Amendments to the California Rules of Court and the Ethics Standards for Neutral Arbitrators in Contractual Arbitration Adopted by the Judicial Council on October 25, 2013, and December 13, 2013 effective on January 1, 2014, and July 1, 2014 1 Rule 5.575. Joinder of Agencies ........................................................................................ 2 Rule 8.44. Number of copies of filed documents .............................................................. 3 Rule 8.212. Service and filing of briefs ............................................................................. 5 Standard 2.

Definitions ...................................................................................................... 7 Standard 3. Application and effective date ........................................................................ 7 Standard 7. Disclosure ....................................................................................................... 9 Standard 8. Additional disclosures in consumer arbitrations administered by a provider organization....................................................................................................................... 17 Standard 12.

Duties and limitations regarding future professional relationships or employment....................................................................................................................... 19 Standard 16. Compensation ............................................................................................. 22 Standard 17. Marketing .................................................................................................... 23

2 Rule 5.575. Joinder of Agencies 1 2 (

a) Basis for joinder (§§ 362, 365, 727) 3 4 After a child has been adjudged a dependent child or a ward of the court, The court 5 may, at any time after a petition has been filed, following notice and a hearing, join 6 in the court proceedings any government agency or private service provider (as 7 defined in § 362(

e) section 362) that the court determines has failed to meet a legal 8 obligation to provide services to the a child or a nonminor or nonminor dependent 9 youth for whom a petition has been filed under

section 300, 601, or 602. The court 10 may not impose duties on an agency beyond those required by law. 11 12 (Subd (

a) amended effective January 1, 2014; previously amended effective January 1, 13 2007.) 14 15 (

b) Notice and Hearing 16 17 On application by a party, counsel, or CASA volunteer, or on the court’s own 18 motion, the court may set a hearing and require notice to the agency or provider 19 subject to joinder. 20 21

(1) Notice of the hearing to the agency or provider must be given to the agency 22 on Notice of Hearing on Joinder— Juvenile (form JV-540). The notice must 23 clearly describe the legal obligation at issue, the facts and circumstances 24 alleged to constitute the agency’s failure to meet that obligation, state the 25 allegations of the agency’s or provider’s failure to meet a legal obligation, as 26 well as and any issues or questions the court wants expects the agency or 27 provider to address at the hearing. 28 29

(2) The hearing must be set to occur within 30 calendar days of the signing of the 30 notice by the court. The hearing will proceed under the provisions of rule 31 5.570(

h) or (i), as appropriate. 32 33

(3) The clerk of the juvenile court must cause the notice to be served on the 34 agency or provider and the persons prescribed by sections 291 and 658 either 35 personally or and all parties, attorneys of record, the CASA volunteer, any 36 other person or entity entitled to notice under

section 291 or 658, and, if the 37 hearing might address educational or developmental-services issues, the 38 educational rights holder by first-class mail within 5 court days after of the 39 signing of the notice. 40 41

(4) Nothing in this rule prohibits agencies from meeting before the hearing to 42 coordinate the delivery of services. The court may request, by using

section 8 43

3 of form JV-540, that agency representatives meet before the hearing and that 1 the agency or agencies submit a written response to the court. Any such 2 response must be filed at least 5 court days before the hearing. 3 4 (Subd (

b) amended effective January 1, 2014; previously amended effective January 1, 5 2006, and January 1, 2007.) 6 7 (

c) Conduct of hearing 8 9 The hearing must be conducted under rule 5.570(

f) or (g). The court may not 10 impose duties on a government agency or private service provider beyond those 11 required by statute. 12 13 Rule 5.575 amended effective January 1, 2014; adopted as rule 1434 effective January 1, 2002; 14 previously amended effective January 1, 2006; amended and renumbered effective January 1, 15 2007. 16 17 Rule 8.44. Number of copies of filed documents 18 19 Except as these rules provide otherwise, the number of copies of every brief, petition, 20 motion, application, or other document that must be filed in a reviewing court is as 21 follows: 22 23 (

a) Documents filed in the Supreme Court 24 25

(1) Except as provided in (4), An original and 13 copies of a petition for review, 26 an answer, a reply, a brief on the merits, an amicus curiae brief, an answer to 27 an amicus curiae brief, a petition for rehearing, or an answer to a petition for 28 rehearing; and either 29 30 (A) 13 paper copies; or 31 (B) 8 paper copies and one electronic copy; 32 33

(2) Unless the court orders otherwise, an original and 10 copies of a petition for a 34 writ within the court’s original jurisdiction, an opposition or other response to 35 the petition, or a reply; and either: 36 37 (A) 10 paper copies; or 38 39 (B) 8 paper copies and one electronic copy; 40 41 (3)–(6) * * * 42 43

4 (Subd (

a) amended effective January 1, 2014.) 1 2 (

b) Documents filed in a Court of Appeal 3 4

(1) An original and 4 paper copies of a brief, an amicus curiae brief, or an answer 5 to an amicus curiae brief., and, In civil appeals, proof of delivery of for briefs 6 other than petitions for rehearing or answers thereto, 1 electronic copy or, in 7 case of undue hardship, proof of delivery of 4 paper copies to the Supreme 8 Court, as provided in rule 8.212(

c) is also required. For purposes of service 9 on the Supreme Court, the term “brief” does not include a petition for 10 rehearing or answers thereto; 11 12 (2)–(7) * * * 13 14 (Subd (

b) amended effective January 1, 2014; previously amended effective January 1, 15 2011, and January 1, 2013.) 16 17 (

c) Electronic copies 18 19 A court may provide by local rule for the submission of an electronic copy of a 20 document either in addition to the copies of a document required to be filed under 21 (

a) or (

b) or as a substitute for one or more of these copies. The local rule must 22 specify the format of the electronic copy and provide for an exception if it would 23 cause undue hardship for a party to submit an electronic copy. 24 25 (Subd (

c) adopted effective January 1, 2014.) 26 27 Rule 8.44 amended effective January 1, 2014; adopted effective January 1, 2007; previously 28 amended effective January 1, 2007, January 1, 2011, and January 1, 2013. 29 30 Advisory Committee Comment 31 32 The initial sentence of this rule acknowledges that there are exceptions to this rule’s requirements 33 concerning the number of copies;.

