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LL.B. (Hons.
) VII SEMESTER
SUBJECT- ALTERNATIVE DISPUTE RESOLUTION
SYLLABUS
UNIT I- ALTERNATIVE DISPUTE RESOLUTION

i.) ADR: Concept, Need and Development, Advantages.
ii.) Legal framework: Legal service Authorities Act, 1987 & Code of Civil Procedure
iii.) Arbitration and Conciliation Act, 1966: Object, Development and Salient features
iv.) Arbitration: Definition, sources, kinds, scope and differences to court
v.) Arbitration agreement, composition of Arbitral Tribunal
LECTURE 1- CONCEPT, NEED, DEVELOPMENT AND ADVANTAGES OF ADR
VIDEO LINK: https://youtu.be/z5bZadmUeCI
https://youtu.be/g-M6ZO5vXcA
PREVIOUS YEAR QUESTIONS ASKED IN LUCKNOW UNIVERSITY BASED ON THIS TOPIC
Q.1) Merits of alternative dispute resolution mechanism. (2012, 2015,

2018)
NOTES
ALTERNATIVE DISPUTE RESOLUTION
 Alternative dispute resolution (ADR) refers to the different ways by which people can resolve
disputes without a litigation.
 Common ADR processes include mediation, arbitration, and neutral evaluation.
 ADR regroups all processes and techniques of conflict resolution that occur outside the
courtroom.
 Alternative dispute resolution, in the United States, emerged out of the legal reform and civil
rights movements in the late 1960s.
FOUR TYPES OF ADR
1.) Negotiation- A negotiation is a strategic discussion that involves two or more parties that resolves
an issue in a way that each party finds acceptable
2.) Mediation- An independent third party steps in to try and find a way for the insured and the
insurer to agree on a mutually acceptable outcome.
3.) Arbitration- Arbitration is a procedure in which a dispute is submitted, by agreement of the
parties, to one or more arbitrators who make a binding decision on the dispute. In choosing
arbitration, the parties opt for a private dispute resolution procedure instead of going to court.
4.) Conciliation- Conciliation is an alternative dispute resolution (ADR) process whereby the parties
to a dispute use a conciliator, who meets with the parties both separately and together in an
attempt to resolve their differences.
DEVELOPMENT OF ADR
 ADR is developed from olden times as there were no court in old times, so matters were solved
from by the head or by the person who had the authority to solve the dispute
 So, by looking toward the old dispute resolution system and to solve the dispute out of the court
concept of ADR was developed from following-
 PANCHAYAT SYSTEM- As matter were solved by the panch out of the courtroom
 By the family council
 Adhikrita and Nripa- king system as the matters were solved by the king in olden times and in
Maratha period. Where there were no court and lawyers
 Muslim period- In muslim period there were kazee working as a judge, solving disputes without
courtroom on his guidance.
 By looking these olden dispute resolution The Arbitration Act, 1940 was developed to resolve in
the same way out of the courtroom and for speedy justice.
KINDS OF DISPUTE THAT ARE RESOLVED UNDER ADR
 Family Disputes- Mediation is the most common method of solving family disputes where a
neutral person facilitates the process.
 Commercial Disputes- A commercial dispute usually arises as part of a defined deal or
transaction that has taken place between business entities
 Industrial Disputes- Industrial disputes are created because of differences that arise between the
employers and the employees or between the employer and the workmen or among the workmen.
ADVANTAGES OF ADR
Excessive delays in the legal process from court overload and rising legal costs also encouraged more
widespread support of ADR methods, some advantages of ADR are-
1.) Resolution in ADR are given very speedy, so it saves time

2.) Expenses are less spend in ADR as there is very less time taken by arbitrator to solve the
dispute
3.) ADR is more flexibility than a court (litigation)
4.) No bias- As arbitrator is of neutral nature. So, they are not partial to any party. And are free
to fair justice
5.) Result under ADR are kept confidential. Result are only known to the parties in dispute and
to the arbitrator.
6.) Party also gets advantage of ADR as they are free to choose the method and the arbitrator by
themselves.
7.) Equal participation of parties are in ADR.
ASSIGNMENT
Q.1) Mention advantages of ADR.

Q.2) What do you mean by Alternative Dispute Resolution?
Q.3) What is the origin of alternative dispute resolution?
Q.4) What are the four type of ADR?
Q.5) Explain the development of ADR.
Q.6) Mention 3 kind of disputes are resolved under ADR?
LL.B. (Hons.) VII SEMESTER
UNIT I
LECTURE 2- LEGAL SERVICE AUTHORITIES ACT, 1987 AND CODE OF CIVIL PROCEDURE
VIDEO LINK: https://youtu.be/lbXMxcVNeVs
NEW TOPIC ADDED

NOTES
LEGAL SERVICES AUTHORITIES ACT, 1987
 The Legal Services Authorities Act was enacted by the Parliament which came into force on 9th
November, 1995.
 This Act was enforced on the basis of Article 39A of the Indian Constitution.
 Articles 14 and 22(1) also makes it obligatory for the State to ensure equality before law and a
legal system which promotes justice on a basis of equal opportunity to all.
 The main purpose of Legal aid is to ensure that equal justice is available to the poor,
downtrodden and weaker sections of the society.
HISTORICAL DEVELOPMENT OF THE LEGAL SERVICE AUTHORITIES ACT, 1987
 It was introduced as a result of a recommendation made in the 14th report of the law commission
of India.
 In 1960, the central government introduced a legal aid scheme but was scrapped later due to
financial dearth.
 But in 1973, the government introduced its second phase by forming a committee under
Justice V.R. Krishna Iyer for developing legal aid schemes for every state.
 The committee worked in a decentralized manner and formed a committee under the leadership
of Justice P.N. Bhagawathi to implement the legal aid scheme.
 They suggested legal aid schemes for every district, state and centre.
 In 1987 Legal Services Authorities Act was enacted to give a statutory base to legal aid
programmes throughout the country on a uniform pattern.
 This Act is to provide free and competent legal services to the weaker sections of the society.
 To secure the operation of the legal system promotes justice on a basis of equal opportunity.
OBJECT- To provide free legal aid to weaker sections of society (Remedy without any cost)
IMPORTANT PROVISIONS UNDER LEGAL SERVICES AUTHORITIES ACT, 1987
The hierarchical legal service system in India exists at Three Levels, They are-
 National Legal Service Authority(NALSA) and Supreme Court Legal Services Committee
(Section 3 & 3A)
 State Legal Service Authority (SLSA) and the High Court Legal Services Committee
(Section 6 & 8)
 District Legal Services Authority (Section 9 to 11)
IMPORTANCE OF FREE LEGAL AID
The main reasons that direct the necessity of free legal aid are-
 It provides legal services to the vulnerable sections of society.

 It enables the eradication of differences between rich and poor due to the privileges bagged by the
riches.
 It will ensure that the restrictions are put on the privileged group of the societies from taking the
law into one’s hands.
AVILABILITY OF LEGAL SERVICE
 Section 12 of the Legal Services Authorities Act, 1987 prescribes the criteria for giving legal
services to the eligible persons, which are-
 Every person who has to file or defend a case shall be entitled to legal services under this Act if
that person is-
 a member of a Scheduled Caste or Scheduled Tribe,
 a victim of trafficking in human beings or beggar as referred to in Article 23 of the Constitution,
 a woman or a child,
 a mentally ill or otherwise disabled person,
 a person under circumstances of undeserved want such as being a victim of a mass disaster,
ethnic violence, caste atrocity, flood, drought, earthquake or industrial disaster,
 an industrial workman, or
 In custody, including custody in a protective home within the meaning of clause (g) of section 2
of the Immoral Traffic (Prevention) Act, 1956 (104 of 1956),
 In a juvenile home within the meaning of clause (j) of section 2 of the Juvenile Justice
Act, 1986 (53 of 1986),
 In a psychiatric hospital or psychiatric nursing home within the meaning of clause (g) of
section 2 of the Mental Health Act, 1987 (14 of 1987)
ASSIGNMENT
Q.1) When any why legal service Act was enforced?
Q.2) On which Article `Legal Service` Act is based?
Q.3) What is the object of Legal Service Authorities Act, 1987?
Q.4) Mention four important provisions under Legal Services Authorities Act, 1987.
Q.5) What is the importance of free legal aid?
Q.6) Who are the eligible person to take benefits of legal Service Authorities Act, 1987?
UNIT I
LECTURE 3- ARBITRATION AND CONCILIATION ACT, 1996- OBJECT, DEVELOPMENT & SALIENT
FEATURES
VIDEO LINK: https://youtu.be/QD1sofmLk7c
Q.1) What do you mean by ‘arbitration’? Discuss salient features of Arbitration and Conciliation Act,
1996. (2015,17,19)
Q.2) Discuss the scope of Arbitration and Conciliation Act, 1996.
(2017, 2019)
NOTES
ARBITRATION
 SECTION 2 (a) of the Arbitration and conciliation Act defines arbitration. It says arbitration
means any arbitration whether or not administered by permanent arbitral institution.
 Arbitration is a procedure in which a dispute is submitted to one or more arbitrators who make a
binding decision on the dispute.
 In reffering the matter to arbitration, both parties should be agreed to refer the dispute.
 In choosing arbitration, the parties opt for a private dispute resolution procedure instead of going
to court.
OBJECT OF ARBITRATION AND CONCILIATION ACT, 1996
 To ensure that rules are laid down for international as well as domestic arbitration and
conciliation.
 To ensure that arbitration proceedings are just, fair and effective.
 To ensure that the arbitral tribunal gives reasons for its award given.
 To ensure that the arbitral tribunal acts within its jurisdiction.
 To permit the arbitral tribunal to use methods such as mediation and conciliation during the
procedure of arbitration.
 To minimize the supervisory role of courts.
 To ensure that an arbitral award is enforceable as a decree of the court.
SALIENT FEATURES OF ARBITRATION AND CONCILIATION ACT
Basic features of Arbitration are as follows:
1. This is the biggest Act as there are IV schedules-

 PART I- Arbitration
 PART II- Enforcement of foreign awards
 PART III- Conciliation
 PART IV- Other supplementary provisions
2. The word arbitration is defined under this Act which was not defined under the previous Act.
3. This Act gives legal recognition to conciliation
4. Reasoned award is given by the Arbitral Tribunal
5. Freedom of parties is defined under the Act as the parties to dispute are free to choose by which
method the dispute is to be solved.
6. Arbitral Tribunal is not bound by C.P.C. and the Indian Evidence Act.
7. In this Act the provision of Interim relief is given which was not given in the previous Act.
8. International arbitration is also defined under the said Act.
THE SCOPE OF ARBITRATION AND CONCILIATION ACT, 1996

 Arbitration is no more and less than litigation. These parts and apply where the place of
arbitration is in India.
 It shall not affect any other law for the time being in force in India.
 This Act covers all commercial disputes and International commercial disputes also.
DEVELOPMENT OF ARBITRATION AND CONCILIATION ACT, 1996
 Arbitration was long practiced in ancient India which followed traditions and customs where
local disputes were often settled by the village headman whose office was either hereditary or
elective.
 In some villages, it was not a single person but rather, a council, and even to this day it is known
as a Panchayat.
 Britishers set up the East India Company in Bengal, they brought with them their methods of
settling disputes and as per the Bengal Regulation of 1772, all matters were to be submitted to
arbitration, the award of which would be considered to be the decree of the court.
 Before Arbitration and Conciliation Act, 1996 there were 3 enactments were made-
 The Arbitration Act, 1940
 The Arbitration ( Protocol & Convention) Act, 1987
 The Foreign Award (Recognition & Enforcement) Act, 1961
 The requirement was felt when the trade practices changed and economy was changing for a new
Act.
 So, Arbitration and Conciliation Act was developed in an updated form in 22 August, 1996.
ASSIGNMENT
Q.1) Define Arbitration.
Q.3) Mention five objects of Arbitration and Conciliation Act, 1996?
Q.4) Point out 5 features of Arbitration and Conciliation Act, 1966?
Q.5) What is the scope of Arbitration and conciliation act, 1996?
Q.5) State the development of the Arbitration and conciliation act, 1996.
UNIT I
LECTURE 4- ARBITRATION: DEFINITION AND SOURCES
VIDEO LINK: https://youtu.be/D3yQEoXkiAA

