Proposal for a Council Decision on a Community Position concerning the Rules of Procedure for Dispute Settlement and the Code of Conduct for Arbitrators provided for by the Economic Partnership Agreement between the CARIFORUM States, of the one part, and the European Community and its Member States, of the other part
Date: 2009-08-05
Institutions: European Commission
Subjects: Community budget, EU Member State, European Community, application of EU law, challenge, code of conduct, economic cooperation

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COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 5.8.2009 
COM(2009) 418 final 

Proposal for a 

COUNCIL DECISION 

on a Community Position concerning the Rules of Procedure for Dispute Settlement and 
the Code of Conduct for Arbitrators provided for by the Economic Partnership 
Agreement between the CARIFORUM States, of the one part, and the European 
Community and its Member States, of the other part 

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EXPLANATORY MEMORANDUM 

The Economic Partnership Agreement between the CARIFORUM States, of the one part, and 
the European Community and its Member States, of the other part was signed on 15 October 
2008, and it is provisionally applied as of 29 December 2008. 

Article  216  of  the  Agreement  provides  for  the  adoption  by  the  Joint  CARIFORUM-EC 
Council  of  Rules  of  Procedure  to  govern  dispute  settlement  and  a  Code  of  Conduct  for 
Arbitrators  under  the  Agreement  within  three  months  of  provisional  application  of  the 
Agreement. It is thus necessary to adopt such rules at the first meeting of the Joint Council. 

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Proposal for a 

COUNCIL DECISION 

on a Community Position concerning the Rules of Procedure for Dispute Settlement and 
the Code of Conduct for Arbitrators provided for by the Economic Partnership 
Agreement between the CARIFORUM States, of the one part, and the European 
Community and its Member States, of the other part 

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, and in particular Article 
300(2), second subparagraph thereof, 

Having regard to the proposal from the Commission1, 

Whereas: 

(1) 

(2) 

(3) 

The  Economic  Partnership  Agreement  between  the  CARIFORUM  States,  of  the  one 
part,  and  the  European  Community  and  its  Member  States,  of  the  other  part,  was 
signed on 15 October 2008, and is provisionally applied as of 29 December 2008. 

Article 216 of the said Agreement calls for the adoption by the Joint CARIFORUM-
EC Council of Rules of Procedures to govern dispute settlement under the Agreement. 
Article 221(2) thereof refers to a Code of Conduct for Arbitrators to be annexed to the 
Rules of Procedure.  

The Community should determine the position to be taken with regard to the adoption 
of  the  Rules  of  Procedure  for  Dispute  Settlement  and  the  Code  of  Conduct  for 
Arbitrators in the Joint CARIFORUM-EC Council, 

HAS DECIDED AS FOLLOWS:  

Sole article 

The position of the Community in view of the adoption of a decision by the Joint Council on 
the  Rules  of  Procedure  for  Dispute  Settlement  and  the  Code  of  Conduct  for  Arbitrators 
provided for  by the Economic Partnership Agreement  between  the  CARIFORUM  States,  of 
the one part, and the European Community and its Member States, of the other part, shall be 
based on the draft decision of the Joint Council annexed to this Decision. 

1 

OJ C […], […], p. […]. 

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Done at Brussels, […] 

For the Council 
The President 
[…]

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LEGISLATIVE FINANCIAL STATEMENT FOR PROPOSALS HAVING A 
BUDGETARY IMPACT EXCLUSIVELY LIMITED TO THE REVENUE SIDE 

1. 

NAME OF THE PROPOSAL: 

Council  Decision  on  a  Community  Position  concerning  the  Rules  of  Procedure  for  Dispute 
Settlement and the Code of Conduct for Arbitrators provided for by the Economic Partnership 
Agreement between the CARIFORUM States, of the one part, and the European Community 
and its Member States, of the other part. 

2. 

BUDGET LINES: 

Chapter  and  Article:  Administrative  resources  of  the  Commission  to  cover 
interpretation and venue costs. 

Amount budgeted for the year concerned – only in the event a dispute arises: In case 
of unforeseen needs, resources could be drawn from the following budget lines:  

20.02.01  –  External  trade  relations,  including  access  to  the  markets  of  non-
Community countries 

20.01.02.11.00.02.40 – Réunions ne comportant que les personnes de la Commission 
(internes)/Conférences 

3. 

