文 / 李 健

我們?cè)谏弦黄幸呀?jīng)對(duì)中國(guó)《建設(shè)工程施工合同（示范文本）》（GF-2017-0201）中“10變更”（10 Variations）條款中的10.1變更的范圍（10.1 Scope of Variation）、10.2變更權(quán)（10.2 Right to Vary）進(jìn)行了譯評(píng)。本篇繼續(xù)往下討論。

原文1：10.3 變更程序

10.3.1 發(fā)包人提出變更

發(fā)包人提出變更的，應(yīng)通過(guò)監(jiān)理人向承包人發(fā)出變更指示，變更指示應(yīng)說(shuō)明計(jì)劃變更的工程范圍和變更的內(nèi)容。

10.3.2 監(jiān)理人提出變更建議

監(jiān)理人提出變更建議的，需要向發(fā)包人以書(shū)面形式提出變更計(jì)劃，說(shuō)明計(jì)劃變更工程范圍和變更的內(nèi)容、理由，以及實(shí)施該變更對(duì)合同價(jià)格和工期的影響。發(fā)包人同意變更的，由監(jiān)理人向承包人發(fā)出變更指示。發(fā)包人不同意變更的，監(jiān)理人無(wú)權(quán)擅自發(fā)出變更指示。

10.3.3 變更執(zhí)行

承包人收到監(jiān)理人下達(dá)的變更指示后，認(rèn)為不能執(zhí)行，應(yīng)立即提出不能執(zhí)行該變更指示的理由。承包人認(rèn)為可以執(zhí)行變更的，應(yīng)當(dāng)書(shū)面說(shuō)明實(shí)施該變更指示對(duì)合同價(jià)格和工期的影響，且合同當(dāng)事人應(yīng)當(dāng)按照第10.4款〔變更估價(jià)〕約定確定變更估價(jià)。

試譯：10.3 Variation Procedure

10.3.1 Variation Initiated by the Employer

When the Employer initiates a variation， he must instruct the variation to the Contractor via the Project Management Unit.The variation instruction must specify the scope and items of the proposed variation.

10.3.2 Variation Proposal Initiated by the Project Management Unit

When the Project Management Unit initiates a variation proposal， it must submit the variation proposal to the Employer in writing.The variation proposal must specify the scope and items of，and reasons for the proposed variation， and effect on the Contract Price and the Time for Completion when the variation is executed.When the Employer consents to the variation proposal， the Project Management Unit instruct the variation to the Contractor.When the Employer doesn’t consent， the Project Management Unit may not instruct the variation to the Contractor.

10.3.3 Execution of Variation

After receiving a variation instruction issued by Project Management Unit， the Contractor must as soon as practicable give reasons why he cannot execute the variation if he believes he cannot.If he believes he can execute the variation， he must make a description stating effect on the Contract Price and the Time for Completion when the variation is executed.The Parties must evaluate the variation in accordance with Sub-Clause 10.4［Evaluation of Variation］.

點(diǎn)評(píng)：1.本款主要是回答“怎樣的指示或建議才能構(gòu)成變更？”這個(gè)問(wèn)題的，對(duì)發(fā)包人提出變更、監(jiān)理人提出變更建議、承包人執(zhí)行變更等提出了規(guī)范要求。翻譯時(shí)可以部分地參照FIDIC1999施工合同文本13.3 Variation Procedure相應(yīng)內(nèi)容。

2.本款繼續(xù)貫徹了10.2變更權(quán)（10.2 Right to Vary）中確立的變更權(quán)屬于發(fā)包人和監(jiān)理人的原則，并將權(quán)利內(nèi)容的不同和相互制約關(guān)系更明顯地體現(xiàn)在程序之中了；同時(shí)還明確了承包人在變更執(zhí)行中的權(quán)利和義務(wù)。因設(shè)計(jì)變更引發(fā)的變更，根據(jù)合同相對(duì)性原理，也應(yīng)視為發(fā)包人發(fā)起的變更。

