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1 JESSICA RIGGIN (SBN 281712)
jriggin@rukinhyland.com
2 RUKIN HYLAND & RIGGIN LLP
1939 Harrison Street, Suite 925
3 Oakland, CA 94612
4 Telephone: (415) 421-1800
Facsimile: (415) 421-1700
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MATTHEW HELLAND (SBN 250451)
6 helland@nka.com
DANIEL BROME (SBN 278915)
7 dbrome@nka.com
8 NICHOLS KASTER, LLP
235 Montgomery St., Suite 810
9 San Francisco, CA 94104
Telephone: (415) 277-7235
10 Facsimile: (415) 277-7238
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Attorneys for Plaintiffs
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13 SUPERIOR COURT OF THE STATE OF CALIFORNIA
14 COUNTY OF SAN MATEO
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16 ALIDA MAZARIEGOS, PAULA Case No. 20-CIV-04267
GONZALEZ, JAIME AMAYA, ADRIANA
17 TELLO, and RYNE BASS RYNE BASS’ REQUEST FOR JUDICIAL
18 NOTICE IN SUPPORT OF PLAINTIFFS’
Plaintiffs, on behalf of themselves OPPOSITION TO DEFENDANTS’
19 and all others similarly situated, MOTIONS TO COMPEL ARBITRATION
OF RYNE BASS AND ADRIANA TELLO
20 v.
21 VANGUARD CLEANING SYSTEMS,
Judge: Hon. Nancy L. Fineman
INC.; RR FRANCHISING, INC., D/B/A
22 Dept.: 04
VANGUARD CLEANING SYSTEMS OF
Date: December 5, 2023
SOUTHERN CALIFORNIA AND D/B/A
23 Time: 2:00 p.m.
VANGUARD CLEANING SYSTEMS OF
24 NORTHERN CALIFORNIA; BUDDHA
CAPITAL CORPORATION, D/B/A
25 VANGUARD CLEANING SYSTEMS OF
SACRAMENTO, D/B/A VANGUARD
26 CLEANING SYSTEMS OF THE
CENTRAL VALLEY, AND D/B/A
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VANGUARD CLEANING SYSTEMS OF
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REQUEST FOR JUDICIAL NOTICE IN SUPPORT OF PLAINTIFFS’ OPPOSITION TO MOTIONS TO
COMPEL ARBITRATION
THE CENTRAL COAST; AND WINE
1 COUNTRY VENTURES, INC. D/B/A
2 VANGUARD CLEANING SYSTEMS OF
THE NORTH BAY, AND DOES 1
3 THROUGH 10, INCLUSIVE,
4 Defendants.
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REQUEST FOR JUDICIAL NOTICE IN SUPPORT OF PLAINTIFFS’ OPPOSITION TO MOTIONS TO
COMPEL ARBITRATION
1 TO ALL PARTIES AND THEIR COUNSEL OF RECORD:
2 PLEASE TAKE NOTICE that pursuant to California Rules of Court 8.252(a) and
3 California Evidence Code 452, Plaintiffs Adriana Tello and Ryne Bass (“Plaintiffs”) hereby
4 respectfully requests that, in considering Plaintiffs’ Opposition to Defendants RR Franchising
5 Inc. and Vanguard Cleaning Systems, Inc.’s Joint Motion to Compel Arbitration of Ryne Bass,
6 and Defendants Wine Country Ventures, Inc. and Vanguard Cleaning Systems, Inc.’s Joint
7 Motion to Compel Arbitration of Adriana Tello, this Court take Judicial notice of the following:
8 Exhibit A: American Arbitration Association Employment Arbitration Rules and
9 Mediation Procedures
10 Exhibit B: American Arbitration Association Commercial Administrative Fee Schedule
11 Exhibit C: American Arbitration Association Employment/Workplace Fee Schedule
12 Exhibit D: American Arbitration Association Commercial Arbitration Rules and
13 Mediation Procedures
14 MEMORANDUM
15 The Court should take judicial notice of Exhibits A through D pursuant to Evidence Code
16 § 452 and 453. Section 453 provides that a trial court “shall take judicial notice of any matter”
17 specified in Section 452, provided that the party requesting notice: (a) gives each adverse party
18 sufficient notice of the request to enable that party to “prepare to meet the request”; and (b)
19 “[f]urnishes the court with sufficient information to enable it to take judicial notice of the
20 matter.” (Evid. Code § 453.) The instant request and documents filed herewith satisfy the
21 requirements of Section 453 by providing all parties with notice adequate to enable them to
22 oppose the request, and by providing this Court with both the entire materials for which notice is
23 requested and detailed argument concerning the propriety of taking judicial notice of the subject
24 document.
25 Based on the foregoing, Plaintiff respectfully requests that the Court take judicial notice
26 of Exhibits A through D.
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REQUEST FOR JUDICIAL NOTICE IN SUPPORT OF PLAINTIFFS’ OPPOSITION TO MOTIONS TO
COMPEL ARBITRATION
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2 Dated: October 31, 2023
3 NICHOLS KASTER, LLP
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By: /s/ Daniel S. Brome
5 Matthew C. Helland
Daniel S. Brome
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Dated: October 31, 2023
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RUKIN HYLAND & RIGGIN LLP
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By: /s/ Jessica Riggin
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Jessica Riggin
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Attorneys for Plaintiffs
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REQUEST FOR JUDICIAL NOTICE IN SUPPORT OF PLAINTIFFS’ OPPOSITION TO MOTIONS TO
COMPEL ARBITRATION
EXHIBIT A
Employment
Arbitration Rules and Mediation Procedures
Available online at adr.org/employment
Rule 38 – Serving of Notice, Revised January 1, 2023
Fee Schedule Amended and Effective January 1, 2023
Regional Vice Presidents and Assistant Vice Presidents
States: Delaware, District of Columbia, Maryland, States: Alaska, Arizona, California, Hawaii, Idaho,
New Jersey, Pennsylvania Nevada, Oregon, Utah, Washington
Kenneth Egger Patrick Tatum
Vice President Vice President
Phone: 215.731.2281 Phone: 559.490.1905
Email: EggerK@adr.org Email: TatumP@adr.org
States: Colorado, Illinois, Iowa, Kansas, Michigan, States: Alabama, Florida, Georgia, Louisiana,
Minnesota, Missouri, Montana, Nebraska, Mississippi, Texas
New Mexico, North Dakota, South Dakota, Charles Dorsey
Wisconsin, Wyoming Assistant Vice President
Jan Holdinski Phone: 866.686.6024
Vice President Email: DorseyC@adr.org
Phone: 248.352.5509
Email: HoldinskiJ@adr.org States: Rhode Island
Heather Santo
States: Connecticut, Maine, Massachusetts, Assistant Vice President
New Hampshire, New York, Vermont Phone: 866.293.4053
Ann Lesser, Esq. Email: SantoH@adr.org
Vice President
Phone: 212.484.4084
Email: LesserA@adr.org
States: Arkansas, Indiana, Kentucky, North Carolina,
Ohio, Oklahoma, South Carolina, Tennessee,
Virginia, West Virginia
Aaron Schmidt
Vice President
Phone: 440.596.3789
Email: SchmidtA@adr.org
Case Management Vice President and Assistant Vice Presidents
Southeast Case Management Center Western Case Management Center
Charles Dorsey Patrick Tatum
Assistant Vice President Vice President
Phone: 866.686.6024 Phone: 559.490.1905
Email: DorseyC@adr.org Email: TatumP@adr.org
Administers cases in Alabama, Arkansas, Florida, Administers cases in Alaska, Arizona, California,
Georgia, Kentucky, Louisiana, Mississippi, Hawaii, Idaho, Nevada, Oregon, Utah, Washington
North Carolina, Ohio, Puerto Rico, South Carolina,
Tennessee, US Virgin Islands, Virginia Central Case Management Center
Charles Dorsey
Northeast Case Management Center Assistant Vice President
Heather Santo Phone: 866.686.6024
Assistant Vice President Email: DorseyC@adr.org
Phone: 866.293.4053 Administers cases in Colorado, Illinois, Indiana,
Email: SantoH@adr.org Iowa, Kansas, Minnesota, Missouri, Montana,
Administers cases in Connecticut, Delaware, Nebraska, New Mexico, North Dakota, Oklahoma,
District of Columbia, Maine, Maryland, South Dakota, Texas, Wisconsin, Wyoming
Massachusetts, Michigan, New Hampshire,
New Jersey, New York, Pennsylvania, Rhode Island,
Vermont, West Virginia
2 RULES AND MEDIATION PROCEDURES American Arbitration Association
Table of Contents
Introduction.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
The Employment Due Process Protocol. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
AAA’s Employment ADR Rules.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Designing an ADR Program. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Types of Disputes Covered.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Employment Arbitration Rules and Mediation Procedures. . . . . . . . . . . . . . . . . . . . . . . . 10
1. Applicable Rules of Arbitration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
2. Notification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
3. AAA as Administrator of the Arbitration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
4. Initiation of Arbitration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
5. Changes of Claim. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
6. Jurisdiction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
7. Administrative and Mediation Conferences. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
8. Arbitration Management Conference. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
9. Discovery. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
10. Fixing of Locale (the city, county, state, territory, and/or country of the
Arbitration). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
11. Date, Time and Place (the physical site of the hearing within the designated
locale) of Hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
12. Number, Qualifications and Appointment of Neutral Arbitrators. . . . . . . . . . . . . . . . . . 15
13. Party Appointed Arbitrators. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
14. Appointment of Chairperson by Party-Appointed Arbitrators or Parties. . . . . . . . . . . 16
15. Disclosure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
16. Disqualification of Arbitrator.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
17. Communication with Arbitrator. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
18. Vacancies.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
19. Representation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
20. Stenographic Record.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
21. Interpreters.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
22. Attendance at Hearings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
