Terms and Conditions in Government Procurement, from an EU perspective 歐洲觀點下的政府採購條款與條件

Introduction 引言 依公平、公開之採購程序，提升採購效率與功能，確保採購品質（政府採購法 第1 條） TO establish a government procurement system that has fair and open procurement procedures, can promote the efficiency and effectiveness of government procurement operation, and is able to ensure the quality of procurement. (Article 1 of Government Procurement Law, ROC)

Three principles for terms and conditions of the Contract Terms Workshop held by Commission of National Corporation, (1993) 國營會「外購合約條款研討會」(1993)三點共識： (1) 風險依合約特性由業主及承包商合理分擔 Project risks should be equitably shared by the owner and the contractor

(2) 一般合約條款依國際業界慣例及共識辦理 General provisions should follow international business practice and the consensus reached at the workshop (3) 特別條款本於公平合理原則尋求國際業界慣例，依合約特性及業主及承包商雙方商業考量辦理 Special provisions, to be based on specific needs of the owner and the contractor, should seek to follow the fairness principle and international business practices.

EU perspective 歐洲觀點 Contract implementation and deputes arising from contract execution are not covered by the GPA or any other WTO agreement directly; 契約執行以及因履行契約所生之爭議並未直接納入政府採購協定或其他世貿組織協議； Draft contract terms are often part of the tender documents and may have an important impact on bidders’ decision on whether to bid or not; 契約條款草約常成為投標文件之部分內容，可能會對投標人決定投標與否產生重大影響；

EU perspective 歐洲觀點 Onerous or adversarial procurement contract terms and contract may create “an unnecessary obstacle to trade” from a GPA perspective 自政府採購協定觀點視之，繁重棘手或較不友善之採購契約條款和契約可能會造成「不必要之貿易障礙」； All GPA parties have adopted standard documents for the whole procurement process, including standard contract forms: 所有政府採購協定之會員國均已採納完整採購程序之標準文件，包括標準契約條款；

EU perspective 歐洲觀點 The European Commission has adopted standard tender and contract terms for procurement of goods, services and works. They are the most adequate for the Commission needs and built on their own experience and consistent with their laws. 歐盟委員會對於產品、勞務及工程採購已採納標準招標與契約條款。以最適合歐盟委員會需求，根據本身經驗並符合法令要求之方式呈現；

EU perspective 歐洲觀點 It is rare to have a unique model for all kinds of contracts (goods, services and works). The adoption of those international recommendations by the Taiwanese Government would be helpful to improve the procurement environment. 就不同類型契約 (產品、勞務與工程)適用單一合約範本之情況並不常見。如台灣政府可採納國際推薦之各個合約範本，將有助於改善採購環境。

採購契約態樣（政府採購法 第2 條）： （1）工程之定作 procurement of works goods，及 （3）勞務之委任 procurement of services

常見國際工程採購合約 International forms of contract FIDIC form contract (Federation international des Ingenieurs Consultants) UNICETRAL legal Guide on Drawing UP International Contracts for Construction of Industrial Work(1998) ICE form contract (Institute of Civil Engineers) JCT form contract (Joint Contracts Tribunal)

常見工程採購合約條款議題 Main Issues on Terms & Conditions 1. Risk allocation 風險分配 1.1 Increase in Construction Cost 工程施工成本增加 1.2 Force majeure 不可抗力風險 2. Limitation of Liability 責任限制 2.1 Total liability 全部責任 2.2 Liquidated damages 約定損害賠償 2.3 Consequential damages 衍生性損害賠償

常見工程採購合約條款議題 Main Issues on Terms & Conditions 3. Guarantee 保證 3.1 On time 準時完工 3.2 Performance Guarantee 品質保證 4. Dispute resolution 紛爭解決 4.1 Notice of Claims 求償通知 4.2 Dispute resolution mechanism 爭議解決方法

1. Risk Allocation 風險分配 - Are risks allocated fairly between Contractor and Employer? 業主與承商間之風險分配是否公平？ - 合約風險應公平的由業主及承包商分擔 Project risks should be equitably shared by the employer and the contactor - 黃金原則：風險應由能以最佳方式並最低成本的一方承擔 Golden Rule: risk should be allocated to the party best able to manage it at the lowest cost.

