detailed table of contents - bna.com table of contents preface ... still photos versus videos ......

Detailed Table of Contents

Preface ........................................................................................ viiAbout the Author ........................................................................ xi

Part I. Before the Hearing

CHAPTER 1. OVERVIEW OF THE LABOR ARBITRATIONPROCESS ................................................................... 3

I. Overview ............................................................................... 4II. Selecting the Advocate ......................................................... 4

A. Lawyers Versus Nonlawyers ........................................... 51. Cases With Significant Legal Aspects ....................... 52. Lawyers Representing the Opposing Side ................. 63. Advocate’s Testimony Is Essential to the Case ......... 6

III. The Hearing Process ............................................................. 7A. Division Between Evidence and Argument .................... 7B. Significance of the Evidence/Argument Distinction ...... 9

1. Marshaling the Facts and Evidence ........................... 10IV. Structure of the Hearing ....................................................... 11

Figure 1-1. Schematic Diagram of a LaborArbitration Hearing ........................................................ 12

V. Preliminary Matters .............................................................. 11A. Determining the Issue ..................................................... 13B. Other Preliminary Matters .............................................. 13

VI. Opening Statements .............................................................. 14VII. The Case in Chief ................................................................. 15

A. Direct Examination ......................................................... 15B. Cross-Examination .......................................................... 16C. Redirect and Recross-Examination ................................. 16

VIII. Rebuttal ................................................................................. 17

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xvi How to Present a Labor Arbitration Case

IX. Closing Arguments and Posthearing Briefs.......................... 17X. The Burdens .......................................................................... 18

A. Burden of Production ...................................................... 19B. Burden of Persuasion ...................................................... 19C. Quantum of Proof ............................................................ 20

XI. Rules of Evidence ................................................................. 21XII. Finality of Arbitration ........................................................... 22

CHAPTER 2. REVIEW AND ANALYSIS OF THE GRIEVANCEAND APPLICABLE CONTRACT PROVISIONS ............... 23

I. Overview ............................................................................... 24II. Arbitrability .......................................................................... 24

III. Procedural Arbitrability—Timeliness of GrievanceFiling and/or Processing ....................................................... 25A. When Must the Issue of Timeliness First Be Raised? .... 26B. The Operative Dates for Determining a Timely

Grievance ......................................................................... 271. Continuing Violations ................................................ 272. Past Practices Affecting Timeliness ........................... 29

C. Timeliness Recap ............................................................ 29IV. Procedural Arbitrability—Standing ...................................... 30V. Substantive Arbitrability ....................................................... 31

A. Reviewing the Subject Matter of the GrievanceConcerning Arbitrability ................................................. 31

B. Arbitrability of Subjects Not Directly Addressedin the Labor Agreement ................................................... 32

C. Determinations of Arbitrability ....................................... 35VI. Importance of Reviewing the Entire Grievance File—

The Facts ............................................................................... 36VII. The Labor Agreement—The Contractual Basis

for Arbitration ....................................................................... 36A. Considering Sidebar Agreements .................................... 37B. Evaluating Prior Arbitration Decisions ........................... 39C. Considering Previous Grievance Settlements ................. 40D. Influence of Past Practice ................................................ 41E. Researching Bargaining History ..................................... 42F. Ascertaining Previous Positions and Contractual

Theories ........................................................................... 44

CHAPTER 3. EXPLORING SETTLEMENT .......................................... 47

I. Introduction........................................................................... 47II. Evaluating Settlement Possibilities ...................................... 48

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A. Estimating Win–Loss Potential and ConsideringAll Impacts ...................................................................... 48

B. Assessing Potential Liability and Remedies ................... 53C. Relationship to Other Proceedings .................................. 53D. Tactical and Intangible Considerations ........................... 55

III. Potential for Settlement ........................................................ 56IV. Strategy and Timing of Settlement Efforts ........................... 57V. Use of a Third Party to Facilitate Settlement Discussions ...... 59

A. The Selected Arbitrator as Mediator ............................... 59B. Mediator Who Will Not Be Serving as the Arbitrator ...... 59

VI. The Importance of Confidentiality ....................................... 61VII. Crafting the Settlement Agreement ...................................... 62

A. No Precedential Effect .................................................... 62B. No Admission of Contract Violation ............................... 63C. Time for Performance ..................................................... 63D. Allocation of Costs of Cancelled Arbitration ................. 64

VIII. Resolving Difficult Discharge Cases .................................... 64

CHAPTER 4. SELECTING AN ARBITRATOR AND ARRANGINGTHE HEARING ........................................................... 67

I. Overview ............................................................................... 68II. Board of Arbitration Compared With Single Arbitrator ....... 69

A. Role of Partisan Arbitrators ............................................. 69B. Selecting Partisan Arbitrators .......................................... 69C. Disadvantages of Tripartite Boards ................................. 70

III. Methods of Selecting an Arbitrator ...................................... 71A. Sole Permanent Arbitrator ............................................... 71B. Preselected Panel ............................................................. 72

1. Assigning From a Preselected Panel ......................... 732. Advantages and Disadvantages of Preselected

Panels ......................................................................... 74C. Federal Mediation and Conciliation Service

(FMCS) Panel .................................................................. 75Figure 4-1. Sample Information Sheet for Arbitrator

on FMCS-Provided Panel .......................................... 77D. American Arbitration Association (AAA) Panel ............ 76E. State Arbitrator Referral Services ................................... 79F. Strategy of Selecting From a Panel ................................. 80

Figure 4-2. Example of Arbitrator Selection .................. 81G. Ad Hoc Selection of a Single Arbitrator ......................... 82

IV. Researching Arbitrators and Analyzing Their Suitabilityfor the Case ........................................................................... 83