See, for example, rule 8.150, which specifies the number of 34 copies of the record that must be filed. 35 36 Information about electronic submission of copies of documents can be found on the web page 37 for the Supreme Court at: www.courts.ca.gov/appellatebriefs or for the Court of Appeal District 38 in which the brief is being filed at: www.courts.ca.gov/courtsofappeal. 39 40 Note that submitting an electronic copy of a document under this rule or under a local rule 41 adopted pursuant to subdivision (

c) does not constitute filing a document electronically under 42

5 rules 8.70–8.79 and thus does not substitute for the filing of the original document with the court 1 in paper format. 2 3 Rule 8.212. Service and filing of briefs 4 5 (a)–(b) * * * 6 7 (

c) Service 8 9 (1) * * * 10 11

(2) If a brief is not filed electronically under rules 8.70–8.79, one electronic copy 12 of each brief must be served on submitted to the Court of Appeal Supreme 13 Court by sending the copy to the Supreme Court electronic service address. 14 For purposes of this requirement, the term “brief” does not include a petition 15 for rehearing or an answer thereto. 16 17 (

A) The copy must be a single computer file in text-searchable Portable 18 Document Format (PDF), and it must exactly duplicate the appearance 19 of the paper copy, including the order and pagination of all of the 20 brief’s components. By electronically serving submitting the copy, the 21 filer certifies that the copy complies with these requirements and that 22 all reasonable steps have been taken to ensure that the copy does not 23 contain computer code, including viruses, that might be harmful to the 24 court’s electronic filing system for receipt of electronic copies or and to 25 other users of that system. 26 27 (B) * * * 28 29 (

C) If it would cause undue hardship for the party filing the brief to serve 30 submit an electronic copy of the brief on to the Supreme Court of 31 Appeal, the party may instead serve four paper copies of the brief on 32 the Supreme Court.

If the Court of Appeal has ordered the brief sealed, 33 the party serving the brief must place all four copies of the brief in a 34 sealed envelope and attach a cover sheet that contains the information 35 required by rule 8.204(b)(10) and labels the contents as 36 “CONDITIONALLY UNDER SEAL.” The Court of Appeal clerk must 37 promptly notify the Supreme Court of any court order unsealing the 38 brief. In the absence of such notice, the Supreme Court clerk must keep 39 all copies of the brief under seal. 40 41 (3) * * * 42 43

6 (Subd (

c) amended effective January 1, 2014; previously amended effective January 1, 1 2004, January 1, 2005, January 1, 2007, January 1, 2008, and January 1, 2013.) 2 3 Rule 8.212 amended effective January 1, 2014; repealed and adopted as rule 15 effective January 4 1, 2002; previously amended and renumbered effective January 1, 2007; previously amended 5 effective January 1, 2003, January 1, 2004, January 1, 2005, July 1, 2005, January 1, 2008, 6 January 1, 2010, January 1, 2011, and January 1, 2013. 7 8 Advisory Committee Comment 9 10 Subdivision (a). * * * 11 12 Subdivision (b). * * * 13 14 Subdivision (c).

In subdivision (c)(2) the word “brief” means only (1) an appellant’s opening 15 brief, (2) a respondent’s brief, (3) an appellant’s reply brief, (4) an amicus curiae brief, or (5) an 16 answer thereto. It follows that no other documents or papers filed in the Court of Appeal, 17 whatever their nature, should be served on the Supreme Court. Further, only briefs filed in the 18 Court of Appeal “in a civil appeal” must be served on the Supreme Court.

It follows that no briefs 19 filed in the Court of Appeal in criminal appeals or in original proceedings should be served on the 20 Supreme Court. 21 22 “Electronic service address” is defined in rule 8.70. The Supreme Court’s electronic filing 23 address and additional Information about sending electronic submission of copies of briefs to the 24 Supreme Court of Appeal can be found on the web page for the Court of Appeal district in which 25 the brief is being filed on the California Courts website at www.courts.ca.gov/appellatebriefs.htm 26 courtsofappeal. 27 28 Examples of “undue hardship” under (2)(

C) include but are not limited to when a party does not 29 have access to a computer or the software necessary to prepare an electronic copy of a brief or 30 does not have e-mail access to electronically serve submit a brief on the Supreme to the Court of 31 Appeal. 32

7 Ethics Standards for Neutral Arbitrators in Contractual Arbitration 1 The Ethics Standards for Neutral Arbitrators in Contractual Arbitration were adopted by the Judicial 2 Council effective July, 2002, and further substantially amended and reorganized effective January 1, 2003. 3 4 Standard 2.

