外文翻譯--工程索賠相關問題理論

1、<p><b>　　附錄A 英文原文</b></p><p>　　The engineering claims related theory</p><p>　　[The summary]</p><p>　　In this paper, the engineering claims related theory must rese

2、arch and engineering claims to the owner and the contractor classification and meaning between the claim to understand. </p><p>　　1.1 The engineering claims and the meaning and the claim classification </

3、p><p>　　The claim was in the project contract performance of the contract, one party because the other party fails to fulfill the obligations prescribed by the contract suffered losses, to the other party claim

4、 behavior. In practice, a claim is a two-way street, the construction unit and the construction units may claim. Usually, claim "means the contractor (construction unit) in the implementation of the contract, the ca

5、uses of non-self engineering extension of time, cost and increase demand for the co</p><p>　　Can claim from different angles, and according to the different standards of the following categories: </p>

6、<p>　　(1)The cause of the classification </p><p>　　Such as preparation for construction, process control, quality control and cost control and management of causes of claim for compensation, this class

7、ification can explicitly pointed out that each and every one of the source of the claim, make the owner and engineers to audit analysis. </p><p>　　(2) The purpose of the claim, according to classification &l

8、t;/p><p>　　It can be divided into the time limit and expenses claims claim. Time limit is to ask the owner claims extended construction time, make the original provisions of the project completion date postpone

9、 so as to avoid the breach of the fine occurred; Cost is to ask the owner and the contractor claim the compensation fees loss and adjust the contract value. </p><p>　　(3) According to claim the basis of clas

10、sification </p><p>　　It can be divided into the stipulations in the contract, the contract of the claim. The stipulations in the contract is to point to claim the claim involving content in the documents to

11、find the basis, the owner or the contractor can then put forward the claim. This claim is not so easy to dispute; The contract is the claim to the content of the claim involving in the documents without dedicated word na

12、rrative, but can according to the contract terms of some meaning, deduced that a certain resul</p><p>　　(4) According to claim the relevant parties of classification </p><p>　　It can be divided

13、into the contractor with the owner of the between claim; The contractor with points between the contractor's claim; The contractor with suppliers claims; The contractor to the insurance company, shipping company'

14、s claim etc. </p><p>　　(5) According to the nature of the business claim classification </p><p>　　It can be divided into the engineering claims and business claim for compensation. The engineeri

15、ng claims is referred in the construction of the project construction conditions or construction technology, construction scope change claim for compensation, commonly occur high frequency, claim expenses; Business claim

16、 is refers to the implementation of the project process materials purchase, transportation, storage, etc of activities create claim matters. </p><p>　　(6) According to claim the processing means of classific

17、ation </p><p>　　It can be divided into single claims and always claim for compensation. Single claims about a claim is to take the approach, that is, according to each claim after in the items, and submit th

18、em to the notice of a claim, prepare claim for single solve pay, not with other claims are mixed with the matters; Always claim, and says the comprehensive claims or package claim, that is, the whole project (or a projec

19、t) that happens in a number of claims matters, comprehensive together for the compensatio</p><p>　　1.2 The owner claims to the contractor </p><p>　　The claim was two-sided, generally called clai

20、m to the owner's claim to the contractors, the claim to the contractor's claim to the owner.</p><p>　　1.2.1 Claim reason </p><p>　　The contractor's default have different situation,

21、sometimes is all or part of the contract, some time is not to execute the contract. For the contractor to breach of proof by supervision engineer, the owner according to contract the corresponding provisions of the treat

22、ment method of punishment for the contractor. </p><p>　　The contractor's breach the following kinds roughly include: </p><p>　　(1) Not submitted for the performance guarantee; </p>&l

23、t;p>　　(2) According to the contract of insurance regulation no; </p><p>　　(3) Because of the contractor's responsibility delaying; </p><p>　　(4) The quality defect, the contractor shall b

24、y supervision engineer instruction repair defects at outside, still need to the owner of the quality defects caused loss of responsibility; </p><p>　　(5) the contractor to unqualified material doesn't pe

25、rform supervision engineer instruction to out of the site, and the quality accidents didn't appear to repair or unable to repair, the owner must send someone or hire others to do the above, and pay the expenses shoul

