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Document information Chapter 9: Arbitral Awards in Indian Arbitrations

Martin Hunter ; Simon Weber ; Sadyant Sasiprabhu
Publication Arbitral awards are the end product of an arbitration. Hence, the job of an
Arbitration in India arbitral tribunal is similar to the one of craftsmen – they are expected to make
or create useful objects. This analogy must also be applied to the end product of
the arbitral tribunal. It must be useful – hence enforceable. The arbitrators
should put all effort into the award to comply with the trust put into them by the
Jurisdiction disputing parties. This Chapter discusses the effects of arbitral awards, lays out
India the different types of awards, their form requirements and how to enforce them.
It concludes with guidelines on how to draft the ‘perfect’ arbitral award.

Bibliographic 9.1 INTRODUCTION AND DEFINITION

reference Arbitral awards are the end product of the arbitral process. When agreeing to include an
Martin Hunter, Simon arbitration agreement in a contract, the contracting parties expect an arbitral tribunal to
Weber, et al., 'Chapter 9: render a final and binding award, which is enforceable. In Indian law, Chapter VI of the
Arbitral Awards in Indian Arbitration and Conciliation Act 1996 (1996 Arbitration Act or Act) lays down the rules
Arbitrations', in Dushyant applicable to the making of arbitral awards and the termination of the arbitral
Dave , Martin Hunter , et al. proceedings. Read in conjunction with Section 34, contained in Chapter VII (recourse
(eds), Arbitration in India, against arbitral awards) and Sections 35-36, contained in Chapter VIII (finality and
(© Kluwer Law enforcement of arbitral awards), it regulates the making of final decisions of arbitral
International; Kluwer Law tribunals in India. As the law at the place of enforcement (and therefore the enforcing
International 2021) pp. 173 - court) regulates what qualifies as an award, this Chapter is important not only to Indian
194 parties but also to non-Indian nationals seeking to enforce against assets situated in
India. (1)
It is important to note that the 1996 Arbitration Act makes a distinction between arbitral
P 174 awards based on the seat of the arbitration. Part 1 of the 1996 Arbitration Act sets out
the general provisions on domestic arbitration and awards, while Part II governs the
enforcement of foreign awards. Chapter I deals with awards under the 1958 Convention on
the Recognition and Enforcement of Foreign Arbitral Awards (New York Convention) and
Chapter II with awards under the 1927 Convention on the Execution of Foreign Arbitral
Awards. While a domestic award is treated as a decree of the court and can be executed
straight away, a foreign award can become executable only if it is found to be
enforceable by a court of law under Section 48. (2) Therefore, it is essential to note that
certain types of formal requirements may be only specific to the type of award –
domestic or foreign.
The Arbitration Act, 1940 (1940 Arbitration Act) set out some rules on arbitral awards: they
had to be signed and their making had to be notified to the disputing parties. (3) It gave a
substantial amount of competence to the relevant court. (4) No other provisions were
included in the 1940 Arbitration Act. This has changed in the 1996 Arbitration Act with the
inclusion of Chapters VI, VII and VIII.
On the international sphere, the relevant instrument is arguably the most important
international text on arbitration: (5) the New York Convention. It was signed in 1958 and
entered into force in 1959 and has become the most often used tool in the toolkit of any
arbitration lawyer in the world. It has been signed by over 166 States and has promoted
international arbitration since its birth hour. The drafters of the New York Convention did
not include a definition of the term ‘award’. (6)
Before commenting on the relevant provisions, a brief discussion of the nature of an
arbitral award is warranted. Generally, there is no internationally accepted and
harmonised definition of the term ‘award’. Despite its importance, the authors are not
aware of any international or national legal instrument defining the term. One author has
attempted to define it by setting out its characteristics, which is the closest one can get:
An arbitral award constitutes a final and binding decision of an arbitral
tribunal, which disposes finally of a matter heard by the tribunal. (7)
Even the New York Convention, which takes its raison d’être from the existence of arbitral
awards, does not define the term. Article I(2) is the ‘nearest that […] comes to a definition’
(8) :
The term ‘arbitral awards’ shall include not only awards made by arbitrators
appointed for each case but also those made by permanent arbitral bodies to
which the parties have submitted. (9)
P 175
In the 1980s, there was discussion to add a definition to the UNCITRAL Model Law on
International Commercial Arbitration (Model Law) – the proposal was rejected. (10) What

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 was clear to all participants, however, was the fact that there is a difference between
final decisions of the arbitral tribunal and non-final decisions. (11) What follows is that an
arbitral award is the former. (12)
When an arbitral tribunal renders its award, it has the obligation to render an
enforceable award. (13) Of course, it is basically impossible to ensure and guarantee that
an award will be enforceable in any State in the world. However, to say it in the words of
one of the authors, it is ‘an “obligation to perform”, rather than an “obligation to achieve
a defined result”’. (14)
Having established the general meaning of ‘arbitral award’, a more thorough look at (9.2)
the effects of arbitral awards, (9.3) the different types of arbitral awards, as well as on
(9.4) the formal requirements is warranted. Finally, we conclude with a part on (9.5) the
enforceability of arbitral awards as well as (9.6) recommendations for the drafting of
arbitral awards.

9.2 EFFECTS OF ARBITRAL AWARDS

Why do disputing parties resort to arbitration? The advantages of arbitration have been
widely discussed; (15) among them, the end product of the arbitral tribunal’s work (the
arbitral award) finally resolves the dispute in a speedy and enforceable manner.
Pursuant to Section 36(1), 1996 Arbitration Act, an award is enforced ‘in the same manner
as if it were a decree of the Court’. Consequently, domestic arbitral awards have the same
nature and ‘legal value’ as court decisions.
As a result, the decisions laid out in the dispositive of the award have three main effects,
which this part discusses. First, they are final and binding and are enforceable. Hence,
they produce a res judicata effect. Second, an arbitral award renders the arbitral tribunal
functus officio – it has done its job and ceases to exist. Third, the award lists the remedies
granted by the arbitral tribunal.

9.2.1 Finality – Res Judicata

Section 35 of the 1996 Arbitration Act expressly states that ‘an arbitral award shall be
P 176 final and binding on the parties and persons claiming under them respectively’. Thus,
an award has a final nature and res judicata effect. This effect means that once a dispute
resolution forum has determined and decided an issue brought before, it ‘cannot later be
put back into question as between the same parties’. (16) This means that a ‘particular
claim or matter [is resolved] with preclusive effect’. (17) Consequently, all decisions of an
arbitral tribunal that qualify as awards are final. (18)
Pursuant to Section 29 of the 1996 Arbitration Act, ‘any decision of the arbitral tribunal
shall be made by a majority of all its members’. The consequence of a majority is the
existence of a minority. Generally, in international arbitration a majority decision
inevitably leads to dissenting, separate or concurring opinions expressed by the
minority. As Section 29 of the Act already hints, this does not prevent the award from
being a final and enforceable award. If an arbitrator issues a dissenting, separate or
concurring opinion, it can be added to the arbitral award, yet does not form part of the
award. It seems to be common practice to allow for dissents – it has even been argued
that permitting them contributes to the ‘deliberative process and can provide a valuable
check on arbitrary or indefensible decision-making’. (19)
Finally, Section 30 of the 1996 Arbitration Act states that a settlement is to be encouraged
by the arbitral tribunal and, upon request by the parties, can be recorded. (20) As a
result, not all disputes are finally decided by the arbitral tribunal and lead to an award.
The parties can settle their dispute and request the tribunal to issue an award on the
basis of the settlement.

