Practice of Law as an Arbitrator

The Summary Conduct of Commercial Arbitration Proceedings Rules, 2019

Chapter No.	Particulars	Page Number
1	Applicability of Rules
2	Commencement of Arbitration
3	Appointment of Arbitrators
4	Challenge to Jurisdiction of Arbitrator
5	Interim Reliefs
6	Pleadings
7	Failure to File Pleadings
8	Personal Hearings
9	Passing of Award
10	Arbitrator’s Fee
11	Powers of Arbitrator
12	Service and Notice of Arbitration proceedings
13	Protection of action to Arbitrator
14	Presumption of Waiver
15	Misc. Provisions
16	Draft - Form “A” Formal Request to Arbitrator
17	Draft - Form “B” Consent or Refusal by Arbitrator
18	Draft - Form “C” Disclosure Statement by Arbitrator
19	Draft - Form “D” Notice u/s 21 of the Act, 1996
20	Draft - Form “E” Statement of Claim
21	Draft - Form “F” Reply by Respondent
22	Draft - Form “G” Written Arguments by Claimant
23	Draft - Form “H” Written Arguments by Respondent

Chapter 1

Applicability of the Rules

Rule 1: These Rules have been framed in the due exercise of powers conferred u/s 2(4) of the Arbitration and Conciliation Act, 1996, hereinafter referred to as the said Act.

Rule 2: These Rules may be called as “The Summary Conduct of Commercial Arbitration Proceedings Rules, 2019”, “the SCCAP Rules” for hereinafter referred to as these Rules. These Rules shall come into effect on and from 01.10.2019. The Rules may change from time to time.

Rule 3: These Rules shall apply to such Arbitration proceedings where one of the party to the Arbitration Agreement, invokes the Arbitration Clause / Agreement; and makes a formal request to the “Sole Arbitrator” to act as an Arbitrator; and pursuant thereto, the said Sole Arbitrator, after perusal of the concerned Arbitration Agreement, gives his consent in writing and makes a formal Disclosure as required under the said Act. The formal request shall be made in Form A; the Consent or Refusal shall be communicated in Form B, and Statement of Disclosure shall be communicated in Form C. The Sole Arbitrator shall mean Arbitral Tribunal consisting of Single Member being ___________, Advocate, ________ / Mumbai.

Rule 4: The Parties to the Arbitration proceeding shall be deemed to have agreed to abide by these Rules, unless the concerned Arbitration Agreement between the Parties provide for Rules of Procedure for the Conduct of Arbitration proceedings. In cases where there is any direct inconsistency between these Rules and Rules of concerned Arbitration Agreement, the Rules of Arbitration Agreement shall prevail; and in cases where there are no Rules of Procedure in the concerned Arbitration Agreement as to dealing with any situation, then, these Rules shall apply; and the Dispute between the Parties shall be decided, without recording of Evidence, and in accordance to the parameters and principles laid down for Resolution of Commercial Disputes, under Order XIII-A of the Civil Procedure Code, 1908.

Rule 5: The Arbitration Proceedings shall be governed by applicable laws in force in India.

Rule 6: The place of Arbitration shall be in Mumbai, at the office of the Arbitrator, unless otherwise agreed between the parties, as to the mutual convenience of the parties and the Arbitrator.

Rule 7: These Rules shall be interpreted in the manner as perceived in common English language; and by applying elementary rules of interpretation of law. All the provisions of Arbitration and Conciliation Act, 1996, shall be deemed to be part and parcel of these Rules; and in the event of any direct inconsistency between these Rules and provisions of Arbitration and Conciliation Act, 1996, if the said Act permits relaxation / deviation, then these Rules shall apply, or otherwise, the provisions of said Act shall apply.

Chapter 2

Commencement of Arbitration Proceedings (Section 21)

The Position of Law

Commencement of Arbitration Proceedings: Notice to opposite Party, thereby invoking Arbitration Proceedings (Section 21); [The issue of Limitation, Section 43, subject to Section 2(4)]

The Arbitration proceedings are commenced by issuing Notice to the proposed Respondent u/s 21, by informing him/it that, in view of certain “disputes” which have arisen, Arbitration Clause is invoked.

The Notice may be delivered personally to the Respondents, or may preferably be sent by Regd. Post / Speed post at his place of business, habitual residence or mailing address, and if none of the places referred to hereinbefore can be found after making a reasonable inquiry, the Notice may be sent to Respondent’s last known place of business, habitual residence or mailing address, by registered letter or by any other means which provides a record of the attempt to deliver it.

If we examine Section 2(4) of the said Act, we will find that – whereas Section 43 of the Act expressly provides that Limitation Act is applicable with reference to adopting of Arbitration proceedings, nevertheless Section 43 is subject to the provisions of Section 2(4), wherein Section 2(4) recognizes the sanctity of the provisions of any other enactment and restricts the application of Section 43 to that enactment.

Commencement of Arbitration proceedings; Compliance to conditions, if any,

Unless agreed by the parties as to any other mode, the arbitral proceedings in respect of a particular dispute, commences on the date on which a request for that dispute to be referred to arbitration is received by the Respondent. (Section 21 of Arbitration & Conciliation Act, 1996)

Limitation period

1. The Arbitration must be invoked within the period prescribed under the applicable article contained in Schedule appended to Limitation Act, 1963; or if any shorter period is provided under the Arbitration Clause.

2. If the Arbitration Agreement / Clause provide that Arbitration proceeding must be initiated within certain period, and the Claimant fails to invoke Arbitration within that time period, then, the applicable Suit may be filed thereafter within such time as provided under the applicable article of Limitation Act, 1963.

2. Accrual of “cause of action” to invoke Arbitration Proceedings

The cause of action arises on the date on which the aggrieved has a right to move the court of law or to adopt any other legal proceeding, for redressal of his grievance, although the aggrieved person may choose not to move the court of law or to adopt any legal proceeding, immediately, and he may prefer to redress his grievance by resorting to any other legal means.

The Section 21 Notice may state the name of the Arbitrator being appointed; or the Arbitrator may be appointed after issuance of said Notice.

By virtue of extensive amendments made in the said Act in the year 2016, Section 9 of the Act is amended whereby if any Order of Interim measure of protection has been passed by the Court prior to the commencement of the arbitration proceedings, then, the arbitration proceedings must commence within a period of 90 days from the date of such order or at such further time as the court may direct.

Rule 8: Section 21 Notice may be issued in Form D, with such changes as the Party invoking it, thinks necessary.

Chapter 3

Appointment of Arbitrators

Application before concerned High Court [S.2(e)] to Appoint Arbitrators, if situation so demand (S.11)

The Position of Law:

The Arbitrator may be appointed in accordance to the terms of the Arbitration Clause / Agreement; and if the Parties fails to reach to any consensus as to the appointment of an Arbitrator, one of the party has to move the concerned High Court of law for the appointment of an Arbitrator, by making Application u/s 11 of the said Act.

By virtue of extensive amendments made in the Act in the year 2016, Section 11 is substantially amended whereby the authority to appoint Arbitrator is now vested in the Supreme Court, and in the High Courts, instead of respective Chief Justices, as it was before the amendments. Further, in this jurisdiction, the scope of inquiry for the Supreme Court and High Courts is confined to the examination of the existence of an arbitration agreement between the parties therein. Now it is also provided that Application for appointment of Arbitrator must be disposed of as expeditiously as possible and effort should be made by Supreme Court and High Courts to dispose of the said Application within a period of 60 days from the date of service of notice to the opposite party. It is also provided that no appeal, including Letters Patent Appeal, would lie against the decision of the Supreme Court and High Courts u/s 11.

Section 12 of the Act is amended whereby it is provided that when an Arbitrator is approached for his possible appointment as an Arbitrator, he must disclose in writing (a) the circumstances, if any, which are likely to give rise to justifiable doubts regarding his independence or impartiality; or (b) grounds which may affect his ability to complete the arbitration within 12 months. The amendments have specified an elaborate list of grounds in Fifth Schedule which would guide in determining whether circumstances exist which gives rise to justifiable doubts as to the independence or impartiality of the arbitrator, and if any of these grounds apply, the arbitrator is required to make disclosure in writing, in a format specified in Sixth schedule. Section 12 further provides that a person would be ineligible to be appointed as an Arbitrator if he happens to have relationship with the parties or the Counsel therein or with the subject matter of the dispute and he falling in any of the categories specified in the Seventh Schedule. Parties can however waive such “ineligibility” by express agreement in writing after the disputes have arisen.

The amendments are applicable to Arbitration proceedings which have commenced on or after 23.10.2015, or, the parties may agree to the applicability of the amendments to their pending proceedings. Arbitration proceeding commences when a Notice is given by the Claimant u/s 21 of the Act, to the Respondent, informing that whereas “disputes” have arisen, Arbitration Clause is invoked.

Rule 9: Any person desirous of appointing Sole Arbitrator, as an Arbitrator, for the resolution of dispute, which have arisen, may make a formal request to said Arbitrator, in the prescribed Form “A1”, to be sent by Email in PDF Format.

Rule 10: In cases where there is no Arbitration Agreement or in cases where the Arbitration Agreement provides for Consent of both the parties to the Arbitration Agreement, for the Appointment of an Arbitrator, the Form “A2” shall be sent by both the Parties.

Rule 11: After receipt of aforesaid Email, and after perusal of the said Email and the perusal of the contents of said Form “A”, the said Arbitrator may Consent or may refuse to act as an Arbitrator; and within 7 days of receipt of such Email, any such Consent or Refusal shall be communicated to both the Parties by Email in PDF Format. [Form “B”]

Rule 12: If the said Arbitrator accord his Consent, he shall simultaneously send, by Email in PDF Format, the Statement of Disclosure, in accordance to Section 12(1)(b) read with Sixth Schedule of the Arbitration and Conciliation Act, 1996, to both the parties. [Form “C”]

Rule 13: The Arbitrator shall be deemed to have entered into the “Reference/Dispute”, the day on which he communicates his Consent.

Chapter 4

Challenge to jurisdiction of Arbitrators (Section 16)

The Position of Law

Where jurisdiction of the Arbitrator / Arbitral Tribunal is challenged, the Arbitrator / Arbitral Tribunal are competent to decide as if they have jurisdiction to decide the subject matter of dispute presented before it.

Section 16 of the Act provides that arbitral tribunal / Arbitrator is empowered to decide whether it / he has jurisdiction to decide the nature of dispute between the parties which have been referred before it. The Section says that –

(1) The arbitral tribunal may rule on its own jurisdiction, including ruling on any objections with respect to the existence or validity of the arbitration agreement, and for that purpose -

(a) an arbitration clause which forms part of a contract shall be treated as an agreement independent of the other terms of the contract; and

(b) a decision by the arbitral tribunal that the contract is null and void shall not automatically entail the invalidity of the arbitration clause.

