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SCHEDULE 17
CONTRACTOR CLAIM SUBMISSION AND RESOLUTION PROTOCOL

1. CLAIM SUBMISSION FORMAT

1.1 All claims shall be submitted to the Engineer for consideration in an organized format
so as to permit the Engineer to evaluate the claim(s) in the most efficient manner.

1.2 The Contractor shall submit the claim in a format that:

(a) separates any delay claim (request for an extension of time) from other
claims for additional costs, including, for example, prolongation costs,
variation costs, disruption costs, suspension costs, acceleration costs;

(b) provides details of each claim in a “Delay Narrative” and “Cost

Narrative” (described below) set out in separate sections (or chapters) of
the claim submission;

(c) ties each head of claim to a contractual provision;

(d) specifically identifies the contractual notice provided as to each

delaying, cost, or other event pursuant to the contractual notice
provisions in the relevant contract or alternatively acknowledges
instances where no notice was provided;

(e) in the case of delay claims, describes the delay analysis methodology
adopted; which in all instances ought to determine the actual critical
path(s) first, and the causes of actual delay to the actual critical path
second;

(f) contains demonstrations and back-up calculations (in native form of

whichever software is used) for the determination of the actual critical
path and accrual of delays suffered thereon;

(g) contains all factual evidence (referenced in footnotes that describe the
evidence and location of the source documentation in the Contractor’s
submission) in support of the delay analysis and causes of delay
described in the claim including (but not limited to) progress reports,
relevant Project correspondence, programme files etc.; and

(h) contains detailed cost data sufficient to substantiate all amounts claimed.

1.3 For each claim for an extension of time, the Contractor shall further submit a “Delay
Binder” that

(a) for projects that are near or have been completed or terminated, contains
a narrative of the cause(s) of delay to the actual critical path (the “Delay
Narrative”) that:

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(i) identifies the appropriate baseline programme, that will inform

the planned intent, initial planned critical path and serve to
measure the extent of delay;

(ii) analyses the route of the actual critical path for the Works from
inception up until the date of the submission of the claim by
applying common sense and construction logic as opposed solely
relying on software led calculations and considering (1) the
contemporaneous schedules (and the purposes for which these
schedules were developed), (2) the necessary sequence of work,
dictated by the practical considerations at the time, (3) the
sequence by which the systems are to be completed and
commissioned, and (4) detailed progress and volume of work
information.

(iii) determines through comparison of as-planned and as-built dates

the extent and incidence of delay on the critical path activities
identified above, to be tabularized as set out below:
Time Start date End date Period or Measurement Description of Actual Cumulative
period of time of time window date (from measurement delay in actual delay
ref. or period/ period/ duration baseline) point period
window window window

Where applicable and possible the time period or window could be broken down into sub-periods

(iv) demonstrates the effect and cause relationship between actual

critical path delay and the event(s) that caused it, and provides a
detailed description of the cause(s) of delay, which should all be
summarized as per the table below:
Time Start date End date Actual Cumulative Description of cause of delay
period of cause of cause delay in actual delay
ref. or period
window

For time periods or windows where multiple delay causes exist, each delay cause should be identified and detailed
using the above table format

(v) cites to all documentary evidence upon which the Contractor

relies to support the effect and cause demonstration and detailed
description of the cause(s);

(vi) explains the contractual provisions upon which the Contractor

relies;

(vii) identifies the time requested;

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(viii) identifies the additional amounts requested relating to the cause

of delay, if any, with reference to the relevant Cost Binder, as
explained below;

(b) for projects that are in-flight, where critical delay is assessed at the time
the critical delays are identified, contains a narrative setting out the
cause(s) of critical delay to the project (the “Delay Narrative”) that

(i) identifies the appropriate baseline programme(s) used for the

assessment and the route of the actual critical path for the Works
from inception up until the in-flight date;

