國(guó)際工程合同十大法律風(fēng)險(xiǎn)TOP10LegalRisksfor趙東峰安泰賽斯國(guó)際項(xiàng)目管理咨詢（北京）有限公司AntecessorInternationalPMConsulting(BeiJing)Co.,LTD.演講人安泰賽斯國(guó)際項(xiàng)目管理咨詢公司特聘專家畢業(yè)于北京大學(xué)法學(xué)院，曾任職于中國(guó)某著名大型國(guó)際承包商，作為合同和法律事務(wù)管理人員參與了該公司多個(gè)大型國(guó)際EPC工程項(xiàng)目，并具有常駐境外參與項(xiàng)目具體實(shí)施的經(jīng)驗(yàn)。現(xiàn)為英國(guó)品誠(chéng)梅森-合森中國(guó)項(xiàng)目與工程律師聯(lián)盟核心成員。他為境內(nèi)、境外幾十家國(guó)際工程承包商的數(shù)十個(gè)國(guó)際工程項(xiàng)目提供了爭(zhēng)議或非爭(zhēng)議法律服務(wù)，尤其在國(guó)際工程仲裁與爭(zhēng)議解決方面，為中國(guó)多家承包商在海外項(xiàng)目發(fā)生的包括ICC仲裁、UNCITRAL仲裁以及當(dāng)?shù)卦V訟在內(nèi)的爭(zhēng)議提供過(guò)法律服務(wù)，是我國(guó)能夠在國(guó)際工程仲裁和爭(zhēng)議解決領(lǐng)域提供法律服務(wù)的領(lǐng)先中國(guó)本土律師之一。參與撰寫了中國(guó)對(duì)外承包工程商會(huì)主持編寫的《國(guó)際工程總承包項(xiàng)目管理規(guī)范》中“爭(zhēng)議解決”篇；應(yīng)《國(guó)際工程與勞務(wù)》雜志邀請(qǐng)，發(fā)表多篇有關(guān)國(guó)際工程管理、合約和法律方面的居于實(shí)踐前沿的文章。為多家國(guó)內(nèi)大學(xué)、協(xié)會(huì)組織、工程公司講授國(guó)際工程法律、合約和管理方面的課程。受維也納大學(xué)邀請(qǐng)，為其國(guó)際工程法法學(xué)碩士研究生講授國(guó)際工程法課程，他是唯一一位受到該邀請(qǐng)的中國(guó)律師。2趙東峰ZhaoDongfeng中國(guó)承包商似乎給當(dāng)?shù)貛?lái)一股新鮮空氣，他們只關(guān)心工程本身，缺乏合同、工程法律知識(shí)，合同觀念淡漠，可能附加成本巨大，卻又不進(jìn)行有力的索賠，同時(shí)確實(shí)具有實(shí)施任何一個(gè)項(xiàng)目的財(cái)力和實(shí)力，這對(duì)雇主確實(shí)是最佳選擇。摘自英國(guó)某咨詢工程師向其雇主提供的竣工報(bào)告《標(biāo)準(zhǔn)建筑合同比較研究——以中英為視角》歐海燕2010

開場(chǎng)白3今天的話題一個(gè)關(guān)于“TOP10”的趣味游戲仁者見仁智者見智：國(guó)際工程合同十大法律風(fēng)險(xiǎn)討論與分享：您心中的“TOP10”總結(jié)與建議Q&A4Aninterestinggame–TOP10Subject:WhataretheTOP10legalrisksyouthinkwhenreviewinganinternationalconstructioncontract(nottakingaccountoftheparticularityofacertainproject)?

