College of Commercial Arbitrators: Guide to Best Practices in Commercial Arbitration, 3rd Edition

Preface
About the Editors
About the Contributors

Chapter 1 
INTRODUCTION
Winslow Christian, James M. Gaitis, Carl F. Ingwalson, Jr., June R. Lehrman, Vivien B. Shelanski, and Curtis E. von Kann

Chapter 2
APPOINTMENT, DISCLOSURES, AND DISQUALIFICATION OF NEUTRAL ARBITRATORS
James H. Carter, Paul J. Dubow, Ruth V. Glick, Robert A. Holtzman, June R. Lehrman, James R. Madison, Bruce E. Myerson, and Michael S. Oberman

I. INTRODUCTION

II. APPOINTMENT OF ARBITRATORS

A. Initial Ex Parte 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. Judicial Guidance

1. Judicial Application of Disclosure Standards
2. Interest in the Outcome of the Proceeding
3. Existing or Recent Business or Professional Relationships between the Proposed Arbitrator and a Party, Counsel, Known Witness, or Co-arbitrator
4. Other Facts that Might Reasonably Affect Impartiality
5. Duty to Investigate
6. Social Media

F. Role of Co-arbitrators in Disclosure Process
G. Role of Parties in Disclosure Process
H. California Requirements

IV. DISQUALIFICATION

V. CONTINUING DISCLOSURES AND LIMITATIONS ON ACTIVITIES DURING
PENDENCY OF A CASE

Chapter 3
NONNEUTRAL ARBITRATORS
Richard Chernick, James M. Gaitis, and Robert A. Holtzman

I. ARBITRATOR SELECTION GENERALLY

A. Parties' Arbitration Agreement
B. Institutional Rules and AAA/ABA Code

II. LIMITATIONS ON CHOICE OF NONNEUTRAL 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 Arbitrators

IV. DISCLOSURES BY NONNEUTRAL ARBITRATORS

A. General Practice of Disclosure
B. Unique State Requirements Relating to Disclosures
C. Changes in Status of Arbitrators

V. NONNEUTRAL 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

Chapter 4
ARBITRATOR FEES AND EXPENSES
John T. Blankenship, Louis Coffey, Philip E. Cutler, and Curtis E. von Kann

I. ARBITRATOR FEES

A. The Importance of Clear Initial Agreements
B. Billing Rates
C. What Time Should Be Charged?
D. Recording Billable Time
E. Cancellation Fees

II. ARBITRATOR EXPENSES

A. Travel
B. Lodging
C. Meals
D. Arbitrator Assistants

III. THE BILLING AND COLLECTION PROCESS

A. Estimates of Fees and Expenses
B. Deposits
C. Invoices
D.Collection
E. Under Some Circumstances Arbitrators May Choose Alternative Methods of Billing

Chapter 5
DETERMINING JURISDICTION AND ARBITRABILITY
R. Doak Bishop, Robert B. Davidson, James M. Gaitis, Barry H. Garfinkel, Carl F. Ingwalson, Jr., June R. Lehrman and James R. Madison

I. INTRODUCTION

II. LEGAL BACKGROUND

A. Prima Paint and Its Progeny: The Separability Doctrine
B. Illegality and Other Defenses Aguably Going to the Making of the Contract
C. The First Options Clear and Unmistakeable Evidence Standard
D. Nonsignatory Issues
E. Gateway Issues: The Procedural versus Substantive Distinction
F. Conditions Precedent to Arbitration
G. Waiver

III. PROCEDURES FOR DETERMINING JURISDICTION AND ARBITRABILITY OBJECTIONS

IV. ARBITRAL DECISIONS REGARDING JURISDICTION AND ARBITRABILITY

Chapter 6
PREHEARING CONFERENCES AND PREHEARING MANAGEMENT IN GENERAL
David N. Brainin, James P. Groton, Carl F. Ingwalson, Jr., Gerald F. Phillips, Deborah Rothman, Vivien B. Shelanski, Curtis E. von Kann, and John H. Wilkinson

