Code of Conduct

The continued viability of arbitration to resolve industry disputes largely depends on the quality of the arbitrators, their understanding of complex issues, their experience, their good judgment and their personal and professional integrity. In order to properly serve the parties and the process, arbitrators must observe high standards of ethical conduct and must render decisions fairly. The provisions of the Code of Conduct should be construed to advance these objectives.

This version of the Code of Conduct was revised and became effective as of November 13, 2015, for conduct taking place after that date. It is an integration, with significant updates and amendments, of the original Guidelines and the Additional Ethics Guidelines adopted by ARIAS in 2010. The date on the PDF version of the Code reflects subsequent amendments to the Code as approved by the Board.

Purpose

The purpose of the Code of Conduct is to provide guidance to arbitrators in the conduct of insurance and reinsurance arbitrations in the United States, whether conducted by a single arbitrator or a panel of arbitrators, whether or not certified by ARIAS•U.S. and regardless of how appointed. Comments accompanying the Canons explain and illustrate the meaning and purpose of each Canon. These Canons are, however, not intended to override the agreement between the parties in respect to arbitration and do not displace applicable laws or arbitration procedures. Though these Canons set forth considerations and behavioral standards only for arbitrators, it is expected that the parties and their counsel will conform their own behavior to the Canons and will avoid placing arbitrators in positions where they are unable to sit or are otherwise at risk of contravening the Canons.

Definitions 

  1. Affiliate: an entity whose ultimate parent owns a majority of both the entity and the party to the arbitration and whose insurance and/or reinsurance disputes, as applicable, are managed by the same individuals that manage the party’s insurance and/or reinsurance disputes;
  2. Arbitrator: a person responsible to adjudicate a dispute by way of arbitration, including the umpire on a three (or more) person panel of arbitrators;
  3. Party: the individual or entity that is named as the petitioner or respondent in an arbitration, as well as the affiliates of the named party;
  4. Umpire: a person chosen by the party-appointed arbitrators, by an agreed-upon procedure, or by an independent institution to serve in a neutral capacity as chair of the panel.

Code of Conduct Canons

Download the full Code of Conduct Canons or download the individual Canons below:

In 2015, the ARIAS·U.S. Ethics Committee (the “Ethics Committee”) conducted a membership survey. Certain themes emerged from the responses. The responses are grounded in the ARIAS·U.S. Code of Conduct (the “Code”) and are focused on the ethical responsibilities of party-appointed arbitrators and umpires and not the specific facts and circumstances that might arise in a dispute. Click here to review the Ethics Committee Responses to Member Survey Questions.