Code of Professional Responsibility for Arbitrators of

Labor-Management Disputes of the:

***Federal Mediation and Conciliation Service***

*National Academy of Arbitrators*

*American Arbitration Association*

*As Amended and Effective*

*June 2003*

**For information on Arbitration Services, please contact:**

**Federal Mediation and Conciliation Service**

**The Office of Arbitration Services**

**2100 K Street, N.W.**

**Washington, DC 20427**

**(202) 606-5111**

**TABLE OF CONTENTS Page**

Foreword i

Preamble ii

Joint Steering Committee iv

**1. Arbitrators Qualifications and Responsibilities to the Professio**n
1

> A. General Qualifications 1

B.  B. Qualifications for Special Cases 1

    C. Responsibilities to the Profession 2

    **2. Responsibilities to the Parties** 3

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A.  Recognition of Diversity in Arbitration Assignments 3

B.  Required Disclosures 3

C.  Privacy of Arbitration 5

D.  Personal Relationships with the Parties 6

E.  Jurisdiction 7

F.  Mediation by an Arbitrator 7

G.  Reliance by an Arbitrator on Other Arbitration Awards or on

> Independent Research 7

H.  Use of Assistants 8

I.  Consent Awards 8

J.  Avoidance of Delay 9

K.  Fees and Expenses 9

> **3. Responsibilities to Administrative Agencies** 12

A.  General Responsibilities 12

**4. Prehearing Conduct** 13

F.  **5. Hearing Conduct** 14

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A.  General Principles 14

B.  Transcript or Recordings 14

C.  Ex Parte Hearings 15

D.  Plant Visits 15

E.  Bench Decisions or Expedited Awards 15

> **6. Post Hearing Conduct** 16

A.  Post Hearing Briefs and Submissions 16

B.  Disclosure of Terms of Award 16

C.  Awards and Opinions 16

D.  Clarification of Interpretation of Awards 16

E.  Enforcement of Award 17

**FOREWORD**

This \"Code of Professional Responsibility for Arbitrators of
Labor-Management Disputes\" supersedes the \"Code of Ethics and
Procedural Standards for Labor-Management Arbitration,\" approved in
1951 by a Committee of the American Arbitration Association, by the
National Academy of Arbitrators, and by representatives of the Federal
Mediation and Conciliation Service. Revision of the 1951 Code was
initiated officially by the same three groups in October 1972. The
following members of a Joint Steering Committee were designated to draft
a proposal:

> Chair\
> William E. Simkin
>
> Representing American Arbitration Association\
> Frederick H. Bullen\
> Donald B. Straus
>
> Representing Federal Mediation and Conciliation Service\
> Lawrence B. Babcock, Jr.\
> L. Lawrence Schultz
>
> Representing National Academy of Arbitrators\
> Sylvester Garrett\
> Ralph T. Seward

The proposal of the Joint Steering Committee was issued on November 30,
1974, and thereafter adopted by all three sponsoring organizations.
Reasons for Code revision should be noted briefly. Ethical
considerations and procedural standards were deemed to be sufficiently
intertwined to warrant combining the subject matter of Parts I and II of
the 1951 Code under the caption of \"Professional Responsibility.\" It
also seemed advisable to eliminate admonitions to the parties (Part III
of the 1951 Code) except as they appear incidentally in connection with
matters primarily involving responsibilities of arbitrators. The
substantial growth of third-party participation in dispute resolution in
the public sector required consideration, as did the fact that the
arbitration of new contract terms had become more significant. Finally,
during the interval of more than two decades, new problems had emerged
as private-sector grievance arbitration matured and became more
diversified.

In 1985, the provisions of 2. C. 1. c. were amended to specify certain
procedures, deemed proper, which could be followed by an arbitrator
seeking to determine if the parties are willing to consent to
publication of an award.

In 1996, the wording of the Preamble was amended to reflect the intent
that the provisions of the Code apply to covered arbitrators who agree
to serve as impartial third parties in certain arbitration and related
procedures, dealing with the rights and interests of employees in
connection with their employment and/or representation by a union.
Simultaneously, the provisions of 2 A. 3. were amended to make clear
that an arbitrator has no obligation to accept an appointment to
arbitrate under dispute procedures adopted unilaterally by an employer
or union and to identify additional disclosure responsibilities for
arbitrators who agree to serve under such procedures.

