UNIONE™ International
Arbitration & Dispute
Resolution Rules v3.0

During the Prevention Phase, the Parties may engage in one or more of the following structured resolution mechanisms:

Such processes shall be conducted within a period of 30 days from the date of referral to the Prevention Phase, unless extended by written agreement of the Parties.

A neutral appointed for the purposes of neutral evaluation shall not thereafter serve as an arbitrator in any subsequent arbitration between the same Parties arising out of the same dispute.

All communications, submissions, proposals, assessments, and other materials made or exchanged during the Prevention Phase shall be strictly confidential. No Party shall rely upon, refer to, or seek to introduce into evidence in any subsequent arbitration:

Where a dispute has not been resolved within the applicable Prevention Phase period, either Party may commence arbitration under these Rules by submitting a Notice of Arbitration in accordance with Article 5.

The expiry or conclusion of the Prevention Phase shall be without prejudice to the right of any Party to initiate arbitration proceedings. Any dispute so referred to arbitration shall be determined independently by the Tribunal, based solely on the evidence and submissions presented by the Parties.

The Tribunal shall consist of a sole arbitrator or three arbitrators as agreed by the Parties. In the absence of agreement, the Institution shall determine the appropriate number having regard to the amount in dispute, legal and factual complexity, and the need for efficiency and proportionality.

All arbitrators shall be appointed by the Institution from the UNIONE™ Panel. The Parties may propose candidates for consideration, but the final decision on appointment shall rest solely with the Institution. The Institution shall use reasonable endeavours to constitute the Tribunal within 15 days after expiry of the period for the Response to the Notice of Arbitration.

Every arbitrator shall: (a) be and remain independent and impartial throughout the proceedings; (b) be a member of the UNIONE™ Panel; (c) have the time and availability to conduct the arbitration with due diligence; and (d) confirm acceptance of the appointment in writing within 5 days of being approached.

(a) Before accepting appointment, each prospective arbitrator shall disclose any circumstances likely to give rise to justifiable doubts as to that arbitrator’s independence or impartiality, including: (i) any financial or personal interest in the outcome of the dispute; (ii) any past or present relationship with any Party, counsel, witness, or co-arbitrator; and (iii) any matter identified in the Red List or Orange List of the IBA Guidelines on Conflicts of Interest in International Arbitration. <br><br>(b) This duty of disclosure shall be continuous and shall apply throughout the arbitral proceedings.

Upon receipt of an arbitrator’s acceptance and disclosure statement, the Institution shall review the proposed appointment and, if satisfied as to the prospective arbitrator’s independence, impartiality, and suitability, shall confirm the appointment and notify all Parties accordingly. <br><br>Where the Institution considers that circumstances exist which may give rise to justifiable doubts as to the prospective arbitrator’s independence or impartiality, it may decline to confirm the appointment. Before making such determination, the prospective arbitrator shall be afforded a reasonable opportunity to respond to or clarify the relevant circumstances. The final decision on confirmation or non-confirmation shall rest solely with the Institution.

A Party may challenge an arbitrator where circumstances exist giving rise to justifiable doubts as to the arbitrator’s independence or impartiality. Any such challenge shall be submitted in writing to the Institution within 7 days of the challenging Party becoming aware of the relevant circumstances. <br><br>Before deciding the challenge, the Institution shall afford the challenged arbitrator a reasonable opportunity to respond. The Institution shall decide the challenge within 14 days of receipt, and its decision shall be final and binding.

An arbitrator shall be replaced where a challenge is upheld, the arbitrator dies or becomes incapacitated, fails to perform their functions without sufficient cause, or where the Institution otherwise determines that replacement is necessary. Any replacement arbitrator shall be appointed in accordance with the procedure set out in Article 14.

The seat of arbitration shall be determined by agreement of the Parties. In the absence of such agreement, the Institution shall determine the seat, having regard to all relevant circumstances. Any award shall be deemed to have been made at the seat of arbitration, regardless of whether any hearings, meetings, or other proceedings are conducted physically, virtually, or in hybrid form.

The language of the arbitration shall be determined by agreement of the Parties. In the absence of agreement, the Tribunal shall determine the language having regard to all relevant circumstances. The Tribunal may order any document in another language to be accompanied by a translation.

The Tribunal shall have the power to rule on its own jurisdiction, including any objection relating to the existence, validity, or scope of the arbitration agreement. <br><br>For this purpose, the arbitration agreement, including any arbitration clause forming part of a contract, shall be treated as separate and independent from the other terms of that contract.

