Indiana Rules for Alternative Dispute Resolution

Rule 3.4. Non-Binding Arbitration Procedure

Effective January 1, 2025

(A) Notice of Hearing.

Except as provided in subdivision (F), upon accepting the appointment to serve, the arbitrator or Chair of an arbitration panel must set a time and place for an arbitration hearing and notify the parties. Courts are encouraged to provide the use of their facilities for purposes of conducting the arbitration hearing.

(B) Submission of Materials.

Unless otherwise agreed, the parties must submit to the arbitrator or Chair all documents and lists of witnesses to be considered in the arbitration process no later than fifteen days prior to any hearing relating to the matters set forth in the submission. The listing of witnesses and documentary evidence is binding upon the parties for purposes of the arbitration hearing only. The listing of witnesses must designate those to be called in person, by deposition, or written report. Each party may submit a pre-arbitration brief, setting forth factual and legal positions as to the issues, with the arbitrator or chair, and provide that brief to all parties, no later than five days prior to the hearing. The parties may agree to alter these deadlines.

(C) Hearing.

Rules of discovery apply. However, traditional rules of evidence do not apply unless agreed to by the parties. As permitted by the arbitrator(s), witnesses may be called. Attorneys may make oral presentation of the facts supporting a party's position and arbitrators are permitted to engage in critical questioning or dialogue with representatives of the parties. The representatives of the respective parties must comply with the Rules of Professional Conduct. The parties may be permitted to demonstrate scars, disfigurement, or other evidence of physical disability. Arbitration proceedings are not open to the public.

(D) Documents-Only Arbitration.

The parties may elect to forego an arbitration hearing and have a documents-only arbitration, where the arbitration is conducted based solely upon written materials and documents submitted by the parties. The parties may elect to have some but not all issues within an arbitration addressed through this method. Any agreement for a documents-only arbitration must be included in an order signed by the arbitrator(s) and indicate that the parties have waived their right to a hearing regarding all issues or some specific issues in the arbitration. The arbitrator(s)’s order must include detailed directions as to the actions to be taken by each party and the corresponding deadlines. If discovery is requested, the order must include a timetable for the exchange of documents. The taking of depositions or site inspections may be ordered for good cause but are generally discouraged in documents-only arbitration. Upon the submission of all documents, the arbitrator(s) must declare the record of the proceedings closed and issue a written determination in accordance with Rule 3.4(F).

(E) Confidentiality.

Arbitration proceedings must be considered as settlement negotiations and governed by Indiana Evidence Rule 408.

(F) Arbitration Determination.

Unless otherwise agreed, within twenty days after the hearing, the arbitrator or Chair must file a written determination of the arbitration proceeding in the pending litigation and serve a copy of this determination on all parties participating in the arbitration. The parties have twenty days from the filing of the written determination to affirmatively reject in writing the arbitration determination. If the arbitration determination is not rejected by any of the parties, the determination must be entered as the judgment or accepted as a joint stipulation as appropriate. In the event the determination is rejected, all documentary evidence will be returned to the parties and the determination and all acceptances and rejections must be sealed and placed in the case file. In matters involving the care, support, or assets of children or incapacitated adults, arbitration agreements put in writing and signed by all participants may be binding on the participants but are only enforceable after review and approval by the appropriate court that would have jurisdiction over the care, support, or assets of the children or incapacitated adults.