NEC建筑合同中英文解释版.ppt

NEC 建筑合同解释,Echo Aug. 2008,新工程合同与传统合同 ,传统合同 FIDIC合同第一版于1957年出版，随后几乎每隔十年进行一次修改。1988年FIDIC合同第四版对第三版又作了大量的修订，对合同双方在工程管理实践活动中各自的责任、义务、权利规定得更为明确，风险分摊更为合理，以致于世界银行及其它金融机构贷款的项目指定使用FIDIC合同，成为当今世界各国建筑业界推崇的实施工程项目的国际惯例。 尽管FIDIC合同条件在过去40多年中经过多年修订，但其指导思想仍属于传统合同的管理模式，即项目业主聘用咨询工程师管理工程，由咨询工程师提供设计文件包括技术说明、施工图、工程量清单，承包商依据图纸、技术说明对工程量清单中的各项逐一报价。FIDIC合同授予咨询工程师很大的权力，因此，承包商对咨询工程师的公正性一直持惯于怀疑态度。,新工程合同的指导思想 英国土木工程师学会（ICE）于1995年出版的第二版“新工程合同”（New Engineering Contract）是对传统合同的一次挑战，它具有鲜明的指导思想，即：力图促使合同的参与方按现代项目管理的原理和实践，管理好其自身工作，并鼓励良好的工程管理，以实现每一项目业主的目标质量、成本、工期。这一指导思想在NEC系列合同中的工程施工合同（Engineering and Construction Contract,简称 ECC合同）核心条款第一条作了明确规定：“雇主、承包商、项目经理和监理工程师应按本合同的规定，在工作中互相信任、相互合作。裁决人应按本合同的规定独立工作。”而且，这一指导思想贯穿于所有合同条件中，特别反映在如“早期警告”机制、“裁决人”制度、“提前竣工资金”、“补偿事件”等合同条件中，充分反映了NEC合同的“新”的指导思想。 NEC合同首先引入合同双方“合作合伙”（partnering）的思路来管理工程项目，以减少或避免争端。各自合同双方虽有不同的商业目标，但可以通过共同预测及防范风险来实现项目目标，同时实现各自的商业目标。,1 The NEC engineering and construction contract Core clauses-General(总则),New words: Employer 业主，contractor 承包商，subcontractor 分包商，project manager 项目经理，supervisor 监理工程师，adjudicator 裁决人，the contract date 合同生效日，works information 工程信息，site 工地现场，plant 设备，material 材料， the completion date 竣工日期，(accepted)programme (已认可的)施工进度计划，applicable law 适用法律，defect 缺陷，fee 间接费，ambiguity/discrepance 歧义，inconsistency 矛盾, working area 施工作业区域。,Actions 10-工作原则 10,10.1 The Employer, the Contractor, the Project Manager and the Supervisor shall act as stated in this contract and in a spirit of mutual trust and co-operation. The Adjudicator shall act as stated in this contract and in a spirit of independence. 10.1 雇主、承包商、项目经理和监理工程师应按本合同的规定，在工作中相互信任、相互合作。裁决人应按本合同的规定独立工作。,Identified and defined 11-合同用词及其定义 11,Terms 11.1 In these conditions of contract, terms identified in the Contract Data are in italics and defined terms have capital initials. 11.1 在本合同的条件中，合同资料所确认的用词以斜体字表示，另外专门定义的用词首字母大写。(本条给出了用于本合同主要用词的定义。在选项条款中给出专用于某一特定选项的用词的其他定义。以首字母大写表示的用词，为在工程施工合同条文中用以表示有专门定义，以区别于非专门定义的用词。在本使用指南中对斜体字和首字母大写采用与在工程施工合同条文中相同的约定。),11.2 (1)The Parties are the Employer and the Contractor. 11.2 (1)当事方为雇主和承包商。,（2）Others are people or organizations who are not the Employer, the Project Manager, the Supervisor, the Adjudicator, the Contractor, or any employee, Subcontractor or supplier of the Contractor. （2）其他人员为雇主、项目经理、监理工程师、裁决人、承包商以及承包商的雇员、分包商或供应商以外的人员或机构。,（3）The Contract Date is the date when this contract came into existence. (3) 合同生效日指本合同生效之日。(合同成立通过不同方式有时通过询盘为对方认可，有时通过持久谈判和讨论后生效。无论合同通过何种方式成立生效，本款合同生效日来定义合同生效日。以文件形式记录合同生效方式和合同生效日期很为重要。若非如此，就要承担今后难以解决因合同引起的争端而带来的风险。),（4）To Provide the Works means to do the work necessary to complete the works in accordance with this contract and all incidental work, services and actions which this contract requires. (4) 实施合同工程指根据本合同为完成合同工程所从事的必要工作，也指本合同要求的一切附带作业、服务和工作。,（5）Works Information is information which either specifies and describes the works or states any constraints on how the Contractor Provides the Works and is either in the documents which the Contract Data states it is in or in an instruction given in accordance with this contract.,(5) 工程信息的内容为 对合同工程的规定和说明，或 对承包商实施合同工程所用方法的要求； 其形式可为 合同资料规定的含有此种内容的文件，或 按本合同发出的指令。 (工程信息指关于要实施的合同工程的信息。),（6）Site Information is information which describes the Site and its surroundings and is in the documents which the Contract Data states it is in. （6）场地资料指 描述工地现场及其周围环境状况的资料，及 合同资料规定的含有此种资料的文件。 (场地资料包括了工地现场周围环境状况的资料。),（7）The Site is the area within the boundaries of the site and the volumes above and below it which are affected by work included in this contract. （7）工程现场是指场地界限以内的区域，以及受本合同工程影响的该区域上空和地下的范围。 (场地界限一般标识在合同资料第一部分中确定的图纸上。),（8）The Working Areas are the working areas unless later changed in accordance with this contract. （8）施工作业区指合同资料中所指的施工作业区域，以及以后根据本合同变更的区域。 (承包商可在合同资料第二部分中说明其所建议增加使用的施工作业区。这将包括承包商所建议为实施本合同的目的临时使用的任何陆地区域。),（9）A Subcontractor is a person or corporate body who has a contract with the Contractor to provide part of the works or to supply Plant and Materials which he has wholly or partly designed specifically for the works. (9) 分包商为完成部分合同工程与承包商订立合同关系、或供应由其专为合同工程全部或部分设计的设备和材料的个人或企业实体。 (除本条规定，分包商这一定义并不包括承包商的供应商。),（10）Plant and Materials are items intended to be included in the works. (10) 设备和材料指将用于合同工程上的设备和材料。 (临时用于施工但在竣工或竣工前撤离现场的各项设备和材料不计入设备和材料内。),（11）Equipment is items provided by the Contractor and used by him to Provide the Works and which the Works information does not require him to include in the works. (11) 施工设备是指由承包商提供并由其在实施合同工程时使用的设备，但工程信息未要求承包商将此类设备用于合同工程上。,施工设备的定义较为广泛，该词包括了施工设备、车辆、消耗材料、工具、临时工程、工棚、临时出入道路和其他现场设施。 一般施工设备最终要从工地现场撤离，但第72条规定，经项目经理批准可留下某些施工设备。例如，承包商可请求留下临时桩以节省拔桩费用。此外，项目经理也可能同意将“难以回收”的模板留在原处。,（12）The Completion Data is the completion date unless later changed in accordance with this contract. （12）竣工日为合同资料中所指定的竣工日，或以后根据本合同变更的竣工日期。 (合同资料中规定的竣工日期可以各种方式改变，如因补偿事件或赶工协议而改变。),（13）Completion is when the Contractor has done all the work which the Works Information states he is to do by the Completion Data and corrected notified Defects which would have prevented the Employer from using the works.,（13）竣工是指承包商已经 完成了工程信息中规定其在竣工日应完成的所有工作，并且 改正了可能会妨碍雇主使用合同工程且已指出的缺陷。 (工程信息必须规定在竣工前应完成的工作。这使雇主在规定竣工时，在其要求的程度上有一些灵活性，并尽量避免了因使用“基本竣工”或“部分竣工”之类的用词而带来的不确定性。如在某些中东国家，通常以竣工等同于完全竣工，工程信息则要写明在竣工前必须没有缺陷。),（14）The Accepted Programme is the programme identified in the Contract Data or is the latest programme accepted by the Project Manager. The latest programme accepted by the Project Manager superseds(to take the place of) previous Accepted Programme. （14）已认可的施工进度计划是指合同资料中所确定的施工进度计划，或项目经理认可的最新施工进度计划。项目经理认可的最新施工进度计划将取代所有先前已认可的施工进度计划。,（15）A Defect is a part of the works which is not in accordance with the Works Information or a part of the works designed by the Contractor which is not in accordance with the applicable law or the Contractors design which has been accepted by the Project Manager.,（15）缺陷指 合同工程中不符合工程信息的部分工程，或 由承包商设计的部分工程不符合 适用法律，或 已为项目经理认可的承包商的设计。 （缺陷一词具有严格的定义，它不包括属于雇主责任的设计错误造成的工程中的缺陷。）