Q.1) What do you mean by Arbitration? (2017)
NOTES
ARBITRATION
 Arbitration is a procedure in which a dispute is submitted, by agreement of the parties, to

one or more arbitrators who makes a binding decision on the dispute.
 In choosing arbitration, the parties opt for a private dispute resolution procedure instead of going
to court.
 Section 2 (a) of Arbitration and Conciliation Act, 1996 defines that- arbitration means any
arbitration whether or not administered by permanent arbitral institution.
 In an English judgment named Collins v. Collins, 1858 the court gave a wide definition to the
concept of Arbitration which reads as follows-
 The word arbitration is included from the new Act 1996. Before 1996 in all three Acts Umpire
word was used not arbitration.
 No arbitration could exist without valid arbitration agreement.
SOURCES OF ARBITRATION
 This list of sources for arbitration law has been compiled by Michelle Celik to accompany the
article by Nigel Broadbent on alternative dispute resolution.
 Arbitration method of solving dispute is alternative to traditional judicial system
 In Roman law, ‘compromissum’ was used to indicate a process of dispute resolution which
would draw out a compromise between the parties.
 As we can see that there have been a number of examples of arbitration that actually took place in
the ancient era.
 Ancient texts of Yajnavalka and Narada refer to three types of popular courts (Puga, Sreni,
Kula). Besides at the village level, Panchayats have also been a prevalent form of alternate
dispute resolution.
 In India, arbitration came to be known and given recognition when the Arbitration Act 1899 was
enacted but its applicability only extended to Bombay, Madras and Calcutta.
 Many states have adopted or followed UNCITRAL Model Law on International Commercial
Arbitration in their legislations.
ASSIGNMENT
Q.1) What do you mean by arbitration ?
Q.2) What is the definition of Arbitration given in the case of Collins v. Collins, 1858?
Q.3) Write down any four sources of arbitration?

Q.4) Which types of courts were referred as a alternate dispute resolution in Ancient texts of Yajnavalka
and Narada ?
UNIT I
LECTURE 5- ARBITRATION: KINDS AND SCOPE
VIDEO LINK: https://youtu.be/AdC3fHjcj1U
https://youtu.be/Fu1uVlXgN38
Q.1) Define Institutional arbitration. (2014)

Q.2) Define Statutory Arbitration. (2017)
NOTES
KINDS OF ARBITRATION
1. Ad hoc arbitration
2. Institutional arbitration
3. Statutory arbitration
4. Fast track arbitration
5. Contractual arbitration
1.) AD-HOC ARBITRATION
 In this type, the parties to dispute themselves agree and make arrangements for the procedure of
arbitration without the involvement of an arbitrational tribunal.
 In ad- hoc arbitration if the parties are not able to come to a conclusion as to who will be the
arbitrator
2.) INSTITUTIONAL ARBITRATION
 In this kind of dispute parties agree in advance that if in future any kind of dispute arises in future
then the dispute will be referred to any particular kind of institution
 Such institution have their own published rules and they appoint arbitrator for the parties from the
panel of experts of the concerned profession.
3.) STATUTORY ARBITRATION
 There are certain areas where arbitration is statutorily imposed on the parties by law
 In this the statute of Parliament or a state legislature provides for arbitration, Such arbitration is
called statutory arbitration.
 Statutory arbitration is different from other kinds of arbitration as the consent of the parties is not
a necessary.
4.) FAST TRACK ARBITRATION
 Fast track arbitration is a form of arbitration where the rules are stricter and the process is time
bound which excludes the option of delay.
 Fast track arbitration is most suitable for cases in which does not include much of
 Oral hearings or examination of witnesses and a conclusion can be reached on the basis of
documents.
5.) CONTRACTUAL ARBITRATION
 In this kind of arbitration business parties have agreed in writing either in form of Purchase
Order or separate agreement dealing with terms of business or separate arbitration agreement
 The contract contains the clause of referring the disputes to arbitration means contractual
arbitration.
SCOPE OF ARBITRATION
 Arbitration is no more and less than litigation. These parts and apply where the place of
arbitration is in India.
 It shall not affect any other law for the time being in force in India.
 The part except: sub section (1) of section 40, section 41, and section 43 shall applied to every
arbitration under any other enactment for the time being in force.
 Arbitrator is called upon to find the facts, apply the law, Grand relief to the disputed parties.
ASSIGNMENT
Q.1) Write down any 4 kinds of arbitration?
Q.2) What is Institutional arbitration?
Q.3) Explain Statutory arbitration.
Q.4) Why Statutory Arbitration is different from other arbitration?
Q.5) What is the scope of Arbitration?

UNIT I
LECTURE 6– ARBITRATION DIFFERENT FROM COURT
VIDEO LINK: https://youtu.be/H_Fzh7U_W-8
Q.1) Difference between arbitral tribunal and permanent court. (2014)
NOTES
DIFFERENCE BETWEEN ARBITRATION AND COURT
ARBITRATION COURT
1.) In arbitration, a settlement between the parties is 1,) court is involved in the case of litigation, as it is
done outside of court. a lawsuit
2.) Arbitration is a method of resolving the dispute 2.) On the other hand, litigation is described as a
in which a neutral third party is appointed to study legal process in which the parties resort to the court
the dispute, listen to the parties and then make for the settlement of disputes.
recommendations.
3,) litigation can be civil litigation or criminal
3.) Arbitration is always civil in nature. litigation.
4,) Arbitration is a private method of resolving 4.) litigation is a public procedure.
controversies between the parties
5.) The cost of the arbitration process is lower. 5.) The cost of litigation is higher and expensive.
6.) The decision made by the judge is final and 6.) In litigation, the litigants can appeal to higher
binding in nature court,
if they do not agree with the decision made by the
court, but subject to certain conditions.
7.) Arbitration is a speedy process. 7.) Litigation is a slow process.
8.) There is no delay in justice. 8.) Due to slow proceeding there can be delay in
justice.
9.) Abitration is preferred by the parties over 9.) litigation has a number of advantages, i.e.
litigation due to many reasons such numerous appeals can be made, easy enforcement
as greater confidentiality, quick judgement, choice of the final outcome, etc
of solutions, higher chances of settlement, low cost,
flexibility in process etc.
10.) Award by the Arbitral Tribunal is binding on 10.) Decree of the court is binding on the litigants.
the parties and it is same as a decree of the court
ASSIGNMENT
Q.1) Mention out five difference between Arbitration and Court.
Q.2) How is arbitration better than court?
Q.3) Why in litigation there is delay in justice and not in arbitration?
Q.4) What kind of disputes are resolved under arbitration?

UNIT I
LECTURE 7 – ARBITRATION AGREEMENT, COMPOSITION OF ARBITRAL TRIBUNAL
VIDEO LINK: https://youtu.be/ANkmEdlvXNU
https://youtu.be/TK-sP41NgDQ
PREVIOUS YEAR QUESTIONS ASKED IN LUCKNOW UNIVERSITY BASED ON THIS

TOPIC
Q.1) Discuss the composition of arbitral tribunal and procedure for appointment of arbitrators. Whether
appointment of own officials as arbitrator is justifiable as under the Act.
(2012)
Q.2) “Arbitral Tribunal shall not consist an even number.” Discuss the legality of arbitral tribunal in the
context of above statement when arbitral tribunal consist an even number.
(2014)
Q.3) What do you understand by Arbitration Agreement? What essentials are required to constitute such
an Arbitration Agreement?
(2015)
Q.4) What should be nationality and qualifications of appointment of arbitrators? Discuss legality of
arbitral tribunals when consist by even number of arbitrators with the help of relevant cases.
(2015)
NOTES
ARBITRAL TRIBUNAL
 According to section 2(1) (d) of the Arbitration and Conciliation Act, 1996, an arbitral tribunal
means a sole arbitrator or a panel of arbitrators.
 There should be an odd number of arbitrators present in the tribunal so that they can reach a fair
decision.
COMPOSITION OF ARBITRAL TRIBUNAL
 Whenever a commercial dispute arises between two or parties, and they decide to resolve the
dispute through arbitration, an arbitral tribunal is to be set up.
 It consists of one or more arbitrators that adjudicate and resolve the dispute and provide an
arbitral award.
 The Indian Council of Arbitration has provided a set of rules known as the ‘Rules of Arbitration’
that are to be abided by the parties undergoing the arbitration process as well as the arbitrators.
 Section 2(d) of the Arbitration and Conciliation Act, 1996 also defines an arbitral tribunal as a
sole arbitrator or panel of arbitrators.
Several provisions concerning the composition of an arbitral tribunal are as follows:
Number of arbitrators in an Arbitration Tribunal
 Section 10 of the Act mentions the number of arbitrators that shall be a part of the arbitral
tribunal.
 Section 10 also states that if the parties to the dispute are unable to decide the number of
arbitrators, in that case, only one arbitrator shall be appointed.
ARBITRATION AGREEMENT
 Arbitration agreement is an agreement signed by the parties that, if in case any future dispute
arises, then the disputed matter will go before the arbitration.
 Arbitration is a way of resolving a dispute without filing a lawsuit and going to court.
 Section 2 of Arbitration Act, 1940- “arbitration agreement” means a written agreement to submit
present future differences to arbitration,
 An arbitration agreement according to the 1940 Act should be a written document with the
consensus of the parties and reference to a dispute.
ESSENTIALS OF ARBITRATION AGREEMENT
1. Form of arbitration must be mentioned in the arbitration agreement that which method of dispute
resolution is choosen by the parties.
2. Arbitration agreement must be in writing.
3. The contract must be a valid contract.
4. Separate agreement.
5. Intention of the parties must be mentioned in the dispute that why they want to solve the dispute. And
the dispute is of which nature.
QUALIFICATIONS OF APPOINTMENT OF ARBITRATORS (SECTION 11)
The Chief Justice or the person or institution designated by him, in appointing an arbitrator, shall
have due regard to—
(a) Any qualifications required of the arbitrator by the agreement of the parties, and
(b) Other considerations as are likely to secure the appointment of an independent and impartial
arbitrator.
LEGALITY OF ARBITRAL TRIBUNALS
 In case of Narayan Prasad Lohia v. Nikunj Kumar Lohia 2002- In this case it was held by the
apex court that the parties are free to choose their arbitrators. and if any objection on that score
has to be taken, it should be done by the concerned parties, as soon as possible, before the
Arbitral Tribunal itself.
 In case of The Stock Exchange, Mumbai vs Vinay Bubna & Others, 1999- It was held that that
the parties are free to choose their arbitrators. Same as it was held in Narayan case.
 If party fails to determine odd number of arbitrators, then the arbitral tribunal shall consist of a
sole arbitrator
ASSIGNMENT
Q.1) State composition of Arbitral Tribunal.
Q.2) What do you mean by arbitration agreement?
Q.3) Mention any four essentials of arbitration agreement.
Q.4) What should be qualifications of appointment of arbitrators?
Q.5) Discuss legality of arbitral tribunals when consist by even number of arbitrators.
SYLLABUS
UNIT II- ARBITRAL TRIBUNAL AND PROCEDURE

i.) JURISDICTION OF ARBITRAL TRIBUNAL
ii.) CONDUCT OF ARBITRAL PROCEEDING
iii.) FAST TRACK ARBITRATION
iv.) MAKING OF ARBITRAL AWARD
v.) TERMINATION OF PROCEEDINGS
LECTURE 1- JURISDICTION OF ARBITRAL TRIBUNAL
VIDEO LINK: https://youtu.be/jgmVzhhgiYU
PREVIOUS YEAR QUESTIONS ASKED IN LUCKNOW UNIVERSITY BASED ON THIS

TOPIC
Q.1) What is the jurisdiction of Arbitral Tribunal? Discuss the ground for challenge to jurisdiction of
Arbitral Tribunal. (2014, 2017)
Q.2) What are the prerequisites for arbitral tribunal to rule on its own jurisdiction? (2012, 2015)
NOTES
THE JURISDICTION OF ARBITRAL TRIBUNAL
 An arbitral tribunal does not have statutory jurisdiction.

