Resolução alternativa de conflitos - The Alternative Dispute Resolution Act of 1998 (US)

O Ato permite que as cortes federais implementem programas de resolução alternativa de conflitos, podendo exigir que as partes, em litígios civis, deles participem de alguma forma. Define resolução alternativa de conflitos como qualquer processo ou procedimento, diverso de uma sentença judicial, com participação de um terceiro imparcial, para facilitar a resolução de controvérsias, tais como prévio parecer imparcial, mediação, minijulgamento e arbitragem. Não fixa requisitos relativos à estrutura desses procedimentos e permite que as cortes adotem ou criem outras formas de resolução alternativa de conflitos. A arbitragem, porém, submete-se a requisitos e restrições. Não pode ser imposta às partes. Delas se excluem as causas de natureza constitucional, as relativas a direitos civis e as de valor superior a $ 150.000. O laudo arbitral não obsta ao pedido de julgamento judicial, não se permitindo a condenação da parte inconformada nas custas da arbitragem ou em honorários advocatícios. Mas, se nenhuma das partes pede julgamento judicial, no prazo de trinta dias, o laudo torna-se vinculante tanto quanto uma sentença da corte, não cabendo apelação. Não se esclarece se esse pedido pode ser formulado na pendência da arbitragem.

Embora definindo certas regras relativas à arbitragem, o Ato confere ampla discrição às cortes. Elas podem determinar quê procedimentos de resolução alternativa de conflitos serão cabíveis, como serão estruturados, bem como se algumas formas destinadas a facilitar a resolução dos conflitos serão facultativas ou obrigatórias. Cabe às cortes determinar as causas excluídas do sistema alternativo,  dizer até quando poderão ser para ele encaminhadas, bem como se fica ou não suspenso o processo. Deverão assegurar o sigilo dos procedimentos e garantir a liberdade das partes, para que só livremente aceitem a arbitragem, não podendo ser penalizadas por recusá-la.

O Ato não dispõe sobre requisitos substanciais, tais como treinamento, qualificação e pagamento dos árbitros, mediadores e facilitadores. Também se delegou às cortes a supervisão dos programas de resolução alternativa de conflitos e a criação de mecanismos que assegurem a qualidade dos serviços, de modo a que realmente beneficiem os litigantes.

(Excerto livremente traduzido do artigo de Caroline Harris Crowne, The alternative dispute resolution act of 1998: implementing a new paradigm of justice. New York University Law Review, v. 76, n. 6, dec.2001).

Segue o texto do Ato comentado:

 
 
               TITLE 28--JUDICIARY AND JUDICIAL PROCEDURE
 
                 PART III--COURT OFFICERS AND EMPLOYEES
 
               CHAPTER 44--ALTERNATIVE DISPUTE RESOLUTION
 
Sec. 651. Authorization of alternative dispute resolution
 
    (a) Definition.--For purposes of this chapter, an alternative 
dispute resolution process includes any process or procedure, other than 
an adjudication by a presiding judge, in which a neutral third party 
participates to assist in the resolution of issues in controversy, 
through processes such as early neutral evaluation, mediation, 
minitrial, and arbitration as provided in sections 654 through 658.
    (b) Authority.--Each United States district court shall authorize, 
by local rule adopted under section 2071(a), the use of alternative 
dispute resolution processes in all civil actions, including adversary 
proceedings in bankruptcy, in accordance with this chapter, except that 
the use of arbitration may be authorized only as provided in section 
654. Each United States district court shall devise and implement its 
own alternative dispute resolution program, by local rule adopted under 
section 2071(a), to encourage and promote the use of alternative dispute 
resolution in its district.
    (c) Existing Alternative Dispute Resolution Programs.--In those 
courts where an alternative dispute resolution program is in place on 
the date of the enactment of the Alternative Dispute Resolution Act of 
1998, the court shall examine the effectiveness of that program and 
adopt such improvements to the program as are consistent with the 
provisions and purposes of this chapter.
    (d) Administration of Alternative Dispute Resolution Programs.--Each 
United States district court shall designate an employee, or a judicial 
officer, who is knowledgeable in alternative dispute resolution 
practices and processes to implement, administer, oversee, and evaluate 
the court's alternative dispute resolution program. Such person may also 
be responsible for recruiting, screening, and training attorneys to 
serve as neutrals and arbitrators in the court's alternative dispute 
resolution program.
    (e) Title 9 Not Affected.--This chapter shall not affect title 9, 
United States Code.
    (f) Program Support.--The Federal Judicial Center and the 
Administrative Office of the United States Courts are authorized to 
assist the district courts in the establishment and improvement of 
alternative dispute resolution programs by identifying particular 
practices employed in successful programs and providing additional 
assistance as needed and appropriate.
 
