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  • 8 . 中華民國仲裁協會工程爭議裁決程序規則 CAA Construction DAB Rules

    In force as from 1 December 2016.
    Approved by CAA Board, 8th session of the 16th term (1 December 2016).

    Article 1 (Scope of CAA Construction DAB Rules)

    • The Construction Dispute Adjudication Board Rules of the Chinese Arbitration Association, Taipei (“the Rules” or “CAA Construction DAB Rules”) apply where the parties agree to resolve their construction dispute in accordance with the Rules. If the parties agree otherwise, that agreement shall prevail.

    Article 2 (Composition of Dispute Adjudication Board)

    • Unless the parties agree otherwise, the Dispute Adjudication Board (“the Board”) shall be constituted in accordance with the following procedures.
      • (1) The Board shall consist of one or three members
      • (2) If the parties have agreed on three members for the Board, each party shall nominate at least five members from the CAA Register of Construction DAB Members at the time of the parties’ signing contract or within 28 days after any party’s submission of the Request for Dispute Adjudication and shall send this list to the otter party.
      • (3) Within 29 days after receiving such list, each party shall choose one member from the other party’s list as the member appointed by that other party.
      • (4) If a party fails to nominate members in accordance with Article 2(2), the other party may appoint one member on behalf of the defaulting party from the CAA Register of Construction DAB Members.
      • (5) If a party fails to choose one member from the other party’s list in accordance with Article 2(3), the other party may request CAA to appoint one member from such list.
      • (6) The two appointed members shall jointly choose the third member as the presiding member of the Board within 29 days after the second member’s appointment.
      • (7) If the two appointed members fail to jointly choose the presiding member in accordance with the preceding paragraph, any party may request CAA to appoint the presiding member from the CAA Register of Construction DAB Members.
      • (8) If the parties have agreed on a sole member for the Board, they shall jointly appoint the sole member from the CAA Register of Construction DAB Members at the time of their signing contract or within 28 days after any party’s submission of the Request for Dispute Adjudication. If the parties fail to jointly appoint within the time limit, any party may request CAA to appoint the sole member from the CAA Register of Construction DAB Members.
      • (9) The Board is constituted upon the signing of a CAA Construction DAP Tripartite Agreement by all parties and appointed members.

    Article 3 (Filling Vacancy of Members)

    • In the event of a member’s withdrawal, resignation, illness, death, removal or termination by parties’ agreement or other reasons of vacancy, a substitute member shall be appointed pursuant to the procedures applicable to the appointment of the member being replaced, unless the parties agree otherwise. The new member shall sign the Tripartite Agreement with the parties, and agree to perform his or her functionsin accordance with the Tripartite Agreement.
    • The vacancy replacement of member(s) shall not affect the other members’ capacity to perform their duties independently.
    • During the vacancy replacement of member(s), the other members shall continue to perform their functions except the dispute adjudication process. However, this will not apply if the parties agree otherwise in writing.

    Article 4 (Costs of Construction Dispute Adjudication Process)

    • Where the parties request CAA for the Board’s composition, they shall pay to CAA the deposit for the Board’s operational costs. Where the parties request for the Board’s dispute adjudication, they shall also separately pay to CAA the deposit for the Board’s adjudication costs.
    • Where the parties request CAA for the Board’s composition, they shall pay to CAA the deposit for the Board’s operational costs. Where the parties request for the Board’s dispute adjudication, they shall also separately pay to CAA the deposit for the Board’s adjudication costs.

    Article 5 (Independence and Challenge of Members)

    • A member shall immediately disclose in writing to all parties any circumstances that may give rise to the parties’ justifiable doubts as to his or her independence and impartiality.
    • A party who intends to challenge a member shall, within seven days after receiving a member’s written disclosure or becoming aware of the circumstances giving rise to the challenge, submit to CAA a written request for challenge stating the reasons for the challenge. CAA shall decide on the challenge after consulting with the other parties and the Board within 14 days after receiving the request for challenge. CAA’s decision shall be final and conclusive.
    • If a member fails to disclose or withdraw in accordance with this Article and CAA sustains the challenge, the parties may terminate the appointment of the successfully challenged member in accordance with the Tripartite Agreement.

