College of Commercial Arbitrators guide to best practices in commercial arbitration / James M. Gaitis, editor-in-chief ; Curtis E. von Kann & June R. Lehrman, editors.
2010
K2400 .C65 2010 (Map It)
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Title
College of Commercial Arbitrators guide to best practices in commercial arbitration / James M. Gaitis, editor-in-chief ; Curtis E. von Kann & June R. Lehrman, editors.
Published
Huntington, N.Y. : Juris, [2010]
Copyright
©2010
Call Number
K2400 .C65 2010
ISBN
1933833688
9781933833682
9781933833682
Description
xxxiv, 350 pages ; 24 cm
System Control No.
(OCoLC)695533554
Bibliography, etc. Note
Includes bibliographical references and index.
Record Appears in
Portion of Title
Guide to best practices in commercial arbitration
Added Corporate Author
Table of Contents
Preface
xxiii
About the Editors
xxvii
About the Contributors
xxix
ch. 1
Introduction / Curtis E. Von Kann
1
ch. 2
Appointment, Disclosures, And Disqualification Of Neutral Arbitrators / Bruce E. Meyerson
5
I.
Introduction
5
II.
Appointment of Arbitrators
5
A.
Initial Ex Parte Communications
6
B.
Determining Impartiality and Independence
7
C.
Determining Fitness to Serve
8
D.
Establishing Terms of Appointment
9
E.
Appointments Made through Arbitral Institutions
11
F.
Appointments in Ad Hoc Arbitrations
11
G.
Party-Appointed Neutral Arbitrators
12
III.
Disclosures
13
A.
FAA
13
B.
RUAA
14
C.
AAA/ABA Code
14
D.
Other Ethical Standards
15
E.
California Requirements
15
IV.
Disqualification
17
V.
Continuing Disclosures and Limitations on Activities During Pendency of a Case
19
ch. 3
Non-Neutral Arbitrators / James M. Gaitis
23
I.
Arbitrator Selection Generally
23
A.
Parties' Arbitration Agreement
23
B.
Institutional Rules and Aaa/Aba Code
23
II.
Limitations on Choice of Non-Neutral Arbitrators
25
A.
Parties' Arbitration Agreement
25
B.
Applicable Law and Ethical Rules
26
III.
Determining Status of Party-Appointed Arbitrators
26
A.
Party-Appointed Arbitrators' Role in Determining Status of Arbitrators
26
B.
Chairperson's Role in Determining Status of Party-Appointed Arbitrators
28
IV.
Disclosures By Non-Neutral Arbitrators
28
A.
General Practice of Disclosure
28
B.
Unique State Requirements Relating To Disclosures
29
C.
Changes in Status of Arbitrators
31
V.
Non-Neutral Arbitrator Conduct
32
A.
Ensuring A Fundamentally Fair Hearing
32
B.
Ex Parte Communications
32
C.
Providing Assistance To The Parties
33
VI.
Value of Non-Neutral Arbitrators in Commercial Arbitrations
34
ch. 4
Determining Jurisdiction and Arbitrability / June R. Lehrman
37
I.
Introduction
37
II.
Legal Background
38
A.
Prima Paint; Rent-A-Center, West; and The Separability Doctrine
38
B.
The First Options Clear and Unmistakable Evidence Doctrine
39
C.
Gateway (Procedural Vs. Substantive) Jurisdictional Issues
40
D.
Conditions Precedent To Arbitration
41
E.
Waiver
42
F.
Illegality and Other Defenses Arguably Going To The Making of The Contract
43
III.
Procedures For Determining Jurisdictional and Arbitrability Objections
45
ch. 5
Class Arbitration / John H. Wilkinson
47
I.
Accepting An Appointment To Serve As An Arbitrator in A Class Arbitration
47
II.
Class Arbitrations and Disclosure
48
III.
The Applicability of General Arbitration Procedures and Principles To Class Arbitrations
49
IV.
Jurisdiction and The Bazzle and Stolt-Nielsen Decisions
49
V.
Interpreting Arbitration Clauses That Are Silent on The Topic of Class Arbitration
50
VI.
The Effect of A Class Action Preclusion Clause on Arbitral Jurisdiction
51
VII.
Determining Whether A Class Arbitration May Be Maintained Under The Parties' Arbitration Agreement
53
A.
Clause Construction Awards
53
B.
Ripeness/Finality of Clause Construction Awards and Functus officio
55
VIII.
Class Certification
56
IX.
Partial Final Awards on The Class Certification Issue
59
X.
Notice of Class Determination
60
XI.
Management of Class Arbitrations
61
XII.
Attorneys' Fees Awards
63
XIII.
The Final Award
64
XIV.
Settlement, Voluntary Dismissal, Or Compromise
65
XV.
Confidentiality
66
ch. 6
Preliminary Conferences and Pre-Hearing Management in General / John H. Wilkinson
67
I.
The Importance of Pre-Hearing Management
67
II.
Convening The Preliminary Conference
68
A.
Time of The Preliminary Conference
68
B.