**PREAMBLE**

**Background**

The provisions of this Code deal with the voluntary arbitration of
labor-management disputes and certain other arbitration and related
procedures, which have developed or become more common since it was
first adopted.

Voluntary arbitration rests upon the mutual desire of management and
labor in each collective bargaining relationship to develop procedures
for dispute settlement which meet their own particular needs and
obligations. No two voluntary systems, therefore, are likely to be
identical in practice. Words used to describe arbitrators (Arbitrator,
Umpire, Impartial Chair, Chair of Arbitration Board, etc.) may suggest
typical approaches, but actual differences within any general type of
arrangement may be as great as distinctions often made among the several
types.

Arbitrators of labor-management disputes are sometimes asked to serve as
impartial third parties under a variety of arbitration and related
procedures dealing with the rights and interests of employees in
connection with their employment and/or representation by a union. In
some cases these procedures may not be the product of voluntary
agreement between management and labor. They may be established by
statute or ordinance, *ad hoc* agreement, individual employment
contract, or through procedures unilaterally adopted by employers and
unions. Some of the procedures may be designed to resolve disputes over
new or revised contract terms, where the arbitrator may be referred to
as a Fact Finder or a member of an Impasse Panel or Board of Inquiry, or
the like. Others may be designed to resolve disputes over wrongful
termination or other employment issues arising under the law, an implied
or explicit individual employment contract, or an agreement to resolve a
lawsuit. In some such cases the arbitrator may be referred to as an
Appeal Examiner, Hearing Officer, Referee, or other like titles.
Finally, some procedures may be established by employers to resolve
employment disputes under personnel policies and handbooks or
established by unions to resolve disputes with represented employees in
agency shop or fair share cases.

The standards of professional responsibility set forth in this Code are
intended to guide the impartial third party serving in all of these
diverse procedures.

**Scope of Code**

This Code is a privately developed set of standards of professional
behavior for arbitrators who are subject to its provisions. It applies
to voluntary arbitration of labor-management disputes and the other
arbitration and related procedures described in the Preamble,
hereinafter referred to as \"covered arbitration dispute procedures.\"

The word \"arbitrator,\" as used hereinafter in the Code, is intended to
apply to any impartial person, irrespective of specific title, who
serves in a covered arbitration dispute procedure in which there is
conferred authority to decide issues or to make formal recommendations.

The Code is not designed to apply to mediation or conciliation, as
distinguished from arbitration, nor to other procedures in which the
third party is not authorized in advance to make decisions or
recommendations. It does not apply to partisan representatives on
tripartite boards. It does not apply to commercial arbitration or to
uses of arbitration other than a covered arbitration dispute procedure
as defined above.

**Format of Code**

**Bold Face** type, sometimes including explanatory material, is used to
set forth general principles. *Italics* are used for amplification of
general principles. Ordinary type is used primarily for illustrative or
explanatory comment.

**Application of Code**

Faithful adherence by an arbitrator to this Code is basic to
professional responsibility.

The National Academy of Arbitrators will expect its members to be
governed in their professional conduct by this Code and stands ready,
through its Committee on Professional Responsibility and Grievances, to
advise its members as to the Code\'s interpretation. The American
Arbitration Association and the Federal Mediation and Conciliation
Service will apply the Code to the arbitrators on their rosters in cases
handled under their respective appointment or referral procedures. Other
arbitrators and administrative agencies may, of course, voluntarily
adopt the Code and be governed by it.

In interpreting the Code and applying it to charges of professional
misconduct, under existing or revised procedures of the National Academy
of Arbitrators and of the administrative agencies, it should be
recognized that while some of its standards express ethical principles
basic to the arbitration profession, others rest less on ethics than on
considerations of good practice. Experience has shown the difficulty of
drawing rigid lines of distinction between ethics and good practice, and
this Code does not attempt to do so. Rather, it leaves the gravity of
alleged misconduct and the extent to which ethical standards have been
violated to be assessed in the light of the facts and circumstances of
each particular case.

JOINT STEERING COMMITTEE

Chairman

William E. Simkin

Representing American Arbitration Association

Frederick H. Bullen

Donald B. Straus

**Representing the Federal Mediation and Conciliation Servi**ce

Lawrence B. Babcock, Jr.

