The Coal Mining Subsidence (Arbitration Schemes) Regulations 1994

Regulation 3(1)

SCHEDULE 1 THE HOUSEHOLDERS' ARBITRATION SCHEME

Institution of arbitration proceedings

1.—(1) Subject to sub-paragraph (2) below, a claimant may make an application for the arbitration of a dispute in accordance with the provisions of this Schedule by sending to the Arbitration Body an application in that behalf and a registration fee of £50.

(2) No application for arbitration may be made by a person in respect of a dispute concerning the same, or substantially the same, matter as that in respect of which a notification has been given under paragraph 11 or 12(1).

2.—(1) On recept of an application in accordance with paragraph 1, the Arbitration Body shall—

(a) decide whether, in its opinion, the dispute appears to be suitable for resolution in accordance with the provisions of this Schedule; and

(b) notify both the claimant and the respondent of its decision and, if it decides that the dispute is not suitable for such resolution, its reasons for so deciding.

3.  If the Arbitration Body notifies the respondent that the dispute is, in its opinion, suitable for resolution in accordance with the provisions of this Schedule—

(a) the respondent shall forthwith send to the Arbitration Body a registration fee of £50; and

(b) the Arbitration Body shall within 21 days commencing with the date of the giving of that notification—

(i) appoint an arbitrator to determine the dispute;

(ii) notify the parties of the identity of the person so appointed; and

(iii) send to the claimant a claim form.

Arbitration procedure

4.  The claimant shall within—

(a) the period of 28 days commencing with the date of receiving the claim form forwarded in accordance with paragraph 3; or

(b) such further period as the arbitrator may at any time specify by notice given to each party

complete and return the claim form to the arbitrator and send a copy of the completed form to the respondent.

5.—(1) Subject to sub-paragraph (2) below, the respondent shall, within 28 days of receiving his copy of the completed claim form, send to both the arbitrator and the claimant—

(a) a statement of his response to the claim; and

(b) a copy of every document upon which he wishes to rely.

(2) The arbitrator may on the application of the respondent extend the period of 28 days referred to in sub-paragraph (1) above by a period not exceeding 14 days, by notifying each party of the extension.

6.  The claimant shall be entitled to submit to the arbitrator and to the respondent written comments on the matters specified in paragraph 5(1) within the period of 14 days commencing with the date of his receiving those matters.

7.  The arbitrator may request any party to the dispute to submit to him, within such period as the arbitrator may specify, such further documents, information or other evidence as the arbitrator considers desirable and the arbitrator shall provide the other party to the dispute with an opportunity to comment on any matters so submitted within such period as the arbitrator may specify.

8.—(1) Within 28 days beginning with the date of whichever is the later of—

(a) the expiry of the period of 14 days referred to in paragraph 6;

(b) if any further evidence has been requested in accordance with paragraph 7, the expiry of the second period referred to in that paragraph; or

(c) if an inspection has taken place following a notification under paragraph 9, the completion of that inspection

the arbitrator shall send to each party a statement in writing of his award with respect to the matters in dispute and of his reasons for making it.

(2) The arbitrator may as part of his decision direct that one party reimburse the registration fee paid by the other party.

Site inspections

9.—(1) The arbitrator shall give to the parties to the dispute reasonable notice of any inspection he proposes to make of the dwelling-house by virtue of which the claimant is a qualifying householder.

(2) The claimant shall permit the arbitrator to carry out such inspection of the dwelling-house as he may reasonably require and shall permit the respondent or his authorised representative to be present at any such inspection.

Effect of failure to submit evidence

10.—(1) If the claimant fails to submit a completed claim form in accordance with paragraph 4—

(a) the claimant shall be deemed to have abandoned his claim; and

(b) the Arbitration Body shall so notify the claimant and return the registration fee paid by the respondent in accordance with paragraph 3.

(2) If—

(a) the respondent fails to comply with the requirements of paragraph 5; or

(b) any party fails to comply with the requirements of paragraph 7

the arbitrator shall, subject to any directions he may give, decide the dispute by reference to the documents submitted to him.

Withdrawal of claims

11.  The claimant may at any time by notifying the arbitrator and the respondent withdraw the dispute from the arbitration and—

(a) the dispute shall forthwith cease to be the subject of arbitration in accordance with the provisions of this Schedule;

(b) the Arbitration Body shall be entitled to retain the registration fees paid by the claimant and the respondent; and

(c) the arbitrator may direct that one party reimburse the registration fee paid by the other party.

Termination of arbitration

12.—(1) If at any time before the making of his award in accordance with paragraph 8 the arbitrator determines that in his opinion the claim is not capable of proper resolution under the provisions of this Schedule he shall notify the parties to the dispute—

(a) of his determination; and

(b) of whether, in his opinion, the dispute is capable of resolution in accordance with the General Arbitration Scheme.

(2) If notification is given in accordance with sub-paragraph (1) above the claim shall cease to be subject to arbitration in accordance with the provisions of this Schedule and, unless the claimant gives notice in accordance with sub-paragraph (3) below, the Arbitration Body shall repay the registration fees paid by the claimant and the respondent.

