RAILWAY INDUSTRY DISPUTE RESOLUTION COMMITTEE: PROCEDURAL RULES FOR THE RESOLUTION OF DISPUTES

BY THE COMMITTEE

 

(Note: The references in brackets to the right of some clauses are to the RIDR Rules).

 

1.         General

 

1.1       These Procedural Rules are adopted by the Railway Industry Dispute Resolution (RIDR) Committee in accordance with RIDR Rule A7.3.1.  They are supplementary to the RIDR Rules and, in the event of any conflict between these Procedural Rules and the RIDR Rules, the latter shall prevail.  Whilst they describe the process of a dispute between two parties, they also apply, with appropriate amendment, to a dispute between more than two parties.

 

1.2       The purpose of these Procedural Rules is to ensure that disputes referred to the Committee are resolved with the minimum of delay and that all documents, facts and other information on which a party to the dispute intends to rely, or to which it intends to refer, at the hearing have been disclosed to the other party in advance of the hearing.

 

1.3       The timescales in the RIDR Rules and in these Procedural Rules have been specified with the intention of ensuring that straightforward disputes are disposed of quickly.  Longer timescales may be required for more complex disputes.  The Chairman has discretion to extend the timescales both in the RIDR Rules and in these Procedural Rules.

(A7.3.4, A8.5)

 

1.4       The RIDR Committee comprises five members, each of whom appoints an alternate, plus the Chairman, Vice-Chairman (if appointed) and Committee Secretary, or alternate.  A Committee member may be appointed as Deputy Chairman and in that capacity exercise the powers of the Chairman and act as a member.  A quorum comprises the Chairman or Independent Vice-Chairman and four members or their alternates; the Chairman, Independent Vice-Chairman and Committee Secretary do not have a vote.

(A7.1)

 

Any Committee member appointed as Deputy Chairman is not empowered to make a ruling in dispute hearings to which the Industry Party by which he is employed (or is otherwise connected with in a way which may compromise his impartiality) is a party.

(A7.2)

 

2.         Parties to a Dispute

 

2.1       Any Industry Party may unilaterally refer to the Committee any dispute covered by a provision in a contract or agreement between two or more Industry Parties which requires such a dispute to be referred to the Committee.  Other disputes between Industry Parties may be referred to the Committee, but only if all parties to the dispute agree.  A dispute between an Industry Party and someone who is not an Industry Party may be referred to the Committee only if (a) the non-Industry Party agrees, and (b) either the dispute is part of a wider dispute between more than one Industry Party, or the dispute involves the allocation of liabilities for a claim falling within clause 2.1 of the Claims Allocation and Handling Agreement (CAHA), or the Committee consents.

 

2.2       The parties to a dispute are -

 

·                    someone who has made a claim in the dispute (the claimant);

·                    someone against whom a claim has been made (the respondent);

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

 

The Chairman shall have the power to exclude any party which he rules not to be materially involved in a dispute.

 

3.         Starting Proceedings

 

3.1       A person wishing to refer a dispute to the Committee must contact the Committee Secretary in order to clarify the nature of the dispute and the agreement or other document giving the Committee jurisdiction to consider it.

 

The party referring the dispute to the Committee shall then serve a written notice of reference on the Committee Secretary and on every other party to the dispute, to be received at least fourteen days before the proposed date for the hearing -

 

·                    stating the subject matter of the dispute,

·                    identifying the names and addresses of the other parties concerned,  and

·                    giving a summary of the nature and circumstances of the dispute.

(A8.1)

 

3.2       The Committee Secretary may at this stage arrange a meeting with the parties in order to agree the process and the timetable for addressing the dispute.  This meeting will be concerned with how to deal with the issues in dispute, but not in any way with their merits.

 

Responsibility for the production of the following documents, to an agreed timescale, will be identified at this meeting:

 

·                    Statement of Agreed Facts, including an estimate of the amount in dispute;

·                    Claimant’s submission;

·                    Respondent’s response to that submission;

·                    Any counter-response the claimant may wish to make to the respondent’s response;

·                    Bundle of documents;

·                    Expert reports (if any), plus a joint schedule of points on which the respective experts agree and those on which they disagree;

·                    Witness statements (if any).

