A_68_17_EC
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United Nations联合国
Report of the United Nations Commission on International Trade Law联合国国际贸易法委员会报告
Forty-sixth session第四十六届会议
(8-26 July 2013)(2013年7月8日至26日)
General Assembly Official Records Sixty-eighth session Supplement No. 17大会 正式记录 第六十八届会议
General Assembly补编第17号
Official Records大会 正式记录
Sixty-eighth session第六十八届会议
Supplement No. 17补编第17号
Report of the United Nations Commission on International Trade Law联合国国际贸易法委员会报告
Forty-sixth session第四十六届会议
(8-26 July 2013) United Nations(2013年7月8日至26日)
New York, 2013联合国 2013年,纽约
Note说明
Symbols of United Nations documents are composed of capital letters combined with figures.联合国文件用英文大写字母附加数字编号。
Mention of such a symbol indicates a reference to a United Nations document.提到这种编号,即指联合国的某一个文件。
Contents目录
Chapter章次
Page页次
Introduction导言
11
Organization of the session会议的组织
11
Opening of the session会议开幕
11
Membership and attendance成员和出席情况
11
Election of officers选举主席团成员
32
Agenda议程
33
Adoption of the report通过报告
44
Consideration of issues in the area of arbitration and conciliation审议仲裁和调解领域的问题
54
Finalization and adoption of a revised version of the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration最后审定并通过《贸易法委员会投资人与国家间基于条约仲裁透明度规则》 修订本
54
Consideration of instruments on the applicability of the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration to the settlement of disputes arising under existing investment treaties审议关于《贸易法委员会投资人与国家间基于条约仲裁透明度规则》适用于解决现行投资条约下产生的争议的文书
1917
Decision adopting the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration and the UNCITRAL Arbitration Rules (with a new article 1, paragraph (4), as adopted in 2013)通过《贸易法委员会投资人与国家间基于条约仲裁透明度规则》和《贸易法委员会仲裁规则》(新增2013年通过的第1条第4款)的决定
2219
Future work今后的工作
2320
Preparation of a guide on the 1958 New York Convention编拟1958年《纽约公约》指南
2521
International commercial arbitration moot competitions国际商事仲裁模拟辩论赛
2723
Consideration of issues in the area of security interests审议担保权益领域的问题
2824
Finalization and adoption of the UNCITRAL Guide on the Implementation of a Security Rights Registry审定并通过《贸易法委员会关于落实担保权登记处的指南》
2824
Progress report of Working Group VI and future work第六工作组的进度报告和今后的工作
3731
Consideration of issues in the area of insolvency law审议破产法领域的问题
3832
Finalization and adoption of revisions to the Guide to Enactment of the UNCITRAL Model Law on Cross-Border Insolvency最后审定和通过对《贸易法委员会跨国界破产示范法颁布指南》的修订
3832
Finalization and adoption of legislative recommendations on directors’ obligations in the period approaching insolvency最后审定和通过关于临近破产期公司董事义务的立法建议
4034
Finalization of revisions to the UNCITRAL Model Law on Cross-Border Insolvency:最后审定对《〈跨国界破产示范法〉:
the Judicial Perspective司法角度的审视》的修订
4235
Progress report of Working Group V第五工作组进度报告
4336
Consideration of issues in the area of public procurement审议公共采购领域的问题
4336
Online dispute resolution:网上解决争议:
progress report of Working Group III第三工作组进度报告
4538
Electronic commerce:电子商务:
progress report of Working Group IV第四工作组进度报告
4739
Technical assistance:技术援助:
law reform法律改革
4840
Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts促进可确保贸易法委员会法规统一解释和适用的方式方法
4941
Status and promotion of UNCITRAL texts贸易法委员会法规的现状和促进
5142
Coordination and cooperation协调与合作
5244
General概述
5244
Coordination and cooperation in the field of security interests担保权益领域的协调与合作
5344
Reports of other international organizations其他国际组织的报告
5345
International governmental and non-governmental organizations invited to sessions of UNCITRAL and its working groups获邀参加贸易法委员会及其工作组届会的国际政府间组织和非政府组织
5647
UNCITRAL regional presence贸易法委员会在区域驻地的活动
5848
Role of UNCITRAL in promoting the rule of law at the national and international levels贸易法委员会在促进国内和国际法治方面的作用
5848
Introduction导言
5848
Relevant developments since the forty-fifth session of the Commission委员会第四十五届会议以来的有关动态
5949
Comments to the General Assembly on the current role of UNCITRAL in the promotion of the rule of law向大会提出的关于贸易法委员会在促进法治方面的目前作用的评论意见
6150
Planned and possible future work, including in the areas of arbitration and conciliation, commercial fraud, electronic commerce, insolvency law, international contract law, microfinance, online dispute resolution, public procurement and infrastructure development, including public-private partnerships, and security interests计划开展和今后可能开展的工作,包括在仲裁和调解、商业欺诈、电子商务、破产法、国际合同法、小额金融、网上解决争议、公共采购和基础设施发展,包括公私伙伴关系,以及担保权益等领域的工作
6553
Relevant General Assembly resolutions大会的有关决议
7461
Other business其他事项
7561
Entitlement to summary records获取简要记录的权利
7561
Internship programme实习方案
7763
Evaluation of the role of the Secretariat in facilitating the work of the Commission对秘书处在促进委员会工作方面所起作用的评价
7764
Date and place of future meetings今后会议的日期和地点
7864
Forty-seventh session of the Commission委员会第四十七届会议
7965
Sessions of working groups工作组的届会
7965
Annexes附件
UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration贸易法委员会投资人与国家间基于条约仲裁透明度规则
8167
Amendment to article 1 of the UNCITRAL Arbitration Rules对《贸易法委员会仲裁规则》第1条的修正
8773
List of documents before the Commission at its forty-sixth session提交委员会第四十六届会议的文件一览表
8874
Introduction一. 导言
The present report of the United Nations Commission on International Trade Law (UNCITRAL) covers the forty-sixth session of the Commission, held in Vienna from 8 to 26 July 2013.联合国国际贸易法委员会(贸易法委员会)本期报告概述委员会于2013年7月8日至26日在维也纳举行的第四十六届会议的情况。
Pursuant to General Assembly resolution 2205 (XXI) of 17 December 1966, this report is submitted to the Assembly and is also submitted for comments to the United Nations Conference on Trade and Development.现根据大会1966年12月17日第2205 (XXI)号决议向大会提交本报告,同时一并提交联合国贸易和发展会议征求意见。
Organization of the session二. 会议的组织
Opening of the session会议开幕
The forty-sixth session of the Commission was opened on 8 July 2013.委员会第四十六届会议于2013年7月8日开幕。
Membership and attendance成员和出席情况
The General Assembly, in its resolution 2205 (XXI), established the Commission with a membership of 29 States, elected by the Assembly.大会在第2205 (XXI)号决议中设立了由大会选出的29个国家组成的委员会。
By its resolution 3108 (XXVIII) of 12 December 1973, the Assembly increased the membership of the Commission from 29 to 36 States.大会在1973年12月12日第3108 (XXVIII)号决议中将委员会成员国数量从29个增至36个。
By its resolution 57/20 of 19 November 2002, the Assembly further increased the membership of the Commission from 36 States to 60 States.大会在2002年11月19日第57/20号决议中进一步将委员会成员国数量从36个增加到60个。
The current members of the Commission, elected on 3 November 2009, on 15 April 2010, on 14 November 2012 and on 14 December 2012, are the following States, whose term of office expires on the last day prior to the beginning of the annual session of the Commission in the year indicated:下列国家是分别于2009年11月3日、2010年4月15日、2012年11月14日和2012年12月14日选出的委员会现任成员,任期于所示年份的委员会年度届会开始前的最后一天届满:
Algeria (2016), Argentina (2016), Armenia (2019), Australia (2016), Austria (2016), Belarus (2016), Botswana (2016), Brazil (2016), Bulgaria (2019), Cameroon (2019), Canada (2019), China (2019), Colombia (2016), Côte d’Ivoire (2019), Croatia (2016), Denmark (2019), Ecuador (2019), El Salvador (2019), Fiji (2016), France (2019), Gabon (2016), Georgia (2015), Germany (2019), Greece (2019), Honduras (2019), Hungary (2019), India (2016), Indonesia (2019), Iran (Islamic Republic of) (2016), Israel (2016), Italy (2016), Japan (2019), Jordan (2016), Kenya (2016), Kuwait (2019), Liberia (2019), Malaysia (2019), Mauritania (2019), Mauritius (2016), Mexico (2019), Namibia (2019), Nigeria (2016), Pakistan (2016), Panama (2019), Paraguay (2016), Philippines (2016), Republic of Korea (2019), Russian Federation (2019), Sierra Leone (2019), Singapore (2019), Spain (2016), Switzerland (2019), Thailand (2016), Turkey (2016), Uganda (2016), Ukraine (2014), United Kingdom of Great Britain and Northern Ireland (2019), United States of America (2016), Venezuela (Bolivarian Republic of) (2016) and Zambia (2019).阿尔及利亚(2016年)、阿根廷(2016年)、亚美尼亚(2019年)、奥地利(2016年)、白俄罗斯(2016年)、博茨瓦纳(2016年)、巴西(2016年)、保加利亚(2019年)、喀麦隆(2019年)、加拿大(2019年)、中国(2019年)、哥伦比亚(2016年)、科特迪瓦(2019年)、克罗地亚(2016年)、丹麦(2019年)、厄瓜多尔(2019年)、萨尔瓦多(2019年)、斐济(2016年)、法国(2019年)、加蓬(2016年)、格鲁吉亚(2015年)、德国(2019年)、希腊(2019年)、洪都拉斯(2016年)、匈牙利(2019年)、印度(2016年)、印度尼西亚(2019年)、伊朗伊斯兰共和国(2016年)、以色列(2016年)、意大利(2016年)、日本(2019年)、约旦(2016年)、肯尼亚(2016年)、科威特(2019年)、利比里亚(2019年)、马来西亚(2019年)、毛里塔尼亚(2019年)、毛里求斯(2016年)、墨西哥(2019年)、纳米比亚(2019年)、尼日利亚(2016年)、巴基斯坦(2016年)、巴拿马(2019年)、巴拉圭(2016年)、菲律宾(2016年)、大韩民国(2019年)、俄罗斯联邦(2019年)、塞拉利昂(2019年)、新加坡(2019年)、西班牙(2016年)、瑞士(2019年)、泰国(2016年)、土耳其(2016年)、乌干达(2016年)、乌克兰(2014年)、大不列颠及北爱尔兰联合王国(2019年)、美利坚合众国(2016年)、委内瑞拉玻利瓦尔共和国(2016年)、赞比亚(2019年)。
With the exception of Armenia, Botswana, Cameroon, Côte d’Ivoire, Fiji, Gabon, Greece, Jordan, Liberia, Mauritania, Sierra Leone and Zambia, all the members of the Commission were represented at the session.除亚美尼亚、博茨瓦纳、喀麦隆、科特迪瓦、加蓬、希腊、约旦、利比里亚、塞拉利昂、赞比亚之外,委员会所有成员都派代表出席了本届会议。
The session was attended by observers from the following States:下列国家派观察员出席了本届会议:
Afghanistan, Angola, Belgium, Bolivia (Plurinational State of), Burkina Faso, Chile, Cuba, Czech Republic, Dominican Republic, Finland, Guatemala, Lithuania, Malta, Netherlands, Poland, Qatar, Romania, Senegal, Slovakia, Slovenia, Sweden and Viet Nam.阿富汗、安哥拉、比利时、多民族玻利维亚国、布基纳法索、智利、古巴、捷克共和国、多米尼加共和国、芬兰、危地马拉、立陶宛、马耳他、荷兰、波兰、卡塔尔、罗马尼亚、塞内加尔、斯洛伐克、斯洛文尼亚、瑞典、越南。
The session was also attended by observers from the State of Palestine and the European Union.巴勒斯坦国和欧洲联盟也派观察员出席了本届会议。
The session was also attended by observers from the following international organizations:下列国际组织也派观察员出席了本届会议:
United Nations system:联合国系统:
International Centre for Settlement of Investment Disputes, United Nations Conference on Trade and Development, Economic Commission for Europe and World Bank;国际投资争议解决中心、联合国贸易和发展会议(贸发会议)、欧洲经济委员会、世界银行;
Intergovernmental organizations:政府间组织:
International Institute for the Unification of Private Law (Unidroit), Inter-Parliamentary Assembly of the Eurasian Economic Community, Permanent Court of Arbitration and World Customs Organization;国际统一私法协会(统法协会)、欧亚经济共同体跨议会大会、常设仲裁法院、世界海关组织;
Invited non-governmental organizations:受邀请的非政府组织:
American Arbitration Association and International Centre for Dispute Resolution, American Bar Association, Center for International Environmental Law, Center for International Legal Studies, European Law Students Association, Forum for International Conciliation and Arbitration, Institute of International Banking Law and Practice, Institute of Law and Technology (Masaryk University), Inter-American Bar Association, International Arbitration Institute, International Association of Lawyers, International Bar Association, International Insolvency Institute, International Institute for Sustainable Development, International Swaps and Derivatives Association, International Women’s Insolvency and Restructuring Confederation, Madrid Court of Arbitration, Moot Alumni Association, National Law Center for Inter-American Free Trade, New York State Bar Association and Swiss Arbitration Association.美国仲裁协会和争议解决国际中心、美国律师协会、国际环境法中心、国际法律研究中心、欧洲法律学生协会、国际调解和仲裁论坛、法律与技术研究所(马萨里克大学)、美洲律师协会、国际仲裁学会、国际律师联盟、国际律师协会、国际破产协会、国际可持续发展研究所、国际掉期及衍生工具协会、国际妇女破产和重整联合会、马德里仲裁法院、模拟仲裁辩论赛赛友会、美洲自由贸易国家法律中心、纽约州律师协会、瑞士仲裁协会。
The Commission welcomed the participation of international non-governmental organizations with expertise in the major items on the agenda.委员会欢迎在主要议程项目方面拥有专门知识的国际非政府组织参加会议。
Their participation was crucial for the quality of texts formulated by the Commission, and the Commission requested the Secretariat to continue to invite such organizations to its sessions.它们参加会议对于提高委员会拟定的案文的质量至关重要,委员会请秘书处继续邀请这类组织参加其届会。
Election of officers选举主席团成员
The Commission elected the following officers:委员会选出了下列主席团成员:
Chair:主席:
Michael Schöll (Switzerland)Michael Schöll(瑞士)
Vice-Chairs:副主席:
Rodrigo Labardini Flores (Mexico)Rodrigo Labardini Flores(墨西哥)
Salim Moollan (Mauritius)Salim Moollan(毛里求斯)
Hrvoje Sikirić (Croatia)Hrvoje Sikirić(克罗地亚)
Rapporteur:报告员:
Sukpuck Phongsathit (Thailand)Sukpuck Phongsathit(泰国)
Agenda议程
The agenda of the session, as adopted by the Commission at its 958th meeting, on 8 July 2013, was as follows:委员会在2013年7月8日第958次会议上通过的会议议程如下:
Opening of the session.会议开幕。
Election of officers.选举主席团成员。
Adoption of the agenda.通过议程。
Consideration of issues in the area of arbitration and conciliation:审议仲裁和调解领域的问题:
Finalization and adoption of UNCITRAL rules on transparency in treaty-based investor-State arbitration;最后审定和通过贸易法委员会投资人与国家间基于条约仲裁透明度规则;
Consideration of instruments on the applicability of the UNCITRAL rules on transparency to the settlement of disputes arising under existing investment treaties;审议关于贸易法委员会透明度规则适用于解决现行投资条约下产生的争议的文书;
Preparation of a guide on the 1958 New York Convention;编拟1958年《纽约公约》指南;
International commercial arbitration moot competitions.国际商事仲裁模拟辩论赛。
Consideration of issues in the area of security interests:审议担保权益领域的问题:
Finalization and adoption of the Technical Legislative Guide on the Implementation of a Security Rights Registry;最后审定和通过关于落实担保权登记处的技术立法指南;
Progress report of Working Group VI;第六工作组进度报告;
Coordination in the field of security interests.在担保权益领域的协调。
Consideration of issues in the area of insolvency law:审议破产法领域的问题:
Finalization and adoption of revisions to the Guide to Enactment of the UNCITRAL Model Law on Cross-Border Insolvency;最后审定和通过对《贸易法委员会跨国界破产示范法颁布指南》的修订;
Finalization and adoption of legislative recommendations on directors’ obligations in the period approaching insolvency;最后审定和通过关于临近破产期间董事义务的立法建议;
Finalization and adoption of revisions to the UNCITRAL Model Law on Cross-Border Insolvency:最后审定和通过对《贸易法委员会跨国界破产示范法:
the Judicial Perspective;司法角度的审视》的修订;
Progress report of Working Group V.第五工作组进度报告。
Consideration of issues in the area of public procurement.审议公共采购领域的问题。
Online dispute resolution:网上解决争议:
progress report of Working Group III.第三工作组进度报告。
Electronic commerce:电子商务:
progress report of Working Group IV.第四工作组进度报告。
Technical assistance to law reform.法律改革技术援助。
Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts.促进可确保贸易法委员会法规统一解释和适用的方式方法。
Status and promotion of UNCITRAL legal texts.贸易法委员会各项法规的现状和推广。
Coordination and cooperation:协调与合作:
General;概述;
Reports of other international organizations;其他国际组织的报告;
International governmental and non-governmental organizations invited to sessions of UNCITRAL and its Working Groups.受邀参加贸易法委员会及其工作组届会的国际政府间组织和非政府组织。
UNCITRAL regional presence.贸易法委员会的区域存在。
Role of UNCITRAL in promoting the rule of law at the national and international levels.贸易法委员会在促进国内和国际法治方面的作用。
Planned and possible future work, including in the areas of arbitration and conciliation, commercial fraud, electronic commerce, insolvency law, international contract law, microfinance, online dispute resolution, public procurement and infrastructure development, including public-private partnerships, and security interests.计划开展和今后可能开展的工作,包括在仲裁和调解、商业欺诈、电子商务、破产法、国际合同法、小额金融、网上解决争议、公共采购和含公私伙伴关系在内的基础设施开发以及担保权益领域。
Relevant General Assembly resolutions.大会的有关决议。
Other business.其他事项。
Date and place of future meetings.今后会议的日期和地点。
Adoption of the report of the Commission.通过委员会的报告。
Adoption of the report通过报告
The Commission adopted the present report by consensus at its 965th meeting, on 11 July 2013, its 972nd meeting, on 17 July 2013, its 975th meeting, on 19 July 2013, and its 982nd and 983rd meetings, on 26 July 2013.在其2013年7月11日第965次会议、2013年7月17日第972次会议、2013年7月19日第975次会议和2013年7月26日第982和第983次会议上,委员会以协商一致方式通过了本报告。
Consideration of issues in the area of arbitration and conciliation三. 审议仲裁和调解领域的问题
Finalization and adoption of a revised version of the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration最后审定并通过《贸易法委员会投资人与国家间基于条约仲裁透明度规则》
Introduction修订本
