TreatiseTreatise

Arbitrating Commercial Disputes in the United States

 by David C. Singer
 
 Copyright: 2018

 Product Details >> 

Product Details

  • ISBN Number: 9781402431142
  • Page Count: 420
  • Number of Volumes: 1
  •  

Bringing or defending commercial arbitrations requires a clear grasp of the latest developments in the field, a practical understanding of how the arbitration process works, and knowledge of how the courts interpret and enforce arbitration agreements and treat arbitral awards. And participating in an arbitration demands a distinctive set of skills, different from those learned in the courtroom. Author/editor David Singer and his contributors—many of them arbitrators, and all of them deeply familiar with the arbitration process—provide the information and insights that will help readers master commercial arbitration.

Citing hundreds of cases, as well as drawing upon the extensive experience of the contributors, this book addresses the strategies that lead to success.
  Table of Contents
  Recognizing Another Distinguished PLI Treatise
Chapter 1: Introduction
  • § 1:1 : What Is Arbitration?1-1
  • § 1:2 : The Arbitration Clause1-2
  • § 1:3 : Benefits of Commercial Arbitration1-2
  • § 1:4 : Arbitration As More Efficient, Speedier Than Litigation1-4
  • § 1:5 : Arbitration Versus Litigation Practice1-5
Chapter 2: Historical Background
  • § 2:1 : Early Days of Arbitration2-1
  • § 2:2 : Early Attitudes of U.S. Courts Toward Arbitration2-3
  • § 2:3 : The Rise of Arbitration in the Twentieth Century2-4
  • § 2:4 : Federal Legislation2-5
Chapter 3: The FAA Statutory Framework
  • § 3:1 : Introduction3-1
  • § 3:2 : Purposes of the FAA3-2
  • § 3:3 : Scope of the FAA3-5
  • § 3:4 : Concurrent Jurisdiction of State and Federal Courts3-10
    • § 3:4.1 : State Jurisdiction3-10
    • § 3:4.2 : Federal Jurisdiction3-10
  • § 3:5 : Preemption of State Law by the FAA3-16
    • § 3:5.1 : Preemption of State Law Barring Arbitration of Claims3-16
    • § 3:5.2 : Preemption of State Procedural Law Impacting Arbitration3-18
  • § 3:6 : Parties’ Choice of Governing Law3-19
Chapter 4: Arbitrability and Jurisdiction
  • § 4:1 : Introduction4-2
  • § 4:2 : Who Decides Arbitrability Issues?4-3
    • § 4:2.1 : Procedural Context in Which the Question Arises4-3
    • § 4:2.2 : Baseline Principle: Arbitrability Is Decided by the Courts4-4
    • § 4:2.3 : Influence of Federal Pro-Arbitration Policy When Courts Decide Arbitrability Issues4-5
  • § 4:3 : Deviations from the Baseline Principle: The Arbitrability of Arbitrability4-7
    • § 4:3.1 : The Separability Principle4-7
    • § 4:3.2 : The Delegation Principle4-7
    • § 4:3.3 : Arbitration Rules As “Clear and Unmistakable Evidence” of Delegation4-8
    • § 4:3.4 : Severability of Clause Delegating Arbitrability to the Arbitrator4-9
  • § 4:4 : Judicial Review When Arbitrators Rule on Arbitrability Pursuant to a Valid Delegation4-10
  • § 4:5 : “Gateway” Procedural Issues and Preconditions to Arbitrating the Merits4-12
  • § 4:6 : State Laws Inhibiting Arbitration4-13
    • § 4:6.1 : General Principles4-13
    • § 4:6.2 : Whether the Substantive Command of FAA Section 2 Applies4-14
