Article 1 - Introduction
1.1 Rules of Prime Dispute as Appointing Authority in UNCITRAL.
1.2 These Rules contain the procedures in the Arbitration Rules of the United Nations Commission on International Trade Law (“UNCITRAL”).
1.3 The role of Prime Dispute as Appointing Authority in UNCITRAL (the “Rules”) shall apply when Prime Dispute is requested to act as appointing authority by agreement of the parties or otherwise.
1.4 Under the Rules the function of appointing authority shall be carried out by Prime Dispute, or otherwise.
1.5 Prime Dispute's role as appointing authority under the Rules may include the appointment of arbitrator(s) and any service stipulated therein.
Article 2 - Definitions
In the Rules:
“UNCITRAL Arbitration Proceedings” are ad hoc arbitration proceedings conducted under the UNCITRAL Arbitration Rules (the “UNCITRAL Rules”);
“Appointing Authority within Prime Dispute” includes the President, Vice President, Committee Chairs, Directors, or similar;
“Applicant” means one or more parties requesting the services under these Rules;
“Responding Party” means one or more parties responding to such request under these Rules;
"Request" application submitted by the party to appoint/nominate an arbitrator or arbitral tribunal;
"Executive" Prime Dispute secretariat.
Article 3 - Communication
3.1 The Request and all documents annexed thereto shall be submitted in as many copies as there are other parties, together with an additional copy for each arbitrator and one copy for the Executive. If digitally secure copies are to be submitted to all concerned, prior consent from the Executive should be received. Passwords should not be included within the same link for security reasons.
3.2 All communications from the Executive shall be made to the last address of the party or its representative for whom the same are intended, as notified either by the party in question or by the other party. Communication may be made by delivery against receipt, registered post, courier, email, or any other means of electronic communication that provides a record of sending.
3.3 A communication shall be deemed to have been made on the day it was received by the party itself or by its representative.
3.4 Periods of time specified in or fixed under the Rules shall start to run on the day following the date a notification or communication is deemed to have been made.
Article 4 - The Request
4.1 When requesting Prime Dispute to act under the Rules, a party shall submit a request (the “Request”) to the Executive or is able to complete the online Request. The Executive shall notify the other party or parties and arbitrator(s), if applicable, of the receipt of the Request and the date of such receipt.
4.2 The date on which the Request is received by the Executive shall, for all transparent purposes, be deemed to be the date on which Prime Dispute is requested to act under the Rules.
4.3 The Application shall contain the following information:
a) the name in full, description, address and other contact details of each of the parties;
b) the name in full, description, address and other contact details of any person representing any of the parties, if known;
c) the name in full, description, address and other contact details of any arbitrator (unless they are a Prime Dispute Fellow/Panel member, then we require only the full name) if applicable;
d) the notice of arbitration and any response to the notice of arbitration, as referred to respectively in Articles 3 and 4 of the UNCITRAL Rules;
e) any relevant agreements;
f) any applicable time limits;
g) all relevant particulars and any observations or proposals as to the place of the arbitration, the applicable rules of law and the language of the arbitration;
h) a description of the services requested;
i) in the event of a challenge to an arbitrator, the transparent reasons or basis for the challenge;
j) any other information that the Applicant deems appropriate.
4.4 Together with the Request, the Applicant shall:
a) submit the number of copies required; and
b) make payment of the appropriate Case Submission Fee.
4.5 In the event that the Applicant fails to comply with either of these requirements, the Executive may fix a time limit within which the Applicant must comply. Failure to comply will result in the file being closed without prejudice to the Applicant’s right to submit the same request at a later date in another Request.
4.6 The Executive shall transmit a copy of the Request and the documents annexed thereto to the Responding Party and, if applicable, any arbitrator, once the Executive has sufficient copies of the Request and the required Case Submission Fee. Taking into account any applicable time limits, the Executive shall grant the Responding Party and, if applicable, any arbitrator a reasonable opportunity to respond.
Article 5 - Parties Agreement
5.1 When the parties have agreed that Prime Dispute shall act as appointing authority, they shall be deemed to have agreed to abide by the Rules, unless they have expressly agreed to abide by the version in force on the date of their agreement.
