FIDIC合同条件及其经营管理（1999年新版）

FIDIC合同条件及其经营管理（1999年新版）（在培训班讲稿摘要）16-18-2-2006 Introduction (引言)Standardization both in technical and administrative matters is essential for the satisfactory completion of projects of civil engineering construction. In order to complete a project within the required time and budget it is essential that each phase of its preparation and execution, starting with the assessment of feasibility and terminating with the handing over of the completed project by the Contractor to the Owner, be formulated with precision in order to limit delays, disputes and unforeseen additional costs. And the FIDIC contract documents will, in legal procedure, guarantee the said points above and the satisfactory completion of the projects.技术方面和管理方面的标准化，对圆满完成土木工程施工项目来说是不必可少的。为了在要求的时间和预算内完成一个项目，从可行性评估开始到承包人把竣工的项目移交给业主为止，每一阶段的项目准备及实施都需要仔细的计划，以减少延误、争端和不可预见的额外开支，这一点十分重要。而采用FIDIC合同条款可以对上述个点、对对圆满完成土木工程施工项目在法律程序上得到了保证。There are obvious advantage to using detailed contract provisions based upon a FIDIC standard form of contract which holds a reasonable balance between the requirements and interests of the parties concerned and in particular allocates fairly the risks and responsibilities between the contracting parties. In the majority of cases the contracting parties will react favorably to clearly stated obligations and this will do much to avoid unsatisfactory performance, increased costs and disputes which can arise if the trust that needs to exist between the parties to a construction contract is lacking.使用基于FIDIC合同标准格式的详尽的合同条款有明显的优点：能合理平衡有关各方的要求和利益，尤其能公平地分配合同各方的风险和责任。大多数情况，合同各方都赞成遵守明确规定的义务，这就会在很大程度上避免了履约不佳、成本增加，以及由于施工各方彼此之间缺乏所需的信任而引起的争端。This is a reason why we mention projects of civil engineering construction, we will emphasize the importance of studying the FIDIC Contract Documents. Today I try to deliver a series of lectures in English Contract Documents, especially on Conditions of Contract for Construction. 这就是为什么我们提及土木工程施工项目，就要强调学习FIDIC合同文件。今天我设法用英语作这次讲座，主要关于FIDIC合同文件，特别要讨论施工合同条件。Why in English? First, Sub-Clause 6.8 provides that the Contractor and his personnel shall have adequate knowledge of the language specified in the contract for communications. We have to take all the opportunity to use English.为什么要用英语？ 首先，合同第6.8款规定承包人及其人员应具有交流合同规定的所用语言。我们应该利用一切机会来使用英语。Secondly, I think that to study the FIDIC Contract Documents in English will help us to understand the meaning of the provisions thereof better.Meanwhile we surely can improve our English language skills when we study the FIDIC Contract Documents in English.其次，我认为用英语学习FIDIC合同文件有助于更好地理解各条款的含义。我们用英语学习FIDIC合同文件同时，自然可以提高我们的英语语言技能。My lecture is divided into six parts: (讲座共分六讲)Lecture One (第一讲)： FIDIC Contract Conditions (FIDIC合同条件)Lecture Two （第二讲）：FIDIC Contract Documents (FIDIC合同文件)Lecture three（第三讲）：The Parties to the Contract （合同当事人）Lecture Four （第四讲）：Some major clauses in FIDIC conditions and the management in the international contracted engineering construction works （FIDIC合同条件中的一些重要条款与国际工程承包项目中的经营管理）Lecture Five （第五讲）：Study of FIDIC Contract Documents in English and Improvement of Management in the international Contracted Construction Works （用英语学习FIDIC合同文件及提高国际工程承包项目中的经营管理）Lecture six （第六讲）Some Different Opinions on the New Version of FIDIC Contract Conditions （ 对新版FIDIC条款的一些意见）Lecture One(第一讲)FIDIC Contract Conditions (FIDIC合同条件)11FIDIC( 1.1 FIDIC条件)FIDIC is short form for Federation International Des Ingenieurs- Conseil in French referring to the International Federation of Consulting Engineer.（FIDIC是法文国际咨询工程师联合会 (Federation International des Ingenieurs-Conseils) 的缩写形式。）1.2 FIDIC Contract Conditions (FIDIC合同条款)FIDIC Contract Conditions issued by the CECC (Civil Engineering Contracts Committee) refer to standard conditions of contract for Works of Civil Engineering Construction designed for use in international projects.Up to now FIDIC has published four editions of FIDIC Contract Conditions. 