一、引言
在经济全球化深入发展的背景下，国际EPC项目凭借一体化承包的综合优势，已成为跨国工程合作的主流模式。受多元文化差异、复杂合同体系、跨国资源调配壁垒等因素影响，变更事件频发且易引发价款争议、工期延误等风险，直接关乎项目成败与各方利益。变更管理作为项目全生命周期管控的核心环节，其规范化、专业化实施对风险防控与目标达成具有决定性意义。本文立足FIDIC合同条件等国际工程通行惯例，系统梳理变更的核心定义、适用原则、分类及全流程管理要点，结合典型纠纷案例深度解析变更处置的实务逻辑与关键节点，为项目业主、承包商等从业者提供清晰明确的操作指引，助力提升变更管控效率、精准规避项目风险、保障项目履约目标实现。
Introduction
Against the backdrop of the in-depth advancement of economic globalization, international EPC projects have emerged as the prevailing model for cross-border engineering cooperation by virtue of the integrated advantages of turnkey contracting. Subject to diverse cultural divergences, sophisticated contractual frameworks and barriers to cross-border resource allocation, variation events occur frequently and are liable to trigger such risks as price disputes and project delays, which exert a direct and pivotal impact on the success of projects and the interests of all stakeholders. As a core component of the full-life-cycle governance of projects, the standardized and professional execution of variation management is instrumental to underpinning risk mitigation and the attainment of project objectives. Drawing on established international engineering practices including the FIDIC Contract Conditions, this paper systematically elaborates on the core definitions, applicable principles, classifications and key considerations for the full-process management of variations. It also conducts an in-depth analysis of the practical logic and critical junctures in variation disposition by reference to typical dispute cases, and formulates clear and actionable operational guidelines for project owners, contractors and other practitioners. This endeavor is intended to enhance the efficiency of variation governance, precisely avert project risks and safeguard the fulfillment of project performance goals.
二、国际 EPC 项目变更的核心基础：概念、原则与分类
Core Foundations of Changes in International EPC Projects: Concepts, Principles and Classifications
(一)FIDIC 模式下变更的核心概念
Core Concepts of Changes under the FIDIC Model
FIDIC模式下的变更核心是合同履行过程中，依据2017版《施工合同条件(红皮书)》第13条变更和调整的明确规定，对合同约定的工程范围、技术标准、施工安排等进行的实质性更改，本质是工程内容的调整而非合同核心条款的修改。[1]
变更的成立需满足两大关键前提：一是需由合同约定的有权主体工程师或业主签发书面变更指示，承包商可基于价值工程提出变更建议书，但最终决定权归业主方。二是更改需对承包商的合同权利义务产生实质性影响，单纯在合同约定浮动区间内的工程量增减、未改变工作本质的细微调整不构成变更。变更的实施需与价款调整、工期调整程序联动，且需与索赔、额外工作等概念明确区分，核心逻辑是在维护合同严肃性的前提下，灵活适配工程实施中的合理调整需求。
The core of changes under the FIDIC model refers to substantive modifications to the contracted scope of works, technical standards, construction arrangements, etc., during contract performance, in accordance with the explicit provisions of Clause 13 "Variations and Adjustments" in the 2017 Edition of Conditions of Contract for Construction (Red Book). Essentially, it involves adjustments to engineering content rather than amendments to the core terms of the contract.
For a change to be valid, two key prerequisites must be met: First, a written variation instruction must be issued by the engineer or employer—the authorized entities specified in the contract. Contractors may submit variation proposals based on value engineering, but the final decision-making power rests with the employer. Second, the modification must have a substantive impact on the contractor’s contractual rights and obligations. Mere increases or decreases in engineering quantities within the contracted fluctuation range, or minor adjustments that do not alter the essence of the work, do not constitute a change. The implementation of changes must be linked to the procedures for price adjustment and construction period adjustment, and must be clearly distinguished from concepts such as claims and additional work. The core logic is to flexibly adapt to reasonable adjustment needs during project implementation while maintaining the sanctity of the contract.
(二)合同变更的基本原则与要求
Basic Principles and Requirements for Contractual Changes
1. 合法性与主体适格原则
Principle of Legality and Proper Subject Qualification
变更需以合同约定(如 FIDIC 合同第 13 条 “变更和调整” 条款)及项目适用法律为依据，变更发起与审批主体必须是合同明确的有权方，不得违反法律法规强制性规定或公序良俗，严禁任何一方擅自单方变更合同核心内容。
Changes must be based on contractual agreements (e.g., Clause 13 "Variations and Adjustments" of the FIDIC contract) and the applicable laws of the project. The entities initiating and approving changes must be the authorized parties specified in the contract. They must not violate mandatory legal provisions or public order and good morals, and no party is allowed to unilaterally alter the core content of the contract without authorization.
