THE SYNERGY ARBITRATION, MEDIATION AND CONCILIATION RULES, 2023

PREAMBLE

Operating within India, Synergy Arbitration Centre (SAC) is an established Alternative Dispute Resolution Centre providing comprehensive online and offline dispute resolution (e-ADR) services. For the facilitation of these e-ADR services, including submission of pleadings, SAC has its own web-based case management platform referred to as “ODR Platform” and for the purpose of convening virtual arbitral hearings and meetings, SAC has adopted Google Meets as its official digital infrastructure, hereinafter referred to as the “Hearing Platform”. SAC provides the mechanism for Alternative Dispute Resolution and facilitates the operation of Alternative Dispute Resolution proceedings and associated administrative services, online and offline, which includes appointment of Arbitrator, Mediator, and Conciliator and all the services required till the passing of an award or termination of the proceedings.

In order to provide for clear, simple, effective and quality services by SAC and providing them under the purview of law by making them trustworthy, these rules are formulated, which shall be referred to as “SAC Rules” hereinafter, and shall supersede all previous rules followed by SAC.

Further, the Synergy Arbitration Centre recommends to all parties, desirous of making reference to arbitration by the Synergy Arbitration Centre, the inclusion of an arbitration clause in their contracts clearly specifying the name of the SAC as the Centre for dispute resolution.

PART 1: GENERAL RULES

SHORT TITLE, SCOPE, APPLICATION AND INTERPRETATION

These rules may be called The Synergy Arbitration, Mediation and Conciliation Rules, 2023.

These rules shall apply where the parties have agreed in writing that-

a dispute which has arisen between them in respect of a defined legal relationship, whether contractual or otherwise, shall be referred to and resolved by arbitration under the SAC Rules, 2023;

any dispute which may arise between them in respect of a defined legal relationship, whether contractual or otherwise, shall be referred to and resolved by arbitration under the SAC Rules, 2023; or

notwithstanding the absence of any prior agreement referring disputes to arbitration under the SAC Rules, 2023, the parties have subsequently as per Rule 4.4 agreed to submit an existing or future dispute to arbitration administered under the SAC Rules, 2023.

Where the parties have agreed to refer their disputes to Synergy Arbitration Centre (SAC) for resolution through arbitration, mediation or conciliation, or where an agreement to arbitrate is reached post-dispute pursuant to the invitation mechanism outlined in Rule 4.4, the parties shall be deemed to have agreed that such arbitration, mediation or conciliation shall be conducted and administered in accordance with these rules, as amended from time to time (subsequently referred to as “SAC Rules” or “Rules” in short) and the Arbitration and Conciliation Act, 1996 (“Arbitration Act”) and Mediation Act, 2023 (“Mediation Act”). SAC Rules include the rules, guidelines, code (s) of conduct, protocols, terms and conditions, policies, annexures etc. which are fundamental in the working of the SAC.

If any of these Rules is in conflict with a mandatory provision of a law applicable to the arbitration or the arbitration agreement from which the parties cannot derogate, that mandatory provision shall prevail.

In the event of any dispute regarding the meaning of these Rules, the Arbitral Tribunal shall interpret them according to their purpose and in the manner most appropriate for the particular situation.

The arbitration proceedings initiated/ filed on the ODR Platform shall ordinarily be Document based Arbitration, relying on documents submitted/ provided by the Parties unless otherwise decided by the Arbitral Tribunal.

Further, either party may request the tribunal to conduct an oral hearing on any issue/ dispute. On that request, the tribunal may pass an appropriate order.

These rules, which will supersede all prior Rules which may have been framed by SAC, will be applicable to the new arbitration cases referred to SAC. The said Rules will also be appropriately applicable to the existing arbitration cases, especially with regard to appointment of Arbitrators.

In all matters not expressly provided for in these Rules, the Governing Council, the Chairperson, the Registrar, Case Manager, the Tribunal and each of the parties shall act in the spirit and intent of these Rules and shall make every reasonable effort to ensure that any Award is legally recognised and enforceable

These rules shall come into force with effect from 01.07.2023 and, unless otherwise agreed by the parties, shall apply to all dispute resolution proceedings commenced or pending under SAC.

SAC shall not initiate or continue proceedings in any case where it is evident that the claim is barred by applicable law, including but not limited to statutory limitations or legal prohibitions on the nature of the dispute. The responsibility to determine such legal bars rests with the Registrar of SAC at the time of case scrutiny or with the Arbitral Tribunal upon being brought to its notice during the pendency of the proceedings.

Being a service provider and as part of its services, SAC may provide its ODR Platform to the parties for sending any notices or correspondences. SAC remains a neutral facilitator and does not assume any adjudicatory role in connection with such notices or correspondences.

DEFINITIONS

In these Rules, the following expressions shall have the respective meanings:

“SAC” shall mean Synergy Arbitration Centre and shall be referred to interchangeably as the ‘Centre’, the ‘Institution’, or ‘SAC’ in these Rules, all of which mean the same body. SAC is an alternative dispute resolution institute as described in the Preamble. It provides administrative and technical support to facilitate the conduct of arbitration, conciliation and mediation proceedings in accordance with section 2(6), section 6, section 64(2) and section 68 of the Arbitration Act.

“Arbitration Act” means the Arbitration and Conciliation Act, 1996, as amended from time to time or the re-enactment thereof.

“Arbitration” means as defined in the Arbitration Act.

SAC Rules or Rules means Synergy Arbitration Centre Rules.

“Arbitral Tribunal” means and consists, in case of the Arbitration, an arbitrator/ or panel of arbitrators appointed by the Governing Council under SAC Rules for determining a particular dispute or differences and in case of Conciliation, the Conciliator appointed by the SAC under SAC Rules for adjudicating upon or conciliating in a dispute or difference referred to SAC by any of the Parties, and also includes an Emergency Arbitrator.

“Seat of Arbitration“ means the juridical or legal place of the arbitration designated by the parties, or determined in accordance with these Rules, which shall determine the procedural law governing the arbitration and the courts having supervisory jurisdiction over the arbitral proceedings.

“Venue of Arbitration“ means the physical location where any hearing, meeting, conference, inspection, or other procedural step in the arbitration is conducted, whether in person, virtually, or in hybrid form, and shall not, by itself, affect or alter the Seat of Arbitration unless otherwise expressly agreed by the parties or determined by the Arbitral Tribunal in accordance with these Rules. The venue of arbitration includes the place of arbitration.

“Panel” means the panel/ list as maintained by the SAC Governing Council, of persons who may be appointed as Arbitrators and Conciliators under these Rules.

“Party” means a party to an Arbitration Agreement.

“Arbitral Award” includes partial, interim, or final award passed by Arbitrator and includes an award passed by an emergency arbitrator as per the Act.

Master of Roster means the senior Panel member designated annually by the Governing Council under Rule 5.9 (1) to exercise appointment and challenge functions, possessing not less than 10 years of arbitration experience and subject to the eligibility criteria prescribed in Annexure-IV.

“Registrar“ means the Registrar for the time being appointed by the Governing Council or committee of Council and includes such other persons as Council may nominate for carrying out the duties of the Registrar under these rules.

“Case Manager” shall mean the individual appointed by the Governing Council to provide administrative and Secretarial services to the Registrar, neutrals and the parties to any proceedings under SAC Rules.

“Communication” shall include any notice, invitation, instruction, notification, pleading, application, document, order, award, certificate, report or settlement agreement sent by Registrar to the disputing parties and includes such communication between parties to the dispute.

“Court” shall mean the meaning ascribed to the term under the Arbitration Act.

“Council” or “Governing Council” means the Council of Arbitration of the SAC and includes a committee of the Council.

“Chairperson“ means the Chairperson or Co-Chairpersons of the Council and includes a Vice Chairperson;

“Document based arbitration” means arbitration proceedings conducted solely on the basis of the documents provided by the disputing parties.

“Documents and their admissibility” means as defined and described in the Bharatiya Sakshya Adhiniyam, 2023.

“Invitation to Arbitration” shall mean the invitation sent by one party to another party to participate in the arbitration proceedings under SAC Rules where no prior arbitration clause/agreement existed.

“Claimant” “Respondent” and “Counter-Claimant”, notwithstanding any nomenclature given to the parties in any court proceeding between them, means the party which files the Statement of Claim first in point of time. The other party (ies) shall be referred to as “Respondent(s). The party filling Counter-Claim(s) shall be referred as Counter-Claimant”.

“Request for arbitration” means written communication by which the Claimant invokes arbitration, and also includes online requests filed/made on the ODR Platform by a party to SAC to administer proceedings in terms of SAC Rules.

“Address“ shall mean the addressee’s habitual residence, place of business, or designated address; or any address mutually agreed upon by the parties; or an address established according to the practice of the parties in prior dealings. In the event that none of these can be ascertained after making reasonable inquiry, it shall mean the addressee’s last known residence or place of business.

“Fast track arbitration” or Expedited Arbitration’ means an arbitration conducted under the accelerated procedure set out in Rule 18.1 of these Rules, in which the dispute is determined within the compressed timelines and simplified procedures prescribed therein.

“‘Emergency Arbitrator’ means a person appointed under Rule 18.2.2 to rule on urgent interim relief prior to constituting the Tribunal.

“Schedule” means Schedule to these Rules.

SAC ODR Platform“ or “ODR Platform“ shall mean the web-based case management and document submission system operated by SAC at www.synergyarbitration.com, through which parties may file requests for arbitration, submit pleadings and evidence, receive notices and communications, and access case records. The ODR Platform shall be the primary channel for all deemed-service and notification provisions under these Rules.

“Hearing Platform“ shall mean the digital infrastructure, video-conferencing or electronic communication platform designated by SAC from time to time for the conduct of virtual and hybrid hearings and procedural conferences, which shall initially be Google Meet unless otherwise notified by SAC to the parties in writing. All provisions in the Rules relating to filing, registration, notification, and deemed receipt shall be construed as references to the ODR Platform; all provisions relating to the conduct of virtual hearings shall be construed as references to the Hearing Platform.

“Pre-proceeding call” means the introductory call made via an automated Interactive Voice Response (IVR) service, SAC’s internal calling team or a Case Manager to the parties to arbitration proceedings under SAC Rules individually, wherein information with regard to the arbitration, conciliation and mediation proceedings is communicated to the parties.

Presiding Arbitrator means Arbitrator appointed by two co-arbitrators, in cases where the Arbitral Tribunal consists of three Arbitrators.

“Pre-Arbitration Notice” means as described under Section 21 of the Act.

“Schedule of Fees” means the SAC Schedule of fees in force at the date of commencement of the Arbitration.

“Existing arbitration cases” means cases filed before the commencement date established in Rule 1.10.

“person” includes an individual, corporation, partnership, joint venational organisation, society, agency or authority (in each case, whetherture, association of persons, trust, unincorporated organisation, government (central, state or otherwise), sovereign state, or any agency, department, authority or political subdivision thereof, intern or not having separate legal personality) and shall include their respective successors and assignees and in case of an individual shall include his legal representatives, administrators, executors and heirs and in case of a trust shall include the trustee or the trustees for the time being.

reference to “signature” under the SAC Rules shall include electronic signature under the Information Technology Act, 2000, and under the Civil Procedure Code, as amended from time to time.

a time of day is a reference to Indian Standard Time.

reference of any number of days shall mean such number of days (other than Sunday and national holidays) where SAC is open for its ordinary business activities.

For the purpose of these Rules, ‘national holidays’ shall mean the Gazetted Central Government holidays of India as published by the Department of Personnel and Training for each calendar year. The calendar applicable for each year shall be published on the SAC website by 15 January of that year.

words and abbreviations which have well known technical, trade or commercial meaning, are used in these SAC Rules in accordance with such meaning.

Words importing the singular number include, where the context admits or requires, the plural number and vice versa.

The words and phrases not defined herein shall have the same meaning as used or defined in the Arbitration Act.

WRITTEN COMMUNICATION AND THE CALCULATION OF PERIOD OF TIME

Notice of request for arbitration- (1) The Claimant initiating the arbitration shall give a notice of request for arbitration to the Respondent and to the SAC. This notice of request may also be submitted directly through the SAC ODR Platform ().

(2) For the purposes of these Rules, any notice, including a notification communication or proposal shall be in writing (Written communication). Any written communication may be delivered personally or by registered post or courier service, or transmitted by any form of electronic communication which includes registered email id and also included direct submission and automated transmission via the SAC ODR Platform or delivered by any other means that provides a record of its transmission or in any other manner as may be ordered by the Tribunal.

(3) The notice of request sent under these Rules shall be submitted in the manner prescribed in Rule 4.2.

(4) A notice shall be deemed to have been received if it is delivered to the addressee personally; where addressee means and includes both SAC and the Respondent(s);

To the addressee’s habitual residence, place of business or designated address;

To any address agreed by the parties;

According to the practice of the parties in prior dealings or;

If none of these can be found after making reasonable inquiry, then at the addressee’s last known residence or place of business.

Via the SAC Platform to the registered digital accounts or verified electronic contact details of the Respondent(s). For the purpose of avoidance of doubt, verified electronic contact details provided by the party in its Request for Arbitration or Response shall also constitute valid electronic address for deemed-service purposes.

(5) A notice transmitted by electronic means, or generated and transmitted through the SAC Platform, is deemed to have been received on the day it is delivered if the communication has not bounced back to the sender or the Platform, and such time shall be determined in accordance with the addressee’s time zone. Notices submitted to SAC via the Platform are deemed received by SAC immediately upon successful digital submission.

For the purpose of calculating the period of time in respect of Written communications under these Rules, such period shall begin to run on the following day when a Written Communication or proposal is received or deemed to have been delivered to the Opposite Party under the rules. When the day next following such a date is a non-business day at the place of receipt, the time period commences on the first following business day. If the last day of such a period is a non-business day at the place of receipt, the period is extended until the first business day which follows. Non-business days occurring during the running of the period of time are included in calculating the period.

After the constitution of the Tribunal, where any party(ies) deliver any Written Communication to the Tribunal, it shall simultaneously deliver a copy to each arbitrator, all other parties and the Registrar and it shall confirm in writing to the Tribunal that it has done so or is doing so.

No such written communication shall be taken on record in the arbitral proceedings unless the concerned party has compiled with Rule 3.3.

Except as provided otherwise in these Rules, the Registrar may at any time extend or shorten any time limits prescribed under the Rules.

COMMENCEMENT OF ARBITRATION

Arbitration proceedings under the SAC Rules shall commence:

In case the parties have an existing SAC Arbitration clause, then in accordance with Rule 4.2;

In case the parties do not have an existing SAC Arbitration clause, then in accordance with Rule 4.4;

On receipt of an order of Court referring the parties to an arbitration;

Request for Arbitration- (1) Any party wishing to commence an arbitration under the Rules shall file with the Registrar on the registered email address of SAC or through ODR Platform, a Written Request for arbitration which shall contain (or be accompanied by):

A copy of pre-arbitration notice which needs to be in consonance with Section 21 of the Arbitration Act.

A demand that the dispute be referred to arbitration;

The full terms of the arbitration clause or the separate arbitration agreement that is invoked;

A reference to (and, where possible, a copy of) the contract (s) or other instrument(s) out of or in relation to which the dispute arises;

A disclosure of any other arbitration proceedings between the parties where the dispute or differences therein are identical and between the same parties or between the parties having commonality of interest or where such disputes arise out of separate contracts but relate to the same transaction;

The full names and contact details (including postal address (es), telephone number(s), facsimile number(s) and electronic mail address(es), to the extent known) of the parties to the arbitration and their legal representative, if any;

A statement briefly describing the general nature and circumstances of the dispute and the claims advanced by the Claimant against any other party to the Arbitration, each such party being here separately described as the Respondent, specifying the relief claimed, including the amounts of any quantified claims and, to the extent possible, an estimate of the monetary value of any other claims;

A statement of any matters which the parties have previously agreed as to the conduct of the arbitration or with respect to which the Claimant wishes to make proposal (such as the number of arbitrator(s), the applicable rules of law, the language(s) of the arbitration, and the seat of arbitration etc.);

The preferred number of arbitrators, if not already agreed upon by the parties.

Where the parties have agreed, or these Rules otherwise provide, that the dispute shall be determined by a Sole Arbitrator, the Notice of Arbitration shall include a proposal regarding the appointment of the Sole Arbitrator, which, at the option of the Claimant, may take any one of the following forms:

(i) Request for Centre based appointment: A request for SAC to appoint an Arbitrator from its Panel in accordance with the procedures determined under Rule 5.9; or

(ii) Direct Proposal: The Claimant may propose the name of one specific Arbitrator from the Panel for the Respondent’s acceptance; or

(iii) Selection List: The Claimant may propose a list of up to three names from the Panel from which the Respondent may choose one Arbitrator.

Where the arbitration agreement provides for a Tribunal comprising three Arbitrators, the party making the Request shall nominate one Arbitrator from the SAC Panel on its behalf.

The party shall take consent of the Arbitrator so nominated and also ensure that such Arbitrator does not suffer from any disqualification as mentioned in Section 12(5) of the Act:

Provided that in case the Panel does not include a person possessing requisite qualification as per the Arbitration agreement, the parties may nominate an Arbitrator from outside the Panel;

Proof of service of the request for arbitration and any documents filed therewith on the other parties to the satisfaction of the SAC; and;

Confirmation that the requisite filing fees, administrative charges have been paid (without the actual receipt of which in the SAC’s account, the Request for arbitration shall be treated as not having been received by the Registrar and the arbitration as not having been commenced).

Delivery of notice- A party can take assistance from the ODR Platform for facilitating the delivery of this notice. The constitution of the Arbitral Tribunal shall not be hindered by any controversy with respect to the sufficiency of the notice of the arbitration, an incomplete or late Response to the Notice of Arbitration, which shall be finally resolved by the arbitral tribunal.

Any party which has not previously agreed to a SAC Arbitration Clause may initiate an arbitration proceeding on the SAC Platform and invite the other party to resolve the dispute through the arbitration under SAC Rules, in the following manner:

Such party may send an invitation to Arbitration (through ODR Platform or otherwise) to the other party which should contain the following:

Request to refer the dispute to Arbitration on SAC Platform in accordance with SAC Rules;

A statement briefly describing the nature and circumstances of the dispute;

Timeframe to accept the Invitation to Arbitration (if required);

Such other documents and information relevant to the dispute, as deemed fit by the Claimant.

If the other party accepts the Invitation to Arbitration (in writing or through SAC Platform) within 7 days from the date of receipt of the Invitation to Arbitration or within the time frame mentioned in the Invitation to Arbitration, then:

i. a duly executed memorandum of understanding stating that both the parties have agreed to submit the dispute for arbitration before SAC and the same shall amount to SAC Arbitration agreement between the parties and the other party would be required to register themselves on the ODR Platform within 7 days of such executed memorandum of understanding; and in such case, Claimant shall commence the arbitration proceedings as per Rule 4.2 against the Respondent within 7 days of registration of Respondent.

Provided that, the Respondent’s failure to execute memorandum of understanding or complete registration on the SAC Platform within the stipulated time shall not, by itself, constitute acceptance of the Invitation to Arbitration or agreement to arbitrate under these Rules. In such an event, the Registrar shall issue a final reminder to the Respondent by registered post and by electronic communication to the last known address and email address, allowing a further period of seven (7) days for compliance.

ii. If the Respondent remains non-compliant and has not communicated acceptance in writing by any other means, the Registrar shall notify the Claimant and close the case without prejudice to the Claimant’s right to pursue remedies in accordance with applicable law. For the avoidance of doubt, an arbitration agreement under these Rules must satisfy the requirements of Section 7 of the Arbitration and Conciliation Act, 1996, and no deemed acceptance shall substitute for the written agreement required thereunder.

iii. In case the Invitation to Arbitration does not include a Pre-Arbitration Notice, such Pre-Arbitration Notice shall be served on the other party by the inviting party and a copy of the same has to be sent to Registrar within 7 (seven) days from the other party accepting the Invitation to Arbitration;

c. Where the other party does not accept, or fails to respond to, the Invitation to Arbitration within the period specified in Rule 4.4(a)(iii), or where the inviting party fails to serve the Pre-Arbitration Notice in accordance with Rule 4.4(b)(iii), the Registrar shall notify the inviting party accordingly and shall close the proceedings without prejudice to the inviting party’s right to initiate fresh proceedings in accordance with these Rules.

4.5. Registrar shall send an Arbitration Notification to the parties to the arbitration upon successful registration on the ODR Platform;

4.6. If any Court makes an order directing that an arbitration be held under SAC Rules, in addition to the documents listed in Rule 4.2, the Claimant shall file certified copy of such order of that Court or a copy thereof;

4.7. In case one party to SAC Arbitration Clause has filed suit in any court with respect to the same subject matter, then upon request by the other party to SAC Arbitration Clause the arbitration proceedings in accordance with SAC Rules shall continue by recording any objections as to jurisdiction by the party who has initiated such suit. The party seeking to continue with the arbitration proceedings under SAC Rules, if served in such suit, shall file necessary application(s) to appraise the court of the existence of the SAC Arbitration Clause.

4.8. In the event that Claimant fails to provide any information or comply with any of the requirements referred hereinabove, the Registrar may fix a time not exceeding 30 days from receipt of Request for arbitration by SAC within which the Claimant must comply, failing which the file shall be closed without prejudice to the Claimant’s right to resubmit the same Claim at a later date in another request for arbitration.

4.9. If any information or particulars furnished by Claimant for arbitration is found to be incorrect or false, at any time subsequently, Registrar shall have the power to reject the application for arbitration

4.10. Response to the request for arbitration- Within 14 days from the date of commencement or the delivery of the request for arbitration to the Registrar and Respondent (whichever is later), the Respondent shall send to the Claimant a Response, with simultaneous copy to the Registrar. The Response shall contain (or be accompanied by);

A confirmation or denial of his willingness to arbitrate and if denial, the grounds relied upon as to why the matter should not be arbitrated or the Arbitrator does not have jurisdiction;

In case of confirmation, confirmation of all or part of the claims, including the Claimant’s invocation of the arbitration agreement in support thereof; The full names and contact details (including postal address(es), telephone number(s), facsimile number(s) and electronic mail address(es) of the Respondent and its legal representatives, if any;

A statement briefly describing the nature and circumstances of the dispute and the defence to the claim, including any counterclaims advanced against the Claimant or any cross-claim advanced against any other party to the arbitration specifying the relief claimed, including the amounts of any quantified counterclaims or cross-claims and to the extent possible, an estimate of the monetary value of any other counter-claims or cross-claims;

A response either:

(i) agreeing to any proposal regarding the appointment of the Sole Arbitrator contained in the Notice of Arbitration, as contemplated under Rule 4.2(j); or

(ii) where the arbitration agreement provides for a Sole Arbitrator, submitting a list of up to three names from the SAC Panel from which the Claimant may choose one Arbitrator;

or (iii) where the arbitration agreement provides for a Tribunal comprising three Arbitrators, nominating one Arbitrator from the Panel list, other than the Arbitrator nominated by the Claimant. Provided that, where the parties fail to reach agreement on the appointment of the Sole Arbitrator within fifteen (15) days from the receipt of the Response, or where a party fails to nominate its Arbitrator in the case of a three-member Tribunal within the prescribed period, SAC shall make the necessary appointment(s) from its Panel in accordance with Rule 5.9 to ensure the expeditious resolution of the dispute; Further provided that, in case where arbitration agreement provides for three arbitrators, then such shall be governed as per Rule

Details of its Representative, including the Representative’s name and address (and telephone and fax numbers and email address), if appropriate.

A copy of the Response shall be sent to the Registrar at the same time that it is sent to the Claimant.

Failure to send a Response shall neither preclude the Respondent from denying the claim nor from setting out a counterclaim in its Statement of Defence.

4.11. Binding Appointment:

In the event the Respondent selects one Arbitrator from the proposal made by the Claimant under sub-rule (ii) or (iii) of Rule 4.3 (j), such selection shall be deemed to be an appointment made with the mutual consent of the parties and shall be final and binding;

Where the Claimant elects the option under sub-rule (i) for the Centre to appoint the Arbitrator, such appointment shall be as per Rule 5.9.

If the Respondent fails to make a selection from the Claimant’s proposal under sub-rules (ii) or (iii) within 15 days of the receipt of the Notice, or if the parties fail to arrive at a mutual appointment, the right of the parties to choose the Arbitrator shall stand forfeited. In such cases, the appointment shall be made by SAC in accordance with the mechanism set forth in Rule 5.9.

ARBITRAL TRIBUNAL

Independence, Impartiality and Availability

Every arbitrator conducting an arbitration under these Rules shall be and remain at all times independent and impartial, and shall not act as advocate for any party whether or not nominated by the parties.

An arbitrator shall immediately disclose to the parties, to the other arbitrators and to the Registrar, any circumstances which may arise at any time during the arbitration which may give rise to justifiable doubts as to their impartiality or independence.

No arbitrator at any time, whether before or after appointment, shall advise any party or comment on the merits, or outcome, of the dispute.

Before appointment, a prospective arbitrator shall sign a statement of acceptance, availability, impartiality and independence in the form prescribed by the SAC. In this statement, the prospective arbitrator must disclose any facts or circumstances which may give rise to justifiable doubts as to their impartiality or independence.

No party or anyone acting on its behalf shall, at any time, have any ex parte communication relating to the case with any candidate for appointment as arbitrator, except to advise the candidate of the general nature of the controversy and of the anticipated proceedings and to discuss the candidate’s qualifications, availability or independence in relation to the parties, or to discuss the suitability of candidates for selection as a third arbitrator where the parties or party-designated arbitrators are to participate in that selection.

No party or anyone acting on its behalf shall, at any time, have any ex parte communication relating to the case with any arbitrator once appointed.

Constitution of Arbitral Tribunal-

(1) Maintenance of Panel of Arbitrators-

i. Governing Council shall maintain and periodically update a Panel of Arbitrators comprising persons possessing the requisite legal, technical, commercial, financial or other professional expertise, as may be considered appropriate for the efficient resolution of disputes administered under these Rules.

ii. The inclusion of any person on the Panel shall be at the discretion of the Governing Council, having regard to such person’s qualifications, experience, integrity, independence, impartiality, professional standing, subject-matter expertise and any other criteria as may be determined by SAC from time to time.

iii. The Governing Council may classify or categorise the members of the Panel based on their qualifications, experience, technical expertise, language proficiency, sectoral knowledge, geographical location, or any other criteria that it considers appropriate for the purpose of constituting Arbitral Tribunals.

iv. The Governing Council shall periodically review the Panel and may, at its discretion, add new members, remove existing members, suspend or restore the empanelment of any member, or revise the categorisation of any member, having regard to the requirements of the Centre and the efficient administration of arbitration proceedings.

v. Without prejudice to the generality of Rule 5.7. (iv), Governing Council may remove or suspend an Arbitrator from the Panel where it is satisfied that the Arbitrator:
(a) no longer satisfies the eligibility criteria prescribed as per the Rules;
(b) has ceased to possess the qualifications or expertise for which the Arbitrator was empanelled;
(c) has failed to comply with these Rules, the Code of Conduct or any directions issued under this Rule;
(d) has repeatedly declined appointments without reasonable cause or has consistently failed to conduct proceedings in an efficient and timely manner;
(e) has become subject to circumstances giving rise to justifiable doubts as to the Arbitrator’s independence or impartiality;
(f) has been convicted of an offence involving moral turpitude, declared insolvent, or has been subjected to disciplinary proceedings by any professional or statutory body; or
(g) is otherwise considered unsuitable for continued empanelment by the Governing Council.

vi. The maintenance, review, empanelment, suspension, removal and categorisation of members of the Panel shall be matters within the exclusive administrative discretion of Governing Council, and no person shall have any right to claim empanelment or continuation on the Panel solely by reason of prior inclusion.

vii. Inclusion of an Arbitrator on the Panel shall not create any right to appointment in any particular arbitration. Appointments shall be made in accordance with these Rules, having regard to the nature of the dispute, the qualifications and expertise required, the availability of the Arbitrator, and any other relevant circumstances.

viii. Every member of the Panel shall promptly notify SAC of any change in circumstances that may affect the member’s eligibility, independence, impartiality, professional standing, contact particulars, or availability for appointment.

ix. SAC may issue administrative guidelines, eligibility criteria, codes of conduct, empanelment policies, or operating procedures governing the constitution and maintenance of the Panel, which shall be binding upon all members of the Panel to the extent consistent with these Rules.

Procedure for appointment of Arbitral Tribunal- (1) Unless otherwise agreed by the parties, where the arbitration is to be conducted by a Sole Arbitrator, the Arbitral Tribunal shall be constituted in accordance with the following procedure;

Upon receipt of a Request for Arbitration under Rule 4.2, Registrar shall issue a Notice of Arbitration to the Respondent informing it of the commencement of the arbitration proceedings and requiring the Respondent to submit its Response in accordance with Rule 4.10.

i. Request for appointment by SAC- Where the Claimant, under Rule 4.2(j)(i), requests SAC to appoint an Arbitrator from its Panel, such appointment shall be made as per Rule 5.9. The appointed Arbitrator shall issue a provisional acceptance and disclosure in accordance with Section 12(1) of the Arbitration Act and the declaration required under Section 12 read with the Fifth, Sixth and Seventh Schedules to the Arbitration and Conciliation Act, 1996.

ii. Direct Proposal by the Claimant- Where the Claimant, under Rule 4.2(j)(ii), proposes the name of a specific Arbitrator from the Panel and the Respondent agrees to such proposal in its Response under Rule 4.10, the proposed Arbitrator shall be placed before the Master of Roster for review. If the Master of Roster is satisfied that the proposed Arbitrator possesses the requisite legal and technical expertise and is free from any conflict of interest or other disqualification under these Rules or the Arbitration Act, the Master of Roster shall appoint the proposed Arbitrator. Where the Master of Roster determines that the proposed Arbitrator does not satisfy the applicable requirements, the Master of Roster shall appoint a neutral Arbitrator from the Panel as per Rule 5.9.

iii. Rejection of direct proposal- Where the Respondent does not agree to the Arbitrator proposed by the Claimant under Rule 4.2(j)(ii), the Respondent shall, in accordance with Rule 4.10(d), submit a list of up to three Arbitrators from the Panel for the Claimant to choose from. If the Claimant selects one of the proposed Arbitrators within the prescribed period, the appointment shall be referred to the Master of Roster, and the procedure under Rule 5.8 (1) (a) (ii) shall apply mutatis mutandis for the purpose of review. If the Claimant fails to select any Arbitrator from the Respondent’s proposed list within the prescribed period, or if the parties otherwise fail to reach a mutual agreement within the period specified under Rule 4.10(d), SAC shall appoint an Arbitrator from its Panel, and such appointment shall be made in accordance with Rule 5.9.

iv. Selection list proposed by the Claimant- Where the Claimant, under Rule 4.2(j)(iii), proposes a list of up to three Arbitrators from the Panel and the Respondent selects one of the proposed Arbitrators within the prescribed period, the selected Arbitrator shall be referred to the Master of Roster for review. If the Master of Roster is satisfied that the selected Arbitrator possesses the requisite legal and technical expertise and is free from any conflict of interest or other disqualification under these Rules or the Arbitration and Conciliation Act, 1996, the Master of Roster shall appoint the selected Arbitrator. Where the Master of Roster determines that the selected Arbitrator does not satisfy the applicable requirements, the Master of Roster shall appoint a neutral Arbitrator from the Panel as per Rule 5.9.

v. Failure to agree on selection list- Where the Respondent does not select any Arbitrator from the list proposed by the Claimant under Rule 4.2(j)(iii), or where the parties otherwise fail to reach a mutual agreement on the appointment of an Arbitrator within the period specified under Rule 4.10(d), SAC shall appoint an Arbitrator from its Panel in accordance with Rule 5.9.

(2) Where the arbitration agreement provides for a Tribunal comprising three Arbitrators, the following procedure shall apply for the constitution of the Arbitral Tribunal:

(a) The Claimant shall, in the Notice of Arbitration, nominate one Arbitrator from the SAC Panel list in accordance with these Rules.

(b) The Respondent shall, in its Response to the Notice of Arbitration, nominate one Arbitrator from the SAC Panel, other than the Arbitrator nominated by the Claimant.

(c) Upon acceptance of their respective appointments after the review by Master of Roster, the two party-nominated Arbitrators shall, within fifteen (15) days, jointly nominate a Presiding Arbitrator from the SAC Panel which shall further be reviewed by Master of Roster.

(d) Where a party fails to nominate its Arbitrator within the prescribed period, or where the two party-nominated Arbitrators fail to jointly nominate the Presiding Arbitrator within the time specified in sub-rule (c), the SAC shall make the necessary appointment(s) from the SAC Panel in accordance with Rule 5.9.

(e) Notwithstanding anything contained in this Rule, where, upon review, the Master of Roster is satisfied that any Arbitrator nominated by a party under this Rule, or the Presiding Arbitrator nominated by the party-nominated Arbitrators, does not fulfil the requirements of these Rules, is ineligible or unsuitable for appointment having regard to his or her independence, impartiality, availability, qualifications, or any other relevant circumstance, the Master of Roster may reject such nomination and appoint a substitute Arbitrator or the Presiding Arbitrator, as the case may be, from the SAC Panel in accordance with Rule 5.9.

Appointment of the Arbitral Tribunal by SAC- Unless otherwise agreed by the parties to arbitration, in any situation where the SAC is required to appoint an arbitrator to constitute the Arbitral Tribunal, such appointment shall be of a sole arbitrator in accordance with the following procedure:

(1) Master of Roster: At the commencement of each calendar year, the Governing Council shall designate a senior member from the Panel of Arbitrators to serve as the “Master of Roster.“ The Master of Roster shall be responsible for the selection of arbitrators in cases where the SAC is required to appoint an arbitrator pursuant to these Rules.

(2) Expertise-Based Selection: Upon the forfeiture of the parties’ right to nominate, or in any other situation necessitating a an appointment by the SAC, the Master of Roster shall exercise the power of appointment. The selection shall be based primarily on the specific legal or technical expertise required for the nature and complexity of the dispute.

(3) Neutrality and Disclosure: The Master of Roster shall ensure that the appointed arbitrator is independent, impartial, and has no prior professional or business association with any of the parties to the dispute. The appointed arbitrator shall be required to file a disclosure statement in accordance with the SAC Rules and the Arbitration and Conciliation Act, 1996.

(4) Self-Appointment: In the exercise of their discretion, the Master of Roster may appoint themselves as the sole arbitrator, provided that:

(a) They possess the specific expertise required for the adjudication of the dispute;

(b) They make a full written disclosure of any potential conflict of interest prior to the appointment; and

(5) Finality of Appointment: Any appointment made by the Master of Roster under this Rule shall be final and binding on all parties, and the parties shall be deemed to have waived any right to object to such appointment, except on such grounds as are provided under Section 12 and Section 13 of the Arbitration Act, and nothing in these Rules shall be construed as restricting the right of any party to challenge an appointment on any ground recognised under the Act.

6. CHALLENGE OF ARBITRATORS

6.1. Grounds for Challenge- (1) An Arbitrator may be challenged where:

(a) circumstances exist that give rise to justifiable doubts as to the Arbitrator’s independence, impartiality or neutrality;

(b) the Arbitrator does not possess the qualifications agreed upon by the parties or prescribed under these Rules;

(c) the Arbitrator has failed to make any disclosure required under Section 12 of the Arbitration Act, these Rules, or any Code of Conduct issued by SAC;

(d) the Arbitrator becomes de jure or de facto unable to perform the functions of office;

(e) the Arbitrator fails to conduct the proceedings diligently or fails to perform the functions of office without undue delay;

(f) the Arbitrator refuses or repeatedly fails to participate in the proceedings without reasonable cause;

(g) circumstances arise which render the Arbitrator ineligible under the Arbitration Act, including the Fifth, Sixth and Seventh Schedules thereto; or

(h) any other circumstance exists which, in the opinion of the Master of Roster, is likely to affect the integrity, fairness, efficiency or expeditious conduct of the arbitration.

6.2. Challenge by Appointing Party- A party may challenge an Arbitrator nominated, proposed or whose appointment it participated in only for reasons that became known to that party after such nomination, proposal or appointment.

6.3. Time for challenge- (1) A party intending to challenge an Arbitrator shall submit a Notice of Challenge within fourteen (14) days of:

(a) receiving notice of the appointment or confirmation of the Arbitrator; or

(b) becoming aware of any fact or circumstance giving rise to the challenge, whichever is later. This period shall not be shortened by agreement of the parties.

(2) No challenge shall ordinarily be entertained after the closure of the oral hearing unless the grounds of challenge could not reasonably have been discovered earlier.

6.4. Waiver of Right to Challenge- (1) A party who proceeds with the arbitration without raising a challenge within the time prescribed under these Rules, despite having knowledge of any fact or circumstance giving rise to such challenge, shall be deemed to have waived its right to challenge the appointment of the Arbitrator on that ground.

(2) No party shall subsequently raise a challenge based upon any fact or circumstance which was known, or ought reasonably to have been known, to that party at the relevant time but was not raised in accordance with these Rules.

6.5. Challenge to the appointment of Arbitrator-

(1) Form of challenge- The Notice of challenge shall:

(a) be in writing;

(b) state the facts and legal grounds relied upon;

6.6. Comments on the challenge- (1) Upon receipt of a Notice of Challenge, the Registrar shall review the same as per Rule 6.7(3) and after successful review, transmit the same to the Master of Roster, who may invite written comments, within such period as may be determined, from:

(a) the challenged Arbitrator;

(b) the other party or parties; and

(2) The Master of Roster may, where considered necessary for the fair and expeditious determination of the challenge, permit further written submissions or seek such additional information or clarification as may be appropriate.

6.7. Procedure for Challenge- (1) A party intending to challenge the appointment of an Arbitrator shall submit a Notice of Challenge in accordance with Rules 6.3 and 6.5 of these Rules.

(2) The Notice of Challenge shall simultaneously be served upon:

(a) the challenged Arbitrator and the remaining member or members of the Arbitral Tribunal;

(b) the other party or parties; and

(3) Upon receipt of the Notice of Challenge, the Registrar shall conduct an administrative scrutiny to verify whether the challenge substantially complies with the requirements of these Rules. Where any deficiency exists, the Registrar may direct the challenging party to rectify the same within such time as may be specified.

(4) The SAC may prescribe a Challenge Fee under the Schedule of Fees. Where such fee is prescribed and remains unpaid within the time specified by the SAC, the Notice of challenge may be deemed withdrawn without prejudice.

(5) Upon being satisfied that the Notice of Challenge substantially complies with these Rules, the Registrar shall promptly transmit the challenge and the relevant record to the Master of Roster for determination.

(6) The Registrar’s administrative scrutiny under this Rule shall not extend to the merits of the challenge, which shall be determined exclusively by the Master of Roster in accordance with these Rules.

6.8. Voluntary withdrawal or agreement- (1) In case the situation arises where:

(a) the challenged Arbitrator voluntarily withdraws from office; or

(b) all other parties agree to the challenge,

The Arbitrator shall cease to be a member of the Arbitral Tribunal.

(2) Such withdrawal or agreement shall not constitute an admission or acceptance of the validity of the grounds of challenge.

(3) The vacancy shall thereafter be filled in accordance with the Rules governing replacement of Arbitrators as per Rule 7.

6.9. Decision on the Challenge- (1) Where a challenge is not resolved in accordance with Rule 6.8, the Master of Roster shall determine the challenge.

(2) In determining the challenge, the Master of Roster may:

(a) Consider the Notice of Challenge, the response thereto and any supporting documents or evidence;

(b) Invite written comments or further submissions from the parties, the challenged Arbitrator and, where considered appropriate, the remaining member or members of the Arbitral Tribunal;

(d) Conduct such inquiry as the Master of Roster considers appropriate; and

(e) Determine the challenge on the basis of the written record or, in exceptional circumstances, direct that a hearing be conducted.

(3) The decision of the Master of Roster shall be final and binding upon the parties and the Arbitrator. The Master of Roster may, where considered appropriate, record reasons for the decision.

(4) Where the challenge is upheld:

(a) the mandate of the challenged Arbitrator shall terminate with immediate effect;

(b) a substitute Arbitrator shall be appointed in accordance with Rule 7;

(c) the reconstituted Arbitral Tribunal may, after consulting the parties, determine whether any hearing or procedural step should be repeated, in whole or in part, where necessary in the interests of justice.

(5) Where the challenge is rejected, the challenged Arbitrator shall continue to act as a member of the Arbitral Tribunal, and the arbitration shall proceed from the stage at which it stood immediately prior to the challenge, unless otherwise directed by the Master of Roster.

6.10. Continuation of Proceedings

(1) Pending determination of the challenge, the Master of Roster may, where considered necessary in the interests of justice, procedural fairness or the efficient conduct of the arbitration, suspend the arbitral proceedings or extend any procedural timeline.

(2) Unless the Master of Roster otherwise directs, the Arbitral Tribunal, including the challenged Arbitrator, may continue the arbitral proceedings pending determination of the challenge.

6.11. Manifestly unmeritorious or abusive challenges

(1) Where the Master of Roster is satisfied that a Notice of challenge is manifestly without merit, frivolous, vexatious, speculative, or has been made primarily for the purpose of delaying or obstructing the arbitral proceedings, the Master of Roster may dismiss the challenge summarily without requiring further submissions from the parties.

(2) The dismissal of a challenge under this Rule shall not prejudice the power of the Master of Roster to make such order as to costs under Rule 6.12 as may be considered appropriate.

6.12. Costs of Challenge

(1) The Master of Roster may order the costs of the challenge, including the Challenge Fee and reasonable administrative costs, reasonable legal expenses against any party having regard to:

(a) the merits of the challenge;

(b) the conduct of the parties;

(d) the interests of justice.

(2) Such costs may be dealt with in the final Award or by separate administrative order.

6.13. Effect of termination of mandate

The resignation, withdrawal or termination of the mandate of an Arbitrator shall not invalidate any procedural order, direction or decision previously made, unless the reconstituted Tribunal determines otherwise in the interests of justice.

6.14. Continuing duty of disclosure- (1) An Arbitrator shall have a continuing duty throughout the arbitration to disclose without delay any circumstances that may give rise to justifiable doubts as to the Arbitrator’s independence, impartiality, neutrality, availability or eligibility.

(2) Failure to make such disclosure may constitute an independent ground for challenge.

6.15. Ex-parte communications- (1) No party, representative, witness or other person acting on behalf of a party shall either directly or indirectly engage in any ex parte communication with an Arbitrator, or any prospective Arbitrator, concerning the merits or outcome of the arbitration.

(2) Nothing in this Rule shall prohibit communications solely for the purpose of:

(a) determining the availability of a prospective Arbitrator;

(b) discussing qualifications, expertise, independence or impartiality;

(d) discussing the suitability of a candidate for appointment,

Provided that no communication shall concern the merits of the dispute or confer any procedural advantage upon any party.

6.16. Confidentiality of challenge proceedings

(1) Unless otherwise required by law or directed by a court of competent jurisdiction, every challenge to the appointment of an Arbitrator, together with all pleadings, submissions, correspondence, evidence, deliberations and decisions relating thereto, shall remain confidential.

(2) The parties, the Arbitrator, the Master of Roster, Registrar and every person participating in or connected with the challenge proceedings shall preserve the confidentiality of such proceedings and shall not disclose any information relating thereto except where such disclosure is necessary for the conduct of the arbitration, enforcement of legal rights, compliance with any legal obligation, or with the prior written consent of all parties.

7. REPLACEMENT OF THE ARBITRATOR

7.1. Grounds for replacement- (1) Subject to these Rules, where an Arbitrator:

(a) dies;

(b) resigns or withdraws from office;

(d) has had their mandate terminated under these Rules or the Arbitration Act; or the parties agree to the termination of their mandate

(e) becomes de jure or de facto unable to perform the functions of office;

(f) refuses or fails to act without undue delay;

(g) becomes unavailable to continue with the arbitration for any reason; or

(h) is otherwise removed by the Master of Roster;

SAC shall terminate the appointment of the arbitrator forthwith and a substitute Arbitrator shall be appointed in accordance with these Rules.

7.2 Appointment of Substitute Arbitrator

(1) Unless otherwise provided under these Rules, a substitute Arbitrator shall be appointed in accordance with the procedure applicable to the nomination and appointment of the Arbitrator being replaced.

(2) The same appointment procedure shall apply notwithstanding that, during the appointment of the Arbitrator being replaced, any party had failed or declined to exercise its right to nominate an Arbitrator or otherwise participate in the appointment process.

(3) Unless otherwise directed by the Master of Roster, the time limits applicable to the nomination or appointment of the substitute Arbitrator shall commence from the date on which Registrar notifies the parties of the vacancy.

7.3. Exceptional Circumstances

(1) Where the Arbitral Tribunal consists of three or more Arbitrators and the Master of Roster considers that the interests of justice, procedural economy or the efficient conduct of the arbitration so require, the Master of Roster may, where it considers appropriate, after inviting the views of the parties and the remaining Arbitrators:

(a) appoint a substitute Arbitrator as per the Rule 5.9; or

(b) direct that the remaining Arbitrators continue with the arbitration and render any procedural order, interim measure or final Award without appointing a substitute Arbitrator.

7.4. Effect of Replacement

Where an Arbitrator is replaced, the arbitration shall resume from the stage at which the replaced Arbitrator ceased to perform their functions, unless the reconstituted Arbitral Tribunal determines otherwise after considering the views of the parties.

7.5. Hearings conducted prior to replacement

Unless otherwise agreed by the parties, the reconstituted Arbitral Tribunal shall determine, after considering the views of the parties, whether any hearing, witness examination or other procedural step previously conducted should be repeated, in whole or in part, where it considers such repetition necessary in the interests of justice.

7.6. Validity of prior orders and proceedings

(1) Unless the reconstituted Arbitral Tribunal otherwise directs, every procedural order, procedural direction, ruling, interim measure, award or decision made prior to the replacement of an Arbitrator shall remain valid and effective and shall not be invalid solely by reason of the replacement of the Arbitrator.

(2) Any hearing or proceeding conducted solely for the purpose of making such procedural order, direction, ruling, interim measure or decision shall not be repeated unless the reconstituted Arbitral Tribunal determines otherwise in exceptional circumstances.

7.7. Continuity of proceedings

The replacement of an Arbitrator shall not affect the validity or continuity of the arbitration proceedings, and the arbitration shall proceed without recommencement unless the reconstituted Arbitral Tribunal determines that the interests of justice require otherwise. No arbitration shall be recommenced solely by reason of the replacement of an Arbitrator.

7.8. Proceedings pending replacement

(1) Where the Arbitral Tribunal consists of three or more Arbitrators and a vacancy arises, the remaining Arbitrators may, after consulting the parties and where considered necessary to preserve the integrity or efficiency of the arbitration, make such procedural directions or orders as are necessary pending the appointment of the substitute Arbitrator.

(2) No final Award shall be rendered until the Arbitral Tribunal has been duly reconstituted, unless otherwise provided under these Rules.

8. THE ARBITRAL PROCEEDINGS

8.1. Jurisdiction of the Arbitral Tribunal- (1) The Arbitral Tribunal shall have the power to rule upon its own jurisdiction, including any objection concerning:

(a) the existence, validity or enforceability of the arbitration agreement;

(b) the interpretation, scope or applicability of the arbitration agreement;

(d) whether any claim or dispute has been validly referred to arbitration; and

(e) any objection that the Arbitral Tribunal is exceeding the scope of its authority.

(2) The exercise of jurisdiction by the Arbitral Tribunal under this Rule shall be without prejudice to the provisions of the Arbitration Act.

8.2. Separability of the Arbitration Agreement

An arbitration agreement forming part of a contract shall be treated as an agreement independent of the other terms of the contract.

A decision by the Arbitral Tribunal that the underlying contract is void, voidable, invalid, unenforceable, frustrated, terminated, discharged, non-existent or otherwise ineffective shall not, by itself, render the arbitration agreement invalid or incapable of being performed.

8.3. Objections to Jurisdiction

(1) A party challenging the jurisdiction of the Arbitral Tribunal shall raise such objection:

(a) as far as practicable, in its Response to the Notice of Arbitration;

(b) in any event, not later than the filing of its Statement of Defence, or, in the case of a counterclaim, in its Defence to the Counterclaim.

(2) A party shall not be precluded from raising a jurisdictional objection merely because it has nominated, proposed, participated in the appointment of, or agreed to the appointment of an Arbitrator.

8.4. Objections as to excess of authority

(1) A plea that the Arbitral Tribunal is acting beyond the scope of its jurisdiction or authority shall be raised as soon as reasonably practicable after the matter alleged to be beyond the Tribunal’s jurisdiction arises during the arbitration.

(2) The Arbitral Tribunal may admit a plea made after the prescribed time if it considers that the delay is justified in the circumstances.

8.5. Decision on Jurisdiction- (1) The Arbitral Tribunal may determine any objection to its jurisdiction:

(a) as a preliminary question;

(b) together with any other preliminary issue;

(d) in the final Award.

(2) Where the Arbitral Tribunal rejects the jurisdictional objection, it shall continue the arbitral proceedings and render its Award in accordance with these Rules and the Arbitration Act.

8.6. Prima facie determination by Registrar

(1) Before the constitution of the Arbitral Tribunal, where any question arises concerning:

(a) the existence, validity or apparent scope of the arbitration agreement;

(b) whether the arbitration has been properly commenced under these Rules;

(d) any other matter affecting the administration of the arbitration by SAC,

The Registrar may make a prima facie determination solely for the purpose of deciding whether the arbitration shall proceed under these Rules.

(2) Where the Registrar is satisfied, on a prima facie basis, that an arbitration agreement may exist and that the arbitration has been properly commenced, the arbitration shall proceed without prejudice to the Arbitral Tribunal’s power to determine its own jurisdiction under Rule 8.1.

(3) Any prima facie determination made under this Rule shall not bind the Arbitral Tribunal and shall be without prejudice to the admissibility, jurisdiction or merits of the claims or defences.

8.7. Continuation of Proceedings

Unless otherwise directed by the Registrar under Rule 8.6, the commencement or pendency of any jurisdictional objection shall not prevent the constitution of the Arbitral Tribunal or the continuation of the arbitral proceedings.

8.8. Finality under these Rules

(1) Subject to the provisions of the Arbitration Act, the determination of any jurisdictional objection by the Arbitral Tribunal shall be final for the purposes of the arbitral proceedings and the Tribunal shall proceed to determine the dispute in accordance with these Rules.

(2) Nothing contained in this Rule shall prejudice the right of any party to seek such remedies as may be available under the Arbitration Act.

9. CONDUCT OF ARBITRAL PROCEEDINGS

9.1 General duties of the Arbitral Tribunal and the Parties- (1) The Arbitral Tribunal shall conduct the arbitration fairly, impartially, efficiently and expeditiously, while ensuring that each party is treated with equality and is afforded a reasonable opportunity to present its case and respond to the case of the opposing party.

(2) The Arbitral Tribunal and the parties shall conduct the arbitration in good faith and shall use their best efforts to avoid unnecessary delay, expense or procedural complexity, having due regard to the nature, complexity and value of the dispute.

9.2 Procedural discretion of the Arbitral Tribunal

(1) Subject to the Arbitration Act, these Rules and any agreement of the parties, the Arbitral Tribunal shall have the widest discretion to conduct the arbitration in such manner as it considers appropriate for the fair, efficient, economical and expeditious determination of the dispute.

(2) Without limiting the generality of the foregoing, the Arbitral Tribunal may:

(a) determine the procedure to be followed in the arbitration;

(b) establish and modify or extend procedural timetable and schedules;

(d) determine the sequence of proceedings and the order in which issues, claims, counterclaims or defences shall be heard or determined;

(e) order the separate determination, bifurcation or consolidation of issues where permitted under these Rules;

(f) determine the form, scope, length and timing of pleadings, written submissions and evidence;

(g) direct the production or disclosure of documents and information, and exclude repetitive, immaterial, irrelevant or unduly burdensome evidence or submissions;

(h) impose reasonable page limits, time limits or other procedural limitations;

(i) require the parties to identify the issues genuinely in dispute and to clarify or narrow the issues for determination;

(j) encourage or direct the preparation of agreed statements of facts, issues or documents, where appropriate, to facilitate the fair, efficient and expeditious conduct of the arbitration;

(k) determine whether any issue shall be decided on documents alone or after an oral hearing, subject to these Rules;

(l) conduct hearings in person, virtually or by hybrid means and employ appropriate technology for the efficient conduct of the proceedings;

(m) make such orders concerning confidentiality, information security and data management as it considers appropriate;

(n) encourage the parties to consider settlement, mediation or any other consensual dispute resolution process, without compromising the Tribunal’s independence or impartiality; and

(o) make such other procedural orders or directions as may be necessary to ensure the fair, efficient and expeditious conduct of the arbitration.

9.3 Preliminary procedural conference

(1) As soon as reasonably practicable after its constitution, and ordinarily within twenty-one (21) days thereof, the Arbitral Tribunal shall convene a preliminary procedural conference with the parties for the purpose of establishing the procedural framework for the arbitration.

(2) The conference may address, among other matters:

(a) the procedural timetable;

(b) the scope of pleadings;

(d) the conduct of hearings;

(e) the use of technology and electronic communications;

(f) confidentiality and data management measures;

(g) the possibility of settlement, mediation or any other amicable dispute resolution process, without prejudice to the Tribunal’s impartiality; and

(h) such other procedural matters as the Arbitral Tribunal considers appropriate.

(3) The preliminary procedural conference may be conducted in person, by videoconference, teleconference or by any other appropriate means of communication.

9.4. Procedural Timetable

(1) The Arbitral Tribunal may establish, modify or extend any procedural timetable after consulting the parties.

(2) The parties shall comply with all procedural timetables and directions issued by the Arbitral Tribunal.

9.5. Non-compliance with procedural directions

Where a party fails or refuses to comply with these Rules, any procedural order or direction of the Arbitral Tribunal, or fails to attend any procedural conference or hearing without sufficient cause, the Arbitral Tribunal may proceed with the arbitration and make such procedural orders as it considers appropriate, including drawing such inferences as may be justified, subject to the Arbitration and Conciliation Act, 1996.

9.6. Adjournment of proceedings

(1) A request for adjournment or modification of any procedural timetable shall be made promptly in writing, stating the reasons upon which the request is based and accompanied by such supporting material as the Arbitral Tribunal may require.

(2) The filing of such a request shall not operate as an automatic stay or adjournment of the proceedings.

(3) The Arbitral Tribunal may grant or refuse the request and may impose such conditions, including costs, as it considers appropriate.

9.7. Procedural decisions by the Presiding Arbitrator

(1) Unless otherwise agreed by the parties or directed by the Arbitral Tribunal, the Presiding Arbitrator may, after consultation with the remaining members of the Arbitral Tribunal, make procedural orders or directions on behalf of the Tribunal.

(2) Any such order or direction shall be deemed to have been made by the Arbitral Tribunal and may be varied, modified or revoked by the full Tribunal.

9.8. Evidence

The Arbitral Tribunal shall determine the admissibility, relevance, materiality, weight and admissibility of all evidence and shall not be bound by the rules of evidence applicable to judicial proceedings unless otherwise required by the Arbitration and Conciliation Act, 1996 or agreed by the parties.

9.9. Duty of Cooperation

(1) The parties, their representatives and the Arbitral Tribunal shall cooperate in good faith to secure the fair, efficient, economical and expeditious conduct of the arbitration.

(2) The failure of a party to cooperate may be taken into account by the Arbitral Tribunal when making procedural orders or allocating costs.

10. SEAT, PLACE, LANGUAGE AND APPLICABLE LAW

10.1. Seat of Arbitration - (a) The parties may, by agreement, designate the seat of the arbitration.

(b) Where there is no agreement as to the seat of arbitration, the seat of arbitration shall be determined as per Sections 16 to 20 of Code of Civil Procedure, 1908. Provided that the Arbitral Tribunal may determine any other seat of the arbitration having regard to the circumstances of the case, including the convenience of the parties, the nature of the dispute, the place of performance of the contract, the applicable law, and any other relevant considerations.

(c) The seat of arbitration shall be the legal place of arbitration and shall determine the procedural law governing the arbitration, subject to the Arbitration and Conciliation Act, 1996 and these Rules.

(d) An arbitral award shall be deemed to have been made at the seat of the arbitration irrespective of the place where any hearing, meeting or deliberation is conducted.

10.2. Venue and Place of hearings- (a) Unless otherwise agreed by the parties, the arbitration shall ordinarily be conducted at the registered office of SAC or through the online dispute resolution platform designated by SAC. The Arbitral Tribunal may, after consulting the parties, conduct hearings, meetings, inspections, deliberations or any other procedural activity at any place or by any means of communication that it considers appropriate, including by physical, virtual or hybrid mode.

(b) The Arbitral Tribunal may meet at any place it considers appropriate for:

(i) consultation among its members;

(ii) hearing the parties, witnesses or experts;

(iii) inspection of goods, property, documents or any relevant subject matter; or

(iv) conducting any procedural conference or case management meeting.

(c) The conduct of any hearing, meeting or deliberation at a place other than the seat shall not alter or affect the juridical seat of the arbitration, and the arbitration shall, for all purposes, continue to be treated as having been conducted at the designated seat.

(d) Where hearings are conducted in person at a venue other than that provided by SAC, the Arbitral Tribunal shall ensure that an appropriate record of the proceedings is maintained and transmitted to the SAC within such time as the Registrar may direct.

(e) Where any in-person hearing results in additional venue, transcription, interpretation, technological or logistical expenses, such costs shall be borne by the parties in such proportion as the Arbitral Tribunal or the Registrar may determine, subject to the final allocation of costs in the Award.

10.3. Language of the Arbitration

(a) Unless otherwise agreed by the parties, the language of Arbitration shall be English and Hindi.

(b) The parties may agree upon the language or languages of the arbitration. Failing such agreement, the Arbitral Tribunal shall, after giving the parties a reasonable opportunity to express their views, determine the language or languages of the arbitration having regard to the language of the arbitration agreement, the contract, the correspondence between the parties, and any other relevant circumstances.

(c) The language determined under this Rule shall apply to all hearings, procedural conferences, witness statements, expert reports, orders, directions, decisions and awards unless the Arbitral Tribunal directs otherwise. Provided that all written submissions and pleadings and any other communications shall strictly be in English.

(d) Prior to the constitution of the Arbitral Tribunal, the Registrar may determine the language to be used for communications between SAC and the parties for the purposes of administration of the arbitration.

(e) Where any document is submitted in a language other than the language of the arbitration, the Arbitral Tribunal, or the Registrar prior to the constitution of the Tribunal, may direct that the document be accompanied by a certified translation, in whole or in part, into the language of the arbitration.

(f) Unless otherwise directed by the Arbitral Tribunal, a witness may give evidence in a language of their choice, provided that the Tribunal may require interpretation or translation into the language of the arbitration, the costs of which shall form part of the costs of the arbitration unless otherwise directed.

10.4. Applicable Law

(a) The Arbitral Tribunal shall decide the dispute in accordance with the substantive law or rules of law expressly chosen by the parties.

(b) Any designation by the parties of the law or legal system of a particular jurisdiction shall, unless expressly stated otherwise, be construed as referring directly to its substantive law and not to its conflict of laws rules.

(c) In the absence of any agreement by the parties as to the applicable substantive law, the Arbitral Tribunal shall apply the law or rules of law that it considers most appropriate, having regard to all the circumstances of the dispute.

(d) Where the seat of arbitration is in India and the arbitration is not an international commercial arbitration, the Arbitral Tribunal shall decide the dispute in accordance with the substantive law for the time being in force in India, unless otherwise permitted by the Arbitration and Conciliation Act, 1996.

(e) In all cases, the Arbitral Tribunal shall decide the dispute in accordance with the terms of the contract and shall take into account any applicable trade usages, customs or established practices relevant to the transaction.

(f) The Arbitral Tribunal shall decide the dispute as amiable compositeur or ex aequo et bono only where the parties have expressly authorised it in writing.

10.5. Interpretation of these Rules

These Rules shall be interpreted in accordance with the laws governing the seat of arbitration, subject always to the mandatory provisions of the Arbitration and Conciliation Act, 1996 where applicable.

10.6. Effect of Determination

Any determination by the Arbitral Tribunal under this Rule relating to the seat, venue, language or applicable law shall be made after giving the parties a reasonable opportunity to present their views and shall be binding upon the parties unless otherwise provided by the Arbitration Act.

11. PLEADINGS AND WRITTEN SUBMISSION

11.1. General

Unless otherwise directed by the Arbitral Tribunal after considering the views of the parties, the submission of pleadings and written submissions shall proceed in accordance with this Chapter.

The Arbitral Tribunal may determine the sequence, scope, format and time limits for all pleadings and written submissions, having regard to the nature, complexity and requirements of the arbitration.

11.2. Statement of Claim

Unless the Notice for request of Arbitration is treated as the Statement of Claim, the Claimant shall submit its Statement of Claim within the period fixed by the Arbitral Tribunal.

The Statement of Claim shall contain:

(a) a concise statement of the material facts supporting the claim;

(b) the issues in dispute;

(d) the relief or remedies sought, including the quantification of monetary claims where reasonably practicable; and

(e) any other particulars directed by the Arbitral Tribunal.

The Claimant shall annex or identify all documents, witness statements, expert reports and other evidence upon which it relies, to the extent then available.

11.3 Statement of Defence

Within the period determined by the Arbitral Tribunal, the Respondent shall submit its Statement of Defence.

The Statement of Defence shall:

(a) admit, deny or otherwise respond to the material allegations contained in the Statement of Claim;

(b) set out the material facts supporting the defence;

(d) include any objection relating to the jurisdiction of the Arbitral Tribunal or the admissibility of the claims, together with the factual and legal basis thereof; and

(e) specify the relief sought, if any.

The Respondent shall annex or identify all documents, witness statements, expert reports and other evidence upon which it relies, to the extent available at that time.

11.4. Counterclaims, Set-off and Cross-Claims

The Respondent may, together with its Statement of Defence or within such time as the Arbitral Tribunal permits, submit:

(a) any counterclaim;

(b) any plea of set-off; or

Provided that such claim falls within the scope of the arbitration agreement and the jurisdiction of the Arbitral Tribunal.

Any counterclaim, set-off or cross-claim shall contain:

(a) a statement of the material facts relied upon;

(b) the issues arising;

(d) the relief or remedy sought.

11.5. Defence to Counterclaim

Where a counterclaim, set-off or cross-claim is made, the opposing party shall submit its Defence thereto within the time fixed by the Arbitral Tribunal.

Such Defence shall contain the material facts, legal grounds and any relief sought in response to the counterclaim, set-off or cross-claim.

11.6. Further Written Submissions

The Arbitral Tribunal may, after consulting the parties, direct or permit the filing of any Reply, Rejoinder, Supplemental Pleadings or other written submissions.

The Tribunal may determine the sequence, scope, length and timetable for such submissions and may limit them to specific issues.

11.7. Supporting documents and evidence

Every pleading or written submission shall, unless otherwise directed by the Arbitral Tribunal, be accompanied by copies of all supporting documents upon which the party relies and which have not previously been submitted.

The Arbitral Tribunal may direct the parties to file witness statements, expert reports, compilations of authorities or any additional evidence within such time as it considers appropriate.

11.8. Amendment or supplement of Pleadings

A party may amend or supplement its claim, defence, counterclaim, set-off or cross-claim only with the permission of the Arbitral Tribunal.

The Arbitral Tribunal shall permit such amendment unless it considers that:

(a) the amendment would cause undue prejudice to another party;

(b) the amendment has been sought after unreasonable delay without satisfactory explanation;

(d) the amended claim or defence would fall outside the scope of the arbitration agreement or the jurisdiction of the Arbitral Tribunal.

Where an amendment is permitted, the Arbitral Tribunal shall give the other party a reasonable opportunity to respond.

11.9. Failure to submit pleadings

The failure of a party to submit any pleading within the time prescribed by the Arbitral Tribunal shall not, by itself, prevent the continuation of the arbitration.

In situation where:

(a) the Claimant fails, without sufficient cause, to submit its Statement of Claim, the Arbitral Tribunal may terminate the proceedings in whole or in part, or make such other order as it considers appropriate;

(b) the Respondent fails to submit its Statement of Defence or Defence to Counterclaim, the Arbitral Tribunal may continue the proceedings without treating such failure as an admission of the Claimant’s allegations.

11.10. Identification of Issues

At an appropriate stage of the proceedings, the Arbitral Tribunal may, after consulting the parties, identify and record the issues to be determined in the arbitration by way of a procedural order or otherwise.

The Tribunal may revise or supplement such issues whenever necessary for the fair and efficient conduct of the arbitration.

11.11. Procedural directions

The Arbitral Tribunal may issue such directions as it considers appropriate regarding:

(a) the format, length and presentation of pleadings;

(b) page limits and document organisation;

(d) the filing of witness statements, expert reports and authorities; and

(e) any other matter relating to the efficient management of written submissions.

12. EVIDENCE, WITNESSES AND HEARINGS

12.1. General Principles governing evidence- (1) Each party shall bear the burden of proving the facts on which it relies in support of its claims, counterclaims, set-off, cross-claims, defences or other submissions.

(2) The Arbitral Tribunal shall determine the admissibility, relevance, materiality, reliability and weight of any evidence. Unless otherwise required by the mandatory provisions of the applicable law, the Tribunal shall not be bound by any strict rules of evidence, including the provisions of the Bharatiya Sakshya Adhiniyam, 2023 or the Code of Civil Procedure, 1908.

(3) The Tribunal may adopt such evidentiary procedures as it considers appropriate, having regard to the nature, complexity and value of the dispute, while ensuring that each party is afforded a reasonable opportunity to present its case.

12.2. Production and inspection of evidence- (1) At any stage of the arbitral proceedings, the Tribunal may, upon the request of a party or on its own initiative after consulting the parties, order any party to produce documents, electronically stored information, exhibits, samples, property or any other evidence that it considers relevant and material to the determination of the dispute.

(2) The Tribunal may:

(a) direct any party to produce documents or evidence within its possession, custody or control;

(b) order inspection of documents, property, goods, sites or other relevant items;

(d) conduct such enquiries as it considers necessary or expedient for the just determination of the dispute;

(e) determine any objection based on privilege, confidentiality or other legal protection; and

(f) admit, exclude or limit any evidence where it considers such evidence to be irrelevant, immaterial, repetitive, disproportionate or otherwise inadmissible.

(3) All documentary evidence shall ordinarily accompany the relevant written submissions unless the Tribunal directs otherwise.

(4) The Tribunal may make procedural directions concerning the preservation, disclosure, inspection, confidentiality and use of evidence, including electronically stored information.

12.3. Hearings- (1) The Tribunal shall determine whether the arbitration shall proceed solely on the basis of documents or whether oral hearings are necessary.

(2) Unless the parties have agreed to a documents-only arbitration, the Tribunal shall hold a hearing if:

(a) a party requests an oral hearing at an appropriate stage of the proceedings; or

(b) the Tribunal considers a hearing necessary for the fair and efficient determination of the dispute.

(3) The Tribunal shall, after consulting the parties, determine the date, time, venue, duration and mode of every hearing and shall provide the parties with reasonable advance notice.

(4) Hearings may be conducted:

(a) in person;

(b) by videoconference, teleconference or any other appropriate electronic means or designated hearing Platform of SAC;

(d) in such other manner as the Tribunal considers appropriate after consulting the parties.

(5) The Tribunal may issue procedural directions before any hearing, including directions relating to:

(a) issues to be addressed;

(b) hearing timetable;

(d) time allocation;

(e) opening and closing submissions;

(f) use of demonstrative exhibits; and

(g) any other matter necessary for the efficient conduct of the hearing.

(6) Where a party fails to appear at any hearing without sufficient cause after due notice, the Tribunal may proceed with the hearing and continue the arbitration, and may render an award based upon the pleadings, evidence and submissions before it.

(7) Unless otherwise agreed by the parties or required by applicable law, all hearings, meetings and procedural conferences shall be private and confidential. Any recordings, transcripts or documents relating to the hearings shall remain confidential.

(8) The Tribunal may arrange for interpretation, translation or transcription of hearings where it considers such services necessary or where required by the parties, and may allocate the associated costs in such manner as it considers appropriate.

12.4. Witnesses- (1) The Tribunal may require any party to disclose, within such time as it determines:

(a) the identity of each witness or expert witness;

(b) the subject matter of the proposed testimony;

(d) any written witness statement or expert report.

(2) Witness testimony may be presented in the form of signed witness statements, affidavits, declarations or expert reports, unless the Tribunal directs otherwise.

(3) The Tribunal may permit, refuse or limit the appearance of any witness or expert witness and may determine the sequence, manner, scope and duration of oral examination.

(4) Witnesses may be examined, cross-examined and re-examined in such manner as the Tribunal considers appropriate. The Tribunal may question any witness at any stage of the proceedings.

(5) Where a party requests the attendance of a witness whose written testimony has been submitted, the Tribunal may require that witness to appear for oral examination. If the witness fails to appear without sufficient cause, the Tribunal may determine the weight to be accorded to the written testimony, disregard it in whole or in part, or exclude it altogether.

(6) Subject to applicable law, it shall not be improper for a party or its representatives to interview, prepare or assist its witnesses or experts in the preparation of witness statements or expert reports, provided that such testimony reflects the witness’s own knowledge or the expert’s independent opinion.

12.5. Tribunal appointed Experts- (1) After consulting the parties, the Tribunal may appoint one or more independent experts to report on specific technical, scientific, financial or other issues arising in the arbitration.

(2) Before appointment, the expert shall disclose any circumstances likely to give rise to justifiable doubts as to the expert’s impartiality or independence and shall submit a declaration in such form as the Tribunal may require.

(3) The Tribunal shall determine any objection concerning the qualifications, impartiality or independence of the expert.

(4) The parties shall cooperate with the Tribunal-appointed expert and shall provide such information, documents, property or access as the Tribunal may direct.

(5) The expert shall submit a written report to the Tribunal, which shall promptly provide copies to all parties and invite their written comments within such time as may be specified.

(6) Upon the request of a party or if the Tribunal considers it appropriate, the expert shall attend a hearing for oral examination by the parties and questioning by the Tribunal.

(7) The fees and expenses of any Tribunal-appointed expert shall form part of the costs of the arbitration unless the Tribunal determines otherwise.

12.6. Procedural Efficiency- (1) The Tribunal shall conduct hearings and receive evidence in a manner that is fair, expeditious and cost-effective.

(2) The Tribunal may limit cumulative evidence, repetitive testimony, unnecessary document production or any procedural step that it considers disproportionate to the issues in dispute.

(3) The Tribunal may issue such procedural directions and case management orders as it considers necessary to ensure the efficient conduct of the arbitration while preserving the parties’ right to be heard and ensuring equal treatment.

13. INTERIM MEASURES, EMERGENCY RELIEF AND PRELIMINARY DETERMINATION

13.1. Emergency Arbitrator- Prior to the constitution of the Arbitral Tribunal, a party requiring urgent interim, conservatory or protective relief may seek the appointment of an Emergency Arbitrator in accordance with Rule 18 of these Rules.

13.2. Power of the Arbitral Tribunal to grant interim measures- (1) Unless otherwise agreed by the parties, the Arbitral Tribunal may, at the request of any party, order or award any interim, conservatory or protective measure it considers necessary or appropriate at any stage of the arbitration.

(2) Interim measures may include, without limitation, orders to:

(a) maintain or restore the status quo pending determination of the dispute;
(b) preserve, protect or inspect property, goods, documents, electronically stored information or any other evidence relevant to the arbitration;
(c) preserve assets or provide security from which a subsequent award may be satisfied;
(d) prevent present or imminent harm or prejudice to the arbitral proceedings;
(e) secure the amount in dispute by way of deposit, bank guarantee or other suitable security;
(f) preserve confidential or proprietary information;
(g) order the sale, storage, custody or disposal of perishable goods or property;
(h) grant any provisional relief that the Tribunal would have the power to grant in a final award; or
(i) grant any other interim measure which the Tribunal considers just and appropriate in the circumstances.

13.3. Conditions for grant of Interim Measures- (1) In determining whether to grant an interim measure, the Arbitral Tribunal may consider all relevant circumstances, including:

(a) whether the applicant is likely to suffer harm that cannot adequately be compensated by an award of damages;

(b) whether such harm substantially outweighs the prejudice likely to be suffered by the party against whom the measure is sought;

(c) whether there is a reasonable possibility that the applicant may succeed on the merits of its claim or defence, without such determination affecting the Tribunal’s final decision;

(d) the urgency of the application;

(e) the risk of dissipation of assets, destruction of evidence, frustration of the arbitral process or any other prejudice likely to arise in the absence of interim relief; and

(f) any other circumstances the Tribunal considers relevant.

13.4. Security for Interim Measures- (1) The Tribunal may require the applicant to provide appropriate security, including by way of a bank guarantee, deposit, undertaking or any other form of security, as a condition for granting an interim measure.

(2) The Tribunal may also require a party seeking or resisting interim relief to provide security for legal costs, arbitration costs or any consequential losses where it considers such security appropriate.

13.5. Modification, Suspension and Revocation- (1) The Tribunal may modify, suspend, confirm or terminate any interim measure upon the application of a party or, in exceptional circumstances, on its own initiative after giving the parties an opportunity to be heard.

(2) A party obtaining an interim measure shall promptly disclose any material change in the circumstances on which the application was based.

(3) Where the Tribunal subsequently determines that an interim measure ought not to have been granted, it may order the applicant to compensate any party adversely affected for the costs, losses or damages resulting from such measure.

13.6. Applications to Courts- (1) A request by a party to a competent judicial authority for interim or conservatory relief before the constitution of the Arbitral Tribunal, or thereafter where the Tribunal lacks the power or is unable to act effectively, shall not be considered incompatible with the arbitration agreement nor constitute a waiver of the agreement to arbitrate.

(2) Any application made to a court and any order or decision issued thereon shall be promptly communicated by the applicant to the Tribunal, the Registrar and all other parties.

13.7. Tribunal’s powers in relation to evidence and property- (1) The Arbitral Tribunal may, in connection with any interim application or otherwise during the arbitration:

(a) order inspection, preservation, sampling or testing of any property, goods or documents;

(b) direct any party to produce documents or information relevant to the application;

(d) appoint experts where appropriate; and

(e) make such ancillary directions as may be necessary to preserve the integrity of the arbitral proceedings.

13.8. Preliminary determination of Issues- (1) A party may apply for the preliminary determination of any issue of jurisdiction, admissibility, limitation, interpretation of the arbitration agreement or any other issue capable of substantially disposing of all or part of the dispute.

(2) The application shall set out the factual and legal basis supporting the request and explain how a preliminary determination is likely to promote the fair, efficient and economical resolution of the arbitration.

(3) After giving all parties a reasonable opportunity to be heard, the Tribunal may decide whether the issue shall be determined on a preliminary basis.

(4) If the Tribunal allows the application, it shall determine an appropriate procedure and may issue its decision by way of an order, ruling, partial award or award, with reasons.

(5) Nothing in this Rule limits the Tribunal’s inherent authority to determine any issue separately whenever it considers such determination appropriate.

13.9. No Waiver

No application for interim measures, conservatory relief, emergency relief or preliminary determination made under these Rules or before a competent court shall be construed as:

(a) a waiver of the arbitration agreement;

(b) a submission to the jurisdiction of any court on the merits of the dispute; or

14. DEFAULT OF A PARTY

14.1. Failure to submit Statement of Claim- Where the Claimant, without showing sufficient cause, fails to submit or communicate its Statement of Claim within the time prescribed by these Rules or as directed by the Arbitral Tribunal, the Arbitral Tribunal may terminate the arbitral proceedings. Where any Respondent has raised a counterclaim, the Tribunal may continue the proceedings in respect of such counterclaim.

14.2. Failure to submit Statement of Defence- Where the Respondent, without showing sufficient cause, fails to submit or communicate its Statement of Defence within the prescribed time, the Arbitral Tribunal shall continue the proceedings without treating such failure as an admission of the Claimant’s allegations. The Tribunal may, in its discretion, deem the Respondent to have forfeited its right to file the Statement of Defence.

14.3. Failure to submit Defence to Counterclaim- Where the Claimant, without showing sufficient cause, fails to submit its Defence to a Counterclaim within the prescribed time, the Arbitral Tribunal shall continue the proceedings without treating such failure as an admission of the Counterclaim and may, in its discretion, deem the Claimant to have forfeited its right to file such defence.

14.4. Failure to appear or participate- Where any party, after having been duly notified, fails without sufficient cause to appear at a hearing, participate in any procedural conference, comply with any procedural direction, or otherwise present its case, the Arbitral Tribunal shall not proceed ex parte unless it has first passed a written procedural order recording such default and granting the defaulting party a final opportunity to participate in the proceedings. Upon the failure of the defaulting party to avail of such opportunity within the time specified by the Tribunal, the Tribunal may proceed ex parte and make such procedural orders or render an Award on the basis of the pleadings, evidence and other material available on record.

14.5. Failure to produce evidence- Where a party, without sufficient cause, fails to produce documentary evidence, witness testimony, expert evidence, or any other material directed by the Arbitral Tribunal, the Tribunal may proceed with the arbitration and determine the weight, if any, to be given to such failure, and may draw such adverse inferences as it considers appropriate.

14.6. Withdrawal or non-appearance during hearing- Where a party withdraws from a hearing without the permission of the Arbitral Tribunal or otherwise abandons its participation in the proceedings without sufficient cause, the Tribunal may continue the arbitration and render an award on the basis of the material available before it.

14.7. No automatic admission- A party’s failure to submit any pleading, produce evidence, attend a hearing, or otherwise participate in the proceedings shall not, by itself, constitute an admission of the opposing party’s claims, allegations, or defences.

14.8. Tribunal’s discretion- In exercising its powers under this Rule, the Arbitral Tribunal shall have due regard to the principles of fairness, equal treatment of the parties, and the right of each party to be given a reasonable opportunity to present its case.

15. CLOSURE OF PROCEEDINGS

15.1. Declaration of Closure- (1) The Arbitral Tribunal shall, as soon as practicable after the completion of the last oral hearing or the final written submissions directed by the Tribunal in respect of all matters to be determined, and upon being satisfied that the parties have been afforded a full and reasonable opportunity to present their respective cases and that no further relevant evidence or submissions are required, declare the arbitral proceedings closed.

The declaration of closure shall be made by a written Procedural Order and shall be communicated to all parties and the Registrar.

15.2. Effect of Closure- (1) Upon the declaration of closure of the proceedings:

(a) No party shall file any further pleadings, submissions, evidence, applications or documents except with the prior leave of the Arbitral Tribunal;

(b) The Tribunal shall proceed to deliberate and prepare its Award; and

(c) the parties shall be deemed to have completed the presentation of their respective cases, subject to any directions issued by the Tribunal.

15.3. Reopening of proceedings- (1) Notwithstanding the declaration of closure of proceedings, the Tribunal may, on its own motion or upon the application of a party, reopen the proceedings at any time before the Final Award is rendered, reopen the proceedings where it considers that:

(a) additional evidence has become available which could not reasonably have been produced earlier;

(b) clarification of any factual or legal issue is necessary for the just determination of the dispute;

(d) any other exceptional circumstance exists which, in the opinion of the Tribunal, makes reopening necessary in the interests of justice or for proper determination of dispute;

(2) Any order reopening the proceedings shall be made in writing and communicated to the parties.

15.4. Timeline for Award- (1) Upon declaring the proceedings closed, the Arbitral Tribunal shall endeavour to render the final Award within the time prescribed under these Rules or the applicable law.

(2) Where circumstances so require, the Tribunal may, after informing the Registrar and the parties, extend the anticipated date for rendering the Award in accordance with these Rules.

15.5. No prejudice to Tribunal’s Powers- The declaration of closure shall not prevent the Arbitral Tribunal from:

(a) seeking clarification from the parties on any limited issue;

(b) correcting clerical, typographical or computational errors before signing the Award;

(d) exercising any power expressly conferred upon it by these Rules or the applicable law.

15.6. Settlement during Arbitration- (1) The parties may, at any stage of the arbitral proceedings, settle all or part of the dispute by mutual agreement.

(2) Where the parties notify the Arbitral Tribunal that a settlement has been reached, the Tribunal may:

(a) terminate the arbitral proceedings to the extent of the settlement; or

(b) upon the joint request of the parties and if the Tribunal considers it appropriate, record the settlement in the form of an Award on Agreed Terms.

(3) The Arbitral Tribunal may, without compromising its independence, impartiality or neutrality, encourage the parties to explore settlement or any other consensual method of dispute resolution.

(4) Nothing contained in this Rule shall oblige any party to settle the dispute or affect the Tribunal’s duty to adjudicate the dispute where settlement is not reached.

15.7 Award on agreed terms- (1) An Award on agreed terms shall:

(a) be in writing;

(b) identify the parties and the arbitration;

(d) be signed by the Tribunal in accordance with these Rules; and

(e) have the same status, validity, finality and enforceability as any other arbitral award rendered under these Rules.

(2) Unless the parties otherwise request, the Tribunal shall not be required to state reasons for an Award on agreed terms or reproduce the terms of settlement therein.

(3) The Tribunal may decline to record the settlement as an Award on agreed terms where it considers that the settlement is contrary to applicable law, public policy or these Rules.

15.8 Suspension of proceedings- (1) The Tribunal or, prior to its constitution, the Registrar, may suspend the arbitration:

(a) upon the joint request of the parties;

(b) where the parties are actively pursuing settlement or mediation;

(d) for non-payment of deposits or costs in accordance with these Rules; or

(e) where the interests of justice otherwise require.

(2) During suspension, the Tribunal or the Registrar may suspend, extend or vary any procedural timelines.

(3) The Tribunal may resume the proceedings upon the request of any party or whenever it considers that the grounds for suspension have ceased to exist.

15.9 Termination of proceedings post constitution of Arbitral Tribunal- (1) Without prejudice to Rule 15.1, the Arbitral Tribunal may terminate the arbitral proceedings, in whole or in part, where:

(a) the parties jointly agree to terminate the proceedings;

(b) the dispute has been settled;

(c) the Claimant withdraws its claim, unless the Respondent satisfies the Tribunal that it has a legitimate interest in obtaining a final determination of the dispute or an order relating to costs;

(d) continuation of the arbitration has become unnecessary or impossible;

(e) the arbitration is deemed withdrawn under these Rules; or

(f) any other circumstance exists which, in the opinion of the Tribunal, renders continuation of the proceedings inappropriate.

(2) Before terminating the proceedings under clauses (c), (d), (e) or (f), the Tribunal shall afford the parties a reasonable opportunity to present their views.

(3) An order terminating the proceedings shall be made in writing and communicated to the parties and the Registrar.

(4) Unless otherwise agreed by the parties, termination of the proceedings shall not prevent the Tribunal from determining any outstanding issue relating to costs, interest, confidentiality, preservation of evidence or any ancillary matter arising out of the arbitration.

15.10 Termination prior to constitution of Tribunal- (1) Before the constitution of the Arbitral Tribunal, the Registrar may terminate the arbitration where:

(a) the Claimant withdraws the Notice of Arbitration and no other party objects within the period specified by the Registrar;

(b) all parties jointly request termination;

(c) the arbitration is deemed withdrawn under these Rules for non-payment of deposits or failure to comply with the Registrar’s directions; or

(d) any other ground for termination exists under these Rules.

(2) Where any party objects to the proposed termination and demonstrates a legitimate interest in continuation of the arbitration, the arbitration shall proceed in accordance with these Rules.

(3) Any order terminating the arbitration under this Rule shall be communicated to all parties.

15.11 Effect of termination- (1) Unless otherwise agreed by the parties or directed by the Tribunal:

(a) termination of the arbitration shall not affect any right, obligation or liability accrued prior to such termination;

(b) any obligation relating to confidentiality shall continue notwithstanding termination;

(c) any order concerning costs, interim measures, preservation of evidence or security shall remain effective until modified, discharged or otherwise determined by the Tribunal or a competent court.

(2) Termination of the arbitral proceedings shall not prejudice the recognition, enforcement or validity of any Award on agreed terms or any arbitral award rendered prior to such termination.

(3) Except where otherwise provided by applicable law or these Rules, termination of the arbitration shall bring the mandate of the Arbitral Tribunal to an end.

15.12 Communication of orders- The Registrar shall communicate every order terminating the proceedings and every Award on agreed terms to the parties in accordance with these Rules.

16. ARBITRAL AWARD

16.1. Time for making the Award- (1) The Arbitral Tribunal shall render its Final Award within the period prescribed under Section 29A of the Arbitration and Conciliation Act, 1996, or within such extended period as may be agreed by the parties or granted by the competent Court in accordance with law.

(2) The Tribunal shall endeavour to render the Award as expeditiously as possible after the declaration of closure of proceedings and, unless exceptional circumstances exist, within ninety (90) days from the date on which the proceedings are declared closed.

(3) Where the Tribunal considers that it may not be possible to render the Award within the aforesaid period, it shall record reasons in writing and notify the Registrar and the parties of the anticipated date of the Award.

(4) Nothing contained in this Rule shall affect the statutory timelines prescribed under the Act.

16.2. Decisions of the Tribunal- (1) Where the Tribunal consists of more than one Arbitrator, every procedural decision, order, direction and Award shall be made by majority decision.

(2) If no majority can be reached on any issue, the decision of the Presiding Arbitrator shall prevail and shall constitute the decision of the Tribunal.

(3) With the prior consent of the co-arbitrators, the Presiding Arbitrator may determine procedural matters and issue procedural directions on behalf of the Tribunal.

(4) Where an Arbitrator, after being afforded a reasonable opportunity, fails or refuses to participate in the deliberations or execution of the Award without sufficient cause, the remaining Arbitrator(s) may proceed to make and sign the Award. The Award shall record the reasons for such omission.

16.3. Types of Awards- (1) The Tribunal may, as it considers appropriate, render-

(a) Interim Awards;

(b) Partial Awards;

(d) Final Awards;

(e) Additional Awards;

(f) Consent Awards; and

(g) Separate Awards in respect of different claims, counterclaims, cross-claims, issues or stages of the proceedings.

(2) Each such Award shall have the same legal force and effect as any other Award rendered under these Rules.

16.4. Form and contents of the Award- (1) Every Award shall be made in writing.

(2) Unless otherwise agreed in writing by all parties or where the Award records a settlement under Section 30 of the Arbitration Act, every Award shall contain-

(a) the reasons upon which it is based;

(b) the findings on the issues arising for determination;

(d) the allocation of costs;

(e) the determination of interest, where applicable;

(f) the date of the Award;

(g) the juridical seat and place of arbitration; and

(h) such other particulars as may be required under applicable law.

(3) The Award shall be deemed to have been made at the juridical seat of arbitration irrespective of the place from which it is signed or transmitted.

16.5. Signature and Authentication- (1) Every Award shall be signed by the sole Arbitrator or, where there is more than one Arbitrator, by the majority of the members of the Tribunal.

(2) Where any Arbitrator does not sign the Award, the Award shall state the reason for such omission.

(3) The Tribunal may sign the Award—

(a) physically;

(b) electronically;

(d) by any legally recognised secure digital authentication method.

All counterparts shall together constitute one Award.

(4) The signed Award shall be transmitted to the Registrar, who shall authenticate and communicate certified copies to the parties upon compliance with the financial requirements under these Rules.

16.6. Costs- The Tribunal shall determine and allocate the costs of the arbitration in the Final Award or in a separate Award relating to costs, in accordance with Rule 17.

16.7. Interest- The Tribunal may award pre-award, pendente lite and post-award simple or compound interest on any sum awarded, at such rate, for such period and upon such basis as it considers just, subject to Section 31(7) of the Act and any agreement between the parties.

16.8. Consent Award- (1) Where the parties settle the dispute before the Award is rendered, the Tribunal shall, upon the joint request of the parties and if it considers appropriate, record the settlement in the form of a Consent Award under Section 30 of the Act.

(2) A Consent Award shall have the same status and enforceability as any other arbitral Award.

(3) The Tribunal shall not be obliged to provide reasons for a Consent Award unless requested jointly by the parties or required by law.

16.9. Finality and binding nature- (1) Every Award rendered under these Rules shall be final and binding upon the parties and all persons claiming through or under them.

(2) The parties undertake to comply with the Award without undue delay.

(3) Subject to the mandatory provisions of applicable law, the parties waive any right of appeal, review or recourse against the Award except to the extent expressly permitted under the Arbitration Act.

16.10. Delivery of the Award- (1) The Tribunal shall submit the signed Award to the Registrar.

(2) Upon payment of all outstanding costs, the Registrar shall communicate authenticated copies of the Award to the parties electronically or by any other authorised mode.

(3) Where required by law or requested by a party, certified physical copies shall also be issued.

16.11. Correction, Interpretation and Additional Award- (1) Within thirty (30) days of receipt of the Award, a party may request—

(a) correction of any clerical, typographical, computational or similar error;

(b) interpretation of any specific part of the Award; or

(c) an Additional Award regarding any claim presented but omitted from the Award, in accordance with Section 33 of the Arbitration Act.

(2) Before deciding such a request, the Tribunal may invite observations from the other party.

(3) The Tribunal may also correct any such error on its own initiative within the period prescribed by law.

(4) Any correction, interpretation or Additional Award shall form an integral part of the original Award.

16.12. Scrutiny of draft Award - (1) Before publication of the Final Award, the Tribunal may submit a draft Award to the Registrar for institutional scrutiny limited to-

(a) form;

(b) clerical consistency;

(d) enforceability issues; and

(e) procedural compliance.

(2) The Registrar may draw the Tribunal’s attention to issues relating to form or apparent errors without affecting the Tribunal’s independence or its decision on the merits.

(3) The Tribunal shall remain solely responsible for the reasoning, findings and conclusions contained in the Award.

16.13. Publication

No Award shall be published or disclosed by the Institution except-

(a) with the written consent of all parties;

(b) where required by law;

(d) where the Award is anonymised for academic, research or institutional purposes.

17. ARBITRATION COST

17.1. Determination of Costs- The Arbitral Tribunal shall determine the costs of the arbitration in one or more procedural orders or in the final award. Where these Rules confer upon the Registrar or the Institution the authority to determine any component of the arbitration costs, the Tribunal shall specify such costs in its award and determine their allocation between the parties.

17.2. Costs of the Arbitration- For the purposes of these Rules, the term “Costs of the Arbitration“ shall include only:

(a) the fees, expenses and reasonable disbursements of the Arbitral Tribunal, including any Emergency Arbitrator;

(b) the registration fee, administrative fees and expenses payable to the Institution;

(d) the reasonable fees and expenses of any expert, assessor, interpreter, translator, transcriber or any other assistance reasonably required or appointed by the Arbitral Tribunal;

(e) the reasonable travel, accommodation and other expenses necessarily incurred by the Arbitral Tribunal, Tribunal Secretary or Tribunal-appointed experts;

(f) the reasonable costs of legal representation and other assistance, including the fees and expenses of party-appointed experts and witnesses, provided such costs have been claimed during the arbitration and are reasonably incurred;

(g) the costs of any emergency arbitration, expedited procedure or other ancillary proceedings conducted under these Rules;

(h) all applicable taxes, duties, levies or governmental charges payable in respect of the arbitration;

(i) any other reasonable expenses necessarily incurred in connection with the arbitral proceedings or the making, correction, interpretation, enforcement or implementation of the award.

17.3. Advances on Costs

(a) The Registrar shall fix the amount of the deposits or advances on costs, taking into account the amount in dispute, the complexity of the case and any other relevant circumstances.

(b) Unless otherwise directed, the deposits shall be borne equally by the Claimant(s) and the Respondent(s).

(d) Where the amount in dispute cannot reasonably be quantified at the time payment is required, the Registrar or Institution shall make a provisional assessment of the estimated costs, which may be revised as additional information becomes available.

(e) The Registrar may require further or additional deposits at any stage of the proceedings.

(f) The parties shall be jointly and severally liable for the payment of all deposits.

(g) If any party fails to pay its share of the deposits within the prescribed time, the Registrar may direct another party to pay such deposits on its behalf.

(h) Where one party pays deposits on behalf of another, the Arbitral Tribunal may order reimbursement of such amounts, together with interest where appropriate.

(i) If the required deposits are not paid within the prescribed period, the Registrar may, after giving the defaulting parties a reasonable opportunity to comply:

(i) suspend the arbitration in whole or in part;

(ii) suspend the administration of the proceedings;

(iii) deem the relevant claim, counterclaim or cross-claim withdrawn without prejudice; or

(iv) terminate the proceedings, where appropriate.

(j) Any interest earned on deposits shall accrue to and be retained by the Institution unless otherwise provided by these Rules.

17.4. Allocation of Costs- (1) Unless the parties have agreed otherwise, the Arbitral Tribunal shall determine the allocation of the Costs of the Arbitration between the parties.

(2) The general rule shall be that the unsuccessful party bears the costs of the arbitration and the reasonable legal and other costs of the successful party. However, the Tribunal may depart from this principle where it considers such departure appropriate in light of the circumstances of the case, provided reasons are recorded in the award.

(3) The Tribunal may apportion costs between the parties in such proportions as it considers fair and reasonable.

17.5. Factors relevant to costs- (1) While determining costs, the Tribunal may consider, inter alia:

(a) whether any costs claimed are reasonable;

(b) whether costs should be awarded;

(d) the manner in which costs shall be apportioned,

(2) The Arbitral Tribunal may take into account all relevant circumstances, including but not limited to:

(i) the relative success or failure of each party on the claims, counterclaims or individual issues;

(ii) the scale, value, complexity and importance of the dispute;

(iii) the conduct of the parties before and during the arbitration, including compliance with procedural directions;

(iv) whether either party has acted in an expeditious, efficient and cost-effective manner;

(v) any unnecessary delay, obstruction, bad faith or non-cooperation;

(vi) whether frivolous, vexatious or manifestly unmeritorious claims, counterclaims or applications were advanced;

(vii) any unreasonable refusal to participate in settlement discussions or rejection of reasonable settlement offers;

(viii) any third-party funding arrangement or outcome-related fee agreement, to the extent relevant to costs;

(ix) the proportionality of the costs incurred having regard to the amount in dispute and the issues involved;

(x) any adverse environmental impact or unnecessary expenditure resulting from the conduct of the proceedings;

(xi) any other circumstance which the Tribunal considers relevant in the interests of justice.

17.6. Limitation of recoverable costs

The Arbitral Tribunal may, at any stage of the proceedings, direct that the recoverable legal or other costs of the arbitration, or any part thereof, shall be limited to a specified amount where it considers such limitation appropriate and proportionate.

17.7. Interim costs orders

The Arbitral Tribunal may make interim or partial orders relating to costs at any stage of the arbitration, including orders requiring reimbursement of advances paid by one party on behalf of another or security for costs where appropriate.

17.8. Costs upon settlement or early termination- (1) Where the arbitration is terminated by settlement, withdrawal, abandonment, agreement of the parties or otherwise before the final award is rendered, the Arbitral Tribunal or, where appropriate, the Registrar shall determine the costs of the arbitration having regard to the stage reached in the proceedings and all relevant circumstances.

(2) Any unutilised deposits shall be refunded to the parties in such proportions as the parties may agree, or failing agreement, in the proportions in which the deposits were paid.

17.9. Interest on Costs- The Arbitral Tribunal may award interest on any costs awarded under these Rules, including interest on reimbursable advances, at such rate, for such period and on such basis as it considers appropriate.

17.10. Reasons

Every decision concerning the allocation or apportionment of costs shall be accompanied by reasons, unless the parties have agreed otherwise or the award is rendered on agreed terms.

18. SPECIAL PROCEDURE

18.1 Expedited Arbitration (Fast-Track Procedure)

18.1.1. Applicability- (1) The parties may, by written agreement at any time before or after the commencement of arbitration and before completion of evidence, request that the arbitration be conducted under the Expedited Arbitration Procedure.

(2) The Tribunal may also recommend adoption of the Expedited Procedure where-

(a) the amount in dispute is relatively modest;

(b) the issues are straightforward;

(d) exceptional circumstances justify accelerated proceedings,

Provided that all parties have given consent for the same in writing.

(3) Unless otherwise directed by the Tribunal, the provisions of these Rules shall continue to apply insofar as they are not inconsistent with Rule 18.

18.1.2 Conduct of expedited proceedings- (1) The expedited proceeding shall be conducted by Emergency Arbitrator as appointed under this Rule.

(2) The Emergency Arbitrator may adopt such procedure as it considers appropriate for the expeditious determination of the dispute, including-

(a) deciding the dispute primarily on written pleadings, documents and written submissions;

(b) limiting the scope of evidence, witness examination and expert testimony;

(d) shortening any procedural timelines prescribed under these Rules;

(e) conducting hearings virtually, physically or in hybrid mode;

(f) dispensing with oral hearings where the parties agree or where the Tribunal considers that oral hearings are unnecessary;

(g) calling for further information or clarification whenever necessary; and

(h) adopting any other procedural measures consistent with the principles of natural justice.

18.1.3 Time for Award- (1) Unless otherwise agreed by the parties or extended by the Tribunal for sufficient cause, the final award shall be rendered within six months from the date the Tribunal enters upon the reference.

(2) The Tribunal shall endeavour to avoid unnecessary adjournments and ensure efficient conduct of the proceedings.

(3) Any extension of time shall be granted only for sufficient cause recorded in writing.

18.1.4 Effect

Unless otherwise provided, an award rendered under this Rule shall have the same force, validity and enforceability as any other arbitral award under these Rules.

18.2. Emergency Arbitration

18.2.1. Application- (1) A party requiring urgent interim or conservatory measures that cannot await the constitution of the Tribunal may apply to the SAC for appointment of an Emergency Arbitrator-

(a) before filing the Notice of Arbitration;

(b) simultaneously with the Notice of Arbitration; or

(2) The application shall contain-

(a) details of the parties and their representatives;

(b) a copy or description of the arbitration agreement;

(d) the emergency relief sought;

(e) reasons why such relief cannot await constitution of the Tribunal;

(f) grounds establishing entitlement to such relief;

(g) confirmation that all other parties have been notified;

(h) proof of payment of the prescribed Emergency Arbitration Fee;

(i) disclosure of any third-party funding arrangement, where applicable; and

(j) any other information considered relevant.

(2) Registrar shall determine the application as expeditiously as possible.

18.2.2. Appointment- (1) Where accepted, Master of Roster shall appoint an Emergency Arbitrator within one business day or as soon thereafter as reasonably practicable.

(2) Before accepting appointment, the Emergency Arbitrator shall make disclosures regarding independence and impartiality.

(3) Any challenge shall be filed within one business day of notification.

(4) Unless agreed otherwise, the Emergency Arbitrator shall not act as arbitrator in the subsequent arbitration.

18.2.3. Procedure- The Emergency Arbitrator may-

(a) determine the procedure;

(b) conduct proceedings on documents alone;

(d) determine jurisdiction for the purpose of emergency proceedings;

(e) require security;

(f) permit additional written submissions;

(g) proceed despite non-participation of any party after reasonable notice.

18.2.4. Powers- (1) The Emergency Arbitrator shall have the same powers to grant interim, conservatory and protective measures as are conferred upon the Arbitral Tribunal under Rule 13.2, including by way of an order or an interim award.

(2) The Emergency Arbitrator may also make such ancillary or consequential directions as may be necessary for the effective implementation of any interim measure granted.

18.2.5. Emergency Award- (1) The Emergency Arbitrator shall make the order or award within fourteen days of appointment unless extended by the Centre for exceptional circumstances.

(2) Every order shall-

(a) be in writing;

(b) contain reasons;

(d) be binding upon the parties immediately upon issuance.

18.2.6. Effect of Emergency Award- (1) An order or award of the Emergency Arbitrator shall remain binding upon the parties until-

(a) the arbitration is not commenced within the period prescribed under these Rules;

(b) the application for emergency relief is withdrawn;

(c) it is modified, varied, suspended, revoked or confirmed by the Arbitral Tribunal;

(d) the final award is rendered; or

(e) ninety days expire without the constitution of the Arbitral Tribunal, unless otherwise directed under these Rules, whichever occurs first.

18.2.7. Costs

The Emergency Arbitrator may determine the costs of the emergency proceedings, subject to the Tribunal’s final determination under Rule 17 of these rules.

18.2.8. Resort to Courts

Applications to competent courts for interim or conservatory measures shall be governed by Rule 13.6 of these Rules.

19. CONFIDENTIALITY

19.1.1 General obligation

(1) Unless otherwise agreed by the parties or required by applicable law, every arbitration conducted under these Rules shall be confidential.

(2) The obligation of confidentiality shall bind:

(a) the parties;

(b) their representatives, counsel and employees;

(d) any Emergency Arbitrator;

(e) the Registrar and the Centre;

(f) Tribunal Secretaries;

(g) experts, witnesses, interpreters, translators and transcribers;

(h) any appointing authority;

(i) any third-party funder or insurer participating in the arbitration; and

(j) every other person participating in or having access to the arbitration.

(3) The obligation shall continue after the arbitration has concluded.

19.1.2 Scope of confidentiality- Unless otherwise agreed, confidentiality extends to:

(a) the existence of the arbitration;

(b) the pleadings;

(d) witness statements;

(e) expert reports;

(f) evidence and exhibits;

(g) transcripts and recordings;

(h) procedural orders;

(i) interim orders;

(j) Emergency Awards;

(k) final awards;

(l) consent awards;

(m) Tribunal deliberations;

(n) all communications made for purposes of the arbitration; and

(o) all information generated, exchanged or produced during the arbitration that is not already in the public domain.

19.2. Exceptions to confidentiality

A party may disclose confidential information only where reasonably necessary:

(a) to enforce, recognise, challenge or resist an award;

(b) to protect or pursue a legal right or claim;

(d) where disclosure is required by applicable law;

(e) where required by a governmental, regulatory or statutory authority;

(f) to professional advisers, auditors, insurers or prospective funders, provided they are bound by equivalent confidentiality obligations;

(g) to experts or witnesses engaged for the arbitration;

(h) for purposes expressly permitted by these Rules;

(i) with the written consent of all parties; or

(j) by order of the Tribunal.

19.3. Confidential deliberations- (1) The deliberations of the Arbitral Tribunal shall remain confidential.

(2) No arbitrator, Tribunal Secretary or person assisting the Tribunal shall disclose any discussion, opinion, vote or deliberative process relating to the making of an award, except where disclosure is required by applicable law.

19.4. Information security- (1) The parties may agree upon reasonable measures to safeguard all information shared, stored or processed during the arbitration.

(2) After consulting the parties, the Tribunal may issue directions concerning:

(a) cybersecurity;

(b) electronic communications;

(d) access to confidential documents;

(e) encryption;

(f) remote hearings;

(g) personal data protection;

(h) document management; and

(i) any other reasonable information security measure.

(3) The Tribunal may issue procedural directions or make orders regarding any breach of information security obligations.

(4) Where appropriate, the Tribunal may award costs, sanctions or damages arising from a breach of such directions.

19.5. Compliance with data protection law- (1) The parties, the Tribunal, and Registrar and Institution shall comply with the Digital Personal Data Protection Act, 2023 and all applicable rules and regulations made thereunder in respect of any personal data processed in connection with the arbitration.

(2) SAC shall act as a Data fiduciary within the meaning of the DPDP Act in respect of personal data submitted to it in connection with arbitration proceedings. SAC shall process such data only for the purposes of administering the arbitration and shall not retain personal data beyond the period prescribed by law or the period of document retention under Rule 19.8, whichever is shorter.

(3) Where a party processes personal data belonging to another party or a third person in the course of the arbitration, it shall do so in compliance with applicable data protection law.

(4) In the event of any personal data breach, SAC shall notify the affected parties without undue delay and in accordance with its obligations under the DPDP Act.

19.5. Publication of awards- (1) SAC shall not publish any award without the written consent of all parties.

(2) Notwithstanding sub-rule (1), SAC may publish anonymised extracts, summaries or awards for educational, research or precedential purposes provided:

(a) all identifying information has been removed or redacted; and

(b) no party objects within the time specified by the Centre.

(3) Any publication shall preserve confidentiality and shall not disclose commercially sensitive information.

19.6. Limitation of liability- (1) Save in cases of fraud, wilful misconduct or bad faith, none of the following shall be liable to any party for any act or omission in connection with an arbitration conducted under these Rules:

(a) the Centre;

(b) the Registrar;

(d) Master of Roster;

(e) the Arbitral Tribunal;

(f) any Emergency Arbitrator;

(g) Tribunal Secretaries;

(h) Tribunal-appointed experts;

(i) interpreters;

(j) transcribers; or

(k) any person appointed under these Rules.

(2) No such person shall be liable for any consequence arising from the administration or conduct of the arbitration except to the extent prohibited by applicable law.

19.7. No witness obligation- After the award has become final and all proceedings under these Rules have concluded:

(a) no arbitrator;

(b) Emergency Arbitrator;

(d) Tribunal-appointed expert;

(e) member of the SAC; or

(f) officer of the Centre,

shall be under any obligation to make statements concerning the arbitration or to appear as a witness in any judicial or other proceedings arising out of the arbitration, except where required by applicable law.

19.8. Document retention - (1) SAC may retain the records of the arbitration for such period as it considers appropriate or as required by law.

(2) Upon expiry of that period, SAC may securely destroy or permanently delete such records without further notice to the parties.

(3) Nothing in this Rule shall require SAC to preserve records indefinitely.

20. JOINDER, CONSOLIDATION AND RELATED PROCEEDINGS

20.1 Joinder of Additional Parties

20.1.1 Application for Joinder- (1) A party to the arbitration, or any person claiming to be bound by the arbitration agreement, may apply for the joinder of one or more additional parties.

(2) An application for joinder may be made-

(a) before the constitution of the Arbitral Tribunal, to Registrar; or

(b) after the constitution of the Arbitral Tribunal, to the Tribunal.

(3) The applicant shall specify whether the proposed additional party is to be joined as a Claimant or Respondent.

20.1.2 Grounds for Joinder- (1) Joinder may be permitted where-

(a) all existing parties and the proposed additional party consent in writing;

(b) the proposed additional party is prima facie bound by the arbitration agreement;

(d) the Tribunal considers that joinder is necessary for the fair, efficient and complete determination of the dispute.

20.1.3 Contents of Application- The application shall contain-

(a) the arbitration reference number;

(b) the names and contact details of all parties and the proposed additional party;

(d) the factual and legal grounds supporting joinder;

(e) the relief sought against or by the proposed additional party;

(f) confirmation that copies have been served upon all parties and the proposed additional party;

(g) disclosure of any third-party funding arrangement, where applicable;

(h) supporting documents; and

(i) proof of payment of the prescribed fee, where applicable.

20.1.4 Opportunity to respond

All parties and the proposed additional party shall be afforded a reasonable opportunity to submit written observations before any decision on joinder.

Failure to respond within the prescribed time shall not prevent determination of the application.

20.1.5 Decision on Joinder

(1) Before constitution of the Tribunal, the Registrar shall determine whether the application is complete and may permit or refuse joinder.

(2) After constitution of the Tribunal, the Tribunal shall determine the application.

(3) A decision granting joinder shall be without prejudice to any subsequent determination of jurisdiction.

(4) Refusal of joinder before constitution shall not prevent a renewed application before the Tribunal.

20.1.6 Effect of Joinder- In case where joinder is granted-

(a) the additional party shall become a party to the arbitration for all purposes;

(b) the arbitration shall be deemed to have commenced against the additional party on the date the application for joinder was received;

(d) the Tribunal may revise the procedural timetable;

(e) where necessary to preserve equality of treatment, the appointment of one or more arbitrators may be revoked before constitution is completed and a fresh Tribunal constituted under these Rules; and

(f) any procedural steps already taken shall remain valid unless the Tribunal otherwise directs.

20.1.7 Rights of Joined Party- Unless the Tribunal directs otherwise-

(a) the joined party shall receive all pleadings, evidence and procedural orders;

(b) the joined party shall have a reasonable opportunity to present its case; and

(c) where joinder occurs after constitution of the Tribunal, the joined party shall be deemed to have waived any right to participate in the appointment of arbitrators, without prejudice to its right to challenge an arbitrator under these Rules.

20.2 Consolidation of Arbitrations

20.2.1 Application- A party may apply for consolidation of two or more arbitrations pending under these Rules.

20.2.2 Grounds- Consolidation may be ordered where-

(a) all parties agree;

(b) all claims arise under the same arbitration agreement;

(c) the arbitrations involve compatible arbitration agreements arising from the same legal relationship or connected transactions;

(d) the disputes involve common questions of law or fact; or

(e) consolidation would promote the fair, efficient and economical resolution of the disputes.

20.2.3 Decision- (1) Before constitution of the Tribunal, the Registrar shall determine the application.

(2) After constitution of the Tribunal, the Tribunal shall determine the application after hearing all affected parties.

(3) In determining whether consolidation is appropriate, regard may be had to-

(a) the stage reached in each arbitration;

(b) the compatibility of arbitration agreements;

(d) overlap of parties;

(e) risk of inconsistent awards;

(f) procedural efficiency; and

(g) any other relevant circumstance.

20.2.4 Effect of Consolidation- Where consolidation is ordered-

(a) the arbitrations shall proceed as a single arbitration;

(b) unless otherwise directed, they shall be consolidated into the arbitration first commenced;

(d) procedural timetables may be varied;

(e) deposits and costs may be reallocated; and

(f) any procedural acts previously taken shall remain effective unless the Tribunal otherwise directs.

21. EARLY DISMISSAL OF MANIFESTLY UNMERITORIOUS CLAIMS

21.1. A party may apply for the early dismissal of a claim, counterclaim, cross-claim or defence on the ground that it is: (a) manifestly without legal merit; or (b) manifestly outside the jurisdiction of the Tribunal.

21.2 The application shall be made promptly after the filing of the pleading to which it relates and shall set out the grounds relied upon with specificity.

21.3 The Tribunal shall determine the application after giving all parties a reasonable opportunity to present their positions. The Tribunal may grant or dismiss the application in whole or in part by way of an order or award, with reasons.

1.4 The Tribunal may, where it considers appropriate, determine the early dismissal application simultaneously with other preliminary issues.

21.5 A decision dismissing an early dismissal application shall not affect the Tribunal’s final determination of the underlying claim or defence.

22. THIRD-PARTY FUNDING

22.1 Disclosure of Third-Party Funding- (1) A party that has entered into any arrangement with a third party for the funding of all or part of its claims or defences in the arbitration shall promptly disclose:

(a) the existence of the funding arrangement;

(b) the identity and contact details of the third-party funder;

(c) whether the funder has undertaken to bear any liability for adverse costs, security for costs or arbitration costs; and

(d) such other information as these Rules or the Tribunal may require.

(2) The disclosure shall be made to the Registrar, the Tribunal (if constituted), the Emergency Arbitrator (if applicable), and all other parties.

22.2 Time of disclosure- (1) Where the funding arrangement exists before commencement of the arbitration, disclosure shall be made:

(a) with the Notice of Arbitration;

(b) the Response to the Notice of Arbitration;

(d) any application for Joinder; or

(e) any other first substantive submission by the funded party,

whichever is applicable.

(2) Where the funding arrangement is entered into after commencement of the arbitration, disclosure shall be made as soon as reasonably practicable and, in any event, within seven days of its execution.

22.3 Continuing duty of disclosure- The funded party shall promptly notify Registrar, the Tribunal and all other parties of-

(a) any change in the identity of the third-party funder;

(b) any material modification of the funding arrangement relevant to the arbitration;

(d) any other material change affecting the information previously disclosed.

22.4 Additional Disclosure- (1) The Tribunal may, after consulting the parties, direct the funded party to disclose such further information concerning the funding arrangement as it considers reasonably necessary for determining-

(a) any issue relating to the independence or impartiality of an arbitrator;

(b) any application for security for costs;

(d) conflicts of interest; or

(e) any other procedural matter.

(2) The Tribunal shall not require disclosure of privileged communications or confidential commercial terms of the funding agreement except where necessary for the fair determination of the issues before it.

22.5 Effect of Third-Party Funding- The existence of a third-party funding arrangement shall not, of itself-

(a) affect the jurisdiction of the Tribunal;

(b) affect the validity of the arbitration agreement;

(d) create any presumption regarding the merits of the claims or defences.

22.6 Costs and Procedural orders- In determining any application relating to security for costs, allocation of costs or any other procedural matter, the Tribunal may take into account-

(a) the existence of any third-party funding arrangement;

(b) compliance with the disclosure obligations under this Chapter; and

23. EXCLUSION OF LIABILITY, WAIVER AND IMMUNITY

23.1 Exclusion of Liability- (1) Neither SAC, the Governing Council, Master of Roster, the Registrar, any appointing authority, nor any member, officer, employee or authorised representative of the Centre shall be liable to any person for any act or omission in connection with any arbitration conducted under these Rules.

(2) Likewise, no Arbitral Tribunal, Master of Roster, Emergency Arbitrator, tribunal secretary, tribunal-appointed expert, mediator appointed under these Rules, or any other person appointed under these Rules shall incur any liability for any act, omission, decision, determination, order or award made in good faith in connection with the arbitration.

(3) The exclusion of liability under this Rule shall not apply where it is finally established that the act or omission constituted fraud, wilful misconduct, bad faith or conscious and deliberate wrongdoing.

23.2 Immunity from legal proceedings

No action, suit, claim or proceeding shall lie against SAC, Master of Roster, the Registrar, the Governing Council, the Arbitral Tribunal, the Emergency Arbitrator, any tribunal secretary, expert or any person appointed under these Rules for anything done or omitted in good faith in the discharge of their functions under these Rules.

23.3 No duty to testify- (1) After the arbitration has been concluded and all proceedings relating to correction, interpretation or additional awards have been exhausted or have expired, neither the Centre nor any arbitrator, Master of Roster, Emergency Arbitrator, tribunal secretary, tribunal-appointed expert, Registrar or officer of the Centre shall be under any obligation to make any statement or provide any explanation concerning the arbitration.

(2) No party shall seek to summon, subpoena, compel, join or otherwise require any such person to appear as a witness or produce documents in any judicial, arbitral, administrative or other proceedings arising out of or relating to the arbitration.

23.4 Waiver of Objections- (1) A party who knows or ought reasonably to know that any provision of these Rules, any procedural direction, any requirement of the arbitration agreement, or any procedural order has not been complied with, but proceeds with the arbitration without raising its objection promptly and within the time prescribed by these Rules or by the Tribunal, shall be deemed to have waived its right to object.

(2) Such waiver shall not apply where the applicable law prohibits waiver of the relevant objection.

23.5 Indemnity

A party who commences or maintains proceedings against the Centre or any person protected under this Rule in contravention of these Rules shall indemnify the Centre and such person against all liabilities, costs and expenses incurred in defending such proceedings, except where liability is established pursuant to Rule 21.1(3).

23.6 Good Faith

The Centre, Master of Roster, the Registrar, the Tribunal, the Emergency Arbitrator and every person acting under these Rules shall be presumed to have acted in good faith unless proved otherwise.

ANNEXURE-I

Schedule of Fees (registration fees, arbitrator fees by slab, administrative charges, emergency arbitration fee, challenge fee- all as fixed amounts or calculable formulae).