某境外污水处理PPP项目投标及合同谈判实务案例（二）

(c) The liabilities of the Concession Company as described in Clause(d) shall not be taken into account in determining whether any of the limits on liability set out in Clause(a) and (b) have been reached.

(d) The limits on liability set out in Clause (a) and (b) shall not apply to:

(i) any liability of the Concession Company in respect of personal injury and death;

(ii) any liability of the Concession Company arising out of any fraud or wilful default or gross negligence by the Concession Company;

(iii) any payment of statutory interest and legal costs awarded by a court of competent jurisdiction or arbitral tribunal against the Concession Company; and

(iv) any liability of the Concession Company to pay the relevant Purchase Price to the Master Developer to the extent that the Purchase Price is a negative figure.

同样对等，项目发起人(采购人)也提出，其责任也应有一个限度，即：

2) Master Developer Limitation of Liability

(a) The Master Developer’s aggregate liability to the Concession Company pursuant to or under this Agreement over the Construction Period shall not exceed USDXXX.

(b) The Master Developer’s aggregate liability to the Concession Company pursuant to or under this Agreement over the Operating Period shall not exceed USDXXX.

(c) The liabilities of the Master Developer as described in Clause (d) shall not be taken into account in determining whether any of the limits on liability set out in Clause (a) and (b) have been reached.

(d) The limits on liability set out in Clause (a) and (b) shall not apply to:

(i) any liability of the Master Developer in respect of personal injury and death;

(ii) any liability of the Master Developer arising out of any fraud or wilful default or gross negligence by Master Developer;

(iii) any payment of statutory interest and legal costs awarded by a court of competent jurisdiction or arbitral tribunal against the Master Developer;

(iv) any liability of the Master Developer to pay the relevant Purchase Price to the Concession Company; and

(v) any liability of the Master Developer for any costs and expenses incurred by the Concession Company to implement a Confirmed Master Developer Variation.

项目发起人(采购人)和项目公司对间接损失都不承担责任，即：

3)Consequential Loss

Neither party shall be liable to the other party under or in connection with this Agreement in contract, tort, warranty, indemnity, strict liability, other legal theory or otherwise for any special, consequential, or punitive damages or indirect losses, costs or expenses or loss of actual or anticipated profits (whether direct or indirect), loss of production, loss of use, loss of business, loss of revenue, lost opportunities (including opportunities to enter into or complete arrangements with third parties), a failure to realise anticipated savings, loss of goodwill or loss of reputation …….

项目所在国家是英美法系，中国是大陆法系，但关于间接损失和责任限度的内容在1999年颁布的《中华人民共和国合同法》第113条和114条有接近的类似意思表示：第113条：当事人一方不履行合同义务或者履行合同义务不符合约定，给对方造成损失的，损失赔偿额应当相当于因违约所造成的损失，包括合同履行后可以获得的利益，但不得超过违反合同一方订立合同时预见到或者应当预见到的因违反合同可能造成的损失;第114条：当事人可以约定一方违约时应当根据违约情况向对方支付一定数额的违约金，也可以约定因违约产生的损失赔偿额的计算方法。约定的违约金低于造成的损失的，当事人可以请求人民法院或者仲裁机构予以增加;约定的违约金过分高于造成的损失的，当事人可以请求人民法院或者仲裁机构予以适当减少。当事人就迟延履行约定违约金的，违约方支付违约金后，还应当履行债务。

笔者认为，责任限度(LIABILITY LIMIT)条款实际就是一个由下向上“传导”的条款，由承包商传导到项目公司，项目公司再传导到项目发起人(采购人)，该条款对各方来讲是多赢的。

3.终止与终止补偿条款

终止与终止补偿条款既是社会资本A和工程公司B谈判签署EPC承包合同的重要条款，也是项目发起人(采购人)和项目公司谈判签署特许经营协议的重要条款，也是本项目中谈判时间最长的一个条款。

首先，社会资本A和工程公司B都认同，特许经营协议终止，必然带来EPC承包合同的终止，这是没有歧义的。但是假设由于承包商的违约造成EPC承包合同终止，传导上去假设特许经营协议因此而终止，这种终止在特许经营协议项下是由于项目公司违约而终止，那么能否把特许经营协议项下项目公司承担的违约责任直接转嫁到EPC承包合同项下由承包商承担呢?假设可以转嫁，是否与责任限度条款有矛盾?

另外，特许经协议终止的原因与补偿不一定是EPC承包合同终止的原因与补偿。举个简单的例子，在特许经营协议中约定项目发起人(采购人)可以出于便利而终止，随之而来的补偿与项目发起人(采购人)违约的终止补偿是一样的。那么在EPC承包合同这种终止是雇主违约而终止还是出于雇主便利而终止?

笔者把特许经营协议和黄皮书项下合同终止的原因和补偿对比分析如下：

这不是最复杂的，假设特许经营协议仅是由于项目公司自身的原因而终止，在EPC承包合同项下这种终止是由于雇主便利而终止还是雇主违约而终止?社会资本A和工程公司B反反复复讨论多次，其最大的区别就是终止补偿的内容是有差别的。另外，按照黄皮书的规定，有Tests on Completion 和Tests After Completion，社会资本A和工程公司B的工作界面是哪一个?

终止和终止补偿条款最早提出，谈判时间却一直持续到最终签约阶段。特许经营协议中的终止和终止补偿条款谈判余地并不大，因此由社会资本A和项目发起人(采购人)先确定，随后向下传导到工程公司B，经过双方的平衡，最终变成EPC承包合同中的重要条款。

编辑：王媛媛