国际项目中的争端解决

Disputeresolutionininternationalprojects国际项目中的争端解决JohnBishop庄本信品诚梅森律师事务所CommonFormsofDisputeResolution/争端解决的一般形式Multi-tierclauses/多级条款•Multi-tierdisputeclausesarenowverycommon多级争端条款目前非常常见•Contractorsneedtounderstandthevariousformsofdisputeresolutioninorder承包商需要了解争端解决的各种形式，以便–tomaketherightselection做出正确的选择–tounderstandtheselectionthathasbeenmade了解所做出的选择–tooperatethedisputesclauseeffectivelyifadisputeoccurs如果发生争端，能够有效地使用争端条款•Whatisamulti-tierdisputesclause?什么是多级争端条款？CommonFormsofDisputeResolution/争端解决的一般形式Today’stalk/今天的演讲•Today,wewill今天，我们将–Lookatsomeformsofdisputeresolutionusedincertainstandardcontracts看看一些格式合同中使用的争端解决形式–Describetheseprocesses描述这些程序–Considersomeoftheadvantagesanddisadvantages讨论一些优缺点–Illustratesomeissuesbyrealexamples以实例来描述一些问题–DiscusssomeissuesthatarerelevanttoArbitration讨论与仲裁有关的一些问题CommonFormsofDisputeResolution/争端解决的一般形式Today’stalk/今天的演讲•TheHongKongGovernmentFormofConditionsforCivilEngineeringWorks香港政府土木工程标准合同–DecisionbytheEngineer/工程师的决定–Mediation/调解–Arbitration/仲裁•FIDICRedBookandSilverBook/FIDIC红皮书和银皮书–DisputeAdjudicationBoards/争端裁决委员会–AmicableSettlement/友好解决–Arbitration/仲裁•NEC3–Adjudication/裁决–Tribunal(usuallyArbitration)/裁判庭（常为仲裁）Arbitration仲裁•MostformsofMulti-tierdisputesclausefinishwithArbitration多数多级争端条款以仲裁结尾–Theotherprocessesareintendedeither/其他程序旨在•toresolvethedisputewithouttheneedforarbitration在无需仲裁的情况下解决争端•tofindaninterimsolutionthatwillbetemporarilybindingbutcanbereviewedinarbitrationlater或达成一个暂时具有约束力、但可在之后的仲裁中重新审议的临时办法•Arbitration/仲裁–Aprivatedecisionmakingprocess/一个非公开的决策程序–Almostalwaysfinalandbinding/几乎总是最终的且具有约束力的–Adecisionbyoneorthreearbitrators/由一名或三名仲裁员做出裁决–Usuallyinvolveswrittenstatementsofeachparty’sposition通常涉及各方观点的书面陈述–Aformalhearing/一个正式的听证–Oftenwitnessesbothastothefactsandexperts/通常有事实和专家证人–Oftenslowandexpensive/通常慢且贵TypicalDisputesClauses-TheHongKongGovernmentForm/典型争端条款-香港政府标准合同•ThispartoftheclauseisthesameastheoldFIDICRedBook该部分的条款与原FIDIC红皮书中的条款相同“IfanydisputeordifferenceofanykindwhatsoevershallarisebetweentheEmployerandtheContractor…….itshallbereferredtoandsettledbytheEngineerwhoshallstatehisdecisioninwriting.……SuchdecisionshallbefinalandbindingontheContractorandtheEmployerunlessanduntil..revisedinmediationorarbitration…..“Ifthemattercannotberesolvedbymediation,orifeithertheEmployerortheContractordonotwishthemattertobereferredtomediation,theneithertheEmployerortheContractormaywithin[90]daysrequirethatthemattershallbereferredtoarbitration”“如果雇主和承包商之间发生任何类型的争端或分歧…….应将该争端或分歧交由工程师解决，工程师的决定应以书面形式作出。