|
THE TOP ECHELON CONTRACTING,
INC.
ALTERNATIVE DISPUTE RESOLUTION PLAN
I. PURPOSE & CONSTRUCTION. This Alternative
Dispute Resolution Plan (“Plan”) is
intended to provide for the quick, fair, accessible,
and inexpensive resolution of disputes related
to or arising out of commercial agreements and
current, former, or potential employment relationships
between Top Echelon Contracting, Inc., and Top
Echelon Contracting’s Clients, Vendors, and
present and former Employees and Applicants for
employment as well as any other party bound to
this Plan by contract or otherwise (such as users
of Top Echelon Contracting’s Web site(s)).
The Plan is an exclusive procedural mechanism for
the final resolution of all Covered Disputes; however,
the parties may agree to resolve Non-Covered disputes
in accordance with this Plan. This Plan is not
intended to abridge or enlarge anyone’s substantive
or remedial rights under applicable law or benefit
plan documents. The Plan should be interpreted
and construed in accordance with these purposes.
II. DEFINITIONS. The following terms shall have
the meaning assigned to them in this section.
A. “AAA” means the American Arbitration
Association.
B. The “Act” means the Federal Arbitration
Act, 9 U.S.C. § 1, et seq., as amended from
time to time.
C. The “Top Echelon Contracting” means
Top Echelon Contracting, Inc., and (1) all of its
shareholders, directors, officers, employees, and
agents; (2) every plan of benefits, whether or
not tax-exempt, established or maintained by the
Top Echelon Contracting, Inc., and/or its agents
and plan administrators; (3) the fiduciaries, agents,
and employees of all such plans; and, (4) the suc-cessors
and assigns of all such entities, plans, and persons.
D. “Client” means any and all persons
or entities who purchase or receive licenses, goods,
or services from Top Echelon Contracting (except
to the extent that the underlying Agreement with
such Clients expressly excludes them from coverage
under this Plan) or any of its owners, members,
shareholders, directors, officers, employees, successors,
assigns, or agents.
E. “Covered Dispute” means all legal
and equitable claims, demands, and controversies,
of whatever nature or kind, whether brought under
common law or state, federal, or local statutes,
regulations, or other laws, arising between Top
Echelon Contracting and its employees and clients
regardless of the date of occurrence. However,
common law claims of fraud and conversion as well
as claims brought by Top Echelon Contracting against
a Vendor or Client are not Covered Disputes as
defined by this Plan. For example, Covered Disputes
include, without limitation, matters related to
(1) this Plan; (2) all aspects of employment or
potential employment; (3) applications for or entitlement
to employment, advancement, and/or benefits; (4)
workplace injury or death (other than claims for
workers’ compensation benefits); (5) discrimination
of any type; (6) retaliation of any type; (7) harassment
of any type; (8) defamation, privacy infringements,
or loss or theft of personal information; (9) infliction
of emotional distress; (10) violations of public
policy; (11) all disputes, claims, or actions brought
by a Clients or Vendors against Top Echelon Contracting;
and (12) disputes arising out of your use of our
Web site. Covered Disputes do not include any claims,
demands, or controversies that are (1) compensable
by Top Echelon Contracting’s workers’ compensa-tion
insurance; (2) compensable by unemployment com-pensation
benefits; (3) brought against a Client or Vendor
by Top Echelon Contracting; or (4) brought by or
against third-parties who are not Employees, Clients,
or Vendors of Top Echelon Contracting.
F. “Employees” means all employees
of the Top Echelon Contracting regardless of whether
such employees are assigned to provide services
to or for the benefit of one or more of Top Echelon
Contracting’s Client’s or provide services
directly to Top Echelon Contracting.
G. “Applicant” means any person who
is seeking or has sought employment with the Top
Echelon Contracting after the effective date of
this Plan, including, without limitation, those
people who are referred to Top Echelon Contracting
by third parties for assignment to or for the benefit
of one or more of Top Echelon Contracting’s
Clients.
