Lok Sabha Question No. 3449 (UNSTARRED), answered on 2021-12-17
Subject: SAROD-Ports
Ministry: PORTS, SHIPPING AND WATERWAYS
Asked by: Pinaki Misra

## GOVERNMENT OF INDIA MINISTRY  OF PORTS,  SHIPPING AND WATERWAYS

## LOK SABHA UNSTARRED QUESTION NO,3449

ANSWERED ON 1711212021

## SAROD.PORTS

3449. SHRI PINAKI MISRA:

Will the Minister  of PORTS,  SHIPPING  AND WATERWAYS be pleased to state: qrrq,  d-dqftq-fl{  sfuq-irqFf  d-fi

- (a) whether SAROD-Ports have been operationalised;
- (b) if so, the number of cases  pending before  the tribunal, port-wise and if not, estimated  timeline  for its implementation;
- (c)  the number  of arbitrators empanelled/proposed  to be empanelled in the SARODPorts and the details  of the empanelment process thereof;
- (d) the composition of the SAROD-Ports and number  of representatives  from lndian Ports Association and the lndian Private Ports and Terminals Association  to be included  in SAROD-Porls; and
- (e)  the composition  of the tribunal deciding  the dispute?

## ANSWER

MINISTER  OF PORTS, SHIPPING AND WATERWAYS (SHRI  SARBANANDA SONOWAL)

- (a) & (b) Yes, SAROD-Ports  has been operationalised  SAROD-Ports  has been registered in Delhi under the Societies Registration Act, 1860. A panel of Arbitrators has been prepared.  SAROD-Ports  is in a position to handle cases of disputes or differences between  the Concessionaire and the Major Port Authorities as and when cases are referred to them. Currently, no case is pending with SAROD-Ports.
- (c) 32 (thirty  two) Arbitrators  have been empanelled  in SAROD-Ports (Annexure  - l). The Arbitrators are empanelled after. inviting  applications  from persons  from different fields like  judicial/legal  experience,  retired or serving officers not below the rank of Joint Secretary  to the Government  of lndia, retired or serving heads of the Government  lnstitutes  and retired Chairperson/Deputy Chairperson of a Major Port Authority and/or on the recommendations of the Search Committee for empanelment of eminent persons  of high integrity having vast experience and knowledge  in port or maritime  sector.
- (d) The sARoD-Ports  consists  of 12 Members (6 Members from lndian  ports Association  and 6 Members from lndian  private ports  and Terminals); and
- (e) The Tribunal ('A sole Arbitrator  or all Arbitrators  when more than one is appointed', as defined in the Arbitration Rules of the sARoD-ports)  deciding the dispute shall have a sole Arbitrator  when the total claim and counterclaim (if any) as set out in the Notice  of Arbitration  and Response  to Notice of Arbitration  respectively is Rs.3 (three) crores and less. ln all cases where the amount  in drspute  is more than Rs.3 (three) crores, the Tribunal shall consist of a three-member  Tribunal to be nominated  by the parties.  The details of the Tribunal are contained  in Rule 1 1 to 13 of the Arbitration Rules of the SAROD-ports (Annexure  - ll).

## List of Shortlisted Arbitrators  of SAROD  -  Ports

|   st. No | Name, Address, email address & Phone Number                                                                                                                                                                                                                                     | D.O,B        | Qualifications   | Last Post Held                                          |
|----------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|------------------|---------------------------------------------------------|
|        1 | Sh. B. Seshasayana Reddy H No.10-1-1281111, Rajasree Residency, 2no Floor, Flat No.203, Masab Tank Hyderabad-500028 Email: bssrl 951 @omail.com Mob: 9440621426                                                                                                                 | 0'1 07. 1951 | 1. BA. 2 ML      | Retired Judge, High Court of Andhra Pradesh, Hyderabad. |
|        2 | Shri Ashok Kumar Tripathi E-406, Parsvanath Prestige, Sector-934 Noida, Distt. Gautam Budh Nagar (U P ) Mob. 099 1 1 566668/07 0427 84387                                                                                                                                       | 1 .08.1952   | 1. 2. LLB B. Sc  | Member Judicial, NCLT                                   |
|        3 | Email: atipathi@vahoo.co. in Justice GrandhiBhavani Prasad Door No 6-3-1219124, Flat No.202, First Floor, Above Karnataka Bank Ltd., Ujwal Bhavishya Complex, Street No.4, Umanagar, Kundanbagh, Begumpet, HYDERABAD- 50001 6. Email: sarala.orandhi@gmail.com Mob : 9440621425 | 09.04.1951   | 1. 2. B.Sc. B.L  | Judge of High Court of Andhra Pradesh                   |
|        4 | Justice N.R.L.Nageshwara Rao House No. 12-19-24 Praksah Nagar Narasaraopet ,Guntur Dist AP -522601                                                                                                                                                                              | 26.07.1951   | 1.8. Sc 2.8.1    | -High Court Judge                                       |

## ANNEXURE \_ I

|    | Mob:9959 3776 67                                                                                                                                                                                                            |             |                                                                                                  |                                                                                                                           |
|----|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------|--------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------|
| 5  | Dr. Justice S.Vimala 36 Prithvi Avenue, lB/lC Coral Classic Apartment Abiramapuran, Alwarpet ,Chennai-18 Email: jusvimala5T@qmail.com Mob: 9444 71 0101                                                                     | 11.01.1957  | 1. B. Sc 2. ML 3. Ph.D                                                                           | of High Judge Madras Court                                                                                                |
| o. | Sh. Rakeslr Kurnar Agrawal A-15, Ground Floor, South Extension Part-ll New Delhi- 1 1 0049 Email lD: Rkagrawal 1 958@gmail. com Mob'.7542030167                                                                             | 20.09. 1958 | "1. M. Teclr (Applied Mechanics) 2. B E.(Civil)                                                  | - Errgineer in Chief PWD, Delhi                                                                                           |
| 7  | Sh. Mahesh Kumar Gupta B-4 , Sector 44 Noida, GautamBudh Nagar, UP-201 301 Email: m kg_irseB3@ya hoo. co. i n                                                                                                               | 1 1 02.1960 | 1. Section A and B. of the lnstitution of Engineers Examination in Civil Engineering Branch AMIE | Chief Engineer, (Construction), East Central Railway, Hazipur (Bihar).                                                    |
| B. | Mob: 9899300900 Sh. Trivikram Nath Tiwari Flat No. 301-B, Block No. 3-8, HIG DDA Flats, Rani Jhansi Road DDA Complex, Motia- Khan, New Delhi - 110 055 Em a i I :tri,v" r kram nt@ya hoo. o Mobile : 98717882771 9868472265 | 08.01 .1956 | 2, LLB - B. Sc. (Honours) - P.G. Diploma in Public Administratio n I-LB Certr[icate I Labour Law | Additional Secretary (lndian Legal Service), Ministry of Law & Justice, Dcpartment of Legal Affairs, Government of lndia. |

|   9 | Sh. Virendra Kumar Verma Flat no. 1125 Prestige lvy league, Hi Tech City Road, Beside Epark TCS, Kondapur Hyderabad, 500084 Telangana Email. vkvermaS 3@ red iff11eJ..qqm Mob'.770242282   | 18.01 .1960   | 2. 1. --TecrriCrvrt Engineering) M. Tech in Soil Mechanics and Foundation Engineering   | Chief Engineer, S.E. Railway                              |
|-----|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------|-----------------------------------------------------------------------------------------|-----------------------------------------------------------|
|  10 | Sh. Pradeep Kumar Gupta T 17 Green Park Extension, New Delhi '1 1 0016 pradeepkg u pta53@g ma i l. com Mob: 9971491696 & 01 1- 26191696                                                    | 19.12.1951    | i B iEeH (HONS) Civil                                                                   | - Special Director General, C.P W.D                       |
|  11 | Sh. Arvind Kumar Arora B-333, Chittaranjan Park, New Delhi 110019 Email : arvindarora20 1 6@gmail. com Mob. :8130588577                                                                    | 10 01 1956    | 1 B E Civil 2 M Tech Civil) 3M Phir ( Defence and Strategic Studies)                    | Director General from Military Engineering Services       |
|  12 | Sh. Dinesh Kumar Tower No. 221801 CWG Village Near Akshardham Temple NH 24 Delhi 110092 Email: dineshku@ Mob: 98 1 07 18565 17 827 247 042                                                 | 23.01.1955    | 1. B.E. Civil                                                                           | - Engineer in Chief Delhi, PWD/Special D.G. CPWD          |
|  13 | Sh. Upendra Malik B 108, NSG Society, plot number 2 pocket 6, Builders Area Greater Noida 201308 UP Email: Upendra.malik@qmail.com                                                         | 02.04.1957    | 1. B.E Civil Engineering                                                                | Special Director General, Central Public Works Department |

