一、定义
1.红皮书的全称为施工合同条件(Conditions of Contract for Construction),此类合同项下,业主负责大部分设计工作,承包商则主要负责工程施工,业主对整个项目的实施具有更强的主导权。
2.银皮书的全称为设计采购施工/交钥匙工程合同条件(Conditions of Contract for EPC/Turnkey Project),主要适用于以EPC/交钥匙为基础的基础设施项目或其他开发项目,此类项目中,承包商对项目从设计到最终调试全面负责,因此在项目实施中占据主导地位。
3.黄皮书《生产设备和设计-施工合同条件》(Condition of Contract for Plant and Design-Build)
二、红黄银风险分担的不同(概括版)
新版合同条件中的风险分担(参考天津大学工程管理专业张水波老师论文)
红皮书:亲承包商新红皮书划分工程实施过程中的责任和风险的原则是: 政治风险 (如战争、军事政变等) , 社会风险 (如罢工、内乱等) , 经济风险 (如物价上涨、汇率波动等) , 法律风险(如立法的变更) 和无法遇见的外界 (包括自然) 风险等等,以及不可抗力出现时承包商的直接损失由业主方承担, 而其余风险则由承包商承担。从这一风险分担原则来看, 新版红皮书仍将会被认为是“亲承包商一方的”。
The red book: pro-contractor
The principle of divide the risks and obligations in the process of project implementation in the new red book is: when the political risk (such as war, military coup, etc.), social risks (such as strike, civil strife, etc), economic risk (such as rising prices, exchange rate fluctuation etc), legal risk (such as legislation change) and unforeseeable risks from the outside (including natural), etc, and the force majeure appears, the contractor's direct losses shall be borne by the owner(employer), and the rest of the risks are made by the contractor to assume. From this risk allocation principles, we can see, the new red data book still would be considered as "pro--the contractor party".
黄皮书:亲承包商,业主风险较大,业主愿意承担风险新黄皮书分担风险的原则与新红皮书基本一致, 只是因为承包商要负责设计工作, 所以自然承担了由此产生的设计方面的风险。
The Yellow Book is partial to the Contractor. More risks are allocated to the Contractor who is willing to take the risk.
The principle of risk allocation in the Yellow Book is basically similar to those in the Red Book. Since the Contractor is responsible for design, the risks in design is naturally allocated to the contractor.
银皮书:对承包商苛刻,项目风险大部分由承包商承担,业主风险较小,亲业主,但是业主愿意支付的风险费提高在银皮书中, 项目的绝大部分风险都是由承包商承担的, 如新红皮书合同模式中的外界风险、经济风险、设计风险以及业主在“业主的要求”中说明的其它风险都分摊给了承包商。因此承包商在报价中计入的风险费往往很高, 对风险的管理也就成为最终能否盈利、盈利多少的重要因素。业主支付的价格较高, 但保证了工程最终造价的确定性, 使投资方 (业主) 在可行性研究中计算的项目投资收益得以实现。这类合同条件常用于私人投资的商业项目。在银皮书中的这一风险分担方式将被认为是“亲业主一方的”。
The Silver Book is so stringent on the Contractor that most of the risks are allocated to the Contractor. The risks from the outside, economic risks, design risks and other risks stated in the Demands of the Employer are all allocated to the Contractor. Therefore, the Contractor usually asks for a high cost for covering these risks. The management of risks becomes a decisive factor that determines the profit of the Contractor. The high price paid by the Employer is compensated by the certainty of the final price, in other words, the goal of profit estimated in the feasibility study can be achieved. This kind of contract condition is usually used in private commercial projects. It can be concluded that this kind of risk allocation is partial to the Employer.
实际上, FIDIC 在其不同的合同条件中采用了不同的风险分担原则, 这给业主方在选择项目采购方式上以极大的灵活性。
Actually, different risk allocation principles are provided in different contract conditions of FIDIC, providing a great flexibility for the Employer to choose the procurement method of a project.
三、细则
1.FIDIC合同条款中D-B模式(黄)与EPC模式(银)风险分担的差异
雇主在D-B模式(黄)中比在EPC模式(银)中多承担的风险为:
1.1.1 雇主使用或占用永久工程之任何部分,除非合同可能如此规定;
1.1.2 由雇主人员或雇主对其负责的其他人员提供的工程任何部分的设计(如果有);
1.1.3 不可预见的,或不能合理预期一个有经验的承包商应已采取适当预防措施的任何自然力的作用。
2.红皮书和银皮书
银皮书中的风险分担严重向承包商倾斜,这点集中体现在二者在合同风险条款中的不同约定。
① 不同的价格模式(Different pricing models)
② 设计责任的不同(different design responsibility)
③ 关于现场数据、不可预见性困难的不同约定(different agreement on site data and unforeseeable difficulties)
④ 关于业主风险的不同约定(different agreement on the employer’s risks)
⑤ 关于工期索赔条款的不同约定(different agreement on claims terms of the duration)
FIDIC是国际咨询工程师联合会(Fédération lnternationale Des lngénieurs Conseils)的法文缩写。FIDIC的本义是指国际咨询工程师联合会这一独立的国际组织。习惯上有时也指FIDIC条款或FIDIC方法。
FIDIC的主要特征包括:
(1)框架:新红皮书放弃了原红皮书第四版的框架,而是继承了1995年橘皮书的格式,合同条件分为20个标题,与瓣黄皮书、银皮书合同条件的大部分条款一致,同时加入了一些新的定义,便于使用和理解。
(2)业主方面:新红皮书对业主的职责、权力、义务有了更严格的要求,如对业主资金安排、支付时间和补偿、业主违约等方面的内容进行了补充工细化。
(3)承包商方面:对承包商的工作提出了更严格的要求,如承包商应将质量保证体系和月进度报告的所有细节都提供给工程师、在何种条件下将没收履约保证金、工程检验维修的期限等。
(4)索赔、仲裁方面:增加了与索赔有关的条款并丰富了细节,加入了争端委员会的工作程序,由3个委员会负责处理那些工程师的裁决不被双方认可的争端。