(2) A plea that the arbitral tribunal does not have jurisdiction shall be raised not later than the submission of the statement of defense; however, a party shall not be precluded from raising such a plea merely because that he/it has appointed, or participated in the appointment of an arbitrator.

(3) A plea that the arbitral tribunal is exceeding the scope of its authority shall be raised as soon as the matter, alleged to be beyond the scope of its authority, occasions.

(4) The arbitral tribunal may, in either of the cases referred hereinbefore, in sub- sections (2) (3), admit a later plea, if it considers the delay justified.

(5) The arbitral tribunal shall decide on a plea referred to in sub sections (2) or (3) and, where the arbitral tribunal takes a decision rejecting the plea of want of jurisdiction, would continue with the arbitral proceedings and would be empowered to make an arbitral award.

(6) A party aggrieved by such an arbitral award may make an application for setting aside such an arbitral award in accordance with section 34 of the said Act.

Where in case the Arbitrator / Arbitral Tribunal accepts the plea that it has no jurisdiction, the aggrieved party may prefer an Appeal u/s 37 of the Act, before such Court who are authorized by law to hear Appeals from original decrees of the Court passing the Order.

Rule 14: Any Party may challenge the jurisdiction of the said Arbitrator on such grounds as he/it thinks fit, within 15 days from the date of receipt of first Notice, of intimation to said Party about said Arbitrators’ Appointment as an Arbitrator. The Notice of such challenge shall be communicated by Email in PDF Format to said Arbitrator, with the copy of said Email to All other litigating parties, setting out therein the grounds for such challenge.

Rule 15: The said Arbitrator, or receipt of aforesaid Notice, within 15 days, shall decide whether it is competent for him to enter upon the Reference and decide the dispute between the parties; and shall communicate his decision accordingly to both the parties, by Email in PDF Format; and shall proceed in accordance to law.

Chapter 5

Interim Reliefs

The Position of Law

Application before concerned Court [S.2(e)] or before the Arbitral Tribunal itself, for Interim Relief, if any (S.9, 17).

A Claimant or even the Respondent, at any stage of the Arbitration proceedings, even may be before initiating Arbitration proceedings, may apply before the competent Court of jurisdiction, for an interim measure of protection for the preservation, interim custody or sale of any goods which are the subject-matter of the arbitration agreement; or for securing the amount in dispute in the arbitration; or for the detention, preservation or inspection of any property or thing which is the subject-matter of the dispute in arbitration, or as to which any question may arise therein and authorizing for any of the aforesaid purposes any person to enter upon any land or building in the possession of any party, or authorizing any samples to be taken or any observation to be made, or experiment to be tried, which may be necessary or expedient for the purpose of obtaining full information or evidence; or may ask for interim injunction or the appointment of a receiver; or for any other interim measure of protection as may be just and necessary in the factual backdrop of the circumstances.

And the concerned Court has all the same powers for making orders as it has, for the purpose of, and in relation to, any proceedings before it.

This Application for Interim measure must be made before the enforcement of any Award which is passed. However, in view of recent Arbitration Amendment of 2019, from the effective date of its operation, this position of law is sought to be taken away.

The said Application for Interim measure of protection may also be made before the Arbitrator /Arbitral Tribunal, and the said Tribunal is equally empowered to grant such reliefs which the concerned Court is otherwise empowered to grant.

Any party aggrieved by the grant or refusal to grant of said Interim Reliefs by Court or by Arbitral Tribunal, may prefer an Appeal u/s 37 of the Act, before such Court who are authorized by law to hear Appeals from original decrees of the Court passing the Order.

By virtue of extensive amendments made in the Act in the year 2016, Section 9 of the Act is amended whereby if any Order of Interim measure of protection has been passed by the Court prior to the commencement of the arbitration proceedings, then, the arbitration proceedings must commence within a period of 90 days from the date of such order or at such further time as the court may direct. The Section 9 now places the position of Arbitrator on the same pedestal as that of the Court in so far granting Interim measures of protection is concerned. Section 9 says that once the arbitral tribunal has been constituted, court would not entertain any Application for interim measure, unless the court finds that having regard to circumstances, the remedy provided u/s 17 of the Act (Powers of the Arbitral Tribunal to grant Interim Reliefs) may not be efficacious; and accordingly Section 17 is amended whereby it is deemed that Interim Orders passed by the Arbitral tribunal are regarded as Orders of the Court for all purposes and are enforceable in the same manner as if it were an Order of the Court. Further, Section 17 lists the nature of Interim Reliefs which can be granted by the Arbitral Tribunal.

Rule 16: Any of the Party desirous of obtaining any Interim measure of protection / Reliefs, shall file a separate Application in this behalf, setting out therein the Interim measures of protection it want; and shall set out the facts and circumstances warranting such urgent Interim measures of protection / Reliefs; with the copy of Statement of Claim and the Interim Application being duly served upon the Respondent Party. The proof of service of such Statement of Claim and said Interim Application be also filed before the Arbitrator.

Rule 17: The Arbitrator, having due regard to facts and circumstances, and in exceptional circumstances, and after recording of special reasons, may grant ex-parte Interim Reliefs, on such conditions as it may think fit; and shall issue Notice to the Respondent to file its Reply within 15 days from the receipt of said Notice. In cases where ex-parte Interim Reliefs are not warranted, the said Arbitrator shall issue Notice to the Respondent to file its Reply to said Application within 15 days from the receipt of said Notice. The Claimant shall be entitled to file Rejoinder to the Reply filed by the Respondent, within 15 days from the receipt of any Reply filed. The Arbitrator, on completion of Pleadings in that Interim Application, may call for the Personal Hearing for the same, or may call Hearing electronically with the aid of any appropriate Video Conferencing Platform.

Rule 18: The Arbitrator shall have powers to vary or set aside the Interim Orders passed by it.

Chapter 6

Pleadings

Statement of Claim and Defense by rival parties (Section 23)

The Position of Law

Within the period of time agreed upon by the parties or determined by the arbitral tribunal, the claimant shall state the facts supporting his claim, the points at issue and the relief or remedy sought, and the respondent shall state his defense in respect of these particulars, unless the parties have otherwise agreed as to the required elements of those statements.

The parties may submit with their statements, all documents they consider to be relevant or may add a reference to the documents or other evidence they will submit.

By virtue of extensive amendments made in the Act in the year 2016, Section 23 of the Act is amended whereby now it is possible for the Respondent adversary to put up a Counter Claim or may plead set off, if the same falls within the scope of Arbitration Agreement. The amendments are applicable to Arbitration proceedings which have commenced on or after 23.10.2015, or, the parties may agree to the applicability of the amendments to their pending proceedings.

By virtue of amendments made in the Act in the year 2019, Sub-Section (4) is added to Section 23, whereby it is provided that the statement of claim and defence under this section shall be completed within a period of six months from the date the arbitrator or all the arbitrators, as the case may be, received notice, in writing, of their appointment.

Rule 19: The Arbitrator at the time of according his Consent to act as an Arbitrator, shall intimate the Claimant to file his/its Statement of Claim in prescribed Form “E”, within 15 days from the receipt of such intimation. In cases where the Claimant is a juristic entity, the Statement of Claim must be accompanied by the Resolution passed by the said juristic entity of the factum of Appointment of Arbitrator. The said Statement of Claim shall be filed by Email in PDF format. The Claimant shall file Statement of Claim along with prescribed Arbitrator’s fee; and no Claim shall be proceeded further unless the whole of the prescribed fee is duly paid.

Rule 20: On receipt of said Statement of Claim, the said Arbitrator shall call upon the Claimant to remove office objections, if any, within 7 days. After removal of any such office objections, the Claimant shall file revised Statement of Claim by Email in PDF format.

Rule 21: On receipt of Revised Statement of Claim, within 3 days, Arbitration Case Number will be allotted; and accordingly will be intimated to the Claimant by Email in PDF Format. The said Revised Statement of Claim shall be filed by Email in PDF format; with the proof of service of said Statement of Claim duly Numbered, being duly served upon the Respondents. No physical copies are to be served, neither upon the Respondents, nor upon the Arbitrator.

Rule 22: On receipt of Revised Statement of Claim, the Arbitrator shall call upon the Respondent to file their Reply to such Statement of Claim, within 30 days. The Reply shall be supported by Affidavit and Verification Clause, as provided under Order VI Rule 15 of the Code of Civil Procedure, 1908. All Pleadings / Affidavits shall be affirmed by digital signature of the deponent, in accordance with the procedure set out in the E-filing recently introduced before Hon’ble Supreme Court of India. The relevant Clauses of the said E-filing User’s Manual are reproduced hereinafter. The Reply shall deal with all the material facts alleged in the Statement of Claim; and failure to answer any material fact, may be construed as an admission of fact by the Respondents. The Reply may contain such statements as indicated in the Form “F”. The Arbitrator’s intimation to Respondents to file Reply shall be by Email in PDF Format and Whatsapp communication. The Reply shall be sent / filed by Email in PDF format, with the proof of service of said Reply being duly served upon the Claimant. No physical copies are to be served, neither upon the Claimant, nor upon the Arbitrator.

Rule 23: The Claimant may file additional Statement of facts, dealing with contentions and facts alleged by the Respondents, within 15 days from the receipt of Reply from Respondents.

Rule 24: No further pleadings shall be permitted thereafter. However, the Arbitrator, at any stage of the proceeding, would be empowered to direct any party before it, to disclose / divulge any information or may seek clarification, on Affidavit or otherwise; or to direct any party before it, to place on record any document, which in the opinion of the Arbitrator is necessary to decide the dispute before it; and the parties before it are bound to furnish such information and / or disclose documents called for, unless the document falls under the protection of Intellectual property rights, or where any party is entitled to withhold the same under any provision of law. During the course of Personal or Video Conferencing Hearing, any of the parties may tender / file a short Application in the nature of Interrogatories”, wherein they may call upon the respective adversary to answer certain specific question / query, or may call upon the adversary to produce any certain document; and the Arbitrator may direct any such party before it, to answer the question / query, and / or produce said document.

Rule 25: In case where the Respondents neglect or fails to file its any Reply, including Reply to any Interim Application, in the stipulated period, the Arbitrator may issue Notice upon the said Respondents, to call upon it to file their Reply forthwith, within 15 days, failing which the Arbitrator shall have right to proceed with the Arbitration proceedings, and pass appropriate Order / Award in accordance with law. The said Notice shall be sent by Email in PDF Format, Whatsapp communication.