Sec. 652. Jurisdiction
 
    (a) Consideration of Alternative Dispute Resolution in Appropriate 
Cases.--Notwithstanding any provision of law to the contrary and except 
as provided in subsections (b) and (c), each district court shall, by 
local rule adopted under section 2071(a), require that litigants in all 
civil cases consider the use of an alternative dispute resolution 
process at an appropriate stage in the litigation. Each district court 
shall provide litigants in all civil cases with at least one alternative 
dispute resolution process, including, but not limited to, mediation, 
early neutral evaluation, minitrial, and arbitration as authorized in 
sections 654 through 658. Any district court that elects to require the 
use of alternative dispute resolution in certain cases may do so only 
with respect to mediation, early neutral evaluation, and, if the parties 
consent, arbitration.
    (b) Actions Exempted From Consideration of Alternative Dispute 
Resolution.--Each district court may exempt from the requirements of 
this section specific cases or categories of cases in which use of 
alternative dispute resolution would not be appropriate. In defining 
these exemptions, each district court shall consult with members of the 
bar, including the United States Attorney for that district.
    (c) Authority of the Attorney General.--Nothing in this section 
shall alter or conflict with the authority of the Attorney General to 
conduct litigation on behalf of the United States, with the authority of 
any Federal agency authorized to conduct litigation in the United States 
courts, or with any delegation of litigation authority by the Attorney 
General.
    (d) Confidentiality Provisions.--Until such time as rules are 
adopted under chapter 131 of this title providing for the 
confidentiality of alternative dispute resolution processes under this 
chapter, each district court shall, by local rule adopted under section 
2071(a), provide for the confidentiality of the alternative dispute 
resolution processes and to prohibit disclosure of confidential dispute 
resolution communications.
 
 
Sec. 653. Neutrals
 
    (a) Panel of Neutrals.--Each district court that authorizes the use 
of alternative dispute resolution processes shall adopt appropriate 
processes for making neutrals available for use by the parties for each 
category of process offered. Each district court shall promulgate its 
own procedures and criteria for the selection of neutrals on its panels.
    (b) Qualifications and Training.--Each person serving as a neutral 
in an alternative dispute resolution process should be qualified and 
trained to serve as a neutral in the appropriate alternative dispute 
resolution process. For this purpose, the district court may use, among 
others, magistrate judges who have been trained to serve as neutrals in 
alternative dispute resolution processes, professional neutrals from the 
private sector, and persons who have been trained to serve as neutrals 
in alternative dispute resolution processes. Until such time as rules 
are adopted under chapter 131 of this title relating to the 
disqualification of neutrals, each district court shall issue rules 
under section 2071(a) relating to the disqualification of neutrals 
(including, where appropriate, disqualification under section 455 of 
this title, other applicable law, and professional responsibility 
standards).
 
 
Sec. 654. Arbitration
 
    (a) Referral of Actions to Arbitration.--Notwithstanding any 
provision of law to the contrary and except as provided in subsections 
(a), (b), and (c) of section 652 and subsection (d) of this section, a 
district court may allow the referral to arbitration of any civil action 
(including any adversary proceeding in bankruptcy) pending before it 
when the parties consent, except that referral to arbitration may not be 
made where--
        (1) the action is based on an alleged violation of a right 
    secured by the Constitution of the United States;
        (2) jurisdiction is based in whole or in part on section 1343 of 
    this title; or
        (3) the relief sought consists of money damages in an amount 
    greater than $150,000.
 
    (b) Safeguards in Consent Cases.--Until such time as rules are 
adopted under chapter 131 of this title relating to procedures described 
in this subsection, the district court shall, by local rule adopted 
under section 2071(a), establish procedures to ensure that any civil 
action in which arbitration by consent is allowed under subsection (a)--
        (1) consent to arbitration is freely and knowingly obtained; and
        (2) no party or attorney is prejudiced for refusing to 
    participate in arbitration.
 
