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| Title: | 工程現場情況差異之研究—國際工程司法實務與我國之比較
A Study on Differing Site Conditions - A Comparison with International Jurisdiction on Construction Project |
| Authors: | 彭馳
Peng, Chih |
| Contributors: | 顏玉明
彭馳
Peng, Chih |
| Keywords: | FIDIC
翠皮書
美國聯邦採購規則
異常工地狀況
現場情況差異
地下工程
工程
不可預見之物理條件
不能合理預見
不可預見性
風險分配
GBR
大地工程基線報告
FIDIC
Federal Acquisition Regulation
Differing Site Conditions
Unforeseeable Physical Conditions
Underground Construction
Engineering
Risk Allocation
Reasonably Unforeseeable
Unforeseeability
GBR
Geotechnical Baseline Report |
| Date: | 2023 |
| Issue Date: | 2023-07-06 16:55:24 (UTC+8) |
| Abstract: | 工程現場情況差異為營建工程經常面臨之風險。當工程契約當事人合理預期之工地地質、水文地質或地工屬性與實際施工時所遭遇之情形有實質性差異時，即謂遭遇現場情況差異，當事人因此常需支出應對地質風險之額外費用，在地下工程領域尤為明顯。關於地下工程之特性，其所採用之施工方法乃成功完成工程專案之主要因素。施工方法則取決於工地之現場情況、地下物理條件，因為這些大地屬性特徵攸關工程成敗、工期長短及成本高低。然而，工程現場情況之調查技術有其侷限，隱蔽於地下之情況難以完全藉由現場調查掌握，因此經常發生工程設計所預估之現場情況與實際情況有重大差異之情形。地下工程之特性同時顯現其獨特之風險，即工地現場之實際情況與原先預期的情況可能不一樣的風險，稱為「現場情況差異之風險」。因為難以藉由調查完全掌握，地下條件有其不確定性。除了承攬人傾向合理依賴業主所提供之現場情況資訊外，工程等標期之長度也往往不足以進行詳盡之現場調查，甚或有些情況本質上即屬無從於事前被合理預見，因此地下條件通常難以或無法於投標前精確評估。管理現場情況差異風險之做法可藉由提升工程技術將風險降低或排除，當未能降低或排除時，則可藉由風險移轉或風險分配，將該風險歸由合適之一方承擔。
為了順利達成工程專案之目的，必須有效地控制現場情況差異風險，若欲有效控制，則應合理地分配現場情況差異風險。對此，工程現場情況差異亦為國際工程行業經常面臨之問題，美國聯邦採購規則允許工程承攬人於遭遇特定類型之異常工地狀況時得獲得費用或工期之補償，亦即風險由業主承擔，美國司法實務亦對於請求現場情況差異所生額外費用之要件及爭點累積有豐富案例判決；2019年國際顧問工程師聯合會新推出專用於地下工程之FIDIC翠皮書於風險分配之概念及結果上與美國工程司法實務之作法趨近，可認為二者對於工程現場情況差異之風險分配作法已體現出國際工程慣例之當前經驗及最佳作法，應可作為合理分配現場情況差異風險之借鏡。因此，「國際工程慣例如何合理分配現場情況差異風險？」以及「國外合理分配該風險之作法引入我國之可能性？」即成為本研究之研究問題。
研究結論歸納總結，國際工程慣例將工程現場情況差異之風險於二種類型下歸由業主承擔，即承攬人所遭遇之現場情況與工程契約所指述者有實質性差異之情形，以及承攬人所遭遇者為未知且不尋常，並與工程慣例所承認相同類型工作所將遭遇之現場情況有實質性差異之情形。此外，對於工程現場情況差異索賠常見之爭點，參照美國司法實務之見解，工程契約對現場情況之指示包含明示與默示、承攬人進行現場勘查之程度要求乃於合理可行之情況下合理謹慎之承攬人標準、業主對其所提供或引述之現場情況資訊之準確性、充分性之免責聲明應具體明確、承攬人對於契約文件之依賴應在合理範圍內、承攬人負有遭遇異常工地狀況時之通知義務，以及實質性差異與不能合理預見之判斷應取決工程慣例。而當承攬人未能依據工程契約之現場情況差異條款請求額外費用時，美國司法實務尚承認其他可供主張之請求權基礎，與現場情況差異條款合理分配地質風險之目的相同。
美國工程、司法實務與FIDIC翠皮書對於合理分配現場情況差異風險所體現之國際工程慣例最佳作法，研究結果表明皆有可能引入我國司法實務，不論是法院對於工程契約之解釋方法得考量工程慣例與當事人可合理預見之工作範圍、以FIDIC翠皮書條款填補工程契約之漏洞，或是藉由民法情事變更原則之解釋適用、類推適用、法理適用於工程現場情況差異，國內相關學說與法規範皆已提供可行之途徑，為將國際工程司法實務處理工程現場情況差異之作法引入我國司法實務提供法律上、契約解釋、學理上或法理上之基礎。
Differing Site Conditions pose significant risks in construction projects. When the actual conditions encountered during construction differ materially from the reasonable expectations of site geology, hydrogeology, or geotechnical properties specified in the contract, it is considered as encountering Differing Site Conditions. Parties involved often incur additional costs to address the risks associated with geological uncertainties, particularly in underground construction projects. The success of such projects heavily relies on the chosen construction methods, which are determined by site conditions and subsurface physical characteristics. However, site investigation techniques have limitations, making it challenging to fully grasp the latent or concealed conditions. As a result, material differences often arise between the anticipated site conditions and the actual conditions encountered, leading to Differing Site Conditions. The underground nature of these projects further accentuates the unique risk of encountering unforeseen subsurface conditions. Due to the limitations in fully assessing subsurface conditions, there is inherent uncertainty in underground works. In addition to the contractor`s tendency to reasonably rely on the site condition information provided by the owner, the duration of project bidding phase is often insufficient to conduct thorough site investigations. In some cases, these conditions are essentially unforeseeable beforehand. Therefore, underground conditions are usually difficult or impossible to accurately assess before the bidding stage. Managing the risk of differing site conditions involves reducing or eliminating the risk through improved engineering techniques. When risk reduction or elimination is not feasible, risk transfer or allocation can be employed to assign the risk to the appropriate party.