(ii) provides an assessment as at the in-flight date of where the actual

critical path is and how the works to completion will proceed.
This assessment ought to be qualitative in the form of a logical
narrative and quantitative in the form of a programme update as
at the in-flight date which will contain detailed as-built
information and logic links to all in-flight and future activities;

(iii) for the period from inception up until the in-flight date, follows
provisions 1.3 (a) (ii) to 1.3 (a) (vi) as above;

(c) provides explanations for any actual acceleration or mitigation measures

implemented during the Project insofar as is relevant to the claim;

(d) provides the project punch list, if any;

(e) appends a table of documents referenced in the Delay Narrative, with

the documents described with reference to their dates, reference
numbers and titles and/or subjects (e.g. Exhibit A to the Delay Narrative
(“Table of Referenced Documents”));

(f) appends copies of all contractual notice provided with respect to the
particular cause(s) of delay (e.g. Exhibit B to the Delay Narrative
(“Notice”));

(g) appends all documents referenced in the Delay Narrative and referenced
on the Table of Referenced Documents (e.g. Exhibit C to the Delay
Narrative (“Supporting Documents”));

1.4 Generally, for any claims for additional costs, the Contractor shall submit “Cost
Binder(s)” that

(a) is clearly labeled with the category of costs sought, i.e. “Variation Order
Costs”, “Site Overhead Costs”, “Head Office Overhead Costs”, etc.;

(b) contains a detailed narrative of the reasons for the additional costs
claimed (the “Cost Narrative”) and where the costs are prolongation
related, identifies the reasons why the additional amounts requested
relate to identified cause(s) of delay and a confirmation that the costs

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requested are for costs incurred at the time of the delay and not during
the extended contract period;

(c) appends a table of documents referenced in the Cost Narrative, with the
documents described with reference to their dates, reference numbers
and titles and/or subjects (e.g. Exhibit A to the Cost Narrative (“Table
of Referenced Documents”));

(d) appends copies of all contractual notice provided with respect to the
particular categories of additional costs (e.g. Exhibit B to the Cost
Narrative (“Notice”));

(e) appends all documents referenced in the Cost Narrative and referenced
on the Table of Referenced Documents (e.g. Exhibit C to the Cost
Narrative (“Supporting Documents”));

(f) appends all supporting cost data (e.g. Exhibit D to the Cost Narrative
(“Cost Data”));

(g) appends all calculations for each category of extra costs claimed (e.g.
Exhibit E to the Cost Narrative (“Cost Calculations”)).

1.5 Specifically, for any claim for extra costs arising from variations/changes to the
original scope of works, the Cost Binder must include:

(a) a table of all open variation order requests that specifies at least the
following information:

VO Date Works Works EOT Prolongation Employer Contractor Payments Notice

# Req Started Completed Req Costs Req valuation valuation made

(b) all requests for variations to the contracted works (whether requested by
the Contractor, Employer, Employer’s Representative or Engineer);

(c) the Contractor’s response to any request for variations to the contracted
works (including any contractor proposals) (presented with the
corresponding variation order request);

(d) all signed variation order or change orders (presented with the
corresponding variation order request);

(e) any and all notices of claim given by the Contractor (presented with the
corresponding variation order request);

(f) all contemporary records to substantiate the request for extra costs due
to changes (presented with the corresponding variation order request);

(g) the fully detailed claim submitted by the Contractor pursuant to the
relevant provisions of the contract (presented with the corresponding
variation order request);
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(h) any response received from the Employer, Employer’s Representative

or Engineer relating to the Contractor’s request for extra costs (presented
with the corresponding variation order request);

(i) all cost documentation and calculations, to the extent not submitted
through item (e) above (presented with the corresponding variation
order request);

1.6 For any claim for site overheads, the Cost Binder must include

(a) the legal basis;

(b) a narrative of the delay event that obliged the Contractor to incur
additional site overheads;

(c) the fully detailed claim submitted by the Contractor pursuant to the
relevant provisions of the contract;

