Code of Conduct, Conflict of Interest & Disclosure Policy

1. PURPOSE & OBJECTIVE

This Policy sets out the ethical standards, conduct requirements, conflict of interest norms, and disclosure obligations applicable to all persons associated with PRE-LIT Online Dispute Resolution (ODR) ("PRE-LIT").

The objective of this Policy is to:

• Ensure independence, impartiality, integrity, and fairness in dispute resolution
• Comply with the Arbitration and Conciliation Act, 1996 (as amended)
• Maintain institutional credibility, transparency, and trust
• Prevent actual, potential, or perceived conflicts of interest

2. APPLICABILITY

This Policy applies to:

• Arbitrators, Mediators, Conciliators, and Neutrals empanelled with PRE-LIT
• Presiding, Co-Arbitrators, Sole Arbitrators, and Emergency Arbitrators
• Case Managers, Officers, Employees, Consultants, and Interns of PRE-LIT
• Experts, Advisors, and Vendors engaged in proceedings administered by PRE-LIT

Acceptance of any appointment or engagement with PRE-LIT constitutes deemed acceptance of this Policy.

All third-party vendors shall be contractually bound to confidentiality, data protection, and neutrality obligations consistent with PRE-LIT policies.

3. CORE PRINCIPLES

All covered persons shall adhere to the following principles:

• Independence & Impartiality
• Natural Justice & Equal Treatment
• Integrity & Professionalism
• Confidentiality & Data Protection
• Transparency & Accountability
• Efficiency & Timeliness

4. CODE OF CONDUCT – ARBITRATORS & NEUTRALS

4.1 Independence and Impartiality

PRE-LIT shall operate as an administering institution. It strictly prohibits any client, user, or repeat appointing party from exerting influence over the appointment, procedural conduct, or substantive decision-making of any Neutral. Every Arbitrator and Neutral shall maintain absolute independence and impartiality throughout the proceedings, exercising judgment free from bias or external influence while ensuring equal treatment of all parties.

All arbitral awards and settlement decisions are rendered independently by the appointed Neutrals. The PRE-LIT Secretariat’s role is limited to administrative coordination and the formal scrutiny of awards; it shall not interfere with the merits of any dispute. While the PRE-LIT ODR Platform facilitates a transparent process, the institution does not guarantee specific legal outcomes or the success of any party’s claims.

4.2 Disclosure Obligations

Arbitrators shall make full, continuous, and timely disclosures of any circumstances that may give rise to justifiable doubts as to their independence or impartiality, in accordance with:

• Section 12 of the Arbitration and Conciliation Act, 1996
• Fifth and Seventh Schedules to the Act
• PRE-LIT Disclosure Requirements

Arbitrators must specifically confirm that they are not ineligible under the Seventh Schedule of the Act to act as an arbitrator, unless such ineligibility is waived by the parties in writing after the dispute has arisen.

4.3 Fair Conduct of Proceedings

Provide equal opportunity to all parties to present their case, avoid unnecessary adjournments and to Conduct proceedings efficiently and proportionately.

4.4 Prohibition on Improper Conduct

Arbitrators shall not Seek or accept any gift, benefit, inducement, or hospitality from parties and do not delegate decision-making responsibilities.

4.5 Competence & Diligence

Arbitrators shall accept appointments only when they possess the required expertise, availability, and ability to complete proceedings within prescribed timelines.

5. CODE OF CONDUCT – PRE-LIT STAFF & CASE MANAGERS

Neutrality, Non-Interference, Confidentiality & Professional Behaviour

• Staff shall act in a neutral, non-adjudicatory, and professional manner at all times.
• Staff shall not influence arbitral decision-making or provide legal advice to parties.
• Staff shall maintain strict confidentiality of all case-related information.
• Staff shall avoid conflicts of interest, misuse of information, or any conduct that may compromise PRE-LIT’s independence.

6. CONFLICT OF INTEREST POLICY

6.1 Definition

A conflict of interest includes any financial, personal, or business relationship that could impair or reasonably appear to impair independence or objectivity.

6.2 Mandatory Disclosure

All conflicts including direct and existing conflict, possible conflict arising in future or Circumstances creating an appearance of bias must be disclosed promptly in writing to PRE-LIT.

6.3 Prohibited Conflicts

Arbitrators’ ineligible under the Seventh Schedule of the Arbitration Act shall not be appointed.

7. DISCLOSURE POLICY

At the time of appointment, prior to accepting appointment or on a continuous basis if circumstances change disclosures shall be made in writing using PRE-LIT’s Section 12 Disclosure Form.

8. CONFIDENTIALITY & DATA PROTECTION

• All proceedings, documents, communications, deliberations, and awards are confidential
• Information shall not be disclosed except as required by law or with party consent
• Digital data shall be handled in accordance with PRE-LIT’s Information Security and Privacy Policies

PRE-LIT shall ensure that all data processed on the ODR Platform complies with the Digital Personal Data Protection Act. Parties have the right to request the deletion of their personal data upon the final conclusion of the proceedings, subject to statutory record-keeping requirements.

9. BREACH & DISCIPLINARY ACTION

9.1 Reporting of Breach

Any breach of this Policy may be reported to PRE-LIT in writing.

9.2 Disciplinary Measures

PRE-LIT may impose:

• Warning or censure
• Suspension or removal from panel
• Termination of engagement

Such action shall be without prejudice to remedies under law.

10. Review & Amendments

This Policy shall be reviewed annually or upon changes in law, technology, or ODR operational requirements.

RULE 11: GRIEVANCE REDRESSAL MECHANISM

• 11.1 Objective: To resolve complaints regarding professional misconduct, ethical breaches, or administrative failures by PRE-LIT Neutrals or the Secretariat.
• 11.2 Submission: Complaints must be emailed to info@prelit.in within 30 days of the incident, including the Complainant’s details, Case ID, and evidence of the breach.
• 11.3 Timelines: Receipt is acknowledged within 48 hours. A final decision is rendered by the Grievance Committee within 30 days (extendable by 15 days for complex matters).
• 11.4 Outcomes: Proven misconduct may result in a formal warning, temporary suspension, or permanent removal from the PRE-LIT panel. Vexatious claims will be dismissed.
• 11.5 Appeals: Parties may file a Request for Reconsideration with the PRE-LIT Board of Directors within 15 days of the decision.

This Code of Conduct, Conflict of Interest & Disclosure Policy has been approved and adopted by PRE-LIT Online Dispute Resolution and shall come into force with immediate effect.