5.2 The provisions of the UNCITRAL Rules referred to in the Rules are those of the UNCITRAL Rules as modified in 2010, with new article 1, paragraph 4, as adopted in 2013. The Rules shall also apply, to other versions of the UNCITRAL Rules.
5.3 When requested to act as appointing authority or provide services under the Rules, the President, Vice President or similar, shall proceed if they are satisfied that an agreement empowering them to do so may exist. Prime Dispute or the President retains the discretion not to provide services requested.
5.4 Prime Dispute or the President, Vice President or similar may decline to appoint an arbitrator(s) where there is a disagreement between the parties as to whether that arbitrator(s) has already been duly appointed.
Article 6 - Proceeding under the UNCITRAL Arbitration Rules
6.1 Under the UNCITRAL Rules, Prime Dispute may provide one or more of the following services, as requested:
a) appoint a sole arbitrator pursuant to Articles 7(2) or 8 of the UNCITRAL Rules;
b) appoint one or more arbitrators pursuant to Article 9(2) of the UNCITRAL Rules, if several arbitrators are to be appointed;
c) appoint the presiding arbitrator pursuant to Article 9(3) of the UNCITRAL Rules;
d) constitute the arbitral tribunal pursuant to Article 10(3) of the UNCITRAL Rules;
e) determine on a challenge of an arbitrator pursuant to Article 13(4) of the UNCITRAL Rules;
f) appoint a substitute arbitrator pursuant to Article 14(2) of the UNCITRAL Rules;
g) determine whether to authorise the other arbitrators to proceed without appointing a substitute arbitrator pursuant to Article 14(2) of the UNCITRAL Rules;
h) review the arbitral tribunal’s proposal on fees and expenses, and if necessary make the necessary adjustments thereto, pursuant to Article 41(2) and (3) of the UNCITRAL Rules;
i) review the arbitral tribunal’s determination of its fees and expenses pursuant to Article 41(4)(b) of the UNCITRAL Rules;
j) provide the arbitral tribunal, on a consultative basis, with any comments on the appropriate amounts of any deposits or supplementary deposits pursuant to Article 43(3) of the UNCITRAL Rules;
k) perform any other services on which the parties may have agreed, including administrative services as described in Article 7 of the Rules;
l) act as repository of published information under the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration by agreement of the parties pursuant to Article 1(2)(a) thereof; and
m) publish or otherwise make available to the public information or documents related to the parties’ arbitration when subject to transparency rules or regulations.
6.2 When appointing a sole or presiding (third) arbitrator pursuant to Articles 7(2) and 9(3) of the UNCITRAL Rules, Prime Dispute shall follow the list procedure set forth in Article 8(2) of the UNCITRAL Rules, unless all parties agree that the list-procedure should not be used.
6.3 When following the list-procedure, Prime Dispute shall prepare a list of at least three candidates, which shall be communicated to the parties by the Executive. Within 15 days of receiving this list, each party may return the list to the Executive after deleting the name(s) to which it objects and numbering the remaining names on the list in the order of its preference. After expiration of the aforementioned 15-day time limit, Prime Dispute shall appoint the sole or presiding arbitrator from among the names approved on the list returned to the Executive and in accordance with the order of preference indicated by the parties. If for any reason the appointment cannot be made according to this procedure, Prime Dispute may exercise its discretion in appointing the sole or presiding arbitrator.
6.4 In accordance with Article 6(7) of the UNCITRAL Rules, when making the appointment Prime Dispute shall have regard to such considerations as are likely to secure the appointment of an independent and impartial arbitrator and shall take into account the advisability of appointing an arbitrator of a nationality other than the nationalities of the parties.
6.4 When appointing an arbitrator pursuant to Article 9(2) of the UNCITRAL Rules, Prime Dispute may exercise its discretion in making the appointment.
6.5 In the event of any failure to constitute the arbitral tribunal under Article 10 of the UNCITRAL Rules, Prime Dispute shall, at the request of any party, constitute the arbitral tribunal, and may revoke any appointment already made and appoint or reappoint each of the arbitrators and designate one of
them as the presiding arbitrator.
6.6 Prime Dispute will take decisions on challenges submitted by any party under Article 13(4) of the UNCITRAL Rules after the Executive has afforded an opportunity for the arbitrator concerned, the other party or parties, and any other members of the arbitral tribunal to comment in writing within a suitable period of time. Such comments shall be communicated to the parties and the arbitrators before being submitted to Prime Dispute.
