The College of Commercial Arbitrators Guide to Best Practices in Commercial Arbitration

Price: $85.00 250 pages. 1 Hardcover Volume. Index. Published April 2006.
ISBN-13: 978-1-929446-93-3 / ISBN-10: 1-929446-93-4

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Book Overview

Preface
About the Editors
About the Contributors
 
Chapter 1
INTRODUCTION
by Winslow Christian and the Editors
 
Chapter 2
APPOINTMENT, DISCLOSURES, AND DISQUALIFICATION OF NEUTRAL ARBITRATORS
by James H. Carter, Ruth V. Glick, June R. Lehrman, and Bruce E. Meyerson
 
I.  INTRODUCTION
II. APPOINTMENT OF ARBITRATORS
A. Initial Communications
B. Determining Impartiality and Independence
C. Determining Fitness to Serve
D. Establishing Terms of Appointment
E. Appointments Made through Arbitral Institutions
F. Appointments in Ad Hoc Arbitrations
G. Party-Appointed Neutral Arbitrators
H. Ex Parte Communications
III. DISCLOSURES
A. FAA
B. RUAA
C. AAA/ABA Code 
D. Other Ethical Standards
E. California Requirements
IV. DISQUALIFICATION
V. CONTINUING DISCLOSURES AND LIMITATIONS ON ACTIVITIES DURING PENDENCY OF A CASE
 
Chapter 3
NON-NEUTRAL ARBITRATORS
by Richard Chernick and James M. Gaitis
 
I. ARBITRATOR SELECTION GENERALLY
A. Parties’ Arbitration Agreement
B. Institutional Rules and AAA/ABA Code
II. LIMITATIONS ON CHOICE OF NON-NEUTRAL ARBITRATORS
A. Parties’ Arbitration Agreement
B. Applicable Law and Ethical Rules
III. DETERMINING STATUS OF PARTY-APPOINTED ARBITRATORS
A. Party-Appointed Arbitrators’ Role in Determining Status of Arbitrators
B. Chairperson’s Role in Determining Status of Party-Appointed Arbitrators
IV. DISCLOSURES BY NON-NEUTRAL ARBITRATORS
A. General Practice of Disclosure
B. Unique State Requirements Relating to Disclosures
C. Changes in Status of Arbitrators
V. NON-NEUTRAL ARBITRATOR CONDUCT
A. Ensuring a Fundamentally Fair Hearing
B. Ex Parte Communications
C. Providing Assistance to the Parties
VI. VALUE OF NON-NEUTRAL ARBITRATORS IN COMMERCIAL ARBITRATIONS
 
Chapter 4
DETERMINING JURISDICTION AND ARBITRABILITY
by R. Doak Bishop, Robert B. Davidson, Barry H. Garfinkle, and June R. Lehrman
 
I. INTRODUCTION
II. LEGAL BACKGROUND
A. The Prima Paint "Separability" Doctrine
B. The First Options "Clear and Unmistakable Evidence" Doctrine
C. "Gateway" (Procedural vs. Substantive) Jurisdictional Issues
D. Conditions Precedent to Arbitration
E. Waiver
F. Illegality and Other Defenses Arguably Going to the "Making" of the Contract
III. DETERMINING JURISDICTIONAL AND ARBITRABILITY OBJECTIONS
 
Chapter 5
CLASS ARBITRATION
by Robert B. Davidson, James M. Gaitis, Deborah Rothman, and Francis O. Spalding
 
I.    ACCEPTING AN APPOINTMENT TO SERVE AS AN ARBITRATOR IN A CLASS ARBITRATION
II.   CLASS ARBITRATIONS AND DISCLOSURE
III.  THE APPLICABILITY OF GENERAL ARBITRATION PROCEDURES AND PRINCIPLES TO CLASS ARBITRATIONS
IV.   JURISDICTION AND THE BAZZLE DECISION
V.    THE EFFECT OF A CLASS ACTION PRECLUSION CLAUSE ON ARBITRAL JURISDICTION
VI.   DETERMINING WHETHER A CLASS ARBITRATION MAY BE MAINTAINED WHEN THE 
       ARBITRATION CLAUSE IS SILENT ON THAT QUESTION
VII.  CLASS CERTIFICATION
VIII. PARTIAL FINAL AWARDS ON THE CLASS CERTIFICATION ISSUE
IX.   NOTICE OF CLASS DETERMINATION
X.    MANAGEMENT OF THE PRE-HEARING AND HEARING PROCESS
XI.   ATTORNEYS’ FEES AWARDS
XII.  THE FINAL AWARD
XIII. SETTLEMENT, VOLUNTARY DISMISSAL, OR COMPROMISE
XIV. CONFIDENTIALITY
 
Chapter 6
PRELIMINARY CONFERENCES
AND PRE-HEARING MANAGEMENT IN GENERAL
by David N. Brainin, James P. Groton, Gerald F. Phillips, Deborah Rothman, and Curtis E. von Kann
 
