Tag Archives: witnesses

Arbitrating the Patent Case Part XVII: Presenting Documents at the Hearing

shutterstock_215239330

We have previously had a look at many aspects of arbitrating patent cases, beginning with the type of cases likely to be arbitrated, arbitration clauses, and the arbitration process up to the hearing.  We then began looking at the hearing itself, beginning with sequestration issues that can arise, opening statements, and case organization.  We will now continue on to presenting documents at the hearing.  This may seem a little mundane, but it is not.  It can have a significant effect on the efficiency and effectiveness of the hearing.

Patent arbitration tends to be document heavy, and the current technology available to present documents leads to many possibilities.  Here are a few thoughts on that from one arbitrator’s point of view.  Not all arbitrators will necessarily agree with me on all this, but this reflects what I have found over the years.

Presenting written documents

With the advent of Trial Director and other systems to present documents electronically, it can be tempting to default to that system for everything.  I’m not sure it is worth the expense in many cases.  I am sure that, if done improperly, use of these systems can be a detriment rather than a benefit.

But first let’s consider the benefits of trial presentation systems. These systems allow you to focus the witnesses’ and arbitrator’s attention to specific documents and passages in the way you choose.  You can project the page of the document, blow up or highlight a particular passage of interest, and otherwise direct everyone’s attention to the particular part of the document you are working on.  If done correctly, there is no need to fumble around through a book of exhibits and then call out page numbers and paragraphs so everyone can get to the right place.  Nor is the witness or arbitrator as likely to get distracted by other document content you aren’t dealing with at the time.  You may be able to avoid dragging pounds of paper copies around the country if everything is on your computer.

On the other hand, this way of presenting documents doesn’t take into consideration the way many people process and use information from documents in an arbitration.  I, and most arbitrators I have worked with, tend to take notes on exhibits, and underline or highlight key parts of the documents. This is very useful when it comes to analyzing the case and writing an award.  No one I know can memorize all the pertinent language in a document for later recall.  Thus, for matters where the information in the document is critical, you will often see arbitrators reaching for their copy of the document if it is available or asking for a copy if it is not. Be aware that a transitory projection doesn’t usually get the job done.  You need a way to put important evidence you want the arbitrator to rely on into the arbitrator’s hands.

Use of a document projection system can sometimes be annoying.  Have you ever been at a hearing where a vendor was hired to do the document retrieval and the presentation went something like this?

Lawyer:  [To vendor running system].  Put up bates number 14578. [Pause and wait for projection].   Oh, wait sorry, go to 14587.

Arbitrator:  Can I have the Exhibit number please?

Lawyer:  Just a minute.  [Pause.]  I’ll have to get that to you at the break.  OK, please blow up paragraph 2 – or I mean 3.  [Long pause.]  Can you highlight the second sentence?  Okay, blow it up, please.  Oh, before we do that, can we go to bates number 14586 for a little context?  [Pause]. Now, Ms. Witness, see that date?  Ok.  Now back to 14587.  [Pause.] I’ve blown up paragraph 2 . . . See where it says . . .

Witness:  Excuse me. It is hard for me to get the context of this without reviewing the whole document. May I see it instead of just the parts you are projecting?

You get the idea.  The whole process of explaining how to project the right part of the document can get lengthy and tedious.  And it may well appear unfair to the witness to pick out a sentence or two from a document he or she hasn’t seen in three years and start asking about it.

The answer, of course, is to have things better organized.  But in some cases, it is just easier and less time consuming to have a notebook with the exhibit tabbed and refer to it.  This goes more like:

Lawyer:  Let me direct you to Exhibit 27.  You will find it tabbed in the notebook you have in front of you.  Is this an email you sent to Joe Dokes on March 12, 2013?

 

Witness:  It appears so.

 

Lawyer:  Please turn to page two, the second paragraph.  Here you say, “I agree that we should be paying license fees on this product . . .” [Etc.]

If the arbitrator is going to turn to the tabbed exhibit to highlight it or make notes on the document anyway, it might be better to just get everyone to that document.

