交通工程學院在線開放課程

OnlineOpenCourseofSchoolofTransportationEngineering《工程項目管理》

EngineeringProjectManagement江蘇建筑職業(yè)技術(shù)學院交通工程學院

SchoolofTransportationEngineering

JiangsuVocationalandTechnicalCollegeofArchitecture

主講人：靳會武

Speaker:JinHuiwu建設(shè)工程索賠Constructionprojectclaim

【核心知識點】[Coreknowledgepoints]索賠的分類Classificationofclaims索賠成立的條件Conditionsfortheestablishmentofclaims一、索賠的起因（Causesofclaim）索賠可能由以下一個或幾個方面的原因引起:(1)合同對方違約,不履行或未能正確履行合同義務(wù)與責任。(2)合同錯誤,如合同條文不全、錯誤、矛盾等,設(shè)計圖紙、技術(shù)規(guī)范錯誤等。(3)合同變更。(4)工程環(huán)境變化,包括法律、物價和自然條件的變化等。Theclaimmaybecausedbyoneormoreofthefollowingreasons:(1)Theotherpartybreachesthecontract,failstoperformorfailstoperformthecontractualobligationsandresponsibilitiescorrectly.(2)contracterrors,suchasincompletecontractprovisions,errors,contradictions,designdrawings,technicalspecifications,etc.(3)Contractchange.(4)Engineeringenvironmentchanges,includingchangesinlaw,pricesandnaturalconditions.(5)不可抗力因素,如惡劣氣候條件、地震、洪水、戰(zhàn)爭狀態(tài)等。(5)Forcemajeurefactors,suchasbadweatherconditions,earthquakes,floods,war,etc.二、索賠的分類（Classificationofclaims）1.按索賠有關(guān)當事人分類（Classificationbyclaimant）(1)承包人與發(fā)包人之間的索賠。(1)Theclaimbetweenthecontractorandtheemployer.(2)承包人與分包人之間的索賠。(2)Claimbetweencontractorandsubcontractor.(3)承包人或發(fā)包人與供貨人之間的索賠。(3)Claimsbetweenthecontractorortheemployerandthesupplier.(4)承包人或發(fā)包人與保險人之間的索賠。(4)Claimsbetweenthecontractorortheemployerandtheinsurer.2.按照索賠目的和要求分類（Classificationbypurposeandclaim）(1)工期索賠,一般指承包人向業(yè)主或者分包人向承包人要求延長工期。(2)費用索賠,即要求補償經(jīng)濟損失,調(diào)整合同價格。(1)Thetimelimitclaim,generallyreferstothecontractortotheownerorsubcontractortothecontractortorequestanextensionofthetimelimit.(2)Costclaim,thatis,claimingcompensationforeconomiclossesandadjustingthecontractprice.3.接照索賠事件的性質(zhì)分類（Classificationofthenatureoftheclaimincident）(1)工程延期索賠(2)工程加速索賠,(3)工程變更索賠(1)Projectdelayclaim(2)Engineeringacceleratedclaims.(3)Engineeringchangeclaim(4)工程終止索賠,由于發(fā)包人違約或發(fā)生了不可抗力事件等造成工程非正常終止,承包人和分包人因蒙受經(jīng)濟損失而提出索賠;如果由于承包人或者分包人的原因?qū)е鹿こ谭钦＝K止,或者合同無法繼續(xù)履行,發(fā)包人可以對此提出索賠。(5)不可預見的外部障礙或條件索賠。(4)Claimforterminationoftheproject.Duetothecontractor'sbreachofcontractortheoccurrenceofforcemajeureevents,theprojectisabnormallyterminated,andthecontractorandsubcontractorclaimforeconomiclosses.Iftheprojectisterminatedabnormallyduetothecontractororsubcontractor,orthecontractcannotbecontinued,thecontractorcanmakeaclaimforit.(5)Unforeseenexternalobstaclesorconditionalclaims.(6)不可抗力事件引起的索賠,在新版FIDIC施工合同條件中,不可抗力通常是滿足以下條件的特殊事件或情況:一方無法控制的、該方在簽訂合同前不能對之進行合理防備的、發(fā)生后該方不能合理避免或克服的、不主要歸因于他方的。