    • § 4:6.3 : No General Preemption of State Laws Concerning Arbitration4-15
    • § 4:6.4 : Effect of the Parties’ Express Adoption of State Arbitration Law4-15
    • § 4:6.5 : Whether the Parties Have in Fact Adopted State Arbitration Law4-16
  • § 4:7 : State Laws Requiring a Nonarbitral Forum Based on Subject Matter4-18
  • § 4:8 : State Laws Requiring Special Content in an Arbitration Agreement4-18
  • § 4:9 : State Law Rules Limiting Contractual Waivers of Collective Arbitration4-19
  • § 4:10 : State Law Rules of Contract Interpretation4-20
  • § 4:11 : Ongoing Tension in State Courts Between State Law and FAA4-21
  • § 4:12 : Conflicts Between the Arbitration Agreement and Other Federal Law4-22
    • § 4:12.1 : General Principles4-22
    • § 4:12.2 : Collective Action Waivers As a Practical Limitation on Asserting Federal Statutory Claims4-23
  • § 4:13 : Collective Action Waivers and the National Labor Relations Act4-23
  • § 4:14 : Parties That Did Not Sign the Arbitration Agreement4-25
    • § 4:14.1 : General Principles4-25
    • § 4:14.2 : Equitable Estoppel4-26
      • [A] : Estoppel Against a Signatory to the Agreement4-26
      • [B] : Estoppel Binding Signatory to Arbitrate with Employees of Other Signatory4-27
      • [C] : Estoppel Against Nonsignatory Based on “Direct Benefit” or “Detrimental Reliance”4-28
    • § 4:14.3 : Alter Ego4-28
  • § 4:15 : Assignment and Assumption4-29
  • § 4:16 : Third-Party Beneficiary4-30
  • § 4:17 : Incorporation by Reference4-30
  • § 4:18 : Agency4-31
Chapter 5: Privacy and Confidentiality
  • § 5:1 : Generally5-1
  • § 5:2 : Privacy of the Process Does Not Assure Confidentiality5-2
  • § 5:3 : Impact of Provider Rules on Confidentiality Obligations of Participants5-3
  • § 5:4 : Impact of State Law on Confidentiality5-5
  • § 5:5 : The Special Case of Patent Arbitration5-7
  • § 5:6 : Court Proceedings5-7
  • § 5:7 : Preserving Confidentiality in Orders and Confidentiality Agreements5-9
    • § 5:7.1 : Protective Measures5-10
    • § 5:7.2 : End-of-Process Procedures5-11
  • § 5:8 : Conclusion5-12
Chapter 6: Commencing the Arbitration
  • § 6:1 : Procedural Rules Governing Commencement of Arbitration6-1
    • § 6:1.1 : Revised Uniform Arbitration Act6-2
  • § 6:2 : Applicable Rules of Arbitral Institutions6-4
    • § 6:2.1 : American Arbitration Association6-4
    • § 6:2.2 : JAMS6-5
    • § 6:2.3 : International Institute for Conflict Prevention and Resolution6-5
  • § 6:3 : Case Law Addressing Service and Contents of Arbitration Demands6-6
    • § 6:3.1 : Consent to Jurisdiction and Due Process6-6
    • § 6:3.2 : Inadequate Notice of an Arbitration Proceeding As Grounds for Vacating Award6-9
  • § 6:4 : Payment of Fees6-12
Chapter 7: Selecting the Arbitrators
  • § 7:1 : Overview7-2
  • § 7:2 : Selection Framework: The Agreement and the Organizational Rules7-3
  • § 7:3 : Selection Criteria7-5
    • § 7:3.1 : Impartiality and Independence7-7
    • § 7:3.2 : Arbitration Skills7-8
    • § 7:3.3 : Availability7-9
    • § 7:3.4 : Personality and Disposition7-10
    • § 7:3.5 : Preparedness and Diligence7-11
    • § 7:3.6 : Expertise and Industry Experience7-11
