Arbitration Rules of Procedure

PURPOSE & SCOPE A100 Series

Arbitration proceedings are meant to be a cost-efficient, fair and decisive way of settling disputes. Arbitration is binding upon the parties to such proceeding. Arbitration awards cannot be overturned or appealed except under very limited circumstances as provided by the Federal Arbitration Act and the various state arbitration acts.

Rule A120. Non-use of Legal Proceedings

No party shall, during the arbitration of any matter, prosecute or commence any suit, action, or proceeding against any other party touching upon any of the matters referred to arbitration pursuant to these Rules.

Rule A130. Interpretations of Rules and Enforcement

(a) The arbitrator(s) shall be empowered to interpret and determine the applicability of all provisions under these Rules. Such interpretations and actions to obtain compliance shall be final and binding upon the parties.

(b) The arbitrator(s) may grant any legal, equitable, or other remedy or relief as provided by law.

GENERAL ADMINISTRATIVE PROVISIONS
A200/300 Series

Rule A210. Definitions

A Glossary is provided at the conclusion of these Rules for helpful instruction. The definitions found in the Glossary are not binding, but are for informational purposes.

Rule A220. Computation of Time

(a) A period of days is to be considered “calendar” days, not “business” days.

(b) In computing any period of time under these Rules, the day of the act or event from which the designated period of time begins to run shall not be included. If a due date falls on a Saturday, Sunday or holiday in which there is no mail delivery, such due date is extended to the next day that is not a Saturday, Sunday or holiday in which there is no mail delivery.

Rule A230. Service and Filing

(1) Service may be effected by mail or other means of delivery. Service and filing are accomplished on the date of mailing either by first-class postage pre-paid or by means of overnight mail service or, in the case of other means of service, on the date of delivery or on the date of electronic filing.

(2) A person has notice if the person has knowledge of the notice or has received notice.

(3) A person receives notice when it comes to the person’s place of residence or place of business, or at another location held out by the person as a place of delivery of such communications.

(4) Unless a person objects to the lack of notice or the insufficiency of notice not later than the beginning of the arbitration hearing, a person who appears at the arbitration hearing waives any objection to the lack of notice or insufficiency of notice.

(5) Filing with CoMA shall be made on the same date as service on a party.

Rule A240. Representation by Counsel

All parties shall have the right to representation by counsel at any stage of the proceedings.

Rule A250. Attendance at Hearings

The attendance or presence of all persons at hearings including witnesses shall be determined by the arbitrator(s). However, all parties to the arbitration and their counsel shall be entitled to attend all hearings. Also allowed to be present at hearings are experts who are not serving as fact witnesses in the same proceeding.

Rule A260. Size and Selection of Arbitration Panel

(a) Unless otherwise agreed to by the parties, an arbitration panel shall consist of one neutral arbitrator. With the unanimous agreement among the initial parties to the arbitration, a panel of three neutral arbitrators may be selected. Additional fees may be prescribed by CoMA for choosing to have a three person panel.

(b) Panel of One Arbitrator. CoMA will provide to the parties a list of a minimum of three potential arbitrators. The parties must then agree to an arbitrator to serve from the list. If the parties are unable to come to an agreement on the choice of arbitrator, CoMA will then assign an arbitrator to the panel, who may only be removed for cause.

(c) Panel of Three Arbitrators. CoMA will provide to the parties a list of a minimum of five potential arbitrators. The parties must then agree to three arbitrators to serve from the list. If the parties are unable to come to an agreement on the choice of one or more arbitrators, CoMA will then assign additional arbitrators to the panel to make three arbitrators in total. Panelists assigned by CoMA may only be removed for cause. Unless the parties agree, within 10 days of the selection of the panel, as to which of the three selected arbitrators is to serve as the chairperson of the panel, CoMA will select the chairperson.

(d) Cause to remove an arbitrator. An individual who has a known, direct, and material interest in the outcome of the arbitration proceeding or a known, existing, and substantial relationship with a party may not serve as an arbitrator if the agreement requires the arbitrator to be neutral.

(e) To assist in the selection of arbitrators and in the determination of conflict of interest, each arbitrator candidate shall supply CoMA with a current resume and a completed arbitrator disclosure checklist, each of which shall be distributed to the parties to an arbitration at the time that the particular arbitrator is selected or proposed to be selected by the parties or by CoMA.

