TRAINING COURSE - CLAIMS

FIDIC / Contract Management

培训课程 - 索赔

菲迪克/合同管理
TRAINING COURSE - CLAIMS
FIDIC / Contract Management
培训课程 - 索赔
菲迪克/合同管理

TRAINING COURSE - CLAIMS:FIDIC / Contract management

培训课程索赔 菲迪克/合同管理...............................................................................................................1
1.0 Need for course 课程需要.................................................................................................................1
2.0 Why have the FIDIC Contract?为什么使用菲迪克合同..................................................................1
2.1 How could the Contract be perfected?如何完善合同......................................................................3
3.0 Why is the Contractor intent on making claims?为什么承包商要决心实行索赔...........................6
4.0 The Contractor's programme / circumstances on site and entitlement to extension of time
承包商的进度及现场详细情况及工期延长的权利 .....................................................................9
4.1 Programme and Methods 进度及方案.............................................................................................9
4.2 Comment on programming in Contract X X 合同的进度评论..........................................10
4.3 Excerpt from ICE 6th Guidance Notes on the Clause 14 Programme 在
ICE 第六版前言关于 14 条款进度的摘录 ..................................................................................14
4.4 Programme to be furnished 需提供的进度....................................................................................14
4.5 Revision of scheduled programme 更新已制定进度.....................................................................18
4.6 Extension of time and FIDIC 工期延长及菲迪克.........................................................................20
4.7 Acceleration 赶工............................................................................................................................21
5.0 The relationship between measurement and payment 计量与付款的关系.....................................22
5.1 The payment to works unapproved by the Engineer 工程师未批准的工程的付款......................22
5.2 Payment for concrete works 混凝土工程的付款...........................................................................23
6.0 Quality control 质量控制.................................................................................................................25
6.1 Quality Inspection 质量监测..........................................................................................................25
6.4 Process Control 进度控制...............................................................................................................26
TRAINING COURSE - CLAIMS: FIDIC / Contract management
培训课程 –索赔 菲迪克/合同管理

1.0 Need for course 课程需要

On a previous Project, about two years into the job, various questions were
asked on contractual matters and letters were written that demonstrated that
some aspects of FIDIC were not well understood.
在早先的一个工程中，当工程进行了两年，一些关于合同的各种不同的问题被提了
出来，同时也写出了一些信函，这些函件表明了 FIDIC 某些方面没有被很好的理
解。

This short course reviews those questions and the answers in an attempt to
ensure a better understanding of FIDIC.
这个短期的课程回顾了这些问题和答案，旨在确保对 FIDIC 有个更好的理解。

The original comments were written in response to questions from the Engineer.
It is intended that the questions, answers and additional comments will assist in a
broader understanding of the contract mechanisms and how it should be
administered.
最初的评论是回复工程师提出的问题。问题， 答案及附加的评论将有助于更透彻
的理解和管理合同机制。

Further questions are welcome. 欢迎进一步的提问

2.0 Why have the FIDIC Contract? 为什么使用菲迪克合同？

In Chapter 1 of his book "The FIDIC Form of Contract" Bunni states:

在书“菲迪克合同模式”第一章节中，Bunni 陈述道：

"In the commercial activities of today's highly complex society, standard forms of
contract have become an essential part of the day to day transactions of most
agreements. The majority of standard forms have been developed by commercial
organisations for the purpose of efficiency, to build on the experience gained
from the repeated use of these forms, but most of all for the optimum protection
of one or both parties' interests. Standard forms of contract developed for
construction activities, however, have mostly been drawn up by independent
professional organisations, rather than by one or other of the parties to the
contract in order to establish or consolidate a fair and just contract.
Knowledge accumulated through experience and recurrent use over along period
of time has brought about revisions and modifications in construction standard
forms with the aim either of achieving greater certainty in the intention of the
wording or of providing a response to the needs of the parties and / or society.
The use of a standard form in construction contracts where tendering is the

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conventional method of obtaining quotations has also ensured a common basis
for the comparison and evaluation of tenders." (emphasis added)
在今天极度复杂社会的商业活动中，标准的合同模式已经成为绝大部分协议的要处
理的日常事务的必要组成部分。为了提高效率，基于反复使用这些模式所获的经验，
一些商业组织发展完善大部分标准模式，但是大部分都是为了最适当的保护一方或
双方的利益。 标准合同模式是为施工活动制定的，然而，为了建立和巩固一个公
正和同，合同大部分不是被合同一方或其他方而是被一些独立的专业组织草拟。通
过经验累积的知识和长时间的重复使用，施工标准合同模式已经出现了修订版和修
改版，目的是取得措词上的确定性和满足来自合同方和 /或社会的需求。当以招标
作为传统方式获取报价的时候，施工合同对标准合同模式的使用确保了对不同标的
做比较和评价的一个基础。（增加了强调）

The point about a fair and just Contract was been made by the Dispute Review
Board on the above referenced contract many times. In accordance with the
requirements of the Contract, the Engineer and the Engineer's staff must act
fairly and reasonably at all times.
关于上述合同，争端审查小组很多次提出了公正合同的要点。也就是根据合同的要
求，工程师及其职员必须表现一贯公正合理。

Nevertheless, it remains incumbent upon the Contractor to properly give notice

and particulars of negative effects on his progress and costs (claims) if the
Contractor believes he has entitlements under the Contract.
不过，如果承包商认为合同条件下，他有权利索赔的话，承包商有责任和义务适当
的发出通知和提交对其进度和费用（索赔）负面影响的详细情况

The use of a standard form means that international contractors are familiar
with the Contract and how it works - or is supposed to work! Even if the
contractual machinery is not followed correctly at site level by the Engineer, the
Contractor is able to obtain redress through the DRB, the Dispute Adjudication
Board or arbitration.
标准合同模式的应用意味着国际承包商熟悉合同及其运作或应该运作的方式！尽管
在现场层面上工程师没有正确的遵循合同机制，承包商能够通过 DRB，DAB 或者
仲裁获得赔偿。

The common basis for the comparison and evaluation of tenders allows
straightforward selection of the lowest price / best technical proposal or other
relevant criteria.
比较和评估标书的共同的基础允许做出对最低报价，最好技术建议或其他相关方面
的直接的选择。

It is all about getting the best tender price for carrying out the Works shown
on the tender drawings and described in the specification.
这都是为了得到最好的投标报价以开展在投标图纸所显示和技术规范所描述的工程。

2.1 How could the Contract be perfected? 如何完善合同

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The following general comments may indicate how things could be improved on
any project in the future. It should be borne in mind that it is unlikely that a
"perfect" contract will ever be achieved in any human endeavour involving the
number of people and organisations involved in a construction project. It should
also be remembered that the designer, Employer, Contractor and Engineer
would also give a different definition of ‘perfect’, if asked. The FIDIC Contract is a
fair and just contract to both parties but must be administered and managed
according to its intent.
下列评论表明在未来任何工程如何改善事务。应该记住，任何与施工项目有关的人
力，包括人和组织，都不可能完成一个完美无缺的合同。也应该记住，如果询问设
计师，业主，承包商，工程师的话，他们会给出不同‘完美‘的定义。对于双方而
言，菲迪克合同是公正的合同，但必须根据它的最初意图去管理和经营。

The Contract itself is a means of identifying the responsibilities and liabilities of

the parties to the Contract. The Drawings and the specification define the actual
requirements for construction. Construction then depends on the successful
transfer of information between the people involved and the translation of that
information into the finished project.
合同本身是识别合同各方的责任和义务的途径。图纸和规范为施工确定了实际的要
求。然后施工依赖于双方有关人员间信息成功的沟通及将该沟通转化到已完成的项
目。

At its most basic level this is not about FIDIC. It is about management and
people. Management has four main functions:
在最基本的层面， 这与菲迪克无关。它是关于管理和人。管理有 4 个主要的功能：
 Control 控制
 Planning 计划
 Decision making 决策
 Organising 组织

