FIDIC1999中业主的索赔Employer’s Claims

文 / 李 健

2.5Employer’s Claims

If the Employer considers himself to be entitled to any payment under any Clause of these Conditions or otherwise in connection with the Contract， and/or to any extension of the Defects Notification Period， the Employer or the Engineer shall give notice and particulars to the Contractor. However， notice is not required for payments due under Sub-Clause 4.19 ［Electricity， Water and Gas］， under Sub-Clause 4.20 ［Employer's Equipment and Free-Issue Material］， or for other services requested by the Contractor.

The notice shall be given as soon as practicable after the Employer became aware of the event or circumstances giving rise to the claim. A notice relating to any extension of the Defects Notification Period shall be given before the expiry of such period.

The particulars shall specify the Clause or other basis of the claim， and shall include substantiation of the amount and/or extension to which the Employer considers himself to be entitled in connection with the Contract. The Engineer shall then proceed in accordance with Sub-Clause 3.5 ［Determinations］ to agree or determine （i） the amount （if any） which the Employer is entitled to be paid by the Contractor， and/or （ii） the extension （if any） of the Defects Notification Period in accordance with Sub Clause 11.3 ［Extension of Defects Notification Period］.

This amount may be included as a deduction in the Contract Price and Payment Certificates. The Employer shall only be entitled to set off against or make any deduction from an amount certified in a Payment Certificate， or to otherwise claim against the Contractor， in accordance with this Sub-Clause. （Contract for Construction， FIDIC， 1999）

试译：2.5业主的索赔

如果业主认为自己有权获得本合同条件任何条款下的或其他与本合同相关的付款，以及有权获得的缺陷通知期的延长，那么业主或工程师应当向承包商发出通知并说明细节。但是，对于第4.19款［电、水、气］、第4.20款［业主设备及免费提供的材料］下的应付款项以及承包商要求其他服务而产生的应付款项，不必发出通知。

通知应当在业主知道导致索赔的事件或情况后在可行限度内尽快发出。关于缺陷通知期延长的通知，应当在该期限到期前发出。

通知的细节应当具体说明索赔的条款或其它依据，并包括业主认为自己有权获得的与本合同相关的付款及缺陷通知期延长的具体证据。工程师应当依据第3.5款［决定］作出处理，同意或决定： （i）业主有权获得的由承包商支付的款额（如有），以及（ii）依据第11.3款［缺陷通知期的延长］给予缺陷通知期的延长时间（如有）。

该款额可以在合同价格和支付证书中扣除。业主只能从支付证书中确定的款额中进行抵销或扣除，或者依据本款另行向承包商提出索赔。

点评：

1．先说说文中两个词substantiation和set off （against）。substantiation的动词形式是substantiate，证实，证明，使具体化，使有内容；例如—Can you substantiate your claim in a court of law ？你能在法庭上证明你的主张（索赔）吗？substantiation应当是“证明” “使具体化”的抽象意义，我译成“具体证据”。set off，通常意义包括“出发、动身”“使爆炸”“衬托”“触发”等；但在法律意义上，其意义是“to balance two opposing claims against each other， eliminating the smaller and reducing the larger by that amount”，即“两个相反主张的抵销”，更进一步，The reduction is called a setoff or an offset，即抵销的额度为其名词形式setoff或者offset。

2．再说说文中第一个长句的结构：If the Employer considers himself to be entitled to any payment under any Clause of these Conditions or otherwise in connection with the Contract， and/or to any extension of the Defects Notification Period，….这是一个由if引起的条件从句的一部分。我先理解成如下两个并列分句：If the Employer considers himself to be entitled to any payment…，以及 the Employer considers himself to be entitled to any extension of the Defects Notification Period…，注意到“本合同条件任何条款下的或其他与本合同相关的”这个定语只限定了 payment，而未限定 any extension of the Defects Notification Period；进一步，我又将前一个分句理解成如下两个更小的并列分句：the Employer considers himself to be entitled to any payment under any Clause of these Conditions，以及 the Employer considers himself to be entitled to any payment in connection with the Contract。

3．最后，为便于理解和记忆，总结一下，业主索赔Employer’s Claims条款的内容包括四个方面：索赔的基础basis of the claim，索赔通知 notice of the claim，索赔的细节和工程的决定 particulars of the claim and the determinations by the Engineer，索赔款的支付 setoff or deduction。FIDIC1999保留了承包商索赔的内容，增加了对业主索赔程序的规定，业主和承包商权利义务更加平衡。