交通工程学院 在线开放课程 Online Open Course of School of Transportation Engineering-1737989560988

交通工程学院在线开放课程

OnlineOpenCourseofSchoolofTransportationEngineering《工程项目管理》

EngineeringProjectManagement江苏建筑职业技术学院交通工程学院

SchoolofTransportationEngineering

JiangsuVocationalandTechnicalCollegeofArchitecture

主讲人：靳会武

Speaker:JinHuiwu建设工程索赔Constructionprojectclaim

【核心知识点】[Coreknowledgepoints]索赔的分类Classificationofclaims索赔成立的条件Conditionsfortheestablishmentofclaims一、索赔的起因（Causesofclaim）索赔可能由以下一个或几个方面的原因引起:(1)合同对方违约,不履行或未能正确履行合同义务与责任。(2)合同错误,如合同条文不全、错误、矛盾等,设计图纸、技术规范错误等。(3)合同变更。(4)工程环境变化,包括法律、物价和自然条件的变化等。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,如恶劣气候条件、地震、洪水、战争状态等。(5)Forcemajeurefactors,suchasbadweatherconditions,earthquakes,floods,war,etc.二、索赔的分类（Classificationofclaims）1.按索赔有关当事人分类（Classificationbyclaimant）(1)承包人与发包人之间的索赔。(1)Theclaimbetweenthecontractorandtheemployer.(2)承包人与分包人之间的索赔。(2)Claimbetweencontractorandsubcontractor.(3)承包人或发包人与供货人之间的索赔。(3)Claimsbetweenthecontractorortheemployerandthesupplier.(4)承包人或发包人与保险人之间的索赔。(4)Claimsbetweenthecontractorortheemployerandtheinsurer.2.按照索赔目的和要求分类（Classificationbypurposeandclaim）(1)工期索赔,一般指承包人向业主或者分包人向承包人要求延长工期。(2)费用索赔,即要求补偿经济损失,调整合同价格。(1)Thetimelimitclaim,generallyreferstothecontractortotheownerorsubcontractortothecontractortorequestanextensionofthetimelimit.(2)Costclaim,thatis,claimingcompensationforeconomiclossesandadjustingthecontractprice.3.接照索赔事件的性质分类（Classificationofthenatureoftheclaimincident）(1)工程延期索赔(2)工程加速索赔,(3)工程变更索赔(1)Projectdelayclaim(2)Engineeringacceleratedclaims.(3)Engineeringchangeclaim(4)工程终止索赔,由于发包人违约或发生了不可抗力事件等造成工程非正常终止,承包人和分包人因蒙受经济损失而提出索赔;如果由于承包人或者分包人的原因导致工程非正常终止,或者合同无法继续履行,发包人可以对此提出索赔。(5)不可预见的外部障碍或条件索赔。(4)Claimforterminationoftheproject.Duetothecontractor'sbreachofcontractortheoccurrenceofforcemajeureevents,theprojectisabnormallyterminated,andthecontractorandsubcontractorclaimforeconomiclosses.Iftheprojectisterminatedabnormallyduetothecontractororsubcontractor,orthecontractcannotbecontinued,thecontractorcanmakeaclaimforit.(5)Unforeseenexternalobstaclesorconditionalclaims.(6)不可抗力事件引起的索赔,在新版FIDIC施工合同条件中,不可抗力通常是满足以下条件的特殊事件或情况:一方无法控制的、该方在签订合同前不能对之进行合理防备的、发生后该方不能合理避免或克服的、不主要归因于他方的。不可抗力事件发生导致承包人损失,通常应该由发包人承担,即承包人可以据此提出索赔。(7)其他索赔,如货币贬值、汇率变化、物价变化、政策法令变化等原因引起的索赔。(6)Claimscausedbyforcemajeureevents.InthenewversionofFIDICconstructioncontractconditions,forcemajeureisusuallyaspecialeventorsituationthatmeetsthefollowingconditions:onepartycannotcontrol,thepartycannotreasonablypreventitbeforesigningthecontract,thepartycannotreasonablyavoidorovercomeaftertheoccurrence,andisnotmainlyattributedtotheotherparty.Thelossofthecontractorcausedbytheforcemajeureeventshouldusuallybebornebythecontractor,thatis,thecontractorcanmakeaclaimaccordingly.(7)Otherclaims,suchascurrencydepreciation,exchangeratechanges,pricechanges,policychangesandothercausesofclaims.4.承包商向业主的索赔在建设工程实践中,比较多的是承包商向业主提出索赔。常见的建设工程施工索赔如下。1)因合同文件引起的索赔(1)有关合同文件的组成问题引起的索赔。(2)关于合同文件有效性引起的索赔。(3)因图纸或工程量表中的错误而引起的索赔。4.Contractor'sclaimagainsttheownerInthepracticeofconstructionengineering,moreisthecontractortotheownerclaims.Commonconstructionclaimsareasfollows.1)Claimscausedbycontractdocuments(1)Claimsarisingfromissuesrelatingtothecompositionofcontractdocuments.(2)Claimsarisingfromthevalidityofcontractdocuments.(3)Claimsarisingfromerrorsindrawingsorschedules.2)有关工程施工的索赔（Claimsforconstructionwork）(1)地质条件变化引起的索赔。(5)工程质量要求的变更引起的索赔。(2)工程中人为障碍引起的索赔。(6)指定分包商违约或延误造成的索赔。(3)增减工程量的索赔。(7)其他有关施工的索赔。(4)各种额外的试验和检查费用的偿付。(1)Claimsarisingfromchangesingeologicalconditions.