6.6 At the request of any party and after the Executive has afforded an opportunity for the parties and members of the arbitral tribunal to comment in writing within a suitable period of time, Prime Dispute may decide, pursuant to Article 14(2) of the UNCITRAL Rules, to either (i) appoint a substitute arbitrator, or (ii) after the closure of the hearings, authorise the other arbitrators to proceed with the arbitration and make any decision or award. When appointing a substitute arbitrator under Article 14(2) of the UNCITRAL Rules, Prime Dispute shall follow the procedure set forth therein.
6.7 Pursuant to Article 41(3) of the UNCITRAL Rules, within 15 days after being informed by the arbitral tribunal as to how the arbitral tribunal proposes to determine its fees and expenses, including the rates it intends to apply, any party may refer that proposal to the Prime Dispute. If Prime Dispute finds that the proposal of the arbitral tribunal is inconsistent with Article 41(1) of the UNCITRAL Rules, Prime Dispute shall make any necessary adjustments thereto within 45 days of receiving such referral. Prime Dispute determination shall be binding upon the arbitral tribunal.
6.8 Pursuant to Article 41(4)(b) of the UNCITRAL Rules, within 15 days of receiving the arbitral tribunal’s determination of fees and expenses, any party may refer such determination to Prime Dispute for review. If Prime Dispute finds that the arbitral tribunal’s determination is inconsistent with the arbitral tribunal’s proposal (and any adjustments thereto) under Article 41(3) of the UNCITRAL Rules or is otherwise excessive, Prime Dispute shall, within 45 days of receiving such referral, make any adjustments to the arbitral tribunal’s determination that are necessary to satisfy the criteria in Article 41(1) of the UNCITRAL Rules. Any adjustments made by Prime Dispute shall be binding upon the arbitral tribunal.
6.9 At the request of any party and pursuant to Article 43(3) of the UNCITRAL Rules, Prime Dispute may provide the arbitral tribunal with any comments it deems appropriate concerning the amount of any deposits or supplementary deposits to be made under Article 43 of the UNCITRAL Rules.
Article 7 - Administrative Services Provided in UNCITRAL
7.1 Prime Dispute may provide one or more of the following services, as requested:
a) ensure the record of the case is maintained;
b) assist with logistical arrangements for meetings and hearings;
c) assist with notification of documents and correspondence;
d) administer funds related to arbitrators and administrative Executives;
e) administer funds related, inter alia, to experts, hearings, and escrow accounts;
g) perform any other services on which the parties may have agreed.
7.2 In providing services under this Article, Prime Dispute shall exercise its discretion, taking into account the parties’ agreement.
Article 8 - Business Ethics & Conflict of Interest Policy
8.1 The arbitrator will comply with Prime Dispute's 'Business Ethics & Conflict of Interest Policy' or similar.
8.2 Before appointment, a prospective arbitrator shall provide Prime Dispute with a confirmation of acceptance, availability, impartiality and independence, including any necessary disclosures. The prospective arbitrator shall disclose any facts or circumstances which might be of such a nature as to call into question the arbitrator’s independence in the eyes of the parties, as well as any circumstances that could give rise to reasonable doubts as to the arbitrator’s impartiality.
Article 9 - Reasons from Parties
9.1 At the request of one or more parties, Prime Dispute may communicate the reasons for:
(a) a decision on the challenge of an arbitrator, and
(b) a decision on the replacement of an arbitrator.
9.2 Any request for the communication of reasons must be made in advance of the decision for which reasons are sought.
Article 10 - Costs
10.1 Each Request shall be accompanied by a non-refundable Case Submission fee. (Please refer to Article 12)
10.2 After the receipt of the Request, Prime Dispute shall fix an advance on costs pursuant to Article 13 - Case Administration for Specific Services.
10.3 Any advance on costs may be subject to readjustment. No services will be provided until the advance on costs has been paid.
10.4 If services are requested by one party, the advance on costs shall be fully payable by such party, unless otherwise agreed. If services are requested by more than one party, the advance on costs shall be payable in equal shares, unless otherwise agreed.
