Annex B Summary of Codes of Conduct in Ftas

Annex B
Summary of Codes of Conduct in FTAs
(Updated as of 8 May 2020, including new treaties and updated references)
Annex B provides excerpts from a variety of recent Codes of Conduct, and serves as background to the draft text proposed by the UNCITRAL & ICSID Secretariats on 1 May 2020.
PROVISION NAFTA EU- Singapore IPA Australia-Japan EPA CETA CPTPP EU-Vietnam FTA EU-Vietnam IPA Indonesia-Australia CEPA
(Only applicable to Chapter 19 (Annex 7 Code of Conduct for (Annex B Code of Conduct of (Annex 29-B (State-State)) (Chapter 9, Section B, Code for (Annex 15-B (State-State)) (Annex 11 Code of Conduct for (Annex 14-A Code of Conduct for
and 20) Members of The Tribunal, The Arbitrators, Rules of Procedure (In force provisionally Sept. 21, ISDS) (In force Dec. 30, 2018) (Draft) Members of The Tribunal, Arbitrators) (CEPA ratified by
Appeal Tribunal and Mediators) of Arbitral Tribunals) (EPA in 2017) Members of The Appeal Australia in Nov. 2019, and
(FTA in force Nov. 21, 2019/ IA force Jan. 15, 2015) (Code applicable to ISDS has not Tribunal and Mediators) (Draft) Indonesia in Feb. 2020)
will enter in force when ratified yet been published)
by all EU MS) (Full text available here)
(Full text available here) (Full text available here) (Full text available here) (Full text available here) (Full text available here) (Full text available here) (Full text available here)
Definitions A. In this Code of Conduct, 1. In this Code of Conduct: I. Scope Definitions Definitions Definitions ARTICLE 1
/Scope "Agreement" means the North "Member" means a Member of 1. This Code of Conduct shall 1. For this Chapter and under this 1. For the purposes of this Code 1. For the purposes of this Code Definitions
American Free Trade Agreement; the Tribunal or a Member of the apply to each person serving as Code of Conduct: of Conduct: arbitrator means a of Conduct: For the purposes of this Code of
"assistant" means a person who, Appeal Tribunal established an arbitrator, arbitrator’s assistant means a person who, member of a tribunal constituted (a) "arbitrator" means a member Conduct:
under the terms of appointment pursuant to Chapter Three assistant or administration under the terms of appointment pursuant to Article 9.22 of an arbitration panel (a) "Member" means a Member
of a member, conducts research (Dispute Settlement) Section A personnel involved in the of an arbitrator, conducts, (Selection established under Article 15.7 of the Tribunal or a Member of
or provides support for the (Resolution of Disputes between proceedings of an arbitral researches or provides assistance of Arbitrators); assistant means a (Establishment of the Arbitration the Appeal Tribunal established
member; Investors and Parties); tribunal (hereinafter referred to to the arbitrator; person who, under the terms of Panel); pursuant to Section B (Resolution
"candidate" means "mediator" means a person who as “covered person”) established candidate means an individual appointment of an arbitrator, (b) "assistant" means a person of Disputes between Investors
(a) an individual whose name conducts mediation in under Article 19.6 (Establishment whose name is on the list of conducts research or provides who, under the terms of and Parties);
appears on a roster or list accordance with Chapter Three and Composition of Arbitral arbitrators referred to in support for the arbitrator; appointment of an arbitrator, (b) "mediator" means a person
established under Article 1414, (Dispute Settlement) Section A Tribunals) of the Agreement. Article 29.8 and who is under candidate means an individual conducts research or provides who conducts the mediation
Annex 1901.2 or 1904.13 or (Resolution of Disputes between 2. Each arbitrator shall take all consideration for selection as an who is under consideration for assistance to that arbitrator; procedure in accordance with
Article 2009, Investors and Parties); reasonable measures to ensure arbitrator under Article 29.7; selection as an arbitrator (c) "candidate" means an Article
(b) an individual who is under "candidate" means an individual that his or her assistants or mediator means a person who pursuant to Article 9.22 individual whose name is on the 3.31 (Mediation) and Annex 10
consideration for appointment as who is under consideration for administration personnel comply conducts a mediation in (Selection of Arbitrators); expert list of arbitrators referred to in (Mediation Mechanism for
a member of a panel pursuant to selection as a Member; with Parts IV to VII of this Code accordance with Article 29.5; means a person appointed Article 15.23 (List of Arbitrators) Disputes between Investors and
Annex 1901.2 or Article 1903, "assistant" means a person who, of Conduct. The Parties may arbitrator means a member of an pursuant to Article 9.27 (Expert and who is under consideration Parties);
1904 or 2011, or under the terms of appointment agree to exempt any covered arbitration panel established Reports) or applicable arbitration for selection as a member of an (c) "candidate" means an
(c) an individual who is under of a Member, conducts person, other than an arbitrator, under Article 29.7; proceeding, rules; arbitration panel under Article individual who is under
consideration for appointment as research or provides assistance from application of a part or all unless otherwise specified, family member means the 15.7 (Establishment of the consideration for selection as a
a member of a committee to the Member; of this Code of Conduct. means an arbitration proceeding; spouse of an arbitrator or Arbitration Panel); Member of the Tribunal or a
pursuant to Annex 1904.13 or "staff", in respect of a Member, staff, in respect of an arbitrator, candidate; or a parent, child, (d) "mediator" means a person Member of the Appeal Tribunal;
Article 1905; means persons under the II. Governing Principle means persons under the grandparent, grandchild, sister, who conducts a mediation (d) "assistant" means a person
"member" means direction and control of the Each arbitrator shall be direction and control of the brother, aunt, uncle, niece or procedure in accordance with who, under the terms of
(a) a member of a panel Member, other than assistants. independent and impartial, and arbitrator, other than assistants. nephew of the arbitrator or Annex 15-C (Mediation appointment of a member,
constituted pursuant to Annex shall avoid direct or indirect candidate or spouse of the Mechanism); assists the member in his
1901.2 or Article 1414, 1903, conflicts of interest. arbitrator or candidate (including (e) "proceedings", unless research or supports him in his
1904, 2008 or 2011, Furthermore, each arbitrator and whole and half blood otherwise specified, means duties;
(b) a member of an extraordinary former arbitrator shall respect relatives and step relatives); or dispute settlement proceedings (e) "staff", in respect of a
challenge committee constituted the confidentiality of proceedings the spouse of such an individual. of an arbitration panel under member, means persons under
pursuant to Annex 1904.13, or of the arbitral tribunal. Through Family member also includes any Chapter 15 (Dispute Settlement); the direction and control of the
(c) a member of a special the observance of such standards resident of an arbitrator’s or and member, other than assistants.
committee constituted pursuant of conduct the integrity and candidate’s household whom the (f) "staff", in respect of an
to Article 1905; impartiality of dispute settlement arbitrator or candidate treats as arbitrator, means a person under
"participant" has the meaning proceedings conducted pursuant a member of his or her family; the direction and control of the
assigned in the Rules of to Chapter 19 (Dispute Rules means applicable rules arbitrator, other than assistants.
Procedure for Article 1904 Settlement) of the Agreement pursuant to Article 9.19.4
Binational Panel Reviews; are preserved. (Submission of a Claim to
"Party" means a Party to the Arbitration); and staff, in respect