L. Lawrence Schultz

Representing National Academy of Arbitrators

Sylvester Garrett

Ralph T. Seward

November 30, 1974

\[Note: The Code was adopted in May 1975 and amended in May 1985
(Section 2.C.1.c.) and in June 2001 (Section 1.C.3.).\]

1\. **ARBITRATOR\'S QUALIFICATIONS**

**AND RESPONSIBILITIES**

**TO THE PROFESSION**

**A. General Qualifications**

1.  **Essential personal qualifications of an arbitrator include
    honesty, integrity, impartiality and general competence in labor
    relations matters.**

> **An arbitrator must demonstrate ability to exercise these personal
> qualities faithfully and with good judgment, both in procedural
> matters and in substantive decisions.**

a.  Selection by mutual agreement of the parties or direct designation
    by an administrative agency are the effective methods of appraisal
    of this combination of an individual\'s potential and performance,
    rather than the fact of placement on a roster of an administrative
    agency or membership in a professional association of arbitrators.

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2.  **An arbitrator must be as ready to rule for one party as for the
    other on each issue, either in a single case or in a group of cases.
    Compromise by an arbitrator for the sake of attempting to achieve
    personal acceptability is unprofessional.**

**B. Qualifications for Special Cases**

1.  **When an arbitrator decides that a case requires specialized
    knowledge beyond the arbitrator\'s competence, the arbitrator must
    decline appointment, withdraw, or request technical assistance.**

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a.  An arbitrator may be qualified generally but not for specialized
    assignments. Some types of incentive, work standard, job evaluation,
    welfare program, pension, or insurance cases may require specialized
    knowledge, experience or competence. Arbitration of contract terms
    also may require distinctive background and experience.

b.  Effective appraisal by an administrative agency or by an arbitrator
    of the need for special qualifications requires that both parties
    make known the special nature of the case prior to appointment of
    the arbitrator.

> **C. Responsibilities To The Profession**

1.  **An arbitrator must uphold the dignity and integrity of the office
    and endeavor to provide effective service to the parties.**

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a.  To this end, an arbitrator should keep current with principles,
    practices and developments that are relevant to the arbitrator\'s
    field of practice.

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2.  **An experienced arbitrator should cooperate in the training of new
    arbitrators.**

3.  **An arbitrator shall not engage in false or misleading
    advertising.**

4.  **An arbitrator must not solicit arbitration assignments.**

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a.  Solicitation, as prohibited by this section, includes the making of
    requests for arbitration work through personal contacts with
    individual parties, orally or in writing**.**

**2. RESPONSIBILITIES TO THE PARTIES**

**A. Recognition of Diversity in Arbitration Arrangements**

1.  **An arbitrator should conscientiously endeavor to understand and
    observe, to the extent consistent with professional responsibility,
    the significant principles governing each arbitration system in
    which the arbitrator serves.**

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a.  Recognition of special features of a particular arbitration
    arrangement can be essential with respect to procedural matters and
    may influence other aspects of the arbitration process.

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2.  **Such understanding does not relieve an arbitrator from a corollary
    responsibility to seek to discern and refuse to lend approval or
    consent to any collusive attempt by the parties to use arbitration
    for an improper purpose.**

3.  **An arbitrator who is asked to arbitrate a dispute under a
    procedure established unilaterally by an employer or union, to
    resolve an employment dispute or agency shop or fair share dispute,
    has no obligation to accept such appointment. Before accepting such
    an appointment, an arbitrator should consider the possible need to
    disclose the existence of any ongoing relationships with the
    employer or union.**

> a\. If the arbitrator is already serving as an umpire, permanent
> arbitrator or panel member under a procedure where the employer or
> union has the right unilaterally to remove the arbitrator from such a
> position, those facts should be disclosed.

**B. Required Disclosures**

1.  **Before accepting an appointment, an arbitrator must disclose
    directly or through the administrative agency involved, any current
    or past managerial, representational, or consultative relationship
    with any company or union involved in a proceeding in which the
    arbitrator is being considered for appointment or has been
    tentatively designated to serve. Disclosure must also be made of any
    pertinent pecuniary interest.**

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a.  The duty to disclose includes membership on a Board of Directors,
    full-time or part-time service as a representative or advocate,
    consultation work for a

> fee, current stock or bond ownership (other than mutual fund shares or
> appropriate trust arrangements) or any other pertinent form of
> managerial, financial or immediate family interest in the company or
> union involved.

