工程管理 外文翻譯 外文文獻 英文文獻 淺談工程索賠的預防與處理

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1、Talking about the project claim the prevention and treatment Abstract：In project management, construction claim is a complex business management. Todays domestic project contracting market is becoming more competitive, successful low-cost has become a regular operation, the operating contractor

2、 for the construction of the claim is very important to achieve the goal. The significance of the claim and described the concept for todays domestic construction projects in claims management problems were analyzed and the corresponding countermeasures and suggestions of the project and counter-cla

3、ims both sides claim the contract is an indispensable business component. Based on the analysis of the factors that claims the project, discussed the contract on the implementation of the project claim the deal with the principles and specific treatment.  Key words: engineering claim prevention

4、 deal with 1. The definition and classification of claims Claim the project is the fulfillment of the contract, the contract due to the other party did not fulfill its obligations under the contract and this led to losses, other demands for compensation or the right to compensation. The incid

5、ence of claims is a two-way, as long as the contract side of the responsibility and obligation not to achieve contract, or to provide the conditions inconsistent with the contractual status, there are claims that may arise. It is also a kind of a right, under normal circumstances, the claim refers t

6、o the contractor in the implementation of the contract process, the reasons for their non-extension of the project, and require owners to increase the cost of compensation for the loss of a claim. The owners belong to the construction unit should bear the responsibility for the cause, and the actual

7、 loss to the construction of requests for compensation, known as the anti-claim. 1.1 The purpose of their claims can be divided into two categories: construction claims and claims costs. Claim Construction Engineering refers to, as a result of non-responsibility of the contractor causes delay in t

8、he construction process for approval of the contract extended period of the claim. Construction units of the purpose of the claim period is usually two: first, removed or have been shirking its responsibility to extend the duration of the contract responsibility, so that they do not pay as much as p

9、ossible or not to extend the time limit to pay fines; II is due to extension of the period and The cost of damage caused by the claim. If the project is not the responsibility of delay caused by the construction, and construction units have been approved construction project claim, the construction

10、units can be made as a result of measures taken to speed up and increase the cost of claims. The cost of claims is based on the principle of compensation for actual losses, and its purpose is to require financial compensation. When the reality of the conditions of the contract and inconsistent, lead

11、ing to increase in contractor expenses in excess of the requirements of the plans cost of the additional compensation expenses, in order to save his commitment should not be economic losses. 2.The cause of the project claim 2.1 Engineering design arising from claims. As the construction draw

12、ings in error or defective, working drawings and the actual construction site in geology, environment, or the difference between the design drawings and specifications does not match the description of expression is not tight construction, equipment, materials, the name of the model specifications t

13、hat Or the wrong amount of work is not clear and many other aspects of the flaws and omissions, resulting in rework. Inevitable in order to produce in the period, the labor, materials, and other aspects of the claims. 2.2 Do not close the signing of the contract arising from claims The contract

14、 is a contract agreement, the tender documents, tender, contract-specific provisions, general provisions of the contract, drawings, BOQ and to fulfill the contract in the course of a series of supplementary agreements such as the composition of the document, the contracts signed between the two side

15、s in accordance with the law The entry into force, legally binding, either party may change or dissolve the non-performance of the contract or the powers and duties. However, due to construction projects and the complexity of the construction period, as well as the natural environment, climate, such

16、 as long-term factors, together with the terms of the contract in terms of security is not strong, between the conflicting documents, are likely to make the parties enter into the Construction contracts can not take full account of all factors and a clear impact on the project, which led to the cons

17、truction of the claim. 2.3 The risk of accidents and unforeseen factors such as changes in the conditions of the claim During the construction process, changes in the conditions of the construction site of the project cost and impact, such as earthquakes, typhoons, war, rebellion, radioactive poll

18、ution and nuclear hazards, such as force majeure risks and natural disasters as well as the construction of sand mud emerged, geological Fault, natural cave, subsidence and underground structures or objects on the ground floor, and other unknown obstacles, often leading to the changes caused by the

19、construction claim. If excavation works due to the discovery of underground structures and cultural relics, and so on, the drawings did not say construction indeed difficult to foresee a reasonable man-made obstacles, such as the deal is bound to lead to an increase in the cost of the project, the c

