总是相信证据文件多的一方 留好证据文件是最基础的索赔管理最基础的索赔管理。 证据的提供在国际仲裁中十分重要，务求要比对手握有更多或稍多的有力证据，如果做不到，就必须抓住一纵即逝的和解机会。 形成、保留与搜集证据可能是一个耗时及昂贵的过程（例如聘用翻译 vs vs 有双语工作能力的专业人员），因为怕花钱或费事而忽略证因为怕花钱或费事而忽略证据工作，最终会导致仲裁（索赔）的失败。据工作，最终会导致仲裁（索赔）的失败。Quantum merit Quantum merit reasonable sum reasonable sum 承包商的索赔金额一定比下家的报价要高出一个空间，仲裁时对此在操作上，有时是索要下家的报价来作为evidenceevidence，然后取用两者的中间值（左右）作为 quantum meriutquantum meriut二十六、文字交往为准二十六、文字交往为准狄更斯狄更斯 凡事证据为先，此乃真律。凡事证据为先，此乃真律。（Takeeverythingonevidence。Thereisnobetterrule.）CharlesDickens口头指令转变为书面指令，99年版第3.3款用instruction：2天+2天=4天（1+2=3天）。87年版第2.5款是用instruction，77版是第1.2(3)款与第51.2款两条合用解释order，最长都是7天+7天=14天（1+7=8天），对承包商自我保护的现实意义。银皮书第1.3款和第3.4款，但取消了定量规定，对承包商欠公平！英文within在中文翻译与理解上的误差,以上对应最短的为3天和8天。法律上对一天的定义。拒绝签收vs证据获取（lawyervsnotaryvscourtreceipt）vs条款保障。英文例函EngineerinChiefDateTheEngineerDearSir,Re:Confirmation of InstructionWewritetoconfirmyouroralinstructionissuedon(dated).inrespectof.inaccordancewiththeprovisionsofClause13(VariationsandAdjustments)(87版是Clause51.1)oftheConditionsofContract.MayweaskthatasrequiredbyClause3.3(InstructionsoftheEngineer)(87版是Clause2.5)oftheConditionsofContractthatyouissuetheinstructioninwritingandwewritetoconfirmthatitwillbeourintentiontogetextrapaymentunderClause13(VariationsandAdjustments)(87版是Clause52.2)forthesevariedworks.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)英文例函EngineerinChiefDateTheEngineerDearSir,Re:Dissatisfaction with an Instruction of the Engineers RepresentativeWewritetoacknowledgereceiptofInstructionNorelatingtoissuedbyyourRepresentativeontheSite.WehaveconsideredthisinstructioncarefullyandbelievethisistobecontrarytothespiritandintentionoftheContractandthereforequestionthispursuanttoClause3.2(DelegationbytheEngineer)(87版是Clause2.3(b)oftheConditionsofContractandrequestthisbereconfirmed/reversed/varied/clarifiedaccordingly.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)英文例函EngineersRepresentativeDateTheEngineerDearSir,Re: Request for Permission to Work Night/Weekend ShiftsInresponsetoyouroralinstructiondatedtoexpediteprogressoftheWorkswithreferencetoClause8.6(RateofProgress)(87版是Clause46.1),wearewritingtorequestthatpermissionbegivenforworktocontinueonnight/weekendshiftspursuanttoClause6.5(WorkingHours)(87版是Clause45.1)ofConditionsofContractsoastocompletetheProjectwithintheprogrammedTimeforCompletion.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)以下条款有缺陷，尤其是对于传真以下条款有缺陷，尤其是对于传真/ /电邮：业主可否认接收到而无操作性电邮：业主可否认接收到而无操作性1.3 Communications WherevertheContractprovidesforthegivingorissuingofapprovals,certificates,consents,determinations,noticesandrequests,thesecommunicationsshallbe:(a)inwritinganddeliveredbyhand(againstreceipt),sentbymailorcourier(没有收据没有收据? ? 应有应有againstreceipt！),ortransmittedusinganyoftheagreedsystemsofelectronictransmissionasstatedintheContract;and(b)delivered,sentortransmittedtotheaddressfortherecipientscommunicationsasstatedhereunder.However:(i) iftherecipientgivesnoticeofanotheraddress,communicationsshallthereafterbedeliveredaccordingly;and(ii)iftherecipienthasnotstatedotherwisewhenrequestinganapprovalorconsent,itmaybesenttotheaddressfromwhichtherequestwasissued.Approvals,certificates,consentsanddeterminationsshallnotbeunreasonablywithheldordelayed.IntheContractallfaxandemailcommunicationsshallbeallowedonconditionthattheoriginalcopiesaresentbyexpressmailandreceivedbytherecipient（如果对方不如果对方不签收呢？！签收呢？！）withinten(10)daysfollowingthedatetherelevantfaxoremailwasoriginallysent.（这里的逻辑思维是先发传真这里的逻辑思维是先发传真/电邮，再补发快件让对方签收。问题是电邮，再补发快件让对方签收。问题是如果对方就是不签收呢？如果对方就是不签收呢？）修改后，完善的条款：修改后，完善的条款：1.3 CommunicationsAdd at the end:InthisContractfaxandemailcommunicationsshallbeagreedsystemsofelectronictransmissiononconditionthattheoriginalcopiesaresentbyexpressorequivalentmailtotherecipientwithinfourteen(14)daysfollowingthedateoftransmissionoftherelevantfaxoremail.Anyapproval,certificate,consent,determinationnoticeorrequestgiveninthemannerandtotheaddressprescribedinthisclauseshallbedeemeddeliveredshallbedeemeddelivered atthetimeofdeliveryifdeliveredbyhand(againstreceipt)orbycourier(againstreceipt)oratthetimeoftransmissionatthetimeoftransmission ifsuchdeliveryortransmissiontakesplaceduringnormalbusinesshoursonanormalbusinessdayorotherwiseatthestartofnormalbusinesshoursonthenextbusinessday.二十七二十七 、再分析一个索赔、再分析一个索赔成功成功案例案例项目背景：项目背景：私人房建项目BohamStrand，HK，合同额6,200万港币，ICE合同的香港版（pro-Employer）。房地产调控“800套政策”+亚洲金融危机。2,256万港币索赔（36.4%）+（382万港币律师+91万仲裁庭）法律费用（7.6%）plus1,561万应付验工计价款（25%25%，本该得的，本该得的）/采取财产保全措施。我曾写过一封信，希望1,600万港币（其中1,561万为应付验工计价款）友好解决，只比合同总价多了0.6%。对冲前的数，结果是（-784+3,040）2,256+1,561+382+91共实际拿回4,290万港币（69%）。仲裁裁决：仲裁裁决：ThetimeforcompletionoftheWorkswassetatlarge.法律意义“Timeatlarge”meansthereisnotimefixedforcompletionorthetimesetforcompletionnolongerapplies.WherethisoccurstheContractorsobligationistocompleteworkwithinareasonabletime.仲裁结果出来后再起事端：诉讼公关试图再变友好解决。Final Award of Arbitration （Excerpt）TIME AT LARGE vs The fugitive is at large 逍遥法外逍遥法外IFINDasaFACTthatareasonabletimeforcompletionoftheWorksis24thJune1998（原合同工期：1996年5月23日1997年5月22日,顺延了13个月）theContractorisentitledtorelyontheeffectsofnon-paymentandlatepaymentofInterimPayment.Asnotedabove,theevidenceofPeterYaudemonstratethatthefinishingtradeswereaffectedbythecashflowproblemsandinparticulartherewasaconsiderableslowdowninprogressofworkIHOLDasamatterofLAWthatonaproperconstructionoftheContract,Clause24.2（LossandExpensesCausedbyDisturbanceofRegularProgressoftheWorks）enablestheClaimanttomakeaclaimfordamagesorforabreachofContract.CONTRACTUAL MATTERSTheClaimantcontendsthattheextensionoftimeclauseshouldbeconstruedstrictlyC Contra ontra P ProferentumroferentumagainsttheRespondent.IHOLDasamatterofLAWthattheArchitectisunderanobligationtograntanextensionoftimetotheClaimantifitknowsofdelayingevents,notwithstandingtheClaimantsfailuretogiveanoticeforthwithasrequiredbyClause23（ExtensionofTime）ofStandardFormofBuildingContract.IFINDasaFACTthattheArchitectwasorshouldhavebeenawareofthedelayingeffectsontheelevenmattersidentifiedbytheClaimantabove.IalsoFINDasaFACTthattheRespondentdelayedtheClaimantinitscompletionoftheWorksduetothenon-paymentandthelatepaymentofInterimPayment.ThereasonforthisfindingisdealtwithinmoredetailSectionintheconsiderationofthetimeatlargeissue.THE CLAIMANT IS ALSO ENTITLED TO INTERESTTheRespondenthasurgedmetoconsiderwhatinformationwasavailabletotheArchitectinexercisingmydiscretioninrelationtotheawardingofinterest.Ineedtoconsidertheperiodforwhichinterestshouldbepayable.Theclaimanthasincurredcoststhroughouttheprolongedprolongedperiod（注意比较与delaydelay的说法不同）onsitebutonlyfairlyrecentlythatsufficientinformationhasbeenmadeavailableforthosecoststobeascertained.TakingallthesemattersintoconsiderationIbelievethatitwouldbereasonabletoawardinterestfromthedateofPracticalCompletionuptothedateofpublicationofthisaward.Thisisaperiodof610days.HEAD OFFICE OVERHEADSTheRespondenthassaidthattheClaimanthasfailedtodischargeitsburdenofproofinrespectofthisheadofclaim.TheRespondenthasalsosaidthatitisnecessarytheClaimanttodemonstratethattherewereotherworksavailableanditwaspreventedfromTenderingandobtainingthisworkduetoprolongationinrespectofthesework.Mr.FrankiLuigaveevidencethatHeadOfficeOverheadswereincurredduringtheprolongationperiodthattheClaimantwasonsite.Howevertheevidenceoftheannualturnoverdidnotarisefromaproperindependentaudit.IFINDasaFACTthatthereisnoreliableevidencetosupporttheClaimantscontentionthatithasincurredHeadOfficeOverheadsduringthisperiodofprolongationonSitealthoughasamatterofcommonsense,itmusthaveincurredsomelosses.ItisnotformetospeculatewhatthoselossesItisnotformetospeculatewhatthoselossesmightbe.mightbe.