ANNEX IISupplementary provisions
ANNEX II Code of Conduct for arbitrators and mediators Article 1 Definitions In this Code of Conduct: (a) ‘administrative staff’ means, in respect of an arbitrator, individuals under the direction and control of an arbitrator, other than assistants; (b) ‘assistant’ means an individual who, under the terms of appointment and under the direction and control of an arbitrator, conducts research or provides assistance to that arbitrator; (c) ‘candidate’ means an individual whose name is on the list of arbitrators referred to in Article 94 of the Agreement and who is under consideration for selection as an arbitrator under Article 80 of the Agreement; (d) ‘mediator’ means an individual who has been selected as mediator in accordance with Article 78 of the Agreement; (e) ‘member’ or ‘arbitrator’ means a member of an arbitration panel established under Article 80 of the Agreement. Article 2 Governing principles 1. In order to preserve the integrity and impartiality of the dispute settlement mechanism each candidate and arbitrator shall: (a) get acquainted with this Code of Conduct; (b) be independent and impartial; (c) avoid direct or indirect conflicts of interest; (d) avoid impropriety and the appearance of impropriety or bias; (e) observe high standards of conduct; and (f) not be influenced by self-interest, outside pressure, political considerations, public clamour, loyalty to a Party or fear of criticism. 2. An arbitrator shall not, directly or indirectly, incur any obligation or accept any benefit that would in any way interfere, or appear to interfere, with the proper performance of his or her duties. 3. An arbitrator shall not use his or her position on the arbitration panel to advance any personal or private interests. An arbitrator shall avoid actions that may create the impression that others are in a special position to influence him or her. 4. An arbitrator shall not allow past or existing financial, business, professional, personal or social relationships or responsibilities to influence his or her conduct or judgement. 5. An arbitrator shall avoid entering into any relationship or acquiring any financial interest that is likely to affect his or her impartiality or that might reasonably create an appearance of impropriety or bias. 6. An arbitrator shall exercise his or her position without accepting or seeking instructions from any government, any international governmental organisation or international non-governmental organisation or any private source, and shall not have intervened in any previous stage of the dispute assigned to them. Article 3 Disclosure obligations 1. Prior to the acceptance of his or her appointment as an arbitrator under Article 80 of the Agreement, a candidate requested to serve as an arbitrator shall disclose any interest, relationship or matter that is likely to affect his or her independence or impartiality or that might reasonably create an appearance of impropriety or bias in the proceedings. 2. To this end, a candidate shall make all reasonable efforts to become aware of any such interests, relationships and matters, including financial interests, professional interests, or employment or family interests. 3. The disclosure obligation under paragraph 1 is a continuing duty which requires an arbitrator to disclose any such interests, relationships or matters that may arise during any stage of the proceedings. 4. A candidate or an arbitrator shall communicate to the Trade and Development Committee for consideration by the Parties any matters concerning actual or potential violations of this Code of Conduct as soon as he or she becomes aware of them. Article 4 Duties of arbitrators 1. Upon acceptance of his or her appointment, an arbitrator shall be available to perform and shall perform his or her duties thoroughly and expeditiously throughout the proceedings, and with fairness and diligence. 2. An arbitrator shall consider only the issues raised in the proceedings and necessary for a decision and shall not delegate this duty to any other person. 3. An arbitrator shall take all appropriate steps to ensure that his or her assistants and administrative staff are aware of, and comply with, the obligations incurred by arbitrators under Articles 2, 3, 4 and 6 of this Code of Conduct. Article 5 Obligations of former arbitrators 1. Each former arbitrator shall avoid actions that may create the appearance that he or she was biased in carrying out the duties or derived advantage from the decision of the arbitration panel. 2. Each former arbitrator shall comply with the obligations set out in Article 6 of this Code of Conduct. Article 6 Confidentiality 1. An arbitrator shall not, at any time, disclose any non-public information concerning the proceedings or acquired during the proceedings for which he or she has been appointed. An arbitrator shall not, in any case, disclose or use such information to gain personal advantage or advantage for others or to adversely affect the interest of others. 2. An arbitrator shall not disclose a decision of the arbitration panel or parts thereof prior to its publication. 3. An arbitrator shall not, at any time, disclose the deliberations of an arbitration panel, or any arbitrator's view, or make any statements on the proceedings for which he or she has been appointed or on the issues in dispute in the proceedings. Article 7 Expenses Each arbitrator shall keep a record and render a final account of the time devoted to the proceedings and of his or her expenses, as well as the time and expenses of his or her assistants and administrative staff. Article 8 Mediators This Code of Conduct shall apply to mediators, mutatis mutandis .