 The tribunal determines its own jurisdiction to adjust the needs of the parties.
 The arbitral agreement mainly determines the ambit of jurisdiction of the arbitral tribunal.
 An arbitral tribunal does not get its jurisdiction from any legislation.
 The Arbitration and Conciliation Act, 1996 also specifically mentions the jurisdiction to
determine explicit matters in Section 17 of the Act-
 Appointment of a guardian for a person who is of unsound mind or minor age in between
the process of arbitration
 Safety/Security/ Confinement/ provisional injunction of the subject matter of the
arbitration.
COMPETENCE OF ARBITRAL TRIBUNAL TO RULE ON ITS JURISDICTION (Section 16)
 The arbitral tribunal according to the doctrine of kompetenz kompetenz has the authority to
decide on its own jurisdiction
 According to Section 16, the arbitral tribunal has the authority to decide whether it has the
jurisdiction to adjudicate the dispute or not.
 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-
 An arbitration clause which forms part of a contract shall be treated as an agreement
 A decision by the arbitral tribunal that the contract is null and void shall not entail ipso
jure the invalidity of the arbitration clause.
 A plea that the arbitral tribunal does not have jurisdiction shall be raised not later than the
submission of the statement of defense.
 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.
 The arbitral tribunal may admit a later plea if it considers the delay justified.
 The arbitral tribunal shall decide on a plea and make an arbitral award.
 A party aggrieved by such an arbitral award may make an application for setting aside such an
arbitral award in accordance with section 34.
POWER OF AN ARBITRAL TRIBUNAL TO ORDER INTERIM MEASURES UNDER
SECTION 17
 For the arbitrations seated in India, Section 17 of the act empowers the arbitral tribunal to grant
interim relief to the contracting parties.
 A party may, during the arbitral proceedings, apply to the arbitral tribunal-
 for the appointment of a guardian for a minor or person of unsound mind for the purposes of
arbitral proceedings, or
 for an interim measure of protection in respect of any of the following matters, namely-
 The preservation, interim custody or sale of any goods which are the subject-matter of the
arbitration agreement,
 Securing the amount in dispute in the arbitration,
 The detention, preservation or inspection of any property or thing which is the subject matter of
the dispute in arbitration, or
 Experiment to be tried, which may be necessary or expedient for the purpose of obtaining full
information or evidence,
 Interim injunction or the appointment of a receiver,
 Such other interim measure of protection as may appear to the arbitral tribunal to be just and
convenient, and the arbitral tribunal shall have the same power for making orders, as the court has
for the purpose of, and in relation to, any proceedings before it.
ASSIGNMENT
Q.1) What kind of jurisdiction does Arbitral tribunal have?
Q.2) Does Arbitral tribunal gets jurisdiction defined by legislation?
Q.3) Which Doctrine is followed by Arbitral tribunal to decide its own jurisdiction?
Q.4) What are the Powers of Arbitral Tribunal under section 17?
Q.5) Mention three points under which an Arbitral Tribunal can grant Interim measures.
UNIT II
LECTURE 2- CONDUCT OF ARBITRAL PROCEEDING
VIDEO LINK: https://youtu.be/NbMgGrCd2X8
Q.1) How Courts Assist in arbitral proceedings? (2011)
Q.2) Describe the law relating to the conduct of arbitral-proceeding. Also discuss the law relating to Oral-
Hearing during the proceeding of Arbitral Tribunal. (2017)
NOTES
COURTS OF ASSISTANCE IN ARBITRATRAL PROCEEDINGS (SECTION 27)
 The arbitral tribunal, or a party with the approval of the arbitral tribunal, may apply to the Court
for assistance in taking evidence.
 The application shall specify-
 The names and addresses of the parties and the arbitrators,
 The general nature of the claim and the relief sought,
 The evidence to be obtained, in particular-
(i) The name and address of any person to be heard as witness or expert witness and a
statement of the subject-matter of the testimony required,
(ii) The description of any document to be produced or property to be inspected.
 The Court may within its competence and according to its rules on taking evidence, provide
directly to the arbitral tribunal.
 The court may, follow the same proceedings with the witness as well,
 Any person failing to attend in accordance with the process, or makes any of the default, or guilty
of any contempt to the Arbitral Tribunal during the conduct of arbitral proceedings, shall be
subject to the like disadvantages, penalties
ORAL-HEARING DURING THE PROCEEDING OF ARBITRAL TRIBUNAL (Section 24)
 Section 24 of the Act discusses the manner in which arbitral proceedings are to be conducted.
 In the absence of any prior agreement between the parties relating to this matter, the arbitral
tribunal has the power to decide whether the proceedings shall be held orally or on the basis of
documents and other materials.
 Unless agreed by the parties, the arbitral tribunal shall decide whether to hold-
 Oral hearings for the presentation of evidence or
 Oral argument, or
 Whether the proceedings shall be conducted on the basis of documents and other
materials.
 Arbitral tribunal shall hold oral hearings, at an appropriate stage of the proceedings on request by
a party, unless the parties have agreed that no oral hearing shall be held.
 Arbitral Tribunal shall hold oral hearing on day to day basis and do not grant any adjournment
motion, unless there is any sufficient cause
 The parties shall be given sufficient advance notice of any hearing and of any meeting of the
arbitral tribunal for the purposes of inspection of documents, goods or other property.
 All statements, documents or other information supplied to, or applications made to the arbitral
tribunal by one party shall be communicated to the other party, and
 Any expert report or evidentiary document on which the arbitral tribunal may rely in
making its decision shall be communicated to the parties.
 Section 22 of the Act deals with the language which has to be used in arbitral proceedings.
 The parties to the arbitration agreement are free to choose the language or languages
which have to be used in the arbitral proceedings.
ASSIGNMENT
Q.1) Mention 4 points of Courts Assistance in arbitral proceedings.
Q.2) When Arbitral Tribunal can hold oral proceeding?
Q.3) What an application under Sec.27 shall specify?
Q.4) Are the parties to dispute free to choose language of their own? Explain.
UNIT II
LECTURE 3- FAST TRACK ARBITRATION
VIDEO LINK: https://youtu.be/szLZm9CmbPg
NOTES
FAST TRACK ARBITRATION (Section 29 B)
Background:
 The Arbitration and Conciliation Amendment Act 2015 introduced Fast Track Arbitration in
India to speed up the arbitration process in India.
 This concept was originally developed by the International Chambers of Commerce and has been
used in a variety of cases, imbibing it in Article 30 and Annex V of the Law.
Concept:
 In India, the concept of fast-track arbitration means that the proceedings are to be concluded
within 6 months, and there is no provision for oral proceedings, rather than written pleadings.
 The parties to an arbitration agreement, may, at any stage either before or at the time of
appointment of the arbitral tribunal, agree in writing to have their dispute resolved by fast track
procedure
 The parties to the arbitration agreement, while agreeing for resolution of dispute by fast track
procedure, may agree that the arbitral tribunal shall consist of a sole arbitrator
Procedure:
 The arbitral tribunal shall follow the following procedure while conducting arbitration
proceedings-
 The arbitral tribunal shall decide the dispute on the basis of written pleadings, documents
and submissions filed by the parties without any oral hearing,
 The arbitral tribunal shall have power to call for any further information or clarification
from the parties in addition to the pleadings and documents filed by them,
 An oral hearing may be held only, if, all the parties make a request or if the arbitral
tribunal considers it necessary to have oral hearing for clarifying certain issues,
 The arbitral tribunal may dispense with any technical formalities, if an oral hearing is
held, and adopt such procedure as deemed appropriate for expeditious disposal of the
case
 The award under this section shall be made within a period of six months from the date the
arbitral tribunal enters upon the reference.
FEATURE OF A FAST TRACK ARBITRATION
 It is largely governed by strict time-limit policies that both the arbitrators and the parties must
comply with.
 In case the time limit is not reached then the arbitrator 's order will be revoked unless the court
has extended the time limit.
 Unless, when extending the time, the Court determines that the delay was induced for valid
reasons, then there is a reduction in the arbitrator 's fees for each month of the delay by not
reaching five percent.
 It does not include a fixed collection of elements or procedures to be followed as per ordinary
arbitral proceedings.
 It helps to resolve the issue as soon as possible is approved under fast-track arbitration.
 It protects the expense, speed, and time without violating any law and often it also prevents
procedures such as interviewing a witness.
DIFFERENCE BETWEEN FAST ARBITRATION PROCEDURE AND NORMAL

ARBITRATION PROCEDURES
FAST ARBITRATION PROCEDURE NORMAL ARBITRATION PROCEDURES
1.) It consists of a sole arbitrator It consist of three arbitrator

2.) For fast-track arbitration, the award The award shall be made in compliance with
pursuant to this section shall be made within section 29A(1) of the Act within twelve months
six months of the date on which the arbitral from the date the reference is made by the
tribunal enters the reference. arbitral tribunal.
3.) In a fast-track proceeding the fees payable The rules regulating the payment of costs to the
to the arbitrator shall be as agreed between the arbitral tribunal shall be decided by the High
arbitrator and the parties Court.
4.) Written submissions are relied on for The arbitral tribunal decides that weather to
proceedings and no oral hearings are accepted conduct oral proceedings or not.
unless the party so requests.
ASSIGNMENT
Q.1) What is fast track arbitration?
Q.2) In which year fast track arbitration was added in Arbitration and Conciliation Act? Why?
Q.3) What procedures are followed by the Arbitral Tribunal in conducting fast arbitration?
Q.4)Mention any four features of fast track arbitration.
Q.5) Mention three difference between fast track arbitration and normal arbitration procedure.
UNIT II
LECTURE 4- MAKING OF ARBITRAL AWARD
VIDEO LINK: https://youtu.be/yiX1Gf8MwF4
Q.1) What are the Types of Arbitral Award? (2017)
NOTES
ARBITRAL AWARD
 An arbitration award (or arbitral award) is a determination on the merits by an arbitration tribunal
in arbitration, and is analogous to a judgment in a court of law.
 The form and content of arbitral awards are governed by Section 31 of the Arbitration and
Conciliation Act.
 Monetary compensation, specific performance, injunction, declaratory relief, punitive damages

etc
 Differences between different legal systems mean remedy or relief obtainable in one jurisdiction
may be unenforceable in the other.
TYPES OF ARBITRAL AWARD
 Final award- An interim award is different from an interim order in as much as an interim award
has been held to be a final award, but made at an interim stage.
 Partial award- A partial award is an award of only part of the claims or cross claims which are
brought, or a determination of only certain issues between the parties. Importantly, this leaves it
open to the parties to either resolve or to continue to arbitrate (or litigate) the remaining issues.
 Interim award- An award is analogous to a decree, judgment or order of the Court of law. An
interim award, on the other hand, refers to a determination of some part of the dispute referred to
Arbitration. This is a temporary award until the tribunal has given its final decision.
 Consent award- Consent Awards are settlement agreements recorded between the parties after the
parties have invoked arbitration to settle disputes. The consent award is different from a normal
arbitration awards as the dispute is not considered on the merits, but reflects the mutually agreed
settlement terms of the parties.
 Default award- The claimant would still have to submit sufficient evidence to sustain its claim
and the arbitral tribunal can issue its award on the basis of the evidence before it. Such a default
award cannot later be attacked by the respondent on the grounds that it did not participate in the
arbitration.
 Additional award- an additional award is an award which the tribunal, by its own initiative or on
the application of a party makes in respect of any claim which was presented to the tribunal but
was not resolved under the principal award.
AWARD SETTING ASIDE
 An award can be set aside only if the award is against the public policy of India (Section 34)
 An application by any of the party can be made for setting aside an arbitral award.
 An arbitral award may be set aside by the Court only if-
 The party making the application, establishes on the basis of the record of the arbitral tribunal that
 a party was under some incapacity, or
 The arbitration agreement is not valid under the law to which the parties have subjected
it or, failing any indication thereon, under the law for the time being in force, or
 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
 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.
 The composition of the arbitral tribunal or the arbitral procedure was not in accordance
with the agreement of the parties
 If the Court finds that-
 The subject-matter of the dispute is not capable of settlement by arbitration under the law
for the time being in force, or
 The arbitral award is in conflict with the public policy of India.
ASSIGNMENT
Q.1) What is an Arbitral award?
Q.2) What are the different Types of Arbitral award?
Q.3) Define Interim award.
Q.4) When an award can be set aside by the Arbitral Tribunal?

