Construction Law Seminar at the Beijing Arbitration Commission

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1 Construction Law Seminar at the Beijing Arbitration Commission
Risk management of foreign law by Dr Eckart Brödermann (Chair of CELA) BRÖDERMANN & JAHN RA-GmbH (Hamburg) Beijing, 28 April 2009

2 国际建筑法研讨会 —于北京仲裁委员会 外国法的风险管理 报告人：
博文博士(Dr Eckart Brödermann) (中欧法律协会主席) 德国博文/杨律师事务所 (BRÖDERMANN & JAHN RA-GmbH，Hamburg) 2009年4月28日，汉堡

3 Introduction (1) A national project with national material, people, know how and law has no risk of foreign law. The global world in which we live is different. Where ever we use the business opportunities of international construction projects, we must cope with a risk of foreign law. Even if we succeed to impose our own law (which is often not a realistic option) there is a risk of foreign law: It may be mandatory and thereby unavoidable. Beijing 28 April 2009

4 引 言 (1) 就内国范围内一个项目而言，内国背景、本国人、专有技术以及内国法律都不会存在外国法律适用的风险。
引 言 (1) 就内国范围内一个项目而言，内国背景、本国人、专有技术以及内国法律都不会存在外国法律适用的风险。 然而，全球化框架下问题变得复杂化了。 在涉及到国际建筑项目时，解决外国法适用这一风险成为不可避免的一步。 即便是我们成功地实现本国法的适用（尽管这常常不太现实），外国法的适用风险仍然存在： 基于强制性规定，这一点是不可避免的。 Beijing 28 April 2009

5 Introduction (2) As human beings we tend to perceive and judge matters on the basis of what we know. Foreign law is embedded in a a different cultural, economical and political environment and therefore different, - at least in the detaisl. Therefore it is important to concentrate on the issue of foreign law. It is a matter of risk management. And a matter of budgeting (“you get what you pay for”). Beijing 28 April 2009

6 引 言 (2) 人类观察和判断事务通常基于自己所知的角度。
引 言 (2) 人类观察和判断事务通常基于自己所知的角度。 外国法根植于所在国的不同文化、经济和政治环境，因此也存在差异，至少在诸多细节方面。 故而，有必要集中精力于外国法的相关细节上。。 从本质上讲，这属于风险管理。 同时也是成本管理的一个重要环节 (“所付即所得”). Beijing 28 April 2009

7 Agenda Part I: The risk of foreign law
Part II: How to minimise the risk of foreign law Part III: CEAC clauses as a useful tool for foreign law risk management Summary: Practical consequences Beijing 28 April 2009

8 主题 第一部分：外国法适用的风险 第二部分： 如何最大限度地降低外国法适用风险
第三部分：中欧仲裁中心仲裁规则作为解决外国法适用风险管理的有效工具 结论：实践效果 Beijing 28 April 2009

9 Part I: The risk of foreign law (1)
Foreign law is different, at least in the details. It comes from a different culture, political, social and economic background. It may contain different concepts which you do not know. Matters which are “self-evident” from your perspective maybe a sensible issue in the foreign culture and legal set up. Foreign law may be mandatory. Beijing 28 April 2009

10 第一部分：外国法适用的风险 外国法各不相同，至少在诸多细节方面。 这归因于不同的文化、政治、社会以及经济背景。
其可能包含不同的理念或者结构，对此您丝毫不了解。 很多在您看来是“想当然”的情况，在外国文化和法律环境下却可能是非常敏感的问题。 外国法律规定可能是强制性的。 Beijing 28 April 2009

11 Part I: The risk of foreign law (2)
Examples for possible mandatory foreign legal requirements are multiple: Foreign investment law, Foreign exchange law, Compliance, Export control law (dual use goods) Approvals / authorizations / visa taxation Company law (requirements Even the “ordinary” contract law may contain many differences Legal guaranties (e.g. 10-year-garantie on construction in Algeria) Legal presumptions Law of implied authority Form Etc. Beijing 28 April 2009

12 第一部分：外国法适用的风险（2） 强制性的外国法律规定往往是多种多样的： 即便是常规性合同也可能包含很多差异 外国投资法， 外国汇率法,
合规审查, 出口管制法律 (军民两用产品) 许可 / 授权 / 签证 税收 公司法 即便是常规性合同也可能包含很多差异 法定质保 (例如：在阿尔及利亚，建筑质保期为十年) 法律假定 法律规定之代理 形式要件 其它 Beijing 28 April 2009