|   14 | Sh. Babu Lal Choudhary C1120, Pocket-4 Kendriya Vihar-2, Sector 82, Noida 201304, Gautam Budh Nager UP Emai.blcl 952@qmail.com Mob:9958966916                           | 25.12.1952   | B.Sc LLB DPG in Laws (PGDLL) PGD in Human Resource Manageme nt PG Diploma in lndLrstrial Relatins & Pesonnel Mangemen t PG Diploma in Labour   | - Joint Secretary & Legal Adviser, Ministry of Law and Justice, Department of Legal Affairs   |
|------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------|
|   15 | Sh B. Poiyaamozhi D2117, KendriyaVihar, Paruthipattu, Avadi Poonamalli Road, Chennai- 60007'1 Email: b_poiyaamozh i@ hotmail. com Poiyaamozhi@gmail com Mob: 99686888s4 | 07.08.1956   | Laws B.E. Civil Engineering M.E Urban Engineering PG Diploma Business Administratio n Diploma of Membership Civil Engineering Diplortra uI 5   | Development Adviser (Ports), Ministry of Shipping                                             |
|   16 | Sh. Rusheekeswara Rao Akula 82,"Anukampa" 2nd Main Road Bthcross, BDS Gardens,                                                                                          | 28.08.1949   | Arbitration 1 2 3 B.Sc (Engs) PG(DBA) Certificate in Fluvial transport                                                                         | Development Advisor (Ports) Ministry of Shipping                                              |

|     | Geddalahalli, Hennur Road, Bangalore -560077 Email: arraodap@yahoo. in                                                                                |               | 4. Certificate in Port Managemen t Operations                                                    |                                                                                                  |
|-----|-------------------------------------------------------------------------------------------------------------------------------------------------------|---------------|--------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------|
| 17. | Mob:9810081473 Dr. Lalit Varma IAS 1984 Batch, UP Cadre, 4225, Shivalik, Malviya Nagar, New Delhi 110017 Email: drlalitvarma@qmail.com Mob:9415338066 | 13.02.1962    | 1. M.A.(Econo mics) 2. L.L.B 3. P.G. diploma in Managemen t 4. PhD                               | - Additional Chief Secretary UP Government                                                       |
| 1B  | Sh. Manindra Chandra Panda DDA SFS No-151, Sector- 22. Dwarka, New Delhi- 110077 ma nidra. pa nda@va h oo. com Mobile No 9999008545                   | 23-01-1949    | Economics, B. Sc Engg (Mech) PG Diploma in lndustrial Manage ment PG Diploma in Labour Law 2. 3. | Additional Director General, DGS&D, (Additional Secretary), Ministry of Commerce, Govt. of lndia |
| 19. | Sh. Afzal Amanullah l33,Patliputra Colony, Patna 80001 3 Email lD : groovesl33@qmail.com Mob:9868255133                                               | 1 4.05. 1 956 | MBA 1. Master in Public Administratio n 1. Bachelor of Law 2. MA Economics, 3. BA (Hons)         | Secretary to Government of lndia, Ministry of Parliamentary Affairs, New Delhi.                  |

| 20   | Capt. Dhiren Kumar Mohanty Plot No.645 Shaheed Nagar Bhubaneswar, Odhisha-75 1 007 Email: kdhirenT6O@gmail com Mob: 9438337451                                  | 20.01.1955   | 1. B.A. 2. Master Mariner                                        | Chairman Managing Director, Dredging Corporation lndia Pvt. Ltd.   |
|------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|------------------------------------------------------------------|--------------------------------------------------------------------|
| 21   | Sh. Rajesh Tripathi 7 P4 Radha Beach Residency , Beach Road, Maharani Peta, Vishakhapatnam, AP-530002 Email: rajeshl28@vahoo.com Mob. 99081 18726, 89 1 2563648 | 07.02.1961   | - M Tech (STRs) - B.E. (CrvrL) - Diploma in Business Managemen t | ED/Railway Board upto 01 022015 MD, Dredging Corporation of lndia. |
| 22.  | Sh. M. A. Bhaskarachar Flat no. 51, DO Block KendriyaVihar, B.B.Road, Yelahanka, Bengaluru- 560064 Emai I : b haska rachar@qmai l. co m Mob:9566093344          | 12-07-1957   | 1. B.Com 2. FCME 3. Certificat E COUTSC on Arbitratio n, lCAl    | Chairman and Managing Director, Kamarajar Port Ltd                 |
| 23   | Sh. S Natarajan E -144, Embassy Residency Cheran Nagar, Perumbakkam, Chennai 600100 Email: nataraia ndvcpt@q ma i l. com Mob: 9443389503                        | 10.06 1958   | M.Com AICWAI DMT CS,(lnter)                                      | Deputy Chairman, Major Port Trusts                                 |
| 24,  | Sh" N. Valyapuri No.5B, Dr. M. Varadrajan Sanjeevi Nagar Chennai- 6001 06 Email                                                                                 | 09 10 1959   | 1tsU 2. MBA 3. Master Degree in Port Manaqeme                    | Deputy Chairman VOC Port Trust.                                    |

|    | n v p u ri p pt@ gm-at[ pgm Mob. 9937411117                                                                                                                               |            | nt and Harbour Administrati on                                                                                      |                                                                                       |
|----|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------|---------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------|
| 25 | Sh. G. Senthilvel Door-12, Plot No.7 & B, Bhavnandiar 6th Cross Street, Sembakkam P.O.. Selaiyur, Chennai -600073 Tamil Nadu Email. qsaisenthil@omail.com Mob. 9800078643 | 28.12.1959 | 1 M.Com 2.MBA 3.PG Diploma ln labour Administratio n. 4. Associate Member of Cost and Managemen t Accounts of lndia | - Deputy Chairman, Haldia Dock Complex, Kolkata Poft Trust                            |
| 26 | Sh. Divya P. Sinha 83, Lodi Estate, New Delhi 1 1 0003 Email: dpsinha ips @gmail.com Mob:9868264271                                                                       | 26.09.1955 | 1. B.Sc (Hons.)                                                                                                     | - Secretary ( Security, Cabinet Secretariat). Retired Central lnformation Commission. |
| 27 | Sh. Subrahmonian Machendranathan , IAS C-lll18, Bappa Nagar, New Delhi- 1 10003. Email: pksmnathan@gmail.com Phone No.: 23071125 Mobile No.: 9560922339                   | 07.03.1954 | 1. BBA 2. MBA                                                                                                       | - Chairman, VOC Port Trust. - Secretary (Coordination), Cabinet Secretary.            |
| 28 | Sh. A. Balasubramanian Email: bala.aT@qmail.com Mob: 9840299305                                                                                                           |            | 1. B. Com 2. MBA 3. Fellow FCMA 4. LLB 5. PG Diploma in Competition Law                                             | - Eminent Expert in the legal field and is financial I PPP Marine Adviser.            |

|   29 | Ms. Anuradha Bhatia, IRS Email: anubhatia60@vahoo.com Mob:9892101485                                                                                                          | 26 08.1960   | 1 2 J LLB M.A. B.A.                                                                                                                               | Principal Chief Commissioner lncome Tax, Mumbai.                                                           |
|------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------|---------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------|
|   30 | Sh. Gopal Krishna D-52, Ground Floor, Saket, New Delhi - 110017. Email: qkrishnaT9@hotmail.com, gkrishna549@qmail. com Mobile No: 9903254000, 890275561 6                     | 14.04.'1 960 | 1. MBA 2. M. Sc. 3. B. Sc. (Hon.)                                                                                                                 | - Secretary to the Government of lndia, Ministry of Shipping.                                              |
|   31 | N. Sivasailarn Mobile No. 9448990310                                                                                                                                          | 23.04. 1960  | I. BE (Mech. Engg.) 2. MBA 3. PG Diploma, IPR                                                                                                     | - Special Secretary (Logistics), Department of Commerce, Government of lndia.                              |
|   32 | Sh. Subash Chandra Mohanty R1, Flat No. 303 Park View Appartment Hauz Khas, New Delhi - 1 100'16 Email: subashmohanty39@gmail. com Mob: 70081 18521/9861 1 30358/9938 5041 51 | 10.12.1967   | 1. M Com 2. MBA 3, LLB 4. LLM 5. e-Accountant and Taxation Management 6. MDP on Computerized accounting and Tally 7. Certificate on Stock Brokinq | - Eminent Expert in the legal field and associated with Paradeep Port Trust and other Government Agencies. |

