1、菲迪克 (FIDIC)文献译丛 设计采购施工 (EPC)交钥匙 工程合同条件 Conditions Of Contract for EPC Turnkey Projects 国际咨询工程师联合会 编译 中国工程咨询协会 王 川 翻译 徐礼章 校译 王 川 徐礼章 唐 萍 审订 (1999 年第 1 版 ) (中英文对照本 ) (译者对译文的准确度承担全部责任， 正式使用发生争端时，以英文原版为准 ) 机械工业出版社 本设计采购施工 (EPC)交钥匙工程合同条件 (中英文对照本 )是按国际咨询工程师联合会(FIDIC 即菲迪克 )编写的最新英文版本，由 FIDIC 在中国的成员协会 中国工程咨询
2、协会组织专家编译定稿。 本书不是在菲迪克以往合同基础上修改，而是进行了重新编写，首次推出的。它继承了菲迪克原有合同条件的优点，并根据多年来在实践中取得的经验，以及专家、学者和相关各方的意见和建议，作了重大调整。 本书内容包括设计采购施工 (EPC)交钥匙工程合同的通用条件，附争端裁决协议书一般条件、专用条件编写指南附各担保函格式、以及投标函、合同协议书和争端裁决协议书格式。 本书推荐用于以交钥匙方式 提供加工或动力设备、工厂或类似设施、基础设施项目或其他类型发展项目，这种方式 (i)项目的最终价格和要求的工期具有更大程度的确定性， (ii)由承包商承担项目的设计和实施的全部职责，雇主介入很少。
3、交钥匙工程的通常情况是，由承包商进行全部设计、采购和施工 (EPC)，提供一个配备完善的设施， (转动钥匙 )即可运行。 读者对象：工程咨询单位，从事投资、金融和工程项目管理的部门和组织、各类项目业主、建筑施工监理企业、工程承包企业、环保企业、会计律师事务所、保险公司以及有关高等院校等单位和人员。 未经出版者预先书面许可， 不得以任何方式复制或抄袭本书的任何部分。 本书封面贴有机械工业出版社和中国工程咨询协会双方的激光防伪标签，无标签或标签不全者不得使用和销售。 北京市版权局著作权合同登记号：图字： 012002-1262 号 图书在版编目 (CIP)数据 设计采购施工 (EPC)交钥匙工程合
4、同条件中国 工程咨询协会编译 .北京：机械工业出版社， 2002.5 (菲迪克 (FIDIC)文献译丛 ) 书名原文： Conditions Of Contract for EPC Turnkey Projects ISBN 7-11110242-8 1.设 .中 .建筑工程一工程施工一合 同一基本知识 .TU723.1 中国版本图书馆 CIP 数据核字 (2002)第 028533 号 机械工业出版社 (北京市百万庄大街 22 号 邮政编码 100037) 责任编辑：何文军 责任校对：贾立萍 封面设计：姚 毅 责任印制：付方敏 北京铭成印刷有限公司印刷 新华书店北京发行所发行 2002 年
5、5 月第 1 版 第 1 次印刷 890mmXl240 mmA415.25 印张 486 千字 00001-10 000 册 本书定价： 105.00 元 (全套 360元 ) 凡购本书，如有缺页、倒页、脱页，由本社发行部调换 本社购书热线电话 (010)68993821、 68326677-2527 封面无防伪标均为盗版 菲迪斯克 (FIDIC)授权书 I herewith authorize CNAEC to translate FIDICs publications (but not the publications as edited by other organizations) i
6、nto Chinese and publish them. I agree with your statement, as part of the agreement, that you will： (a) provide FIDIC with 10 copies of the translation per document, and (b) make a statement on the inside cover of the translation that the translator takes full responsibility for the accuracy of the
7、translation and that in case of dispute, the original version in English prevail. Peter van der TOGT Publications manager 译文 在此，我授权中国工程咨询协会把 FIDIC 出版物译成中文并出版 (但是，不包括其他组织编 写的出版物 )。 我同意你们的意见，作为协议的一部分，你们应： a)向 FIDIC 提供每份文件中译本 10 本； b)在译文的扉页上注明译者对译文的准确度承担全部责任，如果发生争端，以英文原版为准。 出版经理： Peter Van der TOGTFIDI
8、C is the French acronym for the International Federation of Consulting Engineers. FIDIC was founded in 1913 by three national associations of consulting engineers within Europe. The objectives of forming the federation were to promote in common the professional interests of the member associations a
9、nd to disseminate information of interest to members of its component national associations. Today FIDIC membership numbers more than 60 countries from all parts of the globe and the federation represents most of the private practice consulting engineers in the world. FIDIC arranges seminars, confer
10、ences and other events in the furtherance of its goals: maintenance of high ethical and professional standards; exchange of views and information; discussion of problems of mutual concern among member associations and representatives of the international financial institutions; and development of th