10.5 In all cases, any party shall be free to pay any other party’s share of any advance of costs, should such other party fail to pay its share. When a request for an advance on costs has not been complied with, Prime Dispute may fix a time limit within which the Applicant or the parties, as the case may be, must comply, failing which the file shall be closed without prejudice to any party’s right to submit the same request at a later date in another Request.
10.6 Prime Dispute shall fix the costs once the services requested have been provided.
10.7 In the event a request for services is withdrawn before those services have been provided, Prime Dispute may, when fixing the costs, reimburse any unused amount advanced by the Applicant or the parties, as the case may be.
Article 11 - Limitation of Liability
11.1 The arbitrators, any person appointed by the arbitral tribunal, Prime Dispute and its employees shall not be liable to any person for any act or omission in connection with services provided under the Rules, except to the extent such limitation of liability is prohibited by applicable law.
11.2 Prime Dispute acts as an agent in collecting the deposits and advances, however, is not legally liable to the dispute resolver or the parties except to collect and account for the deposits and advances it has collected at the request of the arbitrator or arbitral tribunal.
11.3 Neither Prime Dispute (LTD); President; Vice President, Trustees, Directors, Executives, Case Officers, Employees, Consultants, Neutral, Member, Dispute avoidance/resolution specialist, shall be under any legal obligation to make any statements to any person about any matter concerning the case(s), nor shall any party seek to make any of these persons a witness in any legal or other proceedings arising out of an case(s).
11.4 In all matters not expressly provided for in the Rules, Prime Dispute shall act in the spirit of the Rules. No Member of Prime Dispute shall knowingly bring Prime Dispute, UNCITRAL, or its brands into disrepute. If a Prime Dispute Member feels their actions may inadvertently impacted negatively on the reputation or brand value of Prime Dispute or UNCITRAL they should bring it to the attention of the Director or Prime Dispute at the earliest opportunity.
Article 12 - Case Submission Fee
Each Request must be accompanied by a fee of £2,000 case submission fee.
Article 13 - Case Administration for Specific Services
Prime Dispute costs for the specific services listed herein are as follows:
a) £2,000 to £5,000 - Appointment of one arbitrator under Article 6(1)(a), (b), (c), (d) or (f);
(b) £3,000 to £6,000 - Decision on the challenge of one arbitrator under Article 6(1)(e) or a decision pursuant to Article 6(1)(g);
(c) £1,000 to 2,000- Communication of reasons for decisions under Article 9;
(d) £2,000 - Services under Article 6(1)(h) or (j);
(e) £2,000 - Services under Article 6(1)(l) or (m).
Article 14 - Fixed Cost for Case Administration
14.1 Parties may include all or some of the following services, according to the parties’ request, a fee will be required.
14.2 Parties requesting more than one service may opt for a fixed amount of costs of £35,000 to £55,000. This amount fixed by Prime Dispute subject to the advance on costs fixed by the Executive, may include all or some of the following services, according to the parties’ request:
(a) Appointment of one or more arbitrator(s) under Article 6(1)(a), (b), (c), (d) or (f)
(b) Decision on the challenge of one or more arbitrator(s) under Article 6(1)(e) or a decision pursuant to Article 6(1)(g).
(c) Communication of reasons for decisions under Article 9.
(d) Services under Article 6(1)(h), (j), (l) or (m)
(e) Maintenance of the file under Article 7(1)(a);
(f) Assistance with logistical arrangements for meetings and hearings under Article 7(1)(b);
(g) Assistance with notification of documents and correspondence under Article 7(1)(c); and
(h) Administration of funds, exclusive of banking charges, related to arbitrators and administrative Executives under Article 7(1)(d)
(i) Perform any other services on which the parties may have agreed.
Article 15 - Currency, VAT, Interest and Scope
15.1 All costs fixed by Prime Dispute are payable in £ except where prohibited by law or decided otherwise by Prime Dispute.
15.2 The amounts paid as advances on costs do not yield interest for the parties or the arbitrator(s).
15.3 Any Prime Dispute costs may be subject to value added tax (VAT) or charges of a similar nature at the prevailing rate.
15.4 The provisions on costs for services set forth above shall be effective as of 1 January 2019 in respect of all services requested on or after such date, irrespective of which version of the Rules is applicable.