## ANNEXURE  . II

## ARBITRATION RULES OF THE SOCIETY FOR AFFORDABLE REDRESSAL OF DISPUTES - PORTS (SAROD-PORTS)

## Rule

1. Scope of Application
3. Notice,  Calculation  of  periods  of Time
2. Definitions
4. Commencement  of Arbitration
6. Filing of Case Statements
5. Response  by Respondent
7. Contents  of Case Statements
9. Further Written Statements
- B. Default  in Filing and Serving Case Statements
10.  SAROD-Ports  to  provide  Assistance
12.  Multi-party  Appointment of the Tribunal
12. I 1. Appointment of Tribunal
13.  Appointment of Substitute  Arbitrator
15.  Code of Ethics for Arbitrators
14.  lndependence and lmpartiality of the Tribunal
16.  Challenge  of Arbitrators
17. 1U. Removal of the Tribunal
17.  Decision on Challenge
19.  Re-hearing  in the Event of Replacement  of the Tribunal
21.  Fees of SAROD-ports  and Arbitral Tribunal
20.  Jurisdiction  of the Tribunal
22.  Transmission of File of the Tribunal
24. Language  of Arbitration
23.  Juridical  Seat of Arbitration
25.  Conduct of the  proceeding
27.  PartyRepresentatives
26.  communications  between  parties  and the Tribunar
28.  Hearings
30.  Witnesses
29. Documents  - only Arbitration
31. Experts Appointed by the Tribunal
32. ?2 Rules applicable  to substance of dispute
34.  Additional  powers  of the Tribunal
33. Closure  of Hearings
35. Deposits  to Costs arrd Expenses
36. 3'i. I"lre  Award
36. Decision  Making  by the-fribunal
38. j-18. Addrtronal  Award
39. 4O. Scttlement
40. 39, Correction  of Awarcl
41.  lnterest
43.  Waiver
42. Costs
44. Exclusion  of Liability
46.  Amendment  to Rules
45. General Provisions

## ARBITRATION  RULES OF SAROD-PORTS

## INDEX

## PREAMBLE

ln order to seek speedy, affordable,  just and reasonable Redressal ofDispute/Differences  between Major Port Trusts andConcessionaire/Contractor arising out of and during the course of execution ofvarious  contracts, a Society for Affordable Resolution  of Disputes - Ports (SAROD-Ports)  has been formed under the Societies Registration  Act, 1860 withregistration no. S-E/1715/Distt. South Easlt2O2O dated 30tn January,2020.  lt has been formed by lndian Ports Association  and lndian Private Ports and Terminals Association with founding members  as mentioned in the Memorandum  of Association ofSAROD-Ports.

## Rule 1- Scope of Application

- at the Society for Affordable Resolution  of Disputes  -  ports  ("SARoD,ports,,), or under the Arbitration  Rules of the SARoD-Poris  and where  the case is a domestic arbitration,  the same shall be conducted  in accordance  with the following Rules, or such Rules as amended  by the SARoD-ports  where the amendments  take effect before the commencement  of the Arbitration
- 1.2  These rules shall come into effect from the day of approval by Governing Body ofSAROD-ports.

## Rule 2  -  Definitions

- 2.1 These Rules shall be referred to as "the  SARoD-ports ArbitrationRures,,.
- 2.2 ln theseRules:
- "Act" means the'Arbitration  and Conciliation  Act, 1996'of lndia and any statutory  modifications  or re-enactments  thereof
- "Domestic  Arbitration" means anarbitration  other than an international commercial  arbitration as defined under the Act.
- "E-Arbitration"  means submission  of pleadings,  defence  statement  etc. by E-mail and holding of proceedings  via video conferenci-hg.
- "Go-verning  Body" means Governing Body of sARoD-ports as defined in Article 4 of Memorandum  of Association.
- "lPA" means lndian  ports  Association.
- "IPPTA" means lndian  private  ports  and rerminals  Association
- "Party"  means a party  to an arbitration  agreement.
- "President"  means President  of Governing Bocly  of SARoD-ports  as defined in Rules & Regulation  of SAROD\_ports.
- "sARoD-Ports"  means  the society for Affordable Reclressal of Disputes-  ports.
- "sARoD-Ports  Arbitrator Panel"  means the list of persons  admitted to serve as Arbitrators under these Rules.
- "secretary"  means  secretary of sARoD-Por1s as defined in Rules & Regulation  of SAROD-Ports.

"Tribuna!"  means either a Sole Arbitrator  or all Arbitrators when more than one is appointed.

## Rule 3 - Notice, Calculation of periods of Time

- 3.1  All communications  including notice, communication, or proposal, shall be in writing  ("written communication").  Any such written communication is deemed  to have been received if it is delivered to the addressee  personally, or by post at his (a) place of business, (b) habitual residence,  or (c)mailing  address, or by any form of electronic  communication  (including  electronic mail or facsimile) which  provides a record of its transmission or in any other manner  as may be ordered by the Tribunal.
- 3.2  For the purposes of calculating a period of time under these Rules,such period shall begin to run on the day following  the day when a notice, notification, communication or proposal is received. lf the last day of such period is an official holiday or a non-business  day at the residence  or place of business  of the addreisee, the period is extended until the first business  day which follows. Gazetted public holidays  or non-business  days occurring during the running of the period of time are included in calculating  the period.
- 3.3  The transmission is deemed to have been received on the day oftransmission.
- 3.4  The parties shall file with the Secretary, a copy of any written communication concerned  arbitration  proceedings.

## Rule 4- Commencement  of Arbitration

- 4.1  Any party wishing to commence an arbitration  under these Rules ("the Claimant")  shali file with the Secretary and serve on the other party  {"the Respondent',),  a written Notice of Arbitraiion  ("the Notice  of Arbitration") which shall include the following:
- a. a request  that the dispute be referred to arbitration;
- b. the names, addresses,  telephone numbers, fax numbers and email addresses of the parties to the dispute;
- c. a reference to the arbitration clause or any separate arbitration agreement that is invoked and provide a copy of the arbitration clause  or a rbitrationag  reement;
- d. a reference to the contract out of which the dispute arises and provide a copy of the contract  wherepossible,
- e. a brief statement  describing  the nature, facts and circumstances leading to the dispute,
- f . the relief or remedy sought, including  the amount of claim if quantifiable at the time the Notice or Arbitration isfiled;

- g. a proposal  as to the number  of Arbitrators (i.e. one or three), if the parties  have not previously  agreed on the number;and
2. h' The name of the proposed sole Arbitrator  from the panel of Arbitrators maintained  by sARoD-ports,  or in case of a three member Tribunal  ,  the name of its nominee Arbitrator  from the panel of Arbitrators maintained  by SAROD-Ports
3. 4.2  A filing fee of Rs 10,000/- (Ten Governing  Body from time to time is arbitration. Thousand rupees)  or any amount decided by payable  at the time of filing the Notice  of
4. 4'3  The date of receipt of complete notice of Arbitration including  the requisite filing fees with the Secretary is the date of commencement of the arbitration for the purpose of the SAROD-por1s arbitration rules.
5. 4'4  For tlre avoiclartue  of cloubt, tlie Notice oI Arbitratron  ts deemed to be complete  when all the requirements  of Rule 4.1 have been fulfilled  or when the Secretary determines  that there has been substantial compliance  with the requirements.

## Rule 5 - Response by Respondent

- 5'1  Within 14 (fourteen)  days of receipt of the Notice of Arbitration,  the Respondent shallfilewiththeSecretaryandserveuponontheClaimant, aResponseincluding
- a, A confirmation  or deniar of ail or part of thecraims;
- b' Brief statement  ofthe nature and circumstances  of any envisaged counterclaims
- c. A comment in response to Arbitration; any proposals  contained in the Notice of
- d' The name of the respondent's nominatedArbitrator.
- e, statement  specifying  the relief claimed, including  the amounts  of quantified  counterclaims,  if any, and if such counterclaims'are  quantirlote  at the time the Response  to Notice of Arbitration is fireJ;
- f' f ltner  a confirmation  to the name of the sole Arbitrator proposed  by the (jlarmant  or in case of disagreenrent, propose  the name of flre sole Arbitrator frottt tlte panel  of Arbitrators  maintained by snHclu-ports.  ln case of a three member Tribunal, the name of the nominee  Arbitrator  from the panel of Arbitrators  maintained by sARoD-ports wiil be proposeo  by the craimant as well as by the respondent.  ln such situations, ine-appointment  of the sole Arbitrator or the Tribunal  shall be as per the provisions  of Rule 11.3.

