Lex Arbitrate

Category: Rules Article

  • Article 33: Cost Consequence

    Part IX — COST CONSEQUENCE FOR LATE PRODUCTION

    33.1 Principle. Late production of documents causes delay, prejudice, and avoidable cost. This Article imposes a structured cost consequence.

    33.2 Scale of Consequence (cumulative, subject to Tribunal discretion):

    33.2.1 First instance of late production after Pre-Evidence Discovery close: formal Tribunal observation on record; no cost consequence. 33.2.2 Second instance: the defaulting party bears (a) the additional cost of the other party’s review; (b) any Tribunal-directed reconvening cost; and (c) an institutional administrative charge of INR 25,000 per late document or category, payable to the Centre. 33.2.3 Third and subsequent instances: the costs of the entire Pre-Evidence Discovery Stage may be redirected against the defaulting party, and the Tribunal may adjust the Tribunal-cost allocation in the final award.

    33.3 Tribunal Discretion. The Tribunal retains full discretion on the application of this Article, including to waive consequences for good cause shown. The scale operates as a default against which the Tribunal exercises discretion; it is not automatic.

    33.4 Publication. The institutional administrative charge is paid to the Centre and accounted for in the Annual Aggregate Report in aggregated (not party-identified) form.

    —

  • Article 34: Settlement

    Part X — SETTLEMENT, ARB-MED-ARB, AND INTEGRATED ADR

    34.1 The parties may settle their dispute at any stage. The Tribunal shall, at the request of the parties, record the settlement as an award on agreed terms under Section 30 of the Act, provided the settlement is not contrary to law or public policy.

  • Article 35: Institutional Encouragement of Settlement

    Part X — SETTLEMENT, ARB-MED-ARB, AND INTEGRATED ADR

    35.1 The Tribunal shall, at the first case management conference and at subsequent appropriate stages, enquire whether the parties wish to explore settlement or mediation, and shall facilitate such exploration without pressure on either party.

  • Article 36: Integrated ADR Track Directory

    Part X — SETTLEMENT, ARB-MED-ARB, AND INTEGRATED ADR

    36.1 The Centre administers the following integrated ADR tracks; parties may invoke any of them in the first instance or, where appropriate, migrate between them under institutional supervision:

    36.1.1 Structured Negotiation. Institution-facilitated, time-boxed at twenty-one (21) or forty-five (45) days. A negotiation convenor is appointed from the Mediator Panel. Exit to mediation or arbitration is by party election.

    36.1.2 Mediation. Under the Mediation Act, 2023. Two sub-tracks: Commercial Mediation and Pre-Litigation Mediation under Section 12A of the Commercial Courts Act, 2015, where applicable.

    36.1.3 Arbitration. Under these Rules, in the four Tracks under Part IV.

    36.1.4 Arb-Med-Arb. Under Article 37.

    36.1.5 Med-Arb. Under Article 38.

    36.1.6 Emergency Arbitrator. Under Article 17.

    36.1.7 Two-Tier Institutional Review. Under Part XII.

    36.1.8 Online Dispute Resolution (ODR).

    (a) Commercial ODR: a documents-only sole-arbitrator procedure for low-value, uncomplicated-fact disputes, operated on the institutional filing portal. (b) Consumer ODR: high-volume, standardised ODR for consumer-platform disputes under the Consumer Protection (E-Commerce) Rules, 2020, read with the Consumer Protection Act, 2019.

    36.1.9 Expert Determination. Under the Expert Determination Protocol.

  • Article 37: Arb-Med-Arb Protocol

    Part X — SETTLEMENT, ARB-MED-ARB, AND INTEGRATED ADR

    37.1 At any stage, the parties may jointly request that the arbitration be stayed to permit mediation under the Lex Arbitrate Mediation Rules.

    37.2 The arbitration shall be stayed for a period not exceeding sixty (60) days, extendable once on joint application.

    37.3 If the mediation results in a settlement, the settlement shall, at the parties’ request, be recorded by the Tribunal as an award on agreed terms.

