Building Construction 建筑施工
了解各类承包商和承包过程 了解承包过程中各方的关系 熟悉建筑施工中的专业词汇
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on Contractors 工程承包商
The construction industry consists of numerous types of projects to include residential units, commercial institutions and industrial projects, and heavy and highway projects（市政 项目）. One means of classifying（分类）construction contractors is to identify（确定）the firms consistent with the type of work they perform; i.e., a residential contractor, a building or commercial contractor, or a heavy and highway contractor.
建筑业由很多类型的工程项目组成，包括住宅单元、商业 机构和工业项目以及市政项目。划分工程承包商类型的一种方 法是确定该公司与他们所履行的工作类型是一致的；即住宅承 包商，建筑或商业承包商，或市政承包商。
While（虽然）the purpose of this handbook addresses （针对..而写）the building/commercial contractor, it is helpful in understanding the characteristics of the building/commercial contractor, to contrast the characteristics of the firm to （将..与..形成对照）those of the residential and/or heavy and highway contractor.
虽然本手册的目的是针对建筑/商业承包商而写的，但它在 理解建筑/商业承包商的特征时，有助于将公司的特征与住宅承 包商和/或市政承包商的特征形成对照。
As pointed out there is the advantage of less sensitivity to the economy for the firm that has skills and performs each of the three types of work. On the other hand, it is not possible for every firm to involve itself in（陷于）the three types of construction work in that（因为）the physical （自然 科学的）and management skills required differ for the three types of work. Obviously, not every firm can or should strive （努力）to possess all the skills required to enable its performing each of the three types of work. 正如所指出的，有着一定技术、并履行这三种工作的公司 具有对经济不太敏感的优势。另一方面，每个公司不可能将其 自身陷于三种施工工作，因为三种工作所需的自然科学和管理 技术是不同的。显而易见，不是每一个公司都能够或应该努力 拥有所有所需的技术，使其能够履行三种工作。
Residential Contractor The decision to specialize in（专攻）residential, commercial, or heavy and highway construction should recognize the unique characteristics of each of the three types of work. Residential construction is characterized by（表现为..的特征）severe cycles in volume （数量）. The residential contractor is subject to（受..的支配）the policies of the government. Due in major part to changes in the government’s fiscal and monetary policies（财政和货币政策）, new residential housing （住宅建设）starts may approach（接近）two million units one year and one million the next. Variations in starts from one year to the next and from one season to the next often create unique management problems for the residential contractor. His available cash（可用现金）through stack volume（堆积，可引申为建设）periods can make the difference（区别对 待）between a continuing firm and a bankrupt firm.
住宅承包商 决定专攻住宅建设、商业建设还是市政建设时，应该承认这三种 工作各自独特的特性。住宅建设表现为数量上严重循环的特征。住宅承包商受 政府政策的支配。主要由于政府财政和货币政策的变化，新的住宅建设的启动 可能这一年接近两百万套，下一年一百万套。启动时，从这一年到下一年、从 这一季到下一季的变化常常引起住宅承包商独特的管理问题。在整个建设期间， 他的可用现金允许在继续运作的公司和破产的公司之间区别对待。
Residential contractors have the advantages of being able to operate on a low volume in that they normally have relatively low overhead（企业 管理费用） versus the building or heavy and highway contractors. Whereas the building or heavy and highway contractor must compete against above average-sized contractors, each having relatively sound（合 理的）management practices（经验）, the residential contractor compete against much smaller firms who normally have less sophisticated（完善） management skills. This is not to say that the residential contractor does not have competition, the opposite is in fact true. However, the size of the average competitor and the management skills of the average competitor allow the residential contractor to actually operate out of his house（脱离 其机构）as a one-man show（独角戏）. Because of this, the number of residential contractors is numerous, often leading to excessive competition, low profit margins（利润率）, and bankruptcies.
