Tài Liệu Bài Giảng Hợp Đồng Và Xử Lý Chấp Trong Hợp Đồng Xây Dựng Hội Thảo Scl- Coference Construction Contracts And Dispute Resolutions

ORGANIZERS / BAN T C V Â JANUAR PART / PHẦN 1.1 08-Jan-20 SCLVN Conference on Construction Contracts & Dispute Resolutions Hochiminh city, January 10th, 2020 PRACTICAL OF FIDIC EPC CONTRACT FORM Tittle ofAPPLICATION Presentation FOR POWER PROJECTS IN VIETNAM Speaker’s Truong Vanname Thien Director of Vietnam Project Management Solutions Co Ltd Director of PECC Energy Training Center SCLVN Conference on Construction Contracts & Dispute Resolutions Hochiminh city, January 10th, 2020 TH Tittle C TI N ÁP NG M U H P Đ NG EPC C A FIDIC of DPresentation D ÁN NHÀ MÁY ĐI N VI T NAM CÁC Speaker’s name Tr ng Văn Thi n Giám đ c Công ty Gi i pháp qu n lý d án Vi t Nam Giám đ c Trung tâm Đào t o Năng l ng PECC 08-Jan-20 Content: Power Plant Projects Reasons to Perform Project on an EPC Basis Application of FIDIC EPC Contract Form Practical Implementation in EPC Power Projects Key Issues SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 N i dung: D án nhà máy n Lý l a ch n hình th c EPC Áp d ng mẫu h p đ ng EPC c a FIDIC Th c ti n th c hi n EPC d án nhà máy n M t s vấn đ tr ng tâm SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 08-Jan-20 Power Plant Projects Main Contracts: Grid Agreement Operation & Maintenance Agreement Construction Contract Project Owner Fuel Supply Agreement Loan Agreement Power Purchase Agreement SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 D án nhà máy i n Các lo i h p ng ch nh: Thỏa thuận đấu nối H p đồng vận hành bảo trì H p đồng xây d ng Ch đ u t H p đồng mua nhiên liệu H p đồng vay vốn H p đồng mua bán điện SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 08-Jan-20 Power Plant Projects (con.) E P Pre-com Commiss Unit/ Plant Completion C Engineering, Procurement, and Construction Pre-commissioning and Commissioning Test on Completion and Handing-over SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 D án nhà máy i n (tt) E P Pre-com Commiss Hoàn thành t máy/ nhà máy C Giai o n thi t k , mua s m, xây l p K t n i h th ng Thí nghi m o th ng s v n hành bàn giao SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 08-Jan-20 Reasons to Perform Project on an EPC Basis Project Owner EPC Contractor Accepts high price of contract Takes total responsibility for design and execution of project Accepts fixed price (lump sum) Price adjustment in very limited cases Guaranteed with plant performance, time for completion Pays LDs for shortfall in performance and/or delay High degree of certainty of final price Lump sum/ Turnkey Contract High degree of certainty of time SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 L l a ch n h nh th c EPC Ch ut Nhà th u EPC Ch p nh n giá H cao Ch p nh n h u h t r i ro giai o n E, P, C Ch p nh n hình th c giá tr n gói Phát sinh vài tình hu ng, vd.: thay i Lu t áp d ng c m b o: th ng s NM, ch t l ng, ti n B i th ng n u kh ng t th ng s , ti n tin c y cao c a giá chào tin c y cao c a th i gian hoàn thành H p ng EPC tr n gói SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 08-Jan-20 Reasons to Perform Project on an EPC Basis (con.) SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 L l a ch n h nh th c EPC (tt) SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 08-Jan-20 Reasons to Perform Project on an EPC Basis (con.) An EPC basis is not suitable for use in the following circumstances: + If there is insufficient time or information for tenderers to scrutinise and check the Employer’s Requirements or for them to carry out their designs, risk assessment studies and estimating + If construction will involve substantial work underground or work in other areas which tenderers cannot inspect + If the Employer intends to supervise closely or control the Contractor’s work, or to review most of the construction drawings + If the amount of each interim payment is to be determined by an official or other intermediary SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 L l a ch n h nh th c EPC (tt) Các trư ng h p không nên l a ch n hình th c EPC: + Nếu khơng có đ th i gian thơng tin để nhà d thầu nghiên c u kiểm tra “Các yêu cầu c a ch đầu t ” để h th c công việc thiết kế, nghiên c u đánh giá r i ro lập d toán giá chào giai đoạn chuẩn bị h s chào thầu EPC + Nếu cơng trình bao