Q.5) Explain Setting aside of an Arbitral award.
UNIT II
LECTURE 5- TERMINATION OF PROCEEDINGS
VIDEO LINK: https://youtu.be/yiX1Gf8MwF4
Q.1) Discuss the circumstances and procedure for the termination of arbitral proceeding. (2012)
NOTES
TERMINATION OF ARBITRAL PROCEEDING (SECTION 32)
 The arbitral proceedings shall be terminated by the final arbitral award or by an order of the
arbitral tribunal given below,
 The arbitral tribunal shall issue an order for the termination of the arbitral proceedings where-
 The claimant withdraws his claim, unless the respondent objects to the order and the
arbitral tribunal recognizes a legitimate interest on his part in obtaining a final settlement
of the dispute, or
 The parties agree on the termination of the proceedings, or
 The arbitral tribunal finds that the continuation of the proceedings has for any other
reason become unnecessary or impossible, or
 If agreed by the parties, or
 The continuation of the arbitral proceedings has become impossible or irrelevant

considering the present facts of the case.
 Also, the termination of the arbitral proceedings terminates the mandate of the arbitral
tribunal and the arbitral tribunal becomes functus officio.
 A party with notice to the other party may request, within thirty days from the receipt of
the arbitral award, the arbitral tribunal to make an additional arbitral award as to claims
presented in the arbitral proceedings but omitted from the arbitral award.
 The arbitral proceedings are terminated either by the final arbitral award or by an order of
the arbitral tribunal terminating the arbitral proceedings
Meaning of Functus Officio
 The term “functus officio” means no longer holding office or having official authority once
a decision is rendered.
 Once an arbitrator renders a decision regarding the issues submitted, he lacks any power to
reexamine that decision.
 This principle is well established in international arbitration, and is accepted in many

national laws.
CASE LAWS:
1.) Pcl Suncon (Jv) v. National Highway Authority, 2021
The petitioner did not receive any communication from the remaining two arbitrators informing it their
intention to terminate the arbitral proceedings.
2.) Maharashtra State Electricity Board v. Datar Switchgear Ltd
The term 'unnecessary' may involve a situation where the proceedings are rendered in fructuous. A
situation may also arise where adjudication of the dispute becomes unnecessary either because the dispute
has not survived or for any other reason.
ASSIGNMENT
Q.1) What are the procedure for termination of Arbitral Proceeding?
Q.2) Why proceeding in the Arbitration are terminated by the Arbitral Tribunal?
Q.3) What do you mean by functus officio?
Q.4) Mention two cases related to termination of proceeding.

SYLLABUS
UNIT III- ENFORCEMENT OF AWARD AND INTERNATIONAL ARBITRATION

i.) RECOURSE AGAINST ARBITRAL AWARD,
ii.) FINALITY AND ENFORCEMENT OF ARBITRAL AWARD
iii.) APPEAL
iv.) ENFORCEMENT OF CERTAIN FOREIGN AWARD
v.) INTERNATIONAL COMMERCIAL ARBITRATION, NEW-YORK & GENEVA
CONVENTION
LECTURE 1- RECOURSE AGAINST ARBITRAL AWARD
VIDEO LINK: https://youtu.be/iNHRU0N3at0
Q.1) What are the statutory grounds for setting aside an ‘Arbitral Award’? Which court has jurisdiction to
intention objection in this regard? (2012)
NOTES
APPLICATION FOR SETTING ASIDE ARBITRAL AWARD (SECTION 34)

 An arbitral award may be set aside by the Court only if-
 The party making the application establishes on the basis of the record of the arbitral
tribunal that-
(i) A party was under some incapacity, or
(ii) The arbitration agreement is not valid under the law to which the parties have subject it failing any
indication thereon, under the law for the time being in force; or
(iii) 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
(iv) 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.
(v) The composition of the arbitral tribunal or the arbitral procedure was not in accordance with the
agreement of the parties, unless such agreement was in conflict with a provision of this Part from which
the parties cannot derogate, or, failing such agreement, was not in accordance with this Part; or
 The Court finds that-
(i) The subject-matter of the dispute is not capable of settlement by arbitration under the law for the time
being in force, or
(ii) The arbitral award is in conflict with the public policy of India.
 An arbitral award arising out of arbitrations other than international commercial arbitrations, may
also be set aside by the Court, if the Court finds that the award is vitiated by patent illegality
 An application for setting aside may not be made after three months have elapsed from the date
on which the party making that application had received the arbitral award or,
 If a request had been made under section 33, from the date on which that request had been
disposed of by the arbitral tribunal
 On receipt of an application under sub-section (1), the Court may, where it is appropriate and it is
so requested by a party,
 Adjourn the proceedings for a period of time determined by it in order to give the arbitral tribunal
an opportunity to resume the arbitral proceedings or
 To take such other action as in the opinion of arbitral tribunal will eliminate the grounds for
setting aside the arbitral award
 An application under this section shall be filed by a party only after issuing a prior notice to the
other party and such application shall be accompanied by an affidavit by the applicant endorsing
compliance with the said requirement
 An application under this section shall be disposed of expeditiously, and in any event, within a
period of one year from the date on which the notice referred to in sub-section (5) is served upon
the other party.
COURT THAT HAS JURISDICTION TO OBJECT ARBITRAL TRIBUNAL

REGARDING SETTING ASIDE OF AN ARBITRAL AWARD
 Section 2 (1)(e)(i) of the Arbitration Act states about the court that can object in setting aside of
an award-
 District Court of original jurisdiction,
 High Court exercising ordinary original civil jurisdiction,
 The courts subordinate to the High Court
EXPLANATION 1
 For the avoidance of any doubt, it is clarified that an award is in conflict with the public policy of
India, only if-
 The making of the award was induced or affected by fraud or corruption or was in
violation of section 75 or section 81, or
 It is in contravention with the fundamental policy of Indian law,
 It is in conflict with the most basic notions of morality or justice.
EXPLANATION 2
 For the avoidance of doubt, the test as to whether there is a contravention with the fundamental
policy of Indian law shall not entail a review on the merits of the dispute.
ASSIGNMENT
Q.1) When application is given by parties for setting aside of an arbitral award?
Q.2) What are grounds when court can set aside an arbitral award?
Q.3) Which court has jurisdiction to make objection in the Setting aside of an arbitral award?
Q.4) What is the time limit given under Section 34 for setting aside of an arbitral award?
UNIT III
LECTURE 2- FINALITY AND ENFORCEMENT OF ARBITRAL AWARD BY ARBITRAL TRIBUNAL
VIDEO LINK: https://youtu.be/5tyI83QB9Ys https://youtu.be/S8HAmCrt6vw
Q.1) What do you understand by finality of arbitral awards? How it can be enforced? (2017)
NOTES
FINALITY OF ARBITRAL AWARDS (Section 35)
 An arbitral award shall be final and binding on the parties and persons claiming under them
respectively.
 It is provided under section 35 of the Arbitration and Conciliation Act, 1996 that the award after
an arbitration proceeding shall be binding on the parties to the proceedings.
 When an arbitral award is made it is in totality concerning all the dimensions and implies that no
more steps can be further taken by the arbitral tribunal.
 The award has a binding effect on the parties.
 An award by an arbitral tribunal is final when-
 The Period that is provided to make an appeal challenging the award in the court expires,
 And in circumstances when a party has filed an application in the court challenging the
award and the same gets rejected.
ENFORCEMENT OF AN ARBITRAL AWARD (Section 36)
 Section 36 of the Arbitration and Conciliation Act, 1996 after the 2015 Amendment Act, provides
that when the time period that is provided for making an application in the court for setting aside
an arbitral award has expired
 The award of the arbitral tribunal will have an effect of a decree of a court and shall be enforced
in the same way. (As per the provisions of Code of Civil Procedure of 1908).
 If a party challenges the award of an arbitral tribunal (under section 34 of the Arbitration Act) by
filing an application for the same in the court, just because he has applied would not set aside the
arbitral award.
 The award will be set aside only when the court orders so.
 The court may put a stay on the arbitral award if it is satisfied that the award is against the
principles of justice.
 The court shall record its reason for doing so.
 Where the time for making an application to set aside the arbitral award under section 34 has
expired, then, subject to the provisions of sub-section (2), such award shall be enforced in
accordance with the provisions of the Code of Civil Procedure, 1908 in the same manner as if it
were a decree of the court.
 Where an application to set aside the arbitral award has been filed in the Court under section 34,
the filing of such an application shall not be stopped from being enforced.
 The setting aside can be done and an award can be stopped from being enforced only when the
court grants an order of stay of the operation of the said arbitral award in accordance with the
provisions of sub-section (3), on a separate application made for that purpose.
 Upon filing of an application under sub-section (2) for stay of the operation of the arbitral award,
the Court may, subject to such conditions as it may deem fit, grant stay of the operation of such
award for reasons to be recorded in writing.
 The Court shall, while considering the application for grant of stay in the case of an arbitral award
for payment of money, have due regard to the provisions for grant of stay of a money decree
under the provisions of the Code of Civil Procedure, 1908
 Where the Court is satisfied that a Prima facie case is made out that-
 The arbitration agreement or contract which is the basis of the award, or
 The making of the award, was induced or effected by fraud or corruption, it shall stay the
award unconditionally pending disposal of the challenge under section 34 to the award.
EXPLANATION
 For the removal of doubts, it is hereby clarified that the above proviso shall apply to all court
cases arising out of or in relation to arbitral proceedings, irrespective of whether the arbitral or
court proceedings were commenced prior to or after the commencement of the Arbitration and
Conciliation (Amendment) Act, 2015.
ASSIGNMENT
Q.1) When an Arbitral Tribunal can make final award?
Q.2) When can award be enforced by an Arbitral Tribunal?
Q.3) How is enforcement of award treated?
Q.4) What is the correlation between Section 34 and Section 36?