住宅承包商具有能够少量运作的优势，因为他们相对于建筑承包商或市 政承包商来说，具有相对低的企业管理费用。住宅承包商与小得多的公司竞 争，那些小公司通常有着不太完善的管理技术，而建筑承包商或市政承包商 必须与超出一般规模的承包商竞争，那些承包商都具有相对合理的管理经验。 这不是说住宅承包商没有竞争，事实上正好相反。但是，一般竞争者的规模 和管理技术实际上允许住宅承包商脱离其机构独自运作。因此，住宅承包商 的数量众多，常常引起过多的竞争、低的利润率以及破产。
Heavy and Highway Contractor Several differences exist between the building contractor and the heavy and highway contractor. For one, the building contractor is normally less dependent on the need for expensive equipment than is the heavy and highway contractor. Because of its high investment in equipment, the main management task for the heavy and highway contractor centers on（集中）the ability to effectively utilize equipment and to minimize idle equipment（闲置设备）time. On the other hand, the building contractor is more dependent on the use of labor. Its management needs center on effective personnel management（人事管理） and the ability to control the many materials that flow to the commercial building construction project.
市政承包商 在建筑承包商和市政承包商之间存在一些区别。一方面是建 筑承包商通常比市政承包商更少依赖于昂贵设备的需要。由于对设备的高 额投资，市政承包商的主要管理任务集中在能够有效地利用设备，并使闲 置设备的时间最小。另一方面，建筑承包商更依赖于劳动力的使用。其管 理要求集中在有效的人事管理以及能够控制流向商业建筑施工项目的大量 材料。
The heavy and highway contracting firm tends to be less subject to（遭受）bankruptcy than the residential contractor or the commercial building contractor. Perhaps this is due in part（部分地）to the fact that heavy and highway work (sometimes categorized as（归类为）public-works construction) tends to be more stable as to profit margin earned. In additional, because of the high equipment investment needed to operate, the heavy and highway contractor tends to be a large firm with a relatively sound financial structure（财务结构）. Several of these differences in the types of firms are summarized in Fig. 18-2 and 18-3.
市政承包公司往往比住宅承包商或商业建筑承包商更少遭 受破产。这可能部分是由于市政工程（有时归类为公共工程建 设）往往在赚取的利润率上更稳定。而且，由于需要高额的设 备投资进行运作，市政承包商往往是一个大型的公司，具有相 对合理的财务结构。不同类型公司中的这些区别总结在图18-2 和图18-3中。
General v. Subcontractor Within the classifications of residential, building, and heavy and highway contractors is a class of（一类）contractors referred to as specialty contractors or subcontractors. These types of firms continue to be founded by craftsmen（工匠）and highly skilled（非常熟练 的）individuals（个体）. Typically（一般）, the subcontractors are small as to the number of employees and its volume of work. Subcontractors normally have relatively low overhead but are highly dependent on labor and labor productivity. Competition tends to be high and profit margins vary depending on the type of speciality work performed. Unlike the general contractor, the subcontractor is normally responsible for his own work. As such（同样地）the management skills needed to coordinate（协 调）the skills of several（不同的）labor crafts（工艺）or flows（流通）of several types of materials are not vital to the subcontractor’s profit on a project or its financial stability. What is needed is an ability to perform a highly skilled type of work and to be able to obtain high productivity while carrying out the work. 总承包商与分包商 在住宅承包商、建筑承包商和市政承包商的分类范围中， 有一类承包商称为专业承包商或分包商。这类公司不断地由工匠和非常熟练 的个体创办。分包商在雇员数量和工作量方面一般是小规模的。分包商通常 具有相对低的企业管理费用，但是高度依赖于劳动力和劳动生产力。竞争往 往是激烈的，利润率随进行的专业工作的类型而变化。不象总承包商，分包 商通常只负责其自己的工作。同样地，为协调不同劳动工艺的技能或不同种 类的材料的流通所需的管理技能对分包商的项目利润或其财务稳定性不是至 关重要的。分包商所需要的是能够非常熟练地履行某类工作以及在进行该项 工作时能够获得高的生产力。 10
The General Contracting Process 总承包过程
The building or commercial contractor is normally engaged as a prime contractor（总承包商）directly with （打 交道）the project owner. The contractor has responsibility for delivering the completed construction project to （移交）the project owner. In effect （实际上）the contract it signs（签署） places the firm in a role of independent contractor. In this process, specialty contractors are typically engaged（雇佣） by the contractors serving as subcontractors.
