The AltCourt Legal Team
The AltCourt Legal Team

Mediation

Mediation Case Submission Form
AltCourt Arbitration and Mediation Fee S[...]
Adobe Acrobat document [192.1 KB]

mediation@altcourt.net  

 

Nature of the Process

Mediation is a process wherein the parties meet with a mutually selected impartial and neutral person who assists them in the negotiation of their differences.

Role of the Mediator

Mediation leaves the decision power totally and strictly with the parties. The mediator does not decide what is "fair" or "right," does not assess blame nor render an opinion on the merits or chances of success if the case were litigated. Rather, the mediator acts as a catalyst between opposing interests attempting to bring them together by defining issues and eliminating obstacles to communication, while moderating and guiding the process to avoid confrontation and ill will. The mediator will, however, seek concessions from each side during the mediation process.

Forbearance from Litigation During Mediation and Confidentiality of Proceedings

At the outset of a mediation process, the mediator may well seek agreement from the parties to forbear from litigation during the mediation process and to hold everything that is said in the various sessions confidential and not deemed an admission or used against any party in any other proceeding if mediation fails.

Procedures: Joint Session Followed by Private Caucuses

Mediation generally begins with a joint session to set an agenda, define the issues and ascertain the position and/or concerns of the parties. This allows the parties to attack the resolution process either on an issue-by-issue or group-by-group basis.

The joint session is then followed by a separate caucus between the mediator and each individual party or their counsel. This allows each side to explain and enlarge upon their position and mediation goals in confidence. It also gives the mediator an opportunity to ask questions which may well serve to create doubt in an advocate's mind over the validity of a particular position.

 

                                                      

In a continuing effort to provide our clients with the highest quality dispute resolution services, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES offers clauses, rules and procedures designed to meet the parties’ needs in a variety of situations. The menu of clauses, rules and procedures on the left allows you to customize a process for your dispute. The newest addition is ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Optional Expedited Arbitration Procedures, which is described in more detail below. 

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Optional Expedited Arbitration Procedures
ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES has taken an industry-leading role to ensure arbitration remains an attractive alternative to litigation. In order to save clients time and money, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES has instituted new procedural options that allow the crafting of a process that is commensurate with the dispute. With ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES new Optional Expedited Arbitration Procedures, parties can choose a process that limits depositions, document requests and e-discovery. When parties utilizing ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Comprehensive Arbitration Rules elect to use these procedures, they agree to the voluntary and informal exchange of all non-privileged documents and other information relevant to the dispute. These rules are an innovative step taken by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES to guarantee that its clients can have an efficient process if they choose. 

 


 

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules / Clauses

ADR Clauses (Dispute Resolution Clauses for Commercial Contracts)

  • General
    • Standard Arbitration Clauses
    • Resolution Prior to Arbitration
    • Arbitrator Qualifications
    • Party-Appointed Arbitrators
    • Confidentiality
    • Governing Law
    • Punitive Damages
    • Limitation of Liability
    • Fees and Costs to Prevailing Party
    • Appeal
    • Expedited Arbitration Procedures
    • More Limited Efficiency-Enhancing Provisions
  • Construction
    • Construction Clauses
    • Construction Project Neutral Clause
  • Employment
    • Employment Clauses
  • International
    • Clauses for Transnational Commercial Contracts

 

Rules & Procedures

  • General
    • Comprehensive Arbitration Rules & Procedures
    • Streamlined Arbitration Rules & Procedures
    • Arbitration Discovery Protocols
    • Policy on Consumer Arbitrations Pursuant to Pre-Dispute Clauses Minimum Standards of Procedural Fairness
    • Optional Arbitration Appeal Procedure
  • Class Action
    • Class Action Procedures
  • Construction
    • Engineering and Construction Arbitration Rules & Procedures
    • Engineering and Construction Arbitration Rules & Procedures (Expedited)
    • Surety Adjudication Dispute Resolution Rules
  • Employment
    • Employment Arbitration Rules & Procedures
    • Policy on Employment Arbitration Minimum Standards of Procedural Fairness
  • International
    • International Arbitration Rules
      • Efficiency Guidelines for the Pre-Hearing Phase of International Arbitrations
      • Guidelines for Use of Clerks and Tribunal Secretaries in Arbitrations
    • International Mediation Rules
    • EU-U.S. Privacy Shield and U.S.-Swiss Safe Harbor Program Information
      • File An EU-U.S. Privacy Shield or Safe Harbor Claim

 

 

 

 

 

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES CLAUSES

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Clause Workbook

A Guide to Drafting Dispute Resolution Clauses for Commercial Contracts

 

In today's competitive marketplace, most companies either cannot afford or do not wish to incur the time, expense and adverse business consequences of traditional litigation. Unfortunately, in every business relationship there is the potential for conflict over contractual agreements or business operations. When such conflicts arise, there is no need to incur the onerous expense and delays involved in traditional litigation. There are readily available alternative dispute resolution procedures that will enable you to resolve your disputes relatively quickly, fairly and cost-effectively.

Planning is the key to avoiding the adverse effects of litigation. The optimal time for businesses to implement strategies for avoidance of those adverse effects is before any dispute arises. We at ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES recommend, therefore, that whenever you negotiate or enter into a contract, you should carefully consider and decide on the procedures that will govern the resolution of any disputes that may arise in the course of the contractual relationship. By doing this before any dispute arises, you avoid the difficulties of attempting to negotiate dispute resolution procedures when you are already in the midst of a substantive dispute that may have engendered a lack of trust on both sides.

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES offers sample dispute resolution clauses that may be inserted into a contract prior to any dispute ever arising. These sample dispute resolution clauses are set forth and, in some cases, briefly discussed inside.


By suggesting the contract language contained in this Guide, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES is in no way offering legal advice. Rather, the legal effect of the clauses in question should be weighed by the parties in the specific context of whatever law is applicable.

 

»

Standard Arbitration Clauses
 

»

Resolution Prior to Arbitration
 

»

Arbitrator Qualifications
 

»

Party-Appointed Arbitrators
 

»

Confidentiality
 

»

Governing Law
 

»

Punitive Damages
 

»

Limitation of Liability
 

»

Fees and Costs to Prevailing Party
 

»

Appeal
 

»

Measures to Enhance Arbitration Efficiency - ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Optional Expedited Arbitration Procedures
 

»

More Limited Efficiency-Enhancing Provisions
 

 



STANDARD ARBITRATION CLAUSES

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES has standard clauses separately providing for submission of domestic and international disputes to arbitration. While these clauses set forth no details as to procedures to be followed in connection with any such arbitrations, they provide a simple means of assuring that any future dispute will be arbitrated. An additional benefit is that it is sometimes easier for contracting parties to agree to simple, straightforward clauses than to some of the more complex provisions that are set forth in subsequent sections of this Guide. The standard ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES clauses are set forth below.

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Standard Arbitration Clause for Domestic Commercial Contracts

Any dispute, claim or controversy arising out of or relating to this Agreement or the breach, termination, enforcement, interpretation or validity thereof, including the determination of the scope or applicability of this agreement to arbitrate, shall be determined by arbitration in [insert the desired place of arbitration] before [one/three] arbitrator(s). The arbitration shall be administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES pursuant to its Comprehensive Arbitration Rules and Procedures [and in accordance with the Expedited Procedures in those Rules] [or pursuant to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS' Streamlined Arbitration Rules and Procedures]. Judgment on the Award may be entered in any court having jurisdiction. This clause shall not preclude parties from seeking provisional remedies in aid of arbitration from a court of appropriate jurisdiction.



ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Standard Arbitration Clause for International Commercial Contracts

Any dispute, controversy or claim arising out of or relating to this contract, including the formation, interpretation, breach or termination thereof, including whether the claims asserted are arbitratable, will be referred to and finally determined by arbitration in accordance with the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES International Arbitration Rules. The Tribunal will consist of [three arbitrators/one arbitrator]. The place of arbitration will be [location]. The language to be used in the arbitral proceedings will be [language]. Judgment upon the award rendered by the arbitrator(s) may be entered in any court having jurisdiction thereof.


RESOLUTION PRIOR TO ARBITRATION

It is common practice for a contract clause to provide for negotiation and/or mediation in advance of arbitration. Such clauses represent the most cost-effective means of resolving a dispute because they often lead to an early settlement. Unless drafted with care, however, such clauses can also have negative side effects since they can be a vehicle for delay and can result in required but empty negotiations where one or all parties have no intention of moving toward a settlement. In ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS' experience, such downsides can be greatly minimized by setting strict deadlines marking the early ends of the negotiation and mediation periods.

Clause Providing for Negotiation in Advance of Arbitration

  1. The parties shall attempt in good faith to resolve any dispute arising out of or relating to this Agreement promptly by negotiation between executives who have authority to settle the controversy and who are at a higher level of management than the persons with direct responsibility for administration of this Agreement. Any party may give the other party written notice of any dispute not resolved in the normal course of business. Within 15 days after delivery of the notice, the receiving party shall submit to the other a written response. The notice and response shall include with reasonable particularity (a) a statement of each party's position and a summary of arguments supporting that position, and (b) the name and title of the executive who will represent that party and of any other person who will accompany the executive. Within 30 days after delivery of the notice, the executives of both parties shall meet at a mutually acceptable time and place.
  2. Unless otherwise agreed in writing by the negotiating parties, the above-described negotiation shall end at the close of the first meeting of executives described above ("First Meeting"). Such closure shall not preclude continuing or later negotiations, if desired.
  3. All offers, promises, conduct and statements, whether oral or written, made in the course of the negotiation by any of the parties, their agents, employees, experts and attorneys are confidential, privileged and inadmissible for any purpose, including impeachment, in arbitration or other proceeding involving the parties, provided that evidence that is otherwise admissible or discoverable shall not be rendered inadmissible or non-discoverable as a result of its use in the negotiation.
  4. At no time prior to the First Meeting shall either side initiate an arbitration or litigation related to this Agreement except to pursue a provisional remedy that is authorized by law or by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules or by agreement of the parties. However, this limitation is inapplicable to a party if the other party refuses to comply with the requirements of Paragraph 1 above.
  5. All applicable statutes of limitation and defenses based upon the passage of time shall be tolled while the procedures specified in Paragraphs 1 and 2 above are pending and for 15 calendar days thereafter. The parties will take such action, if any, required to effectuate such tolling.


Clause Providing for Mediation in Advance of Arbitration

If the matter is not resolved by negotiation pursuant to paragraphs above, then the matter will proceed to mediation as set forth below.



Or in the Alternative

if the parties do not wish to negotiate in advance of arbitration, but do wish to mediate before proceeding to arbitration, they may accomplish this through use of the following language:

  1. The parties agree that any and all disputes, claims or controversies arising out of or relating to this Agreement shall be submitted to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, or its successor, for mediation, and if the matter is not resolved through mediation, then it shall be submitted to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, or its successor, for final and binding arbitration pursuant to the clause set forth in Paragraph 5 below.
  2. Either party may commence mediation by providing to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and the other party a written request for mediation, setting forth the subject of the dispute and the relief requested.
  3. The parties will cooperate with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and with one another in selecting a mediator from the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES panel of neutrals and in scheduling the mediation proceedings. The parties agree that they will participate in the mediation in good faith and that they will share equally in its costs.
  4. All offers, promises, conduct and statements, whether oral or written, made in the course of the mediation by any of the parties, their agents, employees, experts and attorneys, and by the mediator or any ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES employees, are confidential, privileged and inadmissible for any purpose, including impeachment, in any arbitration or other proceeding involving the parties, provided that evidence that is otherwise admissible or discoverable shall not be rendered inadmissible or non-discoverable as a result of its use in the mediation.
  5. Either party may initiate arbitration with respect to the matters submitted to mediation by filing a written demand for arbitration at any time following the initial mediation session or at any time following 45 days from the date of filing the written request for mediation, whichever occurs first ("Earliest Initiation Date"). The mediation may continue after the commencement of arbitration if the parties so desire.
  6. At no time prior to the Earliest Initiation Date shall either side initiate an arbitration or litigation related to this Agreement except to pursue a provisional remedy that is authorized by law or by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules or by agreement of the parties. However, this limitation is inapplicable to a party if the other party refuses to comply with the requirements of Paragraph 3 above.
  7. All applicable statutes of limitation and defenses based upon the passage of time shall be tolled until 15 days after the Earliest Initiation Date. The parties will take such action, if any, required to effectuate such tolling.

Appointment of an Emergency Arbitrator

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Comprehensive Rules provide for the appointment of an Emergency Arbitrator to address and decide a request for emergency relief. (See Comprehensive Rule 2(c).) If the parties to the Agreement do not wish to have this procedure available, they must opt out in their arbitration agreement or by written agreement later.

ARBITRATOR QUALIFICATIONS

It is common for a contract clause to require that one or more of the arbitrators have certain specified qualifications. In drafting such a provision, care should be taken that such necessary qualifications not be too detailed and specific since a highly detailed list of required qualifications can significantly narrow the number of available, competent and qualified arbitrators.

Specification of arbitrator qualifications often works best in the context of a three-arbitrator panel since it is possible in that setting to require that one of the panelists have a certain technical expertise without limiting the entire panel to so narrow an area of experience. In this way, it is possible to ensure that the desired technical expertise is represented on the panel while at the same time assuring that the chair of the panel has extensive experience in the entire arbitration process.

If the arbitration is to be conducted by a sole arbitrator, the contract clause might provide that the arbitrator must be:

  1. A retired judge from a particular court; or
  2. A lawyer with 10 years of active practice in a specified area, such as construction or computer technology.

If the arbitration is to be handled by a three-arbitrator panel, the contract clause might provide:

  1. That the Chair be an attorney with at least 20 years of active litigation experience; or
  2. That the Chair be a retired judge from a particular court; or
  3. That one of the wing arbitrators be an expert in an area such as construction or be an accountant or a particular type of engineer; or
  4. That the Chair must previously have served as Chair or sole arbitrator in at least 10 arbitrations where an award was rendered following a hearing on the merits.

Note: The foregoing are just examples. The point is that the qualifications of the arbitrator(s) should be considered at the time when the contract clause is drafted.


PARTY-APPOINTED ARBITRATORS

It is a common practice for each side to appoint an arbitrator and for the two party-appointed arbitrators to then appoint the Chair of the panel. Rule 7(c) of the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Comprehensive Arbitration Rules and Procedures ("ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Arbitration Rules") requires that party-appointed arbitrators "shall be neutral and independent of the appointing Party unless the Parties have agreed that they shall be non-neutral." Set forth below is a clause that effectively provides for party-appointed arbitrators:

Within 15 days after the commencement of arbitration, each party shall select one person to act as arbitrator, and the two so selected shall select a third arbitrator within 30 days of the commencement of the arbitration. If the arbitrators selected by the parties are unable or fail to agree upon the third arbitrator within the allotted time, the third arbitrator shall be appointed by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES in accordance with its rules. All arbitrators shall serve as neutral, independent and impartial arbitrators.


Optional

Each party shall communicate its choice of a party-appointed arbitrator only to the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Case Manager in charge of the filing. Neither party is to inform any of the arbitrators as to which of the parties may have appointed them.


CONFIDENTIALITY

Rule 26 of the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Arbitration Rules provides that ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and the arbitrator(s) must maintain the confidentiality of the arbitration proceeding. If it is desired that the parties should also maintain the confidentiality of the proceeding, this can be accomplished with the following language:

The parties shall maintain the confidential nature of the arbitration proceeding and the Award, including the Hearing, except as may be necessary to prepare for or conduct the arbitration hearing on the merits, or except as may be necessary in connection with a court application for a preliminary remedy, a judicial challenge to an Award or its enforcement, or unless otherwise required by law or judicial decision.


GOVERNING LAW

In Volt Information Sciences, Inc. v. Board of Trustees of the Leland Stanford Junior University, 489 U.S. 468 (1989), the U.S. Supreme Court held that the Federal Arbitration Act ("FAA") did not preempt the California Arbitration Act in an interstate dispute where the parties agreed that their contract would be governed by California law. Thus, if the parties wish to ensure that the FAA will apply, regardless of the law that they have specified to govern on substantive issues, the arbitration clause should so provide as follows:

This Agreement and the rights of the parties hereunder shall be governed by and construed in accordance with the laws of the State of _______, exclusive of conflict or choice of law rules.

The parties acknowledge that this Agreement evidences a transaction involving interstate commerce. Notwithstanding the provision in the preceding paragraph with respect to applicable substantive law, any arbitration conducted pursuant to the terms of this Agreement shall be governed by the Federal Arbitration Act (9 U.S.C., Secs. 1-16).


PUNITIVE DAMAGES

It is not entirely clear whether punitive damages can or cannot be awarded where the dispute resolution clause makes no mention of such damages. See Garity v. Lyle Stuart, Inc., 40 N.Y.2d 354 (1976); Mastrobuono v. Shearson Lehman Hutton, 514 U.S. 52 (1995). Thus, if the parties wish to preclude the arbitrator(s) from awarding punitive damages, they should include specific language to that effect in the dispute resolution clause. The following language accomplishes that purpose:

In any arbitration arising out of or related to this Agreement, the arbitrator(s) are not empowered to award punitive or exemplary damages, except where permitted by statute, and the parties waive any right to recover any such damages.1


LIMITATION OF LIABILITY

In any arbitration arising out of or related to this Agreement, the arbitrator(s) may not award any incidental, indirect or consequential damages, including damages for lost profits.2


FEES AND COSTS TO PREVAILING PARTY

A "prevailing party" clause such as the following tends to discourage frivolous claims, counterclaims and defenses, as well as scorched earth discovery, in an arbitration:

In any arbitration arising out of or related to this Agreement, the arbitrator(s) shall award to the prevailing party, if any, the costs and attorneys' fees reasonably incurred by the prevailing party in connection with the arbitration.

If the arbitrator(s) determine a party to be the prevailing party under circumstances where the prevailing party won on some but not all of the claims and counterclaims, the arbitrator(s) may award the prevailing party an appropriate percentage of the costs and attorneys' fees reasonably incurred by the prevailing party in connection with the arbitration.


APPEAL

In Hall Street Associates v. Mattel Inc., the U.S. Supreme Court held that grounds for a court's vacating an arbitration award under the Federal Arbitration Act ("FAA") are limited to the unlikely occurrences specified in the FAA, such as "evident partiality," "fraud," "corruption," refusing to hear "pertinent and material" evidence, and acts exceeding the powers of the arbitrators.

Despite Hall Street, the option still remains for parties to appeal to a second panel of arbitrators (as opposed to a court) on the basis of traditional legal principles. One such approach that achieves this goal is set forth in the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Optional Appeal Procedure ("Appeal Procedure"), which permits a meaningful, cost-effective, expeditious appeal based on the same legal principles as would have pertained in an appeal following a trial before a court or jury. More particularly, the Appeal Procedure provides:

  • That an appeal may be taken to a separate panel of three ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrators (or a single arbitrator if the parties so agree).
  • That the standard of review will be the "same standard…that the first-level appellate court in the jurisdiction would apply to an appeal from the trial court decision."
  • That a decision will be rendered within 21 days of oral argument or service of final briefs, which will not exceed 25 double-spaced pages.

In order to incorporate the above-described appeal into an arbitration, one need only provide in the dispute resolution clause of a commercial contract that:

The Parties adopt and agree to implement the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Optional Arbitration Appeal Procedure (as it exists on the effective date of this Agreement) with respect to any final award in an arbitration arising out of or related to this Agreement.


MEASURES TO ENHANCE ARBITRATION EFFICIENCY –
ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICESOPTIONAL EXPEDITED ARBITRATION PROCEDURES

In recent years, there has been mounting criticism that arbitration has become so costly and time-consuming that the distinction between arbitration and court litigation has become blurred. In response, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES acted on January 6, 2010 to adopt Recommended Arbitration Discovery Protocols for Domestic Commercial Cases ("ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Discovery Protocols"), and on October 1, 2010, it amended the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Arbitration Rules to add Rules 16.1 and 16.2.

Rules 16.1 and 16.2 set forth expedited arbitration procedures that may be incorporated in the dispute resolution clause in the parties' commercial contract or in a post-dispute submission to Arbitration. Many of the changes effected by the expedited procedures are based on the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Discovery Protocols. They include:

  • A requirement that prior to the first preliminary conference, the parties produce documents pursuant to Rule 17(a) of the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Arbitration Rules.
  • Limiting document requests to documents that: (i) are directly relevant to the matters in issue in the case or to the case's outcome; (ii) are reasonably restricted in terms of time frame, subject matter and persons or entities to which the requests pertain; and (iii) do not include broad phraseology, such as "all documents directly or indirectly related to."
  • Limiting E-Discovery as suggested in the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Discovery Protocols.
  • Limiting depositions of percipient witnesses to one per side unless it is determined, based on the factual context of the arbitration, that more depositions are warranted. In making any such determination, the Arbitrator shall apply the criteria set forth in the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Discovery Protocols.
  • Limiting expert depositions, if any, as follows: Where expert reports are produced to the other side in advance of the hearing on the merits, expert depositions may be allowed only by agreement of the parties or by order of the Arbitrator for good cause shown.
  • Requiring the resolution of discovery disputes on an expedited basis.
  • Setting a discovery cutoff not to exceed 90 days after the first preliminary conference for percipient discovery and not to exceed 105 days for expert discovery, if any.
  • Eliminating the use of dispositive motions except as allowed by the Arbitrator applying the criteria set forth in the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Discovery Protocols.
  • Mandating that the hearing on the merits be held on consecutive business days unless otherwise agreed by the parties or ordered by the Arbitrator
  • Requiring the hearing to commence within 60 days after the cutoff for percipient discovery. This will typically get a case to hearing no more than 135 days after the first preliminary conference.


If parties wish the complete benefit of Rules 16.1 and 16.2, they can accomplish this by including the following language in the dispute resolution clause of their contract:

Any arbitration arising out of or related to this Agreement shall be conducted in accordance with the expedited procedures set forth in the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Comprehensive Arbitration Rules and Procedures as those Rules exist on the effective date of this Agreement, including Rules 16.1 and 16.2 of those Rules


MORE LIMITED EFFICIENCY-ENHANCING PROVISIONS

In certain instances, parties may wish to include in their dispute resolution clauses language that is not as comprehensive as that suggested in Rules 16.1 and 16.2, but that will nonetheless facilitate the efficient conduct of any arbitration arising under the Agreement. Examples of such efficiency-enhancing clauses are set forth below.

Document Requests

In any arbitration arising out of or related to this Agreement, requests for documents:

  1. Shall be limited to documents which are directly relevant to significant issues in the case or to the case's outcome;
  2. Shall be restricted in terms of time frame, subject matter and persons or entities to which the requests pertain; and
  3. Shall not include broad phraseology such as "all documents directly or indirectly related to." (See ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Discovery Protocols; ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Arbitration Rule 16.2).


E-Discovery

In any arbitration arising out of or related to this Agreement:

  1. There shall be production of electronic documents only from sources used in the ordinary course of business. Absent a showing of compelling need, no such documents are required to be produced from backup servers, tapes or other media.
  2. Absent a showing of compelling need, the production of electronic documents shall normally be made on the basis of generally available technology in a searchable format which is usable by the party receiving the e-documents and convenient and economical for the producing party. Absent a showing of compelling need, the parties need not produce metadata, with the exception of header fields for email correspondence.
  3. The description of custodians from whom electronic documents may be collected shall be narrowly tailored to include only those individuals whose electronic documents may reasonably be expected to contain evidence that is material to the dispute.
  4. Where the costs and burdens of e-discovery are disproportionate to the nature of the dispute or to the amount in controversy, or to the relevance of the materials requested, the arbitrator will either deny such requests or order disclosure on condition that the requesting party advance the reasonable cost of production to the other side, subject to the allocation of costs in the final award. (See ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Discovery Protocols; ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Arbitration Rule 16.2).


Interrogatories and Requests to Admit

In any arbitration arising out of or related to this Agreement, there shall be no interrogatories or requests to admit.


Depositions

In international arbitrations, the prevailing practice is that depositions are not permitted. But it also is true in international arbitrations that written witness statements are normally used in lieu of oral direct testimony and that these written statements are exchanged well in advance of the hearing on the merits. This procedure can go far in obviating any need for depositions.

In domestic commercial arbitrations, limited depositions of key witnesses can significantly shorten cross-examination and shorten the hearing on the merits. This is the reason why ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Comprehensive Arbitration Rule 17(a) provides that each party may take one deposition of another party and may apply to take additional depositions, if deemed necessary.

If not carefully controlled, however, depositions in domestic arbitration can become extremely expensive, wasteful and time-consuming. The following language in a dispute resolution clause of a domestic agreement can enable the parties to enjoy the benefits of depositions while at the same time keeping them well under control:

In any arbitration arising out of or related to this Agreement, each side may take three (3)* discovery depositions. Each side's depositions are to consume no more than a total of fifteen (15)* hours. There are to be no speaking objections at the depositions, except to preserve privilege. The total period for the taking of depositions shall not exceed six (6)* weeks.

Note: The asterisked numbers can of course be changed to comport with the particular circumstances of each case. See ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Discovery Protocols; ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Arbitration Rule 16.2.


Dispositive Motions

In arbitration, "dispositive" motions can cause significant delay and unduly prolong the discovery period. Such motions are commonly based on lengthy briefs and recitals of facts and, after much time, labor and expense, are generally denied on the grounds that they raise issues of fact and are inconsistent with the spirit of arbitration. On the other hand, dispositive motions can sometimes enhance the efficiency of the arbitration process if directed to discrete legal issues, such as statute of limitations or defenses based on clear contractual provisions. In such circumstances, an appropriately framed dispositive motion can eliminate the need for expensive and time-consuming discovery.

The issue of dispositive motions can be effectively addressed in the dispute resolution clause by inclusion of the following language:

In any arbitration arising out of or related to this Agreement:

  1. Any party wishing to make a dispositive motion shall first submit a brief letter (not exceeding five pages) explaining why the motion has merit and why it would speed the proceeding and make it more cost-effective. The other side shall have a brief period within which to respond.
  2. Based on the letters, the arbitrator will decide whether to proceed with more comprehensive briefing and argument on the proposed motion.
  3. If the arbitrator decides to go forward with the motion, he/she will place page limits on the briefs and set an accelerated schedule for the disposition of the motion.
  4. Under ordinary circumstances, the pendency of such a motion will not serve to stay any aspect of the arbitration or adjourn any pending deadlines.

Deadlines for Completion of Arbitration and Interim Phases

The following time limits are to apply to any arbitration arising out of or related to this Agreement:

  • Discovery is to be completed within ___ days of the service of the arbitration demand.
  • The evidentiary hearing on the merits ("Hearing") is to commence within ___ days of the service of the arbitration demand.
  • At the Hearing, each side is to be allotted ___ days for presentation of direct evidence and for cross examination.
  • A brief, reasoned award is to be rendered within 45 days of the close of the Hearing or within 45 days of service of post-hearing briefs if the arbitrator(s) direct the service of such briefs.

The arbitrator(s) must agree to the foregoing deadlines before accepting appointment.

Failure to meet any of the foregoing deadlines will not render the award invalid, unenforceable or subject to being vacated. The arbitrator(s), however, may impose appropriate sanctions and draw appropriate adverse inferences against the party primarily responsible for the failure to meet any such deadlines.


1 Article 30.2 of the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES International Arbitration Rules and Procedures already precludes an award of punitive damages "unless the parties agree otherwise…[or] unless a statute requires that compensatory damages be increased in a specified manner."

2 The law related to limitation of liability clauses varies significantly from jurisdiction to jurisdiction. Parties wishing to include such a clause in a contract should check the applicable law before doing so.


ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES is the largest private alternative dispute resolution provider in the world. With its prestigious panel of neutrals, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES specializes in mediating and arbitrating complex, multi-party, business/commercial cases – those in which the choice of neutral is crucial.

 

 

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Construction Clauses

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Standard Arbitration Clauses Referring to the
ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Engineering and Construction Arbitration Rules

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES provides arbitration and mediation services from Resolution Centers located throughout the United States. Its arbitrators and mediators hear and resolve some of the nation’s largest, most complex and contentious disputes, utilizing ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules & Procedures as well as the rules of other domestic and international arbitral institutions.

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrators and mediators are full-time neutrals who come from the ranks of retired state and federal judges and prominent attorneys. These highly trained and experienced ADR professionals are dedicated to the highest ethical standards of conduct.

Parties wishing to write a pre-dispute ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitration clause into their agreement should review the sample arbitration clauses below. These clauses may be modified to tailor the arbitration process to meet the parties’ individual needs.

Standard Engineering and Construction Arbitration Clause*

Any dispute, claim or controversy arising out of or relating to this Agreement or the breach, termination, enforcement, interpretation or validity thereof, including the determination of the scope or applicability of this agreement to arbitrate, shall be determined by arbitration in (insert the desired place of arbitration), before (one) (three) arbitrator(s). The arbitration shall be administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES pursuant to its (Engineering and Construction Arbitration Rules & Procedures) (Engineering and Construction Arbitration Rules & Procedures for Expedited Arbitration). Judgment on the Award may be entered in any court having jurisdiction. This clause shall not preclude parties from seeking provisional remedies in aid of arbitration from a court of appropriate jurisdiction.

(Optional) Allocation of Fees and Costs: The arbitrator may, in the Award, allocate all or part of the costs of the arbitration, including the fees of the arbitrator and the reasonable attorneys’ fees of the prevailing party.

Sometimes contracting parties may want their agreement to allow a choice of provider organizations (ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES being one) that can be used if a dispute arises. The following clause permits a choice between ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES or another provider organization at the option of the first party to file the arbitration.

Standard Engineering and Construction Arbitration Clause Naming ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES or Another Provider*

Any dispute, claim or controversy arising out of or relating to this Agreement or the breach, termination, enforcement, interpretation or validity thereof, including the determination of the scope or applicability of this agreement to arbitrate, shall be determined by arbitration in (insert the desired place of arbitration), before (one) (three) arbitrator(s). At the option of the first to commence an arbitration, the arbitration shall be administered either by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES pursuant to its (Engineering and Construction Arbitration Rules & Procedures) (Engineering and Construction Arbitration Rules & Procedures for Expedited Arbitration), or by (name an alternate provider) pursuant to its (identify the rules that will govern). Judgment on the Award may be entered in any court having jurisdiction. This clause shall not preclude parties from seeking provisional remedies in aid of arbitration from a court of appropriate jurisdiction.

(Optional) Allocation of Fees and Costs: The arbitrator may, in the Award, allocate all or part of the costs of the arbitration, including the fees of the arbitrator and the reasonable attorneys’ fees of the prevailing party.

*The drafter should select the desired option from those provided in the parentheses.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Construction Project Neutral Clause


Alternative Dispute Resolution 

1.  Design and Construction Phase

     a. Project Neutral 

    The Owner, Architect and Contractor (collectively, the “Parties”) shall agree to the selection of one or more Project Neutral(s) for the Project. The Project Neutral(s) shall be experienced both in the design and construction of major real estate developments as well as the mediation of design and construction disputes. The Parties shall select the Project Neutral(s) from among the members of the construction panel of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES or from other panels as mutually agreed to by the Parties.

    The Project Neutral(s), in close consultation with all parties involved in a given dispute (the “Involved Parties”), shall assist in resolving any disputes, claims, or other controversies that might arise from the commencement of design through issuance of the final certificate of occupancy and acceptance of the Project by the Owner. The Project Neutral(s) shall have no adjudicatory authority and, therefore, shall act solely as a mediator in working with the Involved Parties.

    If requested in writing by the Involved Parties, the Project Neutral(s) shall attend the regular job meetings at the site of the Project. Also, if requested by the Involved Parties, the Project Neutral(s) shall: (1) attempt to be available to attend any specific job-related meeting, and (2) attempt to be available to confer or meet with any Involved Party or Parties if so requested.

    If the services of the Project Neutral(s) are retained, they shall be provided on an hourly basis and the cost shall be borne in equal parts by the Involved Parties which may include the Owner, Architect, Contractor, and any other necessary parties, including, but not limited to, consultants, subcontractors, sub-subcontractors, and suppliers (collectively, “Subcontractors”) except as agreed to in writing between any Subcontractor and the parties.

    The confidentiality of any discussion involving the Project Neutral(s) shall be protected by all applicable statutes and case law with respect to mediation.

    The term of service by the Project Neutral(s) shall end when the design and construction phases of the Project are complete. The Project Neutral(s) may be involved in subsequent dispute resolution negotiations or proceedings under the terms and conditions set forth herein.

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Employment Clauses

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Guide to Dispute Resolution
for Employment Programs and
Sample Clause Language

 


 

Introduction

Employment law is one of the fastest developing areas of law in the United States today. Claims involving allegations of harassment and discrimination have changed the practices of most companies and their policies regarding employee relations. The cost, publicity, delay and disruption that result from litigation have sharply increased the use of alternative methods for identifying and resolving potentially harmful disputes.

Many disputes in the workplace can be resolved in their early stages by companies designing and implementing employee dispute resolution programs. Such programs typically establish sequential processes progressing from non-binding to binding steps.

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES has been a leader in alternative dispute resolution (ADR) for 35 years. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES is dedicated to ensuring that both our administrative and professional practices are sensitive to all parties’ needs, and meet fairness standards established under applicable law. To that end, any employment matter referred to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES as a result of a mandatory pre-dispute clause must first be reviewed by our employment experts before administration begins to ensure compliance with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Minimum Standards of Procedural Fairness. If an arbitration clause or procedure does not comply, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will notify the employer that the arbitration demand will not be accepted unless there is full compliance with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS’ Minimum Standards.

For more information, the following materials are posted on the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES website at www.ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMSadr.com: ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Employment Arbitration Rules & Procedures; ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Policy on Employment Arbitration Minimum Standards of Procedural Fairness.

What to Consider When Drafting an Employment Dispute Resolution Program

The outline below is provided as a basic guide for companies considering an employment dispute resolution program. At the end of the outline are two sample clauses. This information is not comprehensive and should not be construed as legal advice or a legal opinion regarding the use of alternative dispute resolution in a particular employment dispute or program. We recommend that you consult experienced counsel for advice. States may have specific requirements related to employment arbitration and you should make certain to remain apprised of applicable case law in your jurisdiction.

Step One: INTERNAL MECHANISMS

Consider the internal mechanisms for resolving conflict in the workplace that are consistent with your company’s culture, resources and needs. Such mechanisms may include:

  • Corporate Ombudsperson
  • Peer Review Board made up of fellow employees, facilitated by neutral management, HR person or other professional
  • Employee Hotline
  • Open Door Policy
  • Progressive Management Review at successive levels within the organization until the problem is resolved
  • Progressive Joint Management/Employee Review at successive levels within the organization until the problem is resolved

Properly communicated and administered, internal mechanisms can be very effective in resolving disputes at an early stage.

Step Two: EXTERNAL MECHANISMS

Consider the external mechanisms for resolving conflict in the workplace that are consistent with your company. Those may include:

  • External Ombudsperson: A process in which a trained mediator who is neither a retired judge nor a lawyer facilitates communication between employee and management or HR representative.
  • Neutral Fact Finding: An independent investigation conducted by a neutral, outside resource who can provide a written report of findings which may include recommendations regarding the situation under investigation.
  • Mediation: A confidential process in which the parties are assisted by a neutral mediator who helps them to negotiate resolution of their dispute. Mediation is a non-binding procedure.  However, once an agreement has been reached and documented, it is binding on the parties and can be enforced.
  • Early Neutral Evaluation (ENE): A process in which both parties present the facts of their case to a neutral for a non-binding written evaluation and recommendation.
  • Arbitration*: A process in which a neutral third party arbitrator hears parties' arguments and issues a written award which can be entered as an enforceable judgment.

* State and Federal laws may affect the use of arbitration in pre-dispute employment programs/contracts. It is recommended that you consult experienced counsel for advice.

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES encourages the use of mediation and of voluntary arbitration that is not a condition of initial or continued employment. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES does not take a position on the enforceability of condition-of-employment arbitration clauses. If courts rule definitively that such clauses are unenforceable, or if laws or regulations proscribe their use, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will comply with the rulings or laws in the applicable cases or jurisdiction. Absent such proscriptions, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES accepts arbitration assignments based on condition-of-employment clauses provided the Minimum Standards are met, but does not encourage the use of such clauses. 

Step Three: DESIGN

  1. Consider who should be involved in the design, implementation and communication of the program to ensure success and appropriate use of the program: Employees, Management, Human Resource Professionals, General Counsel, outside counsel, outside neutral consultants, etc.
  2. Consider who will finalize and approve the program (e.g., Senior Management, CEO, COO, CFO, General Counsel, Committee of all including employees, etc.)
  3. Consider which employees should be covered by the program and whether the program should be mandatory or voluntary.
  4. Consider which disputes should be included or excluded at any internal or external step of the program. Define the timeline between all internal and external steps of the program.
  5. Consider whether a Pilot Program should be used to test the program. If so, determine:
    • Duration of Pilot
    • Location of Pilot
    • How results will be evaluated

Step Four: IMPLEMENTATION

  1. Decide on an institutional dispute resolution services provider (e.g., ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS) for the external steps to the dispute resolution program. Many companies name more than one provider and allow the employee to choose the institution at the time the external step is necessary. If arbitration is to be included in the program, it is recommended that the company specify which arbitration rules and procedures will apply. Naming the institutional service provider ensures that the external steps are self-executing.
  2. Notify the institutional provider so they may streamline program administration.
  3. Once the program is finalized, determine the date the program will go into effect and how the program will be tracked and administered for both the internal and external steps. Consider how the fees for the external steps should be allocated between employee and employer and explain this in the program description. (See ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Minimum Standards of Procedural Fairness.)
  4. Consider the procedures by which the program will be communicated to the employees (memorandum, employee handbook, initial job application, etc.) and the ways in which employees shall convey their consent. The program should be fully described and the procedures for accessing the program should be clearly articulated in a step-by-step guide to both employees and management including forms, phone numbers and who to contact with questions, etc. Consider including Evaluation Forms at each internal and external step so that the effectiveness of the program and the individual steps can be monitored and modified, if necessary. In addition, some jurisdictions may require the employer to provide the employee with a copy of the applicable arbitration rules.  If applicable, consider how to comply with such requirements.
  5. Conflict management training and an overview of all ADR processes should be considered for all levels of management.

Sample Clauses for Use in Employment Dispute Resolution Programs and Contracts

The following are basic sample clauses providing for mediation or arbitration in an employment contract. A variety of issues may affect the enforceability or effectiveness of these sample clauses, therefore it is recommended that you review applicable law in your jurisdiction and consult experienced counsel for advice. The information contained herein should not be considered legal advice or legal opinion. For information about naming ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES in your program or setting a case, call your local ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES office at 1.800.352.5267.

Sample clause for mediation only:

Any controversy, dispute or claim arising out of or relating to this [contract] or breach thereof shall first be settled through good faith negotiation [OR company employment program] [other]. If the dispute cannot be settled through negotiation [OR company employment program] [other], the parties agree to attempt in good faith to settle the dispute by mediation administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS.

Sample clause for mediation and arbitration:

Any controversy, dispute or claim arising out of or relating to this [contract] or breach thereof shall first be settled through good faith negotiation [OR company employment program] [other]. If the dispute cannot be settled through negotiation [OR company employment program] [other], the parties agree to attempt in good faith to settle the dispute by mediation administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS. If the parties are unsuccessful at resolving the dispute through mediation, the parties agree to arbitration administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES pursuant to its Employment Arbitration Rules & Procedures and subject to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Policy on Employment Arbitration Minimum Standards of Procedural Fairness. Judgment on the Award may be entered in any court having jurisdiction.

Optional Additional Provisions For Employment Clauses

Mediation

  • Define Process for Mediator Selection
  • Mediator Qualifications
  • Define Timeline by which parties must agree to a Mediator
  • Define default mechanism and timeline by which
  • Mediator will be appointed if parties cannot agree
  • Confidentiality
  • Location of Mediation
  • Written Submission of Briefs or Position Statements

Arbitration

  • Define Process for Arbitrator Selection
  • Number of Arbitrators
  • Party-Appointed Arbitrators
  • Arbitrator Qualifications
  • Binding/Non-binding or Split (Binding on the company, non-binding on the employee)
  • Location of Arbitration Proceeding
  • Timelines
  • Confidentiality
  • Fee Allocation

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Comprehensive Arbitration Rules & Procedures


 

 

Rule 1.

Scope of Rules

Rule 2.

Party Self-Determination and Emergency Relief Procedures

Rule 3.

Amendment of Rules

Rule 4.

Conflict with Law

Rule 5.

Commencing an Arbitration

Rule 6.

Preliminary and Administrative Matters

Rule 7.

Number and Neutrality of Arbitrators; Appointment and Authority of Chairperson

Rule 8.

Service

Rule 9.

Notice of Claims

Rule 10.

Changes of Claims

Rule 11.

Interpretation of Rules and Jurisdictional Challenges

Rule 12.

Representation

Rule 13.

Withdrawal from Arbitration

Rule 14.

Ex Parte Communications

Rule 15.

Arbitrator Selection, Disclosures and Replacement

Rule 16.

Preliminary Conference

Rule 16.1.

Application of Expedited Procedures

Rule 16.2.

Where Expedited Procedures Are Applicable

Rule 17.

Exchange of Information

Rule 18.

Summary Disposition of a Claim or Issue

Rule 19.

Scheduling and Location of Hearing

Rule 20.

Pre-Hearing Submissions

Rule 21.

Securing Witnesses and Documents for the Arbitration Hearing

Rule 22.

The Arbitration Hearing

Rule 23.

Waiver of Hearing

Rule 24.

Awards

Rule 25.

Enforcement of the Award

Rule 26.

Confidentiality and Privacy

Rule 27.

Waiver

Rule 28.

Settlement and Consent Award

Rule 29.

Sanctions

Rule 30.

Disqualification of the Arbitrator as a Witness or Party and Exclusion of Liability

Rule 31.

Fees

Rule 32.

Bracketed (or High-Low) Arbitration Option

Rule 33.

Final Offer (or Baseball) Arbitration Option

Rule 34.

Optional Arbitration Appeal Procedure

 




Rule 1. Scope of Rules

(a) The ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Comprehensive Arbitration Rules and Procedures ("Rules") govern binding Arbitrations of disputes or claims that are administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and in which the Parties agree to use these Rules or, in the absence of such agreement, any disputed claim or counterclaim that exceeds $250,000, not including interest or attorneys' fees, unless other Rules are prescribed.

(b) The Parties shall be deemed to have made these Rules a part of their Arbitration agreement ("Agreement") whenever they have provided for Arbitration by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES under its Comprehensive Rules or for Arbitration by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES without specifying any particular ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules and the disputes or claims meet the criteria of the first paragraph of this Rule.

(c) The authority and duties of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES as prescribed in the Agreement of the Parties and in these Rules shall be carried out by the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES National Arbitration Committee ("NAC") or the office of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES General Counsel or their designees.

(d) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may, in its discretion, assign the administration of Arbitration to any of its Resolution Centers.

(e) The term "Party" as used in these Rules includes Parties to the Arbitration and their counsel or representatives.

(f) "Electronic filing" (e-file) means the electronic transmission of documents to and from ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and other Parties for the purpose of filing via the Internet. "Electronic service" (e-service) means the electronic transmission of documents via ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to a Party, attorney or representative under these Rules.

