Code of Professional Ethics

APPROVED
Order of UANIPIO
No. 159-O/2023 dated 07.09.2023

Preamble

The Code was developed in accordance with the Law of Ukraine "On Mediation" No. 1875-IX dated 16.11.2021, the European Code of Conduct for Mediation Providers dated December 3-4, 2018 and the European Code of Conduct for Mediators dated June 2, 2004, adopted by the European Commission for the Efficiency of Justice (CEPEJ).

The purpose of this Code is to establish professional quality standards for the provision of services for the preparation and conduct of mediation in the resolution of intellectual property disputes on the basis of the State Organization "Ukrainian National Office of Intellectual Property and Innovations", as well as to define ethical principles of conduct of mediators involved in this process.

Section I. Definitions of Terms

In this Code, the terms shall have the following definitions:
UANIPIO shall mean the State Organization "Ukrainian National Office for Intellectual Property and Innovations", which ensures the introduction of mechanisms for alternative dispute resolution in the field of intellectual property, in particular through mediation.
Center shall mean the Mediation Center, which is a structural subdivision of UANIPIO ensuring the implementation of mediation in the field of intellectual property.
IP shall mean intellectual property (used for abbreviations, such as "IP mediator", "IP mediation", "IP sector").
Register shall mean an electronic database formed and maintained by an authorized structural subdivision of UANIPIO and containing information on mediators who may be involved in conducting IP mediation on the basis of UANIPIO.
Mediation shall mean an out-of-court, voluntary, confidential, and structured procedure in which the parties, with the help of a mediator (mediators), try to prevent or resolve a conflict (dispute) in the IP sector through negotiations.
Mediator shall mean a neutral, independent and unbiased individual who has completed basic mediator training, as well as specialized training in IP and/or business mediation, complying with the Code and generally accepted standards of ethical conduct, and entered in the Register.

Section II. Standards of IP mediation service in UANIPIO

Article 1. Quality and competence

Based on its strategic tasks, UANIPIO takes all necessary measures to ensure the appropriate level of quality of IP mediation services and guarantees that:

normative acts of the UANIPIO, developed in accordance with the requirements of national legislation, taking into account the practice of the WIPO Arbitration and Mediation Center, are intended to regulate IP mediation;
the organization of preparations for IP mediation is carried out in a proper manner and comfortable conditions for conducting mediation are created;
there are transparent, fair and effective procedures for selecting IP intermediaries, forming and maintaining the Register;
mediators, whose information is entered in the Register, are competent in conducting IP mediation, have basic mediator training, as well as specialized training in the IP field and/or business mediation;
monitoring of the quality of IP mediation services is carried out by using relevant questionnaires regarding customer satisfaction;
statistical data on key indicators are collected and analyzed;
there is an effective system for controlling and managing the quality of mediation services.

Article 2. Transparency and communication

In order to inform all interested parties about its services, the official website of UANIPIO contains up-to-date information on the tasks and functions of the Center, the application procedure for IP mediation, the Register of mediators and the necessary normative legal acts regulating the preparation and conduct of mediation.

Article 3. Independence, impartiality and neutrality

UANIPIO is an independent, impartial and neutral entity that provides IP mediation services.

Officials and employees of UANIPIO may not act in the mediation process as mediators and representatives of the parties, exert influence on mediation participants and interfere in the mediation process.

Organizational measures for the preparation of mediation shall be carried out by UANIPIO in compliance with the principles of independence and impartiality, equal and fair treatment of all parties to the mediation, categorically excluding:

any economic relationship with the parties (ownership, sponsorship, annual fees, funding, etc.) that may affect impartiality;
any interests regarding the outcome of the mediation process;
any facts that may indicate a conflict of interest.

Article 4. Confidentiality

Persons involved in mediation shall respect confidentiality and shall not disclose information that became known during the preparation and conduct of mediation, unless otherwise provided by the legislation of Ukraine or by agreement of all parties to the mediation.

Section ІІІ. Standards of professional ethics of IP mediator

Article 1. Competence

The mediator shall be competent and well versed in the mediation procedure, as well as in the legislation of Ukraine on mediation and the peculiarities of mediation of disputes in the IP field.

The mediator shall regularly improve his/her professional level, procedural and legal competence, attend training programs, other events related to IP and/or business mediation.

Before appointing a meeting for the parties, the mediator is obliged to make sure of his/her own qualifications for IP mediation. At the request of the parties, the mediator is obliged to provide information regarding his/her professional training and mediation experience.