3.這里對(duì)承包人收到監(jiān)理人下達(dá)的變更指示后如何處理作出特別提示。如果承包人認(rèn)為不能執(zhí)行變更指示，那么他應(yīng)當(dāng)“立即”提出不能執(zhí)行變更指示的理由。這里中文“立即”，在翻譯中采納了FIDIC1999建造合同文本的措辭“as soon as practicable”（字面意思是，“在實(shí)際可能的情況下，盡快”）?！傲⒓础碧岢霾荒軋?zhí)行的理由，原則上應(yīng)當(dāng)附上有關(guān)圖紙、文件、技術(shù)標(biāo)準(zhǔn)等作為依據(jù)，并及時(shí)反饋給監(jiān)理人和發(fā)包人。如果承包人認(rèn)為可以執(zhí)行變更的，是否需要“立即”執(zhí)行，本條款本身沒(méi)有明確。10.2變更權(quán)（10.2 Right to Vary）中也只是提出，承包人收到經(jīng)發(fā)包人簽認(rèn)的變更指示后，方可實(shí)施變更。Only after receiving a variation instruction signed by the Employer， may the Contractor execute thevariation.未具體指出必須實(shí)施的時(shí)間。實(shí)踐中常見(jiàn)的情形是，在確定變更工程量與變更估價(jià)之前，承包人不執(zhí)行變更。從10.3.3款內(nèi)容看，該款也確認(rèn)了這個(gè)實(shí)踐，即完成變更估價(jià)后實(shí)施變更，具體時(shí)間將由10.4變更估價(jià)（10.3.3 Evaluation of Variation）確定。特別提醒，這個(gè)規(guī)定與FIDIC1999建造合同文本不同。FIDIC1999建造合同文本13.3 Variation Procedure約定，……The Engineer shall， as soon as practicable after receiving such proposal （under Sub-Clause 13.2 ［Value Engineering］or otherwise）， respond with approval， disapproval or comments.The Contractor shall not delay any work whilst awaiting a response.……工程師收到此類建議（依據(jù)第13.2款［價(jià)值工程］或其它規(guī)定）后，應(yīng)當(dāng)盡快給予批準(zhǔn)、不批準(zhǔn)或提出意見(jiàn)的回復(fù)。在等待回復(fù)期間，承包人不得延誤任何工作。這里“承包人不得延誤任何工作”，應(yīng)當(dāng)理解為包括執(zhí)行變更指示。

原文2：10.4 變更估價(jià)

10.4.1 變更估價(jià)原則

除專用合同條款另有約定外，變更估價(jià)按照本款約定處理：

（1）已標(biāo)價(jià)工程量清單或預(yù)算書(shū)有相同項(xiàng)目的，按照相同項(xiàng)目單價(jià)認(rèn)定；

（2）已標(biāo)價(jià)工程量清單或預(yù)算書(shū)中無(wú)相同項(xiàng)目，但有類似項(xiàng)目的，參照類似項(xiàng)目的單價(jià)認(rèn)定；

（3）變更導(dǎo)致實(shí)際完成的變更工程量與已標(biāo)價(jià)工程量清單或預(yù)算書(shū)中列明的該項(xiàng)目工程量的變化幅度超過(guò)15%的，或已標(biāo)價(jià)工程量清單或預(yù)算書(shū)中無(wú)相同項(xiàng)目及類似項(xiàng)目單價(jià)的，按照合理的成本與利潤(rùn)構(gòu)成的原則，由合同當(dāng)事人按照第4.4款〔商定或確定〕確定變更工作的單價(jià)。

10.4.2 變更估價(jià)程序

承包人應(yīng)在收到變更指示后14天內(nèi)，向監(jiān)理人提交變更估價(jià)申請(qǐng)。監(jiān)理人應(yīng)在收到承包人提交的變更估價(jià)申請(qǐng)后7天內(nèi)審查完畢并報(bào)送發(fā)包人，監(jiān)理人對(duì)變更估價(jià)申請(qǐng)有異議，通知承包人修改后重新提交。發(fā)包人應(yīng)在承包人提交變更估價(jià)申請(qǐng)后14天內(nèi)審批完畢。發(fā)包人逾期未完成審批或未提出異議的，視為認(rèn)可承包人提交的變更估價(jià)申請(qǐng)。