I.  THE IMPORTANCE OF PRE-HEARING MANAGEMENT
II. CONVENING THE PRELIMINARY CONFERENCE
A. Time of the Preliminary Conference
B. Who Should Attend the Preliminary Conference
C. Location of the Preliminary Conference
D. Giving Notice of the Preliminary Conference
III. CONDUCTING THE PRELIMINARY CONFERENCE
A. Arbitrators’ Introductory Statement
B. Opening Statements by Counsel
C. Determining the Issues on the Conference Agenda
IV. MEMORIALIZING THE PRELIMINARYCONFERENCE
V.  MATTERS TO ADDRESS AT THE PRELIMINARY CONFERENCE
A. Identity of the Parties
B. Claims and Defenses Presented
C. Applicable Arbitration Agreement, Law, and Rules
D. Disputes Concerning Arbitrability
E. Information Required for Additional Disclosure
F. Disqualification of Counsel
G. Consolidation and Joinder
H. Discovery
I. Motions
J. Providing Specialized Information to Arbitrators
K. Appointment of Neutral Experts
L. Communication Ground Rules
M. Location of the Hearing
N. Dates of the Hearing
O. Hearing Subpoenas for Non-Party Witnesses
P. Continuances and Cancellations
Q. Nature of Award
R. Time of Award
S. Hearing Procedures Checklist
T. Other Matters
VI.  ENCOURAGING MEDIATION OR OTHER SETTLEMENT EFFORTS
VII. SUBSEQUENT PRE-HEARING MANAGEMENT
 
Chapter 7
MOTIONS
by Louise E. Dembeck, Eugene I. Farber, and Carroll Neesemann
 
I.   INTRODUCTION
II.  ARBITRAL AUTHORITY TO HEAR MOTIONS
III. TYPES OF MOTIONS
A. Service of Process
B. Jurisdiction and Arbitrability
C. Consolidation and Joinder
D. Preliminary Relief
E. Pleadings
F. Discovery
G. Bifurcation
H. Dispositive Motions
I. Motions in Limine or to Preclude Testimony
J. Sanctions
K. Continuances
L. Disqualification of Arbitrators
M. Modification of Award
 
Chapter 8
DISCOVERY
by R. Doak Bishop, Scott Donahey, Louise A. LaMothe, John M. Seitman, and Stanley P. Sklar
I. INTRODUCTION
A. Background
B. Absence of a Statutory or Common Law Right to Discovery in Arbitration
C. Relevance of Applicable Arbitration Rules and Parties’ Arbitration Agreement
D. Soliciting Agreement by Parties Relating to Scope and Nature of Discovery
II. DOCUMENT PRODUCTION
A. Applicable Arbitration Rules
B. Documents on which Party Intends to Rely
C. Document Requests
D. Computer-Based "Document" Discovery
E. Duty to Supplement
F. Claims of Privilege
III. DEPOSITIONS OF PARTY WITNESSES
A. Arbitrators’ Authority
B. Limiting Discovery Depositions
C. Disputes Relating to Discovery Depositions
IV. INTERROGATORIES AND REQUESTS FOR ADMISSIONS
A. General Rule
B. Unique Rules
V. DISCOVERY OF EXPERT WITNESSES
A. Discovery of Experts in General
B. Scheduling Discovery of Expert Witnesses
VI. DISCOVERY FROM THIRD PARTIES
A. Extent of Arbitrators’ Authority to Issue Third-Party Discovery Subpoenas
B. Form and Issuance of Discovery Subpoenas
C. Enforcement of Discovery Subpoenas
VII.   SITE INSPECTIONS
VIII. CONFIDENTIALITY AND PROTECTION OF PROPRIETARY INFORMATION
IX.    DISCOVERY DISPUTES
A. Encouraging Parties to Resolve Discovery Disputes
B. Formal Resolution of Discovery Disputes
X. DISCOVERY AS A LITMUS TEST FOR A SUCCESSFUL ARBITRATION
 
Chapter 9
THE HEARING ON THE MERITS
by Henri C. Alvarez, William L.D. Barrett, Louis A. Craco, James P. Groton, and Curtis E. von Kann
 
