对隧道建设合同中风险共担的建议

1、对隧道建设合同中风险共担的建议Recotemmendations for SharingRisks in Tunnelling Contracts德国地下工程建筑委员会(DAUS)        1前言        这些建议是关于隧道项目投标和实施阶段工程发包者和承包商风险共担的问题。所列的建议不是为工程发包者、工程技术人员或承包商编制的手册。其目的是进一步提供隧道建设时限定风险和风险共担的方法，以及关于如何在隧道建设实施中和合同上规定纠纷的范围。

2、60;       必须考虑根据欧盟规定所作的变更和补充。         2合同原则        2.1德国国内合同原则        在法律上没有对建筑工程合同予以特别规定。只要合同各方没有就个别情况签订专门协议，BGB(民事法规)工程合同中的一般法规均适用。     &#

3、160;  只有在合同各方明确同意的情况下，VOB(建筑工业实用法规)才能成为建筑工程合同的内容。如果各方同意，VOB确立法律关系，并且作为特别规定优先于工程合同法规。        如果明确VOB可在全范围应用，VOB才能起全部作用。如果VOB只是部分作为合同内容，均等就会受到影响，可能导致VOB完全无效。        建议因为VOB/B包含全部均等规定, 所以建议合同各方签订VOB建筑工程合同，这些均等规定同样确保工程发包者和承包商的利益。

4、        2.2 FIDIC: 工程施工的国际        合同条件        国际工程咨询协会（FIDIC）和国际建筑和公共工程协会(FIBTP)于1957年首次拟订建议在全世界的工程项目招标和实施中普遍采用的标准条件。        FIDIC-FIBTP的建议没有专门讨论隧道施工。因此1997年国际隧

5、道协会（ITA）举行的年会上，委托一个工作小组编制隧道施工中有效的风险共担的建议。        该工作小组在一份23页有关“合同风险共担”的报告中表达了它的看法，该报告于1991年完成。ITA一致接受这些建议。报告原文发表于Pergamon出版社出版的隧道建设和地下空间技术杂志。布伦瑞克的Heinz Duddeck教授将该报告译成德文。1        建议        德国国内合同

6、原则包括ITA工作小组提出的要点（VOB和德国工业标准DIN）2。        23页研究报告中的考虑和解释有助于对建议的解释和说明。         3风险共担        3.1定义风险        隧道建设中的风险主要是由于缺乏对施工基础准确特征的了解。风险产生的原因是由于预测的与实际遇到的施工基础的条件有

7、所不同。        由于施工基础特征及如何处理对正确选择施工方法起着关键性的作用，因此必须明确项目实施的风险，并在施工合同中规定风险承担归属。        根据VOB/A中第9条规定，施工基础基本属于工程发包者的风险范围。这就要求工程发包者尽可能全面地调查施工基础状况。        恰当地处理施工基础遇到的属于承包商的风险范围。    &#

8、160;   3.2 施工计划        根据对设计和施工的组织，参与者可以不同的方式建立合作形式。例如：工程发包者只提出设计图，施工文件则由承包商完成，或工程发包者制定施工计划，或由工程师室制定施工计划，承包商只需按照施工计划实施。        依据实施的不同情况对合同风险分类。        工程发包者制定施工计划：  * 规定要符合VOB的基本原

9、则。  *  工程发包者能够对施工计划产生        积极影响，这样可较好地确保经        济和技术效益。  *  在大型建筑工程项目中有一定数        量的相似结构时，采用统一的施        工方法。  *  工程发包者对计划错误负责；承

10、       包商提出获得文件的时间要求并        检查其完整性。        承包商制定施工计划：   * 承包商对计划的正确性和完整性        予以负责，并对计划与招标一致         负责，以及保证按时提供施工文&#

11、160;       件。  *  承包商对计划错误负主要责        任，而工程发包者的责任是核实        检查。  *  承包商可以根据自己现有的设        备和效益较好地协调模板和钢筋        

12、0;     的铺设,使其符合承包商的利        益。  *  将施工计划和实施方法都交给承        包商，明确规定承包商高质量地        完成工程项目的责任。        建议     &