26、d be made by the contractor burden; </p><p>　　(6) The contractor that the design of the design drawing responsibility; </p><p>　　(7) The contractor bankruptcy or serious breach of contract has t

27、o terminate a contract; </p><p>　　(8) Some other reasons. </p><p>　　1.2.2 Handling claims </p><p>　　Appear afore-mentioned incident, general can take the following several methods c

28、ompensation owner loss: </p><p>　　(1) Payable to the contractor from the middle of the progress payment deduct inside. </p><p>　　(2) Retention deduct from within. Retention is owner to prevent a

29、ccidents because of the event and suffer loss of a security measures, and can be used in the responsibility for the contractor caused not qualified engineering cost rework, solve the other party with contractors proposed

30、 and the contractor the refusal of payment funds, such as the contractor responsibility for damage highway facilities, transportation department to owner claim. Of course for the first with the contractor shall nego</

31、p><p>　　(3) From within the performance guarantee deduction or confiscate the performance guarantee. </p><p>　　(4) If the contractor a serious breach of contract, brings owners even take the above

32、all kinds of measures was enough to compensate for losses, also can withhold the contractor in the materials, equipment, temporary facilities as compensation property, or by the law as a contractor a debt and demand comp

33、ensation. </p><p>　　1.3 The contractor to owner claims </p><p>　　The contractor for a long time at low profits and high risk under the environment of the projects, must always have the face of m

34、arket and risk of fully prepared for that. In terms of the FIDIC contract claim many, contractor will often quoted claim generally in these terms, including 12 of more important, it is the foundation of the claim, the ce

35、ntral meaning is: in the execution of the contract, the contractor had made up standard do not meet can claim for compensation. </p><p>　　1.3.1 Caused by the contract documents claim </p><p>　　O

36、nce signed the contract, the parties have binding force, the binding legal protection. Contract documents including range is very wide, the most is the contract conditions, technical specifications, etc. Generally speaki

37、ng, drawings and specifications of the problems occurred less, but also can appear each other do not agree with the original drawings or supplement not consistent, as well as to the technical specifications of the differ

38、ent explanations, in the case of the claim, about the contr</p><p>　　The contents of the claim of the conditions of the contract in the following two aspects: </p><p>　　(1) The composition of th

39、e contract documents from a claim for compensation. The contract is in the bidding by both parties through consultation after modification of the final determination, if change already will bid for contractor and the own

40、er or before and after the tender committee out document clarified the contract and sign the documents to clear, he should explain the contract before officially signed all kinds of documents are no longer effective asso

41、ciate. If you ignore this announcem</p><p>　　(2) The contract defects. The contract for contract performance defects file does not rigorous even contradictory and contract of missing or mistake. This include

42、s not only the commerce clause of the defects, including technical specifications and drawings of the defects. To this, the supervision engineer shall have the right to make explanation, but if the contractor execution e

43、xplains caused by increased costs or extension, is entitled to therefore put forward a claim for compensation. </p><p>　　1.3.2 Because accident risk and unforeseeable causes of claims</p><p>　　D

44、uring the execution of the contract, if the accident risk and unforeseeable factors and the loss, he shall have the right to demand compensation to the owners. Accident risk including force majeure loss caused by natural

45、 disasters and special risk events are two content. </p><p>　　(1)Human is irresistible in natural disasters. Natural disasters economic loss this to insurance company claims for compensation. In addition, th

46、e contractor also has the power to owner requirements be postponed to the time limited, the claim is also put forward period. </p><p>　　(2) Special risks. The contract conditions shall be stipulated in shall

47、 be undertaken by the owner of the responsibility of 5 war risk occurs of the consequences of many is serious, the contractor in addition to wrong the resulting personal casualty and property loss is responsible for outs

48、ide, and instead should get any has completed the permanent works and materials payment, reasonable profit, interruption losses and construction all repair expenses and reconstruction expenses. </p><p>　　1.3

49、.3 Unfavorable natural conditions </p><p>　　Unfavorable natural conditions is to point to even experienced contractor in the proposal stage use the information provided in the bidding documents and through t