所谓FIDIC合同条款，就是FDIC委员会制定的国际土木工程施工的合同条件或条款到目前为止FIDIC出版了四版FIDIC合同条件。)The First Edition (第一版)In 1957 the International Federation of Consulting Engineers (FIDIC) published for the first time a form of standard conditions of contract for works of civil engineering construction especially designed for use in international projects.(1957年，国际咨询工程师联合会（FIDIC）首次出版了标准的土木工程施工合同条件的格式，专门用于国际工程项目，这就是FIDIC条款第1版。)Up to that time there were no editions which had been specifically prepared to govern international contract. The first editions was based on a form of contract in use in the United Kingdom which was published by the Institution of Civil Engineers (ICE) and thus very much reflect traditions and a legal system that were specifically British.(在此以前还没有专门编制的适用于国际合同的条件。第一版是以当时正在英国使用的合同格式为蓝本，该合同格式是由土木工程师协会出版，而因版本反映出具有英国特色的传统和法律制度。)The Second Edition (第二版)The second edition of FIDIC Contract Conditions was issued in 1963, but did a small change to the conditions contained in the first edition. The second edition added a Part III to the first edition. This Part III was drafted to provide particular changes to the General conditions when the document was to be used for dredging and Land reclamation contracts.(FIDIC条件第二版于1963年发行，对第一版作了一些小的变动。第二版在第一版的基础上增加了一个第三部分。此第三部分的起草制定主要用于疏竣和填筑合同，同时对通用条件作了一些具体变动。)The Third Edition (第三版)A complete revision of FIDIC contract conditions was made in 1977. The third edition of FIDIC contract conditions was published in 1977 and was accompanied by explanatory document entitled Notes on Documents for civil Engineering Contracts.(1977年对FIDIC合同条件作了全面的修订。并于当年出版了FIDIC合同条件第三版，同时还出版了一本与此配套的题为“土木工程合同文件注释”的解释性文件。)The Fourth Edition (第四版)In 1983the Executive committee of FIDIC appointed a drafting committee comprised of members of the civil Engineering contract committee (CECC) to prepare the fourth edition of FIDIC Contract Conditions.With four years hard work, the results of the work of the drafting committee were approved in 1987 and the fourth edition of the conditions of contract for works of civil Engineering Construction was published at the Annual conference of FIDIC held in Lausanne, Switzerland in September of 1987.(1983年FIDIC执行委员会任命了一个有土木工程合同委员会（CECC）成员组成的起草委员会，准备第四版。经过四年的艰苦工作，起草委员会工作成果得到了批准与认可，并于1987年9月在瑞士的洛桑举行的FIDIC年会上发行了土木工程合同条件的第四版，即我们平时所称的FIDIC条款第4版。)The New Edition in 1999 (1999年新版)The Federation Internationale des Ingenieurs-Conseils (FIDIC) published, in 1999, First Editions of four new standard forms of contract: Conditions of Contract for ConstructionConditions of Contract for Plant and Design-BuildConditions of Contract for EPC/Turnkey ProjectsShort Form of Contract国际咨询工程师联合会(FIDIC菲迪克)于1999年出版了新的合同标准格式第一版：施工合同条件生产设备及设计-施工合同条件工程采购施工（EPT）/交钥匙工程合同条件简明合同格式Lecture Two (第二讲)FIDIC Contract Documents (FIDIC合同文件)FIDIC contract Documents normally comprise Conditions of Contract, Specification, Drawings Bill of Quantities, form of Tender. Letter of Acceptance and Contract Agreement, etc.All these documents are called the Tender documents before award of contract. However all the documents in question except Instructions to Tenderers will become contract documents on award of contract.FIDIC合同文件通常包括合同条件、技术规范、图纸、投标书、中标函、合同协议书，等。在授标之前，上述文件称之为投标文件。然而，除投标者须知外，所有上述文件在授标时即成为合同文件。2.1 Conditions of Contract (合同条件)The conditions of contract consist of Part I and Part II with 20 clauses.Part I refers to General Conditions with the clauses of general application. They have been printed in the contract documents normally prepared.Part II refers to the Conditions of Particular Application. Part I and Part II are linked with by the corresponding numbering of the Clauses, so that Part I and Part II together comprise the conditions governing the rights and obligations of the parties to the Contract. It will be necessary to prepare a Part II document for each individual contract.The conditions of contract define the terms under which the Work is to be carried out, the relationship between the Employer and the Contractor, the powers of the Engineer and terms of payment, etc.