Subchapter A. COMPULSORY ARBITRATION
Rule
1301. Scope.
1302. List of Arbitrators. Appointment to Board. Oath.
1303. Hearing. Notice.
1304. Conduct of Hearing. Generally.
1305. Conduct of Hearing. Evidence.
1306. Award.
1307. Award. Docketing. Notice. Lien. Judgment. Molding the Award.
1308. Appeal. Arbitrators’ Compensation. Notice.
1309. Parties to Appeal.
1310. Discontinuance.
1311. Procedure on Appeal.
1311.1. Procedure on Appeal. Admission of Documentary Evidence.
1312. Form of Oath. Award and Notice of Entry Award.
1313. Form of Notice of Appeal.
1314. Suspension of Acts of Assembly. Abolition of Practice and Procedure under Repealed Statutes.Rule 1301. Scope.
These rules apply to actions which are submitted to compulsory arbitration pursuant to local rule under Section 7361 of the Judicial Code, 42 Pa.C.S. § 7361.
Official Note
This continues the existing practice under which in the absence of a rule of the Supreme Court each common pleas court may determine whether there shall be arbitration in its judicial district, the kind of cases to be arbitrated and the jurisdictional amount within the limits fixed by Section 7361(b) of the Judicial Code.
Rule 1302. List of Arbitrators. Appointment to Board. Oath.
(a) A list of available arbitrators shall be prepared in the manner prescribed by local rule. The list shall consist of a sufficient number of members of the bar actively engaged in the practice of law primarily in the judicial district in which the court is situated so as to be fairly representative thereof.
(b) The board of arbitrators shall consist of three members of the bar appointed from the list of available arbitrators as prescribed by local rule.
(c) The board shall be chaired by a member of the bar admitted to the practice of law for at least three years.
(d) Not more than one member or associate of a firm or association of attorneys shall be appointed to the same board.
(e) A member of a board who would be disqualified for any reason that would disqualify a judge under the Code of Judicial Conduct shall immediately withdraw as an arbitrator.
(f) Each arbitrator shall take an oath of office in conformity with Section 3151 of the Judicial Code.
Official Note
Arbitrators shall be compensated pursuant to Section 3544(a)(1) of the Judicial Code.
Rule 1303. Hearing. Notice.
(a) (1) The procedure for fixing the date, time and place of hearing before a board of arbitrators shall be prescribed by local rule, provided that not less than thirty days’ notice in writing shall be given to the parties or their attorneys of record.
Official Note
See Rule 248 as to shortening or extending the time for the giving of notice.
(2) The local rule may provide that the written notice required by subdivision (a)(1) include the following statement:
‘‘This matter will be heard by a board of arbitrators at the time, date and place specified but, if one or more of the parties is not present at the hearing, the matter may be heard at the same time and date before a judge of the court without the absent party or parties. There is no right to a trial de novo on appeal from a decision entered by a judge.’’
Official Note
A party is present if the party or an attorney who has entered an appearance on behalf of the party attends the hearing.
(b) When the board is convened for hearing, if one or more parties is not ready the case shall proceed and the arbitrators shall make an award unless the court
(1) orders a continuance, or
(2) hears the matter if the notice of hearing contains the statement required by subdivision (a)(2) and all parties present consent.
Official Note
It is within the discretion of the court whether it should hear the matter or whether the matter should proceed in arbitration. If the court is to hear the matter, it should be heard on the same date as the scheduled arbitration hearing.
In hearing the matter, the trial court may take action not available to the arbitrators, including the entry of a nonsuit if the plaintiff is not ready or a non pros if neither party is ready. If the defendant is not ready, it may hear the matter and enter a decision.
For relief from a nonsuit, see Rule 227.1 governing post-trial practice. See also Rule 3051 governing relief from a judgment of non pros.
Following an adverse decision, a defendant who has failed to appear may file a motion for post-trial relief which may include a request for a new trial on the ground of a satisfactory excuse for the defendant’s failure to appear.
Source The provisions of this Rule 1303 amended July 30, 1998, effective January 1, 1999, 28 Pa.B. 3930. Immediately preceding text appears at serial page (227308).
Rule 1304. Conduct of Hearing. Generally.
(a) Except as otherwise prescribed by these rules, the board of arbitrators shall conduct the hearing in conformity with Rule 1038(a). A voluntary nonsuit may be taken by a plaintiff as permitted by Rule 230. If the plaintiff fails to appear or if, at the conclusion of the plaintiff’s case, the board deems the evidence insufficient to support an award in favor of the plaintiff, it shall enter an award in favor of the defendant. If the board does not do so, the defendant may proceed to offer evidence.
(b) The board shall have the power to administer oaths or affirmations to witnesses and to adjourn an uncompleted hearing from day to day.
(c) A stenographic record or a recording of the hearing shall not be made unless a party does so at his or her own expense. If a party has a stenographic record or a recording made, he or she shall upon request furnish a copy to any other party upon payment of a proportionate share of the total cost of making the record or recording.
Source The provisions of this Rule 1304 amended April 12, 1999, effective July 1, 1999, 29 Pa.B. 2266. Immediately preceding text appears at serial page (246965).
Rule 1305. Conduct of Hearing. Evidence.
(a) Except as prescribed by this rule, the rules of evidence shall be followed in all hearings before arbitrators. Rulings on objections to evidence or on other issues which arise during the hearing shall be made by a majority of the board.
(b)(1) The following documents shall be admitted into evidence if at least twenty days’ notice of the intention to offer them was given to every other party accompanied by a copy of each document to be offered:
(i) Bills or other documents evidencing charges incurred;
Official Note
The board of arbitrators may find a bill authentic, necessary and reasonable without extrinsic evidence but is not required to do so.
(ii) records of businesses, government departments, agencies or offices, subject to statutory restrictions, provided that these are records which would otherwise be admissible if authenticated by a custodian of records;
Official Note
The restrictions on the admissibility of evidence under this subparagraph are unique to the records specified and are not found elsewhere in subdivision (b).
(iii) records and reports of hospitals and licensed health care providers;
(iv) expert reports and descriptions of expert qualifications;
(v) written estimates of value, damage to, cost of repair of or loss of property; and
(vi) reports of rate of earnings and time lost from work or lost compensation prepared by an employer.
(2) If twenty days’ advance notice of intention to offer documents in evidence was not given but copies of the documents were provided to the other parties at least twenty days in advance of the hearing or during discovery, the admissibility of the documents without authentication shall be in the discretion of the arbitrators upon a finding of the absence of prejudice.
(3) A document which is received into evidence under subparagraphs (1) or (2) may be used for only those purposes which would be permissible if the person whose testimony is waived by this rule were present and testifying at the hearing. The arbitrators shall disregard any portion of a document so received that would be inadmissible if the person whose testimony is waived by this rule were testifying in person.
(4) Any other party may subpoena the person whose testimony is waived by this rule to appear at or serve upon a party a notice to attend the hearing and any adverse party may cross-examine the person as to the document as if the person were a witness for the party offering the document. The party issuing the subpoena shall pay the reasonable fees and costs of the person subpoenaed to testify, including a reasonable expert witness fee if applicable.
(c) A written estimate of value, damage to, cost of repair of or loss of property shall be accompanied by a statement of the party offering it whether the property was repaired and, if it was, whether the repairs were made in full or in part and by whom, together with the bill therefor.
(d) A party may offer in evidence, without the certification required by Sections 5328 and 6103 of the Judicial Code, an official weather or traffic signal report or a standard United States Government life expectancy table. A party may also offer any other official record kept within the Commonwealth without such certification if the provisions of subdivision (b) are followed.
Source The provisions of this Rule 1305 amended September 5, 1997, effective January 1, 1998, 27 Pa.B. 4826. Immediately preceding text appears at serial page (227309).
Rule 1306. Award.
The board shall make an award promptly upon termination of the hearing. The award shall dispose of all claims for relief and shall be substantially in the form set forth in Rule 1312. If damages for delay are awarded under Rule 238, the amount shall be separately stated. The award shall be signed by the arbitrators or a majority of them. A dissenting vote without further comment may be noted thereon. The award shall be filed with the prothonotary immediately after it is signed.
Rule 1307. Award. Docketing. Notice. Judgment. Molding the Award.
(a) The prothonotary shall
(1) enter the award of record upon the proper docket,
(2) immediately send by ordinary mail a copy of the award, with notice of the date and time of its entry on the docket and the amount of arbitrators’ compensation to be paid upon appeal, to each party’s attorney of record, or to the party if the party has no attorney of record, and
(3) note in the docket the date of mailing the notice.
(b) Rescinded.
(c) If no appeal is taken within thirty days after the entry of the award on the docket, the prothonotary on praecipe shall enter judgment on the award.
Official Note
Rule 3021(a)(3) requires the prothonotary to immediately enter in the judgment index a judgment entered on praecipe of a party.
(d) Where the record and the award disclose an obvious and unambiguous error in the award mathematics or language, the court, on application of a party within the thirty-day period allowed for appeal, may mold the award to the same extent and with the same effect as the court may mold the verdict of a jury. The filing of such an application shall stay all proceedings including the running of the thirty-day period for appeal until disposition of the application by the court. Any party may file a notice of appeal within the thirty-day appeal period prescribed by Rule 1308(a) or within ten days after disposition of the application, whichever is later.
Source The provisions of this Rule 1307 amended March 11, 1991, effective July 1, 1991, 21 Pa.B. 1284; amended April 12, 1999, effective July 1, 1999, 29 Pa.B. 2266; amended December 19, 2003, effective July 1, 2004, 34 Pa.B. 22; amended November 2, 2007, effective January 1, 2008, 37 Pa.B. 6201. Immediately preceding text appears at serial pages (317017) to (317018).
Rule 1308. Appeal. Arbitrators’ Compensation. Notice.
(a) An appeal from an award shall be taken by
(1) filing a notice of appeal in the form provided by Rule 1313 with the prothonotary of the court in which the action is pending not later than thirty days after the day on which the prothonotary makes the notation on the docket that notice of entry of the arbitration award has been provided as required by Rule 1307(a)(3), and
(2) payment to the prothonotary of the compensation of the arbitrators not exceeding fifty percent of the amount in controversy, which shall not be taxed as costs or be recoverable in any proceeding; provided that the court, in an appropriate case, upon petition may permit the appellant to proceed in forma pauperis.
Official Note
Subdivision (a)(1) incorporates the holding of Stellar Construction Inc. v. Ronald Sborz et al, individually and trading as Keystone Meats, 748 A.2d 667 (Pa. 2000) with respect to the date upon which the appeal period begins to run.
(b) The appellant shall provide the prothonotary with the required notice for mailing and properly stamped and addressed envelopes. The prothonotary shall give notice to each other party of the taking of the appeal. Failure to give the notice shall not invalidate the appeal.
(c) The appellant shall not be required to post any bond, recognizance or other security or to pay any record costs which have accrued in the action. All record costs shall abide the event.
Source The provisions of this Rule 1308 amended November 28, 2000, effective January 1, 2001, 30 Pa.B. 6423. Immediately preceding text appears at serial page (255248).
Rule 1309. Parties to Appeal.
An appeal by any party shall be deemed an appeal by all parties as to all issues unless otherwise stipulated in writing by all parties.
Rule 1310. Discontinuance.
No appeal may be discontinued except by leave of court after notice to all parties or upon the filing of the written consent of all parties.
Rule 1311. Procedure on Appeal.
(a) The trial shall be de novo.
Official Note
Except as otherwise provided by Rule 1311.1, the provisions of Rule 1305 governing conduct of hearing shall not apply on appeal.
(b) An arbitrator may not be called to testify as to what transpired before the arbitrators.
Source The provisions of this Rule 1311 amended April 30, 2003, effective September 1, 2003, 33 Pa.B. 2359. Immediately preceding text appears at serial pages (271790) to (271791).
Rule 1311.1. Procedure on Appeal. Admission of Documentary Evidence.
(a) Election. The plaintiff may elect an amount equal to the jurisdictional limit for compulsory arbitration of the judicial district in which the action was filed as the maximum amount of damages recoverable upon the trial of an appeal from the award of arbitrators. The election shall be filed and served upon every other party at least 30 days from the date the appeal is first listed for trial. The election may be withdrawn at any time by agreement of the parties. If the parties cannot agree, upon plaintiff’s motion to withdraw the election, the court may grant the withdrawal of the election upon good cause shown.
(b) Offer of Documents at Trial. If the plaintiff has filed and served an election as provided in subdivision (a), any party may offer at trial the documents set forth in Rule 1305(b)(1). The documents offered shall be admitted if the party offering them has provided written notice to every other party of the intention to offer the documents at trial at least 20 days from the date the appeal is first listed for trial. The written notice shall be accompanied by a copy of each document to be offered.
(c) Permissible Use of Documents. A document which is received into evidence under subdivision (b) may be used for only those purposes which would be permissible if the person whose testimony is waived by this rule were present and testifying at the hearing. The court shall disregard any portion of a document so received that would be inadmissible if the person whose testimony is waived by this rule were testifying in person.
(d) Other Parties. Any other party may subpoena the person whose testimony is waived by this rule to appear at or serve upon a party a notice to attend the trial and any adverse party may cross-examine the person as to the document as if the person were a witness for the party offering the document. The party issuing the subpoena shall pay the usual and customary fees and costs of the person subpoenaed to testify, including a usual and customary expert witness fee if applicable.
(1) If another party subpoenas or otherwise arranges for the attendance at trial of the person whose testimony is waived by this rule, the document may be presented to the judge or jury as direct examination as if the person has not been subpoenaed by another person, or the plaintiff may conduct a direct examination of the witness.
(2) Any party, or the person subpoenaed, may require that the testimony be given by deposition pursuant to Rule 4020(a)(5). The party issuing the subpoena shall pay the witness’s usual and customary fee for such testimony.
(e) Election Form. The election required by subdivision (a) shall be substantially in the following form:
(Caption)
Election to Limit Monetary Recovery
Pursuant to Pa.R.Civ.P. 1311.1To:
(Name of Party/Parties)
, plaintiff, elects $
as the maximum amount of damages recoverable upon the trial of the appeal from the award of arbitrators in the above captioned action.
(Name of Plaintiff)
(Attorney for Plaintiff)
Date
Note: The term ‘‘plaintiff’’ includes a defendant who is the plaintiff in a counterclaim.
A plaintiff may include in a single document the election and the notice of intent to offer documents.
(f) Notice Form. The notice required by subdivision (b) shall be substantially in the following form:
(Caption)
Notice of
Intent to Offer Documentary Evidence
Pursuant to Pa.R.Civ.P. 1311.1To:
(Name of Party/Parties)
, (Plaintiff, Defendant, Additional Defendant), intends to offer the documents attached hereto at the trial of the appeal from the award of arbitrators, in the manner provided by Rule 1311.1. The following documents are attached (list all documents to be offered):1.
.
2.
.
(Name of Party)
(Attorney for Party)
Date
Comment: Rule 1311.1 governs procedure with respect to the admission of documentary evidence at the trial of an appeal from the award of arbitrators in compulsory arbitration. It incorporates into the arbitration appeal before the court of common pleas the concept of Rule 1305, which permits specified documents to be admitted into evidence at the arbitration hearing upon notice by the party offering the documents to every other party, accompanied by a copy of the documents.