UNIT III
LECTURE 3- APPEAL UNDER ARBITRATION AND CONCILIATION ACT, 1996
VIDEO LINK: https://youtu.be/MEga1fEyi0U
Q.1) Which orders are appealable under the Arbitration and conciliation Act, 1996? Whether second
appeal can be allowed any order or not? (2015)
NOTES
APPEAL ( SECTION 37)
 An appeal shall lie from the following orders (and from no others) to the Court authorised by law
to hear appeals from original decrees of the Court passing the order, namely-
 Refusing to refer the parties to arbitration under section 8,
 Granting or refusing to grant any measure under section 9,
 Setting aside or refusing to set aside an arbitral award under section 34.
APPLICABILITY OF AMENDMENT ACT
 Appeal shall also lie to a court from an order of the arbitral tribunal—-
 Accepting the plea referred to in sub-section (2) or sub-section (3) of section 16, or,
 Granting or refusing to grant an interim measure under section 17.
 No second appeal shall lie from an order passed in appeal under this section, but nothing in this
section shall affect or takeaway any right to appeal to the Supreme Court.
THE ORDERS ARE APPEALABLE UNDER THE ARBITRATION AND

CONCILIATION ACT, 1996
 Appeal can lie under The Arbitration and Conciliation Act, 1996 from following orders-
 Refusing to refer the parties to arbitration under section 8 which talks about Power to
refer parties to arbitration where there is an arbitration agreement.
 Regarding Interim measure provided under Section 9, a party can appeal
regarding an interim measure only before the enforcement of the award.
 Appeal can lie from the order of the Arbitral Tribunal for setting aside of an
award as per Section 34.
A SECOND APPEAL UNDER THE ARBITRATION AND CONCILIATION ACT, 1996

 No second appeal shall lie from an order passed in appeal under this section, but nothing in this
section shall affect or take away any right to appeal to the Supreme Court.
EXPLANATION
 Only in exceptional circumstances, a court can be approached under the Act.
 The aggrieved party can approach the court only after an arbitral award is made or in case of an
order passed under Section 17 of the Act.
 After the order is passed, and even a third party, who is directly or indirectly affected by interim
measures granted by the arbitral tribunal, will have a remedy of an appeal under Section 37 of the
Act.
 Appeal to the courts is now permissible only on certain restricted grounds.
CASE LAW
 A three judge Bench of the Supreme Court has recently held, in Centrotrade Minerals & Metal
v. Hindustan Copper, that the parties may provide for an appeal to lie from the award to an
appellate arbitral tribunal.
 Such a clause was held not to be contrary to the laws of the country and, thus, enforceable.
 It appears that the scope of appeal in such cases is far wider than an appeal to a court.
 If the first appeal is quashed, a second appeal challenging the same order cannot be filed in the
same court under the appellate jurisdiction provisions of the Arbitration Act.
 Section 37 does not preclude an appeal to the Supreme Court to challenge an order of any other
appellate court.
 It’s worth noting, however, that this clause makes no mention of a time restriction for such
appeals.
 According to Section 116(a) of the Limitation Act, the time of limitation for filing an appeal
against a judgement granting or refusing interim relief is 90 days from the date of the decree, as
determined by the Rajasthan High Court in Shivraj Singh v. Shri Ram Transport Finance
Co Ltd (2013).
 Therefore, if the appeals are brought after the limitation period has passed, they will be time-
barred.
 The Supreme Court, in M/s Consolidated Engineering Enterprises v. The Principal Secretary
(Irrigation Department) & Ors. ruled that Article 116 of the Limitation Act, which provided a
90-day limitation period for appeals to the High Court under the Code of Civil Procedure 1908,
would regulate the terms of limitation for appeals under Section 37 of the Arbitration &
Conciliation Act, 1996, unless expressly excluded by the Arbitration Act.
ASSIGNMENT
Q.1) When can appeal lie to Arbitral Tribunal under The Arbitration and Conciliation Act, 1966?
Q.2) Can a second appeal lie against the order of the court?
Q.3) Explain the applicability of the amendment Act.
Q.4) Is there any time limit for the appeal given?
Q.5) Mention any two cases related to appeal under The Arbitration and Conciliation Act, 1966.
UNIT III
LECTURE 4- ENFORCEMENT OF CERTAIN FOREIGN AWARD BY ARBITRAL TRIBUNAL
VIDEO LINK: https://youtu.be/wHQB1tPueXc
Q.1) What do you understand by ‘Foreign Award’ Under New York convention Award? Discuss when foreign
award binding?
(2015, 2017)
Q.3)What are the ingredients of Foreign award under New York convention?
(2012)
NOTES
DEFINITION OF FOREIGN AWARD
 Foreign award is defined under Part II, Section 44 of the New York Convention Awards.
 Foreign award means an arbitral award on differences between persons arising out of legal
relationships, whether contractual or not, made on or after the 11th day of October, 1960-
 In pursuance of an agreement in writing for arbitration to which the Convention set
forth in the First Schedule applies, and
 In one of such territories as the Central Government, by notification in the Official
Gazette, declare to be territories to which said Convention applies.
 A 'foreign award' is an arbitral award made – or deemed to be made – in the territory of
another state.
 For example, if the legal place (or seat) of arbitration is London, the arbitral tribunal may
nevertheless decide to sign the award in another country for reasons of convenience.
WHEN FOREIGN AWARD BINDING (SECTION 46)
 According to the said Section, any foreign award which would be enforceable shall be treated
as binding for all the purposes on the persons as between whom it was made, and may
accordingly be relied on by any of those persons by way of defence, set off or any other purpose
in any legal proceedings in India.
 Any foreign award which would be enforceable, shall be treated as binding for all purposes on the
persons as between whom it was made, and
 Accordingly be relied on by any of those persons by way of defence, set off or otherwise in any
legal proceedings in India and any references in this Chapter to enforcing a foreign award shall be
construed as including references to relying on an award.
INGREDIENTS OF FOREIGN AWARD UNDER NEW YORK CONVENTION
 Firstly, it must be an arbitral award on differences between persons arising out of legal
relationship
 Secondly, the difference may be in contract or outside of contract for example- tort
 The legal relationship must be from commercial dispute.
CONDITIONS FOR ENFORCEMENT OF FOREIGN AWARDS (SECTION 48)
 Enforcement of a foreign award may be refused, at the request of the party against whom it is
invoked, only if that party furnishes to the court proof that—-
 The parties to the agreement were, under some incapacity, or the said agreement is not
valid under the law to which the parties have subjected it or,
 The party against whom the award is invoked was not given proper notice of the
appointment of the arbitrator or of the arbitral proceedings or was otherwise unable to
present his case, or
 The composition of the arbitral authority or the arbitral procedure was not in
accordance with the agreement of the parties, or, failing such agreement, was not in
accordance with the law of the country where the arbitration took place, or
 The award has not yet become binding on the parties, or has been set aside or suspended
by a competent authority of the country in which, or under the law of which, that award
was made.
 Enforcement of an arbitral award may also be refused if the Court finds that—
 The subject-matter of the difference is not capable of settlement by arbitration under the law of
India,
 The enforcement of the award would be contrary to the public policy of India.
 Even if the conditions laid down in sub-section (1) are fulfilled, enforcement of the award shall
be refused if the Court is satisfied that-
 The award has been annulled in the country in which it was made,
 The party against whom it is sought to use the award was not given notice of the
arbitration proceedings in sufficient time to enable him to present his case, or that, being
under a legal incapacity, he was not properly represented,
 The award does not deal with the differences contemplated by or falling within the terms
of the submission to arbitration or that it contains decisions on matters beyond the scope
of the submission to arbitration
 The court may, if it thinks fit, either refuse enforcement of the award or adjourn the
consideration, giving such party a reasonable time within which to have the award annulled by
the competent tribunal.
ENFORCEMENT OF FOREIGN AWARDS (Section 58)
 Where the Court is satisfied that the foreign award is enforceable, the award shall be deemed to
be a decree of the Court.
ASSIGNMENT
Q.1) Define foreign award Under New York convention Award.
Q.2) When foreign award is binding?
Q.3) What are the ingredients of the foreign award?
Q.4)What are the conditions for enforcement of foreign award?
Q.5) When can foreign award be enforced?

UNIT III
LECTURE 5- INTERNATIONAL COMMERCIAL ARBITRATION, NEW-YORK & GENEVA

CONVENTION DEFINED UNDER ARBITRATION AND CONCILIATION ACT, 1996
VIDEO LINK: https://youtu.be/M2id31ztlYM https://youtu.be/wj5Ur-plRY0
Q.1) What do you understand by ‘International Commercial Arbitration? Discuss when foreign awards
are bindings. (2014)
NOTES
INTERNATIONAL COMMERCIAL ARBITRATION
 International commercial arbitration is a means of Resolving disputes arising under

International commercial contracts.
 It is used as an alternative to litigation and is controlled primarily by the terms previously agreed
upon by the contracting parties, rather than by national legislation or procedural rules.
 The agreement must be between Indian and a Foreigner party to solve their dispute through
International Commercial Arbitration.
 It is used as an Alternative to litigation and is controlled primarily by the terms previously
agreed upon by the contracting parties, rather than by national legislation or procedural rules.
 Most contracts contain a dispute resolution clause specifying that any disputes arising under the
contract will be handled through arbitration rather than litigation.
 The parties can specify the Forum, Procedural rules, and Governing law at the time of the
contract.
 In the International Commercial Arbitration one party must be an Indian party.
 The parties in the international commerce and businesses prefer arbitration as an amicable
measure for resolving disputes alternate to the litigation process which is considered as a lengthy
process.
 The rights evolved pursuant to the arbitral award can be of various natures and may be required to
be enforced in other countries as the case may where the right accrued by the Arbitral Award lies.
THE FOREIGN AWARDS (RECOGNITION ANDENFORCEMENT) ACT, 1961
 Right in a third country can be enforced after the execution of the Arbitral Award in that
particular country.
 Section 46 of the Act provides the criterion as to when such foreign award would be binding on
the parties.
 According to the said Section, any foreign award which would be enforceable shall be treated as
binding for all the purposes on the persons as between whom it was made, and may accordingly
be relied on by any of those persons by way of defence, set off or any other purpose in any legal
proceedings in India.
 Therefore, an Award may be recognized without being enforced, but if it is enforced, then it is
necessarily recognized.
 THE SUPREME COURT HAS HELD that a foreign award can be binding on non-signatories
to the arbitration agreement and can be thus enforced against them in this regard, the Court
referred to Section 46 of the Arbitration and Conciliation Act.
 As per the new Act, The application for enforcement of a foreign award will now only lie to
High Court. The conditions for enforcement of foreign awards under the Geneva Convention are
provided under Section 57 of the Arbitration and Conciliation Act, 1996.
SECTION 55 OF THE GENEVA CONVENTION
 Foreign awards when binding-Any foreign award which would be enforceable under this
convention shall be treated as binding for all purposes on the persons as between whom it was
made
 Accordingly be relied on by any of those persons by way of defense, set off or otherwise in any
legal proceedings in India and any references in this Chapter to enforcing a foreign award shall be
construed as including references to relying on an award.
ASSIGNMENT
Q.1) What do you mean by ‘International Commercial Arbitration?
Q.2) Which are the parties in the ‘International Commercial Arbitration?
Q.3) When is foreign award is binding?
Q.4) What is held by Supreme Court about the foreign award binding?
Q.5) What is stated under section 55 of the Geneva Convention about the foreign award binding?
SYLLABUS
UNIT IV- CONCILIATION AND MEDIATION

CONCILIATION
LOK ADALAT & PERMANENT LOK-ADALAT
NEGOTIATION
MED ARB. MEDIA AND SUMMARY TRIALS, NEGOTIATION THEORIES
DEVELOPMENT AND TYPES OF NEGOTIATION
QUALITIES OF NEGOTIATOR AND PROCESS OF NEGOTIATION
INTERNATIONAL NEGOTIATION, MEDIATION & GOOD OFFICES
LECTURE 1- CONCILIATION UNDER ARBITRATION AND CONCILIATION ACT, 1996
VIDEO LINK: https://youtu.be/RH14Ocd7mi0
Q.1) What is the role of conciliators? (2011)
Q.2) State the provisions regarding the appointment of conciliator. Is conciliator bound to disclose the information to the other party also?
(2012)
Q.3) What are the Advantage of conciliation? (2012)
Q.4) What do you mean by conciliation? Differentiate between arbitration and conciliation. (2014, 2015)
Q.5) Differentiate between Conciliation and mediation. (2015, 2017)
NOTES
CONCILIATION
 Conciliation is defined under Part III of The Arbitration and Conciliation Act, 1996.
 It is a process in which a third party helps the parties in dispute to resolve it by way of agreement.
 The person authorized to do so is called a Conciliator, he may do it by giving his opinion regarding the dispute to
help parties reach a settlement.
 In other words, it is a compromise settlement between the parties.
APPOINTMENT OF CONCILIATORS ( SECTION 64)