建筑或商业承包商通常作为总承包商而直接与项目业主打 交道。承包商负责将完成的建设项目移交给项目业主。实际上 其签署的合同将公司置于独立承包人的角色。在此过程中，专 业承包商一般被承包商雇佣而作为分包商。
The building or commercial contractor serving（适合于） the role outlined above is referred to as the general contractor for the project. The process itself is commonly referred to as the general contracting process. The process is illustrated in Fig. 18-4.
适合于上面所描述的角色的建筑或商业承包商称为项目总 承包商。该过程本身通常称为总承包过程。该过程如图18-4所 示。
The majority of building construction contracts are let（签定）using the general contracting process (note: the next chapter addresses（提出） an alternative process). Advocates（提倡者）of the general contracting process point to several reasons for their preference for the general contracting process. Project owners cite（列举）the fact that by means of soliciting bids（招标）on one single contract for their entire project via （通过）the single general contract, they are able to secure the most competitive (i.e., lowest) price for the proposed project. Some project owners also argue（指出）that another advantage of this process is the fact that they, as the project owner, only have to deal with（与..打交道）a single contractor instead of having to contract and deal with individual specialty contractors.
大多数建筑施工合同采用总承包的方法被签定（注意，下一章节提出另 一种可选择的方法）。总承包方法的提倡者对他们偏爱该方法指出了几个理 由。项目的业主列举了这样一个事实，即通过采用单独总承包的方式对他们 整个项目进行单独承包的招标，他们能获得被提议项目最有竞争性（即最低） 的价格。一些项目业主也指出该方法的另一个优势，即作为业主，他们只须 与单个承包商打交道而不必与各个专业承包商签定合同并打交道。
The general contractor himself may favor（偏爱）the process relative to another process (e.g., construction management) in that the potential for substantial（很多）profits exists if the contractor performs efficiently. The general contract typically signs a lump-sum contract（总价合同）for its services. If the firm is able to construct the project for less than the contract amount（承包价）, the entire difference（差额）becomes profit for the firm. Naturally, the competitive bidding（竞标）process limits the amount of profit that a firm can realize. However, given the documentation that as much as 50% of all on-site time is non-productive, the potential for that profits associated with eliminating or even reducing this nonproductive time is substantial. It is this potential profit that the general contractor seeks. In effect the general contractor takes on（承受）a lumpsum contract risk as a means of seeking a large profit. Naturally it also follows（必然是）that while having a potential for a significant profit on a job, the possibility of a significant dollar（财富）loss also exists. 相对于另一个方法（比如施工管理），总承包商自身可能偏爱该方法（总 承包），因为如果承包商有效地完成任务，就会有很多潜在利润。总承包对它 的服务一般签署总价合同。如果公司能以少于承包价建造该项目，全部的差价 就成为公司的利润。自然，竞标过程限制了公司能实现的利润值。但是，据文 献记载多达一半的现场时间是无生产效益的，则消除或甚至减少该无生产效益 的时间带来的潜在利润是很大的。这正是总承包商寻求的潜在利润。实际上， 总承包商以承受总价合同的风险作为寻求巨大利润的方法。自然，当一项工作 具有巨大的潜在利润时，它也必然存在巨大财富损失的可能。 14
The architect/engineer designer illustrated as part of the project team in Fig. 18-4 may also argue（表明）in favor of the general contracting process. In particular the architect/engineer designer may cite the benefit of only having to write contract documents for a single contractor rather than write contract documents for a series of multiple specialty contracts. In addition most designers would likely favor administering a single construction contract rather than multiple contracts. 如图18-4 中所示的建筑师/工程师设计人员，其作为项目 组的一部分可能也表明喜欢总承包的方法。特别是建筑师/工 程师设计人员可能列举了只须为单个承包商而不是一系列的多 个专业合同书写合同文件的好处。而且，多数设计师可能喜欢 管理单个施工合同而不是多个合同。
Independent of（与..无关）the project owner, the designer, or the general contractor, an independent party（独立方）might argue（认为） that the general contracting process enhances efficiency, technological change（科技进步）and free trade. Each and every bidder（投标人）in the general-contracting process has an equal opportunity to be low（低价） bidder for the owner’s project. Given the competitive bidding process, it can be argued（表明）that the contractor will seek out efficient means of performing construction methods to include seeking new technology and cost-control means. Given this fact, it follows that the general contracting process promotes a more cost-effective construction industry（建筑业）.
