图书简介

Preface xv Author’s notex vii 1 Introduction 1 1.1 Overview 1 1.2 Background 1 1.3 Objectives 1 1.4 Impacts of change 2 1.5 The NEC4 suite of contracts 3 1.6 Characteristics of NEC contracts 3 1.7 Structure of the NEC4 engineering and construction contract (ECC4) 4 1.8 Changes ECC3 to ECC4 6 1.9 Review of points of interest 7 1.10 Entire agreement 7 1.11 Exclusion of common law rights 8 1.12 Conditions precedent to compensation event claims 8 1.13 Role and powers of the project manager 8 1.14 Changes to scope (previously Works Information) 9 1.15 Prevention 9 1.16 Quotations for compensation events 9 1.17 Assessments of compensation events 9 1.18 Dispute avoidance and dispute resolution 10 2 Changes from ECC3 11 2.1 Evolution 11 2.2 Features and enhancements 11 2.3 Terminological changes 12 2.4 Changes to core clauses 12 2.5 Changes to dispute resolution procedures 15 2.6 Changes to secondary option clauses 16 2.7 Data sheet changes 16 3 Main options 17 3.1 Introduction 17 3.2 Contract strategy 18 3.3 Responsibility for design 19 3.4 Certainty of price 20 3.5 Allocation of risk 21 3.6 The Client’s requirements 22 3.7 Operating restrictions 23 3.8 Early start and/or rapid finish 23 3.9 Flexibility in contractual arrangements 23 3.10 Aversion to disputes 23 3.11 Single point responsibility 24 3.12 Option A - priced contract with activity schedule 24 3.13 Option B - priced contract with bill of quantities 25 3.14 Target contracts generally 27 3.15 Options C and D - target contracts 29 3.16 Option E - cost reimbursable contract 30 3.17 Option F - management contract 31 3.18 Options W1, W2, W3 - resolving and avoiding disputes 31 4 Secondary options 32 4.1 Introduction 32 4.2 Choice of secondary option clauses 33 4.3 Status of secondary option clauses 33 4.4 Option X1 - price adjustment for inflation 34 4.5 Option X2 - changes in the law 34 4.6 Option X3 - multiple currencies 35 4.7 Option X4 - ultimate holding company guarantee 36 4.8 Option X5 - sectional completion 36 4.9 Option X6 - bonus for early completion 37 4.10 Option X7 - delay damages 37 4.11 Option X8 - undertakings to the client or others 42 4.12 Option X9 - transfer of rights 42 4.13 Option X10 - information modelling 43 4.14 Option X11 - termination by the Client 43 4.15 Option X12 - multiParty collaboration 44 4.16 Option X13 - performance bond 45 4.17 Option X14 - advanced payment to the contractor 47 4.18 Option X15 - the contractor’s design 48 4.19 Option X16 - retention 49 4.20 Option X17 - low performance damages 50 4.21 Option X18 - limitation of liability 51 4.22 Option X20 - key performance indicators 55 4.23 Option X21 - whole life cost 56 4.24 Option X22 - early contractor involvement 56 4.25 Option Y(UK)1 - project bank account 57 4.26 Option Y(UK)2 - housing Grants, construction and regeneration act 1996 57 4.27 Option Y(UK)3 - contracts (Rights of Third Parties) act 1999 58 4.28 Option Z - additional conditions of contract 58 5 Contract documents 59 5.1 Introduction 59 5.2 Entire agreements 60 5.3 Clause 12.4 of ECC4 61 5.4 Construction of contracts generally 62 5.5 ECC4 documentation 63 5.6 Essential contract documents 64 5.7 Identified and defined terms 65 5.8 The Contract Date 66 5.9 Scope 67 5.10 Site Information 70 5.11 Contract Data 72 5.12 Schedules of cost components 72 5.13 Ambiguities and inconsistencies in the contract documents 74 5.14 Schedule of clauses referring to the Scope 74 6 Key players 79 6.1 Introduction 79 6.2 Others 81 6.3 Actions 82 6.4 Mutual trust and co-operation 83 6.5 The Client 84 6.6 Express obligations of