This Checklist aims to set out the key steps for consideration by arbitrators when using artificial intelligence (‘AI’) systems or when AI is used in arbitral proceedings. In view of the evolving nature of the technology and applicable laws, and regulations, please be mindful that this is a non-exhaustive list. The Checklist is meant to provide best practice guidance. Understanding AI Key points Notes Definition of AI Artificial intelligence is a computer systems’ ability to showcase human-like cognitive abilities (decision-making, planning, reasoning, knowledge representation, etc). IBM defines AI as ‘technology that enables computers and machines to simulate human learning, comprehension, problem solving, decision making, creativity and autonomy.’WIPO describes AI as a discipline of computer science that is aimed at developing machines and systems that can carry out tasks considered to require human intelligence. Machine learning and deep learning are two subsets of AI. In recent years, with the development of new neural network techniques and hardware, AI is usually perceived as a synonym for ‘deep supervised machine learning’.See

This Checklist sets out the features or factors that may indicate that an individual has, or does not have, the status of an employee or worker, eg within the meaning of section 230 of the Employment Rights Act 1996 (ERA 1996), or may be self-employed for employment law purposes. A number of key employment rights are only given to employees. Many other rights are provided to a wider category of 'workers', which includes, but is not limited to, employees (ie all employees are also workers, but not vice versa). For further information, see Practice Notes: Employee status and Worker status. For a checklist of the rights available to those with employee or worker status, see: Employees and workers: checklist of rights. From a tax perspective, an individual is either employed or self-employed; there is no third category. While some of the same caselaw is relevant to the question of employee status in both the tax law and employment law context, there is a divergence in the approach taken by the tribunals and courts in dealing with employee

Where a scheme of arrangement, restructuring plan, company voluntary arrangement or individual arrangement is proposed over a regulated firm (defined below), the Financial Conduct Authority (FCA) will need to be involved from an early stage. The Financial Conduct Authority (FCA) is the conduct regulator for financial services firms and financial markets in the United Kingdom. It has a duty under section 1B of the Financial Services and Markets Act 2000 (FSMA 2000) to pursue certain objectives, one of which relates to consumer protection. The FCA lists its statutory objectives as to secure an appropriate degree of protection for consumers and protect and enhance the integrity of UK financial markets, with a view to reducing the number of proposed compromises that they do not consider to be appropriate (see FG22/4 para 1.2). On 5 July 2022, the FCA published guidance on compromises of regulated firms (FCA Guidance FG22/4 July 2022, updated January 2024) following their significant concerns about these tools being proposed and used by firms to avoid paying customers

Where a scheme of arrangement, restructuring plan, company voluntary arrangement or individual arrangement is proposed over a regulated firm (defined below), the Financial Conduct Authority (FCA) will need to be involved from an early stage. The FCA is the conduct regulator for financial services firms and financial markets in the UK. It has a duty under section 1B of the Financial Services and Markets Act 2000 (FSMA 2000) to pursue certain objectives, one of which is the consumer protection objective. The FCA lists its statutory objectives as to secure an appropriate degree of protection for consumers and to protect and enhance the integrity of UK financial markets, with a view to reducing the number of proposed compromises (through a scheme of arrangement, restructuring plan, company voluntary arrangement or individual arrangement) that they do not consider to be appropriate (see FG22/4, para 1.2). On 5 July 2022, the FCA published guidance on compromises of regulated firms (see FCA Guidance FG22/4 July 2022 and updated in January 2024) following their significant concerns

This Checklist provides a high-level overview of the issues that a manager should consider when conducting a disciplinary hearing. It is for general guidance only, and regard should be had to the employer’s own code of conduct and disciplinary and dismissal procedure. For more detailed information on how to prepare for and conduct a disciplinary hearing, see Practice Notes: How to plan and prepare for a disciplinary hearing and How to conduct a disciplinary hearing. • Preparation ◦ Carefully consider the company's code of conduct/workplace or disciplinary rules and its disciplinary and dismissal procedure ◦ Ensure compliance with the Acas Code of Practice on Discipline and Grievance, and consider the Acas guidance: Discipline and grievances at work (July 2020) ◦ Review the investigation report ◦ Write to the employee prior to the hearing informing them that there is to be a disciplinary hearing (see Precedent: Letter—disciplinary procedure (2): to employee requesting attendance at hearing) and providing them with information on: ‣ the date, time and place of the hearing (which must be held

This Checklist sets out a short summary of the key statutory and practical points in drafting and negotiating planning obligations under section 106 of the Town and Country Planning Act 1990 (TCPA 1990), commonly referred to as section 106 agreements. For further detailed information on: • the key statutory requirements for planning obligations, including formalities, parties, registration requirements, when planning obligations take effect and dispute resolution procedures, see Practice Note: Planning obligations—key points • how to draft a section 106 agreement, taking into account statutory requirements and practical efficiency, see Practice Note: Drafting section 106 agreements—practical advice for developers • how to renegotiate a section 106 agreement, see Practice Note: Renegotiating planning obligations/section 106 agreements Have the statutory requirements been fulfilled? If the statutory requirements in TCPA 1990, s 106 are not satisfied, the obligations in the agreement may not have the benefit of being a 'planning obligation', meaning that the local planning authority (LPA) may not be able to enforce the obligations against successors in title to the original covenanting party. Failure to state

