HOW TO SUCCESSFULLY MAKE
AND DEFEND CLAIMS
如何成功索赔和应对索赔
丘健雄
Partner/合伙人
Pinsent Masons/品诚梅森律师事务所
2010
How to successfully make and defend claims/ 如何成功索赔和应对索赔
Overview / 概览:
Introduction to claims /索赔介绍
How to successfully make claims /如何成功索赔
Claims for more time / 索赔工期
Claims for more money / 索赔费用
Compliance with “Barring” Clauses / 符合”前提条件“条款
Pursuing claims / 主张索赔
How to defend claims for Liquidated Damages
如何应对损害赔偿金的索赔
Introduction to claims
索赔介绍
What is a claim?
何为索赔？
Assertion of a legal entitlement
主张法律权利
Under the contract
基于合同
For breach of the contract
因违约而起
Need not be a contentious process
不一定必须涉及诉讼
Often depends on how you approach the claim
通常取决于如何处理索赔
Introduction to claims
索赔介绍
Successfully pursuing entitlements can make the difference between a profitable contract and an unprofitable one
成功地主张权利能够决定合同是一个盈利的合同还是一个亏损的合同
Most contracts are drafted on the basis that the parties will pursue proper entitlements to maintain the economic balance
绝大多数合同的起草都是基于合同方将获得合适的权利以保持经济上的平衡
Most contracts have the effect that if a party does not properly pursue his entitlements then the other party will be entitled to benefit
在绝大多数合同中，如果一方不能适当地主张自己的权利，那么另一方就会获利
So pursuing entitlements should be regarded as part of the administration of the contract and not as part of a battle
因此，主张权利应被视为合同管理的一部分，而不是挑起战争
Entitlements to additional time
获得额外工期的权利
Why do we have EOT clauses?
为什么合同中含有工期延长条款？
To allocate between the parties the risks of delaying events
合同各方分担延误事件带来的风险
Different jurisdictions have different approaches as to the consequences of “neutral” events
不同国家/地区对“中性”事件造成的结果采用不同的处理方法
For the Employer to preserve his right to require completion by a given date even if he causes a delay
确保雇主要求工程在某特定日期完工的权利，即使是雇主造成延误
The “prevention principle” / “妨碍原则”
Entitlements to additional time
获得额外工期的权利
FIDIC Red Book GCC (e)
FIDIC 红皮书通用条件第(e)款
“any delay, impediment or prevention caused by or attributable to the Employer, the Employer’s personnel or the Employer’s other contractors on the Site”.
“由雇主、雇主人员、或在现场的雇主的其他承包商所造成或引起的任何延误、妨碍或阻碍”
Claim for additional cost due to delay or disruption are usually separate entitlements to the right to an EOT
因延误或进度计划打乱而产生的额外费用的索赔通常为独立于工期延长索赔的一个单独的索赔
Entitlements to additional time
获得额外工期的权利
An entitlement to an EOT will only occur when the contract says so. The usual expression is “when the completion of the [Works] is or will be delayed by one of the following causes…”
延长工期的权利必须由合同约定。一般的表述为：“如果由于下列任何原因，致使工程的竣工受到或将受到延误…”
The critical issue is therefore whether completion has been delayed
因此，关键的问题在于竣工是否已经被延误
It may need an expert programmer to prove this but the test is a simple one.
这可能需要进度专家来证明，但是测试的标准却很简单
EOT entitlement occurs only for causes falling exactly within the EOT clause, not similar events, .
延长工期的权利仅在造成延误的原因完全符合工期延长条款的规定（而非类似事件）时才能发生，例如：
Entitlements to additional time
获得额外工期的权利
unforeseen physical conditions will not include unforeseen economic conditions
未预见的物质条件将不包括未预见的经济条件
unforeseeable shortage of personnel will not include an unforeseeable shortage of transport
不可预见的人员短缺将不包括不可预见的运输短缺。
EOT entitlement may be dependent on having given notices
主张工期延长的权利可能取决于已经发出通知
Proving the Entitlement
证明有权索赔
The significance of the Contract Programme for EOTs
合同中的进度计划对工期延长索赔的重要性
Best evidence of intention and thus delay
它们是双方意愿（及工程延误）的最好证明
So an over ambitious programme can mean no EOT
因此，太过激进的进度计划可能意味着无法延长工期
The importance of contemporary records
即时纪录的重要性
Project Diaries / 项目日志
At a minimum / 至少包含以下信息
(1) each day‘s weather conditions / 每天的天气情况
(2) on-site subcontractors and employees /
现场的分包商和员工
Proving the Entitlement
证明有权索赔
(3) deliveries of critical materials
关键物资的交付
(4) on-site visits by third parties (. project architect, owner or engineer)
第三方的现场到访（如项目建筑师，雇主或工程师）
(5) discovery of hidden site conditions, discrepancies in plans and/or conflicts
发现掩盖的现场条件、图纸差异和/或冲突
(6) important conversations
重要的谈话
(7) any other noteworthy event. If a delay, hidden condition or project conflict is encountered, the project superintendent should start a separate report that tracks the discovery and resolution of that particular problem.