1.1 Increase in Construction Cost 工程施工成本增加 When a contract contains no price escalation clause When a contract expressly provides that the contract price shouldn’t be adjusted due to change in cost When a contract contains a price escalation clause but contractor argues its reasonableness

1.1 Increase in Construction Cost 工程施工成本增加 13.8 of FIDIC Red Book (1999) “To the extent that full compensation or any rise or fall in Costs is not covered by the provisions of this or other Clauses, the Accepted Contract Amount shall be deemed to have included amounts to cover the contingency of other rises and falls in costs.”

1.1 Increase in Construction Cost 工程施工成本增加 13.8 of FIDIC Red Book (1999) 中文 「在本條或其他條規定對成本的任何漲落不足以完全補償的情況下，得標合約金額應視為已包括應付其他成本漲落的或有費用。」

1.1 Increase in Construction Cost 工程施工成本增加 最高法院96年度台上字第2237號判決 「查系爭工程契約第十三條第(三)款付款辦法業已約定：『物價指數調整：工程進行期間，如遇物價波動時不予調整。』…工程進行期間亦僅短短一年餘。上開物價指數調整條款之約定文字，似已明白表示兩造於締約時已預見締約後工程進行期間物價可能發生之變動，並同意於物價波動時不調整工程款。乃原審竟捨此契約已表示之當事人真意，而…據以認系爭工程之給付有民法第二百二十七條之二第一項『情事變更原則』規定之適用，因而為上訴人敗訴之判決，自有可議。」

1.1 Increase in Construction Cost 工程施工成本增加 最高法院96年度台上字第2237號判決 「 (三)物價指數調整及救濟補貼款部分，查…國工局之標準作業程序亦僅規定承包商應依合約規定按期提出估驗申請，如有工程材料已到場或物價指數調整項目需併同估驗時，應另附到場材料估驗附表及相關之物價指數機動調整計算表。…足見物價指數調整連同救濟補貼款得依合約按期估驗計價後，承包商至少於次月即知可否請求增值之調整金額…茲本件既係承攬契約，物價指數調整及救濟補貼款性質上亦屬承攬報酬之一部..。」

1.1 Increase in Construction Cost 工程施工成本增加 97年4月15日修訂之「工程採購契約範本」 第五條6.物價指數調整 「工程進行期間，如遇物價波動時，就總指數漲跌幅超過0% 之部分，於估驗完成後調整工程款。 」 「就此等項目漲跌幅超過0% 之部分，於估驗完成後調整工程款。」

1.2 Force Majeure Risk (不可抗力風險) A clause clearly defines force majeure risks, such as acts of God or acts that are unforeseeable or uncontrollable and equitably allocates the risks between the owner and the contractor is required. 合約條款應明確定義不可抗力之風險，如天災或其他無法控制之情事。 不可抗力風險，應公平合理的分配於業主及承包商之間。

1.2 Force Majeure Risk (不可抗力風險) 19.1 of FIDIC Red Book (1999) “In this clause, “force majeure means an exceptional event or circumstances: (a) which is beyond a party’s control, (b) which such party could not reasonably have provided against before entering into the contract, (c) which, having arisen, such party could not reasonably have avoided or overcome, and (d) which is not substantially attributable to the other party”

1.2 Force Majeure Risk (不可抗力風險) 19.1 of FIDIC Red Book (1999) 中文 「在本條中，“不可抗力”係指某種特別事件或情況，其係： (a) 一方無法控制的，(b) 該方在簽訂合約前，不能對之進行合理準備的，(c) 發生後，該方不能合理避免或克服的，且(d) 不能主要歸責於他方。」

1.2 Force Majeure Risk (不可抗力風險) 19.4 of FIDIC Red Book (1999) “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 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 claim] to (a) an extension of time for any such delay, if completion is or will be delayed, and (b) if the event or circumstance is of the kind described in 19.1 [definition of force majeure] occurs in the country, payment of any such cost.”