    • § 7:3.7 : Respect and Reputation7-13
    • § 7:3.8 : Diversity7-13
    • § 7:3.9 : Special Considerations for Neutral Party-Appointed Arbitrators7-14
  • § 7:4 : Research and Due Diligence7-16
    • § 7:4.1 : Biographies or Resumes from Arbitration Institutions7-16
    • § 7:4.2 : Online Resources and Social Media7-16
    • § 7:4.3 : Word of Mouth from Trusted Sources7-18
    • § 7:4.4 : Pre-Selection Questions7-19
    • § 7:4.5 : Interviewing Prospective Arbitrators7-19
  • § 7:5 : Approaches for Selecting Arbitrators7-23
    • § 7:5.1 : Ad Hoc (Nonadministered) Arbitrations7-24
    • § 7:5.2 : Rules in Administered Proceedings7-26
      • [A] : AAA Rules7-26
      • [B] : JAMS Comprehensive Arbitration Rules and Procedures7-28
      • [C] : CPR Administered Arbitration Rules7-28
  • § 7:6 : Disclosures and Disqualification7-30
Chapter 8: The Preliminary Conference
  • § 8:1 : Importance of the Preliminary Conference8-2
  • § 8:2 : Timing8-2
  • § 8:3 : Participants and Logistics8-3
  • § 8:4 : Topics to Be Covered8-3
    • § 8:4.1 : Rules and Checklists8-3
    • § 8:4.2 : Party Identity8-6
    • § 8:4.3 : Claims, Defenses, Pleadings, and Amendments8-6
    • § 8:4.4 : Arbitration Agreement8-6
    • § 8:4.5 : Applicable Procedural Law, Substantive Law, and Rules8-7
    • § 8:4.6 : Arbitrability8-7
    • § 8:4.7 : Threshold Issues or Preconditions8-7
    • § 8:4.8 : Interim Measures8-7
    • § 8:4.9 : Consolidation and Joinder8-8
    • § 8:4.10 : Bifurcation8-8
    • § 8:4.11 : Motions8-8
    • § 8:4.12 : Exchange of Information8-8
    • § 8:4.13 : Prehearing Schedules and Deadlines8-9
    • § 8:4.14 : Expert Witness Issues8-9
    • § 8:4.15 : Prehearing Submissions8-9
    • § 8:4.16 : Scheduling of the Hearing and Hearing Logistics8-10
    • § 8:4.17 : Subpoenas8-10
    • § 8:4.18 : Manner of Testimony at the Hearing8-11
    • § 8:4.19 : Nature of the Award8-11
    • § 8:4.20 : Post-Hearing Submissions8-11
    • § 8:4.21 : Other Matters8-11
  • § 8:5 : Subsequent Preliminary Conferences8-11
  • § 8:6 : Preliminary Conference Order8-12
Chapter 9: Discovery
  • § 9:1 : Introduction9-2
  • § 9:2 : Prehearing Party Discovery Under Applicable Statutes9-5
  • § 9:3 : Nonparty Discovery9-8
    • § 9:3.1 : Subpoena Power9-8
    • § 9:3.2 : Service, Production, and Enforcement of Nonparty Subpoenas9-19
    • § 9:3.3 : Signing of Subpoena9-22
    • § 9:3.4 : Service of Subpoena9-22
    • § 9:3.5 : Nonparty Objections9-24
  • § 9:4 : Pre-Arbitration Discovery9-27
  • § 9:5 : The Arbitration Clause (Selecting Rules and Customization)9-29
    • § 9:5.1 : Customization9-32
  • § 9:6 : Role of the Arbitrator9-32
    • § 9:6.1 : Arbitrator Authority and Discretion9-32
    • § 9:6.2 : Inherent Power of Arbitrators9-36
  • § 9:7 : Failure to Comply with Discovery Orders9-36
    • § 9:7.1 : Exclusion of Evidence, Adverse Inferences, and Dismissal of Claims9-37
    • § 9:7.2 : Imposition of Sanctions for Discovery Abuses9-38
  • § 9:8 : Vacatur Based on Discovery-Related Issues9-41
    • § 9:8.1 : Routine Denial of Motions to Vacate Based on Discovery Determinations9-41
    • § 9:8.2 : Monetary Sanctions Arising from Discovery Abuse9-45
