建设工程ADR程序规则比较分析及在我国的应用研究
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摘要
建设工程替代性争议解决方式(ADR)与仲裁和诉讼相比在争议解决过程中具有多方面的优势,在国外得到越来越广泛的应用,在我国也已经开始推广为了我国建设工程ADR的发展,有必要对ADR的程序规则的制定进行研究。
本文建设工程ADR的研究范围界定为有中间方参与的非终局性争议解决方式。首先介绍并总结了建设工程ADR的常用类型和共有优势,分析了其理论上的共有优势在实践中的实现面临着非合作博弈向合作博弈转化的问题,需要具有权威性的程序规则予以保证,并运用程序正义理论分析了建设工程ADR程序规则制定需要遵循的标准。然后选择国际工程合同范本最新版本的ADR程序规则,以及国际性争议解决机构适用于建设工程的调解和裁决等程序规则进行分类比较,分析其总体框架和各组成部分的共性、差异,以及编制原理。各份程序规则均体现了程序正义的标准,保证了建设工程ADR优势的发挥,但各自有着不同的特点和侧重,比较分析结果为实践中建设工程ADR程序规则的制定提供了充分的借鉴材料。进而在分析我国建设工程ADR的演变及国内外建设工程ADR理论与实践发展的基础上,提出完善争议评审机制是我国现阶段建设工程ADR发展的最为恰当的方式,并以比较分析的结果为基础,从程序规则的角度对争议评审机制的完善原则和完善策略提出建议。最后总结了本文的研究成果和需要进一步研究的问题。
Compared with the arbitration and litigation, Alternative Dispute Resolution (ADR) has many advantages in the process of construction dispute settlement. For the development ADR of construction project in China, it is necessary to study the specific rules of ADR.
Based on the introduction of the definition of ADR, the thesis defines the scope of the ADR research, which is the non-finality of dispute resolution with the middle-parties participating, and also analyzes the common types of ADR and its advantages. The problem of fulfilling the advantages of ADR of construction is the transformation of non-cooperative game to the cooperative game. The authoritative procedural rules are thus needed to ensure the fulfillment standards of establishing ADR procedure of construction are analyzed by using procedural justice theory. Then, rules of ADR procedure between the latest version of the contract for international construction project, and mediation and determination applicable to international dispute settlement body are compared and analyzed. The same and different points of the overall and individual parts are studied as well as the principle of preparing these documents. Various rules of procedure are to ensure the advantages of the ADR, but each has different characteristics and focuses. The result of the comparative analysis provides reference for the development of ADR rules of procedures in practice. Then, based on further analysis of the evolution of ADR in Chinese construction project and its theory and practice of ADR in the domestic and foreign construction projects, the dispute review mechanism is found to be the most appropriate ADR method. The suggestions about the principles and strategies for perfecting dispute review mechanism are proposed based on the comparative analysis. Finally, the research results and further research directions are summarized.
本文建设工程ADR的研究范围界定为有中间方参与的非终局性争议解决方式。首先介绍并总结了建设工程ADR的常用类型和共有优势,分析了其理论上的共有优势在实践中的实现面临着非合作博弈向合作博弈转化的问题,需要具有权威性的程序规则予以保证,并运用程序正义理论分析了建设工程ADR程序规则制定需要遵循的标准。然后选择国际工程合同范本最新版本的ADR程序规则,以及国际性争议解决机构适用于建设工程的调解和裁决等程序规则进行分类比较,分析其总体框架和各组成部分的共性、差异,以及编制原理。各份程序规则均体现了程序正义的标准,保证了建设工程ADR优势的发挥,但各自有着不同的特点和侧重,比较分析结果为实践中建设工程ADR程序规则的制定提供了充分的借鉴材料。进而在分析我国建设工程ADR的演变及国内外建设工程ADR理论与实践发展的基础上,提出完善争议评审机制是我国现阶段建设工程ADR发展的最为恰当的方式,并以比较分析的结果为基础,从程序规则的角度对争议评审机制的完善原则和完善策略提出建议。最后总结了本文的研究成果和需要进一步研究的问题。
Compared with the arbitration and litigation, Alternative Dispute Resolution (ADR) has many advantages in the process of construction dispute settlement. For the development ADR of construction project in China, it is necessary to study the specific rules of ADR.