Definitions 5 6 As used in these standards: 7 8 (

a) Arbitrator and neutral arbitrator 9 10 (1) * * * 11 12

(2) Where the context includes events or acts occurring before an appointment is 13 final, “arbitrator” and “neutral arbitrator” include a person who has been 14 served with notice of a proposed nomination or appointment. For purposes of 15 these standards, “proposed nomination” does not include nomination of 16 persons by a court under Code of Civil Procedure

section 1281.6 to be 17 considered for possible selection as an arbitrator by the parties or 18 appointment as an arbitrator by the court. 19 20 (Subd (

a) amended effective July 1, 2014.) 21 22 (b)–(n) * * * 23 24 (o) “Member of the arbitrator’s extended family” means the parents, grandparents, 25 great-grandparents, children, grandchildren, great-grandchildren, siblings, uncles, 26 aunts, nephews, and nieces of the arbitrator or the arbitrator’s spouse or domestic 27 partner or the spouse or domestic partner of such person. 28 29 (Subd (

o) amended effective July 1, 2014.) 30 31 (p)–(s) * * * 32 33 Standard 2 amended effective July 1, 2014. 34 35 Standard 3. Application and effective date 36 37 (a) * * * 38 39 (

b) These standards do not apply to: 40 41 (1) * * * 42 43

(2) Any arbitrator serving in: 1 2 (A)–(C) * * * 3 4 (

D) An automobile warranty dispute resolution process certified under 5 California Code of Regulations title 16, division 33.1 or an informal 6 dispute settlement procedure under Code of Federal Regulations title 7 16,

chapter 1,

part 703; 8 9 (E)–(F) * * * 10 11 (

G) An arbitration of a complaint filed against a contractor with the 12 Contractors State License Board under Business and Professions Code 13 sections 7085 through 7085.7; or 14 15 (

H) An arbitration conducted under or arising out of public or private sector 16 labor-relations laws, regulations, charter provisions, ordinances, 17 statutes, or agreements.; or 18 19 (

I) An arbitration proceeding governed by rules adopted by a securities 20 self-regulatory organization and approved by the United States 21 Securities and Exchange Commission under federal law. 22 23 (Subd (

b) amended effective July 1, 2014.) 24 25 (

c) The following persons are not subject to the standards or to specific amendments to 26 the standards in certain arbitrations: 27 28

(1) Persons who are serving in arbitrations in which they were appointed to serve 29 as arbitrators before July 1, 2002, are not subject to these standards in those 30 arbitrations. 31 32

(2) Persons who are serving in arbitrations in which they were appointed to serve 33 as arbitrators before January 1, 2003, are not subject to standard 8 in those 34 arbitrations. 35 36

(3) Persons who are serving in arbitrations in which they were appointed to serve 37 as arbitrators before July 1, 2014, are not subject to the amendments to 38 standards 2, 7, 8, 12, 16, and 17 that took effect July 1, 2014 in those 39 arbitrations. 40 41 (Subd (

c) amended effective July 1, 2014.) 42 43

9 Standard 3 amended effective July 1, 2014. 1 2 Comment to Standard 3 3 4 With the exception of standard 8 and the amendments to standards 2, 7, 8, 12, 16, and 17 that 5 took effect July 1, 2014, these standards apply to all neutral arbitrators appointed on or after July 6 1, 2002, who meet the criteria of subdivision (a). Arbitration provider organizations, although not 7 themselves subject to these standards, should be aware of them when performing administrative 8 functions that involve arbitrators who are subject to these standards.

A provider organization’s 9 policies and actions should facilitate, not impede, compliance with the standards by arbitrators 10 who are affiliated with the provider organization. 11 12 Subdivision (b)(2)(

I) is intended to implement the decisions of the California Supreme Court in 13 Jevne v. Superior Court ((2005) 35 Cal.4th 935) and of the United States Court of Appeals for the 14 Ninth Circuit in Credit Suisse First Boston Corp. v. Grunwald ((9th Cir. 2005) 400 F.3d 1119). 15 16 Standard 7. Disclosure 17 18 (a) * * * 19 20 (

b) General provisions 21 22 For purposes of this standard: 23 24 (1) * * * 25 26

(2) Offers of employment or professional relationship 27 28 (

A) Except as provided in (B), if an arbitrator has disclosed to the parties in 29 an arbitration that he or she will entertain offers of employment or of 30 professional relationships from a party or lawyer for a party while the 31 arbitration is pending as required by subdivision (

b) of standard 12, the 32 arbitrator is not also required under this standard to disclose to the 33 parties in that arbitration any such offer from a party or lawyer for a 34 party that he or she subsequently receives or accepts while that 35 arbitration is pending. 36 37 (

B) In a consumer arbitration, if an arbitrator has disclosed to the parties 38 that he or she will entertain offers of employment or of professional 39 relationships from a party or lawyer for a party while the arbitration is 40 pending as required by subdivision (

b) of standard 12 and has informed 41 the parties in the pending arbitration about any such offer and the 42 acceptance of any such offer as required by subdivision (

d) of standard 43

10 12, the arbitrator is not also required under this standard to disclose that 1 offer or the acceptance of that offer to the parties in that arbitration. 2 3 (3) * * * 4 5 (Subd (

b) amended effective July 1, 2014.) 6 7 (

c) Time and manner of disclosure 8 9

(1) Initial disclosure 10 11 Within ten 10 calendar days of service of notice of the proposed nomination 12 or appointment, a proposed arbitrator must disclose to all parties in writing all 13 matters listed in subdivisions (

d) and (

e) of this standard of which the 14 arbitrator is then aware. 15 16

(2) Supplemental disclosure 17 18 If an arbitrator subsequently becomes aware of a matter that must be 19 disclosed under either subdivision (

d) or (

e) of this standard, the arbitrator 20 must disclose that matter to the parties in writing within 10 calendar days 21 after the arbitrator becomes aware of the matter. 22 23 (Subd (

c) amended effective July 1, 2014.) 24 25 (

d) Required disclosures 26 27 A person who is nominated or appointed as an arbitrator A proposed arbitrator or 28 arbitrator must disclose all matters that could cause a person aware of the facts to 29 reasonably entertain a doubt that the proposed arbitrator would be able to be 30 impartial, including, but not limited to, all of the following: 31 32