其他值得注意的事件。如果发生延误、出现掩盖的条件或项目冲突，项目主管人员应准备一份单独报告以跟踪记录该问题的发现和解决过程
Proving the Entitlement
证明有权索赔
The importance of contemporary records
同期记录的重要性
Minutes of Meetings
会议纪要
Site Reports
现场报告
Joint Reports to DABs or others
给争端裁决委员会或其它机构的联合报告
Personal Diaries
个人日记
Proving the Entitlement
证明有权索赔
These kinds of documents should be enough to demonstrate your entitlement to the Engineer
这些文件应该足够向工程师证明您应获得的权利
They are essential if you have to go to a DAB or Arbitration
如果争议提交至争端裁决委员会或仲裁，这些文件将是必要的
Although oral evidence before a DAB or Arbitrator can have value, it will rarely be enough without contemporary records
尽管口头证据在争端裁决委员会或仲裁员那里有其价值，但若缺乏同期记录，口头证据很难具有足够的说服力
Proving the Entitlement
证明有权索赔
Other key records include
其它关键记录包括:
Project correspondence
项目往来信函
But what head office said is rarely as important as what the site records show happened
但是总部的信函的说法没有现场的记录来的重要
Photographs
照片
If properly recorded
如被正确纪录的话
EOT Claims – disruption
工期延长索赔 – 扰乱计划
Surprising how many contractors who find their claim for EOT rejected because the event did not cause a delay to completion, fail to pursue their entitlement to the Additional Cost of disruption
我们惊讶地发现，许多承包商因某事件未导致竣工延误从而不能赢得工期延长的索赔时，也没有争取主张因计划打乱而获得额外费用的权利
Additional Cost Claims
获得额外费用的索赔
Additional Cost Claims
额外费用索赔
There is no automatic right to claim additional costs
额外费用索赔并不是一种自动享有的权利
Contractor must show entitlement to claim extra costs:
承包商必须证明其有权就额外费用提出索赔：
Because the terms of the contract allow it (. clause entitling Contractor to additional payment for variations or as the result of a delay caused by the Employer); or
因为合同条款规定其享有该权利（如：合同赋予承包商就变更或因雇主引起的延误获得额外付款的条款）；或
Because the Employer has breached the contract (. additional costs are recoverable as damages for a breach of an actual or implied contractual term)
因为雇主违反了合同（即，额外费用可作为雇主违反某一明示或暗示之合同条款而造成的损害赔偿）
Additional Cost Claims
获得额外费用的索赔
Additional costs may include profit element, not necessarily limited to actual expenses incurred
额外费用可包括利润，并不一定限于所发生的实际费用
But contracts sometimes exclude profit
但合同有时排除利润部分
FIDIC Red Book entitles the Contractor in various circumstances to claim “Cost” (, for unforeseeable physical conditions and for changes in legislation) but Cost is defined as
FIDIC红皮书规定承包商有权在各种情况下提起”费用“索赔（如因不可预见的物质条件和法律改变），但所谓费用被定义为
“all expenditure reasonably incurred ….including overhead and similar charges but does not include profit”
“所有合理产生的支出…包括管理费和类似费用，但不包括利润”
Additional Cost Claims
获得额外费用的索赔
Most common form of additional cost claim is a Variation Claim
额外费用索赔中最常见的是变更索赔
Basis of claim is the Employer has instructed the Contractor to carry out work which is different from or additional to that specified in the Contract, resulting in additional cost
索赔的理由是，雇主指示承包商实施了不同于合同规定的或合同规定之外的工作，并由此导致产生额外费用。
Almost all contracts will provide for entitlement to and for methods to assess additional payment (. FIDIC Red Book Clauses and )
几乎所有的合同都会规定追加付款的权利及估算追加付款的方法（如：FIDIC红皮书第款和第款）
Additional Cost Claims: Variation
获得额外费用的索赔：变更
5 basic steps on how to make a Variation claim:
进行工程变更索赔的5个基本步骤：
Step 1
第1步
Does the Employer have a right to instruct a Variation (himself or through his Engineer)?
雇主是否有权（自行或通过它的工程师）指示变更？
Usually yes but the right must be expressly stated in the Contract (see eg. FIDIC Red Book Clause ); If not, Employer cannot generally require Contractor to carry out the Variation except by agreement
通常雇主是有权指示变更的，但是该权利必须在合同中明确规定（如 FIDIC红皮书第款）；如果合同未作规定，除非承包商同意，否则雇主不能要求承包商实施变更
Additional Cost Claims: Variation
获得额外费用的索赔：变更
Step 2 / 第2步
Is there an instruction from the Employer or his representative (like the Engineer) instructing the Variation?
雇主或其代表（如工程师）是否发出了指示要求进行变更？
Very important because a Contractor does not have the right to vary the Works unless he is instructed by the Employer to do so
这点非常重要，除非雇主指示其进行变更，否则承包商没有权利变更工程
Instruction should be in writing. If instruction is made orally, confirm in writing (for example by way of a Variation notice)
指示应采用书面形式。如果指示是口头做出的，则以书面形式予以确认（如通过变更通知的形式）
Instruction does not need to be called a “Variation Instruction” as long as it requires the Contractor to do something different – important because the Employer may not agree the work instructed is a Variation
指示不一定要冠名“变更指示”，只要其要求承包商实施不同的工作即可 – 这点非常重要，因为雇主可能不同意所指示的工作是一项变更
Additional Cost Claims: Variation
获得额外费用的索赔：变更
Step 3 / 第3步
Is the work instructed by the Employer a “Variation” to the Works?
雇主指示的工作是否构成对工程的“变更”？
Check definition in the Contract. “Variation” can be change in quantities, quality, levels, position, type, method of work, sequence of work (see FIDIC Red Book Clause ) as well as additional work Plant, Material or Services
核对合同中的定义。“变更”可以是工程量、质量、标高、位置、类型、工作方法、工序的变更（参见FIDIC红皮书第款）
An instruction to accelerate work can also be a “Variation”, but a threat by the Employer to impose liquidated damages if Contractor does not catch up delay may not be an instruction to “accelerate”
赶工的指示也可能构成“变更”，但若雇主称如果承包商不能将延误的时间赶回来将对其收取误期违约金，这可能不构成“赶工”指示
Additional Cost Claims: Variation
获得额外费用的索赔：变更
In EPC contracts, if the Contractor has, subject to any restriction in the contract, a right to choose the design or method of work and the Employer restricts such right, this can also be a “Variation”
在EPC合同中，如果承包商有权在遵守合同规定的限制条件的情况下选择设计或者工作方法，而雇主对该等权利进行限制，这也可构成“变更”
Make sure you can show a “Variation” (for . compare contract drawing and the work as instructed, compare contract specification and a description of the work as instructed)
确保您能证明存在“变更”（如：比较合同图纸和雇主指示的工作、比较合同规定的规格和雇主指示的工作描述）
Additional Cost Claims: Variation
获得额外费用的索赔：变更
Step 4 / 第4步
Try to agree the price before carrying out the Variation
尽可能在实施变更之前就价格达成一致
Most contracts require the Contractor to submit a proposal first before carrying out any work;
大多数合同要求承包商在实施任何工作前先提交一份建议书
even if not required, good practice to do so (provided that your conduct does not cause a delay or look like a refusal to do the work unless your price is agreed)
即使没有该要求，仍建议采取这种做法（只要您的行为不会造成延误，或看似除非雇主同意您的报价否则您将拒绝实施该工作）
Make it clear that the work is a Variation even if Employer does not agree or is unlikely to agree it is
明确该项工作是一项变更，即使雇主不同意或不太可能同意这一点
Explain the price and pricing method in the proposal (. subcontractor cost plus management fee; contract rates or new rates based on contract rates; day rates)
在建议书中说明价格和定价方法（例如，分包商费用加管理费；合同费率或以合同费率为基础的新费率；日费率）
Additional Cost Claims: Variation
获得额外费用的索赔：变更
See FIDIC Red Book Clause for example on how to evaluate price
参见FIDIC红皮书第款关于如何评估价格的范例
If there are contract rates or prices but not applicable, explain why not applicable . changed circumstances or no similar works in the contract, substantially increased quantities, different physical conditions (the contract may contain a percentage of change which entitled the Contractor to a new rate)
如果有合同费率或价格但不适用，解释不适用的理由，例如情形变更或者合同中没有类似的工作、工程量大幅增加、不同的物质条件（合同可能规定了一个变化的百分比，达到该比例则承包商有权要求新的费率）。
If contract rates or prices not applicable, Contractor usually can claim reasonable costs plus profit
如果合同费率或价格不适用，通常承包商可要求获得合理费用加利润
Additional Cost Claims: Variation
获得额外费用的索赔：变更
Step 5
第5步
If the Variation proposal cannot be agreed with the Employer or the Employer does not agree work is Variation or the work is urgent, Contractor probably has to proceed with the work if the Employer asks him to (see for example FIDIC Clause ) because the consequences of refusing are too serious
如果无法就变更建议书与雇主达成一致意见或雇主不同意该工作构成变更或工作比较紧急，一旦雇主要求，承包商可能不得不实施工作（参见FIDIC合同第款），因为拒绝的后果太严重了
But do not delay in making a claim; in particular do not delay just because you are still trying to agree with the Employer
但是，切勿延误索赔；特别是，切勿因为仍在努力与雇主达成一致意见而延误索赔
Make sure you have given the required notices
确保您已发出了必要的通知
Additional Cost Claims – others
获得额外费用的索赔：其他
Contracts usually have several other clauses entitling contractors to claim more money.
