These Rules and Procedures are defined as those specific guidelines to be used in the administration of the Arbitration process. Construction Arbitration Associates, Ltd. will be referenced as CAA within this document. Revised March 31, 2017
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1. Agreement to Arbitration

The Parties shall deem to have made these Rules and Procedures and amendments thereto as a part of their arbitration agreement whenever they provide for Arbitration under applicable state or federal laws and designate CAA as the Administrator.

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2. Initiation of Arbitration

The Claimant shall, within the time specified by the contract, if any, file with the office of CAA a Demand for Arbitration or Submission to Arbitration. The Demand or Submission shall set forth the nature of the dispute, the details of the matters submitted to Arbitration and the remedy or relief sought. One original and one copy of said Demand or Submission form together with the appropriate filing fees (per the Fee Schedule) shall be forwarded to CAA. Two copies of the contract including the arbitration provision shall be submitted with a Demand. Upon receipt, CAA shall appoint an Arbitrator from the Construction / Real Estate Arbitration Panel. CAA shall then give notice of such appointment to each party.

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3. Counterclaims

If the Respondent asserts a counterclaim, it shall file it in writing with CAA with the appropriate filing fee, (per the Fee Schedule), and serve to the Claimant by Certified Mail. The counterclaim shall set forth the nature of that counterclaim, in detail, the matter(s) submitted and any remedy or relief sought.

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4. Change of Claims

After a Demand for Arbitration or counterclaim has been filed with CAA, any new, additional, or change of claim or counterclaim shall be filed with CAA and served upon the other party within ten (10) days prior to any scheduled hearing. Any changes of claim or changes of counterclaim made within 10 days of the hearing must be approved by the Arbitrator.

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5. Establishing Time and Place of Hearing

The Arbitrator shall establish the time and place of the hearing which shall become binding upon the parties. CAA shall give notice ten (10) days in advance of the hearing.

6. Arbitrator’s Qualification and Appointment

Arbitrators appointed, pursuant to these Rules and Procedures, shall be neutral (subject to disqualification by CAA, for any circumstances likely to affect impartiality or bias including any financial or personal interest in the results of the arbitration). Upon receipt of such information, CAA shall consider appointment of an alternate arbitrator.

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7. Disclosure and Challenge

Any person appointed as a neutral Arbitrator shall disclose to CAA, any circumstances likely to affect the impartiality or bias, including any financial or personal interest in the results of the arbitration or any past or present relationship with counsel or either party or their witnesses. Upon receipt of such information, CAA, if deemed appropriate, shall disqualify the Arbitrator and appoint an alternate.

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8. Number of Arbitrators

If the arbitration agreement or submission does not specify the number of Arbitrators, the dispute shall be heard and determined by a single Arbitrator, unless CAA, in its discretion, appoints a greater number of Arbitrators to hear and determine the dispute.

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9. Representation By Counsel

Any party may be represented by counsel and shall immediately notify CAA and the opposing party, in writing, of counsel’s representation. Once a hearing has been scheduled and notice given to the parties, a notice of appearance by counsel will not itself constitute grounds for a continuance.

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10. Stenographic Record

No stenographic record of the proceedings is required, however, any party may, at their own expense, make such a provision prior to the hearing. When any record is transcribed, a copy in a format of the Arbitrator’s choice shall be furnished at no cost to CAA.

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11. Attendance at Hearings

Persons having direct interest in the arbitration are entitled to attend the proceedings. The Arbitrator shall have the authority to require the retirement of witnesses during testimony. It is within the discretion of the Arbitrator to determine the propriety of attendance by any persons present at the hearing.

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12. Postponement of Hearing

Once scheduled, hearings may be postponed by the Arbitrator only for good cause. Written request for postponement must be accompanied by the appropriate fee (per the Fee Schedule) and received no less than 72 hours prior to the hearing date and time. An exception to this Rule can be granted by CAA for court appearances required of parties, counsel or the arbitrator. All parties and counsel shall notify CAA in writing immediately upon notification of a potential scheduling conflict.

13. Adjournment

The Arbitrator may adjourn the proceedings and must take such adjournment when all parties agree thereto in accordance with applicable state or federal laws.

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14. Oaths

Administration of an Arbitrator’s oath shall be in accordance with applicable state and federal laws. Before proceeding with the first hearing or examination of documents, the Arbitrator shall require witnesses to testify under oath and will duly swear each witness.

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15. Arbitration in the Absence of a Party

The Arbitrator may proceed in the absence of a party, who, after due notice, fails to be present or fails to obtain a postponement as prescribed by applicable state or federal laws and these Rules and Procedures. An Award shall not be made solely on the default of a party.

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16. Exchange of Information

Upon application of a party, the Arbitrator may direct the production of documents and other information, as well as the identification of any witnesses to be called in accordance with applicable state or federal laws. Subpoenas, prepared by a party, may be executed by the Arbitrator and returned to that party for service. The Arbitrator is authorized to resolve any disputes concerning the exchange of information. All requests for Rulings by the Arbitrator are subject to a fee.