(f) A party may request that an arbitrator be disqualified by filing with CoMA a written request stating the circumstances and specific material reasons for the disqualification. A party who knows or has reason to know of circumstances disqualifying an Arbitrator must immediately disclose those circumstances to CoMA. A party who fails to timely and properly disclose disqualifying circumstances agrees to accept the arbitrator and waives any later objection to the arbitrator in the arbitration or any other legal proceeding. CoMA may then remove the arbitrator based upon its review of the challenge for cause.

Rule A270. Hearing Requirements – Waiver of Hearing

(a) Any arbitration with claims of $75,000 shall require a hearing unless all parties waive such hearing in writing and request that the matter be resolved solely upon the pleadings and documents.

(b) Notwithstanding a written waiver of a hearing by the parties, the arbitrator or a majority of the arbitrators on a panel may call for and conduct a hearing. In addition, any arbitrator may request the submission of further evidence.

Rule A280. Dismissal of Proceedings

(a) At any time during the course of arbitration, the arbitrator(s) may either upon their own initiative or at the request of a party, dismiss the proceeding and refer the parties to their judicial remedies, or to any dispute resolution forum agreed to by the parties, without prejudice to any claims or defenses available to any party.

(b) The arbitrator(s) may dismiss a claim, defense, or proceeding with prejudice as a sanction for willful and intentional material failure to comply with an order of the arbitrator(s) if lesser sanctions have proven ineffective.

Rule A290. Settlements

(a) Parties to an arbitration may agree to settle their dispute at any time.

(b) If the parties agree to settle their dispute, they will remain responsible for payment of fees incurred, including fees for previously scheduled hearing sessions and fees incurred as a result of postponenments.

(c) The terms of a settlement agreement do not need to be disclosed to the arbitrator(s). However, if the parties fail to agree on the allocation of outstanding fees, the fees shall be divided equally among all parties.

(d) The parties may request that the arbitrator(s) incorporate the settlement into an award.

Rule A310. Determination of Arbitrator(s)

Except as otherwise provided in these Rules, all rulings and determinations of a panel shall be made by a majority of the arbitrators.

Rule A320. Fees

The Fee Schedule appears in a supplement to these Rules. If fees have not been paid in full by the required time, CoMA 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.

Rule A330. Ex-Parte Communications

No party or representative of a party may communicate with an arbitrator on the case during the course of the case where such communication occurs outside of the presence of the other parties or their representatives.

Pre-Hearing Rules
A400/500 Series

Rule A410. Initiation of Proceedings – Claim and Answer

Except as otherwise provided herein, an arbitration proceeding under these Rules shall be instituted as follows:

(a) Statement of Claim

The Claimant shall serve each Respondent a copy of the executed Arbitration Submission Agreement, a Statement of Claim specifying the relevant facts and the remedies sought, together with the documents in support of the claim via certified mail or email, with a return receipt requested. The Claimant shall file a complete copy of all documents served on the Respondent, along with the required filing fee and deposit, with CoMA (Colorado Mediators & Arbitrators) on the same date as service on a party.

(b) Answer — Defenses, Counterclaims, and/or Cross-Claims

(1) Within 30 calendar days from receipt of the Statement of Claim, Respondent(s) shall serve each party with a Response to Arbitration Claim. Response shall also be filed with the CoMA with sufficient additional copies for the arbitrator(s) along with any deposit required under the schedule of fees. The Response shall specify all relevant facts and available defenses to the Statement of Claim submitted and may set forth any related Counterclaim the Respondent(s) may have against the Claimant, any Cross-Claim the Respondent(s) may have against any other named Respondent(s), and any Third-Party Claim against any other party or person based upon any existing dispute, claim, or controversy subject to arbitration under these Rules.

(2)(A) A Respondent, Responding Claimant, Cross-Claimant, Cross-Respondent, or Third-Party Respondent who pleads only a general denial to a pleading that states specific facts and contentions may, upon objection by a party, in the discretion of the arbitrator(s), be barred from presenting any facts or defenses at the time of the hearing.

(B) A Respondent, Responding Claimant, Cross-Claimant, Cross-Respondent, or Third-Party Respondent who fails to specify all available defenses and relevant facts in such party’s answer may, upon objection by a party, in the discretion of the arbitrators, be barred from presenting such facts or defenses not included in such party’s Answer at the hearing.