(3) In the event of the arbitrator notifying the parties in accordance with sub-paragraph (1)(b) above that, in his opinion, the dispute is capable of resolution in accordance with the General Arbitration Scheme, the claimant may within 14 days of his receiving that notification notify the arbitrator and the respondent that he wishes the arbitration to proceed in accordance with that Scheme, and accordingly—

(a) the notification by the claimant shall, if accompanied by a registration fee of £25, constitute the making of an application for the purposes of paragraph 1 of Schedule 2;

(b) the Arbitration Body shall be deemed for the purposes of paragraph 2(a) of Schedule 2 to have decided that the dispute is suitable for resolution in accordance with the provisions of that Schedule, and to have notified the parties accordingly;

(c) the sum due from the respondent in accordance with paragraph 3(a) of Schedule 2 shall be reduced by the amount of the registration fee paid by him in accordance with paragraph 3(a) of this Schedule; and

(d) the arbitrator shall conduct the arbitration in accordance with Schedule 2 as if he had been appointed by the Arbitration Body under paragraph 3(b)(i) of that Schedule.

Regulation 3(2)

SCHEDULE 2 THE GENERAL ARBITRATION SCHEME

Institution of arbitration proceedings

1.  A claimant may make an application for the arbitration of a dispute in accordance with the provisions of this Schedule by sending to the Arbitration Body an application in that behalf and a registration fee of £75.

2.  On receipt of an application in accordance with paragraph 1, the Arbitration Body shall—

(a) decide whether, in its opinion, the dispute appears to be suitable for resolution in accordance with the provisions of this Schedule; and

(b) notify both the claimant and the respondent of its decision and, if it decides that the dispute is not suitable for such resolution, its reasons for so deciding.

3.  If the Arbitration Body notifies the parties that the dispute is, in its opinion, suitable for resolution in accordance with the provisions of this Schedule—

(a) the respondent shall forthwith send to the Arbitration Body a registration fee of £75; and

(b) the Arbitration Body shall within 21 days commencing with the date of the giving of that notification—

(i) appoint an arbitrator to determine the dispute; and

(ii) notify the parties of the person so appointed.

Arbitration procedure

4.  The claimant shall, within the period of 28 days commencing with the date of his receiving notification from the Arbitration Body as mentioned in paragraph 3, send by registered post to the arbitrator and to the respondent a claim file containing—

(a) a brief statement of the claimant’s principal arguments of fact and law and of the remedies sought by him; and

(b) a copy of every document upon which he intends to rely.

5.  Within 28 days commencing with the date of his receiving his copy of the claim file the respondent shall send by registered post to the arbitrator and to the claimant a respondent’s file containing—

(a) a brief statement of the respondent’s principal arguments of fact and law; and

(b) a copy of every document upon which he wishes to rely.

6.  Within the period of 14 days commencing with the date of his receiving the respondent’s file, the claimant may send by registered post to the arbitrator and to the respondent—

(a) comments on the matters contained in that file;

(b) a copy of any further documents relating to those matters upon which he wishes to rely.

7.  The arbitrator may, at his discretion, and upon notifying the other party—

(a) permit either party to send to him and to the other party further comments on the other party’s case; and

(b) extend any of the time limits specified in paragraphs 4 to 6.

Directions as to further conduct of arbitration

8.—(1) Within 28 days commencing with the completion of the procedure described in paragraphs 4 to 7 the arbitrator shall invite the parties to make representations to him concerning the further conduct of the arbitration either in writing or at a meeting convened by the arbitrator at a place which is reasonably convenient for each party.

(2) Within 14 days of the making of representations in accordance with sub-paragraph (1) above the arbitrator shall give directions to the parties as to the further conduct of the arbitration.

(3) Without prejudice to the generality of sub-paragraph (2) above, the directions which may be made under that sub-paragraph may include a direction—

(a) that an inspection of any premises the subject of the dispute take place;

(b) convening an oral hearing of the parties;

(c) that, in the interests of the expeditious determination of the claim—

(i) a particular issue be determined by the arbitrator before other issues; or

(ii) that particular steps be taken by one or both parties;

(d) that a party to the arbitration provide such further documents, information or other evidence as may be specified;

(e) that a party to the arbitration provide security for costs.

(4) If any direction by the arbitrator under this paragraph is not complied with he may proceed with the arbitration on the assumption that compliance with the direction would not have favoured the party in default.

Oral hearings

9.—(1) Any direction under paragraph 8 as to the convening of an oral hearing of the parties shall—

(a) specify a date for the commencement of the hearing which shall be as soon as reasonably practicable after the giving of the direction; and

(b) specify a place for the hearing which shall be reasonably convenient for each of the parties.

(2) The procedure to be followed at the hearing shall be determined by the arbitrator.

Arbitrator’s awards

10.—(1) In respect of every award made by him the arbitrator shall send to each party a written statement of the terms of the award and of his reasons for making it.

(2) The arbitrator may make an award in respect of liability for the costs of the arbitration and of every award made in the course of it, including the fees of all persons who have acted as an arbitrator or have been appointed to assist the arbitrator under regulation 4(2).

(3) In respect of arbitration proceedings which are subject to the law of Scotland, the costs referred to in sub-paragraph (2) above shall be subject to taxation by the auditor of the sheriff court on the application of either party, but that taxation shall be subject to review by the sheriff.

(4) The arbitrator shall make his final award in respect of the substantive issues in dispute before the expiry of 28 days commencing with the first day on which all fees properly payable to him and to any other person who has acted in the arbitration as an arbitrator or as a person appointed to assist the arbitrator under regulation 4(2) have been paid.

Fees

11.—(1) Subject to sub-paragraph (2) below, the parties to the arbitration shall be jointly and severally liable for the fees of the arbitrator and of any other person as mentioned in paragraph 10(4).

(2) Sub-paragraph (1) above shall be without prejudice to the right of a party to the arbitration to recover from the other party in accordance with an award of the arbitrator any fees paid by him under that sub-paragraph.