不可抗力事件發(fā)生導致承包人損失,通常應該由發(fā)包人承擔,即承包人可以據(jù)此提出索賠。(7)其他索賠,如貨幣貶值、匯率變化、物價變化、政策法令變化等原因引起的索賠。(6)Claimscausedbyforcemajeureevents.InthenewversionofFIDICconstructioncontractconditions,forcemajeureisusuallyaspecialeventorsituationthatmeetsthefollowingconditions:onepartycannotcontrol,thepartycannotreasonablypreventitbeforesigningthecontract,thepartycannotreasonablyavoidorovercomeaftertheoccurrence,andisnotmainlyattributedtotheotherparty.Thelossofthecontractorcausedbytheforcemajeureeventshouldusuallybebornebythecontractor,thatis,thecontractorcanmakeaclaimaccordingly.(7)Otherclaims,suchascurrencydepreciation,exchangeratechanges,pricechanges,policychangesandothercausesofclaims.4.承包商向業(yè)主的索賠在建設(shè)工程實踐中,比較多的是承包商向業(yè)主提出索賠。常見的建設(shè)工程施工索賠如下。1)因合同文件引起的索賠(1)有關(guān)合同文件的組成問題引起的索賠。(2)關(guān)于合同文件有效性引起的索賠。(3)因圖紙或工程量表中的錯誤而引起的索賠。4.Contractor'sclaimagainsttheownerInthepracticeofconstructionengineering,moreisthecontractortotheownerclaims.Commonconstructionclaimsareasfollows.1)Claimscausedbycontractdocuments(1)Claimsarisingfromissuesrelatingtothecompositionofcontractdocuments.(2)Claimsarisingfromthevalidityofcontractdocuments.(3)Claimsarisingfromerrorsindrawingsorschedules.2)有關(guān)工程施工的索賠（Claimsforconstructionwork）(1)地質(zhì)條件變化引起的索賠。(5)工程質(zhì)量要求的變更引起的索賠。(2)工程中人為障礙引起的索賠。(6)指定分包商違約或延誤造成的索賠。(3)增減工程量的索賠。(7)其他有關(guān)施工的索賠。(4)各種額外的試驗和檢查費用的償付。(1)Claimsarisingfromchangesingeologicalconditions.(2)Claimscausedbyman-madeobstaclesintheproject.(3)Claimforincreaseordecreaseofengineeringquantity.(4)Thereimbursementofvariousadditionaltestandinspectioncosts.(5)Claimsarisingfromchangesinengineeringqualityrequirements.(6)Claimsforbreachofcontractordelaybythedesignatedsubcontractor.(7)Otherclaimsrelatedtoconstruction.3)關(guān)于價款方面的索賠(1)關(guān)于價格調(diào)整方面的索賠。(2)關(guān)于貨幣貶值和嚴重經(jīng)濟失調(diào)導致的索賠。(3)拖延支付工程款的索賠。4)關(guān)于工期的索賠(1)關(guān)于延長工期的索賠。(2)由于延誤產(chǎn)生損失的索賠。(3)趕工費用的索賠。3)Claimsaboutprice(1)Claimsaboutpriceadjustment.(2)Claimsarisingfromcurrencydepreciationandseriouseconomicimbalances.(3)Claimfordelayinpaymentoftheproject.4)Claimsfortheduration(1)Claimforextensionoftime.(2)Claimsforlossesduetodelays.(3)Claimforrushingcosts.5)特殊風險和人力不可抗拒災害的索賠5)Claimsforspecialrisksandhumanirresistibledisasters(1)特殊風險的索賠（Claimsforspecialrisks）特殊風險一般是指戰(zhàn)爭、敵對行動、入侵行為、核污染及沖擊波破壞、叛亂、革命、暴動、軍事政變或篡權(quán)、內(nèi)戰(zhàn)等。Specialrisksgenerallyrefertowar,hostilities,invasions,nuclearpollutionandshockwavedamage,rebellion,revolution,riots,militarycoupsorusurpations,civilwars,etc.