1.2 Force Majeure Risk (不可抗力風險) 19.4 of FIDIC Red Book (1999) 中文 「如果承包商因已根據第19.2款「不可抗力的通知」的規定發出通知的不可抗力，妨碍其履行合同規定的任何義務，使其遭受延誤和（或）致增加費用，承包商有權根據第20.1款「「承包商的索賠」的規定要求：(a)根據第8.4款「竣工時間的延長」的規定，如果竣工已經或將受到延誤，對任何此類延誤給予延長工期； (b)如果是第19.1款「不可抗力的定義」中所述的事件或情況發生在工程所在國時，對任何此類費用給予支付。」

2. Limitation of Liability (責任限制) Contractor’s liability is limited to a reasonable level, with its aggregate liability under the contract and the liquidated damages capped, and normally excluding consequential damage. 承包商的責任應有一合理之限制，其在合約中全部累計責任及約定之損害賠償責任，應設有上限，且多排除衍生性損害賠償責任。

2. Limitation of Liability (責任限制) 2.1 Total Liability 全部責任 ‧§17.6 of FIDIC Red Book (1999) “The total liability of the Contractor to the Employer, under or in connection with the Contract other than sub-clause 4.19 [electricity, water and gas] , sub-clause 4.20 [employer’s equipment and free-issue material], sub-clause 17.1 [indemnities] and sub-clause 17.5 [intellectual and industrial property rights] shall not exceed… the Accepted Contract Amount. This Sub-Clause shall not limit liability in any case of fraud, deliberate default or reckless misconduct by the defaulting Party.”

2. Limitation of Liability (責任限制) 2.1 Total Liability 全部責任 17.6 of FIDIC Red Book (1999) 中文 「除根據第4.19款「電、水和然氣」、第4.20款「雇主設備和免費供應的材料」、第17.1款「補償」和第17.5款「智慧財識產權」的規定外，承包商根據或有關合約對雇主的全部責任不應超過得標合約金額。 本款不適用於違約方的詐欺、故意及重大過失之違約行為。」

2.1 Total Liability 全部責任 Article 222 of Taiwan Civil Code 民法第222條 民法第250條 Article 45 of Essential Requirements for Procurement Contracts 「採購契約要項」第45條

2.2 Liquidated damages for delay (遲延之約定損害賠償) The amount of liquidated damages should be reasonably capped. 約定之損害賠償應有合理之上限。

2.2 Liquidated damages for delay (遲延之約定損害賠償) 8.7 of FIDIC Red Book(1999) “This delay damages shall be the only damages due from the contractor for such default, other than in the event of termination under sub-clause 15.2 [termination by employer] prior to completion of the works. These damages shall not relieve the contractor from his obligation to complete the work or from any other duties, obligations or responsibilities which he may have under the contract.”

2.2 Liquidated damages for delay (遲延之約定損害賠償) 8.7 of FIDIC Red Book (1999) 中文 「除在工程竣工前根據第15.2款「由雇主終止」的規定終止的情況外，遲延損害賠償費應是承包商就遲延之違約應付的唯一損害賠償。但此損害賠償不應解除承包商完成工程的義務，或合約規定的其可能承擔的其他責任、義務或職責。」

2.3 Consequential damages (衍生性損害賠償) Consequential damage is inherently a risk of ownership and international practice exempts contractors from such liabilities. For contracts that do not exempt contractors from consequential damages, a reasonable ceiling liability is required.

2.3 Consequential damages (衍生性損害賠償) §17.6 of FIDIC Red Book (1999) “Neither Party shall be liable to the other Party for loss of use of any works, loss of profit, loss of any contract or for any indirect or consequential loss or damage which may be suffered by the other party in connection with the contract, other than under sub-clause 16.4[payment of termination] and sub-clause 17.1[indemnities] “

2.3 Consequential damages (衍生性損害賠償) 17.6 of FIDIC Red Book (1999) 中文 「除根據第16.4款「終止時的付款」和第17.1款「補償」的規定外，任何一方不應對另一方使用任何工程中的損失、利潤損失、失去預期合約的損失，或對另一方可能遭受的與合約有關的任何間接的或衍生性損失或損害負責。」

3. Guarantee (保證) An owner of a construction project asks for project completion on time, pursuant to the specifications and within the budget. A Contractor has an obligation to guarantee the delivery is free from defects.

