投标意向书 Letters of intent

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Letters of intent

意向书

Introduction

前言

?A letter of intent (LOI) is an interim form of document setting out the parties’relationship

意向书为一种临时文件形式，约定了当事方的关系?For commercial reasons contractors often start work under a LOI before the terms of the main contract have been agreed

因为商业方面的原因，在就主合同条款达成约定之前，承包人通常依照意向书开始工作

?Difficult issues then arise if the main contract is not entered into

?若不签署主合同，则会出现问题

?“Letter of intent”is not a term of art

“意向书”并非专门术语

?LOIs take different forms. Some are legally binding and some are not

意向书可采取不同形式。有些具有法律约束力，而有些则没有

?This talk aims to identify the issues, pitfalls and risks to bear in mind

本演讲旨在分析意向书的问题、缺陷和风险

Judicial suspicion of LOIs

司法界对于意向书的质疑

?The use of LOIs is common

意向书很常见

?But English law does not hold them in high regard:

但英国法并不十分看好意向书

“[L]etters of intent are used too often in the construction industry as a way of avoiding, or at least putting off, potentially difficult questions as to the final make-up of the contract and the contract documents. There is no doubt that, sometimes, they are issued in the hope that, once the work is underway, potentially difficult contract issues will somehow resolve themselves. They are plainly not appropriate in such circumstances.

“人们常常在建筑领域使用意向书，以用来防止潜在问题或至少将问题拖延至最终起草合同和合同文件阶段。毫无疑问，人们有时寄希望一旦工作开始进行，潜在的困难将迎刃而解。但很显然，在这种情况下困难未必会自动消失。

I accept the general tenor of [the Claimant's Expert Witness's] evidence, that letters of intent are used unthinkingly in the UK construction industry, and that they can create many more problems than they solve.”

我同意[原告方专家证词]证据的观点，意向书在英国建筑业被普遍采用，但意向书所产生的问题远远大于其解决的问题。”

“This case is another example of the perils of proceeding with work under a letter of intent.”

“本案例是另一个例子，说明了依照意向书开展工作的风险。”

“This is yet another case which relates to a Letter of Intent on a construction project.”

“这也是另一个关于在建筑项目中采用意向书的案例。”

Categories of letter of intent

意向书种类

Legally binding or not legally binding

具法律约束力或不具有法律约束力

“Executory”contracts –reciprocal rights and obligations

“待执行的”合同–相互的权利和义务

“If”or “unilateral”contracts –works are carried out at the contractor’s option

“有条件”或“单方面”合同–工作依照承包人意愿进行

“Limited if”contracts –starting the work is at the contractor’s option, but once he starts he must carry on

“有限制条件”合同–由承包人决定开始工作，但一旦开始工作，就必须继续下去

When to use a letter of intent

何时使用意向书

Judicial comment: LOI can be appropriate where:

司法界意见：在下列情况下可使用意向书：

?The contract workscope and the price are either agreed or there is a clear mechanism in place for such workscope and price to be agreed

已约定合同的工作范围和价格或已明确如何确定该等工作范围和价格的方式?The contract terms are (or very likely to be) agreed

合同条款已（或很可能）达成

?The start and finish dates and contract programme are broadly agreed 开始和完成的日期以及合同方案已大致约定

?There are good reasons to start work in advance of the finalisation of the contract documents

有充足理由在合同文件最终完备之前开始工作

?Both parties are keen that work should start promptly

双方希望立即开始工作

In practice, the commonest such circumstances are perhaps:

实践中，最常见的情况可能是：

?To commence off-site pre-construction activities

开始非现场的建设前工作

?To place orders for long lead-time plant and equipment 就交货时间较长的设备设施下达订单

?To start early site activities such as remediation/enabling works 开始早期现场活动，如修整/启动工作

Getting the parties right

获得当事方权利

?LOIs are often issued on behalf of the employer by the Engineer/Architect/Quantity Surveyor etc

意向书通常由工程师/建筑师/施工技术员代表雇主发出?Does that person have authority to bind the employer as the employer’s agent?