The Commission recalled the decision made at its forty-first session, in 2008, and forty-third session, in 2010, namely that the topic of transparency in treaty-based investor-State arbitration should be dealt with as a matter of priority immediately after completion of the revision of the UNCITRAL Arbitration Rules.导言 13. 委员会回顾了委员会2008年第四十一届会议和2010年第四十三届会议作出的决定,即应当在完成对《贸易法委员会仲裁规则》的修订后立即作为一个优先事项处理投资人与国家间基于条约仲裁的透明度问题。
At its forty-third session, the Commission entrusted its Working Group II (Arbitration and Conciliation) with the task of preparing a legal standard on that topic.委员会在第四十三届会议上责成第二工作组(仲裁和调解)制订关于这个问题的法律标准。
At its forty-fourth session, in 2011, the Commission reiterated its commitment expressed at its forty-first session regarding the importance of ensuring transparency in treaty-based investor-State arbitration.在2011年第四十四届会议上,委员会重申了第四十一届会议就确保投资人与国家间基于条约仲裁的透明度的重要性所表示的承诺。
At its current session, the Commission had before it the reports of Working Group II (Arbitration and Conciliation) on the work of its fifty-seventh session, held in Vienna from 1 to 5 October 2012, and its fifty-eighth session, held in New York from 4 to 8 February 2013 (A/CN.9/760 and A/CN.9/765, respectively).在本届会议上,委员会收到了第二工作组(仲裁和调解)2012年10月1日至5日在维也纳举行的第五十七届会议和2013年2月4日至8日在纽约举行的第五十八届会议工作报告(分别为A/CN.9/760和A/CN.9/765)。
It also had before it the text of the draft UNCITRAL rules on transparency in treaty-based investor-State arbitration, as it resulted from the third reading of those rules, at the fifty-eighth session of the Working Group, and as contained in document A/CN.9/783.委员会还收到了贸易法委员会投资人与国家间基于条约仲裁透明度规则草案案文,该草案是工作组第五十八届会议三读这些规则后产生的,载于A/CN.9/783号文件。
The Commission took note of the summary of the deliberations on the rules on transparency that had taken place since the fifty-third session of the Working Group, held in Vienna from 4 to 8 October 2010.委员会注意到自工作组2010年10月4日至8日在维也纳举行的第五十三届会议以来关于透明度规则审议情况概要。
The Commission also took note of the comments on the rules on transparency and on the proposed amendments to the UNCITRAL Arbitration Rules (as revised in 2010) that had been submitted by Governments, as set out in document A/CN.9/787 and its addenda.委员会还注意到A/CN.9/787号文件及其增编所载各国政府提交的对透明度规则的评论以及对《贸易法委员会仲裁规则》(2010年修订本)建议修订案的评论。
Consideration of the draft UNCITRAL rules on transparency in treaty-based investor-State arbitration审议贸易法委员会投资人与国家间基于条约仲裁透明度规则草案
Draft article 1:第1条草案:
Scope of application适用范围
The Commission was reminded that, at its fifty-eighth session, the Working Group had expressed formal and unanimous support for a revised compromise proposal (A/CN.9/765, paras. 75 and 78), which included article 1, on the scope of application.委员会似应注意,工作组在第五十八届会议上对折中修订提案(A/CN.9/765,第75和78段)一致表示正式支持,其中载有关于适用范围的第1条。
On that basis, the Commission considered the drafting suggestions as contained in paragraphs 6 to 10 of document A/CN.9/783.在此基础上,委员会审议了A/CN.9/783 号文件第6至10段所载起草建议。
General概述
It was agreed to retain the structure and paragraph order of article 1.会议商定,保留第1条的结构和条款顺序。
Paragraph (2) chapeau; and new paragraph (9)第(2)款前导句;新的第(9)款
The Commission noted that paragraphs (1) and (2) addressed application of the rules on transparency to investor-State arbitration initiated under the UNCITRAL Arbitration Rules.委员会注意到,第(1)和(2)款涉及在《贸易法委员会仲裁规则》下提起的投资人与国家间仲裁的透明度规则的适用。
The application of the rules on transparency in conjunction with other arbitration rules was dealt with indirectly under paragraph (7).第(7)款间接处理适用透明度规则时与其他仲裁规则的关系问题。
For the sake of consistency with that provision, and to clarify that the rules on transparency could apply irrespective of the applicable arbitration rules, the Commission considered whether the words in brackets in paragraph (2), “[or (ii) in treaty-based investor-State arbitrations initiated under other arbitration rules or ad hoc]”, should be added in the chapeau of paragraph (2).为了与该款保持一致起见,同时也为了澄清不论适用什么仲裁规则仍可适用透明度规则,委员会似应审议是否应在第(2)款前导句中加上词语: “[或者㈡ 投资人与国家间基于条约的仲裁依照其他仲裁规则提起的或临时提起的]”。
The view was expressed that the rules on transparency should be available for use in all forms of arbitration, whether under the UNCITRAL Arbitration Rules, under the arbitration rules of arbitral institutions or in ad hoc arbitration.会上认为,透明度规则应当可为各种形式的仲裁使用,不论是根据《贸易法委员会仲裁规则》提起的仲裁,还是根据各仲裁机构的仲裁规则提起的仲裁或专案仲裁。
The Commission took note of submissions by arbitral institutions as contained in document A/CN.9/WG.II/WP.173, in which they had indicated that their institutional arbitration rules could operate in conjunction with the rules on transparency should the parties to the treaty or the disputing parties so decide.委员会注意到载于A/CN.9/WG.II/WP.173号文件中各仲裁机构提交的意见,其中表明,各自仲裁机构的仲裁规则是可以与透明度规则并行使用的,唯需条约缔约方或争议当事方作此决定。
The Commission agreed that, for the sake of clarity, the possible application of the rules on transparency in conjunction with other arbitration rules or in ad hoc arbitration ought to be expressly provided for in the rules on transparency.委员会商定,为明确起见,应当在透明度规则中就透明度规则可能与其他仲裁规则并行使用或者在临时仲裁中使用作出明确规定。
In support of that approach, it was further said that the mandate of UNCITRAL was to prepare a legal standard on transparency that could be applied universally, without limiting its application to arbitration under the UNCITRAL Arbitration Rules.支持这一做法的代表团进一步指出,委员会的任务授权是制定一部可以普遍适用的透明度法律标准,而不是将其适用范围限于在《贸易法委员会仲裁规则》下提起仲裁。
The Commission further agreed that the matter should not be addressed in paragraph (2), which distinguished between the application of the rules on transparency under existing treaties and the application of the rules under future treaties, in both cases when investor-State arbitration was initiated under the UNCITRAL Arbitration Rules.委员会进一步商定,这一事项不应放在第(2)款中处理,该款对在现行条约下适用透明度规则和在未来条约下适用透明度规则加以区别,在这两种情况下,投资人与国家间的仲裁都是在《贸易法委员会仲裁规则》下提起的。
It was agreed that different considerations applied with respect to other arbitration rules or in ad hoc proceedings.会议商定,对其他仲裁规则或者在专案程序中适用不同的考虑。
After discussion, the Commission agreed to include in article 1 a new paragraph, numbered paragraph (9), which would read as follows:经过讨论,委员会商定,在第1条中列入一新款,即第(9)款,内容如下:
“These Rules are available for use in investor-State arbitrations initiated under rules other than the UNCITRAL Arbitration Rules or in ad hoc proceedings”.“本《规则》可以在不是根据《贸易法委员会仲裁规则》而是根据其他规则提起的投资人与国家间的仲裁中使用,也可在专案程序中使用”。
A new sub-heading, “Application in non-UNCITRAL arbitrations”, would also be added.还将加上一个小标题: “在非贸易法委员会仲裁中的适用”。
It was clarified that that provision, which was designed to indicate the availability of the rules on transparency under other sets of arbitration rules or in ad hoc proceedings, would apply subject to party autonomy, namely when parties to the treaty or the disputing parties so agreed.会上澄清说,这一条文旨在表明透明度规则可在其他各套仲裁规则下使用或者在专案程序中使用,但其适用须以当事人意思自治为前提,即条约缔约方或争议当事方有此约定。
In line with that decision, it was agreed that the chapeau of paragraph (2) would read as follows:根据这一决定,会议商定,对第(2)款前导句修改如下:
“In investor-State arbitrations initiated under the UNCITRAL Arbitration Rules pursuant to a treaty concluded before (date of coming into effect of the Rules on Transparency), these Rules shall apply only when:”.“投资人与国家间的仲裁根据(《透明度规则》生效日期)之前订立的条约在《贸易法委员会仲裁规则》下提起的,本《规则》仅在下列情况下适用:
Paragraph (2)(b)第(2)款(b)项
It was suggested that the term “home State of the investor” in paragraph (2)(b) was unusual and could raise arguments on jurisdiction and nationality in relation to the application of the rules on transparency.会上提出,第(2)款(b)项中“投资人母国”的提法不同寻常,有可能在适用透明度规则时引起管辖权和国籍方面的争议。
In that respect, a suggestion was made to replace the phrase “in the case of a multilateral treaty, the home State of the investor and the respondent State” with the phrase “in the case of a multilateral treaty, the relevant parties”.为此提议,将“涉及多边条约的,投资人母国和被申请国”改为“涉及多边条约的,有关当事方”。
In response, it was said that the phrase “the relevant parties” would not be suitable in relation to proceedings initiated under multilateral treaties such as the Energy Charter Treaty, in which identifying the “relevant parties” might be difficult and in which use of the criterion of “respondent State” would be more straightforward.对此指出,“有关当事方”这样的用语并不适合在《能源宪章条约》这样的多边条约下提起的程序,按该条约,可能难以认定“相关当事各方”,而“被申请国”这一标准则在适用上更加直接。
It was decided to retain the phrase “respondent State”.会议决定保留“被申请国”这一用语。
In order to achieve a more neutral outcome, and the one presumably intended by the reference to the “home State of the investor”, it was proposed to replace that phrase with “the State of the claimant”. It was said that such wording:为了取得比较中性的结果,以及“投资人母国”这种提法可能想要达到的效果,会上提议,将这一用语改为“申请人所属国”。
avoided the need to make a determination based on jurisdiction or nationality by referring to the State under which the claimant had invoked the treaty protection; and (b) avoided the risk of issues arising in relation to the phrase “investor” and whether, for example, there had been a qualifying investment.会上指出,这样的措词㈠ 因提及给与申请人条约保护的国家而避免了依据管辖权或国籍作出判定;㈡ 避免了就“投资人”一词以及是否有符合条件的投资等等而可能引起的问题。
It was said that, while such issues might be raised at a jurisdictional phase of proceedings, it was not intended that they should be invoked in relation to the application of the rules on transparency.会上指出,虽然可以在确定管辖权的程序阶段提出这样的问题,但本意并不是就适用透明度规则援用这种问题。
After discussion, the Commission agreed to replace the words “the home State of the investor” in paragraph (2)(b) with the words “the State of the claimant”.经过讨论,委员会商定,将第(2)款(b)项中“投资人母国”改为“申请人所属国”。
Paragraph (3)(b)第(3)款(b)项
It was said that the language “whilst not undermining the transparency objective of the Rules” in paragraph (3)(b) could be reframed in a more positive and neutral manner.会上指出,可以用更积极、更中性的措词来重拟第(3)款(b)项中的短语“而同时不损害本《规则》的透明度的目标”。
A proposal was made to replace the words “whilst not undermining” with “achieving”.会上提议将“而同时不损害”改为“实现”。
A second proposal was made to replace the phrase “whilst not undermining” with the phrase “and is consistent with”, such that paragraph (3)(b) would read:另一项建议是将“而同时不损害”改为“与…相一致”,这样第(3)款(b)项就变成:
“(b) The arbitral tribunal shall have the power, beside its discretionary authority under certain provisions of these Rules, to adapt the requirements of any specific provision of these Rules to the particular circumstances of the case if such adaptation is necessary to conduct the arbitration in a practical manner and is consistent with the transparency objective of these Rules”.“(b)除本《规则》某些条款赋予仲裁庭的裁量权之外,仲裁庭还应有权力调整本《规则》任何特定条款的要求,使之适合案件特殊情况,但此种调整应是以务实方式进行仲裁所必需的,并且是与本《规则》的透明度目标相一致的。
It was agreed that it was desirable to avoid the value judgement attached to words such as “achieving” or “undermining”.” 31. 一致认为,应当避免“实现”或“损害”等词语所涉及的价值判断。
Consequently, it was agreed to adopt the phrase “and is consistent with”.因此商定采用“与…相一致”一语。
It was furthermore agreed that paragraph (3)(b) should be made consistent with other provisions in the rules that gave the arbitral tribunal power or discretion after consultation with the disputing parties.还一致认为,应使第(3)款(b)项与规则中规定仲裁庭经与争议当事各方协商后享有的权力或裁量权的其他条款相一致。
The location of such wording in paragraph (3)(b) was left open for further consideration.第(3)款(b)项中此类措词的位置有待进一步审议。
It was also said that, if such consultation by the arbitral tribunal was intended, the rules should expressly so state, and the Secretariat was requested to review the text of the rules in its entirety and ensure consistency in that respect.还指出,如果用意在于仲裁庭进行此类协商,那么,规则中应当明文如此规定。 会议请秘书处审查规则通篇案文,确保在这方面保持一致。
Further to that review and the clarification that, throughout the rules on transparency, wherever it was intended that the arbitral tribunal should consult with disputing parties, that fact was explicitly specified, it was agreed that the words “after consultation with the disputing parties” would be included in paragraph (3)(b) after the words “to the particular circumstances of the case”.在经过审查并澄清透明度规则通篇凡意在要求仲裁庭与争议各方协商之处均已作了明确规定之后,一致同意第(3)款(b)项中“调整任何特定条款的要求”一语之前添加“经与争议当事各方协商后”的字样。
Footnotes脚注
It was suggested to amend the footnotes to article 1, paragraph (1), in order to ensure that the term “treaty providing for the protection of investments or investors” could also be applied to territories that might be treaty parties but that would not fall under the definition as currently drafted.提议修改第1条第(1)款的脚注,以确保“为投资或投资人提供保护的条约”一语也可适用于可能是条约缔约方但不属于目前措词的定义范畴的领土。
As part of that proposal, it was suggested to remove the definition in the second footnote of “‘party to the treaty’ or ‘State’”.作为该项建议的一部分,还建议去掉第二个脚注中“条约缔约方”或“国家”的定义。
In response, it was recalled that the word “State” was used throughout the rules and that therefore a second footnote to paragraph (1) was necessary in order to ensure, inter alia, that regional economic integration organizations were included within that definition.为此回顾,规则通篇使用“国家”一词,因此第(1)款第二个脚注是必要的,有助于除其他以外确保区域经济一体化组织纳入该定义的范畴之内。
Another suggestion was made to align the definition of “treaty providing for the protection of investments or investors” in the first footnote more closely with the definition of a “treaty” in the Vienna Convention on the Law of Treaties, with necessary adaptation for the purpose of the rules on transparency.另一项建议是使第一个脚注中“为投资或投资人提供保护的条约”的定义与《维也纳条约法公约》中“条约”的定义更加一致,并为透明度规则目的作必要修改。
A subsequent proposal was made to amend the first footnote so that it would read as follows:随后提出的一项建议是修改第一个脚注,从而其内容如下:
“For the purpose of the Rules on Transparency, a ‘treaty’ shall be understood broadly as encompassing any bilateral or multilateral treaty that contains provisions on the protection of investments or investors and a right for investors to resort to arbitration against parties to the treaty, including any treaty commonly referred to as a free trade agreement, economic integration agreement, trade and investment framework or cooperation agreement, or bilateral investment treaty.”“就《透明度规则》而言,‘为投资或投资人提供保护的条约’应广义理解为涵盖其中载有保护投资或投资人以及投资人对条约缔约方诉诸仲裁的权利这些规定的任何双边或多边条约,包括通常被称为自由贸易协定、经济一体化协定、贸易和投资框架或合作协定或者双边投资条约的任何条约。
That proposal was accepted, and it was agreed that the language contained in paragraph ‎37 above would replace the first footnote.” 38. 该建议得到接受,一致同意用上文第37段中的措词代替第一个脚注。
In addition, as the definition in the footnote referred to the term “treaty”, instead of the phrase “treaty providing for the protection of investment or investors”, it was agreed to move the footnote reference in the text of paragraph (1) to appear after the word “(‘treaty’)”.此外,由于脚注中的定义提及“条约”而非“为投资或投资人提供保护的条约”一语,因此一致同意将第(1)款案文中的脚注符号移至“(‘条约’)”一词之后。
In relation to the second footnote, it was agreed that the word “a” should be added before the word “State” and that the words “applies equally to” should be replaced with the words “includes, for example, a”.关于第二个脚注,会议商定,在“国家”之前添加“一个”,并将“同样适用于”改为“包括例如一个”。
Adoption of article 1通过第1条
With the modifications agreed and reflected under paragraphs 16 to 39 above, the Commission adopted the substance of article 1.在作出上文第16至39段所述商定的修改之后,委员会通过了第1条的实质内容。
Draft article 2:第2条草案:
Publication of information at the commencement of arbitral proceedings在仲裁程序启动时公布信息
It was suggested that a control mechanism might need to be included in article 2 in order to provide for some discretion on the part of the repository institution when a disputing party contested the applicability of the rules, or when a frivolous or abusive claim was initiated.会议提议,第2条需要纳入一个控制机制,以便规定在争议当事方对规则的适用性提出质疑或者在提出无依据的请求或过份请求的情况下,存储机构有一定的裁量权。
It was also said that such a mechanism might be included in guidelines for the repository.还指出这类机制可纳入存储处准则中。
It was recalled that article 2 deliberately restricted information to be published at the notice stage to the factual information listed in that article in order to ensure that the role of repository was one that did not require discretion or decision-making.会上回顾,第2条有意将通知阶段须公布的信息局限于本条所列的事实信息,以确保存储处并不发挥需要裁量或作出决定的作用。
