1、2013年5月,兰州交通大学土木工程学院工程管理系,黄 山,FIDIC合同条件,国际工程合同管理与项目管理,FIDIC合同条件的演变与特点2.新版FIDIC系列合同条件简介3.新版FIDIC施工合同条件条款解析,目录,Federation Internationale Des Ingenieurs ConseilsInternational Federation of Consulting Engineers国际咨询工程师联合会,F I D I C,1.FIDIC合同条件的演变与特点,FIDIC是什么 ?,FIDIC1913年由欧洲三个国家独立的咨询工程师协会创立，1948年英国加入，1953
2、年美国、加拿大、澳大利亚等国加入。现总部设在瑞士的日内瓦。 目前正式的成员国会员有60多个。 中国工程咨询协会1996年代表中国参加了FIDIC，成为FIDIC的正式成员国。,FIDIC的宗旨：倡导先进的工程管理理念，从而指导国际承包业的良性发展，为其成员国的会员公司提供服务。FIDIC的主要工作： 研究国际工程中存在的问题，提出解决问题的策略 召开工程管理国际专题研讨会 编制和推行国际工程中的各类合同范本,FIDIC的各种文献和出版物，包括各种合同、协议标准范本、各项工作指南、以及工作惯例建议等，得到了世界各有关组织的广泛承认和实施，是工程咨询行业的重要指导性文献。,文本编制质量高，处理问题
3、公正 在全球范围内工程承包市场应用最为广泛 了解国际惯例，丰富合同谈判知识 学习国际工程合同管理的理想基础教程,为什么学习FIDIC合同条件范本 ?,土木工程施工合同条件 (1957, 1965, 1977, 1987, 1992(DAB)土木工程施工分包合同条件 (1994)机电设备安装合同条件(1963, 1980, 1987)设计建造与交钥匙合同条件 (1995)业主与咨询工程师标准服务协议书 (1979, 1990, 1998),在1998年之前，FIDIC出版的主要合同文件有哪些？,FIDIC Standard Forms of Contract1、Conditions of Con
4、tract for Works of Civil Engineering Construction(1957, 1965, 1977, 1987, 1992(DAB)2、Conditions of Subcontract for Works of Civil Engineering Construction(1994)3、Conditions of Contract for Electrical and Mechanical Works(1963, 1980, 1987)4、 Conditions of Contract for Design-Build and Turnkey(1995)5、
5、 Conditions of the Client/Consultant Model Services Agreement(1979, 1990, 1998),为了适应国际形势，FIDIC 1999年新版合同条件出版：,Conditions of Contract for Construction Conditions of Contract for Plant and Design-Build Conditions of Contract for EPC/Turnkey Projects Short Form of Contract,FIDIC 1999年新版合同条件 1、施工合同条件 2、
6、工程设备与设计建造合同条件 3、EPC交钥匙合同条件 4、简明合同条件,前三本合同条件的结构基本统一,Conditions of Contract for Construction,Which are recommended for building or engineering works designed by the Employer or by his representative, the Engineer. Under the usual arrangements for this type of contract, the Contractor constructs the wo
7、rks in accordance with a design provided by the Employer. However, the works may include some elements of Contractor-designed civil, mechanical, electrical and/or construction works.,Conditions of Contract for Plant and Design-Build,Which are recommended for the provision of electrical and/or mechan
8、ical plant, and for the design and execution of building or engineering works. Under the usual arrangements for this type of contract, the Contractor designs and provides, in accordance with the Employers requirements, plant and/or other works; which may include any combination of civil, mechanical,
9、 electrical and/or construction works.,Conditions of Contract forEPC/Turnkey Projects,Which may be suitable for the provision on a turnkey basis of a process or power plant, of a factory or similar facility, or of an infrastructure project or other type of development, where (i) a higher degree of c
10、ertainty of final price and time is required, (ii) the Contractor takes total responsibility for the design and execution of the project, with little involvement of the Employer. Under the usual arrangements for turnkey projects, the Contractor carries out all the Engineering, Procurement and Constr
