《工程造價(jià)管理 第2版》 課件 第七章 建設(shè)項(xiàng)目施工階段的工程造價(jià)管理

Chapter7Projectcostmanagementintheconstructionstage

第七章建設(shè)項(xiàng)目施工階段的工程造價(jià)管理

目錄7.1Overviewofconstructionprojectcostmanagementinconstructionstage建設(shè)項(xiàng)目施工階段造價(jià)管理概述7.2Optimizationofconstructionorganizationdesign

施工組織設(shè)計(jì)的編制優(yōu)化7.3Engineeringchange工程變更7.4Engineeringclaim工程索賠7.5Projectmeasurementandprojectcostmanagement工程計(jì)量與工程價(jià)款管理7.6Preparationofcapitaluseplanandanalysisofinvestmentdeviation資金使用計(jì)劃的編制與投資偏差分析7.1Overviewofconstructionprojectcostmanagementinconstructionstage

建設(shè)項(xiàng)目施工階段造價(jià)管理概述7.1.1Therelationshipbetweenconstructionstageandprojectcost建設(shè)項(xiàng)目施工階段與工程造價(jià)的關(guān)系Theconstructionstageofaconstructionprojectisthestageinwhichconstructionisorganizedinaccordancewiththerequirementsofdesigndocumentsanddrawings.建設(shè)工程項(xiàng)目施工階段是按照設(shè)計(jì)文件、圖紙等要求，具體組織施工建造的階段。Engineeringcostmanagementisthemostcomplex,whichisthekeyanddifficultpointofthetheoryandmethodofengineeringcostdeterminationandcontrol.工程造價(jià)管理最為復(fù)雜，是工程造價(jià)確定與控制理論和方法的重點(diǎn)和難點(diǎn)所在。Thegoaloftheprojectcostcontrolintheconstructionstageistocontroltheprojectcostwithinthecontractpriceorconstructiondrawingbudget,andstrivetoproduceconstructionproductswithgoodqualityandlowcostwithintheprescribedtimelimit.施工階段工程造價(jià)控制的目標(biāo)是把工程造價(jià)控制在承包合同價(jià)或施工圖預(yù)算內(nèi)，并力求在規(guī)定的工期內(nèi)生產(chǎn)出質(zhì)量好、造價(jià)低的建筑產(chǎn)品。7.1.2Workcontentofprojectcostmanagementintheconstructionstage施工階段工程造價(jià)管理的工作內(nèi)容1.Thedeterminationofconstructioncostintheconstructionstageofaconstructionproject建設(shè)項(xiàng)目施工階段工程造價(jià)的確定Accordingtotheactualamountofworkscompletedbythecontractor,basedonthecontractprice,andtakingintoaccountthecostincreasecausedbythepriceincreasefactor,andtakingintoaccounttheengineeringchangesandcoststhataredifficulttopredictinthedesignandactuallyoccurintheconstructionstage,thesettlementpriceoftheprojectshallbereasonablydetermined.按照承包人實(shí)際完成的工程量，以合同價(jià)為基礎(chǔ)，同時(shí)考慮物價(jià)上張因素所引起的造價(jià)的提高，考慮到設(shè)計(jì)中難以預(yù)計(jì)的而在施工階段實(shí)際發(fā)生的工程變更及費(fèi)用，合理確定工程結(jié)算價(jià)款。2.Controlofconstructioncostinconstructionstage建設(shè)項(xiàng)目施工階段工程造價(jià)的控制

Projectfundsshallbeallocatedinstrictaccordancewiththecontract,andengineeringchangesandconstructionclaimsshallbestrictlycontrolled;Strengtheningpriceinformationmanagement嚴(yán)格按合同約定撥付工程款、嚴(yán)格控制工程變更、施工索賠；加強(qiáng)價(jià)格信息管理7.1.3Workingproceduresofprojectcostmanagementattheconstructionstage施工階段工程造價(jià)管理的工作程序業(yè)主造價(jià)工程師設(shè)計(jì)單位施工單位投資目標(biāo)分析論證確定投資目標(biāo)分解投資目標(biāo)編制資金使用計(jì)劃確定資金使用計(jì)劃審核已完工程實(shí)物量是否合理設(shè)計(jì)挖潛修改變更修改施工組織設(shè)計(jì)編制施工組織設(shè)計(jì)否主要技術(shù)方案技術(shù)經(jīng)濟(jì)分析是已完工程實(shí)物量施工審核施工組織設(shè)計(jì)業(yè)主造價(jià)工程師設(shè)計(jì)單位施工單位審核已完工程實(shí)物量已完工程實(shí)物量有無(wú)索賠已完工程結(jié)算表審核已完工程結(jié)算表無(wú)是否合理已完工程結(jié)算是修改已完工程結(jié)算提出索賠文件有審核索賠文件否是否合理去除不合理部分簽證索賠文件實(shí)際投資與計(jì)劃投資比較否是認(rèn)可索賠文件業(yè)主造價(jià)工程師設(shè)計(jì)單位施工單位實(shí)際投資與計(jì)劃投資比較有無(wú)偏差分析投資偏差原因有采取糾偏措施未完工程投資預(yù)測(cè)無(wú)投資目標(biāo)需調(diào)整嗎提出投資目標(biāo)調(diào)整方案確定投資目標(biāo)調(diào)整方案調(diào)審核竣工結(jié)算文件否編制竣工結(jié)算文件業(yè)主造價(jià)工程師設(shè)計(jì)單位施工單位審核竣工結(jié)算文件編制竣工結(jié)算文件是否合理是竣工結(jié)算修改竣工結(jié)算文件否結(jié)束Constructionstagecostcontrolflowchart施工階段造價(jià)控制流程圖Organizationalmeasures組織措施（1）implementationofinvestmentcontrolprojectmanagementteam落實(shí)投資控制項(xiàng)目管理班子（2）preparationofinvestmentcontrolworkplanandflowchartattheconstructionstage編制施工階段投資控制工作計(jì)劃與工作流程圖Economicmeasures經(jīng)濟(jì)措施（1）preparecapitaluseplan,determineanddecomposeinvestmentcontrolobjectives編制資金使用計(jì)劃，確定、分解投資控制目標(biāo)（2）engineeringmeasurement進(jìn)行工程計(jì)量

