About the book:
The aim of the Guide is to identify best practices that arbitrators can employ to provide users of arbitration with the highest possible standards of economy and fairness in the disposition of business disputes. This second edition of the Guide refines the guidance contained in the first edition to take into account developing case law, revised institutional rules, advancements in arbitration techniques and thinking, and also addresses newly evolving issues such as electronic discovery.
There are significant differences in the ways in which arbitrations are conducted in different substantive fields of commerce and among different arbitrators in the same field. Techniques that are appropriate and useful in one case may be quite unsuited to another. For this reason, it is not possible to prescribe a single set of best practices that commercial arbitrators should invariably follow in every case. Rather, this Guide attempts to identify the principal issues that typically arise in each successive stage of an arbitration and to explain the pros and cons of various preferred ways of handling each issue. From this perspective, the best practice for an arbitrator is to carefully consider the merits of alternative techniques available for dealing with a particular issue and to then select the technique best suited to the situation. In addition, the Guide attempts to identify the full array of practices available for use in complex arbitrations, which can be adapted and streamlined for simpler cases.
Formed in 2001, the College of Commercial Arbitrators is a non-profit organization composed of prominent, experienced commercial arbitrators who believe that a national association of commercial arbitrators can provide a meaningful contribution to the profession, to the public, and to the businesses and lawyers who depend on arbitration as a primary means of dispute resolution. Its mission includes promoting professionalism and high ethical practice in commercial arbitration, adopting and maintaining standards of conduct, providing peer training and professional development, and developing and publishing "best practices" materials. This work is the College's principal vehicle for fulfilling several aspects of its mission. Many seasoned and knowledgeable practitioners generously contributed their time and insights to the creation of this Guide.

Preface
About the Editors
About the Contributors
by Winslow Christiann, James M. Gaitis, June R. Lehrman, and Curtis E. von Kann
APPOINTMENT, DISCLOSURES, AND DISQUALIFICATION OF NEUTRAL ARBITRATORS
by James H. Carter, Paul J. Dubow, Ruth V. Glick, Robert A. Holtzman, June R. Lehrman, James R. Madison, 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
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
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
DETERMINING JURISDICTION AND ARBITRABILITY
by R. Doak Bishop, Robert B. Davidson, Barry H. Garfinkel, 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
by Robert B. Davidson, James M. Gaitis, Louise A. LaMothe, Bruce E. Meyerson, Deborah Rothman, Francis O. Spalding, and John H. Wilkinson
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
AND PRE-HEARING MANAGEMENT IN GENERAL
by David N. Brainin, James P. Groton, Gerald F. Phillips, Deborah Rothman, Curtis E. von Kann, and John H. Wilkinson
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
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
by R. Doak Bishop, M. Scott Donahey, James W. Durham, David M. Heilbron, Louise A. LaMothe, Deborah Rothman, 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
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
by Thomas J. Brewer, Jay W. Elston, James M. Gaitis, Richard A. Levie, and Michael S. Wilk
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
VI. DISSENTING OPINIONS
by Paul J. Dubow, James M. Gaitis, James R. Madison, Christi L. Underwood, 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
D. Checklist for Arbitrators Faced with Remand
IV. 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
by Gerald Aksen, Axel H. Baum, Richard H. Kreindler, Lawrence W. Newman, 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
(Conduct of Proceedings)
by Gerald Aksen, Axel H. Baum, Richard H. Kreindler, Lawrence W. Newman, and Lucy F. Reed
I. PRELIMINARY MEETING
II. TERMS OF REFERENCE AND INITIAL
PROCEDURAL ORDER
III. MOTIONS AND APPLICATIONS
IV. DEPOSITIONS AND DOCUMENT
PRODUCTION
A. Depositions and Witness Statements
B. Document Production
V. EXPERT WITNESSES
VI. WRITTEN SUBMISSIONS
VII. THE MERITS HEARING
A. Preparations
B. Organization of the Hearing
VIII. THE AWARD
IX. POST-AWARD PROCEEDINGS
CONCLUSIONS
THE COLLEGE OF COMMERCIAL ARBITRATORS PROTOCOLS FOR EXPEDITIOUS, COST-EFFECTIVE
Key Action Steps for Business Users, Counsel, Arbitrators & Arbitration Provider Institutions
Thomas J. Stipanowich, Editor-in-Chief Curtis E. von Kann and Deborah Rothman, Associate Editors
Index
Praise for The College of Commercial Arbitrators Guide to Best Practices in Commercial Arbitration - 2nd Edition
"The use of arbitration in larger and more complex cases is increasing. These cases require more sophisticated procedures and case management. The Second Edition of the College of Commercial Arbitrators'"Best Practices" is an invaluable tool for arbitrators who strive to provide skillful and effective case management in this challenging environment. It effectively presents the collective wisdom of the top commercial arbitrators in the United States and sets a clear standard for exceptional performance."
-Chris Poole, President and CEO, JAMS The Resolution Experts
Praise from The College of Commercial Arbitrators Guide to Best Practices in Commercial Arbitration - 1st Edition:
"While chiefly addressed to arbitrators, it will also serve advocates well. In
addition to other attributes, this book examines contemporary topics which
are not typically discussed such as Class Actions, Encouraging Mediation
and Other Settlement Efforts, and Addressing Arbitrator Performance
Problems. Highly readable and very useful."
-William K. Slate II, President and CEO, American Arbitration Association
"At a time when concerns about costs, delays and results in commercial
arbitration continue to dominate current discourse, it is critical for arbitrators
and counsel to take the lead in addressing these concerns with realistic
practical solutions. The College of Commercial Arbitrators Guide to Best
Practices is not only an important contribution to the literature, but a
significant step in the direction of responsible stewardship by those active
in the field. It should be an essential addition to the practitioner's library."
-Thomas J. Stipanowich, Academic Director, Straus Institute for Dispute
Resolution; Professor of Law, Pepperdine School of Law; Former President
and CEO, CPR Institute.