Arbitration and ADR updates

Part One: Arbitration Law in General: Federal Court

Preface

Chapter I. Arbitration Law in General: Federal Court

A. Commercial Arbitration Claims

B. Federal Statutory Claims

C. Arbitrable & Non-Arbitrable Claims

D. State Arbitration Claims

1. State Commercial Claims

2. State Statutory Claims

E. Arbitration Proceedings

F. Court Annexed (Judicial) Arbitration

G. Labor Arbitration (LMRA)

1. Collective Bargaining Agreements

2. Railway Labor Act

3. Airlines

H. Admiralty

I. International Arbitration

N. Trade or Industry Arbitration

O. Public (Governmental) Arbitration

P. ERISA

Q. Motor Vehicle Franchise Act

Chapter II. Jurisdiction: Federal Court

A. Subject Matter Jurisdiction

1. Federal Question

2. Constitutional Jurisdiction: Case or Controversy

3. Labor Arbitration (LMRA)

4. International Arbitration

B. Diversity Jurisdiction

C. Diversity Rules

1. Joinder of Moving Parties

2. Amount in Controversy

3. Non-Parties

4. Corporate Status

5. Removal & Remand

D. Supplemental Jurisdiction

E. Collateral Jurisdiction: Federal & State

1. Arbitrable and Non-Arbitrable Claims

2. Arbitrable and Non-Arbitrable Third Parties

3. Joinder of Parties

4. Mixed Federal & State Claims

F. Concurrent Jurisdiction: Federal & State

1. Abstention

2. Anti-Injunction Act

3. All Writs Act

4. Full Faith & Credit

5. Rooker Feldman Doctrine

6. Jurisdiction & Manifest Disregard of Law

G. Exclusive Federal Jurisdiction

1. ERISA

2. Carmack Amendment (Household Goods)

3. Copyright

4. Patents

H. Jurisdiction in Arbitration by Consent

I. Jurisdiction After Order to Arbitrate

J. "Administrative" Jurisdiction

K. Insurance Exception: McCarran Ferguson Act

L. Consumer Warranty: Magnuson Moss Warranty Act

Chapter III. Arbitration: Statutory Authority: Federal Court

A. Contractual Arbitration

1. Arbitration Defined

2. Components of Arbitration

a. Arbitral Forum

b. Procedural Fairness

c. Binding Agreement

d. Arbitrator Neutrality

B. Federal Arbitration Act (FAA)

1. Scope of Coverage

a. Commercial Claims

b. Federal Statutory Rights

c. Labor Arbitration & Statutory Rights

2. Coverage of Claims "thereafter arising"

3. "Writing" Required

4. "Commerce" Required

a. "Commerce" Defined

b. Interstate Commerce

c. "Workers" in Interstate Commerce

5. Exclusion from Coverage

6. Order to Arbitrate

a. Appeal from Order to Arbitrate

b. Appeal from Order Denying Arbitration

7. Order Staying Litigation

8. Jury Waiver

9. Venue

a. Petition to Compel Arbitration

b. Petition to Confirm Award

10. Selection of Arbitrators

a. Contractual Selection

b. Party sArbitrators
c. Arbitrator Disclosure

11. Appointment of Arbitrator

12. Conduct of Arbitration

a. Discovery

b. Discovery in Collateral Litigation

c. Arbitrator Authority

1.) Remedial Powers

2.) Subpoena Power

d. Arbitration Hearing

13. Immunity of Arbitrator

14. Appeal from Judgment After Award

15. Drafting Arbitration Clauses

Chapter IV. Initiating Arbitration: Federal Court

A. Doctrine of Preemption

B. Federal Policy

C. Presumption of Arbitrability

D. Standing

E. Arbitrability: Ordering Arbitration

1. Severing Merits from Arbitration Clause

2. Burden of Proof

3. Evidentiary Hearing