……除非经调解或仲裁加以修改，该决定对承包商和雇主具有最终约束力。……如果该事项不能以调解解决，或者如果雇主或承包商不希望将该事项提交调解，则雇主或承包商可在[90]天内请求将该事项提交仲裁。”CommonFormsofDisputeResolution–Engineers’Decisions/争端解决的一般形式–工程师的决定•TheEngineerwasthenormalwaythatalldisputesunderengineeringcontractswereresolved.Stillaverycommonclause.过去工程合同产生的所有合同一般由工程师解决。现在依然如此。•Problems/问题–Engineersareoftenbeingaskedtoreviewtheirowndecisions工程师常被要求审查他自己做出的决定–Engineersveryoftenclearlynotimpartial/工程师很明显常常并不是中立的–Engineersaremoreconcernedabouttheirownpositions工程师考虑更多的是他们自身的利益–RisktoContractorwhodoesnotclearlyandcomprehensivelysetouttheissue(discussedlater)承包商不能清楚全面地陈述问题则会带来风险（稍后讨论）–Contractorcanmakeareferenceandgetadecisionwithoutrealisingitssignificance承包商可能提交了某事项并得到了一个决定，但并未意识到其重要性CommonFormsofDisputeResolution–Engineers’Decisions–anexample/争端解决的一般形式–工程师的决定–一个例子•GermanContractorfacingproblemsduetoincreasingweightinsilo德国承包商面临贮存室重量加大引起的问题•LengthydebatewithEngineerontechnicalmatters与工程师就技术问题进行冗长的争论•EventuallyContractorrefusestocontinuewithworkandtellsEngineerto“decide”whatworkshouldbedone最终承包商拒绝继续工作，并让工程师“决定”该做什么工作•Engineer“decides”andindoingsoreferstothedisputesclause工程师“做出决定”，在此过程中引用了争端条款•ContractorrefusestodowhattheEngineersaysandleavessite承包商拒绝依工程师的决定行事，并离开现场•Issue:HadtheEngineerofferedan“opinion”aspartoftheongoingdebateorhadhegivena“decision”?问题：工程师提出的是正在进行的争论中的一个“意见”，还是一个“决定”？CommonFormsofDisputeResolution–Engineers’Decisions–anexample/争端解决的一般形式–工程师的决定–一个例子•PalaceinoneoftheGulfStates海湾某国的一个宫殿•LongdelayswhichContractorsaysareduetovariationsandclaimstheextracostaspartofthevariation长久的延期，承包商认为延期由变更引起，并就变更引起的额外费用提出索赔•Engineerrejectsclaimonbasisthatthereisnovariation工程师驳回索赔，因不存在变更•Contractorstartsarbitrationandlaterchangeslawyers承包商启动仲裁程序，之后更换了律师•Newlawyerswanttoalsomakealternativeclaimsfordamagesandforthecostofdisruptionduetolateinstructions新的律师希望以损害赔偿和指示延误为由提出索赔•EmployersaysthattheArbitratoronlyhasjurisdictionovertheclaimsthatweresubmittedtotheEngineerandinrespectofwhichaNoticeofDissatisfactionwasgiven雇主认为，仲裁员仅有权裁决之前提交给工程师并发出过不满的通知的索赔TypicalDisputesClauses-TheHongKongGovernmentForm(cont’d)/典型争端条款-香港政府标准合同（续）•ThispartisnotlikeFIDIC该部分不同于FIDIC“Iftheengineershallfailtogivesuchdecisionforaperiodof28days..orifeithertheEmployerortheContractorbedissatisfiedwithanysuchdecision…eithertheEmployerortheContractormaywithin28daysof…suchdecisionortheexpiryofthesaiddecisionperiodrequestthatthematterbereferredtomediationinaccordancewithTheGovernmentoftheHongKongSpecialAdministrativeRegionConstructionMediationRules…..”“如果工程师未在28天内作出上述决定..或者如果雇主或承包商对上述决定不满意…雇主或承包商可在上述决定作出后