LCIA Terms and Conditions for Appointments Only effective 1 December 2023 Download PDF The LCIA Appointment Terms and Conditions apply where the LCIA agrees to appoint an adjudicator or an expert in proceedings that are not administered by an institution or agrees to appoint an arbitrator in arbitrations that are not administered by an institution and that do not fall within the scope of the LCIA UNCITRAL Terms and Conditions. Article 1 LCIA Appointment Services Article 2 Requests for the LCIA’s Services Article 3 The LCIA's Fees and Expenses Article 4 Deposits of Costs Article 5 Return of Funds Article 6 Compliance Article 7 Data Protection Article 8 Limitation of Liability Article 9 Governing Law and Jurisdiction Article 1 LCIA Appointment Services 1.1 These terms and conditions (LCIA Appointment Terms and Conditions) effective from 1 December 2023 set out the terms on which the LCIA may provide the following services: (a) the appointment of an adjudicator in ad hoc adjudications (Adjudication); (b) the appointment of an expert in ad hoc expert determinations (Expert Determination); (c) the appointment of an arbitrator in ad hoc arbitrations (Ad Hoc Arbitration)1 ; and; (d) the appointment of a substitute of any of the above; each the Appointment, provided that the parties to the Adjudication or Expert Determination or Ad Hoc Arbitration (each a Party and together the Parties) have either agreed that the LCIA will serve as appointing authority or a third entity has designated the LCIA as appointing authority and, in all cases, the LCIA has agreed to make the Appointment in accordance with Article 2.3. 1.2 These LCIA Appointment Terms and Conditions apply to the appointment of an adjudicator and an expert in proceedings that are not administered by an institution and to the appointment of an arbitrator in arbitrations that are not administered by an institution and that do not fall within the scope of the LCIA UNCITRAL Terms and Conditions. 1.3 For the purpose of these LCIA Appointment Terms and Conditions, any adjudicator/expert or arbitrator, including any appointment of a substitute thereof, is referred to as the Neutral. 1.4 In addition to terms that are expressly defined to include the plural, all other references in these LCIA Appointment Terms and Conditions to the singular shall also include the plural, where applicable, and vice versa. Article 2 Requests for the LCIA’s Services 2.1 A Party may request the LCIA to make one or more of the Appointments by sending the LCIA a request by email or other electronic means, including via any electronic filing system operated by the LCIA, to [email protected] (Request) together with: (a) a copy of the relevant clause, standalone agreement or decision of the third entity for the LCIA to act or be designated as the appointing authority; (b) a copy of the underlying contract between the Parties; (c) a summary of the nature of the dispute and the expertise that the Parties have agreed that the Neutral should have; (d) the email address of each Party including the email address of any legal representatives authorised to act on legal matters for the Party, and who is on the record in the Adjudication, Expert Determination, or Ad Hoc Arbitration (Legal Representatives); (e) the UK value added tax (UK VAT) details for each Party if they are subject to UK VAT; (f) confirmation that a non-refundable fee of £1,950 (Registration Fee) for each Appointment requested has been deposited in the LCIA’s bank account. Where a Party or the Parties request that the LCIA provide more than one Appointment in support of the same Expert Determination, Adjudication or Ad Hoc Arbitration, a further non-refundable Registration Fee is payable for each such Appointment unless the LCIA shall decide in its sole discretion, and without the need to state any reasons, to waive such further Registration Fee. 2.2 Parties to any Request designating the LCIA as an appointing authority, filed with the LCIA on or after 1 December 2023, and any Neutral to be appointed, are deemed to have consented to these LCIA Appointment Terms and Conditions. 2.3 Once the LCIA has received the Request and the Registration Fee in accordance with Article 2.1, the LCIA will decide in its sole discretion, and without the need to state any reasons, whether it is willing to make the Appointment(s) and will inform the Parties of its decision as soon as practicable. 2.4 Unless otherwise directed by the LCIA, all communications shall be delivered in electronic form to [email protected] and any communication so delivered shall be treated as having been received. 2.5 When a Party communicates with, or copies correspondence to, the LCIA in connection with the Appointment, that Party shall prominently quote the LCIA case reference number. 2.6 If there is any change to the contact details of a Party or its Legal Representatives, that Party shall promptly inform the other Party and the LCIA in writing of the new contact details, and such details should then be used. 2.7 Unless and until the Party informs the other Party and the LCIA of any change, the other Party, and the LCIA are entitled to continue using that Party’s previous contact details (including the contact details for their previous Legal Representatives). Article 3 The LCIA's Fees and Expenses 3.1 The Parties shall be jointly and severally liable for the LCIA’s fees and expenses. 3.2 The LCIA will charge the Parties for time spent performing the administrative functions necessary to provide the Appointment, at the following rates, as amended from time to time in its sole discretion, and without the need to state any reasons:2 (a) for the Registrar, or Deputy Registrar: £300 per hour; (b) for Senior Counsel or Counsel: £285 per hour; (c) for Casework Administrator functions: £220 per hour; and (d) for Casework Accounting functions: £190 per hour. The rates provided above exclude UK VAT. 3.3 The LCIA will charge the Parties expenses, if any, incurred by the LCIA and by members of the LCIA Court in connection with the Appointment (such as postage, telephone, travel, etc) and additional arbitration support services, whether provided by the LCIA, or by the members of the LCIA Court, from its own resources or otherwise. 3.4 The LCIA will not fulfil any Appointment unless it is in receipt of sufficient funds to cover its fees and expenses and, in any event, will notify the Parties of the Appointment when the LCIA’s charges have been settled in full, irrespective of the time limit provided by the relevant clause, standalone agreement or decision of the third entity for the LCIA to act or be designated as the appointing authority. 3.5 The LCIA will periodically render invoices for its fees and expenses. Once invoices are rendered, the LCIA will deduct the fees directly from the account in accordance with the payment terms of its invoice. 3.6 UK-based Parties shall be jointly and severally liable to the LCIA for any UK VAT chargeable on or in respect of the Appointment by the LCIA. 3.7 Any bank charges incurred on any transfer of funds by or to the Parties shall be borne exclusively by the Parties. Article 4 Deposits of Costs 4.1 The LCIA shall direct deposits from the Parties in such proportions and at such times as it thinks appropriate, to cover the LCIA’s fees and expenses for the Appointment. 4.2 Any deposits made to the LCIA at its own direction, shall be the property of the LCIA to be disbursed or otherwise applied by the LCIA in accordance with these LCIA Appointment Terms and Conditions. The Parties agree that the LCIA shall not act as trustee, and its sole duty in respect of the funds received shall be to act in accordance with these LCIA Appointment Terms and Conditions.; 4.3 The Parties are not entitled to interest on any credit balance, and any interest earned from funds paid to the LCIA by the Parties shall accrue for the sole benefit of the LCIA. 4.4 The LCIA will only accept deposits, and any other payments in connection with the Appointment, from a Party or a Party’s Legal Representatives, and the LCIA’s acceptance of deposits/payments is subject to Article 6. 4.5 No Party should deposit or seek to deposit funds with the LCIA (other than the Registration Fee) before the LCIA has confirmed its willingness to make the Appointment in accordance with Article 2.3. Otherwise, and unless the LCIA obtains satisfactory additional information, it may, in its sole discretion, and without the need to state any reasons, return the funds to the account from which they were paid. Article 5 Return of Funds 5.1 Where the LCIA holds deposits made in accordance with Article 4 above and there is an excess amount to be returned to the Parties, the LCIA will return the funds: (a) in accordance with any written agreement between the Parties; failing which, (b) the LCIA shall return the funds in the same proportions and to the same Parties as the payments were made to the LCIA. 5.2 Subject to Article 6, once instructions are provided, the LCIA will transfer the excess amount as soon as practicable in accordance with the details provided by the Parties and provide confirmation to the Parties that the transfer has occurred. 