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A. Biographies and Resumes ............................................... 83Figure 4-3. Hypothetical LRP Report ............................. 84

B. Reports From Colleagues and Other Advocates ............. 86C. Published Decisions ........................................................ 88D. Unpublished Decisions ................................................... 89E. Published Arbitrator Evaluations .................................... 90F. Weighing the Information and Making a Selection ........ 90

V. Scheduling the Hearing ........................................................ 91A. Multiple Cases in a Single Hearing ................................ 91

1. Motives for Multiple Cases ....................................... 912. Means of Resolving Multiple Case Disputes ............ 92

B. Hearing Site and Room Arrangements ........................... 93C. Stenographic Record of the Hearing ............................... 94

CHAPTER 5. ASSEMBLING THE EVIDENCE ................................... 95

I. Importance of the Evidentiary Case ..................................... 97II. Completeness of the Record to Date .................................... 97

III. Defining the Issues and the Theory of the Case ................... 98A. Focusing on the Issues .................................................... 99B. Focusing on the Theory ................................................... 100

IV. Determining the Facts That Need to Be Proven ................... 101A. Types of Facts .................................................................. 101

1. Background Facts ...................................................... 1012. Essential Facts ........................................................... 1013. Rebuttal Facts ............................................................ 102

B. Outlining the Facts and the Supporting Evidence .......... 103Figure 5-1. Facts and Evidence for Union Side

in Arbitration of an Outsourcing Grievance ............. 103C. Chronology ...................................................................... 104

Figure 5-2. Chronology of Subcontracting Case ............ 105D. Undisputed Facts—Stipulations ...................................... 104

V. Interviewing Potential Witnesses.......................................... 106A. Timing ............................................................................. 106B. Thoroughness .................................................................. 107C. Individual Versus Group Interviews ................................ 107D. Questioning Format ......................................................... 108E. Questioning Techniques .................................................. 109F. Refreshing Recollections ................................................ 110

VI. Evaluating Witnesses ............................................................ 111A. Characteristics of Marginal Witnesses ............................ 112

1. Overly Eager and Nonpercipient ............................... 1122. Inarticulate ................................................................. 1123. Easily Led .................................................................. 113

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4. Explosive or Argumentative ...................................... 1135. Garrulous ................................................................... 1136. Inconsistent or Forgetful ............................................ 1137. Unpersuasive .............................................................. 1138. Excessively Protective or Defensive .......................... 113

B. Adapting to Marginal Witnesses ..................................... 114C. The Unavailable or Uncooperative Witness .................... 115

Figure 5-3. Form of Subpoena ........................................ 116VII. Gathering and Preparing Documentary Evidence ................ 115

A. Relevancy and Authenticity ............................................ 117B. Types of Documentary Evidence .................................... 118

1. Notes and Logs Prepared by Supervisorsand Others .................................................................. 118

C. Obtaining Documents in the Other Party’s Possession .... 1201. Written Request ......................................................... 1202. Subpoena or Motion to Produce ................................ 121

Figure 5-4. Example of Subpoena Duces Tecum ....... 1233. Unfair Labor Practice Charge .................................... 1224. Other Means of Obtaining Evidence ......................... 1245. Potential Impact of Nondisclosure ............................ 125

VIII. Preparing Exhibits ................................................................ 125A. Charts and Graphs ........................................................... 126B. Photographs, Videotapes, and Computer Graphics ......... 127

1. Still Photos Versus Videos ......................................... 1272. Computer Graphics .................................................... 1283. Integrity of Graphics .................................................. 1284. Other Practical Issues Regarding Graphics ............... 128

C. Diagrams, Blueprints, and Other GraphicRepresentations ............................................................... 129

D. Multiple Visuals .............................................................. 129IX. Obtaining Real Evidence ...................................................... 130

A. Site Visitations ................................................................. 131B. Demonstrative Evidence ................................................. 133

X. Use of Expert Witnesses ....................................................... 134A. Appropriateness ............................................................... 134B. Use of Fact Witnesses as Expert Witnesses .................... 136

XI. Organizing Exhibits and Other Materials ............................. 137

CHAPTER 6. RESEARCHING AUTHORITIES AND FORMULATINGARGUMENTS ............................................................. 139

I. Introduction........................................................................... 140II. Framing the Arguments ........................................................ 141

A. Arguments—Employer’s Side ........................................ 142

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B. Arguments—Union’s Side .............................................. 143C. Anticipating the Other Side’s Arguments ....................... 144

III. Linking Arguments and Evidence ........................................ 144Figure 6-1. Linking Arguments and Evidence ...................... 145

IV. Analyzing Labor Agreement Language ............................... 144A. Operative Language of the Agreement ........................... 144B. Review All Possible Provisions ...................................... 146C. Analyze Rationale of the Relevant Provisions ................ 146

V. Researching Authority Under the Labor Agreement ............ 147A. Previous Similar or Analogous Cases ............................. 147

1. Arbitration Awards ..................................................... 1472. Grievance Settlements ............................................... 1493. Informal Grievance Dispositions ............................... 1494. Past Practice ............................................................... 151

a. When Past Practice Applies ................................. 152b. Proving Past Practice ............................................ 153

VI. Bargaining History................................................................ 154A. Parties’ Intent ................................................................... 154B. Evolution of Contract Clauses ........................................ 154

Figure 6-2. Development of Seniority Clause reTemporary Assignments ............................................. 155

C. Analyzing Proposals and Counterproposals ................... 155Figure 6-3. Negotiating Development

of a Contract Provision .............................................. 156D. Contemporaneous Circumstances ................................... 156E. The Unaccepted Change ................................................. 157F. Communications During Negotiations ........................... 158

VII. Outside Authorities ............................................................... 159A. Published Arbitration Decisions ..................................... 159