,（16）The Defects Certificate is either a list of Defects that the Supervisor has notified before the defects date which the Contractor has not corrected or, if there are no such Defects, a statement that there are none. （16）缺陷证书可以为一份在缺陷责任解除日之前，监理工程师已通知而承包商尚未改正的缺陷项目清单。如无缺陷时，该证书也可成为一份无任何缺陷的申明。 (缺陷证书签发表明本合同当事方大部分合同义务的终结。在缺陷证书中所列的未改正的缺陷按第45条所述的办法处理。),（17）The Fee is the amount calculated by applying the fee percentage to the amount of Actual Cost. （17）间接费系指用间接费率乘以实际成本计算得出的金额。 未包括在专门定义的实际成本内的承包商的任何费用均视为与利润一起已经包括在间接费中（第52.1条）。间接费率由各投标人在合同资料第二部分中填报。此间接费率适用于已完工程的实际成本，也适用于在补偿事件计价时对尚未实施工程的预计实际成本。在选项C/D/E/F中，也用于计算应付给承包商的款项（见成本组成表中的说明）。,Interpretation and the law 12,New words: Be governed by 受法律管辖；适用于法律, submission提交件，acceptance 认可，notification 通知, recipient 收信人（接受者），communication函件, submit/resubmit 提交/再次提交，due 到期，withhold 扣留、保留；拒绝给予，compensation event补偿事件,12.1 In this contract, except where the context shows otherwise, words in the singular also mean in the plural and the other way round and words in the masculine also mean in the feminine and neuter. 12.1 除上下文另有说明外，在本合同中，单数形式的用词也具有复数的意义，反之亦然。阳性形式的用词也具有阴性和中性的意义。,12.2 This contract is governed by the law of the contract. 12.2 本合同受合同法管辖。,Communications 13,13.1 Each instruction, certificate, submission, proposal, record, acceptance, notification and reply which this contract requires is communicated in a form which can be read, copied and recorded. Writing is in the language of this contract. 13.1 本合同要求的每一指令、证书、提交件、建议、记录、认可、通知和答复函均应以可读、可复制和可记录的形式进行联系并用本合同语言书写。(“以可读、可复制和可记录的形式”一语包含了用邮件、电传、电报、电子邮件、传真，以及以光盘、磁带或其他电子方式发送的文件。 ),13.2 A communication has effect when it is received at the lastest address notified by the recipient for receiving communications or, if none is notified, at the address of the recipient stated in the Contract Data. 13.2 当函件送达收件人告知的最新地址时，函件方才生效。若收件人未告知最新地址，则当函件送达至合同资料中写明的收件人地址时，函件即生效。,13.3 If this contract requires the Project Manager, the Supervisor or the Contractor to reply to a communication, unless otherwise stated in this contract, he replies within the period for reply. 13.3 若本合同要求项目经理、监理工程师或承包商对函件作出答复，除非本合同另有规定，这一答复应在答复期内作出。,13.4 The Project Manager replies to a communication submitted or resubmitted to him by the Contractor for acceptance. If his reply is not acceptance, he states his reasons and the Contractor resubmits the communication within the period for reply taking account of these reasons. A reason for withholding acceptance is that more information is needed in order to assess the Contractors submission fully.,13.4 项目经理应对承包商提交或再次提交要其认可的函件作出答复。若答复为不认可，项目经理应说明其理由，承包商应在答复期内考虑这些理由后再次提交函件。项目经理不予以认可的理由为，尚需进一步的资料以全面评价承包商所提交的函件。 此两条规定了在合同条件中各处（合同资料第一部分所确定的）答复期一词的使用。,13.5 The Project Manager may extend the period for reply to a communication if the Project Manager and the Contractor agree to the extension before the reply is due. The Project Manager notifies the extension which has been agreed to the Contractor.,13.5 若在函件答复期期满之前，项目经理和承包商均同意延长函件答复期，项目经理可以延长函件答复期。项目经理应将双方同意的延长期限通知承包商。 本条规定了可通过双方协议延长函件答复期。