Process where, by prior agreement, unresolved disputes are gradually moved up the management structure of each party, until they reach board or director level, in order to resolve the dispute. The obligation to follow this procedure will, in construction contracts, be subject to the parties statutory right to refer a dispute to adjudication at any time.

Pension scheme disputes between the member and the trustees can be resolved using a range of different methods including internal dispute resolution, TPAS, which operates a network of volunteer advisers, the Pensions Ombudsman, the courts and alternative dispute resolution by way of arbitration or mediation.

What does this Practice Note cover? This Practice Note discusses: • the common categories of disputes that arise from derivative contracts • relevant case law relating to those categories • tips for practitioners when drafting derivative contracts on avoiding future disputes, and • modes of dispute resolution available for resolving derivatives contract disputes The nature, main types and main uses of financial derivatives are summarised in Practice Notes: The nature of financial derivatives and Types of derivatives. Derivative contracts frequently give rise to disputes between the parties that enter into them. Common categories of derivative disputes Derivatives can give rise to a range of disputes. In common with any scenario in which parties negotiate, enter into and perform (or fail to perform) a contract, claims may arise in relation to: • negligent misstatement, deceit or breach of section 2 of the Misrepresentation Act 1967 (MA 1967) in relation to false or misleading statements made prior to entry into the contract (for more information, see: Misrepresentation, misstatement and other claims in banking and finance—overview) • breach

Following a successful pilot programme first introduced in the Midlands West region in 2020, dispute resolution appointments were officially introduced nationally in July 2023 as a form of alternative dispute resolution (ADR) available to parties in the course of employment tribunal proceedings to encourage them to resolve their dispute by agreement. A dispute resolution appointment is a non-consensual, confidential and evaluative process used for cases listed for six days or more (generally the most complex claims of discrimination and whistleblowing detriment). An employment judge will give the parties an evaluation of their respective prospects of success and possible outcomes in terms of remedy. It is intended that this will assist the parties to identify the real issues in the case and what is at stake and, in so doing, promote settlement. If settlement is not achieved, the process may nevertheless be valuable in clarifying and narrowing the issues requiring adjudication, resulting in a shorter and more focused final hearing. This Practice Note explains the process for a dispute resolution appointment. It is based on the

1 Dispute resolution—short form 1.1 If any dispute arises between the parties out of, or in connection with, this Agreement, the matter shall be referred to [identify level of senior representatives] of each party who shall use their reasonable endeavours to resolve it. 1.2 If the dispute is not resolved within [14 days] of the referral being made under clause 1.1, the parties [shall OR may] resolve the matter through mediation in accordance with the London Court of International Arbitration Mediation

This Checklist of resources sets out some of the issues that may arise when considering dispute resolution clauses (also known as alternative dispute resolution clauses or ADR clauses) in the context of business-to-business (B2B) commercial contracts and associated resources. Although most commercial agreements will include governing law and jurisdiction clauses as part of the default boilerplate provisions, when drafting commercial contracts consideration ought to be given to the inclusion of a dispute resolution clause. The aim of such a clause is to assist the parties in setting out, at the outset of their relationship, how they will deal with any disputes that may arise between them. In theory this may simply provide for litigation through the courts. However, where parties choose an alternative dispute resolution clause, this can save the parties time and money. It is far better for all concerned to have the procedures agreed when the parties are favourably disposed towards each other, rather than trying to agree them in the heat of a dispute. In the absence of any such clause, the

What is a dispute resolution clause? Many commercial agreements contain what is called a ‘dispute resolution clause’ or an ‘ADR clause’. Alternative dispute resolution (ADR) is a process of resolving a dispute otherwise than through court proceedings. Note that the Commercial Court and the Circuit Commercial Court use the term negotiated dispute resolution (NDR) for a method of resolving a dispute otherwise than through the courts, but for ease of reference, the term ADR is used in this Practice Note. The purpose of including a dispute resolution clause in an agreement is to provide the parties with a roadmap of how to deal with a dispute, should it arise under their agreement. A dispute resolution clause will specify how any disputes between the parties to a contract are to be resolved and will often require the parties to use a particular type or types of ADR process to resolve any dispute before resorting to litigation or arbitration. For the different types of ADR, see Practice Note: Which form of ADR? For general information on mediation

DRP or IDRP (Internal Dispute Resolution Procedure) was simplified and reformed by the Pensions Act 2007 which allows trustees to adopt a one-stage procedure (instead of the former two-stage procedure) if they wish.