13 Part I: The risk of foreign law (3)
The art is to discover the issues with possible differences Instruction of a foreign lawyer is usually not enough He or she will interpret the instruction from his or her perspective For the foreign lawyer, different issues are self-evident It is often helpful to operate in international teams In a spirit of open communication And overcoming cultural barriers of communication (e.g. international workshops) Beijing 28 April 2009

14 第一部分：外国法适用的风险(3) 发现潜在问题的方式可以由多种： 简单地指示外国律师通常是不够的 组建国际团队常常更为有效
他或者她常会从其自身角度来解释相关的指示 对于外国律师而言，某些差异的存在是想当然的 组建国际团队常常更为有效 秉承开放和交流的精神 克服沟通中的文化隔阂 (例如采取国际研讨和座谈的方式) Beijing 28 April 2009

15 Part II: How to minimise the risk of foreign law (4)
Prerequisite: a top team (incl. scouting of the right team on site) The wrong team may not put the right questions Spirit of communication workshops Concentration on the core issues (incl. choice of law and arbitration) Avoiding “ignorant” choices of law To save costs: reference to neutral law or rules of law such as the UNIDROIT Principles Beijing 28 April 2009

16 第二部分: 如何最大限度地降低外国法适用风险(4)
前提条件：卓越的团队(包括对团队工作的现场考察) 错误的团队无法提出有针对性的问题 秉承相互交流的精神 交流与研究座谈 集中精力于核心问题 (包括法律适用选择以及仲裁条款) 避免对法律适用选择的“忽视” 节省成本：参照诸如《国际统一私法协会国际商事合同通则》的中立法律或者法律条款 Beijing 28 April 2009

17 Part II (5) … UNIDROIT Principles
A non-legislative codification or “restatement” of the general part of the law of international commercial contracts. prepared by independent experts from all the major legal systems and geo-political areas of the world, set up by the International Institute for the Unification of Private Law (Unidroit), an intergovernmental organisation composed of 61 member States including China ( In recent years, the UNIDROIT Principles have been a source of law to many legislators (incl. China and Germany). They are akin to many laws. Beijing 28 April 2009

18 第二部分(5) 《国际统一私法协会国际商事合同通则》UNIDROIT Principles
国际商事合同法基础部分的非立法性法典化或者“重述”。 由来自主要法域以及地缘政治区域的独立专家共同准备。 由国际统一私法协会(UNIDROIT)组织，该协会是由包括中国在内的61个成员国组成的国际组织。 ( 近年来，国际统一私法协会国际商事合同通则已经为很多国家的立法者（包括中国和德国）所采纳。其在很多国家的内国法中得以体现。 Beijing 28 April 2009

19 Part II.(6) UNIDROIT Principles continued
First published in 1994, in their present edition of 2004 the Unidroit Principles consist of a Preamble and 185 articles divided into 10 chapters on general provisions, formation including authority of agents, validity, interpretation, content including third party rights, performance including hardship, non-performance and remedies, set-off, assignment of rights, transfer of obligations and assignment of contracts, and limitation periods. Each article is accompanied by comments and, where appropriate, by factual illustrations intended to explain the reasons for the black letter rule and the different ways in which it may operate in practice. Beijing 28 April 2009

20 第二部分(6) 《国际统一私法协会国际商事合同通则》UNIDROIT Principles
《国际统一私法协会国际商事合同通则》第一版公布于1994年，当前版本为2004年版，包括前言和185条，共计10章。 就内容而言，主要包括合同形式要件、代理权、合同的效力和解释、第三方权利、履行中的艰难情势、不履行以及补救、抵消、权利的转让、义务的转移与合同的转让，以及时效期间。 每个条款都附有评述，并在必要的地方加入举例来解释基本条款以及其在实践中的不同应用方式。 Beijing 28 April 2009

21 Part II (7) UNIDROIT Principles continued
The Unidroit Principles represent a mixture of both tradition and innovation. In other words, while as a rule preference was given to solutions generally accepted at international level (“common core” approach), exceptionally solutions best suited to the special needs of international trade were preferred even though they represented a minority view at domestic law level (“better rule” approach).    The UNIDROIT Principles are available in virtually all the principal languages of the world including Chinese. Using the UNIDROIT Principles as a basis for the “standard” contractual issues, is a good and cost efficient, neutral basis. Beijing 28 April 2009

