基于《标准施工招标文件》的承包人工期索赔研究 ——因发包人违约引起的工期延误索赔

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摘要基于《标准施工招标文件》的承包人工期索赔研究——因发包人违约引起的工期延误索赔rn基于《标准施工招标文件》的承包人工期索赔研究____——因发包人违约引起的工期延误索赔____摘要__改革开放以来,随着我国经济和人民生活的飞速发展,我国的建筑行业也在逐步的与国际进行接轨,建设工程承包人在工程由投标阶段到施工阶段中将遇到空前的竞争压力,所遇到的各方面索赔风险也大大增加。因此,其中我国建设工程当中一些固有的错误的想法与做法在这种大环境下则需要一点点摒弃与去除,从而完全实现自身实力的提高,并与国际接轨,更具竞争力。对于承包人的工期索赔来说,无论是理论上还是过程分析、计算方法上,还缺少共识,不能被承包人熟练地运用在工程中,使得承包人损失一些不该损失的费用,更有甚者,将会影响承包人的市场信誉,造成无法弥补的损失。__本文从承包人角度出发,以《标准施工招标文件》合同为基础,对承包人的工期索赔问题进行研究,强调在进行工期索赔的过程中,程序要完整,证据要收集的及时并具有一定的法律效力等。针对工期延误问题进行分析,尤其是发包人的违约导致的延误,承包人只能在非自己原因造成的延误责任上进行工期索赔。工期索赔产生后,计算方法上采用网络分析法与动态分析法,对工程实例进行解剖,使得工期索赔顺利的完成。在本文中,由于时间关系,对于伴随着工期索赔而产生的费用索赔没有进行研究,还有在计算工期索赔的方法上,有待进一步的改进,寻求更适合中国国情的计算方法。____关键词:承包人索赔发包人违约工期索赔工期延误问题网络分析法动态分析法____TheContractorTimeClaimResearchBasedon《StandardConstructionTenderDocuments》____——ConstructionPeriodDelaysinClaimsArisingfromtheBreachDue__totheEmployer____ABSTRACT__Sincethereformandopeningup_alongwithourcountryeconomyandpeopleslifeofrapiddevelopment_Chinaconstructionindustryalsograduallywiththeinternationalrealizes_constructionengineeringcontractorinengineeringconstructionstagebystagetobidwillmeettheunprecedentedpressureofcompetition_mettheclaimriskincreasegreatlyTherefore_includingsomeoftheChineseconstructionoftheinherentwrongideasandpracticesinthisenvironmentrequiresalittlebitofabandonedandremove_soastofullyrealizeownstrengthrise_andwiththeinternationalcommunity_morecompetitiveThetimelimitforthecontractorforclaims_whetherconceptorprocessanalysis_calculationmethod_lackofconsensus_cantbeproficientinthecontractorinengineering_makethecontractorthecostoflosingsomeshouldntloss_whatismore_willaffectthecontractormarketreputation_causeirreparabledamage__Thispaper_fromtheAngleofthecontractor_《standardconstructiontenderdocuments》contractasthefoundation_thetimelimitforthecontractorclaim_emphasizeontheclaimintheprocessofconstruction_theprogrammustbecomplete_evidencetocollecttimelyandhavecertainlegaleffect_etcAccordingtodelaytimelimitproblemswereanalyzed_especiallythedevelopertodelaythebreachofcontract_thecontractorcanonlyintheyourselfwhydelayscausedbythetimelimitclaimresponsibilityAftertimelimitclaimgenerated_calculatingtheuseofnetworkanalysismethodanddynamicanalysis_ofengineeringexampletodissect_maketimelimitclaimdonesmoothlyInthispaper_forthetimebeing_withperiodforclaimsincurrednoclaim_andthecalculatedperiodclaimandthemethodoffurtherimprovement_formoresuitableforChinasnationalconditionscalculationmethod__KeyWords:ContractorclaimThedeveloperbreachPeriodclaimTimedelayproblemNetworkanalysisDynamicanalysis__目录____第一章绪论··············································································································1__11论文的选题背景及研究意义·······························································································1__111选题背景·····················································································································1__112研究意义·····················································································································1__12工期索赔的国内外研究历程·······························································································3__121工期索赔在国外