50、he investigation also cannot reasonably be expected to adverse construction conditions. If encountered in the construction of the rich groundwater, geological fault, natural cave, subsidence, affect change the original c

51、onstruction method, reduce the construction speed or increase the quantity, the contractor may request period and the</p><p>　　2.3.4 Encountered in the construction of the underground cultural relics or st

52、ructures </p><p>　　As long as it is encountered in the construction of the contract documents not stated in the underground cultural relics or structures, supervision engineer should press with engineering c

53、hange, the contractor shall have the right to make a time limit and expenses claims. </p><p>　　2.3.5 Design drawings or mistakes in the work scale </p><p>　　To the contractor in the tender, dr

54、awings or work scale sometimes will inevitably be wrongs, and if due to correct these mistakes and make the increased cost or extension, the contractor shall have the right to lodge a claim against you. </p><p

55、>　　This kind of mistake includes: </p><p>　　(1)Design drawings and the requirements of the work scale discrepant. Engineering quotation is calculated according to work scale, if construction according to

56、the drawing will lead to higher costs. The contractor in found this problem should be timely after please supervision engineer confirmation </p><p>　　(2)The site conditions and the requirement of design plan

57、 large difference, and greatly increase the workload. If the workload increases a lot, contractor shall also carry off, and accordingly to owner to put forward the claim. </p><p>　　(3)Pure mistakes on work.

58、Even if is the fixed price contract type, if the workload is larger in and out, affect the whole construction plan, contractor shall also win compensation. </p><p><b>　　附錄B 中文譯文</b></p>&

59、lt;p>　　工程索賠相關問題理論</p><p><b>　　［摘要］</b></p><p>　　本文對工程索賠相關理論作了一定研究，并對工程索賠含義分類及業(yè)主和承包商之間索賠進行了理解。 </p><p>　　1.1 工程索賠與反索賠含義及分類</p><p>　　索賠是在工程承包合同履行中，當事人一方由于

60、另一方未履行合同所規(guī)定的義務而遭受損失時，向另一方提出索賠要求的行為。在實際工作中，索賠是雙向的，建設單位和施工單位都可能提出索賠要求。通常情況下，索賠是指承包商（施工單位）在合同實施過程中，對非自身原因造成的工程延期、費用增加而要求業(yè)主給予補償損失的一種權(quán)利要求。而業(yè)主（建設單位）對于屬于施工單位應承擔責任造成的，且實際發(fā)生了損失，向施工單位要求賠償，稱為反索賠。索賠的性質(zhì)屬于經(jīng)濟補償行為，而不是懲罰。索賠在一般情況下都可以通過協(xié)商方

61、式友好解決，若雙方無法達成妥協(xié)時，爭議可通過仲裁解決。</p><p>　　索賠可以從不同角度、按不同的標準進行以下分類：</p><p>　　(1)按索賠發(fā)生的原因分類</p><p>　　如施工準備、進度控制、質(zhì)量控制、費用控制及管理等原因引起的索賠，這種分類能明確指出每一項索賠的根源所在，使業(yè)主和工程師便于審核分析。</p><p>　

62、　(2)按索賠的目的分類</p><p>　　可分為工期索賠和費用索賠。工期索賠就是要求業(yè)主延長施工時間，使原規(guī)定的工程竣工日期順延，從而避免了違約罰金的發(fā)生；費用索賠就是要求業(yè)主或承包商雙方補償費用損失，進而調(diào)整合同價款。</p><p>　　(3)按索賠的依據(jù)分類</p><p>　　可分為合同規(guī)定的索賠、非合同規(guī)定的索賠。合同規(guī)定的索賠是指索賠涉及的內(nèi)容在合同

63、文件中能夠找到依據(jù)，業(yè)主或承包商可以據(jù)此提出索賠要求。這種索賠不太容易發(fā)生爭議；非合同規(guī)定的索賠是指索賠涉及的內(nèi)容在合同文件中沒有專門的文字敘述，但可以根據(jù)該合同某些條款的含義，推論出一定的索賠權(quán)。</p><p>　　(4)按索賠的有關當事人分類</p><p>　　可分為承包商同業(yè)主之間的索賠；總承包商同分承包商之間的索賠；承包商同供應商之間的索賠；承包商向保險公司、運輸公司的索賠等。

