FIDIC合同变更法律问题研究

【作者】 谢白琳；

【导师】 赵学清；

【作者基本信息】 西南政法大学 ， 国际法， 2008， 硕士

【摘要】 由于项目本身复杂、耗用工期长,当事方在订立合同前又分处不同国家,国际工程承包项目的实施过程充满风险。要求作为当事方的承包商和业主在订立合同之初就预见项目进行中可能出现的所有情况并不现实。在这样的背景下,变更在所难免。对承包商而言,变更是项目承包的重要盈利方式;对业主而言,变更则关系着项目的投资控制、质量和进度管理。变更——这一工程承包领域的重要问题引起了工程建筑、合同管理等学科的广泛关注,但法学领域却鲜有专门讨论。国际咨询工程师联合会(FIDIC)编制了一系列工程施工合同,被称之为FIDIC合同。这些合同文本由于其专业性、权威性、公平性在全球范围内得到广泛适用,成为国际工程承包领域的国际惯例。本篇论文即以FIDIC合同中的《施工合同条件》(俗称99年红皮书)为蓝本,采用实证分析方法、比较分析方法和归纳分析方法,尝试从法律的视角研究该合同中变更的性质、内涵、外延、效力、实现途径、争议解决、法律适用、工程师地位对变更指令效力的影响。由于FIDIC红皮书传统上是亲承包方的,而另一范本合同NEC《工程施工合同》(以下简称:NEC合同)亲业主方,笔者又就变更问题将两合同文本做了对比。希望本文对国际工程承包的业主方、承包方有借鉴意义。全文共分成三大部分,引言、正文和结语。引言介绍了研究变更问题的理论和现实意义,国内外对此问题的研究进展,以及本文采取的主要研究方法。正文是全文的核心,分成六个板块。第一板块对FIDIC合同条件作简要概述。FIDIC文本是国际咨询工程师联合会FIDIC编制的一系列与建筑工程相关的示范合同文本的统称。其中,《土木工程施工合同条件》俗称FIDIC红皮书。FIDIC红皮书具有国际性、通用性、权威性的特点,在国际工程承包实务界被奉行为国际惯例。1999年FIDIC按新的分类,对第4版红皮书做了修订、形成了99年红皮书。第二板块探讨了99年红皮书变更(以下简称:FIDIC合同变更)的基本问题。在回顾合同法基本理论后,笔者指出FIDIC合同变更的性质。FIDIC合同变更因具体内容不同,其本质亦有不同:有的是一般合同变更,有的为原合同的部分解除,还有的是消灭原合同关系而设立新的合同关系。之后,本文列举了FIDIC合同变更的外延,并归纳出其特征,结合案例分析了变更带来的法律后果——发生以单价合同为基础的合同金额的改变,工期的改变以及产生损害赔偿请求权。最后,文章还从变更发生的时间、变更的后果、变更的计价等方面,将99年红皮书与NEC合同做了比较。第三板块探讨工程师在变更中的地位及其发出的变更指令的效力。在适用FIDIC合同的工程项目里,工程师是业主任命的人员,是变更指令的发布者,是工程的实际管理者,是参与工程的众多角色中最核心的角色之一。其职责相当于我国工程环境下的监理公司或监理工程师。在99年红皮书中工程师是业主的雇员,有代理人地位;在87年FIDIC红皮书中,工程师有独立人地位。本文结合合同条款和案例分析,得出结论:工程师地位不同,其变更指令效力也有不同。总的说来,如果合同没有专门指明,工程师的指令可以被推翻。第四板块探讨了FIDIC合同变更实现的途径。在过往的研究中,索赔和变更往往被混为一谈。笔者厘清了二者区别和联系:变更是原因,索赔是结果;变更引起的各种工期和费用的变化可以通过索赔程序实现。之后,文章又从变更的发生、确定阶段,和对变更引起的工期、费用改变的请求、确认阶段,介绍了变更的实现途径,并将其实现程序与NEC合同中的变更程序做了比较。第五板块讨论由变更引起的争议解决办法。99年红皮书提供了三种手段解决国际工程承包中因变更引发的争议,DAB程序、友好协商程序、和仲裁程序。此外,还可以通过司法程序监督仲裁。值得一提的是,DAB程序是99年红皮书独有的争议解决程序。笔者在这一板块讨论了DAB决议的效力依据、具体效力、当事人在DAB程序中提出的事实在后续争议解决程序中的效力、DAB决议的生效时间及其执行。在这部分的结尾,笔者再次将99年红皮书对争议解决的规定与NEC合同的相关规定做了对比。第六板块探讨变更的法律适用。关于合同纠纷的法律适用,学术上有统一论和分割论之说,大多数国家采用分割论指导立法。按照分割论的观点,变更在适用法律时可依当事人合意确定合同准据法、依客观标志确定合同准据法、依最密切关系原则确定准据法。同时,实践中选择适用于变更的准据法时,应考虑对所选择的法的了解程度、该法的完善性、它的强制性规定,以及法规变化的风险。结语部分重点回顾全文的整体思路,并对变更的法律问题研究寄予展望。总体而言,本篇论文以国际工程承包市场中使用频繁的99年红皮书为基础,对变更及其实现过程中所涉及的法律问题进行了系统地分析,可以说是一抛砖引玉之作。希望也相信,随着我国加入WTO,进一步融入世界经济的大潮中,将有越来越多的专家和学者关心这一问题,并提出更多更好的意见和建议;我也相信我国的法学研究也将紧跟这一历史潮流,为我国的建筑企业走向国际市场发挥更大的作用。更多还原