合同通常规定了其他条款，赋予承包商要求获得额外费用的权利
Not going to review all these today but there are some common themes
今天不能尽述，但有一些常见的问题
Make sure that you know what your entitlements are and what you have to do to obtain your entitlements
确保您了解您享有的权利，以及如何行使这些权利
Arbitrators will look to see what you said at the time, .
仲裁员会看您当时怎么说，比如：
A contractor (working in a civil law country) who had a proper argument that he had incurred increased cost through legislation
一个（在大陆法国家施工）的承包商本来有很好的理由主张其产生了额外的费用
Additional Cost Claims – others
获得额外费用的索赔：其他
But he did not recognise that he had this potential claim and asked for “sympathetic consideration”
但是它没意识到自己可以提出这项索赔，而是请求”同情“
Three years later the Contractor’s lawyers put forward the arguments for him
三年后承包商的律师为其提出这些主张
The Employer said that the Contract was never intended to cover the issue
雇主指出，合同从未约定这个问题
The Arbitrators in rejecting the Contractor’s claim were heavily influenced by what he said in correspondence and in meetings at the time he was suffering the loss
仲裁员会在很大程度上考虑承包商在遭受损失时在通信和会议中的说法，从而否决承包商的索赔
Additional Costs Claims – practical steps
获得额外费用的索赔：实用措施
Keeping contemporaneous records is equally, or perhaps more, important for costs claims than for the EOT claims
保存同期记录对于费用索赔和工期延长索赔同等重要，或者说也许对前者更为重要
Consider in advance what kinds of records you will need to prove a claim
提前考虑您将需要什么样的记录来作为索赔的证明
For a loss claim you will need good records of cost and why it was incurred
对于费用索赔，您需要良好的费用记录及费用是因何产生的
Records of cost of site and head office overhead are particularly difficult but important
现场和总部管理费的记录尤其难取得，但非常重要
Additional Costs Claims – practical steps
获得额外费用的索赔：实用措施
Arbitrators will usually reject claims made on a global basis
仲裁员通常不会接受没有针对性的全盘索赔
Claims seldom improve with time
索赔很少经由时间获得完善
Even though the Engineer may have rejected your claim keep including it in your interim payment application
即使工程师可能拒绝你的索赔，请继续将其写入您 的期中付款申请
Additional Cost Claims – practical steps
获得额外费用的索赔：实用措施
If the Engineer makes a determination (as in FIDIC ) and you do not like it, make sure that you challenge him immediately – some contracts have a strict time limit for doing so
如果工程师做出了一个决定（如FIDIC第款）而您对该决定不满意，请确保您马上向其指出——有些合同对此有严格的时间限制
Then consider other routes, for example
然后考虑其它途径，例如
further meetings with the Engineer
与工程师的进一步会谈
Meetings with the Employer / 与雇主的会谈
the DAB /争端裁决委员会程序
It will always be more difficult to agree the cost of Variations, Delays or Disruptions if you leave it to final account stage (particularly if they catch the Employer by surprise)
如果将问题拖到决算阶段（尤其雇主早先毫无准备），往往更难就变更、延误或扰乱计划的费用与雇主达成一致
Concurrent causes of delay
并存的延误原因
True concurrency is when there are two causes of delay and it is impossible to say which is the dominant one
真正的并存是指存在两个造成延误的原因并且不能指出哪个是主要原因
Approach varies from country to country but
各个国家处理的方法不同，但是
In all countries, look to see the wording of the contract
无论在哪个国家，请看合同的措辞
. contracts which say that there will only be an EOT if and to the extent that the event is
例如，有些合同规定，仅当该事由为以下情形并在该事由引起的范围内才有权获得工期的延长
one for which the contract provides for an EOT, and
合同规定该事由能够获得工期的延长；并且
the sole cause of the delay to the completion of the works
该事由是造成工程延期竣工的唯一原因
Concurrent causes of delay
并存的延误原因
Main alternative approaches are illustrated by
主要的处理方法如下
English law position
英国法的观点
where there two causes of delay which are equally the cause of a delay, the Contractor should get an EOT, but not money
当存在两个造成延误的原因并且两个原因是造成延误的同等原因时，承包商应获得的是工期的延长而非资金
Scottish law position (and recently in Hong Kong)
苏格兰法的观点（近期亦为香港采纳）
Apportion the delay between the two events on a “fair and reasonable basis” taking into account
“公平合理地”将延误归因于两个事件，并考虑以下因素
the extent that each event caused the delay
各个事件造成延误的范围
the extent to which the contractor or employer was responsible for the delay
承包商或雇主各自负责的延误范围
Concurrent causes of delay
并存的延误原因
City Inn Ltd. v Shepherd Construction (22 July 2010)
City Inn Ltd. v Shepherd Construction（2010年7月22日）
Contract for construction of a hotel
宾馆建设合同
Several events caused delay
多种事件导致延误
Architect granted an EOT
建造师给与承包商工期延长
Adjudicator granted an even longer EOT
评判员给与承包商更长的工期延长
Referred to Court and Appealed to Higher Court
争议诉诸法院并上诉到高等法院
Contractor could not find electronic version of his programme with logic links in it
承包商无法找到具有逻辑关系的电子版进度计划
Contractor relied on the basic “bar chart” that he had used
承包商依据他用过的基本的横道图
Expert witnesses agreed the “as built” programme
专家证人同意“竣工”进度计划
Concurrent causes of delay
并存的延误原因
Employer’s expert then produced a retrospective critical path showing no EOT entitlement at all
业主的专家则出具了一份追溯的关键路径证明承包商根本不享有工期延长的权利
Contractor’s expert said he had been unable to produce such a critical path, so
承包商的专家则说他无法得出这样的关键路径，因此
He had checked the logic of the Contractor’s bar chart
他只核查承包商横道图的逻辑关系
Then, simply looked at what in his opinion had at various times been the cause of delay
然后，简单审核 不同时间他认为造成延误的原因
The Court decided
法庭认定：
To be entitled to an EOT the Contractor must show that a “Relevant Event” occurred
承包商要想获得工期延误必须证明“相关事件”已经发生
Concurrent causes of delay
并存的延误原因
In deciding whether the Relevant Event caused delay, apply common sense principles, not theoretical analysis
在认定是否 “相关事件”造成了延误，应采用常识性的原则，而不是理论分析
Absence of a Critical Path Analysis may not prevent a claim
关键路径分析的缺乏并不能防止索赔
Look at all the appropriate circumstances
察看所有适当的情形
If there is a dominant event, ignore other causes of delay
如果存在主导性的事件，不考虑其他导致延误的原因
If there are two events, neither of which is dominant, but only one of which is a Relevant Event, Architect must make a fair and reasonable apportionment.