Based on the introduction of the definition of ADR, the thesis defines the scope of the ADR research, which is the non-finality of dispute resolution with the middle-parties participating, and also analyzes the common types of ADR and its advantages. The problem of fulfilling the advantages of ADR of construction is the transformation of non-cooperative game to the cooperative game. The authoritative procedural rules are thus needed to ensure the fulfillment standards of establishing ADR procedure of construction are analyzed by using procedural justice theory. Then, rules of ADR procedure between the latest version of the contract for international construction project, and mediation and determination applicable to international dispute settlement body are compared and analyzed. The same and different points of the overall and individual parts are studied as well as the principle of preparing these documents. Various rules of procedure are to ensure the advantages of the ADR, but each has different characteristics and focuses. The result of the comparative analysis provides reference for the development of ADR rules of procedures in practice. Then, based on further analysis of the evolution of ADR in Chinese construction project and its theory and practice of ADR in the domestic and foreign construction projects, the dispute review mechanism is found to be the most appropriate ADR method. The suggestions about the principles and strategies for perfecting dispute review mechanism are proposed based on the comparative analysis. Finally, the research results and further research directions are summarized.
引文
[1]陈勇强,张水波,国际工程索赔,北京：中国建筑工业出版社,2008,221-237
[2]Doug Jones, Construction Project Dispute Resolution:Options for Effective Dispute Avoidance and Management, Journal of Professional Issues in Engineering Education and Practice,2006(7):225-235
[3]Edwin H. W. Chan, Henry C. H. Suen, Disputes and Dispute Resolution Systems in Sino-Foreign Joint Venture Construction Projects in China, Journal of Professional Issues in Engineering Education and Practice,2005(4):141-148
[4]国家发展和改革委员会、财政部、建设部等九部委联合编制,中华人民共和国标准施工招标文件2007版,2007年11月1日国家发展改革委令第56号发布,2008年5月1日起试行
[5]Kathleen M. J. Harmon, Resolution of Construction Disputes:a Review of Current Methodologies, Leadership and Management in Engineering, 2003(10):187-201
[6]Sai-On Cheung, Henry C. H. Suen, and S. Thomas Ng. etc, Convergent Views of Neutrals and Users about Alternative Dispute Resolution, Journal of Management in Engineering,2004(7):88-96
[7]Richard P. Flake, Susan G. Perin, Mediating Construction Disputes:What Works and What Doesn't, Dispute Resolution Journal,2003,58(2):24-34
[8]Jon Hoogenboom, PE, W. Stephen Dale, Dispute Resolution Strategy and Decision Analysis, AACE international transactions,2005,CDR,15
[9]Edwin H.W Chan, Charles K. L. Chan, Martyn J. Hills, Construction Industry Adjudication:a Comparative Study of International Practice, Journal of International Arbitration,2005,22(5):363-374
