A GUIDE TO PARTIES TO A DISPUTE REFERRED TO MEDIATION UNDER THE RAILWAY INDUSTRY DISPUTE RESOLUTION RULES

 

 

 

 

1.         Objective of this Guide

 

1.1       This Guide has been prepared for those taking a dispute for settlement by mediation under the Railway Industry Dispute Resolution (RIDR) Rules, or for those considering doing so.  It provides a step-by-step description of the process so that a company in dispute can understand what will happen and so that its representatives can prepare themselves to put their case in the way which will best help resolution of the dispute.

 

 

1.2       The Guide is based on the RIDR Rules but does not form part of them and is not exhaustive.  A summarised description of the process is given in the typical sequence of events in paragraph 5.

 

 

1.3       Parties wishing to refer a dispute to mediation should study Part B of the RIDR Rules (available from the RIDR Disputes Secretary or on the RIDR website: www.ridr.co.uk), and not simply rely on this Guide.

 

 

 

2.         General

 

2.1       The RIDR Rules provide a framework for the resolution of disputes within the railway industry in an informal, speedy and inexpensive way by using Alternative Dispute Resolution procedures, thereby avoiding the delay and expense of court proceedings.  The Rules apply to all forms of dispute between Industry Parties, other than disputes about access or ATOC issues.  The working of the Rules to the benefit of the industry as a whole is overseen by the RIDR Council, a body elected by Industry Parties.

 

The RIDR Rules may be used for the resolution of a dispute between one or more Industry Parties and a non-Industry Party, provided that the latter agrees and pays an administration fee.

 

 

2.2       Mixed disputes - those involving both access and other issues, for example following a mishap - should under the RIDR Rules be referred first to the RIDR Committee Secretary, who will ensure that each element in the dispute is dealt with in accordance with the relevant Rules.

 

 

2.3       Property disputes within the railway industry are dealt with by arbitration or expert determination, according to the nature of the dispute.  This process is described in “A Guide to Parties to a Property Dispute within the Railway Industry”, a copy of which is available from the RIDR Disputes Secretary or on the RIDR website (www.ridr.co.uk).

 

 

2.4       Many of the agreements between Industry Parties contain a clause specifying how disputes between the parties are to be resolved.  If a dispute is not covered by such a clause, the parties must agree at the time which Alternative Dispute Resolution procedure they wish to adopt in order to avoid the need for court proceedings.  The RIDR Rules provide a choice of four procedures:

·        reference to the RIDR Committee

·        mediation

·        arbitration

·        expert determination.

 

 

 

3.         Parties to a Dispute

 

3.1       The parties to a dispute are -

 

·        someone who has made a claim in the dispute;

·        someone against whom a claim has been made;

·        any other party likely to be materially affected by the outcome of the dispute.

 

 

4.         Starting the Process

 

4.1       A person wishing to refer a dispute to mediation should contact the RIDR Disputes Secretary in order to clarify the nature of the dispute and any agreement or other document governing the dispute resolution process.

 

 

4.2       If the parties have already agreed that disputes between them are to be handled in a particular way, the claimant may initiate the agreed resolution process without more ado.  Otherwise, all parties to the dispute must agree to the process at the time.

 

 

4.3       The RIDR Disputes Secretary maintains a register of mediators, and will seek to agree with the parties to a dispute a person from that register or a mediator suggested by one or more of those parties to deal with the dispute.

 

The RIDR Disputes Secretary is empowered by the RIDR Rules to nominate a mediator if the parties cannot reach agreement on such a person within 21 days of the initial approach from the RIDR Disputes Secretary.

 

 

4.4       At this stage the parties to the dispute and the mediator will enter into a brief agreement formalising the dispute and recognising that the fees and expenses of the mediator will be paid by the parties to the dispute.  The costs of the mediation, unless agreed otherwise between the parties to the dispute, will be shared equally between them.

 

 

4.5       No charge is payable by those Industry Parties who pay an annual levy to support the RIDR Committee for work carried out by the RIDR Disputes Secretary in connection with dispute resolution by mediation.  This work includes monitoring, in the overall interests of the railway industry, the process of mediation (but not its content) under the RIDR Rules.  Parties who have any reservations about the efficiency or effectiveness of the process are therefore encouraged to contact the RIDR Disputes Secretary at the earliest opportunity.

 

 

4.6       The mediator may decide that it would be useful for him to have the benefit of advice on technical issues from an expert assessor; the RIDR Disputes Secretary will normally assist in this appointment.

 

 

 

5.         Typical Sequence of Events

 

This typical sequence of events summarises the processes set out in this Guide; it is shown from the point of view of the party initiating the dispute resolution process, but any party responding to a dispute needs to follow a similar course.

 

·        Dissatisfaction

               ¯

·        Determine that mediation is the appropriate dispute resolution mechanism.