11、uction(EPC), providing a fully-equipped facility, ready for operation.,Short Form of Contract,Which is recommended for building or engineering works of relatively small capital value. Depending on the type of work and the circumstances, this form may also be suitable for contracts of greater value,
12、particularly for relatively simple or repetitive work or work of short duration. Under the usual arrangements for this type of contract, the Contractor constructs the works in accordance with a design provided by the Employer or by his representative (if any), but this form may also be suitable for
13、a contract which includes, or wholly comprises, Contractor-designed civil, mechanical, electrical and/or construction works.,新版FIDIC合同条件的编制原则：术语一致，结构统一适用法律广，措辞精确变革而不是改良淡化工程师的独立地位实践需要简明合同文本,各类大型或复杂工程主要工作为施工业主负责大部分设计工作由工程师来监理施工和签发支付证书按工程量表中的单价来支付完成的工程量 (即单价合同)业主承担的风险较大,新红皮书的适用条件,新红皮书的20个条款的结构,1 一般性规定2
14、 业主3 工程师4 承包商5 指定分包商6 人员与劳工7 工程设备，材料与工艺8 开工，延误与暂停9 竣工检验10 业主的接收,11缺陷责任12计量与估价13 变更与调整合同价格与支付15业主终止合同16承包商暂停与终止合同17风险与责任18保险19不可抗力20索赔，争端与仲裁,机电设备项目、其他基础设施项目以及其他类型的项目业主只负责编制项目纲要（即：“业主的要求”）和工程 设备性能要求，承包商负责大部分设计工作和全部施工安装工作工程师来监督设备的制造、安装和施工，签发支付证书在包干价格下实施里程碑支付方式，在个别情况下，也可能采用单价支付风险分担均衡,新黄皮书的适用条件,11缺陷责任12竣
15、工后的检验13 变更与调整合同价格与支付15业主终止合同16承包商暂停与终止合同17风险与责任18保险19不可抗力20索赔，争端与仲裁,新黄皮书的20个条款的结构,1 一般性规定2 业主3 工程师4 承包商5 设计6 人员与劳工7 工程设备，材料与工艺8 开工，延误与暂停9 竣工检验10 业主的接收,私人投资项目，如BOT项目（地下工程太多的工程除外）固定总价不变的交钥匙合同，并按里程碑方式支付业主代表直接管理项目实施过程，采用较宽松的管理方式， 但严格竣工检验和竣工后检验，以保证完工项目的质量项目风险大部分由承包商承担，但业主愿意为此多付出一定的费用,银皮书的适用条件,11缺陷责任12竣工后
16、的检验13 变更与调整合同价格与支付15业主终止合同16承包商暂停与终止合同17风险与责任18保险19不可抗力20索赔，争端与仲裁,银皮书的20个条款的结构,1 一般性规定2 业主3 业主的管理4 承包商5 设计6 人员与劳工7 工程设备，材料与工艺8 开工，延误与暂停9 竣工检验10 业主的接收,绿皮书的适用条件,施工合同金额较小（如低于50万美元）、施工工期较短（如少于6个月）既可以是土木工程，也可以是机电工程设计工作既可以是业主负责，也可以是承包商负责合同可以是单价合同，也可以是总价合同，在编制具体合同时，可以在协议书中给出具体规定,9 修补缺陷10 变更与索赔11合同价格与支付12违约
17、竣工后的检验13风险与职责保险15争端的解决,绿皮书的15个条款的结构,1 一般性规定2 业主3 业主的代表4 承包商5. 承包商的设计工作6 业主的责任7 竣工时间8 接收,Conditions of Contract for Construction,The General Conditions and the Particular Conditions will together comprise the Conditions of Contract governing the rights and obligations of the parties. It will be neces
18、sary to prepare the Particular Conditions for each individual contract, and to take account of those sub-clauses in the General Conditions which mention the Particular Conditions.,1General Provisions2The Employer3The Engineer4The Contractor5Nominated Subcontractors6Staff and Labour7Plant, Materials
19、and Workmanship,1一般性规定2业主3工程师 4承包商5指定分包商6人员与劳工7工程设备，材料与工艺,General Conditions of Contract,8Commencement, Delays and Suspension9Tests on Completion10Employers Taking Over11Defects Liability12Measurement and Evaluation13Variations and Adjustments14Contract Price and Payment,8开工，延误与暂停9竣工检验10业主的接收11缺陷责任1
20、2测量和估价13 变更与调整14 合同价格与支付,15Termination by Employer16Suspension and Termination by Contractor17Risk and Responsibility18Insurance19Force Majeure20Claims, Disputes and Arbitration,15业主终止合同16承包商暂停与终止合同17风险与责任18保险19不可抗力20索赔，争端与仲裁,Contract Documents (Volume Section),Conditions of Contract,Clause,Sub-Clau