9.2.2 Arbitral Tribunal Becomes Functus Officio

The result of a final arbitral award is that ‘the mandate of the arbitral tribunal shall
terminate with the termination of the arbitral proceedings’. (21) This is called rendering
the arbitral tribunal functus officio – it has reached the end of its mandate and ceases to
exist. The reason for this is simple.
Arbitral tribunals are established on an ad hoc basis and find their reason to exist in the
arbitration agreement between the disputing parties. In the agreement, the contracting
parties agree to submit a dispute to an arbitral tribunal. Once a dispute arises, the
arbitral tribunals’ task is the resolution of this specific dispute(s). This materialises in its
end product: a final and binding arbitral award.
‘All ‘awards’ are ‘final’ in the sense that they dispose ‘finally’ of the issues decided in
them (subject to any challenge or procedure for correction or interpretation), and they
P 177 are ‘binding’ on the parties.’ (22) Section 32, 1996 Arbitration Act states that the
‘arbitral proceedings shall be terminated by the final arbitral award’. Moreover, the
provision foresees three additional scenarios in which the arbitral proceedings are
terminated: 1) withdrawal of the claim by the claimant, (23) 2) an agreement of the
disputing parties to discontinue and terminate the proceedings, and 3) a finding of the
arbitral tribunal. For the sake of completeness, Section 33 1996 Arbitration Act must be

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 mentioned briefly, which allows for corrections and interpretations of the arbitral award
by the arbitral tribunal. This can either be done within 30 days after the issuance of the
award by the arbitral tribunal itself (24) or requested by a disputing party. (25) This does
by no means mean that the arbitral tribunal ‘comes back to life’ and can revisit its
decision but rather that it is given the opportunity to correct or explain its decision.
Generally, requests for correction of arbitral awards frequently relate to computational
errors. These are to be avoided. (26)

9.2.3 Remedies Granted in Awards

Various kinds of remedies can be granted by arbitral tribunals. The Act imposes no
specific limitations on remedies available in arbitral proceedings. In the final award, the
arbitral tribunal can grant a declaration, order the payment of a sum of money including
interest, order injunctive relief, or order specific performance. In this regard, Indian law
only provides for damages that are compensatory in nature – exemplary or punitive
damages are not available for breach of contract. (27) Furthermore, the arbitral tribunal
can grant interim relief in the form of: (1) preservation or custody of goods, (2) inspection
and preservation of property, (3) maintenance of the status quo and restriction of the
dissipation of assets, (4) interim injunctions, (5) order securing the amount in dispute and
(6) appointment of receivers. (28) In interim awards the arbitral tribunal can order an
injunction and order a party to engage (or not engage) in particular actions.
Issues related to sovereign immunity – from jurisdiction or execution – can arise when
one of the parties is a State or a State owned-entity. Section 86 of the Code of Civil
Procedure states that the Government of India’s prior consent is required before
instituting ‘a suit’ against foreign States and their organs. Under said provision, the
P 178 consent will only be granted in the following circumstances: (1) if the foreign State has
instituted ‘a suit’, (29) (2) if the foreign State or its organ trades within India or possesses
immovable property in India or (3) if the State has expressly or impliedly waived its
immunity. (30) However, the doctrine of sovereign immunity is not absolute and as
illustrated in the jurisprudence States and their organs may not be protected from
judicial proceedings with respect to their commercial activities and contractual
breaches. (31)
In this regard, it is important to note that the Supreme Court has held that the expression
‘suit’ in Section 86 should be construed strictly and does not bar jurisdiction under the
1996 Arbitration Act. (32) On the other hand, the Delhi High Court has held that a State
agreeing to an arbitration clause is not a waiver from the State’s immunity from
jurisdiction. (33) Yet, this is not further clarified in the legislation. In its 176th Report, the
Law Commission of India emphasised the need to have separate State immunity
legislation in India, particularly, to address the issues arising in relation to arbitrations.
(34) However, to date there has been no development on the issue.

9.3 TYPE OF AWARDS

In a simple world, there is only one arbitral award rendered by the arbitral tribunal.
However, the world is not simple and disputing parties can expect ‘more than one award
in any given dispute’. (35) Moreover, a final award can also record the decision of an
arbitral tribunal hearing multiple claims. (36)
The English Arbitration Act 1996 provides for two basic awards, a ‘final award’ that
P 179 disposes of all the issues of the claim and a ‘provisional award’ that deals with issues
pending a final award. (37) In addition, it also recognises the following awards which fall
ultimately within one of the two basic awards, ‘partial award’, ‘default award’, ‘award on
agreed terms’, ‘silent award’ and ‘costs award’. (38)
In contrast, the 1996 Arbitration Act only expressly provides for final awards and interim
awards. (39) This is not surprising as the 1996 Arbitration Act is based on the Model Law
which also did not provide for ‘partial award’ or ‘partial final award’. (40) However, courts
have expanded the narrow text of the provision by widely interpreting the expression
‘arbitral award’ in Section 2(1)(c) of the Act to encompass even partial awards. (41) Below
this part discusses seven types of awards.

9.3.1 Interim Awards

Arbitral tribunals have the power to render interim awards. (42) The 1996 Arbitration Act
expressly empowers the tribunal to make interim arbitral awards at any stage of the
proceedings. (43) There is no single definition of the term ‘interim’. An interim award can
refer to at least two different types of decisions. It is advisable to clearly set out in the
text of the decision what the nature of the decision is. (44)
First, an arbitral tribunal may want to provisionally decide a matter to grant provisional
relief. This is also foreseen by the 1996 Arbitration Act. Section 31(6) allows the arbitral
tribunal to ‘make an interim arbitral award on any matter with respect to which it may
make a final arbitral award’ at any time during the arbitral proceedings. Hence, the
award is not final but provisional. It is important to note that while tribunals have the
power to make interim awards, under the Act, the finality of the award is the determining
factor for the purposes of recognition and enforcement. (45) If the award is intended to

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 take effect only until the final award is rendered, it will not fulfil the finality criteria and,
therefore, would not be enforceable nor considered to be a final award. (46)
Second, in practice, the term is sometimes misused for awards made at an interim stage
of the arbitral proceedings, which already constitute a final and binding decision of the
dispute. Correctly, such an award is called a ‘partial award’. The expressions ‘interim
P 180 award’ and ‘partial award’ seem to be used interchangeably, as illustrated by the
Supreme Court’s judgment in McDermott International Inc. v. Burn Standard Co. Ltd. where
it stated ‘[a]n interim award in terms of the said provision is not one in respect of which a
final award can be made, but it may be a final award on the matters covered thereby, but
made at an interim stage’. (47)

9.3.2 Partial Awards

Partial awards are decisions of the arbitral tribunal that decide with finality a ‘part’ of
the issues of the claim before a final award is made that addresses the rest of the issues
before the arbitral tribunal. A partial award is final with respect to the specific issues it
deals with. It is therefore a powerful tool to decide matters early on, which contributes to
the efficiency of the arbitration. (48) A relevant example is the bifurcation of
proceedings. Why would an arbitral tribunal hear submissions on the merits of a dispute,
if it is debatable or sometimes even obvious from the outset that it will decline
jurisdiction? By issuing an award on jurisdiction only, the arbitral tribunal will save the
disputing parties time and money. (49)
The 1996 Arbitration Act does not contain any express provisions on partial awards.
However, the existence of such a power can be inferred from a conjoined reading of
Sections 2 (1)(c), 32 and 35. Section 35 of the 1996 Arbitration Act states that ‘an arbitral
award shall be final and binding on the parties and persons claiming under them
respectively’. This can be contrasted with Section 32, 1996 Arbitration Act, which states
that the ‘arbitral proceedings shall be terminated by the final arbitral award’. Hence, the
Act seems to accept that there are partial awards, which are final and binding. The final
award of the arbitral tribunal, however, terminates the arbitral proceedings.
Some international rules as well as domestic laws contain reference to partial awards
such as Article 34(1) 2013 UNCITRAL Arbitration Rules. (50) However, issuing partial awards
is possible for India-seated arbitral tribunals and nothing in the Arbitration Act prevents
arbitral tribunals from rendering partial awards. On the one hand, an arbitral tribunal
has the competence to issue partial awards as this ‘authority is inherent in the
arbitrators’ mandate to resolve the parties’ dispute in an efficient manner’. (51) On the
other hand, the arbitral tribunal is just the captain steering the ship, with the owners of
P 181 the ship (the disputing parties) retaining control. The principle of party autonomy
allows the disputing parties to mutually agree on an exclusion of partial awards,
requiring the arbitral tribunal to render one single award. (52)