Rule 2. Party Self-Determination and Emergency Relief Procedures

(a) The Parties may agree on any procedures not specified herein or in lieu of these Rules that are consistent with the applicable law and ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES policies (including, without limitation, Rules 15(i), 30 and 31). The Parties shall promptly notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES of any such Party-agreed procedures and shall confirm such procedures in writing. The Party-agreed procedures shall be enforceable as if contained in these Rules.

(b) When an Arbitration Agreement provides that the Arbitration will be non-administered or administered by an entity other than ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and/or conducted in accordance with rules other than ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules, the Parties may subsequently agree to modify that Agreement to provide that the Arbitration will be administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and/or conducted in accordance with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules.

(c) Emergency Relief Procedures. These Emergency Relief Procedures are available in Arbitrations filed and served after July 1, 2014, and where not otherwise prohibited by law. Parties may agree to opt out of these Procedures in their Arbitration Agreement or by subsequent written agreement.

(i) A Party in need of emergency relief prior to the appointment of an Arbitrator may notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and all other Parties in writing of the relief sought and the basis for an Award of such relief. This Notice shall include an explanation of why such relief is needed on an expedited basis. Such Notice shall be given by facsimile, email or personal delivery. The Notice must include a statement certifying that all other Parties have been notified. If all other Parties have not been notified, the Notice shall include an explanation of the efforts made to notify such Parties.

(ii) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall promptly appoint an Emergency Arbitrator to rule on the emergency request. In most cases the appointment of an Emergency Arbitrator will be done within 24 hours of receipt of the request. The Emergency Arbitrator shall promptly disclose any circumstance likely, on the basis disclosed in the application, to affect the Arbitrator's ability to be impartial or independent. Any challenge to the appointment of the Emergency Arbitrator shall be made within 24 hours of the disclosures by the Emergency Arbitrator. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will promptly review and decide any such challenge. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS' decision will be final.

(iii) Within two business days, or as soon as practicable thereafter, the Emergency Arbitrator shall establish a schedule for the consideration of the request for emergency relief. The schedule shall provide a reasonable opportunity for all Parties to be heard taking into account the nature of the relief sought. The Emergency Arbitrator has the authority to rule on his or her own jurisdiction and shall resolve any disputes with respect to the request for emergency relief.

(iv) The Emergency Arbitrator shall determine whether the Party seeking emergency relief has shown that immediate and irreparable loss or damage will result in the absence of emergency relief and whether the requesting Party is entitled to such relief. The Emergency Arbitrator shall enter an order or Award granting or denying the relief, as the case may be, and stating the reasons therefor.

(v) Any request to modify the Emergency Arbitrator's order or Award must be based on changed circumstances and may be made to the Emergency Arbitrator until such time as an Arbitrator or Arbitrators are appointed in accordance with the Parties' Agreement and ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS' usual procedures. Thereafter, any request related to the relief granted or denied by the Emergency Arbitrator shall be determined by the Arbitrator(s) appointed in accordance with the Parties' Agreement and ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS' usual procedures.

(vi) At the Emergency Arbitrator's discretion, any interim Award of emergency relief may be conditioned on the provision of adequate security by the Party seeking such relief.

Rule 3. Amendment of Rules

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may amend these Rules without notice. The Rules in effect on the date of the commencement of an Arbitration (as defined in Rule 5) shall apply to that Arbitration, unless the Parties have agreed upon another version of the Rules.

Rule 4. Conflict with Law

If any of these Rules, or modification of these Rules agreed to by the Parties, is determined to be in conflict with a provision of applicable law, the provision of law will govern over the Rule in conflict, and no other Rule will be affected.

Rule 5. Commencing an Arbitration

(a) The Arbitration is deemed commenced when ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES issues a Commencement Letter based upon the existence of one of the following:


(i) A post-dispute Arbitration Agreement fully executed by all Parties specifying ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES administration or use of any ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules; or

(ii) A pre-dispute written contractual provision requiring the Parties to arbitrate the dispute or claim and specifying ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES administration or use of any ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules or that the Parties agree shall be administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS; or

(iii) A written confirmation of an oral agreement of all Parties to participate in an Arbitration administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES or conducted pursuant to any ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules; or

(iv) The Respondent's failure to timely object to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES administration; or

(v) A copy of a court order compelling Arbitration at ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS.

(b) The issuance of the Commencement Letter confirms that requirements for commencement have been met, that ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES has received all payments required under the applicable fee schedule and that the Claimant has provided ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES with contact information for all Parties along with evidence that the Demand for Arbitration has been served on all Parties.

(c) If a Party that is obligated to arbitrate in accordance with subparagraph (a) of this Rule fails to agree to participate in the Arbitration process, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall confirm in writing that Party's failure to respond or participate, and, pursuant to Rule 22(j), the Arbitrator, once appointed, shall schedule, and provide appropriate notice of, a Hearing or other opportunity for the Party demanding the Arbitration to demonstrate its entitlement to relief.

(d) The date of commencement of the Arbitration is the date of the Commencement Letter but is not intended to be applicable to any legal requirements such as the statute of limitations, any contractual limitations period or claims notice requirements. The term "commencement," as used in this Rule, is intended only to pertain to the operation of this and other Rules (such as Rules 3, 13(a), 17(a) and 31(a)).

Rule 6. Preliminary and Administrative Matters

(a) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may convene, or the Parties may request, administrative conferences to discuss any procedural matter relating to the administration of the Arbitration.

(b) If no Arbitrator has yet been appointed, at the request of a Party and in the absence of Party agreement, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may determine the location of the Hearing, subject to Arbitrator review. In determining the location of the Hearing, such factors as the subject matter of the dispute, the convenience of the Parties and witnesses, and the relative resources of the Parties shall be considered.

(c) If, at any time, any Party has failed to pay fees or expenses in full, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may order the suspension or termination of the proceedings. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may so inform the Parties in order that one of them may advance the required payment. If one Party advances the payment owed by a non-paying Party, the Arbitration shall proceed, and the Arbitrator may allocate the non-paying Party's share of such costs, in accordance with Rules 24(f) and 31(c). An administrative suspension shall toll any other time limits contained in these Rules or the Parties' Agreement.

(d) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES does not maintain an official record of documents filed in the Arbitration. If the Parties wish to have any documents returned to them, they must advise ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES in writing within thirty (30) calendar days of the conclusion of the Arbitration. If special arrangements are required regarding file maintenance or document retention, they must be agreed to in writing, and ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES reserves the right to impose an additional fee for such special arrangements. Documents that are submitted for e-filing are retained for thirty (30) calendar days following the conclusion of the Arbitration.

(e) Unless the Parties' Agreement or applicable law provides otherwise, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, if it determines that the Arbitrations so filed have common issues of fact or law, may consolidate Arbitrations in the following instances:

(i) If a Party files more than one Arbitration with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may consolidate the Arbitrations into a single Arbitration.

(ii) Where a Demand or Demands for Arbitration is or are submitted naming Parties already involved in another Arbitration or Arbitrations pending under these Rules, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may decide that the new case or cases shall be consolidated into one or more of the pending proceedings and referred to one of the Arbitrators or panels of Arbitrators already appointed.

(iii) Where a Demand or Demands for Arbitration is or are submitted naming Parties that are not identical to the Parties in the existing Arbitration or Arbitrations, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may decide that the new case or cases shall be consolidated into one or more of the pending proceedings and referred to one of the Arbitrators or panels of Arbitrators already appointed.


When rendering its decision, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will take into account all circumstances, including the links between the cases and the progress already made in the existing Arbitrations.

Unless applicable law provides otherwise, where ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES decides to consolidate a proceeding into a pending Arbitration, the Parties to the consolidated case or cases will be deemed to have waived their right to designate an Arbitrator as well as any contractual provision with respect to the site of the Arbitration.

(f) Where a third party seeks to participate in an Arbitration already pending under these Rules or where a Party to an Arbitration under these Rules seeks to compel a third party to participate in a pending Arbitration, the Arbitrator shall determine such request, taking into account all circumstances he or she deems relevant and applicable.

Rule 7. Number and Neutrality of Arbitrators; Appointment and Authority of Chairperson

(a) The Arbitration shall be conducted by one neutral Arbitrator, unless all Parties agree otherwise. In these Rules, the term "Arbitrator" shall mean, as the context requires, the Arbitrator or the panel of Arbitrators in a tripartite Arbitration.

(b) In cases involving more than one Arbitrator, the Parties shall agree on, or, in the absence of agreement, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall designate, the Chairperson of the Arbitration Panel. If the Parties and the Arbitrators agree, a single member of the Arbitration Panel may, acting alone, decide discovery and procedural matters, including the conduct of hearings to receive documents and testimony from third parties who have been subpoenaed to produce documents.

(c) Where the Parties have agreed that each Party is to name one Arbitrator, the Arbitrators so named shall be neutral and independent of the appointing Party, unless the Parties have agreed that they shall be non-neutral.

Rule 8. Service

(a) The Arbitrator may at any time require electronic filing and service of documents in an Arbitration. If an Arbitrator requires electronic filing, the Parties shall maintain and regularly monitor a valid, usable and live email address for the receipt of all documents filed through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System. Any document filed electronically shall be considered as filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES when the transmission to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System is complete. Any document e-filed by 11:59 p.m. (of the sender's time zone) shall be deemed filed on that date. Upon completion of filing, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System shall issue a confirmation receipt that includes the date and time of receipt. The confirmation receipt shall serve as proof of filing.

(b) Every document filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System shall be deemed to have been signed by the Arbitrator, Case Manager, attorney or declarant who submits the document to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System, and shall bear the typed name, address and telephone number of a signing attorney. Documents containing signatures of third parties (i.e., unopposed motions, affidavits, stipulations, etc.) may also be filed electronically by indicating that the original signatures are maintained by the filing Party in paper format.

(c) Delivery of e-service documents through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to other registered users shall be considered as valid and effective service and shall have the same legal effect as an original paper document. Recipients of e-service documents shall access their documents through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System. E-service shall be deemed complete when the Party initiating e-service completes the transmission of the electronic document(s) to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System for e-filing and/or e-service. Upon actual or constructive receipt of the electronic document(s) by the Party to be served, a Certificate of Electronic Service shall be issued by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to the Party initiating e-service, and that Certificate shall serve as proof of service. Any Party who ignores or attempts to refuse e-service shall be deemed to have received the electronic document(s) 72 hours following the transmission of the electronic document(s) to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System.

(d) If an electronic filing or service does not occur because of (1) an error in the transmission of the document to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System or served Party that was unknown to the sending Party; (2) a failure to process the electronic document when received by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System; (3) the Party being erroneously excluded from the service list; or (4) other technical problems experienced by the filer, the Arbitrator or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may, for good cause shown, permit the document to be filed nunc pro tunc
to the date it was first attempted to be sent electronically. Or, in the case of service, the Party shall, absent extraordinary circumstances, be entitled to an order extending the date for any response or the period within which any right, duty or other act must be performed.

(e) For documents that are not filed electronically, service by a Party under these Rules is affected by providing one signed copy of the document to each Party and two copies in the case of a sole Arbitrator and four copies in the case of a tripartite panel to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS. Service may be made by hand-delivery, overnight delivery service or U.S. mail. Service by any of these means is considered effective upon the date of deposit of the document.

(f) In computing any period of time prescribed or allowed by these Rules for a Party to do some act within a prescribed period after the service of a notice or other paper on the Party and the notice or paper is served on the Party only by U.S. mail, three (3) calendar days shall be added to the prescribed period.

Rule 9. Notice of Claims

(a) Each Party shall afford all other Parties reasonable and timely notice of its claims, affirmative defenses or counterclaims. Any such notice shall include a short statement of its factual basis. No claim, remedy, counterclaim or affirmative defense will be considered by the Arbitrator in the absence of such prior notice to the other Parties, unless the Arbitrator determines that no Party has been unfairly prejudiced by such lack of formal notice or all Parties agree that such consideration is appropriate notwithstanding the lack of prior notice.

(b) Claimant's notice of claims is the Demand for Arbitration referenced in Rule 5. It shall include a statement of the remedies sought. The Demand for Arbitration may attach and incorporate a copy of a Complaint previously filed with a court. In the latter case, Claimant may accompany the Complaint with a copy of any Answer to that Complaint filed by any Respondent.

(c) Within fourteen (14) calendar days of service of the notice of claim, a Respondent may submit to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and serve on other Parties a response and a statement of any affirmative defenses, including jurisdictional challenges, or counterclaims it may have.

(d) Within fourteen (14) calendar days of service of a counterclaim, a Claimant may submit to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and serve on other Parties a response to such counterclaim and any affirmative defenses, including jurisdictional challenges, it may have.

(e) Any claim or counterclaim to which no response has been served will be deemed denied.

(f) Jurisdictional challenges under Rule 11 shall be deemed waived, unless asserted in a response to a Demand or counterclaim or promptly thereafter, when circumstances first suggest an issue of arbitrability.

Rule 10. Changes of Claims

After the filing of a claim and before the Arbitrator is appointed, any Party may make a new or different claim against a Party or any third party that is subject to Arbitration in the proceeding. Such claim shall be made in writing, filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and served on the other Parties. Any response to the new claim shall be made within fourteen (14) calendar days after service of such claim. After the Arbitrator is appointed, no new or different claim may be submitted, except with the Arbitrator's approval. A Party may request a hearing on this issue. Each Party has the right to respond to any new or amended claim in accordance with Rule 9(c) or (d).


Rule 11. Interpretation of Rules and Jurisdictional Challenges

(a) Once appointed, the Arbitrator shall resolve disputes about the interpretation and applicability of these Rules and conduct of the Arbitration Hearing. The resolution of the issue by the Arbitrator shall be final.

(b) Jurisdictional and arbitrability disputes, including disputes over the formation, existence, validity, interpretation or scope of the agreement under which Arbitration is sought, and who are proper Parties to the Arbitration, shall be submitted to and ruled on by the Arbitrator. The Arbitrator has the authority to determine jurisdiction and arbitrability issues as a preliminary matter.

(c) Disputes concerning the appointment of the Arbitrator shall be resolved by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS.

(d) The Arbitrator may, upon a showing of good cause or sua sponte
, when necessary to facilitate the Arbitration, extend any deadlines established in these Rules, provided that the time for rendering the Award may be altered only in accordance with Rules 22(i) or 24.

Rule 12. Representation

(a) The Parties, whether natural persons or legal entities such as corporations, LLCs or partnerships, may be represented by counsel or any other person of the Party's choice. Each Party shall give prompt written notice to the Case Manager and the other Parties of the name, address, telephone and fax numbers and email address of its representative. The representative of a Party may act on the Party's behalf in complying with these Rules.

(b) Changes in Representation. A Party shall give prompt written notice to the Case Manager and the other Parties of any change in its representation, including the name, address, telephone and fax numbers and email address of the new representative. Such notice shall state that the written consent of the former representative, if any, and of the new representative, has been obtained and shall state the effective date of the new representation. 

Rule 13. Withdrawal from Arbitration

(a) No Party may terminate or withdraw from an Arbitration after the issuance of the Commencement Letter (see Rule 5), except by written agreement of all Parties to the Arbitration.

(b) A Party that asserts a claim or counterclaim may unilaterally withdraw that claim or counterclaim without prejudice by serving written notice on the other Parties and the Arbitrator. However, the opposing Parties may, within seven (7) calendar days of service of such notice, request that the Arbitrator condition the withdrawal upon such terms as he or she may direct.

Rule 14. Ex Parte
Communications

(a) No Party may have any ex parte communication with a neutral Arbitrator, except as provided in section (b) of this Rule. The Arbitrator(s) may authorize any Party to communicate directly with the Arbitrator(s) by email or other written means as long as copies are simultaneously forwarded to the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Case Manager and the other Parties.

(b) A Party may have ex parte communication with its appointed neutral or non-neutral Arbitrator as necessary to secure the Arbitrator's services and to assure the absence of conflicts, as well as in connection with the selection of the Chairperson of the arbitral panel.

(c) The Parties may agree to permit more extensive ex parte communication between a Party and a non-neutral Arbitrator. More extensive communication with a non-neutral Arbitrator may also be permitted by applicable law and rules of ethics.

Rule 15. Arbitrator Selection, Disclosures and Replacement

(a) Unless the Arbitrator has been previously selected by agreement of the Parties, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may attempt to facilitate agreement among the Parties regarding selection of the Arbitrator.

(b) If the Parties do not agree on an Arbitrator, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall send the Parties a list of at least five (5) Arbitrator candidates in the case of a sole Arbitrator and ten (10) Arbitrator candidates in the case of a tripartite panel. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall also provide each Party with a brief description of the background and experience of each Arbitrator candidate. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may replace any or all names on the list of Arbitrator candidates for reasonable cause at any time before the Parties have submitted their choice pursuant to subparagraph (c) below.

(c) Within seven (7) calendar days of service upon the Parties of the list of names, each Party may strike two (2) names in the case of a sole Arbitrator and three (3) names in the case of a tripartite panel, and shall rank the remaining Arbitrator candidates in order of preference. The remaining Arbitrator candidate with the highest composite ranking shall be appointed the Arbitrator. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may grant a reasonable extension of the time to strike and rank the Arbitrator candidates to any Party without the consent of the other Parties.

(d) If this process does not yield an Arbitrator or a complete panel, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall designate the sole Arbitrator or as many members of the tripartite panel as are necessary to complete the panel.

(e) If a Party fails to respond to a list of Arbitrator candidates within seven (7) calendar days after its service, or fails to respond according to the instructions provided by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall deem that Party to have accepted all of the Arbitrator candidates.

(f) Entities whose interests are not adverse with respect to the issues in dispute shall be treated as a single Party for purposes of the Arbitrator selection process. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall determine whether the interests between entities are adverse for purposes of Arbitrator selection, considering such factors as whether the entities are represented by the same attorney and whether the entities are presenting joint or separate positions at the Arbitration.

(g) If, for any reason, the Arbitrator who is selected is unable to fulfill the Arbitrator's duties, a successor Arbitrator shall be chosen in accordance with this Rule. If a member of a panel of Arbitrators becomes unable to fulfill his or her duties after the beginning of a Hearing but before the issuance of an Award, a new Arbitrator will be chosen in accordance with this Rule, unless, in the case of a tripartite panel, the Parties agree to proceed with the remaining two Arbitrators. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will make the final determination as to whether an Arbitrator is unable to fulfill his or her duties and that decision shall be final.

(h) Any disclosures regarding the selected Arbitrator shall be made as required by law or within ten (10) calendar days from the date of appointment. Such disclosures may be provided in electronic format, provided that ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will produce a hard copy to any Party that requests it. The Parties and their representatives shall disclose to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES any circumstance likely to give rise to justifiable doubt as to the Arbitrator's impartiality or independence, including any bias or any financial or personal interest in the result of the Arbitration or any past or present relationship with the Parties or their representatives. The obligation of the Arbitrator, the Parties and their representatives to make all required disclosures continues throughout the Arbitration process.

(i) At any time during the Arbitration process, a Party may challenge the continued service of an Arbitrator for cause. The challenge must be based upon information that was not available to the Parties at the time the Arbitrator was selected. A challenge for cause must be in writing and exchanged with opposing Parties, who may respond within seven (7) calendar days of service of the challenge. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall make the final determination as to such challenge. Such determination shall take into account the materiality of the facts and any prejudice to the Parties. That decision will be final.

(j) Where the Parties have agreed that a Party-appointed Arbitrator is to be non-neutral, that Party-appointed Arbitrator is not obliged to withdraw if requested to do so only by the Party who did not appoint that Arbitrator. 

Rule 16. Preliminary Conference

At the request of any Party or at the direction of the Arbitrator, a Preliminary Conference shall be conducted with the Parties or their counsel or representatives. The Preliminary Conference may address any or all of the following subjects:

(a) The exchange of information in accordance with Rule 17 or otherwise;

(b) The schedule for discovery as permitted by the Rules, as agreed by the Parties or as required or authorized by applicable law;

(c) The pleadings of the Parties and any agreement to clarify or narrow the issues or structure the Arbitration Hearing;

(d) The scheduling of the Hearing and any pre-Hearing exchanges of information, exhibits, motions or briefs;

(e) The attendance of witnesses as contemplated by Rule 21;

(f) The scheduling of any dispositive motion pursuant to Rule 18;

(g) The premarking of exhibits, the preparation of joint exhibit lists and the resolution of the admissibility of exhibits;

(h) The form of the Award; and

(i) Such other matters as may be suggested by the Parties or the Arbitrator.

The Preliminary Conference may be conducted telephonically and may be resumed from time to time as warranted.

Rule 16.1. Application of Expedited Procedures

(a) If these Expedited Procedures are referenced in the Parties' agreement to arbitrate or are later agreed to by all Parties, they shall be applied by the Arbitrator.

(b) The Claimant or Respondent may opt into the Expedited Procedures. The Claimant may do so by indicating the election in the Demand for Arbitration. The Respondent may opt into the Expedited Procedures by so indicating in writing to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES with a copy to the Claimant served within fourteen (14) days of receipt of the Demand for Arbitration. If a Party opts into the Expedited Procedures, the other side shall indicate within seven (7) calendar days of notice thereof whether it agrees to the Expedited Procedures.

(c) If one Party elects the Expedited Procedures and any other Party declines to agree to the Expedited Procedures, each Party shall have a client or client representative present at the first Preliminary Conference (which should, if feasible, be an in-person conference), unless excused by the Arbitrator for good cause.

Rule 16.2. Where Expedited Procedures Are Applicable

(a) The Arbitrator shall require compliance with Rule 17(a) prior to conducting the first Preliminary Conference. Each Party shall confirm in writing to the Arbitrator that it has so complied or shall indicate any limitations on full compliance and the reasons therefor.

(b) Document requests shall (1) be limited to documents that are directly relevant to the matters in dispute or to its outcome; (2) be reasonably restricted in terms of time frame, subject matter and persons or entities to which the requests pertain; and (3) not include broad phraseology such as "all documents directly or indirectly related to." The Requests shall not be encumbered with extensive "definitions" or "instructions." The Arbitrator may edit or limit the number of requests.

(c) E-Discovery shall be limited as follows:

(i) There shall be production of electronic documents only from sources used in the ordinary course of business. Absent a showing of compelling need, no such documents are required to be produced from backup servers, tapes or other media.

(ii) Absent a showing of compelling need, the production of electronic documents shall normally be made on the basis of generally available technology in a searchable format that is usable by the requesting Party and convenient and economical for the producing Party. Absent a showing of compelling need, the Parties need not produce metadata, with the exception of header fields for email correspondence.

(iii) The description of custodians from whom electronic documents may be collected should be narrowly tailored to include only those individuals whose electronic documents may reasonably be expected to contain evidence that is material to the dispute.

(iv) Where the costs and burdens of e-discovery are disproportionate to the nature of the dispute or to the amount in controversy, or to the relevance of the materials requested, the Arbitrator may either deny such requests or order disclosure on the condition that the requesting Party advance the reasonable cost of production to the other side, subject to the allocation of costs in the final Award.

(v) The Arbitrator may vary these Rules after discussion with the Parties at the Preliminary Conference.

(d) Depositions of percipient witnesses shall be limited as follows:

(i) The limitation of one discovery deposition per side (Rule 17(b)) shall be applied by the Arbitrator, unless it is determined, based on all relevant circumstances, that more depositions are warranted. The Arbitrator shall consider the amount in controversy, the complexity of the factual issues, the number of Parties and the diversity of their interests and whether any or all of the claims appear, on the basis of the pleadings, to have sufficient merit to justify the time and expense associated with the requested discovery.

(ii) The Arbitrator shall also consider the additional factors listed in the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Recommended Arbitration Discovery Protocols for Domestic Commercial Cases.

(e) Expert depositions, if any, shall be limited as follows: Where written expert reports are produced to the other side in advance of the Hearing (Rule 17(a)), expert depositions may be conducted only by agreement of the Parties or by order of the Arbitrator for good cause shown.

(f) Discovery disputes shall be resolved on an expedited basis.

(i) Where there is a panel of three Arbitrators, the Parties are encouraged to agree, by rule or otherwise, that the Chair or another member of the panel is authorized to resolve discovery issues, acting alone.

(ii) Lengthy briefs on discovery matters should be avoided. In most cases, the submission of brief letters will sufficiently inform the Arbitrator with regard to the issues to be decided.

(iii) The Parties should meet and confer in good faith prior to presenting any issues for the Arbitrator's decision.

(iv) If disputes exist with respect to some issues, that should not delay the Parties' discovery on remaining issues.


(g) The Arbitrator shall set a discovery cutoff not to exceed seventy-five (75) calendar days after the Preliminary Conference for percipient discovery and not to exceed one hundred five (105) calendar days for expert discovery (if any). These dates may be extended by the Arbitrator for good cause shown.

(h) Dispositive motions (Rule 18) shall not be permitted, except as set forth in the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Recommended Arbitration Discovery Protocols for Domestic Commercial Cases or unless the Parties agree to that procedure.

(i) The Hearing shall commence within sixty (60) calendar days after the cutoff for percipient discovery. Consecutive Hearing days shall be established unless otherwise agreed by the Parties or ordered by the Arbitrator. These dates may be extended by the Arbitrator for good cause shown.

(j) The Arbitrator may alter any of these Procedures for good cause.

Rule 17. Exchange of Information

(a) The Parties shall cooperate in good faith in the voluntary and informal exchange of all non-privileged documents and other information (including electronically stored information ("ESI")) relevant to the dispute or claim immediately after commencement of the Arbitration. They shall complete an initial exchange of all relevant, non-privileged documents, including, without limitation, copies of all documents in their possession or control on which they rely in support of their positions, and names of individuals whom they may call as witnesses at the Arbitration Hearing, within twenty-one (21) calendar days after all pleadings or notice of claims have been received. The Arbitrator may modify these obligations at the Preliminary Conference.

(b) Each Party may take one deposition of an opposing Party or of one individual under the control of the opposing Party. The Parties shall attempt to agree on the time, location and duration of the deposition. If the Parties do not agree, these issues shall be determined by the Arbitrator. The necessity of additional depositions shall be determined by the Arbitrator based upon the reasonable need for the requested information, the availability of other discovery options and the burdensomeness of the request on the opposing Parties and the witness.

(c) As they become aware of new documents or information, including experts who may be called upon to testify, all Parties continue to be obligated to provide relevant, non-privileged documents to supplement their identification of witnesses and experts and to honor any informal agreements or understandings between the Parties regarding documents or information to be exchanged. Documents that were not previously exchanged, or witnesses and experts that were not previously identified, may not be considered by the Arbitrator at the Hearing, unless agreed by the Parties or upon a showing of good cause.

(d) The Parties shall promptly notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES when a dispute exists regarding discovery issues. A conference shall be arranged with the Arbitrator, either by telephone or in person, and the Arbitrator shall decide the dispute. With the written consent of all Parties, and in accordance with an agreed written procedure, the Arbitrator may appoint a special master to assist in resolving a discovery dispute.

Rule 18. Summary Disposition of a Claim or Issue

The Arbitrator may permit any Party to file a Motion for Summary Disposition of a particular claim or issue, either by agreement of all interested Parties or at the request of one Party, provided other interested Parties have reasonable notice to respond to the request.

Rule 19. Scheduling and Location of Hearing

(a) The Arbitrator, after consulting with the Parties that have appeared, shall determine the date, time and location of the Hearing. The Arbitrator and the Parties shall attempt to schedule consecutive Hearing days if more than one day is necessary.

(b) If a Party has failed to participate in the Arbitration process, the Arbitrator may set the Hearing without consulting with that Party. The non-participating Party shall be served with a Notice of Hearing at least thirty (30) calendar days prior to the scheduled date, unless the law of the relevant jurisdiction allows for, or the Parties have agreed to, shorter notice.

(c) The Arbitrator, in order to hear a third-party witness, or for the convenience of the Parties or the witnesses, may conduct the Hearing at any location. Any ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Resolution Center may be designated a Hearing location for purposes of the issuance of a subpoena or subpoena duces tecum
to a third-party witness.

Rule 20. Pre-Hearing Submissions

(a) Except as set forth in any scheduling order that may be adopted, at least fourteen (14) calendar days before the Arbitration Hearing, the Parties shall file with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and serve and exchange (1) a list of the witnesses they intend to call, including any experts; (2) a short description of the anticipated testimony of each such witness and an estimate of the length of the witness' direct testimony; (3) any written expert reports that may be introduced at the Arbitration Hearing; and (4) a list of all exhibits intended to be used at the Hearing. The Parties should exchange with each other copies of any such exhibits to the extent that they have not been previously exchanged. The Parties should pre-mark exhibits and shall attempt to resolve any disputes regarding the admissibility of exhibits prior to the Hearing.

(b) The Arbitrator may require that each Party submit a concise written statement of position, including summaries of the facts and evidence a Party intends to present, discussion of the applicable law and the basis for the requested Award or denial of relief sought. The statements, which may be in the form of a letter, shall be filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and served upon the other Parties at least seven (7) calendar days before the Hearing date. Rebuttal statements or other pre-Hearing written submissions may be permitted or required at the discretion of the Arbitrator.

Rule 21. Securing Witnesses and Documents for the Arbitration Hearing

At the written request of a Party, all other Parties shall produce for the Arbitration Hearing all specified witnesses in their employ or under their control without need of subpoena. The Arbitrator may issue subpoenas for the attendance of witnesses or the production of documents either prior to or at the Hearing pursuant to this Rule or Rule 19(c). The subpoena or subpoena duces tecum
shall be issued in accordance with the applicable law. Pre-issued subpoenas may be used in jurisdictions that permit them. In the event a Party or a subpoenaed person objects to the production of a witness or other evidence, the Party or subpoenaed person may file an objection with the Arbitrator, who shall promptly rule on the objection, weighing both the burden on the producing Party and witness and the need of the proponent for the witness or other evidence.

Rule 22. The Arbitration Hearing

(a) The Arbitrator will ordinarily conduct the Arbitration Hearing in the manner set forth in these Rules. The Arbitrator may vary these procedures if it is determined to be reasonable and appropriate to do so.

(b) The Arbitrator shall determine the order of proof, which will generally be similar to that of a court trial.

(c) The Arbitrator shall require witnesses to testify under oath if requested by any Party, or otherwise at the discretion of the Arbitrator.

(d) Strict conformity to the rules of evidence is not required, except that the Arbitrator shall apply applicable law relating to privileges and work product. The Arbitrator shall consider evidence that he or she finds relevant and material to the dispute, giving the evidence such weight as is appropriate. The Arbitrator may be guided in that determination by principles contained in the Federal Rules of Evidence or any other applicable rules of evidence. The Arbitrator may limit testimony to exclude evidence that would be immaterial or unduly repetitive, provided that all Parties are afforded the opportunity to present material and relevant evidence.

(e) The Arbitrator shall receive and consider relevant deposition testimony recorded by transcript or videotape, provided that the other Parties have had the opportunity to attend and cross-examine. The Arbitrator may in his or her discretion consider witness affidavits or other recorded testimony even if the other Parties have not had the opportunity to cross-examine, but will give that evidence only such weight as he or she deems appropriate.

(f) The Parties will not offer as evidence, and the Arbitrator shall neither admit into the record nor consider, prior settlement offers by the Parties or statements or recommendations made by a mediator or other person in connection with efforts to resolve the dispute being arbitrated, except to the extent that applicable law permits the admission of such evidence.

(g) The Hearing, or any portion thereof, may be conducted telephonically or videographically with the agreement of the Parties or at the discretion of the Arbitrator.

(h) When the Arbitrator determines that all relevant and material evidence and arguments have been presented, and any interim or partial Awards have been issued, the Arbitrator shall declare the Hearing closed. The Arbitrator may defer the closing of the Hearing until a date determined by the Arbitrator in order to permit the Parties to submit post-Hearing briefs, which may be in the form of a letter, and/or to make closing arguments. If post-Hearing briefs are to be submitted or closing arguments are to be made, the Hearing shall be deemed closed upon receipt by the Arbitrator of such briefs or at the conclusion of such closing arguments, whichever is later.

(i) At any time before the Award is rendered, the Arbitrator may, sua sponte or on application of a Party for good cause shown, reopen the Hearing. If the Hearing is reopened, the time to render the Award shall be calculated from the date the reopened Hearing is declared closed by the Arbitrator.

(j) The Arbitrator may proceed with the Hearing in the absence of a Party that, after receiving notice of the Hearing pursuant to Rule 19, fails to attend. The Arbitrator may not render an Award solely on the basis of the default or absence of the Party, but shall require any Party seeking relief to submit such evidence as the Arbitrator may require for the rendering of an Award. If the Arbitrator reasonably believes that a Party will not attend the Hearing, the Arbitrator may schedule the Hearing as a telephonic Hearing and may receive the evidence necessary to render an Award by affidavit. The notice of Hearing shall specify if it will be in person or telephonic.

(k) 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.


(i) 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.

(ii) If there is no agreement to share the cost of the stenographic record, it may not be provided to the Arbitrator and may not be used in the proceeding, unless the Party arranging for the stenographic record agrees to provide access to the stenographic record either at no charge or on terms that are acceptable to the Parties and the reporting service.

(iii) If the Parties agree to the Optional Arbitration Appeal Procedure (Rule 34), they shall, if possible, ensure that a stenographic or other record is made of the Hearing and shall share the cost of that record.

(iv) The Parties may agree that the cost of the stenographic record shall or shall not be allocated by the Arbitrator in the Award.


Rule 23. Waiver of Hearing

The Parties may agree to waive the oral Hearing and submit the dispute to the Arbitrator for an Award based on written submissions and other evidence as the Parties may agree.

Rule 24. Awards

(a) The Arbitrator shall render a Final Award or a Partial Final Award within thirty (30) calendar days after the date of the close of the Hearing, as defined in Rule 22(h) or (i), or, if a Hearing has been waived, within thirty (30) calendar days after the receipt by the Arbitrator of all materials specified by the Parties, except (1) by the agreement of the Parties; (2) upon good cause for an extension of time to render the Award; or (3) as provided in Rule 22(i). The Arbitrator shall provide the Final Award or the Partial Final Award to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES for issuance in accordance with this Rule.

(b) Where a panel of Arbitrators has heard the dispute, the decision and Award of a majority of the panel shall constitute the Arbitration Award.

(c) In determining the merits of the dispute, the Arbitrator shall be guided by the rules of law agreed upon by the Parties. In the absence of such agreement, the Arbitrator shall be guided by the rules of law and equity that he or she deems to be most appropriate. The Arbitrator may grant any remedy or relief that is just and equitable and within the scope of the Parties' agreement, including, but not limited to, specific performance of a contract or any other equitable or legal remedy.

(d) In addition to a Final Award or Partial Final Award, the Arbitrator may make other decisions, including interim or partial rulings, orders and Awards.

(e) Interim Measures. The Arbitrator may grant whatever interim measures are deemed necessary, including injunctive relief and measures for the protection or conservation of property and disposition of disposable goods. Such interim measures may take the form of an interim or Partial Final Award, and the Arbitrator may require security for the costs of such measures. Any recourse by a Party to a court for interim or provisional relief shall not be deemed incompatible with the agreement to arbitrate or a waiver of the right to arbitrate.

(f) The Award of the Arbitrator may allocate Arbitration fees and Arbitrator compensation and expenses, unless such an allocation is expressly prohibited by the Parties' Agreement. (Such a prohibition may not limit the power of the Arbitrator to allocate Arbitration fees and Arbitrator compensation and expenses pursuant to Rule 31(c).)

(g) The Award of the Arbitrator may allocate attorneys' fees and expenses and interest (at such rate and from such date as the Arbitrator may deem appropriate) if provided by the Parties' Agreement or allowed by applicable law. When the Arbitrator is authorized to award attorneys' fees and must determine the reasonable amount of such fees, he or she may consider whether the failure of a Party to cooperate reasonably in the discovery process and/or comply with the Arbitrator's discovery orders caused delay to the proceeding or additional costs to the other Parties.

(h) The Award shall consist of a written statement signed by the Arbitrator regarding the disposition of each claim and the relief, if any, as to each claim. Unless all Parties agree otherwise, the Award shall also contain a concise written statement of the reasons for the Award.

(i) After the Award has been rendered, and provided the Parties have complied with Rule 31, the Award shall be issued by serving copies on the Parties. Service may be made by U.S. mail. It need not be sent certified or registered.

(j) Within seven (7) calendar days after service of a Partial Final Award or Final Award by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, any Party may serve upon the other Parties and on ALTCOURT JUDICAIL ARBITRATION MEDIATION Services request that the Arbitrator correct any computational, typographical or other similar error in an Award (including the reallocation of fees pursuant to Rule 31(c) or on account of the effect of an offer to allow judgment), or the Arbitrator may sua sponte
propose to correct such errors in an Award. A Party opposing such correction shall have seven (7) calendar days thereafter in which to file any objection. The Arbitrator may make any necessary and appropriate corrections to the Award within twenty-one (21) calendar days of receiving a request or fourteen (14) calendar days after his or her proposal to do so. The Arbitrator may extend the time within which to make corrections upon good cause. The corrected Award shall be served upon the Parties in the same manner as the Award.

(k) The Award is considered final, for purposes of either the Optional Arbitration Appeal Procedure pursuant to Rule 34 or a judicial proceeding to enforce, modify or vacate the Award pursuant to Rule 25, fourteen (14) calendar days after service is deemed effective if no request for a correction is made, or as of the effective date of service of a corrected Award.

Rule 25. Enforcement of the Award

Proceedings to enforce, confirm, modify or vacate an Award will be controlled by and conducted in conformity with the Federal Arbitration Act, 9 U.S.C. Sec 1, et seq
., or applicable state law. The Parties to an Arbitration under these Rules shall be deemed to have consented that judgment upon the Award may be entered in any court having jurisdiction thereof.

Rule 26. Confidentiality and Privacy

(a) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and the Arbitrator shall maintain the confidential nature of the Arbitration proceeding and the Award, including the Hearing, except as necessary in connection with a judicial challenge to or enforcement of an Award, or unless otherwise required by law or judicial decision.

(b) The Arbitrator may issue orders to protect the confidentiality of proprietary information, trade secrets or other sensitive information.

(c) Subject to the discretion of the Arbitrator or agreement of the Parties, any person having a direct interest in the Arbitration may attend the Arbitration Hearing. The Arbitrator may exclude any non-Party from any part of a Hearing.

Rule 27. Waiver

(a) If a Party becomes aware of a violation of or failure to comply with these Rules and fails promptly to object in writing, the objection will be deemed waived, unless the Arbitrator determines that waiver will cause substantial injustice or hardship.

(b) If any Party becomes aware of information that could be the basis of a challenge for cause to the continued service of the Arbitrator, such challenge must be made promptly, in writing, to the Arbitrator or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS. Failure to do so shall constitute a waiver of any objection to continued service by the Arbitrator.

Rule 28. Settlement and Consent Award

(a) The Parties may agree, at any stage of the Arbitration process, to submit the case to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES for mediation. The ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES mediator assigned to the case may not be the Arbitrator or a member of the Appeal Panel, unless the Parties so agree, pursuant to Rule 28(b).

(b) The Parties may agree to seek the assistance of the Arbitrator in reaching settlement. By their written agreement to submit the matter to the Arbitrator for settlement assistance, the Parties will be deemed to have agreed that the assistance of the Arbitrator in such settlement efforts will not disqualify the Arbitrator from continuing to serve as Arbitrator if settlement is not reached; nor shall such assistance be argued to a reviewing court as the basis for vacating or modifying an Award.

(c) If, at any stage of the Arbitration process, all Parties agree upon a settlement of the issues in dispute and request the Arbitrator to embody the agreement in a Consent Award, the Arbitrator shall comply with such request, unless the Arbitrator believes the terms of the agreement are illegal or undermine the integrity of the Arbitration process. If the Arbitrator is concerned about the possible consequences of the proposed Consent Award, he or she shall inform the Parties of that concern and may request additional specific information from the Parties regarding the proposed Consent Award. The Arbitrator may refuse to enter the proposed Consent Award and may withdraw from the case.

Rule 29. Sanctions

The Arbitrator may order appropriate sanctions for failure of a Party to comply with its obligations under any of these Rules or with an order of the Arbitrator. These sanctions may include, but are not limited to, assessment of Arbitration fees and Arbitrator compensation and expenses; assessment of any other costs occasioned by the actionable conduct, including reasonable attorneys' fees; exclusion of certain evidence; drawing adverse inferences; or, in extreme cases, determining an issue or issues submitted to Arbitration adversely to the Party that has failed to comply.

 

Rule 30. Disqualification of the Arbitrator as a Witness or Party and Exclusion of Liability

(a) The Parties may not call the Arbitrator, the Case Manager or any other ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES employee or agent as a witness or as an expert in any pending or subsequent litigation or other proceeding involving the Parties and relating to the dispute that is the subject of the Arbitration. The Arbitrator, Case Manager and other ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES employees and agents are also incompetent to testify as witnesses or experts in any such proceeding.

(b) The Parties shall defend and/or pay the cost (including any attorneys' fees) of defending the Arbitrator, Case Manager and/or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES from any subpoenas from outside parties arising from the Arbitration.

(c) The Parties agree that neither the Arbitrator, nor the Case Manager, nor ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES is a necessary Party in any litigation or other proceeding relating to the Arbitration or the subject matter of the Arbitration, and neither the Arbitrator, nor the Case Manager, nor ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, including its employees or agents, shall be liable to any Party for any act or omission in connection with any Arbitration conducted under these Rules, including, but not limited to, any disqualification of or recusal by the Arbitrator.

Rule 31. Fees

(a) Each Party shall pay its pro rata
share of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES fees and expenses as set forth in the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES fee schedule in effect at the time of the commencement of the Arbitration, unless the Parties agree on a different allocation of fees and expenses. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS' agreement to render services is jointly with the Party and the attorney or other representative of the Party in the Arbitration. The non-payment of fees may result in an administrative suspension of the case in accordance with Rule 6(c).

(b) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES requires that the Parties deposit the fees and expenses for the Arbitration from time to time during the course of the proceedings and prior to the Hearing. The Arbitrator may preclude a Party that has failed to deposit its pro rata
or agreed-upon share of the fees and expenses from offering evidence of any affirmative claim at the Hearing.

(c) The Parties are jointly and severally liable for the payment of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Arbitration fees and Arbitrator compensation and expenses. In the event that one Party has paid more than its share of such fees, compensation and expenses, the Arbitrator may award against any other Party any such fees, compensation and expenses that such Party owes with respect to the Arbitration.

(d) Entities whose interests are not adverse with respect to the issues in dispute shall be treated as a single Party for purposes of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS' assessment of fees. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall determine whether the interests between entities are adverse for purpose of fees, considering such factors as whether the entities are represented by the same attorney and whether the entities are presenting joint or separate positions at the Arbitration.

Rule 32. Bracketed (or High-Low) Arbitration Option

(a) At any time before the issuance of the Arbitration Award, the Parties may agree, in writing, on minimum and maximum amounts of damages that may be awarded on each claim or on all claims in the aggregate. The Parties shall promptly notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and provide to ALTCOURT JUDICAIL ARBITRATION MEDIATION Services copy of their written agreement setting forth the agreed-upon minimum and maximum amounts.

(b) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall not inform the Arbitrator of the agreement to proceed with this option or of the agreed-upon minimum and maximum levels without the consent of the Parties.

(c) The Arbitrator shall render the Award in accordance with Rule 24.

(d) In the event that the Award of the Arbitrator is between the agreed-upon minimum and maximum amounts, the Award shall become final as is. In the event that the Award is below the agreed-upon minimum amount, the final Award issued shall be corrected to reflect the agreed-upon minimum amount. In the event that the Award is above the agreed-upon maximum amount, the final Award issued shall be corrected to reflect the agreed-upon maximum amount.