    Article 6 (Termination of Appointment)

    • The parties may agree to jointly terminate the appointment of any member or dismiss the Board at any time. The parties shall pay the members’ fees and expenses as determined by CAA in accordance with the actual work status, the Tripartite Agreement, and the Payment Arrangement for Construction DAB Process.
    • Any member may terminate his or her appointment at any time by giving a written notice to the parties.
    • Any member shall immediately cease his or her work after receiving the parties’ notice of termination of appointment or the Board’s dismissal.

    Article 7 (Confidentiality)

    • Any information obtained by the members during in the course of the Board’s activities shall be kept by the members as confidential, unless the parties agree or the applicable law provides otherwise.

    Article 8 (Meetings)

    • Within 20 days after the appointment of the presiding member the board shall set a date for the first meeting for the parties to present on the construction project’s background, planning, design, implementation program, and other related information. During such meeting, the Board and the parties may also discuss matters relating to the Board’s subsequent operation.
    • After the first meeting, the Board may hold additional meeting(s) if it considers necessary or if requested by the parties.

    Article 9 (Periodic Review of Construction data)

    • A party shall periodically, or at the Board’s request, provide information relating to the progress of the construction project, with copies to the other party.

    Article 10 (Site Visits)

    • The Board shall conduct site visit(s) in accordance with the Tripartite Agreement.
    • After each site visit, a party shall make specific response or provide relevant information at the Board’s request or inquiry, with copies to the other party.

    Article 11 (Advisory Opinions)

    • The Board may, at the request of all parties, provide advisory opinion(s) on the performance of the construction contract(s). However, the parties shall not have any ex parte consultation with the Board or any member.
    • The parties shall not request the Board to use any advisory opinion provided in the preceding paragraph as the basis for making the adjudication decision

    Article 12 (Request for Dispute Adjudication)

    • If a dispute arises between the parties, any party may submit the dispute to the Board for adjudication.
    • The requesting party shall submit a Request for Dispute Adjudication to the Board with a copy to the other party, which shall include the following items:
      • (1) the names and addresses of the parties; the name and office, place of business or operation of any party that is a legal person or other organisation or institution;
      • (2) the names and addresses of any representatives if any;
      • (3) the issues and facts of the dispute;
      • (4) the relevant contract(s) and legal basis;
      • (5) any suggestion or proposal for dispute resolution; and
      • (6) any necessary evidentiary documents, diagrams and other information.
    • The requesting party shall also provide a power of attorney or other proof of authority if he appoints any representatives.

    Article 13 (Response to Request for Dispute Adjudication)

    • Within seven days after receiving a copy of the Request for Dispute Adjudication, the other party (the responding party) shall submit a Response to Request for Dispute Adjudication and related documents to the Board, with copies to the requesting party.
    • If the responding party fails to submit a Response to Request for Dispute Adjudication in accordance with the preceding paragraph, the Board may nevertheless proceed with the dispute adjudication process.

    Article 14 (Conduct of Hearings)

    • Upon expiry of the time limit for Response to Request for Dispute Adjudication, the Board shall hold hearings and notify all parties to attend and present their case.
    • The Board shall conduct the hearings fairly and impartially, giving all parties reasonable opportunity to present their case. Any party’s failure to attend the hearings shall not affect the dispute adjudication process.
    • The parties may appoint representatives to attend the hearings, and shall provide a power of attorney or other proof of authority.
    • The representatives shall not examine or cross-examine any party-related personnel without the Board’s approval.
    • The Board may conduct the hearings in such manner as it considers appropriate, including but not limited to the following:
      • (1) question the parties and relevant personnel;
      • (2) request the parties to submit additional related documents and written statements;
      • (3) conduct site visits; and
      • (4) use other procedures for expeditious dispute resolution.
    • The Board may declare the hearings closed when it considers that it can make an adjudication decision on the dispute.