对于工程施工合同中规定的其他行为期限，其延长时间（如果有的话）已在相关条文中说明。 工程施工分包合同中也有类似条款。除非已得到项目经理同意，主合同作相应延长，否则承包商不应同意延长分包合同中的函件答复期。,13.6 The Project Manager issues his certificates to the Employer and the Contractor. The Supervisor issues his certificates to the Project Manager and the Contractor. 13.6 项目经理向雇主和承包商签发证书。监理工程师向项目经理和承包商签发证书。,13.7 A notification which this contract requires is communicated separately from other communications. 13.7 本合同要求的通知书应与其他函件分开传递。 (本合同规定通知书应与其他函件分开传递，是为了避免遗漏重要事项。例如，提交显示工程延误的经修订的施工进度计划不能算作该项延误的早期预告，从而使得可避免的工程延误不予遗漏。),13.8 The Project Manager may withhold acceptance of a submission by the Contractor. Withholding acceptance for a reason stated in this contract is not a compensation event. 13.8 项目经理可以不认可承包商提交的函件。以本合同规定的理由不认可承包商提交的函件不属于补偿事件。 (在工程施工合同中的许多情况下，项目经理必须认可或拒绝由承包商提交的建议文件。),NEC（new engineering contract新工程合同）裁决程序,1）早期预警程序 早期预警是指一旦发现可能出现诸如增加合同价款、推迟竣工、工程使用功能降低等问题，发包人和承包人均应立即向对方发出早期警告。合同各方共同召开早期预警会议。在会议中，各方研究并提出解决措施，以避免或减少该问题的影响，寻求对将受影响的所有各方均有利的解决办法，并决定最终应采取的措施。 2）补偿事件程序 补偿事件是指并非因承包人的过失而引起的事件，如发包人要求改变工程以及出现双方难以控制的情况等，承包人有权根据补偿事件对合同价款和工期的影响要求补偿，包括获得额外付款或延长工期。 3）裁决人程序 在工程施工过程中出现分歧乃至产生纠纷是难免的。而且，由于工程师代表的是发包人的利益，处理补偿事件可能引发承包人对其公正性的怀疑，在此种情况下，就要依靠裁决人来解决纠纷。,The Project Manager and the Supervisor 14,14.1 The Project Managers or the Supervisors acceptance of a communication from the Contractor or his work does not change the Contractors responsibility to Provide the Works or his liability for his design. 14.1 项目经理或监理工程师对承包商提交的函件的认可并不改变承包商对实施合同工程的责任或对其设计所应承担的合同责任。,14.2 The Project Manager and the Supervisor, after notifying the Contractor, may delegate any of their actions and may cancel any delegation. A reference to an action of (涉及到的行为)the Project Manager or the Supervisor in this contract includes an action by his delegate. 14.2 在通知承包商后，项目经理和监理工程师可以对其任一行为授权，也可以撤销此种授权。在本合同中，涉及项目经理和监理工程师的行为包括了其授权代表的行为。,14.3 The Project Manager may give an instruction to the Contractor which changes the Works Information. 14.3 项目经理可以向承包商发出指令变更工程信息。(变更工程信息的权利只归项目经理及其受权代表。雇主或监理工程师均不能变更工程信息。在与工程信息变更有关时，工程施工合同不限定“变更”一词的本来意义。从而，该词的意义包括了对工程信息内容的增加、删减以及更换。例如，若项目经理签发了新的技术要求，虽然其本意只不过为澄清先前签发的图纸或技术规范条文，这类签发新的图纸、如同变更工程信息一样，增加了承包商必须要完成的工作内容。),14.4 The Employer may replace the Project Manager or the Supervisor after he has notified the Contractor of the name of the replacement. 14.4 在替换人选通知承包商后，雇主可撤换项目经理或监理工程师。,Adding to the working areas-增加施工作业区 15,15.1 The Contractor may submit a proposal for adding to the Working Areas to the Project Manager for acceptance. A reason for not accepting is that the proposed addition is not necessary for Providing the Works or the proposed area will be used for work not in this contract.,15.1 承包商应将要求增加施工作业区的建议提交项目经理认可。项目经理部认可的理由为 所拟增加的施工作业区非实施合同工程所必需，或 所拟区域将为本合同以外的工程所使用。 (本条不妨碍项目经理和承包商一致同意增加并不单为本合同下工程独用的施工作业区。