4. Incorporation of Documents

5. Prior Arbitration & Subsequent Arbitration

6. Prior Arbitration & Subsequent Litigation

7. Industry Practices

F. Arbitrability: Interpreting the Arbitration Clause

1. Agreement to Arbitrate:

a. Existence of Arbitration Clause/Contract

b. Incorporation of Arbitration Service Provider Rules

c. Expired Contracts

d. "Stand Alone" Clauses in Contracts

e. Implied Agreement to Arbitrate

f. Incomplete Agreement to Arbitrate

g. Breach of Arbitration Agreement

2. Arbitrable Parties

a. Third Parties

b. Signatory Enforcing Contract Against Non-Signatory

c. Non-Signatory Enforcing Contract Against Signatory

d. Arbitrable & Non-Arbitrable Claims

e. Mischaracterization of Parties

f. Indemnity

3. Arbitrable Issues & Scope

a. Broad Clauses

b. Narrow Clauses

c. Submission Agreement

4. Conflicting Clauses

5. Multiple Clauses

6. Ambiguous Clauses

7. Merger Clauses

G. Enforcing or Revoking Arbitration Clauses

1. Validity of Agreement

2. Objections to Enforcement of Agreement

a. Unconscionable Clauses

1.) Unilateral Change of Terms

2.) Confidentiality Agreement

3.) Unfair Arbitration Panel

4.) Fraud

b. Rescission

3. External Constraints to Arbitration

4. Public Policy

5. Remedial Limitations

a. Arbitration Fees and Costs

b. Arbitration Fee Disputes

H. Procedural Law & Arbitrability

1. Forum Selection Clause: Situs

a. Selection of Forum

b. Conflicting Sites

c. Wrong Site

2. Choice of Law Clause

3. Statute of Limitations

8. Class Actions & Classwide Arbitration

9. Time of the Essence Clause

10. Federal Rules of Civil Procedure (FRCP)

11. Arbitration Service Provider Rules

12. Mandamus (Mandate)

13 Administrative Conditions

14. Voluntary Dismissal of Complaint

15. Sanctions

I. Substantive Law & Arbitrability

1. Remedies

a. Contractual Remedies

b. Provisional Remedies

1.) Injunction During Arbitration

2.) Injunction Prohibiting Arbitration

c. Equitable Remedies

d. Statutory Remedies

e. Punitive Damages

2. Contractual Conditions Precedent

3. Prior Arbitration Decisions

a. Evidence

b. Summary Judgment

J. Res Judicata & Collateral Estoppel

K. Waiver of Right to Arbitrate

1. Litigation Conduct

2. Implied Waiver

3. Burden of Proof

4. Arbitrator Decision on Waiver

L. Waiver of Administrative Forum

Chapter V. Awards: Federal Court

A. Finality of Award

1. Partial Award

2. Ambiguous Award

3. Collateral Attack of Award

B. Modification or Correction of Award

1. Evident Miscalculation

2. Issues Not Submitted

3. Imperfect in Form

4. Attorney Fees

5. Interest
6. Severance of Illegal or Unenforceable Term

C. Confirmation of Award

D. Vacating Award

1. Corruption, Fraud or Undue Means of Arbitrator

2. Evident Partiality of Arbitrator

3. Arbitrator Misconduct

4. Arbitrator Exceeds Powers

E. Rehearing of Arbitration

F. Manifest Disregard

G. Public Policy

H. Deposing the Arbitrator
I. Discovery Disputes

J. Venue

Chapter VI. Appeal: Federal Court

A. Appellate Jurisdiction

1. Standard of Review

2. Waiver of Appeal

B. Appealable Orders

1. Order Refusing Stay of Litigation

2. Order Denying Petition to Compel Arbitration

3. Order Confirming or Denying Confirmation of Award

