How To File an Arbitration Claim

The FORUM is not a party to an arbitration claim and is not affiliated with or owned by any party who files a claim with the FORUM.

Like clerks of court, FORUM staff members coordinate the dispute resolution process by answering parties' questions, scheduling hearings, and managing the flow of information between the parties and the arbitrator reviewing the case until it has been decided. The FORUM works out of a national office, and affiliates with arbitrators locally in all 50 of the United States, and in 35 countries around the world.

A copy of the Code of Procedure can be obtained online or in writing from the FORUM at:

Online

http://www.adrforum.com/main.aspx?itemID=609&hideBar=False&navID=162&news=3

Mailing Address

National Arbitration Forum
P.O. Box 50191
Minneapolis, MN 55405-0191

If all parties agree to use another language, parties can arbitrate in their language of choice. However, the FORUM or FORUM arbitrator may order the parties to provide translations at their own cost unless the FORUM has agreed in advance to the use of another language.

English is the default language used in FORUM proceedings and documents. The Code of Procedure, Fee Schedule, and some other documents are available in Spanish.

An arbitration claim can be filed with the FORUM in one of two ways:

1. Online submission https://secure.arb-forum.com/codefiling/contacts.aspx. After a claim is submitted online, the associated fees should be mailed to the FORUM.
2. In writing and delivered to the FORUM. The claim form can be accessed from the FORUM's Forms Page. A written claim and the associated fees should be mailed to the FORUM.

Payment for the filing fee should be submitted with the initial claim. The Claimant will be notified by the FORUM by way of a deficiency letter if the fees are not paid, after which the Claimant will have an additional 20 days to send payment. If payment is not received after 20 days, another reminder letter will be forwarded to the Claimant. The claim cannot be accepted for filing until the filing fee has been paid.

Fees may be paid by check, money order, cashier's check, or credit card (Visa, MasterCard, American Express, Discover). If a party chooses to pay a fee by check, money order, or cashier's check, they can do so by sending the payment directly to the FORUM:

National Arbitration Forum

P.O. Box 50191

Minneapolis, MN 55405-0191

Arbitrators are legally trained third-party experts who make decisions about the case, much like judges do in lawsuits filed in court. FORUM arbitrators are experienced attorneys or former judges. The arbitrator is neutral and does not represent you or any other party in the case. FORUM arbitrators base their decisions on the law that applies to the dispute.

The Code of Procedure allows the parties to participate in the selection of an arbitrator. Should the parties be unable to agree to an arbitrator the FORUM will appoint an arbitrator to the case. Arbitration participants are notified by letter when an arbitrator has been appointed to their arbitration case. The name and resume of the assigned National Arbitration Forum arbitrator will be included with the notification letter.

Two rules under the Code of Procedure allow for the disqualification or removal of an appointed arbitrator:

• Rule 21 permits each party to strike one arbitrator without providing a specific reason.
• Rule 23 permits each party to seek to strike as many arbitrators as necessary for specific stated reasons as outlined in the rule.

Under both rules, the party must submit in writing that they wish to remove the appointed arbitrator. If the removal request is for specific stated reason ("for cause"), the disqualification must be justified with an explanation and submitted in writing to the FORUM. Rule 23 disqualification requests are reviewed on a case-by-case basis.

You have the right to choose to have a lawyer or a non-lawyer represent you, or you can act on your own behalf. Anyone who submits a document or makes a statement on your behalf (this is sometimes referred to as making an "appearance") may be considered to be your representative, whether or not they are a lawyer.

You do not need a lawyer to bring or defend an arbitration claim. If you would like to seek out legal representation or legal advice and do not know how to find a lawyer, contact your local legal aid or state bar association, see Legal Help.

In Code of Procedure arbitration, parties who are unable to afford their portion of the arbitration fees may request a waiver. Once waived, a party is excused from paying some, or all, of the arbitration fees.

Common Claims (less than $75,000) (Rule 45)

Under the arbitration rules of the National Arbitration Forum, indigent consumer claimants and respondents can have fees waived in smaller value arbitration cases (less than $75,000). Indigency is determined in accordance with the federal poverty guidelines or the applicable law. To request a waiver of any one fee in a Common Claim arbitration, an indigent consumer claimant or respondent must do two things at the time payment is due:

1. File a written request for a waiver.
2. File an Affidavit of Poverty (found on the FORUM’s Rules and Forms webpage).

Large Claims ($75,000 or more) (Rule 44G)

In addition, consumers can have fees shifted to the business party in any Large Claim case, so long as they make their case to an arbitrator that the fee would prevent them from effectively vindicating their case in arbitration. To request that fees be shifted in a Large Claim arbitration, a consumer claimant or respondent must do one of two things in conjunction with filing their Initial Claim or filing their Response to a Large Claim:

1. File a written request that another party or parties pay all or part of the arbitration fees, or;
2. File a written request that the arbitration provision be declared unenforceable (permitting the consumer to litigate the case instead of arbitrating the case).