列舉出您認(rèn)為的國(guó)際工程合同審查時(shí)的十大法律風(fēng)險(xiǎn)Organizer:

ZhaoDongfengParticipants:

JohnBishop,HewKianHeong,ShouravLahiriGameRules:Participantssendtheirownopinionsbyconfidentialemailandnooneknowstheanswerofothers.5YourTOP10？(2012.10.27)請(qǐng)大家在10-15分鐘左右的時(shí)間內(nèi)，列出您各自心目中的“TOP10”不限于合同和法律風(fēng)險(xiǎn)6JohnBishop’sTOP101.Applicablelaw/適用法律2.Disputeprocess/爭(zhēng)議解決3.EOTprovisions/工期延長(zhǎng)條款4.LDs(DelayandPerformance)/延誤和性能違約金5.Capsonandexclusionsfromliability/責(zé)任限額和除外情形6.Cashrisk/資金風(fēng)險(xiǎn)7.Unrecogniseddesignrisk/EmployerData/未識(shí)別設(shè)計(jì)風(fēng)險(xiǎn)和業(yè)主資料8.ConditionsPrecedenttoentitlement/前提條件9.PerformanceSecurity/履約擔(dān)保10.Groundsfortermination/合同解除理由7HewKianHeong’sTOP101.Paymentrisk/支付風(fēng)險(xiǎn)2.Designresponsibility/設(shè)計(jì)責(zé)任3.AbuseofEmployer/Engineer‘srighttoapprovedesign/業(yè)主或工程師濫用設(shè)計(jì)審批權(quán)4.LimitedrightofContractortoclaimadjustmentofContractPrice承包商要求調(diào)整合同價(jià)格權(quán)利的限制5.AbusebyEmployerofperformancesecurity/業(yè)主惡意索賠保函6.OnerousprocedurestoclaimEOTandadditionalpayment/索賠工期和費(fèi)用程序繁瑣7.Employer‘sverybroadpowertoordervariations/業(yè)主指令變更權(quán)利過(guò)大8.LimitsofliabilityonLDs/違約金責(zé)任限額9.IncompatibilityofChinesestandardsandlocal/internationalstandard/中國(guó)標(biāo)準(zhǔn)與當(dāng)?shù)鼗驀?guó)際標(biāo)準(zhǔn)不兼容10.Ineffectivenessofdisputeresolutioninpractice/爭(zhēng)議解決程序無(wú)效8ShouravLahiri’sTOP101.Multiplecurrencies/多種支付貨幣2.Definitionofforcemajeure/不可抗力定義3.PerformanceBonds/履約保函4.Applicablestandardsandcodes/適用標(biāo)準(zhǔn)5.Partiestothecontract/合同當(dāng)事人6.Notificationofdelayevents/claims/索賠通知7.Insurance/保險(xiǎn)8.Termination/解除9.Suspension/暫停10.Governinglawanddisputeresolutionprocess/準(zhǔn)據(jù)法與爭(zhēng)議解決過(guò)程9MyTOP101.稅(Tax)2.匯率(ExchangeRate)3.法律變換和價(jià)格波動(dòng)(ChangeoflegislationandPriceEscalation)4.許可(Permits)5.技術(shù)標(biāo)準(zhǔn)(TechnicalStandards)6.設(shè)計(jì)責(zé)任(DesignResponsibility)7.損害賠償金與責(zé)任限制(LDs&LimitationofLiability)8.合同解除(TerminationofContract)9.適用法律(ApplicableLaw)10.索賠與爭(zhēng)議解決(ClaimandDisputeResolution)1011Bycomparison–all4oneItemJohnHewShouravDongfengApplicablelawandstandards√√√√Disputeresolution√√√√Performancesecurity√√√√Paymentandcurrency√√√√ConditionsPrecedent√√√√12BycomparisonItemJohnHewShouravDongfengEOTandCostClaims√√√LDsandLimitationofLiability√√√DesignResponsibility√√√Termination√√√13BycomparisonItemJohnHewShouravDongfengVariation√ForceMajure√Partiestothecontract√Insurance√Suspension√Tax√Permits√Pleasenotethattherearenostandardanswersatall.