7.1.4Themeasureofprojectcostcontrolinconstructionstage施工階段工程造價(jià)控制的措施

（3）reviewtheprojectpaymentbillandissuethepaymentcertificate復(fù)核工程付款賬單，簽發(fā)付款證書(shū)（4）investmenttrackingcontrol進(jìn)行投資跟蹤控制（5）negotiateanddeterminetheprojectchangeprice,reviewthecompletionsettlement協(xié)商確定工程變更價(jià)款，審核竣工結(jié)算（6）analyzeandforecasttheinvestmentexpenditureintheconstructionprocess對(duì)工程施工過(guò)程中的投資支出做好分析與預(yù)測(cè)

Technicalmeasures技術(shù)措施（1）strictlycontroldesignchanges嚴(yán)格控制設(shè)計(jì)變更（2）continuetoexplorethepossibilityofsavinginvestmentthroughdesign

繼續(xù)通過(guò)設(shè)計(jì)挖掘節(jié)約投資的可能性（3）reviewtheconstructionorganizationdesigncompiledbythecontractor審核承包商編制的施工組織設(shè)計(jì)Contractmeasures合同措施（1）makeconstructionrecordsandkeepvariousdocumentsanddrawingsforproperhandlingProvideevidenceforclaimsthatcanoccurandparticipateinthesettlementofclaims做好施工記錄，保存各種文件圖紙，為正確處理可能發(fā)生的索賠提供依據(jù)，參與處理索賠事宜（2）participateinthemodificationandsupplementofthecontract,focusingonitsimpactoninvestmentcontrol參與合同修改、補(bǔ)充工作，著重考慮它對(duì)投資控制的影響7.2Optimizationofconstructionorganizationdesign

施工組織設(shè)計(jì)的編制優(yōu)化7.2.1Thecontentandprocedureofconstructionorganizationdesign施工組織設(shè)計(jì)編制的內(nèi)容和程序1.Conceptofconstructionorganizationdesign施工組織設(shè)計(jì)的概念Constructionorganizationdesignisatechnicalandeconomicdocumentpreparedbytheconstructionunitforconstructionpreparationandorganizationofconstruction,andistheinternalplanningofconstructionenterprisemanagementsiteconstruction.施工組織設(shè)計(jì)是由施工單位編制的用以進(jìn)行施工準(zhǔn)備和組織施工的技術(shù)經(jīng)濟(jì)文件，是施工企業(yè)管理現(xiàn)場(chǎng)施工的內(nèi)部規(guī)劃。2.Contentofconstructionorganizationdesign

施工組織設(shè)計(jì)的內(nèi)容

Constructionsitelayout,constructionschemes(i.e.,constructionmethodsandcorrespondingtechnologyorganizationmeasures),constructionprogressplan,technicalmeasuresofsafetyandquality,civilizedconstructionandenvironmentalprotection,themanpower,constructionmachinesandtools,productionequipment,buildingmaterialsandconstructionofwater,electricity,power,transportationdemandandsupplymethodofresources.

施工現(xiàn)場(chǎng)平面布置圖，施工方案(即施工方法及相應(yīng)技術(shù)組織措施)，施工進(jìn)度計(jì)劃，安全和質(zhì)量技術(shù)措施，文明施工和環(huán)境保護(hù)，有關(guān)人力、施工機(jī)具、生產(chǎn)設(shè)備、建筑材料和施工用水、電、動(dòng)力、運(yùn)輸?shù)荣Y源的需求及其供應(yīng)方法。3.Theprocessofconstructionorganizationdesign

施工組織設(shè)計(jì)的程序熟悉、審查施工圖，進(jìn)行調(diào)查研究選擇施工方案和施工方法編制施工平面布置圖計(jì)算工程量編制施工進(jìn)度計(jì)劃編制資源需用量計(jì)劃確定臨時(shí)設(shè)施確定臨時(shí)管線編制施工準(zhǔn)備工作計(jì)劃計(jì)算技術(shù)經(jīng)濟(jì)指標(biāo)審批7.2.2Optimizationpointsofconstructionorganizationdesign

施工組織設(shè)計(jì)的優(yōu)化要點(diǎn)1.Makeadequatepreparationforconstruction

充分做好施工準(zhǔn)備工作2.Arrangeconstructionschedulereasonably

合理安排施工進(jìn)度3.Setupacompetentprojectmanagementorganizationandorganizeprofessionalteamstoworkinline

組建精干的項(xiàng)目管理機(jī)構(gòu)，組織專業(yè)隊(duì)伍流水作業(yè)4.Improvetheutilizationrateofmachinery,reducethecostofmachineryuse

提高機(jī)械的利用率，降低機(jī)械使用費(fèi)用5.Toimproveeconomicbenefitsastheleadingchoiceofconstructiontechnologyandconstructionscheme

以提高經(jīng)濟(jì)效益為主導(dǎo)，選用施工技術(shù)和施工方案6.Ensureconstructionqualityandlowerprojectqualitycost