9.3.3 Fast Track Procedure Awards

The Arbitration and Conciliation (Amendment) Act, 2015 (2015 Amendment) added a
provision to the 1996 Arbitration Act, which lays down rules on a ‘fast track procedure’.
What sounds like a 100-meter sprint arbitration actually constitutes an option for an
expedited arbitration to ensure a speedy resolution of a dispute. The fast track
procedure is the Indian equivalent of a documents-only arbitration. For the sprinter to be
given starting permission, the disputing parties have to agree in writing to consent to
appointing a sole arbitrator who decides the dispute on the basis of written pleadings,
documents and submissions filed by the parties without any oral hearing. (53) An oral
hearing will only be held if all the parties make a request or if the arbitral tribunal
considers it necessary. (54)
How long is the race? Section 29B(4) of the 1996 Arbitration states that a fast track award
must be made within six months after the constitution of the arbitral tribunal. The
provision does not clarify the exact appointment mechanisms. It is to be expected that in
case a mutual decision cannot be reached, the competent court can either appoint the
sole arbitrator or select an appointing authority. An arbitral award issued through a fast
track procedure arbitration is considered a ‘normal’ award under Sections 32 and 35 and
can be enforced pursuant to Section 36 of the Act.
As a practice tip, in case the relief is urgent, a practitioner will need to consider whether
it is more efficient to go straight to the competent court, wait for the arbitral tribunal to
get constituted or get an emergency award and deal with the consequences. (55) Under
Indian law, the options of disputing parties are the following: 1) go to the court for interim
relief; 2) wait for the arbitral tribunal to get constituted and get interim relief; 3) go
through an emergency arbitrator and take the emergency award back to court, which
could: a) enforce the emergency award, b) refuse to enforce the award or c) order interim
relief along the same lines as the arbitral tribunal.

9.3.4 Emergency Awards

In certain circumstances, parties would require an immediate award or order to maintain
status quo or to prevent the other party from furthering the breach. The urgency of the
situation may not allow enough time for the appointment of an arbitral tribunal, which

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 can take a few months. To address the issues arising from such circumstances, arbitral
P 182 institutions have come up with the emergency arbitrator procedure which aims to
provide immediate or quick arbitral relief before the substantive tribunal is formed.
Arbitral institutions that have adopted emergency arbitrator mechanisms include the
ICC, ICDR, SIAC, SCC, and LCIA. (56)
Under most arbitral institutional rules, emergency awards are considered interim-
binding, with the possibility of them being varied or suspended once the tribunal is
constituted. This non-final nature of an emergency award means that the Indian courts do
not enforce it. The 1996 Arbitration Act does not provide for emergency arbitrators; such
relief is expected to be sought from the courts under a Section 9 application. Courts have
clearly stated that foreign emergency awards are not enforceable under the Act. (57)
However, parties are free to approach the competent court with a Section 9 application
for interim measures. The relief available for emergency awards is, therefore, the same as
for interim measures. (58)
The Law Commission of India in its 246th Report had recommended recognising the
concept of emergency arbitrator by widening the definition of arbitral tribunal under
Section 2(d) of the Act to include the possibility of resorting to emergency arbitrators. (59)
However, this recommendation was not incorporated in the 2015 Amendments. Following
the 2015 Amendments, the subsequent Law Commission of India Report had suggested
once again that emergency arbitration be allowed under the Act and proposed suitable
amendments to the Act. (60) However, despite the recommendation, no emergency
arbitration provision was included when the Act was further amended in 2019.

9.3.5 Consent Award – Award on Agreed Terms

Even after the commencement of an arbitration, parties can explore the possibility of
settling the dispute. Settling a dispute outside judicial and arbitral hearing rooms must
always be an option for the party representatives to consider as a matter of case
strategy. The 1996 Arbitration Act expressly states in Section 30(1) and (2) that settlement
is to be encouraged and, upon request by the parties, can be recorded in a consent
award. For such an award, the parties can negotiate to reach a resolution of the dispute.
If they request the arbitral tribunal to then render an award, the latter must comply with
the form requirements pursuant to Section 30(3). They are the same as required from
‘regular’ awards under Section 31 as discussed in Part 9.3.6. It is advisable for the
P 183 arbitral tribunal to ensure that the award states that ‘it is an arbitral award’. The biggest
advantage of recording a settlement in an arbitral award is the enforceability of the
latter. (61) From a practical perspective, it is important to note that an ‘arbitral tribunal
has the authority to make a consent award only if the parties commenced an arbitration
regarding an actual dispute’. (62)
Finally, Section 30(4) of the Act sets out that the consent award ‘shall have the same
status and effect as any other arbitral award on the substance of the dispute’. As a
consequence, the consent award constitutes a final and binding decision upon the
disputing parties. It can, therefore, be enforced under the enforcement regime. (63)

9.3.6 Final Award

The term ‘final award’ is twofold. There is a difference between a final award resolving a
matter and the final award rendering the arbitral tribunal functus officio. (64)
On the one hand, Section 32 of the 1996 Arbitration Act states that the ‘arbitral
proceedings shall be terminated by the final arbitral award’. In this provision the
Arbitration Act refers to the ‘last’ award of the arbitral tribunal, which decides the
outstanding issues the arbitral tribunal is confronted with and renders the tribunal
functus officio. It ‘completes the mission of the arbitral tribunal’. (65) Therefore, an
arbitral tribunal must ensure that it has considered and resolved the claims brought by
the disputing parties not leaving behind any gaps, which will potentially give rise to any
post-award proceedings putting the recognition and enforcement at risk.
This is not to be confused with a final award that decides a particular claim and which
‘disposes ‘finally’ of an issue’, may also be expressed as a ‘partial award’ or ‘partial final
award’. (66) This means that a ‘particular claim or matter [is resolved] with preclusive
effect’. (67) Consequently, all decisions of an arbitral tribunal that qualify as awards are
final. (68) Section 35 of the 1996 Arbitration Act expressly states that ‘an arbitral award
shall be final and binding on the parties and persons claiming under them respectively’.

