It includes Preface, Contents, Appendices, and Index Pages.
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ABOUT THE BOOK

The legal framework surrounding Arbitration in India has witnessed a paradigm shift in recent years. The Amendment Act of 2015 amended the Arbitration and Conciliation Act 1996 to make the process of arbitration friendly to the parties by making it inexpensive. The focus was also on swift disposal of the cases and ensuring the neutrality of the arbitrator. An urgent need was felt to promote institutionalized ADR process and also to get rid of the practical hurdles in applying the 2015 Amendment Act. With this backdrop, the Government of India again brought an Amending Act in 2019. It has three-fold objectives: firstly, to address the issues arising out of 2015 Amendment Act; secondly, to reduce the judicial intervention in arbitration process and lastly to streamline the Indian Arbitration Regime. The basic theme of the 2019 amendment is to re-structure, re-organize and re-enforce the institutional arbitration by launching an independent body that promotes ADR in India. On 11th March, 2021, the Central Government has notified the Arbitration and Conciliation (Amendment) Act, 2021. The Amendment Act of 2021 amends Sections 36 (Enforcement) and 43-J (Norms for accreditation) of the Arbitration and Conciliation Act, 1996. This Amendment Act also omits the Eighth Schedule of the Arbitration Act, which deals with qualifications and experience of arbitrators. The present book incorporates all the recent amendments made by the Arbitration and Conciliation (Amendment) Act, 2019 and the Arbitration and Conciliation (Amendment) Act, 2021 in the existing law. The content has been simplified and expanded with a special thrust on latest cases and updated information making the book more relevant.

CONTENTS

INTRODUCTION



Salient Features of the Arbitration and Conciliation Act, 1996

1. A Comprehensive Statute

2. An Explanatory Code

3. Curtailment of the Courts’ Powers

4. Procedure for Conduct of Arbitration and Awards in detail

5. Precised Powers of the Court

6. Powers of the Arbitrators enhanced

7. A new form of Conciliation

8. International applicability

Scope of Arbitration Law in India

Whether the arbitration clause is a part of contract

Bill on the Law of Arbitration and Conciliation

Statement of Objects and Reasons

The Arbitration Act, 1940 has become outdated-

Object of the present Act

Arbitration Act, 1996 should be interpreted keeping in mind the UNCITRAL Model Law

Composition of the Arbitration and Conciliation Act, 1996

Part I-Arbitration

Part II-Enforcement of Certain Foreign Awards

Part III-Conciliation

Part IV-Supplementary Provisions

Difference between Arbitration Act, 1940 and Arbitration and Conciliation Act, 1996

London Court of International Arbitration (LCIA)

Origin-Setting up Committee

Formation of Tribunal

Inauguration of Chamber

Re-naming of tribunal

Joining of other bodies

Current Operation

Functions

Member 1 to 35 from 6 are of U.K. Nationality

Procedure

“GIST” of LCIA



THE ARBITRATION AND CONCILIATION ACT, 1996
Preamble
Consolidating and Amending Act
Consolidating Act

Amending Acts

How far is previous law relevant

The provisions of 1996 Act are to be interpreted without any influence of 1940 Act

(1) Render assistance in interpretation of statute-Legitimacy of

(2) Whether the preamble is referable

(3) For ascertaining the intention of the Legislature

(4) Ambiguity in statute, preamble may be examined to determine its purpose and object

(5) Use of Preamble

(6) Purpose of Preamble

(7) Two propositions regarding Preamble

(8) Preamble is not the source of any substantive power

(9) Preamble may be used to remove ambiguity

(10) Where enacting part of the Act is ambiguous-

Preamble can be referred

(11) No reference of dispute to arbitrator by intervention of the court

(12) Provisions of the new Act Held to be intra vires and not arbitrary

PRELIMINARY
1. Short title, extent and commencement

(i) Interpretation of explanation

(ii) Explanation is a part of the section to which it is appended

(iii) Explanation added to clarify certain ambiguities

(iv) In spite of many clauses in a section only one explanation may be provided

(v) Test to determine the request for reference-Made before passing of the Act, 1996



PART I

ARBITRATION

Chapter I

General Provisions

2. Definitions

(i) All statutory definitions must be read subject to qualification

(ii) Interpretation of definition

(iii) Interpretation of definition-Principle of

(iv) Words defined to have same meaning unless the context otherwise requires

(v) Popular meaning of words should be taken

(vi) All statutory definitions have to be read subject to the qualification variously expressed in the definition

(vii) Reference to dictionary meaning-Permissibility of

(a) Arbitration

What is Arbitration?

Meaning of “Arbitration”

Kinds of Arbitration

(b) Arbitration Agreement

A valid Arbitration Agreement-Ingredients of Intention of the parties

(c) Arbitral Award

“Arbitral award”-From and Contents

Terms and Contents of Arbitral award

(d) Arbitral Tribunal

(e) Court

Meaning of word “Court”

Arbitral award can be challenged in the court

Objection under Section 34

(f) International Commercial Arbitration

(g) Legal Representative

Legal representative-Under the Code of Civil Procedure, 1908

(h) Party

Section 2(2)-Scope

Section 2(h)-Settlement agreement company is a party to arbitration agreement only

In terms of Section 2(h), the company is a party to arbitration agreement

“Party to an agreement”-Meaning of

Construction of References

3. Receipt of written communications

4. Waiver of right to object

(i) Expression “Waiver”-Meaning of

(ii) Failure to raise objection within prescribed time-

Amounts to “waiver” of right

(iii) Conditions necessary when a party waives his right

(iv) Attending arbitration proceedings under protest does not amount to waiver of right.