These functions are carried out by the Employer, the Contractor and the
Engineer within the framework of the FIDIC Contract on this project. If the
Contract is not followed confusion arises, distrust develops and relationships
break down. This results in energies being directed into disputes rather than into
resolving problems and building a successful project. In the rest of the text of this
course note how often the words describing the four functions of management
appear. Because construction is all about people working together other
attributes such as understanding, relationships, cooperation, trust, teamwork and
so on are also important.
这些功能是由业主，承包商，和工程师在这个项目上菲迪克合同模式范围里来开展
的。在这个课程的其他文本频繁出现描绘管理的四个主要功能的词。因为施工就是
关于在一起工作的所有人，其他的如理解，关系，合作，信任和团队精神等等也很
重要。

The fundamental need for everyone involved in the tender and execution of
any construction project at any level and in any of the organisations involved is

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to understand what their responsibilities are, how best to carry them out
and how they interface. This can only be achieved by co-operation.
对于标书中涉及到的所有人及任何层面上施工项目的执行及任何所涉及的组织，最
基本的需求就是理解他们的责任所在，如何更好地履行它们及怎样协调它们。这只
能靠合作来达成。

At the planning stage it is important that the Employer's, the Engineer's, the
designer's and the Contractor's organisations are set up in order that they can
properly discharge their duties as required by the Contract.
在计划阶段，为了适当的履行合同所要求的职责，建立业主，工程师，设计师，和
承包商的组织机构是很重要的。

In advance of the award of the Contract the Employer should have in place the
personnel and the preliminary work to ensure for example that Site possessions
can be given when necessary. A contract team should ensure that decisions on
design, engineering, payment and any other matters are made when
required or necessary. In accordance with the Contract the Engineer can vary
the Works at any time. This is one of the great benefits to the Employer. The
Contractor must then be compensated for these changes, also in accordance
with the Contract.
在授标之前，例如为了确保必要的时候现场拥有权的授予，业主应将人员及初步工
作就位。合同小组应确保在要求或必要的时候，做出对设计，工程，付款及其他方
面的决定。根据合同，工程师可以在任何时候更改工程。这是对业主的巨大利益之
一。同样根据合同，对于这些变更，承包商应当获得补偿。

The Engineer should review the specification and list the submissions required
from the Contractor before the commencement of the Works. These should be
listed in relation to the Contractor's Tender programme in the first place and later
the programme issued in accordance with the Contract. The Engineer should
ensure that he has, or will have, enough experienced staff to review and respond
to the Contractor's submissions as and when needed. Experienced staff should
be available to supervise the construction of the Works and respond to the
Contractor's needs for clarification and instructions as required. Engineering
decisions will need to be made expediently and an interface with the designer
should be planned for this.
在开工之前，工程师应审查规范并列出承包商应该提交的文件。首先根据承包商标
书的进度计划，然后根据合同签发的进度计划列出提交文件。 工程师应确保必要
的时候他有足够的或将有足够的有经验的员工来审查和回复承包商提交的文件 。
有经验的职员应能够监管工程的施工并对承包商所需要的澄清和指示做出回应。工
程师应做出适当的决定，为此与设计师的的交接也应做出计划。

The Contractor will have only carried out relatively basic planning of his
personnel, equipment, materials and methods during his Tender. The first few
months following the award of a contract are always chaotic. Within a very short
period the Contractor has to mobilise to site and commence the Works. In order
to effect payment a vast amount of documentation has to be prepared and

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issued. The Contractor depends on the Engineer throughout the entire process.
The Engineer should ensure that the Contractor is directed towards providing
satisfactory information as specified. The Contractor and the Engineer both use
this information to organise and control construction to ensure that the
specification requirements are achieved.
承包商在投标期间将只能完成相关基本的人员，设备，材料及施工方案的计划。授
标后的前几个月通常是无秩序的。在短时间内，承包商必须动员到场并开始施工。
为了履行付款，必须准备和签发大量的文件。整个过程承包商依靠工程师。工程师
应确保指导承包商提交令人满意的信息。承包商和工程师双方使用此信息来组织和
控制施工来确保满足技术规范要求。

Quality assurance is an excellent method of ensuring good organisation and

control. Provided straightforward systems of working are described using
flowcharts and hold points it is relatively easy to show interfaces, stage
requirements for information, submittals, decision making and so on. If the
Engineer's and Contractor's staff work together to develop these systems they
can both explain to each other their problems and determine solutions. If they
work separately or do not communicate what they need from each other
effectively barriers can be built because each can believe the other is being
obstructive.
质量保证是确保良好的组织与控制的极好的方法。如果利用流程图和节点来描绘工
作系统，那就很容易表示交接面、信息的阶段要求、文件的提供及决策等等。如果
工程师和承包商员工能够一起合作来发展这些体系，他们可以相互阐述问题并决定
解决办法。如果他们各自独立工作或者没能有效的沟通彼此需求，障碍就会产生，
因为彼此都认为对方在妨碍着自己。

This same answer is also the key to making improvements to the construction
process. In order to avoid disputes developing, the Engineer's and Contractor's
staff need to work together to develop systems and solutions. Energies are often
dissipated exchanging correspondence on many pertinent problems that does
not resolve anything.
同样的答案也是对施工过程做出改善的关键。为了避免争端的产生，工程师和承包
商的员工需要共同工作来逐步完善体系和找到解决方案。往往很多精力浪费在函件
交流中，这些函件是关于很多相关的问题，但却不解决任何事情。

It is important for both parties to be reasonable and, appear to be reasonable in

all forms of communication. This is particularly important in respect of matters
that may subsequently be raised before the DAB or go on to arbitration. The
Contractor and Engineer must direct their efforts towards achieving engineering
and commercial solutions to the present and future problems.
在任何形式的沟通中，双方是理智的或表现为理智的是重要的。关于那些最终会对
DAB 提出的或交付仲裁的事务，这一点尤其重要。对于现在的和将来的问题，承
包商和工程师必须努力获得工程技术上的和经济上的解决方案。

For example: 例如：

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 If there are deficiencies in the design these should be addressed and
resolved. 如果在设计上有不足，这些应该被提出并解决。
 If the Construction Drawings show changes from the Tender Drawings these
are likely to be variations. Formal variation orders should be raised in respect
of changes made since the Tender and payment matters should be resolved.
如果施工图显示了与表述图纸的不同，这些很可能是变更。关于变更，既然标
书和付款事宜应该被解决，正式的变更令应该被提出。
 Uncertainties regarding areas of risk and responsibility may require
resolution.
关于风险和责任方面的不确定性需要解决。
 In certain circumstances, the Engineer may need to review the "as built"
situation with the designer (and the Contractor) and identify where a
pragmatic approach to the specification design tolerances could be taken. If it
is not possible to obtain the perfect result required by the designer changes
should be made to obtain a solution that is satisfactory to all parties.
在某些情况下，工程师有必要和设计师（和承包商）审核“实际”情况并确定
对规程设计误差采取实际的方法。如果获取设计师要求的完善结果是不可能的，
解决方法是做出令所有方满意的变更。

Engineering and technical problems that lead to changes in the specified

works have cost consequences. These will be greater if they are not resolved
expediently and are ultimately referred to arbitration.
由工程和技术问题引起的在指定工程的变化，最终会对费用产生影响。如果没
有适当的解决影响会变大，并最后会提交给仲裁来处理。

3.0 Why is the Contractor intent on making claims? 为什么承包商要决心实

行索赔
The rights and responsibilities of the parties are described in the Contract. The
Contract and specifications state what should be done by the parties and / or
their agents or servants. If what ought to be done is not done or it is not done on
time the Contract provisions specify what should be done in order to restore the
balance of risk and responsibility.
合同中阐述了合同各方的权利和职责。合同和技术规范表述了合同各方或他们代理
及雇员应做的事情。如果应该做的没有做或者没有按时完成，为了恢复风险和责任
的平衡，合同规定详细说明了所要采取的措施。

Claims should be considered as the assertion of a right or entitlement under the

Contract. In the first instance the Engineer must consider that the Contract price
is arrived at a considerable time before the works are even started. Secondly, the
Contractor is not in a position at tender to price for possibilities. The Contractor is
entitled to expect from the Contract that any changes from what is specified,
interference with his programme and / or payment will be dealt with in
accordance with the Contract. Thirdly, if the Contractor had priced, or been able
to price, for the actual circumstances with the benefit of hindsight the price would