You may want to do a combination of the two, projecting the document to lead the witness through it, but giving the arbitrator a chance to pull it up in the exhibit book.  But if you want to forego some expense, use tabbed exhibits in three-ringed notebooks − one for you, one for the witness and one for the arbitrator − and skip the presentation system for written documents.  Or, if the technology is too challenging for you, but there is an advantage to having a particular document projected, just use a document camera to project it.

You can be sure of this: You won’t lose your arbitration because you didn’t project exhibits.   But tabbed exhibits are almost always necessary and generally are effective enough in the context of your patent arbitration.

Two more thoughts on notebooks.  First, giant notebooks with 5 inch spines are heavy and awkward, particularly if there is more than one of them everyone has to retrieve and you are moving between them.  Use more, smaller notebooks, clearly labeled so it is easy to find the one that has the right exhibit in it.

Second, it may seem like a good idea to simply have a book for each witness with the exhibits you will use for that witness.  This works well during testimony.  But it can get confusing in a long arbitration.  The arbitrator ends up with a jumble of notebooks, many with the same exhibits, so it is difficult to locate an exhibit and may be nearly impossible to locate the copy with the arbitrator’s notes.  Exhibit books with exhibits tabbed in order are usually best.  Make a list of exhibits organized by date, too, to allow easier retrieval and review.

Visual information

For drawings, photos, or other highly visual documents critical to patent cases, projection will often be the way to go, so everyone can follow along.  Thus, if you are trying to show where each element of a claim is in an accused product, or that an element is missing, a large visual you or the witness can point to is a must.  But remember to have a smaller version available in permanent form so that arbitrator can easily locate and study it as part of the decision or award writing process.

Sometimes you are better off with a large chart or two so you can easily write on it, draw arrows, or the like.  It depends on your case and what you are presenting with a given witness.  But the arbitrator won’t be hauling charts around, so remember to provide a small version of it for later reference.  A smaller version of the drawing and a document camera may be all you  need.

Computer animation

You can spend a small fortune on computer animations and the like, but this is rarely necessary.  Most patent arbitrators can visualize what is necessary from drawings or photos without the expense of animations that may or may not be completely accurate.

Of course, you can simply bring smaller devices to the hearing or take a field trip to observe large devices or systems in operation.

Helpful technology

It has become more and more common for counsel to provide arbitrators with documents electronically, either on a USB drive or by emailing pdfs.  Patent arbitrations tend to involve traveling to the hearing, so this is a good way to allow everyone having a computer or tablet to easily retrieve exhibits at the hearing and for review afterwards.  One typically can’t take notes on the documents (absent some extra software and practice using it), but having them easily accessible anywhere is a real plus.  Talk this over with the arbitrator early on to see whether he or she uses a computer or tablet and in what format to provide the documents.

Unused exhibits

Parties usually provide exhibits in books or electronically that they don’t end up using and that never make it into the record.  You may be worried that the arbitrator will go off on his or her own quest and review unused exhibits and use them to come to conclusions.  The arbitrators I know are very unlikely to do that.  There is always plenty to consider without looking for more outside the record, and it is thought to be unfair to consider documents that are not part of the record.  In fact, many arbitrators tell the parties that if an exhibit is in the record, but hasn’t been discussed with a witness, you shouldn’t expect them to consider it.

But if you are worried about having exhibits available to the arbitrator that aren’t in the record, the arbitrator will certainly let you remove them from the notebooks.  You will have to keep track of what exhibits are in the record and agree with opposing counsel on that.  If you provided pdfs of exhibits, you’ll have to ask the arbitrator to delete the old set and substitute a new set you’ll provide with only the exhibits of record.

Next upPresenting testimony.

Advertisements

Arbitrating the Patent Case Part XIV: Sequestration at the hearing

shutterstock_215270185

In past articles, we have been exploring various aspects of arbitrating a patent case.  These included the types of patent cases most likely to be arbitrated, formulation of arbitration clauses, the federal statutes governing arbitration of patent matters, considerations regarding use of experts in arbitration, and exchanges of information as well as witness lists, document lists and briefs.  We then turned to specifics of the hearing schedule including transcripts, the form of award to request, and finally the hearing itself.