確保施工質(zhì)量，降低工程質(zhì)量成本工程質(zhì)量成本Qualityassuranceandinspectioncost質(zhì)量保障和檢驗(yàn)成本Costofqualityfailurerecovery質(zhì)量失敗補(bǔ)救成本Engineeringqualityinspectionandappraisalcost工程質(zhì)量檢測(cè)與鑒定成本Engineeringqualitypreventioncost工程質(zhì)量預(yù)防成本Projectqualityproblemcost工程質(zhì)量問(wèn)題成本Engineeringqualitydefectcost工程質(zhì)量缺陷成本7.2.3Methodofconstructionschemeoptimization

施工方案優(yōu)化的方法Qualitativeanalysis定性分析法Multi-indexquantitativeanalysis多指標(biāo)定量分析法Constructionscheduleindicators:constructionperiod,balance,completionrate施工進(jìn)度計(jì)劃指標(biāo)：工期、均衡性、竣工率Constructionmechanizationdegreeindex:mechanizationdegree,mechanicalefficiency,utilizationrate施工機(jī)械化程度指標(biāo)：機(jī)械化程度、機(jī)械效率、利用率Engineeringcostindex:costreductionrate,laborsavingrate,materialsavingrate工程成本指標(biāo)：成本降低率、用工節(jié)約率、材料節(jié)約率Engineeringqualityindex:qualifiedrate,excellentrate,reworklossrate工程質(zhì)量指標(biāo)：合格品率、優(yōu)良品率、返工損失費(fèi)率Constructionsafetyindex:qualifiedrate,excellentrate,reworklossrate施工安全指標(biāo)：合格品率、優(yōu)良品率、返工損失費(fèi)率Valueengineeringanalysis價(jià)值工程分析法7.3Engineeringchange工程變更Conceptofengineeringchange工程變更的概念I(lǐng)ntheprocessofconstruction,thereisasituationthatisinconsistentwiththeexpectedconditionswhenthecontractissigned,andsomeworkcontentswithintheoriginalscopeofconstructioncontractneedtobechanged.施工過(guò)程中出現(xiàn)了與簽訂合同時(shí)的預(yù)計(jì)條件不一致的情況，而需要改變?cè)ㄊ┕こ邪秶鷥?nèi)的某些工作內(nèi)容。7.3.1China'scurrentprojectchangemanagement我國(guó)現(xiàn)行工程變更的管理Scopeandcontentofengineeringchanges工程變更的范圍和內(nèi)容Engineeringchangeincludesquantitychange,engineeringprojectchange,scheduleplanchange,constructionconditionchange,etc.工程變更包括工程量變更、工程項(xiàng)目變更、進(jìn)度計(jì)劃變更、施工條件變更等。Designchangesinclude:changetheelevation,baseline,locationandsizeofrelevantpartsoftheproject;Increaseordecreasetheamountofworkagreedinthecontract;Changingtheconstructiontimeandsequenceoftherelevantworks;Otheradditionalworkrequiredforengineeringchanges.工程變更包括：更改工程有關(guān)部分的高程、基線、位置、尺寸；增減合同中約定的工程量；改變有關(guān)工程的施工時(shí)間和順序；改變合同中任何一項(xiàng)工作的質(zhì)量或其他特性；其他有關(guān)工程變更需要的附加工作。2.Engineeringchangeprocedure

工程變更程序（1）Engineeringchangesasdirectedbysupervisor

監(jiān)理人指示的工程變更（2）Alterationofworksappliedbytheconstructioncontractor

施工承包單位申請(qǐng)的工程變更2.Engineeringchangeprocedure

工程變更程序（1）Engineeringchangesasdirectedbysupervisor

監(jiān)理人指示的工程變更Accordingtotheactualneedsoftheprojectconstructionortheprojectchangesrequiredbytheconstructionunit,thesupervisorcanbefurtherdividedintotwosituations:theprojectchangesdirectlyinstructedandtheprojectchangesdeterminedthroughconsultationwiththeconstructioncontractor.監(jiān)理人根據(jù)工程施工的實(shí)際需要或建設(shè)單位要求實(shí)施的工程變更，可以進(jìn)一步劃分為直接指示的工程變更和通過(guò)與施工承包單位協(xié)商后確定的工程變更兩種情況。Engineeringchangesdirectlydirectedbysupervisor.Theprojectchangesdirectlydirectedbythesupervisorbelongtonecessarychanges,suchastheimprovementofqualitystandardsaccordingtotherequirementsoftheconstructionunit,thedesignmodificationfordesignerrors,thecrossinterferenceincoordinatedconstruction,etc.Atthispoint,itisnotnecessarytoseektheopinionsoftheconstructioncontractor.Aftertheapprovaloftheconstructioncontractor,thesupervisorissuesthemodificationinstructionsandrequeststheconstructioncontractortocompletethemodificationwork.監(jiān)理人直接指示的工程變更。監(jiān)理人直接指示的工程變更屬于必需的變更，如按照建設(shè)單位的要求提高質(zhì)量標(biāo)準(zhǔn)、設(shè)計(jì)錯(cuò)誤需要進(jìn)行的設(shè)計(jì)修改、協(xié)調(diào)施工中的交叉干擾等情況。此時(shí)不需征求施工承包單位意見(jiàn)，監(jiān)理人經(jīng)過(guò)建設(shè)單位同意后發(fā)出變更指示要求施工承包單位完成工程變更工作。Thealterationoftheprojectdeterminedafterconsultationwiththeconstructioncontractor.Suchsituationisapossiblechange,andtheconstructioncontractorafterconsultationtodeterminewhethertoimplementthechange,suchasaddinganewworkoutsidethescopeofthecontract.

