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DRBF 11 th Annual International ConferenceImplementation of JICA’s Programmefor Introduction and Disseminationof Dispute Adjudication Board (DAB)in the Asian RegionMay 14 – 15, 2011Yukinobu Hayashihayashi-yk@n-koei.jpNippon Koei Co., Ltd.&Dr. Toshihiko Omotoomoto.toshihiko@nifty.comVisiting Professor, Kyoto University© JICA/Toshihiko Omoto/Yukinobu Hayashi 1

Issues on Dissemination of DAB1. Supply Side IssuesQualified adjudicators are insufficient, especially inthe Asian Region, to cope with increasing demandin JICA ODA projects.2. Demand Side IssuesMany of project stakeholders, i.e. Employers,Contractors and Engineers, have not been familiarwith DAB and do not understand real benefit ofDAB.© JICA/Toshihiko Omoto/Yukinobu Hayashi2

JICA’s Program (2008-2010)1. For Supply Side Issues• Development of DB Training Kit for educating and trainingDB adjudicators• Survey on actual status of National List adjudicators• Sample Guideline for Qualification Procedure of NationalList adjudicators• Trial DB adjudicators training workshop and assessmentworkshop in Japan2. For Demand Side Issues• DB promotion seminar in Japan, India, Philippines,Vietnam, Cambodia, Bangladesh and Sri Lanka• Survey on use of DB under MDB projects© JICA/Toshihiko Omoto/Yukinobu Hayashi3

Joint Venture among:JICA Study Team• Dr. Toshihiko Omoto– Professor, Kyoto University• Mr. Yoshihiko Yamashita– Association of Japanese Consulting Engineers(AJEC: FIDIC’s Member Association, Japan)• Mr. Yukinobu Hayashi– Nippon Koei Co., Ltd.© JICA/Toshihiko Omoto/Yukinobu Hayashi4

Today’s Topics• JICA DB Training Kit• Guideline for Implementation ofQualification Procedure of DB Adjudicators• JICA DB Training Workshop• JICA DB Assessment Workshop© JICA/Toshihiko Omoto/Yukinobu Hayashi5

JICA Training Kit• Purpose of developing Training Kit– To teach potential DB adjudicators of knowledgeand practice for the preparation for AssessmentWorkshop, especially in Asian region– To educate and train construction projectstakeholders; governmental employers,contractors, consultants, insurers etc.– Trainees’ & Trainer’s version© JICA/Toshihiko Omoto/Yukinobu Hayashi6

JICA Training Kit• Structure of Training Kit– A Sample Programme for a 5-day Workshop– Text (Trainee’s version/Trainer’s version)– Attachments• PDF of Power Point Slides for presentation• A sample Site visit report and DB Decision• Dispute Adjudication Agreements, FIDIC 1999 Red Book• Extracts from FIDIC Contracts and MDB Harmonised Ed.• ICC Dispute Board Rues• Other relevant articles© JICA/Toshihiko Omoto/Yukinobu Hayashi7

JICA Training Kit• How to use Training Kit?– For 5-days Workshop– 3 Trainers– Max 24 Trainees (3 candidates x 8 DBs)– Lectures cover all subjects in the Training Kit– Role plays based on hypothetical scenarios– Assignments as evening homework to besubmitted in the following morning© JICA/Toshihiko Omoto/Yukinobu Hayashi8

JICA Training KitA Sample Programme for A 5-Day Training WorkshopDay 1AM PM EveningIntroduction ofTrainers/TraineesIntroduction to Dispute Board• What is FIDIC?• What is a Dispute Board?• Arbitration RulesDay 2 Operation of DB (1)• Site visits• DB meeting• Site tour• Informal discussion ofpotential disputesSetting up a DB• Procedure• DB members’ Qualifications• Adjudicators Lists• DB costsOperation of DB (2)• Site visit report•Supplying information to DBMembers during intervals ofSite visitsPrepare draftCVPreparationfor MockHearing© JICA/Toshihiko Omoto/Yukinobu Hayashi9

JICA Training KitA Sample Programme for A 5-Day Training WorkshopDay 3 Operation of DB (3)• Referral & time limit• Written submissions• Hearing(s)• TranscriptsDay 4 Operation of DB (5)• DB Decision: purpose• DB Decision: structure• DB Decision: DissentsAM PM EveningOperation of DB (4)• Mock hearings by WorkshopparticipantsAfter the Decision• “Amicable Settlement”period• Enforceability of DB DecisionDay 5 Drafting Mock Decision Review & Discussion of MockDecisionConferment of CompletionCertificatePossibleextension ofMockhearingsPreparationfor draftingMockDecisionnone© JICA/Toshihiko Omoto/Yukinobu Hayashi10

Guideline for Implementation of QualificationProcedure of DB Adjudicators• Purpose of Making of the Guideline– To increase DB adjudicators– FIDIC Member Associations (MAs) can apply thisGuideline.– Disseminate DB into projects financed by JICA.© JICA/Toshihiko Omoto/Yukinobu Hayashi11

Guideline for Implementation of QualificationProcedure of DB Adjudicators• Operation of the Qualification Procedure andthe Organization to maintain NLs (NationalLists)– DB adjudicators should be accredited as NationalLists.– FIDIC encourages MAs to develop National Lists.– In some countries in Europe, NLs already created.– MAs in Asia should promote NLs.© JICA/Toshihiko Omoto/Yukinobu Hayashi12