One of the issues that may come up at the outset of the hearing is sequestration of witnesses.  I’ll illustrate the issues that can arise with a story.  It’s loosely based on a real dispute or two.

The situation.

You represent a respondent in an arbitration.  At issue is whether your client’s new software product infringes the claimant’s patent.  If it does, your client has to pay rather high royalties under the parties’ license agreement.

The rule

At the outset of the hearing you opponent suggests that the witnesses be sequestered.  You are subject to AAA rules.  You read AAA Commercial Rule 25 to assure yourself that your client will be able to attend.  It says:

The arbitrator and the AAA shall maintain the privacy of the hearings unless the law provides to the contrary. Any person having a direct interest in the arbitration is entitled to attend hearings. The arbitrator shall otherwise have the power to require the exclusion of any witness, other than a party or other essential person, during the testimony of any other witness. It shall be discretionary with the arbitrator to determine the propriety of the attendance of any other person.

Your client, the owner of the respondent, is a party.  So he can attend.  And you conclude it is helpful not to have your opponent’s witnesses listen to each other.  You think they may well contradict one another without first hearing the “party line.”  Thus, you agree to sequestration.  Now you will have to make your witnesses except your client wait in the lobby, but that isn’t too difficult.

The issue

One of the issues at the hearing is whether your client’s new software uses “dataflow” computing.  The claimant’s patent requires use of dataflow computing as an element of every claim.  Generally, dataflow computing is an alternative to standard computing where execution begins as soon as the data needed for computation become available rather than according to specific instructions. This is said to promote faster, parallel computing.   If your client’s software doesn’t use dataflow computing, it doesn’t infringe and no royalties are due.

During the hearing, your opponent introduces an ad for the new software that describes the “data flow” of you client’s program.  It shows the data happily flowing between typical business processes.  Claimant’s owner testifies the ad is proof positive your client’s software infringes.  “It says ‘data flow’ right here.  That’s part of how we knew their refusal to pay royalties on their new software was a breach of our patent license,” he testifies.

You are fairly sure that the ad uses those terms in a general descriptive sense, since data flows one way or another through all software. You doubt this is really an admission your client’s software uses dataflow computing in the technical sense used in the patent.  You client is more a business guy than a software designer.  He suggests that, to be sure “data flow” is used in the ad in the general and not the technical sense, you show the ad to the lead programmer, who will be testifying later.

During a break, while preparing the programmer to testify, you show her the document and ask her about the “data flow” reference.  She says she is familiar with the ad and that it surely uses the term in the general sense.  She says she designed the new software not to use dataflow computing.  She wishes the advertising folks would have stayed away from that term in the ad, but it was only loosely used. Anybody who knows about software, she says, would know the term was not used technically.

Later, you call the programmer testify.  She explains to the arbitrator that the ad uses “data flow” in the general and not infringing sense.  During cross, your opponent asks the programmer when she last saw the ad  She says she saw it earlier that day, when you showed it to her and asked about it.

Opposing counsel then exclaims, “Mr. Arbitrator, there has been a serious breach of the sequestration order in this arbitration.  It is clear that counsel for respondent flagrantly violated the order by showing this document to the witness and clearly was relaying the testimony of another witness to this witness in violation of the sequestration order.  As a sanction, you should conclude that it is now established that the term ‘data flow’ is actually used in the technical sense, establishing infringement.  Only in this way can you keep respondent from profiting by this misconduct!”

You are a little taken aback.  You quickly reread AAA rule 25 to make sure you haven’t missed anything.  You haven’t.  It says “The arbitrator shall . . . have the power to require the exclusion of any witness . . . during the testimony of any other witness.”  You point to the arbitrator that the rule talks only about excluding attendance during testimony.   It says nothing about not being able to prepare witnesses or clarify the meaning of documents during a break.

Your opponent, ready for all that, begins to cite federal cases where courts have forbidden witnesses to talk to each other to get their stories straight during trial.  That is true even though the Federal Rule of Evidence equivalent, Rule 615, only talks about excluding witnesses from the courtroom.  “After all,” he says,” the point of all this is to keep witnesses from getting together to ‘tailor their testimony to that of prior witnesses and to aid in the detection of dishonesty,’ to quote the case of United States v. Vallie, 284 F.3d 917, 921 (8th Cir. 2002).  Putting a lawyer in the middle of it to help them fabricate their story shouldn’t be allowed.”