9.3.7 Additional Award

In line with international practice, the 1996 Arbitration Act foresees the possibility of
arbitral tribunals to render an additional award. Such additional award is supposed to
remedy a lacuna of the actual final award. (69) Two scenarios can be envisaged, in which
P 184 an additional award is warranted. Either it corrects or interprets the initial final award
or it fills a gap of the former. Its purpose is exclusively to interpret, correct or add to a
final award of the arbitral tribunal. Most arbitral rules contain provisions regulating the
procedure, which is to be followed if an additional award is warranted. (70) This goes in
line with the functus officio doctrine as described above. (71) The arbitral tribunal does
not revisit and change its award (and hence cannot be brought back to life) but rather

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 explains or supplements its initial decision.
Section 33 of the Act, while inspired by the UNCITRAL Model Law, is similar to Section 152
of the Code of Civil Procedure 1908. The latter provision states that judgments or decrees
may be corrected in case of clerical or mathematical errors or omissions. (72) Relief
under Section 33 can only be sought in case of errors or omissions – parties cannot use it
as a tool to have the arbitral award reviewed. (73) If a disputing party wishes the arbitral
tribunal to correct or interpret the award, Section 33(1) sets out strict time limits for the
submission of such a request. The parties have 30 days (unless mutually agreed
otherwise) to ask for a correction of the arbitral award. However, the arbitral tribunal has
the competence to consider the request and decide whether it is justified or not. (74) As a
consequence, the arbitral tribunal may reject the application.
One specificity contained in Section 33(4) of the 1996 Arbitration Act must be noted: if the
arbitral award, as rendered by the arbitral tribunal, does not cover all the claims brought
by the disputing parties, one party can request an additional award from the arbitral
tribunal on the matter. (75) This must be requested and notified to the other party. Again,
if the tribunal considers the request justified, it has the power to accept or reject the
task, (76) and to extend the time limit. (77) Finally, the same form requirements as to all
awards apply. (78) The later award is considered as an additional award which is separate
from and cannot be merged with the first award unlike in case of correction or
interpretation of an award under Section 33(1). A party making an application under
Section 33 benefits from a fresh commencement of the period of limitation for setting
aside proceedings. Instead of the date of the arbitral award, the period of limitation will
commence from the date of the corrected arbitral award or from the date of dismissal of
the Section 33 application. (79)
P 185

9.4 FORM REQUIREMENTS OF ARBITRAL AWARDS

9.4.1 Introduction
There is no definition of the term ‘arbitral award’. Generally, the concept is defined by
using an award’s characteristics: final and binding resolution of the claims brought before
an arbitral tribunal. Moreover, to constitute an enforceable award, the award has to
comply with certain form requirements. They are a crucial aspect in practice, as it goes to
enforceability.
Generally, most international instruments do not impose detailed form requirements.
Furthermore, arbitral rules include references to the form of arbitral awards. (80) Section
31 of the 1996 Arbitration Act sets out the required formalities. Moreover, the Indian
Stamp Act and the Registration Act play a role. In practice, the following checklist should
be borne in mind: the award must: 1) be made in writing, 2) be signed and dated at the
place of arbitration, 3) be reasoned (others would call it ‘motivated’), 4) include a
reference to interest, 5) be timely, 6) be sent to parties, 7) be stamped and registered.
Below, this point follows the structure of the Act to discuss the form and the content of an
arbitral award, the inclusion of interest, time limits and a crucial aspect for awards in
India: stamp duties and registration.

9.4.2 Form and Contents of Arbitral Award

The 1996 Arbitration Act’s crucial provision regulating the formal requirements is Section
31 ‘[f]orm and contents of arbitral award’. According to said provision, the arbitral award
should be made in writing and must be signed by the majority of the arbitral tribunal so
long as the reason for the omitted signature is stated. (81) The arbitrators should state
the reasons upon which it is based unless: 1) the parties have agreed that no reasons are
required or 2) the award is on agreed terms under a settlement. (82) The arbitral award
must state the date and place of arbitration as determined in accordance with Section
20 and the award shall be deemed to have been made at that place. This might cause
confusion among international arbitration practitioners: according to the terminology of
the Act, the place of arbitration is the term used instead of seat. (83)
Once the arbitral award is made, a signed copy must be delivered to each party. (84) This
P 186 requires the arbitral tribunal (with the assistance of the administering institution) to
send a hard copy to the disputing parties. If they agree that their legal representatives
receive the copy, the representatives may act as point of contact as well. (85)

9.4.3 Interest
If the decision of the arbitral tribunal awards a payment of money, the tribunal may
include in the sum for which the award is made a component of interest. This interest
must be at a rate the arbitral tribunal deems reasonable, on whole or any part of the
amount awarded, for the whole or any part of the period between the date on which the
cause of action arose and the date on which the award is made. (86)
In Chittaranjan Maity v. Union of India the Supreme Court held that the arbitral tribunal
could not have awarded pre-award interest as the parties had expressly agreed to
prohibit a payment of interest on amounts payable under the contract. (87)

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 Consequently, the parties should expressly agree in the contract on the non-payment of
interest on any amounts of money payable under the contract, if they intend to avoid
disputing the payment of pre-award or post-award interest. (88)

9.4.4 Time Limits

The time limit of Section 29A 1996 Arbitration Act, which was introduced by the 2015
Amendment and discussed intensively, (89) imposes strict deadlines on the arbitral
tribunal. The Act distinguishes between international awards and matters ‘other than
international commercial arbitrations’.
In particular, Section 29A(1), introduced by the Arbitration and Conciliation (Amendment)
Act, 2019 (2019 Amendments), states that in domestic arbitrations (the provision states ‘in
matters other than international commercial arbitrations’) the arbitral tribunal must
render the award within 12 months ‘from the date of completion of pleadings under sub-
section (4) of section 23’. (90) However, the time limit is not absolute, as Section 29A(3)
allows the disputing parties to extend the period by mutual agreement by six months. If
the disputing parties consent to extend the period of 12 months, the arbitral tribunal may
be given a further 6 months to render the award. For any further extensions, an
application must be made to the courts. If the award is not made within the specified
period of 12 months or any extended period consented by parties, the mandate of the
arbitrator(s) will be terminated, unless the competent court has, either prior to or after
the expiry of the time limit, extended the period. (91) Yet, if the court considers that the
P 187 arbitral tribunal is responsible for the delay it has the power to reduce the arbitrator
fees – this serves as an incentive for the arbitral tribunal to render its awards on time.
(92)
However, tribunals hearing an international commercial arbitration have more leeway as
they are not bound by the strict timeline of 12 months and, therefore, there is no question
of their mandate being terminated by the passage of time. (93) They may act as
expeditiously as possible and endeavour to pass an award within twelve months from the
date of completion of pleadings (statement of claim and defence). (94)

9.4.5 Stamp Duty and Registration: An Additional Requirement

For an arbitral tribunal’s end product to be enforceable in India, an additional formal
requirement must be satisfied, which is not found in the 1996 Arbitration Act. In
accordance with the Indian Stamp Act, 1899 (1899 Indian Stamp Act), an arbitral award
must be stamped. Moreover, if the award relates to immovable property, Section 17 of
the Registration Act (1908 Registration Act) requires the award to be registered.
These further formalities ought to be followed to ensure that there are no challenges at
the enforcement stage. The fact that the Arbitration Act does not elaborate on or state
whether the ‘signed copy’ of the arbitral award should be duly stamped or registered,
which has been the practice in India, resulted in ambiguity as to the applicability of the
provisions of the 1899 Indian Stamp Act to arbitral awards. In practice, this requirement
says that the arbitral award must be printed on a non-judicial stamp paper. This is based
on Schedule 1 of the 1899 Indian Stamp Act, which deals with award. Furthermore, Section
35 of the 1996 Arbitration Act states that an unstamped or insufficiently stamped award is
inadmissible for any purpose and not acted upon, unless validated by payment of the
requisite stamp duty and penalties. (95)
Additionally, pursuant to Section 17 of the 1908 Registration Act an award which affects
immovable property requires to be compulsorily registered, failing which, it shall be
rendered invalid. (96) The Supreme Court in M. Anasuya Devi v. Manik Reddy stated that
issues relating to the stamping and registration of an arbitral award can be raised at the
stage of enforcement: ‘The question as to whether the Award is required to be stamped
and registered, would be relevant only when the parties would file the Award for its
enforcement under Section 36 of the Act.’ (97) The Supreme Court also held that the
requirement of stamping and registration of an arbitral award fell within the ambit of
Section 47 of the 1908 Civil Procedure Code (CPC) instead of Section 34 of the Arbitration
Act which regulates the application for setting aside arbitral award.
The 1899 Stamp Act applies in respect to arbitral awards throughout India, but some
States have passed separate Stamp Acts to govern stamp duties in their States.
Therefore, the stamp duty to be paid may vary from State to State depending on where
P 188 the arbitral award is made. According to Schedule 1A to the Stamp (Delhi Amendment)
Act 2001, the stamp duty is calculated at roughly 0.1% of the value of the property to
which the award relates, whereas according to the Maharashtra Stamp Act, the stamp
duty for arbitral awards stands at INR 500 in Mumbai. It is advisable to check the current
stamp duty charges of the specific State before signing the arbitral award.
It is important to note that the stamping and registration requirements aforementioned
are only applicable to domestic awards. The Supreme Court has held in M/S. Shri Ram
EPC Limited v. Rioglass Solar SA that a foreign award need not be stamped. (98) In
subsequent judgments, High Courts have followed a similar approach in holding that
issues of stamp duty cannot come in the way of deciding whether an award is enforceable
or not and that foreign awards do not require to be registered and can be enforced as a
decree. (99)

