Application of Rules
These Arbitration Rules apply to all cases arbitrated through the NKU Alternative Dispute Resolution Center. Individual arbitrators may adopt supplemental rules that do not conflict with these Arbitration Rules.
Disqualification of Arbitrator
The Arbitrator will not serve in a case in which any of the circumstances in 28 U.S.C. § 455 exist or may in good faith be believed to exist. The Arbitrator will disclose all present or past relationships with any party or counsel involved.
Pre-Hearing Conference; Discovery
Within thirty (30) days after the appointment of the Arbitrator, the parties must meet with the Arbitrator to confer, exchange documents, identify witnesses, and formulate a discovery plan, if necessary. The conference may be held by telephone in the discretion of the Arbitrator. The extent to which discovery is allowed, if at all, is in the discretion of the Arbitrator, who must make every effort to insure that the discovery is neither costly nor burdensome. Types of discovery will be those permitted by the Federal Rules of Civil Procedure, but may be modified at the discretion of the Arbitrator to save time and expense.
(A) At least ten (10) days prior to the date of the arbitration hearing, each party will furnish the Arbitrator and serve upon all other parties a summary of the facts and the party’s legal position, a statement containing a final list of witnesses who the party intends to call at the arbitration hearing, and a list of exhibits and documentary evidence anticipated to be introduced. The statement will contain a brief description of the matters about which each witness will be called to testify. Each party will, simultaneously with the submission of the final list of witnesses described above, make all exhibits and documentary evidence available for inspection and copying by other parties.
(B) A party failing to comply with this rule, or failing to comply with any discovery order, may not present at the arbitration hearing a witness or exhibit not previously furnished pursuant to this rule, except with the permission of the Arbitrator upon a showing of unforeseen and unusual circumstances.
Date and Place of Hearing
Unless otherwise agreed to by the parties, and upon a showing of good cause, the Arbitrator will conduct the arbitration hearing within 90 days of notification of selection as Arbitrator in a particular action. The Arbitrator will provide the parties with a minimum of 15 days notice of the hearing date(s). Arbitration hearings will be held at a location designated by the Arbitrator, after considering the convenience of all parties and witnesses. Unless the parties agree otherwise, arbitration hearings will be conducted during normal business hours.
All testimony will be given under oath. Witnesses will normally present evidence in-person, but the Arbitrator has discretion to permit the presentation of evidence by other means such as teleconferencing and web conferencing. Witnesses will be subject to direct and cross examination, and the Arbitrator may ask questions as well. The parties will bear the same burdens of production and persuasion as if their claims had been brought in court. The Arbitrator has complete discretion over the conduct of the hearing, including the order of proof. All testimony will be given under oath. Cases may be presented through written statements, affidavits, oral testimony, tangible exhibits, and the submission of formal discovery. Arguments of counsel may also be made at the discretion of the Arbitrator but are not evidence. The scope and duration of the hearing will be within the discretion of the Arbitrator. Any party wishing an interpreter will make all arrangements directly with the interpreter and will pay for the service.
In receiving evidence, the Arbitrator will be guided, but not bound, by the Federal Rules of Evidence. The scope of direct and cross-examination of witnesses will be within the discretion of the Arbitrator.
Absence of a Party
Arbitration may proceed in the absence of a party who, after due notice, fails to attend or to obtain a continuance.
The Arbitrator may continue any hearing at the request of a party for good cause shown, must continue any hearing upon mutual agreement of the parties, and may continue any hearing on the Arbitrator’s own initiative.
No recording or transcription of the proceedings will be made without the knowledge and consent of all parties. The requesting party will bear all costs associated with recording or transcription.
Ex Parte Communication
There will be no ex parte communication between the Arbitrator and any counsel or party on any matter germane to the action except scheduling.
Form and Content of Award
Within 30 days after the hearing, the Arbitrator will prepare a written award which will be dated, signed by the Arbitrator, and served on the parties. The award will clearly and concisely identify the parties, identify the prevailing parties, describe the precise amount of money and other relief awarded, including equitable relief, and provide a written opinion explaining the reasons for the award.
Remedies and Relief
The Arbitrator may award any remedy or relief that would have been available if the parties had proceeded in court, including attorneys’ fees and costs. The Arbitrator may also award arbitration fees and costs.
Confidentiality of Proceedings
All memoranda, work product, or case files of an Arbitrator are confidential and not subject to disclosure in any judicial or administrative proceeding. Any communication made during, and records relating to, the resolution process, whether made by counsel, party litigant, witness, participant, Arbitrator, or any other person present during the proceedings, are confidential. The arbitration award itself is confidential unless otherwise agreed by the parties.