2.  **When an arbitrator is serving concurrently as an advocate for or
    representative of other companies or unions in labor relations
    matters, or has done so in recent years, such activities must be
    disclosed before accepting appointment as an arbitrator.**

> **An arbitrator must disclose such activities to an administrative
> agency if on that agency\'s active roster or seeking placement on a
> roster. Such disclosure then satisfies this requirement for cases
> handled under that agency\'s referral.**

a.  It is not necessary to disclose names of clients or other specific
    details. It is necessary to indicate the general nature of the labor
    relations advocacy or representational work involved, whether for
    companies or unions or both, and a reasonable approximation of the
    extent of such activity.

b.  *An arbitrator on an administrative agency\'s roster has a
    continuing obligation to notify the agency of any significant
    changes pertinent to this requirement.*

c.  When an administrative agency is not involved, an arbitrator must
    make such disclosure directly unless the arbitrator is certain that
    both parties to the case are fully aware of such activities.

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3.  **An arbitrator must not permit personal relationships to affect
    decision-making.**

> **Prior to acceptance of an appointment, an arbitrator must disclose
> to the parties or to the administrative agency involved any close
> personal relationship or other circumstance, in addition to those
> specifically mentioned earlier in this section, which might reasonably
> raise a question as to the arbitrator\'s impartiality.**

a.  Arbitrators establish personal relationships with many company and
    union representatives, with fellow arbitrators, and with fellow
    members of various professional associations. There should be no
    attempt to be secretive about such friendships or acquaintances but
    disclosure is not necessary unless some feature of a particular
    relationship might reasonably appear to impair impartiality.

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4.  **If the circumstances requiring disclosure are not known to the
    arbitrator prior to acceptance of appointment, disclosure must be
    made when such circumstances become known to the arbitrator.**

**5. The burden of disclosure rests on the arbitrator. After appropriate
disclosure, the arbitrator may serve if both parties so desire. If the
arbitrator believes or perceives that there is a clear conflict of
interest, the arbitrator should withdraw, irrespective of the expressed
desires of the parties.**

**C. Privacy of Arbitration**

1.  **All significant aspects of an arbitration proceeding must be
    treated by the arbitrator as confidential unless this requirement is
    waived by both parties or disclosure is required or permitted by
    law.**

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a.  Attendance at hearings by persons not representing the parties or
    invited by either or both of them should be permitted only when the
    parties agree or when an applicable law requires or permits.
    Occasionally, special circumstances may require that an arbitrator
    rule on such matters as attendance and degree of participation of
    counsel selected by a grievant.

b.  *Discussion of a case at any time by an arbitrator with persons not
    involved directly should be limited to situations where advance
    approval or consent of both parties is obtained or where the
    identity of the parties and details of the case are sufficiently
    obscured to eliminate any realistic probability of identification.*

> A commonly recognized exception is discussion of a problem in a case
> with a fellow arbitrator. *Any such discussion does not relieve the
> arbitrator who is acting in the case from sole responsibility for the
> decision and the discussion must be considered as confidential.*
>
> Discussion of aspects of a case in a classroom without prior specific
> approval of the parties is not a violation provided the arbitrator is
> satisfied that there is no breach of essential confidentiality.

c.  *It is a violation of professional responsibility for an arbitrator
    to make public an award without the consent of the parties.*

> *An arbitrator may ask the parties whether they consent to the
> publication of the award either at the hearing or at the time the
> award is issued.*

(1) *If such question is asked at the hearing it should be asked in
    writing as follows:*

> *\"Do you consent to the submission of the award in this matter for
> publication?*
>
> YES ( ) NO ( )
>
> *If you consent you have the right to notify the arbitrator within 30
> days after the date of the award that you revoke your consent.\"*
>
> *It is desirable but not required that the arbitrator remind the
> parties at the time of the issuance of the award of their right to
> withdraw their consent to publication.*

(2) If the question of consent to the publication of the award is raised
    at the time the award is issued, the arbitrator may state in writing
    to each party that failure to answer the inquiry within 30 days will
    be considered an implied consent to publish.