1. Influence of Decisions Involving Other Parties ........ 1602. Value of Reported Decisions in Preparing a Case ..... 161

B. Unpublished Arbitration Decisions ................................. 161C. External Law ................................................................... 162D. Scholarly Texts and Conference Reports ........................ 163E. Industry and Professional Practices ................................ 164

VIII. Prehearing Briefs .................................................................. 164

CHAPTER 7. SELECTING AND PREPARING WITNESSES ................. 167

I. Overview ............................................................................... 168II. Selection of Witnesses .......................................................... 169

III. Preparing Witnesses to Testify ............................................. 170A. Timing ............................................................................. 170

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B. Efficient Use of Time ...................................................... 171C. Initial Briefing of Witnesses ............................................ 171D. Putting Witnesses at Ease ................................................ 172E. Refreshing Recollections ................................................ 173F. Preparing Direct Examination ......................................... 174

1. Outline of Witnesses and Points to be Covered......... 174Figure 7-1. List of Witnesses and the Facts

to be Proved by Each ............................................ 1752. Method of Recording Questions and Answers .......... 174

G. Reviewing the Background of the Witness ..................... 176H. Order of Questions .......................................................... 177

1. Laying a Foundation .................................................. 1782. Chronological Order .................................................. 1783. Order of Importance of Other Factors ....................... 179

I. Molding the Questions and Answers .............................. 1801. Framing Questions ..................................................... 1802. Structuring Answers .................................................. 181

IV. Instructions to Witnesses ...................................................... 184Figure 7-2. Checklist—Instructions to Witnesses ................. 184A. Dress, Decorum, and Demeanor ..................................... 187

1. Clothing and Grooming ............................................. 1872. Decorum..................................................................... 1883. Demeanor ................................................................... 1884. Decorum and Demeanor When Not Testifying ......... 1895. Focusing on the Questions ......................................... 189

a. Nonresponsive Answers ....................................... 189b. Volunteering Information ..................................... 190c. Answering Confusing, Unclear, or Imprecise

Questions .............................................................. 192d. Answering Questions Without Knowing

the Answer ............................................................ 193e. Differences Between Knowledge

and Recollection ................................................... 194f. Answers With “to the Best of My

Recollection” ........................................................ 195B. Manner and Style of Testifying ....................................... 196

1. Vocabulary ................................................................. 1962. Addressing the Arbitrator and the Advocates ............ 1973. Articulation ................................................................ 1974. Significance of Word Selection in Answers .............. 1985. Eye Contact ................................................................ 199

C. Correcting Errors in Testimony ....................................... 199D. Assisting the Advocate When Not Testifying ................. 200

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V. Special Instructions to Witnesses RegardingCross-Examination ............................................................... 200A. Controlling One’s Temper ............................................... 200B. Dealing With Leading Questions .................................... 201C. Stopping for Objections .................................................. 201D. Listening to Objections ................................................... 202

VI. Additional Ways to Enhance the Testimonyof Witnesses .......................................................................... 203A. Role Play Cross-Examination ......................................... 203

1. Questioning by a Different Advocate ........................ 2042. Prepare in the Actual Hearing Room ......................... 2043. Videotape the Witness’s Testimony ........................... 204

CHAPTER 8. PRELIMINARY MATTERS ........................................... 207

I. Overview ............................................................................... 208II. Compliance With Requests for Production of Evidence ...... 208

A. Applicability of Discovery to Labor Arbitration ............ 209B. Compliance With Information Requests or Orders ......... 209

III. Stipulations ........................................................................... 210A. Matters Suitable for Stipulation ...................................... 210

1. Issue(s) to be Decided by the Arbitrator .................... 2112. Facts ........................................................................... 2123. Applicable Agreement Provisions and Limits

on the Arbitrator’s Authority...................................... 2124. New Documents and Other Recently

Discovered Evidence ................................................. 2135. Other Matters Suitable for Stipulations ..................... 2146. Timing of Stipulations ............................................... 2147. Stipulations During the Hearing ................................ 2158. Caveats Concerning Stipulations ............................... 216

IV. Special Arrangements Concerning Witnesses ...................... 216A. Witnesses Unavailable to Testify in Person .................... 217B. Witness Testifying Out of Order ..................................... 218C. Sequestering Witnesses ................................................... 219

1. Rules Concerning Sequestration ................................ 2202. Strategy of Requesting Sequestration ........................ 220

D. Swearing of Witnesses .................................................... 221E. Use of Interpreters ........................................................... 222F. Failure of a Subpoenaed Witness to Appear ................... 222

V. Procedural Matters ................................................................ 223A. Arbitrability and Timeliness ........................................... 223B. Collateral Proceedings .................................................... 224C. Site Visitation .................................................................. 225

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D. Bifurcation of the Hearing .............................................. 226E. Continuance ..................................................................... 228F. Expedited or “Bench” Decision ...................................... 228

VI. Issues Related to the Arbitrator ............................................ 229A. Arbitrator’s Impartiality and Suitability

to Hear a Case ................................................................. 2291. Undisclosed Relationship With the Other Party ........ 2302. Personal Relationship With a Party’s Principal

or Representative ....................................................... 2303. Ex-Parte Communications Between a Party

and the Arbitrator About the Case at Hand................ 231B. Decision and Procedure to Challenge an Arbitrator ....... 231C. Publication of Decision and Award ................................. 233

Part II. During the Hearing

CHAPTER 9. OPENING STATEMENTS ............................................. 235

I. Introduction........................................................................... 238II. Purposes of an Opening Statement ....................................... 238

A. Orienting the Arbitrator ................................................... 238B. Influencing the Arbitrator—The Three “R”s .................. 239C. Influencing the Witnesses ............................................... 240