如果存在两个事件导致延误，但没有一个具有主导性，然而仅有一个属于 “ 相关事件”，建造师应作出公平合理的分摊。
Concurrent causes of delay
并存的延误原因
Not clear which approach will be followed but the Scottish approach is more consistent with the approach
不清楚哪种方法会被采用，但苏格兰法的观点与美国法的观点更一致
Not clear whether same approach will apply to money as EOT – but quite likely to be the way things will develop
不清楚适用于工期延长的方法是否适用于金钱 – 但很可能这是趋势
Global Claims
全盘索赔
What is a Global Claim?
什么是全盘索赔？
A claim in which the a complex set of events are said to result in a single loss but where it is impossible to assign the loss to the individual events
一系列复杂的事件造成了同一个损失，但不能区分损失是由哪个单独的事件造成的
What is the problem?
问题在哪里？
To make out a claim for loss and expense or at law for damages it will be necessary for the Contractor to demonstrate:
为就损失和费用提起索赔，或者根据法律提起损害赔偿，承包商必须证明
That there has been an event for which the employer is legally responsible
发生了某个应由雇主负法律责任的事件
and where it is a claim under the contract, that it is an event which the Contract says entitles the Contractor to further money; and
如果是根据合同提起索赔，则应是发生了合同规定承包商有权获得额外 款项的事件
That he has suffered loss or incurred expense; and (crucially)
承包商遭受了损失或产生了费用；且（重要的是）
That the loss or expense was caused by that event
损失或费用是由该事件造成的
Global Claims
全盘索赔
So the question is
所以问题是
Has the contractor met his obligation to show that the loss and expense or damages he claims arose from the event he complains of?
承包商是否履行了它的义务来证明它提起索赔的损失、费用或损害是由它所抱怨的事件引起的
If the employer can show that the loss and expense or damages were in part caused by an event for which he was not responsible will the whole claim fail?
如果雇主能够证明损失、费用或损害部分是因不由其负责的事件造成的，索赔是否会整个地失败？
The Wharf case
Wharf案
Employer claimed
雇主主张
The contract administrator failed properly to manage, control, co-ordinate, supervise and administer the work of contractors and sub-contractors
合同管理人未能适当地管理、控制、协调、监管承包商和分包商的工作
As a result, the project was delayed and the Employer was forced to pay compensation to its contractors and sub-contractors.
结果，项目被延误，雇主被迫向承包商和分包商支付赔偿
Global Claims
全盘索赔
The statement of claim did not give particulars as to how the specific periods of delay relied in respect of which the contractor was claiming were caused by the contract administrator’s breaches.
索赔书未给出具体说明，指出承包商据以提出索赔的某个延误期间是如何因合同管理人违反义务的行为造成的
The contract administrator applied for further and better particulars
合同管理人要求提供进一步详情
The Employer could not or would not provide sufficient answers.
雇主不能或不愿提供充分的答案
The Court struck the claim out
法院判决雇主败诉
Global Claims
全盘索赔
Scottish Case
苏格兰案例
Global claims should be employed only where it is impossible or highly impracticable to demonstrate the specific loss attaching to each cause.
只有在不能证明某个具体的损失是由某个原因造成时或这么做非常不切实际时提起全盘索赔
The claimant (the Contractor) must demonstrate that:
原告（承包商）必须证明：
the costs incurred by them were reasonable.
他们产生的费用是合理的
no factors which were the responsibility of the Claimant contributed to the global loss
整个损失不由应由原告负责的因素引起
no factors which were not the responsibility of the Respondent contributed to the global loss
整个损失不由不应由被告负责的因素引起
Global Claims
全盘索赔
But 3 exceptions
但有3个例外
Claim will not fail in respect of individual items that can be shown to flow from the breach
能够证明是由因违约引起的个别事项提起的索赔应获得支持
Where impossible to split causes - look for the dominant one
不可能区分各个原因 – 看主要原因
If cannot find dominant cause - arbitrator may apportion
如果找不到主要原因 – 仲裁员可以分摊
Barring Clauses
前提条件条款
A provision which says that a party must comply with some requirement in order to obtain some entitlement, such as an extension of time and prolongation cost
该类条款约定，一方必须符合某些要求才能获得某些权利，如延长工期及获得延期费用
Often unclear whether a provision is in fact a “barring clause”
经常不清楚某一条款是否属于“前提条件条款”
“Subject to”
“受限于”
“receipt of”
“收到…时”
Barring Clauses
前提条件条款
Examples / 例子：
Clause of NEC3 deals with the contractor’s obligation to notify compensation events and states: “if the Contractor does not notify a Compensation Event within 8 weeks of becoming aware of the event he is not entitled to a change in the Price, the Completion Date or a Key Date unless the Project Manager should have notified the event to the Contractor but did not”
NEC3第款涉及到承包商就赔偿事件发出通知的义务：“如果承包在意识到赔偿事件后8周内未就该赔偿事件发出通知，承包商无权改变合同价格、竣工日期或某个关键日期，除非项目经理本应将该事件通知承包商但未通知”
Clause of the FIDIC form of contract for Construction and Engineering Works 1999 requires the contractor to give notice to the engineer of any event which may give rise to an extension of time or additional payment. The clause states “if the Contractor fails to give notice of a claim within such period of 28 days, the Time for Completion shall not be extended, the Contractor shall not be entitled to additional payment and the Employer shall be discharged from all liability in connection with the claim”
FIDIC建筑工程格式合同（1999版）第款要求承包商在发生可能导致工期延长或追加付款的事件时，向工程师发出通知： “如果承包商未能在上述28天期限内发出索赔通知，则竣工时间不得延长，承包商无权获得追加付款，而雇主应免除有关该索赔的全部责任“
Barring Clauses
前提条件条款
In common law countries such provisions can be strictly enforced and may deprive a party of his legitimate rights
在普通法国家，此类条款能被严格执行，并可能剥夺一方的法定权利。
Lawyers are then forced to find other routes for achieving entitlements such as:
律师被迫寻找行使权利的其他路径， 如：
Damages for breach
违约损害赔偿
Estoppel
禁止反言
Collateral warranties
附属保证
Relying on other documents
依赖其他文件
Waiver
弃权
Barring Clauses
前提条件条款
Scottish Case-City Inn v Shepherd (22 July 2010)
苏格兰案例- -City Inn v Shepherd (2010年7月22日)
Conditions precedent in Building Contract
建筑合同中的前提条件条款
Never raised by the Employer in his discussions with the Contractor as to the Contractor’s entitlement
业主在和承包商的谈判中从来没有提及承包商这方面的权利
Contractor operated contract as though condition precedent clause did not exist.