 Once the parties have agreed for the conciliation proceedings, the next step is to appoint an arbitrator.
 If the parties agree they can appoint a sole conciliator.
 If the parties agree upon appointing two conciliators, each party shall appoint one conciliator each.
 In case the parties agree upon three conciliator, each party shall appoint one conciliator each and the parties
together may agree upon a third conciliator, who shall be the presiding conciliator.
 Parties may enlist the assistance of a suitable institution or person in connection with the appointment of
conciliators, and in particular-
 A party may request such an institution or person to recommend the names of suitable individuals to act as
conciliator, or
 The parties may agree that the appointment of one or more conciliators be made directly by such an institution or
person.
QUALITIES OF THE CONCILIATOR

 He must be independent and impartial.
 He must assist the parties to come to a settlement.
 He is not bound by the procedure given under the Code of Civil Procedure, 1908.
 He must adhere to the principles of fairness and justice.
ROLE OF CONCILIATORS (SECTION 67)
 The conciliator shall assist the parties in an independent and impartial manner in their attempt to reach an
amicable settlement of their dispute.
 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 and the circumstances
surrounding the dispute, including any previous business practices between the parties.
 The conciliator may conduct appropriate conciliation proceedings, taking into account the circumstances of the
case and may hear both the parties orally and solve the dispute in a speedy way.
 The conciliator may, at any stage of the conciliation proceedings, make proposals for a settlement of the
dispute.
 Such proposals need not be in writing and need not be accompanied by a statement of the reasons.
CONCILIATOR BOUND TO DISCLOSE THE INFORMATION TO THE OTHER PARTY ALSO OR NOT
 The conciliator and the parties are duly bound to keep confidential all matters relating to conciliation
proceedings.
 Similarly when a party gives a information to the conciliator on the condition that it be kept confidential ,
the conciliator should not disclose that information to the other party.
ADVANTAGE OF CONCILIATION
 It offers a more flexible alternative, for a wide variety of disputes, small as well as large,
 It is cost-effective and produces quicker resolution of dispute.
 It facilitates the maintenance of continued relationship between the parties even after the settlement or at least
during the period of settlement is attempted at.
 There is no scope for corruption or bias.
 It is committed to maintenance of confidentiality throughout the proceedings and thereafter, of the dispute, the
information exchanged, the offers and counter offers of solutions made and the settlement arrived at.
DIFFERENCE BETWEEN ARBITRATION AND CONCILIATION

BASIS FOR COMPARISON ARBITRATION CONCILIATION
Arbitration is a dispute Conciliation is a method of
MEANING settlement process in which a resolving dispute, wherein an
impartial third party is appointed independent person helps the
to study the dispute and hear both parties to arrive at negotiated
the party to arrive at a decision settlement.
binding on both the parties.
An arbitrator has the power to A conciliator do not have the
ENFORCEMENT enforce his decision. power to enforce his decision.
Required Not required
PRIOR AGREEMENT
Existing and future disputes. Existing disputes.
AVAILABLE FOR
Yes No
LEGAL PROCEEDING
DIFFERENCE BETWEEN MEDIATION AND CONCILIATION
MEDIATION CONCILIATION
1.) Mediation it is the process of resolving issues 1.) Conciliation method in which an expert is
between party where third party assist them in appointed to settle dispute between the parties.
resolving dispute
2.) Mediation mainly refer to code of civil 2.) Conciliation refers to arbitration and
procedure 1908 conciliation act 1996
3.) Confidentiality That depends on trust in 3.) Confidentiality those extent by law.
mediation
4.) Mediator acts as facilitator 4.) Conciliator act as facilitator and evaluator
5.) In mediation there is an agreement between the 5.) In conciliation there is a settlement agreement
parties between the party.
6.) Mediation is enforceable by law 6.) It is executable as decree of Civil Court
ASSIGNMENT
Q1.) What do you mean by Conciliation?
Q.2) How conciliator is appointed under Section 64?
Q.3) Mention any four qualities of conciliator.
Q.4) What are the Role of conciliator?
Q.5) Can a conciliator disclose any information of one party to other party?
Q.6) What are the advantages of Conciliation?
Q.7) Differentiate between Arbitration, Mediation and Conciliation.

UNIT IV
LECTURE 2- LOK ADALAT & PERMANENT LOK-ADALAT UNDER LEGAL SERVICE AUTHORITIES ACT, 1987
VIDEO LINK: https://youtu.be/z8eVxPeq784 https://youtu.be/_mkPIvs08w8
Q.1) Explain the object and composition of Lok-Adalat. How Lok-Adalat can take cognizance of cases? (2012)
Q.2) What are the Procedure of Lok Adalat? (2014)
Q.3) Cognizence of cases by Permanent Lok Adalat. (2015, 2017)
Q.4) What do you mean by ‘Permanent Lok Adalat’? (2017)
NOTES
OBJECTS OF LOK ADALAT
The Lok Adalat was organised with the following objectives amongst others:
 To provide speedy justice.

 To generate awareness amongst the public regarding the conciliatory mode of dispute settlement and legal
sanctity of Lok Adalat.
 To gear up the process of organising Lok Adalat.
 To provide a supplementary to the mainstream legal system.
 To encourage the public to settle their cases outside the formal set-up.
 To empower the public to participate in the justice delivery system.
COMPOSITION OF LOK ADALAT
 Every Lok Adalat organized for an area shall consist of such number of serving or retired judicial officers and
other persons of the area as may be specified by the agency such as State Authority, District Authority or
Supreme court legal services committee, High court legal services committee or may be by Taluk legal services
committee.
 Generally, a Lok Adalat consists of a judicial officer as the chairman and a lawyer as (ADVOCATE ) and a
social worker as members.
 The experience and qualification of other persons referred to in clause (b) of sub section (2) for Lok Adalat other
than referred to in sub section (3) shall be such as may be prescribed by the State Government in consultation
with the Chief Justice of the High Court.
COGNIZANCE OF CASES BY LOK-ADALAT (SECTION 19)
 Any case referred in clause (1) of sub sec. (4) of sec. 18-
 The parties thereof agree or
 One of the parties there of makes an application to the court of referring the case to the Lok Adalat for settlement
and if such court prime facie satisfy that there are chances of such settlement, or
 The court is satisfied that the matter is an appropriate one to take cognizance of by the Lok Adalat,
 The court shall refer the case to the Lok Adalat.
 No case shall be referred to the Lok-Adalat under sub-clause (b) clause, by such court after giving a reasonable
opportunity of being heard to the parties.
 Authority or committee organizing the Lok Adalat under sub sec. (1) of sec. 18 may on the receipt of
application from any of the parties to any matter referred to in clause (h) of sub sec. (4) of sec. 18, that such
matter needs to be determined by a Lok Adalat, for determination.
 When any case is referred to a Lok Adalat under sub sec. (1) or where a reference has been made to its under sub
sec. (2), the Lok Adalat shall proceed to dispose of the case or matter of case and arrive at the compromise or
settlement between parties.
 Every Lok Adalat shall, while determining any reference before it under this act, act to the utmost expedition to
arrive at compromise or settlement between the parties and shall be guided by the principles of justice, equality
fair play and other legal principles.
 Where no reward is made by the Lok Adalat on the ground that no compromise or settlement could be arrived at
between the parties, the record of case shall be returned by it to the court.
 Where no award is made by the Lok Adalat on the ground that no compromise or settlement could be
arrived at between the parties in a matter referred to it under sub sec. (2) of sec. 18 that Lok Adalat shall advise
the parties in a matter referred to in sub sec. (2), that Lok Adalat shall advise the parties to seek remedy in a court.
 Where the record of the case is returned under sub sec. (5) to the court, such court shall proceed to deal
with such cases from the stage which was reached before such reference under sub sec. (1).
PROCEDURE OF LOK ADALAT (SECTION 20)
 The Lok Adalats are generally organized by state legal aid and advice boards or the district legal aid
committees etc.
 Lok Adalats shall have jurisdiction to determine and arrive at a compromise or settlement between the parties to a
dispute in respect of-
 Any case pending before the court, or

 Any matter which is falling within the jurisdiction of and is not brought before any court for which the
Lok Adalat is organized.
 The Lok Adalat shall not have jurisdiction in respect of any matter or case relating to an offence not
compoundable under any law.
 The date and place of holding a Lok Adalat are fixed about a month in advance by the Legal Aid Board.
The date so fixed is generally a Saturday or Sunday or some other holiday.
 1nformation about holding a Lok Adalat is given wide publicity through press, posters, radio, TV, etc.
 Before a Lok-Adalat is held, its organizers request the presiding officers of the various local courts to examine
cases pending in their courts where in their opinion, conciliation is possible. Once the cases are identified, parties
to the dispute are motivated by the judges of the Lok Adalats to settle their cases through Lok Adalat.
 Generally, senior judicial officers are invited to inaugurate a Lok Adalat.
 The team of Lok Adalat generally consist of retired judges, senior local officers, members of the Bar, spirited
public-men, active women social worker, elders of the locality and voluntary social organizations. The members
of the Lok Adalat are called conciliators. The number of conciliators is usually three.
 If conciliation result in a settlement of a dispute, a compromise deed is drawn up and after obtaining the
signatures of the parties to the disputes and their advocates, it is presented to the presiding officer of the
competent court who is normally present at the place where the Lok Adalat is organized.
 The judge (Presiding officer) after examining the fairness and legality of compromise and satisfying himself that
the compromise has been arrived at by the free will and mutual consent of the parties, passes a decree.
PERMANENT LOK ADALAT
 Permanent Lok-Adalat is permanent in nature.