23. Confidentiality. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
24. Postponements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
25. Oaths. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Rule 38 – Serving of Notice, Revised January 1, 2023. Fee Schedule Amended and Effective January 1, 2023. EMPLOYMENT RULES 3
26. Majority Decision. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
27. Dispositive Motions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
28. Order of Proceedings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
29. Arbitration in the Absence of a Party or Representative. . . . . . . . . . . . . . . . . . . . . . . . . . 20
30. Evidence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
31. Inspection. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
32. Interim Measures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
33. Closing of Hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
34. Reopening of Hearing.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
35. Waiver of Oral Hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
36. Waiver of Objection/Lack of Compliance with These Rules. . . . . . . . . . . . . . . . . . . . . . . 22
37. Extensions of Time.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
38. Serving of Notice. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
39. The Award.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
40. Modification of Award.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
41. Release of Documents for Judicial Proceedings.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
42. Applications to Court. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
43. Administrative Fees. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
44. Neutral Arbitrator’s Compensation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
45. Expenses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
46. Deposits. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
47. Suspension for Non-Payment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
48. Interpretation and Application of Rules.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
AAA Administrative Fees for Employment/Workplace Cases. . . . . . . . . . . . . . . . . . . . . 26
Optional Rules for Emergency Measures of Protection. . . . . . . . . . . . . . . . . . . . . . . . . . . 27
O-1. Applicability.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
O-2. Appointment of Emergency Arbitrator. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
O-3. Schedule.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
O-4. Interim Award. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
O-5. Constitution of the Panel.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
O-6. Security. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
O-7. Special Master. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
O-8. Costs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
4 RULES AND MEDIATION PROCEDURES American Arbitration Association
Employment Mediation Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
M-1. Agreement of Parties. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
M-2. Initiation of Mediation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
M-3. Fixing of Locale (the city, county, state, territory and, if applicable, country of
the mediation). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
M-4. Representation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
M-5. Appointment of the Mediator. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
M-6. Mediator’s Impartiality and Duty to Disclose. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
M-7. Vacancies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
M-8. Duties and Responsibilities of the Mediator. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
M-9. Responsibilities of the Parties. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
M-10. Privacy.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
M-11. Confidentiality. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
M-12. No Stenographic Record. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
M-13. Termination of Mediation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
M-14. Exclusion of Liability. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
M-15. Interpretation and Application of Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
M-16. Deposits. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
M-17. Expenses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
M-18. Cost of the Mediation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
Rule 38 – Serving of Notice, Revised January 1, 2023. Fee Schedule Amended and Effective January 1, 2023. EMPLOYMENT RULES 5
Employment Arbitration Rules
and Mediation Procedures
Introduction
Federal and state laws reflecting societal intolerance for certain workplace
conduct, as well as court decisions interpreting and applying those statutes, have
redefined responsible corporate practice and employee relations. Increasingly,
employers and employees face workplace disputes involving alleged wrongful
termination, sexual harassment, or discrimination based on race, color, religion,
sex, sexual orientation, national origin, age and disability.
As courts and administrative agencies become less accessible to civil litigants,
alternative dispute resolution (ADR) procedures have become more common
in contracts of employment, personnel manuals, and employee handbooks as
a means of resolving workplace disputes privately, promptly and economically.
Millions of workers are now covered by employment ADR clauses administered
by the American Arbitration Association (AAA).
The American Arbitration Association, a not-for-profit, public service organization,
offers a broad range of dispute resolution services to business executives,
attorneys, individuals, trade associations, unions, management, consumers, and
all levels of government. Services are available through AAA headquarters in
New York City and offices in major cities throughout the United States and
internationally. Hearings may be held at locations convenient for the parties and
are not limited to cities with AAA offices. In addition, the AAA serves as a center
for education and training, issues specialized publications, and conducts research
on various forms of alternative dispute resolution.
The Employment Due Process Protocol
The Employment Due Process Protocol was developed in 1995 by a special Task
Force composed of individuals representing management, labor, employment,
civil rights organizations, private administrative agencies, government, and the
American Arbitration Association. The Due Process Protocol, which was endorsed
6 RULES AND MEDIATION PROCEDURES American Arbitration Association
by the Association in 1995, seeks to ensure fairness and equity in resolving
workplace disputes. It encourages mediation and arbitration of statutory
disputes, provided there are due process safeguards. It conveys the hope that
ADR will reduce delays caused by the huge backlog of cases pending before
administrative agencies and the courts. The Due Process Protocol “recognizes
the dilemma inherent in the timing of an agreement to mediate and/or arbitrate
statutory disputes” but does not take a position on whether an employer can
require a pre-dispute, binding arbitration program as a condition of employment.
The Due Process Protocol has been endorsed by organizations representing a
broad range of constituencies. They include the American Arbitration
Association, the American Bar Association Labor and Employment Section, the
American Civil Liberties Union, the Federal Mediation and Conciliation Service,
the National Academy of Arbitrators, and the National Society of Professionals in
Dispute Resolution. The National Employment Lawyers Association has endorsed
the substantive provisions of the Due Process Protocol.
It has been incorporated into the Report of the United States Secretary of Labor’s
Task Force in Excellence in State and Local Government and cited with approval
in numerous court opinions.
AAA’s Employment ADR Rules
On June 1, 1996, the Association issued National Rules for the Resolution of
Employment Disputes (now known as the Employment Arbitration Rules and
Mediation Procedures). The rules reflected the guidelines outlined in the
Due Process Protocol and were based upon the AAA’s California Employment
Dispute Resolution Rules, which were developed by a committee of employment
management and plaintiff attorneys, retired judges and arbitrators, in addition to
Association executives. The revised rules were developed for employers and
employees who wish to use a private alternative to resolve their disputes and
included procedures which ensure due process in both the mediation and
arbitration of employment disputes. The rules enabled parties to have complaints
heard by an impartial person of their joint selection, with expertise in the
employment field.
AAA’s Policy on Employment ADR
The AAA’s policy on employment ADR is guided by the state of existing law, as
well as its obligation to act in an impartial manner. In following the law, and in
the interest of providing an appropriate forum for the resolution of employment
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disputes, the Association administers dispute resolution programs which meet
the due process standards as outlined in its Employment Arbitration Rules
and Mediation Procedures and the Due Process Protocol. If the Association
determines that a dispute resolution program on its face substantially and
materially deviates from the minimum due process standards of the Employment
Arbitration Rules and Mediation Procedures and the Due Process Protocol, the
Association may decline to administer cases under that program. Other issues
will be presented to the arbitrator for determination.