I. THE IMPORTANCE OF PREHEARING MANAGEMENT

II. CONVENING THE PREHEARING CONFERENCE

A. Time of the Prehearing Conference
B. Who Should Participate in the Prehearing Conference
C. Location of the Prehearing Conference
D. Giving Notice of the Prehearing Conference

III. CONDUCTING THE PREHEARING CONFERENCE

A. Arbitrators' Introductory Statement
B. Opening Remarks by Counsel
C. Determining the Issues on the Conference Agenda

IV. MEMORIALIZING THE PREHEARING CONFERENCE

V. MATTERS TO ADDRESS AT THE PREHEARING 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 Arbitrator Disclosures
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 Nonparty Witnesses
P. Continuances and Cancellations
Q. Nature of Award
R. Time of Award
S. Optional Issues to Consider: Arbitrators Conducting Legal Research or Relying on Authorities Not Cited by the Parties
T. Hearing Procedures Checklist
U. Other Matters

VI. ENCOURAGING MEDIATION OR OTHER SETTLEMENT EFFORTS

VII. SUBSEQUENT PREHEARING MANAGEMENT

Chapter 7
MOTIONS
Joseph F. Canterbury, Louise E. Dembeck, Eugene I. Farber, Carroll E. Neesemann, and Robert W. Wachsmuth

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 or Interim Relief
E. Pleadings
F. Discovery
G. Bifurcation
H. Dispositive Motions
I. Motions in Limine or to Exclude Evidence
J. Claims of Privilege
K. Sanctions
L. Continuances
M. Disqualification of Arbitrators
N. Motions during the Hearing on the Merits
O. Modification of Award

Chapter 8
DISCOVERY
R. Doak Bishop, M. Scott Donahey, James W. Durham, James M. Gaitis, David M. Heilbron, Louise A. LaMothe, Kathleen A. Roberts, Deborah Rothman, John M. Seitman, Stanley P. Sklar, R. Wayne Thorpe, 
and Robert P. Wax

I. INTRODUCTION

A. Arbitrator's Critical Role in Reasonably Containing Discovery
B. Arbitrator Tools for Reasonably Containing Discovery

II. DOCUMENT PRODUCTION

A. Applicable Arbitration Rules
B. Documents on Which Parties Intend to Rely
C. Document Requests
D. Duty to Supplement
E. Claims of Privilege

III. DEPOSITIONS OF PARTY WITNESSES

A. Arbitrators' Authority
B. Limiting Discovery Depositions

IV. INTERROGATORIES AND REQUESTS FOR ADMISSIONS

V. DISCOVERY OF EXPERT WITNESSES

A. Discovery of Experts in General
B. Scheduling Discovery of Expert Witnesses

VI. DISCOVERY FROM NONPARTIES

A. Extent of Arbitrators' Authority to Issue NonParty 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 and the Issuance of Sanctions

Chapter 9
eDISCOVERY
Louise A. LaMothe, Susan H. Nycum, Deborah Rothman, Irene C. Warshauer, and John H. Wilkinson

I. INTRODUCTION

II. OVERVIEW OF DIFFERENCES BETWEEN THE SEARCH AND RETRIEVAL OF ESI AND TRADITIONAL PAPER FILES

III. TERMINOLOGY

IV. A GUIDE FOR THE ARBITRATOR IN MANAGING THE eDISCOVERY PROCESS

A. Preparation for the First Prehearing Conference
B. Arbitration Holds
C. Establishing Ground Rules for ESI Production Requests and the Actual Production of ESI

V. HELPFUL REFERENCES

VI. eDISCOVERY AND SANCTIONS

A. Sanctionable Conduct in eDiscovery
B. Particular Sanctions
C. Arbitrators' Power to Impose Sanctions
D. Judicial Decisions regarding the Imposition of Sanctions by Arbitrators

VII. CONCLUSION

Chapter 10
THE HEARING ON THE MERITS
Henri C. Alvarez, William L.D. Barrett, Louis A. Craco, William B. Fitzgerald, James P. Groton, John J. McCauley, John A. Sherrill, and Curtis E. von Kann

I. DESIGNING THE APPROPRIATE HEARING PROCESS

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. Treatment of Exhibits at the Hearing

