Notice Of Appointment (Page 3 of 4) in pdf

DISCLOSURE GUIDELINES

for

Neutrals serving on American Arbitration Association Cases

General

1. The American Arbitration Association Rules and the Code of Ethics require you to make full disclosure.

2. Your duty to make disclosures is ongoing throughout all stages of the arbitration. The Case Manager may prompt

you to conduct a subsequent conflict check during key points of the case, but you should conduct such checks and

make disclosures on your own initiative whenever new information about the case participants comes to light.

3. Any doubt as to whether or not disclosure needs to be made should be resolved in favor of disclosure. You should

not judge the significance of the potential conflict but rather you should make the disclosure and let the parties

determine its significance.

4. As a guiding principle, if a relationship or interest crosses your mind – disclose it.

5. You must disclose:



Any circumstance likely to give rise to justifiable doubt as to your impartiality or independence (per AAA

rules).



Any interest or relationship that might create an appearance of partiality (per the Code of Ethics).



Any applicable statutes pertaining to arbitrator disclosures.

Financial

As to any party, attorney, witness and other arbitrator involved in this case, you must disclose any:



Financial interest that is direct (existing or past) or indirect (existing or past).

Relational

You must disclose any relationships you have with any party, attorney, witness and other arbitrator involved in this

case – this includes relationships with their:



Families or household members



Current employers



Partners



Professional and/or business associates

How to Disclose

When disclosing, specificity is extremely important. Provide enough detail in your disclosure so that the parties are

fully informed of the potential conflict. Tell us:



Who



What



When



Where



How

Failing to provide a sufficient level of detail will delay the confirmation of your appointment, as well as the progress

of the case overall, since the Case Manager will need to contact you for additional information.

All disclosures must be provided in writing. In the rare situation where a disclosure comes to light at a hearing, you

are obligated to excuse yourself from the proceeding and immediately contact the AAA who will facilitate the process

for communicating the disclosure to the parties and obtaining their response. Pursuant to the AAA Rules, the AAA

Notice Of Appointment Page 3

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