11、e consulting engineering industry in developing countries. FIDIC publications include proceedings of various conferences and seminars, information for consulting engineers, project owners and international development agencies, standard pre-qualification forms, contract documents and client/consulta
12、nt agreements. They are available from the secretariat in Switzerland. FIDIC(中译 菲迪克 )是国际咨询工程师联合会的法文首字母缩写。 菲迪克 (FIDIC)是由欧洲三个国家的咨询工程师协会于 1913 年成立的。组建联合会的目的是共同促进成员协会的职业利益，以及向其成员协会会员传播有益信息。 今天，菲迪克 (FIDIC)已有来自全球各地 60 多个国家 的成员协会，代表着世界上大多数私人执业的咨询工程师。 菲迪克 (FIDIC)举办各类研讨会、会议及其他活动，以促进其目标：维护高的道德和职业标准；交流观点和信息；讨论
13、成员协会和国际金融机构代表共同关心的问题；以及发展中国家工程咨询业的发展。 菲迪克 (FIDIC)的出版物包括：各类会议和研讨会的文件，为咨询工程师、项目业主和国际开发机构提供的信息，资格预审标准格式，合同文件、以及客户与工程咨询单位协议书。这些资料可以从设在瑞土的菲迪克 (FIDIC)秘书处得到。“菲迪克 (FIDOC)文献译丛 ” 出版前言 世界工 程咨询业已有上百年的发展历史，成为各国投资建设领域重要的智力服务行业。国际咨询工程师联合会 (按其法文缩写 FIDIC，通称菲迪克 )成立已有 80 多年，是国际工程咨询业的权威性行业组织，与世界银行等国际金融组织有着密切的联系。菲迪克的各种文
14、献出版物，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。 我国工程咨询业是改革开放以来，在原有工程设计和建设管理队伍基础上发展起来的，承担着为各级投资决策部门和各类建设项目提供战略规划、 项目决策、工程设计、以及项目实施管理等投资建设全过程的咨询服务。今后随着我国建设事业的发展，项目的决策与实施要求提供咨询服务的工作量将会大量增长，咨询服务质量要求也将越来越高。特别是我国已加人世界贸易组织 (WTO)，投资建设领域既有新的机遇，也有新的挑战。借鉴国外工程咨询的成功经验，努力提高我国工程咨询服务水平，已成为当务之
15、急。 中国工程咨询协会于 1996 年正式加入菲迪克组织，并取得在我国翻译出版菲迪克文献的授权。为了系统介绍菲迪克有关出版物，协会成立了菲迪克文献编译委员会，将以 菲迪克文献译丛 形 式，陆续翻译出版菲迪克有关文献。 我们相信 译丛 的出版，将为我国广大工程咨询单位和人员、从事投资、金融和工程项目管理的部门和组织、各类项目业主、建筑施工监理企业、工程承包企 业、环保企业、会计律师事务所、保险公司以及有关高等院校学习国际经验，提供重要帮助。 中国工程咨询协会 编者的话 本书由国际咨询工程师联合会 (FIDIC 即菲迪克 )编写，于 1999 年出版的新合同标准格式第一版。新版设计采购施工 (EP
16、C)交钥匙工程合同条件继承了菲迪克以往合同条件的优点，并根据多年来在实践中 取得的经验以及专家、学者和相关各方的意见和建议，作出了重大的调整。在结构、布局和措辞等方面做了重大的修改：统一了条款、定义和措辞；条款数目统一为二十条。此次出版的设计采购施工 (EPC)交钥匙工程合同条件，不是在原有合同基础上修改，而是进行了重新编写，首次推出的。 1998 年菲迪克在成员协会中推出了试用本，在全世界范围内收集建议和意见，并在一些国家进行试点使用，在经过 1 年多的试用后，于 1999 年才正式首次出版了设计采购施工 (EPC)交钥匙工程合同条件。 希望此译本的出版，对我国从事工程咨询、 投资、金融和项
17、目管理的部门和组织、各类项目业主、建筑施工监理企业、工程承包企业、环保企业、会计律师事务所、保险公司以及有关高等院校等人员在学习和运用菲迪克合同条件，有效地解决在国际、国内工程咨询和工程承包活动中的合同管理问题，更好地开拓国内外工程咨询和工程承包市场，促进我国工程咨询业与国际惯例接轨，推动我国工程咨询事业的发展会有所帮助。 翻译过程中，我们虽然尽力想使译文准确通顺，但限于专业知识与语言水平，译文中可能出现不妥乃至错误之处，敬请读者指正。 本书由王川翻译，徐礼章校译，王川、徐礼章、唐萍 审校。 中国工程咨询协会 FIDIC 文献编译委员会INTRODUCTORY NOTE TO FIRST ED
18、ITION FIDICs Red and Yellow Books (i.e. standard forms of contract for works of civil engineering construction and for electrical and mechanical works) have been in widespread use for several decades, and have been recognised - among other things; for their principles of balanced risk sharing betwee
19、n the Employer and the Contractor. These risk sharing principles have been beneficial for both parties, the Employer signing a contract at a lower price and only having further costs when particular unusual risks actually eventuate, and the Contractor avoiding pricing such risks which are not easy t
20、o evaluate. The principles of balanced risk sharing are continued in the new “Construction“ and “Plant and Design-Build“ Books. During recent years it has been noticed that much of the construction market requires a form of contract where certainty of final price, and often of completion date, are o