與施工承包單位協(xié)商后確定的工程變更。此類情況屬于可能發(fā)生的變更，與施工承包單位協(xié)商后再確定是否實(shí)施變更，如增加承包范圍外的某項(xiàng)新工作等。（2）Alterationofworksappliedbytheconstructioncontractor

施工承包單位申請(qǐng)的工程變更Theprojectalterationproposedbytheconstructioncontractormayinvolvetwotypes:suggestionalterationandrequestalteration.施工承包單位提出的工程變更施工承包單位提出的工程變更可能涉及建議變更和要求變更兩類。1)Changesproposedbytheconstructioncontractor.IftheconstructioncontractorputsforwardsomereasonableSuggestionsonreducingthecontractprice,shorteningtheconstructionperiodorimprovingtheeconomicbenefitsoftheproject,suchasdrawingandtechnicalrequirementsprovidedbytheconstructioncontractor,itshallsubmitthemtotheadjustmentsupervisorinwrittenform.ThesupervisornegotiateswiththeconstructionunitonwhethertoadopttheSuggestionsputforwardbytheconstructioncontractor.Iftheproposalisacceptedandconstitutesachange,thesupervisorshallissuetheengineeringchangeinstructiontotheconstructioncontractor.1)施工承包單位建議的變更。施工承包單位對(duì)建設(shè)單位提供的圖樣、技術(shù)要求等提出了可能降低合同價(jià)格、縮短工期或提高工程經(jīng)濟(jì)效益的合理化建議，均應(yīng)以書(shū)面形式提交給的調(diào)整監(jiān)理人。監(jiān)理人與建設(shè)單位協(xié)商是否采納施工承包單位提出的建議。建議被采納并構(gòu)成變更的，監(jiān)理人向施工承包單位發(fā)出工程變更指示。2)Changesrequiredbytheconstructioncontractor.Theconstructioncontractorreceivesthedrawingsanddocumentssentbythesupervisorinaccordancewiththecontract.Afterinspection,itisdeemedthattherearesomecircumstancesthatbelongtothescopeofchange,suchasimprovingthequalitystandardoftheproject,addingworkcontent,changingthelocationorsizeoftheproject,etc.,andawrittenproposalofchangecanbeputforwardtothesupervisor.Theproposalforchangeshallstatethebasisoftherequestforchangeandshallbeaccompaniedbythenecessarydrawingsandinstructions.2)施工承包單位要求的變更。施工承包單位收到監(jiān)理人按合同約定發(fā)出的圖樣和文件。經(jīng)檢查認(rèn)為其中存在屬于變更范圍的情形，如提高工程質(zhì)量標(biāo)準(zhǔn)、增加工作內(nèi)容、改變工程的位置或尺寸等，可向監(jiān)理人提出書(shū)面變更建議。變更建議應(yīng)闡明要求變更的依據(jù)，井附必要的圖樣和說(shuō)明。3.Determinationofchangeprice

變更價(jià)款的確定1）Procedurefordeterminingcontractpriceafterengineeringchange

工程變更后合同價(jià)款的確定程序Thetimelimitis14days時(shí)間限制14天Thepartyreceivingthereportofthechangedprojectpriceshall,within14daysfromthedateofreceipt,confirmorputforwardconsultationopinions.Ifitfailstoconfirmorputforwardcoordinationopinionswithin14days,thechangedprojectpriceshallbedeemedtohavebeenconfirmed.收到變更工程價(jià)款報(bào)告一方，應(yīng)在收到之日起14天內(nèi)予以確認(rèn)或提出協(xié)商意見(jiàn)，14天未確認(rèn)也未提出協(xié)調(diào)意見(jiàn)，視為變更款已確認(rèn)。Confirmthattheincremental(subtracted)engineeringchangepaymentshallbemadeatthesametimeastheprojectprogresspayment.確認(rèn)增（減）的工程變更價(jià)款與工程進(jìn)度款同期支付。2）Determinationmethodofcontractpriceafterengineeringchange

工程變更后合同價(jià)款的確定方法Ifthereisalreadyapriceinthecontractforthemodifiedproject,thecontractpriceshallbechangedaccordingtothepricealreadyinthecontract;1）已標(biāo)價(jià)工程量清單中有適用于變更工程項(xiàng)目的，且工程變更導(dǎo)致的該清單項(xiàng)目的工作量變化不足15%時(shí)，采用該項(xiàng)目的單價(jià)。Ifthereisonlyapricesimilartothemodifiedprojectinthecontract,thecontractpricemaybemodifiedwithreferencetothesimilarprice;2）已標(biāo)價(jià)工程量清單中沒(méi)有適用但有類似于變更工程的價(jià)格，可以參照類似價(jià)格變更合同價(jià)款；Ifthereisnoapplicableorsimilarpriceforthemodifiedprojectinthecontract,thecontractorortheemployershallproposeanappropriatepriceforthemodifiedprojectandthepriceshallbeconfirmedbytheotherpartybeforeimplementation.Ifthetwopartiesfailtoreachanagreement,thetwopartiesmayreferthecasetotheprojectcostmanagementagencyoftheprojectlocationforconsultationorhandlethedisputeordisputesettlementproceduresasagreedinthecontract.3）合同中沒(méi)有適用或類似于變更工程的價(jià)格，由承包人或發(fā)包人提出適當(dāng)?shù)淖兏鼉r(jià)格，經(jīng)對(duì)方確認(rèn)后執(zhí)行。如雙方不能達(dá)成一致的，雙方可提請(qǐng)工程所在地工程造價(jià)管理機(jī)構(gòu)進(jìn)行咨詢或按合同約定的爭(zhēng)議或糾紛解決程序辦理。