Agreement; of an arbitrator, means
"proceeding", unless otherwise individuals under the direction
specified, means and control of the arbitrator
(a) a panel review under Article other than assistants.
1903 or 1904,
(b) an extraordinary challenge
proceeding under Annex
1904.13,
(c) a special committee
proceeding under Article 1905,
(d) a panel proceeding under
Chapter 20, or
(e) a proceeding in a dispute
arising under Chapter 11 or 14 to
which Chapter 20 applies;
"Secretariat" means the
Secretariat established pursuant
to Article 2002; and
"staff", in respect of a member,
means persons under the
direction and control of the
member, other than assistants.
B. Any reference made in this
Code of Conduct to an Article,
Annex or Chapter is a reference
to the appropriate Article, Annex
or Chapter of the Agreement.
Responsi- Every candidate, member and 2. Every candidate and Member III. Observance of the Governing Responsibilities of candidates 2. Responsibilities to the Process Responsibilities ARTICLE 2 Responsibilities to the Process
bilities former member shall avoid shall avoid impropriety and the Principle and arbitrators Each candidate, arbitrator and 2. Every candidate and arbitrator Responsibilities to the Process 1. Every arbitrator shall avoid
during impropriety and the appearance appearance of impropriety, shall To ensure the observance of the 2. Every candidate and arbitrator former arbitrator shall avoid shall avoid impropriety and the Every candidate and every impropriety and the appearance
proceeding of impropriety and shall observe be independent and impartial, Governing Principle of this Code shall avoid impropriety and the impropriety and the appearance appearance of impropriety, be Member shall avoid impropriety of impropriety, be independent
high standards of conduct so shall avoid direct and indirect of Conduct, each arbitrator is appearance of impropriety, shall of impropriety and shall observe independent and impartial, avoid and the appearance of and impartial, avoid direct and
that the integrity and conflicts of interests and shall expected: be independent and impartial, high standards of conduct so direct and indirect conflicts of impropriety, shall be indirect conflicts of interests and
impartiality of the dispute observe high standards of (a) to adhere strictly to the shall avoid direct and indirect that the integrity and interests and observe high independent and impartial and observe high standards of
settlement process is preserved. conduct so that the integrity and provisions of Chapter 19 (Dispute conflicts of interests and shall impartiality of the dispute standards of conduct so that the shall avoid direct and indirect conduct so that the integrity and
impartiality of the dispute Settlement) of the Agreement observe high standards of settlement process is preserved. integrity and impartiality of the conflicts of interest. impartiality of the dispute
settlement mechanism is and the Rules of Procedure; conduct so that the integrity and dispute settlement mechanism is settlement process is preserved.
preserved. Members shall not (b) to maintain confidentiality; impartiality of the dispute preserved. Former arbitrators Former arbitrators shall comply
take instructions from any (c) to disclose the existence or settlement mechanism is shall comply with the obligations with the obligations in
organisation or government with development of any interest, preserved. Former arbitrators set out in rules 15 to 18 of this paragraphs 16, 17, 18 and 19.
regard to matters before the relationship or matter that the must comply with the obligations Code of Conduct.
Tribunal or the Appeal Tribunal. arbitrator could reasonably be established in paragraphs 16
Former Members must comply expected to know and that is through 19.
with the obligations established likely to affect, or give rise to
in paragraphs 15 through 21 justifiable doubts as to, that
of this Code of Conduct. arbitrator’s independence or
impartiality; and
2
(d) to take due care in the

