The purpose of this Code of Ethics is to guide the conduct and activities of the professionals who will act as arbitrators in the arbitration proceedings administered by the Arbitration Chamber of the Brazilian Intellectual Property Association (“CArb-ABPI”), as well as to establish principles and guidelines to be observed by the parties, their attorneys and other persons involved in the arbitration proceedings filed before the CArb-ABPI, in any of its stages, including the stage preceding the commencement of the arbitration and after the award has been rendered.
The principles and guidelines set forth in this Code are not exhaustive, and while performing their activities, the arbitrators and other users of CArb-ABPI will resort to other guidelines and conducts that may recommend ethics and common sense.
1.1. The arbitrator will conduct the procedure diligently and efficiently, observing the principles of economy, celerity, and autonomy of the parties’ will.
1.2. In addition to general principles of conduct, such as good faith, fairness, among others, these are principles that should always guide the arbitrator’s activities before, during and after the arbitration:
(i) impartiality, understood as the duty to remain impartial about the participants in the procedure,
(ii) independence, understood as the relationship that is disconnected from the participants in the procedure,
(iii) discretion, understood as the abstention to make comments and/or express opinions on the existence of the procedure, as well as its content,
(iv) confidentiality, understood as the duty not to disclose and/or exploit for one’s own benefit or for the benefit of third parties, in the external environment of the arbitration, any information and/or document relating to the proceedings, which may allow the identification of the parties, or the facts involved in the arbitration proceedings, unless expressly authorized by the parties to disclose the award,
(v) diligence, understood as the care and prudence with which it will conduct the procedure, observing the deadlines, terms, and guidelines of the Arbitration Agreement, the CArb-ABPI Regulation and Rules, and the CSD-ABPI Rules,
(vi) responsibility, understood as the commitment and availability that the arbitrator must present in the conduct of the procedure, in all its phases,
(vii) competence, understood as the ability and capacity to act in the procedure, observing eventual needs and specific qualifications for the performance of their functions,
(viii) equidistance, understood as the isonomy to be ensured to all parties to the procedure,
(ix) transparency, understood as the duty to act with clarity, in order to guarantee the posture of a third party that must always be and appear to be impartial while performing their functions.
2.1. Observing the principles above, the arbitrator, even before the procedure is brought and throughout its course, will:
(i) be and remain impartial, without favoring any party over the other or showing bias towards certain aspects of the matter in dispute,
(ii) act always with independence and transparency, refraining from maintaining direct contact with any of the parties or persons linked to them, to preserve their independence until the final decision, bearing in mind that, although appointed by the party, he does not represent its interests in the arbitration proceeding,
(iii) disclose to the participants of the arbitration all information, fact or relationship held with the parties or any situation that may cause discomfort in their eyes or that may, in any way, influence their impartiality and independence, it being at the parties’ discretion whether to ratify their appointment. This duty of disclosure, which must be formalized in writing by the arbitrator, precedes the commencement of the arbitration proceeding and must continue throughout its course,
(iv) interrupt its performance in the procedure in case of any ethical or legal impediment, formally informing the Secretariat of CArb-ABPI and the parties,
(v) not to resign, except for a serious reason or fact supervening the commencement of the arbitration that makes them unable to perform the arbitrator function, including: serious illness of the arbitrator or their family members, misunderstandings with the members of the arbitration tribunal, the parties or their attorneys, which may impair the regular development of his/her activities in the proceedings,
(vi) decline cases in which he lacks the time or knowledge necessary to ensure quality in the conduct of the procedure, including, among others, the mastery of a foreign language, when so required in the respective procedure,
(vii) be diligent, caring always for the regularity, quality, efficiency, economy and celerity of the procedure, to meet the expectations of the parties regarding the institution and development of the arbitration,
(viii) ensuring the correct and appropriate course of the arbitration proceeding with observance of equal treatment of the parties, also respecting the deadlines, terms and guidelines of the Arbitration Minutes, the CArb-ABPI Rules and Regulations and the CSD-ABPI Rules,
(ix) observing the duty of confidentiality based on the principles established in chapter 1 above,
(x) treating parties, persons related thereto, witnesses, other arbitrators and CArb-ABPI employees in a courteous manner and maintaining an urban conviviality, always respecting the equidistance that the arbitrator must have from the parties and persons related thereto.
2.2. Any contact with the parties to request indications to act as arbitrator is inappropriate, and when consulted by the party to verify the possibility and availability of being appointed as such, the professional must refrain from issuing opinions or prior evaluations about the conflict.
2.3. The arbitrator will not accept gifts or any other benefits for himself or for third parties, which may be offered, directly or indirectly, by the parties.
3.1. Besides the general principles of conduct, such as good faith, smoothness, among others, the parties and the people linked to them throughout the procedure have duties:
(i) refraining from making comments and/or pronouncements on the existence of the procedure, as well as its content,
(ii) respecting the confidentiality of the arbitration proceedings, if applicable, except in the case of judicial proceedings related thereto, or when required by law,
(iii) always ensuring the regularity, quality, efficiency, economy and celerity of the procedure, observing the deadlines, terms and guidelines of the Arbitration Agreement, the CArb-ABPI Rules and Regulations and the CSD-ABPI Rules,
(iv) treating arbitrators, witnesses, other parties and persons connected with them, and CArb-ABPI employees in a courteous manner, maintaining an urban conviviality,
(v) not contacting the arbitrators directly.
4.1. CArb-ABPI will provide a copy of this Code of Ethics to the arbitrators and parties. The arbitrators will state in the Statement of Independence that they have read it and are aware of its content.
4.2. The arbitrator’s function is very personal and may not, under any circumstances, be delegated to another professional.
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