    Article 15 (Time Limits for Adjudication Decision)

    • Unless the parties agree otherwise, the Board shall close the hearings within three months after receiving the Request for Dispute Adjudication. However, the Board may extend the time limit up to one month if necessary.
    • Unless the parties agree otherwise, the Board shall make its adjudication decision within five days after the closure of hearings, and shall render a written adjudication decision with reasons within 14 days after the closure of hearings.
    • The following rules apply to adjudication decision made by a Board consisting of three members.
      • (1) The Board shall hold deliberations promptly after the closure of hearings.
      • (2) The Board shall endeavor to reach unanimous adjudication decision or, failing such unanimous decision, make adjudication decision by a majority of members.
      • (3) If a member fails to attend deliberations or perform his or her duties, the other two members may nevertheless make adjudication decision.
    • The written adjudication decision shall be signed by at least two members and sent to all parties.
    • Where the Board consists of a sole member, that sole member shall sign and send the adjudication decision to all parties.

    Article 16 (Conversion into Mediation Process)

    • After a party requests dispute adjudication, the Board and CAA may, at a party’s request and with the other party’s consent, convert the dispute adjudication process into mediation process by recording in the Tripartite Agreement that the members are mediators appointed by the parties. The dispute adjudication process terminates upon conversion into mediation process.
    • The CAA Mediation Rules and related regulations shall apply to such mediation, whereby the mediators provide settlement recommendations. If the mediators are qualified arbitrators, Article 45 of the Arbitration Law of Taiwan will govern the force and effect of any settlement agreement. If the mediators are not qualified arbitrators, CAA may, at the parties’ request, provide the forum for the notary public to make the settlement agreement into a notary deed in accordance with Article 13.1 of the Notary Act of Taiwan. The Notary Act and other related regulations govern the notarization process and notarial fees.

    Article 17 (Effect of Adjudication Decision)

    • If the parties have agreed in writing that adjudication decision is to be final and binding, such adjudication decision will become final and binding on all parties immediately after it is rendered. The parties shall comply with the Board’s adjudication decision after receiving such decision. The same applies to any reconsideration or correction of such decision by the Board.
    • The following provisions apply if the parties have not agreed on the effect of adjudication decision.
      • (1) The adjudication decision is temporarily binding on the parties upon the parties’ receipt and the parties shall comply with it promptly. If none of the parties submits any written objection to the adjudication decision within 28 days after receiving the adjudication decision, the adjudication decision is deemed to be final and binding on all parties. Both parties agree to perform their functions pursuant to the decision.
      • (2) The party objecting to the adjudication decision shall, within 28 days of receiving the adjudication decision, submit to the Board a written objection to the adjudication decision stating the facts of the dispute and the reasons for its objection, with copies to the other party.
      • (3) If any party submits a written objection to the adjudication decision within 28 days of receiving the adjudication decision, or if the Board has not made the adjudication decision within the time limit prescribed in Article 15, the parties may proceed with subsequent dispute resolution process in accordance with their contract or applicable laws.
      • (4) The adjudication decision remains binding on the parties in the subsequent dispute resolution process. The adjudication decision ceases to be binding if it is not sustained by the decision of the subsequent dispute resolution process.
    • The parties may agree to use such facts and reasons as stated in the Board’s adjudication decision, together with whole file and all evidences in the subsequent process of mediation, arbitration or litigation.

    Article 18 (Interpretation of Adjudication Decision)

    • Within seven days after receiving the adjudication decision, a party may submit a written request to the Board for an interpretation of a specific point or part of the adjudication decision, with copies to the other parties.
    • Within 14 days after receiving such request, the Board shall give a written interpretation to all parties. Such interpretation shall form part of the adjudication decision. The time limit of 28 days prescribed in Article 17.2 shall commence on the date when all parties have received such written interpretation.
    • For each adjudication decision, each party can only submit one request for interpretation.

    Article 19 (Reconsideration of Adjudication Decision)

    • Within seven days after receiving the adjudication decision, any party may submit to the Board a written request for reconsideration, if it finds any evidence that had not been considered during the hearings and such evidence would have had sufficient influence on the adjudication decision.
    • Within seven days after receiving such request, the Board shall decide whether or not to proceed with the reconsideration and shall notify all parties in writing.
    • If the Board decides to reconsider its adjudication decision, it shall make a reconsidered decision within 14 days after receiving the request. The time limit of 28 days prescribed in Article 17.2 shall commence on the date when all parties have received such reconsidered decision.
    • For each adjudication decision, each party can only submit one request for reconsideration.