 

In certain circumstances, these matters may be agreed without the need for a preliminary meeting

(A8.1, A8.2)

 

3.3       The Bundle of Documents will comprise those documents, including any written contract or agreement, on the terms of which one or more parties wishes to rely.  Any such document must, unless the Committee Secretary after consulting the Chairman as necessary otherwise agrees, be supplied in full, with the relevant passages highlighted.  The inclusion of any document in the Bundle of Documents should be agreed between the parties to the dispute;  such agreement will be in relation to the accuracy of the document and not to the manner in which one party or the other seeks to construe it.

 

The Bundle of Documents will normally include -

 

·                    an index of contents;

·                    a copy of any document to which a party wishes to refer, including legal authorities;

·                    any written material (e.g. diagram, photograph, calculation) considered relevant to the dispute;

·                    a copy of any expert reports commissioned by the parties, together with, if more than one party has commissioned its own report addressing a similar issue, a joint schedule of points on which their respective experts agree and those on which they disagree;

·                    a copy of any witness statements.

 

The Committee Secretary will agree with the parties how the cost of preparing sufficient copies of the Bundle of Documents to meet the needs of the Committee and of the parties shall be met.

 

3.4       Any party wishing to call a witness must apply to the Chairman through the Committee Secretary, stating the name, business address and occupation of the witness, what the party is seeking to establish through his evidence and how long examination-in-chief is likely to take.

 

The evidence to be given by a witness must be set out in advance in a witness statement signed by him and must be given in person at the hearing unless -

 

(a)        the parties have confirmed in writing that the contents of the witness statement are not disputed,  and

(b)        the Chairman has ruled that the Committee does not require the witness to appear before it.

 

It is the responsibility of the party calling a witness to give evidence in person to ensure that the witness is present at the appropriate time and to meet all costs involved in securing his attendance.

 

3.5       Any party wishing to rely on expert evidence must supply the Committee Secretary with the name, address, occupation and qualifications of the expert.  That party must also agree with the other parties, and the Committee Secretary, the date by which a copy of the expert’s report is to be supplied to them.  There is no requirement for the expert to attend the dispute hearing for the sole purpose of proving his report but, if any other party makes prior application to the Chairman in accordance with paragraph 3.4 to cross-examine the expert, the party who commissioned his report must arrange for his attendance as a witness at the hearing.

 

If and to the extent that reports addressing substantially the same issues are commissioned from more than one expert, the parties must instruct their respective experts to collaborate in the production of a schedule identifying those matters and conclusions on which they agree and those matters and conclusions on which they disagree.

 

3.6.      When the Committee Secretary is satisfied that all appropriate documents have been received from the parties he will, subject to paragraph 4.2 below, confirm the date of the hearing to all the parties involved.

 

3.7       Each party providing any subsequent written material to be considered at the hearing must first agree with the Committee Secretary whether such material is permissible within the agreed timescale, how many copies are required, and who is responsible for providing such material to other parties to the dispute; this responsibility will normally be that of the party originating such material.

 

 

4.         Before the Hearing 

 

4.1       If it at any time or times appears to the Committee Secretary, in consultation with the Chairman, that the Committee is likely to need the benefit of independent legal or technical advice in order to be able to resolve the dispute, the Committee Secretary shall so inform the parties, giving them an estimate of the cost of obtaining such advice.  The cost of obtaining that advice shall be borne by the parties in such proportions as they may agree amongst themselves and in accordance with such arrangements as they may agree with the Committee Secretary (or, failing agreement in either respect, as the Chairman may determine).  Any additional cost arising from the appointment of independent legal or technical advisers shall be shared between the parties, unless they agree otherwise, in the same proportions as the original estimate; at the time of initial agreement by the parties to pay for such advice they may place a limit on any additional costs to be incurred.

 

4.2.      In any case where it appears to the Committee Secretary, in consultation with the Chairman, that the issue in dispute has not been identified with sufficient clarity, or that the parties could reasonably be expected to produce further information about the dispute in advance of the meeting of the Committee, or that it will be necessary for the Committee to obtain independent legal or technical advice on the dispute, or that for any other reason a preliminary meeting is necessary or desirable, the Committee Secretary will arrange such a preliminary meeting with the Chairman.