Rule 33. Final Offer (or Baseball) Arbitration Option

(a) Upon agreement of the Parties to use the option set forth in this Rule, at least seven (7) calendar days before the Arbitration Hearing, the Parties shall exchange and provide to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES written proposals for the amount of money damages they would offer or demand, as applicable, and that they believe to be appropriate based on the standard set forth in Rule 24(c). ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall promptly provide copies of the Parties' proposals to the Arbitrator, unless the Parties agree that they should not be provided to the Arbitrator. At any time prior to the close of the Arbitration Hearing, the Parties may exchange revised written proposals or demands, which shall supersede all prior proposals. The revised written proposals shall be provided to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, which shall promptly provide them to the Arbitrator, unless the Parties agree otherwise.

(b) If the Arbitrator has been informed of the written proposals, in rendering the Award, the Arbitrator shall choose between the Parties' last proposals, selecting the proposal that the Arbitrator finds most reasonable and appropriate in light of the standard set forth in Rule 24(c). This provision modifies Rule 24(h) in that no written statement of reasons shall accompany the Award.

(c) If the Arbitrator has not been informed of the written proposals, the Arbitrator shall render the Award as if pursuant to Rule 24, except that the Award shall thereafter be corrected to conform to the closest of the last proposals and the closest of the last proposals will become the Award.

(d) Other than as provided herein, the provisions of Rule 24 shall be applicable.

Rule 34. Optional Arbitration Appeal Procedure

The Parties may agree at any time to the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Optional Arbitration Appeal Procedure. All Parties must agree in writing for such procedure to be effective. Once a Party has agreed to the Optional Arbitration Appeal Procedure, it cannot unilaterally withdraw from it, unless it withdraws, pursuant to Rule 13, from the Arbitration.

 

 

 

 

 

 

 

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Streamlined Arbitration Rules & Procedures



 

Rule 1.   Scope of Rules
Rule 2.   Party Self-Determination
Rule 3.   Amendment of Rules
Rule 4.   Conflict with Law
Rule 5.   Commencing an Arbitration and Service
Rule 6.   Preliminary and Administrative Matters
Rule 7.   Notice of Claims
Rule 8.   Interpretation of Rules and Jurisdiction Challenges
Rule 9.   Representation
Rule 10. Withdrawal from Arbitration
Rule 11. Ex Parte
Communications
Rule 12. Arbitrator Selection, Disclosures and Replacement
Rule 13. Exchange of Information
Rule 14. Scheduling and Location of Hearing
Rule 15. Pre-Hearing Submissions
Rule 16. Securing Witnesses and Documents for the Arbitration Hearing
Rule 17. The Arbitration Hearing
Rule 18. Waiver of Hearing
Rule 19. Awards
Rule 20. Enforcement of the Award
Rule 21. Confidentiality and Privacy
Rule 22. Waiver
Rule 23. Settlement and Consent Award
Rule 24. Sanctions
Rule 25. Disqualification of the Arbitrator as a Witness or Party and Exclusion of Liability
Rule 26. Fees
Rule 27. Bracketed (or High-Low) Arbitration Option
Rule 28. Final Offer (or Baseball) Arbitration Option


Rule 1. Scope of Rules

(a) The ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Streamlined Arbitration Rules and Procedures ("Rules") govern binding Arbitrations of disputes or claims that are administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and in which the Parties agree to use these Rules or, in the absence of such agreement, no disputed claim or counterclaim exceeds $250,000, not including interest or attorneys' fees, unless other Rules are prescribed.

(b) The Parties shall be deemed to have made these Rules a part of their Arbitration agreement ("Agreement") whenever they have provided for Arbitration by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES under its Streamlined Rules or for Arbitration by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES without specifying any particular ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules and the disputes or claims meet the criteria of the first paragraph of this Rule.

(c) The authority and duties of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES as prescribed in the Agreement of the Parties and in these Rules shall be carried out by the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES National Arbitration Committee ("NAC") or the office of the General Counsel or their designees.

(d) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may, in its discretion, assign the administration of Arbitration to any of its Resolution Centers.

(e) The term "Party" as used in these Rules includes Parties to the Arbitration and their counsel or representatives.

(f) "Electronic filing" (e-file) means the electronic transmission of documents to and from ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and other Parties for the purpose of filing via the Internet. "Electronic service" (e-service) means the electronic transmission of documents via ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to a Party, attorney or representative under these Rules.

Rule 2. Party Self Determination

(a) The Parties may agree on any procedures not specified herein or in lieu of these Rules that are consistent with the applicable law and ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES policies (including, without limitation, Rules 12(j), 25 and 26). The Parties shall promptly notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES of any such Party-agreed procedures and shall confirm such procedures in writing. The Party-agreed procedures shall be enforceable as if contained in these Rules.

(b) When an Arbitration Agreement provides that the arbitration will be non-administered or administered by an entity other than ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and/or conducted in accordance with rules other than ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES rules, the Parties may subsequently agree to modify that agreement to provide that the arbitration will be administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and/or conducted in accordance with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES rules.

Rule 3. Amendment of Rules

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may amend these Rules without notice. The Rules in effect on the date of the commencement of an Arbitration (as defined in Rule 5) shall apply to that Arbitration, unless the Parties have agreed upon another version of the Rules.

Rule 4. Conflict with Law

If any of these Rules, or modification of these Rules agreed to by the Parties, is determined to be in conflict with a provision of applicable law, the provision of law will govern over the Rule in conflict, and no other Rule will be affected.

Rule 5. Commencing an Arbitration and Service

(a) The Arbitration is deemed commenced when ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES issues a Commencement Letter based upon the existence of one of the following:

(i) A post-dispute Arbitration Agreement fully executed by all Parties specifying ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES administration or use of any ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules; or

(ii) A pre-dispute written contractual provision requiring the Parties to arbitrate the dispute or claim specifying ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES administration or use of any ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules or that the Parties agree shall be administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS; or

(iii) A written confirmation of an oral agreement of all Parties to participate in an Arbitration administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES or conducted pursuant to any ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules, confirmed in writing by the Parties; or

(iv) The Respondent's failure to timely object to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES administration; or

(v) A copy of a court order compelling Arbitration at ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS.

(b) The issuance of the Commencement Letter confirms that the requirements for commencement have been met, that ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES has received all payments required under the applicable fee schedule and that the Claimant has provided ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES with contact information for all Parties along with evidence that the Demand for Arbitration has been served on all Parties.

(c) If a Party that is obligated to arbitrate in accordance with subparagraph (a) of this Rule fails to agree to participate in the Arbitration process, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall confirm in writing that Party's failure to respond or participate, and, pursuant to Rule 14, the Arbitrator shall schedule, and provide appropriate notice of, a Hearing or other opportunity for the Party demanding the Arbitration to demonstrate its entitlement to relief.

(d) The date of commencement of the Arbitration is the date of the Commencement Letter but is not intended to be applicable to any legal requirements such as the statute of limitations any contractual limitations period or claims notice requirements. The term "commencement," as used in this Rule, is intended only to pertain to the operation of this and other Rules (such as Rule 3, 10(a) and 26(a)).

(e) Service by a Party under these Rules is affected by providing one signed copy of the document to each Party and two copies to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS. Service may be made by hand-delivery, overnight delivery service or U.S. mail. Service by any of these means is considered effective upon the date of deposit of the document. In computing any period of time prescribed or allowed by these Rules for a Party to do some act within a prescribed period after the service of a notice or other paper on the Party and the notice or paper is served on the Party only by U.S. mail, three (3) calendar days shall be added to the prescribed period.

(f) Electronic Filing. The Arbitrator may at any time require electronic filing and service of documents in Arbitration. If an Arbitrator requires electronic filing, the Parties shall maintain and regularly monitor a valid, usable and live email address for the receipt of all documents filed through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System. Any document filed electronically shall be considered as filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES when the transmission to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System is complete. Any document e-filed by 11:59 p.m. (of the sender's time zone) shall be deemed filed on that date. Upon completion of filing, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System shall issue a confirmation receipt that includes the date and time of receipt. The confirmation receipt shall serve as proof of filing.

Every document electronically filed or served shall be deemed to have been signed by the Arbitrator, Case Manager, attorney or declarant who submits the document to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System, and shall bear the typed name, address and telephone number of a signing attorney. Typographical signatures shall be treated as personal signatures for all purposes under these Rules. Documents containing signatures of third parties (i.e., unopposed motions, affidavits, stipulations, etc.) may also be filed electronically by indicating that the original signatures are maintained by the filing Party in paper format.

Delivery of e-service documents through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to other registered users shall be considered as valid and effective service and shall have the same legal effect as an original paper document. Recipients of e-service documents shall access their documents through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System. E-service shall be deemed complete when the Party initiating e-service completes the transmission of the electronic document(s) to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System for e-filing and/or e-service. Upon actual or constructive receipt of the electronic document(s) by the Party to be served, a Certificate of Electronic Service shall be issued by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to the Party initiating e-service, and that Certificate shall serve as proof of service. Any Party who ignores or attempts to refuse e-service shall be deemed to have received the electronic document(s) 72 hours following the transmission of the electronic document(s) to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System.

If an electronic filing or service does not occur because of (1) an error in the transmission of the document to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System or served Party that was unknown to the sending Party; (2) a failure to process the electronic document when received by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System; (3) the Party was erroneously excluded from the service list; or (4) other technical problems experienced by the filer, the Arbitrator or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may, for good cause shown, permit the document to be filed nunc pro tunc
to the date it was first attempted to be sent electronically. Or, in the case of service, the Party shall, absent extraordinary circumstances, be entitled to an order extending the date for any response or the period within which any right, duty or other act must be performed.

Rule 6. Preliminary and Administrative Matters

(a) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may convene, or the Parties may request, administrative conferences to discuss any procedural matter relating to the administration of the Arbitration.

(b) If no Arbitrator has yet been appointed, at the request of a Party and in the absence of Party agreement, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may determine the location of the Hearing, subject to Arbitrator review. In determining the location of the Hearing, such factors as the subject matter of the dispute, the convenience of the Parties and witnesses, and the relative resources of the Parties shall be considered.

(c) If, at any time, any Party has failed to pay fees or expenses in full, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may order the suspension or termination of the proceedings. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may so inform the Parties in order that one of them may advance the required payment. If one Party advances the payment owed by a non-paying Party, the Arbitration shall proceed, and the Arbitrator may allocate the non-paying Party's share of such costs, in accordance with Rules 19(e) and 26(c). An administrative suspension shall toll any other time limits contained in these Rules or the Parties' Agreement.

(d) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES does not maintain an official record of documents filed in the Arbitration. If the Parties wish to have any documents returned to them, they must advise ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES in writing within thirty (30) calendar days of the conclusion of the Arbitration. If special arrangements are required regarding file maintenance or document retention, they must be agreed to in writing, and ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES reserves the right to impose an additional fee for such special arrangements. Documents that are submitted for e-filing are retained for thirty (30) calendar days following the conclusion of the Arbitration.

(e) Unless the Parties' Agreement or applicable law provides otherwise, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may consolidate Arbitrations in the following instances:

(i) If a Party files more than one Arbitration with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may consolidate the Arbitrations into a single Arbitration.

(ii) Where a Demand or Demands for Arbitration is or are submitted naming Parties already involved in another Arbitration or Arbitrations pending under these Rules, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may decide that the new case or cases shall be consolidated into one or more of the pending proceedings and referred to one of the Arbitrators already appointed.

(iii) Where a Demand or Demands for Arbitration is or are submitted naming parties that are not identical to the Parties in the existing Arbitration or Arbitrations, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may decide that the new case or cases shall be consolidated into one or more of the pending proceedings and referred to one of the Arbitrators already appointed.

When rendering its decision, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will take into account all circumstances, including the links between the cases and the progress already made in the existing Arbitrations.

Unless applicable law provides otherwise, where ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES decides to consolidate a proceeding into a pending Arbitration, the Parties to the consolidated case or cases will be deemed to have waived their right to designate an Arbitrator as well as any contractual provision with respect to the site of the Arbitration.

(f) Where a third party seeks to participate in an Arbitration already pending under these Rules or where a Party to an Arbitration under these Rules seeks to compel a third party to participate in a pending Arbitration, the Arbitrator shall determine such request, taking into account all circumstances he or she deems relevant and applicable.

Rule 7. Notice of Claims

(a) Each Party shall afford all other Parties reasonable and timely notice of its claims, affirmative defenses or counterclaims. Any such notice shall include a short statement of its factual basis. No claim, remedy, counterclaim, or affirmative defense will be considered by the Arbitrator in the absence of such prior notice to the other Parties, unless the Arbitrator determines that no Party has been unfairly prejudiced by such lack of formal notice or all Parties agree that such consideration is appropriate notwithstanding the lack of prior notice.

(b) Claimant's notice of claims is the Demand for Arbitration referenced in Rule 5. It shall include a statement of the remedies sought. The Demand for Arbitration may attach and incorporate a copy of a Complaint previously filed with a court. In the latter case, Claimant may accompany the Complaint with a copy of any Answer to that Complaint filed by any Respondent.

(c) Within seven (7) calendar days of service of the notice of claim, a Respondent may submit to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and serve on other Parties a response and a statement of any affirmative defenses, including jurisdictional challenges, or counterclaims it may have.

(d) Within seven (7) calendar days of service of a counterclaim, a Claimant may submit to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and serve on other Parties a response to such counterclaim and any affirmative defenses, including jurisdictional challenges, it may have.

(e) Any claim or counterclaim to which no response has been served will be deemed denied.

(f) Jurisdictional challenges under Rule 8 shall be deemed waived, unless asserted in a response to a Demand or counterclaim or promptly thereafter, when circumstances first suggest an issue of arbitrability.

Rule 8. Interpretation of Rules and Jurisdiction Challenges

(a) Once appointed, the Arbitrator shall resolve disputes about the interpretation and applicability of these Rules and conduct of the Arbitration Hearing. The resolution of the issue by the Arbitrator shall be final.

(b) Jurisdictional and arbitrability disputes, including disputes over the formation, existence, validity, interpretation or scope of the agreement under which Arbitration is sought, and who are proper Parties to the Arbitration, shall be submitted to and ruled on by the Arbitrator. The Arbitrator has the authority to determine jurisdiction and arbitrability issues as a preliminary matter.

(c) Disputes concerning the appointment of the Arbitrator shall be resolved by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS.

(d) The Arbitrator may, upon a showing of good cause or sua sponte
, when necessary to facilitate the Arbitration, extend any deadlines established in these Rules, provided that the time for rendering the Award may only be altered in accordance with Rule 19.

Rule 9. Representation

(a) The Parties, whether natural persons or legal entities such as corporations, LLCs or partnerships, may be represented by counsel or any other person of the Party's choice. Each Party shall give prompt written notice to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and the other Parties of the name, address, telephone and fax numbers and email address of its representative. The representative of a Party may act on the Party's behalf in complying with these Rules.

(b) Changes in Representation. A Party shall give prompt written notice to the Case Manager and the other Parties of any change in its representation, including the name, address, telephone and fax numbers and email address of the new representative. Such notice shall state that the written consent of the former representative, if any, and of the new representative, has been obtained and shall state the effective date of the new representation.

Rule 10. Withdrawal from Arbitration

(a) No Party may terminate or withdraw from an Arbitration after the issuance of the Commencement Letter (see Rule 5), except by written agreement of all Parties to the Arbitration.

(b) A Party that asserts a claim or counterclaim may unilaterally withdraw that claim or counterclaim without prejudice by serving written notice on the other Parties and the Arbitrator. However, the opposing Parties may, within seven (7) calendar days of service of such notice, request that the Arbitrator condition the withdrawal upon such terms as he or she may direct.

 
 

Rule 11. Ex Parte Communications

No Party will have any ex parte communication with the Arbitrator regarding any issue related to the Arbitration. The Arbitrator may authorize any Party to communicate directly with the Arbitrator by email or other written means as long as copies are simultaneously forwarded to the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Case Manager and the other Parties.

Rule 12. Arbitrator Selection, Disclosures and Replacement

(a) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Streamlined Arbitrations will be conducted by one neutral Arbitrator.

(b) Unless the Arbitrator has been previously selected by agreement of the Parties, the Case Manager may attempt to facilitate agreement among the Parties regarding selection of the Arbitrator.

(c) If the Parties do not agree on an Arbitrator, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall send the Parties a list of at least three (3) Arbitrator candidates. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall also provide each Party with a brief description of the background and experience of each Arbitrator candidate. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may replace any or all names on the list of Arbitrator candidates for reasonable cause at any time before the Parties have submitted their choice pursuant to subparagraph (d) below.

(d) Within seven (7) calendar days of service by the Parties of the list of names, each Party may strike one (1) name and shall rank the remaining Arbitrator candidates in order of preference. The remaining Arbitrator candidate with the highest composite ranking shall be appointed the Arbitrator. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may grant a reasonable extension of the time to strike and rank the Arbitrator candidates to any Party without the consent of the other Parties.

(e) If this process does not yield an Arbitrator, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall designate the Arbitrator.

(f) If a Party fails to respond to a list of Arbitrator candidates within seven (7) calendar days after its service, or fails to respond according to the instructions provided by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall deem that Party to have accepted all of the Arbitrator candidates.

(g) Entities whose interests are not adverse with respect to the issues in dispute shall be treated as a single Party for purposes of the Arbitrator selection process. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall determine whether the interests between entities are adverse for purposes of Arbitrator selection, considering such factors as whether the entities are represented by the same attorney and whether the entities are presenting joint or separate positions at the Arbitration.

(h) If, for any reason, the Arbitrator who is selected is unable to fulfill the Arbitrator's duties, a successor Arbitrator shall be chosen in accordance with this Rule. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will make the final determination as to whether an Arbitrator is unable to fulfill his or her duties and that decision shall be final.

(i) Any disclosures regarding the selected Arbitrator shall be made as required by law or within ten (10) calendar days from the date of appointment. Such disclosures may be provided in electronic format, provided that ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will produce a hard copy to any Party that requests it. The Parties and their representatives shall disclose to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES any circumstances likely to give rise to justifiable doubt as to the Arbitrator's impartiality or independence, including any bias or any financial or personal interest in the result of the Arbitration or any past or present relationship with the Parties or their representatives. The obligation of the Arbitrator, the Parties and their representatives to make all required disclosures continues throughout the Arbitration process.

(j) At any time during the Arbitration process, a Party may challenge the continued service of an Arbitrator for cause. The challenge must be based upon information that was not available to the Parties at the time the Arbitrator was selected. A challenge for cause must be in writing and exchanged with opposing Parties, who may respond within seven (7) days of service of the challenge. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall make the final determination as to such challenge. Such determination shall take into account the materiality of the facts and any prejudice to the Parties. That decision will be final.

Rule 13. Exchange of Information

(a) The Parties shall cooperate in good faith in the voluntary and informal exchange of all non-privileged documents and information (including electronically stored information ("ESI")) relevant to the dispute or claim, including copies of all documents in their possession or control on which they rely in support of their positions or that they intend to introduce as exhibits at the Arbitration Hearing, the names of all individuals with knowledge about the dispute or claim and the names of all experts who may be called upon to testify or whose reports may be introduced at the Arbitration Hearing. The Parties and the Arbitrator will make every effort to conclude the document and information exchange process within fourteen (14) calendar days after all pleadings or notices of claims have been received. The necessity of additional information exchange shall be determined by the Arbitrator based upon the reasonable need for the requested information, the availability of other discovery options and the burdensomeness of the request on the opposing Parties and the witness.

(b) As they become aware of new documents or information, including experts who may be called upon to testify, all Parties continue to be obligated to provide relevant, non-privileged documents, to supplement their identification of witnesses and experts and to honor any informal agreements or understandings between the Parties regarding documents or information to be exchanged. Documents that were not previously exchanged, or witnesses and experts that were not previously identified, may not be considered by the Arbitrator at the Hearing, unless agreed by the Parties or upon a showing of good cause.

(c) The Parties shall promptly notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES when a dispute exists regarding discovery issues. A conference shall be arranged with the Arbitrator, either by telephone or in person, and the Arbitrator shall decide the dispute.

Rule 14. Scheduling and Location of Hearing

(a) The Arbitrator, after consulting with the Parties that have appeared, shall determine the date, time and location of the Hearing. The Arbitrator and the Parties shall attempt to schedule consecutive Hearing days if more than one day is necessary.

(b) If a Party has failed to participate in the Arbitration process, the Arbitrator may set the Hearing without consulting with that Party. The non-participating Party shall be served with a Notice of Hearing at least thirty (30) calendar days prior to the scheduled date, unless the law of the relevant jurisdiction allows for, or the Parties have agreed to, shorter notice.

(c) The Arbitrator, in order to hear a third-party witness, or for the convenience of the Parties or the witnesses, may conduct the Hearing at any location. Any ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Resolution Center may be designated a Hearing location for purposes of the issuance of a subpoena or subpoena duces tecum
to a third-party witness.

Rule 15. Pre-Hearing Submissions

(a) Except as set forth in any scheduling order that may be adopted, at least seven (7) calendar days before the Arbitration Hearing, the Parties shall file with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and serve and exchange (1) a list of the witnesses they intend to call, including any experts; (2) a short description of the anticipated testimony of each such witness and an estimate of the length of the witness' direct testimony; and (3) a list of all exhibits intended to be used at the Hearing. The Parties should exchange with each other copies of any such exhibits to the extent that they have not been previously exchanged. The Parties should pre-mark exhibits and shall attempt to resolve any disputes regarding the admissibility of exhibits prior to the Hearing.

(b) The Arbitrator may require that each Party submit a concise written statement of position, including summaries of the facts and evidence a Party intends to present, discussion of the applicable law and the basis for the requested Award or denial of relief sought. The statements, which may be in the form of a letter, shall be filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and served upon the other Parties at least seven (7) calendar days before the Hearing date. Rebuttal statements or other pre-Hearing written submissions may be permitted or required at the discretion of the Arbitrator.

Rule 16. Securing Witnesses and Documents for the Arbitration Hearing

At the written request of a Party, all other Parties shall produce for the Arbitration Hearing all specified witnesses in their employ or under their control without need of subpoena. The Arbitrator may issue subpoenas for the attendance of witnesses or the production of documents either prior to or at the Hearing pursuant to this Rule or Rule 14(c). The subpoena or subpoena duces tecum
shall be issued in accordance with the applicable law. Pre-issued subpoenas may be used in jurisdictions that permit them. In the event a Party or a subpoenaed person objects to the production of a witness or other evidence, the Party or subpoenaed person may file an objection with the Arbitrator, who shall promptly rule on the objection, weighing both the burden on the producing Party and witness and the need of the proponent for the witness or other evidence.

Rule 17. The Arbitration Hearing

(a) The Arbitrator will ordinarily conduct the Arbitration Hearing in the manner set forth in these Rules. The Arbitrator may vary these procedures if it is determined to be reasonable and appropriate to do so.

(b) The Arbitrator shall determine the order of proof, which will generally be similar to that of a court trial.

(c) The Arbitrator shall require witnesses to testify under oath if requested by any Party, or otherwise at the discretion of the Arbitrator.

(d) Strict conformity to the rules of evidence is not required, except that the Arbitrator shall apply applicable law relating to privileges and work product. The Arbitrator shall consider evidence that he or she finds relevant and material to the dispute, giving the evidence such weight as is appropriate. The Arbitrator may be guided in that determination by principles contained in the Federal Rules of Evidence or any other applicable rules of evidence. The Arbitrator may limit testimony to exclude evidence that would be immaterial or unduly repetitive, provided that all Parties are afforded the opportunity to present material and relevant evidence.

(e) The Arbitrator shall receive and consider relevant deposition testimony recorded by transcript or videotape, provided that the other Parties have had the opportunity to attend and cross-examine. The Arbitrator may in his or her discretion consider witness affidavits or other recorded testimony even if the other Parties have not had the opportunity to cross-examine, but will give that evidence only such weight as he or she deems appropriate.

(f) The Parties will not offer as evidence, and the Arbitrator shall neither admit into the record nor consider, prior settlement offers by the Parties or statements or recommendations made by a mediator or other person in connection with efforts to resolve the dispute being arbitrated, except to the extent that applicable law permits the admission of such evidence.

(g) The Hearing, or any portion thereof, may be conducted telephonically or video graphically with the agreement of the Parties or at the discretion of the Arbitrator.

(h) When the Arbitrator determines that all relevant and material evidence and arguments have been presented, and any interim or partial Awards have been issued, the Arbitrator shall declare the Hearing closed. The Arbitrator may defer the closing of the Hearing until a date determined by the Arbitrator, to permit the Parties to submit post-Hearing briefs, which may be in the form of a letter. If post-Hearing briefs are to be submitted, the Hearing shall be deemed closed upon receipt by the Arbitrator of such briefs.

(i) At any time before the Award is rendered, the Arbitrator may, sua sponte or upon the application of a Party for good cause shown, reopen the Hearing. If the Hearing is reopened, the time to render the Award shall be calculated from the date the reopened Hearing is declared closed by the Arbitrator.

(j) The Arbitrator may proceed with the Hearing in the absence of a Party that, after receiving notice of the Hearing pursuant to Rule 14, fails to attend. The Arbitrator may not render an Award solely on the basis of the default or absence of the Party, but shall require any Party seeking relief to submit such evidence as the Arbitrator may require for the rendering of an Award. If the Arbitrator reasonably believes that a Party will not attend the Hearing, the Arbitrator may schedule the Hearing as a telephonic Hearing and may receive the evidence necessary to render an Award by affidavit. The notice of Hearing shall specify if it will be in person or telephonic.

(k) 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.

(i) 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.

(ii) If there is no agreement to share the cost of the stenographic record, it may not be provided to the Arbitrator and may not be used in the proceeding, unless the Party arranging for the stenographic record agrees to provide access to the stenographic record either at no charge or on terms that are acceptable to the Parties and the reporting service.

(iii) The Parties may agree that the cost of the stenographic record shall or shall not be allocated by the Arbitrator in the Award.

Rule 18. Waiver of Hearing

The Parties may agree to waive oral Hearing and submit the dispute to the Arbitrator for an Award based on written submissions and other evidence as the Parties may agree.

Rule 19. Awards

(a) The Arbitrator shall render a Final Award or Partial Final Award within thirty (30) calendar days after the date of the close of the Hearing as defined in Rule 17(h) or (i), or, if a Hearing has been waived, within thirty (30) calendar days after the receipt by the Arbitrator of all materials specified by the Parties, except (1) by the agreement of the Parties; (2) upon good cause for an extension of time to render the Award; or (3) as provided in Rule 17(i). The Arbitrator shall provide the Final Award or Partial Final Award to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES for issuance in accordance with this Rule.

(b) In determining the merits of the dispute, the Arbitrator shall be guided by the rules of law agreed upon by the Parties. In the absence of such agreement, the Arbitrator will be guided by the law or the rules of law that he or she deems to be most appropriate. The Arbitrator may grant any remedy or relief that is just and equitable and within the scope of the Parties' agreement, including, but not limited to, specific performance of a contract or any other equitable or legal remedy.

(c) In addition to a Final Award or Partial Final Award, the Arbitrator may make other decisions, including interim or partial rulings, orders and Awards.

(d) Interim Measures. The Arbitrator may grant whatever interim measures are deemed necessary, including injunctive relief and measures for the protection or conservation of property and disposition of disposable goods. Such interim measures may take the form of an interim or Partial Final Award, and the Arbitrator may require security for the costs of such measures. Any recourse by a Party to a court for interim or provisional relief shall not be deemed incompatible with the agreement to arbitrate or a waiver of the right to arbitrate.

(e) The Award of the Arbitrator may allocate Arbitration fees and Arbitrator compensation and expenses, unless such an allocation is expressly prohibited by the Parties' Agreement. (Such a prohibition may not limit the power of the Arbitrator to allocate Arbitration fees and Arbitrator compensation and expenses pursuant to Rule 26(c).)

(f) The Award of the Arbitrator may allocate attorneys' fees and expenses and interest (at such rate and from such date as the Arbitrator may deem appropriate) if provided by the Parties' Agreement or allowed by applicable law. When the Arbitrator is authorized to award attorneys' fees and must determine the reasonable amount of such fees, he or she may consider whether the failure of a Party to cooperate reasonably in the discovery process and/or comply with the Arbitrator's discovery orders caused delay to the proceeding or additional costs to the other Parties.

(g) The Award shall consist of a written statement signed by the Arbitrator regarding the disposition of each claim and the relief, if any, as to each claim. Unless all Parties agree otherwise, the Award shall also contain a concise written statement of the reasons for the Award.

(h) After the Award has been rendered, and provided the Parties have complied with Rule 26, the Award shall be issued by serving copies on the Parties. Service may be made by U.S. mail. It need not be sent certified or registered.

(i) Within seven (7) calendar days after service of a Partial Final Award or Final Award by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, any Party may serve upon the other Parties and on ALTCOURT JUDICAIL ARBITRATION MEDIATION Services request that the Arbitrator correct any computational, typographical or other similar error in an Award (including the reallocation of fees pursuant to Rule 26(c) or on account of the effect of an offer to allow judgment), or the Arbitrator may sua sponte
propose to correct such errors in an Award. A Party opposing such correction shall have seven (7) calendar days thereafter in which to file any objection. The Arbitrator may make any necessary and appropriate corrections to the Award within fourteen (14) calendar days of receiving a request or seven (7) calendar days after his or her proposal to do so. The Arbitrator may extend the time within which to make corrections upon good cause. The corrected Award shall be served upon the Parties in the same manner as the Award.

(j) The Award is considered final, for purposes of judicial proceeding to enforce, modify or vacate the Award pursuant to Rule 20, fourteen (14) calendar days after service is deemed effective if no request for a correction is made, or as of the effective date of service of a corrected Award.

Rule 20. Enforcement of the Award

Proceedings to enforce, confirm, modify or vacate an Award will be controlled by and conducted in conformity with the Federal Arbitration Act, 9 U.S.C. Sec 1, et. seq.,
or applicable state law. The Parties to an Arbitration under these Rules shall be deemed to have consented that judgment upon the Award may be entered in any court having jurisdiction thereof.
 


Rule 21. Confidentiality and Privacy

(a) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and the Arbitrator shall maintain the confidential nature of the Arbitration proceeding and the Award, including the Hearing, except as necessary in connection with a judicial challenge to or enforcement of an Award, or unless otherwise required by law or judicial decision.

(b) The Arbitrator may issue orders to protect the confidentiality of proprietary information, trade secrets or other sensitive information.

(c) Subject to the discretion of the Arbitrator or agreement of the Parties, any person having a direct interest in the Arbitration may attend the Arbitration Hearing. The Arbitrator may exclude any non-Party from any part of a Hearing.

Rule 22. Waiver

(a) If a Party becomes aware of a violation of or failure to comply with these Rules and fails promptly to object in writing, the objection will be deemed waived, unless the Arbitrator determines that waiver will cause substantial injustice or hardship.

(b) If any Party becomes aware of information that could be the basis of a challenge for cause to the continued service of the Arbitrator, such challenge must be made promptly, in writing, to the Arbitrator or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS. Failure to do so shall constitute a waiver of any objection to continued service by the Arbitrator.

Rule 23. Settlement and Consent Award

(a) The Parties may agree, at any stage of the Arbitration process, to submit the case to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES for mediation. The ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES mediator assigned to the case may not be the Arbitrator, unless the Parties so agree, pursuant to Rule 23(b).

(b) The Parties may agree to seek the assistance of the Arbitrator in reaching settlement. By their written agreement to submit the matter to the Arbitrator for settlement assistance, the Parties will be deemed to have agreed that the assistance of the Arbitrator in such settlement efforts will not disqualify the Arbitrator from continuing to serve as Arbitrator if settlement is not reached; nor shall such assistance be argued to a reviewing court as the basis for vacating or modifying an Award.

(c) If, at any stage of the Arbitration process, all Parties agree upon a settlement of the issues in dispute and request the Arbitrator to embody the agreement in a Consent Award, the Arbitrator shall comply with such request, unless the Arbitrator believes the terms of the agreement are illegal or undermine the integrity of the Arbitration process. If the Arbitrator is concerned about the possible consequences of the proposed Consent Award, he or she shall inform the Parties of that concern and may request additional specific information from the Parties regarding the proposed Consent Award. The Arbitrator may refuse to enter the proposed Consent Award and may withdraw from the case.

Rule 24. Sanctions

The Arbitrator may order appropriate sanctions for failure of a Party to comply with its obligations under any of these Rules or with an order of the Arbitrator. These sanctions may include, but are not limited to, assessment of Arbitration fees and Arbitrator compensation and expenses; any other costs occasioned by the actionable conduct, including reasonable attorneys' fees; exclusion of certain evidence; drawing adverse inferences; or, in extreme cases, determining an issue or issues submitted to Arbitration adversely to the Party that has failed to comply.

Rule 25. Disqualification of the Arbitrator as a Witness or Party and Exclusion of Liability

(a) The Parties may not call the Arbitrator, the Case Manager or any other ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES employee or agent as a witness or as an expert in any pending or subsequent litigation or other proceeding involving the Parties and relating to the dispute that is the subject of the Arbitration. The Arbitrator, Case Manager and other ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES employees and agents are also incompetent to testify as witnesses or experts in any such proceeding.

(b) The Parties shall defend and/or pay the cost (including any attorneys' fees) of defending the Arbitrator, Case Manager and/or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES from any subpoenas from outside parties arising from the Arbitration.

(c) The Parties agree that neither the Arbitrator, nor the Case Manager, nor ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES is a necessary Party in any litigation or other proceeding relating to the Arbitration or the subject matter of the Arbitration, and neither the Arbitrator, nor the Case Manager, nor ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, including its employees or agents, shall be liable to any Party for any act or omission in connection with any Arbitration conducted under these Rules, including, but not limited to, any disqualification of or recusal by the Arbitrator.

Rule 26. Fees

(a) Each Party shall pay its pro rata
share of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES fees and expenses as set forth in the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES fee schedule in effect at the time of the commencement of the Arbitration, unless the Parties agree on a different allocation of fees and expenses. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS' agreement to render services is jointly with the Party and the attorney or other representative of the Party in the Arbitration. The non-payment of fees may result in an administrative suspension of the case in accordance with Rule 6(c).

(b) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES requires that the Parties deposit the fees and expenses for the Arbitration from time to time during the course of the proceedings and prior to the Hearing. The Arbitrator may preclude a Party that has failed to deposit its pro rata
or agreed-upon share of the fees and expenses from offering evidence of any affirmative claim at the Hearing.

(c) The Parties are jointly and severally liable for the payment of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Arbitration fees and Arbitrator compensation and expenses. In the event that one Party has paid more than its share of such fees, compensation and expenses, the Arbitrator may Award against any Party any such fees, compensation and expenses that such Party owes with respect to the Arbitration.

(d) Entities whose interests are not adverse with respect to the issues in dispute shall be treated as a single Party for purposes of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS' assessment of fees. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall determine whether the interests between entities are adverse for purpose of fees, considering such factors as whether the entities are represented by the same attorney and whether the entities are presenting joint or separate positions at the Arbitration.

Rule 27. Bracketed (or High-Low) Arbitration Option

(a) At any time before the issuance of the Arbitration Award, the Parties may agree, in writing, on minimum and maximum amounts of damages that may be awarded on each claim or on all claims in the aggregate. The Parties shall promptly notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and provide to ALTCOURT JUDICAIL ARBITRATION MEDIATION Services copy of their written agreement setting forth the agreed-upon minimum and maximum amounts.

(b) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall not inform the Arbitrator of the agreement to proceed with this option or of the agreed-upon minimum and maximum levels without the consent of the Parties.

(c) The Arbitrator shall render the Award in accordance with Rule 19.

(d) In the event that the Award of the Arbitrator is between the agreed-upon minimum and maximum amounts, the Award shall become final as is. In the event that the Award is below the agreed-upon minimum amount, the final Award issued shall be corrected to reflect the agreed-upon minimum amount. In the event that the Award is above the agreed-upon maximum amount, the final Award issued shall be corrected to reflect the agreed-upon maximum amount.

Rule 28. Final Offer (or Baseball) Arbitration Option

(a) Upon agreement of the Parties to use the option set forth in this Rule, at least seven (7) calendar days before the Arbitration Hearing, the Parties shall exchange and provide to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES written proposals for the amount of money damages they would offer or demand, as applicable, and that they believe to be appropriate based on the standard set forth in Rule 19(b). ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall promptly provide copies of the Parties' proposals to the Arbitrator, unless the Parties agree that they should not be provided to the Arbitrator. At any time prior to the close of the Arbitration Hearing, the Parties may exchange revised written proposals or demands, which shall supersede all prior proposals. The revised written proposals shall be provided to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, which shall promptly provide them to the Arbitrator, unless the Parties agree otherwise.

(b) If the Arbitrator has been informed of the written proposals, in rendering the Award, the Arbitrator shall choose between the Parties' last proposals, selecting the proposal that the Arbitrator finds most reasonable and appropriate in light of the standard set forth in Rule 19(b). This provision modifies Rule 19(g) in that no written statement of reasons shall accompany the Award.

(c) If the Arbitrator has not been informed of the written proposals, the Arbitrator shall render the Award as if pursuant to Rule 19, except that the Award shall thereafter be corrected to conform to the closest of the last proposals and the closest of the last proposals will become the Award.

(d) Other than as provided herein, the provisions of Rule 19 shall be applicable.


 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Class Action Procedures



 

Rule 1.

Applicability

Rule 2.

Construction of the Arbitration Clause

Rule 3.

Prerequisites to a Class Certification

Rule 4.

Notice of Class Determination

Rule 5.

Final Award

Rule 6.

Settlement, Voluntary Dismissal, or Compromise

 


Rule 1. Applicability

(a) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will not administer a demand for class action arbitration when the underlying agreement contains a class preclusion clause, or its equivalent, unless a court orders the matter or claim to arbitration as a class action.

(b) Subject to Rule 1(a), these Class Action Procedures (“Procedures”) shall apply to any dispute arising out of an agreement that provides for arbitration pursuant to any of the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Arbitration Rules where a party submits a dispute to arbitration on behalf of or against a class or purported class, and shall supplement any other applicable ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules. These Procedures shall also apply whenever a court refers a matter pleaded as a class action to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES for administration, or when a party to a pending ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitration asserts new claims on behalf of or against a class or purported class.

(c) Subject to Rule 1(a), where inconsistencies exist between these Procedures and other ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules that apply to any dispute, these Procedures shall control. The Arbitrator has the authority to resolve any inconsistency between any agreement of the parties and these Procedures, and in doing so shall endeavor to avoid any prejudice to the interests of absent members of a class or purported class.

(d) Subject to Rule 1(a), the Arbitrator shall follow any order of a court relating to any matter that would otherwise be decided by an Arbitrator under these Procedures.

Rule 2. Construction of the Arbitration Clause

Subject to Rule 1(a), once appointed, the Arbitrator, following the law applicable to the validity of the arbitration clause as a whole, or the validity of any of its terms, or any court order applicable to the matter, shall determine as a threshold matter whether the arbitration can proceed on behalf of or against a class. In construing the applicable arbitration clause, the Arbitrator shall not consider the existence of these Supplementary Rules to be a factor either in favor of or against permitting the arbitration to proceed on a class basis.

The Arbitrator shall set forth his or her determination with respect to the matter of clause construction in a partial final award subject to immediate court review.

Rule 3. Prerequisites to a Class Certification

(a) The Arbitrator shall determine whether a class should be certified.

In making that determination, the Arbitrator shall consider the criteria enumerated in this Rule 3 and any law that the Arbitrator determines applies to the arbitration. The Arbitrator also shall determine whether one or more members of a class may act in the arbitration as representative parties on behalf of all members of the class described. The Arbitrator shall permit a class member to serve as a representative only if the conditions set forth in the Federal Rules of Civil Procedure, Rule 23(a), are met.

(b) Class Actions Maintainable. An action may be maintained as a class action if the prerequisites of subdivision (a) are satisfied, in addition to the criteria set forth in the Federal Rules of Civil Procedure, Rule 23(b).

(c) The Arbitrator shall set forth his or her determination with respect to the matter of Class Certification in a partial final award subject to immediate court review.

Rule 4. Notice of Class Determination

The Arbitrator shall direct that class members be provided the best notice practicable under the circumstances (“Notice of Class Determination”). The Notice of Class Determination shall be given to all members who can be identified through reasonable effort. The Notice of Class Determination must concisely and clearly state in plain, easily understood language:

(1)

the nature of the action;

(2)

the definition of the class certified;

(3)

the class claims, issues or defenses;

(4)  

that a class member may enter an appearance through counsel if the member so desires, and may attend the hearings;

(5)  

that the Arbitrator will exclude from the class any member who requests exclusion, with information about when and how members may elect to be excluded;

(6)

the binding effect of a class award on class members; and

(7)  

the identities of, and biographical information about, the Arbitrator and the class representative(s) and class counsel that have been approved by the Arbitrator to represent the class.


Rule 5. Final Award

The final award on the merits in a class arbitration, whether or not favorable to the class, shall be reasoned, shall define the class with specificity and shall set forth the reasons the class was or was not certified and the legal and factual findings underlying the award on the merits. The final award shall also specify or describe those to whom the notice provided in Rule 4 was directed: those whom the Arbitrator finds to be members of the class and those who have elected to opt out of the class.

A partial final award dealing with class certification may be altered or amended by the Arbitrator before a final award is rendered.

Rule 6. Settlement, Voluntary Dismissal or Compromise

(a)    (1) The Arbitrator may direct that notice be provided in a reasonable manner to all class members who would be bound by a proposed settlement, voluntary dismissal or compromise.
        (2) The Arbitrator may approve a settlement, voluntary dismissal or compromise that would bind class members only after a hearing and a finding that the settlement, voluntary dismissal, or compromise is fair, reasonable and adequate.
        (3) Any settlement, voluntary dismissal or compromise of the claims, issues or defenses of an arbitration filed as a class arbitration shall not be effective unless approved by the Arbitrator.

(b) The parties seeking approval of a settlement, voluntary dismissal or compromise under this Rule must submit to the Arbitrator any agreement made in connection with the proposed settlement, voluntary dismissal, or compromise.

(c) The Arbitrator may refuse to approve a settlement unless it affords a new opportunity to request exclusion to individual class members who had an earlier opportunity to request exclusion but did not do so.

(d) Any class member may object to a proposed settlement, voluntary dismissal or compromise that requires approval under this Rule. Such an objection may be withdrawn only with the approval of the Arbitrator.

 

 

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Construction Rules & Procedures

 

In a continuing effort to provide our clients with the highest quality dispute resolution services, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES offers clauses, rules and procedures designed to meet the parties’ needs in a variety of situations. 

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES provides arbitration and mediation services from Resolution Centers located throughout the United States. Its arbitrators and mediators hear and resolve some of the nation’s largest, most complex and contentious disputes, utilizing ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules & Procedures as well as the rules of other domestic and international arbitral institutions.

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrators and mediators are full-time neutrals who come from the ranks of retired state and federal judges and prominent attorneys. These highly trained and experienced ADR professionals are dedicated to the highest ethical standards of conduct.

 

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Engineering and Construction Arbitration Rules & Procedures


 

Rule 1.

Scope of Rules

Rule 2.

Party Self-Determination

Rule 3.

Amendment of Rules

Rule 4.

Conflict with Law

Rule 5.

Commencing an Arbitration

Rule 6.

