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Form #783Voluntary Labor Arbitration Rules
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Voluntary labor
arbitration rules.
1. Agreement of Parties. The parties shall be deemed
to have made these rules a part of their arbitration agreement whenever, in a
collective bargaining agreement or submission, they have provided for
arbitration by the American Arbitration Association (hereinafter the AAA) or
under its rules. These rules and any amendment thereof shall apply in the form
obtaining at the time the arbitration is initiated.
2. Name of Tribunal. Any tribunal constituted by the
parties under these rules shall be called the Voluntary Labor Arbitration
Tribunal.
3. Administrator. When parties agree to arbitrate
under these rules and an arbitration is instituted thereunder, they thereby
authorize the AAA to administer the arbitration. The authority and obligations
of the administrator are as provided in the agreement of the parties and in
these rules.
4. Delegation of Duties. The duties of the AAA may be
carried out through such representatives or committees as the AAA may direct.
5. Panel of Labor Arbitrators. The AAA shall establish
and maintain a Panel of Labor Arbitrators and shall appoint arbitrators
therefrom, as hereinafter provided.
6. Office of Tribunal. The general office of the
Voluntary Labor Arbitration Tribunal is the headquarters of the AAA, which may,
however, assign the administration of an arbitration to any of its regional
offices.
7. Initiation under an Arbitration Clause in a
Collective Bargaining Agreement. Arbitration under an arbitration clause in a
collective bargaining agreement under these rules may be initiated by either
party in the following manner:
(a). By giving written notice to the other party of
intention to arbitrate (Demand), which notice shall contain a statement setting
forth the nature of the dispute and the remedy sought, and
(b). By filing at any regional office of the AAA three
copies of said notice, together with a copy of the collective bargaining
agreement, or such parts thereof as relate to the dispute, including the
arbitration provisions. After the arbitrator is appointed, no new or different
claim may be submitted except with the consent of the arbitrator and all other
parties.
8. Answer. The party upon whom the Demand for
arbitration is made may file an answering statement with the AAA within seven
days after notice from the AAA, simultaneously sending a copy to the other
party. If no answer is filed within the stated time, it will be assumed that
the claim is denied. Failure to file an answer shall not operate to delay the
arbitration.
9. Initiation Under a Submission. Parties to any
collective bargaining agreement may initiate an arbitration under these rules
by filing at any regional office of the AAA two copies of a written agreement
to arbitrate under these rules (Submission), signed by the parties and setting
forth the nature of the dispute and the remedy sought.
10. Fixing of Locale. The parties may mutually agree
upon the locale where the arbitration is to be held. If the locale is not
designated in the collective bargaining agreement or Submission, and if there
is a dispute as to the appropriate locale, the AAA shall have the power to
determine the locale and its decision shall be binding.
11. Qualifications of Arbitrator. No person shall
serve as a neutral arbitrator in any arbitration in which he or she has any
financial personal interest in the result of the arbitration, unless the
parties, in writing, waive such disqualification.
12.
Appointment from Panel. If the parties have not appointed an arbitrator and
have not provided any other method of appointment, the arbitrator shall be
appointed in the following manner: Immediately after the filing of the
Demand or Submission, the AAA shall submit
simultaneously to each party an identical list of names of persons chosen from
the Panel of Labor Arbitrators. Each party shall have seven days from the
mailing date in which to cross off any names to which it objects, number the
remaining names to indicate the order of preference, and return the list to the
AAA. If a party does not return the list within the time specified, all persons
named therein shall be deemed acceptable. From among the persons who have been
approved on both lists, and in accordance with the designated order of mutual
preference, the AAA shall invite the acceptance of an arbitrator to serve. If
the parties fail to agree upon any of the persons named, if those named decline
or are unable to act, or if for any other reason the appointment cannot be made
from the submitted lists, the administrator shall have the power to make the
appointment from among other members of the panel without the submission of any
additional list.
13. Direct Appointment by Parties. If the agreement of
the parties names an arbitrator or specifies a method of appointing an
arbitrator, that designation or method shall be followed. The notice of
appointment, with the name and address of such arbitrator, shall be filed with
the AAA by the appointing party.
If the agreement specifies a period of time within
which an arbitrator shall be appointed and any party fails to make such
appointment within that period, the AAA may make the appointment.
If no period of time is specified in the agreement,
the AAA shall notify the parties to make the appointment and if within seven
days thereafter such arbitrator has not been so appointed, the AAA shall make
the appointment.
14. Appointment of Neutral Arbitrator by
Party-Appointed Arbitrators. If the parties have appointed their arbitrators,
or if either or both of them have been appointed as provided in Section 13, and
have authorized such arbitrators to appoint a neutral arbitrator within a
specified time and no appointment is made within such time or any agreed
extension thereof, the AAA may appoint a neutral arbitrator who shall act as
chairperson.
