Sama Rules and Procedures

Preamble

‘Sama’ is a recognised, approved and acknowledged as an Alternative Dispute Resolution Institute by Ministry of Law and Justice, Government of India. ‘Sama’ has its own web technology and internet based online platform providing online Alternate Dispute Resolution services (“eADR”), accessible from www.odr.sama.live (“Platform”). The Platform provides the mechanism for Alternative Dispute Resolution and facilitates the operation of Alternate Dispute Resolution proceedings and associated administrative services, online and offline, which includes the appointment of arbitrator, mediator and conciliator and all the services required till the passing of an Award or termination of proceedings.

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

Part 1: General Rules

Short Title, Extent and Application

We collect “Non-Personal Information” and “Personal Information.” Non-Personal Information includes information that cannot be used to personally identify you, such as anonymous usage data, general demographic information we may collect, referring/exit pages and URLs, platform types, preferences you submit, macro claim, outcome, settlement and dispute resolution related data, and preferences that are generated based on the data you submit and number of clicks. Personal Information includes your email, name and other personal details including the specific details related to your dispute and evidence supporting your claim or response to a claim which you submit to us through the registration, settlement, mediation, conciliation, Chat, calls, arbitration and/or other dispute resolution process or journey at the Site as may be applicable.

1. Short Title, Extent and Application

1.1. Where parties have agreed to refer their disputes to Sama for resolution through arbitration, mediation or conciliation, the parties shall be deemed to have agreed that such arbitration, mediation or conciliation shall be conducted and administered in accordance with these rules, as amended from time to time (subsequently to referred as “Sama Rules” or “Rules” in short), and the Arbitration and Conciliation Act, 1996 (“Arbitration Act”) and the Mediation Act, 2023 (“Mediation Act”). Sama Rules include the rules, guidelines, code(s) of conduct, protocols, terms and conditions, policies, annexures etc. which are fundamental in the working of the Platform (as defined below).

1.2. If any of the Sama Rules are in conflict with the mandatory provisions of law applicable to arbitration, mediation, conciliation or the agreement between the parties from which such parties cannot derogate, such mandatory provisions or agreements shall prevail, as the case may be.

1.3. These Sama Rules will apply automatically in the form of binding nature and shall apply to all dispute resolution proceedings commenced or pending under Sama Rules. For all purposes, these Rules shall be effective from 1 July 2024.

Definition and Interpretations

In these Sama Rules, the following words shall have the following meanings:

2.1 “Arbitration” means as defined in the Arbitration and Conciliation Act, 1996;

2.2 “Arbitral Tribunal” shall mean an arbitrator or a panel of arbitrators appointed under Sama Rules.

2.3 “Arbitration Act” shall mean the Arbitration and Conciliation Act, 1996 as amended from time to time.

2.4 “Award” shall mean any partial, interim, final or any additional award passed by an Arbitrator/Emergency Arbitrator as per the Act.

2.5 “Case Manager” shall mean the individual appointed by Sama to provide administrative and secretarial services to the Registrar, Neutrals and the parties to any proceedings under Sama Rules.

2.6 “Claimant” shall mean the party initiating the arbitration proceeding;

2.7 “Communication” shall include any notice, invitation, instruction, notification, pleading, application, document, order, award, certificate, report, or settlement agreement sent by Sama to the disputing parties.

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

2.9 “Document-based Arbitration” means arbitration proceedings conducted solely on the basis of documents provided by the disputing parties;

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

2.11 “Initiating party” shall mean the party/s initiating the conciliation and mediation proceedings;

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

2.13 “Letter of Request” shall mean the request made by the Claimant to Sama to administer proceedings under Sama Rules;

2.14 “Neutral” shall mean Arbitrator/s, Conciliator/s or Mediator/s appointed to the proceedings conducted at Sama;

2.15 “Panel” shall mean Neutral’s empanelled with Sama, listed on https://www.v1.sama.live/neutrals.php.

2.16 “Pre-Proceeding Call” shall mean the introductory call made by Sama’s internal calling team or a Case Manager to the parties to

arbitration proceedings under Sama Rules individually, wherein certain key information with regard to the arbitration, conciliation and mediation proceedings is communicated to the parties.

2.17 “Pre-Arbitration Notice” as described under Section 21 of the Act;

2.18 "Registrar" means the Registrar for the time being appointed and includes such other persons appointed by Sama for carrying out the duties of the Registrar under these rules.

2.19 “Respondent” shall mean the party called upon to issue a response to a claim filed by the Claimant in arbitration proceedings under Sama Rules;

2.20 “Sama” shall mean Odrways Solutions Private Limited. Sama is an alternative dispute resolution institute as described in the Preamble. It provides administrative and technical support to facilitate the conduct of arbitration, conciliation and mediation proceedings in accordance with section 2(6), section 6, section 64(2) and section 68 of the Arbitration Act.

2.21 “Sama Arbitration Clause” shall mean the dispute resolution clause in an agreement between the parties to resolve their dispute through arbitration, conciliation or mediation proceedings and its associated administrative services through Sama, which has been agreed by the parties either prior or post the occurrence of the dispute, and shall be:

2.21.1 in writing, as a clause which is a part of the main contract between the parties or as a separate arbitration agreement; or

2.21.2 agreed to by the parties on the Platform.

2.21.3 “Sama ODR Platform” or “Platform” shall mean the internet-based dispute resolution platform developed by Sama with the domain name as www.sama.live and www.odr.sama.live;

In the Sama Rules, unless a contrary intention appears:

2.22 “law” shall mean, statute, applicable law, rule, regulation, ordinance, judgement, order, decree, authorisation, or any published directive, guideline, notice, requirement or governmental restriction, having the force of law in any jurisdiction; and

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

2.24 the terms “hereof”, “herein”, “hereby”, “hereto” and derivatives or similar words refer to this entire Sama Rules;

2.25 reference to a gender shall include references to the female, male and neutral gender;

2.26 reference to a law or a provision of law is a reference to that law or that provision of law as amended or re-enacted from time to time;

2.27 the singular includes the plural (and vice versa);

2.28 the headings in the Sama Rules are inserted for convenience of reference only and are to be ignored in construing and interpreting the Sama Rules;

2.29 reference to the words “include” or “including” shall be construed without limitation;

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

2.31 reference to arbitration proceedings under Sama Rules shall include ‘international commercial arbitration’ as defined in the Arbitration Act;

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

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

2.34 any reference to Sama Rules shall include rules, guidelines, code of conduct, protocols, terms and conditions, policies, annexures etc. which are fundamental in the working of the Platform and are available on: https://www.sama.live.

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

2.36 reference to any article, clause, annexure or schedule means an article or clause of, or an annexure or schedule to the Sama Rules.

Part II - Arbitration Rules

Scope of Application

Insofar as these Rules are silent on any matter concerning the arbitral proceedings and the parties have also not agreed otherwise, the Arbitral Tribunal shall conduct the arbitral proceedings in the manner it considers appropriate, in accordance with the general principles of these Rules.
In the event of any dispute regarding the meaning of these Rules, the Arbitral Tribunal shall interpret them according to their purpose and in the manner most appropriate for the particular arbitration.
The arbitration proceedings initiated/filed on the Platform shall ordinarily be Document-based Arbitration, relying on documents submitted/provided by the Parties.
Provided that either party may request to the tribunal to conduct an oral hearing on any issue/dispute. On that request, the Tribunal may pass an appropriate order.

Mode of giving notice and calculations of periods of time

A notice including a notification, communication or proposal, may be transmitted by any mode of communication that provides or allows for a record of its transmission.
A notice transmitted by electronic means is deemed to have been received on the day it is delivered if the communication has not bounced back to the sender, and such time shall be determined in accordance with the addressee’s time zone.
For the purpose of calculating a period of time under these Rules, such period shall begin to run on the day following the day when a notice is deemed to have been received. If the last day of such period is a national/official holiday or Saturday and Sunday, the period is extended until the first business day which follows. National/Official holidays or Saturday/Sunday occurring during the running of the period of time are included in calculating the period.

Commencement of Arbitration

10.1 A party wishing to commence an arbitration under these Rules (“Claimant”) shall file with the Registrar, a Letter of Request (with or without statement of claim and interim application etc.) which shall include: -

10.2 Full name and contact details of the parties to arbitration (including full address of both parties, email addresses(optional) and registered mobile numbers).

10.3 Copy of Pre-Arbitration Notice in consonance with section 21 of the Arbitration Act. The Pre-Arbitration Notice shall include the following: (a) A demand that the dispute be referred to arbitration; (b) The names and contact details of the parties and their designated representatives, if any; (c) Identification of the arbitration agreement/clause that is invoked; (d) Identification of any contract or other legal instrument out of or in relation to which the dispute arises or, in the absence of such contract or instrument, a brief description of the relevant relationship; (e) A brief description of the claim and an indication of the amount involved, if any; (f) A broad description of the relief or remedy sought; and (g) A proposal as to the number of arbitrators, language and place of arbitration, if the parties have not previously agreed thereon.

