UL Code of Ethics for Appeal Panel Members

1.0 Purpose

As a good corporate citizen, Underwriters Laboratories Inc. (UL) has always endeavored to conduct its business in a manner conforming to the highest standards. UL’s reputation for unquestionable integrity is one of its most valuable assets in its relationships with clients, customers, vendors, employees, the communities in which its facilities are located, and national and international members of the safety systems in which UL participates.

2.0 Scope

The statements of business principles contained herein have been prepared to guide the conduct of Appeal Panel activities to comply with the highest ethical and legal standards. It is essential that all Appeals Panel Members conform to these principles in performing their duties and carrying out activities on behalf of UL. These principles are not intended to supply specific guidance for every business activity, but rather to provide guidelines for the continuing policies of the corporation on ethical business behavior, which must be observed by all Appeal Panel Members throughout the world. Where UL’s Code of Ethics for Appeal Panel Members (referred to in this document as UL’s Code of Ethics) is specific, it should be followed to the letter. If certain situations are not expressly covered, employees are expected to consider the spirit of UL’s Code of Ethics for Appeal Panel Members in determining the most appropriate course of action.

It is to be understood that violations of UL’s Code of Ethics are very serious and may result in an immediate termination of Appeal Panel.

3.0 Responsibility

3.1  The Appeals Panel determines all Appeals related to the UL Standards Development Process. As such, the Appeals Panel must both be and be perceived to be a fair and nonpartisan decision-making body. Accordingly, Appeal Panel Members should treat all persons or groups appearing before them in a courteous, respectful, and fair manner, and should render all decisions in a fair, unbiased, and impartial manner.

3.2  Appeals Panel Members should read and familiarize themselves with all the issues relating to any Appeal.

3.3  Appeals Panel Members should disclose to all members of the Panel all known or potential conflicts of interest or other circumstances that could influence their impartiality on a particular matter under consideration. The Appeals Panel Member should then abstain from participating in any hearing or discussion, should not be present during any executive session, and should not vote on the matter. A conflict of interest is defined as any situation in which the Appeal Panel’s decision could substantially and directly affect the Appeal Panel member’s financial or business interest.

3.4  Appeals Panel Members who are also members of Standards Technical Panels (STP) may participate in the discussions and vote at STP and Panel meetings. However, if an Appeals Panel Member has previously expressed a position on a matter which is the subject of an Appeal in such a manner that his or her views are, or would appear to be, fixed and not amenable for open consideration of the issue, then the member should, at the outset of any hearing or discussion, state his or her intention to step down from the Panel for the purposes of that hearing or discussion. During the hearing or discussion, he or she may address the Panel to state his or her views or to provide information to the Panel but should not be present during any executive session, and should not vote on the matter.

3.5  If an Appeals Panel Member cannot give all sides to an Appeal before the Panel fair and open-minded consideration, either because his or her views on the matter are fixed or for any other reason, he or she should abstain from participating in any hearing or discussion, should not be present during any executive session, and should not vote on the matter.

3.6  An Appeals Panel Member may address the Panel as a spokesperson for either the appellant or defendant position. In that case, the Appeals Panel Member should, at the outset of any hearing or discussion, state his or her intention to step down from the Panel for the purposes of that hearing or discussion. He or she should not be present during any executive session, and should not vote on the matter.

3.7 In no case should an Appeals Panel Member leave his or her role as an Appeals Panel Member to represent either his or her own business or financial interests or the interest of a client before the Appeal Panel.

3.8  Appeals Panel Members who abstain from participating in any hearing or discussion, deliberations, or voting on any matter should so state either at the outset of the hearing or discussion or as soon as the need for abstention becomes clear, and they should record that abstention in the Appeals Panel meeting minutes.

4.0 UL, Appeal Panel Members and the Law

It is UL’s policy to comply fully with all laws and regulations that govern its operations in the various communities, states, and countries in which it operates, and to conduct its affairs in keeping with the highest moral, legal, and ethical standards.

Honesty is not subject to compromise at any time in any culture and, even where the law may be permissive, UL will follow the course of highest integrity. The reputation of UL for scrupulous dealings is a priceless asset, just as it is for individuals. It is the intent of these principles to maintain and continuously develop this asset.

5.0 Use of Corporate Name or Influence

Appeal Panel Members may not use the name or influence of UL for personal purposes.

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