H. “Vendor” means any person or entity
who sells or provides goods or services or refers
or brokers Applicants, candidates, or Clients to
Top Echelon Contracting, including, without limitation,
recruiters, finders, brokers, and subcontractors,
together with all of their owners, members, shareholders,
directors, officers, employees, successors, assigns,
and agents. Vendor or Client also includes any
other party who may be bound to the terms of this
Plan by contract or otherwise (such as users of
Top Echelon Contracting’s Web site(s)).
III. RESOLUTION PROCESS. The parties shall engage
in an informal attempt to resolve any and all Covered
Disputes. In the event that informal settlement
negotiations fail to resolve a Covered Dispute,
the parties shall submit the Covered Dispute to
the American Arbitration Association (“AAA”)
in accordance with the rules set forth in this
section. The rules set forth in this section shall
govern all proceedings before the AAA. In the event
that any contingency or situation is not accounted
for by these rules, then the AAA’s Rules
of Employment and/or Commercial Arbitration shall
apply; however, no AAA rule shall act to amend,
modify, clarify, or replace any rule contained
in this Plan.
A. INITIATION OF CLAIM. A party may initiate proceedings
under this Plan at any time, subject to any defenses
including those applicable to the timeliness of
the claim, such as limitations and latches. Claims
may be initiated by serving a written request to
initiate proceedings on the AAA and ten-dering
the appropriate administrative fee in accordance
with AAA Rules. In the event that an Employee/Applicant
initiates a claim, Employee/Applicant shall pay
the initial filing fee set forth in these rules
and the remainder of costs shall be paid in accordance
with Section III.Y of these rules. The AAA will
serve copies of the request on all other parties
to the Covered Dispute. The request must describe
the nature of the Covered Dispute, the amount involved,
if any, and the remedy sought including dollar
amount, if any.
B. RESPONSE. The party against whom a claim is
asserted must file an answering statement within
30 days of receiving notice of petitioner’s
claims. The answering statement shall include any
and all counterclaims, or the same shall be waived.
C. RULES OF PROCEEDINGS. The arbitration proceedings
and hearings shall be governed by the AAA’s
Rules of Employment or Commercial Arbitration (as
determined by the Covered Dispute’s subject
matter) with the following exceptions: (1) there
shall be a 60-day discovery period and the discovery
sections of the Federal Rules of Civil Procedure
shall apply to all discovery proceedings; (2) the
Federal Rules of Evidence shall apply to all evidentiary
hearings and proceedings; (3) all evidentiary hearings
will be conducted in accordance with the Federal
Rules of Civil Procedure; and (4) the specific
rules provisions set forth in this Plan shall govern
in place of AAA rules to the extent that they conflict
with, limit, or expand a similar AAA rule.
D. DEADLINES. All timeframes and deadlines not
specified herein, including those related to discovery,
shall be established by the AAA Rules or the arbiter(s).
E. POSTPONMENT. The arbiter, for good cause shown
by a party, or on agreement of the parties, may
postpone any proceeding or confer-ence. However,
a pending court proceeding (other than one for
equitable relief as permitted under this Plan)
that is related to the same matter is not a good
cause for postponement.
F. RECORD OF PROCEEDINGS. There shall be a stenographic
record of the pro-ceedings. The parties shall share
equally in the cost of producing the same. Copies
of the record shall be furnished to all parties
upon payment of the cost of reproduction.
G. PROCEDURE. All evidentiary hearings shall be
conducted by the arbiter in accordance with the
Federal Rules of Civil Procedure and the Federal
Rules of Evidence.
H. ABSENCE OF PARTY. The arbiter may proceed in
the absence of parties or representatives who,
after due notice, fail to be present or fail to
obtain a postponement. An award may not be made
solely on the default of a party unless the arbiter
requires any party who is present to first submit
such evidence as the arbiter may require for the
making of an award.
I. EVIDENCE. The arbiter shall be the sole judge
of the relevancy, materiality, and admissi-bility
of evidence proffered, applying the Federal Rules
of Evidence to all proffered evidence. In addition,
the arbiter may subpoena witnesses or documents
at the request of a party.
J. MEDIATION. At any time before the proceeding
is closed, the parties may agree to mediate their
dis-pute by notifying the AAA; and, the AAA will
determine what procedures apply to any such mediation
unless otherwise agreed by the parties.
K. REPRESENTATION. Any party may be represented
by legal counsel or an authorized representative.