20、onstruction units can claim. 2.4 Project construction contracts management changes in the claim. The current construction market, the project construction contracts have a total package, sub-, sub-designate, contract labor, equipment, materials supply contract and a series of contract, so as to en

21、able the project construction contracts and management has become complicated by the difficulty Great. When any of the contracts can not perform well or poorly managed, will affect the project construction period, the quality and quantity, sparking the project, quality, quantity and economic aspects

22、 of the claim. Such as equipment, material suppliers, according to the projects design and construction schedule on time in accordance with the provision of quality equipment, materials, engineering, can not by the owners of the requirements and design specifications and the specifications for the c

23、onstruction, so as to affect the project construction The progress and quality, leading to the owners, with a total package side, the sub-side, the equipment and materials suppliers mutual claims. 3Works to prevent and deal with the claims. 3.1The project Prevention claims Of the above factor

24、s in the analysis of the project claim, the claim works, as owners of the management of the main square in the prevention and treatment efforts must be dealt with the principles and specific ways to deal with, making a reasonable claim for compensation evidence to ensure the progress of the construc

25、tion project, quality, the cost of a virtuous circle. Should do the following specific areas: 3.1.1To strengthen the claim of forward-looking prevention. As owners, supervision engineers and contractors must use their experience and the relevant regulations, to take active measures to prevent fores

26、eeable claims the incident occurred. Such as strengthening the management of the contract, to strengthen preparatory work to strengthen the design review, and so on. However, if the claim is indeed taken place, should take active measures to control claims costs to a minimum. 3.1.2In market economy

27、 conditions, the contract is binding both A and B criterion of economic behavior. As the owners managers should pay attention to fully and strictly carry out the contract. Before signing the contract should be repeated, as appropriate, the terms of the contract, pay attention to the strict letter of

28、 the contract documents, in order to prevent the implementation of the contract process as a result of loopholes in the text caused by the opportunity to claim, resulting in additional investment. In the design of management should strive to obtain the contract by design drawings, data, and un

29、its designed to improve the quality of design, conditions permitting the introduction of the design competition, designed to improve the quality of service. 〖JP2〗through the design of the credibility of the tender selection, design, management capacity in areas such as better design of the unit, des

30、igned to reduce as much as possible the reasons for increase in the risk of project cost, the latter designed to improve the quality of service. 3.1.3 In the supply of materials, equipment and materials should be done on time and the supply, quality volume. As far as possible to avoid the supply of

31、 material specifications of the type, variety and not caused by the drawings of alternative materials. 3.1.4 The price may rise to the claim by the construction tender will be taken to increase the risk of a package as a death order to guard against the practice, that is, in business contracts, acc

32、ording to the length of period, the market price trend forecast, the two sides to agree on a cost risk To the contractors and contract during the construction of national and local government policy documents are no longer the implementation of price adjustment. 3.2 Engineering claims.  3.2.1 Sho

33、uld be based on a contract basis to deal with claims must be reasonable; have to pay attention to data collection, information truthfulness, reliability, and after that must deal with claims in a timely manner; in dealing with the specific claims process, we must A close examination of the period wh

34、en the claims should be given, should be given when the cost of claims. For example: an extremely bad weather conditions, we have exceeded the expected normal rain and snow, seriously hampering the progress of projects at this time, the construction units may be required, the owner can grant an exte

35、nsion period, that is, the establishment of the claim period, but the cost should not be Claim. For instance, in the works in full swing during part of the project changes, construction has been finished on the part of the change and wait for the drawings when part of the construction and mechanical

36、 requirements of the claim, this time, to have been part of the End of the claim, it should benefit all, Including the costs and profits, but stagnation and machinery, due to the time when the construction season, it is entirely possible that this first part of the personnel, machinery to use elsewh

37、ere, to be paid should be the only change of duty and the types of work efficiency to lower costs. 3.2.2 To deal with claims in the event of limitations should be carried out inspection, the building of Chinas construction contracts (GF-1999-2001) in the light of international common FIDIC conditio

38、ns of contract claim against the statute of limitations provides as follows: "The claim occurred within 28 days of Engineers to issue a claim Notice; issued a notice of claim within 28 days to raise additional engineers to extend the duration of the contract price or the claims report and related in