(v) When the principle of waver would not apply in arbitration proceedings
Party taken benefit under award, cannot challenge the same

5. Extent of judicial intervention
(i) Whether revisional jurisdiction of the High Court taken away
(ii) Judicial intervention in arbitration proceedings-Extent of
(iii) Expression “Judicial Authority”-Its meaning and scope

6. Administrative assistance



Chapter II
Arbitration Agreement



7. Arbitration agreement
(i) Term “agreement”-Connotation of
(ii) Form of an arbitration agreement
(iii) What constitutes an “arbitration agreement”
(iv) Oral arbitration agreement is not recognized
(v) Genuineness of agreement-Initial burden of proving
(vi) Existence of arbitration agreement-inference of
(vii) Existence of arbitration agreement established
(viii) Existence of arbitration Agreement-inference as to can be drawn from letters/faxes etc.
(ix) Plea of non-existence of arbitration agreement-when not available
(x) An arbitration agreement is not necessarily to be signed by both the parties
(xi) Arbitrable Disputes
(xii) Arbitration Award given without a dispute between the parties is Nullity
(xiii) Arbitration clause may subsist even on full and final settlement of the claim/bill
(xiv) Arbitration clause-providing that “Any Dispute between the parties shall be referred to arbitration”
(xv) Whether mutuality is required to constitute a valid arbitral agreement
Whether a right has been expressly given to both parties to initiate arbitration
(xvi) Arbitration agreement relating to either present or future disputes
(xvii) Arbitration clause under the Government contract
(xviii) Whether the parties of a firm can enter into the arbitration agreement
(xix) Memorandum of understanding does not constitute arbitration clause
(xx) Arbitration agreement held to be valid, requiring two arbitration to appoint third arbitrator
(xxi) Agreement requires arbitrator’s appointment
(xxii) In absence of arbitration agreement-No intervention by the court
(xxiv) Vagueness in arbitration clause
(xxv) When provision for arbitration constitute an arbitration agreement-two conditions necessary
(xxvi) Arbitration agreement of enlargement of scope of dispute
(xxvii) Judicial Authority would have jurisdiction to go into said question in certain circumstances
(xxviii) Validity of clause of arbitration agreement-
Imposing condition of depositing 10% of amount claimed
Applicability of doctrine of severability
Applicability of the Rules of Indian Council of Arbitration
Existence of arbitration agreement-Determination of Arbitration Agreement-

Whether substituted or merely modified
(xxix) Arbitration Agreement is Binding
(xxx) “Guarantor” to arbitration agreement-These is no arbitration agreement
(xxxi) Clause merely intends to prevent delay and stoppage of work-Cannot be construed as arbitration agreement
(xxxii) Absence of arbitration agreement-No reference to arbitration
(xxxiii) Non-party to arbitration agreement cannot be subjected to arbitration proceedings

8. Power to refer parties to arbitration where there is an arbitration agreement
(i) Expression ‘Party’ under Section 8-Meaning of
(ii) Applicability of Section 8-Obligatory for the Court to refer parties to arbitration in terms of arbitration agreement
(iii) nature of Section 8
(iv) Expression “first statement on the substance of the dispute”-Meaning of
(v) Beneficiary cannot be prevented for invoking Bank Guarantee
(vi) Judicial authority under obligation to refer the parties for arbitration
(vii) No appointment of ab arbitrator through court
(viii) Death of named arbitrator-In such eventuality court can appoint arbitrator
(ix) Question regarding winding up of the company cannot be referred to arbitration
(x) Arbitral proceedings and legal proceedings to be continued concurrently
(xi) Civil Procedure-Arbitrability of subject matter of suit
(xii) When complaint can be sued before consumer forum-contract containing arbitration clause
(xiii) Mortgage suit-Limitation qua Reference to Dispute for Arbitration
(xiv) Pendency of application under Section 8 in any suit-Does not bar appointment of arbitrator under Section 11
(xv) Non-existence of a valid arbitration agreement-high Court cannot pass a decree in terms of award
(xvi) submission of first statement not a bar on the court referring the parties to arbitration
(xvii) Application under Section 8 without certified copy of agreement
(xviii) Filing of application under Section 9-No time limit prescribed
(xix) on what grounds stay of legal proceedings may be refused
(xx) Stay proceeding should be disposed of expeditiously
(xxi) Reference made during repeal of the Arbitration Act, 1940-Effect of
(xxii) Reference of dispute to arbitration-Difference between Section 34 of the Arbitration Act, 1940 and Section 8 of the New Act, 1996
(xxiii) Reference to arbitration cannot be made-Contract for supply of goods
(xxiv) Reference of dispute for arbitration improper
(xxv) Reference-Maintainability of application
(xxvi) No provision in the Act for splitting the cause or parties
(xxvii) Suspension of supply of petroleum products to the respondent dealer-whether dispute is covered by arbitration clause
Application for reference to arbitrator-When the dispute is not covered by arbitration clause
(xxviii) Arbitrable dispute-When jurisdiction of the civil court not ousted
(xxix) International commercial arbitration-Section 8 of the Act has no application
(xxx) Supersession of earlier contract by another-
Arbitration clause being a component part of earlier contract, falls with it
(xxxi) Unregistered rent note containing arbitration clause-Not admissible as evidence
(xxxii) Tenancy Agreement-Eviction dispute cannot be referred to arbitration
(xxxiii) Reference to arbitrator-Dispute regarding tenancy and eviction