22 第二部分(7) 《国际统一私法协会国际商事合同通则》UNIDROIT Principles
《国际统一私法协会国际商事合同通则》代表了传统与创新的结合。换言之，一方面国际社会普遍接受的基本原则被加以规定（“共同准则”），另一方面，针对国际贸易中的特别需求，特定的解决方案被加以引入，即便他们仅仅代表内国法层面上的少数派观点（“优选条款”）。 此外，《国际统一私法协会国际商事合同通则》已经翻译成包括中文在内的多种语言，并可在互联网上直接下载。 应用《国际统一私法协会国际商事合同通则》作为标准合同项目的基础将是经济、合理和中立的选择。 Beijing 28 April 2009

23 Part II (8) UNIDROIT Principles
At its 40th Plenary Session in 2007, the United Nations Commission on International Trade Law (UNCITRAL) formally endorsed the UNIDROIT International Commercial Principles and commended their use by the international business community. Arbitral tribunals increasingly refer in their decisions to the Unidroit Principles, see the UNILEX database at As a result the UNIDROIT Principles provide also a neutral common ground for parties from different legal cultures. Beijing 28 April 2009

24 第二部分(8) 《国际统一私法协会国际商事合同通则》UNIDROIT Principles
联合国贸易法委员会在2007年其第40届全体大会上正式接受了《国际统一私法协会国际商事合同通则》，并建议国际商业界使用该通则。 仲裁庭愈来愈多地在其仲裁裁决中援引《国际统一私法协会国际商事合同通则》，详情参见UNILEX数据库： 从结果上看，《国际统一私法协会国际商事合同通则》为来自不同法律文化的当事人提供了中立的共同基础。 Beijing 28 April 2009

25 Part II (9) Chinese law / UNIDROIT Principles
Many provisions in the Chinese contract law and the UNIDROIT Principles are similar or nearly identical, e.g. the provisions on effectiveness of contract (Art. 8 Chinese Contract Law / Art. 1.3 UNIDROIT Principles) on freedom of form (Art. 10 Chinese Contract Law / Art. 1.2 UNIDROIT Principles) on standard terms (see Art Chinese Contract Law / Art , , and UNIDROIT Principles) on negotiations in bad faith (Art. 42 Chinese Contract Law / Art UNIDROIT Principles) on confidentiality (Art. 43 Chinese Contract Law / Art UNIDROIT Principles) on contract performance (Chapter 4 of Chinese Contract Law / Chapter 6 of the UNIDROIT Principles) on liability for breach of contract (Articles , 114 and Chinese Contract Law / Chapter 7 of the UNIDROIT Principles on “non-performance”). Beijing 28 April 2009

26 第二部分(9) 中国法 /《国际统一私法协会国际商事合同通则》
中国合同法与《国际统一私法协会国际商事合同通则》在很多条款上相似或者几乎一致，例如： 关于合同效力：中国合同法第8条/《国际统一私法协会国际商事合同通则》第1.3条 关于形式要件：中国合同法第10条/《国际统一私法协会国际商事合同通则》第1.2条 关于格式条款：中国合同法第39至41条/《国际统一私法协会国际商事合同通则》第2.1.19, , 和2.1.22条。 关于谈判中的恶意：中国合同法第42条/《国际统一私法协会国际商事合同通则》第2.1.15条 关于保密问题：中国合同法第43条/《国际统一私法协会国际商事合同通则》第2.1.16条 关于合同履行：中国合同法第4章/《国际统一私法协会国际商事合同通则》第6章 关于违约责任：中国合同法第108至112条，第114条以及第118至120条/《国际统一私法协会国际商事合同通则》第7章 Beijing 28 April 2009

27 Part II (10) Beyond the UNIDROIT Principles
The choice of UNIDROIT Principles does not liberate the parties from writing a detailed construction contract, in particular by focusing on the description of the scope of work; thinking about creative, pragmatic solutions for the special needs of the project; researching the applicable mandatory national laws and regulations for certain aspects; yet, it is a perfect joint neutral starting point; Such choice needs to be combined with a forum which accepts such choice of neutral rules. Beijing 28 April 2009

28 第二部分(10)在《国际统一私法协会国际商事合同通则》以外
即便选择了《国际统一私法协会国际商事合同通则》， 当事人仍然需要书面订立详细的建筑合同，尤其是就工程项目的范围进行详细地描述； 当事人仍然可以就项目的特定需要考虑采用有创新性的、务实的解决方案； 当事人仍然可以检索强制性的内国法律以及针对特定事项的管制规定； 该通则仅仅是构筑了一个理想的相互合作的中立基础； 与之相关联的是所选择的管辖法院认可对该中立法律基础的选择。 Beijing 28 April 2009

