 张晗 专职律师 现为上海建纬律师事务所国际业务部成员，毕业于北京理工大学和荷兰莱顿大学，并于英国高等法律研究所和韩国首尔大学进修学习。在加入上海建纬之前，张晗曾在联合国工作三年，包括联合国人类住区规划署总部（肯尼亚）和人权高级专员办事处总部（瑞士）。现主要业务领域及服务范围：跨境业务、国际工程、房地产领域的诉讼和非诉讼法律事务服务。可以熟练使用英文作为工作语言。 英国工程法学会（SCL, Society of Construction Law）于2002年10月编制出版了《工期延误与干扰分析准则》（“SCL准则”），并于2017年2月更新了该准则第二版。该准则并非法律，但是在审理普通法案件时常常被法院和仲裁庭所援引。该准则也为合同履行过程中/竣工后承包商递交工期顺延和延误索赔报告的撰写提供了指南，为工程案件争议解决提供行业惯例依据。 准则由工程行业各专业的专家小组起草，一共有79页，包含：a.简介、b.核心原则、c.指引A部分-延误、干扰及赶工概念、d.指引B部分-核心原则指南、e.指引C部分-其他金钱索赔项、f.附录A部分-定义与术语以及g.附录B部分-记录类型与示例。本文将主要介绍SCL准则及其确立的22条核心原则。 2017年2月第二版《工期延误与干扰分析准则》指出，其制定目标是为了给工程项目中常见的延误和干扰问题提供指导，在此情况下一方通常想要通过工期延长（“EOT”）和/或者赔偿方式弥补为完成项目而额外花费的时间和资源。SCL准则的制定希望能够为合同各方提供解决问题的指南，避免不必要的纠纷，在其中一些问题中，SCL准则提供了不同的选择，以方便当事人根据建设项目的性质、规模以及复杂程度来选择最合适的方式。还有一些问题上，准则推荐了最合适的措施。 需要注意的是，SCL准则并不是合同文件，也并非要取代适用法律和合同明示条款。SCL准则的制定期望与行业范例相符，立足于平衡各方责任，体现施工过程中各主体的平等利益。SCL准则希望能为处理与实践有关问题的决策者（例如合同管理人、争议评审委员会、仲裁员和法官）提供有益帮助。 1. Programme and records 进度计划和记录 Contracting parties should reach a clear agreement on the type of records to be kept and allocate the necessary resources to meet that agreement. Further, to assist in managing progress of the works and to reduce the number of disputes relating to delay and disruption, the Contractor should prepare and the Contract Administrator (CA) should accept a properly prepared programme showing the manner and sequence in which the Contractor plans to carry out the works. The programme should be updated to record actual progress, variations, changes of logic, methods and sequences, mitigation or acceleration measures and any EOTs granted. If this is done, then the programme can be more easily used as a tool for managing change and determining EOTs and periods of time for which compensation may be due. 合同各方应就保存的记录类型达成一致并为此分配必要的资源。此外，为协助管理工作进度、减少延误和干扰相关纠纷，承包商应适当准备一份表明施工方法和承包商计划施工次序的进度计划，合同管理人应接受这份进度计划。进度计划应当更新以便记录实际的施工进度、变更、改变工序逻辑、施工方法和活动序列、减轻或赶工措施以及任何批准的工期延长（EOT）。若做到这点，则可以使用进度计划作为工具来管理变更、决定工期延长（EOT）并确定应获得赔偿的期限。 2. Purpose of EOT 延期的目的 The benefit to the Contractor of an EOT is to relieve the Contractor of liability for damages for delay (usually liquidated damages or LDs) for any period prior to the extended contract completion date and allows for reprogramming of the works to completion. The benefit of an EOT for the Employer is that it establishes a new contract completion date, prevents time for completion of the works becoming 'at large’ and allows for coordination / planning of its own activities. 承包商主张工期延长的有利之处，在于免除承包商未能在延长的竣工日期之前完工而应承担损害赔偿费用（通常为工期违约金或者LDs）的责任，并且允许重新计划工作至竣工。工期延长对于业主的好处在于其设立了一个新的竣工日期，避免竣工时间成为“任意工期”且便于业主协调计划其工作。 3. Contractual procedural requirements 合同下的程序要求 The parties and the CA should comply with the contractual procedural requirements relating to notices, particulars, substantiation and assessment in relation to delay events. 合同各方及合同管理人应遵守合同中有关延误事件的通知、特殊条款、证据和评估的程序要求。 4. Do not 'wait and see’ regarding impact of delay events (contemporaneous analysis) 延误事件的影响不能“等等再看”（同期分析） The parties should attempt so far as possible to deal with the time impact of Employer Risk Events as the work proceeds (both in terms of EOT and compensation). Applications for an EOT should be made and dealt with as close in time as possible to the delay event that gives rise to the application. A 'wait and see’ approach to assessing EOT is discouraged. Where the Contractor has complied with its contractual obligations regarding delay events and EOT applications, the Contractor should not be prejudiced in any dispute with the Employer as a result of the CA failing to assess EOT applications. EOT entitlement should be assessed by the CA within a reasonable time after submission of an EOT application by the Contractor. The Contractor potentially will be entitled to an EOT only for those events or causes of delay in respect of which the Employer has assumed risk and responsibility (called in the Protocol Employer Risk Events) that impact the critical path. 