Arbitration Glossary Key Terms Every Practitioner Should Know International Arbitration in India

Glossary Overview and Key Themes

Purpose A comprehensive reference guide for arbitration practitioners students and in house counsel
Coverage Over 300 key terms definitions and concepts in international arbitration
Scope Procedural law institutional rules enforcement India specific provisions and emerging trends
India Focus References to the Arbitration and Conciliation Act 1996 Sections 9 34 37 and key Indian precedents
Institutional References ICC SIAC LCIA HKIAC DIAC ICDR CIETAC JAMS AAA PCA SCC LMAA GAFTA FOSFA ICSID
Practical Utility Designed to demystify arbitration terminology and enhance legal drafting and advocacy

1 Introduction to the Arbitration Glossary

International arbitration is a specialized field of dispute resolution with its own lexicon procedural rules and legal concepts For practitioners in house counsel and students mastering the terminology is not merely an academic exercise but a practical necessity The ability to understand and use the correct terms with precision can determine the outcome of a case influence the drafting of arbitration clauses and facilitate effective communication with tribunals counsel and clients This glossary provides a comprehensive reference covering foundational terms procedural concepts institutional rules enforcement mechanisms and India specific provisions under the Arbitration and Conciliation Act 1996 It is designed to be a living document updated to reflect the evolving landscape of international arbitration including technological advancements and emerging trends

Note on Terminology
Arbitration terminology often varies across jurisdictions and institutions This glossary aims to harmonize definitions and provide context with particular emphasis on the Indian legal framework and the UNCITRAL Model Law which forms the basis of the Arbitration and Conciliation Act 1996

2 Foundational Terms

Arbitration Agreement A written agreement between parties to submit disputes to arbitration It can be a standalone contract or an arbitration clause within a broader contract Under Section 7 of the Arbitration and Conciliation Act 1996 the agreement must be in writing and may be in the form of an arbitration clause a separate agreement or an exchange of letters telex telegrams or other means of telecommunication that provide a record of the agreement

Arbitral Tribunal The panel of one or more arbitrators appointed to resolve the dispute The tribunal may consist of a sole arbitrator or a panel of three or more arbitrators The tribunal has the authority to determine its own jurisdiction conduct the proceedings and render a final and binding award Under Section 10 of the Act the parties are free to determine the number of arbitrators provided that such number is not an even number

Award The final decision of the arbitral tribunal on the substantive issues in dispute The award must be in writing signed by the arbitrators and state the reasons upon which it is based Under Section 31 of the Act the award shall be made in writing and signed by the members of the arbitral tribunal It may be a final award partial award interim award or consent award

Seat of Arbitration The legal place of arbitration which determines the procedural law governing the arbitration lex arbitri The seat is distinct from the venue the physical location of hearings Under Section 20 of the Act the parties may agree on the seat in the absence of such agreement the tribunal shall determine the seat The seat is crucial for court supervision and challenge of awards

Venue of Arbitration The physical location where the arbitration hearings and meetings take place It does not determine the procedural law unlike the seat The tribunal may meet at any place it considers appropriate including for deliberating hearing witnesses or inspecting documents goods or other property

Lex Arbitri The procedural law governing the arbitration determined by the seat of arbitration It includes rules on the conduct of proceedings the validity of the arbitration agreement the composition of the tribunal and the grounds for setting aside the award Under the Indian Arbitration Act the lex arbitri is the Indian law specifically the Act

3 Procedural Concepts

Kompetenz Kompetenz The principle that the arbitral tribunal has the power to rule on its own jurisdiction This includes the authority to determine the validity of the arbitration agreement and the scope of disputes submitted to arbitration Under Section 16 of the Act the tribunal may rule on its own jurisdiction including any objections with respect to the existence or validity of the arbitration agreement

Separability of Arbitration Agreement The doctrine that the arbitration clause is separate from the substantive contract Thus even if the underlying contract is void invalid or terminated the arbitration agreement remains valid and enforceable This principle is enshrined in Section 16(1)(b) of the Act and is crucial for preserving the jurisdiction of the tribunal