Any disagreement between disputing parties would then be resolved by the arbitral tribunal before further documents were sent to the repository. The Commission expressed its understanding that the repository was indeed expected, upon receipt of information, to publish that information according to the rules.争议当事方之间的任何分歧意见由此将通过仲裁庭解决,之后才将进一步的文件交送存储处委员会表示其理解是确实预期,存储处在收到信息之后按照规则公布信息。
Adoption of article 2通过第2条
After discussion, the Commission adopted the substance of article 2.经过讨论,委员会通过了第2条的实质内容。
Draft article 3:第3条草案:
Publication of documents文件的公布
Paragraph (3)第(3)款
It was considered whether to retain the text contained in square brackets in paragraph (3).审议了是否保留第(3)款方括号内的案文。
It was said that, while as a legal matter that text, which provided an example as to how the arbitral tribunal might make information available under that paragraph, was not necessary, it did provide useful guidance to arbitral tribunals.会上指出,案文举例说明仲裁庭如何提供本款所列信息,虽然作为法律事项该案文并无必要,但它确实为仲裁庭提供了有益的指导。
After discussion, it was agreed that the text should be retained and the square brackets deleted.经过讨论,会议商定,保留该案文并去掉方括号。
Paragraph (5)第(5)款
It was said that the current text of paragraph (5) was not sufficiently clear.会上指出,第(5)款目前的案文不够清晰。
It was furthermore said that paragraph (5) should encompass only requests made under paragraph (3) of article 3, and not requests made under paragraph (2), since documents falling under the latter category would be automatically published in any event.还指出,第(5)款应当仅涵盖根据第3条第(3)款提出的请求,而不涵盖根据第(2)款提出的请求,因为后一类文件在任何情况下都将自动公布。
After discussion, the Commission agreed on the following drafting proposal in relation to paragraph (5):经过讨论,委员会就与第(5)款有关的下述起草建议达成一致意见:
“A person granted access to documents under paragraph 3 shall bear any administrative costs of making those documents available to that person, such as the costs of photocopying or shipping documents to that person, but not the costs of making those documents available to the public through the repository”.“根据第3款获准查阅文件的人应负担向其提供这些文件的相关行政管理费,如文件影印费和向其运送文件的费用,但不包括通过存储处向公众提供这些文件的费用。
It was said that the repetition of the words “that person” was necessary in order to clarify that the relevant costs to be borne were limited to the costs of making those documents available to the person making that request, and did not include, for example, the photocopying or shipping costs relating to delivering documents to the registry.” 48. 指出使用“其”字是必要的,有助于澄清所承担的相关费用限于向提出请求的人提供这些文件的费用,而不包括例如与将文件交给登记处有关的影印费或运送费。
Adoption of article 3通过第3条
One delegation expressed concerns that article 3 opened the door to the publication of large volumes of documentation requiring redaction, which it said might considerably increase the costs and length of investment arbitration proceedings.一个代表团担心第3条打开了公布大量需要校订的文件之门,指出这可能会大大增加投资仲裁程序的费用和时间。
After discussion, the Commission adopted the substance of article 3 as modified by paragraphs 44 to 48 above.经过讨论,委员会通过了经上文第44至48段修改的第3条的实质内容,只是可能在以后阶段审议与第(5)款有关的起草事宜。
Draft article 4:第4条草案:
Submission by a third person第三人提交材料
Paragraph (2)第(2)款
As a matter of drafting, it was agreed that the words “such” and “as may be” in the chapeau of paragraph (2) would be deleted.作为措词问题,一致同意删除第(2)款前导句中“such”和“as may be”词语(中文不适用)。
It was also agreed to replace the words “such as, for example, funding around 20 per cent of its overall operations annually” with the following:还一致同意将“例如,为第三人全年经营总费用注资约20%”改为如下:
“(e.g. funding around 20 per cent of its overall operations annually)”.“(例如,为第三人全年经营总费用注资约20%)”。
Paragraph (3)第(3)款
It was suggested to align the language of paragraph (3) with the wording of the second sentence of article 5, paragraph (2), and therefore to replace the words “In determining whether to allow such a submission” in article 4, paragraph (3), with the words “In exercising its discretion to allow such submissions”.建议调整第(3)款的措词,使之与第5条第(2)款第二句的措词相一致,这样,第4条第(3)款中“仲裁庭在确定是否允许提交此类材料时”一语将改成“在行使裁量权决定是否允许提交此种材料时”。
In response, it was said that the purpose of those paragraphs was different.对此,指出这些款项的目的有所不同。
Article 5, paragraph (2), granted arbitral tribunals discretion in relation to whether to accept submissions, while article 4, paragraph (3), enumerated a list of factors that the arbitral tribunal should take into consideration in its determination of whether to allow a submission.第5条第(2)款赋予仲裁庭是否接受提交材料的裁量权,而第4条第(3)款列举了仲裁庭在确定是否允许提交材料时应当考虑的一系列因素。
Consequently, it was agreed that the wording of article 4, paragraph (3), should not be amended, and the substance of article 4, paragraph (3), was adopted in the form set out in paragraph 17 of document A/CN.9/783.因此,商定不应当修改第4条第(3)款的措词,第4条第(3)款的实质内容按A/CN.9/783号文件第17段所载的原样得以通过。
Paragraphs (5) and (6)第(5)款和第(6)款
It was agreed to replace the phrase “the submission” in both paragraphs (5) and (6) with the phrase “any submission” for the sake of consistency with the mirroring provisions of article 5, paragraphs (4) and (5).商定将第(5)款和第(6)款中“提交的材料”改成“任何提交材料”,以便与第5条第(4)款和第(5)款的相应条款相一致。
Adoption of article 4通过第4条
After discussion, the Commission adopted the substance of article 4, with the modifications agreed under paragraphs 51 to 55 above.经过讨论,在作出上文第51至55段商定的修改后,委员会通过了第4条的实质内容。
Draft article 5:第5条草案:
Submission by a non-disputing party to the treaty非争议方条约缔约方提交材料
Paragraphs (1) and (2)第(1)款和第(2)款
As a matter of drafting, it was agreed to change the word “accept” in paragraphs (1) and (2) to the word “allow”, to promote consistency with the terminology used in article 4.作为措词问题,一致同意将第(1)款和第(2)款中“接受”一词改为“允许”,以增进与第4条所用术语的一致性。
Paragraph (2)第(2)款
Concerns were expressed that, under paragraph (2), there would be a risk that the submission by the non-disputing party to the treaty might come very close to relying on diplomatic protection.担心根据第(2)款会产生一种风险,即非争议方条约缔约方的提交材料很可能非常接近于依仗外交保护。
It was clarified that that risk pertained only to paragraph (2).澄清说,这种风险仅涉及第(2)款。
It was pointed out that paragraph (1) was addressing submissions on issues of treaty interpretation from a non-disputing party to the treaty.指出第(1)款处理非争议方条约缔约方就条约解释问题提交的材料。
Regarding treaty interpretation, it was said that the non-disputing party to the treaty might bring a perspective on the interpretation of the treaty, including access to the travaux préparatoires, which might not be otherwise available to the arbitral tribunal, thus avoiding one-sided interpretations limited to the respondent State’s contentions.关于条约的解释,指出非争议方条约缔约方可能对条约的解释带来一个新的观察角度,包括可以查阅仲裁庭本来可能无法获得的准备工作文件,从而避免局限于被申请国争论点的单方面解释。
In relation to paragraph (2), it was clarified that that paragraph was not meant to allow submissions that would support the claim of the investor in a manner tantamount to diplomatic protection.关于第(2)款,澄清说该条文无意允许提交以相当于外交保护的方式支持投资人申请的材料。
One delegation said that the word “tantamount” might not give the arbitral tribunal sufficient guidance.一个代表团说,“相当于”一词可能无法给仲裁庭足够的指导。
That view was not shared.这一观点未获得会议赞同。
Some delegations supported leaving paragraph (2) unamended.一些代表团支持对第(2)款不作修改。
Other delegations supported either deleting paragraph (2) or including express language to clarify that such a provision should not permit a State to provide arguments in an arbitration in support of an investor who was a national of that State, which would go beyond the intended scope of that provision and amount to diplomatic protection.另一些代表团支持要么删除第(2)款,要么纳入明确的措词,澄清该条文不应当允许一国在仲裁中提出论点支持作为该国国民的投资人,因为那将超出该条文的预期范围,相当于外交保护。
A proposal was made in that respect to add, at the end of paragraph (2), the following text:就此建议在第(2)款结尾处添加下述案文:
“, and the need to avoid submissions by a non-disputing party which would support the claim of the investor in a manner which would be tantamount to diplomatic protection”.“,需要避免由非争议方缔约方提交材料,以相当于外交保护的方式支持投资人的申请”。
Delegations expressed differing views in relation to whether the purpose of that language was in fact covered under article 4, paragraph (3)(b), of the rules, to which article 5, paragraph (2), was in any event subject.各代表团就该措词的目的是否事实上已为规则第4条第(3)款(b)项所涵盖发表了不同意见,无论如何,第5条第(2)款应以该项规定为前提。
After discussion, the Commission expressed the view that, even if that matter was already covered under article 4, paragraph (3)(b), it would be useful, for the avoidance of doubt, to include a specific provision on that matter in article 5, paragraph (2).经过讨论,委员会认为,即使此事已经为第4条第(3)款(b)项所涵盖,但为避免疑问,在第5条第(2)款纳入关于此事的具体条文也是有益的。
In that light, an alternative proposal was made to include, at the end of paragraph (2), a new sentence as follows:鉴于此,提出了一项替代建议,即在第(2)款结尾处新增一句如下:
“For the avoidance of doubt, in exercising its discretion to allow such submissions, the arbitral tribunal shall take into consideration the need to avoid submissions by a non-disputing party which would support the claim of the investor in a manner which would be tantamount to diplomatic protection.“为避免疑问,仲裁庭在行使裁量权允许提交此类材料时,应当考虑到需要避免由非争议方缔约方提交材料,以相当于外交保护的方式支持投资人的申请”。
” The Commission agreed to consider that proposal further at a later stage.委员会同意在稍后阶段进一步审议该建议。
After further consideration of the matter, the Commission agreed that the following phrase would be added at the end of paragraph (2):在进一步审议这一事项后,委员会商定,在第(2)款结尾添加以下词语:
“, and, for greater certainty, the need to avoid submissions which would support the claim of the investor in a manner tantamount to diplomatic protection”.“,以及为更确定起见,避免提交以相当于外交保护的方式支持投资人申请的材料的必要性”。
The Commission considered that the opening words of article 4, paragraph (3), and article 5, paragraph (2), could in fact be harmonized, because it was said that the reasoning set out in paragraphs 53 and 54 above no longer applied in the light of that amendment.根据这一修改意见,委员会认为,第4条第(3)款的开头语和第5条第(2)款的开头语其实可以统一起来,因为据指出,鉴于所做的修订,上文第53和54段提出的理由已不再适用。
The Commission reviewed paragraph 40 of document A/CN.9/760 in that respect but agreed that, when an arbitral tribunal was called upon in the rules to exercise its discretion, as a matter of fact, the criteria in article 1, paragraph (4), were plainly brought into application regardless of whether the rules used the term “discretion”.委员会为此再次查看了A/CN.9/760号文件第40段,但一致认为,当规则要求仲裁庭行使其裁量权时,事实上,第1(4)条中的标准已明确被援引采用,而无论规则中是否使用了“裁量权”一词。
The Commission agreed that the words “In exercising its discretion to accept such submissions” in article 5, paragraph (2), would be replaced with the phrase “In determining whether to allow such submissions”.委员会商定,将第5条第(2)款中的词语“在行使裁量权接受此种提交材料时”改为“在确定是否允许提交此类材料时”。
Adoption of article 5通过第5条
After discussion, the Commission adopted the substance of article 5, with the modifications agreed under paragraphs 57 to 64 above.经过讨论,委员会通过了第5条的实质内容,连同上文第57至64段中商定的修改意见。
Draft article 6:第6条草案:
Hearings审理
The Commission was reminded that, at its fifty-eighth session, the Working Group had expressed formal and unanimous support for the revised compromise proposal that included article 6, on open hearings.提醒委员会注意,工作组在第五十八届会议上对折中修订提案一致表示正式支持,其中载有关于公开审理的第6条。
In response to a concern that article 6 might be ambiguous in relation to whether disputing parties could agree to close hearings, it was clarified that the principle set forth in paragraph (1) was that hearings were public, subject only to paragraphs (2) and (3) of article 6.一项关切是,第6条草案对于争议各方可否协议终止审理一事未作明确规定,对此,澄清说第(1)款所载原则是审理公开举行,只有第6条第(2)款和第(3)款规定的情形除外。
It was recalled that the question of whether disputing parties could agree to close hearings was considered at length by the Working Group, which had not accepted that proposal.回顾工作组对于争议各方可否协议终止审理的问题曾作详细审议,工作组未接受该建议。
It was pointed out that article 6 should be considered in the light of the provisions of article 1.指出应当结合第1条的规定审议第6条。
Adoption of article 6通过第6条
After discussion, article 6 was adopted in substance without modification.经过讨论,未作修改通过了第6条的实质内容。
Draft article 7:第7条草案:
Exceptions to transparency透明度的例外情形
The Commission was reminded that, at its fifty-eighth session, the Working Group had expressed formal and unanimous support for the revised compromise proposal that included article 7, on exceptions to transparency.提醒委员会注意,工作组在第五十八届会议上对折中修订提案一致表示正式支持,其中载有关于透明度的例外情形的第7条。
It was further recalled that the Working Group had agreed to limit the exceptions to transparency to the protection of confidential or protected information (article 7, paragraphs (1) to (5)) and the protection of the integrity of the arbitral process (article 7, paragraphs (6) and (7)) (A/CN.9/765, paras. 75 and 78).还回顾工作组同意将透明度的例外情形限于保护机密信息或受保护信息(第7条第(1)款至第(5)款)和保护仲裁过程完整性(第7条第(6)款和第(7)款)(A/CN.9/765,第75和78段)。
General概述
It was agreed to retain the structure and paragraph order of article 7.商定保留第7条的结构和款项的顺序。
“Third persons” — “Non-disputing parties” — “Public”“第三人” — “非争议方缔约方” — “公众”
A suggestion was made to delete the phrase “non-disputing parties to the treaty” from paragraphs (1), (3) and (5) on the basis that the phrase “the public” was sufficiently broad.一项建议是从第(1)款、第(3)款和第(5)款中删除“非争议方缔约方”一语,理由是“公众”一词已足够广泛。
The Commission expressed the understanding that the term “the public” as used in the rules was a generic one, which was intended to include within its ambit “third persons”, as referred to under article 4, and “non-disputing parties”, as referred to under article 5.委员会表达了以下理解,即规则中所用的“公众”一语是一个笼统术语,其范围意在包括第4条提到的“第三人”和第5条提到的“非争议方缔约方”。
The Commission considered whether there was a need to clarify that understanding in the rules, by way of a footnote or in the text of the rules itself.委员会审议了是否需要以脚注方式或在规则本身的案文中澄清这种理解。
In response, it was said that information made available to the public would be published on the website of the repository, and that by implication the term “the public” must include both “third persons” and “non-disputing parties”.对此,指出向公众提供的信息将在存储处网站公布,不言而喻“公众”一语必然包括“第三人”和“非争议方缔约方”。
After discussion, the Commission agreed that the term “the public” was a generic term, which, when used in the rules, included also both third persons and non-disputing parties.经过讨论,委员会一致同意“公众”一语是一个笼统术语,用于规则中时也包括第三人和非争议方缔约方。
Consequently, it was agreed to adopt the suggestion set out in paragraph 71 above.因此,商定采纳上文第71段中所载的建议。
Paragraph (3)第(3)款
A suggestion was made to place the last sentence of paragraph (3) at the beginning of that paragraph.一项建议是将第(3)款最后一句放在该款开头处。
That proposal did not receive support for the reason that the last sentence of the provision was meant to address the specific situation of parties not agreeing on the redaction of confidential or protected information.这项建议未得到支持,理由是条文最后一句意在处理当事各方未就检禁机密信息或受保护信息达成一致意见的特殊情形。
For the sake of drafting consistency, the Commission agreed to replace the word “in” appearing before the word “consultation” in the chapeau of paragraph (3) with the word “after”.为措词一致性起见,委员会同意将第(3)款前导句中“consultation”一词之前的“in”改为“after”。
Paragraph (5)第(5)款
A suggestion was made to add the words “public interest or” before the words “security interest” for the reason that the term “public interest” was more commonly used in certain jurisdictions than the term “security interest”.一项建议是在“安全利益”之前添加“公众利益”,理由是在某些法域“公众利益”比“安全利益”更为常用。
That proposal did not receive support.这项建议未得到支持。
Adoption of article 7通过第7条
After discussion, the Commission adopted the substance of article 7, with the modifications agreed under paragraphs 70 to 76 above.经过讨论,在作出上文第70至76段商定的修改之后,委员会通过了第7条的实质内容。
Draft article 8:第8条草案:
Repository of published information已公布信息存储处
The Commission recalled the unanimous decision of the Working Group that the UNCITRAL secretariat was the natural and preferred choice to undertake the role of a repository of information under the rules.委员会回顾了工作组一致作出的决定,即贸易委员会秘书处理所当然是履行根据规则所规定的信息存储处职责的首选。
