Arbitration Act: Statutory Schedules (1st to 7th Schedules)

The Fifth Schedule: Grounds of Justifiable Doubts as to Independence / Impartiality [See Section 12(1)(b)]

An arbitrator must disclose in writing any circumstances falling within these 34 grounds which may give rise to justifiable doubts as to their impartiality:

• I. Arbitrator's Relationship with the Parties or Counsel
• 1. The arbitrator is an employee, consultant, advisor or has any other past or present business relationship with a party.
• 2. The arbitrator currently represents or advises one of the parties or an affiliate of one of the parties.
• 3. The arbitrator currently represents the lawyer or law firm acting as counsel for one of the parties.
• 4. The arbitrator is a lawyer in the same law firm which is representing one of the parties.
• 5. The arbitrator is a manager, director or part of the management, or has a similar controlling influence, in an affiliate of one of the parties if the affiliate is directly involved in the matters in dispute in the arbitration.
• 6. The arbitrator’s law firm had a previous but terminated involvement in the case without the arbitrator being involved.
• 7. The arbitrator’s law firm currently has a significant commercial relationship with one of the parties or an affiliate of one of the parties.
• 8. The arbitrator regularly advises the appointing party or an affiliate of one of the parties even though neither the arbitrator nor his or her firm derives a significant financial income therefrom.
• 9. The arbitrator has a close family relationship with one of the parties and in the case of companies with the persons in the management and/or controlling the company.
• 10. A close family member of the arbitrator has a significant financial interest in one of the parties or an affiliate of one of the parties.
• 11. The arbitrator is a legal representative of an entity that is a party in the arbitration.
• 12. The arbitrator is a manager, director or part of the management, or has a similar controlling influence in one of the parties.
• 13. The arbitrator has a significant financial interest in one of the parties or the outcome of the case.
• 14. The arbitrator regularly advises the appointing party or an affiliate of one of the parties and derives a significant financial income therefrom.
• II. Relationship of the Arbitrator to the Dispute
• 15. The arbitrator has given legal advice or provided an expert opinion on the dispute to a party or an affiliate of one of the parties.
• 16. The arbitrator has previous involvement in the dispute.
• III. Arbitrator's Direct or Indirect Interest in the Dispute
• 17. The arbitrator holds shares, either directly or indirectly, in one of the parties or an affiliate of one of the parties that is privately held.
• 18. A close family member of the arbitrator has a significant financial interest in the outcome of the dispute.
• 19. The arbitrator or a close family member of the arbitrator has a close relationship with a third party who may be liable to recourse on the part of the unsuccessful party in the dispute.
• IV. Previous Services for One of the Parties or Other Involvement in the Case
• 20. The arbitrator has within the past three years served as counsel for one of the parties or an affiliate of one of the parties or has previously advised or been consulted by the party or an affiliate of the party in an unrelated matter.
• 21. The arbitrator has within the past three years served as counsel against one of the parties or an affiliate of one of the parties in an unrelated matter.
• 22. The arbitrator has within the past three years been appointed as arbitrator on two or more occasions by one of the parties or an affiliate of one of the parties.
• 23. The arbitrator’s law firm has within the past three years acted for one of the parties or an affiliate of one of the parties in an unrelated matter without the involvement of the arbitrator.
• 24. The arbitrator currently serves, or has served within the past three years, as arbitrator in another arbitration on a related issue involving one of the parties or an affiliate of one of the parties.
• V. Relationship between an Arbitrator and Another Arbitrator or Counsel
• 25. The arbitrator and another arbitrator are lawyers in the same law firm.
• 26. The arbitrator and another arbitrator are partners in the same law firm.
• 27. A lawyer in the arbitrator’s law firm is an arbitrator in another dispute involving the same party or parties or an affiliate of one of the parties.
• 28. A close family member of the arbitrator is a partner or employee of the law firm representing one of the parties, but is not assisting with the dispute.
• 29. The arbitrator has within the past three years received more than three appointments by the same counsel or the same law firm.
• VI. Other Circumstances
• 30. The arbitrator’s law firm is currently acting adverse to one of the parties or an affiliate of one of the parties.
• 31. The arbitrator had been associated within the past three years with a party, or an affiliate of one of the parties, in a professional capacity, such as a former employee or partner.
• 32. The arbitrator holds one of the parties, or an affiliate of one of the parties, to be a significant client of the arbitrator’s law firm.
• 33. The arbitrator was previously a judge or officer of the court before which the parties had litigated.
• 34. The arbitrator is a close personal friend of a party or counsel.

• Arbitrator's Relationship with the Parties or Counsel
• 1. The arbitrator is an employee, consultant, advisor or has any other past or present business relationship with a party.
• 2. The arbitrator currently represents or advises one of the parties or an affiliate of one of the parties.
• 3. The arbitrator currently represents the lawyer or law firm acting as counsel for one of the parties.
• 4. The arbitrator is a lawyer in the same law firm which is representing one of the parties.
• 5. The arbitrator is a manager, director or part of the management, or has a similar controlling influence, in an affiliate of one of the parties if the affiliate is directly involved in the matters in dispute in the arbitration.
• 6. The arbitrator’s law firm had a previous but terminated involvement in the case without the arbitrator being involved.
• 7. The arbitrator’s law firm currently has a significant commercial relationship with one of the parties or an affiliate of one of the parties.
• 8. The arbitrator regularly advises the appointing party or an affiliate of one of the parties even though neither the arbitrator nor his or her firm derives a significant financial income therefrom.
• 9. The arbitrator has a close family relationship with one of the parties and in the case of companies with the persons in the management and/or controlling the company.
• 10. A close family member of the arbitrator has a significant financial interest in one of the parties or an affiliate of one of the parties.
• 11. The arbitrator is a legal representative of an entity that is a party in the arbitration.
• 12. The arbitrator is a manager, director or part of the management, or has a similar controlling influence in one of the parties.
• 13. The arbitrator has a significant financial interest in one of the parties or the outcome of the case.
• 14. The arbitrator regularly advises the appointing party or an affiliate of one of the parties and derives a significant financial income therefrom.
• Relationship of the Arbitrator to the Dispute
• 15. The arbitrator has given legal advice or provided an expert opinion on the dispute to a party or an affiliate of one of the parties.
• 16. The arbitrator has previous involvement in the dispute.
• Arbitrator's Direct or Indirect Interest in the Dispute
• 17. The arbitrator holds shares, either directly or indirectly, in one of the parties or an affiliate of one of the parties that is privately held.
• 18. A close family member of the arbitrator has a significant financial interest in the outcome of the dispute.
• 19. The arbitrator or a close family member of the arbitrator has a close relationship with a third party who may be liable to recourse on the part of the unsuccessful party in the dispute.