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The Training Course for Case Managers and Arbitrators

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Lesson 10 - Arbitration - General Process Overview

The Arbitration Process flow can be split up into several steps:

  1. Pickup - Accept as Arbitration or Dismiss
  2. Initialize the case
  3. Investigation process / Discovery
    • Intermediate Rulings
    • Urgent action
    • Investigation action
    • Partial action
  4. Ruling
  5. Execution
  6. Post Arbitration Notes

1. Pickup - Accept as Arbitration or Dismiss

2. Initialize the case

The case is initialized by:

See also Arbitrations/Training/Lesson04 for more details.

3. Investigation, Discovery

transcript from an irc training session

Intermediate Rulings

An Intermediate or Partial Ruling is given by an Arbitrator before the case is finished completely to authorise some action.

Urgent action

One type of intermediate ruling authorises a temporary action which will probably be refined or undone once the facts have been evaluated with due care and time.

A typical example for this is the ruling of an urgent action of deactivating of one part of the CAcert website to stop potential exploitation of a security breach.


Starting Investigations by review similar cases

As a good starting point is to review the similar cases list of cases, that still have been processed (to prevent to reinvent the wheel).

If the iCM didn't added a similar cases list yet (see also Lesson 5 - Editing Wiki page for new Arbitration case), its now time to research for old similar cases.

Here you can start with the Category Tags list to step through the listed cases. Pickup one with an existing similar cases block, copy over the block to your current arbitration file. Pickup one the last closed cases, that probably includes a complete list of yet ruled and referenced cases, with many infos about investigations, deliberations, where you get some ideas for your own deliberations to the current running case.

If you decide, to follow one of these cases in the deliberations and discovery process, you can also reference this picked up case for reference in your ruling:

eg. By following the case aYYYYMMDD.# I come to the following ruling ...

you give some or all of the answers to DRP 3.1 (3) The logic of the rules and law. If you find one more topic, that hasn't been undergo a deliberation, you can enhance your deliberations with a reference to an earlier case, to become referenced in future cases.

Investigation Actions

During investigation of a case you may come to a point where some support action is needed which needs authorisation of an Arbitrator.

For example support has to "hijack" an account to extract information which is only available using this way. Or a SQL query has to be executed on the database.

To authorize such actions you have to give an intermediate ruling, so support can justify the action.

Partial action

An intermediate ruling can also be given if a case can be split into two or more different aspects and the Arbitrator has come to a conclusion about one of the aspects.

For example the typical "Name in account does not match ID docs" case usually consists of the two aspects:

Usually you'll first tackle the aspect how the name in the account should be changed, and if you have come to a conclusion about this, you may give an intermediate ruling to modify the account name (or revoke the Assurances or whatever) so business can continue with this account.

Then you'll have to evaluate whether the Assurers made no mistake (because the rules were unclear), a minor mistake (some things just happen) or a major mistake (this should not have happened!), maybe think about a penalty and discuss it with others, and so on.

When all aspects are finished you should give to the ruling another look and turn it into a final ruling, usually by just modifying the headline.

4. Ruling

How can an Arbitrator can come to a ruling?

From DRP: The Arbitrator records:

  1. The Identification of the Parties,
  2. The Facts,
  3. The logic of the rules and law,
  4. The directions and actions to be taken by each party (the ruling).
  5. The date and place that the ruling is rendered.

Arbitrators Authority

So therefore the acceptance to CCA and DRP needs to be checked and verified under Section 2 (Init mailing) by the Case Manager / Arbitrator for all Arbitration participants of a case.

5. Execution

6. Post Arbitration Notes



BernhardFröhlich: I have rewritten the paragraph about Intermediate rulings. IMHO other paragraphs also will need some "finishing touches". I'm at it.

Arbitrations/Training/Lesson10 (last edited 2013-05-27 00:17:18 by UlrichSchroeter)