13、#160;  根据具体情况和经济情况来选择进行的步骤方法。        3.3掘进等级或进程范围的变               动        对地质技术条件的预测，加上选择的掘进等级和建议的施工方法，在隧道施工中形成了工程发包者施工设计重要的基础。      &

14、#160;  对于实际遇到的施工基础，有必要对工程发包者所做的施工设计加以修改，其不可避免的后果影响工程发包者。在工程施工期间，应当提供一份双方确认的地质文件。        这些改动，例如能够导致掘进等级或进程范围产生大的改动，增加的费用应根据工程合同予以补偿。其中也包括因施工工期变化而产生的费用。        建议        起草工程合同时应当以合同的形式注明不可预见

15、的变更，也就是说，能够根据当时条件的变化修改合同。        3.4补充建议        如果承包商在补充建议中提出不同于投标时的施工方法，就必定增加承包商的责任（关于这一点，请参阅VOB有关的注解）。如果工程发包者的主要建议予以实现，则次要建议决不会使工程发包者处于较糟的境地。另一方面，补充建议的价格低于投标时的价格则有利于工程发包者（例如，从整个经济情况来看，缩短施工周期促进了环境保护）。     

16、;   建议的施工方法的可行性属于出价方的风险范围。        不过，在补充建议的情况下，风险共担的原则也适用。与投标时相比，施工基础变化及其产生的影响，基本上是工程发包者的责任。因此在实施主要建议时，需要采取附加措施。        不过，如果承包商的补充建议基于施工基础，且基础特征不同于工程发包者提出的土质勘察报告或承包商所做的附加调查，则提出一个先决条件或者施工时进行清算。在合同中必须确定这一特别风险。  

17、      建议        应从技术进步的意义上促使提出创新的补充建议。对补充建议要详尽研究和评估。应该标出补充建议里的特别风险，并在施工合同中规定其有关责任。        3.5非合同作业        由于地质技术条件发生未曾预料到的变化，其影响在合同中没有考虑，可能会产生非合同作业，或在地质条件没有变化的情况下由于施工计划不完

18、善或施工出现错误也可能产生非合同作业。        在这种情况下产生的附加费用的责任也是根据风险共担的原则和合同各方参与决定的原则（因果原则）。        在风险的归属问题上，主要取决于工程发包者在施工监理方面对公共安全利益及依照合同方面是否完全尽到它的责任，或者专家基于他们的工程技术诀窍在现场共同确定步骤方法。如果工程由承包商一方计划和实施，则风险都由承包商承担，那么承包商只能要求对非合同作业给以补偿（例如清理崩落物）。如果承包商可以证明其施工无问

19、题，并且地质技术条件不同于投标时的地质技术条件，那么工程发包者必须承担土质风险。        如果工程发包者在现场参与决定，例如，参与决定开挖或支护，那么计划和实施单位则不再存在。在这种情况下，工程发包者参与施工计划。对于非合同作业，例如，由于做出导致错误的开挖分类的决定，那么工程发包者要承担相应的风险。        建议        对于超出VOB/B2.3、2.5及2.6规定的

20、非合同作业可参照VOB/B6中的有关规定进行处理。        3.6责任、施工作业保险        一般来说，责任保险关系到承包商的雇主责任保险。按这种方式，在施工过程中第三者受到伤害，承包者可根据私法对第三者提出的伤害赔偿要求为自己保险。另外，对于与施工有关联的伤害，承包商也为自己提供保险，例如违反交通安全规则。这里不包括根据施工合同进行作业的所有履约请求。        由于有

21、施工作业保险，对于从施工开始到交工所发生的不可预见的损害或破坏提供了保险。除了施工作业外，隧道周围的基础应包括在内。        建议        责任保险和施工作业保险是为了保护合同双方。就此而论，责任保险的利害关系更多地在承包商方面，而施工作业保险的利害关系更多地在工程发包者方面。施工作业保险是否有意义主要依据施工项目的大小和难易程度以及施工条件。        3.7质量保证&

22、#160;       隧道工程中质量保证的目的在于保证完成合同责任和施工作业。因此，在质量保证的范围内，必须在初期找出错误原因，并及时根除，避免重复发生。        为了达到这一目的，应当采用有效的质量保证体系。在这方面，需参照欧盟标准指南。        建议施工作业表中应包括质量保证系统。         4 地下工程