承包商在执行合同时好像该前提条件条款没有存在一样
Court accepted that if the Employer or his Architect had refused an earlier EOT because of condition precedent Contractor would have complied with the clause.
法院认为如果业主或建造师之前因前提条件条款拒绝过承包商提出的一项早期工期索 赔，承包商将会遵守该条款。
Barring Clauses
前提条件条款
Courts and Arbitrators have become
法院和仲裁员倾向于：
much less willing to allow the use of the “escapes”
不愿意允许使用“逃避责任”的说法
Much more willing to find that a clause is a condition precedent
而更愿意认定此类条款构成先决条件
Steria v Stigma Wireless Technologies Ltd (2007)
"….provided the Sub-Contractor shall have given within a reasonable period written notice to the Contractor of the circumstances giving rise to the delay, the time for completion thereunder shall be extended by such period as may in all the circumstances be justified and all extra costs incurred by the Sub-Contractor in relation thereto shall be added to the Sub-Contract Price together with a reasonable allowance for profit…“
“…如果分包商在导致延误的情况发生后的合理时间内将该情况书面通知承包商，那么合同规定的竣工时间应按具体情况延长适当的期限，并且分包商因此而产生的所有额外费用以及合理的利润应增加到分包合同价款中…”
Barring Clauses
前提条件条款
The Judge found that
法官认定：
the words "provided that" made the clause a condition precedent
“如果”一词使得该条款构成一项先决条件
A notice needed
通知必须：
first to identify the relevant circumstances have occurred
首先确定相关情况已经发生
second to indicate that those circumstances have caused a delay to the execution of the sub-contract works
其次指出该情况导致分包合同的实施延误
third, originate from the Sub Contractor
再者相关情况因分包商而产生
Barring Clauses
前提条件条款
In many non common law jurisdictions, judges and arbitrators have other options to avoid the consequences of a condition precedent by relying on either:
在很多非普通法国家，法官和仲裁员可以依赖下列方法避免先决条件产生的结果：
general principles of fairness or good faith
公平或诚实信用的一般原则,
finding that the clause should be amended because it does not comply with what the parties must have intended
认定该条款应作修改，因为它不符合当事人各方本来的意图
in reliance on other provisions of their law
依赖法律的其它规定
Such jurisdictions include places such as Taiwan, Vietnam and Australia
此类管辖区包括台湾地区、越南和澳大利亚
Barring Clauses - preventative measures
前提条件条款 – 预防措施
Therefore, a Contractor when tendering for or negotiating a Contract should pay particular attention to the claims procedure provisions and take into account in his Contract Price the costs that he has to incur to maintain a claims procedure or team
因此，承包商在投标时或合同谈判时应特别注意索赔程序条款，并在其合同价格中考虑遵守索赔程序或设立索赔团队的成本
It is likely that the Contractor should at least have a small commercial team (even if only one person) to monitor progress of works and be responsible for preparing and issuing claim notices and reports as and when a claim arise
承包商可能应至少成立一个小型商务团队（即使只有一人组成）来监督项目进度并在索赔事项发生时负责准备和签发索赔通知和报告
In our experience, it is difficult for a Contractor to persuade an Employer to change the strict requirements of the claims procedure in a Contract; it is seldom an item on the agenda for negotiation or serious negotiation
根据我们的经验，承包商很难说服雇主改变合同中严格的索赔程序要求；索赔程序很少会列入谈判或重大谈判的议程
Barring Clauses - preventative measures
前提条件条款 – 预防措施
But even if the strict requirements cannot be changed, a Contractor should at negotiation stage let the Employer know that the strict requirements will likely result in the Contractor having to issue more claim notices and if so, the Contractor will only be doing what the Employer requires him to do under the Contract
但是，即使严格的索赔程序无法改变，承包商应在合同谈判阶段让雇主知道严格的索赔程序很可能会导致承包商不得不签发比较多的索赔通知，而承包商这样做，不过是为了满足雇主根据合同提出的要求
This is useful because many Employers, even though they impose very strict requirements for claims, are unhappy when they actually receive claims notices from Contractors, even on claims they agree are reasonable and valid !
这种提法是有用的，因为尽管许多雇主规定了严格的索赔要求，但当真正收到承包商的索赔通知时，即便是他们认为是合理和有效的索赔，他们也会不高兴!
Barring Clauses – an example from FIDIC
前提条件条款 – 一个来自FIDIC的例子
FIDIC GCC FIDIC 通用条件第款
“If the Contractor encounters adverse physical conditions which he considers to have been Unforeseeable, the Contractor shall give notice to the Engineer as soon as practicable.
“如果承包商遇到他认为不可预见的不利物质条件，应尽快通知工程师。
This notice (i) shall describe the physical conditions, so that they can be inspected by the Engineer, and (ii) shall set out the reasons why the Contractor considers them to be Unforeseeable”.
此通知(i)应说明物质条件以便工程师进行检验，并（ii）应提出为何承包商认为不可预见的理由。“
So the notice must comply with (i) and (ii) (the numbers are inserted by me)
因此通知必须满足（i）和（ii）的要求（序号为本人加入）
Barring Clauses – an example from FIDIC
前提条件条款 – 一个来自FIDIC的例子
“If and to the extent that the Contractor encounters physical conditions which are Unforeseeable, gives such a notice, and suffers delay and/or incurs Cost due to these conditions, the Contractor shall be entitled subject to Sub-Clause … to:
“如果承包商遇到不可预见的物质条件，并发出此项通知，因这些条件达到遭受延误和（或）增加费用的程度，承包商应有权根据第款…要求：
(a) an extension of time for any such delay … ,and
对任何此类延误给予延长期，以及
(b) payment of any such Cost,”
对任何此类费用给予支付，”
“If” may amount to a barring provision
“如果”一词可能构成前提条件条款
so even having given this notice the Contractor must look at clause
因此即使发出了这个通知，承包商还应考虑第款
Barring Clauses – an example from FIDIC
前提条件条款 – 一个来自FIDIC的例子
FIDIC Clause FIDIC第款
“If the Contractor considers himself to be entitled to any extension of the Time for Completion and/or any additional payment, under any Clause of these Conditions or otherwise in connection with the Contract, the Contractor shall give notice to the Engineer, describing the event or circumstance giving rise to the claim. The notice shall be given as soon as practicable, and not later than 28 days after the Contractor became aware, or should have become aware, of the event or circumstance.”