64、</p><p>　　(5)按索賠的業(yè)務性質(zhì)分類</p><p>　　可分為工程索賠和商務索賠。工程索賠是指涉及工程項目建設中施工條件或施工技術、施工范圍等變化引起的索賠，一般發(fā)生頻率高，索賠費用大；商務索賠是指實施工程項目過程中的物資采購、運輸、保管等方面活動引起的索賠事項。</p><p>　　(6)按索賠的處理方式分類</p><p>

65、　　可分為單項索賠和總索賠。單項索賠就是采取一事要索賠的方式，即按每一件索賠事項發(fā)生后，報送索賠通知書，編報索賠報告，要求單項解決支付，不可與其他的索賠事項混在一起；總索賠，又叫綜合索賠或一攬子索賠，即對整個工程（或某項工程）中所發(fā)生的數(shù)起索賠事項，綜合在一起進行索賠。</p><p>　　1.2 業(yè)主向承包商索賠</p><p>　　索賠是雙方面的，一般索賠是指承包商向業(yè)主的索賠。而反

66、索賠是指業(yè)主向承包商的索賠。 </p><p>　　1.2.1 索賠理由</p><p>　　承包商的違約有各種不同的情況，有時是全部或部分地不履行合同，有時是沒有按期履行合同。對承包商的違約行為經(jīng)監(jiān)理工程師證明后，業(yè)主都可以按照合同相應規(guī)定的處理辦法對承包商進行處罰。</p><p>　　承包商的違約行為大致可包括以下幾種： </p><p&

67、gt;　　(1)沒有如約遞交履約保函； </p><p>　　(2)沒有按合同中的規(guī)定保險； </p><p>　　(3)由于承包商的責任延誤工期； </p><p>　　(4)質(zhì)量缺陷，承包商除應按監(jiān)理工程師指示自費修補缺陷外，還須對質(zhì)量缺陷給業(yè)主造成的損失承擔責任； </p><p>　　(5)承包商對不合格材料沒有執(zhí)行監(jiān)理工程師指示按期

68、運出工地，以及出現(xiàn)的質(zhì)量事故沒能按期修復或無力修復，業(yè)主必須自己派人或雇請他人完成上述工作，而支付的費用應由承包商負擔； </p><p>　　(6)承包商所設計圖紙的設計責任； </p><p>　　(7)承包商破產(chǎn)或嚴重違約不得不終止合同； </p><p>　　(8)其他一些原因。</p><p>　　1.2.2 索賠處理方式<

69、/p><p>　　出現(xiàn)上述事件后，一般可采取下列幾種方法補償業(yè)主損失。 </p><p>　　(1)從應付給承包商的中期進度付款內(nèi)扣除。 </p><p>　　(2)從滯留金內(nèi)扣除。滯留金是業(yè)主為防止因不測事件而遭受損失的一種保障措施，可用于因承包商責任造成不合格工程的返工費用，解決與承包商有關的其他當事人提出的而承包商拒付的款項，如因承包商責任損壞公路設施，交通部門向

70、業(yè)主提出的索賠要求。當然用于這種情況時首先應與承包商協(xié)商并得到他的同意。滯留金比履約保函用起來更為方便，履約保函一般只能在承包商嚴重違反合同時才能使用。 </p><p>　　(3)從履約保函內(nèi)扣除或沒收履約保函。 </p><p>　　(4)如果承包商嚴重違反合同，給業(yè)主帶來了即使采取上述各種措施也不足以補償?shù)膿p失，還可以扣留承包商在現(xiàn)場的材料、設備、臨時設施等財產(chǎn)作為補償，或者按法律規(guī)

71、定作為承包商的一種債務而要求賠償。</p><p>　　1.3 承包商向業(yè)主索賠</p><p>　　承包商長期處在低利潤和高風險的環(huán)境下運作項目，必須時刻有面對市場和風險的充分的心理準備。在FIDIC合同里索賠的條款很多，承包商一般在索賠時會經(jīng)常引用這些條款，其中第12款更為重要，可以說它是索賠的基礎，其中心意思是：在合同的執(zhí)行過程中，承包商面臨編寫標時不可遇見的情況才可以索賠。<

