I.     Commencement Information and Procedures

                                                                                                              

Rule 1. Scope of Rules and Procedures

 

Unless modified by agreement of the parties, the Arbitration Rules & Procedures of United States Arbitration & Mediation of Oregon (“USA&M of Oregon”) govern any matter arbitrated through USA&M of Oregon.

 

The term “party” includes parties to the arbitration and their counsel.

 

Rule 2. Contract to Arbitrate

 

Each party to the dispute shall complete the Contract to Arbitrate before the arbitration proceeding is deemed initiated.  The Contract to Arbitrate includes the names of all parties to the dispute, a summarized statement of the dispute, the amount involved, the remedy sought, and the hearing location requested. 

 

The Contract to Arbitrate confirms acceptance of both USA&M of Oregon’s Arbitration Rules and Procedures and responsibility for the costs of the arbitrator and arbitration hearing.

 

Rule 3. Initiation of an Arbitration

 

Parties to a dispute may initiate an arbitration by mutually deciding to resolve their dispute through USA&M of Oregon or pursuant to a contract clause.  USA&M of Oregon shall forward a Contract to Arbitrate to all the parties involved for signature.

 

After completing the Contract to Arbitrate, each party shall then forward the executed Contract to Arbitrate to USA&M of Oregon.  The arbitration is considered commenced upon receipt by USA&M of Oregon of the executed Contract to Arbitrate from all parties. USA&M of Oregon shall confirm receipt of the executed Contract to Arbitrate from all parties to all parties.

 

Rule 4. Party-Agreed Procedures

 

The parties to a dispute, by written agreement, may agree on procedures not specified herein that are consistent with applicable law and USA&M of Oregon’s policies. 

 

All parties shall attach a copy of all party-agreed procedures when they complete the Contract to Arbitrate. 

 

The party-agreed procedures will be enforceable.  USA&M of Oregon’s rules & procedures will control any matters not changed by the party-agreed procedures.

 

Rule 5. Pleadings

 

Pleadings shall consist of a summarized written statement of the dispute describing the facts of all legal and equitable claims, the amount involved, and the remedy sought. 

 

The respondent shall file answering statements, describing the party’s defenses, to the claimant and USA&M of Oregon within 20 days from the date on the claimant’s summarized statement of the dispute.  The answer may set forth as many counterclaims as respondent may have against the claimant. The relief requested in the original claim does not limit the relief that may be requested in a counterclaim.  Counterclaims may also request relief that is different in kind from the original claim.

 

Copies of pleadings should be sent to both USA&M of Oregon and the opposing party.  The opposing party shall have 15 days to answer any counterclaims.

 

The term “pleading” includes the claimant’s statement of the dispute, the respondent’s answering statement, and any counterclaims.

 

Rule 6. Evidence of Service

 

Should the parties, or the arbitrator, request evidence that the Contract to Arbitrate has been served on the other party(ies), evidence of service must be in accordance with either the pre-dispute written contractual provision or proof of service in accordance with Oregon Rules of Civil Procedure (“ORCP”) 9 C. 

 

Rule 7. Withdrawal of a Claim from Arbitration

 

A party that asserts a claim or counterclaim may unilaterally withdraw that claim or counterclaim without prejudice by serving written notice on the other parties and on the arbitrator.  However, the opposing parties may within 7 days of having received notice of the withdrawal of the claim or counterclaim request that the arbitrator deem that the withdrawal is with prejudice.

 

Rule 8. Administrative Services

 

USA&M of Oregon will provide parties with administrative services throughout the arbitration process.  Administrative services can address issues of arbitrator selection, potential mediation of the dispute, exchange of information between the parties and the arbitrator(s), scheduling coordination, and determination and collection of fees.

 

 

II.    Arbitrator Information

 

Rule 9. Arbitrators

 

Arbitrators are independent contractors and not agents or employees of USA&M of Oregon.  Arbitrators have a right to decline an arbitration appointment, remove their names from USA&M of Oregon's panel, or modify panel information, at any time.

 

Rule 10. Panel of Arbitrators

 

USA&M of Oregon shall establish and maintain a Panel of Arbitrators and shall appoint arbitrators as provided in these rules and procedures.

 

Rule 11. Arbitrator Selection

 

If an arbitrator selection process is not specifically addressed in the parties’ agreement, the arbitrator shall be appointed after filing the Contract to Arbitrate.  The arbitration administrator shall provide each party to the dispute a letter identifying a list of arbitration panelists.

 

Parties are urged to agree to a particular arbitrator, however, if they are unable to agree, the parties may cross off any listed arbitrator(s) they feel is unacceptable.  The parties shall attach a numerical preference to the remaining arbitration panelists.  Parties may not cross off more than one-half of the arbitrators on the list.  The arbitration administrator will then select the arbitrator based on the parties’ numerical preferences. 

 

In the event of a tie in preference points, USA&M of Oregon may use its discretion in assigning one of the preferred arbitrators.

 

Rule 12. Number of Arbitrators

 

If the arbitration agreement does not specify the number of arbitrators, the dispute shall be heard and determined by one arbitrator.

