Chartered Institute of Arbitrators -Code Relating to the Conduct of Members when Acting or seeking to Act as Neutrals

Introduction 

This Code is subject to the overriding requirements that it shall not: 

         i.            require a member to act in a way that is unethical or unlawful under any other Code or law applicable to the member; 

       ii.            form part of the rules of any dispute resolution process; 

     iii.            override or replace the rules or applicable laws of any dispute resolution process; nor

     iv.            provide grounds for judicial review or other legal action.

Rule 1 Behaviour

A member shall not behave in a manner which might reasonably be perceived as conduct unbecoming a member of the Institute.

Rule 2 Integrity and Fairness

A member shall maintain the integrity and fairness of the dispute resolution process and shall withdraw if this is no longer possible.

Rule 3 Conflicts of Interest

Both before and throughout the dispute resolution process, a member shall disclose all interests, relationships and matters likely to affect the member’s independence or impartiality or which might reasonably be perceived as likely to do so.

Where a member is or becomes aware that he or she is incapable of maintaining the required degree of independence or impartiality, the member shall promptly take such steps as may be required in the circumstances, which may include resignation or withdrawal from the process.

Rule 4 Competence

A member shall accept an appointment or act only if appropriately qualified or experienced.

A member shall not make or allow to be made on the member’s behalf any representation about the member’s experience or expertise which is misleading or deceptive or likely to mislead or deceive.

Rule 5 Information 

Where appropriate and having regard to whether the parties are represented by professionals familiar with the dispute resolution process, the member shall ensure that the parties are informed of the procedural aspects of the process.

Rule 6 Communication

A member shall communicate with those involved in the dispute resolution process only in the manner appropriate to the process.

Rule 7 Conduct of the Process 

7.1 A member shall prepare appropriately for the dispute resolution process concerned. 

A member shall not be influenced by outside pressure or self-interest.

A member shall not delegate any duty to decide to any other person unless permitted to do so by the parties or applicable law.

A member shall not unduly delay the completion of the dispute resolution process.

Rule 8 Trust and Confidence

A member shall abide by the relationship of trust which exists between those involved in the dispute and (unless otherwise agreed by all the parties, or permitted or required by applicable law), both during and after completion of the dispute resolution process, shall not disclose or use any confidential information acquired in the course of or for the purposes of the process.

Rule 9 Fees

A member shall charge only reasonable fees and expenses having regard to all the circumstances and shall disclose beforehand and explain to the parties to the dispute resolution process the basis upon which the fees and expenses shall be calculated and charged