39、formation; engineers sent to the contractor received the report and claims information after the 28 days given to sign rehabilitation, Or ask the contractor to add further grounds for the claim and evidence. Engineers in 28 days or did not respond to the contractor for further requirements, as the c

40、laims have been approved. " Excess of the limitation period for claims, as the case may have the right to refuse. At the same time, the claim should be effective to deal with in a timely manner. 3.2.3 Should clearly define the responsibilities, strict examination fees. The claim of actual events a

41、re often responsible for both contracts, which should identify the reasons, clearly define responsibilities and in accordance with the terms of the contracts pricing review to determine the contract that both sides should bear the cost. 3.2.4Should work to strengthen the control of the initiative,

42、works to reduce the claim. This requires the owners in project management, as far as possible the work should be made in advance, to reduce the incidence of claims. This will enable the project to carry out more smoothly, reducing investment projects to reduce the construction period. To sum up, the

43、 claim for the prevention and management of investment projects to control play an important role in the international engineering construction in general will be designed to claim the contract price of 10-15% in individual cases even more. In order to better handle the construction of the claims th

44、e problem from the project to strengthen the construction plans and construction contract management, strengthen personnel training to start, actively explore and practice. References  [1]  Wu Yuan, Wu Yin, Chinas construction industry, claims the status quo and countermeasures [J]. Economist,

45、 2006, (3).  [2]  Xu Wei, Jin Fu, Chen Lianjie. Standardize the implementation of the construction project supervision Manual [M]. Beijing: China Building Industry Press, 2001.  [3]  Dong Cheng Hai, Zhang Jiansheng. Analysis of Construction Contract Management Problems and Solutions [J]. Mod

46、ernization construction management, 2001, (1). [4] Cheng Hu. Encyclopedia of Practical construction contract management [M]. Beijing: China Building Industry Press, 2000, (1). 淺談工程索賠的預防與處理 學 生：張 曦 指導教師：王春燕 三峽大學科技學院 摘要： 在工程項目管理中,施工索賠是一項復雜的經(jīng)營管理工作。當今國內(nèi)工程項目承包市場競爭日趨激烈,

47、低價中標已成為規(guī)律性的操作方式,施工索賠對于承包商經(jīng)營目標實現(xiàn)非常重要。 對索賠的意義和概念進行了闡述，對當今國內(nèi)施工項目索賠管理中存在的問題進行了分析，并提出了相應的對策和建議工程索賠與反索賠是合同雙方經(jīng)營活動不可缺少的組成部分。本文通過對工程索賠因素的分析，論述了在合同執(zhí)行中關于工程索賠相應的處理原則及具體的處理方式。 關鍵詞：工程；索賠；預防；處理 1 索賠的定義及分類 索賠是指在工程承包合同履行中，合同當事人一方由于另一方未履行合同所規(guī)定的義務而致使本方遭受損失時，要求對方給予賠償或補償?shù)臋嗬Ｋ髻r的發(fā)生是雙向的，只要合同中一方的責任和義務未按合同約定實現(xiàn)，或出現(xiàn)提供的條件

48、與合同約定狀態(tài)不一致，都有可能出現(xiàn)索賠。它既是一種權利也是一種行為，通常情況下，索賠是指承包商在合同實施過程中，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利要求。而業(yè)主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，向施工單位要求的賠償，稱為反索賠。 1.1 索賠按其目的可分為兩類：工期索賠和費用索賠。 工期索賠是指在工程施工中，由于非承包人責任的原因而導致施工進程延誤，要求批準順延合同工期的索賠。施工單位提出工期索賠的目的通常有兩個：一是免去或推卸自己對已產(chǎn)生的工期延長的合同責任，使自己不支付或盡可能不支付工期延長的罰款；二是進行因工期延長而造成的費用損失的索

