|
當前新型冠狀病毒肺炎疫情的全球爆發(fā)，存在影響國際工程施工履約各種可能的情況，作者根據(jù)99版紅皮書，針對此類事件，建議可以采納的有關(guān)合同條款，深入揭示條款背后的含義及聯(lián)系，解讀合同管理中具體的實際應(yīng)用，是國際商務(wù)人才必須要理解和掌握的核心要義，希望大家能夠利用好這些條款，結(jié)合項目的具體情況，及時提出索賠（結(jié)合之前發(fā)出的不可抗力通知和索賠通知示范信函），做好索賠證據(jù)的收集，尤其是同期紀錄（Contemporary Record）, 及時對索賠進行具體論證（Substantiate，就是具體化索賠的時間、費用等，建立因果關(guān)系）, 因為事件具有持續(xù)性，因此每28天提交一個期間索賠報告（interim detailed claims），待事件影響終止后28天內(nèi)提交最終的索賠報告。謹記程序優(yōu)先于權(quán)利（process before rights），如果自知道或者應(yīng)當知道因不可抗力引起工期延長或額外付款時起28天內(nèi)沒有提出索賠，那么業(yè)主方就會產(chǎn)生抗辯權(quán)，承包商將失去索賠的機會，這種情況就是所謂的Time-barred，因此一定要盡量避免出現(xiàn)此類情況。 Global Outbreak of Novel Coronavirus and Impacts on Contractors 新型冠狀病毒的全球爆發(fā)及其對承包商的影響 (Analysis per FIDIC 1999 Construction Contract) （根據(jù)1999版FIDIC施工合同條款所作分析） The outbreak of Novel Coronavirus (2019-nCoV, the Event) has become an emergency event across the countries. It may prevent the Contractor from performing the Contract and may cause loss or damage to the Works, Goods and/or Contractor’s Documents. The Event constitutes a Force Majeure in accordance with Sub-Clause 19.1(v) and also can be classified as the Employer’s Risks Event per Sub-Clause 17.3(h). Thus, the Contractor is entitled remedies both under Clause 19 if the Contractor’s performance of the Contract is partially or substantially prevented and, under Sub-Clause 17.4 if the Contractor is instructed (expressly or impliedly) to rectify the loss or damage of the Works, Goods, and/or Contractor’s Documents from the Event. 新型冠狀病毒肺炎疫情（2019-nCoV，事件）的爆發(fā)已成為各國的緊急事件。它可能妨礙承包商履行合同，并可能對工程、貨物和/或承包商文件造成損失或損害。根據(jù)第19.1（v）款，該事件應(yīng)構(gòu)成不可抗力，根據(jù)第17.3（h）款，也可歸類為業(yè)主風(fēng)險事件。因此，承包商即可以根據(jù)第19款將事件歸類為因不可抗力造成部分或?qū)嵸|(zhì)上無法履行合同得到救濟，也可以根據(jù)第17.4款，當被指示（明示或默示）對工程、貨物或承包商文件的損失或損害進行彌補或修復(fù)時，就此類彌補或修復(fù)導(dǎo)致的費用及可能的工程延誤獲得補救。 1. Contractor’s Performance and Care Obligations under the Contract 1. FIDIC合同中規(guī)定承包商的履行和照管義務(wù) Sub-Clauses 4.1, 8.1, 8.2, and 8.3 of Conditions of Contract prescribed the Contractor’s general contractual obligations of commencing, proceeding with due expedition at a rate of Progress in accordance with the programme and, completing the Works within the Time for Completion in performing the Contract. 合同條件第4.1、8.1、8.2和8.3款規(guī)定了承包商的主要義務(wù)，即盡早開工，并按照一定的進度和速度滿足進度計劃實施，以保證在合同工期內(nèi)完工的合同履行義務(wù)。 第4.1條【承包商的一般義務(wù)】 “The Contractor shall design (to the extent specified in the Contract), execute and complete the Works in accordance with the Contract and with the Engineer’s instructions, and shall remedy any defects in the Works.” “承包商應(yīng)按照合同的規(guī)定以及工程師的指示（在合同規(guī)定的范圍內(nèi)）對工程進行設(shè)計、施工和竣工，并修補其任何缺陷?！?