与项目业主、设计师或总承包商无关的某一独立方可能认为总承包方法 提高了效率、增进了科技进步和自由贸易。在总承包方法中每个投标人具有 同等的机会成为业主项目的低价投标人。通过竞标过程可以表明，承包商将 寻找有效的方法进行施工，包括寻求新的技术和费用控制的方法。鉴于这个 事实，则总承包方法必然促进了一个成本更有效的建筑业。
Negotiated Contracts 议标合同
As an alternative（另一选择）to the competitive bidding procedure, the potential owner or his architect/engineer may negotiate with（与..协商）a contractor for building the project. This contractor is usually chosen because of his skill, his reasonable price, and his dependability（可靠性）. In order to assure himself of work in a negotiated contract environment, the construction contractor must maintain a respectable reputation（不错的信誉）with potential construction project owners.
作为竞标方式的另一种选择，可能的业主或他的建筑师/工 程师可以与承包商协商来建造该项目。该承包商通常由于其技 能、合理的价格以及可靠性而被选择。为了确保其自身在一个 议标合同的环境下工作，工程承包商必须同可能的工程项目的 业主保持不错的信誉。 17
Negotiated contracts often have the advantage of producing better coordination（配合）between the owner, the architect/engineer, and the contractor. This improved（改进的） coordination often results in less construction delay time, better project quality, and savings in money for the owner.
议标合同常常具有在业主、建筑师/工程师和承包商之间形 成较好配合的优势。改进的配合常常导致较少的施工拖延时间、 较高的项目质量以及业主资金的节约。
By using a negotiated contract, construction on a project may actually start before the completion of the plans(设 计)and specifications（合同条款）. In this case, the owner signs a letter of intent（意向书）with the contractor. This letter of intent assures the contractor that he will be paid for his services, even though the final contract for the project has not been signed, owing to the lack of（没有）the finalization （最后决定）of the plans and specifications. The contractor is paid for his costs plus a negotiated fixed fee or percentage of the project’s costs.
通过采用议标合同，项目的施工实际上可以在设计和合同 条款完成之前开始。在这种情况下，业主与承包商签署一份意 向书。该意向书确保承包商将对他的服务获得支付，即使由于 没有最后定下设计和合同条款，项目的最后合同还未签定。承 包商获得其付出的成本加上一个协商的固定费用或项目成本的 某个百分比。 19
Arguments（观点）against negotiated contracts include higher contract prices and a lack of contractor incentive（鼓励）in finding new construction methods to do the job for a lower cost. The argument of higher owner project cost is debatable（有争议的）; i.e., competitive contract owner costs must include advertising and lettering（发信函）cost. In addition, the owner is more apt to（易于）get an irresponsible（不可靠 的）contractor in a competitive bidding procedure versus a negotiated contract procedure. Negotiated contracts are gaining popularity（普及）in the construction industry. However, the competitive bidding procedure remains the rule（统治）in awarding construction contracts.