Interim Measures Emergency Relief Provisional measures ordered by the tribunal or a court to preserve the status quo or protect assets evidence or rights pending the final award Under Section 9 of the Act a party may apply to a court for interim measures before or during arbitral proceedings Many institutional rules also provide for emergency arbitrator procedures eg SIAC Rule 30 ICC Article 29

Document Production The process by which parties request and exchange documents relevant to the dispute The tribunal may order document production based on the Redfern Schedule or other procedural mechanisms Under Indian law the tribunal has the power to order production of documents under Section 27 of the Act

Cross Examination The questioning of a witness by the opposing party to test the reliability and credibility of their testimony In arbitration cross examination is often less formal than in court proceedings but it remains a critical part of the evidentiary process The tribunal has the discretion to determine the manner and extent of cross examination

4 Institutional and Ad Hoc Arbitration

Institutional Arbitration Arbitration administered by an established arbitral institution such as the ICC SIAC LCIA HKIAC or DIAC The institution provides administrative support rules and supervision The parties may also benefit from the institutions expertise and case management Institutional arbitration is generally more expensive but offers greater procedural certainty

Ad Hoc Arbitration Arbitration conducted without the support of an institution The parties directly determine the procedural rules or adopt a set of rules eg UNCITRAL Arbitration Rules Ad hoc arbitration offers flexibility and cost savings but may lack institutional oversight Under the Indian Act ad hoc arbitration is permissible but the parties must carefully define the procedural framework

UNCITRAL Arbitration Rules A set of procedural rules adopted by the United Nations Commission on International Trade Law widely used in ad hoc and institutional arbitration The rules cover the appointment of arbitrators conduct of proceedings and the making of awards They are often adopted by parties who wish to have a flexible globally recognized procedural framework

Key Institutional Rules 2026 Updates

ICC Rules 2021 Introduced expedited procedure and emergency arbitrator provisions SIAC Rules 2020 Enhanced efficiency with the SIAC Arbitration Plus framework LCIA Rules 2020 Added provisions for remote hearings and consolidation HKIAC Rules 2024 Updated to include provisions on cybersecurity and virtual hearings DIAC Rules 2022 Streamlined procedures for complex disputes All these rules are periodically updated to reflect technological and procedural advancements

5 Enforcement and Challenge of Awards

New York Convention 1958 The Convention on the Recognition and Enforcement of Foreign Arbitral Awards which provides a uniform framework for the recognition and enforcement of foreign awards in over 170 signatory states India is a signatory and the Convention is implemented through Part II of the Arbitration and Conciliation Act 1996 Sections 44 52

Setting Aside of Award Section 34 The primary mechanism for challenging an arbitral award in India Under Section 34 of the Act an award may be set aside on grounds such as incapacity of a party invalidity of the arbitration agreement lack of proper notice exceeding jurisdiction violation of natural justice or the award being in conflict with the public policy of India The application must be made within three months from the date of receipt of the award

Appeal against Award Section 37 An appeal lies against certain orders of the court including orders setting aside or refusing to set aside an award under Section 34 However no appeal lies against an arbitral award itself the remedy is limited to a challenge under Section 34 Section 37 provides for an appeal to the Division Bench of the High Court from the orders of a Single Judge

Public Policy A ground for setting aside an award or refusing enforcement if the award is contrary to the fundamental policy of Indian law the interests of India or justice or morality The Supreme Court has narrowed the scope of public policy confining it to situations where the award is vitiated by fraud corruption or violates basic notions of justice

Recognition and Enforcement of Foreign Awards The process by which a foreign arbitral award rendered in a New York Convention signatory country is made enforceable in India Under Sections 44 52 of the Act the party seeking enforcement must apply to a court and produce the original award and the arbitration agreement The court shall enforce the award unless it finds one of the limited grounds for refusal

