When a protest is delivered to the race office a judge reviews the protest to determine if the protest is suitable for arbitration. The hearing should be scheduled, and the arbitration meeting is held when the parties arrive. The scheduling of hearings can
anticipate that some protests will be withdrawn during arbitration prior to a hearing. At large events, have more than one judge ready to arbitrate protests.
If one of the parties does not attend, or chooses not to attend, the arbitration meeting does not proceed, and the protest proceeds at the scheduled time. The protestee is given access to the hearing request and time to prepare before the arbitration meeting begins.
Hold the arbitration meeting in a quiet location, away from other competitors and observers. Standing, rather than sitting around a table, usually shortens the duration of the meeting. Only the parties to the protest give testimony. Witnesses are not allowed. Evidence given during the arbitration meeting should not be overheard by any potential witnesses if it goes to a hearing. A judge trainee or judge assessor may be allowed to observe the meeting if the parties do not object.
The rules do not address whether observers are allowed at an arbitration meeting. They are usually discouraged. If they are permitted, e.g., a parent at a youth event, then they must acknowledge that they must only observe. Also, the intent of rule
63.4(e) is clear and an observer at an arbitration meeting may not be a witness at a subsequent protest hearing.
The judge should have available the notice of race, the sailing instructions and any amendments to them, a current rule book, boat models and a watch to keep track of the time. When a boat accepts a Post-Race Penalty, it may be recorded on a form, the on-line form or on the back side of the original protest form, then signed by the boat’s representative. The back side of the protest form also has a tick box for the protestor to request to withdraw the protest.
The first step is to confirm that the judge has no conflict of interest.
The judge explains to the parties how the arbitration meeting is conducted, that it should take about 15 minutes, and that the parties will be deciding the outcome of the meeting.
The next step is to determine if the boat caused injury or serious damage. If it is possible that rule
44.1(b) applies, then rules
T1(a) and
T2 do not permit the boat to take a Post-Race Penalty. In that case, the arbitration meeting would not be held, and if it was in progress, it would be closed.
During the arbitration meeting, the judge might find that the protest is not suitable for arbitration. It may involve a rule not suited to arbitration, or the Post-Race Penalty is not appropriate. The arbitration meeting is then closed, and the protest, if not withdrawn, proceeds to a hearing.
The next step is to give an opinion on the validity of the protest. This includes the possibility that the protest committee will find the protest is invalid. For example, if the protest form and the protestor’s testimony clearly indicate that the protestor did not comply with the requirements of rules
60.2 and
60.3, the judge will advise the parties that the protest committee will likely find the protest invalid. The protestor then may request to withdraw the protest or proceed to the protest committee for a hearing. In either case, the arbitration meeting ends.
If the protest is clearly valid or clearly invalid after the protestor’s initial statement, then the judge’s task of giving an opinion on validity is easy. However, it is much more common that the protest is neither clearly valid nor clearly invalid. In such cases, consider:
- The task of determining validity during an arbitration meeting cannot be an exhaustive investigation. No witnesses can be called, and it is unlikely that extensive questioning will resolve validity.
- Due process is not at risk because neither party is bound by the opinion of the judge who arbitrates.
- A statement by the protestor that a hail was made, and a flag was displayed, coupled with a statement that the protestee did not hear the hail and did not see the flag, does not mean that either party is not telling the truth.
The judge will decide, based on the balance of probabilities, if the protest meets the validity rules. When the judge is in doubt that the protest is suitable for arbitration, it proceeds to a hearing.
If the judge’s opinion is that the protest is valid and if rule
44.1(b) does not apply, then the arbitration meeting proceeds. In this step, the judge takes each party’s evidence, in turn, using model boats. The judge asks any necessary questions but keeps tight control of the conversation.
The judge will offer one of these opinions as set out in T
T3 3 as to what the protest committee is likely to decide:
- the protest is invalid;
- no boat will be penalized for breaking a rule; or
- one or both boats will be penalized for breaking a rule, identifying the boats and the penalties.
The judge applies the principles of exoneration to a boat that has been compelled by the other boat to break a rule.
If the meeting is not closed, Appendix T requires that the judge must give an opinion as to what the protest committee would be likely to decide. Stating that “the situation is too complicated” is not an option.
A good way for the judge to give the opinion is by saying “If this goes to a protest hearing, the protest committee will likely decide . . .”
After hearing the opinion of the judge, a party to the protest may decide to take a Post-Race Penalty at any time prior to the start of hearing.
A party that has been given the opinion that they are likely to be penalized for breaking a rule will sometimes consult with their coach or others after the arbitration meeting has ended and will often return to take a Post-Race Penalty before the start of a protest hearing. Remember that a boat may accept a Post-Race Penalty up to the start of the protest hearing.
Also, regardless of whether a Post-Race Penalty is taken, a protestor may ask to withdraw the protest and the judge who arbitrated may allow the withdrawal.
Once the protest is withdrawn, inform the protest committee that the protest will not go to a hearing, and inform the scorer that there is no score change from this protest. The judge may then discuss any aspect of the protested incident with the parties, if time allows. If time is limited, arrange to meet the parties later.
If the protest is not withdrawn, it must be heard by the protest committee.
Sometimes a protestor may choose not to withdraw the protest, on the misunderstanding that the protestee would be scored DSQ in the protest hearing. The judge should explain that if a boat has taken an applicable penalty, such as the Post-Race Penalty, then rule
60.5(c) applies. Then the boat may not be penalized further unless the protest committee finds that the Post-Race Penalty was not applicable, normally because rule
44.1(b) or rule
2 applied.
If the protest goes to a hearing, the judge who arbitrated may participate as a member of the hearing panel. If so, the judge must not discuss any aspects of the arbitration meeting with any members of the protest committee before or during the hearing.
Parties to the hearing may include statements and evidence that were presented in the arbitration meeting. Any discrepancies from information presented in the protest hearing may be questioned by parties and the protest committee.