附Building Contract Building Contract for use in the Hong Kong Special Administrative Region for use in the Hong Kong Special Administrative Region23ExtensionofTimeUponitbecomingreasonablyapparentthattheprogressoftheWorksisdelayed,theMainContractorshallforthwithgivewrittennoticeofthecauseofthedelaytotheArchitect,andifintheopinionoftheArchitectthecompletionoftheWorksislikelytobeorhasbeendelayedbeyondtheDateforCompletionstatedintheAppendixtotheseConditionsorbeyondanyextendedtimepreviouslyfixedundereitherthisclauseorclause33(1)(c)（战争赔偿）oftheseConditions,(a)by Force Majeure,or(b)byreasonofinclementweatherorthesubsequenteffectsofsuchinclementweather;forthepurposeofthissub-clause“inclementweather”isdefinedasrainfallinexcessoftwentymillimetersinatwentyfourhourperiod(midnighttomidnight)asrecordedattheHongKongObservatoryorthehoistingofTyphoonSignalN.8orhigher,or(c)byreasonoflossordamageoccasionedbyanyoneormoreoftheContingenciesreferredtoinclause20AorBoftheseConditions,or(d)byreasonofcivilcommotion，localcombinationofworkmen，strikeorlockoutaffectinganyofthetradesemployedupontheWorksoranyofthetradesengagedinthepreparation，manufactureOrtransportationofanyofthegoodsormaterialsrequiredfortheWorks，or(e)byreasonofArchitectsinstructionsissuedunderclauses1(2),11(1)or21(2)oftheseConditions，or(f)byreasonoftheMainContractorNothavingreceivedinduetimenecessaryinstructions,drawings，detailsorlevelsfromtheArchitectforwhichhespecificallyappliedinwritingonadatewhichhavingregardtotheDateforCompletionstatedintheappendixtotheseConditionsortoanyextensionoftimethenfixedunderthisclauseorclause33(1)(C)oftheseConditionswasneitherunreasonablydistantfromnorunreasonablyclosetothedateonwhichitwasnecessaryforhimtoreceivethesame,or(g)bydelayonthepartofNominatedSub-ContractorsorNominatedSupplierswhichtheMainContractorhastakenallpracticablestepstoavoidorreduce，or(h)bydelayonthepartofartists，tradesmenorothersengagedbytheEmployerinexecutingworknotformingpartofthisContract，or(i)byreasonoftheopeningupforinspectionofanyworkcoveredupOrofthetestingofanyofthework,materialsorgoodsinaccordancewithclause6(3)oftheseConditions(includingmakinggoodinconsequenceofsuchopeninguportesting)，unlesstheinspectionortestshowedthatthework，materialsorgoodswerenotinaccordancewiththisContract,or(j)*(i)bytheMainContractorsinabilityforreasonsbeyondhiscontrolandwhichhecouldnotreasonablyhaveforeseenatthedateofthisContracttosecuresuchlabourasisessentialtothepropercarryingoutoftheWorks，or*(ii)bytheMainContractorsinabilityforreasonsbeyondhiscontrolandwhichhecouldnotreasonablyhaveforeseenatthedateofthisContracttosecuresuchgoodsand/ormaterialsasareessentialtothepropercarryingoutoftheWorks，or(k)byreasonofcompliancewiththeprovisionsofclause34oftheseConditionsorwithArchitectsinstructionsissuedthereunder，thentheArchitectshallsosoonasheisabletoestimatethelengthofthedelaybeyondthedateortimeaforesaidmakeinwritingafairandreasonableextensionoftimeforcompletionoftheWorks.ProvidedalwaysthattheMainContractorshalluseconstantlyhisbestendeavourstopreventdelayandshalldoallthatmayreasonablyberequiredtothesatisfactionoftheArchitecttoproceedwiththeWorks24LossandExpenseCausedbyDisturbanceofRegularProgressoftheWorks(1)IfuponwrittenapplicationbeingmadetohimbytheMainContractortheArchitectisoftheopinionthattheMainContractorhasbeeninvolvedindirectlossand/orexpenseforwhichhewouldnotbereimbursedbyapaymentmadeunderanyotherprovisioninthisContractbyreasonoftheregularprogressoftheWorksorofanypartthereofhavingbeenmateriallyaffectedby：(a)TheMainContractornothavingreceivedinduetimenecessaryinstructions,drawings,detailsorlevelsfromtheArchitectforwhichhespecificallyappliedinwritingonadatewhichhavingregardtotheDateforCompletionstatedintheappendixtotheseConditionsortoanyextensionoftimethenfixedunderclause23orclause33(1)(c)oftheseConditionswasnetherunreasonablydistantfromnorunreasonablyclosetothedateonwhichitwasnecessaryforhimtoreceivethesame;or(b)Theopeningupforinspectionofanyworkcovereduporthetestingofanyofthework，materialsorgoodsinaccordancewithclause6(3)oftheseConditions(includingmakinggoodinconsequenceofsuchopeninguportesting)，unlesstheinspectionortestshowedthatthework，materialsorgoodswerenotinaccordancewiththisContract;or(c)AnydiscrepancyinordivergencebetweentheContractDrawingsand/ortheContractBills;or(d)Delayonthepartofartists,tradesmenorothersengagedbytheEmployerinexecutingworknotformingpartofthisContract;or(e)ArchitectsinstructionsissuedinregardtothepostponementofanyworktobeexecutedundertheprovisionsofthisContract;andifthewrittenapplicationismadewithinareasonabletimeofitbecomingapparentthattheprogressoftheWorksorofanypartthereofhasbeenaffectedasaforesaid,thentheArchitectshalleitherhimselfascertainorshallinstructtheQuantitySurveyortoascertaintheamountofsuchlossand/orexpenseAnyamountfromtimetotimesoshallbeaddedtotheContractSum,andifanInterimCertificateisissuedafterthedateofascertainmentanysuchamountshallbeaddedtotheamountwhichwouldotherwisebestatedasdueinsuchCertificate(2)TheprovisionsofthisConditionarewithoutprejudicetoanyotherrightsandremedieswhichtheMainContractormaypossess二十八、专业咨询二十八、专业咨询一条粉笔线值一万美元的故事 1923年，美国福特公司的一台大型电机发生了故障。为排除故障，公司把工程师学会的专家们都请来“会诊”，但一连数月，毫无所获。 后来，他们请来刚移居美国的德国科学家史坦敏茨。史坦敏茨围着电机忙碌了两天两夜。最后，他用粉笔在电机的一个部位划了一条线，吩咐说：“打开电机，把此处的线圈减少16匝，故障就可排除。”工程师们照办了，电机果然运转如常。史坦敏茨为此向福特公司索取一万美元的酬金。 有人质疑说：划一条线竟值一万美元？简直是敲竹杠！史坦敏茨淡然一笑，随即挥笔在付款单上写下这么两句话：粉笔划一条线 1美元；知道在哪里划线知道在哪里划线 9,999美元！ 老子道德经知人者智，自知者明。胜人者有力，自胜者強。知足者富。強行者有志。不失其所者久。死而不亡者寿。最新的一个真实案例25亿美元开谈亿美元开谈（2010年，高峰期评估值28亿45亿美元亿美元 max），曾经年EBITDA10亿美元，议价两年半（2013年1月）逆向收购（Counter-cyclicalInvestment），10亿确认（Swap）vs15亿美元（AllCash）找业内专家（C Competent P Person/Q Qualified P Person，双牛怕“专家”的幽默）咨询，评估结果：双方聘请独立评估：17.5亿美元亿美元（两家分担20万美元评估咨询费）投资银行（600万vs280万美元/成交付款）+会计师楼（58万vs40万美元）+律师（56万vs30万美元），全包（含差旅费，BackLoading），NPVvsP/E法，市场原则调整独立评估结果：调整独立评估结果：9亿美元亿美元（找出重复计算salableore4亿+JV分劈5亿美元+rowmanuallyaddedwhichisuncommoninamodelcalculation，2013年5月）继续咨询并调研：另一家上市公司在私有化，P/B=0.53，P/E=8，而上市与非上市公司之P/E差一半上手成交价4.54亿+3,000万美元上市公司董事（真正的专家）伴生矿的影响（PGMtheImpactofUG2）卖方强调并试图说服买方：长远来看，加工业（下游）收购矿业资源（上游），这是一种战略收购答案：短期无现金流没现金流，企业就活不下去，言何战略？