Preamble
These Rules govern how complaints regarding breach of the Company’s Code of Conduct & Ethics are received, investigated, and adjudicated.
The purpose is to ensure fairness, transparency, accountability, and consistency in disciplinary proceedings.
Scope
Applies to all members of the Company, including individual, life, honorary, and institutional members.
Covers acts of misconduct committed:
- In professional practice (as arbitrator, mediator, adjudicator, expert, lawyer, engineer, etc.).
- Within Company activities (committees, events, publications).
- In a manner that may bring disrepute to the Company.
Grounds of Misconduct
Misconduct includes, but is not limited to:
- Breach of the Company’s Code of Conduct & Ethics.
- Misrepresentation of qualifications or Company membership.
- Bias, corruption, or conflict of interest in dispute resolution.
- Misuse of confidential information.
- Harassment, discrimination, or unprofessional behavior.
- Criminal conviction involving moral turpitude.
- Bringing disrepute to the Company.
Complaints Procedure
Submission: Any person (member or non-member) may file a complaint in writing to the Secretary of the Company.
- Complaint must include supporting documents/evidence.
- Anonymous complaints may be rejected unless supported by verifiable evidence.
Acknowledgment: The Secretary shall acknowledge receipt within 7 working days.
Preliminary Scrutiny: The Secretary forwards the complaint to the Ethics & Professional Conduct Committee (EPCC) within 14 days.
Preliminary Review (EPCC)
EPCC examines whether the complaint:
- Falls within the jurisdiction of the Company.
- Contains sufficient grounds and evidence.
If not, complaint is dismissed with reasons.
If valid, a Notice of Complaint is issued to the member within 21 days of receipt.
Response by Member
The member shall file a written response within 30 days of receiving the notice.
Failure to respond may result in ex-parte proceedings.
Members shall have a right to a fair hearing before disciplinary measures are imposed.
Investigation
EPCC may appoint an Investigation Panel of 2–3 neutral members (not connected to the dispute).
The Panel may:
- Call for additional documents.
- Interview the complainant, respondent, or witnesses.
- Review related case proceedings (if public record).
Investigation Report to be submitted within 60 days.
Hearing Procedure
If investigation suggests misconduct, a formal Disciplinary Hearing shall be held.
The member shall be given at least 21 days’ notice of the hearing.
Both complainant and respondent may present documents, witnesses, or legal representatives.
Proceedings are confidential but recorded.
Decision & Sanctions
After hearing, EPCC may decide by majority vote.
Possible outcomes:
- Dismissal of complaint (no case).
- Warning/Reprimand.
- Suspension of membership (for a defined period).
- Removal from panels (arbitrator/mediator/expert lists).
- Termination of membership.
Decision must be in writing, with reasons, and communicated to both parties within 30 days.
Appeal
Member may appeal to the Appellate Authority (Governing Body/independent Appeals Committee).
Appeal must be filed within 30 days of receiving the decision.
Appeal decision is final and binding within the Company.
Confidentiality & Records
All proceedings are confidential unless the sanction involves public notice (e.g., membership termination).
Records to be maintained securely for 10 years.
Interim Measures
In urgent cases (e.g., where member continues to act despite serious conflict of interest), EPCC may suspend membership or remove the member from panels pending final decision.
Reinstatement
A suspended or terminated member may apply for reinstatement after the sanction period, subject to proof of corrective conduct and approval of the Governing Body.
Publication of Sanctions
Warnings and reprimands remain confidential.
Suspension or termination may be published on the Company’s website or notified to relevant institutions, at the discretion of the Governing Body.