It was said that the United Nations, as a neutral and universal body, and its secretariat, as an independent organ under the Charter of the United Nations, should be expected to undertake the core functions of a repository under the rules on transparency, as a public administration directly responsible for the servicing and proper operation of its own legal standards.会上指出,联合国是一个中立和普遍机构,联合国秘书处则是《联合国宪章》下的一个独立机关,因此,理当履行透明度规则存储处的核心职能,存储处是一个公共管理机构,对其自身法律标准的服务和适当运作直接负责。
The Commission expressed its strong and unanimous opinion that the UNCITRAL secretariat should fulfil the role of a transparency repository.委员会对由贸易委员会秘书处履行透明存储处职责表示了强烈的一致意见。
The Commission emphasized that the work of UNCITRAL was crucial for the promotion of the rule of law at the national and international levels, and that legislative standards elaborated by UNCITRAL directly contributed to the promotion of sustainable development.委员会强调,贸易法委员会的工作对促进国家和国际一级的法治至关重要,贸易法委员会所拟订的各种立法标准对促进可持续发展作出了直接贡献。
In that regard, it was stated that the aim of the transparency repository was the promotion of economic development and welfare.这方面指出,透明存储处的目的是促进经济发展和福利。
The Commission expressed agreement that transparency was a main value of good governance and of the rule of law and that therefore its work in that field promoted the welfare of developing countries.委员会一致认为,透明度是良好治理和法治的主要价值观,因此,委员会在这一领域的工作促进了发展中国家的福祉。
It was also noted that the mention of the United Nations on the list of the international organizations eligible for official development assistance covered UNCITRAL, as a permanent commission of the General Assembly of the United Nations.还指出,官方发展援助合格国际组织名单提及联合国也包括了作为联合国大会常设委员会的贸易法委员会。
The Commission mandated the Secretariat to seek, through the Fifth and Sixth Committees of the General Assembly, the funding necessary to enable it to undertake the role of transparency repository.委员会责成秘书处通过大会第五和第六委员会寻求必要的资金,以便使秘书处能够履行透明存储处职责。
Several delegations indicated that the request for additional funding of the UNCITRAL secretariat should be made on a cost-neutral budgetary basis in relation to the United Nations regular budget.几个代表团表示,应当在联合国经常预算费用不作增减的预算基础上提出为贸易法委员会秘书处增加资金的请求。
The Commission agreed that the date of coming into effect of the rules on transparency would be 1 April 2014, that date having been chosen to allow the Secretariat sufficient time to seek regular budget or extrabudgetary funding to fulfil the mandate set out in paragraph 79 above.委员会商定,透明度规则的生效日期是2014年4月1日,选择这一日期是为了使秘书处有足够的时间为履行上文第79段所阐明的任务而寻求经常预算资金或预算外资金。
After discussion, the Commission agreed that article 8 of the rules would be amended to read:经过讨论,委员会商定对规则第8条修改如下:
“The repository of published information under the Rules on Transparency shall be the Secretary-General of the United Nations or an institution named by UNCITRAL”.“《透明度规则》下的已公布信息存储处应是联合国秘书长或贸易法委员会指定的机构”。
It was said that that wording would permit, in the event the UNCITRAL secretariat was not able to obtain funding from the General Assembly or extrabudgetary funding prior to the coming into effect of the rules on transparency on 1 April 2014, another institution, designated by the Commission at its current session, to undertake the repository function until such time as the UNCITRAL secretariat did obtain the necessary resources.会上指出,假如贸易法委员会秘书处无法在2014年4月1日透明度规则生效之前从大会获得资金或者预算外资金,这样的措词将允许由委员会本届会议指定的另一机构履行存储处职能,直至贸易法委员会的确获得必要资源之时为止。
It was emphasized that any other institution designated by the Commission to undertake the repository function in those circumstances would be doing so on a temporary, “backup” basis, and only until the UNCITRAL secretariat had obtained the requisite resources.会上强调,委员会指定的在这些情况下负责履行存储处职能的其他任何机构都必须在临时“备份”基础上履行这一职能,而且只能延续到贸易法委员会秘书处获得必要资源为止。
It was clarified that any institution would, upon notice by the UNCITRAL secretariat that it had obtained the necessary resources, provide all data it held or published in relation to functioning as a repository, cease to perform the functions of a repository at that time, and do so at no cost to UNCITRAL and its secretariat.澄清说,接到贸易法委员会秘书处关于贸易法委员会秘书处已获得必要资源的通知后,任何机构都将提供其保持或公布的与存储处职能有关的一切数据,自该时起停止履行存储处职能,并且不能为此向贸易法委员会及其秘书处收取费用。
It was recalled that two institutions, the International Centre for Settlement of Investment Disputes (ICSID) and the Permanent Court of Arbitration (PCA), had expressed willingness to act as a repository should the UNCITRAL secretariat not have the resources to do so.会上回顾,两个机构——解决投资争端国际中心(解决投资争端中心)和海牙常设仲裁法院(常设仲裁院)均已表示愿意在贸易法委员会秘书处未获得这方面资源的情况下充当存储处。
The International Centre and PCA both reaffirmed their willingness to undertake that function.国际中心和常设仲裁院都再次确认了履行这一职能的意愿。
Each institution separately confirmed to the Commission that it was willing to do so on a temporary basis, and to return data to the UNCITRAL secretariat at no cost upon confirmation from the UNCITRAL secretariat that it had obtained the relevant resources to fulfil the mandate of the Commission to undertake that role.这两个机构还分别向委员会确认,它们愿意在临时基础上履行这一职能,一经确认贸易法委员会秘书处已获得有关资源执行委员会要求其履行该职能的任务,即免费向贸易法委员会秘书处退还数据。
The Commission highly commended PCA and ICSID, both for the quality of the work of their respective institutions in the field of investment arbitration and for the support they had shown for the work of the Working Group and their contributions thereto, as well as their support of the functions of a transparency repository and their willingness to support that work should the UNCITRAL secretariat not have the resources to do so.委员会高度赞扬常设仲裁院和解决投资争端中心各自在投资仲裁领域中所做的高质量工作和它们对工作组工作所表示的支持以及它们对工作组工作所作出的贡献,同时还高度赞扬它们对透明存储处职能所给予的支持以及它们愿意在贸易法委员会秘书处未获得这方面资源的情况下支持这项工作。
Having expressed its gratefulness for the offers of both institutions and the technical quality of such offers, the Commission emphasized that it expected any institution that might be called upon to serve as a repository on a temporary basis to work closely with the UNCITRAL secretariat and, as required, with the other institution.在对这两个机构的提议以及此种提议的技术质量表示感谢之后,委员会强调,委员会希望任何可能被要求履行临时存储处职能的机构与贸易法委员会秘书处以及必要情况下与另一机构密切合作。
The Permanent Court and ICSID proceeded to present their respective technical capabilities in relation to fulfilling the role of transparency repository.接下来,常设仲裁院和解决投资争端中心介绍了各自履行透明存储处职能的技术能力。
Both institutions referred to letters they had made available to delegations in order to set out their capabilities in a more detailed written form.这两个机构提到它们提供给各代表团的信函,信函以更为详细的书面形式说明了这两个机构的能力。
Presentation by the institutions这两个机构所作的情况介绍
The Deputy Secretary-General of PCA made a presentation and indicated that PCA was an intergovernmental organization founded in 1899 pursuant to the Convention for the Pacific Settlement of International Disputes, which was revised in 1907.常设仲裁院副秘书长作了介绍,并表示常设仲裁院是1899年根据《和平解决国际争端公约》(后于1907年修订)建立的政府间组织。
The two founding conventions of PCA specified that PCA was to remain available at all times and to all States, whether or not they had signed one of its founding conventions.创建常设仲裁院的两个公约规定,所有国家不论是否签署创建常设仲裁院的任何一项公约,随时都可使用常设仲裁院。
The cooperation of PCA with UNCITRAL was long-standing.常设仲裁院与贸易法委员会的合作渊远流长。
It was the designator of appointing authorities under the 1976 and 2010 UNCITRAL Arbitration Rules and had acted in that capacity in over 500 cases.常设仲裁院是1976年和2010年《贸易法委员会仲裁规则》中指派当局的指定机构,并在500多起案件中担任了这一职责。
In the past 10 years, PCA had also been asked to provide administrative support in the majority of known investment treaty arbitrations initiated under the UNCITRAL Arbitration Rules, and currently administered an estimated two thirds of known investor-State disputes under the UNCITRAL Arbitration Rules.过去十年当中,在根据《贸易法委员会仲裁规则》提起的大多数已知投资条约仲裁中,还请求常设仲裁院提供行政方面的支持,目前,《贸易法委员会仲裁规则》下的已知投资人与国家间争议估计约有三分之二是由常设仲裁院管理的。
In connection with its existing role as an archive for a growing number of public arbitrations, PCA was developing an upgraded database and search engine for case information on its website.关于常设仲裁院现在为日益增多的公共仲裁发挥的存档作用,常设仲裁院目前正在其网站上开发案例信息升级版数据库存和搜索引擎。
That project was already fully funded and could be adapted to any specific needs identified by UNCITRAL for the repository.这个项目已获得充足资金,可以适合贸易法委员会为存储处确定的任何具体需要。
Should UNCITRAL itself be unable to fulfil the role of transparency repository under the rules on transparency, PCA indicated its willingness to take on that role, including on an interim basis.假如贸易法委员会无法自己履行透明度规则规定的透明存储处的职能,常设仲裁院已表示愿意担当这一职责,包括在临时基础上履行这一职责。
The International Centre summarized its capacity to act as the transparency repository in a letter of 1 July 2013, circulated to attendees.国际中心在2013年7月1日分发给出席者的信函中概要介绍了该中心担任透明存储处的能力。
In short, ICSID indicated that it:简言之,解决投资争端中心表示如下:
Was a member of the World Bank Group, which was a United Nations specialized agency and thus part of the United Nations system;该中心是世界银行集团的成员,而世界银行集团是联合国的一个专门机构,因而也是联合国系统的一部分;
Was a global organization with 149 member States, virtually all of which were United Nations Member States;该中心是一个全球性组织,有149个成员国,几乎都是联合国会员国;
Would not ask States to contribute any funds to the repository, either directly or indirectly through membership fees (there were no fees for ICSID membership);该中心不会要求各国直接或间接地通过会员费为存储处提供资金(该中心不收会员费);
Had administered approximately 70 per cent of all known investment arbitrations, and had administered more investment cases than all other organizations combined;该中心管理了约70%的所有已知投资仲裁,该中心所管理的投资案件比其他所有组织加起来还多;
Administered investment cases under any rules, including the UNCITRAL rules.该中心根据任何规则管理投资案件,其中包括贸易法委员会的规则。
It also undertook the full menu of related functions, such as acting as appointing authority or consolidating authority;该中心还履行全套的相关职能,如担任指定机构或合并机构等;
Was the only institution with an established track record of transparency.该中心是唯一一个已建立透明度跟踪记录的机构。
It had published procedural details, awards, decisions and other case-related documents since 1995.该中心自1995年起就公布程序细节、裁决书、决定以及其他案件相关文件。
It had offered basic, advanced and full-text search of documents since 2007, and had actually done the tasks envisioned for the repository since 2007;自2007年以来,该中心提供了基本搜索、高级搜索和全文文件搜索,实际上该中心自2007年以来就已在执行设想由存储处完成的任务;
Was in the unique position to offer users a “one-stop” service, with full-text search of all documents published in ICSID cases and in cases published by ICSID as a repository.在为用户提供“一站式”服务方面,该中心拥有独特的能力,无论是解决投资争端中心的案件还是作为存储处公布的案件,该中心都可提供这些案件所有已公布文件的全文搜索。
That would be a significant advantage to users, as it would combine the two lead sources of case law in one easily accessible location, through a single search;这对用户来说非常有利,因为这将把判例法的两个主要来源并为一处,方便访问,只需一次搜索;
Was a highly cost-effective option, with absolutely no funding expected from States, and a minimal, one-time fee for disputing parties;该中心是成本效益极高的选项,绝对不需要各国提供资金,对争议方的收费也是一次性的,微不足道;
Could develop and deploy a repository within 2-3 months if asked to do so.该中心可以在收到请求后两至三个月内开发并建立起存储处。
The International Centre also indicated that, owing to the scope of article 1 of the rules on transparency, those rules might be adopted in treaties and by agreement of disputing parties, and hence would increasingly apply to cases under ICSID and other rules.国际中心还表示,由于透明度规则第1条的范围意味着,透明度规则有可能在条约中以及在争议各方的协议中采用,因此,透明度规则将越来越多地适用于解决投资争端中心及其他规则之下的案件。
Discussion讨论情况
It was said by some delegations that, as a matter of membership, they had not ratified the Convention on the Settlement of Investment Disputes between States and Nationals of Other States, that other countries had denounced the Convention and that those States thus felt more comfortable supporting the temporary option of the designation of PCA.有些代表团指出,在成员资格问题上,它们还没有批准《关于解决国家与其他国家国民之间投资争端公约》,而其他一些国家也已退出了该公约,因此这些国家对支持指定常设仲裁院这一临时选项感觉更容易一些。
In response, it was said that, in the context of the transparency repository, membership of one institution or the other was not relevant.对此指出,就透明存储处而言,是否加入其中一个机构并没有什么关系。
Some delegations expressed the view that ICSID had more expertise in the field of investment arbitration and of transparency in investment arbitration proceedings.一些代表团认为,投资争端解决中心在投资仲裁和投资仲裁程序透明度领域拥有更多专门知识。
It was said that in particular, given the presumptive temporary nature of any alternative institution hosting the transparency repository, a maximum of pre-existing institutional knowledge and expertise would be critical, and ICSID would be best placed in that regard.指出尤其是考虑到设想暂时将透明存储处设在一个替代机构内,已经拥有尽可能多的机构知识和专门知识显得至关重要,而投资争端解决中心在这方面最合适不过。
Other delegations also observed that the technical specifications provided by ICSID, as well as the possibility for global full-text-search functionality with respect to both ICSID and UNCITRAL proceedings, were desirable.还有一些代表团认为,投资争端解决中心提供的技术规格以及有可能实现对投资争端解决中心程序和贸易法委员会程序进行全文总体搜索的功能是可取的。
Other delegations considered the role of the Secretary-General of PCA, as designator of appointing authorities in the UNCITRAL Arbitration Rules, as providing for a more natural link with UNCITRAL.另有一些代表团认为,常设仲裁院秘书长作为《贸易法委员会仲裁规则》所述指定机构的指定人角色提供了与贸易法委员会更自然的联系。
It was also said that PCA handled a variety of cases involving States, including inter-State disputes under treaties and contract disputes between States and private parties, making it a desirable choice for some delegations.还指出,常设仲裁院处理涉及国家的各种案件,包括条约下的国家间争端和国家与私人当事方之间的合同争议,从而使之成为一些代表团可取的选择。
Some delegations referred to the slightly lower quoted cost that PCA would charge to parties to a dispute (free for the publication of up to 50 documents, and a flat fee of 750 euros for the publication of more than 50 documents).一些代表团提到常设仲裁院对争议方的收费报价略低(免费公布最多为50份文件,公布超过50份文件时,统一收费750欧元)。
After discussion, the Commission agreed by consensus that PCA should be designated, if necessary, to undertake the role of transparency repository on a temporary basis until the UNCITRAL secretariat obtained the resources to do so.经过讨论,委员会达成共识,一致认为,在必要时,指定常设仲裁院暂时担任透明存储处的职能的,直至贸易法委员会秘书处获得担任透明存储处职能所需的资源。
Concerns were raised that any temporary solution of having PCA act as the transparency repository should not become a permanent one.有与会者提出担心,表示让常设仲裁院担任透明存储处的这种任何临时解决办法不应成为永久解决办法。
The Commission therefore requested the Secretariat to report to the Commission at its next session, in 2014, on the status of the establishment and functioning of the transparency repository.委员会因此请秘书处向委员会2014年下届会议报告透明存储处的设立和运作情况。
Title of rules on transparency透明度规则的标题
It was said that entitling the rules on transparency “UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration” would provide further prima facie clarity in relation to their applicability in the context of investment arbitration as opposed to purely commercial arbitration.指出将透明度规则标题定为“贸易法委员会投资人与国家间基于条约仲裁透明度规则”,字面上更加清晰地表明该规则在投资仲裁而非纯商业仲裁中的适用性。
That proposal was agreed.就这项建议达成了一致意见。
Form of the rules on transparency:透明度规则的形式:
Appendix or stand-alone rules附录还是自成一体的规则
100. The Commission considered the question of the form in which the rules on transparency would be made available, i.e. whether the rules would be presented as a stand-alone text or would be appended to an amended version of the UNCITRAL Arbitration Rules.100. 委员会审议了以何种形式提供透明度规则的问题,即: 是将规则作为自成一体的文书,还是将其作为《贸易法委员会仲裁规则》修正版的附录。
First, the Commission noted that the form of the rules on transparency would not affect the scope of their applicability under article 1.首先,委员会提出,透明度规则的形式将不会影响第1条规定的规则适用范围。
The Commission further noted that article 1 of the rules on transparency provided for their application under both the UNCITRAL Arbitration Rules (art. 1, paras. (1) and (2)) and other rules or in ad hoc proceedings (art. 1, para. (9)).委员会进一步指出,透明度规则第1条就透明度规则在《贸易法委员会仲裁规则》下的适用(第1条第(1)款和第(2)款)以及在其他规则下的适用或临时适用(第1条第(9)款)作出了规定。
In addition, it was said that the form that the rules on transparency would take raised two primary policy considerations.此外,指出透明度规则采取的形式涉及两项主要政策考虑。
On the one hand, users of the UNCITRAL Arbitration Rules ought to be made fully cognizant of the existence of the rules on transparency.一方面,应当使《贸易法委员会仲裁规则》的使用者充分认识到透明度规则的存在。
