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Appendices

APPENDIX 1–APPROVED PERSONS

1. Within 5
days after appointment of the Chair of a panel, each Party shall
submit to the panel and the other Party a list of its authorized
representatives who need access to confidential information
submitted by the other Party and whom it wishes to have designated
as approved persons. Each Party shall keep the number of
persons on its list as limited as possible. Each Office shall
submit to the panel and the Parties a list of the authorized
employees of the office who need access to confidential information
in the dispute and whom it wishes to have designated as approved
persons. The Parties and the offices may submit amendments to
their list at any time. The amended lists shall be submitted
to the Panel through the responsible office.

2.
A Party may object to a person being designated as an approved
person within 7 days after receipt of the list or amendments to the
list. Within 7 days after receipt of an objection, the panel
shall decide on the objection, having regard to any potential harm
arising from the designation to the interests of the owner or
source of confidential information.

3. If the panel
allows the designation of a person after an objection, confidential
information may not be disclosed to the approved person until the
Party submitting the information has had a reasonable opportunity
to:

(a)
withdraw the information, in which case the panel and the
responsible office shall return any record containing the
information to the Party submitting it and the other Party shall, in
accordance with the domestic law of such Party either

(i) destroy any
record containing the information, or

(ii)
return any such record to the Party submitting the information;
or

(b)
withdraw the designation of the information as confidential.

4.
Subject to any decision on objection to proposed persons, the panel
shall designate the persons on the lists submitted under paragraph
1 as approved persons for the dispute. All approved persons
must sign and submit to the panel the Declaration of
Non‑Disclosure included in Appendix 2.

APPENDIX 2–CONFIDENTIAL INFORMATION

1.
A Party shall identify confidential information by:

(a)
clearly marking information recorded in printed and electronic
records with the notation 'CONFIDENTIAL INFORMATION' in
the header and footer on each page of the record, and on each page
where confidential information appears by enclosing the information
in double square brackets;

(b)
clearly using the notation 'CONFIDENTIAL INFORMATION'
in the file name and in any electronic transmission of the
information and by enclosing the confidential information in the
electronic transmission in double square brackets; and

(c) declaring spoken
information to be "Confidential Information" prior to
its disclosure.

2. Where a Party
submits confidential information first submitted by the other
Party, it shall identify that information as confidential
information by:

(a) clearly marking
the information recorded in printed and electronic records with the
notation 'CONFIDENTIAL INFORMATION' in the header and
footer on each page of the record, and on each page where
confidential information appears by enclosing the information in
double square brackets; and with the name of the disputing Party or
Third Party that first submitted the information;

(b)
clearly using the notation 'CONFIDENTIAL INFORMATION'
in the file name and in any electronic transmission of the
information and by enclosing the information in double square
brackets; and with the name of the disputing Party or Third Party
that first submitted the information; and

(c) prior to its
disclosure, declaring spoken information to be "Confidential
Information" and identifying the disputing Party or the Third
Party that first submitted the information.

3. An approved
person shall take all necessary precautions to safeguard
confidential information when a record containing the information
is in use or being stored.

4. Only approved
persons may view or hear confidential information. No
approved person who views or hears confidential information may
disclose it, or allow it to be disclosed, to any person other than
another approved person.

5. Approved
persons who view or hear confidential information shall use that
information only for the purposes of the panel proceedings.

6. The panel
shall not disclose confidential information in its report, but may
state conclusions drawn from that information.

7.
After the conclusion of the panel proceeding, each Party shall, in
accordance with the domestic law of such Party, either

(a)
destroy any record containing the information, or

(b)
return any such record to the Party submitting the information,
unless the Party that first submitted the confidential information
otherwise agrees.

8. Subject to
agreement by the Parties, the panel may establish additional
procedures that it considers necessary to protect confidential
information.

9. The panel
may, at the request of or with the consent of the Parties, modify
or waive any part of the procedures set out in this Appendix for
treatment of confidential information. In that case, each
approved person will sign a modified Declaration of Non-Disclosure
Form, as appropriate.

Declaration of Non‑Disclosure Form

1. I acknowledge
having received a copy of the Rules of Procedure governing the
treatment of confidential information (the
"Procedures").

2. I acknowledge
having read and understood the Procedures.

3. I agree to be
bound by, and to adhere to, the Procedures and, accordingly,
without limitation, to treat confidentially all confidential
information that I may view or hear from time to time in accordance
with the Procedures and to use that information solely for purposes
of the panel proceedings.

Executed on this __________ day of ____________, 20__.

BY:
_____ (Signature)_____________________

Name:

Last Updated: 31 December 2012
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