FINANCIAL IMPACT  

X 

Proposal has no financial implications 

(cid:133) 

Proposal has no financial impact on expenditure but has a financial impact on 
revenue – the effect is as follows: 

(€ million to one decimal place)  

4. 

5. 

ANTI-FRAUD MEASURES 

OTHER REMARKS 

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ANNEX 

DECISION No 2/200.. OF THE JOINT COUNCIL 

set up by the Agreement establishing an Economic Partnership Agreement between the 
CARIFORUM States, of the one part, and the European Community and its Member 
States, of the other part 

concerning the adoption of the Rules of Procedure for Dispute Settlement and the Code 
of Conduct for Arbitrators and Mediators  

THE JOINT CARIFORUM-EC COUNCIL, 

Having regard to the Economic Partnership Agreement between the CARIFORUM States, of 
the  one  part,  and  the  European  Community  and  its  Member  States,  of  the  other  part 
(hereinafter referred to as the “Agreement”), signed in Bridgetown, Barbados on 15 October 
2008, and in particular Articles 216 and 221(2) thereof, 

HAS DECIDED AS FOLLOWS: 

Article 1 

The Rules of Procedure for Dispute Settlement and the Code of Conduct for Arbitrators and 
Mediators under the Agreement are set out in Annex I and II respectively. 

Article 2 

The  European  Community  shall  bear  the  expenses  derived  from  all  organisational  matters 
regarding consultations, mediation and arbitration, with the exception of the remuneration and 
the expenses to be paid to the mediators and arbitrators, which shall be shared2. 

Article 3 

This Decision shall enter into force on … . 

Done at … 200.. 

2 

It is understood that the remuneration of officials, representatives or advisors of any Party involved in 
the organisation of the hearings will not form part of the expenses deriving from organisational matters.

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ANNEX I 

Rules of Procedure for Dispute Settlement under Part III of the Economic Partnership 
Agreement between the CARIFORUM States, of the one part, and the European 
Community and its Member States, of the other part 

Article 1 

General provisions 

1. 

In  Part  III  (Dispute  Avoidance  and  Settlement)  of  the  Agreement  and  under  these 
rules: 

– 

– 

– 

– 

– 

– 

– 

“adviser”  means  a  person  retained  by  a  Party  to  advise  or  assist  that  Party  in 
connection with the arbitration panel proceeding; 

“assistant” means a person who, under the terms of appointment of a member 
of an arbitration panel, conducts research or provides assistance to the member; 

“complaining  Party”  means  any  Party  that  requests  the  establishment  of  an 
arbitration panel under Article 207 of the Agreement; 

“Party complained against” means the Party that is alleged to be in violation of 
the provisions referred to in Article 203 of the Agreement; 

“arbitration  panel”  means  a  panel  established  under  Article  207  of  the 
Agreement; 

“representative  of  a  Party”  means  an  employee  or  any  person  appointed  by  a 
government department or agency or any other public entity of a Party;  

“day” means a calendar day, unless otherwise specified. 

2. 

3. 

The  Party  complained  against  shall  be  in  charge  of  the  logistical  administration  of 
dispute  settlement  proceedings,  in  particular  the  organisation  of  hearings,  unless 
otherwise agreed.  

The Parties shall exchange a list of dates of their official holidays and rest days on 
the first Monday of every December for the following year. If a period referred to in 
these  Rules  of  Procedure  ends  on  an  official  holiday  or  rest  day  of  either  of  the 
Parties,  the  period  shall  be  deemed  to  be  expiring  on  the  next  business  day.  No 
documents, notifications or requests of any kind shall be deemed to be received on an 
official holiday or rest day. 

Article 2 

Notifications 

1. 

The  Parties  and  the  arbitration  panel  shall  transmit  any  request,  notice,  written 
submission or other document by e-mail, with a copy submitted on the same day by 

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2. 

3. 

4. 

5. 

1. 

facsimile transmission, registered post, courier, delivery against receipt or any other 
means  of  telecommunication  that  provides  a  record  of  the  sending  thereof.  Unless 
proven otherwise, an e-mail message shall be deemed to be received on the same day 
of its sending.  

A  Party  shall  provide  an  electronic  copy  of  each  of  its  written  submissions  to  the 
other Party and to each of the arbitrators. A paper copy shall also be provided. 