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have been higher. Fourthly, the Engineer must be in a position to identify when a
valid claim is made and take the appropriate action as required by the Contract.
索赔应被看作合同条件下对权利的一种声明。第一种情况，工程师必须考虑合同价
格在工程开工之前关键的时刻达成。其次，承包商不可能在投标阶段对可能性做报
价。承包商可以从合同中期望，所有变更、计划的干扰和 /或付款都应根据合同执
行。第三，如果承包商已经给出价格，或能够给出价格，那么根据情况及事后的利
益，承包商本应该给予更高的价钱。第四，工程师必须确定有效索赔，而且根据合
同采取适当的行动。

Claims fall into two main categories: 索赔主要分两种：

1) The occurrence of anticipated or specified events for which a remedy is

designated in the Contract,
预期或特定的事件的发生，其补救措施在合同中指定的。
2) An event occurs where a certain term of the Contract is breached and
there is a designated remedy.
当合同的某个条款被破坏，某个事件的发生，并有指定的补救措施。
The remedy is additional remuneration, entitlement to an extension of time or
both. Financial compensation may be due to the Contractor in respect of:
补救措施为额外的补偿、工期延长或两者兼有。承包商可获得经济补偿由于：

 Variations and / or changes in the specified sequence or timing 指定顺序或时

间上的变更或改变
 Measurement changes 计量改变
 The effects of unforeseen adverse physical conditions 不可预见不利自然条件
影响
 The Employer's risks 业主风险
 Compliance with statutes, regulations, price fluctuations etc 依据法令，规则，
价格浮动等等。
 Failure to commence, suspensions, release from performance etc 没能开工，
暂停，终止等等。

The Contractor may be entitled to an extension of time in respect of:

承包商有延长工期的权利由于：

 The late delivery of Drawings 图纸的晚递交

 Overcoming the effects of unforeseen adverse physical conditions 克服不可预
见的不利自然条件的影响
 Fossils and antiquities 化石和文物
 Tests required but not provided for 要求但没有提供的实验
 Suspension 暂停
 Failure to provided possession 没有获得提供的拥有权
 Other events that could come under the ambit of Sc. 8.4.

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 在 Sc.8.4 条范围内的其他可能发生的事件
 Right to suspend work or reduce rate of work under Sc. 16.1.
在 Sc.16.1 条款下暂停工程或降低工程价格的权利
Reimbursement of additional cost may also stem from the above. Loss and
expense would be claimed under Sc. 20.1. It should be noted that the relevant
contract clauses refer to the Contractor's entitlement to additional time and / or
money.
额外费用的补偿也源于上述几条。 损失和费用将依据 Sc.20.1 索赔。应该注意的
是应提到承包商的额外时间和/或费用权利的有关合同条款。

For an example of a possible claim consider the situation where the specification
refers to the use of a special type of cement in a particular type of ground
condition. No BOQ item is provided for the use of this material nor is its use
shown on any tender Drawing. Can the Contractor conceivably have priced for
the testing and use of this special cement or have considered the effect of its use
on his programme? Before coming up with an answer imagine yourself in the
Contractor's position when compiling the tender submission. How should the
matter be dealt with?
例如可能的索赔应考虑到在特定地质条件下使用特殊水泥的技术规程。为使用这种
水泥 BOQ 表里没有相应的条目，投标图纸也没有显示在何处使用。承包商怎么可
能对这种特种水泥的试验和使用进行报价呢？ 或者是在他的计划中怎么考虑使用
这种材料所造成的影响呢？做出答复之前，当编辑提交的标书的时候，想象你自己
处于承包商的位置。这件事情该如何处理？

4.0 The Contractor's programme / circumstances on site and entitlement

to extension of time 承包商现场计划和详情以及工期延长的权利

The general rule is that the programme is supposed to reflect the Contractor's
intention at Contract award. It should be borne in mind though that the Contractor
may programme differently in order to shorten the construction period in order to
reduce his costs. When approving the programme some time after the award of
the Contract the Engineer should generally ignore the actual events on site that
may be different to those programmed. This could be different if, by his actions or
in-actions, the Contractor indicated no intention to follow the programme.
Nevertheless, the Engineer should ask for an updated programme that takes into
account the actual circumstances and shows the changed intentions of the
Contractor as soon as appropriate in relation to the actual circumstances. Doing
this at the time provides great benefit if entitlement is claimed to an extension of
time at a later date. There is therefore no excuse for the Contractor not providing
revised programmes nor for the Engineer not requiring them.
通常的规则是：计划应该体现授标期间承包商的意图。然而应该记住的是为了缩短
工期和减少费用，承包商可以制定不同计划。 在授标之后一段时间当工程师批准
计划的时候，通常会忽略现场的实际情况可能会与计划不同。如果承包商的行为或
正在采取的行为显示了他无意遵循计划，事情就不同了。然而，工程师应该索要最
新的计划，此计划把实际情况考虑进去，并恰当迅速的表明了由于实际情况，承包

8
商改变的意图。如果工期延长的索赔提出的较晚，上述做法会有很大帮助。因此，
承包商未提供修改计划不能成为理由，工程师未要求该修改计划也不能成为理由。

An excerpt from the guidance notes to the 6th Edition of the Institution of Civil
Engineer's Contract (ICE 6th Edition) is attached at the end of this section. It
explains in detail the points that should be considered in the approval of the
programme. In addition, more detailed comments are provided in the excerpt
which relate to the matters discussed above. Please note that the clauses and
conditions of the ICE Contract have a number of differences with the FIDIC
Contract but the general comments on the programme are relevant.
土建工程师合同协会第六版（ICE 6th ）前言的摘录被附在这部分后面。 对于计划
的批准，它详细地解释了应该考虑的要点。另外，在摘录里，提供了更多的关于上
述讨论事务的详细评论。请注意 ICE 合同条款和 FIDIC 合同有很多不同，但是关
于计划的一般评论是相关联的。

4.1 Programme and Methods 计划和方案

Some detailed comments on the programme and methods are included in the
excerpt from the ICE Contract guidance notes. The programme and methods
should be considered as inseparable. The Contractor's methods plus the labour,
materials and equipment used directly dictate the rate of production that can be
achieved. Contractors may programme based on over optimistic production
rates. A comparison of programmed versus actual production in a non-delayed or
disrupted situation can show that the real reason for delay is a consequence of
over optimistic programming. Detailed records are invaluable to properly
demonstrate whether this situation has occurred or not.
关于计划和方案的详细评论包含于 ICE 合同前言的摘要里。计划和方案应被看作
是不可分的。承包商的方案外加劳工、材料及直接使用的设备说明了可完成的生产
率。承包商可以基于乐观的生产率来制定计划。在无延误或被干扰的情况下，对于
计划生产和实际生产的比较，显示了延误产生的真正原因在于过于乐观的计划。为
了适当的证明这种情况发生与否，详细地记录起着不可估价的作用。

Detailed records are imperative in order to assess loss and expense claims.
Without them it is not possible to clearly demonstrate that tender planning was
over optimistic and projected costs too low as a consequence.
为了评定损失和费用的索赔，详细地记录是必要的。没有这些详细记录就不可能清
楚地证明投标计划过于乐观，而结果规划费用过低。

There are a number of matters the Engineer should consider when requesting
method statements. The Engineer should remember that the level of detail is not
laid down in the Contract. There may also be contractual difficulties if the
Engineer approves a method that later proves impossible. The Engineer must
be careful that the Engineer does not take on risks that are the Contractor's
under the Contract. The Engineer's legitimate interests in the methods relate to
the safety of people and the safety of, and effects of construction on, the

9
permanent works. If the Engineer delays approval by requesting details that he is
interested in but does not strictly need there may be a successful claim.
当要求方案的时候，工程师应该考虑一些事情。工程师应该记住，详情的标准并没
有在合同中制定。如果工程师批准了一个后来被证明是不可能的方案，这也可能会
有合同困难。 工程师必须小心不去接纳合同条件下承包商的风险。工程师对于方
案的合理的兴趣是与永久工程上的人员安全、施工安全及效果有关的。如果因为索
要他所感兴趣的但并不是严格意义上需要的详情，工程师延误批准，这将会是一个
成功的索赔。

