Umpire Checklist: A Practical Guide for Commencing the Arbitration

The following is a “laundry list” that includes as many opening data points as I have gathered through discussion with many arbitrators and in my own arbitrations.  Not all of these items will be necessary in every case, and I invite anyone who would like to add something to this list to contact me at connie@cdomaraconsulting.com.

1. Kickoff Call with Panel

1. 1. Where is everyone located? [Some people are in one part of the country for certain months and elsewhere for others].
   2. Best phone numbers/email addresses.
      1. Agree on contact sheet for case.
      2. Discussion as to whether text messages acceptable and under what circumstances (I prefer NOT unless last resort due to internet outage).
   3. Scheduling preference— morning, afternoon, weekends?
   4. Discuss contracts, arbitration clause, and any special procedures.
   5. Discuss what types of routine questions umpire can handle alone, if any.
   6. Discuss draft orders and turn-around time, back-up calls, etc.
   7. Discuss any major travel or event plans coming up, for work or personal,  including the extent to which those should be communicated to parties.
   8. Discuss some or all of the organizational meeting issues noted below:

2. Draft Orgnizational Meeting Agenda

The following agenda draft is based on the sample agenda available on the ARIAS-US website at https://www.arias-us.org/arias-us-dispute-resolution-process/forms/. These forms are accessible without regard to membership in ARIAS.  But, if the arbitration is proceeding under other forms of dispute resolution rules, those rules should be reviewed prior to following any suggestions contained in this checklist.  For instance, American Arbitration Association rules specify that arbitrators should NOT discuss any supplemental disclosures with the parties; those disclosures are to be made to the AAA administrator who will, in turn, convey the disclosures to the parties. [AAA rules available to the general public can be found here: https://www.adr.org/media/lwanubnp/2025_commercialrules_web.pdf, but rules specific to how an arbitrator conducts a proceeding are only available to panel arbitrators on the panelist e-center (there is a “tool” called Preliminary Hearing Reference Tool for Arbitrators)].

Request from parties, in advance:

1. 1. Court reporter (most arbitrators feel this is necessary).
   2. List of participants, title/organization.
   3. Position statements and key documents (e.g. contract containing arbitration clause, policies, etc.).
   4. Scheduling in person, Zoom, or Teams meeting: who will do?

Agenda Items:

1. 1. Additional Disclosures by Panel/Acceptance of Panel?
      1. Some arbitrators think it is better to ask all members of the panel if they have additional disclosures and then request the parties formally accept the panel, others think it is not necessary. Confirm with panel members that disclosures have been made and whether they believe formal acceptance of panel is warranted.
   2. Discuss status of Hold Harmless and Confidentiality Agreement.
      1. Issue: include panel signatures on hold harmless? Some arbitrators say yes, some do not think it is appropriate.
   3. Organizational Meeting to include “Position Statements” by parties plus brief comments by the parties, if any. Questions of a preliminary nature from panel. Are there any preliminary issues anticipated by arbitrators? Should any of those questions be made to the parties in advance of the Organizational Meeting? Do the arbitrators have a preference as to who starts when asking questions at the Meeting
   4. Discovery: Does panel have any comment on any of the following?
      1. Document discovery, depositions, experts. Anything else?
      2. Privilege Logs
      3. Joint Status Update on discovery to panel on monthly basis via email
      4. Procedures for dealing with discovery disputes:
         1. Meet and confer
         2. Briefing
            1. Number of days for opposition brief
            2. Number of days for reply
   5.  Motion Protocol for Dispositive motions:
      1. Cut-off no later than two weeks after close of fact discovery
      2. Briefing
         1. Number of days for opposition brief
         2. Number of days for reply
   6. Schedule:   Hearing Dates and Place
      1. Considerations as to live or virtual
   7. Pre-hearing briefs:
      1. Simultaneous?
      2. Replies a week before hearing?
   8. Submission preferences of panel: electronic vs hard copy?
   9. Process with regard to information security: Where documents can be held, how to access, any need for special procedures to preserve data integrity?  How will documents be arranged to facilitate organized review by panel members?
      Note:  The Confidentiality Agreement should have a paragraph that addresses information security.
      1. Does any party or arbitrator intend to use any form of AI?  If so, what   platform and how will confidentiality be protected.
      2. What is the document retention policy for all participants?
   10. Should panel provide questions in advance of hearing, based on their review of documents? How far in advance and how to agree on such questions?
   11.  Does panel have a preference regarding deliberations? Exchange of opinions in writing or by meeting to discuss?  Should deliberations be virtual or in-person?

By the end of both the initial phone call and the Organizational Meeting, the umpire should have a good idea of the tenor of both how the arbitrators interact and the parties’ level of cooperation. This should allow you to tailor your role and handling to facilitate an efficient and effective handling of the dispute.