Appendix to Part 1440 - FIFRA Arbitration Rules
29:22.214.171.124.126.96.36.199.3 : Appendix to
Appendix to Part 1440 - FIFRA Arbitration Rules Section 1
These rules shall apply as published in the Federal Register
unless modified by FMCS.
Sec. 2. Definitions
For the purpose of these Rules of Procedure the terms are
defined as follows:
(1) AAA means the American Arbitration Association.
(2) Act or FIFRA means the Federal Insecticide,
Fungicide, and Rodenticide Act, 7 U.S.C. 136 et seq.
(3) EPA means the United States Environmental Protection
(4) Arbitrator(s) means the person or persons appointed
to the tribunal constituted by the parties for the settlement of
their dispute under these Rules.
(5) Claimant means a person asserting a claim for
compensation under these Rules or filing a claim concerning joint
development of data.
(6) Compulsory arbitration means arbitration invoked
under the mandatory provisions of section 3(c)(1)(d) or
3(c)(2)(B)(iii) of the Act.
(7) Voluntary arbitration means arbitration voluntarily
agreed to by the parties to settle a dispute under section
3(c)(1)(d) or 3(c)(2)(B)(iii) of the Act.
(8) Director means Director, Registration Division,
Office of Pesticide Programs, Environmental Protection Agency, or
any officer or employee of the EPA to whom authority has been or
may hereafter be lawfully delegated to act in his stead.
(9) Administator means the AAA, its Tribunal
Administrators or such officers or committees as the AAA may
(10) Roster means the Commercial Arbitration Roster of
(11) FMCS or Service means the Federal Mediation
and Conciliation Service.
(12) Party means claimant or respondent.
(13) Person means any individual, partnership,
association, corporation, or any organized group of persons,
whether incorporated or not.
(14) Respondent means the person against whom a claim is
made under section 3(c)(1)(D) or 3(c)(2)(B)(iii) of the Act.
Terms defined in the Act and not explicitly defined herein are used
herein with the meanings given in the Act. Sec. 3. Initiation of
(a) Under compulsory procedures of FIFRA. Upon the
request of a party qualified under FIFRA section 3(c)(1)(D) or
3(c)(2)(B)(iii) for the appointment of an arbitrator, the Service
will appoint an arbitrator in accordance with 29 CFR 1440.1 (a) and
these rules. Requests shall be submitted in writing to the
appropriate AAA Regional Office and must include the names,
addresses and telephone numbers of the parties to the dispute;
issues in dispute; the amount in dollars or any other remedy
sought; sufficient facts to show that the statutory waiting period
has passed; and the appropriate fee as provided in the Fee
AAA shall give notice of filing of a request for arbitration to the
other party. If he so desires, the party upon whom the demand for
arbitration is made may file an answering statement in duplicate
with AAA within seven days after notice, in which event he shall
simultaneously send a copy of his answer to the other party. If a
monetary claim is made in the answer the appropriate fee provided
in the Fee Schedule shall be forwarded with the answer. 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.
(b) Under a Voluntary Submission. Parties to any existing
dispute may commence an arbitration under these Rules by filing at
any AAA Regional Office two (2) copies of a written agreement to
arbitrate under these Rules (Submission), signed by the parties. It
shall contain a statement of the matter in dispute, the amount of
money involved, if any, and the remedy sought, together with the
appropriate administrative fee as provided in the Fee Schedule.
Sec. 4. Fixing of Locale
The parties may mutually agree on the locale where the
arbitration is to be held. If the locale is not designated within
seven days from the date of filing the Demand or Submission the AAA
shall have power to determine the locale. Its decision shall be
final and binding. If any party requests that the hearing be held
in a specific locale and the other party files no objection thereto
within seven days after notice of the requests, the locale shall be
the one requested.
Sec. 5. Qualification of Arbitrator
Any Arbitrator appointed pursuant to these rules shall be
neutral, subject to disqualification for the reasons specified in
section 11. If the agreement of the parties names an Arbitrator or
specifies any other method of appointing an Arbitrator, or if the
parties specifically agree in writing, such Arbitrator shall not be
subject to disqualification for said reasons.
