Case Preparation and Presentation A Guide for Arbitration Advocates and Arbitrators

PREFACE

ABOUT THE AUTHORS

CHAPTER 1. INTRODUCTION
§ 1:01 Generally
§ 1:02 Advantages and Disadvantages of Arbitration
§ 1:03 Reducing the Costs of Arbitration
§ 1:04 Arbitration Rules
§ 1:05 Representation
§ 1:06 Determining Whether a Dispute Is Arbitrable
§ 1:07 Deciding Whether to Arbitrate

CHAPTER 2. STATUTORY BASES FOR ARBITRATION
§ 2:01 Common Law Origins of Arbitration
§ 2:02 Uniform Arbitration Act and Revised Uniform Arbitration Act
§ 2:03 State Arbitration Laws
§ 2:04 Federal Arbitration Act
§ 2:05 Section 301 of the Labor Management Relations Act

CHAPTER 3. INVESTIGATING
A. INTRODUCTION
§ 3:01 Generally
§ 3:02 Investigation Checklist
B. DOCUMENTS
§ 3:03 Arbitration Clause
§ 3:04 Documents Initiating Arbitration
§ 3:05 Contract Clauses
§ 3:06 Disposition of Previous Grievances
§ 3:07 Grievance Meeting Notes
§ 3:08 Disciplinary Records
§ 3:09 Other Arbitration Awards
C. INTERVIEWS
§ 3:10 Generally
§ 3:1 Interviewer’s Personality, Attitude and Manner of Asking Questions
§ 3:1 Legal and Ethical Principles
§ 3:13 Time and Place
§ 3:14 Planning and Researching
§ 3:15 Structure
§ 3:16 Types of Questions
§ 3:17 Sequence of Questions
§ 3:18 Verbal and Nonverbal Communication
§ 3:19 Effective Communication
§ 3:20 Employees of an Opposing Party
§ 3:21 Former Employees of an Opposing Party
D. BARGAINING HISTORY
§ 3:22 Generally
E. CUSTOM, USAGE, AND PAST PRACTICE
§ 3:23 Generally
F. SITE VISITS
§ 3:24 Generally
G. REAL EVIDENCE
§ 3:25 Generally

CHAPTER 4. DEVELOPING A CASE THEORY AND A CASE THEME 
§ 4:01 Generally
§ 4:02 The Legal Theory
§ 4:03 Complainant's Legal Theory
§ 4:04 Respondent's Legal Theory
§ 4:05 The Factual Theory
§ 4:06 Claimant's Factual Theory
§ 4:07 Respondent's Factual Theory
§ 4:08 Identifying Opposing Theories and Evidence
§ 4:09 Using Case Theory in Preparing and Presenting Your Case
§ 4:10 Developing a Case Theme

CHAPTER 5. COMMENCING THE ARBITRATION PROCESS 
A. INTRODUCTION
§ 5:01 Generally
B. DEMAND FOR ARBITRATION
§ 5:02 Generally
§ 5:03 Sufficiency
§ 5:04 Timeliness
§ 5:05 Service
§ 5:06 Amendment
C. RESPONSE TO DEMAND FOR ARBITRATION
§ 5:07 Generally
§ 5:08 Timeliness
§ 5:09 Objections
§ 5:10 Affirmative Defenses
§ 5:11 Counterclaims
§ 5:12 Arbitrating under Protest
D. SUBMISSION AGREEMENT
§ 5:13 Generally
E. LABOR ARBITRATION
§ 5:14 Generally
§ 5:15 Grievance Procedure
§ 5:16 Appeal to Arbitration
F. PARTIES
§ 5:17 Joinder of Necessary Parties
§ 5:18 Substitution of Parties
§ 5:19 Class Actions

CHAPTER 6. SELECTING AN ARBITRATOR AND SCHEDULING THE HEARING
A. SELECTING AN ARBITRATOR
§ 6:01 Generally
§ 6:02 Considerations
§ 6:03 Categories Of Arbitrators
§ 6:04 Single Arbitrator Or Panel
§ 6:05 Procedure
§ 6:06 Disclosures And Disqualification
§ 6:07 Vacancies
B. SCHEDULING HEARINGS
§ 6:08 Hearing Location
§ 6:09 Hearing Date and Time