1.1 Rules of Prime Dispute as Appointing Authority in UNCITRAL.
1.2 These Rules contain the procedures in the Arbitration Rules of the United Nations Commission on International Trade Law (“UNCITRAL”).
1.3 The role of Prime Dispute as Appointing Authority in UNCITRAL (the “Rules”) shall apply when Prime Dispute is requested to act as appointing authority by agreement of the parties or otherwise.
1.4 Under the Rules the function of appointing authority shall be carried out by Prime Dispute, or otherwise.
1.5 Prime Dispute's role as appointing authority under the Rules may include the appointment of arbitrator(s) and any service stipulated therein.
Article 2 - Definitions
In the Rules:
“UNCITRAL Arbitration Proceedings” are ad hoc arbitration proceedings conducted under the UNCITRAL Arbitration Rules (the “UNCITRAL Rules”);
“Appointing Authority within Prime Dispute” includes the President, Vice President, Committee Chairs, Directors, or similar;
“Applicant” means one or more parties requesting the services under these Rules;
“Responding Party” means one or more parties responding to such request under these Rules;
"Request" application submitted by the party to appoint/nominate an arbitrator or arbitral tribunal;
"Executive" Prime Dispute secretariat.
Article 3 - Communication
3.1 The Request and all documents annexed thereto shall be submitted in as many copies as there are other parties, together with an additional copy for each arbitrator and one copy for the Executive. If digitally secure copies are to be submitted to all concerned, prior consent from the Executive should be received. Passwords should not be included within the same link for security reasons.
3.2 All communications from the Executive shall be made to the last address of the party or its representative for whom the same are intended, as notified either by the party in question or by the other party. Communication may be made by delivery against receipt, registered post, courier, email, or any other means of electronic communication that provides a record of sending.
3.3 A communication shall be deemed to have been made on the day it was received by the party itself or by its representative.
3.4 Periods of time specified in or fixed under the Rules shall start to run on the day following the date a notification or communication is deemed to have been made.
Article 4 - The Request
4.1 When requesting Prime Dispute to act under the Rules, a party shall submit a request (the “Request”) to the Executive or is able to complete the online Request. The Executive shall notify the other party or parties and arbitrator(s), if applicable, of the receipt of the Request and the date of such receipt.
4.2 The date on which the Request is received by the Executive shall, for all transparent purposes, be deemed to be the date on which Prime Dispute is requested to act under the Rules.
4.3 The Application shall contain the following information:
a) the name in full, description, address and other contact details of each of the parties;
b) the name in full, description, address and other contact details of any person representing any of the parties, if known;
c) the name in full, description, address and other contact details of any arbitrator (unless they are a Prime Dispute Fellow/Panel member, then we require only the full name) if applicable;
d) the notice of arbitration and any response to the notice of arbitration, as referred to respectively in Articles 3 and 4 of the UNCITRAL Rules;
e) any relevant agreements;
f) any applicable time limits;
g) all relevant particulars and any observations or proposals as to the place of the arbitration, the applicable rules of law and the language of the arbitration;
h) a description of the services requested;
i) in the event of a challenge to an arbitrator, the transparent reasons or basis for the challenge;
j) any other information that the Applicant deems appropriate.
4.4 Together with the Request, the Applicant shall:
a) submit the number of copies required; and
b) make payment of the appropriate Case Submission Fee.
4.5 In the event that the Applicant fails to comply with either of these requirements, the Executive may fix a time limit within which the Applicant must comply. Failure to comply will result in the file being closed without prejudice to the Applicant’s right to submit the same request at a later date in another Request.
4.6 The Executive shall transmit a copy of the Request and the documents annexed thereto to the Responding Party and, if applicable, any arbitrator, once the Executive has sufficient copies of the Request and the required Case Submission Fee. Taking into account any applicable time limits, the Executive shall grant the Responding Party and, if applicable, any arbitrator a reasonable opportunity to respond.
Article 5 - Parties Agreement
5.1 When the parties have agreed that Prime Dispute shall act as appointing authority, they shall be deemed to have agreed to abide by the Rules, unless they have expressly agreed to abide by the version in force on the date of their agreement.
