Rule 1. Applicability
(A) The parties shall be deemed to have made these rules a part of their dispute resolution clause agreement whenever they have provided for arbitration by Resolute Mediation & Arbitration Inc (hereinafter RM&A Inc) under its Arbitration Rules or for arbitration by RM&A Inc of a dispute without specifying particular rules.
(B) RM&A Inc may amend, alter or revise these rules at any time without notice to any person or entity.
(C) These rules and any amendment of them shall apply in the form in effect at the time the demand for arbitration or submission agreement is received by RM&A Inc. The parties, by written agreement, may vary the rules and procedures set forth in these rules.
(D) To afford the parties a speedy resolution, the parties must mutually agree and with the consent of the arbitrator to waive any item on the agreement such as discovery and timelines.
(E) The parties may mutually agree to a combination of mediation and arbitration (MED/ARB or ARB/ MED). Such agreement must be made prior to start of any conference.
Rule 2. Delegation of Duties
(A) When parties agree to arbitrate under these rules, or when they provide for arbitration by RM&A Inc. and arbitration is initiated under these rules, they thereby authorize RM&A Inc. to administer the arbitration. The authority and duties of RM&A Inc. are prescribed in the agreement of the parties and in these rules, and may be carried out through such of RM&A Inc. representatives as it may direct. RM&A Inc. may, in its discretion, assign the administration of arbitration to any of its offices.
(B) RM&A Inc shall establish and maintain a Panel Arbitrators and shall appoint arbitrators as provided in these rules.
Rule 3. Filings and Notice
(A) All documents are filed with RM&A Inc who will provide notification to all parties of the filing status at close of the business day on any deadline day.
(B) In order to prevent postal problems and gamesmanship RM&A Inc serves all filed documents on all other parties via email. RM&A Inc in its Discretion may provide copies and notices by other means of delivery.
Rule 4. Initiation of Arbitration
(A) Arbitration under an arbitration provision in a contract, whether original agreement or post dispute agreement, shall be initiated in the following manner:
(1) The initiating party (the “claimant”) shall, within the time period, if any, specified in the contract(s), file with RM&A Inc., a Notice of Request for Arbitration in the current form. Incomplete forms or forms submitted without the appropriate filing fee will delay commencement of the arbitration.
(2) The claimant shall file, at the office of RM&A Inc., two copies of the Request for Arbitration and two copies of the arbitration provisions of the contract, together with the appropriate filing fee as provided in the schedule appended to these rules.
(3) RM&A Inc. shall initially appoint its Presiding Arbitrator to determine jurisdiction and arbitrability. The Presiding Arbitrator shall then preside over the pre-hearing proceedings, in order to resolve pre-hearing disputes (including but not limited to Jurisdiction, Arbitrability and Discovery disputes) and to enforce compliance with these rules. The claimant shall be responsible for payment of a deposit, per Rule 45, covering the anticipated fees of the presiding arbitrator incurred during the pre hearing phase of the matter. All fees advanced by claimant shall be subject to apportionment per RM&A Inc. Rule 42(d)
(4) RM&A Inc. shall confirm the arbitrability and jurisdiction of RM&A Inc. to hear and administer the matter before any matter Proceeds or Respondent served. Upon the initial finding of arbitrability and jurisdiction RM&A Inc. will notify the Claimant within 5 days. Within 10 days of said determination, RM&A Inc. will serve all parties with The Demand for Arbitration and a Notice of Pending Arbitration confirming initial jurisdiction and arbitrability.
(B) The documents required to be filed pursuant to this section are referred to as “Preliminary Issue Documents” All parties have 20 days from the filing and service of the Notice of Pending Arbitration to file with RM&A Inc.:
(1) Response to Notification of Pending Arbitration; this form is the response of all other parties (except the Plaintiff/Claimant) to the claim of Plaintiff. Any challenge to RM&A Inc. jurisdiction or the arbitrability of the matter shall be raised in the challenging party’s very first filing or shall be deemed waived.
(2) Initial Certificate of Interested Parties. All persons with an interest in the outcome of the dispute shall be disclosed.
(3) Initial Disclosure of Evidence List.
(a) All parties shall identify, by name and address, any witnesses, party affiliated persons or others who may have information or other evidence reasonably calculated to lead to the discovery of admissible evidence relating to the dispute which is subject of the arbitration.