21、se,Items,合同条件的层次是什么 ？,Contract Documents (Volume Section),开工日期 (1.1.3.2)/ (8.1),招标邀请,投标截止与开标,基准日期 (1.1.3.1),现场数据 (4.10),保险的总体规定 (18.1),合同生效日期,履约证书 (11.9),业主的接收 (10),竣工后检验 (12),第一半保留金的返还 (14.9),第二半保留金的返还 (14.9),竣工时间 (8.2),合同期满,最终报表与结清 (14.11) / (14.12),最终支付证书 (14.13),最终报表草表 (14.11),履约保证 (4.2)承包商的代表 (
22、4.3)提交进度计划 (8.3)动员预付款保函 (14.2)DAB的任命 (20.2),损害赔偿费 (8.7),履约保证的退还 (4.2),资格预审,工程项目合同生命周期,竣工报表 (14.10),培训 (5.5)竣工文件 (5.6)操作与维修手册 (5.7),竣工检验 (9),1. General Provisions,新红皮书第一条【一般规定】中共定义了60个术语,1.1 Definitions (定义)1.1.1 The Contract(合同) 1.1.1.1 Contract “Contract” means the Contract Agreement, the Letter of
23、 Acceptance, the Letter of Tender, these Conditions, the Specification, the Drawings, the Schedules, and the further documents which are listed in the Contract Agreement or in the Letter of Acceptance.,1. General Provisions,1.1.1.3 Letter of Acceptance (中标函 )Means the letter of formal acceptance, si
24、gned by the Employer, of the Letter of Tender, including any annexed memoranda comprising agreements between and signed by both Parties.1.1.1.4 Letter of Tender (投标函)投标函是承包商在投标报价时向雇主提交的纲要性文件。Means the document entitled letter of tender, which was completed by the Contractor and includes the signed o
25、ffer to the Employer for the Works.,1. General Provisions,1.1.1.7 Schedules (资料表 )Means the document(s) entitled schedules, completed by the Contractor and submitted with the Letter of Tender, as included in the Contract. Such document may include the Bill of Quantities, data, lists, and schedules o
26、f rates and/or prices.1.1.1.8 Tender (投标书)Means the Letter of Tender and all other documents which the Contractor submitted with the Letter of Tender, as included in the Contract.,1. General Provisions,1.1.2.2 Employer (雇主 )Means the person named as employer in the Appendix to Tender and the legal s
27、uccessors in title to this person.1.1.2.3 Contractor (承包商)Means the person(s) named as contractor in the Letter of Tender accepted by the Employer and the legal successors in title to this person(s).,1. General Provisions,1.1.2.4 Engineer (工程师) Means the person appointed by the Employer to act as th
28、e Engineer for the purposes of the Contract and named in the Appendix to Tender, or other person appointed from time to time by the Employer and notified to the Contractor under Sub-Clause 3.4 Replacement of the Engineer.1.1.2.8 Subcontractor (分包商) Means any person named in the Contract as a subcont
29、ractor, or any person appointed as a subcontractor, for a part of the Work; and the legal successors in title to each of these persons.,1. General Provisions,1.1.2.9 DAB，Dispute Adjudication Board (争端裁决委员会)Means the person or three persons so named in the Contract, or other person(s) appointed under