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d.  It is not improper for an arbitrator to donate arbitration files to
    a library of a college, university or similar institution without
    prior consent of all parties involved. When the circumstances
    permit, there should be deleted from such donations any cases
    concerning which one or both of the parties have expressed a desire
    for privacy. As an additional safeguard, an arbitrator may also
    decide to withhold recent cases or indicate to the donee a time
    interval before such cases can be made generally available.

e.  *Applicable laws, regulations, or practices of the parties may
    permit or even require exceptions to the above noted principles of
    privacy.*

**D. Personal Relationships with the Parties**

1.  **An arbitrator must make every reasonable effort to conform to
    arrangements required by an administrative agency or mutually
    desired by the parties regarding communications and personal
    relationships with the parties.**

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a.  *Only an \"arm\'s-length\" relationship may be acceptable to the
    parties in some arbitration arrangements or may be required by the
    rules of an administrative agency. The arbitrator should then have
    no contact of consequence with representatives of either party while
    handling a case without the other party\'s presence or consent.*

b.  *In other situations, both parties may want communications and
    personal relationships to be less formal. It is then appropriate for
    the arbitrator to respond accordingly.*

> **E. Jurisdiction**

1.  **An arbitrator must observe faithfully both the limitations and
    inclusions of the jurisdiction conferred by an agreement or other
    submission under which the arbitrator serves.**

2.  **A direct settlement by the parties of some or all issues in a
    case, at any stage of the proceedings, must be accepted by the
    arbitrator as removing further jurisdiction over such issues.**

**F. Mediation by an Arbitrator**

1.  **When the parties wish at the outset to give an arbitrator
    authority both to mediate and to decide or submit recommendations
    regarding residual issues, if any, they should so advise the
    arbitrator prior to appointment. If the appointment is accepted, the
    arbitrator must perform a mediation role consistent with the
    circumstances of the case.**

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a.  Direct appointments, also, may require a dual role as mediator and
    arbitrator of residual issues. This is most likely to occur in some
    public sector cases.

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2.  **When a request to mediate is first made after appointment, the
    arbitrator may either accept or decline a mediation role.**

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a.  *Once arbitration has been invoked, either party normally has a
    right to insist that the process be continued to decision.*

b.  *If one party requests that the arbitrator mediate and the other
    party objects, the arbitrator should decline the request.*

c.  *An arbitrator is not precluded from suggesting mediation. To avoid
    the possibility of improper pressure, the arbitrator should not so
    suggest unless it can be discerned that both parties are likely to
    be receptive. In any event, the arbitrator\'s suggestion should not
    be pursued unless both parties readily agree.*

**G. Reliance by an Arbitrator on Other**

**Arbitration Awards or on Independent Research**

1.  **An arbitrator must assume full personal responsibility for the
    decision in each case decided.**

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a.  *The extent, if any, to which an arbitrator properly may rely on
    precedent, on guidance of other awards, or on independent research
    is dependent primarily on the policies of the parties on these
    matters, as expressed in the contract, or other agreement, or at the
    hearing.*

b.  When the mutual desires of the parties are not known or when the
    parties express differing opinions or policies, the arbitrator may
    exercise discretion as to these matters, consistent with the
    acceptance of full personal responsibility for the award.

**H. Use of Assistants**

1.  **An arbitrator must not delegate any decision-making function to
    another person without consent of the parties.**

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a.  *Without prior consent of the parties, an arbitrator may use the
    services of an assistant for research, clerical duties, or
    preliminary drafting under the direction of the arbitrator, which
    does not involve the delegation of any decision-making function.*

b.  *If an arbitrator is unable, because of time limitations or other
    reasons, to handle all decision-making aspects of a case, it is not
    a violation of professional responsibility to suggest to the parties
    an allocation of responsibility between the arbitrator and an
    assistant or associate. The arbitrator must not exert pressure on
    the parties to accept such a suggestion.*

**I. Consent Awards**

1.  **Prior to issuance of an award, the parties may jointly request the
    arbitrator to include in the award certain agreements between them,
    concerning some or all of the issues. If the arbitrator believes
    that a suggested award is proper, fair, sound, and lawful, it is
    consistent with professional responsibility to adopt it.**

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a.  *Before complying with such a request, an arbitrator must be certain
    of understanding the suggested settlement adequately in order to be
    able to appraise its terms. If it appears that pertinent facts or
    circumstances may not have been disclosed, the arbitrator should
    take the initiative to assure that all significant aspects of the
    case are fully understood. To this end, the arbitrator may request
    additional specific information and may question witnesses at a
    hearing.*

