N.C. Canons of Ethics for Arbitrators Canon I

A. Fair and just processes for resolving disputes are indispensable in our

society. Arbitration is an important method for deciding many types of disputes.

For arbitration to be effective, there must be broad public confidence in and

understanding of the integrity and fairness of the process. Therefore, an arbitrator

has a responsibility not only to the parties but also to the courts, the public and the

process of arbitration itself and must observe high standards of conduct so that the

integrity and fairness of the process will be preserved. Accordingly, an arbitrator has

a responsibility to the public, parties whose rights will be decided, the courts, and

other participants in the proceeding. These Canons shall be construed and applied

to further these objectives.

B. It may be inconsistent with the integrity of the arbitration process for

persons to solicit appointment for themselves. However, persons may indicate a

general willingness to serve as arbitrators, e.g., by listing themselves with

institutions that sponsor arbitration, or with courts that have court-annexed

arbitration programs. Arbitrators may advertise, consistent with the law.

C. Persons may accept appointment as arbitrators only if they believe that

they can be available to conduct the arbitration promptly. They shall exercise

judgment whether their skills or expertise are sufficient to support demands of the

arbitration and, if these skills or expertise are not sufficient, they shall decline to

serve or withdraw from the arbitration, with the court’s approval in

court-administered arbitration, and notice to the parties.

D. After accepting appointment and while serving as an arbitrator, a

person shall avoid entering into any financial, business, professional, family or social

relationship, or acquiring any financial or personal interest likely to affect

impartiality or which might reasonably create the appearance of partiality or bias.

For one year after decision of a case, persons who have served as arbitrators shall

avoid entering into any such relationship, or acquiring any such interest, in the

circumstances which might reasonably create the appearance that they had been

influenced in the arbitration by the anticipation or expectation of the relationship or

interest, unless all parties to the arbitration consent to any such relationship or

acquiring any such interest.

E. Arbitrators shall conduct themselves in a way that is fair, in word and

action, to all parties and must not be swayed by outside pressure, public clamor, fear

of criticism or self-interest. If an arbitrator determines that he or she cannot serve

impartially, that arbitrator shall decline appointment or withdraw from serving and

shall notify the parties, and the court in court-administered arbitrations.

F. When an arbitrator’s authority is derived from the parties’ agreement,

the arbitrator shall not exceed that authority nor do less than required to exercise

that authority completely. Where the parties’ agreement sets forth procedures to be

followed in conducting the arbitration or refers to rules to be followed, the arbitrator

must comply with such procedures or rules.

G. An arbitrator shall make all reasonable efforts to prevent delaying

tactics, harassment of parties or other participants, or other abuse or disruption of

the arbitration process.

H. An arbitrator’s ethical obligations begin upon acceptance of

appointment and continue throughout all stages of the proceeding. In addition,

wherever specifically set forth in these Canons, certain ethical obligations begin as

soon as a person is asked to serve as an arbitrator and continue for one year after the

decision in the case has been given to the parties.

I. An experienced arbitrator should participate in development of new

practitioners in the field and should engage in efforts to educate the public about the

value and use of arbitration procedures. An arbitrator should provide pro bono

services, as appropriate.