2. 书面化与有据可查原则
Principle of Documentation and Traceability
变更的发起、确认、执行全过程需以书面形式完成，包括变更指示、建议书、确认书等核心文件，明确记载变更内容、依据、生效时间、权责划分等关键信息，确保流程可追溯、争议有证据支撑。
The entire process of change initiation, confirmation, and execution must be completed in writing, including core documents such as variation instructions, proposals, and confirmation letters. These documents shall clearly record key information such as change content, basis, effective time, and division of rights and responsibilities, ensuring the process is traceable and disputes are supported by evidence.
3. 公平合理与权责对等原则
Principle of Fairness, Reasonableness and Equivalence of Rights and Responsibilities
变更需兼顾业主与承包商合法权益，价款调整遵循合同定价逻辑，工期调整匹配变更对施工进度的实际影响，不得单方面加重一方责任或剥夺其合法权利，保障双方权利义务平衡。
Changes must balance the legitimate rights and interests of both the employer and the contractor. Price adjustment shall follow the contractual pricing logic, and construction period adjustment shall match the actual impact of the change on construction progress. Neither party shall be unilaterally burdened with additional liabilities nor deprived of their legitimate rights, ensuring a balance of rights and obligations between both parties.
4. 必要性与风险可控原则
Principle of Necessity and Risk Controllability
变更发起需基于客观实际需求，如地质条件不符、技术标准更新、合理功能调整等，排除主观随意性，实施前需充分评估对工期、成本、质量、安全的影响，制定应对预案，明确风险承担主体。
The initiation of changes must be based on objective and practical needs, such as inconsistent geological conditions, updated technical standards, or reasonable functional adjustments, excluding subjective arbitrariness. Before implementation, a full assessment of the impact on construction period, cost, quality, and safety must be conducted, response plans formulated, and the subject responsible for bearing risks clearly identified.
5. 程序合规与及时处置原则
Principle of Procedural Compliance and Timely Disposal
严格遵循合同约定的变更流程，从提议、技术经济评估、审批到执行，不简化或跳过关键环节，且各方需在合同时限内完成相关操作，避免因处置拖延扩大变更影响、引发额外损失。
The contractual change procedures must be strictly followed, from proposal, technical and economic evaluation, approval to execution, without simplifying or skipping key links. All parties must complete relevant operations within the time limits specified in the contract to avoid expanding the impact of changes or causing additional losses due to delayed disposal.
6. 内容关联与明确具体原则
Principle of Content Relevance and Clarity
变更需围绕原合同核心目的展开，与工程范围、技术标准、施工安排等核心要素保持关联性，不得脱离项目实质需求形成 “变相新合同”。同时变更文件需清晰界定调整内容，避免模糊表述，确保执行无歧义。
Changes must be carried out around the core purpose of the original contract, maintaining relevance to core elements such as project scope, technical standards, and construction arrangements, and must not form a "disguised new contract" divorced from the substantive needs of the project. Meanwhile, change documents must clearly define the adjusted content, avoiding ambiguous expressions to ensure unambiguous execution.
(三)变更产生的核心原因
Core Causes of Changes
1. 业主方需求与目标调整
Adjustments to Employer’s Requirements and Objectives
作为变更最常见的发起源头，业主方需求与目标调整主要包括工程功能需求优化、投资计划变动、工程质量或性能要求升级，以及前期决策阶段论证不充分导致的需求补全，此类变更多属于业主主导的主动调整。具体来看，工程功能需求优化可体现为新增配套设施、调整使用标准。投资计划变动包括增减项目规模、调整建设优先级。工程质量或性能要求升级则涵盖提高环保标准、强化安全防护等级等情形。
As the most common source of change initiation, adjustments to the employer’s requirements and objectives mainly include optimization of engineering functional requirements, changes to investment plans, upgrades to engineering quality or performance requirements, and supplementation of requirements due to insufficient demonstration in the early decision-making stage. Such changes are mostly proactive adjustments led by the employer. Specifically, optimization of engineering functional requirements may manifest as adding supporting facilities or adjusting usage standards; changes to investment plans include increasing/decreasing project scale or adjusting construction priorities; upgrades to engineering quality or performance requirements cover scenarios such as raising environmental protection standards and enhancing safety protection levels.