**J. Avoidance of Delay**

1.  **It is a basic professional responsibility of an arbitrator to plan
    a work schedule so that present and future commitments will be
    fulfilled in a timely manner.**

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a.  *When planning is upset for reasons beyond the control of the
    arbitrator, every reasonable effort should nevertheless be exerted
    to fulfill all commitments. If this is not possible, prompt notice
    at the arbitrator\'s initiative should be given to all parties
    affected. Such notices should include reasonably accurate estimates
    of any additional time required. To the extent possible, priority
    should be given to cases in process so that other parties may make
    alternative arbitration arrangements.*

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2.  **An arbitrator must cooperate with the parties and with any
    administrative agency involved in avoiding delays.**

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a.  *An arbitrator on the active roster of an administrative agency must
    take the initiative in advising the agency of any scheduling
    difficulties that can be foreseen.*

b.  *Requests for services, whether received directly or through an
    administrative agency, should be declined if the arbitrator is
    unable to schedule a hearing as soon as the parties wish. If the
    parties, nevertheless, jointly desire to obtain the services of the
    arbitrator and the arbitrator agrees, arrangements should be made by
    agreement that the arbitrator confidently expects to fulfill.*

c.  *An arbitrator may properly seek to persuade the parties to alter or
    eliminate arbitration procedures or tactics that cause unnecessary
    delay.*

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3.  **Once the case record has been closed, an arbitrator must adhere to
    the time limits for an award, as stipulated in the labor agreement
    or as provided by regulation of an administrative agency or as
    otherwise agreed.**

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a.  *If an appropriate award cannot be rendered within the required
    time, it is incumbent on the arbitrator to seek an extension of time
    from the parties.*

b.  If the parties have agreed upon abnormally short time limits for an
    award after a case is closed, the arbitrator should be so advised by
    the parties or by the administrative agency involved, prior to
    acceptance of appointment.

**K. Fees and Expenses**

1.  **An arbitrator occupies a position of trust in respect to the
    parties and the administrative agencies. In charging for services
    and expenses, the arbitrator must be governed by the same high
    standards of honor and integrity that apply to all other phases of
    arbitration work.**

> **An arbitrator must endeavor to keep total charges for services and
> expenses reasonable and consistent with the nature of the case or
> cases decided.**

**Prior to appointment, the parties should be aware of or be able
readily to determine all significant aspects of an arbitrator\'s bases
for charges for fees and expenses.**

> a\. *Services not Primarily Chargeable on a per Diem Basis*
>
> By agreement with the parties, the financial aspects of many
> \"permanent\" arbitration assignments, of some interest disputes, and
> of some \"ad hoc\" grievance assignments do not include a per diem fee
> for services as a primary part of the total understanding. *In such
> situations, the arbitrator must adhere faithfully to all agreed-upon
> arrangements governing fees and expenses.*
>
> b\. *Per Diem Basis for Charges for Services*
>
> \(1\) *When an arbitrator\'s charges for services are determined
> primarily by a stipulated per diem fee, the arbitrator should
> establish in advance the bases for application of such per diem fee
> and for determination of reimbursable expenses.*
>
> *Practices established by an arbitrator should include the basis for
> charges, if any, for:*

(a) hearing time, including the application of the stipulated basic per
    diem hearing fee to hearing days of varying lengths;

(b) study time;

(c) necessary travel time when not included in charges for hearing time;

(d) postponement or cancellation of hearings by the parties and the
    circumstances in which such charges will normally be assessed or
    waived;

(e) office overhead expenses (secretarial, telephone, postage, etc.);

> \(f\) the work of paid assistants or associates.
>
> \(2\) *Each arbitrator should be guided by the following general
> principles:*

(a) *Per diem charges for a hearing should not be in excess of actual
    time spent or allocated for the hearing.*

(b) *Per diem charges for study time should not be in excess of actual
    time spent.*

(c) *Any fixed ratio of study days to hearing days, not agreed to
    specifically by the parties, is inconsistent with the per diem
    method of charges for services.*

(d) *Charges for expenses must not be in excess of actual expenses
    normally reimbursable and incurred in connection with the case or
    cases involved.*

(e) *When time or expense are involved for two or more sets of parties
    on the same day or trip, such time or expense charges should be
    appropriately prorated.*