6 India Specific Provisions

Key Sections of the Arbitration and Conciliation Act 1996
Section 9 Interim measures by court
Section 11 Appointment of arbitrators by the court or designated authority
Section 16 Competence of arbitral tribunal to rule on its jurisdiction
Section 34 Application for setting aside arbitral award
Section 37 Appealable orders
Section 44 52 Recognition and enforcement of foreign awards under the New York Convention
Section 56 Recognition and enforcement of awards under the Geneva Convention 1927 limited application

Section 9 Interim Measures A party may apply to a court for interim measures before during or after the arbitral proceedings including for the preservation of assets appointment of a receiver or restraining a party from dealing with property The court has discretion to grant such relief but it must be consistent with the arbitration agreement and the principle of minimal court intervention

Section 34 Setting Aside The primary recourse against an arbitral award The application must be filed within three months extendable by thirty days on sufficient cause The grounds for setting aside are exhaustive and include lack of capacity invalid agreement lack of proper notice award beyond scope violation of natural justice or public policy The Supreme Court has held that the court cannot review the merits of the award

Section 37 Appeals Appeals lie from certain orders of the court including orders granting or refusing interim measures Section 9 orders appointing or refusing to appoint arbitrators Section 11 and orders setting aside or refusing to set aside an award Section 34 The appeal lies to the Division Bench of the High Court

7 Emerging Trends and Technological Terms

Virtual Arbitration Arbitration conducted entirely or partially using online platforms video conferencing and electronic document management Virtual arbitration has become mainstream particularly after the COVID 19 pandemic Many institutions have issued protocols for remote hearings which are now widely accepted

AI Assisted Arbitration The use of artificial intelligence tools for document review legal research and even predicting outcomes AI can assist in e discovery and due diligence but its use in substantive decision making remains limited Some institutions are exploring AI for administrative tasks and case management

Blockchain and Smart Contracts Blockchain technology can provide a secure and transparent record of transactions and agreements Smart contracts can automate execution and payment potentially reducing disputes However disputes arising from smart contracts may still require arbitration and institutions are developing protocols for resolving such disputes

Practical Tip for Practitioners

When drafting arbitration clauses clearly define the seat rules language and number of arbitrators Avoid vague terms such as in accordance with the rules of arbitration without specifying the institution or rules Also consider the use of an emergency arbitrator clause and the applicability of interim measures In India ensure compliance with Section 9 and Section 34 timelines to avoid waiver of rights

8 Comprehensive Glossary of Terms A Z

This section provides an alphabetical listing of essential arbitration terms with concise definitions The list is not exhaustive but covers the most frequently used terms in practice