(1) Family relationships with party 33 34 The arbitrator or a member of the arbitrator’s immediate or extended family 35 is: 36 37 (

A) A party,; 38 39 (

B) a party’sThe spouse or domestic partner, of a party; or 40 41 (

C) An officer, director, or trustee of a party. 42 43

(2) Family relationships with lawyer in the arbitration 1 2 (

A) Current relationships 3 4 The arbitrator, or the spouse, former spouse, domestic partner, child, 5 sibling, or parent of the arbitrator or the arbitrator’s spouse or domestic 6 partner is: 7 8 (A)(i) * * * 9 10 (B)(ii) * * * 11 12 (C)(iii) * * * 13 14 (

B) Past relationships 15 16 The arbitrator or the arbitrator’s spouse or domestic partner was 17 associated in the private practice of law with a lawyer in the arbitration 18 within the preceding two years. 19 20 (3) * * * 21 22

(4) Service as arbitrator for a party or lawyer for party 23 24 (

A) The arbitrator is serving or, within the preceding five years, has served: 25 26 (i)–(ii) * * * 27 28 (iii) As a neutral arbitrator in another prior or pending noncollective 29 bargaining case in which he or she was selected by a person 30 serving as a party-appointed arbitrator in the current arbitration. 31 32 (B)–(C) * * * 33 34

(5) Compensated service as other dispute resolution neutral 35 36 The arbitrator is serving or has served as a dispute resolution neutral other 37 than an arbitrator in another pending or prior noncollective bargaining case 38 involving a party or lawyer for a party and the arbitrator received or expects 39 to receive any form of compensation for serving in this capacity. 40 41 (

A) Time frame 42 43

12 For purposes of this paragraph (5), “prior case” means any case in 1 which the arbitrator concluded his or her service as a dispute resolution 2 neutral within two years before the date of the arbitrator’s proposed 3 nomination or appointment, but does not include any case in which the 4 arbitrator concluded his or her service before January 1, 2002. 5 6 (B)–(C) * * * 7 8 (6)–(7) * * * 9 10

(8) Employee, expert witness, or consultant relationships 11 12 The arbitrator or a member of the arbitrator’s immediate family is or, within 13 the preceding two years, was an employee of or an expert witness or a 14 consultant for a party or for a lawyer in the arbitration. 15 16 (8)

(9) Other professional relationships 17 18 Any other professional relationship not already disclosed under paragraphs 19 (2)–(7)(8) that the arbitrator or a member of the arbitrator’s immediate family 20 has or has had with a party or lawyer for a party.,including the following: 21 22 (

A) The arbitrator was associated in the private practice of law with a 23 lawyer in the arbitration within the last two years. 24 25 (

B) The arbitrator or a member of the arbitrator’s immediate family is or, 26 within the preceding two years, was an employee of or an expert 27 witness or a consultant for a party; and 28 29 (

C) The arbitrator or a member of the arbitrator’s immediate family is or, 30 within the preceding two years, was an employee of or an expert 31 witness or a consultant for a lawyer in the arbitration. 32 33 (9)(10) * * * 34 35 (10)(11) * * * 36 37 (11)(12) * * *. 38 39 (12)(13) * * * 40 41 (13)

(14) Membership in organizations practicing discrimination 42 43

13 The arbitrator’s membership in is a member of any organization that practices 1 invidious discrimination on the basis of race, sex, religion, national origin, or 2 sexual orientation. Membership in a religious organization, an official 3 military organization of the United States, or a nonprofit youth organization 4 need not be disclosed unless it would interfere with the arbitrator’s proper 5 conduct of the proceeding or would cause a person aware of the fact to 6 reasonably entertain a doubt concerning the arbitrator’s ability to act 7 impartially. 8 9 (14)

(15) Any other matter that: 10 11 (A)–(C) * * * 12 13 (Subd (

d) amended effective July 1, 2014.) 14 15 (

e) Inability to conduct or timely complete proceedings Other required 16 disclosures 17 18 In addition to the matters that must be disclosed under subdivision (d), an a 19 proposed arbitrator or arbitrator must also disclose: 20 21

(1) Professional discipline 22 23 (

A) If the arbitrator has been disbarred or had his or her license to practice a 24 profession or occupation revoked by a professional or occupational 25 disciplinary agency or licensing board, whether in California or 26 elsewhere. The disclosure must specify the date of the revocation, what 27 professional or occupational disciplinary agency or licensing board 28 revoked the license, and the reasons given by that professional or 29 occupational disciplinary agency or licensing board for the revocation. 30 31 (

B) If the arbitrator has resigned his or her membership in the State Bar or 32 another professional or occupational licensing agency or board, 33 whether in California or elsewhere, while public or private disciplinary 34 charges were pending. The disclosure must specify the date of the 35 resignation, what professional or occupational disciplinary agency or 36 licensing board had charges pending against the arbitrator at the time of 37 the resignation, and what those charges were. 38 39 (

C) If within the preceding 10 years public discipline other than that 40 covered under (

