GMXC RULES FOR ADMINISTRATION OF DISPUTES submitted for Arbitration/Mediation/Arbitration pursuant to THE NEW JERSEY INTERNATIONAL ARBITRATION, MEDIATION AND CONCILIATION ACT, N.J.S.A. 2A:23E-3, ET SEQ.
GMXC provides a hybrid dispute resolution Process under which, consistent with the New Jersey International Arbitration, Mediation and Conciliation Act, N.J.S.A. 2A:23E-2, (hereinafter the NJ IAMC), parties commence an arbitration, suspend the arbitration for a mediation process, and if the mediation yields a negotiated settlement agreement, the Arbitrator/Mediator/Arbitrator completes a Consent Award reflecting that negotiated settlement agreement.
These Rules governing the Process provided by GMXC were first adopted by GMXC as of April 1, 2020, and were revised and put into effect as of March 8, 2024.
These Rules shall apply to all Disputes submitted to GMXC for resolution under the NJ IAMC.
The parties to any agreement referring to or incorporating these Rules shall be deemed to have agreed to comply with everything contained in them and any subsequent amendments in force at the time of commencement of an Arbitration/Mediation. The parties shall also be deemed to have agreed to the terms of the NJ IAMC.
DEFINITIONS AND PRELIMINARY MATTERS:
Appointing Authority: The Appointing Authority is GMXC.
Submission Agreement; Agreement for Arbitration/Mediation: The parties to a Dispute commence the GMXC Process of arbitration/mediation/arbitration under these Rules by filing with GMXC a duly-executed GMXC Submission Agreement, under which the parties agree to arbitrate their Dispute under these GMXC Rules and the NJ IAMC.
Party/Parties: As used in these Rules, a “party” or “parties” refer to the individuals or entities who have entered into a Submission Agreement.
Arbitrator, Mediator, Arbitrator/Mediator and/or Arbitrator /Mediator/Arbitrator: The terms Arbitrator, Mediator, Arbitrator/Mediator and Arbitrator/Mediator/Arbitrator refer to the Neutral Panelist on the GMXC roster selected by the parties and/or appointed by GMXC in accordance with the GMXC Rules.
Rules: The terms “Rules” or “GMXC Rules” refer to these GMXC Rules for the administration of the Process of resolution of Disputes submitted to GMXC for resolution under the NJ IAMC.
Dispute: As used in these Rules, a “Dispute” is the dispute identified and described by the Parties in their Submission Agreement. To submit a Dispute for resolution to GMXC, the parties’ Dispute must either (i) already have been filed or submitted in a pending judicial or arbitral proceeding (a “Prior Pending Proceeding”) or (ii) be described in reasonable detail as part of the parties’ Submission Agreement. If the parties have a Prior Pending Proceeding, they shall attach proof of the Prior Pending Proceeding to the Submission Agreement.
Consent Award: The “Consent Award” is an arbitral award completed by the appointed Arbitrator/Mediator under the GMXC Rules, the New York Convention and the NJ IAMC based on a mediated settlement.
Neutral Panelist. The term Neutral Panelist refers to the members of the panel of Arbitrator/Mediator/Arbitrators qualified, established and maintained by GMXC.
Process: The Process provided by GMXC under these Rules is a hybrid process which commences as an arbitration, after which the Neutral Panelist serves as a mediator to assist the parties in reaching a mediated settlement and, consistent with the NJ IAMC, at the conclusion of the Process, the Arbitrator/Mediator/Arbitrator enters a Consent Award if a mediated settlement is reached. The Consent Award shall be in writing and shall comply with the NJ IAMC and the New York Convention. If the parties do not resolve the Dispute in mediation resulting in a Consent Award, the parties must proceed to arbitrate the Dispute in the manner specified in the Submission Agreement.
Joint Session: A “Joint Session” is a meeting in person or by video or telephone conference or a functionally equivalent service including all parties and their counsel and/or representatives and the Neutral.
Caucus: A “Caucus” is a meeting including the Mediator and a party; a cross caucus is a meeting including the Mediator and two or more parties without their counsel and/or representatives; a counsel caucus is a meeting including the Mediator and one or more counsel or representatives of the parties. The mediation process contemplated by these Rules contemplates that any or all of these types of caucuses may be employed at the option of the Mediator; all caucus meetings may be conducted in person or by video or telephone conference or functionally equivalent service.