本条规定了项目经理没有义务认可此种施工作业区。),Early warning-早期警告 16,New words Impair 削弱；instruct 命令，通知，指示；ambiguity 含糊，不明确 inconsistency/discrepancy 差异，矛盾,Early warning-早期警告 16,16.1 The Contractor and the Project Manager give an early warning by notifying the other as soon as either becomes aware of any matter which could increase the total of the Prices, delay Completion or impair the performance of the works in use.,16.1 一经察觉将导致下列结果的问题，承包商和项目经理任一方应立即向对方发出早期警告 增加合同价款总额， 推迟竣工，或 削弱合同工程的使用功能。 (本条款的目的在于，对将可能影响工程成本、竣工时间和质量的一切事件有责任尽早发出警告。对承包商未发出早期警告的处罚款是减少有关补偿事件的应付款额。为最大限度的增加与承包商研究问题的可用时间，从而增加寻求满足雇主利益的最佳解决方法的可能性，应鼓励项目经理发出早期警告。),16.2 Either the Project Manager or the Contractor may instruct the other to attend an early warning meeting. Each may instruct other people to attend if the other agrees. 16.2 项目经理或承包商都可要求对对方出席早期警告会议。每一方都可在对方同意后要求其他人员出席这种会议。,16.3 At an early warning meeting those who attend co-operate in making and considering proposals for how the effect of each matter which has been notified as an early warning can be avoided or reduced, seeking solutions that will bring advantage to all those who will be affected and deciding upon actions which they will take and who, in accordance with this contract, will take them.,16.3 在早期警告会议上，与会各方应在下列方面合作： 提出并研究建议措施以避免或减少作为早期警告而通知的每一问题的影响， 寻求对将受影响的所有各方均有利的解决办法，以及 决定与会各方应采取的行动以及根据本合同应采取行动的一方。 (要求承包商和项目经理合作的意图，是尽可能确保所采取的行为和做出的决定可避免或减轻问题对费用/质量和时间方面的影响。),16.4 The Project Manager records the proposals considered and the decisions taken at an early warning meeting and gives a copy of his record to the Contractor. 16.4 项目经理应在早期警告会议上将所研究的建议和作出的决定记录在案，并指令解决此种歧义和矛盾。,Ambiguities and inconsistencies-歧义和矛盾 17,17.1 The Project Manager or the Contractor notifies the other as soon as either becomes aware of an ambiguity or inconsistency in or between the documents which are part of this contract. The Project Manager give an instruction resolving the ambiguity or inconsistency.,17.1 一经察觉在本合同组成文件之中或各组成文件之间存在歧义和矛盾，项目经理或承包商均应立即通知对方。项目经理应发出指令解决此种歧义和矛盾。 本条旨在确保尽快采取措施来处理合同文件中出现的歧义和矛盾。本合同文件并无规定的优先顺序。项目经理有责任发出指令，来解决合同文件之间出现的歧义和矛盾。为消除此种歧义和矛盾所作出变更工程信息的指令属于补偿事件。若在雇主所提供的工程信息与作为工程信息一部分的由承包商提供并已包括在合同资料第二部分中的设计出现矛盾，上述指令一般要求该设计应遵循雇主的工程信息。此种变更指令不属于补偿事件（60.1条） ,Health and safety 18,18.1 The Contractor acts in accordance with the health and safety requirements stated in the Works Information. 18.1 承包商的行为应符合工程信息中规定的对健康和安全的要求。,Illegal and impossible requirements不合法和不可能的工程信息 19,19.1 The Contractor notifies the Project Manager as soon as he becomes aware that the Works Information requires him to do anything which is illegal or impossible. If the Project Manager agrees, he gives an instruction to change the Works Information appropriately.,19.1 一经察觉在工程信息中有不合法和不可能的要求时，承包商应立即通知项目经理。若项目经理同意，他应发出指令适当变更工程信息。 （为解决不合法和不可能的工程信息而对工程信息所作的变更属于补偿事件。）,1.1.2 The contractors main responsibilities,New words: Works information 工程信息，demolition 拆除，Subcontracting 分包，approval 批准，instruction 指令, compensation event 补偿事件。,Providing the Works-实施合同工程 20,20.1 The Contractor Provides the Works in accordance with the Works Information. 20.1 承包商应按工程信息实施合同工程。,The Contractors design-承包商的设计 21,21.1 The Contractor designs the parts of the Works Information states he is to design. 21.1 承包商应完成工程信息中规定由其承担的部分工程的设计。