例題：某工程土方工程量，工程量清單的工程量為1100m3,合同約定單價(jià)為15元/m3，且實(shí)際工程量減少超過(guò)15%時(shí)調(diào)整單價(jià)，單價(jià)調(diào)整為15.5元/m3。（1）經(jīng)工程師計(jì)量，承包商實(shí)際完成的土方量為900m3，則該土方工程價(jià)款為多少？（2）如果本題實(shí)際完成土方量為1000m3，其他不變，則該土方工程價(jià)款為多少？（1）按清單計(jì)價(jià)規(guī)范規(guī)定，實(shí)際減少量超過(guò)合同約定幅度，原綜合單價(jià)需做調(diào)整。本題減少幅度為（1100－900）／1100＝18.18％，需執(zhí)行合同約定的調(diào)整價(jià)故該土方工程價(jià)款為：900×15.5＝13950元（2）因工程量變化幅度為（1100－1000）／1100＝9.1％，需執(zhí)行原價(jià)。故該土方工程價(jià)款為：1000×15＝15000元。7.3.2ModificationandvaluationoftheworksunderFIDICcontractconditionsFIDIC合同條件下工程的變更與估價(jià)Scopeandcontentofengineeringchanges工程變更的范圍和內(nèi)容（1）Engineeringchanges工程變更Atanytimepriortotheissuanceoftheacceptancecertificatefortheworks,theengineermayproposechangesbywayofissuinginstructionsorrequiringthecontractortosubmitproposals.在頒發(fā)工程接收證書(shū)前的任何時(shí)間，工程師可通過(guò)發(fā)布指令或要求承包商提交建議書(shū)的方式，提出變更。(2)Scopeofchange變更范圍1）changethequantityofanyworkinthecontract.改變合同中任何工作的工程量。2）anychangeinthequalityofworkorotherfeatures.任何工作質(zhì)量或其他特性的變更。3）changesinelevation,positionandsizeofanypartoftheproject.工程任何部分高程、位置和尺寸的改變。4）deleteanyworkcontentagreedinthecontract刪減任何合同約定的工作內(nèi)容。5）changetheoriginalconstructionsequenceorschedule.改變?cè)ǖ氖┕ろ樞蚧驎r(shí)間安排。6）newprojectsshallbetreatedasseparatecontracts.新增工程按單獨(dú)合同對(duì)待。除非承包人同意此項(xiàng)按變更對(duì)待2.Proceduresforengineeringchanges工程變更的程序1)Theengineernotifiesthecontractoroftheplannedchangesandrequeststhecontractortoimplementthechangeproposal.

工程師將計(jì)劃變更事項(xiàng)通知承包商，并要求承包商實(shí)施變更建議書(shū)。2)TheContractorshallreplyassoonaspossible.TheContractorshallsubmit,asdirectedbytheEngineer,adescriptionoftheimplementationofthechanges,includingaplananddescriptionoftheimplementation,aproposalforthemodificationoftheschedule,aproposalforthevaluationofthechanges,andarequestforthecostofthechanges.IftheContractorisunabletocarryoutsuchchangeforreasonsotherthanhisown,theContractorshallimmediatelynotifytheEngineer.

承包商應(yīng)盡快予以答復(fù)。承包商依據(jù)工程師的指示遞交實(shí)施變更的說(shuō)明，包括對(duì)實(shí)施工作的計(jì)劃及說(shuō)明、對(duì)進(jìn)度計(jì)劃做出修改的建議、對(duì)變更估價(jià)的建議、提出變更費(fèi)用的要求。若承包商由于非自身原因無(wú)法執(zhí)行此項(xiàng)變更，承包商應(yīng)立刻通知工程師。3)Theengineermakesadecisiononwhethertochangeandnotifiesthecontractorassoonaspossible.

工程師做出是否變更的決定，盡快通知承包商。4)TheContractorshallnotdelayanyworkwhileawaitingareply.

承包商在等待答復(fù)期間，不應(yīng)延誤任何工作。3.Changeofvaluation

變更估價(jià)Theappropriaterateorpriceforeachworkitemshallbetherateorpricespecifiedinthecontractforsuchworkitem.Ifthereisnoiteminthecontract,therateorpriceforsimilarworkshallbetaken.However,itisadvisabletoadoptnewratesorpricesfortherelevantworkunderthefollowingcircumstances:

各項(xiàng)工作內(nèi)容的適宜費(fèi)率或價(jià)格，應(yīng)為合同對(duì)此類工作內(nèi)容規(guī)定的費(fèi)率或價(jià)格，如合同中無(wú)某項(xiàng)內(nèi)容，應(yīng)取類似工作的費(fèi)率或價(jià)格。但在以下情況下，宜對(duì)有關(guān)工作內(nèi)容采取新的費(fèi)率或價(jià)格：

