Training course

The HKIA will organize or co-organize adjudication courses with other approved ANB bodies to train individuals for our adjudicator panel on a regular basis. The basic training modules will comply with Appendix I of the Guidance Notes for Application for Admission to the Register of Nominating Bodies by the DEVB. The HKIA will periodically review training needs and propose additional modules beyond the basic requirements outlined in the Guidance Notes.

HKIA/HKIS Adjudicators Training Course 2025 (April 2025)

https://www.hkia.net/en/whats-on/1/events/detail/561

HKIA/HKIS Adjudicators Training Course 2025 (July 2025)

https://www.hkia.net/en/whats-on/1/events/detail/734

Eligibility criteria for Adjudicator and Senior Adjudicator, assessment panel or committee (or the like) for management of the panels of adjudicators, and mode of assessment

Professional Qualification
Registered Architect with HKIA Membership.

Upon the initial approval of the DEVB for the HKIA’s application as the ANB, the Institute will promptly establish the HKIA ANB and the Appointment & Assessment Committee.

The assessment of applications for inclusion on the panel of adjudicators will be based on the following criteria:

1. Training Completion:

Candidates must satisfactorily complete the adjudication training course and pass the subsequent written exam, which consists of:

• Section A: A minimum of 30 multiple-choice questions.
• Section B: At least 3 written questions.

Candidates must achieve at least 50% of the marks in both Section A and Section B to pass the written exam.

2. Submission of CVs:

Candidates must submit their CVs for assessment by the Committee to demonstrate relevant post-HKIA experience:

Adjudicators

• Min. 7 years of post-qualification experience in contract administration related experience (including experience in claim assessment, variation valuation, dispute resolution and construction litigation including providing related advice); and
• Min. 5 years of local experience in preparing/ assessing contractual claims or dispute resolution relating to construction contracts;

Senior Adjudicators

• Min. 12 years of post-qualification experience in contract administration related experience (including experience in claim assessment, variation valuation, dispute resolution and construction litigation including providing related advice); and
• Min. 10 years of local experience in preparing/ assessing contractual claims or dispute resolution relating to construction contracts;

The future ANB will evaluate experience as follows:

• Non-relevant experience will not count. For example, an architect’s 5 years on a single project may not fully qualify if the initial stages involved only design or statutory submissions without contract administration duties.
• Indirect roles, such as a project manager for a client body relying on other consultants for contract administration, may not qualify if the individual did not directly handle claim assessments or variation valuations.

Requirements for professional qualifications, training and integrity

Please refer to: HKIA/ARB Professional Assessment Handbook (2025 July)

The committee comprising senior members of the applicant to assess applications for admission and assessment mechanism

Establishment of an Assessment Committee:

The HKIA Council nominated five HKIA members to form the HKIA Adjudication Nominating Body (HKIA ANB) on a bi-yearly basis to oversee the overall duties and operations of the HKIA ANB. Under the HKIA ANB, an Appointment & Assessment Committee has been established, consisting of senior HKIA members, to support the HKIA ANB in assessing and approving applications for inclusion on the panel of adjudicators. The Committee comprise of senior members of the HKIA who possess extensive experience in adjudication and related fields. The committee is responsible for reviewing all applications for admission to the panel, conducting interviews if necessary, and evaluating candidates based on the established acceptance requirements. The committee will also make recommendations for admission based on a consensus, ensuring transparency and fairness throughout the selection process.

Adjudication rules, Practice notes and Code of conduct

Adjudication rules

DEVB’s model adjudication rules

The HKIA is fully aware of and agrees with the model adjudication rules established by the DEVB. Initially, the HKIA ANB will adopt these model Adjudication Rules without any modifications. In the future, should any additions or modifications to the rules be deemed necessary, the HKIA will submit explanations and justifications to the DEVB for approval prior to incorporation.

Practice notes

DEVB’s model practice note on jurisdiction of adjudicators

DEVB’s model practice note on case management

DEVB’s model practice note on writing of determination

DEVB’s model practice note on adjudicator’s fees, expenses and costs of proceedings

The HKIA is fully aware of and agrees with the model PNs established by the DEVB. Initially, the HKIA ANB will adopt these model PNs without any modifications. In the future, should any additions or modifications to the PNs be deemed necessary, the HKIA will submit explanations and justifications to the DEVB for approval prior to incorporation.

Code of Conduct

DEVB’s model code of conducts for adjudicators

The HKIA is fully aware of and agrees with the model Code of Conduct established by the DEVB. Initially, the HKIA ANB will adopt these model Code of Conduct without any modifications. In the future, should any additions or modifications to the Code of Conduct be deemed necessary, the HKIA will submit explanations and justifications to the DEVB for approval prior to incorporation.