10.4 A party can take assistance of the Platform for the delivery of this notice. The constitution of the Arbitral Tribunal shall not be hindered by any controversy with respect to the sufficiency of the Pre-Arbitration Notice, which shall be finally resolved by the Arbitral Tribunal.

10.5 Where the claims are made under more than one arbitration agreement, an indication of the arbitration agreement under which each claim is made;

10.6 A reference to the contract or other instrument (e.g. loan-cum-hypothecation agreement) out of or in relation to which the dispute arises and, where possible, a copy of the contract or other instrument;

10.7 A brief statement describing the nature and circumstances of the dispute, specifying the relief claimed and, where possible, an initial quantification of the claim amount;

10.8 A statement of any matters which the parties have previously agreed as to the conduct of the arbitration or with respect to which the Claimant wishes to make a proposal;

10.9 any agreement or contract out of or in connection with which the dispute has arisen;

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

If any Court makes an order directing that an arbitration be held under Sama Rules, in addition to the documents listed in above, the Claimant shall file such order of that Court or a copy thereof.
Sama shall send a Communication to the parties to the arbitration upon successful registration on the Platform.
In case one party to Sama Arbitration Clause has filed a suit in any court with respect to the same subject matter, then upon request by the other party to Sama Arbitration Clause the arbitration proceedings in accordance with Sama Rules shall continue by recording any objections as to jurisdiction by the party who has initiated such suit. The party seeking to continue with the arbitration proceedings under Sama Rules, if served in such suit, shall file necessary application(s) to appraise the court of the existence of the Sama ODR Clause.
In the event that Claimant fails to provide any information or comply with any of the requirements referred hereinabove, the Registrar/Arbitrator may fix a time not exceeding 30 days from receipt of Letter of Request by Sama within which the Claimant must comply, failing which the claim shall be closed without prejudice to the Claimant’s right to resubmit the same claim at a later date in another Letter of Request.
If any information or particulars furnished by Claimant for arbitration is found to be incorrect or false, at any time subsequently, Sama shall have the power to reject the request for administration of an arbitration.
Appointment of Case Manager and Pre-proceeding call
16.1 Sama’s internal calling team/case manager shall conduct a Pre-proceeding call to inform the Parties of the registration of dispute to arbitration. The recordings of the calls along with an auto-generated transcript will be captured, if any.
16.2 Sama shall appoint a Case Manager within three (3) day’s either from registration of the dispute on Sama or from successful contact with the Respondent/s of the dispute and shall notify all the parties to the dispute of the appointment of a Case Manager.
16.3 Case Manager shall conduct calls from the time of their appointment to explain the procedure of the arbitration proceedings under the Sama Rules, details of the constitution of the Arbitral Tribunal, factual details of the dispute, and timeline to be followed under Sama Rules.

16.4. Constitution of Arbitral Tribunal

16.4.1 Unless otherwise agreed by the parties to arbitration, a sole arbitrator shall be appointed by Sama to constitute the Arbitral Tribunal, as per the process defined hereinafter.

16.4.2 On receipt of Letter of Request about a dispute from the Claimant, Sama will issue a notice to the disputing parties informing them about initiation of a dispute. Through the notice, the disputing parties will be given time, as decided by the Registrar, to mutually select/nominate an arbitrator or nominate any 3 arbitrators of their choice from the panel of arbitrators maintained by Sama.

Neither party nominates -

16.4.3. On the lapse of time as mentioned in Rule 16.4.1, if neither disputing party nominates an arbitrator of their choice, the Registrar provisionally appoints an arbitrator from its panel of arbitrators. In connection to the appointment, the arbitrator issues a provisional acceptance and disclosure document in consonance with Section 12(1) of the Arbitration Act, provisionally accepting their appointment.

16.4.4 The disputing parties are given a further time as decided by the Registrar to object to appointment of the provisionally appointed arbitrator under Rule 16.4.3. If neither disputing party objects to appointment of arbitrator by Sama, the appointment becomes absolute after a lapse of time decided by the Registrar and the arbitrator shall proceed with the case and submit their declaration as per Section 12 read with schedule 5, 6 and 7 of the Arbitration Act.

Either party nominates -

16.4.5 On the lapse of time as decided by the Registrar, if one party nominates an arbitrator, that arbitrator will be provisionally appointed, and the process as mentioned in Rule 16.4.3 and 16.4.4 will be followed.

Both Parties nominate -

16.4.6 On the lapse of time as decided by the Registrar, if both disputing parties nominate arbitrator/s, then it will be the Registrar’s discretion to appoint either one as the arbitrator amongst the arbitrators nominated, subject to consent and availability of the nominated arbitrator. Thereafter, the process as mentioned in Rule 16.4.4 will be followed.

Challenge to Appointment of Arbitrators

17.1. An arbitrator’s appointment may be challenged if circumstances exist that give rise to justifiable doubts as to the arbitrator’s impartiality or independence.

17.2. A disputing party may challenge the appointment of arbitrator appointed by them or by the Registrar only for reasons of which they become aware after the appointment has been made.

Procedure to challenge appointment of Arbitrator/s

18.1 A party who intends to challenge the appointment of the arbitrator/s shall send a notice of their challenge within 3 days from the appointment of the arbitrator has been notified to the challenging party or after the circumstances mentioned in Section 12 of the Arbitration Act become known to that party.

18.2 The challenge shall be notified to the other disputing parties, the arbitrator who is challenged and the Registrar. The notification shall be in writing and shall state the reasons for the challenge.

18.3 When the appointment of an arbitrator is challenged by one party, the other party may agree to the challenge. The arbitrator may also, after the challenge is initiated, withdraw from their office. In either case, the Registrar will have the discretion to appoint a new arbitrator, and the process as laid down in Rule 16.4.4 will be followed for the same.

18.4 In neither case does this imply acceptance of the validity of the grounds for the challenge. In both cases the procedure provided in Rule 16.4.4 shall be followed for the appointment of the substitute arbitrator, even if during the process of appointing the challenged arbitrator a party had failed to exercise their right to appoint or to participate in the appointment.

Failure or impossibility to act

19.1 The mandate of an arbitrator shall terminate and they shall be substituted by another arbitrator, if

19.1.1 they become de jure or de facto unable to perform their functions, or in case of death of the appointed arbitrator or due to impossibility for such appointed arbitrator to act or for other reasons fails to act without undue delay; and

19.1.2 they withdraw from their office or the parties agree to the termination of their mandate

19.2 The Registrar shall terminate the appointment of the arbitrator forthwith and the procedure provided in Rule 16.4.4. shall be followed for the appointment of the substitute arbitrator.

19.3 Unless otherwise agreed by the parties, where an arbitrator is replaced under circumstances as mentioned above, any hearings previously held maybe repeated at the discretion of the arbitral tribunal.

19.4 Unless otherwise agreed by the parties, an order or ruling of the arbitral tribunal made prior to the replacement of an arbitrator under these Sama Rules shall not be invalid solely because there has been a change in the composition of the arbitral tribunal.

20. Three Arbitrators

20.1. If three arbitrators are to be appointed, each party shall nominate one arbitrator from Sama’s Panel of arbitrators, in light of Rules 16.4.2. Thereafter, the two arbitrators shall appoint the third arbitrator from Sama’s Panel of arbitrators.

20.2. On the lapse of 3 days, if neither disputing party nominates any arbitrator of their choice, the Registrar provisionally appoints three arbitrators from its panel of arbitrators. In connection to the appointment, the arbitrators issue a provisional acceptance and disclosure document in consonance with Section 12(1) of the Arbitration Act, provisionally accepting their appointment.

20.3. The disputing parties are given further time of 3 days by the Registrar to object to appointment of the provisionally appointed arbitrator under Rule 20.2. If neither disputing party objects to appointment of arbitrator by Sama, the appointment becomes absolute after a lapse of 3 days and all the three arbitrators shall proceed with the case and submit their declaration as per Section 12 read with schedule 5, 6 and 7 of the Arbitration Act, and also unanimously nominate a Presiding arbitrator amongst them.

21. Qualifications of Arbitrators

The qualifications of an Arbitrator nominated or appointed shall be the same as prescribed as per the Arbitration Act, from time to time.

22. Administrative Assistance under Ad-Hoc Arbitration

Nothing in the Sama Rules shall prevent parties to a dispute or arbitration agreement from naming Sama as the appointing authority in an ad-hoc arbitration (conducted outside the terms of Rule 10 above), without subjecting the arbitration to the provisions contained in the Sama Rules. In such circumstances, Sama may in its discretion act as the appointing authority in accordance with the parties’ agreement and provide the online Platform for the facilitation of the arbitration proceedings. The process will be the discretion of the Arbitrator according to section 19 of the Arbitration Act.

23. Date of Commencement of Arbitral Proceedings

As per Section 21 of the Arbitration Act, the arbitration proceedings should be deemed to commence on the date on which a request for that dispute to be referred to arbitration is received by the respondent.

