Arbitrators’ and

Mediators’ Code of
Conduct and Disclosure
Rules

Effective from 15 September 2021

Page 8 of 13
Arbitrators’ and Mediators’ Code of Conduct and Disclosure Rules

Effective from 15 September 2021

DISCLAIMER

‘Presolv360’ is not a law firm and does not provide legal advice. Services provided or use
of any material provided by the Company are not a substitute for legal advice. Only a
legal practitioner can provide legal advice. A legal practitioner should be consulted for
any legal advice or matter. No attorney-client relationship is created by receiving
services or use of materials provided by Presolv360.

This document is the exclusive property of the Company. By reading and / or using the
document, you will be deemed to have agreed to the obligations and restrictions set out
herein. Without the express prior written consent of the Company, the document, or any
information contained therein, shall not be, in whole or in part, (i) reproduced, (ii) copied
at any time, (iii) provided to any other person, (iv) used for any purpose, other than the
use for which it is intended.

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Arbitrators’ and Mediators’ Code of Conduct and Disclosure Rules

Effective from 15 September 2021

TABLE OF CONTENTS

Rule Particulars Page No.

About the Arbitrators’ and Mediators’ Code of

Conduct and Disclosure Rules

Section 1 – Preliminaries

1 Definitions, Important Terms and Interpretation 1

2 Scope of Application 1

3 Communication, Electronic Service and Calculation 1

of Time Limits

4 Arbitrators’ and Mediators’ Obligations in respect of 2

Emails, Messaging Applications and Platform Use

Section 2 – Code of Conduct and Disclosure Rules for Arbitrators

1 Code of Conduct 4

2 Disclosure Rules 5

3 Amendments and Updates 6

Section 3– Code of Conduct and Disclosure Rules for Mediators

1 Code of Conduct 7

2 Disclosure Rules 9

3 Amendments and Updates 9

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Arbitrators’ and Mediators’ Code of Conduct and Disclosure Rules

Effective from 15 September 2021

ABOUT THE ARBITRATORS’ AND MEDIATORS’ CODE OF CONDUCT AND DISCLOSURE

RULES

The Arbitrators’ and Mediators’ Code of Conduct and Disclosure Rules (“Code”) set out
the general framework for ethics with which the arbitrators and mediators empaneled
with Presolv360 shall conduct the arbitration and mediation proceedings, respectively.
The Code also governs the disclosure requirements, when appointed by Presolv360, to
act as an arbitrator or a mediator.

If you have any questions or require any clarifications, please feel free to reach out to
us at info@presolv360.com.

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Arbitrators’ and Mediators’ Code of Conduct and Disclosure Rules

Effective from 15 September 2021

Section 1 – Preliminaries

1. Definitions, Important Terms and Interpretation

1.1. The words and expressions used and not defined in the Code, shall have the same
meanings respectively as assigned to them in the Rules.

2. Scope of Application

2.1. Section 1 and Section 2 of the Code shall apply to all persons appointed by
Presolv360 to act as an arbitrator under the Rules. Section 1 and Section 3 shall
apply to all persons appointed by Presolv360 to act as a mediator under the Rules.

2.2. If anything contained in the Code is silent on any particular aspect or in conflict
with any applicable law for the time being in force, the mandatory provisions of
such law shall apply or prevail, as the case may be.

2.3. The Code must be read in conjunction with the Rules, Terms & Conditions, Privacy
Policy, instructions, other policies and notifications which may be applicable to
any specific section or module of the Presolv360 Platform.

3. Communication, Electronic Service and Calculation of Time Limits

3.1. For the purpose of the Code and the Rules, Correspondence may be uploaded on
the Presolv360 Platform or transmitted through electronic means, consent for
which shall be deemed to have been provided, to the email address, and / or via
messaging applications such as text messaging, WhatsApp etc. as per the contact
details, provided to Presolv360 at the time of registration on the Presolv360
Platform.