4.2 Comment on programming in Contract X 对 X 合同计划的评论

Things went badly wrong at the early stages of Contract X. The Contractor
mobilized to site late and arrived on site just before the winter season. The
programme and methods were not fully developed and certain specified
requirements were omitted. Nevertheless, the Engineer approved the
programme. Delay and disruption followed while the Contractor developed
methods appropriate to the site conditions.
在 X 合同早期，事情进展得很糟。承包商很晚动员到场，而且刚好在冬季之前到
达现场。计划和方案没有完全形成而且某些特定的要求被疏漏了。然而，工程师批
准了计划。当承包商根据现场条件制定方案的时候，延误和干扰随即产生了。

The main reason for the delay and disruption could have been due to all parties
trying to do too much too quickly at the start of the winter season. The excerpt
from the ICE Contract guidance notes explains the difficulties in terms of poor
site relationships that can stem from a delay in the approval of the programme. It
does seem that the programme and the Contractor's plans were approved in an
attempt not to damage relationships and cause further problems. Nevertheless,
the Engineer should be in control of events.
延误和干扰产生的主要原因可能是由于在冬季开始的时候合同各方都在尽力太快地
去做太多的事情。ICE 合同前言的摘录解释了，不良的现场关系是由于批准计划的
延误所造成的。 看起来确实是这样，批准计划和承包商的规划，是 试图不破坏关
系和引起进一步问题。 然而，工程师应对事件有所控制。

Problems with an Extension of Time Claim on Contract X might never have

existed or their resolution may have been more clear if the Engineer had not
approved the programme, subcontractors and possessions without more
clarification, method details and / or drawings from the Contractor.
如果工程师原来没有批准计划、分包商和不清晰的拥有权、方案细节和 /或来自承
包商的图纸，那么 X 合同工期延长索赔的问题可能永远不曾存在或者会更清晰。

It certainly appeared from historical records that the Contractor had insufficient
planning and survey staff on site to achieve the ambitious mobilisation and
production that he had set himself in his programme. In fact, the Contractor
himself admitted that the timing of the letter of acceptance was a problem
because his staff, in his home country, were on holiday. The DRB expressed

10
their concern that work commenced without a QA/QC procedure in place. The
consequence was a suspension until the Contractor sorted out his methods.
历史记录的确可以显现出来，承包商在现场没有足够的计划和测量人员以实现其计
划所提出的雄心勃勃的启动和生产。事实上承包商自己承认，授标书的时间是个问
题，因为它的员工都在自己的国家休假。DRB 也表达了他们的担忧：即开工的时
候缺乏适当的质量保证和质量控制程序。结果就是暂停，直到承包商制定出方案。

It does seem that the Engineer and the Contractor did not have a close working
relationship from the very beginning. Adjacent offices would have done much to
improve the flow of information at this early stage. On the referenced Contract
the offices were 30 miles apart.
看起来确实是这样，工程师和承包商在最初的时候没有建立起紧密地工作关系。最
初的时候，相邻办公室本来可以做得更多来改善信息的沟通。在所提及的合同里，
办公室间的距离是 30 英里。

Refer to the underlined section of the guidance notes for further clarification of
the above comments. It is also important that the Engineer maintains a balance
between the information that he would like and the information that the
Contractor is required to provide under the Contract. Successful claims on other
projects have been made because the Engineer has delayed approval by
requesting ever more detailed information.
为进一步澄清上述评论，请参考前言中划线部分。获得如下两种信息的平衡也是很
重要的即：工程师想要的信息及合同条件下要求承包商提供的信息。因为工程师由
于索要更详细的信息而延误批准，其他项目上已经做出了成功的索赔。

From the Contractor’s standpoint it is important to get the necessary

programmes, methods and quality assurance documentation into place and
understood by the site teams in order to do the work efficiently when required by
the programme. If approvals are required, it may be expedient to provide the
Engineer with incomplete submittals and advise that more detailed information
will be provided when it becomes available. Then set stages for submission of
said materials.
从承包商的立场来看，为了按计划能更有效的工作，将计划、方案及质量保证文件
安排就绪，并让现场工作组理解,这是非常重要的。如果需要批准，会很便利的提
供给工程师未完成的文件，并说明可能的时候将提供更详细的信息。然后定出所述
材料提交的日期。

An example of this situation can be provided by consideration of a Milestone on

the Jubilee Line Contract 102 in London. A report was required describing the
Contractor’s plans for monitoring the construction of Westminster Underground
(Railway) Station. The station was built using diaphragm walls 40m deep around
and underneath the existing District and Circle Line Railway which was to be kept
operational while the project was constructed. The Contractor also had to
compile a Method Statement describing plans for monitoring the construction of
Waterloo Station and extensive other tunnels and shafts needed for the Project.

11
通过考虑伦敦 Jubilee Line 合同 102 的里程碑，可以提供这种情况的一个例子。需
要一份描述承包商用以监控威斯敏斯特地铁站施工的计划。地铁站的修建是利用在
现有区域和环线地铁周围和下面 40 米深的连锁桩墙，当此项目施工期间环线地铁
将被利用。承包商也必须编辑一份施工方案，来描绘对本项目所需要的滑铁卢车站
和其他渠道及竖井的施工的监控。

The Engineer for Westminster Station required an increasing level of detail which
was not needed at the time because excavation had not started. The Engineer
was advised, accordingly that the unreasonable requirements were negatively
affecting the development of methods for the entire project, some of which were
urgently required. The Milestone was valued at £4,000,000 (from memory) and
the Contractor was obliged to concentrate his efforts on meeting the Milestone to
the Engineer’s satisfaction in order not to negatively affect his cash flow. At the
same time, the Engineer needed to ensure that the monitoring plan for
Westminster Station was appropriate.
修建威斯敏斯特地铁站的工程师要求了更多的详情的提交。因为开挖还没有开始，
这些详情在当时是不必要的。工程师被告知，这种没有道理的需求会相应的负面的
影响整个工程施工方案的制定，其中一些方案是 迫切需求的。里程碑价值在
4,000,000 英镑（根据记忆），为了避免负面影响其现金流转，为达到工程师的满
意，承包商不得不集中精力来实现工程里程碑。同时，工程师有必要确保修建威斯
敏斯特地铁站的监控计划是合适的。
Compilation of the document required for the Milestone took longer than needed
but it was far from complete when submitted. Documentation, however, was
provided to indicate what further submissions would be provided, together with
technical descriptions of when and why said further submissions were needed.
编辑里程碑所需要的文件要花去更长的时间， 但是当提交的时候，远远还没完成。
然而，提交了的文件说明了哪些进一步的文件将被提交，还有什么时间和为什么上
述提交文件被需要的技术描述。

From the Employer’s position, it would have been better to have had the
Milestone at a later stage in the project. As it was, both the Contractor and the
Engineer were constrained by the requirement. If the requirement had stated the
level of detail the Engineer required, the Contractor would have been able to
provide a more responsive submission in the first place. The Engineer was left in
the position where the Contractor’s submission had to be appropriate otherwise
the Engineer would have been open to criticism in case of any deficiencies later.
从业主的角度，把里程碑放在工程的后期会更好。事实上，承包商和工程师都被这
种要求束缚了。如果要求说明了工程师需要的详情的标准，承包商很可能在开始的
时候就提供了更具响应力的文件。这样，工程师处于这种境况，即：承包商提交的
文件必须是合适的，否则在后期出现的任何缺陷会很容易招致工程师的指责。

12
4.3 Excerpt from ICE 6th Guidance Notes on the Clause 14 Programme
在 ICE 第六版前言关于 14 条款进度的摘录

(Note that the comments regarding the programme apply equally to UK,
international practice and FIDIC. The timings, the words and numbering of other
contract clauses quoted are not the same.)（注意关于计划的评论同样适用于英国，
国际惯例和菲迪克。所引用的时间的选择，措辞及其他合同条款的编号方式是不同
的）