3.1 On time – Delay Damages 遲延責任 Liquidated damage for delay should be imposed only for delays causes by the contactor or factors within his control.

3.1 On time – Delay Damages 遲延責任 8.7 of FIDIC Red Book (1999) “If the contractor fails to comply with sub-clause 8.2[time for completion], the contractor shall subject to sub-clause 2.5 [employer’s claims] pay delay damages to the employer for this fault…These delay damages shall be the sum stated in the appendix to tender,… However, the total amount due under this sub-clause shall not exceed the maximum amount of delay damages (if any) stated in the appendix to tender.”

3.1 On time – Delay Damages 遲延責任 8.7 of FIDIC Red Book (1999) 中文 「如果承包商未能遵守第8.2款「竣工時間」的要求，承包商應當為其違約行為根據第2.5款「雇主的索賠」的要求，向雇主支付遲延損害賠償。遲延損害賠償應按邀標書附錄中所列每天應付的金額…。但按本款計算的賠償總額不得超過邀標書附錄中規定的遲延損害賠償的最高限額（如有）」

3.1 On time – Delay Damages 遲延責任 行政院公平交易委員會(86) 公貳字第8605226-005號 「目前各機關營繕工程合約及施工須知常載有『承包商如因甲方 (工程主辦機關) 原因，或人力不可抗拒等因素，申請延長工期，且工程司核准其延長之請求，則承包商須放棄對該一事件再提出要求補償之權利。』類似規定，因延長工期原因不一，是否違反公平交易法，仍須視具體個案而定；惟如有可歸責於主辦機關，卻使交易雙方所負之風險顯不對等，而超過承包商可預期之完工風險，明顯減損營繕工程效能競爭，倘又未能就同一情事要求補償，則不排除涉有顯失公平之虞。」

3.2 Performance Guarantee (履約保證) Warranty and remedy provisions should incorporate a clear time limit for claims.

3.2 Performance Guarantee (履約保證) 11.3 of FIDIC Red Book (1999) “The employer shall be entitled subject to sub-clause 2.5[employer’s claim] to an extension of the defects notification period for the works or a section if and to the extent that the works, section or a major item of plant, … cannot be used for the purposes of which they are intended by reason of a defect or damage. However, a defect notification period shall not be extended by ore than two years.

3.2 Performance Guarantee (履約保證) 11.3 of FIDIC Red Book (1999) 中文 「如果因為某項瑕疵或損害達到使工程、分項工程或某項主要生產設備（視情況而定，並在接收以後）不能按原訂目的使用的程度，雇主應有權根據第2.5款「雇主的索賠」的規定對工程或某一分項工程的缺陷通知期限提出一個延長期。但是，瑕疵通知期限的延長不得超過兩年。」

3.2 Performance Guarantee (履約保證) a contract for hiring of works 承攬契約 A combination of the one for hiring of works and the one for sale of goods 承攬與買賣混合契約 Poor performance/bad performance (Article 227 of the Civil Code) 民法第227條 不完全給付

4. Dispute Resolution (爭議解決) 4.1 Notice of Claims求償通知 §20.1 of FIDIC Red Book(1999) “If the Contractor considers himself to be entitled to any extension of the Time for Completion and/or any additional payment…the Contractor shall give notice to the Engineer…The notice shall be given…not later than 28 days after the Contractor became aware, or should have become aware, of the event or circumstance.”

4.1 Notice of Claims求償通知 “If the Contractor fails to give notice of a claim within such period of 28 days, the Time for Completion shall not be extended, the Contractor shall not be entitled to additional payment, and the Employer shall be discharged from all liability in connection with the claim….”