(b) All parties shall describe and file copies of any and all documents, items or other tangible things reasonably calculated to lead to the discovery of admissible evidence relating to the dispute which is subject of the arbitration.
(4) Arbitration Preferences.
Any items on the form not containing a response shall be deemed an agreement to the preference of the other parties as to that item.
(5) Counter Claim.
(a) Any Counter or Cross Claim shall be subject to the same filing fee requirements as if that Counter Claim were brought as an initiating claim.
(b) Where any party asserts a Counter/Cross Claim to the claim of the Plaintiff or another party that party shall;
(1) File a Response to Counter/Cross Claim within 10 days of the filing of said Counter/Cross Claim setting forth any affirmative defenses thereto;
(2) A party whom a Cross/Counter Claim has been filed against shall also file a Certificate of Interested Parties and a Disclosure of Evidence List pertaining to the contentions made in the Cross /Counter Claim within 10 days of filing the Cross/Counter Claim.
(c) Any Counter or Cross Claims not timely filed under these rules are deemed waived.
(6) The payment of the Case Administration fee and a deposit equal to 1 hour of time for the Presiding Arbitrator is to be applied to the determination of compliance review of the Preliminary Issue Documents filed by the parties. Any balance not used is to be credited to the parties.
(C) Any party not complying with these deadlines will be sanctioned pursuant to RM&A Inc. Arbitration Rules.
(D) Any party shall be entitled to a one – 10 day extension of the time for timely compliance with this section by the filing of a Request for Extension with RM&A Inc. prior to the expiration of the original deadline. Any request for extension will extend the deadline for all parties. There shall be only one extension of the deadlines allowed per party pursuant to this section.
(E) If a Counter/Cross claim is made, the party making the counterclaim shall file with RM&A Inc., with its Response to Notification of Pending Arbitration, the appropriate fee as provided in the schedule included with these rules.
(F) If no Response to Cross Claim is filed within he stated time; The Non-responding party shall be sanctioned $500.00 and the matters raised in the Counter/Cross Claim are deemed denied.
(G) When filing any statement pursuant to this section, the parties are encouraged to provide descriptions of their claims in sufficient detail to make the circumstances of the dispute clear to the arbitrator.
Rule 5. Amendments to Claims
Following the filing of the Notice of Pending Arbitration there will be no amendments to claims without the written consent of the Presiding Arbitrator.
Rule 6. Applicable Rules
(A) RM&A Inc. reserves the right to modify delete or change these rules at any time in its sole discretion.
(B) The rules in effect on the date of the complete filing of a Request for Arbitration.
Rule 7. Jurisdiction
(A) The Presiding Arbitrator shall have the power to rule on both his and RM&A Inc. jurisdiction, including any objections with respect to the existence, scope or validity of the arbitration agreement.
(B) The Presiding Arbitrator shall have the power to determine the existence or validity of a contract of which an arbitration clause forms a part. Such an arbitration clause shall be treated as an agreement independent of the other terms of the contract. A decision by the Presiding Arbitrator that the contract is null and void shall not for that reason alone render invalid the arbitration clause.
(C) A party must object to the jurisdiction of RM&A Inc. or to the arbitrability of a claim or counterclaim no later than the filing of Response to Notification of Pending Arbitration to the claim or counterclaim that gives rise to the objection. The Presiding Arbitrator may rule on such objections as a preliminary matter.
Rule 8. Location of the Arbitration
(A) The parties may mutually agree on the location where the arbitration is to be held.
(B) In the absence of an agreement between the parties as to the location of the arbitration hearing RM&A Inc. shall have the power to determine the locale, and its decision shall be final and binding.
Rule 9. Selection of Arbitrator
(A) In the absence of a pre-dispute agreement between the parties as to the number of arbitrators the matter shall be determined by a single arbitrator. RM&A Inc. will choose the arbitrator based upon the details of all of the documents filed in order to select the arbitrator with the most appropriate experience and education to render a just award.
Rule 10. Discovery
(A) Discovery is optional. Any party may obtain discovery regarding any matter, not privileged, that is relevant to the subject matter involved in the pending arbitration or to the determination of any motion made in that action, if the matter either is itself admissible in evidence or appears reasonably calculated to lead to the discovery of admissible evidence. Discovery may relate to the claim or defense of the party seeking discovery or of any other party to the action. Discovery may be obtained of the identity and location of persons having knowledge of any discoverable matter, as well as of the existence, description, nature, custody, condition, and location of any document, tangible thing, or land or other property.