"Clause 14 Preface 14 条款 前言

This is one of the most important Clauses because the agreed programme not
only controls the Contractor's actions but also sets specific requirements to be
met by the Employer and the Engineer. The Contractor's failure to comply with
this Clause would jeopardise his entitlements as detailed in these Notes.
这是最重要的条款之一，因为已经达成协议的计划不仅控制承包商的行为而且为业
主和工程师设置了需要满足的特定的要求。承包商没能履行这个条款将危及到他的
权利，这些权利在注释中逐条叙述了。

4.4 Programme to be furnished 需要提供的计划

Clause 14(1)(a) and (b) 14 条款（1）（a) 和(b)

The 21-day period from the award of the Contract to the submission by the
Contractor of his programme is of necessity short. During this period the
Contractor will be heavily committed in setting up the Works, marshalling his
resources, sub-contractors, staff, equipment, ordering materials etc. It is not
infrequently the case that the Contractor fails to put in a programme on time.
These first few weeks, however, can set the personal relationships of the parties'
representatives for the rest of the Contract. Delay at this juncture might adversely
affect those relationships.
从授标到承包商提交计划 21 天的时间必然是很短的。在这期间，承包商将承担很
重的任务建立工程、调配资源、分包商、员工、设备、订购材料等等。承包商没能
准时提交计划是常见的事情。然而，在开始的几个星期里，为了合同的其他部分，
应该建立起合同各方代表间的人际关系。这个环节上的延误可能会负面影响其他关
系。
To avoid delay and additional cost and a possible dispute situation, the
Contractor and the Engineer should agree the programme as quickly as possible.
A preliminary draft programme could be issued immediately after the award of
the Contract to show the Contractor's initial intentions and highlight his early
needs for information, possession etc. The Engineer's comments should be
sought at this early stage so that, by the end of the 21-day deadline for
submission of the programme and method statement, they are substantially

13
understood by the Engineer even if they have not already been accepted. The
requirements of the accepted programme could be affected by Clauses:
为了避免延误、额外的费用和可能发生的争端，承包商和工程师应该尽可能快地在
计划上达成协议。计划初稿可以在合同授标后立即提交，以表明承包商最初的打算
和突出他对与信息、拥有权等方面的早期需求。 应在早期就获得到工程师的评论，
这样，到提交的 21 天的最终期限为止，工程师能够充分的理解计划和施工方案，
虽然计划和方案还没有完全被接受。 已被接受的计划里的要求会被下列条款影响：

7 Further Drawings, Specifications and Instructions

进一步图纸，规范和说明
13(2) Mode and Manner of Construction 施工模式
17(3) Checking of setting out 放线检查
27(2) Public Utilities Street Works Act - Employer's Notices to the
Contractor 公用道路工程 法案-业主通知承包商
30(3) Tests 测试
31 Facilities for other contractors 其他承包商设备
40 Suspension of Work 工程暂停
41(2) Start of Works 工程的开始
42(1) Possession of Site 现场拥有权
44 Extension of Time 工期延长
46 Rate of Progress 工程进度
51 Ordered Variations 同意的变更
60(2) Monthly Payments 每月付款

The Engineer should ensure that the programme and the method statement are
realistic proposals for the execution of the Works in accordance with the
Specification and the Contract terms. They will alert the Engineer and the
Employer to the Contractor's requirements for detailed information and/or
possession of parts of the Site together with any permissions required in
accordance with Clause 46(2). If these requirements are not fulfilled, the
Contractor is likely to incur delay. He will be entitled to recover his extra costs as
long as he has not caused the delay himself, for instance, by the late provision of
information necessary for the Engineer's appraisal of the programme and method
statement.
工程师应该确保计划和施工方案是根据技术规范和合同条款，并为了工程的实施而
提出的非常现实的建议。这些建议将提示工程师和业主，关于承包商需要的详细信
息和/或现场各部分拥有权以及任何 46(2)条款下所需要的许可。 如果这些要求没
有满足，承包商将遭遇延误。承包商将有权利补偿额外的费用，如果延误不是他自
身造成的，例如，晚提交了一些必要的信息，这些信息是为了工程师评定计划和施
工方案的。

Production of a programme by the Contractor and its acceptance by the Engineer

are important if claims for disruption, delay, acceleration etc. become necessary
and are to be dealt with efficiently. Monitoring of the progress of the work in
relation to the programme is essential and forms a significant part of the
"contemporary records" referred to under Clause 52(4) (Notice of Claims).

14
如果对于干扰、延误、赶工等索赔变得很必要而且将被有效的处理的话，承包商制
定计划和工程师接受计划是很重要的。根据计划对工作进度的监控是必要的，而且
这种监控会形成一个“现场记录”（引用 52.4 条款: 索赔通知）的有效部分。

Contractors sometimes do not give the programme enough attention as they

carry out the Works. It is essential for them to progress and to be seen to
progress the Works in accordance with the programme from the outset.
有时候承包商在施工的时候没有足够的关注计划。从开始的时候，承包商依据计划
开展工作和被目睹依据计划开展工作是有必要的。

There should be no doubt concerning the intention of this Clause. The need for a
Contractor's programme and its acceptance by the Employer's Representative
(the Engineer) arises from the Contractor's undertaking in the Form of Tender to
complete the work "...within the time stated in the Appendix hereto" (see also
Clause 43 (Time for Completion) and Notes to Clause 7(4)).
关于这个条款的意图是毫无疑问的。对于承包商的计划和业主代表（工程师）对计
划的接受的必要性源于承包商以标书形式的对完工的承诺“…附件中所陈述的时间
范围内”（也见 43 条 （完工时间）和７（４）条款注释）。

The acceptance of the programme by the Employer and the Engineer does not
change the Time for Completion as set out in 'Part 1 of the Appendix to the Form
of Tender. The Contractor has the original period in which to complete the Works
before he becomes liable to pay liquidated damages for late completion.
业主和工程师对计划的接受没有改变‘标书附件第一部分’所陈述的完工日期。
在承包商对完工的延迟应付违约赔偿金之前，他有完成工程所需要的原始期限。

Where the Contractor fails to complete the work to his programme due to his own
shortcomings but does complete within the Time for Completion, he has to
absorb the additional costs which he has incurred. However, if the Contractor's
programme shows completion of the Works earlier than required by the Contract,
the Engineer's acceptance does not reduce the Contractor's rights to additional
payment for delay, even though the delay period is within the Time for
Completion of the Works.
由于自身的短处承包商没能按计划完成工作，但确实在完工日期内完成，这种情况
下，它必须承担因此产生的额外的费用。然而，如果承包商的计划显示工程完工能
早于合同所要求的时间，工程师的接受并没降低承包商因延误而得到额外费用的权
利，尽管延误阶段是在完工时间范围内。

There is no requirement for the Contractor to delay construction so as to fill the

period allowed in the Contract. Indeed, such a provision would be against the
Employer's interests. In order to put in his price, the Contractor must consider
carefully the costs for work items and the period he needs within the Time for
Completion to achieve Substantial Completion in accordance with Clause 48. He
has two areas in which he can effect price reductions:

15
对于承包商，没有要求其延误施工以填充合同允许的阶段。的确，这种规定会违背
业主的利益。为了提交价格，承包商必须仔细考虑工作项目的费用和根据 48 条款
下最终实际完工日期范围内他所需要的时间。通过两方面他可以达到费用减少：

- by carrying out each operation more efficiently, and 通过更有效地开展每

项工作，和
- by ensuring that, as far as practicable, he reduces the time of construction
and so saves head office and site overhead costs including the costs of
his Equipment on Site. 通过确保，尽可能实行的减少施工时间，这样就节
约了总部和现场的营业间接成本包括现场设备的费用。

Generally the greatest saving may be made in the second of these options. It is
inevitable, therefore, that most successful tenders will be based upon completion
within a shorter period than allowed for by the Employer. It is for this reason that
the Engineer is required to agree the Contractor's programme - so that he is
aware of the times when possession, information and further Drawings etc. are
required (see also Clauses 6 & 7).
通常通过第二种选择会产生大量的节约。 因此，最成功的投标不可避免的是基于
完工时间少于业主允许的时间。由于这种原因工程师需要同意承包商的计划 -这样
他便能清楚对拥有权、信息和进一步图纸等需求的时间。（见 6& 7 条款）。