2. 客观地质与现场条件偏差
Deviations in Objective Geological and On-site Conditions
国际项目常面临陌生地域的勘察局限，实际施工中发现的地质构造、水文条件、地下障碍物等与前期勘察报告不一致，如意外出现软土地基、地下管线未探明等，需通过变更调整施工方案、技术参数或工程范围，以适配现场实际工况，此类变更属于不可预见的客观因素导致。
International projects often face limitations in geological survey of unfamiliar regions. In actual construction, inconsistencies are found between the geological structure, hydrological conditions, underground obstacles, etc., and the preliminary survey report—such as unexpected soft soil foundations or unexplored underground pipelines. Changes are thus required to adjust construction plans, technical parameters, or project scope to adapt to actual on-site working conditions. Such changes are caused by unforeseeable objective factors.
3. 设计与合同层面的先天不足
Inherent Deficiencies in Design and Contract
设计阶段存在深度不够、漏项错项或技术衔接不畅等问题，比如各专业设计冲突、设计参数与实际施工可行性不符，导致施工中需修正完善。同时，合同条款对工程范围、技术标准、风险划分界定模糊，或未充分考虑跨国项目的特殊场景，像当地材料替代、施工工艺限制等情况，后续需通过变更明确权责与执行标准，此类变更源于前期准备环节的疏漏。
Problems exist in the design phase such as insufficient depth, omissions/errors, or poor technical connection (e.g., conflicts between professional designs, inconsistency between design parameters and practical construction feasibility), necessitating revisions and improvements during construction. Meanwhile, contractual clauses may have ambiguous definitions of project scope, technical standards, and risk allocation, or fail to fully consider special scenarios of cross-border projects (e.g., local material substitution, restrictions on construction techniques). Subsequent changes are required to clarify rights/responsibilities and execution standards, stemming from omissions in early preparation stages.
4. 外部环境与政策法规变动
Changes in External Environment and Policies/Regulations
国际项目受所在国政策、法规、技术标准变动影响显著，如施工期间当地环保政策收紧、安全规范更新、税收或进出口管制调整，或国际供应链波动导致关键材料、设备无法按原计划供应，需通过变更调整工程方案、替换材料设备或优化施工流程，以符合合规要求并保障项目推进。
International projects are significantly affected by changes in policies, regulations, and technical standards of the host country—such as tightened local environmental protection policies, updated safety norms, adjusted taxation or import/export controls during construction, or fluctuations in international supply chains leading to unavailability of key materials/equipment as planned. Changes are needed to adjust engineering plans, replace materials/equipment, or optimize construction processes to comply with regulatory requirements and ensure project progress.
5. 协作与执行过程中的动态调整
Dynamic Adjustments in Collaboration and Execution
EPC 模式下多方协作环节复杂，业主、设计方、承包商、分包商之间的沟通偏差可能导致执行偏差。同时，施工过程中出现的技术难题，如原工艺无法实现设计要求、价值工程优化建议，或不可抗力，均可能触发变更，此类变更属于履约过程中的动态适配。
The EPC model involves complex multi-party collaboration, and communication deviations between employers, designers, contractors, and subcontractors may lead to execution deviations. Meanwhile, technical difficulties during construction (e.g., inability of original processes to meet design requirements, value engineering optimization proposals) or force majeure events may trigger changes. Such changes are dynamic adaptations during contract performance.
注释及参考文献
注释：
[1]C：《Conditions of Contract for Construction (Red Book)》(第2版)，Geneva: FIDIC Publications，2017 年版。
参考文献
一、中国国内法、司法解释等文件：
[1]《中华人民共和国民法典》
[2]《中华人民共和国建筑法》
[3]《中华人民共和国招投标法》
[4]《建设工程质量管理条例》
[5]《最高人民法院关于审理建设工程施工合同纠纷案件适用法律问题的解释(一)》
二、学术著作：
[6]吕文学，张水波：《FIDIC设计建造和运营项目合同条件导读与解析》，中国建筑工业出版社2010年版
[7]FIDIC：《Conditions of Contract for Construction (Red Book)》(第2版)，Geneva: FIDIC Publications，2017年版
[8]朱中华：《FIDIC EPC合同实务操作 详解·比较·建议·案例》，中国建筑工业出版社2013年版
三、网络资源：
[9]中国对外承包工程商会。国际工程行业数字化转型案例展示 62|基于南美洲某轨道建设工程的项目管理系统的应用 [EB/OL]. https://www.chinca.org/CICA/info/25030315400511, 2025-03-03.
[10]深圳市招商港湾集团有限公司。巴基斯坦 SAPT 集装箱堆场与房建二期项目奠基暨开工典礼隆重举行 [EB/OL]. http://www.cmhg.com.cn/xwzx/462.html, 2025-07-04.