Guideline for Implementation of QualificationProcedure of DB Adjudicators• Assessment Panel for Adjudicators (APA)– MAs (or other accrediting organization) arerecommended to appoint APA (Assessment Panelfor Adjudicators)– For the time being, in Asian countries, APAmembers are recommended to be invited fromFIDIC APA or FIDIC President’s List of ApprovedAdjudicators© JICA/Toshihiko Omoto/Yukinobu Hayashi13

JICA Training Workshop (TW)• Purpose of Adjudicator Training Workshop– To verify the effectiveness of JICA DB Training Kit– To provide a training opportunity for thecandidates who will participate in the JICA DBAssessment Workshop (AW)– To identify problems which may revealed duringTW in Japan© JICA/Toshihiko Omoto/Yukinobu Hayashi14

JICA Training Workshop• Selection of Trainers– Mr. Gordon Jaynes: an American lawyer havingover 40 years experience in internationalconstruction industry, FIDIC President’s List ofAdjudicators, FIDIC APA (6 times)– Mr. Richard Appuhn: an American civil engineer(PE), engineering geologist, having over 40 yearsexperience in civil engineering, FIDIC President’sList of Adjudicators, FIDIC accredited trainer– Professor Dr. Toshihiko Omoto© JICA/Toshihiko Omoto/Yukinobu Hayashi15

JICA Training Workshop• Invitation of Trainees– AJCE (Association of Japanese ConsultingEngineers)– OCAJI (Overseas Construction Association ofJapan, Inc.)– 19 candidates in total• Sufficient experience in construction projects• Abundant experience in construction contracts• Experience of using FIDIC Conditions of Contract© JICA/Toshihiko Omoto/Yukinobu Hayashi16

JICA Training Workshop• Training Workshop Programme– Carried out 4-day Workshop almost based on the sample 5-dayWorkshop programme– Lectures• Characteristics of DB• Types of DB• Selection of DB members• Operation of DB• Remuneration to DB members• Expiry of DB membership– Case study as homework• Identifying issues and drafting decisions based on a hypotheticalscenario– Mock hearing• Based on the scenario (a claim for an Extension of Time)• Teams take turns the roles of DB, Employer and Contractor© JICA/Toshihiko Omoto/Yukinobu Hayashi17

JICA DB Assessment Workshop• Purpose of Adjudicator Assessment Workshop– To re-verify the effectiveness of JICA DB Training Kitby conducting AW immediately after TW– To provide the result of assessment informally toAJCE for establishing NL (National List)© JICA/Toshihiko Omoto/Yukinobu Hayashi18

JICA DB Assessment Workshop• Formation of Assessment Panel for Adjudicators(APA)– Mr. Volker Jurowich: Experienced German civilengineer, FIDIC President’s List of Adjudicators, FIDICaccredited trainer, President of DRBF (DisputeResolution Board Foundation)– Dr. Sebastian Hök: A partner of a German law firm,expert in arbitration law and construction law, FIDICPresident’s List of Adjudicators, FIDIC accreditedtrainer– Professor Dr. Toshihiko Omoto© JICA/Toshihiko Omoto/Yukinobu Hayashi19

JICA DB Assessment Workshop• Assessment of Application Documents– Eligibility of 19 candidates was scrutinized basedon the application documents.– Invited experts both for TW and AW, 5 in total,carried out assessment– All candidates were judged as eligible© JICA/Toshihiko Omoto/Yukinobu Hayashi20

JICA DB Assessment Workshop• Assessment Workshop Programme– Multiple choice test– Case study– DB Decision writing– Oral examination– Interview© JICA/Toshihiko Omoto/Yukinobu Hayashi21

JICA DB Assessment Workshop3-Day ProgrammeDay 1AM PM Evening• Welcome & introduction ofthe Assessment Panel andAssesses• DAB organization (casestudy 1)• Multiple choice test• Case studyCase study 2Day 2 • Collection of case study 2• Multiple choice test reviewand Q&A• Procedural Rules and Q&A• Case study 3 Case study 4Day 3• Collection of Case study• Oral examination and Q&A• Individual interviews• Conferment of CompletionCertificates© JICA/Toshihiko Omoto/Yukinobu Hayashi22

JICA DB Assessment Workshop• Result of Assessment– Based on the assessment of all stages of AW as awhole, 10 out of 19 candidates were judged tohave necessary capabilities required for a DBadjudicator.– APA submitted the result to JICA.– JICA informed the result informally to AJCE.© JICA/Toshihiko Omoto/Yukinobu Hayashi23

JICA DB Assessment Workshop• Plan for Establishing National List of DBAdjudicators in Japan– AJCE have completed the preparation ofQualification Procedure and Registration system– 10 candidates who passed will be put on theAJCE’s National List of Approved DB Adjudicators.© JICA/Toshihiko Omoto/Yukinobu Hayashi24

Verification of Effectiveness ofJICA DB Training Kit• JICA DB Training Kits were distributed to thecandidates in advance so they would study thematerial before the TW/AW.• Kits including Power Point slides were used bythe Trainers.• Interactive sessions were made possible.• Candidates improved oral communication skills ,decision writing skills.• Without Kit, 10 out of 19 could not have passed.© JICA/Toshihiko Omoto/Yukinobu Hayashi25

The EndThank you !© JICA/Toshihiko Omoto/Yukinobu Hayashi26