Preliminary and Administrative Matters

Rule 7.

Number and Neutrality of Arbitrators; Appointment and Authority of Chairperson

Rule 8.

Service

Rule 9.

Notice of Claims

Rule 10.

Changes of Claims

Rule 11.

Interpretation of Rules and Jurisdictional Challenges

Rule 12.

Representation

Rule 13.

Withdrawal from Arbitration

Rule 14.

Ex Parte Communications

Rule 15.

Arbitrator Selection, Disclosure and Replacement

Rule 16.

Preliminary Conference

Rule 17.

Exchange of Information

Rule 18.

Summary Disposition of a Claim or Issue

Rule 19.

Scheduling and Location of Hearing

Rule 20.

Pre-Hearing Submissions

Rule 21.

Securing Witnesses and Documents for the Arbitration Hearing

Rule 22.

The Arbitration Hearing

Rule 23.

Waiver of Hearing

Rule 24.

Awards

Rule 25.

Enforcement of the Award

Rule 26.

Confidentiality and Privacy

Rule 27.

Waiver

Rule 28.

Settlement and Consent Award

Rule 29.

Sanctions

Rule 30.

Disqualification of the Arbitrator as a Witness or Party and Exclusion of Liability

Rule 31.

Fees

Rule 32.

Bracketed (or High-Low) Arbitration Option

Rule 33.

Final Offer (or Baseball) Arbitration Option

Rule 34.

Optional Arbitration Appeal Procedure

 

Rule 1. Scope of Rules

(a) The ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Engineering and Construction Arbitration Rules and Procedures ("Rules") govern binding Arbitrations of disputes administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and related to or arising out of contracts pertaining to the built environment, including without limitation claims involving architecture, engineering, construction, surety bonds, surety indemnity, building materials, lending, insurance, equipment, and trade practice and usage.

(b) The Parties shall be deemed to have made these Rules a part of their Arbitration agreement ("Agreement") whenever they have provided either for Arbitration by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES under its Engineering and Construction Rules or for Arbitration by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES without specifying any Rules and the disputes or claims are within the scope of Rule 1(a).

(c) The authority and duties of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES as prescribed in the Agreement of the Parties and in these Rules, shall be carried out by the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES National Arbitration Committee ("NAC") or the office of the General Counsel or their designees.

(d) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may, in its discretion, assign the administration of an Arbitration to any of its Resolution Centers.

(e) The term "Party" as used in these Rules includes Parties to the Arbitration and their counsel or representatives.

(f) "Electronic filing" (e-file) means the electronic transmission of documents to and from ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and other Parties for the purpose of filing via the Internet. "Electronic service" (e-service) means the electronic transmission of documents via ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to a party, attorney or representative under these Rules.

Rule 2. Party Self-Determination

(a) The Parties may agree on any procedures not specified herein or in lieu of these Rules that are consistent with the applicable law and ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES policies (including, without limitation, Rules 15(i), 30 and 31). The Parties shall promptly notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES of any such Party-agreed procedures and shall confirm such procedures in writing. The Party-agreed procedures shall be enforceable as if contained in these Rules.

(b) When an Arbitration Agreement provides that the Arbitration will be non-administered or administered by an entity other than ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and/or conducted in accordance with rules other than ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules, the Parties may subsequently agree to modify that Agreement to provide that the Arbitration will be administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and/or conducted in accordance with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules.

Rule 3. Amendment of Rules

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may amend these Rules without notice. The Rules in effect on the date of the commencement of an Arbitration (as defined in Rule 5) shall apply to that Arbitration, unless the Parties have agreed upon another version of the Rules.

Rule 4. Conflict with Law

If any of these Rules, or any supplementation or modification of these Rules agreed on by the Parties, is determined to be in conflict with a provision of applicable law, the law will govern over the Rule in conflict, and no other Rule will be affected.

Rule 5. Commencing an Arbitration

(a) The Arbitration is deemed commenced when ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES issues a Commencement Letter based upon the existence of one of the following:

(i) A post-dispute Arbitration agreement fully executed by all Parties and that specifies ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES administration or use of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules; or

(ii) A pre-dispute written contractual provision requiring the Parties to arbitrate the dispute or claim and specifying ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES administration or use of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules or accompanied by the Parties' agreement that the Arbitration shall be administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS; or

(iii) A written confirmation of an oral agreement of all Parties to participate in an Arbitration administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES or conducted pursuant to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules; or

(iv) An agreement to arbitrate fully executed by all Parties and the Respondent's failure to timely object to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES administration; or

(v) A copy of a court order compelling Arbitration at ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS.

(b) The issuance of the Commencement Letter confirms that requirements for commencement have been met, that ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES has received all payments required under the applicable fee schedule, and that the Claimant has provided ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES with contact information for all Parties along with evidence that the Demand for Arbitration has been served on all Parties.

(c) If a Party that is obligated to arbitrate in accordance with subparagraph (a) of this Rule fails to agree to participate in the Arbitration process, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall confirm in writing that Party's failure to respond or participate and, pursuant to Rule 22(j), the Arbitrator, once appointed, shall schedule, and provide appropriate notice of a Hearing or other opportunity for the Party demanding the Arbitration to demonstrate its entitlement to relief.

(d) The date of commencement of the Arbitration is the date of the Commencement Letter, but is not intended to be applicable to any legal requirement, such as the statute of limitations, any contractual limitations period, or claims notice requirement. The term "commencement" as used in this Rule is intended only to pertain to the operation of this and other rules (such as Rule 3, 13(a), 17(a), 31(a)).

Rule 6. Preliminary and Administrative Matters

(a) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may convene, or the Parties may request, administrative conferences to discuss any procedural matter relating to the administration of the Arbitration.

(b) If no Arbitrator has yet been appointed, at the request of a party and in the absence of Party agreement, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may determine the location of the Hearing, subject to Arbitrator review. In determining the location of the Hearing such factors as the subject matter of the dispute, the convenience of the Parties and witnesses and the relative resources of the Parties shall be considered.

(c) If, at any time, any Party has failed to pay fees or expenses in full, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may order the suspension or termination of the proceedings. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may so inform the Parties in order that one of them may advance the required payment. If one Party advances the payment owed by a non-paying Party, the Arbitration shall proceed and the Arbitrator may allocate the non-paying party's share of such costs, in accordance with Rules 24(f) and 31(c). An administrative suspension shall toll any other time limits contained in these Rules, applicable statutes or the Parties' Agreement.

(d) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES does not maintain an official record of documents filed in the Arbitration. If the Parties wish to have any documents returned to them, they must advise ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES in writing within 30 calendar days of the conclusion of the Arbitration. If special arrangements are required regarding file maintenance or document retention, they must be agreed to in writing and ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES reserves the right to impose an additional fee for such special arrangements. Documents that are submitted for e-filing are retained for 30 calendar days following the conclusion of the Arbitration.

(e) Unless the Parties' agreement or applicable law provides otherwise, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, if it determines that the Arbitrations so filed have common issues of fact or law, may consolidate Arbitrations in the following instances:

(i) If a Party files more than one Arbitration with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may consolidate the Arbitrations into a single arbitration.

(ii) Where a Demand or Demands for Arbitration is or are submitted naming Parties already involved in another Arbitration or Arbitrations pending under these Rules, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may decide that the new case or cases shall be consolidated into one or more of the pending proceedings and referred to one of the Arbitrators or panels of Arbitrators already appointed.

(iii) Where a Demand or Demands for Arbitration is or are submitted naming parties that are not identical to the Parties in the existing Arbitration or Arbitrations, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may decide that the new case or cases shall be consolidated into one or more of the pending proceedings and referred to one of the Arbitrators or panels of Arbitrators already appointed.

When rendering its decision, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will take into account all circumstances, including the links between the cases and the progress already made in the existing Arbitrations.

Unless applicable law provides otherwise, where ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES decides to consolidate a proceeding into a pending Arbitration, the Parties to the consolidated case or cases will be deemed to have waived their right to designate an Arbitrator as well as any contractual provision with respect to the site of the Arbitration.

(f) Where a third party seeks to participate in an Arbitration already pending under these Rules or where a Party to an Arbitration under these Rules seeks to compel a third party to participate in a pending Arbitration, the Arbitrator shall determine such request, taking into account all circumstances he or she deems relevant and applicable.

Rule 7. Number and Neutrality of Arbitrators; Appointment and Authority of Chairperson

(a) The Arbitration shall be conducted by one neutral Arbitrator with respect to any disputes arising from residential construction or with respect to any disputes, whether arising from residential or commercial construction, where the collective claims and counter-claims, in the aggregate, are less than two million dollars, unless all Parties agree otherwise. The Arbitration shall be conducted by three neutral Arbitrators in all other disputes, unless the Parties agree otherwise. In these Rules, the term "Arbitrator" shall mean, as the context requires, the Arbitrator or the panel of Arbitrators in a tripartite Arbitration.

(b) In cases involving more than one Arbitrator the Parties shall agree on, or in the absence of agreement ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall designate, the Chairperson of the Arbitration Panel. If the Parties and the Arbitrators agree, a single member of the Arbitration Panel may, acting alone, decide discovery and procedural matters, including the conduct of hearings to receive documents and testimony from third parties who have been subpoenaed to produce documents.

(c) Where the Parties have agreed that each Party is to name one Arbitrator, the Arbitrators so named shall be neutral and independent of the appointing Party unless the Parties have agreed that they shall be non-neutral.

Rule 8. Service

(a) The Arbitrator may at any time require electronic filing and service of documents in an Arbitration. If an Arbitrator requires electronic filing, the parties shall maintain and regularly monitor a valid, usable and live email address for the receipt of all documents filed through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System. Any document filed electronically shall be considered as filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES when the transmission to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System is complete. Any document e-filed by 11:59 p.m. (of the sender's time zone) shall be deemed filed on that date. Upon completion of filing, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System shall issue a confirmation receipt that includes the date and time of receipt. The confirmation receipt shall serve as proof of filing.

(b) Every document filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System shall be deemed to have been signed by the Arbitrator, Case Manager, attorney or declarant who submits the document to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System, and shall bear the typed name, address and telephone number of a signing attorney. Documents containing signatures of third-parties (i.e., unopposed motions, affidavits, stipulations, etc.) may also be filed electronically by indicating that the original signatures are maintained by the filing Party in paper-format.

(c) Delivery of e-service documents through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to other registered users shall be considered as valid and effective service and shall have the same legal effect as an original paper document. Recipients of e-service documents shall access their documents through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System. E-service shall be deemed complete when the party initiating e-service completes the transmission of the electronic document(s) to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System for e-filing and/or e-service. Upon actual or constructive receipt of the electronic document(s) by the party to be served, a Certificate of Electronic Service shall be issued by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to the party initiating e-service and that Certificate shall serve as proof of service. Any party who ignores or attempts to refuse e-service shall be deemed to have received the electronic document(s) 72 hours following the transmission of the electronic document(s) to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System.

(d) If an electronic filing or service does not occur because of (1) an error in the transmission of the document to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System or served Party which was unknown to the sending Party, (2) a failure to process the electronic document when received by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System, (3) the Party was erroneously excluded from the service list, or (4) other technical problems experienced by the filer, the Arbitrator or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may, for good cause shown, permit the document to be filed nunc pro tunc
to the date it was first attempted to be sent electronically. Or in the case of service, the Party shall, absent extraordinary circumstances, be entitled to an order extending the date for any response or the period within which any right, duty or other act must be performed.

(e) For documents that are not filed electronically, service by a Party under these Rules is effected by providing one signed copy of the document to each Party and two copies in the case of a sole Arbitrator and four copies in the case of a tripartite panel to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS. Service may be made by hand-delivery, overnight delivery service or U.S. mail. Service by any of these means is considered effective upon the date of deposit of the document.

(f) In computing any period of time prescribed or allowed by these Rules for a Party to do some act within a prescribed period after the service of a notice or other paper on the Party and the notice or paper is served on the Party only by U.S. mail, three (3) calendar days shall be added to the prescribed period.

Rule 9. Notice of Claims 

(a) Each Party shall afford all other Parties reasonable and timely notice of its claims, affirmative defenses or counterclaims. Any such notice shall include a short statement of its factual basis. No claim, remedy, counterclaim, or affirmative defense will be considered by the Arbitrator in the absence of such prior notice to the other Parties, unless the Arbitrator determines that no Party has been unfairly prejudiced by such lack of formal notice or all Parties agree that such consideration is appropriate notwithstanding the lack of prior notice.

(b) Claimant's notice of claims is the Demand for Arbitration referenced in Rule 5. It shall include a statement of the remedies sought. The Demand for Arbitration may attach and incorporate a copy of a Complaint previously filed with a court. In the latter case, Claimant may accompany the Complaint with a copy of any Answer to that Complaint filed by a Respondent.

(c) Within fourteen (14) calendar days of service of the notice of claim, a Respondent may submit to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and serve on other Parties a response and a statement of any affirmative defenses, including jurisdictional challenges, or counterclaims it may have.

(d) Within fourteen (14) calendar days of service of a counterclaim, a Claimant may submit to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and serve on other Parties a response to such counterclaim and any affirmative defenses, including jurisdictional challenges, it may have.

(e) Any claim or counterclaim to which no response has been served will be deemed denied.

(f) Jurisdictional challenges under Rule 11 shall be deemed waived, unless asserted in a response to a Demand or counterclaim or promptly thereafter, when circumstances first suggest an issue of arbitrability.

Rule 10. Changes of Claims

After the filing of a claim and before the Arbitrator is appointed, any Party may make a new or different claim against a Party or any third Party that is subject to Arbitration in the proceeding. Such claim shall be made in writing, filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and served on the other Parties. Any response to the new claim shall be made within fourteen (14) calendar days after service of such claim. After the Arbitrator is appointed, no new or different claim may be submitted except with the Arbitrator's approval. A Party may request a Hearing on this issue. Each Party has the right to respond to any new or amended claim in accordance with Rule 9(c) or (d).

 
 



Rule 11. Interpretation of Rules and Jurisdictional Challenges

(a) Once appointed, the Arbitrator shall resolve disputes about the interpretation and applicability of these Rules and conduct of the Arbitration Hearing. The resolution of the issues by the Arbitrator shall be final.

(b) Jurisdictional and arbitrability disputes, including disputes over the formation, existence, validity, interpretation or scope of the agreement under which Arbitration is sought, and who are proper Parties to the Arbitration, shall be submitted to and ruled on by the Arbitrator. The Arbitrator has the authority to determine jurisdiction and arbitrability issues as a preliminary matter.

(c) Disputes concerning the appointment of the Arbitrator shall be resolved by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS.

(d) The Arbitrator may upon a showing of good cause or sua sponte
, when necessary to facilitate the Arbitration, extend any deadlines established in these Rules, provided that the time for rendering the Award may only be altered in accordance with Rules 22(i) or 24.

Rule 12. Representation

(a) The Parties, whether natural persons or legal entities such as corporations, LLCs or partnerships, may be represented by counsel or any other person of the Party's choice. Each Party shall give prompt written notice to the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Case Manager and the other Parties of the name, address, telephone and fax numbers, and email address of its representative. The representative of a Party may act on the Party's behalf in complying with these Rules.

(b) Changes in Representation. A Party shall give prompt written notice to the Case Manager and the other Parties of any change in its representation, including the name, address, telephone and fax numbers, and email address of the new representative. Such notice shall state that the written consent of the new representative has been obtained and shall state the effective date of the new representation.

Rule 13. Withdrawal from Arbitration

(a) No Party may terminate or withdraw from an Arbitration after the issuance of the Commencement Letter (see Rule 5) except by written agreement of all Parties to the Arbitration.

(b) A Party that asserts a claim or counterclaim may unilaterally withdraw that claim or counterclaim without prejudice by serving written notice on the other Parties and on the Arbitrator. However, the opposing Parties may, within seven (7) calendar days of service of such notice, request that the Arbitrator condition the withdrawal upon such terms as he or she may direct.

Rule 14. Ex Parte
Communications

(a) No Party may have any ex parte communication with a neutral Arbitrator, except as provided in section (b) of this Rule. The Arbitrator(s) may authorize any Party to communicate directly with the Arbitrator(s) by email or other written means, so long as copies are simultaneously forwarded to the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Case Manager and the other Parties.

(b) A Party may have ex parte communication with its appointed neutral or non-neutral Arbitrator as necessary to secure the Arbitrator's services and to assure the absence of conflicts and in connection with the selection of the Chairperson of the arbitral panel.

(c) The Parties may agree to permit more extensive ex parte communication between a Party and a non-neutral Arbitrator. More extensive communications with a non-neutral arbitrator may also be permitted by applicable law and rules of ethics.

Rule 15. Arbitrator Selection, Disclosure and Replacement

(a) Unless the Arbitrator has been previously selected by agreement of the Parties, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may attempt to facilitate agreement among the Parties regarding selection of the Arbitrator.

(b) If the Parties do not agree on an Arbitrator, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall send the Parties a list of at least five (5) Arbitrator candidates in the case of a sole Arbitrator and ten (10) Arbitrator candidates in the case of a tripartite panel. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall also provide each Party with a brief description of the background and experience of each Arbitrator candidate. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may replace any or all names on the list of Arbitrator candidates for reasonable cause at any time before the Parties have submitted their choice pursuant to subparagraph (c) below.

(c) Within seven (7) calendar days of service upon the Parties of the list of names, each Party may strike two (2) names in the case of a sole Arbitrator and three (3) names in the case of a tripartite panel, and shall rank the remaining Arbitrator candidates in order of preference. The remaining Arbitrator candidate with the highest composite ranking shall be appointed the Arbitrator. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may grant any Party a reasonable extension of the time to strike and rank the Arbitrator candidates to any Party without the consent of the other Parties.

(d) If this process does not yield an Arbitrator or a complete panel, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall designate the sole Arbitrator or as many members of the tripartite panel as are necessary to complete the panel.

(e) If a Party fails to respond to a list of Arbitrator candidates within seven (7) calendar days after its service, or fails to respond according to the instructions provided by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall deem that Party to have accepted all of the Arbitrator candidates.

(f) Entities whose interests are not adverse with respect to the issues in dispute shall be treated as a single Party for purposes of the Arbitrator selection process. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall determine whether the interests between entities are adverse for purposes of Arbitrator selection, considering such factors as whether the entities are represented by the same attorney and whether the entities are presenting joint or separate positions at the Arbitration.

(g) If, for any reason, the Arbitrator who is selected is unable to fulfill the Arbitrator's duties, a successor Arbitrator shall be chosen in accordance with this Rule. If a member of a panel of Arbitrators becomes unable to fulfill his or her duties after the beginning of a Hearing but before the issuance of an Award, a new Arbitrator will be chosen in accordance with this Rule unless, in the case of a tripartite panel, the Parties agree to proceed with the remaining two Arbitrators. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will make the final determination as to whether an Arbitrator is unable to fulfill his or her duties, and that decision shall be final.

(h) Any disclosures regarding the selected Arbitrator shall be made as required by law or within ten (10) calendar days from the date of appointment. Such disclosures may be provided in electronic format, provided that ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will produce a hard copy to any Party that requests it. The Parties and their representatives shall disclose to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES any circumstance likely to give rise to justifiable doubt as to the Arbitrator's impartiality or independence, including any bias or any financial or personal interest in the results of the Arbitration or any past or present relationship with the Parties or their representatives. The obligation of the Arbitrator, the Parties and their representatives to make all required disclosures continues throughout the Arbitration process.

(i) At any time during the Arbitration process, a Party may challenge the continued service of an Arbitrator for cause. The challenge must be based upon information that was not available to the Parties at the time the Arbitrator was selected. A challenge for cause must be in writing and exchanged with opposing Parties who may respond within seven (7) days of service of the challenge. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall make the final determination as to such challenge. Such determination shall take into account the materiality of the facts and any prejudice to the Parties. That decision will be final.

(j) Where the Parties have agreed that a Party-appointed Arbitrator is to be non-neutral, that Party-appointed Arbitrator is not obliged to withdraw if requested to do so only by the Party who did not appoint that Arbitrator.

Rule 16. Preliminary Conference

At the request of any Party or at the direction of the Arbitrator, a Preliminary Conference shall be conducted with the Parties or their counsel or representatives. The Preliminary Conference may address any or all of the following subjects:

(a) The exchange of information in accordance with Rule 17 or otherwise;

(b) The schedule for discovery as permitted by the Rules, as agreed by the Parties or as required or authorized by applicable law;

(c) The pleadings of the Parties and any agreement to clarify or narrow the issues or structure the Arbitration Hearing;

(d) The scheduling of the Hearing and any pre-Hearing exchanges of information, exhibits, motions or briefs;

(e) The attendance of witnesses as contemplated by Rule 21;

(f) The scheduling of any dispositive motion pursuant to Rule 18;

(g) The premarking of exhibits; preparation of joint exhibit lists and the resolution of the admissibility of exhibits;

(h) The form of the Award; and

(i) Such other matters as may be suggested by the Parties or the Arbitrator.

The Preliminary Conference may be conducted telephonically and may be resumed from time to time as warranted.

Rule 17. Exchange of Information

(a) The Parties shall cooperate in good faith in the voluntary and informal exchange of all non-privileged documents and other information (including electronically stored information "ESI") relevant to the dispute or claim immediately after commencement of the Arbitration. They shall complete an initial exchange of all relevant, non-privileged documents, including, without limitation, copies of all documents in their possession or control on which they rely in support of their positions, names of individuals who may have relevant knowledge or who may be called as witnesses at the Arbitration Hearing, and names of experts who have been retained or who may be called to provide expert testimony at the Arbitration Hearing, within twenty-one (21) calendar days after all pleadings or notice of claims have been received. Final expert reports of testifying experts will be exchanged as scheduled in the Preliminary Conference or within 14 days after the close of discovery. The Arbitrator may modify these obligations at or following the Preliminary Conference.

(b) Each Party may take two depositions of either an opposing Party or individuals under the control of the opposing Party. The Parties shall attempt to agree on the time, location and duration of the deposition, and if the Parties do not agree these issues shall be determined by the Arbitrator. The necessity of additional depositions shall be determined by the Arbitrator based upon the reasonable need for the requested information, the availability of other discovery options and the burdensomeness of the request on the opposing Parties and the witness.

(c) As they become aware of new documents or information, including experts who may be called upon to testify, all Parties continue to be obligated to provide relevant, non-privileged documents, to supplement their identification of witnesses and experts and to honor any informal agreements or understandings between the Parties regarding documents or information to be exchanged. Documents that were not previously exchanged, or witnesses and experts that were not previously identified, may not be considered by the Arbitrator at the Hearing, unless agreed by the Parties or upon a showing of good cause.

(d) The Parties shall promptly notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES when a dispute exists regarding discovery issues. A conference shall be arranged with the Arbitrator, either by telephone or in person, and the Arbitrator shall decide the dispute. With the written consent of all Parties, and in accordance with an agreed written procedure, the Arbitrator may appoint a special master to assist in resolving a discovery dispute.

Rule 18. Summary Disposition of a Claim or Issue

The Arbitrator may permit any Party to file a Motion for Summary Disposition of a particular claim or issue, either by agreement of all interested Parties or at the request of one Party, provided other interested Parties have reasonable notice to respond to the request.

Rule 19. Scheduling and Location of Hearing

(a) The Arbitrator, after consulting with the Parties that have appeared, shall determine the date, time and location of the Hearing. The Arbitrator and the Parties shall attempt to schedule consecutive Hearing days if more than one day is necessary.

(b) If a Party has failed to participate in the Arbitration process, the Arbitrator may set the Hearing without consulting with that Party. The non-participating Party shall be served with a Notice of Hearing at least thirty (30) calendar days prior to the scheduled date unless the law of the relevant jurisdiction allows for or the Parties have agreed to shorter notice.

(c) The Arbitrator, in order to hear a third party witness, or for the convenience of the Parties or the witnesses, may conduct the Hearing at any location. Any ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Resolution Center may be designated a Hearing location for purposes of the issuance of a subpoena or subpoena duces tecum
to a third party witness.

Rule 20. Pre-Hearing Submissions

(a) Except as set forth in any scheduling order that may be adopted, at least fourteen (14) calendar days before the Arbitration Hearing, the Parties shall file with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and serve and exchange (1) a list of the witnesses they intend to call, including any experts, in the order in which the witnesses are expected to be called, (2) a short description of the anticipated testimony of each such witness and an estimate of the length of the witness's direct testimony, and (3) a list of all exhibits intended to be used at the Hearing, together with a copy of such exhibits to the extent that any such exhibit has not been previously exchanged. The Parties should pre-mark exhibits and shall attempt to resolve any disputes regarding the admissibility of exhibits prior to the Hearing.

(b) The Arbitrator may require that each Party submit concise written statements of position, including summaries of the facts and evidence a Party intends to present, discussion of the applicable law and the basis for the requested Award or denial of relief sought. The statements, which may be in the form of a letter, shall be filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and served upon the other Parties, at least seven (7) calendar days before the Hearing date. Rebuttal statements or other pre-Hearing written submissions may be permitted or required at the discretion of the Arbitrator.

 
 

Rule 21. Securing Witnesses and Documents for the Arbitration Hearing

At the written request of a Party, all other Parties shall produce for the Arbitration Hearing all specified witnesses in their employ or under their control without need of subpoena. The Arbitrator may issue subpoenas for the attendance of witnesses or the production of documents either prior to or at the Hearing pursuant to this Rule or Rule 19(c). The subpoena or subpoena duces tecum shall be issued in accordance with the applicable law. In the event a Party or a subpoenaed person objects to the production of a witness or other evidence, the Party or subpoenaed person may file an objection with the Arbitrator, who shall promptly rule on the objection, weighing both the burden on the producing Party and witness and the need of the proponent for the witness or other evidence.

Rule 22. The Arbitration Hearing

(a) The Arbitrator will ordinarily conduct the Arbitration Hearing in the manner set forth in these Rules. The Arbitrator may vary these procedures if it is determined to be reasonable and appropriate to do so.

(b) The Arbitrator shall determine the order of proof, which will generally be similar to that of a court trial.

(c) The Arbitrator shall require witnesses to testify under oath if requested by any Party or deemed appropriate in the discretion of the Arbitrator.

(d) Strict conformity to the rules of evidence is not required, except that the Arbitrator shall apply applicable law relating to privileges and work product. The Arbitrator shall consider evidence that he or she finds relevant and material to the dispute, giving the evidence such weight as is appropriate. The Arbitrator may be guided in that determination by principles contained in the Federal Rules of Evidence or any other applicable rules of evidence. The Arbitrator may limit testimony to exclude evidence that would be immaterial, cumulative or unduly repetitive, without infringing the opportunity of all Parties to present material and relevant evidence.

(e) The Arbitrator shall receive and consider relevant deposition testimony recorded by transcript or videotape, provided that the other Parties have had the opportunity to attend and cross-examine at the time the testimony was recorded. The Arbitrator may in his or her discretion consider witness affidavits or other recorded testimony even if the other Parties have not had the opportunity to cross-examine, but will give that evidence only such weight as the Arbitrator deems appropriate.

(f) The Parties will not offer as evidence, and the Arbitrator shall neither admit into the record nor consider, prior settlement offers by the Parties or statements or recommendations made by a mediator or other person in connection with efforts to resolve the dispute being arbitrated, except to the extent that applicable law permits the admission of such evidence.

(g) The Hearing or any portion thereof may be conducted telephonically or video graphically with the agreement of the Parties or in the discretion of the Arbitrator.

(h) When the Arbitrator determines that all relevant and material evidence and arguments have been presented, and any interim or partial Awards have been issued, the Arbitrator shall declare the Hearing closed. The Arbitrator may defer the closing of the Hearing until a date determined by the Arbitrator in order to permit the Parties to submit post-Hearing briefs, which may be in the form of a letter, and/or to make closing arguments. If post-Hearing briefs are to be submitted, or closing arguments are to be made, the Hearing shall be deemed closed upon receipt by the Arbitrator of such briefs or at the conclusion of such closing arguments, whichever is later.

(i) At any time before the Award is rendered, the Arbitrator may, sua sponte
or on application of a Party for good cause shown, re-open the Hearing. If the Hearing is re-opened, the time to render the Award shall be calculated from the date the reopened Hearing is declared closed by the Arbitrator.

(j) The Arbitrator may proceed with the Hearing in the absence of a Party that, after receiving notice of the Hearing pursuant to Rule 19, fails to attend. The Arbitrator may not render an Award solely on the basis of the default or absence of the Party, but shall require any Party seeking relief to submit such evidence as the Arbitrator may require for the rendering of an Award. If the Arbitrator reasonably believes that a Party will not attend the Hearing, the Arbitrator may schedule the Hearing as a telephonic Hearing and may receive the evidence necessary to render an Award by affidavit. The notice of Hearing shall specify if it will be in person or telephonic.

(k) 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.

(i) 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.

(ii) If there is no agreement to share the cost of the stenographic record, it 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.

(iii) If the Parties agree to an Optional Arbitration Appeal Procedure (see Rule 34), they shall, if possible, ensure that a stenographic or other record is made of the Hearing and shall share the cost of that record.

(iv) The Parties may agree that the cost of the stenographic record shall or shall not be allocated by the Arbitrator in the Award.

Rule 23. Waiver of Hearing

The Parties may agree to waive the oral Hearing and submit the dispute to the Arbitrator for an Award based on written submissions and other evidence as the Parties may agree.

Rule 24. Awards

(a) The Arbitrator shall render a Final Award or a Partial Final Award within thirty (30) calendar days after the date of the close of the Hearing as defined in Rule 22(h) or (i), or, if a Hearing has been waived, within thirty (30) calendar days after the receipt by the Arbitrator of all materials specified by the Parties, except (i) by the agreement of the Parties, (ii) upon good cause for an extension of time to render the Award, or (iii) as provided in Rule 22(i). The Arbitrator shall provide the Final Award or the Partial Final Award to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES for issuance in accordance with this Rule.

(b) Where a panel of Arbitrators has heard the dispute, the decision and Award of a majority of the panel shall constitute the Arbitration Award.

(c) In determining the merits of the dispute the Arbitrator shall be guided by the rules of law agreed upon by the Parties. In the absence of such agreement, the Arbitrator shall be guided by the rules of law and equity that the Arbitrator deems to be most appropriate. The Arbitrator shall have the power to grant any remedy or relief that is just and equitable and within the scope of the Parties' agreement, including but not limited to specific performance of a contract or any other equitable or legal remedy.

(d) In addition to a Final Award or Partial Final Award, the Arbitrator may make other decisions, including interim or partial rulings, orders and Awards.

(e) Interim Measures. The Arbitrator may grant whatever interim measures are deemed necessary, including injunctive relief and measures for the protection or conservation of property and disposition of disposable goods. Such interim measures may take the form of an interim or Partial Final Award, and the Arbitrator may require security for the costs of such measures. Any recourse by a Party to a court for interim or provisional relief shall not be deemed incompatible with the agreement to arbitrate or a waiver of the right to arbitrate.

(f) The Award of the Arbitrator may allocate Arbitration fees and Arbitrator compensation and expenses unless such an allocation is expressly prohibited by the Parties' agreement. (Such a prohibition may not limit the power of the Arbitrator to allocate Arbitration fees and Arbitrator compensation and expenses pursuant to Rule 31(c).)

(g) The Award of the Arbitrator may allocate attorneys' fees and expenses and interest (at such rate and from such date as the Arbitrator may deem appropriate) if provided by the Parties' agreement or allowed by applicable law. When the Arbitrator is authorized to award attorneys' fees and must determine the reasonable amount of such fees, he or she may consider whether the failure of a Party to cooperate reasonably in the discovery process and/or comply with the Arbitrator's discovery orders caused delay to the proceeding or additional costs to the other Parties.

(h) The Award will consist of a written statement signed by the Arbitrator regarding the disposition of each claim and the relief, if any, as to each claim. Unless all Parties agree otherwise, the Award shall also contain a concise written statement of the reasons for the Award.

(i) After the Award has been rendered, and provided the Parties have complied with Rule 31, the Award shall be served by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES upon the Parties. Service may be made by U.S. mail. It need not be sent certified or registered.

(j) Within seven (7) calendar days after service of a Partial Final Award or Final Award by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, any Party may serve upon the other Parties and on ALTCOURT JUDICAIL ARBITRATION MEDIATION Services request that the Arbitrator correct any computational, typographical or other similar error in an Award (including the reallocation of fees pursuant to Rule 31(c) or on account of the effect of an offer to allow judgment), or the Arbitrator may sua sponte
propose to correct such errors in an Award. A Party opposing such correction shall have seven (7) calendar days thereafter in which to file any objection. The Arbitrator may make any necessary and appropriate correction to the Award within twenty-one (21) calendar days of receiving a request or fourteen (14) calendar days after the Arbitrator's proposal to do so. The Arbitrator may extend the time within which to make corrections upon good cause. The corrected Award shall be served upon the Parties in the same manner as the Award.

(k) The Award is considered final, for purposes of either an Optional Arbitration Appeal Procedure pursuant to Rule 34 or a judicial proceeding to enforce, modify or vacate the Award pursuant to Rule 25, fourteen (14) calendar days after service is deemed effective if no request for a correction is made, or as of the effective date of service of a corrected Award.

Rule 25. Enforcement of the Award

Judicial Proceedings to enforce, confirm, modify or vacate an Award will be controlled by and conducted in conformity with the Federal Arbitration Act, 9 U.S.C. Sec 1 et seq. or applicable state law. The Parties to an Arbitration under these Rules shall be deemed to have consented that judgment upon the Award may be entered in any court having jurisdiction thereof.

Rule 26. Confidentiality and Privacy

(a) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and the Arbitrator shall maintain the confidential nature of the Arbitration proceeding and the Award, including the Hearing, except as necessary in connection with a judicial challenge to or enforcement of an Award, or unless otherwise required by law or judicial decision.

(b) The Arbitrator may issue orders to protect the confidentiality of proprietary information, trade secrets or other sensitive information.

(c) Subject to the discretion of the Arbitrator or agreement of the Parties, any person having a direct interest in the Arbitration may attend the Arbitration Hearing. The Arbitrator may exclude any non-Party from any part of a Hearing.

Rule 27. Waiver

(a) If a Party becomes aware of a violation of or failure to comply with these Rules and fails promptly to object in writing, the objection will be deemed waived, unless the Arbitrator determines that waiver will cause substantial injustice or hardship.

(b) If any Party becomes aware of information that could be the basis of a challenge for cause to the continued service of the Arbitrator, such challenge must be made promptly, in writing, to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS. Failure to do so shall constitute a waiver of any objection to continued service of the Arbitrator.

Rule 28. Settlement and Consent Award

(a) The Parties may agree, at any stage of the Arbitration process, to submit the case to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES for mediation. The ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES mediator assigned to the case may not be the Arbitrator or a member of the Appeal Panel, unless the Parties so agree, pursuant to Rule 28(b).

(b) The Parties may agree to seek the assistance of the Arbitrator in reaching settlement. By their written agreement to submit the matter to the Arbitrator for settlement assistance, the Parties will be deemed to have agreed that the assistance of the Arbitrator in such settlement efforts will not disqualify the Arbitrator from continuing to serve as Arbitrator if settlement is not reached; nor shall such assistance be argued to a reviewing court as the basis for vacating or modifying an Award.

(c) If, at any stage of the Arbitration process, all Parties agree upon a settlement of the issues in dispute and request the Arbitrator to embody the agreement in a Consent Award, the Arbitrator shall comply with such request unless the Arbitrator believes the terms of the agreement are illegal or undermine the integrity of the Arbitration process. If the Arbitrator is concerned about the possible consequences of the proposed Consent Award, he or she shall inform the Parties of that concern and may request additional specific information from the Parties regarding the proposed Consent Award. The Arbitrator may refuse to enter the proposed Consent Award and may withdraw from the case.

Rule 29. Sanctions

The Arbitrator may order appropriate sanctions for failure of a Party to comply with its obligations under any of these Rules or with an order of the Arbitrator. These sanctions may include, but are not limited to, assessment of Arbitration fees and Arbitrator compensation and expenses, any other costs occasioned by the actionable conduct including reasonable attorneys' fees, exclusion of certain evidence, drawing adverse inferences, or in extreme cases determining an issue or issues submitted to Arbitration adversely to the Party that has failed to comply.

Rule 30. Disqualification of the Arbitrator as a Witness or Party and Exclusion of Liability

(a) The Parties may not call the Arbitrator, the Case Manager or any other ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES employee or agent as a witness or as an expert in any pending or subsequent litigation or other proceeding involving the Parties and relating to the dispute that is the subject of the Arbitration. The Arbitrator, Case Manager and other ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES employees and agents are also incompetent to testify as witnesses or experts in any such proceeding.

(b) The Parties shall defend and/or pay the cost (including any attorneys' fees) of defending the Arbitrator, Case Manager and/or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES from any subpoenas from outside Parties arising from the Arbitration.

(c) The Parties agree that neither the Arbitrator, Case Manager nor ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES is a necessary Party in any litigation or other proceeding relating to the Arbitration or the subject matter of the Arbitration, and neither the Arbitrator, Case Manager nor ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, including its employees or agents, shall be liable to any Party for any act or omission in connection with any Arbitration conducted under these Rules, including but not limited to any disqualification of or recusal by the Arbitrator.

Rule 31. Fees

(a) Each Party shall pay its pro-rata share of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES fees and expenses as set forth in the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Commencement Letter and fee schedule in effect at the time of the commencement of the Arbitration, unless the Parties agree on a different allocation of fees and expenses or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES thereafter directs a different allocation upon consolidation with another Arbitration. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES agreement to render services is jointly with the Party and the Party's attorney or other representative of the Party in the Arbitration. The non-payment of fees may result in an administrative suspension of the case in accordance with Rule 6(c).

(b) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES requires that the Parties deposit the fees and expenses for the Arbitration from time to time during the course of the proceedings and prior to the Hearing. The Arbitrator may preclude a Party that has failed to deposit its pro-rata
or agreed-upon share of the fees and expenses from offering evidence of any affirmative claim at the Hearing.

(c) The Parties are jointly and severally liable for the payment of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Arbitration fees and Arbitrator compensation and expenses. In the event that one Party has paid more than its share of such fees, compensation and expenses, the Arbitrator may award against any other Party any such fees, compensation and expenses that such Party owes with respect to the Arbitration.

(d) Entities whose interests are not adverse with respect to the issues in dispute shall be treated as a single Party for purposes of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES assessment of fees. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall determine whether the interests between entities are adverse for purpose of fees, considering such factors as whether the entities are represented by the same attorney and whether the entities are presenting joint or separate positions at the Arbitration.

Rule 32. Bracketed (or High-Low) Arbitration Option

(a) At any time before the issuance of the Arbitration Award, the Parties may agree, in writing, on minimum and maximum amounts of damages that may be awarded on each claim or on all claims in the aggregate. The Parties shall promptly notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and provide to ALTCOURT JUDICAIL ARBITRATION MEDIATION Services copy of their written agreement setting forth the agreed-upon maximum and minimum amounts.

(b) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall not inform the Arbitrator of the agreement to proceed with this option or of the agreed-upon minimum and maximum levels without the consent of the Parties.

(c) The Arbitrator shall render the Award in accordance with Rule 24.

(d) In the event that the Award of the Arbitrator is between the agreed-upon minimum and maximum amounts, the Award shall become final as is. In the event that the Award is below the agreed-upon minimum amount, the final Award issued shall be corrected to reflect the agreed-upon minimum amount. In the event that the Award is above the agreed-upon maximum amount, the final Award issued shall be corrected to reflect the agreed-upon maximum amount.

Rule 33. Final Offer (or Baseball) Arbitration Option

(a) Upon agreement of the Parties to use the option set forth in this Rule, at least seven (7) calendar days before the Arbitration Hearing, the Parties shall exchange and provide to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES written proposals for the amount of money damages they would offer or demand, as applicable, and that they believe to be appropriate based on the standard set forth in Rule 24 (c). ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall promptly provide a copy of the Parties' proposals to the Arbitrator, unless the Parties agree that they should not be provided to the Arbitrator. At any time prior to the close of the Arbitration Hearing, the Parties may exchange revised written proposals or demands, which shall supersede all prior proposals. The revised written proposals shall be provided to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, which shall promptly provide them to the Arbitrator, unless the Parties agree otherwise.

(b) If the Arbitrator has been informed of the written proposals, in rendering the Award the Arbitrator shall choose between the Parties' last proposals, selecting the proposal that the Arbitrator finds most reasonable and appropriate in light of the standard set forth in Rule 24(c). This provision modifies Rule 24(h) in that no written statement of reasons shall accompany the Award.

(c) If the Arbitrator has not been informed of the written proposals, the Arbitrator shall render the Award as if pursuant to Rule 24, except that the Award shall thereafter be corrected to conform to the closest of the last proposals, and the closest of the last proposals will become the Award.

(d) Other than as provided herein, the provisions of Rule 24 shall be applicable.

Rule 34. Optional Arbitration Appeal Procedure

The Parties may agree at any time to the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Optional Arbitration Appeal Procedure. All Parties must agree in writing for such procedure to be effective. Once a Party has agreed to the Optional Arbitration Appeal Procedure, it cannot unilaterally withdraw from it, unless it withdraws, pursuant to Rule 13, from the Arbitration.

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Engineering and Construction Expedited Arbitration Rules



 

Rule 1.

Scope of Rules

Rule 2.

Party Self-Determination

Rule 3.

Amendment of Rules

Rule 4.

Conflict with Law

Rule 5.

Commencing an Arbitration

Rule 6.

Preliminary and Administrative Matters

Rule 7.

Number and Neutrality of Arbitrators; Appointment and Authority of Chairperson

Rule 8.

Service and Time Limits

Rule 9.

Notice of Claims

Rule 10.

Changes of Claims

Rule 11.

Interpretation of Rules and Jurisdictional Challenges

Rule 12.

Representation

Rule 13.

Withdrawal from Arbitration

Rule 14.

Ex Parte Communications

Rule 15.

Arbitrator Selection, Disclosure and Replacement

Rule 16.

Telephone Conference and Preliminary Conference

Rule 17.

Exchange of Information

Rule 18.

Summary Disposition of a Claim or Issue

Rule 19.

Scheduling and Location of Hearing

Rule 20.

Pre-Hearing Submissions

Rule 21.

Securing Witnesses and Documents for the Arbitration Hearing

Rule 22.

The Arbitration Hearing

Rule 23.

Waiver of Hearing

Rule 24.

Awards

Rule 25.

Enforcement of the Award

Rule 26.

Confidentiality and Privacy

Rule 27.

Waiver

Rule 28.

Settlement and Consent Award

Rule 29.

Sanctions

Rule 30.

Disqualification of the Arbitrator as a Witness or Party and Exclusion of Liability

Rule 31.

Fees

Rule 32.

Bracketed (or High-Low) Arbitration Option

Rule 33.

Final Offer (or Baseball) Arbitration Option

Rule 34.

Optional Arbitration Appeal Procedure

 



Rule 1. Scope of Rules

(a) The ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Engineering and Construction Arbitration Rules and Procedures for Expedited Arbitration ("Rules") govern binding arbitrations of disputes administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and related to or arising out of contracts pertaining to the built environment, including without limitation claims involving architecture, engineering, construction, surety bonds, surety indemnity, building materials, lending, insurance, equipment, and trade practice and usage, where the Parties have agreed to expedited arbitration.

(b) The Parties shall be deemed to have made these Rules a part of their Arbitration agreement ("Agreement") whenever they have provided either for arbitration by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES under these Rules or for expedited arbitration by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES without specifying any rules and the disputes or claims are within the scope of Rule 1(a).