5.2 The provisions of the UNCITRAL Rules referred to in the Rules are those of the UNCITRAL Rules as modified in 2010, with new article 1, paragraph 4, as adopted in 2013. The Rules shall also apply, to other versions of the UNCITRAL Rules.
5.3 When requested to act as appointing authority or provide services under the Rules, the President, Vice President or similar, shall proceed if they are satisfied that an agreement empowering them to do so may exist. Prime Dispute or the President retains the discretion not to provide services requested.
5.4 Prime Dispute or the President, Vice President or similar may decline to appoint an arbitrator(s) where there is a disagreement between the parties as to whether that arbitrator(s) has already been duly appointed.
Article 6 - Proceeding under the UNCITRAL Arbitration Rules
6.1 Under the UNCITRAL Rules, Prime Dispute may provide one or more of the following services, as requested:
a) appoint a sole arbitrator pursuant to Articles 7(2) or 8 of the UNCITRAL Rules;
b) appoint one or more arbitrators pursuant to Article 9(2) of the UNCITRAL Rules, if several arbitrators are to be appointed;
c) appoint the presiding arbitrator pursuant to Article 9(3) of the UNCITRAL Rules;
d) constitute the arbitral tribunal pursuant to Article 10(3) of the UNCITRAL Rules;
e) determine on a challenge of an arbitrator pursuant to Article 13(4) of the UNCITRAL Rules;
f) appoint a substitute arbitrator pursuant to Article 14(2) of the UNCITRAL Rules;
g) determine whether to authorise the other arbitrators to proceed without appointing a substitute arbitrator pursuant to Article 14(2) of the UNCITRAL Rules;
h) review the arbitral tribunal’s proposal on fees and expenses, and if necessary make the necessary adjustments thereto, pursuant to Article 41(2) and (3) of the UNCITRAL Rules;
i) review the arbitral tribunal’s determination of its fees and expenses pursuant to Article 41(4)(b) of the UNCITRAL Rules;
j) provide the arbitral tribunal, on a consultative basis, with any comments on the appropriate amounts of any deposits or supplementary deposits pursuant to Article 43(3) of the UNCITRAL Rules;
k) perform any other services on which the parties may have agreed, including administrative services as described in Article 7 of the Rules;
l) act as repository of published information under the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration by agreement of the parties pursuant to Article 1(2)(a) thereof; and
m) publish or otherwise make available to the public information or documents related to the parties’ arbitration when subject to transparency rules or regulations.
6.2 When appointing a sole or presiding (third) arbitrator pursuant to Articles 7(2) and 9(3) of the UNCITRAL Rules, Prime Dispute shall follow the list procedure set forth in Article 8(2) of the UNCITRAL Rules, unless all parties agree that the list-procedure should not be used.
6.3 When following the list-procedure, Prime Dispute shall prepare a list of at least three candidates, which shall be communicated to the parties by the Executive. Within 15 days of receiving this list, each party may return the list to the Executive after deleting the name(s) to which it objects and numbering the remaining names on the list in the order of its preference. After expiration of the aforementioned 15-day time limit, Prime Dispute shall appoint the sole or presiding arbitrator from among the names approved on the list returned to the Executive and in accordance with the order of preference indicated by the parties. If for any reason the appointment cannot be made according to this procedure, Prime Dispute may exercise its discretion in appointing the sole or presiding arbitrator.
6.4 In accordance with Article 6(7) of the UNCITRAL Rules, when making the appointment Prime Dispute shall have regard to such considerations as are likely to secure the appointment of an independent and impartial arbitrator and shall take into account the advisability of appointing an arbitrator of a nationality other than the nationalities of the parties.
6.4 When appointing an arbitrator pursuant to Article 9(2) of the UNCITRAL Rules, Prime Dispute may exercise its discretion in making the appointment.
6.5 In the event of any failure to constitute the arbitral tribunal under Article 10 of the UNCITRAL Rules, Prime Dispute shall, at the request of any party, constitute the arbitral tribunal, and may revoke any appointment already made and appoint or reappoint each of the arbitrators and designate one of
them as the presiding arbitrator.
6.6 Prime Dispute will take decisions on challenges submitted by any party under Article 13(4) of the UNCITRAL Rules after the Executive has afforded an opportunity for the arbitrator concerned, the other party or parties, and any other members of the arbitral tribunal to comment in writing within a suitable period of time. Such comments shall be communicated to the parties and the arbitrators before being submitted to Prime Dispute.