(2)Claimscausedbyman-madeobstaclesintheproject.(3)Claimforincreaseordecreaseofengineeringquantity.(4)Thereimbursementofvariousadditionaltestandinspectioncosts.(5)Claimsarisingfromchangesinengineeringqualityrequirements.(6)Claimsforbreachofcontractordelaybythedesignatedsubcontractor.(7)Otherclaimsrelatedtoconstruction.3)关于价款方面的索赔(1)关于价格调整方面的索赔。(2)关于货币贬值和严重经济失调导致的索赔。(3)拖延支付工程款的索赔。4)关于工期的索赔(1)关于延长工期的索赔。(2)由于延误产生损失的索赔。(3)赶工费用的索赔。3)Claimsaboutprice(1)Claimsaboutpriceadjustment.(2)Claimsarisingfromcurrencydepreciationandseriouseconomicimbalances.(3)Claimfordelayinpaymentoftheproject.4)Claimsfortheduration(1)Claimforextensionoftime.(2)Claimsforlossesduetodelays.(3)Claimforrushingcosts.5)特殊风险和人力不可抗拒灾害的索赔5)Claimsforspecialrisksandhumanirresistibledisasters(1)特殊风险的索赔（Claimsforspecialrisks）特殊风险一般是指战争、敌对行动、入侵行为、核污染及冲击波破坏、叛乱、革命、暴动、军事政变或篡权、内战等。Specialrisksgenerallyrefertowar,hostilities,invasions,nuclearpollutionandshockwavedamage,rebellion,revolution,riots,militarycoupsorusurpations,civilwars,etc.(2)人力不可抗拒灾害的索赔（Humanirresistibledisasterclaims）人力不可抗拒灾害主要是指自然灾害,由这类灾害造成的损失应向承保的保险公司索赔在许多合同中承包人以业主和承包人共同的名义投保工程一切险,这种索赔可同业主一起进行。Manpowerirresistibledisastersmainlyrefertonaturaldisasters.Thelossescausedbysuchdisastersshouldbeclaimedtotheinsuredinsurancecompany.Inmanycontracts,thecontractorinsuresallrisksoftheprojectinthenameoftheownerandthecontractor.Suchclaimscanbemadetogetherwiththeowner.6)工程暂停、终止合同的索赔(1)施工过程中,工程师有权下令暂停全部或任何部分工程,只要这种暂停命令并非承包人违约或其他意外风险造成的,承包人不仅可以得到要求工期延长的权利,而且可以就其停工损失获得合理的额外费用补偿。(2)终止合同和暂停工程的意义是不同的。有些是由于意外风险造成的损害十分严重因而终止合同,也有些是由“错误”引起的合同终止,例如业主认为承包人不能履约而终止合同,甚至从工地驱逐该承包人。6)Claimforsuspensionorterminationofcontract(1)Inthecourseofconstruction,theEngineershallhavepowertoorderthesuspensionofalloranypartoftheWorkssolongasthesuspensionorderandIfnotcausedbythecontractor'sbreachofcontractorotherunexpectedrisks,thecontractorcannotonlyobtaintherighttorequesttheextensionoftheconstructionperiod,butalsoobtainreasonableadditionalcostcompensationforthelossofitsshutdown.(2)Thesignificanceofterminatingthecontractandsuspendingtheprojectisdifferent.Someareterminatedduetotheseriousdamagecausedbyaccidentalrisks,andsomeareterminateddueto'mistakes'.Forexample,theownerbelievesthatthecontractorcannotperformthecontractandterminatethecontract,orevenexpelthecontractorfromthesite.7)财务费用补偿的索赔财务费用的损失要求补偿,是指因各种原因使承包人财务开支增大而导致的贷款利息等财务费用。7)ClaimforfinancialexpensecompensationThelossoffinancialexpensesrequirescompensation,whichreferstothefinancialexpensessuchasloaninterestcausedbytheincreaseofthecontractor'sfinancialexpensesforvariousreasons.5.业主向承包商索赔在承包商未按合同要求实施工程时,除了工程师可向承包商发出批评或警告,要求承包商及时改正外,在许多情况下,工程师可以代表业主根据合同向承包商提出索赔。5.ClaimbyownertocontractorWhenthecontractorfailstoimplementtheprojectasrequiredbythecontract,inadditiontotheengineercanissuecriticismorwarningtothecontractorandrequirethecontractortocorrectitintime,inmanycases,theengineercanclaimthecontractorunderthecontractonbehalfoftheowner.1)索赔费用和利润（Claimcostsandprofits）承包商未按合同要求实施工程,发生下列损害业主权益或违约的情况时,业主可索赔费用和(或)利润:Whenthecontractorfailstocarryouttheprojectasrequiredbythecontract,theownermayclaimthecostand/orprofitinthefollowingcasesofdamagetotheowner'srightsandinterestsorbreachofcontract:(l)工程进度太慢,要求承包商赶工时,可索赔工程师的加班费。(l)Iftheprojectistooslowandthecontractorisrequiredtorushthework,thecontractormayclaimtheengineer'sovertimepay.(2)合同工期已到而工程仍未完工,可索赔误期损害赔偿费。(2)Ifthetimelimitforthecontracthascomeandtheprojecthasnotyetbeencompleted,thecompensationfordamagescausedbydelaymaybeclaimed.(3)质量不满足合同要求,如不按照工程师的指示拆除不合格工程和材料。