performance of his or her duties
to fulfil these expectations,
including through avoidance of
any direct or indirect conflicts of
interest in respect of the subject
matter of the proceedings.
Disclosure [Introductory Note: 3. Prior to his or her appointment IV. Obligation of Self-Disclosure Disclosure obligations 3. Governing Principles Disclosure Obligations ARTICLE 3 Disclosure Obligations
The governing principle of this as a Member, a candidate shall 1. Each person requested to 3. Prior to confirmation of her or (a) Each arbitrator shall be 3. Prior to the appointment as an Disclosure Obligations 2.Prior to confirmation of his or
Code of Conduct is that a disclose to the Parties any past serve as an arbitrator, at the his selection as an arbitrator independent and impartial, and arbitrator under Chapter 15 1. Prior to their appointment, her selection as an arbitrator
candidate or member must or present interest, relationship time of the request, shall receive under this Chapter, a candidate shall avoid direct or indirect (Dispute Settlement), a candidates shall disclose to the under this Agreement, a
disclose the existence of any or matter that is likely to affect a copy of this Code of Conduct shall disclose any interest, conflicts of interest. candidate shall disclose any Parties any past and present candidate shall disclose any
interest, relationship or matter his or her independence or from the requesting Party. Any relationship or matter that is (b) Each arbitrator and former interests, relationships, or interest, relationship or matter interest, relationship or matter
that is likely to affect the impartiality or that might such person, prior to likely to affect her or his arbitrator shall respect the matters, that are likely to affect that is likely to affect their that is likely to affect his or her
candidate's or member's reasonably create an appearance confirmation of his or her independence or impartiality or confidentiality of tribunal that candidate’s independence or independence or impartiality or independence or impartiality or
independence or impartiality or of impropriety or bias. To this appointment, shall disclose in that might reasonably create an proceedings. impartiality, or that might that might reasonably create an that might reasonably create an
that might reasonably create an end, writing to the requesting Party appearance of impropriety or (c) Each candidate or arbitrator reasonably create an appearance appearance of impropriety or appearance of impropriety or
appearance of impropriety or an a candidate shall make all any information relevant to the bias in the proceeding. To this shall disclose the existence of any of impropriety or bias in the bias. To that end, a candidate bias in the proceeding. To this
apprehension of bias. An reasonable efforts to become matter under dispute, such as: end, a candidate shall make all interest, relationship or matter proceedings. To that end, a shall make all reasonable efforts end, a candidate shall make all
appearance of impropriety or an aware of any such interests, (a) financial interests (e.g. reasonable efforts to become that is likely to affect the candidate shall make all to become aware of any such reasonable efforts to become
apprehension of bias is created relationships and matters. investments, loans, shares, aware of such interests, candidate’s or arbitrator’s reasonable efforts to become interest, relationship or matter. aware of any such interests,
where a reasonable person, with 4. A Member shall communicate interests, other debts), business relationships and matters. independence or impartiality or aware of any such interests, 2. Members shall communicate relationships and matters.
knowledge of all the relevant matters concerning actual or interests (e.g. directorship or 4. Without limiting the generality that might reasonably create an relationships or matters. matters concerning actual or 3.Once selected, an arbitrator
circumstances that a reasonable potential violations of this Code other contractual interests) and of the foregoing, candidates shall appearance of impropriety or an 4. A candidate or arbitrator shall potential violations of this Code shall continue to make all
inquiry would disclose, would of Conduct to the disputing property interests relevant to the disclose the following interests, apprehension of bias. An communicate, in writing, matters of reasonable efforts to become
conclude that a candidate's or parties and the non-disputing dispute in question; relationships and matters: appearance of impropriety or an concerning actual or potential Conduct in writing to the aware of any interests,
member's ability to carry out the Party. (b) professional interests (1) any financial interest of the apprehension of bias is created violations of this Code of Conduct disputing parties Members shall relationships and matters
duties with integrity, impartiality 5. Members shall at all times relevant to the dispute in candidate: when a reasonable person, with to the Trade Committee for at all times continue to make all referred to in paragraph 2 and
and competence is impaired. continue to make all reasonable question (e.g. any interests the (a) in the proceeding or in its knowledge of all the relevant consideration by the Parties. efforts to become aware of any shall disclose them by
These disclosure obligations, efforts to become aware of any person may have in domestic or outcome, and circumstances that a reasonable 5. Once appointed, an arbitrator interest, relationship or matter communicating them in writing
however, should not be interests, relationships or international proceedings, and (b) in an administrative inquiry would disclose, would shall continue to make all referred to in paragraph 1. to the disputing parties. The
interpreted so that the burden of matters referred to in paragraph their implications, where these proceeding, a domestic court conclude that a candidate’s or reasonable efforts to become Members shall disclose such obligation to disclose is a
detailed disclosure makes it 3 of this Code of Conduct and involve issues similar to those proceeding or another panel or arbitrator’s ability to carry out aware of any interests, interests, relationships or continuing duty, which requires
impractical for persons in the shall addressed in the dispute in committee proceeding that the duties with integrity, relationships or matters referred matters to the disputing parties. an arbitrator to disclose any such
legal or business community to disclose them. The disclosure question); involves issues that may be impartiality and competence to in rule 3 of this Code of interests, relationships and
serve as members, thereby obligation is a continuing duty (c) other active interests relevant decided in the proceeding for is impaired. Conduct and shall disclose them [FN n. 1: For greater certainty, matters that may arise during
depriving the Parties and which requires a Member to to the dispute in question (e.g. which the candidate is under (d) Upon selection, an arbitrator by informing the Trade this obligation does not extend to any stage of the proceeding.
participants of the services of disclose any such interests, active participation in public consideration; shall refrain, for the duration of Committee, in writing, for information which is already in
those who might be best relationships or matters that interest groups or other (2) any financial interest of the the proceeding, from acting as consideration by the Parties. The the public domain or was known,
qualified to serve as members. may arise during any stage of the organisations which may have a candidate's employer, partner, counsel or party-appointed disclosure obligation is a or should have reasonably been
Thus, candidates and members proceeding at the earliest time declared agenda relevant to the business associate or family expert or witness in any pending continuing duty which requires known, by all disputing parties.]
should not be called upon to the Member becomes aware of dispute in question); member: or new investment dispute under an arbitrator to disclose any such
disclose interests, relationships it. The Member shall disclose (d) considered statements of (a) in the proceeding or in its the Comprehensive and interests, relationships or
or matters whose bearing on such interests, relationships or personal opinion on issues outcome, and Progressive Agreement for Trans- matters that may arise during
their role in the proceeding matters by informing the relevant to the dispute in (b) in an administrative Pacific Partnership or any other any stage of the proceedings.
would be trivial. disputing parties and the non- question (e.g. publications, public proceeding, a domestic court international agreement.
Throughout the proceeding, disputing Party, in writing, for statements); and proceeding or another panel or (e) An arbitrator shall comply
candidates and members have a their consideration. (e) employment or family committee proceeding that with internationally recognised
continuing obligation to disclose interests relevant to the dispute involves issues that may be standards or guidelines
3
interests, relationships and in question (e.g. the possibility of decided in the proceeding for regarding direct or indirect
matters that may bear on the any indirect advantage or any which the candidate is under conflicts of interest, such as the
integrity or impartiality of the likelihood of pressure which consideration; International Bar Association
dispute settlement process. could arise from their employer, (3) any past or existing financial, Guidelines on Conflicts of Interest
This Code of Conduct does not business associates or immediate business, professional, family or in International Arbitration.
determine whether or under family members). social relationship with the (f) In the event of an alleged
what circumstances the Parties 2. The obligation of self- interested parties in the breach of this Code of Conduct,
will disqualify a candidate or disclosure referred to in proceeding, or their counsel, or the Rules governing the
member from being appointed paragraph 1 shall also apply to such relationship involving a arbitration shall apply to any
to, or serving as a member of, a the arbitrator after the candidate's employer, partner, challenge, disqualification or
panel or committee on the basis confirmation of his or her business associate or family replacement of an arbitrator.
of disclosures made.] appointment and throughout the member; and
proceedings. During the course (4) public advocacy or legal or
A. A candidate shall disclose any of proceedings, the arbitrator other representation concerning 4. Disclosure Obligations
interest, relationship or matter shall disclose in writing to the an issue in dispute in the (a) Throughout the tribunal
that is likely to affect the Parties any information relevant proceeding or involving the same proceeding, candidates and
candidate's independence or to paragraph 1 when he or she matters. arbitrators have a
impartiality or that might becomes aware of it. 5. A candidate or arbitrator shall continuing obligation to disclose
reasonably create an appearance 3. In meeting these disclosure communicate matters interests, relationships and
of impropriety or an requirements, personal privacy concerning actual or potential matters that may bear on the
apprehension of bias in the shall be respected. The violations of this Code of Conduct integrity or impartiality of the
proceeding. To this end, a application of these disclosure to the CETA Joint Committee for dispute settlement process.
candidate shall make all requirements shall not be so consideration by the Parties. (b) The disputing parties or the
reasonable efforts to become administratively burdensome as 6. Once selected, an arbitrator Secretary-General, as the
aware of any such interests, to make it impracticable for shall continue to make all appointing authority for an
relationships and matters. otherwise qualified persons to reasonable efforts to become arbitration referred to in Article
The candidate shall disclose such serve as arbitrators. aware of interests, relationships 9.22.2 (Selection of Arbitrators),
interests, relationships and or matters referred to in will provide a candidate a copy
matters by completing an Initial paragraph 3 and shall disclose of this Code of Conduct and the
Disclosure Statement provided by them. The disclosure obligation is Initial Disclosure Statement set
the Secretariat and sending it to a continuing duty which requires out in the Appendix to this Code
the Secretariat. an arbitrator to disclose such of Conduct.
Without limiting the generality of interests, relationships or (c) A candidate shall submit the
the foregoing, candidates shall matters that may arise during all Initial Disclosure Statement set
disclose the following interests, stages of the proceeding. The out in the Appendix to this Code
relationships and matters: arbitrator shall disclose such of Conduct to the disputing
(1) any financial interest of the interests, relationships or parties or the Secretary-General,
candidate matters by informing the CETA as the appointing authority, no
(a) in the proceeding or in its Joint Committee promptly, in later than seven days after
outcome, and writing, for consideration by the receipt of that Statement.
(b) in an administrative Parties. [FN 1: This subparagraph does
proceeding, a domestic court not prevent the appointment of
proceeding or another panel or arbitrators by the disputing
committee proceeding that parties prior to the submission of
involves issues that may be the Initial Disclosure
decided in the proceeding for Statement.]
which the candidate is under [FN 2: For greater certainty, the
consideration; submission of the Initial
Disclosure Statement is without
4
(2) any financial interest of the prejudice to any further