You deny the idea that anybody fabricated anything and argue this is all just an attempt to invade privilege and interfere with normal witness preparation.

The law in some jurisdictions

Later, you do some research to find that, even having a police officer take notes during a hearing of government witnesses’ testimony and relaying that information to other government witnesses during the hearing did not violate a sequestration order under Federal Rule 615.   See United States v. Smith, 578 F.2d 1227, 1235 (8th Cir. 1978).

But this has been a fairly uncomfortable situation and you opponent has done his best to cast you as something less than completely forthcoming in your approach.  Besides, you handle arbitrations all over the country, and who knows what a criminal court somewhere has said about sequestration that might be used against you?

Of course, arbitrators normally won’t start making decisions based on court decisions, but will simply stick with the AAA rule.  In fact, as a technical matter, the arbitrator’s power under Rule 25 doesn’t extend beyond excluding witnesses from the hearing while others are testifying in any event.  But why not avoid all this?

The solution

Once you are aware of the issue it is fairly simple to anticipate.  When it comes up, just make it clear your understanding is that the rule applies only to presence at the hearing and not ability to prepare witnesses.  You can say you’ve read about problems that can arise in this regard and want to make sure everyone understands.  Everyone is bound to agree.  If not, you will need to do some education of the arbitrator on this esoteric issue.

Next up:  Opening statements.

Arbitrating the Patent Case Part XIII: The hearing

shutterstock_233292055

We have addressed the types of patent cases most likely to be arbitrated, formulation of arbitration clauses,  the federal statutes governing arbitration of patent matter, considerations regarding use of experts in arbitration, and the final pre-hearing schedule regarding pre-hearing exchanges of information as well as witness lists, document lists and briefs.  We then turned to specifics of the hearing schedule including transcripts, and the form of award to request.  We have now arrived at the point in the process when we begin to address the beginning of the hearing itself.

Final pre-hearing.  In many arbitrations, it will be well worth your while to ask for a final pre-hearing conference to iron out the details of the hearing and the arbitrator’s or panel’s approach.  Some arbitrators routinely set such a session, but many don’t.  Most will be happy to hold them if you request them to.

Another approach I have taken lately is to provide the parties with written guidance as to what to expect at the hearing by way of proceedings, approach to evidence and the like.  Below is a generic version of a communication I have used in past arbitrations.  It was developed with input from a couple of panels of experienced arbitrators.  Of course, your arbitrator or panel may look at things differently, so it is worth finding out.  But this will provide you with a checklist of issues to consider.  Here it is:

_________________

Arbitration Guidelines

Dear Counsel:

I am writing to provide some guidance for the upcoming hearing.  Please bear the following in mind:

We will start the first day at 9 am. We will finish by 5 pm. In subsequent days, if it appears we will need to work longer hours to finish on time, we will.

  • We are set to finish on Friday, May 25th. But we have all set aside Saturday as a “spillover day” if necessary to finish. I will check in with you daily as to our progress toward completing the hearing.
  • Each party will be allowed to make a brief opening and closing if they would like. Please plan not to exceed twenty minutes or so for each side.   It isn’t necessary that you do an opening, particularly if the pre-hearing briefs lay the issues out well.
  • All testimony will be under oath. Witnesses will be asked to “swear or affirm” the testimony they are about to give is the truth, the whole truth and nothing but the truth. If witnesses would rather not take an oath, they can opt to have their testimony taken “under penalty of perjury.” Please let me know if any of your witnesses would rather have the testimony “taken under penalty” rather than swearing an oath.
  • We will proceed by question and answer. I normally will allow some brief redirect to clarify matters from cross. Re-cross is appropriate only if necessary to refine or explain critical points. There is no particular advantage in having the last word. I take notes.
  • The rules of evidence do not apply. The standard of what is allowed into evidence is set forth in Rule 34 of the Commercial Rules of the American Arbitration Association:

(a) The parties may offer such evidence as is relevant and material to the dispute and shall produce such evidence as the arbitrator may deem necessary to an understanding and determination of the dispute. Conformity to legal rules of evidence shall not be necessary. All evidence shall be taken in the presence of all of the arbitrators and all of the parties, except where any of the parties is absent, in default or has waived the right to be present.