A) has been imposed on the arbitrator by a professional 41 or occupational disciplinary agency or licensing board, whether in 42 California or elsewhere. “Public discipline” under this provision means 43

14 any disciplinary action imposed on the arbitrator that the professional 1 or occupational disciplinary agency or licensing board identifies in its 2 publicly available records or in response to a request for information 3 about the arbitrator from a member of the public. The disclosure must 4 specify the date the discipline was imposed, what professional or 5 occupational disciplinary agency or licensing board imposed the 6 discipline, and the reasons given by that professional or occupational 7 disciplinary agency or licensing board for the discipline. 8 9

(2) Inability to conduct or timely complete proceedings 10 11 (1)(

A) If the arbitrator is not able to properly perceive the evidence or 12 properly conduct the proceedings because of a permanent or temporary 13 physical impairment; and 14 15 (2)(

B) Any constraints on his or her availability known to the arbitrator that 16 will interfere with his or her ability to commence or complete the 17 arbitration in a timely manner. 18 19 (Subd (

e) amended effective July 1, 2014.) 20 21 (f) * * * 22 23 Standard 7 amended effective July 1, 2014. 24 25 Comment to Standard 7 26 27 This standard requires proposed arbitrators to disclose to all parties, in writing within 10 days of 28 service of notice of their proposed nomination or appointment, all matters they are aware of at 29 that time that could cause a person aware of the facts to reasonably entertain a doubt that the 30 proposed arbitrator would be able to be impartial as well as those matters listed under subdivision 31 (e). and to disclose This standard also requires that if arbitrators subsequently become aware of 32 any additional such matters, they must make supplemental disclosures of these matters within 10 33 days of becoming aware of them.

This latter requirement is intended to address both matters 34 existing at the time of nomination or appointment of which the arbitrator subsequently becomes 35 aware and new matters that arise based on developments during the arbitration, such as the hiring 36 of new counsel by a party. 37 38 Timely disclosure to the parties is the primary means of ensuring the impartiality of an arbitrator. 39 It provides the parties with the necessary information to make an informed selection of an 40 arbitrator by disqualifying or ratifying the proposed arbitrator following disclosure.

See also 41 standard 12, concerning disclosure and disqualification requirements relating to concurrent and 42 subsequent employment or professional relationships between an arbitrator and a party or 43

15 attorney in the arbitration. A party may disqualify an arbitrator for failure to comply with 1 statutory disclosure obligations (see Code Civ. Proc., § 1281.91(a)). Failure to disclose, within 2 the time required for disclosure, a ground for disqualification of which the arbitrator was then 3 aware is a ground for vacatur of the arbitrator’s award (see Code Civ. Proc., § 1286.2(a)(6)(A)). 4 5 The arbitrator’s overarching duty under subdivision (

d) of this standard, which mirrors the duty 6 set forth in Code of Civil Procedure

section 1281.9, is to inform parties about matters that could 7 cause a person aware of the facts to reasonably entertain a doubt that the proposed arbitrator 8 would be able to be impartial. While the remaining subparagraphs of subdivision (

d) require the 9 disclosure of specific interests, relationships, or affiliations, these are only examples of common 10 matters that could cause a person aware of the facts to reasonably entertain a doubt that the 11 arbitrator would be able to be impartial. The absence of the particular fact that none of the 12 interests, relationships, or affiliations specifically listed in the subparagraphs of (

d) are present in 13 a particular case does not necessarily mean that there is no matter that could reasonably raise a 14 question about the arbitrator’s ability to be impartial and that therefore must be disclosed. 15 Similarly, the fact that a particular interest, relationship, or affiliation present in a case is not 16 specifically enumerated in one of the examples given in these subparagraphs does not mean that it 17 must not be disclosed.

An arbitrator must make determinations concerning disclosure on a case- 18 by-case basis, applying the general criteria for disclosure under paragraph subdivision (d): is the 19 matter something that could cause a person aware of the facts to reasonably entertain a doubt that 20 the arbitrator would be able to be impartial? 21 22 Code of Civil Procedure

section 1281.85 specifically requires that the ethics standards adopted by 23 the Judicial Council address the disclosure of interests, relationships, or affiliations that may 24 constitute conflicts of interest, including prior service as an arbitrator or other dispute resolution 25 neutral entity.

Section 1281.85 further provides that the standards “shall be consistent with the 26 standards established for arbitrators in the judicial arbitration program and may expand but may 27 not limit the disclosure and disqualification requirements established by this

chapter [chapter 2 of 28 title 9 of

part III, Code of Civil Procedure, sections 1281–1281.95].” 29 30 Code of Civil Procedure

section 1281.9 already establishes detailed requirements concerning 31 disclosures by arbitrators, including a specific requirement that arbitrators disclose the existence 32 of any ground specified in Code of Civil Procedure

section 170.1 for disqualification of a judge. 33 This standard does not eliminate or otherwise limit those requirements; in large part, it simply 34 consolidates and integrates those existing statutory disclosure requirements by topic area. This 35 standard does, however, expand upon or clarify the existing statutory disclosure requirements in 36 the following ways: 37 38 • Requiring arbitrators to disclose make supplemental disclosures to the parties regarding 39 any matter about which they become aware after the time for making an initial disclosure 40 has expired, within 10 calendar days after the arbitrator becomes aware of the matter 41 (subdivision (f)(c)). 42