合同条件由第一部分和第二部分组成，包括20条款。合同条件第一部分是指通用条件，适用所土木工程合同。通用条件通常作为合同文件之一，事先已印制好的。（即格式条款）合同条件第二部分是指专用条件。合同条件第一部分与第二部分有密切联系，两个部分的条款编码是相对应的，因此合同条件第一部分与第二部分共同规定了合同双方的合同权利和义务。对每个具体合同，合同双方应制订合同条件第二部分是十分必要的。合同条件规定了工程施工的条件、业主与承包人之间的关系、（监理）工程师的权力和工程付款条件，等。2.2 Specification (技术规范)The specification describes in detail the works to be executed, the character and quality of the materials and workmanship, and any special responsibilities of the contractor that are not covered by the conditions of contract. It may also lay down the order in which various portions of the work are to be executed, the methods to be adopted, and particulars of any facilities to be afforded to other contractors. The specification shall require the Contractor to submit a programme and a description of proposed methods and temporary works. Care shall be exercised when drafting the specification to avoid conflict with any of the provisions of the conditions of Contract.So, the specification will define the scope and the technical requirements of the Contract. The quality of materials and the standards of workmanship to be provided by the Contractor shall be clearly described. Details shall be included of samples to be provided and tests to be carried out by the Contractor during the course of the contract. Any limitation on the contractors freedom of choice in the order, timing or methods of executing the work or sections of the works shall be clearly set out and any restrictions in his use of the site of the works, such as the prevision of access or space for other contractors, shall be given.Sub-clause 1.1.1.5 provides: “Specification” means the document entitled specification, as included in the Contract, and any additions and modifications to the specification in accordance with the Contract. Such document specifies the Works.A large engineering construction works may comprise several specifications, such as specification for civil works; specification for steel structures, specification for Electromechanical Equipment.(技术规范详细规定了工程施工的范围，材料的性质与质量，工艺标准。以及所有未包括在合同条件中关于承包人的特别责任。技术规范还规定了各类工程施工的顺序，采用施工方法，以及向其他承包人提供的一切设施事项。技术规范规定承包人应提交施工计划及施工方法的详细说明。在制定技术规范时应小心仔细，注意不要与合同条件中的规定发生矛盾。因此，技术规范规定了合同的范范和技术要求。对承包人提供的材料的质量和工艺标准必须作出明确的规定。技术规范还规定在合同期间由承包人提供的样品和进行试验的细节。对承包人在进行工作或施工的顺序、时间安排或方法的选择自由的任何限制，都必须明确规定。还应对承包人使用工程现场的限制作出规定。例如，为其他承包人提供通道和空间。合同条件第1.1.1.5款规定：“技术规范”是指合同中称为技术规范的文件，以及按照合同对技术规范所作的任何补充和修改。该文件是对工程在技术上的规定。通常，一个大型工程建设项目可包扩好几个技术规范，例如，土方工程技术规范，钢结构工程技术规范，电气设备工程技术规范，等。）2.3 Drawings（图纸）Drawings, one of Contract documents, together with Specification and Bill of Quantities will accurately define the scope and the technical requirements and the quantities of work to be executed. The Drawings shall be in sufficient detail to enable tenderers to assess accurately, in conjunction with the specification and the Bill of Quantities, the nature and scope of work included in the contract. Ideally the Drawings shall detail all the contract work. For many reasons this is not always practicable. Only rarely is it possible to provide, at tender stage, a complete set of drawings so fully detailed that the work can be executed without any further drawings becoming necessary. On most contracts supplementary drawings will be issued after award as work proceeds.Sub-clause 1.1.1.6 provides for: “Drawings” means all drawings of the Works, as included in the Contract, and any additional and modified drawings issued by (or on behalf of ) the Employer in accordance with the Contract. In fact, Drawings include all the drawings, calculations and technical information of alike nature provided by the Engineer to the Contractor under the Contract and all the drawings, calculations, samples, patterns, models, operation and maintenance manuals and other technical information of a like nature submitted by the Contractor and approved by the Engineer.” 