- g. the names and contact details of the Respondent, and its legal iepresentatives  (if any), (including  postal addresses, telephone numbers,  fax numbers, and email addresses, if available);
2. 5.2  A filing fee of Rs 10,000/- (Ten thousand rupees) or any amount decided by Governing  Body from time to time is payable at the time of filing theResponse.
3. 5.3  In case parties have objection  to the.iurisdiction  of Arbitral Tribunal, such objection shallberaised  at the earliest as per the provisions  of the Arbitratton  and Conciliation  Act,  1 996.

## Rule 6- Filing of Case Statements

- 6.1  Within 30 (thirty) days after the filing of the Notice of Arbitration, the claimant must file with the secretary  and serve on the Respondent,  a statement of Claimant's  Case alongwith  all documents  to be relied upon by theClaimant.
- 6.2  Within 30 (thirty) days after the  service of  the  statement  of claimant,s  case, the Respondent must file with the secretary  and serve on the claimant, a statement of respondent's  defence  and counterclaim  (if any) alongwith all documents  to be relied upon by theRespondent.
- 6.3  Within 30 (thirty) days after the service of the statement of Respondent's defence,  if the claimant  intends  to  challenge anything in the statement of Respondent's defence and/or counterclaim,  the claimant  must then file with the Secietary and serve on the Respondent,  astatement  of claimant's reply  and if necessary,  defence to counterclaim.
- 6.4 No further case statements may be filed without the leave of the Tribunal or if a Tribunal has not been appointed,  the Secretary.
- 6.5  The Tribunal or if a Tribunal has not been appointed,  the Secretary,  may upon the written application  of a party,  extend the time limits  provided  under thisRule.
- 6.6  The party required  to file a case statement  must at the same time deposit  with the Secretary ior eventual transmission to the Tribunal an additional  copy or additional copies of the case statement, according  to the number of Arbitrators constituting  or who will constitute theTribunal

## Rule 7 - Contents of Case Statements

- 7.1  The case statements must contain the detailed  particulars  of the party's claim, defence  or counterclaim  and must thus contain a comprehensive  statement of the facts and contentions  of law supporting  the party'sposition
- 7  .2 ltmust:
- a. set out all items of relief or other remedies sought  together  with the amount of all quantifiable claims  and deta iledca lcu lations'

- b. State furry its reasons  for denying any alegation or statement  of the other party.  state furly its own version of eventJ  if a party  intends to put forward a version of events different from that given by the other  party.
2. 7.3 A case statement  must be signed by or on behalf of the party makingit.

## Rule 8 - Default in Filing  and Serving Case  Statements

- 8.1 lf the claimant fails within the time specified under these Rules or as may be fixed by the Tribunar  or by the secretary,  to submit its Statement of case, the Tribunal or if a Trrbunar has not been appointed, the Governing Body .uy ir"r" an order for the termination  of the arbitral proceedings  orirake -such other directions  as may be appropriate in thecircumstances.
- 92 lf the Respondent  fairs to submit a statement of Respondent,s Defence, the Tribunal  may nevertheress proceed  with the arbitration  and make theaward.

## Rule 9 - Further Written Statements

- 9.1  The Tribunal will decide which further written statements, in addition to the case statement(s)  already filed, are required  from the parties  and shall fix the periods  of time for giving,  filing and serving suchstatements.
- 12 All such further statements must be given to the Tribunal, filed with the secretary and served on the craimant or RespJndent,  whichever isappricabre.

## Rule 10 - SAROD-Ports  to  provide  Assistance

- 10 1  At the request of the Tribunar  or either party,  the Secretary wirr render such assistance as is required  for the conduct  of the aibitration, incruding  urrrrginj fo, facilities,  suitable accommodation  for sittings of the Tribunar, secreta"riar  ,r.lrtin"" or rnterpretation of theserules.
- 10.2 Any additionar expgnses incurred or to be incurred for any such arrangements shall be borne by the parties.

## Rule 11- Appointment  of Tribunal

- 11.1 The disputes shall be decided by a Sole Arbitrator  when the total claim and counterclaim  (if any) as set out in the Notice of Arbitration and Response  to-Noilce or Arbitration  respectively  is Rs.3 (three)  crores or less.
- 11.2 ln all cases where amount  in dispute  is rnore than Rs.3 (three)  crores,  the Tribunal  shall consist of a three-member  TribLrnal  to be norninatecr  ty the pa,ti.s.
- 11  3  where the dispute is to be decided  by a sore Arbitrator, both parties sharl mutually appoint  a sore Arbitrator  from  the paner  of Arbitrators  maintaineJ  by sARoD- Porls within 1b (fifteen)  days from the date ot tne Notice of Arbitration.  rf the parties  fail to agree  on the appointment  of Arbitrator within  15 (fifteen)  oryi iro. tr.'," receipt of a request  by one party from the other party,  the appointmeni srritt ne maoe

upon request  of a party, by the Governing  Body from the panel of Arbitrators maintained by sARoD-Ports.  The Governing Body shall consider the nature of the dispute  as set out in the Notice  of Arbitration, and the response  to the Notice of Arbitration  (if filed),  prior to appointment of the sole Arbitrator

- a) Where the dispute  is to be decided  by a Tribunal comprising of three Arbitrators, each party shall appoint one Arbitrator from the panel of Arbitrators  maintained  by sARoD-Ports, and the two appointed  Arbitrators shall appoint  the third Arbitrator  from the panel of Arbitrators  mainlained  by sAROD-Ports,  who shall act as the Presiding Arbitrator. ln an arbitration  by a three member  Tribunal, if (i) a party fails to appoint an Arbitrator  within  15 (fifteen)daysfromthereceiptofrequestfromonepartytodoso,or(ii)ifthe iwo appoinied  Arbitrators fail to agree on the appointment  of third Arbitrator within 15 (fifteen) days from the date of their appointment' then the appointmeni  of the Presiding  Arbitrator  shall be made, upon the request  of a party by the Governing  Body of sARoD-Ports  from the panel of Arbitrators maintained bY SAROD-Ports.
2. b)TheeligibilitycriteriaforempanelmentofArbitratorswillbedecidedby the Governing BodY.
3. 11.4 An Arbitrator/Presiding Arbitrator to be appointed  under ihese Rules shall be a person on the sAROD-Ports  Arbitration Panel as at the date of theappointment

ll.5lntheeventofanypartyfailingtoappointArbitratorwithin30daysof receipt of the notice of Arbitiation,  the Governing Body shall appoint the Arbitrator or Presiding  Arbitrator as the case may be

## Rule 12- Multiparty appointment of the Tribunal

12.1 ln an arbitration  where there are more than two  parties to the arbitrationandasoleArbitratoristobeappointedintermsofRulell'1' the parties may agree to jointly nomrnate-the  sole Arbitrator from the panelofArbitratorsmaintainedbySARoD-Ports.lntheabsenceofsuch jtint  no-inrtion  having been made within 3O days of the date of Notice of hrbitration,  the Governing  Body shall appoint the sole Arbitrator from the panel of Arbitrators  maintained  by SAROD-Ports

- 12.2 ln an arbitration  where there are more than two  parties to the arbitration,  and three Arbitrators  are to be appointed' the Claimant(s) shall jointly nominate one Arbitrator  and the Respondent(s) shall  jointly nominate one Arbitrator, from the panel of Arbitrators  maintained  by SAROD-Ports,andthetwoappointedArbitratorsshallappointthethird Arbitrator  from the  panel of Ar'bitrators maintained  by SAROD-Ports'.  who =hatt act as the presiding Arbitrator' lf (i) a party  [i  e. the Claimant  (s) or Reipondent (s), as the Ju=.  -ry bel, fails to appoint  an Arbitrator.within thirty days from the receipt of requesi from one party to do so' or.(ii) if the i*o'upptint.d  Arbitrators fail to agree on the third Arbitrator within thirty Jrvt i-rn  the date of their appointment, then the appointment shall be -"0. Uy the Governing Body of SAROD-Ports from the panel of

Arbitrators maintained  by SAROD-ports.