(c) The authority and duties of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES as prescribed in the Agreement of the Parties and in these Rules shall be carried out by the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES National Arbitration Committee ("NAC") or the office of the General Counsel or their designees.

(d) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may, in its discretion, assign the administration of an Arbitration to any of its Resolution Centers.

(e) The term "Party" as used in these Rules includes parties to the Arbitration and their counsel or representatives.

(f) "Electronic filing" (e-file) means the electronic transmission of documents to and from ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and other Parties for the purpose of filing via the Internet. "Electronic service" (e-service) means the electronic transmission of documents via ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to a party, attorney or representative under these Rules.

Rule 2. Party Self-Determination

(a) The Parties may agree on any procedures not specified herein or in lieu of these Rules that are consistent with the applicable law and ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES policies (including, without limitation, Rules 15(i), 30 and 31). The Parties shall promptly notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES of any such Party-agreed procedures and shall confirm such procedures in writing. The Party-agreed procedures shall be enforceable as if contained in these Rules.

(b) When an Arbitration Agreement provides that the Arbitration will be non-administered or administered by an entity other than ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and/or conducted in accordance with rules other than ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules, the Parties may subsequently agree to modify that Agreement to provide that the Arbitration will be administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and/or conducted in accordance with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules.

Rule 3. Amendment of Rules

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may amend these Rules without notice. The Rules in effect on the date of the commencement of an Arbitration (as defined in Rule 5) shall apply to that Arbitration, unless the Parties have agreed upon another version of the Rules.

Rule 4. Conflict with Law

If any of these Rules, or any supplementation or modification of these Rules agreed on by the Parties, is determined to be in conflict with a provision of applicable law, the law will govern over the Rule in conflict, and no other Rule will be affected.

Rule 5. Commencing an Arbitration

(a) The Arbitration is deemed commenced when ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES issues a Commencement Letter based upon the existence of one of the following:

(i) A post-dispute arbitration agreement fully executed by all Parties and that specifies expedited ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES administration or use of these Rules; or

(ii) A pre-dispute written contractual provision requiring the Parties to arbitrate the dispute or claim and specifying expedited ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES administration or use of these Rules or accompanied by the Parties' agreement that the Arbitration shall be administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES under these Rules; or

(iii) A written confirmation of an oral agreement of the Parties to participate in an arbitration conducted pursuant to these Rules; or

(iv) An agreement to arbitrate fully executed by all Parties and the Respondent's failure to timely object to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES administration; or

(v) A copy of a court order compelling arbitration at ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS.

(b) The issuance of the Commencement Letter confirms that the requirements for commencement have been met, that ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES has received the payments required under the applicable fee schedule, and that the Claimant has provided ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES with contact information for all Parties along with evidence that the Demand for Arbitration has been served on all Parties.

(c) If a Party that is obligated to arbitrate in accordance with subparagraph (a) of this Rule fails to agree to participate in the Arbitration process, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall confirm in writing that Party's failure to respond or participate and, pursuant to Rule 22, the Arbitrator, once appointed, shall schedule, and provide appropriate notice of a Hearing or other opportunity for the Party demanding the Arbitration to demonstrate its entitlement to relief.

(d) The date of commencement of the Arbitration is the date of the Commencement Letter, but is not intended to be applicable to any legal requirement, such as the statute of limitations, any contractual limitations period, or claims notice requirement. The term "commencement" as used in this Rule is intended only to pertain to the operation of this and other rules (such as Rules 3, 13, or 31).

Rule 6. Preliminary and Administrative Matters

(a) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may convene, or the Parties may request, administrative conferences to discuss any procedural matter relating to the administration of the Arbitration.

(b) If no Arbitrator has yet been appointed, at the request of a Party and in the absence of Party Agreement, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may determine the location of the Hearing, subject to Arbitrator review. In determining the location of the Hearing, such factors as the location of the project, the subject matter of the dispute, the convenience of the Parties and witnesses and the relative resources of the Parties shall be considered. The location of the project shall be given the greatest weight in making this determination.

(c) If, at any time, any Party has failed to pay fees or expenses in full, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may order the suspension or termination of the proceedings. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may so inform the Parties in order that one of them may advance the required payment. If one party advances the payment owed by a non-paying party, the Arbitration shall proceed and the Arbitrator may allocate the non-paying party's share of such costs in accordance with Rules 24(f) and 31(c). An administrative suspension shall toll any other time limits contained in these Rules, applicable statutes or the Parties' Agreement.

(d) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES does not maintain a duplicate file of documents filed in the Arbitration. If the Parties wish to have any documents returned to them, they must advise ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES in writing within 30 calendar days of the conclusion of the Arbitration. If special arrangements are required regarding file maintenance or document retention, they must be agreed to in writing and ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES reserves the right to impose an additional fee for such special arrangements.

(e) Unless the Parties' Agreement or applicable law provides otherwise, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, if it determines that the Arbitrations so filed have common issues of fact or law, may consolidate Arbitrations in the following instances:

(i) If a Party files more than one Arbitration with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may consolidate the Arbitrations into a single arbitration.

(ii) Where a Demand or Demands for Arbitration is or are submitted naming Parties already involved in another Arbitration or Arbitrations pending under these Rules, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may decide that the new case or cases shall be consolidated into one or more of the pending proceedings and referred to one of the Arbitrators already appointed.

(iii) Where a Demand or Demands for Arbitration is or are submitted naming parties that are not identical to the Parties in the existing Arbitration or Arbitrations, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may decide that the new case or cases shall be consolidated into one or more of the pending proceedings and referred to one of the Arbitrators already appointed.

When rendering its decision, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will take into account all circumstances, including the links between the cases and the progress already made in the existing Arbitrations.

Unless applicable law provides otherwise, where ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES decides to consolidate a proceeding into a pending Arbitration, the Parties to the consolidated case or cases will be deemed to have waived their right to designate an Arbitrator as well as any contractual provision with respect to the site of the Arbitration.

(f) Where a third party seeks to participate in an Arbitration already pending under these Rules or where a Party to an Arbitration under these Rules seeks to compel a third party to participate in a pending Arbitration, the Arbitrator shall determine such request, taking into account all circumstances he or she deems relevant and applicable.

Rule 7. Number and Neutrality of Arbitrators, Appointment and Authority of Chairperson

(a) The Arbitration shall be conducted by one neutral Arbitrator appointed by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES unless all Parties have agreed otherwise. In these Rules, the term "Arbitrator" shall mean, as the context requires, the Arbitrator or the panel of Arbitrators in a tripartite Arbitration.

(b) Where the Parties have agreed that each Party is to name one Arbitrator, the Claimant shall name its Arbitrator and provide contact information and curriculum vitae at the time of filing the Demand, and the Respondent shall name its Arbitrator with contact information and curriculum vitae within ten (10) days of the date of the Commencement Letter. Failure to name an Arbitrator within the time specified in this rule will confer the right to name the Arbitrator upon ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS.

(c) In cases involving more than one Arbitrator the Parties shall agree within ten (10) days of Respondent naming its Arbitrator on, or in the absence of agreement ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall promptly designate, the Chairperson of the Arbitration Panel. If the Parties and the Arbitrator agree, the Chairperson may, acting alone, decide discovery and procedural matters, including the conduct of hearings to receive documents and testimony of third parties who have been subpoenaed to produce documents.

(d) Where the Parties have agreed that each Party is to name one Arbitrator, the Arbitrators so named shall be neutral and independent of the appointing Party unless the Parties have agreed that they shall be non-neutral.
 

Rule 8. Service and Time Limits

(a) The Arbitrator may at any time require electronic filing and service of documents in an Arbitration. If an Arbitrator requires electronic filing, the parties shall maintain and regularly monitor a valid, usable and live email address for the receipt of all documents filed through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System. Any document filed electronically shall be considered as filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES when the transmission to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System is complete. Any document e-filed by 11:59 p.m. (of the sender's time zone) shall be deemed filed on that date. Upon completion of filing, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System shall issue a confirmation receipt that includes the date and time of receipt. The confirmation receipt shall serve as proof of filing.

(b) Every document filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System shall be deemed to have been signed by the Arbitrator, Case Manager, attorney or declarant who submits the document to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System and shall bear the typed name, address, and telephone number of a signing attorney. Documents containing signatures of third-parties (i.e., unopposed motions, affidavits, stipulations, etc.) may also be filed electronically by indicating that the original signatures are maintained by the filing Party in paper-format.

(c) Delivery of e-service documents through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to other registered users shall be considered as valid and effective service and shall have the same legal effect as an original paper document. Recipients of e-service documents shall access their documents through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System. E-service shall be deemed complete when the party initiating e-service completes the transmission of the electronic document(s) to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System for e-filing and/or e-service. Upon actual or constructive receipt of the electronic document(s) by the party to be served, a Certificate of Electronic Service shall be issued by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to the party initiating e-service and that Certificate shall serve as proof of service. Any party who ignores or attempts to refuse e-service shall be deemed to have received the electronic document(s) 72 hours following the transmission of the electronic document(s) to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System.

(d) If an electronic filing or service does not occur because of (1) an error in the transmission of the document to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System or served Party which was unknown to the sending Party, (2) a failure to process the electronic document when received by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System, (3) the Party was erroneously excluded from the service list, or (4) other technical problems experienced by the filer, the Arbitrator or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may, for good cause shown, permit the document to be filed nunc pro tunc
to the date it was first attempted to be sent electronically. Or in the case of service, the Party shall, absent extraordinary circumstances, be entitled to an order extending the date for any response or the period within which any right, duty or other act must be performed.

(e) For documents that are not filed electronically, service by a Party under these Rules is effected by providing a copy of the document to each Party and each Arbitrator, and the original of the document to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS. Service shall be by electronic mail or facsimile transmission.

(f) In computing any period of time prescribed or allowed by these Rules for a Party to do some act within a prescribed period a "day" shall mean a business day.

Rule 9. Notice of Claims

(a) Each Party shall afford all other Parties reasonable and timely notice of its claims, affirmative defenses or counterclaims. Any such notice shall include a short statement of its factual basis. No claim, remedy, counterclaim, or affirmative defense will be considered by the Arbitrator in the absence of such prior notice to the other Parties, unless the Arbitrator determines that no Party has been unfairly prejudiced by such lack of formal notice or all Parties agree that such consideration is appropriate notwithstanding the lack of prior notice.

(b) Claimant's notice of claims is the Demand for Arbitration referenced in Rule 5. It shall include a statement of the remedies sought. The Demand for Arbitration may attach and incorporate a copy of a Complaint previously filed with a court. In the latter case, Claimant may accompany the Complaint with a copy of any Answer to that Complaint filed by a Respondent.

(c) Within seven (7) calendar days of service of the notice of claim, a Respondent may submit to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and serve on other Parties a response and a statement of any affirmative defenses, including jurisdictional challenges, or counterclaims it may have.

(d) Within seven (7) calendar days of service of a counterclaim, a Claimant may submit to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and serve on other Parties a response to such counterclaim and any affirmative defenses, including jurisdictional challenges, it may have.

(e) Any claim or counterclaim to which no response has been served will be deemed denied.

(f) Jurisdictional challenges under Rule 11 shall be deemed waived, unless asserted in a response to a Demand or counterclaim or promptly thereafter, when circumstances first suggest an issue of arbitrability.

Rule 10. Changes of Claims

After the filing of the Demand and before the Arbitrator is appointed, any Party may make a new or different claim against a Party or any third Party that is subject to Arbitration in the proceeding. Such claim shall be made in writing, filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and served on the other Parties. Thereafter the response and reply procedure for Submissions of Claim shall apply. After the Arbitrator is appointed, no new or different claim may be submitted except with the Arbitrator's approval.

Rule 11. Interpretation of Rules and Jurisdictional Challenges

(a) Once appointed, the Arbitrator shall resolve disputes about the interpretation and applicability of these Rules and conduct of the Arbitration Hearing. The resolution of the issues by the Arbitrator shall be final.

(b) Jurisdictional and arbitrability disputes, including disputes over the formation, existence, validity, interpretation or scope of the Agreement under which Arbitration is sought, and who are proper Parties to the Arbitration, shall be submitted to and ruled on by the Arbitrator. The Arbitrator has the authority to determine jurisdiction and arbitrability issues as a preliminary matter.

(c) Disputes concerning the appointment of the Arbitrator shall be resolved by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS.

(d) The Arbitrator may upon a showing of good cause or sua sponte
, when necessary to facilitate the Arbitration, extend any deadlines established in these Rules, provided that the time for rendering the Award may only be altered in accordance with Rules 22 and 24.

Rule 12. Representation

(a) The Parties, whether natural persons or legal entities such as corporations, LLCs or partnerships, may be represented by counsel or any other person of the Party's choice. Each Party shall give prompt written notice to the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Case Manager and the other Parties of the name, address, telephone and fax numbers, and email address of its representative. The representative of a Party may act on the Party's behalf in complying with these Rules.

(b) Changes in Representation. A Party shall give prompt written notice to the Case Manager and the other Parties of any change in its representation, including the name, address, telephone and fax numbers, and email address of the new representative. Such notice shall state that the written consent of the new representative has been obtained and shall state the effective date of the new representation.

Rule 13. Withdrawal from Arbitration

(a) No Party may terminate or withdraw from an Arbitration after the issuance of the Commencement Letter except by written agreement of all Parties to the Arbitration.

(b) A Party that asserts a claim or counterclaim may unilaterally withdraw that claim or counterclaim without prejudice by serving written notice on the other Parties and on the Arbitrator. However, the opposing Parties may, within seven (7) calendar days of service of such notice, request that the Arbitrator condition the withdrawal upon such terms as he or she may direct.

Rule 14. Ex Parte Communications

(a) No Party may have any ex parte communication with a neutral Arbitrator, except as provided in section (b) of this Rule.  The Arbitrator(s) may authorize any party to communicate directly with the Arbitrator(s) by email or other written means, so long as copies are simultaneously forwarded to the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Case Manager and the other Parties.

(b) A Party may have ex parte
communication with its appointed neutral or non-neutral Arbitrator as necessary to secure the Arbitrator's services and to assure the absence of conflicts and in connection with the selection of the Chairperson of the arbitral panel.

(c) The Parties may agree to permit more extensive ex parte communication between a Party and a non-neutral Arbitrator. More extensive communications with a non-neutral arbitrator may also be permitted by applicable law and rules of ethics.

Rule 15. Arbitrator Selection, Disclosure and Replacement

(a) Unless the Arbitrator has been previously selected by agreement of the Parties, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may attempt to facilitate agreement among the Parties regarding selection of the Arbitrator.

(b) If the Parties do not agree on an Arbitrator, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall send the Parties a list of at least three (3) Arbitrator candidates in the case of a sole Arbitrator and six (6) Arbitrator candidates in the case of a tripartite panel. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall also provide each Party with a brief description of the background and experience of each Arbitrator candidate. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may replace any or all names on the list of Arbitrator candidates for reasonable cause at any time before the Parties have submitted their choice pursuant to subparagraph (c) below.

(c) Within seven (7) calendar days of service upon the Parties of the list of names, each Party may strike one (1) name in the case of a sole Arbitrator and two (2) names in the case of a tripartite panel, and shall rank the remaining Arbitrator candidates in order of preference. The remaining Arbitrator candidate with the highest composite ranking shall be appointed the Arbitrator. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may grant any Party a reasonable extension of the time to strike and rank the Arbitrator candidates to any Party without the consent of the other Parties.

(d) If this process does not yield an Arbitrator or a complete panel, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall designate the sole Arbitrator or as many members of the tripartite panel as are necessary to complete the panel.

(e) If a Party fails to respond to a list of Arbitrator candidates within seven (7) calendar days after its service, or fails to respond according to the instructions provided by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall deem that Party to have accepted all of the Arbitrator candidates.

(f) Entities whose interests are not adverse with respect to the issues in dispute shall be treated as a single Party for purposes of the Arbitrator selection process. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall determine whether the interests between entities are adverse for purposes of Arbitrator selection, considering such factors as whether the entities are represented by the same attorney and whether the entities are presenting joint or separate positions at the Arbitration.

(g) If, for any reason, the Arbitrator who is selected is unable to fulfill the Arbitrator's duties, a successor Arbitrator shall be chosen in accordance with this Rule. If a member of a panel of Arbitrators becomes unable to fulfill his or her duties after the beginning of a Hearing but before the issuance of an Award, a new Arbitrator will be chosen in accordance with this Rule unless, in the case of a tripartite panel, the Parties agree to proceed with the remaining two Arbitrators. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will make the final determination as to whether an Arbitrator is unable to fulfill his or her duties, and that decision shall be final.

(h) Any disclosures regarding the selected Arbitrator shall be made as required by law or within five (5) days from the date of appointment. Such disclosures may be provided in electronic format, provided that ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will produce a hard copy to any Party that requests it. The Parties and their representatives shall disclose to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES any circumstances likely to give rise to justifiable doubt as to the Arbitrator's impartiality or independence, including any bias or any financial or personal interest in the results of the Arbitration or any past or present relationship with the Parties or their representatives. The obligation of the Arbitrator, the Parties and their representatives to make all required disclosures continues throughout the Arbitration process.

(i) At any time during the Arbitration process, a Party may challenge the continued service of an Arbitrator for cause. The challenge must be based upon information that was not available to the challenging Party at the time the Arbitrator was selected. A challenge for cause must be in writing and exchanged with opposing Parties who may respond within five (5) days of service of the challenge. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall make the final determination as to such challenge. Such determination shall take into account the materiality of the facts and any prejudice to the Parties. That decision will be final.

(j) Where the Parties have agreed that a Party-appointed Arbitrator is to be non-neutral, that Party-appointed Arbitrator shall not be subject to disqualification on grounds of lack of neutrality.

Rule 16. Telephone Conference and Preliminary Conference

(a) Within five (5) days of appointment of the Arbitrator, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will arrange a telephone conference between the Parties and the Arbitrator. During this telephone conference the following subjects may be addressed:

(i) Any request for extension of time to make Submissions;

(ii) Firm dates for initial requests for document discovery;

(iii) Selection of venue and date for the Preliminary Conference, and tentative selection of venue and dates for the Hearing;

(iv) Any other procedural matters requiring attention prior to the Preliminary Conference.

(b) A Preliminary Conference shall be conducted with the Parties or their counsel or representatives to address any or all of the following subjects:

(i) The exchange of information in accordance with Rule 17 or otherwise including firm time limits;

(ii) Agreements to clarify or narrow the issues or structure the Arbitration Hearing including stipulations of fact or applicable law and possible bifurcation of issues;

(iii) Time limits for presentations at the Hearing;

(iv) Arrangements for recording the Hearing by transcript or otherwise;

(v) The scheduling of firm dates for the Hearing and any pre-Hearing exchanges of information, exhibits, motions or briefs as contemplated by Rule 20;

(vi) The attendance of witnesses as contemplated by Rule 21;

(vii) The scheduling of any dispositive motion pursuant to Rule 18;

(viii) The premarking of exhibits; preparation of joint exhibit lists and the resolution of the admissibility of exhibits as contemplated by Rule 20;

(ix) The form of the Award;

(x) Such other matters as may be suggested by the Parties or the Arbitrator.

The Preliminary Conference may be conducted telephonically and may be resumed from time to time as warranted.

Rule 17. Exchange of Information

(a) The Parties shall cooperate in good faith in the voluntary and informal exchange of all non-privileged documents and other information (including electronically stored information ("ESI")) relevant to the dispute or claim as may be requested by an opposing party at the time set in the Telephone Conference. Such requests shall be focused on the material issues in dispute and as narrow as reasonably possible. The Parties shall exchange summaries of witness and expert witness testimony and any expert's report by a testifying expert at the time established in Rule 20 or in the Preliminary Conference. Depositions will not be taken except upon a showing of exceptional need for same and with the approval of the Arbitrator. When documents to be exchanged are maintained in electronic form, the Party in possession of such documents may make them available in the form most convenient for it. Broad requests for email discovery shall not be permissible.

(b) As they become aware of new documents or information, including experts who may be called upon to testify, all Parties continue to be obligated to provide relevant, non-privileged documents and information, to supplement their identification of witnesses and experts and to honor any informal agreements or understandings between the Parties regarding documents or information to be exchanged. Documents that were not previously exchanged, or witnesses and experts that were not previously identified, may not be considered by the Arbitrator at the Hearing, unless agreed by the Parties or upon a showing of good cause.

(c) The Parties shall promptly notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES when a dispute exists regarding discovery issues. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall arrange a conference with the Arbitrator, either by telephone or in person, and the Arbitrator shall decide the dispute. With the written consent of all Parties, and in accordance with an agreed written procedure, the Arbitrator may appoint a special master to assist in resolving a discovery dispute.

Rule 18. Summary Disposition of a Claim or Issue

The Arbitrator may permit any Party to file a Motion for Summary Disposition of a particular claim or issue, either by agreement of all interested Parties or at the request of one Party, provided other interested Parties have reasonable notice to respond to the request.

Rule 19. Scheduling and Location of Hearing

(a) The dates of the Hearing shall be as determined in the Preliminary Conference. Absent special circumstances the Hearing shall be scheduled no later than four (4) months from the date of the Preliminary Conference. The Arbitrator and the Parties shall schedule consecutive Hearing days if more than one day is necessary.

(b) If a Party has failed to participate in the Arbitration process, the Arbitrator may set the Hearing without consulting with that Party. The non-participating Party shall be served with a Notice of Hearing at least thirty (30) calendar days prior to the scheduled date unless the law of the relevant jurisdiction allows for or the Parties have agreed to shorter notice.

(c) The Arbitrator, in order to hear a third party witness, or for the convenience of the Parties or the witnesses, may conduct the Hearing at any location. Any ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Resolution Center may be designated a Hearing location for purposes of the issuance of a subpoena or subpoena duces tecum
to a third party witness.

Rule 20. Pre-Hearing Submissions

(a) Except as set forth in any scheduling order that may be adopted, at least fourteen (14) calendar days before the Arbitration Hearing, the Parties shall file with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and serve and exchange (1) an updated list of the witnesses they intend to call, including any experts in the likely order in which the witnesses are expected to be called, (2) a short description of the anticipated testimony of each such witness and an estimate of the length of the witness's direct testimony, and (3) a list of all exhibits intended to be used at the Hearing, together with a copy of such exhibits to the extent that any such exhibit has not been previously exchanged. The Parties should pre-mark exhibits and shall attempt to resolve any disputes regarding the admissibility of exhibits prior to the Hearing.

(b) The Arbitrator may require that each Party submit updated concise written statements of position, including summaries of the facts and evidence a Party intends to present, discussion of the applicable law and the basis for the requested Award or denial of relief sought. The statements, which may be in the form of a letter, shall be filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and served upon the other Parties, at least seven (7) calendar days before the Hearing date. Rebuttal statements or other pre-Hearing written submissions may be permitted or required at the discretion of the Arbitrator.

Rule 21. Securing Witnesses and Documents for the Arbitration Hearing

At the written request of a Party, all other Parties shall produce for the Arbitration Hearing all specified witnesses in their employ or under their control without need of subpoena. The Arbitrator may issue subpoenas for the attendance of witnesses or the production of documents either prior to or at the Hearing pursuant to this Rule or Rule 19(c). In the event a Party or a subpoenaed person objects to the production of a witness or other evidence, the Party or subpoenaed person may file an objection with the Arbitrator, who shall promptly rule on the objection, weighing both the burden on the producing Party and witness and the need of the proponent for the witness or other evidence.

Rule 22. The Arbitration Hearing

(a) The Arbitrator will ordinarily conduct the Arbitration Hearing in the manner set forth in these Rules. The Arbitrator may vary these procedures if it is determined to be reasonable and appropriate to do so.

(b) The Arbitrator shall determine the order of proof and may require two or more witnesses to give their evidence together.

(c) The Arbitrator may question witnesses and may direct that immaterial, irrelevant or cumulative evidence will not be admitted.

(d) The Arbitrator shall require witnesses to testify under oath if requested by any Party or deemed appropriate by the Arbitrator.

(e) Strict conformity to the rules of evidence is not required, except that the Arbitrator shall apply applicable law relating to privileges and work product. The Arbitrator shall consider evidence that he or she finds relevant and material to the dispute, giving the evidence such weight as is appropriate. The Arbitrator may be guided in that determination by principles contained in the Federal Rules of Evidence or any other applicable rules of evidence. The Arbitrator may limit testimony to exclude evidence that would be immaterial or unduly repetitive, provided that all Parties are afforded the opportunity to present material and relevant evidence.

(f) The Arbitrator may in his or her discretion consider witness affidavits or other recorded testimony even if the other Parties have not had the opportunity to cross-examine, but will give that evidence only such weight as the Arbitrator deems appropriate.

(g) The Parties will not offer as evidence, and the Arbitrator shall neither admit into the record nor consider, prior settlement offers by the Parties or statements or recommendations made by a mediator or other person in connection with efforts to resolve the dispute being arbitrated, except to the extent that applicable law permits the admission of such evidence.

(h) The Hearing or any portion thereof may be conducted telephonically or video graphically with the agreement of the Parties or in the discretion of the Arbitrator.

(i) When the Arbitrator determines that all relevant and material evidence and arguments have been presented, and any interim or partial Awards have been issued, the Arbitrator shall declare the Hearing closed. The Arbitrator may defer the closing of the Hearing until a date determined by the Arbitrator in order to permit the Parties to submit post-Hearing briefs, which may be in the form of a letter, and/or to make closing arguments. If post-Hearing briefs are to be submitted, or closing arguments are to be made, the Hearing shall be deemed closed upon receipt by the Arbitrator of such briefs or at the conclusion of such closing arguments, whichever is later.

(j) At any time before the Award is rendered, the Arbitrator may, sua sponte
or on application of a Party for good cause shown, re-open the Hearing. If the Hearing is re-opened, the time to render the Award shall be calculated from the date the reopened Hearing is declared closed by the Arbitrator.

(k) The Arbitrator may proceed with the Hearing in the absence of a Party that, after receiving notice of the Hearing pursuant to Rule 19, fails to attend. The Arbitrator may not render an Award solely on the basis of the default or absence of the Party, but shall require any Party seeking relief to submit such evidence as the Arbitrator may require for the rendering of an Award. If the Arbitrator reasonably believes that a Party will not attend the Hearing, the Arbitrator may schedule the Hearing as a telephonic Hearing and may receive the evidence necessary to render an Award by affidavit. The notice of Hearing shall specify if it will be in person or telephonic.

(l) 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.

(i) 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.

(ii) If there is no agreement to share the cost of the stenographic record, it 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.

(iii) If the Parties agree to an Optional Arbitration Appeal Procedure (see Rule 34), they shall, if possible, ensure that a stenographic or other record is made of the Hearing and shall share the cost of that record.

(iv) The Parties may agree that the cost of the stenographic record shall or shall not be allocated by the Arbitrator in the Award.

Rule 23. Waiver of Hearing

The Parties may agree to waive the oral Hearing and submit the dispute to the Arbitrator for an Award based on written submissions and other evidence as the Parties may agree.

Rule 24. Awards

(a) The Arbitrator shall render a Final Award or a Partial Final Award within twenty (20) days after the date of the close of the Hearing as defined in Rule 22(i) or (j) or, if a Hearing has been waived, within twenty (20) calendar days after the receipt by the Arbitrator of all materials specified by the Parties, except (i) by the agreement of the Parties, (ii) upon good cause for an extension of time to render the Award, or (iii) as provided in Rule 22(i). The Arbitrator shall provide the Final Award or the Partial Final Award to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES for issuance in accordance with this Rule.

(b) Where a panel of Arbitrators has heard the dispute, the decision and Award of a majority of the panel shall constitute the Arbitration Award.

(c) In determining the merits of the dispute the Arbitrator shall be guided by the rules of law agreed upon by the Parties. In the absence of such agreement, the Arbitrator shall be guided by the rules of law and equity that the Arbitrator deems to be most appropriate. The Arbitrator may grant any remedy or relief that is just and equitable and within the scope of the Parties' agreement, including but not limited to specific performance of a contract or any other equitable or legal remedy.

(d) In addition to a Final Award or Partial Final Award, the Arbitrator may make other decisions, including interim or partial rulings, orders and Awards.

(e) Interim Measures. The Arbitrator may grant whatever interim measures are deemed necessary, including injunctive relief and measures for the protection or conservation of property and disposition of disposable goods. Such interim measures may take the form of an interim or Partial Final Award, and the Arbitrator may require security for the costs of such measures. Any recourse by a Party to a court for interim or provisional relief shall not be deemed incompatible with the agreement to arbitrate or a waiver of the right to arbitrate.

(f) The Award of the Arbitrator may allocate Arbitration fees and Arbitrator compensation and expenses unless such an allocation is expressly prohibited by the Parties' agreement. (Such a prohibition may not limit the power of the Arbitrator to allocate Arbitration fees and Arbitrator compensation and expenses pursuant to Rule 31(c).)

(g) The Award of the Arbitrator may allocate attorneys' fees and expenses and interest (at such rate and from such date as the Arbitrator may deem appropriate) if provided by the Parties' agreement or allowed by applicable law. When the Arbitrator is authorized to award attorneys' fees and must determine the reasonable amount of such fees, he or she may consider whether the failure of a Party to cooperate reasonably in the discovery process and/or comply with the Arbitrator's discovery orders caused delay to the proceeding or additional costs to the other Parties.

(h) The Award will consist of a written statement signed by the Arbitrator regarding the disposition of each claim and the relief, if any, as to each claim. Unless all Parties agree otherwise, the Award shall also contain a concise written statement of the reasons for the Award.

(i) After the Award has been rendered, and provided the Parties have complied with Rule 31, the Award shall be served by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES upon the Parties. Service may be made by U.S. Mail. It need not be sent certified or registered.

(j) Within seven (7) calendar days after service of a Partial Final Award or Final Award by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, any Party may serve upon the other Parties and on ALTCOURT JUDICAIL ARBITRATION MEDIATION Services request that the Arbitrator correct any computational, typographical or other similar error in an Award (including the reallocation of fees pursuant to Rule 31(c) or on account of the effect of an offer to allow judgment), or the Arbitrator may sua sponte
propose to correct such errors in an Award. A Party opposing such correction shall have seven (7) calendar days thereafter in which to file any objection. The Arbitrator may make any necessary and appropriate correction to the Award within twenty-one (21) calendar days of receiving a request or fourteen (14) calendar days after the Arbitrator's proposal to do so. The Arbitrator may extend the time to make corrections upon good cause. The corrected Award shall be served upon the Parties in the same manner as the Award.

(k) The Award is considered final, for purposes of either an Optional Arbitration Appeal Procedure pursuant to Rule 34 or a judicial proceeding to enforce, modify or vacate the Award pursuant to Rule 25, fourteen (14) calendar days after service is deemed effective if no request for a correction is made, or as of the effective date of service of a corrected Award.

Rule 25. Enforcement of the Award

Judicial Proceedings to enforce, confirm, modify or vacate an Award will be controlled by and conducted in conformity with the Federal Arbitration Act, 9 U.S.C. Sec 1 et seq. or applicable state law. The Parties to an Arbitration under these Rules shall be deemed to have consented that judgment upon the Award may be entered in any court having jurisdiction thereof.

Rule 26. Confidentiality and Privacy

(a) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and the Arbitrator shall maintain the confidential nature of the Arbitration proceeding and the Award, including the Hearing, except as necessary in connection with a judicial challenge to or enforcement of an Award, or unless otherwise required by law or judicial decision.

(b) The Arbitrator may issue orders to protect the confidentiality of proprietary information, trade secrets or other sensitive information.

(c) Subject to the discretion of the Arbitrator or agreement of the Parties, any person having a direct interest in the Arbitration may attend the Arbitration Hearing. The Arbitrator may exclude any non-Party from any part of a Hearing.

Rule 27. Waiver

(a) If a Party becomes aware of a violation of or failure to comply with these Rules and fails promptly to object in writing, the objection will be deemed waived, unless the Arbitrator determines that waiver will cause substantial injustice or hardship.

(b) If any Party becomes aware of information that could be the basis of a challenge for cause to the continued service of the Arbitrator, such challenge must be made promptly, in writing, to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS. Failure to do so shall constitute a waiver of any objection to continued service of the Arbitrator.

Rule 28. Settlement and Consent Award

(a) The Parties may agree, at any stage of the Arbitration process, to submit the case to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES for mediation. The ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES mediator assigned to the case may not be the Arbitrator or a member of the Appeal Panel, unless the Parties so agree pursuant to Rule 28(b).

(b) The Parties may agree to seek the assistance of the Arbitrator in reaching settlement. By their written agreement to submit the matter to the Arbitrator for settlement assistance, the Parties will be deemed to have agreed that the assistance of the Arbitrator in such settlement efforts will not disqualify the Arbitrator from continuing to serve as Arbitrator if settlement is not reached; nor shall such assistance be argued to a reviewing court as the basis for vacating or modifying an Award.

(c) If, at any stage of the Arbitration process, all Parties agree upon a settlement of the issues in dispute and request the Arbitrator to embody the agreement in a Consent Award, the Arbitrator shall comply with such request unless the Arbitrator believes the terms of the agreement are illegal or undermine the integrity of the Arbitration process. If the Arbitrator is concerned about the possible consequences of the proposed Consent Award, he or she shall inform the Parties of that concern and may request additional specific information from the Parties regarding the proposed Consent Award. The Arbitrator may refuse to enter the proposed Consent Award and may withdraw from the case.

Rule 29. Sanctions

The Arbitrator may order appropriate sanctions for failure of a Party to comply with its obligations under any of these Rules or with an order of the Arbitrator. These sanctions may include, but are not limited to, assessment of arbitration fees and Arbitrator compensation and expenses, and any other costs occasioned by the actionable conduct including reasonable attorney's fees, exclusion of certain evidence, drawing adverse inferences, or in extreme cases determining an issue or issues submitted to Arbitration adversely to the Party that has failed to comply.

Rule 30. Disqualification of the Arbitrator as a Witness or Party and Exclusion of Liability

(a) The Parties may not call the Arbitrator, the Case Manager or any other ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES employee or agent as a witness or as an expert in any pending or subsequent litigation or other proceeding involving the Parties and relating to the dispute that is the subject of the Arbitration. The Arbitrator, Case Manager and other ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES employees and agents are also incompetent to testify as witnesses or experts in any such proceeding.

(b) The Parties shall defend and/or pay the cost (including any attorneys' fees) of defending the Arbitrator, Case Manager and/or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES from any subpoenas from outside Parties arising from the Arbitration.

(c) The Parties agree that neither the Arbitrator, Case Manager nor ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES is a necessary Party in any litigation or other proceeding relating to the Arbitration or the subject matter of the Arbitration, and neither the Arbitrator, Case Manager nor ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, including its employees or agents, shall be liable to any Party for any act or omission in connection with any Arbitration conducted under these Rules, including but not limited to any disqualification of or recusal by the Arbitrator.

Rule 31. Fees

(a) Each Party shall pay its pro-rata share of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES fees and expenses as set forth in the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Commencement Letter and fee schedule in effect at the time of the commencement of the Arbitration, unless the Parties agree on a different allocation of fees and expenses or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES thereafter directs a different allocation upon consolidation with another Arbitration. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES agreement to render services is jointly with the Party and the Party's attorney or other representative of the Party in the Arbitration. The non-payment of fees may result in an administrative suspension of the case in accordance with Rule 6(c).

(b) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES require that the Parties deposit the fees and expenses for the Arbitration from time to time during the course of the proceedings and prior to the Hearing. The Arbitrator may preclude a Party that has failed to deposit its pro-rata
or agreed-upon share of the fees and expenses from offering evidence of any affirmative claim at the Hearing.

(c) The Parties are jointly and severally liable for the payment of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Arbitration fees and Arbitrator compensation and expenses. In the event that one Party has paid more than its share of such fees, compensation and expenses, the Arbitrator may award against any other Party any such fees, compensation and expenses that such Party owes with respect to the Arbitration.

(d) Entities whose interests are not adverse with respect to the issues in dispute shall be treated as a single Party for purposes of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES assessment of fees. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall determine whether the interests between entities are adverse for purpose of fees, considering such factors as whether the entities are represented by the same attorney and whether the entities are presenting joint or separate positions at the Arbitration.

Rule 32. Bracketed (or High-Low) Arbitration Option

(a) At any time before the issuance of the Arbitration Award, the Parties may agree, in writing, on minimum and maximum amounts of damages that may be awarded on each claim or on all claims in the aggregate. The Parties shall promptly notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and provide to ALTCOURT JUDICAIL ARBITRATION MEDIATION Services copy of their written agreement setting forth the agreed-upon maximum and minimum amounts.

(b) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall not inform the Arbitrator of the agreement to proceed with this option or of the agreed-upon minimum and maximum levels without the consent of the Parties.

(c) The Arbitrator shall render the Award in accordance with Rule 24.

(d) In the event that the Award of the Arbitrator is between the agreed-upon minimum and maximum amounts, the Award shall become final as is. In the event that the Award is below the agreed-upon minimum amount, the final Award issued shall be corrected to reflect the agreed-upon minimum amount. In the event that the Award is above the agreed-upon maximum amount, the final Award issued shall be corrected to reflect the agreed-upon maximum amount.

Rule 33. Final Offer (or Baseball) Arbitration Option

(a) Upon agreement of the Parties to use the option set forth in this Rule, at least seven (7) calendar days before the Arbitration Hearing, the Parties shall exchange and provide to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES written proposals for the amount of money damages they would offer or demand, as applicable, and that they believe to be appropriate based on the standard set forth in Rule 24 (c). ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall promptly provide a copy of the Parties' proposals to the Arbitrator, unless the Parties agree that they should not be provided to the Arbitrator. At any time prior to the close of the Arbitration Hearing, the Parties may exchange revised written proposals or demands, which shall supersede all prior proposals. The revised written proposals shall be provided to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, which shall promptly provide them to the Arbitrator, unless the Parties agree otherwise.

(b) If the Arbitrator has been informed of the written proposals, in rendering the Award the Arbitrator shall choose between the Parties' last proposals, selecting the proposal that the Arbitrator finds most reasonable and appropriate in light of the standard set forth in Rule 24(c). This provision modifies Rule 24(h) in that no written statement of reasons shall accompany the Award.

(c) If the Arbitrator has not been informed of the written proposals, the Arbitrator shall render the Award as if pursuant to Rule 24, except that the Award shall thereafter be corrected to conform to the closest of the last proposals, and the closest of the last proposals will become the Award.

(d) Other than as provided herein, the provisions of Rule 24 shall be applicable.

Rule 34. Optional Arbitration Appeal Procedure

The Parties may agree at any time to the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Optional Arbitration Appeal Procedure. All Parties must agree in writing for such procedure to be effective. Once a Party has agreed to the Optional Arbitration Appeal Procedure, it cannot unilaterally withdraw from it, unless it withdraws, pursuant to Rule 13, from the Arbitration.

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Dispute Resolution Rules for Surety Bond Disputes


 

Rule 1.

Scope of Rules

Rule 2.

Party-Agreed Rules

Rule 3.

Amendment of Rules

Rule 4.

Conflict with Law

Rule 5.

Commencement and Appointment

Rule 6.

Preliminary and Administrative Matters

Rule 7.

Interpretation of Rules and Jurisdiction Challenges

Rule 8.

Representation

Rule 9.

Withdrawal from Adjudication

Rule 10.

Ex Parte Communications

Rule 11.

Adjudicator Disclosures and Replacement

Rule 12.

Ascertainment of Facts and Law

Rule 13.

Decision of the Adjudicator

Rule 14.

Confidentiality and Privacy

Rule 15.

Waiver

Rule 16.

Disqualification of the Adjudicator as a Witness or Party and Exclusion of Liability

Rule 17.

Fees

 

Rule 1. Scope of Rules

(a) The ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Dispute Resolution Rules for Surety Bond Disputes ("Rules") govern disputes concerning a surety's liability pursuant to a performance bond (the "Bond") following a demand by an obligee.

(b) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may, in its discretion, assign the administration of the dispute resolution process to any of its Resolution Centers.

(c) The term "Party" as used in these Rules includes Parties to the adjudication process and their counsel or representatives.

(d) "Electronic filing" (e-file) means the electronic transmission of documents to and from ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and other Parties for the purpose of filing via the Internet. "Electronic service" (e-service) means the electronic transmission of documents via ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to a Party, attorney or representative under these Rules.

(e) "Dispute" means a disagreement as to the Surety's liability pursuant to the Bond following the Obligee's Demand.

(f) Terms not defined herein shall have the meaning ascribed to them in the Bond.

Rule 2. Party-Agreed Rules

The Parties may agree on any Rules not specified herein or in lieu of these Rules that are consistent with the applicable law and ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES policies. The Parties shall promptly notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES of any such Party-agreed Rules and shall confirm such Rules in writing. The Party-agreed Rules shall be enforceable as if contained in these Rules.

Rule 3. Amendment of Rules

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may amend these Rules without notice. The Rules in effect on the date of the commencement of an Adjudication (as defined in Rule 5) shall apply to that Adjudication, unless the Parties have agreed upon another version of the Rules.

Rule 4. Conflict with Law

If any of these Rules, or modification of these Rules agreed to by the Parties, is determined to be in conflict with a provision of applicable law, the provision of law will govern over the Rules in conflict, and no other Procedure will be affected.

Rule 5. Commencement and Appointment

In the event that a Principal, Surety and Obligee are unable to agree whether a Surety is liable to perform pursuant to a Performance Bond, and to ensure that such disputes are determined quickly, a Surety or Obligee may initiate an Adjudication with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES as follows:

(a) The Surety or the Obligee shall demand Adjudication by filing a Demand for Adjudication, Adjudication Statement and a copy of the Performance Bond (including Schedules attached thereto) electronically with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, and serving electronic copies by email upon the Principal and the Obligee, utilizing the electronic forms and filing directions provided by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICE Son its website at www.ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMSadr.com. The Adjudication statement shall set forth in detail the factual and legal issues submitted for Adjudication and shall be sent no later than 10 days following the Obligee's Demand.

(b) Within three (3) business days after the Adjudication statement is filed and served, the parties shall appoint an Adjudicator (the "Adjudicator") who shall be a panelist on the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Global Engineering & Construction Panel ("ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICESGEC Panel"). ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall appoint an Adjudicator administratively from the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICESGEC Panel if the Adjudicating Parties fail to appoint an Adjudicator within the three day period.

(c) The Adjudication shall commence on the date that ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES receives the Demand, Adjudication statement, a copy of the Performance Bond and initial deposit of funds, and confirms the appointment of the Adjudicator (the "Adjudication Commencement Date"). Unless the Adjudicator decides otherwise, the Principal, the Surety and the Obligee shall pay the final fees and expenses of Adjudication as set forth in the Agreement.

(d) If a Party that is obligated to submit to the Adjudication process fails to agree to participate, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall confirm in writing that Party's failure to respond or participate, the Adjudicator shall schedule, and provide appropriate notice of, a Hearing or other opportunity for the Party demanding the Adjudication to demonstrate its entitlement to relief.

(e) Electronic Filing. The Adjudicator may at any time require electronic filing and service of documents in an Adjudication. If an Adjudicator requires electronic filing, the Parties shall maintain and regularly monitor a valid, usable and live email address for the receipt of all documents filed through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System. Any document filed electronically shall be considered as filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES when the transmission to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System is complete. Any document e-filed by 11:59 p.m. (of the sender's time zone) shall be deemed filed on that date. Upon completion of filing, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System shall issue a confirmation receipt that includes the date and time of receipt. The confirmation receipt shall serve as proof of filing.