3.2. Correspondence uploaded on the Presolv360 Platform or transmitted

electronically shall be deemed to have been received on the day when it is
uploaded on the Presolv360 Platform or so transmitted, whichever is earlier,
provided that the date of uploading or transmission is verifiable, and the time of
receipt shall be determined with reference to the recipient’s time zone. It shall be
the responsibility of the person uploading on the Presolv360 Platform or
transmitting electronically to retain records of the fact of uploading or
transmission, as the case may be, which shall be available for inspection by the
affected party and Presolv360.

[Explanation: The term ‘verifiable’ for delivery through electronic means shall
mean, for the purpose of email, where no ‘return to sender’ message, ‘bounce
back’ message or ‘error’ message has been received from the mail server, of text
message, where no delivery failure notification has been received, of messaging
application, where it is considered delivery by such messaging application. In the
event of successful delivery of any Correspondence, a party obstructs subsequent
Correspondence by Presolv360 by blocking, Blacklisting, deleting or by any other
means so as to resist delivery, such subsequent Correspondence shall be deemed
to have been delivered to the said party.]

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Arbitrators’ and Mediators’ Code of Conduct and Disclosure Rules

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3.3. In the event the person uploading on the Presolv360 Platform or transmitting
electronically receives information of its failure or non-delivery, the person shall
forthwith inform Presolv360 of the fact of such failure or non-delivery, by way of
an email addressed to Presolv360 at admin@presolv360.com, upon which,
Presolv360 will examine the issue and determine the course of action. The
affected party may be required to upload or transmit once again, and any time
spent in genuinely pursuing and rectifying the issue shall stand excluded from
the time limit prescribed in this regard.

3.4. For the purpose of calculating the time limits under the Code and the Rules, the
period shall begin to run on the day following the day of receipt. If the last day
of such period is not a Working Day, the period is extended until the first Working
Day which follows. Non-Working Days occurring during the running of the period
of time are included in calculating the time limits.

3.5. Presolv360, through its administrative team or automated phone system

technology integrated with the Presolv360 Platform, will contact the arbitrators
and mediators (together referred to as “Neutrals”), consent for which shall be
deemed to have been provided, for the purpose of intimation of the proceedings,
process and any technical or administrative assistance required by such Neutrals.
Presolv360 shall not be responsible if such a Neutral disconnects, ignores or
rejects such attempt of communication.

4. Arbitrators’ and Mediators’ Obligations in respect of Emails, Messaging

Applications and Platform Use

4.1. For the purpose of the Code and the Rules, the Neutral is responsible for regularly
accessing the inbox, archive folder, junk folder, spam folder, promotions tab or
any other folder or tab where emails could be received in respect of the email
address provided to Presolv360 at the time of registration on the Presolv360
Platform.

4.2. The Neutral is responsible for Whitelisting email addresses pertaining to

Presolv360 or any person associated with Presolv360.

4.3. The Neutral is responsible to forthwith, upon accessing his email and / or
messaging application and upon receipt of any email and / or messages pertaining
to any aspect covered under the Code or the Rules, read the said email and / or
message and take necessary action within the time limits prescribed.

4.4. No Neutral shall, under any circumstances, disregard, neglect, ignore, omit, block,
delete or Blacklist or cause any of the aforesaid in respect of any email and / or
message pertaining to any aspect covered under the Code or the Rules.

4.5. The Neutral is responsible for regularly accessing his account on the Presolv360
Platform, completing his profile, regularly accessing the account and taking
necessary actions pursuant to the Code and the Rules. The Neutral shall ensure
that there is no unauthorized third-party access to his account on the Presolv360

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Arbitrators’ and Mediators’ Code of Conduct and Disclosure Rules

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Platform, his registered email and contact details, and all devices on which any
of the aforesaid can be accessed.

4.6. The Neutral is responsible for providing true, accurate, current and complete
information when using the Presolv360 Platform, and shall be responsible for
maintaining and updating all information so provided, to ensure that it remains
accurate, true, current and complete.

4.7. Any document uploaded on the Presolv360 Platform or transmitted or provided

shall be clear and legible.