On the other hand, commercial users of the amended version of the UNCITRAL Arbitration Rules should not be discouraged from using the Rules, or given an improper impression that the UNCITRAL Arbitration Rules would no longer be suitable for commercial arbitration.另一方面,不应当让《贸易法委员会仲裁规则》修订版的商业用户对使用透明度规则畏首缩脚,或者给他们造成错误印象,以为《贸易法委员会仲裁规则》对商业仲裁已不再合适。
101. A proposal was made with a view to reconciling those policy concerns.101. 为调和这些政策方面的关切提出了一项建议。
It was suggested that the rules on transparency should be published together with the amended version of the UNCITRAL Arbitration Rules, although not as an appendix thereto.建议将透明度规则与《贸易法委员会仲裁规则》修正版一起公布,但不是作为后者的附录。
In addition, it was suggested that the rules on transparency should be published as a stand-alone text.此外,建议将透明度规则作为自成一体的文书予以公布。
102. After discussion, the proposal contained in paragraph 101 above was adopted.102. 经过讨论,上文第101段所载建议得到采纳。
The Commission requested the Secretariat to publish the rules on transparency, including electronically, both together with the amended version of the UNCITRAL Arbitration Rules and as a stand-alone text.委员会请秘书处公布透明度规则,包括以电子方式公布,既要与《贸易法委员会仲裁规则》修正版一起公布,也要作为自成一体的文本公布。
UNCITRAL Arbitration Rules (with new article 1, paragraph (4), as adopted in 2013)《贸易法委员会仲裁规则》(新增2013年通过的第1条第(4)款)
103. It was recalled that, following the agreement of the Commission on the scope of application of the rules on transparency, article 1 of the UNCITRAL Arbitration Rules (as revised in 2010) would require amendment in order to articulate a link with the rules on transparency (A/CN.9/765, paras. 79-80; and A/CN.9/783, paras. 28-39).103. 回顾在委员会就透明度规则的适用范围达成一致之后,需要对《贸易法委员会仲裁规则》(2010年修订本)的第1条作出修正,以便阐明与透明度规则的关联(A/CN.9/765,第79-80段;A/CN.9/783,第28-39段)。
104. The Commission took note of the fact that the establishment of the amended version of the UNCITRAL Arbitration Rules, which would create a link to the rules on transparency, would necessarily have an implication for references to the UNCITRAL Arbitration Rules in treaties concluded after the coming into force of the rules on transparency.104. 委员会注意到以下事实,与透明度规则建立关联的《贸易法委员会仲裁规则》修正版产生后,势必对在透明度规则生效之后订立的条约中对《贸易法委员会仲裁规则》的提及产生影响。
Specifically, it was clarified that a reference to the UNCITRAL Arbitration Rules as adopted in 1976, or as revised in 2010, in a treaty concluded after the coming into force of the rules on transparency would have the effect of precluding the application of the rules on transparency (A/CN.9/783, para. 31).具体而言,澄清说在透明度规则生效之后订立的条约中提及1976年通过的《贸易法委员会仲裁规则》和2010年修订的《贸易法委员会仲裁规则》,其效力相当于排除适用透明度规则(A/CN.9/783,第31段)。
Amendment to the UNCITRAL Arbitration Rules对《贸易法委员会仲裁规则》的修正
105. The Commission considered a new paragraph (4) of article 1 to amend the UNCITRAL Arbitration Rules (as revised in 2010):105. 委员会审议了修正《贸易法委员会仲裁规则》(2010年修订本)的新的第1条第(4)款:
“4. For investor-State arbitration initiated pursuant to a treaty providing for the protection of investments or investors, these Rules include the UNCITRAL Rules on Transparency [as an appendix] [as amended from time to time], subject to article 1 of the UNCITRAL Rules on Transparency.“4. 对于依照为投资或投资人提供保护的条约提起的投资人与国家间的仲裁,本《仲裁规则》包括[作为附录的][不断修正的]《贸易法委员会透明度规则》,但以《贸易法委员会透明度规则》第1条的规定为限。
” (A/CN.9/765, para. 79; and A/CN.9/783, para. 29).”(A/CN.9/765,第79段;和A/CN.9/783,第29段)。
106. Further to the agreement (set out in paragraphs 101 and 102 above) that the rules on transparency would not be included as an appendix to the amended version of the UNCITRAL Arbitration Rules, it was consequently agreed that the text in square brackets, “[as an appendix]”, should be deleted.106. 在达成一致意见(上文第101和102段所载)即不将透明度规则作为《贸易法委员会仲裁规则》修正版的附录之后,商定方括号内的案文“[作为附录的]”应予删除。
107. It was also considered whether the language of a new paragraph (4) of article 1 of the UNCITRAL Arbitration Rules should be evolutive in nature, and include language such as “as amended from time to time” or “in effect on the date of commencement of the arbitration”.107. 还审议了《贸易法委员会仲裁规则》修正版新的第1条第(4)款的措词是否应带有演变性,并纳入“不断修正的”或“仲裁启动之日业已生效的”等措词。
108. A number of delegations expressed the view that including evolutive language might deter countries from adopting the rules on transparency in future treaties.108. 一些代表团认为列入带演变性的措词有可能妨碍各国在今后条约中采纳透明度规则。
It was pointed out that, while the UNCITRAL Arbitration Rules (as revised in 2010) did have evolutive language (in article 1, paragraph (2)), the 1976 UNCITRAL Arbitration Rules did not.指出虽然2010年《贸易法委员会仲裁规则》确实载有带演变性的措词(第1条第(2)款),但1976年《贸易法委员会仲裁规则》并无这样的措词。
109. After discussion, it was agreed that the UNCITRAL Arbitration Rules (as revised in 2010) would be amended to include a new article 1, paragraph (4), as follows:109. 经过讨论,商定对《贸易法委员会仲裁规则》(2010年修订本)作出修正,纳入一个新的第1条第(4)款如下:
“4. For investor-State arbitration initiated pursuant to a treaty providing for the protection of investments or investors, these Rules include the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration, subject to article 1 of the Rules on Transparency.”“4. 对于依照为投资或投资人提供保护的条约提起的投资人与国家间的仲裁,本《规则》包括《贸易法委员会投资人与国家间基于条约仲裁透明度规则》,但以《透明度规则》第1条的规定为限。 ”
Title of amended UNCITRAL Arbitration Rules《贸易法委员会仲裁规则》修订本的标题
110. It was recalled that the amendment to the UNCITRAL Arbitration Rules (as revised in 2010) would result in a new version of the UNCITRAL Arbitration Rules, bearing the date of the adoption of the amendment and becoming effective as from the date of coming into effect of the rules on transparency (A/CN.9/765, paras. 33 and 79; and A/CN.9/783, para. 30).110. 回顾对《贸易法委员会仲裁规则》(2010年修订本)的修正将产生《贸易法委员会仲裁规则》新版本,该新版本将载明修正的通过日期,并将于透明度规则生效之日生效)(A/CN.9/765,第33和79段;A/CN.9/783,第30段)。
111. The Commission considered the title of that amended version of the UNCITRAL Arbitration Rules.111. 委员会审议了《贸易法委员会仲裁规则》修正版的标题。
The following proposal was made in that respect:在这方面提出了下述建议:
“UNCITRAL Arbitration Rules (with new article 1, paragraph 4, as adopted in 2013)”.“《贸易法委员会仲裁规则》(新增2013年通过的第1条第4款)”。
That proposal was adopted.该建议得到采纳。
Consideration of instruments on the applicability of the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration to the settlement of disputes arising under existing investment treaties审议关于《贸易法委员会投资人与国家间基于条约仲裁透明度规则》 适用于解决现行投资条约下产生的争议的文书
112. The Commission recalled that, at its forty-fourth session, in 2011, it had confirmed that the question of applicability of the legal standard on transparency to investment treaties concluded before the date of coming into effect of the rules on transparency was part of the mandate of the Working Group and a question of great practical interest, taking account of the high number of investment treaties currently in existence.112. 委员会回顾,委员会曾在2011年第四十四届会议上确认,透明度法律标准对在透明度规则生效之日前订立的投资条约的适用性问题是工作组任务授权的组成部分,鉴于目前已经有大量投资条约,这个问题具有重大的现实意义。
In that context, the Commission considered the options for making the rules on transparency applicable to existing investment treaties, either by way of a convention, whereby States could express consent to apply the rules on transparency to arbitration under their existing investment treaties, or by a recommendation urging States to make the rules applicable in the context of treaty-based investor-State dispute settlement.在这方面,委员会审议了使透明度规则适用于现行投资条约的两种选择: 一种选择是制定一项公约,各国可以籍此表示同意将透明度规则适用于在其现行投资条约下进行的仲裁,另一种选择是提出一项建议,促请各国在解决投资人与国家间在条约下发生的争议时适用透明度规则。
The Commission also took note of the possibility of making the rules on transparency applicable to existing investment treaties by joint interpretative declaration pursuant to article 31, paragraph (3)(a) of the Vienna Convention on the Law of Treaties, or by an amendment or modification of a relevant treaty pursuant to articles 39-41 of that Convention (A/CN.9/784).委员会还注意到通过以下两种方式使透明度规则适用于现行投资条约的可能性: 依照《维也纳条约法公约》第31条第(3)款(a)项以解释性联合声明的方式,或者依照该公约第39条至第41条以修正或更改相关条约的方式(A/CN.9/784)。
Consideration of a recommendation审议一项建议
113. A view was expressed that the mandate of the Working Group was to explore options to make the rules on transparency applicable to existing investment treaties, but that it did not prejudge the outcome in favour of a recommendation.113. 有与会者表示认为,工作组的任务授权是探讨各种选择方案,以便使透明度规则适用于现行的投资条约,但工作组并没有预先判断结果应是一项建议。
114. The Commission agreed to include in its decision adopting the rules on transparency a recommendation urging parties to investment treaties to apply the standard to existing investment treaties.114. 委员会同意在其通过透明度规则的决定中纳入一项促请投资条约缔约方将该标准适用于现行投资条约的建议。
The purpose of the recommendation would be to highlight the importance of transparency in the context of treaty-based investor-State arbitration.该建议的目的是强调透明度在投资人与国家间基于条约仲裁中的重要性。
The recommendation would leave it to parties to investment treaties to decide on the means of implementing the transparency standard in the context of existing investment treaties.该项建议将由投资条约缔约方决定在现行投资条约的范围内实施透明度标准的方式。
The text of paragraph 1 of the draft recommendation as set out in paragraph 20 of document A/CN.9/784 was considered by the Commission.委员会审议了A/CN.9/784号文件第20段所载建议草案第1段的案文。
115. Some delegations requested that qualifying language be introduced into that text.115. 一些代表团要求在该案文中纳入限定措词。
The request did not receive support.该项要求未获得支持。
116. After discussion, the following text was agreed, and its inclusion in the decision of the Commission adopting the rules on transparency was requested:116. 经过讨论,就下述案文达成一致意见,并要求在委员会通过透明度规则的决定中纳入该案文:
Also recommends that, subject to any provision in the relevant investment treaties that may require a higher degree of transparency, the Rules on Transparency be applied through appropriate mechanisms to investor-State arbitration initiated pursuant to investment treaties concluded before the date of coming into effect of the Rules on Transparency, to the extent such application is consistent with those investment treaties.还建议,在服从相关投资条约中可能要求更高程度透明度的任何规定的前提下,在适用《透明度规则》与投资条约的这些规定相符的限度内,通过适当的机制将《透明度规则》适用于根据《透明度规则》生效之日前订立的投资条约提起的投资人与国家间仲裁。
(See paragraph 128 below for the decision.)(该项决定见下文第128段。
Consideration of the preparation of a convention on transparency in treaty-based investor-State arbitration) 审议拟订投资人与国家间基于条约仲裁透明度公约
117. Several delegations expressed support for entrusting Working Group II (Arbitration and Conciliation) with the task of preparing a convention on transparency.117. 一些代表团表示支持责成第二工作组(仲裁和调解)拟订一项透明度公约。
By way of clarification, it was said that, should a convention be concluded, it would be open for those States that wished to opt in to the rules on transparency in relation to their existing treaties to ratify it.为清晰起见,指出如果订立一项公约,该公约将向希望选择将透明度规则适用于其现行条约的国家开放,供其批准。
It was emphasized that there would not be any expectation on any other State to sign or ratify such a convention.强调绝非预期任何其他国家签署或批准这样一项公约。
118. It was further said that an essential component of the revised compromise proposal (see para. 16 above), was the need, ancillary to the rules on transparency, for a convention which would provide States a simple and efficient mechanism to apply the rules to existing treaties.118. 还指出,在折中修订提案(见上文第16段)中,一个重要组成部分是除透明度规则之外,需要拟订一项公约作为补充,从而为各国将该规则适用于其现行条约提供简单、高效的机制。
119. In support of that view, it was said that the large number of existing treaties, to which the rules on transparency would be applicable only on an opt-in basis, rendered such a convention critical in promoting and developing the work on transparency as contained in the rules.119. 支持该观点者指出,鉴于有大量现行条约,透明度规则仅在选择适用基础上适用于这些条约,因此拟订这样的公约对于围绕规则载明的透明度标准推进和开展工作至关重要。
It was further stated that the elaboration of a multilateral instrument would be a logical next step for a credible commitment towards transparency in investment arbitration under existing treaties.还指出,对于作出可靠承诺以实现现行条约下投资仲裁的透明度而言,拟订一项多边文书是合乎逻辑的下一个步骤。
120. It was pointed out that those States that had large portfolios of existing bilateral investment treaties and that wished to make the rules on transparency applicable to those treaties in an efficient way should not be precluded from doing so.120. 指出有些国家已经有大量双边投资条约,并希望高效地使透明度规则适用于这些条约,不应当妨碍这些国家这么做。
121. In reply, it was noted that the standards embodied by the rules on transparency were new, and that all States could not be expected to be ready to apply those standards at the present time.121. 答复指出,透明度规则所体现的标准比较新,不能指望所有国家现在就已为适用这些标准作好准备。
A view was expressed that, while delegations had acknowledged the importance of transparency, the compromise achieved by the rules was not a perfect one and a convention would have the effect of upsetting the delicate balance struck in article 1 of the rules.据认为,虽然各代表团确认透明度的重要性,这些规则所达成的折中并不是一个完美的解决办法,一项公约将产生打破规则第1条所达成的微妙平衡的结果。
122. A concern was also expressed that a convention could be perceived as changing dynamics in terms of negotiating bilateral investment treaties, or that pressure could be brought to bear on States to adopt it.122. 还担心一项公约可能被视为会使双边投资条约谈判的态势发生变化,或者有可能对各国必须通过公约施加压力。
123. To alleviate that concern, the Commission agreed that there was not, and should not be, any value judgement attached to whether a State decided to accede to the convention, and that pressure ought not be brought to bear on States to accede to a convention.123. 为减轻这种担心,委员会一致认为,一国是否决定加入该公约,并不附带也不应附带任何价值观判断,不应当给各国施加压力让其加入一项公约。
It was said that that matter could be clarified, for instance, in the preamble to the convention.指出此事可以在例如公约序言中加以澄清。
124. For the record, it was noted that the draft text of a convention placed before the Commission in paragraph 5 of document A/CN.9/784 was a proposal by the secretariat which had not yet been the subject of any discussion in the Working Group.124. 作为会议备案,据指出,A/CN.9/784号文件第5段放在委员会面前的一项公约案文草案是秘书处的一项提案,尚未经工作组作过任何讨论。
125. After discussion, the Commission agreed to provide, in addition to the existing mandate it had given to the Working Group to consider options in relation to the application of the rules on transparency to existing treaties, a specific mandate to prepare a convention thereon.125. 经过讨论,委员会商定,除已赋予工作组审议现行条约适用透明度规则所涉各种选择这一现有任务授权外,还赋予就此拟订一项公约的具体任务授权。
The views of delegations that had expressed concerns in relation to a convention were also noted and, in that light, the Commission considered the possibility of providing a mandate to the Working Group that would explicitly take into account that the aim of the convention was to give those States that wished to make the rules on transparency applicable to their existing treaties an efficient mechanism to do so, without creating any expectation that other States would use the mechanism offered by the convention.还注意到一些代表团就一项公约表示的关切,考虑到这一点,委员会审议了赋予工作组一项任务授权的可能性,该授权将明确考虑到公约的目的是为那些希望将透明度规则适用于本国现行条约的国家提供这样做的高效机制,但不对其他国家将使用公约所提供的机制产生预期。
126. Some delegations proposed a differently worded mandate as follows:126. 一些代表团提议对任务授权另行措辞如下:
“The Commission gives the mandate to the Working Group to draft a convention to facilitate the application of the rules on transparency while taking into account the concerns by some States as regards possible difficulties of immediate application of the rules on transparency to existing treaties.“委员会赋予工作组拟订一项公约以促进适用透明度规则的任务授权,但要考虑到一些国家对现行条约立即适用透明度规则可能存在困难所表达的关切。
” That wording was said not to articulate the aim of the convention set out in paragraph 125 above, namely to give those States that wished to make the rules on transparency applicable to their existing treaties an efficient mechanism to do so, and was not supported.”会上指出,这样的措辞未阐明上文第125段所述公约目标,即应为那些希望将透明度规则适用于本国现行条约的国家提供这样做的高效机制,因此未得到支持。
127. After discussion, the Commission agreed by consensus to entrust the Working Group with the task of preparing a convention on the application of the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration to existing treaties, taking into account that the aim of the convention was to give those States that wished to make the rules on transparency applicable to their existing treaties an efficient mechanism to do so, without creating any expectation that other States would use the mechanism offered by the convention.127. 经过讨论,委员会一致商定,责成工作组拟订一项关于对现行条约适用《贸易法委员会投资人与国家间基于条约仲裁透明度规则》的公约,同时考虑到公约的目的是为那些希望将透明度规则适用于本国现行条约的国家提供这样做的高效机制,但不对其他国家将使用公约所提供的机制产生预期。