If no period of time is specified for appointment of
the neutral arbitrator and the parties do not make the appointment within seven
days from the date of the appointment of the last party-appointed arbitrator,
the AAA shall appoint such neutral arbitrator, who shall act as chairperson.
If the parties have agreed that the arbitrators shall
appoint the neutral arbitrator from the panel, the AAA shall furnish to the
party-appointed arbitrators, in the manner prescribed in Section 12, a list
selected from the panel, and the appointment of the neutral arbitrator shall be
made as prescribed in that section.
15. Number of Arbitrators. If the arbitration
agreement does not specify the number of arbitrators, the dispute shall be
heard and determined by one arbitrator, unless the parties otherwise agree.
16. Notice to Arbitrator of Appointment. Notice of the
appointment of the neutral arbitrator shall be mailed to the arbitrator by the
AAA and the signed acceptance of the arbitrator shall be filed with the AAA
prior to the opening of the first hearing.
17. Disclosure by Arbitrator of Disqualification.
Prior to accepting the appointment, the prospective neutral arbitrator shall
disclose any circumstance likely to create a presumption of bias or that the
arbitrator believes might disqualify him or her as an impartial arbitrator.
Upon receipt of such information, the AAA shall immediately disclose it to the
parties. If either party declines to waive the presumptive disqualification,
the vacancy thus created shall be filled in accordance with the applicable
provisions of these rules.
18. Vacancies. If any arbitrator should resign, die,
withdraw, refuse, be unable, or be disqualified to perform the duties of
office, the AAA shall, on proof satisfactory to it, declare the office vacant.
Vacancies shall be filled in the same manner as that governing the making of
the original appointment, and the matter shall be reheard by the new
arbitrator.
19. Time and Place of Hearing. The arbitrator shall
fix the time and place for each hearing. At least five days prior thereto, the
AAA shall mail notice of the time and place of hearing to each party, unless
the parties otherwise agree.
20. Representation by Counsel. Any party may be
represented at the hearing by counsel or by another authorized representative.
21. Stenographic Record. Any party wishing a
stenographic record shall make arrangements directly with a stenographer and
shall notify the other parties of such arrangements in advance of the hearing.
The requesting party or parties shall pay the cost of such record. If such
transcript is agreed by the parties to be, or in appropriate cases determined
by the arbitrator to be, the official record of the proceeding, it must be made
available to the arbitrator and to the other party for inspection, at a time
and place determined by the arbitrator.
22. Attendance at Hearings. Persons having a direct
interest in the arbitration are entitled to attend hearings. The arbitrator
shall have the power to require the retirement of any witness or witnesses
during the testimony of other witnesses. It shall be discretionary with the
arbitrator to determine the propriety of the attendance of any other person.
23. Adjournments. The arbitrator for good cause shown
may adjourn the hearing upon the request of a party or upon his or her own
initiative, and shall adjourn when all of the parties agree thereto.
24. 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 required by law or requested by either party,
shall do so.
25. Majority Decision. Whenever there is more than one
arbitrator, all decisions of the arbitrators shall be by majority vote. The
award shall also be made by majority vote unless the concurrence of all is
expressly required.
26. Order of Proceedings. A hearing shall be opened by
the filing of the oath of the arbitrator, where required; by the recording of
the place, time, and date of the hearing and the presence of the arbitrator,
the parties, and counsel, if any; and by the receipt by the arbitrator of the
Demand and answer, if any, or the Submission.
Exhibits may, when offered by either party, be
received in evidence by the arbitrator. The names and addresses of all
witnesses and exhibits in order received shall be made a part of the record.
The arbitrator may vary the normal procedure under
which the initiating party first presents its claim, but in any case shall
afford full and equal opportunity to all parties for the presentation of
relevant proofs.
27. Arbitration in the Absence of a Party. Unless the
law provides to the contrary, the arbitration may proceed in the absence of any
party who, after due notice, fails to be present or fails to obtain
adjournment. An award shall not be made solely on the default of a party. The
arbitrator shall require the other party to submit such evidence as may be required
for the making of an award.
28. Evidence. The parties may offer such evidence as
they desire and shall produce such additional evidence as the arbitrator may
deem necessary to an understanding and determination of the dispute. An
arbitrator authorized by law to subpoena witnesses and documents may do so
independently or upon the request of any party. The arbitrator shall be the
judge of the relevance and materiality of the evidence offered and 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.
29. Evidence by Affidavit and Filing of Documents. The
arbitrator may receive and consider the evidence of witnesses by affidavit,
giving it only such weight as seems proper after consideration of any objection
made to its admission.