Rule 26: All Statement of Claim, Reply, additional statement of facts, any other Affidavits shall be affirmed by digital signature of the deponent, in accordance with the procedure set out in the E-filing recently introduced before Hon’ble Supreme Court of India. The relevant Clauses of the said E-filing User’s Manual are reproduced hereinafter.

Rule 27: The Parties to the Arbitration Agreement would be the parties to the Arbitration proceedings. The Parties would include those parties who are assignee of main contract (under which Arbitration agreement was entered into).

Rule 28: The Arbitrator, on completion of aforesaid Statement of Claim, Reply, if any, and additional Statement of facts, if any, may close the Pleadings; and may call for the Personal Hearing of the Dispute. The Hearing may also take place electronically with the aid of any appropriate Video Conferencing Platform.

Rule 29: Extension of time: The time may be extended for doing of any act, for reasons being shown by the concerned party, and upon reasonable costs as may be imposed upon the party seeking extension of time. The repeated extension of time shall not be permitted if the Arbitrator is of the opinion that the party applying for extension of time, has no justifiable grounds to claim extension of time; and the party is needlessly prolonging the litigation process. The Arbitrator, in the interest of justice, shall be within his powers to accept any Pleadings or any other proceedings, beyond the prescribed period; and the adversary shall have no right to object to any such delayed filings.

Rule 30: In cases where despite extension of time, any of the Party neglects or fails to file any Pleadings, Affidavits, etc, as called upon or otherwise, it shall be deemed that the said Party have waived their rights to file any such Pleadings, etc.; and the Arbitrator shall have right to proceed with the Arbitration proceedings, and pass appropriate Order / Award in accordance with law.

Rule 31: Inspection of original documents: Each party shall give inspection of original documents relied upon by it, to their adversary, within 7 working days from the date of request made by the said adversary. Any such request for inspection of original documents must be made by Parties within 15 days from the date of receipt of copies by Email, whose inspection is called for. Any party disputing the genuineness or the alleged execution of any document, shall state their such objections in their Reply or in additional Statement of facts, setting out what is disputed and reasons thereof.

Rule 32: The Claimant and the Respondents shall state in their Pleadings, their communication address, their functional Email Id, and their functional Mobile Numbers. Any change in Email Id or Mobile Number must be communicated forthwith to all the litigating parties, and to the Arbitrator

Rule 33: The language of the Pleadings and all other filings shall be in English. All documents relied upon by the parties must be legible and readable; and if are not in English language, the respective Party shall furnish English translation of the same.

Chapter 7

Failure to File Pleadings

Default of any party during Arbitration proceedings (Section 25)

The Position of Law

Unless otherwise agreed by the parties, where without sufficient cause being shown, the claimant fails to communicate his statement of claim in accordance with sub- section (1) of section 23, the arbitral tribunal shall terminate the proceedings; or where the Respondent fails to communicate his statement of defense in accordance with sub- section (1) of section 23, the arbitral tribunal shall continue the proceedings without treating that failure in itself as an admission of the allegation made by the claimant; or where a party fails to appear in an oral hearing or to produce documentary evidence, the arbitral tribunal may continue the proceedings and make the arbitral award on the basis of evidence and material before it.

By virtue of extensive amendments made in the Act in the year 2016, section 25 of the Act is amended whereby now it is provided that in case if there was a default on the part of Respondent to file his statement of defense within the time agreed upon or within the time granted by the Arbitral Tribunal, the Arbitral Tribunal would have the discretion to treat the right of the Respondent to file such statement of defense as being forfeited. The amendments are applicable to Arbitration proceedings which have commenced on or after 23.10.2015, or, the parties may agree to the applicability of the amendments to their pending proceedings.

Rule 34: In case where any of the Party neglect or fails to file its any Reply, including in any Interim Application, any other Affidavit, in the stipulated period, the Arbitrator may issue Notice upon the said Party / Respondents, to call upon it to file their Reply / Affidavit forthwith, within 15 days, failing which the Arbitrator shall have right to proceed with the Arbitration proceedings, and pass appropriate Order / Award in accordance with law. The Arbitrator, may again issue a Notice calling upon the concerned Party to file their Reply / Affidavit. Both the Notices shall be sent at Email in PDF Format, Whatsapp number.

Rule 35: In cases, during the course of Hearing, where any of the Parties neglect or fails to act upon the directions of the Arbitrator, the Arbitrator may issue Notice upon the said Party, to act / comply upon the such Direction forthwith, within 15 days, failing which the Arbitrator shall have right to proceed with the Arbitration proceedings, and pass appropriate Order / Award in accordance with law. The Notice shall be sent at Email in PDF Format, Whatsapp number.

Chapter 8

Personal Hearings / Video Conferencing Hearings

Hearing and Written Proceedings (Section 24)

The Position of Law

The procedure to be followed in Arbitration proceedings

1. As may be decided by Parties to the Arbitration Agreement (S.19); or

2. Failing any Agreement, the Arbitrators would decide (S.19); or

3. Procedure prescribed under Institutional Arbitration, to which Parties have submitted their dispute to; or

4. The procedure as set out in any Statutory Arbitration, the sanctity of which is preserved u/s 2(4) of the Act, 1996, in so far as the statutory procedure is not inconsistent with the Act of 1996.

Further,

a) Experts may be appointed by Arbitrators / Arbitral Tribunal during Arbitration proceedings (S.26)

b) The Arbitrators may take the assistance of the Court in taking evidence of the witnesses and parties before it (S.27)

c) The law which would be applicable to the substance of the dispute (S.28)

d) The law which would be applicable for the conduct of the Arbitration proceedings (S.19)

e) The Arbitrator / Arbitral Tribunal shall secure equal treatment of parties before it. (S.18)

f) In order to facilitate the conduct of the arbitral proceedings, the parties, or the arbitral Tribunal with the consent of the parties, may arrange for administrative assistance by a able institution or person. (S.6)

By virtue of extensive amendments made in the Act in the year 2016, Section 24 of the Act is amended whereby now it is further provided that the arbitral tribunal shall, as far as possible, hold oral hearings for the presentation of evidence or for oral argument on day-to-day basis, and not grant any adjournments unless sufficient cause is made out, and may impose costs including exemplary costs on the party seeking adjournment without any sufficient cause.

Further, section 25 of the Act is amended whereby now it is provided that in case if there was a default on the part of Respondent to file his statement of defense within the time agreed upon or within the time granted by the Arbitral Tribunal, the Arbitral Tribunal would have the discretion to treat the right of the Respondent to file such statement of defence as being forfeited.

Further, section 28 of the Act is amended whereby now it is further provided that the arbitral tribunal whilst deciding and making an award, must take into consideration the terms of the contract and trade usages applicable to the transaction.

The amendments are applicable to Arbitration proceedings which have commenced on or after 23.10.2015, or, the parties may agree to the applicability of the amendments to their pending proceedings.

Rule 36: After the close of the Pleadings, the Arbitrator shall fix the date of hearing; and shall intimate the Date, time and place of Hearing, to the Parties by Email and by Whatsapp communication. If any of the Party remains “absent” on the said Date and time of Hearing, the Arbitrator may adjourn the Hearing, to such date as may be convenient to both the litigating Parties, or to any other date. On such adjourned Date and time of Hearing, if any of the Party remains absent, the Arbitrator may again adjourn the Hearing, to such date as may be convenient to both the litigating Parties, or to any other date. On such adjourned Date and time of Hearing, if any of the Party remains absent, the Arbitrator shall have right to proceed with the Hearing of the Arbitration proceedings, and pass appropriate Award in accordance with law. The Arbitrator may impose reasonable costs for Adjournment. The Hearing may preferably be conducted by Video Conferencing. The Hearing for Interim Relief shall be conducted in the same manner as of the main matter hearing.

Rule 37: The Arbitrator, at the expense of the Parties before it, may visit any of the place of cause of action, if so necessitated.

Rule 38: Admission and denial of documents: The Arbitrator shall be entitled to determine the admissibility, relevancy and evidentiary value of any documents filed by parties before it.

Rule 39: After the conclusion of Hearing, or may be before Hearing, the Parties shall file their brief Written Arguments in the prescribed Form-F.

Rule 40: The Arbitrator shall pass Award within 30 days from the conclusion of hearing; and the Certified Copy of the same, be sent to respective parties at their Emails addresses, and also at their Whatsapp numbers.

Chapter 9

Passing of Award

Passing of the Award / Form and contents of the Award (Sections 31, 32)

The Position of Law

Section 31 of the Act lays down the form and contents of arbitral award which would be passed by the Arbitral tribunal / Arbitrator. The Section says –

(1) An arbitral award shall be made in writing and shall be signed by the Members of the arbitral tribunal.

(2) For the purposes of sub- section (1), in arbitral proceedings with more than one arbitrator, the signatures of the majority of all the members of the arbitral tribunal shall be sufficient so long as the reason for any omitted signature is stated.

(3) The arbitral award shall state the reasons upon which it is based, unless-

(a) the parties have agreed that no reasons are to be given, or

(b) the award is an arbitral award on agreed terms under section 30.

(4) The arbitral award shall state its date and the place of arbitration as determined in accordance with section 20 and the award shall be deemed to have been made at that place.

(5) After the arbitral award is made, a signed copy shall be delivered to each party.

(6) The, arbitral tribunal may, at any time during the arbitral proceedings, make an interim arbitral award on any matter with respect to which it may make a final arbitral award.

(7) (a) Unless otherwise agreed by the parties, where and in so far as an arbitral award is for the payment of money, the arbitral tribunal may include in the sum for which the award is made, interest at such rate as it deems reasonable, on the whole or any part of the money, for the whole or any part of the period between the date on which the cause of action arose and the date on which the award is made.

(b) A sum directed to be paid by an arbitral award shall, unless the award otherwise directs, carry interest at the rate of eighteen per centum per annum from the date of the award, till the date of payment.

(8) Unless otherwise agreed by the parties,-

(a) The costs of an arbitration shall be fixed by the arbitral tribunal;

(b) The arbitral tribunal shall specify-

(i) the party entitled to costs,

(ii) the party who shall pay the costs,

(iii) the amount of costs or method of determining that amount, and

(iv) the manner in which the costs shall be paid.

Explanation,- For the purpose of clause (a) costs means reasonable costs relating to-

(i) the fees and expenses of the arbitrators and witnesses,

(ii) legal fees and expenses,

(iii) any administration fees of the institution supervising the arbitration, and

(iv) any other expenses incurred in connection with the arbitral proceedings and the arbitral award.

Section 33 of the Arbitration & Conciliation Act, 1996, provides for correction and interpretation of award; additional award.