/span> Clause 8.1 [Commencement of Works] 第8.1條【工程的開工】 “The Contractor shall commence the execution of the Works as soon as is reasonably practicable after the Commencement Date, and shall then proceed with the Works with due expedition and without delay.” “承包商應(yīng)在開工日期合理可行的情況下盡快開始實施工程，隨后應(yīng)迅速且毫不拖延地進行施工。” Clause 8.2 [Time for Completion] 第8.2條【竣工時間】 “The Contractor shall complete the whole of the Works, and each Section (if any), within the Time for Completion for the Works or Section (as the case may be) …” “承包商應(yīng)在工程或區(qū)段(如果有)的竣工時間內(nèi)完成整個工程以及每一區(qū)段(視情況而定)……” Clause 8.3 [Programme] 第8.3條【進度計劃】 “… the Contractor shall proceed in accordance with the programme, subject to his other obligations under the Contract …” “……承包商應(yīng)按照此進度計劃履行義務(wù)，但不應(yīng)影響到合同中規(guī)定的其他義務(wù)……”
Sub-Clauses 1.8 and 17.2 of Conditions of Contract further detailed that the Contractor is responsible for care of the Works, Goods, and Contractor’s Documents during the period of performing the Contract. The Contractor shall rectify any loss or damage to the Works, Goods, or Contractor’s Documents from any cause, (1) not listed in Sub-Clause 17.3 [Employer’s Risks] at its own risk and cost to conform with the Contract or, (2) listed in Sub-Clause 17.3 at the Employer’s risk and cost to conform the Engineer’s requirements only if any so instructed. In other words, the Contractor shall not rectify those loss or damage from any cause listed in Sub-Clause 17.3 without the Engineer’s instruction (expressly or impliedly). 合同條件第1.8款和第17.2款進一步詳細規(guī)定了承包商在履行合同期間對工程、貨物和承包商文件的照管責任。承包商應(yīng)：（1）在由于第 17.3 款[雇主的風(fēng)險]所列的雇主的風(fēng)險以外的原因?qū)е鹿こ?、貨物或承包商的文件發(fā)生的任何損失或損害時，自擔風(fēng)險和費用彌補此類損失或修補損害，以使其符合合同的要求，或，（2）在由于第 17.3 款所列的雇主的風(fēng)險事件導(dǎo)致、且被工程師指令彌補或修補這些損失或損害并時，由雇主承擔相應(yīng)費用和工期風(fēng)險情況下修復(fù)這些損失或損害，以使其符合工程師的要求。換言之，如果工程師沒有簽發(fā)指令（明示或暗示），承包商無需對因第17.3款所列風(fēng)險事件造成的損失或損害進行彌補或修補。 Clause 1.8 [Care and Supply of Documents] 第1.8條【文件的保管和提供】 “Each of the Contractor’s Documents shall be in the custody and care of the Contractor, unless and until taken over by the Employer.” “在移交給雇主之前，每份承包商的文件都應(yīng)由承包商來保護和保管。” Clause 17.2 [Contractor’s Care of the Works] 第17.2條【承包商對工程的照管】 “The Contractor shall take full responsibility for the care of the Works and Goods from the Commencement Date until the Taking-Over Certificate is issued (…) for the Works, when responsibility for the care of the Works shall pass to the Employer …. If any loss or damage happens to the Works, Goods or Contractor’s Documents during the period when the Contractor is responsible for their care, from any cause not listed in Sub-Clause 17.3 [Employer’s Risks], the Contractor shall rectify the loss or damage at the Contractor’s risk and cost, so that the Works, Goods and Contractor’s Documents conform with the Contract.” “從工程開工日期起直到頒發(fā)（…）接收證書的日期為止，承包商應(yīng)對工程的照管負全部責任。此后，照管工程的責任移交給雇主 …… 在承包商負責照管期間，如果工程、貨物或承包商的文件發(fā)生的任何損失或損害不是由于第 17.3 款[雇主的風(fēng)險]所列的雇主的風(fēng)險所致，則承包商應(yīng)自擔風(fēng)險和費用彌補此類損。” Contractor’s Performance and Care Obligations 承包商的履行和照管義務(wù) 