III. Key Elements of an Effective Opening Statement ............... 241A. Theme .............................................................................. 241B. Summarization of Facts .................................................. 242C. Principal Persons Involved .............................................. 243D. Technical Terminology and Technical Processes ............ 243E. Relevant Contract Provisions .......................................... 244F. Remedy Sought ............................................................... 245

IV. Strategic Issues ..................................................................... 246A. When to Make the Opening Statement ........................... 246B. Waiving the Opening Statement ...................................... 247C. Substituting a Written Opening Statement

or Prehearing Brief for an Oral Opening Statement ....... 247D. Revealing Weaknesses in the Advocate’s Evidence

or Arguments ................................................................... 248V. Form and Manner of Presentation ........................................ 249

A. Length .............................................................................. 249B. Prepared Statement Versus Notes.................................... 249C. Style ................................................................................. 250

VI. Sample Opening Statements ................................................. 251A. Sample Employer Opening Statement ............................ 251B. Sample Union Opening Statement .................................. 252

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CHAPTER 10. PRESENTING THE CASE IN CHIEF ........................... 255

I. Overview ............................................................................... 257II. Order of Presentation ............................................................ 257

A. Burden of Going Forward ............................................... 257B. Sequencing the Evidence ................................................ 257

1. Leading From Strength .............................................. 2582. Chronological or Other Logical Order ...................... 2593. Meshing Testimony With Other Evidence ................. 2604. Maintaining Arbitrator Interest .................................. 260

III. Examining Witnesses ............................................................ 261A. Admissible Evidence ....................................................... 261B. Procedure for Offering a Witness .................................... 262C. Facts Versus Opinion and Argument ............................... 263D. Opinion Testimony .......................................................... 263E. Properly Framed Questions ............................................. 265F. Questions Calling for Narrative Answers ....................... 266

1. Leading Versus Open-Ended Questions .................... 2672. Use of Notes by Witnesses ........................................ 2693. Exceptions to the Rule Prohibiting Witness

From Using Notes ...................................................... 269G. Defining Transitions ........................................................ 270H. Ensuring That the Record Reflects Nonverbal

Testimony ........................................................................ 271I. Revealing Weaknesses .................................................... 272J. Assisting or Rehabilitating the Forgetful

or Misspeaking Witness .................................................. 2731. The Forgetful Witness ................................................ 2732. The Misspeaking Witness .......................................... 274

a. Volunteered Truthful Information ........................ 274b. Erroneous Answer ................................................ 275

3. Delayed Rehabilitation .............................................. 277K. The Hostile Witness ........................................................ 278

IV. Introducing Documents and Other Exhibits ......................... 280A. Steps in Introducing Exhibits .......................................... 280

1. Step 1—Have the Exhibit Markedfor Identification ........................................................ 281a. When to Mark Exhibits ........................................ 281b. How to Mark Exhibits .......................................... 281c. Marked Exhibits Are Not Necessarily

Admitted ............................................................... 282d. Who Marks Exhibits ............................................ 282

2. Step 2—Present a Copy of the Exhibitto the Opposing Advocate .......................................... 283

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3. Step 3—Present a Copy of the Exhibitto the Witness ........................................................... 283

4. Step 4—Ask the Witness Sufficient QuestionsAbout the Exhibit in Order to Lay a Foundationfor Its Introduction ................................................... 284

5. Step 5—Offer the Exhibit Into Evidence ................ 286B. Voir Dire ........................................................................ 286

V. Use of Exhibits in Direct Examination .............................. 288Figure 10-1. Example of Exhibit Marked to Depict

Key Aspect(s) of Evidence ............................................. 290VI. Examining Expert Witnesses .............................................. 291

A. Establishing Qualifications ........................................... 291B. Vulnerabilities of the Expert Witness ........................... 292

1. Possible Bias ............................................................ 2932. Remuneration for Testimony ................................... 2933. Previous Writings and Testimony ............................ 293

C. Eliciting Opinion Testimony From the ExpertWitness .......................................................................... 294

D. Testifying From Personal Observations ........................ 295E. Testifying From Information Supplied by Others ........ 296

VII. Examining Adverse Witnesses ........................................... 296A. Strategy of Calling Adverse Witnesses ......................... 297B. Calling the Grievant as an Adverse Witness ................. 298C. Method for Establishing a Witness as Adverse ............. 298

VIII. The Advocate as a Witness ................................................. 299IX. Calling Witnesses Out of Order ......................................... 300X. Examination by the Arbitrator ............................................ 300

XI. Site Visitation by the Arbitrator .......................................... 302

CHAPTER 11. RULES OF EVIDENCE .............................................. 303

I. Overview ............................................................................... 307II. Admissibility Based on Substance Versus Form .................. 308

A. Substantive Rules of Evidence ........................................ 308B. Admissibility Based on Form ......................................... 309

III. Substantive Admissibility ..................................................... 310IV. Rules of Evidence Based on Substantive Admissibility ....... 311

A. Relevancy ........................................................................ 3111. Statement of the Rule ................................................ 3112. Rationale .................................................................... 3123. Discussion .................................................................. 313

a. Lenient Application .............................................. 3134. Linking Up ................................................................. 314

B. Opinion Testimony .......................................................... 315

xxvi How to Present a Labor Arbitration Case

1. Statement of the Rule ................................................ 3152. Rationale .................................................................... 3153. Discussion .................................................................. 318

C. Best Evidence Rule ......................................................... 3181. Statement of Rule ...................................................... 3182. Rationale .................................................................... 3193. Discussion .................................................................. 319

D. Parol Evidence Rule ........................................................ 3201. Statement of Rule ...................................................... 3202. Rationale .................................................................... 3203. Discussion .................................................................. 321

a. Parol Evidence Frequently Admitted ................... 321E. Privileged Communications ............................................ 322