In bidding for a contract in normal times, the Contractor makes a commercial

gamble that he will at least not lose money and at best will improve on the profit
margin included in the price. It is that gamble which the Employer relies upon to
obtain the lowest price for the work. Having made the bid, the Contractor must
then be free to execute the works in whatever manner he chooses, subject only
to the requirements of the Contract terms and the laws of the land.
在正常时期投标一个合同，承包商作了个商业赌注：他至少不会输钱而且最好提高
包括在价格里的利润率。业主也是依此赌注来获得工程的最低报价。中标后，只要
遵从合同条款的要求和当地法律的制约，承包商可以依据他所选择的无论什么方式
自由施工。

The shortening of the programme is therefore a normal commercial approach by

the Contractor. After the award of the Contract, the Contractor's construction
team are charged with the task of making a profit or giving reasons to their
company for being unable to do so. For this purpose, they will reassess the
programme and attempt to complete the work earlier than tendered if possible.
As they have to work to and justify the programme not only to the Engineer as
the Employer's agent but also to their firm's Directors, it is not in their best
interests to base it upon unrealistically fast construction or to exclude from their
review the various contingencies for which the Contractor is liable.
因此，缩短计划成为承包商的一个正常的商业措施。授标过后，承包商的施工队伍
承担起获取利润或者告知其公司他没能做成的原因的任务。为了这个目的，他们将
重新评估计划，并且在可能的条件下，努力提前于标书完成工作。因为他们必须依
据计划并证明计划是正确的，不仅仅是遵从作为业主代理人的工程师，而且还要遵

16
从他们公司的董事，如果是基于不现实的快速施工或者拒绝承包商有责任的意外，
这对承包商是没有益处的。

As a footnote to this section, reference is made to the case of Glenlion v.

Guinness Trust, where it was held that there was no obligation on the Employer
to provide information such that the Contractor was able to complete the Works
ahead of schedule. The said contract did not use the ICE 6 th Edition or the FIDIC
form of contract. It is important to understand not just the General Conditions of
Contract but also the other documents making up the Contract to ensure the
rights and responsibilities of the parties are clear.
作为这部分的脚注，参考 Glenlion v. Guinness Trust 例子，认为 业主没有义务提
供信息以使承包商能够提前完工。所述合同没有使用 ICE 第 6 版或者 FIDIC 合同
模式。这点是重要的，即不仅理解合同的一般条款而且理解组成合同的其他文件，
以确保合同各方的权利和责任是清晰的。

4.5 Revision of scheduled programme 更新已制定计划

If the Contractor's progress does not appear to conform to the approved

programme, the Engineer may request the Contractor to produce a revised
version of the original programme incorporating all necessary modifications to
ensure the time for completion. It is a useful practice for the Contractor to issue a
statement with the revised programme giving details of all known factors, such as
delays, late instructions, varied and additional works etc., which have
necessitated the modifications. The Engineer is entitled to request this
information. The revised programme should also record any extensions of time
granted to date. The Engineer should, wherever possible, make an interim
assessment of extension of time in accordance with the contract.
如果承包商的进度看起来没有符合批准的计划，工程师可以要求承包商制订原计划
的修改版，合并所有的修改以确保完工的时间。对于承包商来说下列做法是很有用
的，即连同修改的计划一起提交一份说明，详细介绍所有已知事实，如延误、延迟
的指示、变更的和附加的工程等，这些都需要修改计划。工程师有权利索要这些信
息。修改的计划也应该记录到目前为止所允许的延长的工期。在任何可能的情况下，
工程师应根据合同对工期延长做期中评估。

Contemporary issues of revised programmes as described above are needed on

which to assess entitlement to extension of time.
如上面所描述的与修改的计划同期出现的问题需要提交，用以对延长工期权利的评
估。

The Contractor is required give notice of the occurrence of delaying events and
provide further details and consultations in order for the Engineer to determine
the Contractor's entitlement to extension of time. An interim determination should
be made if the event has a continuing effect, or if its effects cannot be fully
assessed at the time.

17
承包商需要对延误事件的发生发出通知，并提供进一步的详情和磋商，以便工程师
能够决定承包商的延长工期的权利。如果事件有着连续的影响或者它的影响目前不
能被评定，那么应做出期中决定。

Any failures by the Contractor regarding programmes, notice of site possession,

Drawings and sub-contractor's etc. may reduce the Contractor's ability to prove
the Employer's liability for delays against which entitlement to extension of time is
claimed.
如果承包商在计划、现场拥有权的通知、图纸和分包商等方面有任何过失，那么要
想证明业主的责任造成延误并因此索赔工期延长权利，就不会很顺利。

If the Contractor is not responsible for the delay from which the revised
programme is based or necessary, the Contractor is entitled to compare his
actual progress with his original approved programme. It is generally accepted
that such a comparison can be an aid to determining entitlement to an extension
of time and extra cost. It can also provide a contemporary record. However, the
true reason for delay may be clouded by other reasons for delay, which may
result in difficulties in apportioning liability. This could include slow actual
progress by the Contractor and changes in the planning from the approved
programme. From the Engineer’s perspective, it is consequently better to resolve
programme and extension of time related difficulties at an early stage by the
request for, and provision of, contemporary updated programme revisions. Even
if an extension of time is not awarded, perhaps because of a lack of detailed
particulars or on-going effects, mitigation measures or logic changes stemming
from events where liability is disputed can more easily be assessed later if
contemporary programme revisions and / or regular updates are available.
依据修改的计划或认为修改的计划是必要的前提下产生的延误，如果承包商对此延
误没有责任， 承包商有权利对实际的进度和最初批准的计划作比较。通常这一点
被接受了，即这种比较有助于决定工期延长或者是额外费用。它也可以提供同时记
录。然而，延误的真正原因可能被其他延误的原因所模糊，这样又导致了分配责任
的困难。这可能包括承包商缓慢的进度和基于原批准的计划所作的一些规划的改变。
从工程师的角度来看， 通过要求提供同期更新的计划修改版，对于在早期解决计
划和工期延长方面的问题会更好。尽管没有批复工期延长，很可能是因为缺乏详细
的细节说明或者正在发生的影响，如果同期的修改计划和 /或常规的更新材料可以
利用的话，那么对于后来的那些责任有所争议的事件而采取的一些缓解措施或合理
的改变，可能会更容易被评定。

Normally, the revised programme should show completion by the “original

Contract completion date.” This is the only programme the Engineer can approve
unless he has awarded an extension of time. If this were the case the Engineer
could approve a programme showing completion to the revised completion date.
In cases with EOT claims outstanding, which show delay to the Completion Date,
the Engineer cannot consent to the revised programme(s). They can only be
acknowledged as the Contractor's proposals.
通常，修改的计划应显示 “原始合同完工日期 ”的完工。这是工程师能够批准的
唯一计划，除非判定了工期延长。如果是这种情况，工程师会批准一个计划，此计

18
划显示了修改的完工日期。在索赔工期延长没有解决的情况下，这种索赔表明了到
完工日期的延误，工程师没有同意修改的计划（多个计划）。他们仅仅被认为是承
包商的建议。

The issue of a notice by the Engineer to expedite completion when the

Contractor has entitlement to extension of time may result in a claim for
“constructive acceleration”. Generally the Engineer should continue to press for
the Contractor to issue a programme complying with the Contract. Any
subsequent delay events can then be more easily assessed against the revised
programmes.
当承包商有工期延长权利的时候，工程师签发的加速完工的通知可能会导致“加速
施工”的索赔。通常工程师会继续对承包商施加压力，要求其提交符合合同的计划。
任何随之发生的延误事件都会根据修改的施工计划更容易被评定。

4.6 Extension of time and FIDIC 工期延长和菲迪克

"The FIDIC Form of Contract" by Nael G. Bunni and Corbett's analysis on FIDIC
are clear on delay and entitlement to extension of time. Bunni states at pp. 358 to
359:
关于延误和工期延长，Nael G. Bunni 在“菲迪克合同模式“，和 Corbett 对菲迪
克的分析里面讲得很清楚。Bunni 叙述是在 358 页到 359 页。