我方提出如果真有现金流，请卖方为此出具母公司担保保函！Putmoneyatyourmouthifyoureallymeanit.卖家有“Badluck”之说最终成交：?你们猜测是多少？一个参考数据：国外矿业收购项目80%失败，投资项目67%失败以诚恐之心做事投资/做项目的第一原则是什么？第二原则呢？二十九、什么是一个好交易？二十九、什么是一个好交易？ MBA第一问一个人能给你挣来300万美元，您要给他150万美元这种交易您应否成交？心态决定一切。错误理念乃失败之因人们只是看到了果（失败），因果关系。LeeIacoccaManagementFormula毕加索的逸事（五万法郎vs几分钟）。千年虫（Y2KBug）最终都要自己拿主意（说话算数说话算数说话算数说话算数的领导不敢担责任，全球为此1,000亿美元花费）。 案例，Q.Svs深圳河改造工程，合同额1.26亿港元，1996年11月市场上放出的项目少，面临大量裁员，风险与机遇800万港元，HPRendel/5万港元/JamesMeadowsRendel的故事(1822年)+Levett&Bailey/7万港元)，最终实现盈利100万港元。 谈判的本质 妥协双赢。 另一案例，2008BeijingOlympicGamesGreatWheelProject，unlimitedrecourse，见后附函。原双方合同律师费全部采用港元支付，但并没写明哪方承担税费。实际共发生66万港元，在结算时律师提出这一问题（税费额为2.64万港元，占4%），认为其所得应为66万港元净值，而客户则坚持税费应该自理。解决办法：2007年4月有外汇报告指“Analyst:RMBtoappreciate4%in2007”，意味着预计到年底人民币的升值即可补足这4%的差额。双方接受调解，改用人民币付款双赢！实际发生：与2007年5月21日相比，到2007年12月14日人民币升值即已达4%，而2007年12月31日达到了4.8%。有缺陷的“延期罚款”条款8.7LiquidatedDamagesAt the end of Sub-Clause 8.7, add:Thedailyamountofliquidateddamagesduefordelayofpart/SectionoralltheWorksshallbe0.025%ofthecontractamount(A)+(B)+(C)+(D)oftheremainingpart/SectionoftheWorksinrespectthereof,payableintheproportionsofcurrenciesinwhichtheContractPriceisstructured.ThemaximumamountofliquidateddamagestobepaidbytheContractortotheEmployerwithregardtotheWorksshallbeTenPercent(10%)ofthecontractamount(A)+(B)+(C)+(D)oftheremainingpart/SectionoftheWorks;初衷：尽量被少罚款 仅对未完工部分罚款；限定罚款上限10%。 草拟的上述条款实际效果呢？ 见下页分析。分析（逻辑和法律） 经查，Clause 3 Contract Prices 定义A、B、C、D的内容如下（但上面起草的条款里并没交代清楚）：InthisContractthepriceisanadjustableLumpSumpriceinEuroinaccordancewithA-ThecontractvalueofSubstructureWorks:EuroXXXXX;B-ThecontractvalueofSuperstructureWorks:EuroXXXXX;C-ThecontractvalueofPlant:EuroXXXXX;D-TheTechnicalConsultingFee:EuroXXXXX;E-Costfortaxes,fees,dutiesandsocialsecurities:EuroXXXXXasAttachmentII.（E与LD无关）F-FinancingCostswhicharesubjecttotheapprovalbySinosureandCBIasAttachmentIII.（F与LD无关） 有关违约金上限的规定写法有缺陷，这样的wording风险很大！问题是未完工部分remainingpart/Section总有一天会变成“0”，因此该条款应用到罚款上限时就会变成无效条款，明显地承包商在playtricks，让雇主日后有机会提出抗辩：主张不存在有效的上限，因而转变成无限大的LD，结果：0(初衷)(结果)（风险的容忍度）。下页经修改的第8.7款，对LD就写得又准确、又安全，最重要的是实际上保障达到了尽量被少罚款的初衷。 经修改后，完善的经修改后，完善的“延期罚款延期罚款”条款条款 8.7 LiquidatedDamagesAt the end of Sub-Clause 8.7, add:ThedailyamountofliquidateddamagestobepaidbytheContractortotheEmployerfordelayofpart/SectionoralltheWorksshallbe0.025%ofthevalueoftheelementsofthecontractamountasstatedin(A)+(B)+(C)+(D)inClause3oftheContractAgreementattributabletothepart/SectionoftheWorksremainingtobecompletedonthatday,payableintheproportionsofcurrenciesinwhichtheContractPriceisstructured.ThemaximumamountofliquidateddamagestobepaidbytheContractortotheEmployerwithregardtotheWorksshallbeTenPercent(10%)ofthevalueoftheelementsofthecontractamount(A)+(B)+(C)+(D)attributabletothepart/SectionoftheWorksremainingtobecompletedonthefirstdaywhendamagesbecamepayable.IntheeventthatthePartiescannotagreeonthevalueoftheelements,theEmployersvalueshallbeusedunlessanduntiladifferentvalueisfixedpursuanttoClause20(Claims,DisputesandArbitration).有缺陷的“全部责任上限”条款17.6 Limitation of LiabilityNeither Party shall be liable to the other Party for loss of use of any Works, loss of profit, loss of any contract or for any indirect or consequential loss or damage which may be suffered by the other Party in connection with the Contract, other than under Sub-Clause 16.4 （Payment on Termination） and Sub-Clause 17.1 （Indemnities）. The total liability of the Contractor to the Employer, under or in connection with the Contract other than under Sub-Clause 4.19 （Electricity, Water, Gas and Communication）, Sub-Clause 4.20 （Employers Equipment and Free-Issue Material）, Sub-Clause 17.1 （Indemnities） and Sub-Clause 17.5 （Intellectual and Industrial Property Rights）, shall not exceed Ten Percent (10%) of the Contract Price. （这段有缺陷，因该这段有缺陷，因该EPC合同谈成了调价合同谈成了调价公式，属于一个公式，属于一个 adjustable open price，是好事，但不可顾此失，是好事，但不可顾此失彼。见下页修改）彼。见下页修改） 另一案例：降价另一案例：降价18.5%的适用范围的适用范围 计算报价计算报价 1,204万美元万美元 降价降价 18.5%后后 实际投标实际投标/签约金额签约金额981万美元，索赔万美元，索赔 +（调价）（调价）+ (VO) 降价之后才付款降价之后才付款: 索赔实得索赔实得 443万美元544万美元x（1-18.5%） This Sub-Clause shall not limit liability in any case of fraud, deliberate default or reckless misconduct by the defaulting Party. 经修改后，完善的经修改后，完善的“全部责任上限全部责任上限”条款条款17.6 Limitation of Liability Delete the text of second paragraph and substitute: The total liability of the Contractor to the Employer, under or in connection with the Contract other than under Sub-Clause 4.19 （Electricity, Water, Gas and Communication）, Sub-Clause 4.20 （Employers Equipment and Free-Issue Material）, Sub-Clause 17.1 （Indemnities） and Sub-Clause 17.5 （Intellectual and Industrial Property Rights）, shall not exceed the Ten Percent (10%) of total amount of the EPC Contract Price as stated in Clause 3（Contract Prices） of the Contract Agreement. 注意注意： Clause 3（Contract Prices）里主要定义了合同金额的具体数额，引述里主要定义了合同金额的具体数额，引述它就严谨到使得不确定（它就严谨到使得不确定（adjustable）变为确定（）变为确定（non-adjustable）。）。例如：例如： In this Contract the price is an adjustable Lump Sum price（是个变量，是个变量，属于不确定因素属于不确定因素） in Euro in accordance with Sub-clause 13.10 （Adjustments of the Contract Price） of Conditions of Contract. The detailed summary of the Contract Price is attached as Appendix I （The Detailed Summary of the EPC Contract Price）. 这里就限定是一这里就限定是一个个 non-adjustable Lump Sum Price了！了！以此以此常数常数作为罚款基数，再乘作为罚款基数，再乘以以10% 可控，而不会出现可控，而不会出现adjustable EPC Contract Price的情形。的情形。三十、三十、EOT 如何客观看国外项目的工期问题？99版FIDIC第8.3款vs第8.4款/第14.1款(ProgrammetobeSubmitted)vs第44.1款(ExtensionofTimeforCompletion)。ProgrammevsAs-builtProgrammes（过程中动态修改的进度计划）vs工期索赔参照系。有经验和谨慎从事的承包商通常在其programme中会对罢工、天气、缺工短料等这类承包商的风险因素留有余地。对外交涉工期问题时，要特别注意英语用词上的微妙之处：delay是属于承包商的失误造成拖期，而disrupt和prolong是由于业主原因造成的，例如在指发出VO、出图缓慢及各种承包商无法预知的因素时。索要费用时，推荐使用acceleration一词来表述承包商的努力。Warnings（77版）vsWarning（87版）vsMilestones（银皮书）。延期补偿管理费12.5,合约工程中临时发生的点工计费标准英国土木工程承包商协会作为支持性文件。英文例函EngineerinChiefDate.TheEngineerDearSir,Re:Submission of Programme and Cash Flow EstimatePursuanttoClauses14.1(TheContractPrice)and14.3(Programme)(87版是Clause8.3)oftheConditionsofContract,wehavepleasureinenclosingourProgrammeandCashFlowEstimatefortheWorksandtrustthatyouwillfindthisadequateforyourpurpose.Asrecentlyrequestedbyyouwealsoencloseamethodstudygivingageneraldescriptionofthearrangementsandworkingmethodswhichweproposetoadoptfortheexecutionoftheworks.Thisalsogivesdatesforourspecificrequirementsforinformationrelatedtoourprogrammeandweshallbehappytodiscussthesefurthershouldthisbenecessary.