               ¯

·        Get support at an appropriate level in the company, insurers being involved where appropriate, for escalating dissatisfaction into a dispute.

               ¯

·        Informal discussion with the RIDR Disputes Secretary to ensure mutual understanding of the nature of the dispute and of the process to be used for its resolution.

               ¯

·        Send formal notice of dispute to the RIDR Disputes Secretary and every other party to the dispute.

               ¯

·        Agree with other parties to the dispute,  through the RIDR Disputes Secretary, the process to be used for resolution of the dispute and the name of the mediator.

               ¯

·        The mediator will agree with the parties to the dispute the logistics of its resolution and any changes to the timescale laid down in the RIDR Rules, which provide for agreement on the resolution of the dispute within a period of some 52 days.

 

 

 

6.         The Process

 

6.1       A party wishing to refer a dispute to mediation must advise the RIDR Disputes Secretary and all other parties to the dispute accordingly.

 

 

6.2       The mediator will arrange to meet the parties, and will normally request from each of them a brief summary of the dispute and their contentions in respect of it.  He may, at his discretion, send a copy to the other parties to the dispute.

 

 

6.3       Each party to the dispute may, in addition to its summary of the dispute, provide the mediator with additional documents, or bring to any mediation meeting additional information, which it wishes to remain confidential.  The mediator will not disclose such information to other parties without prior agreement.  It is the responsibility of the person providing any such document or information to make clear to the mediator that it is provided in confidence.

 

 

6.4       Two representatives of each party should attend each meeting with the mediator; at least one must be a senior manager with the company with decision-making authority in relation to the dispute.  The attendance of additional representatives needs the prior agreement of the mediator.

 

 

6.5       The mediator may meet the parties to the dispute either separately or together, and may encourage them to provide a joint summary of the dispute or agree a joint set of supporting documents.

 

 

6.6       The mediator will encourage the parties to settle the dispute by agreement; he may discuss informally with any party his own views on the merits of the dispute.

 

 

6.7       Other than by agreement between all involved, mediation meetings will not continue later than 35 days from the appointment of the mediator.  If, within seven days of the final mediation meeting, the parties have not resolved the dispute by agreement the mediator may advise them of his view of the likely outcome of the dispute if it were to be referred to arbitration and/or what he considers to be a fair outcome of the dispute.  No party is bound to adopt either his views or his advice.

 

 

6.8       Any settlement agreed between the parties to the dispute will not be legally binding until it has been expressed in writing and signed on behalf of each of the parties.

 

 

6.9       The mediation terminates when -

·        a written settlement is concluded; or

·        the mediator decides that continuing the mediation is unlikely to result in a settlement; or

·        one of the parties serves on the mediator and the other party a notice of withdrawal from the mediation.

 

 

6.10     No formal record or transcript of the mediation will be made.  Every person involved in the mediation will keep confidential all information, whether given orally, in writing or otherwise, produced for, or arising in relation to, the mediation; this includes any mediation settlement, except insofar as is necessary for its implementation.

 

 

6.11     The RIDR Disputes Secretary may compile a report on the procedural aspects of the mediation, including recommendation to help parties to any future mediation proceedings.  The parties to the dispute will not be identified by name.

7.         General Provisions

 

7.1       All communications referred to in this Guide should if appropriate be by telephone and confirmed by fax; faxes sent before 17.00 are deemed to be received that day, while letters sent by first class post are deemed to be received two days after posting.

 

 

7.2       Any party to a dispute who becomes aware that a requirement of this process has not been complied with and who fails to state an objection within a reasonable time is deemed to have waived the right to object.

 

 

 

8.         RIDR Disputes Secretary

 

8.1       The RIDR Disputes Secretary offers also an informal service to Industry Parties with the intention of helping parties to resolve a dispute without referring it formally to mediation, arbitration or expert determination.

 

 

8.2       The RIDR Disputes Secretary maintains a register of mediators, arbitrators and independent experts, and will, in conjunction with the parties to a dispute, select an individual from the appropriate register or from another source who is acceptable to all parties, and who is able to undertake the work.

 

 

8.3       The RIDR Disputes Secretary monitors the efficiency and effectiveness of the process in the interests of the railway industry as a whole.

 

 

8.4.      The RIDR Disputes Secretary is -

 

John Gott

Phone:

020 7554 0602

Central House

Fax:

020 7554 0603

14 Upper Woburn Place

E-mail:

sec@ridr.co.uk

London WC1H 0HY

Website:

www.ridr.co.uk

 

 

John Gott is also Secretary to the RIDR Committee and in that capacity the person through whom any application to the RIDR Committee Chairman should be made.

 

 

8.5.      Any Industry Party is welcome to approach the RIDR Disputes Secretary to discuss informally the RIDR Rules and their operation.

 

 

 

April 2001