The  designated  point  of  contact  for  all  notifications  for  the  CARIFORUM  States 
shall  be  the  CARIFORUM  Coordinator,  provided  for  under  Article  234(1)  of  the 
Agreement,  and  for  the  EC  Party  shall  be  the  Directorate  General  of  Trade  of  the 
European  Commission.  The  Parties  shall  immediately  inform  each  other  of  any 
change in the designated point of contact. 

Minor errors of a clerical nature in any request, notice, written submission or other 
document related to the arbitration panel proceeding may be corrected by delivery of 
a new document clearly indicating the changes.  

Depending  on  the  object  of  the  provisions  under  dispute,  all  requests  and 
notifications addressed to the CARIFORUM-EC Trade and Development Committee 
shall  also  be  copied  to  the  other  relevant  sub-committees  established  under  the 
Agreement. 

Article 3 

Commencing the arbitration 

Unless  the  Parties  agree  otherwise,  they  shall  meet  the  arbitration  panel  within  ten 
days  of  its  establishment  in  order  to  determine  such  matters  that  the  Parties  or  the 
arbitration  panel  deem  appropriate,  including  the  remuneration  and  expenses  to  be 
paid to the arbitrators, which will be in accordance with WTO standards. Members of 
the arbitration panel and representatives of the Parties may take part in this meeting 
via telephone or video conference. 

2. 

(a)  Unless  the  Parties  agree  otherwise  within  seven  days  from  the  date  of  the 
establishment of the panel, the terms of reference of the arbitration panel shall be: 

“to  examine,  in  the  light  of  the  relevant  provisions  of  the  Agreement,  the  matter 
referred  to  in  the  request  for  establishment  of  the  arbitration  panel,  to  rule  on  the 
compatibility  of  the  measure  in  question  with  the  provisions  of  the  Agreement 
identified in the Request for Establishment and to make a ruling in accordance with 
Article 209 of the Agreement.” 

(b)  The  Parties  must  notify  the  agreed  terms  of  reference  to  the  arbitration  panel 
within five days of their agreement. 

Article 4 

Initial submissions 

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The  complaining  Party  shall  deliver  its  initial  written  submission  no  later  than  twenty  days 
after  the  date  of  establishment  of  the  arbitration  panel.  The  Party  complained  against  shall 
deliver its written counter-submission no later than twenty days after the date of delivery of 
the initial written submission. 

1. 

2. 

3. 

4. 

5. 

6. 

1. 

2. 

Article 5 

Working of arbitration panels 

The  chairperson  of  the  arbitration  panel  shall  preside  at  all  its  meetings.  An 
arbitration  panel  may  delegate  to  the  chairperson  authority  to  make  administrative 
and procedural decisions. 

Unless  otherwise  provided,  the  arbitration  panel  may  conduct  its  activities  by  any 
means, including telephone, facsimile transmissions or computer links. 

Only  arbitrators  may  take  part  in  the  deliberations  of  the  arbitration  panel,  but  the 
arbitration panel may permit its assistants to be present at its deliberations. 

The drafting of any ruling shall remain the exclusive responsibility of the arbitration 
panel and must not be delegated. 

Where  a  procedural  question  arises  that  is  not  covered  by  the  provisions  of  the 
Agreement  or  these  Rules,  the  arbitration  panel,  after  consulting  the  Parties,  may 
adopt an appropriate procedure compatible with the Agreement and these rules, and 
which ensures an equal treatment of the Parties.  

When  the  arbitration  panel  considers  that  there  is  a  need  to  modify  any  time  limit 
applicable  in  the  proceedings  or  to  make  any  other  procedural  or  administrative 
adjustment,  it  shall  inform  the  Parties  in  writing  of  the  reasons  for  the  change  or 
adjustment and of the period or adjustment needed. The arbitration panel may adopt 
such change or adjustment after consulting the Parties. The time limits in Article 209 
of the Agreement shall not be modified.  

Article 6 

Replacement 

If  an  arbitrator  is  unable  to  participate  in  the  proceeding,  withdraws,  or  must  be 
replaced,  a  replacement  shall  be  selected  in  accordance  with  Article  207(3)  of  the 
Agreement. 

Where a Party considers that an arbitrator does not comply with the requirements of 
the Code of Conduct included in Annex II and for this reason should be replaced, this 
Party should notify the other Party within 15 days from the time at which it came to 
know of the circumstances underlying the arbitrator's material violation of the Code 
of Conduct. 