的研究历程·····················································································3__122工期索赔在国内的研究历程·····················································································5__123我国因发包人违约引起的承包人工期延误索赔待解决的问题·····························7__13关于工期索赔的文献综述···································································································8__131工期索赔问题的提出·································································································8__132学者对工期索赔原因、计算方法的认识································································11__133文献总结···················································································································14__14本文的研究方法、主要内容及研究思路·········································································15__141本文的研究方法·······································································································15__142本文研究的主要内容·······························································································15__143本文的研究思路·······································································································16__第二章发包人违约引起的承包人工期索赔概述··················································18__21发包人违约引起的承包人工期索赔概念与特征·····························································18__211发包人违约引起的承包人工期索赔的概念···························································18__212发包人违约引起的承包人工期索赔的特征···························································18__22发包人违约引起的承包人工期索赔原因、程序、证据获取及处理原则·····················19__221发包人的违约行为···································································································19__222发包人违约引起的承包人工期索赔的程序···························································21__223发包人违约引起的承包人工期索赔的证据···························································24__224发包人违约引起的承包人工期索赔的处理原则···················································25__第三章发包人违约引起的承包人工期延误索赔的分析······································29__31发包人违约引起的工期延误索赔的定义及分类·····························································29__311发包人违约引起的工期延误索赔的定义·······························································29__312发包人违约引起的工期延误索赔的分类·······························································30__32发包人违约引起的工期延误索赔步骤与进度分析·························································31__321发包人违约引起的工期延误索赔分析的步骤·······················································32__322发包人违约引起的工期延误索赔的进度分析·······················································34__33几种常见发包人违约行为导致工期延误索赔的分析·····················································35__331发包人拖延支付预付款或工程进度款···································································35__332发包人拖延提供施工图纸·······················································································36__333发包人拖延提供合同规定的材料和设备·······························································37__334发包人拖延提供施工场地·······················································································38__第四章承包人工期索赔的计算·············································································40__41发包人违约引起的工期索赔中应当注意的问题·····························································40__42工期索赔的计算方法·········································································································