摘 要
随着我国经济的快速发展，基础、民用和商业设施建设规模的不断扩大，
工程实施过程中固有的一些风险大、不确定性因素多的特点使得索赔在我国工程管理界，特别是在建筑企业逐渐受到重视。但是，由于我国工程索赔处于起步阶段，对于工程索赔的认识尚不全面、正确，在工程施工中，还存在发包人（业主）忌讳索赔、承包人索赔意识不强、监理工程师不懂如何处理索赔的现象。因此，加强对索赔理论和方法的研究，认真对待和搞好工程索赔，对我国建筑业有重要的意义。
关键词：工程索赔 建筑业 工程管理界 索赔理论 索赔意识
Abstract
With the rapid development of our economy, the foundation, civil and commercial facilities for the scale constantly expanding, and project implementation process in some of the risks and uncertainties more characteristics of the claim in our project executive , particularly in construction enterprises was taken seriously.However, due to our claim for the project is at an elementary stage, for engineering claims that is not complete, true, in the engineering construction, and the developer （owner） taboo, the contractors claim against the claim was not strong, and supervising engineers do not know how to deal with the claim. therefore, to enhance the theory and methods of research and engineering claims seriously and keep to our industry has great significance.
Key words: engineering claims construction industry project executive claim and ripple theory claim indemnity .
目 录
第一章. 绪论·······················································1 第二章. 索赔的基本内容及其处理原则··································2 2.1索赔的概念·······················································2 2.2索赔的本质特征····················································2 2.3国际工程承包中索赔的两种补偿理论····································2 2.4索赔的处理原则····················································2 第三章. 索赔的分类···················································3 3.1 按索赔发生的原因分类··············································3 3.2按索赔的目的分类··················································3 3.3按索赔的依据分类··················································3 3.4按索赔的有关当事人分类·············································3 3.5按索赔的对象分类··················································3 3.6按索赔的业务性质分类···············································3 3.7按索赔的处理方式分类···············································4 第四章. 索赔的基本程序和相关规定·······································4 4.1索赔的基本程序····················································4 4.2我国有关索赔程序和时限的规定········································5 第五章.索赔证据和索赔文件·············································6 5.1索赔证据·························································6 5.2索赔文件·························································7 第六章. 业主反索赔的概念与内容·········································8 第七章. 索赔费用的组成和计算方法·······································8 7.1 索赔费用的组成···················································8 7.2索赔费用的计算方法 ···············································10 结论·······························································12 参考文献···························································13
致谢·······························································14 附录·······························································15
第一章 绪论
随着建筑业的快速发展，在很多人看来，工程索赔已经成为了一个比较负面的概念。而对于复杂的工程建设项目，可以说索赔是不可避免的。在欧美发达国家，几乎没有一项大型工程不牵涉到索赔。而索赔占合同总价的百分比成为衡量一个工程项目管理水平的重要指标。
与一般的购销合同、服务合同相比，工程承包合同要复杂的多，责任归属认定、索赔争端解决都更加困难。由于勘察难以全面揭地下情况，使得合同实施包涵着不确定性。而建设周期较长，为主和设计师往往会根据新的市场情况和新的技术条件来改变决定和设计，承包商可能无法按原合同完成义务，而先期合同的延误必将影响后续合同的实施，从而导致索赔。
另一方面，业主、设计师、承包商虽然同在一个工程项目中工作，但他们彼此有着不同的利益追求。业主通常希望尽量减少建设成本以提高投资效益；设计师希望站在业主一边以保证得到合续工程的设计任务；承包商希望避免损失而赚取足够大的利润。不同的利益驱动使得保方对同一情况做出不同的解释，正常的合同索赔升级为索赔争端。如何解决好索赔争端，对业主和承包商双方都是非常重要的，同时也关系到整个建筑业持续健康的发展。
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第二章 索赔的基本内容及其处理原则
2.1索赔的概念
索赔是指在合同履行过程中，对于并非自己的过错，而是应由对方承担责任的情况造成的实际损失向对方提出经济补偿和(或)时间补偿的要求。索赔是工程承包中经常发生的正常现象。由于施工现场条件、气候条件的变化，施工进度、物价的变化，以及合同条款、规范、标准文件和施工图纸的变更、差异、延误等因素的影响，使得工程承包中不可避免地出现索赔。
2.2索赔的本质特征
尽管对于索赔的定义有很多种，但归纳起来，索赔具有如下几点本质特征： 1．索赔是要求给予补偿（赔偿）的权利主张； 2．索赔的依据是合同文件及适用法律的规定； 3．承包商自己没有过错；
4．导致索赔事件发生的责任应由业主（包括其代理人，如工程师等）； 5．与合同标准比较，已经发生了实际损失，包括工期和费用损失； 6．必须有切实的证据； 7．协议尚未达成。
2.3国际工程承包中索赔的两种补偿理论
在国际承包工程中，索赔是和工程承包及其实施过程同时存在的。对承包商来说，索赔的外延更为广泛，一般的，只要不是由于承包商自身责任原因造成工期延长或成本增加，都有可能提出索赔。这主要包括两种情况，相应的，也就存在两种索赔补偿理论。
1．业主违约，未履行合同责任，如未按合同规定及时交付设计图纸等，造成承包商工程拖延或费用损失，承包商可能提出赔偿要求。与这种情况相对应的补偿理论是业主违约理论，即对业主或其代理人违约而引起的承包商损失，承包商有权索取赔偿。以业主违约理论为基础的索赔，通常可称为损失索赔。
2．业主并未违反合同，而由于其他原因，如合同范围内的工程变更等造成承包商损失，承包商可提出补偿要求。对应于这种情况的补偿理论是合同变更理论，即根据合同规定，承包商有权为合同变更追加工作取得额外费用补偿或延长工期。以合同变更理论为基础的索赔，可称为额外工作索赔。上述两种情况虽然有些差别，但其处理过程和处理方法却是一致的。因此，从管理角度可将它们同归为索赔。
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