Who Should Attend The Preliminary Conference
69
C.
Location of The Preliminary Conference
70
D.
Giving Notice of The Preliminary Conference
70
III.
Conducting The Preliminary Conference
71
A.
Arbitrators' Introductory Statement
71
B.
Opening Statements By Counsel
72
C.
Determining The Issues on The Conference Agenda
72
IV.
Memorializing The Preliminary Conference
73
V.
Matters To Address At The Preliminary Conference
74
A.
Identity of The Parties
74
B.
Claims and Defenses Presented
74
C.
Applicable Arbitration Agreement, Law, and Rules
75
D.
Disputes Concerning Arbitrability
75
E.
Information Required For Additional Disclosure
75
F.
Disqualification of Counsel
76
G.
Consolidation and Joinder
76
H.
Discovery
79
I.
Motions
79
J.
Providing Specialized Information To Arbitrators
79
K.
Appointment of Neutral Experts
79
L.
Communication Ground Rules
80
M.
Location of The Hearing
80
N.
Dates of The Hearing
81
O.
Hearing Subpoenas For Non-Party Witnesses
81
P.
Continuances and Cancellations
82
Q.
Nature of Award
83
R.
Time of Award
84
S.
Hearing Procedures Checklist
84
T.
Other Matters
86
VI.
Encouraging Mediation Or Other Settlement Efforts
86
VII.
Subsequent Pre-Hearing Management
90
ch. 7
Motions / Robert W. Wachsmuth
93
I.
Introduction
93
II.
Arbitral Authority To Hear Motions
94
III.
Types of Motions
95
A.
Service of Process
95
B.
Jurisdiction and Arbitrability
95
C.
Consolidation and Joinder
96
D.
Preliminary Relief
96
E.
Pleadings
97
F.
Discovery
98
G.
Bifurcation
98
H.
Dispositive Motions
99
I.
Motions in Limine Or To Exclude Evidence
100
J.
Sanctions
101
K.
Continuances
102
L.
Disqualification of Arbitrators
104
M.
Modification of Award
104
ch. 8
Discovery / Stanley P. Sklar
105
I.
Introduction
105
A.
Arbitrator's Critical Role in Reasonably Containing Discovery
105
B.
Arbitrator Tools For Reasonably Containing Discovery
107
II.
Document Production
110
A.
Applicable Arbitration Rules
110
B.
Documents on Which Party Intends To Rely
111
C.
Document Requests
111
D.
Management of Ediscovery
112
1.
Introduction
112
2.
Overview of How Esi Differs From Traditional Paper Storage
112
3.
Guidance For Management of The Ediscovery Process
113
4.
Conclusion
117
E.
Duty To Supplement
117
F.
Claims of Privilege
118
III.
Depositions of Party Witnesses
118
A.
Arbitrators' Authority
118
B.
Limiting Discovery Depositions
119
IV.
Interrogatories and Requests For Admissions
120
V.
Discovery of Expert Witnesses
120
A.
Discovery of Experts in General
120
B.
Scheduling Discovery of Expert Witnesses
121
VI.
Discovery From Third Parties
122
A.
Extent of Arbitrators' Authority To Issue Third-Party Discovery Subpoenas
122
B.
Form and Issuance of Discovery Subpoenas
122
C.
Enforcement of Discovery Subpoenas
123
VII.
Site Inspections
124
VIII.
Confidentiality and Protection of Proprietary Information
125
IX.
Discovery Disputes
125
A.
Encouraging Parties To Resolve Discovery Disputes
125
B.
Formal Resolution of Discovery Disputes
126
X.
Discovery As A Litmus Test For A Successful Arbitration
127
ch. 9
The Hearing on The Merits / Curtis E. Von Kann
129
I.
Designing The Appropriate Hearing Process
129
II.
Document Hearings
130
III.
Setting The Basic Construct of The Hearing
131
A.
Standards For Admission of Evidence
131
B.
Order of Proof
132
IV.
Management of Exhibits
134
A.
Core Exhibits
134
B.
Evidentiary Exhibits
135
C.
Demonstrative Exhibits
137
D.
Exhibits Created During The Hearing
138
V.
Management of Testimony
139
A.
Possible Use of Written Testimony
139
B.
Expert Witness Testimony
141
C.
Lay Witness Testimony
142
D.
Testimony From Witnesses At Other Locations
143
E.
Previously Recorded Testimony
143
F.
Sequestration of Witnesses
144
G.
Restrictions on Counsel's Communications With Witnesses During Testimony
145
VI.
Management of Hearing Time
146
A.
Introduction
146
B.
Setting and Maintaining A Realistic Daily Schedule
146
C.
Monitoring Compliance With The Hearing Schedule
147
D.
What To Do If A Party Runs Out of Time Or Requests A Continuance
148
VII.
Management of Logistics
150
A.
Use of Technology
150
B.
Transcripts
151
C.
Hearing Room Logistics
152
D.
Special Needs
152
VIII.
Site Visits
153
IX.
Arbitrator Conduct During Hearings
154
A.
