The London Maritime Arbitrators Association (“LMAA”) has recently published a revised version of its terms of procedure which will become effective in respect of all appointments made on or after 1st May 2017. A revised version of the LMAA Small Claims Procedure (“SCP”) and the LMAA Intermediate Claims Procedure (“ICP”) is now also being circulated.
伦敦海事仲裁员协会（LMAA）近期发布了新的仲裁规则，该规则将于2017年5月1日起生效。新的小额仲裁规则（SCP）和中等金额仲裁规则（ICP）同时发布。
The new set of Terms is designed to meet needs that have become apparent since the Terms were last reviewed in 2012. The 2017 Terms were prepared by a sub-committee of experienced arbitrators under the chairmanship of David Owen QC and following extensive consultation with users. It is hoped that the revised Terms will streamline the LMAA procedures in place and will have a beneficial effect in speeding up proceedings and in keeping costs down.
新规则是为了适应2012规则发布后市场上产生的新的需求。2017规则是由David Owen大律师领导下的、多位经验丰富的仲裁员组成的、一个LMAA专业工作小组草拟完成的。工作组咨询了大量用户的意见。新规则希望能够优化现有的仲裁程序、加快进度、减少仲裁费用。
The purpose of this article is to set out the key changes introduced by the new Terms.
本文将介绍新规则的主要变化。
The LMAA Terms 2017 (Standard Procedure)
LMAA 2017 标准仲裁程序
S.17 of the Arbitration Act 1996 (“the 1996 Act”) is now expressly incorporated under new paragraph 10 under which an arbitrator appointed by one party can become a sole arbitrator where the other party has failed to appoint an arbitrator.
《1996仲裁法》第17条，被明确并入新规则（第10段），即如一方不指定仲裁员，另一方指定的仲裁员将能变为独任仲裁员。New paragraph 11 deals with the parties’ failure to agree to appoint a sole arbitrator. The Terms are now brought in line with a similar provision under the SCP and provide for the appointment to be effected by the President of the LMAA.
新增第11段，针对双方无法同意独任仲裁员人选。新规则采用了SCP类似的规定，即将由LMAA主席指定独任仲裁员。With regard to concurrent proceedings, paragraph 16(b)(i) confers on the Tribunal discretion to abbreviate or modify time limits for service of submissions. However, no power is provided to the Tribunal to consolidate arbitration proceedings.
关于同步仲裁，第16(b)(i)段赋予仲裁庭缩减、修改提交起诉状、抗辩状等诉辩状的时限的自由裁量权。然而，仲裁庭仍没有合并仲裁的权利。
The First Schedule – Security for the Tribunal’s Costs
附件1 – 仲裁费用担保
The First Schedule remains largely unamended, save that pursuant to paragraph (E) it is now open to the Tribunal to request security for costs whenever it considers appropriate to do so but no less than 21 days before the start of the hearing (see paragraph (E)(1)).
附件1未做大幅修改，除了根据第(E)段，仲裁庭可以在其认为适当的时机、选择索要仲裁费用担保（但至少应在开庭前21天前提出（参第(E)(1)段））The Tribunal to provide its total estimated costs no later than 28 days before the security is due to be posted (Paragraph (E)(2)). If security is not provided in time, the Tribunal has power to suspend work and vacate hearing dates (or refrain from reading documents/drafting in case of a documents only arbitration (Paragraph (E )(3)).
仲裁庭应至少在仲裁费用担保应提供之日前28天前，告知相关方仲裁费用的预估总金额（参第(E)(2)段）。如未及时提供担保，仲裁庭有权中止工作，取消原定的开庭日期。（如是文件仲裁，则不再审阅仲裁文件（参第(E)(3)段））Under paragraph E(3) the Tribunal has discretion to decide which party should provide security for the Tribunal’s costs. The Tribunal enjoys a similar discretion regarding the party to be invoiced for booking fees under Section (D)(1)(a).