因變更引起的價(jià)格調(diào)整應(yīng)計(jì)入最近一期的進(jìn)度款中支付。

試譯：10.4 Evaluation of Variation

10.4.1 Principles for Evaluation of Variation

Except as otherwise stated in the Particular Conditions，Evaluation of Variation must be dealt with in accordance with this sub-clause：

（a） Where there is the same item in the priced Bill of Quantities or in the budget statement as the item in a variation， the unit price for such item will be applied in the evaluation of such item.

（b） Where there is no the same item in the priced Bill of Quantities or in the budget statement as the item in a variation， but there is a similar item， the unit price for the similar item will be applied in the evaluation of such item.

（c） Where the completed quantity of an item in a variation is more than 15% of the quantity of such item in the priced Bill of Quantities or in the budget statement， or where neither is there the same item in the priced Bill of Quantities or in the budget statement as the item in a variation， nor is there a similar item， the Parties must， under the principle of reasonable Cost plus reasonable profit， determine the applicable unit price in accordance with Sub-Clause4.4［Agreement or Determination］.

10.4.2 Procedure for Evaluation of Variation

After receiving the Variation Instruction， the Contractor must submit to the Project Management Unit an application for Evaluation of Variation within 14 days.The Project Management Unit must complete the examination of the application and report it to the Employer within 7 days after receiving the application.If the Project Management Unit disagrees upon the application， it must notify the Contractor that he should modify the application and resubmit it.The Employer must complete the examination of the application within 14 days after the Contractor’s submission of the application.If the Employer fails to complete the examination of the application or express his disagreement within the time limit， the application for Evaluation of Variation will be deemed as approved by the Employer.

The price adjustments arising from a variation must be included in the latest progress payment.

點(diǎn)評(píng)：1.本款主要是回答“工程變更如何估價(jià)？”這個(gè)問(wèn)題的，一是如何確定以何種單價(jià)來(lái)估價(jià)，二是按照什么程序或在多長(zhǎng)時(shí)間內(nèi)完成估價(jià)。翻譯時(shí)可以部分地參照FIDIC1999施工合同文本13.3 Variation Procedure相應(yīng)內(nèi)容和12.3 Evaluation（12.3估價(jià)）。

2.前面已經(jīng)提及，實(shí)踐中常見(jiàn)的情形是，在確定變更工程量與變更估價(jià)之前，承包人不執(zhí)行變更。但是承包人不執(zhí)行變更并非沒(méi)有時(shí)間限制。“10.4.2 變更估價(jià)程序（10.4.2 Procedure for Evaluation of Variation）”條款強(qiáng)調(diào)，承包人應(yīng)在收到變更指示后14天內(nèi)，向監(jiān)理人提交變更估價(jià)申請(qǐng)；監(jiān)理人應(yīng)在收到承包人提交的變更估價(jià)申請(qǐng)后7天內(nèi)審查完畢并報(bào)送發(fā)包人，監(jiān)理人對(duì)變更估價(jià)申請(qǐng)有異議，通知承包人修改后重新提交；發(fā)包人應(yīng)在承包人提交變更估價(jià)申請(qǐng)后14天內(nèi)審批完畢；發(fā)包人逾期未完成審批或未提出異議的，視為認(rèn)可承包人提交的變更估價(jià)申請(qǐng)。我們注意到，無(wú)論承包人、監(jiān)理人、發(fā)包人，一旦啟動(dòng)變更程序，每一方履行義務(wù)都有時(shí)間限制。因此，從變更指示發(fā)出之日起，最長(zhǎng)經(jīng)歷14天，發(fā)包人審查完畢，或者發(fā)包人逾期未完成審批或未提出異議的，視為認(rèn)可承包人提交的變更估價(jià)申請(qǐng)。之后，承包人便必須“立即”執(zhí)行變更指示了。