战“疫”前沿 | 肺炎疫情影响下与国际工程施工索赔相关的索赔条款解读与应用
当前新型冠状病毒肺炎疫情的全球爆发，存在影响国际工程施工履约各种可能的情况，作者根据99版红皮书，针对此类事件，建议可以采纳的有关合同条款，深入揭示条款背后的含义及联系，解读合同管理中具体的实际应用，是国际商务人才必须要理解和掌握的核心要义，希望大家能够利用好这些条款，结合项目的具体情况，及时提出索赔（结合之前发出的不可抗力通知和索赔通知示范信函），做好索赔证据的收集，尤其是同期纪录（Contemporary Record）, 及时对索赔进行具体论证（Substantiate，就是具体化索赔的时间、费用等，建立因果关系）, 因为事件具有持续性，因此每28天提交一个期间索赔报告（interim detailed claims），待事件影响终止后28天内提交最终的索赔报告。谨记程序优先于权利（process before rights），如果自知道或者应当知道因不可抗力引起工期延长或额外付款时起28天内没有提出索赔，那么业主方就会产生抗辩权，承包商将失去索赔的机会，这种情况就是所谓的Time-barred，因此一定要尽量避免出现此类情况。
Global Outbreak of Novel Coronavirus and Impacts on Contractors
新型冠状病毒的全球爆发及其对承包商的影响
(Analysis per FIDIC 1999 Construction Contract)
（根据1999版FIDIC施工合同条款所作分析）
The outbreak of Novel Coronavirus (2019-nCoV, the Event) has become an emergency event across the countries. It may prevent the Contractor from performing the Contract and may cause loss or damage to the Works, Goods and/or Contractor’s Documents. The Event constitutes a Force Majeure in accordance with Sub-Clause 19.1(v) and also can be classified as the Employer’s Risks Event per Sub-Clause 17.3(h). Thus, the Contractor is entitled remedies both under Clause 19 if the Contractor’s performance of the Contract is partially or substantially prevented and, under Sub-Clause 17.4 if the Contractor is instructed (expressly or impliedly) to rectify the loss or damage of the Works, Goods, and/or Contractor’s Documents from the Event.
新型冠状病毒肺炎疫情（2019-nCoV，事件）的爆发已成为各国的紧急事件。它可能妨碍承包商履行合同，并可能对工程、货物和/或承包商文件造成损失或损害。根据第19.1（v）款，该事件应构成不可抗力，根据第17.3（h）款，也可归类为业主风险事件。因此，承包商即可以根据第19款将事件归类为因不可抗力造成部分或实质上无法履行合同得到救济，也可以根据第17.4款，当被指示（明示或默示）对工程、货物或承包商文件的损失或损害进行弥补或修复时，就此类弥补或修复导致的费用及可能的工程延误获得补救。
1. Contractor’s Performance and Care Obligations under the Contract
1. FIDIC合同中规定承包商的履行和照管义务
Sub-Clauses 4.1, 8.1, 8.2, and 8.3 of Conditions of Contract prescribed the Contractor’s general contractual obligations of commencing, proceeding with due expedition at a rate of Progress in accordance with the programme and, completing the Works within the Time for Completion in performing the Contract.
合同条件第4.1、8.1、8.2和8.3款规定了承包商的主要义务，即尽早开工，并按照一定的进度和速度满足进度计划实施，以保证在合同工期内完工的合同履行义务。
Clause 4.1 [Contractor’s General Obligations]
第4.1条【承包商的一般义务】
“The Contractor shall design (to the extent specified in the Contract), execute and complete the Works in accordance with the Contract and with the Engineer’s instructions, and shall remedy any defects in the Works.”
“承包商应按照合同的规定以及工程师的指示（在合同规定的范围内）对工程进行设计、施工和竣工，并修补其任何缺陷。”
Clause 8.1 [Commencement of Works]
第8.1条【工程的开工】
“The Contractor shall commence the execution of the Works as soon as is reasonably practicable after the Commencement Date, and shall then proceed with the Works with due expedition and without delay.”