Notification
If an employer intends to utilize the dispute resolution services of the Association
in an employment ADR plan, it should at least 30 days prior to the planned
effective date of the program: (1) notify the Association of its intention to do so;
and (2) provide the Association with a copy of the employment dispute
resolution plan. If an employer does not comply with this requirement, the
Association reserves the right to decline its administrative services. Copies of all
plans should be sent to the American Arbitration Association, 1101 Laurel Oak
Road, Suite 100, Voorhees, NJ 08043; Email: casefiling@adr.org.
Designing an ADR Program
The guiding principle in designing a successful employment ADR system is that it
must be fair in fact and perception.
The American Arbitration Association encourages employers to consider the
wide range of legally-available options to resolve workplace disputes outside
the courtroom. A special emphasis is placed by the Association on encouraging
the development of in-house dispute resolution procedures, such as open door
policies, ombuds, peer review and internal mediation. The Association
recommends an external mediation component to resolve disputes not settled
by the internal dispute resolution process.
Programs which use arbitration as a final step may employ:
• pre-dispute, voluntary final and binding arbitration;
• pre-dispute, mandatory nonbinding arbitration;
• pre-dispute, mandatory final and binding arbitration; or
• post-dispute, voluntary final and binding arbitration.
8 RULES AND MEDIATION PROCEDURES American Arbitration Association
Although the AAA administers binding arbitration systems that have been
required as a condition of initial or continued employment, such programs must
be consistent with the Association’s Employment Arbitration Rules and Mediation
Procedures and the Employment Due Process Protocol.
Specific guidance on the responsible development and design of employment
ADR systems is contained in the Association’s publication, Resolving Employment
Disputes: A Practical Guide, which is available from the AAA’s website,
www.adr.org.
Types of Disputes Covered
These dispute resolution procedures were developed for arbitration agreements
contained in employee personnel manuals, an employment application of an
individual employment agreement, independent contractor agreements for
workplace disputes and other types of employment agreements or workplace
agreements, or can be used for a specific dispute. They do not apply to disputes
arising out of collective bargaining agreements.
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Employment Arbitration Rules and Mediation Procedures
1. Applicable Rules of Arbitration
The parties shall be deemed to have made these rules a part of their arbitration
agreement whenever they have provided for arbitration by the American
Arbitration Association (hereinafter “AAA”) or under its Employment Arbitration
Rules and Mediation Procedures or for arbitration by the AAA of an employment
dispute without specifying particular rules*. If a party establishes that an adverse
material inconsistency exists between the arbitration agreement and these rules,
the arbitrator shall apply these rules.
If, within 30 days after the AAA’s commencement of administration, a party seeks
judicial intervention with respect to a pending arbitration and provides the AAA
with documentation that judicial intervention has been sought, the AAA will
suspend administration for 60 days to permit the party to obtain a stay of
arbitration from the court. These rules, and any amendment of them, shall apply
in the form in effect at the time the demand for arbitration or submission is
received by the AAA.
* The National Rules for the Resolution of Employment Disputes have been re-named the Employment Arbitration
Rules and Mediation Procedures. Any arbitration agreements providing for arbitration under its National Rules for
the Resolution of Employment Disputes shall be administered pursuant to these Employment Arbitration Rules
and Mediation Procedures.
2. Notification
An employer intending to incorporate these rules or to refer to the dispute
resolution services of the AAA in an employment ADR plan, shall, at least 30 days
prior to the planned effective date of the program:
i. notify the Association of its intention to do so and,
ii. provide the Association with a copy of the employment dispute resolution plan.
Compliance with this requirement shall not preclude an arbitrator from
entertaining challenges as provided in Section 1. If an employer does not
comply with this requirement, the Association reserves the right to decline its
administrative services.
10 RULES AND MEDIATION PROCEDURES American Arbitration Association
3. AAA as Administrator of the Arbitration
When parties agree to arbitrate under these rules, or when they provide for
arbitration by the AAA and an arbitration is initiated under these rules, they
thereby authorize the AAA to administer the arbitration. The authority and duties
of the AAA are prescribed in these rules, and may be carried out through such of
the AAA’s representatives as it may direct. The AAA may, in its discretion, assign
the administration of an arbitration to any of its offices.
4. Initiation of Arbitration
Arbitration shall be initiated in the following manner.
a. The parties may submit a joint request for arbitration.
b. In the absence of a joint request for arbitration:
(i) The initiating party (hereinafter “Claimant[s]”) shall:
(1) File a written notice (hereinafter “Demand”) of its intention to arbitrate at
any office of the AAA, within the time limit established by the applicable
statute of limitations. Any dispute over the timeliness of the demand
shall be referred to the arbitrator. The filing shall be made in duplicate,
and each copy shall include the applicable arbitration agreement. The
Demand shall set forth the names, addresses, and telephone numbers of
the parties; a brief statement of the nature of the dispute; the amount in
controversy, if any; the remedy sought; and requested hearing location.
(2) Simultaneously provide a copy of the Demand to the other party
(hereinafter “Respondent[s]”).
(3) Include with its Demand the applicable filing fee, unless the parties agree
to some other method of fee advancement.
(ii) The Respondent(s) may file an Answer with the AAA within 15 days after the
date of the letter from the AAA acknowledging receipt of the Demand. The
Answer shall provide the Respondent’s brief response to the claim and the
issues presented. The Respondent(s) shall make its filing in duplicate with the
AAA, and simultaneously shall send a copy of the Answer to the Claimant.
If no answering statement is filed within the stated time, Respondent will be
deemed to deny the claim. Failure to file an answering statement shall not
operate to delay the arbitration.
(iii) The Respondent(s):
(1) May file a counterclaim with the AAA within 15 days after the date of the
letter from the AAA acknowledging receipt of the Demand. The filing
shall be made in duplicate. The counterclaim shall set forth the nature of
the claim, the amount in controversy, if any, and the remedy sought.
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(2) Simultaneously shall send a copy of any counterclaim to the Claimant.
(3) Shall include with its filing the applicable filing fee provided for by these
rules.
(iv) The Claimant may file an Answer to the counterclaim with the AAA within
15 days after the date of the letter from the AAA acknowledging receipt of
the counterclaim. The Answer shall provide Claimant’s brief response to the
counterclaim and the issues presented. The Claimant shall make its filing in
duplicate with the AAA, and simultaneously shall send a copy of the Answer
to the Respondent(s). If no answering statement is filed within the stated time,
Claimant will be deemed to deny the counterclaim. Failure to file an answering
statement shall not operate to delay the arbitration.
c. The form of any filing in these rules shall not be subject to technical pleading
requirements.
5. Changes of Claim
Before the appointment of the arbitrator, if either party desires to offer a new or
different claim or counterclaim, such party must do so in writing by filing a written
statement with the AAA and simultaneously provide a copy to the other party(s),
who shall have 15 days from the date of such transmittal within which to file an
answer with the AAA. After the appointment of the arbitrator, a party may offer a
new or different claim or counterclaim only at the discretion of the arbitrator.
6. Jurisdiction
a. The arbitrator shall have the power to rule on his or her own jurisdiction, including
any objections with respect to the existence, scope or validity of the arbitration
agreement.
b. The 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 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 the arbitrator or to the arbitrability of a
claim or counterclaim no later than the filing of the answering statement to the
claim or counterclaim that gives rise to the objection. The arbitrator may rule on
such objections as a preliminary matter or as part of the final award.
7. Administrative and Mediation Conferences
Before the appointment of the arbitrator, any party may request, or the AAA, in
its discretion, may schedule an administrative conference with a representative
of the AAA and the parties and/or their representatives. The purpose of the
12 RULES AND MEDIATION PROCEDURES American Arbitration Association
administrative conference is to organize and expedite the arbitration, explore
its administrative aspects, establish the most efficient means of selecting an
arbitrator, and to consider mediation as a dispute resolution option. There is no
administrative fee for this service.