I.   DESIGNING THE APPROPRIATE HEARINGPROCESS
II.  DOCUMENT HEARINGS
III. SETTING THE BASIC CONSTRUCT OF THE HEARING
A. Standards for Admission of Evidence
B. Order of Proof
IV. MANAGEMENT OF EXHIBITS
A. Core Exhibits
B. Evidentiary Exhibits
C. Demonstrative Exhibits
D. Exhibits Created During the Hearing
V. MANAGEMENT OF TESTIMONY
A. Possible Use of Written Testimony
B. Expert Witness Testimony
C. Lay Witness Testimony
D. Testimony From Witnesses at Other Locations
E. Previously Recorded Testimony
F. Sequestration of Witnesses
G. Restrictions on Counsel’s Communications with Witnesses During Testimony
VI. MANAGEMENT OF HEARING TIME
A. Introduction
B. Setting and Maintaining a Realistic Daily Schedule
C. Monitoring Compliance with the Hearing Schedule
D. What to Do If a Party Runs Out of Time or Requests a Continuance 
VII. MANAGEMENT OF LOGISTICS
A. Use of Technology
B. Transcripts
C. Hearing Room Logistics
D. Special Needs
VIII. SITE VISITS
IX. ARBITRATOR CONDUCT DURING HEARINGS
A. Controlling the Hearing
B. Setting the Tone
C. Maintaining an Open Mind
D. Questioning Witnesses
E. Discussing the Case with other Arbitrators
F. Dealing with Non-Appearance of Witnesses
G. Making Further Disclosures
H. Addressing Arbitrator Performance Problems
I. Calling for Additional Evidence
J. Confirming that All Evidence Has Been Presented
X.  DETERMINING REQUESTS FOR FEES, COSTS, AND INTEREST
XI. BRIEFING
A. Pre-Hearing Briefs
B. Post-Hearing Briefs
C. Other Materials that May Assist Arbitrators
XII. STATEMENTS AND ARGUMENTS OF COUNSEL
A. Opening Statements
B. Mini-Summaries
C. Final Arguments
 
Chapter 10
AWARDS
by Thomas J. Brewer, Richard A. Levie, and James M. Gaitis
 
I. INTRODUCTION
II. FINAL AWARDS
A. Making a Definite and Final Award Upon the Matter Submitted
B. Form of Award
C. Content of Award
1. Architectural Framework of Award
2. Detailed Sections of Award
a. Identifying Arbitral Process and Issues to be Determined
b. Analyzing the Law and Evidence
c. Awarding Section
D. Preparation and Issuance of Award
III. INTERIM AWARDS
IV. PARTIAL FINAL AWARDS
V.  REMEDIES
A. Authority to Craft Remedies
B. Punitive Damages
C. Attorneys’ Fees, Arbitrators’ and Arbitral Institution Fees, and Costs
1. Attorneys’ Fees
2. Arbitrators’ and Arbitral Institution Fees and Expenses
3. Other Costs and Expenses
4. The Issuance of Interim or Partial Awards Pending Determinations 
    Relating to Fees and Expenses
D. Sanctions
 
Chapter 11
POST-AWARD MATTERS
by Paul J. Dubow, James M. Gaitis, James R. Madison, and David E. Wagoner
 
I. LIMITED GROUNDS FOR POST-AWARD RELIEF
A. Doctrine of Functus Officio
1. Arbitrators’ Lack of Authority to Alter Determination on the Merits
    After Issuance of a Final Award
2. Exceptions to Functus Officio
a. Clerical, Computational, and Similar Errors
b. Submitted but Unadjudicated Issues
c. Clarifications Regarding Intent of Award
B. Interrelationship Between the Functus Officio Doctrine, Institutional Rules, and 
    Arbitration Statutes
C. Sua Sponte Corrections of Clerical and Similar Errors and Clarifications to Awards
II. ISSUES ARISING ON REMAND OF FINAL AWARD
A. Following the Court’s Remand Instructions
B. Remands and Insufficient Arbitration Records
C. Fees and Costs Incurred in Addressing Awards on Remand
III. POST-AWARD ETHICAL ISSUES
A. Maintaining Confidentiality of the Arbitration Proceeding
B. Assisting the Parties in Understanding the Award
C. Post-Award Relationships with Parties and Counsel
 
Chapter 12
INTERNATIONAL ARBITRATION
by Gerald Aksen, Axel H. Baum, and Lucy F. Reed
 
I. INTRODUCTION
II. APPOINTMENT PROCESS
A. Initial Communication Regarding Possible Appointment
B. Arbitrators’ Determination of Willingness, Fitness, and Availability to Serve
C. Arbitrator Disclosures
1. International Bar Association Disclosure Guidelines
2. "Due Diligence" in Determining Disclosures
3. Challenges to Appointment
4. Arbitrators’ Terms of Engagement
5. Changes in Status During Course of Proceeding
III. DETERMINING JURISDICTION AND ARBITRABILITY
A. Challenges to Arbitrators’ Jurisdiction
B. Challenges to Arbitrability of a Party’s Claims
C. Formalizing Arbitrators’ Decisions on Jurisdictional and Arbitrability Issues
IV. PRELIMINARY MEETING
V. TERMS OF REFERENCE
VI. MOTIONS AND APPLICATIONS
VII. DEPOSITIONS AND DOCUMENT PRODUCTION
A. Depositions
B. Document Production
VIII. EXPERT WITNESSES
IX. WRITTEN SUBMISSIONS
X. THE MERITS HEARING
A. Advance Preparations
B. Structuring the Hearing
XI. THE AWARD
XII. POST-AWARD PROCEEDINGS
XIII. CONCLUSION
 
Index

Book Overview