9. Interim measures etc. by Court
(i) Interim measures by court
(ii) Granting of interim injunction-When can be
(iii) Proceeding under Section 9 of the Act is maintainable only between the parties to arbitration agreement
(iv) Power of the Court to pass interim order-Principle applicable for
(v) Granting of interim injunction order-what factors to be taken in consideration
(vi) Invoking of Section 9 in matter relating to Bank Guarantee
(vii) Encashment of Bank Guarantee-When Arbitration proceedings pending
(viii) Granting of Interim Injunction/Interim measure
(ix) Interim Order may be made even before commencement of arbitration proceedings
(x) Interim Protection order-Statutory discretion under Section 9(ii)(b) to be exercised judicially
(xi) “Interim relief”-Order passed by the Court should fall within the meaning of expression “an interim measure of protection” as distinguished from all time or permanent protection
(xii) No injunction granted-When the plaintiff has already invoked the remedy available.
(xiii) Hire purchase agreement-Owner was well within its right to resort to arbitration in terms of arbitration clause in agreement.
(xiv) Power to grant interim relief-Court is not bound by limits of Order 39, Rules 1 and 2 of C.P.C.
(xv) Sale of iron ore-Totally restraining appellant is not proper
(xvi) Restitution of conjugal rights-Burden on non-applicant to show the cause for withdrawal from society of applicant
(xvii) No Specific Provision for Payment of Court-fees under the Act of 1996
(xviii) Existence of arbitration clause-photocopies of original agreements can be taken on record
(xix) Release of outstanding dues cannot be granted by way of interim relief
(xx) Joint business under a trade Mark-when order of injunction sustainable
(xxi) International Commercial Arbitration-Seat of Arbitration-Shifting by Consent of parties



Chapter III
Composition Of Arbitral Tribunal



10. Number of arbitrators
(i) Who is “arbitrator”
(ii) Freedom to determine number of arbitrators
(iii) Court may make appointment if the parties do not concur
(iv) Agreement providing for two arbitrators
(v) Party entitled to invoke arbitration clause-When can be