Efficient control of the risk of Differing Site Conditions is crucial for successful project outcomes, and achieving this control requires a reasonable allocation of the risk. The issue is prevalent in the international engineering industry as well. In the United States, Federal Acquisition Regulation allows contractors to be compensated for time and cost when encountering certain types of differing site conditions. The US judicial system has also developed extensive case law regarding additional cost claims arising from differing site conditions. In 2019, the International Federation of Consulting Engineers (FIDIC) introduced the FIDIC Emerald Book specifically for underground engineering, aligning its concepts and outcomes of risk allocation with US engineering jurisprudence. Both the US practices and the FIDIC Conditions embody the current international engineering practices and best practices for the reasonable allocation of the risk of differing site conditions. Therefore, "How are differing site conditions reasonably allocated according to international engineering practices?" and "What is the possibility of introducing foreign approaches to the reasonable allocation of this risk in our country?" become the research questions for this study.
The research findings indicate that international engineering practices allocate the risk of differing site conditions to the owner in two types of situations: when the actual conditions are materially different from those included in the contract documents (Type I) or from those reasonably expected by the project team given the type of work performed on site (Type II). Furthermore, with reference to US engineering jurisprudence, common points of dispute in claims for differing site conditions include explicit and implicit instructions in the engineering contract regarding site conditions, the extent of site investigation required from the contractor under reasonable and diligent standards. The disclaimers of liability of the accuracy and adequacy of the site condition information provided or referred to by the owner should be specific and clear. The contractor`s reliance on the contract documents should be within a reasonable range. The contractor`s duty to notify when encountering differing site conditions, and the determination of material differences and unforeseeability, which should be based on engineering standards. In cases where the contractor is unable to claim additional costs under the differing site conditions clauses of the construction contract, US engineering jurisprudence recognizes other bases for claims that serve the same purpose of reasonably allocating the ground risk.
The best practices reflected in US engineering and legal practices, as well as the FIDIC Emerald Book, for the reasonable allocation of the risk of differing site conditions in international engineering customs, have the potential to be introduced into our country`s legal practices. Whether considering the interpretation methods of construction contracts by courts, taking into account engineering customs and the reasonable foreseeability of work scope by the parties involved, filling gaps in engineering contracts using provisions from the FIDIC Emerald Book, or application of the Doctrine of Changed Circumstances, or by analogy, legal theory to differing site conditions, feasible approaches have already been provided in domestic scholarly discourse and legal norms. These approaches serve as a legal, contractual interpretation, academic, or theoretical basis for introducing the practices of international engineering jurisprudence on differing site conditions into our country`s legal practices. |
| Reference: | 參考文獻
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（二）期刊文章
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18.Umpqua River Navigation Co. v. Crescent City Harbor District, 618 F.2d 588, United States Court of Appeals, 9th Circuit(1980).
19.Vann v. United States, 420 F.2d 968, 420 F.2d 968, United States Court of Claims(1970).
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22.Wiechmann Engineers v. State ex rel. Dept. Pub. Wks, 107 Cal.Rptr. 529, 31 Cal.App.3d 741, Court of Appeal, Third District, California(1973). |
| Description: | 碩士
國立政治大學
法律科際整合研究所
108652009 |
| Source URI: | http://thesis.lib.nccu.edu.tw/record/#G0108652009 |
| Data Type: | thesis |
| Appears in Collections: | [法律科際整合研究所] 學位論文
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