Where a Party considers that an arbitrator other than the chairperson does not comply 
with the requirements of the Code of Conduct, the Parties shall consult and, if they so 

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agree, remove the arbitrator and select a replacement following the procedure set out 
in Article 207(3) of the Agreement.  

If the Parties fail to agree on the need to replace an arbitrator, any Party may request 
that  such  matter  be  referred  to  the  chairperson  of  the  arbitration  panel,  whose 
decision shall be final.  

If the chairperson finds that an arbitrator does not comply with the requirements of 
the  Code  of  Conduct,  she  or  he  shall  select  a  new  arbitrator  by  lot  from  the  list  of 
individuals  referred  to  under  Article  221  of  the  Agreement  in  which  the  original 
arbitrator  appeared.  If  the  original  arbitrator  was  chosen  by  the  Parties  pursuant  to 
Article  207(2)  of  the  Agreement,  the  replacement  shall  be  selected  by  lot  from  the 
lists  of  individuals  that  have  been  proposed  by  the  complaining  Party  and  by  the 
Party complained against  under  Article 221 of the Agreement. The selection of  the 
new  arbitrator  shall  be  done  within  five  days  of  the  date  of  the  submission  of  the 
request to the chairperson of the arbitration panel.  

3. 

Where  a  Party  considers  that  the  chairperson  of  the  arbitration  panel  does  not 
comply  with  the  requirements  of  the  Code  of  Conduct,  the  Parties  shall  consult 
and, if they so agree, replace the chairperson and select a replacement following 
the procedure set out in Article 207(3) of the Agreement.  

If the Parties fail to agree on the need to replace the chairperson, any Party may 
request that such  matter be referred to one of the remaining members of the list of 
individuals  selected  to  act  as  chairpersons  under  Article  221(1)  of  the  Agreement. 
Her or his name shall be drawn by lot by the chairperson of the CARIFORUM-EC 
Trade  and  Development  Committee,  or  the  chairperson's  delegate.  The  decision  by 
this person on the need to replace the chairperson shall be final.  

If  this  person  decides  that  the  original  chairperson  does  not  comply  with  the 
requirements of the Code of Conduct, she or he shall select a new chairperson by lot 
among  the  remaining  list  of  individuals  referred  to  under  Article  221(1)  of  the 
Agreement who may act as chairpersons. This selection of the new chairperson shall 
be done within five days of the date of the submission of the request referred to in 
this paragraph. 

4. 

The arbitration panel proceedings shall be suspended for the period taken to carry out 
the procedures provided for in this Article. 

Article 7 

Hearings 

1. 

The  chairperson  shall  fix  the  date  and  time  of  the  hearing  in  consultation  with  the 
Parties and the other members of the arbitration panel, and confirm this in writing to 
the  Parties.  This  information  shall  also  be  made  publicly  available  by  the  Party  in 
charge of the logistical administration of the proceedings if the hearing is open to the 
public. Unless a Party disagrees, the arbitration panel may decide not to convene a 
hearing. 

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2. 

3. 

4. 

5. 

6. 

7. 

Unless  the  Parties  agree  otherwise,  the  hearing  shall  be  held  in  Brussels  if  the 
complaining  Party  is  the  CARIFORUM  States  and  in  the  territories  of  the 
CARIFORUM  States  if  the  complaining  Party  is  the  EC  Party.  If  the  dispute 
concerns a measure maintained by a Signatory CARIFORUM State, the hearing shall 
take place in the capital of that State unless the State gives written notice to the panel 
within ten days of its establishment that another venue should be used.  

The  arbitration  panel  may  convene  one  additional  hearing  only  in  exceptional 
circumstances.  No  additional  hearing  shall  be  convened  for  the  procedures 
established under Articles 211(2), 212(2) and 214(2) of the Agreement. 

All arbitrators shall be present during the entirety of any hearings. 

The  following  persons  may  attend  the  hearing,  irrespective  of  whether  the 
proceedings are open to the public or not: 

(a) representatives of the Parties; 

(b) advisers to the Parties; 

(c) administrative staff, interpreters, translators and court reporters; and  

(d) arbitrators’ assistants. 

Only the representatives and advisers of the Parties may address the arbitration panel. 