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 The COVID-19 pandemic has shown a trend towards more digitalisation, which opens the
debate whether signed online awards in PDF format (or other available formats) can
satisfy the requirements of Section 31(4) of the 1996 Arbitration Act. Current Indian
practice does not foresee such digitalisation. Whereas theoretically, it was possible: if
the courts agree that ‘delivering’ a signed copy to each party may include an electronic
file (which will likely become a standard in the future), there is only one step to satisfy:
the electronic stamping. Recently, the Stockholding Corporation of India Ltd. has been
given the competence to provide e-stamp services, which allows for the payment of
stamp duties for some Indian States. (100) In Maharashtra, an e-stamping facility has
been set up: the Electronic Secure Bank and Treasury Receipt. (101) Apart from stamping
arbitral awards, they must also be registered under Section 17 of the 1908 Registration
Act if the award touches upon the ownership of immovable property. At the time of
writing, none of the Indian States allows for electronic registration of arbitral awards.
(102) The COVID-19 pandemic has fast-forwarded the trend towards more digitalisation. In
April 2020, the Supreme Court issued directions to all Indian courts to implement
videoconferencing technology for further functioning of courts. (103) Hence, virtual
arbitrations are likely to play an important part in the future of international arbitration.
P 189

9.5 ENFORCEABILITY
The reader will have noticed the often-made reference to arbitral awards being the end
product of a successful arbitration. For this end product to be put to good use, it must be
enforceable. Above, it was already mentioned that when an arbitral tribunal renders its
award, it has the obligation to render an enforceable award. (104) Of course, it is
basically impossible to ensure and guarantee that an award will be enforceable in any
(or all) State(s) in the world. However, the tribunal has ‘an obligation to perform’, rather
than an ‘obligation to achieve a defined result’. (105) It must, therefore, do anything in its
power to ensure enforceability. (106)
Of course, enforcement is unavoidably intertwined with challenges to arbitral awards (so-
called setting-aside procedures). They are therefore discussed at the same time. In
Indian law, Sections 35 and 36 of the 1996 Arbitration Act regulate the recourse against
arbitral awards. Additionally, Chapter VIII refers to the finality and the enforcement of
arbitral awards. Moreover, the New York Convention, to which India is a State party and of
which the 1996 Arbitration Act is the implementing legislation, plays a vital role in the
enforcement of arbitral awards. (107)
Setting aside. The reasons for setting aside an arbitral award are set out in Section 34 of
the 1996 Arbitration Act. With regards to arbitral awards, two grounds are of relevance.
First, the award can be set aside if the arbitral tribunal exceeds its powers. Section 34(2)
(a)(iv) of the Act states that any part of the award going beyond the competence of the
arbitral tribunal as set out in the arbitration agreement or going beyond the scope of the
submission to arbitration may be set aside. Second, the provision puts an emphasis on
the public policy of India. (108) An arbitral award may be set aside on grounds of conflict
with public policy only if the arbitral award was made by fraudulent or corrupt means,
goes against the fundamental policy of India or is in conflict with the ‘most basic notions
of morality or justice’. (109) This goes in line with Article V(2)(b) of the New York
Convention, which states that the enforcement may be refused if the ‘competent
authority [...] finds that [...] the enforcement of the award would be contrary to the public
policy of that country’. Arbitral awards arising out of arbitrations other than international
commercial arbitrations may also be set aside on grounds of the award being vitiated by
patent illegality. (110)
Enforcement. Sections 36 and 48 of the 1996 Arbitration Act set out the process for having
an arbitral award enforced in India. (111) This becomes necessary if the unsuccessful
P 190 party is not complying with the decision of the arbitral tribunal, which happens in the
minority of cases. (112) After the time limit for having the award set aside has expired, an
application for enforcement can be made to the competent court in accordance with the
applicable provisions of the CPC. (113) One final warning, however, is warranted here. It is
important to remind the reader that once such application is filed and becomes part of
the court docket, it becomes public knowledge. Whereas confidentiality is one of the
advantages of arbitration (and included in Section 42A of the Act), (114) a recent trend to
more transparency can be noted. (115)

9.6 GUIDELINES FOR THE DRAFTING OF AN ARBITRAL AWARD

The best awards are short, reasoned, and simply written in clear, unambiguous language.
An arbitral tribunal should aim at rendering a correct, valid, and enforceable award. (116)
This is timeless advice. Such guidelines, however, are not contained in any legislation or
arbitral rules. Whereas most arbitration laws contain provisions requiring arbitral awards
to be in writing, signed and dated, they are silent on how to properly draft an arbitral
award. Arbitrators and tribunals are left to devise arbitral awards according to their own
preferences and styles. This is also a common approach of arbitral institutions such as
the HKIAC or the PCA. (117)

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 This part concludes the Chapter on arbitral awards by setting out certain drafting
guidelines based on the experience of prominent arbitrators and specialists. (118)

9.6.1 Form of the Arbitral Award

Part 9.4.2 has already set out the requirements of form under Indian law. It is, however,
necessary to go a step further when drafting an arbitral award and pay attention to the
following points.
Cover. The cover of the arbitral award must identify all parties to the arbitration.
Therefore, include the correct names, addresses and contact numbers of the disputing
parties, their representatives, the members of the arbitral tribunal and (if applicable)
the administrative secretary. Furthermore, the cover must feature the date on which the
award was made and what kind of award it is – interim award, partial award, final award,
agreed award by consent, by default or any other.
P 191
Introduction and summary. The arbitral award should set out the text of the agreement to
arbitrate and the choice of law clause, if any. Make references to the arbitral tribunal’s
procedural orders, as this sets out the procedural history of the arbitration. However,
avoid quoting verbatim (copy and paste) all past procedural decisions which would
unnecessarily fill pages of the arbitral award. Some references, however, are useful to
show a balanced approach by the arbitral tribunal in treating the disputing parties in a
fair and equitable way. Moreover, briefly summarise relevant claims and arguments
advanced by each disputing party. Again, this shows that the principle of due process was
taken into account and the disputing parties were ‘heard’ by the tribunal.
Time limits. The 1996 Arbitration Act prescribes that an award must be made as
expeditiously as possible and in certain cases, within 12 months of filing of pleadings.
(119) Time limits for making an arbitral award may be mandatory. An arbitral award made
out of time may affect the validity of the arbitral award. It is good practice for arbitrators
to start early with the procedure of drafting an arbitral award and keep updating it as the
case progresses. For example, taking into account that most tribunals consist of
arbitrators based in different countries, it is essential to provide for sufficient time for
the final draft of the arbitral award to be circulated between the arbitrators for their
respective signatures. Concluding this point, the arbitral tribunal should build in
deliberation time very close to (ideally immediately after) the relevant hearings so
issues are fresh and timelines will be met.
Clarity and writing. Valid requests for correction of arbitral awards frequently relate to
computational errors. Consequently, double-checking the math is always worthwhile.
Here, we must emphasise the importance of clear, unpretentious expository writing. This
is all the more important when the writers or readers are working in a non-native
language. Elaborate sentence structure impresses no one because everyone knows that
more skill and effort go into setting the reasoning out clearly and accurately. Convoluted
language leaves the reader confused, if not actually misled. It betrays not erudition, but
very often a lack of adequate reflection which leads to unhelpful hedging and
qualifications. If the award was prepared by more than one arbitrator, it needs to be
harmonised for spelling, grammar and style.