图纸也是合同的重要文件，图纸与技术规范，工程量报价表一起，准确地确定了合同所包括的工程性质和范围，工程施工技术和质量的要求。图纸应详细绘制，以便使投标者结合技术规范和工程量报价表，准确计算和评估合同规定的工程的性质和范围。最理想的是图纸能包括所有要施工的工程。但由于各种原因，这是不可能的。在投标阶段，不太可能为工程施工提供一整套的详细图纸，而不要进一步的补充。大多数合同项目，在工程开工后都需要发布补充图纸。合同条件第1.1.1.6款规定：“图纸是指包含在合同中的工程图纸，以及由业主（或其代表）按照合同发出的任何补充和修改的图纸。实际上，图纸包括：工程师根据合同规定向承包人提供的所有图纸，计算书和类似性质的技术资料，以及由承包人提出并经工程师批准的所有图纸，计算书，样品，图样，模型，操作和维修手册以及类似性质的其他技术资料。”In General Drawings can be divided into three kinds. Tender Drawings, Working Drawings and As-built Drawings.（图纸一般可分为三个种类：（投）标图，施工图和竣工图。）2.3.1 Tender Drawings（投标图）Tender Drawings, one of Tender document, are provided by the Employer. Tender Drawings are the basis of Tender Price. Tender Drawings provide the standards for other drawings, such as working drawing. If the design standard show on the working drawing excess that shown on the tender drawings，it shall be deemed over standard design and the contractor shall have the right to make claim.Both the technical staff and managerial staff shall familiarize themselves with the tender drawings to avoid over standard execution, and to avoid increase of the cost of works.（投）标图是投标文件之一，是由业主提供的。（投）标图是计算投标总额的基础。（投）标图是其他图纸的标准，比如，施工图应以标图的标准绘制。如果施工图上的设计标准超过了（投）标图上的设计标准，那么，这就称为超标准，承包人有权为此提出索赔。承包方的技术及经营管理人员都应熟悉（投）标图，以避免超标准施工，进而避免工程成本的增加。2.3.2 Working Drawings（施工图）Working Drawing are made for the execution of the Works. Working Drawings shall accurately show the nature and scope of work on the site, and shall be revised under the actual conditions on the site. Working Drawings are the basis of the interim statement and the interim payment certificate.（施工图是为施工绘制的。施工图应精确地反映出现场工程的性质和范围情况。施工图是我们进行月度报表和月度临时结算的依据。）2.3.3 As-built drawings（竣工图）As-built drawings are the last revised working drawings showing the final actual conditions on the site. As-built drawings are the basis of the final interim settlement and the final payment certificate.（竣工图是最后一张、不再修改的施工图，竣工图反映了现场工程的实际情况。竣工图是竣工结算、最终支付证书的依据。）2.4 Bill of Quantities （工程量（报价）表）The Bill of Quantities comprises a list of items giving the quantities and descriptions of works included in the Contract and, in conjunct with the other Contract Documents, form the basis upon which tender are obtained. When the Contract has been entered into, the rates in the priced Bill of Quantities are applied to assess the value of the works as carried out. (the Works done)The measurement of the Works done shall be made in accordance with the standard method of measurement specified in the Contract by the Parties thereto.Sub-clause 1.1.1.10 provides for: “Bill of Quantities and Day-work Schedule means the documents so named (if any) which are comprised in the Schedules.the priced and completed bill of quantities forming part of the Tender.”工程量（报价）表包含合同中各个工程项目的数量清单和简要说明。工程量（报价）表和其它合同文件一起，构成了投标的基础。合同签定后，工程量（报价）表中的各项单价主要用于计算完成工程量的值（金额）。完成工程量的计算应按合同双方签定的合同所规定的计算标准进行。合同条件第1.1.10款规定：“工程量（报价）表”及“计日工作计划表”是指包含在资料表中称之为“工程量（报价）表”、“计日工作计划表”的文件(如果有)。So, the objects of bills of quantities shall be：(1) to assist in the accurate preparation of tenders, by providing for measurement of quantities on a uniform basis.(2) To provide a basis for the financial control of a project, in accordance with the conditions of contract.因此，工程量表的作用应是：（1）有助于为招标提供准确的统一的工程量。（2）根据合同条件，为工程项目的财务控制提供基础。Bill of Quantities shall describe and represent the works to be carried out; work which cannot be measured accurately shall be described as approximate or given in bills of approximate quantities. For example an item called “Provisional Sum” can be given in the Bill of Quantities.（工程量表应该规定、反映应要完成的工程。那些无法确切计算的工程应在工程量表中确定一个估算工程量。例如，可以在工程量表中确定一个项号，“暂定金额”。