Cornell University

Cornell Labor Arbitration & Mediation Services

450 Research Building, 607-255-1124

Cornell ADR Labor Arbitration Rules

  1. Rules: These rules shall be binding upon the parties whenever they have agreed, in writing for arbitration to be administered by the Cornell Alternative Dispute Resolution Program ("Cornell ADR"). The parties may, by agreement, modify these Rules or use alternative rules, administered by Cornell ADR.
  2. Initiation by Submission: The parties to a collective bargaining agreement must file with the Case Manager two copies of a written agreement to arbitrate under these rules (or alternative rules) to be administered by Cornell ADR. Once the parties have initiated arbitration under the auspices of Cornell ADR, the Case Manager will commence administration of the arbitration proceedings.
  3. Panel of Neutral Arbitrators: Cornell ADR maintains a Panel of New York Labor Arbitrators and shall appoint arbitrators from the Panel for cases filed with this program. However the Case Manager will follow any alternative method of selection established by the parties.
  4. Answer: The party deemed to be the respondent, may choose to file an answering statement within ten days after notice from Cornell ADR, with a copy to the opposing party. If no answer is filed within the specified time, it will be treated as a denial of the claim and shall not operate to delay the proceedings.
  5. Arbitrator Appointment Procedure: If the parties have not appointed an arbitrator or have not provided an alternative method of appointment, the Case Manager, immediately after filing of the submission, shall provide the parties with an identical list of nine (9) arbitrators from the panel and the parties will have ten days from the transmittal date in which to strike any name to which it objects, number the remaining names in order of preference and return the list to the Case Manager.

    If a party does not return the list within the time specified, all arbitrators named therein shall be deemed acceptable. If for any reason an arbitrator cannot be appointed from the first list, the Case Manager shall transmit a 2nd list of nine (9) arbitrators, drawn from the panel and the parties shall be asked to follow the same procedure and time-frame as set forth above. If an arbitrator cannot be appointed from the 2nd list, the Case Manager shall transmit a 3rd list of three (3) names for challenge only.
  6. Direct Appointment by Parties: If the parties’ agreement identifies a particular arbitrator or a method of appointing an arbitrator, such appointment or procedure shall be followed. If the agreement specifies a period of time by which the arbitrator shall be appointed by a party, and any party fails to comply with such time period, Cornell ADR is authorized to appoint an arbitrator. If no time is specified, Cornell ADR will notify the appropriate party to appoint an arbitrator in seven (7) calendar days, and if no arbitrator is appointed within that time, Cornell ADR is authorized to appoint an arbitrator. Once an arbitrator is selected, the arbitrator has the authority to conduct the hearing and render the award.
  7. Disclosure and Challenge Procedure: Any prospective or designated neutral arbitrator shall disclose to the Case Manager any circumstance likely to affect impartiality or the impression of impartiality. Upon receipt of this information, the Case Manager shall communicate the information to the parties. If a party objects to the continued service of a neutral arbitrator, the Case Manager, after consultation with the parties and the arbitrator, shall determine whether the arbitrator should be disqualified and shall communicate the decision to the parties. The Case Manager's decision is final.
  8. Date, Time, and Place of Hearing: The Case Manager shall assist the parties and arbitrator to schedule hearings in a prompt and efficient manner. The parties will receive a formal written Notice of Hearing detailing the arrangements agreed to by the parties or ordered by the arbitrator at least five days in advance of the hearing date, unless otherwise agreed by the parties.
  9. Representation: Any party may be represented by counsel or other
    authorized representative.
  10. Postponements: All requests for hearing postponements will be decided by the arbitrator.
  11. Stenographic Record & Interpreters
    a. Any Party may arrange for a stenographic or other record to be made of the hearing and shall inform the other parties in advance of the hearing. The requesting party shall bear the cost of such stenographic record. If all other parties agree to share the cost of the stenographic record, it shall be made available to the arbitrator and may be used in the proceeding.
    b. If there is no agreement to share the cost, the stenographic record may not be provided to the Arbitrator and may not be used in the proceeding unless the party arranging for the stenographic record either agrees to provide access to the stenographic record at no charge or on terms that are acceptable to the parties and the reporting service.
    c. If a party requests the services of an interpreter, that party must make the arrangements directly with the interpreter and is responsible for the interpreter's fees and costs.
  12. Majority Decision: Whenever there is more than one arbitrator, all decisions of the arbitrators shall be by majority vote. The award shall also be made by majority vote unless the concurrence of all is expressly required.
  13. Arbitration in the Absence of a Party or Representative: Unless the law provides to the contrary, if the arbitrator is persuaded that due notice has been given, the arbitrator may proceed with the arbitration in the absence of any party or party representative.
  14. Closing of Hearings: Once the hearings are completed and, if applicable, all briefs have been submitted, the hearing shall be declared closed. A decision by the arbitrator shall be rendered within thirty-five (35) Days, if briefs are filed and thirty (30) days if there are no briefs filed, unless the parties mutually agree to extend the time for the award.
  15. Reopening of Hearings: Any party may move to reopen the hearings, or the arbitrator may reopen the hearings on his or her initiative, at any time prior to the final award being rendered.
  16. Extensions of Time: The parties, by mutual agreement, may modify any time period set forth in these procedures or the parties own procedures.
  17. Award upon Settlement: If the parties settle their dispute during the course of the arbitration, the arbitrator may, upon their request, set forth the terms of the agreed settlement in an award.
  18. Date and Delivery of Award to Parties: The arbitrator's award is deemed to be rendered on the date it is transmitted to Cornell by the arbitrator either by regular mail, electronically, or via facsimile. Parties to these rules agree to accept as legal delivery of the award the placing of the award or a true copy thereof in the mail, electronically or by facsimile by the Case Manager addressed to the party at its last known address or to its representative.
  19. Judicial Proceedings: Cornell ADR shall, upon the written request of a party, furnish to such party, at its expense, certified facsimiles of any papers in Cornell ADR's possession that may be required in judicial proceedings relating to the arbitration.
    a. Neither Cornell ADR nor any arbitrator in a proceeding under these rules is a necessary party in judicial proceedings relating to the arbitration.
    b. Neither Cornell ADR nor any arbitrator shall be liable to any party for any act or omission in connection with any arbitration conducted under these rules or in any proceeding administered by Cornell ADR.
  20. Communication with Arbitrator: Direct communication between the parties and a neutral arbitrator on substantive matters relating to the case other than at oral hearings is prohibited, unless the parties and the arbitrator agree otherwise. However this rule does not prohibit communications on nonsubstantive matters such as travel arrangements and driving directions. And, the rule does not prohibit direct communications in special circumstances (such as emergency delays) when the Case Manager is unavailable.
  21. Interpretation and Application of Rules: Once appointed, the arbitrator shall resolve disputes about the interpretation and applicability of these rules insofar as they relate to the arbitrator’s powers and duties including the conduct of the hearing. The resolution of any issue by the arbitrator shall be final. In cases involving more than one arbitrator, issues involving this section shall be decided by a majority of the panel. If such a decision is not obtainable, the Case Manager will decide the issue.
  22. Fees & Costs: Cornell ADR charges the parties fees to compensate it for the cost of providing administrative services.