Procedure for nominating and appointing an adjudicator for an adjudication proceeding, and relevant templates or proforma of adjudication notice and correspondences between the Applicant (as an ANB), potential adjudicators and the adjudicating parties during the nomination and appointment process

Methodologies for nominating and appointing an adjudicator

According to the Ordinance, an adjudicator must be nominated and appointed within 7 working days after the date on which an adjudication notice is served, failing which the adjudication proceedings are terminated.  This is one of the prime duty of the ANB.  To ensure that timely appointment of the adjudicator in accordance with the statutory time frame, the following are the methodology and the usual appointment procedure:

1. Adjudication Notice Submission (Day 0):

Upon serving the adjudication notice, the claimant and respondent must inform the Appointing Nomination Body (ANB) of the notice and any preferences regarding adjudicators.  This is to be submitted at the same time of the adjudication notice.

2. Initial Review by ANB and Selection Process of Potential Adjudicators:

List of Qualified Adjudicators (Day 0):

The HKIA ANB Secretariat refers to its pre-established list of qualified adjudicators who meet the criteria relevant to the dispute and come up with a potential list of adjudicators for checking their interest and availability.

3. Contacting Potential Adjudicators (Day 1):

The potential adjudicators shall be provided with relevant basic information of the parties and the contract.

Consideration of Conflicts (Day 1-2): To ensure that any potential conflicts of interest are addressed by the ANB, the potential adjudicators, based on the basic information provided to him or her, are to sign a declaration form in the form of Form B in the adjudication rules confirming his or her availability to decide the dispute and his or her impartiality and independence and also to disclose any circumstances likely to give rise to justifiable doubts to his or her impartiality or independence in accordance with Section 29 of the Ordinance.

Matching Criteria (Day 3): Checking with the potential adjudicators, the HKIA ANB secretariat will come up with a list of at least 5 potential adjudicators for the ANB for consideration.  Taking into the consideration of the declaration form and also their disclosure of any circumstances likely to give rise to justifiable doubts to his or her impartiality or independence, the ANB matches adjudicators to the case based on expertise, experience, and the parties' preferences and will come up with at least 2 candidates.

Nomination to Adjudication Parties for Comment (Day 4-5): Nominate at least 2 candidates and provide to the adjudicating parties with their CVs (which should include the years, with a general description of the nature of the claim and the amount involved in each case), fees and declaration/ disclosures as to Conflict of Interest.  At least 2 working days will be provided for the parties to raise concerns on conflict of interest of the candidates and also indicate their preferences. 

4. Confirmation of Acceptance (Day 6):

Upon receiving the preferences from the parties, ANB will confirm with the adjudicator selected and the adjudicator must confirm their acceptance of the appointment, ensuring they are free from conflicts of interest and available to proceed.

5. Appointment Notification (Day 7):

Within 7 working days of receiving the adjudication notice, the ANB formally appoints the adjudicator and notifies both parties of the appointment.

6. Communication to Parties:

The ANB communicates the appointment details to both parties, including the adjudicator’s qualifications and a summary of their experience.

Annex A - Notice of Intention to nominate as an Adjudicator.pdf

Annex B - Letter to the parties inviting reply on ANB’s Nomination.pdf

Annex C - Reply Form on Parties’ Concerns on Conflicts of Interest and Order of Preference.pdf

Annex D - Notice of Appointment of Adjudicator.pdf

Guideline on Conflicts of Interest in Adjudication

7. Record Keeping

The ANB maintains records of the appointment process, including preferences expressed by the parties and the rationale for the selected adjudicator.

To ensure a smooth and quick process to nominate an adjudicator to meet the statutory time frame, the HKIA ANB will adopt the sample correspondence for nominating and appointing an adjudicator as developed by the DEVB and they are attached in Appendix I of the Guidance Notes.

提名及委任評審的程序

提名及委任評審的程序，以及在提名和委任過程中申請人（作為審裁員提名團體）、潛在評審和評審各方之間的相關通知和通信的模板或格式。

提名及委任評審的方法

根據條例，評審必須在送達評審通知後的 7 個工作日內提名和委任，否則評審程序將終止。這是審裁員提名團體的主要職責之一。為確保及時委任評審以符合法定時間框架，以下是方法和通常的委任程序：

1. 評審通知提交（第 0 天）:
   在送達評審通知後，申索人和被申索人必須通知審裁員提名團體該通知及任何關於評審的偏好。這需在評審通知的同時提交。
2. 審裁員提名團體的初步審查及潛在評審的選擇過程:
   • 合格評審的名單（第 0 天）:
     香港建築師學會審裁員提名團體秘書處將參考其預設的合格評審名單，該名單符合與爭議相關的標準，並提出潛在的評審名單以檢查其興趣和可用性。
3. 聯絡潛在評審（第 1 天）:
   潛在評審將獲提供有關各方及合同的相關基本信息。
   • 分析潛在衝突（第 1-2 天）:

為確保審裁員提名團體解決任何潛在的利益衝突，潛在評審根據提供的基本信息，需簽署一份形式為評審規則中的 B 表格的聲明，確認其可用性、 impartiality 和獨立性，並披露任何可能引起對其 impartiality 或獨立性產生合理懷疑的情況，根據條例第 29 條。

• • 匹配標準（第 3 天）:

審裁員提名團體秘書處將與潛在評審確認，提供至少 5 名潛在評審的名單供審裁員提名團體考慮。考慮到聲明表格及其披露的任何可能引起對其 impartiality 或獨立性產生合理懷疑的情況，審裁員提名團體根據專業、經驗和各方的偏好來匹配評審，並至少提出 2 名候選人。

• 提名評審各方意見（第 4-5 天）:

提名至少 2 名候選人，並向評審各方提供其簡歷（應包括年限、索賠的性質和每個案件涉及的金額的概述）、費用及利益衝突的聲明/披露。各方將有至少 2 個工作日的時間提出對候選人利益衝突的關注，並指示其偏好。

4. 確認接受（第 6 天）:
   在收到各方的偏好後，審裁員提名團體將確認所選評審，並確保評審確認其接受委任，確保其無利益衝突且可進行後續工作。
5. 委任通知（第 7 天）:
   在收到評審通知後的 7 個工作日內，審裁員提名團體正式委任評審並通知雙方該委任。
6. 與各方的通信:
   審裁員提名團體向雙方通報委任詳情，包括評審的資格和經驗摘要。
7. 記錄保存:
   審裁員提名團體保持委任過程的記錄，包括各方表達的偏好及選擇評審的理由。

為確保順利和快速地提名評審以符合法定時間框架，香港建築師學會審裁員提名團體將採用發展局制定的評審提名和委任的樣本通信，並附於指引備註的附錄 I 中。

Panel of adjudicators

Senior Adjudicators

Adjudicators

Schedule of fees and expenses for services provided under the Ordinance

The proposed Schedule of Fees as per constructed below:

When the sum in dispute does not exceed $1M

根據條例提供服務的費用和開支時間表
擬定的費用時間表如下：
當爭議金額不超過 100 萬元時

The structure of adjudicator’s fee as imposed by DEVB, covering the hourly rate cap and the capped amount of adjudicator’s fee and the way of service of adjudication notices and any other related correspondences with the Applicant (as an ANB)

The way of service of Adjudication Notice and other related correspondences will be served through 1) Registered Mail; 2) Email through a formal email address

The fee for including an individual in the Applicant’s panels of adjudicators per diem allowance arrangement is HKD 2,000.

A record of how and when the notice was served will be kept, including

     - Delivery receipts

     - Signed acknowledgments

     - Email delivery confirmations

The HKIA ANB will ensure that the service complies with any specific regulations or requirements set forth by the ANB or relevant legislation, in particular the timeline.

由發展局（DEVB）規定的評審費用結構，包括每小時費用上限、評審費用的上限金額，以及評審通知和與申請人（作為審裁員提名團體）相關的其他通信的送達方式。

評審通知和其他相關通信的送達方式將通過以下方式進行：

1. 按登記郵件寄送；
2. 通過正式電子郵件地址發送電子郵件。

將保留通知送達的記錄，包括：

• 送達收據
• 簽署的確認函
• 電子郵件送達確認

香港建築師學會審裁員提名團體將確保送達符合審裁員提名團體或相關法規所規定的任何特定規定或要求，特別是在時間表方面。

Complaint handling

The HKIA ANB will have a well-established and clear mechanism to handle complaints against the appointed adjudicators.  The following is the proposed mechanism.