1. Submission of Exhibits
2. Admission of Exhibits

B. Core Exhibits
C. Demonstrative Exhibits
D. Exhibits Created during the Hearing

V. MANAGEMENT OF TESTIMONY

A. Management of Testimony Is Facilitated by an Early Order Specifying Disclosure of Witnesses
B. Written Testimony
C. Expert Witnesses
D. Lay Witnesses
E. Testimony from Witnesses at Other Locations
F. Previously Recorded Testimony
G. Sequestration of Witnesses
H. 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. Requests for a Continuance or Additional Time

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 and Calling for Additional Evidence

1. Questioning Witnesses
2. Calling for Additional Evidence

E. Discussing the Case with Other Arbitrators
F. Dealing with Nonappearance of Witnesses
G. Making Further Disclosures
H. Addressing Arbitrator Performance Problems
I. Closing the Hearing

X. DETERMINING REQUESTS FOR FEES, COSTS, AND INTEREST

XI. BRIEFING

A. Prehearing Briefs
B. Posthearing Briefs
C. Other Materials that May Assist Arbitrators

XI. STATEMENTS AND ARGUMENTS OF COUNSEL

A. Opening Statements
B. Minisummaries
C. Final Arguments

Chapter 11
AWARDS AND SUBSTANTIVE INTERLOCUTORY ARBITRAL DECISIONS
Thomas J. Brewer, Jay W. Elston, James M. Gaitis, Richard A. Levie, and Michael S. Wilk

I. INTRODUCTION

A. The Finality of Arbitral Awards and Decisions and the Doctrine of Functus Officio
B. Ripeness

II. PARTIAL FINAL AWARDS

III. OTHER FORMS OF FINAL SUBSTANTIVE INTERLOCUTORY ARBITRAL DECISIONS

IV. NONFINAL INTERIM AWARDS AND NONFINAL SUBSTANTIVE INTERLOCUTORY ARBITRAL DECISIONS

V. DRAFTING AWARDS AND SUBSTANTIVE INTERLOCUTORY ARBITRAL DECISIONS

A. Making a Definite and Final Award upon the Matter Submitted
B. Form of Award
C. Content of Award

1. 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

VI. 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
E. Preaward, Postaward, and Postjudgment Interest
VII. DISSENTING OPINIONS

Chapter 12
POSTAWARD MATTERS
Paul J. Dubow, James M. Gaitis, James R. Madison, Lawrence R. Mills, Christi L. Underwood, and David E. Wagoner

II. LIMITED GROUNDS FOR POSTAWARD RELIEF

A. Doctrine of Functus Officio

1. Arbitrators' Lack of Authority to Alter Determinations 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 the Intent of the Award
3. Other Allowed Postaward Arbitral Authority

B. Interrelationship between the Functus Officio Doctrine, Institutional Rules, and Arbitration Law
C. Sua Sponte Clarification of Awards and Corrections of Clerical and Similar Errors
D. The Effect of Motions to Modify on Statutory Deadlines for Seeking Vacatur and Confirmation of Awards
E. Checklist for Arbitrators to Consider before Modifying an Award

III. ISSUES ARISING ON COURT REMAND OF A FINAL AWARD

A. Complying withthe Court's Remand Instructions
B. Remands and Insufficient Arbitration Records
C. Fees and Costs Incurred in Addressing Awards on Remand
D. Checklist for Arbitrators Faced with Remand

IV. POSTAWARD ETHICS ISSUES

A. Maintaining Confidentiality of the Arbitration Proceeding
B. Assisting the Parties in Understanding the Award
C. Postaward Relationships with Parties and Counsel

Chapter 13
INTRATRIBUNAL RELATIONS
John T. Blankenship, Louis Coffey, Philip E. Cutler, and Curtis E. Kann

I. INTRODUCTION

A. The General Advantages and Disadvantages of Multiarbitrator Panels
B. Chapter Organization

II. SELECTING THE TRIBUNAL CHAIR

A. Various Means of Selecting the Tribunal Chair
B. Desirable Qualities in a Chairperson
C. Selecting the Tribunal Chair

1. Consulting with the Appointing Party
2. Preparing a List of Candidates
3. Communicating with the Other Party-Appointed Arbitrator
4. Obtaining Information from Chair-Candidates
5. Possible Need to Repeat the Process
6. Breaking an Impasse
7. Selection of the Panel Chair by the Panel Members