At any time after the filing of the Demand, with the consent of the parties, the
AAA will arrange a mediation conference under its Mediation Procedures to
facilitate settlement. The mediator shall not be any arbitrator appointed to the
case, except by mutual written agreement of the parties. There is no additional
filing fee for initiating a mediation under the AAA Mediation Procedures for
parties to a pending arbitration.
8. Arbitration Management Conference
As promptly as practicable after the selection of the arbitrator(s), but not later
than 60 days thereafter, an arbitration management conference shall be held
among the parties and/or their attorneys or other representatives and the
arbitrator(s). Unless the parties agree otherwise, the Arbitration Management
Conference will be conducted by telephone conference call rather than
in person. At the Arbitration Management Conference the matters to be
considered shall include, without limitation:
i. the issues to be arbitrated;
ii. the date, time, place, and estimated duration of the hearing;
iii. the resolution of outstanding discovery issues and establishment of discovery
parameters;
iv. the law, standards, rules of evidence and burdens of proof that are to apply to
the proceeding;
v. the exchange of stipulations and declarations regarding facts, exhibits,
witnesses, and other issues;
vi. the names of witnesses (including expert witnesses), the scope of witness
testimony, and witness exclusion;
vii. the value of bifurcating the arbitration into a liability phase and damages phase;
viii. the need for a stenographic record;
ix. whether the parties will summarize their arguments orally or in writing;
x. the form of the award;
xi. any other issues relating to the subject or conduct of the arbitration;
xii. the allocation of attorney’s fees and costs;
xiii. the specification of undisclosed claims;
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xiv. the extent to which documentary evidence may be submitted at the hearing;
xv. the extent to which testimony may be admitted at the hearing telephonically,
over the internet, by written or video-taped deposition, by affidavit, or by any
other means;
xvi. any disputes over the AAA’s determination regarding whether the dispute
arose from an individually-negotiated employment agreement or contract, or
from an employer plan (see Costs of Arbitration section).
The arbitrator shall issue oral or written orders reflecting his or her decisions on
the above matters and may conduct additional conferences when the need arises.
There is no AAA administrative fee for an Arbitration Management Conference.
9. Discovery
The arbitrator shall have the authority to order such discovery, by way of
deposition, interrogatory, document production, or otherwise, as the arbitrator
considers necessary to a full and fair exploration of the issues in dispute,
consistent with the expedited nature of arbitration.
The AAA does not require notice of discovery related matters and communications
unless a dispute arises. At that time, the parties should notify the AAA of the
dispute so that it may be presented to the arbitrator for determination.
10. Fixing of Locale (the city, county, state, territory, and/or country of the
Arbitration)
If the parties disagree as to the locale, the AAA may initially determine the place
of arbitration, subject to the power of the arbitrator(s), after their appointment to
make a final determination on the locale. All such determinations shall be made
having regard for the contentions of the parties and the circumstances of the
arbitration.
11. Date, Time and Place (the physical site of the hearing within the designated
locale) of Hearing
The arbitrator shall set the date, time, and place for each hearing. The parties
shall respond to requests for hearing dates in a timely manner, be cooperative in
scheduling the earliest practicable date, and adhere to the established hearing
schedule. The AAA shall send a notice of hearing to the parties at least 10 days in
advance of the hearing date, unless otherwise agreed by the parties.
14 RULES AND MEDIATION PROCEDURES American Arbitration Association
12. Number, Qualifications and Appointment of Neutral Arbitrators
a. If the arbitration agreement does not specify the number of arbitrators or the
parties do not agree otherwise, the dispute shall be heard and determined by one
arbitrator.
b. Qualifications
i. Neutral arbitrators serving under these rules shall be experienced in the field
of employment law.
ii. Neutral arbitrators serving under these rules shall have no personal or
financial interest in the results of the proceeding in which they are appointed
and shall have no relation to the underlying dispute or to the parties or their
counsel that may create an appearance of bias.
iii. The roster of available arbitrators will be established on a non-discriminatory
basis, diverse by gender, ethnicity, background, and qualifications.
iv. The AAA may, upon request of a party within the time set to return their list or
upon its own initiative, supplement the list of proposed arbitrators in disputes
arising out of individually-negotiated employment contracts with persons
from the Commercial Roster, to allow the AAA to respond to the particular
need of the dispute. In multi-arbitrator disputes, at least one of the arbitrators
shall be experienced in the field of employment law.
c. If the parties have not appointed an arbitrator and have not provided any method
of appointment, the arbitrator shall be appointed in the following manner:
i. Shortly after it receives the Demand, the AAA shall send simultaneously to
each party a letter containing an identical list of names of persons chosen
from the Employment Dispute Resolution Roster. The parties are encouraged
to agree to an arbitrator from the submitted list and to advise the AAA of
their agreement.
ii. If the parties are unable to agree upon an arbitrator, each party to the dispute
shall have 15 days from the transmittal date in which to strike names objected
to, number the remaining names in 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.
iii. 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 on
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
list, the AAA shall have the power to make the appointment from among
other members of the panel without the submission of additional lists.
Rule 38 – Serving of Notice, Revised January 1, 2023. Fee Schedule Amended and Effective January 1, 2023. EMPLOYMENT RULES 15
13. Party Appointed Arbitrators
a. If the agreement of the parties names an arbitrator or specifies a method of
appointing an arbitrator, that designation or method shall be followed.
b. Where the parties have agreed that each party is to name one arbitrator, the
arbitrators so named must meet the standards of Section R-16 with respect to
impartiality and independence unless the parties have specifically agreed
pursuant to Section R-16(a) that the party-appointed arbitrators are to be
non-neutral and need not meet those standards. The notice of appointment, with
the name, address, and contact information of the arbitrator, shall be filed with the
AAA by the appointing party. Upon the request of any appointing party, the AAA
shall submit a list of members of the National Roster from which the party may, if it
so desires, make the appointment.
c. If the agreement specifies a period of time within which an arbitrator shall be
appointed and any party fails to make the appointment within that period, the
AAA shall make the appointment.
d. If no period of time is specified in the agreement, the AAA shall notify the party
to make the appointment. If within 15 days after such notice has been sent, an
arbitrator has not been appointed by a party, the AAA shall make the appointment.
14. Appointment of Chairperson by Party-Appointed Arbitrators or Parties
a. If, pursuant to Section R-13, either the parties have directly appointed
arbitrators, or the arbitrators have been appointed by the AAA, and the parties
have authorized them to appoint a chairperson within a specified time and no
appointment is made within that time or any agreed extension, the AAA may
appoint the chairperson.
b. If no period of time is specified for appointment of the chairperson and the
party-appointed arbitrators or the parties do not make the appointment within
15 days from the date of the appointment of the last party-appointed arbitrator,
the AAA may appoint the chairperson.
c. If the parties have agreed that their party-appointed arbitrators shall appoint the
chairperson from the National Roster, the AAA shall furnish to the party-appointed
arbitrators, in the manner provided in Section R-12, a list selected from the
National Roster, and the appointment of the chairperson shall be made as provided
in that Section.
15. Disclosure
a. Any person appointed or to be appointed as an arbitrator shall disclose to the
AAA any circumstance likely to give rise to justifiable doubt as to the arbitrator’s
impartiality or independence, including any bias or any financial or personal
interest in the result of the arbitration or any past or present relationship with the
parties or their representatives. Such obligation shall remain in effect throughout
the arbitration.
16 RULES AND MEDIATION PROCEDURES American Arbitration Association
b. Upon receipt of such information from the arbitrator or another source, the AAA
shall communicate the information to the parties and, if it deems it appropriate to
do so, to the arbitrator and others.
c. In order to encourage disclosure by arbitrators, disclosure of information pursuant
to this Section R-15 is not to be construed as an indication that the arbitrator
considers that the disclosed circumstance is likely to affect impartiality or
independence.