F. Offers of Compromise and Settlement ........................... 3241. Statement of the Rule ................................................ 3242. Rationale .................................................................... 3243. Discussion .................................................................. 325

G. Beyond the Scope of Direct Examination ....................... 3251. Statement of the Rule ................................................ 3252. Rationale .................................................................... 3263. Discussion .................................................................. 326

H. Hearsay Rule ................................................................... 3271. Statement of the Rule ................................................ 3272. Rationale .................................................................... 3273. Discussion .................................................................. 328

a. Admitting Hearsay “Subject to Weight”or “For What It’s Worth” ...................................... 328

b. Written Hearsay.................................................... 329c. Reliability of Hearsay .......................................... 329

I. Nonhearsay Versus Exceptions to the Hearsay Rule ...... 330J. Exceptions to the Hearsay Rule ...................................... 331

1. Declaration or Admission Against Interest ................ 331a. Statement of the Exception to the Rule ................ 331b. Rationale ............................................................... 331c. Discussion ............................................................ 332

2. Spontaneous or Excited Utterance ............................. 332a. Statement of the Exception to the Rule ................ 332b. Rationale ............................................................... 332c. Discussion ............................................................ 333

3. Past Recollection Recorded ....................................... 333a. Statement of the Exception to the Rule ................ 333

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b. Rationale ............................................................... 334c. Discussion ............................................................ 334

4. Business and Public Records ..................................... 335a. Statement of the Exception to the Rule ................ 335b. Rationale ............................................................... 335c. Discussion ............................................................ 336

5. State of Mind ............................................................. 336a. Statement of the Exception to the Rule ................ 336b. Rationale ............................................................... 336c. Discussion ............................................................ 337

6. Prior Testimony .......................................................... 337a. Statement of the Exception to the Rule ................ 337b. Rationale ............................................................... 337c. Discussion ............................................................ 338

7. Statements Having Independent LegalSignificance ............................................................... 338a. Statement of the Exception to the Rule ................ 338b. Rationale ............................................................... 339c. Discussion ............................................................ 339

8. Prior Inconsistent Statement ...................................... 340a. Statement of the Exception to the Rule ................ 340b. Rationale ............................................................... 340c. Discussion ............................................................ 341

9. Other Hearsay Exceptions ......................................... 341a. Present Sense Impression ..................................... 341b. Present Physical Condition .................................. 341c. Surveys and Polls ................................................. 342

10.Concluding Note Concerning HearsayExceptions .................................................................. 342

V. Rules of Evidence Based on Form of Questions .................. 342A. Lack of Foundation—Lack of Competency ................... 343


B. Leading Questions ........................................................... 3451. Statement of the Rule ................................................ 3452. Rationale .................................................................... 3453. Discussion .................................................................. 345

C. Assumes Facts Not in Evidence; MisquotesTestimony ........................................................................ 3461. Statement of the Rule ................................................ 3462. Rationale .................................................................... 3463. Discussion .................................................................. 347

D. Hypothetical Questions ................................................... 347

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E. Compound Questions ...................................................... 3491. Statement of the Rule ................................................ 3492. Rationale .................................................................... 3493. Discussion .................................................................. 350

F. Questions Calling for Speculation .................................. 3501. Statement of the Rule ................................................ 3502. Rationale .................................................................... 3503. Discussion .................................................................. 351

G. Ambiguous, Vague, Misleading, and UnintelligibleQuestions ......................................................................... 3511. Statement of the Rule ................................................ 3512. Rationale .................................................................... 3513. Discussion .................................................................. 352

H. Argumentative, Harassing, or Badgering Questions ....... 3531. Statement of the Rule ................................................ 3532. Rationale .................................................................... 3533. Discussion .................................................................. 354

I. Questions Calling for a Conclusion ................................ 3541. Statement of the Rule ................................................ 3542. Rationale .................................................................... 3543. Discussion .................................................................. 355

J. Questions Calling for Explanation or Interpretationof a Document ................................................................. 3551. Statement of the Rule ................................................ 3552. Rationale .................................................................... 3553. Discussion .................................................................. 356

K. Questions Previously Asked and Answered .................... 3561. Statement of the Rule ................................................ 3562. Rationale .................................................................... 3563. Discussion .................................................................. 356

L. Cumulative Testimony .................................................... 3571. Statement of the Rule ................................................ 3572. Rationale .................................................................... 3573. Discussion .................................................................. 358

M. Questions That Call for a Narrative Answer ................... 3581. Statement of the Rule ................................................ 3582. Rationale .................................................................... 3583. Discussion .................................................................. 358

VI. Special Evidentiary Issues .................................................... 359

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A. Nonresponsive or Volunteered Testimony....................... 3591. Statement of the Rule ................................................ 3592. Rationale .................................................................... 3593. Discussion .................................................................. 360

B. Judicial (Arbitral) Notice ................................................ 3601. Statement of the Rule ................................................ 3602. Rationale .................................................................... 3613. Discussion .................................................................. 361

C. Offers of Proof ................................................................ 3621. Statement of the Rule ................................................ 3622. Rationale .................................................................... 3623. Discussion .................................................................. 363

VII. Understanding and Using the Rules of Evidence ................. 364

CHAPTER 12. MAKING AND DEFENDING AGAINSTOBJECTIONS ........................................................... 365

I. Overview ............................................................................ 366II. Purposes of Making Objections ......................................... 366

A. Excluding and Diminishing the Impact of Evidence .... 366B. Protecting the Record .................................................... 367C. Interrupting the Flow of Testimony .............................. 367D. Signaling or Instructing the Witness ............................. 368

