CODE OF ETHICS

Code of Ethics approved in 1998, with amendments approved on January 20, 2016 by the Chairman of CAM-CCBC, after consulting the Advisory Board

 

CODE OF ETHICS

The President of the CAM-CCBC (“Center for Arbitration and Mediation of the Chamber of Commerce Brazil-Canada”), in the exercise of the powers conferred upon him by Article 2.6., item ‘d’, of the CAM-CCBC Arbitration Rules, approved on September 1st, 2011, amended on April 28th, 2016, after hearing the Advisory Committee of the CAM-CCBC, approves the CAM-CCBC’S Code of Ethics.

 

Summary

INTRODUCTION

The objective of this Code is to guide the conduct of the arbitrators acting in the Center for Arbitration and Mediation of the Chamber of Commerce Brazil – Canada (“CAM-CCBC”), from the prior phase of indication, during the arbitration and after the award is made.

The guidelines provided in this Code of Ethics, when appropriate, apply to all participants of the arbitration proceedings.

It also aims at serving as a guide to the Parties and attorneys in dealing with the arbitrator or arbitrators within each arbitration panel.

The attorneys of the Party must base his operations in the procedure on ethical principles and honest behavior in relation to arbitrators and counterpart, collaborating to enable them (arbitrators) to do their work properly.

As a code of conduct, the following statements are recommended standards of guidance to be observed by the arbitrators. They are not legal rules, but rules of conduct to be adopted by the arbitrators to provide guidance for CAM-CCBC and its users.

Such standards should not be regarded as complete or exhaustive, and they do not exclude other positions that common sense and ethics indicate.

The statements reproduced below observe the provisions of Article 13, § 6 of Law No. 9.307/96: “In the performance of his duty, the arbitrator shall proceed with impartiality, independence, competence, diligence and discretion.”
Every arbitrator to integrate the Group of Referees, as well as those who may work in arbitrations administered by CAM-CCBC, will receive a copy of this Code.

Statement 1 – INDEPENDENCE AND IMPARTIALITY

The first duty of the arbitrator is to be and remain independent and impartial before and during arbitration.

Independence is a prerequisite for impartiality.

Be and remain impartial, without favoring one party over another or show predisposition to certain aspects related to the subject matter of the dispute.
Adopt the conduct and decide according to your free rational and reasoned conviction. Act justly.

Always act independently and transparently, without any connection or even approach with the parties to the dispute.

Reveal all the facts and circumstances which may give rise to doubts as to your impartiality or independence, not only as to your opinion, but also under the eyes of the parties, i.e., you must put yourself in the place of the parties and ask yourself the question that if you were a party, you would like to know a certain fact or not.

Preferably you should not maintain direct contact with the parties and their lawyers until the permanent end of the procedure. If you need to contact them, do not talk to them individually, but together with the other members of the Arbitration Panel.

Statement 2 – DILIGENCE, COMPETENCE AND AVAILABILITY

Be diligent, ensuring regularity and quality of the procedure, sparing no effort to act in the best possible way in the investigation of the facts related to the dispute.

Conduct the procedure smoothly and diligently, with great rectitude in all your actions and attitudes, which should be conducted with caution.

Act competently and efficiently, being guided by the parameters dictated by the parties in the Arbitration Term for the preparation of your decision.

Ensure that the costs do not rise out of proportion, resulting in an overly costly arbitration.

Only accept the task if you have the qualifications necessary to resolve the contentious issues and the proper knowledge of the language corresponding to the arbitration.

Only accept the task if you can devote to the arbitration the time and attention necessary to meet the reasonable expectations of the parties, including the time for the study on the topic and the latest contributions brought to it by the doctrine and jurisprudence.

Be prepared for the hearings, having previously and adequately studied the case.
Avoid not only improper or questionable conduct, but also the appearance of improper or questionable conduct.

Keep honest and urban behavior towards the parties, lawyers, witnesses and also the other arbitrators and the members of the administrative body of the CAM-CCBC, whether in relation to the procedure or out of it.

Behave with dedication and commitment so that the parties feel supported and have the expectation of a regular development of the arbitration proceedings.
Retain documents you receive and ensure that this duty is well performed by CAM-CCBC. Cooperate for the good quality of the services provided by CAM-CCBC.

Statement 3 – DUTY OF CONFIDENTIALITY

Before, during and even after the arbitration, maintain the confidentiality of the procedure, the discussions, the deliberations of the Arbitration Panel and the content of the award, unless the parties exclusively allow you to disclose the award.

Refrain from using information obtained during the arbitration proceedings for personal or third-party advantages, or that may affect any third-party interests.

Avoid using elements collected in arbitrations in which you are participating or have participated for the publication of news or technical-legal articles that may provide the identification of the parties and/or the “sub judice” issue by the target audience of such matters.

Deliver to CAM-CCBC any and all documents or work papers in your possession or, at the discretion of the parties, destroy them without keeping copies or virtual records.

Statement 4 – DUTY OF REVELATION

The arbitrator shall disclose to the Parties, upon his appointment, any interest or business and professional relationship that he has or had with any of them and that can somehow affect his impartiality or independence.

Disclose any interest or relationship that could potentially affect the independence or that might create the appearance of partiality or bias.

The Parties, after acknowledging the arbitrator’s appointment, must report any fact that is of their knowledge or that they should know and which may link them to the arbitrator, so that he can perform the checks and relevant disclosures.

Upon hearing the revelation made by the arbitrator, the Party should report the facts about which it wants clarification and that in its opinion could compromise the impartiality and independence of the arbitrator.

Partiality or bias should be understood as the personal situation of the arbitrator in relation to the parties and their lawyers, or to the subject matter of the dispute, which may affect the exemption of his judgment in the case.

The duty of revelation is continuous during the arbitration proceedings and any occurrences or events that may arise or be discovered in that period should be disclosed.

Statement 5 – ACCEPTANCE OF ENDOWMENT

Once the appointment is accepted, the arbitrator shall be bound in relation to the parties and shall comply with the terms agreed on the occasion of his investiture.

The arbitrator is part of the arbitration panel and, if a sole arbitrator, the arbitration panel has no attachment or commitment to the party that nominated him.

The arbitrator, during the arbitration proceedings, should not make contact with the party who appointed him or his attorney, to make any comment on the arbitration proceedings in progress.

The arbitrator should not resign, unless exceptionally, for a serious reason that prevents him from exercising his function.

It is considered serious or relevant reason, among others, serious illness of the arbitrator himself or of relatives or closely-connected people that prevents him or substantially hinders him from performing his duties; the appearance of deep disagreement with one of the other arbitrators or with both, or with the parties and their lawyers, which prevents the proper and free development of the procedure; the need for urgent extended trip, incompatible with the functions to be exercised in the Arbitration Panel or that may harm it substantially; and the occurrence of any event or situation that may characterize hindrance situation.

Be respectful in acts and words.

Refrain from making derogatory references, or that may cause any kind of embarrassment to the arbitrations which are or have been under the supervision of another arbitrator.

GENERAL PROVISIONS

The members of the CAM-CCBC managing board are allowed to exercise the duty of arbitrator or attorney of a party in arbitrations administered by CAM-CCBC. However, they shall refrain from participating in administrative decisions related to the respective arbitration proceedings.

On the duty of confidentiality and loyalty, as well as to avoid embarrassing situations for arbitrators in social gatherings and academic events, the attorneys of the parties shall refrain from making comments or hold conversations with the arbitrators on arbitration proceedings in progress.

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