(2)人力不可抗拒災害的索賠（Humanirresistibledisasterclaims）人力不可抗拒災害主要是指自然災害,由這類災害造成的損失應向承保的保險公司索賠在許多合同中承包人以業(yè)主和承包人共同的名義投保工程一切險,這種索賠可同業(yè)主一起進行。Manpowerirresistibledisastersmainlyrefertonaturaldisasters.Thelossescausedbysuchdisastersshouldbeclaimedtotheinsuredinsurancecompany.Inmanycontracts,thecontractorinsuresallrisksoftheprojectinthenameoftheownerandthecontractor.Suchclaimscanbemadetogetherwiththeowner.6)工程暫停、終止合同的索賠(1)施工過程中,工程師有權(quán)下令暫停全部或任何部分工程,只要這種暫停命令并非承包人違約或其他意外風險造成的,承包人不僅可以得到要求工期延長的權(quán)利,而且可以就其停工損失獲得合理的額外費用補償。(2)終止合同和暫停工程的意義是不同的。有些是由于意外風險造成的損害十分嚴重因而終止合同,也有些是由“錯誤”引起的合同終止,例如業(yè)主認為承包人不能履約而終止合同,甚至從工地驅(qū)逐該承包人。6)Claimforsuspensionorterminationofcontract(1)Inthecourseofconstruction,theEngineershallhavepowertoorderthesuspensionofalloranypartoftheWorkssolongasthesuspensionorderandIfnotcausedbythecontractor'sbreachofcontractorotherunexpectedrisks,thecontractorcannotonlyobtaintherighttorequesttheextensionoftheconstructionperiod,butalsoobtainreasonableadditionalcostcompensationforthelossofitsshutdown.(2)Thesignificanceofterminatingthecontractandsuspendingtheprojectisdifferent.Someareterminatedduetotheseriousdamagecausedbyaccidentalrisks,andsomeareterminateddueto'mistakes'.Forexample,theownerbelievesthatthecontractorcannotperformthecontractandterminatethecontract,orevenexpelthecontractorfromthesite.7)財務(wù)費用補償?shù)乃髻r財務(wù)費用的損失要求補償,是指因各種原因使承包人財務(wù)開支增大而導致的貸款利息等財務(wù)費用。7)ClaimforfinancialexpensecompensationThelossoffinancialexpensesrequirescompensation,whichreferstothefinancialexpensessuchasloaninterestcausedbytheincreaseofthecontractor'sfinancialexpensesforvariousreasons.5.業(yè)主向承包商索賠在承包商未按合同要求實施工程時,除了工程師可向承包商發(fā)出批評或警告,要求承包商及時改正外,在許多情況下,工程師可以代表業(yè)主根據(jù)合同向承包商提出索賠。5.ClaimbyownertocontractorWhenthecontractorfailstoimplementtheprojectasrequiredbythecontract,inadditiontotheengineercanissuecriticismorwarningtothecontractorandrequirethecontractortocorrectitintime,inmanycases,theengineercanclaimthecontractorunderthecontractonbehalfoftheowner.1)索賠費用和利潤（Claimcostsandprofits）承包商未按合同要求實施工程,發(fā)生下列損害業(yè)主權(quán)益或違約的情況時,業(yè)主可索賠費用和(或)利潤:Whenthecontractorfailstocarryouttheprojectasrequiredbythecontract,theownermayclaimthecostand/orprofitinthefollowingcasesofdamagetotheowner'srightsandinterestsorbreachofcontract:(l)工程進度太慢,要求承包商趕工時,可索賠工程師的加班費。(l)Iftheprojectistooslowandthecontractorisrequiredtorushthework,thecontractormayclaimtheengineer'sovertimepay.(2)合同工期已到而工程仍未完工,可索賠誤期損害賠償費。(2)Ifthetimelimitforthecontracthascomeandtheprojecthasnotyetbeencompleted,thecompensationfordamagescausedbydelaymaybeclaimed.(3)質(zhì)量不滿足合同要求,如不按照工程師的指示拆除不合格工程和材料。