g m công việc đáng kể d thầu kiểm tra đ c i mặt đất công việc khu v c khác mà nhà d + Nếu ch đầu t d định giám sát chặt chẽ kiểm sốt cơng việc c a nhà thầu, thẩm tra (review) hầu hết vẽ thiết kế thi công + Nếu giá trị m i đ t toán th i gian th c h p đ ng cần phải đ m t bên trung gian xác định c ng i có thẩm quyền SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 08-Jan-20 Applicaton of FIDIC EPC Contract Form Reasons to select the FIDIC EPC Contract form for Power Plant Projects: FIDIC (“Federation Internationale des Ingenieurs-Conseils” or in English: International Federation of Consulting Engineers) was founded in 1913 Various “Books” were published The “Silver Book” was first published in 1999 Standard terminology Reasonable allocation of risks between Parties Widely used in over 70 countries with long history of successful applications Many Project owners, EPC contractors, Insurance Companies, Financing Institutions are familiar with FIDIC EPC form SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 p d ng m u h p ng EPC c a FIDIC Các l h p ng EPC FIDIC c s d ng d án nhà máy i n: Hiệp hội quốc tế k s t vấn FIDIC (“Federation Internationale des Ingenieurs-Conseils” hay tiếng Anh: International Federation of Consulting Engineers) đ c thành lập năm 1913 Nhiều mẫu h p đồng c a FIDIC đ c ban hành, “Quyển Bạc” – dành cho d án EPC/ chìa khóa trao tay, đ c ban hành ấn năm 1999 Các thuật ng áp d ng đ c “chuẩn hóa” Phân bổ r i ro h p lý gi a bên Đ c áp d ng phổ biến 70 n ớc giới với lịch s áp d ng qua hàng ch c năm Nhiều ch đầu t , nhà thầu EPC, đơn vị cấp bảo hiểm, tổ ch c cho vay v.v… quen s d ng SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 PART / PHẦN 3.1 09-Jan-20 SCLVN Conference on Construction Contracts & Dispute Resolutions Hochiminh city, January 10th, 2020 Implementation of Dispute Adjudication Board s Decision (DAB)/ Thi hành quy t nh c a Ban gi i quy t tranh ch p (DAB) Dr Thi Hoa NGUYEN Ti n s Nguy n Th Hoa Who can strike a balance? Ai c th cân? SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 09-Jan-20 Distinguishing the DAB under FIDIC contracts from others Under The c rren ICC Disp e Board R les in force as of Oc ober DRBs may [ ] DRBs render recommendations with respect to dispute Upon receipt of a recommendation, the Parties may comply with it voluntarily but are not required to so (Art (1,2) DABs: by constrast, render Decision which is binding on the Parties upon its receipt.[ ] The parties agree not to contest a Decision that has become final, unless such agreement is prohibited by applicable law (art 5) CDBs: may render a decision or a recommondation following the referral of parties (art 6) SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 Phân bi t DAB theo h p L Q c Ban ranh ch p c a ICC có hi ng m u c a FIDIC Ban khác l c ngà DRBs Có thể đ a khuyến ngh liên quan đến n i dung c a tranh chấp….Ngay t nhận đ ngh , bên tuân th tuỳ theo thiện chí c a mà không bắt bu c ( - 1,2) c khuyến DABs: tr i l i, c th ban h nh quy t nh r ng bu c c c b n t nh n c quy t nh.[ ] C c b n ng kh ng ph n i quy t nh c a DAB n tr th nh quy t nh cu i c ng v r ng bu c b t ch p vi c tho thu n n y c th b c m b i lu t p d ng ( 5) CDBs: C th a quy t nh ho c khuy n ngh tu v o y u cu c a c c b n ( 6) SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 09-Jan-20 Distinguishing the DAB under FIDIC contracts from others (next) Sub-clause 20.4 of Red Book 1999: If the DAB has given its decision as to a matter in dispute to both Parties, and no notice of dissatisfaction has been given by either Party within 28 days after it received the DAB s decision, then the decison shall become final and binding upon both Parties How can we implement this final and binding decision? SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 Phân bi t DAB theo h p Đi ng m u c a FIDIC v i Ban khác (tt) Sách H ng Red Book N u DAB a quy t nh c a m nh i v i v n c a tranh ch p cho c hai b n v kh ng c th ng b o n o v vi c kh ng h i l ng c a b i b t k b n n o th i h n 28 ng y k t ng y nh n c quy t nh c a DAB th quy t nh n y s l quy t nh cu i r ng bu c bên C chế để thi hành qu t đ nh cu i c ng r ng bu c c a DAB? SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 09-Jan-20 Lesson for Vietnam from implementation of DAB s decision in the world 2.1 Implementation of DAB s decision under vietnamese