16 • Expanding required disclosures about the relationships or affiliations of an arbitrator’s 1 family members to include those of an arbitrator’s domestic partner (subdivisions (d)(1) 2 and (2); see also

definitions of immediate and extended family in standard 2). 3 • Requiring arbitrators, in addition to making statutorily required disclosures regarding 4 prior service as an arbitrator for a party or attorney for a party, to disclose both prior 5 services both as a neutral arbitrator selected by a party arbitrator in the current arbitration 6 and prior compensated service as any other type of dispute resolution neutral for a party 7 or attorney in the arbitration (e.g., temporary judge, mediator, or referee) (subdivisions 8 (d)(4)(C)(A)(iii) and (5)). 9 • If a disclosure includes information about five or more cases, requiring arbitrators to 10 provide a

summary of that information (subdivisions (d)(4)(

C) and (5)(C). 11 • Requiring the arbitrator to disclose if he or she or a member of his or her immediate 12 family is or, within the preceding two years, was an employee, expert witness, or 13 consultant for a party or a lawyer in the arbitration (subdivisions (d)(8) (

A) and (B)). 14 • Requiring the arbitrator to disclose if he or she or a member of his or her immediate 15 family has an interest that could be substantially affected by the outcome of the 16 arbitration (subdivision (d)(11)(12)). 17 18 If a disclosure includes information about five or more cases, requiring arbitrators to provide a 19

summary of that information (subdivisions (d)(4) and (5). 20 • Requiring arbitrators to disclose membership in organizations that practice invidious 21 discrimination on the basis of race, sex, religion, national origin, or sexual orientation 22 (subdivision (d)(13)(14)). 23 • Requiring the arbitrator to disclose if he or she was disbarred or had his or her license to 24 practice a profession or occupation revoked by a professional or occupational disciplinary 25 agency or licensing board, resigned membership in the State Bar or another licensing 26 agency or board while disciplinary charges were pending, or had any other public 27 discipline imposed on him or her by a professional or occupational disciplinary agency or 28 licensing board within the preceding 10 years (subdivision (e)(1)).

The standard identifies 29 the information that must be included in such a disclosure; however, arbitrators may want 30 to provide additional information to assist parties in determining whether to disqualify an 31 arbitrator based on such a disclosure. 32 • Requiring the arbitrator to disclose any constraints on his or her availability known to the 33 arbitrator that will interfere with his or her ability to commence or complete the 34 arbitration in a timely manner (subdivision (d)(e)(2)). 35 • Clarifying that the duty to make disclosures is a continuing obligation, requiring 36 disclosure of matters that were not known at the time of nomination or appointment but 37 that become known afterward (subdivision (e)(f)). 38 39 It is good practice for an arbitrator to ask each participant to make an effort to disclose any 40 matters that may affect the arbitrator’s ability to be impartial. 41 42

17 Standard 8. Additional disclosures in consumer arbitrations administered by a 1 provider organization 2 3 (

a) General provisions 4 5

(1) Reliance on information provided by provider organization 6 7 Except as to the information in (c)(1), an arbitrator may rely on information 8 supplied by the administering provider organization in making the disclosures 9 required by this standard only if the provider organization represents that the 10 information the arbitrator is relying on is current through the end of the 11 immediately preceding calendar quarter.

If the information that must be 12 disclosed is available on the Internet, the arbitrator may comply with the 13 obligation to disclose this information by providing in the disclosure 14 statement required under standard 7(c)(1) the Internet address of the specific 15 web page at which the information is located and notifying the party that the 16 arbitrator will supply hard copies of this information upon request. 17 18 (2) * * * 19 20 (Subd (

a) amended effective July 1, 2014.) 21 22 (

b) Additional disclosures required 23 24 In addition to the disclosures required under standard 7, in a consumer arbitration 25 as defined in standard 2 in which a dispute resolution provider organization is 26 coordinating, administering, or providing the arbitration services, a person 27 proposed arbitrator who is nominated or appointed as an arbitrator on or after 28 January 1, 2003 must disclose the following within the time and in the same 29 manner as the disclosures required under standard 7(c)(1): 30 31

(1) Relationships between the provider organization and party or lawyer in 32 arbitration 33 34 Any significant past, present, or currently expected financial or professional 35 relationship or affiliation between the administering dispute resolution 36 provider organization and a party or lawyer in the arbitration. Information 37 that must be disclosed under this standard includes: 38 39 (

A) The provider organization has a financial interest in a party. 40 41

18 (A)(

B) A party, a lawyer in the arbitration, or a law firm with which a lawyer 1 in the arbitration is currently associated is a member of or has a 2 financial interest in the provider organization. 3 4 (B)(

C) Within the preceding two years the provider organization has received 5 a gift, bequest, or favor from a party, a lawyer in the arbitration, or a 6 law firm with which a lawyer in the arbitration is currently associated. 7 8 (C)(

D) The provider organization has entered into, or the arbitrator currently 9 expects that the provider organization will enter into, an agreement or 10 relationship with any party or lawyer in the arbitration or a law firm 11 with which a lawyer in the arbitration is currently associated under 12 which the provider organization will administer, coordinate, or provide 13 dispute resolution services in other noncollective bargaining matters or 14 will provide other consulting services for that party, lawyer, or law 15 firm. 16 17 (D)(

E) The provider organization is coordinating, administering, or providing 18 dispute resolution services or has coordinated, administered, or 19 provided such services in another pending or prior noncollective 20 bargaining case in which a party or lawyer in the arbitration was a party 21 or a lawyer.