Sec. 6. 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 Request or Submission, the AAA shall submit simultaneously to
each party to the dispute an identical list of names of persons
chosen from the Panel. Each party to the dispute shall have seven
days from the mailing date in which to cross off any names to which
he objects, number the remaining names indicating the order of his
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, and the Service shall appoint the
Arbitrator. If the parties fail to agree upon any of the persons
named, or if acceptable Arbitrators are unable to act, or if for
any other reason the appointment cannot be made from the submitted
lists, the FMCS shall have the power to make the appointment from
other members of the Panel without the submission of any additional
Sec. 7. Direct Appointment by Parties
If the agreement of the parties to a Submission names an
Arbitrator or specifies a method of appointment of an Arbitrator,
that designation or method shall be followed. The notice of
appointment, with name and address of such Arbitrator, shall be
filed with the AAA by the appointing party. Upon the request of any
such appointing party, the AAA shall submit a list of members from
the Panel from which the party may, if he so desires, make the
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 shall make the
Sec. 8. Appointment of Neutral Arbitrator by Party Appointed
If the parties have appointed their Arbitrators or if either or
both of them have been appointed as provided in section 7, 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 FMCS shall appoint a neutral
Arbitrator who shall act as Chairman.
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 FMCS shall appoint such neutral Arbitrator, who
shall act as Chairman.
If the parties have agreed that their Arbitrators shall appoint
the neutral Arbitrator from the Panel, the AAA shall furnish to the
party-appointed Arbitrators, in the manner prescribed in section 6,
a list selected from the Panel, and the appointment of the neutral
Arbitrator shall be made as prescribed in such section.
Sec. 9. 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 AAA in its discretion, directs that a
greater number of Arbitrators be appointed.
Sec. 10. Notice to Arbitrator of His or Her Appointment
Notice of the appointment of the neutral Arbitrator, whether
appointed by the parties, by the AAA or FMCS shall be mailed to the
Arbitrator, together with a copy of these Rules, and the signed
acceptance of the Arbitrator shall be filed with AAA prior to the
opening of the first hearing.
Sec. 11. Disclosure and Challenge Procedure
A person appointed as neutral Arbitrator shall disclose to the
AAA any circumstances likely to affect his or her impartiality,
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 counsel. Upon receipt of such information from
such Arbitrator or other source, the AAA shall communicate such
information to the parties, and, if it deems it appropriate to do
so, to the Arbitrator. Thereafter, the AAA shall make a
determination whether the Arbitrator should be disqualified. The
determination, however, may be appealed to FMCS. The decision of
FMCS shall be conclusive.
Sec. 12. Vacancies
If any Arbitrator should resign, die, withdraw, refuse, be
disqualified, or be unable to perform the duties of his office, AAA
may, on proof satisfactory to it, declare the office vacant. Either
party to a compulsory arbitration may request the FMCS to review a
declaration of disqualification. Vacancies shall be filled in
accordance with the applicable provision of these Rules and the
matter shall be reheard unless the parties shall agree
Sec. 13. Commencement of Proceeding
(a) Within 60 days from receipt by the parties of notice of the
appointment of an arbitrator, the claimant shall file with AAA:
(1) If appropriate, a detailed statement as to the amount of
compensation claimed, the method of computing said amount, and
terms of payment, and a list of the test data deemed to be
compensable, together with a detailed justification therefore.
(2) A certification as to: (i) Whether any court or tribunal has
made determinations for payment by any other persons to claimant
for use of the same test data and, if so, identification of the
persons against whom the 3(c)(2)(B) determinations were issued and
the application for registration for which the test data was used;
and (ii) whether any other claims against any persons are pending
in arbitration or in any court for use of the same test data and,
if so, an identification of the persons against whom the claims are
pending and the applications for registration on which the claims
are being made.
(3) A detailed statement of the matter in dispute under
(b) Within 60 days of service of the documents referred to in
subsection (a) the respondent shall file a detailed statement of
its position as to the amount of compensation due, method of
computation, terms of payment, and list of data deemed to be
compensable together with a detailed justification therefore or a
detailed statement of the dispute under 3(c)(2)(5). To the extent
any portion of the claimant's statement of its claim is not denied
or challenged by respondent, it shall be deemed admitted.
(c) After respondent's statement is filed, the arbitrator may,
upon request by a party, request the Director to supplement the
file with additional information, including copies of relevant test
data, information contained in a relevant registration file, a
statement as to data requirements for registration, or any other
information which the arbitrator deems to be relevant. Upon request
by a party or other interested person, the arbitrator shall order
protective measures to safeguard and restrict access to
confidential business information.