## Rule 'l  3-Appointment  of Substitute Arbitrator

ln the event of the death or resrgnation  of any of the Arbitrators  or if the Arbitrator withdraws  from his office for any reason or by or pursuant  to agreement  of the parties,  or if the Arbitrator  becomes de jure  tr de facto unabre"  to puJo, r.,i, functions  or for other reasons  fair to act without  any undue deray, a substitute Arbitrator must beappointedbytheiameprocedureas  inRule '1  lbywhichtheArbitratorconcerned was appointei, fairing  which, the -Governing Body will make the appointment.

## Rule 14 - lndependence  and lmpartiality of the Tribunal

- 14.1 The Tribunar  conducting  arbitration under  these Rures  shal be and remain  at all times  independent  and impirtiar,  and sha, not ac1-a, advocate  for anyparty.
- 14  2  A  prospective  Arbitrator shail discrose  to those who approach him inconnection  with his possibre  appointment  any circumstances  rikery  to grve  .se to justifiable  doubts  as to his impartiality  orinOepln'Oen  c-e.
- 14  3  An Arbitrator,  from ,the time of his appointment  and throughout  arbitral proceedings,  sharr  without deray, discrose  to the secretary  and the parties  in writing circumstances  referred in 14.2 ,nress tney rrave already been infoimed of tt.,", oy

## Rule 15 - Code of Ethics for Arbitrators

AnArbitrator  isafountain  of justiceandemblemof  equity,fairness  andgood conscience.  Therefore  he/she  is expected  to "*r,inii a nobre  conduct.  The code of conduct prescribed  by the Governing  Body nas to neaOopteO.

## Ap pointment

- 15 1 A prospective  Arbitrator . shail  accept an appointment  onry if he is fuily satisfied  that he is abre to discharge  nis duiies w,itiout nias, he has an adequate knowledge  of the ranguage  of the ar*bitratio;.  ;;;  ;;;r abre to give ro the arbitration the time and attention  which the parties  are'rea.on"Oty  entitleito;xpe;i, *  - -"
- 15.2 ln this code,  the masculine  includes  thefeminine.

## Disclosure

- 15  3 A prospective  Arbitrator  shaI discrose  aI facts or circumstances  thatmav  orve rise  to  jr-rstifiabre  doubts aslo hisimpartlnriiyoi  inoffio".." ."r"n jr,r'a'"JLi.r" thororrgh  out the arbitrar oroceeding;s  witrr icgard  io";w facts  and circunrsta,ces,  i, terms of the Arbitration and conciriiiio.  n"i. iss6 ,*'aimenoea  from time totime
- 15.4 A prospective  Arbitrator  shal discrose  to the secretary and any partywho approaches  him for a possibleappointment.

## Bias

15.5 The criterla for assessing  questions  relating  to bias are impartiality and independence.  Pa rtiality arises when an Arbitrator favour one of the parties or where he is pre.ludiced  in relation to the subject matter of the dispute.  Dependence arises fromrelationships  between anArbitrator  and one oftheparties, or with someone  closely connected with one of theparties.

- 15.6 Any closepersonalrelationship or current direct or  indirect business relationship between  an Arbitrator  and a party,  or any representative of a party, or with a person  who is  known to  bea potentially important  witness, will normally give rise to  justifiable doubts as to a  prospective  Arbitrator's impartiality  or independence.  past  business  relationships  will  only give risetoiusttfia  b le

doubts if they are of such magnitude or nature as to be likely to affect a prospective  Arbitrator's judgment. He should decline to  acceptanappointment  in such circumstances  unless the parties agree in writing  that he mayproceed'

## Communications

- 15.7 Before accepting an appointment, an Arbitrator may only enquire. as to the general nature of the dispute, the names of the parties and the expected  time  period required for thearbitration.
- 15.8 No Arbitrator  shall communicatewith any of the parties or their counsel until after the Secretary  gives notice  of the formation  of the Tribunal  to theparties.
- 15.9 Throughout  the arbitral  proceedings,  an Arbitrator shall avoid anyunilateral communications  regarding  the case with any pafiy, or itsrep resentatives  '

## Fees

15.10 ln accepting an appointment,  an Arbitrator agrees to the remuneration  as prescribed  in ihe Schedule to the rules of SAROD-Ports,  and he shall make no unilateral arrangements  with any of the parties  or their counsel  for any additional fees or expenses  without the agreement of all the parties and the consent of the Secretary  of SAROD-Ports.

## Conduct

1  5.1 1 Once the arbitration  proceedings  commence, the Arbitrator shall acquaint himselfwith  all the facts and arguments  presented and all discussions relative  to the proceedings  so that he may properly  understand  thedispute'

- (a) Any past or present close  personal relationship or business relationship, whether direct or indirect,  with any party to ihe dispute, or any representative of a  party, or any person known to be a potentially important witness in thearbitration,
- (b) The extent of any prior knowledge  he may have of thedispute.

## Confidentiality

- 1l 13 TP arbjtration  proceedings shallremain  confidential.  An Arbitrator  is in a relationship  of trust  to the parties  and shourd  not, at any trme,use confidentiar information  acquired during the course  of the proceedings  to gain personar advantage  or advantage  for others,  or to affect adversery the interest  ofanother.
- liJrr..rn,. Code is not intended  to provide  grounds  for the setting aside of any

## Rule 16- Challenge  of Arbitrators

- 16  1 An Arbitrator  may be charenged  if there arecircumstancesthat give rise to justifiable  doubts  as to hrs impartiirity  or independence  and arso if he or she has committed  anymisconduct.
- ]92 T  Arbitrator may arsobe chailenged if he does not possessthe quarifications required  by the agreement  of theparties
- 16  3 A parly  may chailengeanArbitrator  appointed  on its nominationor  with iis agreement onry for reasons  of which it becomes aware after *,e ,ppoinlreni nas beenmade.
- 16 4  A party  who intends  to chailenge an Arbitrator  shail fire with the secretary  and serye  on the other party  or aI otherparties,  wh ichever rs appricabre.  a Notice of challenge.
- 16  5 The Notice of charenge  must be fired andservedwithin  14 days from the appointment  of the Arbitrator.or  within  ra oavs artei the circumstances  mentioned in Rule 15. 1 became  known to thatparty.
- 16.6 The Notice of challenge  must state the reasons for thechallenge.
- 16 7 The arbitration  sha, be suspended  untir the charenge is resorved  ordecided u pon.
- 16.8 When an Arbitrator  has been challenged  by one party.  the other party may agree to the challenge. The Arbitrator  ruy "i.o, ,h", tnu challenge, withdraw from his office. However,  it is not impried in  eithdr;r;  ;;t there has been an acceptance of the varidity  of the qrounds  for the chafeng;.  i;b;th cases, the procedure  provided LrT:j:"], read with Rute 13, shail  bq u"rlO r* in" appointment  or a suUriitutu

## Rule 17 - Decision  on Challenge

- 17  '1  rf the other oartv does  not agree to the charenge  and the Arbitrator does not withdraw,  the decision  b, *," .r,rr[-ng",irirr'0"  ,ri"'iv,re GoverningBody.
- 17 2  l: the Governing  Body,sustains  the chailenge,  a substituteArbitrator  shail be appointed  or chosen pursuant  to the proceduie  ,p"pri"aore  to the appointment  of an

Arbitrator as provided in Rule 11 read with Rule 13. lf the Governing Body dismisses the challenge,  the Arbitrator shall continue  with thearbitration.

## Rule 18 - Removal of theTribunal

- 18.1 The Governing Body may on the applicatron of a party remove  anArbitrator:
- a. Who is physically or mentally incapable of conducting the proceedings or where  there are  justifiable doubts as to his ability to do so;or
- b. who has refused or failed to use all reasonable  dispatch in conducting the arbitration or making  anaward.
- c. Who has continuously absented  from attending the proceedings for more than three sittings wiihout prior permission of the Presiding Arbitrator/Governing  Body of SAROD- Ports.
- 18.2 An Arbitrator  may also be removed where complaints are received or on the Governing  Body's own initiative when it decides that the arbitrator  is prevented de jure  or dZ facto lrom the fulfilling the arbitrator's  functions, or that the  particular Lrbitrator is not fulfilling the functions in accordance with the Rules or within the prescribed  time limils
- 18.3 Where applications or complaints  are received  against an Arbitrator  for removal,  there shall be a committee consisting of at least three members of the Governing Body to examine the same and make a recommendation to the couernini  Body within 10 days from the date of receipt of the application or complaint- as to what appropriate  action may be taken against the concerned arbitrator.
- 18.4 The committee shall afford an opportunity of hearing to the Arbitrator(s) concerned before making  any recommendation  in the matter'
- 18.5 The Governing Body, if deems fit may afford an opportunity of hearing to the concerned arbitratoi before taking a decision on the recommendation of the com m ittee.
- 18.6 Upon the removal of the Arbitrator, a Substitute  Arbitrator shall be appointed  in accordance  with Rule 11 read with Rule13.
- 18.7 The Governing Body's decision on the application is final and is not subject  to appeal orreview.

