明确变更产生的核心原因后，需进一步厘清变更的类型边界 —— 不同发起主体、内容维度及影响程度的变更，其管理流程、权责划分及风险管控重点存在显著差异。科学的分类是实现变更精细化管控的前提，既能帮助项目各方快速定位变更属性，又能为后续全流程管理提供针对性依据。以下从发起主体、变更内容、影响程度三个核心维度，对国际 EPC 项目的变更类型进行系统划分。
After clarifying the core causes of variations, it is necessary to further define the boundaries of variation types—variations with different initiating entities, content dimensions, and impact levels differ significantly in their management processes, division of rights and responsibilities, and key risk control points. Scientific classification is a prerequisite for refined variation management: it not only helps all project parties quickly identify the nature of variations but also provides targeted basis for subsequent full-process management. Below, variations in international EPC projects are systematically classified from three core dimensions: initiating entity, variation content, and impact level.
(四)变更的核心分类
Core Classification of Changes
1. 按发起主体划分
Classification by Initiating Entity
(1)业主主导型变更
Employer-led Changes
业主主导型变更是国际 EPC 项目中最常见的变更类型，完全由业主基于自身核心需求、投资计划调整或项目目标优化主动发起。具体可体现为新增工程配套功能、扩大或缩减项目建设规模、提高工程质量与安全防护等级、优化使用功能标准等具体情形。此类变更直接对应合同约定中业主的变更主导权，例如 FIDIC 银皮书就明确赋予业主直接发起变更的核心权利，变更内容需紧密围绕项目核心建设目标，且需通过书面形式正式签发变更指示，确保变更程序合规、内容明确，为后续价款与工期调整及争议处理提供坚实依据。
Employer-led changes are the most common type in international EPC projects, proactively initiated by the employer based on its core needs, investment plan adjustments, or project objective optimization. Specific manifestations include adding supporting engineering functions, expanding/reducing project construction scale, raising engineering quality and safety protection levels, and optimizing usage function standards. Such changes directly correspond to the employer’s right to lead changes as stipulated in the contract—for example, the FIDIC Silver Book explicitly grants the employer the core right to initiate changes directly. Change content must align closely with the project’s core construction objectives, and formal written variation instructions must be issued to ensure compliant procedures and clear content, providing a solid basis for subsequent price/construction period adjustments and dispute resolution.
(2)承包商提议型变更
Contractor-proposed Changes
承包商提议型变更是承包商结合项目施工可行性、价值工程优化目标或现场实际工况，主动提出的合理调整建议。具体包括采用更经济高效的施工方案、修正设计层面的疏漏偏差、选用适配性更强的材料设备替代原有方案等情形。此类变更并非承包商单方即可执行，需提交业主或工程师进行技术、经济层面的综合评估，经书面确认后正式生效，确保变更既贴合实际需求又符合合同约定。
Contractor-proposed changes refer to reasonable adjustment suggestions proactively put forward by contractors based on project construction feasibility, value engineering optimization objectives, or actual on-site working conditions. Specific examples include adopting more economical and efficient construction plans, correcting design omissions/deviations, and selecting more suitable materials/equipment to replace original schemes. Such changes cannot be implemented unilaterally by contractors; they must be submitted to the employer or engineer for comprehensive technical and economic evaluation, and take effect only after written confirmation to ensure alignment with practical needs and contractual agreements.
(3)外部强制型变更
Externally Mandated Changes
因项目所在国政策法规更新、技术标准升级、环保安全要求调整，或不可抗力、地质条件意外偏差等外部客观因素导致的变更，具有强制性和不可预见性，需各方协同适配合规要求或实际工况。
Changes caused by external objective factors such as updated policies/regulations, upgraded technical standards, adjusted environmental/safety requirements of the host country, or force majeure, unexpected geological condition deviations. Such changes are mandatory and unforeseeable, requiring all parties to collaborate to adapt to regulatory requirements or actual working conditions.
2. 按变更内容划分
Classification by Change Content
(1)工程范围变更
Scope of Works Changes
工程范围变更是围绕合同约定的工程实体内容展开的调整，核心涵盖三方面：一是工程量的相应增减，二是工作内容的增删优化，比如新增必要的配套设施、删减非核心且不影响项目功能的工序，三是工程边界的合理调整。这类变更直接指向项目实施的核心对象，会对工程建设的具体范围、实施路径产生实质性影响，需严格遵循合同约定程序推进，确保各方权益不受损害。
Scope of works changes involve adjustments to the contracted physical engineering content, focusing on three core aspects: first, corresponding increases/decreases in engineering quantities; second, addition/deletion/optimization of work content (e.g., adding necessary supporting facilities, removing non-core processes that do not affect project functions); third, reasonable adjustment of engineering boundaries. Such changes directly target the core objects of project implementation, exerting a substantive impact on the specific scope and implementation path of engineering construction, and must be advanced in strict accordance with contractual procedures to protect the rights and interests of all parties.
