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Construction Arbitrator Survey

For questions with these possible answers, the following guidelines should apply:

Always:
 Approximately 100%

Usually:
 Approximately 75%

Half the Time:
 Approximately 50%

Seldom:
 Approximately 25%

Never:
 Approximately 0%
1. What is your primary professional background?
2. Approximately how many times have you served as an arbitrator in a construction case during your career?
3. What type of arbitration demand do you prefer?
4. In resolving disputes regarding locale, how often do you select a locale that is:
Space Cell AlwaysUsuallyHalf the TimeSeldomNever
a. Different from that specified in the contract?
b. Different from the city closest to the project if no locale specified in the contract?
c. Different from that suggested by the organization, if any, administering the arbitration?
d. Different from a statute requiring the locale to be in the state in which the project was built?
5. When you are serving as the third neutral arbitrator chosen by party-appointed arbitrators, do you find party-appointed arbitrators are:
Space Cell AlwaysUsuallyHalf the TimeSeldomNever
a. Neutral in their behavior and decisions?
b. As substantively experienced as arbitrators obtained from ADR organizations?
c. As procedurally experienced as arbitrators obtained from ADR organizations?
6. Has any ADR organization ever shown you a disqualification motion filed against you?
7. How often are you asked to conduct arbitrations:
Space Cell AlwaysUsuallyHalf the TimeSeldomNever
a. Pursuant to unmodified rules of ADR organizations?
b. Pursuant to rules of ADR organizations that are modified by the parties' arbitration agreement?
Pursuant only to statutory (e.g. FAA or RUAA) requirements?
The following questions relate to the preliminary hearing and discovery in construction arbitration.
8. In cases that are not considered large or complex, how often do you order:
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a. A date by which a very detailed statement of claims, counterclaims and defenses should be exchanged?
b. A date by which a detailed calculation of damages for claims and counterclaims should be exchanged?
9. Please identify how often you may suggest or discuss with counsel or parties the use of any of the following procedures to reduce costs or increase efficiency of arbitration hearings, or list others if applicable:
Space Cell AlwaysUsuallyHalf the TimeSeldomNever
a. Chess clock division of hearing time between parties?
b. Joint calling of witnesses?
c. Joint calling (“hot tubbing”) of experts?
d. Receipt of detailed summaries of witnesses testimony and exhibits subject to cross-examination?
e. Submission of stipulated, undisputed facts?
f. Submission of joint exhibits?
g. Presentation of all exhibits via specified presentation software in electronic format (as opposed to hard copy)?
10. In regard to the scope of document exchange, how often do you order:
Space Cell AlwaysUsuallyHalf the TimeSeldomNever
a. Entire project file, including all project related paper hard copies and all project related Electronically Stored Information (ESI)?
b. Targeted/limited scope production as determined by arbitrator of project files and/or related ESI communications [based on manual or technology assisted review].
c. Only documents on which parties intend to rely?
d. Only documents that are considered "relevant and material to the outcome" as opposed to reasonably calculated to lead to the discovery of admissible evidence?
e. Documents that are reasonably calculated to lead to the discovery of admissible evidence?
f. Disclosures consistent with FRCP Rule 26?
11. If the parties cannot agree on the type of ESI to be exchanged, how often do you require exchange of:
Space Cell AlwaysUsuallyHalf the TimeSeldomNever
a. Documents in Paper format only (no ESI)?
b. ESI documents in Native format?
c. ESI documents in Non-Native format, e.g. PDF or TIFF?
d. ESI documents with OCR/Extracted Text and/or Metadata?
12. For discovery in "regular” arbitrations (not large or complex), how often do you:
Space Cell AlwaysUsuallyHalf the TimeSeldomNever
a. Allow limited interrogatories?
b. Allow limited requests for admissions?
c. Allow limited depositions of parties?
d. Allow limited depositions of third-party witnesses if requested and the other party does not object?
e. Allow limited depositions of experts?
f. Allow limited pre-hearing subpoenas?
13. For discovery in "large or complex" arbitrations, how often do you:
Space Cell AlwaysUsuallyHalf the TimeSeldomNever
a. Allow limited interrogatories?
b. Allow limited requests for admissions?
c. Allow limited depositions of parties?
d. Allow limited depositions of third-party witnesses if requested and the other party does not object?
e. Allow limited depositions of experts?
f. Allow limited pre-hearing subpoenas?
14. As part of planning for the conduct of the hearing, how often do you consider issues such as:
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a. Bifurcating the hearings between entitlement and quantum?
b. Encouraging parties to focus their presentation first on issues the decision of which could dispose of all or part of the case?
15. In considering summary dispositive motions, how often do you:
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a. Freely entertain such motions by all parties?
b. Discourage such motions unless the parties stipulate that no material facts are in dispute?
