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Statement of Principles for the National Arbitration Forum, an ADR Provider Organization
Preface
Since 1986, the FORUM has been a leading administrator for arbitrations, mediations and other forms of alternative dispute resolution (ADR). Among its full range of services, the FORUM provides ADR administrative support to judges and litigants in court-ordered ADR, to private parties who have elected to have their arbitration or mediation governed by the FORUM’s procedural rules, to parties who select the FORUM to resolve Internet domain name disputes under the Uniform Domain Name Dispute Resolution Policy and other similar rules, and to parties utilizing federally mandated ADR programs.
The FORUM maintains an exceptional national panel of unbiased and neutral arbitrators and mediators. To meet FORUM standards, each neutral deciding cases under the FORUM’s Code of Procedure has substantial legal experience and has arbitrated commercial, financial, and/or business disputes. Each neutral is qualified under local rules in his or her community and jurisdiction and is subject to the FORUM’s Code of Conduct for Arbitrators.
Federal courts around the country have described the legal professionals on the FORUM's panel as “an impressive assembly of qualified arbitrators.” Other courts have described the FORUM’s Code of Procedure as “a model for fair cost and fee allocation,” and have held that the FORUM was “reasonable, fair, and impartial.”
The Code of Procedure is updated regularly to comply with forward movements in the law and to ensure fairness. The Code precisely and simply outlines the process, schedules, and fees for every arbitration, and requires that awards conform to applicable law.
Because most parties want the opportunity to receive the same awards in arbitration that they could receive in court, FORUM arbitrators are empowered under the Code of Procedure to award all remedies allowed by the law. Arbitrators deciding cases under the Code of Procedure must also apply the relevant legal precedent when deciding cases, giving parties greater opportunity for meaningful legal appeal of arbitration decisions.
The FORUM is not affiliated with any party. The FORUM is compensated on a case-by-case basis only for doing the work associated with administering mediations, arbitrations and other ADR proceedings.
Mission
The FORUM’s mission is to provide access to superior dispute resolution services for parties seeking an alternative to litigation.
Avoiding Conflicts of Interest
The FORUM administers cases. It does not determine the merits of a case: independent arbitrators—who are not FORUM employees—decide cases. FORUM staff members do not hear evidence and do not decide cases. FORUM awards are reviewed to ensure proper format and compliance with the Code of Procedure.
Arbitrators and mediators at the FORUM are independent. Arbitrators that serve on the FORUM panel are bound by the Code of Conduct for Arbitrators.
When an arbitrator is selected from a list of potential neutrals, he or she is required to disclose the existence of interests or relationships that are likely to affect their impartiality or that might reasonably create a material appearance that they are biased against one party or favorable to another.
The Code of Procedure sets out a variety of circumstances under which arbitrators will be disqualified for conflict of interest or bias. See Rule 23.
Rule 21 of the Code of Procedure allows parties to strike arbitrators from a selected panel, and Rule 21 allows parties to remove a selected arbitrator through a peremptory challenge.
As an absolute safeguard for bias, when an arbitration claim is filed with the FORUM, parties may select any arbitrator of their choosing (whether on the FORUMs panel or not). See Rule 21.
There is judicial oversight for arbitrator impartiality. Arbitrator bias is one of the grounds for vacating an award under the Federal Arbitration Act and various state arbitration statutes.
Commitment to Conflict Management
As part of its mission, the FORUM promotes the use of conflict resolution through its website, www.adrforum.com, through publications on the responsible drafting of arbitration clauses, and through a variety of communications with potential users of ADR services, including providing businesses and consumers with guidance about ADR.
Confidentiality
An arbitration proceeding is a private process. While the Code of Procedure provides that arbitration orders and awards are not confidential, the FORUM takes no position on whether parties should keep the proceedings confidential between themselves.
While individual arbitrations are confidential if the parties so determine, the FORUM’s processes are available to all. The Code of Procedure is available to the public on its website, on CD-ROM, and in hard copy form.
Experienced and Competent Neutrals
The FORUM maintains an exceptional national panel of unbiased and neutral arbitrators and mediators. To meet FORUM standards, each neutral deciding cases under the FORUM's arbitration procedural rules, the Code of Procedure, has substantial legal and dispute resolution experience.
Each neutral is licensed as an attorney, is subject to the FORUM’s Code of Conduct for Arbitrators, and signs an Oath swearing to conduct all proceedings in a proper manner.
Federal courts around the country have described the legal professionals on the FORUM’s panel as “an impressive assembly of qualified arbitrators.”
Impartiality and Integrity
The FORUM is independent and neutral. It is not affiliated with any party.
The FORUM only administers arbitrations that comply with the FORUM’s Arbitration Bill of Rights.
The FORUM is compensated on a case-by-case basis only for doing the work associated with administering mediations, arbitrations and other ADR proceedings.
The FORUM name and rules are cited in contracts without compensation to the FORUM or, in many circumstances, without notification to the FORUM.
Information Disclosure and Dissemination
The FORUM maintains a website, which contains a variety of materials on conflict management services, rules and procedures, reference materials, articles, and important dispute resolution updates.
The FORUM's fees for services are clearly articulated in its rules, the Code of Procedure, which is available on the FORUM's website, on CD-ROM, and in hard copy.
Accessible Process
The FORUM’s rules provide a fee waiver for parties who cannot afford even the minimal costs of accessing justice through arbitration. See Code of Procedure Rule 45.
In consumer cases where the amount of the dispute is $15,000 or less, consumer claimants pay only $25-$35 to have their case decided by an arbitrator.
Due Process and Fairness Standards
The FORUM’s Arbitration Bill of Rights guides the FORUM's administration of cases. The FORUM reserves the right to refuse to administer arbitrations resulting from arbitration agreements that violate the Arbitration Bill of Rights.
Under the FORUM’s Code of Procedure all substantive legal remedies are available. Rule 20.
Arbitrators on the FORUM’s panel are bound by the Code of Conduct for Arbitrators, which, in addition to the provisions concerning arbitrator impartiality and removal contained in the Code of Procedure, ensures fairness of the arbitrator(s).