1. Complaint Submission:
   • Formal Submission: Parties may submit complaints in writing to the Appointing Nomination Body (ANB) within 14 working days after the alleged issue arises.
   • Required Information: In the written submission, complaints should include details such as the nature of the complaint detailing the alleged misconduct or procedural irregularity by the adjudicator, relevant evidence, and the identity of the adjudicator involved.
2. Initial Review:
   • Acknowledgment: The ANB will acknowledge receipt of the complaint within a 2 working days period.
   • Preliminary Assessment: A preliminary review committee, 2 senior HKIA members to be nominated by the HKIA ANB, will carry out a preliminary review, based on the submission of the complaints, to determine if the complaint falls within the scope of valid grounds for investigation (e.g., bias, misconduct, or failure to follow procedures).
   • Preliminary Decision: Based on the information submitted, if the preliminary review committee consider that there are no valid grounds, for the complaints.  The case will be dismissed and will notify the complainant in writing.  If the preliminary review committee consider there are valid grounds for further investigation, the case will be further processed.  The decision of the preliminary review committee is final and not subject to review.
3. Investigation Process:
   • Formation of Investigation Committee: If the preliminary review committee consider there are valid grounds for the complaints, the ANB will form a complaint investigation committee to conduct the investigation, ensuring separation from the adjudicator’s functions to maintain impartiality.  The committee will be composed of 3 senior HKIA members, one of which must be an ANB member.
   • Gathering Evidence: The committee will gather evidence, which may include interviews with the complainant, the adjudicator, and other relevant parties, as well as reviewing documentation.
   • Confidentiality: Information provided during the investigation is confidential.
   • Hearing Opportunity: The adjudicator may be given an opportunity to respond to the complaint before a final decision is made.
4. Decision Making:
   • Report Generation: The investigation committee will prepare a report summarizing findings and recommendations. 
5. Sanctions:
   • Determining Sanctions: If the complaint is upheld, possible sanctions against the adjudicator may include:
     • Issuing a formal warning
     • Mandatory training or professional development
     • Suspension from the list of adjudicators for a specified period
     • Removal from the adjudicator list for severe misconduct
6. Communication of Outcome:
   • Notification: Both the complainant and the adjudicator will be formally notified of the outcome of the investigation and any sanctions imposed.
   • Confidentiality: All proceedings and outcomes will be handled with confidentiality to protect the rights of all parties involved.
7. Appeal Process:
   • Right to Appeal: The adjudicator may have the right to appeal the decision within 14 working days of the decision, which will be reviewed by a separate panel to be appointed by the ANB, comprising of 3 senior HKIA members, one of which must be an ANB member not handling the same complaint before.

8. Record Keeping and Transparency:
   • Documentation: The ANB will maintain detailed records of all complaints, investigations, and outcomes to ensure transparency and accountability.
   • Publication of Outcomes: The HKIA ANB may, on its own jurisdiction, publish disciplinary outcomes to maintain public confidence and deter future misconduct, though private reprimands may remain confidential.

投訴處理機制

香港建築師學會認證的審裁員提名團體將設有明確的投訴處理機制。以下是擬定的機制：

1. 投訴提交:
   • 正式提交: 涉事方可在涉嫌問題發生後的 14 個工作日內以書面形式向審裁員提名團體提交投訴。
   • 所需信息: 書面提交應包括投訴的性質、指控的不當行為或程序不規範的詳細信息、相關證據及參與的評審者身份。
2. 初步審查:
   • 確認收據: 審裁員提名團體將在 2 個工作日內確認已收到投訴。
   • 初步評估: 由 2 名由香港建築師學審裁員提名團體指派的資深成員組成的初步審查委員會將根據投訴提交的內容進行初步審查，以確定投訴是否屬於有效調查的範疇（如偏見、不當行為或未遵循程序）。
   • 初步決定: 如果初步審查委員會認為投訴沒有有效理由，案件將被駁回，並書面通知投訴人。如果認為有進一步調查的有效理由，案件將進一步處理。初步審查委員會的決定為最終決定，不可再審查。
3. 調查過程:
   • 成立調查委員會: 如果初步審查委員會認為投訴有有效理由，審裁員提名團體將成立投訴調查委員會進行調查，確保與評審者的職能分開以保持公正。委員會成員將由 3 名資深香港建築師學會會員組成，其中一名必須是審裁員提名團體成員。
   • 收集證據: 委員會將收集證據，包括對投訴人、評審者及其他相關方的面談和文件審查。
   • 保密性: 調查過程中提供的信息將被保密。
   • 聽證機會: 評審者可在作出最終決定前有機會回應投訴。

4. 決策過程:
   • 報告生成: 調查委員會將準備一份報告，總結調查結果和建議。
5. 制裁:
   • 決定制裁: 如果投訴成立，對評審者的可能制裁包括：
     • 發出正式警告
     • 強制培訓或專業發展
     • 在指定期間內暫停其評審者名單資格
     • 因嚴重不當行為而將其從評審者名單中移除
6. 結果通報:
   • 通知: 投訴人和評審者將正式通知調查結果及所施加的任何制裁。
   • 保密性: 所有程序和結果將保密，以保護所有相關方的權利。
7. 上訴程序:
   • 上訴權利: 評審者可在決定後的 14 個工作日內對決定提出上訴，將由審裁員提名團體指派的獨立小組審查，該小組由 3 名資深香港建築師學會會員組成，其中一名必須是未處理該投訴的審裁員提名團體成員。
8. 記錄保存與透明度:
   • 文檔: 審裁員提名團體將保持所有投訴、調查和結果的詳細記錄，以確保透明度和問責制。
   • 結果公布: 香港建築師學審裁員提名團體可根據自身裁量權，公布紀律結果，以維持公眾信心並威懾未來的不當行為，而私人警告則可能保持機密。