(B) Upon the receipt of the other party’s Disclosure of Evidence a party may propound discovery.
(1) All discoveries shall be completed no later than the 30th day following the filing of the Disclosures of Evidence by the parties.
(2) Where there has been a Cross/Counter Claim filed the time for completing discovery is extended by 10 days.
(C) A party may, unless otherwise agreed by the parties and confirmed by the Presiding Arbitrator propound the following discovery devices:
(1) Two Sets of Special Interrogatories, not to exceed 50 interrogatories (combined total);
(2) A party shall provide a response to the interrogatories propounded upon it within 10 days of receipt;
(3) Two Sets of Demand for Production of Documents, not to exceed 50 categories of documents (combined total)
(a) A party shall provide a written response as well as all documents within 10 days of receipt
(4) Three depositions.
(a) Notice of 5 days is sufficient to compel the attendance of a party affiliated witness;
(c) Any court reporters fees shall be borne by the party noticing the deposition, but may be a recoverable cost;
(d) Any witness requiring a translator shall provide one at his expense.
Rule 11. Sanctions
(A) RM&A Inc. shall have the right to impose appropriate sanctions against a party for its violation of these rules. All determinations of sanctions shall be included in the final award and are final. All sanctions are due and payable 10 days after imposition.
(1) All hearings on sanctions or discovery disputes shall be conducted telephonically.
(2) Each party shall submit a written explanation of its position to the Presiding Arbitrator 2 days prior to the day of the hearing set to determine the discovery dispute.
(B) Any failure to file any of the forms specified in Rule IV will be subject to sanctions as follows:
(1) Any party (including respondents to any Cross/Counter Claim) who does not file its Response to Notice of Request for Arbitration/Response to Counter/Cross Claim shall be sanctioned $ 250.00.
(2) Upon the failure to file a Response to Notice of Request for Arbitration, RM&A Inc. will notify the non-responding party that failure to file a response in 7 days will result in a default being entered against that party. Any party who does not file its Response to Notice of Request for Arbitration/Response to Counter/Cross Claim within 7 days from the mailing of the Notice of Intent to Enter Default shall have a default entered against that party, with all claims against that party being deemed true and all requested relief against that party, subject to proof, shall be granted.
(3) For failure to serve a Initial Certificate of Interested Parties the non-responding party will be sanctioned $200.00 for a first offense and if the list is not filed within 5 days of the original due date, further sanctions of $400.00 will be imposed. Upon the 10th day following the initial due date for filing a party who still has not filed its Initial Certificate of Interested Parties shall be sanctioned by the entry of an order rendering a judgment by default against that party with all claims against that party being deemed true and all requested relief against that party, subject to proof, shall be granted.
(4) For failure to file a Initial Disclosure of Evidence List the non-responding party will be sanctioned $200.00 for a first offense and if the list is not served and filed within 5 days of the original due date, further sanctions of $400.00 will be imposed. Upon the10th day following the initial due date for filing a party who still has not filed its Initial Disclosure of Evidence List shall be sanctioned by an order prohibiting that party from introducing any witnesses, documents or items in evidence in the arbitration.
(C) Discovery Sanctions
(1) Misuses of the discovery process include, but are not limited to, the following:
(a) Persisting, over objection and without substantial justification, in an attempt to obtain information or materials that are outside the scope of permissible discovery.
(b) Using a discovery method in a manner that does not comply with its specified procedures.
(c) Employing a discovery method in a manner or to an extent that causes unwarranted annoyance, embarrassment, or oppression, or undue burden and expense.
(d) Failing to respond or to submit to an authorized method of discovery.
(e) Making, without substantial justification, an unmeritorious objection to discovery.
(f) Making an evasive response to discovery.
(g) Disobeying an Arbitrator order to provide discovery.
(h) Making or opposing, unsuccessfully and without substantial justification, a motion to compel or to limit discovery.
(i) Failing to confer in person, by telephone, or by letter with an opposing party or attorney in a reasonable and good faith attempt to resolve informally any dispute concerning discovery.
(2) The arbitrator (either the Presiding Arbitrator in pre-hearing disputes)
(a) May impose an issue sanction ordering that designated facts shall be taken as established in the action in accordance with the claim of the party adversely affected by the misuse of the discovery process. The Arbitrator may also impose an issue sanction by an order prohibiting any party engaging in the misuse of the discovery process from supporting or opposing designated claims or defenses.