Decision adopting the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration and the UNCITRAL Arbitration Rules (with a new article 1, paragraph (4), as adopted in 2013)通过《贸易法委员会投资人与国家间基于条约仲裁透明度规则》和 《贸易法 委员会仲裁规则》(新增2013年通过的第1条第(4)款)的决定
128. At its 965th meeting, on 11 July 2013, the Commission adopted the following decision:128. 委员会在2013年7月11日第965次会议上通过了以下决定:
“The United Nations Commission on International Trade Law,“联合国国际贸易法委员会,
“Recalling General Assembly resolution 2205 (XXI) of 17 December 1966, which established the United Nations Commission on International Trade Law with the purpose of furthering the progressive harmonization and unification of the law of international trade in the interests of all peoples, in particular those of developing countries,“回顾大会1966年12月17日第2205 (XXI)号决议设立联合国国际贸易法委员会,其目的是为各国人民的利益,特别是为发展中国家人民的利益,促进国际贸易法的逐渐协调和统一,
“Recalling also General Assembly resolutions 31/98 of 15 December 1976 and 65/22 of 10 January 2011 recommending the use of the Arbitration Rules of the United Nations Commission on International Trade Law,“还回顾大会1976年12月15日第31/98号决议和2011年1月10日第65/22号决议建议使用《联合国国际贸易法委员会仲裁规则》,
“Recognizing the value of arbitration as a method of settling disputes that may arise in the context of international relations, and the wide use of arbitration for the settlement of treaty-based investor-State disputes,“认识到仲裁作为对国际关系中可能出现的争议的一种解决办法所具有的价值,以及仲裁广泛用于解决投资人与国家间基于条约的争议,
“Recognizing also the need for provisions on transparency in the settlement of treaty-based investor-State disputes to take account of the public interest involved in such arbitrations,“还认识到关于解决投资人与国家间基于条约争议的透明度规定需要考虑到此类仲裁中所牵涉的公共利益,
“Recognizing further that some parties to investment treaties have adopted high transparency standards in certain treaties providing for the protection of investments or investors,“又认识到有些投资条约方在某些为投资或投资人提供保护的条约中采取了较高的透明度标准,
“Bearing in mind that the UNCITRAL Arbitration Rules are widely used for the settlement of treaty-based investor-State disputes,“考虑到《贸易法委员会仲裁规则》广泛用于解决投资人与国家间基于条约的争议,
“Bearing in mind also that, in connection with the modernization of the UNCITRAL Arbitration Rules (as revised in 2010), adoption of the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration is particularly timely,“还考虑到配合更新《贸易法委员会仲裁规则》(2010年修订本),《贸易法委员会投资人与国家间基于条约仲裁透明度规则》的通过尤其及时,
“Noting that the preparation of the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration was the subject of due deliberation in UNCITRAL and that they benefitted from extensive consultations with Governments and interested intergovernmental and international non-governmental organizations,“注意到贸易法委员会就拟订《贸易法委员会投资人与国家间基于条约仲裁透明度规则》进行了适当的审议,审议工作受益于与各国政府和有关的政府间组织和国际非政府组织进行的广泛磋商,
“Believing that the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration would contribute significantly to the establishment of a harmonized legal framework for a fair and efficient settlement of international investment disputes,“相信《贸易法委员会投资人与国家间基于条约仲裁透明度规则》将大大有助于建立公平和有效解决国际投资争议的协调的法律框架,
“Recognizing the need pursuant to the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration for an institution to serve as a repository of information and the critical role the transparency repository would play in implementing those Rules,“认识到《贸易法委员会投资人与国家间基于条约仲裁透明度规则》要求有一个机构担任信息存储处以及透明存储处将对执行《规则》发挥的关键作用;
“Recalling the universal membership of the United Nations and the independence and neutrality of its Secretariat,“回顾联合国会员国的普遍性以及联合国秘书处的独立性和中立性;
“1. Adopts the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration, as they appear in annex I to the report of UNCITRAL on its forty-sixth session (A/68/17), and the UNCITRAL Arbitration Rules (with new article 1, paragraph 4, as adopted in 2013), as provided for in chapter III, section A.3, of that report;“1. 通过贸易法委员会第四十六届会议报告(A/68/17)附件一所载《贸易法委员会投资人与国家间基于条约仲裁透明度规则》,以及该报告第三章A.3节所载《贸易法委员会仲裁规则》(新增2013年通过的第1条第4款);
“2. Requests the Secretary-General, through the UNCITRAL secretariat, to perform the functions of the transparency repository in relation to the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration;“2. 请秘书长通过贸易法委员会秘书处履行《贸易法委员会投资人与国家间基于条约仲裁透明度规则》透明存储处的职能;
“3. Also requests the Secretary-General to publish and disseminate broadly the text of the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration, and the UNCITRAL Arbitration Rules (with new article 1, paragraph 4, as adopted in 2013), including electronically, and to transmit them to Governments and organizations interested in the field of dispute settlement;“3. 还请秘书长发布并广泛传播《贸易法委员会投资人与国家间基于条约仲裁透明度规则》和《贸易法委员会仲裁规则》(新增2013年通过的第1条第4款)的案文,包括以电子方式发布并广泛传播,并将案文发送给对争议解决领域感兴趣的政府和组织;
“4. Recommends the use of the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration and the UNCITRAL Arbitration Rules (with new article 1, paragraph 4, as adopted in 2013) in relation to the settlement of investment disputes, and invites parties to investment treaties that include the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration in their investment treaties to advise the Commission accordingly;“4. 建议使用《贸易法委员会投资人与国家间基于条约仲裁透明度规则》和《贸易法委员会仲裁规则》(新增2013年通过的第1条第4款)解决投资争议,并请投资条约方在将《贸易法委员会投资人与国家间基于条约仲裁透明度规则》列入其投资条约后通报委员会;
“5. Also recommends that, subject to any provision in the relevant investment treaties that may require a higher degree of transparency, the Rules on Transparency be applied through appropriate mechanisms to investor-State arbitration initiated pursuant to investment treaties concluded before the date of coming into effect of the Rules on Transparency, to the extent such application is consistent with those investment treaties.”“5. 还建议,除非相关的投资条约有任何规定可能要求更高程度的透明度,否则《透明度规则》应通过适当的机制适用于根据《透明度规则》生效前缔结的投资条约提起的投资人与国家间仲裁,但适用时应以符合这些投资条约为限。 ”
Future work今后的工作
129. The Commission took note of document A/CN.9/785, on possible future work in the field of settlement of commercial disputes, and held a preliminary discussion regarding work that could be recommended in the field of international arbitration in view of the consideration of that matter by the Commission under agenda item 16 (see paras. 292 to 332 below).129. 委员会注意到关于在解决商事争议领域今后可能开展的工作的A/CN.9/785号文件,并根据委员会在议程项目16之下关于这一事项的审议情况就可能建议在国际仲裁领域开展的工作举行了初步讨论(见下文第292至332段)。
130. It was said that the UNCITRAL Notes on Organizing Arbitral Proceedings (1996) required updating as a matter of priority.130. 会上指出,必须作为优先事项对《贸易法委员会关于安排仲裁程序的说明》(1996年)进行增补。
It was agreed that the preferred forum for that work would be that of a working group, to ensure that the universal acceptability of those Notes would be preserved.一致认为,这项工作的首选论坛将是工作组,以确保《说明》的普遍可接受性得以保持。
It was recommended that a single session of the working group should be devoted to consideration of the Notes and that such consideration should take place as the next topic of future work, after completion of the draft convention (see para. 127 above).建议工作组单开一次届会审议《说明》,应当在公约草案完成之后作为下一个今后工作主题进行此种审议(见上文第127段)。
131. It was suggested that the subject of concurrent proceedings was increasingly important, particularly in the field of investment arbitration, and might warrant further consideration.131. 会上提出,同时进行的程序这一主题越来越重要,特别是在投资仲裁领域,因此可能需要贸易法委员会进一步审议。
In particular, it was said that it was not unusual for one arbitration to be initiated in relation to a particular dispute, and concurrently for related parties to initiate parallel proceedings, to seek, in whole or in part, the same relief.特别指出,相关当事方为寻求完全相同或部分相同的救济而在提起某项争议的仲裁的同时提起平行程序,这样的情形并不少见。
It was further said that addressing the subject of concurrent proceedings would also be in the spirit of promoting a harmonized and consistent approach to arbitration.还指出,处理同时进行的程序问题也符合促进以协调、一致的方式处理仲裁事宜的精神。
Some delegations observed that the issue of concurrent proceedings was in such flux that developing a harmonized approach at the present time might be premature.一些代表团认为,同时进行的程序问题尚在不断变化当中,此时制定统一方法为时尚早。
132. Another issue raised was that of parallel proceedings in commercial arbitrations, where preventing or avoiding parallel State court proceedings and arbitral proceedings in relation to the same subject matter might be an issue best dealt with on a multilateral level.132. 会上提出的另一个议题是商业仲裁中的并行仲裁问题,在这方面,防止或避免就同一主题事项提起并行的国家法院程序和仲裁程序或许是一个最适合在多边一级处理的议题。
Different suggestions were made as to the form work might take in relation to concurrent proceedings in commercial arbitration.关于如何就商业仲裁并行程序开展工作,提出各种不同建议。
It was suggested that promoting a uniform interpretation of article 8 of the UNCITRAL Model Law on International Commercial Arbitration might be one solution.一项建议是,促进对《贸易法委员会国际商事仲裁示范法》第8条的统一解释不失为一种解决办法。
Another option suggested was that of guidelines in relation to that matter.所提出的另一项建议是就这一事项制定准则。
Yet another view was that it would be premature to decide which form such future work might take and that any decision on future work on that topic ought to preserve the option of analysing the issue of parallel proceedings in commercial arbitrations in the context of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, done at New York on 10 June 1958.还有一种意见是,现在就决定这种未来工作成果的形式为时尚早,就这一主题今后的工作所作的任何决定都应当保留选择的机会,以便分析根据1958年6月10日在纽约订立的《承认及执行外国仲裁裁决公约》并行进行商事仲裁程序的问题。
133. It was suggested that the topic of future work should be revisited at a future session of the Commission, after completion of the current work on developing a convention on transparency.133. 会上提议在完成透明度公约的拟订工作后在委员会今后一届会议上重新审议今后工作问题。
Preparation of a guide on the 1958 New York Convention编拟1958年《纽约公约》指南
134. At its twenty-eighth session, in 1995, the Commission approved a project, undertaken jointly with Committee D (now known as the Arbitration Committee) of the International Bar Association, aimed at monitoring the legislative implementation of the New York Convention.134. 委员会1995年第二十八届会议核准了一个与国际律师协会D委员会(现称作仲裁委员会)共同实施的项目,该项目旨在监测《纽约公约》的立法执行情况。
135. At its forty-first session, in 2008, the Commission considered a written report in respect of the project, covering implementation of the New York Convention by States, its interpretation and application, and the requirements and procedures put in place by States for enforcing an award under the New York Convention, based on replies sent by 108 States parties to the Convention (A/CN.9/656 and Add.1).135. 委员会2008年第四十一届会议审议了有关该项目的书面报告,报告以公约108个缔约国提交的答复为基础,介绍了各国执行《纽约公约》的情况、《纽约公约》的解释和适用,以及各国为按照《纽约公约》执行裁决而确立的要求和程序(A/CN.9/656和Add.1)。
At that session, the Commission welcomed the recommendations and conclusions contained in the report, noting that they highlighted areas where additional work might need to be undertaken to enhance uniform interpretation and effective implementation of the Convention.委员会该届会议对该报告所载的建议和结论表示欢迎,注意到其中强调在一些领域需要开展额外工作以加强公约的统一解释和有效执行。
The Commission agreed that work should be undertaken to eliminate or limit the effect of legal disharmony in that field.委员会同意应当开展工作,以消除或限制这一领域法律不一致所造成的影响。
The Commission was generally of the view that the outcome of the project should consist in the development of a guide on the New York Convention, with a view to promoting a uniform interpretation and application of the Convention, thus avoiding uncertainty resulting from its imperfect or partial implementation and limiting the risk that practices of States might diverge from the spirit of the Convention.委员会普遍认为,该项目的成果应当是拟订一部《纽约公约》指南,以促进公约的统一解释和适用,从而避免因执行工作不完善或不全面而导致的不确定性,并限制各国的做法偏离公约精神的可能性。
The Commission requested the Secretariat to study the feasibility of preparing such a guide.委员会请秘书处研究拟订这样的指南是否可行。
Also at that session, the Commission agreed that, resources permitting, the activities of the Secretariat in the context of its technical assistance programme could include dissemination of information on the judicial interpretation of the New York Convention, which would usefully complement other activities in support of the Convention.在该届会议上,委员会还商定,若资源允许,秘书处在技术援助方案范围内开展的活动可以包括传播关于《纽约公约》司法解释的信息,这项工作将对为支持《公约》而开展的其他活动起到有益的补充作用。
136. The Commission took note of General Assembly resolution 62/65 of 6 December 2007, in which the Assembly, recognizing the value of arbitration as a method of settling disputes in international commercial relations, contributing to harmonious commercial relations, stimulating international trade and development and promoting the rule of law at the international and national levels, and expressing its conviction that the New York Convention had strengthened respect for binding commitments, inspired confidence in the rule of law and ensured fair treatment in the resolution of disputes arising over contractual rights and obligations, requested the Secretary-General to increase efforts to promote wider adherence to the Convention and its uniform interpretation and effective implementation.136. 委员会注意到大会2007年12月6日第62/65号决议,大会在其中承认仲裁作为国际商业关系中解决争议的一个办法很有价值,有助于形成和谐的商业关系,推动国际贸易和发展,并在国际和国家一级促进法治;表示深信《纽约公约》增强了对具约束力的承诺的尊重,激发对法治的信心,并确保在解决涉及合同权利和义务的争议时处事公平;请秘书长加强努力,推动更广泛地加入《公约》,对其作出统一的解释并加以有效执行。
137. The Commission recalled that it had been informed, at its forty-fourth and forty-fifth sessions, in 2011 and 2012, that the Secretariat was carrying out a project related to the preparation of a guide on the New York Convention, in close cooperation with G. Bermann (Columbia University School of Law) and E. Gaillard (Sciences Po, École de Droit), who had established research teams to work on the project.137. 委员会回顾,其2011年和2012年第四十四届会议和第四十五届会议曾获悉,秘书处正与G. Bermann(哥伦比亚大学法学院)和E.Gaillard(巴黎政治大学法学院)密切合作进行与编拟《纽约公约》指南有关的项目,这两人成立了研究小组,就该项目开展工作。
The Commission had been informed that Mr. Gaillard and Mr. Bermann, in conjunction with their respective research teams and with the support of the Secretariat, had established a website (www.newyorkconvention1958.org) to make the information gathered in preparation of the guide on the New York Convention publicly available.委员会获悉,Gaillard先生与Bermann先生及其各自的研究小组在秘书处的协助下,联合建立了一个网站(www.newyork convention1958.org),用于公布在编写《纽约公约》指南的过程中收集的资料。
The website was aimed at promoting the uniform and effective application of the Convention by making available details on its judicial interpretation by States parties.该网站的目的是通过刊载各缔约国关于《公约》的司法解释的详细资料,促进《公约》的统一和有效适用。
The Commission had also been informed that the UNCITRAL secretariat planned to maintain close connection between the cases collected in the system for collecting and disseminating case law relating to UNCITRAL texts (the “CLOUT system”) (see paras. 235 to 240 below) and the cases available on the website dedicated to the preparation of the guide on the New York Convention.委员会还获悉,贸易法委员会秘书处计划在贸易法委员会法规判例法收集和传播系统(法规判例法系统)(见下文第235至240段)中收集的判例与编拟《纽约公约》指南专用网站上提供的判例之间保持密切联系。
At its forty-fifth session, the Commission had expressed its appreciation for the establishment of the website and the work done by the Secretariat, as well as by the experts and their research teams, and requested the Secretariat to pursue efforts regarding the preparation of the guide on the New York Convention.委员会第四十五届会议对该网站的建立和秘书处以及两位专家及其研究小组开展的工作表示赞赏,并请秘书处继续努力编拟《纽约公约》指南。
138. At its current session, the Commission had before it an excerpt of the guide on the New York Convention for its consideration (A/CN.9/786).138. 委员会本届会议收到了《纽约公约》指南的节选,供其审议(A/CN.9/786)。
139. The Commission expressed its appreciation to the Secretariat and the experts and their teams involved in the project for their work towards the implementation of the mandate the Commission had received from the General Assembly to promote and ensure a uniform interpretation and application of international conventions.139. 委员会赞赏秘书处以及参与本项目的两位专家及其小组为执行大会赋予委员会的任务授权即促进并确保国际公约的统一解释和适用所做的工作。
