Commercial arbitration procedure
Seat: England and Wales
Arbitration Act 1996
These Rules set out a streamlined procedure for the arbitration of commercial disputes under the Arbitration Act 1996. They are intended for parties who wish to obtain a fast, proportionate and binding decision without the cost and delay of full litigation-style procedure.
These Rules are not suitable for disputes involving multiple parties, extensive factual or expert evidence, or several distinct causes of action, and the arbitrator may decline to proceed under these Rules if satisfied a dispute is unsuitable for them.
1.1 These Rules apply where the parties have agreed in writing, whether before or after a dispute has arisen, that a dispute shall be referred to arbitration under these Rules.
1.2 Unless the parties agree otherwise, these Rules apply automatically where the amount in dispute, including any counterclaim, does not exceed £75,000.
1.3 Where the amount in dispute exceeds £75,000, or there is no monetary claim, the parties may nonetheless agree that these Rules shall apply.
1.4 Where a dispute concerns the release of funds held by a third-party escrow or payment agent, Rule 11 applies in addition to the Rules below.
Rule 1 — Seat and Governing Law
The seat of arbitrations conducted under these Rules shall be England and Wales. These Rules shall be construed subject to, and the arbitration shall be conducted in accordance with, the Arbitration Act 1996.
Rule 2 — Commencement and Appointment
2.1 A party wishing to commence an arbitration under these Rules shall give written notice to ClearPoint and to the other party, identifying the parties, summarising the dispute, and confirming the value in issue.
2.2 ClearPoint shall appoint a sole arbitrator from its panel within 5 business days of receiving a validly commenced notice, having regard to relevant expertise, availability, and any conflict of interest.
2.3 The arbitration is deemed to commence on the date the arbitrator confirms appointment in writing, which may be by email.
2.4 A party may object to the appointment of a particular arbitrator on grounds of justifiable doubts as to impartiality or independence. Any such objection shall be determined by [Provider]’s appointing committee, whose decision is final.
Rule 3 — Statements of Case
3.1 Within 14 days of commencement, the claimant shall serve a statement of case, limited to 3,000 words, together with copies of the documents relied upon, limited to 75 single-sided pages.
3.2 Within 14 days of service of the statement of case, the respondent shall serve a statement of defence and any counterclaim, limited to 3,000 words, together with supporting documents limited to 75 single-sided pages.
3.3 Where a counterclaim is served, the claimant may serve a reply and defence to counterclaim within 14 days, limited to 1,500 words together with up to 30 further pages of documents.
3.4 No further statements of case shall be served save with the permission of the arbitrator.
3.5 The arbitrator may extend any time limit in this Rule on application made before it expires, and may otherwise admit a late submission where satisfied it is just to do so.
Rule 4 — Documents and Evidence
4.1 There shall be no separate disclosure exercise. Each party may rely only on the documents served with its statements of case.
4.2 Where the arbitrator considers that a party has withheld a document plainly relevant to an issue in dispute, the arbitrator may direct its production, and may draw an adverse inference from a failure to comply without adequate explanation.
4.3 Witness statements and expert reports, where permitted, count towards the document page limits in Rule 3 and must be served with the relevant statement of case.
4.4 Within 7 days of the final statement of case, the claimant shall prepare and provide to the arbitrator and the respondent a single, paginated and indexed electronic bundle of all statements of case and documents relied upon.
Rule 5 — Determination
5.1 After consulting the parties, the arbitrator shall decide whether the dispute is to be determined on the documents alone or following a hearing.
5.2 Any hearing shall not exceed one day, save in exceptional circumstances with the arbitrator’s permission, and may be conducted remotely by video conference unless the arbitrator directs otherwise.
5.3 The arbitrator may proceed to determine the dispute notwithstanding a party’s failure to comply with these Rules or the arbitrator’s directions, provided that party has been given reasonable written notice of the arbitrator’s intention to do so.
Rule 6 — The Award
6.1 The arbitrator shall use reasonable endeavours to issue a reasoned award within 21 days of the close of submissions or, where there is a hearing, within 21 days of the close of that hearing.
6.2 The award shall be final and binding on the parties, subject only to such rights of challenge or appeal as are available under the Arbitration Act 1996.
Rule 7 — Fees
7.1 [Provider]’s fee schedule for arbitrations conducted under these Rules is published separately and may be amended from time to time. The fee applicable to an arbitration is that in force on the date of commencement.
7.2 Payment of the applicable fee in full is a condition precedent to the arbitrator issuing an award. The parties are jointly and severally liable for the fee.
7.3 Fees are non-refundable once the arbitrator has been appointed, including where the dispute is settled or withdrawn before an award is issued.
7.4 VAT is payable in addition to all fees where applicable.
Rule 8 — Costs of the Arbitration
8.1 The arbitrator may allocate the costs of the arbitration, comprising the fees under Rule 7 and the parties’ own legal or other costs, as between the parties.
8.2 Unless the arbitrator directs otherwise, costs shall follow the event.
8.3 Recoverable costs under this Rule shall not exceed £2500, unless the parties agree a higher limit before determination.
Rule 9 — Confidentiality
9.1 The existence of the arbitration, the award, and all documents produced for the purposes of the arbitration shall be kept confidential by the parties and the arbitrator, save where disclosure is required by law, is necessary to enforce or challenge the award, or is agreed in writing by both parties.
Rule 10 — Immunity
10.1 Neither the arbitrator nor ClearPoint shall be liable for anything done or omitted in the discharge of their functions under these Rules, save where the act or omission is shown to have been in bad faith.
Rule 11 — Escrow-Linked Disputes
11.1 Where a dispute concerns whether the conditions for release of funds held in escrow have been satisfied, the arbitrator’s award shall specify the sum, if any, to be released and to which party.
11.2 On the written request of either party and production of the award, ClearPoint shall transmit a copy of the award to the relevant escrow or payment agent named by the parties.
11.3 Nothing in these Rules obliges an escrow or payment agent to release funds otherwise than in accordance with the terms of the escrow agreement between the parties and that agent. ClearPoint is not a party to, and accepts no liability under, that escrow agreement.
Rule 12 — General
12.1 The arbitrator may, in exceptional circumstances and after hearing the parties, depart from these Rules where their strict application would cause injustice.
12.2 If any provision of these Rules is held invalid or unenforceable, the remaining provisions shall continue in full force and effect.
12.3 These Rules may be amended by ClearPoint from time to time. The version in force on the date of commencement of an arbitration shall apply to that arbitration.
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