By virtue of extensive amendments made in the Act in the year 2016, Section 29A is added wherein now it is provided that Arbitral tribunal must make an Award within 12 months from the date the arbitral tribunal was duly constituted. However, the parties may by consent extend the aforesaid period by 6 months. And if the award is not made within such period of 18 months, then unless, the court extends the period, prior to or after expiry of the aforesaid period on an application by a party, the mandate of arbitrator would stands terminated. Further, as provided in amended section 24, the arbitral tribunal shall, as far as possible, hold oral hearings for the presentation of evidence or for oral argument on day-to-day basis, and Arbitrators not to grant any adjournments unless sufficient cause is made out, and may impose costs including exemplary costs on the party seeking adjournment without any sufficient cause.

Further, section 29B is further added wherein a concept of Fast track procedure is contemplated. It provides that the parties may, prior to or at the time of appointment of the arbitral tribunal, agree to a fast track procedure, preferably a sole arbitrator chosen by the parties therein, who shall decide the dispute on basis of written pleadings, documents and submissions filed by the parties without any oral hearing. However, oral hearing may be held if all parties request or if the Arbitral tribunal considers it necessary. The award should be made in this procedure within a period of 6 months from the date the arbitral tribunal was duly constituted.

Further, section 31 of the Act is amended whereby now it is provided that the amount awarded by the arbitral tribunal would carry higher interest by 2% p.a. more than the current rate of interest, from the date of the award to the date of payment, unless otherwise specified by the arbitral tribunal. The expression “current rate of interest” shall have the same meaning as assigned to it under clause (b) of section 2 of the Interest Act, 1978.

Further, section 31A is inserted wherein comprehensive provisions are made touching upon every attribute of the costs.

In the backdrop of the provision of new section 11(14), a Fourth Schedule is inserted which prescribes a Model Fee which may be charged by Arbitral Tribunal, subject to Rules framed by the respective High Courts in that behalf.

The amendments are applicable to Arbitration proceedings which have commenced on or after 23.10.2015, or, the parties may agree to the applicability of the amendments to their pending proceedings.

By virtue of amendments made in the Act in the year 2019, Section 29A(1) is sought to be substituted, whereby it is provided that the award in matters other than international commercial arbitration shall be made by the arbitral tribunal within a period of twelve months from the date of completion of pleadings under sub-section (4) of section 23.

Rule 41: The Arbitrator shall pass Award within 30 days from the conclusion of Final hearing; and the certified copy of the same shall be sent to each of the Party at their respective Emails addresses and also at their Whatsapp numbers. Needless to say, the Arbitrator shall pass a reasoned and speaking Award. The Award shall be on Stamp paper of such value as may be prescribed under the law for the time being in force; and shall state date and place, and shall be signed and sealed. The Arbitrator may also pass an Award based on the settlement arrived at between the Parties before it.

Rule 42: The Award passed by the Arbitrator shall be binding on the parties before it, and persons claiming under them; and shall be executable in the same manner like a decree of the competent Court of law.

Rule 43: The Award shall include the costs of the Arbitration, which shall be in accordance to the respective provisions of Arbitration and Conciliation Act, 1996. In determining the costs, the Arbitrator may take into consideration the conduct of the parties; whether frivolous claim or defense has been raised; and whether any reasonable offer to settle the dispute was made by the successful party but refused by the other party. The Award shall also include payment of interest, which shall be in accordance to the respective provisions of the Arbitration and Conciliation Act, 1996.

Chapter 10

Arbitration Fee

Rule 44: The Fee for the Arbitration shall be about ___% of the Claim amount, subject to minimum of Rs.________/-. The entire fee shall be payable by Claimant, at the time of filing Statement of Claim. The Fee may be revised from time to time, with due intimation to the Parties.

Rule 45: The fee shall not be refunded in the event of termination of the Arbitration proceedings, for any reasons whatsoever, unless the default is traced on the part of the Arbitrator. In cases where the Arbitrator rule that it has no jurisdiction to entertain the dispute, then, it must refund 90% of the prescribed fee.

Chapter 11

Powers of Arbitrator

Powers of Arbitral Tribunal to rule on its own jurisdiction:

The Position of Law

Section 16 of the Arbitration & Conciliation Act, 1996, provides that arbitral tribunal / Arbitrator is empowered to decide whether it / he has jurisdiction to decide the nature of dispute between the parties which have been referred before the arbitral tribunal / Arbitrator. The Section says that –

(1) The arbitral tribunal may rule on its own jurisdiction, including ruling on any objections with respect to the existence or validity of the arbitration agreement, and for that purpose,-

(a) an arbitration clause which forms part of a contract shall be treated as an agreement independent of the other terms of the contract; and

(b) a decision by the arbitral tribunal that the contract is null and void shall not entail ipso jure the invalidity of the arbitration clause.

(2) A plea that the arbitral tribunal does not have jurisdiction shall be raised not later than the submission of the statement of defence; however, a party shall not be precluded from raising such a plea merely because that it/he has appointed, or participated in the appointment of, an arbitrator.

(3) A plea that the arbitral tribunal is exceeding the scope of its authority shall be raised as soon as the matter alleged to be beyond the scope of its authority, occasions.

(4) The arbitral tribunal may, in either of the cases referred it, in sub- sections (2) (3), admit a later plea if it considers the delay justified.

(5) The arbitral tribunal shall decide on a plea referred to in sub sections (2) or (3) and, where the arbitral tribunal takes a decision rejecting the plea, continue with the arbitral proceedings and make an arbitral award.

(6) A party aggrieve by such an arbitral award may make an application for setting aside such an arbitral award in accordance with section 34.

Powers of Arbitral Tribunal to grant Interim Reliefs:

Section 17 of the Arbitration & Conciliation Act, 1996, empowers the Arbitral Tribunal / Arbitrator to order for Interim measures. The Section says –

(1) Unless otherwise agreed by the parties, the arbitral tribunal may, at the request of a party, order a party it take any interim measure of protection as the arbitral tribunal may consider necessary in respect of the subject matter of the dispute.

(2) The arbitral tribunal may require a party to provide appropriate security in connection with a measure ordered under sub- section (1).

By virtue of extensive amendments made in the Act in the year 2016, Section 17 of the Act is substantially amended whereby it is deemed that Interim Orders passed by the Arbitral tribunal are regarded as Orders of the Court for all purposes and are enforceable in the same manner as if it were an Order of the Court. Further, Section 17 lists the nature of Interim Reliefs which can be granted by the Arbitral Tribunal.

The Powers of the Arbitrator u/s 17 are –

(i) for the appointment of a guardian for a minor or person of unsound mind for the purposes of arbitral proceedings; or

(ii) for an interim measure of protection in respect of any of the following matters, namely:—

(a) the preservation, interim custody or sale of any goods which are the subject-matter of the arbitration agreement;

(b) securing the amount in dispute in the arbitration;

(c) the detention, preservation or inspection of any property or thing which is the subject-matter of the dispute in arbitration, or as to which any question may arise therein and authorizing for any of the aforesaid purposes any person to enter upon any land or building in the possession of any party, or authorizing any samples to be taken, or any observation to be made, or experiment to be tried, which may be necessary or expedient for the purpose of obtaining full information or evidence;

(d) Interim injunction or the appointment of a receiver;

(e) Such other interim measure of protection as may appear to the arbitral tribunal to be just and convenient,

Further, section 9 now places the position of Arbitrator on the same pedestal as that of the Court in so far granting Interim measure of protection is concerned. Section 9 says that once the arbitral tribunal has been constituted, court would not entertain any Application for interim measure, unless the court finds that having regard to circumstances, the remedy provided u/s 17 of the Act (Powers of the Arbitral Tribunal to grant Interim Reliefs) may not be efficacious.

Rule 46: The Arbitrator shall have all the powers as conferred under the Arbitration and Conciliation Act, 1996, notwithstanding the same are not specifically included in these Rules.

Chapter 12

Service and Notice of Arbitration proceedings

Rule 47: All Communications, Services of any Pleadings or proceedings / Notices shall be sent by Email in PDF format; and also at the respective Whatsapp number of the respective parties. Due compliance of the above, shall be deemed to be valid service upon the other party. The Concerned Party shall file/tender the PDF Copy of concerned Email by which Service was effected. In so far as Service by Whatsapp is concerned, the screenshot of relevant communication be filed / tendered as proof of Service.

Rule 48: Every record of proceeding (Roznama), Order, or Award passed by the said Arbitrator shall state date and place and shall be signed and sealed by the said Arbitrator; and shall be uploaded on the website of the said Arbitrator, to be visible and accessible only to concerned Parties to the Arbitration proceedings; and the parties shall be deemed to have notice of all such record of proceeding, Order, or Awards.

Chapter 13

Protection of action to Arbitrator

Rule 49: The Arbitrator shall not be subject to any legal action for the acts done in the due discharge of his obligation under the terms of Reference / Dispute. The Arbitrator shall not be Summoned or be call upon to make any statement or to file any Affidavit before any Tribunal or Court of Law, in Cases where the said Arbitrator has presided over as an Arbitrator. The Parties to the Arbitration proceedings shall Indemnify and continue to Indemnify the said Arbitrator in this behalf.

Chapter 14

Presumption of Waiver

The Position of Law

Section 4: Waiver of right to object: A party who knows that -

(a) any provision of this Part from which the parties may derogate, or

(b) any requirement under the arbitration agreement, has not been complied with and yet proceeds with the arbitration without stating his objection to such non-compliance without undue delay or, if a time limit is provided for stating that objection, within that period of time, shall be deemed to have waived his right to so object.

Rule 50: Non compliance to any of these Rules or any of the provisions of Arbitration and Conciliation Act, 1996, by any of the Party shall not be construed as resulting in termination, or frustration of Arbitration proceedings; and Arbitration proceeding shall continue in accordance with Law; and failure to object non compliance by any of the Party, shall be deemed as waiving of their right to object non compliance.

Chapter 15

Misc Provisions:

Jurisdiction of Courts / Arbitral Tribunal:

1. Arbitration is a private resolution of dispute. However, for certain reliefs, the Claimant may be required to move the competent Court of law. Like for example, so as to obtain any Interim relief of injunction etc. against the Respondent, or, for the appointment of Arbitrators, etc.

2. All civil court of original jurisdiction in a district, including the High Courts in exercise of their Ordinary Original civil jurisdiction, having jurisdiction to decide the questions forming the subject-matter of the arbitration, if the same had been the subject-matter of a suit, would have the jurisdiction to entertain such Applications as provided under the Arbitration & Conciliation Act, 1996.