Every document electronically filed or served shall be deemed to have been signed by the Adjudicator, Case Manager, attorney or declarant who submits the document to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System, and shall bear the typed name, address and telephone number of a signing attorney. Typographical signatures shall be treated as personal signatures for all purposes under these Rules. Documents containing signatures of third parties (i.e., unopposed motions, affidavits, stipulations, etc.) may also be filed electronically by indicating that the original signatures are maintained by the filing Party in paper format.

Delivery of e-service documents through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to other registered users shall be considered as valid and effective service and shall have the same legal effect as an original paper document. Recipients of e-service documents shall access their documents through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System. E-service shall be deemed complete when the Party initiating e-service completes the transmission of the electronic document(s) to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System for e-filing and/or e-service. Upon actual or constructive receipt of the electronic document(s) by the Party to be served, a Certificate of Electronic Service shall be issued by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to the Party initiating e-service, and that Certificate shall serve as proof of service. Any Party who ignores or attempts to refuse e-service shall be deemed to have received the electronic document(s) 72 hours following the transmission of the electronic document(s) to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System.

If an electronic filing or service does not occur because of (1) an error in the transmission of the document to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System or served Party that was unknown to the sending Party; (2) a failure to process the electronic document when received by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System; (3) the Party was erroneously excluded from the service list; or (4) other technical problems experienced by the filer, the Arbitrator or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may, for good cause shown, permit the document to be filed nunc pro tunc to the date it was first attempted to be sent electronically. Or, in the case of service, the Party shall, absent extraordinary circumstances, be entitled to an order extending the date for any response or the period within which any right, duty or other act must be performed.

Rule 6. Preliminary and Administrative Matters

(a) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may convene, or the Parties may request, administrative conferences to discuss any procedural matter relating to the administration of the Adjudication.

(b) Each Party is responsible to pay its share of the fees and expenses of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and the Adjudicator. In an Adjudication in which the Adjudicator determines that the Principal and Surety are aligned with the same commonality of interest against the Obligee, the Principal and Surety jointly shall be charged with one share and the Obligee will be charged with one share.

(c) If, at any time, any Party has failed to pay fees or expenses in full, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may order the suspension or termination of the proceedings. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may so inform the Parties in order that one of them may advance the required payment. If one Party advances the payment owed by a non-paying Party, the Adjudication shall proceed, and the amount of that advance deposit will be taken into consideration in the Adjudicator's decision, consistent with Rule 17. An administrative suspension shall toll any other time limits contained in these Rules or the Parties' Agreement.

(d) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES does not maintain an official record of documents filed in the Adjudication. If the Parties wish to have any documents returned to them, they must advise ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES in writing within thirty (30) calendar days of the conclusion of the Adjudication. If special arrangements are required regarding file maintenance or document retention, they must be agreed to in writing, and ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES reserves the right to impose an additional fee for such special arrangements. Documents that are submitted for e-filing are retained for thirty (30) calendar days following the conclusion of the Adjudication.

Rule 7. Interpretation of Rules and Jurisdiction Challenges

(a) Once appointed, the Adjudicator shall resolve disputes about the interpretation and applicability of these Rules and conduct of the Adjudication process. The resolution of the issue by the Adjudicator shall be final.

(b) Jurisdictional disputes, including disputes over the formation, existence, validity, interpretation or scope of the agreement under which Adjudication is sought, and who are proper Parties to the Adjudication, shall be submitted to and ruled on by the Adjudicator. The Adjudicator has the authority to determine jurisdiction and issues as a preliminary matter.

(c) Disputes concerning the appointment of the Adjudicator shall be resolved by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS.

Rule 8. Representation

(a) The Parties, whether natural persons or legal entities such as corporations, LLCs or partnerships, may be represented by counsel or any other person of the Party's choice. Each Party shall give prompt written notice to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and the other Parties of the name, address, telephone and fax numbers and email address of its representative. The representative of a Party may act on the Party's behalf in complying with these Rules.

(b) Changes in Representation. A Party shall give prompt written notice to the Case Manager and the other Parties of any change in its representation, including the name, address, telephone and fax numbers and email address of the new representative. Such notice shall state that the written consent of the former representative, if any, and of the new representative, has been obtained and shall state the effective date of the new representation.

Rule 9. Withdrawal from Adjudication

No Party may terminate or withdraw from an Adjudication after the Commencement (see Rule 5), except by written agreement of all Parties to the Adjudication.

Rule 10. Ex Parte Communications

No Party may have any ex parte communication with the Adjudicator regarding any issue related to the Adjudication. The Adjudicator may authorize any Party to communicate directly with the Adjudicator by email or other written means as long as copies are simultaneously forwarded to the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Case Manager and the other Parties.

Rule 11. Adjudicator Disclosures and Replacement

(a) If, for any reason, the Adjudicator who is selected is unable to fulfill the Adjudicator's duties, a successor Adjudicator shall be chosen in accordance with these Rules. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will make the final determination as to whether an Adjudicator is unable to fulfill his or her duties, and that decision shall be final.

(b) Any disclosures regarding the selected Adjudicator shall be made immediately upon the Adjudicator's appointment. Such disclosures may be provided in electronic format, provided that ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will produce a hard copy to any Party that requests it. The Parties and their representatives shall disclose to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES any circumstances likely to give rise to justifiable doubt as to the Adjudicator's impartiality or independence, including any bias or any financial or personal interest in the result of the Adjudication or any past or present relationship with the Parties or their representatives. The obligation of the Adjudicator, the Parties and their representatives to make all required disclosures continues throughout the Adjudication process. The Adjudicator shall be under a duty at all times to act impartially and fairly and shall serve as an independent neutral.

Rule 12. Ascertainment of Facts and Law

Upon commencement of the Adjudication, the Adjudicator is empowered to take the initiative in ascertaining the facts and the law, and to exercise sole discretion in managing the Adjudication process. Among other things, the Adjudicator may require the parties to make additional factual submissions such as sworn witness statements and business documents. The Adjudicator may interview important witnesses after notice to the parties and affording opportunity to attend, may request and consider expert reports and may call for memoranda on legal issues. Notwithstanding the foregoing, the Adjudicator must decide the following questions:

(a) Is the Principal in default of the Principal's Obligations?

(b) Has the Obligee complied in all material respects with its obligations in good faith pursuant to the Design Build Agreement?

(c) Is the Surety liable to perform in accordance with Paragraph 6 of the Bond?

Rule 13. Decision of the Adjudicator

(a) The Adjudicator shall issue a written decision (the "Decision") which shall be binding upon and enforceable by the parties through the completion of the Principal's Obligations. The Decision shall be issued through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES as soon as practicable but in no event later than thirty (30) calendar days of the Adjudication Commencement Date or within any later time agreed upon by the Parties. This 30 day period also may be extended by the Adjudicator in his or her sole discretion for up to 14 days in the event that ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES has requested any Party to make an additional fee and expense deposit and funds have not been deposited as requested or advanced by another Party pursuant to Rule 17.

(b) Any Party may request clarification of the Decision within five (5) business days after issuance, and the Adjudicator shall endeavor to respond within an additional five (5) business days, and any payment or performance in accordance with the Decision shall be made immediately thereafter. Unless the Parties agree otherwise, the Decision shall state reasons therefore and shall be admissible in later administrative, arbitral or judicial proceedings between the Parties. The Parties shall comply with the Decision, unless and until subsequently vacated or modified, through Substantial Completion of the Design Build Agreement.

Rule 14. Confidentiality and Privacy

(a) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and the Adjudicator shall maintain the confidential nature of the Adjudication proceeding and the Award, including the Hearing, except as necessary in connection with a judicial challenge to or enforcement of a Decision, or unless otherwise required by law or judicial decision.

(b) The Adjudicator may issue orders to protect the confidentiality of proprietary information, trade secrets or other sensitive information.

Rule 15. Waiver

(a) If a Party becomes aware of a violation of or failure to comply with these Rules and fails promptly to object in writing, the objection will be deemed waived, unless the Adjudicator determines that waiver will cause substantial injustice or hardship.

(b) If any Party becomes aware of information that could be the basis of a challenge for cause to the continued service of the Adjudicator, such challenge must be made promptly, in writing, to the Adjudicator or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS. Failure to do so shall constitute a waiver of any objection to continued service by the Adjudicator.

Rule 16. Disqualification of the Adjudicator as a Witness or Party and Exclusion of Liability

(a) The Parties may not call the Adjudicator, the Case Manager or any other ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES employee or agent as a witness or as an expert in any pending or subsequent litigation or other proceeding involving the Parties and relating to the dispute that is the subject of the Adjudication. The Adjudicator, Case Manager and other ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES employees and agents are also incompetent to testify as witnesses or experts in any such proceeding.

(b) The Parties shall defend and/or pay the cost (including any attorneys' fees) of defending the Adjudicator, Case Manager and/or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES from any subpoenas from outside parties arising from the Adjudication.

(c) The Parties agree that neither the Adjudicator, nor the Case Manager, nor ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES is a necessary Party in any litigation or other proceeding relating to the Adjudication or the subject matter of the Adjudication, and neither the Adjudicator, nor the Case Manager, nor ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, including its employees or agents, shall be liable to any Party for any act or omission in connection with any Adjudication conducted under these Rules, including, but not limited to, any disqualification of or recusal by the Adjudicator.

Rule 17. Fees

(a) Each Party shall pay its pro rata share of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES fees and expenses as set forth in the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES fee schedule in effect at the time of the commencement of the Adjudication, unless the Parties agree on a different allocation of fees and expenses. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS' agreement to render services is jointly with the Party and the attorney or other representative of the Party in the Adjudication. The non-payment of fees may result in an administrative suspension of the case in accordance with Rule 6(c).

(b) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES requires that the Parties deposit the fees and expenses for the Adjudication from time to time during the course of the proceedings and prior to the Hearing. The Adjudicator may preclude a Party that has failed to deposit its pro rata or agreed-upon share of the fees and expenses from offering evidence of any affirmative claim at the Hearing.

(c) The Parties are jointly and severally liable for the payment of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES fees and the Adjudicator's compensation and expenses. In the event that one Party has paid more than its share of such fees, compensation and expenses, the Adjudicator may Award against any Party any such fees, compensation and expenses that such Party owes with respect to the Adjudication.

(d) Entities whose interests are not adverse with respect to the issues in dispute shall be treated as a single Party for purposes of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS' assessment of fees. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall determine whether the interests between entities are adverse for purpose of fees, considering such factors as whether the entities are represented by the same attorney and whether the entities are presenting joint or separate positions at the Adjudication.

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Employment Rules & Procedures

In a continuing effort to provide our clients with the highest quality dispute resolution services, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES offers clauses, rules and procedures designed to meet the parties’ needs in a variety of situations. 

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES provides arbitration and mediation services from Resolution Centers located throughout the United States. Its arbitrators and mediators hear and resolve some of the nation’s largest, most complex and contentious disputes, utilizing ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules & Procedures as well as the rules of other domestic and international arbitral institutions.

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrators and mediators are full-time neutrals who come from the ranks of retired state and federal judges and prominent attorneys. These highly trained and experienced ADR professionals are dedicated to the highest ethical standards of conduct.

 

ADR Clauses (Dispute Resolution Clauses for Commercial Contracts)

 

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Employment Arbitration Rules & Procedures

Rule 1.

Scope of Rules

Rule 2.

Party Self-Determination

Rule 3.

Amendment of Rules

Rule 4.

Conflict with Law

Rule 5.

Commencing an Arbitration

Rule 6.

Preliminary and Administrative Matters

Rule 7.

Number and Neutrality of Arbitrators; Appointment and Authority of Chairperson

Rule 8.

Service

Rule 9.

Notice of Claims

Rule 10.

Changes of Claims

Rule 11.

Interpretation of Rules and Jurisdictional Challenges

Rule 12.

Representation

Rule 13.

Withdrawal from Arbitration

Rule 14.

Ex Parte Communications

Rule 15.

Arbitrator Selection, Disclosures and Replacement

Rule 16.

Preliminary Conference

Rule 17.

Exchange of Information

Rule 18.

Summary Disposition of a Claim or Issue

Rule 19.

Scheduling and Location of Hearing

Rule 20.

Pre-Hearing Submissions

Rule 21.

Securing Witnesses and Documents for the Arbitration Hearing

Rule 22.

The Arbitration Hearing

Rule 23.

Waiver of Hearing

Rule 24.

Awards

Rule 25.

Enforcement of the Award

Rule 26.

Confidentiality and Privacy

Rule 27.

Waiver

Rule 28.

Settlement and Consent Award

Rule 29.

Sanctions

Rule 30.

Disqualification of the Arbitrator as a Witness or Party and Exclusion of Liability

Rule 31.

Fees

Rule 32.

Bracketed (or High-Low) Arbitration Option

Rule 33.

Final Offer (or Baseball) Arbitration Option

Rule 34.

Optional Arbitration Appeal Procedure

 
  • Rule 1. Scope of Rules

    (a) The ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Employment Arbitration Rules and Procedures ("Rules") govern binding Arbitrations of disputes or claims that are administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and in which the Parties agree to use these Rules or, in the absence of such agreement, the disputes or claims are employment-related, unless other Rules are prescribed.

    (b) The Parties shall be deemed to have made these Rules a part of their Arbitration agreement ("Agreement") whenever they have provided for Arbitration by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES under its Employment Rules or for Arbitration by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES without specifying any particular ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules and the disputes or claims meet the criteria of the first paragraph of this Rule.

    (c) The authority and duties of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES as prescribed in the Agreement of the Parties and in these Rules shall be carried out by the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES National Arbitration Committee ("NAC") or the office of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES General Counsel or their designees.

    (d) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may, in its discretion, assign the administration of an Arbitration to any of its Resolution Centers.

    (e) The term "Party" as used in these Rules includes Parties to the Arbitration and their counsel or representatives.

    (f) "Electronic filing" (e-file) means the electronic transmission of documents to and from ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and other Parties for the purpose of filing via the Internet. "Electronic service" (e-service) means the electronic transmission of documents via ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to a party, attorney or representative under these Rules.

    Rule 2. Party Self-Determination
  • (a) The Parties may agree on any procedures not specified herein or in lieu of these Rules that are consistent with the applicable law and ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES policies (including, without limitation, the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Policy on Employment Arbitration Minimum Standards of Procedural Fairness and Rules 15(i), 30 and 31). The Parties shall promptly notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES of any such Party-agreed procedures and shall confirm such procedures in writing. The Party-agreed procedures shall be enforceable as if contained in these Rules.
  • (b) When an Arbitration Agreement provides that the Arbitration will be non-administered or administered by an entity other than ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and/or conducted in accordance with rules other than ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules, the Parties may subsequently agree to modify that Agreement to provide that the Arbitration will be administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and/or conducted in accordance with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules.

    Rule 3. Amendment of Rules

    ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may amend these Rules without notice. The Rules in effect on the date of the commencement of an Arbitration (as defined in Rule 5) shall apply to that Arbitration, unless the Parties have agreed upon another version of the Rules.

    Rule 4. Conflict with Law

    If any of these Rules, or modification of these Rules agreed to by the Parties, is determined to be in conflict with a provision of applicable law, the provision of law will govern over the Rule in conflict, and no other Rule will be affected.

    Rule 5. Commencing an Arbitration
  • (a) The Arbitration is deemed commenced when ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES issues a Commencement Letter based upon the existence of one of the following:
  • (i) A post-dispute Arbitration Agreement fully executed by all Parties specifying ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES administration or use of any ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules; or

    (ii) A pre-dispute written contractual provision requiring the Parties to arbitrate the employment dispute or claim and specifying ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES administration or use of any ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules or that the Parties agree shall be administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS; or

    (iii) A written confirmation of an oral agreement of all Parties to participate in an Arbitration administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES or conducted pursuant to any ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules; or

    (iv) The Respondent's failure to timely object to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES administration; or

    (v) A copy of a court order compelling Arbitration at ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS.
  • (b) The issuance of the Commencement Letter confirms that requirements for commencement have been met, that ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES has received all payments required under the applicable fee schedule and that the Claimant has provided ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES with contact information for all Parties along with evidence that the Demand for Arbitration has been served on all Parties.

    (c) If a Party that is obligated to arbitrate in accordance with subparagraph (a) of this Rule fails to agree to participate in the Arbitration process, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall confirm in writing that Party's failure to respond or participate, and, pursuant to Rule 19, the Arbitrator, once appointed, shall schedule, and provide appropriate notice of, a Hearing or other opportunity for the Party demanding the Arbitration to demonstrate its entitlement to relief.

    (d) The date of commencement of the Arbitration is the date of the Commencement Letter but is not intended to be applicable to any legal requirements such as the statute of limitations, any contractual limitations period or claims notice requirements. The term "commencement," as used in this Rule, is intended only to pertain to the operation of this and other Rules (such as Rule 3, 13(a), 17(a), 31(a)).

    Rule 6. Preliminary and Administrative Matters

    (a) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may convene, or the Parties may request, administrative conferences to discuss any procedural matter relating to the administration of the Arbitration.

    (b) If no Arbitrator has yet been appointed, at the request of a Party and in the absence of Party agreement, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may determine the location of the Hearing, subject to Arbitrator review. In determining the location of the Hearing, such factors as the subject matter of the dispute, the convenience of the Parties and witnesses, and the relative resources of the Parties shall be considered, but in no event will the Hearing be scheduled in a location that precludes attendance by the Employee.

    (c) If, at any time, any Party has failed to pay fees or expenses in full, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may order the suspension or termination of the proceedings. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may so inform the Parties in order that one of them may advance the required payment. If one Party advances the payment owed by a non-paying Party, the Arbitration shall proceed, and the Arbitrator may allocate the non-paying Party's share of such costs, in accordance with Rules 24(f) and 31(c). An administrative suspension shall toll any other time limits contained in these Rules or the Parties' Agreement.

    (d) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES does not maintain an official record of documents filed in the Arbitration. If the Parties wish to have any documents returned to them, they must advise ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES in writing within thirty (30) calendar days of the conclusion of the Arbitration. If special arrangements are required regarding file maintenance or document retention, they must be agreed to in writing, and ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES reserves the right to impose an additional fee for such special arrangements. Documents that are submitted for e-filing are retained for thirty (30) calendar days following the conclusion of the Arbitration.

    (e) Unless the Parties' Agreement or applicable law provides otherwise, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, if it determines that the Arbitrations so filed have common issues of fact or law, may consolidate Arbitrations in the following instances:
  • (i) If a Party files more than one Arbitration with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may consolidate the Arbitrations into a single Arbitration.

    (ii) Where a Demand or Demands for Arbitration is or are submitted naming Parties already involved in another Arbitration or Arbitrations pending under these Rules, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may decide that the new case or cases shall be consolidated into one or more of the pending proceedings and referred to one of the Arbitrators or panels of Arbitrators already appointed.

    (iii) Where a Demand or Demands for Arbitration is or are submitted naming parties that are not identical to the Parties in the existing Arbitration or Arbitrations, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may decide that the new case or cases shall be consolidated into one or more of the pending proceedings and referred to one of the Arbitrators or panels of Arbitrators already appointed.
  • When rendering its decision, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will take into account all circumstances, including the links between the cases and the progress already made in the existing Arbitrations.

    Unless applicable law provides otherwise, where ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES decides to consolidate a proceeding into a pending Arbitration, the Parties to the consolidated case or cases will be deemed to have waived their right to designate an Arbitrator as well as any contractual provision with respect to the site of the Arbitration.

    (f) Where a third party seeks to participate in an Arbitration already pending under these Rules or where a Party to an Arbitration under these Rules seeks to compel a third party to participate in a pending Arbitration, the Arbitrator shall determine such request, taking into account all circumstances he or she deems relevant and applicable.

    Rule 7. Number and Neutrality of Arbitrators; Appointment and Authority of Chairperson

    (a) The Arbitration shall be conducted by one neutral Arbitrator, unless all Parties agree otherwise. In these Rules, the term "Arbitrator" shall mean, as the context requires, the Arbitrator or the panel of Arbitrators in a tripartite Arbitration.

    (b) In cases involving more than one Arbitrator, the Parties shall agree on, or, in the absence of agreement, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall designate, the Chairperson of the Arbitration Panel. If the Parties and the Arbitrators agree, a single member of the Arbitration Panel may, acting alone, decide discovery and procedural matters, including the conduct of hearings to receive documents and testimony from third parties who have been subpoenaed to produce documents.

    (c) Where the Parties have agreed that each Party is to name one Arbitrator, the Arbitrators so named shall be neutral and independent of the appointing Party, unless the Parties have agreed that they shall be non-neutral.

    Rule 8. Service

    (a) The Arbitrator may at any time require electronic filing and service of documents in an Arbitration. If an Arbitrator requires electronic filing, the Parties shall maintain and regularly monitor a valid, usable and live email address for the receipt of all documents filed through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System. Any document filed electronically shall be considered as filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES when the transmission to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System is complete. Any document e-filed by 11:59 p.m. (of the sender's time zone) shall be deemed filed on that date. Upon completion of filing, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System shall issue a confirmation receipt that includes the date and time of receipt. The confirmation receipt shall serve as proof of filing.

    (b) Every document filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System shall be deemed to have been signed by the Arbitrator, Case Manager, attorney or declarant who submits the document to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System, and shall bear the typed name, address and telephone number of a signing attorney. Documents containing signatures of third parties (i.e., unopposed motions, affidavits, stipulations, etc.) may also be filed electronically by indicating that the original signatures are maintained by the filing Party in paper format.

    (c) Delivery of e-service documents through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to other registered users shall be considered as valid and effective service and shall have the same legal effect as an original paper document. Recipients of e-service documents shall access their documents through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System. E-service shall be deemed complete when the Party initiating e-service completes the transmission of the electronic document(s) to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System for e-filing and/or e-service. Upon actual or constructive receipt of the electronic document(s) by the Party to be served, a Certificate of Electronic Service shall be issued by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to the Party initiating e-service, and that Certificate shall serve as proof of service. Any Party who ignores or attempts to refuse e-service shall be deemed to have received the electronic document(s) 72 hours following the transmission of the electronic document(s) to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System.

    (d) If an electronic filing or service does not occur because of (1) an error in the transmission of the document to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System or served Party which was unknown to the sending Party; (2) a failure to process the electronic document when received by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System; (3) the Party was erroneously excluded from the service list; or (4) other technical problems experienced by the filer, the Arbitrator or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may, for good cause shown, permit the document to be filed nunc pro tunc
    to the date it was first attempted to be sent electronically. Or, in the case of service, the Party shall, absent extraordinary circumstances, be entitled to an order extending the date for any response or the period within which any right, duty or other act must be performed.

    (e) For documents that are not filed electronically, service by a Party under these Rules is effected by providing one signed copy of the document to each Party and two copies in the case of a sole Arbitrator and four copies in the case of a tripartite panel to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS. Service may be made by hand-delivery, overnight delivery service or U.S. mail. Service by any of these means is considered effective upon the date of deposit of the document.

    (f) In computing any period of time prescribed or allowed by these Rules for a Party to do some act within a prescribed period after the service of a notice or other paper on the Party and the notice or paper is served on the Party only by U.S. mail, three (3) calendar days shall be added to the prescribed period.

    Rule 9. Notice of Claims

    (a) Each Party shall afford all other Parties reasonable and timely notice of its claims, affirmative defenses or counterclaims. Any such notice shall include a short statement of its factual basis. No claim, remedy, counterclaim, or affirmative defense will be considered by the Arbitrator in the absence of such prior notice to the other Parties, unless the Arbitrator determines that no Party has been unfairly prejudiced by such lack of formal notice or all Parties agree that such consideration is appropriate notwithstanding the lack of prior notice.

    (b) Claimant's notice of claims is the Demand for Arbitration referenced in Rule 5. It shall include a statement of the remedies sought. The Demand for Arbitration may attach and incorporate a copy of a Complaint previously filed with a court. In the latter case, Claimant may accompany the Complaint with a copy of any Answer to that Complaint filed by any Respondent.
  • (c) Within fourteen (14) calendar days of service of the notice of claim, a Respondent may submit to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and serve on other Parties a response and a statement of any affirmative defenses, including jurisdictional challenges, or counterclaims it may have.
  • (d) Within fourteen (14) calendar days of service of a counterclaim, a Claimant may submit to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and serve on other Parties a response to such counterclaim and any affirmative defenses, including jurisdictional challenges, it may have.

    (e) Any claim or counterclaim to which no response has been served will be deemed denied.
  • (f) Jurisdictional challenges under Rule 11 shall be deemed waived, unless asserted in a response to a Demand or counterclaim or promptly thereafter, when circumstances first suggest an issue of arbitrability.

    Rule 10. Changes of Claims

    After the filing of a claim and before the Arbitrator is appointed, any Party may make a new or different claim against a Party or any third Party that is subject to Arbitration in the proceeding. Such claim shall be made in writing, filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and served on the other Parties. Any response to the new claim shall be made within fourteen (14) calendar days after service of such claim. After the Arbitrator is appointed, no new or different claim may be submitted, except with the Arbitrator's approval. A Party may request a hearing on this issue. Each Party has the right to respond to any new or amended claim in accordance with Rule 9(c) or (d).

 


Rule 11. Interpretation of Rules and Jurisdictional Challenges

(a) Once appointed, the Arbitrator shall resolve disputes about the interpretation and applicability of these Rules and conduct of the Arbitration Hearing. The resolution of the issue by the Arbitrator shall be final.

(b) Jurisdictional and arbitrability disputes, including disputes over the formation, existence, validity, interpretation or scope of the agreement under which Arbitration is sought, and who are proper Parties to the Arbitration, shall be submitted to and ruled on by the Arbitrator. Unless the relevant law requires otherwise, the Arbitrator has the authority to determine jurisdiction and arbitrability issues as a preliminary matter.

(c) Disputes concerning the appointment of the Arbitrator shall be resolved by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS.

(d) The Arbitrator may, upon a showing of good cause or sua sponte
, when necessary to facilitate the Arbitration, extend any deadlines established in these Rules, provided that the time for rendering the Award may only be altered in accordance with Rules 22(i) or 24.

Rule 12. Representation

(a) The Parties, whether natural persons or legal entities such as corporations, LLCs, or partnerships, may be represented by counsel or any other person of the Party's choice. Each Party shall give prompt written notice to the Case Manager and the other Parties of the name, address, telephone and fax numbers and email address of its representative. The representative of a Party may act on the Party's behalf in complying with these Rules.

(b) Changes in Representation. A Party shall give prompt written notice to the Case Manager and the other Parties of any change in its representation, including the name, address, telephone and fax numbers and email address of the new representative. Such notice shall state that the written consent of the former representative, if any, and of the new representative, has been obtained and shall state the effective date of the new representation.

Rule 13. Withdrawal from Arbitration

(a) No Party may terminate or withdraw from an Arbitration after the issuance of the Commencement Letter (see Rule 5), except by written agreement of all Parties to the Arbitration.

(b) A Party that asserts a claim or counterclaim may unilaterally withdraw that claim or counterclaim without prejudice by serving written notice on the other Parties and the Arbitrator. However, the opposing Parties may, within seven (7) calendar days of such notice, request that the Arbitrator condition the withdrawal upon such terms as he or she may direct.

Rule 14. Ex Parte
Communications

(a) No Party may have any ex parte communication with a neutral Arbitrator, except as provided in section (b) of this Rule. The Arbitrator(s) may authorize any Party to communicate directly with the Arbitrator(s) by email or other written means as long as copies are simultaneously forwarded to the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Case Manager and the other Parties.

(b) A Party may have ex parte communication with its appointed neutral or non-neutral Arbitrator as necessary to secure the Arbitrator's services and to assure the absence of conflicts, as well as in connection with the selection of the Chairperson of the arbitral panel.

(c) The Parties may agree to permit more extensive ex parte communication between a Party and a non-neutral Arbitrator. More extensive communications with a non-neutral Arbitrator may also be permitted by applicable law and rules of ethics.

Rule 15. Arbitrator Selection, Disclosures and Replacement

(a) Unless the Arbitrator has been previously selected by agreement of the Parties, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may attempt to facilitate agreement among the Parties regarding selection of the Arbitrator.

(b) If the Parties do not agree on an Arbitrator, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall send the Parties a list of at least five (5) Arbitrator candidates in the case of a sole Arbitrator and ten (10) Arbitrator candidates in the case of a tripartite panel. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall also provide each Party with a brief description of the background and experience of each Arbitrator candidate. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may replace any or all names on the list of Arbitrator candidates for reasonable cause at any time before the Parties have submitted their choice pursuant to subparagraph (c) below.

(c) Within seven (7) calendar days of service by the Parties of the list of names, each Party may strike two (2) names in the case of a sole Arbitrator and three (3) names in the case of a tripartite panel, and shall rank the remaining Arbitrator candidates in order of preference. The remaining Arbitrator candidate with the highest composite ranking shall be appointed the Arbitrator. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may grant a reasonable extension of the time to strike and rank the Arbitrator candidates to any Party without the consent of the other Parties.

(d) If this process does not yield an Arbitrator or a complete panel, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall designate the sole Arbitrator or as many members of the tripartite panel as are necessary to complete the panel.

(e) If a Party fails to respond to a list of Arbitrator candidates within seven (7) calendar days after its service, or fails to respond according to the instructions provided by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall deem that Party to have accepted all of the Arbitrator candidates.

(f) Entities whose interests are not adverse with respect to the issues in dispute shall be treated as a single Party for purposes of the Arbitrator selection process. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall determine whether the interests between entities are adverse for purposes of Arbitrator selection, considering such factors as whether the entities are represented by the same attorney and whether the entities are presenting joint or separate positions at the Arbitration.

(g) If, for any reason, the Arbitrator who is selected is unable to fulfill the Arbitrator's duties, a successor Arbitrator shall be chosen in accordance with this Rule. If a member of a panel of Arbitrators becomes unable to fulfill his or her duties after the beginning of a Hearing but before the issuance of an Award, a new Arbitrator will be chosen in accordance with this Rule, unless, in the case of a tripartite panel, the Parties agree to proceed with the remaining two Arbitrators. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will make the final determination as to whether an Arbitrator is unable to fulfill his or her duties, and that decision shall be final.

(h) Any disclosures regarding the selected Arbitrator shall be made as required by law or within ten (10) calendar days from the date of appointment. Such disclosures may be provided in electronic format, provided that ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will produce a hard copy to any Party that requests it. The Parties and their representatives shall disclose to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES any circumstances likely to give rise to justifiable doubt as to the Arbitrator's impartiality or independence, including any bias or any financial or personal interest in the result of the Arbitration or any past or present relationship with the Parties and their representatives. The obligation of the Arbitrator, the Parties and their representatives to make all required disclosures continues throughout the Arbitration process.

(i) At any time during the Arbitration process, a Party may challenge the continued service of an Arbitrator for cause. The challenge must be based upon information that was not available to the Parties at the time the Arbitrator was selected. A challenge for cause must be in writing and exchanged with opposing Parties, who may respond within seven (7) days of service of the challenge. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall make the final determination as to such challenge. Such determination shall take into account the materiality of the facts and any prejudice to the Parties. That decision will be final.

(j) Where the Parties have agreed that a Party-appointed Arbitrator is to be non-neutral, that Party-appointed Arbitrator is not obliged to withdraw if requested to do so only by the party who did not appoint that Arbitrator.

Rule 16. Preliminary Conference

At the request of any Party or at the direction of the Arbitrator, a Preliminary Conference shall be conducted with the Parties or their counsel or representatives. The Preliminary Conference may address any or all of the following subjects:

(a) The exchange of information in accordance with Rule 17 or otherwise;

(b) The schedule for discovery as permitted by the Rules, as agreed by the Parties or as required or authorized by applicable law;

(c) The pleadings of the Parties and any agreement to clarify or narrow the issues or structure the Arbitration Hearing;

(d) The scheduling of the Hearing and any pre-Hearing exchanges of information, exhibits, motions or briefs;

(e) The attendance of witnesses as contemplated by Rule 21;

(f) The scheduling of any dispositive motion pursuant to Rule 18;

(g) The premarking of exhibits, preparation of joint exhibit lists and the resolution of the admissibility of exhibits;

(h) The form of the Award; and

(i) Such other matters as may be suggested by the Parties or the Arbitrator.

The Preliminary Conference may be conducted telephonically and may be resumed from time to time as warranted.

Rule 17. Exchange of Information

(a) The Parties shall cooperate in good faith in the voluntary and informal exchange of all non-privileged documents and other information (including electronically stored information ("ESI")) relevant to the dispute or claim immediately after commencement of the Arbitration. They shall complete an initial exchange of all relevant, non-privileged documents, including, without limitation, copies of all documents in their possession or control on which they rely in support of their positions, names of individuals whom they may call as witnesses at the Arbitration Hearing and names of all experts who may be called to testify at the Arbitration Hearing, together with each expert's report, which may be introduced at the Arbitration Hearing, within twenty-one (21) calendar days after all pleadings or notice of claims have been received. The Arbitrator may modify these obligations at the Preliminary Conference.

(b) Each Party may take at least one deposition of an opposing Party or an individual under the control of the opposing Party. The Parties shall attempt to agree on the number, time, location, and duration of the deposition(s). Absent agreement, the Arbitrator shall determine these issues, including whether to grant a request for additional depositions, based upon the reasonable need for the requested information, the availability of other discovery and the burdensomeness of the request on the opposing Parties and witness.

(c) As they become aware of new documents or information, including experts who may be called upon to testify, all Parties continue to be obligated to provide relevant, non-privileged documents, to supplement their identification of witnesses and experts and to honor any informal agreements or understandings between the Parties regarding documents or information to be exchanged. Documents that were not previously exchanged, or witnesses and experts that were not previously identified, may not be considered by the Arbitrator at the Hearing, unless agreed by the Parties or upon a showing of good cause.

(d) The Parties shall promptly notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES when a dispute exists regarding discovery issues. A conference shall be arranged with the Arbitrator, either by telephone or in person, and the Arbitrator shall decide the dispute. With the written consent of all Parties, and in accordance with an agreed written procedure, the Arbitrator may appoint a special master to assist in resolving a discovery dispute.

Rule 18. Summary Disposition of a Claim or Issue

The Arbitrator may permit any Party to file a Motion for Summary Disposition of a particular claim or issue, either by agreement of all interested Parties or at the request of one Party, provided other interested Parties have reasonable notice to respond to the motion.

Rule 19. Scheduling and Location of Hearing

(a) The Arbitrator, after consulting with the Parties that have appeared, shall determine the date, time and location of the Hearing. The Arbitrator and the Parties shall attempt to schedule consecutive Hearing days if more than one day is necessary.

(b) If a Party has failed to participate in the Arbitration process, and the Arbitrator reasonably believes that the Party will not participate in the Hearing, the Arbitrator may set the Hearing without consulting with that Party. The non-participating Party shall be served with a Notice of Hearing at least thirty (30) calendar days prior to the scheduled date, unless the law of the relevant jurisdiction allows for, or the Parties have agreed to, shorter notice.

(c) The Arbitrator, in order to hear a third-party witness, or for the convenience of the Parties or the witnesses, may conduct the Hearing at any location. Any ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Resolution Center may be designated a Hearing location for purposes of the issuance of a subpoena or subpoena duces tecum to a third-party witness.

Rule 20. Pre-Hearing Submissions

(a) Except as set forth in any scheduling order that may be adopted, at least fourteen (14) calendar days before the Arbitration Hearing, the Parties shall file with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and serve and exchange (1) a list of the witnesses they intend to call, including any experts; (2) a short description of the anticipated testimony of each such witness and an estimate of the length of the witness' direct testimony; and (3) a list of all exhibits intended to be used at the Hearing. The Parties should exchange with each other copies of any such exhibits to the extent that they have not been previously exchanged. The Parties should pre-mark exhibits and shall attempt to resolve any disputes regarding the admissibility of exhibits prior to the Hearing.

(b) The Arbitrator may require that each Party submit a concise written statement of position, including summaries of the facts and evidence a Party intends to present, discussion of the applicable law and the basis for the requested Award or denial of relief sought. The statements, which may be in the form of a letter, shall be filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and served upon the other Parties at least seven (7) calendar days before the Hearing date. Rebuttal statements or other pre-Hearing written submissions may be permitted or required at the discretion of the Arbitrator.
 

  • Rule 21. Securing Witnesses and Documents for the Arbitration Hearing

    At the written request of a Party, all other Parties shall produce for the Arbitration Hearing all specified witnesses in their employ or under their control without need of subpoena. The Arbitrator may issue subpoenas for the attendance of witnesses or the production of documents either prior to or at the Hearing pursuant to this Rule or Rule 19(c). The subpoena or subpoena duces tecum shall be issued in accordance with the applicable law. Pre-issued subpoenas may be used in jurisdictions that permit them. In the event a Party or a subpoenaed person objects to the production of a witness or other evidence, the Party or subpoenaed person may file an objection with the Arbitrator, who shall promptly rule on the objection, weighing both the burden on the producing Party and witness and the need of the proponent for the witness or other evidence.

    Rule 22. The Arbitration Hearing

    (a) The Arbitrator will ordinarily conduct the Arbitration Hearing in the manner set forth in these Rules. The Arbitrator may vary these procedures if it is determined to be reasonable and appropriate to do so. It is expected that the Employee will attend the Arbitration Hearing, as will any other individual party with information about a significant issue.

    (b) The Arbitrator shall determine the order of proof, which will generally be similar to that of a court trial.

    (c) The Arbitrator shall require witnesses to testify under oath if requested by any Party, or otherwise at the discretion of the Arbitrator.

    (d) Strict conformity to the rules of evidence is not required, except that the Arbitrator shall apply applicable law relating to privileges and work product. The Arbitrator shall consider evidence that he or she finds relevant and material to the dispute, giving the evidence such weight as is appropriate. The Arbitrator may be guided in that determination by principles contained in the Federal Rules of Evidence or any other applicable rules of evidence. The Arbitrator may limit testimony to exclude evidence that would be immaterial or unduly repetitive, provided that all Parties are afforded the opportunity to present material and relevant evidence.

    (e) The Arbitrator shall receive and consider relevant deposition testimony recorded by transcript or videotape, provided that the other Parties have had the opportunity to attend and cross-examine. The Arbitrator may in his or her discretion consider witness affidavits or other recorded testimony even if the other Parties have not had the opportunity to cross-examine, but will give that evidence only such weight as he or she deems appropriate.

    (f) The Parties will not offer as evidence, and the Arbitrator shall neither admit into the record nor consider, prior settlement offers by the Parties or statements or recommendations made by a mediator or other person in connection with efforts to resolve the dispute being arbitrated, except to the extent that applicable law permits the admission of such evidence.

    (g) The Hearing, or any portion thereof, may be conducted telephonically or videographically with the agreement of the Parties or at the discretion of the Arbitrator.

    (h) When the Arbitrator determines that all relevant and material evidence and arguments have been presented, and any interim or partial Awards have been issued, the Arbitrator shall declare the Hearing closed. The Arbitrator may defer the closing of the Hearing until a date determined by the Arbitrator, to permit the Parties to submit post-Hearing briefs, which may be in the form of a letter, and/or to make closing arguments. If post-Hearing briefs are to be submitted, or closing arguments are to be made, the Hearing shall be deemed closed upon receipt by the Arbitrator of such briefs or at the conclusion of such closing arguments, whichever is later.

    (i) At any time before the Award is rendered, the Arbitrator may, sua sponte
    or on application of a Party for good cause shown, reopen the Hearing. If the Hearing is reopened, the time to render the Award shall be calculated from the date the reopened Hearing is declared closed by the Arbitrator.

    (j) The Arbitrator may proceed with the Hearing in the absence of a Party that, after receiving notice of the Hearing pursuant to Rule 19, fails to attend. The Arbitrator may not render an Award solely on the basis of the default or absence of the Party, but shall require any Party seeking relief to submit such evidence as the Arbitrator may require for the rendering of an Award. If the Arbitrator reasonably believes that a Party will not attend the Hearing, the Arbitrator may schedule the Hearing as a telephonic Hearing and may receive the evidence necessary to render an Award by affidavit. The notice of Hearing shall specify if it will be in person or telephonic.
  • (k) 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.
  • (i) 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.
  • (ii) 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 agrees to provide access to the stenographic record either at no charge or on terms that are acceptable to the Parties and the reporting service.
  • (iii) If the Parties agree to the Optional Arbitration Appeal Procedure (see Rule 34), they shall, if possible, ensure that a stenographic or other record is made of the Hearing.
  • (iv) The Parties may agree that the cost of the stenographic record shall or shall not be allocated by the Arbitrator in the Award.

 

  • Rule 23. Waiver of Hearing

    The Parties may agree to waive the oral Hearing and submit the dispute to the Arbitrator for an Award based on written submissions and other evidence as the Parties may agree.

    Rule 24. Awards

    (a) The Arbitrator shall render a Final Award or a Partial Final Award within thirty (30) calendar days after the date of the close of the Hearing, as defined in Rule 22(h) or (i), or, if a Hearing has been waived, within thirty (30) calendar days after the receipt by the Arbitrator of all materials specified by the Parties, except (1) by the agreement of the Parties; (2) upon good cause for an extension of time to render the Award; or (3) as provided in Rule 22(i). The Arbitrator shall provide the Final Award or the Partial Final Award to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES for issuance in accordance with this Rule.

    (b) Where a panel of Arbitrators has heard the dispute, the decision and Award of a majority of the panel shall constitute the Arbitration Award.

    (c) In determining the merits of the dispute, the Arbitrator shall be guided by the rules of law agreed upon by the Parties. In the absence of such agreement, the Arbitrator will be guided by the law or the rules of law that he or she deems to be most appropriate. The Arbitrator may grant any remedy or relief that is just and equitable and within the scope of the Parties' agreement, including, but not limited to, specific performance of a contract or any other equitable or legal remedy.

    (d) In addition to a Final Award or Partial Final Award, the Arbitrator may make other decisions, including interim or partial rulings, orders and Awards.

    (e) Interim Measures. The Arbitrator may grant whatever interim measures are deemed necessary, including injunctive relief and measures for the protection or conservation of property and disposition of disposable goods. Such interim measures may take the form of an interim or Partial Final Award, and the Arbitrator may require security for the costs of such measures. Any recourse by a Party to a court for interim or provisional relief shall not be deemed incompatible with the agreement to arbitrate or a waiver of the right to arbitrate.

    (f) The Award of the Arbitrator may allocate Arbitration fees and Arbitrator compensation and expenses, unless such an allocation is expressly prohibited by the Parties' Agreement or by applicable law. (Such a prohibition may not limit the power of the Arbitrator to allocate Arbitration fees and Arbitrator compensation and expenses pursuant to Rule 31(c).)

    (g) The Award of the Arbitrator may allocate attorneys' fees and expenses and interest (at such rate and from such date as the Arbitrator may deem appropriate) if provided by the Parties' Agreement or allowed by applicable law. When the Arbitrator is authorized to award attorneys' fees and must determine the reasonable amount of such fees, he or she may consider whether the failure of a Party to cooperate reasonably in the discovery process and/or comply with the Arbitrator's discovery orders caused delay to the proceeding or additional costs to the other Parties.

    (h) The Award shall consist of a written statement signed by the Arbitrator regarding the disposition of each claim and the relief, if any, as to each claim. The Award shall also contain a concise written statement of the reasons for the Award, stating the essential findings and conclusions on which the Award is based. The Parties may agree to any other form of Award, unless the Arbitration is based on an arbitration agreement that is required as a condition of employment.