Sec. 14. Filing and Service
(a) All documents or papers required or authorized to be filed,
shall be filed with the AAA for transmittal to the arbitrator,
except as otherwise herein provided, and shall bear the caption of
the case and the docket number. At the same time that a party files
documents or papers with the AAA, the party shall serve upon all
other parties copies thereof, with a certificate of service on or
attached to each document or paper, including those filed with the
arbitrator. If a party is represented by counsel or other
representative, service shall be made on such representative.
Service may be made personally or by regular mail, and if made by
mail shall be deemed complete on mailing. If filing is accomplished
by mail addressed to the AAA, filing shall be deemed timely if the
papers are postmarked on the due date.
(b) All orders, decisions, or other documents made or signed by
the arbitrator shall be served immediately upon all parties.
Sec. 15. Time
(a) In computing any period of time prescribed or allowed by
these rules, except as otherwise provided, the day of the act,
event, or default from which the designated period of time begins
to run shall not be included. Saturdays, Sundays and legal holidays
shall be included in computing the time allowed for the filing of
any document or paper, except that when such time expires on a
Saturday, Sunday, or legal holiday, such period shall be extended
to include the next following business day.
(b) When by these rules or by order of the arbitrators, an act
is required or allowed to be done at or within a specified time,
the arbitrator or AAA for cause shown may at any time in their
discretion (1) with or without motion or notice, order the period
enlarged if request therefore, which may be made ex parte,
is made before the expiration of the period originally prescribed
or as extended by a previous order, or (2) on motion made after the
expiration of the specified period, permit the act to be done where
the failure to act was the result of excusable neglect or other
Sec. 16. Communication with Arbitrator and Serving of Notices
(a) There shall be no communication between the parties and a
neutral arbitrator other than at oral hearings. Any other oral or
written communications from the parties to the arbitrator shall be
directed to the AAA for transmittal to the arbitrator.
(b) Each party to an agreement which provides for arbitration
under these Rules shall be deemed to have consented that any
papers, notices or process necessary or proper for the initiation
or continuation of an arbitration under these Rules and for any
court action in connection therewith or for the entry of judgment
on any award made thereunder may be served upon such party by mail
addressed to such party or his attorney at his last known address
or by personal service, within or without the State wherein the
arbitration is to be held (whether such party be within or without
the United States of America): Provided, That reasonable
opportunity to be heard with regard thereto has been granted such
Sec. 17. 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
thirty 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.
Sec. 18. Appearances
(a) Parties may appear in person or by counsel or other
representative. Persons who appear as counsel or in a
representative capacity must conform to the standards of ethical
conduct required of practitioners before the courts of the United
(b) Any party to the proceeding who, after being duly notified
and without good cause being shown fails to appear at a prehearing
conference or fails to respond to correspondence, shall be deemed
to have waived his rights with respect thereto and shall be subject
to such orders or determinations with respect thereto as the
arbitrator shall make. The failure of a party to appear at a
hearing shall constitute a waiver of the right to present evidence
at such hearing. Where either party fails to appear at a hearing,
the arbitrator shall require the presentation by the present party
of such evidence as he deems necessary to prepare a decision in
conformity with the requirements of the act.
(c) 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.
Sec. 19. Consolidation and Severance
(a) The AAA may with agreement of all parties consolidate any
matters at issue in two or more proceedings docketed under these
Rules of Procedure where there exist common parties, common
questions of fact and law, and where such consolidation would
expedite or simplify consideration of the issues. Consolidation may
also be effected where separate claims for use of the same test
data are made against different respondents. The arbitrator who
presides over the consolidated proceeding shall be chosen in
accordance with section 3, supra.
(b) The arbitrator may, by motion or sua sponte, for good
cause shown order any proceeding severed with respect to some or
all parties or issues.
Sec. 20. Protection of Confidential Information
(a) The arbitrator shall make such orders as required to protect
the secrecy of confidential information or documents such as review
(b) The arbitrator shall impose a sanction against any party who
violates an order issued under this section. Such sanction may
include an award against the offending party.
Sec. 21. Scheduling of Hearing
(a) After consideration of the convenience of the parties, the
AAA shall serve upon the parties a notice of hearing setting a time
and place for such hearing.
(b) Except for good cause shown, no request for postponement of
a hearing will be granted. Such request must be received in writing
at least a day in advance of the time set for the hearing. In case
of postponement, the hearing shall be rescheduled for a date as
early as circumstances will permit.