23、的施工合同        4.1问题的提出和目标        招标时应该能使投标者清楚地考虑所要进行的施工作业，清楚自己承担的风险，确定风险可能带来的影响。        在审查和评定报价后，签定一份关于确定作业的施工合同，并标明在边界条件变化时进行更改的可能性。        4.2合同结构合同的基础是VOB合同所

24、有的条文以及有关隧道工程特性的补充内容。        建议        合同条文的顺序基本上是基于VOB的规定。因为在合同谈判的过程中，要对投标/招标条文进行修改。在合同文件里概括了合同谈判的结果，是合同的组成部分，放在施工作业的内容前。        应当避免在合同中有好几处对施工作业进行规定和/或者在施工作业的介绍里出现矛盾。    

25、60;   4.3工期        合同工期的开工日期是标书规定的施工日期或是工程发包者和承包商确定的日期。完工日期是标书规定的完工日期或签定合同时商定的完工日期。        对合同工期进度（框架进度）的调整基于工程发包者可接受的变化的边界条件，特别是由于掘进等级变化及与之相应的施工效率。         调整进度时特别要对以下几点予以说明：  *&#

26、160; 额定工期和实际工期的比较  *  确定推迟的原因，并明确工程发           包者分担的风险部分   *   检查施工作业表中的项目及计时        费用分摊额。        建议        原则上必须对合同工期以及重要的中间阶段期限

27、达成一致。        如果需要，合同工期必须予以调整。        施工点的所有运量根据调整的工期予以调整。运费计算基于工期单元。        4.4设备费及间接费用支付        计时设备费和间接费用与工期中掘进所需时间紧密相关。就这点来说，体现了计算中的一个特点，因为一般实际采用的掘进等级与预测有偏差。

28、        由于施工点的差异，所以在施工合同中确定的计时费用具有不可靠性。这样分摊可能是：        a)施工工地的设施和通用设备（临时工棚，车间，通道等）         b)高性能施工设备(凿岩车，喷射设备和运碴设备等）         c)一般管理费（工资和非生产人员费用）  

29、;       a)施工工地设施        施工工地的设施和通用设备配备的费用是根据施工工地设施的多少和配备时间确定的。        这些施工点基本上包含：   * 工地基础设施   *  办公室、车间和宿舍   *  动力供应   *  供水和废水排放  

30、60;     建议        在施工合同中应该规定，除了支付施工点的安装费和拆卸费外，还应包括工地设施的配备费用，例如，一个施工点在整个工期中每月的各项费用总和。        b) 高性能施工设备高性能施工设备的配备费用和修理费用，按设备新价格的总价和使用时间确定。因此，设备类型改变以及工期变动均影响设备费用。        建议 

31、;       通常，设备费用由有关的施工点单独核算。如果有误差，应当规定主要的高性能设备，以及计算的设备费用总额。最符合实际的计算是根据掘进等级所使用设备的范围和需要时间。选用设备是承包商的责任。        c）间接费用        根据a）可以最有效地分摊间接费用。        4.5超挖规定  

32、      合同中关于设计断面、容许尺寸和超挖的规定作为承包商计算的基础和计算掘进的基准，规定检查确定的建筑尺寸，出现偏差时予以纠正。对于联邦公路隧道，ZTV-隧道第一部分6.4.2段作出了相应规定。VOB/C部和德国工业标准DIN18312也有这些条款说明。        在所有其它工程发包者的隧道施工合同中应当有相应的规定。必须绝对避免外壳低于设计断面。重要的规定是，谁遇到围岩造成的变形，谁承担由此产生的后果。     &

33、#160;  在掘进过程中，承包商的责任是控制超高，确保无断面减少。        建议        合同中应当含有将超挖降到最少和避免低挖的规定。        ZTV-隧道1/95部6.4.2节、VOB/C和德国工业标准DIN18312有这些条款3、4。文献：1 Contractural Sharing of risk,ITA-Empfehlung 1991, Dt, U