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)Enc.ProgrammeRef.NoCashFlowEstimateWorkingMethodStatement英文例函EngineerinChiefDate.TheEngineerDearSir,Re:Failure to Give Possession of Site EOT and Additional CostsFurthertoourletterRef.Nodated.advisingthatwehavesuffereddelayandincurredcostsfromthefailureonthepartoftheEmployerbasedonClauses2.1(RightofAccesstotheSite)and8.5(DelaysCausedbyAuthorities)(87版是Clauses42.1and42.2)togivepossessionofSiteAreafromKMtoKM,weunderstandfromyourexplanationletterRef.NodatedthatthishasarisenduetofactorsbeyondtheEmployerscontrolandthematterhasnowbeenresolved.ThisentitlesustoanextensionoftimeunderClauses8.4(ExtensionofTimeforCompletion)(87版是Clause44.1)and20.1(ContractorsClaims)(87版是Clause53.3)oftheConditionsofContractandwenowenclosesubstantiationofourEOTandtheamountofcoststobeaddedtotheContractamountofcoststobeaddedtotheContractPricePriceinrelationtothePossessionofSite.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)Enc.英文例函EngineerinChiefDateTheEngineerDearSir,Re: Request for Additional Information Disruption of ProgressFurthertoourdiscussionwithyourRepresentativeandpursuanttoClause8.5(DelaysCausedbyAuthorities)(87版是Clause6.3)oftheConditionsofContractwenowwritetoconfirmthatexecutionoftheworksislikelytobeprolongedordisruptedunlessdetailsareissuedbyyouwithinareasonabletime.Suchprolongationordisruptionwillincurextraconsequentialcosts.OurrequirementswereindicatedonourProgrammesubmittedtoyouonandtoavoiddelaythedetailsrequestedshouldbemadeavailabletousnotlaterthanYoursfaithfully,ProjectManagerTheContractor(Co.Ltd)cc:ProjectManagerTheEmployer英文例函EngineerinChiefDateTheEngineerDearSir,Re: Notice of Delay in the Issue of InformationFurthertoourletterRef.Nodatedandtoourprogrammeissuedonthe(date)ithasbecomeapparentthatthenonreceiptoftheinformationrequestedisnowdelayingourworkandwethereforegivenoticeofourprolongationandadditionalcostpursuanttoClause8.5(DelaysCausedbyAuthorities)(87版是Clause6.3)oftheConditionsofContract.ItisconsideredthatanextensionoftimemayalsoberequiredandwethereforegivenoticeofourrequestforthispursuanttoClauses8.4(ExtensionofTimeforCompletion)(87版是Clause44.1)and20.1(ContractorsClaims)(87版是Clause53.3)oftheConditionsofContract.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)英文例函EngineerinChiefDateTheEngineerDearSir,Re: Notice of Delay in the Issue of InformationInaccordancewiththeprovisionsoftoClauses8.4(ExtensionofTimeforCompletion)(87版是Clause44.2(a)and20.1(ContractorsClaims)(87版是Clause53.3)wewritetogivenoticethataneventhasoccurredwithinthelast28(TwentyEight)dayswhichissuchasfairlytoentitleustoanextensionofthetimeforcompletionoftheworksorasectionthereof.Theeventwas.anditem(a)-(e)ofClauses8.4(ExtensionofTimeforCompletion)(87版是Clause44.1)oftheConditionsofContractapplies.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)cc:ProjectMangerTheEmployer英文例函EngineerinChiefDate.TheEngineerDearSir,Re:Detailed Particulars of Claim NoFurthertoourletterRef.Nodated.givingnoticeofaneventwhichfairlyentitlesustoanextensionoftimewenowwriteinaccordancewithClauses8.4(ExtensionofTimeforCompletion)(87版是Clause44.1)and20.1(ContractorsClaims)(87版是Clause53.3)toenclosefullsupportingparticularsoftheextensionoftimetowhichweconsiderourselvesentitledinrelationto(givedetailsofthenatureoftheeventreferredtointhenoticegivenunderthoseclausesoftheConditionsofContract.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)Enc.英文例函EngineerinChiefDateTheEngineerDearSir,Re: Interim/Final Particulars of Claim No InaccordancewiththerequirementsofClause8.4(ExtensionofTineforCompletion)(87版是Clause44.3)weencloseinterim/finalparticularsinrespectoftheeventreferredtoinourletterdatedTheeventreferredtohashadacontinuingeffectsuchthatithasnotbeenpracticableforusforthetimebeingtosubmitdetailedparticularperiodof28(TwentyEight)daysreferredtoinClause20.1(ContractorsClaims)(87版是Clause53.3)oftheConditionsofContract.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)Enc.英文例函EngineerinChiefDate.TheEngineerDearSir,Re: EOT and Extra CostsFurthertoyourInstructionNodated.testinghasbeencarriedoutonandyouhaveconfirmedthatthesetestshavebeencompletedtoyoursatisfactionandthatthematerials/plant/workmanshipwerefoundtobeinaccordancewiththeSpecificationrequirements.SincethesetestswerenotprovidedforintheContractandasaresultdelaytoourprogrammeandadditionalcostshavebeenadditionalcostshavebeenincurredincurred,wearewritingtorequestthatpursuanttoClauses7.4(Testing)(87版是Clause36.5),8.4(ExtensionofTimeforCompletion)(87版是Clause44.1)and20.1(ContractorsClaims)(87版是Clause53.3)oftheConditionsofContractyoudeterminetheextensionoftimetowhichweareentitledandalsotheamountofthecoststobeaddedtotheContractPricetheamountofthecoststobeaddedtotheContractPrice.Ourrecordstosubstantiateourprolongationandthecostsincurredareattachedandwetrustthiswillbeofassistanceinmakingyourdetermination.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)Enc.三十一、外汇及汇价（两大戏剧性变化因素之一）三十一、外汇及汇价（两大戏剧性变化因素之一）99版FIDIC第14.15款/第71款和第72款。案例，Guilder(荷兰盾)vsUSDollar。收购一家目标企业：兰特对美元每走软/硬R0.10，则该公司税后纯利增减US$1,000万（TurnoverUS$1.5Billion）！工具之一套期保值通过银行的远期结售汇对持有的外币头寸可能出现的波动风险进行对冲。例如：某公司预计今后半年度收入为1,000万美元；对冲：进行6个月的外汇远期合约，以远期价格6.761卖出1,000万美元，买入6,761万人民币，把益利锁定；结果：6个月后，即使美元下跌到6.5，企业也可以6.761的价格卖出美元/买入6,761万人民币，因此不会因美元下跌而受到影响。当然，如果美元不是下跌而是上升的话，企业最终的收益也只能锁定在6,761万人民币，并不会因美元上升而带来额外收益。套期保值的案例2004年签约的海外某矿山工程项目，合同金额1.15亿欧元。2004年底，人民币升值的预期日益高涨，欧元也处于历史高位。经认真测算项目现金流后，为规避汇率风险，对项目收款进行套期保值运作。12月7日，当欧元出现小幅波动，外界对欧元继续升值与否存在两种不同预期的情况下，做成欧元/人民币套期保值，达成了两笔总计4,500万欧元的远期结汇交易，并借用保函信用额度（而并非现汇保证金）提供保证。2005年11月7日和12月6日，两笔欧元套期保值均成功按期交割，即期汇率与约定汇率相比多产生收益合人民币6,510万元(占合同总金额的7%)。贷款利率与货币贬值为南非的项目进行贷款： 香港做美元贷款的利率 8%从哪里贷款？海外项目的特点 vs外汇因素影响程度之大；但是南非R每年对美元贬值20%，影响？现在怎么贷？操作 注册资本金 vs流动资金vs外汇管制，贷款额度vs实际需求量，项目贷款（矿权抵押）vs母公司担保贷款，R的未来走势vs套期保值；如果港币（未来与人民币挂钩？/！）是升值趋势呢？贷美元还是港币？实例：息差形成经济效益的操作实例：息差形成经济效益的操作贷款利率：内地贷人民币，6%香港贷美元，Libor（1.68）+150bp3.18%资金占用时间：内地先交预付款（2030%，现金）香港TRLoan，半年仅息差一项就已在3%左右，还有现金流上的优势年采购营业额：6,500万美元商业机会你觉得应是？%commission经济效益：每年195万美元（收取3%）英文例函EngineerinChiefDateTheEngineerDearSir,Re: Currency RestrictionsWearewritingtogivenoticethatasaresultofanimposedcurrencyrestrictionwhichhasarisenafterthedate28(TwentyEight)dayspriortothedateofsubmissionofourTenderfortheWorksalossisincurredandweseekweseekreimbursementreimbursementpursuanttoClauses13.7(AdjustmentsforChangeinLegislations),14.15(CurrenciesofPayment)(87版是Clause71.1)and19(ForceMajeure)ofConditionsofContract.Weshallkeepsuchrecordsaswefeelnecessarytosubstantiateourrequestforsubstantiateourrequestforfinancialcompensationfinancialcompensationandshallsubmitthesemonthlytoyouforinclusionwithourapplicationsforpayment.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)三十二、合同文件三十二、合同文件优先次序优先次序(99版第版第1.5款款/77版和版和87版第版第5.2款）款） 歧义的简单解决方法歧义的简单解决方法（1）合同协议书（2）中标通知书（）投标文件（）特殊条款（）一般条款（最简单的表现形式可以只是一张纸）（）特殊规范（）一般规范（）图纸（）B.Q.单（）补遗案例（Kayesthavsterrazzo/水磨石）可能前后互置三十三三十三 小结：小结：FIDIC 十大关键条款（十大关键条款（Top10）1.付款（包括外汇）2.仲裁3.变更令4.调价公式5.书面往来6.优先次序7.UnforeseenPhysicalorLegalObstructions8.索赔（第7条是其基础）9.不可抗力/业主违约10.EOT/LD有统计显示，红皮书特殊条款中修改最多的是第60款（付款/99版对应的是第14款），其后依次为第67款（仲裁/99版是第20.6款）、第10款（履约保函/99版是第4.2款）、第21款（保险/99版是第18款）、第70款（调价公式及法律变化/99版是第13.7款和第13.8款）以及第14款（进度计划/99版是第8.3款）这与我上面的实践总结也基本吻合呼应。