30、 Sub-Clause 20.2 Appointment of the Dispute Adjudication Board or Sub-Clause 20.3 Failure to Agree Dispute Adjudication Board. 1.1.3.1 Base Date (基准日期) Means the date 28 days prior to the latest date for submission of the Tender.1.1.3.2 Commencement Date (开工日期)Means the date notified under Sub-Claus
31、e 8.1 Commencement of Works.第8.1款要求工程师应在开工日期之前至少7天发布开工通知。,1. General Provisions,1.1.3.3 Time for Completion (竣工时间) Means the time for completing the Works or a SectionSub-Clause 8.2 Time for CompletionSub-Clause 8.4 Extension of Time for Completion1.1.3.7 Defects Notification Period (缺陷通知期) Means th
32、e period for notifying defects in the Works or a Section under Sub-Clause 10.1 Taking Over of the Works and Sections.Sub-Clause 11.1 Completion of Outstanding Work and Remedying DefectsSub-Clause 11.3 Extension of Defects Notification Period,1. General Provisions,1.1.4.1 Accepted Contract Amount (中标
33、合同金额) Means the amount accepted in the Letter of Acceptance for the execution and completion of the Works and the remedying of any defects.1.1.4.2 Contract Price (合同价格 )Means the price defined in Sub-Clause 14.1 The Contract Price, and includes adjustments in accordance with the Contract.1.1.4.3 Cos
34、t (成本费用) Means all expenditure reasonably incurred (or to be incurred) by the Contractor, whether on or off the Site, including overhead and similar charges, but does not include profit.,1. General Provisions,1.1.4.10 Provisional Sum(暂列金额)Means a sum (if any) which is specified in the Contract as a
35、provisional sum, for the execution of any part of the Works or for the supply of Plant, Materials or services under Sub-Clause 13.5 Provisional Sums.1.1.4.11 Retention Money(保留金)Means the accumulated retention moneys which the Employer retains under Sub-Clause 14.3 Application for Interim Payment Ce
36、rtificates and pays under Sub-Clause 14.9 Payment of Retention Money.,1. General Provisions,1.1.5.6 Section(分项工程) Means a part of the Works specified in the Appendix to Tender as a Section (if any).1.1.6.4 Force Majeure (不可抗力)这是新红皮书定义的一个术语。这一来自大陆法系的法律术语的使用，是FIDIC使其标准合同适用于各种不同法律体系所做的一种努力。1.1.6.8 Unfo
37、reseeable (不可预见) Means not reasonably foreseeable by an experienced contractor by the date for submission of the Tender.,1. General Provisions,1.3 Communications(通信交流) Approvals, certificates, consents, determinations, notices and requests shall not be unreasonably withheld or delayed. When a certif
38、icate is issued to a Party, the certifier shall send a copy to the other Party. When a notice is issued to a Party, by the other Party or the Engineer, a copy shall be sent to the Engineer or the other Party, as the case may be.,1. General Provisions,1.5 Priority of Documents (文件的优先次序) The documents
39、 forming the Contract are to be taken as mutually explanatory of one another. For the purposes of interpretation, the priority of the documents shall be in accordance with the following sequence:The Contract Agreement (if any);The Letter of Acceptance;The Letter of Tender;The Particular Conditions;T