Sec. 22. Optional Accelerated Procedure
(a) In claims involving $25,000 or less, the parties may elect,
prior to commencement of hearing, to have the claim processed under
an expedited procedure. If no specific amount of claim is stated, a
case will be considered to fall within this rule if the amount
which the claimant represents in writing that it could recover as a
result of any arbitrator's decision favorable to it does not exceed
$25,000. Upon such election, a case shall then be processed under
this rule unless the respondent objects and shows good cause why
the substantive nature of the dispute requires processing under the
regular procedures. In cases proceeding under this rule, the
parties have waived discovery and briefs.
(b) The arbitrator shall schedule the dispute for hearing within
thirty (30) days of service of notice to the parties that the
dispute will be governed by this accelerated procedure, unless
either party requests that the case be submitted without hearing
under section 19.
(c) Written decision by the arbitrators in cases proceeding
under this rule normally will be short and contain summary findings
of fact and conclusions only. The arbitrator shall render such
decisions promptly, but in no event later than thirty days after
the dispute is ready for decision.
Sec. 23. Discovery
(a) Either party may move for permission to serve written
interrogatories and requests for production of documents upon the
opposing party. The arbitrator shall grant such motion to the
extent that such interrogatories and requests are designed to
produce relevant evidence and only upon such terms as the
arbitrator in his or her discretion considers to be consistent with
the objective of securing a just and inexpensive determination of
the dispute without unnecessary delay.
(b) Upon motion by either party, the arbitrator may order a
deposition upon a showing of good cause and a finding that the
deposition is designed to secure relevant and probative evidence
which (1) cannot be obtained by alternative means, or (2) may
otherwise not be preserved for presentation at hearing.
(c) If a party fails to comply with an order issued under this
section, the arbitrator shall draw inferences adverse to that party
in connection with the facts sought to be discovered.
(d) At least thirty days prior to the hearing, each party shall
make available to each other party the names of the expert and
other witnesses it intends to call, together with a detailed
summary of their expected testimony, and copies of all documents
and exhibits which the party intends to introduce into evidence.
Thereafter, witnesses, documents, or exhibits may be added and
narrative summaries of expected testimony amended only upon motion
by a party for good cause shown.
Sec. 24. Prehearing Conference
(a) When it appears that such procedure will expedite the
proceeding, the arbitrator at any time prior to the commencement of
the hearing may request the parties and their counsel or other
representative to appear at a conference before him or her to
(i) The possibility of settlement of the case;
(ii) The simplification of issues and stipulation of facts not
(iii) The necessity or desirability of amending or supplementing
documents in the record;
(iv) The possibility of obtaining admissions or stipulations of
fact and of documents which will avoid unnecessary proof;
(v) The limitation of the number of expert or other
(vi) The setting of a time and place for the hearing, giving
consideration to the convenience of all parties and to the public
(vii) Any other matters as may expedite the disposition of the
(b) No transcript of any prehearing conference shall be made
unless ordered upon motion of a party or sua sponte by the
arbitrator. In the absence of a transcript, the arbitrator shall
prepare and file a report of the action taken at such conference.
Such report shall incorporate any written stipulations or
agreements made by the parties, all rulings upon matters considered
at such conference, and appropriate orders containing directions to
the parties. Such report shall, as appropriate, direct the
subsequent course of the proceeding, unless modified by the
arbitrators on motion or sua sponte.
Sec. 25. Evidence
(a) The arbitrator shall admit all evidence which is relevant,
competent, material, not privileged, and not unduly repetitious.
The weight to be given evidence shall be determined by its
reliability and probative value.
(b) Except as otherwise provided in these Rules of Procedure or
by the arbitrator, witnesses shall be examined orally, under oath
or affirmation. Parties shall have the right to cross-examine a
witness who appears at the hearing provided that such
cross-examination is not unduly repetitious.
(c) Except where the arbitrator finds it impracticable, an
original and two copies of each exhibit shall be filed at the time
the exhibit is offered into evidence and a copy shall be furnished
to each party. A true copy of an exhibit may be substituted for the
(d) Official notice may be taken of any matter judicially
noticed in the Federal courts. The parties shall be given adequate
opportunity to show that such facts are erroneously noticed.
Sec. 26. Order of Proceedings
(a) Hearing shall be opened by the filing of the oath of the
arbitrator, and by the recording of the place, time and date of the
hearing, the presence of the arbitrator, parties, and counsel.
(b) The arbitrator may, at the beginning of the hearing, ask for
statements clarifying the issues involved. The claimant shall then
present his claim and proofs and his witnesses. The respondent
shall then present his response and proofs and his witnesses. The
arbitrator may in his descretion vary this procedure but he or she
shall afford full and equal opportunity to all parties for the
presentation of any material or relevant proofs.