(b) The arbitrator shall determine the admissibility, relevance, and materiality of the evidence offered and may exclude evidence deemed by the arbitrator to be cumulative or irrelevant.

(c) The arbitrator shall take into account applicable principles of legal privilege, such as those involving the confidentiality of communications between a lawyer and client.

  • While not controlling, the rules of evidence often provide some guidance as to admissibility and, importantly, to persuasiveness of certain evidence. For example, rank hearsay subject to no exceptions is not likely to be very valuable in sorting out the controversy. A first-hand account is likely to be more useful. If you want to object based on an evidentiary ground to remind the arbitrator of the weakness of the evidence, you may do so.   But such objections cannot be speaking objections. Stick with basic objections, e.g. lack of foundation, hearsay, irrelevant, etc. Admissibility will still be judged under the arbitration standard for admissibility set forth in Rule 34. I may let you know if a path of inquiry is not helpful and ask you to move on.
  • Leading questions, except as to preliminary matters and on cross, are disfavored. Arbitrators would like to know what the witness knows himself or herself and not what the lawyer would like the witness to agree to.
  • If an exhibit is referred to during an examination without objection, it is considered to be ‘in the record.” If you object to use of an exhibit, please state your objection when the exhibit is first mentioned. This keeps things moving without the “offer/receipt” ritual. Having an exhibit admitted means only that it is part of the record. It will only be given the weight, if any, deemed appropriate even if it is admitted. Please keep track of which exhibits have and have not been used. If the parties want to do so, exhibits not used can be taken out of the exhibit books at the close of proceedings. The lawyers will need to take care of that.
  • You should not assume I will look at any exhibit, even if admitted into evidence, if it has not been used in the examination of a witness or counsel has not expressly stated why I should consider it.
  • Your exhibits should be in three-ring binders, tabbed with the exhibit number. Please don’t use notebooks for your exhibits of over 3” or so. If you have a large number of exhibits, it is better to have more notebooks of a manageable size than large, unwieldy notebooks. Counsel should work to eliminate duplicates of exhibits. It wastes time if the same exhibit has two different numbers depending on which side is referring to it. If the exhibits are voluminous, it would be most helpful for you to email them to me in .pdf form so I can retrieve them on my iPad, too.
  • Please provide me with copies of any particularly important cases or legal authorities you rely on, preferably in alphabetical order by the last name of the first-named party in the caption. I am fine if you just email them to me in .pdf form.
  • One of the benefits of arbitration is that it is fairly informal. This leads to a spirit of cooperation that will keep things moving and keep things inexpensive. Also, because we are in a little more informal setting than a courtroom, it is a good idea to “turn down the volume” a little bit in the presentations. You may be reminded of that occasionally. Please don’t take offense. It often takes lawyers who are used to appearing in court some time to get used to the more informal setting.
  • On the other hand, we won’t be taking depositions either; you are presenting evidence critical to determining the outcome. There is sometimes a tendency because of the informality to go more into probing deposition mode than evidence presentation. You will do well to stick with presentation mode.
  • Another aspect to the informality of the proceedings is there is a tendency to want to chat between breaks. We have to be careful, though. I will not speak with counsel or witnesses about the merits of the case outside the hearing and tend to avoid talking to witnesses and lawyers at all (except for small talk about the weather) when we aren’t all together. Arbitrators would like to be social, but it’s more important that we be impartial, so please don’t take offense if I avoid much conversation. Please advise your witnesses that I’m not being unfriendly, but just trying to be impartial.
  • I may ask questions of the witnesses. This is normal. Some witnesses, unfortunately, have a tendency to try to determine what the arbitrator is getting at and answer so as to “agree” with the arbitrator. Please tell witnesses to answer my questions like any other questions. I don’t want agreement; I just want information. If you think I’ve gotten a wrong impression based on questions asked, you can ask to pose a few more clarifying questions to the witness.
  • Sometimes people don’t know what to call arbitrators. Please call me “Mr. Allgeyer” or “Mr. Arbitrator.”  There is no need to call an arbitrator “your honor.” Don’t worry too much if you don’t get it right all the time. I’ll use Mr. or Ms. Lawyers’ last names during the proceedings, unless it fits to become more informal.
  • It is fine to have beverages during the hearing.
  • We will generally take a break every 1 ½ hours or so. If you or a witness need a break, let me know. There will be no breaks while a line of questioning is pending.
  • We likely will discuss how to handle closing arguments and post-arbitration briefing, if any, during the course of the proceedings.
  • Please refer to AAA Commercial Rule 28 regarding use of stenographer. If either party uses real-time reporting, please arrange to provide that capability to me as well.