law 2.2 International experiences relating to implementation of DAB s decision SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 Bài h c cho Vi t Nam t 2.1 Thi hành quy t vi c thi hành quy t nh c a DAB th gi i nh c a DAB theo pháp lu t Vi t Nam 2.2 Kinh nghi m qu c t t vi c thi hành quy t nh c a DAB SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 09-Jan-20 2.1 Implementation of DAB s decision in Vietnam 2.1 DAB s role as a mediator Under article 45 of Decree 37/2015/N -CP of Gouverment about the construction contracts, Parties disputes can be resolved through mediation by a dispute adjudication board of one or a lot of expert Difficult A fundamental prerequisite for a successful mediation process is the parties’ consent to both parties; Hight-cost process DAB procedure under FIDIC contracts is not a mediation SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 2.1 Thi hành quy t 2.1 Ban gi i quy t tranh ch p nh c a DAB t i Vi t Nam Vi t Nam c vai tr nh m t hoà gi i viên Theo quy nh t i i u 45 c a Ngh nh s 37/2015/N -CP ng y 22/04/2015 c a Ch nh ph th tranh ch p l nh v c x y d ng c th c gi i quy t th ng qua ho gi i b i c quan, t ch c ho c m t, m t s chuy n gia (g i chung l ban gi i quy t tranh ch p) Khó khăn Để th t c hồ giải thành cơng điều kiện tiên s đ ng thuận c a bên; Chi phí cho ban giải tranh chấp lại cao; DAB theo quy đ nh c a h p đ ng FIDIC lại khơng phải th t c hồ giải SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 09-Jan-20 2.2 International experiences relating to implementation of DAB s decision 2.2.1 Enforcement of DAB decision as a contract Axel Wolkmar Jaeger and Gotz-Sebastian Hok s gges ed the adjudicator s decision is neither an arbitral award capable of enforcement under New York Convention Nor does it have the status of a court judgment Instead, the decision is binding only as a matter of contract between parties Failure to comply with a temporarily binding adjudication decision constitutes breach of contract and the appropriate method of enforcement an adjudicator s decision is by way of an action for breach of contract unless ruled otherwise by national law SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 2.2 Kinh nghi m qu c t vi c thi hành quy t nh c a DAB 2.2.1 Thi hành quy t nh c a DAB nh m t h p ng Theo chuy n gia nh Axel Wolkmar Jaeger and Gotz-Sebastian Hok Quyết đ nh c a DAB m t phán tr ng tài để c ng chế thi hành theo Cơng c New York; khơng phải m t án c a án Thay vào đó, đ nh ràng bu c bên nh m t vấn đề c a h p đ ng Kh ng tu n th quy t nh gi i quy t tranh ch p t m th i n y c u th nh h nh vi vi ph m h p ng v c ch th c thi h nh quy t nh c a ban gi i quy t tranh ch p c th c hi n theo c ch th c c a v ki n v vi ph m h p ng, tr tr ng h p ph p lu t c quy nh kh c SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 09-Jan-20 2.2.2 On what grounds the theory of contractual nature of DAB s decision is formulated (i) the DAB is not called Arbitration” (ii) The DAB does not give each party a reasonable opportunity of putting his case and dealing with that of his opponent (iii) Without settlement of question of law SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 2.2.2 C s cho l lu n v b n ch t h p (i) DAB kh ng ng c a DAB c g i tên th t c tr ng tài (ii) DAB kh ng trao cho m i bên c h i h p l bi n l p lu n c a i ph ng (iii) DAB kh ng gi i quy t v n tr nh bày quan i m c a m nh c ng nh ph n pháp l SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 09-Jan-20 2.3 Lesson from contractual nature of arbitration in history Throughout the 19th century, the arbitral sentence has been streated as a contract: because of three reasons notably: - The arbitral tribunal did not have the public power Arbitration was stipulated in arbitration clause; Thus, arbitrators were considered as a representative of parties All of these elements remain actually but an arbitral award are considered as an jurisdictional act or a judgment of court and thus it is able to be smoothly executed and enforced in the world SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 2.3 Bài h c t Trong su t th k 19, phán quy t tr ng tài ch b n: - b n ch t h p ng c a tr ng tài l ch s c xem c b n ch t h p ng: l c H i ng tr ng t i kh ng c th m quy n c ng; Th t c tr ng t i c quy nh tho thu n c a c c b n; V v y m tr ng t i vi n c xem nh ng i i di n c a c c b n T t c y u t