24. Place, Seat, and Venue for Arbitration Proceedings

Subject to Section 20 of the Arbitration Act and notwithstanding what is mentioned in the Arbitration agreement/clause, the arbitral proceedings under these Rules will be held on the Platform www.odr.sama.live, or place as the Tribunal decides subject to prior agreement between the parties. However, it is made clear that the change in the venue shall not alter the seat of the arbitration. In the event, the parties and the arbitral Tribunal so consent in writing on such request being made by the Registrar, the Tribunal may conduct the arbitral proceedings in-person, at a location to be mutually decided by the parties. The procedure to be followed and the rules of such in-person hearings will be indicated in the communication sent by the Registrar. The expenses of an in-person hearing shall be communicated to the parties after due consideration by the Arbitrator/Registrar.

Submissions by Parties

25.1 Unless the Tribunal determines otherwise, the submission of written statements shall proceed as set out in these Rules.

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

25.3 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.

25.4 The respondent, in support of their case, may also submit a counterclaim or plead a set-off, which shall be adjudicated upon by the arbitral tribunal, if such counterclaim or set-off falls within the scope of the arbitration agreement.

25.5 Unless otherwise agreed by the parties, either party may amend or supplement the claim or defence during the course of the arbitral proceedings, unless the arbitral tribunal considers it inappropriate to allow the amendment or supplement having regard to the delay in making it.

25.6 The statement of claim and defence under this section shall be completed within a period as directed by the Tribunal.

Jurisdiction of the Tribunal

26.1 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- —

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

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

26.2 A plea that the arbitral tribunal does not have jurisdiction shall be raised not later than 15 days from the constitution of the Tribunal.

26.3 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 is raised during the arbitral proceedings.

26.4 The arbitral tribunal may, in either of the cases referred to above, admit a later plea if it considers the delay justified.

26.5 The arbitral tribunal shall decide on a plea referred to above and where the arbitral tribunal takes a decision rejecting the plea, continue with the arbitral proceedings and make an arbitral award.

26.6 A party aggrieved by such an arbitral award may make an application for setting aside such an arbitral award in accordance with section 34.

Interim Relief

27.1 The Arbitral Tribunal may, at the request of a party to the arbitration under Sama Rules and as it deems appropriate, issue an order granting an injunction or any other interim and ad-interim relief in respect of any of the following matters, namely: -

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

27.1.2 securing the amount in dispute in the arbitration;

27.1.3 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 authorising for any of the aforesaid purposes any person to enter upon any land or building in the possession of any party, or authorising 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;

27.1.4 interim injunction or the appointment of a receiver;

27.1.5 for freezing the claim amount of a party’s bank/salary account and the amount recoverable by a party to the dispute from a third-party upto the claim amount;

27.1.6 such other interim measures of protection as may appear to the arbitral tribunal to be just and convenient to secure the interest of the parties;

27.2 An appeal against an order under Rule 35. shall lie with Sama’s in-house Appellate Arbitral Tribunal against granting or refusal to grant an interim measure. Such appeal shall be filed within 7 days from the date the order is dispatched either by post/digital modes of communication to the party appealing.

27.3 Any application and any order for such interim measure after the formation of the Arbitral Tribunal shall be promptly communicated by the applicant to the Arbitral Tribunal, Sama and to all the other parties on the Platform.

28. Hearings

28.1 Unless otherwise agreed by the parties, the arbitration proceedings will be Document-based arbitration only as per these Rules.

28.2 The Tribunal shall, if either party so requests and if the Tribunal so decides, hold a hearing for the presentation of evidence and/or for oral submissions on the merits of the dispute, including any issue as to jurisdiction.

28.3 The Tribunal shall set the date, and time of any meeting or hearing and shall give the parties reasonable notice. Any oral hearings so scheduled shall be virtual in nature while using any video conferencing application/platform/website.

28.4 If any party fails to appear at a meeting or hearing without showing sufficient cause for such failure, the Tribunal may proceed with the arbitration and may make the Order/Award based on the submissions and evidence before it.

28.5 Unless otherwise agreed by the parties, all meetings and hearings shall be in private, and any recordings, transcripts, or documents used in relation to the arbitral proceedings shall remain confidential.

28.6 All hearings by the arbitrator shall be on the Platform, unless requested otherwise by any party to such arbitration proceedings, subject to the procedure mentioned in Rule 24 above.

28.7 In case of any disagreement between the parties regarding the conduct or fees of the offline in-person hearing in relation to the parties to arbitration proceedings under Sama Rules, the Arbitral Tribunal/Registrar shall decide the same and the decision of the Arbitral Tribunal/Registrar shall be final and binding.

28.8 In the case the Arbitral Tribunal decides to conduct offline in-person hearing, the Arbitral Tribunal shall carry out the arbitration proceedings at the agreed place of arbitration.

Emergency Arbitration

29.1 In cases of exceptional urgency, a party seeking emergency interim relief may apply on the Platform seeking appointment of an emergency arbitrator. Such request may be concurrent with the filing of the Letter of Request to arbitrate or prior to the constitution of the Arbitral Tribunal. The request for appointment of an emergency arbitrator and urgent interim reliefs shall include:

29.1.1 a brief description of the facts and circumstances giving rise to the need for emergency relief along with supporting reasons/ grounds thereof;

29.1.2 the nature of relief sought;

29.1.3 confirmation that a copy of the request for appointment of emergency arbitrator has been sent to all other parties to arbitration under Sama Rules;

29.1.4 a confirmation that the prescribed fees as the ‘Fee Schedule’ at Annexure IV has been paid (or) an undertaking that it will be paid within 7 days of appointment of the emergency arbitrator.

29.2 The fees paid by a party towards the appointment of an emergency arbitrator under the Sama Rules shall be non-refundable.

29.3 Sama shall determine the application/ request for appointment of an emergency arbitrator within one [1] day of such request, and if granted, appoint an emergency arbitrator from the Panel within one [1] day of granting such request.

29.4 The emergency arbitrator shall be bound by the rules pertaining to disclosures/declarations, as prescribed under the Sama Rules for all arbitrators.

29.5 All hearings by the emergency arbitrator shall be on the Platform, unless requested otherwise by the party seeking the appointment of the emergency arbitrator. In case the party seeking appointment of emergency arbitrator requests for offline in-person hearing, the other party shall decide if they agree to conduct the offline in-person hearing.

29.6 In case of any disagreement between the parties regarding the conduct of the offline in-person hearing regarding emergency relief, the emergency arbitrator so appointed shall decide the same and the decision of the emergency arbitrator shall be final and binding.

29.7 The emergency arbitrator shall fix a schedule for the consideration of the emergency application and interim reliefs within two [2] days of their appointment, and shall ensure a reasonable opportunity of being heard to all the parties before granting any urgent, interim or conservatory measures and proceed to make an order by giving reasons.

29.8 The emergency arbitrator shall pass the Award or order interim reliefs as he/ she finds suitable within a period of fourteen [14] days from the date of appointment of such emergency arbitrator.

Provided that in exceptional circumstances, upon request by the emergency arbitrator or the parties to arbitration under Sama Rules, Sama may grant an exception of additional ten (10) days.

29.9 An emergency Arbitrator may not be a constituent of any Arbitral Tribunal in any future arbitration under Sama Rules relating to the dispute, unless agreed by all the parties to the dispute. If the Arbitral Tribunal is not constituted under the Sama Rules, any order or Award made by an emergency arbitrator shall cease to be binding upon after sixty (60) days from the date of such Award.

Expert Appointed by Arbitral Tribunal

30.1. The Arbitral Tribunal may, following consultation with the parties, appoint an expert to report on specific issues which shall be set out in writing and require a party to give such expert any relevant information or to produce / provide any relevant document, as it deems fit.

30.2. Any such expert appointed by the Arbitral Tribunal shall upload the report of their findings in writing on the Same ODR Platform which shall be shared to all the parties.

30.3 The Arbitral Tribunal may decide to allow parties to file written responses to such reports submitted by such experts, in a form and manner and within the timeline as deemed fit by the Arbitral Tribunal.

30.4 Except in the case of Document based Arbitration, the Arbitral Tribunal may decide, if it considers necessary, to request such witness to participate in any hearing.

31. Evidence

31.1 In arbitration proceedings under Sama Rules, other than Document-based arbitration, evidence will be taken on the declaration given on oath/self-certified and cross examination will be allowed only if the Arbitral Tribunal permits.

31.2 The Arbitral Tribunal shall have the sole right to determine the admissibility, relevance, materiality and weight of any evidence as per Section 19 of the Arbitration Act.

31.3 All evidence, documents or statements that the parties wish to produce before the Arbitral Tribunal shall be uploaded within the timelines stipulated in Sama Rules or as decided by the Arbitral Tribunal on the Platform.

31.4 The Arbitral Tribunal shall have the power to;

31.4.1 conduct such enquiries as may appear to be necessary or expedient;

31.4.2 order any party to produce to the Arbitral Tribunal and to the other parties for inspection and to supply copies of, any document in their possession, custody or control which the Arbitral Tribunal considers relevant to the case and material to its outcome.

Adjournment

Adjournments shall be granted by the Tribunal looking to the facts and circumstances of the case, and at its discretion. The decision of the Tribunal shall be final and binding.