上述人员是否被授权作为雇主的代理人从而使意向书对雇主有约束力

?It is better not to have this uncertainty

最好确定授权问题

?The parties to the LOI should be the employer and the contractor

意向书当事方应为雇主和承包人

?This is all the more so where the LOI is intended to be a legally binding (but interim) contract

当旨在使意向书成为具备法律约束力（但为临时性）的合同的情况下，情况更是如此

Scope

范围

?It is tempting to adopt informal drafting in an LOI due to its intended temporary effect

由于只是临时文件，意向书通常采用非正式的方式起草

?However, vague descriptions of scope such as “mobilise to site”are best avoided

但应清楚描述工作范围，最好避免约定“视现场情况而定”

?Of course, both sides will make the most of any ambiguity in the scope

当然，对于工作范围的任何模糊描述，双方应尽量利用

?On the essential terms such as scope, it is best to draft an LOI just as carefully as one would draft any other contract

对于必要条款，如工作范围，在起草意向书时应像起草任何正式合同时一样谨慎

Price

价格

?Most LOIs will contain a maximum price

多数意向书都会约定最高价

?What then happens if the contractor carries out work beyond that price and/or if the cap is reached before the parties are ready to enter into the full contract?

若承包人进行的工作超过最高价和/或在双方准备达成最后文件前已达到最高价，该如何处理呢？

?We need to distinguish here between “if”contracts and “limited if”contracts

我们需区分“有条件”合同和“有限制条件”合同

?“If”contracts: Mowlem plc v Stena Line Ports Limited[2004] EWHC 2206 (TCC)

“有条件”合同：Mowlem plc诉Stena Line Ports Limited一案

–Assuming the contractor has done what he was required to do within the cap, the contractor can simply stop work and leave site

假定承包人在最高价范围内按要求完成工作，承包人可停止工作，并离开工地–If the LOI obliges the contractor to complete specified works within the cap, then he must do so and will be in breach if he does not

若意向书规定承包人有义务在最高价范围内完成具体指定工作，则其必须完成该项

工作，否则就构成违约

–No “quantum meruit”where the contract governs payment

当合同约定付款的，则不存在“合理金额”

–Contractors should beware of walking off site except under very clear “if”contract 除非依照约定清楚的“有条件”合同，否则承包人应当谨慎对待离场

?“Limited if”contracts: AC Controls Limited v BBC[2002] EWHC 3132 (TCC)

“有限制条件”合同：AC Controls Limited诉BBC一案

–Contractor was obliged to continue with the works unless the BBC terminated the LOI. The BBC did not terminate the LOI

除非BBC终止意向书，否则承包人有义务继续工作。BBC未终止意向书–The cap on payment only applied where the BBC determined it was “not possible”

to enter into the contract (and so did not apply where the BBC simply decided to

engage another contractor)

只有当BBC确定其签署合同“不可能”的情况下，才适用有关最高付款额的规定（当

BBC只是决定雇用其他承包人，则不应适用有关最高付款额的规定）–Hence the contractor was entitled to payment over the cap

因此，承包人有权要求获得超过最高付款额的付款

?Thus each case turns on the facts and the wording of the LOI. For contractors the distinction between “if”and “limited if”is important.

因此，每种情况下均取决于事实以及意向书的措辞。“有条件”合同和“有限制条件”合同的区分对于承包人而言至关重要。

Quantum meruit and LOI period

合理金额和意向书期限

?The biggest fear for an employer is to have to pay the contractor a “quantum meruit”–a fair sum rather than a sum calculated in accordance with any contract

雇主最大的顾虑就是向承包人支付“合理金额”–为公正的金额而非依照任何合同计算的金额

?ERDC Group Ltd v Brunel University[2006] EWHC 687 (TCC)

ERDC Group Ltd诉Brunel University一案

–The LOI had expired and work continued without a contract –quantum meruit

意向书已到期，工作继续，但未签署合同–合理金额

–Court held there are no prescriptive rules as to how to determine a quantum meruit

法院认为，对于如何计算合理金额无法定规则

–Because there was no contract, there could be no breach of contract by the contractor for defective works. As a result, the employer could not contractually or by set off reduce the amount due to the contractor to take account of the cost of remedying defects