【Abstract】 There are many features of international projects contracts. Employers and contractors are in different countries, projects are always complicated, and the whole process lasts long time. Those factors make it impossible for parties to foresee all situations which may happen during projects. Therefore, Variation becomes inevitable. As for employers, Variation means investment control, schedule and quality management. As for contractors, Variation is an important profit-making way. Scholars in project construction and contract management have already done some study on Variation in international projects, while legal field rarely pays specific attention to it. Taking 99FIDIC Red Book as a chief source, with case study, comparison analysis, and induction analysis methods, this paper tries to making research on nature, intension, extension and effectiveness of Variation, explaining ways to achieve Variations, disputes solutions and application of law, analyzing impacts of engineers’ status on Variation instructions and making comparison between 99FIDIC Red Book and another model contract NEC Contract, which is pro-employer. I hope this paper can be used for reference for both employers and contractors in international projects.This paper is generally divided into three parts, Foreword, Main Text and Concluding Remarks.In Foreword, the author displays theoretical and practical significance of Variation, and introduces development of research in the field and main research methods used in the paper.Main Text, the core of the whole paper, is divided into six parts. Part 1 makes a brief introduction of FIDIC Contract. Federation Internationale des Ingenieurs Conseils (FIDIC) , which is a world-wide authoritative engineer organization, has been making series of model contracts of international projects since 1957. These contracts, which absorb experience of employers, engineers, and contractors, are deemed as high-level universal project contracts, and are widely used all over the world. FIDIC Red Book, applicable to construction projects designed by employers, has been modified for many times and the 99FIDIC Red Book is the 5th edition. This paper makes study of Variation on the basis of 99FIDIC Red Book. Part 2 concludes basic issues of FIDIC Variation. After reviewing fundamental theory of contract law, the author points out the nature of FIDIC Variation. Because of its different content, FIDIC Variation has different natures. Some is common contract variation, some is rescinding of parts of the former contracts and some is establishing a new contract after rescinding the former one. Then the paper takes 99FIDIC Red Book as the chief source, listing extensions of Variation, concluding its features, and analyzing its effect with a case. Part 3 explores the status of engineers in Variation and the effectiveness of his instructions. In international projects, it is engineers who give Variation instructions. In 99FIDIC New Red Book, engineers are employees of employers, and have the status of deputy of employers; in 87 FIDIC Red Book, engineers are independent ones. This paper illustrates different effectiveness of Variation Instruction according to different status of engineers. Generally speaking, if not specifically pointed out, instructions of engineers can be overturned. Part 4 discusses approaches to achieve the Variation. In past studies, Variations are often mixed with Claims. While making clear of differences between Variations and Claims, the author explains ways to achieve Variation. Two stages are involved, stage of Variation conformation and stage of claims for project period and contract costs. Part 5 discusses solutions of disputes aroused by Variation. FIDIC New Red Book provides three ways to deal with disputes aroused by Variation, such as DAB Process, Amicable Settlement, and Arbitration. Furthermore, judicial process can be involved to supervise Arbitration. An issue worth mentioning here is DAB process which is particularly prescribed in 99FIDIC New Red Book. In this session, the author discusses its validity foundation, detailed effectiveness, date of effectiveness, and enforcement of DAB decisions. Part 6 investigates application law of Variation issues. There are academic theories of unification and segmentation for application law of contract disputes. Most countries take theory of segmentation as the guiding idea for their legislation. According to the theory of segmentation, disputes aroused by Variation can take laws determined by both parties, laws of the place of objective marks, and laws with closest ties with disputes, as applicable law. What’s more, while selecting applicable laws for Variation disputes, we should pay attention to how much we know about it, its perfect property, its compulsory regulations, and the risks of changes. Readers can also see comparison of Variation between FIDIC Contracts and NEC Contracts in parts 2, 4, 5. NEC Contract, traditionally deemed pro-employers, is a model contract compiled by Institution of Civil Engineers, and widely used Commonwealth of Nations. The author hopes differences pointed out here can help understand FIDIC Variation better.Concluding Remarks retrospect the whole thought of the paper, and place prospects on further study of Variation issues.Generally speaking, on the basis of 99FIDIC New Red Book, this paper makes systematically legal analysis on Variation and can be considered as references for further academic study. I hope and believe, as China enters WTO and merges into world economy, more and more scholars and experts will pay concerns on Variation issue and advance more opinions and better advice. I also believe that legal scholars will follow the trend, and exert more functions for our construction enterprises to compete in the world market.更多还原