4.8. In the spirit of providing dispute resolution services online, the Neutrals may
acquire a digital / electronic signature for the purpose of signing orders, awards,
settlement agreements, etc.

4.9. The Neutrals shall keep themselves updated with the Rules, Code, Terms &
Conditions, Privacy Policy, instructions, other policies and notifications which
may be applicable to any specific section or module of the Presolv360 Platform
and any applicable law for the time being in force. The Neutrals shall complete
all requisite trainings and certifications as may be prescribed by Presolv360.

4.10. The Neutrals, while using the Presolv360 Platform, are responsible to ensure that
they do not:

4.10.1. Defame, abuse, harass, stalk, threaten or otherwise violate the legal
rights of others;

4.10.2. Publish, post, upload, distribute or disseminate any inappropriate,

profane, defamatory, infringing, obscene, indecent or unlawful topic,
name, material or information;

4.10.3. Upload files that contain software or other material protected by

intellectual property laws unless the Neutral owns or controls the rights
thereto or has received all necessary consents;

4.10.4. Upload or distribute files that contain viruses, corrupted files, or any
other similar software or programs that may compromise the integrity
of the Presolv360 Platform;

4.10.5. Download or use any data, information or file for which the Neutral is
not the intended recipient or is not authorised to receive it for the
intended recipient; or

4.10.6. Copy, record, reproduce or disclose to any other person in any manner,
or use for any purpose, other than for the purpose of the Code and the
Rules, any data, information or document relating to the proceedings
under the Rules.

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Arbitrators’ and Mediators’ Code of Conduct and Disclosure Rules

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Section 2 – Code of Conduct and Disclosure Rules for Arbitrators

1. Code of Conduct

1.1. In addition to Section 1 of the Code, the arbitrator appointed under the Rules:

1.1.1. Shall accept appointment to act as an arbitrator only if he is fully

satisfied that he is qualified, possesses the required competence,
knowledge and expertise and has sufficient time to be able to conduct
the arbitration proceedings within the time limits prescribed in the
Rules;

1.1.2. Should periodically engage in various forms of continued education to

refine and improve his knowledge and skills;

1.1.3. Shall be guided by principles of objectivity, fairness and equity, giving

consideration to, among other things, the rights and obligations of the
parties to the dispute and the circumstances surrounding the dispute;

1.1.4. Shall be independent and neutral. The arbitrator must remain neutral
throughout the proceedings i.e. from beginning to end. His words,
manner, attitude, body language and process management must reflect
an impartial and even-handed approach;

1.1.5. Shall conduct the proceedings in a fair and impartial manner. Impartiality
means freedom from favoritism, bias or prejudice both in conduct and
appearance. The arbitrator should endeavor to provide a procedurally fair
process in which each party is given an adequate opportunity to
participate;

1.1.6. Shall not give or accept a gift, favour, loan or other item of value (whether
monetary or otherwise) that raises a question as to the actual or perceived
impartiality;

1.1.7. Shall avoid a conflict of interest or the appearance of a conflict of interest;

1.1.8. Shall not accept appointment to act as an arbitrator if his relationship

with any party or counsel, or the subject matter of the dispute, falls
under any of the categories specified in the Seventh Schedule to the
Arbitration and Conciliation Act, 1996;

1.1.9. Shall not delegate his duty or functions under the Rules or the Code to
any other person;

1.1.10. Shall not communicate, directly or indirectly, with any party during the
pendency of the arbitration proceedings. Throughout the arbitration
proceedings, all communications by the arbitrator shall be through the
Presolv360 Platform or, where expressly stated by the Rules, by way of

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Arbitrators’ and Mediators’ Code of Conduct and Disclosure Rules

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an email addressed to Presolv360 at admin@presolv360.com, who shall

in turn communicate with the parties;

1.1.11. Shall maintain confidentiality of all matters relating to the arbitration

proceedings except the award where its disclosure is necessary for the
purpose of its implementation and enforcement;

1.1.12. Shall not personally profit from or otherwise exploit information acquired
through the arbitration proceedings for personal gain;