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17. Evidence

The parties may offer such evidence as they desire and shall produce such additional evidence, as the Arbitrator shall deem necessary for the understanding of the dispute and determination of the Award. Upon the conclusion of witness testimony, either party desiring to submit additional evidence must, within seven (7) days of the witness testimony phase, tender such evidence in writing to CAA and the opposing party by e-mail or Certified Mail, return receipt requested. The opposing party would then have seven (7) additional days to respond to that evidence to CAA in writing, by e-mail or certified mail, return receipt requested. Upon receipt of that evidence, the Arbitrator declares the hearing closed.

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18. Conservation of Property

The Arbitrator may issue Rulings, as they deem necessary to safeguard the property involved in the dispute, without prejudice to the rights of the parties or to the final determination of the dispute.

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19. Extension of Time

The Arbitrator may, in his/her discretion, modify any period of time by mutual agreement of the disputing parties. CAA, for good cause, may extend any period of time established by these Rules and Procedures. CAA shall notify the parties, in writing, of any extension.

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20. Due Notice and Communication with the Arbitrator

Communications, either written or oral, involving a case with any party shall not be conducted in the absence of the other party except in the following circumstances:

a) Discussions relating to arrangements concerning the time and place of hearing. The Arbitrator shall promptly inform all parties of the arrangements.

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b) If a party fails to be present at a hearing after having been given due notice, the Arbitrator may proceed with the hearing as scheduled. Once the Award has been rendered, all communications must be in writing with copies sent to the opposing party.

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21. The Arbitration Award

The Arbitration Award shall conform to the following:

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a) The Award shall be made promptly by the Arbitrator within 30 days following the close of the evidence.

b) The form of the Award shall be written and signed by all Arbitrators joining the Award.

c) The Arbitrator may grant any remedy or relief which is just and equitable and within the terms of the agreement of the parties.

d) The Arbitrator shall assess the fees and expenses equally or in favor of any party as a part of the Award.

e) If parties settle their dispute during the Hearing, the Arbitrator may set forth the terms of that settlement in a “Consent Award” which shall be acknowledged by both parties with their signature.

f) The Arbitrator shall deliver a copy of the Award to each party pursuant to applicable federal or state laws.

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22. Changes of the Award by the Arbitrator

Awards may be changed by the Arbitrator upon the following grounds:

a) Miscalculation of figures or a mistake in the description of any person, property or object referred to in the Award;

b) Awards on matter not submitted to arbitration may be corrected without
affecting the merits of the decision upon issues submitted;

c) The Award is imperfect in a matter of form not affecting the merits of the
dispute.

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Written notice for an application for a change and objections to a change in the Award must be made in accordance with applicable state or federal laws.

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23. Administrative and Arbitrator Fees

As the administrator, CAA sets the fees for providing these services. The currently published Fee Schedule is hereby made a part of these Rules and Procedures. Required fees shall be advanced by the Claimant along with the Demand or Submission to Arbitration subject to final apportionment. Prior to the delivery of an Award, all fees must be paid to CAA.

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24. Application to Court and Exclusion of Liability

a) No judicial proceedings by a party relating to the subject matter of the Arbitration shall be deemed a waiver of a party’s right to arbitrate.

b) Neither CAA nor any Arbitrator in a proceeding under these Rules is a necessary party in any judicial proceedings.

c) Unless the applicable laws, contracts, warranty programs, insurance policies or other documents provide otherwise, the parties to these Rules shall have deemed to have consented that a judgment upon the Arbitration Award may be entered in any state or federal court of competent jurisdiction.

d) Neither CAA nor any Arbitrator shall be liable to any party for any act or omission in connection with any arbitration conducted under the Rules and Procedures.

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25. Application and Interpretation of Rules and Procedures

The Arbitrator shall interpret these Rules and Procedures. All other rules shall be interpreted by CAA. Any party who proceeds with Arbitration after the knowledge that any provision or requirement of these Rules and Procedures has not been complied with or who fails to state an objection thereto, shall be deemed to have waived their right to object.

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26. Request for Compliance Inspection

Request for a compliance inspection shall be made within a reasonable time of the Award delivery date. Upon written request, the Arbitrator rendering the original Award shall establish a date and time for a hearing within twenty (20) days of the receipt of the request. Unless agreed upon by the parties, only items of dispute by the party requesting the inspection will be ruled upon for compliance. The Arbitrator shall transmit the results of the inspection to the parties, in writing, within twenty (20) days of the compliance hearing.

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27. Award Valuation

In exercising an option to repair, replace or pay reasonable sums to affect those repairs, upon request, both parties shall submit a description of the scope of work proposed and the associated cost valuation on awarded items to the Arbitrator within twenty (20) days of notification from CAA. Upon receipt of the valuations or the expiration of time to submit such valuation, the Arbitrator shall Award a monetary amount as the reasonable sum for repairs or replacement. Requests for Award Valuation must be made within the original time of performance as prescribed in the Award. Appropriate fees apply.