9.6.2 Substance of the Arbitral Award

Summary of claims. Briefly set out the claims and arguments advanced by each party.
These can be summarised, and a list of issues may be included.
Issues dealt with. The question as to whether the tribunal should deal with all issues or
only the dispositive ones often arises and is a tricky one. It is advisable that the attention
should be concentrated on the issues the arbitral tribunal considers decisive. They are
addressed by setting out a detailed reasoning regarding the substantive merits of the
case and a clear statement of the arbitral tribunal’s decision on each disputed issue. The
P 192 tribunal should also deal with any other arguments and claims raised by the parties, if
only to dismiss them in a few sentences – to show that none of the arguments or claims
have been overlooked. This can be done through a catch-sentence such as ‘whilst all
evidence and every submission has been carefully considered by the arbitral tribunal,
the award does not set out every point in terms’.
Interest. Arbitral awards sometimes deal with claims for interest rather perfunctorily. The
sums involved are often considerable, and if interest is awarded, the arbitral award must
give it proper consideration. The award must clearly state whether it is simple or
compound interest, at what rate it is to run, and from what date or dates. Finally, add the
reasons behind the award of interest. (120)
Costs. Another aspect the arbitral award must generally address is costs. (121) It is
sometimes dealt with rather perfunctorily. Costs should be considered and dealt with in
detail with reasonableness being the primary guiding factor. Whereas it might be correct
that if the client has approved the expense, it should prima facie be considered
reasonable, this does not apply where the client follows the ‘spend what it takes’
approach. Finally, give reasons for the decision as the disputing parties often feel costs
decisions are unreasoned.

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 Obiters. The arbitral tribunal should limit any obiter. If the arbitral tribunal decides to go
beyond the disputing parties’ submissions, give them the opportunity to react. This can
happen at a hearing or in post-hearing briefs.

9.6.3 Dispositive Part of the Arbitral Award

Reasoning. The tribunal’s reasoning is the most important part of the arbitral award and a
mandatory requirement under most arbitration laws and arbitral institution’s rules. An
arbitral award must contain the tribunal’s ultimate findings and decisions, which should
be firmly and precisely stated to prevent any requests for correction or interpretation. A
well-expounded decision will also assist courts in later recognition, enforcement, setting-
aside or annulment proceedings to understand the rationale behind the tribunal’s
decision-making process. Therefore, the arbitral tribunal must ensure that the dispositive
part is capable of enforcement. Covering all necessary issues in clear language will
contribute to enforceability.
Dispositif. The dispositive part of the arbitral award should deal with all the disputing
parties’ claims for relief, as finally expressed during the course of the proceedings – and
of course with any counterclaims. It is also good practice to state expressly that all other
claims and requests are rejected. This can be done through a catch-sentence such as ‘all
other claims are dismissed’. In particular in India, avoid any determination that might be
construed as offending public policy.
Signature clause. The dispositive part of the arbitral award is followed by the signature
clause, which in addition to the actual signatures should record the date and the place of
P 193 arbitration. It is a fundamental requirement that an arbitral award must be signed.
(122) Therefore, the tribunal should ensure that there are sufficient number of signed
originals – it is good practice to ensure that there is one signed copy for each party, one
for each of the arbitrators and one for the arbitral institution, if required. In the case of a
dissent explain why the dissenting arbitrator has not signed the award and include the
dissenting opinion if required/allowed.

9.6.4 Institutional Support

Administrative assistance. While drafting an arbitral award is exclusively in the tribunal’s
domain, as can be seen from above, it is essential for an arbitral award to be drafted in a
proper manner. Arbitral institutions, in addition to assisting with the efficient
administration of arbitration, can be of great assistance to tribunals in the drafting of the
arbitral award as long as properly supervised. The level of scrutiny to which arbitral
institutions submit awards differs widely. Under Article 33 of the 2012 ICC Arbitration
Rules, the ICC International Court of Arbitration submits the award to a considerable
level of scrutiny and may even draw the arbitrators’ attention to points of substance.
(123) Article 28(2) of the 2013 SIAC Arbitration Rules contains a similar provision. (124)
Other arbitration rules do not provide for a comparable scrutiny process. (125) If so, it
remains the duty of the arbitral tribunal to ensure that the matters of quantum are
double-checked such as currency, currency conversion or the calculation of interest.
Moreover, check all citations, the format of citations, the spelling of names, etc. – a
spellcheck can do some unintentional changes that need to be caught before the final
award is issued.
Tribunal secretary. Some of the benefits of an arbitral institution or involving a tribunal
secretary are the following. First, arbitral institutions may subject the arbitral award to a
review/proof check wherein clerical errors, calculation mistakes and other deficiencies
that are discovered can be brought to the tribunal’s notice for corrections. Second, a
tribunal secretary can perform an important role in ensuring that the tribunal produces
an award within the time limits, by recording the procedural history of the arbitration
and preparing a framework of the arbitral award which includes all the necessary
elements mentioned above. Clerical and administrative tasks can be performed at a
lesser cost to the parties.
No delegation. However, it is important to note that the tribunal must carefully supervise
the role of the tribunal secretary and make sure that no decision-making role is
delegated to the tribunal secretary. Perceived over-delegation of work to tribunal
secretaries meets harsh criticism, to the extent that they have been described as the
fourth arbitrator. Awards have even been challenged on grounds of the arbitral tribunal
P 194 not fulfilling its mandate as the tribunal secretary had drafted large parts of the
arbitral award. (126)

9.6.5 Due Process and Confidentiality

Finally, we must include a plea to always pay attention and respect due process and
confidentiality. Due process includes strict equality between the disputing parties. For
further information refer to the Böckstiegel Method on timely arbitrators and the Redfern
Schedule on the production of documents. (127) Furthermore, the arbitral tribunal must
ensure the confidential treatment both of the existence of the arbitration and of all
documents relating to the arbitration. Ensuring their technical equipment is sufficiently
protected is the duty of the arbitrators!
P 194

