Chapter 13

ARBITRATOR ETHICS

Authors:Jon Monson; Chris Piekarski

§13.1   SOURCES OF ETHICS GUIDANCE AND RULES FOR ARBITRATORS

            §13.1-1            Organizational Ethics Codes

            §13.1-2            Statutes and Court Rules

            §13.1-3            Professional-Responsibility Rules

            §13.1-4            Other Resources

§13.2   WHEN DO THE RULES APPLY?

§13.3   DUTY OF COMPETENCE AND DILIGENCE

§13.4   DUTY OF IMPARTIALITY

§13.5   DUTY OF DISCLOSURE

§13.6   DUTY TO AVOID EX PARTE COMMUNICATIONS

§13.7   DUTY OF FAIRNESS

§13.8   DUTY OF CONFIDENTIALITY

§13.9   COMPENSATION

            §13.9-1            Arbitrator Fees

            §13.9-2            Time and Expense Statements

            §13.9-3            Trust Accounts

§13.10 MARKETING AND ADVERTISING

§13.11 DEALING WITH UNREPRESENTED PARTIES

§13.12 WITHDRAWAL

§13.13 FORMER ARBITRATOR SERVING AS ATTORNEY

§13.14 SPECIAL RULES FOR PARTY-APPOINTED ARBITRATORS

            §13.14-1          Overview

            §13.14-2          Disclosure of Neutral versus Nonneutral Status

            §13.14-3          Ethics Exemptions for Nonneutral Arbitrators

§13.15 ETHICAL CONSIDERATIONS IN MIXED DISPUTE RESOLUTION

Appendix 13A Abbreviations