III. THE INITIAL PANEL CONFERENCE AND THE PRELIMINARY HEARING AGENDA

A. Determining the Panel's First Steps
B. Convening the Initial Panel Conference
C. Potential Matters to Discuss at the Initial Panel Conference

1. Introduction
2. Status of Party-Appointed Arbitrators
3. Disclosures
4. Understanding the Parties' Disputes
5. Securing Pertinent Materials from the Parties
6. Determining the Framework of the Arbitration
7. Clarifying or Modifying the Arbitration Agreement
8. Committing to Be Available throughout the Arbitration
9. Communications among Panelists and with Parties
10. The Appropriate Extent of Discovery
11. Arbitrator Questioning of Witnesses
12. Requesting Additional Evidence
13. Protocols for Tribunal Actions
14. Addressing Challenges to a Panelist's Continued Service and the Death, Disability, or Resignation of a Panelist
15. Agreements with Parties concerning Fees and Expenses

IV. MANAGING THE PANEL WHILE MANAGING THE CASE

A. Panel Management in General

1. Active Participation of All Panelists
2. Punctuality and Availability
3. Death, Disability, or Absence of a Panelist
4. Under- and Overmanagement by the Chair
5. Interfacing with Administering Organizations

B. Panel Involvement in Resolving Challenges to the Continued Service of a Panel Member
C. Billing Issues

1. Differences in Amount of Time Billed for Similar Work
2. Differences in Amounts Invoiced for Expenses
3. Monitoring Deposits

D. Nonlawyer Arbitrators

1. Introduction
2. Attributes and Advantages Nonlawyer Arbitrators Bring to the Process

a. Subject Matter Expertise
b. Translator
c. A Unique Synergy

3. Potentially Problematic Aspects of Nonlawyer Arbitrators

a. Lack of Legal Expertise
b. Perspective
c. Inexperience as an Arbitrator

(i) Asking clearly inappropriate questions or making inappropriate comments
(ii) Interacting improperly with the parties or witnesses and breaching confidentiality
(iii) Disregarding the testimony of witnesses based on personal experience

4. The Nonlawyer Arbitrator as a Wing Arbitrator
5. The Nonlawyer Arbitrator as Chair

E. Case Postmortem and Arbitrator Peer Review

V. INAPPROPRIATE PANELIST CONDUCT AT HEARINGS

A. Introduction
B. Panelist Problems That May Occur during Hearings
C. When the Problem Arbitrator Is a Wing
D. When the Problem Arbitrator Is the Chair

VI. THE DELIBERATIVE PROCESS

A. When Do Deliberations Begin?
B. Prehearing Deliberations
C. Seeking the Additional Legal Authority from the Parties and Indenpendently Seeking or Relying on Authorities Not Cited by the Parties
D. Deliberations during the Hearing
E. Posthearing Deliberations
F. How Important Is Unanimity?

VII. PREPARATION OF ORDERS AND AWARDS

A. Administrative Orders
B. Substantive Orders and Awards
C. Dissents and Dissenting Opinions

Chapter 14
HYBRID ARBITRATION PROCESSES
Thomas J. Brewer, Richard R. Mainland, Gerald F. Phillips, and Edna R. Sussman

I. INTRODUCTION

II. ACCEPTING APPOINTMENT TO SERVE IN A HYBRID PROCEEDING

A. Ethical Considerations
B. Fitness to Serve
C. Disclosure Obligations
D. Other Factors Bearing on the Decision to Serve
E. Ensuring the Enforceability of the Award

III. THE NEUTRAL'S ROLE IN ENSURING THE PARTIES' INFORMED CONSENT TO THE PROCESS

A. Obtaining the Parties' Informed Consent
B. The Hybrid Process Agreement

1. Consent to the Neutral's Dual Role
2. Description of the Process
3. Mediation Caucuses
4. Evidence to Be Considered in tbe Arbitration
5. Arbitration Hearing Procedure
6. Institutional Rules and Practices
7. Avoiding Confusing Terminology

