CHAPTER 1 -- APPLICATION AND INTERPRETATION
Article 1. Scope of Application
Article 2. Interpretation
Article 3. Receipt of Written Communications
Article 4. Waiver of Right to Object
Article 5. Extent of Judicial Intervention
Article 6. Functions
CHAPTER 2 -- ARBITRATION AGREEMENTS AND JUDICIAL
MEASURES IN AID OF ARBITRATION
Article 1. Definition and Form of Arbitration
Article 2. Stay of Proceedings
Article 3. Interim Measures
CHAPTER 3 -- COMPOSITION OF ARBITRAL TRIBUNALS
Article 1. Number of Arbitrators
Article 2. Appointment of Arbitrators
Article 3. Grounds for Challenge
Article 4. Challenge Procedure
Article 5. Failure or Impossibility to Act
Article 6. Termination of Mandate and Substitution of
Arbitrators
CHAPTER 4 -- JURISDICTION OF ARBITRAL TRIBUNALS
Article 1. Competence of an Arbitral Tribunal to Tule on its
Jurisdiction
Article 2. Interim Measures Ordered by Arbitral
Tribunals
CHAPTER 5 -- MANNER AND CONDUCT OF ARBITRATION
Article 1. Equal Treatment of Parties
Article 2. Determination of Rules of Procedure
Article 3. Place of Arbitration
Article 4. Commencement of Arbitral Proceedings
Article 5. Language
Article 6. Statements of Claim and Defense
Article 7. Hearings and Written Procedure
Article 8. Default of a Party
Article 9. Expert Appointed by Arbitral Tribunal
Article 10. Court Assistance in Taking Evidence and
Consolidating Arbitrations
CHAPTER 6 -- MAKING OF ARBITRAL AWARD AND TERMINATION
OF PROCEEDINGS
Article 1. Rules Applicable to Substance of Dispute
Article 2. Decisionmaking by Panel of Arbitrators
Article 3. Settlement
Article 4. Form and Content of Arbitral Award
Article 5. Termination of Proceeding
Article 6. Correction and Interpretation of Awards and
Additional Awards
CHAPTER 7 -- CONCILIATION
Article 1. Appointment of Conciliators
Article 2. Representation and Assistance
Article 3. Report of Conciliators
Article 4. Confidentiality
Article 5. Stay of Arbitration and Resort to Other
Proceedings
Article 6. Termination
Article 7. Enforceability of Decree
Article 8. Costs
Article 9. Effect on Jurisdiction
Article 10. Immunity of Conciliators and Parties
§ 1297.11. Application of title; subject to certain agreements
This title applies to international commercial arbitration and conciliation, subject to any agreement which is in force between the United States and any other state or states.
§ 1297.12. Application of title; California as place of arbitration or conciliation
This title, except Article 2 (commencing with Section 1297.81) of Chapter 2 and Article 3 (commencing with Section 1297.91) of Chapter 2, applies only if the place of arbitration or conciliation is in the State of California.
§ 1297.13. International status of agreement; requirements
An arbitration or conciliation agreement is international if any of the following applies:
(a) The parties to an arbitration or conciliation agreement have, at the time of the conclusion of that agreement, their places of business in different states.
(c) The parties have expressly agreed that the subject matter of the arbitration or conciliation agreement relates to commercial interests in more than one state.
(d) The subject matter of the arbitration or conciliation agreement is otherwise related to commercial interests in more than one state.
§ 1297.14. Place of business; habitual residence
For the purposes of Section 1297.13, if a party has more than one place of business, the place of business is that which has the closest relationship to the arbitration agreement, and if a party does not have a place of business, reference is to be made to his habitual residence.
§ 1297.15. One state; United States and District of Columbia
For the purposes of Section 1297.13, the states of the United States, including the District of Columbia, shall be considered one state.
§ 1297.16. Commercial agreements; nature of relationships
An arbitration or conciliation agreement is commercial if it arises out of a relationship of a commercial nature including, but not limited to, any of the following:
(a) A transaction for the supply or exchange of goods or services.
(b) A distribution agreement.
(c) A commercial representation or agency.
(d) An exploitation agreement or concession.
(e) A joint venture or other, related form of industrial or business cooperation.
(f) The carriage of goods or passengers by air, sea, rail, or road.
(g) Construction.
(h) Insurance.
(i) Licensing.
(j) Factoring.
(k) Leasing.
(l) Consulting.
(m) Engineering.
(n) Financing.
(o) Banking.
(p) The transfer of data or technology.
(q) Intellectual or industrial property, including trademarks, patents, copyrights and software programs.
(r) Professional services.
§ 1297.17. Effect on other laws; supersession
This title shall not affect any other law in force in California by virtue of which certain disputes may not be submitted to arbitration or may be submitted to arbitration only in accordance with provisions other than those of this title. Notwithstanding the foregoing, this title supersedes Sections 1280 to 1284.2, inclusive, with respect to international commercial arbitration and conciliation.
§ 1297.21. Definitions
For the purposes of this title:
(a) "Arbitral award" means any decision of the arbitral tribunal on the substance of the dispute submitted to it and includes an interim, interlocutory, or partial arbitral award.
(b) "Arbitral tribunal" means a sole arbitrator or a panel of arbitrators.
(c) "Arbitration" means any arbitration whether or not administered by a permanent arbitral institution.