“It is not clear as to what would constitute “being fairly to entitle the Contractor to
an extension of time”, which is the wording used in sub-clause 44.1, since this is
left to the engineer's interpretation of the contract, his assessment of the
circumstances leading to the claim and his determination after "due consultation"
with the employer and the contractor. However, a strict interpretation would
require that the delay be such that it extends the longest critical path to
completion of the works, as discussed in section 17.3 above. In effect this means
that the contractor has to remain on site and has to expend his resources over a
longer period than he had anticipated in his tender. Part of these resources are
spent in managing and carrying out the works for a prolonged contract. The costs
relating to prolongation may therefore include: off site overheads, on site
overheads, financing of any retention fund, the costs of the extended periods for
insurance and bonds required under the contract, any other financing charges
and interest. Some of these heads of claim were referred to in Section 16.6
above.
“关于制定什么才能公正的授予承包商工期延长的权力还不清楚，”这是用在子条
款 44.1 中的措辞，既然这有待工程师对合同的解释，对导致索赔的细节的评定，
和与业主和承包商预期磋商过后的决定。然而，如上面 17.3 部分所讨论的，一种
严格的解释要求到这种延误必须是延伸最长的关键路径直到工程的完工。 事实上
这意味着承包商必须保持在现场而且必须比标书所预期的更长时间的花费它的资源。
部分这些资源用在延长的合同中的工程管理和开展。因此关于延长部分的费用包括：
厂外管理费用，现场管理费用和任何质保金，及合同条件下在延长阶段所需要的保
险和保证金的花费，任何其他资金的费用和利息。这些索赔项目中的一些在上面
16.6 部分被提及。

19
Finally, it is notable that when a non-critical activity is delayed, the time for
completion is not affected, but there may be financial loss implications.”
最后，需要注意的是当非关键活动被延误了，完工的事件没有受到影响，但是可能
会有暗藏的经济上的损失。

4.7 Acceleration 赶工

Acceleration can only properly be arranged through a memorandum of

agreement between the Employer and the Contractor to change the terms of the
Contract. Despite this there exists a concept of constructive acceleration. This
may occur when the Contractor is compelled to work to complete by the Contract
completion date when he is entitled to an extension of time which the Engineer
has failed to award.
仅仅通过业主和承包商之间的协议备忘录来改变合同条款，才能安排合适的赶工。
尽管如此，存在着一种加速赶工的概念。 这种情况的发生是当承包商有权延长工
期而工程师没能授予其权利，因此被迫工作去完成合同规定的完工日期。

There is a general rule stating that he who asserts must prove. If the Contractor
argued that he had been compelled to undertake constructive acceleration it is
up to the Contractor to prove his case.这是通常的惯例，声明自己的权利的人必须
去证明这个权利。 如果承包商对被迫承担加速赶工有所争论，那么承包商就有责
任来证明这个事例。

20
5.0 The relationship between measurement and payment 计量和付款之间
的关系

Usually the Engineer ascertains and determines the value of the Works by
measurement. The Contractor initiates the measurement process and the
Engineer verifies the Contractor's measurement. Systems for agreeing measured
quantities should be developed and regular meetings should be held between the
Engineer's and the Contractor's Contracts departments. Any potential or actual
difficulties between the Engineer and the Contractor regarding measurement
should be resolved at these meetings in order that future disputes can be
avoided. Face to face discussions are a better method of resolving difficulties
than endless correspondence because matters can be resolved quickly. It is
imperative that the members of the Engineer or Contractor's organisations have
the necessary authority to agree matters. If not, any agreement could be
overruled. This is likely to result in increasing problems rather than resolving
them.
工程通常是由计量来查明和决定工程的价值。承包商启动计量的程序，工程师 检
验承包商的计量。应该形成一个体系以取得计量的量上的一致，并且工程师和承包
商的合同部门之间应召开例会。为了避免将来出现的争端，任何工程师和承包商之
间关于计量的潜在的和事实的困难都应该在这些会议上解决。因为事情能很快的解
决，面对面地讨论比无休止的文函往来能更好的方法。在工程师和承包商组织机构
的成员里，有必要的权威人士来做决策，这点是势在必行的。如果不是这样，任何
协议都可能被否决。结果很可能是增加问题而不是解决问题。

5.1 The payment to works unapproved by the Engineer 未经工程师批准的

工程付款

The Contractor should provide the documentation required by the Contract for
the Engineer's approval prior to the commencement of the Works or parts of the
Works. The Engineer should approve the Contractor's proposals if they conform
to the Contract requirements. Unless there are sound engineering reasons the
Engineer should not withhold approval or payment if the Contractor elects to
carry out the work ahead of programme.
在工程开始或部分工程开工之前，为获得工程师的批准，承包商应该提供合同需要
的文件。如果承包商的建议符合合同要求，工程师应该批准。如果承包商选择提前
于计划开始施工，除非有一些合理的工程理由，否则工程师不应该不批准或不付款。

Similarly, unapproved works should not be paid for but approval should not be
withheld because the works were carried out ahead of programme.

Certain disputes can arise when the Contractor and Engineer genuinely have
different opinions on any matter. Sometimes, there may be a number of opinions
that may be valid. This serves to demonstrate that a fair and reasonable
interpretation of the specification and Contract clauses could result in financial

21
benefit to either party. They also show that dealing with complex contractual
matters in reality is not always as easy as it sounds from a training course. The
important way to approach the problem is to understand the engineering,
operational and contractual aspects and make a fair and reasonable
assessment. This is what the Contract means by considering all relevant
circumstances.
类似的，未批准的工程不应该给预付款，但因为工程提前于计划开展了，就应该给
予批准。当承包商和工程师在某些事件上有不同意见的时候，某些争论就会产生。
有时候，会有很多正确的看法。这有助于证明，公正合理的解释规范和合同条款，
会带给合同任一方财政上的利益。他们也显示处理现实中复杂的合同事务通常不像
培训课程听起来那么简单。最重要的处理问题的方式就是理解工程学，工程运作及
合同方面并做出公正合理的评估。合同的意义就在于考虑所有相关情况。

Generally, there is a potential for increased risk to the Employer with variations
proposed by the Contractor and also by the Engineer accepting non-compliant
work. Acceptable changes should be agreed in writing together with agreement
on prices and on any effects regarding time and programme on a contemporary
basis. This is, then, a change to the Contract Works. There may be some
proposed variations that the Engineer wishes to adopt and instruct. If tolerances
are not being met contrary to the specified requirements then the Engineer has
no right to accept these and any acceptance may be seen as instructing a
variation. It is usually best for the Engineer to request remedial measures and, if
changes are to be accepted then get them in writing together with any financial
and time effects agreed.
通常，承包商提议的变更和工程师对不合格的工程的接收会给业主带来潜在的增加
的风险。可接受的变更应该以书面的形式签订，包括在价钱和关于时间和计划在当
时的影响上达成的协议。这就是合同工程的变化。可能会有一些提议的变更，工程
师希望采纳并做出指示。如果误差和规定相反，没有满足，工程师将无权接受这些
误差，任何接受可能被视作发布一个变更。通常工程师能要求补救措施会更好 ，
如果接受变更，就连同已达成协议的对财政及时间的影响都述诸书面。

From the Contractor’s position, get the works signed off at the time and any
repairs agreed and completed on a contemporary basis.
从承包商的角度，要让工程师现场当即签字验收，并且任何修复协议的达成和完成
都要在现场立即执行。

5.2 Payment for concrete works 混凝土工程付款

If the concrete test strength fails to meet the requirements of the technical
specification the Engineer has to make a decision. If the Engineer considers the
gain in strength between the time of placement and final strength will result in
acceptable concrete then payment should be certified. If the strength will be so
low as to compromise the effectiveness of the structure then removal of the
concrete should be required. A pragmatic approach to this problem is necessary
because removal is difficult. It is better to agree a quality assurance system to
ensure that this problem does not arise.