 

The Chairman will at the preliminary meeting hear the parties to the dispute and establish with them, or at his discretion make rulings on, such matters as -

 

·                 the issues in dispute;

·                 the maximum amount to be spent on obtaining independent legal or technical advice and how that will be apportioned between the parties to the dispute;

·                 whether two or more disputes should be dealt with by the Committee together or in succession;

·                 where more than two parties are involved, the arrangements for each to be able to make oral representations to the Committee;

·                 the timescale for the hearing.

 

4.3       The Committee Secretary will forward to the Committee members all the documents produced in connection with the dispute.  Late circulation of papers will not prevent or invalidate discussion of the dispute.

(A8.3)

 

Members of the Committee may require further information or clarification.  The Committee Secretary may then, in advance of a hearing, submit to each of the parties a list of questions which the Committee wishes answered and/or a list of documents which the Committee wishes to be provided.  Each party must supply a copy of its response to the other party.

 

Apart from responding to the Committee Secretary, no further material may be produced outside the agreed timescales without the permission of the Chairman.

 

4.4       Each party to a dispute will be notified by the Committee Secretary of the date, time and place of the Committee meeting at which their reference will be heard at least seven days before that meeting.

 

If a party to a dispute fails to receive the notification of the meeting from the Committee Secretary and the information submitted by each other party to the dispute at least seven days before the meeting it can require the Committee to postpone the meeting.  Any party seeking an extension of time to prepare or serve documents should apply to the Chairman (through the Committee Secretary) giving reasons.

 

The Committee shall be entitled to proceed to consider any dispute referred to it unless

 

·                    any party to the dispute shall, before the beginning of the meeting, have exercised any right to have consideration of the dispute postponed, or

·                    the Chairman, on the application of any party to the dispute, determines that the Committee’s consideration of the dispute should be postponed on the grounds that the party which has made the application has received insufficient notice in any respect.

 

If the Committee’s consideration of the dispute is not so postponed, no objection shall be made in relation to the failure of any party to receive on time any notification, information or documents.

(A8.4)

 

4.5       Each party shall not later than seven days prior to the time fixed for the meeting of the Committee fax to the Committee Secretary -

 

(a)        the name, business address, telephone number and position of the officer or employee with decision-making status who is to represent it at the meeting of the Committee; such person may be a member or alternate member of the Committee but cannot, in that case, sit as a member of the Committee while hearing the dispute in question;  a person may represent a party to a dispute even if he is a witness in the proceedings;

(b)        if it wishes, a request that the Chairman direct that it may be represented by a named individual who is not one of its officers or employees with decision-making status, with details of the individual and the reasons for the request;

(c)        a request that the Chairman direct that its representative may be accompanied by a named individual who is legally qualified, with details of the individual; and

(d)        details of any representative of the party’s insurers and of any persons with technical or professional expertise (other than legal advisers) whom it wishes to attend the meeting of the Committee.  None of these persons may, without the consent of the Chairman, address the Committee, but must confine their participation to advising the representative of the relevant party to the dispute.

(A8.6)

 

4.6       A representative of the Registrar (as defined in the Claims Allocation and Handling Agreement) shall be entitled to attend that part of the hearing at which the allocation of a third party claim is to be considered.  He may provide written and oral information to the Committee as to that claim.

(A8.6.5)

 

4.7       The Chairman may extend any period of time fixed by or pursuant to these Rules, whether or not that period of time has expired.  The Committee Secretary will notify the Committee members and the parties to the dispute of any such extension of time.

(A8.5)

 

4.8.      None of the steps described above shall prevent the parties continuing to communicate directly and attempting to settle the dispute before the start of the Committee hearing.

 

 

5.         Hearing of the Dispute

 

5.1       The purpose of the hearing is to enable the Committee to obtain a full understanding of the issues described in the  written material provided by the parties and to explore any issues that may not have been fully covered therein.

 

5.2       The Committee will start its meeting by considering and noting for the record the contract clause or other document that gives it jurisdiction to hear the dispute.

 

The Chairman will make a statement addressing the declaration of interests of members of the Committee.  Any member of the Committee, or his alternate, shall, except at the discretion of the Chairman, be entitled to participate fully in the proceedings and the subsequent decision-making.