(d) "Conciliation" means any conciliation whether or not administered by a permanent conciliation institution.
(e) "Chief Justice" means the Chief Justice of California or his or her designee.
(f) "Court" means a body or an organ of the judicial system of a state.
(g) "Party" means a party to an arbitration or conciliation agreement.
(h) "Superior court" means the superior court in the county in this state selected pursuant to Section 1297.61.
(i) "Supreme Court" means the Supreme Court of California.
§ 1297.22. Freedom of parties to determine issue; third party
Where a provision of this title, except Article 1 (commencing with Section 1297.281) of Chapter 6, leaves the parties free to determine a certain issue, such freedom includes the right of the parties to authorize a third party, including an institution, to make that determination.
§ 1297.23. Agreement of parties as including arbitration or conciliation rules
Where a provision of this title refers to the fact that the parties have agreed or that they may agree, or in any other way refers to an agreement of the parties, such agreement shall be deemed to include any arbitration or conciliation rules referred to in that agreement.
§ 1297.24. Claim; counterclaim; defense
Where this title, other than Article 8 (commencing with Section 1297.251) of Chapter 5, Article 5 (commencing with Section 1297.321) of Chapter 6, or subdivision (a) of Section 1297.322, refers to a claim, it also applies to a counterclaim, and where it refers to a defense, it also applies to a defense to that counterclaim.
§ 1297.31. Receipt if delivered to addressee personally, at place of business, habitual residence or mailing address on day of delivery
Unless otherwise agreed by the parties, any written communication is deemed to have been received if it is delivered to the addressee personally or if it is delivered at his place of business, habitual residence, or mailing address, and the communication is deemed to have been received on the day it is so delivered.
§ 1297.32. Receipt if delivered to last known address if not found after reasonable inquiry
If none of the places referred to in Section 1297.31 can be found after making a reasonable inquiry, a written communication is deemed to have been received if it is sent to the addressee's last known place of business, habitual residence, or mailing address by registered mail or by any other means which provides a record of the attempt to deliver it.
§ 1297.33. Court proceedings; inapplicability of this article to written communications
This article does not apply to written communications in respect of court proceedings.
§ 1297.41. Failure to state objection without delay; waiver
A party who knows that any provision of this title, or any requirement under the arbitration agreement, has not been complied with and yet proceeds with the arbitration without stating his or her objection to noncompliance without undue delay or, if a time limit is provided for stating that objection, within that period of time, shall be deemed to have waived his right to object.
§ 1297.42. Any provision of this title, defined
For purposes of Section 1297.41, "any provision of this title" means any provision of this title in respect of which the parties may otherwise agree.
§ 1297.51. Prohibition against intervention unless provided for in title or federal law
In matters governed by this title, no court shall intervene except where so provided in this title, or applicable federal law.
§ 1297.61. Superior court; performance of duties
The functions referred to in Sections 1297.114, 1297.115, 1297.116, 1297.134, 1297.135, 1297.136, 1297.165, 1297.166, and 1297.167 shall be performed by the superior court of the county in which the place of arbitration is located. The functions referred to in Section 1297.81 shall be performed by the superior court selected pursuant to Article 2 (commencing with Section 1292) of Chapter 5 of Title 9.
§ 1297.71. Arbitration agreement, defined; form
An "arbitration agreement" is an agreement by the parties to submit to arbitration all or certain disputes which have arisen or which may arise between them in respect of a defined legal relationship, whether contractual or not. An arbitration agreement may be in the form of an arbitration clause in a contract or in the form of a separate agreement.
§ 1297.72. Writing; signed document, exchange of communications, statements of claim and defense or reference in contract
An arbitration agreement shall be in writing. An agreement is in writing if it is contained in a document signed by the parties or in an exchange of letters, telex, telegrams, or other means of telecommunication which provide a record of this agreement, or in an exchange of statements of claim and defense in which the existence of an agreement is alleged by one party and not denied by another. The reference in a contract to a document containing an arbitration clause constitutes an arbitration agreement provided that the contract is in writing and the reference is such as to make that clause part of the contract.
§ 1297.81. Commencement of judicial proceedings by one party; right of other party to stay proceedings and compel arbitration
When a party to an international commercial arbitration agreement as defined in this title commences judicial proceedings seeking relief with respect to a matter covered by the agreement to arbitrate, any other party to the agreement may apply to the superior court for an order to stay the proceedings and to compel arbitration.
§ 1297.82. Timely request; grant
A timely request for a stay of judicial proceedings made under Section 1297.81 shall be granted.
§ 1297.91. Request for interim protection; incompatibility with arbitration agreement
It is not incompatible with an arbitration agreement for a party to request from a superior court, before or during arbitral proceedings, an interim measure of protection, or for the court to grant such a measure.
§ 1297.92. Tribunal's award to take interim measure of protection, request to superior court for enforcement
Any party to an arbitration governed by this title may request from the superior court enforcement of an award of an arbitral tribunal to take any interim measure of protection of an arbitral tribunal pursuant to Article 2 (commencing with Section 1297.171) of Chapter 4. Enforcement shall be granted pursuant to the law applicable to the granting of the type of interim relief requested.
§ 1297.93. Measures which court may grant
Measures which the court may grant in connection with a pending arbitration include, but are not limited to:
(a) An order of attachment issued to assure that the award to which applicant may be entitled is not rendered ineffectual by the dissipation of party assets.
