Lex Arbitrate

Category: Rules Article

  • Article 2: Definitions

    Part I — SCOPE, DEFINITIONS, AND INSTITUTIONAL ROLE

    In these Rules, unless the context otherwise requires:

    2.1 “Act” means the Arbitration and Conciliation Act, 1996 (as amended from time to time).

    2.2 “ADR” means alternative dispute resolution and includes negotiation, mediation, arbitration, expert determination, Arb-Med-Arb, Med-Arb, and online dispute resolution as administered under these Rules and complementary Protocols.

    2.3 “Award” means any decision of the Arbitral Tribunal on the substance of the dispute, including any interim, partial, preliminary, consent, or final award.

    2.4 “Centre” means Lex Arbitrate, the institutional arbitration centre administering proceedings under these Rules.

    2.5 “Claim” includes counterclaim, and “Defence” includes defence to counterclaim, unless otherwise indicated.

    2.6 “Claimant” means the party or parties commencing arbitration, and “Respondent” means the party or parties against whom arbitration is commenced.

    2.7 “Consolidated Edition” means this Edition v1.2 of the Rules, being the sole operative instrument with effect from the Effective Date.

    2.8 “Court” means a court of competent jurisdiction at the seat of arbitration.

    2.9 “Emergency Arbitrator” has the meaning given in Article 17.

    2.10 “Evidence Stage” means the Separate Evidence Stage conducted under Article 29 with the Certified Mechanism.

    2.11 “Institutional Review Panel” has the meaning given in Article 47.

    2.12 “Mediation Act” means the Mediation Act, 2023.

    2.13 “Party” means a party to the proceeding.

    2.14 “Pre-Evidence Discovery” means the protocol under Article 24.

    2.15 “Registrar” means the Registrar of Lex Arbitrate or any person acting in that capacity.

    2.16 “Request” means the Request for Arbitration under Article 4.

    2.17 “Rules” means these Arbitration Rules of Lex Arbitrate, Consolidated Edition v1.2, as may be amended from time to time.

    2.18 “Seat” means the juridical seat of arbitration designated under Article 34.

    2.19 “Schedule I” means the Schedule of Fees and Costs under these Rules, as notified by the Centre.

    2.20 “Secretariat” means the administrative organ of the Centre acting under the supervision of the Registrar.

    2.21 “Tribunal” means a sole arbitrator or all the arbitrators when more than one is appointed.

    2.22 “Writing” includes communication by electronic means, including email and the secure institutional filing portal.

  • Article 3: Institutional Role of the Centre

    Part I — SCOPE, DEFINITIONS, AND INSTITUTIONAL ROLE

    3.1 The Centre administers proceedings conducted under these Rules. The Centre shall not itself decide any dispute but shall exercise the powers conferred on it by these Rules to facilitate the efficient conduct of arbitration and integrated ADR.

    3.2 The functions of the Registrar include:

    3.2.1 receiving and acknowledging the Request for Arbitration and all subsequent filings; 3.2.2 facilitating the constitution of the Tribunal; 3.2.3 fixing, collecting, and disbursing deposits, fees, and costs under Schedule I; 3.2.4 monitoring compliance with procedural timelines and invoking the Timeline Enforcement Protocol where required; 3.2.5 operating the Certified Mechanism for the Separate Evidence Stage under Article 29; 3.2.6 administering the cost consequence for late production under Article 33; 3.2.7 communicating with the parties and the Tribunal on administrative matters; 3.2.8 taking such other steps as are necessary for the efficient administration of the proceeding.

    3.3 The Registrar shall act independently, impartially, and in confidence. No officer of the Secretariat shall act as arbitrator, counsel, witness, or expert in any proceeding administered by the Centre.

    3.4 The Centre and its officers shall not be liable to any party for any act or omission in connection with a proceeding administered under these Rules, save for liability that cannot be excluded under applicable law.

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  • Article 4: Request for Arbitration

    Part II — COMMENCEMENT OF ARBITRATION

    4.1 A party wishing to commence arbitration shall file a Request for Arbitration with the Registrar, through the institutional filing portal unless the Registrar directs otherwise.

    4.2 The Request shall be in writing and shall contain:

    4.2.1 the names, contact details, and legal representatives of the parties; 4.2.2 a reference to the arbitration agreement invoked and a copy thereof; 4.2.3 a reference to the contract or legal relationship out of which the dispute arises and a copy thereof; 4.2.4 a brief description of the nature and circumstances of the dispute; 4.2.5 a preliminary statement of the relief sought, including a quantified monetary claim where possible; 4.2.6 the Claimant’s proposal on (i) the Track sought under Part IV, (ii) the seat of arbitration, (iii) the language of arbitration, (iv) the applicable substantive law, and (v) the number and method of appointment of arbitrators; 4.2.7 a declaration of the Claimant’s good-faith estimate of dispute value for the purpose of Schedule I; 4.2.8 a statement of any third-party funding arrangement disclosable under Article 52.

    4.3 The Request shall be accompanied by the Registration Fee prescribed in Schedule I. The arbitration shall not be treated as commenced until the Registration Fee has been received by the Centre.

    4.4 The date of commencement of arbitration shall be the date on which the Registrar confirms receipt of a complete Request and the Registration Fee.

    4.5 The Registrar shall, within three (3) business days of receipt, confirm commencement in writing to the Claimant and transmit a copy of the Request to the Respondent.

  • Article 5: Answer and Counterclaim

    Part II — COMMENCEMENT OF ARBITRATION

    5.1 The Respondent shall file an Answer within twenty-one (21) days of receipt of the Request.

    5.2 The Answer shall state:

    5.2.1 the Respondent’s response to the claims; 5.2.2 any objection to the existence, validity, or applicability of the arbitration agreement; 5.2.3 any objection to the Track, seat, language, substantive law, or constitution of the Tribunal proposed by the Claimant; 5.2.4 any counterclaim, with the particulars required under Article 4.2; 5.2.5 any disclosure required under Article 52.

    5.3 The Claimant shall file a Reply to any counterclaim within fourteen (14) days.

    5.4 The Registrar may, on written application and for sufficient cause, extend the periods under this Article by up to seven (7) days. Further extensions require leave of the Tribunal once constituted.

  • Article 6: Joinder, Consolidation, and Multi-Contract Disputes

    Part II — COMMENCEMENT OF ARBITRATION

    6.1 Joinder. The Registrar may, before the constitution of the Tribunal, and the Tribunal may, thereafter, permit the joinder of an additional party where:

    6.1.1 the additional party is prima facie bound by the arbitration agreement; or 6.1.2 all parties, including the additional party, consent in writing.

    6.2 Consolidation. The Registrar may consolidate two or more arbitrations pending under these Rules into a single arbitration where:

    6.2.1 all parties have agreed to consolidation; 6.2.2 all claims are made under the same arbitration agreement; or 6.2.3 the arbitrations involve the same parties, the disputes arise in connection with the same legal relationship, and the arbitration agreements are compatible.

    6.3 Multi-Contract Claims. A party may make claims arising out of or in connection with more than one contract in a single Request, provided that all such claims are made under arbitration agreements compatible with these Rules and with each other.

    6.4 The Registrar shall decide applications under this Article after inviting brief written submissions from all affected parties. The decision of the Registrar is administrative and does not prejudice any jurisdictional determination by the Tribunal.

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  • Article 7: Number of Arbitrators

    Part III — THE ARBITRAL TRIBUNAL

    7.1 The Tribunal shall consist of a sole arbitrator or three arbitrators as the parties have agreed.

    7.2 Absent party agreement, the Registrar shall determine the number of arbitrators, having regard to:

    7.2.1 the complexity of the dispute; 7.2.2 the amount in dispute; 7.2.3 the Track allocated under Part IV; 7.2.4 the preferences expressed by the parties; and 7.2.5 efficient and cost-effective resolution.

    7.3 For Small-Value Track and Express Track proceedings under Part IV, the Tribunal shall consist of a sole arbitrator, save in exceptional circumstances as determined by the Registrar for good cause recorded in writing or on joint party election.

  • Article 8: Qualifications of Arbitrators

    Part III — THE ARBITRAL TRIBUNAL

    8.1 Every arbitrator shall be and remain independent and impartial.

    8.2 Every arbitrator shall have the qualifications agreed by the parties or, absent such agreement, such qualifications as the Registrar considers appropriate having regard to the nature of the dispute.

    8.3 For international commercial arbitrations, the sole or presiding arbitrator shall be of a nationality other than that of any party, unless the parties otherwise agree in writing.

    8.4 Arbitrators appointed under these Rules shall be drawn, wherever reasonably possible, from the Lex Arbitrate Panel of Arbitrators. The Registrar may appoint an arbitrator outside the Panel where the dispute so requires, subject to the qualifications and disclosure requirements under these Rules.

  • Article 9: Appointment of Sole Arbitrator

    Part III — THE ARBITRAL TRIBUNAL

    9.1 Where the Tribunal is to consist of a sole arbitrator, the parties shall jointly nominate the arbitrator within fifteen (15) days of the filing of the Answer.

    9.2 Failing joint nomination, the Registrar shall appoint the sole arbitrator.

    9.3 In making any appointment, the Registrar shall have regard to the factors set out in Article 7.2 and to the requirement that the arbitrator be able to commit to the timelines under these Rules.

  • Article 10: Appointment of Three-Member Tribunal

    Part III — THE ARBITRAL TRIBUNAL

    10.1 Where the Tribunal is to consist of three arbitrators, the Claimant shall nominate one arbitrator in the Request and the Respondent shall nominate one arbitrator in the Answer.

    10.2 The two party-nominated arbitrators shall nominate the presiding arbitrator within fifteen (15) days of confirmation of the second co-arbitrator.

    10.3 Failing nomination by the party-nominated arbitrators, the Registrar shall appoint the presiding arbitrator.

    10.4 Failing nomination by a party, the Registrar shall appoint the co-arbitrator on behalf of that party. A party that has failed to nominate shall retain the right to participate fully in the arbitration thereafter.