candidate's employer, partner, disclosure required pursuant to
business associate or family the Rules.]
member (d) A candidate shall disclose any
(a) in the proceeding or in its interest, relationship or matter
outcome, and that is likely to affect his or her
(b) in an administrative independence or impartiality or
proceeding, a domestic court that might reasonably create an
proceeding or another panel or appearance of impropriety or an
committee proceeding that apprehension of bias in the
involves issues that may be tribunal proceeding. To this end,
decided in the proceeding for a candidate shall make all
which the candidate is under reasonable efforts to become
consideration; aware of any such interests,
(3) any past or existing financial, relationships and matters.
business, professional, family or Therefore, a candidate shall
social relationship with any disclose, at a minimum, the
interested parties in the following interests, relationships
proceeding, or their counsel, or and matters: (i) any financial or
any such relationship involving a personal interest of the
candidate's employer, partner, candidate in:
business associate or family (A) the tribunal proceeding or its
member; and outcome; and
(4) public advocacy or legal or (B) an administrative proceeding,
other representation concerning a domestic judicial proceeding or
an issue in dispute in the another international dispute
proceeding or involving the same settlement proceeding that
goods. involves issues that may be
B. A member in an Article 1904 decided in the tribunal
proceeding shall, after receiving proceeding for which the
the complaint, disclose any candidate is under
interests, advocacy or consideration;
representation referred to in (ii) any financial interest of the
paragraph A(1)(b) or (2)(b) or candidate’s employer, business
subsection (4) by completing a partner, business associate or
Supplementary Disclosure family member in:
Statement provided by the (A) the tribunal proceeding or its
Secretariat and sending it to the outcome; and
Secretariat for consideration by (B) an administrative proceeding,
the appropriate Parties. a domestic judicial proceeding or
C. Once appointed, a member another international dispute
shall continue to make all settlement proceeding that
reasonable efforts to become involves issues that may be
aware of any interests, decided in the tribunal
relationships or matters referred proceeding for which the
to in section A and shall disclose candidate is under
them. The obligation to disclose consideration;
is a continuing duty which (iii) any past or current financial,
requires a member to disclose business, professional, family or
5
any such interests, relationships social relationship with any

and matters that may arise interested parties in the tribunal
during any stage of the proceeding, or their counsel, or
proceeding. any such relationship involving a
The member shall disclose such candidate’s employer, business
interests, relationships and partner, business associate or
matters by communicating them family member; and
in writing to the Secretariat for [FN: For greater certainty,
consideration by the appropriate “interested parties” may include
Parties. the home country of the
investor.]
(iv) public advocacy or legal or
other representation concerning
an issue in dispute in the tribunal
proceeding or involving the same
investment.
(e) Once appointed, an arbitrator
shall continue to make all
reasonable efforts to become
aware of any interests,
relationships or matters referred
to in subparagraph (d) and shall
disclose them. The obligation to
disclose is a continuing duty that
requires an arbitrator to disclose
any such interests, relationships
and matters that may arise
during any stage of the tribunal
proceeding.
(f) In the event of any uncertainty
regarding whether an interest,
relationship or matter must be
disclosed under subparagraph (d)
or subparagraph (e), a candidate
or arbitrator should err in favour
of disclosure. Disclosure of an
interest, relationship or matter is
without prejudice as to whether
the interest, relationship or
matter is covered by
subparagraph (d) or
subparagraph (e), or whether it
warrants recusal, amelioration or
disqualification.
(g) The disclosure obligations set
out in subparagraphs (a) through
(f) should not be interpreted so
that the burden of detailed
disclosure makes it impractical
6
for individuals in the legal or