(b) A preliminary injunction granted in order to protect trade secrets or to conserve goods which are the subject matter of the arbitral dispute.
§ 1297.94. Considerations by court on request for interim relief; public policy
In considering a request for interim relief, the court shall give preclusive effect to any and all findings of fact of the arbitral tribunal including the probable validity of the claim which is the subject of the award for interim relief and which the arbitral tribunal has previously granted in the proceeding in question, provided that such interim award is consistent with public policy.
§ 1297.95. Absence of ruling by tribunal to objection to its jurisdiction; independent finding by court; effect
Where the arbitral tribunal has not ruled on an objection to its jurisdiction, the court shall not grant preclusive effect to the tribunal's findings until the court has made an independent finding as to the jurisdiction of the arbitral tribunal. If the court rules that the arbitral tribunal did not have jurisdiction, the application for interim measures of relief shall be denied.
Such a ruling by the court that the arbitral tribunal lacks jurisdiction is not binding on the arbitral tribunal or subsequent judicial proceeding.
§ 1297.101. Agreement by parties if more than one arbitrator
The parties may agree on the number of arbitrators. Otherwise, there shall be one arbitrator.
§ 1297.111. Nationality of arbitrator
A person of any nationality may be an arbitrator.
§ 1297.112. Procedure
Subject to Sections 1297.115 and 1297.116, the parties may agree on a procedure for appointing the arbitral tribunal.
§ 1297.113. Appointment of third arbitrator by two party-appointed arbitrators
Failing such agreement referred to in Section 1297.112, in an arbitration with three arbitrators and two parties, each party shall appoint one arbitrator, and the two appointed arbitrators shall appoint the third arbitrator.
§ 1297.114. Three arbitrator tribunal; failure to appoint arbitrator; appointment by court
If the appointment procedure in Section 1297.113 applies and either a party fails to appoint an arbitrator within 30 days after receipt of a request to do so from the other party, or the two appointed arbitrators fail to agree on the third arbitrator within 30 days after their appointment, the appointment shall be made, upon request of a party, by the superior court.
§ 1297.115. Sole arbitrator tribunal; failure of agreement; appointment by court
Failing any agreement referred to in Section 1297.112, in an arbitration with a sole arbitrator, if the parties fail to agree on the arbitrator, the appointment shall be made, upon request of a party, by the superior court.
§ 1297.116. Measures to be taken by court to secure appointment
The superior court, upon the request of a party, may take the necessary measures, unless the agreement on the appointment procedure provides other means for securing the appointment, where, under an appointment procedure agreed upon by the parties, any of the following occurs:
(a) A party fails to act as required under that procedure.
(b) The parties, or two appointed arbitrators, fail to reach an agreement expected of them under that procedure.
(c) A third party, including an institution, fails to perform any function entrusted to it under that procedure.
§ 1297.117. Decision by court; finality; not subject to appeal
A decision on a matter entrusted to the superior court pursuant to Sections 1297.114, 1297.115, and 1297.116 is final and is not subject to appeal.
§ 1297.118. Superior court; considerations in appointing arbitrators
The superior court, in appointing an arbitrator, shall have due regard to all of the following:
(a) Any qualifications required of the arbitrator by the agreement of the parties.
(b) Other considerations as are likely to secure the appointment of an independent and impartial arbitrator.
(c) In the case of a sole or third arbitrator, the advisability of appointing an arbitrator of a nationality other than those of the parties.
§ 1297.119. Immunity; civil liability
An arbitrator has the immunity of a judicial officer from civil liability when acting in the capacity of arbitrator under any statute or contract.
The immunity afforded by this section shall supplement, and not supplant, any otherwise applicable common law or statutory immunity.
§ 1297.121. Disclosure of information questioning impartiality; circumstances
Except as otherwise provided in this title, all persons whose names have been submitted for consideration for appointment or designation as arbitrators or conciliators, or who have been appointed or designated as such, shall, within 15 days, make a disclosure to the parties of any information which might cause their impartiality to be questioned including, but not limited to, any of the following instances:
(a) The person has a personal bias or prejudice concerning a party, or personal knowledge of disputed evidentiary facts concerning the proceeding.
(b) The person served as a lawyer in the matter in controversy, or the person is or has been associated with another who has participated in the matter during such association, or he or she has been a material witness concerning it.
(c) The person served as an arbitrator or conciliator in another proceeding involving one or more of the parties to the proceeding.
(d) The person, individually or a fiduciary, or such person's spouse or minor child residing in such person's household, has a financial interest in the subject matter in controversy or in a party to the proceeding, or any other interest that could be substantially affected by the outcome of the proceeding.
§ 1297.122. Mandatory obligation to disclose information; waiver
The obligation to disclose information set forth in Section 1297.121 is mandatory and cannot be waived as to the parties with respect to persons serving either as the sole arbitrator or sole conciliator or as the chief or prevailing arbitrator or conciliator. The parties may otherwise agree to waive such disclosure.
§ 1297.123. Disclosure by arbitrator of circumstances not previously disclosed; time
From the time of appointment and throughout the arbitral proceedings, an arbitrator, shall, without delay, disclose to the parties any circumstances referred to in Section 1297.121 which were not previously disclosed.