CHAPTER 7. UNDERSTANDING EVIDENCE
A. INTRODUCTION
§ 7:01 Generally
§ 7:02 Applicable Rules of Evidence
B. BURDEN OF PROOF
§ 7:03 Generally
§ 7:04 Burden of Producing Evidence
§ 7:05 Burden of Persuasion
§ 7:06 Quantum of Proof
§ 7:08 Shifting Burden of Proof
§ 7:09 Labor-Management Arbitrations
C. TYPES OF EVIDENCE
§ 7:10 Generally
§ 7:11 Sworn Testimony
§ 7:12 Real Evidence
§ 7:13 Documentary Evidence
§ 7:14 Demonstrative Evidence
§ 7:15 Direct and Circumstantial Evidence
§ 7:16 Inferences
§ 7:17 Presumptions
§ 7:18 Arbitral Notice
§ 7:19 Stipulations
§ 7:20 Prior Arbitration Awards
D. WITNESSES
§ 7:21 Witness Credibility
§ 7:22 Missing Witnesses
E. ADMISSIBILITY OF EVIDENCE
1. INTRODUCTION
§ 7:23 Generally
§ 7:24 Objections
2. RELEVANCE AND MATERIALITY
§ 7:25 Generally
§ 7:26 Parol Evidence
§ 7:27 Character for Honesty and Truthfulness
§ 7:28 Character and Habit
§ 7:29 Custom and Usage; Past Practice
§ 7:30 Work Record and Past Misconduct
3. RELIABILITY
§ 7:31 Hearsay
§ 7:32 Best Evidence Rule
§ 7:33 Medical Evidence
§ 7:34 Alcohol and Drug Offenses
4. OPINION TESTIMONY
§ 7:35 Generally
§ 7:36 Lay Witnesses
§ 7:37 Expert Witnesses
§ 7:38 Polygraphs
5. RECORD
§ 7:39 Evidence Received after Hearing
§ 7:40 Translators
6. FUNDAMENTAL FAIRNESS
§ 7:41 Informants
§ 7:42 Affidavits and Declarations
§ 7:43 Parallel Criminal Proceedings
§ 7:44 Offers of Settlement or Compromise
§ 7:45 New Evidence
§ 7:46 Surprise Evidence
§ 7:47 Privileged Communications
§ 7:48 Advocate as a Witness
§ 7:49 Improperly Obtained Evidence

CHAPTER 8. PREPARING FOR THE ARBITRATION HEARING
A. INTRODUCTION
§ 8:01 Generally
§ 8:02 Documents Initiating Arbitration
§ 8:03 Interview or Grievance Meeting Notes
§ 8:04 Contract Clauses
§ 8:05 Location
§ 8:06 Exhibits
B. DECIDING ON YOUR APPROACH
§ 8:07 Generally
§ 8:08 Determining What Facts You Will Need to Establish
C. SELECTING AND EVALUATING WITNESSES
§ 8:09 Generally
§ 8:10 Identifying Potential Witnesses
§ 8:11 Interviewing Potential Witnesses
§ 8:12 Preliminary Selection of Witnesses
§ 8:13 Final Selection of Witnesses
§ 8:14 Witnesses and Needed Proof
D. PREPARING WITNESSES
§ 8:15 Generally
§ 8:16 Advice to Witnesses
E. INFORMATION EXCHANGE OR DISCOVERY
§ 8:17 Generally
§ 8:18 Discovery from Third Parties
§ 8:19 Rules Governing Information Exchange
§ 8:20 Depositions
§ 8:21 Information Exchange in Labor Arbitrations
F. SUBPOENAS
§ 8:22 Documents
§ 8:23 Witnesses
G. ARRANGING FOR COURT REPORTERS
AND TRANSLATORS
§ 8:24 Court Reporters
§ 8:25 Translators
H. REPRESENTATION
§ 8:26 Generally
I. PREHEARING OR ADMINISTRATIVE
CONFERENCE
§ 8:27 Generally
§ 8:28 Motions
§ 8:29 Prehearing Conference Checklist