 Permanent Lok Adalats have been set up as permanent bodies with a Chairman and two members for providing
compulsory pre-litigative mechanism for conciliation and settlement of cases relating to Public Utility
Services like transport, postal, telegraph etc.
COGNIZENCE OF CASES BY PERMANENT LOK ADALAT
 Any party to a dispute may, before the dispute is brought before any court, make an application to the
Permanent Lok Adalat for the settlement of dispute-
 Permanent Lok Adalat shall not have jurisdiction in respect of any matter relating to an offence not
compoundable under any law.
 Permanent Lok Adalat shall also not have jurisdiction in the matter where the value of the property in dispute
exceeds ten lakh rupee
 The Central Government, may, by notification, increase the limit of ten lakh rupees specified in the second
proviso in consultation with the Central Authority.
 After an application is made under sub-section (1) to the Permanent Lok Adalat, no party to that application shall
invoke jurisdiction of any court in the same dispute.
 Where an application is made to a Permanent Lok Adalat under sub-section (1), it—
 Shall direct each party to the application to file before it a written statement, stating therein the facts and nature of
dispute under the application points or issues in such dispute and grounds relied in support of, or in opposition to,
such points or issues, as the case may be, and such party may supplement such statement with any document and
other evidence which such party deems appropriate in proof of such facts and grounds and shall send a copy of
such statement together with a copy of such document and other evidence, if any, to each of the parties to the
application;
 May require any party to the application to file additional statement before it at any stage of the conciliation
proceedings;
 Shall communicate any document or statement received by it from any party to the application to the other party,
to enable such other party to present reply thereto.
 When statement, additional statement and reply, if any, have been filed under sub-section (3), to the satisfaction
of the Permanent Lok Adalat, it shall conduct conciliation proceedings between the parties to the application in
such manner as it thinks appropriate taking into account the circumstances of the dispute.
 The Permanent Lok Adalat shall, during conduct of conciliation proceedings under sub-section (4), assist the
parties in their attempt to reach an amicable settlement of the dispute in an independent and impartial manner.
 It shall be the duty of every party to the application to cooperate in good faith with the Permanent Lok Adalat in
conciliation of the dispute relating to the application and to comply with the direction of the Permanent Lok
Adalat to produce evidence and other related documents before it.
 When a Permanent Lok Adalat, in the aforesaid conciliation proceedings, is of opinion that there exist elements of
settlement in such proceedings which may be acceptable to the parties, it may formulate the terms of a possible
settlement of the dispute and give to the parties concerned for their observations and in case the parties reach at an
agreement on the settlement of the dispute, they shall sign the settlement agreement and the Permanent Lok
Adalat shall pass an award in terms thereof and furnish a copy of the same to each of the parties concerned.
 Where the parties fail to reach at an agreement under sub-section (7), the Permanent Lok Adalat shall, if
the dispute does not relate to any offence, decide the dispute.
ASSIGNMENT
Q.1) What are the objects of Lok Adalat?
Q.2) State the composition of Lok Adalat.
Q.3) What are the cognizance of cases by the Lok Adalat?
Q.4) What are the Procedure of Lok Adalat?
Q.5) What is Permanent Lok Adalat?
Q.6) Explain the cognizance of cases by the Permanent Lok Adalat.

UNIT IV
LECTURE 3- NEGOTIATION
VIDEO LINK: https://youtu.be/gkSK_EEnjWs
Q.1) Define Negotiation. (2012)
NOTES
NEGOTIATION
 Negotiation has been defined as any form of direct or indirect communication whereby parties who have opposing
interests discuss the form of any joint action which they might take to manage and ultimately resolve the dispute
between them.
 Negotiations may be used to resolve an already-existing problem or to lay the groundwork for a future
relationship between two or more parties.
 Negotiation has also been characterized as the “preeminent mode of dispute resolution”, which is hardly
surprising given its presence in virtually all aspects of everyday life, whether at the individual, institutional,
national or global levels. Each negotiation is unique, differing from one another in terms of subject matter, the
number of participants and the process used.
 The presence of negotiation in daily life, it is not surprising to find that negotiation can also be applied within the
context of other dispute resolution processes, such as mediation and litigation settlement conferences.
CHARACTERISTICS OF A NEGOTIATION
 VOLUNTARY: No party is forced to participate in a negotiation. The parties are free to accept or reject the
outcome of negotiations and can withdraw at any point during the process. Parties may participate directly in the
negotiations or they may choose to be represented by someone else, such as a family member, friend, a lawyer or
other professional.
 BILATERAL/MULTILATERAL: Negotiations can involve two, three or dozens of parties. They can range
from two individuals seeking to agree on the sale of a house to negotiations involving diplomats from dozens of
States (e.g., World Trade Organization (WTO)).
 NON-ADJUDICATIVE: Negotiation involves only the parties. The outcome of a negotiation is reached by the
parties together without recourse to a third-party neutral.
 INFORMAL: There are no prescribed rules in negotiation. The parties are free to adopt whatever rules they
choose, if any. Generally they will agree on issues such as the subject matter, timing and location of negotiations.
Further matters such as confidentiality, the number of negotiating sessions the parties commit to, and which
documents may be used, can also be addressed.
 CONFIDENTIAL: The parties have the option of negotiating publicly or privately. In the government context,
negotiations would be subject to the criteria governing disclosure as specified in the Access to Information Act
and the Privacy Act (see confidentiality section). For general information on the privileged nature of
communications between solicitor and client during the course of negotiations, please refer to the Department of
Justice Civil Litigation Deskbook.
 FLEXIBLE: The scope of a negotiation depends on the choice of the parties. The parties can determine not only
the topic or the topics that will be the subject of the negotiations, but also whether they will adopt a positional-
based bargaining approach or an interest-based approach.
ADVANTAGES OF NEGOTIATION
 In procedural terms, negotiation is probably the most flexible form of dispute resolution as it involves only those
parties with an interest in the matter and their representatives, if any. The parties are free to shape the negotiations
in accordance with their own needs, for example, setting the agenda, selecting the forum (public or private) and
identifying the participants.
 Like any method of dispute resolution, negotiation cannot guarantee that a party will be successful. However,
many commentators feel that negotiations have a greater possibility of a successful outcome when the parties
adopt an interest-based approach as opposed to a positional-based approach.
 Negotiation is a voluntary process. No one is required to participate in negotiations should they not wish to do so.
 There is no need for recourse to a third-party neutral. This is important when none of the parties wants to involve
outside parties in the process, e.g., the matter to be discussed or the dispute to be resolved may be highly sensitive
in nature.
 Negotiations may preserve and in some cases even enhance the relationship between the parties once an
agreement has been reached between them.
 Opting for negotiation instead of litigation may be less expensive for the parties and may reduce delays.
DISADVANTAGES OF NEGOTIATION
Negotiation has some disadvantages as well-
 Though negotiation provides a greater possibility of a successful outcome, if the parties are unequal the those in a
weaker position may be placed at a disadvantageous position.
 The parties may terminate the process whenever they wish to during the proceedings, this may cause a huge loss
of time and money invested in the process.
 Negotiation does not ensure the good faith and trustworthiness of either of the parties. It must also be mentioned
that some issues may not be amenable to negotiation.
ASSIGNMENT
Q.1) What do you mean by Negotiation?
Q.2) Mention any five characteristics of Negotiation.
Q.3) What are the advantages of Negotiation?
Q.4) Explain any three disadvantages of Negotiation.
UNIT IV
LECTURE 4- MED ARB. MEDIA
VIDEO LINK: https://youtu.be/B0GTiMSmlYQ
Q.1) Define Med-Arb. (2014, 2015, 2017)
NOTES
MED-ARB
 Med-arb is a hybrid, two-stage alternative dispute resolution (ADR) process.
 It usually involves the parties agreeing to grant a mediator power to convert automatically to being an arbitrator,
and to make a legally binding arbitral award, if the mediation fails to result in a settlement of the relevant dispute.
 The two most common forms of alternative dispute resolution are arbitration and mediation. Both the methods
have their own set of drawbacks which is why a hybrid ADR has been introduced.
 Hybrid ADR is a combination of arbitration and mediation and it is known as med-arb. The main aim of this
procedure is to provide the best of both the mechanism.
PROCESS OF MED-ARB
 The procedure of med- arb commences with mediation. The parties try to resolve their issues through mediation.
If the parties are unable to reach on a settlement, then the arbitration proceedings begin.
 The parties are motivated to resolve their disputes through mediation, because if the disputants do not reach on a
settlement then the decision- making power goes in the hands of the arbitrator.
 The award made by the arbitrator shall be final and binding on both the parties.
 There are certain variations to this procedure, which are as follows-
 OVERLAPPING NEUTRALS- This mechanism can be effective because the arbitrator will be aware
about the issues of the parties. Since mediation is more about negotiation, the parties will communicate
more effectively, this will allow the arbitrator and the mediator to understand the complexities of the
dispute. But this method can be very costly as two neutrals are appointed for resolving the dispute.
 PLENARY MED- ARB- In this form, a single neutral plays the role of an arbitrator and mediator. But
the neutral is not permitted to conduct private caucuses with the disputants. Throughout the procedure,
only joint sessions are conducted between the disputants and the third party. This form may not be
effective. The parties might not reveal important information relating to the dispute, if private meetings
with the mediator is not conducted. Hence, the procedure of mediation may become futile.
 BRAIDED MED- ARB- In this form, only one neutral third party is appointed. The procedure is
slightly different. The parties may interrupt the arbitration proceedings and continue with mediation, if
they are willing to enter into a voluntary agreement. The neutral third party can provide very valuable
suggestions and settlement proposals if the parties continue the mediation process.
 MED- ARB WITH OPTIONAL WITHDRAWAL- In this form, the parties have a right to opt-
out of the arbitration process even if there is no outcome from the mediation proceedings. In all other
forms, it is mandatory for the parties to resolve their dispute through arbitration if the process of
mediation becomes futile. But this particular form, gives an option to the parties to voluntarily withdraw
from the process. This optional withdrawal makes the whole procedure of med- arb ineffective because
the assurance of finality is eliminated
ASSIGNMENT
Q.1) Explain Med-Arb.
Q.2) Med-Arb is the combination of?

Q.3) Name the process of Med-Arb.
Q.4)What is plenary med- arb?
Q.5) What do you mean by med- arb with optional withdrawal?
UNIT IV
LECTURE 5- NEGOTIATION THEORY AND TYPES OF NEGOTIATION
VIDEO LINK: https://youtu.be/3rVLU_M37so https://youtu.be/OmbPaWXLedc

NOTES
NEGOTIATION
 Negotiation has been defined as any form of direct or indirect communication whereby parties who have opposing
interests discuss the form of any joint action which they might take to manage and ultimately resolve the dispute
between them.
 Negotiations may be used to resolve an already-existing problem or to lay the groundwork for a future
relationship between two or more parties.
 A negotiation is a discussion in which two or more parties attempt to reach an agreement through bargaining.
Here are a few examples of negotiation in business-
 Salary Negotiation
 Vendor Negotiation
 Conflict Resolution
TYPES OF NEGOTIATION
 PRINCIPLED NEGOTIATION- Principled negotiation is a type of bargaining that uses parties principles and
interests to reach an agreement.
 This type of negotiation often focuses on conflict resolution. This type of bargaining uses an integrative
negotiation approach to serve the interests of both parties. There are four elements to a principled negotiation-
 Mutual gain
 Focus on interests
 Separate emotions from issues
 Objectivity
 TEAM NEGOTIATION- In a team negotiation, multiple people bargain toward an agreement on each side of
the negotiation. Team negotiations are common with large business deals.
 There are several personality roles on a negotiation team. In some cases, one person may perform more than one
role. Here are some common roles on negotiation teams-
 Leader
 Observer
 Relater
 Recorder
 Critic
 Builder
 MULTIPARTY NEGOTIATION- A multiparty negotiation is a type of bargaining where more than two parties
negotiate toward an agreement.
 An example of a multiparty negotiation is bargaining between multiple department leaders in a large company.
Here are a few of the challenges of multiparty negotiations-
 Fluctuating BATNAs
 Coalition formation
 Process-management issues
 ADVERSARIAL NEGOTIATION- An adversarial negotiation is a distributive approach in which the most
aggressive party in a negotiation achieves an agreement that serves their interests. Here are a few examples of
adversarial negotiation tactics-
 Hard Bargaining
 future promise
 Loss of interest
NEGOTIATION THEORIES
 The foundations of negotiation theory are decision analysis, behavioral decision-making, game theory, and
negotiation analysis.
 Another classification of theories distinguishes between Structural Analysis, Strategic Analysis, Process Analysis,
Integrative Analysis and behavioral analysis of negotiations.
 There are three negotiation theory principles that may be especially helpful in efforts to negotiate solutions to
many problems-
 FOCUS ON INTERESTS- Interest-based bargaining, which involves exploring the deeper interests
underlying negotiators’ stated positions, can help parties identify potential tradeoffs and opportunities for
joint gains.
 ANTICIPATE AND ADDRESS SOURCES OF BIAS- Under the best of conditions, we are all prone
to predictable biases and other cognitive errors. For instance, in-group bias can keep us from allocating
resources equitably across groups.
 REACH AGREEMENT WITHIN AND ACROSS PARTIES- For every agreement we reach, a host
of other agreements is often needed. Many crisis and business negotiations often require multilateral
bargaining.
ASSIGNMENT
Q.1) What do you mean by negotiation?
Q.2) Give four examples of Negotiation.
Q.3) What are the types of Negotiation?
Q.4) What is Team Negotiation?
Q.5) Explain the theories of Negotiation.
UNIT IV
LECTURE 6- QUALITIES OF NEGOTIATOR AND PROCESS OF NEGOTIATION
VIDEO LINK: https://youtu.be/l-AfFmfbYvQ https://youtu.be/0exCnAQL25k