§ 1297.124. Challenge for doubts as to independence, impartiality or qualifications
Unless otherwise agreed by the parties or the rules governing the arbitration, an arbitrator may be challenged only if circumstances exist that give rise to justifiable doubts as to his or her independence or impartiality, or as to his or her possession of the qualifications upon which the parties have agreed.
§ 1297.125. Challenge only for reasons aware of after appointment
A party may challenge an arbitrator appointed by it, or in whose appointment it has participated, only for reasons of which it becomes aware after the appointment has been made.
§ 1297.131. Agreement on procedure; finality of decision
The parties may agree on a procedure for challenging an arbitrator and the decision reached pursuant to that procedure shall be final.
§ 1297.132. Reasons for challenge; statement to tribunal; time
Failing any agreement referred to in Section 1297.131, a party which intends to challenge an arbitrator shall, within 15 days after becoming aware of the constitution of the arbitral tribunal or after becoming aware of any circumstances referred to in Sections 1297.124 and 1297.125, whichever shall be later, send a written statement of the reasons for the challenge to the arbitral tribunal.
§ 1297.133. Decision by tribunal
Unless the arbitrator challenged under Section 1297.132 withdraws from his or her office or the other party agrees to the challenge, the arbitral tribunal shall decide on the challenge.
§ 1297.134. Unsuccessful challenge; superior court; decision on challenge; sustaining challenge
If a challenge following the procedure under Section 1297.133 is not successful, the challenging party may request the superior court, within 30 days after having received notice of the decision rejecting the challenge, to decide on the challenge. If a challenge is based upon the grounds set forth in Section 1297.121, and the superior court determines that the facts support a finding that such ground or grounds fairly exist, then the challenge should be sustained.
§ 1297.135. Finality of superior court decision; no appeal
The decision of the superior court under Section 1297.134 is final and is not subject to appeal.
§ 1297.136. Continuation of arbitral proceedings while court request pending
While a request under Section 1297.134 is pending, the arbitral tribunal, including the challenged arbitrator, may continue with the arbitral proceedings and make an arbitral award.
§ 1297.141. Termination of arbitrator's mandate; circumstances
The mandate of an arbitrator terminates if he becomes de jure or de facto unable to perform his or her functions or for other reasons fails to act without undue delay, and he withdraws from his or her office or the parties agree to the termination of his or her mandate.
§ 1297.142. Remaining controversy; decision by superior court; request of party
If a controversy remains concerning any of the grounds referred to in Section 1297.141, a party may request the superior court to decide on the termination of the mandate.
§ 1297.143. Decision of superior court not appealable
A decision of the superior court under Section 1297.142 is not subject to appeal.
§ 1297.144. Withdrawal of arbitrator or termination of mandate; effect on validity of grounds for challenge.
If, under this section or Section 1297.132, an arbitrator withdraws from office or a party agrees to the termination of the mandate of an arbitrator, this does not imply acceptance of the validity of any ground referred to in Section 1297.132.
§ 1297.151. Withdrawal of arbitrator from office or by agreement of parties
In addition to the circumstances referred to under Article 4 (commencing with Section 1297.131) and Article 5 (commencing with Section 1297.141) of this chapter, the mandate of an arbitrator terminates upon his or her withdrawal from office for any reason, or by or pursuant to agreement of the parties.
§ 1297.152. Substitute arbitrator; appointment
Where the mandate of an arbitrator terminates, a substitute arbitrator shall be appointed according to the rules that were applicable to the appointment of the arbitrator being replaced.
§ 1297.153. Repetition of previous hearings; agreement of parties or discretion of tribunal
Unless otherwise agreed by the parties:
(a) Where the sole or presiding arbitrator is replaced, any hearings previously held shall be repeated.
(b) Where an arbitrator other than the sole or presiding arbitrator is replaced, any hearings previously held may be repeated at the discretion of the arbitral tribunal
§ 1297.154. Order or ruling of tribunal prior to replacement of arbitrator; effect
Unless otherwise agreed by the parties, an order or ruling of the arbitral tribunal made prior to the replacement of an arbitrator under this section is not invalid because there has been a change in the composition of the tribunal.
§ 1297.161. Authority to rule on jurisdiction and arbitration agreement; treatment and effect of arbitration clause
The arbitral tribunal may rule on its own jurisdiction, including ruling on any objections with respect to the existence or validity of the arbitration agreement, and for that purpose, an arbitration clause which forms part of a contract shall be treated as an agreement independent of the other terms of the contract, and a decision by the arbitral tribunal that the contract is null and void shall not entail ipso jure the invalidity of the arbitration clause.
§ 1297.162. Plea of lack of jurisdiction; effect if party participated in appointment of arbitrator
A plea that the arbitral tribunal does not have jurisdiction shall be raised not later than the submission of the statement of defense. However, a party is not precluded from raising such a plea by the fact that he or she has appointed, or participated in the appointment of, an arbitrator.
§ 1297.163. Plea of exceeding scope of authority; time
A plea that the arbitral tribunal is exceeding the scope of its authority shall be raised as soon as the matter alleged to be beyond the scope of its authority is raised during the arbitral proceedings.
§ 1297.164. Admission of later plea if delay justified
The arbitral tribunal may, in either of the cases referred to in Sections 1297.162 and 1297.163, admit a later plea if it considers the delay justified.
§ 1297.165. Ruling on plea as a preliminary question or in award on merits
The arbitral tribunal may rule on a plea referred to in Sections 1297.162 and 1297.163 either as a preliminary question or in an award on the merits.