29 Part II (11) CISG For certain issues, e.g. sales of spare parts, CISG may be a valuable alternative for international sales CISG is part of Chinese law (since 1. January 1988). It applies to contracts of sale with contracting partners from other CISG members (e.g. Germany, Italy, France, Greece, Spain, Canada and Australia), Art. 1 I a CISG to contracts of sale where the parties agree on Chinese, German or any other law of a member state generally to all contracts of sale where the applicable law points to the application of the law of a member state such as China or Germany, Art. 1 I b CISG, E.g. according to future European private international law (Rome I Regulation of the European Union, effective as of 17 December 2009) if the Chinese party is the seller. Beijing 28 April 2009

30 第二部分(11) 联合国国际货物买卖合同公约（CISG）
该公约适用于 与《联合国国际货物买卖合同公约》（CISG）的其他缔约国的当事人之间所订立的货物买卖合同（例如，德国、意大利、法国、希腊、西班牙、加拿大和澳大利亚）， 《联合国国际货物买卖合同公约》（CISG）第1条第1款a项 货物买卖合同中当事人双方同意适用中国法或德国法、或者其他任一缔约国的法律 普遍适用于所有的货物买卖合同，如果在该合同中指定可适用的法律为某一缔约国（如中国或者德国）的法律， 《联合国国际货物买卖合同公约》（CISG）第1条第1款b项， 例如，根据即将生效的欧盟国际私法条例（又称欧盟罗马条例第1号（Rome I Regulation of the European Union），将于2009年12月17日起生效实施），在中国当事人作为卖方的情况下。 Beijing 28 April 2009

31 Part II (12) CISG Through the CISG, the international sales law of China and 72 laws around the globe (including Germany and Italy) are alike. Differences lie only in national reservations to the CISG, e.g. the (outdated) Chinese reservation according to Art. 1 I b and Art. 11. As a result the “international” CISG (without reference to such national reservations) provides often a neutral common ground. See e.g. discussion in this direction at the UNCITRAL Congress "Modern Law for Global Commerce", 9-12 July 2007, Vienna. See worldwide cases and publications at Beijing 28 April 2009

32 第二部分(12) 联合国国际货物买卖合同公约（CISG）
不同之处仅在于对《联合国国际货物买卖合同公约》（CISG）所作出的国家保留，例如，按照该公约第1条第1款b项和第11条中国所作出的保留（该保留实际已过时）。 由此，“国际性”的《联合国国际货物买卖合同公约》（CISG）（国家保留除外）经常提供了一个中立的共同的基础。 例如，参见2007年7月9日至12日在维也纳举办的联合国国际贸易法委员会“全球商务现代法”大会上的有关讨论。 世界范围内的案例及相关文章，见 Beijing 28 April 2009

33 Part III: CEAC clauses as a useful tool for foreign law risk management (1)
Combination of: A choice of law clause which foresees the possibility to refer to neutral law An arbitration clause which refers to CEAC as an institution with equal division of power between China, Europe and the world in the appointing authority whereby CEAC and the underlying UNCITRAL based German arbitration law accept such reference to neutral rules of law Beijing 28 April 2009

34 第三部分: 中欧仲裁中心仲裁条款作为解决外国法适用风险管理的有效工具(1)
中欧仲裁中心仲裁规则是如下两方面的有机结合：: 法律适用示范条款，其对于法律适用进行了约定 仲裁示范条款，其规定将中欧仲裁中心作为仲裁解决机构，而该仲裁机构遵循权力平衡原则，既来自中国、欧洲和世界其他地域的代表均衡地分配管理权利 与此同时，中欧仲裁中心以及以《联合国国际贸易法委员会仲裁规则》为基础的德国仲裁法亦接受该中立法选择方式。 Beijing 28 April 2009

35 Part III (2): … - CEAC choice of law clause
The contract shall be governed by a) the law of the jurisdiction of _______ [country to be supplemented], or b) the United Nations Convention on Contracts for the International Sale of Goods of 1980 (CISG) without regard to any national reservation, supplemented for matters which are not governed by the CISG, by the UNIDROIT Principles of International Commercial Contracts and these supplemented by the otherwise applicable national law, or c) the UNIDROIT Principles of International Commercial Contracts supplemented by the otherwise applicable law. In the absence of any such agreement, the Arbitration Tribunal shall apply the rules of law which it determines to be appropriate. Beijing 28 April 2009

36 第三部分 中欧仲裁中心仲裁示范条款 本合同应适用 a) ________ （国家）的法律，或者
b) 《1980年联合国国际货物买卖合同公约》，不考虑任何国家保留。对于《1980年联合国国际货物买卖合同公约》不涉及的情形，补充适用国际统一私法协会制定的《国际商事合同通则》和其他可以适用的国家法律的相关规定，或者 c) 国际统一私法协会制定的《国际商事合同通则》，并补充适用其他可以适用的法律。 在对于所适用的法律没有约定的情况下，仲裁庭应指定可以适用的法律。 Beijing 28 April 2009