1）thequantitychangemeasuredbythisworkexceedsmorethan10%ofthequantitylistedinthebillofquantitiesorotherdatatables;該項(xiàng)工作測(cè)出的數(shù)量變化超過(guò)工程量表或其他資料表中所列數(shù)量的10%以上;2）theproductofthequantitychangeandtheabove-mentionedrateorunitpricefortheworkexceeds0.01%ofthecontractamount;此數(shù)量變化與該項(xiàng)工作上述規(guī)定的費(fèi)率或單價(jià)的乘積，超過(guò)中標(biāo)合同金額的0.01%;3）theunitengineeringcostoftheworkwillchangebymorethan1%duetothechangeinquantity;由數(shù)量變化直接導(dǎo)致該項(xiàng)工作的單位工程費(fèi)用變動(dòng)超過(guò)1%;4）itisnotstipulatedinthecontractthattheworkisa"fixed-rateproject".合同中沒(méi)有規(guī)定該項(xiàng)工作為“固定費(fèi)率項(xiàng)目”。例題：某項(xiàng)工作發(fā)包方提出的估計(jì)工程量為1800m3，合同中規(guī)定工程單價(jià)為15元/m3，實(shí)際工程量超過(guò)10％時(shí)，調(diào)整單價(jià)，單價(jià)為13元/m3，結(jié)東時(shí)實(shí)際完成工程量2000m3，則該項(xiàng)工作工程款為多少元？【解】1800×（1＋10％）＝1980m31980×15＋（2000－1980）×13＝29960元Engineeringchangeandcontractpriceadjustmentcomparison

工程變更及合同價(jià)款調(diào)整對(duì)比工程變更《施工合同文本》FIDIC合同條件工程變更的范圍主要是設(shè)計(jì)變更，也包括其他變更，設(shè)計(jì)變更主要包括：更改有關(guān)部分的標(biāo)高、基線、位置和尺寸；增減合同中約定的工程量；改變有關(guān)工程的施工時(shí)間和順序等。其他變更主要指工程質(zhì)量的變更。主要范圍包括：①工程量的改變；②質(zhì)量和其他特性改變；③標(biāo)高、位置或尺寸改變；④刪減工作內(nèi)容；⑤新增工程；⑥改變?cè)ǖ氖┕ろ樞蚝蜁r(shí)間安排。發(fā)包人或工程師提出的變更承包人對(duì)于發(fā)包人的變更通知沒(méi)有拒絕的權(quán)利，變更超過(guò)原設(shè)計(jì)標(biāo)準(zhǔn)或者批準(zhǔn)的建設(shè)規(guī)模時(shí)，須經(jīng)原規(guī)劃管理部門(mén)和其他有關(guān)部門(mén)審查批準(zhǔn)，并由原設(shè)計(jì)單位提供變更的相應(yīng)的圖紙和說(shuō)明。工程師可以直接發(fā)布變更指示，也可以要求承包商遞交建議書(shū)承包商提出的變更承包人不得隨意變更設(shè)計(jì)，合理化建議必須經(jīng)工程師同意。工程師同意后，也須經(jīng)原規(guī)劃管理部門(mén)和其他有關(guān)部門(mén)審查批準(zhǔn)，并由原設(shè)計(jì)單位提供變更的相應(yīng)的圖紙和說(shuō)明。否則一切后果由承包商承擔(dān)。未經(jīng)工程師批準(zhǔn)前承包商不得擅自變更。承包商應(yīng)首先提出變更建議，以證明變更能為業(yè)主帶來(lái)利益。若變更涉及部分永久工程設(shè)計(jì)，承包商應(yīng)自行設(shè)計(jì)或委托有資質(zhì)單位進(jìn)行，工程師批準(zhǔn)建議后，調(diào)整合同價(jià)。變更估價(jià)套用已有價(jià)格；參照類似價(jià)格；承包人提出適當(dāng)?shù)淖兏鼉r(jià)格，經(jīng)工程師確認(rèn)后執(zhí)行按原費(fèi)率計(jì)算變更工程費(fèi)用；在原單價(jià)和價(jià)格的基礎(chǔ)上制定合理的新單價(jià)或價(jià)格；確定新的費(fèi)率或價(jià)格7.4.1Conceptandclassificationofclaims

索賠的概念與分類1.Conceptofclaims索賠的概念I(lǐng)tistobeininprojectcontractfulfillment,onepartybecauseanotherpartydoesnotperformordonotperformtheobligationthatthecontractsetscompletelyortheriskthatappearedtooughttoassumebytheotherpartywhensufferaloss,putforwardthebehaviorthatcompensatesademandtotheotherparty.是在工程承包合同履行中，當(dāng)事人一方因另一方不履行或者不完全履行合同所規(guī)定的義務(wù)或者出現(xiàn)了應(yīng)當(dāng)由對(duì)方承擔(dān)的風(fēng)險(xiǎn)而遭受損失時(shí)，向另一方提出賠償要求的行為。7.4Engineeringclaim

工程索賠Ifonepartybreachesthecontractandtheotherpartysufferslosses,itshallclaimindemnityagainsttheotherparty.一方違約使另一方蒙受損失，受損方向?qū)Ψ教岢鲑r償損失要求。Thecontractor(partyb)shallrequesttheownertocompensatethecontractor(partyb)fortheheavylossescausedbythespecialriskeventsoradversenaturalconditionsforwhichpartyashallbeliable.發(fā)生應(yīng)由甲方承擔(dān)責(zé)任的特殊風(fēng)險(xiǎn)事件或遇到不利的自然條件情況使承包方（乙方）蒙受較大損失而向業(yè)主提出補(bǔ)償損失的要求。Duetothefailuretoobtaintheconfirmationofthesupervisionengineer(ortherepresentativeofpartya)andthepaymentduefromtheownerintime,thecontractorshouldhaveobtainedthelegitimateinterest,anddemandeditfromtheownerbyformalletter.承包商本應(yīng)獲得的正當(dāng)利益，由于沒(méi)能及時(shí)得到監(jiān)理工程師（或甲方代表）的確認(rèn)和業(yè)主應(yīng)給予的支付，而以正式函件向業(yè)主索要。Aclaimisareasonableapportionmentoftheriskbornebythecontractorandtheowner.索賠是承包商和業(yè)主之間承擔(dān)風(fēng)險(xiǎn)比例的合理分?jǐn)偂?.Classificationofengineeringclaims