4. Order Correcting or Vacating Award

5. Order Enjoining Arbitration

6. Order Dismissing Action

C. Non-Appealable Grounds

1. Order Staying Litigation

2. Order Compelling Arbitration

3. Order Refusing to Enjoin Arbitration

D. Sanctions

E. Private Panel Appeal

Chapter VII. Court Annexed (Judicial) Arbitration: Federal Court

A. Exemption from Arbitration

B. Consent to Arbitrate (Non binding)

C. Arbitrator Powers

D. Arbitrator Subpoenas

E. Arbitrator Disclosure & Disqualification

F. Trial de Novo

G. Arbitrator Immunity

H. Judgment

Chapter VIII. Court Annexed (Judicial) Mediation: Federal Court

A. Settlement Procedure: Court Rules

B. Court Rules: Non-compliance

C. Confidentiality

D. Disqualification of Neutral

E. Early Mediation

Part Two: Arbitration in State Court

Chapter IX. Arbitration Law in General: State Court

A. Commercial Arbitration Claims

B. Federal Statutory Claims

C. State Statutory Claims

D. Categories of Arbitration

E. Court Annexed Arbitration (Judicially Ordered)

F. Labor Arbitration

1. Federal Preemption

2. Labor Law

3. Administrative Preemption

G. International Arbitration

H. Workers Compensation Arbitration

1. Jurisdiction

2. Costs

I. California Rules of Court (CRC)

J. Local Court Rules

K. Arbitration Service Provider Rules

L. Mediation/Arbitration

M. Umpires

N. Appraisals

O. Self Regulating Organizations (SRO)

P. Securities Transactions

Q. Patents

R. Attorney-Client Disputes

S. Attorney Authority

T. Malicious Prosecution

Chapter X. Court Annexed (Judicial) Arbitration: State Court

A. General Rules

B. Judicially Ordered Arbitration

C. Exemption to Judicially Ordered Arbitration

1. Judicial Council Rules

2. Local Rules

E. Civil Cases: Superior Courts with 18 or more Judges

F. Civil Cases: Superior Courts with fewer than 18 Judges

G. Limited Civil Cases

H. Motor Vehicle Cases

I. Status Conference

J. Amount in Controversy

K. Equitable Relief

L. Discovery Prior to Arbitration

M. Rules of Evidence

N. Punitive Damages

O. Powers of Arbitrators

P. Trial de Novo (TDN)

Q. Costs and Fees after Trial de Novo (TDN)

R. Discovery After Trial de Novo (TDN)

S. Evidence-Reference in Subsequent Trial

T. Voluntary Dismissal

U. Finality of Award

V. Statute of Limitations

W. Disqualification of Arbitrator

1. Statutory Disclosure: Conflict of Interest

2. Rules of Court Disqualification

X. Sanctions

Y. Offer to Compromise

Z. Arbitrator Testimony

AA. Costs in General

BB. Collateral Estoppel & Res Judicata

Chapter XI. Court Annexed (Judicial) & Voluntary Mediation: State Court

A. Mediation Defined

B. Civil Action Mediation (CCP 1775)

1. Discovery Rights

2. Evidence and Mediation

a. Confidentiality of Communications

b. Mediator Reports & Findings

c. Mediator Testimony

d. Offers to Compromise

e. Conclusion of Mediation

3. Statute of Limitations

C. Settlement

D. Disclosure by Mediators

E. Disqualification of Mediator

F. Mediation as Condition Precedent to Arbitration

G. Mediation Fees & Costs

H. Insurance Mediation

I. Real Estate Mediation

1. Development Projects

2. Subcontractors

J. Family Law Mediation

K. Rescission of Agreement

L. Appellate Mediation

(Note: See Chapter 25 regarding Early Neutral Evaluation)