IV. MANAGEMENT OF HYBRID HEARINGS

A. The Mediation Phase
B. The Arbitration Phase

V. AWARDS IN HYBRID ARBITRATIONS

Chapter 15
CLASS ARBITRATION
Robert B. Davidson, William L.D. Barrett, Eugene I. Farber, James M. Gaitis, Louise A. LaMothe, James R. Madison, Bruce E. Myerson, 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 RECENT SUPREME COURT JURISPRUDENCE

V. INTERPRETING ARBITRATION CLAUSES THAT ARE SILENT ON THE TOPIC OF CLASS ARBITRATION

VI. THE EFFECT OF A CLASS ACTION PRECLUSION CLAUSE ON ARBITRAL JURISDICTION

VII. DETERMINING WHETHER A CLASS ARBITRATION MAY BE MAINTAINED UNDER THE PARTIES' ARBITRATION AGREEMENT

A. Clause Construction Awards
B. Ripeness/Finality of Clause Construction Awards and Functus Officio

VIII. CLASS CERTIFICATION

IX. PARTIAL FINAL AWARDS ON THE CLASS CERTIFICATION ISSUE

X. NOTICE OF CLASS DETERMINATION

XI. MANAGEMENT OF CLASS ARBITRATIONS

XII. ATTORNEYS' FEE AWARDS

XIII. THE FINAL AWARD

XIV. SETTLEMENT, VOLUNTARY DISMISSAL, OR COMPROMISE

XV. CONFIDENTIALITY

Chapter 16
INTERNATIONAL ARBITRATION 
(Preliminary Matters)
Gerald Aksen, Axel Baum, Robert B. Davidson, James M. Gaitis, Richard H. Kreindler, Urs M. Laeuchli, Lawrence W. Newman, and Lucy F. Reed

I. INTRODUCTION

II. COSTS--INSTITUTIONAL FILING AND ADMINISTRATIVE FEES

III. APPOINTMENT PROCESS

A. Initial Communication regarding Possible Appointment
B. Arbitrators' Determination of Willingness, Suitability, Fitness, and Availability to Serve
C. Arbitrator Disclosures

1. IBA Disclosure Guidelines
2. Due Diligence in Determining Disclosures
3. Availability
4. Challenges to Appointment
5. Arbitrators' Terms of Engagement
6. Changes in Status in the Course of the Proceeding

IV. EMERGENCY ARBITRATORS

V. DETERMINING JURISDICTION AND ARBITRABILITY

A. Challenges to Arbitrators' Jurisdiction
B. Challenges to Arbitrability of a Party's Claims
C. Formalizing Arbitrators' Decisions on Jurisdictional, Arbitrability, and Competence Issues

VI. COMPARING INSTITUTIONAL RULES ADDRESSING COSTS, THE COMPOSITION OF THE TRIBUNAL, AND THE TRIBUNAL'S AUTHORITY OVER JURISDICTION AND ARBITRABILITY ISSUES

Chapter 17
INTERNATIONAL ARBITRATION 
(Conduct of Proceedings)
Gerald Aksen, Axel Baum, Robert B. Davidson, James M. Gaitis, Richard H. Kreindler, Urs M. Laeuchli, Lawrence W. Newman, and Lucy F. Reed