16. Disqualification of Arbitrator
a. Any arbitrator shall be impartial and independent and shall perform his or her
duties with diligence and in good faith, and shall be subject to disqualification for:
i. partiality or lack of independence,
ii. inability or refusal to perform his or her duties with diligence and in good
faith, and
iii. any grounds for disqualification provided by applicable law. The parties may
agree in writing, however, that arbitra
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1 JESSICA RIGGIN (SBN 281712) jriggin@rukinhyland.com 2 RUKIN HYLAND & RIGGIN LLP 1939 Harrison Street, Suite 925 3 Oakland, CA 94612 4 Telephone: (415) 421-1800 Facsimile: (415) 421-1700 5 MATTHEW HELLAND (SBN 250451) 6 helland@nka.com DANIEL BROME (SBN 278915) 7 dbrome@nka.com 8 NICHOLS KASTER, LLP 235 Montgomery St., Suite 810 9 San Francisco, CA 94104 Telephone: (415) 277-7235 10 Facsimile: (415) 277-7238 11 Attorneys for Plaintiffs 12 13 SUPERIOR COURT OF THE STATE OF CALIFORNIA 14 COUNTY OF SAN MATEO 15 16 ALIDA MAZARIEGOS, PAULA Case No. 20-CIV-04267 GONZALEZ, JAIME AMAYA, ADRIANA 17 TELLO, and RYNE BASS RYNE BASS’ REQUEST FOR JUDICIAL 18 NOTICE IN SUPPORT OF PLAINTIFFS’ Plaintiffs, on behalf of themselves OPPOSITION TO DEFENDANTS’ 19 and all others similarly situated, MOTIONS TO COMPEL ARBITRATION OF RYNE BASS AND ADRIANA TELLO 20 v. 21 VANGUARD CLEANING SYSTEMS, Judge: Hon. Nancy L. Fineman INC.; RR FRANCHISING, INC., D/B/A 22 Dept.: 04 VANGUARD CLEANING SYSTEMS OF Date: December 5, 2023 SOUTHERN CALIFORNIA AND D/B/A 23 Time: 2:00 p.m. VANGUARD CLEANING SYSTEMS OF 24 NORTHERN CALIFORNIA; BUDDHA CAPITAL CORPORATION, D/B/A 25 VANGUARD CLEANING SYSTEMS OF SACRAMENTO, D/B/A VANGUARD 26 CLEANING SYSTEMS OF THE CENTRAL VALLEY, AND D/B/A 27 VANGUARD CLEANING SYSTEMS OF 28 REQUEST FOR JUDICIAL NOTICE IN SUPPORT OF PLAINTIFFS’ OPPOSITION TO MOTIONS TO COMPEL ARBITRATION THE CENTRAL COAST; AND WINE 1 COUNTRY VENTURES, INC. D/B/A 2 VANGUARD CLEANING SYSTEMS OF THE NORTH BAY, AND DOES 1 3 THROUGH 10, INCLUSIVE, 4 Defendants. 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 REQUEST FOR JUDICIAL NOTICE IN SUPPORT OF PLAINTIFFS’ OPPOSITION TO MOTIONS TO COMPEL ARBITRATION 1 TO ALL PARTIES AND THEIR COUNSEL OF RECORD: 2 PLEASE TAKE NOTICE that pursuant to California Rules of Court 8.252(a) and 3 California Evidence Code 452, Plaintiffs Adriana Tello and Ryne Bass (“Plaintiffs”) hereby 4 respectfully requests that, in considering Plaintiffs’ Opposition to Defendants RR Franchising 5 Inc. and Vanguard Cleaning Systems, Inc.’s Joint Motion to Compel Arbitration of Ryne Bass, 6 and Defendants Wine Country Ventures, Inc. and Vanguard Cleaning Systems, Inc.’s Joint 7 Motion to Compel Arbitration of Adriana Tello, this Court take Judicial notice of the following: 8 Exhibit A: American Arbitration Association Employment Arbitration Rules and 9 Mediation Procedures 10 Exhibit B: American Arbitration Association Commercial Administrative Fee Schedule 11 Exhibit C: American Arbitration Association Employment/Workplace Fee Schedule 12 Exhibit D: American Arbitration Association Commercial Arbitration Rules and 13 Mediation Procedures 14 MEMORANDUM 15 The Court should take judicial notice of Exhibits A through D pursuant to Evidence Code 16 § 452 and 453. Section 453 provides that a trial court “shall take judicial notice of any matter” 17 specified in Section 452, provided that the party requesting notice: (a) gives each adverse party 18 sufficient notice of the request to enable that party to “prepare to meet the request”; and (b) 19 “[f]urnishes the court with sufficient information to enable it to take judicial notice of the 20 matter.” (Evid. Code § 453.) The instant request and documents filed herewith satisfy the 21 requirements of Section 453 by providing all parties with notice adequate to enable them to 22 oppose the request, and by providing this Court with both the entire materials for which notice is 23 requested and detailed argument concerning the propriety of taking judicial notice of the subject 24 document. 25 Based on the foregoing, Plaintiff respectfully requests that the Court take judicial notice 26 of Exhibits A through D. 27 28 1 REQUEST FOR JUDICIAL NOTICE IN SUPPORT OF PLAINTIFFS’ OPPOSITION TO MOTIONS TO COMPEL ARBITRATION 1 2 Dated: October 31, 2023 3 NICHOLS KASTER, LLP 4 By: /s/ Daniel S. Brome 5 Matthew C. Helland Daniel S. Brome 6 Dated: October 31, 2023 7 RUKIN HYLAND & RIGGIN LLP 8 By: /s/ Jessica Riggin 9 Jessica Riggin 10 Attorneys for Plaintiffs 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 2 REQUEST FOR JUDICIAL NOTICE IN SUPPORT OF PLAINTIFFS’ OPPOSITION TO MOTIONS TO COMPEL ARBITRATION EXHIBIT A Employment Arbitration Rules and Mediation Procedures Available online at adr.org/employment Rule 38 – Serving of Notice, Revised January 1, 2023 Fee Schedule Amended and Effective January 1, 2023 Regional Vice Presidents and Assistant Vice Presidents States: Delaware, District of Columbia, Maryland, States: Alaska, Arizona, California, Hawaii, Idaho, New Jersey, Pennsylvania Nevada, Oregon, Utah, Washington Kenneth Egger Patrick Tatum Vice President Vice President Phone: 215.731.2281 Phone: 559.490.1905 Email: EggerK@adr.org Email: TatumP@adr.org States: Colorado, Illinois, Iowa, Kansas, Michigan, States: Alabama, Florida, Georgia, Louisiana, Minnesota, Missouri, Montana, Nebraska, Mississippi, Texas New Mexico, North Dakota, South Dakota, Charles Dorsey Wisconsin, Wyoming Assistant Vice President Jan Holdinski Phone: 866.686.6024 Vice President Email: DorseyC@adr.org Phone: 248.352.5509 Email: HoldinskiJ@adr.org States: Rhode Island Heather Santo States: Connecticut, Maine, Massachusetts, Assistant Vice President New Hampshire, New York, Vermont Phone: 866.293.4053 Ann Lesser, Esq. Email: SantoH@adr.org Vice President Phone: 212.484.4084 Email: LesserA@adr.org States: Arkansas, Indiana, Kentucky, North Carolina, Ohio, Oklahoma, South Carolina, Tennessee, Virginia, West Virginia Aaron Schmidt Vice President Phone: 440.596.3789 Email: SchmidtA@adr.org Case Management Vice President and Assistant Vice Presidents Southeast Case Management Center Western Case Management Center Charles Dorsey Patrick Tatum Assistant Vice President Vice President Phone: 866.686.6024 Phone: 559.490.1905 Email: DorseyC@adr.org Email: TatumP@adr.org Administers cases in Alabama, Arkansas, Florida, Administers cases in Alaska, Arizona, California, Georgia, Kentucky, Louisiana, Mississippi, Hawaii, Idaho, Nevada, Oregon, Utah, Washington North Carolina, Ohio, Puerto Rico, South Carolina, Tennessee, US Virgin Islands, Virginia Central Case Management Center Charles Dorsey Northeast Case Management Center Assistant Vice President Heather Santo Phone: 866.686.6024 Assistant Vice President Email: DorseyC@adr.org Phone: 866.293.4053 Administers cases in Colorado, Illinois, Indiana, Email: SantoH@adr.org Iowa, Kansas, Minnesota, Missouri, Montana, Administers cases in Connecticut, Delaware, Nebraska, New Mexico, North Dakota, Oklahoma, District of Columbia, Maine, Maryland, South Dakota, Texas, Wisconsin, Wyoming Massachusetts, Michigan, New Hampshire, New Jersey, New York, Pennsylvania, Rhode Island, Vermont, West Virginia 2 RULES AND MEDIATION PROCEDURES American Arbitration Association Table of Contents Introduction.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 The Employment Due Process Protocol. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 AAA’s Employment ADR Rules.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Designing an ADR Program. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Types of Disputes Covered.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Employment Arbitration Rules and Mediation Procedures. . . . . . . . . . . . . . . . . . . . . . . . 10 1. Applicable Rules of Arbitration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 2. Notification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 3. AAA as Administrator of the Arbitration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 4. Initiation of Arbitration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 5. Changes of Claim. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 6. Jurisdiction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 7. Administrative and Mediation Conferences. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 8. Arbitration Management Conference. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 9. Discovery. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 10. Fixing of Locale (the city, county, state, territory, and/or country of the Arbitration). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 11. Date, Time and Place (the physical site of the hearing within the designated locale) of Hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 12. Number, Qualifications and Appointment of Neutral Arbitrators. . . . . . . . . . . . . . . . . . 15 13. Party Appointed Arbitrators. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 14. Appointment of Chairperson by Party-Appointed Arbitrators or Parties. . . . . . . . . . . 16 15. Disclosure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 16. Disqualification of Arbitrator.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 17. Communication with Arbitrator. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 18. Vacancies.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 19. Representation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 20. Stenographic Record.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 21. Interpreters.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 22. Attendance at Hearings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 23. Confidentiality. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 24. Postponements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 25. Oaths. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 Rule 38 – Serving of Notice, Revised January 1, 2023. Fee Schedule Amended and Effective January 1, 2023. EMPLOYMENT RULES 3 26. Majority Decision. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 27. Dispositive Motions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 28. Order of Proceedings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 29. Arbitration in the Absence of a Party or Representative. . . . . . . . . . . . . . . . . . . . . . . . . . 20 30. Evidence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 31. Inspection. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 32. Interim Measures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 33. Closing of Hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 34. Reopening of Hearing.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 35. Waiver of Oral Hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 36. Waiver of Objection/Lack of Compliance with These Rules. . . . . . . . . . . . . . . . . . . . . . . 22 37. Extensions of Time.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 38. Serving of Notice. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 39. The Award.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 40. Modification of Award.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 41. Release of Documents for Judicial Proceedings.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 42. Applications to Court. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 43. Administrative Fees. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 44. Neutral Arbitrator’s Compensation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 45. Expenses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 46. Deposits. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 47. Suspension for Non-Payment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 48. Interpretation and Application of Rules.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 AAA Administrative Fees for Employment/Workplace Cases. . . . . . . . . . . . . . . . . . . . . 26 Optional Rules for Emergency Measures of Protection. . . . . . . . . . . . . . . . . . . . . . . . . . . 27 O-1. Applicability.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 O-2. Appointment of Emergency Arbitrator. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 O-3. Schedule.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 O-4. Interim Award. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 O-5. Constitution of the Panel.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 O-6. Security. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 O-7. Special Master. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 O-8. Costs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 4 RULES AND MEDIATION PROCEDURES American Arbitration Association Employment Mediation Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 M-1. Agreement of Parties. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 M-2. Initiation of Mediation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 M-3. Fixing of Locale (the city, county, state, territory and, if applicable, country of the mediation). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 M-4. Representation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 M-5. Appointment of the Mediator. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 M-6. Mediator’s Impartiality and Duty to Disclose. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 M-7. Vacancies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 M-8. Duties and Responsibilities of the Mediator. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 M-9. Responsibilities of the Parties. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 M-10. Privacy.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 M-11. Confidentiality. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 M-12. No Stenographic Record. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 M-13. Termination of Mediation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 M-14. Exclusion of Liability. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 M-15. Interpretation and Application of Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 M-16. Deposits. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 M-17. Expenses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 M-18. Cost of the Mediation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 Rule 38 – Serving of Notice, Revised January 1, 2023. Fee Schedule Amended and Effective January 1, 2023. EMPLOYMENT RULES 5 Employment Arbitration Rules and Mediation Procedures Introduction Federal and state laws reflecting societal intolerance for certain workplace conduct, as well as court decisions interpreting and applying those statutes, have redefined responsible corporate practice and employee relations. Increasingly, employers and employees face workplace disputes involving alleged wrongful termination, sexual harassment, or discrimination based on race, color, religion, sex, sexual orientation, national origin, age and disability. As courts and administrative agencies become less accessible to civil litigants, alternative dispute resolution (ADR) procedures have become more common in contracts of employment, personnel manuals, and employee handbooks as a means of resolving workplace disputes privately, promptly and economically. Millions of workers are now covered by employment ADR clauses administered by the American Arbitration Association (AAA). The American Arbitration Association, a not-for-profit, public service organization, offers a broad range of dispute resolution services to business executives, attorneys, individuals, trade associations, unions, management, consumers, and all levels of government. Services are available through AAA headquarters in New York City and offices in major cities throughout the United States and internationally. Hearings may be held at locations convenient for the parties and are not limited to cities with AAA offices. In addition, the AAA serves as a center for education and training, issues specialized publications, and conducts research on various forms of alternative dispute resolution. The Employment Due Process Protocol The Employment Due Process Protocol was developed in 1995 by a special Task Force composed of individuals representing management, labor, employment, civil rights organizations, private administrative agencies, government, and the American Arbitration Association. The Due Process Protocol, which was endorsed 6 RULES AND MEDIATION PROCEDURES American Arbitration Association by the Association in 1995, seeks to ensure fairness and equity in resolving workplace disputes. It encourages mediation and arbitration of statutory disputes, provided there are due process safeguards. It conveys the hope that ADR will reduce delays caused by the huge backlog of cases pending before administrative agencies and the courts. The Due Process Protocol “recognizes the dilemma inherent in the timing of an agreement to mediate and/or arbitrate statutory disputes” but does not take a position on whether an employer can require a pre-dispute, binding arbitration program as a condition of employment. The Due Process Protocol has been endorsed by organizations representing a broad range of constituencies. They include the American Arbitration Association, the American Bar Association Labor and Employment Section, the American Civil Liberties Union, the Federal Mediation and Conciliation Service, the National Academy of Arbitrators, and the National Society of Professionals in Dispute Resolution. The National Employment Lawyers Association has endorsed the substantive provisions of the Due Process Protocol. It has been incorporated into the Report of the United States Secretary of Labor’s Task Force in Excellence in State and Local Government and cited with approval in numerous court opinions. AAA’s Employment ADR Rules On June 1, 1996, the Association issued National Rules for the Resolution of Employment Disputes (now known as the Employment Arbitration Rules and Mediation Procedures). The rules reflected the guidelines outlined in the Due Process Protocol and were based upon the AAA’s California Employment Dispute Resolution Rules, which were developed by a committee of employment management and plaintiff attorneys, retired judges and arbitrators, in addition to Association executives. The revised rules were developed for employers and employees who wish to use a private alternative to resolve their disputes and included procedures which ensure due process in both the mediation and arbitration of employment disputes. The rules enabled parties to have complaints heard by an impartial person of their joint selection, with expertise in the employment field. AAA’s Policy on Employment ADR The AAA’s policy on employment ADR is guided by the state of existing law, as well as its obligation to act in an impartial manner. In following the law, and in the interest of providing an appropriate forum for the resolution of employment Rule 38 – Serving of Notice, Revised January 1, 2023. Fee Schedule Amended and Effective January 1, 2023. EMPLOYMENT RULES 7 disputes, the Association administers dispute resolution programs which meet the due process standards as outlined in its Employment Arbitration Rules and Mediation Procedures and the Due Process Protocol. If the Association determines that a dispute resolution program on its face substantially and materially deviates from the minimum due process standards of the Employment Arbitration Rules and Mediation Procedures and the Due Process Protocol, the Association may decline to administer cases under that program. Other issues will be presented to the arbitrator for determination. Notification If an employer intends to utilize the dispute resolution services of the Association in an employment ADR plan, it should at least 30 days prior to the planned effective date of the program: (1) notify the Association of its intention to do so; and (2) provide the Association with a copy of the employment dispute resolution plan. If an employer does not comply with this requirement, the Association reserves the right to decline its administrative services. Copies of all plans should be sent to the American Arbitration Association, 1101 Laurel Oak Road, Suite 100, Voorhees, NJ 08043; Email: casefiling@adr.org. Designing an ADR Program The guiding principle in designing a successful employment ADR system is that it must be fair in fact and perception. The American Arbitration Association encourages employers to consider the wide range of legally-available options to resolve workplace disputes outside the courtroom. A special emphasis is placed by the Association on encouraging the development of in-house dispute resolution procedures, such as open door policies, ombuds, peer review and internal mediation. The Association recommends an external mediation component to resolve disputes not settled by the internal dispute resolution process. Programs which use arbitration as a final step may employ: • pre-dispute, voluntary final and binding arbitration; • pre-dispute, mandatory nonbinding arbitration; • pre-dispute, mandatory final and binding arbitration; or • post-dispute, voluntary final and binding arbitration. 