c. Require that a party seek the arbitrator’s approval to bring such a motion after making a showing that the motion is likely to succeed, dispose of, or narrow the issues in a case?
d. Decline or reserve ruling on such motions until after the close of the hearing?
16. How often do you find that dispositive motions in construction cases:
Space Cell AlwaysUsuallyHalf the TimeSeldomNever
a. Are useful to your preparation for the hearing even if the motion is unsuccessful?
b. Are useful to extract or establish specific facts necessary for the resolution of the case?
c. Are over-used by counsel for the parties and not helpful to you as the arbitrator?
The following questions concern the conduct of the hearing.
17. Approximately what percentage of your arbitration panels include non-lawyers?
18. How often do you enforce state or federal rules of evidence:
Space Cell AlwaysUsuallyHalf the TimeSeldomNever
a. If the arbitration rules governing the dispute require their use?
b. If the arbitration rules governing the dispute do not require their use?
19. If the arbitration rules do not require application of rules of evidence, do evidentiary objections have any impact on your view of the evidence or your deliberations?
The following questions deal with final awards.
22. In reaching your decision and rendering your award, how often do you: 
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a. Enforce the parties’ contract in strict accordance with its terms?
b. Only enforce the parties’ contract in strict accordance with its terms if the contract requires the arbitrator to do so?
c. Resolve disputes strictly in accord with applicable law or statutes?
d. Apply your own sense of justice and industry standards in formulating your awards even if it is contrary to what the contract or applicable law may require?
23. Regarding an often-heard sentiment that arbitrators often "split the baby” or render a compromise award, how often do you:
Space Cell AlwaysUsuallyHalf the TimeSeldomNever
a. Render and award based only on the law and facts presented?
b. Render compromise awards based on the amounts of the claims asserted?
c. Award an amount in arbitration greater than you would expect in court because you are often not bound by rules of evidence and procedure?
d. Award an amount in arbitration lower than you would expect in court?
e. Render a compromise award in close cases rather than what might be awarded based on a strict view of the proof and law?
24. How often do you award fees and expenses against a party for:
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a. Violation of interim awards and orders?
b. Discovery abuses?
c. Assertion of frivolous claims or defenses?
d. Conduct that would violate a standard similar to Rule 11?
25. In construction arbitrations, how often do you:
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a. Refuse to accept evidence deemed cumulative, unreliable, unnecessary, or of slight value?
b. Refuse to accept evidence of settlement negotiations on the grounds that they are privileged?
c. Grant subpoenas to produce witnesses and documents at the hearing?
d. Receive and consider evidence of witnesses by declaration and affidavit?
e. Give evidence submitted by affidavit equal weight to live testimony?
f. Do you find a site inspection to be helpful?
26. In considering claims for interim or permanent equitable relief in construction cases:
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a. Are you generally less likely to grant equitable relief than a court?
b. Do you apply the same applicable judicial standards as you think a court would for such claims?
c. Do you require bonds or other security similar to courts when issuing temporary injunctions?
d. Are you open to consider and order specific performance?
e. Would you consider making an award for unjust enrichment even if there is a contract between the parties and another available remedy at law?
27. In construction arbitrations in which you have served on a panel of three arbitrators, how often:
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a. Do you find the input of the other 2 arbitrators to have had an impact on your view of entitlement or quantum?
b. Do you compromise on your view of entitlement and quantum based on the input of the other two panel members?
c. Do you think your award decision would have been the same if you had been a solo arbitrator?
d. Have you been part of a split decision among the panel?
28. Without a "prevailing party" clause, how often do you award administrative fees and the expenses and compensation of the arbitrator:
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a. To be borne equally between the parties?
b. To be borne more by one party than the other?
c. To be borne entirely by one party only?
29. For the purposes of awarding costs and fees pursuant to a "prevailing party" clause, how often:
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a. Do you consider the claimant to have prevailed if it is awarded any amount on it's claim?
b. In cases where there are claims and counter-claims, do you find that the party who is awarded the highest percentage of its claim, as opposed to the largest dollar amount, to be the prevailing party?
c. Do you consider how much the respondent's defenses decreased the amount of claimant's claims in determining which party prevailed?
d. Do you find that neither party was the "prevailing party"?
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