(b) May impose an evidence sanction by an order prohibiting any party engaging in the misuse of the discovery process from introducing designated matters in evidence.
(c) The Arbitrator may impose a terminating sanction by one of the following orders:
(1) An order striking out the pleadings or parts of the pleadings of any party engaging in the misuse of the discovery process.
(2) An order staying further proceedings by that party until an order for discovery is obeyed.
(3) An order dismissing the action, or any part of the action, of that party.
(4) An order rendering a judgment by default against that party.
Rule 12. Final Certificate of Interested Parties
(A) No later than the 10th day following the close of discovery all parties shall file a Final Certificate of Interested Parties.
(B) Any failure to file a Final Certificate of Interested Parties shall subject a party to sanctions.
Rule 13. Appointment of Hearing Arbitrator
(A) The Presiding Arbitrator shall hear and resolve all preliminary matters (including discovery disputes) and conduct all evaluation hearings.
(B) RM&A Inc shall appoint the arbitrator who will determine the actual case.
(C) RM&A Inc shall notify all parties by serving a Notice of Assignment of Arbitrator. Within 10 days of the filing of the Final Certificate of Interested Parties.
Rule 14. Communication with Arbitrator
No party and no one acting on behalf of any party shall communicate unilaterally concerning the arbitration with the arbitrator. Any communication from the parties to the arbitrator shall be sent to RM&A Inc case manager for transmittal to the arbitrator.
Rule 15. Vacancies
If for any reason an arbitrator is unable to perform the duties of the office, RM&A Inc may, on proof satisfactory to it, declare the office vacant. Vacancies shall be filled by either appointing another arbitrator from the panel or the Presiding Arbitrator may hear the remainder of the matter and render the award. All rulings made prior to the replacing of any arbitrator remain in effect and are binding upon the parties.
Rule 16. Date, Time, and Place of Hearing
(A) RM&A Inc shall set the date, time, and place for each hearing, including preliminary and evaluation hearings. Whenever possible hearings shall be telephonic to reduce costs to participants.
(B) RM&A Inc will notify the parties of the hearing by serving a Notice of Hearing within 10 days of the assignment of the arbitrator. In the case of preliminary, discovery dispute or evaluation hearings RSMC will notify the party’s who have appeared of the hearing date and time.
(C) The hearing will be held within 30 days.
(D) Notwithstanding subparagraph 16(c) the parties shall be entitled to a 10 day extension of the hearing date by filing a Request For Extension. The filing of a request for extension by any party shall be filed within 10 days of the filing of the Notice of Hearing.
(E) RM&A Inc. will file a Final Notice of Hearing upon the receipt of a Request for Extension giving the new date time etc. Where no Request for Extension is filed the original date and time are confirmed.
(F) Once the final date of hearing is set the Arbitrators deposit for fees is due, paid equally by all parties.
(G) The parties are free to stipulate to a telephonic hearing or to submission of the matter on the record without any hearing.
Rule 17. Privacy of Hearings
The arbitrator and RM&A Inc shall maintain the privacy of the hearings unless the law provides to the contrary. Any person having a direct interest in the arbitration is entitled to attend hearings. The arbitrator shall otherwise have the power to require the exclusion of any witness, other than a party or other essential person, during the testimony of any other witness. It shall be discretionary with the arbitrator to determine the propriety of the attendance of any other person other than a party and its representatives.
Rule 18. Representation
Any party may be represented by counsel or other authorized representative. A party intending to be so represented shall notify the other party and RSMC of the name and address of the representative at least three days prior to the date set for the hearing at which that person is first to appear. When such a representative initiates arbitration or responds for a party, notice is deemed to have been given.
Rule 19. Oaths
Before proceeding with the first hearing, each arbitrator may take an oath of office and, if required by law, shall do so. The arbitrator may require witnesses to testify under oath administered by any duly qualified person and, if it is required by law or requested by any party, shall do so.
Rule 20. Stenographic Record
(A) Any party desiring a stenographic record shall make arrangements directly with a stenographer and shall notify the other parties of these arrangements at least three days in advance of the hearing. The requesting party or parties shall pay the cost of the record. If the transcript is agreed by the parties, or determined by the arbitrator to be the official record of the proceeding, it must be provided to the arbitrator and made available to the other parties for inspection, at a date, time, and place determined by the arbitrator.
(B) At the request of any party RM&A Inc will arrange for a stenographic record of any proceedings, with all costs to be advanced by the requesting party pending apportionment in the final award.