49、賠。如果工期延緩責任不是由施工單位造成，而建設單位已認可施工單位工期索賠，則施工單位還可以提出因采取加速措施而增加的費用索賠。費用索賠是以補償實際損失為原則，其目的是要求經(jīng)濟補償。當現(xiàn)實的條件與合同約定不一致，導致承包商增加開支，要求對超出計劃成本的附加開支給予補償， 以挽回不應由他承擔的經(jīng)濟損失。 2 工程索賠的發(fā)生原因 2.1要程設計方面引起的索賠 由于施工圖紙中存在缺陷或錯誤，施工圖與現(xiàn)場實際施工在地質(zhì)、環(huán)境等方面的差異或是設計的圖紙與規(guī)范要求不符，施工說明表達不嚴密，對設備、材料的名稱、規(guī)格型號表示不清楚或工程量錯誤等諸多方

50、面的遺漏和缺陷，造成返工。從而不可避免的產(chǎn)生如在工期、人工、材料等方面的索賠要求。 2.2合同簽訂不嚴密引起的索賠 合同是由合同協(xié)議書、招標文件、投標書、合同專用條款、合同通用條款、圖紙、工程量清單及合同履行過程中的補充協(xié)議等一系列的文件所組成的，經(jīng)承發(fā)包雙方依法簽訂生效，具有法律約束力，任何一方不得擅自變更或解除或不履行合同賦予的權力和義務。但由于工程項目建設的復雜性和施工工期以及自然環(huán)境、氣候、周期長等因素的限制，加上合同中用詞嚴密性不強、文件之間的相互矛盾等，都有可能使雙方在簽訂施工合同時不能充分考慮和明確各種因素對工程建設的影響，從而引起施工索賠。 2.3 意外風險和不可預見因素

51、等條件的變化引起的索賠 在施工過程中，施工現(xiàn)場條件的變化對工期和造價影響很大，如地震、臺風、戰(zhàn)爭、叛亂、放射性污染、核危害等人力不可抗拒的自然災害和風險以及在施工中出現(xiàn)流沙泥、地質(zhì)斷層、天然溶洞、沉陷和地下文物或構筑物等地下不明障礙物，常常導致工程變更，引起施工索賠。如在挖方工程中由于發(fā)現(xiàn)地下構筑物和文物等，圖紙上并未說明，確屬施工單位難以合理預見的人為障礙，如處理則必然導致工程費用的增加，施工單位即可提出索賠。 2.4工程項目建設承發(fā)包管理模式變化引起的索賠 當前的建筑市場，工程項目建設承發(fā)包有總包、分包、指定分包、勞務承包、設備、材料供應承包等一系列的承包方式，使工程項目建設承發(fā)包變

52、得復雜和管理模式難度增大。當任何一個承包合同不能順利履行或管理不善時，都會影響工程項目建設的工期、質(zhì)量和數(shù)量，繼而引發(fā)在工期、質(zhì)量、數(shù)量和經(jīng)濟等方面的索賠。如設備、材料供應商不按工程項目的施工進度和設計要求按時按質(zhì)提供設備、材料，工程也就不能按業(yè)主的要求和設計的質(zhì)量規(guī)格以及有關規(guī)范要求進行施工，從而影響工程項目建設的進度和質(zhì)量，最終導致業(yè)主、總包方、分包方、設備材料供應商相互間的索賠。 3 工程索賠的預防及處理 3.1工程索賠的預防 通過以上對工程索賠因素的分析，對于工程索賠，作為業(yè)主方的管理主要是在預防和處理方面下功夫，必須要有相應的處理原則及具體的處理方式，使得索賠合理，賠償有據(jù)，以

53、確保建設工程項目的進度、質(zhì)量、費用的良性循環(huán)。具體應做好以下幾方面： 1)加強索賠的前瞻性預防。作為業(yè)主、監(jiān)理工程師和承包商，都要借助自己的經(jīng)驗和有關規(guī)定，采取積極的措施防止可以預見的索賠事件的發(fā)生。如加強合同管理、加強前期準備工作、加強對設計方案的審查等等。但如果索賠確實發(fā)生了，應積極采取措施，把索賠費用控制在最小范圍之內(nèi)。 2)在市場經(jīng)濟條件下，合同是約束甲乙雙方經(jīng)濟行為的準繩。作為業(yè)主方的管理人員應注意全面、嚴格地履行合同。合同在簽約前應反復斟酌合同條款，注重合同文件文字的嚴密性，以防止在實施合同過程中因文字漏洞而造成索賠機會，從而導致額外投資。 在設計管理方面應努力做到按合同規(guī)定