the client 85 6.7 The Project manager 86 6.8 Express duties of the project manager 89 6.9 The supervisor 97 6.10 Express duties of the supervisor 97 6.11 Communications 98 6.12 The Project manager and the supervisor 102 7 General core clauses 104 7.1 Introduction 104 7.2 Mutual trust and co-operation 105 7.3 Actions 106 7.4 Identified and defined terms 107 7.5 Interpretation and the law 116 7.6 Communications 117 7.7 The Project manager and the supervisor 117 7.8 Instructions 118 7.9 Early warning 118 7.10 Contractor’s proposals 121 7.11 Requirements for instructions 121 7.12 Illegal and impossible requirements 122 7.13 Corrupt Acts 123 7.14 Prevention 123 8 Obligations and responsibilities of the Contractor 128 8.1 Introduction 128 8.2 Design obligations, responsibilities and liabilities 131 8.3 Providing the works 133 8.4 The Contractor’s design 134 8.5 Using the Contractor’s design 137 8.6 Design of equipment 138 8.7 People 138 8.8 Working with the client and others 140 8.9 Subcontracting 142 8.10 Other responsibilities 145 8.11 Assignment 147 8.12 Disclosure 147 8.13 Express obligations of the contractor 148 8.14 Express prohibitions on the contractor 155 9 Time (and related matters) 157 9.1 Introduction 157 9.2 Starting and completion 159 9.3 Programmes 161 9.4 Revision of programmes 165 9.5 Shortened programmes 167 9.6 Access to and use of the site 168 9.7 Instructions to stop or not to start work 169 9.8 Take over 171 9.9 Acceleration 173 10 Quality management 175 10.1 Introduction on quality management 175 10.2 Contractual provisions of ECC4 on quality management 176 10.3 Understanding the contractual provisions on quality management 177 10.4 Introduction on testing and defects 177 10.5 Definitions and certificates 180 10.6 Tests and inspections 183 10.7 Testing and inspection before delivery 186 10.8 Searching for and notifying defects 186 10.9 Correcting defects 188 10.10 Accepting defects 190 10.11 Uncorrected defects 191 11 Payments 193 11.1 Introduction 193 11.2 Assessing the amount due 196 11.3 Payments 198 11.4 Defined cost 201 11.5 Payments - main option A 202 11.6 Payments - main option B 205 11.7 Payments - main option C 206 11.8 Payments - main option D 210 11.9 Payments - main option E 211 11.10 Payments - main option F 211 11.11 Final assessment 212 11.12 Status of and disputes on final assessments 213 12 ECC4 compensation event schemes 215 12.1 Introduction 215 12.2 Structure of ECC4 compensation events schemes 217 12.3 Amendments and additions 217 12.4 Outline of procedures 219 12.5 Defining a compensation event 220 12.6 Compensation events as exclusive remedies 220 12.7 Fairness of the compensation event procedures 222 12.8 Unusual features of the compensation event procedures 222 13 Listed compensation events 223 13.1 Introduction 223 13.2 Omissions from the listed events 224 13.3 Scope-related events 224 13.4 Client’s default events 226 13.5 Client’s liability events 229 13.6 Project manager/supervisor-related events 230 13.7 Physical conditions 233 13.8 Adverse weather 236 13.9 Prevention 237 13.10 Measurement-related events 238 13.11 Secondary option clause events 240 14 Notifying compensation events 242 14.1 Introduction 242 14.2 Notifications by the project manager 242 14.3 Notifications by the contractor 244 14.4 Project Manager’s response to notifications 248 14.5 Last date for notification of compensation events 250 15 Quotations for compensation events 252 15.1 Introduction 252 15.2 Instructions to submit quotations 253 15.3 Failure to give early warning 253 15.4 Assumptions for