For purposes of this paragraph, “prior case” means a case 22 in which the dispute resolution neutral affiliated with the provider 23 organization concluded his or her service within the two years before 24 the date of the arbitrator’s proposed nomination or appointment, but 25 does not include any case in which the dispute resolution neutral 26 concluded his or her service before July 1, 2002. 27 28

(2) Case information 29 30 If the provider organization is acting or has acted in any of the capacities 31 described in paragraph (1)(D)(E), the arbitrator must disclose: 32 33 (A)–(C) * * * 34 35

(3) Summary of case information 36 37 If the total number of cases disclosed under paragraph (1)(D)(

E) is greater 38 than five, the arbitrator must also provide a

summary of these cases that 39 states: 40 41 (A)–(D) * * * 42 43

19 (Subd (

b) amended effective July 1, 2014.) 1 2 (

c) Relationship between provider organization and arbitrator 3 4 If a relationship or affiliation is disclosed under paragraph subdivision (b), the 5 arbitrator must also provide information about the following: 6 7 (1)–(4) * * * 8 9 (Subd (

c) amended effective July 1, 2014.) 10 11 (d) * * * 12 13 Standard 8 amended effective July 1, 2014. 14 15 Comment to Standard 8 16 17 This standard only applies in consumer arbitrations in which a dispute resolution provider 18 organization is administering the arbitration. Like standard 7, this standard expands upon the 19 existing statutory disclosure requirements. Code of Civil Procedure

section 1281.95 requires 20 arbitrators in certain construction defect arbitrations to make disclosures concerning relationships 21 between their employers or arbitration services and the parties in the arbitration. This standard 22 requires arbitrators in all consumer arbitrations to disclose any financial or professional 23 relationship between the administering provider organization and any party, attorney, or law firm 24 in the arbitration and, if any such relationship exists, then the arbitrator must also disclose his or 25 her relationship with the dispute resolution provider organization.

This standard does not requires 26 an arbitrator to disclose if the provider organization has a financial interest in a party or lawyer in 27 the arbitration or if a party or lawyer in the arbitration has a financial interest in the provider 28 organization because even though provider organizations are prohibited under Code of Civil 29 Procedure

section 1281.92 from administering any consumer arbitration where any such 30 relationship exists. 31 32 Subdivision (b). Currently expected relationships or affiliations that must be disclosed include all 33 relationships or affiliations that the arbitrator, at the time the disclosure is made, expects will be 34 formed.

For example, if the arbitrator knows that the administering provider organization has 35 agreed in concept to enter into a business relationship with a party, but they have not yet signed a 36 written agreement formalizing that relationship, this would be a “currently expected” relationship 37 that the arbitrator would be required to disclose. 38 39 Standard 12. Duties and limitations regarding future professional relationships or 40 employment 41 42

20 (a) * * * 1 2 (

b) Offers for other employment or professional relationships other than as a 3 lawyer, expert witness, or consultant 4 5

(1) In addition to the disclosures required by standards 7 and 8, within ten 6 calendar days of service of notice of the proposed nomination or 7 appointment, a proposed arbitrator must disclose to all parties in writing if, 8 while that arbitration is pending, he or she will entertain offers of 9 employment or new professional relationships in any capacity other than as a 10 lawyer, expert witness, or consultant from a party or a lawyer for a party, 11 including offers to serve as a dispute resolution neutral in another case. 12 13

(2) If the arbitrator discloses that he or she will entertain such offers of 14 employment or new professional relationships while the arbitration is 15 pending: 16 17 (

A) In consumer arbitrations, the disclosure must also state that the 18 arbitrator will inform the parties as required under (

d) if he or she 19 subsequently receives an offer while that arbitration is pending. 20 21 (

B) In all other arbitrations, the disclosure must also state that the arbitrator 22 will not inform the parties if he or she subsequently receives an offer 23 while that arbitration is pending. 24 25

(3) A party may disqualify the arbitrator based on this disclosure by serving a 26 notice of disqualification in the manner and within the time specified in Code 27 of Civil Procedure

section 1281.91(b). 28 29 (Subd (

b) amended effective July 1, 2014.) 30 31 (

c) Acceptance of offers under (

b) prohibited unless intent disclosed 32 33 * * * 34 35 (Subd (

c) amended effective July 1, 2014.) 36 37 (

d) Required notice of offers under (b) 38 39 If, in the disclosure made under subdivision (b), the arbitrator states that he or she 40 will entertain offers of employment or new professional relationships covered by 41 (b), the arbitrator may entertain such offers. However, in consumer arbitrations, 42 from the time of appointment until the conclusion of the arbitration, the arbitrator 43

21 must inform all parties to the current arbitration of any such offer and whether it 1 was accepted as provided in this subdivision. 2 3

(1) The arbitrator in a consumer arbitration must notify the parties in writing of 4 any such offer within five days of receiving the offer and, if the arbitrator 5 accepts the offer, must notify the parties in writing within five days of that 6 acceptance. The arbitrator’s notice must identify the party or attorney who 7 made the offer and provide a general description of the employment or new 8 professional relationship that was offered including, if the offer is to serve as 9 a dispute resolution neutral, whether the offer is to serve in a single case or 10 multiple cases. 11 12

(2) If the arbitrator fails to inform the parties of an offer or an acceptance as 13 required under (1), that constitutes a failure to comply with the arbitrator’s 14 obligation to make a disclosure required under these ethics standards. 15 16

(3) If an arbitrator has informed the parties in a pending arbitration about an offer 17 as required under (1): 18 19 (

A) Receiving or accepting that offer does not, by itself, constitute 20 corruption in or misconduct by the arbitrator; 21 22 (