Certain provisions of the FORUM Fee Schedule define the fees that consumers are required to pay. A consumer who files an arbitration claim must pay the filing fee and one-half of the fee for a participatory hearing selected by the consumer up to a total of $250, unless otherwise provided by agreement of the Parties or by applicable law. The consumer’s portion of the participatory hearing fee is most often much less than the $250 maximum. The business, who is the respondent, pays the commencement and administrative fees and all or part of the fee for a participatory hearing, depending on who selects it.

These cost estimates were drawn up based on the National Arbitration Forum Fee Schedule, and do not take into account instances where the arbitration agreement between the parties addresses fees. See Arbitration Fees for more detail on cost.

Arbitrators review disputes in one of three basic ways under the Code of Procedure: (1) Rule 36 Proceedings; (2) Document Hearings; and (3) Participatory Hearings. 

1. Document Hearings (Rule 28): A document hearing is a hearing where the arbitrator reads all the documents submitted by both sides and then makes a decision. If your case goes to a document hearing, you will be given the opportunity to submit additional documents for the arbitrator to consider and to make requests (or motions) under Rule 18 of the Code of Procedure. 
2. Participatory Hearings (Rules 26, 30-35): A participatory hearing is a hearing where the arbitrator reads all the documents submitted by both sides, listens to each party present their case at a hearing, and then makes a decision. If a party elects a participatory hearing they may choose their preferred type of participation, whether it be in-person, by telephone, or online. If you specifically request a participatory hearing you must pay the appropriate fees for that request. 
3. Rule 36 Proceeding (Rule 36): If you do not send a response to the FORUM the arbitrator will make a decision based on the information submitted by the claimant only. In FORUM arbitration, no party prevails solely because the other party does not respond.  Instead, the Claimant must prove their case to the arbitrator.

When a party files an arbitration claim, they can designate the type of hearing requested in the body of the claim, or simply by writing a letter explaining the type of hearing requested. You must deliver to all other parties and the FORUM your written request for a participatory hearing, and you must pay the appropriate fee.

The appropriate fees are due at the time the request is filed. If the National Arbitration Forum does not receive payment of the appropriate fees, the requesting party will receive a letter from the FORUM noting the fee is due. The request cannot be accepted for filing until the fees are received. If you are a consumer, you will not have to pay more than $250 for a participatory hearing, and most often much less. If you are unable to pay, under Rule 45 you may request a waiver of the fee, or under Rule 44G you may request that responsibility for the fee be shifted to the other party. 

The selection of a participatory hearing must be made within fifteen days of a response being filed by Respondent. A request for a participatory hearing made later than fifteen days after the filing of a response will be forwarded to the arbitrator for a decision on whether the request is granted. If a participatory hearing is elected, the party should also designate their preferred type of participation (in-person, telephone, or online), the estimate of the number of hours or days required, the proposed witness list, the list of exhibits, a request, if applicable, for a written award, and the hearing fee.

The payment and written hearing request, if applicable, should be mailed directly to the FORUM:

National Arbitration Forum

P.O. Box 50191

Minneapolis, MN 55405-0191

or the requests can be emailed to:

file@adrforum.com

No. Generally, each party gets to pick the way they want to appear. So you may decide to appear online, while the claimant may decide to appear by telephone. Or you may decide to appear in person and the other party may decide to appear online. Unless you file a request for a subpoena that would order the other party to appear in a certain way, and the subpoena is issued by an arbitrator, each party may decide how it will appear for a participatory hearing, see Rule 30.

The FORUM endeavors to assign each participatory hearing to a reasonably convenient location for the consumer party. The National Arbitration Forum Code of Procedure designates that a participatory hearing will be scheduled at a reasonably convenient location within the federal jurisdiction district where a responding consumer resides or where a responding business has contacts with the consumer claimant.

When a claim is dismissed with prejudice, the arbitrator has decided that the claimant did not prevail on the claim, and that the same claim cannot be filed again against the same respondent.

Except where the arbitration agreement between the parties specifically states that an appeal with the FORUM is available, the FORUM’s rules do not permit an arbitrator’s decision to be appealed. Instead, under Rule 43, you may file a request for a reopening or reconsideration of the case. Depending on the reasons you have for making the request, in most cases the FORUM must receive your request within 45 days of the date the award or order was issued or within a "reasonable time" of that date. Unless you qualify for a fee waiver, there is a fee for requesting that the case be reopened. Please note that in most cases your request for the matter to be reopened will be decided by the same arbitrator that decided the case in the first place. If the arbitrator decides to reopen the case, the same arbitrator in most cases will also decide the case the second time. If your request to reopen is denied, you cannot make a second request. You may have other appeal rights based on federal or state laws, including the right to seek to vacate the award or oppose confirmation of the award in court. Consult a lawyer to learn more about any other rights you may have once an arbitration order or award has been issued.

The Federal Arbitration Act and various state arbitration laws permit parties who have received arbitration awards to apply to a court with jurisdiction to have the award "confirmed." When an award is confirmed, it is enforceable as a civil judgment. Contact an attorney or seek out self-help resources for unrepresented parties from the specific court where the action was filed if you are not sure how to respond to any such notice of a court proceeding.

Review Arbitration FAQs or contact the FORUM directly.