Sec. 28. Burden of Presentation; Burden of Persuasion
The claimant shall have the burden of going forward to establish
his entitlement to an amount of compensation that respondent should
pay for use of the test data relied upon. Each matter of
controversy shall be decided by the arbitrator upon a preponderance
of the evidence.
Sec. 29. Stenographic Record
Any party may request a stenographic record by making
arrangements for same through the AAA. 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. The
total cost of such a record shall be shared equally by those
parties that order copies.
Sec. 30. Filing of Briefs, Proposed Findings of Fact and
Conclusions of Law, and Proposed Order
Unless otherwise ordered by the arbitrator, each party may
within thirty days after delivery of the transcript of a hearing to
the arbitrator as provided in section 29, file with AAA and serve
upon all other parties a brief together with references to relevant
exhibits and the record. Within Fifteen days thereafter each party
may file a reply brief concerning matters contained in the opposing
brief. Oral argument may be had at the discretion of the
Sec. 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 the time and date 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 the award shall commence to run, in the absence of other
agreement by the parties, upon the closing of the hearings.
Sec. 32. Arbitrators' Decision
(a) The arbitrator shall as soon as practicable after the filing
of briefs evaluate the record and prepare and file a decision. The
decision shall contain findings of fact and conclusions regarding
all issues in dispute as well as reasons therefore.
(b) The decision shall contain a determination as to the
compensation, if any respondent must pay to claimant, or other
remedy as appropriate, the method of payment, and may fix such
other terms and conditions as may be reasonable under the
circumstances, including the furnishing of a bond or other
guarantee of payment by the respondent to the claimant.
Sec. 33. Reopening of Hearings
(a) The hearings may be reopened by the arbitrator on his or her
own motion, or upon application of a party at any time before the
award is made. 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 the parties agree upon the
extension of such time limit. When no specific date is fixed, the
arbitrator may reopen the hearings, and the arbitrator shall have
thirty days from the closing of the reopened hearings within which
to make an award.
(b) A motion to reopen a hearing to take further evidence, to
rehear or reargue any matter related to such proceeding, or to
reconsider the arbitrator's decision, must be made by motion in
writing to the arbitrator in accordance with these Rules of
Procedure. Every such motion must state the specific grounds upon
which relief is sought.
(c) A motion to reopen a hearing for the purpose of taking
further evidence may be filed at any time prior to the issuance of
the arbitrator's decision. Such motion shall state briefly the
nature and purpose of the evidence to be adduced, shall show that
such evidence is not cumulative, and shall set forth a good reason
why such evidence was not adduced at a hearing.
(d) Motions to modify the arbitrator's decision shall be filed
within 30 days after the date of service of the decision. Such
motion must state specifically one of the following grounds for
1. There was a miscalculation of figures or a mistake in the
description of any person, thing or property referred to in the
2. The arbitrators have awarded upon a matter not submitted to
them and the award may be corrected without affecting the merits of
the decision upon the issues submitted; or
3. The award is imperfect in a matter of form, not affecting the
merits of the controversy.
Sec. 34. Award Upon Settlement
If the parties settle their dispute during the course of the
arbitration, the arbitrator, upon their request, may set forth the
terms of the agreed settlement in an award.
Sec. 35. 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 his last known address or to his
attorney, or personal service of the award, or the filing of the
award in any manner which may be prescribed by law.
Sec. 36. Release of Documents for Judicial Proceedings
The AAA shall, upon the written request of a party, furnish to
such party, at his or her expense, certified facsimiles of any
papers in the AAA's possession that may be required in judicial
proceedings relating to the arbitration.
Sec. 37. Application to Court
(a) No judicial proceedings 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 the AAA nor FMCS is a necessary party in judicial
proceedings relating to the arbitration.
(c) Parties to 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.
Sec. 38. Administrative Fees
As a nonprofit organization, the AAA shall prescribe an
administrative fee schedule and a refund schedule to compensate it
for the cost of providing administrative services. The schedule in
effect at the time of filing or the time of refund shall be
The administrative fees shall be advanced by the initiating
party or parties, subject to final appointment by the arbitrator in
When a matter is withdrawn or settled, the refund shall be made
in accordance with the refund schedule.
The AAA, in the event of extreme hardship on the part of any
party, may defer or reduce the administrative fee.
Sec. 39. Fee When Oral Hearings Are Waived
Where all oral hearings are waived the Administrative Fee
Schedule shall apply.