(C) A Respondent, Responding Claimant, Cross-Claimant, Cross-Respondent, or Third-Party Respondent who fails to file an Answer within 30 calendar days from receipt of service of a Claim, may, in the discretion of the arbitrators, be barred from presenting any matter, arguments, or defenses at the hearing. Such a party may also be subject to default.

(3) Respondent(s) shall serve each party with a copy of any Third-Party Claim. The Third-Party Claim shall also be filed with CoMA along with any deposit required under the schedule of fees. Third-Party Respondent(s) shall answer in the manner provided for response to the Claim, as provided in subparagraphs (1) and (2) above.

(4) The Claimant shall serve each party with a Reply to a Counterclaim within 14 days of receipt of an Answer containing a Counterclaim. The Reply shall also be filed with CoMA.

(5) Extensions for filing may be granted by the opposing party. If there are multiple opposing parties all must agree to the extension request for the extension to be granted.

(c) Joinder and Consolidation — Multiple Parties

(1) Permissive Joinder. All persons may join in one action as claimants if they assert any right to relief jointly, severally, or arising out of the same transaction, occurrence, or series of transactions or occurrences and if any questions of law or fact common to all these claimants will arise in the action. All persons may be joined in one action as respondents if there is asserted against them, jointly or severally, any right to relief arising out of the same transaction, occurrence, or series of transactions or occurrences and if any questions of law or fact common to all respondents will arise in the action. A claimant or respondent need not assert rights to or defend against all the relief demanded. Judgment may be given for one or more of the claimants according to their respective rights to relief, and against one or more respondents according to their respective liabilities.

(2) In arbitrations where there are multiple Claimants, Respondents, and/or Third-Party Respondents, Colorado Mediators & Arbitrators, LLC shall be authorized to determine preliminarily whether such parties should proceed in the same or separate arbitrations. Such determination will be considered after the filing of all responsive pleadings.

(3) Colorado Mediators & Arbitrators, LLC shall be authorized to determine preliminarily whether claims filed separately are related and shall be authorized to consolidate such claims for hearing and award purposes.

(4) Further determinations with respect to joinder, consolidation, and multiple parties under this paragraph (d) shall be made by the arbitration panel and shall be deemed final.

Rule A420. Amendments to Pleadings

(a) After the filing of any pleadings, if a party desires to file a new or different pleading, such change must be made in writing and filed with CoMA and must be served on all other parties. The other parties may, within 14 days from the receipt of service, file a response with all other parties and CoMA.

(b) After the arbitrator or panel of arbitrators have been appointed, no new or different pleading may be filed except with arbitrator consent.

Rule A430. Designation of Time and Place of First Meeting

CoMA shall determine the time and place of the first meeting of the arbitrator(s) and the parties, whether the first meeting is a pre-hearing conference or a hearing, and shall give notice of the time and place at least 10 days prior to the date fixed for the first meeting. The arbitrator(s) shall determine the time and place for all subsequent meetings, whether the meetings are pre-hearing conferences, hearings, or any other type of meetings, and shall give notice as the arbitrator(s) may determine.

Rule A440. Arbitrator Disclosures

At the commencement of the first pre-hearing conference that an arbitrator attends (even telephonically), the arbitrator shall make disclosures of any actual, apparent or likely conflicts of interest or bias that the arbitrator may have. This disclosure requirement is a continuous duty.

Rule A450. Acknowledgment of Oath of Arbitrators

At the commencement of the first pre-hearing conference that an arbitrator attends (even telephonically), the arbitrator shall acknowledge if he/she has taken the Oath of Arbitrators administered by CoMA.

Rule A460. Discovery and Information Exchange

(a) Requests for Documents and Information

The parties shall cooperate to the fullest extent practicable in the voluntary exchange of documents and information to expedite the arbitration. Any request for documents or other information should be specific and relate to the matter in controversy. Interrogatories, pattern or otherwise, are strongly disfavored, but basic identification questions are allowed.

(b) Document Production and Information Exchange

1. Any party may serve a written request for information or documents ("information request") upon another party 30 calendar days or more after service of the Statement of Claim by CoMA or upon filing of the Answer, whichever is earlier. The requesting party shall serve the information request on all parties and file a copy with CoMA. The parties shall endeavor to resolve disputes regarding an information request prior to serving any objection to the request. Such efforts shall be set forth in the objection.