11. Appointment of arbitrators
(i) Legislative intention
(ii) Phrase “failing any agreement”-What it contemplates

Applicability of Section 11(3), (4) and (5)
(iii) Appointment of an arbitrator by an ex-officio designated official
(iv) Appointment of arbitrator-Power of Indian Council of Arbitration
(v) Arbitrator to be independent and impartial person
(vi) Before appointing an arbitrator-what issues to be decided?
Allegation of bias-appointment of arbitrator
(vii) Proceedings for appointment of arbitrator under Section 11 has a very narrow scope
(viii) No assumption as to failure to arbitrate properly
(ix) International commercial arbitration-appointment of arbitrator
(x) International commercial arbitration-Existence of arbitration agreement
(xi) Appointment of arbitrator qua International Commercial Agreement
(xii) International Commercial arbitration agreement-Arbitration clause alleged to have been obtained by fraud-Arbitrator cannot be appointed
(xiii) International arbitration-When, provisions of Section 11(6) does not apply
(xiv) International commercial arbitration-Nationality of arbitrator
(xv) International arbitration-Appointment of foreign arbitrator-CJI to consider
(xvi) Foreign award-when application under Section 11(6) of the Act, 1996-Not maintainable
(xvii) Appointment of sole arbitrator-When it can be made
(xviii) Word “May” in Section 11(9) is taken as “shall”
(xix) Order passed under Section 11(6) is administrative remedy
(xx) Order passed under Section 11(6) cannot be challenged under Article 136 of the Constitution
(xxi) Right to make appointment of arbitrator is not forfeited-When, Appointment has not been made within 30 days of denial
(xxii) Objection as to nationality of arbitrator
(xxiii) Government contracts-Appointment of an arbitrator by a ‘Designated person’
(xxiv) Appointment of arbitrator-Order of the chief Justice or his designate under Section 11 is a Judicial order? Power of the Chief Justice-Question whether claim in question was a live on and/or not barred by limitation
(xxv) Limitation-disputed Question of Fact-Whether could be decided by CJI or designated Judge
(xxvi) Appointment of arbitrator-Territorial Jurusdiction of High Court-Determination of
(xxvii) Precondition for exercise of power-Appointment of arbitrator
(xxviii) Appointment of arbitrator, when the procedure is not provided by agreement between parties
(xxix) Order made by judge designated by the Chief Justice for appointment of arbitrator-Whether writ petition is maintainable against
(xxx) Power of Chief Justice/his Designate-Maintainability of claim Qua Bar of Res-Judicata
(xxxi) Apprehension regarding bias in Government arbitration
(xxxii) Appointment of Government Servant as arbitrator by Government-Whether proper?
(xxxiii) Section of an arbitrator-he must show the highest faith
(xxxiv) Appointment of Arbitrator-cannot be made in violation of arbitration clause of contract
Application for appointment of arbitrator-When not maintainable
(xxxv) When, appointment of arbitrator not sustainable
(xxxvi) Application under Section 11 against appellant was misconceives
(xxxvii) Appointment of Arbitrator-Objection to maintainability of application for
(xxxviii) Appointment of Arbitrator-Application by L.R. of the deceased partner
(xxxix) Appointment of Arbitrator-When the Chief Justice cannot be approached straightway
(xl) Appointment of Arbitrator within 30 days of demand Delay in appointment of arbitrator-Power of the Chief Justice
(xli) Failure of authorities to appoint arbitrator within reasonable time-“Mandamus” can be issued
(xlii) Acceptance and receipt of final bill without protest –Applicant is prohibited from raising any dispute with reference
(xliii) Arbitration agreement is a matter of contract
(xliv) Appointment of arbitrator-Arbitration whether binding
(xlv) Parties settle their dispute through arbitration
(xlvi) Existence of a valid and enforceable arbitration agreement is a condition precedent before an arbitrator can appointed
(xlvii) Parties free to adopt procedure appointment of arbitrator
(xlviii) Preliminary objection-Whether dispute is arbitrable or not?
(xlix) Appointment of arbitrator by court-Preliminary issues may be decided by Chief Justice or his designate
Preliminary matters to be determined by the Chief Justice prior to appointment of arbitrator
(l) Arbitrator can be appointed by the General manager, Railway
(li) International commercial arbitration-Chief Justice of India alone empowered to appoint arbitrator
(lii) Company incorporated in India, would always be controlled in India
(liii) Appointment of arbitrator-Only power of Civil Court is to refer parties to arbitration
(liv) Waiver of right of appointment of arbitrator
(lv) Once Authority Refuses to Appoint Arbitration-He loses said power
(lvi) No Existence of Arbitral Agreement
(lvii) Jurisdiction for appointment of arbitrator by Court-When cannot be exercised
(lviii) Removal of arbitrator appointed by the High Court When can be
(lix) Appointment of arbitrator-when named in arbitration agreement-whether can be challenged
(lx) Absence of arbitration agreement-Arbitrator can’t be appointed
(lxi) When parties failed to appoint arbitrator under official procedure
(lxii) Electricity Act, 2003 will prevail over Section 11of the Act, 1996-Disputes between licensees and generating companies
(lxiii) Survival of arbitration clause itself is arbitrable
(lxiv) Deletion of Arbitration clause-Non tendered items cannot be described as an arbitration agreement
(lxv) Undue delay in deciding claim between parties, “amounts to withdrawal of arbitration”
(lxvi) Arbitration agreement was in non-existent-in absence purchase order/contract
(lxvii) Arbitration Agreement could stand Independent of main agreement
(lxviii) Refusal to appointment arbitrator-Partnership firm-Allegation of Fraud and Misappropriation
(lxix) Non-compliance with appointment procedure-Power of Chief Justice of India
(lxx) When, the Corporation has forfeited its right of appointment of arbitrator

11A. Power of Central-Government of Amend Fourth Schedule
(i) Fourth Schedule-Amendment
(ii) Procedure

12. Grounds for challenge
(i) Duty to disclose is cast on the prospective arbitrator
(ii) The word “only” in Section 12(3)-Significance of
(iii) Expression “refusal” to act as arbitrator-Meaning of
(iv) Power of the court regarding appointment if authorized person fails to appoint
(v) Appointed arbitrator must possess qualifications agreed to by the parties
(vi) When the composition or the procedure of Arbitral Tribunal is challengeable

13. Challenge-procedure
No scope for dialatory tactics

14. Failure or impossibility to act
(i) Phrases and terms contained in Section 14(1)-Connotations of
(ii) Expression “unable to perform his function”-Meaning of
(iii) When an arbitrator becomes incapable of acting ‘de facto’
(iv) Vacancy created on account of retirement or withdrawal by arbitrator can be filled
(v) Making and publishing the arbitral award-when court can exercise its inherent power in extending time fixed by the parties

15. Termination of mandate and substitution of arbitrator
(i) Termination of mandate of arbitrator
(ii) mandate of arbitrator-Cannot be terminated on ground of bias/impartiality of arbitrator
(iii) Substitution of arbitrator
(iv) Insolvency notice cannot be issued on basis of an arbitration
(v) Claiming damages-On ground of handing over site-Not entitled for