Rule 21. Interpreters
(A) Any party wishing an interpreter shall make all arrangements directly with the interpreter and shall assume the costs of the service.
(B) At the request of any party RSMC will arrange for an interpreter to attend any proceeding, with all costs to be advanced by the requesting party pending apportionment in the final award.
Rule 22. Postponements
The arbitrator may postpone any deadline or hearing upon agreement of the parties, or upon the arbitrator’s own initiative.
Rule 23. Arbitration in the Absence of a Party or Representative
Unless the law provides to the contrary, the arbitration may proceed in the absence of any party or representative who, after due notice, fails to be present or fails to obtain a postponement. An award shall not be made solely on the default of a party. The arbitrator shall require the party who is present to submit such evidence as the arbitrator may require for the making of an award.
Rule 24. Conduct of Proceedings
(A) The claimant shall present evidence to support its claim. The respondent shall then present evidence to support its defense. Witnesses for each party shall also submit to questions from the arbitrator and the adverse party. The arbitrator has the discretion to vary this procedure; provided that the parties are treated with equality and that each party has the right to be heard and is given a fair opportunity to present its case.
(B) The arbitrator, exercising his or her discretion, shall conduct the proceedings with a view to expediting the resolution of the dispute and may direct the order of proof, bifurcate proceedings and direct the parties to focus their presentations on issues the decision of which could dispose of all or part of the case.
(C) The parties may agree to waive oral hearings in any case.
Rule 25. Evidence
(A) The parties shall, not later than the 10th day preceding the hearing date, file:
(1) Witness list.
Any omissions from the filed witness list will be viewed with disfavor and any witnesses produced at the hearing not on a party’s witness list are subject to exclusion at the discretion of the arbitrator;
(2) Hearing Exhibits.
Any exhibits not filed which are attempted to be used in the hearing will be viewed with disfavor and any exhibits produced at the hearing not on a party’s exhibits list are subject to exclusion at the discretion of the arbitrator.
(3) Final Statement of Claim.
Any party who does not timely file the documents in compliance with Rule 25(a) shall be subject to monetary sanctions in the amount of $1,500.00. Any party who, on the 5th day preceding the hearing, who has not complied with Rule 25(a) is subject to Evidence sanctions and will not be allowed to present evidence and or witnesses that were not timely disclosed per Rule 25 (a).
(B) The parties may offer such evidence as is relevant and material to the dispute and shall produce such evidence as the arbitrator may deem necessary to an understanding and determination of the dispute. Conformity to legal rules of evidence shall not be necessary. All evidence shall be taken in the presence of all of the arbitrators and all of the parties, except where any of the parties is absent, in default or has waived the right to be present.
(C) The arbitrator shall determine the admissibility, relevance, and materiality of the evidence offered and may exclude evidence deemed by the arbitrator to be cumulative or irrelevant.
(D) The arbitrator shall take into account applicable principles of legal privilege, such as those involving the confidentiality of communications between a lawyer and client.
(E) An arbitrator or other person authorized by law to subpoena witnesses or documents may do so upon the request of any party or independently.
Rule 26. Evidence by Affidavit
(A) The arbitrator may receive and consider the evidence of witnesses by declaration or affidavit, but shall give it only such weight as the arbitrator deems it entitled to after consideration of any objection made to its admission.
(B) If the parties agree or the arbitrator directs that documents or other evidence be submitted to the arbitrator after the hearing, the documents or other evidence shall be filed with RM&A Inc for transmission to the arbitrator. All parties shall be afforded an opportunity to examine and respond to such documents or other evidence.
Rule 27. Inspection or Investigation
An arbitrator finding it necessary to make an inspection or investigation in connection with the arbitration shall direct RM&A Inc case manager to so advise the parties. The arbitrator shall set the date and time and the case manager shall notify the parties. Any party who so desires may be present at such an inspection or investigation. In the event that one or all parties are not present at the inspection or investigation, the arbitrator shall make an oral or written report to the parties and afford them an opportunity to comment.
Rule 28. Provisional Remedies
(A) The arbitrator may take whatever interim measures he or she deems necessary, including injunctive relief and measures for the protection or conservation of property and disposition of perishable goods.
(B) Such interim measures may take the form of an interim award, and the arbitrator may require security for the costs of such measures.
(C) A request for interim measures addressed by a party to a judicial authority shall not be deemed incompatible with the agreement to arbitrate or a waiver of the right to arbitrate.