2. Contractor’s Relief from Performance of the Contract and Remedies under the Contract due to the Event 2. 承包商在該疫情事件下合同履行的免除和救濟措施 Sub-Clauses 19.2 and 19.4 of Conditions of Contract provide the Contractor relief from performing the parts of Works affected by and in the duration of the Event, accompanied with an entitlement for an extension to Time for Completion of the Works. If the impacts of the Event to the performance of the Works is substantial and lasting significantly far, Clause 19.6 or 19.7 entitle the Contractor to terminate the Contract. 合同條件第19.2和第19.4款為承包商提供了在疫情持續(xù)期間免除履行因疫情影響而無法履行的合同義務(wù)，和相應(yīng)的延長工期的權(quán)力。如果疫情對整個工程的實施的影響是實質(zhì)性的且持續(xù)很久，則承包商可根據(jù)第19.6條或第19.7條終止合同。 Clause 19.2 [Notice of Force Majeure] 第19.2條【不可抗力通知】 “… The Party shall, having given notice, be excused performance of such obligations for so long as such Force Majeure prevents it from performing them …” “……在發(fā)出通知后，該方應(yīng)在此類不可抗力持續(xù)期間免除此類義務(wù)的履行 ……” Clause 19.4 [Consequences of Force Majeure] 第19.4條【不可抗力引起的后果】 “If the Contractor is prevented from performing any of his obligations under the Contract by Force Majeure of which notice has been given under Sub-Clause 19.2 [Notice of Force Majeure], and suffers delay and/or incurs Cost by reason of such Force Majeure, the Contractor shall be entitled subject to Sub-Clause 20.1 [Contractor’s Claims] …” “如果由于不可抗力，承包商無法依據(jù)合同履行他的任何義務(wù)，而且已經(jīng)根據(jù)第 19.2 款[不 可抗力的通知]，發(fā)出了相應(yīng)的通知，并且由于承包商無法履行此類義務(wù)而使其遭受工期的 延誤和（或）費用的增加，則根據(jù)第 20.1 款[承包商的索賠]，承包商有權(quán)：……” Clause 19.6 [Optional Termination, Payment and Release] 第19.6條【可選擇的終止、支付和返回】 “If the execution of substantially all the Works in progress is prevented for a continuous period of 84 days by reason of Force Majeure of which notice has been given under Sub-Clause 19.2, or for multiple periods which total more than 140 days due to the same notified Force Majeure, then either Party may give to the other Party a notice of termination of the Contract …” “如果由于不可抗力，導(dǎo)致整個工程的施工無法進行已經(jīng)持續(xù)了84天，且已根據(jù)第 19.2 款[不可抗力的通知]發(fā)出了相應(yīng)的通知，或如果由于同樣原因停工時間的總和已經(jīng)超過了140 天，則任一方可向另一方發(fā)出終止合同的通知……” Clause 19.7 [Release from Performance under the Law] 第19.7條【根據(jù)法律解除履約】 “Notwithstanding any other provision of this Clause, if any event or circumstance outside the control of the Parties (including, but not limited to, Force Majeure) arises which make it impossible or unlawful for either or both Parties to fulfil its or their contractual obligations or which, under the law governing the Contract, entitles the Parties to