This Practice Note gives practical guidance on the dispute settlement mechanism available to the UK and the EU in terms of the UK-EU TCA. The focus is on dispute settlement as it relates to trade. It covers the scope of trade dispute settlement, the mandatory process of consultation and eventual arbitration, as well as ensuring compliance with the arbitration ruling. Introduction After the UK’s decision (Brexit) to leave the EU the parties agreed to a Trade and Cooperation Agreement (UK-EU TCA) in December 2020. The UK-EU TCA entered into force on 1 January 2021. For practical guidance on the trade in goods, services and rules of origin under the UK-EC TCA, kindly see Practice Note Trade in goods under the UK-EU Trade and Cooperation Agreement on goods, Practice Note Trade in services under the UK-EU TCA—an overview on services and Practice Note Rules of Origin of the UK-EU Trade and Cooperation Agreement on Rules of Origin. The UK-EU TCA provides for its own dispute settlement mechanism. The aim is to provide an effective

ARCHIVED: This Practice Note has been archived and is not maintained. This Practice Note summarises the key appeal cases (ie decisions of the Court of Appeal and Supreme Court, and, where relevant, some judgments of the Court of Justice of the EU (CJEU)), which we have reported on, allowing users ease of access in finding those decisions. This content can be browsed through the expandable table of contents in the left margin and/or by following the hyperlinks in the list below and the cases are divided into the following sections: • Key DR Developments ◦ Brexit • Applicable law ◦ Rome I • Jurisdiction ◦ Jurisdiction/choice of court agreements ◦ Stays and disputing the court’s jurisdiction ◦ Brussels I (EC regulation) ◦ Brussels I (recast) (EU regulation) • Service ◦ Service in the jurisdiction ◦ Service of documents in family proceedings outside the jurisdiction (pre-DDSA 2020) • Pre-action and limitation ◦ Limitation • Claims and remedies ◦ Forming enforceable contracts ◦ Contract interpretation ◦ Dispute resolution: key appeal

ARCHIVED: This Practice Note has been archived and is not maintained. One of the difficulties for dispute resolution practitioners is keeping up to date with developments in case law that affect their practice area, or, which impact civil litigation procedure generally. This Practice Note summarises the key appeal cases (ie decisions of the Court of Appeal and Supreme Court, and, where relevant, some judgments of the Court of Justice of the European Union (CJEU)), which we have reported on, allowing users ease of access in finding those decisions, see below. This content can be browsed through the table of contents in the left margin. Alternatively, this tracker can be searched using [CTRL]+[F]. In addition, this Practice Note covers a selection of forthcoming appeals, where known, to assist in horizon scanning. This content is not intended to provide an exhaustive list of all appeals and/or key decisions relevant to dispute resolution practitioners. Key forthcoming appeal cases—2019 Topics Case name and date of appeal, where known Details of appeal Further information/reading Terminating contracts—frustration Canary Wharf (BP4) T1

ARCHIVED: One of the difficulties for dispute resolution practitioners is keeping up to date with developments in case law that affect their practice area, or, which impact civil litigation procedure generally. This Practice Note summarises the key appeal cases (ie decisions of the Court of Appeal and Supreme Court, and, where relevant, some judgments of the Court of Justice of the European Union (CJEU)), which we have reported on, allowing users ease of access in finding those decisions, see: Key civil litigation appeals in review—2020. This content can be browsed through the table of contents in the left margin. Alternatively, this tracker can be searched using [CTRL]+[F]. In addition, this Practice Note covers a selection of forthcoming appeals, where known, to assist in horizon scanning. This content is not intended to provide an exhaustive list of all appeals and/or key decisions relevant to dispute resolution practitioners. Note: in relation to anonymity of natural litigants where a reference for a preliminary ruling is made to the CJEU, guidance released by the CJEU states: ‘In