LKDR PRIVACY POLICY OF MEMBERS (September 2024)

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This Privacy Policy sets out the basis upon which the members of LKDR (“Members”) process personal data relating directly to a case or a potential case where a relevant data protection law applies to their activities. LKDR’s General Privacy Policy can be found clicking here.

LKDR’s Members provide services as independent neutrals, inter alia, as arbitrators, mediators, experts and advisers through LKDR. They share administrative costs, but do not share revenues and act independently in relation to the services each provides. Each Member is separately responsible for his or her own compliance with the law, including data protection law.

LKDR’s Members are primarily based in the United States of America and Canada. You should therefore be aware that our Members are subject to applicable data protection laws based on their location and activities. Moreover, in certain circumstances our Members may be immune from the application of data protection laws because the arbitration takes place under the auspices of an international organization.

The arbitral process requires that when our Members serve as arbitrators or otherwise as independent adjudicators, they must process personal data relating to the parties, their representatives, other arbitrators, any tribunal secretary, the witnesses, and all other individuals that may be identified or identifiable in any data that is processed by the Member in the context of the proceeding or in relation to their appointment (referred to as “data subjects”).

Much of the personal data that our Members process in their case work is submitted by third parties, rather than the data subject themselves. When you provide any personal data relating to third parties to a Member with whom she has no direct relationship, it is your duty to provide the data subject with adequate notice in advance under the relevant law that their data is being processed for this purpose (for example, the General Data Protection Regulation (“GDPR”) in the EU). You should also be aware that others may also act as data controllers in the context of proceedings in which our Members act as arbitrators, for example, the parties, their representatives, the other arbitrators, and LKDR itself. The Member is the data controller responsible for the data processing activities whenever she controls the purpose and means of the data processing undertaken during the arbitration, but not for the activities undertaken by other data controllers (including LKDR) and those activities are not the subject of this Policy.

If you have any questions about this Policy, how our Members treat your personal data, or wish to exercise any of your data subject rights, please refer to the details found at the end of this Policy. Please also note that the Policy may be updated from time to time.

What personal data do Members collect and how do they collect it?

Our Members collect or receive certain personal data directly from you, and receive other personal data about you from third parties, including as follows:

(a) Parties or Potential Parties to Legal Proceedings (including in-house counsel and party representatives)

Your name, contact details and other personal data submitted to a Member by you, a party, legal counsel, an arbitral institution or another arbitrator in connection with any (proposed) appointment as arbitrator, and/or the administration and conduct of arbitral proceedings.

(b) Legal Counsel

Your name, contact details and any other personal data submitted to a Member by you, a party, an arbitral institution or another arbitrator in connection with any (proposed) appointment as arbitrator, and/or the administration and conduct of

arbitral proceedings

Personal data you choose to include in your witness statement or expert report, as transmitted to a Member by a party to an arbitral proceeding;
Personal data included in your witness or expert testimony during any oral hearing;
Any other personal data submitted to a Member by the parties, legal counsel, arbitrators or arbitral institutions in connection with proceedings in which you provide evidence.

(d) Staff of Arbitral Institutions

Your name, contact details and other personal data submitted to a Member by you, your institution, a party, legal counsel, or another arbitrator in connection with any (proposed) appointment as an arbitrator and/or the administration and conduct of arbitral proceedings.

(e) Service Providers (court reporters, interpreters, IT support, etc.)

Personal data submitted to a Member by you, the parties, legal counsel, arbitral institutions or other arbitrators in connection with arbitral proceedings

(f) Other Individuals, including Personal Data Contained in Submissions or Evidence

Personal data submitted to a Member by the parties or legal counsel in connection with arbitral proceedings; this personal data is typically found in the evidence submitted by the parties.

How do Member process your personal data, and on what legal basis?

Our Members use your personal data as described below. Generally, where required by law, they also process personal data as necessary to meet legal and regulatory obligations, or as ordered by a competent legal authority, or where it is in their legitimate interest to do so. In each case where the Member relies upon legitimate interest as a basis for processing, it is based on the view that that interests is not overridden by the data subject’s own interests.

Parties or Potential Parties to Legal Proceedings (including in-house counsel and party representatives)

To administer proceedings and communicate with you in your capacity as a party to arbitral proceedings or a representative of one, as necessary for furthering the parties’ legitimate interest in resolving the dispute between them and ensuring that the arbitral process operates efficiently and expeditiously;
Where our Members have entered into an agreement with you as an individual (not a company), they may process your personal data (only) as necessary to perform their obligations and duties under that agreement;
To keep a record of any parties and their dispute for purposes of meeting any accounting, tax and other legal obligations, as necessary to comply with such obligations;
To keep a record of any parties and their dispute for purposes of future conflict checks and transparency statements in other legal proceedings, as necessary to comply with any legal obligations and for the Member’s legitimate interest in meeting their professional ethical obligations, and the interests of third parties in transparent legal proceedings.

Legal Counsel

To administer proceedings and communicate with you in your capacity as legal counsel to a party, as necessary for furthering the parties’ legitimate interest in resolving the dispute between them, and ensuring that the arbitral process operates efficiently and expeditiously;
To keep a record of legal counsel for purposes of meeting any accounting, tax and other legal or regulatory obligations, as necessary to comply with such obligations;
To keep a record of legal counsel for purposes of future conflict checks and transparency statements in other legal proceedings, as necessary to comply with any legal or regulatory obligations and for the Member’s legitimate interest in meeting my professional ethical obligations, and the interests of third parties in transparent legal proceedings.

Expert and Fact Witnesses

To facilitate your provision of evidence in proceedings, as necessary for furthering the parties’ legitimate interests in resolving the dispute between them and ensuring that the arbitral process operates efficiently and expeditiously

(d) Staff of Institutions

To facilitate the general conduct of proceedings, including to communicate with you, facilitate communications between arbitral participants, and to fulfil other administrative tasks, as necessary for furthering the parties’ legitimate interests in resolving the dispute between them and ensuring that the arbitral process operates efficiently and expeditiously

(e) Service Providers (court reporters, interpreters, IT support, etc.)

As necessary for furthering the parties’ legitimate interests in resolving the dispute between them during the course of proceedings and ensuring that the arbitral process operates efficiently and expeditiously.

(f) Other Individuals

As necessary for furthering the parties’ legitimate interest in resolving the dispute between them during the course of proceedings and ensuring that the arbitral process operates efficiently and expeditiously.

How and on what legal basis do Members process special categories of personal data?

Data protection laws provide special protection to sensitive data, which may also be referred to as special category data, and to personal data relating to criminal convictions and offences. Special categories of personal data include information as to racial or ethnic origin, political opinions, religious or philosophical beliefs, trade union membership, physical or mental health, sex life or sexual orientation or genetic or biometric data.

You must inform the Member before providing them with special category data. It is a condition of the Member receiving such information that:

The Member’s processing of such data is necessary for the establishment, exercise or defense of legal claims; or
Express consent has been obtained from the data subject for the Member to process that data for the purposes for which it is presented, proof of which may be required in advance of submission. Please note that personal data relating to criminal convictions and offences cannot be processed except under very limited circumstances and must be approved in advance of submission.

How do Members share your personal information?

Pursuant to the circumstances in which they handle your personal data, our Members may share it:

With other participants in the proceedings in which you are involved including the party’s representatives, legal counsel, other arbitrators, any tribunal secretary, witnesses, and experts;
With others engaged to support the proceedings, including for example court reporters, interpreters and IT support;
With participants in relevant judicial, arbitral or other such systems, to the extent necessary in the Member’s conduct of such matters;
With LKDR and its staff (if any) or contractors;
With service providers such as third-party data hosting providers and IT support;
With third parties including professional advisors or law enforcement agencies;
If we are under a duty to disclose or share your personal data in order to comply with any legal obligation (including as relates to sanctions), or with third parties in order to enforce or apply the terms of any agreement or policy to which the Member or LKDR is a party, or to protect the rights, property, or safety of the Member, LKDR, or others. This may include exchanging information with other companies and organizations for the purposes of fraud protection and credit risk reduction or similar activities.

On what basis do our Members transfer your personal data?

Special rules govern the transfer of personal data to third countries, which in the case of the GDPR means outside the European Economic Area (EEA).

When our Members are appointed to serve in arbitration proceedings, the nature of the arbitral process often requires that our Members transfer personal data to third countries in connection with the administration of proceedings in which you are involved, whenever any other participant in the proceeding is established outside the EEA and is not otherwise subject to EU data protection law.

How long do our Members retain your personal information?

Our Members will only keep your personal data for as long as is reasonably necessary in the circumstances. Retention periods vary depending on the category of data, taking into account legal and regulatory requirements, limitation periods for taking legal action, good practice and the lawful basis on which it is processed. In determining how long the Member retains your information they may take into consideration the following criteria: the Member’s legal obligations, claim limitation periods, good industry practice, the guidance of authorities and bodies in the jurisdictions in which our Members operate, and also tax, accounting, health and safety, and employment rules, guidance and practice.

What rights any you have over your personal data?

Depending on the circumstances, you may have a number of rights regarding your personal data that our Member’s process keeping in mind that your rights are subject to a number of exceptions that may be applicable during an arbitration. Your rights may include the following:

To request access to your personal data and to obtain a copy of it;
To correct your personal data where it is incomplete or inaccurate;
To have your personal data erased where there is no basis for a Member to continue to use or retain it, but this right does not apply where the processing is necessary for the establishment, exercise or defense of legal claims;
To request that your personal data is used only for restricted purposes but this right does not apply where the processing is necessary for the establishment, exercise or defense of legal claims;
To object to your personal data being processed if the lawful basis for processing is based on legitimate interests under certain circumstances;
To withdraw your consent if consent if the lawful basis for processing is based on your consent;
To require certain of your personal data to be transferred to you or a third party, but this right only applies where the data subject has provided the data to the Member him or herself (not by a third party); and
To lodge a complaint with a data protection.

How can you reach our Members?

If you wish to exercise any of your rights, or if you have any questions about this Policy, how our Members treat your personal data, or wish to exercise any of your data subject rights, you can contact them via our general email below indicating the name of the Member:

• By email: info@LKDR.global

Please note that if your personal data has been submitted in the context of an arbitration, you may want to contact the party that submitted it first to raise any questions or concerns about the processing of your data. If you are not satisfied with their treatment of your issue, you can then raise it with the Member.

Approved: September 1, 2024

Effective: Immediately