,（合同工程中要求承包商设计的部分应在工程信息中做出规定，建议一个单位的工程的各个部分不要由不同当事方设计，这样容易造成责任不清。 当承包商要求设计工程某一部分时，雇主应在工程信息中规定设计应遵循的准则，如合同工程的形式、几何形状与尺寸、规范、技术规程、标准以及环境准则。 当承包商要进行大部分工程设计时，其设计准则应以功能要求形式表示。其中应说明完工后的特点、性质和功能并应包括雇主希望对工程外观、耐久性、运行和维护费用等的限制。 对在合同资料第一部分工程信息中的设计范围划分的变更、或设计准则的改变或增加均构成了对工程信息的变更，属于补偿事件。）,21.2 The Contractor submits the particulars of his design as the Works Information requires to the Project Manager for accepting the Contractors design is that it does not comply with the Works Information or it does not comply with the applicable law. The Contractor does not proceed with the relevant work until the Project Manager has accepted his design.,More Comparison of ECC of ICE Conditions BY KELVIN HUGHES, NEC USERS GROUP SECRETARY,Under the ECC, any or all of the design responsibility can be apportioned to the contractor through the works information (clause21.1).,Under clause 21.2, the contractor is required to submit the particulars of its design for acceptance by the project manager, before it is allowed to proceed with tha twork.There are two reasons for not accepting the design which would not give rise to a compensation event: it does not comply with the works information it does not comply with the applicable law. Obviously the contractor is ultimately responsible for ensuring that its design meets both the works information and the applicable law. Note that under clause 14.1, the project managers acceptance of a communication from the contractor or of its work does not change the contractors responsibility to provide the works or its liability for its design.,21.2 承包商应按工程信息的要求，将设计细节提交项目经理认可。项目经理不认可的理由为 该设计不符合工程信息的要求，或 该设计不符合适用法律。 只有当项目经理认可其设计后，承包商方可继续进行相关工作。,21.3 The contractor may submit his design for acceptance in parts if the design of each part can be assessed fully. 21.3 若设计的每一部分可完整审核，承包商可将其设计按各部分分批提交项目经理认可。 （承包商提交的设计应便于分批正确计价。例如，无上部结构及其所支撑设备的某些详图，基础设计就不能正常计价。）,21.4 The contractor indemnifies the Employer against claims, compensation and costs due to the Contractor infringing a patent or copyright. 21.4 承包商应保障雇主免于承担因承包商侵害专利或版权引起的索赔、补偿和费用。,infringe,v.(upon, on)fml to go against (a law, etc.) or take over (the right of another person) 破坏, 侵犯, 违反 infringe a contract; infringe a patent. 违反一项合同；侵犯专利权 to infringe upon a nations fishing rights 侵犯一个国家的捕鱼权,21.5 The Contractors liability to the Employer for Defects due to his design that are not listed on the Defects Certificate is limited to the amount stated in the Contract Data in addition to any damages stated in this contract for delay or low performance.,21.5 对于因承包商设计而产生的但未列入缺陷证书中的缺陷，承包商对雇主所承担的合同责任只限于合同资料中所规定的金额，以及本合同规定的工期延误或合同工程使用功能欠佳的损失赔偿费。 （本条保证了承包商因工期延误或因合同工程使用功能欠佳损失而可能必须支付的罚款。）,Using the Contractors design -使用承包商的设计 22,2.1 The Employer may use and copy the Contractors design for any purpose connected with construction, use, alteration or demolition of the works unless otherwise stated in the Works Information and for other purposes as stated in the Works Information.,22.1 除非在工程信