21、f extreme importance. Employers on such turnkey projects are willing to pay more - sometimes considerably more for their project if they can be more certain that the agreed final price will not be exceeded. Among such projects can be found many projects financed by private funds, where the lenders r
22、equire greater certainty about a projects costs to the Employer than is allowed for under the allocation of risks provided for by FIDICs traditional forms of contracts. Often the construction project (the EPC- Engineer, Procure, Construct - Contract) is only one part of a complicated commercial vent
23、ure, and financial or other failure of this construction project will jeopardize the whole venture. For such projects it is necessary for the Contractor to assume responsibility for a wider range of risks than under the traditional Red and Yellow Books. To obtain increased certainty of the final pri
24、ce, the Contractor is often asked to cover such risks as the occurrence of poor or unexpected ground conditions, and that what is set out in the requirements prepared by the Employer actually will result in the desired objective. If the Contractor is to carry such risks, the Employer obviously must
25、give him the time and opportunity to obtain and consider all relevant information before the Contractor is asked to sign on a fixed contract price. The Employer must also realize that asking responsible contractors to price such risks will increase the construction cost and result in some projects n
26、ot being commercially viable. Even under such contracts the Employer does carry certain risks such as the risks of war, terrorism and the like-and the other risks of Force Majeure, and it is always possible, and sometimes advisable, for the Parties to discuss other risk sharing arrangements before e
27、ntering into the Contract. In the case of BOT (Build-Operate-Transfer) type projects, which are normally negotiated as a package, the allocation of risk provided for in the turnkey construction Contract negotiated initially between the Sponsors and the EPC Contractor may need to be adjusted in order
28、 to take into account the final allocation of all risks between the various contracts forming the total package. Apart from the more recent and rapid development of privately financed projects demanding contract terms ensuring increased certainty of price, time and performance, it has long been appa
29、rent that many employers, particularly in the public sector, in a wide range of countries have demanded similar contract terms, at least for turnkey contracts. They have often irreverently taken the FIDIC Red or Yellow Books and altered the terms so that risks placed on the Employer in the FIDIC Boo
30、ks have been transferred to the Contractor, thus effectively removing FIDICs traditional principles of balanced risk sharing. This need of many employers has not gone unnoticed, and FIDIC has considered it better for all parties for this need to be openly recognised and regularised. By providing a s