(2)技术标准变更
Technical Standard Changes
技术标准变更是针对工程质量要求、核心性能指标及关键技术参数的专项调整，具体包括材料规格的升级换代、施工工艺的优化革新、设计标准的迭代更新，例如提高工程抗震等级、收紧环保排放指标等。此类变更并非单一环节的局部调整，需同步适配设计方案优化、采购标准调整、施工流程适配等全链条技术要求，确保各环节技术参数统一衔接，保障工程整体质量与性能达标。
Technical standard changes refer to special adjustments to engineering quality requirements, core performance indicators, and key technical parameters, including upgrades of material specifications, optimization of construction techniques, and iteration of design standards (e.g., raising engineering seismic grades, tightening environmental emission indicators). Such changes are not local adjustments to a single link; they require synchronous adaptation of full-chain technical requirements such as design scheme optimization, procurement standard adjustment, and construction process adaptation to ensure unified connection of technical parameters across all links and guarantee the overall quality and performance of the project meet standards.
(3)施工组织变更
Construction Organization Changes
施工组织变更是聚焦施工全流程的系统性调整，核心围绕施工顺序的科学优化、关键工期节点的合理调整、施工场地的必要迁移，以及关键设备进场计划的动态变更等具体内容。这类变更不涉及工程实体与技术标准的核心改动，却直接影响项目履约的组织效率，需结合资源配置现状、施工进度要求统筹规划，确保调整后各环节衔接顺畅，保障项目按计划高效推进。
Construction organization changes focus on systematic adjustments to the entire construction process, centering on scientific optimization of construction sequences, reasonable adjustment of key schedule milestones, necessary relocation of construction sites, and dynamic changes to the entry plan of key equipment. Such changes do not involve core modifications to engineering entities or technical standards but directly affect the organizational efficiency of project performance. They must be planned comprehensively in combination with resource allocation status and construction schedule requirements to ensure smooth connection of all links after adjustment and efficient project progress as planned.
(4)合同条款补充变更
Supplementary Changes to Contract Clauses
合同条款补充变更是针对原合同中权责划分模糊、风险承担界定不清、计价结算规则不明确等问题的补充与完善，具体包括新增不可抗力应对细则、调整价款结算方式、明确分包协作边界等情形。此类变更不直接触及工程实体建设或技术标准调整，核心侧重点在于规范合同履约流程，厘清各方权利义务，减少因条款疏漏引发的履约争议，为项目顺利推进提供清晰的合同依据。
Supplementary changes to contract clauses involve supplementation and improvement of issues such as ambiguous division of rights/responsibilities, unclear risk allocation, and undefined pricing/settlement rules in the original contract. Specific examples include adding force majeure response rules, adjusting price settlement methods, and clarifying subcontracting collaboration boundaries. Such changes do not directly involve physical engineering construction or technical standard adjustments; their core focus is to standardize contract performance processes, clarify the rights and obligations of all parties, reduce performance disputes caused by clause omissions, and provide a clear contractual basis for smooth project progress.
3. 按影响程度划分
Classification by Impact Level
(1)一般性变更
Minor Changes
一般性变更是对项目工期、成本、质量影响较小的局部调整，无需突破原合同核心框架与核心条款。具体可体现为小范围的工程量浮动、单一工序施工方法的优化、局部材料的细微替换等情形，此类变更不涉及项目核心目标与关键环节，流程相对简化，可按照合同约定的常规审批程序快速推进审核与执行，兼顾项目推进效率与合规性。
Minor changes are local adjustments with little impact on project schedule, cost, and quality, without breaking through the core framework and clauses of the original contract. Specific manifestations include small-scale fluctuations in engineering quantities, optimization of construction methods for a single process, and minor substitution of local materials. Such changes do not involve the project’s core objectives and key links; the process is relatively simplified, and review and execution can be advanced quickly in accordance with the routine approval procedures stipulated in the contract, balancing project progress efficiency and compliance.
(2)重大变更
Major Changes
重大变更是对项目工期、成本、质量产生实质性影响的关键性调整，往往需要突破原合同核心框架与核心权利义务约定。具体可表现为大规模工程量增减、工程核心功能与建设标准的重大调整、关键技术方案的颠覆性变更、项目建设范围的大幅拓展或缩减等情形，此类变更直接关乎项目核心目标实现与各方根本利益，需履行更为严格的专项评估与审批程序，经业主、工程师及相关方充分论证并书面确认后，方可组织实施。
Major changes are key adjustments with a substantive impact on project schedule, cost, and quality, often requiring breakthroughs in the core framework and key rights/obligations of the original contract. Specific manifestations include large-scale increases/decreases in engineering quantities, significant adjustments to core project functions and construction standards, subversive changes to key technical schemes, and substantial expansion/reduction of project construction scope. Such changes directly relate to the achievement of project core objectives and the fundamental interests of all parties; they must go through more stringent special evaluation and approval procedures, and can only be organized and implemented after full demonstration and written confirmation by the employer, engineer, and relevant parties.
