Preamble

The value of an independent neutral rests entirely on their integrity. Without genuine neutrality, rigorous independence, and unwavering confidentiality, the work of a neutral has no standing — with the parties, with the legal community, or with the institutions that rely on neutral evaluation to make decisions of consequence.

TheNeutrals.ORG™ exists to build and govern a community of professionals who hold themselves to the highest standards of ethical conduct. This Code is not a set of aspirational principles. It is a set of binding obligations that govern how every certified neutral operates — in every engagement, in every jurisdiction, under every circumstance.

Article 1 — Neutrality and Impartiality

A certified neutral must remain genuinely neutral and impartial throughout every engagement. This means:

• No allegiance to any party, their counsel, or any related interest at any point in the process
• No conduct — including communications, statements, or behaviour — that could reasonably be perceived as favouring one party over another
• Active disclosure of any factor that could affect perceived or actual impartiality
• Withdrawal from an engagement if genuine neutrality cannot be maintained

Article 2 — Independence and Conflict of Interest

A certified neutral must be free from any conflict of interest — actual or perceived — before accepting an appointment. This requires:

• Completion of a full conflict-of-interest check before accepting any appointment
• Disclosure of any prior relationship with any party, counsel, related entity, or any person who may be involved in or affected by the matter
• Disclosure of any financial, professional, personal, or reputational interest in the outcome
• Immediate disclosure to TheNeutrals.ORG™ and the parties if any conflict arises during an engagement
• Withdrawal from the engagement where a conflict cannot be resolved by disclosure and consent of all parties

Article 3 — Confidentiality

A certified neutral has an absolute duty of confidentiality in respect of all information received in the course of an engagement. This applies:

• To all information shared by any party, in any form, at any stage of the process
• During and after the conclusion of the engagement — indefinitely unless released in writing by all parties
• To private sessions in mediation — information disclosed in a private session is not shared with the other party without consent
• Even where proceedings are not formally concluded

The only exceptions to confidentiality are where disclosure is required by applicable law, court order, or regulatory requirement — and even then, the neutral must inform the parties of the obligation to disclose before doing so where possible.

Article 4 — Competence

A certified neutral must only accept appointments in matters where they have the competence to serve effectively. This means:

• Not accepting appointments in sectors, jurisdictions, or dispute types where they lack sufficient knowledge or experience
• Maintaining and developing professional competence through ongoing CPD, in accordance with TheNeutrals.ORG™ requirements
• Applying the INDS™ methodology correctly and completely in every evaluation engagement
• Seeking guidance from TheNeutrals.ORG™ or withdrawing from an engagement where competence is in question

Article 5 — Integrity and Honesty

A certified neutral must act with integrity and honesty in all professional matters. This includes:

• Accurate representation of qualifications, experience, and capabilities to TheNeutrals.ORG™, to parties, and to professional contacts
• Honest assessment of whether a matter is within their competence, whether the process is likely to be effective, and whether settlement is genuinely feasible
• No misrepresentation of the INDS™ methodology, its outputs, or its conclusions
• No conduct designed to prolong an engagement unnecessarily or to generate fees without commensurate value

Article 6 — Professional Conduct

A certified neutral must conduct themselves with professionalism in all interactions connected with their role. This covers:

• Respectful, professional treatment of all parties, counsel, and TheNeutrals.ORG™ personnel at all times
• Prompt communication and responsiveness throughout every engagement
• No conduct — including on social media or in public statements — that could bring TheNeutrals.ORG™ or the neutral profession into disrepute
• Compliance with all TheNeutrals.ORG™ policies, governance requirements, and quality standards

Article 7 — Fees and Financial Conduct

A certified neutral must be transparent and fair in all fee-related matters:

• Fee levels and structures must be agreed in writing before any engagement begins
• Fees must be fair and proportionate to the matter, the neutral's experience, and the value delivered
• No acceptance of gifts, benefits, or payments from any party that could compromise independence
• Full financial transparency with TheNeutrals.ORG™ in respect of all appointments made through the bench

Article 8 — Reporting and Governance Compliance

A certified neutral must cooperate fully with TheNeutrals.ORG™ governance processes:

• Prompt reporting to TheNeutrals.ORG™ of any conduct concern, complaint, or circumstance that may affect their certification
• Full cooperation with any governance investigation or quality review
• Annual CPD declaration and certification renewal in accordance with TheNeutrals.ORG™ requirements
• Compliance with any directive issued by the TheNeutrals.ORG™ Global Council

Enforcement

Alleged violations of this Code are investigated by the TheNeutrals.ORG™ Global Council. The Council has the authority to:

• Issue a formal warning
• Require remedial training or supervised practice
• Suspend certification pending investigation
• Revoke certification permanently
• Publish a finding (anonymised) in the interests of professional transparency

All investigations are conducted fairly, with the neutral given full opportunity to respond before any determination is made.

Contact the Governance team

To report a conduct concern, seek ethics guidance, or raise a governance matter, contact the TheNeutrals.ORG™ Global Council through: governance@theneutrals.org

All communications to the governance team are treated as confidential.