    Administrative Fee
    The initial administrative fee is $150 for each party, due and payable at the time of filing. No refund of the initial fee is made when a matter is withdrawn or settled after the filing of the demand for arbitration or submission.

    Arbitrator Compensation
    Unless mutually agreed otherwise, the arbitrator's compensation shall be borne equally by the parties, in accordance with the fee structure disclosed in the arbitrator’s biographical profile submitted to the parties.

    Hearing Room Rental
    Hearing rooms are available on a rental basis at Cornell Upstate offices. Please check with the Case Manager for specific availability and rates.

    Postponement Fees
    A fee of $50 is payable by a party causing a second postponement of any scheduled hearing that is subsequently rescheduled by the Case Manager.

Cornell ADR Alternative Expedited Rules

  1. Rules: These procedures shall apply whenever, in a collective bargaining agreement or by submission, the parties agree to participate in the Cornell ADR Expedited Labor Arbitration Procedures.
  2. Proceedings: The parties anticipate that arbitration hearings will be completed in one day. If the arbitrator deems it necessary, an additional day of hearing may be scheduled.
  3. Appointment & Qualifications of the Arbitrator: The Cornell ADR Case Manager will appoint an arbitrator from the Upstate Arbitration Panel. No panelist may serve in any arbitration in which he/she may have a financial or personal interest in the result of the arbitration. Any disclosures made by the arbitrator shall be communicated to the parties. If a party objects to the continued service of the arbitrator, the Case Manager will determine whether the arbitrator will be disqualified and such determination will be binding. If the arbitrator is removed, the Case Manager will appoint a replacement arbitrator.
  4. Scheduling the Hearing: The Case Manager will assist the parties and arbitrator in scheduling the hearing. In the event of a scheduling problem, the arbitrator is empowered to fix the time, date and location of the hearing. Notice of at least 48 hours in advance of the hearing is required and such notice may be given electronically or via phone or fax.
  5. Stenographic Record: Under these expedited procedures, there shall be no stenographic record of arbitration hearings.
  6. Post hearing Briefs: Under these procedures, post hearing briefs are not permitted.
  7. Time of Award: Unless otherwise agreed by the parties, no later than 10 calendar days from the date of the closing of the hearing.
  8. Form of the Award: The signed award of the arbitrator shall be in writing. If the parties request an opinion, the opinion shall be in summary form.
  9. Fees

    Administrative Fees
    The filing fee is $100 per party, due and payable at the time of filing. The initial fee is non-refundable.

    Arbitrator Compensation
    Arbitrator compensation is borne equally by the parties, unless they agree otherwise.

    Hearing Room Rental
    Hearing rooms are available on a rental basis at Cornell Upstate offices. Please check with the Case Manager for specific availability and rates.

    Postponement Fees
    A fee of $50 is payable by the party causing postponement of a scheduled hearing.