B) The arbitrator is not also required to disclose that offer or its acceptance 23 under standard 7; and 24 25 (

C) The arbitrator is not subject to disqualification under standard 10(a)(2), 26 (3), or (5) solely on the basis of that offer or the arbitrator’s acceptance 27 of that offer. 28 29

(4) An arbitrator is not required to inform the parties in a pending arbitration 30 about an offer under this subdivision if: 31 32 (

A) He or she reasonably believes that the pending arbitration is not a 33 consumer arbitration based on reasonable reliance on a consumer 34 party’s representation that the arbitration is not a consumer arbitration; 35 36 (

B) The offer is to serve as an arbitrator in an arbitration conducted under 37 or arising out of public or private sector labor-relations laws, 38 regulations, charter provisions, ordinances, statutes, or agreements; or 39 40 (

C) The offer is for uncompensated service as a dispute resolution neutral. 41 42 (Subd (

d) adopted effective July 1, 2014.) 43

22 1 (d)(e) * * * 2 3 (Subd (

e) relettered effective July 1, 2014; adopted as subd (d).) 4 5 Standard 12 amended effective July 1, 2014. 6 7 Comment to Standard 12 8 9 Subdivision (d)(1). A party may disqualify an arbitrator for failure to make required disclosures, 10 including disclosures required by these ethics standards (see Code Civ. Proc., § 1281.91(

a) and 11 standard 10(a)). Failure to disclose, within the time required for disclosure, a ground for 12 disqualification of which the arbitrator was then aware is also a ground for vacatur of the 13 arbitrator’s award (see Code Civ. Proc., § 1286.2(a)(6)(A)). 14 15 Subdivision (d)(4)(B). The arbitrations identified under this provision are only those in which, 16 under Code of Civil Procedure

section 1281.85(

b) and standard 3(b)(2)(H), the ethics standards 17 do not apply to the arbitrator. 18 19 Standard 16. Compensation 20 21 (a) * * * 22 23 (

b) Before accepting appointment, an arbitrator, a dispute resolution provider 24 organization, or another person or entity acting on the arbitrator’s behalf must 25 inform all parties in writing of the terms and conditions of the arbitrator’s 26 compensation. This information must include any basis to be used in determining 27 fees; and any special fees for cancellation, research and preparation time, or other 28 purposes; any requirements regarding advance deposit of fees; and any practice 29 concerning situations in which a party fails to timely pay the arbitrator’s fees, 30 including whether the arbitrator will or may stop the arbitration proceedings. 31 32 (Subd (

b) amended effective July 1, 2014.) 33 34 Standard 16 amended effective July 1, 2014. 35 36 Comment to Standard 16 37 38 This standard is not intended to affect any authority a court may have to make orders with respect 39 to the enforcement of arbitration agreements or arbitrator fees. It is also not intended to require 40 any arbitrator or arbitration provider organization to establish a particular requirement or practice 41 concerning fees or deposits, but only to inform the parties if such a requirement or practice has 42 been established. 43

23 1 Standard 17. Marketing 2 3 (

a) An arbitrator must be truthful and accurate in marketing his or her services. An 4 arbitrator may advertise a general willingness to serve as an arbitrator and convey 5 biographical information and commercial terms of employment and but must not 6 make any representation that directly or indirectly implies favoritism or a specific 7 outcome. An arbitrator must ensure that his or her personal marketing activities and 8 any activities carried out on his or her behalf, including any activities of a provider 9 organization with which the arbitrator is affiliated, comply with this requirement. 10 11 (Subd (

a) amended effective July 1, 2014.) 12 13 (b) * * * 14 15 (

c) An arbitrator must not solicit appointment as an arbitrator in a specific case or 16 specific cases. 17 18 (Subd (

c) adopted effective July 1, 2014.) 19 20 (

d) As used in this standard, “solicit” means to communicate in person, by telephone, 21 or through real-time electronic contact to any prospective participant in the 22 arbitration concerning the availability for professional employment of the arbitrator 23 in which a significant motive is pecuniary gain. The term solicit does not include: 24 (1) responding to a request from all parties in a case to submit a proposal to provide 25 arbitration services in that case; or (2) responding to inquiries concerning the 26 arbitrator’s availability, qualifications, experience, or fee arrangements. 27 28 (Subd (

d) adopted effective July 1, 2014.) 29 30 Standard 17 amended effective July 1, 2014. 31 32 Comment to Standard 17 33 34 Subdivision (

b) and (c). Arbitrators should keep in mind that, in addition to these restrictions on 35 solicitation, several other standards contain related disclosure requirements. For example, under 36 standard 7(d)(4)-(6), arbitrators must disclose information about their past, current, and 37 prospective service as an arbitrator or other dispute resolution for a party or attorney in the 38 arbitration. Under standard 8(b)(1)(

C) and (D), in consumer arbitrations administered by a 39 provider organization, arbitrators must disclose if the provider organization has coordinated, 40 administered, or provided dispute resolution services, is coordinating, administering, or providing 41 such services, or has an agreement to coordinate, administer, or provide such services for a party 42 or attorney in the arbitration. And under standard 12 arbitrators must disclose if, while an 43

24 arbitration is pending, they will entertain offers from a party or attorney in the arbitration to serve 1 as a dispute resolution neutral in another case. 2 3 This These provisions is are not intended to prohibit an arbitrator from accepting another 4 arbitration from a party or attorney in the arbitration while the first matter is pending, as long as 5 the arbitrator complies with the provisions of standard 12 and there was no express solicitation of 6 this business by the arbitrator. 7 8