“承包商应在开工日期合理可行的情况下尽快开始实施工程，随后应迅速且毫不拖延地进行施工。”
Clause 8.2 [Time for Completion]
第8.2条【竣工时间】
“The Contractor shall complete the whole of the Works, and each Section (if any), within the Time for Completion for the Works or Section (as the case may be) …”
“承包商应在工程或区段(如果有)的竣工时间内完成整个工程以及每一区段(视情况而定)……”
Clause 8.3 [Programme]
第8.3条【进度计划】
“… the Contractor shall proceed in accordance with the programme, subject to his other obligations under the Contract …”
“……承包商应按照此进度计划履行义务，但不应影响到合同中规定的其他义务……”
Sub-Clauses 1.8 and 17.2 of Conditions of Contract further detailed that the Contractor is responsible for care of the Works, Goods, and Contractor’s Documents during the period of performing the Contract. The Contractor shall rectify any loss or damage to the Works, Goods, or Contractor’s Documents from any cause, (1) not listed in Sub-Clause 17.3 [Employer’s Risks] at its own risk and cost to conform with the Contract or, (2) listed in Sub-Clause 17.3 at the Employer’s risk and cost to conform the Engineer’s requirements only if any so instructed. In other words, the Contractor shall not rectify those loss or damage from any cause listed in Sub-Clause 17.3 without the Engineer’s instruction (expressly or impliedly).
合同条件第1.8款和第17.2款进一步详细规定了承包商在履行合同期间对工程、货物和承包商文件的照管责任。承包商应：（1）在由于第 17.3 款[雇主的风险]所列的雇主的风险以外的原因导致工程、货物或承包商的文件发生的任何损失或损害时，自担风险和费用弥补此类损失或修补损害，以使其符合合同的要求，或，（2）在由于第 17.3 款所列的雇主的风险事件导致、且被工程师指令弥补或修补这些损失或损害并时，由雇主承担相应费用和工期风险情况下修复这些损失或损害，以使其符合工程师的要求。换言之，如果工程师没有签发指令（明示或暗示），承包商无需对因第17.3款所列风险事件造成的损失或损害进行弥补或修补。
Clause 1.8 [Care and Supply of Documents]
第1.8条【文件的保管和提供】
“Each of the Contractor’s Documents shall be in the custody and care of the Contractor, unless and until taken over by the Employer.”
“在移交给雇主之前，每份承包商的文件都应由承包商来保护和保管。”
Clause 17.2 [Contractor’s Care of the Works]
第17.2条【承包商对工程的照管】
“The Contractor shall take full responsibility for the care of the Works and Goods from the Commencement Date until the Taking-Over Certificate is issued (…) for the Works, when responsibility for the care of the Works shall pass to the Employer …. If any loss or damage happens to the Works, Goods or Contractor’s Documents during the period when the Contractor is responsible for their care, from any cause not listed in Sub-Clause 17.3 [Employer’s Risks], the Contractor shall rectify the loss or damage at the Contractor’s risk and cost, so that the Works, Goods and Contractor’s Documents conform with the Contract.”
“从工程开工日期起直到颁发（…）接收证书的日期为止，承包商应对工程的照管负全部责任。此后，照管工程的责任移交给雇主 …… 在承包商负责照管期间，如果工程、货物或承包商的文件发生的任何损失或损害不是由于第 17.3 款[雇主的风险]所列的雇主的风险所致，则承包商应自担风险和费用弥补此类损。”
Contractor’s Performance and Care Obligations
承包商的履行和照管义务
2. Contractor’s Relief from Performance of the Contract and Remedies under the Contract due to the Event
2. 承包商在该疫情事件下合同履行的免除和救济措施
Sub-Clauses 19.2 and 19.4 of Conditions of Contract provide the Contractor relief from performing the parts of Works affected by and in the duration of the Event, accompanied with an entitlement for an extension to Time for Completion of the Works. If the impacts of the Event to the performance of the Works is substantial and lasting significantly far, Clause 19.6 or 19.7 entitle the Contractor to terminate the Contract.