v n c n t n t i, nhiên ngày nay, phán quy t tr ng tài ã c c ng nh n nh phán quy t c a án c c ng nh n, thi hành m t cách thu n l i toàn th gi i SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 09-Jan-20 Implementation of DAB s decision as an arbitral award in equity Theory of equity For Herv Ascencio: equity here is nothing other than the exercise of discretionary power of judge to give one of the solutions which seem to him the most acceptable, without effort to justify with a rational argument as a technique of interpretation or with a legal argument : This discretionary power of the DAB under Procedure rules of Red Book: The Employer and the Contractor empower the DAB, among other things, to [ ] (d) take initiative in ascertaining the facts and matters required for a decision [ ]; The DAB shall not express any opinion during any hearing concerning the merit of any argument advanced by the Parties Thereafter, the DAB shall make and give a decision in accordance with sub-clause 20.4, [ ] SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 Thi hành quy t nh c a DAB nh m t phán quy t tr ng tài theo c ng b nh L lu n v c ng b nh c a For Herv Ascencio: C ng b nh kh ng c g kh c h n l vi c th c hi n quy n t quy t c a m t th m ph n a m t gi i ph p m theo h l c th ch p nh n cm kh ng c l l c ph i ch ng minh b ng m t l p lu n v ng ch c nh l k thu t gi i th ch ho c v i m t l p lu n ph p l Quy n t quy t c a DAB theo th t c c quy nh b i Red Book: Ch u t v nh th u trao th m quy n cho DAB (d) t quy t nh vi c x c nh c c s vi c ho c v n cy uc u a quy t nh; DAB s kh ng a ta m t k m t quan i m n o phi n x li n quan n n i dung c a l p l n c a b i c c b n Sau , DAB s a quy t nh ph h p v i i u 20.4, [ ] SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 09-Jan-20 Implementation of DAB s decision as an arbitral award in equity (next) Difference between arbitration in law and in equity: The law fixs a maximun and a minimun limit, between them, the amiable compositeur will choose a solution satisfying the parties to a particular disputes - Evidence can be found in the judgment of the Court of Appeal of Paris: an agreement on arbitration in equity is renouncing of the parties the impacts and benefits of the law They don t have any more prerogative to demand a strick application of rules of law and the amiable compositeur is able to modify or moderate contractual consequences as soon as their common interests require SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 Thi hành quy t nh c a DAB nh m t phán quy t tr ng tài theo c ng b nh (tt) S khác bi t gi a tr ng tài theo lu t tr ng tài theo c ng b nh: Ph p lu t s n nh m t gi i h n t i thi u v gi i h n t i a gi a c c b n v gi i h n t i theo c ng b nh s ch n gi i ph p ph h p v i cho m i tranh ch p c th cho c c b n - tr ng B ng ch ng cho gi i th ch c th c t m th y l p lu n c a Toà Ph c th m Paris: B ng m t tho thu n ch n tr ng t i theo c ng b nh th c c b n t b nh ng nh h ng v l i ch m ph p lu t em l i V v y, h s kh ng c n quy n y u c u vi c p d ng m t c ch kh t khe c c quy nh c a ph p lu t v tr ng t i theo c ng b nh c th s a i ho c i u ti t c c h u qu c a h p ng m l i ch chung c a c c b n i h i SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 10 09-Jan-20 Implementation of DAB s decision as an arbitral award in equity (next) Arbitration in equity (DAB) prior to arbitration in law If we consider the nature of arbitral in equity of DAB, the parties are able to choose between one of them or all of them as in the FIDIC contracts under which the DAB arbitration in equity is prior to that in law This will be the way to support the DAB SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 Thi hành quy t Trong tài theo c ng b nh (DAB) tr nh c a DAB nh m t phán quy t tr ng tài theo c ng b nh (tt) c tr ng tài theo lu t sau N u ch ng ta c ng nh n b n ch t tr ng tài theo c ng b nh c a DAB th b n c th l a ch n gi a tr ng tài theo c ng b nh lu t ho c ch n c hai theo h ng tr ng tài theo c ng b nh tr c tr ng tài theo lu t sau y ch nh l ng ph t tri n DAB SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 11 09-Jan-20 Thank you for your attention ….If we want to go far go together… SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 S cie fC c i La VIET NAM SCLVN Conference on Construction Contracts & Dispute Resolutions HCMC, January 10th, 2020 12 T