合同各方应尽可能在工程进行中解决业主风险事件造成的时间影响（在工期和赔偿方面）。EOT索赔的申请应在延误事件发生时尽快提交并处理，“等等再看”的做法并不被鼓励。当承包商就延误事件和EOT申请遵守了合同义务，业主不能因为合同管理人未能评估EOT申请而对承包商持有偏见。EOT的授予应当由合同管理人在承包商提交EOT申请后的合理的时间内给予评估。只有当延误事件或延误原因属于业主承担的风险和责任（或称准则下的业主风险事件）并且该事件影响到关键线路时，承包商才可能获批延长工期。 5. Procedure for granting EOT 批准工期延长的程序 Subject to the contract requirements, the EOT should be granted to the extent that the Employer Risk Event is reasonably predicted to prevent the works being completed by the then prevailing contract completion date. In general, this will be where the Employer Risk Event impacts the critical path of the works and thus extends the contract completion date. This assessment should be based upon an appropriate delay analysis, the conclusions derived from which must be sound from a common sense perspective. The goal of the EOT procedure is the ascertainment of the appropriate contractual entitlement to an EOT; the analysis should not start from a position of considering whether the Contractor needs an EOT in order not to be liable for liquidated damages. 受制于合同规定，EOT的批准应当基于业主风险事件对工程竣工日期的影响的合理预测。通常而言，业主风险事件影响关键线路因而延长了合同竣工日期。该评估应当基于恰当的工期延误分析，该结论从常理考虑必须是合理可靠的。EOT批准程序的目的是确定承包商有索赔工期延长的适当的合同权利；延误分析不应当以考虑承包商是否需要以获得EOT来免除工期违约金的责任为立足点。 6. Effect of delay 延误造成的影响 For an EOT to be granted, it is not necessary for the Employer Risk Event already to have begun to affect the Contractor’s progress with the works, or for the effect of the Employer Risk Event to have ended. 是否批准工期延长，没有必要等到业主风险事件已经开始影响承包商的工程进度，或者业主风险事件的影响已经结束。 7. Incremental review of EOT 工期延长的进一步审核 Where the full effect of an Employer Risk Event cannot be predicted with certainty at the time of initial assessment by the CA, the CA should grant an EOT for the then predictable effect. The EOT should be considered by the CA at intervals as the actual impact of the Employer Risk Event unfolds and the EOT increased (but not decreased, unless there are express contract terms permitting this) if appropriate. 在合同管理人进行初步评估后无法准确预见业主风险事件的全部影响时，合同管理人应对可预见的影响先批准一段延期。合同管理人再根据业主风险事件在各个时段所展现出的实际影响考虑EOT，并适当增加新的EOT（但不得缩短原延期，除非合同明文允许这样做）。 8. Float as it relates to time 与时间有关的时差 Float values in a programme are an indication of the relative criticality of activities and, generally, when float is exhausted, the completion date will be impacted. Unless there is express provision to the contrary in the contract, where there is remaining total float in the programme at the time of an Employer Risk Event, an EOT should only be granted to the extent that the Employer Delay is predicted to reduce to below zero the total float on the critical path affected by the Employer Delay to Completion (i.e. if the Employer Delay is predicted to extend the critical path to completion). 在进度计划中，时差值表示工序操作时间的宽裕值，通常而言，时差用尽，竣工日期才会受到影响。除非合同中有明确的相反规定，若业主风险事件发生时，进度计划中仍有剩余时差，则只有在预测到业主工期延误将关键路线上的总时差减少到零以下时，才能根据情况批准延期（即，如果预测到业主的延误将引发关键线路延误）。 9. Identification of float 识别时差 The identification of float is greatly assisted where there is a properly prepared and regularly updated programme, the Accepted/Updated Programmes. 当存在恰当准备并且定期更新的进度计划，即接受的/更新的进度计划，能够很大程度地识别时差。 