CHAPTER 9. CONDUCTING THE ARBITRATION 
HEARING
A. INTRODUCTION
§ 9:01 Generally
§ 9:02 Notice of Hearing
§ 9:03 Hearing Room
§ 9:04 Arriving at the Hearing
§ 9:05 Ex Parte Hearings
§ 9:06 Oath of Arbitrator
§ 9:07 Preliminary Matters
§ 9:08 Consolidation of Arbitration Proceedings
B. ATTENDANCE AT THE HEARING
§ 9:09 Generally
§ 9:10 Counsel for Grievant
§ 9:11 Arbitrators
C. ORDER OF PROCEEDINGS
§ 9:12 Generally
§ 9:13 Labor Arbitration
§ 9:14 Arbitrability
D. THE ISSUE
§ 9:15 Generally
§ 9:16 Labor Arbitration--Generally
§ 9:17 Labor Arbitration--Typical Statements of the Issue
E. WITNESSES
§ 9:18 Compelling Attendance of Witnesses
§ 9:19 Scheduling Witnesses
§ 9:20 Sequestering Witnesses
§ 9:21 Witness Oaths
F. EXHIBITS
§ 9:22 Joint Exhibits
§ 9:23 Copies of Exhibits
§ 9:24 Putting Exhibits in the Record
G. OPENING STATEMENTS
§ 9:25 Generally
§ 9:26 Technique
§ 9:27 Elements
H. CONDUCT AT THE HEARING
§ 9:28 Generally
§ 9:29 Bad Habits

CHAPTER 10. MAKING AND RESPONDING TO OBJECTIONS
A. INTRODUCTION
§10:01 Generally
B. MAKING OBJECTIONS
§ 10:02 Deciding Not to Object
§ 10:03 Time for Objecting
§ 10:04 Technique for Objecting
C. RESPONDING TO OBJECTIONS
§ 10:05 Generally
D. RESPONDING TO ARBITRATOR'S RULING
§ 10:06 Generally
E. MOTIONS TO STRIKE
§ 10:07 Generally
§ 10:08 Technique
F. OFFER OF PROOF
§ 10:09 Generally
G. OBJECTIONS TO FORM OF QUESTION
§ 10:10 Ambiguous, Vague, or Unintelligible
§ 10:11 Argumentative Question
§ 10:12 Compound
§ 10:13 Leading
§ 10:14 Manner of Cross-Examination
§ 10:15 Narrative
H. SUBJECT MATTER OF QUESTION
§ 10:16 Asked and Answered
§ 10:17 Assumes Fact Not in Evidence
§ 10:18 Cross-Examination Exceeds Scope of Direct Examination
§ 10:19 Defective Hypothetical Question
§ 10:20 Misquotes Witness or Misstates Evidence
I. SUBSTANCE OF EVIDENCE SOUGHT
§ 10:21 Best Evidence Rule
§ 10:22 Conclusion of Law or Fact
§ 10:23 Document Speaks for Itself
§ 10:24 Hearsay
§ 10:25 Improper Opinion
§ 10:26 Incompetent Witness
§ 10:27 Invades Province of Arbitrator
§ 10:28 Irrelevant
§ 10:29 New Evidence
§ 10:30 Offer of Compromise or Settlement
§ 10:31 Parol-Evidence Rule
§ 10:32 Privileged Communication
J. FAILURE TO LAY PROPER FOUNDATION
§ 10:33 Authentication of Document
§ 10:34 Bases of Opinion
§ 10:35 Business Records
§ 10:36 Qualifications of Expert
§ 10:37 Substance of Conversation
K. IMPROPRIETY OF CIRCUMSTANCES
§ 10:38 Answer Not Responsive
§ 10:39 Improper Conduct of Advocates or Others

CHAPTER 11. OFFERING DOCUMENTARY, PHYSICAL AND DEMONSTRATIVE EVIDENCE
A. INTRODUCTION
§ 11:01 Generally
B. TECHNIQUES FOR INTRODUCING
EXHIBITS IN EVIDENCE
§ 11:02 Generally
§ 11:03 Steps
§ 11:04 Marking the Exhibit for Identification
§ 11:05 Authenticating or Identifying the Exhibit
§ 11:06 Offering Exhibit in Evidence
§ 11:07 Voir Dire
C. KEEPING TRACK OF EXHIBITS
§ 11:08 Generally
D. PUBLIC RECORDS
§ 11:09 Generally
§ 11:10 Obtaining Certified Copies
§ 11:11 Introducing a Certified Copy
§ 11:12 Writing by Public Employee
E. BUSINESS RECORDS
§ 11:13 Generally
§ 11:14 Method of Authenticating
F. MEDICAL RECORDS
§ 11:15 Generally
§ 11:16 Health Insurance Portability and Accountability Act (HIPAA)
G. LETTERS AND OTHER PRIVATE WRITINGS
§ 11:17 Generally
§ 11:18 Witness to Execution of Document
§ 11:19 Witness Familiar with Signature or Handwriting
§ 11:20 Reply-Letter Doctrine
§ 11:21 Copy of Letter
H. REFRESHING RECOLLECTION
§ 11:22 Generally
I. FORMER TESTIMONY
§ 11:23 Generally
J. DIAGRAMS
§ 11:24 Generally
§ 11:25 Testimony of Person Who Prepared Diagram
§ 11:26 Testifying About Diagram
K. ELECTRONIC EVIDENCE
§ 11:27 Generally
§ 11:28 Electronically Stored Business Records
§ 11:29 Electronic Recordings
§ 11:30 E-Mail
§ 11:31 Web Pages
§ 11:32 Digital Photographs
§ 11:33 Facsimile Transmissions
L. LABORATORY TEST RESULTS
§ 11:34 Generally
M. SUMMARY EXHIBITS
§ 11:35 Generally
N. PHYSICAL EVIDENCE
§ 11:36 Generally
O. PLANT VISITS
§ 11:37 Generally