    (i) After the Award has been rendered, and provided the Parties have complied with Rule 31, the Award shall be issued by serving copies on the Parties. Service may be made by U.S. mail. It need not be sent certified or registered.

    (j) Within seven (7) calendar days after service of a Partial Final Award or Final Award by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, any Party may serve upon the other Parties and on ALTCOURT JUDICAIL ARBITRATION MEDIATION Services request that the Arbitrator correct any computational, typographical or other similar error in an Award (including the reallocation of fees pursuant to Rule 31 or on account of the effect of an offer to allow judgment), or the Arbitrator may sua sponte
    propose to correct such errors in an Award. A Party opposing such correction shall have seven (7) calendar days thereafter in which to file any objection. The Arbitrator may make any necessary and appropriate corrections to the Award within twenty-one (21) calendar days of receiving a request or fourteen (14) calendar days after his or her proposal to do so. The Arbitrator may extend the time within which to make corrections upon good cause. The corrected Award shall be served upon the Parties in the same manner as the Award.

    (k) The Award is considered final, for purposes of either the Optional Arbitration Appeal Procedure pursuant to Rule 34 or a judicial proceeding to enforce, modify or vacate the Award pursuant to Rule 25, fourteen (14) calendar days after service is deemed effective if no request for a correction is made, or as of the effective date of service of a corrected Award.

    Rule 25. Enforcement of the Award

    Proceedings to enforce, confirm, modify or vacate an Award will be controlled by and conducted in conformity with the Federal Arbitration Act, 9 U.S.C. Sec 1, et seq.,
    or applicable state law. The Parties to an Arbitration under these Rules shall be deemed to have consented that judgment upon the Award may be entered in any court having jurisdiction thereof.

    Rule 26. Confidentiality and Privacy

    (a) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and the Arbitrator shall maintain the confidential nature of the Arbitration proceeding and the Award, including the Hearing, except as necessary in connection with a judicial challenge to or enforcement of an Award, or unless otherwise required by law or judicial decision.

    (b) The Arbitrator may issue orders to protect the confidentiality of proprietary information, trade secrets or other sensitive information.

    (c) Subject to the discretion of the Arbitrator or agreement of the Parties, any person having a direct interest in the Arbitration may attend the Arbitration Hearing. The Arbitrator may exclude any non-Party from any part of a Hearing.

    Rule 27. Waiver

    (a) If a Party becomes aware of a violation of or failure to comply with these Rules and fails promptly to object in writing, the objection will be deemed waived, unless the Arbitrator determines that waiver will cause substantial injustice or hardship.

    (b) If any Party becomes aware of information that could be the basis of a challenge for cause to the continued service of the Arbitrator, such challenge must be made promptly, in writing, to the Arbitrator or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS. Failure to do so shall constitute a waiver of any objection to continued service by the Arbitrator.

    Rule 28. Settlement and Consent Award

    (a) The Parties may agree, at any stage of the Arbitration process, to submit the case to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES for mediation. The ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES mediator assigned to the case may not be the Arbitrator or a member of the Appeal Panel, unless the Parties so agree, pursuant to Rule 28(b).

    (b) The Parties may agree to seek the assistance of the Arbitrator in reaching settlement. By their written agreement to submit the matter to the Arbitrator for settlement assistance, the Parties will be deemed to have agreed that the assistance of the Arbitrator in such settlement efforts will not disqualify the Arbitrator from continuing to serve as Arbitrator if settlement is not reached; nor shall such assistance be argued to a reviewing court as the basis for vacating or modifying an Award.

    (c) If, at any stage of the Arbitration process, all Parties agree upon a settlement of the issues in dispute and request the Arbitrator to embody the agreement in a Consent Award, the Arbitrator shall comply with such request, unless the Arbitrator believes the terms of the agreement are illegal or undermine the integrity of the Arbitration process. If the Arbitrator is concerned about the possible consequences of the proposed Consent Award, he or she shall inform the Parties of that concern and may request additional specific information from the Parties regarding the proposed Consent Award. The Arbitrator may refuse to enter the proposed Consent Award and may withdraw from the case.

    Rule 29. Sanctions
  • The Arbitrator may order appropriate sanctions for failure of a Party to comply with its obligations under any of these Rules or with an order of the Arbitrator. These sanctions may include, but are not limited to, assessment of Arbitration fees and Arbitrator compensation and expenses; any other costs occasioned by the actionable conduct, including reasonable attorneys' fees; exclusion of certain evidence; drawing adverse inferences; or, in extreme cases, determining an issue or issues submitted to Arbitration adversely to the Party that has failed to comply.

    Rule 30. Disqualification of the Arbitrator as a Witness or Party and Exclusion of Liability

    (a) The Parties may not call the Arbitrator, the Case Manager or any other ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES employee or agent as a witness or as an expert in any pending or subsequent litigation or other proceeding involving the Parties and relating to the dispute that is the subject of the Arbitration. The Arbitrator, Case Manager and other ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES employees and agents are also incompetent to testify as witnesses or experts in any such proceeding.

    (b) The Parties shall defend and/or pay the cost (including any attorneys' fees) of defending the Arbitrator, Case Manager and/or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES from any subpoenas from outside parties arising from the Arbitration.
  • (c) The Parties agree that neither the Arbitrator, nor the Case Manager, nor ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES is a necessary Party in any litigation or other proceeding relating to the Arbitration or the subject matter of the Arbitration, and neither the Arbitrator, nor the Case Manager, nor ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, including its employees or agents, shall be liable to any Party for any act or omission in connection with any Arbitration conducted under these Rules, including, but not limited to, any disqualification of or recusal by the Arbitrator.

    Rule 31. Fees

    (a) Except as provided in paragraph (c) below, unless the Parties have agreed to a different allocation, each Party shall pay its pro rata
    share of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES fees and expenses as set forth in the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES fee schedule in effect at the time of the commencement of the Arbitration. To the extent possible, the allocation of such fees and expenses shall not be disclosed to the Arbitrator. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS' agreement to render services is jointly with the Party and the attorney or other representative of the Party in the Arbitration. The non-payment of fees may result in an administrative suspension of the case in accordance with Rule 6(c).

    (b) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES requires that the Parties deposit the fees and expenses for the Arbitration from time to time during the course of the proceedings and prior to the Hearing. The Arbitrator may preclude a Party that has failed to deposit its pro rata
    or agreed-upon share of the fees and expenses from offering evidence of any affirmative claim at the Hearing.

    (c) If an Arbitration is based on a clause or agreement that is required as a condition of employment, the only fee that an employee may be required to pay is the initial ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Case Management Fee. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES does not preclude an employee from contributing to administrative and Arbitrator fees and expenses. If an Arbitration is not based on a clause or agreement that is required as a condition of employment, the Parties are jointly and severally liable for the payment of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Arbitration fees and Arbitrator compensation and expenses. In the event that one Party has paid more than its share of such fees, compensation and expenses, the Arbitrator may award against any other Party any such fees, compensation and expenses that such Party owes with respect to the Arbitration.

    (d) Entities whose interests are not adverse with respect to the issues in dispute shall be treated as a single Party for purposes of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS' assessment of fees. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall determine whether the interests between entities are adverse for purpose of fees, considering such factors as whether the entities are represented by the same attorney and whether the entities are presenting joint or separate positions at the Arbitration.

    Rule 32. Bracketed (or High-Low) Arbitration Option

    (a) At any time before the issuance of the Arbitration Award, the Parties may agree, in writing, on minimum and maximum amounts of damages that may be awarded on each claim or on all claims in the aggregate. The Parties shall promptly notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and provide to ALTCOURT JUDICAIL ARBITRATION MEDIATION Services copy of their written agreement setting forth the agreed-upon minimum and maximum amounts.

    (b) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall not inform the Arbitrator of the agreement to proceed with this option or of the agreed-upon minimum and maximum levels without the consent of the Parties.

    (c) The Arbitrator shall render the Award in accordance with Rule 24.

    (d) In the event that the Award of the Arbitrator is between the agreed-upon minimum and maximum amounts, the Award shall become final as is. In the event that the Award is below the agreed-upon minimum amount, the final Award issued shall be corrected to reflect the agreed-upon minimum amount. In the event that the Award is above the agreed-upon maximum amount, the final Award issued shall be corrected to reflect the agreed-upon maximum amount.

    Rule 33. Final Offer (or Baseball) Arbitration Option

    (a) Upon agreement of the Parties to use the option set forth in this Rule, at least seven (7) calendar days before the Arbitration Hearing, the Parties shall exchange and provide to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES written proposals for the amount of money damages they would offer or demand, as applicable, and that they believe to be appropriate based on the standard set forth in Rule 24(c). ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall promptly provide copies of the Parties' proposals to the Arbitrator, unless the Parties agree that they should not be provided to the Arbitrator. At any time prior to the close of the Arbitration Hearing, the Parties may exchange revised written proposals or demands, which shall supersede all prior proposals. The revised written proposals shall be provided to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, which shall promptly provide them to the Arbitrator, unless the Parties agree otherwise.

    (b) If the Arbitrator has been informed of the written proposals, in rendering the Award, the Arbitrator shall choose between the Parties' last proposals, selecting the proposal that the Arbitrator finds most reasonable and appropriate in light of the standard set forth in Rule 24(c). This provision modifies Rule 24(h) in that no written statement of reasons shall accompany the Award.

    (c) If the Arbitrator has not been informed of the written proposals, the Arbitrator shall render the Award as if pursuant to Rule 24, except that the Award shall thereafter be corrected to conform to the closest of the last proposals and the closest of the last proposals will become the Award.

    (d) Other than as provided herein, the provisions of Rule 24 shall be applicable.

    Rule 34. Optional Arbitration Appeal Procedure
  • The Parties may agree at any time to the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Optional Arbitration Appeal Procedure. All Parties must agree in writing for such procedures to be effective. Once a Party has agreed to the Optional Arbitration Appeal Procedure, it cannot unilaterally withdraw from it, unless it withdraws, pursuant to Rule 13, from the Arbitration.

 

  • ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Policy on Employment Arbitration Minimum Standards of Procedural Fairness

     

  • This document presents the principles and policies of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICE Son the use of arbitration for resolving employment-related disputes. These policies include the Minimum Standards of Procedural Fairness, which apply to arbitrations based on pre-dispute agreements that are required as a condition of employment. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will administer mandatory arbitrations in employment cases only if the arbitration provision complies with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Minimum Standards.
  • ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES continues to urge employers and employees to use, at the earliest point possible, mediation and other ADR processes that encourage consensual resolution of disputes in a fair, affordable and efficient manner. We also recommend that employers consult with counsel when considering, drafting or implementing pre-dispute arbitration clauses that relate to statutory employment claims.
  • A. Preference for Mediation and Voluntary Arbitration
    ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES encourages the use of mediation and of voluntary arbitration that is not a condition of initial or continued employment. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES does not take a position on the enforceability of condition-of-employment arbitration clauses, but it monitors developments in courts, legislatures and regulatory agencies concerning the enforceability of the clauses. If courts rule definitively that such clauses are unenforceable, or if laws or regulations proscribe their use, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will comply with the rulings or laws in the applicable cases or jurisdictions. Absent such proscriptions, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES accepts arbitration assignments based on condition-of-employment clauses (provided the Minimum Standards are met) but does not encourage the use of such clauses.
  • B. Minimum Standards of Procedural Fairness
    If an arbitration is based on a clause or agreement that is required as a condition of employment, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will accept the assignment only if the proceeding complies with the Minimum Standards of Procedural Fairness for Employment Arbitration.
  • Standard No. 1: All Remedies Available
    All remedies that would be available under the applicable law in a court proceeding, including attorneys fees and exemplary damages, as well as statutes of limitations, must remain available in the arbitration. Post-arbitration remedies, if any, must remain available to an employee.
  • Comment: This standard does not make any change in the remedies available. Its purpose is to ensure that the remedies available in arbitrations and court proceedings are the same. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES does not object if an employer chooses to limit its own post-arbitration remedies.
  • Standard No. 2: Arbitrator Neutrality
    The arbitrator(s) must be neutral, and an employee must have the right to participate in the selection of the arbitrator(s).
  • Standard No. 3: Representation by Counsel
    The agreement or clause must provide that an employee has the right to be represented by counsel. Nothing in the clause or procedures may discourage the use of counsel.
  • Standard No. 4: Access to Information/Discovery
    The procedures must provide for an exchange of core information prior to the arbitration.
  • Comment: Generally, this discovery should include at least (a) exchange of relevant documents, (b) identification of witnesses and (c) one deposition for each side, i.e., of the employee and of a supervisor or other decision-maker of the employer. Other discovery should be available at the arbitrator's discretion.
  • Standard No. 5: Presentation of Evidence
    At the arbitration hearing, both the employee and the employer must have the right to (a) present proof, through testimony and documentary evidence, and (b) cross-examine witnesses.
  • Standard No. 6: Costs and Location Must Not Preclude Access to Arbitration
    An employee's access to arbitration must not be precluded by the employee's inability to pay any costs or by the location of the arbitration. The only fee that an employee may be required to pay is ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS' initial Case Management Fee. All other costs must be borne by the company, including any additional ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Case Management Fee and all professional fees for the arbitrator’s services. In California, the arbitration provision may not require an employee who does not prevail to pay the fees and costs incurred by the opposing party.
  • Comment: ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES does not preclude an employee from contributing to administrative and arbitrator fees and expenses.
  • Standard No. 7: Mutuality
    ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will not administer arbitrations pursuant to clauses that lack mutuality. Both the employer and the employee must have the same obligation (either to arbitrate or go to court) with respect to the same kinds of claims.
  • Standard No. 8: Written Awards
    An arbitration award will consist of a written statement signed by the Arbitrator regarding the disposition of each claim and the relief, if any, awarded as to each claim. The Arbitrator will also provide a concise written statement of the reasons for the Award, stating the essential findings and conclusions on which the award is based.
  • * * *
  • If ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES becomes aware that an arbitration clause or procedure does not comply with the Minimum Standards, it will notify the employer of the Minimum Standards and inform the employer that the arbitration demand will not be accepted unless there is full compliance with those standards. In assessing whether the standards are met and whether to accept the arbitration assignment, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, as the ADR provider, will limit its inquiry to a facial review of the clause or procedure. If a factual inquiry is required, for example, to determine compliance with Minimum Standards, it must be conducted by an arbitrator or court.
  • C. Questions about Enforcement and Arbitrability
    If a party contests the enforceability of a pre-dispute arbitration agreement that was required as a condition of employment, and if compliance with the Minimum Standards is in question, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will, if given notice of the dispute, defer administering the arbitration for a reasonable period of time to allow the contesting party to seek a judicial ruling on the issue. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will comply with that judicial determination. If there is no judicial determination within a reasonable period of time, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will resolve questions of arbitrability under the applicable ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Arbitration Rules and Procedures for Employment Disputes.
  • D. Other
    Parties to an employment arbitration may choose to follow the Arbitration Rules and Procedures for Employment Disputes that were developed by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS. These Rules and Procedures exceed the Minimum Standards by providing further procedural protections, including additional discovery and an optional appeal process, to all parties in an employment arbitration.
  • ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES is committed to ensuring that all staff who work on employment-related dispute resolution issues are aware of these principles and policies. Internal controls are used to ensure knowledge and compliance by the staff, and to ensure that the company's marketing activities in the employment area do not give rise to any actual or perceived conflict of interest on the part of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES or its neutrals.
  • Note: These Minimum Standards do not apply if the agreement to arbitrate was individually negotiated by the employee and employer, or if the employee was represented or advised by counsel during the negotiations.

 

  • ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Recommended Arbitration Discovery Protocols

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Recommended Arbitration Discovery Protocols
For Domestic, Commercial Cases

 

Introduction

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES is committed to providing the most efficient, cost-effective arbitration process that is possible in the particular circumstances of each case. Its experienced, trained and highly qualified arbitrators are committed to: (1) being sufficiently assertive to ensure that an arbitration will be resolved much less expensively and in much less time than if it had been litigated in court; and (2) at the same time, being sufficiently patient and restrained to ensure that there is enough discovery and evidence to permit a fair result.

The ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Recommended Arbitration Discovery Protocols (“Protocols”), which are set forth below, provide ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrators with an effective tool that will help them exercise their sound judgment in furtherance of achieving an efficient, cost-effective process that affords the parties a fair opportunity to be heard.


The Key Element: Good Judgment of the Arbitrator

  • ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrators understand that while some commercial arbitrations may have similarities, for the most part each case involves unique facts and circumstances. As a result, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrators adapt arbitration discovery to meet the unique characteristics of the particular case, understanding that there is no set of objective rules that, if followed, would result in one "correct" approach for all commercial cases.
  • ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES appreciates that the experience, talent and preferences brought to arbitration will vary with the arbitrator. It follows that the framework of arbitration discovery will always be based on the judgment of the arbitrator, brought to bear in the context of variables such as the applicable rules, the custom and practice for arbitrations in the industry in question and the expectations and preferences of the parties and their counsel.
  • Attached as Exhibit A is a list of factors that ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrators take into consideration when addressing the type and breadth of arbitration discovery.
     

Early Attention to Discovery by the Arbitrator

  • ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES understand the importance of establishing the ground rules governing an arbitration in the period immediately following the initiation of the arbitration. Therefore, following appointment, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrators promptly study the facts and the issues and become prepared to preside effectively over the early stages of the case in a way that will ultimately lead to an expeditious, cost-effective and fair process.
  • Depending upon the provisions of the parties' agreement, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrations may be governed by the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Comprehensive Arbitration Rules and Procedures or by the arbitration rules of another provider organization. Such rules, for good reason, lack the specificity that one finds, for example, in the Federal Rules of Civil Procedure. That being so, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrators seek to avoid uncertainty and surprise by ensuring that the parties understand at an early stage the basic ground rules for discovery. This early attention to the scope of discovery increases the chance that parties will adopt joint principles of fairness and efficiency before partisan positions arise in concrete discovery disputes.
  • ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrators place the type and breadth of arbitration discovery high on the agenda for the first pre-hearing conference at the start of the case. If at all possible, in-house counsel should attend the pre-hearing conference at which discovery will be discussed.
  • ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrators strive to enhance the chances for limited, efficient discovery by acting at the first pre-hearing conference to set hearing dates and interim deadlines that, the parties are told, will be strictly enforced and that, in fact, are thereafter strictly enforced.
  • Where appropriate, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrators explain at the first pre-hearing conference that document requests:
    • should be limited to documents that are directly relevant to significant issues in the case or to the case's outcome;
    • should be restricted in terms of time frame, subject matter and persons or entities to which the requests pertain; and
    • should not include broad phraseology such as “all documents directly or indirectly related to.”

 

Party Preferences

  • Overly broad arbitration discovery can result when all of the parties seek discovery beyond what is needed. This unfortunate circumstance may be caused by parties and/or advocates who are inexperienced in arbitration and simply conduct themselves in a fashion that is commonly accepted in court litigation. In any event, where all participants truly desire unlimited discovery, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrators will respect that decision, since arbitration is governed by the agreement of the parties.
  • Where one side wants broad arbitration discovery and the other wants narrow discovery, the arbitrator will set meaningful limitations. 

 

E-Discovery

  • The use of electronic media for the creation, storage and transmission of information has substantially increased the volume of available document discovery. It has also substantially increased the cost of the discovery process.
  • To be able to appropriately address issues pertaining to e-discovery, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrators are trained to deal with the technological issues that arise in connection with electronic data.
  • While there can be no objective standard for the appropriate scope of e-discovery in all cases, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrators recognize that an early order containing language along the following lines can be an important first step in limiting such discovery in a large number of cases:
    • There shall be production of electronic documents only from sources used in the ordinary course of business. Absent a showing of compelling need, no such documents are required to be produced from backup servers, tapes or other media.
    • Absent a showing of compelling need, the production of electronic documents shall normally be made on the basis of generally available technology in a searchable format that is usable by the party receiving the e-documents and convenient and economical for the producing party. Absent a showing of compelling need, the parties need not produce metadata, with the exception of header fields for email correspondence.
    • Where the costs and burdens of e-discovery are disproportionate to the nature and gravity of the dispute or to the amount in controversy, or to the relevance of the materials requested, the arbitrator will either deny such requests or order disclosure on condition that the requesting party advance the reasonable cost of production to the other side, subject to the allocation of costs in the final award.
       

Artfully Drafted Arbitration Clauses

  • ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES recognizes that there is significant potential for dealing with time and other limitations on discovery in the arbitration clauses of commercial contracts. An advantage of such drafting is that it is much easier for parties to agree on such limitations before a dispute has arisen. A drawback, however, is the difficulty of rationally providing for how best to arbitrate a dispute that has not yet surfaced. Thus, the use of such clauses may be most productive in circumstances in which parties have a good idea from the outset as to the nature and scope of disputes that might thereafter arise.
  • ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES understands that in order for rational time and other discovery limitations to be effectively included in an arbitration clause, it is necessary that an attorney with a good understanding of arbitration be involved in the drafting process.
     

Depositions

  • Rule 17(c) of the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules provides that in a domestic arbitration, each party is entitled to one deposition of an opposing party or an individual under the control of an opposing party and that each side may apply for the taking of additional depositions, if necessary.
  • ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES recognizes that the size and complexity of commercial arbitrations have now grown to a point where more than a single deposition can serve a useful purpose in certain instances. Depositions in a complex arbitration, for example, can significantly shorten the cross-examination of key witnesses and shorten the hearing on the merits.
  • If not carefully regulated, however, deposition discovery in arbitration can become extremely expensive, wasteful and time-consuming. In determining what scope of depositions may be appropriate in a given case, a ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrator balances these considerations, considers the factors set forth in Exhibit A and confers with counsel for the parties. If a ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrator determines that it is appropriate to permit multiple depositions, he/she may attempt to solicit agreement at the first pre-hearing conference on language such as the following:

Each side may take 3* discovery depositions. Each side’s depositions are to consume no more than a total of 15* hours. There are to be no speaking objections at the depositions, except to preserve privilege. The total period for the taking of depositions shall not exceed 6* weeks.1

1 The asterisked numbers can of course be changed to comport with the particular circumstances of each case.

 

Discovery Disputes

  • Discovery disputes must be resolved promptly and efficiently. In addressing discovery disputes, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrators consider use of the following practices, which can increase the speed and cost-effectiveness of the arbitration:
    • Where there is a panel of three arbitrators, the parties may agree, by rule or otherwise, that the Chair or another member of the panel is authorized to resolve discovery issues, acting alone.
    • Lengthy briefs on discovery matters should be avoided. In most cases, a prompt discussion or submission of brief letters will sufficiently inform the arbitrator with regard to the issues to be decided.
    • The parties should negotiate discovery differences in good faith before presenting any remaining issues for the arbitrator’s decision.
    • The existence of discovery issues should not impede the progress of discovery where there are no discovery differences.
       

Discovery and Other Procedural Aspects of Arbitration


Other aspects of arbitration have interplay with, and impact on, discovery in arbitration, as discussed below.


Requests for Adjournments

  • Where parties encounter discovery difficulties, this circumstance often leads to a request for adjournment and the possible delay of the hearing. While the arbitrator may not reject a joint application of all parties to adjourn the hearing, the fact is that such adjournments can cause inordinate disruption and delay by needlessly extending unnecessary discovery and can substantially detract from the cost-effectiveness of the arbitration. If the request for adjournment is by all parties and is based on a perceived need for further discovery (as opposed to personal considerations), a ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrator ensures that the parties understand the implications in time and cost of the adjournment they seek.
  • If one party seeks a continuance and another opposes it, then the arbitrator has discretion to grant or deny the request. Factors that affect the exercise of such discretion include the merits of the request and the legitimate needs of the parties, as well as the proximity of the request to the scheduled hearing and whether any earlier requests for adjournments have been made. 

Discovery and Dispositive Motions

  • In arbitration, “dispositive” motions can cause significant delay and unduly prolong the discovery period. Such motions are commonly based on lengthy briefs and recitals of facts and, after much time, labor and expense, are generally denied on the ground that they raise issues of fact and are inconsistent with the spirit of arbitration. On the other hand, dispositive motions can sometimes enhance the efficiency of the arbitration process if directed to discrete legal issues such as statute of limitations or defenses based on clear contractual provisions. In such circumstances, an appropriately framed dispositive motion can eliminate the need for expensive and time-consuming discovery. On balance, a ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES arbitrator will consider the following procedure with regard to dispositive motions:
    • Any party wishing to make a dispositive motion must first submit a brief letter (not exceeding five pages) explaining why the motion has merit and why it would speed the proceeding and make it more cost-effective. The other side would have a brief period within which to respond.
    • Based on the letters, the arbitrator would decide whether to proceed with more comprehensive briefing and argument on the proposed motion.
    • If the arbitrator decides to go forward with the motion, he/she would place page limits on the briefs and set an accelerated schedule for the disposition of the motion.
    • Under ordinary circumstances, the pendency of such a motion should not serve to stay any aspect of the arbitration or adjourn any pending deadlines.

 


Note: These Protocols are adapted from the April 4, 2009, Report on Arbitration Discovery by the New York Bar Association.



 

Exhibit A

Relevant Factors Considered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Arbitrators in
Determining the Appropriate Scope of Domestic Arbitration Discovery


Nature of the Dispute

  • The factual context of the arbitration and of the issues in question with which the arbitrator should become conversant before making a decision about discovery.
     
  • The amount in controversy.
     
  • The complexity of the factual issues.
     
  • The number of parties and diversity of their interests.
     
  • Whether any or all of the claims appear, on the basis of the pleadings, to have sufficient merit to justify the time and expense associated with the requested discovery.
     
  • Whether there are public policy or ethical issues that give rise to the need for an in-depth probe through relatively comprehensive discovery.
     
  • Whether it might be productive to initially address a potentially dispositive issue that does not require extensive discovery.


Agreement of the Parties

  • Agreement of the parties, if any, with respect to the scope of discovery.
     
  • Agreement, if any, by the parties with respect to duration of the arbitration from the filing of the arbitration demand to the issuance of the final award.
     
  • The parties’ choice of substantive and procedural law and the expectations under that legal regime with respect to arbitration discovery.

Relevance and Reasonable Need for Requested Discovery

  • Relevance of the requested discovery to the material issues in dispute or the outcome of the case.
     
  • Whether the requested discovery appears to be sought in an excess of caution, or is duplicative or redundant.
     
  • Whether there are necessary witnesses and/or documents that are beyond the tribunal’s subpoena power.
     
  • Whether denial of the requested discovery would, in the arbitrator’s judgment (after appropriate scrutinizing of the issues), deprive the requesting party of what is reasonably necessary to allow that party a fair opportunity to prepare and present its case.
     
  • Whether the requested information could be obtained from another source more conveniently and with less expense or other burden on the party from whom the discovery is requested.
     
  • To what extent the discovery sought is likely to lead, as a practical matter, to a case-changing “smoking gun” or to a fairer result.
     
  • Whether broad discovery is being sought as part of a litigation tactic to put the other side to great expense and thus coerce some sort of result on grounds other than the merits.
     
  • The time and expense that would be required for a comprehensive discovery program.
     
  • Whether all or most of the information relevant to the determination of the merits is in the possession of one side.
     
  • Whether the party seeking expansive discovery is willing to advance the other side’s reasonable costs and attorneys’ fees in connection with furnishing the requested materials and information.
     
  • Whether a limited deposition program would be likely to (i) streamline the hearing and make it more cost-effective, (ii) lead to the disclosure of important documents not otherwise available or (iii) result in expense and delay without assisting in the determination of the merits.

Privilege and Confidentiality

  • Whether the requested discovery is likely to lead to extensive privilege disputes as to documents not likely to assist in the determination of the merits.
     
  • Whether there are genuine confidentiality concerns with respect to documents of marginal relevance. Whether cumbersome, time-consuming procedures (attorneys’ eyes only, and the like) would be necessary to protect confidentiality in such circumstances.

Characteristics and Needs of the Parties

  • The financial and human resources the parties have at their disposal to support discovery, viewed both in absolute terms and relative to one another.
     
  • The financial burden that would be imposed by a broad discovery program and whether the extent of the burden outweighs the likely benefit of the discovery.
     
  • Whether injunctive relief is requested or whether one or more of the parties has some other particular interest in obtaining a prompt resolution of all or some of the controversy.
     
  • The extent to which the resolution of the controversy might have an impact on the continued viability of one or more of the parties.
  •  
  • ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Consumer Minimum Standards

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Policy on Consumer Arbitrations Pursuant to Pre-Dispute Clauses
Minimum Standards of Procedural Fairness

 

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will administer arbitrations pursuant to mandatory pre-dispute arbitration clauses between companies and consumers1 only if the contract arbitration clause and specified applicable rules comply with the following minimum standards of fairness.

These minimum standards for arbitration procedures are:

  1. The arbitration agreement must be reciprocally binding on all parties such that (a) if a consumer is required to arbitrate his or her claims or all claims of a certain type, the company is so bound; and, (b) no party shall be precluded from seeking remedies in small claims court for disputes or claims within the scope of its jurisdiction.
  2. The consumer must be given notice of the arbitration clause. Its existence, terms, conditions and implications must be clear.
  3. Remedies that would otherwise be available to the consumer under applicable federal, state or local laws must remain available under the arbitration clause, unless the consumer retains the right to pursue the unavailable remedies in court.
  4. The arbitrator(s) must be neutral, and the consumer must have a reasonable opportunity to participate in the process of choosing the arbitrator(s).
  5. The consumer must have a right to an in-person hearing in his or her hometown area.
  6. The clause or procedures must not discourage the use of counsel.
  7. With respect to the cost of the arbitration, when a consumer initiates arbitration against the company, the only fee required to be paid by the consumer is $250, which is approximately equivalent to current Court filing fees. All other costs must be borne by the company, including any remaining ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Case Management Fee and all professional fees for the arbitrator's services. When the company is the claiming party initiating an arbitration against the consumer, the company will be required to pay all costs associated with the arbitration.
  8. In California, the arbitration provision may not require the consumer to pay the fees and costs incurred by the opposing party if the consumer does not prevail.
  9. The arbitration provision must allow for the discovery or exchange of non-privileged information relevant to the dispute.
  10. An Arbitrator's Award will consist of a written statement stating the disposition of each claim. The award will also provide a concise written statement of the essential findings and conclusions on which the award is based.

 


1 These standards are applicable where a company systematically places an arbitration clause in its agreements with individual consumers and there is minimal, if any, negotiation between the parties as to the procedures or other terms of the arbitration clause. A consumer is defined as an individual who seeks or acquires any goods or services, primarily for personal family or household purposes, including the credit transactions associated with such purchases, or personal banking transactions. These standards do not apply to the use of arbitration in resolving disputes arising from commercial transactions between a lender and commercial borrowers or a company and commercial customers, other financial services such as investment transactions, real estate transactions, or to matters involving underinsured motorists. Nor do they apply if the agreement to arbitrate was negotiated by the individual consumer and the company.

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Optional Arbitration Appeal Procedure

Perhaps one of the biggest myths about arbitration is there is no avenue to appeal. This is not the case, and hasn’t been for many years. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES have offered its optional appellate arbitration procedure for more than 10 years.

Keep in mind that not every arbitration is well-suited to an appeal, but incorporation of an appellate process can lessen the risks and provide some peace of mind.

With planning and a carefully worded agreement, parties can realize all the benefits of arbitration (cost and time savings, finality, confidentiality, etc.) while providing for an appellate process. When drafting such an agreement, consideration should be given to several points, including (1) requiring a reasoned decision by the initial tribunal; (2) defining the issues that can be reviewed on appeal; (3) where the appellate tribunal will be seated; (4) the number and qualifications of the arbitrator(s); (5) the method of appointment of the arbitrators; (6) what constitutes the record on appeal; (7) deadlines; (8) whether there is to be oral argument; and (9) evidentiary standards.

Optional Arbitration Appeal Overview

  • The Parties may agree at any time to the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Optional Appeal Procedure.
  • The Appeal Panel typically consists of three ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES neutrals with significant appellate experience and provides for the same standard of review that the first-level appellate court in the jurisdiction would apply to an appeal from the trial court decision.
  • The Optional Arbitration Appeal Procedure, absent any cause for delay, will be completed in 21 days.

 

 

The parties hereby agree to the following Optional Appeal Procedure:

(a) The Appeal Panel will consist of three neutral members, unless the Parties agree that there will be one neutral member. Upon the filing of an Appeal in accordance with (b)(i) below, the Case Manager will recommend to the Parties an Appeal Panel and will make any disclosures that are mandated by applicable law regarding the candidates for the Panel. The Case Manager will seek the agreement of the Parties as to the selection of the Appeal Panel members. If the Parties do not agree on the composition of the Appeal Panel within seven (7) calendar days of having received the Case Manager recommendation for the Appeal Panel, the Case Manager will appoint an Appeal Panel.

(a) The Procedure for filing and arguing an Appeal is as follows:

(i) If all Parties have agreed to the Optional Appeal Procedure, any party may Appeal an Arbitration Award that has been rendered pursuant to the applicable ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Arbitration Rules and has become final. The Appeal must be served, in writing, to the Case Manager and on the opposing Party(is) within fourteen (14) calendar days after the Award has become final. The letter or other writing evidencing the Appeal must specify those elements of the Award that are being Appealed and must contain a brief statement of the basis for the Appeal.

(ii) Within seven (7) calendar days of the service of the Appeal, the opposing Party(is) may serve on the Case Manager and on the opposing Party(is) a Cross-Appeal with respect to any element of the Award. The letter or other writing evidencing the Cross-Appeal must specify those elements of the Award that are being Appealed and must contain a brief statement of the basis for the Cross-Appeal.

(iii) The record on Appeal will consist of the stenographic or other record of the Arbitration Hearing and all exhibits, deposition transcripts and affidavits that have been accepted into the record of the Arbitration Hearing by the Arbitrator(s). The Parties will cooperate with the Case Manager in compiling the record on Appeal, and the Case Manager will provide the record to the Appeal Panel. No evidence not previously accepted by the Arbitrator(s) will be considered by the Appeal Panel, unless the basis of the Appeal is non-acceptance by the Arbitrator of certain evidence or unless the Appeal Panel determines that there is good cause to re-open the record pursuant to the applicable ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Arbitration Rules.

(iv) The Parties may elect to rely on the memoranda or briefs previously submitted to the Arbitrator(s). In the absence of such election, the Case Manager will obtain the agreement of the Parties on a briefing schedule.

If no agreement is reached, the Case Manager will set the briefing schedule. Ordinarily, only opening briefs (of no more than 25 double-spaced pages) will be allowed. The briefs may be in the form of a letter.

(v) The Appeal Panel will conduct an oral argument if all Parties request such argument, or may conduct oral argument, in complex cases or unusual circumstances, on its own initiative.

If there are to be oral arguments, the Case Manager will obtain the agreement of the Parties on both the date of such argument and the duration, including the allocation of time. In the absence of agreement, the Appeal Panel will set the date and duration of the oral argument, including the allocation of time.

(vi) All fees for the original arbitration must be paid in full before an Appeal will be scheduled.

(c) Once an Appeal has been timely filed, the Arbitration Award is no longer considered final for purposes of seeking judicial enforcement, modification or vacating pursuant to the applicable ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Arbitration Rules.

(d) The Appeal Panel will apply the same standard of review that the first-level appellate court in the jurisdiction would apply to an appeal from the trial court decision. The Appeal Panel will respect the evidentiary standard set forth in Rule 22(d) of the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Comprehensive Arbitration Rules. The Panel may affirm, reverse or modify an Award.

The Panel may not remand to the original Arbitrator(s) but may re-open the record in order to review evidence that had been improperly excluded by the Arbitrator(s), or evidence that is now necessary in light of the Panel's interpretation of the relevant substantive law. A three-member Appeal Panel will make its decision by majority vote and, absent good cause for an extension, will issue the decision within twenty-one (21) calendar days of the date of either oral argument, the receipt of the new evidence or receipt of the record and of all briefs, whichever is applicable or later. The Panel's decision will consist of a concise written explanation, unless all Parties agree otherwise.

(e) If a Party refuses to participate in the Optional Appeal Procedure after having agreed to do so, the Appeal Panel will maintain jurisdiction over the Appeal and will consider the Appeal as if all Parties were participating, including retaining the authority to modify any Award or element of an Award that had previously been entered in favor of the non-participating Party, assuming it believes that the record, after application of the appropriate standard of Appeal, justifies such action.

(f) After the Appeal Panel has rendered a decision, and provided the Parties have paid all ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES fees in full, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will issue the decision by serving copies on the Parties. Service will be deemed effective five (5) calendar days after deposit in the U.S. Mail. Upon service of the Appeal Panel decision, the Award will be final for purposes of judicial review.

Signed:

_______________________

    

Signed:

_______________________

Print Name:

_______________________

    

Print Name:

_______________________

For:

_______________________

    

For:

_______________________

Dated:

_______________________

    

Dated:

_______________________

 


 

Signed:

_______________________

    

Signed:

_______________________

Print Name:

_______________________

    

Print Name:

_______________________

For:

_______________________

    

For:

_______________________

Dated:

_______________________

    

Dated:

______________________

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Comprehensive Arbitration Rules & Procedures



 

 

Rule 1.

Scope of Rules

Rule 2.

Party Self-Determination and Emergency Relief Procedures

Rule 3.

Amendment of Rules

Rule 4.

Conflict with Law

Rule 5.

Commencing an Arbitration

Rule 6.

Preliminary and Administrative Matters

Rule 7.

Number and Neutrality of Arbitrators; Appointment and Authority of Chairperson

Rule 8.

Service

Rule 9.

Notice of Claims

Rule 10.

Changes of Claims

Rule 11.

Interpretation of Rules and Jurisdictional Challenges

Rule 12.

Representation

Rule 13.

Withdrawal from Arbitration

Rule 14.

Ex Parte Communications

Rule 15.

Arbitrator Selection, Disclosures and Replacement

Rule 16.

Preliminary Conference

Rule 16.1.

Application of Expedited Procedures

Rule 16.2.

Where Expedited Procedures Are Applicable

Rule 17.

Exchange of Information

Rule 18.

Summary Disposition of a Claim or Issue

Rule 19.

Scheduling and Location of Hearing

Rule 20.

Pre-Hearing Submissions

Rule 21.

Securing Witnesses and Documents for the Arbitration Hearing

Rule 22.

The Arbitration Hearing

Rule 23.

Waiver of Hearing

Rule 24.

Awards

Rule 25.

Enforcement of the Award

Rule 26.

Confidentiality and Privacy

Rule 27.

Waiver

Rule 28.

Settlement and Consent Award

Rule 29.

Sanctions

Rule 30.

Disqualification of the Arbitrator as a Witness or Party and Exclusion of Liability

Rule 31.

Fees

Rule 32.

Bracketed (or High-Low) Arbitration Option

Rule 33.

Final Offer (or Baseball) Arbitration Option

Rule 34.

Optional Arbitration Appeal Procedure

 




Rule 1. Scope of Rules

(a) The ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Comprehensive Arbitration Rules and Procedures ("Rules") govern binding Arbitrations of disputes or claims that are administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and in which the Parties agree to use these Rules or, in the absence of such agreement, any disputed claim or counterclaim that exceeds $250,000, not including interest or attorneys' fees, unless other Rules are prescribed.

(b) The Parties shall be deemed to have made these Rules a part of their Arbitration agreement ("Agreement") whenever they have provided for Arbitration by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES under its Comprehensive Rules or for Arbitration by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES without specifying any particular ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules and the disputes or claims meet the criteria of the first paragraph of this Rule.

(c) The authority and duties of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES as prescribed in the Agreement of the Parties and in these Rules shall be carried out by the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES National Arbitration Committee ("NAC") or the office of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES General Counsel or their designees.

(d) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may, in its discretion, assign the administration of an Arbitration to any of its Resolution Centers.

(e) The term "Party" as used in these Rules includes Parties to the Arbitration and their counsel or representatives.

(f) "Electronic filing" (e-file) means the electronic transmission of documents to and from ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and other Parties for the purpose of filing via the Internet. "Electronic service" (e-service) means the electronic transmission of documents via ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to a Party, attorney or representative under these Rules.

Rule 2. Party Self-Determination and Emergency Relief Procedures

(a) The Parties may agree on any procedures not specified herein or in lieu of these Rules that are consistent with the applicable law and ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES policies (including, without limitation, Rules 15(i), 30 and 31). The Parties shall promptly notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES of any such Party-agreed procedures and shall confirm such procedures in writing. The Party-agreed procedures shall be enforceable as if contained in these Rules.

(b) When an Arbitration Agreement provides that the Arbitration will be non-administered or administered by an entity other than ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and/or conducted in accordance with rules other than ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules, the Parties may subsequently agree to modify that Agreement to provide that the Arbitration will be administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and/or conducted in accordance with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules.

(c) Emergency Relief Procedures. These Emergency Relief Procedures are available in Arbitrations filed and served after July 1, 2014, and where not otherwise prohibited by law. Parties may agree to opt out of these Procedures in their Arbitration Agreement or by subsequent written agreement.

(i) A Party in need of emergency relief prior to the appointment of an Arbitrator may notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and all other Parties in writing of the relief sought and the basis for an Award of such relief. This Notice shall include an explanation of why such relief is needed on an expedited basis. Such Notice shall be given by facsimile, email or personal delivery. The Notice must include a statement certifying that all other Parties have been notified. If all other Parties have not been notified, the Notice shall include an explanation of the efforts made to notify such Parties.

(ii) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall promptly appoint an Emergency Arbitrator to rule on the emergency request. In most cases the appointment of an Emergency Arbitrator will be done within 24 hours of receipt of the request. The Emergency Arbitrator shall promptly disclose any circumstance likely, on the basis disclosed in the application, to affect the Arbitrator's ability to be impartial or independent. Any challenge to the appointment of the Emergency Arbitrator shall be made within 24 hours of the disclosures by the Emergency Arbitrator. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will promptly review and decide any such challenge. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS' decision will be final.

(iii) Within two business days, or as soon as practicable thereafter, the Emergency Arbitrator shall establish a schedule for the consideration of the request for emergency relief. The schedule shall provide a reasonable opportunity for all Parties to be heard taking into account the nature of the relief sought. The Emergency Arbitrator has the authority to rule on his or her own jurisdiction and shall resolve any disputes with respect to the request for emergency relief.

(iv) The Emergency Arbitrator shall determine whether the Party seeking emergency relief has shown that immediate and irreparable loss or damage will result in the absence of emergency relief and whether the requesting Party is entitled to such relief. The Emergency Arbitrator shall enter an order or Award granting or denying the relief, as the case may be, and stating the reasons therefor.

(v) Any request to modify the Emergency Arbitrator's order or Award must be based on changed circumstances and may be made to the Emergency Arbitrator until such time as an Arbitrator or Arbitrators are appointed in accordance with the Parties' Agreement and ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS' usual procedures. Thereafter, any request related to the relief granted or denied by the Emergency Arbitrator shall be determined by the Arbitrator(s) appointed in accordance with the Parties' Agreement and ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS' usual procedures.

(vi) At the Emergency Arbitrator's discretion, any interim Award of emergency relief may be conditioned on the provision of adequate security by the Party seeking such relief.

Rule 3. Amendment of Rules

ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may amend these Rules without notice. The Rules in effect on the date of the commencement of an Arbitration (as defined in Rule 5) shall apply to that Arbitration, unless the Parties have agreed upon another version of the Rules.