Chapter IV
Jurisdiction Of Arbitral Tribunals

16. Competence of arbitral tribunal to rule on its jurisdiction
(i) Scope of Section 16
(ii) Submission to jurisdiction of arbitration-What amounts to
(iii) When objections to jurisdiction have to be raised
(iv) Constitution of arbitral tribunal-When can be challenged
(v) Want of jurisdiction-When such plea can be raised
(vi) Question of Jurisdiction-Arbitral Tribunal has Power to rule on its own jurisdiction
(vii) Harmonising effect should be given to arbitration clause in main agreements
(viii) Section 16 does not take away jurisdiction of the Chief Justice to decide the question of existence of arbitration agreement
(ix) Execution of the Interior Agreement is “connected” with the execution of main agreement
(x) Setting aside of arbitral award
(xi) Remittance of arbitral award by the civil judge
(xii) Enforceability of arbitration agreement to be determined by the Arbitral Tribunal
(xiii) Reference-It is for the arbitrator to decide whether he would proceed with
(xiv) Arbitrability of disputes-Power of arbitrator to decide
(xv) Termination contract-Shall not entail “ipso jure” the invalidity of “arbitration clause”
(xvi) Memorandum of Understanding-Dispute Raised to be referred to Arbitration
(xvii) Plea that offer termination of the MOU arbitration clause-would also cease to exist not acceptable

17. Interim measures ordered by arbitral tribunal

Chapter V
Conduct of Arbitral Proceedings



18. Equal treatment of parties
(i) Expression “equal treatment of parties”-Connotation of
(ii) Arbitrators to render equal opportunity to the parties
(iii) A party should not be examined in absence of another
(iv) Section 18 reflects principles which are well established by Constitutional Law
(v) Arbitral award must be based on evidence.
(vi) Failure to file statement of defence-When amount to admission of allegation of claimant

19. Determination of rules of procedure
English Law
Indian Law
(i) Arbitral proceedings should be governed by the principle of natural justice
(ii) Recital “in whatever manner” does not constitute deviation from the principles of natural justice
(iii) Condition precedent of performed by the arbitrator before making award
(iv) Concrete principle of contractual justice must prevail over vague principle of natural justice
(v) Absence of a written notice to a party-Whether invalidates the arbitration proceedings
(vi) Power of the arbitrator regarding admissibility of evidence
(vii) Whether “hearsay evidence” may be admitted in the arbitral proceedings
(viii) Arbitral Tribunal-Whether have the status of a Civil Court

20. Place of arbitration
Venue of arbitration

21. Commencement of arbitral proceedings
(i) Making a claim does not by itself commence the arbitration proceedings
(ii) Applicability of the new Act, 1996 or the old Act, 1940
(iii) Arbitral proceeding commenced before enforcement the Act, 1996
(iv) A party can seek Interim Relief from the court even before commencement of arbitral proceedings
(v) ‘Partly’ reference of disputes-Not permissible
(vi) Reference can be unilateral
(vii) Granting of Interim relief-Commencement of arbitral proceedings is independence.

22. Language

23. Statements of claim and defence
(i) it is imperative to state all material facts.
(ii) Statement of claim must contain full particulars
(iii) Scope of pleadings
(iv) Where amendment sought, drastic in nature, cannot be allowed
(v) Ordinarily, amendment/supplement is allowed in the arbitration proceedings
(vi) Expression “claim”-Construction of
(vii) When counter claim by the appellant was maintainable

24. Hearings and written proceedings
(i) Admissibility of the statement of the witnesses without administering oath
(ii) Both parties have full and equal access to written proceedings

25. Default of a party
(i) Words “sufficient cause”-Deserve liberal interpretation
(ii) When the ‘ex-parte’ award is liable to be set aside
(iii) An arbitrator may proceed ex parte-Default in appearance of Other Party
(iv) When arbitral tribunal “may” continue the proceedings
(v) Power of Arbitral Tribunal-termination of proceeding
(vi) No civil suit is maintainable against the order passed under Section 25(a)

26. Expert appointed by arbitral tribunal
(i) Opinions of expert-How far relevant
(ii) An expert can be testified as a witness
(iii) Arbitral tribunal can seek assistance of legal expert

27. Court’s assistance in taking evidence
(i) Court assistance in Arbitral
(ii) Non-consideration of material evidence-Award would be rendered invalid
(iii) Refusal to issue summons to the witness-Award liable to be set aside



Chapter VI
Making of Arbitral Award and

Termination of Proceedings



28. Rules applicable to substance of dispute
(i) Freedom to choose national laws of different States
(ii) International Commercial transaction should have “Foreign Jurisdiction clause”
International Commercial arbitration-Applicability of the rules specified in the arbitration agreement-Wavier of-When inference may be drawn
(iii) Where the choice of applicability of law is not specified-
Court not bound by arbitrator’s ruling-Unless it bars either party from raising a plea
(iv) Payment of Escalation-Entitlement

29. Decision making by panel of arbitrators
(i) Substantial miscarriage of justice in decision making
(ii) All arbitrators required to give their united consideration
(iii) Question of procedure may be decided by the presiding arbitrator
(iv) Different arbitral awards by the two arbitrators-Appointment of umpire justified

29A. Time Limit for Arbitral Award

29B. Fast Track Procedure

30. Settlement
(i) Consent award is an arbitral award
(ii) Where during arbitral proceedings settlement reached-Effect of
(iii) An arbitral award on agreed terms will be final
(iv) In the interest of justice family dispute under arbitration may be interfered
(v) Arbitrator by revising wage has not misconducted himself