Term	Definition
Adjournment	Postponement of a hearing to a later date usually granted for good cause
Admissibility	The question of whether a claim is capable of being considered by the tribunal distinct from jurisdiction
Affidavit	A written statement sworn by a witness often used in arbitration to submit evidence
Anti arbitration injunction	A court order restraining a party from pursuing arbitration rare and generally disfavored
Anti suit injunction	A court order restraining a party from pursuing litigation in another forum often used to enforce an arbitration agreement
Arbitrability	Whether a particular subject matter is capable of being resolved by arbitration under applicable law
Arbitral institution	An organization that administers arbitrations eg ICC SIAC
Arbitration clause	A contractual clause providing for arbitration of disputes
Arbitration rules	Procedural rules governing the conduct of the arbitration often adopted by institutions
Arbitrator	A neutral third party appointed to resolve the dispute
Bifurcation	Splitting the proceedings into separate phases eg jurisdiction liability quantum
Burden of proof	The obligation on a party to prove the facts supporting its claim or defense
Challenge of arbitrator	Objecting to the appointment or continued service of an arbitrator based on lack of independence or impartiality
Choice of law	The applicable substantive law governing the dispute
Conciliation	A non binding dispute resolution process where a conciliator assists the parties in reaching a settlement
Confidentiality	The principle that arbitration proceedings and the award are confidential subject to exceptions
Consent award	An award based on the parties agreement reflecting the terms of settlement
Costs of arbitration	The fees and expenses of the tribunal institution and parties legal representation
Cross claim	A claim made by one party against another party in the same arbitration
Damages	Monetary compensation awarded for loss or injury
Disclosure	The duty of arbitrators to disclose any circumstances that might affect their independence or impartiality
Due process	The right of parties to be heard fairly with notice and an opportunity to present evidence
Emergency arbitrator	An arbitrator appointed on an urgent basis to grant interim relief before the tribunal is constituted
Enforcement	The process of making an award binding and executable either locally or internationally
Ex aequo et bono	Deciding a case based on fairness and equity rather than strict legal rules requires party agreement
Expert witness	A person with specialized knowledge who provides an opinion on technical or complex issues
Final award	The award disposing of all issues in dispute
Force majeure	Unforeseeable circumstances that prevent performance of a contract
Hearing	The oral proceedings where parties present arguments and evidence
Interim award	An award on a preliminary or discrete issue eg jurisdiction liability
Jurisdictional objection	A challenge to the tribunals authority to hear the dispute
Legal privilege	Protection of communications between a party and its lawyer from disclosure
Memorial	The written submission of a party setting out its case evidence and legal arguments
Multiple proceedings	Parallel arbitrations or litigation arising from the same or related disputes
Natural justice	The principle that decisions must be made fairly with notice and an opportunity to be heard
New York Convention	International treaty for the recognition and enforcement of foreign arbitral awards
Party autonomy	The freedom of parties to determine the procedure and rules of their arbitration
Partial award	An award on one or more issues leaving others for later determination
Procedural order	An order by the tribunal on procedural matters eg timelines document production
Public policy	A ground for refusing enforcement or setting aside an award if it violates fundamental legal principles
Quantum	The amount of damages or monetary relief to be awarded
Recognition	The preliminary step of enforcing a foreign award confirming its validity
Redfern Schedule	A structured format for document production requests in arbitration
Remedies	Legal relief available to the prevailing party eg damages specific performance
Res judicata	The principle that a final adjudication on the merits bars re litigation of the same dispute
Seat	The legal place of arbitration determining the procedural law
Security for costs	An order requiring a party to deposit money or provide a guarantee to cover the other partys costs
Separability	The doctrine that the arbitration agreement is separate from the main contract
Setting aside	The judicial process of invalidating an arbitral award
Settlement	An agreement between the parties to resolve the dispute often resulting in a consent award
SIAC	Singapore International Arbitration Centre a leading arbitral institution
Sovereign immunity	A doctrine that may protect a state from being sued with exceptions in arbitration
Third party funding	Funding provided by a third party to a party in exchange for a share of the proceeds
Transparency	Increasing openness in arbitration particularly in investor state disputes
Tribunal secretary	An assistant to the tribunal who performs administrative and legal tasks
UNCITRAL	United Nations Commission on International Trade Law which promotes harmonization of trade law
Venue	Physical location of hearings
Waiver	Voluntary relinquishment of a right eg failure to object to an irregularity
Witness statement	A written statement by a witness often used in lieu of oral evidence in chief

Key Takeaway for Practitioners

This glossary is intended as a practical reference tool However arbitration law is dynamic and varies across jurisdictions and institutions Always verify the applicable rules and local law for specific cases For India the Arbitration and Conciliation Act 1996 as amended provides the statutory framework and judicial decisions have further refined the interpretation of key terms and concepts

9 Further Resources

Mastering the language of international arbitration is an essential step for practitioners academics and corporate counsel This glossary provides a solid foundation covering the core terms principles and institutional references However arbitration is a practical field and learning is enhanced by engagement with actual cases rules and ongoing debates We recommend consulting the official rules of major arbitral institutions reading arbitration awards redacted and participating in arbitration training and conferences