34、Ebersetzung von Prof. Dr. -Ing. H. Duddeck.2 VOB 1992, Verdingungsordnungfuer Bauleistungen, Beuth VerlagGmbH. Berlin-Koeln3 ZTVT-Tunnel, Teil 1/95, Verkehrsblatt-Dokument Nr.B5330,4 DIN 18312: VOB Verdingungsordnung fuer Bauleistungen, Teil C: allgemeine Technische Vertragsbedingungen fuer Bauleist

35、ungen (ATV); Untertagebauarbeiten.BACK HOME1 ForewordThese recommendations relate to issues of risk sharing between the client and the contractor during the tendering and execution phases of a tunnel project. The recommendations tabled are not intended as a manual for the client, engineer or the con

36、tractor. The objective is far more to provide pointers for restricting and sharing risks as to how areas of conflict can be regulated practically and contractually in tunnelling.Changes and additions which have resulted from EU regulations must also be taken into consideration. 2 Contractual Princip

37、les 2.1 National contractual Principles The construction contract is not specially regulated by law. The general regulations contained in the work contract legislation in accordance with the BGB (Code of Civil Law) are applicable unless the contracting parties have made specific agreements in indivi

38、dual cases.The VOB (Code of Practice for the Construction Industry ) can only constitute a part of a construction contract providing the parties have clearly agreed to this. Should this be the case, the VOB determines the legal relationship and has priority over work contract legislation as a specia

39、l regulation.The VOB can only be completely effective providing that it is declared to be applicable as such. If it has only become partially applicable with regard to the contract then in general, the "balance" has been affected. This can lead to the VOB becoming completely invalidated. R

40、ecommendation It is recommended that the partners to the contract draw up a VOB construction contract, for it is recognised that the VOB/B contains a, by and large,balanced regulation, which ensures that the interests of the client and the contractor are taken into consideration to an equal degree.2

41、.2 FIDOC: Interenational contracrtual Conditions for Engineering WorksThe associations "Federation International Des Ingénieurs-Conseils " (FIDIC) and "Fédération International du Batiment et des Travaux Publics"(FIBTP), drew up standard conditions for the first ti

42、me in 1975, which were recommended for application with respect to tendering and execution of engineering projects throughout the world.The FIDIC-FIBTP recommendations do not relate explicitly to tunnelling work. As a Renault, in 1977, at the International Tunnelling Association - ITA -annual meetin

43、g, a working group was commissionedto work out recommendations for effecive risk sharing in tunnelling.The working group responded in the form of 23 papers relation to the "Contractual Sharing of Risks" and wound up its deliberations in 1991. The recommendations were unanimously accepted b

44、y the ITA. The original tests have been published in the journal Tunneling and Underground Space Technology, Pergamon Press. Translated into Germany by: Prof. Heinz Duddeck, Brunswick 1.RecommendationThe points dealt with by the ITA working group are cintained in our domestic contractual principles

45、(VOB and DIN standards) 2.The deliberations and explanations contained in the test of the 23 papers can be useful for interpreting and argumentation within the scope of this recommendation.3 Sharing Risks3.1 Defining RisksIn tunnelling, risks mainly occur owing to a lack of knowledge relating to the

46、 exact characteristics of the subsurface involved.Risks stem from deviations to the prior estimation of the conditions to those actually encountered in the subsurface.As the characteristics of the subsurface and how it is tackled have a decisive influence on the correct choice of construction method

47、, the risks for executing the project should be carefully clarified and laid down accordingly in the construction contract.According to VOB A§9, the subsurface fundamentally belongs to the area of risk of the client. This in turn, signifies that the client must investigate the subsurface as tho

48、roughly as possible.The proper treatment of the subsurface that is encountered lies within the area of risk of the contractor. 3.2 Constructional PlanningDepending on the organisation of the planning and execution, the cooperation of those involved can be set out in a very different manner indeed. F

49、or instance, the client may only make the draft plans he has evolved available so that the contractor is obliged to compile the construction documents or the client can also undertake the construction planning or have it performed by consultants so that the contractor is only called upon to carry ou

50、t the execution as such.The contractual risks are distributed according to the different circumstances that apply.Construction planning by the client: the regulation corresponds with the basic concept of the VOB the client can actively influence the construction planning and ensure that his economic