140. Concerns were expressed that a guide would indicate preference for some views over others, and would therefore not reflect an international consensus on the interpretation of the New York Convention.140. 有代表团表示关切,一部指南将对各种观点厚此薄彼,因而反映不出就《纽约公约》的解释达成的国际共识。
The question of the form in which the guide might be published was therefore raised.因此提出公布指南可能采取的形式问题。
In response, it was pointed out that the drafting approach adopted in the preparation of the guide was similar to that of other UNCITRAL guides or digests, such as the Digest of Case Law on the United Nations Convention on Contracts for the International Sales of Goods.对此,指出编拟指南采用的起草办法与贸易法委员会其他指南或摘要集的起草办法类似,如《关于〈国际货物销售合同公约〉的判例法摘要集》。
It was explained that various options were available for the publication of such works.解释说此类著作的公布有各种选择。
One option was that the guide could be published under the responsibility of the Secretariat; the example of the UNCITRAL Legal Guide on Electronic Funds Transfers (1987) was given.一种选择是可以由秘书处负责公布指南,列举了《贸易法委员会电子资金划拨法律指南》(1987年)为例子。
It was suggested that the Commission could also take note of the guide on the New York Convention, without endorsing its content, and request the Secretariat to publish it.建议委员会可以注意到《纽约公约》指南,而不必赞同其内容,并请秘书处予以公布。
Another possibility would be for the Secretariat to circulate the text of the guide, once completed, with a view to collecting comments from States for consideration by the Commission at a future session.另一种可能是指南完成之后,立即由秘书处分发指南文本,以征求各国的评论意见,供委员会在今后届会上审议。
After discussion, the Commission requested the Secretariat, resources permitting, to submit the guide to the Commission at its next session, in 2014, for further consideration of the status of the guide and how it would be published.经过讨论,委员会请秘书处在资源允许的情况下,向2014年下届会议提交指南,以便进一步审议指南的状况及其公布方式。
International commercial arbitration moot competitions国际商事仲裁模拟辩论赛
Willem C. Vis International Commercial Arbitration Moot维斯国际商事仲裁模拟辩论赛
141. It was noted that the Association for the Organization and Promotion of the Willem C. Vis International Commercial Arbitration Moot had organized the Twentieth Moot, the oral arguments phase of which had taken place in Vienna from 22 to 28 March 2013.141. 注意到组织和促进维斯国际商事仲裁模拟辩论赛协会组办了第二十届模拟辩论赛,口头辩论阶段于2013年3月22日至28日在维也纳举行。
As in previous years, the Moot had been co-sponsored by the Commission.与往年一样,模拟辩论赛由委员会协办。
Legal issues addressed by the teams of students participating in the Twentieth Moot were based on the United Nations Convention on Contracts for the International Sale of Goods (Vienna, 1980).参加第二十届模拟辩论赛各学生队讨论的法律议题以《联合国国际货物销售合同公约》(1980年,维也纳)为基础。
A total of 291 teams from law schools in 66 countries participated, with the best team in oral arguments being from the City University of Hong Kong.来自66个国家的法学院的总共291支赛队参加了辩论赛,口头辩论优胜队是香港城市大学。
The oral arguments phase of the Twenty-first Willem C. Vis International Commercial Arbitration Moot will be held in Vienna from 11 to 17 April 2014.第二十一届维斯国际商事仲裁模拟辩论赛口头论阶段将于2014年4月11日至17日在维也纳举行。
142. It was also noted that the Tenth Willem C. Vis (East) International Commercial Arbitration Moot had been organized by the Chartered Institute of Arbitrators, East Asia Branch, and co-sponsored by the Commission.142. 还注意到仲裁员特许学会东亚处组办了第十届维斯(东方)国际商事仲裁模拟辩论赛,此次辩论赛由委员会协办。
The final phase had been organized in Hong Kong, China, from 11 to 17 March 2013.决赛阶段于2013年3月11日至17日在中国香港举行。
A total of 93 teams from 27 jurisdictions had taken part in the Tenth (East) Moot.来自27个法域的总共93支赛队参加了第十届(东方)模拟辩论赛。
The winning team in the oral arguments was from the University of Canberra.口头辩论赛优胜队来自堪培拉大学。
The Eleventh (East) Moot would be held in Hong Kong, China, from 31 March to 6 April 2014.第十一届(东方)模拟辩论赛将于2014年31月至4月6日在香港特别行政区举行。
Madrid Commercial Arbitration Moot 20132013年马德里商事仲裁模拟辩论赛
143. It was noted that Carlos III University of Madrid had organized the Fifth International Commercial Arbitration Competition in Madrid from 15 to 20 April 2013.143. 注意到马德里卡洛斯三世大学于2013年4月15日至20日在马德里举办了第五届国际商事仲裁模拟辩论赛。
The Madrid Moot had also been co-sponsored by the Commission.马德里模拟辩论赛也由委员会协办。
The legal issues involved in the competition related to an international sale of shares in which the United Nations Sales Convention and the Unidroit Principles of International Commercial Contracts were applicable, as well as the UNCITRAL Model Arbitration Law, the New York Convention and the UNCITRAL Arbitration Rules (as revised in 2010), with the Madrid Court of Arbitration as the appointing authority.此次辩论赛涉及的法律议题有: 股份的国际销售,其中适用《联合国销售公约》和《统法协会国际商事合同通则》,以及《贸易法委员会仲裁示范法》、《纽约公约》和《贸易法委员会仲裁规则》(2010年修订),以马德里仲裁法院为指定机构。
A total of 23 teams from law schools or masters programmes in eight countries had participated in the Madrid Moot in Spanish.共有八个国家的法学院或硕士班的23支赛队参加了西班牙语马德里模拟辩论赛。
The best team in oral arguments was ICADE University which won the final against Pontifical Catholic University of Peru.口头辩论优胜队是ICADE大学(西班牙天主教企业学院),该队在决赛中战胜了秘鲁天主教大学。
The Sixth Madrid Moot would be held from 21 to 25 April 2014.第六届马德里模拟辩论赛将于2014年4月21日至25日举行。
Consideration of issues in the area of security interests四. 审议担保权益领域的问题
Finalization and adoption of the UNCITRAL Guide on the Implementation of a Security Rights Registry审定并通过《贸易法委员会关于落实担保权登记处的指南》
Introduction导言
144. At the current session, the Commission had before it:144. 委员会本届会议收到了:
a note by the Secretariat entitled “Draft Technical Legislative Guide on the Implementation of a Security Rights Registry” (A/CN.9/WG.VI/WP.54 and Add.1-4), which contained commentary; (b) a note by the Secretariat entitled “Draft UNCITRAL Guide on the Implementation of a Security Rights Registry” (A/CN.9/781 and Add.1 and 2), which contained, respectively, all of the changes to the commentary, terminology and recommendations, and the examples of registry forms of the draft registry guide agreed to by the Working Group at its twenty-third session (A/CN.9/767, para. 15); and (c) the reports of Working Group VI (Security Interests) on its twenty-second and twenty-third sessions (A/CN.9/764 and A/CN.9/767, respectively).(a)载有评注的秘书处题为“关于落实担保权登记处的技术立法指南草案”(A/CN.9/WG.VI/WP.54和Add.1-4)的一则说明;(b)秘书处题为“关于落实担保权登记处的贸易法委员会指南草案”的一则说明(A/CN.9/781及Add.1和2),其中分别载有对评注、术语和建议所作的所有修改和由工作组第二十三届会议商定的登记处指南草案中的登记处表格实例(A/CN.9/767第15段);及(c)第六工作组(担保权益)第二十二届会议和第二十三届会议的报告(分别为A/CN.9/764和A/CN.9/767)。
145. At the outset, the Commission agreed that the Secretariat should be given the mandate to make the changes necessary to implement the decisions of the Commission taken at the current session, ensure consistency in the terminology used and avoid duplication.145. 委员会一开始就商定,应当授权秘书处为落实委员会本届会议的决定作出必要修改,确保所用术语前后一致并避免重复。
Consideration of the draft Registry Guide对登记处指南草案的审议
Preface (A/CN.9/WG.VI/WP.54 and A/CN.9/781, paras. 1 and 2)前言(A/CN.9/WG.VI/WP.54和A/CN.9/781第1和2段)
146. The Commission adopted the preface of the draft Registry Guide unchanged, on the understanding that the preface would be updated to reflect the decisions of the Commission at its current session.146. 委员会未作修改通过了登记处指南草案的前言,其所持的谅解是,将对前言加以更新以便反映委员会本届会议所作决定。
Introduction (A/CN.9/WG.VI/WP.54, A/CN.9/WG.VI/WP.54/Add.1, paras. 1-23, A/CN.9/781, paras. 3-24, and A/CN.9/781/Add.1, terminology)导言(A/CN.9/WG.VI/WP.54;A/CN.9/WG.VI/WP.54/Add.1,第1-23段; A/CN.9/781,第3-24段;及A/CN.9/781/Add.1,术语)
147. With respect to paragraph 4, subparagraph (g), of document A/CN.9/WG.VI/WP.54, the Commission agreed that reference to the Regulations and Procedures for the International Registry of the International Civil Aviation Organization should be updated to refer to the fifth edition, published in 2013.147. 关于A/CN.9/WG.VI/WP.54号文件第4段(g)小段,委员会商定,应当对提及国际民用航空组织国际登记处条例和程序的内容加以更新以便提及2013年公布的第五版。
148. With respect to the term “address”, the Commission agreed that it should be revised to refer to:148. 关于“地址”这一用语,委员会商定,应当对此加以修订以便提及:
a physical address, which could be either a street address or a post office box number; and (b) an electronic address.(a)可以是街道地址或邮政信箱号的现实地址;以及(b)电子地址。
The Commission further agreed that the commentary should provide examples of other addresses that would also be effective for communicating information and explain that enacting States should design the registry forms in such a way as to allow registrants to choose from the types of addresses mentioned.委员会又商定,评注应当提供也可有效传递信息的其他地址的实例,并解释说颁布国对登记处表格的设计应当允许登记人在所提及的各类地址中加以选择。
149. With respect to the term “grantor”, the Commission agreed that it should be revised to refer to the person identified “in the designated field” in the notice as the grantor (for the meaning of the term “grantor”, see also paras. 169 and 170 below).149. 关于“设保人”这一用语,委员会商定应当对其加以修订以便提及在通知“指定栏目”中被确定为设保人的人(关于“设保人”这一用语的含义,另见下文第169和170段)。
150. With respect to the term “registrant”, the Commission agreed that it should be revised to refer to “the person who submits the prescribed registry notice form to the registry”.150. 关于“登记人”这一用语,委员会商定,应当对其加以修订以便提及“将规定的登记处通知表格提交给登记处的人”。
The Commission also agreed that the commentary should explain that a courier or other mail service provider used by the registrant to transmit a paper notice would not be considered as a registrant.委员会又商定,评注应当解释,不应把信使或登记人用来传递纸质通知的其他邮件服务供应商视为登记人。
151. With respect to the term “regulation”, the Commission agreed that it should be revised to refer to the body of rules “adopted” (rather than “implemented”) by the enacting State with respect to the registry, as adoption would precede implementation.151. 关于“条例”这一用语,委员会商定,应当对其加以修订以便提及颁布国就登记处所“通过”(而并非“落实”)的所有规则,因为通过将先于落实。
152. With respect to the term “secured creditor”, the Commission agreed that it should be revised to refer to the person identified “in the designated field” in the notice as the secured creditor (for the meaning of the term “secured creditor”, see also paras. 169 and 170 below).152. 关于“有担保债权人”这一用语,委员会商定,应当对其加以修订以便提及在通知“指定栏目”中被确定为有担保债权人的人(关于“有担保债权人”这一用语的含义,另见下文第169和170段)。
153. With respect to paragraph 23 of document A/CN.9/WG.VI/WP.54, the Commission agreed that the words in subparagraph (c) of the second sentence “that indicates the grantor’s intent to create a security right” should be deleted, as the matter was already covered in subparagraph (b) of that sentence.153. 关于A/CN.9/WG.VI/WP.54号文件第23段,委员会商定,第二句(c)小段中“表明设保人设定担保权意图”的词句应当予以删除,因为该事项已经为该句(b)小段所涵盖。
154. With respect to paragraph 28 of document A/CN.9/WG.VI/WP.54, the Commission agreed that the second sentence should be revised to state that registration of a notice in a general security rights registry was the general method of achieving third-party effectiveness except with respect to a security right in a right to receive the proceeds under an independent undertaking (see the UNCITRAL Legislative Guide on Secured Transactions, recommendations 32 and 50).154. 关于A/CN.9/WG.VI/WP.54号文件第28段,委员会商定,应当对第二句加以修订以便说明,在普通担保权登记处办理通知登记是实现第三方效力的普通方法,但在独立承保下所获收益权上的担保权除外(见《贸易法委员会担保交易立法指南》,建议32和50)。
155. With respect to paragraphs 18 to 20 of document A/CN.9/WG.VI/WP.54/Add.1, the Commission agreed that they should be revised to clarify that coordination among registries would be required only if the secured transactions law included certain types of assets and a specialized registry existed with respect to those types of assets.155. 关于A/CN.9/WG.VI/WP.54/Add.1号文件第18至20段,委员会商定,应当对其加以修订以便澄清,只有在担保交易法包括某些类型的资产并且存在关于这些类型资产专门登记处的前提下,才需要在登记处之间进行协调。
156. Subject to above-mentioned changes, the Commission adopted the introduction to the draft Registry Guide.156. 在做出上述修改的前提下,委员会通过了《登记处指南》草案的导言部分。
Chapter I. Establishment and functions of the security rights registry (A/CN.9/WG.VI/WP.54/Add.1, paras. 34-49, A/CN.9/781, paras. 26-31, and A/CN.9/781/Add.1, recommendations 1-3)第一章. 担保权登记处的设立和功能(A/CN.9/WG.VI/WP.54/Add.1, 第34-49段;A/CN.9/781,第26-31段;及A/CN.9/781/Add.1,建议1-3)
157. The Commission adopted chapter I (Establishment and functions of the security rights registry) unchanged.157. 委员会未作修改通过了第一章(担保权登记处的设立和功能)。
Chapter II. Access to the services of the registry (A/CN.9/WG.VI/WP.54/Add.1, paras. 50-65, A/CN.9/781, paras. 26-31, and A/CN.9/781/Add.1, recommendations 4-10)第二章. 访问登记处的服务(A/CN.9/WG.VI/WP.54/Add.1,第50-65段; A/CN.9/781,第26-31段;及A/CN.9/781/Add.1,建议4-10)
158. With respect to recommendations 4 to 10, the Commission agreed that:158. 关于建议4至10,委员会商定:
Recommendation 6, subparagraph (a) (i), should be revised to refer to “the applicable” form prescribed by the registry;应当对建议6(a)㈠ 小段加以修订以便提及由登记处规定的“可适用”表格;
The words “except as provided in recommendations 8, subparagraph (a), and 10, subparagraph (a)” should be added at the beginning of recommendation 7, subparagraph (c);应当在建议7(c)小段开头处添加“除非建议8(a)小段和建议10(a)小段另有规定”的词句;
Recommendation 8, subparagraph (a), should be revised to refer to “information”, rather than “the information”, not entered in “each required designated field”.应当对建议8(a)小段加以修订以便提及未输入“每个所需指定栏目”的“信息”,而不是“该信息”。
159. Subject to above-mentioned changes, the Commission adopted chapter II (Access to the services of the registry).159. 在做出上述修改的前提下,委员会通过了第二章(访问登记处的服务)。
Chapter III. Registration (A/CN.9/WG.VI/WP.54/Add.2, paras. 1-49, A/CN.9/781, paras. 32-40, and A/CN.9/781/Add.1, recommendations 11-22)第三章. 登记(A/CN.9/WG.VI/WP.54/Add.2,第1-49段;A/CN.9/781, 第32-40段;及A/CN.9/781/Add.1,建议11-22)
160. With respect to paragraph 44 of document A/CN.9/WG.VI/WP.54/Add.2, the Commission agreed that it should further explain that any attachment to a notice would be part of that notice and, therefore, should also be removed when information contained in the notice was to be removed from the public registry record.160. 关于A/CN.9/WG.VI/WP.54/Add.2号文件第44段,委员会商定,该段应当进一步解释,通知的任何附件均为通知的一部分,因此在从公共登记处记录中删除通知所载信息时也应当予以删除。
161. With respect to recommendation 12, the Commission agreed that the words “for the purposes of recommendations 16, 18, 30, 32 and 34,” should be added at the beginning of recommendation 12 to clarify its scope and that recommendation 12 should be placed right before recommendation 16.161. 关于建议12,委员会商定,应当在建议12的开头处添加“就建议16、18、30、32和34的目的而言,”的词句,以便澄清其范围,并且应当把建议12直接放在建议16之前。
162. With respect to recommendation 13, the Commission considered various suggestions as to how to implement the aim of option C to set a maximum time limit for the period of effectiveness of the registration of a notice.162. 关于建议13,委员会考虑了就如何落实备选案文C给通知登记有效期确定最长时限的的目的的各种建议。
One suggestion was that, in the case of an extension, the new period could start when the amendment notice was registered, with the maximum limit applying to that amendment notice.一种建议是,新期限如予延长则应当从对修订通知办理登记之时起算,最长时限将适用于该修订通知。
It was stated that, as a result, if the maximum limit was, for example, 15 years and the registrant chose to indicate seven years in the initial notice, the registrant could indicate 15 years in each amendment notice.据指出,其结果是,举例说,如果最长时限为15年,而登记人选择在初始通知中注明时限为七年,登记人则可在每一份修订通知中注明时限为15年。
In support of that suggestion, it was observed that such an approach would be similar to the approach taken in option A, according to which each amendment notice could be for the period of time specified in the law.支持该建议的一种观点认为,这种做法与备选案文A所持做法类似,根据该做法,每份修订通知的时限均由法律所规定。
It was also pointed out that such an approach would provide the flexibility necessary to accommodate the needs of parties to long-term security agreements.还据指出,这种做法将能提供必要的灵活性,可以顾及长期担保协议各当事方的需要。
Another suggestion was that the new period should start when the current period expired, as long as all the notices together would not exceed the maximum time limit.另一则建议是,只要所有通知合计期限并未超出最长时限,新期限就应当从现有期限期满时起算。