10. Concurrent delay – effect on entitlement to EOT 共同延误对EOT权利的影响 True concurrent delay is the occurrence of two or more delay events at the same time, one an Employer Risk Event, the other a Contractor Risk Event, and the effects of which are felt at the same time. For concurrent delay to exist, each of the Employer Risk Event and the Contractor Risk Event must be an effective cause of Delay to Completion (i.e. the delays must both affect the critical path). Where Contractor Delay to Completion occurs or has an effect concurrently with Employer Delay to Completion, the Contractor’s concurrent delay should not reduce any EOT due. 真正的共同延误是指在同一时间发生了两个或两个以上的延误事件，其一属于业主风险事件，另一为承包商风险事件，并且二者同时产生影响。对于存在的共同延误，任一业主风险事件和承包商风险事件必须都是竣工延误的根本原因(即，两项延误必须同时影响到关键线路)。若承包商竣工延误与业主竣工延误共同发生并产生影响，则承包商的共同延误不应该减少业主应给予的工期延长期限。 11. Analysis time-distant from the delay event 分析时间-延期事件发生后时间 Where an EOT application is assessed after completion of the works, or significantly after the effect of an Employer Risk Event, then the prospective analysis of delay referred to in the guidance to Core Principle 4 may no longer be appropriate. 如果EOT申请的评估是在工程竣工后，或者在业主风险事件影响产生的许久之后，那么核心原则第四条指引中提及的前瞻性延误分析则不再适合。 12. Link between EOT and compensation 工期延长和赔偿之间的关联 Entitlement to an EOT does not automatically lead to entitlement to compensation (and vice versa). 工期延长的权利并不当然导致获得赔偿的权利（反之亦然）。 13. Early completion as it relates to compensation 提前完工与费用赔偿 If as a result of an Employer Delay, the Contractor is prevented from completing the works by the Contractor’s planned completion date (being a date earlier than the contract completion date), the Contractor should in principle be entitled to be paid the costs directly caused by the Employer Delay, notwithstanding that there is no delay to the contract completion date (and therefore no entitlement to an EOT). However, this outcome will ensue only if at the time they enter into the contract, the Employer is aware of the Contractor’s intention to complete the works prior to the contract completion date, and that intention is realistic and achievable. 若出于业主原因造成延误，承包商无法在计划的竣工日期完工（在合同竣工日期之前），承包商应该享有被支付因业主延误产生的直接费用的权利，除非根据合同竣工日期并没有延误（因此也并不享有授予EOT的权利）。但是，这只有在订立合同时业主了解承包商完工会早于合同竣工日期的意图（此意图是现实且可实现的），才能保证承包商的前述权利。 14. Concurrent delay – effect on entitlement to compensation for prolongation 共同延误对拖期成本索赔的影响 Where Employer Delay to Completion and Contractor Delay to Completion are concurrent and, as a result of that delay the Contractor incurs additional costs, then the Contractor should only recover compensation if it is able to separate the additional costs caused by the Employer Delay from those caused by the Contractor Delay. If it would have incurred the additional costs in any event as a result of Contractor Delay, the Contractor will not be entitled to recover those additional costs. 如果业主竣工延误和承包商竣工延误是共同发生的，并且共同延误使得承包商产生了额外费用，那么承包商应该仅对可分的（若可以从承包商延误中区分开来）由业主延误造成的额外费用进行索赔。若该索赔费用，在承包商延误下无论如何也会产生，则承包商不享有额外费用赔偿的权利。 15. Mitigation of delay and mitigation of loss 减少延误和损失 The Contractor has a general duty to mitigate the effect on its works of Employer Risk Events. Subject to express contract wording or agreement to the contrary, the duty to mitigate does not extend to requiring the Contractor to add extra resources or to work outside its planned working hours. The Contractor’s duty to mitigate its loss has two aspects: first, the Contractor must take reasonable steps to minimise its loss; and secondly, the Contractor must not take unreasonable steps that increase its loss. 在业主风险事件发生时，承包商有减损的一般义务。受制于合同明示条款或者表达相反意思的协议，减损义务并不要求承包商投入额外资源或者额外工作。承包商减损的义务体现在两个方面：首先，承包商必须采取合理措施去降低其损失；其次，承包商不得采取不合理措施扩大其损失。 