Rule 4. Conflict with Law

If any of these Rules, or modification of these Rules agreed to by the Parties, is determined to be in conflict with a provision of applicable law, the provision of law will govern over the Rule in conflict, and no other Rule will be affected.

Rule 5. Commencing an Arbitration

(a) The Arbitration is deemed commenced when ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES issues a Commencement Letter based upon the existence of one of the following:


(i) A post-dispute Arbitration Agreement fully executed by all Parties specifying ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES administration or use of any ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules; or

(ii) A pre-dispute written contractual provision requiring the Parties to arbitrate the dispute or claim and specifying ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES administration or use of any ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules or that the Parties agree shall be administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS; or

(iii) A written confirmation of an oral agreement of all Parties to participate in an Arbitration administered by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES or conducted pursuant to any ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Rules; or

(iv) The Respondent's failure to timely object to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES administration; or

(v) A copy of a court order compelling Arbitration at ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS.

(b) The issuance of the Commencement Letter confirms that requirements for commencement have been met, that ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES has received all payments required under the applicable fee schedule and that the Claimant has provided ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES with contact information for all Parties along with evidence that the Demand for Arbitration has been served on all Parties.

(c) If a Party that is obligated to arbitrate in accordance with subparagraph (a) of this Rule fails to agree to participate in the Arbitration process, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall confirm in writing that Party's failure to respond or participate, and, pursuant to Rule 22(j), the Arbitrator, once appointed, shall schedule, and provide appropriate notice of, a Hearing or other opportunity for the Party demanding the Arbitration to demonstrate its entitlement to relief.

(d) The date of commencement of the Arbitration is the date of the Commencement Letter but is not intended to be applicable to any legal requirements such as the statute of limitations, any contractual limitations period or claims notice requirements. The term "commencement," as used in this Rule, is intended only to pertain to the operation of this and other Rules (such as Rules 3, 13(a), 17(a) and 31(a)).

Rule 6. Preliminary and Administrative Matters

(a) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may convene, or the Parties may request, administrative conferences to discuss any procedural matter relating to the administration of the Arbitration.

(b) If no Arbitrator has yet been appointed, at the request of a Party and in the absence of Party agreement, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may determine the location of the Hearing, subject to Arbitrator review. In determining the location of the Hearing, such factors as the subject matter of the dispute, the convenience of the Parties and witnesses, and the relative resources of the Parties shall be considered.

(c) If, at any time, any Party has failed to pay fees or expenses in full, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may order the suspension or termination of the proceedings. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may so inform the Parties in order that one of them may advance the required payment. If one Party advances the payment owed by a non-paying Party, the Arbitration shall proceed, and the Arbitrator may allocate the non-paying Party's share of such costs, in accordance with Rules 24(f) and 31(c). An administrative suspension shall toll any other time limits contained in these Rules or the Parties' Agreement.

(d) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES does not maintain an official record of documents filed in the Arbitration. If the Parties wish to have any documents returned to them, they must advise ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES in writing within thirty (30) calendar days of the conclusion of the Arbitration. If special arrangements are required regarding file maintenance or document retention, they must be agreed to in writing, and ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES reserves the right to impose an additional fee for such special arrangements. Documents that are submitted for e-filing are retained for thirty (30) calendar days following the conclusion of the Arbitration.

(e) Unless the Parties' Agreement or applicable law provides otherwise, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, if it determines that the Arbitrations so filed have common issues of fact or law, may consolidate Arbitrations in the following instances:

(i) If a Party files more than one Arbitration with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may consolidate the Arbitrations into a single Arbitration.

(ii) Where a Demand or Demands for Arbitration is or are submitted naming Parties already involved in another Arbitration or Arbitrations pending under these Rules, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may decide that the new case or cases shall be consolidated into one or more of the pending proceedings and referred to one of the Arbitrators or panels of Arbitrators already appointed.

(iii) Where a Demand or Demands for Arbitration is or are submitted naming Parties that are not identical to the Parties in the existing Arbitration or Arbitrations, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may decide that the new case or cases shall be consolidated into one or more of the pending proceedings and referred to one of the Arbitrators or panels of Arbitrators already appointed.


When rendering its decision, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will take into account all circumstances, including the links between the cases and the progress already made in the existing Arbitrations.

Unless applicable law provides otherwise, where ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES decides to consolidate a proceeding into a pending Arbitration, the Parties to the consolidated case or cases will be deemed to have waived their right to designate an Arbitrator as well as any contractual provision with respect to the site of the Arbitration.

(f) Where a third party seeks to participate in an Arbitration already pending under these Rules or where a Party to an Arbitration under these Rules seeks to compel a third party to participate in a pending Arbitration, the Arbitrator shall determine such request, taking into account all circumstances he or she deems relevant and applicable.

Rule 7. Number and Neutrality of Arbitrators; Appointment and Authority of Chairperson

(a) The Arbitration shall be conducted by one neutral Arbitrator, unless all Parties agree otherwise. In these Rules, the term "Arbitrator" shall mean, as the context requires, the Arbitrator or the panel of Arbitrators in a tripartite Arbitration.

(b) In cases involving more than one Arbitrator, the Parties shall agree on, or, in the absence of agreement, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall designate, the Chairperson of the Arbitration Panel. If the Parties and the Arbitrators agree, a single member of the Arbitration Panel may, acting alone, decide discovery and procedural matters, including the conduct of hearings to receive documents and testimony from third parties who have been subpoenaed to produce documents.

(c) Where the Parties have agreed that each Party is to name one Arbitrator, the Arbitrators so named shall be neutral and independent of the appointing Party, unless the Parties have agreed that they shall be non-neutral.

Rule 8. Service

(a) The Arbitrator may at any time require electronic filing and service of documents in an Arbitration. If an Arbitrator requires electronic filing, the Parties shall maintain and regularly monitor a valid, usable and live email address for the receipt of all documents filed through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System. Any document filed electronically shall be considered as filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES when the transmission to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System is complete. Any document e-filed by 11:59 p.m. (of the sender's time zone) shall be deemed filed on that date. Upon completion of filing, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System shall issue a confirmation receipt that includes the date and time of receipt. The confirmation receipt shall serve as proof of filing.

(b) Every document filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System shall be deemed to have been signed by the Arbitrator, Case Manager, attorney or declarant who submits the document to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System, and shall bear the typed name, address and telephone number of a signing attorney. Documents containing signatures of third parties (i.e., unopposed motions, affidavits, stipulations, etc.) may also be filed electronically by indicating that the original signatures are maintained by the filing Party in paper format.

(c) Delivery of e-service documents through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to other registered users shall be considered as valid and effective service and shall have the same legal effect as an original paper document. Recipients of e-service documents shall access their documents through ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System. E-service shall be deemed complete when the Party initiating e-service completes the transmission of the electronic document(s) to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System for e-filing and/or e-service. Upon actual or constructive receipt of the electronic document(s) by the Party to be served, a Certificate of Electronic Service shall be issued by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System to the Party initiating e-service, and that Certificate shall serve as proof of service. Any Party who ignores or attempts to refuse e-service shall be deemed to have received the electronic document(s) 72 hours following the transmission of the electronic document(s) to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System.

(d) If an electronic filing or service does not occur because of (1) an error in the transmission of the document to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System or served Party that was unknown to the sending Party; (2) a failure to process the electronic document when received by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Electronic Filing System; (3) the Party being erroneously excluded from the service list; or (4) other technical problems experienced by the filer, the Arbitrator or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may, for good cause shown, permit the document to be filed nunc pro tunc
to the date it was first attempted to be sent electronically. Or, in the case of service, the Party shall, absent extraordinary circumstances, be entitled to an order extending the date for any response or the period within which any right, duty or other act must be performed.

(e) For documents that are not filed electronically, service by a Party under these Rules is effected by providing one signed copy of the document to each Party and two copies in the case of a sole Arbitrator and four copies in the case of a tripartite panel to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS. Service may be made by hand-delivery, overnight delivery service or U.S. mail. Service by any of these means is considered effective upon the date of deposit of the document.

(f) In computing any period of time prescribed or allowed by these Rules for a Party to do some act within a prescribed period after the service of a notice or other paper on the Party and the notice or paper is served on the Party only by U.S. mail, three (3) calendar days shall be added to the prescribed period.

Rule 9. Notice of Claims

(a) Each Party shall afford all other Parties reasonable and timely notice of its claims, affirmative defenses or counterclaims. Any such notice shall include a short statement of its factual basis. No claim, remedy, counterclaim or affirmative defense will be considered by the Arbitrator in the absence of such prior notice to the other Parties, unless the Arbitrator determines that no Party has been unfairly prejudiced by such lack of formal notice or all Parties agree that such consideration is appropriate notwithstanding the lack of prior notice.

(b) Claimant's notice of claims is the Demand for Arbitration referenced in Rule 5. It shall include a statement of the remedies sought. The Demand for Arbitration may attach and incorporate a copy of a Complaint previously filed with a court. In the latter case, Claimant may accompany the Complaint with a copy of any Answer to that Complaint filed by any Respondent.

(c) Within fourteen (14) calendar days of service of the notice of claim, a Respondent may submit to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and serve on other Parties a response and a statement of any affirmative defenses, including jurisdictional challenges, or counterclaims it may have.

(d) Within fourteen (14) calendar days of service of a counterclaim, a Claimant may submit to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and serve on other Parties a response to such counterclaim and any affirmative defenses, including jurisdictional challenges, it may have.

(e) Any claim or counterclaim to which no response has been served will be deemed denied.

(f) Jurisdictional challenges under Rule 11 shall be deemed waived, unless asserted in a response to a Demand or counterclaim or promptly thereafter, when circumstances first suggest an issue of arbitrability.

Rule 10. Changes of Claims

After the filing of a claim and before the Arbitrator is appointed, any Party may make a new or different claim against a Party or any third party that is subject to Arbitration in the proceeding. Such claim shall be made in writing, filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and served on the other Parties. Any response to the new claim shall be made within fourteen (14) calendar days after service of such claim. After the Arbitrator is appointed, no new or different claim may be submitted, except with the Arbitrator's approval. A Party may request a hearing on this issue. Each Party has the right to respond to any new or amended claim in accordance with Rule 9(c) or (d).

 

Rule 11. Interpretation of Rules and Jurisdictional Challenges

(a) Once appointed, the Arbitrator shall resolve disputes about the interpretation and applicability of these Rules and conduct of the Arbitration Hearing. The resolution of the issue by the Arbitrator shall be final.

(b) Jurisdictional and arbitrability disputes, including disputes over the formation, existence, validity, interpretation or scope of the agreement under which Arbitration is sought, and who are proper Parties to the Arbitration, shall be submitted to and ruled on by the Arbitrator. The Arbitrator has the authority to determine jurisdiction and arbitrability issues as a preliminary matter.

(c) Disputes concerning the appointment of the Arbitrator shall be resolved by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS.

(d) The Arbitrator may, upon a showing of good cause or sua sponte
, when necessary to facilitate the Arbitration, extend any deadlines established in these Rules, provided that the time for rendering the Award may be altered only in accordance with Rules 22(i) or 24.

Rule 12. Representation

(a) The Parties, whether natural persons or legal entities such as corporations, LLCs or partnerships, may be represented by counsel or any other person of the Party's choice. Each Party shall give prompt written notice to the Case Manager and the other Parties of the name, address, telephone and fax numbers and email address of its representative. The representative of a Party may act on the Party's behalf in complying with these Rules.

(b) Changes in Representation. A Party shall give prompt written notice to the Case Manager and the other Parties of any change in its representation, including the name, address, telephone and fax numbers and email address of the new representative. Such notice shall state that the written consent of the former representative, if any, and of the new representative, has been obtained and shall state the effective date of the new representation. 

Rule 13. Withdrawal from Arbitration

(a) No Party may terminate or withdraw from an Arbitration after the issuance of the Commencement Letter (see Rule 5), except by written agreement of all Parties to the Arbitration.

(b) A Party that asserts a claim or counterclaim may unilaterally withdraw that claim or counterclaim without prejudice by serving written notice on the other Parties and the Arbitrator. However, the opposing Parties may, within seven (7) calendar days of service of such notice, request that the Arbitrator condition the withdrawal upon such terms as he or she may direct.

Rule 14. Ex Parte
Communications

(a) No Party may have any ex parte communication with a neutral Arbitrator, except as provided in section (b) of this Rule. The Arbitrator(s) may authorize any Party to communicate directly with the Arbitrator(s) by email or other written means as long as copies are simultaneously forwarded to the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Case Manager and the other Parties.

(b) A Party may have ex parte communication with its appointed neutral or non-neutral Arbitrator as necessary to secure the Arbitrator's services and to assure the absence of conflicts, as well as in connection with the selection of the Chairperson of the arbitral panel.

(c) The Parties may agree to permit more extensive ex parte communication between a Party and a non-neutral Arbitrator. More extensive communication with a non-neutral Arbitrator may also be permitted by applicable law and rules of ethics.

Rule 15. Arbitrator Selection, Disclosures and Replacement

(a) Unless the Arbitrator has been previously selected by agreement of the Parties, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may attempt to facilitate agreement among the Parties regarding selection of the Arbitrator.

(b) If the Parties do not agree on an Arbitrator, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall send the Parties a list of at least five (5) Arbitrator candidates in the case of a sole Arbitrator and ten (10) Arbitrator candidates in the case of a tripartite panel. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall also provide each Party with a brief description of the background and experience of each Arbitrator candidate. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may replace any or all names on the list of Arbitrator candidates for reasonable cause at any time before the Parties have submitted their choice pursuant to subparagraph (c) below.

(c) Within seven (7) calendar days of service upon the Parties of the list of names, each Party may strike two (2) names in the case of a sole Arbitrator and three (3) names in the case of a tripartite panel, and shall rank the remaining Arbitrator candidates in order of preference. The remaining Arbitrator candidate with the highest composite ranking shall be appointed the Arbitrator. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES may grant a reasonable extension of the time to strike and rank the Arbitrator candidates to any Party without the consent of the other Parties.

(d) If this process does not yield an Arbitrator or a complete panel, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall designate the sole Arbitrator or as many members of the tripartite panel as are necessary to complete the panel.

(e) If a Party fails to respond to a list of Arbitrator candidates within seven (7) calendar days after its service, or fails to respond according to the instructions provided by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall deem that Party to have accepted all of the Arbitrator candidates.

(f) Entities whose interests are not adverse with respect to the issues in dispute shall be treated as a single Party for purposes of the Arbitrator selection process. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall determine whether the interests between entities are adverse for purposes of Arbitrator selection, considering such factors as whether the entities are represented by the same attorney and whether the entities are presenting joint or separate positions at the Arbitration.

(g) If, for any reason, the Arbitrator who is selected is unable to fulfill the Arbitrator's duties, a successor Arbitrator shall be chosen in accordance with this Rule. If a member of a panel of Arbitrators becomes unable to fulfill his or her duties after the beginning of a Hearing but before the issuance of an Award, a new Arbitrator will be chosen in accordance with this Rule, unless, in the case of a tripartite panel, the Parties agree to proceed with the remaining two Arbitrators. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will make the final determination as to whether an Arbitrator is unable to fulfill his or her duties, and that decision shall be final.

(h) Any disclosures regarding the selected Arbitrator shall be made as required by law or within ten (10) calendar days from the date of appointment. Such disclosures may be provided in electronic format, provided that ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES will produce a hard copy to any Party that requests it. The Parties and their representatives shall disclose to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES any circumstance likely to give rise to justifiable doubt as to the Arbitrator's impartiality or independence, including any bias or any financial or personal interest in the result of the Arbitration or any past or present relationship with the Parties or their representatives. The obligation of the Arbitrator, the Parties and their representatives to make all required disclosures continues throughout the Arbitration process.

(i) At any time during the Arbitration process, a Party may challenge the continued service of an Arbitrator for cause. The challenge must be based upon information that was not available to the Parties at the time the Arbitrator was selected. A challenge for cause must be in writing and exchanged with opposing Parties, who may respond within seven (7) calendar days of service of the challenge. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall make the final determination as to such challenge. Such determination shall take into account the materiality of the facts and any prejudice to the Parties. That decision will be final.

(j) Where the Parties have agreed that a Party-appointed Arbitrator is to be non-neutral, that Party-appointed Arbitrator is not obliged to withdraw if requested to do so only by the Party who did not appoint that Arbitrator. 

Rule 16. Preliminary Conference

At the request of any Party or at the direction of the Arbitrator, a Preliminary Conference shall be conducted with the Parties or their counsel or representatives. The Preliminary Conference may address any or all of the following subjects:

(a) The exchange of information in accordance with Rule 17 or otherwise;

(b) The schedule for discovery as permitted by the Rules, as agreed by the Parties or as required or authorized by applicable law;

(c) The pleadings of the Parties and any agreement to clarify or narrow the issues or structure the Arbitration Hearing;

(d) The scheduling of the Hearing and any pre-Hearing exchanges of information, exhibits, motions or briefs;

(e) The attendance of witnesses as contemplated by Rule 21;

(f) The scheduling of any dispositive motion pursuant to Rule 18;

(g) The premarking of exhibits, the preparation of joint exhibit lists and the resolution of the admissibility of exhibits;

(h) The form of the Award; and

(i) Such other matters as may be suggested by the Parties or the Arbitrator.

The Preliminary Conference may be conducted telephonically and may be resumed from time to time as warranted.

Rule 16.1. Application of Expedited Procedures

(a) If these Expedited Procedures are referenced in the Parties' agreement to arbitrate or are later agreed to by all Parties, they shall be applied by the Arbitrator.

(b) The Claimant or Respondent may opt into the Expedited Procedures. The Claimant may do so by indicating the election in the Demand for Arbitration. The Respondent may opt into the Expedited Procedures by so indicating in writing to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES with a copy to the Claimant served within fourteen (14) days of receipt of the Demand for Arbitration. If a Party opts into the Expedited Procedures, the other side shall indicate within seven (7) calendar days of notice thereof whether it agrees to the Expedited Procedures.

(c) If one Party elects the Expedited Procedures and any other Party declines to agree to the Expedited Procedures, each Party shall have a client or client representative present at the first Preliminary Conference (which should, if feasible, be an in-person conference), unless excused by the Arbitrator for good cause.

Rule 16.2. Where Expedited Procedures Are Applicable

(a) The Arbitrator shall require compliance with Rule 17(a) prior to conducting the first Preliminary Conference. Each Party shall confirm in writing to the Arbitrator that it has so complied or shall indicate any limitations on full compliance and the reasons therefor.

(b) Document requests shall (1) be limited to documents that are directly relevant to the matters in dispute or to its outcome; (2) be reasonably restricted in terms of time frame, subject matter and persons or entities to which the requests pertain; and (3) not include broad phraseology such as "all documents directly or indirectly related to." The Requests shall not be encumbered with extensive "definitions" or "instructions." The Arbitrator may edit or limit the number of requests.

(c) E-Discovery shall be limited as follows:

(i) There shall be production of electronic documents only from sources used in the ordinary course of business. Absent a showing of compelling need, no such documents are required to be produced from backup servers, tapes or other media.

(ii) Absent a showing of compelling need, the production of electronic documents shall normally be made on the basis of generally available technology in a searchable format that is usable by the requesting Party and convenient and economical for the producing Party. Absent a showing of compelling need, the Parties need not produce metadata, with the exception of header fields for email correspondence.

(iii) The description of custodians from whom electronic documents may be collected should be narrowly tailored to include only those individuals whose electronic documents may reasonably be expected to contain evidence that is material to the dispute.

(iv) Where the costs and burdens of e-discovery are disproportionate to the nature of the dispute or to the amount in controversy, or to the relevance of the materials requested, the Arbitrator may either deny such requests or order disclosure on the condition that the requesting Party advance the reasonable cost of production to the other side, subject to the allocation of costs in the final Award.

(v) The Arbitrator may vary these Rules after discussion with the Parties at the Preliminary Conference.

(d) Depositions of percipient witnesses shall be limited as follows:

(i) The limitation of one discovery deposition per side (Rule 17(b)) shall be applied by the Arbitrator, unless it is determined, based on all relevant circumstances, that more depositions are warranted. The Arbitrator shall consider the amount in controversy, the complexity of the factual issues, the number of Parties and the diversity of their interests and whether any or all of the claims appear, on the basis of the pleadings, to have sufficient merit to justify the time and expense associated with the requested discovery.

(ii) The Arbitrator shall also consider the additional factors listed in the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Recommended Arbitration Discovery Protocols for Domestic Commercial Cases.

(e) Expert depositions, if any, shall be limited as follows: Where written expert reports are produced to the other side in advance of the Hearing (Rule 17(a)), expert depositions may be conducted only by agreement of the Parties or by order of the Arbitrator for good cause shown.

(f) Discovery disputes shall be resolved on an expedited basis.

(i) Where there is a panel of three Arbitrators, the Parties are encouraged to agree, by rule or otherwise, that the Chair or another member of the panel is authorized to resolve discovery issues, acting alone.

(ii) Lengthy briefs on discovery matters should be avoided. In most cases, the submission of brief letters will sufficiently inform the Arbitrator with regard to the issues to be decided.

(iii) The Parties should meet and confer in good faith prior to presenting any issues for the Arbitrator's decision.

(iv) If disputes exist with respect to some issues, that should not delay the Parties' discovery on remaining issues.


(g) The Arbitrator shall set a discovery cutoff not to exceed seventy-five (75) calendar days after the Preliminary Conference for percipient discovery and not to exceed one hundred five (105) calendar days for expert discovery (if any). These dates may be extended by the Arbitrator for good cause shown.

(h) Dispositive motions (Rule 18) shall not be permitted, except as set forth in the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Recommended Arbitration Discovery Protocols for Domestic Commercial Cases or unless the Parties agree to that procedure.

(i) The Hearing shall commence within sixty (60) calendar days after the cutoff for percipient discovery. Consecutive Hearing days shall be established unless otherwise agreed by the Parties or ordered by the Arbitrator. These dates may be extended by the Arbitrator for good cause shown.

(j) The Arbitrator may alter any of these Procedures for good cause.

Rule 17. Exchange of Information

(a) The Parties shall cooperate in good faith in the voluntary and informal exchange of all non-privileged documents and other information (including electronically stored information ("ESI")) relevant to the dispute or claim immediately after commencement of the Arbitration. They shall complete an initial exchange of all relevant, non-privileged documents, including, without limitation, copies of all documents in their possession or control on which they rely in support of their positions, and names of individuals whom they may call as witnesses at the Arbitration Hearing, within twenty-one (21) calendar days after all pleadings or notice of claims have been received. The Arbitrator may modify these obligations at the Preliminary Conference.

(b) Each Party may take one deposition of an opposing Party or of one individual under the control of the opposing Party. The Parties shall attempt to agree on the time, location and duration of the deposition. If the Parties do not agree, these issues shall be determined by the Arbitrator. The necessity of additional depositions shall be determined by the Arbitrator based upon the reasonable need for the requested information, the availability of other discovery options and the burdensomeness of the request on the opposing Parties and the witness.

(c) As they become aware of new documents or information, including experts who may be called upon to testify, all Parties continue to be obligated to provide relevant, non-privileged documents to supplement their identification of witnesses and experts and to honor any informal agreements or understandings between the Parties regarding documents or information to be exchanged. Documents that were not previously exchanged, or witnesses and experts that were not previously identified, may not be considered by the Arbitrator at the Hearing, unless agreed by the Parties or upon a showing of good cause.

(d) The Parties shall promptly notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES when a dispute exists regarding discovery issues. A conference shall be arranged with the Arbitrator, either by telephone or in person, and the Arbitrator shall decide the dispute. With the written consent of all Parties, and in accordance with an agreed written procedure, the Arbitrator may appoint a special master to assist in resolving a discovery dispute.

Rule 18. Summary Disposition of a Claim or Issue

The Arbitrator may permit any Party to file a Motion for Summary Disposition of a particular claim or issue, either by agreement of all interested Parties or at the request of one Party, provided other interested Parties have reasonable notice to respond to the request.

Rule 19. Scheduling and Location of Hearing

(a) The Arbitrator, after consulting with the Parties that have appeared, shall determine the date, time and location of the Hearing. The Arbitrator and the Parties shall attempt to schedule consecutive Hearing days if more than one day is necessary.

(b) If a Party has failed to participate in the Arbitration process, the Arbitrator may set the Hearing without consulting with that Party. The non-participating Party shall be served with a Notice of Hearing at least thirty (30) calendar days prior to the scheduled date, unless the law of the relevant jurisdiction allows for, or the Parties have agreed to, shorter notice.

(c) The Arbitrator, in order to hear a third-party witness, or for the convenience of the Parties or the witnesses, may conduct the Hearing at any location. Any ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Resolution Center may be designated a Hearing location for purposes of the issuance of a subpoena or subpoena duces tecum
to a third-party witness.

Rule 20. Pre-Hearing Submissions

(a) Except as set forth in any scheduling order that may be adopted, at least fourteen (14) calendar days before the Arbitration Hearing, the Parties shall file with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and serve and exchange (1) a list of the witnesses they intend to call, including any experts; (2) a short description of the anticipated testimony of each such witness and an estimate of the length of the witness' direct testimony; (3) any written expert reports that may be introduced at the Arbitration Hearing; and (4) a list of all exhibits intended to be used at the Hearing. The Parties should exchange with each other copies of any such exhibits to the extent that they have not been previously exchanged. The Parties should pre-mark exhibits and shall attempt to resolve any disputes regarding the admissibility of exhibits prior to the Hearing.

(b) The Arbitrator may require that each Party submit a concise written statement of position, including summaries of the facts and evidence a Party intends to present, discussion of the applicable law and the basis for the requested Award or denial of relief sought. The statements, which may be in the form of a letter, shall be filed with ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and served upon the other Parties at least seven (7) calendar days before the Hearing date. Rebuttal statements or other pre-Hearing written submissions may be permitted or required at the discretion of the Arbitrator.

Rule 21. Securing Witnesses and Documents for the Arbitration Hearing

At the written request of a Party, all other Parties shall produce for the Arbitration Hearing all specified witnesses in their employ or under their control without need of subpoena. The Arbitrator may issue subpoenas for the attendance of witnesses or the production of documents either prior to or at the Hearing pursuant to this Rule or Rule 19(c). The subpoena or subpoena duces tecum
shall be issued in accordance with the applicable law. Pre-issued subpoenas may be used in jurisdictions that permit them. In the event a Party or a subpoenaed person objects to the production of a witness or other evidence, the Party or subpoenaed person may file an objection with the Arbitrator, who shall promptly rule on the objection, weighing both the burden on the producing Party and witness and the need of the proponent for the witness or other evidence.

Rule 22. The Arbitration Hearing

(a) The Arbitrator will ordinarily conduct the Arbitration Hearing in the manner set forth in these Rules. The Arbitrator may vary these procedures if it is determined to be reasonable and appropriate to do so.

(b) The Arbitrator shall determine the order of proof, which will generally be similar to that of a court trial.

(c) The Arbitrator shall require witnesses to testify under oath if requested by any Party, or otherwise at the discretion of the Arbitrator.

(d) Strict conformity to the rules of evidence is not required, except that the Arbitrator shall apply applicable law relating to privileges and work product. The Arbitrator shall consider evidence that he or she finds relevant and material to the dispute, giving the evidence such weight as is appropriate. The Arbitrator may be guided in that determination by principles contained in the Federal Rules of Evidence or any other applicable rules of evidence. The Arbitrator may limit testimony to exclude evidence that would be immaterial or unduly repetitive, provided that all Parties are afforded the opportunity to present material and relevant evidence.

(e) The Arbitrator shall receive and consider relevant deposition testimony recorded by transcript or videotape, provided that the other Parties have had the opportunity to attend and cross-examine. The Arbitrator may in his or her discretion consider witness affidavits or other recorded testimony even if the other Parties have not had the opportunity to cross-examine, but will give that evidence only such weight as he or she deems appropriate.

(f) The Parties will not offer as evidence, and the Arbitrator shall neither admit into the record nor consider, prior settlement offers by the Parties or statements or recommendations made by a mediator or other person in connection with efforts to resolve the dispute being arbitrated, except to the extent that applicable law permits the admission of such evidence.

(g) The Hearing, or any portion thereof, may be conducted telephonically or video graphically with the agreement of the Parties or at the discretion of the Arbitrator.

(h) When the Arbitrator determines that all relevant and material evidence and arguments have been presented, and any interim or partial Awards have been issued, the Arbitrator shall declare the Hearing closed. The Arbitrator may defer the closing of the Hearing until a date determined by the Arbitrator in order to permit the Parties to submit post-Hearing briefs, which may be in the form of a letter, and/or to make closing arguments. If post-Hearing briefs are to be submitted or closing arguments are to be made, the Hearing shall be deemed closed upon receipt by the Arbitrator of such briefs or at the conclusion of such closing arguments, whichever is later.

(i) At any time before the Award is rendered, the Arbitrator may, sua sponte or on application of a Party for good cause shown, reopen the Hearing. If the Hearing is reopened, the time to render the Award shall be calculated from the date the reopened Hearing is declared closed by the Arbitrator.

(j) The Arbitrator may proceed with the Hearing in the absence of a Party that, after receiving notice of the Hearing pursuant to Rule 19, fails to attend. The Arbitrator may not render an Award solely on the basis of the default or absence of the Party, but shall require any Party seeking relief to submit such evidence as the Arbitrator may require for the rendering of an Award. If the Arbitrator reasonably believes that a Party will not attend the Hearing, the Arbitrator may schedule the Hearing as a telephonic Hearing and may receive the evidence necessary to render an Award by affidavit. The notice of Hearing shall specify if it will be in person or telephonic.

(k) 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.


(i) 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.

(ii) If there is no agreement to share the cost of the stenographic record, it may not be provided to the Arbitrator and may not be used in the proceeding, unless the Party arranging for the stenographic record agrees to provide access to the stenographic record either at no charge or on terms that are acceptable to the Parties and the reporting service.

(iii) If the Parties agree to the Optional Arbitration Appeal Procedure (Rule 34), they shall, if possible, ensure that a stenographic or other record is made of the Hearing and shall share the cost of that record.

(iv) The Parties may agree that the cost of the stenographic record shall or shall not be allocated by the Arbitrator in the Award.


Rule 23. Waiver of Hearing

The Parties may agree to waive the oral Hearing and submit the dispute to the Arbitrator for an Award based on written submissions and other evidence as the Parties may agree.

Rule 24. Awards

(a) The Arbitrator shall render a Final Award or a Partial Final Award within thirty (30) calendar days after the date of the close of the Hearing, as defined in Rule 22(h) or (i), or, if a Hearing has been waived, within thirty (30) calendar days after the receipt by the Arbitrator of all materials specified by the Parties, except (1) by the agreement of the Parties; (2) upon good cause for an extension of time to render the Award; or (3) as provided in Rule 22(i). The Arbitrator shall provide the Final Award or the Partial Final Award to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES for issuance in accordance with this Rule.

(b) Where a panel of Arbitrators has heard the dispute, the decision and Award of a majority of the panel shall constitute the Arbitration Award.

(c) In determining the merits of the dispute, the Arbitrator shall be guided by the rules of law agreed upon by the Parties. In the absence of such agreement, the Arbitrator shall be guided by the rules of law and equity that he or she deems to be most appropriate. The Arbitrator may grant any remedy or relief that is just and equitable and within the scope of the Parties' agreement, including, but not limited to, specific performance of a contract or any other equitable or legal remedy.

(d) In addition to a Final Award or Partial Final Award, the Arbitrator may make other decisions, including interim or partial rulings, orders and Awards.

(e) Interim Measures. The Arbitrator may grant whatever interim measures are deemed necessary, including injunctive relief and measures for the protection or conservation of property and disposition of disposable goods. Such interim measures may take the form of an interim or Partial Final Award, and the Arbitrator may require security for the costs of such measures. Any recourse by a Party to a court for interim or provisional relief shall not be deemed incompatible with the agreement to arbitrate or a waiver of the right to arbitrate.

(f) The Award of the Arbitrator may allocate Arbitration fees and Arbitrator compensation and expenses, unless such an allocation is expressly prohibited by the Parties' Agreement. (Such a prohibition may not limit the power of the Arbitrator to allocate Arbitration fees and Arbitrator compensation and expenses pursuant to Rule 31(c).)

(g) The Award of the Arbitrator may allocate attorneys' fees and expenses and interest (at such rate and from such date as the Arbitrator may deem appropriate) if provided by the Parties' Agreement or allowed by applicable law. When the Arbitrator is authorized to award attorneys' fees and must determine the reasonable amount of such fees, he or she may consider whether the failure of a Party to cooperate reasonably in the discovery process and/or comply with the Arbitrator's discovery orders caused delay to the proceeding or additional costs to the other Parties.

(h) The Award shall consist of a written statement signed by the Arbitrator regarding the disposition of each claim and the relief, if any, as to each claim. Unless all Parties agree otherwise, the Award shall also contain a concise written statement of the reasons for the Award.

(i) After the Award has been rendered, and provided the Parties have complied with Rule 31, the Award shall be issued by serving copies on the Parties. Service may be made by U.S. mail. It need not be sent certified or registered.

(j) Within seven (7) calendar days after service of a Partial Final Award or Final Award by ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, any Party may serve upon the other Parties and on ALTCOURT JUDICAIL ARBITRATION MEDIATION Services request that the Arbitrator correct any computational, typographical or other similar error in an Award (including the reallocation of fees pursuant to Rule 31(c) or on account of the effect of an offer to allow judgment), or the Arbitrator may sua sponte
propose to correct such errors in an Award. A Party opposing such correction shall have seven (7) calendar days thereafter in which to file any objection. The Arbitrator may make any necessary and appropriate corrections to the Award within twenty-one (21) calendar days of receiving a request or fourteen (14) calendar days after his or her proposal to do so. The Arbitrator may extend the time within which to make corrections upon good cause. The corrected Award shall be served upon the Parties in the same manner as the Award.

(k) The Award is considered final, for purposes of either the Optional Arbitration Appeal Procedure pursuant to Rule 34 or a judicial proceeding to enforce, modify or vacate the Award pursuant to Rule 25, fourteen (14) calendar days after service is deemed effective if no request for a correction is made, or as of the effective date of service of a corrected Award.

Rule 25. Enforcement of the Award

Proceedings to enforce, confirm, modify or vacate an Award will be controlled by and conducted in conformity with the Federal Arbitration Act, 9 U.S.C. Sec 1, et seq
., or applicable state law. The Parties to an Arbitration under these Rules shall be deemed to have consented that judgment upon the Award may be entered in any court having jurisdiction thereof.

Rule 26. Confidentiality and Privacy

(a) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and the Arbitrator shall maintain the confidential nature of the Arbitration proceeding and the Award, including the Hearing, except as necessary in connection with a judicial challenge to or enforcement of an Award, or unless otherwise required by law or judicial decision.

(b) The Arbitrator may issue orders to protect the confidentiality of proprietary information, trade secrets or other sensitive information.

(c) Subject to the discretion of the Arbitrator or agreement of the Parties, any person having a direct interest in the Arbitration may attend the Arbitration Hearing. The Arbitrator may exclude any non-Party from any part of a Hearing.

Rule 27. Waiver

(a) If a Party becomes aware of a violation of or failure to comply with these Rules and fails promptly to object in writing, the objection will be deemed waived, unless the Arbitrator determines that waiver will cause substantial injustice or hardship.

(b) If any Party becomes aware of information that could be the basis of a challenge for cause to the continued service of the Arbitrator, such challenge must be made promptly, in writing, to the Arbitrator or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS. Failure to do so shall constitute a waiver of any objection to continued service by the Arbitrator.

Rule 28. Settlement and Consent Award

(a) The Parties may agree, at any stage of the Arbitration process, to submit the case to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES for mediation. The ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES mediator assigned to the case may not be the Arbitrator or a member of the Appeal Panel, unless the Parties so agree, pursuant to Rule 28(b).

(b) The Parties may agree to seek the assistance of the Arbitrator in reaching settlement. By their written agreement to submit the matter to the Arbitrator for settlement assistance, the Parties will be deemed to have agreed that the assistance of the Arbitrator in such settlement efforts will not disqualify the Arbitrator from continuing to serve as Arbitrator if settlement is not reached; nor shall such assistance be argued to a reviewing court as the basis for vacating or modifying an Award.

(c) If, at any stage of the Arbitration process, all Parties agree upon a settlement of the issues in dispute and request the Arbitrator to embody the agreement in a Consent Award, the Arbitrator shall comply with such request, unless the Arbitrator believes the terms of the agreement are illegal or undermine the integrity of the Arbitration process. If the Arbitrator is concerned about the possible consequences of the proposed Consent Award, he or she shall inform the Parties of that concern and may request additional specific information from the Parties regarding the proposed Consent Award. The Arbitrator may refuse to enter the proposed Consent Award and may withdraw from the case.

Rule 29. Sanctions

The Arbitrator may order appropriate sanctions for failure of a Party to comply with its obligations under any of these Rules or with an order of the Arbitrator. These sanctions may include, but are not limited to, assessment of Arbitration fees and Arbitrator compensation and expenses; assessment of any other costs occasioned by the actionable conduct, including reasonable attorneys' fees; exclusion of certain evidence; drawing adverse inferences; or, in extreme cases, determining an issue or issues submitted to Arbitration adversely to the Party that has failed to comply.


Rule 30. Disqualification of the Arbitrator as a Witness or Party and Exclusion of Liability

(a) The Parties may not call the Arbitrator, the Case Manager or any other ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES employee or agent as a witness or as an expert in any pending or subsequent litigation or other proceeding involving the Parties and relating to the dispute that is the subject of the Arbitration. The Arbitrator, Case Manager and other ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES employees and agents are also incompetent to testify as witnesses or experts in any such proceeding.

(b) The Parties shall defend and/or pay the cost (including any attorneys' fees) of defending the Arbitrator, Case Manager and/or ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES from any subpoenas from outside parties arising from the Arbitration.

(c) The Parties agree that neither the Arbitrator, nor the Case Manager, nor ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES is a necessary Party in any litigation or other proceeding relating to the Arbitration or the subject matter of the Arbitration, and neither the Arbitrator, nor the Case Manager, nor ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, including its employees or agents, shall be liable to any Party for any act or omission in connection with any Arbitration conducted under these Rules, including, but not limited to, any disqualification of or recusal by the Arbitrator.

Rule 31. Fees

(a) Each Party shall pay its pro rata
share of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES fees and expenses as set forth in the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES fee schedule in effect at the time of the commencement of the Arbitration, unless the Parties agree on a different allocation of fees and expenses. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS' agreement to render services is jointly with the Party and the attorney or other representative of the Party in the Arbitration. The non-payment of fees may result in an administrative suspension of the case in accordance with Rule 6(c).

(b) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES requires that the Parties deposit the fees and expenses for the Arbitration from time to time during the course of the proceedings and prior to the Hearing. The Arbitrator may preclude a Party that has failed to deposit its pro rata
or agreed-upon share of the fees and expenses from offering evidence of any affirmative claim at the Hearing.

(c) The Parties are jointly and severally liable for the payment of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Arbitration fees and Arbitrator compensation and expenses. In the event that one Party has paid more than its share of such fees, compensation and expenses, the Arbitrator may award against any other Party any such fees, compensation and expenses that such Party owes with respect to the Arbitration.

(d) Entities whose interests are not adverse with respect to the issues in dispute shall be treated as a single Party for purposes of ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS' assessment of fees. ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall determine whether the interests between entities are adverse for purpose of fees, considering such factors as whether the entities are represented by the same attorney and whether the entities are presenting joint or separate positions at the Arbitration.

Rule 32. Bracketed (or High-Low) Arbitration Option

(a) At any time before the issuance of the Arbitration Award, the Parties may agree, in writing, on minimum and maximum amounts of damages that may be awarded on each claim or on all claims in the aggregate. The Parties shall promptly notify ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES and provide to ALTCOURT JUDICAIL ARBITRATION MEDIATION Services copy of their written agreement setting forth the agreed-upon minimum and maximum amounts.

(b) ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall not inform the Arbitrator of the agreement to proceed with this option or of the agreed-upon minimum and maximum levels without the consent of the Parties.

(c) The Arbitrator shall render the Award in accordance with Rule 24.

(d) In the event that the Award of the Arbitrator is between the agreed-upon minimum and maximum amounts, the Award shall become final as is. In the event that the Award is below the agreed-upon minimum amount, the final Award issued shall be corrected to reflect the agreed-upon minimum amount. In the event that the Award is above the agreed-upon maximum amount, the final Award issued shall be corrected to reflect the agreed-upon maximum amount.

Rule 33. Final Offer (or Baseball) Arbitration Option

(a) Upon agreement of the Parties to use the option set forth in this Rule, at least seven (7) calendar days before the Arbitration Hearing, the Parties shall exchange and provide to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES written proposals for the amount of money damages they would offer or demand, as applicable, and that they believe to be appropriate based on the standard set forth in Rule 24(c). ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES shall promptly provide copies of the Parties' proposals to the Arbitrator, unless the Parties agree that they should not be provided to the Arbitrator. At any time prior to the close of the Arbitration Hearing, the Parties may exchange revised written proposals or demands, which shall supersede all prior proposals. The revised written proposals shall be provided to ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES-JAMS, which shall promptly provide them to the Arbitrator, unless the Parties agree otherwise.

(b) If the Arbitrator has been informed of the written proposals, in rendering the Award, the Arbitrator shall choose between the Parties' last proposals, selecting the proposal that the Arbitrator finds most reasonable and appropriate in light of the standard set forth in Rule 24(c). This provision modifies Rule 24(h) in that no written statement of reasons shall accompany the Award.

(c) If the Arbitrator has not been informed of the written proposals, the Arbitrator shall render the Award as if pursuant to Rule 24, except that the Award shall thereafter be corrected to conform to the closest of the last proposals and the closest of the last proposals will become the Award.

(d) Other than as provided herein, the provisions of Rule 24 shall be applicable.

Rule 34. Optional Arbitration Appeal Procedure

The Parties may agree at any time to the ALTCOURT JUDICAIL ARBITRATION MEDIATION SERVICES Optional Arbitration Appeal Procedure. All Parties must agree in writing for such procedure to be effective. Once a Party has agreed to the Optional Arbitration Appeal Procedure, it cannot unilaterally withdraw from it, unless it withdraws, pursuant to Rule 13, from the Arbitration.

 

 

 

 

Contact Us

AltCourt Legal Team

 

 

Mobile, AL.

Montgomery, AL.

Birmingham, AL.

Huntsville, AL.

Los Angeles, CA.

San Francisco, CA.

Destin, FL.

Fort Lauderdale, FL

Jacksonville, FL.

Miami. FL.

Pensacola, FL.

Orlando, FL.

Tampa, FL.

Tallahassee, FL.

Atlanta, GA.

Baton Rouge, LA.

New Orleans, LA.

Shreveport, LA.

Jackson, MS.

Mississippi Gulf Coast MS.

New York, NY.

Greenville, SC.

Charleston, SC.

Memphis, TN.

Nashville, TN.

Austin, TX.

Dallas, TX.

Galveston, TX.

Houston, TX.

San Antonio, TX.

Washington, D.C.

Adelaide, Australia

Perth, Australia

Cologne, Germany

London, United Kingdom

 

 

 

 

 

Phone: 251-444-6174

Fax: 251-639-2566

Email: info@AltCourt.net

 

Or use our contact form.

New Online Presentation

Check our website to learn more about Altcourt and how we can help you with your legal needs.

Print Print | Sitemap
© Altcourt