business community to serve as
arbitrators, thereby depriving the
disputing parties of the services
of those who might be best
qualified to serve as arbitrators.
Thus, candidates and arbitrators
should not be called upon to
disclose interests, relationships
or matters whose bearing on
their role in the tribunal
proceeding would be
trivial.
Duties Part III: The Performance of 6. A Member shall perform his or V. Performance of Duties Duties of arbitrators 5. Performance of Duties by Duties of Arbitrators ARTICLE 4 Performance of Duties by
Duties by Candidates and her duties thoroughly and 1. In performing his or her duties, 7. Upon selection an arbitrator Candidates and Arbitrators 6. An arbitrator shall be available Duties of Members Arbitrators
Members expeditiously throughout the each arbitrator shall recognise shall be available to perform and (a) A candidate who accepts an to perform, and shall perform his 1. Members shall perform their 4.An arbitrator shall comply with
course that prompt settlement of shall perform her or his duties appointment as an arbitrator duties thoroughly, expeditiously, duties thoroughly and the provisions of this Chapter
A. A candidate who accepts an of the proceeding and with disputes is essential to the thoroughly and expeditiously shall be available to perform, and with fairness and diligence, expeditiously throughout the and the applicable rules of
appointment as a member shall fairness and diligence. effective functioning of the throughout the course of the and shall perform, once the throughout the course of the course of the proceedings and procedure.
be available to perform, and 7. A Member shall consider only Agreement. proceeding, and with fairness arbitrator is appointed pursuant proceedings. shall do so with fairness and 5.On selection, an arbitrator shall
shall perform, a member's duties those issues raised in the 2. An arbitrator shall carry out all and diligence. to Article 9.22 (Selection of 7. An arbitrator shall consider diligence. perform his or her duties
thoroughly and expeditiously proceeding and necessary for a duties fairly and diligently. 8. An arbitrator shall consider Arbitrators), an arbitrator’s only those issues raised in the 2. Members shall consider only thoroughly and expeditiously
throughout the course of the ruling 3. To ensure transparency and only those issues raised in the duties thoroughly, fairly, proceedings and necessary for a those issues raised in the throughout the course of the
proceeding. and shall not delegate this duty impartiality, no arbitrator may proceeding and necessary for a diligently and expeditiously ruling and shall not delegate this proceedings which are necessary proceeding with fairness and
to any other person. discuss any aspect of the subject ruling and shall not delegate this throughout the course of the duty to any other person. for a ruling and shall not diligence.
B. A member shall ensure that 8. A Member shall take all matter referred to the arbitral duty to any other person. tribunal proceeding. 8. An arbitrator shall take all delegate this duty to any other 6.An arbitrator shall not deny
the Secretariat can, at all appropriate steps to ensure that tribunal, in the absence of either 9. An arbitrator shall take all (b) An arbitrator shall ensure appropriate steps to ensure that person. other arbitrators the opportunity
reasonable times, contact the his or her assistants and staff are Party or in the absence of the appropriate steps to ensure that that he or she is contactable, at his assistant and staff are aware 3. Members shall take all to participate in all aspects of the
member in order to conduct aware of, and comply with other arbitrators. her or his assistant and staff are all reasonable times, by the of, and comply with, rules 2, 3, 4, appropriate steps to ensure that proceeding.
panel or committee business. paragraphs 2, 3, 4, 5, 19, 20 and 4. An arbitrator shall consider aware of, and comply with, Secretary-General, disputing 5, 16, 17 and 18 of this Code of their assistants and staff are 7.An arbitrator shall consider
21 of this Code of Conduct. only those issues raised in the paragraphs 2 through 6, and 17 parties, arbitration institution in Conduct. aware of, and comply with, only those issues raised in the
C. A member shall carry out all 9. A Member shall not engage in proceeding and necessary to a through 19. charge of the proceeding and 9. An arbitrator shall not engage Articles 2, 3, 5 and 7 of this Code proceeding and necessary to
duties fairly and diligently. ex parte contacts concerning the decision and shall not delegate 10. An arbitrator shall not other arbitrators of the tribunal in ex parte contacts concerning of Conduct. rendering a decision and shall
proceeding. the duty to decide to any other engage in ex parte contacts in order to conduct tribunal the proceedings. 4. Members shall not discuss any not delegate the duty to decide
D. A member shall comply with person, except as provided in the concerning the proceeding. work. aspect of the subject matter of to any other person.
the provisions of Chapter 19 or Rules of Procedure. (c) An arbitrator shall comply the proceedings with a disputing 8.An arbitrator shall take all
20 and the applicable rules. 5. An arbitrator shall not with the provisions of Chapter 9 party or the disputing parties in appropriate steps to ensure that
communicate matters Section B (Investor-State Dispute the absence of the other his or her assistant and staff are
E. A member shall not deny other concerning actual or potential Settlement) and the Rules. members of the division of aware of, and comply with,
members the opportunity to violations of this Code of Conduct (d) An arbitrator shall not deny the Tribunal or the Appeal paragraphs 1, 2, 3, 18, 19 and
participate in all aspects of the unless the communication is to other arbitrators the opportunity Tribunal. 20.
proceeding. both Parties or is necessary to to participate in all aspects of the 9.An arbitrator shall not engage
ascertain whether that arbitrator tribunal proceeding. in ex parte contacts concerning
F. A member shall consider only has violated or may violate this (e) An arbitrator shall consider the proceeding.
those issues raised in the Code of Conduct. only those issues raised in the 10.An arbitrator shall not
proceeding and necessary to a tribunal proceeding and communicate matters
decision and shall not delegate necessary to make a decision, concerning actual or potential
the duty to decide to any other order or award. violations by another arbitrator
unless the communication is to
7
person, except as provided in the (f) An arbitrator shall not both disputing parties or is
applicable rules. delegate the duty to make a necessary to ascertain whether
decision, order or award that arbitrator has violated or
G. A member shall take all to any other individual. may violate this Annex.
reasonable steps to ensure that (g) An arbitrator shall take all
the member's assistant and staff reasonable steps to ensure that
comply with Parts I, II and VI of his or her assistants and staff
this Code of Conduct. comply with paragraphs 2
(Responsibilities to the
H. A member shall not engage in Process), 4(a), 4(d), 4(e), 4(f) and
ex parte contacts concerning the 4(g) (Disclosure Obligations),
proceeding. 5(c), 5(h) and 5(i) (Performance
of Duties by Candidates and
I. A candidate or member shall Arbitrators), and 8 (Maintenance
not communicate matters of Confidentiality) of this Code of
concerning actual or potential Conduct.
violations of this Code of Conduct (h) An arbitrator shall not
unless the communication is to engage in any ex parte contact
the Secretariat or is necessary to concerning the tribunal
ascertain whether that candidate proceeding.
or member has violated or may (i) A candidate or arbitrator shall
violate the Code. only communicate matters
concerning actual or potential
violations of this Code of Conduct
to the Secretary-General,
disputing parties and arbitration
institution in charge of the
proceedings, or if necessary to
ascertain whether that candidate
or arbitrator has violated or may
violate this Code of Conduct, to
the Secretary-General, the
disputing parties, and arbitration
institution in charge of the
proceedings.
(j) Each arbitrator shall keep a
record and render a final account
of the time devoted to the
proceeding and of his or her
expenses, as well as the time
and expenses of his or her staff
and assistants.
Independ- Part IV: Independence and 10. A Member must be VI. Independence and Independence and impartiality of 6. Independence and Impartiality Independence and Impartiality of ARTICLE 5 Independence and Impartiality of
ence and Impartiality of Members independent and impartial and Impartiality of Arbitrators arbitrators of Arbitrators Arbitrators Independence and Impartiality of Arbitrators
Impartiality avoid creating an appearance of 1. An arbitrator shall be 11. An arbitrator shall avoid (a) An arbitrator shall be 10. An arbitrator shall avoid Members 11. An arbitrator shall be
A. A member shall be bias or independent and impartial. An creating an appearance of bias independent and impartial. An creating an appearance of bias 1. Members shall be independent independent and impartial. An
independent and impartial. A impropriety and shall not be arbitrator shall not allow past or and shall not be influenced by arbitrator shall act in a fair and shall not be influenced by and impartial and avoid creating arbitrator shall act in a fair
member shall act in a fair influenced by self-interest, existing financial, business, self-interest, outside pressure, manner and shall not create an self-interest, outside pressure, an appearance of bias or manner and shall avoid creating
manner and shall avoid creating outside pressure, political professional, family or social political considerations, public appearance of impropriety or an political considerations, public
8
an appearance of impropriety or considerations, public clamour, relationships or responsibilities clamour, loyalty to a Party, or apprehension of bias. clamour and loyalty to a Party or impropriety and shall not be an appearance of impropriety or
an apprehension of bias. loyalty to a disputing party or a to influence his or her conduct or fear of criticism. (b) An arbitrator shall not be fear of criticism. influenced by self-interest, bias.
non-disputing Party or fear of judgment, and shall not be 12. An arbitrator shall not, influenced by self-interest, 11. An arbitrator shall not, outside pressure, political 12. An arbitrator shall not be
B. A member shall not be criticism. influenced by self-interest, directly or indirectly, incur any outside pressure, political directly or indirectly, incur any considerations, public clamour, influenced by self-interest,
influenced by self-interest, 11. A Member shall not, directly outside pressure, political obligation or accept any benefit considerations, public clamour, obligation or accept any benefit loyalty to a Party or disputing outside pressure, political
outside pressure, political or indirectly, incur any obligation considerations and loyalty to a that would in any way interfere, loyalty to a disputing party or a that would in any way interfere, party or fear of criticism. considerations, public clamour,
considerations, public clamour, or accept any benefit that Party or fear of criticism. or appear to interfere, with the non-disputing Party or fear of or appear to interfere, with the 2. Members shall not, directly or loyalty to a Party or a disputing
loyalty to a Party or fear of would in any way interfere or 2. An arbitrator shall avoid proper performance of her or his criticism. proper performance of his duties. indirectly, incur any obligation or party or fear of criticism.
criticism. appear to interfere, with the entering into any relationship or duties. (c) An arbitrator shall not, 12. An arbitrator shall not use his accept any benefit that 13. An arbitrator shall not,
proper performance of his or her acquiring any financial interests 13. An arbitrator may not use her directly or indirectly, incur any position on the arbitration panel would in any way interfere or directly or indirectly, incur any
C. A member shall not, directly or duties. that are likely to affect the or his position on the arbitration obligation or accept any benefit to advance any personal or appear to interfere with the obligation or accept any benefit
indirectly, incur any obligation or 12. A Member may not use his or arbitrator’s impartiality or that panel to advance any personal or that would in any way interfere, private interests and shall avoid proper performance of their that would in any way interfere,
accept any benefit that would in her position on the Tribunal to might reasonably create an private interests and shall avoid or appear to interfere, with the actions that may create the duties. or appear to interfere, with the
any way interfere, or appear to advance any personal or private appearance of impropriety or an actions that may create the proper performance of his or her impression that others are in a 3. Members shall not use their proper performance of his or her
interfere, with the proper interests and shall avoid actions apprehension of bias. impression that others are in a duties. special position to influence him. position as a member to advance duties.
performance of the member's that may create the impression 3. An arbitrator shall not accept special position to influence her (d) An arbitrator shall not use his 13. An arbitrator shall not allow any personal or private interests 14. An arbitrator shall not use his
duties. that others are in a special any benefit that would in any or him. or her position on the tribunal to financial, business, professional, and shall avoid actions that may or her position on the arbitral
position to influence him or her. way affect, or appear to affect, 14. An arbitrator may not allow advance any personal or private personal or social relationships create the impression that others tribunal to advance any personal
D. A member shall not use the 13. A Member may not allow the arbitrator’s duties. financial, business, professional, interests. An arbitrator shall or responsibilities to influence his are in a special position to or private interests. An arbitrator
member's position on the panel financial, business, professional, 4. An arbitrator shall not use the family or social relationships or avoid actions that may create conduct or judgement. influence them. shall avoid actions that may
or committee to advance any family or social relationships or arbitrator’s position on the responsibilities to influence her the impression that others are in 14. An arbitrator shall avoid 4. Members shall not allow create the impression that others
personal or private interests. A responsibilities to influence his or arbitral tribunal to advance any or his conduct or judgement. a special position to influence the entering into any relationship or financial, business, professional, are in a special position to
member shall avoid actions that her conduct or judgement. personal or private interests. An 15. An arbitrator must avoid arbitrator. An arbitrator shall acquiring any financial interest family or social relationships or influence the arbitrator. An
may create the impression that 14. A Member must avoid arbitrator shall avoid actions entering into any relationship or make every effort to prevent or that is likely to affect his responsibilities to influence their arbitrator shall make every effort
others are in a special position to entering into any relationship or that may create the impression acquiring any financial interest discourage others from impartiality or that might conduct or judgment. to prevent or discourage others
influence the member. A member acquiring any financial interest that others are in a special that is likely to affect her or his representing themselves as being reasonably create an appearance 5. Members shall avoid entering from representing themselves as
shall make every effort to that is position to influence the impartiality or that might in such a position. of impropriety or bias. into any relationship or acquiring being in such a position.
prevent or discourage others likely to affect him or her arbitrator. An arbitrator shall reasonably create an appearance (e) An arbitrator shall not allow any financial interest that is 15. An arbitrator shall not allow
from representing themselves as impartiality or that might make every effort to prevent or of impropriety or bias. past or ongoing financial, likely to affect their impartiality past or existing financial,
being in such a position. reasonably create an appearance discourage others from business, professional, family or or that might reasonably create business, professional, family or
of representing themselves as being social relationships or an appearance of impropriety social relationships or
E. A member shall not allow past impropriety or bias. in such position. responsibilities to influence or bias. responsibilities to influence the
or existing financial, business, his or her conduct or judgment. arbitrator's conduct or judgment.
professional, family or social (f) An arbitrator shall avoid [FN n . 1 For greater certainty, 16. An arbitrator shall avoid
relationships or responsibilities entering into any relationship, or the fact that a Member receives entering into any relationship, or
to influence the member's acquiring any financial interest, an income from a government or acquiring any financial interest,
conduct or judgment. that is likely to affect his or her has a family relationship with a that is likely to affect his or her
impartiality or that might person who receives an income impartiality or that might
F. A member shall avoid entering reasonably create an appearance from the government shall not in reasonably create an appearance
into any relationship, or of impropriety or an itself be considered to be of impropriety or bias.
acquiring any financial interest, apprehension of bias. inconsistent with paragraph 2
that is likely to affect the (g) If an interest, relationship or and 5.]
member's impartiality or that matter of a candidate or
might reasonably create an arbitrator is inconsistent with
appearance of impropriety or an subparagraphs (a) through (f),
apprehension of bias. the candidate may accept
appointment to a tribunal and an
arbitrator may continue to serve
on a tribunal if the disputing
9
parties waive the violation or if,