III. Deciding to Object .............................................................. 368IV. Timing of Objections .......................................................... 369V. Making the Objection ......................................................... 371

A. Sensing When Objectionable QuestionsAre Being Asked ........................................................... 371

B. How to Make a Proper Objection ................................. 371VI. Dealing With Overruled Objections ................................... 373

A. Pursuing the Objection .................................................. 373B. Excepting to an Adverse Ruling and Registering

a Continuing Objection ................................................. 374C. One Strategy for Challenging Adverse

Evidentiary Rulings ...................................................... 375VII. Defending Against and Defeating Objections .................... 376

VIII. Bases for Responding to Sustained Objections .................. 377A. Substantive Grounds ..................................................... 377B. Common Sense, Fairness, and Reliability

of Evidence .................................................................... 378C. Rephrasing the Question ............................................... 379D. Offer of Proof ................................................................ 380

xxx How to Present a Labor Arbitration Case

CHAPTER 13. CONDUCTING CROSS-EXAMINATION ..................... 383

I. Overview ............................................................................... 385II. Objectives of Cross-Examination ......................................... 386

A. Attack the Credibility of a Witness ................................. 386B. Attack the Reliability of a Portion of a Witness’s

Testimony ........................................................................ 387C. Elicit Favorable Testimony ............................................. 387D. Elicit Contradictory Testimony ....................................... 388E. Elicit Foundational Testimony ........................................ 388

III. Preparation ............................................................................ 389A. Research Witnesses ......................................................... 389B. Anticipating the Witness’s Testimony ............................. 390C. Script the Cross-Examination of Key Witnesses ............ 391

IV. Voir Dire Versus Cross-Examination .................................... 391A. Strategic Value ................................................................. 391B. Prelude to Objecting to Testimony .................................. 392C. Prelude to Objecting to Other Evidence ......................... 394D. Reasons for Deferring to Cross-Examination ................. 395

V. Tracking Direct Examination to Preparefor Cross-Examination .......................................................... 396A. Careful Listening and Observation ................................. 396B. Note Taking ..................................................................... 397

Figure 13-1. Taking Notes During Direct Examination ..... 397C. Input from Others on the Advocate’s Team .................... 398

VI. Deciding Whether to Cross-Examine a Particular Witness .... 398A. Damage Report ................................................................ 399B. Assessing the Strength of the Witness ............................ 399C. The Nominal or Superficial Cross-Examination ............ 400D. Opening New Areas of Inquiry ....................................... 401

VII. Style of Conducting Cross-Examination .............................. 402A. A Gracious and Respectful Manner ................................ 403B. Noting Transition Points ................................................. 404

VIII. Sequencing Questions .......................................................... 404A. Easing Into the Critical Areas ......................................... 404B. Following a Circuitous Path ............................................ 406

IX. Do’s and Don’ts of Cross-Examination ................................ 406A. DO: Use Leading Questions ........................................... 407B. DON’T: Ask Open-Ended Questions or Questions

That Ask “Why?” ............................................................ 410C. DO: Ask Short, Direct, and Clear Questions .................. 410D. DON’T: Ask Questions Whose Answers You

Do Not Know .................................................................. 412E. DO: Control the Witness ................................................. 413

Detailed Table of Contents xxxi

F. DON’T: Ask More Questions Than Necessary ............... 415G. DON’T: Argue With a Witness ....................................... 416H. DO: Test the Witness’s Powers of Perception,

Recollection, and Estimation .......................................... 417I. DON’T: Ask the Witness about Recollections

or for Approximations ..................................................... 420J. DO: Challenge the Testimony of Witnesses

Who Appear to be Giving Rehearsed Testimony ............ 421K. DON’T: Allow the Opposing Advocate to Coach

or Instruct the Witness ..................................................... 424L. DON’T: Extend Cross-Examination Longer

Than Necessary ............................................................... 426X. Impeaching Witnesses .......................................................... 426

A. Tips on Impeaching Witnesses ........................................ 426B. Specific Areas to Attack .................................................. 426

1. Veracity ...................................................................... 4272. Prejudice or Bias ........................................................ 4273. Character and Reputation .......................................... 4294. Interest or Motive....................................................... 4295. Recollection ............................................................... 4306. Perception .................................................................. 4317. Discrediting Conduct ................................................. 431

C. Steps to Impeach ............................................................. 433D. Summary of Impeachment Techniques ........................... 434

CHAPTER 14. REDIRECT AND RECROSS-EXAMINATIONSAND REBUTTAL ...................................................... 435

I. Overview ............................................................................... 436II. Preemptory Motions: Motions to Dismiss and Motions

for Summary Judgment ........................................................ 436A. Procedure for Making a Preemptory Motion .................. 437B. Value of Preemptory Motions ......................................... 438

III. Recess ................................................................................... 439IV. Redirect Examination ........................................................... 440

A. Damage Assessment ........................................................ 440B. Damage Repair ................................................................ 441C. Routine Redirect Examination ........................................ 444D. Covering Matters That Were Overlooked ....................... 444

V. Recross-Examination ............................................................ 445VI. The Rebuttal Case ................................................................. 446

A. Damage Assessment and Damage Repair ....................... 447B. Sandbagging With New Evidence ................................... 447C. The Witness in Waiting ................................................... 449

xxxii How to Present a Labor Arbitration Case

D. New Theories .................................................................. 449E. Calling Witnesses From the Other Side .......................... 450F. Using a Stronger Witness and Other, More Persuasive

Evidence .......................................................................... 451G. Deciding When Enough Is Enough ................................. 452

CHAPTER 15. CLOSING ARGUMENTS ........................................... 453

I. Overview ............................................................................... 453II. Oral Argument Versus Written Briefs ................................... 454