[10]Richard Fullerton, Searching for Balance in Conflict Management:the Contractor's Perspective, Dispute Resolution Journal,2005(2):48-61
[11]Michael Evan Jaffe, Ronan J. McHugh, US Project Disputes:Has the Time to Consider Adjudication Finally Arrived?, Dispute Resolution Journal, 2007(5):51-55
[12]K. W Chau, Insight into Resolving Construction Disputes by Mediation /Adjudication in Hong Kong, Journal of Professional Issues in Engineering Education and Practice,2007(4):143-147
[13]The American Subcontractors Association, Understand ADR Procedures before Agreeing to Them, Dispute Resolution Journal,2006(2):26-27
[14]Peter Kennedy, Evolution of Statutory Adjudication as a Form of Dispute Resolution in the U. K., Construction Industry. Journal of Professional Issues in Engineering Education and Practice,2008(4):214-219
[15]周晓唯,ADR——一个法经济学视角的探析,南开学报(哲学社会科学版),2007(4)：57～66
[16]辛国清,美国法院附设ADR研究,社会科学研究,2006(6)：82～86
[17]范愉,非诉讼纠纷解决机制(ADR)与法治的可持续发展——纠纷解决与ADR研究的方法与理念,法制现代化研究(第九卷),2004,18～57
[18]成虎,工程合同管理,北京：中国建筑工业出版社,2005,281～288
[19]何伯森,工程项目管理的国际惯例,北京：中国建筑工业出版社,2007,149～165
[20]何伯森,刘轶群,宋毅,ADR的面面观,国际经济合作,2008(7)：58～65
[21]许娟,DRB和NEC争议解决方式比较,国际经济合作,2006(11)：38～40
[22]王娅,宇得名,DRB争议解决机制的有效性分析,建筑经济,2004(10)：36～39
[23]任学强,DAB方式在国际工程合同争议中的应用与借鉴,国际经济合作,2005(9)：50～53
[24]李军,建筑工程争端法定裁决制度之比较研究,中国市场,2007(22)：66～67
[25]杨宇,创建和谐的建设工程施工合同争议解决机制,建筑经济,2007(9)：50～53
[26]范愉,ADR原理与实务,厦门：厦门大学出版社,2002,93～100
[27]中国国际贸易促进委员会,中国国际商会调解中心组织编写,中国商事调解理论与实务,北京：中国民主法制出版社,2002,7
[28][英]彼得·希伯德,保尔·纽曼著,路晓村等译,工程争议替代解决方法与裁决,北京：中国建筑工业出版社,2004,19～27
[29]尼尔G·巴尔著,张水波,王佳伟等译,FIDIC系列工程合同范本——编制原理与应用指南(第三版),北京：中国建筑工业出版社,2008,320～338
[30]Public Owners Prefer Mediation for Construction Disputes, Dispute Resolution Journal,2007(2):8
[31]J. K.Yates, Joseph A. Smith, Global Legal Issues for Engineers and Constructors, Journal of Professional Issues in Engineering Education and Practice,2007(7):199-209
[32]张维迎,博弈论与信息经济学,上海：上海人民出版社,2004,25～32
[33]丁社教,法治博弈分析导论,西安：西北工业大学出版社,2007,160～175
[34]张朋柱,叶红心,薛耀文等,合作博弈理论与应用——非完全共同利益群体合作管理,上海：上海交通大学出版社,2006,1-29
[35]Ronald Jay Allen, William J.Stumtz, Joseph L.Hoffmann et al, Comprehensive Criminal Procedure, Beijing:Citic Publishing House,2003,72-87
[36]徐亚文,程序正义论,济南：山东人民出版社,2004,4-95
[37][美]迈克尔·D·贝勒斯,张文显等译,法律的原则——一个规范的分析,北京：中国大百科全书出版社,1996,34～37
[38]陈瑞华,程序正义论,中外法学,1997(2)：69～77
[39]Mick McConville, Geoffrey Wilson, The Handbook of The Criminal Justice Process, New York:Oxford University Press Inc.,2002,51,285-306
[40]FIDIC, Conditions of Contract for Works of Civil Engineering Construction, 4th Edition,1987
[41]FIDIC, Conditions of Contract for Construction.1st Edition,1999
[42]FIDIC, Conditions of Contract for Plant and Design-Build,1st Edition,1999
[43]FIDIC, Conditions of Contract for EPC/Turnkey Projects,1st Edition,1999
[44]FIDIC, Conditions of Contract for Design, Build and Operate Projects,1st Edition,2008
[45]B. Steven Messick. Hamline, AIA 2007 Standard Contract Documents:a Positive Step Towards Fair, Transparent, and Collaborative Resolution of Disputes on Construction Projects, Journal of Public Law & Policy, 2008,29(2):499-543