(f) *An arbitrator may stipulate in advance a minimum charge for a
    hearing without violation of (a) or (e) above.*

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(3) *An arbitrator on the active roster of an administrative agency must
    file with the agency the individual bases for determination of fees
    and expenses if the agency so requires. Thereafter, it is the
    responsibility of each such arbitrator to advise the agency promptly
    of any change in any basis for charges.*

> Such filing may be in the form of answers to a questionnaire devised
> by an agency or by any other method adopted by or approved by an
> agency.
>
> *Having supplied an administrative agency with the information noted
> above, an arbitrator\'s professional responsibility of disclosure
> under this Code with respect to fees and expenses has been satisfied
> for cases referred by that agency.*

(4) *If an administrative agency promulgates specific standards with
    respect to any of these matters which are in addition to or more
    restrictive than an individual arbitrator\'s standards, an
    arbitrator on its active roster must observe the agency standards
    for cases handled under the auspices of that agency, or decline to
    serve.*

(5) *When an arbitrator is contacted directly by the parties for a case
    or cases, the arbitrator has a professional responsibility to
    respond to questions by submitting the bases for charges for fees
    and expenses.*

(6) *When it is known to the arbitrator that one or both of the parties
    cannot afford normal charges, it is consistent with professional
    responsibility to charge lesser amounts to both parties or to one of
    the parties if the other party is made aware of the difference and
    agrees.*

(7) *If an arbitrator concludes that the total of charges derived from
    the normal basis of calculation is not compatible with the case
    decided, it is consistent with professional responsibility to charge
    lesser amounts to both parties.*

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2.  **An arbitrator must maintain adequate records to support charges
    for services and expenses and must make an accounting to the parties
    or to an involved administrative agency on request.**

3.  **RESPONSIBILITIES TO**

**ADMINISTRATIVE AGENCIES**

> **A. General Responsibilities**

1.  An arbitrator must be candid, accurate, and fully responsive to an
    administrative agency concerning qualifications, availability, and
    all other pertinent matters.

2.  An arbitrator must observe policies and rules of an administrative
    agency in cases referred by that agency.

3.  An arbitrator must not seek to influence an administrative agency by
    any improper means, including gifts or other inducements to agency
    personnel.

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a.  It is not improper for a person seeking placement on a roster to
    request references from individuals having knowledge of the
    applicant\'s experience and qualifications.

b.  Arbitrators should recognize that the primary responsibility of an
    administrative agency is to serve the parties.

**4. PREHEARING CONDUCT**

1.  **All prehearing matters must be handled in a manner that fosters
    complete impartiality by the arbitrator.**

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a.  **The primary purpose of prehearing discussions involving the
    arbitrator is to obtain agreement on procedural matters so that the
    hearing can proceed without unnecessary obstacles. If differences of
    opinion should arise during such discussions and, particularly, if
    such differences appear to impinge on substantive matters, the
    circumstances will suggest whether the matter can be resolved
    informally or may require a prehearing conference or, more rarely, a
    formal preliminary hearing. When an administrative agency handles
    some or all aspects of the arrangements prior to a hearing, the
    arbitrator will become involved only if differences of some
    substance arise.**

b.  ***Copies of any prehearing correspondence between the arbitrator
    and either party must be made available to both parties.***

**5. HEARING CONDUCT**

**A. General Principles**

1.  **An arbitrator must provide a fair and adequate hearing which
    assures that both parties have sufficient opportunity to present
    their respective evidence and argument.**

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a.  ***Within the limits of this responsibility, an arbitrator should
    conform to the various types of hearing procedures desired by the
    parties.***

b.  **An arbitrator may: encourage stipulations of fact; restate the
    substance of issues or arguments to promote or verify understanding;
    question the parties\' representatives or witnesses, when necessary
    or advisable, to obtain additional pertinent information; and
    request that the parties submit additional evidence, either at the
    hearing or by subsequent filing.**

c.  ***An arbitrator should not intrude into a party\'s presentation so
    as to prevent that party from putting forward its case fairly and
    adequately.***

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B.  **Transcripts or Recordings**

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1.  **Mutual agreement of the parties as to use or non-use of a
    transcript must be respected by the arbitrator.**