Chapter XII. Jurisdiction: State Court

A. Jurisdiction in General

1. Notice to Arbitrate

2. Service of Suit Clause

B. Subject Matter Jurisdiction

1. Consent to Jurisdiction
2. Arbitrator Authority

C. Judicial Jurisdiction in Arbitration

D. Appellate Jurisdiction

E. Arbitrator Jurisdiction

F. Foreign Corporations

Chapter XIII. Preemption & Policy: State Court

Introduction

A. Federal Preemption in State Court

1. FAA Preemption

2. Conflict Preemption

B. State Preemption

C. California Policy

D. Presumption of Arbitrability

Chapter XIV. Arbitration: Statutory Authority: State Court

A. Distinguishing Categories of Arbitration

B. Arbitration Defined

C. Statutory Requirements

1. Written Agreement

2. "Controversy" Required

3. "Parties" Defined

4. Appraisals

D. Order to Arbitrate

1. Waiver

2. Revocation of Arbitration Clause

3. Third Parties

4. Stay of Arbitration

E. Stay of Litigation

F. Appeal from Order to Arbitrate

G. Appeal from Order Denying Arbitration

H. Severance of Non Arbitrable Issues

I. Appeal of Other Orders

J. Mandate

K. Priority of Arbitration

L. Labor Arbitration

M. Costs of Arbitration

1. General Rule

2. Health Care Plans

N. Representation by Counsel

Chapter XV. Initiating Arbitration: State Court

A. Self-Executing Arbitration Clause

B. Petition to Compel Arbitration

1. Filing Petition to Compel

2. Standing

3. Notice: Litigation Filed

4. Notice: Litigation Not Filed

5. Service of Petition

6. Service of Petition Outside State

7. Response to Petition

8. Amending the Complaint

C. Venue

1. Petition Prior to Arbitration

2. Petition After Arbitration

3. Alternative Counties

4. Pending Action

5. Continuing Jurisdiction of Court

6. Change of Venue

Chapter XVI. Hearing on Petition to Compel Arbitration: State Court

Introduction

A. Preemption

1. Interstate Commerce

2. "Workers"

B. Severing the Merits

C. Burden of Proof

D. Evidence

E. Pleadings

F. Arbitrability: Interpreting the Arbitration Clause

1. Objections to Arbitrability

2. Gateway Issues

3. Existence of Agreement to Arbitrate

4. Formation of Agreement

a. Agreement to Arbitrate

b. Written Agreement

c. Incorporation of Documents

d. Ambiguous or Disputed Arbitration Clauses

e. "Stand Alone" Clauses

f. "Carve Out" Clauses

g. Arbitrator Service Provider Rules

5. Arbitrable Parties & Issues

a. Other Issues Between Same Parties

b. Other Issues with Third Parties

c. Third Parties in General

d. Consolidation

e. Severance of Parties & Issues

f. Signatory & Non-Signatory Parties

g. Non-Signatories and Signatory Parties

h. Third Party Beneficiaries

i. Medical Contracts & Third Parties

j. Additional Parties

k. Alter Ego

6. Arbitrable Issues: Scope of Clause

7. Broad Clauses

a. Disputes "Arising Out Of" Clauses

b. Disputes in "Disputes Over" Clauses

c. Disputes "Concerning the Terms"