    • § 9:8.3 : Adverse Inferences Arising from Discovery Abuses9-46
    • § 9:8.4 : Exceptions to the General Practice9-49
Chapter 10: Motions
  • § 10:1 : Introduction10-1
  • § 10:2 : Dispositive Motions10-2
    • § 10:2.1 : Historical Factors Discouraging Dispositive Motions10-2
      • [A] : Growing Acceptability of Dispositive Motions10-3
      • [B] : Recommendations10-6
  • § 10:3 : Discovery Motions10-7
  • § 10:4 : Motions to Adjourn Hearing10-10
  • § 10:5 : Motions to Bifurcate Liability and Damages10-12
  • § 10:6 : Conclusion10-13
Chapter 11: Lead-Up to the Evidentiary Hearing
  • § 11:1 : Introduction11-1
  • § 11:2 : Prehearing Memoranda11-2
  • § 11:3 : Fact Stipulations11-3
  • § 11:4 : Prehearing Consideration of Evidentiary Issues11-4
    • § 11:4.1 : Which Rules Will Apply11-4
    • § 11:4.2 : Impact of Arbitrator Background11-5
    • § 11:4.3 : Some Common Evidentiary Issues11-5
    • § 11:4.4 : Nonparty Witnesses11-6
    • § 11:4.5 : Hostile Witnesses11-8
  • § 11:5 : Party Representatives11-9
  • § 11:6 : Mechanics and Logistics of Evidentiary Presentation11-9
    • § 11:6.1 : Generally11-9
    • § 11:6.2 : Exhibits11-10
    • § 11:6.3 : Witnesses11-12
    • § 11:6.4 : Experts and Their Reports11-13
  • § 11:7 : Conclusion11-15
Chapter 12: The Evidentiary Hearing
  • § 12:1 : Evidentiary Hearings in Arbitration Compared to Trials12-2
  • § 12:2 : Structure of the Evidentiary Hearing12-2
    • § 12:2.1 : Typical Stages12-2
    • § 12:2.2 : Allocation of Time and the “Chess-Clock” Method12-3
    • § 12:2.3 : Logistics, Including Transcription and Translation Services12-4
  • § 12:3 : Opening Statements12-4
    • § 12:3.1 : Content and Purpose12-4
    • § 12:3.2 : Compared to Opening Statements in Court12-5
    • § 12:3.3 : Responding to Arbitrator Questions12-5
    • § 12:3.4 : Use of Demonstratives12-6
  • § 12:4 : Fact Witnesses12-7
    • § 12:4.1 : General Observations12-7
    • § 12:4.2 : Written Statements As Direct Testimony12-7
    • § 12:4.3 : Infrequent Use of Depositions12-8
    • § 12:4.4 : Cross-Examination12-8
    • § 12:4.5 : The Tribunal’s Involvement in Examination12-9
  • § 12:5 : Expert Witnesses12-9
    • § 12:5.1 : Structure of Examination12-9
    • § 12:5.2 : Application of Daubert and Frye Standards12-10
    • § 12:5.3 : Independence and Impartiality12-11
    • § 12:5.4 : Witness Conferencing12-12
    • § 12:5.5 : Tribunal-Appointed Experts12-12
  • § 12:6 : Some Evidentiary Matters12-13
    • § 12:6.1 : Flexible Rules of Evidence12-13
    • § 12:6.2 : Admission of Documents12-14
  • § 12:7 : Closing Arguments12-14
  • § 12:8 : Post-Hearing Briefs and the Close of Proceedings12-16
  • § 12:9 : Conclusion12-16
Chapter 13: The Award
  • § 13:1 : Introduction13-2
  • § 13:2 : Finality13-2
    • § 13:2.1 : Generally13-2
    • § 13:2.2 : Doctrine of Functus Officio13-8
    • § 13:2.3 : Exceptions to the Doctrine of Functus Officio13-10
    • § 13:2.4 : Reservation of Jurisdiction13-13
    • § 13:2.5 : Precedential Value of Award13-14
  • § 13:3 : Scope of the Arbitrator’s Authority13-15
  • § 13:4 : Grant of Relief13-17
    • § 13:4.1 : Discretion of Arbitrators13-17