§ 1297.166. Ruling on plea as a preliminary question; request to superior court; waiver
If the arbitral tribunal rules as a preliminary question that it has jurisdiction, any party shall request the superior court, within 30 days after having received notice of that ruling, to decide the matter or shall be deemed to have waived objection to such finding.
§ 1297.167. Continuation of arbitral proceedings while court request pending
While a request under Section 1297.166 is pending, the arbitral tribunal may continue with the arbitral proceedings and make an arbitral award.
§ 1297.171. Interim measure of protection; order by tribunal
Unless otherwise agreed by the parties, the arbitral tribunal may, at the request of a party, order a party to take any interim measure of protection as the arbitral tribunal may consider necessary in respect of the subject matter of the dispute.
§ 1297.172. Requiring party to provide security
The arbitral tribunal may require a party to provide appropriate security in connection with a measure ordered under Section 1297.171.
§ 1297.181. Equal treatment and opportunity to present case
The parties shall be treated with equality and each party shall be given a full opportunity to present his or her case.
§ 1297.191. Agreement of parties
Subject to this title, the parties may agree on the procedure to be followed by the arbitral tribunal in conducting the proceedings.
§ 1297.192. Conduct of arbitration by tribunal
Failing any agreement referred to in Section 1297.191, the arbitral tribunal may, subject to this title, conduct the arbitration in the manner it considers appropriate.
§ 1297.193. Evidentiary questions; determination by tribunal
The power of the arbitral tribunal under Section 1297.192 includes the power to determine the admissibility, relevance, materiality, and weight of any evidence.
§ 1297.201. Agreement of parties
The parties may agree on the place of arbitration.
§ 1297.202. Determination by tribunal upon failure of parties to agree
Failing any agreement referred to in Section 1297.201, the place of arbitration shall be determined by the arbitral tribunal having regard to the circumstances of the case, including the convenience of the parties.
§ 1297.203. Meetings at place tribunal considers appropriate
Notwithstanding Section 1297.201, the arbitral tribunal may, unless otherwise agreed by the parties, meet at any place it considers appropriate for consultation among its members, for hearing witnesses, experts, or the parties, or for inspection of documents, goods, or other property.
§ 1297.211. Date on which arbitration referral received by respondent
Unless otherwise agreed by the parties, the arbitral proceedings in respect of a particular dispute commence on the date on which a request for that dispute to be referred to arbitration is received by the respondent.
§ 1297.221. Agreement by parties
The parties may agree upon the language or languages to be used in the arbitral proceedings.
§ 1297.222. Determination by tribunal
Failing any agreement referred to in Section 1297.221, the arbitral tribunal shall determine the language or languages to be used in the arbitral proceedings.
§ 1297.223. Application of agreement of parties or determination by tribunal
The agreement or determination, unless otherwise specified, shall apply to any written statement by a party, any hearing, and any arbitral award, decision, or other communication by the arbitral tribunal.
§ 1297.224. Documentary evidence; accompaniment by translation; order by tribunal
The arbitral tribunal may order that any documentary evidence shall be accompanied by a translation into the language or languages agreed upon by the parties or determined by the arbitral tribunal.
§ 1297.231. Statement of claim by claimant; statement of defense by respondent; time
Within the period of time agreed upon by the parties or determined by the arbitral tribunal, the claimant shall state the facts supporting his or her claim, the points at issue, and the relief or remedy sought, and the respondent shall state his or her defense in respect of these particulars, unless the parties have otherwise agreed as to the required elements of those statements.
§ 1297.232. Submission of documents with statement
The parties may submit with their statements all documents they consider to be relevant or may add a reference to the documents or other evidence they will submit.
§ 1297.233. Amendment or supplement to claim or defense; exception
Unless otherwise agreed by the parties, either party may amend or supplement his or her claim or defense during the course of the arbitral proceedings, unless the arbitral tribunal considers it inappropriate to allow the amendment or supplement having regard to the delay in making it.
§ 1297.241. Oral or written presentation of evidence; agreement or decision
Unless otherwise agreed by the parties, the arbitral tribunal shall decide whether to hold oral hearings for the presentation of evidence or for oral argument, or whether the proceedings shall be conducted on the basis of documents and other materials.
§ 1297.242. Oral hearings
Unless the parties have agreed that no oral hearings shall be held, the arbitral tribunal shall hold oral hearings at an appropriate state of the proceedings, if so requested by a party.
§ 1297.243. Notice of hearings and meetings
The parties shall be given sufficient advance notice of any hearing and of any meeting of the arbitral tribunal for the purpose of inspection of documents, goods, or other property.
§ 1297.244. Statements, documents, etc. by one party to tribunal; communication to other party
All statements, documents, or other information supplied to, or applications made to, the arbitral tribunal by one party shall be communicated to the other party, and any expert report or evidentiary document on which the arbitral tribunal may rely in making its decision shall be communicated to the parties.
§ 1297.245. Oral hearings and meetings in camera
Unless otherwise agreed by the parties, all oral hearings and meetings in arbitral proceedings shall be held in camera.
§ 1297.251. Claimant's failure to communicate statement of claim; termination of proceedings
Unless otherwise agreed by the parties, where, without showing sufficient cause, the claimant fails to communicate his or her statement of claim in accordance with Sections 1297.231 and 1297.232, the arbitral tribunal shall terminate the proceedings.
