FRANCIS O. SPALDING
ATTORNEY AT LAW • ARBITRATOR • MEDIATOR
CONSULTANT ON ARBITRATION, MEDIATION & ALTERNATIVE DISPUTE RESOLUTION
AUTHOR EDUCATOR

184 Francisco Street, Suite 5
San Francisco, CA 94133-2081
U.S.A
(office hours by appointment only)

Telephone: [415] 392-0177
Facsimile: [415] 397-5739
e-mail: fos@fos-adr.com
http://www.fos-adr.com

This web site includes the following resources relating to current Alternate Dispute Resolution practice in the United States:

  • An article by Francis O. Spalding on selecting the arbitrator, with emphasis on the role that counsel for a party may play in this process. For the full text of this article, click here.
     
  • A two-part article by Francis O. Spalding dealing with the problems presented by unrepresented or under-represented parties in arbitration proceedings. For the full text of this article, click here.
     
  • A research paper by Francis O. Spalding on alternative dispute resolution in the Federal district courts, including analysis of the RAND Report and the Federal Judicial Center study. For the full text of this paper, click here.
     
  • The full texts of the 1997 opinion of the California Supreme Court and of the "depublished" 1995 opinion of the Court of Appeal in the case of Engalla v. Permanente Medical Group, Inc. (opinions in which several references are made to a study of arbitrator appointment practices in Kaiser arbitrations made by Francis O. Spalding as expert witness).
     

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law practice:

Isham, Lincoln & Beale,Chicago, associate, 1964-65; sole practice,1982 to date (part time until 1985). Post-1982 practice limited to arbitration, mediation and training and consulting on alternative dispute resolution issues and practice.
alternative dispute resolution practice:
Appointed as arbitrator, mediator or hearing officer in more than 475 cases, presiding over more than 1,450 days of hearings, 1982 to date. Since 1989, these have consisted principally of large complex commercial cases, including disputes related to:
Development, manufacture, marketing, sale, installation and support of a variety of high technology hardware and heavy equipment.

Development, marketing, licensing and support of, and intellectual property rights in, complex software.

High-end communications service-sharing agreements .

Purchase and sale of high technology businesses.

Trade secrets, trade protection and unfair competition.

Franchor-franchisee relationships.

Investment advice and handling of investment accounts (including both securities and commodities accounts) by brokers, brokerage firms and investment advisors, both for individual and for institutional investors.

Purchase and sale, leasing and use of real estate, including major commercial properties and leaseholds.

Residential and commercial real estate development projects involving joint ventures, limited partnerships and other entities..

Health care management..

Advertising, marketing and sales representation and media management.

Disagreements among partners and partnership dissolutions, including professional, investment and commercial partnerships.

Hotel and restaurant management and marketing.

Executive employment, including incentive arrangements and terminations.

Fees charged by lawyers to clients both individual and institutional.

Insurance, insurance coverage, banking and financial matters.

Other business and commercial contracts.

Click here for additional information on case appointments.

Click here for information on fees and other charges for neutral services.

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current ADR panel memberships:

American Arbitration Association:
Statewide Panel of Full-Time Neutrals (charter appointee)(1996- ).
Large Complex Case Program Panel (charter appointee)(1993- ).
National Panel of Commercial Arbitrators (1982- ).
Commercial Mediation Panel (1984- ) ; AAA Center for Mediation (1992- ).
Contributing Member (1983-93); Sustaining Member (1994- ).

     Click here to visit the website of the American Arbitration Association


Bar Association of San Francisco:

Mandatory Lawyer-Client Fee Dispute Arbitration Panel (1985- ).

     Click here to visit the website of the Bar Association of San Francisco.


U. S. District Court, Northern District of California:

Judicial Arbitration Panel (1985- ).
Early Neutral Evaluation Panel (1986- ).
Mediation Panel (1998- ).

     Click here to visit the website of the Northern District's ADR Program.

     Click here for information on other panel memberships.

     Click here for information on fees and other charges for neutral services.

