Government of Canada Arbitration Checklist

Government of Canada, Dispute Resolution Reference Guide, Arbitration, The arbitration process

Appendix A: Checklist – Link

1. Choice of Arbitrators

  1. How many arbitrators are required?
  2. What is the technical expertise and experience desired?
  3. What is the individual’s reputation for impartiality, fairness and soundness of decisions? What are the fee structures?
  4. How will the arbitrator(s) be chosen?
  5. What specific skills are required by the arbitrator?

2. Date and Place of Hearing

  1. Where will the Arbitration be held? The location should be neutral, accessible and convenient.
  2. What type of formality is required?
  3. What are the costs of facilities?
  4. Would it be advisable to use the expertise of established service providers? is the hearing date timely and flexible?

3. Issues to be Submitted to Arbitration

  1. Are the issues defined in writing and agreed to by all parties?

4. Pre-hearing Disclosure

  1. What formal rules of evidence will govern pre-hearing disclosure?
  2. What documents are to be exchanged (financial statements, business records, contracts, reports from experts…)?
  3. Set forth in writing the names and statements of all witnesses.
  4. Exchange expert witness reports.
  5. What are the time frames for disclosure and penalties for default/ what is the power of the arbitrator to deal with any default.

5. Conduct of Hearing

  1. Is the Arbitration to be conducted entirely on the basis of an exchange of documents?…affidavits?
  2. Will there be submissions only on the documentary evidence (written or verbal)?
  3. If there will be viva voce evidence, who will give it?
  4. Will a transcript of the proceedings be required (Note that the Code is silent on this issue)?
  5. What is the sequence for the presentation of evidence?
  6. Will the rules of evidence be formal or relaxed? If the latter, under what circumstances?
  7. Will copies of documents be accepted?
  8. Will the proceedings be recorded; if so how?
  9. Will institutional rules be adopted?
  10. What will be the powers of the arbitrator? Should they be allowed to order interim measures should they be allowed to appoint an expert should the arbitrator act as amiable compositeur (consideration of a dispute according to what is fair and just given the particular circumstances, rather than strictly according to the rule of law).

6. The award

  1. Does the arbitrator have the power to award costs/pre-judgment interest/post-judgment interest?
  2. What is the time for delivery of the award?
  3. Are there sanctions for failure to deliver the award in a timely fashion?
  4. Are written reasons required?

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