Rule 29. Closing of Hearing
(A) The arbitrator shall specifically inquire of all parties whether they have any further proofs to offer or witnesses to be heard. Upon receiving negative replies or if satisfied that the record is complete, the arbitrator shall declare the hearing closed.
(B) The time limit within which the arbitrator is required to make the award shall commence, in the absence of other agreements by the parties, upon the closing of the hearing.
Rule 30. Reopening of Hearing
The hearing may be reopened on the arbitrator’s initiative, or upon application of a party, at any time before the award is made. If reopening the hearing would prevent the making of the award within the specific time agreed on by the parties in the contract(s) out of which the controversy has arisen, the matter may not be reopened unless the parties agree on an extension of time. When no specific date is fixed in the contract, the arbitrator may reopen the hearing and shall have 10 days from the closing of the reopened hearing within which to make an award.
Rule 31. Waiver of Rules
Any party who proceeds with the arbitration after knowledge that any provision or requirement of these rules has not been complied with and who fails to state an objection in writing shall be deemed to have waived the right to object.
Rule 32. Extensions of Time
The parties may modify any period of time by mutual agreement and with the approval of the Presiding Arbitrator or Hearing Arbitrator. RM&A Inc or the arbitrator (Presiding Arbitrator or Hearing Arbitrator) may for good cause extend any period of time established by these rules, except the time for making the award. RM&A Inc shall notify the parties of any extension.
Rule 33. Serving of Notice
(A) Any papers, notices, or process necessary or proper for the initiation or continuation of an arbitration under these rules, for any court action in connection therewith, or for the entry of judgment on any award made under these rules may be served on a party by mail addressed to the party, or its representative at the last known address or by personal service, in or outside the state where the arbitration is to be held, provided that reasonable opportunity to be heard with regard to the dispute is or has been granted to the party.
(B) RM&A Inc, the arbitrator and the parties may also use overnight delivery or electronic facsimile transmission (fax), electronic mail (E-mail), or other methods of communication.
(C) All documents submitted by any party to RM&A Inc or to the arbitrator will be served upon the other party or parties to the arbitration by RM&A Inc.
Rule 34. Time of Award
The award shall be made promptly by the arbitrator and, unless otherwise agreed by the parties or specified by law, no later than 10 days from the date of closing the hearing, or, if oral hearings have been waived, from the date of RM&A Inc transmittal of the final statements and proofs to the arbitrator.
Rule 35. Form of Award
(A) Any award shall be in writing and signed by the arbitrator and shall be executed in the manner required by law.
(B) The arbitrator need not render a reasoned award unless the parties request such an award in writing prior to appointment of the arbitrator or unless the arbitrator determines that a reasoned award is appropriate.
Rule 36. Scope of Award
(A) The arbitrator may grant any remedy or relief that the arbitrator deems just and equitable and within the scope of the agreement of the parties, including, but not limited to, specific performance of a contract.
(B) In addition to a final award, the arbitrator may make other decisions, including interim, interlocutory, or partial rulings, orders, and awards. In any interim, interlocutory, or partial award, the arbitrator may assess and apportion the fees, expenses, and compensation related to such award as the arbitrator determines is appropriate.
(C) In the final award, the arbitrator shall assess the fees, expenses, and compensation as well as any sanctions imposed during the arbitration (pre-hearing included). The arbitrator may apportion such fees, expenses, and compensation among the parties in such amounts as the arbitrator determines is appropriate.
(D) The award of the arbitrator(s) may include:
(1) Interest at such rate and from such date as the arbitrator(s) may deem appropriate; and
(2) An award of attorneys’ fees to the prevailing party.
Rule 37. Award upon Settlement
If the parties settle their dispute during the course of the arbitration and if the parties so request, the arbitrator may set forth the terms of the settlement in a “consent award.”
Rule 38. Delivery of Award to Parties
Parties shall accept as notice and delivery of the award the placing of the award or a true copy thereof in the mail addressed to the parties or their representatives at the last known addresses, personal or electronic service of the award, or the filing of the award in any other manner that is permitted by law. The award will not be delivered unless all sums owing to RM&A Inc and/or the arbitrator are paid in full.
Rule 38. Modification of Award
Within 5 days after the transmittal of an award, any party, upon notice to the other parties, may request the arbitrator, through RM&A Inc, to correct any clerical, typographical, or computational errors in the award. The arbitrator is not empowered to re-determine the merits of any claim already decided.