No later than seven days before the date of a hearing, each Party shall deliver to the 
arbitration  panel  a  list  of  the  names  of  persons  who  will  make  oral  arguments  or 
presentations  at  the  hearing  on  behalf  of  that  Party  and  of  other  representatives  or 
advisers who will be attending the hearing. 

Pursuant to Article 216 of the Agreement, the hearings of the arbitration panels shall 
be  open  to  the  public,  unless  the  arbitration  panel  decides  otherwise.  However  the 
arbitration panel shall meet in closed session when the submission and arguments of 
a  Party  contains  confidential  commercial 
in 
consultation  with  the  Parties,  decide  on  appropriate  logistical  arrangements  and 
procedures to ensure that hearings which are open are managed in an effective way. 
These procedures could include the use of live web-broadcasting or of closed-circuit 
television. 

information.  The  panel  shall, 

8. 

The arbitration panel shall conduct the hearing in the following manner: 

Argument 

(a) 

argument of the complaining Party 

(b) 

argument of the Party complained against. 

Rebuttal Argument 

(a) 

argument of the complaining Party 

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9. 

10. 

11. 

1. 

2. 

(b) 

counter-reply of the Party complained against. 

The  arbitration  panel  may  direct  questions  to  either  Party  at  any  time  during  the 
hearing. 

The arbitration panel shall arrange for a transcript of each hearing to be prepared and 
delivered as soon as possible to the Parties. 

Each  Party  may  deliver  a  supplementary  written  submission  concerning  any  matter 
that arose during the hearing within fourteen days of the date of the hearing. 

Article 8 

Questions in writing 

The  arbitration  panel  may  at  any  time  during  the  proceedings  address  questions  in 
writing  to  one  or  both  Parties.  Each  of  the  Parties  shall  receive  a  copy  of  any 
questions put by the arbitration panel. 

A  Party  shall  also  provide  a  copy  of  its  written  response  to  the  arbitration  panel’s 
questions  to  the  other  Party.  Each  Party  shall  be  given  the  opportunity  to  provide 
written comments on the other Party’s reply within seven days of the date of receipt. 

Article 9 

Confidentiality 

The  Parties  shall  maintain  the  confidentiality  of  the  arbitration  panel  hearings  where  the 
hearings are held in closed session, in accordance with Article 7(7). Each Party shall treat as 
confidential any information submitted by the other Party to the arbitration panel which that 
Party  has  designated  as  confidential.  Where  a  Party  submits  a  confidential  version  of  its 
written  submissions  to  the  arbitration  panel,  it  shall  also,  upon  request  of  the  other  Party, 
provide  a  non-confidential  summary  of  the  information  contained  in  its  submissions  that 
could be disclosed to the public no later than fifteen days after the date of either the request or 
the  submission,  whichever  is  later.  Nothing  in  these  rules  shall  preclude  a  Party  from 
disclosing statements of its own positions to the public. 

Article 10 

Ex parte contacts 

1. 

2. 

The  arbitration  panel  shall  not  meet  or  contact  a  Party  in  the  absence  of  the  other 
Party. 

No member of the arbitration panel may discuss any aspect of the subject matter of 
the proceedings with one Party or both Parties in the absence of the other arbitrators. 

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Article 11 

Amicus curiae submissions 

1. 

2. 

3. 

Pursuant  to  Article  217  of  the  Agreement,  the  arbitration  panel  may  receive 
unsolicited  written  submissions,  provided  that  they  are  made  within  fifteen  days  of 
the date of the establishment of the arbitration panel, that they are concise and in no 
case longer than fifteen typed pages, including any annexes, and that they are directly 
relevant to the issues under consideration by the arbitration panel.  

The  submission  shall  contain  a  description  of  the  person  making  the  submission, 
whether natural or legal, including the nature of their activities and the source of its 
financing, and specify the nature of the interest that the person has in the arbitration 
proceeding. It shall be drafted in the languages chosen by the Parties in accordance 
with Article 218 of the Agreement and Article 14 of these Rules of Procedure. 

The  arbitration  panel  shall  list  in  its  ruling  all  the  submissions  it  has  received  that 
conform to the above rules. The arbitration panel shall not be obliged to address in its 
ruling  the  arguments  made  in  such  submissions.  Any  submission  obtained  by  the 
arbitration panel under this rule shall be submitted to the Parties for their comments. 