8 RULES AND MEDIATION PROCEDURES American Arbitration Association Although the AAA administers binding arbitration systems that have been required as a condition of initial or continued employment, such programs must be consistent with the Association’s Employment Arbitration Rules and Mediation Procedures and the Employment Due Process Protocol. Specific guidance on the responsible development and design of employment ADR systems is contained in the Association’s publication, Resolving Employment Disputes: A Practical Guide, which is available from the AAA’s website, www.adr.org. Types of Disputes Covered These dispute resolution procedures were developed for arbitration agreements contained in employee personnel manuals, an employment application of an individual employment agreement, independent contractor agreements for workplace disputes and other types of employment agreements or workplace agreements, or can be used for a specific dispute. They do not apply to disputes arising out of collective bargaining agreements. Rule 38 – Serving of Notice, Revised January 1, 2023. Fee Schedule Amended and Effective January 1, 2023. EMPLOYMENT RULES 9 Employment Arbitration Rules and Mediation Procedures 1. Applicable Rules of Arbitration The parties shall be deemed to have made these rules a part of their arbitration agreement whenever they have provided for arbitration by the American Arbitration Association (hereinafter “AAA”) or under its Employment Arbitration Rules and Mediation Procedures or for arbitration by the AAA of an employment dispute without specifying particular rules*. If a party establishes that an adverse material inconsistency exists between the arbitration agreement and these rules, the arbitrator shall apply these rules. If, within 30 days after the AAA’s commencement of administration, a party seeks judicial intervention with respect to a pending arbitration and provides the AAA with documentation that judicial intervention has been sought, the AAA will suspend administration for 60 days to permit the party to obtain a stay of arbitration from the court. These rules, and any amendment of them, shall apply in the form in effect at the time the demand for arbitration or submission is received by the AAA. * The National Rules for the Resolution of Employment Disputes have been re-named the Employment Arbitration Rules and Mediation Procedures. Any arbitration agreements providing for arbitration under its National Rules for the Resolution of Employment Disputes shall be administered pursuant to these Employment Arbitration Rules and Mediation Procedures. 2. Notification An employer intending to incorporate these rules or to refer to the dispute resolution services of the AAA in an employment ADR plan, shall, at least 30 days prior to the planned effective date of the program: i. notify the Association of its intention to do so and, ii. provide the Association with a copy of the employment dispute resolution plan. Compliance with this requirement shall not preclude an arbitrator from entertaining challenges as provided in Section 1. If an employer does not comply with this requirement, the Association reserves the right to decline its administrative services. 10 RULES AND MEDIATION PROCEDURES American Arbitration Association 3. AAA as Administrator of the Arbitration When parties agree to arbitrate under these rules, or when they provide for arbitration by the AAA and an arbitration is initiated under these rules, they thereby authorize the AAA to administer the arbitration. The authority and duties of the AAA are prescribed in these rules, and may be carried out through such of the AAA’s representatives as it may direct. The AAA may, in its discretion, assign the administration of an arbitration to any of its offices. 4. Initiation of Arbitration Arbitration shall be initiated in the following manner. a. The parties may submit a joint request for arbitration. b. In the absence of a joint request for arbitration: (i) The initiating party (hereinafter “Claimant[s]”) shall: (1) File a written notice (hereinafter “Demand”) of its intention to arbitrate at any office of the AAA, within the time limit established by the applicable statute of limitations. Any dispute over the timeliness of the demand shall be referred to the arbitrator. The filing shall be made in duplicate, and each copy shall include the applicable arbitration agreement. The Demand shall set forth the names, addresses, and telephone numbers of the parties; a brief statement of the nature of the dispute; the amount in controversy, if any; the remedy sought; and requested hearing location. (2) Simultaneously provide a copy of the Demand to the other party (hereinafter “Respondent[s]”). (3) Include with its Demand the applicable filing fee, unless the parties agree to some other method of fee advancement. (ii) The Respondent(s) may file an Answer with the AAA within 15 days after the date of the letter from the AAA acknowledging receipt of the Demand. The Answer shall provide the Respondent’s brief response to the claim and the issues presented. The Respondent(s) shall make its filing in duplicate with the AAA, and simultaneously shall send a copy of the Answer to the Claimant. If no answering statement is filed within the stated time, Respondent will be deemed to deny the claim. Failure to file an answering statement shall not operate to delay the arbitration. (iii) The Respondent(s): (1) May file a counterclaim with the AAA within 15 days after the date of the letter from the AAA acknowledging receipt of the Demand. The filing shall be made in duplicate. The counterclaim shall set forth the nature of the claim, the amount in controversy, if any, and the remedy sought. Rule 38 – Serving of Notice, Revised January 1, 2023. Fee Schedule Amended and Effective January 1, 2023. EMPLOYMENT RULES 11 (2) Simultaneously shall send a copy of any counterclaim to the Claimant. (3) Shall include with its filing the applicable filing fee provided for by these rules. (iv) The Claimant may file an Answer to the counterclaim with the AAA within 15 days after the date of the letter from the AAA acknowledging receipt of the counterclaim. The Answer shall provide Claimant’s brief response to the counterclaim and the issues presented. The Claimant shall make its filing in duplicate with the AAA, and simultaneously shall send a copy of the Answer to the Respondent(s). If no answering statement is filed within the stated time, Claimant will be deemed to deny the counterclaim. Failure to file an answering statement shall not operate to delay the arbitration. c. The form of any filing in these rules shall not be subject to technical pleading requirements. 5. Changes of Claim Before the appointment of the arbitrator, if either party desires to offer a new or different claim or counterclaim, such party must do so in writing by filing a written statement with the AAA and simultaneously provide a copy to the other party(s), who shall have 15 days from the date of such transmittal within which to file an answer with the AAA. After the appointment of the arbitrator, a party may offer a new or different claim or counterclaim only at the discretion of the arbitrator. 6. Jurisdiction a. The arbitrator shall have the power to rule on his or her own jurisdiction, including any objections with respect to the existence, scope or validity of the arbitration agreement. b. The 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 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 the arbitrator or to the arbitrability of a claim or counterclaim no later than the filing of the answering statement to the claim or counterclaim that gives rise to the objection. The arbitrator may rule on such objections as a preliminary matter or as part of the final award. 7. Administrative and Mediation Conferences Before the appointment of the arbitrator, any party may request, or the AAA, in its discretion, may schedule an administrative conference with a representative of the AAA and the parties and/or their representatives. The purpose of the 12 RULES AND MEDIATION PROCEDURES American Arbitration Association administrative conference is to organize and expedite the arbitration, explore its administrative aspects, establish the most efficient means of selecting an arbitrator, and to consider mediation as a dispute resolution option. There is no administrative fee for this service. At any time after the filing of the Demand, with the consent of the parties, the AAA will arrange a mediation conference under its Mediation Procedures to facilitate settlement. The mediator shall not be any arbitrator appointed to the case, except by mutual written agreement of the parties. There is no additional filing fee for initiating a mediation under the AAA Mediation Procedures for parties to a pending arbitration. 