Sec. 40. Expenses
The expenses of witnesses for either side shall be paid by the
party producing such witnesses.
The cost of the stenographic record, if any is made, and all
transcripts thereof, shall be prorated equally among all parties
ordering copies unless they shall otherwise agree and shall be paid
for by the responsible parties directly to the reporting
All other expenses of the arbitration, including required
traveling and other expenses of the arbitrator and of AAA
representatives, and the expenses of any witness or the cost of any
proofs produced at the direct request of the arbitrator, shall be
borne equally by the parties.
Sec. 41. Arbitrator's Fee
Any arrangement for the compensation of a neutral arbitrator
shall be made through the AAA and not directly by him or her with
the parties. Where parties cannot agree, AAA shall fix reasonable
Sec. 42. Deposits
The AAA may require the parties to deposit in advance such sums
of money as it deems necessary to defray the expense of the
arbitration, including the arbitrator's fee if any, and shall
render an accounting to the parties and return any unexpened
Sec. 43. Interpretation and Application of Rules
The arbitrator shall interpret and apply these Rules insofar as
they relate to his or her powers and duties. When there is more
than one arbitrator and a difference arises among them concerning
the meaning or application of any such Rules, it shall be decided
by a majority vote. If that is unobtainable, either an arbitrator
or a party may refer the question to the AAA for decision. All
other Rules shall be interpreted and applied by the AAA. Either
party may request that FMCS review any decision of AAA on
interpretation or application of these rules.
Administrative Fee Schedule
The administrative fee of the AAA is based upon the amount of
each claim and counterclaim as disclosed when the claim and
counterclaim are filed, and is due and payable at the time of
|Amount of claim
|Up to $25,000
||$600, plus 1% of excess over
||$1350, plus 1/2% of excess
||$1850, plus 1/4% of excess
Where the claim or counter claim exceeds $5 million, an
appropriate fee will be determined by the AAA.
When no amount can be stated at the time of filing, the
administrative fee is $500, subject to adjustment in accordance
with the above schedule as soon as an amount can be disclosed.
If there are more than two parties represented in the
arbitration, an additional 10% of the initiating fee will be due
for each additional represented party.
Other Service Charges - $50.00 payable by a party causing an
adjournment of any scheduled hearing;
$100 payable by a party causing a second or additional
adjournment of any scheduled hearing.
$25.00 payable by each party for each hearing after the first
hearing which is either clerked by the AAA or held in a hearing
room provided by the AAA.
Refund Schedule - If the AAA is notified that a case has been
settled or withdrawn before a list of Arbitrators has been sent
out, all the fees in excess of $500 will be refunded.
If the AAA is notified that a case has been settled or withdrawn
thereafter but before the due date for the return of the first
list, two-thirds of the fee in excess of $500.00 will be
If the AAA is notified that a case is settled or withdrawn
thereafter but at least 48 hours before the date and time set for
the first hearing, one-half of the fee in excess of $500 will be
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Street Cincinnati (45202), Philip S. Thompson - 2308 Carew Tower
Cleveland (44114), Earle C. Brown - 215 Euclid Avenue Dallas
(75201), Helmut O. Wolff - 1607 Main Street Detroit (48226), Mary
A. Bedikian - 1234 City National Bank Building Garden City, NY
(11530), Ellen Maltz-Brown - 585 Stewart Avenue Hartford (06103),
J. Robert Haskell - 37 Lewis Street Los Angeles (90020), Jerrold L.
Murase - 443 Shatto Place Miami (33129), Joseph A. Fiorillo - 2250
SW. 3rd Avenue Minneapolis (55402), Patricia A. Levin - 1001 Foshay
Tower New Brunswick, NJ (08901), Richard Naimark - 96 Bayard Street
New York (10020), Robert E. Meade - 140 West 51st Street
Philadelphia (19102), Arthur R. Mehr - 1520 Locust Street Phoenix
(85004), Paul A. Newnham - 222 North Central Avenue Pittsburgh
(15222), John F. Schano - 221 Gateway Four San Diego (92101), John
E. Scrivner - 530 Broadway San Francisco (94104), Charles A. Cooper
- 690 Market Street Seattle (98104), Neal M. Blacker - 810 Third
Avenue Syracuse (13203), Deborah A. Brown - 731 James Street
Washington (20036), Garylee Cox - 1730 Rhode Island Avenue, NW.
White Plains, NY (10601), John R. Dacey - 34 South Broadway