6.6 At the request of any party and after the Executive has afforded an opportunity for the parties and members of the arbitral tribunal to comment in writing within a suitable period of time, Prime Dispute may decide, pursuant to Article 14(2) of the UNCITRAL Rules, to either (i) appoint a substitute arbitrator, or (ii) after the closure of the hearings, authorise the other arbitrators to proceed with the arbitration and make any decision or award. When appointing a substitute arbitrator under Article 14(2) of the UNCITRAL Rules, Prime Dispute shall follow the procedure set forth therein.
6.7 Pursuant to Article 41(3) of the UNCITRAL Rules, within 15 days after being informed by the arbitral tribunal as to how the arbitral tribunal proposes to determine its fees and expenses, including the rates it intends to apply, any party may refer that proposal to the Prime Dispute. If Prime Dispute finds that the proposal of the arbitral tribunal is inconsistent with Article 41(1) of the UNCITRAL Rules, Prime Dispute shall make any necessary adjustments thereto within 45 days of receiving such referral. Prime Dispute determination shall be binding upon the arbitral tribunal.
6.8 Pursuant to Article 41(4)(b) of the UNCITRAL Rules, within 15 days of receiving the arbitral tribunal’s determination of fees and expenses, any party may refer such determination to Prime Dispute for review. If Prime Dispute finds that the arbitral tribunal’s determination is inconsistent with the arbitral tribunal’s proposal (and any adjustments thereto) under Article 41(3) of the UNCITRAL Rules or is otherwise excessive, Prime Dispute shall, within 45 days of receiving such referral, make any adjustments to the arbitral tribunal’s determination that are necessary to satisfy the criteria in Article 41(1) of the UNCITRAL Rules. Any adjustments made by Prime Dispute shall be binding upon the arbitral tribunal.
6.9 At the request of any party and pursuant to Article 43(3) of the UNCITRAL Rules, Prime Dispute may provide the arbitral tribunal with any comments it deems appropriate concerning the amount of any deposits or supplementary deposits to be made under Article 43 of the UNCITRAL Rules.
Article 7 - Administrative Services Provided in UNCITRAL
7.1 Prime Dispute may provide one or more of the following services, as requested:
a) ensure the record of the case is maintained;
b) assist with logistical arrangements for meetings and hearings;
c) assist with notification of documents and correspondence;
d) administer funds related to arbitrators and administrative Executives;
e) administer funds related, inter alia, to experts, hearings, and escrow accounts;
g) perform any other services on which the parties may have agreed.
7.2 In providing services under this Article, Prime Dispute shall exercise its discretion, taking into account the parties’ agreement.
Article 8 - Business Ethics & Conflict of Interest Policy
8.1 The arbitrator will comply with Prime Dispute's 'Business Ethics & Conflict of Interest Policy' or similar.
8.2 Before appointment, a prospective arbitrator shall provide Prime Dispute with a confirmation of acceptance, availability, impartiality and independence, including any necessary disclosures. The prospective arbitrator shall disclose any facts or circumstances which might be of such a nature as to call into question the arbitrator’s independence in the eyes of the parties, as well as any circumstances that could give rise to reasonable doubts as to the arbitrator’s impartiality.
Article 9 - Reasons from Parties
9.1 At the request of one or more parties, Prime Dispute may communicate the reasons for:
(a) a decision on the challenge of an arbitrator, and
(b) a decision on the replacement of an arbitrator.
9.2 Any request for the communication of reasons must be made in advance of the decision for which reasons are sought.
Article 10 - Costs
10.1 Each Request shall be accompanied by a non-refundable Case Submission fee. (Please refer to Article 12)
10.2 After the receipt of the Request, Prime Dispute shall fix an advance on costs pursuant to Article 13 - Case Administration for Specific Services.
10.3 Any advance on costs may be subject to readjustment. No services will be provided until the advance on costs has been paid.
10.4 If services are requested by one party, the advance on costs shall be fully payable by such party, unless otherwise agreed. If services are requested by more than one party, the advance on costs shall be payable in equal shares, unless otherwise agreed.