after the candidate or arbitrator
has taken steps to ameliorate the
violation, the disputing parties
determine that the inconsistency
has ceased.
Obligations Part V: Duties in Certain Obligations of former Members Obligations of former arbitrators 7. Duties of Former Arbitrators Obligations of Former Arbitrators ARTICLE 6 Duties in Certain Situations
after Situations 15. All former Members must 16. All former arbitrators must A former arbitrator shall avoid 15. All former arbitrators shall Obligations of Former Members 17. An arbitrator or former
proceeding avoid actions that may create avoid actions that may create actions that may create the avoid actions that may create 1. All former members shall arbitrator shall avoid actions
A. For a period of one year after the appearance that they were the appearance that they were appearance that the arbitrator the appearance that they were avoid actions that may create that may create the appearance
the completion of an Article 1904 biased biased in carrying out their duties was biased in carrying out his or biased in carrying out their duties the appearance that they were that the arbitrator was biased in
proceeding, a former member in carrying out their duties or or derived advantage from the her duties or would benefit from or derived advantage from the biased carrying out his or her duties or
shall not personally advise or derived any advantage from the decision or ruling of the the decision, order or award of decisions or rulings of the in carrying out their duties or would benefit from the decision
represent any participant in the decision or ruling of the arbitration panel. the tribunal. arbitration panel. derived advantage from the or award of the arbitral tribunal.
proceeding with regard to Tribunal or the Appeal Tribunal. decisions or awards of the
antidumping or countervailing 16. Without prejudice to Article Tribunal or the Appeal Tribunal.
duty matters. 3.9(5) (Tribunal of First Instance) 2. Without prejudice to
and Article 3.10(4) (Appeal paragraph 5 of Article 3.38
B. In the case of an Article 1904 Tribunal), Members shall (Tribunal) and paragraph 9 of
proceeding, a member or a undertake that after the end of Article 3.39 (Appeal Tribunal),
former member shall not their term, they shall not become members shall undertake that
represent a participant in an involved in any manner after the end of their term, they
administrative proceeding, a whatsoever: shall not become involved in:
domestic court proceeding or (a) in investment disputes which (a) investment disputes which
another Article 1904 proceeding were pending before the Tribunal were pending before the Tribunal
involving the same goods. or the Appeal Tribunal or the Appeal Tribunal
before the end of their term; before the end of their term;
C. A former member shall avoid (b) in investment disputes (b) investment disputes with
actions that may create the directly and clearly connected which they dealt with as
appearance that the member with disputes, including members of the Tribunal or the
was biased in carrying out the concluded Appeal Tribunal and other
member's duties or would disputes, which they have dealt disputes that have matters of
benefit from the decision of the with as Members of the Tribunal fact in common with such
panel or committee. or the Appeal disputes or arise out of the same
Tribunal. events and circumstances as
17. Members shall undertake such disputes.
that for a period of three years 3. Members shall undertake that
after the end of their term, they for a period of three years after
shall the end of their term, they shall
not act as representatives of one not act as representatives of one
of the disputing parties in of the disputing parties in
investment disputes before the investment disputes before the
Tribunal or the Appeal Tribunal. Tribunal or the Appeal Tribunal
18. If the President of the 4.If the President of the Tribunal
Tribunal or of the Appeal or of the Appeal Tribunal is
Tribunal is informed or otherwise informed or otherwise becomes
becomes aware that a former Member of
the Tribunal or of the Appeal
Tribunal, respectively, is alleged
10
aware that a former Member of to have acted inconsistently with