[46]AIA,2007 Revisions to AIA Contract Documents, http://www.aia.org/aiaucmp/ groups/aia/documents/pdf/aias077539.pdf,2009
[47]NEC, Engineering and Construction Contract,2005
[48][英]土木工程师学会著,方志达译,裁决人合同与使用指南,北京：中国建筑工业出版社,2005
[49]UK Statutes, Housing Grants, Construction and Regeneration, Act,1996
[50]ICC, ADR Rules,2001
[51]AAA, Construction Industry Mediation Procedures,2007
[52]中国国际贸易促进委员会,中国国际商会,中国国际贸易促进委员会／中国国际商会调解规则,2005
[53]WIPO, Arbitration and Mediation Center, WIPO Mediation Rules,2002
[54]Singapore Mediation Centre, Adjudication Procedure Rules,2007
[55]Singaporean Legislation, Building and Construction Industry Security of Payment Act-Cap.30B,2005
[56]CEDR, CEDR Solve Rules for Construction Adjudication,2008
[2]Doug Jones, Construction Project Dispute Resolution:Options for Effective Dispute Avoidance and Management, Journal of Professional Issues in Engineering Education and Practice,2006(7):225-235
[3]Edwin H. W. Chan, Henry C. H. Suen, Disputes and Dispute Resolution Systems in Sino-Foreign Joint Venture Construction Projects in China, Journal of Professional Issues in Engineering Education and Practice,2005(4):141-148
[4]国家发展和改革委员会、财政部、建设部等九部委联合编制,中华人民共和国标准施工招标文件2007版,2007年11月1日国家发展改革委令第56号发布,2008年5月1日起试行
[5]Kathleen M. J. Harmon, Resolution of Construction Disputes:a Review of Current Methodologies, Leadership and Management in Engineering, 2003(10):187-201
[6]Sai-On Cheung, Henry C. H. Suen, and S. Thomas Ng. etc, Convergent Views of Neutrals and Users about Alternative Dispute Resolution, Journal of Management in Engineering,2004(7):88-96
[7]Richard P. Flake, Susan G. Perin, Mediating Construction Disputes:What Works and What Doesn't, Dispute Resolution Journal,2003,58(2):24-34
[8]Jon Hoogenboom, PE, W. Stephen Dale, Dispute Resolution Strategy and Decision Analysis, AACE international transactions,2005,CDR,15
[9]Edwin H.W Chan, Charles K. L. Chan, Martyn J. Hills, Construction Industry Adjudication:a Comparative Study of International Practice, Journal of International Arbitration,2005,22(5):363-374
[10]Richard Fullerton, Searching for Balance in Conflict Management:the Contractor's Perspective, Dispute Resolution Journal,2005(2):48-61
[11]Michael Evan Jaffe, Ronan J. McHugh, US Project Disputes:Has the Time to Consider Adjudication Finally Arrived?, Dispute Resolution Journal, 2007(5):51-55
[12]K. W Chau, Insight into Resolving Construction Disputes by Mediation /Adjudication in Hong Kong, Journal of Professional Issues in Engineering Education and Practice,2007(4):143-147
[13]The American Subcontractors Association, Understand ADR Procedures before Agreeing to Them, Dispute Resolution Journal,2006(2):26-27
[14]Peter Kennedy, Evolution of Statutory Adjudication as a Form of Dispute Resolution in the U. K., Construction Industry. Journal of Professional Issues in Engineering Education and Practice,2008(4):214-219
