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April 30, 2015
1. Non-Waivable Red List

A person shall not serve as an arbitrator if the person meets any of the following circumstances:

1.1 has a close relationship with any party or is a legitimate representative of an organization/entity which is a party to the arbitration proceeding.

1.2 is a manager, director or member of the supervisory board, or has a similar controlling influence in an organization/entity which is a party to the arbitration proceeding.

1.3 has a significant financial interest in one of the parties or receive benefits from the outcome of the case.

1.4 regularly advises the appointing party or an affiliate of the appointing party and the arbitrator or his or her law firm derives a significant financial income therefrom.
2. Waivable Red List

A person should not serve as an arbitrator if the person meets any of the following circumstances:

2.1 Relationship of the arbitrator to the dispute

2.1.1 The arbitrator has given his views or provided an expert opinion on the dispute to a party or an affiliate of one of the parties.

2.1.2 The arbitrator has previous involvement in the case.

2.2 Arbitrator’s direct or indirect interest in the dispute

2.2.1 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.

2.2.2 A close family member of the arbitrator has a significant financial interest in the outcome of the dispute.

2.2.3 The arbitrator or a close family member of the arbitrator has a close relationship with a third party whose influences may affect the outcome of the arbitration proceeding.

2.3 Arbitrator’s relationship with the parties or counsel

2.3.1 The arbitrator currently represents or advises one of the parties or an affiliate of one of the parties.

2.3.2 The arbitrator currently acts as an adviser to the lawyer or law firm acting as counsel for one of the parties.

2.3.3 The arbitrator is a lawyer in the same law firm as the counsel to one of the parties.

2.3.4 The arbitrator is a manager, director or member of the supervisory board or has a similar controlling influence in the Parent company or its subsidiaries directly involved in the matters in dispute in the arbitration.

2.3.5 The arbitrator’s law firm had a previous involvement in the case without the arbitrator being involved himself or herself.

2.3.6 The arbitrator’s law firm currently has a significant commercial relationship with one of the parties or an affiliate of one of the parties.

2.3.7 The arbitrator regularly advises the appointing party or an affiliate of the appointing party, but neither the arbitrator nor his or her law firm derives a significant financial benefit therefrom.

2.3.8 The arbitrator has a close family relationship with one of the parties or with a manager, director or member of the supervisory board or any person having a similar controlling influence in one of the parties or an affiliate of one of the parties or with a counsel representing that party.

2.3.9 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.
3. Orange List

A person may be appointed as an arbitrator if the person meets any of the following circumstances:

3.1 Previous services for one of the parties or other involvement in the case

3.1.1 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 making the appointment in an unrelated matter, but the arbitrator and the party or the affiliate of the party have no ongoing relationship.

3.1.2 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.

3.1.3 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.

3.1.4 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.

3.1.5 The arbitrator currently serves, or has served, as arbitrator in another arbitration proceeding on a related issue involving one of the parties or an affiliate of one of the parties within the last one year.

3.2 Current services for one of the parties

3.2.1 The arbitrator’s law firm is currently rendering services to one of the parties or to an affiliate of one of the parties without creating a significant commercial relationship and without the involvement of the arbitrator.

3.2.2 A law firm that shares revenues or fees with the arbitrator’s law firm is rendering services to one of the parties or an affiliate of one of the parties before the arbitral tribunal.

3.2.3 The arbitrator or his or her law firm represents a party or an affiliate of one of the parties to the arbitration on a regular basis but is not involved in the current dispute.

3.3 Relationship between an arbitrator and another arbitrator or counsel

3.3.1 The arbitrator and another arbitrator are lawyers in the same law firm.

3.3.2 The arbitrator was within the past three years a partner of, or otherwise affiliated with, another arbitrator or another counsel in the same arbitration.

3.3.3 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.

3.3.4 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 in the dispute.

3.3.5 A close personal friendship exists between the arbitrator and a counsel of one party, as demonstrated by the fact that the arbitrator and the counsel regularly spend considerable time together unrelated to work but rather in activities of a professional association or social organization.

3.3.6 The arbitrator has within the last one year received more than three appointments by the same counsel or the same law firm.

3.4 Relationship between arbitrator and a party and others involved in the arbitration

3.4.1 The arbitrator’s law firm is currently acting on a complaint against one of the parties or an affiliate of one of the parties.

3.4.2 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.

3.4.3 A close personal friendship exists between an arbitrator and a manager or director or a member of the supervisory board or any person having a similar controlling influence in one of the parties or an affiliate of one of the parties or a witness or expert of the party, as demonstrated by the fact that the arbitrator and such director, manager, other person, witness or expert regularly spend considerable time together unrelated to work but rather in activities of a professional association or social organization.

3.5. Other circumstances

3.5.1 The arbitrator holds a small number of shares, either directly or indirectly, in one of the parties or an affiliate of one of the parties that is publicly listed.

3.5.2 The arbitrator has publicly advocated a specific position regarding the case that is being arbitrated, whether in a published paper or speech or otherwise.

3.5.3 The arbitrator holds one position in an arbitration institution with appointing authority over the dispute.

3.5.4 The arbitrator is a manager, director or member of the supervisory board, or has a similar controlling influence, in an affiliate of one of the parties, where the affiliate is not directly involved in the matters in the dispute in the arbitration.
4. Green List

A person should not decline to serve as an arbitrator if the person meets any of the following circumstances:

4.1 Previously provided legal opinions

4.1.1 The arbitrator has previously published a general opinion such as in a law review article or public lecture concerning an issue which also arises in the arbitration but this opinion is not focused on the case that is being arbitrated.

4.2 Previous services against one party

4.2.1 The arbitrator’s law firm has acted in a complaint against one of the parties or an affiliate of one of the parties in an unrelated matter without the involvement of the arbitrator.

4.3 Current services for one of the parties

4.3.1 A branch office or partner of the arbitrator’s law firm which does not share fees or other revenues with the arbitrator’s law firm renders services to one of the parties or an affiliate of one of the parties in an unrelated matter of the dispute in the arbitration.

4.4 Relationship with another arbitrator or with counsel for one of the parties

4.4.1 The arbitrator has a relationship with another arbitrator or with the counsel for one of the parties through membership in the same professional association or social organization.

4.4.2 The arbitrator and counsel for one of the parties or another arbitrator have previously served together as arbitrators or as co-counsel.

4.5 Relationship between the arbitrator and one of the parties

4.5.1 The arbitrator had a prior contact with the appointing party or an affiliate of the appointing party or their counsels prior to appointment, if this contact is limited to see the arbitrator’s availability and qualifications to serve or to the names of possible candidates for a chairperson and did not address the merits or procedural aspects of the dispute.

4.5.2 The arbitrator holds de minimis amount of shares in one of the parties or an affiliate of one of the parties, which is publicly listed.

4.5.3 The arbitrator and a manager, director or member of the supervisory board, or any person having a similar controlling influence, in one of the parties or an affiliate of one of the parties, have worked together as joint experts or in another professional capacity, including as arbitrators in the same case.
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