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current and continuing ADR advisory responsibilities:

American Arbitration Association:

Northern California Advisory Council (1990- ).
ADR Currents: The Newsletter of Dispute Resolution Law and Practice: Editorial Board
(1995- ).

Bar Association of San Francisco:

Mandatory Fee Arbitration Program Executive Committee, Vice Chair 1990-
formerly:
National Association of Securities Dealers:
National Arbitration Committee (public member) 1991-96, Chair 1993 & 1994.
Arbitration Policy Task Force 1994-96
[Task Force report: Securities Arbitration Reform (NASD 1996). Click here for a 1996 NASD press release describing the work of the Task Force and its report.]].
American Arbitration Association:
San Francisco Region Education Committee (1988-96).
National Securities Advisory Committee (1993-96).

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principal consulting assignments:

Bratislava Stock Exchange Arbitration Court, Bratislava, Slovak Republic:
On-site consultant on arbitration procedures under the sponsorship of the USAID-funded Financial Services Volunteer Corps (1996).
Consultant/Expert Witness on arbitration issues:
Noguerio v. Kaiser Foundation Hospital, 203 Cal. App. 3d 1192, 250Cal. Rptr. 478 (1988).

Advanced Micro Devices v. Intel Corp., 9 Cal. 4th 362, 855 P.2d 994, 36 Cal. Rptr. 581 (1994).

Engalla v. Permanente Medical Group, Inc., 15 Cal. 4th 951, 938 P.2d 903, 64 Cal. Rptr. 2d 843 (1997). [Expert submission identified by Supreme Court as "an independent statistical analysis" and a "survey of . . . arbitrations." This submission is discussed somewhat more fully in the earlier opinion of the Court of Appeal at 41 Cal. App. 4th 1698, 43 Cal. Rptr. 2d 621 (1995). Consistent with California's peculiar appellate practice, that opinion was routinely "depublished" upon the Supreme Court's grant of review.]

    Click here for the full text of the Supreme Court's opinion;
    and click here for the "depublished"opinion of the Court of Appeal.
International Energy Development Corp. v. International Bank of Commerce, No. 94-08-4008-C (197th Dist. Tex. 1996).

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professional memberships and affiliations:

Society of Professionals in Dispute Resolution (1983- ).
American Bar Association (1964- ): Dispute Resolution Section (1994- ). California Dispute Resolution Council (1994- ), Board of Directors (1999- )..
Northern California Mediation Association (1986- ).
(formerly Northern California Council for Mediation)
Board of Directors (1989-91).
American Law Institute (1970- ): Sustaining Life Member (1995- )
State Bar of California (1981- ).
Litigation Section ADR Committee (1990-95).
Bar Association of San Francisco (1982- ).
Arbitration Committee: (1983- ), Vice Chair (1990-94), Chair (1995-97).
ADR Section: (1993- ) , Treasurer (1993).
Award of Merit (1994).
formerly:
California Community Dispute Services Board of Directors (1990-97).
Reporter, American Bar Association Special Committee to Survey Legal Needs (1971-77).
Board of Directors, Chicago Legal Assistance Foundation (1972-76).

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teaching & training responsibilities:

Law School Teaching:

Northwestern University School of Law, Chicago:

Professor of Law 1971-82; Associate Professor of Law 1968-71;
Assistant Professor of Law 1965-68.
Associate Dean 1972-77; Assistant Dean 1965-68.
Hastings College of the Law, San Francisco:
Visiting Professor of Law 1983-85.
Golden Gate University School of Law, San Francisco:

Adjunct Professor 1985-86, 1994-95.

ADR Training Faculties:

American Arbitration Association:
Basic & Advanced Arbitrator Trainings
[Faculty, National Commercial Arbitrator Training Program 1998- ]
Arbitration Advocacy Trainings
Employment Arbitration Training
Securities Arbitration Training
Real Estate Arbitration Trainings
Mediation Trainings
U. S. District Court, Northern District of California:
Judicial Arbitrator Trainings
National Association of Securities Dealers:
Arbitrator Trainings: San Francisco, Chicago, Los Angeles, San Diego, New Orleans, Phoenix, Portland, Seattle.
Nevada Center for Dispute Resolution, University of Nevada-Reno:
Arbitration trainings, Reno & Las Vegas.
Bar Association of San Francisco:
Fee Dispute Arbitrator Trainings
Mediation Trainings
Click herefor details of ADR trainings and of law school teaching.