3. The above Act further provides that where with respect to an arbitration agreement, any application has been made in a particular competent Court of jurisdiction, all subsequent applications arising out of that arbitral proceedings shall be made in that Court and in no other Court. (S.42)

4. Interim Orders passed by Civil Courts, or by Arbitrator are also Appealable before such Court before whom otherwise Appeal would lie, to a decree passed by trial Court.

5. By virtue of extensive amendments made in the Act in the year 2016, the definition of “Court” contained in Section 2(1)(e) is amended whereby High Courts would have the jurisdiction to entertain Application arising from International Commercial Arbitration, even if the place of Arbitration is outside India. The amendments are applicable to Arbitration proceedings which have commenced on or after 23.10.2015, or, the parties may agree to the applicability of the amendments to their pending proceedings.

Settlement of dispute by way of Mediation Conciliation (Section 30)

Arbitrator / Arbitral Tribunal, at the beginning or during the course of Arbitration proceedings are empowered to persuade and encourage parties before it, to settle their dispute by way of Mediation / Conciliation etc.

Termination of mandate of Arbitrator / Arbitral Tribunal (Section 14)

Section 14 of the Act provides that the mandate of an arbitrator shall terminate, if due to some legal disability or due to arisen of certain factual circumstances, he is unable to perform his functions or for other reasons he fails to act with reasonable promptness and despatch; and therefore withdraws from the Arbitration proceedings, or even if he voluntarily doesn’t withdraw, the parties may agree to the termination of his mandate.

If a controversy remains concerning the legal disability or to the arisen of aforesaid certain factual circumstances, any party may apply to the appropriate Court to decide on the termination of the mandate, unless otherwise agreed by the parties.

When Proceedings before the Arbitrator are said to terminate. (S.32)

Section 32 of the Act provides that the arbitral proceedings terminate on final arbitral award being made.

The arbitral proceedings shall also be terminated where the claimant withdraws his claim, unless the respondent objects and the arbitral tribunal recognizes a legitimate interest on his part, in obtaining a final settlement of the dispute;

The arbitral proceedings shall also be terminated where the parties agree on the termination of the proceedings;

The arbitral proceedings shall also be terminated where the arbitral tribunal finds that the continuation of the proceedings has for any other reason become unnecessary or has become impossible.

Correction, Interpretation, Additional Award (S.33)

Substitution of Arbitrator (Section 15)

Section 15 of the Act provides that the mandate of an arbitrator would also comes to an end where the Arbitrator withdraws from office for any reason; or pursuant to agreement of the parties, the mandate of the Arbitrator may be terminated.

Where the mandate of an arbitrator terminates, a substitute arbitrator shall be appointed according to the rules that were applicable to the appointment of the arbitrator being replaced.

Where an arbitrator is substituted, any hearings previously held may be repeated at the discretion of the arbitral Tribunal, unless otherwise agreed by the parties.

Any order or ruling of the Arbitral Tribunal, which was made prior to the substitution, would not be invalid solely because there has been a change in the composition of the arbitral Tribunal, unless otherwise agreed by the parties.

Challenge to the Award (Section 34)

The decision of the Arbitrator may be challenged in the Court of law. After the Amendments in the law in the year 2015, now unless the Court by its Order stays the operation of Award, the Award can be executed like a decree of the Court.

The main grounds to challenge the Award are –

(a) the arbitration agreement is not valid under the law;

(b) the party making the application was not given proper notice of the appointment of an arbitrator or of the arbitral proceedings or was otherwise unable to present his case;

(d) the composition of the Arbitral Tribunal was not in accordance with the agreement of the parties, or was not in accordance with Part I of the Act;

(e) the arbitral procedure was not in accordance with the agreement of the parties, or was not in accordance with Part I of the Act;

(f) the Award is in contravention of the provisions of the Act or any other substantive law governing the parties or is against the terms of the contract;

(g) the Award is against the public policy of India, that is to say, if it is contrary to: (i) fundamental policy of Indian law; or (ii) the interest of India; or (iii) justice or morality; or (iv) if it is patently illegal.

(h) It could be challenged: (a) as provided under Section 13(5); and (b) Section 16(6) of the Act.

(i) a party was under some incapacity, or

An Award would be said to be in conflict with the public policy of India, only if, (i) the making of the award was induced or affected by fraud or corruption; or (ii) it is in contravention with the fundamental policy of Indian law; or (iii) it is in conflict with the most basic notions of morality or justice.

Appeal (S.37) may be preferred setting aside or refusing to set aside an arbitral award under section 34.

Section 34(4) of the Act provides that on receipt of an application u/s 34(1), the Court may, where it is appropriate and it is so requested by a party, may remand back the matter to Arbitral Tribunal to eliminate the grounds on which the Application was made for setting aside the arbitral award. However, whilst remanding back the said Court merely adjourn the said proceedings, and they do not dispose of the said Application.

By virtue of extensive amendments made in the Act in the year 2016, section 34 of the Act is amended whereby now it is clarified that an Award would be said to be in conflict with the public policy of India, only if, (i) the making of the award was induced or affected by fraud or corruption or was in violation of section 75 or section 81; or (ii) it is in contravention with the fundamental policy of Indian law; or (iii) it is in conflict with the most basic notions of morality or justice. It is further clarified that, the test as to whether there is a contravention with the fundamental policy of Indian law shall not entail a review on the merits of the dispute. It is further provided that an arbitral award arising out of arbitration other than international commercial arbitration, may also be set aside by the Court, if the Court finds that the award is vitiated by patent illegality appearing on the face of the award: Provided that an award shall not be set aside merely on the ground of an erroneous application of the law or by re-appreciation of evidence. It is further provided that an application u/s 34 shall be filed by a party only after issuing a prior notice to the other party and such application shall be accompanied by an affidavit by the Applicant endorsing compliance with the said requirement. It is further provided that Application under this section shall be disposed of expeditiously, and in any event, within a period of one year from the date on which the notice referred to in sub-section (5) is served upon the other party.

If the Award is not challenged in accordance with Section 34, it is enforceable like a decree of the Court. (S.36)

Section 36 of the Act provides that where the time for making an Application to set aside the arbitral award under section 34 has expired, or where such application having been made, it has been refused, the award shall be enforced under the Code of Civil Procedure, 1908, in the same manner as if it were a decree of the Court. The said Section, however, further provides that where such Application is made, and is not refused, pending the hearing and final disposal of the said Application, the Award cannot be executed, nor the Court have any power to put the Applicant on any term before hearing of the Application.

By virtue of extensive amendments made in the Act in the year 2016, section 36 of the Act is amended whereby now it is provided that where an Application u/s 34 is filed challenging the Award, the filing of such an application by itself shall not render that award unenforceable. The party has to make a separate Application in that behalf; and upon filing of such Application, the Court may, subject to such conditions as it may deem fit, grant stay of the operation of such award and for reasons to be recorded in writing.

Resolution of Dispute according to the principles and parameters laid down Order XIII-A of the Code of Civil Procedure, 1908

1.(1) This Order sets out the procedure by which Courts may decide a claim pertaining to any Commercial Dispute without recording oral evidence.

1.(2) For the purposes of this Order, the word “claim” shall include— (a) part of a claim; (b) any particular question on which the claim (whether in whole or in part) depends; or (c) a counterclaim, as the case may be.

1.(3) Notwithstanding anything to the contrary, an application for summary judgment under this Order shall not be made in a suit in respect of any Commercial Dispute that is originally filed as a summary suit under Order XXXVII.

2. An applicant may apply for summary judgment at any time after summons has been served on the defendant: Provided that, no application for summary judgment may be made by such applicant after the Court has framed the issues in respect of the suit.

3. The Court may give a summary judgment against a plaintiff or defendant on a claim if it considers that

(a) the plaintiff has no real prospect of succeeding on the claim or the defendant has no real prospect of successfully defending the claim, as the case may be; and

(b) there is no other compelling reason why the claim should not be disposed of before recording of oral evidence.

4. (1) An application for summary judgment to a Court shall, in addition to any other matters the applicant may deem relevant, include the matters set forth in sub-clauses (a) to (f) mentioned hereunder

(a) the application must contain a statement that it is an application for summary judgment made under this Order;

(b) the application must precisely disclose all material facts and identify the point of law, if any;

(i) include such documentary evidence in its application, and

(ii) identify the relevant content of such documentary evidence on which the applicant relies;

(d) the application must state the reason why there are no real prospects of succeeding on the claim or defending the claim, as the case may be; (e) the application must state what relief the applicant is seeking and briefly state the grounds for seeking such relief.

4.(2) Where a hearing for summary judgment is fixed, the respondent must be given at least thirty days’ notice of:

(a) the date fixed for the hearing; and

(b) the claim that is proposed to be decided by the Court at such hearing.

4.(3) The respondent may, within thirty days of the receipt of notice of application of summary judgment or notice of hearing (whichever is earlier), file a reply addressing the matters set forth in clauses (a) to (f) mentioned hereunder in addition to any other matters that the respondent may deem relevant:

(a) the reply must precisely

(i) disclose all material facts;

(ii) identify the point of law, if any; and

(iii) state the reasons why the relief sought by the applicant should not be granted;

(b) in the event the respondent seeks to rely upon any documentary evidence in its reply, the respondent must

(i) include such documentary evidence in its reply; and

(ii) identify the relevant content of such documentary evidence on which the respondent relies;

(c) the reply must state the reason why there are real prospects of succeeding on the claim or defending the claim, as the case may be;

(d) the reply must concisely state the issues that should be framed for trial;

(e) the reply must identify what further evidence shall be brought on record at trial that could not be brought on record at the stage of summary judgment; and

(f) the reply must state why, in light of the evidence or material on record if any, the Court should not proceed to summary judgment.

5.(1) Notwithstanding anything in this Order, if the respondent in an application for summary judgment wishes to rely on additional documentary evidence during the hearing, the respondent must:

(a) file such documentary evidence; and

(b) serve copies of such documentary evidence on every other party to the application at least fifteen days prior to the date of the hearing.

5.(2) Notwithstanding anything in this Order, if the applicant for summary judgment wishes to rely on documentary evidence in reply to the defendant’s documentary evidence, the applicant must:

(a) file such documentary evidence in reply; and

(b) serve a copy of such documentary evidence on the respondent at least five days prior to the date of the hearing.

5.(3) Notwithstanding anything to the contrary, sub-rules (1) and (2) shall not require documentary evidence to be:

(a) filed if such documentary evidence has already been filed; or

(b) served on a party on whom it has already been served.

6.(1) On an application made under this Order, the Court may make such orders that it may deem fit in its discretion including the following:

(a) judgment on the claim;

(b) conditional order in accordance with Rule 7 mentioned hereunder; (c) dismissing the application;

(d) dismissing part of the claim and a judgment on part of the claim that is not dismissed;

(e) striking out the pleadings (whether in whole or in part); or

(f) further directions to proceed for case management under Order XV-A.

