Also known as:umpires · umpired · umpiring · arbitrator · referee
Written by attorneys — see sources below.
An impartial person appointed to make an award or a final decision, usually when a matter has been submitted to arbitrators who have failed to agree. An arbitral submission may provide for the appointment of an umpire.
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How its tested
Common Examples
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Judge Barred From Umpire Role
Usha Upton, a sitting state judge, received a request from two companies to serve as umpire in a contract dispute after their chosen arbitrators deadlocked. She declined the appointment because her official duties did not authorize her to act as an umpire outside the courtroom. The companies then selected a retired judge instead.
Former Umpire Faces Disqualification
Uri Underwood served as umpire in an arbitration between Ultrasonic Dynamics and Union Steel. After the award issued, he joined a law firm that later sought to represent Ultrasonic Dynamics in related litigation. The opposing party objected because Underwood had participated personally and substantially as umpire, and no written consent had been obtained.
Uliana Ustinova contributed to a judicial candidate's campaign with the goal of being considered for appointment as umpire in government contract disputes. The contribution was made to influence selection for that neutral role. Opposing counsel later challenged the appointment on grounds that the contribution undermined the appearance of impartial selection.
Lawyer Serves As Umpire Neutral
Ulric Unger, a lawyer with no prior relationship to either side, agreed to serve as umpire in a commercial dispute between Universal Motors and United Bank. He explained to the unrepresented parties that he was not acting as their lawyer and would help them reach a resolution as a neutral. The parties proceeded with the arbitration under his direction.
Agency Acts Beyond Umpire Role
An administrative agency reviewing an environmental permit application received comments urging consideration of energy conservation alternatives. The agency conducted its own investigation rather than limiting itself to resolving the parties' contentions. A reviewing court later criticized the agency for exceeding its proper role as umpire in the administrative proceeding.
Vermont Yankee Nuclear Power Corp. v. Nat. Res. Def. Council, Inc.467 U.S. 837, 843, 104 S. Ct. 2778, 2781, 81 L. Ed. 2d 694 (1984)
In 1967 the Atomic Energy Commission granted Vermont Yankee a construction permit for a nuclear power plant in Vernon, Vermont, after the required adjudicatory hearing and reviews. Vermont Yankee later applied for an operating license; NRDC intervened and objected to exclusion of fuel-reprocessing and waste-disposal impacts from the hearing. In November 1972 the Commission opened a separate rulemaking proceeding on those fuel-cycle issues, noticed two alternative approaches based on its Environmental Survey, and conducted a February 1973 hearing at which more than forty participants submitted comments but no discovery or cross-examination occurred. In April 1974 the Commission adopted a rule assigning numerical values to fuel-cycle impacts and applied it prospectively.
In January 1969 Consumers Power applied for permits to build two nuclear reactors in Midland, Michigan. After staff and ACRS review, Saginaw and Mapleton intervened and raised 119 environmental contentions, including seventeen on energy conservation. The Licensing Board held hearings on radiological issues, the staff issued a final environmental impact statement in March 1972, and further hearings occurred in May and June 1972; Saginaw declined to participate in the later hearings or submit proposed findings. The Licensing Board granted the construction permit, the Appeal Board affirmed, and the Commission declined further review. In November 1973 the Commission ruled in another case that energy-conservation evidence meeting threshold tests could be considered, but it later refused Saginaw's motion to reopen the Consumers Power record.
NRDC appealed the Vermont Yankee license and rule to the D.C. Circuit; Saginaw and others appealed the Consumers Power permit. In 1976 the Court of Appeals remanded both matters, holding the fuel-cycle rulemaking procedures inadequate, the Consumers Power environmental impact statement defective for omitting energy conservation, and the ACRS report insufficiently explained. The Supreme Court granted certiorari in 1977.
The Commission is the successor agency to the Atomic Energy Commission under the Energy Reorganization Act of 1974. All licensing proceedings followed the two-stage process of construction permit followed by operating license under the Atomic Energy Act of 1954, with NEPA environmental reviews added after 1969.
Ulf Ulfsson was appointed umpire under a collective bargaining agreement between a textile union and a manufacturing plant. When the parties' arbitrators could not agree on whether a work rule violation had occurred, Ulfsson issued a final award interpreting the contract. The award addressed the ongoing relationship between the union and the employer without awaiting court intervention.
Textile Workers Union of Am. v. Lincoln Mills of Ala.353 U.S. 448 (1957)
In 1953 the Textile Workers Union of America entered into a collective bargaining agreement with Lincoln Mills of Alabama. The agreement was to run for one year and from year to year thereafter unless terminated on specified notices. It contained a no-strike clause and established a multi-step grievance procedure whose final step, available to either party, was arbitration.
Several grievances concerning work loads and work assignments arose under the agreement. The union processed the grievances through every step of the contractual procedure, after which the employer denied them. The union then requested arbitration, but the employer refused.
The union filed suit in federal district court seeking an order compelling the employer to arbitrate the grievances. The district court held that it possessed jurisdiction and directed the employer to comply with the arbitration provisions of the agreement. On appeal the Court of Appeals reversed by a divided vote, concluding that the district court lacked authority under either federal or state law to grant the requested relief.
The Supreme Court granted certiorari. After the Court of Appeals decision but before oral argument, Lincoln Mills terminated its operations, ceased all work at the mill in March 1957, and contracted to sell its mill properties. Some of the grievances sought back pay for increased workloads, and the collective bargaining agreement authorized the arbitration board to adjust compensation retroactively.
An umpire typically serves when arbitrators have failed to agree and is appointed to render a final decision. The role is often provided for in the submission agreement itself.
May a sitting judge serve as an umpire in a private dispute?
A judge may not act as an umpire apart from official duties unless expressly authorized by law.
Does prior service as an umpire prevent a lawyer from later representing a party?
A lawyer may not represent anyone in a matter in which the lawyer participated personally and substantially as umpire unless all parties give informed consent confirmed in writing.
What ethical limits apply when a lawyer suggests an umpire for an industry event?
A lawyer may not seek to influence an umpire by means prohibited by law, including offering benefits tied to a pending proceeding.
369 U.S. 186, 211
…our freedom from political excitements in judicial duties, this court can never with propriety be called on officially to be the umpire in questions merely political. The adjustment of these questions belongs to the people and their political representatives, either in the State or general government. These questions relate…