1.1.13. Shall not establish any financial, business, professional or personal

relationship or acquire any financial or personal interest with any party
directly or indirectly, during the proceedings and after expiry of a
reasonable period after the conclusion of the arbitration proceedings;

1.1.14. Shall not make any unilateral arrangements with any of the parties with
respect to compensation or remuneration or any other monetary or non-
monetary consideration;

1.1.15. Shall accept and abide by the fee structure framed by Presolv360;

1.1.16. Shall not approach or offer any services provided by Presolv360, directly
or indirectly, to the users of Presolv360, to the extent of knowledge and
access available to the arbitrator in respect of the user roster;

1.1.17. Shall follow and abide by the Rules, Code, Terms & Conditions, Privacy
Policy, instructions, other policies and notifications which may be
applicable to any specific section or module of the Presolv360 Platform,
and any applicable laws, for the time being in force; and

1.1.18. Shall indemnify, defend and hold harmless Presolv360 against any and
all losses, damages, suits, judgments, costs and expenses arising out of
or in connection with any claim, suit, action, or other proceeding brought
against Presolv360, to the extent that such claim, suit, action or other
proceeding is based on or arises from:

a. Any breach or violation of the Rules, Code, Terms & Conditions,

Privacy Policy, other policies and notifications which may be
applicable to any specific section or module of the Presolv360
Platform, or any applicable law, for the time being in force; or

b. Any act or omission in bad faith, gross negligence, fraudulent or

dishonest conduct of the arbitrator.

2. Disclosure Rules

2.1. The arbitrator appointed under the Rules:

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Arbitrators’ and Mediators’ Code of Conduct and Disclosure Rules

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2.1.1. Shall provide Presolv360 his acceptance and consent to act or refusal to
act as an arbitrator in the form prescribed by Presolv360, within five (5)
Working Days from the receipt of notice of his appointment, failing
which it shall be deemed to be a refusal to act as an arbitrator;

2.1.2. Alongwith the acceptance and consent, the arbitrator shall disclose the
existence, either direct or indirect, of any past or present relationship
with, or interest in, any of the parties or in relation to the subject-matter
in dispute, whether financial, business, professional or other kind, which
is likely to give rise to justifiable doubts as to his independence or
impartiality, and which is likely to affect his ability to devote sufficient
time to the arbitration and in particular his ability to complete the entire
arbitration within the time limits prescribed under the Rules.

For this purpose, the grounds stated in the Fifth Schedule to the
Arbitration and Conciliation Act, 1996 shall guide in determining
whether circumstances exist which give rise to justifiable doubts as to
the independence or impartiality of an arbitrator;

2.1.3. Shall immediately disclose any circumstances which may arise at any
time during the arbitration proceedings which may give rise to justifiable
doubts as to the arbitrator’s independence or impartiality.

3. Amendments and Updates

3.1. The Code may be amended, varied, modified or updated by Presolv360 at any time.

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Arbitrators’ and Mediators’ Code of Conduct and Disclosure Rules

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Section 3 – Code of Conduct and Disclosure Rules for Mediators

1. Code of Conduct

1.1. In addition to Section 1 of the Code, the mediator appointed under the Rules:

1.1.1. Shall accept appointment to act as a mediator only if he is fully satisfied

that he is qualified, possesses the required competence, knowledge and
expertise and has sufficient time to be able to conduct the mediation
proceedings within the time limits prescribed in the Rules;

1.1.2. Should periodically engage in various forms of continued education to

refine and improve his knowledge and skills;

1.1.3. Shall conduct the proceedings in the most effective and efficient manner
that supports the principles of voluntary participation and self-
determination;

1.1.4. Shall be guided by principles of objectivity, fairness and equity, giving

consideration to, among other things, the rights and obligations of the
parties to the dispute and the circumstances surrounding the dispute;

1.1.5. Shall be independent and neutral. The mediator must remain neutral
throughout the proceedings i.e. from beginning to end. His words,
manner, attitude, body language and process management must reflect
an impartial and even-handed approach;