72、;/p><p>　　1.3.1 合同文件引起的索賠</p><p>　　合同一旦簽訂，對雙方當事人都有約束力，這種約束力受法律保護。合同文件包括的范圍很寬，最主要的是合同條件、技術規(guī)范說明等。一般來說，圖紙和規(guī)范方面發(fā)生的問題要少些，但也會出現(xiàn)彼此不一致或補充與原圖紙不一致，以及對技術規(guī)范的不同解釋等問題，在索賠案例中，關于合同條件、工程量和價格表方面出現(xiàn)的問題較多。</p>

73、<p>　　有關合同條件的索賠內(nèi)容常見于如下2個方面： </p><p>　　(1)合同文件的組成問題引起索賠。合同是在投標后通過雙方協(xié)商修改最后確定的，如果修改時已將投標前后承包商與業(yè)主或招標委員會的來往函件澄清后寫入合同補遺文件并簽字，就應當說明合同正式簽字以前的各種來往文件均不再有效。如果忽略了這個聲明，當信件內(nèi)容與合同內(nèi)容發(fā)生矛盾時，就容易引起雙方爭執(zhí)而導致索賠。</p><

74、p>　　(2)合同缺陷。合同缺陷表現(xiàn)為合同文件不嚴謹甚至矛盾，以及合同中的遺漏或錯誤。這不僅包括商務條款中的缺陷，也包括技術規(guī)范和圖紙中的缺陷。對此，監(jiān)理工程師有權(quán)做出解釋，但如果承包商執(zhí)行解釋后引起成本增加或工期延長，則有權(quán)為此提出索賠。</p><p>　　1.3.2 因意外風險和不可預見因素引起的索賠</p><p>　　合同執(zhí)行過程中，如果發(fā)生意外風險和不可預見因素而使承包

75、商蒙受損失時，他有權(quán)向業(yè)主要求給予補償 。意外風險包括人力不可抗拒的自然災害所造成的損失和特殊風險事件兩項內(nèi)容。 </p><p>　　(1)人力不可抗拒的自然災害。自然災害的經(jīng)濟損失該向保險公司索賠。除此之外，承包商還有權(quán)向業(yè)主要求順延工期，也就是提出工期索賠要求。 </p><p>　　(2)特殊風險。合同條件中規(guī)定應由業(yè)主承擔責任的戰(zhàn)爭爆發(fā)等5種風險發(fā)生時造成的后果可能是嚴重的，承包

76、商除了不對由此產(chǎn)生的人身傷亡和財產(chǎn)損失負責外，相反還應得到任何已完成永久工程及材料的付款、合理利潤、中斷施工的損失以及一切修復費用和重建費用。</p><p>　　1.3.3 不利自然條件</p><p>　　不利自然條件是指即使有經(jīng)驗的承包商在投標階段利用招標文件中提供的資料和通過現(xiàn)場勘察也無法合理預見到的不利施工條件。如施工中遇到豐富地下水、地質(zhì)斷層、天然溶洞、沉陷等，影響到改變原定

77、的施工方法、降低施工速度或增大工程量，承包商可要求工期和費用的索賠。</p><p>　　1.3.4 施工中遇到地下文物或構(gòu)筑物</p><p>　　只要是施工中遇到合同文件中未注明的地下文物或構(gòu)筑物時，監(jiān)理工程師應按變更工程處理，承包商有權(quán)提出工期和費用的索賠。</p><p>　　1.3.5 設計圖紙或工作量表中的錯誤</p><p>

78、;　　交給承包商的標書中，圖紙或工作量表有時難免會出現(xiàn)錯誤，如果由于改正這些錯誤而使費用增加或工期延長，承包商有權(quán)提出索賠。這種錯誤包括： </p><p>　　(1)設計圖紙與工作量表中的要求不符。工程報價是按工作量表計算的，如果按圖紙施工就會導致成本增加。承包商在發(fā)現(xiàn)這個問題后應及時請監(jiān)理工程師確認</p><p>　　(2)現(xiàn)場條件與設計圖紙要求相差較大，大幅度地增加了工作量。如果這