三、国际EPC 项目变更的全流程管理
Full-process Management of Changes in International EPC Projects
(一)变更发生时的程序要求
Procedural Requirements When Changes Occur
变更管理的有序推进需严格遵循标准化程序，确保各环节衔接顺畅、责任清晰。变更提议阶段，发起方需以书面形式提交变更申请，明确变更事由、内容、范围及预期目标，并附地质勘察报告、政策文件、技术论证方案等相关支撑资料。业主或工程师收到申请后，将组织设计、造价、施工等专业团队开展技术经济评估，重点研判变更的技术可行性、对工程质量安全的影响以及成本增量、工期变动等经济指标，形成专项评估报告。随后依据合同约定的审批权限分级推进审批决策，一般性变更由工程师直接审批，重大变更需经业主高层或相关决策机构审议，审批结果以书面形式反馈发起方。承包商收到有效变更指示后，及时调整施工计划、资源配置及技术方案，严格按变更文件要求实施，过程中做好进度、质量、成本的动态管控。变更实施完成后，各方共同开展验收工作，确认变更内容的完成度与合规性，再依据价款调整规则办理结算手续，并将相关文件整理归档。
The orderly advancement of change management must strictly follow standardized procedures to ensure smooth connection of all links and clear division of responsibilities.
Change Proposal Stage: The initiating party shall submit a written change application, clearly stating the reasons, content, scope, and expected objectives of the change, and attach relevant supporting materials such as geological survey reports, policy documents, and technical demonstration plans.
Evaluation Stage: Upon receiving the application, the employer or engineer shall organize professional teams (design, cost, construction, etc.) to conduct a technical and economic evaluation, focusing on assessing the technical feasibility of the change, its impact on engineering quality and safety, and economic indicators such as cost increments and schedule changes, and form a special evaluation report.
Approval Stage: Approval decisions shall then be advanced hierarchically in accordance with the approval authority stipulated in the contract—minor changes are approved directly by the engineer, while major changes require deliberation by the employer’s senior management or relevant decision-making bodies. The approval result shall be fed back in writing to the initiating party.
Implementation Stage: After receiving a valid variation instruction, the contractor shall promptly adjust the construction plan, resource allocation, and technical scheme, implement the change in strict accordance with the requirements of the change document, and conduct dynamic control of progress, quality, and cost during the process.
Acceptance and Archiving Stage: Upon completion of change implementation, all parties shall jointly conduct acceptance work to confirm the completion and compliance of the change content, then go through settlement procedures in accordance with price adjustment rules, and sort out and archive relevant documents.
(二)变更文件的规范处理
Standardized Handling of Variation Documents
变更文件作为全流程管理的核心依据，其规范性直接影响变更执行效果与争议处理效率。文件构成需包含变更指示书、建议书、评估报告、审批文件、验收记录、结算凭证等，形成完整闭环，确保每一步骤均有书面依据。内容上需明确记载变更编号、生效日期、发起方与审批方、变更具体内容(如工程量清单调整、技术参数更新)、权责划分、价款与工期调整方案等核心信息，表述精准无歧义。文件需经合同约定的有权主体签署确认，通过书面、加密邮件等可追溯方式传递，各方留存原件及传递记录，避免文件丢失或篡改。同时需建立专门的变更文件档案，按项目阶段、变更类型分类存放，同步录入电子管理系统，确保检索便捷，满足项目全生命周期及后续争议处理的查阅需求。
As the core basis for full-process management, the standardization of variation documents directly impacts the effectiveness of variation execution and the efficiency of dispute resolution. The document set must include variation instructions, proposals, evaluation reports, approval documents, acceptance records, settlement vouchers, etc., forming a complete closed loop to ensure every step is supported by written evidence. Content-wise, core information such as variation number, effective date, initiating/approving party, specific variation details (e.g., adjustment to bill of quantities, update of technical parameters), division of rights and responsibilities, and price/construction period adjustment plans must be clearly recorded with accurate and unambiguous expressions. Documents shall be signed and confirmed by the authorized entities stipulated in the contract, transmitted via traceable means (e.g., written form, encrypted email), and all parties shall retain original copies and transmission records to prevent loss or tampering. Meanwhile, a dedicated archive for variation documents shall be established, classified by project phase and variation type, and synchronously entered into an electronic management system to ensure easy retrieval, meeting the needs of document review throughout the project life cycle and for subsequent dispute resolution.
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.