不进行返工或不按照工程师的指示在缺陷责任期内修复缺陷,则业主可找另一家公司完成此类工作,并向承包商索赔成本及利润。(4)质量不满足合同要求,工程被拒绝接收,在承包商自费修复后,业主可索赔重新检验费(5)未按合同要求办理保险,业主可前去办理并扣除或索赔相应的费用。(3)thequalitydoesnotmeettherequirementsofthecontract,suchasnotinaccordancewiththeinstructionsofengineerstoremoveunqualifiedprojectsandmaterials.Ifthedefectisnotreworkedorrepairedwithinthedefectliabilityperiodinaccordancewiththeinstructionsoftheengineer,theownermayfindanothercompanytocompletesuchworkandclaimcostsandprofitsfromthecontractor.(4)Qualitydoesnotmeettherequirementsofthecontract,theprojectwasrefusedtoaccept,thecontractorattheirownexpenseafterrepair,theownercanclaimre-inspectionfees.(5)Notinaccordancewiththerequirementsofthecontractforinsurance,theownercangotodealwithanddeductorclaimthecorrespondingcosts.(6)由于合同变更或其他原因造成工程施工的性质、范围或进度计划等方面发生变化,承包商未接合同要求去及时办理保险,由此造成的损失或损害可向承包商索赔。(6)Duetochangesinthenature,scopeorscheduleoftheconstructionprojectduetocontractchangesorotherreasons,thecontractorhasnotreceivedthecontracttorequesttimelyinsurance,andtheresultinglossordamagecanbeclaimedfromthecontractor.(7)未按合同要求采取合理措施,造成运输道路、桥梁等的破坏。