be released from further performance of the Contract, then upon notice by either Party to the other Party of such event or circumstance: a) the Parties shall be discharged from further performance, … b) the sum payable by the Employer to the Contractor shall be the same as would have been payable under Sub-Clause 19.6 if the Contract had been terminated under Sub-Clause 19.6.” “除非本條另有規(guī)定，如果合同雙方無法控制的任何事件或情況（包括，但不限于不可抗力）的發(fā)生使任一方（或合同雙方）履行他（或他們）的合同義務(wù)已變?yōu)椴豢赡芑蚍欠ǎ蛘吒鶕?jù)本合同適用的法律，合同雙方均被解除進一步的履約，那么在任一方向另一方發(fā)出此類事 件或情況的通知的條件下：（a）合同雙方應(yīng)被解除進一步的履約…… 以及（b）如果合同是依據(jù)第19.6款的規(guī)定終止的，雇主支付給承包商的金額應(yīng)與根據(jù)第19.6款[可選擇的終止、支付和返回]終止合同時支付給承包商的金額相同。”
Sub-Clause 17.4 of Conditions of Contract further entitles the Contractor addition Time and Cost for remedying any loss or damage, caused by the Event to the Works, Goods, or Contractor’s Documents, to the extent necessarily required and instructed by the Engineer. 合同條件第17.4款進一步規(guī)定，承包商有權(quán)得到因工程師指令對因疫情所造成工程、貨物或承包商的文件的損失或損壞進行彌補或修補而承擔的費用或工程延誤獲得補償。 Clause 17.4 [Consequences of Employer’s Risks] 第17.4條【雇主的風(fēng)險造成的后果】 “If and to the extent that any of the risks listed in Sub-Clause 17.3 above results in loss or damage to the Works, Goods or Contractor’s Documents, the Contractor shall promptly give notice to the Engineer and shall rectify this loss or damage to the extent required by the Engineer. “如果上述第17.3款所列的雇主的風(fēng)險導(dǎo)致了工程、貨物或承包商的文件的損失或損害，則承包商應(yīng)盡快通知工程師，并且應(yīng)按工程師的要求彌補此類損失或修復(fù)此類損害。 If the Contractor suffers delay and/or incurs Cost from rectifying this loss or damage, the Contractor shall give a further notice to the Engineer and shall be entitled subject to Sub-Clause 20.1 [Contractor’s Claims] to” EOT and Cost. “如果為了彌補此類損失或修復(fù)此類損害使承包商延誤工期和（或）承擔了費用，則承包商應(yīng)進一步通知工程師，并且根據(jù)第20.1款[承包商的索賠]，有權(quán)獲得”EOT和費用。
In view all above Clauses, the Contractor is entitled under Sub-Clause 19.4 to an extension of Time for Completion if the works impacted by the Event is on critical path(s), and may further entitled to terminate the Contractor should the effects of the Event to an extent as detailed in Sub-Clause 19.6 or Sub-Clause 19.7. Besides, if the Engineer instructs (expressly or impliedly) the Contractor to rectify any loss or damage caused by the Event, the Contractor is entitled under Sub-Clause 17.4 to addition Cost (including indirect and consequential cost as allowed under Sub-Clauses 17.1, 17.6, and 18.3(d)(iii)) for those rectifications and addition Time (with prolongation costs as allowed under Sub-Clauses 17.1, 17.6, and 18.3(d)(iii)) if the rectifications delay the Time for Completion of the Works, as illustrated in below sketch. 鑒于上述條款，如果受疫情影響的工作處于關(guān)鍵路徑上，承包商有權(quán)根據(jù)第19.4款獲得延長工期，并且如果事件的影響達到第19.6款或第19.7款規(guī)定的程度，則承包商可以進一步終止合同。此外，如果工程師指示（明示或暗示）承包商修補疫情造成的任何損失或損害，承包商有權(quán)根據(jù)第17.4款的規(guī)定，就該修補措施獲得額外費用（包括根據(jù)第17.1款、第17.6款和第18.3(d)(iii)款所容許的間接費用和其它損失）和任何該修補導(dǎo)致的工程延誤的工期延長（包括根據(jù)第17.1款、第17.6款和第18.3(d)(iii)款所容許的延期費用），如下圖所示。 Contractor’s Remedies for the Prevention of Performance and Instruction for Rectification 承包商無法履行及修補損害的補救措施 