§ 1297.252. Respondent's failure to communicate statement of defense; continuance of proceedings
Unless otherwise agreed by the parties, where, without showing sufficient cause, the respondent fails to communicate his or her statement of defense in accordance with Sections 1297.231 and 1297.232, the arbitral tribunal shall continue the proceedings without treating that failure in itself as an admission of the claimant's allegations.
§ 1297.253. Failure to appear at hearing or produce evidence
Unless otherwise agreed by the parties, where, without showing sufficient cause, a party fails to appear at an oral hearing or to produce documentary evidence, the arbitral tribunal may continue with the proceedings and make the arbitral award on the evidence before it.
§ 1297.261. Appointment of expert; requirement of party to furnish information, documents, etc.
Unless otherwise agreed by the parties, the arbitral tribunal may appoint one or more experts to report to it on specific issues to be determined by the arbitral tribunal, and require a party to give the expert any relevant information or to produce, or to provide access to, any relevant documents, goods, or other property for his or her inspection.
§ 1297.262. Participation of expert in oral hearing
Unless otherwise agreed by the parties, if a party so requests or if the arbitral tribunal considers it necessary, the expert shall, after delivery of his or her written or oral report, participate in an oral hearing where the parties have the opportunity to question the expert and to present expert witnesses on the points at issue.
§ 1297.271. Request of superior court for assistance on taking evidence; subpoena, witness compensation
The arbitral tribunal, or a party with the approval of the arbitral tribunal, may request from the superior court assistance in taking evidence and the court may execute the request within its competence and according to its rules on taking evidence. In addition, a subpoena may issue as provided in Section 1282.6, in which case the witness compensation provisions of Section 1283.2 shall apply.
§ 1297.272. Consolidations of arbitrations; actions of superior court
Where the parties to two or more arbitration agreements have agreed, in their respective arbitration agreements or otherwise, to consolidate the arbitrations arising out of those arbitration agreements, the superior court may, on application by one party with the consent of all the other parties to those arbitration agreements, do one or more of the following:
(a) Order the arbitrations to be consolidated on terms the court considers just and necessary.
(b) Where all the parties cannot agree on an arbitral tribunal for the consolidated arbitration, appoint an arbitral tribunal in accordance with Section 1297.118.
(c) Where all the parties cannot agree on any other matter necessary to conduct the consolidated arbitration, make any other order it considers necessary.
§ 1297.273. Consolidations of arbitrations; agreement of parties
Nothing in this article shall be construed to prevent the parties to two or more arbitrations from agreeing to consolidate those arbitrations and taking any steps that are necessary to effect that consolidation.
§ 1297.281. Rules of law designated by parties
The arbitral tribunal shall decide the dispute in accordance with the rules of law designated by the parties as applicable to the substance of the dispute.
§ 1297.282. Designation by parties of substantive and not conflict of law rules
Any designation by the parties of the law or legal system of a given state shall be construed, unless otherwise expressed, as directly referring to the substantive law of that state and not to its conflict of laws rules.
§ 1297.283. Application of appropriate law by tribunal if parties fail to designate law
Failing any designation of the law under Section 1297.282 by the parties, the arbitral tribunal shall apply the rules of law it considers to be appropriate given all the circumstances surrounding the dispute.
§ 1297.284. Decision ex aequo et bono or as amiable compositeur if authorized
The arbitral tribunal shall decide ex aequo et bono or as amiable compositeur, if the parties have expressly authorized it to do so.
§ 1297.285. Decision of tribunal in accord with terms of contract and usages of trade
In all cases, the arbitral tribunal shall decide in accordance with the terms of the contract and shall take into account the usages of the trade applicable to the transaction.
§ 1297.291. Majority vote in proceedings with more than one arbitrator; decisions on procedural questions by presiding arbitrator
Unless otherwise agreed by the parties, in arbitral proceedings with more than one arbitrator, any decision of the arbitral tribunal shall be made by a majority of all of its members.
Notwithstanding this section, if authorized by the parties or all the members of the arbitral tribunal, questions of procedure may be decided by a presiding arbitrator.
§ 1297.301. Encouragement of settlement; mediation, conciliation, etc.
It is not incompatible with an arbitration agreement for an arbitral tribunal to encourage settlement of the dispute and, with the agreement of the parties, the arbitral tribunal may use mediation, conciliation, or other procedures at any time during the arbitral proceedings to encourage settlement.
§ 1297.302. Termination of proceedings; record of award
If, during arbitral proceedings, the parties settle the dispute, the arbitral tribunal shall terminate the proceedings and, if requested by the parties and not objected to by the arbitral tribunal, record the settlement in the form of an arbitral award on agreed terms.
§ 1297.303. Arbitral award on agreed terms; law governing
An arbitral award on agreed terms shall be made in accordance with Article 4 (commencing with Section 1297.311) of this chapter and shall state that it is an arbitral award.
§ 1297.304. Arbitral award on agreed terms; status and effect
An arbitral award on agreed terms has the same status and effect as any other arbitral award on the substance of the dispute.
§ 1297.311. Award in writing; signatures
An arbitral award shall be made in writing and shall be signed by the members of the arbitral tribunal.
§ 1297.312. Signatures; majority of members; reasons for omitted signatures
For the purposes of Section 1297.311, in arbitral proceedings with more than one arbitrator, the signatures of the majority of all the members of the arbitral tribunal shall be sufficient so long as the reason for any omitted signature is stated.