31. Form and contents of arbitral award
(i) An award shall be made in writing and signed by members of tribunal
(ii) Arbitral award should state the reasons upon which it is based
(iii) Wherein it is not mandatory to give reasons for the arbitral award
(iv) Arbitrator’s jurisdiction to award interest
(v) Interest-When it may be awarded
(vi) Arbitrator has jurisdiction to award interest for pre-reference period
(vii) The arbitrator’s jurisdiction to award “pendente lite” interest
(viii) Whether compound interest is permissible through arbitral award
(ix) Reduction of statutory rate of 18% by Court-When warranted
(x) When the award becomes complete and final
(xi) What amounts to ‘interim award’
(xii) Arbitration costs-At the discretion of the tribunal
(xiii) Non-speaking award is invalid
(xiv) Division Bench to give decision on all the grounds
(xv) Unstamped and unregistered arbitration award-Not admissible as an evidence

31A. Regime for Costs

1. Determine of Costs

2. Meaning of Costs

3. Factors Affecting Costs

4. Orders by Court or Arbitral Tribunal

5. Duration of Agreement

32. Termination of proceedings
(i) Implication of Section 32
(ii) Dissenting arbitrator cannot be allowed to sign, after the award is filed in the court
(iii) Doctrine of res-judicata-Applicability of

33. Correction and interpretation of award; additional award
(i) Arbitral award should be construed liberally
(ii) Words in accord with the intention
(iii) Arbitral award can be modified
(iv) Review on merits-an arbitrator has no power



Chapter VII
Recourse Against Arbitral Award

34. Application for setting aside arbitral award
(i) Scope of Section 34
(ii) The words “terms of the submission to arbitration”-Meaning of
(iii) Phrase “Public Policy of India”-Meaning of
(iv) Concept of public policy-“Fraud” in making of arbitral award
(v) Expression “Fraud” in making of award has not to be normally construed
(vi) Expression “but not thereafter” in proviso to Section 34(3)-Scope of
(vii) Limitation of power of the court to intervene
(viii) Arbitrator’s existence depends upon the agreement
(ix) Arbitrator is a creation of agreement
(x) Setting aside of non-speaking award
(xi) Whether the issue of lack of jurisdiction could be raised for the first time
(xii) Setting aside of arbitral award on ground of lack of jurisdiction-maintainability of
(xiii) Which court empowered to set aside arbitral award
(xiv) Setting aside of the award when it conflicts with the public policy
(xv) Award found not unreasonable cannot be interfered by the court
(xvi) Arbitral award-No interference with
(xvii) Limitation period to challenge the award-Whether Section 5 of the Limitation Act is applicable
(xviii) Challenging of arbitral award-Limitation period of
(xix) Whether the provisions of Section 5 of the Limitation Act, 1963 are applicable to an application under Section 34 of the Act, 1996
(xx) application for setting aside of arbitral award-Limitation Act, 1963 does not apply
(xxi) Limitation Act, 1963 Qua-Application under Section 34
(xxii) Arbitral award-Challenging of commencement of period of limitation
(xxiii) Decision of Joint Arbitration Committee cannot be treated as an award
(xxiv) Grounds for setting aside of arbitral award
(xxv) Dispute regarding specific performance of contract cannot be referred for arbitration
(xxvi) Powers of Arbitral Tribunal Decision on the issue not referred
(xxvii) Misconduct-Setting aside of the arbitral award
(xxviii) Misconduct in arbitration proceedings
(xxix) Judicial misconduct-Setting aside of arbitral award
(xxx) A part of the arbitral award cannot be set aside
(xxxi) Arbitrator can appear as witness in proceeding for setting aside an award
(xxxii) Effect of an arbitral award being set aside
(xxxiii) Correctness of electric meter-Arbitrator cannot exceed the existing exclusive jurisdiction
(xxxiv) Arbitral Award made rule of the Court
(xxxv) Application was rightly allowed-Grounds under Section 34(4) of the Act
(xxxvi) Arbitrator has not adopted “Fast Track Procedure”
(xxxvii) Arbitral award-When it cannot be set aside
(xxxviii) Non setting aside of ex-parte award-when can be
(xxxix) Setting aside of arbitral award-Application for-dismissal in default
(xl) Objection to award-Belated filing of, although delay explained
(xli) Arbitral award-Grant of compensation to bidder for loss
(xlii) Execution of arbitral award-whether registration is necessary
(xliii) Petition under Section 34 of the Act challenging arbitration award-Filed before any principal Civil Court of original jurisdiction which is not High Court-No court fee payable
(xliv) Interpretation of contractual term by arbitrator-Interference by Court-Scope of
(xlv) Powers of Arbitral Tribunal to Award of interest-qua part Award Period-Rate of Interest
(xlvi) No interest on interest, or compound interest cannot be awarded
(xlvii) Interest-when Arbitral Tribunal cannot award
(xlviii) Maritime Arbitration-Award of Demurrage, Interest and cost to masters-When sustainable
(xlix) Claim of expected profits was legally admissible-On proof of branch of contract
(l) Change of address without information to arbitrator-Belated application for setting of award



Chapter VIII
Finality And Enforcement Of Arbitral Awards

35. Finality of arbitral awards
(i) Rights and liabilities of the parties to be determined only on basis of award
(ii) Award is capable of being executed in its own
(iii) When award is compulsorily registrable
(iv) Final arbitral award can be questioned only on ground of lack of jurisdiction