4.1 Notice of Claims求償通知 20.1 of FIDIC Red Book (1999) 中文 「如果承包商認為，根據本條件任何條款或與合約有關的其他文件，有權得到竣工時間的任何延長期和（或）任何追加付款，承包商應向工程司發出通知，說明引起索賠的事件或情況。該通知應盡快在承包商發現或應以發現該事件或情況後28天內發出。 如果承包商未能在上述28天期限內發出索賠通知，則竣工時間不得延長，承包商無權獲得追加付款，而雇主應免除有關該索賠的全部責任。」

4.1 Notice of Claims求償通知 • Sub-clause (4), Clause 52, “Valuation of Ordered Variations,” I.C.E. Form of Contract (6th Edition) (a) If the Contractor intends to claim a higher rate or price than one notified to him by the Engineer…the Contractor shall within 28 days after such notification give notice in writing of his intention to the Engineer. (b) If the Contractor intends to claim any additional payment…he shall give notice in writing of his intention to the Engineer as soon as may be reasonable and in any event within 28 days after happening of the events giving rise to the claim… (e) If the Contractor fails to comply with…then the Contractor shall be entitled to payment in respect thereof only to the extent that the Engineer has not been prevented from or substantially prejudiced by such failure in investigating the said claim…

4.1 Notice of Claims求償通知 Condition precedent? 承商求償權發生之前提條件或先決條件? In contradiction to/in violation of the following principles/laws? - the principle of protecting public interests, fairness and reasonableness under Article 6 of GPL? 違反政府採購法第6條第1項 前段所定之公平合理原則？

4.1 Notice of Claims求償通知 - Article 247-1 of Taiwan Civil Code? 違反民法第247條之1 之規定？ - Article 147 of Taiwan Civil Code? 違反民法第147條 之規定？ - Article 16 of Constitution? 違法憲法第16條所定人民之訴訟權應予保障之規定？ Applicability of Article 227-2 (1) of Taiwan Civil Code? 有無民法第227條之2第1項規定之適用？

4.2 Dispute Resolution Mechanism 爭議解決機制 Dispute Adjudication Board (DAB)爭端裁決委員會 Mediation 調解 Arbitration 仲裁 Litigation 訴訟

4.2 Dispute Resolution Mechanism 爭議解決機制 • Article 5, Articles of Agreement, JCT Standard Form of Building Contract (1980 Edition) “If any dispute or differences as to the construction of this contract or any matter or thing of whatsoever nature arising thereunder or in connection therewith shall arise between the Employer…and the Contractor… it shall be and is hereby referred to arbitration in accordance with clause 41.”

4.2 Dispute Resolution Mechanism 爭議解決機制 • Clause 66, I.C.E. Form of Contract (6th Edition) “…then either the Employer or the Contractor may… within one calendar months of receipt of the conciliator’s recommendation… refer the dispute to the arbitration of a person to be agreed upon by the parties by serving on the other party a written Notice to Refer.”

4.2 Dispute Resolution Mechanism 爭議解決機制 • First paragraph, §20.6 of FIDIC Red Book(1999) “Unless settled amicably, any dispute in respect of which the DAB’s decision (if any) has not become final and binding shall be finally settled by international arbitration. Unless otherwise agreed by both Parties: (a) the dispute shall be finally settled under the Rules of Arbitration of the International Chamber of Commerce…”

4.2 Dispute Resolution Mechanism 爭議解決機制 20.6 of FIDIC Red Book (1999) 中文 「經DAB對之做出的決定（如果有）未能成為最終的和有約束力的任何爭端，除非已獲得友好解決，應通過國際仲裁對其做出最終解決。除非雙方另有協議。」

4.2 Dispute Resolution Mechanism 爭議解決機制 • Article 85-1 of GPL 政府採購法第85條之1 • 「機關與廠商因履約爭議未能達成協議者，得以下列方式之一處理：一、向採購申訴審議委員會申請調解。二、向仲裁機構提付仲裁。 前項調解屬廠商申請者，機關不得拒絕；工程採購經採購申訴審議委員會提出調解建議或調解方案，因機關不同意致調解不成立者，廠商提付仲裁，機關不得拒絕。」 如是廠商不同意調解建議或調解方案致調解不成立，應即無此規定之適用。