All documents that are not filed with the arbitrator
at the hearing, but arranged at the hearing or subsequently by agreement of the
parties to be submitted, shall be filed with the AAA for transmission to the
arbitrator. All parties shall be afforded opportunity to examine such
documents.
30. Inspection. Whenever the arbitrator deems it necessary,
he or she may make an inspection in connection with the subject matter of the
dispute after written notice to the parties, who may, if they so desire, be
present at such inspection.
31. Closing of Hearings. The arbitrator shall inquire
of all parties whether they have any further proofs to offer or witnesses to be
heard. Upon receiving negative replies, the arbitrator shall declare the
hearings closed and a minute thereof shall be recorded. If briefs or other
documents are to be filed, the hearings shall be declared closed as of the
final date set by the arbitrator for filing with the AAA. The time limit within
which the arbitrator is required to make an award shall commence to run, in the
absence of another agreement by the parties, upon the closing of the hearings.
32. Reopening of Hearings. The hearings may for good
cause shown be reopened by the arbitrator at will or on the motion of either
party at any time before the award is made, but, if the reopening of the
hearings would prevent the making of the award within the specific time agreed
upon by the parties in the contract out of which the controversy has arisen,
the matter may not be reopened unless both parties agree upon the extension of
such time. When no specific date is fixed in the contract, the arbitrator may
reopen the hearings and shall have thirty days from the closing of the reopened
hearings within which to make an award.
33. Waiver of Oral Hearings. The parties may provide,
by written agreement, for the waiver of oral hearings. If the parties are
unable to agree as to the procedure, the AAA shall specify a fair and equitable
procedure.
34. 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 thereto in
writing shall be deemed to have waived the right to object.
35. Extensions of Time. The parties may modify any
period of time by mutual agreement. The AAA may for good cause extend any
period of time established by these rules, except the time for making the
award. The AAA shall notify the parties of any such extension of time and its
reason therefor.
36. Serving of Notice. Each party to a Submission or
other agreement that provides for arbitration under these rules shall be deemed
to have consented and shall consent that 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 an award made thereunder may be served upon such party by mail
addressed to such party or its attorney at the last known address or by
personal service, within or without the state wherein the arbitration is to be
held.
37. Time of Award. The award shall be rendered
promptly by the arbitrator and, unless otherwise agreed by the parties or
specified by law, no later than 30 days from the date of closing the hearings
or, if oral hearings have been waived, from the date of transmitting the final
statements and proofs to the arbitrator.
38. Form of Award. The award shall be in writing and
shall be signed either by the neutral arbitrator or by a concurring majority if
there be more than one arbitrator. The parties shall advise the AAA whenever
they do not require the arbitrator to accompany the award with an opinion.
39. Award Upon Settlement. If the parties settle their
dispute during the course of the arbitration, the arbitrator may, upon their
request, set forth the terms of the agreed settlement in an award.
40. Delivery of Award to Parties. Parties shall accept
as legal delivery of the award the placing of the award or a true copy thereof
in the mail by the AAA, addressed to such party at its last known address or to
its attorney; personal service of the award; or the filing of the award in any
other manner that may be prescribed by law.
41. Release of Documents for Judicial Proceedings. The
AAA shall, upon the written request of a party, furnish to such party, at its
expense, certified facsimiles of any papers in the AAA's possession that may be
required in judicial proceedings relating to the arbitration.
42. Judicial Proceedings and Exclusion of Liability.
(a) Neither the AAA nor any arbitrator in a proceeding under these rules is a
necessary party in judicial proceedings relating to the arbitration.
(b). Neither the AAA nor any arbitrator shall be
liable to any party for any act or omission in connection with any arbitration
conducted under these rules.
43. Administrative Fees. As a not-for-profit
organization, the AAA shall prescribe an administrative fee schedule to
compensate it for the cost of providing administrative services. The schedule
in effect at the time of filing shall be applicable.
44. Expenses. The expenses of witnesses for either side
shall be paid by the party producing such witnesses.
Expenses of the arbitration, other than the cost of
the stenographic record, including required traveling and other expenses of the
arbitrator and of AAA representatives and the expenses of any witness or 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.
45. Communication with Arbitrator. There shall be no
communication between the parties and a neutral arbitrator other than at oral
hearings. Any other oral or written communication from the parties to the
arbitrator shall be directed to the AAA for transmittal to the arbitrator.
46. Interpretation and Application of Rules. The
arbitrator shall interpret and apply these rules insofar as they relate to the
arbitrator's powers and duties. When there is more than one arbitrator and a
difference arises among them concerning the meaning or application of any such
rule, it shall be decided by a majority vote. If that is unobtainable, the
arbitrator or either party may refer the question to the AAA for final
decision. All other rules shall be interpreted and applied by the AAA.
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