22
如果混凝土强度测试没有满足技术规范要求，工程师不得不做出决定。如果工程师
认为混凝土从浇筑开始到最终的强度的获得是可以接受的，那么应批准付款。如果
强度太低以至于不能满足结构的需要，那么就需要拆除混凝土。因为拆除是很难的，
实际的有效的解决这个问题的方法是很必要的。最好建立起质量保证体系来确保这
样的问题不会发生。

Limits should be determined of what is acceptable and what is not. The

Contractor should aim to achieve the specified tolerances. 限度应该是由什么能接
受和什么不能接受来决定的。承包商应该以获取特定的误差为目标。

23
6.0 Quality control 质量监控

6.1 Quality Inspection 质量检查

It is always better for the Engineer to agree a system of quality control with the
Contractor in order to prevent quality problems arising in the first place. The
Contract requires the Contractor to institute a quality assurance system (Sc 4.9).
通常为了避免在开始的时候产生质量问题，工程师最好在质量控制体系上和承包商
取得一致。合同要求承包商制订一个质量保证体系（Sc4.9）。

The Contractor can use Method Statements with hold points at each stage of the
construction process where things might go wrong as a means of ensuring and
demonstrating the required quality. For example, prior to pouring concrete the
Engineer and the Contractor may check the reinforcement is correctly placed and
tied, that the formwork is properly placed and the appropriate equipment and
labour are ready for placing and vibrating the concrete. The Contractor advises in
advance that the Engineer's site engineer is required to check that the
requirements stated on the form are met. From the Engineer’s perspective, it
should be stated on the form that the Contractor's responsibility is not changed
by the Engineer’s site representative's acceptance of the measures in place.
在有可能出错的施工过程的每个阶段，承包商应用带有节点的施工方案作为确保和
说明所要求的质量的途径。例如，在浇筑混凝土之前，工程师和承包商要检查钢筋
被准确的布置并捆扎好，模板被合适的安置，适当的设备和劳工准备好了浇筑和振
捣混凝土。事先承包商就建议工程师的现场经理要检查是否满足了表格里的所述要
求。从工程师的角度，在检查表格里应该说明，现场工程师代表对现场的施工措施
的接受并不改变承包商的责任 。

The Engineer's site staff should be available on site to check work as it is done.
They should not interfere with the way it is done except to point out where work is
not in compliance with the specification or if they can foresee future problems by
the way part of the work is being carried out. In this case the potential problem
should be brought to the Contractor's attention. This could include matters
concerning safety or things affecting the Permanent Works.
工作结束的时候，工程师的现场职员应该能够在现场检查工作。他们不应该干扰工
作采取的方式，除非指出什么地方工作没有按照技术规范来实施，或者他们通过正
在采取的部分工作的方式，能预见将来的问题。这样的话，承包商应该对潜在的问
题引起注意。这包括关于安全的事务或者影响永久工程的事务。

On another project, the Engineer instigated a breakdown of excavation works

into units. The result was that avoidable conflict with the Contractor was created
because, on many occasions, when the Engineer's site engineers were required
they could not be found. This wasted a lot of time and created difficulty for the
Contractor's foremen supervising the work. Sometimes the Contractor's staff had

24
to spend hours finding the right people to make decisions. This was a particular
problem in the morning and after lunch. It was also impossible for the Contractor
to obtain design decisions to change slopes that the Contractor considered would
not be stable in accordance with the design. The slopes constructed to the
design fell down.
在另外一个工程上，工程师鼓励将开挖工程分解成单元。结果是本可以避免地与承
包商的冲突产生了，因为，在很多时候，当需要现场工程师的时候却找不到他们。
这就浪费了大量的时间并且为承包商的工头监管工作制造了困难。 有时候承包商
的职员要花上几个小时来找到合适的人作决定。这是在早上和午饭后的一个特别的
问题。承包商也不可能获得设计决定，来改变他认为不稳定的斜坡。根据设计而施
工的斜坡坍塌了。

Further problems resulted in the requirement for “quality documentation” for small
parts of major items of work before any payment would be made. Such systems
are not envisaged by the FIDIC Contract and only serve to make the Contractor
believe that he is being victimised. 在任何付款批准之前，对于那些主要项目的小
部分工作，因为要求质量文件，又产生了进一步的问题。这个系统没有被 FIDIC
合同所正视，仅仅会让承包商认为他在做出无谓的牺牲。

If the Employer advises in the Tender documents that it is the intention that the
work will not be paid for until all quality documentation has been provided and
exactly what is required before payment will be made it would not be a problem.
The Contractor would then include for the difficulties and delay in payment by an
increase in his rates and prices!
如果业主在标书文件里面建议到这是一个意向即 :直到提供了所有的质量文件，才
能对工作实施付款而且这的确是在付款之前要求的，这将不会是问题了。然后承包
商将会提高报价以考虑这些困难和付款延误。

With FIDIC and other types of contract, the Contractor remains responsible for
programme, methods and unit quality matters. The Engineer’s role is to
supervise to ensure the Works comply with the Contract.
在菲迪克以及其他形式的合同中，承包商对计划，施工方案和各个质量问题负有责
任。工程师的角色就是监督确保工程实施符合合同。

6.4 Process Control 进度控制

The system of process control used internationally is Quality Assurance. Broad

methods are laid down by ISO 9001. In addition there are various national
standards.
国际上应用的进度控制体系是质量保证。更广泛的方法规定于 ISO9001。另外，
还有各种不同的国际标准。

The major UK Contractors have Quality Assurance (QA) Departments. They

produce a series of QA manuals for most conceivable types of work that the
company is involved with. The appropriate documentation is issued to the
Contractor's representative in charge of the project together with various

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documentation that is required to be displayed /and or held and completed on
site by statute. It is then the Contractor's representative's responsibility to ensure
the setting up of the project QA system in compliance with the Company model,
any specific project QA requirements and any legal requirements, for example for
Health and Safety.
一些英国的主要的承包商都有质量保证部门。他们为公司的大部分能想象到的工作
制定一系列的质量保证手册。适当的文件签发给的承包商代表，该代表负责项目以
及依据法规现场需要展示和/或保存的和要完成的各种不同的文件。然后就是承包
商代表的职责，即根据公司模式，任何特定的项目质量保证要求，和任何法律规定，
来确认建立起项目质量保证系统，比如：为健康和安全。

The Contractor then prepares specific method statements for all aspects of the
work. By law in the UK these must contain risk assessments identifying all
foreseeable SAFETY risks and providing measures to reduce them to the
minimum acceptable level. In order to produce appropriate documents the
attention has to be focussed on what the Contractor is trying to achieve and the
best way to do it in a controlled way.
为工程的各个方面承包商准备了特定的施工方案。在英国通过法律，必须获取风险
评估来鉴定所有可预见的安全风险，并提供措施来把他们降低到可接受程度的最小
化。为了制定合适的文件，注意力将集中在承包商正努力完成的事情和其在可控方
式下所采取的最好方式。

Subsequent to their completion and approval the methods used are audited to
identify any shortcomings or failure to work in accordance with the method.
随着完工和批准，应该审查所使用的方法，以便根据方法鉴别任何工作中的缺点和
失败。

This type of system is very useful in assuring quality, improvements in safety on

site, and processing documentation relating to measurement and payment.
这个系统对于确保质量，改善现场安全和处理关于计量和付款的文件非常有用。

In addition, regular "toolbox" talks are held to make sure everyone understands
what they are trying to achieve and how.
另外，工具栏里的内容是确保每个人懂得试图做什么和如何做。

The introduction of the systems in the UK has been resisted because many site
people perceive them as an unnecessary additional control and a means of
checking up on them.
在英国这些系统的介绍受到抵制，因为很多现场人员把它们看作是不必要的额外的
控制和对他们实行检查的一种方式。

Possible improvements may be achieved if Engineer's and Contractor's staff to

produce agreed methods showing the interfaces and what each party expected
or needed from the other in order to perform more efficiently.
如果工程师和承包商员工能够制定达成一致的方案，表明交接面和为了更有效地完
成任务合同每一方从另一方所期待和需要东西，那么便可能取得改进。

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