Can I serve as a party-appointed arbitrator when the lawyer who chose me is someone I've had a prior business relationship with?

Plain-English summary

The inquiring attorney asked about the propriety of serving as an arbitrator, having been selected by the attorney of one of the parties, with whom the inquiring attorney has had a prior business relationship.

The panel took the position that an attorney can serve as an arbitrator even if party-appointed, but cannot communicate with the attorney representing the party who appointed the arbitrator, prior to the hearing date, about any substantive issues in the case.

Currency note

This opinion was issued in 1992, after the Rhode Island Supreme Court adopted the Model Rules of Professional Conduct effective November 15, 1988. The Rhode Island Supreme Court later revised the Rules of Professional Conduct in 2007 as part of the nationwide Ethics 2000 process, which renumbered and amended several provisions and added Rule 2.4 addressing the lawyer serving as a third-party neutral. Subsequent rule amendments or later opinions may have changed the analysis. Treat this page as historical context, not current guidance. Verify against current rules before relying on any specific rule mentioned here.

Common questions

Q: Can I serve as an arbitrator when I was party-appointed?

A: Per the opinion, yes. An attorney can serve as an arbitrator even if party-appointed.

Q: Does the prior business relationship with the appointing lawyer disqualify me?

A: Per the opinion, the panel did not treat it as disqualifying; it permitted the service while limiting pre-hearing contact with the appointing lawyer.

Q: Can I talk to the lawyer who appointed me before the hearing?

A: Per the opinion, not about substantive issues in the case. The arbitrator cannot communicate with the appointing attorney, prior to the hearing date, about any substantive issues.

Background and rules framework

The opinion cites no numbered Rule of Professional Conduct. The panel resolved the inquiry on the impartiality expected of an arbitrator: party-appointment is permissible, but the arbitrator must avoid pre-hearing communication with the appointing party's counsel about substantive issues. (In later versions of the rules, the lawyer serving as an arbitrator or other third-party neutral is addressed under Model Rule 2.4, which the panel did not cite.)

Citations and references

Rules of Professional Conduct:

• None cited. The panel resolved the inquiry on the impartiality expected of a party-appointed arbitrator.

Statutes:

• None cited.

Cases:

• None cited.

Other opinions cited:

• None cited.

See also

• RI EAP Op. 95-53: A Former Mediator May Represent a Committee Member in an Unrelated Suit
• RI EAP Op. 95-01: An Attorney-Therapist Mediation Partnership Is Barred
• RI EAP Op. 87-03: An Arbitrator Brochure and "Practice Limited To"

Source

• Landing page: https://www.courts.ri.gov/attorney-resources/Pages/Ethics-Advisory-Panel-default.aspx
• Original PDF: https://www.courts.ri.gov/Opinions/EAP%2092-05.pdf

Original opinion text

Best-effort transcription from a scanned PDF. Minor errors may remain; the linked PDF is authoritative.

DIGEST OF ETHICS ADVISORY PANEL
Opinion #92-5, Request #211
Issued April 1, 1992

An attorney seeks Panel advice as to the propriety of serving as an arbitrator, having been selected by the attorney of one of the parties with whom the attorney has had a prior business relationship.

The Panel is of the opinion that an attorney can serve as an arbitrator even if party-appointed, but cannot communicate with the attorney representing the party who appointed the arbitrator prior to the hearing date about any substantive issues in the case.