L. GOVERNING LAW AND FORUM. All Covered Disputes,
proceedings under this Plan, and judicial review
of awards initiated in accordance with this Plan
shall be governed by the Act and the substantive
law of the State of Ohio and/or federal substantive
law which would be applied by a Federal Court sitting
in the State of Ohio without regard to Ohio’s
choice of law provisions.
M. SUBSTANTIVE RIGHTS PRESERVED. The substantive
legal rights, remedies, and defenses of all parties
are preserved. In the case of arbitration, the
arbiter(s) shall have authority, within the bounds
of this Plan, to determine the controlling law
and to order any and all relief, legal, or equitable,
including punitive damages, which a party could
obtain from a court of competent juris-diction
on the basis of the claims made in the proceeding.
Further, the arbiter’s award is subject to
appeal before the Stark County Court of Common
Pleas, and the Ohio Supreme Court on the same substantive
grounds and same procedural requirements that any
decision of the Stark County Court of Common Pleas
would be subject to appeal. Other than as provided
herein, the Plan shall not be construed to grant
additional substan-tive, legal, or contractual
rights, reme-dies, or defenses which would not
be applied by the Stark County Court of Common
Pleas in the absence of the Plan.
N. ATTORNEY FEES AND COSTS. Notwithstanding the
provisions of the preceding subsection, in any
proceed-ing before an arbiter, the arbiter, in
his or her discretion, may allow a prevail-ing
party an award of reasonable attorney’s fees
if such fees would otherwise be eligible for award
under common law.
O. CLOSING AND REOPENING OF PROCEEDINGS. When
the arbiter is satisfied that the record is complete,
including the sub-mission of any post-hearing briefs
or documents permitted by the arbiter, the arbiter
shall declare the proceeding closed. The proceeding
may be reopened on the arbiter's initiative or
upon the arbiter’s judgment after applica-tion
of a party to reopen the proceedings that is filed
before the award is made.
P. WAIVER OF PROCEDURES. Any party who fails to
object in writing, within 30 days after knowledge
that any provision or requirements of this Plan
have not been complied with, shall be deemed to
have waived the right to object.
Q. SERVICE OF NOTICE & DOCUMENTS. Any papers,
notices, or process necessary or proper for the
initiation or continuation of any proceeding under
this Plan (including the award of the arbiter,
any court action in connection therewith, or the
entry of judgment on an award made under these
procedures) may be served on a party by regular
U.S. mail, next day air, or courier service addressed
to the party or his or her representative at the
last known address or by personal service. The
AAA, parties, and arbiter may also use facsimile
transmission, telex, telegram, or other written
forms of electronic communication to give any notices
required by this Plan. The address and fax numbers
of the Top Echelon Contracting are as follows:
Top Echelon Contracting, Inc.
800 Market Avenue North
Canton, Ohio 44702
Phone: (330) 454-3508
Fax: (330) 454-8891
R. COMMUNICATION WITH ARBITER. There shall be
no communication between the parties and the arbiter
other than at a scheduled or noticed oral hearings
or conferences. Any other oral or written communications
from the parties to the arbiter shall be directed
to the AAA (and copied to the par-ties) for transmission
to the arbiter, unless the parties and the arbiter
agree otherwise.
S. TIME OF AWARD. The arbiter will make his decision
within thirty (30) days from the date of the closing
of the proceeding or, if applicable, the closing
of a reopened proceeding unless otherwise agreed
by the parties or specified by applicable law.
T. FORM OF AWARD. The arbiter will make his award
in a signed writing. The arbiter will only write
a statement of reasons for the award if requested
to do so in the initial request to initiate proceedings
(complaint) or in the answering statement (answer).
The prevailing party may execute upon the reward
in any manner required or permitted by law.
U. MODIFICATION OF AWARD. The arbiter will modify
any award upon order of a court of competent jurisdic-tion,
or agreement of the parties. In addition, the arbiter
may modify an award on the motion of a party if
the arbiter finds that the award, as rendered,
is ambiguous or defective in form, or if the award
requires an illegal or impossible act. These are
the only circumstances under which an arbiter may
exercise continuing jurisdiction to withdraw or
modify an award.