§ 1297.313. Basis for award; statement of reasons; exceptions
The arbitral award shall state the reasons upon which it is based, unless the parties have agreed that no reasons are to be given, or the award is an arbitral award on agreed terms under Article 3 (commencing with Section 1297.301) of this chapter.
§ 1297.314. Date of award and place of arbitration
The arbitral award shall state its date and the place of arbitration as determined in accordance with Article 3 (commencing with Section 1297.201) of Chapter 5 and the award shall be deemed to have been made at that place.
§ 1297.315. Signed copy; delivery to each party
After the arbitral award is made, a signed copy shall be delivered to each party.
§ 1297.316. Interim award; enforcement
The arbitral tribunal may, at any time during the arbitral proceedings, make an interim arbitral award on any matter with respect to which it may make a final arbitral award. The interim award may be enforced in the same manner as a final arbitral award.
§ 1297.317. Interest
Unless otherwise agreed by the parties, the arbitral tribunal may award interest.
§ 1297.318. Costs; inclusions
(a) Unless otherwise agreed by the parties, the costs of an arbitration shall be at the discretion of the arbitral tribunal.
§ 1297.321. Means; finality of award
The arbitral proceedings are terminated by the final arbitral award or by an order of the arbitral tribunal under Section 1297.322. The award shall be final upon the expiration of the applicable periods in Article 6 (commencing with Section 1297.331) of this chapter.
§ 1297.322. Order for termination; circumstances
The arbitral tribunal shall issue an order for the termination of the arbitral proceedings where any of the following occurs:
(a) The claimant withdraws his or her claim, unless the respondent objects to the order and the arbitral tribunal recognizes a legitimate interest on the respondent's part in obtaining a final settlement of the dispute.
(b) The parties agree on the termination of the proceedings.
(c) The arbitral tribunal finds that the continuation of the proceedings has for any other reason become unnecessary or impossible.
§ 1297.323. Mandate of tribunal; termination
Subject to Article 6 (commencing with Section 1297.331) of this chapter, the mandate of the arbitral tribunal terminates with the termination of the arbitral proceedings.
§ 1297.331. Correction of errors; interpretations; time
Within 30 days after receipt of the arbitral award, unless another period of time has been agreed upon by the parties:
(a) A party may request the arbitral tribunal to correct in the arbitral award any computation errors, any clerical or typographical errors, or any other errors of a similar nature.
(b) A party may, if agreed by the parties, request the arbitral tribunal to give an interpretation of a specific point or part of the arbitral award.
§ 1297.332. Duty of tribunal to correct or interpret award; time
If the arbitral tribunal considers any request made under Section 1297.331 to be justified, it shall make the correction or give the interpretation within 30 days after receipt of the request and the interpretation shall form part of the arbitral award.
§ 1297.333. Correction of errors by tribunal on its own initiative; time
The arbitral tribunal may correct any error of the type referred to in subdivision (a) of Section 1297.331, on its own initiative, within 30 days after the date of the arbitral award.
§ 1297.334. Request for additional award; time
Unless otherwise agreed by the parties, a party may request, within 30 days after receipt of the arbitral award, the arbitral tribunal to make an additional arbitral award as to the claims presented in the arbitral proceedings but omitted from the arbitral award.
§ 1297.335. Additional award; time
If the arbitral tribunal considers any request made under Section 1297.334 to be justified, it shall make the additional arbitral award within 60 days after receipt of the request.
§ 1297.336. Extension of time for tribunal action under this article
The arbitral tribunal may extend, if necessary, the period of time within which it shall make a correction, give an interpretation, or make an additional arbitral award under Section 1297.331 or 1297.334.
§ 1297.337. Construction with other laws
Article 4 (commencing with Section 1297.311) of this chapter applies to a correction or interpretation of the arbitral award or to an additional arbitral award made under this section.
§ 1297.341. State policy; resolution of disputes by conciliation
It is the policy of the State of California to encourage parties to an international commercial agreement or transaction which qualifies for arbitration or conciliation pursuant to Section 1297.13, to resolve disputes arising from such agreements or transactions through conciliation. The parties may select or permit an arbitral tribunal or other third party to select one or more persons to serve as the conciliator or conciliators who shall assist the parties in an independent and impartial manner in their attempt to reach an amicable settlement of their dispute.
§ 1297.342. Principles, rights, obligations, etc. or guides for conciliators
The conciliator or conciliators shall be guided by principles of objectivity, fairness, and justice, giving consideration to, among other things, the rights and obligations of the parties, the usages of the trade concerned and the circumstances surrounding the dispute, including any previous practices between the parties.
§ 1297.343. Conduct of proceedings; criteria; other codes
The conciliator or conciliators may conduct the conciliation proceedings in such a manner as they consider appropriate, taking into account the circumstances of the case, the wishes of the parties, and the desirability of a speedy settlement of the dispute. Except as otherwise provided in this title, other provisions of this code, the Evidence Code, or the California Rules of Court, shall not apply to conciliation proceedings brought under this title.
§ 1297.351. Choice of parties; qualification
The parties may appear in person or be represented or assisted by any person of their choice. A person assisting or representing a party need not be a member of the legal profession or licensed to practice law in California.
