NITA Publications

The Arbitrator's Handbook

The Arbitrator's Handbook offers a full range of features geared to assist the arbitrator in performing his or her duties. Chapter One provides basic information on the nature of arbitration, including a description of its stages and types, and its benefits and limitations. Cooley defines the role, authority, and ethics requirements of the arbitrator. Chapter Two describes the prehearing functions and duties of the arbitrator, focusing on the time of initiation of the arbitration as well as the preparation stage. Chapter Three focuses on the arbitrator's hearing functions and duties. It covers such topics as the arbitrator's opening statement, handling preliminary matters, a review of basic rules of evidence, and making rulings on motions and objections. Chapter Four, on the arbitrator's post-hearing functions and duties, addresses such topics as ruling on post hearing motions, deciding the merits of the case, and drafting the award and the opinion supporting the award. In addition, tables and checklists are included in the appendices for key actions at critical stages of the arbitration process. The appendix also contains sample arbitration forms and rules from leading dispute resolution organizations, making this the most comprehensive text available for "hands-on" arbitration instruction.

• >> TABLE OF CONTENTS
  Table of Contents
  
  Chapter One--General Description of the Arbitration Process
  1.1 Overview of the Arbitration Process
  1.2 The Role and Authority of the Arbitrator
  1.3 Arbitrator Ethics
  
  Chapter Two--The Arbitrator's Prehearing Functions and Duties
  2.1 Initiation of Arbitration
  2.2 Conducting the Preliminary Hearing
  2.3 Supervising Prehearing Discovery
  2.4 Prehearing Provisional Court Remedies and Interim Arbitration Awards
  2.5 Preparing for the Arbitration Hearing
  2.6 Conducting a Site Visit
  2.7 Withdrawal, Incapacity, or Death of an Arbitrator
  
  Chapter Three--The Arbitrator's Hearing Functions and Duties
  3.1 Arbitrators' Conference
  3.2 Sequence of the Hearing--General
  3.3 Arbitrator's Opening Statement
  3.4. Handling Preliminary Matters
  3.5 Parties' Opening Statements
  3.6 Understanding Basic Principles of Evidence
  3.7 Customary Procedure and Ethics of Direct Examination
  3.8 Customary Procedure and Ethics of Cross-Examination
  3.9 Permissible Impeachment
  3.10 Expert Testimony
  3.11 Foundations for Evidence
  3.12 Hearing Exhibits
  3.13 Ensuring Completeness and Accuracy of Transcripts
  3.14 Ruling on Objections and Offers of Proof
  3.15 Arbitrator's Prerogative to Call Witnesses and Direct Introduction of Other Evidence
  3.16 Entertaining Final Arguments
  3.17 Concluding the Hearing
  
  Chapter Four--The Arbitrator's Post-hearing Functions and Duties
  4.1 Ruling on Post-hearing Motions
  4.2 Reviewing Post-hearing Briefs and Proposed Findings and Conclusions
  4.3 Deciding the Merits of the Claims and Defenses
  4.4 Drafting the Award
  4.5 Drafting the Opinion Supporting the Award--General
  4.6 The Opening
  4.7 Summary of Claims and Defenses and Other Issues
  4.8 Statement of Facts
  4.9 Discussing, Analyzing, and Applying Relevant Law or Equitable Principles--General Considerations
  4.10 Drafting the Ratio Decidendi
  4.11 Drafting the Disposition
  4.12 Drafting Findings of Fact and Conclusions of Law
  4.13 Signing and Issuing the Award
  4.14 Retaining Jurisdiction to Enforce or Monitor Award
  4.15 Enforcement, Challenge, and Appeal of Award
  4.16 The Role of the Appellate Arbitrator
  
  Chapter Five--Conducting the Cyberarbitration
  5.1 Basic Definitions
  5.2 Comparison of Face to face, Telephone, and Written Communication in Arbitration
  5.3 Benefits and Limitations of Cyberarbitration
  5.4 Ethics of Cyberarbitration
  5.5 Comparison of Various Communication Modes in Cyberarbitration
  5.6 Cyberspace Netiquette
  5.7 Gathering Relevant Internet Information
  
  Epilogue
  Truth Never Dies
  
  Appendices
  Contents of Appendices
  A. Grounds for Various Arbitration Rulings
  B. Arbitrator's Prehearing Functions and Duties Checklist
  C. Arbitrator's Hearing Functions and Duties Checklist
  D. Arbitrator's Post-hearing Functions and Duties Checklist
  E. Sample Arbitration Clauses for a Commercial Contract
  F. AAA Commercial Arbitration Rules
  G. JAMS Comprehensive Arbitrations Rules and Procedures
  H. AAA International Arbitration Rules
  I. 1958 New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards
  J. AAA Supplementary Procedures for Online Arbitration
  K. The Code of Ethics for Arbitrators in Commercial Disputes--Revised 2004
  L. Selected ABA Model Rules of Professional Conduct
  M. American Bar Association Litigation Section's Civility Guidelines
  N. Uniform Arbitration Act
  O. Federal Arbitration Act
  P. Organizations Offering ADR Services
  
  October 22, 2010

• >> AUTHOR
  
  
  • Hon. John W. Cooley
    
    
    • Hon. John W. Cooley (1943-2009) was a mediator in government and private practice since 1977. He was a former United States Magistrate, Assistant United States Attorney, Senior Staff Attorney for the United States Court of Appeals for the Seventh Circuit, and a nationally recognized author and teacher of appellate advocacy and of alternative dispute resolution.