“如果承包商认为，根据本条件任何条款或与合同有关的其他文件，他有权得到竣工时间的任何延长其和（或）任何追加付款，承包商应向工程师发出通知，说明引起索赔的事件或情况。该通知应尽快在承包商察觉或应已察觉该事件或情况后28天内发出。”
So the notice required by must also describe the event or circumstances and be given no later than 28 days
因此第款要求的通知还必须描述该事件或情况，并不迟于28日内发出
Barring Clauses – an example from FIDIC
前提条件条款 – 一个来自FIDIC的例子
“If the Contractor fails to give notice of a claim within such period of 28 days, the Time for Completion shall not be extended, the Contractor shall not be entitled to additional payment, and the Employer shall be discharged from all liability in connection with the claim.”
“如果承包商未能在上述28日天期限内发出索赔通知，则竣工时间不得延长，承包商无权获得追加付款，而雇主应免除有关该索赔的全部责任。”
This is a further barring provision
这是进一步的前提条件条款
“The Contractor shall keep such contemporary records as may be necessary to substantiate any claim ….. Without admitting the Employer's liability, the Engineer may, after receiving any notice under this Sub-Clause, monitor the record-keeping and/or instruct the Contractor to keep further contemporary records.”
“承包商应…保持用以证明任何索赔可能需要的此类同期记录。工程师收到根据本款发出的任何通知后，未承认雇主责任前，可检查记录保持情况，并可指示承包商保持进一步的同期记录。”
So the Contractor has an obligation to keep records
可见承包商有义务保持记录
Barring Clauses – an example from FIDIC
前提条件条款 – 一个来自FIDIC的例子
FIDIC (cont’d) FIDIC第款（续）
“Within 42 days after the Contractor became aware (or should have become aware) of the event or circumstance giving rise to the claim .... the Contractor shall send to the Engineer a fully detailed claim which includes full supporting particulars of the basis of the claim and of the extension of time and/or additional payment claimed.”
“在承包商察觉（或应已察觉）引起索赔的事件或情况后42天内…承包商应向工程师递交一份充分详细的索赔报告，包括索赔的依据、要求延长的时间和/或追加付款的全部详细资料。”
So the Contractor must, in addition to the Notice, send a detailed claim and particulars
因此除通知之外承包商还应递交一份详细的索赔报告
Barring Clauses – an example from FIDIC
前提条件条款 – 一个来自FIDIC的例子
FIDIC (cont’d) FIDIC第款（续）
“If the event or circumstance giving rise to the claim has a continuing effect:
“如果引起索赔的事件或情况具有连续影响，则：
(a) this fully detailed claim shall be considered as interim;
上述充分详细索赔报告应被视为中间的；
(b) the Contractor shall send further interim claims at monthly intervals, giving the accumulated delay and/or amount claimed, and such further particulars as the Engineer may reasonably require; and
承包商应按月递交进一步的中间索赔报告，说明累计索赔的延误时间和（ 或）金额，以及工程师可能合理要求的此类进一步详细资料；以及
(c) the Contractor shall send a final claim within 28 days after the end of the effects resulting from the event or circumstance…..”
承包商应在索赔的事件或情况产生的影响结束后28天内…递交一份最终索 赔报告。”
And if there is a continuing effect the Contractor must give monthly interim claims and a final claim.
并且如果具有连续影响，承包商应按月递交中间索赔报告和一份最终索赔报告。
Barring Clauses – an example from FIDIC
前提条件条款 – 一个来自FIDIC的例子
FIDIC (cont’d) FIDIC第款（续）
“The requirements of this Sub-Clause are in addition to those of any other Sub-Clause which may apply to a claim”
“本款各项要求是对适用于索赔的任何其他条款的追加要求”
This confirms that the Contractor must, in this example, comply with the Notice and Particulars provisions of as well as
这确认了，在这个例子中承包商必须同时遵守第款和第款有关通知和详细资料的规定
“If the Contractor fails to comply with this or another Sub-Clause in relation to any claim, any extension of time and/or additional payment shall take account of the extent (if any) to which the failure has prevented or prejudiced proper investigation of the claim, unless the claim is excluded under the second paragraph of this Sub-Clause”.
“如果承包商未能达到本款或有关任何索赔的其他条款的要求，除非该索赔根据本款第二段的规定被拒绝，对给予任何延长期和（或）追加付款，应考虑承包商此项未达到要求对索赔的彻底调查造成的阻碍或影响（如果有）的程度”
Barring Clauses – an example from FIDIC
前提条件条款 – 一个来自FIDIC的例子
So this confirms
因此这确认了
That the failure to give the “as soon as practicable but no later than 28 day” notice is fatal (subject to the possible escape arguments referred to above)
未能”尽快但不晚于28天“发出通知是致命的（留意前述可能的免责理由）
Failure to comply with the other provisions may reduce the entitlements the Contractor would otherwise have had.
未能遵守其他条款可能有损承包商本应享有的权益
Barring Clauses
前提条件条款
Many Engineers prefer to negotiate and agree claims with Contractors without the Contractors issuing claim notices; Beware of relying on assurances that, if the Contractor presses on with the work and leaves notices until later, the Engineer will be fair to him; it may be that when the Contractor later submits the claim the Employer will still say that the claim is time-barred.
许多工程师倾向于不要求承包商发出索赔通知而与承包商进行协商并就索赔达成一致；注意工程师承诺的，如果承包商继续赶工而稍后再发出索赔通知，工程师会公正行事；事实可能是，承包商稍后提起索赔时，工程师会说，索赔已经丧失时效。
City Inn v Shepherd case may help-but dangerous to rely on it as a reason for not giving a notice
City Inn v Shepherd判例可能会有帮助，但仅仅依靠该案里作为没有发通知的理由非常危险
For a EOT claim, it could even potentially result in the Employer deducting LDs from the Contractor for delay to completion caused by the Employer!
对于工期延长索赔，这甚至可能导致雇主因其自己导致竣工延误却向承包商扣除损害赔偿金!