The Tribunal shall have broad discretion to conduct the arbitration in such manner as it considers appropriate. Subject to these Rules and any mandatory provisions of applicable law, the Tribunal may:

Following constitution of the Tribunal, the Tribunal shall convene an initial Case Management Conference (CMC) within 21 days of constitution. At the CMC, the Tribunal shall discuss and establish:

The Claimant shall submit a Statement of Claim within the time period established by the Tribunal at the CMC. The Statement of Claim shall set out: (a) a full statement of the relevant facts; (b) the legal basis for the claims; (c) the relief sought with full particulars; and (d) all documents and evidence relied upon.

The Respondent shall submit a Statement of Defence within the time period established by the Tribunal. The Statement of Defence shall respond to the Statement of Claim and may include counterclaims. The Tribunal may, in exceptional circumstances, permit amendments to pleadings.

Document production shall be limited to documents that are relevant to the case and material to its outcome, having regard to proportionality. Broad U.S.-style discovery shall not apply unless otherwise agreed by the Parties. A Party requesting document production shall identify the documents or categories of documents sought with reasonable particularity and explain why they are relevant and material. The Tribunal shall determine the admissibility and weight of any evidence. The Tribunal may have regard to the IBA Rules on the Taking of Evidence in International Arbitration as guidelines.

Each Party may call witnesses and experts in support of its case. Witness statements and expert reports shall be submitted in writing in advance of the hearing. The Tribunal may permit cross-examination and may also put questions to witnesses and experts directly. The Tribunal may appoint its own independent expert where necessary.

The Tribunal shall hold a hearing if so requested by a Party. Hearings may be conducted:

All hearing formats carry equal legal validity under Article 4(h).

The Tribunal may order such interim or conservatory measures as it considers necessary, including: (a) preservation of assets; (b) maintenance of the status quo; (c) preservation of evidence; and (d) any other measure necessary to protect a Party's rights or the integrity of the proceedings.

Prior to the constitution of the Tribunal, a Party may apply to the Institution for the appointment of an Emergency Arbitrator in accordance with Article 31A.

The Institution shall appoint an Emergency Arbitrator within 24 hours of receipt of a valid application. The Emergency Arbitrator shall issue a decision within 7 days of appointment. Any such decision shall have the same effect as an interim order of the Tribunal and shall be binding on the Parties unless and until modified, suspended, or revoked by the Tribunal.

Under the Expedited Procedure:

For disputes with a value not exceeding USD 1,000,000, the Parties may agree to the Simplified Procedure: (a) sole arbitrator; (b) reduced procedural formalities; (c) Award rendered within 60 to 90 days of constitution; and (d) ERR under Article 42 optional by agreement.

If a Party fails to appear or otherwise participate in the proceedings, the Tribunal may proceed with the arbitration and render an Award on the basis of the evidence before it. Such failure shall not, of itself, constitute an admission of the other Party's claims, which must still be proved to the satisfaction of the Tribunal.

The Tribunal shall have authority to conduct proceedings involving all relevant Parties and contracts, provided all Parties have consented or the relevant arbitration agreements are compatible. The Institution may consolidate two or more arbitrations where the Parties agree, the disputes arise under related contracts, or the disputes involve common questions of law or fact.

Unless otherwise agreed by the Parties, all aspects of the arbitration shall be confidential, including: (a) the existence of the arbitration and the identity of the Parties; (b) all pleadings, submissions, and correspondence; (c) all evidence and documents produced; (d) hearings and transcripts; and (e) the Award.

Disclosure may be made: (i) to the extent required by applicable law or a competent court; (ii) for the purposes of recognition, enforcement, or challenge of the Award; or (iii) with the prior written consent of all Parties.

When the Tribunal is satisfied that the Parties have had a sufficient opportunity to present their cases, it shall declare the proceedings closed and shall advise the Parties of the anticipated date for delivery of the Award. After closure, no further submissions shall be admitted unless the Tribunal, in exceptional circumstances, decides to reopen the proceedings.

Where the Parties settle the dispute during the proceedings, the Tribunal shall, at the Parties' request, record the settlement in the form of a consent award on agreed terms.

Every Award shall be made in writing and shall:

The Tribunal shall render the Award as expeditiously as possible and, unless extended, within 120 to 180 days from the date of its constitution, or, in expedited proceedings under Article 32, within 90 to 120 days.

The Tribunal shall apply the law or rules of law designated by the Parties as applicable to the substance of the dispute. In the absence of such designation, the Tribunal shall apply the law it considers most appropriate. The Tribunal may decide as amiable compositeur or ex aequo et bono only if the Parties have expressly authorised it to do so.

Any request for an extension shall be made in writing. The Tribunal may extend the applicable period where justified by exceptional circumstances, and its determination shall be final.

The costs of the arbitration shall include: (a) the Institution's administrative fees; (b) the fees and expenses of the arbitrators; (c) the ERR fee; and (d) any other expenses reasonably incurred by the Institution. The Tribunal shall determine in the Award how the costs of the arbitration shall be allocated between the Parties and may also direct that the reasonable legal costs incurred by the successful Party be borne by the other Party.