Article 12 

Information or technical Advice 

Where,  pursuant  to  Article  217  of  the  Agreement,  a  panel  solicits  information  or  technical 
advice  from  entities  other  than the  Parties,  it  shall  notify  the  Parties  of  its  intention  to  seek 
such  information  or  technical  advice  and  provide  them  with  the  opportunity  to  submit 
comments.  The  panel  shall  take  into  consideration  the  comments  of  the  Parties  on  any 
information  or  technical  advice  received  in  cases  where  the  panel  takes  into  consideration 
such information or technical advice in the preparation of its ruling. 

Article 13 

Urgent cases 

In cases of urgency referred to in Chapter 2 of Part III of the Agreement, the arbitration panel, 
after consulting the Parties, shall adjust the time limits referred to in these rules as appropriate 
and shall notify the Parties of such adjustments. 

Article 14 

Translation and interpretation 

1. 

During  the  consultations  referred  to  in  Article  204  of  the  Agreement,  and  no  later 
than the meeting referred to in Article 3(1) of these Rules of Procedure, the Parties 
shall endeavour to agree on a common working language for the proceedings before 
the arbitration panel.  

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2. 

3. 

4. 

5. 

If  the  Parties  are  unable  to  agree  on  a  common  working  language  by  that  date,  the 
rules set out in Article 218(2) of the Agreement shall apply.  

The Party complained against shall arrange for the interpretation of oral submissions 
into the languages chosen by the Parties. 

Arbitration panel rulings shall be notified in the language or languages chosen by the 
Parties. 

Any Party may provide comments on any translated version of a document drawn up 
in accordance with these rules. 

Article 15 

Calculation of time-limits 

Where,  by  reason  of  the  application  of  Article  1(3)  of  these  Rules  of  Procedure,  a  Party 
receives a document on a date other than the date on which this document is received by the 
other  Party,  any  period  of  time  that  is  calculated  on  the  basis  of  the  date  of  receipt  of  that 
document shall be calculated from the last date of receipt of that document. 

Article 16 

Other procedures 

1. 

2. 

These  Rules  of  Procedure  are  also  applicable  to  procedures  established  under 
Articles 211(2), 212(2) and 214(2) of the Agreement. However, the time-limits laid 
down  in  these  Rules  of  Procedure  shall  be  adjusted  in  line  with  the  special 
time-limits  provided  for  the  adoption  of  a  ruling  by  the  arbitration  panel  in  those 
other procedures. 

In the event of the original panel, or some of its members, being unable to reconvene 
for  the  procedures  established  under  Articles  211(2),  212(2)  and  214(2)  of  the 
Agreement, the procedures set out in Article 207 of the Agreement shall apply. The 
time limit for the notification of the ruling shall be extended by fifteen days. 

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ANNEX II 

CODE OF CONDUCT FOR MEMBERS OF ARBITRATION PANELS AND 
MEDIATORS 

Article 1 

Definitions 

In this Code of Conduct: 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

"member" or “arbitrator” means a member of an arbitration panel established under 
Article 207 of the Agreement; 

"mediator" means a person who conducts a mediation in accordance with Article 205 
of the Agreement; 

"candidate" means an individual whose name is on the list of arbitrators referred to in 
Article  221  of  the  Agreement  and  who  is  under  consideration  for  selection  as  a 
member of an arbitration panel under Article 207 of the Agreement; 

"assistant"  means  a  person  who,  under  the  terms  of  appointment  of  a  member, 
conducts research or provides assistance to the member; 

"proceeding",  unless  otherwise  specified,  means  an  arbitration  panel  proceeding 
under the Agreement; 

"staff", in respect of a member, means persons under the direction and control of the 
member, other than assistants.  

Article 2 

Responsibilities to the process 

Every candidate and member shall avoid impropriety and the appearance of impropriety, shall 
be  independent  and  impartial,  shall  avoid  direct  and  indirect  conflicts  of  interests  and  shall 
observe  high  standards  of  conduct  so  that  the  integrity  and  impartiality  of  the  dispute 
settlement  mechanism  is  preserved.  Former  members  must  comply  with  the  obligations 
established in Articles 6 and 7 of this Code of Conduct. 

Article 3 

Disclosure obligations 

1. 

