國際工程法律風(fēng)險(xiǎn)

1、編輯ppt 國際工程合同十大法律風(fēng)險(xiǎn)國際工程合同十大法律風(fēng)險(xiǎn)TOP 10 Legal Risks for Antecessor International PM Consulting(BeiJing)Co.,LTD.編輯ppt2演講人演講人n安泰賽斯國際項(xiàng)目管理咨詢公司特聘專家n畢業(yè)于北京大學(xué)法學(xué)院，曾任職于中國某著名大型國際承包商，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)。n現(xiàn)為英國品誠梅森-合森中國項(xiàng)目與工程律師聯(lián)盟核心成員。他為境內(nèi)、境外幾十家國際工程承包商的數(shù)十個(gè)國際工程項(xiàng)目提供了爭議或非爭議法律服務(wù)，尤其在國際工程仲裁與爭

2、議解決方面，為中國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)的爭議提供過法律服務(wù)，是我國能夠在國際工程仲裁和爭議解決領(lǐng)域提供法律服務(wù)的領(lǐng)先中國本土律師之一。n參與撰寫了中國對外承包工程商會(huì)主持編寫的國際工程總承包項(xiàng)目管理規(guī)范中“爭議解決”篇；應(yīng)國際工程與勞務(wù)雜志邀請，發(fā)表多篇有關(guān)國際工程管理、合約和法律方面的居于實(shí)踐前沿的文章。n為多家國內(nèi)大學(xué)、協(xié)會(huì)組織、工程公司講授國際工程法律、合約和管理方面的課程。n受維也納大學(xué)邀請，為其國際工程法法學(xué)碩士研究生講授國際工程法課程，他是唯一一位受到該邀請的中國律師。趙東峰趙東峰Zhao DongfengZhao Dong

3、feng編輯ppt中國承包商似乎給當(dāng)?shù)貛硪还尚迈r空氣，他們只關(guān)心工程本身，缺乏合同合同、工程工程法律法律知識(shí)，合同合同觀念淡漠，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，這對雇主確實(shí)是最佳選擇這對雇主確實(shí)是最佳選擇。摘自英國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 開場白3編輯ppt今天的話題今天的話題n一個(gè)關(guān)于“TOP 10”的趣味游戲n仁者見仁智者見智：國際工程合同十大法律風(fēng)險(xiǎn)n討論與分享：您心中的“TOP 10”n總結(jié)與建議nQ&A4編輯pptAn interesting game TOP 1

4、0An interesting game TOP 10nSubject: What are the TOP 10 legal risks you think when reviewing an international construction contract (not taking account of the particularity of a certain project)? 列舉出您認(rèn)為的國際工程合同審查時(shí)的十大法律風(fēng)險(xiǎn)nOrganizer: Zhao DongfengnParticipants: John Bishop, Hew Kian Heong, Shourav Lah

5、irinGame Rules: Participants send their own opinions by confidential email and no one knows the answer of others.5編輯pptYour TOP 10Your TOP 10？ (2012.10.27)(2012.10.27)n請大家在10-15分鐘左右的時(shí)間內(nèi)，列出您各自心目中的“TOP 10”n不限于合同和法律風(fēng)險(xiǎn)6編輯pptJohn Bishops TOP 10John Bishops TOP 10n1. Applicable law/適用法律n2. Dispute process

6、/爭議解決n3. EOT provisions/工期延長條款n4. LDs (Delay and Performance)/延誤和性能違約金n5. Caps on and exclusions from liability/責(zé)任限額和除外情形n6. Cash risk/資金風(fēng)險(xiǎn)n7. Unrecognised design risk/Employer Data/未識(shí)別設(shè)計(jì)風(fēng)險(xiǎn)和業(yè)主資料n8. Conditions Precedent to entitlement/前提條件n9. Performance Security/履約擔(dān)保n10. Grounds for termination/合同解除

7、理由7編輯pptHew Kian Heongs TOP 10Hew Kian Heongs TOP 10n1. Payment risk/支付風(fēng)險(xiǎn)n2. Design responsibility/設(shè)計(jì)責(zé)任n3. Abuse of Employer/Engineers right to approve design/業(yè)主或工程師濫用設(shè)計(jì)審批權(quán)n4. Limited right of Contractor to claim adjustment of Contract Price 承包商要求調(diào)整合同價(jià)格權(quán)利的限制n5. Abuse by Employer of performance secur

8、ity/業(yè)主惡意索賠保函n6. Onerous procedures to claim EOT and additional payment/索賠工期和費(fèi)用程序繁瑣n7. Employers very broad power to order variations/業(yè)主指令變更權(quán)利過大n8. Limits of liability on LDs/違約金責(zé)任限額n9. Incompatibility of Chinese standards and local/international standard/中國標(biāo)準(zhǔn)與當(dāng)?shù)鼗驀H標(biāo)準(zhǔn)不兼容n10. Ineffectiveness of disput