 

The Committee will identify the parties involved and their representation and identify the written Submissions and supporting documents.  The hearing will then start; all parties will stay in the room until the end of the hearing.

 

5.3       The Chairman and the Committee may have regard to, but shall not be bound by, the views expressed by any adviser engaged by the Committee.  The Chairman shall disclose to the parties the substance of the advice that has been obtained before the conclusion of the hearing.

(A8.7.2)

 

5.4       Each party will be given the opportunity to address the Committee orally for up to 20 minutes or for such longer period as the Chairman may allow.  The claimant will normally be invited to address the Committee first.  The respondent, and any other parties, will then be invited to speak. 

 

All parties will be given the right to reply if and to the extent that points have been made orally that were not adequately exposed in the relevant summarised submission.  The Chairman will not normally expect parties to speak for more than 20 minutes.

 

Written material not previously identified in paragraph 3.2 above will only be admitted at the hearing at the discretion of the Chairman.

 

5.5       After being questioned by the party calling him, a witness may be questioned by the other party or parties and by members of the Committee.  A witness will not normally be required to remain on hand to respond to any further questions.

 

5.6       Members of the Committee may ask the parties’ representatives questions both during and after their oral representations (allowance will be made for this in calculating the limit of 20 minutes referred to above).  Once the parties have completed their oral representations, and the members of the Committee have no further questions, the Chairman will terminate the hearing.

 

 

6.         Determination of the Dispute

 

6.1.      At the end of the hearing the Chairman will ask one representative of each of the parties to remain in the room to try to reach a decision on the dispute or any part of it that is either unanimous, or attracts no dissenting votes.  All other representatives of the parties will be asked to withdraw, but to remain on hand in case supplementary questions arise.

(A8.8.1)

 

6.2       The outcome of the Committee hearing will be announced orally at the conclusion of the hearing and will take the form of either -

 

(a)        a unanimous decision on the dispute or any part of it by the Committee and the parties (i.e. one which no member or voting representative of the parties votes against), with any order as to the payments to be made, or action to be taken, by any party, as to the meaning of an agreement or a party’s obligations under it, and as to whether any payment ordered to be made shall carry interest; or

(b)        a ruling to be made or confirmed in writing by the Chairman, which any party may ask to be given in writing, with any order as mentioned above; or

(c)        a decision by the Chairman to postpone consideration of the dispute to a subsequent meeting of the Committee; or

(d)               a declaration by the Chairman that the dispute has not been resolved.

(A8.8)

 

6.3       A ruling by the Chairman will be in writing.  Any of the parties may require the Chairman to provide a written statement of his reasons for the ruling.

(A8.8.3)

 

6.4       Meetings of the Committee will be held in private.  A copy of the Committee’s decision or of the Chairman’s ruling (or, at the Committee’s discretion, a summary thereof or of the rationale for it) will be sent to each Industry Party, to the Strategic Rail Authority and, in the case of a dispute to which any Industry Party paying a licence fee is party, to the Regulator.

(A8.8.5)

 

6.5       Any party wishing the Chairman to direct that the whole or any part of any decision of the Committee or ruling by the Chairman shall be kept confidential shall make such request to the Chairman (through the Committee Secretary) and give notice to each of the other parties within seven days of the conclusion of the Committee meeting.  Unless otherwise agreed by all the parties at the time of the meeting, all decisions and rulings shall remain confidential until the expiry of that period.

(A8.8.5)

 

6.6       The Committee Secretary may compile a report on the procedural aspects of any proceedings and may include recommendations as to the conduct of any future claim or proceedings.  The Committee may direct that a copy of the report be sent to all Industry Parties and to the Strategic Rail Authority.

(A8.8.5)

 

6.7       The Committee will encourage the resolution of disputes by the parties concerned at any stage; a party may withdraw its reference to the Committee at any time up to the point where the Committee ends the hearing and attempts to resolve the dispute by unanimous agreement.

 

Such withdrawal does not avoid any liability for costs as determined by the Committee.

 

7.         Interpretation

 

            Any dispute as to the interpretation or application of these Procedural Rules shall be resolved by a ruling by the Chairman, which shall be binding.

 

8.         Committee Secretary

 

The Secretary to the RIDR Committee 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

 

 

 

April 2002