工程索賠的分類（1）bythepartiesconcernedoftheclaim按索賠的有關(guān)當(dāng)事人分類Claimsoftheconstructionunitandthecontractor:suchasthedisputesconcerningthequantity,alteration,duration,qualityandpriceoftheproject,aswellasthecausesofdamagesforbreachofcontract,suspensionofconstructionandterminationofthecontract.建設(shè)單位與承包商的索賠：如有關(guān)工程量、工程變更、工期、質(zhì)量和價(jià)格方面的爭(zhēng)議，以及有關(guān)違約行為、暫停施工和終止合同等方面損害賠償原因。Claimsbetweenthegeneralcontractorandthesubcontractor總承包商與分包商之間的索賠Claimsbetweencontractorsandsuppliers:mostofthemaredisputesintradeandtrade,suchasthequalityofgoodsdoesnotmeetthetechnicalrequirements,theshortageofquantity,delivery(pick-up)delay,transportationloss,etc.承包商與供貨商之間的索賠：多為商貿(mào)方面的爭(zhēng)議如貨物質(zhì)量不符合技術(shù)要求，數(shù)量短缺，交（提）貨延誤、運(yùn)輸損失等。Thecontractorclaimsagainsttheinsurancecompanyandthetransportationcompany.承包商向保險(xiǎn)公司、運(yùn)輸公司的索賠。（2）bypurposeofclaim按索賠目的分類Constructionclaims:referstotheextendedtimelimitduetopartya'sreason,partybrequirestheownertoextendthetimeofconstruction,maketheoriginalprovisionsoftheprojectcompletiondatepostpone,soastoavoidduetonotabletofinishandshallbeinvestigatedforthecontractor'sliabilityforbreachofcontract,thecontractor'sconstructionclaimisessentiallyaclaimpower,arelistedinthegeneralconditionsofcontracthavetopostponethetermsofthetimelimitforaproject,specifyinwhichcasethecontractorshallhavetherighttorequiretheextendedtimelimitforaproject.工期索賠：指由于甲方原因造成延長(zhǎng)工期，乙方要求業(yè)主延長(zhǎng)施工時(shí)間，使原規(guī)定的工程竣工日期順延，從而避免到期不能完工而追究承包商的違約責(zé)任，承包商的工期索賠實(shí)質(zhì)上是一種權(quán)力索賠要求，在合同的通用條件中都列有可順延工期的條款，具體指出在哪些情況下承包商有權(quán)要求延長(zhǎng)工期。Claimforexpenses:referstotheeconomiclossescausedbypartybduetopartya,includingtheadditionalexpensesdemandedbytheownerwhentheconstructionunitincreasesexpensesduetothechangeoftheobjectiveconditionsofconstruction,aswellasthequalityaccidentsanddelayoftheconstructionperiodcausedbytheconstructionunit,andtheconstructionunitdemandsapenaltyforbreachofcontractfromtheconstructionunit.費(fèi)用索賠：指由于甲方原因使乙方造成經(jīng)濟(jì)損失，既包括施工單位由于施工的客觀條件改變而增加了開(kāi)支時(shí)，向業(yè)主要求補(bǔ)償額外費(fèi)用支出，也包括由于施工單位的質(zhì)量事故及拖延工期等，建設(shè)單位向施工單位索取違約罰款。

Intheactualconstruction,mostcasesarethecontractorforacertainperiodoftimeandeconomicclaims,accordingtotheusualclaimspractice,twoclaimsshouldbefiledindependently.

在實(shí)際工程中，大多數(shù)情況是承包商就某一既提工期索賠，又提經(jīng)濟(jì)索賠，按通常的索賠慣例，兩種索賠應(yīng)獨(dú)立提出。（3）Itisclassifiedaccordingtothenatureoftheclaimevent按索賠事件的性質(zhì)不同分類1）Claimfordelayinconstruction.Iftheconstructionperiodisdelayedduetothefailureoftheownertoprovideconstructionconditionsasrequiredbythecontract,orthesuspensionoftheprojectorderedbytheownerorforcemajeure,thecontractormaylodgeclaimsagainsttheOwner.Ifthetimelimitisdelayedduetothecontractor,theemployermaylodgeaclaimagainstthecontractor.

工程延誤索賠。因發(fā)包人未按合同要求提供施工條件，或因發(fā)包人指令工程暫?；虿豢煽沽κ录仍蛟斐晒て谕涎拥模邪丝梢韵虬l(fā)包人提出索賠;如果由于承包人原因?qū)е鹿て谕涎?，發(fā)包人可以向承包人提出索賠。2)Accelerationofconstructionclaims.Duetotheemployer'sinstructiontothecontractortospeeduptheconstruction,shortentheconstructionperiod,andcausethecontractor'shuman,materialandfinancialextraexpenses,thecontractorputforwardaclaim.

加速施工索賠。由于發(fā)包人指令承包人加快施工速度、縮短工期、引起承包人的人力、物力、財(cái)力的額外開(kāi)支，承包人提出的索賠。3)Claimforchangeofworks.Duetotheemployer'sinstructionstoincreaseordecreasetheamountofworkortoincreaseadditionalworks,modifythedesign,changethesequenceofworks,etc.,theconstructionperiodisprolongedorthecostisincreased,andthecontractorputsforwardaclaimforcompensationaccordingly.

