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  • 9 . 中華民國仲裁協會工程爭議審議程序規則 CAA Construction DRB Rules

    In force as from 25 March 2009.

    Approved by CAA Board, 9th session of the 14th year (25 March 2009).

    Article 16 was amended by CAA Board, 11th session of the 14th year (19 November 2009).

    Article 15-1 was inserted by CAA Board, 8th session of the 16th year (2 December 2016).

    Article 1 (Scope of CAA Construction DRB Rules)

    • The Construction Dispute Review Board Rules of the Chinese Arbitration Association, Taipei (“the Rules” or “CAA Construction DRB 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 (Constitution of Dispute Review Board)

    • Unless the parties agree otherwise, the Dispute Review Board (“the Board”) shall be constituted in accordance with the following procedures.
      • (1) The Board shall consist of three members.
      • (2) Each party shall nominate a member from CAA Register of Construction DRB Members at the time of the parties’ contract or within 28 days after any party’s submission of the Request for Dispute Review. Such nomination shall be made in writing and disclose the nominee’s educational and professional experiences and any conflict of interests. A party shall respond in writing as to whether or not it agrees the other party’s nomination within 14 days after receiving such nomination.
      • (3) If a party fails to nominate a member or respond to the other party’s nomination within the time limit, or disagrees with the nomination in writing, any party may request CAA to appoint member(s) from CAA Register of Construction DRB Members.
      • (4) The two members appointed in accordance with the preceding two paragraphs shall nominate the third member within 21 days after the second member’s appointment, and shall notify the parties of their nomination in writing. Such nomination notification shall disclose the nominee’s educational and professional experiences and any conflict of interests. Within 14 days after receiving the nomination notification, each party shall respond to the two appointed members and the other party as to whether or not it agrees with the nomination of the third member.
      • (5) If the two appointed members fail to nominate the third member within the time limit, or if any party fails to respond in writing as to whether or not it agrees with the nomination within the time limit, or if any party disagrees with the nomination in writing, the parties may jointly appoint the third member by agreement. If the parties fail to jointly appoint the third member within 14 days, any party may request CAA to appoint the third member from CAA Register of Construction DRB Members.
      • (6) The third member shall act as the presiding member of the Board, unless opposed by the other members and all parties.
      • (7) If the parties have agreed on a sole member for the Board but have not agreed on the appointment procedure, they shall jointly appoint the sole member within 28 days after signing their contract. If the parties fail to jointly appoint within the time limit, any party may request CAA to appoint the sole member from CAA Register of Construction DRB Members.

    Article 3 (Replacement of Members)

    • In the event of a member’s withdrawal, resignation, illness, death, termination by parties’ agreement or other reasons for replacement, 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 replacement of member(s) shall not affect the other members’ capacity to perform their duties independently.
    • During the replacement of member(s), the other members shall continue to perform their duties. However, they shall not proceed with the dispute review process, unless the parties agree otherwise in writing.

    Article 4 (Signing of Member Agreement)

    • After the Board’s constitution, the parties shall sign with each member a Member Agreement on the terms and conditions of appointment, including the Board’s fees and expenses. Each member shall undertake to act independently and impartially.
    • If any member is replaced, the new member shall sign an agreement with all parties and undertake to act in accordance with the same terms and conditions of the Member Agreement.

    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 Member 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 in accordance with the actual work status and the Member Agreement.
    • Any member may terminate his or her appointment at any time by giving 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 the course of the Board’s operation shall be treated by the members as confidential, unless the parties agree or the applicable law provides otherwise.

    Article 8 (Meetings)

    • Within 10 days after the Board’s constitution, the presiding member shall schedule the first meeting for the parties to present on the construction project’s background, planning, design, implementation and other related information. During such meeting, the Board and the parties may also discuss matters relating to the Board’s subsequent conduct of the proceedings.
    • 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 Project)

    • 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 Member Agreement.
    • After each site visit, a party shall provide specific response or 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 specified in the preceding paragraph as the basis for making the review decision.

    Article 12 (Request for Dispute Review)

    • If a dispute arises between the parties, any party may request dispute review by the Board.
    • The requesting party shall submit a Request for Dispute Review to the Board and 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;
      • (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 of any representatives.

    Article 13 (Response to Request for Dispute Review)

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

    Article 14 (Conduct of Hearings)

    • Upon expiry of the time limit for Response to Request for Dispute Review, 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 review 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 supplement accompanying 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 review decision on the dispute.