I. PRELIMINARY MEETINGS/CASE MANAGEMENT CONFERENCES

II. TERMS OF REFERENCE AND INITIAL PROCEDURAL ORDER

III. APPLICATIONS FOR CONSERVATORY OR INTERIM MEASURES

IV. MOTIONS AND APPLICATIONS

V. DEPOSITIONS AND DOCUMENT PRODUCTION

A. Depositions and Witness Statements
B. Document Production

VI. EXPERT WITNESSES

A. Party-Appointed Experts
B. Tribunal-Appointed Experts

VII. WRITTEN SUBMISSIONS

VIII. THE MERITS HEARING

A. Preparations
B. Organization of the Hearing
C. Confidentiality

IX. THE AWARD

X. POSTAWARD PROCEEDINGS

XI. COMPARING INSTITUTIONAL RULES

ADDRESSING INTERIM MEASURES, FACT AND EXPERT WITNESSES, AND CONFIDENTIALITY

INDEX

Editor-in-Chief James M. Gaitis is a long-standing member of the Texas and Montana state bars, and a specialist in complex commercial and oil & gas/energy arbitrations. As the former Director of the International Dispute Resolution Programme and a Global Faculty Member at the Centre for Energy, Petroleum & Mineral Law and Policy, University of Dundee, Scotland, during 2006-2008 he worked extensively with the late Professor Thomas Wälde, the former UN Inter-regional Advisor on Petroleum and Mineral Legislation and EU Jean-Monnet Chair of International Economic, Natural Resources & Energy Law. In private practice he served variously as lead trial counsel, in-house counsel, and special counsel for a diverse array of companies, individuals, and other entities involved in the oil & gas industry. Over the past 24 years, he has been listed on a broad variety of international and domestic arbitration panels, including the AAA National Energy Panel and Large, Complex Case Panel, the ICDR Panel and International Energy Arbitrators Panel, the British Columbia International Commercial Arbitration Centre, and the CPR's Oil & Gas/Energy Panel and Cross-Border Panel. He frequently serves as a chair, party-appointed, and list-appointed arbitrator on tripartite panels in cases involving all aspects of the oil & gas industry, as well as in commercial cases relating to such matters as manufacturing, construction lending, engineering, asset sales, business torts, and real property. Many of his arbitrations have involved Fortune 100 and Oil & Gas Journal Top 50 companies.

A Fellow and Director of the College of Commercial Arbitrators and a Fellow and Chartered Arbitrator of the Chartered Institute of Arbitrators, Mr. Gaitis is a frequently invited speaker and lecturer, has testified in district court proceedings as an expert on arbitrator disclosures and ethics, and is the author of numerous articles relating to arbitration law, several of which have been cited repeatedly to the United States Supreme Court, various federal district courts and federal courts of appeal, and various other courts, such as the Supreme Courts of Texas and Puerto Rico. In 2006 and 2010 he respectively served as an Editor and then Editor-in-Chief of the first and second editions of The College of Commercial Arbitrators Guide to Best Practices in Commercial Arbitration. He is a graduate of the University of Notre Dame (BA, cum laude 1976) and the University of Iowa College of Law (JD 1978), where he served as a Note & Comment Editor on The Iowa Law Review.

Editor Carl F. Ingwalson, Jr., a graduate of Miami University and the University of Michigan School of Law, is a Martindale-Hubbell AV preeminent peer review rated lawyer and a member of the American Bar Association, the State Bar of California and the San Diego Country Bar Association. He is a Fellow of the American College of Construction Lawyers, a Diplomate of the California Academy of Distinguished Neutrals, and a Charter Member of the National Academy of Distinguished Neutrals. He serves on mediation panels of the American Arbitration Association and the San Diego Superior Court and independently. As an arbitrator, he serves independently and on the Fast Track (Expedited Track), Regular Track, and Large Complex Case Commercial and Construction Panels of the American Arbitration Association and on its Construction Arbitration Master Panel. He founded the Construction Law Section of the San Diego County Bar Association and served three years as its Chair and another three years as Chair of the Ethics Committee. When California adopted provisions for mandatory arbitration of attorney fee disputes, Carl served on the State Bar committee that drafted procedural rules for administration of fee arbitrations through local bar associations. He also served as Chair of the County Bar Association's Fee Arbitration Committee for three years while the rules were being debated, drafted, and implemented.

As a Fellow of the College of Commercial Arbitrators, he served as an Editor of this third edition of the College's Guide to Best Practices in Commercial Arbitration. At the same time, he has been serving as Co-Chair of the College's Law Firm CLE Committee, a committee that presents in-house continuing education programs to law firms throughout the country. Mr. Ingwalson has presented countless programs relating to arbitration and construction law to numerous organizations including state and local bar associations, law firms, contractor groups, and the ABA's Forum on the Construction Industry. He is now in his eighteenth year of presenting an annual ADR Update program. He has co-authored published articles including Arbitration and the Unauthorized Practice of Law and Pass Through Claims and Liquidation Agreements, both published by the Forum on the Construction Industry, and he was a consultant on two Continuing Education of the Bar books regarding construction law. Mr. Ingwalson's most recent article, Arbitration and Nonsignatories: Bound or Not Bound? was published by the American College of Construction Lawyers in 2012.