Article 2. Independence, impartiality and neutrality

A mediator is a neutral and impartial person who shall show equal attention and benevolence to all parties to the mediation.

When conducting mediation, the mediator shall be independent of the parties to the mediation, state bodies, other legal entities and/or individuals. The interference of state authorities, local self-government bodies, enterprises, institutions, organizations regardless of the forms of ownership and subordination, public associations, officials and officials, including UANIPIO, any individuals and legal entities in the preparation and conduct of mediation is prohibited.

Prior to the conduct of the mediation, the mediator is obliged to inform the parties about any circumstances that may affect or be considered as affecting his or her independence or causing a conflict of interest. If the mediation has been started, the mediator must suspend the mediation if the above circumstances are revealed.

These circumstances include:

mediator's personal or business relationship with one or more of the parties;
mediator's direct or indirect interest in the outcome of mediation;
cooperation of mediator or his/her assistant, another person assisting him/her in organizing and/or conducting mediation, with one or more of the parties to the mediation in any other role than mediator;
other circumstances that cast doubt on mediator's impartiality or objectivity.

The mediator, upon notification of such circumstances to the parties to the mediation or revelation of such circumstances by the parties, shall decline to continue the mediation unless he or she is satisfied of his or her ability to remain independent and neutral to ensure impartiality and subject to the written consent of the parties.

Article 3. Confidentiality

A mediator is obliged to maintain confidentiality regarding all information that became known to him/her during the preparation and conduct of the mediation, unless otherwise established by the legislation of Ukraine or by agreement of all parties to the mediation.

If a mediator has received confidential information from one of the parties, he or she may disclose such information to the other party (parties) only with the consent of the party that provided such information.

A mediator may not be interrogated as a witness in the case (proceedings) regarding information that he or she has become known during the preparation and conduct of mediation.

Article 4. Voluntariness and self-determination

A mediator voluntarily participates in mediation and has the right to refuse to participate in it at any time.

A mediator informs all mediation participants about the importance of observing the principle of voluntariness regarding participation in mediation and the inadmissibility of coercion to settle the dispute through mediation.

A mediator independently determines the methodology of mediation, subject to compliance with the requirements of the legislation of Ukraine, the rules of mediation and the mediator's professional ethics.

Section IV. Ethical standards of IP mediation

Article 1. Initiation and conduct of mediation

The mediator shall ensure that the parties understand the specifics of conducting IP mediation, as well as the role of mediator and the parties themselves in this procedure, provide the parties with full information about the amount of the fee and the procedure for its payment, and not start mediation until the consent of all parties is obtained.

A mediator shall conduct mediation, taking into account the various circumstances of the case, the wishes of the parties, and the need for a prompt and effective resolution of the dispute.

A mediator shall facilitate the settlement of disputed issues between the parties and communicate between them.

A mediator shall not have the right to provide the parties with advice and recommendations on making a decision on the merits of the dispute or to make such a decision independently.

Article 2. Fairness and quality of mediation

A mediator is the guarantor that the parties involved in the mediation process have equal opportunities during the mediation process.

A mediator is obliged to inform the parties and may terminate the mediation if:

an agreement is being negotiated that, in mediator's opinion, in accordance with the circumstances of the case and taking into account mediator's competence, will not be able to be fulfilled or will be illegal;
if a mediator believes that continuation of the mediation is unlikely to lead to a settlement of the dispute.

A mediator shall promote the honesty and sincerity of the parties in mediation process and shall not intentionally misrepresent any information received or circumstances obtained/established in the mediation process.

Article 3. Completion of the mediation

A mediator shall take all necessary measures to ensure that the parties to the mediation conclude an agreement based on the results of mediation on the basis of reliable and sufficient information and understanding of the terms of such agreement.

The parties may withdraw from the mediation at any time without giving any reason.

Upon termination of mediation, a mediator shall submits to the Centre a report in the prescribed form, the information from which may be used as statistical data published by UANIPIO, provided that such information does not disclose the identity of the parties and/or specific circumstances of the dispute.

Section V. Responsibility

UANIPIO and a mediator shall not be liable for the obligations of the parties to resolve the IP dispute, as well as for the consequences of their non-fulfilment or improper fulfilment.

A mediator has civil, administrative and criminal liability in accordance with the Law of Ukraine "On Mediation".

In case of violation of ethics, a mediator may be excluded from the Register in accordance with the procedure provided for by the Regulations on the Register of Mediators Involved in Intellectual Property Dispute Resolution.