33. Default

Unless otherwise agreed by the parties, where, without showing sufficient cause -
33.1. the claimant fails to communicate their statement of claim as directed, the arbitral tribunal shall terminate the proceedings;

33.2. the respondent fails to communicate their statement of defence as directed, the arbitral tribunal shall continue the proceedings without treating that failure in itself as an admission of the allegations by the claimant and shall have the discretion to treat the right of the respondent to file such statement of defence as having been forfeited.

33.3. a party fails to appear at an oral hearing or to produce documentary evidence, the arbitral tribunal may continue the proceedings and make the arbitral award on the evidence before it.

34. The Award

34.1. The Tribunal shall, as promptly as possible, after consulting with the parties and upon being satisfied that the parties have no further evidence to produce or submission to make with respect to the matters to be decided in the Award, declare the proceedings closed.

34.2. The Tribunal’s declaration that the proceedings are closed shall be communicated to the parties and to the Registrar with request to procure the required stamp paper. The Tribunal must render the Award as soon as the stamp paper is available.

34.3. The Tribunal may, on its own motion or upon application of a party but before any Award is made, re-open the proceedings. The Tribunal's decision that the proceedings are to be re-opened shall be communicated to the parties. The decision of the Tribunal in this regard shall be final and binding and will be not be subject to appeal.

34.4. The Award shall be delivered to the Registrar, who shall transmit certified copies to the parties under the seal and signature of Sama.

34.5. The Tribunal may award simple or compound interest on any sum which is the subject of the arbitration at such rates as the parties may have agreed or, in the absence of such agreement, as the Tribunal determines to be appropriate, in respect of any period which the Tribunal determines to be appropriate.

34.6. In the event of a settlement, and if the parties so request, the Tribunal may make a consent Award recording the settlement. If the parties do not require a consent Award, the parties shall confirm to the Registrar that a settlement has been reached, following which the Tribunal shall be discharged and the arbitration concluded upon full settlement of the costs of the arbitration.

34.7. If the arbitration proceedings terminate due to expiry of the time period stipulated in the Act Rule, any party to such arbitral proceedings may make a request to Sama to conduct arbitration proceedings and for the constitution of a new Arbitral Tribunal in accordance with Sama Rules, subject to limitation.

34.8. The Arbitral Award shall be made in accordance with the provisions of Section 31 of the Arbitration Act.

Correction of awards, interpretation of awards, and additional awards

35.1. Any correction or modification to the arbitral award issued by the Tribunal in accordance of these Rules, shall be in accordance with the provisions of the Act. However, if a request is made by a party beyond the period of 30 days for correction of the award, the Tribunal may condone the delay if the cause shown is reasonable, and correct the same after due notice to the other party. In such a case, the Tribunal shall pass a reasoned order either allowing or rejecting the plea. The amended/corrected award, if any, shall be sent to the parties and the limitation for filing the Execution Petition or Petition to set aside the award shall be reckoned from the date of the amended/corrected award.

35.2. Apart from above, since these proceedings are administered electronically on the Platform, and the process of add-on latest features to facilitate all the concerned are a continuous process, in such situations, some unavoidable error/mistakes may occur which may alter the proceedings, which are a normal phenomenon, and due to the above, some errors may occur unintentionally, unwantedly and without application of mind and beyond control. In such situations, the Neutral may suo motu, or on an application correct or recall any technical computer/system generated, secretarial (case management) or any administrative error which are found or reported to the Neutral, which were not part of or related to the legal process of that proceeding, but as a result of which a proceeding has been disposed of in any manner, and moved in closed category or has been moved to another stage, the Neutral has the power to review, recall the order or restore the proceedings back to the stage at the time when the mistake occurred, by an order in writing.

36. Application for setting aside order or arbitral award

36.1. Recourse to in-house setting aside of an interim order passed under these Rules or arbitral award may be made only by an application for appeal to set aside such interim order or arbitral award if no petition was preferred under Section 34 of the Arbitration Act, or if preferred but rejected at the threshold without going into merits.

36.2. An interim order under these Rules or arbitral award may be set aside by the in-house mechanism of Appellate Arbitral Tribunal, only if the disputing party making the application for appeal establishes on the basis of the record of the arbitral tribunal that -

36.2.1. a party was under some incapacity, or

36.2.2. a party, against whom an interim order or award was passed, was dead at the time of initiation of arbitral proceedings, and no legal representative was brought on record;

36.2.3 the arbitration clause or arbitration agreement does not exist;

36.2.4. the subject-matter was not arbitrable in nature;

36.2.5. the interim order or award is not enforceable as per law on one or other grounds such as incorrect addresses of the disputing parties, communication mode, details of the subject matter, material facts were wrongly submitted.

36.2.6. Due to technical mistake, the interim order or award passed/uploaded in a different arbitration proceeding;

36.2.7. 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; or

36.2.8. making of interim order or award was induced or effected by fraud or altogether different facts of the pleadings;

36.2.9. the arbitral award deals with a dispute not contemplated by or not falling within the terms of the submission to arbitration, or it contains decisions on matters beyond the scope of the submission to arbitration:

Provided that, if the decisions on matters submitted to arbitration can be separated from those not so submitted, only that part of the arbitral award which contains decisions on matters not submitted to arbitration may be set aside;

36.3. An application for setting aside may not be made after three months have elapsed from the date on the receipt of the arbitral award.

Provided that if the in-house appellate tribunal is satisfied that the applicant/appellant was prevented from by sufficient cause from making the application within the said period of three months, or otherwise in the interest of justice to mete out justice, the appellate tribunal may condone any delay at its discretion.

36.4 An application for appeal under this Rule may be preferred/filed by the Registrar or the affected party to the Arbitral proceeding, in writing. But the scope to file/prefer an application for appeal shall be restricted and limited to the extent of the grounds as mentioned hereinabove.

36.5. The in-house appellate arbitral tribunal, without prejudice or affecting the rights of the parties under Section 34 of the Arbitration Act, have power to allow and set-aside the impugned order/award with or without liberty under Section 43(4) of the Arbitration Act, or to dismiss the appeal.

36.6 The in-house Appellate Tribunal may give the opportunity to hear the other party, but if appellate tribunal find it fit and proper, it may at its discretion, proceed with the appeal and decide it in the absence of the other party.

36.7 The application for appeal under this rule shall be disposed off expeditiously, and in any event, within 1 month from the date of appeal.

37. Termination of arbitration proceedings

The arbitration proceedings under Sama Rules shall stand terminated in accordance with the provisions of Section 32 of the Arbitration Act.

38. Communication

All communications to the Arbitral Tribunal by one party shall be simultaneously communicated by that party to all other parties and it shall confirm in writing to the Arbitral Tribunal that it has done so or is doing so.

Certified Copies

On the request of the parties, or on the requisition of the competent Court, a certified copy of the entire records and proceedings of the arbitration case shall be issued by the Registrar under its signature and Sama’s seal, after complying with the relevant provisions of the law.

40. Applicable Law

40.1. In any arbitration proceedings under Sama Rules, other than an international commercial arbitration under Sama Rules, the Arbitral Tribunal shall decide the dispute submitted to arbitration in accordance with the substantive law for the time being in force in India.

40.2. In international commercial arbitration under Sama Rules:

40.2.1 the Arbitral Tribunal shall decide the dispute in accordance with the rules of law designated by the parties as applicable to the substance of the dispute;

40.2.2 any designation by the parties of the law or legal system of a given country shall be construed, unless otherwise expressed, as directly referring to the substantive law of that country and not to its conflict of laws rules;

40.2.3 failing any designation of the law under clause (a) by the parties to the dispute under Sama Rules, the Arbitral Tribunal shall apply the laws of India unless it considers appropriate to apply the rules of law given all the circumstances surrounding the dispute.

40.2.4 The Arbitral Tribunal shall decide without being confined to a strict application of the law governing the contract/agreement, only if the parties have expressly authorised it to do so.

40.2.5 While deciding and making an Award, the Arbitral Tribunal shall, in all cases, take into account the terms of the contract and trade usages applicable to the transaction.

Part III - Conciliation

41. Application and Scope -

41.1. Save as otherwise provided by any law for the time being in force and unless the parties have otherwise agreed, this Part shall apply to conciliation of disputes arising out of legal relationship, whether contractual or not and to all proceedings relating thereto.

41.2. This Part shall not apply where by virtue of any law for the time being in force certain disputes may not be submitted to conciliation.