40、hese General Conditions;The Specification;The Drawings, andThe Schedules and any other documents forming part of the Contract.,【案例1】,在某一工程项目中，规范中明确规定采料场的青苗补偿费由雇主承担，但合同特殊条款中又规定“承包商应负责采料场的使用费及相关的赔偿费”。在工程实施过程中，当承包商向料场地主支付了相应的赔偿费，然后将此费用按规范规定计入当月月报表时，却遭到了工程师的拒绝。此后承包商以索赔的形式再次提出补偿要求，但仍被工程师以合同优先顺序以及“相关的赔偿费”
41、包括青苗赔偿为由予以拒绝。,1. General Provisions,【案例2】在某国际工程项目中，工程量清单中规定应使用白水泥实施洗手间的马赛克勾缝，但在技术规范中写明这项工作使用普通硅酸盐水泥，图纸上也标注使用普通硅酸盐水泥。施工过程中，业主与承包商在使用何种水泥进行勾缝的问题上发生争执。业主认为使用白水泥勾缝满足美观要求，因此承包商应使用工程量清单中的单价做此项工作。而承包商考虑到项目成本，并根据合同第5.2款(老红皮书，下同)，指明技术规范和图纸制约着工程量清单中的描述，因此应该按照优先次序的规定要求施工：使用普通硅酸盐水泥属于正常履约。问题：工程师应当如何处理？咨询工程师裁决：适用
42、合同第5.2款，如果业主执意使用白水泥，则工程师就必须发出合同第51.2款的工程变更令，让承包商重新报价并追加费用。结果，业主为了节约开支，只得接受承包商使用普通硅酸盐水泥施工马赛克，承包商从这项工作中节省了近10万美元的开支。,2. The Employer,新红皮书第二条规定了雇主的权利与义务。,2.1 Right of Access to the Site (进入现场的权利)The Employer shall give the Contractor right of access to, and possession of, all parts of the Site within t
43、he time (or times) stated in the Appendix to Tender.If the Contractor suffers delay and/or incurs Cost as a result of a failure by the Employer to give any such right or possession within such time, the Contractor shall give notice to the Engineer and shall be entitled subject to Sub-Clause 20.1 Con
44、tractors claims to:,2. The Employer,2.1 Right of Access to the Site (进入现场的权利)An extension of time for any such delay, if completion is or will be delayed, under Sub-Clause 8.4 Extension of Time for Completion, and Payment of any such Cost plus reasonable profit, which shall be included in the Contra
45、ct Price.,【案例3】在某国际工程承包项目中，合同规定雇主应向承包商提供作为现场一部分的采石场。工程开工后，承包商多次发出书面通知并按时提交了采石场的开采计划，但雇主原来安装在采石场内的轧石设备却由于种种原因未能及时搬迁。承包商因此向雇主提出了工期及费用索赔要求。为了审定此项索赔，工程师对这一事件进行了调查。他发现：在雇主搬迁拖延期间，承包商的轧石设备由于供货商的原因也未能按计划提供到场。最后，在承包商的轧石设备进场之际，雇主的轧石设备刚好搬迁完毕。问题：承包商的索赔要求能得到支持吗？工程师因此认为：虽然雇主一方应对未及时交出采石场而承担责任，但这一事件的本身并未给承包商造成任何额外的
46、损失或损害，承包商方面也提不出充分的证据来支持其工期及费用补偿要求，承包商的索赔因此被搁置。,2. The Employer,3. The Engineer,新红皮书第三条规定了工程师的权利与义务。雇主选择的工程师越佳，承包商的价格就越切合实际。,3.1 Engineers Duties and Authority (工程师的任务和权力)The Employer shall appoint the Engineer who shall carry out the duties assigned to him in the Contract.The Engineer shall have no
47、authority to amend the Contract.The Engineer may exercise the authority attributable to the Engineer as specified in or necessarily to be implied from the Contract. If the Engineer is required to obtain the approval of the Employer before exercising a specified authority, the requirements shall be a
48、s stated in the Particular Conditions. The Employer undertakes not to impose further constraints on the Engineers authority, except as agreed with the Contractor.,3. The Engineer,【案例4】20世纪80年代中期，一家承包商在北非某国承建了一项由国际粮农组织资助的新移民区的基础设施项目，咨询公司为某西方公司与当地公司组成的联营体，驻工地工程师为一资深的专业人士。由于工程的工期较长，合同规定价格调整按世界银行推荐的调价公式计算。调价公式中各个项目(人工、材料、设备、综合消费指数等)的权重及基础价格指数应由承包商在投标时填报，因此承包商在期中付款证书中能够得到的价格补偿主要取决于现行价格指数的高低。由于承包商当时未能在工程所在地的统计机构获取相关的指数，因此按合同的特殊条件规定，凡与当地材料和综合消费指数有关的价格指数均应由工程师确定，并提交雇主批准。工程开工后，驻地工程师和承包商经过多次协商和讨论，按该国主要城市的物价水平及通货膨胀因素商定了相关的价格指数的计算规则，并将其用于期中付款证书的价格调整计算，双方相安无事。,