6.(2) Where the Court makes any of the orders as set forth in sub-rule (1) (a) to (f), the Court shall record its reasons for making such order.

7.(1) Where it appears to the Court that it is possible that a claim or defence may succeed but it is improbable that it shall do so, the Court may make a conditional order as set forth in Rule 6 (1) (b).

7.(2) Where the Court makes a conditional order, it may:

(a) make it subject to all or any of the following conditions:

(i) require a party to deposit a sum of money in the Court;

(ii) require a party to take a specified step in relation to the claim or defence, as the case may be;

(iii) require a party, as the case may be, to give such security or provide such surety for restitution of costs as the Court deems fit and proper; (iv) impose such other conditions, including providing security for restitution of losses that any party is likely to suffer during the pendency of the suit, as the Court may deem fit in its discretion; and

(b) specify the consequences of the failure to comply with the conditional order, including passing a judgment against the party that have not complied with the conditional order.

8. The Court may make an order for payment of costs in an application for summary judgment in accordance with the provisions of sections 35 and 35A of the Code.

3.10 Affirmation with Digital Signature (eSign): As contained in Hon’ble Supreme Court E-Filing User’s Manual

3.10.1 Digital Signature made available with two choices: There are two different choices to digitally sign the affirmation. One way to sign is using digital signature token provided by the Certified Authority approved under The Information Technology Act, 2000. Another way is using e-Sign facility to sign the documents. This facility provided by the Government of India (managed by CDAC exclusively). This e-Sign facility is provided free of cost especially for the litigants and lawyers who do not possess digital signature token or cannot afford to purchase such digital signature token.

3.10.2 e-Sign Method (Affirmation): Apart from the fact that e-Sign is not the only choice available with the User, he or she can always use other modes of signing documents which are recognized as valid digital signature. It is not mandatory to share your UID number for digitally signing the affirmation. User can enter his or her virtual ID and it is possible to digitally sign the documents, using one’s virtual identity number provided by the Government of India. Already sign method is chosen. This affirmation facility will behave as per sign method chosen by you earlier.

After entering Virtual ID or UID number identity of the user will be first verified using OTP on registered mobile number. After entering verification OTP user will be redirected to efiling with e-Signed document.

In the alternate you can use digital signature token option. In that case affirmation form will have to be downloaded and physically signed by the litigant/s and thereafter the very form will be scanned. The uploaded form will be digitally signed by the Advocate using his own token.

3.10.3 e-Sign or Digital Signature using token (Confirmation by Advocate): After affirmation by the litigant, if the rules or practice and procedure adopted in the Court requires for certain kind of case types the advocate need to confirm about the identity of the litigant signing petition (pleadings). Sometimes original documents or certified copies are handed over Advocates whereas typed or scanned copies are uploaded in such cases also statement is required that original or certified copies are in custody of Advocate from which scanned copies are prepared or PDF copies are prepared after typing. If such pleadings or documents uploaded while e-filing cases, it may be desirable that Advocate also signs statement as to identity of signing party and confirm about custody of documents. It is needless to say, same process is required to be followed for making digital signature or e-Sign for the Advocate.

After completing digital signatures of affirmation by litigant and verification by advocate you will find next button visible. Click next to go to final tab of e-filing a case.

After ‘proceed to affirmation’ button is pressed in upload document screen, affirmation is complete when applicant download and submits e-signed affirmation in pdf and advocate uploads e-signed affirmation in pdf. E-signatures can be made using Aadhar number or digital token. A sample affirmation page is shown in Fig. 40 below.

Through Aadhar number: In case a user provides Aadhar number for signatures, screen shown in Fig. will appear. If a User does not wish to provide his Aadhar number, he can physically sign and upload his document of affirmation and Advocate can submit his Aadhar to sign as shown in Fig. 24 below. Please note that a user is required to accept the consent form to use Aadhar for e signing.

Through digital token: The screen showing option to digitally sign affirmation if a user has chosen digital signature token to sign the affirmation is shown at Fig. 41 and 42 (below). The User needs to download certificate of Affirmation. After downloading affirmation, the Advocate may obtain physical signature of litigant and then digitally sign such certificate of affirmation using digital signature token. The certificate of affirmation contains hash value of each uploaded pdf file. The said hash value can be used to identify genuineness of original uploaded file. After successfully uploading digitally signed file, message is given on the screen about successful uploading.

Rule 51: Confidentiality: All Parties to the Arbitration proceedings and the Arbitrator shall at all times, treat Arbitration proceedings as strictly confidential inter se between themselves.

Form No.A1

Request by Claimant for appointment of Sole Arbitrator

From,

ABCD

Full Address

To,

Name of the Arbitrator

Full address

Subject: Appointment of Sole Arbitrator

Dear Sir,

1. We the Claimants, are desirous of appointing you to act as a Sole Arbitrator in a dispute which have arisen between us and _______. The Copy of Agreement which contains the Arbitration Clause is annexed herewith.

2. We herewith furnish the full details of the Parties to the Arbitration

Proposed Claimant:

Name of the Business Enterprise:

Constitution of Business Enterprise:

GST No. If any:

Full Address:

Key Contact person:

Mobile Number of key contact person:

Email Id of key contact person:

Approx Value of Claim:

Proposed Respondents:

Name of the Business Enterprise:

Constitution of Business Enterprise:

GST No. If any:

Full Address:

Key Contact person:

Mobile Number of key contact person:

Email Id of key contact person:

3. We have read the Rules which would be followed in the proposed Arbitration proceedings, and agree to abide by the same.

4. We request you to accord your Consent to act as a Sole Arbitrator in this behalf.

Await your Reply.

Thanking you.

Claimant / Sign

Form No.A2

Joint Request for appointment of Sole Arbitrator

From,

ABCD

Full Address

To,

Name of the Arbitrator

Full address

Subject: Appointment of Sole Arbitrator

Dear Sir,

1. We the Claimants and the Respondents, are desirous of appointing you to act as a Sole Arbitrator in a dispute which have arisen between us and _______. The Copy of Agreement which contains the Arbitration Clause is annexed herewith.

2. We herewith furnish the full details of the Parties to the Arbitration

Proposed Claimant:

Name of the Business Enterprise:

Constitution of Business Enterprise:

GST No. If any:

Full Address:

Key Contact person:

Mobile Number of key contact person:

Email Id of key contact person:

Approx Value of Claim:

Proposed Respondents:

Name of the Business Enterprise:

Constitution of Business Enterprise:

GST No. If any:

Full Address:

Key Contact person:

Mobile Number of key contact person:

Email Id of key contact person:

3. We have read the Rules which would be followed in the proposed Arbitration proceedings, and agree to abide by the same.

4. We request you to accord your Consent to act as a Sole Arbitrator in this behalf.

Await your Reply.

Thanking you.

Claimant / Sign Respondent / Sign

(In case one of the Party is making the request, then, such document may be annexed herein which would show the consent of the other side in the present request for Appointment of Arbitrator.)

Form No.B

Consent / Refusal to act as an Arbitrator

Letter Head of the Arbitrator

Subject: proposed appointment as a Sole Arbitrator

Reference: Your Letter dated ______

Sir / Madam,

1. I refer your aforesaid Letter, and accord my consent to act as a Sole Arbitrator in the resolution of dispute which have arisen between the parties, referred in the aforesaid Letter. The Statement of Disclosure in accordance to Section 12(1)(b) of the Arbitration and Conciliation Act, 1996, is annexed herewith.

2. In accordance to Rule 19, the Claimants are directed to File its Statement of Claim in prescribed Form “E”, within 15 days from the receipt of this intimation, accompanied by the Resolution passed about the factum of Appointment of Arbitrator; alongwith payment of fee as per Rule 44 of the Summary Conduct of Commercial Arbitration Proceedings Rules, 2019.

1. I refer your aforesaid Letter, and express my inability to act as an Arbitrator in the resolution of dispute which have arisen between the parties, referred in the aforesaid Letter.

Thanking you.

Sincerely,

_____________

Advocate

Form No.C

Statement of Disclosure in accordance to Section 12(1)(b) read with Sixth and Seventh Schedule of the Arbitration and Conciliation Act, 1996

Letter Head of the Arbitrator

Name:

Contact Details:

Prior Experience (Including Experience with Arbitration):

Number of ongoing arbitration:

Circumstances disclosing any past or present relationship with or interest in any of the parties or in relation to the subject matter in dispute, whether financial, business, professional or other kind, which is likely to give rise to justifiable doubts as to your independence or impartiality (listed below):

1. The arbitrator is an employee, consultant, advisor or has any other past or present business relationship with a party.

2. The arbitrator currently represents or advises one of the parties or an affiliate of one of the parties.

3. The arbitrator currently represents the lawyer or law firm acting as counsel for one of the parties.

4. The arbitrator is a lawyer in the same law firm which is representing one of the parties.

5. The arbitrator is a manager, director or part of the management, or has a similar controlling influence, in an affiliate of one of the parties if the affiliate is directly involved in the matters in dispute in the arbitration.

6. The arbitrator's law firm had a previous but terminated involvement in the case without the arbitrator being involved himself or herself.

7. The arbitrator's law firm currently has a significant commercial relationship with one of the parties or an affiliate of one of the parties.

8. The arbitrator regularly advises the appointing party or an affiliate of the appointing party even though neither the arbitrator nor his or her firm derives a significant financial income therefrom .

9. The arbitrator has a close family relationship with one of the parties and in the case of companies with the persons in the management and controlling the company.

10. A close family member of the arbitrator has a significant financial interest in one of the parties or an affiliate of one of the parties.

11. The arbitrator is a legal representative of an entity that is a party in the arbitration.

12. The arbitrator is a manager, director or part of the management, or has a similar controlling influence in one of the parties.

13. The arbitrator has a significant financial interest in one of the parties or the outcome of the case.

14. The arbitrator regularly advises the appointing party or an affiliate of the appointing party, and the arbitrator or his or her firm derives a significant financial income therefrom . Relationship of the arbitrator to the dispute

15. The arbitrator has given legal advice or provided an expert opinion on the dispute to a party or an affiliate of one of the parties.

16. The arbitrator has previous involvement in the case. Arbitrator's direct or indirect interest in the dispute

17. The arbitrator holds shares, either directly or indirectly, in one of the parties or an affiliate of one of the parties that is privately held.

18. A close family member of the arbitrator has a significant financial interest in the outcome of the dispute.

19. The arbitrator or a close family member of the arbitrator has a close relationship with a third party who may be liable to recourse on the part of the unsuccessful party in the dispute.