2. Unless a greater time is allowed by the requesting party, information requests shall be satisfied or objected to within 14 days from the date of service. Any objection to an information request shall be served by the objecting party on all parties and filed with CoMA.

3. Any response to objections to an information request shall be served on all parties and filed with C0MA within 10 days of receipt of the objection.

4. Upon the written request of a party whose information request is unsatisfied, the matter will be referred by CoMA to the arbitrator(s), who may schedule a hearing to decide discovery issues.

(c) Pre-Hearing Exchange –

No less than 20 days prior to the first scheduled hearing date, all parties shall serve on each other copies of documents in their possession they intend to present at the hearing and shall identify witnesses they intend to present at the hearing. The arbitrator(s) may exclude from the arbitration any documents not exchanged or witnesses not identified. This paragraph does require service and exchange of all copies of documents and identification of witnesses which parties may use for cross-examination or rebuttal.

(d) Decisions by Selected Arbitrator

CoMA may appoint a single member of the arbitration panel to decide all unresolved issues under this Rule. Such arbitrator shall be authorized to act on behalf of the panel to issue subpoenas, direct production of documents, set deadlines for compliance, and issue any other ruling which will expedite the arbitration proceedings. Decisions under this Rule shall be made upon the papers submitted by the parties, unless the arbitrator calls a hearing. The arbitrator may elect to refer any issue under this Rule to the full panel.

Rule A470. Subpoenas

The arbitrator(s) and any counsel of record to the proceeding shall have the power of the subpoena process as provided by law. Any subpoena must be provided to the opposing party or parties before service. The opposing party or parties then have 10 days to respond or object before issuance of the subpoena. All parties shall be given a copy of a subpoena upon its issuance. Parties shall produce witnesses and present proofs to the fullest extent possible without resort to the subpoena process.

Rule A480. Voluntary Agreement on Direct Communications between Parties and Arbitrators

(a) This rule provides procedures under which parties and arbitrators may communicate directly.

(b) Only parties that are represented by counsel may use direct communication under this Rule. If, during the proceeding, a party chooses to appear pro se (without counsel), this Rule shall no longer apply.

(c) All arbitrators and all parties must agree to the use of direct communication during the Initial Prehearing Conference or a later conference or hearing before it can be used.

(d) Parties may send the arbitrators only items that are listed in an order.

(e) Parties may send items by regular mail, overnight courier, facsimile, or email. All the arbitrators and parties must have facsimile or email capability before such a delivery method may be used.

(f) Copies of all materials sent to arbitrators must also be sent at the same time and in the same manner to all parties and CoMA. Materials that exceed 15 pages, however, shall be sent to CoMA only by regular mail or overnight courier.

(g) CoMA must receive copies of any orders and decisions made as a result of direct communications among the parties and the arbitrators.

(h) Parties may not communicate orally with any of the arbitrators outside the presence of all parties.

(i) Any party or arbitrator may terminate the direct communication order at any time, after giving written notice to the other arbitrators and the parties.

Hearing Rules A600/700 Series

Rule A610. Confidentiality

Arbitration proceedings are confidential as permitted by law, unless all parties agree otherwise. Arbitration Awards are not confidential.

Rule A620. Taping/Transcription of Session

If all parties to a dispute agree, a party may elect to have the hearing taped or transcribed. The cost of such taping or transcription shall be borne by the party or parties making the request. If the record is taped or transcribed, a copy shall be provided to CoMA and may be reviewed by the arbitrators.

Rule A630. Arbitrator Disclosures

At the commencement of the first hearing session, the arbitrator(s) shall make disclosures of any actual, apparent or likely conflicts of interest or bias that the arbitrator(s) may have.

Rule A640. Acknowledgment of Oath of Arbitrators

Prior to the commencement of the first session, an oath or affirmation shall be administered to the arbitrator(s), if they have not already have taken the oath. The arbitrator(s) shall acknowledge to all parties present that they have been administered an oath or affirmation.

Rule A650. Acknowledgment of Pleadings

The arbitrator(s) shall acknowledge to all parties present that they have read the pleadings filed by the parties.