## Rule 19 - Re-hearing in the Event of Replacement  of the Tribunal

- 19..1 Unless  otherwise agreed by the parties, where  an Arbitrator  is replaced  under rule 18, any hearings  prEviously  held may be repeated at the discretion of the Arbitral  Tribunal.
- 19.2 Unless  otherwise agreed by the parties, an order or ruling of the arbitral

Tribunal  made prior to the replacement invalid solely  because  there has been a Tribunal. of a Arbitrator under rule 1B shall not be change in the composition  of the Arbitral

## Rule 20 - Jurisdiction  of the Tribunal

- 20'1 The Tribunal shall have the power  to rule on its own jurisdiction,including  any objection  with respect  to the existence, termination or validity of the arbitration agreement. For that purpose,  an arbitration agreement  which forms part of a contract shall be treated as an aqreement  indefiendent  of the other terms of the contract.  A decision by the Tribunil that the coniract is null and void shall not entail ipso jure  the invalidity  of the arbitrationagreement.
- 20 2  The plea that the Tribunal does not have jurisdiction  shall be raised not later than in the Statement of Defence.  A plea  that ths Tribunal is exceeding the scope of its authority  shall be raised promptly  after the Tribunal  has indicated  its intention  to decide  on the matter alleged to be -beyond the scope of its authority.  tn either case the Tribunal may nevertheless admit a tate plea under this Rule if it considers the delay justified  A party  is not precluded from raising such a plea by the fact that he has nominated,  or participated  in the appointment  oianArbitrator.
- 20'3 The Tribunal  shall rule on an objection  that it lacks jurisdiction  as a preliminary question  upon the oblection  being raiied lt may rule on an objlction  that it exce.eds the scope of its authority either as a preliminary  question  or in an award on the merits, as it deems just  andconvenient.
- 20'4 ln addition  to the jurisdiction  to exercise the powers  defined elsewhere in these Rules, the Tribunal shall have jurisdiction  to determine  any-question  of law arising  in the arbitration;  proceed  with the arbitration  notwithsiandingthe  failure or refusal  of any party  to comply with these Rules or with the Tribunal,s orders  or directions,  or to attend any meeting  or hearing, but only after giving  that party written notice that it intends to do so; and to reieive and take into account such yJ'fffft:;'l#'o"nce  as it shall determine to be relevant, whether  or not stricty
- 20'5 The arbitral rribunal shall decide on a plea referred  to in 20.2 and where  the arbitral  rribunal  takes a decision rejecting  the plea, continue  with the arbitral proceedings  and rrrake an arbitral  award.

## Rule 21 - Fees of sARoD-ports  and Arbitrar  rribunar

Registration  Fee (Non - Refundablc):  Rs.10,000/-  (Ten  thousand  rupees)  or any amount fixed by Governing  Body from time to time.

## Arbitral Tribunal Fees

The Arbitral  rribunal fees and other miscellaneous  expenses  shall be as per the Schedule to these rules as decided  by the GovernhgBody  from time to time.

## Rule 22- Transmission  of File to the Tribunal

- 22.1 The Secretary  shall, as soon as practicable  transmit  to the Tribunal, a file containing  the Notice  of Arbitration,  the Response  and all casestatements.
- 22 2  The Tribunal  shall as soon as practicable, after consultation  with the  parties, issue such orders and/or directions  as are necessary for the conduct of the arbitration  to conclusion,  including  a timetable for steps to be taken in the arbitration and for the hearing  of thearbitration.

## Rule 23- Judicial Seat of Arbitration

- 23.1 Unless otherwise agreed by the parties,  the  iudicial  seat of arbitration shall be New Delhi
- 23.2 Notwithstanding Rule 23.1 , the Tribunal may, unless otherwise agreed by the parties, hold hearingJand meetings anywhere convenient, subject to the  provisions of Rule28.2.

## Rule 24 - Language of Arbitration

- a. The language  to be used in the arbitration  shall be English
- b. lf a party submits any document in any language other than English.' the  party submitting iuch a document also has to submit before the Tribunal a translation of the said document to the English language.

## Rule 25 - Conduct of the Proceedings

The Tribunal  shall have the widest  discretion  allowed  by the Act to ensure  iust' expeditious,  economical and final determination  of the dispute'

Asfaraspracticable,theproceedingsshallbeconductedbetweenl0a'mto5 p.m. with a recess of one hour.

## Rule 26 - Communication between Parties and the Tribunal

- 26.1 Where the Tribunal sends any written communication  to one party, it shall send a copy to the other  party or parties as the case maybe'
- 26.2Whereapartysendsanywriitencommunication(includingStatements'expert iuport. o|- evidentiary  Oo"uments;  to the Tribunal' the same shall be copied  to the oti-,er  party or ail other  parties,  whichever  is applicable, and show to the Tribunal that the same has been socoPied.
- 26.3 The address  of the parties for the purpose of all communications during the pioceeoings shall be those set out in the Notice of Arbitration, or as either  party may It u"v t,n1J notify the Tribunal and the other  party or parties, whichever  isapplicable.
- 26.4AcopyofcorrespondencebetweenthepartiesandtheTribunalshallbesent to theSecretarY.

## Rule 27  -  Party  Representatives

Any party may be represented  by legal practitioners  or any other representatives, subject to such proof  of authority as the Tribunal  may require. The names and addresses  of such representatives  must be notified to the other party  or parties.

## Rule 28  -  Hearings

- 28'1 Unless the parties  have agreed  on documents-  only arbitration  the Tribunal shall hold a hearing  for the pt"t"itrtion  of evidence  by wiinesses,  including expert witnesses,  or for ora submissions
- 28'2 The Tribunal shall fix the date, time and place  of any meetings and hearings in the arbitrations  on the first hearing, and  ;;i;i; time tabte perlaining  to a, the activities  of the Arbitration  e.g. subhission  ot'riaiement  of claim, reply, counter claim' reply therein,  admissi6n  and denial of documents,  visit/inspection  of site if any' The Tribunal  shall stick to the time table without any deviations  unless there are ;:il?J:*J""i,[:!ffi1il:"' warrantins such deviaiion wrrich win be with the prior
- 2B'3 Prior to the hearing, the Tribunal may provide  the  parties  with matters or questions  to which it wishes them to give  ,p".iriconsideration.
- 28'4 ln the event that a party  to the proceedings  without  sufficient  cause, fails to appear at a hearing of which the notice-  has beei gir"n, the Tribunal  may proceed with the arbitration  and may make the Award after-the  party present  has submitted evidence  to prove  its case.
- :rff*tl meetings and hearing shail be in private  unress  the parties  agree

## Rule 29 - Documents  Only Arbitration

- 29'1 Parties,  ,rY,. at any stage before  the constitution  of the Tribunal  or at any stage thereafter  but before the e-vidence stage, mutually  agree in writing  to have their disputes resolved  only through  written pleaiings,  Jo.rr"nts  and submissions filed by the parties  and without  an-oral  hearing.
- 29'2 Where the parties  agree to dispense  with oral hearing,  the Tribunal  must be promptly  informed  by both the parties  in writing  ,, ,oo, as possibre.
- 29'3 Parties may seek discovery of documents  if they are not satisfied  with existence of docurrrerrts  annexed  with siater",nl  ot craim, ,"pty and counter craim  by giving self-contained  request  to the Tribunal  iustifying ih*-r*"**srty  for such documents. Decision  of rribunar shail be finar and binding ,pon the parties.
- 29'4 The Tribunal  shall have the power  to call for any furilrer irrfoliration ,cjXr;llication from the parties  in addition  to flre preaoings  and oocuments  fited or by