I hope these guidelines will help answer some basic questions to make our hearing as comfortable and productive as it can be.   Please feel free to seek any clarification or address any other questions you may have during any final pre-hearing conference or when we are together at the hearing.

Arbitrating the Patent Case Part XI: the Prehearing Schedule

shutterstock_172056707

In this series or articles, we first focused on the patent cases most likely to be arbitrated, formulation of arbitration clauses, and some matters to be addressed during the prehearing conference.  We then took a slight diversion to examine federal statutes governing arbitration of patent matters.  After looking at considerations regarding use of experts in arbitration, we are now ready to consider how all these pretrial matters fit into the final schedule.

As earlier noted, arbitrators factor in the amount of discovery and other prehearing matters that must be accomplished before finalizing the schedule.  They then tend to set the final hearing date and work back from there on prehearing deadlines.

Planning for pre-hearing procedures.  This can become complex in a patent arbitration, but if well planned, can provide some real benefits.  Let’s assume, for example that the parties are convinced – and convince the arbitrator – that a separate Markman hearing to construe the patent claims at issue will likely resolve the key issues in the case.  Time will need to be built into the schedule to allow the parties to exchange the information necessary to inform the Markman presentations.  And here is where the flexibility of arbitration can potentially save time and money.  If, in fact, if the claim construction has some possibility of resolving much of the case, it may well be the best course of action to assure discovery is tailored only to those facts that bear on claim construction and discovery of everything else, including sales and related information, be done later.  It may not need to be done at all.  The Commercial Arbitration Rules of the AAA, in fact, encourage consideration of “whether there are any threshold or dispositive issues that can efficiently be decided without considering the entire case,” including “bifurcation of the proceeding.”  Rule 21 and Checklist P-2.

But be careful.  One of the problems with patent litigation in court is the mandatory phases of the case – infringement contentions, invalidity contentions, claim construction contentions, claim construction statements, claim construction hearing, etc. –  under local patent rules, all of which can add to delay and expense.  As earlier noted, some cases need to proceed with attention to all these matters, but many do not.  As earlier noted, the attractive thing about arbitrating patent disputes is fitting the process to the problem and avoiding unnecessary activities.  Thus, if there is only a minimal chance that separate Markman hearings – or any other separate proceeding, including a dispositive motion – will actually save time and money, it isn’t a good idea.

That said, I think arbitrators should always be on the lookout, with the parties’ help, for procedures that will help focus the arbitration on threshold issues and otherwise save time and money.  But one also has to remember that, from an advocate’s point of view, it is attractive to focus first on the strengths of their case or the opposing side’s weaknesses, which may or may not actually save time and may just prolong the arbitration.  If a party sincerely thinks that focusing on an issue can genuinely structure the case in a way that could avoid some expense and that is fair to both sides, it should be prepared to explain why.  Better yet, it may be able to convince the opposing party it will save everyone time and money to have key issues determined first.

Information exchange.  Of course, the schedule also has to account for discovery, known in the language of AAA rules as “exchange and production of information.”  It is worth remembering that the arbitrator is charged with managing “any necessary exchange of information among the parties with a view to achieving an efficient and economical resolution of the dispute, while at the same time promoting equality of treatment and safeguarding each party’s opportunity to fairly present its claims and defenses.”  AAA Commercial Rule 22.