36. Enforcement
(i) Enforcement of award
(ii) Enforcement of arbitral award-When entire arbitral award not becoming final
(iii) Arbitral award-Whether requires registration
(iv) Enforcement of arbitral award-Cross decrees-Applicability of order 21, Rules 18, 19 of the Civil Procedure Code, 1908
(v) Arbitral award-Execution application filed before Civil Judge (Senior Division)-No Jurisdiction to entertain



Chapter IX
Appeals

37. Appealable orders
(i) Revision application is not maintainable against appellate order
(ii) No second appeal would lie against order passed under Section 37
(iii) Section 37(3) bars only a second appeal and not revision
(iv) No appeal is maintainable as appeal from appellate order
(v) Appeal under Article 136 of the Constitution of India, 1950 is ordinarily not maintainable
(vi) No interference under Article 136 of the Constitution of India-when the order is appealable
(vii) Power of Arbitral Tribunal to award interest
(viii) Order passed under Section 8-Not appealable under Clause 15 of the Letters Patent
(ix) Arbitral award-Setting aside-On ground that claim was beyond limitation prescribed under Article 14 of Limitation Act, 1963
(x) Interim order-Appeal against-Maintainability of
(xi) Intent-Power to award from date of award



Chapter X
Miscellaneous

38. Deposits
Voluntary mode of payment of fees acceptable
Deposits
Fees and Expenses

39. Lien on arbitral award and deposits as to costs
(i) Either party opposing the lien of arbitrator or arbitral award
(ii) Discretion must be exercised judicially

40. Arbitration agreement not to be discharged by death of party thereto
Reference would continue on the death of party

41. Provision in case of insolvency
Scope of Section 41

42. Jurisdiction
(i) Place of execution of agreement is a deciding factor
(ii) Courts cannot clothe themselves with jurisdiction
(iii) Cause of action does not confer jurisdiction
(iv) Scope of Section 42
(v) Continued jurisdiction of the arbitrator
(vi) Jurisdiction of Court-Setting aside of award

43. Limitations
(i) Failure to tile application within three years-Suits time barred
(ii) Expressions “undue” in “undue hardship”-Meaning of
(iii) Expression “Court”-Meaning of
(iv) Period of limitation runs from the date of cause of arbitration
(v) Applicability of the Limitation Act, 1963
(vi) Application of Section 14 of the Limitation Act is not excluded
(vii) Statutory arbitration-What amounts to


PART II
ENFORCEMENT OF CERTAIN FOREIGN AWARDS

Introduction



Chapter 1
New York Convention Awards

44. Definition
(i) The term “foreign award”-Meaning of
(ii) Distinction between the “foreign award” and “Domestic award”
(iii) “Foreign Award”-When can be treated as “Domestic Award”
(iv) Meaning of term “Commercial relationship” in the context of foreign awards
(v) Words “law in force in India”-Meaning of

45. Power of judicial authority to refer parties to arbitration
(i) Expression “shall” denotes obligation upon the judicial authority
(ii) Applicability of Section 45
(iii) Bifurcation of subject matter of suit not contemplated under the Act, 1996
(iv) Proceedings parallel to the arbitration cannot be allowed to continue
(v) Petition for stay of admiralty suit in High Court is allowed
(vi) High Court refusing to refer the dispute to arbitration-Conflicting decision on this issue
(vii) The conflicting awards would not, under the arbitration agreement, be incapable of performance
(viii) Related party-When can seek reference to arbitration

46. When foreign award binding

47. Evidence
(i) Phrase “at the time of the application”-
Interpretation of
(ii) Time limit for enforcement of foreign awards
(iii) Arbitration and Conciliation Act, 1996-What is the date of the commencement-Enforcement of foreign award

48. Conditions for enforcement of foreign awards
(i) Whether the award can be challenged on merits
(ii) Scope of Section 48(1)(a)
(iii) International Award-Validity and its enforcement
(iv) Enforcement of award would be contrary to the public policy-Violative of Section 48
(v) Enforcement of foreign award-Would be refused if contrary to fundamental policy of Indian law
(vi) Enforcement of foreign award-When not contrary to public policy
(vii) Foreign award-Execution of award in India-Want of notice
(viii) No jurisdiction to order winding up of the company

49. Enforcement of foreign awards
Application barred by limitation

50. Appealable orders

51. Saving

52. Chapter II not to apply



Chapter II
Geneva Convention Awards

53. Interpretation
Definition of term “foreign award”-Under Section 44 of the New York Convention and Section 53 of the Geneva Convention

54. Power of judicial authority to refer parties to arbitration

55. Foreign awards when binding

56. Evidence

57. Conditions for enforcement of foreign awards-Enforcement of foreign awards
enforcement of foreign awards
(i) If the contract is illegal-Foreign award cannot be enforced
(ii) Enforcement of foreign award in India

58. Enforcement of foreign awards

59. Appealable orders

60. Saving



Chapter III
CONCILIATION

61. Application and scope

62. Commencement of conciliation proceedings
Who is conciliator

63. Number of conciliators
Why sole conciliator?

64. Appointment of conciliators

65. Submission of statements to conciliator

66. Conciliator not bound by certain enactments

67. Role of conciliator

68. Administrative assistance

69. Communication between conciliator and parties

70. Disclosure of information

71. Co-operation of parties with conciliator

72. Suggestions by parties for settlement of dispute

73. Settlement agreement
(i) Settlement between the parties is binding having status of arbitral award
(ii) When settlement agreement acquires status of arbitral award