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 P 194
References
1) Marike Paulsson, The 1958 New York Convention in Action (2016) p. 115.
2) Government of India v. Vedanta Limited (Civil Appeal No. 3185 of 2020).
3) Section 14(1), 1940 Arbitration Act.
4) Section 15, 1940 Arbitration Act.
5) Kofi Annan, Opening address commemorating the successful conclusion of the 1958
United Nations Conference on International Commercial Arbitration, in Enforcing
Arbitration Awards under the New York Convention – Experience and Prospects, 1
(United Nations 1999).
6) Paulsson, supra n. 1.
7) Gary B. Born, International Commercial Arbitration (2nd ed. 2014) p. 2923.
8) Nigel Blackaby et al., Redfern and Hunter on International Arbitration (6th ed. 2015)
para. 9.05.
9) Article I(2), New York Convention.
10) Redfern and Hunter, supra n. 8, para. 9.05. The proposed definition was as follows:
‘“Award” means a final award which disposes of all issues submitted to the arbitral
tribunal and any other decision of the arbitral tribunal which finally determines any
question of substance or the question of its competence or any other question of
procedure but, in the latter case, only if the arbitral tribunal terms its decision an
award’; Broches, Recourse against the award; Enforcement of the award – UNCITRAL’s
Project for a Model Law on International Commercial Arbitration (1984) 2 ICCA
Congress Series 201, p. 208.
11) Ibid.
12) For a discussion of what has the status of an award see Redfern & Hunter, supra n. 8,
para. 9.09.
13) Redfern & Hunter, supra n. 8, para. 9.04; as well as, e.g., ICC Rules, Art. 41.
14) Redfern & Hunter, supra n. 8, para. 9.14.
15) Redfern & Hunter, supra n. 8, para. 1.143.
16) Redfern & Hunter, supra n. 8, para. 9.173 referring to the decision in Amco Asia
Corporation v. Indonesia (Resubmission: Jurisdiction), ICSID Case No. ARB/81/1 (1992)
89 ILR 552, at 560.
17) Born, supra n. 7, p. 3013.
18) See the finality discussion in Part 9.2.1.
19) Born, supra n. 7, p. 3055.
20) See the discussion in Part 9.3.4.
21) Section 32(3), 1996 Arbitration Act.
22) Redfern & Hunter, supra n. 8, para. 9.03.
23) Unless the respondent requests the continuance of the arbitration as it has an
interest in a final resolution of the matter.
24) See Section 33(3), 1996 Arbitration Act.
25) See the discussion in Part 9.3.6.
26) See the guidelines in Part 9.6.
27) See Sections 73 and Section 74 of The Indian Contract Act, 1872. Kerala State Road
Transport Corporation Rep. by the Managing Director v. Feethambaran Rep. by his
Next Friends Sukhmmari, 1994 (2) KLJ 646 (para. 8); Bharat Sanchar Nigam Limited v.
Reliance Communication Ltd. (2011) 1 SCC 394.
28) Arbitration procedures and practice in India: overview by Pradeep Nayak, Sulabh
Rewari and Vikas Mahendra, Keystone Partners, available at
https://uk.practicallaw.thomsonreuters.com/9-502-0625?
transitionType=Default&contextData=
(sc.Default)&firstPage=true#co_anchor_a162487.
29) See Section 86 Code of Civil Procedure.
30) See Section 86 of the Code of Civil Procedure 1908.
31) Mirza Ali Akbar Kasani v. United Arab Republic and other, 1966 SCR (1) 319. See, Veb
Deautfracht Seereederei Rostock (DSR Lines) a Department of the German Democratic
Republic v. New Central Jute Mills Co Ltd and Ors, 1994 AIR SC 516; Harbhajan Singh
Dhalla v. Union of India, AIR 1987 SC 9; Ethiopian Airlines Ethiopian Airlines v. Ganesh
Narain Saboo (2011) 8 SCC 539; Qatar Airways v. Shapoorji Pallonji & Co., Appeal No.
387 of 2012 in Summons for Judgment No. 271 of 2010 in Summary Suit No. 1224 of
2010 and Notice of Motion No. 1773 of 2012.
32) Nawab Usmanali Khan v. Sagarmal, AIR 1965 SC 1798; Ethiopian Airlines v. Ganesh
Narain Saboo, AIR 2011 SC 3495.
33) M/s Uttam Singh Duggal and Co. Pvt. Ltd. v. United States of America Agency for
International Development, 22 (1982) DLT 25.
34) Law Commission of India, 176th Report on the ‘Arbitration and Conciliation
(Amendment) Bill’, 2001, September 2001.
35) Redfern & Hunter, supra n. 8, para. 9.02.

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 36) The oft-cited case in this regard is Yukos. In three awards, dated 18 July 2014, the
arbitral tribunal constituted under the Energy Charter Treaty unanimously held that
Russia was in breach of its obligations under the Treaty and ordered it to pay in
excess of USD 50 billion in compensation. The cases were heard together before
identical tribunals, see Hulley Enterprises Limited (Cyprus) v. The Russian Federation
(PCA Case No. AA 226), Yukos Universal Limited (Isle of Man) v. The Russian Federation
(PCA Case No. AA 227), Veteran Petroleum Limited (Cyprus) v. The Russian Federation
(PCA Case No. AA 228). See also, José Manuel Álvarez, et al., Duration of Investor-State
Dispute Settlement Proceedings, 21 J. of World Inv. & Trade 330-35 (2020), available at
https://www.researchgate.net/publication/342445898_Duration_of_Investor-
State_Dispute_Settlement_Pro....
37) See Section 39m English Arbitration Act 1996. For a discussion of the English
Arbitration Act 1996, see Chapter 19 of the Handbook.
38) Ibid. Similarly, Chapter 12, Swiss Private International Law Act 1987 (Swiss PIL),
provides for ‘preliminary awards’ in relation to jurisdictional issues in Section
186(3), while ‘partial awards’ that finally determine the issue are provided for in
Section 188: see Geisinger, International Arbitration in Switzerland: A Handbook for
Practitioners (2nd ed. 2013) pp. 226-227.
39) See Section 2(1)(c), 1996 Arbitration Act: ‘Arbitral award’ includes an interim award.
40) Model Law.
41) Aero Club v. Solar Creations Pvt Ltd., 2020 SCC OnLine Bom 115.
42) Paulsson, supra n. 1, p. 116-120.
43) See Section 31(6), 1996 Arbitration Act.
44) See below in Part 9.6.1.
45) National Thermal Power Corporation Ltd. v. Siemens Aktiengesellschaft (2007) 4 SCC
451. This goes in line with other national jurisprudence on the finality of interim
awards. See Paulsson, supra n. 1, p. 118 ff.
46) See the discussion in Part 9.3.6.
47) McDermott International Inc. v. Burn Standard Co. Ltd. (2006) 11 SCC 181, para. 68.
48) Redfern & Hunter, supra n. 8, para. 9.19.
49) See Redfern & Hunter, supra n. 8, para. 9.19; for further discussion of managing costs
and time in arbitration proceedings, see Chapter 16 of the Handbook.
50) See Section 47 of the English Arbitration Act 1996, which provides: (1) Unless
otherwise agreed by the parties, the tribunal may make more than one award at
different times on different aspects of the matters to be determined. (2) The
tribunal may, in particular, make an award relating to: (a) an issue affecting the
whole claim, or (b) a part only of the claims or cross-claims submitted to it for
decision. (3) If the tribunal does so, it shall specify in its award the issue, or the
claim or part of a claim, that is the subject matter of the award.
51) Born, supra n. 7, p. 2016.
52) Born, supra n. 7, p. 3017.
53) Section 29B(2), 1996 Arbitration Act.
54) Section 29B(1), 1996 Arbitration Act.
55) See the discussion in Part 9.3.4. Emergency Awards.
56) For further discussion of institutions and their rules, see Chapter 17 of the Handbook.
57) Raffles Design International India Private Limited & Ors. v. Educomp Professional
Education Limited & Ors. (2016) 234 DLT 349; HSBC PI Holdings (Mauritius) Limited v.
Avitel Post Studioz Limited and Ors., Bombay High Court, Arbitration Petition No.
1062/2012; Ashwani Minda & Ors. v. U-Shin Ltd. & Ors., 2020 SCC OnLine Del 721 (the
court stated that a Section 9 application for interim relief cannot be filed when the
emergency arbitrator declined to grant the party the same relief).
58) Ibid.
59) Law Commission of India, Report No. 246-Amendments to the Arbitration and
Conciliation Act, 1996 (2014), p. 37 available at
http://lawcommissionofindia.nic.in/reports/Report246.pdf.
60) Law Commission of India, Report of the High Level Committee to Review the
Institutionalisation of Arbitration Mechanisms in India (Srikrishna Report), p. 76,
available at https://legalaffairs.gov.in/sites/default/files/Report-HLC.pdf.
61) Born, supra n. 7, p. 3022.
62) Born, supra n. 7, p. 3023.
63) For further discussion of enforcement of arbitral awards, see Chapter 11 of this
Handbook.
64) See the discussion in Born, supra n. 7, p. 3014.
65) Redfern & Hunter, supra n. 8, para. 9.18.
66) Redfern & Hunter, supra n. 8, para. 9.03.
67) Born, supra n. 7, p. 3013.
68) See the finality discussion in Part 9.2.1.
69) Redfern & Hunter, supra n. 8, para. 9.33; Born, supra n. 7, 2028.
70) See Article 36 of the ICC Arbitration Rules 2017; Articles 37, 38, 39 PCA Arbitration
Rules 2012; Article 27 LCIA Arbitration Rules 2020.
71) See Part 9.2.2 and Born, supra n. 7, p. 2903.
72) See Section 152 Code of Civil Procedure 1908.
73) State of Arunachal Pradesh v. Damani Construction Co. (2007) 10 SCC 742.
74) See Section 33(2), 1996 Arbitration Act.
75) See McDermott International Inc. v. Burn Standard Co. Ltd. (2006) 11 SCC 181.