the Tribunal or of the Appeal the obligations set up in
Tribunal, respectively, is alleged paragraphs 1 to 3, the President
to have breached the obligations shall examine the matter,
set out in paragraphs 15 through provide the opportunity to the
17, he shall examine the former member to be heard, and,
matter, and provide the after
opportunity to the former verification, inform thereof:
Member to be heard. If, after (a) the professional body or other
verification, he such institution with which that
finds the alleged breach to be former Member is affiliated;
confirmed, he shall inform: (b) the Parties; and
(a) the professional body or other (c) the President of any other
such institution with which that relevant investment tribunal or
former Member is appeal tribunal in view of the
affiliated; initiation of appropriate
(b) the Parties; and measures. The President of the
(c) the president of any other Tribunal or of the Appeal
relevant investment tribunal or Tribunal shall make public its
appeal tribunal. decision to take any actions
The President of the Tribunal or referred to in subparagraphs (a)
of the Appeal Tribunal shall to (c), together with the reasons
make public its findings therefore.
pursuant to this paragraph.
Confiden- Part VI: Maintenance of 19. No Member or former VII. Confidentiality Confidentiality 8. Maintenance of Confidentiality Confidentiality ARTICLE 7 Maintenance of Confidentiality
tiality Confidentiality Member shall at any time 1. Each covered person shall at 17. No arbitrator or former (a) An arbitrator or former 16. No arbitrator or former Confidentiality 18. An arbitrator or former
disclose or use any non-public all times maintain the arbitrator shall at any time arbitrator shall not at any time arbitrator shall at any time 1. Members and former arbitrator shall not at any time
A. A member or former member information confidentiality of non-public disclose or use any non-public disclose or use any non-public disclose or use any non-public Members shall not disclose or disclose or use any non-public
shall not at any time disclose or concerning a proceeding or information acquired during information concerning a information concerning the information concerning use at any time any non-public information concerning the
use any non-public information acquired during a proceeding, deliberations and proceedings of proceeding or acquired during a tribunal proceeding or acquired proceedings or acquired during information concerning proceeding or acquired during
concerning the proceeding or except for the purposes of that the arbitral tribunal. No covered proceeding except for the during the tribunal proceeding proceedings except for the proceedings or acquired during the proceeding except for the
acquired during the proceeding proceeding, and shall not, in person shall at any time use such purposes of that proceeding and except for the purposes of the purposes of those proceedings proceedings, except for the purposes of the proceeding and
except for the purposes of the particular, disclose or use any information to gain personal shall not, in any case, disclose or tribunal proceeding and shall and shall not, in any case, purposes shall not, in any case, disclose or
proceeding and shall not, in any such information to a personal advantage or advantage for use any such information to gain not, in any case, disclose or use disclose or use any such of the proceedings, and shall not, use any such information to gain
case, disclose or use any such advantage or an advantage for others. personal advantage or any such information to gain information to gain personal in any event, disclose or use such personal advantage or
information to gain personal others or to affect the interest of 2. No covered person shall advantage for others or to personal advantage or advantage or advantage for information to gain personal advantage for others or to affect
advantage or advantage for others. disclose the award of the arbitral adversely affect the interest of advantage for others or to affect others or to adversely affect the advantage or advantage for adversely the interest of others.
others or to affect adversely the 20. A Member shall not disclose tribunal, or make any statements others. adversely interest of others. others or to adversely affect the 19. An arbitrator shall not
interest of another. a decision or award or parts on the arbitral tribunal’s 18. An arbitrator shall not the interest of another. 17. An arbitrator shall not interest of others disclose an arbitral tribunal
thereof prior to its publication in proceedings or the issues in disclose an arbitration panel (b) An arbitrator shall not disclose an arbitration panel 2. Members shall not disclose a award or parts thereof prior to
B. A member shall not disclose a accordance with Annex 8. dispute, until the final award is ruling or parts thereof prior to its disclose a decision, order or ruling or parts thereof prior to its decision or award or parts its publication.
declaratory opinion under Article 21. A Member or former Member made available to the public in publication in accordance with award or parts thereof prior to publication in accordance with thereof prior to its publication in 20. An arbitrator or former
1903 or a panel or extraordinary shall not at any time disclose the accordance with paragraph 7 of this Chapter. its publication in accordance with Chapter 15 (Dispute Settlement). accordance with the arbitrator shall not at any time
challenge committee order or deliberations of the Tribunal Article 19.12 (Award) of the 19. An arbitrator or former Chapter 9 Section B (Investor- 18. An arbitrator or a former transparency provisions of Article disclose the deliberations of an
decision under Article 1904 prior or Appeal Tribunal, or any Agreement. arbitrator shall not at any time State Dispute Settlement), except arbitrator shall not disclose the 3.36 (Transparency of arbitral tribunal, or any
to its issuance by the panel or Member's view regarding the 3. A covered person shall not at disclose the deliberations of an in accordance with Article deliberations of an arbitration Proceedings). arbitrator's view, except as
committee. deliberations. any time disclose which arbitration panel, or any 9.23.10 panel, or any arbitrator's view at 3. Members and former required by legal or
arbitrators are associated with member's view. (Conduct of the Arbitration). any time. Members shall not disclose at constitutional requirements.
any majority or minority opinions
11
C. A member shall not disclose a in the award of the arbitral (c) An arbitrator or former any time the deliberations of the
special committee report or tribunal. arbitrator shall not at any time Tribunal
decision under Article 1905 prior disclose the deliberations of a or the Appeal Tribunal, or any
to its public release by the tribunal, or any arbitrator’s view. member's views, whatever they
Secretariat. A member or former [FN: For greater certainty, this may be.
member shall not at any time subparagraph (c) does not apply
disclose which members are to the arbitrator’s view in a
associated with majority or decision, order, award or
minority opinions in an Article opinion.]
1905 proceeding. (d) An arbitrator shall not make a
public statement regarding the
D. A member shall not disclose a merits of a
panel report issued under pending tribunal proceeding.
Chapter 20 prior to its
publication by the Commission. A
member or former member shall
not at any time disclose which
members are associated with
majority or minority opinions in a
proceeding under Chapter 20.
E. A member or former member