第(E)(3)段还规定，仲裁庭有权决定由哪方提供仲裁费用担保。仲裁庭还有类似的权力决定由哪方支付开庭定金（参Section (D)(1)(a)）。The Tribunal may issue a peremptory order in the event of the parties’ failure to comply with an order as to security for costs (paragraph E(8)). Non-compliance with the Tribunal’s peremptory order may lead to dismissal of the Claimant’s claim.
如当事方未按要求提供仲裁费用担保，仲裁庭可出具强制令（参第(E)(8)段）。如当事方拒不执行强制令，仲裁庭可驳回原告的诉讼请求。
The Second Schedule – Arbitration Procedure
附件2 – 仲裁程序
A number of amendments have been made in this Schedule, the most significant of which we summarise below:
本部分做了多处修改，重点有：
Para (1)(c) now makes it explicit that supporting documentation must be provided to the other parties involved. This does not change the current practice but is now made clearer in the new Terms presumably to serve as an aide-memoire and promote compliance.
第(1)(c)段明确了，必须向对方提供支持文件。目前实践中也是这么做的，新规则加入该规定，使该做法更明确了，更规范了。
The pleadings stage is considered closed following service of the reply submissions, unless express permission is granted by the Tribunal to serve further submissions. We surmise that this new stipulation under paragraph 5, is designed to avoid an unnecessary proliferation of submissions and to keep the procedure under close control to avoid delays.
控辩阶段将在一方提交reply后结束，除非仲裁庭明确允许继续提交控辩状。我们猜测这么规定（第5段）的目的是为了避免控辩阶段拖延，控制整个仲裁进度，避免延迟。
Under paragraph 7, a party may include in his application for costs security a provision for the Tribunal’s costs where these have already been paid to the Tribunal by the party seeking security for costs or in relation to Tribunal costs already secured by the party seeking security.
第7段规定，如一方已支付仲裁庭费用、或已向仲裁庭提供仲裁费用担保，则该方可以在向对方要求向其提供的费用担保中加入这一项。The completion of the Questionnaire, after the submissions stage has closed, is dealt with under paragraph 11. New sub-paragraph (b) now contains a notable change to the effect that the Tribunal is given power to make procedural directions in respect of the future conduct of proceedings after allowing the parties a period of 21 days following exchange of Questionnaires to agree on directions. This is a significant change in respect of the arbitral timetable which otherwise remains essentially as before.
第11段涉及控辩阶段结束后的调查问卷阶段。其中的(b)小段是新的变化，即双方交换调查问卷后，仲裁庭再给21天时间让双方协商仲裁推进的时间进度，之后仲裁庭即有权决定在程序上如何推进随后的仲裁。To encourage the parties to become pro-active and adopt a cost-effective and efficient procedure, the sub-committee has introduced, under paragraph 13, an express obligation to that effect and urges the parties to consider LMAA Checklist guidelines (now incorporated as Schedule 4).
为鼓励仲裁各方积极、经济地推进仲裁，专业工作工作小组增加了第13段，规定各方有义务阅研LMAA检查表以指引仲裁程序（现作为附件4并入了规则）The Tribunal will be entitled to take into account the parties’ unreasonable or inefficient conduct and penalise them on costs for failing to comply with the Checklist. The parties’ costs estimates provided in their respective Questionnaires and their “without prejudice save as to costs” offers (aka sealed offers) will also be taken into account (Paragraph 19(b)) by the Tribunal when dealing with costs. However, a clear distinction is now drawn between sealed offers and Part 36 offers by clearly stating that the English High Court regime applicable to Part 36 offers does not apply to LMAA arbitration.
如一方未能按照检查表合理地、高效地推进仲裁，仲裁庭将有权处罚该方。仲裁庭在判罚仲裁费用时，将考虑调查问卷中所预估的费用，将考虑各方在仲裁中所开出的针对案件本身（即不考虑仲裁费用）的和解方案（类似于sealed offer,参第19(b)段）。然而，新规则明确区分了sealed offer和Part 36 offer，明确规定英国高等法院下的Part 36 offer不适用于LMAA仲裁。To prevent undue delays, paragraph 20 now provides for parties to give prompt notice of appointment of their legal or other representative. Such appointments are no longer valid ground for delaying the arbitration process or to obtain an adjournment unless there are exceptional circumstances.