Rule A660. Opening Statements

It is the practice in these proceedings to allow claimants to proceed first in opening statement, with no rebuttal argument being permitted. The hearing procedures may, however, be varied in the discretion of the arbitrator(s), provided all parties are allowed a full and fair opportunity to present their respective cases.

Rule A670. Presentation of Case

It is the practice in these proceedings to allow the claimants to present their case first, followed by the respondents. This practice may be varied to allow for each witness to be examined in one contiguous stretch, with time for breaks allowed, so that such witness would not have to be recalled for presentation in another party’s case. The hearing procedures may, however, be varied in the discretion of the arbitrator(s), provided all parties are allowed a full and fair opportunity to present their respective cases.

Rule A680. Oaths of Witnesses

All testimony shall be under oath or affirmation.

Rule A690. Evidence

The arbitrator(s) shall determine the materiality and relevance of any evidence proffered and shall not be bound by rules governing the admissibility of evidence.

Rule A710. Closing Arguments

It is the practice in these proceedings to allow claimants to proceed first in closing argument, with rebuttal argument being permitted. Claimants may reserve their entire closing for rebuttal. The hearing procedures may, however, be varied in the discretion of the arbitrator(s), provided all parties are allowed a full and fair opportunity to present their respective cases.

Rule A720. Failure to Appear

If any of the parties, after due notice, fails to appear at a hearing or at any continuation of a hearing session, the arbitrators may, in their discretion, proceed with the arbitration of the controversy. In such cases, all awards shall be rendered as if each party had entered an appearance in the matter submitted.

Rule A730. Postponements

(a) The arbitrator(s) may, in their discretion, postpone any hearing(s) either upon their own initiative or upon the request of any party to the arbitration.

(b) Upon receiving a third request consented to by all parties for a postponement, the arbitrator(s) may dismiss the arbitration without prejudice to the Claimant filing a new arbitration.

(c) If a postponement request is made by one or more parties and granted within three business days before a scheduled hearing session, the party or parties making the request shall pay the full amount of the hearing fees. If more than one party requests the postponement, the arbitrator(s) shall allocate the fees among the requesting parties. The arbitrator(s) may allocate all or portion of the hearing fees to the non-requesting party or parties, if the arbitrators determine that the non-requesting party or parties caused or contributed to the need for the postponement. In the event that an extraordinary circumstance prevents a party or parties from making a timely postponement request, arbitrators may use their discretion to waive the fee, provided verification of such circumstance is received.

Post-Hearing Rules
A800 Series

Rule A810. Reopening of Hearings

In extraordinary circumstances, the hearings may be reopened by the arbitrators on their own motion or at the discretion of the arbitrators upon application of a party at any time before the award is rendered.

Rule A820. Awards

(a) All awards shall be in writing and signed by the single arbitrator or by majority of the panel of arbitrators or in such manner as is required by applicable law. Such awards may be entered as a judgment in any court of competent jurisdiction.

(b) Unless the applicable law directs otherwise, all awards rendered pursuant to these Rules shall be deemed final and not subject to review or appeal.

(c) CoMA will serve a copy of the award on each party, or the representative of the party. CoMA will serve the award by using any method available and convenient to the parties and CoMA, and that is reasonably expected to cause the award to be delivered to all parties, or their counsel, on the same day. Methods CoMA may use include, but are not limited to, registered or certified mail, hand delivery, and facsimile or other electronic transmission, including e-mail.

(d) The arbitrator(s) shall endeavor to render an award within thirty (30) days from the date the record is closed.

(e) The award shall contain the names of the parties, the name of counsel, if any, a summary of the issues in controversy, the damages and other relief requested, the damages and other relief awarded, a statement of any other issues resolved, the names of the arbitrators, the dates the claim was filed and the award rendered, the number and dates of hearing sessions, the location of the hearings, and the signatures of the arbitrators concurring in the award.

(f) All awards and their contents shall be made publicly available.

(g) All monetary awards shall be paid within thirty (30) days of receipt unless a motion to vacate has been filed with a court of competent jurisdiction. An award shall bear interest from the date of the award: (1) if not paid within thirty (30) days of receipt, (2) if the award is the subject of a motion to vacate which is denied, or (3) as specified by the arbitrator(s) in the award. Interest shall be assessed at the legal rate, if any, then prevailing in the state where the award was rendered, or at a rate set by the arbitrator(s).