1.1.6. Shall conduct the proceedings in a fair and impartial manner. Impartiality
means freedom from favoritism, bias or prejudice both in conduct and
appearance. The mediator should endeavor to provide a procedurally fair
process in which each party is given an adequate opportunity to
participate;

1.1.7. Shall not give or accept a gift, favour, loan or other item of value (whether
monetary or otherwise) that raises a question as to the actual or perceived
impartiality;

1.1.8. Shall avoid a conflict of interest or the appearance of a conflict of interest;

1.1.9. Shall not delegate his duty or functions under the Rules or the Code to
any other person;

1.1.10. Shall maintain confidentiality of all matters relating to the mediation

proceedings, including all documents, records and communications,
during as well as after its completion, unless required by any applicable
law, for the time being in force;

1.1.11. Shall not give evidence or testify or reveal any information,

documentation or communication relating to the proceedings, in any

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Arbitrators’ and Mediators’ Code of Conduct and Disclosure Rules

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arbitral or judicial proceeding. The aforementioned information or

documentation includes, but is not limited to:

a. Any views expressed and / or suggestions made and / or proposals

for settlement made by any of the party during the proceedings;

b. Any admissions made by any party regarding the dispute between

the parties;

c. Proposals, suggestions or views expressed by the parties or the

mediator; and

d. The fact that any party had indicated their willingness to accept a
proposal for settlement.

1.1.12. Shall not personally profit from or otherwise exploit information acquired
through the mediation proceedings for personal gain;

1.1.13. Shall not establish any financial, business, professional or personal

relationship or acquire any financial or personal interest with any party
directly or indirectly, during the proceedings and after expiry of a
reasonable period after the conclusion of the mediation proceedings;

1.1.14. Shall not make any unilateral arrangements with any of the parties with
respect to compensation or remuneration or any other monetary or non-
monetary consideration;

1.1.15. Should not include any promises or make any guarantees as to outcome
or result of the dispute between the parties;

1.1.16. Shall accept and abide by the fee structure framed by Presolv360;

1.1.17. Shall not act as an arbitrator or as a representative or counsel of a party

in any arbitral or judicial proceeding in respect of a dispute that is the
subject of the mediation proceedings;

1.1.18. Shall not approach or offer any services provided by Presolv360, directly
or indirectly, to the users of Presolv360, to the extent of knowledge and
access available to the mediator in respect of the user roster;

1.1.19. Shall follow and abide by the Rules, Code, Terms & Conditions, Privacy
Policy, instructions, other policies and notifications which may be
applicable to any specific section or module of the Presolv360 Platform,
and any applicable laws, for the time being in force; and

1.1.20. Shall indemnify, defend and hold harmless Presolv360 against any and
all losses, damages, suits, judgments, costs and expenses arising out of
or in connection with any claim, suit, action, or other proceeding brought

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Arbitrators’ and Mediators’ Code of Conduct and Disclosure Rules

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against Presolv360, to the extent that such claim, suit, action or other
proceeding is based on or arises from:

a. Any breach or violation of the Rules, Code, Terms & Conditions,

Privacy Policy, other policies and notifications which may be
applicable to any specific section or module of the Presolv360
Platform, or any applicable law, for the time being in force; or

b. Any act or omission in bad faith, gross negligence, fraudulent or

dishonest conduct of the mediator.

2. Disclosure Rules

2.1. The mediator appointed under the Rules:

2.1.1. Shall provide Presolv360 his acceptance and consent to act or refusal to
act as a mediator in the form prescribed by Presolv360, within five (5)
Working Days from the receipt of notice of his appointment, failing
which it shall be deemed to be a refusal to act as a mediator;

2.1.2. Alongwith the acceptance and consent, the mediator shall also disclose
the existence of any actual or potential conflict which is likely to impair
his independence or impartiality;

2.1.3. Shall immediately disclose any circumstances which may arise at any
time during the mediation proceedings which are likely to impair his
independence or impartiality.

3. Amendments and Updates

3.1. The Code may be amended, varied, modified or updated by Presolv360 at any time.

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