Rules and Codes of Conduct for Qualfied Arbitrators & Qualified Mediators

The object of arbitration is to obtin the fair resolution of disputes by impartial tribunal, without unnecessary delay or expense. Mediation is an alternative dispute resolution procedure to facilitate the parties in settling their differences or disputes.

These Rules and this Code of Conduct are issued specificially for Qualified Arbitrators and Qualified Mediators who may be members of Gafta under Category D (as individuals) or under Category I (as arbitrators, appeals and mediations as appropriate.

For the purpose of these Rules and this Code of Conduct, the term "Arbitrator" shall unless the contrary intention appears, include all Qualified Arbitrators and Qualified Mediators, whether acting as Arbitrators, Mediators or Appeal Board members.

An Arbitrator, who is found to have acted contrary to any provision of these Rules or this Code of Conduct, or to their spirit, may be subject to disciplinary action.

Rules

1. General Eligibility and Qualification

1.1 Gafta's Arbitration Rules require the appointment of Qualified Arbitrators. Its Mediation Rules require the appointment of Qualified Mediators. All Qualified Arbitrators (including Appeal Board members) and Qualified Mediators must be either individual Members of the Association under Category D, or Associate Members under Category I, employed by Members in other categories and acting with the consent of their employers.

1.2 Any Member or employee of a Member wishing to become a Gafta Qualified Arbitrator or Qualified Mediator must comply with the Association's Criteria and the Gafta Professional Development (GPD) programme as published by the Council from time to time. Applicants appearing on other grounds to be eligible will be elected to a 'waiting room' pending their successful completion and/or compliance with the Association's GPD programme.

1.3 If, at any time, a Qualified Arbitrator or a Qualified Mediator ceases to be eligible under the Association's Criteria or fails to comply with the on-going requirements of the Association's GPD programme, as published from time to time, they shall cease to be a Qualified Arbitrator or Qualified Mediator and his membership shall lapse. They may, however, re-apply at any time.

2. Committee of Appeal

2.1 There shall be a Committee of Appeal appointed by the Council which shall comprise Qualified Arbitrators and Qualified Mediators who are Members of the Association (under Category D), or employees of Members of the Association acting with the consent of their employers (under Category I).

2.2 At the Annual General Meeting in each year, the members of the Committee of Appeal shall retire but shall be eligible for re-election at the first meeting of the Council thereafter.

3. Boards of Appeal

3.1 An appeal under Gafta's Arbitration Rules shall be heard by a Board of Appeal. Each Board of Appeal shall comprise three or five members of the Committee of Appeal as required by the Arbitration Rules, duly elected in such manner as shall be prescribed by the Council.

4. Costs, Fees and Expenses

4.1 Any costs, fees and expenses incurred by an Arbitrator in relation to the dispute should be shown on the award or arbitration. Settlement of any costs, fees and expenses should be made through the Association and not to an Arbitrator direct.

4.2 If an Arbitrator decides to request the Association to call for a deposit under the Arbitration Rules, this deposit shall be sent to the Association by the party called on to be held on account of the costs, fees and expenses of the arbitration.

4.3 The Council shall from time to time determine the charges to be made by the Association in respect of its costs and fees.

5. Confidentiality

Arbitrators must not disclose or discuss, either with the disputing parties or with third parties, details of their arbitration awards, nor any documents or submissions put in by the parties, prior to and after the publication and issue of, such awards by the Association.

6. Eligibility to act in Particular Cases

6.1 Qualified Arbitrators and Qualified Mediators shall be ineligible to act in arbitrations, mediations and appeals in the following cases:

6.1.1 Where they have an interest in the transaction being the subject of the reference, including but not limited to, an interest arising from being a party thereto, or as a broker, agent, consultant, or superintendent acting in the transaction.

6.1.2 Where they have involvement in any other capacity which links them to either of the disputing parties, including but not limited to, an involvement arising from being a member of an organisation named as party to the arbitration or mediation, or from being financially retained by any such party, or from being a member of or being financially retained by an organisation financially associated with any such party.

6.1.3 Where they are so closely associated with a party as to cast doubt on their ability to conduct the reference impartially.

6.1.4 At appeal hearings, as either party's representative or as a board member where they participated as an arbitrator in the arbitration against which the appeal has been lodged.

6.1.5 Where another employee of the same organisation or associated organisation or firm, as that of the Qualified Arbitrator or Qualified Mediator is appointed to act as Arbitrator, Appeal Board Member or Mediator in the same case.

6.1.6 In cases involving former employers, for a period of 5 years from leaving their employment. Retired employees shall always be ineligible to serve on any case involving their last employer.

7. Compliance

7.1 Complaints relating to eligibility to act in a particular case.

7.1.1 Any person may make a complaint to the Director General regarding an Arbitrator's eligibility to act in a particular case, on any of the following grounds:
(a) That he is not impartial or there are doubts as to his impartiality
(b) That he does not possess the qualifications required by the arbitration agreement
(c) That he has failed or refused to conduct the proceedings properly
(d) That he is incapable of acting
(e) That he has acted or proposed to act in excess of his jurisdiction
(f) That he has failed or refused to use all reasonable dispatch in conducting the arbitration or making an award
(g) That he has failed to comply with the requirements of the Continuing Professional Development (CPD) Programme as decided by the Council

7.1.2 Prior to making any such complaint the complaintant shall use all reasonable endeavours to resolve the matter informally with the Arbitrator.

7.1.3 If the matter cannot be resolved by the Director General or such other person as the Director General may nominate, the compaintant will be required to complete a standard complaints form, and the matter will be referred to an Arbitration Complaints Committee comprising three Council Members of the Association.

7.1.4 The Arbitration Complaints Committee will investigate the matter as it sees fit and provided it is satisfied that there are no issues of possible unprofessional conduct (as defined in the Association's Complaints and Disciplinary Regulations), it may:
(a) Dismiss the complaint; or
(b) Seek to resolve the matter by agreement between the parties; or
(c) Revoke the Arbitrator's authority to act in the particular case or in any specific future category of cases.

7.1.5 Where the Arbitration Complaints Committee considers that there may be issues of possible unprofessional conduct, it shall refer the matter for consideration under the Association's Disciplinary Regulations.

7.2 Complaints relating to unprofessional conduct.

7.2.1 Arbitrators may be subject to disciplinary action if they are deemed to be guilty of unprofessional conduct as defined in the Association's Complaints and Disciplinary Regulations. They should be aware that upon a finding of unprofessional conduct, they may be subject to one or more of the various forms of disciplinary action in accordance with the Regulations including expulsion or suspension from membership or revocation of their authority to act as a Qualified Arbitrator or Qualified Mediator either generally or in an instance reference or in any future category or references.

7.2.2 In determining whether there ar grounds for disciplinary action, regard shall be had to the Association's General Rules, Regulations and Code of Conduct and to any other relevant Rules, Regulations and Codes of Conduct including those set out herein.

8. Code of Conduct

8.1 This Code deals specifically with standards of conduct required to be adopted by Arbitrators.

8.2 Arbitrators must always remember that they are acting in a judicial capacity and that there are basic requirements of justice which they must observe. These requirements will usually be satisfied if the Arbitrators have acted with fairness towards both parties.

8.3 Arbitrators must always act with impartiality between the parties and avoid saying or doing anything which even gives the impression that they are not or may not be impartial.