The
following questions most frequently asked by new arbitrators are
answered in:
BASIC
SKILLS FOR THE NEW ARBITRATOR - 2nd Edition
by Allan H. Goodman
© Allan H.
Goodman - All rights reserved
THE ARBITRATION
PROCESS AND ROLE OF THE ARBITRATOR
1. WHAT IS THE
DIFFERENCE BETWEEN BINDING AND NON-BINDING ARBITRATION?
2. WHAT IS THE
DIFFERENCE BETWEEN ARBITRATION AND MEDIATION?
3. WHEN DO
PARTIES AGREE TO RESOLVE A DISPUTE BY ARBITRATION?
4. WHAT IF A
PARTY WHO HAS AGREED TO ARBITRATION FILES A LAWSUIT INSTEAD?
5. DO I HAVE TO
BE A LAWYER IN ORDER TO BE AN ARBITRATOR?
6. WHY DO SOME
CASES NEED MORE THAN ONE ARBITRATOR?
7. EVEN IF I
CAN LEARN THE PROCEDURES, WHAT ABOUT THE RULES OF EVIDENCE?
8. WHAT
QUESTIONS DO I ASK ABOUT THE CASE WHEN I AM APPOINTED AS THE ARBITRATOR?
9. WHAT
INFORMATION DO I DISCLOSE?
10. WHAT
DOCUMENTS DO I NEED TO REVIEW AFTER I AM APPOINTED?
11. MAY THE
RESPONDENT FILE A COUNTERCLAIM?
PREHEARING
PROCEDURES AND THE PRELIMINARY CONFERENCE
12. HOW DO I
COMMUNICATE WITH THE PARTIES AFTER I AM APPOINTED?
13. I'VE BEEN
APPOINTED AND I'VE MADE THE NECESSARY DISCLOSURES
- NOW WHAT DO I
DO?
14. WHY DO I
NEED A PRELIMINARY CONFERENCE?
15. WHAT
PROCEDURE DO I USE TO INITIATE THE PRELIMINARY CONFERENCE?
16. WHERE DO I
HOLD THE PRELIMINARY CONFERENCE?
17. HOW DO I
CONDUCT THE PRELIMINARY CONFERENCE?
18. WHY DO I
NEED THE PARTIES TO EXPLAIN THE CASE AT THE PRELIMINARY CONFERENCE?
19. HOW DO I
GET THE PARTIES TO CONDUCT PREHEARING DISCOVERY IF I HAVE NO AUTHORITY
TO ENFORCE DISCOVERY?
20. HOW DO I
DETERMINE A DISCOVERY SCHEDULE AND HEARING DATE?
21. WHAT OTHER
MATTERS CAN BE DISCUSSED AT A PRELIMINARY CONFERENCE?
22. SHOULD I
INQUIRE IF THERE HAVE BEEN ANY ATTEMPTS TO SETTLE THE DISPUTE AT THE
PRELIMINARY CONFERENCE?
23. SHOULD I
PARTICIPATE IN SETTLEMENT DISCUSSIONS?
24. WHY NOT?
25. WHAT IF THE
PARTIES ASK ME TO ATTEMPT TO MEDIATE THE DISPUTE?
26. IS THE
PRELIMINARY CONFERENCE ALWAYS HELD IN PERSON, OR CAN I DO IT BY
TELEPHONE?
27. HOW DO I
ASSURE THAT THE PARTIES ABIDE BY THE AGREEMENTS MADE DURING THE
PRELIMINARY CONFERENCE?
28. HOW DO I
DEAL WITH PARTIES WHO ARE NOT REPRESENTED BY LAWYERS?
PREHEARING
SUBMISSIONS, SUBPOENAS, AND DISCOVERY DISPUTES
29. WHAT TYPE
OF INFORMATION SHOULD THE PARTIES SUBMIT BEFORE THE HEARING?
30. HOW DO I
ISSUE SUBPOENAS IF THE PARTIES WANT TO SUBPOENA WITNESSES OR DOCUMENTS
TO THE HEARING?
31. WHAT TYPES
OF DISCOVERY DISPUTES MIGHT I BE REQUIRED TO RESOLVE?
32. HOW DO I
DECIDE DISCOVERY DISPUTES?