16. Acceleration 赶工 Where the contract provides for acceleration, payment for the acceleration should be based on the terms of the contract. Where the contract does not provide for acceleration but the Contractor and the Employer agree that accelerative measures should be undertaken, the basis of payment should be agreed before the acceleration is commenced. Contracting parties should seek to agree on the records to be kept when acceleration measures are employed. Where the Contractor is considering implementing acceleration measures to avoid the risk of liquidated damages as a result of not receiving an EOT that it considers is due, and then pursuing a constructive acceleration claim, the Contractor should first take steps to have the dispute or difference about entitlement to an EOT resolved in accordance with the contract dispute resolution provisions. 当合同规定了赶工，赶工费用应当根据合同规定支付。当合同未规定赶工但是承包商和业主协商一致采取赶工措施，赶工费的支付方式应当在赶工开始前达成一致。合同各方应该就赶工措施发生时采取何种保留记录达成一致。当承包商考虑采取赶工措施以避免被收工期违约金（而未被授予承包商认为应得的EOT），并且提出工程赶工索赔时，承包商应该首先采取行动，根据合同项下争议解决条款解决争议或未达成一致意见的EOT权利有关争议。 17. Global claims 一揽子索赔 The not uncommon practice of contractors making composite or global claims without attempting to substantiate cause and effect is discouraged by the Protocol, despite an apparent trend for the courts to take a more lenient approach when considering global claims. 承包商寻求一揽子索赔却未曾尝试证明原因和影响，这样的做法是不太常见的，也不为本准则所鼓励，即使法院有显著的倾向在考虑一揽子索赔时采取更宽松的态度。 18. Disruption claims 干扰索赔 Compensation may be recovered for disruption only to the extent that the contract permits or there is an available cause of action at law. The objective of a disruption analysis is to demonstrate the loss of productivity and hence additional loss and expense over and above that which would have been incurred were it not for the disruption events for which the Employer is responsible. 只有在合同允许或者法律有此规定时，干扰事件才会获得赔偿。干扰分析的目的是为证明降效和额外损失/支出的存在且若无业主责任下的干扰事件则降效与损失不会发生。 19. Valuation of variations 变更估价 Where practicable, the total likely effect of variations should be pre-agreed between the Employer/CA and the Contractor to arrive at, if possible, a fixed price of a variation, to include not only the direct costs (labour, plant and materials) but also the time-related and disruption costs, an agreed EOT and the necessary revisions to the programme. 如可能，业主/合同管理人与承包商应预先就变更导致的全部可能影响达成一致，并对变更的固定价格达成一致，以包含直接费用（人工，机械和材料）、与时间有关的成本及干扰费用、双方同意的工期延长以及对进度计划的必要修改等。 20. Basis of calculation of compensation for prolongation 拖期成本的计算基础 Unless expressly provided for otherwise in the contract, compensation for prolongation should not be paid for anything other than work actually done, time actually taken up or loss and/or expense actually suffered. In other words, the compensation for prolongation caused other than by variations is based on the actual additional cost incurred by the Contractor. The objective is to put the Contractor in the same financial position it would have been if the Employer Risk Event had not occurred. 除非合同另有规定，拖期成本不应该支付实际完成的工程量之外的任何费用，必须是实际产生的损失或者延误的时间。换言之，除去工程变更的部分，拖期成本应基于承包商实际发生的额外支出。这样的规定是为了保证承包商现今的经济状况与未发生业主风险事件情况时是一致的。 21. Relevance of tender allowances 投标价格的关联性 The tender allowances have limited relevance to the evaluation of the cost of prolongation and disruption caused by breach of contract or any other cause that requires the evaluation of additional costs. （业主/合同管理人）对于违约导致的、或需要进行额外费用估价的其他原因造成的延期和干扰费用的评估，与投标价格之间并无太大关联。 22. Period for evaluation of compensation 赔偿评估的期间 Once it is established that compensation for prolongation is due, the evaluation of the sum due is made by reference to the period when the effect of the Employer Risk Event was felt, not by reference to the extended period at the end of the contract. 在确定了应对拖期成本予以赔偿时，则应以业主风险事件开始影响的期间，而非合同结束后的延长期间为基数进行应付赔偿金额的评估。 END 作者 | 张晗 编辑 | 建纬品牌部 |
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