Editor Vivien B. Shelanski comes to the law with a background in science, technology, and government and the ethical considerations at the interfaces between them. She has served on the faculties of Harvard University and the NYU School of Law School and in executive positions in science policy at the National Science Foundation and the Directorate of Scientific Affairs of the OECD in Paris. She is a founding editor of the journal Science, Technology and Human Values. In the law she brings experience in the litigation of large securities and financial matters, as a prosecutor for the State of New York, and as a mediator in the US Courts. As a member of JAMS (Judicial Arbitration and Mediation Services), for the past 15 years she has devoted her efforts to alternative dispute resolution. She has served as an arbitrator in complex disputes with a concentration on business, employment, construction, intellectual property, family-held corporations, and securities issues. She received her AB (cum laude) from Bryn Mawr College, a PhD in Philosophy from the University of Chicago, and the JD (cum laude) from NYU where she served on the editorial board of the Annual Survey of American Law. Ms. Shelanski served as law clerk to the late Hon. Milton Pollack in the United States District Court for the Southern District of New York. She is an editor of the book “Accident at Three Mile Island,” teaches at NYU law school and Columbia University Medical School, and serves as a mediator for the US District Court for the Eastern District of New York. A member of the New York Bar, she is a fellow of the College of Commercial Arbitrators and of the College of Labor and Employment Lawyers.

CONTRIBUTORS:

Gerald Aksen, Esq.
Independent Arbitrator and Mediator
New York, New York

Henri C. Alvarez, Esq.
Partner
Fasken Martineau DuMoulin
Vancouver, Canada

Markham Ball, Esq.
Senior Fellow
International Law Institute

William L. D. Barrett, Esq.
Of Counsel
Butzel Long
New York, New York

Axel Baum, Esq.
Counsel
Hughes Hubbard & Reed
Paris, France

Bruce W. Belding, Esq.
Independent Arbitrator
Sausalito, California

R. Doak Bishop, Esq. 
Partner
King & Spalding
Houston, TX

John T. Blankenship, Esq.
Partner
Blankenship and Blankenship
Murfreesboro, Tennessee

John P. Bowman, Esq.
Partner
King & Spalding
Houston, Texas

David N. Brainin, Esq. (deceased)
Bronx, New York

Thomas J. Brewer, Esq.
Independent Arbitrator and Mediator
Seattle, Washington

Joseph F. Canterbury, Esq.
Partner
Canterbury, Elder, Gooch, Surratt, Shapiro & Stein
Dallas, Texas

James H. Carter, Esq.
Partner
Sullivan & Cromwell
New York, New York

Richard Chernick, Esq.
Vice President and Managing Director
JAMS Arbitration Practice
Los Angeles, California

Winslow Christian, Esq.
Deceased
Formerly, Justice of the California Court of Appeals

Louis Coffey, Esq.
Independent Arbitrator and Mediator
Philadelphia, Pennsylvania

Louis A. Craco, Esq.
Independent Arbitrator and Mediator
Manhasset, New York

Philip E. Cutler, Esq.
Partner
Cutler Nylander & Hayton
Seattle, Washington

Robert B. Davidson, Esq.
Executive Director
JAMS Arbitration Practice
New York, New York

Louise E. Dembeck, Esq.
Founder and President
AIMAC Center for Dispute Resolution
New York, New York

M. Scott Donahey, Esq.
Independent Arbitrator and Mediator
Palo Alto, California

Paul J. Dubow, Esq.
Independent Arbitrator and Mediator
San Francisco, California

James W. Durham, Esq.
Independent Arbitrator and Mediator
Media, Pennsylvania

Jay W. Elston, Esq.
Independent Arbitrator
Houston, Texas

Eugene I. Farber, Esq.
Partner
Farber, Pappalardo & Carbonari
White Plains, New York