9、e resolution in practice/爭議解決程序無效8編輯pptShourav Lahiris TOP 10Shourav Lahiris TOP 10n1. Multiple currencies/多種支付貨幣n2. Definition of force majeure/不可抗力定義n3. Performance Bonds/履約保函n4. Applicable standards and codes/適用標(biāo)準(zhǔn)n5. Parties to the contract/合同當(dāng)事人n6. Notification of delay events/claims/索賠通知n7. Ins

10、urance/保險(xiǎn)n8. Termination/解除n9. Suspension/暫停n10. Governing law and dispute resolution process/準(zhǔn)據(jù)法與爭議解決過程9編輯pptMy TOP 10My TOP 10n1. 稅(Tax)n2. 匯率(Exchange Rate)n3. 法律變換和價(jià)格波動(dòng)(Change of legislation and Price Escalation)n4.許可(Permits)n5.技術(shù)標(biāo)準(zhǔn)(Technical Standards)n6.設(shè)計(jì)責(zé)任(Design Responsibility)n7.損害賠償金與責(zé)任限

11、制(LDs & Limitation of Liability)n8.合同解除(Termination of Contract)n9.適用法律(Applicable Law)n10.索賠與爭議解決(Claim and Dispute Resolution)10編輯ppt11By comparison all 4 oneBy comparison all 4 oneItemJohn Hew Shourav DongfengApplicable law and standards Dispute resolution Performance security Payment and cur

12、rency Conditions Precedent 編輯ppt12By comparisonBy comparisonItemJohn Hew Shourav Dongfeng EOT and Cost Claims LDs and Limitation of Liability Design Responsibility Termination 編輯ppt13By comparisonBy comparisonItemJohn Hew Shourav DongfengVariation Force Majure Parties to the contractInsurance Suspen

13、sion TaxPermitsPlease note that there are no standard answers at Please note that there are no standard answers at allall. . 仁者見仁，智者見智仁者見仁，智者見智編輯ppt 適用法律與標(biāo)準(zhǔn)Applicable Law and Standards 14編輯pptnLocal Law/Law Clause/Change of LawuWhat law is to apply?uLook at the local laws applicable to the contract

14、and tendering processes to check the enforceability of the contract generally and of particular terms such as the language and law clauses etc.uDoes the Employer take the risk of a change of law?15John Bishop/莊本信編輯pptnIncompatibility of Chinese standards and local or international standards16Hew Kia

15、n Heong/丘健雄編輯pptnmake express mention of a governing law (any law, but mention it)nmake clear if local standards, British/American standards or Chinese standards to be used for assessing performance of work.nFor process plants, there might be a mix of standards (civil works to local standards, proce

16、ss to Chinese standards).uIn that case, consider clear separation and, in case of conflict, a priority provision.17Shourav Lahiri/肖瑞夫編輯ppt 爭議解決Dispute Resolution18編輯pptnReview the Disputes Process to see whether it offers ua speedy interim disputes process (e.g. DAB), anduan operable final disputes

17、process i.e. arbitration resulting in an enforceable19John Bishop/莊本信編輯pptnIneffectiveness of dispute resolution in practice to allow Contractor to properly enforce his rights:uno right to arbitrate before project completionulocal arbitration or courtudelay in dispute resolution processudifficulty i

18、n enforcement20Hew Kian Heong/丘健雄編輯pptnif choosing arbitration, uidentify the proper arbitral institution at least as that will at least take care of any omissions in necessary information. uChoose a seat, language and number of arbitrators if you can.21Shourav Lahiri/肖瑞夫編輯ppt 履約擔(dān)保Performance Securi

19、ty22編輯pptnWhat are the Contractors bonding obligations? nAre they on demand? nIs there notice before a call? nIs there a provision dealing with repayment following a wrongful call?23John Bishop/莊本信編輯pptnAbuse by Employer of performance security.24Hew Kian Heong/丘健雄編輯pptnfor Chinese contractors, if p

20、ossible, should try and get the Owner to accept a bond from a Chinese bank upreferably a branch of the Bank in China, not the local branch of the Chinese bank. May allow for easier injunctive relief.25Shourav Lahiri/肖瑞夫編輯ppt 支付與幣種Payment & Currency26編輯pptnCash riskuIs payment secured? uHow long

21、is the period between the time when cost is incurred and termination/suspension for non payment is possible? uIs there retention money and can it be exchanged for a bond? uHow great is the cash consequence of an improper bond call27John Bishop/莊本信編輯pptnthe right of the Contractor to be paid on timeu