assessment of quotations 254 15.5 Primary clauses on quotations 255 15.6 Submissions of quotations 255 15.7 Revised quotations 256 15.8 Failure to reply to quotations 256 15.9 General comment on ECC4’s assessment and quotation systems 256 16 Assessment of compensation events 258 16.1 Introduction 258 16.2 Changes from ECC3 259 16.3 General assessment rules 260 16.4 Particular assessment rules 265 16.5 The Project manager’s assessments 268 16.6 Implementing compensation events 270 16.7 Other financial remedies 272 17 Title 273 17.1 Introduction 273 17.2 Client’s title to equipment, plant and materials 274 17.3 Marking equipment, plant and materials 275 17.4 Removing equipment 276 17.5 Objects and materials within the site 276 18 Liabilities and insurance 279 18.1 Introduction 279 18.2 Liabilities and insurance under ECC4 283 18.3 Client’s liabilities 284 18.4 Contractor’s liabilities 287 18.5 Recovery of costs 288 18.6 Insurances 289 18.7 The Insurance table 289 18.8 Insurance policies 289 18.9 Contractor’s failure to insure 290 18.10 Insurance by the client 291 19 Termination 292 19.1 Introduction 292 19.2 Termination under ECC4 294 19.3 Reasons for termination under ECC4 295 19.4 The Termination table and the termination certificate 296 19.5 Comment on reasons 297 19.6 Procedures on termination 300 19.7 Amounts due on termination 301 20 Dispute avoidance and dispute resolution 303 20.1 Introduction 303 20.2 Overall structure of ECC4 dispute avoidance and dispute resolution provisions 304 20.3 Option W3 - the Dispute avoidance board 305 20.4 Choice of options 305 20.5 Involvement of denior representatives 305 20.6 Meaning of dispute 306 20.7 Adjudication under option W1 308 20.8 Adjudication under option W2 316 20.9 Review by the tribunal 320 20.10 The Adjudicator’s contract 323 21 NEC4 Engineering and construction Subcontract 324 21.1 Introduction 324 21.2 Structure of the ECC4 subcontract 325 21.3 Common core clause grouping 326 21.4 Core clauses - general 327 21.5 Core clauses - the Subcontractor’s main responsibilities 327 21.6 Core clauses - time 328 21.7 Core clauses - quality management 329 21.8 Core clauses - payment 329 21.9 Core clauses - compensation events 330 21.10 Core clauses - title 330 21.11 Core clauses - liabilities and insurances 331 21.12 Core clauses - termination 331 21.13 Resolving and avoiding disputes 331 22 Legal decisions on NEC-based contracts 333 22.1 Introduction 333 22.2 ABB Limited v. Bam Nuttall Ltd [2013] EWHC 1983 (TCC) 333 22.3 Amey LG Ltd v. Cumbria County Council [2016] EWHC 2856 (TCC) 333 22.4 Amey Wye Valley Ltd v. The County of Herefordshire District Council (Rev1) [2016] EWHC 2368 (TCC) 334 22.5 Anglian Water Services Ltd v. Laing O’Rourke Utilities Ltd [2010] EWHC 1529 (TCC) 334 22.6 Arbitration Application No 2 of 2016 & [2017] Scot CS CSOH 23 (P1039/16) 335 22.7 Arcadis UK Ltd v. May and Baker Ltd (t/a Sanofi) [2013] EWHC 87 335 22.8 AMEC Group Ltd v. Secretary of State for Defence [2013] EWHC 110 (TCC) 335 22.9 Aecom Design Build Ltd v. Staptina Engineering Services Ltd [2017] EWHC 723 (TCC) 336 22.10 Atkins Ltd v. Secretary of State for Transport [2013] EWHC 139 (TCC) 336 22.11 Balfour Beatty Ltd v. Gilcomston North Ltd and O Turner Insulation Ltd [2006] Scot CS CSOH 81 337 22.12 Cleveland Bridge UK Ltd v. Sarens (UK) Ltd [2018] EWHC 751 (TCC) 337 22.13 Beumer Group UK Ltd v. Vinci Construction UK Ltd [2016] EWHC 2283 (TCC) 338 22.14 Costain Ltd v. Tarmac Holdings Ltd [2017] EWHC 319 (TCC) 338 22.15 Dynniq UK Ltd v. Lancashire County Council [2017] EWHC 3173 (TCC) 339 22.16 