为防止不当延迟，第20段规定了仲裁各方应尽快发出聘请其法律（或其它）代表的通知。未聘请代表，将不能再作为推迟仲裁、要求延期的理由（除非有例外情况）。Where the parties agree that an order or direction agreed between them is deemed to be an order/direction of the Tribunal, they must now take steps to notify the Tribunal of such an agreement (see paragraph 21).
如各方同意：各方协商同意的程序裁定和指引(order or direction)将被视为仲裁庭的裁定和指引，各方必须采取行动、将该协商同意的结果通知仲裁庭（第21段）。Finally, the parties are at liberty to apply for directions other than those provided in Schedule 2 but this is subject to making an application to the Tribunal and explaining why a different course should be adopted.
最后，各方可任意向仲裁庭申请附件2规定之外的程序指引，但前提是各方须向仲裁庭提出申请并解释为什么要采取不同的仲裁程序。
The Third Schedule – LMAA Questionnaire
附件3 – LMAA调查问卷
No major changes have been made to the Questionnaire save that the Questionnaire now requires the parties to identify issues which will be addressed by witness and expert evidence and consider the need to involve an interpreter. The Questionnaire now also incorporates an introductory note emphasising the importance of completing the Questionnaire and guidelines as to how to do so correctly and efficiently.
这里的变化不大。增加要求各方说明其证人证词和专家证词所要证明的问题，说明是否要聘请翻译。调查问卷增加了注意事项部分，强调了调查问卷在程序指引方面的重要性，及如何正确、有效地填写调查问卷。
The Fourth Schedule – Checklist
附件4 – 检查表
The Checklist formerly set out as part of Schedule 3 in the 2006 Terms was removed by the 2012 Terms. It was then published on the LMAA website separately in a revised form as an advisory document focusing on the most effective way of presenting the case to the Tribunal. The Checklist is now being reintroduced in the LMAA Terms as Schedule 4. The Checklist offers important guidance as to how to conduct arbitration proceedings more efficiently and cost effectively. The need was possibly borne out by the fact that by removing the Checklist from the main body of the Terms, the parties paid little or no attention at all to the Checklist guidelines. A failure to comply with the Checklist may be penalised in costs (see paragraph 19(c) of Schedule 2).
2006年版仲裁规则曾增加了检查表（附件3），但2012年版规则又移除了它。之后对检查表进行了修改，并在LMAA官网上单独发布，用以指导如何高效地向仲裁庭说明案件。现检查表作为附件4再次加入了新规则。检查表将指引如何高效、经济地推进仲裁（之前从规则中移除检查表，可能造成各方忽视检查表在程序指引方面重要性）。新规则规定，如不遵照检查表，将有可能受到费用的判罚（附件2，第19(c)段）。
The Checklist has been revised and includes guidance regarding the preparation of hearing bundles (avoid duplication of emails in bundles, and for core bundles to have the same numbering as the main sequence pages) and witness statements (consider the need to retain an interpreter).
检查表修改、增加了如何准备开庭文件的部分（避免文件卷宗中出现重复邮件，要求重点文件卷宗里的文件页码编号与主文件卷宗里的文件页码编号保持一致），修改、增加了证人证词部分（考虑是否聘请翻译）。
The Fifth Schedule – The Reconstitution of the Tribunal
附件5 – 仲裁庭重组
This remains as before, save that it was previously appended to the Fourth Schedule and has now been moved to the Fifth Schedule.
该部分没有改动。该部分以前是后附在附件4中，现作为附件5、单独拿出来。
The Small Claims Procedure 2017 (“SCP”)
小额仲裁程序
One of several important changes in the revised LMAA Terms is an increase in the recommended limit for the application of the LMAA SCP to US$100,000, in the absence of an agreed limit by the parties. The limit applies separately for claims and counterclaims (see paragraph 1(a)).
一项重要变化是LMAA将推荐适用小额仲裁程序的争议金额提高到10万美元（如各方未明确约定限额）。该限额分别适用于索赔和反索赔（参第1(a)段）。Where the counterclaim exceeds the small claims limit of US$100,000, it is open to the parties to demand that the claim and counterclaim be dealt with either under the standard LMAA procedure or under the ICP. If the parties agree, the appointed arbitrator under the SCP may retain jurisdiction (see paragraph 1(b)).
如反索赔金额超过了10万美元，仲裁各方可要求改用标准仲裁程序或中额仲裁程序。如各方同意，原小额仲裁程序的仲裁员可继续留任（参第1(b)段）。The commencement of arbitration under the SCP interrupts any applicable time limit (paragraph 1(c)).
提起小额仲裁程序，将中止时效的计算（参第1(c)段）。On the procedure side, there has been some tidying up regarding letters of submission under paragraph 5:
在程序方面，第5段对诉辩状进行了规整：
As regards the applicable word limit to a letter of defence and counterclaim, the counterclaim must arise independently of the claim;
关于抗辩状和反诉状的字数限制，反索赔应独立于索赔；Additional evidence or supporting documents may only be included with a letter of reply or reply to defence to counterclaim;
额外证据和支持文件只能与letter of reply或reply to defence to counterclaim一并提交；It is open to the Arbitrator to reject letters of submission which are not compliant and request that these be re-submitted in an appropriate form;
如诉辩状格式不符合要求，仲裁员可要求重新提交合格的诉辩状；Paragraph 5(g) confers on the arbitrator a discretion whether or not to dismiss a claim where there is failure to serve a letter of claim in time. A decision will now be made on a case by case basis depending on the circumstances.
如一方未按时提交起诉状，第5(g)段赋予仲裁员驳回起诉的裁量权。具体什么情况下可以这么做，须一案一议。
Paragraph 9 now gives the Arbitrator power to retain jurisdiction if there is a departure from the SCP or if the dispute proceeds under the LMAA Terms 2017 or under the ICP 2017. However, the arbitrator is expressly entitled to retain the Small Claims fee as payment on account of his fees relating to work carried out in relation to the reference (para 9 (c)).
如小额仲裁程序变更为标准仲裁或中额仲裁，第9段赋予仲裁员继续留任的权利。仲裁员可将之前已收到的小额仲裁费作为变更后仲裁程序的预付费用（第9(c)段）。
Intermediate Claims Procedure (“ICP”)
中额仲裁程序
The Committee has made only minor changes to the ICP. Perhaps the most significant of those amendments is the deletion of the reference to “summary” costs in paragraph 15(a), leaving these to be assessed only on a “commercial” basis.
专业工作小组对中额仲裁程序只做了少许改动。可能最重要的改动是将第15(a)段中的“summary”（简要）一词删除，即在裁判、评估仲裁费用时，将只从商业角度出发。As regards the parties’ recoverable costs, the costs cap applies either to the original claim/counterclaim amount (as was the case until now) or the amended amount, if greater, thus giving the parties the opportunity to make a higher costs recovery.
关于各方可追回的仲裁费用，其限额将参照一开始提出的（反）索赔金额；如之后（反）索赔金额提高，则限额相应提高。从而给各方机会，追回更多的仲裁费用。
关注我们
想要关注我们的朋友，可以点击文章标题下方的蓝色字体“英士律师”，或者在查找微信公众号页面搜索“英士律师”。
分享文章
喜欢本文的朋友，请点击手机右上角图标，把文本分享给您的朋友、微信群或发送到朋友圈。
声明
本文所含信息和评论，不作为、也不打算作为英国英士律师事务所（本所）对某个具体问题、给某个具体客户的法律意见。本文只是免费地提供信息，本所已尽合理谨慎保证本文的准确性和及时性。本所不对本文的准确性和正确性承担责任，本所不对任何人士、团体和公司，因依赖本文而做出的作为或不作为及其后果承担责任。如果您需要法律意见或其它专业意见，强烈建议您联系具有相关资格的法律人士或专业人士。
联系我们
北京：
010-5706 9588 (TEL)
beijing@incelaw.com(email)
上海：
021-6157 1212 (TEL)
shanghai@incelaw.com(email)
香港：
00852-2877 3221(TEL)
hongkong@incelaw.com(email)
www.incelaw.com