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 76) See Section 33(5), 1996 Arbitration Act.
77) See Section 33(6), 1996 Arbitration Act.
78) See Section 33(7), 1996 Arbitration Act referring to Section 34, 1996 Arbitration Act.
79) Ved Prakash Mithal & Son v. Union of India, Special Leave to Appeal (C) No.
20195/2017.
80) See Article 34(2) 2013 UNCITRAL Arbitration Rules; Article 32 Swiss Rules of
International Arbitration; Article 31 ICC Arbitration Rules 2017; Article 26 LCIA
Arbitration Rules 2020; According to Redfern & Hunter, supra n. 8, para. 9.144, the
only arbitral institution that sets out the detailed obligations for an arbitrator when
writing an award is Rule 47, ICSID Rules of Procedure for Arbitration Proceedings.
81) See Section 31(1)-(2), 1996 Arbitration Act.
82) See Section 31(3), 1996 Arbitration Act.
83) See Section 31(4), 1996 Arbitration Act. For further discussion on seat, see Chapter 6
of the Handbook.
84) See Section 31(5), 1996 Arbitration Act.
85) For further discussion see Chapter 11 of the Handbook.
86) See Section 31(7), 1996 Arbitration Act.
87) Chittaranjan Maity v. Union of India (2017) 9 SCC 611.
88) See Chapter 14 for further discussion.
89) Section 29A(1), 1996 Arbitration Act. See also, Law Commission of India, Report No.
246 – Amendments to The Arbitration and Conciliation Act, 1996 (2014), available at
http://lawcommissionofindia.nic.in/reports/Report246.pdf, para. 63.
90) See Section 29A(1), 1996 Arbitration Act.
91) See Section 29A(1), 1996 Arbitration Act.
92) Section 29A(4), 1996 Arbitration Act.
93) ONGC Petro Additions Limited v. Fernas Construction Co. Inc O.M.P. (MISC) (COMM)
256/2019.
94) See Section 23(4), 1996 Arbitration Act.
95) See Schedule I of 1899 Stamp Act.
96) Rajinder Parshad Sharma v. Ashok Sharma and Ors, 2008, SCC OnLine Del 1317.
97) M. Anasuya Devi and Anr v. M. Manik Reddy and Ors (2003) 8 SCC 565.
98) M/S. Shri Ram EPC Limited v. Rioglass Solar SA (2018) SCC OnLine 147.
99) Naval Gent Maritime Ltd v. Shivnath Rai Harnarain (I) Ltd., 174 (2009) DLT 391; Vitol S.A
v. Bhatia International Limited, 2014 SCC OnLine Bom 1058; Narayan Trading Co. v.
Abcom Trading Pvt. Ltd, 2012 SCC OnLine MP 8645.
100) See the explanation on their website, available at
https://www.stockholding.com/estamp-index.html.
101) See the explanation available at
https://gateway.netpnb.com/mahastamp/home.html.
102) Sonal Kumar Singh, Anish Jaipuriar, Suraj Raj Kesarwani and Sayantika Ganguly,
Covid-19 and E-Arbitrations: An India Perspective, Lexology, 30 July 2020, available at
https://www.lexology.com/library/detail.aspx?g=40e5193a-22d0-411c-97e7-
222dc434c285.
103) In re: Guidelines for Court Functioning through Video Conferencing During Covid-19
Pandemic, Suo Moto Writ (Civil) No. 05/20.
104) Redfern & Hunter, supra n. 8, para. 9.04. See also e.g. ICC Rules 2021, Art. 42.
105) Redfern & Hunter, supra n. 8, para. 9.14.
106) See Chapter 11 of this Handbook.
107) In this context, note that India has made both the commercial and reciprocity
reservations. An award would necessarily have to be outside the scope of the
reservations to be enforceable. For further discussion on the interpretation of the
reservations, see Chapter 12 of the Handbook.
108) See Section 34(2)(b)(ii), 1996 Arbitration Act.
109) Ibid.
110) See Section 34(2-A), 1996 Arbitration Act.
111) For further discussion of enforcement, see Chapter 11 of the Handbook.
112) Born, supra n. 7, p. 2898.
113) Section 36(1), 1996 Arbitration Act. For further discussion of the time limits in
relation to seeking enforcement of the award, see Chapter 11 of the Handbook.
114) Redfern & Hunter, supra n. 8, Chapter 1.
115) See the debate in connection with the ISDS reform at UNCITRAL Working Group III
and the United Nations Convention on Transparency in Treaty-Based Investor-State
Arbitration, which entered into force in 2017. For further discussion of UNCITRAL WG-
III, see Chapter 15 of the Handbook.
116) Redfern & Hunter, supra n. 8, para. 9.139.
117) For an overview of the PCA rules, see Chapter 17.5 of the Handbook.
118) The authors heartfully thank Alan Redfern, Antonio Parra, B.N. Srikrishna, Brooks
Daly, Christopher Greenwood, Jan Paulsson, Karl-Heinz Böckstiegel, Meg Kinnear and
Toby Landau for their invaluable comments and support with this part.
119) See Part 9.4.4.
120) Section 31(7), 1996 Arbitration Act.
121) Section 31A(2), 1996 Arbitration Act.
122) See Part 9.4.2 and Section 31, 1996 Arbitration Act.
123) For further discussion of the ICC Rules, see Chapter 17.2 of the Handbook.

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 124) For further discussion of the SIAC rules, see Chapter 17.6 of the Handbook.
125) See Article 27 of the 2014 LCIA Arbitration Rules; Arts 35 et seq of the 2010 SCC
Arbitration Rules; Arts 32 et seq of the HKIAC Administered Arbitration Rules.
126) Dmytro Galagan, The Challenge of the Yukos Award: an Award Written by Someone
Else – a Violation of the Tribunal’s Mandate?, 27 February 2015, Kluwer Arbitration
Blog, available at http://arbitrationblog.kluwerarbitration.com/2015/02/27/the-
challenge-of-the-yukos-award-an-award-wr... Veteran Petroleum Limited (Cyprus) v.
The Russian Federation, PCA Case No. AA 228, Interim Award of 30 November 2009,
available at https://pcacases.com/web/sendAttach/423; Veteran Petroleum Limited
(Cyprus) v. The Russian Federation, Final Award of 18 July 2018, PCA Case No. AA 228,
available at https://pcacases.com/web/sendAttach/422.
127) See Jan Paulsson, The Timely Arbitrator: Reflections on the Bockstiegel Method,
Arbitration International: The Journal of the London Court of International
Arbitration, 22(1) 2006 University of Miami Legal Studies Research Paper No. 2010-
28; for the origins of the ‘Redfern schedule’, see Redfern, Efficiency in arbitration: The
Redfern schedule, ICCA Review, April 2013, pp. 9 and 12; Redfern & Hunter, supra n. 8,
para. 6.100.; Peter Harris, Reinventing the Redfern, 33(4) J. of Int’l. Arb 353-364 (2016).

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