    Article 20 (Correction of Adjudication Decision)

    • The Board may correct any typographical or computational errors or other errors of similar nature in the adjudication decision at the party’s request or on its own initiative.
    • The Board may consult with the parties before deciding on the correction of adjudication decision.

    Article 21 (Subsequent Dispute Resolution Process)

    • If the adjudication decision has become final and binding on the parties and any party fails to comply with it, the parties may submit their dispute concerning such non-compliance to CAA for arbitration in accordance with the Arbitration Law of Taiwan.
    • If a party submits a written objection to the adjudication decision in accordance with Article 17.2, the parties may agree to submit to CAA for arbitration in accordance with their arbitration agreement and the Arbitration Law of Taiwan.
    • Member(s) of the dispute adjudication process shall not represent any party in such arbitration.
    • Member(s) of the dispute adjudication process may serve as arbitrator(s) in such arbitration by the parties’ written agreement.

    Article 22 (CAA’s Administrative Assistance)

    • The parties may request CAA to provide assistance with administrative matters relating to the Board’s operation.

    Article 23

    • The Rules and any subsequent amendments shall come into force after approval by the CAA Board of Directors.
    attachment 1 CAA Payment Arrangement for Construction DAB

    In force as from 1 December 2016.
    Approved by CAA Board, 8thsession of the 16th year (1 December 2016).

    Article 1

    • This Payment Arrangement for Construction DAB has been stipulated in accordance with Article 4 of CAA Construction DAB Rules.

    Article 2

    • Where a party submits request to CAA for the constitution of DAB (Dispute Adjudication Board) or refers a case to dispute adjudication in accordance with CAA Construction DAB Rules, the requesting party shall pay the deposit for the Board’s fees and CAA’s administrative fees in accordance with Article 3 of this Payment Arrangement.

    Article 3

    • If the Board is constituted at the time of signing the construction contract, the parties shall pay the deposit for the Board’s expenses, which shall be temporarily determined on the basis of 120 working hours for each member at the hourly rate of NTD 5,000.
      Unless the parties agree otherwise, the parties shall share the Board’s expenses equally.
      The Board shall determine and submit its working hours report on a monthly basis to CAA to be forwarded to the parties for approval and confirmation. CAA may request additional deposits from the parties in accordance with actual expenditure.
      The cumulation of working hours prescribed in preceding two paragraphs shall be suspended upon any party’s request to the Board for dispute adjudication. The requesting party shall pay the deposit for dispute adjudication, which shall be 0.5% of the amount in dispute or claimed. The same applies when the Board is constituted upon any party’s Request for Dispute Adjudication.
      CAA’s administrative fees are to be determined by 20% of the fees specified in the preceding paragraph 1 and paragraph 3.
      The parties shall not object to the allocation of costs determined in the adjudication decision, and shall comply with such decision.

    Article 4

    • The parties shall pay the deposit for the fees of witnesses, experts, as well as expense of transcripts, translation, postage, delivery, travel, media posts and other related and necessary ones. The amount will be calculated and determined by actual expenditure to be notified by CAA to the parties.

    Article 5

    • If the parties fail to pay the fees in accordance with the preceding two Articles, CAA shall notify the parties to pay within specified time limits, if the parties fail to comply, CAA may suspend the Board’s operation and proceedings or dismiss the Board.

    Article 6

    • In the event of termination of any member’s appointment by the parties’ agreement, the Board’s dismissal, any member’s resignation or conversion of process, the parties’ obligations to pay remain unaffected, and CAA will determine the fees, notify parties to make additional payments or refund any remaining fees.

    Article 7

    • This Payment Arrangement and any subsequent amendments shall come into force after approval by CAA Board of Directors.

    attachment 2 CAA Construction DAB Member Statement  Download file

      attachment 3 CAA Tripartite Agreement for Construction Dispute Adjudication Board  Download file