Code of Conduct for Investor-State Dispute Settlement Under Chapter 9 Section B (Investor-State Dispute Settlement) of the Comprehensive and Progressive Agreement for Trans-Pacific Partnership

This document is made available for information purposes, and is subject to review against final published version.

1. Definitions

For the purposes of this Code of Conduct:

arbitrator means a member of a tribunal constituted pursuant to Article 9.22 (Selection of Arbitrators);

assistant means a person who, under the terms of appointment of an arbitrator, conducts research or provides support for the arbitrator;

candidate means an individual who is under consideration for selection as an arbitrator pursuant to Article 9.22 (Selection of Arbitrators);

expert means a person appointed pursuant to Article 9.27 (Expert Reports) or applicable arbitration rules;

family member means the spouse of an arbitrator or candidate; or a parent, child, grandparent, grandchild, sister, brother, aunt, uncle, niece or nephew of the arbitrator or candidate or spouse of the arbitrator or candidate (including whole and half blood relatives and step relatives); or the spouse of such an individual.  Family member also includes any resident of an arbitrator’s or candidate’s household whom the arbitrator or candidate treats as a member of his or her family;

Rules means applicable rules pursuant to Article 9.19.4 (Submission of a Claim to Arbitration); and

staff, in respect of an arbitrator, means individuals under the direction and control of the arbitrator other than assistants.

2. Responsibilities to the Process

Each candidate, arbitrator and former arbitrator shall avoid impropriety and the appearance of impropriety and shall observe high standards of conduct so that the integrity and impartiality of the dispute settlement process is preserved.

3. Governing Principles

4. Disclosure Obligations

5. Performance of Duties by Candidates and Arbitrators

6. Independence and Impartiality of Arbitrators

7. Duties of Former Arbitrators

A former arbitrator shall avoid actions that may create the appearance that the arbitrator was biased in carrying out his or her duties or would benefit from the decision, order or award of the tribunal.

8. Maintenance of Confidentiality

9. Responsibilities of Experts, Assistants and Staff

Paragraphs 2 (Responsibilities to the Process), 4(a), 4(d), 4(e), 4(f) and 4(g) (Disclosure Obligations), 5(c), 5(h) and 5(i) (Performance of Duties by Candidates and Arbitrators), 7 (Duties of Former Arbitrators) and 8 (Maintenance of Confidentiality) of this Code of Conduct shall also apply to experts, assistants and staff.

10. Review

A Party to the Comprehensive and Progressive Agreement for Trans-Pacific Partnership may request the Trans-Pacific Partnership Commission established under Article 27.1 (Establishment of the Trans-Pacific Partnership Commission) to review and amend the Code of Conduct for Investor-State Dispute Settlement to take into account, as appropriate, relevant developments concerning Investor-State Dispute Settlement.

Appendix to Code of Conduct for Investor-State Dispute Settlement Under Chapter 9 Section B (Investor-State Dispute Settlement) of the Comprehensive And Progressive Agreement for Trans-Pacific Partnership

Initial Disclosure Statement Form

1.         I acknowledge having received a copy of the Code of Conduct for investor-state dispute settlement under Chapter 9 Section B (Investor-State Dispute Settlement) of the Comprehensive and Progressive Agreement for Trans-Pacific Partnership.

2.         I acknowledge having read and understood the Code of Conduct.

3.         I understand that I have a continuing obligation, while participating in the tribunal proceeding, to disclose interests, relationships and matters that may bear on the integrity or impartiality of the dispute settlement process.  As a part of this continuing obligation, I am making the following initial disclosures:

Signed on this __________ day of ____________, 20__.

By:

Signature _________________________________________

Name ____________________________________________

Date Modified: