Rules and Regulation

CHAPTER 1: COMMENCEMENT OF PROCEEDINGS

Preamble These Rules shall be called “CentreofExcellence forMediation andArbitration (Arbitration) Rules”.

Arbitration under these Rules is a private, confidential and voluntary process in which a private neutral person/s, known as the Arbitrator/s, is/are appointed by the Centre to resolve disputes.
The Centre is the sole authority to administer Arbitration Proceedings under these Rules.
The Centre has inclusivity and diversity as its core values and there shall be no discrimination in any form.
The Centreshallcomply with all the relevant Data Protection Laws.

Application of Rules

These Arbitration Rules (the “Rules”) shall apply to all the arbitrations administered by and/or referred to the Centre including but not limited to the following:
Where parties in dispute have an agreement in writing, either before or after the dispute arose, which provides for settlement of disputes between the parties through Arbitration under these Rules.
Where the parties in dispute arrive at an agreement in writing, either before or after the dispute, to resolve their dispute through Arbitration and the parties refer such dispute to the Centre.
Where a dispute is referred to the Centre by any Court of law, any Tribunal, Forum, Statutory / Regulatory Authority, Quasi-Judicial Body or private organization.
Where a dispute is referred to the Centre by theparties,with mutual consent,where there is no agreement in writing between the parties for settlement of disputes through Arbitration.
Any rules/regulations framed under the Arbitration & Conciliation Act 1996 shall mutatis mutandis apply to all the proceedings conducted under these Rules.

Provided that the parties may modify or waive any provisions of these Rules, subject to the agreement of the Arbitrator(s) and confirmation by the Centre.

Definitions

“Arbitral tribunal” includes one or more arbitrators.

“award” includes an interim, partial, final, or additional award.

“Centre” refers to the CentreofExcellence for Mediation and Arbitration (CEMA)

“Claim” includes any claim by any party against any other party and “counter claims”

“Claimant” includes one or more claimants.

“Respondent” includes one or more respondents.

“Parties” includes Claimants, Respondents, or any additional parties.

Appointment of Registrar

There shall be a Registrar at the Centre, who shall be appointed by the Trustees on terms and conditions as decreed and he shall discharge such functions and duties as are assigned to him from time to time.

Communications

All correspondence on and behalf of the Centre shall be made to and by the Registrar.
All pleadings including any other form of written communications submitted by either party, as well as all the documents attached with such communications, shall be submitted in a number of copies sufficient to provide one copy for each party and arbitrator/s, in addition to one for the records of the Centre.
In addition to the required number of hard (print) copies, as referred to in Rule 5 (b) above, the parties shall also submit clear and readable soft (pdf) copies of all documents to the Centre.
Written copies of all communications from the Centre and the arbitral tribunal shall be sent to the address provided of the party or its representatives for whom such communications are intended. Such communication may also be delivered by registered post, courier, email, or any other means of telecommunication that provides a record of sending thereof.
Any communication shall be deemed to have been made on the day it is received by the party or its representative.

Request for Arbitration

A party applying for arbitration under these Rules shall:

Submit a Request for Arbitration in writing signed and/or sealed by the Claimant or its authorized representative(s), which shall, include.

the names and addresses of the Claimant and the Respondent, including the zip code, telephone, fax, email, or any other means of electronic telecommunications; a reference to the arbitration agreement that is invoked.
a statement of the facts of the case and the main issues in dispute.
the claim of the Claimant; and
the facts and grounds on which the claim is based.
Attach to the Request for Arbitration the relevant documentary and other evidence on which the Claimant’s claim is based.
Pay the arbitration fee in advance to CEMA according to its Arbitration Fee Schedule

Response to Request for Arbitration
1. Upon receiving a written application of a party, CEMA shall accept a case in accordance with an arbitration agreement concluded between the parties either before or after the occurrence of the dispute, in which it is provided that disputes are to be referred to arbitration by CEMA.
2. Upon receipt of a Request for Arbitration and its attachments, if after the examination, the Centre finds the formalities required for the arbitration application to be complete, it shall send a Notice of Arbitration to both parties together with one copy each of these Rules. The Request for Arbitration and its attachments submitted by the Claimant shall be sent to the Respondent under the same cover.
3. Where after examination the Centre finds the formalities required for the arbitration application to be incomplete, it may request the Claimant to complete them within a specified time period. The Claimant shall be deemed not to have submitted a Request for Arbitration if it fails to complete the required formalities within the specified time period. In such a case, the Claimant’s Request to the Centre for Arbitration shall not be taken into consideration.

Appointment and Confirmation of Arbitrators by CEMA

CEMA establishes a Panel of Arbitrators out of which the parties shall nominate arbitrators.
Where the parties have agreed to nominate arbitrators from outside CEMA’s Panel of Arbitrators, an arbitrator so nominated by the parties or nominated according to the agreement of the parties may act as arbitrator subject to the approval by the Centre and in accordance with the law.

Appointment of Sole Arbitrator

Where the arbitral tribunal is consisting of a sole arbitrator, the sole arbitrator shall be nominated by the Centre:
Within 30 days from the receipt of notice of arbitration, the parties shall collectively nominate an arbitrator or entrust the Centre to appoint the sole arbitrator.
The parties may each recommend one to five arbitrators as candidates for sole arbitrator and shall each submit a list of arbitrators recommended by them. In cases wherein there is just one common candidate in both lists, that candidate shall be finalized as arbitrator jointly nominated by the parties.
Where there is more than one common candidate on the lists, the Centre shall choose a single arbitrator out of the common candidates.
Where there is no common candidate in the lists, the sole arbitrator shall be appointed as per the Centre’s discretion.

Appointment of Three Member Arbitral Tribunal

Parties can opt for three arbitrator tribunal in case the same has been mentioned in the arbitration agreement. However, in case of absence of such a provision in the arbitration agreement, the parties can, with mutual consent, request the Centre for a three Arbitrator Tribunal.
Within 30 days from the date of receipt of the Notice of Arbitration, the Claimant and the Respondent shall each nominate, or entrust the Centre to appoint an arbitrator, failing which the arbitrator shall be appointed by the Centre.
Within 30 days from the date of the Respondent’s receipt of the Notice of Arbitration, the parties shall jointly nominate, or entrust the Centre to appoint the third arbitrator, who shall act as the presiding arbitrator.
The parties may each recommend one to five arbitrators as candidates for presiding arbitrator and shall each submit a list of recommended candidates within the time period specified in the preceding Rule 10 C. Where there is only one common candidate on the lists, such candidate shall be the presiding arbitrator jointly nominated by the parties. Where there is more than one common candidate on the lists, the Centre shall choose a presiding arbitrator from among the common candidates having regard to the circumstances of the case, and he/she shall act as the presiding arbitrator jointly nominated by the parties. Where there is no common candidate on the lists, the presiding arbitrator shall be appointed by the Centre.
Where the parties have failed to jointly nominate the presiding arbitrator according to the above provisions, the presiding arbitrator shall be appointed by the Centre.

CHAPTER 2 : MULTIPLE PARTIES

Joinder of Additional Parties

Wherein either party is willing to join an additional party to the arbitration, such party shall submit an application to the Centre for requesting the same (request for joinder).
The date of receipt of request for joinder by the Centre shall be deemed to be the date of the commencement of arbitration against the additional party.
The request for joinder shall include the following:
Case reference of existing arbitration;
Name, address and other contact details of each party, including the additional party.
All the information as specified under Rule 6.

Claims between multiple parties.

In an arbitration with multiple parties, Claims may be made by any party against any other party.
Any party making a claim pursuant to Rule 12(a) shall furnish all the relevant information as specified under Rule 6(a).

Claims arising out of Multiple Contracts

Claims arising out of or in connection with more than one contract may be made in a single arbitration, irrespective of whether such claims are made under one or more than one arbitration agreement under the Rules.

CHAPTER 3: CHALLENGE TO ARBITRATOR

Challenge to Arbitrator

The mandate of any Arbitrator(s) may be challenged under circumstances that give rise to justifiable doubts as to the Arbitrator’s impartiality or independence, or, if the arbitrator does not possess any requisite qualification on which the parties have agreed.
A party may challenge the arbitrator nominated by it only for reasons of which it becomes aware after the appointment has been made and not for some reason the party was aware of prior to the appointment of such Arbitrator.
Challenge procedure as provided in the Arbitration and Conciliation Act; 1996(as amended) shall mutatis mutandis
Mere association of an Arbitrator with CEMA shall not be a ground to challenge the Arbitrator.

Replacement of Arbitrators

Except otherwise mentioned in the Rules, in any event of death, resignation, withdrawal or removal of the arbitrator during an ongoing arbitration proceeding, a substitute arbitrator shall be appointed in accordance with Rule 8, 9 and 10.

The Centre may, at its own discretion, remove an arbitrator who refuses or fails to act or to perform his functions in accordance with the Rules or within prescribed time limits, or in the event of an impossibility of an arbitrator to act or perform his functions, or if the Arbitrator does not conduct or participate in the arbitration with due diligence and/or in a manner that ensures the fair, expeditious, economical and final resolution of the dispute. However, the Centre shall consult the parties and the members of the Tribunal, including the arbitrator to be removed, before replacement of Arbitrator/s.

Challenge to Arbitration Agreement / Jurisdiction.

CEMA shall have the power to determine the existence and validity of an arbitration agreement and its jurisdiction over an arbitration case. CEMA may, where necessary, delegate such power to the Arbitral Tribunal.
Where the Centre is satisfied by prima facie evidence that an arbitration agreement providing for arbitration by CEMA exists, it may make a decision based on such evidence that it has jurisdiction over the arbitration case, and the arbitration shall proceed. Such a decision shall not prevent CEMA from making a new decision on jurisdiction based on facts and/or evidence found by the arbitral tribunal during the arbitration proceedings that are inconsistent with the prima facie evidence.
Where the Centre has delegated the power to determine jurisdiction to the arbitral tribunal, the arbitral tribunal may either make a separate decision on jurisdiction during the arbitration proceedings or incorporate the decision in the final arbitral award.
An objection to an arbitration agreement and/or jurisdiction over an arbitration case shall be raised in writing before the first oral hearing is held by the arbitral tribunal. Where a case is to be decided on the basis of documents only, such an objection shall be raised before the submission of the first substantive defence.
The arbitration shall proceed notwithstanding an objection to the arbitration agreement and/or jurisdiction over the Arbitration case.
The aforesaid objections to and/or decisions on jurisdiction by CEMA shall include objections to and/or decisions on a party’s standing to participate in the Arbitration.
Where the Centre or the authorized arbitral tribunal decides that CEMA has no jurisdiction over an arbitration case, a decision to dismiss the case shall be made. Where a case is to be dismissed before the formation of the arbitral tribunal, the decision shall be made by the Centre itself. However, where the case is to be dismissed after the formation of the arbitral tribunal, the decision shall be made by the arbitral tribunal

CHAPTER 4 : INTERIM MEASURES

Interim Measures

The Arbitral Tribunal shall take any relevant interim measures as it sees fit or necessary in a given situation.
The arbitral tribunal shall take relevant interim measures for protection or conservation of any property or for disposition of perishable goods that are involved in or related to the dispute.
Any such interim measures taken by the arbitral tribunal shall take the form of an arbitral award.
The parties may also request the arbitral tribunal to order any interim measure it deems necessary in accordance with the applicable law, and the tribunal shall require the requesting party to provide appropriate security in relation to such measure.

CHAPTER 5 : EMERGENCY ARBITRATOR

Emergency Arbitrator

A party that needs interim measures on an urgent basis and cannot await the formation of an arbitral tribunal may make an application requesting such emergency measures and for the appointment of emergency arbitrator for the same.
The order passed by the emergency arbitrator shall be binding upon the parties, however, the same shall not be binding upon the arbitral tribunal with respect to any disputed issue.
The arbitral tribunal shall decide upon any party’s requests or claims related to the emergency arbitrator proceedings, including the reallocation of the costs of such proceedings and any claims arising out of or in connection with the compliance or non-compliance with the order.
A party wishing to have recourse to an Emergency Arbitrator pursuant to Chapter 4 of the Rules, shall submit its Application for Emergency Arbitrator to the Centre.
The Application shall be supplied in a number of copies sufficient to provide one copy for each party, plus one for the emergency arbitrator, and one for the Centre.
The Application shall contain all contents mentioned in Rule 6(a) of the Rules along with the reason why the applicant needs to resort to emergency arbitration.
The applicant must submit the request for arbitration within 15 days from the receipt of Application for Emergency Arbitration, otherwise such application shall stand terminated.

CHAPTER 6 : CONDUCT OF ARBITRATION

Mode of Conducting Arbitrations

The Mode of conducting Arbitration under the CEMA Rules shall be in person/online/hybrid or as otherwise agreed between the parties.

Seat of Arbitration

The seat of arbitration shall be what is mentioned in the contract between parties. If the parties have not agreed on the seat of arbitration, the seat of arbitration shall be decided by the Centre. The Award shall be deemed to have been made at the seat of Arbitration.

Language of Arbitration

Unless otherwise agreed by the Parties or the Arbitral tribunal, the language of conducting the Arbitration proceedings under these Rules shall be decided by the Centre upon due consideration of the details as disclosed in the written request for Arbitration.

Rules governing Arbitration Proceedings

All arbitration proceedings being conducted within the purview of the Centre shall be taking place in accordance with the rules of the Centre. However, the parties may modify or waive any provisions of the rules, subject to the agreement of both parties, the arbitral tribunal, along with the consent of the Centre.

Transmission of the file to the Arbitral Tribunal

The Centre shall transmit the file to the arbitral tribunal as soon as it has been constituted, provided the advance on costs requested by Centre at this stage has been paid.

Hearings
Unless the parties have agreed on a documents-only arbitration or as otherwise provided in these Rules, if any party so requests at an appropriate stage of the proceedings, the Arbitral Tribunal shall hold hearings for the presentation of evidence by witnesses, including expert witnesses, or for oral arguments. Wherein such agreement is absent between the parties, the tribunal has the discretion to decide whether evidence by witness may be permitted during the hearing or only documentary evidence may be provided.
In the event of a hearing, the Arbitral Tribunal shall, after consultation with the parties, give the parties adequate advance notice of the date, time and place.
Witnesses, including expert witnesses, may be heard under the conditions and examined in the manner set by the Arbitral Tribunal.
If either of the parties fails to secure its presence at the hearing without informing of valid reason for such failure, the tribunal shall decide on the basis of pleadings and evidence before it.

Arbitration in absence of a party or representative

The arbitration may proceed in the absence of any party or representative who, after due notice, fails to be present or fails to obtain a postponement. An award shall not be made solely on the default of a party. The arbitrator shall require the party who is present to submit such evidence as the arbitrator may require for the making of an award.

Witnesses and Experts

This Rule is applicable with respect to any fact or expert witness on whose evidence either party and arbitral tribunal relies.
Either parties appointing an expert or witness shall give a written notice to the arbitral tribunal, containing the identity of each expert witness, as well as the subject matter of the expert’s testimony, and it’s relevance to the issues involved in arbitration. Such written notice shall be given to the arbitral tribunal before any hearing.
The testimony of the expert witness shall be submitted in written format, either as a signed statement or as a document.
The Arbitral Tribunal and any party may request that an expert or a witness, on whose written testimony another party relies, should attend for oral questioning at a hearing before the Arbitral Tribunal. If the Arbitral Tribunal orders that other party to secure the attendance of that witness and the witness refuses or fails to attend the hearing without good cause, the Arbitral Tribunal may place such weight on the written testimony or exclude all or any part thereof altogether, as it considers appropriate in the circumstances.

Closing of the proceedings and Submission of Draft Awards

As soon as possible after the last hearing concerning matters to be decided in an award or the filing of the last authorized submissions concerning such matters, whichever is later, the arbitral tribunal shall declare the proceedings closed with respect to the matters to be decided in the Award.
After the proceedings are closed, no further submission or argument may be made, or evidence produced, with respect to the matters to be decided in the award, unless requested or authorized by the Arbitral Tribunal.

CHAPTER 7 : ARBITRAL AWARD

Time Limit for Final Award.

The time limit within which the arbitral tribunal must render its final award is 12 months from the date of entering into reference by an Arbitral Tribunal.

Making of the Award

When the arbitral tribunal consists of three arbitrators, an award is made by a majority decision. In case of failure to achieve majority, the award shall be made by the presiding arbitrator of the arbitral tribunal alone.
The award shall state the reasons upon which it is based.
The award shall be deemed to be made at the place of the arbitration and on the date stated therein.

Modification of the Award

Either party may, within 30 days after the issuance of the arbitral award, file a notice to the other party and request the Arbitral Tribunal as well as the Centre, to modify any computational or typographical errors in the Arbitral Award.
The party shall not request, nor such a request shall be entertained, for any modification in the merits of a claim already decided by the tribunal.
Any such request for the modification of the arbitral award shall not be entertained and shall stand terminated, if not filed within 30 days after the issuance of the Arbitral Award.

Partial Award

Where the arbitral tribunal considers it necessary, or where a party so requests and the arbitral tribunal agrees, the arbitral tribunal may render a partial award on any part of the claim before rendering the final award. A partial award is final and binding upon both parties. However, failure of either party to implement a partial award shall not affect the arbitration proceedings, nor prevent the arbitral tribunal from making the final Award.