74. Status and effect of settlement agreement

75. Confidentiality

76. Termination of conciliation proceedings

77. Resort to arbitral or judicial proceedings

78. Costs

79. Deposits

80. Role of conciliator in other proceedings

81. Admissibility of evidence in other proceedings



Chapter IV
SUPPLEMENTARY PROVISIONS

82. Power of High Court to make rules
Scope of the Rules framed thereunder

83. Removal of difficulties
Legislature cannot be approached for removal of every difficulty

84. Power to make rules

85. Repeal and savings
(i) Scope of Section 85
(ii) Applicability of the new Act, 1996-Reference of dispute for arbitration
(iii) No narrow meaning of the phrase “in relation to arbitral proceedings”
(iv) Date of commencement of arbitral proceedings in the context of “saving clause”
(v) Applicability of Act, 1996 by consent of party

86. Repeal of Ordinance 27 of 1996 and saving
Scope of Section 86



THE FIRST SCHEDULE

Convention on the Recognition and Enforcement of Foreign Arbitral Awards

THE SECOND SCHEDULE

Protocol on Arbitration Clause

THE THIRD SCHEDULE

Convention on the Execution of Foreign Arbitral Awards

FOURTH SCHEDULE

Sum in dispute-Model fee

FIFTH SCHEDULE

Arbitrator’s Relationship with the Parties or Counsel
Relationship of the Arbitrator to the Dispute

Arbitrator’s Direct or Indirect Interest in the Dispute

Previous Services for One of the Parties or Other Involvement in the Case

Relationship between an Arbitrator and another Arbitrator or Counsel

Relationship between Arbitrator and Party and Others Involved in the Arbitration

Other Circumstances

SIXTH SCHEDULE



THE SEVENTH SCHEDULE

Arbitrator’s Relationship with the Parties or Counsel
Relationship of the Arbitrator to the Dispute

Arbitrator’s Direct or Indirect Interest in the Dispute
Act Not to Apply to Pending Arbitral Proceedings

Repeal and Savings



ALTERNATIVE MEANS OF SETTLEMENT OF DISPUTES

Alternative Dispute Resolution : Why needed

Methods of ADR

Difference between Conciliation and Mediation

Merits of ADR

Demerits of ADR

Indian Statutes & ADR

ADR Knowing the problems in hand

Chief Processes of ADR

Models : Client’s Interview

1. Additional advantage of the Alternative means of Dispute Redressal

2. Importance of Alternative Means of dispute Redressal

3. Mediation and arbitration-Distinction of

4. Who is a mediator?

5. Why mediator?

6. Rules for Mediation

7. Limitation of Mediator

8. How to enforce Mediator’s settlement.

9. When Mediator’s settlement may not be enforced

Negotiation

Essential Ingredients of Negotiation

Negotiation-Need for

State of Negotiation

Power sources for Negotiation

Styles of Negotiation

Kinds of approaches to negotiation

Qualities of Negotiation Power

Obstructions to Negotiation

Trade unions and negotiation



LOK-ADALATS

What is Lok Adalat?

Benefits Under Lok Adalat

1. Establishment of Lok Adalats

2. Jurisdiction of Lok Adalat

3. Congnizance of cases by Lok Adalats

4. Award of the Lok Adalat

5. Award of Lok Adalat shall be final

6. Award of Lok-Adalat is a Decree

7. Settlement of matrimonial dispute-by Lok-Adalat

8. Powers of the Lok Adalat

9. Lok Adalat Award as good as Court Decision

10. Lok Adalat can pass order-only when there is compromise between the parties

11. Lok Adalat can make an award touching rights of minor

12. Award passed by Lok Adalat-Not immune from judicial review under Article 227 of the Constitution of India, 1950

13. Lok Adalat and ADR

14. Recovery of outstanding dues-Issuance of notice by Lok-Adalt at a pre-litigation stage

THE NATIONAL LEGAL SERVICE AUTHORITY

1. Appointment of Chairman of State Legal Service Authority

2. Organisation, Power and Functions
Powers and Functions

3. Function of the Central Authority

ALTERNATIVE MEANS OF DISPUTES RESOLUTION IN INDIA

Arbitration is an Important Alternative Dispute Resolution (ADR) Process

Supreme Court’s Judgment, 2005 and ADR
Legal Aid

Legal Aid under Constitution of India, 1950

Legal Aid to Accused at State Expenses in certain Cases
Section 304-Legal aid to accused at State expenses in certain cases
Legal Aid Scheme-Committee for Implementing
Whether Free Legal Services, Available in All Cases
Legal Services obtained by Misrepresentation-withdrawal of
What includes-Legal Service

APPENDICES

I. The Appointment of Arbitrators by the Chief Justice of India Scheme, 1996

II. ICC Rules of Conciliation and Arbitration

III. Statutes and Rules of International Court of Arbitration

IV. Rules of Arbitration of the Indian Council of Arbitration

V. The Arbitration and Conciliation (Amendment) Act, 2015