仁者見仁，智者見智

適用法律與標(biāo)準(zhǔn)ApplicableLawandStandards

14LocalLaw/LawClause/ChangeofLawWhatlawistoapply?Lookatthelocallawsapplicabletothecontractandtenderingprocessestochecktheenforceabilityofthecontractgenerallyandofparticulartermssuchasthelanguageandlawclausesetc.DoestheEmployertaketheriskofachangeoflaw?15JohnBishop/莊本信IncompatibilityofChinesestandardsandlocalorinternationalstandards16HewKianHeong/丘健雄makeexpressmentionofagoverninglaw(anylaw,butmentionit)makecleariflocalstandards,British/AmericanstandardsorChinesestandardstobeusedforassessingperformanceofwork.Forprocessplants,theremightbeamixofstandards(civilworkstolocalstandards,processtoChinesestandards).Inthatcase,considerclearseparationand,incaseofconflict,apriorityprovision.17ShouravLahiri/肖瑞夫

爭(zhēng)議解決DisputeResolution18ReviewtheDisputesProcesstoseewhetheritoffersaspeedyinterimdisputesprocess(e.g.DAB),

andanoperablefinaldisputesprocessi.e.arbitrationresultinginanenforceable19JohnBishop/莊本信IneffectivenessofdisputeresolutioninpracticetoallowContractortoproperlyenforcehisrights:norighttoarbitratebeforeprojectcompletionlocalarbitrationorcourtdelayindisputeresolutionprocessdifficultyinenforcement20HewKianHeong/丘健雄ifchoosingarbitration,identifytheproperarbitralinstitutionatleastasthatwillatleasttakecareofanyomissionsinnecessaryinformation.Chooseaseat,languageandnumberofarbitratorsifyoucan.21ShouravLahiri/肖瑞夫

履約擔(dān)保PerformanceSecurity22WhataretheContractor’sbondingobligations?Aretheyondemand?Istherenoticebeforeacall?Isthereaprovisiondealingwithrepaymentfollowingawrongfulcall?23JohnBishop/莊本信AbusebyEmployerofperformancesecurity.24HewKianHeong/丘健雄forChinesecontractors,ifpossible,shouldtryandgettheOwnertoacceptabondfromaChinesebankpreferablyabranchoftheBankinChina,notthelocalbranchoftheChinesebank.Mayallowforeasierinjunctiverelief.25ShouravLahiri/肖瑞夫

支付與幣種Payment&Currency26CashriskIspaymentsecured?Howlongistheperiodbetweenthetimewhencostisincurredandtermination/suspensionfornonpaymentispossible?Isthereretentionmoneyandcanitbeexchangedforabond?Howgreatisthecashconsequenceofanimproperbondcall27JohnBishop/莊本信therightoftheContractortobepaidontimepaymentmechanismpaymentmethodlinkagewithcashflowandprogressofworktheprotectionaffordedtotheContractorifhedoesnotgetpaidontimerighttoaskforevidenceoffinancingpaymentsecurityrighttosuspendorterminaterighttogotodisputeresolution.28HewKianHeong/丘健雄MultiplecurrenciesIfcontractpriceisstipulatedinonecurrencybutisbeingpaidintwoormorecurrencies,butthecontractor'scostsarenotinthesamecurrenciesorinthesamecurrenciesbutnotinthesameproportionsasthepaymentsplit,thenneedeitheraprovisionthatallowsforadjustmentuponchangesinexchangeratesbetweenthecurrenciesorthecontractorneedstoconsiderhedging.29ShouravLahiri/肖瑞夫Suspensionsomecountries'lawsmayallowthecontractorastatutoryrighttosuspendperformanceoftheworkfornon-paymentofinterimcertificates,eventhoughthereisnocontractualprovisionallowingit.Justensurethereisnocontractualprovisionexpresslyremovingthecontractor'srighttososuspendifthecontractissilentonthispoint,itsbetter.30ShouravLahiri/肖瑞夫