[15]周晓唯,ADR——一个法经济学视角的探析,南开学报(哲学社会科学版),2007(4)：57～66
[16]辛国清,美国法院附设ADR研究,社会科学研究,2006(6)：82～86
[17]范愉,非诉讼纠纷解决机制(ADR)与法治的可持续发展——纠纷解决与ADR研究的方法与理念,法制现代化研究(第九卷),2004,18～57
[18]成虎,工程合同管理,北京：中国建筑工业出版社,2005,281～288
[19]何伯森,工程项目管理的国际惯例,北京：中国建筑工业出版社,2007,149～165
[20]何伯森,刘轶群,宋毅,ADR的面面观,国际经济合作,2008(7)：58～65
[21]许娟,DRB和NEC争议解决方式比较,国际经济合作,2006(11)：38～40
[22]王娅,宇得名,DRB争议解决机制的有效性分析,建筑经济,2004(10)：36～39
[23]任学强,DAB方式在国际工程合同争议中的应用与借鉴,国际经济合作,2005(9)：50～53
[24]李军,建筑工程争端法定裁决制度之比较研究,中国市场,2007(22)：66～67
[25]杨宇,创建和谐的建设工程施工合同争议解决机制,建筑经济,2007(9)：50～53
[26]范愉,ADR原理与实务,厦门：厦门大学出版社,2002,93～100
[27]中国国际贸易促进委员会,中国国际商会调解中心组织编写,中国商事调解理论与实务,北京：中国民主法制出版社,2002,7
[28][英]彼得·希伯德,保尔·纽曼著,路晓村等译,工程争议替代解决方法与裁决,北京：中国建筑工业出版社,2004,19～27
[29]尼尔G·巴尔著,张水波,王佳伟等译,FIDIC系列工程合同范本——编制原理与应用指南(第三版),北京：中国建筑工业出版社,2008,320～338
[30]Public Owners Prefer Mediation for Construction Disputes, Dispute Resolution Journal,2007(2):8
[31]J. K.Yates, Joseph A. Smith, Global Legal Issues for Engineers and Constructors, Journal of Professional Issues in Engineering Education and Practice,2007(7):199-209
[32]张维迎,博弈论与信息经济学,上海：上海人民出版社,2004,25～32
[33]丁社教,法治博弈分析导论,西安：西北工业大学出版社,2007,160～175
[34]张朋柱,叶红心,薛耀文等,合作博弈理论与应用——非完全共同利益群体合作管理,上海：上海交通大学出版社,2006,1-29
[35]Ronald Jay Allen, William J.Stumtz, Joseph L.Hoffmann et al, Comprehensive Criminal Procedure, Beijing:Citic Publishing House,2003,72-87
[36]徐亚文,程序正义论,济南：山东人民出版社,2004,4-95
[37][美]迈克尔·D·贝勒斯,张文显等译,法律的原则——一个规范的分析,北京：中国大百科全书出版社,1996,34～37
[38]陈瑞华,程序正义论,中外法学,1997(2)：69～77
[39]Mick McConville, Geoffrey Wilson, The Handbook of The Criminal Justice Process, New York:Oxford University Press Inc.,2002,51,285-306
[40]FIDIC, Conditions of Contract for Works of Civil Engineering Construction, 4th Edition,1987
[41]FIDIC, Conditions of Contract for Construction.1st Edition,1999
[42]FIDIC, Conditions of Contract for Plant and Design-Build,1st Edition,1999
[43]FIDIC, Conditions of Contract for EPC/Turnkey Projects,1st Edition,1999
[44]FIDIC, Conditions of Contract for Design, Build and Operate Projects,1st Edition,2008
[45]B. Steven Messick. Hamline, AIA 2007 Standard Contract Documents:a Positive Step Towards Fair, Transparent, and Collaborative Resolution of Disputes on Construction Projects, Journal of Public Law & Policy, 2008,29(2):499-543
[46]AIA,2007 Revisions to AIA Contract Documents, http://www.aia.org/aiaucmp/ groups/aia/documents/pdf/aias077539.pdf,2009
[47]NEC, Engineering and Construction Contract,2005
[48][英]土木工程师学会著,方志达译,裁决人合同与使用指南,北京：中国建筑工业出版社,2005
[49]UK Statutes, Housing Grants, Construction and Regeneration, Act,1996
[50]ICC, ADR Rules,2001
[51]AAA, Construction Industry Mediation Procedures,2007
[52]中国国际贸易促进委员会,中国国际商会,中国国际贸易促进委员会／中国国际商会调解规则,2005
[53]WIPO, Arbitration and Mediation Center, WIPO Mediation Rules,2002
[54]Singapore Mediation Centre, Adjudication Procedure Rules,2007
[55]Singaporean Legislation, Building and Construction Industry Security of Payment Act-Cap.30B,2005
[56]CEDR, CEDR Solve Rules for Construction Adjudication,2008