This definitive checklist, crafted from the perspective of seasoned arbitration practitioners at AMLEGALS, moves beyond a simple procedural list. It is a robust framework designed to ensure every stage of the arbitral process is approached with strategic intent. Underpinning this entire guide is our foundational Techno, Commercial, and Legal (TCL) approach, which we believe is the non-negotiable standard for modern dispute resolution.

Phase I: The Foundation – Pre-Dispute & The Arbitration Agreement

The most critical errors in arbitration are often made before a dispute even arises. The arbitration clause is the constitutional document of your dispute resolution process.

1. Drafting the Arbitration Clause: The Strategic Blueprint

• Scope: Is the clause broad (“any and all disputes arising out of or in connection with this agreement”) or narrow? A broad clause is generally preferable to avoid parallel court proceedings over arbitrability.
• Seat of Arbitration: This is the single most important choice. The seat determines the procedural law of the arbitration, the national courts with supervisory jurisdiction, and the legal framework for challenging the award. Do not confuse it with the “venue” or physical location of hearings.
• Ad Hoc vs. Institutional Arbitration:
  • Institutional (e.g., SIAC, ICC, LCIA, MCIA): Provides established rules, administrative support, scrutiny of awards, and a framework for appointing arbitrators. Generally recommended for cross-border disputes for its predictability and support structure.
  • Ad Hoc: Offers greater flexibility as parties define their own rules. Can be faster and cheaper if parties cooperate, but can lead to gridlock and procedural disputes if they do not.
• Governing Law of the Contract: Clearly define the substantive law that governs the rights and obligations under the agreement.
• Number of Arbitrators: One or three? A sole arbitrator is faster and less expensive. A three-member tribunal allows each party to appoint an arbitrator, often providing a greater sense of fairness and more robust deliberation, which is crucial for high-value, complex disputes.
• Language of Arbitration: Specify the language to avoid costly and time-consuming disputes over translations and interpretations.
• Confidentiality: While arbitration is private, it is not automatically confidential in all jurisdictions. If confidentiality is critical, it must be explicitly stated in the clause.

TCL Insight: Your choice of institution (Legal) should be informed by its technological capabilities for case management (Techno) and its reputation within your specific industry (Commercial).

Phase II: Commencing the Arbitration – Mobilizing for the Dispute

Once a dispute crystallizes, the initial steps set the tone and trajectory for the entire proceeding.

2. Pre-Arbitration Steps

• Review the Clause: Meticulously re-read the arbitration agreement. Are there pre-arbitration requirements like mandatory negotiation or mediation? Failure to comply can lead to jurisdictional challenges.
• Evidence Preservation: Immediately implement a legal hold to preserve all relevant documents, data, and communications.
• Strategic Assessment: Conduct a thorough risk-reward analysis. What is the best-case scenario? The worst? What are the likely costs?

3. Initiating the Process

• Notice of Arbitration: Draft a clear and comprehensive notice that complies with the specific requirements of the institutional rules or the agreement. It must unequivocally state the intent to arbitrate, describe the nature of the dispute, and outline the relief sought.
• Selection of the Arbitral Tribunal: This is a pivotal strategic decision.
  • Profile the Ideal Arbitrator: Consider legal expertise, industry-specific knowledge, technical background, language skills, and nationality.
  • Conduct Due Diligence: Investigate potential arbitrators for conflicts of interest, past awards, and judicial philosophy. Modern tools can assist in analyzing an arbitrator’s track record.
  • Diversity: Consider the strategic advantages of a diverse tribunal, which can bring a wider range of perspectives and enhance the perceived legitimacy of the award.

TCL Insight: When selecting an arbitrator, look beyond their legal resume. Do they have the commercial acumen to understand your business realities? Do they have the technical expertise to grasp the subject matter of a complex construction or technology dispute? This is the TCL approach in action.

Phase III: The Arbitral Proceedings – The Core Battleground

This is the most intensive phase where the case is built and presented.

4. The Procedural Framework

• Case Management Conference: This is the first meeting with the tribunal. Be prepared to discuss and agree on a procedural timetable, the scope of document production, witness evidence protocols, and hearing logistics.
• Pleadings:
  • Statement of Claim: A comprehensive, persuasive narrative supported by initial evidence that clearly articulates the legal basis for your claims and the quantum of damages.
  • Statement of Defence & Counterclaim: A robust rebuttal of the claims and a clear articulation of any counterclaims.

5. Evidence Management

• Document Production/Discovery: Unlike court litigation, discovery in arbitration is typically more limited. Prepare a targeted request for specific and relevant documents. The Redfern Schedule is a common tool for managing these requests.
• Witness Evidence:
  • Witness Statements: These often stand as the primary evidence-in-chief. They must be accurate, comprehensive, and written in the witness’s own voice.
  • Expert Reports: For technical or quantum issues, select a credible and articulate expert. The expert’s primary duty is to the tribunal, not the party.
• The Hearing:
  • Logistics: Decide on the format: in-person, virtual, or hybrid. Ensure the technology for virtual hearings is robust and secure.
  • Opening & Closing Statements: Craft a compelling narrative that serves as a roadmap for the tribunal.
  • Cross-Examination: Prepare meticulously. The goal is to test the opposing witness’s evidence, not to attack them personally.

TCL Insight: Leverage technology (Techno) for efficient document review using AI-powered platforms. Frame your legal arguments and evidence presentation around the core commercial dispute (Commercial) to ensure the tribunal understands what truly matters to your business.

Phase IV: The Award – The Judgment

The culmination of the entire process.

 6. The Arbitral Award

• Tribunal Deliberations: The tribunal reviews all evidence and arguments to reach its decision.
• Institutional Scrutiny: Many leading institutions (like the ICC) scrutinize draft awards to check for internal consistency and potential enforceability issues, reducing the risk of a successful challenge later.
• Costs: Prepare a detailed submission on costs, justifying all expenses incurred. The tribunal has wide discretion, but a well-reasoned submission is persuasive.

Phase V: Post-Award – Securing Victory

An award in your favour is only valuable if it can be enforced.

 7. Challenge and Enforcement

• Setting Aside Proceedings: Understand the very limited grounds for challenging an award at the seat of arbitration (e.g., procedural irregularity, lack of jurisdiction). This is not an appeal on the merits.
• Recognition and Enforcement: This is the ultimate goal. The New York Convention provides a global framework for enforcing awards in over 160 countries. Be prepared for the process in the jurisdiction where the opposing party has assets.
• Asset Tracing: Proactively identify the location of the opposing party’s assets to ensure a swift and effective enforcement strategy.

TCL Insight: An enforcement strategy (Legal) is useless without a clear understanding of the opponent’s corporate structure and asset locations (Commercial), which can often be uncovered using modern investigative technologies (Techno).