10.5 In all cases, any party shall be free to pay any other party’s share of any advance of costs, should such other party fail to pay its share. When a request for an advance on costs has not been complied with, Prime Dispute may fix a time limit within which the Applicant or the parties, as the case may be, must comply, failing which the file shall be closed without prejudice to any party’s right to submit the same request at a later date in another Request.
10.6 Prime Dispute shall fix the costs once the services requested have been provided.
10.7 In the event a request for services is withdrawn before those services have been provided, Prime Dispute may, when fixing the costs, reimburse any unused amount advanced by the Applicant or the parties, as the case may be.
Article 11 - Limitation of Liability
11.1 The arbitrators, any person appointed by the arbitral tribunal, Prime Dispute and its employees shall not be liable to any person for any act or omission in connection with services provided under the Rules, except to the extent such limitation of liability is prohibited by applicable law.
11.2 Prime Dispute acts as an agent in collecting the deposits and advances, however, is not legally liable to the dispute resolver or the parties except to collect and account for the deposits and advances it has collected at the request of the arbitrator or arbitral tribunal.
11.3 Neither Prime Dispute (LTD); President; Vice President, Trustees, Directors, Executives, Case Officers, Employees, Consultants, Neutral, Member, Dispute avoidance/resolution specialist, shall be under any legal obligation to make any statements to any person about any matter concerning the case(s), nor shall any party seek to make any of these persons a witness in any legal or other proceedings arising out of an case(s).
11.4 In all matters not expressly provided for in the Rules, Prime Dispute shall act in the spirit of the Rules. No Member of Prime Dispute shall knowingly bring Prime Dispute, UNCITRAL, or its brands into disrepute. If a Prime Dispute Member feels their actions may inadvertently impacted negatively on the reputation or brand value of Prime Dispute or UNCITRAL they should bring it to the attention of the Director or Prime Dispute at the earliest opportunity.
Article 12 - Case Submission Fee
Each Request must be accompanied by a fee of £2,000 case submission fee.
Article 13 - Case Administration for Specific Services
Prime Dispute costs for the specific services listed herein are as follows:
a) £2,000 to £5,000 - Appointment of one arbitrator under Article 6(1)(a), (b), (c), (d) or (f);
(b) £3,000 to £6,000 - Decision on the challenge of one arbitrator under Article 6(1)(e) or a decision pursuant to Article 6(1)(g);
(c) £1,000 to 2,000- Communication of reasons for decisions under Article 9;
(d) £2,000 - Services under Article 6(1)(h) or (j);
(e) £2,000 - Services under Article 6(1)(l) or (m).
Article 14 - Fixed Cost for Case Administration
14.1 Parties may include all or some of the following services, according to the parties’ request, a fee will be required.
14.2 Parties requesting more than one service may opt for a fixed amount of costs of £35,000 to £55,000. This amount fixed by Prime Dispute subject to the advance on costs fixed by the Executive, may include all or some of the following services, according to the parties’ request:
(a) Appointment of one or more arbitrator(s) under Article 6(1)(a), (b), (c), (d) or (f)
(b) Decision on the challenge of one or more arbitrator(s) under Article 6(1)(e) or a decision pursuant to Article 6(1)(g).
(c) Communication of reasons for decisions under Article 9.
(d) Services under Article 6(1)(h), (j), (l) or (m)
(e) Maintenance of the file under Article 7(1)(a);
(f) Assistance with logistical arrangements for meetings and hearings under Article 7(1)(b);
(g) Assistance with notification of documents and correspondence under Article 7(1)(c); and
(h) Administration of funds, exclusive of banking charges, related to arbitrators and administrative Executives under Article 7(1)(d)
(i) Perform any other services on which the parties may have agreed.
Article 15 - Currency, VAT, Interest and Scope
15.1 All costs fixed by Prime Dispute are payable in £ except where prohibited by law or decided otherwise by Prime Dispute.
15.2 The amounts paid as advances on costs do not yield interest for the parties or the arbitrator(s).
15.3 Any Prime Dispute costs may be subject to value added tax (VAT) or charges of a similar nature at the prevailing rate.
15.4 The provisions on costs for services set forth above shall be effective as of 1 January 2019 in respect of all services requested on or after such date, irrespective of which version of the Rules is applicable.