Party Disclosure: The Party Disclosure is a full and complete listing of the names of all persons, firms, companies or other entities who are or may be involved in the Dispute provided by a party to GMXC on a confidential basis to permit the Neutral to prepare Neutral Disclosures. The Party Disclosure shall, at a minimum, include the full names of all interested parties including, but not limited to, witnesses, consultants, and attorneys who might be involved in proceedings related to the Dispute. In addition, to avoid conflicts of interest, parties must also list subsidiary and other related entities.
Neutral Disclosures: The Neutral Disclosure is the disclosure by a Neutral of the Neutral’s current and/or past relationship, if any, with any of the persons or entities identified in the Party Disclosures.
THE RULES
Rule 1 –Incorporation of Definitions and Preliminary Matters
The Definitions and Preliminary Matters are incorporated and made a part of these Rules.
Rule 2 – Commencement
A party commences an arbitration/mediation/arbitration with GMXC under the NJ IAMC by filing a duly-executed Submission Agreement with GMXC in the form required by GMXC. The Submission Agreement may be signed digitally in accordance with New Jersey law and in counterparts.
Rule 3 – Administrative Fees and Party Disclosures
3.1. An initial filing with GMXC must also include completed Party Disclosures on behalf of each party. Party Disclosures shall be submitted to GMXC on a confidential basis and shall be used by GMXC and Neutral Panelists for purposes of the preparation of Neutral Disclosures; Party Disclosures do not need to be exchanged between or among the parties.
3.2. Upon all parties’ submission of Party Disclosures and the payment in full of the Fees set forth in the Fee Schedule in effect at the time of the filing of the Submission Agreement, GMXC will appoint the Arbitrator/Mediator/Arbitrator. GMXC shall have no obligation to appoint a Neutral Panelist to a Dispute unless and until the parties have both provided Party Disclosures and have paid the proper Administrative Fees.
3.3. The GMXC Administrative Fees are non-refundable.
Rule 4 – Appointment of the Arbitrator/Mediator/Arbitrator; Disclosure
4.1. The parties may agree to the appointment of any Neutral Panelist from the GMXC Panel. If the parties have not agreed on the Neutral Panelist within 10 days of filing the Submission Agreement, GMXC shall provide the parties with a list of three Neutral Panel members.
4.2. The Neutral Panelist(s) shall provide the parties with the Neutral Disclosures based on the Neutral’s review of the Party Disclosures within three (3) days of GMXC listing of the Neutral as a potential Neutral for the parties’ Dispute. Within 10 days after receipt of such a list from GMXC, each party may strike one Neutral Panelist from the list so provided and so advise GMXC. The GMXC shall then appoint the Neutral Panelist from the Neutral Panelist(s) remaining on the list and so notify the parties.
4.3. Any Neutral Panelist included on a list of potential Arbitrator/Mediators as well as the parties shall disclose to GMXC any circumstances likely to give rise to justifiable doubt as to the impartiality or independence, including any bias or any financial or personal interest in the result of the Dispute or any past or present relationship with the parties of any Neutral Panelist offered to the parties on the list of potential Neutrals.
Rule 5 – Seat of the Arbitration
The seat of the arbitration shall be New Jersey. The arbitration law that shall govern the arbitration portion of the arbitration/mediation/arbitration and any Award resulting from the Arbitration/Mediation/Arbitration shall be United States Federal Law as applied in the U.S. Court of Appeals for the Third Circuit under the New York Convention (that is, the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York 1958)) and the NJ IAMC. The substantive law applicable to the Dispute shall be the law specified in the Underlying Agreement identified by the parties in the Submission Agreement or, if the Underlying Agreement does not specify the substantive law to apply to the Dispute, the substantive law shall be the law of New Jersey.
Rule 6 – Language
All proceedings under these Rules shall be conducted in English unless the parties and the Neutral Panelist agree to conduct the proceedings in another language.