前提條件ConditionsPrecedent31ConditionsPrecedenttoentitlementWhatmusttheContractordotoobtainentitlements?Whatistheconsequenceoffailingtomeettheconditionsprecedent?32JohnBishop/莊本信OnerousprocedurestoclaimEOTandadditionalpaymentnoticerequirementslevelofproof33HewKianHeong/丘健雄Notificationofdelayevents/claimscheckiftheyarestatedtobe(a)conditionprecedentsbarringentitlementor(b)requirements,thefailuretocomplywithwhichmayprejudiceextentofrecovery.Tryandavoid(a)typeofclausesifpossible.Butinadministeringthecontract,putinplacepropernotificationproceduresanywayassomecountries'lawswillupholdConditionsPrecedentclausesstrictly.34ShouravLahiri/肖瑞夫

工期延長(zhǎng)與費(fèi)用索賠ExtensionofTime(EOT)andCostClaims35EOTprovisionsWhenistheContractorentitledtoanEOT?IfadvisinganEmployer,isthereatimeatlargerisk?36JohnBishop/莊本信LimitedrightofContractortoclaimadjustmentofContractPricei.e.materialcostescalationchangeoflawunforeseengroundconditionscurrencyfluctuationrisketc.37HewKianHeong/丘健雄

違約金與責(zé)任限額LDsandLimitationofLiability38LiquidatedDamages(LDs,forDelayandPerformance)Whatisthelevel?Aretheycappedandifsoatwhatlevel?Isitanexclusiveremedy?Aretheycapableofattackunderthelocallaw?39JohnBishop/莊本信CapsonandexclusionsfromliabilityandgroundsforbreachingcapIsthereacap?Whatliabilitiesareexcluded(e.g.consequentiallosses)?Arethecapandexclusionsenforceableunderthelocallaw?Whencanthecapsbebreached?40JohnBishop/莊本信(Cont’d)WhetherthecontracthaslimitsofliabilityonLDs(delayand/orperformance)andoveralllimitonliability.41HewKianHeong/丘健雄

設(shè)計(jì)責(zé)任DesignResponsibility42Unrecogniseddesignrisk/EmployerDataIftheContractorhasadesignrisk,isitwhatheexpected?Doeshehaveahiddendesignrisk(heselectionofplantandmaterials)?Ishetakingadesignriskbecausesubcontractorshaveone?Ifsohowisitsecured?Ifheneedsdesignapproval,whatistheprocessandisitcapableofbeingabused?(e.g.mustallcommentsbegivenatthefirstopportunity?)

Isthereaco-ordination/interfacerisk?IstheEmployeracceptinganyrisk(hesiteorotherconditionsandintheinformationheprovidestothecontractor)43JohnBishop/莊本信DesignresponsibilitywhatmustContractordesignfreedomofchoiceliabilityfordesignfailure.AbuseofEmployer/Engineer'srighttoapprovedesign.44HewKianHeong/丘健雄

解除Termination45GroundsforterminationWhatarethegroundsfortermination?Aretheyreasonable?Isthereacureperiod?46JohnBishop/莊本信Terminationforconveniencesomecountries'lawsdonotallowforacontractualrighttoterminateforconvenience.Iftheownerseekstoexercisethisprovision,thecontractormaybeabletoresistit(tostrengthenhisbargainingpositionindiscussionsofpostterminationdamagespayment).47ShouravLahiri/肖瑞夫

變更Variation48Employer'sverybroadpowertoordervariationsandtorequireCto"performfirst,claimlater".49HewKianHeong/丘健雄

不可抗力ForceMajure50Definitionofforcemajeureincontractswhichhaveanoffshoreelementinadditiontoanonshoreelementshouldensurethatwar,insurrectionetcintheoffshorecountryalsoqualifyasforcemajeureevents.51ShouravLahiri/肖瑞夫

合同當(dāng)事人PartiestotheContract52makesurethattheentitysigningthecontracthastheappropriateauthoritytodosoifagovernmen