42. Conciliation clause

Conciliation proceedings under the Sama Rules shall proceed –

42.1. in case the parties have an existing Sama Conciliation Clause in their Agreement;

42.2. in case the parties have agreed to mutually settle their dispute through conciliation in writing either before or after the occurrence of the dispute;

42.3. in the event the parties have agreed to settle their existing dispute on mutually agreeable terms and can present the same for conciliation;

43. Procedure to commence Conciliation Proceedings -

43.1. A party to a dispute may approach Sama with the intention to begin conciliation proceedings with other party/s by registering themselves and providing the following on Platform:

43.1.1. full name and contact details of the parties to conciliation (including full address of both parties, email addresses, if any, and registered mobile numbers);

43.1.2. a statement briefly describing the nature and circumstances of the dispute and the claims advanced by the initiating party with the other party to the conciliation specifying all relief’s sought, including the amounts of any quantified claims or an estimate of the monetary value of any other claims, if any, along with supporting documents, along with previously agreed terms of settlement, if any;

43.1.3. a statement of any matters which the parties have previously agreed to as to the conduct of the conciliation, if any;

43.1.4. such other documents and information relevant to the dispute, as deemed fit by the initiating party;

43.2. The parties to a dispute can jointly request Sama vide Letter of Request and submit their joint agreed terms/stand/statement to Sama, in which case -

43.2.1. Sama shall appoint a conciliator in accordance with Sama Rules; and

43.2.2 Such conciliator shall pass such settlement terms as a Settlement Agreement in accordance with Sama Rules.

Commencement of Conciliation Proceedings -

44.1. Upon successful registration of the initiating party on the Platform, an Invitation to Conciliation notice shall be sent by either the initiating party or Sama to the other party(ies) through various modes of communication, briefly identifying the subject of the dispute.

44.2. Conciliation proceedings, shall commence when the other party accepts the invitation to conciliate in any manner.

44.3. If the other party rejects the invitation, there will be no conciliation proceedings, and the proceedings shall be terminated as per Sama Rules;

44.4. If a reply to the invitation to conciliation is not received within thirty days from the date on which the invitation is sent, or within such other period of time as specified in the invitation whichever is later, it may be treated as a rejection of the invitation to conciliate, and the proceedings shall be terminated as per Sama Rules;

Appointment of Case Manager

45.1. The Registrar may appoint an individual as a case manager from Sama’s panel of case managers. An intimation shall be sent to the parties intimating them about the appointment of Case Manager/s through various modes.

45.2. Case Manager shall contact the parties through various modes of communication to inform the parties of important dates for submitting their individual or joint brief statement to the conciliator and details of the conciliator.

45.3. Case Manager will be available to answer queries related to the process provided under Sama Rules and for administrative / secretarial assistance (if required) to the parties. Case Manager will also ascertain the correctness and genuineness of submissions made by the parties.

45.4. Case Manager’s shall capture information of all communication related to the case as per these Rules as an update on the Platform.

45.5. The Registrar may, in appropriate cases, replace the case manager and may appoint another case manager.

Number of Conciliators

46.1. There shall be one conciliator unless the parties agree that there shall be two or three conciliators.

46.2. Where there is more than one conciliator, they ought, as a general rule, to act jointly.

Appointment of Conciliators

47.1. in conciliation proceedings, the Registrar shall appoint conciliator/s from the panel of neutrals maintained by Sama in accordance with Sama Rules read with Section 64(2) and 68 of the Act;

47.2. An intimation shall be sent to the parties intimating them about the appointment of conciliator/s through various modes.

47.3. The Registrar may, in appropriate cases, replace the conciliator and may appoint another conciliator.

48. Submission of statements to conciliator —

The conciliator, upon appointment and during conciliation proceedings, may request each party to submit written statements and additional information as deemed appropriate, along with documents, if any, describing the general nature of the dispute and the points at issue. Such statements of the parties shall be uploaded on the Platform in the form of documents or as an update and shall be made available to all parties and the conciliator.

Conciliator not bound by certain enactments -

The conciliator is not bound by the Code of Civil Procedure, 1908 (5 of 1908) or the Indian Evidence Act, 1872 (1 of 1872) and Bharatiya Sakshya Adhiniyam, 2023.

Role of conciliator –

50.1. The conciliator shall assist the parties in an independent and impartial manner in their attempt to reach an amicable settlement of their dispute.

50.2. The conciliator shall be guided by principles of objectivity, fairness and justice, giving consideration to, among other things, the rights and obligations of the parties, the usages of the trade concerned and the circumstances surrounding the dispute, including any previous business practices between the parties.

50.3. The conciliator may conduct the conciliation proceedings in such a manner as he considers appropriate, taking into account the circumstances of the case, the wishes the parties may express, including any request by a party that the conciliator hear oral statements, and the need for a speedy settlement of the dispute.

50.4. The conciliator may, at any stage of the conciliation proceedings, make proposals for a settlement of the dispute. Such proposals shall be in writing and may be accompanied by a statement of the reasons therefor.

Administrative assistance

In order to facilitate the conduct of the conciliation proceedings, the parties, or the conciliator with the consent of the parties, may arrange for administrative assistance by a suitable institution or person.

Communication between conciliator and parties

52.1. The conciliator shall communicate with the parties orally or in writing through the Sama Platform or over a call/email/sms/WhatsApp communication. He may communicate with the parties together or with each of them separately.

52.2. If the conciliator/parties elect to meet in-person, such place shall be determined by the conciliator, after consultation with the parties, having regard to the circumstances of the conciliation proceedings, subject to the conciliator’s order as to costs of the in-person meeting.

Disclosure of information

53.1. When the conciliator receives factual information concerning the dispute from a party during their private conversation with either party,, he shall disclose the substance of that information to the other party as a case update on the Platform in order that the other party may have the opportunity to present any explanation which he considers appropriate:

Provided that when a party gives any information to the conciliator subject to a specific condition that it be kept confidential, the conciliator shall not disclose that information to the other party.

Co-operation of parties with conciliator

The parties shall in good faith co-operate with the conciliator and, in particular, shall endeavour to comply with requests by the conciliator to submit written materials, provide evidence and attend meetings.

Suggestions by parties for settlement of dispute

Each party may, on his own initiative or at the invitation of the conciliator, submit to the conciliator suggestions for the settlement of the dispute.

Time-limit for completion of conciliation

Notwithstanding anything contained in any other law for the time being in force, mediation under Sama Rules shall be completed within a period of forty-five days or any extended time granted by the mediator, from the date of the second party giving consent, whichever is later.

Settlement agreement

57.1. When it appears to the conciliator that there exist elements of a settlement which may be acceptable to the parties, he shall formulate the terms of a possible settlement and submit them to the parties for their observations. After receiving the observations of the parties, the conciliator may reformulate the terms of a possible settlement in the light of such observations.

57.2. If the parties reach agreement on a settlement of the dispute, they may draw up and sign a written settlement agreement. If requested by the parties, the conciliator may draw up, or assist the parties in drawing up, the settlement agreement.

57.3. When the parties sign the settlement agreement, it shall be final and binding on the parties and persons claiming under them respectively.

57.4. The conciliator shall authenticate and sign the settlement agreement and furnish a copy thereof to each of the parties.

57.5. The conciliator, either on the basis of their own satisfaction or upon confirmation by the Case Manager/internal calling team, may verify the correctness and genuineness of a settlement agreement submitted by the parties on Platform.

Status and effect of settlement agreement

The settlement agreement shall have the same status and effect as if it is an arbitral award on agreed terms on the substance of the dispute rendered by an arbitral tribunal under section 30 of the Arbitration Act.

Confidentiality

Notwithstanding anything contained in any other law for the time being in force, the conciliator and the parties shall keep confidential all matters relating to the conciliation proceedings. Confidentiality shall extend also to the settlement agreement, except where its disclosure is necessary for purposes of implementation and enforcement.

Termination of conciliation proceedings

The conciliation proceedings shall be terminated -

60.1. by the signing of the settlement agreement by the parties, on the date of the agreement; or

60.2. by a written declaration of the conciliator after consultation with the parties, or declaration by the party/s to the conciliator, to the effect that further efforts at conciliation are no longer justified.

60.3. in the event that a conciliator is not appointed, and it is not justified to continue with the conciliation proceedings, the Registrar shall, through a system message, declare the termination of the proceedings, without ascribing a reason.

60.4. if the conciliation proceedings are not justified to continue, the proceedings shall proceed as per the dispute resolution clause, if any;

60.5. the conciliation proceedings shall be terminated if the conciliation proceedings are not justified to continue, and during the conciliation proceedings if the parties have agreed to proceed in arbitration with Sama, the case shall proceed in arbitration according to Sama Rules;

Provided that the declaration/report referred to in this section shall not disclose the cause of non-settlement, or any other matter or thing referring to their conduct, during mediation.

Resort to arbitral or judicial proceedings

The parties shall not initiate, during the conciliation proceedings, any arbitral or judicial proceedings in respect of a dispute that is the subject-matter of the conciliation proceedings except that a party may initiate arbitral or judicial proceedings where, in his opinion, such proceedings are necessary for preserving his rights.

Role of conciliator in other proceedings

62.1. Unless otherwise agreed by the parties -

62.1.1. the conciliator shall not act as an arbitrator or as a representative or counsel of a party in any arbitral or judicial proceeding in respect of a dispute that is the subject of the conciliation proceedings;

62.1.2. the conciliator shall not be presented by the parties as a witness in any arbitral or judicial proceedings.