    37.4 If the mediation does not result in a settlement, the arbitration shall resume from the stage at which it was stayed.

    37.5 Except with the written consent of all parties, the mediator shall not serve as arbitrator in the same or any related dispute, and the arbitrator shall not serve as mediator.

  • Article 38: Med-Arb Protocol

    Part X — SETTLEMENT, ARB-MED-ARB, AND INTEGRATED ADR

    38.1 Where the parties jointly and expressly so elect in writing, a mediator may subsequently serve as arbitrator in the same dispute (Med-Arb), subject to:

    38.1.1 written informed consent of all parties, recorded after full disclosure of the risks and safeguards; 38.1.2 disclosure by the mediator of any circumstance within the Orange or Red Lists of the IBA Guidelines on Conflicts of Interest, 2024, which shall be treated for this purpose as a mandatory disclosure trigger; 38.1.3 a clean break between mediation and arbitration, recorded by procedural order, including a statement that ex parte communications during the mediation phase shall not influence the arbitral determination; 38.1.4 continuing confidentiality of the mediation communications, save as disclosed with written consent.

    38.2 Where, in the Tribunal’s or Registrar’s view, the integrity of the arbitration cannot be preserved notwithstanding the safeguards, the Registrar shall decline to confirm the Med-Arb appointment.

    —

  • Article 39: Making of the Award

    Part XI — THE AWARD

    39.1 Where the Tribunal consists of more than one arbitrator, any award or other decision shall be made by a majority. In the absence of a majority, the presiding arbitrator shall decide.

    39.2 The award shall be in writing, shall state the reasons on which it is based unless the parties have agreed otherwise or it is an award on agreed terms, and shall be signed by the arbitrators.

    39.3 The award shall state its date and the seat of arbitration.

  • Article 40: Time for the Award

    Part XI — THE AWARD

    40.1 The Tribunal shall render the final award within the target period applicable to the Track under Article 13, calculated from constitution.

    40.2 The Registrar may, on application of the Tribunal and for good cause recorded in writing, extend the period. Extensions shall be the exception, not the rule, and shall be counted against the Tribunal’s performance record maintained by the Centre.

    40.3 Where the Tribunal exceeds the period without an extension, the Registrar shall invoke Level 4 of the Timeline Enforcement Protocol.

  • Article 21: General Provisions

    Part VIII — CONDUCT OF THE ARBITRATION

    21.1 The Tribunal shall conduct the arbitration in such manner as it considers appropriate, subject to these Rules and the mandatory provisions of the law of the seat.

    21.2 The Tribunal shall, at all times:

    21.2.1 treat the parties equally; 21.2.2 give each party a full and reasonable opportunity to present its case; 21.2.3 avoid unnecessary delay or expense; 21.2.4 provide a fair, efficient, and expeditious process for the resolution of the dispute.

  • Article 22: Statement of Claim, Defence, and Further Pleadings (Standard Commercial, Complex-Commercial, and International Proceedings)

    Part VIII — CONDUCT OF THE ARBITRATION

    22.1 The Statement of Claim shall be filed within thirty (30) days of the constitution of the Tribunal and shall set out:

    22.1.1 the facts supporting the claim; 22.1.2 the legal grounds relied on; 22.1.3 the relief sought; 22.1.4 a list of documents relied on, with copies annexed; 22.1.5 a statement of quantum with supporting material.

    22.2 The Statement of Defence (and Counterclaim, if any) shall be filed within thirty (30) days of the Statement of Claim and shall mirror the contents prescribed under Article 22.1 in respect of the defence and counterclaim.

    22.3 The Reply to Counterclaim shall be filed within twenty-one (21) days.

    22.4 Rejoinder pleadings, if any, shall be permitted only with leave of the Tribunal, for good cause recorded in writing, and shall be strictly confined to matters arising out of the earlier pleading.