三十四、项目的“影响曲线（InfluenceCurve）”对对成成本本和和进进度度的的影影响响度度时间时间T创意（创意（Concept）设计（设计（Engineering）采购采购（Procurement）施工施工（Construction）I三十五、风险管理三十五、风险管理Nothingventured,nothinggain！不确定性，使得无法达到预期回报的负面影响。NoProjectisriskfree.所有风险因素应统一综合考虑。风险预防“不治已病治未病”今日市场竞争成败的关键不是技术，而是管理。管理是艺术，同时管理无法民主（案例，T9的1:7决策/双方内测价格平均差幅20%左右，1.1%0.8%成交的原因）。东西文化的差异vs中国国情/现实vs国际惯例例如，上市公司信息披露的停牌原则：中国的思维方式是没成交则停牌时间越长越好，无波动，股民无损失；而成熟国际市场认为停牌的时间越短越好，市场上的投资人可以根据信息自行做出下一步的投资决定卖出或买入，另外窝轮和期权等衍生产品都是随着时间的推移在消值！Uncertaintyprevails，opportunitiespersist.Dontsay“Yes”whenyouwanttosay“No”!缺乏经验（充分利用各种ExternalServices，理念的转变）。实践经验的重要性。及时做出反馈并抓住机遇（危机vs祸福vs老子曰，实例，HSBCP/E5，南洋商业银行TRLoanL/C）。履约综合表现与PASS积分（PerformanceAssessmentScoringSystem），香港的优先授标系统和履约奖金制度值得借鉴。合理转嫁风险（实例，Naubise-Malekhu消失了的“大牛”）。风险管理只能减少风险，控制发生在可承受的范围内（容忍度），不可能消除风险，也没有百战百胜，常胜将军已经很难了案例如后。ABCABC公司公司1996199620002000年工程项目整体盈利情况年工程项目整体盈利情况亏：亏：3 3个个/56 = 5.35%/56 = 5.35%，损：，损：35653565万万/98/98亿（五年总营业额）亿（五年总营业额） = - 0.36% = - 0.36%单位：万港元序号序号项目名称项目名称合同额合同额开工日期开工日期完工日期完工日期项目盈亏项目盈亏完工系数完工系数备注备注1电器道商业楼331,700.001995.03.171996.06.29410.00100%私人项目2官塘工贸楼2,918.001995.07.131996.07.13327.00100%私人项目3三育中学10,600.001995.09.081997.11.301,105.40100%私人项目4河旁街打桩105.001996.02.011996.06.0415.55100%私人项目5大埔渠务及道路2,900.001996.02.011996.12.3031.55100%政府项目6九龙湾辅警总部8,920.001996.03.291997.04.2826.80100%政府项目7众安街打桩446.001996.04.011996.12.3126.10100%私人项目8文碱东街写字楼6,216.001996.05.231999.02.100.00100%私人项目9上水安老院8,081.001996.06.121998.11.29712.85100%政府项目10伊丽莎白医院打桩1,197.001996.07.051996.12.3126.89100%政府项目11沙田威尔斯医院171.001996.07.121996.08.088.54100%政府项目12新机场基础设施451合约19,856.001996.09.021997.06.28349.00100%政府项目13荃湾运动场4,873.001996.09.111997.11.27244.00100%政府项目14深圳河改造工程12,641.001996.11.181998.12.18100.00100%政府项目15屯门安老院8,618.001996.12.271998.02.18467.00100%政府项目16柴湾打桩196.001997.03.161997.06.139.30100%私人项目17亚皆老街儿童训练中心9,984.001997.07.161998.09.22671.00100%政府项目18将军澳安老院12,165.001997.09.191998.12.201,184.87100%政府项目19白田重建第5期17,115.001998.01.031999.05.111,219.00100%政府项目20将军澳打桩第2期3,970.001998.01.171998.11.25-1,124.00100%政府项目21将军澳打桩第4期9,281.001998.01.171998.11.25-911.00100%政府项目22东华三院社区服务中心7,586.001998.01.171998.04.01567.20100%私人项目23阳明山庄维修570.001998.05.251998.08.2928.40100%政府项目24星辉大厦128.001998.06.281998.10.2815.80100%政府项目25油塘打桩第2期2,988.001998.07.201999.03.19-1,530.00100%政府项目26真光中学基础1,390.001998.07.241999.02.10109.00100%政府项目27昂船洲码头配套7,250.001998.07.241999.07.27811.00100%政府项目28官塘水务局大楼17.000.001998.10.222000.01.171,417.00100%政府项目29西湾河电影资料馆34,040.001998.10.232000.02.233,765.00100%政府项目30鸭俐州小学17.762.001999.03.242000.07.301,565.00100%政府项目31赤柱军营维修30栋100.681999.05.061999.09.1923.56100%政府项目32赤柱军营维修37栋396.601999.05.061999.06.19127.89100%政府项目33石岗军营维修#22栋26.391999.05.171999.06.054.32100%政府项目34真光中学7,113.001999.07.012000.08.08687.50100%政府项目35石岗军营维修#19栋93.721999.07.121999.08.3012.11100%政府项目36昴船州海军基地维修46.001999.08.021999.10.036.25100%政府项目37昴船州海军基地维修377栋45.061999.08.181999.09.167.00100%政府项目38昴船州军营道路10.001999.08.181999.09.111.4840%政府项目39石岗军营维修15-2C栋82.001999.08.181999.10.1124.17100%私人项目40将军澳地铁#606合约42,202.211999.10.112002.10.11200.00100%政府项目41元朗检测中心4,586.321999.11.172000.12.31793.00100%私人项目42石岗军营维修#16-17B栋73.001999.11.172000.12.31793.00100%政府项目43香港中文大学医学楼8,352.321999.12.022000.11.30430.00100%政府项目44石岗军营维修#77-78栋83.001999.12.062000.01.299.20100%政府项目45新围北军营供水管225.002000.03.212000.05.1947.90100%政府项目46新围北军营维修#39栋32.472000.04.012000.05.155.70100%私人项目47青山靶场山坡围网48.002000.04.132000.05.037.80100%政府项目48葵涌九号货柜码头397.500.002000.05.122005.03.1120,385.0014%私人项目49将军澳第3期填海及渠务36,778.992000.6.192003.3.262,000.0021%政府项目50黄竹坑132KV变电站15.200.002000.07.012001.07.01700.0050%私人项目51石门第2期渠务及道路12,698.632000.07.062001.12.061,600.0035%政府项目52浸会大学学生宿舍25,200.002000.07.202001.07.201,572.0050%私人项目53白石角科学园地库及基础4,769.542000.11.132001.07.10150.0025%政府项目54九龙湾三所学校24,722.862000.12.082002.07.13900.005%政府项目55元朗检测中心二次装修494.202001.01.152001.09.0850.001%私人项目56黄大仙社区会堂529.002001.02.82001.09.0880.001%私人项目ABCABC公司公司1996-20001996-2000年工程项目历年毛利和纯利情况年工程项目历年毛利和纯利情况年度19961997199819992000合计2001(留转余额)毛利总计毛利8901,4052,4192,7257,60015,0398,44223,481纯利3776359361,0365,6008,584单位：万港元万港元 毛利（纯利） 备注：（1）毛利是已将项目自身管理费全部打入了成本，但尚未计算写字楼之员工薪金及房租等支出。 （2）纯利是各工程项目的毛利之和减应由工程项目承担的写字楼部分管理费开支。 （3）1999-2000年合计毛利15,039万港元,合计纯利8,584万港元。 （4）2001年毛利留转余额8,442万港元,1996年以来ABC公司创毛利总计23,481万港元。历史的教训就是人们从不吸取历史的教训历史的教训就是人们从不吸取历史的教训 黑格尔黑格尔决策的失误表现在刚做对一两件事，就把偶然当成必然，把开始成功当成永远成功，认为自己无所不能，无所不会。心态摆不正，决策就容易失误。错误的决策一旦形成，损失就会很大。“有人辞官归故里,有人漏夜赶科场。”儒林外史没有赶科场而得到经历官场的机会，那又从何辞官归故里呢？（沙田圆洲角两幢楼宇短桩案例/会汉建设分判/亚太建设总包）。管理的能力，担当的气魄，成败多在领头人三十六、管理与领导曲线孔子曰吾十有五而志于学，三十而立，四十而不惑，五十而知天命，六十而耳顺，七十而从心所欲，不逾矩。 三十七、土木三十七、土木/建筑合同（红皮书）是单价合同建筑合同（红皮书）是单价合同特点是“单价合同，量价分离，验工计价，据实付款”，英文叫Re-measurementContract。B.Q单（“工程量清单”的翻译准确度？）的结构和用途（第55款/99版第12款）。2003年7月1日，GB50500-2003工程量清单（量价单）的推行与价格市场化，突破了传统的定额计价方式。经验是可比定额低1520%不等（主要取决于个体工效）。文字（words）管着数字（figures）。MeasurementStandard.Q.S工作的重要性。参见国际工程与劳务杂志2000年第9期和第10期，中国对外承包商会。英文例函EngineerinChiefDateTheEngineerDearSir,Re:Notice of Disagreement with Measurement Records Clause 12 (Measurement and Evaluation) (87版是版是Clause 56.1)WerefertothemeasurementrecordsanddrawingsissuedtousunderyourRef.No.datedandregretthatwehavebeenunabletoagreetheseconsideringthemtobeincorrectinthefollowingrespects:-(a)(b)(c)(d)Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)英文例函EngineersRepresentativeDateTheEngineerDearSir,Re:Inspection and/or Measurement of Work before Covering UpWewritetogiveyounoticepursuanttoClause7.3(Inspection)(99版是Clause38.1)oftheConditionsofContractthatthefollowingworkslocatedatareabouttobecoveredupandtheseworkswillbeavailableonforinspectionbyyou.Willyoupleasearrangetoattendforinspectionand/ormeasurementwithoutdelayoradviseusinwritingshouldyoufeelyourattendanceisnotnecessary.Yoursfaithfully,ProjectManagerTheContractor (Co.Ltd)cc：EngineerinChiefTheEngineer三十八、三十八、 投投标报价技巧及实例报价技巧及实例报价工作令人两难，要么“有”，要么“无”；获取项目的机会vs实施中潜在风险；Tendermanship；Riders/Qualifications（中国人在汉译英时常翻为Conditions,欠妥）vsResponsive/ConformingTender。参见FIDIC合同条件应用实务（第二版）一书pp9399，中国建筑工业出版社。GapsandLoopholesFrontLoading要注意掌握适度(利之所至，弊亦随之） + + 调价公式调价公式某公路项目实例及数据某公路项目实例及数据1）多收钱）多收钱“排水层”（洪泛区填石）：把其单价提高至较高水平，而在工程实施期间，实际工程量由投标时的5000方（投标报价88.71美元/m）激增至350万方（实施成本42.84美元/m），故排水层这一工程量变化引起的项目税前利润增加量约为：（350万方5000方）（88.7142.84）=1.6（亿美元）在在“排水层排水层”这一项上单价组成的不平衡报价技巧（多收钱）可这一项上单价组成的不平衡报价技巧（多收钱）可为项目增收创益达为项目增收创益达1.6亿美元，占到合同总金额亿美元，占到合同总金额60亿美元的亿美元的2.67%（多（多收钱：形成盈利）收钱：形成盈利） 。2）早收钱）早收钱清表、普通土开挖回填、石方开挖回填、普通土挖方弃方、石方挖方弃方、普通土填方提早收回约为：（验工收入施工成本）=2.59（亿美元）在在“清表清表普通土填方普通土填方”时间上验工计价的不平衡报价技巧时间上验工计价的不平衡报价技巧（早收钱）可为项目提早收回资金累计达（早收钱）可为项目提早收回资金累计达2.59亿美元，占到合同总金亿美元，占到合同总金额额60亿美元的亿美元的4.32%（早收钱：平衡点前，（早收钱：平衡点前，cashflow，非固化利润，非固化利润，动态变化中）动态变化中） 。下面列出投标报价下面列出投标报价时要充分考虑的因素，供参考时要充分考虑的因素，供参考直接费：直接费：人工费：直接从事设计、采购、施工、安装、调试工程等的国内人工和当地人工的费用。中国人工费用由国内费用和国外费用组成（考虑出国、回国和休假等的交通费等），当地人工费用由基本工资、加班和劳保福利费用等组成。