54、索要設計圖紙、資料，并要求設計單位提高設計質(zhì)量，在條件允許的情況下引入設計競爭機制，提高設計服務質(zhì)量?！糐P2〗通過設計招標選擇在信譽、設計水平、管理能力等方面較好的設計單位，盡可能地減少因設計原因增加工程造價的風險，提高設計后期服務質(zhì)量。 3)在物資供應方面，應做到設備和材料供應按時，保質(zhì)保量。盡量避免因材料供應的規(guī)格型號、品種與圖紙不符而造成材料代用。 4）對于物價上漲可能引起的索賠，可以通過施工招標、采取將漲價作為風險一次包死的作法來加以防范，即在商簽合同時，根據(jù)工期長短、市場物價走勢的預測，雙方商定一個風險費用給承包商，并在合同中規(guī)定建設期間國家、地方政府的政策性調(diào)價文件一律不再執(zhí)

55、行。 3.2工程索賠的處理 1）應以合同為依據(jù)，處理索賠時必須做到有理有據(jù)；必須注意資料的收集、對資料的真實性、可信度，必須認定后及時地處理索賠；在具體處理索賠的過程中，一定要仔細分析，什么時候應該給工期索賠，什么時候應該給費用索賠。比如：天氣條件極其惡劣，已超出了我們預想的正常雨雪天氣，嚴重阻礙了工程的進展，這個時候，施工單位可以要求，業(yè)主也可以批準延長工期，即工期索賠成立，但不應出現(xiàn)費用索賠。再比如，在工程的全面展開時期，部分工程發(fā)生變更，施工單位對變更已完部分及等待圖紙時該部分的施工人員及機械要求索賠，此時，對于已完部分的索賠，應該全部給付，其中包括成本和利潤，但對于停滯的人員和機械

56、，由于正值施工旺季，完全可以先把此部分人員、機械調(diào)到別處使用，所應賠付的應該只是更換工作地點及工種的工效降低費。 2）在處理索賠事件時應進行時效檢查，我國建設工程施工合同文本(GF— 1999—2001)參照國際上通用的FIDIC合同條件對索賠的時效作了如下規(guī)定：“索賠發(fā)生28天內(nèi)，向工程師發(fā)出索賠意向通知；發(fā)出索賠意向通知后28天內(nèi)，向工程師提出追加合同價款或延長工期的索賠報告及有關資料；工程師在收到承包商送交的索賠報告和有關資料后，于28天內(nèi)給予簽復，或要求承包商進一步補充索賠理由和證據(jù)。工程師在28天內(nèi)未給予答復或未對承包商作進一步要求，視為該項索賠已經(jīng)認可”。對于超出規(guī)定時效期限的索

57、賠，視具體情況有權拒絕。同時對有效索賠應及時處理。 3）應分清責任，嚴格審核費用。對實際發(fā)生的索賠事件，往往是合同雙方均負有責任，對此要查明原因，分清責任，并根據(jù)合同規(guī)定的計價方式進行審核，以確定合同雙方應承擔的費用。 4）應在工作中加強主動控制，減少工程索賠。這就要求業(yè)主在工程管理過程中，應當盡量將工作做在前面，減少索賠事件的發(fā)生。這樣能夠使工程更順利地進行，降低工程投資，減少施工工期。 綜上所述，索賠的預防和處理對于工程投資控制起著相當重要的作用，在國際工程中一般施工索賠額都要達到合同價款的10—15％，個別情況甚至更多。為更好地處理好建設工程中的索賠問題，須從加強工程項目建設施工計劃和施工合同管理、加強人員培訓等方面入手，積極探索、實踐。 參 考 文 獻 ［1］鄔媛，殷煥武，我國建筑行業(yè)索賠現(xiàn)狀及對策分析［J］.經(jīng)濟師，2006,(3). ［2］徐偉, 金福安, 陳連杰.建設工程監(jiān)理規(guī)范實施手冊［M］.北京：中國工業(yè)建筑出版社，2001. ［3］董成海,張建生.淺析施工合同管理的問題及對策［J］.建筑管理現(xiàn)代化,2001,(1). ［4］成虎.建筑工程合同管理實用大全［M］.北京:中國建筑工業(yè)出版社,2000,(1). 9