Admissibility of evidence in other proceedings

The parties shall not rely on or introduce as evidence in arbitral or judicial proceedings, whether or not such proceedings relate to the dispute that is the subject of the conciliation proceedings, —

63.1. views expressed or suggestions made by the other party in respect of a possible settlement of the dispute;

63.2. admissions made by the other party in the course of the conciliation proceedings;

63.3. proposals made by the conciliator;

63.4 the fact that the other party had indicated his willingness to accept a proposal for settlement made by the conciliator.

Part IV - Mediation Rules

Mediation Agreement

64.1. A mediation agreement shall be in writing, by or between parties and anyone claiming through them, to submit to mediation all or certain disputes which have arisen or which may arise between the parties.

64.2. A mediation agreement may be in the form of a mediation clause in a contract, including a Sama dispute resolution/mediation clause, or in the form of a separate agreement.

64.3. A mediation agreement is in writing, if it is contained in or recorded as—

64.3.1. any document signed by the parties;

64.3.2. an exchange of communications or letters including through electronic form as provided under the Information Technology Act, 2000;

any pleadings in a suit or any other proceedings in which existence of mediation agreement is alleged by one party and not denied by the other.

64.3.3. A reference in any agreement containing a mediation clause shall constitute a mediation agreement if the agreement is in writing and the reference is such as to make the mediation clause as part of the agreement.

64.3.4. The parties may agree to submit to mediation any dispute arising between them under an agreement, whether entered prior to arising of the dispute or subsequent thereto.

64.3.5. A mediation agreement in case of international mediation shall refer to an agreement for resolution in matters of commercial disputes referred to in clause (a) of section 3 of the Mediation Act.

Pre-litigation mediation

65.1. Subject to other provisions of the Mediation Act, whether any mediation agreement exists or not, the parties before filing any suit or proceedings of civil or commercial nature in any court, may voluntarily and with mutual consent take steps to settle the disputes by pre-litigation mediation in accordance with the provisions of the Mediation Act, and submit the case to Sama to conduct the mediation proceedings;

Provided that pre-litigation mediation in matters of commercial disputes of Specified Value shall be undertaken in accordance with the provisions of section 12A of the Commercial Courts Act, 2015, and the rules made thereunder.

Disputes or matters not fit for mediation

66.1. A mediation under the Mediation Act and Sama Rules shall not be conducted for resolution of any dispute or matter contained in the list as under: -

66.1.1. Disputes which by virtue of any law for the time being in force may not be submitted for mediation.

66.1.2. Disputes relating to claims against minors, deities; persons with intellectual disabilities under paragraph 2 of the Schedule and person with disability having high support needs as defined in clause (t) of section 2 of the Rights of Persons with Disabilities Act, 2016 (49 of 2016); persons with mental illness as defined in clause (s) of sub-section (1) of section 2 of the Mental Healthcare Act, 2017 (10 of 2017); persons of unsound mind, in relation to whom proceedings are to be conducted under Order XXXII of the Code of Civil Procedure, 1908 (5 of 1908); and suits for declaration of title against Government; declaration having effect of right in rem.

66.1.3. Disputes involving prosecution for criminal offences.

66.1.4. Complaints or proceedings, initiated before any statutory authority or body in relation to registration, discipline, misconduct of any practitioner, or other registered professional, such as legal practitioner, medical practitioner, dentist, architect, chartered accountant, or in relation to any other profession of whatever description, which is regulated under any law for the time being in force.

66.1.5. Disputes which have the effect on rights of a third party who are not a party to the mediation proceedings except only in matrimonial disputes where the interest of a child is involved.

66.1.6. Any proceeding in relation to any subject matter, falling within any enactment, over which the Tribunal constituted under the National Green Tribunal Act, 2010 (19 of 2010), has jurisdiction.

66.1.7. Any dispute relating to levy, collection, penalties or offences, in relation to any direct or indirect tax or refunds, enacted by any State legislature or the Parliament.

66.1.8. Any investigation, inquiry or proceeding, under the Competition Act, 2002 (12 of 2003), including proceedings before the Director General, under the Act; proceedings before the Telecom Regulatory Authority of India, under the Telecom Regulatory Authority of India Act, 1997 (24 of 1997) or the Telecom Disputes Settlement and Appellate Tribunal established under section 14 of that Act.

66.1.9. Proceedings before appropriate Commissions, and the Appellate Tribunal for Electricity, under the Electricity Act, 2003 (36 of 2003).

66.1.10. Proceedings before the Petroleum and Natural Gas Regulatory Board, and appeals therefrom before the Appellate Tribunal under the Petroleum and Natural Gas Regulatory Board Act, 2006 (19 of 2006).

66.1.11. Proceedings before the Securities and Exchange Board of India, and the Securities Appellate Tribunal, under the Securities and Exchange Board of India Act, 1992 (15 of 1992).

66.1.12. Land acquisition and determination of compensation under land acquisition laws, or any provision of law providing for land acquisition.

66.1.13. Any other subject matter of dispute which may be notified by the Central Government.

Provided that nothing contained herein shall prevent any court, if deemed appropriate, from referring any dispute relating to compoundable offences including the matrimonial offences which are compoundable and pending between the parties, to mediation before Sama;

Provided further that the outcome of such mediation shall not be deemed to be a judgment or decree of court referred to in sub-section (2) of section 27 of the Mediation Act, and shall be further considered by the court in accordance with the law for the time being in force.

Number of mediators –

67.1. There shall be one mediator unless the parties agree that there shall be two or three mediators.

67.2. Where there is more than one mediator, they ought, as a general rule, to act jointly.

Appointment of mediators

68.1. The Registrar shall appoint mediator/s from the panel of neutrals maintained by Sama in accordance with Sama Rules;

68.2. An intimation shall be sent to the parties intimating them about the appointment of mediator/s through various modes.

68.3. The Registrar may, suo motu or on an application by the parties to the proceedings, in appropriate cases, replace the mediator and may appoint another mediator.

Disclosure of mediator

69.1. The person appointed as a mediator shall, prior to the conduct of mediation, disclose in writing to the parties regarding any circumstance or potential circumstance, personal, professional, financial, or otherwise, that may constitute any conflict of interest or that is likely to give rise to justifiable doubts as to their independence or impartiality as a mediator.

69.2. During the mediation, the mediator shall, without delay, disclose to the parties in writing any conflict of interest, referred to in these Rules, that has newly arisen or has come to their knowledge.

69.3. Upon disclosure under these Rules, the parties shall have the option to waive any objection if all of them express in writing, which shall be construed as the consent of parties.

Procedure to commence mediation proceedings -

70.1. A party to a dispute may approach Sama with the intention to begin mediation proceedings with other party/s by registering themselves and providing the following on Platform:

70.1.1. full name and contact details of the parties to mediation (including full address of both parties, email addresses, if any, and registered mobile numbers);

70.1.2. a statement briefly describing the nature and circumstances of the dispute and the claims advanced by the initiating party with the other party to the mediation specifying all relief’s sought, including the amounts of any quantified claims or an estimate of the monetary value of any other claims, if any, along with supporting documents, along with previously agreed terms of settlement, if any;

70.1.3. a statement of any matters which the parties have previously agreed to as to the conduct of the mediation, if any;

70.1.4. such other documents and information relevant to the dispute, as deemed fit by the initiating party;

70.2. The parties to a dispute can jointly request Sama vide Letter of Request and submit their joint agreed terms/stand/statement to Sama, in which case:

70.2.1. Sama shall appoint a mediator in accordance with Sama Rules; and

70.2.2. Such mediator shall pass such settlement terms as a Settlement Agreement in accordance with Sama Rules.

Commencement of mediation proceedings

71.1. Upon successful registration of the initiating party on the Platform, an Invitation to Mediation notice shall be sent by either the initiating party or Sama to the other party(ies) through various modes of communication, briefly identifying the subject of the dispute.

71.2. Mediation proceedings, shall commence when the other party accepts the invitation to mediate in any manner.

71.3. If the other party rejects the invitation, there will be no mediation proceedings, and the proceedings shall be terminated as per Sama Rules;

71.4. If a reply to the invitation to mediation is not received within thirty days from the date on which the invitation is sent, or within such other period of time as specified in the invitation, whichever is later, it may be treated as a rejection of the invitation to mediate, and the proceedings shall terminated as per Sama Rules;

Appointment of Case Manager

72.1. The Registrar may appoint an individual as a case manager from Sama’s panel of case managers. An intimation shall be sent to the parties intimating them about the appointment of Case Manager/s through various modes.

72.2. Case Manager shall contact the parties through various modes of communication to inform the parties of important dates for submitting their individual or joint brief statement to the mediator and details of the mediator.

72.3. Case Manager will be available to answer queries related to the process provided under Sama Rules and for administrative / secretarial assistance (if required) to the parties. Case Manager will also ascertain the correctness and genuineness of submissions made by the parties.

72.4. Case Manager’s shall capture information of all communication related to the case as per the above Rules as an update on the Platform.

72.5. The Registrar may, in appropriate cases, replace the case manager and may appoint another case manager.

Submission of statements to mediator –

73.1. The mediator, upon appointment and during mediation proceedings, may request each party to submit written statements and additional information as deemed appropriate, along with documents, if any, describing the general nature of the dispute and the points at issue. Such statements of the parties shall be uploaded on the Platform in the form of documents or as an update and shall be made available to all parties and the mediator.