A. Strategy of Oral or Written Arguments ........................... 454B. Opting for Oral Argument ............................................... 456C. Alternative Forms of Briefing ......................................... 457

III. Oral Argument ...................................................................... 457A. Order of Oral Argument .................................................. 458B. Preparation for Oral Argument ....................................... 458C. Carrying Through the Theme of the Opening

Statement ......................................................................... 459D. Organization of Oral Argument ...................................... 459

1. Issue-Oriented Presentation ....................................... 4602. Evidence-Oriented Presentation ................................ 460

E. Dealing With Adverse Evidence and Argumentsby the Other Side ............................................................. 461

F. Advantage of the Party Arguing Last .............................. 462G. Closing the Argument ..................................................... 463

Part III. After the Hearing

CHAPTER 16. POSTHEARING BRIEFS ............................................ 467

I. Overview ............................................................................... 468II. Arrangements for Written Briefs .......................................... 468

A. Reply Briefs .................................................................... 469III. Preparing to Write a Brief .................................................... 469

A. Reviewing the Transcript ................................................ 470B. Organizing the Brief ........................................................ 471

1. Cover Page ................................................................. 472Figure 16-1. Sample Cover Page of Brief .................. 473

2. Introduction ................................................................ 4723. Issues Presented ......................................................... 4744. Summary of the Facts ................................................ 4755. Pertinent Contract Provisions .................................... 4776. Arguments .................................................................. 478

Detailed Table of Contents xxxiii

C. Use of Reported Case Authorities ................................... 480D. Conclusion ....................................................................... 481

IV. Additional Points to Remember in Writing Briefs ............... 482A. Keep It as Brief as Possible ............................................. 482B. Include Detailed References to Evidence

in the Record and to Case Authorities ............................ 483C. Include Selected Reproductions of Recorded

Testimony ........................................................................ 485D. Organize Evidence to Enhance Understanding

and Persuasiveness .......................................................... 487E. If a Brief Is Lengthy, Prepare a Table of Contents ......... 487F. Stress Equity and Fairness, Not Just Facts

and Contract Language ................................................... 488G. Stress the Burden of Proof Where Possible .................... 489H. Address Remedy ............................................................. 489

V. Procedures for Filing Briefs ................................................. 491A. Length and Format .......................................................... 491B. Order and Means of Submission ..................................... 492C. Time of Submission ........................................................ 493

1. Meaning of Filing Date .............................................. 4932. Extensions of Time .................................................... 494

D. Send a Copy to the Client or Party Representative ......... 494

CHAPTER 17. OTHER POSTHEARING MATTERS ............................ 497

I. Overview ............................................................................... 498II. Reviewing the Opposing Party’s Brief ................................. 498

A. An Untimely Filed Brief ................................................. 498B. Improper Inclusions in a Brief ........................................ 499

1. Challenging Evidence That Was Not Admitted ......... 4992. Challenging a Blatant Misrepresentation .................. 500

III. Sending the Opposing Side’s Brief to the Principals ........... 501IV. Debriefing Witnesses and Observers .................................... 501

A. Debriefing Witnesses ...................................................... 501B. Educational Value to Witnesses and Observers .............. 502C. Correcting Practices or Contract Interpretations ............ 503

V. Dealing With Newly Discovered Evidence .......................... 503A. Evaluating Importance and Value of Evidence ............... 504B. Reason for Late Discovery .............................................. 504C. Relevance and Importance of Evidence .......................... 505D. Means of Incorporating New Testimony......................... 505E. Unlikelihood of Reopening the Case .............................. 506

VI. The Deliberative Process—Boards of Arbitration................ 506

xxxiv How to Present a Labor Arbitration Case

VII. Delays in Issuance of an Award ............................................ 508A. Impact of Delay ............................................................... 508B. Protesting Delays in Issuing Awards ............................... 509

VIII. Receiving and Reviewing the Decision and Award .............. 509A. Analysis of Decision and Award ..................................... 510B. Compliance With the Award ........................................... 511

1. Back Pay Awards ....................................................... 5112. Other Types of Make-Whole Remedies .................... 512

a. Work Out of Classification ................................... 512b. Facility Closure/Relocation/Sale or Service

Termination .......................................................... 512c. Fashioning the Remedy ........................................ 513

3. Cease-and-Desist Orders ........................................... 5134. Punitive Damages ...................................................... 5135. Awards With General Directives and Retained

Jurisdiction ................................................................. 514

CHAPTER 18. CHALLENGING THE AWARD ................................... 517

I. Overview ............................................................................... 518II. Legal Authority to Vacate an Arbitrator’s Decision ............. 519

III. Deciding to Challenge .......................................................... 520A. Assessing the Impact of the Decision and Award ........... 520B. Strategic Issues to Consider ............................................ 522

1. Impact on Union-Management Relationship ............ 5222. Influence on the Moving Party-Arbitrator

Relationship ............................................................... 523C. Assessing the Chances of Success .................................. 524D. Alternatives to Court Action ........................................... 524

1. Buy-Out of Award ...................................................... 5242. Modification/Correction of Award

by the Arbitrator ......................................................... 525IV. Grounds for Vacating an Arbitration Award ......................... 526

A. Fraud and Undue Influence ............................................. 5271. Bases for Fraud and Undue Influence ....................... 5272. Defending Against an Attempt to Vacate

for Fraud or Undue Influence .................................... 528B. Decision and Award Exceeds the Arbitrator’s

Authority ......................................................................... 5291. Examples of Rulings of Arbitrators Exceeding

Their Authority .......................................................... 5292. Defending Against Attack Based on Exceeding

Authority .................................................................... 530C. Procedural Errors ............................................................ 531

