The Ethical Code of Arbitrators is a professional ethics code for arbitrators. Although it does not form part of the arbitration rules, it plays a role of guiding, evaluating and supervising the potential and incumbent arbitrators. Each arbitration institution including the World Arbitration Centre pays great attention to the ethical code for arbitrators, which is deemed very important. The arbitrators shall carefully carry out and consciously abide by the various requirements set forth in the arbitrator's code, strive to handle every arbitration case in good manner, and safeguard the authority and credibility of arbitration.
The Ethical Code of Arbitrators of the World Arbitration Centre was formulated by the World Arbitration Centre with reference to the best practices of the major arbitration institutions in the world, and in combination with the Centre's high standards and requirements for arbitrators. There are 18 rules in the code, covering the principles and requirements of arbitrators' independent and impartiality, conflict of interest test, disclosure, challenge and withdrawal, case handling, secretary management, confidentiality and continuing education.
The full text of the Ethical Code of Arbitrators of the World Arbitration Centre is as follows:
Ethical Code of Arbitrators of the World Arbitration Centre
(Effective as from 1 January 2020)
Article 1 An arbitrator shall be independent and impartial, abide by professional ethics, abide by laws and arbitration rules, and be diligent and punctual in handling arbitration cases fairly and efficiently.
Article 2 An arbitrator may accept the appointment of a party or the World Arbitration Centre (“the Centre”) to handle an arbitration case only when it is determined that the following conditions are met:
(1) has no conflict of interest with the parties, their agents, witnesses and other members of the arbitral tribunal;
(2) being able to treat all parties fairly and not favoring any party;
(3) having the professional knowledge and experience required to resolve disputes of the cases;
(4) accept the terms of remuneration and expenses agreed by the parties or stipulated by the Centre’s arbitration rules;
(5) being able to spend corresponding time and energy to handle arbitration cases in accordance with the arbitration rules and the provisions of applicable laws.
Article 3 A potential arbitrator shall not discuss with a party in advance about the substantive issues of the case, nor shall have provided an advisory opinion to the party.
Article 4 When accepting the appointment, the arbitrator is obliged to disclose to the Centre any matter that may cause the parties to have reasonable doubts about their impartiality or independence. This obligation is ongoing and should be fulfilled until the end of the arbitral proceedings. Such matters include:
(1) any known financial or personal interest relationship with the arbitration participants or the results of the arbitration;
(2) any existing or past financial, commercial, professional or personal relationship that is known to affect independence or impartiality in the eyes of any party;
(3) any other matters, relationships, or interests required to be disclosed by the parties' agreements, arbitration rules, or related applicable laws.
Article 5 The arbitrator may decide to disclose to the Centre any other matters taking into account of the circumstances listed in the International Bar Association Guidelines on Conflict of Interest.
Article 6 Where there is a situation that seriously affects the independence and impartiality of the arbitrator, the arbitrator shall take the initiative to withdraw, and the Chairman of the Centre shall also have the power to decide the arbitrator to withdraw. The parties shall be deemed to waive the right of objection only if the parties are aware of the conflict of interest of the arbitrator and still expressly agree that he/she can serve as an arbitrator.
Article 7 The arbitrator shall not accept gifts or entertainment from the parties during his/her term of office, and shall not meet with one of the parties privately to discuss the case or to receive the materials of the case in private. In the process of mediation, the arbitral tribunal may decide its member to meet with a party alone as a mediator for the purpose of mediation, but the arbitrator must abide by the rules of mediation and the corresponding rules of arbitration rules.
Article 8 The arbitrator shall handle the case fairly and diligently, including:
(1) the arbitrator shall conduct arbitration impartially and treat the parties and other arbitration participants equally, fairly, patiently and courteously;
(2) the arbitrator shall give the parties proper notice of the time and place of the hearing, and give the parties a reasonable opportunity to submit evidence and present their cases;
(3) the arbitrator shall make reasonable efforts to prevent delay or destruction of the arbitral proceedings;
(4) the arbitrators of the same arbitral tribunal shall work together to actively promote the conduct of arbitration process; and
(5) the arbitrator may recommend that the parties consider settling the dispute through mediation or other dispute resolution methods, but no pressure should be placed on any party for this specific purpose.
Article 9 An arbitrator shall faithfully perform his obligation of confidentiality, shall not disclose his views and the deliberation circumstances of the arbitral tribunal to the parties or the outside world, and shall keep confidential all relevant issues relating to the arbitral procedure, merits of the case, arbitral award and so on. An arbitrator must comply with the obligation of confidentiality even if he/she no longer performs his/her duties of handling the case due to challenge or voluntary withdrawal.
Article 10 Where the arbitrator(s) employs a secretary of the arbitral tribunal to assist in managing the arbitral proceedings with the consent of the parties, the arbitrator(s) shall not delegate decision-making power on the procedural or substantive issues of the case to the tribunal's secretary. The arbitrator(s) shall also ensure that the secretary of the arbitral tribunal is independent and impartial, and has no conflict of interest with the parties, their agents or other participants in the arbitration.
Article 11 At the hearing, an arbitrator shall be impartial, and shall also be impartial in appearance, not showing any bias. After the hearing is closed, the arbitrators shall deliberate the case without delay and advance the arbitration efficiently.
Article 12 The arbitral tribunal shall, after careful deliberation, make an arbitral award independently and impartially on all reliefs sought by the parties to arbitration, neither going beyond its authority nor omitting any requests. The arbitrator(s) shall submit the draft award to the Centre for scrutiny in accordance with the arbitration rules.
Article 13 After an arbitral award is made, the arbitrator shall not provide assistance to the parties or outsiders in applying for setting aside, enforcement or non-enforcement of the award, and shall not act as a witness at the request of the parties in subsequent judicial proceedings.
Article 14 An arbitrator shall have the right and shall participate in the workshops or training activities organized by the Centre for arbitrators. An arbitrator shall continue education, and constantly improve his/her ability to handle cases.
Article 15 Arbitrators may promote their arbitration services, but the relevant information must be true and accurate.
Article 16 Where an arbitrator violates this Code, the arbitration rules or other regulations of the Centre and if the circumstances are serious, the Chairman of the Centre shall have the power to decide the arbitrator to withdraw, and the Centre shall have the right to remove the arbitrator from the Panel of Arbitrators.
Article 17 This Code does not form part of the Centre's arbitration rules and does not constitute the basis for judicial review of arbitral awards.
Article 18 This Code shall come into effect on January 1, 2020.