The maximum jurisdictional limit for compulsory arbitration is set forth in 42 Pa.C.S. § 7361. Each judicial district may, by local rule, set an arbitration amount up to its maximum jurisdictional limit. See generally Pa.R.Civ.P. 1301. Under Rule 1311.1, a plaintiff, which includes a defendant who is a plaintiff in a counterclaim, may elect as the maximum amount of damages an amount equal to the compulsory arbitration limit set by the judicial district in which the action was filed. Rule 1311.1(a) also permits an election to be withdrawn either by agreement of the parties or court order for good cause shown.
In return for electing a maximum amount of damages, the party may offer at trial those documents set forth in Rule 1305(b)(1), which include, particularly, expert reports and descriptions of expert qualifications. However, the documents are not admissible for all purposes. See Pa.R.Civ.P. 1311.1(c).
The deadline for providing notice of the intention to use the procedures of subdivision (b) may be altered by the court upon cause shown, provided that no party is prejudiced.
Source The provisions of this Rule 1311.1 adopted April 29, 2003, effective September 1, 2003, 33 Pa.B. 2359; amended May 16, 2006, effective July 1, 2006, 36 Pa.B. 2629; amended April 8, 2013, effective May 8, 2013, 43 Pa.B. 2135; amended May 19, 2022, effective July 1, 2022, 52 Pa.B. 3213. Immediately preceding text appears at serial pages (366477) to (366478).
Rule 1312. Form of Oath. Award and Notice of Entry of Award.
The oath, award of arbitrators and notice of entry shall be in substantially the following form:
(Caption) OATH We do solemnly swear (or affirm) that we will support, obey and defend the Constitution of the United States and the Constitution of this Commonwealth and that we will discharge the duties of our office with fidelity.
Chair
AWARD We, the undersigned arbitrators, having been duly appointed and sworn (or affirmed), make the following award: (Note: If damages for delay are awarded, they shall be separately stated.)
Arbitrator, dissents. (Insert name if applicable.)Date of Hearing:
Chair
Date of Award:
NOTICE OF ENTRY OF AWARD Now, the day of , , at .M., the above award was entered upon the docket and notice thereof given by mail to the parties or their attorneys.
Arbitrators’ compensation to be paid upon appeal:
Prothonotary$
…By:
Deputy
Source The provisions of this Rule 1312 amended April 12, 1999, effective July 1, 1999, 29 Pa.B. 2266. Immediately preceding text appears at serial pages (227311) to (227312).
Rule 1313. Form of Notice of Appeal.
(a) The notice of appeal shall be in substantially the following form:
(Caption)
NOTICE OF APPEAL
FROM AWARD OF BOARD OF ARBITRATORSTO THE PROTHONOTARY:
Notice is given that
appeals from the award of the board of arbitrators entered in this case on
.A jury trial is demanded
. [Check box if a jury trial is demanded. Otherwise jury trial is waived.)
I hereby certify that
(1) the compensation of the arbitrators has been paid,
or
(2) application has been made for permission to proceed in forma pauperis. (Strike out the inapplicable clause.)
Appellant or Attorney for Appellant
Official Note
The demand for jury trial on appeal from compulsory arbitration is governed by Rule 1007.1(b).
(b) No affidavit or verification is required.
Rule 1314. Suspension of Acts of Assembly. Abolition of Practice and Procedure under Repealed Statutes.
After the effective date of these rules:
(1) all Acts or parts of Acts of Assembly inconsistent with these rules are suspended to the extent of such inconsistency; and
(2) the practice and procedure provided in all former Acts of Assembly governing compulsory arbitration, which have been repealed by the Judiciary Act Repealer Act (JARA), Act of April 28, 1978, No. 53, and which are now part of the common law of the Commonwealth by virtue of Section 3(b) of JARA, are hereby abolished and shall not continue as part of the common law of the Commonwealth.
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