材料费：国内供应材料：由材料出厂价（市场采购费用）、国内运费（由产地运至出口港口的装卸、仓储、包装、保险和港口费）、国际运费和保险费、海关税费、当地港口费、清关费、滞港滞关费（经验数字，如过去有类似项目）、当地陆路运杂保险费（港口至施工现场），等；当地采购材料：材料采购和运至现场的费用，等；第三国采购的材料：材料到岸价和当地陆路运杂保险费，等。机械费：包括机械设备折旧费、维护修理费、运费、机上人工费、交通燃油费、动力燃料费，等。对于机械设备的折旧，由于国际承包工程的风险比实施国内项目来得要大并且不确定因素较多，通常国际公司海外项目的设备折旧计算方法是带轮子的的设备三年摊完，不带轮子的五年摊完，供参考。投入的机械设备是否在项目中一次摊消（项目工期多长）？或是用合理的剩余残值进行折旧，也可在权衡竞争与风险（包括接续项目的可能性）后再酌定。机械设备的价格按照：国内供应：由出厂价、国内运费、海运费、保险费、关税、港口费和当地运费组成；当地采购税：由设备采购价和当地运杂费组成；第三国采购：由设备到岸价和当地运杂费组成。需特别强调的是：以上材料费和机械费两项要注意考虑做到CIFSite，尤其是所有运输过程中的保险费，从而做到有效地防范风险。其它直接费其它直接费：施工用水、电所发生的费用，雨季施工增加费，工程施工干扰费，夜间施工增加费，材料二次搬运费，等。间接费间接费：管理费：项目管理人员工资等费用；办公用品费；交通工具使用费；通讯费；国外交通差旅费；劳动保护费；国外医疗费；炊具、卧具使用费；检验试验费；当地工人培训费；当地工人保险费；工具用具费；学习文娱费；外事活动费。投标阶段发生的费用：购买标书费；现场考察费；编制标书费用；办理投标保函的费用；投标代理人费用（如果有的话）。临时工程费：为进行施工、安装、调试工程等所必须修建的生产和生活用的临时建筑物、构筑物；修建施工现场的临时进出场道路的费用和业主或当地政府部门规定的其它费用。中标后应考虑的办理履约保函、预付款保函的费用。工程保险费（承包商全险/工程全险、第三者责任险、车辆相关保险等）。设计费咨询监理的费用（如果项目有咨询工程师或业主监理的话，要为对方提供生活、办公、试验室、交通等设施）。物价上涨因素。不可预见费。当地各种税费。清关清税的费用要充分考虑。上级单位管理费。佣金（如果有的话）。利润。三十九、合作的重要性三十九、合作的重要性合作就是联姻，一家人。Partnershipthephilosophyofalliance.Weareonthesameboat.Win-WinorNoDeal.BeUnconditionalConstructive.ExtendCooperation.Communicate,Communicate,Communicate!Goodcommunicationbuildstrustintherelationship.小赢在智，大赢在德。与其不争，故天下莫能与之争。蓝海战略/BritishAirways的实例。 波士顿矩阵波士顿矩阵（经营多项业务，评估投资组合）（经营多项业务，评估投资组合）高市场份额意味着该项业务是所在行业的领导者。美国通用电器公司的CEO杰克韦尔奇的理论是：“要么不做，要做就要做到本行业的第一或第二”。（Be No.1 or No.2 in its arenas, or be gone.）CashCowDogStar？预计增长率市场份额（占有率）蓝海战略：“没有永远卓越的产业，”“没有永远卓越的企业。”四十、联营体四十、联营体 vs 合包集团合包集团通常由LocalPreference7.5%的招标条件引出。许多业主为防范风险，在大项目上要求由JV投标。JointVenture（联营体）akindofmerger，99版第1.14款(unincorporatedgroupingoftwoormorepersons);银皮书第1.14款。重要：连带责任（jointandseveralliabilities）。Consortium（合包集团）仅按股份比例就自己实施的工程范围分别对业主承担相应的责任与义务，而并不承担合包集团其他伙伴对业主的连带责任。思维方式的转变：算好自己的，不要老算别人的！沉默合作者(SleepingPartner)，CT9的合作（平均差幅20%左右，1.1%0.8%成交）vs清水不干（信誉与生存）两种不同的结果。注意回报与风险的匹配关系。几个实例牵头费(LeaderFee)。某铁路项目，5,410万美元,牵头费2%(比大比小:0.8%vs5%)，不算低。赢利的10%还要先分给牵头公司，再按比例分成。甲、乙、丙三方股份比例为45%:30%:25%，总盈利711万美元(13%)，分别赢利360万(另加牵头费108万,已列项目成本):191万:160万美元（仅投入54万:36万:30万美元，半年）。沉默合作伙伴:“不战而胜”。某机场设施项目，2,546万美元，乙方睡觉费64万美元(2.5%)，甲方实施赢利不详。失败的案例：某房建项目，3,170万美元。乙方开始想不开，不同意睡觉，坚持要自己参与，而甲方愿给睡觉费31.7万美元(1%)，甲方预测实施可盈利115万美元(3.6%）。履约中乙方的管理和流动资金等出现问题，又向甲方请求撤出，想要睡觉。结局是乙方亏损15万美元，甲方亏损38万美元（原合作比例三七开）。成功的案例：某填海项目，4,708万美元，乙方睡觉费47万美元(1%)，甲方实施盈利211万美元(4.5%)。四十一、分包四十一、分包FIDIC合同第4款和第59款（指定分包商）/99版第4.44.6款和第5款(指定分包商)；银皮书第4.44.6款。特点：不得100%转包，事先知会业主参见下页英文例函。CoordinationSiteCoordinator，99版第4.6款（Co-operation）。尽量让分包商以银行信用（保函）代替商业信用（合同），例如，取消providedthat这类对分包商有利的“稻草条款”，反保函必须写明：如果分包商“不延期（则总包商）即索赔（callBond）”，总包商并应注意预留充足的callBond时间等。对分包商的制约backtobacksubcontracting原则十分重要。在分包合同里要限死此条，并且这么写：“ThisSubcontractisbasedonbacktobackbasisincludingpaymentterms.”OK？这种笼统的描述不足以令总包商据此而因为没能收到业主的付款就拒绝向分包商的付款！详见下页PaywhenpaidvsPayifpaid的分析。参见FIDIC合同条件应用实务（第二版）一书pp.207211，中国建筑工业出版社。英文例函EngineerinChiefDateTheEngineerDearSir,Re: Request for Consent to SubletInaccordancewiththerequirementofClauses4.4(Subcontractors)and4.5(AssignmentofBenefitofSubcontract)(87版是Clause4.1)oftheConditionsofContractwearewritingtoseekyourconsentto:-ItemofWorkCompanyWearesatisfiedthattheCompaniesnamedhavetheresourcesandcompetencetocarryouttheworksinasatisfactoryandtimelymanner.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)分包条款中：分包条款中：Pay when paid vs Pay if paid ，哪个更好？，哪个更好？Pay when paid的典型条款：TheMainContractorwillendeavour(thisisnottobeconsideredasaguarantee)topaytotheSubcontractorsclaimswithin7daysafterpayment（fromtheEmployer）totheMainContractorofmoniesclaimedonbehalfofSubcontractor.这种描述足以保护到了总包商吧！？法律上对上面条款的解读是“Wewillpayyouwhenwehavebeenpaid”，但是业主没给总包商付款，并不能成为总包商不向分包商付款的借口，上游业主的不付款并不能成为对下游分包商不付款的前提条件，只是某种程度上有利于总包商在时间上在时间上形成缓冲或拖延，而最终无法拒付这笔款项。除非是在业主破产的特定情形下，Paywhenpaid条款才可彻底拒付款项。Pay if paid的典型条款：PaymentwillbemadetotheSubcontractoronlyafter（ifonly）paymenthasbeenreceivedbytheMainContractor.法律上对此的解读是“Ifwearenotpaidyouwillnotreceivepayment”，如果措辞明确严谨，就可以拒付款项，而不仅只是在时间上推迟付款。Payifpaid条款确保了只有在总包商收到业主的付款后才会向分包商付款，这一点对在当地分包（指定当地分包）时尤为重要。由于标准FIDIC分包合同连Paywhenpaid这类条款都没有（而ICE分包合同属于Paywhenpaid条款），就更别提像payifpaid这种有权彻底拒付款项的条款了，因此建议实际操作上咨询或聘请高手律师起草并协助商谈好Payifpaid这类限定性的条款。英文例函EngineerinChiefDateTheEngineerDearSir,Re: Objection to the Nomination of a Nominated SubcontractorWerefertoyourInstructionNo.dated.nominatingforandregrettoadviseyouaswellastheEmployerofourobjectiontothisnominationpursuanttoClause5.2(ObjectiontoNomination)(87版是Clause59.2)oftheConditionsofContractonthegroundthat:-(a)Thenominatedfirmwillnotenterintoasubcontractwiththesameliabilities,obligationstowardstheContractorwhichareimposedontheContractortowardstheEmployerbytheMainContract.(b)ThenominatedfirmwillnotindemnifytheContractorfromandagainstanynegligencebythenominatedSubcontractororhisworkmenandfromandagainstanymisusebyhimorthemofanyconstructionalplantortemporaryworksprovidedbytheContractor.(c)ThenominateSubcontractorisbelievedtohavefinancialproblems.(d)thenominatedSubcontractorhasbeenunabletodemonstratethatithastheskilledlabour,managementcapabilitiesfortheworkinvolved.(e)ThenominatedSubcontractorisunabletomeetthemaincontractprogrammedated.UnderthecircumstancesthereforewemusteitherreceivefromyouastatementfromtheEmployerindemnifyingusagainstanyliabilityfortheadequacyofthesubcontractwork/designorobjecttothenominationofthisparticularCompanyinaccordancewiththeabovementionedClause5.2(ObjectiontoNomination)(87版是Clause59.2).Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)英文例函EngineerinChiefDateTheEngineerDearSir,Re: Notice of Withholding Payment to a Nominated SubcontractorWithreferencetoClause5.3(PaymentstoNominatedSubcontractor)(87版是Clause59.5(a)oftheConditionsofContractwearewritingtoadviseyouthatinouropinionwehavereasonablecauseforwithholdingpaymenttoanominatedSubcontractorandhavewithholdthesumoffromforthefollowingreasonsagainstCertificateNoAttachedforyourfurtherinformationisacopyoftheletterRef.Nodated.whichwehavewrittentothenominatedSubcontractoradvisingofouractionasrequiredpursuanttoClause5.3(PaymentstoNominatedSubcontractor)(87版是Clause59.5(a)oftheConditionsofContract.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)Enc.英文例函EngineerinChiefDateTheEngineerDearSir,Re:Design Liability under a Nominated SubcontractWeacknowledgereceiptofyourInstructionNo.datednominatingMessrsfortheMaywedrawyourattentiontothefactthatseveralmattersinthesignedsubcontractdocumentsrelatingtotherequesteddesignandspecificationswerenotexpresslystatedinourMainContractpursuanttoClause5(NominatedSubcontractors)(87版是Clause59.3)oftheConditionsofContract.Likewiseinrespectofthesemattersthedocumentsarenotspecificonthequestionsofindemnityastotheadequacyoftheirdesign.UnderthecircumstancesthereforewemusteitherreceivefromyouastatementfromtheEmployerindemnifyingusagainstanyliabilityfortheadequacyofthesubcontractdesignorhavetoobjectthenominationofthisparticularCompanyunderClause5.2(ObjectiontoNomination)(87版是Clause59.2)oftheConditionsofContract.