合同条件第19.2和第19.4款为承包商提供了在疫情持续期间免除履行因疫情影响而无法履行的合同义务，和相应的延长工期的权力。如果疫情对整个工程的实施的影响是实质性的且持续很久，则承包商可根据第19.6条或第19.7条终止合同。
Clause 19.2 [Notice of Force Majeure]
第19.2条【不可抗力通知】
“… The Party shall, having given notice, be excused performance of such obligations for so long as such Force Majeure prevents it from performing them …”
“……在发出通知后，该方应在此类不可抗力持续期间免除此类义务的履行 ……”
Clause 19.4 [Consequences of Force Majeure]
第19.4条【不可抗力引起的后果】
“If the Contractor is prevented from performing any of his obligations under the Contract by Force Majeure of which notice has been given under Sub-Clause 19.2 [Notice of Force Majeure], and suffers delay and/or incurs Cost by reason of such Force Majeure, the Contractor shall be entitled subject to Sub-Clause 20.1 [Contractor’s Claims] …”
“如果由于不可抗力，承包商无法依据合同履行他的任何义务，而且已经根据第 19.2 款[不 可抗力的通知]，发出了相应的通知，并且由于承包商无法履行此类义务而使其遭受工期的 延误和（或）费用的增加，则根据第 20.1 款[承包商的索赔]，承包商有权：……”
Clause 19.6 [Optional Termination, Payment and Release]
第19.6条【可选择的终止、支付和返回】
“If the execution of substantially all the Works in progress is prevented for a continuous period of 84 days by reason of Force Majeure of which notice has been given under Sub-Clause 19.2, or for multiple periods which total more than 140 days due to the same notified Force Majeure, then either Party may give to the other Party a notice of termination of the Contract …”
“如果由于不可抗力，导致整个工程的施工无法进行已经持续了84天，且已根据第 19.2 款[不可抗力的通知]发出了相应的通知，或如果由于同样原因停工时间的总和已经超过了140 天，则任一方可向另一方发出终止合同的通知……”
Clause 19.7 [Release from Performance under the Law]
第19.7条【根据法律解除履约】
“Notwithstanding any other provision of this Clause, if any event or circumstance outside the control of the Parties (including, but not limited to, Force Majeure) arises which make it impossible or unlawful for either or both Parties to fulfil its or their contractual obligations or which, under the law governing the Contract, entitles the Parties to be released from further performance of the Contract, then upon notice by either Party to the other Party of such event or circumstance: a) the Parties shall be discharged from further performance, … b) the sum payable by the Employer to the Contractor shall be the same as would have been payable under Sub-Clause 19.6 if the Contract had been terminated under Sub-Clause 19.6.”
“除非本条另有规定，如果合同双方无法控制的任何事件或情况（包括，但不限于不可抗力）的发生使任一方（或合同双方）履行他（或他们）的合同义务已变为不可能或非法，或者根据本合同适用的法律，合同双方均被解除进一步的履约，那么在任一方向另一方发出此类事 件或情况的通知的条件下：（a）合同双方应被解除进一步的履约…… 以及（b）如果合同是依据第19.6款的规定终止的，雇主支付给承包商的金额应与根据第19.6款[可选择的终止、支付和返回]终止合同时支付给承包商的金额相同。”
Sub-Clause 17.4 of Conditions of Contract further entitles the Contractor addition Time and Cost for remedying any loss or damage, caused by the Event to the Works, Goods, or Contractor’s Documents, to the extent necessarily required and instructed by the Engineer.
合同条件第17.4款进一步规定，承包商有权得到因工程师指令对因疫情所造成工程、货物或承包商的文件的损失或损坏进行弥补或修补而承担的费用或工程延误获得补偿。
Clause 17.4 [Consequences of Employer’s Risks]
第17.4条【雇主的风险造成的后果】
“If and to the extent that any of the risks listed in Sub-Clause 17.3 above results in loss or damage to the Works, Goods or Contractor’s Documents, the Contractor shall promptly give notice to the Engineer and shall rectify this loss or damage to the extent required by the Engineer.
“如果上述第17.3款所列的雇主的风险导致了工程、货物或承包商的文件的损失或损害，则承包商应尽快通知工程师，并且应按工程师的要求弥补此类损失或修复此类损害。
If the Contractor suffers delay and/or incurs Cost from rectifying this loss or damage, the Contractor shall give a further notice to the Engineer and shall be entitled subject to Sub-Clause 20.1 [Contractor’s Claims] to” EOT and Cost.
“如果为了弥补此类损失或修复此类损害使承包商延误工期和（或）承担了费用，则承包商应进一步通知工程师，并且根据第20.1款[承包商的索赔]，有权获得”EOT和费用。
In view all above Clauses, the Contractor is entitled under Sub-Clause 19.4 to an extension of Time for Completion if the works impacted by the Event is on critical path(s), and may further entitled to terminate the Contractor should the effects of the Event to an extent as detailed in Sub-Clause 19.6 or Sub-Clause 19.7. Besides, if the Engineer instructs (expressly or impliedly) the Contractor to rectify any loss or damage caused by the Event, the Contractor is entitled under Sub-Clause 17.4 to addition Cost (including indirect and consequential cost as allowed under Sub-Clauses 17.1, 17.6, and 18.3(d)(iii)) for those rectifications and addition Time (with prolongation costs as allowed under Sub-Clauses 17.1, 17.6, and 18.3(d)(iii)) if the rectifications delay the Time for Completion of the Works, as illustrated in below sketch.