    (c) Presumptions.--For purposes of subsection (a)(3), a district 
court may presume damages are not in excess of $150,000 unless counsel 
certifies that damages exceed such amount.
    (d) Existing Programs.--Nothing in this chapter is deemed to affect 
any program in which arbitration is conducted pursuant to section \1\ 
title IX of the Judicial Improvements and Access to Justice Act (Public 
Law 100-702), as amended by section 1 of Public Law 105-53.
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    \1\ So in original. The word ``section'' probably should not appear.
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Sec. 655. Arbitrators
 
    (a) Powers of Arbitrators.--An arbitrator to whom an action is 
referred under section 654 shall have the power, within the judicial 
district of the district court which referred the action to 
arbitration--
        (1) to conduct arbitration hearings;
        (2) to administer oaths and affirmations; and
        (3) to make awards.
 
    (b) Standards for Certification.--Each district court that 
authorizes arbitration shall establish standards for the certification 
of arbitrators and shall certify arbitrators to perform services in 
accordance with such standards and this chapter. The standards shall 
include provisions requiring that any arbitrator--
        (1) shall take the oath or affirmation described in section 453; 
    and
        (2) shall be subject to the disqualification rules under section 
    455.
 
    (c) Immunity.--All individuals serving as arbitrators in an 
alternative dispute resolution program under this chapter are performing 
quasi-judicial functions and are entitled to the immunities and 
protections that the law accords to persons serving in such capacity.
 
 
Sec. 656. Subpoenas
 
    Rule 45 of the Federal Rules of Civil Procedure (relating to 
subpoenas) applies to subpoenas for the attendance of witnesses and the 
production of documentary evidence at an arbitration hearing under this 
chapter.
 
                
 
Sec. 657. Arbitration award and judgment
 
    (a) Filing and Effect of Arbitration Award.--An arbitration award 
made by an arbitrator under this chapter, along with proof of service of 
such award on the other party by the prevailing party or by the 
plaintiff, shall be filed promptly after the arbitration hearing is 
concluded with the clerk of the district court that referred the case to 
arbitration. Such award shall be entered as the judgment of the court 
after the time has expired for requesting a trial de novo. The judgment 
so entered shall be subject to the same provisions of law and shall have 
the same force and effect as a judgment of the court in a civil action, 
except that the judgment shall not be subject to review in any other 
court by appeal or otherwise.
    (b) Sealing of Arbitration Award.--The district court shall provide, 
by local rule adopted under section 2071(a), that the contents of any 
arbitration award made under this chapter shall not be made known to any 
judge who might be assigned to the case until the district court has 
entered final judgment in the action or the action has otherwise 
terminated.
    (c) Trial de Novo of Arbitration Awards.--
        (1) Time for filing demand.--Within 30 days after the filing of 
    an arbitration award with a district court under subsection (a), any 
    party may file a written demand for a trial de novo in the district 
    court.
        (2) Action restored to court docket.--Upon a demand for a trial 
    de novo, the action shall be restored to the docket of the court and 
    treated for all purposes as if it had not been referred to 
    arbitration.
        (3) Exclusion of evidence of arbitration.--The court shall not 
    admit at the trial de novo any evidence that there has been an 
    arbitration proceeding, the nature or amount of any award, or any 
    other matter concerning the conduct of the arbitration proceeding, 
    unless--
            (A) the evidence would otherwise be admissible in the court 
        under the Federal Rules of Evidence; or
            (B) the parties have otherwise stipulated.
 
 
Sec. 658. Compensation of arbitrators and neutrals
 
    (a) Compensation.--The district court shall, subject to regulations 
approved by the Judicial Conference of the United States, establish the 
amount of compensation, if any, that each arbitrator or neutral shall 
receive for services rendered in each case under this chapter.
    (b) Transportation Allowances.--Under regulations prescribed by the 
Director of the Administrative Office of the United States Courts, a 
district court may reimburse arbitrators and other neutrals for actual 
transportation expenses necessarily incurred in the performance of 
duties under this chapter.