    Article 15 (Time Limits for Review Decision)

    • Unless the parties agree otherwise, the Board shall close the hearings within 28 days after receiving the Request for Dispute Review. However, the Board may extend the time limit up to 14 days if necessary.
    • Unless the parties agree otherwise, the Board shall make its review decision within five days after the closure of hearings, and shall issue a written review decision with reasons within 14 days after the closure of hearings.
    • The following rules apply to review 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 endeavour to reach unanimous review decision or, failing such unanimous decision, make review 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 review decision.
    • The written review 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 review decision to all parties.

    Article 15-1 (Conversion into Mediation Process)

    • After a party requests dispute review, the Board and CAA may, at a party’s request and with the other party’s consent, convert the dispute review process into mediation process by recording in the Member Agreement that the members are mediators appointed by the parties. The dispute review process terminates upon conversion into mediation process.
    • 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 16 (Effect of Review Decision)

    • If none of the parties submits any written disagreement with the review decision within 28 days after receiving the review decision, the review decision is deemed to be agreed by, and binding on, all parties.
    • If a party submits a written disagreement with the review decision to the other party within 28 days after receiving the review decision, or if the Board has not made the review 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.
    • The parties may agree to use the review decision in the subsequent process of mediation, arbitration or litigation.

    Article 17 (Interpretation of Review Decision)

    • Within seven days after receiving the review decision, a party may submit a written request to the Board for an interpretation of a specific point or part of the review decision, with copies to the other parties.
    • Within 14 days after receiving such request, the Board shall give a written interpretation to all parties.
    • For each review decision, each party can only submit one request for interpretation.

    Article 18 (Reconsideration of Review Decision)

    • Within seven days after receiving the review decision, a 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 review decision.
    • Within seven days after receiving such request, the Board shall decide whether or not to proceed with the reconsideration and notify all parties in writing.
    • If the Board decides to reconsider its review decision, it shall make a reconsidered decision within 14 days after receiving the request. The time limit of 28 days prescribed in Article 16 (paragraph 2) shall commence on the date when all parties have received such reconsidered decision.
    • For each review decision, each party can only submit one request for reconsideration.

    Article 19 (Correction of Review Decision)

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

    Article 20 (Subsequent Dispute Resolution Process)

    • If the construction dispute remains unresolved after the dispute review process, the parties may proceed to arbitration in accordance with their arbitration agreement, and appoint arbitrators in accordance with the Arbitration Law of Taiwan.
    • Member(s) of the dispute review process shall not represent any party in such arbitration.
    • Member(s) of the dispute review process may be appointed as arbitrator(s) of such arbitration by the parties’ written agreement.

    Article 21 (CAA’s Administrative Assistance)

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

    Article 22

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

    In force as from 19 November 2009.
    Approved by CAA Board, 11th session of the 14th year (19 November 2009).
    Article 3 was amended by CAA Board, 8th session of the 16th year (1 December 2016).

    Article 1

    • This Payment Arrangement for Construction DRB has been stipulated in consequence of Article 21 of CAA Construction DRB Rules.

    Article 2

    • Where a party submits request to CAA for the constitution of DRB (Dispute Review Board) in accordance with CAA Construction DRB 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.
      If the requesting party fails to make the above payment, CAA may notify the requesting party to pay the deposit within a specified time limit, and may decline the request if the requesting party fails to pay within the specified time limit.

    Article 3

    • Unless the parties agree otherwise, the fees for each member are to be determined by the hourly rate of NTD 5,000.
      CAA’s administrative fees are to be determined by 20% of the fees specified in the preceding paragraph.
      The parties shall pay the deposit of the fees specified in the two preceding paragraphs which are determined on the basis of 120 working hours for each member. CAA may request deposits from the parties in accordance with actual expenditure.
      During the dispute review process, 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 .
      Unless the parties agree otherwise, the parties shall share the fees specified in this article equally.

    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.

    Article 5

    • Unless the parties agree otherwise, the parties shall share the fees prescribed in the preceding article equally.
      If the parties fail to pay 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 or the Board’s dismissal by the parties’ agreement, or of any member’s resignation, the parties may determine and pay the members’ fees and expenses in accordance with Article 3 (paragraph 1 and paragraph 4).

    Article 7

    • In the event of termination of dispute review process or the parties’ agreement to cease using CAA Construction DRB Rules, any remaining fees shall be determined and refunded in accordance with Article 3 and without interest.

    Article 8

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

    attachment 2 CAA Construction DRB Member Statement  Download file

      attachment 3 Member Agreement for Construction Dispute Review Board  Download file