Prior  to  confirmation  of  her  or  his  selection  as  a  member  of  the  arbitration  panel 
under  the  Agreement,  a  candidate  shall  disclose  any  interest,  relationship  or  matter 
that  is  likely  to  affect  his  or  her  independence  or  impartiality  or  that  might 
reasonably  create  an  appearance  of  impropriety  or  bias  in  the  proceeding.  To  this 
end,  a  candidate  shall  make  all  reasonable  efforts  to  become  aware  of  any  such 

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interests, relationships and matters. These disclosure requirements shall not extend to 
the  identification  of  matters  whose  relevance  to  the  issues  to  be  considered  in  the 
proceedings would be insignificant. They shall take into account the need to respect 
the  personal  privacy  of  those  to  whom  this  Code  applies  and  shall  not  be  so 
administratively  burdensome  as  to  make  it  impracticable  for  otherwise  qualified 
persons to serve on panels. 

A  candidate  or  member  shall  only  communicate  matters  concerning  actual  or 
potential  violations  of  this  Code  of  Conduct  to  the  CARIFORUM-EC  Trade  and 
Development Committee for consideration by the Parties.  

Once  selected,  a  member  shall  continue  to  make  all  reasonable  efforts  to  become 
aware  of  any  interests,  relationships  or  matters  referred  to  in  paragraph  1  of  this 
Article and shall disclose them. The disclosure obligation is a continuing duty which 
requires  a  member  to  disclose  any  such  interests,  relationships  or  matters  that  may 
arise during any stage of the proceeding. The member shall disclose such interests, 
relationships or matters by informing the CARIFORUM-EC Trade and Development 
Committee, in writing, for consideration by the Parties.  

Article 4 

Duties of members 

Upon  selection  a  member  shall  perform  her  or  his  duties  thoroughly  and 
expeditiously  throughout  the  course  of  the  proceeding,  and  with  fairness  and 
diligence. 

A member shall consider only those issues raised in the proceeding and necessary for 
a ruling and shall not delegate this duty to any other person.  

A member shall take all appropriate steps to ensure that his or her assistant and staff 
are aware of, and comply with Articles 2, 3 and 7 of this Code of Conduct.  

A member shall not engage in ex parte contacts concerning the proceeding.  

Article 5 

Independence and impartiality of members 

A  member  must  be  independent  and  impartial  and  avoid  creating  an  appearance  of 
impropriety  or  bias  and  shall  not  be  influenced  by  self-interest,  outside  pressure, 
political considerations, public clamour, and loyalty to a Party or fear of criticism.  

A member shall not, directly or indirectly, incur any obligation or accept any benefit 
that would in any way interfere, or appear to interfere, with the proper performance 
of her or his duties.  

A  member  may  not  use  her  or  his  position  on  the  arbitration  panel  to  advance  any 
personal  or  private  interests  and  shall  avoid  actions  that  may  create  the  impression 
that others are in a special position to influence her or him.  

2. 

3. 

1. 

2. 

3. 

4. 

1. 

2. 

3. 

EN 

16 

   EN 

 
4. 

5. 

A  member  may  not  allow  financial,  business,  professional,  family  or  social 
relationships or responsibilities to influence her or his conduct or judgement.  

A  member  must  avoid  entering  into  any  relationship  or  acquiring  any  financial 
interest that is likely to affect her or his impartiality or that might reasonably create 
an appearance of impropriety or bias. 

Article 6 

Obligations of former members 

All former members must avoid actions that may create the appearance that they were biased 
in carrying out their duties or derived advantage from the decision or ruling of the arbitration 
panel. 

Article 7 

Confidentiality 

1. 

2. 

3. 

No  member  or  former  member  shall  at  any  time  disclose  or  use  any  non-public 
information concerning a proceeding or acquired during a proceeding except for the 
purposes  of  that  proceeding  and  shall  not,  in  any  case,  disclose  or  use  any  such 
information to gain personal advantage or advantage for others or to adversely affect 
the interest of others.  

A  member  shall  not  disclose  an  arbitration  panel  ruling  or  parts  thereof  prior  to  its 
publication in accordance with the Agreement.  

A  member  or  former  member  shall  not  at  any  time  disclose  the  deliberations  of  an 
arbitration panel, or any member's view. 

Article 8 

Expenses 

Each  member  shall  keep  a  record  and  render  a  final  account  of  the  time  devoted  to  the 
procedure and of her or his expenses. 

Article 9 

Mediators 

The disciplines described in this Code of Conduct as applying to members or former members 
shall apply, mutatis mutandis, to mediators. 

EN 

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   EN