(d) any response received from the Employer, Employer's Representative or

Engineer relating to the Contractor's request for site overheads;

(e) a list of all categories of site costs claimed;

(f) a list of staff (and designation) it claims and the durations claimed for
each staff member;

(g) the build-up of staff costs (all costs claimed for employment of staff);

(h) details regarding the plant and equipment claimed including ownership
details and dates plant and equipment were mobilised to site;

(i) the extent to which allowances for plant and equipment were included
within any change order request, variation order request, or the like;

(j) all contemporaneous records including cost data to support the amounts
claimed (e.g., payroll, monthly cost summaries for items specifically
identified as being claimable, ledger for the Project (extracted to excel),
invoices / purchase orders in support of the Project ledger entries and/or
plant/equipment claimed, evidence of staff and plant/equipment on the
Project e.g. daily/weekly/monthly staff and plant returns/timesheets etc.
approved by the Engineer or Employer contemporaneously);

(k) the extent to which site preliminaries are included within any change
order requests, variation order requests, or the like;

1.7 For any claim for head office overheads and profit, the Cost Binder must include

(a) the legal basis (particularly for recovering loss profits);

(b) a narrative of the delay event that obliged the Contractor to incur
additional head office overheads;

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(c) the fully detailed claim submitted by the Contractor pursuant to the
relevant provisions of the contract;

(d) any response received from the Employer, Employer's Representative or

Engineer relating to the Contractor's request for head office overheads;

(e) copies of the Contractor’s audited accounts for years for which the
Contractor requests head office overheads;

(f) evidence that but for Employer-caused delay, the Contractor would have
secured other head office overhead earning work (e.g. tenders received,
tenders declined);

(g) documents demonstrating that there was no increase in turnover that

would mitigate any lost contribution to head office overhead;

(h) documents that explain the existence of any additional overhead

contributions recovered through variations/additional work which
should be set-off against any unabsorbed head office overhead claim;

(i) explanation of the method used to calculate additional head office

overhead and profit;

1.8 For any claim for financing costs, the Cost Binder must include

(a) the legal basis;

(b) proof of funding and funding arrangements;

(c) proof of payment of finance costs on any withheld retention during

prolonged contract period;

(d) an explanation of how the Employer’s actions caused the Contractor to

require additional funding;

1.9 For any claim for disruption, the Cost Binder must include

(a) the legal basis;

(b) a narrative of the disruption event(s) that are the responsibility of the
Employer that obliged the Contractor to incur additional costs;

(c) a description of the disruption analysis relied upon and justification for
use of such analysis;

(d) the fully detailed claim submitted by the Contractor pursuant to the
relevant provisions of the contract;

(e) any response received from the Employer, Employer's Representative or

Engineer relating to the Contractor's request for disruption costs;

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(f) all contemporaneous cost data to support the amounts claimed (e.g.,
manpower records and actual costs paid to labour resources);

1.10 For any claim for acceleration, the Cost Binder must include

(a) the legal basis;

(b) a narrative of the actual acceleration event(s) that obliged the Contractor
to incur additional costs;

(c) the fully detailed claim submitted by the Contractor pursuant to the
relevant provisions of the contract;

(d) any response received from the Employer, Employer's Representative or

Engineer relating to the Contractor's request for acceleration costs;

(e) all contemporaneous cost data to support the amounts claimed (e.g.,
overtime payments made, additional mobilization costs, proof of loss
relating to loss of efficiency);

1.11 For any claim for suspension, the Cost Binder must include

(a) the legal basis;

(b) a narrative of the actual suspension events (with dates);

(c) the fully detailed suspension claim submitted by the Contractor pursuant
to the relevant provisions of the contract;

(d) any response from the Employer, the Employer’s Representative or

Engineer relating to the Contractor’s suspension claim;

(e) all contemporaneous cost data to support the amounts claimed (e.g.,
actual invoices and/or payroll information for the resources impacted by
the suspension);