由于未签署合同，承包人不会因为任何有缺陷的工作而构成违约责任。

因此，雇主不得以修补缺陷所发生的费用为由依照合同或通过抵扣方式减少应向承包人支付的款项金额

–The employer could “perhaps”reduce the amount by saying he had received no or a reduced benefit from the works

雇主通过声称其承包人进行的工作未能使其获益或所获利益打折扣，雇主“也许”可能减少付款金额

–The sum due might depend on whether the contractor was willing to put the work right

应付金额有时取决于承包人是否愿意补救缺陷

–The uncertainties in this case highlight the dangers for both parties of a quantum meruit situation. Certainty is preferable. The employer should not have let the contractor carry on work without a contract in place

该案例的不确定性突出了双方在合理金额情况下的风险。最好确定合

同。雇主不应让承包人在未签署合同的情况下继续工作。

Extent to which main contract terms apply to LOI 主合同条款如何适用于意向书

RTS Flexible Systems Ltd v Molkerei Alois Muller GmbH & Co KG[2009] EWCA Civ

26

RTS Flexible Systems Ltd诉Molkerei Alois Muller GmbH & Co KG一案

?The parties entered into an LOI while negotiating a contract on the MF/1

standard form

双方签署意向书，同时就MF/1标准格式的合同进行磋商

?The LOI said that the contractual terms were not to be agreed until contract

signature

意向书约定，合同条款未约定，除非签署合同

?The Court of Appeal found that there was no contract and that MF/1 terms did

not apply

上诉法院查明，双方未签署合同，MF/1条款不适用

?Thus the contractor did not benefit from the exclusions/limitations of liability in

MF/1. Equally, the employer could not enforce obligations in the MF/1 terms

因此，承包人不得受益于MF/1条款中的排他/限制责任。相应的，雇主不可要求执

行MF/1条款中的义务

?The court admitted that this was an unsatisfactory result but saw no basis on which to conclude otherwise

法院承认这个案件结果不令人满意，但亦无依据作出其他决定

Diamond Build Limited v Clapham Park Homes Limited[2008] EWHC 1439 Diamond Build Limited诉Clapham Park Homes Limited一案

?The parties entered into an LOI and then omitted to enter into the main contract 双方签署意向书，之后未签署主合同

?The employer then terminated the contractor’s employment under the LOI 雇主之后终止意向书项下对承包人的雇佣关系

?The court found that the employer was entitled to do so, without following the termination provisions in the (agreed) form of contract

法院查明，雇主有权利这么做，而无需在之后以合同方式约定终止条款

What can we derive from the cases?

这些案例的启示

?Fixed period LOIs are a big risk for employers, who will not want the contractor to carry on working and then be entitled to quantum meruit

确定意向书期限对于雇主而言非常危险，雇主不希望承包人继续工作，则承包人有权获得合理金额的付款

?Parties should be clear whether they intend LOIs to be legally binding at all

当事方应当明确其是否希望意向书对各方产生法律约束力

?Assuming they do, they should include the essential terms (perhaps by reference to the draft contract)

假定其希望意向书产生法律约束力的，则其应当在意向书中约定实质性条款（可通过引用合同草案）

?Parties should be clear as to whether the LOI is intended to operate as an executory, “if”or “limited if”contract

当事方应当明确意向书是否作为待执行，“有条件”或“有限制条件”合同

?LOIs may be of temporary effect but still need to be drafted carefully

意向书可只具有临时效力，但仍应谨慎起草

?Parties should not simply let a project “drift”and allow the LOI to replace the main contract. To do so is risky for both parties

当事方不应对项目“放任自由”并让意向书代替主合同。如此作对双方而言均存在很大风险

?Appropriate dispute resolution clauses are required in contractual LOIs just as in any other contract

需在意向书中约定适当的争议解决条款，这与任何其他合同一样

?Once the LOI comes to an end and the construction contract is entered into, the works performed and money paid under the LOI should simply “fold into”the main construction contract

一旦意向书终止并签署建筑合同，在意向书项下所进行之工作和支付之款项应当直接“接入”主建筑合同