31、tandard FIDIC form for use in such contracts, the Employers requirements for more risk to be taken by the Contractor are clearly stated. Thus the Employer does not have to attempt to alter a standard form intended for another risk arrangement, and the Contractor is fully aware of The increased risks
32、 he must bear. Clearly the Contractor will rightly increase his tender price to account for such extra risks. This form for EPC/Turnkey Projects is thus intended to be suitable, not only for EPC Contracts within a BOT or similar type venture, but also for all the many projects, both large and smalle
33、r, particularly E & M (Electrical and Mechanical) and other process plant projects, being carried out around the world by all types of employers, often in a civil law environment, where the government departments or private developers wish to implement their project on a fixed-price turnkey basis an
34、d with a strictly two party approach. Employers using this form must realise that the “Employers Requirements“ which they prepare should describe the principle and basic design of the plant on a functional basis. The Tenderer should then be permitted and required to verify all relevant information a
35、nd data and make any necessary investigations. He shall also carry out any necessary design and detailing of the specific equipment and plant he is offering, allowing him to offer solutions best suited to his equip ment and experience. Therefore the tendering procedure has to permit discussions betw
36、een the Tenderer and the Employer about technical matters and commercial conditions. All such matters, when agreed, shall then form part of the signed Contract. Thereafter the Contractor should be given freedom to carry out the work in his chosen manner, provided the end result meets the performance
37、 criteria specified by the Employer. Consequently, the Employer should only exercise limited control over and should in general not interfere with the Contractors work. Clearly the Employer will wish to know and follow progress of the work and be assured that the time programme is being followed. He
38、 will also wish to know that the work quality is as specified, that third parties are not being disturbed, that performance tests are met, and otherwise that the “Employers Requirements“ are being complied with. A feature of this type of contract is that the Contractor has to prove the reliability a
39、nd performance of his plant and equipment. Therefore special attention is given to the “Tests on Completion“, which often take place over a considerable time period, and Taking Over shall take place only after successful completion of these tests. FIDIC recognizes that privately-financed projects ar