Rule 7 –The Role of the Arbitrator/Mediator/Arbitrator
The parties consent to a hybrid Process as contemplated by the NJ IAMC. The Process shall commence as an arbitration with the Neutral Panelist acting as an Arbitrator. The Neutral Panelist, then acting as a Mediator, shall mediate the Dispute in person or by video or telephone or functionally equivalent service as determined by the Mediator. If the parties reach a mediated settlement and confirm the terms of that settlement in a signed writing, the Neutral Panelist acting as an Arbitrator, following review by the GMXC, shall complete a Consent Award. The Consent Award shall be consistent with the NJ IAMC and the New York Convention. If the parties fail to resolve some or all of the issues raised by the Dispute during the mediation, the parties shall then proceed to arbitrate any matters remaining unresolved in their Dispute in accordance with the provisions of the Submission Agreement.
Rule 8 – Commencement of Mediation
8.1. The Arbitration/Mediation/Arbitration will commence upon the appointment of a Neutral Panelist by the GMXC, unless the parties agree to a different time of commencement in the Submission Agreement and GMXC accepts the different time of commencement. The mediation conducted under the auspices of GMXC shall be completed within 90 days from the appointment of the Neutral Panelist, unless GMXC extends the time.
8.2. Upon commencement of the mediation, the parties shall seek to obtain a stay or formal transfer of any Prior Pending Proceeding.
8.3. In the event the parties do not reach a mediated settlement agreement as to some or all issues in Dispute, they shall proceed to arbitrate the unresolved issues in Dispute in the manner agreed in the Submission Agreement.
Rule 9 – Activities of the Arbitrator/Mediator/Arbitrator and Process Supervision
9.1. The activities of the Neutral Panelist shall include both preparation for and the conduct of the Arbitration/Mediation/Arbitration sessions and issuing any Consent Award, and may also comprise other activities such as communications with the parties and their attorneys or representatives and third parties electronically, in writing, by video or telephone conference or functionally equivalent service, review of documents and submissions, research, in-person conferences, and drafting agreements from the commencement of the Arbitration/Mediation/Arbitration until its conclusion.
9.2. The Arbitrator/Mediator/Arbitrator shall decide, after having consulted with the parties and their attorneys or representatives, on the manner in which the Arbitration/Mediation/Arbitration will be conducted. The Process may be varied by agreement of the Neutral Panelist and the parties.
9.3. Prior to the commencement of the Mediation phase of the Process, the Arbitrator/Mediator/Arbitrator, acting as Arbitrator, may consider and enter interim relief upon an emergency applications for relief which shall remain in force unless and until the parties agree otherwise or a subsequent arbitrator modifies the relief.
9.4. The appointed Arbitrator/Mediator/Arbitrator acting as Mediator may communicate with the parties and their attorneys or representatives, separately and/or jointly during the mediation phase of the proceedings.
9.5. The parties and the Arbitrator/Mediator/Arbitrator shall proceed as expeditiously as possible to schedule the mediation.
Rule 10 – Voluntariness
No Consent Award shall be issued unless the parties agree in writing to a mediated settlement agreement.
Rule 11 – Privacy
No person shall be present at the Arbitration/Mediation/Arbitration Joint Sessions other than the Neutral Panelist, the parties and their attorneys and/or representatives without the consent of all parties and the Neutral Panelist.
Rule 12 – Confidentiality
12.1. The entire Arbitration/Mediation/Arbitration process, apart from any Consent Award, shall be strictly confidential and remain so after the Arbitration/Mediation/Arbitration has ended. The parties and the Neutral Panelist shall not disclose, directly or indirectly, to any third party – any information concerning the Arbitration/Mediation/Arbitration, the positions adopted, proposals made, or the information supplied within the Arbitration/Mediation/Arbitration, either orally or in writing. All communications are also subject to the mediation privilege set forth in NJ Evidence Rule 519 and under New Jersey law and shall also be considered settlement negotiations under New Jersey and Federal Evidence Rules 408. The Consent Award shall not be confidential unless otherwise agreed by the parties. Any agreed-upon confidentiality shall not impede a parties’ right to seek judicial confirmation of the Consent Award for enforcement purposes.