5.3 The LCIA will make reasonable attempts to contact the Parties in order to arrange for the transfer of the excess amount, using the contact details provided to the LCIA during the proceedings. If a response is not received from a Party so contacted within 30 days, the LCIA will provide that Party with written notice of its intention to retain the excess amount. If no response is received within a further 60 days, the Party will be deemed irrevocably to have waived any right to claim and/or receive the excess amount. 5.4 If a payment or payments have been made or the excess funds have been dealt with, such that the account has no balance remaining, the LCIA may close the account. Article 6 Compliance 6.1 Any dealings between a Party, the Neutral(s) and the LCIA will be subject to any requirements applicable to that Party, the Neutral(s) or the LCIA relating to bribery, corruption, terrorist financing, fraud, tax evasion, money laundering and/or economic or trade sanctions (Prohibited Activity), and the LCIA will deal with any Party and any Neutral on the understanding that it is complying with all such requirements. 6.2 The LCIA may refuse to act on any instruction and/or accept or make any payment if the LCIA determines (in its sole discretion and without the need to state any reasons) that doing so may involve Prohibited Activity, or breach any law, regulation, or other legal duty which applies to it, or that doing so might otherwise expose the LCIA to enforcement action or censure from any regulator or law enforcement agency. 6.3 The Parties and the Neutral(s) agree to provide the LCIA with any information and/or documents reasonably requested by the LCIA for the purpose of compliance with laws relating to Prohibited Activity. The LCIA may take any action it considers appropriate to comply with any applicable obligations relating to Prohibited Activity, including disclosure of any information and documents to courts, law enforcement agencies or regulatory authorities. Article 7 Data Protection 7.1 Any processing of personal data by the LCIA is subject to applicable data protection legislation, and the LCIA’s data protection notice can be found on the LCIA’s website. Article 8 Limitation of Liability 8.1 The LCIA is not liable, or otherwise responsible, for any loss incurred by the Parties, the Neutral, or any third parties, as a consequence of the failure of, or any act or omission by, any bank or banks holding funds. 8.2 None of the LCIA (including its officers, members, and employees), the LCIA Court (including its President, Vice-Presidents, Honorary Vice-Presidents, former Vice-Presidents, and members), the LCIA Board (including any board member) and the Registrar (including any Deputy Registrar) shall be liable to any Party or any Neutral(s) howsoever for any act or omission in connection with the Appointment, save: (a) where the act or omission is shown by that Party, or that Neutral, to constitute conscious and deliberate wrongdoing committed by the body or person alleged to be liable to that Party, or to that Neutral; or (b) to the extent that any part of this provision is shown to be prohibited by any applicable law. Article 9 Governing Law and Jurisdiction 9.1 These LCIA Appointment Terms and Conditions constitute the entire agreement between the LCIA, the Parties and the Neutral(s) concerning the Appointment(s). 9.2 These LCIA Appointment Terms and Conditions (and any non-contractual obligations related to them) are governed by, and shall be interpreted in accordance with, the laws of England. 9.3 The courts of England and Wales shall have exclusive jurisdiction to hear and decide any action, suit or proceedings between a Party, the Neutral(s), the LCIA (including its officers, members and employees), the LCIA Court (including its President, Vice Presidents, Honorary Vice Presidents, former Vice Presidents and members), the LCIA Board (including any board member), the Registrar (including any Deputy Registrar) which may arise out of or in connection with these LCIA Appointment Terms and Conditions (including any non-contractual obligations related to them) and, for these purposes, each Party and each Neutral irrevocably submits to the jurisdiction of the courts of England and Wales. 1 Appointments under the 2010 or 2013 UNCITRAL arbitration rules (UNCITRAL Arbitration Rules) are governed by the LCIA UNCITRAL Terms and Conditions found on our website 2 Minimum unit of time in all cases: six minutes