(7)Failuretotakereasonablemeasuresasrequiredbythecontract,resultingindamagetotransportroads,bridges,etc.(8)未按合同条件要求,无故不向分包商付款。(8)Notaccordingtothecontractconditions,fornoreasonnottopaythesubcontractor.(9)严重违背合同(如工程进度一拖再拖,质量经常不合格等),工程师一再警告而没有明显改进时,业主可没收履约保函。(9)Theownermayconfiscatetheperformanceguaranteewhenthecontractisseriouslyviolated(suchastheprojectprogressisdelayed,thequalityisoftenunqualified,etc.)andtheengineerrepeatedlywarnswithoutobviousimprovement.2)索赔工期FIDIC于1999年出版的新版合同条件《施工合同条件》(“新红皮书”)规定,当承包商的工程质量不能满足要求,即某项缺陷或损害使工程、区段或某项主要生产设备不能按原定目的使用时,业主有权延长工程或某一区段的缺陷通知期。2)ClaimperiodTheneweditionoftheConditionsofContract'ConditionsofContractforConstruction'('NewRedBook'),publishedin1999,stipulatesthattheownerhastherighttoextendthenoticeperiodfordefectsinaprojectorasectionwhenthecontractor'sprojectqualitydoesnotmeettherequirements,thatis,whenadefectordamagepreventstheproject,sectionormajorproductionequipmentfrombeingusedfortheintendedpurpose.三、反索赔的概念反索赔就是反驳、反击或者防止对方提出的索赔,不让对方索赔成功或者全部成功。一般认为,索赔是双向的,业主和承包商都可以向对方提出索赔要求,任何一方也都可以对对方提出的索赔要求进行反驳和反击,这种反击和反驳就是反索赔。3.ConceptofcounterclaimCounterclaimistorefute,counterattackorpreventtheclaimmadebytheotherparty,soasnottomaketheclaimsuccessfulorallsuccessful.Itisgenerallybelievedthattheclaimistwo-way.Boththeownerandthecontractorcanfileaclaimtotheotherparty,andeitherpartycanalsorefuteandcountertheclaimmadebytheotherparty.在工程实践过程中,当合同一方向对方提出索赔要求,合同另一方对对方的索赔要求和索赔文件可能会有三种选择:Inthecourseofengineeringpractice,whenonepartyofthecontractclaimsagainsttheotherparty,theotherpartyofthecontractclaimsagainsttheotherpartyandtheclaimdocumentsmayhavethreeoptions:(1)全部认可对方的索赔,包括索赔之数额。(1)Allclaims,includingtheamountclaimed,areaccepted.(2)全部否定对方的索赔。(2)completelydenytheotherparty'sclaim.(3)部分否定对方的索赔。(3)Partiallynegatetheotherparty'sclaim.针对一方的索赔要求,反索赔的一方应以事实为依据,以合同为准绳,反驳和拒绝对方的不合理要求或索赔要求中的不合理部分。Inresponsetooneparty'sclaim,thecounter-claimingpartyshouldrefuteandrejectthecontractbasedonthefacts.Unreasonableclaimorunreasonablepartofclaim.四、索赔成立的条件（Conditionsfortheestablishmentoftheclaim）1.构成施工项目索赔条件的事件1.Eventsthatconstitutetheclaimconditionsofconstructionprojects索赔事件,又称为干扰事件,是指那些使实际情况与合同规定不符合,最终引起工期和费用变化的各类事件。在工程实施过程中,要不断地跟踪、监督索赔事件,就可以不断地发现索赔机会。通常,承包商可以提起索赔的事件有：Claimevents,alsoknownasinterferenceevents,refertothoseeventsthatmaketheactualsituationinconsistentwiththecontractprovisions,andultimatelycausechangesinthedurationandcost.Intheprocessofprojectimplementation,itisnecessarytocontinuouslytrackandsupervisetheclaimevents,soastocontinuouslyfindtheclaimopportunities.Usually,theeventsthatthecontractorcanfileaclaimare:(1)发包人违反合同给承包人造成时间、费用的损失。(1)Contractorbreachofcontracttothecontractorcausedthelossoftimeandcost.(2)因工程变更(含设计变更、发包人提出的工程变更、监理工程师提出的工程变更,以及承包人提出并经监理工程师批准的变更)造成的时间、费用损矢。(2)Timeandcostlosscausedbyengineeringchanges(includingdesignchanges,engineeringchangesproposedbytheemployer,engineeringchangesproposedbythesupervisionengineer,andchangesproposedbythecontractorandapprovedbythesupervisionengineer).(3)由于监理工程师对合同文件的歧义解释、技术资料不确切,或由于不可抗力导致施工条件的改变,造成了时间、费用的增加。(3)Duetothesupervisionengineer'sambiguousinterpretationofcontractdocuments,inaccuratetechnicaldata,orchangesinconstructionconditionsduetoforcemajeure,thetimeandcostincrease.(4)发包人提出提前完成项目或缩短工期而造成承