## Rule 30  -  Witnesses

- 30.1 The Tribunal may require each party to give notice of the names  and designations  of the witnesses it intends to call and reasons  for |egal necessity of SUCh WitNESS,
- 30.2 No party shall call any expert witness without  the leave of the Tribunal.
- 30.3 Any witness who gives evidence may be questioned  by each party or its representative  sub;ect to any rulings  made by the Tribunals'
- 30.4 A Witness may be required  by the Tribunal to testify under oath or affirmation.
- 3O.5SubjecttosuchorderordirectionwhichtheTribunalmaymake'the testimony of witness may be  presented in written form, either as  signed statements  or by duly sworn  or affirmed affidavits'
- 30.6Anypartymayrequireawitnesstoattendanoralexaminationatahearing.lf the witneis faill to ;ttend,  the Tribunal  may  place such weight on the written testimony as it thinks fit, or may exclude it altogether,
- 30.7 The Tribunal shall determine the admissibility, relevance,  materiality and weight  of the evidence  given by any witness'

## Rule 31- Experts Appointed by the Tribunal

- 31.1 Unless othenvise  agreed by the parties, the Tribunal may:
- a,appointoneormoreexpertstoreporttheTribunalonspecificissues;
- b. require  a party to give any such expert any relevant information or to  produce, or to  providl acceis to, any relevant documents'  goods or property for inspection by the expert
- 3l.2AnexpertappointedunderRule3l.laboveshaIlsubmitarepodinwritingto the Tribunal.'Upon  ieceipt  of such written report, the Tribunal  shall deliver  a copy of if.," ruport  to each of the parties and invite the parties  to submit written comment  on the report.
- 31.3 Rule 30.2 shall not apply to an assessor appointed by agreeme,nt  ofthe parties, or to an expert ,ppoii.ltla  by the Tribunal to advise solely  in relation to procedural  matters.

## arbitration is situated in lndia

ln an arbitration,  the arbitrar  rribunar  shail decide the dispute submitted  to arbitration  in accordance  with the substantive law for the time beirig in force  in lndia; i

## Rule 33 - Closure of Hearing

- 33 1  The Tribunar  may inquire. of .the parties  if they have any further proof  to offer or witnesses  to behead  or submissiontomake  and,ifth"r" are none,'aectaie-tne hearingclosed.
- ll^1  -\_T:,  ]yfynat ,may atso, in view of exceptionat  circumstance,  reopen the neanngs at any trme before the award ismade.

## Rule 34 - Additional  powers  of the Tribunal

- 34.1 ln addrtion  to the powers  conferred  by the Act, the Tribunar shal arso have  the powerto:-
- a. .., Allow any party,  upon such terms  of as to costs and otherwise)  as it shalldetermine,  to amend claims orcounterclaims;----
- b. Extend  or abbreviate  any time limits provided  by theseRules;
- c. Conductsuchenquires necessaryor  expedient; as may  appear  to the Tribunal  to be
- d' order the parties  to make any property  or thing avairabre  forinspection
- g order any parties  to produce  to the Tribunar,  and to other partiesfor inspection,  and to suppry  copies of any dotuments, or crasses  of documents in their possession,  custody,  or power  which the Tribunal  determines to relevant.
- f. Make orders or give drrections to any party forinterrogatories,
- g' Make orders or give directions to any party  for an interim  injunction or anyother  interimmeasure;
- h. Make such orders  or give such directrons  as rt deems  fit in so far as they are not inconsistent  with-the nct or any siatutory re-enactment  thereof or such law whrch rs applicable  or theseRules.'
- 34'2 lf the parties  so aoree, the Tribunar  shal arso have the power  to add other parties  (with  their consJnt)  to be  loineJ  in -in" "Jroitrrtion and ,.nr't" -"-Jgru FinalAward  determining  all disputes  f Lt*""ntn", -  *'

## Rule 35- Deposits  of Costs and Expenses

- 35.1 The Arbitral Tribunal's fees and SAROD-Ports  administration  fees shall be ascertained in accordance  with the schedule of fees in force at the time of commencement  of thearbitration.
- 35.2 The claimant shall deposit  with sAROD-Ports  half of the fees  payable by it for the arbitration at the time of filing of the statement  of claim. The respondent shall deposit with the sAROD-Ports  the half of the fees payable by it for the arbitralion  at the time of filing the statement of respondent's defence and counterclaim  (if any) The balance fe6s payable shall be paid 60 (Sixty) days before the date of the final hearing or on such other date as the Secretary  may direct'
- 35.3 Where the amount of the claim or the counterclaim  is not quantifiable  at the t,r" puyr"nt is due, the Secretary  shall make a provisional  estimate. The fees  will ne adlusteO in the light of such information  as may subsequently  become available'
- 35.4 lf the arbitration  is settled or disposed of without a hearing,  the amounl  of the Tribunal's fees and SAROD-Ports administration fees shall be finally determined  by the Secretary  who will have regard to all the circumstances  of the case, including the .t.g"  of proceedings at which ihe arbitration is settled  or othe*ise  disposed of.
- 35.5TheSecretarymayfromtimetotimedirectpartiestomakeone.-or.more deposit(sltowardsanyturtrrerexpensesincurredortobeincurredonbehalfoforfor the benefit  of the  Parties.
- 35.6 All deposit(s) shall be made to and held by the SAROD-PORTS  Any interest which may accrue on such deposit(s)  shall be retained  by the SAROD-Ports
- 35.Tlfapartyfailstomakethepaymentsordepositsrequiredordirected,the Tribunal mry refuse to hear the claims'or  counterclaims,  whichever is applicable, by thenon.complyingparty,anditmayproceedtodetermineclaimsorcounterclaims by any party who has complied  with orders'
- 35.BThepartiesshallremainjointlyandseverallyliabletotheSARoD-Portsfor payment of all such fees and expenses until they have been paid in full even if the arbitrationisabandoned'suspendedorconcluded,byagreementorotherwise, before the final Award is made.

## Rule 36 - Decision Making by the Tribunal

- 36'lWhereaTribunalhasbeenappointed,anydirection,order,decisionoraward oi tn* triOrnal  must be made by the whoie Tribunal or a maiority lf an Arbitratorrefu  ses or fails to sign the Award, the signatures  of the majority  shall besufficient,providedthatthereasonfortheomittedsignatureisstated.
- 36.2lfthereisnounanimity,theSameshallbemadebythemajorityArbitratorsas well as by the dissenting Arbitrator alone as if acting  as a soleArbitrator'
- 36.3 However, in case of a three-member  Tribunal the presiding Arbitratormay after consulting ihe other  Arbitrators,  make  procedural rulingsalone'

## Rule 37 - The Award

- 37 1  lt will be mandatory  for the parties  to submit written synopsis  of their arguments  respectively  which will form part of the arbitralproceedingi.
- 37 2  Unless the secretary  extends the time or the partres  agree otherwise,  the Tribunal  shall make its Award in writingwithin30  days from the date on which the hearings  are crosed and shail state the ieasons  upon which its award is based.  The award shall contain  the date and shail be signed by the Arbitrator orArbitratois,-
- :] J.. rne Tribunar  may make interim awards or separate awards  on different  issues at differenttimes.
- 37.4 Ail Awards  must be submitted by the Tribunar  to the secretary  and they sharl be issued  through  theSecretary.
- 37 5 The Tribunar must deriver  to the secretary numberoforiginars  of the award suffrcient  for  the parties  and for filing  with theSeJretary
- 37r! The. secretary  sharr rerease the award  to the parties  onry upon receipt of suffrcient  deposits  to cover  the fees ,nd "rp"n.L. orl t" t"  iiorlri  ,ro",l ,n" SAROD- PORTS
- 37 7  By.agreeing  to have arbitration  under these Rures, the parties undertaketo carry out the award withoutdelay.
- 37 8, Stamp duty on award sha, be payabre  by the party  in whose favor theaward has beenpronounced.

## Rule 38- Additional Award

- 38  1 Within  30 days  after.the  receipt  of the award,  either party,  withnotice  to the ggret3r. and the other party  may request  ttre irioun-ar  to make an addjtionar award as to claims presented  in the arbitiar  pioceeoings  bui omitted  from theaward.
- 38  2  rf the Tribunar  considers  the request for an additionar  award  to be justified  and considers  that the omission "un LL,".t,riuo  without  any further hearing  or evidence, it shail notify arr the parties  within 7 arv, or f,J ,.u.ipt or the request,  that it wiil make and ,aiitionai  i*ria, ,.0 comprete tho additionar award within  30 days after the receipt of thereqr*i. -

## Rule 39 - Correction  of Awards

- 39  '1 within  30 days of receiving  an Award, unress another period  of time has been agreed  upon by flre parties,  a party  rxay by notice  io the secretary  anci the other party request  the Tribunal  to correit in in"'a*lra, rny .rror= in computation,  any clerical  or typographical  errors  or any errors of similarnature.
- 3s 2  lf the Tribunar  considers  the request  to be justified,  it shalmakethe  corrections

within 3O days of receiving the request. Any correction shall be notified in writing to the parties  and shall become part of theAward.

