工程索赔公共课

工程索赔公共课一、概念二、基本特征三、处理索赔的原则索赔的概念索赔是在工程承包合同履行过程中，根据法律、合同规定及惯例，当事人一方由于另一方未履行合同所规定的义务而遭受损失时，向另一方当事人提出给予赔偿或补偿要求的行为。索赔的特征（1）索赔是双向的，不仅承包人可以向发包人索赔，发包人同样也可以向承包人索赔（2）只有实际发生了经济损失或权利损害，一方才能向对方索赔。（3）索赔是一种未经对方确认的单方行为，其对对方尚未形成约束力，这种索赔要求能否得到最终实现，必须要通过确认（如双方协商、调解、仲裁或诉讼）后才能定夺。处理索赔的原则1此项索赔是否具有合同依据、索赔理由是否充分、程序是否恰当

具体来说，与合同对照，事件已造成了承包人施工成本的额外支出或总工期延误；造成费用增加或工期延误的原因，按合同约定不属于承包人应承担的责任；承包人按合同规定的程序提交了索赔意向通知和索赔报告，以上是索赔得以成立的先决条件。2在索赔事件初发时承包商是否采取了控制措施

按国际惯例，凡遇偶然事故发生影响工程施工时，承包商有责任采取力所能及的一切措施，防止事态扩大，尽力挽回损失。如确有事实证明承包商在当时未采取任何措施，业主可拒绝其补偿损失的要求。（3）认真核定索赔工期、款额，肯定其合理的索赔要求，反驳、修正其不合理的要求，使之更加合理、准确。（4）费用索赔以补偿实际损失为原则，在确定赔偿金额时，应遵循下述两个原则：所有赔偿金额都应该是施工单位为旅行合同所必须支出的费用；按此金额赔偿后，应是施工单位恢复到未发生事件前的财务状况。即施工单位不致因赔偿事件而遭受任何损失，但也不得因赔偿事件而获得额外收益。处理索赔的原则TherearesomeitemsabouttheclaimofcontractortoproprietorinFIDIC1999.Welistthemonnextpages.theclaimofcontractortoproprietorinFIDIC1999copyright@BentheclaimofcontractortoproprietorinFIDIC199920.1IftheContractorconsidershimselftobeentitledtoanyextensionoftheTimeforCompletionand/oranyadditionalpayment,underanyClauseoftheseConditionsorotherwiseinconnectionwiththeContract,theContractorshallgivenoticetotheEngineer,describingtheeventorcircumstancegivingrisetotheclaim.Thenoticeshallbegivenassoonaspracticable,andnotlaterthan28daysaftertheContractorbecameaware,orshouldhavebecomeaware,oftheeventorcircumstance.copyright@Ben1.3Approvals,certificates,consentsanddeterminationsshallnotbeunreasonablywithheldordelayed.1.8IfaPartybecomesawareofanerrorordefectofatechnicalnatureinadocumentwhichwaspreparedforuseinexecutingtheWorks,thePartyshallpromptlygivenoticetotheotherPartyofsucherrorordefect.