    • § 13:4.2 : Interest13-17
    • § 13:4.3 : Attorneys’ Fees13-18
    • § 13:4.4 : Costs13-21
    • § 13:4.5 : Punitive Damages and Sanctions13-21
  • § 13:5 : Majority or Unanimity; Dissent13-23
  • § 13:6 : In Writing and Signed by the Arbitrators13-24
  • § 13:7 : Time Limits for Rendering the Award13-25
  • § 13:8 : Service of the Award13-29
  • § 13:9 : Partial Final, Interim, and Consent Awards13-29
    • § 13:9.1 : Partial Final Awards13-29
    • § 13:9.2 : Interim Relief13-33
    • § 13:9.3 : Consent Awards and Awards by Confession13-37
  • § 13:10 : Forms of Award13-37
    • § 13:10.1 : Generally13-37
    • § 13:10.2 : Standard Award13-39
    • § 13:10.3 : Reasoned Award13-39
    • § 13:10.4 : Findings of Fact and Conclusions of Law13-40
  • § 13:11 : Conclusion13-41
Chapter 14: Confirmation and Vacatur of Awards
  • § 14:1 : Overview of Requirements for Confirming and Vacating Awards14-2
    • § 14:1.1 : Generally14-2
    • § 14:1.2 : Need to Establish Subject Matter Jurisdiction in Federal Court14-3
    • § 14:1.3 : Venue14-4
    • § 14:1.4 : Role of State Courts14-4
    • § 14:1.5 : Confidentiality14-5
  • § 14:2 : Confirmation of an Award14-5
    • § 14:2.1 : Generally14-5
    • § 14:2.2 : Personal Jurisdiction and Service Requirements14-6
    • § 14:2.3 : Time Limits and Procedural Requirements14-7
  • § 14:3 : Vacatur of an Award14-8
    • § 14:3.1 : Generally14-8
    • § 14:3.2 : Time Limits14-8
    • § 14:3.3 : Grounds Under the Federal Arbitration Act14-9
      • [A] : Corruption, Fraud, or Undue Means14-9
      • [B] : Evident Partiality or Corruption14-10
      • [C] : Refusal to Postpone the Hearing or to Hear Evidence, or Other Prejudicial Misbehavior14-11
      • [D] : Arbitrators Exceeded Their Powers or Imperfectly Executed Them14-12
    • § 14:3.4 : Nonstatutory Grounds for Vacatur: “Manifest Disregard”14-13
    • § 14:3.5 : Procedural Requirements for Motion to Vacate14-15
    • § 14:3.6 : State Law Grounds for Vacatur14-15
  • § 14:4 : Modifying or Correcting an Award14-16
Chapter 15: Arbitration Ethics
  • § 15:1 : Characteristics of the Arbitrator15-2
    • § 15:1.1 : Judicial Characteristics15-2
    • § 15:1.2 : Contractual Characteristics15-2
    • § 15:1.3 : Advocate for Appointing Party15-3
  • § 15:2 : Arbitrator Obligations15-4
    • § 15:2.1 : Sources of Obligations15-4
      • [A] : Federal Arbitration Act15-4
      • [B] : State-Specific Laws or Codes15-5
    • § 15:2.2 : Nature of Obligations15-5
      • [A] : Investigation for Potential Conflicts15-5
      • [B] : Disclosure15-6
      • [C] : Confidentiality15-6
      • [D] : Limited Ex Parte Communications15-6
      • [E] : Due Process15-7
      • [F] : Limited Reliance on Tribunal Secretaries and Assistants15-8
    • § 15:2.3 : Canon X Arbitrators15-8
  • § 15:3 : Counsel Obligations15-9
  • § 15:4 : Judicial Remedies for Unethical Arbitrator Conduct15-11
    • § 15:4.1 : Limitations on Interlocutory Judicial Challenges15-11
    • § 15:4.2 : Vacatur for Arbitrator Misconduct or Partiality15-11
  • § 15:5 : Challenge Procedures in Institutional Arbitral Rules15-11
  • § 15:6 : Waiver15-12
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