22、payment mechanismupayment methodulinkage with cash flow and progress of worknthe protection afforded to the Contractor if he does not get paid on time uright to ask for evidence of financingupayment securityuright to suspend or terminateuright to go to dispute resolution.28Hew Kian Heong/丘健雄編輯pptnMu

23、ltiple currenciesuIf contract price is stipulated in one currency but is being paid in two or more currencies, but the contractors costs are not in the same currencies or in the same currencies but not in the same proportions as the payment split, then need either a provision that allows for adjustm

24、ent upon changes in exchange rates between the currencies or the contractor needs to consider hedging.29Shourav Lahiri/肖瑞夫編輯pptnSuspensionusome countries laws may allow the contractor a statutory right to suspend performance of the work for non-payment of interim certificates, even though there is n

25、o contractual provision allowing it. uJust ensure there is no contractual provision expressly removing the contractors right to so suspendif the contract is silent on this point, its better.30Shourav Lahiri/肖瑞夫編輯ppt 前提條件Conditions Precedent31編輯pptnConditions Precedent to entitlementuWhat must the Co

26、ntractor do to obtain entitlements? uWhat is the consequence of failing to meet the conditions precedent?32John Bishop/莊本信編輯pptnOnerous procedures to claim EOT and additional payment unotice requirementsulevel of proof33Hew Kian Heong/丘健雄編輯pptnNotification of delay events/claimsucheck if they are st

27、ated to be (a) condition precedents barring entitlement or (b) requirements, the failure to comply with which may prejudice extent of recovery. uTry and avoid (a) type of clauses if possible. uBut in administering the contract, put in place proper notification procedures anyway as some countries law

28、s will uphold Conditions Precedent clauses strictly.34Shourav Lahiri/肖瑞夫編輯ppt 工期延長與費(fèi)用索賠Extension of Time (EOT) and Cost Claims35編輯pptnEOT provisionsuWhen is the Contractor entitled to an EOT? uIf advising an Employer, is there a time at large risk?36John Bishop/莊本信編輯pptnLimited right of Contractor t

29、o claim adjustment of Contract Price i.e. umaterial cost escalationuchange of lawuunforeseen ground conditionsucurrency fluctuation risk etc.37Hew Kian Heong/丘健雄編輯ppt 違約金與責(zé)任限額LDs and Limitation of Liability38編輯pptnLiquidated Damages (LDs, for Delay and Performance) uWhat is the level? uAre they capp

30、ed and if so at what level? uIs it an exclusive remedy? uAre they capable of attack under the local law?39John Bishop/莊本信編輯pptnCaps on and exclusions from liability and grounds for breaching capuIs there a cap? uWhat liabilities are excluded (e.g. consequential losses)? uAre the cap and exclusions e

31、nforceable under the local law? uWhen can the caps be breached?40John Bishop/莊本信(Contd)編輯pptnWhether the contract has ulimits of liability on LDs (delay and/or performance) and uoverall limit on liability.41Hew Kian Heong/丘健雄編輯ppt 設(shè)計(jì)責(zé)任Design Responsibility42編輯pptnUnrecognised design risk/Employer Da

32、tauIf the Contractor has a design risk, is it what he expected? uDoes he have a hidden design risk (e.g. in the selection of plant and materials)? uIs he taking a design risk because subcontractors have one? If so how is it secured? uIf he needs design approval, what is the process and is it capable

33、 of being abused? (e.g. must all comments be given at the first opportunity?) uIs there a co-ordination/interface risk?uIs the Employer accepting any risk (e.g. in the site or other conditions and in the information he provides to the contractor)43John Bishop/莊本信編輯pptnDesign responsibilityuwhat must

34、 Contractor designufreedom of choiceuliability for design failure.nAbuse of Employer/Engineers right to approve design.44Hew Kian Heong/丘健雄編輯ppt 解除Termination45編輯pptnGrounds for terminationuWhat are the grounds for termination? uAre they reasonable? uIs there a cure period?46John Bishop/莊本信編輯pptnTer

35、mination for convenienceusome countries laws do not allow for a contractual right to terminate for convenience. If the owner seeks to exercise this provision, the contractor may be able to resist it (to strengthen his bargaining position in discussions of post termination damages payment).47Shourav

36、Lahiri/肖瑞夫編輯ppt 變更Variation48編輯pptnEmployers very broad power to order variations and to require C to perform first, claim later.49Hew Kian Heong/丘健雄編輯ppt 不可抗力Force Majure50編輯pptnDefinition of force majeure in contracts which have an offshore element in addition to an onshore elementushould ensure that war, insurrection etc in the offshore country also qualify as force majeure events.51Shourav Lahiri/肖瑞夫編輯ppt 合同當(dāng)事人Parties to the Contract52編輯pptnmake sure that the entity signing the contract has uthe appropriate authority to do so if a governmental entity,