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a.  ***A transcript is the official record of a hearing only when both
    parties agree to a transcript or an applicable law or regulation so
    provides.***

b.  **An arbitrator may seek to persuade the parties to avoid use of a
    transcript or to use a transcript if the nature of the case appears
    to require one. *However, if an arbitrator intends to make
    appointment to a case contingent on mutual agreement to a
    transcript, that requirement must be made known to both parties
    prior to appointment.***

c.  **If the parties do not agree to a transcript, an arbitrator may
    permit one party to take a transcript at its own cost. The
    arbitrator may also make appropriate arrangements under which the
    other party may have access to a copy, if a copy is provided to the
    arbitrator.**

d.  **Without prior approval, an arbitrator may seek to use a personal
    tape recorder to supplement note taking. The arbitrator should not
    insist on such a tape recording if either or both parties object.**

**C. Ex Parte Hearings**

1.  **In determining whether to conduct an ex parte hearing, an
    arbitrator must consider relevant legal, contractual, and other
    pertinent circumstances.**

2.  **An arbitrator must be certain, before proceeding ex parte, that
    the party refusing or failing to attend the hearings has been given
    adequate notice of the time, place, and purposes of the hearing.**

**D. Plant Visits**

1.  **An arbitrator should comply with a request of any party that the
    arbitrator visit a work area pertinent to the dispute prior to,
    during, or after a hearing. An arbitrator may also initiate such a
    request.**

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a.  ***Procedures for such visits should be agreed to by the parties in
    consultation with the arbitrator.***

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E.  **Bench Decisions or Expedited Awards**

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1.  **When an arbitrator understands, prior to acceptance of
    appointment, that a bench decision is expected at the conclusion of
    the hearing, the arbitrator must comply with the understanding
    unless both parties agree otherwise.**

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a.  ***If notice of the parties\' desire for a bench decision is not
    given prior to the arbitrator\'s acceptance of the case, issuance of
    such a bench decision is discretionary.***

b.  ***When only one party makes the request and the other objects, the
    arbitrator should not render a bench decision except under most
    unusual circumstances.***

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2.  **When an arbitrator understands, prior to acceptance of
    appointment, that a concise written award is expected within a
    stated time period after the hearing, the arbitrator must comply
    with the understanding unless both parties agree otherwise.**

**6. POST HEARING CONDUCT**

A.  **Post Hearing Briefs and Submissions**

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1.  **An arbitrator must comply with mutual agreements in respect to the
    filing or nonfiling of post hearing briefs or submissions.**

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a.  An arbitrator may either suggest the filing of post hearing briefs
    or other submissions or suggest that none be filed.

b.  When the parties disagree as to the need for briefs, an arbitrator
    may permit filing but may determine a reasonable time limitation.

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2.  **An arbitrator must not consider a post hearing brief or submission
    that has not been provided to the other party.**

**B. Disclosure of Terms of Award**

1.  **An arbitrator must not disclose a prospective award to either
    party prior to its simultaneous issuance to both parties or explore
    possible alternative awards unilaterally with one party, unless both
    parties so agree.**

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a.  Partisan members of tripartite boards may know prospective terms of
    an award in advance of its issuance. Similar situations may exist in
    other less formal arrangements mutually agreed to by the parties. In
    any such situation, the arbitrator should determine and observe the
    mutually desired degree of confidentiality.

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C.  **Awards and Opinions**

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1.  **The award should be definite, certain, and as concise as
    possible.**

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a.  When an opinion is required, factors to be considered by an
    arbitrator include: desirability of brevity, consistent with the
    nature of the case and any expressed desires of the parties; need to
    use a style and form that is understandable to responsible
    representatives of the parties, to the grievant and supervisors, and
    to others in the collective bargaining relationship; necessity of
    meeting the significant issues; forthrightness to an extent not
    harmful to the relationship of the parties; and avoidance of
    gratuitous advice or discourse not essential to disposition of the
    issues.

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D.  **Clarification of Interpretation of Awards**

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1.  **No clarification or interpretation of an award is permissible
    without the consent of both parties.**

2.  **Under agreements which permit or require clarification or
    interpretation of an award, an arbitrator must afford both parties
    an opportunity to be heard.**

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E.  **Enforcement of Award**

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1.  **The arbitrator\'s responsibility does not extend to the
    enforcement of an award.**

2.  **In view of the professional and confidential nature of the
    arbitration relationship, an arbitrator should not voluntarily
    participate in legal enforcement proceedings.**