不進行返工或不按照工程師的指示在缺陷責任期內(nèi)修復缺陷,則業(yè)主可找另一家公司完成此類工作,并向承包商索賠成本及利潤。(4)質(zhì)量不滿足合同要求,工程被拒絕接收,在承包商自費修復后,業(yè)主可索賠重新檢驗費(5)未按合同要求辦理保險,業(yè)主可前去辦理并扣除或索賠相應的費用。(3)thequalitydoesnotmeettherequirementsofthecontract,suchasnotinaccordancewiththeinstructionsofengineerstoremoveunqualifiedprojectsandmaterials.Ifthedefectisnotreworkedorrepairedwithinthedefectliabilityperiodinaccordancewiththeinstructionsoftheengineer,theownermayfindanothercompanytocompletesuchworkandclaimcostsandprofitsfromthecontractor.(4)Qualitydoesnotmeettherequirementsofthecontract,theprojectwasrefusedtoaccept,thecontractorattheirownexpenseafterrepair,theownercanclaimre-inspectionfees.(5)Notinaccordancewiththerequirementsofthecontractforinsurance,theownercangotodealwithanddeductorclaimthecorrespondingcosts.(6)由于合同變更或其他原因造成工程施工的性質(zhì)、范圍或進度計劃等方面發(fā)生變化,承包商未接合同要求去及時辦理保險,由此造成的損失或損害可向承包商索賠。(6)Duetochangesinthenature,scopeorscheduleoftheconstructionprojectduetocontractchangesorotherreasons,thecontractorhasnotreceivedthecontracttorequesttimelyinsurance,andtheresultinglossordamagecanbeclaimedfromthecontractor.(7)未按合同要求采取合理措施,造成運輸?shù)缆?、橋梁等的破壞?/p>