Detailed Table of Contents xxxv

1. Means of Selecting and Appointingthe Arbitrator .............................................................. 531

2. Lateness of Award ...................................................... 5323. Improper Procedures in the Hearing.......................... 5324. Defending Against Attempted Vacatur Based

on Procedural Errors .................................................. 533D. Decision Did Not Draw Its Essence From the Labor

Agreement ....................................................................... 534E. Decision Is Against Public Policy or Contrary

to Law .............................................................................. 5371. Against Public Policy ................................................ 5372. Contrary to Laws and/or Decisions of Courts

or Administrative Agencies........................................ 539V. Summary of Challenges to Awards ...................................... 541

Part IV. Miscellaneous

CHAPTER 19. BLUEPRINT OF A GRIEVANCEARBITRATION CASE ............................................... 545

I. Overview: A Case of Misunderstanding or Misconduct? .... 545II. Hearing Participants and Other Involved Persons ................ 546

III. Excerpts From the Transcript of the Hearing ....................... 547IV. Excerpts From the Employer’s Brief .................................... 575V. Excerpts From the Union’s Brief .......................................... 581

VI. Excerpt From the Arbitrator’s Decision and Award ............. 589VII. Conclusion ............................................................................ 595

CHAPTER 20. INTEREST ARBITRATION AND OTHER LABORARBITRATION VARIATIONS .................................... 597

I. Overview ............................................................................... 599II. Interest Arbitration ................................................................ 600

A. Function of Interest Arbitration ComparedWith Grievance Arbitration ............................................. 600

B. Authority for Interest Arbitration .................................... 601Figure 20-1. States Providing for Interest Arbitration

and Corresponding Occupational Groups Covered .... 602C. Interplay of Interest Arbitration and Contract

Negotiations .................................................................... 6031. Should the Contract Negotiator Also Be

the Interest Arbitration Advocate? ............................. 6032. Deciding Which Issues to Resolve in Negotiations

and Which to Carry Into Interest Arbitration ............ 604

xxxvi How to Present a Labor Arbitration Case

3. “Playing Chicken” Versus “Bird in the Hand” .......... 6054. Using Interest Arbitration as “Cover”

for the Negotiators ..................................................... 606D. General Considerations in Preparing for Interest

Arbitration ....................................................................... 6071. Begin Preparation Well in Advance of the Time

When It Is Known That an Interest ArbitrationWill Be Required ....................................................... 607

2. Advocates Are Advised to Rely on Othersto Gather Data and Other Information, Butto Actively Participate in the Analysisand Preparation of the Data for Presentation............. 607

3. Review Prior Interest Arbitration Decisions .............. 6084. Review Statutes, Regulations, and Decisional

Law for Guidance ...................................................... 6085. Selecting the Interest Arbitrator ................................. 608

E. Criteria on Which Interest Arbitration DecisionsAre Based ........................................................................ 6091. Comparability of Prevailing Wages, Benefits,

and Practices .............................................................. 6102. Historical Relationships and Historical Patterns ....... 6103. Ability/Inability to Pay .............................................. 6114. Cost of Living Changes ............................................. 6125. Pre-Arbitration Positions ........................................... 6126. Productivity Changes ................................................. 6137. Other Criteria ............................................................. 613

F. Selecting Comparable Jurisdictions/Employers/WorkUnits ................................................................................ 6141. Size of Political Jurisdiction/Employer ..................... 6152. Size of the Work Force/Bargaining Unit ................... 6163. Physical Proximity to the Subject Jurisdiction

or Workplace .............................................................. 6164. Physical Proximity to a Major Metropolitan Area .... 6175. Sharing of a Common Labor Market ......................... 6176. Similarity of Products, Services, and Work

Requirements/Employment Qualifications ............... 6197. Revenue-Generating Capability

of Governmental Units .............................................. 6198. Union/Non-Union Status of Work Force ................... 6209. Internal Comparisons ................................................. 620

G. Selecting the Most Appropriate ComparativeJurisdictions or Work Groups .......................................... 621

Detailed Table of Contents xxxvii

Figure 20-2. Sample Comparative Work GroupsSpreadsheet (Simplified Version) ............................... 623

H. Analyzing and Presenting Wage and BenefitData of Selected Comparative Jurisdictionsor Work Groups ............................................................... 6221. Wage and Salary Analysis and Comparisons ............ 624

Figure 20-3. Sample Spreadsheet for ComparingRates of Pay .......................................................... 625

2. Benefit Comparisons ................................................. 624I. Presenting the Case and Making the Arguments ............ 625

1. Form of Presentation.................................................. 6252. Use of Witnesses ........................................................ 6263. Presentation of Data and Other Information ............. 6264. Refuting the Other Side’s Case .................................. 6275. Arguments in Post-Hearing Briefs ............................ 628

III. Fact Finding or Advisory Arbitration ................................... 628IV. Med-Arb ............................................................................... 629V. Final Offer Selection or “Last Best Offer” Interest

Arbitration............................................................................. 630A. Issue-by-Issue Versus Total Package Final Offer

Selection .......................................................................... 631

AppendixesA. Federal Mediation and Conciliation Service Office

of Arbitration Services Policies and Procedures(Effective December 27, 2005) ....................................... 633

B. American Arbitration Association Labor ArbitrationRules (Including Expedited Labor Arbitration Rules)Amended and Effective July 1, 2005 .............................. 649

C. Code of Professional Responsibility for Arbitrators ofLabor-Management Disputes of the National Academyof Arbitrators, the American Arbitration Association,and the Federal Mediation and Conciliation Service(As amended and in effect June 2003) ............................ 667

D. Federal Rules of Evidence Effective July 1, 1975,as amended to December 1, 2005 ................................... 685

Additional Readings About Labor Arbitration ........................... 709

Index .......................................................................................... 713