Mediator not bound by certain enactments -

The mediator is not bound by the Code of Civil Procedure, 1908 (5 of 1908) or the Indian Evidence Act, 1872 (1 of 1872) and Bharatiya Sakshya Adhiniyam, 2023.

Role of Mediator

75.1. The mediator shall assist the parties in an independent and impartial manner in their attempt to reach an amicable settlement of their dispute.

75.2. The mediator shall be guided by principles of objectivity, fairness and justice, giving consideration to, among other things, the rights and obligations of the parties, the usages of the trade concerned and the circumstances surrounding the dispute, including any previous business practices between the parties.

75.3. The mediator may conduct the mediation proceedings in such a manner as he considers appropriate, taking into account the circumstances of the case, the wishes the parties may express, including any request by a party that the mediator hear oral statements, and the need for a speedy settlement of the dispute.

75.4. The mediator may, at any stage of the mediation proceedings, make proposals for a settlement of the dispute. Such proposals shall be in writing and may be accompanied by a statement of the reasons therefor.

75.5. The mediator shall attempt to facilitate voluntary resolution of the dispute by the parties and communicate the view of each party to the other to the extent agreed to by them, assist them in identifying issues, advancing better understanding, clarifying priorities, exploring areas of settlement and generating options in an attempt to resolve the dispute expeditiously, emphasising that it is the responsibility of the parties to take decision regarding their claims.

75.6. The parties shall be informed expressly by the mediator that he only facilitates in arriving at a decision to resolve a dispute and that he shall not impose any settlement nor give any assurance that the mediation may result in a settlement.

Role of mediator in other proceedings -

The mediator shall not—

76.1. act as an arbitrator or a mediator or as a representative or counsel of a party in any arbitral or judicial proceeding in respect of a dispute that is the subject matter of the mediation proceedings;

76.2. be presented by the parties as a witness in any arbitral or judicial proceeding.

Disclosure of information -

77.1. When the mediator receives factual information concerning the dispute from a party during their private conversation with either party,, he shall disclose the substance of that information to the other party as a case update on the Platform in order that the other party may have the opportunity to present any explanation which he considers appropriate:

Provided that when a party gives any information to the mediator subject to a specific condition that it be kept confidential, the mediator shall not disclose that information to the other party.

Time-limit for completion of mediation

78.1. Notwithstanding anything contained in any other law for the time being in force, mediation under Sama Rules shall be completed within a period of forty-five days or any extended time granted by the mediator, from the date of the second party giving consent, whichever is later.

Mediated settlement agreement

79.1. A mediated settlement agreement includes an agreement in writing between some or all of the parties resulting from mediation, settling some or all of the disputes between such parties, and authenticated by the mediator;

Provided that the terms of the mediated settlement agreement may extend beyond the disputes referred to mediation.

Explanation.—A mediated settlement agreement which is void under the Indian Contract Act, 1872, shall not be deemed to be lawful settlement agreement within the meaning of mediated settlement agreement.

79.2. Where a mediated settlement agreement is reached between the parties with regard to all or some of the disputes, the same shall be reduced in to writing and signed by the parties.

79.3. Subject to the provisions of section 26 of the Mediation Act, the mediated settlement agreement signed under the Sama Rules, shall be submitted by the parties to mediator, who shall, after authenticating the same, forward it with a covering letter signed by them, to the Registrar and also provide a copy to the parties, to do the needful;

Registration of mediated settlement agreement -

80.1. For the purposes of record, mediated settlement agreement arrived at between the parties, other than those arrived in a court or tribunal referred mediation or award of Lok Adalat or final award of the Permanent Lok Adalat under section 21 or section 22E of the Legal Services Authorities Act, 1987, may, at the option of parties, be registered with an Authority constituted under the said Act, or any other body as may be notified by the Central Government, in such manner as may be specified and such Authority or body shall issue a unique registration number to such settlement agreements:

Provided that the mediated settlement agreement under this Rule may be registered with such Authority or the body situated within the territorial jurisdiction of the court or tribunal of competent jurisdiction to decide the subject matter of dispute.

Explanation —For the removal of doubts, it is clarified that nothing contained in this sub-section shall affect the rights of parties to enforce the mediated settlement agreement under section 27 or challenge the same under section 28 of the Mediation Act.

80.2. Where no agreement is arrived at between the parties, within the time period as provided under these Rules, or where, the mediator is of the view that no settlement is possible, they shall submit a non-settlement report in writing and upload the same on the Platform for records purposes and to do the needful

Provided that the report referred to in this section shall not disclose the cause of non-settlement, or any other matter or thing referring to their conduct, during mediation.

Admissibility and privilege against disclosure

No mediator or participant in the mediation, including experts and advisers engaged for the purpose of the mediation and persons involved in the administration of the mediation like Case managers and the Registrar of Sama, shall at any time be permitted, or compelled to disclose to any court or tribunal, or in any adjudicatory proceedings, by whatever description, any communication in mediation, or to state the contents or conditions of any document or nature or conduct of parties during mediation including the content of negotiations or offers or counter offers with which they have become acquainted with during the mediation:

Provided that nothing in this Rule and section 22 of the Mediation Act shall protect from disclosure, information sought or provided to prove or dispute a claim or complaint of professional misconduct of mediator or malpractice based on conduct occurring during the mediation.

Termination of mediation proceedings —

The mediation proceedings shall be terminated -

82.1. by the signing of the settlement agreement by the parties, on the date of the agreement; or

82.2. by a written declaration of the mediator after consultation with the parties, or declaration by the party/s to the mediator, to the effect that further efforts at mediation are no longer justified.

82.3. in the event that a mediator is not appointed, and it is not justified to continue with the mediation proceedings, the Registrar shall, through a system message, declare the termination of the proceedings, without ascribing a reason.

82.4. if the mediation proceedings are not justified to continue, the proceedings shall proceed as per the dispute resolution clause, if any;

82.5. the mediation proceedings shall be terminated if the mediation proceedings are not justified to continue, and during the mediation proceedings if the parties have agreed to proceed in arbitration with Sama, the case shall proceed in arbitration according to Sama Rules;

82.6. on the expiry of time limit under these Rules.

Enforcement of mediated settlement agreement -

83.1. A mediated settlement agreement resulting from a mediation signed by the parties and authenticated by the mediator shall be final and binding on the parties and persons claiming under them respectively and enforceable as per the provisions of the Mediation Act.

83.2. Subject to the provisions of section 28 of the Mediation Act, the mediated settlement agreement shall be enforced in accordance with the provisions of the Code of Civil Procedure, 1908, in the same manner as if it were a judgment or decree passed by a court, and may, accordingly, be relied on by any of the parties or persons claiming through them, by way of defence, set off or otherwise in any legal proceeding.

84. If any difficulty arises in giving effect to the provisions of these Rules, the Registrar may, by an order, make such provisions, not inconsistent with the provisions of the Sama Rules, as may appear to it to be necessary for removing the difficulty:

Part V: Miscellaneous Provisions

Registrar – duties and power to remove difficulties and defects

85.1. The Registrar shall perform all their duties and act in respect of administering the proceedings to be conducted online/electronically on the Platform to ensure that all the proceedings shall be conducted/administered on time, smoothly, effortlessly, effectively, correctly and comfortably, and shall be bound to perform all other duties assigned to them.

85.2. In order to conduct the proceedings in the manner as contemplated above, the Registrar has the power to via inspection and internal audit to monitor and supervise the Platform, case management system, secretarial work, timely compliance of the directions given by the Neutrals, in a periodical manner or from time to time, at their discretion.

85.3. If during such an inspection and/or audit, any technical computer/system generated, secretarial (case management) or any administrative error are found or reported to the Registrar, which were not part of or related to the legal process of that proceeding, but as a result of which a proceeding has been disposed off in any manner, and moved in closed category or has been moved to another stage, the Registrar has the power to remove, solve, or undo such error/mistake, suo motu or on any report in the following manner: -

85.3.1. If such error/mistake occurred before commencement of the proceedings, the Registrar by any an order in writing remove that error/mistake and restore the proceedings at the stage it was in.

85.3.2. If such error/mistake occurs during the proceedings, and does not follow an order of the Neutral, the Registrar by any an order in writing remove that error/mistake and restore the proceedings at the stage it was in.

85.3.3. Any order of the Registrar made under Rule 85.3.1. and 85.3.2 shall restore the proceedings back to the stage prior to the error/mistake having occurred.

85.3.4. If the Registrar find it fit and proper, they shall bring the facts before the Neutral in writing, who shall, at their discretion, pass an appropriate order in the garb of review, recall or appeal.

Protection against any act done in good faith

86.1. No suit or other legal proceeding shall be taken against the arbitrator, conciliator, mediator, Case Manager, Registrar, Sama or any officer, employee, director or agent of Sama in relation to any act and proceeding done in good faith under the Sama Rules.