§ 1297.361. Draft conciliation settlement; contents; copies
At any time during the proceedings, the conciliator or conciliators may prepare a draft conciliation settlement which may include the assessment and apportionment of costs between the parties, and send copies to the parties, specifying the time within which they must signify their approval.
§ 1297.362. Acceptance of settlement not required
No party may be required to accept any settlement proposed by the conciliator or conciliators.
§ 1297.371. Admissibility of evidence; nondisclosure; exception
When persons agree to participate in conciliation under this title:
(a) Evidence of anything said or of any admission made in the course of the conciliation is not admissible in evidence, and disclosure of any such evidence shall not be compelled, in any civil action in which, pursuant to law, testimony may be compelled to be given. However, this subdivision does not limit the admissibility of evidence if all parties participating in conciliation consent to its disclosure.
(b) In the event that any such evidence is offered in contravention of this section, the arbitration tribunal or the court shall make any order which it considers to be appropriate to deal with the matter, including, without limitation, orders restricting the introduction of evidence, or dismissing the case without prejudice.
(c) Unless the document otherwise provides, no document prepared for the purpose of, or in the course of, or pursuant to, the conciliation, or any copy thereof, is admissible in evidence, and disclosure of any such document shall not be compelled, in any arbitration or civil action in which, pursuant to law, testimony may be compelled to be given.
§ 1297.381. Agreement to stay judicial or arbitral proceedings; time period
The agreement of the parties to submit a dispute to conciliation shall be deemed an agreement between or among those parties to stay all judicial or arbitral proceedings from the commencement of conciliation until the termination of conciliation proceedings.
§ 1297.382. Limitations; tolling
All applicable limitation periods including periods of prescription shall be tolled or extended upon the commencement of conciliation proceedings to conciliate a dispute under this title and all limitation periods shall remain tolled and periods of prescription extended as to all parties to the conciliation proceedings until the 10th day following the termination of conciliation proceedings. For purposes of this article, conciliation proceedings are deemed to have commenced as soon as (a) a party has requested conciliation of a particular dispute or disputes, and (b) the other party or parties agree to participate in the conciliation proceeding.
§ 1297.391. Circumstances
The conciliation proceedings may be terminated as to all parties by any of the following:
(a) A written declaration of the conciliator or conciliators, after consultation with the parties, to the effect that further efforts at conciliation are no longer justified, on the date of the declaration.
(b) A written declaration of the parties addressed to the conciliator or conciliators to the effect that the conciliation proceedings are terminated, on the date of the declaration.
(c) The signing of a settlement agreement by all of the parties, on the date of the agreement.
§ 1297.392. Particular parties
The conciliation proceedings may be terminated as to particular parties by either of the following:
(a) A written declaration of a party to the other party and the conciliator or conciliators, if appointed, to the effect that the conciliation proceedings shall be terminated as to that particular party, on the date of the declaration.
(b) The signing of a settlement agreement by some of the parties, on the date of the agreement.
§ 1297.393. Conciliator as arbitrator; ineligibility for appointment; exception
No person who has served as conciliator may be appointed as an arbitrator for, or take part in any arbitral or judicial proceedings in, the same dispute unless all parties manifest their consent to such participation or the rules adopted for conciliation or arbitration otherwise provide.
§ 1297.394. Nonwaiver of rights or remedies by submission to conciliation
By submitting to conciliation, no party shall be deemed to have waived any rights or remedies which that party would have had if conciliation had not been initiated, other than those set forth in any settlement agreement which results from the conciliation.
§ 1297.401. Written conciliation agreement as arbitration award; effect
If the conciliation succeeds in settling the dispute, and the result of the conciliation is reduced to writing and signed by the conciliator or conciliators and the parties or their representatives, the written agreement shall be treated as an arbitral award rendered by an arbitral tribunal duly constituted in and pursuant to the laws of this state, and shall have the same force and effect as a final award in arbitration.
§ 1297.411. Costs; inclusions
Upon termination of the conciliation proceedings, the conciliator shall fix the costs of the conciliation and give written notice thereof to the parties. As used in this article, "costs" includes only the following:
(a) A reasonable fee to be paid to the conciliator or conciliators.
(b) The travel and other reasonable expenses of the conciliator or conciliators.
(c) The travel and other reasonable expenses of witnesses requested by the conciliator or conciliators with the consent of the parties.
(d) The cost of any expert advice requested by the conciliator or conciliators with the consent of the parties.
(e) The cost of any court.
§ 1297.412. Equality of costs among parties; expenses
These costs shall be borne equally by the parties unless the settlement agreement provides for a different apportionment. All other expenses incurred by a party shall be borne by that party.
§ 1297.421. No consent to court jurisdiction upon failure of conciliation
Neither the request for conciliation, the consent to participate in the conciliation proceedings, the participation in such proceedings, nor the entering into a conciliation agreement or settlement shall be deemed as consent to the jurisdiction of any court in this state in the event conciliation fails.
§ 1297.431. Service of process; immunity of participants in conciliation
Neither the conciliator or conciliators, the parties, nor their representatives shall be subject to service of process on any civil matter while they are present in this state for the purpose of arranging for or participating in conciliation pursuant to this title.
§ 1297.432. Action for damages; nonliability of conciliators
No person who serves as a conciliator shall be held liable in an action for damages resulting from any act or omission in the performance of his or her role as a conciliator in any proceeding subject to this title.