CHAPTER 12. DIRECT EXAMINATION OF WITNESSES 
A. INTRODUCTION
§ 12:01 Generally
B. PREPARATION
§ 12:02 Generally
§ 12:03 Determining What You Must Prove
§ 12:04 Writing Out the Questions
§ 12:05 Preparing an Outline
C. TACTICS
§ 12:06 Generally
§ 12:07 Order of Witnesses
§ 12:08 Order of Testimony
§ 12:09 Reacting to Objections
§ 12:10 Disclosing Weaknesses in Your Case
D. BEGINNING DIRECT EXAMINATION
§ 12:11 Calling a Witness to Testify
§ 12:12 Identifying the Witness
§ 12:13 Laying the Foundation
E. ASKING QUESTIONS
§ 12:14 Generally
§ 12:15 Simple Questions
§ 12:16 Narrative Questions
§ 12:17 Leading Questions
§ 12:18 Negative Questions
§ 12:19 Locations and Directions
§ 12:20 Conversations
F. MEMORY PROBLEMS
§ 12:21 Generally
§ 12:22 Refreshing Recollection
§ 12:23 Past Recollection Recorded
G. OPINIONS OF AN EXPERT WITNESS
§ 12:24 Qualifying the Witness
§ 12:25 Opinion Based on Facts Known by Witness
§ 12:26 Opinion Based on Hypothetical Question
§ 12:27 Opinion Based on Review of Records
H. DIRECT EXAMINATION OF ADVERSE PARTY
§ 12:29 Disciplined Employee
§ 12:30 Other Witnesses
I. REDIRECT EXAMINATION
§ 12:31 Generally
§ 12:32 Purpose
§ 12:33 Technique

CHAPTER 13. CROSS-EXAMINATION OF WITNESSES
A. INTRODUCTION
§ 13:01 Generally
§ 13:02 Scope and Manner
B. THE DECISION TO CROSS-EXAMINE
§ 13:03 Generally
§ 13:04 Use of Friendly Witness
C. OBJECTIVES
§ 13:05 Generally
§ 13:06 Discrediting the Witness
§ 13:07 Obtaining Admissions from the Witness
§ 13:08 Bringing out All the Facts
D. PREPARATION
§ 13:09 Generally
§ 13:10 Take Notes
§ 13:11 Watch
§ 13:12 Listen
E. TECHNIQUE
§ 13:13 Beginning Cross-examination
§ 13:14 Sequence of Questions
§ 13:15 Short, Simple Questions
§ 13:16 Leading Questions
§ 13:17 Limited Topics
§ 13:18 Diversion from Objective
§ 13:19 The Unknown Answer
§ 13:20 Responsive Answers
§ 13:21 Repeating Testimony
§ 13:22 Big Lie
§ 13:23 Bad Habits
§ 13:24 Avoiding "Why" Questions
§ 13:25 Maintaining Control
§ 13:26 Listening to the Answers
§ 13:27 Knowing When to Stop
F. IMPEACHMENT OF WITNESSES
§ 13:28 Generally
§ 13:29 Prior Inconsistent Statements--Generally
§ 13:30 Prior Inconsistent Statements--Form of Prior
Statement
§ 13:31 Prior Inconsistent Statements--Time, Place, and Circumstances
§ 13:32 Prior Inconsistent Statements--Signature
§ 13:33 Prior Inconsistent Statements--Questions
§ 13:34 Specific Contradiction
§ 13:35 Bias or Prejudice
§ 13:36 Character
§ 13:37 Capacity or Opportunity to Observe
§ 13:38 Prior Conversations with Advocate
G. EXPERT WITNESSES
§ 13:39 Generally
H. ARGUMENTATIVE QUESTIONS
§ 13:40 Generally
I. RECROSS
§ 13:41 Generally