33. WHAT DO I
DO IF SOMEONE UPON WHOM A SUBPOENA IS SERVED DOES NOT APPEAR AT THE
HEARING?
34. IF THE
HEARING CONCLUDES BEFORE A PARTY ENFORCES A SUBPOENA, DOES THE PARTY
LOSE THE RIGHT TO HEAR THE TESTIMONY OR HAVE THE DOCUMENTS PRODUCED?
CONDUCTING THE
HEARING
35. WHAT ARE
THE COMMON METHODS A PARTY MAY USE TO DELAY A HEARING?
36. HOW DO I
DEAL WITH ATTEMPTS TO DELAY THE HEARING?
37. WHAT
FACILITIES DO I NEED TO HAVE A HEARING, AND WHERE IS THE BEST PLACE TO
HAVE IT?
38. WHAT
SEATING ARRANGEMENT IS USED FOR THE HEARING?
39. WHAT IS THE
GENERAL PROCEDURE USED AT A HEARING?
40. IN GENERAL,
HOW DO I BEST PERFORM MY DUTIES AS AN ARBITRATOR DURING THE HEARING?
41. WHAT IS THE
DIFFERENCE BETWEEN ARGUMENT AND TESTIMONY?
42. WHAT CAN I
DO IF I BELIEVE AN OPENING STATEMENT IS TOO LONG?
43. WHO IS
ALLOWED IN THE HEARING ROOM?
44. WHAT ABOUT
WITNESSES THAT ARE NEITHER PARTIES NOR NECESSARY PERSONS?
45. WHAT IF THE
PARTIES WANT THE WITNESSES IN THE ROOM AND I DON'T?
46. HOW DO I
AVOID IMPROPER CONTACT WITH THE PARTIES DURING THE HEARING?
47. HOW DO I
DEAL WITH PARTIES THAT ARE NOT REPRESENTED BY COUNSEL AT THE HEARING?
48. DOES
ARBITRATION REQUIRE A COURT REPORTER AND A TRANSCRIPT OF THE
PROCEEDINGS?
49. DO I NEED A
TRANSCRIPT TO ARRIVE AT MY DECISION?
50. IF THE
PARTIES ASK ME IF I PREFER A COURT REPORTER, WHAT DO I TELL THEM?
51. SHOULD I
TAKE NOTES DURING THE HEARING?
52. MAY I
QUESTION A WITNESS?
53. IF IT
APPEARS THERE IS AN IMPORTANT QUESTION OR AN ISSUE THAT BOTH PARTIES
ARE INTENTIONALLY AVOIDING, SHOULD I ASK THE QUESTION OR RAISE THE
ISSUE?
54. IS THERE
ANYTHING I SHOULD NOT DO DURING A HEARING?
55. WHAT IF A
WITNESS BECOMES SICK AND ONE OF THE PARTIES WANTS TO POSTPONE THE
HEARING?
56. WHAT IF THE
RESPONDENT FAILS TO PARTICIPATE IN THE ARBITRATION BY NOT RESPONDING TO
THE ARBITRATION DEMAND?
57. IF THE
RESPONDENT FAILS TO APPEAR AT THE HEARING, DOES THE CLAIMANT
AUTOMATICALLY WIN?
58. DO
WITNESSES TESTIFY UNDER OATH?
59. HOW IS AN
OATH ADMINISTERED TO A WITNESS TESTIFYING THROUGH AN INTERPRETER?
60. WILL
LAWYERS MAKE OBJECTIONS TO TESTIMONY AND EXHIBITS?
61. WHAT ARE
THE MOST COMMON OBJECTIONS?
62. HOW DO I
RESOLVE AN OBJECTION THAT A QUESTION IS IRRELEVANT?
63. HOW DO I
RESOLVE AN OBJECTION THAT A QUESTION IS LEADING?
64. WHAT IS
HEARSAY?
65. HOW DO I
RULE ON HEARSAY OBJECTIONS?
66. WHAT DOES
"OBJECTION FOR LACK OF FOUNDATION" MEAN?
67. DOES THE
PERSON WHO WROTE A DOCUMENT HAVE TO TESTIFY ABOUT IT BEFORE I CAN
CONSIDER IT?