鉴于上述条款，如果受疫情影响的工作处于关键路径上，承包商有权根据第19.4款获得延长工期，并且如果事件的影响达到第19.6款或第19.7款规定的程度，则承包商可以进一步终止合同。此外，如果工程师指示（明示或暗示）承包商修补疫情造成的任何损失或损害，承包商有权根据第17.4款的规定，就该修补措施获得额外费用（包括根据第17.1款、第17.6款和第18.3(d)(iii)款所容许的间接费用和其它损失）和任何该修补导致的工程延误的工期延长（包括根据第17.1款、第17.6款和第18.3(d)(iii)款所容许的延期费用），如下图所示。
Contractor’s Remedies for the Prevention of Performance and Instruction for Rectification
承包商无法履行及修补损害的补救措施
3. Distinguish between Sub-Clause 17.4 and Sub-Clause 19.4
3. 第17.4款和第19.4款的区分
Sub-Clauses 19.2, 19.6, and 19.7 excuse partially in the period impacted by the Event, or fully, the Contractor from performing the Contract in accordance with Sub-Clause 4.1, 8.1, 8.2, 8.3 and other Clauses. Sub-Clause 19.4 further entitles the Contractor extension of Time for Completion for any delays in the performance of the Contract caused by the Event.
第19.2款、第19.6款和第19.7款部分或全部免除承包商按照第4.1款、第8.1款、第8.2款、第8.3款和其他条款的履约义务。第19.4款还使得承包商在受到不可抗力事件影响而延误工期的情况获得工期延长的权力。
FIDIC Guide says that “Sub-Clause 19.4 does not limit the Contractor’s entitlements under Sub-Clause 17.4.”
FIDIC指南称，“第19.4款不限制承包商根据第17.4款享有的权利。”
As the consequences of any loss or damage during the period of the Employer’s Risks Event (the Event) have been shifted to the Employer from the Contractor pursuant to Sub-Clause 17.2, thus, the Contractor is entitled under Sub-Clause 17.4 to addition Cost (for this rectification of loss or damage) and addition Time (if the rectification delays the Time for Completion) only if the Engineer instructs (expressly or impliedly) the Contractor to rectify those loss or damage caused by the Event. In other words, if the Engineer doesn’t instruct the Contractor or the Contactor doesn’t oblige under the governing law to rectify any of such loss or damage, the Contractor has no remedies under Sub-Clause 17.4 of the Conditions of Contract.
由于业主风险事件（疫情）期间造成的任何损失或损害的后果已根据第17.2款从承包商转移给了业主，因此，承包商有权在工程师指示（明示或暗示）修补该事件造成的损失或损害的情况下，根据第17.4款获得额外费用（因为对损失或损害的该项修补）和延长时间（如果该项修补造成了工期延误）。换言之，如果没有法律强制要求或工程师指令承包商修补这些损失或损害，则承包商不能根据合同第17.4款获得救济。
4. Which Sub-Clause do you prefer?
4. 你更倾向于采用哪一条款？
The outbreak of Novel Coronavirus (2019-nCoV) may have various impacts to your Contract, which clause is applicable to you depends upon the effects of the Event to the performing of your Contract and upon actions may subsequently be taken by each contracting party.
新型冠状病毒（2019 nCoV）的爆发可能会对您的合同产生各种影响，哪一条款适用于您取决于事件对您履行合同的影响以及每个缔约方随后可能采取的行动。
作者简介
孙延伟，中电建建筑集团有限公司国际工程公司副总经理，从事国际工程管理20余年，在国际工程合约、索赔及争端处理等领域具有丰富的实践经验。
朱印奇，基业长青特邀专家，中国电建地产集团有限公司总法律顾问、法律风控部总经理，《国际工程商务人才实战型特训营》产品主创专家之一，从事国际工程商务管理20余年，在国际工程商务投标、合约洽谈、争议索赔等领域积累了大量论述及丰富经验，学员和客户誉之为“FIDIC活字典”、“问不倒的不倒翁”、“打100分都不够的老师”。