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)SAMPLE 实例实例The Vickrey Auction (Uniform Second-price)Theuniformsecond-priceauctioniscommonlycalledtheVickreyAuction,namedafterWilliamVickrey,winnerofthe1996NobelPrizeinEconomicSciences,whoclassifieditinthe1960s.Itisasealed-bid English sealed-bid English auctionauction（拍（拍（拍（拍卖卖） (ascending-price;vsDutch auctionDutch auction（投（投标）,descendingprice)withanimportantconceptthatthehighestbidderwinsbutonlypaysatthesecond-highestbidprice.WhyistheVickreyAuctionsignificant?Becauseitisdesignedtoinducetruthful-revelationThisvariationoverthenormalbiddingprocedureissupposedtoencouragebidderstobidthelargestamounttheyarewillingtopay.Mostauctionsarefirst-priceauctionswitheitheropen-outcryorsealedbidformat.Thewinneristhehighestbidder,andcorrespondinglypaystheirbid.Likethefirst-priceauction,eachbidderisignorantofotherbidswhilethebidsaresealed(insteadofopen-outcried,NOTE:itisimperativetosealthebid).Buttheitemisawardedonlytohighestbidderatapriceequaltothesecond-highestbid(orhighestunsuccessfulbid).Inasealed-bidauction,biddersgenerallytrytoshadetheirbidsslightlyundertheirtruevaluationoftheproduct,therebycreatinganopportunitytowintheauctionandpaylessthantheirvaluation(profit-oriented).Biddersdothistoavoidtheproblemof“winnerscurse”:anideathatthewinnerofanauctiongenerallyovervaluestheproductandhewillbethefinalloser.Nonetheless,auctionsellersdonotwishforplayerstoshadetheirbidsandhavedevelopedalternative-styleauctions(WilliamVickreysobservationandTheory).Inotherwords,awinnerpayslessthanthehighestbid.If,forexample,bidderAbids$10,bidderBbids$15,andbidderCoffers$20,bidderC($20)wouldwin,howeverhewouldonlypaythepriceatthesecond-highestbid($15),namelybidderB.QandABUTWhataboutchangingtheformatjustalittleandhavingasecond-price,open-outcryauction?Insuchacase,participantscouldbidintheascending(sayEnglishway)formatandthewinnerwouldultimatelypaythepriceofthesecond-highestbid.OnemightimaginethatsuchanauctionwouldhavemuchthesameresultsasatypicalEnglish(ascending,open-outcry)auction,but,infact,anauctionlikethatwouldbeeasytomanipulate.ImaginebidderAbidding$25foranitemworth$100.Someotherbiddercouldquiteeasilyandsafelybid$750,knowingthatnoonewillbidmoreandthathewillsafelygetitbyonlypaying$25.ItisclearlyimperativetosealthebidinaVickreyAuctioninsteadofopen-outcry.AgainexpoundingExampleofWilliamVickreyTheory:AssumeaVickreyAuctionfor2SuperBowlTickets（NationalFootballLeague,USA）Yourownpersonalvaluationoftheseticketsis$3,000.Whatwouldhappenifyouplaceabidgreaterthan$3,000(forexample,$3,100)hopingtoincreaseyourchancesofwinning,andknowingthatyouonlyneedtopaythesecondhighestbidifyouwin?1stscenario:thesecondhighestbidis$2,800;youwintheticketswithyourbidof$3,100,andpay$2,800.Thisisthesameoutcomeifyouhadbid$3,000.2ndscenario:thesecondhighestbidis$3,050;youwintheticketswithyourbidof$3,100,butyoupay$3,050.Thispriceisgreaterthanyourvaluationandthereforeisabadoutcome.3rdscenario:thesecondhighestbidis$3,200;youlosetheticketswithyourbidof$3,100.Butyouwouldhavelostwithabidof$3,000aswell.Nowassumethatyourbidislessthan$3,000(forexample,$2,900)hopingtowintheticketsatalowerprice.1stscenario:thesecondhighestbidis$2,800;youwintheticketswithyourbidof$2,900,andpay$2,800.Thisisthesameoutcomeifyouhadbid$3,000.2ndscenario:thesecondhighestbidis$2,950;youlosetheticketswithyourbidof$2,900.Youwouldhavewonwithabidof$3,000.3rdscenario:thesecondhighestbidis$3,200;youlosetheticketswithyourbidof$2,900.Butyouwouldhavelostwithabidof$3,000aswell.CONCLUSION: UnderaVickreyAuction,allplayershavetheoptimalstrategytotruthfullyrevealtheirpersonalvaluationoftheauctionedproduct.四十二、总承包项目四十二、总承包项目1.合同种类Design-bid-Build（FIDIC）。单一总包牵头vs多头承包商对业主(费用可降低，但管理难、风险大，因此引出下面的ConstructionManagement方式)。ConstructionManagement(CM)vsManagementAgreement/Contract(有时ManagementAgreement可免合同税)。Turnkey（D+B）（FIDIC77/87版）-EPC（FIDIC99版）。BOT/PPP，BOT的可操作性vs房地产投资。2.报价方式LumpSum（FIDIC橙皮书、银皮书）。CostPlus.UnitPrice（FIDIC红皮书）。3.付款方式MilestonePayments（可以有效防止FrontLoading）。Re-measurementorProgressPayments.4.工、料、机（进口设备为主）的管理。5.清关和清税英文例函EngineerinChiefDateTheEngineerDearSir,Re: Consent for the Removal of Temporary Works and Equipment from the SiteWehavenowcompletedthesectionsofworkforwhichthefollowingitemsoftemporaryworksandequipmentwerebroughtontoSiteandnowwishtoremovethemforre-export:-(a)(b)MaywethereforehaveyourconsentfortheremovalfromtheSiteoftheseitemspursuanttoClause4.17(ContractorsEquipment)(87版是Clause54.1)oftheConditionsofContract.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)英文例函ProjectManagerDateTheEmployerDearSir,Re: Assistance with Re-export of Construction EquipmentWerefertoourContractwithyoufortheconstructionofandwritetoconfirmourwishtore-exportthefollowingitemsofconstructionalequipmentimportedforthepurposeoftheworks:-(a)(b)(c).MayweaskforyourassistanceinobtainingGovernmentconsenttosuchre-exportpursuanttoClauses1.13(DatesTests,PeriodsandCompletion)and2.2(Permits,LicencesorApprovals)(87版是Clause54.4)oftheConditionsofContractandtorequestanearlymeetingwithyoutodiscussthemattermorefully.Yoursfaithfully,ProjectManagerTheContractor(Co.Ltd)cc:EngineerinChiefTheEngineer四十三、四十三、Turnkey EPC Contract通常有融资要求。属于LumpSumContract。业主把设计风险转嫁给了承包商。KeatingonBuildingContracts设计就是选择，这也是承包商的权利。法律原则：满足签约时所设定的FitnessforPurpose。因此，偏离了承包商满足到了FitnessforPurpose的设计以外的所有其它设计都被认为是变更。优点：1）责任单一（无咨询工程师），全在卖方。2）价格封顶，风险转嫁给承包商。3）没有咨询工程师，加速了定货过程。4）高效、无扯皮。5）大项目，JV及减少业主风险。缺点：1）业主失控（因此引出PPP）。2）投标费用高，并最终转嫁给业主。3）承包商对所承接的风险在算账时一定会PriceRisks，将导致总价抬高（尤其是当竞争不充分时）。四十四、四十四、F-EPC（融资总承包项目）（融资总承包项目）买方信贷 vs 卖方信贷（加大企业负债率）普通出口信贷浮动利率：LIBOR（5.68） margin（0.651.75商贷或更高）固定利率：CIRR（Commercial Interest Reference Rate） www.ecgd.gov.uk/index/cir_cc/ccirr.htm（变动中，多种货币）举例 US$: 2 to 5 years credit 5.97 over 5 to 8.5 years credit 6.00 over 8.5 years credit 6.03 年限： 12年: 3.5年（提款期） + 8.5年（还款期）安排费(Management Fee)：0.31（一次性收取）承诺费：0.30.75（每年按对没提款部分的实际天数计算）优惠出口信贷利率23左右年限：1215年：7年（或5年）（grace period 宽限期，只还息 不还本；通常就是建设期） 8年（还本付息）主权担保 + One of the Top Three/Five Banks 获出口信贷机构（Export Credit Agency）认可保险公司(67%) JBIC 银行利率很低：flat 0.50.75%，25 10年（grace period）商业贷款Indicative Term SheetProject:项目全称，包括其目的以及主要功能Owner: 业主全称，包括政府主管部门全称Contractor:承包商（或联营体合包集团）全称TheContractPrice:合同总金额，例如USD1billion（100%）ConstructionPeriod工期月数，例如41monthsPossibleFinancingStructure:1）ECA(ExportCreditAgency)backedfacility:USD850m（85%）2）Commercialloan（穆斯林不用该词）facility:USD150m（15%）NB:Thea.m.figuresarebasedontheavailabilityof(i)提供主权担保，covering85%oftheContractPriceplus85%oftherespectiveExportCreditAgency(ies)spremiumand85%ofthecapitalizedFacilityChargesaccruingduringtheconstructionperiodof41monthsontheExportCreditFacility,(ii)anECAbackedfacilityrepresenting85%oftheContractPriceplus85%oftherespectiveExportCreditAgency(ies)spremiumand85%ofthecapitalizedFacilityChargesaccruingduringtheconstructionperiodof41monthsrelatedtothisfacilityandacommercialfacilityrepresentingtheremaining15%oftheContractPrice.Tranche 