Previous services for one of the parties or other involvement in the case

20. The arbitrator has within the past three years served as counsel for one of the parties or an affiliate of one of the parties or has previously advised or been consulted by the party or an affiliate of the party making the appointment in an unrelated matter, but the arbitrator and the party or the affiliate of the party have no ongoing relationship.

21. The arbitrator has within the past three years served as counsel against one of the parties or an affiliate of one of the parties in an unrelated matter.

22. The arbitrator has within the past three years been appointed as arbitrator on two or more occasions by one of the parties or an affiliate of one of the parties.

23. The arbitrator's law firm has within the past three years acted for one of the parties or an affiliate of one of the parties in an unrelated matter without the involvement of the arbitrator.

24. The arbitrator currently serves, or has served within the past three years, as arbitrator in another arbitration on a related issue involving one of the parties or an affiliate of one of the parties.

Relationship between an arbitrator and another arbitrator or counsel

25. The arbitrator and another arbitrator are lawyers in the same law firm.

26. The arbitrator was within the past three years a partner of, or otherwise affiliated with, another arbitrator or any of the counsel in the same arbitration.

27. A lawyer in the arbitrator's law firm is an arbitrator in another dispute involving the same party or parties or an affiliate of one of the parties.

28. A close family member of the arbitrator is a partner or employee of the law firm representing one of the parties, but is not assisting with the dispute.

29. The arbitrator has within the past three years received more than three appointments by the same counsel or the same law firm.

Relationship between arbitrator and party and others involved in the arbitration

30. The arbitrator's law firm is currently acting adverse to one of the parties or an affiliate of one of the parties.

31. The arbitrator had been associated within the past three years with a party or an affiliate of one of the parties in a professional capacity, such as a former employee or partner.

Other circumstances

32. The arbitrator holds shares, either directly or indirectly, which by reason of number or de nomination constitute a material holding in one of the parties or an affiliate of one of the parties that is publicly listed.

33. The arbitrator holds a position in an arbitration institution with appointing authority over the dispute.

34. The arbitrator is a manager, director or part of the management, or has a similar controlling influence, in an affiliate of one of the parties, where the affiliate is not directly involved in the matters in dispute in the arbitration.

Explanation 1. The term "close family member" refers to a spouse, sibling, child, parent or life partner.

Explanation 2. The term "affiliate" encompasses all companies in one group of companies including the parent company.

Explanation 3. For the removal of doubts, it is clarified that it may be the practice in certain specific kinds of arbitration, such as maritime or commodities arbitration, to draw arbitrators from a small, specialised pool. If in such fields it is the custom and practice for parties frequently to appoint the same arbitrator in different cases, this is a relevant fact to be taken into account while applying the rules set out above.

Form No. D

Arbitration Proceeding is initiated by issuing Notice to the other party u/s 21 of the Arbitration & Conciliation Act, 1996, intimating that whereas “dispute” have arisen, and therefore Arbitration Agreement is invoked.

From

____

______________________________

Date:

To,

_________________________

Sub: Commencing Arbitral proceedings, by virtue of Arbitration Clause in the Agreement / Clause contained at ______.

Kind Attn: Mr.____________

Dear Sir,

Please refer our letter to you dated ………. .

And whereas you have neglected to / failed to perform your obligations ________________, by virtue of Arbitration clause contained in ______, we hereby invoke the Arbitration proceedings; and hereby appoint ________ as our Arbitrators. This is for your information and for taking further steps in this behalf. (It is not obligatory to appoint Arbitrator whilst issuing Notice u/s 21. The Arbitrators may be appointed after issuance of Notice u/s 21)

Thanking you,

For

Partner / Proprietor / Director / Auth Signatory

http://legaldraftsjalan.blogspot.in/2015/05/application-to-initiate-arbitration.html

Form No. E

Statement of Claim

Cause of action: pulse of any litigation

http://commonlaw-sandeep.blogspot.com/2018/07/cause-of-action-pulse-of-any-litigation.html

General Check list before filing of Statement of Claim or defense

Whether Exhibits are annexed as per the averments made;
Whether legible / readable copies of Exhibits are annexed;
Whether necessary averments are made in respect of Limitation;
Vakalatnama, if any
Memorandum of Address of the respective parties
List of documents;
Particulars of Claim, if any;
Prefix Mr./ Mrs.? Not permitted
Pleadings:

a) Facts constituting the cause of action: Such material facts [supported by documents wherever applicable (AIR 2012 SC 1727; 2011 (3) MhLJ 128)], if proved, will entitle the Claimants to claim judgment from the Court;

b) Reliefs claimed;

c) Interim Reliefs claimed, if any; and such facts entitling the Claimants to claim for such Interim Reliefs.

d) Authorized signatory must be a person who is able to confirm the truth and correctness of statements made in Claim Statement and List of Dates to his own personal knowledge or based on knowledge obtained from documents (Please specify the items separately).

e) Where Claimant is a company or a body corporate or an artificial entity, a copy of power of attorney, resolution of Board of Directors and other prescribed authorizations inter alia authorizing the signatory to sign and affirm this Claim Statement must be filed along.

f) Where Claimants and Respondent have a Legal Representative all proceedings and correspondence will be addressed to or by that Legal Representative only;

g) The postal address to be provided must be the registered address / principal place of business of the parties as also the postal address, e-mail address, telephone and facsimile number of the parties at which communications are liable to be sent under the agreement between parties and must also include addresses at which parties have communicated with each other during the tenure and performance of the contract in relation to which dispute has arisen and which is the subject matter of the dispute.

BEFORE THE LEARNED ARBITRATOR / ARBITRAL TRIBUNAL

AT MUMBAI

SCCAP No. _____ of 2020

___________ ..…Claimant

Versus

__________ …. Respondents

INDEX

SR.NO	DATE	EXHIBIT	PARTICULARS	PAGE NOS
1			Proforma (Roznama)
2			Synopsis / List of dates
3			Statement of Claim	1 to
4			Vakalatnama
5			Memorandum of Address
6			List of Documents
7		“A”
8		“B”
9		“C”
10		“D”
11		“E”
12		“F”
13		“G”
			The Particulars of Claim (If applicable to the case)
			Affidavit in support of the Statement of Claim

_______________

Advocate for the Claimant

Claimant – In – Person

BEFORE THE LEARNED ARBITRATOR / ARBITRAL TRIBUNAL

AT MUMBAI

SCCAP No. _____ of 2020

___________ ..…Claimant

Versus

__________ …. Respondents

SYNOPSIS

Instructions:

There is a “Synopsis” to be set out in the body of the Plaint. The main substance of the material facts which are averred in the body of the Plaint may be set out very briefly herein.

Details of Arbitration Agreement pursuant to which claim is referred:

Case in Brief (10 Lines):

Sr No.	Date	Chronology of events (date wise; and where the time is of relevance, time-wise) that has led to the present situation of grievance. You need to mention in very brief as what has happened on each of relevant dates; i.e. state bare facts, and do not state your “views” on the facts. If you are relying on any document, the substance of the document may be stated herein.	Exhibit	Pg. No.

The points to be urged

Instructions:

The illegal acts and omissions of the Respondents and the main points to be emphasized upon, may be set out very briefly; and / or

State here (very briefly) important points (submissions / proposition of law or fact) that you intend to argue in the Court.

The Main Issue which arises, if any:

State the Issues which according to Claimants arise for determination by Arbitrator in this Arbitration.

The Acts to be relied upon

1. The Acts/Statutes/Rules which is /are applicable in your case.

The Authorities to be cited

Instructions:

In our constitutional scheme, the Supreme Court and High Courts are courts of Record; and principal reasoning employed in their orders / judgments may have a precedent value, and may be regarded as law of the land. Any High Court or Supreme Court Judgment relied upon in the case; or it may be stated “At the time of hearing, if any”.

._______________

Advocate for the Claimant

Claimant – In – Person

BEFORE THE LEARNED ARBITRATOR / ARBITRAL TRIBUNAL

AT MUMBAI

SCCAP No. _____ of 2020

(1)________________)

__________________)

(2)________________)

__________________)

__________________) .... Claimants

Versus

(1)________________)

__________________)

(2)________________)

__________________)

__________________) .... Respondents

1. Brief introduction of the parties, i.e. of Claimants and Respondents.

2. Material and other relevant facts of the case:

http://commonlaw-sandeep.blogspot.com/2018/08/pleadings-material-facts-of-case.html

http://commonlaw-sandeep.blogspot.com/2014/12/material-facts-what-are-cause-of-action.html

Pleadings for nature of Arbitration filed or nature of reliefs Claimed

1) To Cancel or set aside any Instrument or Contract or Deed

http://legaldraftsjalan.blogspot.com/2015/05/suit-for-cancellation-of-instruments.html

2) For specific performance of a Contract for delivery of Immovable Property

http://legaldraftsjalan.blogspot.com/2015/05/suit-for-specific-performance-of.html

3) For Refund of purchase Money paid under Contract for sale of immovable property – Article 62

http://legaldraftsjalan.blogspot.com/2017/03/article-62.html

4) For rectification of Contract

http://legaldraftsjalan.blogspot.com/2015/05/suits-for-rectification-of-instruments.html

5) For Rescission of a Contract

http://legaldraftsjalan.blogspot.com/2015/05/suit-for-rescission-of-contract.html