8. Arbitration Management Conference As promptly as practicable after the selection of the arbitrator(s), but not later than 60 days thereafter, an arbitration management conference shall be held among the parties and/or their attorneys or other representatives and the arbitrator(s). Unless the parties agree otherwise, the Arbitration Management Conference will be conducted by telephone conference call rather than in person. At the Arbitration Management Conference the matters to be considered shall include, without limitation: i. the issues to be arbitrated; ii. the date, time, place, and estimated duration of the hearing; iii. the resolution of outstanding discovery issues and establishment of discovery parameters; iv. the law, standards, rules of evidence and burdens of proof that are to apply to the proceeding; v. the exchange of stipulations and declarations regarding facts, exhibits, witnesses, and other issues; vi. the names of witnesses (including expert witnesses), the scope of witness testimony, and witness exclusion; vii. the value of bifurcating the arbitration into a liability phase and damages phase; viii. the need for a stenographic record; ix. whether the parties will summarize their arguments orally or in writing; x. the form of the award; xi. any other issues relating to the subject or conduct of the arbitration; xii. the allocation of attorney’s fees and costs; xiii. the specification of undisclosed claims; Rule 38 – Serving of Notice, Revised January 1, 2023. Fee Schedule Amended and Effective January 1, 2023. EMPLOYMENT RULES 13 xiv. the extent to which documentary evidence may be submitted at the hearing; xv. the extent to which testimony may be admitted at the hearing telephonically, over the internet, by written or video-taped deposition, by affidavit, or by any other means; xvi. any disputes over the AAA’s determination regarding whether the dispute arose from an individually-negotiated employment agreement or contract, or from an employer plan (see Costs of Arbitration section). The arbitrator shall issue oral or written orders reflecting his or her decisions on the above matters and may conduct additional conferences when the need arises. There is no AAA administrative fee for an Arbitration Management Conference. 9. Discovery The arbitrator shall have the authority to order such discovery, by way of deposition, interrogatory, document production, or otherwise, as the arbitrator considers necessary to a full and fair exploration of the issues in dispute, consistent with the expedited nature of arbitration. The AAA does not require notice of discovery related matters and communications unless a dispute arises. At that time, the parties should notify the AAA of the dispute so that it may be presented to the arbitrator for determination. 10. Fixing of Locale (the city, county, state, territory, and/or country of the Arbitration) If the parties disagree as to the locale, the AAA may initially determine the place of arbitration, subject to the power of the arbitrator(s), after their appointment to make a final determination on the locale. All such determinations shall be made having regard for the contentions of the parties and the circumstances of the arbitration. 11. Date, Time and Place (the physical site of the hearing within the designated locale) of Hearing The arbitrator shall set the date, time, and place for each hearing. The parties shall respond to requests for hearing dates in a timely manner, be cooperative in scheduling the earliest practicable date, and adhere to the established hearing schedule. The AAA shall send a notice of hearing to the parties at least 10 days in advance of the hearing date, unless otherwise agreed by the parties. 14 RULES AND MEDIATION PROCEDURES American Arbitration Association 12. Number, Qualifications and Appointment of Neutral Arbitrators a. If the arbitration agreement does not specify the number of arbitrators or the parties do not agree otherwise, the dispute shall be heard and determined by one arbitrator. b. Qualifications i. Neutral arbitrators serving under these rules shall be experienced in the field of employment law. ii. Neutral arbitrators serving under these rules shall have no personal or financial interest in the results of the proceeding in which they are appointed and shall have no relation to the underlying dispute or to the parties or their counsel that may create an appearance of bias. iii. The roster of available arbitrators will be established on a non-discriminatory basis, diverse by gender, ethnicity, background, and qualifications. iv. The AAA may, upon request of a party within the time set to return their list or upon its own initiative, supplement the list of proposed arbitrators in disputes arising out of individually-negotiated employment contracts with persons from the Commercial Roster, to allow the AAA to respond to the particular need of the dispute. In multi-arbitrator disputes, at least one of the arbitrators shall be experienced in the field of employment law. c. If the parties have not appointed an arbitrator and have not provided any method of appointment, the arbitrator shall be appointed in the following manner: i. Shortly after it receives the Demand, the AAA shall send simultaneously to each party a letter containing an identical list of names of persons chosen from the Employment Dispute Resolution Roster. The parties are encouraged to agree to an arbitrator from the submitted list and to advise the AAA of their agreement. ii. If the parties are unable to agree upon an arbitrator, each party to the dispute shall have 15 days from the transmittal date in which to strike names objected to, number the remaining names in 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. iii. 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 on 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 list, the AAA shall have the power to make the appointment from among other members of the panel without the submission of additional lists. Rule 38 – Serving of Notice, Revised January 1, 2023. Fee Schedule Amended and Effective January 1, 2023. EMPLOYMENT RULES 15 13. Party Appointed Arbitrators a. If the agreement of the parties names an arbitrator or specifies a method of appointing an arbitrator, that designation or method shall be followed. b. Where the parties have agreed that each party is to name one arbitrator, the arbitrators so named must meet the standards of Section R-16 with respect to impartiality and independence unless the parties have specifically agreed pursuant to Section R-16(a) that the party-appointed arbitrators are to be non-neutral and need not meet those standards. The notice of appointment, with the name, address, and contact information of the arbitrator, shall be filed with the AAA by the appointing party. Upon the request of any appointing party, the AAA shall submit a list of members of the National Roster from which the party may, if it so desires, make the appointment. c. If the agreement specifies a period of time within which an arbitrator shall be appointed and any party fails to make the appointment within that period, the AAA shall make the appointment. d. If no period of time is specified in the agreement, the AAA shall notify the party to make the appointment. If within 15 days after such notice has been sent, an arbitrator has not been appointed by a party, the AAA shall make the appointment. 14. Appointment of Chairperson by Party-Appointed Arbitrators or Parties a. If, pursuant to Section R-13, either the parties have directly appointed arbitrators, or the arbitrators have been appointed by the AAA, and the parties have authorized them to appoint a chairperson within a specified time and no appointment is made within that time or any agreed extension, the AAA may appoint the chairperson. b. If no period of time is specified for appointment of the chairperson and the party-appointed arbitrators or the parties do not make the appointment within 15 days from the date of the appointment of the last party-appointed arbitrator, the AAA may appoint the chairperson. c. If the parties have agreed that their party-appointed arbitrators shall appoint the chairperson from the National Roster, the AAA shall furnish to the party-appointed arbitrators, in the manner provided in Section R-12, a list selected from the National Roster, and the appointment of the chairperson shall be made as provided in that Section. 15. Disclosure a. Any person appointed or to be appointed as an arbitrator shall disclose to the AAA any circumstance likely to give rise to justifiable doubt as to the arbitrator’s impartiality or independence, including any bias or any financial or personal interest in the result of the arbitration or any past or present relationship with the parties or their representatives. Such obligation shall remain in effect throughout the arbitration. 16 RULES AND MEDIATION PROCEDURES American Arbitration Association b. Upon receipt of such information from the arbitrator or another source, the AAA shall communicate the information to the parties and, if it deems it appropriate to do so, to the arbitrator and others. c. In order to encourage disclosure by arbitrators, disclosure of information pursuant to this Section R-15 is not to be construed as an indication that the arbitrator considers that the disclosed circumstance is likely to affect impartiality or independence. 16. Disqualification of Arbitrator a. Any arbitrator shall be impartial and independent and shall perform his or her duties with diligence and in good faith, and shall be subject to disqualification for: i. partiality or lack of independence, ii. inability or refusal to perform his or her duties with diligence and in good faith, and iii. any grounds for disqualification provided by applicable law. The parties may agree in writing, however, that arbitra