CHAPTER 14. CONCLUDING THE HEARING
A. INTRODUCTION
§ 14:01 Generally
B. REBUTTAL
§ 14:02 Generally
§ 14:03 Determining the Need for Rebuttal
C. CLOSING ARGUMENT
§ 14:04 Generally
§ 14:05 Techniques
D. POST-HEARING BRIEFS
§ 14:06 Generally
§ 14:07 Deciding Whether to File Briefs
§ 14:08 Organizing the Brief--Generally
§ 14:09 Organizing the Brief--The Caption
§ 14:10 Table of Contents
§ 14:11 Table of Authorities Cited
§ 14:12 Stipulations
§ 14:13 Exhibits
§ 14:14 Introduction
§ 14:15 Issue
§ 14:16 Applicable Contract Provisions
§ 14:17 Statement of the Facts
§ 14:18 Summary of Arguments
§ 14:19 Summary of Other Party's Contentions
§ 14:20 Argument
§ 14:21 Remedy
§ 14:22 Conclusion
§ 14:23 Signature and Date
§ 14:24 Filing Briefs--Generally
§ 14:25 Filing Briefs--Time Limits
§ 14:26 American Arbitration Association
E. LETTER BRIEFS
§ 14:27 Generally
F. REPLY BRIEFS
§ 14:28 Generally
§ 14:29 Deciding Whether to File a Reply Brief
§ 14:30 Techniques for Writing a Reply Brief
G. STATING FACTS PERSUASIVELY
§ 14:31 Generally
§ 14:32 Order of Presentation
§ 14:33 Accuracy
§ 14:34 Argument
§ 14:35 Absence of Evidence
§ 14:36 Unfavorable Evidence
§ 14:37 References to the Transcript
H. MAKING PERSUASIVE ARGUMENTS
§ 14:38 Generally
§ 14:39 Tone of Argument
§ 14:40 Dividing Your Argument into Sections
§ 14:41 Beginning Your Argument
§ 14:42 Addressing Weaknesses in Your Case
§ 14:43 Making Personal Attacks
§ 14:44 Emphasizing Points
§ 14:45 Using Other Arbitration Awards--Generally
§ 14:46 Using Other Arbitration Awards--Awards Involving Same Parties as in Present Dispute
§ 14:47 Using Other Arbitration Awards--Awards Involving Different Parties Than in Present Dispute
§ 14:48 Using Other Arbitration Awards--Analyzing Awards
§ 14:49 Using Other Arbitration Awards--Referring to Arbitration Awards
§ 14:50 Using Quotations
§ 14:51 Making Alternative Arguments
§ 14:52 Anticipating the Other Party's Arguments
I. NEW EVIDENCE
§ 14:53 Generally
§ 14:54 Responding to New Evidence in Other Party's Brief
§ 14:55 Requesting the Hearing Be Reopened
J. SAMPLE BRIEFS
§ 14:56 Employer Post-Hearing Brief
§ 14:57 Union Post-Hearing Brief

CHAPTER 15. AFTER THE AWARD 
A. INTRODUCTION
§ 15:01 Generally
B. ARBITRATOR'S ROLE
§ 15:02 Generally
§ 15:03 Functus Officio
§ 15:04 Retained Jurisdiction
C. CLARIFICATION, MODIFICATION,
OR CORRECTION OF AWARD
§ 15:05 Interpretation or Clarification
§ 15:06 Modification or Correction--Application to Arbitrator
§ 15:07 Modification or Correction--Application to Court
D. VACATION OF AWARD
§ 15:08 Generally
§ 15:09 Procedure
§ 15:10 Grounds
E. CONFIRMATION OF AWARD
§ 15:11 Generally
§ 15:12 Procedure
F. DUTY OF FAIR REPRESENTATION
§ 15:13 Generally

APPENDICES 
A. Federal Arbitration Act
B. Code of Ethics for Arbitrators in Commercial Disputes
C. Code of Professional Responsibility for Arbitrators of Labor-Management Disputes
D. A Due Process Protocol for Mediation and Arbitration of Statutory Disputes Arising out of the Employment Relationship

INDEX