工程變更索賠。由于發(fā)包人指令增加或減少工程量或增加附加工程、修改設(shè)計(jì)、變更工程順序等，造成工期延長(zhǎng)或費(fèi)用增加，承包人就此提出索賠。4)Claimforterminationofcontract.Ifthecontractterminatesabnormallyduetotheemployer'sbreachofcontractortheoccurrenceofforcemajeureevents,thecontractorshalllodgeclaimsforeconomiclossessufferedbytheemployer.Ifthecontractisimproperlyterminatedorthecontractisunabletocontinuetobeperformedduetothereasonsofthecontractor,theEmployermaylodgeaclaimforcompensationaccordingly.

合同終止的索賠。由于發(fā)包人違約或發(fā)生不可抗力事件等原因造成合同非正常終止，承包人因其遭受經(jīng)濟(jì)損失而提出索賠。如果由于承包人的原因?qū)е潞贤钦＝K止，或者合同無(wú)法繼續(xù)履行，發(fā)包人可以就此提出索賠。5)Claimforunforeseeableadverseconditions.Thecontractorduringtheperiodofprojectconstruction,theconstructionsiteinexperiencedcontractorusuallycannotbereasonablyforeseeableadverseconstructionconditionsorexternalbarriersanddoesnotaccordwiththeemployertoprovideinformationsuchasgeologicalconditions,appearedunforeseeablegroundwater,fault,karstcave,theundergroundobstacles,etc.,thecontractormayhavetolodgeaclaimforanylossordamagesustained.不可預(yù)見(jiàn)的不利條件索賠。承包人在工程施工期間，施工現(xiàn)場(chǎng)出現(xiàn)有經(jīng)驗(yàn)的承包人通常不能合理預(yù)見(jiàn)的不利施工條件或外界障礙，例如地質(zhì)條件與發(fā)包人提供的資料不符，出現(xiàn)不可預(yù)見(jiàn)的地下水、地質(zhì)斷層、溶洞、地下障礙物等，承包人可以就因此遭受的損失提出索賠。6)Claimsforforcemajeureevents.Duringtheconstructionperiodoftheproject,thepartysufferinglossesduetotheoccurrenceofforcemajeureeventsmaylodgeclaimsagainstthepartiesinaccordancewiththeprovisionsonthesharingofforcemajeurerisksinthecontract.

不可抗力事件的索賠。工程施工期間，因不可抗力事件的發(fā)生而遭受損失的一方，可以根據(jù)合同中對(duì)不可抗力風(fēng)險(xiǎn)分擔(dān)的約定，向當(dāng)事人提出索賠。7)Otherclaims.Claimsarisingfromcurrencydepreciation,changesinexchangerates,priceincreases,changesinpoliciesandregulations,etc.

其他索賠。如因貨幣貶值、匯率變化、物價(jià)上漲、政策法令變化等原因引起的索賠。

7.4.2Thecauseoftheclaim索賠產(chǎn)生的原因

1.DefaultbytheDeveloper發(fā)包人違約Theowner'sbreachisoftenmanifestedasfailuretoprovidethecontractorwiththeconstructionconditionsagreedinthecontract,failuretopayinaccordancewiththetimelimitandamountagreedinthecontract,etc.Iftheengineerfailstocompletetheworkinaccordancewiththecontract,failuretoissuedrawingsorinstructionsintimeshallalsobedeemedasbreachofcontractbythesender.

發(fā)包人違約常常表現(xiàn)為沒(méi)有為承包人提供合同約定的施工條件、未按照合同約定的期限和數(shù)額付款等。工程師未能按照合同約定完成工作，如未能及時(shí)發(fā)出圖樣、指令等也視為發(fā)句人違約。2.Defectsincontractdocuments合同文件缺陷Thedefectsofcontractdocumentsshowthattheprovisionsofcontractdocumentsarenotrigorousorevencontradictory,omissionorerroroccursinthecontract.Insuchcase,theengineershouldgiveanexplanation,andifsuchexplanationwillleadtotheincreaseofcostortheextensionoftimelimit,theEmployershouldgivecompensation.

合同文件缺陷表現(xiàn)為合同文件規(guī)定不嚴(yán)謹(jǐn)甚至矛盾、合同中出現(xiàn)遺漏或錯(cuò)誤。在這種情況下，工程師應(yīng)當(dāng)給予解釋，如果這種解釋將導(dǎo)致成本增加或工期延長(zhǎng)，發(fā)包人應(yīng)當(dāng)給予補(bǔ)償。3.Changeofcontract合同變更Performanceisdesignchange,constructionmethodchange,addorcancelcertainwork,otherchangethatthecontractstipulatesetc.

表現(xiàn)為設(shè)計(jì)變更、施工方法變更、追加或者取消某些工作、合同規(guī)定的其他變更等。4.Forcemajeureevents不可抗力事件Itcanbedividedintonaturaleventsandsocialevents.Naturaleventsaremainlyadversenaturalconditionsandobjectiveobstacles.Socialeventsincludechangesinnationalpolicies,laws,decrees,wars,strikes,etc.可以分為自然事件和社會(huì)事件。自然事件主要是不利的自然條件和客觀障礙。社會(huì)事件則包括國(guó)家政策、法律、法令的變更，戰(zhàn)爭(zhēng)、罷工等。Case：不利自然條件導(dǎo)致的索賠某港口工程在施工過(guò)程中，承包人在一部位遇到了比合同標(biāo)明的更多、更加堅(jiān)硬的巖石，開(kāi)挖工作變得更加困難，