40__421网络分析法···············································································································41__422动态分析法···············································································································42__423网络分析法与动态分析法的比较分析···································································43__43案例分析·····························································································································44__431案例一·······················································································································44__432案例二·······················································································································47__第五章总结与展望································································································54__51总结·····································································································································54__52展望·····································································································································54参考文献··················································································································55致谢··················································································································58外文文献··················································································································59中文译文··················································································································66____天津理工大学2012届本科毕业论文__第一章绪论____11论文的选题背景及研究意义____111选题背景__随着我国国民经济和现代化进程的稳步增长,工程建设规模越来越大,工程承包市场的竞争也日趋激烈,在此大环境下,索赔的意义和作用就显得尤为重要。根据有关资料显示,在不包括人员和时间上的巨大费用的前提下,全世界范围内的建筑工程每年索赔涉及到的直接金额约为十几亿美元【1】。目前,索赔己成为体现工程综合管理能力的重要标志,更是确保工程建设的各参与方全面履行合同义务的重要手段。我国的工程索赔是在20世纪80年代的云南鲁布革引水发电工程中出现的【2】,该工程对水电站引水系统工程进行了国际竞争性招标,首次采用国际工程管理模式,自此索赔的概念开始进入中国。在如今的现代化社会发展中,索赔已经深入到了建设工程项目中,但是对于我国的市场来说,承包人对于索赔的意识还很薄弱,需要进一步的强化,因此本文将在《标准施工招标文件》的基础上,研究承包人的索赔问题,尤其是本论文的观点,因发包人违约引起的工期延误的索赔。__在当前的研究领域上,由于发包人的违约引起的工期延误问题是应该特别注意的。我国的工程项目承包人由于缺乏一定的索赔意识,往往导致在发生发包人违约的情况下,不想引起纠纷而自动放弃索赔工期和相应费用的权利。而发包人也利用这一空隙投机取巧,为自己的责任造成的损失,不给予任何工期补偿和费用补偿。这对承包人来说,不仅仅是损失一定的费用问题,若是由此造成工期的拖延,发包人会向承包人索取延期罚款,同时也对承包人公司的信誉造成影响。由此可见,承包人应该重视发包人的违约行为,重视由此造成的工期延误问题,所以,工期索赔是承包人维护自己合法权益、确保工程如期完成最好的方法。__112研究意义__自改革开放以来,我国建筑业取得了迅速的发展,几乎所有的建设工程项目都实行了招标投标承包制。目前,我国建筑业己进入买方市场,工程承包竞争日趋激烈。在买方市场中,建设单位为了节约投资,千方百计地将工程风险转嫁给施工企业,而施工企业为了获得项目,只能压低报价,以利润少风险大的低价进行投标;施工企业中标之后,建设单位往往会提出1__天津理工大学2012届本科毕业论文__非常苛刻的条件与承包人签订合同;而签订合同后,建设单位又会以各种各样的理由抵扣承包人的工程款,使承包人处于不利地位。而承包人主要应对的策略之一就是通过施工索赔,减少或转移风险,保护自身正当利益,弥补工程损失,赢得利润。因此,“中标靠低价,盈利靠索赔”是许多承包人的经验之谈【3】。在承包合同执行的过程中,由于发包人的一些违约行为,不可避免要引起承包人的某些经济损失,根据合同条件,承包人有权提出这种经济损失的补偿而形成工程索赔,尤其是工期延误的工期索赔,这是承包人争取合法利益的最有效措施。通过工程索赔,对于加强项目管理、合同管理、建立市场经济新秩序、促进经济发展和提高企业素质、保护企业合法权利、提高建设效益,都将发挥重要作用。__在工程索赔中,工期索赔的意义在国际工程承包中也得到证明。例如:在香港木湖—大榄涌输水管线施工中,承包人——中国建筑广东水利联营公司因发包人和其他原因,致使工程发生较长时间的拖延,不但将受到发包人2900万港元的拖期罚款,而且以后也将难于在香港立足【4】。在这种极为困难的情况下,承包人经过充分、艰苦地准备索赔资料,提出工期索赔申请并取得成功,不仅得到了赔偿,还使承包人信誉也得到恢复和公认。因此,工期索赔对承包人来说有着很重要的地位,主要表现在以下几个方面:__1.能够避免或减少拖期罚款__在国际上承包是一项高风险的事业,承包人在项目完工后因拖延了工期而被发包人罚款,遭受严重经济损失的情况时常发生,拖期罚款可以使承包人在某一项目或某一地区的经营成果以失败告终,甚至使承包人遭受破产危机。