NOTES
QUALITIES OF NEGOTIATOR
Every negotiator must possess certain qualities-
 Preparation and planning skill

 Knowledge of the subject matter being negotiated
 Ability to think clearly and rapidly under pressure and uncertainty
 Ability to express thoughts verbally
 Listening skill of a negotiator must be good
 judgment and general intelligence
 integrity
 ability to persuade others
 He must have patience
 decisiveness
 He must considers lots of options
 He must be aware of the process and style of the other person
 is flexible
 thinks and talks about possible areas of agreement
 He must be of an open mind
 charm and experience as well
PROCESS OF NEGOTIATION
 There are five steps to the negotiation process, which are:

 PREPARATION AND PLANNING- Preparation and planning is the first step in the negotiation
process. Here, both parties will organize and accumulate the information necessary to have an effective
negotiation.
 DEFINITION OF GROUND RULES- The second step in negotiation is the definition of ground
rules. In this step, rules and procedures will be established for the planned negotiation. Consideration will
be given to questions, such as:
o Where will negotiations take place?
o Will time constraints exist?
o Will there be any issues that are off limits?
o What happens if there's not any agreement?
 CLARIFICATION AND JUSTIFICATION- Negotiator clarifies what both the parties have to say
in their defence. as well as what both the parties presents evidence.
Negotiator after hearing to both the parties give the justification that which party is to win or loose.
 BARGAINING AND PROBLEM SOLVING- Where negotiator discuss in the meeting that certain
things can be done and not to be done for the conclusion.
 CLOSURE AND IMPLEMENTATION- Negotiator closes the case by compromise among the
parties. And implement the award.
ASSIGNMENT
Q.1) Mention any five qualities of the negotiator.
Q.2) What are the process in the negotiation?
Q.3) Discuss the process of preparation and planning.
Q.4) In which step award is given by Negotiator?
UNIT IV
LECTURE 7- INTERNATIONAL NEGOTIATION
VIDEO LINK: https://youtu.be/02GVJUuJCNw
NOTES
INTERNATIONAL NEGOTIATION
 International negotiation is often a process of power-based dialogue intended to achieve certain goals or ends, and
which may or may not thoroughly resolve a particular dispute or disputes to the satisfaction of all parties.
 The goals of this bibliography are to familiarize the reader with books that seek to explore different forms of
negotiation that aim at conflict management, conflict transformation, or else conflict resolution.
 International negotiation can be bilateral or multilateral, public or secret, and can involve differing forms of
negotiation among states and non-state civilian actors, as well as with anti-state actors, such as individual
terrorists and terrorist organizations.
 In addition, differing cultures may engage in negotiations with differing styles and for differing purposes, with
differing expectations.
 Negotiation aimed at conflict management seeks to limit or minimize tensions and disputes as much as possible,
without necessarily changing the status quo or the relations of power, values, and interests between the disputing
parties.
INTERNATIONAL NEGOTIATIONS STRATEGIES
 The INTERNATIONAL NEGOTIATIONS STRATEGIES provided by the ICC (International Chamber of

Commerce) are based on the idea that the best deals are struck between negotiating partners that not only want or
need to collaborate, but also respect and trust one another.
 These Principles provide the direction for creating a productive working relationship, for transactions of any kind
or length.
 Every deal and set of negotiating partners are different, and the ICC Principles may be useful in different ways for
different deals. The Principles may be used as-
 A checklist of considerations for a party to take into account during preparation for and conduct negotiations.
 A basic set of guidelines the parties can agree to use as a reference point for the conduct of negotiations. Nevertheless,
the ICC Principles are not intended to impose a legally binding obligation on the parties.
 A benchmark for guiding a party´s own conduct during negotiations.
IMPORTANCE OF NEGOTIATION
 Negotiations are essential mechanisms for the peaceful resolution of disputes and for maintaining stability in
international relations.
 Negotiations can and should contribute to predictability, equity, and security among states. In achieving these
goals, negotiations become important confidence-building measures.
ASSIGNMENT
Q.1) What do you mean by International negotiation?
Q.2) What is the aim of International negotiation?
Q.3) Mention any four strategies of International negotiation.
Q.4) What is the importance of negotiation?

UNIT IV
LECTURE 8- MEDIATION & GOOD OFFICES
VIDEO LINK: https://youtu.be/rt18Dgylp94
NOTES
MEDIATION
 Mediation is a process wherein the parties meet with a mutually selected impartial and neutral person who assists them in the
negotiation of their differences.
 The three main styles of mediation are evaluative, facilitative, and transformative.
 Mediation is where the parties involved in a disagreement agree to meet, along with a neutral mediator, to try and work out a
solution. It is a type of alternative dispute resolution to litigation.
GOOD OFFICES
 There is very thin line distinction between good offices and mediation. Both the terms are often used interchangeably
and mixed. ‘Good Offices’ is a procedure whereby third party brings the conflicting parties together without
participating in the negotiation whereas in ‘mediation’ the conflicting parties submit their disputes to a third party who
facilitates the negotiation process and actively participates in the negotiation to form the terms of settlement.
 The mediator also adds his suggestions in resolving the disputes. In ‘Good Offices’ the third party only brings the
disputing parties together for negotiation whereas in ‘mediation’ the third party conducts the negotiation.
 For instances, the Prime Minister of United Kingdom, Mr. Wilson provided Good Offices to India and Pakistan which
resulted the parties to reach an agreement to refer Kutch issue to Arbitral Tribunal. On the other hand, Soviet Union
President, Kosygin mediated in the dispute between India and Pakistan which resulted in the conclusion of Tashkent
agreement in 1966.
 It’s clear from the above counts, that Good offices are important for the conflicting parties to bring them together to
consider in resolving disputes. Good Offices is a influential initiation for unwilling parties to reach settlement
peacefully.
DIFFERENCE BETWEEN GOOD OFFICES & MEDIATION
GOOD OFFICES MEDIATION
1.) The term "Good Offices" connotes the bringing 1.) Mediation is the conducting of negotiation
about the conflicting parties together and the between the disputing States through the agency of
counseling of advice or the suggesting of a the third party. In simple words, when the third
settlement without participating in the negotiation. party participates in the discussion along with the
Such suggestions or advice may be disregarded by disputant States and also gives its own proposals or
a party to a dispute without any compunction or suggestions in resolving the dispute, it is called as
breach of the law. Mediation.
2.) In this case, the third state may make an inquiry
into the dispute or offer suggestions, but it does not
participate in Negotiation.
3.) The third state only brings the conflicting 3.) The third State conducts the negotiations
parties together in negotiation. between the parties.
4.) Strictly a State is said to offer ‘good offices’ 4.) Mediation is a consequence of the tender of
when it tries to induce the parties to negotiate good offices.
among themselves.
5.) The Prime Minister of United Kingdom, Mr. 5.) Soviet Union President Kosygin mediated in the
Wilson provided his good offices to India and Dispute between India and Pakistan which resulted
Pakistan which resulted the parties to reach an in the conclusion of Tashkant agreement in 1966.
agreement to refer Kutch issue to an Arbitral
Tribunal.
In the year 1949, the Security Council rendered
good offices in the dispute between the Netherland
Government and Republic Indonesia.
ASSIGNMENT
Q.1) Define mediation.
Q.2) What do you mean by good offices in ADR?

Q.3) Give any one example of mediation and good offices.
Q.4) Give five difference between mediation and good office.

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LL.B. (Hons.

SUBJECT- ALTERNATIVE DISPUTE RESOLUTION

UNIT I- ALTERNATIVE DISPUTE RESOLUTION

LECTURE 1- CONCEPT, NEED, DEVELOPMENT AND ADVANTAGES OF ADR

VIDEO LINK: https://youtu.be/z5bZadmUeCI

PREVIOUS YEAR QUESTIONS ASKED IN LUCKNOW UNIVERSITY BASED ON THIS TOPIC

Q.1) Merits of alternative dispute resolution mechanism. (2012, 2015,

ALTERNATIVE DISPUTE RESOLUTION

KINDS OF DISPUTE THAT ARE RESOLVED UNDER ADR

1.) Resolution in ADR are given very speedy, so it saves time

Q.1) Mention advantages of ADR.

LL.B. (Hons.) VII SEMESTER

SUBJECT- ALTERNATIVE DISPUTE RESOLUTION

VIDEO LINK: https://youtu.be/lbXMxcVNeVs

NEW TOPIC ADDED

LEGAL SERVICES AUTHORITIES ACT, 1987

HISTORICAL DEVELOPMENT OF THE LEGAL SERVICE AUTHORITIES ACT, 1987

IMPORTANT PROVISIONS UNDER LEGAL SERVICES AUTHORITIES ACT, 1987

IMPORTANCE OF FREE LEGAL AID

 It provides legal services to the vulnerable sections of society.

AVILABILITY OF LEGAL SERVICE

 a member of a Scheduled Caste or Scheduled Tribe,

 a victim of trafficking in human beings or beggar as referred to in Article 23 of the Constitution,

 a mentally ill or otherwise disabled person,

Q.1) When any why legal service Act was enforced?

Q.2) On which Article `Legal Service` Act is based?

Q.3) What is the object of Legal Service Authorities Act, 1987?

Q.5) What is the importance of free legal aid?

LL.B. (Hons.) VII SEMESTER

SUBJECT- ALTERNATIVE DISPUTE RESOLUTION

VIDEO LINK: https://youtu.be/QD1sofmLk7c

PREVIOUS YEAR QUESTIONS ASKED IN LUCKNOW UNIVERSITY BASED ON THIS TOPIC

OBJECT OF ARBITRATION AND CONCILIATION ACT, 1996

SALIENT FEATURES OF ARBITRATION AND CONCILIATION ACT

Basic features of Arbitration are as follows:

1. This is the biggest Act as there are IV schedules-

THE SCOPE OF ARBITRATION AND CONCILIATION ACT, 1996

DEVELOPMENT OF ARBITRATION AND CONCILIATION ACT, 1996

Q.1) Define Arbitration.

Q.3) Mention five objects of Arbitration and Conciliation Act, 1996?

Q.4) Point out 5 features of Arbitration and Conciliation Act, 1966?

Q.5) What is the scope of Arbitration and conciliation act, 1996?

SUBJECT- ALTERNATIVE DISPUTE RESOLUTION

LECTURE 4- ARBITRATION: DEFINITION AND SOURCES

VIDEO LINK: https://youtu.be/D3yQEoXkiAA

Q.1) What do you mean by Arbitration? (2017)

 Arbitration is a procedure in which a dispute is submitted, by agreement of the parties, to

Q.3) Write down any four sources of arbitration?

LL.B. (Hons.) VII SEMESTER

SUBJECT- ALTERNATIVE DISPUTE RESOLUTION

LECTURE 5- ARBITRATION: KINDS AND SCOPE

VIDEO LINK: https://youtu.be/AdC3fHjcj1U

PREVIOUS YEAR QUESTIONS ASKED IN LUCKNOW UNIVERSITY BASED ON THIS TOPIC

Q.1) Define Institutional arbitration. (2014)

4. Fast track arbitration

1.) AD-HOC ARBITRATION

2.) INSTITUTIONAL ARBITRATION

4.) FAST TRACK ARBITRATION