3. Distinguish between Sub-Clause 17.4 and Sub-Clause 19.4 3. 第17.4款和第19.4款的區(qū)分 Sub-Clauses 19.2, 19.6, and 19.7 excuse partially in the period impacted by the Event, or fully, the Contractor from performing the Contract in accordance with Sub-Clause 4.1, 8.1, 8.2, 8.3 and other Clauses. Sub-Clause 19.4 further entitles the Contractor extension of Time for Completion for any delays in the performance of the Contract caused by the Event. 第19.2款、第19.6款和第19.7款部分或全部免除承包商按照第4.1款、第8.1款、第8.2款、第8.3款和其他條款的履約義務(wù)。第19.4款還使得承包商在受到不可抗力事件影響而延誤工期的情況獲得工期延長的權(quán)力。 FIDIC Guide says that “Sub-Clause 19.4 does not limit the Contractor’s entitlements under Sub-Clause 17.4.” FIDIC指南稱，“第19.4款不限制承包商根據(jù)第17.4款享有的權(quán)利。” As the consequences of any loss or damage during the period of the Employer’s Risks Event (the Event) have been shifted to the Employer from the Contractor pursuant to Sub-Clause 17.2, thus, the Contractor is entitled under Sub-Clause 17.4 to addition Cost (for this rectification of loss or damage) and addition Time (if the rectification delays the Time for Completion) only if the Engineer instructs (expressly or impliedly) the Contractor to rectify those loss or damage caused by the Event. In other words, if the Engineer doesn’t instruct the Contractor or the Contactor doesn’t oblige under the governing law to rectify any of such loss or damage, the Contractor has no remedies under Sub-Clause 17.4 of the Conditions of Contract. 由于業(yè)主風(fēng)險事件（疫情）期間造成的任何損失或損害的后果已根據(jù)第17.2款從承包商轉(zhuǎn)移給了業(yè)主，因此，承包商有權(quán)在工程師指示（明示或暗示）修補該事件造成的損失或損害的情況下，根據(jù)第17.4款獲得額外費用（因為對損失或損害的該項修補）和延長時間（如果該項修補造成了工期延誤）。換言之，如果沒有法律強制要求或工程師指令承包商修補這些損失或損害，則承包商不能根據(jù)合同第17.4款獲得救濟。 4. Which Sub-Clause do you prefer? 4. 你更傾向于采用哪一條款？ The outbreak of Novel Coronavirus (2019-nCoV) may have various impacts to your Contract, which clause is applicable to you depends upon the effects of the Event to the performing of your Contract and upon actions may subsequently be taken by each contracting party. 新型冠狀病毒（2019 nCoV）的爆發(fā)可能會對您的合同產(chǎn)生各種影響，哪一條款適用于您取決于事件對您履行合同的影響以及每個締約方隨后可能采取的行動。 作者簡介 孫延偉，中電建建筑集團有限公司國際工程公司副總經(jīng)理，從事國際工程管理20余年，在國際工程合約、索賠及爭端處理等領(lǐng)域具有豐富的實踐經(jīng)驗。 朱印奇，基業(yè)長青特邀專家，中國電建地產(chǎn)集團有限公司總法律顧問、法律風(fēng)控部總經(jīng)理，《國際工程商務(wù)人才實戰(zhàn)型特訓(xùn)營》產(chǎn)品主創(chuàng)專家之一，從事國際工程商務(wù)管理20余年，在國際工程商務(wù)投標、合約洽談、爭議索賠等領(lǐng)域積累了大量論述及豐富經(jīng)驗，學(xué)員和客戶譽之為“FIDIC活字典”、“問不倒的不倒翁”、“打100分都不夠的老師”。
|