theclaimofcontractortoproprietorinFIDIC1999copyright@Ben1.9IftheContractorsuffersdelayand/orincursCostasaresultofafailureoftheEngineertoissuethenotifieddrawingorinstructionwithinatimewhichisreasonableandisspecifiedinthenoticewithsupportingdetails.2.1IftheContractorsuffersdelayand/orincursCostasaresultofafailurebytheEmployertogiveanysuchrightorpossessionwithinsuchtime.theclaimofcontractortoproprietorinFIDIC19994.1TheContractorshallnototherwiseberesponsibleforthedesignorspecificationofthePermanentWorks.4.7TheContractorshallsetouttheWorksinrelationtooriginalpoints,linesandlevelsofreferencespecifiedintheContractornotifiedbytheEngineer.TheEmployershallberesponsibleforanyerrorsinthesespecifiedornotifieditemsofreference.theclaimofcontractortoproprietorinFIDIC1999copyright@Ben5.2TheContractorshallnotbeunderanyobligationtoemployanominatedSubcontractoragainstwhomtheContractorraisesreasonableobjectionbynoticetotheEngineerassoonaspracticable,withsupportingparticulars.Anobjectionshallbedeemedreasonableifitarisesfrom(amongotherthings)anyofthefollowingmatters,unlesstheEmployeragreestoindemnifytheContractoragainstandfromtheconsequencesofthematter.theclaimofcontractortoproprietorinFIDIC1999copyright@Ben7.3TheContractorshallgivenoticetotheEngineerwheneveranyworkisreadyandbeforeitiscoveredup,putoutofsight,orpackagedforstorageortransport.TheEngineershalltheneithercarryouttheexamination,inspection,measurementortestingwithoutunreasonabledelay,orpromptlygivenoticetotheContractorthattheEngineerdoesnotrequiretodoso.theclaimofcontractortoproprietorinFIDIC1999copyright@Ben8.4Anydelay,impedimentorpreventioncausedbyorattributabletotheEmployer,theEmployer'sPersonnel,ortheEmployer'sothercontractorsontheSite.8.9IftheContractorsuffersdelayand/orincursCostfromcomplyingwiththeEngineer’sinstructionsunderSub-Clause8.8[SuspensionofWork]and/orfromresumingthework.theclaimofcontractortoproprietorinFIDIC1999copyright@Ben12.4Whenevertheomissionofanyworkformspart(orall)ofaVariation,thevalueofwhichhasnotbeenagreed,theContractorwillincur(orhasincurred)costwhich,iftheworkhadnotbeenomitted,wouldhavebeendeemedtobecoveredbyasumformingpartoftheAcceptedContractAmount.theclaimofcontractortoproprietorinFIDIC1999copyright@Ben13.3Theproposedchangescausedbythecontractorengineerofincreasedcostsandextension.13.8IfthisSub-Clauseapplies,theamountspayabletotheContractorshallbeadjustedforrisesorfallsinthecostoflabour,GoodsandotherinputstotheWorks,bytheadditionordeductionoftheamountsdeterminedbytheformulaeprescribedinthisSub-Clause.theclaimofcontractortoproprietorinFIDIC1999copyright@Ben14.8IftheContractordoesnotreceivepaymentinaccordancewithSub-Clause14.7[Payment],theContractorshallbeentitledtoreceivefinancingchargescompoundedmonthlyontheamountunpaidduringtheperiodofdelay.17.1TheEmployershallindemnifyandholdharmlesstheContractor,theContractor'sPersonnel,andtheirrespectiveagents,againstandfromallclaims,damages,lossesandexpenses(includinglegalfeesandexpenses).theclaimofcontractortoproprietorinFIDIC1999copyright@Ben19.4IftheContractorispreventedfromperforminganyofhisobligationsundertheContractbyForceMajeureofwhichnoticehasbeengivenandsuffersdelayand/orincursCostbyreasonofsuchForceMajeure.19.7NotwithstandinganyotherprovisionofthisClause,ifanyeventorcircumstanceoutsidethecontroloftheParties(including,butnotlimitedto,ForceMajeure)ariseswhichmakesitimpossibleorunlawfulforeitherorbothPartiestofulfilitsortheircontractualtheclaimofcontractortoproprietorinFIDIC1999copyright@Benobligationsorwhich,underthelawgoverningtheContract,entitlesthePartiestobereleasedfromfurtherperformanceoftheContract.hesumpayablebytheEmployertotheContractorshallbethesameaswouldhavebeenpayableunderSub-Clause19.6[OptionalTermination,PaymentandRelease]iftheContracthadbeenterminatedunderSub-Clause19.6.theclaimofcontractortoproprietorinFIDIC1999copyright@Ben1.8TheEmployershallnotmakeaclaimunderthePerformanceSecurity,exceptforamountstowhichtheEmployerisentitledundertheContractintheeventof:(a) failurebytheContractortoextendthevalidityofthePerformanceSecurityasdescribedintheprecedingparagraph,inwhicheventtheEmployermayclaimthefullamountofthePerformanceSecurity,theclaimofproprietortocontractorinFIDIC1999copyright@Ben(b) failurebytheContractortopaytheEmployeranamountdue,aseitheragreedbytheContractorordeterminedunderSub-Clause2.5[Employer'sClaims]orClause20[Claims,DisputesandArbitration],within42daysafterthisagreementordetermination,(c) failurebytheContractortoremedyadefaultwithin42daysafterreceivingtheEmployer'snoticerequiringthedefaulttoberemedied,ortheclaimofproprietortocontractorinFIDIC1999copyright@Ben(d) circumstanceswhichentitletheEmployertoterminationunderSub-Clause15.2[TerminationbyEmployer],irrespectiveofwhethernoticeofterminationhasbeengiven.TheEmployershallindemnifyandholdtheContractorharmlessagainstandfromalldamages,lossesandexpenses(includinglegalfeesandexpenses)resultingfromaclaimunderthePerformanceSecuritytotheextenttowhichtheEmployerwasnotentitledtomaketheclaim.theclaimofproprietortocontractorinFIDIC1999copyright@Ben4.19TheContractorshall,exceptasstatedbelow,beresponsiblefortheprovisionofallpower,waterandotherserviceshemayrequire.4.20Theappropriatequantitiesandtheamountsdue(atsuchstatedprices)fortheuseofEmployer'sEquipmentshallbeagreedordeterminedbytheEngineerinaccordancewithSub-Clause2.5[Employer'sClaims]andSub-Clause3.5[Determinations].TheContractorshallpaytheseamountstotheEmployer.theclaimofproprietortocontractorinFIDIC1999copyright@Ben7.6IftheContractorfailstocomplywiththeinstruction,theEmployershallbeentitledtoemployandpayotherpersonstocarryoutthework.ExcepttotheextentthattheContractorwouldhavebeenentitledtopaymentforthework,theContractorshallsubjecttoSub-Clause2.5[Employer'sClaims]paytotheEmployerallcostsarisingfromthisfailure.8.7IftheContractorfailstocomplywithSub-Clause8.2[TimeforCompletion],theContractorshallsubjecttoSub-Clause2.5[Employer'sClaims]paydelaydamagestotheEmployerforthisdefaulttheclaimofproprietortocontractorinFIDIC1999copyright@Ben9.4Intheeventofsub-paragraph(c),theContractorshallproceedinaccordancewithallotherobligationsundertheContract.andtheContractPriceshallbereducedbysuchamountasshallbeappropriatetocoverthereducedvaluetotheEmployerasaresultofthisfailure.11.11Ifalltheseitemshavenotbeenremovedwithin28daysaftertheEmployerreceivesacopyofthePerformanceCertificate,theEmployermaysellorotherwisedisposeofanyremainingitems.theclaimofproprietortocontractorinFIDIC1999copyright@BenTheEmployershallbeentitledtobepaidthecostsincurredinconnectionwith,orattributableto,suchsaleordisposalandrestoringtheSite.13.8IftheContractorfailstocompletetheWorkswithintheTimeforCompletion,adjustmentofpricesthereaftershallbemadeusingeither(i)eachindexorpriceapplicableonthedate49dayspriortotheexpiryoftheTimeforCompletionoftheWorks,or(ii)thecurrentindexorprice:whicheverismorefavourabletotheEmployer.theclaimofproprietortocontractorinFIDIC1999copyright@Ben17.5TheContractorshallindemnifyandholdtheEmployerharmlessagainstandfromanyotherclaimwhicharisesoutoforinrelationto(i)themanufacture,use,saleorimportofanyGoods,or(ii)anydesignforwhichtheContractorisresponsible.18.2apartoftheWorkswhichisinadefectiveconditionduetoadefectinitsdesign,materialsorworkmanship(butcovershallincludeanyotherpartswhicharelostordamagedasadirectresultofthisdefectiveconditionandnotasdescribedinsub-paragraphtheclaimofproprietortocontractorinFIDIC1999copyright@Ben建设工程施工合同承包商对业主索赔给予合同补偿条款根据合同约定或与合同有关的其他文件，承包人认为有权得到追加付款和（或）延长工期的，应按以下程序向发包人提出索赔：⑴承包人在知道或应当知道索赔事件发生后28天内，向监理人递交索赔意向通知书，并说明发生索赔事件的事由。承包人未在前述28天内发出索赔意向通知书的，丧失要求追加付款和（或）延长工期的权利；⑵承包人应在发出索赔意向通知书后28天内，向监理人正式递交索赔报告。索赔报告应详细说明索赔理由以及要求追加的付款金额和（或）延长的工期，并附必要的记录和证明材料；⑶索赔事件具有持续影响的，承包人应按合理时间间隔继续递交延续索赔通知，说明持续影响的实际情况和记录，列出累计的追加付款金额和（或）工期延长天数；⑷在索赔事件影响结束后的28天内，承包人应向监理人递交最终索赔报告，说明最终要求索赔的追加付款金额和延长的工期，并附必要的记录和证明材料；承包人按本合同的约定接受了竣工付款证书后，应被认为已无权再提出在工程接收证书颁发前所发生的任何索赔。发包人违约16.1发包人严重违约在履行合同过程中发生下列情况，属发包人严重违约:（1）未能遵守第10条【计量与支付】约定支付工程价款的；（2）根据第5条【工程材料与设备】，提供的主要建筑材料、建筑构配件和设备不符合强制性标准的；（3）不履行合同约定的协助义务的；（4）专用条款中约定的其他严重违约行为16.2发包人违约责任的承担发包人发生第16.1款【发包人严重违约】违约情形，致使承包人无法施工，且在催告的合理期限内仍未履行相应义务，承包人可以通知发包人解除合同。合同解除后，按照第17.2款【因发包人原因导致的合同终止】处理。发包人在合同履行过程中有其它违约情形，承包人可向发包人发出通知，要求发包人采取有效措施纠正违约行为；发包人未能纠正违约行为的，承包人可以决定：（1）降低施工速度或暂停施工，或者（2）根据第18条【索赔】的规定，发出索赔通知书，或者（3）根据第19条【争议的解决】，将该事项作为争议进行解决。7.7.2非承包人原因引起的施工暂停非承包人原因引起的施工暂停，监理人发出暂停施工指示后28天内未向承包人发出复工通知，承包人可向监理人提交书面通知，要求监理人在收到书面通知后14天内，准许已暂停施工但目前已经具备复工条件的部分或全部工程继续施工。如监理人逾期不予批准，则承包人可以通知监理人，将工程受影响的部分视为可取消工作。如暂停施工影响到整个工程，可视为发包人严重违约，应按第16.2款【发包人违约责任的承担】的约定处理。7.3发包人导致的工期延误在履行合同过程中，由于发包人原因遭受工期延误和（或）费用增加，承包人有权按照第18.1款【承包人索赔程序】要求：（1）发包人延长工期；（2）发包人增加费用，并支付合理的利润。需要修订合同进度计划的，按照第7.2款【合同进度计划的修订】约定办理。

5.4材料与工程设备的保管与使用

发包人供应的材料设备，承包人派人参加清点后由承包人妥善保管，发包人支付相应保管费用。发包人未通知承包人清点，承包人不负责材料设备的保管，丢失损坏由发包人负责。发包人供应的材料设备使用前，由承包人负责检验或试验，不合格的不得使用，检验或试验费用由发包人承担。承包人采购的材料设备在使用前，承包人应按工程师的要求进行检验或试验，不合格的不得使用，检验或试验费用由承包人承担。建设工程施工合同业主对承包商索赔给予合同补偿条款7.5逾期竣