This Checklist sets out the requirements for electing or appointing information and consultation (I&C) representatives for the purposes of the Information and Consultation of Employees Regulations 2004 (ICER 2004), SI 2004/3426. For further guidance regarding representatives under ICER 2004 generally, see Practice Note: ICER employee representatives. For further guidance regarding ICER 2004, see Practice Note: The Information and Consultation of Employees Regulations 2004. Guidance issued by the government in 2006 has been archived but remains a useful source of guidance. See also the Acas guidance on informing and consulting on workplace matters. General requirements • The I&C representatives do not have to be the same people as the negotiating representatives. Employees are free to appoint different people to be I&C representatives. • I&C representatives must be genuinely representative of their constituencies. • The arrangements should be transparent and acceptable to employees, with the outcomes seen to be demonstrably fair. • No affected employee should be unreasonably excluded from standing for election. • All affected employees on the date of the election should be entitled to vote. • Acas

This Checklist sets out the requirements for electing or appointing negotiating representatives for the purposes of the Information and Consultation of Employees Regulations 2004 (ICER 2004), SI 2004/3426. For further guidance regarding representatives under ICER 2004 generally, see Practice Note: ICER employee representatives. For further guidance regarding ICER 2004, see Practice Note: The Information and Consultation of Employees Regulations 2004. Guidance issued by the government in 2006 has been archived but remains a useful source of guidance, particularly as the regulations themselves lack detail on the issues considered in this Checklist. See also the Acas guidance on informing and consulting on workplace matters. General requirements • The employer must, as soon as reasonably practicable following a valid employee request, make arrangements for its employees to appoint or elect negotiating representatives for the purposes of negotiating the information and consultation arrangements to be put in place. • The arrangements that the employer makes must be practical with a view to the effective representation of all employees so that the authority the negotiating representatives are given is meaningful.

This Checklist summarises the steps to be taken by the employer of a military reservist in relation to first employing a reservist, training, mobilisation and demobilisation. For full details of an employer’s liabilities and obligations in regard to a military reservist employee, see Practice Note: Military reservists. For a checklist for use by the employee reservist, see: Checklist for military reservist [Archived]. Training Respond positively to all requests for time off for training and ensure that any leave is granted in accordance with the Company’s policies Mobilisation Consider whether to apply for exemption, deferral or revocation of mobilisation (see Practice Note: Military reservists—Exemption, deferral or revocation of mobilisation and Precedent: Letter—from employer to reservist employee re deferral, revocation or exemption [Archived])Note and agree reservist’s anticipated dates of:—mobilisation—demobilisation, and—return to workConfirm reservist’s accrued holiday entitlement before mobilisation commencement dateAgree any carry forward or payment in lieu of any untaken holiday

This is a checklist of the main items that must be considered before setting up an employee benefit trust (EBT) and immediately following the establishment of the EBT. It assumes that the company has already made the decision to set up the EBT, having taken appropriate advice on this. For further details on EBTs more generally, see Practice Note: What is an employee benefit trust? and for a more detailed examination of the main steps and potential issues involved with establishing an EBT, see Practice Note: Setting up an employee benefit trust. For a copy of an EBT trust deed, see Precedent: Employee Benefit Trust Deed. Confirmed? 1. Timing 1A: Confirmation that a decision has been made that the EBT should be established now. The alternative may be that the EBT could be set up at a later date, eg closer to vesting or exercise of share awards. For issues associated with this, see Precedent: EBT Operating Agreement. □ 1B: Confirmation that a decision has been made regarding whether the trustee of the EBT should

This Checklist sets out the information required to be included in an invitation to all providers who are party to the framework agreement to submit an offer under the Health Care Services (Provider Selection Regime) Regulations 2023 (PSR Regs 2023), SI 2023/1348,

Introduction This Checklist is for use by legal representatives who are involved with assisting witnesses to prepare trial witness statements in the Business and Property Division, that are subject to CPR PD 57AC. This Checklist should be read in conjunction with Practice Note: Trial witness statements in the Business and Property Courts under CPR PD 57AC, which discusses the requirements in more detail. Initial checks • check if proceedings are subject to CPR PD 57AC, and do not fall within one of the exemptions (CPR PD 57AC, para 1.3, see: Trial witness statements in the Business and Property Courts under CPR PD 57AC—Does CPR PD 57AC apply to all proceedings in the Business and Property Courts?) • check if the planned witness statement falls within definition of ‘trial witness statement’ under CPR PD 57AC, para 1.2 • satisfy yourself that a witness statement is in fact required (CPR PD 57AC, Appendix, para 2.2) Planning the witness evidence • ensure that you are familiar with the requirements as to the purpose