- 39.3 The Tribunal may correct any error of the type referred to in Rule 39.1 on its own initiative within 30 days of the date of theAward.

## Rule 40- Settlement

- 40.1 lf, the  parties arrived at amicable settlement  of the dispute during  the currency  proceedings, the parties shall file memo of settlement  before the Tribunal who shall either issue an order for the termination of the arbitral  proceedings or, if requested by both parties  and accepted by the Tribunal, record the settlement  in the form of an arbitrai award on agreed terms. The Tribunal  is not obliged to give reasons for such an award,

## 40.2 The Parties shall:

- a. NotifytheTribunal  and the secretary immediately  ifthea rb itration  is settled  or otherwiseterm inated:
- b. Make provision in any settlement for payment  of all -the-costs^of the arbitration  and fees and expenses due to the SAROD-PORTS  and theTribunal.
3. 40.3 lf the continuation of the arbitral  proceedings  becomes unnecessaryor impossible  for any reason not mentioned in Rule 38.1,  before the award is made, the Tribunal shall inform the parties  of its intention to issue an order for the termination  of the proceedings. The Tribunal  shall have the power to issue such an order unless party  raises  justifiable grounds  forobjection.
4. 40.4 Copies  of the order for termination of the arbitral proceedings or of the arbitral award on agreed terms, signed by the Tribunal, shall be communicated  by the Tribunal  to the  parties  through  thesecretary

## Rule 41- lnterest

The Tribunal may award interest fixed deposits of the Nationalised later thanthe  date of the award  as on any sum awarded at such rate as applicable in Bank ln lndia in respect  of such  periods ending not the Tribunal  considersjust

## Rule 42- Costs

- 42.1 The Tribunal shall have the discretion  to determine whether costs are payable byonepartytoanother,theamountofsuchcosts,andwhensuchcostsaretobe paid
- 42.2ThedecisionoftheTribunalunderRu|e3Taboveshallbemadein accordance  with the  provisions  of the Act, as amended  from time to time.
- 42.3 The Tribunal has power to order in its Award, thai all or part of the legal

orother costs (such  as legal fees and expenses,  costs incurred in respect  of party appointed  experts  etc.) of one party  shall be paid by the otherparty.

## Rule 43  -  Waiver

A party  which is aware  of non-compliance  with these Rules and yet proceeds with the arbitration  without promptly  stating  its objection in writing such noncompliance  shall be deemed  to have waived iti right to object.

## Rule 44 - Exclusion of Liability

44'1 The Tribunal,  the President,  the SARoD-Ports  and any of itsofficers, employees  or agents shall not be liable to any party for any ,.i o;. omission in connection  with any arbitration  conducted  under theseRules.

44'2 After the Award as been made and the possibilities  of corrections  and additional  Awards have lapsed  or been exhausted, neither the Tribunal nor the President  shall be unde-r  any obligation to make any statement to any person  about any matter concerning  the arbitration,  and no party  ihail seek to make any Arbitrator or the President or the SARoD-Ports  and ,ny oi its officers  a witness in any legal proceedings  arising  out of thearbitration.

## Rule 45- General  provisions

45'1 ln all matters.not  expressly  provided  for in these Rules,  the  president, the Secretary  and the Tribunal shall ait in the spirit of thlse Rules and shalt make  every reasonable  effort to ensure  the just, expeditious  and economical  conclusion  of thearbitration.

45'2 lf any of these Rules is in conflict with a mandatory  provision  of law applicable to the arbitration  or the arbitration  agreement  from which the parties cannot derogate,  that mandatory  provision  shall  [revail.

45'3 The Secretary may from time to time issue  practice  Notes onthe implementation  of theseRules.

## Rule 46- Amendment  to Rules

sARoJFff Rules may from time to time bc amcnded bytheGoverning  Body of

SCHEDULE

## Fees and other miscellaneous expenses for the Arbitrator of SAROD-Ports

| S. No.   | Particulars of Fees and misc. expenses                                              | Amount payable Per Arbitrator per case where total sum of all claims or counter- claims in the case before Arbitral Tribunal is up to Rs.100 Crore.                                                                                                            | Amount payable per Arbitrator Per case where total sum of all claims or counter-claims in the case before Arbitral Tribunal is above Rs.100 crore and uP to Rs.500 Crore   | Amount payable per Arbitration Per case where total sum of all claims or counter-claims in the case before Arbitral Tribunal is above Rs.500 Crores   |
|----------|-------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------|
| 1        |                                                                                     | i) Rs.25,0001 per daY                                                                                                                                                                                                                                          | i) Rs.40,000/- per                                                                                                                                                         | Rs.50,0001- per                                                                                                                                       |
| 1        |                                                                                     | ti) 25% extra on fee at (i) above in case of fast-track Procedure as per Section-29B of Arbitration & Conciliation Act, 1 996; or 10% extra on fee at (i) above if award is published within 6 months from date of entering the reference bv Arbitral Tribunal | ii) 10% extra on fee at (i) above if award is published within 6 months from date of entering the reference bY Arbitral Tribunal;                                          | ii) 10% extra on fee at (i) above if award is published within 6 months from the date of entering the reference bY Arbitral Tribunal.                 |
| 1        |                                                                                     | Alternatively, the Arbitrator maY oPt for a lump-sum fee of Rs.5.00 lakh Per case including counter- claims                                                                                                                                                    | AlternativelY, the Arbitrator maY oPt for a lump-sum fee of Rs.8.00 lakh per case including counter- c!a!ps                                                                | AlternativelY, the Arbitrator maY oPt for a lump-sum fee of Rs 10.00 lakh per case including counter-claims                                           |
|          | Reading Charges One Time                                                            | Rs.25,000/- Per arbitrator Per case including counter claims.                                                                                                                                                                                                  | Rs.40,000/- Per arbitrator per case including counter claims.                                                                                                              | Rs.50,0001 Per arbitrator Per case including counter el?!!1e,                                                                                         |
|          | One time charges for Secretarial Assistance and incidental charges (Telephone, fax, | Rs.25,000/- arbitrator per case.                                                                                                                                                                                                                               | Rs.25,000/- arbitrator case.                                                                                                                                               | Rs.25,000/- Per arbitrator per case.                                                                                                                  |
|          | lesq€lc L One-time charqes for                                                      | Rs.40,000/- arbitrator. per                                                                                                                                                                                                                                    | Rs.50,000/- .?lllEIoL                                                                                                                                                      | Rs.60,000/- Per arbitrator                                                                                                                            |

|      | publishing I declaration of the Award                                                                                                                                                                               |                                                                                                                                                                                                                     |
|------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
|      | ,Q1!eLE.oslse                                                                                                                                                                                                       | Economy crass (by Airt Frrst cramcar (by Road @ 13/Km)                                                                                                                                                              |
|      | Lodging and Boarding                                                                                                                                                                                                | Rs.15,000i- per day (Metro Otbs) or [s !,!00/- per day (in other Cities) or B:.!;[Lo_pe1Q q y.[ a n y A r b r-t a!gl_!1i1! e! ! !v!_a t                                                                             |
|      | Local Travel                                                                                                                                                                                                        | r r 11g e m e n Rs.2,000/- per dav                                                                                                                                                                                  |
|      | Extra Ctrirges for days other than meeting days (Maximum for 2 and half                                                                                                                                             | Rs.5,000/- per hattlay for outstatton Arbttrato{l                                                                                                                                                                   |
| Note | l. Lodging, Boaiffi;tqtr*ethng ex he arbrtrafo-i yn3l?^i"il?l:ff1 ':l'^,-gq 1nr,s. awa1iro, in" ,;;;" or the meetins 2' Delhi, Mumbai, chennai, Kolkata, 'Bengaturu ,;J i;;";ffi"#Yt be considered as Metro Cities. | l. Lodging, Boaiffi;tqtr*ethng ex he arbrtrafo-i yn3l?^i"il?l:ff1 ':l'^,-gq 1nr,s. awa1iro, in" ,;;;" or the meetins 2' Delhi, Mumbai, chennai, Kolkata, 'Bengaturu ,;J i;;";ffi"#Yt be considered as Metro Cities. |