68. HOW DO I
RULE ON OBJECTIONS TO DOCUMENTS?
69. WHAT OTHER
TYPES OF EVIDENCE MAY BE OFFERED AT A HEARING BESIDES TESTIMONY AND
DOCUMENTS?
70. ARE
SUMMARIES OF DOCUMENTS PROPER EVIDENCE?
71. WHAT WEIGHT
DO I GIVE TO EVIDENCE IN ARRIVING AT MY DECISION?
72. HOW DO I
VISIT THE SITE OF THE DISPUTE?
73. CAN I
SUGGEST TO THE PARTIES HOW THEY SHOULD PRESENT THEIR CASE?
74. HOW DO I
DEAL WITH HOSTILE WITNESSES?
75. HOW DO I
DEAL WITH HOSTILE PARTIES?
76. HOW DO I
DEAL WITH HOSTILE LAWYERS?
77. WHAT SHOULD
I DO IF FOR THE FIRST TIME AT THE HEARING I RECOGNIZE A WITNESS AS
SOMEONE THAT I KNOW?
78. WHAT IS A
FACT WITNESS?
79. WHAT IS THE
DIFFERENCE BETWEEN A FACT WITNESS AND AN EXPERT WITNESS?
80. HOW DO I
KNOW THAT A WITNESS IS REALLY AN EXPERT?
81. DO I ADMIT
A DOCUMENT AS A HEARING EXHIBIT THAT A PARTY DID NOT GIVE TO THE OTHER
PARTY IN DISCOVERY AND DID NOT INCLUDE IN THE EXHIBITS SUBMITTED BEFORE
THE HEARING?
82. HOW DO THE
PARTIES SUMMARIZE WHAT THEY THINK THEY HAVE PROVED AFTER THE HEARING?
83. WHICH IS
PREFERABLE, CLOSING ARGUMENTS OR POSTHEARING BRIEFS?
THE ARBITRATION
AWARD
84. HOW DO I
DECIDE WHO PREVAILS?
85. I AM
LOOKING AT MY NOTES AND I CANNOT REMEMBER WHAT THE WITNESS LOOKED LIKE.
HOW CAN I AVOID THIS?
86. HOW CAN I
UNDERSTAND THE LEGAL ISSUES IF I AM NOT AN ATTORNEY?
87. HOW LONG DO
I HAVE TO RENDER MY AWARD?
88. WHAT IS THE
FORM OF MY AWARD?
89. WHAT IF THE
PARTIES REQUEST A WRITTEN OPINION WHICH INCLUDES MY REASONS FOR MAKING
THE AWARD?
90. DOES THE
NON-PREVAILING PARTY PAY THE PREVAILING PARTY'S LEGAL FEES?
AFTER THE AWARD
91. WHEN ARE
THE ARBITRATOR'S DUTIES CONCLUDED?
92. WHAT SHOULD
I DO WITH MY NOTES AFTER I RENDER THE AWARD?
93. WHAT SHOULD
I DO WITH THE HEARING EXHIBITS AFTER I RENDER THE AWARD?
94. MAY I
DISCUSS MY REASONING WITH THE PARTIES AFTER I RENDER THE AWARD?
95. HOW IS AN
ARBITRATION AWARD ENFORCED?
96. HOW DOES A
DISAPPOINTED PARTY CHALLENGE AN ARBITRATION AWARD?
GETTING PAID
97. HOW DO I
ARRANGE COMPENSATION FOR MY SERVICES?
98. HOW DO I
MAKE SURE I AM PAID?
99. WHAT IF THE
PARTIES HAVE NOT PAID IN ADVANCE WHEN THE HEARING IS CONCLUDED?
CONCLUSION
100. WHAT IS
THE MOST FUNDAMENTAL PRINCIPLE OF BEING AN ARBITRATOR?
101. THIS IS
YOUR QUESTION!
In addition to
answering the questions listed above, BASIC SKILLS FOR THE NEW
ARBITRATOR contains the following sample forms:
ARBITRATOR'S
REQUEST FOR PRELIMINARY CONFERENCE
ARBITRATOR'S
PREHEARING ORDER
SUBPOENA FORM
ARBITRATION
AWARD
© Allan H.
Goodman - All rights reserved