Costain Ltd & O’Rourke Civil Engineering Ltd & Bachy Soletance Ltd & Emcor Drake and Scull Group PLC v. Bechtel Ltd & Mr Fady Bassily [2005] EWHC 1018 (TCC) 339 22.17 Ecovision Systems Ltd v. Vinci Construction UK Ltd (Rev1) [2015] EWHC 587 (TCC) 340 22.18 Farelly (M&E) Building Services Limited v. Byrne Brothers (Formwork) Ltd [2013] EWHC 1186 (TCC) 340 22.19 Fermanagh District Council v. Gibson (Banbridge) Ltd [2014] NICA 46 341 22.20 Ground Developments Ltd v. FCC Construction SA & Ors [2016] EWHC 1946 (TCC) 341 22.21 Henry Brothers (Magherafelt) Ltd & Ors v. Department of Education for Northern Ireland [2007] NIQB 116, [2008] NIQB 105 341 22.22 Imtech Inviron Ltd v. Loppingdale Plant Ltd [2014] EWHC 4006 (TCC) 342 22.23 Imperial Chemical Industries Ltd v. Merit Merrell Technology Ltd [2018] EWHC 1577 (TCC) 342 22.24 Imperial Chemical Industries Ltd v. Merit Merrell Technology Ltd [2016] EWHC B30 (TCC) [2017] EWHC 1763 (TCC) 342 22.25 Imperial Chemical Industries Ltd v. Merit Merrell Technology Ltd [2015] EWHC 2915 (TCC) 343 22.26 Liberty Mercian Ltd v. Cuddy Civil Engineering Ltd & Anor [2013] EWHC 2688 (TCC), [2013] EWHC 4110 (TCC), [2014] EWHC 3584 (TCC) 343 22.27 McAlpine PPS Pipeline Systems Joint Venture v. Transco PLC [2004] EWHC 2030 (TCC) 344 22.28 FP McCann Ltd v. The Department for Regional Development [2016] NICh 12 344 22.29 McConnell Dowell Constructors (Aust) Pty Ltd v. National Grid Gas PLC [2006] EWHC 2551 (TCC) 344 22.30 Mears Ltd v. Shoreline Housing Partnership Ltd [2013] EWHC 27, [2015] EWHC 1396 345 22.31 Maersk Oil UK Ltd (formerly Kerr-McGee Oil (UK) PLC) v. Dresser-Rand (UK) Ltd [2007] EWHC 752 (TCC) 345 22.32 J Murphy & Sons Ltd v. W. Maher and Sons Ltd [2016] EWHC 1148 (TCC) 345 22.33 Northern Ireland Housing Executive v. Combined Facilities Management [2014] NIQB 75 [2015] 346 22.34 Northern Ireland Housing Executive v. Healthy Buildings Ltd [2013] NIQB 124/[2017] NIQB 43 346 22.35 ROK Building Limited v. Celtic Composting Systems Ltd [2009] EWHC 2664 (TCC), [2010] EWHC 66 347 22.36 RWE Npower Renewables Ltd v. JN Bentley Ltd [2013] EWHC 978 (TCC) 347 22.37 RWE Npower Renewables Ltd v. JN Bentley Ltd [2014] EWCA Civ 150 347 22.38 Secretary of State for Defence v. Turner Estate Solutions Limited [2015] EWHC 1150 (TCC) 348 22.39 SGL Carbon Fibres Ltd v. RBG Ltd [2012] Scot CS CSOH 19, [2010] CSOH 77 348 22.40 Stork Technical Services (RBG) Ltd v. Ros [2015] CSOH 10A 348 22.41 Shepherd Construction Ltd v. Pinsent Masons LLP [2012] EWHC 43 (TCC) BLR 213, 141 Con LR 232 348 22.42 Seele Austria GmbH & Co Kg v. Tokio Marine Europe Insurance Ltd [2009] EWHC 2066 (TCC) 349 22.43 SSE General Ltd v. Hochtief Solutions AG & Anor [2015] Scot CS CSOH 92 349 22.44 Vinci Construction UK Ltd v. Beumer Group UK Ltd [2017] EWHC 2196 (TCC) 350 22.45 Volker Stevin Limited v. Holystone Contracts Limited [2010] EWHC 2344 (TCC) 350 22.46 Wales and West Utilities Limited v. PPS Pipeline Systems GmbH [2014] EWHC 54 (TCC) 351 22.47 Walker Construction (UK) Ltd v. Quayside Homes Ltd and Peter Brett Associates LLP [2014] EWCA Civ 93 351 22.48 (1)Walter Llewellyn & Sons Limited (2) ROK Building Limited v. Excel Brickwork Limited [2010] EWHC 3415 (TCC) 352 22.49 AE Yates Trenchless Solutions Ltd v. Black & Veatch Ltd [2008] EWHC 3183 (TCC) 352 22.50 Weatherford Global Products Ltd v. Hydropath Holdings Ltd & Ors [2014] EWHC 2725 (TCC) 352 22.51 WSP Cel Ltd v. Dalkia Utilities Services PLC [2012] EWHC 2428 (TCC) 353 Table of cases 355 Table of clause references 359

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