Part IV – The Arbitration

Rule 13 – Jurisdiction of the Tribunal

13.1    The Tribunal has the authority to decide all matters relevant to the dispute respecting the right of a Party before it to a prize or portion of a prize arising from a lottery scheme that is an “online” or “scratch and win” ticket sold on behalf of the Ontario Lottery and Gaming Corporation by a Lottery Retailer registered under the Gaming Control Act, 1992, provided that all participants have agreed to resolve the dispute by arbitration under these Rules and all Parties have paid the Fees as provided for under these Rules.

13.2    The Tribunal may:

1. set hearing dates and locations, issue notices of hearing and, where required, adjourn the hearing on any terms which are appropriate;
2. direct the Parties to the arbitration to pay the fees and expenses of the arbitration;
3. issue directions, make orders, and make interim awards;
4. except in Simplified Arbitrations, order the detention, preservation, or inspection of property or documents that are relevant to the subject matter of the dispute and may grant interim measures of protection, including an order for security;
5. award equitable relief, injunctions, or specific performance on terms which are appropriate;
6. subject to any legal objection, order the production of records and documents within a Party’s possession or power;
7. subject to any legal objection, order a Party to the arbitration to submit to examination with respect to the dispute;
8. order the exclusion of witnesses;
9. except in Simplified Arbitrations, appoint an expert to report to it on specific issues;
10. issue summons to witnesses to attend and give evidence at the arbitration; and,
11. administer an oath or affirmation to a witness.

A Tribunal’s orders and directions may be enforced in the Court as if they were made by the Court in an action.

13.3    The Applicant or a Responding Party may allege the Tribunal is exceeding its authority by delivering a written objection to the Tribunal and all other Parties to the arbitration and filing its objection with the Chair’s Office as soon as the basis for the allegations become known. The Tribunal may rule on the objection as a preliminary question or address it in the final award. The Applicant or a Responding Party who disputes the decision may commence an application in the Superior Court within 10 days of receiving the decision. The arbitration may continue while the application is pending.

Rule 14 – Pre-Arbitration Conference

14.1    Except for Simplified Arbitrations, the Tribunal will hold a Pre-Arbitration Conference within 30 days of its appointment. The Pre-Arbitration Conference may be held in person or by conference call.

14.2    At the Pre-Arbitration Conference the Tribunal shall meet with the Parties to the arbitration to:

1. identify the facts and issues on which they agree and all issues in dispute;
2. set times for delivery and filing of other relevant documents. Unless the Tribunal orders otherwise, documents for the Tribunal must be filed with the Chair’s Office for delivery to the Tribunal;
3. identify witnesses and any proposed expert witnesses, the nature of their proposed evidence, and manner it will be provided;
4. set times for exchange of witness statements, if any;
5. set the hearing date or dates;
6. agree on the procedure to be followed in the arbitration including whether some or all of the arbitration will be conducted in person, in writing, or by conference call; and,
7. discuss and receive directions from the Tribunal on the payment of additional fees or expenditures after considering the potential length of the hearing and complexity of the issues in dispute.

14.3    The Parties to the arbitration must file an Agreed Statement of Facts, signed by the Parties or their representatives, with the Chair’s Office for delivery to the Tribunal no later than 10 days after the Pre-Arbitration Conference.

14.4    Within 7 days of the Pre-Arbitration Conference, the Tribunal shall send a written record of the parties’ agreements, other than agreements on facts, and any Directions or other Orders arising out of the Pre-Arbitration Conference to the Chair’s Office for delivery to all the parties to the Arbitration.

Rule 15 – Conduct of the Arbitration

15.1    Subject to the Rules, the Tribunal may conduct the arbitration in the manner it considers appropriate. The Parties to the arbitration shall be treated fairly and have the opportunity to present its case and to respond to the other Parties’ cases.

15.2    Representatives must provide the Chair’s Office, and all other Parties to the arbitration, with their name, address, phone and facsimile numbers upon being retained.

15.3    The Tribunal will advise the Chair’s Office of all hearing dates. The Chair’s Office will issue notices of hearing setting out the date(s), time, and place of hearing on behalf of the Tribunal at least 5 days before the hearing.

15.4    A Party may request a summons for a witness from the Tribunal. The Party is responsible for service of the summons. A summons is not enforceable unless served in the same way as a Court issued summons.

15.5    The Chair’s Office will arrange for the attendance of a court reporter where a Party to the arbitration files a written request with the Chair’s Office at least 5 days before the start of the hearing. The reporter will bill the requesting Party directly for the cost of attendance and any transcripts. A copy of any transcript shall be provided to the Tribunal where a party refers to it in evidence or submissions. Other Parties are entitled to a copy of the transcript on payment of reproduction costs. This rule does not apply to Simplified Arbitrations.

15.6    Except in Simplified Arbitrations, the Tribunal may permit a Party to the arbitration to amend a Notice of Dispute or Response on terms it considers appropriate after considering any delay in making the amendments.

Rule 16 – Evidence

16.1    The Tribunal shall determine the admissibility, relevance and materiality of the evidence offered. Strict conformity with the rules of evidence is not required but the Tribunal cannot admit documents, materials, or testimony inadmissible in a court by reason of privilege.

16.2    The Tribunal may take notice of any facts that may be judicially noticed.

16.3    Except in Simplified Arbitrations, a Party to the arbitration wishing to rely on expert opinion evidence must give written notice, including the curriculum vitae of the proposed expert and a summary of the proposed evidence, to all Parties and the Chair’s Office 15 days before the first day of hearing. A copy of the expert’s report, if any, must be delivered to the other Parties to the arbitration and the Chair’s Office 5 days before the first day of hearing.

16.4    Except in Simplified Arbitrations, a Party may provide some or all evidence in the form of a sworn statement. Where any Party to the arbitration requests, the maker of the statement will be produced for cross-examination before the Tribunal.

16.5    The Tribunal may admit evidence or accept submissions given by telephone or videoconference but, in doing so, will ensure that all Parties to the arbitration can hear the evidence or submissions and each other.

Rule 17 – Dismissal without a Hearing

17.1    Pursuant to the Regulations, the Tribunal may, on its own motion or on the motion of any Party, dismiss a Party’s claim to an interest in a prize without a hearing where the Tribunal is of the opinion:

1. the claim is not made in good faith, is frivolous or vexatious;
2. the claim is made only for the purpose of delay;
3. the Party’s history of commencing claims amounts to an abuse of process; or,
4. the claim is not supported by sufficient evidence.

Rule 18 – Settlements and Withdrawals

18.1    Where the parties to the arbitration settle the dispute after the Tribunal’s appointment, the Tribunal will terminate the arbitration. Where the Parties to the arbitration request, the Tribunal will record the settlement in the form of an award.

18.2    Where the Notice of Dispute is withdrawn on consent the Tribunal will terminate the arbitration. The arbitration will not terminate where a Responding Party objects to the withdrawal and the Tribunal concludes the Responding Party is entitled to a final settlement of the dispute.

Rule 19 – Offers of Settlement

19.1    Where a Party wishes the Tribunal to consider a written offer to settle in respect of an award of costs, the Party to the arbitration must establish that the offer:

1. was delivered at least seven days before the commencement of the hearing on the merits; and,
2. was not withdrawn or did not expire before the commencement of the hearing on the merits.