1.12 For any claim relating to interim payments, the Cost Binder must include

(a) all interim payment certificates issued throughout the project;

(b) a narrative of the claims relating to requests for interim payments;

(c) all supporting Project correspondence;

1.13 For any claim for material escalation, the Cost Binder must include

(a) the reasons the Contractor could not procure the Works as planned and
the reasons for which procurement was pushed out leading to escalation
prices;

(b) the basis of the Contractor’s original price assumptions and the material
it procured (i.e., the tender price assumptions);

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(c) demonstration of any mitigation measures the Contractor took;

(d) details of allowances, if any, the Contractor agreed with its suppliers;

(e) a demonstration that any material escalation claim does not overlap with
any claim relating to additional costs under change order requests,
variation order request, or the like;

1.14 For any claim relating to subcontractor claims, the Cost Binder must include

(a) copies of the subcontractor agreements;

(b) copies of the subcontractor claims;

(c) explanation of how the Employer caused the subcontractor delay for
which the subcontractor claims payment as per provision 1.3 of the
Protocol;

1.15 For any claim relating to provisional sums, the Cost Binder must include

(a) a copy of any dilapidation survey prepared by or for the Contractor;

(b) substantiation of the requested amounts, including submission of all

relevant cost documentation to support the claim.

1.16 The Contractor shall waive any right to confidentiality with respect to the cost data to
support any of the amounts to which it seeks compensation in its claim;

2. CLAIM WORKSHOP(S)

2.1 Upon submission of the claim in compliance with Part 1 above, the Engineer and the
Contractor shall prepare for a workshop (or workshops as the case may be) to take place
four (4) weeks, or at such other time as the Parties may agree, from an initial Kick-Off
Meeting (the “Claim Workshop(s)”).

2.2 The objective of the Claim Workshop(s) shall be for the Parties to:

(a) agree the appropriate baseline programme and the route of the actual
critical path for the relevant contract works from inception up until the
cut-off date of the claim;

(b) agree the extent of delay on the critical path;

(c) agree the actual causes of delay to the critical path;

(d) agree the delay events submitted for evaluation by the Contractor;

(e) discuss the quantum documentation that the Contractor will rely on to
support its additional cost claim(s) and the Employer’s requirements
regarding actual costs documentation, including the location for any
uploading of such documentation to a dedicated Data Room; and

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(f) determine the format and content of the submission by the Contractor of
a revised and claim for consideration by the Engineer.

2.3 [•] shall attend the Claim Workshop.

3. FINAL CLAIM

3.1 Within [•] days after the completion of the Claim Workshops, or by such other date as
the Parties may agree, the Contractor shall prepare a revised and final claim (the “Final
Claim”) that takes into consideration and incorporates the Parties’ discussions and
agreements reached during and as a result of the Claim Workshop and the contents of
this Protocol.

3.2 The Contractor shall submit the Final Claim in substantially the format set out at Clause
0, unless otherwise agreed during the Claim Workshops.

4. FINAL CLAIM MEETING

4.1 The Parties agree to attend and participate in a final claim meeting within [•] days after
the submission of the Final Claim, or at another time to which the Parties may agree,
(the “Final Claim Meeting”) for the purpose of finalizing the amounts due, if any,
under the Final Claim.

5. EXCLUSION OF CLAIM

5.1 The Parties agree that the requirements of this Schedule 17 (Contractor Claim
Submission and Resolution Protocol) are in addition to those of the Contract which may
apply to a claim. If the Contractor fails to comply with this Schedule 17 (Contractor
Claim Submission and Resolution Protocol) or the Contract in relation to any claim,
any extension of time and/or additional payment shall take account of the extent (if any)
to which the failure has prevented or prejudiced proper investigation of the claim,
unless the claim is excluded under Sub-Clause 20.1.2 of Schedule 2 (General
Conditions).

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