12.2. The parties and their counsel/representatives and the Arbitrator/Mediator/Arbitrator shall not reveal, quote from, refer to, paraphrase or in any other way refer to or use any documents that have been revealed, shown or otherwise disclosed during the Arbitration/Mediation/Arbitration proceeding to any other person not involved in the Process. This obligation shall not apply if and insofar as the party already had or could have had this information at his/her disposal independent of the proceeding. Such documents that are otherwise admissible in an arbitral or judicial proceeding will not be rendered inadmissible by reason of their use in the proceeding. Documents referred to in this Rule 12 include, but are not limited to, notes or minutes made in preparation for or in attendance at the proceeding, any other written agreement including those referred to in these Rules. All such information shall remain confidential, including information provided in all forms, such as audiotapes, videotapes, photographs, emails, digital files or their functional equivalent regardless of format.
12.3. The parties may not require any person involved in the proceeding including the Neutral Panelist to testify to the matters that occurred during the proceeding or cause each other, the Arbitrator/Mediator/Arbitrator or other persons involved in the proceeding to be examined as a witness regarding information supplied and/or recorded during or in connection with the proceeding, or regarding the contents of any agreement as referred to herein. If a GMXC Neutral is required to contest participation in any such proceeding, the fees and costs associated with that appearance shall be borne by the party seeking the Neutral's presence.
12.4. The confidentiality provisions herein shall not apply in the case of:
12.4.1. Information concerning criminal acts or threats of criminal acts for which there is an obligation to report.
12.4.2. Complaints, disciplinary or liability proceedings against the Neutral Panelist. In such event the Neutral Panelist shall be able to defend against any claims and/or disclose information learned during the mediation Process to their professional liability insurance carrier, or in connection with the disciplinary or liability proceeding itself.
Rule 13 – Conclusion of the Process
13.1. The Arbitration/Mediation/Arbitration shall end:
13.1.1. By completion of an enforceable Consent Award disposing of all or some issues raised by the Dispute, issued by the Arbitrator under the NJ IAMC and the New York Convention;
13.1.2. By a written statement from the Arbitrator/Mediator to the parties and to the GMXC stating that the mediation Process has ended without settlement of some or all issues raised by the Dispute and therefore that arbitration of the remaining issues must proceed in accordance with the terms of the Submission Agreement;
13.1.3. By a written statement from either party to the other party or parties and to the GMXC stating that it withdraws from the mediation and shall proceed to arbitrate the Dispute in accordance with the arbitration provisions of the Submission Agreement; and/or
13.1.4. If no Consent Award is issued within 90 days of the appointment of the Neutral Panelist under these Rules and the time deadlines are not extended, then the parties shall proceed to arbitrate the Dispute consistent with these Rules and the arbitration provisions of the Submission Agreement.
Rule 14 – Judgment; Other Proceedings
14.1. Judgment upon the Consent Award may be entered by any court having jurisdiction thereof.
14.2. The parties undertake for the duration of the Arbitration/Mediation/Arbitration not to institute any additional proceedings against each other, with the exception of steps to safeguard rights or property that are threatened with irreparable harm in a manner consistent with these Rules.
14.3. If a party takes steps to safeguard rights or property, or institutes proceedings other than those referred to in these Rules, that party shall be obliged to immediately notify the GMXC and the other party or parties within 24 hours after having taken such steps or after having instituted such proceedings.
Rule 15 – Recording the Outcome of the Arbitration/Mediation/Arbitration
15.1. With respect to any Mediated Agreement reached by the parties, the Arbitrator/Mediator/Arbitrator shall issue a Consent Award that shall conform to the parties’ agreement, which shall be enforceable under the NJ IAMC and the New York Convention.
15.2. The parties shall be responsible for preparation of the Mediated Agreement.
Rule 16 – Matters Not Addressed
The Arbitrator/Mediator/Arbitrator shall decide all procedural matters not provided for by these Rules or the parties’ Submission Agreement. In doing so, the Arbitrator/Mediator/Arbitrator shall act in accordance with the spirit of these Rules.
Rule 17 – Administrative Matters
The parties shall comply with the required intake and administrative procedures posted on the GMXC website (www.GMXCresolutions.com). GMXC may suspend, delay or terminate the administration of any Arbitration/Mediation/Arbitration commenced under the GMXC Rules at the request of the appointed Neutral Panelist and on five days’ notice to the parties for any party’s failure to comply with GMXC administrative requirements.