40、e usually subject to more negotiation than publicly-financed ones and that therefore changes are likely to have to be made in any standard form of contract proposed for projects within a BOT or similar type venture. Among other things, such form may need to be adapted to take account of the special,
41、 if not unique, characteristics of each project, as well as the requirements of lenders and others providing financing. Nevertheless, such changes do not do away with the need for a standard form. These Conditions of Contract for EPC/Turnkey Projects are not suitable for use in the following circums
42、tances: If there is insufficient time or information for tenderers to scrutinise and check the Employers Requirements or for them to carry out their designs, risk assessment studies and estimating(taking particular account of Sub-Clauses 4.12 and 5.1 ). If construction will involve substantial work
43、underground or work in other areas which tenderers cannot inspect. If the Employer intends to supervise closely or control the Contractors work, or to review most of the construction drawings. If the amount of each interim payment is to be determined by an official or other intermediary. FIDIC recom
44、mends that the Conditions of Contract for Plant and Design-Build be used in the above circumstances for Works designed by (or on behalf of) the Contractor.第一版 序言 国际咨询工程师联合会 (菲迪克 FIDIC)的红皮书和黄皮书 (即土木工程施工合同和机电工程合同标准格式 )已广泛推行应用几十年。它们的内容，包括雇主和承包商间平衡分配风险的原则，受到普遍认可。这些风险分配原则已使双方获益，雇主按较低价格签订合同，仅在最终实际发生特殊的非正常
45、风险情况下，才增加进一步费用；而承包商避免了对此类 难以估计的风险进行估价。此项风险平衡分配原则在新版 施工 书以及 生产设备和设计 -施工 书中继续沿用。 近几年，已注意到很多建设市场需要一种固定最终价格、经常还有固定竣工日期的合同格式。雇主对此类交钥匙项目，往往愿意支付更多、有时相当多的费用。 只要能确保商定的最终价格不被超过。在此类项目中，有许多项目是靠私人资金融资的，贷款人要求雇主的项目成本， 比根据菲迪克 (FIDIC)传统合同格式提供的风险分担产生的成本有更大的确定性。经常此类建设项目 (即设计采购施工 (EPC)合同 )只是复杂商业投资事业的一部分，其 资金或其他方面出问题将危及
46、整个投资事业。 对于这类项目，承包商需要比根据传统的红皮书和黄皮书，承担更广范围的风险责任。为了取得最终价格的更大确定性，承包商往往被要求承担诸如出现不良或未预计到的场地条件等风险，雇主编制的雇主要求实际上将导致希望实现的目标。如果承包商要承担此类风险，显然雇主必须在要求承包商签署固定合同价格前，给他时间和机会，使他能得到和研究所有有关资料。雇主还需了解，要求负责任的承包商对此类风险做出估价，将会增加建设成本，导致有些项目可能在商业上变得不可行。 即使根据此类合同，雇主肯定要承担一 定风险，如战争、恐怖主义和类似风险，以及其他不可抗力风险等，但对合同双方来说，在签定合同前，讨论一些其他风险分担
47、方案常常是可能的，有时是明智的。在 BOT(建造 -运行 -移交 )项目的情况下，通常是一揽子的谈判，最初由项目发起人与 EPC(设计采购施工 )承包商协商的交钥匙施工合同规定的风险分配方案，可能需要进行调整，以便对组成整个项目的各类合同间对所有风险的最终分配，进行通盘考虑。 除了要求合同条款确保价格、时间和功能具有更大确定性的私人融资项目最近有了更快的发展以外，长期以来已明显看到，许多国家中的雇主，特别是公 共部门， 已要求类似的条款，尤其对交钥匙合同是这样。他们经常不遵照菲迪克 (FIDIC)的红皮书或黄皮书，而将条款做了修改，把菲迪克标准合同中分给雇主承担的风险转移给承包商，实际上去掉了
48、菲迪克平衡分配风险的传统原则。菲迪克对许多雇主的这一要求并没有忽视，但认为对合同各方的这一要求公开给予承 认，使之合法化、规范化会更好。通过制订一个菲迪克标准格式，供此类合同使用，把要承包商承担更大风险的雇主要求写清楚，雇主就不必为了采取其他风险分配方案而修改标准格式了，而承包商可以充分了解他必须承担的附加风险。很明显 承包商为了考虑此类额外风险，将正当地增加投标价格。 为 拟订的这一合同格式，目的不仅要适用于 BOT 项目或类似投资模式下的设计采购施工 (EPC)合同，还可适用于所有大小各类项目，特别是由世界上各类雇主实施的电气和机械、以及其他加工设备项目，这些项目经常处在民法环境下，政府部
49、门或私人开发商都希望项目能在固定价格交钥匙的基础上，严格地由双方磋商。 采用这种格式时，雇主必须理解，他们编写的 雇主要求 在描述设计原则和生产设备基础设计的要求时，应以功能作为在基础。应 允许并要求投标人对所有相关资料和数据进行核实，并做好任何必要的调查研究。他还应进行任何必要的设计和他将提供的专用设备和生产设备的详细说明，应允许他提出最适合于他的设备和经验的解决方案。因此，招标程序需允许在投标人和雇主间，就技术问题和商务条件进行讨论。所有这些事项达成协议后，将成为签订合同的组成部分。 随后，应给予承包商按他选择的方式进行工作的自由，只要最终结果能够满足雇主规定的功能标准。因而雇主对承包商的工作只应进行有限的控制，一般不应进行干预。无疑雇主希望知道和跟踪工程进展，并确保进度计划能够实 现。他还希望了解工程质量达到规定要求，第三方不受干扰，性能试验满足要求，以及 雇主要求 的其他内容都能照办