Controlling The Hearing
154
B.
Setting The Tone
155
C.
Maintaining An Open Mind
155
D.
Questioning Witnesses
155
E.
Discussing The Case With Other Arbitrators
156
F.
Dealing With Non-Appearance of Witnesses
156
G.
Making Further Disclosures
157
H.
Addressing Arbitrator Performance Problems
157
I.
Calling For Additional Evidence
158
J.
Confirming That All Evidence Has Been Presented
158
X.
Determining Requests For Fees, Costs, and Interest
159
XI.
Briefing
160
A.
Pre-Hearing Briefs
160
B.
Post-Hearing Briefs
161
C.
Other Materials That May Assist Arbitrators
162
XII.
Statements and Arguments of Counsel
163
A.
Opening Statements
163
B.
Mini-Summaries
163
C.
Final Arguments
164
ch. 10
Awards / Michael S. Wilk
167
I.
Introduction
167
II.
Final Awards
168
A.
Making A Definite and Final Award Upon The Matter Submitted
168
B.
Form of Award
169
C.
Content of Award
171
1.
Architectural Framework of Award
171
2.
Detailed Sections of Award
172
a.
Identifying Arbitral Process and Issues To Be Determined
172
b.
Analyzing The Law and Evidence
172
c.
Awarding Section
173
D.
Preparation and Issuance of Award
174
III.
Interim Awards
175
IV.
Partial Final Awards
178
V.
Remedies
179
A.
Authority To Craft Remedies
179
B.
Punitive Damages
180
C.
Attorneys' Fees, Arbitrators' and Arbitral Institution Fees, and Costs
181
1.
Attorneys' Fees
181
2.
Arbitrators' and Arbitral Institution Fees and Expenses
181
3.
Other Costs and Expenses
182
4.
The Issuance of Interim Or Partial Awards Pending Determinations Relating To Fees and Expenses
183
D.
Sanctions
183
VI.
Dissenting Opinions
184
ch. 11
Post-Award Matters / David E. Wagoner
185
I.
Introduction
185
II.
Limited Grounds For Post-Award Relief
186
A.
Doctrine of Functus officio
186
1.
Arbitrators' Lack of Authority To Alter Determination on The Merits After Issuance of A Final Award
187
2.
Exceptions To Functus officio
188
a.
Clerical, Computational, and Similar Errors
188
b.
Submitted But Unadjudicated Issues
189
c.
Clarifications Regarding Intent of Award
189
3.
Other Allowed Post-Award Authority
190
B.
Interrelationship Between The Functus officio Doctrine, Institutional Rules, and Arbitration Law
191
C.
Sua Sponte Clarification of Awards and Corrections of Clerical and Similar Errors
192
D.
Checklist For Arbitrators To Consider Before Modifying An Award
193
III.
Issues Arising on Remand of Final Award
193
A.
Following The Court's Remand Instructions
194
B.
Remands and Insufficient Arbitration Records
195
C.
Fees and Costs Incurred in Addressing Awards on Remand
196
D.
Checklist For Arbitrators Faced With Remand
197
IV.
Post-Award Ethical Issues
197
A.
Maintaining Confidentiality of The Arbitration Proceeding
198
B.
Assisting The Parties in Understanding The Award
198
C.
Post-Award Relationships With Parties and Counsel
199
ch. 12
International Arbitration (Preliminary Matters) / Lucy F. Reed
201
I.
Introduction
201
II.
Appointment Process
203
A.
Initial Communication Regarding Possible Appointment
203
B.
Arbitrators' Determination of Willingness, Suitability, Fitness, and Availability To Serve
204
C.
Arbitrator Disclosures
206
1.
Iba Disclosure Guidelines
207
2.
Due Diligence in Determining Disclosures
208
3.
Challenges To Appointment
209
4.
Arbitrators' Terms of Engagement
210
5.
Changes in Status in The Course of The Proceeding
211
III.
Determining Jurisdiction and Arbitrability
212
A.
Challenges To Arbitrators' Jurisdiction
212
B.
Challenges To Arbitrability of A Party's Claims
214
C.
Formalizing Arbitrators' Decisions on Jurisdictional, Arbitrability, and Competence Issues
216
ch. 13
International Arbitration (Conduct of Proceedings) / Lucy F. Reed
217
I.
Preliminary Meeting
217
II.
Terms of Reference and Initial Procedural Order
218
III.
Motions and Applications
220
IV.
Depositions and Document Production
222
A.
Depositions and Witness Statements
222
B.
Document Production
223
V.
Expert Witnesses
225
VI.
Written Submissions
225
VII.
The Merits Hearing
228
A.
Preparations
229
B.
Organization of The Hearing
230
VIII.
The Award
232
IX.
Post-Award Proceedings
234
X.
Conclusions
236
Appendix The College of Commercial Arbitrators Protocols For Expeditious, Cost-Effective Commercial Arbitration Key Action Steps For Business Users, Counsel, Arbitrators & Arbitration Provider Institutions / Associate Editors
237
Index
333