Although such a result may be challengeable in some jurisdictions
尽管这样一种结果可能在某些司法辖区受到挑战
Barring Clauses
前提条件条款
A possible solution / 可能的解决办法：
Write two letters to the Employer / 向雇主发两封信
First Letter – a simple formal notice of claim to preserve Contractor’s right to claim, for example:
第一封信 - 一份简单的正式索赔通知以保留承包商的索赔权，例如：
“Pursuant to Clauses [XX] and [XX] of the Conditions of Contract, we hereby give you notice that your instruction dated [XX] for us to [describe event] constituted a Variation to the Works. The execution of the Variation will result/have resulted in us incurring additional costs and time to complete the Works and as such, we hereby give notice of our intention to claim additional costs and extension of time under Clause [XX] and [XX] of the Conditions of Contract. Further particulars of our claim will be provided to you shortly. ”
“根据合同条件第[XX]和[XX]条，我们现通知您：贵方就[描述事件]日期为[XX]的指示构成对工程的变更。实施该变更将使/已使我们发生额外费用和时间以完成该工程，因此，我们谨此根据合同条件第[XX]和[XX]条通知贵方我方有意提起额外费用和工期延长的索赔。索赔的具体详情我们会尽快提交给贵方。”
Barring Clauses
前提条件条款
Second letter – Offering the Employer or Engineer an opportunity to discuss and agree the claim, for example:
第二封信 - 给雇主或工程师一个就该索赔协商并达成一致的机会，例如：
“We refer to our Notice of Claim date [xx] in respect of Variation no. [xx] for additional costs and extension of time. You will appreciate that the Notice was issued to preserve our rights under the Contract and in order to comply with the Contract procedures as specified by you. We would however in the spirit of co-operation like to work with you to agree our entitlement in a fair and reasonable way. We would therefore like to have an opportunity to discuss and explain our entitlement to you and to agree a mutually acceptable solution. ”
“参阅我们就第[XX]号变更发出的日期为[XX]的额外费用和工期延长索赔通知。 贵司将注意到该通知是为了保留我们在合同项下的权利和遵守贵方指定的合 同程序而发出的。但是，我们愿意本着合作的精神与贵方一起以公平合理的 方式商定我们的权利。因此，我们希望有机会与贵方协商并向贵方解释我们 的权利以商定双方均能接受的解决方案。”
Barring Clauses
前提条件条款
The proposed solution may make the submission of a claim notice less “confrontational”
上述解决方案建议可使索赔通知显示较少的“对抗性”
There may be other non-confrontational wordings that will still be effective notices
可能还有其他“非对抗性的”措辞可以构成有效的通知
But remember that the notice must contain the essential elements required by the contract
但请记住，通知必须包含合同要求的必要要素
Liquidated Damages
违约赔偿金
What are Damages and what are Liquidated Damages?
什么是损害赔偿？什么是违约赔偿金？
Damages are the remedy that is used to put the innocent party back into the position it would have been had the contract been properly performed
损害赔偿是一种救济措施，用于将无过错方恢复到合同正确履行的情况下其应具有的地位
A liquidated damages clause in certain countries must be a pre-estimate of the loss that would be suffered by the Employer if completion is delayed by the Main Contractor
在一些国家，违约赔偿金条款是对因总包商的原因造成竣工延误的情况下雇主可能遭受的损失的预先估计
In some other countries it must not be disproportionate to the actual loss
在其他一些国家，该条款不得与实际损失不成比例
Liquidated Damages
违约赔偿金
When can a contractor argue the LD’s are unenforceable?
什么时候承包商能够主张违约赔偿金不能强制执行？
LD’s clause may be unenforceable if it is a “penalty” – in some common law countries
在一些普通法国家，如果违约赔偿金条款具有”惩罚性”，则该条款不可强制执行
Must be a sum that would have been a genuine pre-estimate of loss
其金额必须是对损失的真实的预先估计
Lump sum generally presumed to not be genuine pre-estimate
固定数额通常被认为不是对损失的真实的预先估计
Will be likely to be a penalty if
如果存在以下情况，可能被认为具有“惩罚性”
the predominant function of LDs is a deterrent
违约赔偿的主要功能在于威慑
Sum is extravagant
赔偿金额极高
However these days, courts in common law countries are usually less willing to find liquidated damages clause is a penalty
但是，如今，普通法国家的法院通常不愿意认定违约赔偿金条款是“惩罚性条款”
Liquidated Damages
违约赔偿金
Can a contractor argue LD’s should be reduced to reflect actual loss?
承包商能否主张违约赔偿金应该降低到反映实际损失？
Depends on the law of the jurisdiction in question
取决于相关管辖区的法律
Philippines – Courts will reduce where it can be shown that the level is iniquitous or unconscionable
菲律宾 - 如果能够证明违约赔偿金的数额不公平或不合情理，法院将予以降低
Vietnam – Courts will reduce if the level can be shown to be manifestly unfair
越南 - 如果违约赔偿金的数额明显不公平，法院将予以降低
Taiwan – Article 252 of the Civil Code “If the agreed penalty is disproportionately high, the court may reduce it to a reasonable amount” – often actual damages is considered by the court
台湾 - 民法第252条规定，“如果约定的金额高得不成比例，法院可以将其降至合理金额” - 通常法院会考虑实际造成的损害
Malaysia – Selva Kumar Murugial v Thiagarajah [1995]; not popular law but gives contractor opportunity to challenge LD’s clause and a Court may require the Employer to prove actual loss
马来西亚 - Selva Kumar Murugial v Thiagarajah [1995]; 虽然法官不喜用该判例，但它给了承包商对违约赔偿金条款提出异议的机会，法院可以要求雇主证明遭受的实际损失
Liquidated Damages
违约赔偿金
Can a contractor argue LD’s should be reduced to reflect actual loss?
承包商能否主张违约赔偿金应该降低到反映实际损失？
South Africa – Conventional Penalties Act – Court may adjust if amount is out of proportion with the actual prejudice suffered
南非 - 常规处罚法（ Conventional Penalties Act ）- 如果数额与实际遭受的损失不成比例，法院可以调整
Saudi Arabia - Saudi Courts or Tribunals usually put the Employer to a strict proof of who was responsible for the delay and whether loss was actually incurred so it is often advantageous for contractor to challenge LDs
沙特阿拉伯 - 沙特法院或裁决庭通常严格要求雇主证明谁应对延误负责以及是否造成了实际损失，因此，有利于承包商就违约赔偿金提出异议
UAE – Article 390 of the Civil Code – Court has complete discretion to open up LD’s clause and reduce or increase damages to reflect actual loss
阿拉伯联合酋长国 - 民法第390条 - 法院拥有完全的自由裁量权审核违约赔偿金条款，并减少或增加赔偿金额以反映实际损失。
Liquidated Damages
违约赔偿金
Case Study of position in countries such as UK:
案例分析：
UK development of office building started in a boom, high liquidated damages - assessed against rents employer expected to receive
英国办公楼开发初期经济昌盛，因此订立高额的违约赔偿金 - 根据雇主预期得到的租金评估违约赔偿金额
Recession during course of contract
合同执行期间经济衰退
Contractor late completing and so liable for liquidated damages
承包商延迟竣工，因此须付违约赔偿金
But Employer could not rent the offices anyway
但是雇主反正也找不到租客
English Courts enforced liquidated damages
英国法院执行了违约赔偿金条款
Many other jurisdictions would not have done so
许多其他司法辖区可能不会这么做
Liquidated Damages
违约赔偿金
Comprehensive?
