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motions, subpoenas, and other preliminary issues. Although the | | present UAA makes no specific provision for arbitrators to hold | | prehearing conferences or to rule on preliminary matters, | | arbitrators probably have the inherent authority to perform such | | tasks. Numerous cases have concluded that in arbitration | | proceedings, procedural matters are within the province of the | | arbitrators. Stop & Shop Cos. v. Gilbane Bldg. Co., 364 Mass. | | 325, 304 N.E.2d 429 (1973); Gozdor v. Detroit Auto. Inter- | | Insurance Exchange, 52 Mich. App. 49, 214 N.W.2d 436 (1974); | | Upper Bucks Cnty. Area Vocational-Technical Sch. Joint Comm. v. | | Upper Bucks Cnty. Vocational Technical Sch. Educ. Ass'n, 91 | | Pa.Cmnwlth. 463, 497 A.2d 943 (1985). |
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| | | Additionally, many arbitration organizations whose rules may | | govern particular arbitration proceedings provide for | | prehearing conferences and the ruling on preliminary matters | | by arbitrators. See, e.g., AAA Commercial Arb. R.-10; AAA | | Securities Arb. R. 10; AAA Construction Indus. Arb. R. 10; AAA | | Ntn'l Rules for Resolution of Employment Disputes R. 8; | | National Arb. Forum Code of Pro. R. 24, 31; NASD Code of Arb. | | Proc. §32(d). |
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| | | Section 15(a) is intended to allow arbitrators broad powers to | | manage the arbitration process both before and during the | | hearing. This section makes the authority of arbitrators to | | hold prehearing conferences explicit and is meant to provide | | arbitrators with the authority in appropriate cases to require | | parties to clarify issues, stipulate matters, identify | | witnesses, provide summaries of testimony, to allow discovery, | | and to resolve preliminary matters. However, it is not the | | intent of Section 15(a) to encourage either extensive | | discovery or a form of motion practice. While such methods as | | discovery or prehearing conferences may be appropriate in some | | cases, these should only be used where they provide "for a | | fair and expeditious disposition of the [arbitration] | | proceeding." The arbitrator should keep in mind the goals of | | an expeditious, less costly, and efficient procedure. See also | | RUAA Section 17. |
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| | | 3. Presently the UAA has no provision dealing with whether | | to allow an arbitrator to grant a request for summary | | disposition. A number of courts have upheld the authority of | | arbitrators to decide cases or issues on such requests without | | an evidentiary hearing but have been cautious in their support | | of such holdings. Intercarbon Bermuda, Ltd. v. Caltex Trading | | and Transp. Corp., 146 F.R.D. 64 (S.D.N.Y. 1993) (confirming a | | summary adjudication by an arbitrator based on documentary | | evidence but expressed reservations about deciding arbitration | | cases without an evidentiary hearing); Schlessinger v. | | Rosenfeld, Meyer & Susman, 40 Cal. App.4th 1096, 47 Cal. Rptr. | | 2d 650 (1995) (upholding arbitrator's award based on a summary | | adjudication but cautioning that the appropriateness of such | | summary action |
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