V. SETTLEMENT. If the parties settle their Covered
Dispute at any time after the request to initiate
proceedings is served, the arbiter may set out
the terms of the settlement in a con-sent award.
W. SCOPE OF ARBITER’S AUTHORITY. The arbiter's
authority shall be limited to the resolution of
Covered Disputes between the parties. As such,
the arbiter shall be bound by and shall apply applicable
substantive law including, without limitation,
those laws related to the allocation of the burden
of proof, limitations periods, etc. The arbiter
may not abridge or enlarge sub-stantive rights
available under applicable law. The arbiter may
also grant any equitable relief (whether permanent,
preliminary, or temporary) that is or would be
authorized by applicable law. The arbiter shall
be bound by and shall comply with the provisions
of this Plan.
X. JUDICIAL PROCEEDINGS AND EXCLUSIONS OF LIABILITY.
Neither the AAA nor any arbiter is a necessary
party in any judi-cial or arbitration proceedings
relating to this Plan. Neither the AAA nor any
arbiter shall be liable to any party for any act
or omission in connection with any proceedings
within the scope of this Plan. Any court with jurisdiction
over the parties may compel a party to proceed
under this Plan at any place and may enforce any
award made. The parties to this Plan shall be deemed
to have consented that judgment upon the award
of the arbiter may be entered and enforced in any
federal or state court having personal jurisdiction
of the parties. Initiation of, participation in,
or removal of a legal proceeding shall not constitute
a waiver of rights under this Plan.
Y. FEES & EXPENSES. The expenses of witnesses
shall be borne by the party producing such wit-nesses,
except as otherwise provided by law or in the award
of the arbiter. All attorney fees shall be borne
by the party incurring them except as other-wise
provided by law and awarded by the arbiter. Discovery
costs (e.g., court reporter fees for original transcripts)
shall be borne by the Party initiating the discovery.
The cost of copies of deposition transcripts or
other discovery shall be borne by the party ordering
the copy. The fees and expenses of experts, consultants,
and others retained or consulted by a party shall
be borne by the party utilizing those services.
(1) CLAIMS OF EMPLOYEES. To initiate proceedings
under this plan, an Employee/Applicant shall pay
a $185 filing fee. Otherwise, Employee/Applicant
shall not be responsible for payment of the balance
of any AAA initial filing fees. Any balance of
the initial filing fee set forth herein that exceeds
the AAA’s required filing fee shall be applied
to the Employee/Applicant’s future costs.
Top Echelon Contracting shall pay for any deficiency
balance of AAA filing fees as well as the fees
of the arbiter or mediator, the required travel
of an arbiter or mediator, and the reasonable travel
expenses of an arbiter, mediator, or AAA. All other
expenses, fees, and costs of proceedings related
to the AAA, arbiter, or mediator under this Plan
shall be borne equally by the parties.
(2) CLAIMS OF CLIENTS & VENDORS. To initiate
proceedings under this plan, a Client or Vendor
shall pay the AAA’s applicable filing fee.
Top Echelon Contracting and the Client or Vendor
shall share equally in the costs or fees of the
arbiter or mediator, the required travel of an
arbiter or mediator, and the reasonable travel
expenses of an arbiter, mediator, or AAA. All other
expenses, fees, and costs of proceedings related
to the AAA, arbiter, or mediator under this Plan
shall be borne equally by the party who generates
the expense, fee, or cost.
Z. INTERPRETATION AND APPLICATION. The arbiter
shall interpret and apply these rules insofar as
they relate to the arbiter’s powers and duties.
All other rules shall be interpreted and applied
by the AAA.
IV. APPLICATION & COVERAGE. This Plan does
not apply to claims for workers’ compensa-tion
benefits, unemployment com-pensation benefits,
claims based upon fraud and/or conversion, or claims
brought by Top Echelon Contracting, Inc., against
a Client or Vendor. Further, mediation and arbitration
under this Plan are only available for Covered
Disputes involving legally protected rights. In
addition to seeking a remedy under the Plan, the
parties may seek equitable relief (including temporary,
preliminary, and permanent injunctive orders) from
the Stark County Court of Common Pleas of Ohio
pending the institution of proceedings under the
Plan.