86.2. Sama, arbitrator, mediator, conciliator, Registrar, Case Manager or any officer, employee, director or agent of Sama shall not be made a party to any proceedings, appeal or application to set aside the Order, Award, Settlement Agreement or Mediation Agreement.

Maintenance of data and records by Sama

87.1. Sama shall keep the data of the parties to any proceeding under Sama Rules in its systems and records shall be kept in the system in such a manner that the identity of the parties or any circumstances of dispute cannot be identified.

87.2. Unless agreed otherwise between Sama and any party to the proceeding under Sama Rules, Sama shall maintain the data of all proceedings under Sama Rules for a period of [four] years from the date of issuance of the Order, Award, Settlement Agreement or Mediation Agreement.

In case any such Order, Award, Settlement Agreement or Mediation Agreement is appealed or application has been filed to set it aside, the party making such appeal/application shall promptly notify Sama and Sama shall maintain the data and records of all such proceedings till the disposal of such proceedings, unless agreed otherwise between Sama and any party to the proceeding under Sama Rules.
Sama may erase all the data and records pertaining to any proceedings under Sama Rules after the expiry of the time period as specified above in these Rule.

Confidentiality

90.1. Sama, the Registrar, neutrals, and the parties shall not disclose the details of any proceedings under Sama Rules and shall keep confidential all matters relating to such proceedings (including the Award, Conciliation Agreement or Mediation Agreement (as applicable), except in case where it is required to be disclosed to them).

90.2. Sama, Registrar, Neutrals and the parties to proceedings under Sama Rules shall comply with all applicable laws in relation to confidentiality, including under section 42A of the Act.

Monitoring of proceedings

91.1. The Registrar may periodically examine and evaluate any proceedings under Sama Rules and case files on the Platform to ensure that the timelines prescribed under Sama Rules are not extended without any justifiable reasons.

Exclusion of Liability

92.1. All parties to proceedings under Sama Rules hereby jointly and severally exempt Sama from any liability arising from the Registrar, neutrals, case managers, vendors, agent, employee under Sama Rules or any other law in course of discharge of their duties and rights exercised in good faith and no action shall be initiated against them.

Language

93.1. The language of all proceedings under Sama Rules shall be in English, subject to the agreement between the parties. Further, if either Party/Neutral is unable to speak in English or the chosen language, then a Case Manager who speaks the specific language will be appointed to assist the parties.

93.2. In case both parties to any proceeding under Sama Rules request for the proceedings be conducted in any other Indian language other than English, then Sama may solely decide the language of such proceeding under Sama Rules.

93.3. If any document filed by any party is in a language other than English, the party filling such document shall simultaneously furnish an English translation of such documents.

Procuring a verified copy

94.1. Any party to a proceeding under Sama Rules, or any other affected party, who may require a verified copy of the Order, Award, Mediation Agreement, Settlement Agreement or proceedings (pursuant to an order of the court or otherwise) shall provide a request for the same at info@sama.live or to the Registrar and make the payment of a fee as applicable from time to time.

94.2. The Registrar may supply a certified copy as per these Rules to any other affected party who is not a party to the proceedings conducted on the Platform, subject to prior sanction.

Amendment to Sama Rules

Sama shall have the sole right to make any amendments in Sama Rules, its schedules, fees etc., as it deems fit and necessary.

Working Hours

The parties may upload their Pleadings on the Platform at any time, as prescribed under Sama Rules by the Registrar or the neutrals.

Notices and Communication

97.1. For the purposes of the Sama Rules, any notice, communication or proposal shall be through electronic communication or as per postal service/courier. Electronic communication through Sama can be sent through any one of the following means/ modes of electronic communication:

97.1.1. at the last known registered mobile number, email address, residential address, office address, as mentioned in the agreement between the parties or as mentioned in other communications stated by the party;

97.2. On completion of any one of the following conditions, service/delivery of electronic communications will be considered successfully delivered when:

97.2.1. the e-mail sent has not 'bounced back';

97.2.2. the SMS sent has not received a failure of delivery notification;

97.2.3. the message sent through an instant messaging application, like WhatsApp etc. has not received a failure of delivery notification;

97.3. In situations when either party has not logged on to the Platform, the Case Manager will call such party’s registered mobile number provided while registering on the Platform to inform the party that the proceedings under Sama Rules have been initiated. On making such voice call by Case Manager, the service would be deemed to be completed in case:

97.3.1. the call is completed with the party, necessary details have been shared with them, and if during the conversation she has not denied being the party to the dispute; or

97.3.2. if the party has rejected the call.

97.4. All communications and exchange of documents during any proceedings under Sama Rules shall be done through the Platform or as per postal service/courier by the parties or their authorised representatives.

97.5. In certain cases, where parties have made case relevant communication through email, WhatsApp or text messages with the Case Manager and want the communication to be uploaded on the Platform for the other party to view, the communicating party may request the Case Manager to upload the same in the 'Case Update' section of the Platform and the Registrar/neutral may consider such communication uploaded while exercising their discretion.

97.6. The Case Manager will only upload any communication after being duly satisfied that the communication has been received from the registered/verified email or mobile number of the parties.

Waiver of the right to object

98.1. Any party who proceeds with the proceedings under Sama Rules with the knowledge that any provision or requirement of these Sama Rules has not been complied with, yet fails to state his objection thereto in writing, shall be deemed to have waived their right to object.

Succession

99.1. In a situation, where Sama ceases to exist (for any reason whatsoever), the assignee or Official Liquidator or any entity declared as a successor by an order of the competent Tribunal or the Court, the parties shall be at liberty to choose a new institution for their dispute resolution mechanism.

the Platform

100.1. Sama shall facilitate the proceedings under these Rules on the Platform and provide associated administrative services which includes sending Notices, filing cases, appointment of Neutrals, uploading documents, communication through electronic modes, settlement/award builder, e-signature, e-stamping and all the services required till the passing of the Order or Award, Settlement Agreement or Mediation Settlement Agreement or until termination of proceedings.

100.2. All parties to any proceedings under Sama Rules shall register themselves on the Platform, in a form and manner as prescribed on the Platform.

Jurisdiction

101.1. Any objection by a party to the existence or, to the competence of Sama to administer for dispute resolution prior to appointment of the Neutral, shall be placed in the first instance before the Registrar.

101.2. If the Registrar sustains the objection, the dispute resolution proceedings shall be terminated.

102. No suit, prosecution or other legal proceeding shall lie against the Central Government or a State Government or any officer of such Government, or the Member or Officer or employee of the Council or an arbitrator, conciliator or mediator, Case Managers, Sama and its employees for a thing which is done or is intended to be done in good faith under this Act or the rules or regulations made thereunder.

Contact Us

If you have any questions, concerns, or requests regarding this Privacy Policy, please feel free to contact us at info@sama.live.

Please note: Old Sama Rules & Procedures (2021) are now available here.

Preamble

‘Sama’ is a recognised, approved and acknowledged as an Alternative Dispute Resolution Institute by Ministry of Law and Justice, Government of India. ‘Sama’ has its own web technology and internet based online platform providing online Alternate Dispute Resolution services (“eADR”), accessible from www.odr.sama.live (“Platform”). The Platform provides the mechanism for Alternative Dispute Resolution and facilitates the operation of Alternate Dispute Resolution proceedings and associated administrative services, online and offline, which includes the appointment of arbitrator, mediator and conciliator and all the services required till the passing of an Award or termination of proceedings.

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

Part 1: General Rules

Short Title, Extent and Application

We collect “Non-Personal Information” and “Personal Information.” Non-Personal Information includes information that cannot be used to personally identify you, such as anonymous usage data, general demographic information we may collect, referring/exit pages and URLs, platform types, preferences you submit, macro claim, outcome, settlement and dispute resolution related data, and preferences that are generated based on the data you submit and number of clicks. Personal Information includes your email, name and other personal details including the specific details related to your dispute and evidence supporting your claim or response to a claim which you submit to us through the registration, settlement, mediation, conciliation, Chat, calls, arbitration and/or other dispute resolution process or journey at the Site as may be applicable.

1. Short Title, Extent and Application

1.1. Where parties have agreed to refer their disputes to Sama for resolution through arbitration, mediation or conciliation, the parties shall be deemed to have agreed that such arbitration, mediation or conciliation shall be conducted and administered in accordance with these rules, as amended from time to time (subsequently to referred as “Sama Rules” or “Rules” in short), and the Arbitration and Conciliation Act, 1996 (“Arbitration Act”) and the Mediation Act, 2023 (“Mediation Act”). Sama Rules include the rules, guidelines, code(s) of conduct, protocols, terms and conditions, policies, annexures etc. which are fundamental in the working of the Platform (as defined below).

1.2. If any of the Sama Rules are in conflict with the mandatory provisions of law applicable to arbitration, mediation, conciliation or the agreement between the parties from which such parties cannot derogate, such mandatory provisions or agreements shall prevail, as the case may be.

1.3. These Sama Rules will apply automatically in the form of binding nature and shall apply to all dispute resolution proceedings commenced or pending under Sama Rules. For all purposes, these Rules shall be effective from 1 July 2024.

Definition and Interpretations