Conditions of contract, drawings and specifications shall be provided with the bills of quantities.Both the technical staff and managerial staff shall familiarize themselves with the Bill of Quantities, particularly with the column of description, we shall pay close attention to Description in the Bill of Quantities just like to Specification. If the work done on the site excesses the requirement of description, it shall be deemed the work executed under over standard. The contract shall be entitled to make claim.合同条件、图纸及技术规范应与工程量表一起提供。承包方的技术及经营管理人员都应熟悉工程量表,尤其是要熟悉工程量表中的“工程描述”这一拦，我们应该像重视技术规范那样重视工程量表中的“工程描述”。如果现场完成的工程超出了“工程描述”中规定的要求，那么该工程应被认为是超标准，承包人有权为此提出索赔。）25Tender （投标书）Sub-clause1.1.1.8 provides for “Tender” means the Letter of Tender and all other documents which the Contractor submitted with the Letter of Tender, as included in the Contract. “Tender” refers to the Contractors priced offer to the Employer for the execution and completion of the works and the remedying of any defects therein in accordance with the provisions of the Contract, as accepted by the Letter of Acceptance.合同条件第1.1.1.8款规定：“投标书”是指投标函以及随同投标函由承包人提交的所有合同中的其他文件。实际上“投标书是指承包人根据合同规定，为工程的实施、竣工和修补工程中缺陷，向业主提出并为中标函接受的报价书。”The Form of Tender is the Tenders written offer to execute the work in accordance with the other contract Documents and states the total contract price, time for completion and other salient particulars of the offer.The form of Tender which included at the end of the first volume of the FIDIC contract documents following Part I of the conditions of Contract is recommended for this purpose. 投标书是投标人根据合同其它文件为实施工程而提出的书面报价。投标书阐明了合同总价、竣工时间和其它有关的重要事项为此，投标书文件被包含在FIDIC合同文件第一卷中，即合同条件第一部分“通用条件”的后面。It is short, it is clear and when signed and submitted creates a legally binding and valid offer.投标书简要明了，投标书一旦签字、提交后，即具有法律效力并成为正式的报价。The sum in the Tender is the tenders total Tender sum, which shall be the same as the total from the summary page of the Bill of Quantities.The amount shall be entered in words and in figures and in the event of a discrepancy between the two it is common practice in most countries that the written amount shall prevail over the amount expressed in figures.在投标书的总额即为投标总价（即标价）。投标总价应该与工程量报价表中的合同总价相同。投标总价应用文字（大写）及数字填写。如果这两种数字发生差异，应以文字（大写）数字为准。The sum agreed may vary during the execution of the project depending on what circumstances occur, e.g. the instruction of variations, the occurrence of unforeseen events, which in accordance with the conditions of contract entitle the contractor to additional or reduced payment.（合同总价在合同施工期间可以根据实际发生的情况进行变更，比如，工程师的命令，不可抗力事件的发生，等，都可造成合同总价的变更。按照合同规定，承包人有权获得额外的付款，或从合同总额中扣除一部分合同款。）2.6 Letter of Acceptance (中标函)Sub-clause 1.1.1.3 provides for: “Letter of Acceptance” means the formal acceptance, signed by the Employer, of the Letter of the Tender, including any annexed memoranda comprising agreements between and signed by both Parties. If there is no such letter of acceptance, the expression “Letter of Acceptance” means the Contract Agreement and the date of issuing or receiving the Letter of Acceptance means the date of signing the Contract Agreement. （合同条件第1.1.1.3款规定：“中标函是指业主签署的正式接受投标书的（承诺）文件，包括双方签署的协议的任何备忘录。如无此类中标函，则中标函一词系指合同协议书，发出或收到中标函的日期是指双方签署合同协议书的日期。”A letter of acceptance shall be issued by the Employer and shall be informed the selected contractor. The letter of acceptance may alternatively be issued by the Engineer, on the written authority of the Employer, provided that the existence of such authority shall be made known.中标函应由业主签发，并寄送通知中标的承包人。中标函也可由工程师签发，但需要业主的书面授权书，并且这种授权书应公开宣布。）The Letter of Acceptance, together with the contractors written acknowledgement (if adjustments have been made to the Tender), have the effect of constituting a contract between the Employer and the contractor.（中标函，连同承包人的书面回函（如果对投标书已作修订）都应具有构成业主和承包人之间的合同效力。The letter of Acceptance shall include, either in the text or as appendices thereto, a statement to this effect, a complete list of the documents which compr