Award by Consent

In case both parties reach a point of settlement after filing an application for arbitration to the Centre, the settlement shall be recorded in the form of an arbitral award made by consent of both parties, if the same is agreed to by the parties and by the arbitral tribunal.

Notification, Deposit and Enforceability of the Award

After the formation of the final award, the Centre shall notify the parties, the text signed by the arbitral tribunal, provided the costs of the arbitration have been paid in full by either party or by both parties.
An original copy of each award made in accordance with the Rules of the Centre shall be deposited with the Centre.
The arbitral tribunal and the Centre shall assist the parties in complying with whatever further formalities may be necessary.
Every award shall be binding on the parties. By submitting the dispute to arbitration under the Rules, the parties undertake to carry out any award without delay.

Correction of the Award

If need arises, any party may file an application to the Centre for correction of a clerical, computational or typographical error, or any similar error, within 15 days of the receipt of the award.

Interpretation of Award

Wherein, either parties require a clarification or interpretation of an award issued, the parties shall make an application to the Centre for the same within 15 days of receiving the award. A decision to interpret the award shall take the form of an addendum and shall constitute a part of the award.

Limitation of Liability

The parties jointly and severally release, discharge and indemnify the arbitrator/s and the CEMA in respect of all liability whatsoever, whether involving negligence or not, from any act or omission in connection with or arising out of or relating in any way to any Arbitration conducted under these Rules, save for the consequences of fraud or dishonesty.

CHAPTER 8: EMPANELMENT AS ARBITRATOR WITH CEMA

Qualifications

Any person willing to be empaneled as an arbitrator with the Centre shall have the following qualifications:
Any person willing to be empaneled as an arbitrator with the Centre shall have the following qualifications:

Should have experience of an arbitral proceeding as an arbitrator or/and as an appearing counsel/representative in minimum 5 (Five)arbitration matters/reference , or
Should be an eminent professional having minimum 20 years’ experience in judicial, administrative or a relevant technical field.
It shall be the discretion of the trustees to admit or reject an application for empanelment as arbitrator.

Membership of person

Any person who is not fulfilling the criterion as mentioned here in above referred clause can also become a member subject to approval by the trustees and also after undergoing the training being provided for Arbitrators.

CHAPTER 9: FEE & EXPENSES

Fee and Expenses

Fee and Expenses payable to the Arbitrator appointed under these rules shall be in accordance with Fourth Schedule to the Arbitration & Conciliation Act 1996.
Administrative and other expenses for holding meetings by the arbitral tribunal appointed under these rules shall be in accordance with the rates notified by the centre CEMA, from time to time to be published on the website.

CHAPTER 10: ONLINE DISPUTE RESOLUTION

Virtual Platform

CEMA will be using Zoom / Webex as the virtual platform for conducting Arbitrations in Online/Virtual Mode. In case of shift to any other platform, the same shall be notified on our website.

Recording of Proceedings

The Tribunal can record the video conference after getting due consent in writing from both the parties in the preliminary meeting.
The recording shall be kept confidential and will not be circulated to anyone.
No party or witness is allowed to record the video conference and due legal action shall be taken if it is found out that any recording was being done in an unauthorized manner by any party or otherwise.

Technical Requirements for Online/Hybrid Hearings

It has to be ensured that the internet connection is stable, and the parties and witnesses need to ensure that they check their internet connectivity before the virtual conference.
The parties need to have adequate hardware support to ensure that video as well as audio quality is clear.

Witness Examination in Online/Hybrid Hearings

The witness who is to be examined will be required to keep his/her video camera turned on throughout his examination.
The setup of the video camera should be such that the witness is clearly visible and also the interiors of room in which he is seated are also visible as a whole.
It needs to be ensured that there is no one present in the room with the witness, except that may be permitted by the CEMA rules or the arbitral tribunal as the case may be.
The arbitral tribunal may adopt the detailed procedure as framed by CEMA or as directed by the Arbitral Tribunal to maintain full transparency and fairness.
The witness can be shown documents which are part of record through ‘screen sharing’ option (if needed).

Pleadings and Documents filing before the Centre.

All pleadings and documents pertaining to the case/arbitration reference/mediation shall be provided to the centre both in soft copies as well as hard copies in clearly legible form and with necessary translations, if so required and as may be required from time to time by notifications/office memos as published on the website of CEMA.

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