全面排他？
FIDIC Silver Book Clause “These delay damages shall be the only damages due from the Contractor for such default other than in the event of termination under Sub-Clause prior to completion of the Works”
FIDIC银皮书第款规定，“除在工程竣工前根据第款的规定终止的情况外，这些误期损害赔偿费应是承包商为此类违约应付的唯一损害赔偿费”
Some countries’ laws say LDs clauses are presumed to be comprehensive, other countries do not
有些国家的法律规定违约赔偿金条款应被视为具有全面的排他性，其他国家则无此规定
So a contractor should make sure that his contract says LDs are comprehensive
因此，承包商应该确保合同规定违约赔偿金具有全面的排他性
Note: the common exception of damages following a termination as in the FIDIC wording
注意: 合同终止后的损害赔偿费是一个常见的例外，见FIDIC合同
Liquidated Damages
违约赔偿金
Look out for other loopholes in the apparently comprehensive LDs provision, .
留意明显具有排他性的违约赔偿金条款中存在的其他漏洞，如
Parent Guarantees
母公司担保
Direct Warranties
直接保证
If the Employer causes the delay and the contract does not provide for an EOT for his acts in so doing, it may be possible to say that he can no longer recover liquidated damages
如果雇主引起延误，而合同没有就该行为规定工期的延长，那么承包商可能就无法获得违约赔偿金
Difficult position if the reason that the Contractor is not entitled to an EOT is that he did not apply for one
如果因为承包商没有申请延长工期而导致他无权获得工期的延长，亦为难题
Some Conclusions
一些结论
Make sure that at least one member of the Contractor’s team (“the Claims Manager”) has daily responsibility for thinking about obtaining the Contractor’s entitlements.
确保承包商团队中至少有一人（“索赔经理”）日常负责考虑如何获得承包商的相关权利。
The Claims Manager must have a good understanding of the circumstances in which a claim may be able to brought under the contract – do not wait until the claim event has occurred to find out whether the contract gives an entitlement.
索赔经理必须非常了解在哪些情况下可以根据合同提起索赔 - 不要等到索赔事件发生再去研究合同是否赋予了索赔权。
If the Contract does not have an express right to an EOT but the Contractor has been delayed because of events for which the Employer is responsible, investigate immediately what protections the local law gives. It is unlikely that the local law will allow the Employer both to be the cause of the delay and to be entitled to delay damages.
如果合同没有明确约定延长工期的权利，但是承包商确实因雇主负责的事件遇到了延误，承包商应当立即研究当地法律规定了哪些保护。当地法律不太可能允许雇主可以在造成延误的同时还有权获得延误损害赔偿费。
Some Conclusions
一些结论
If the Contract does not have an express right to a financial recovery but the Contractor believes that he has been wrongfully treated by the Employer or the Engineer, he may have a right to claim damages for breach of contract.
如果合同没有明确约定经济赔偿的权利，但是承包商确信他受到雇主或工程师的错误对待，他可能有权索赔违约赔偿金
So investigate it immediately
因此立即展开调查
The Claims Manager must have a good understanding of the Contract Procedures for claiming entitlements, whether to an EOT or Money and have drafts of the kinds of documents the Contractor needs in order to claim those entitlements
索赔经理必须清楚掌握合同中的索赔程序（无论是工期索赔还是费用索赔），并且拥有承包商提起索赔所需要的各类文件草稿
Although the Claims Manager should know which Notices and Particulars will be barring clauses if not complied with, it is safer for him to presume that they all are
尽管索赔经理应当知道哪些通知或详细资料属于前提条件条款，但更安全的做法是将要求的通知或详细资料视为前提条件。
Some Conclusions
一些结论
If the Contractor may have slipped over a date for taking some action, take immediate advice because the situation may be able to be recovered
如果承包商可能已经错过了采取行动的时间，请立即寻求法律建议，因为这种情况可能还能补救。
The Claims Manager should then have responsibility for / 索赔经理应当负责：
ensuring compliance with those procedures and the giving of the Notices and Particulars / 确保遵守那些程序并发出通知和详细资料
remember that they can, and usually should, be provided in a non aggressive manner
记住这些文件可以并且通常应该以非攻击性的方式递交
never delay for fear of upsetting the Employer or the Engineer (they will be likely to take advantage)
千万不要因为害怕得罪雇主或工程师而延误索赔（他们可能会因此得利）
ensuring that the procedures are in place, both at site and head office for ensuring that the right records are kept
确保现场和总部的程序井然，确保保持正确的纪录
Some Conclusions
一些结论
The Claims Manager should have responsibility for
索赔经理应当负责：
ensuring that what is said in correspondence, minutes, reports etc is consistent with the pursuit of the Contractor’s entitlements
确保信函、会议纪要、报告等文件的内容与承包商主张的权利相一致
Do not pursue “rubbish” claims
不要坚持“垃圾”索赔
They will damage the good ones
它们会有损好的索赔
Of course the first defence to a Liquidated Damages claim is an EOT entitlement, but
当然，对违约赔偿金索赔的第一个抗辩就是延长工期的权利，但是
Consider also whether in the particular circumstances in the particular country the LDs themselves or the level of LDs can be challenged
也要考虑在特定国家的特定情况下，是否可以对违约赔偿金本身或赔偿金数额提出异议
Some Conclusions
一些结论
The Claims Manager should be responsible for
索赔经理应当负责
ensuring consistent progress in the pursuit of entitlements (so this role should be his sole or main role, . not contract management or quantity surveying as well).
确保坚持主张索赔权利（这应该是索赔经理的唯一或主要指责，而不是合同管理或计量工作）
obtaining professional help when needed, whether engineering, programming, legal or surveying
在需要时寻求专业帮助（无论是工程方面、进度计划方面、法律方面或测量方面）
The Claims Manager should be promoting ideas as to how to pursue entitlements both under the contract procedures and in other ways
索赔经理应当就如何根据合同程序和其他途径主张权利积极想办法
Never hand the claim over to a claims consultant
千万不要把索赔事宜全部交给索赔顾问去做
their role is to be part of the team not to take over the claim
索赔顾问只是索赔团队的一部分，他不能全盘负责索赔
Whatever happens do not let the claim go cold.
无论发生什么情况，不要让索赔停下来
THANK YOU!
谢谢!
Working hard to make it easier
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