8. Narrow Clauses

9. Conflicting Clauses

10. Multiple Clauses

11. Expired Contracts

12. Counter Claims

13. Remedial Limitations

14. Attorney Fees: Petition to Compel

15. Statement of Decision Denying Petition to Compel

16. Incorporation of Arbitration Service Rules

17. Duration of Arbitration

18. Collective Bargaining Agreements (CBAs) & Labor Code

Chapter XVII. Revoking or Enforcing Arbitration Clauses: State Court

A. Revocation of Agreement

B. Procedural Law & Arbitrability

1. Statute of Limitations

2. Laches

3. Forum Selection Clause

a. Arbitration Forum Clause

b. Contractual Forum Selection Clause

4. Forum Non Conveniens

5. Choice of Law Clause

6. Severance of Arbitration Clause

7. Contractual Remedies

8. Conditions Precedent

13. Administrative Remedies

C. Substantive Law & Arbitrability

1. State Statutory Claims

2. Federal Statutory Claims

3. Adhesive Contracts

4. Unconscionable Clauses

a. Procedural & Substantive Contractual Arbitrability

b. Employment Contracts

c. Unilateral Change of Terms

d. Public Policy

e. Discovery Rights

f. Confidentiality of Award

5. Statutorily Mandated Arbitration Clauses

a. Real Estate Contracts

b. Consumer Contracts

1.) Arbitration Costs

2.) Consumer Remedies

c. Health Care Service Providers

d. Medical Service Contracts

e. Skilled Nursing Facility

f. Landlord/Tenant Contracts

g. Land Use

h. Residential Construction

i. Common Interest Development

j. Construction Sub-Contracts

k Disability Insurance

l. Fire Insurance

m. Hazardous Substance Act

n. Uninsured Motorist

o. Automobile Repair

p. Mobile Home Residency

q. Eminent Domain

r. Probate

s. Franchises

t. Public Construction Contracts

6. Common Law Claims

a Mutuality of Assent

b. Mutuality of Remedy

c. Consideration

d. Fraud

e. Mistake

f. Good Faith & Fair Dealing

7. Illegal or Invalid Contracts

8. Illusory Contracts

9. Family Law

10. Costs of Arbitration

D. Res Judicata & Collateral Estoppel

1. Collateral Estoppel

2. Res Judicata

3. Labor Contracts

4. Federal Jurisdiction

E. Remedies

1. Arbitrator Remedies

2. Judicial Remedies

3. Provisional Remedies

G. Jurisdiction after Order to Arbitrate

1. Vestigial Jurisdiction

2. Motion to Reconsider

H. Waiver of Arbitration

Chapter XVIII. Selection or Appointment of Arbitrator: State Court

A. Statutory Authority

B. Party Arbitrators

C. Arbitrable Forum

Chapter XIX. Arbitrator Disclosure and Disqualification: State Court

A. Contractual Arbitration

1. Disclosure by Arbitrator

2. Disclosure by Arbitrator in Residential Construction

3. Disqualification of Arbitrator

4. Disqualification of Judge

B. Appeal

C. Judicial (Court Annexed)Arbitration

Chapter XX. Conduct of Arbitration: State Court

Introduction

E. Evidence by Arbitrator

F. Depositions

G. Deposition Restrictions

L. Arbitrator Immunity

M. Arbitration Service Provider Rules

Chapter XXI. Awards: State Court

A. Form of Award

1. Disputes After Award

2. Health Care Awards

3. Employment Awards

4. Public Agency Awards

5. Electronic Signature

B. Service and Timeliness of Award by Arbitrator

C. Corrected Award by Arbitrator

1. Time to Correct

2. Manner of Correction

a. Absence of Objection to Correct

b. Reconsideration of Award

D. Amended Award by Arbitrator

E. Jurisdiction of Arbitrator

F. Judicial Review of Award

1. Confirmation, Correction or Vacating Award

2. Service of Confirmation, Correction or Vacating Award

3. Scope of Review

4. Judicial Clarification of Award

5. Judicial Correction of Award

a. Evident Miscalculation or Mis description

b. Arbitrators Exceeded Powers

c. Award Imperfect in Form
d. Severance of Illegal or Unenforceable Terms

6. Confirmation of Award

7. Vacating an Award

8. Grounds to Vacate Award

a. Fraud, Corruption or Undue Means

b. Misconduct of Arbitrator

c. Arbitrator Exceeded Powers

d. Refusal to Postpone Hearing or Hear Evidence

e. Disqualification of Arbitrator

f. Rehearing

g. Conditions to Vacate

G. Disqualification of Judge

J. Statement of Decision

K. Unconfirmed Award

L. Arbitration Service Provider Rules

M. Jurisdiction to Complete Award

Chapter XXII. Appeal: State Court

A. Appeal of Award

B. Finality of Award

C. Appealable Orders

1. Order Denying Petition to Compel Arbitration

2. Order Dismissing Petition

3. Order Vacating Award

4. Order Denying Petition to Vacate Award

5. Judgment Confirming Award

6. Special Order After Judgment

D. Scope of Review

E. Costs & Sanctions on Appeal

F. Role of Federal Arbitration Act (FAA)

G. Manifest Disregard of Law

H. Second Level Arbitration Appeal

XXIII. Referees: State Court

A. Authority of Referee

B. Objections to Reference Decision

C. Arbitration Rules in General Reference

D. Costs

E. Immunity

XXIV. Temporary Judges: State Court

A. Constitutional Authority

B. Non-Constitutional Authority (CRC)

C. Attorneys Appointed by Court

D. Attorneys Requested by Parties

XXV. Early Neutral Evaluation

Table of Authorities

Index /