6) By Principal against Agent – Movable property not accounted for

http://legaldraftsjalan.blogspot.com/2017/03/article-3.html

7) By Principal against Agent – for Misconduct / Negligence

http://legaldraftsjalan.blogspot.com/2017/03/article-4.html

8) Against Carrier – Compensation – Losing or Injuring goods

http://legaldraftsjalan.blogspot.com/2017/03/article-10.html

9) Against Carrier – Compensation – Non delivery / Delay in delivery of goods

http://legaldraftsjalan.blogspot.com/2017/03/article-11.html

10) For the balance of money advanced in payment of goods to be delivered

http://legaldraftsjalan.blogspot.com/2017/03/article-13.html

11) For the price of goods sold and delivered – No Credit

http://legaldraftsjalan.blogspot.com/2017/03/article-14.html

12) For the price of goods sold and delivered – On Credit

http://legaldraftsjalan.blogspot.com/2017/03/article-15.html

13) For the price of Work done

http://legaldraftsjalan.blogspot.com/2017/03/article-18.html

14) For Money payable for Money lent

http://legaldraftsjalan.blogspot.com/2017/03/article-19.html

15) When the Lender has given a Cheque for the Money

http://legaldraftsjalan.blogspot.com/2017/03/article-20.html

16) For Money lent under an Agreement that it shall be payable on demand

http://legaldraftsjalan.blogspot.com/2017/03/article-21.html

17) For Money paid for the Defendant

http://legaldraftsjalan.blogspot.com/2017/03/article-23.html

18) For Interest upon Money due

http://legaldraftsjalan.blogspot.com/2017/03/article-25.html

19) For Money payable to the Claimant on Account stated between them

http://legaldraftsjalan.blogspot.com/2017/03/article-26.html

20) For Compensation – Breach of a promise to do anything at a specified time

http://legaldraftsjalan.blogspot.com/2017/03/article-27.html

21) Based on Bill of Exchange / Promissory Note, payable at a fixed time after date

http://legaldraftsjalan.blogspot.com/2017/03/article-31.html

22) Based on Bill of Exchange payable at sight or after sight but not at fixed time

http://legaldraftsjalan.blogspot.com/2017/03/article-32.html

23) Based on Bill of Exchange accepted payable at a particular place

http://legaldraftsjalan.blogspot.com/2017/03/article-33.html

24) Based on Bill of Exchange /Promissory Note fixed time after sight or demand

http://legaldraftsjalan.blogspot.com/2017/03/article-34.html

25) Based on Bill of Exchange /Promissory Note payable on demand

http://legaldraftsjalan.blogspot.com/2017/03/article-35.html

26) By a Surety against the Principal debtor

http://legaldraftsjalan.blogspot.com/2017/03/article-42.html

27) For Money paid upon existing consideration /contract which afterward fails

http://legaldraftsjalan.blogspot.com/2017/03/article-47.html

28) For Compensation – Breach of Contract

http://legaldraftsjalan.blogspot.com/2017/03/article-55.html

29) For Movable property deposited or pawned

http://legaldraftsjalan.blogspot.com/2017/03/article-70.html

30) For Movable property deposited or pawned for valuable consideration

http://legaldraftsjalan.blogspot.com/2017/03/article-71.html

31) In respect of a Movable property used for pervert purposes

http://legaldraftsjalan.blogspot.com/2017/03/article-84.html

32) For specific Movable property

http://legaldraftsjalan.blogspot.com/2015/05/suit-for-movable-property.html

33) For specific performance of a Contract other than Immovable property

http://legaldraftsjalan.blogspot.com/2015/05/suit-for-specific-performance-of_24.html

34) To recover moneys from govts, etc.

http://legaldraftsjalan.blogspot.com/2015/05/recovery-of-money-unlawfully-collected.html

As may be applicable to the facts of the case:

1. The Plaintiffs state that Plaintiffs claim interest in respect of a commercial transaction within the meaning of section 34 of the Code of Civil Procedure, 1908, and such interest is claimed under the terms of the contract / under an _____Act, / ______ (if there is some other basis, state the basis). The Plaintiffs further say that interest is claimed @ ___ per annum; and is claimed for the period starting from (date) to (date); and the interest amount claimed is Rs._____. The Plaintiffs further state that thereafter Rs.____ accrues everyday towards the interest.

2. The Plaintiffs state that all the documents in the power, possession, control or custody of the plaintiffs, pertaining to the facts and circumstances of the proceedings initiated by the Plaintiffs, are disclosed herein and copies thereof are annexed with the plaint, and the plaintiffs does not have any other documents in its power, possession, control or custody. The Plaintiffs further state that _____ (these) documents are in the power, possession, control or custody of the defendant, and crave leave to produce the same by the defendant herein.

3. In case of urgent filings, it may be stated The Plaintiffs crave leave to rely on additional documents. (And subject to grant of such leave by Court, the plaintiff shall file such additional documents in Court, within thirty days of filing the suit, along with a declaration on oath stated hereinabove.

4. The Plaintiffs / Defendants rely on Electronic Record (Email / SMSs / Tape Recorded conversation / CCTV footage / Whats app chat / any other Electronic Record) and the same are reproduced in the form of printouts / CD / DVD / any other storage device.

5. The Plaintiffs / Defendants further state that –

(a) the parties to such Electronic Record;

(b) the manner in which such electronic record was produced and by whom;

(d) the source of such electronic record and date and time when the electronic record was printed;

(e) in case of email ids, details of ownership, custody and access to such email ids;

(f) in case of documents stored on a computer or computer resource (including on external servers or cloud), details of ownership, custody and access to such data on the computer or computer resource;

(g) deponent's knowledge of contents and correctness of contents;

(h) whether the computer or computer resource used for preparing or receiving or storing such document or data was functioning properly or in case of malfunction that such malfunction did not affect the contents of the document stored;

(i) that the printout or copy furnished was taken from the original computer or computer resource.

3. The Claimants say that Claimants No. ___is represented by _____, and who is authorized by Resolution of the Board dated____ / by a Power of Attorney, duly executed in favour of ______ , to represent Claimants No.____. [If applicable]

http://commonlaw-sandeep.blogspot.com/2017/05/power-of-attorney.html

6. Jurisdiction Clause: (State the substance of the Arbitration Agreement / Order of the Court u/s 11 of the Arbitration & Conciliation Act,1996)

7. Limitation Clause: The Claimants say that Notice u/s 21 of the Act was given on dated _______. The limitation period is ___________ years, and is expiring on _________. The Notice is dated __________. Hence, the present Arbitration is not barred by limitation and is filed within the limitation period.

http://commonlaw-sandeep.blogspot.com/2017/05/limitation-period-as-to-filing-of-suits.html

8. No other proceeding Clause: The Claimants say that Claimants have not filed any other Suit or proceeding in respect of the reliefs claimed in this Arbitration proceeding, in any other Court of law, or in the Supreme Court of India.

9. The Claimant would rely upon the documents, the list whereof is annexed herewith. The Claimant confirms and accepts that only the documents that are enclosed with this Claim Form will be used by Claimants in support of their claim and at the oral hearing.

13. Reliefs and Interim Reliefs, if any, claimed: The Claimants therefore most humbly pray –

__________

Claimant No.1

__________

Claimant No.2

_____________

Advocate for the Claimants

VERIFICATION

http://commonlaw-sandeep.blogspot.com/2017/05/verification-clause.html

I, ________ the Claimant No. ___ do hereby state on solemn affirmation that what is stated in the paragraphs ___________ are true to my own knowledge/ are stated based on the instructions received from Claimant and / or documents on record; and what is stated in paragraphs _______ are based on the information, belief and legal advice, and I believe the same to be true and correct.

(Solemnly affirmed at ______)

This day of 20 )

Deponent

Identified / Interpreted / Explained

By me

_____________

Advocate for the Claimants

Before me

VAKALATNAMA

BEFORE THE LEARNED ARBITRATOR / ARBITRAL TRIBUNAL

AT MUMBAI

SCCAP No. _____ of 2020

(1)________________)

__________________)

(2)________________)

__________________)

__________________) .... Claimants

Versus

(1)________________)

__________________)

(2)________________)

__________________)

__________________) .... Respondents

To,

Ld. Arbitrators / Tribunal

___________

Sir / Madam,

I / We, ____________ Claimant/s, in the above case, do hereby appoint Mr. ____________, Advocate, to act, appear and plead for me and on my behalf in the above matter.

In witness whereof, I / we have set and subscribed my / our hands to this writing at ________.

Dated this day of ______ 20____

__________

Claimant No.1

__________

Claimant No.2

Accepted,

______________

Advocate for ______

___________________

__________________

___________________

Mobile No:________

Email Id:_________

Adv. Code:

BEFORE THE LEARNED ARBITRATOR / ARBITRAL TRIBUNAL

AT MUMBAI

SCCAP No. _____ of 2020

___________ ..…Claimant

Versus

__________ …. Respondents

MEMORANDUM OF THE REGISTERED

ADDRESS OF THE CLAIMANTS

Name of the CLAIMANTS

C/o ______________

Advocate

___________________

__________________

___________________

All Communications and service of pleadings, documents are to be made at the undermentioned address: _______________________________, and E-mail address: ____________, Tel. Nos.: __________ Mobile No: ______.

_______________

Advocate for the Claimant

Claimant – In – Person

BEFORE THE LEARNED ARBITRATOR / ARBITRAL TRIBUNAL

AT MUMBAI

SCCAP No. _____ of 2020

___________ ..…Claimant

Versus

__________ …. Respondents

LIST OF DOCUMENTS RELIED UPON

1. Exhibit “A”:

2. Exhibit “B”:

3. Exhibit “C”:

4. Exhibit “D”:

5. Exhibit “E”:

6. The documents referred to and relied upon in the Statement of Claim

7. The documents in the possession of the Respondents, or document in the possession of _______ (name of the person)

8. Any other document, with the leave of the Ld. Arbitrators / Tribunal

Advocate for the Claimant

Claimant – In – Person

BEFORE THE LEARNED ARBITRATOR / ARBITRAL TRIBUNAL

AT MUMBAI

SCCAP No. _____ of 2020

___________ ..…Claimant

Versus

__________ …. Respondents

AFFIDAVIT IN SUPPORT OF STATEMENT OF CLAIM

I, _________ Adult, aged about ____ Indian Inhabitant of _______ / authorized signatory, residing at ………… do hereby state on solemn affirmation as under –

1. I say that, I am fully conversant with the facts of the present Claim / I have stated the facts based on based on instructions received from the Claimant and / or documents on record, and I am therefore able to depose to the same. I have filed the above Statement of Claim, seeking prayers more particularly mentioned in the said Claim.

2. I, for the sake of brevity, repeat and reiterate each and every statement, submissions and contentions made in the Statement of Claim as if the same are specifically set out herein and form part and parcel of this affidavit. I affirm and verify the correctness of the each and every statement, submissions and contentions as set out in the Statement of Claim.

3. I say that if the reliefs as prayed for, are not granted, would cause great harm, loss and prejudice to the Claimants. In the circumstances, the reliefs as prayed for in the Statement of Claim be granted with costs.

Claimant No.

___________

Advocate for the Claimant

VERIFICATION

I, ________ the abovenamed Claimant No.___ do hereby verify the contents of what is stated in the aforesaid paragraphs are true and correct to my knowledge and I believe it to be true and correct; and nothing stated herein is false and nothing has been concealed.

(Solemnly Declared at ______)

This day of 20 )

Deponent

Identified / Interpreted / Explained

By me

_____________

Advocate for the Claimants

Before me

BEFORE THE LEARNED ARBITRATOR / ARBITRAL TRIBUNAL

AT MUMBAI

SCCAP No. _____ of 2020

___________ ..…Claimant

Versus

__________ …. Respondents

*******************************

STATEMENT OF CLAIM

*******************************

Dated this day of ______, 20___

Advocate for the Claimants

Full Address__________

__________________

Email:

Mobile:

Sandeep Jalan

Advocate

https://vakeelkanumber.com/

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