1 : Export Credit FacilityBorrower:项目所在国的当地五大银行之一(i)BankAAA,(ii)BankBBB,(iii)BankCCC,(iv)BankDDDor(v)BankEEELenders:TheExport-ImportBankofChinaand某国际大银行,asthecasemaybeaccompaniedbyoneormorefirstrankinternationalbanks.Arranger:TheExport-ImportBankofChinaGuarantor:项目所在国政府的财政部（或经济事务及财政部）或中央银行FacilityAmount:subjecttotheapprovaloftheExport-ImportBankofChinaandtheChineseExportCreditAgency(SINOSURE):a)upto85%oftheContractPricei.e.uptoUSD850mb)upto85%oftheinsurancepremiumofSINOSUREtherespectivecoverpolicyc)85%oftheinterestduringconstructionCurrency:USDDrawdown Period: Up to 42 months （因项目合同工期（因项目合同工期4141个月，个月，4242个个月月1212个月个月= 3.5= 3.5年，提款期年，提款期）after the fulfillment of the conditions precedent under the Export Credit Facility, which shall include the effectiveness of the Commercial Contract in accordance with the provisions thereof and, if applicable, the effectiveness of the Commercial Facility.Drawdown: Each advance under the Export Credit Facility shall be used to effect payments on behalf of the Owner, to the Contractor according to the payment terms of the Commercial Contract , and to SINOSURE as appropriate.Repayment:In up to 17 equal, consecutive half-yearly installments, the first of which being due 6 months after the “starting point of the facility” determined according to the prevailing “OECD Consensus” regulations, i.e. 6 months after the contractual provisional acceptance date for equipment to be erected under the responsibility of the Contractor; however, an ultimate date for the start of repayment will be fixed in the facility documentation.（17次次x 6个月个月12个月个月= 8.5年，年，还款期还款期） 注：经济合作发展组织总部设在巴黎，有注：经济合作发展组织总部设在巴黎，有“富人俱乐部富人俱乐部”之称，之称，现成员国有现成员国有30多个，其多个，其GDP占世界的占世界的23，中国现为观察员。，中国现为观察员。Facility Charges: （把（把85的出口信贷分成的出口信贷分成 53固定利率固定利率 : 47浮动浮动利率）利率）1) floating rate on the basis of the LIBOR for 6 months plus a margin of 0.75% p.a. （0.75 叫叫7070个个bpbp）The floating rate will apply for a minimum amount of USD 450.5 m .（85%85%的的53% 53% 采用固定利率）采用固定利率） and2) fixed rate If available, the fixed interest rate (CIRR). The CIRR will be determined by the corresponding CIRR provider in accordance with OECD Consensus regulations. For indicative purposes only, current CIRR for a USD financing and a term of 8.5 years stands at 6.0% p.a. This fixed rate will apply to a maximum amount of USD 399.5 m .（85%85%的的47% 47% 采用浮动利率）采用浮动利率）Calculation of Facility Charges: Facility Charges will be calculated on the amounts outstanding based on the actual number of days elapsed and a 360 day year and will be payable semi-annually in arrears（注意：事后付）（注意：事后付）. The first Facility Charges payment will be due on the first January 21st or July 21st after the first drawdown date. ManagementFee:0.3%flatcalculatedonthetotalamountoftheExportCreditFacility(applicableincasethecovergrantedbySINOSUREforcommercialriskisatleast95%).CommitmentFee:0.3%perannumcalculatedontheundisbursedamountsoftheExportCreditFacilityonthebasisoftheactualnumberofdayselapsedanda360dayyearandpayablesemi-annuallyinarrears（注意：事后付）fromthedateofsigningoftheExportCreditFacility.InsuranceCover:Comprehensivecoverofmin.95%politicalriskand95%commercialrisk.InsurancePremium:ThispremiumisduetoandwillbefixedbySINOSUREonthebasisofthetermsoftherequestedExportCreditFacility.（通常在 67）Tranche 2 : Commercial Loan FacilityBorrower:项目所在国的当地五大银行之一(i)BankAAA,(ii)BankBBB,(iii)BankCCC,(iv)BankDDDor(v)BankEEE,andthebankselectedshouldbesameasthatoftheTranche1.Lenders:某国际大银行oranyofitsaffiliates,asthecasemaybeaccompaniedbyoneormorefirstrankinternationalbanks.Arranger:某国际大银行FacilityAmount:TheportionoftheCommercialContractnotfinancedthroughtheExportCreditnorthroughtheBorrowerforintotaluptoaminimumratioofcovered(amountofExportCreditfacility)touncovered(amountofCommercialLoanFacility)portionofapprox.85:15Currency:USDDrawdownPeriod:Upto42monthsafterthefulfillmentoftheconditionsprecedentundertheCommercialFacility,whichshallincludetheeffectivenessoftheCommercialContractinaccordancewiththeprovisionsthereofandtheeffectivenessoftheExportCreditFacility.Drawdown:EachadvanceundertheCommercialLoanFacilityshallbeusedtoeffectpaymentsonbehalfoftheOwner,totheContractoraccordingtothepaymenttermsoftheCommercialContract.Repayment:Inupto6equal,consecutivehalf-yearlyinstallments,thefirstofwhichbeingdue6monthsafterthe“startingpointofthefacility”determinedaccordingtotheprevailing“OECDConsensus”regulations,i.e.6monthsafterthecontractualprovisionalacceptancedateforequipmenttobeerectedundertheresponsibilityoftheContractor;however,anultimatedateforthestartofrepaymentwillbefixedinthefacilitydocumentation. （6次x6个月12个月 3年，商业贷款的还款期）FacilityCharges:TheFacilityChargeswillbetheLIBORfortherelatedperiodsplusamarginof1.75%p.a.（1.75叫175个bp）FacilityChargeswillbecalculatedontheamountsoutstandingbasedontheactualnumberofdayselapsedanda360dayyear.ThefirstFacilityChargespaymentwilltakeplace6monthsafterthefirstdrawdowndate.（15%的商贷部分即USD150m全都采用浮动利率）ManagementFee:1.00%flatcalculatedontheCommercialLoanFacilityAmount.CommitmentFee:0.75%perannumcalculatedontheundisbursedamountsoftheCommercialLoanFacilityonthebasisoftheactualnumberofdayselapsedanda360dayyearandpayablesemi-annuallyinarrearsfromthedateofsignatureoftheCommercialLoanFacility.四十五、四十五、N个真实案例分析及研讨个真实案例分析及研讨投标欲降价18.5%，有人在操作上是加入一封降价函结果是所有BQ单的单价都降下来，包括索赔、变更、调价和额外追加费用等。投标退出能挣760万澳门元，但要丢掉2.6亿澳门元合同额及营业额，760万/2.6亿=2.92%，另外，经了解，征地尚没全部落实这可能是索赔的机会，同时也可能是项目的风险。如何决策？某国家3亿欧元合同，已签约，融资两年后满足了ConditionsPrecedent但履约保函屡屡开不出来。同时，分包商要求涨价，并暗中与业主直接接触原则：卖牌子费的业务从来都不做vs但为什么不引入竞争机制？你会选择怎么做？（案例http:/www.icac.org.hk/new_icac/big5/cases/piling/p01.html）vs地铁车辆里的电缆切出来自营vs结果。质量第一vs安全第一？HKFatalAccident承担刑事责任，Robertvsrobbervs腰病痊愈。不必要的法律责任（合法经营，法律安全）。某地区A犯案，因为B，而C也作过类似事情但C认为此时机会来了，一定获升迁。你怎么办？Botswana案子通报撤职丧子。调价公式的选择vs香港通缩？VO1）皇家植物园（800万美元/800万x21.78=NRs1.736亿/主权象征vs36黑市价，比第一标高出4%，95%美元支付，另外5%当地合同税，工期一年半，实现盈利9%；但Guilder兑美元升了36%。数据分析及结论）；2)老田工去路桥。签约原本明确答应withinonemonth完成可研报告，但并不现实，怎么办？坚持把within改为after，规避了巨大风险。国际工程承包概论汤礼智著中国对外经贸出版社FIDIC合同条件应用实务（第二版）田威著中国建筑工业出版社FIDIC合同条件实用技巧（第二版）田威著中国建筑工业出版社合约工程中临时发生的点工计费标准英国土木工程承包商协会田威译中国建筑工业出版社EngineeringLawandICEContracts,MaxW.Abrahamson，ElsevierAppliedSciencePublishers,Reprinted1985TheFIDICFormofContract,NaelG.Bunni,BSPProfessionalBooks,Reprinted1994KeatingonBuildingContractsStephenFurst,QC,Sweet&Maxwell,7thEditionHudsonsBuildingandEngineeringContracts,I.N.DuncanWallace,Sweet&Maxwell,10thEditionEmdensBuildingContractsandPractice,Emden,AlfredCharlesRichard,Butterworths,8thEditionMusterbriefeinEnglischefrdenAuslandsbauunterbesondererBercksichtigungderFIDICBauvertragsbedingungen,Prof.Dipl.-Ing.KlausLange,BauverlagGMBH四十六、推荐参考书目四十六、推荐参考书目提问及答疑提问及答疑 多谢！