shall not at any time disclose the
deliberations of a panel or
committee, or any member's
view, except as required by law.
Others Part VII: Responsibilities of Expenses Expenses 9. Responsibilities of Experts, Expenses ARTICLE 8
Assistants and Staff 22. Each Member shall keep a 20. Each arbitrator shall keep a Assistants and Staff Paragraphs 19. Each arbitrator shall keep a Expenses
Parts I (Responsibilities to the record and render a final account record and render a final account 2 (Responsibilities to the record and render a final account Each Member shall keep a record
Process), II (Disclosure of the time devoted to the of the time devoted to the Process), 4(a), 4(d), 4(e), 4(f) and of the time devoted to the and render a final account of the
Obligations) and VI procedure and of the expenses procedure and of her or his 4(g) (Disclosure Obligations), procedure and of his expenses, time devoted to the procedure
(Maintenance of Confidentiality) incurred. expenses as well as the time and 5(c), 5(h) and 5(i) (Performance as well as the time and expenses and of the expenses incurred
of this Code of Conduct apply expenses of her or his assistant. of Duties by Candidates and of his assistant and staff. Mediators.
also to assistants and staff. Mediators Mediators Arbitrators), 7 (Duties of Former
23. The disciplines described in 21. This Code of Conduct applies, Arbitrators) and 8 (Maintenance Mediators ARTICLE 9
this Code of Conduct applying to mutatis mutandis, to mediators of Confidentiality) of this Code of 20. This Code of Conduct applies Mediators
Members or former Members Conduct shall also apply to mutatis mutandis to mediators. The rules set out in this Code of
shall apply, mutatis mutandis, to experts, assistants and staff. Conduct as applying to Members
mediators. or former Members apply,
10. Review A Party to the mutatis mutandis, to mediators.
Consultative Committee Comprehensive and Progressive
24. The President of the Tribunal Agreement for Trans-Pacific
and the President of the Appeal Partnership may request the
Tribunal shall each be assisted Trans-Pacific Partnership
by a Consultative Committee, Commission established under
composed of the respective Vice- Article 27.1 (Establishment of the
President and the most senior Trans-Pacific Partnership
member by age of the Tribunal Commission) to review and
and the Appeal Tribunal
12
respectively, for ensuring the amend the Code of Conduct for

proper application of this Code of Investor-State Dispute
Conduct, Article 3.11 (Ethics) and Settlement to take into account,
for the execution of any other as appropriate, relevant
task, where so provided. developments concerning
Investor-State Dispute
Settlement.
13
Other FTAs that provide for a Code of Conduct that has not been issued:
Canada-Honduras FTA Canada- Peru FTA TPP

(in force Oct. 1, 2014) (in force June 20, 2007) (draft)
Commission has not issued Code of Conduct to this date Commission has not issued Code of Conduct to this date 6. The Parties shall, prior to the entry into force of this Agreement, provide
guidance on the application of the Code of Conduct for Dispute Settlement
Article 10.26: Arbitrators ARTICLE 29 Proceedings under Chapter 28 (Dispute Settlement) to arbitrators selected to serve
1. Except in respect of a Tribunal established under Article 10.29, and unless the Arbitrators on investor-State dispute settlement tribunals pursuant to this Article, including
disputing parties decide otherwise, the Tribunal shall consist of 3 arbitrators. Each 1. Except in respect of a Tribunal established under Article 32 (Consolidation), and any necessary modifications to the Code of Conduct to conform to the context of
disputing party shall appoint one arbitrator. The disputing parties shall jointly unless the disputing parties agree otherwise, the Tribunal shall comprise three investor-State dispute settlement. The Parties shall also provide guidance on the
appoint the third, who shall be the presiding arbitrator. arbitrators, one arbitrator appointed by each of the disputing parties and the third, application of other relevant rules or guidelines on conflicts of interest in
2. Arbitrators shall: who shall be the presiding arbitrator, appointed by agreement of the disputing international arbitration. Arbitrators shall comply with that guidance in addition
(a) have expertise or experience in public international law, international trade or parties. to the applicable arbitral rules regarding independence and impartiality of
international investment rules, or the settlement of disputes arising under 2. Arbitrators shall: arbitrators.
international trade or international investment agreements;
(b) be independent of, and not be affiliated with or take instructions from, either (a) have expertise or experience in public international law, international trade or
Party or the disputing investor; and international investment rules, or the resolution of disputes arising under
(c) comply with the Code of Conduct for Dispute Settlement established by the international trade or international investment agreements;
Commission. (b) be independent of, and not be affiliated with or take instructions from, either
3. If the disputing parties do not agree on the remuneration of the arbitrators Party or the disputing investor; and
before the Tribunal is constituted, the prevailing ICSID rate for arbitrators applies. (c) comply with any Code of Conduct for Dispute Settlement as agreed by the
4. The Commission may establish rules relating to the expenses incurred by the Commission.
Tribunal. 3. Where a disputing investor claims that a dispute involves measures adopted or
maintained by a Party relating to financial institutions of the other Party, or investors
of the other Party and investments of such investors, in financial institutions in a
Party's territory, then
(a) where the disputing parties are in agreement, the arbitrators shall, in addition
to the criteria set out in paragraph 2, have expertise or experience in financial
services law or practice, which may include the regulation of financial institutions; or
(b) where the disputing parties are not in agreement,
(i) each disputing party may select arbitrators who meet the qualifications set out
in subparagraph (a), and
(ii) if the Party complained against invokes Articles 14(6) or 17, the chair of the
panel shall meet the qualifications set out in subparagraph (a).
4. The disputing parties should agree upon the arbitrators' remuneration. If the
disputing parties do not agree on such remuneration before the constitution of the
Tribunal, the prevailing ICSID rate for arbitrators shall apply.
5. The Commission may establish rules relating to expenses incurred by the
Tribunal.
14

Annex B Summary of Codes of Conduct in Ftas

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Annex B

Summary of Codes of Conduct in FTAs

(Updated as of 8 May 2020, including new treaties and updated references)

"Party" means a Party to the Arbitration); and staff, in respect

(d) to take due care in the

(2) any financial interest of the prejudice to any further

any such interests, relationships social relationship with any

for individuals in the legal or

parties waive the violation or if,

aware that a former Member of to have acted inconsistently with

E. A member or former member

respectively, for ensuring the amend the Code of Conduct for

Canada-Honduras FTA Canada- Peru FTA TPP

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