反对议标合同的观点包括较高的合同价格，并缺乏鼓励承包商寻找新的 施工方法从而以较低的费用进行工作。业主较高的项目费用的观点是有争议 的；即业主竞争性合同的费用必须包括登广告和发信函的费用。而且，竞标 方式相对于议标合同方式，业主更易于获得不可靠的承包商。议标合同在建 筑业获得了普及。但是，在签定施工合同时竞标方式依然处于统治地位。
Contractor Responsibility to Owner 承包商对业主的职责
A single contractor will seldom construct an entire project for the project owner. This might only occur on a small project, such as a home owner hiring a contractor to pour a driveway（车道）. In this book, the construction project is meant to imply a somewhat large project; i.e., several（一些）trades（交易）or skills are required for the building of the project. Projects such as home building, industrial construction, highway construction, and dams require several（不同的）types of contracting skills. Owing in part to the restricted size（有限的规模）of contracting firms and the unfeasibility of overexpanding （过分扩张的不可能性）, the average construction contractor is usually restricted to a few skills or types of work which he can perform. As a result, projects which require several（各种） different types of labor trades（手艺）or skills will have several contractors. 单个承包商很少建造项目业主全部的工程。这只可能发生在小项目，如住 宅业主雇佣一个承包商浇灌一条车道。在本篇中，建筑项目意味着一个稍大 的项目；即项目的建造需要一些交易或技能。诸如住宅建设、工业建设、公 路建设以及水坝的项目需要不同类型的承包技能。部分是由于承包公司有限 的规模以及不可能过分扩张，一般的 工程承包商通常被限制于其能履行的一 些技术或工作类型上。因此，需要各种不同类型的劳动手艺或技能的项目必 须有不同的承包商。 21
In a normal contract, the owner will select a general contractor (either by a competitive bidding procedure or by negotiation). This general contractor will usually perform some of the actual project construction, but not all of it. Some states（规定）require that on their public construction projects, the general contractor perform, at least, a defined percentage （规 定的比例）of the actual construction. This is done with the intent of facilitating better overall project coordination between the project’s contractors. In the normal contract, the general contractor is given the responsibility of the entire project. On the other hand, the owner can hire a so-called（通常所说的）construction manager（工程项目经理）who recommends a need and a design, supervise the overall project (including financing), and coordinates the project’s contractors. Such an arrangement is referred to as a management contract or as construction management. 在一般的合同中，业主会选择一个总承包商（通过竞标方式或商议）。 总承包商通常会履行实际项目施工的一部分，但不是全部。有些规定要求对 公共建设项目，总承包商至少应履行实际建设的规定比例。这样做是为了更 好地促进整个项目在项目承包商之间的配合。在一般的合同中，总承包商对 整个项目负责。另一方面，业主可以雇佣通常所说的工程项目经理，他会建 议某个需要和某个设计，监督整个项目（包括筹措资金），并配合项目的承 包商。这样的安排称为管理合同或施工管理。
Designer – General Contractor Relationship 设计师与总承包商的关系
In the general contracting process, the project designer and general contractor each typically sign contracts directly with the project owner. However, whereas the designer contract with the project owner is typically an agency contract, the general contractor is engaged by the project owner via all independent contractor agreement（协议）.
在总承包过程中，项目设计师和总承包商一般各自直 接与项目的业主签定合同。但是，总承包商通过所有独立 的承包商协议而受项目业主的雇佣，而设计师与项目业主 的合同一般是代理合同。
In the general contracting process set out（展示）in Fig. 18-4, the general contractor and the project designer have no direct contract relationship. However, given the fact that the designer serves as the project owner’s agent, one might argue （认为）that the designer has the contract rights of the project owner and thus has an indirect contract relationship with the general contractor.
在图18-4中所展示的总承包过程中，总承包商与项目设计师 没有直接的合同关系。但是鉴于设计师作为项目业主的代理人， 可以认为设计师拥有项目业主的合同权，这样与总承包商有着间 接的合同关系。
In actuality the designer does not direct（指导）the actions of the general contractor and vice versa（反之亦然）. In fact, the designer typically goes out of its way（特意）not to direct the general contractor because the designer does not want to take on the liability（责任）for the general contractor’s actions or performance. For example, the designer’s on-site project representative does not attempt to advise the general contractor’s subcontractors directly or（否则）the designer may subsequently be subject to legal damages（法律赔偿金）.
实际上，设计师不指导总承包商的活动，反之亦然。事实上， 设计师一般不特意指导总承包商，因为设计师不想对总承包商的 活动或行动承担责任。例如，设计师的现场项目代表不会试图直 接建议总承包商的分包商，否则设计师可能随后易遭受法律赔偿 金。
While（尽管）the project designer does no “direct” the general contractor, the designer does have project administration-contract duties. In particular, the architect/engineer designer must “observe” the put-in-place （恰当的）construction of the contractor to determine that the work is compatible with the contract specifications. The designer must also aid the general contractor in the interpretation of the contract documents to include the drawings and specifications（说明）. It is also the designer’s duty to pass judgment on （评定）the amount of work completed by the contractor and to approve（核准）owner progress payments（分期付款）to the contractor.