51、 and technical interests are placed on a better footing in the case of larger construction projects with a number of similar structures, uniform execution is assured the client is responsible for planning errors; it is up to the contractor to ensure that documents are obtained in time for examinatio

52、n to ensure their completenessConstruction Planning by the contractor: the contractor is responsible for the correctness and completeness of the planning and for it corresponding with the tender as well as for ensuring that the construction documents are available in time the contractor bears the ma

53、in responsibility for planning errors, the client within the scope of his obligation to verify matters the contractor is in a better position to assess the advantage of formwork, the laying of reinforcements, etc. with regard to his existing equipment and interests and in turn to align these towards

54、 his entrepreneurial interests through the transference of the construction planning and execution into one hand, the contractor's responsibility for a flawless result is clearly regulated.RecommendationThe method of procedure must be selected in accordance with specialised and economic aspects.

55、 3.3 Reallocation of the Heading Classes or Process LimitsThe forecasting of the geotechnical conditions in conjunction with the selected heading classes and recommended construction methods form the significant basis for the client's construction draft plan in tunnelling.As a result of the actu

56、al subsurface conditions actually encountered at the face, changes to the client's construction draft plan can be necessary, whose inevitable consequences affect the client, During the execution of construction, a geological documentation that is approved by both sides should thus be set up.Thes

57、e alterations can e.g. lead to reallocations in the quantities conveyed in the excavation classes or in the process limits. The resultant changes in costs must be compensated for in accordance with the construction contract. The costs resulting from the change in construction period also belong to t

58、hese. Recommendation The construction contract should be drafted in such a manner that unforeseeable alterations can be laid down in contractual form, i.e. the contract should be capable of being modified accordingly as local conditions change.3.4 Supplementary OfferShould a construction method, whi

59、ch differs from the one contained in the tender, be put forward in the supplementary offer by the contractor, increased responsibility on the part of the contractor must apply here (in this connection, please see pertinent VOB commentaries, e.g. Korbion/Ingenstau). Sub-offers must on no account plac

60、e the client in a worse situation than if the main offer had been realised. On the other hand, supplementary offers, which are priced lower than foreseen at the tendering stage can be advantageous to the client (e.g. seen from an overall economic perspective, owing to a reduced construction period,

61、to enhanced environmental protection).The feasibility of the offered construction method lies in the area of risk of he bidding party.However, in the case of supplementary offers as well, the principles of risk sharing also apply in the form that changes to the subsurface compared with the tender an

62、d their effects have basically to be the responsibility of the client, should as a result, additional measures become necessary in executing the main offer as well. However, if the contractor has based his supplementary offer on the subsurface, the characteristics of which vary from or are not conta

63、ined in the client's soil prospecting report or in additional investigations carried out by the contractor, representing a prerequisite or being cost-effective for execution, then the definition of this special risk must be laid down in the contract.RecommendationInnovative supplementary offers

64、should be encouraged in the interests of technical advancement. Supplementary offers require careful scrutiny and assessment. Special risks in supplementary offers should be earmarked and the relevant responsibility regulated in the construction contract.3.5 Non-contractual PerformancesNon-contractu

65、al performances can occur owing to unexpected geotechnical changes, whose effects could not be taken into consideration in the contract or through faulty construction planning or errors in construction given unaltered geological conditions.The responsibility for the resultant additional costs in thi

66、s case also depends on the principles of risk sharing and the participation of the contractual partners in the decisions taken (cause and effect principle).In the allocation of risks, it is of decisive importance whether the client fulfils his function exclusively in supervising construction on beha

67、lf public safety and in compliance with the contract or codetermines the method of procedure on the spot through special experts on the basis of his own engineering know-how. Should the first case apply, planning and execution form a unit which is the responsibility of the contractor. As the plannin

68、g and execution risks thus lie in one hand, the contractor can only then lay claim to being reimbursed for non-contractual performances (e.g. clearing up breaks) providing he is in a position to prove he has carried out flawless work and the geotechnical conditions have changed compared with the tender and the client must carry the soil risk.If the client is involved in decisions at the face, e.g. through taking part in decisions relating to excavation and supporting, the planning and execution unit no longer exists. In such a case, the client is involve