Within 30 days of receipt of the Award, either Party may request that the Tribunal: (a) correct any computational, typographical, or clerical errors; or (b) provide an interpretation of a specific point or portion of the Award. A correction or interpretation shall form part of the Award and shall be issued within 30 days of the request.

The Award shall be final and binding on the Parties. The Parties undertake to carry out any Award without delay and shall be deemed to have waived their right to any form of recourse insofar as such waiver is permitted under applicable law.

The Award, together with the Enforceability Certificate issued under Article 43, may be submitted to any competent court for the purposes of recognition and enforcement in accordance with the New York Convention 1958 and any other applicable treaty or domestic legislation. UNIONE™ shall provide such additional certification as may be required by specific enforcement jurisdictions.

Following issuance of the final Award and Enforceability Certificate, UNIONE™ shall provide post-award support services including: (a) guidance on enforcement strategy across identified jurisdictions; (b) coordination with local counsel networks; and (c) supplementary certification and documentation for use in enforcement proceedings.

The Tribunal may award simple or compound interest on any sum awarded at such rate and for such period as it considers appropriate, having regard to the circumstances of the case, the applicable law, and prevailing commercial rates.

The Award shall be expressed in the currency or currencies in which the relevant obligations are denominated, or in such other currency as the Tribunal considers appropriate having regard to the nature of the dispute and the enforceability of the Award in the anticipated enforcement jurisdictions.

UNIONE™ shall administer all arbitrations commenced under these Rules. Its institutional functions include: (a) registration and management of cases; (b) appointment, confirmation, and replacement of arbitrators; (c) oversight of procedural timetables; (d) administration of advances on costs; (e) conduct of the Enforcement Readiness Review; (f) issuance of Enforceability Certificates; and (g) provision of post-award support services.

The Registrar shall be responsible for the day-to-day administration of cases, including the receipt and transmission of communications, the management of deadlines, and liaison between the Parties, the Tribunal, and the Institution. The Registrar may issue procedural directions of an administrative nature that do not affect the substance of the dispute.

UNIONE™ operates a digital-first case management platform. All proceedings shall be managed through the UNIONE™ digital platform. The platform shall support: (a) electronic filing and service of all submissions; (b) secure digital communication; (c) virtual and hybrid hearing facilities; and (d) secure storage of all case records. Electronic records shall be legally valid and equivalent to physical records.

UNIONE™ shall maintain a transparent and published fee schedule. Fees shall be structured to be:

UNIONE™, its officers, employees, and appointed arbitrators shall not be liable to any Party for any act or omission in connection with the administration of proceedings under these Rules, except in cases of deliberate wrongdoing. The Parties agree that they shall not bring any claim against UNIONE™ or any arbitrator in connection with the exercise of functions under these Rules.

All communications between the Parties and the Tribunal shall be transmitted through the Institution unless the Tribunal directs otherwise. Direct communication between a Party and an arbitrator without copying the Institution and all other Parties is prohibited, except for purely administrative matters relating to scheduling.

Any time limit established by these Rules or by the Tribunal may be extended by agreement of the Parties or by the Tribunal in exceptional circumstances. Applications for extensions shall be made in advance and accompanied by reasons. Where a time limit falls on a non-business day, it shall be extended to the next business day.

A Party that proceeds with the arbitration without promptly raising an objection to any non-compliance with these Rules or the arbitration agreement shall be deemed to have waived its right to object to such non-compliance, unless sufficient cause for the delay is shown. The Tribunal shall have sole discretion to determine whether any belated objection may be entertained or not.

The Institution makes no representation or warranty as to the enforceability of any Award or as to the outcome of any proceeding. The Enforceability Certificate issued under Article 43 is advisory only and does not constitute a guarantee of enforcement in any jurisdiction.

Nothing in these Rules shall require any Party or arbitrator to act in a manner inconsistent with any mandatory provision of applicable law. Where any provision of these Rules conflicts with a mandatory provision of the law of the Seat of Arbitration, the mandatory provision shall prevail.

UNIONE™ may amend these Rules from time to time. Any amendment shall be proposed by the Rules Committee, subject to stakeholder consultation, and approved by the UNIONE™ Council before taking effect. The version of the Rules in force at the time of commencement of arbitration shall apply throughout its duration, unless the Parties agree to apply a subsequent version.

These Rules - the UNIONE™ International Arbitration & Dispute Resolution Rules, Version 3.0 - shall enter into force on the Effective Date announced by UNIONE™ and published at theunione.org. These Rules shall apply to all arbitrations commenced on or after the Effective Date. Questions regarding the application or interpretation of these Rules shall be referred to the Institution, whose determination shall be final.