6 Key Planning Tips For The Initial Pre-Hearing Conference (IPHC)
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As sole arbitrator or chairperson, the IPHC is likely the most important conference you’ll hold with the parties. It’s typically the first occasion the parties will have with the arbitrators and it may be the first time the arbitrators themselves have met with each other. The IPHC sets the tone for your case and thus proper planning is imperative to get off to the right start.
Listed below are six suggestions that can simplify your life and that of the parties and your fellow arbitrators:
- Review all documents submitted by the parties. In particular, look at the claims and defenses asserted that might alert you to potential issues. For example, is subject matter jurisdiction or venue being challenged? Is there pending litigation running concurrently with your case? Have the parties provided authority for their positions that you want to review? While we can’t be prepared for everything, we can anticipate what might happen and prepare ourselves accordingly.
- Request the parties to confer prior to the IPHC with each other regarding possible dates. More times than not, I have found this simple request can greatly streamline your hearing. You may consider sending out a blank order with the dates you think need addressing. Not only is this a time-saver, but it shows you’re on top of the case and encourages the parties to cooperate early on.
- Schedule a final conference call before the final hearing. The best time to schedule a call is 5-10 days before the final hearing or after all (at least substantive) pre-hearing due dates have passed. You’ll get a better idea of the issues (i.e., witness scheduling, length of hearing, etc.) and can attempt to resolve unexpected conflicts.
- Address more than just scheduling dates. Is there a clear contract that addresses attorney fees in the event of arbitration? If not, how will the parties want the arbitrator to handle them (e.g., do they need to be briefed, is a bifurcated hearing helpful, what happens if the award is split between claims?). What choice of law applies? Will pre-judgment interest be requested and on what basis will the arbitrator decide? What kind of award do the parties want and why? Is emergency relief requested? By reading the parties’ documents you can get a better idea of what issues need to be determined.
- Limit the number of “T0 Be Determined” dates. When possible put default dates in your order, especially dates concerning discovery and substantive issues. You can always change them later and most times you won’t need to.
- Contact your fellow arbitrators beforehand. It’s a good time to address everyone’s concerns and discuss how issues such as subpoena requests might be handled.
The IPHC is vital to getting your case off to a good start. A little preparation can go a long way to making the arbitration go smoothly and efficiently.