 

Rule 13. Three-Member Arbitration Panel

 

If a three-member panel of arbitrators is called for in the parties’ agreement, and if no process of selection is specified, the parties shall select acceptable arbitrators from a list as described above.  USA&M of Oregon will then select the three mutually acceptable arbitrators based on the parties’ numerical preferences.  The panel will then select which arbitrator will serve as chair.

 

Rule 14. Time Limit for Arbitrator Selection

 

Parties shall return the letter identifying the arbitration panelists within 15 days.  If a party fails to comply with the time limit, that party will be considered to have no preference among the arbitrators on the list.

 

Rule 15. Arbitrator Disclosure and Challenge Procedure

 

No person shall serve as an arbitrator in any dispute in which that person has any financial or personal interest in the result of the arbitration.  Prior to accepting an appointment, the prospective arbitrator shall disclose to all parties & the arbitration administrator any circumstances likely to create a presumption of bias or interest in the outcome of the proceedings or to prevent a prompt hearing with the parties.

 

Upon objection of a party to the continued service of an arbitrator, USA&M of Oregon shall determine whether the arbitrator should be disqualified.  If an arbitrator is unable to act, USA&M of Oregon shall have the power to make a replacement arbitrator appointment from among other members of the panel without the submission of additional lists from the parties.

 

Rule 16. Communication with the Arbitrator

 

No party, and no one acting on behalf of any party, shall communicate unilaterally with the arbitrator regarding any issue related to the arbitration.  Any communication from the parties to the arbitrator shall be sent to the USA&M of Oregon for transmittal to the arbitrator.

 

 

III.    Arbitration Hearing Proceedings

 

Rule 17. Pre-Hearing Conference

 

At the request of any party, or at the discretion of the arbitrator, the arbitrator may schedule a pre-hearing conference by telephone with the parties and/or their representatives.  During the pre-hearing conference the parties and the arbitrator may schedule the exchange of witness & exhibit lists, copies of documents, and settle outstanding discovery issues.  The arbitrator may also clarify issues and claims, narrow the focus of the arbitration hearing by stipulations of fact, resolve any outstanding issues relating to the conduct of the case, and any other preliminary matters. 

 

Rule 18. Mediation Option

 

The arbitrator may give the parties the option to participate in a pre-hearing mediation session.  The mediator shall not be an arbitrator appointed to the case

 

Rule 19. Hearing Location

 

The arbitration hearing will be held in the location designated in the parties’ arbitration agreement.  If there is no such agreement, or the agreement is silent as to the place of the hearing, the parties may mutually agree on a location or any party may request a specific site for the hearing.  Objections to any site request must be communicated to USA&M within 15 days of the request being submitted.  In the absence of a timely objection to the request the hearing will occur at the requested site.  If a party objects to the requested location, USA&M of Oregon shall determine the hearing location, and its decision shall be final and binding.

 

Rule 20. Date and Time of Hearing

 

After consultation with the parties and the arbitrator, the parties shall set the date and time for each hearing.  The parties shall timely respond to requests for hearing dates, be cooperative in scheduling the earliest practicable date, and adhere to the established hearing schedule.  The arbitration administrator shall send a notice of hearing to the parties at least 10 days in advance of the hearing date.

 

Rule 21. Attendance at Hearings

 

Any person having a direct interest in the arbitration is entitled to attend hearings.  The arbitrator shall have the power to require the exclusion of any witness, other than a party or other essential person, during the testimony of any other witness.  The arbitrator has discretion to determine the propriety of the attendance of any other person other than a party and its representatives.

 

Rule 22. Discovery

 

Following the appointment of the arbitrator, the parties may engage in discovery of all non-privileged documents and information relevant and material to the dispute.  Discovery should be conducted in accordance with ORCP 36.  The arbitrator may issue subpoenas to compel the attendance of witnesses and for the production of books, records, documents, and other evidence.

 

The arbitrator shall have the power to limit the scope of discovery.  In making this determination the arbitrator shall consider the nature of the case, amount in controversy, and balance between the benefits of discovery and its burden and expenses.

 

The parties will act in good faith in the exchange of discovery.  As parties become aware of new documents or information, including experts who may be called upon to testify, all parties will remain under a continuing obligation to provide relevant, non-privileged documents to supplement their identification of witnesses and experts and to honor any informal agreements or understandings between the parties regarding documents or information to be exchanged. 

 

Unless otherwise agreed in writing prior to the hearing, all correspondence or documents submitted to or produced by USA&M of Oregon or the arbitrator become the property of USA&M of Oregon and shall not be subject to release or duplication.  The arbitration administrator on a case may approve electronic or faxed submission of briefs or other evidentiary pleadings on a case by case basis.

 

Rule 23. Evidence

 

The arbitrator shall determine the admissibility, relevance, and materiality of the evidence offered and may exclude evidence deemed to be cumulative or irrelevant, or privileged.

 

The arbitrator may order a party to answer reasonable written questions, in the manner and terms designated by the arbitrator, if the party cannot be subpoenaed or is unable to attend the hearing.

 

The parties are encouraged to stipulate to the admission of evidence whenever possible.

 

Rule 24. Pre-Hearing Submissions

 

The arbitrator may enter an order requiring pre-hearing submissions.