37 Part III (3): … - CEAC arbitration clause
Any dispute, controversy or claim arising out of or relating to this contract, or the breach, termination or invalidity thereof, shall be settled by arbitration in Hamburg (Germany) in accordance with the CEAC Hamburg Arbitration Rules. Beijing 28 April 2009

38 由于本合同而发生的或与本合同有关的任何争议、争端或者请求，
第三部分 中欧仲裁中心仲裁示范条款 由于本合同而发生的或与本合同有关的任何争议、争端或者请求， 或有关本合同的违约、终止、无效 应按照《汉堡中欧仲裁中心仲裁规则》在德国汉堡予以解决。 Beijing 28 April 2009

39 Part III (3): Options CEAC arbitration clause
(a) The number of arbitrators shall be ___ ((i) one or (ii) three or (iii)  three unless the amount in dispute is less than € ___ [e.g €] in which case the matter shall be decided by a sole arbitrator) ; (b) The arbitration proceedings shall/may take place (also) in ___________ (town or country); (c) The language(s) to be used in the arbitral proceedings shall be __________; (d) Documents also may be submitted in _________________ (language). Beijing 28 April 2009

40 第三部分 中欧仲裁中心仲裁示范条款 选项： (a) 仲裁员人数应为______（(i) 一人 或者 (ii) 三人 或者 (iii) 三人，除非争端标的额低于________欧元[例如：100000欧元]且争端事宜应由独任仲裁员裁决的。）； (b) 不考虑仲裁地点，仲裁庭可在____________（城镇和国家）举行听证； (c) 仲裁程序中所用的一种或多种语言应为_________； (d) 所提交文件可使用_________（语言）。 Beijing 28 April 2009

41 Part III (3): Options CEAC arbitration clause
Further Options: (e) The arbitration shall be confidential. The parties agree that also the mere existence of an arbitration proceeding shall be kept confidential, except to the extent disclosure is required by law, regulation or an order of a competent court. (f) The arbitration tribunal shall apply the CEAC Hamburg Arbitration Rules as in force at the moment of the commencement of the arbitration unless one of the parties requests the tribunal, within 4 weeks as of the constitution of the arbitration tribunal, to operate according to the CEAC Hamburg Arbitration Rules as in force at the date of the conclusion of this contract." Beijing 28 April 2009

42 第三部分 中欧仲裁中心仲裁示范条款 其他选项：
e.仲裁应当保密。双方当事人同意，即便是仲裁程序存在这一事实亦应当保密，但是法律、规定或者法院令要求公开的情况除外。 f.仲裁庭应当适应仲裁程序启动时有效的《汉堡中欧仲裁中心仲裁规则》，除非一方当事人，自仲裁庭组成四周内，向仲裁庭提出请求，要求依据本合同缔结时有效的《汉堡中欧仲裁中心仲裁规则》的。 Beijing 28 April 2009

43 Summary: Consequences
Negotiate early on the choice of law clause: Try Chinese law or neutral law (e.g. CISG law or Unidroit Principles) Agree on the arbitration institution (that choice is decisive for the efficiency of the arbitration proceeding and for the choice of law) e.g. BAC in China or a neutral institution (CEAC) Devote the necessary time, concentration and budget to legal risk management Beijing 28 April 2009

44 选择商定仲裁机构 (这一选择对于仲裁程序有效进行具有决定性意义，且对法律适用选择有影响)
结论：策略选择 尽早就法律适用选择条款进行谈判： 尽量争取适用中国法或者中立性法律（例如： 《联合国国际货物买卖合同公约》 和《国际统一私法协会国际商事合同通则》） 选择商定仲裁机构 (这一选择对于仲裁程序有效进行具有决定性意义，且对法律适用选择有影响) 例如，选择北京仲裁委员会或者中欧仲裁中心作为一个新的仲裁机构 投入必要的时间、精力和预算来实现法律风险管理 Beijing 28 April 2009

45 Thank You. 谢谢 www.ceac-arbitration.com www.cela-hamburg.com
博文(Dr. Eckart Brödermann) BRÖDERMANN & JAHN (博文/杨 德国律师事务所) Rechtsanwaltsgesellschaft mbH Neuer Wall 71, Hamburg The inaugural ceremony of CEAC 落成典礼在汉堡市政大厅举行 18 September 2008 Beijing 28 April 2009