CODE OF ETHICS

 AND CONDUCT FOR MEDIATORS

INTRODUCTION

The purpose of this Code is to guide the individuals working in Mediations administered by the Center for Arbitration and Mediation of the Chamber of Commerce Brazil-Canada (CAM-CCBC), before, during and after the mediation proceeding, also serving as a guide for users of the Mediation Service and their attorneys.

The provisions of this Code of Ethics and Conduct observe the principles that should guide the actions of the parties and Mediators as a peaceful method of conflict resolution.

The Mediation proceeding aims to turn an adversarial context into a collaborative one. It has a confidential and voluntary nature and relies on the direct participation of the parties and their lawyers in the negotiations, coordinated by the Mediator, aiming to achieve the settlement of the dispute through composition.

The rules of this Code establish the ethical and conduct standards to be adopted by the Mediators, the parties and their representatives.

These rules do not exclude other rules that the common sense and ethics recommend, as subsidiary ones for specific cases not provided herein.

All Mediators that integrate the Mediators Body and/or work in Mediations administered by CAM-CCBC shall observe the following:

MEDIATION PRINCIPLES

1. Autonomy of the will of the participants of the proceeding

Mediation is based on the autonomy of the will of the participants. It has, as a precondition, the freedom of the participants to opt for the proceeding, including: (i) the decision, together with the other party and the Mediator, to establish its form and execution; (ii) its interruption or termination at any time and (iii) making their own decisions, during or at the end of the proceeding.

2. Equality of the participants in the proceeding

Participants should receive equal treatment from the Mediator, and be assured equal opportunity of speech and preservation of balance of power among all participants in the proceeding.

3. Confidentiality of the Mediation proceeding

Mediation is governed by confidentiality, which covers and binds all who participate in it and comprises the secrecy of information, facts, reports, situations, proposals and documents obtained or produced during the proceeding. Confidentiality may be dismissed by consent of the parties or by operation of law.

4. Informality of the Mediation proceeding

The mediation proceeding is governed by flexibility in its development, creating a proper environment as to improve dialogue among the participants.

5. Impartiality of the Mediator

The Mediator must be and remain equidistant from the participants and give them equal treatment.

6. Independence of the Mediator

The Mediator must be and remain independent, have no links with the participants and ensure no conflict of interest.

7. Duty of Disclosure

The Mediator has the duty to disclose any facts related to the parties and the dispute that might compromise his impartiality and/or independence.

8. Diligence of the Mediator

The Mediator must act with care and caution to ensure the ethical principles that instruct the Mediation, ensuring the quality and credibility of the proceeding, as well as service excellence.

9. Competence of the Mediator

The Mediator must have the ability, time and skill to develop the mediation proceeding.

10. Credibility of the Mediator

The Mediator must maintain his credibility with the participants of the Mediation proceeding, acting with independence, openness and consistency.

11. Orality of the Mediation proceeding

The informality of the Mediation proceeding allows its development in accordance with the principles of orality, with no harm to written communications and records agreed by the parties.

12. Consensus Search

Mediation allows the formation, by the participants, of proposals intended for the resolution of the dispute through consensus or for the proper administration of the conflict.

13. Good faith

The participants must refrain from unfair and bad faith practices that impede the proceeding of Mediation and which can lead to its closing by the Mediator.

The participants shall be guided by adequate and good faith practices in order to enable the Mediation proceeding and to make it successful.

RULES TO BE OBSERVED BY THE MEDIATOR IN PROCEEDING MANAGED BY CAM-CCBC

Taking into account that the excellence of the Mediation is directly linked to the work of the Mediator, the latter must observe the standards of conduct below:

• Mediator

  1. shall answer questions relating to the questionnaire sent to him by the CAM-CCBC before accepting the appointment;
  2. shall reveal if there is any interest or relationship with the parties and their attorneys that may affect the impartiality, create the appearance of bias or breach of independence, so that the participants have elements to evaluate his permanence in the proceeding;
  3. shall decline the cases where he lacks knowledge and/or technical skills necessary to assure quality to the conduction of the proceeding;
  4.  shall refrain from making promises and guarantees regarding the results;
  5. 5) shall ensure that, in signing the Terms of Reference, the participants were informed about its content, the ethical principles, the purposes of the Mediation and its proceeding, and that he has the ability and willingness to base his conduct according to these principles, and
  6. shall be bound, by accepting the appointment, by the provisions of the Mediation Rules, the Terms of Reference and this Code of Ethics and Conduct for Mediators in proceeding managed by the CAM-CCBC.

• Relationships of the Mediator with the participants of the Mediation proceeding

  1. in case of inability to act in the Mediation, he shall decline the exercise of his role, in which case the parties may appoint another mediator to replace him;
  2. shall separately dialogue with the participants, giving equal opportunity to all;
  3. shall clarify to the participant, at the end of a separate meeting, which are the confidential points and which can be of the knowledge of the other participant;
  4. shall ensure balance and equitable treatment to participants;
  5. shall recommend to the participants the legal review of the agreement before subscribing to it;
  6. shall exempt from forcing the acceptance of an agreement and/or making decisions for the participants;
  7. shall be prevented from: (i) for at least one (01) year, as of the end of the Mediation proceeding, providing services of any other nature to the participants of the Mediation proceeding and; (ii) acting as an arbitrator and/or acting as a witness in court or arbitration proceeding pertaining to a conflict in which he worked as a mediator;
  8. shall, in case of partial or full agreement, make sure that the parties understand the commitments made and their effects.

• The Mediator and the proceeding

  1. shall describe the proceeding of Mediation to the participants;
  2. shall define, with the participants, the relevant proceedings;
  3. shall clarify about secrecy and shall ensure it throughout the proceeding;
  4. shall ensure the participants the opportunity to understand and assess the implications and the consequences of the proceeding;
  5. shall ensure the quality of the proceeding, using the techniques available and capable of bringing the goals of mediation to a fruition;
  6. shall suggest the search and/or the participation of experts as necessary;
  7. shall interrupt the proceeding if there is ethical or legal impediment;
  8. shall suspend or terminate the mediation if he concludes that his continuity can harm any of the participants, or if both or one of them so requests;
  9. shall recommend to the participants that the agreements be previously submitted to judicial review;
  10. shall refuse to act in the proceeding in which the principles of Mediation of this Code of Conduct and Ethics are not fully ensured.

• The relationships between Mediators in the same proceeding.

  1. shall assume the personal obligation of accepting his appointment to serve in the Mediation proceeding;
  2. shall establish with his pairs work dynamics guided by mutual respect and competition exemption when acting in mediation together with other mediators;
  3. shall accept his appointment in an ongoing Mediation proceeding after the express consent of the acting Mediator and the participants of the proceeding.

• The relationships of the Mediator with CAM-CCBC

  1. shall always cooperate for the quality of the services provided by the CAM-CCBC;
  2. 2) shall keep the qualification standards of training, improvement and specialization required by the CAM-CCBC;
  3. shall defer to the institutional and ethical standards of the activity;
  4. shall abide by the Mediation Rules, the Terms of Reference and this Code of Ethics and Conduct.
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