A. BINDING EFFECT. All Covered Disputes not otherwise
settled by the parties shall be finally and conclusively
resolved under this Plan. Unless otherwise permitted
by the Plan, proceedings under the Plan shall be
the exclusive, final, and binding method by which
Covered Disputes are resolved.
B. CONFIDENTIALITY. The parties and their counsel,
the AAA, and the arbiter(s) will hold all documents,
communications, discovery responses, and information
reported to them pursuant to the Plan in confidence.
In the event that a party is required by law or
otherwise to disclose such information to an administrative
agency, court, or legislative body, the party subject
to disclosure will give reasonable notice to the
other parties before making the disclosure and
allow them to move for a protective order at their
sole expense.
C. NO RETALIATION. No party shall be subject to
any form of discipline or retaliation for initiating
or participating in good faith in any process or
proceeding under this Plan.
D. AMENDMENT. This Plan may be amended by Top
Echelon Contracting at any time by giving notice
to Employees and/or Clients. All amendments shall
apply to Covered Disputes that have accrued but
for which no proceedings have been initiated. However,
no amendments apply to a Covered Dispute for which
a proceeding has been initiated pursuant to the
Plan.
E. TERMINATION. This Plan may be terminated by
Top Echelon Contracting at any time by giving notice
of termination to its Employees, Vendors, and/or
Clients. Termination shall be effective for all
Covered Disputes that have accrued but for which
no proceedings have been initiated. However, termination
shall not be effective as to Covered Disputes for
which a proceeding has been initiated pursuant
to the Plan prior to the date of notice of termination.
F. ADMINISTRATIVE PROCEEDINGS. This Plan shall
apply to a Covered Dispute pending before any local,
state, or feder-al administrative body or court
unless prohibit-ed by law. Participation in any
administrative or judicial pro-ceeding by the Companies
shall not affect the applicability of the Plan
to any such Covered Dispute upon termination of
the administrative or judicial proceedings. A find-ing,
recommendation, or decision by an administrative
body on the merits of a Covered Dispute shall have
the same legal weight or effect under the Plan
as it would in a court of com-petent jurisdiction.
G. EFFECTIVE DATE. The effective date of this
Plan is April 1, 2006.
H. SEVERABILIITY. The terms of this Plan are severable.
The invalidity or unenforceability of any provision
therein shall not affect the application of any
other provision. Where possible, consistent with
the purposes of the Plan, any otherwise invalid
provision of the Plan may be reformed, and as reformed,
enforced.
I. ADMINISTRATION. Top Echelon Contracting’s
General Counsel and/or his or her appointee will
be known as the “Dispute Resolution Plan
Administrator.” The Dispute Resolution Plan
Administrator shall be responsible for the management
and administration of this Plan.
J. ASSENT. The following acts or omissions shall
be deemed means of accepting this Plan:
1. APPLICANTS & EMPLOYEES. Submission of an
Application for Employment, acceptance of employment,
or continued employment (no matter what the duration)
after the Effective Date of this Plan constitutes
both acceptance of this Plan and sufficient consideration
for Employee/Applicant’s compliance with
this Plan. Employees, Applicants, and Top Echelon
Contracting, Inc., will be bound by this Plan during
application and selection process, employment,
and after termination of employment.
2. VENDORS & CLIENTS. Provision of products,
services, and referrals, to or from Top Echelon
Contracting, Inc., after the Effective Date of
this Plan constitutes both acceptance of this Plan
and consideration for Vendor/Client’s compliance
with this plan. Vendor and Client acknowledge that
absent Vendor and/or Client’s promise to
comply with this Plan, Top Echelon Contracting,
Inc. would not otherwise do business with Vendor
and/or Client.
K. JURISDICTION. Employee/Applicant, Vendor and
Client hereby irrevocably consents to personal
jurisdiction in the state of Ohio for any disputes
involving Top Echelon Contracting, Inc.; and any
legal action permitted by this Plan in a court
of law shall be initiated in a court with proper
subject matter jurisdiction for Stark County, Ohio,
and shall be subject to and governed by the substantive
laws of the State of Ohio without regard to its
choice of laws provisions.
|