(7)Failuretotakereasonablemeasuresasrequiredbythecontract,resultingindamagetotransportroads,bridges,etc.(8)未按合同條件要求,無故不向分包商付款。(8)Notaccordingtothecontractconditions,fornoreasonnottopaythesubcontractor.(9)嚴重違背合同(如工程進度一拖再拖,質(zhì)量經(jīng)常不合格等),工程師一再警告而沒有明顯改進時,業(yè)主可沒收履約保函。(9)Theownermayconfiscatetheperformanceguaranteewhenthecontractisseriouslyviolated(suchastheprojectprogressisdelayed,thequalityisoftenunqualified,etc.)andtheengineerrepeatedlywarnswithoutobviousimprovement.2)索賠工期FIDIC于1999年出版的新版合同條件《施工合同條件》(“新紅皮書”)規(guī)定,當承包商的工程質(zhì)量不能滿足要求,即某項缺陷或損害使工程、區(qū)段或某項主要生產(chǎn)設(shè)備不能按原定目的使用時,業(yè)主有權(quán)延長工程或某一區(qū)段的缺陷通知期。2)ClaimperiodTheneweditionoftheConditionsofContract'ConditionsofContractforConstruction'('NewRedBook'),publishedin1999,stipulatesthattheownerhastherighttoextendthenoticeperiodfordefectsinaprojectorasectionwhenthecontractor'sprojectqualitydoesnotmeettherequirements,thatis,whenadefectordamagepreventstheproject,sectionormajorproductionequipmentfrombeingusedfortheintendedpurpose.三、反索賠的概念反索賠就是反駁、反擊或者防止對方提出的索賠,不讓對方索賠成功或者全部成功。一般認為,索賠是雙向的,業(yè)主和承包商都可以向?qū)Ψ教岢鏊髻r要求,任何一方也都可以對對方提出的索賠要求進行反駁和反擊,這種反擊和反駁就是反索賠。3.ConceptofcounterclaimCounterclaimistorefute,counterattackorpreventtheclaimmadebytheotherparty,soasnottomaketheclaimsuccessfulorallsuccessful.Itisgenerallybelievedthattheclaimistwo-way.Boththeownerandthecontractorcanfileaclaimtotheotherparty,andeitherpartycanalsorefuteandcountertheclaimmadebytheotherparty.在工程實踐過程中,當合同一方向?qū)Ψ教岢鏊髻r要求,合同另一方對對方的索賠要求和索賠文件可能會有三種選擇:Inthecourseofengineeringpractice,whenonepartyofthecontractclaimsagainsttheotherparty,theotherpartyofthecontractclaimsagainsttheotherpartyandtheclaimdocumentsmayhavethreeoptions:(1)全部認可對方的索賠,包括索賠之數(shù)額。(1)Allclaims,includingtheamountclaimed,areaccepted.(2)全部否定對方的索賠。(2)completelydenytheotherparty'sclaim.(3)部分否定對方的索賠。(3)Partiallynegatetheotherparty'sclaim.針對一方的索賠要求,反索賠的一方應以事實為依據(jù),以合同為準繩,反駁和拒絕對方的不合理要求或索賠要求中的不合理部分。Inresponsetooneparty'sclaim,thecounter-claimingpartyshouldrefuteandrejectthecontractbasedonthefacts.Unreasonableclaimorunreasonablepartofclaim.四、索賠成立的條件（Conditionsfortheestablishmentoftheclaim）1.構(gòu)成施工項目索賠條件的事件1.Eventsthatconstitutetheclaimconditionsofconstructionprojects索賠事件,又稱為干擾事件,是指那些使實際情況與合同規(guī)定不符合,最終引起工期和費用變化的各類事件。在工程實施過程中,要不斷地跟蹤、監(jiān)督索賠事件,就可以不斷地發(fā)現(xiàn)索賠機會。通常,承包商可以提起索賠的事件有：Claimevents,alsoknownasinterferenceevents,refertothoseeventsthatmaketheactualsituationinconsistentwiththecontractprovisions,andultimatelycausechangesinthedurationandcost.Intheprocessofprojectimplementation,itisnecessarytocontinuouslytrackandsupervisetheclaimevents,soastocontinuouslyfindtheclaimopportunities.Usually,theeventsthatthecontractorcanfileaclaimare:(1)發(fā)包人違反合同給承包人造成時間、費用的損失。(1)Contractorbreachofcontracttothecontractorcausedthelossoftimeandcost.(2)因工程變更(含設(shè)計變更、發(fā)包人提出的工程變更、監(jiān)理工程師提出的工程變更,以及承包人提出并經(jīng)監(jiān)理工程師批準的變更)造成的時間、費用損矢。(2)Timeandcostlosscausedbyengineeringchanges(includingdesignchanges,engineeringchangesproposedbytheemployer,engineeringchangesproposedbythesupervisionengineer,andchangesproposedbythecontractorandapprovedbythesupervisionengineer).(3)由于監(jiān)理工程師對合同文件的歧義解釋、技術(shù)資料不確切,或由于不可抗力導致施工條件的改變,造成了時間、費用的增加。(3)Duetothesupervisionengineer'sambiguousinterpretationofcontractdocuments,inaccuratetechnicaldata,orchangesinconstructionconditionsduetoforcemajeure,thetimeandcostincrease.(4)發(fā)包人提出提前完成項目或縮短工期而造成承