但是,造成拖期的责任有时并不在承包人方,而是恰恰相反,主要是发包人的原因,或其他第三方的原因,如意外风险、不可抗力等原因。在这种情况下,及时、有效地进行工期索赔,是避免或减少拖期罚款的最好措施。__2.为费用索赔创造条件__工期索赔时常伴随着费用索赔,但与费用索赔相比较,工期索赔一般较易于被发包人(监理人)接受,如发包人提出变更设计、延误提供施工场地、特殊恶劣的气候条件等所造成的工期拖延,对发包人来说这是难于否定的。所以,承包人往往以工期索赔为前提,一旦工期索赔成立,就为费用索赔的成立奠定了基础。__3.有利于维护承包人的市场声誉__对于承包项目来说,任何在当地有一定影响性的工程,如果发生较长的工期拖延情况,必定对承包人的信誉造成威胁。这时,如果承包人提出工期索赔并获得成功,其结果必然不只限于经济上的收获。由于工期索赔成功,分清了拖期的责任归属问题,承包人的施工能力和经营管理水平就将得到正确评价,其信誉自然得到维护,这是承包人在竞争中继续生存发展的必要条件。____2__天津理工大学2012届本科毕业论文__12工期索赔的国内外研究历程____121工期索赔在国外的研究历程__从20世纪70年代开始,由于建筑工程承包施工领域内的竞争日趋激烈,工程承包企业利用相互压低报价以求中标,所以在施工过程中亏损现象年年增加,工程索赔便慢慢提到工程承包界的议事日程上来,并且成为承包人施工过程中必不可少的管理行为,成为承包企业保护其自身经济利益的基本管理行为。从九十年代开始,西方工程界注意研究的热点问题便是工程索赔【5】。同时,根据国际工程本身的特点,如现场条件、人为干扰和施工环境变化等因素,引起的超出合同条件规定的事件发生,使得承包人和发包人在工期问题上发生不可避__【6】免的变化,而导致的承包人与发包人之间工期索赔事件频繁发生。其研究范围之广泛,不__仅涉及到合同、法律规定,还涉及到经济、管理等学科领域,不仅有理论的探讨、还有实践经验的总结。通过五十多年的不断研究,国外索赔领域积累了比较丰富的经验,形成了一定的理论体系,成立了规模比较完善的组织机构。__由于工程建设实践的需要,国外对工程索赔的重视程度逐年加大,在这方面的工作也开展的比国内要早很多,至今在国际上应用比较广泛的管理费索赔公式,即源于1960年美国“合同纠纷仲裁团(BCA)”对Eichleay公司索赔案的仲裁【7】。在此之后的理论研究上,著名的研究成果还有1989年托马斯提出的生产率影响系数PIF、James·J·Adrian著的《ConstructionClamis—AQuantitatineApproach》、VineentPowell-Smith和Douglas·Stephenson合著《CivilEngineeringClaims》、DavidChappell著的《Contractor’sClaims》等等;在工期索赔方面,还有很多涉及多事件交叉干扰下的研究,如AndrewDNess和ThelenReid在《Whenthegoinggetthough-analyzingconcurrent》中基于不利于承包商原则和初始责任人原则提出了多事件交叉干扰的工期索赔处理方法、MasahikoKunishima和EMikioShiji在《ThePrinciplesofConstructionManagement》一书中对网络计划技术进行了深入的研究并给出了利用网络计划技__【3】术计算索赔值的模型。在合同条件研究上,国际上常见的有国际咨询工程师联合会(FIDIC)__编制出版的《土木工程施工合同条件》、世界银行发布的《工程采购招标文件样本》、英国土木工程师协会编制的ICE合同条件和皇家建筑师协会编制的JCT合同条件、美国建筑师协会制定的AIA合同条件等等【7】,在不断使用的基础上合同文件也在不断的完善和发展,如FIDIC合同条件,经过几十年的不断修改与完善,已经从1957年的第一版、1969年的第二版、1977年的第三版、1987年的第四版,直到现在应用的99年版。在组织机构上的研究成果主要有美国土木工程师协会AmericanSocietyofcivilEngineering,简称ASCE、国际咨询工程师联合会、英国土木工程师协会、皇家建筑师协会、美国建筑师协会等。由以上可知,对于工期索赔的研究主要体现如表11所示:__3__天津理工大学2012届本科毕业论文__表11国外对工期索赔的研究内容__Table11Foreigntotheresearchcontentoftimeclaim__资料来源:自行绘制__4__天津理工大学2012届本科毕业论文__由此可以看出在国际上承包人对于索赔的相关理论运用得比较充分,主要侧重于对索赔进行合同、法律上的责任分析,而且紧密结合具体的合同条件制定索赔对策,获得应得的利益,保证自己的权益。除此之外,国际上工期索赔的应用中,网络技术的应用尤其广泛。利用文字处理、表格处理、进度控制等计算机常用软件收集整理数据、准备索赔材料和运用基本的计算功能进行工期索赔的相关计算,改进日常报表工作等,这部分得到的结果往往是其他应用方面的基础。利用计算机仿真和人工智能技术模拟施工过程,以便及早发现问题并解决问题,从而达到预防索赔的目的,利用多媒体技术和数据库技术对施工数据进行分类、汇总、存储和提取,能够有效的支持索赔。__总体来说,国外建筑施工企业索赔管理不仅在理论研究上取得了优秀的研究成果,而且在实践运用中也取得了较丰厚的效益。使得承包人在进行工期索赔的过程中,既有完善的理论依据做指导,又有一定规模的研究机构作辅助。相辅相成,自成一体,值得广大工程管理人员学习和研究。__122工期索赔在国内的研究历程__索赔研究在我国是从20世纪80年代在云南鲁布革引水发电工程首次采用国际工程管理模式中出现而开始的,尽管经过了二十多年的研究和发展,相继颁布了《建设工程施工合同》、《建设工程施工合同管理办法》,特别是国家出台了《中华人民共和国建筑法》、《中华人民共和国招投标法》、《建设工程施工合同》修订版以及我国2003年7月1日正式实行的《建设工__【5】程工程清单计价规范》,这些法律法规,使得建筑领域有法可依,有章可循,给建筑施工单__位提供了良好的外部环境,但是,由于我国在索赔领域的研究时间很短,研究内容、方法和成果仍然处于初级阶段。国内的索赔市场还很薄弱,对于索赔还没有真正的认识其重要性,要是如此情况下进行工期索赔,不仅不能够提出具有力度的证据支持,还会造成工期的延误,使发包人对此进行施工延误罚款,对承包人本身的利益没有任何的好处。__在对工期索赔的研究过程中,我国许多学者都做了很多的研究,主要有1997年石勇民【8】分别从业主和承包商的角度对索赔进行了分析、胡云世等人【9】对工期索赔的原因及计算方法的论证、莫俊文等人【10】对索赔合同条款依据的探讨、李锦飞等人【11】对多交叉事件干扰下的责任分摊研究、尹健【12】关于工期管理方法和应用的研究和刘萍【13】对索赔决策系统的研究等。通过这些研究,使我国工期索赔市场的潜在问题浮出水面,一直以来我国不是没有问题,而是忽视了问题的所在。因此,本论文主要以国内工期索赔市场为研究背景,对国内工期索赔系统的不完善性进行分析,如表12所示:____5__天津理工大学2012届本科毕业论文__表12国内对工期索赔的研究内容__Table12Domestictotheresearchcontentoftimeclaim__资料来源:自行绘制__6__

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