You will need to build in some time for the exchange and also for resolving any disagreements.  Discovery disagreements normally should not need to be the subject of court-style motions.  Instead, a brief letter from each side explaining the need for the information or problems with providing it should suffice. The arbitrator can then ask any questions during a phone conference and quickly get the parties on track with a prompt ruling.  In routine disputes a conference call with counsel and the arbitrator may be all that is necessary.

To avoid expensive disputes over electronic discovery, guidelines should be set in advance to limit where the parties must search for electronic documents and the format in which they are to be produced.  Here the arbitrator is charged with “balancing the need for production of electronically stored documents relevant and material to the outcome of disputed issues against the cost of locating and producing them.”  Rule 22.  Give some thought to this in advance to help the arbitrator help you save costs and avoid frustration.  An earlier article in this series provided some further guidance on that issue.

I recall the time counsel for each side produced electronic documents in the format they preferred, which was different than the other side preferred.   After doing so, each asked me to order the other to use the format they preferred.  Each was sincere in their belief and could give good reasons why their preferred format made sense.  But the result was a complication that cost money.  Discussing the issue before producing documents would have saved a motion, expense, and aggravation.

Subpoenas.  Remember, as noted in an earlier article, if you plan to subpoena witnesses or documents you will need to start analyzing how to do that and allow for possible delays in that process.  If you foresee difficulties, it is best to address them at the prehearing scheduling conference.

Inspections.  It may be that your case involves a process or device that requires a visit by the arbitrator to allow you to explain it and allow the arbitrator to understand it.  It may be that drawings, photos and videos will be sufficient, but often there is no substitute for observing the real thing.  If that is true in your case, you will want to account for that at the scheduling session and address the logistics as is necessary.  If travel is involved, this can be expensive, so think through this carefully.  Field trips are fun, but like anything else in arbitration, you must balance the cost and benefit.

Expert reports.  If the case will involve experts, which as noted in the last article in this series it often will, time needs to be built in for exchange of reports and possible rebuttal reports.  Parties may want to take depositions of experts, but be cautious about that.  If the reports include sufficient information, expert depositions may be unnecessary.  This is particularly likely to be true if the expert reports serve as the direct testimony of the expert.  Foregoing expert depositions in favor of good expert reports can present a real cost savings and not really any disadvantage in being prepared to cross examine the opposing expert.

Prehearing filings.  Once you have accounted for the time necessary to get ready for the arbitration, you will need to set deadlines for providing exhibit lists, witness lists, and prehearing briefing.  You will have to work out whether these will be phased in, with the claimant going first with response by the respondent, or whether the exchange will be simultaneous.  You will also want to think about providing an “escape valve” if one party is genuinely surprised by a document or witness and believes it needs to call another witness or present another document to fully air the issue.  This could be in the form of an additional disclosure of witnesses or documents if necessary.  The point, from the arbitrator’s point of view, is to avoid surprises and provide everyone a fair chance to present a case or defense.

Planning for the hearing.  Counsel will be asked for their estimate of how long the hearing will take.  Here are a few guidelines for that.  Things tend to go twice as fast in arbitration as in most courtrooms.  Breaks tend to be fewer and shorter, and there is generally much less need for preliminaries.  The arbitrator is already quite focused on your case and, having read your briefs and dealt with other aspects of the case, is likely to be familiar with the background.  Generally, the exhibits will go in faster and there is no need for sidebars and complicated evidentiary arguments, although at least some issues in that regard are bound to arise.  There may or may not need to be closings.  But when estimating your time for the case, factor in time for your opponent to cross-examine your witnesses and present witnesses.

It often makes sense to build in a “spillover day” into the schedule, so that everyone has their schedule clear if it becomes some extra time is needed to complete the hearing.  Trying to resynchronize schedules of counsel, witnesses and an arbitrator or panel to finish testimony of a witness or two can delay the conclusion of the arbitration by months.

With the above in mind, as well as the particulars of your case, you should be equipped to do your part to help realize arbitration’s promise of providing a fair opportunity to be heard while minimizing time and expense.

Next up.  The hearing schedule.