William B. Fitzgerald, Esq.
Independent Arbitrator
Los Angeles, California

James M. Gaitis, Esq.
Independent Arbitrator
Whitefish, Montana

Walter G. Gans, Esq.
Independent Arbitrator
New York, New York

Barry H. Garfinkel, Esq.
Of Counsel
Skadden, Arps, Slate, Meagher & Flom
New York, New Yor

Eugene S. Ginsberg, Esq.
Independent Arbitrator and Mediator
Garden City, New York

Ruth V. Glick, Esq.
Independent Arbitrator and Mediator
Burlingame, California

James P. Groton, Esq.
Independent Arbitrator
Atlanta, Georgia

David M. Heilbron, Esq.
Bingham McCutchen
San Francisco, California

L. Tyrone Holt, Esq.
Managing Principal
The Holt Group
Denver, Colorado

Robert A. Holtzman, Esq.
Of Counsel
Loeb & Loeb
Los Angeles, California

Carl F. Ingwalson, Jr., Esq.
Independent Arbitrator and Mediator
San Diego, California

John Kagel, Esq.
Independent Arbitrator and Mediator
Palo Alto, California

Richard H. Kreindler, Esq.
Partner
Sherman & Sterling
Frankfort, Germany

Urs M. Laeuchli, Esq.
Independent Arbitrator and Mediator
San Francisco, California

Louise A. LaMothe, Esq.
Independent Arbitrator and Mediator
Santa Barbara, California

June R. Lehrman, Esq.
Los Angeles, California

Richard A. Levie, Esq.
JAMS
Washington, DC

James R. Madison, Esq.
Independent Arbitrator and Mediator
Menlo Park, California

Richard R. Mainland, Esq.
Of Counsel
Norton Rose Fulbright 
Los Angeles, California

John J. McCauley, Esq.
Independent Arbitrator and Mediator
Visalia, California

Bruce E. Meyerson, Esq.
Independent Arbitrator and Mediator
Phoenix, Arizona

Lawrence R. Mills, Esq.
Partner
Mills Meyers Swartling
Seattle, Washington

Carroll E. Neesemann, Esq.
Independent Arbitrator and Mediator
Brooklyn, New York

Lawrence W. Newman, Esq.
Of Counsel
Baker & McKenzie
New York, New York

Susan H. Nycum, Esq.
Independent Arbitrator and Mediator
Portola Valley, California

Michael S. Oberman, Esq.
Partner
Kramer Levin Naftalis & Frankel
New York, New York

Gerald F. Phillips, Esq.
Partner
Phillips, Lerner, Lauzon & James
Los Angeles, California

Lucy F. Reed, Esq.
Partner
Freshfields Bruckhaus Deringer
New York, New York

Thomas D. Reese, Esq.
Independent Arbitrator and Mediator
Palo Alto, California

Kathleen A. Roberts, Esq.
JAMS
New York, New York

Deborah Rothman, Esq.
Independent Arbitrator and Mediator
Los Angeles, California

John M. Seitman, Esq.
JAMS
Del Mar, California

Vivien B. Shelanski, Esq.
JAMS
New York, New York

John A. Sherrill, Esq.
Partner
Seyfarth Shaw
Atlanta, Georgia

Stanley P. Sklar, Esq.
Independent Arbitrator and Mediator
Chicago, Illinois

Francis O. Spalding, Esq.
Independent Arbitrator and Mediator
San Francisco, California

Edna R. Sussman, Esq.
Independent Arbitrator and Mediator
New York, New York

R. Wayne Thorpe, Esq.
JAMS
Atlanta, Georgia

Christi L. Underwood, Esq.
Independent Arbitrator and Mediator
Orlando, Florida

Curtis E. von Kann, Esq.
JAMS
Washington, DC

Robert P. Wax, Esq.
Independent Arbitrator and Mediator
West Hartford, Connecticut

Robert W. Wachsmuth, Esq.
Independent Arbitrator and Mediator
San Antonio, Texas

David E. Wagoner, Esq.
Independent Arbitrator and Mediator
Seattle, Washington

Irene C. Warshauer, Esq.
Independent Arbitrator and Mediator
New York, New York

Michael S. Wilk, Esq.
Partner
Hirsh & Westheimer
Houston, Texas

John H. Wilkinson, Esq.
JAMS
New York, New York