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baccalaureate and professional education:

Northwestern University School of Law: J.D. magna cum laude 1964.
Order of the Coif.
Associate Editor, Northwestern University Law Review.
Yale University: B.A. 1950 (Sociology, Psychology & History).
bar admissions:
Admitted to Practice:
Illinois 1964; California 1981.

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publications:
(partial listing):

California ADR Practice Guide (Y. Sochynsky, L. Bader & F. Spalding ed., Shepard's/McGraw-Hill 1992-95; Bancroft-Whitney 1996; Lexis-Nexis 1997- ): five chapters.
Chapter topics: Conduct of the Preliminary Hearing; Conduct of the Hearing; Avoiding Delay in Arbitration; Using Administrative Support in Alternative Dispute Resolution; and Special Requirements for California Real Estate Arbitration Clauses.
The ADR Practice Guide (B. Roth, R. Wulff & C. Cooper ed., Lawyers Cooperative Publishing 1993-95; West 1997- ): two chapters.
Chapter topics: Choosing the Arbitration Forum; and Choosing the Arbitration Panel.
Confronting Chaos in the Arbitration Universe: Dealing with the Under-Represented Party, Parts I & II, The Neutral Corner (NASD newsletter) September 1998 at p. 5 & January 1999 at p. 3.

Click here for the full text of this article

Selecting the Arbitrator: What Counsel Can Do, ADR Currents: The Newsletter of Dispute Resolution Law and Practice, Vol. 2, No. 4, at p.8 (Fall 1997).

Click here for the full text of this article

The Rand Report, the Federal Judicial Center Study and
Alternative Dispute Resolution in United States District Courts (20 pp., 1997)
(a research paper, originally under the title "ADR in United States Courts: 1997," prepared for presentation at the 27th Annual Workshop on Commercial & Consumer Law convened at the University of British Columbia, Vancouver, B.C., October 17 & 18, 1997).

Click here for the full text of this article
The California Arbitration Act and the 1988 Real Estate Arbitration
Amendments: Coming of Age?, 21 Golden Gate University Law
Review 307 (1991).

Avoiding Delay in Arbitration: Counsel's Role, Alternative Dispute Resolution NewsAlert, California Edition, (Bancroft-Whitney, March 1991), at 1.

Monthly columnist on arbitration and mediation topics, San Francisco/Los Angeles Daily Journal 1989.

Column topics included: rules of evidence that should apply in arbitration (January 11, 1989); a comparison of the powers of arbitrators and mediators (March 9, 1989); discovery against 2d and 3d parties under California arbitration law (April 19, 1989); realism about privacy in arbitration and mediation (August 29, 1989); styles of administration in arbitration (October 3, 1989); and possibilities and perils in the exercise of the arbitrator's powers (November 16, 1989)
"One Zambia, One Judiciary": The Lower Courts of Zambia, 2 Zambia Law Journal 1 (1970).

The Common Law of Grievance Arbitration: New Wine in Old Bottles?, 58 Northwestern University Law Review 494 (1963).

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employment 1950-1961:
(pre-law school):

Account Executive, Leo Burnett Advertising, Chicago: 1959-61.

Associate, McKinsey & Co., management consultants, Chicago: 1958-59.

Brand Manager, Procter & Gamble Co., Cincinnati: 1953-58.

Executive trainee, National Broadcasting Co., New York: 1950-51.

U. S. Marine Corps, lieutenant, active duty U.S. and overseas: 1951-52.

personal :
Born 1929 in Chicago; married, six children.

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Web site of Francis O. Spalding ©1999 - 2009 Francis O. Spalding. All rights reserved.
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For further information, please e-mail: fos@fos-adr.com