Rule 39. Release of Documents for Judicial Proceedings
RM&A Inc. shall, upon the written request of a party, furnish to the party, at the party’s expense, certified copies of any papers in RM&A Inc’s possession that may be required in judicial proceedings relating to the arbitration.
Rule 40. Applications to Court and Exclusion of Liability
(A) No judicial proceeding by a party relating to the subject matter of the arbitration shall be deemed a waiver of the party’s right to arbitrate.
(B) Neither RM&A Inc nor any arbitrator in a proceeding under these rules is a necessary party in judicial proceedings relating to the arbitration.
(C) Parties to an arbitration under these rules shall be deemed to have consented that judgment upon the arbitration award may be entered in any federal or state court having jurisdiction thereof.
(D) Neither RSMC nor any arbitrator shall be liable to any party for any act or omission in connection with any arbitration conducted under these rules. All parties agree to defend and indemnify RM&A Inc and its personnel and arbitrators from any and all claims made.
Rule 40. Administrative Fees
(A) RM&A Inc shall prescribe an initial filing fee and following the acceptance of a case, a case administration fee to compensate it for the cost of providing administrative services. The fees in effect when the fee or charge is incurred shall be applicable. The case administration fees are due within 7 days of the notice to the party’s of the imposition of the case administration fee. In any action to collect fees due RM&A Inc the prevailing party shall be entitled to recover its attorney fees and costs.
(B) The filing fee shall be advanced by the party or parties making a claim or counterclaim, subject to final apportionment by the arbitrator in the award.
(C) Any fee due may be advanced by any party or parties and any such fees advanced are subject to final apportionment (reimbursement or offset) by the arbitrator in the award.
(D) Any hearing fees (including fees for the Presiding or hearing arbitrator) are due within 5 business days of the notice of the hearing and are subject to final apportionment by the arbitrator in the award.
(E) In the event RM&A Inc case administration fee is not paid in full the case will be suspended until such time as all outstanding case administration fees have been paid.
Rule 41. Expenses
The expenses of witnesses for either side shall be paid by the party producing such witnesses. All other expenses of the arbitration, including required travel and other expenses of the arbitrator, RM&A Inc representatives, and any witness and the cost of any proof produced at the direct request of the arbitrator, shall be borne equally by the parties, unless they agree otherwise or unless the arbitrator in the award assesses such expenses or any part thereof against any specified party or parties.
Rule 42. Arbitrator’s Compensation
(A) Ten days prior to the hearing the parties shall pay a deposit equal to 12 hours of the standard hourly rate for the assigned arbitrator. This amount is to be divided equally. Any party may pay the deposit of any defaulting party in order to prevent delay and shall be entitled to reimbursement or offset in the award.
(B) Arbitrators shall be compensated at a rate consistent with the arbitrator’s stated rate of compensation, beginning with the first day of hearing (preparation time is to be included) in all cases. The minimum fee for an arbitrator is 8 hours per case.
Rule 43. Deposits
RM&A Inc may require the parties to deposit in advance of any hearings such sums of money as it deems necessary to cover the expense of the arbitration, including the arbitrator’s fee (Presiding Arbitrator or Hearing Arbitrator), and shall render an accounting to the parties and return any unexpended balance at the conclusion of the case. Any deposit requested by RM&A Inc must be received prior to the commencement of the matter. In the event any deposit required by RM&A Inc is not paid in full the case will be suspended until such time as the deposit has been paid. Any party may pay the deposit of any defaulting party in order to prevent delay and shall be entitled to reimbursement or offset in the award.
Rule 44. Interpretation and Application of Rules
The arbitrator shall interpret and apply these rules insofar as they relate to the arbitrator’s powers and duties. All other rules shall be interpreted and applied by RM&A Inc.
Rule 45. Sanctions for Nonpayment of Fees
If arbitrator compensation or administrative charges have not been paid in full, RM&A Inc. may so inform the parties in order that one of them may advance the required payment. If such payments are not made, the arbitrator may order the suspension or termination of the proceedings in their entirety. Any fees advanced by a party on behalf of any other party shall be apportioned in the award pursuant to Rule 42(c).
Rule 46. Appeals
Unless expressly agreed, in writing by the parties prior to entry of the award there are no appeals and the award is final and binding upon the parties.
FORMAL ARBITRATION RULES AND PROCEDURES 4/1/2016