尽管项目设计师不“指导”总承包商，但设计师确实具有项目管理合同 的职责。特别是，建筑师/工程师设计人员必须“观察”承包商恰当的施工， 以确定该项工作与合同条款的一致性。设计师也必须帮助总承包商解释合同 文件，包括图纸和说明。评定承包商已完的工作量和核准业主对承包商的分 期付款也是设计师的职责。
Given this somewhat “policing” role（管制角色）of the project designer in regard to the general contractor, on
occasion（有时）there has been somewhat of an adverse（敌 对）relationship between the designer and general contractor. This potential adverse relationship aids neither the project owner, the designer, nor the contractor. A spirit of cooperation is necessary between all these entities（实体）in the general contracting process to enable a project to be built on a time-and-cost budget and to satisfy the quality standards set out（列出） in the specifications. 鉴于项目设计师对于总承包商有点“管制”的角色，设计 师与承包商之间有时有一些敌对的关系。这种潜在的敌对关系 既无助于项目业主、设计师，也无助于承包商。在总承包过程 中所有的实体之间的合作精神是必须的，使项目能在预算的时 间和费用下被建造，并且满足合同条款中列出的质量标准。
Owner – Architect/Engineer Relationship 业主-建筑师/工程师的关系
Whether the owner of a project is an individual, a company, or a government agency, the owner is responsible for the definition（解释）of the project and establishment of the budget to finance it. Upon becoming interested in a potential project, the owner usually employs an architect to plan（规划）overall designs; others require an engineer to determine the most economical and safe design. In addition, many projects require the services of both an architect and an engineer. Projects designed solely（完 全地）by architects are referred to as building construction（建筑构造） projects, whereas products designed solely by engineers are referred to as engineering construction（工程建设）projects. From this point on, the individual or company the owner hires to design his project will be referred to as the architect/engineer.
无论项目的业主是个人、公司还是政府机构，业主负责解释项目和确定 预算以筹集资金。一旦对某一潜在的项目感兴趣，业主通常雇佣一位建筑师 规划整个设计；其余的需要一位工程师来确定最经济和最安全的设计。而且， 很多项目需要建筑师和工程师两方的服务。完全由建筑师设计的项目称为建 筑构造项目，而完全由工程师设计的成果称为工程建设项目。从这点上看， 业主雇佣的、为其设计项目的个体或公司将称为建筑师/工程师。 28
The architect/engineer is responsible for the drawings and specifications for the owner’s projects and for supervision of construction of the project. The owner usually pays the architect/engineer on an hourly basis, a fee as a percentage of the total cost, or on a fixed fee basis. The architect/engineer is most commonly（常见）chosen through negotiation rather than through a competitive bidding process. Some large projects do have a competitive bidding procedure to determine the architect/engineer. However, it is much more common for a potential project owner to seek out（找到）an architect/engineer on the basis of his past performances（业绩）. The reputation of an architect/engineer is an extremely important attribute（品 质）when he is seeking work with（与..合作）potential project owners.
建筑师/工程师负责业主项目的图纸和说明，以及负责监督项目的施工。 业主通常给建筑师/工程师的工资以每小时、总费用的一个百分比费用或固 定的费用来支付。选择建筑师/工程师最常见的是通过协商而不是通过竞标 过程。一些大型的项目确实通过竞标过程来确定建筑师/工程师。但是，对 潜在的项目业主，更常见的是根据其过去的业绩找到建筑师/工程师。当建 筑师/工程师在寻找与潜在的项目业主一起合作时，其信誉是一项非常重要 的品质。
Although in most cases the construction project owner, the architect/engineer, and the contractor are three separate （独立）individuals or firms, some projects will have the architect/engineer internal to（属于）the owner’s company or organization. Many large corporation（公司）(e.g., Procter and Gamble宝洁) design and supervise their own construction projects. In such instances, the owner and architect/engineer become one and the same（同一个）individual or company.
虽然工程项目的业主，建筑师/工程师，以及承包商在绝大 多数情况下是三个独立的个体或公司，但是某些项目的建筑师/ 工程师属于业主的公司或机构的。许多大型公司（如宝洁）自 己设计并监督他们的工程项目。在这种情形下，业主和建筑师/ 工程师成为同一个个体或公司。
通过一篇Reading Material的学习，进一步了解工程管 理（CM）中所涉及的内容。