It was stated that, as a result, in the example mentioned above, the registrant could indicate only eight years in the amendment notice.据指出,其结果是,在上文所提及的实例中,登记人只能在修订通知中注明时限为八年。
In support of that suggestion, it was observed that such an approach would appropriately implement the policy of option C to set a maximum time limit and thus draw a real distinction between option B (which included no maximum limit) and option C. Yet another suggestion was that the new period could start when the amendment notice was registered, with the maximum limit applying to one amendment notice only, with the result that, in the example mentioned above, the registration could indicate 15 years only in the first amendment notice.支持该建议的一种观点认为,这一做法将能适当落实备选案文C关于设定最长时限的政策,并从而能够对备选案文B(其中未列入最长时限)和备选案文C作出实际区分。 然而,另一则建议是,新期限可以从对修订通知办理登记之时起算,最长时限将只适用于一份修订通知,其结果是,在上文提及的实例中,登记只能在第一份修订通知中注明时限为15年。
163. After discussion, the Commission agreed that recommendation 13 should be revised to read along the following lines:163. 经讨论后,委员会商定应当对建议13作内容大致如下的修订:
“The regulation should provide that:“本条例应当规定:
“Option A“备选案文A
“(a) The registration of an initial notice is effective for [a short period of time, such as five years, specified in the law of the enacting State];“(a) 对初始通知的登记在[由颁布国法律指明的例如五年的期限]内有效;
“(b) The period of effectiveness of the registration may be extended within [a short period of time, such as six months, specified in the law of the enacting State] before its expiry; and“(b) 可在登记有效期期满前在[由颁布国法律指明的例如六个月的短暂期限]内予以延长;及
“(c) The registration of an amendment notice extending the period of effectiveness extends the period for [the period of time specified in subparagraph (a)] beginning from the time of expiry of the current period.“(c) 对延长有效期的修订通知办理登记即为延长有效期,[延长期限]是从当前期限期满时起算的[在(a)小段中指明的期限]。
“Option B“备选案文B
“(a) The registration of an initial notice is effective for the period of time indicated by the registrant in the designated field in the notice;“(a) 对初始通知的登记在由登记人在通知中指定栏目所指明的期限内有效;
“(b) The period of effectiveness of the registration may be extended at any time before its expiry by the registration of an amendment notice that indicates in the designated field a new period of effectiveness; and“(b) 登记有效期可在其期满前随时通过对其指定栏目指明新的有效期的修订通知办理登记而予以延长;及
“(c) The registration of an amendment notice extending the period of effectiveness extends the period for the amount of time specified by the registrant in the amendment notice beginning from the time of expiry of the current period.“(c) 对延长有效期的修订通知办理登记即为延长有效期,延长期限是从当前期限期满时起算的由登记人在修订通知中指明的期限。
“Option C“备选案文C
“(a) The registration of an initial notice is effective for the period of time indicated by the registrant in the designated field in the notice, not exceeding [a long period of time, for example, 20 years, specified in the law of the enacting State];“(a) 对初始通知的登记在由登记人在通知中指定栏目所指明的期限内有效,但不得超过[拟在颁布国法律中指明的例如二十年的较长期限];
“(b) The period of effectiveness of the registration may be extended within [a short period of time, such as six months, specified in the law of the enacting State] before its expiry by the registration of an amendment notice that indicates in the designated field a new period of effectiveness not exceeding [the maximum period of time specified in subparagraph (a)]; and“(b) 登记有效期可在其期满前在[由颁布国法律指明的例如六个月的短暂期限]内通过对指定栏目标明新的有效期的修订通知办理登记而予以延长,但新的有效期不得超过[在(a)小段中指明的最长期限];及
“(c) The registration of an amendment notice extending the period of effectiveness extends the period for the amount of time specified by the registrant in the amendment notice beginning from the time of expiry of the current period.”“(c) 对延长有效期的修订通知办理登记即为延长有效期,延长期限是从当前期限期满时起算的由登记人在修订通知中指明的期限。 ”
164. With respect to recommendation 14, the Commission agreed that it should refer to “a” security right and “a” security agreement.164. 关于建议14,委员会商定该建议应当提及“一项”担保权和“一项”担保协议。
165. With respect to recommendation 18, the Commission agreed that subparagraph (b)(ii) should:165. 关于建议18,委员会商定,(b)㈡ 小段应当:
refer also to cancellation notices; (b) refer to “a” current address of the grantor, as the grantor might have more than one address; and (c) clarify that, if the secured creditor did not know the grantor’s address, the secured creditor would be entitled to send the copy of the notice to the grantor’s last “known” address or to the grantor’s address that was “reasonably available”.(a)也提及取消通知;(b)提及设保人的“一个”现有地址,因为设保人可能有不止一个地址;及(c)澄清,如果有担保债权人并不知悉设保人的地址,有担保债权人将有权按照设保人最后一个“已知”地址或按照“可合理提供的”设保人地址发送通知副本。
The Commission also agreed that the commentary should explain that the change referred to the grantor’s relevant address (for example, the grantor’s address set forth in the registry record), as otherwise the secured creditor might be exposed to the risk of sending the copy to a wrong address or might abuse that right and send the copy to an address that would be irrelevant to the transaction, giving rise to the security right to which the notice related.委员会还商定,评注应当解释,修改所提及的是设保人的相关地址(举例说,登记处记录所述设保人地址),因为不然的话,有担保债权人就有可能会按错误地址发送副本,或有可能会滥用该项权利而按照与产生该通知相关担保权的交易无关的地址发送副本。
166. With respect to recommendation 22, the Commission agreed that it should be revised to clarify that the information in the notice ought to be expressed in the character set determined and publicized by the registry.166. 关于建议22,委员会商定,应当对其加以修订以澄清,通知中信息应当以登记处确定并公布的全套字母加以表述。
167. Subject to the above-mentioned changes, the Commission adopted chapter III (Registration) of the draft Registry Guide.167. 在做上述修改的前提下,委员会通过了《登记处指南》草案的第三章(登记)。
Chapter IV. Registration of initial notices (A/CN.9/WG.VI/WP.54/Add.2, paras. 50-71, A/CN.9/WG.VI/WP.54/Add.3, paras. 1-35, A/CN.9/781, paras. 41-58, and A/CN.9/781/Add.1, recommendations 23-29)第四章. 对初始通知的登记(A/CN.9/WG.VI/WP.54/Add.2,第50-71段;A/CN.9/WG.VI/WP.54/Add.3,第1-35段;A/CN.9/781,第41-58段;及A/CN.9/781/Add.1,建议23-29)
168. With respect to paragraph 55 of document A/CN.9/WG.VI/WP.54/Add.2, the Commission agreed that the reference in the second sentence to the search request form should be deleted, as the address of the grantor did not need to be indicated in a search request.168. 关于A/CN.9/WG.VI/WP.54/Add.2号文件第55段,委员会商定,应当删除第二句中提及查询请求表格的内容,因为在查询请求中不需要注明设保人的地址。
169. With respect to certain recommendations, the view was expressed that the terms “grantor” and “secured creditor” did not mean the persons identified in the notice as the grantor and the secured creditor (as explained in the terminology) but rather meant the actual grantor and the actual secured creditor.169. 关于某些建议,有一种观点认为,“设保人”和“有担保债权人”的用语并非是指通知中被确定为设保人和有担保债权人(按照术语中的解释)的人,而是指事实上的设保人和事实上的有担保债权人。
Various suggestions were made.会上就此提出了各种建议。
One suggestion was that, depending on the context, different terms should be used (e.g. “grantor” and “grantor of record”).一种建议认为,应当根据上下文使用不同的用语(例如“设保人”和“记录中的设保人”)。
Another suggestion was that the terminology should clarify that, depending on the context, the grantor (or the secured creditor) was either the actual grantor (or the actual secured creditor) or the grantor (or the secured creditor) identified or to be identified in the notice as the grantor (or the secured creditor).另一种建议认为,术语应当澄清,根据上下文,设保人(或有担保债权人)既可以是事实上的设保人(或事实上的有担保债权人),也可以是在通知中被确定为或拟被确定为设保人(或有担保债权人)的设保人(或有担保债权人)。
Yet another suggestion was that that clarification could be made in the commentary, with an additional clarification as to the context in which those terms had one or the other meaning.另有一则建议认为,可以在评注中加以澄清,并就这些用语具有某种含义或其他含义的上下文另作澄清。
170. After discussion, the Commission agreed that:170. 委员会经讨论后商定:
the explanation of the terms “grantor” and “secured creditor” in the terminology section of the draft Registry Guide should be deleted; (b) the commentary in the terminology section should explain that those terms had generally the same meaning as they had in the Secured Transactions Guide, except in certain instances in which, depending on the context, they meant the person identified in the notice; (c) the term “secured creditor” in recommendation 3, subparagraph (g), and recommendations 18, 19 and 31 should be replaced by the words “the person identified in the notice as the secured creditor”; (d) the term “grantor” in recommendation 18 should be replaced with the words “the person identified in the notice as the grantor”; (e) the commentary to recommendation 19, as revised, should clarify that the person identified in the notice as the secured creditor would be the person authorized to amend the information in a registered notice; and (f) the commentary to recommendation 33 should clarify that that recommendation dealt with the obligation of the actual secured creditor.(a)应当删除登记处指南草案术语一节中对“设保人”和“有担保债权人”用语的解释;(b)术语一节的评注应当解释,这些用语通常具有与《担保交易指南》中用语相同的含义,但在某些情况下,根据上下文而指的是在通知中确定的人;(c)应当把建议3(g)小段、建议18、19和31中“有担保债权人”的用语改为“在通知中确定为有担保债权人的人”;(d)应当把建议18中“设保人”的用语改为“在通知中被确定为设保人的人”;(e)经修订的对建议19的评注应当澄清,在通知中被确定为有担保债权人的人将是受权修订已登记通知中信息的人;及(f)建议33的评注应当澄清,该建议述及事实上的有担保债权人所持的义务。
171. With respect to recommendation 23, it was agreed that the words “either in the same notice or in separate notices” at the end of subparagraph (b) should be deleted, while the commentary could explain that, in the case of multiple grantors or secured creditors, it was up to the registrant to determine whether to enter the required information in the same notice or in separate notices.171. 关于建议23,与会者商定,应当删除(b)小段末尾处“在同一通知或分别几项通知中”的词句应当予以删除,而评注可以解释,有多个设保人或有担保债权人的,应当由登记人确定是否在同一通知或分别几项通知中输入所需信息。
172. With respect to recommendation 24, the Commission agreed that subparagraphs (b) to (e) were overly prescriptive and, in any case, each enacting State would have to revise it depending on its naming conventions.172. 关于建议24,委员会商定,(b)至(e)小段限定性过强,并且无论如何说,每个颁布国都必须根据各自取名惯例对其加以修订。
Thus, the Commission decided that the examples in subparagraphs (b) to (e) should be included in the commentary and that recommendation 24 should instead include text along the following lines:因此,委员会决定,应当把(b)至(e)小段中的实例列入评注,建议24应当列入内容大致如下的案文:
“(b) [the enacting State should specify the various components of the grantor’s name and the designated field for each component]”; and “(c) [the enacting State should specify the official documents on the basis of which the grantor’s name should be determined and the hierarchy among those official documents]”.“(b)[颁布国应当指明设保人姓名的各个组成部分以及针对每个组成部分的指定栏目]”;“(c)[颁布国应当指明据以确定设保人姓名的官方文件以及这些官方文件的等级排列顺序]”。
In addition, the Commission agreed that a new subparagraph should be added along the following lines “(d) [the enacting State should specify the way in which the grantor’s name should be determined in the case of a name change after the issuance of an official document]”.此外,委员会商定,应当增设内容大致如下的一个新的小段“(d)[颁布国应当指明在颁发官方文件之后变更姓名时确定设保人姓名的方式]”。
173. With respect to recommendation 25, the Commission agreed that, for reasons of consistency with recommendation 24, it should be revised to include two subparagraphs along the following lines “(a) the grantor identifier is the name of the grantor; and (b) the name of the grantor is the name as specified in a current [document, …] constituting the legal person”.173. 关于建议25,委员会商定,出于同建议24保持一致的原因,应当对该建议加以修订以便列入内容大致如下的两个小段: “(a)设保人的身份标识是设保人的姓名;及(b)设保人的姓名是构成法人的现行[文件,…]所述姓名”。
174. With respect to recommendation 26, for reasons of consistency with recommendation 24, the Commission agreed that it should be revised to read along the following lines “[the enacting State should specify the grantor identifier in special cases, such as a person that is subject to insolvency proceedings and a trustee or representative of an estate]”.174. 关于建议26,出于同建议24保持一致的原因,委员会商定,应当对该建议作内容大致如下的修订: “[颁布国应当指明特例中的设保人身份标识,例如处于破产程序中的人和资产的受托人或管理人]”。
It was also agreed that the examples set forth in recommendation 26 should be included in the commentary, with appropriate modifications (see the note to the Commission that follows recommendation 26 in document A/CN.9/781/Add.1).会议还商定,应当把建议26所述实例列入评注并作适当修改(见A/CN.9/781/Add.1号文件建议26之后给委员会的说明)。
175. With respect to recommendation 28, the Commission agreed that the words “unless otherwise provided in the law” at the beginning of subparagraphs (b) and (c) should be deleted, as they might inadvertently give the impression that they were intended to introduce an exception to the rule of law contained in subparagraph (a) (see the Secured Transactions Guide, recommendation 14, subpara. (d), and recommendation 63).175. 关于建议28,委员会商定,(b)和(c)小段开头处“除非法律另有规定外”的词句应当予以删除,因为这些词句可能会在无意中给人造成其意在给(a)小段所载法律规则引入一条除外规定的印象(见《担保交易指南》,建议14(d)小段和建议63)。
176. With respect to recommendation 29, subparagraph (a), it was agreed that, to avoid the tautology “an amendment notice that amends”, that wording should be revised to read as follows: “an amendment notice that changes”.176. 关于建议29(a)小段,会议商定,为了避免“对…加以修订…的修订通知”这一同义重复,应当把措辞改为“对…加以修改…的修订通知”的提法。
177. Subject to the above-mentioned changes, the Commission adopted chapter IV (Registration of initial notices).177. 在作上述修改的前提下,委员会通过了第四章(对初始通知的登记)。
Chapter V. Registration of amendment and cancellation notices (A/CN.9/WG.VI/WP.54/Add.4, paras. 1-41, A/CN.9/781, paras. 59-69, and A/CN.9/781/Add.1, recommendations 30-33)第五章. 对修订通知和取消通知的登记(A/CN.9/WG.VI/WP.54/Add.4, 第1-41段;A/CN.9/781,第59-69段;及A/CN.9/781/Add.1,建议30-33)
178. With respect to recommendation 31, the Commission agreed that both options A and B should be revised to provide that a secured creditor named in multiple registered notices may amend or request the registry to amend “its information” (and not the information of other secured creditors mentioned in those notices).178. 关于建议31,委员会商定,应当对备选案文A和B加以修订,以便规定,多项已登记通知中列明的有担保债权人可修订或请登记处修订“其信息”(而并非这些通知所提及的其他有担保债权人的信息)。
179. With respect to recommendation 32, while a registration number was defined to mean a unique number allocated by the registry to an initial notice, for consistency with recommendation 30, subparagraph (a)(i), the Commission agreed that reference should be made to the registration number of the “initial” notice.179. 关于建议32,虽然一个登记号被界定为由登记处分配给一份初始通知的一个独一号码,但为了与建议30(a)㈠ 小段保持一致,委员会商定,应当采用“初始”通知登记号的提法。
180. With respect to recommendation 33, the Commission agreed that it should refer to the obligation of the secured creditor to “register” (rather than submit) an amendment or cancellation notice.180. 关于建议33,委员会商定,该建议应当是指有担保债权人对修订通知或取消通知办理“登记”(而并非加以提交)的义务。
The Commission also agreed that the commentary should explain that that wording was intended to ensure that a secured creditor could not be considered as having discharged that obligation by merely submitting a notice without ensuring that it was actually registered and not rejected for any of the reasons mentioned in recommendation 8.委员会还商定,评注应当解释,该措辞意在确保,如果有担保债权人仅仅提交了通知,而没有确保对通知实际办理了登记,也没有确保通知不致因为建议8所提及的任何原因而遭拒绝,则不得认为有担保债权人履行了该义务。
181. Subject to the above-mentioned changes, the Commission adopted chapter V (Registration of amendment and cancellation notices).181. 在作上述修改的前提下,委员会通过了第五章(对修订通知和取消通知的登记)。
Chapter VI. Search criteria and search results (A/CN.9/WG.VI/WP.54/Add.4, paras. 42-51, A/CN.9/781, paras. 70-71, and A/CN.9/781/Add.1, recommendations 34 and 35)第六章. 查询标准和查询结果(A/CN.9/WG.VI/WP.54/Add.4,第42-51段; A/CN.9/781,第70-71段;及A/CN.9/781/Add.1,建议34-35)
182. With respect to paragraphs 46-48 of document A/CN.9/WG.VI/WP.54/Add.4, the Commission agreed that retrieval of information should be explained by reference to a search by the registry in accordance with the registry’s search logic.182. 关于A/CN.9/WG.VI/WP.54/Add.4号文件第46至48段,委员会商定,对于信息检索,应当参照登记处根据登记处查询逻辑而进行的查询加以解释。
The Commission also agreed that reference to the term “search logic” should be deleted, as it was a technical term that might not be used in all States and, in any case, its substance (namely the way in which information was organized and retrieved) would be an integral part of any registry system.委员会还商定,应当删除“查询逻辑”一词的提法,因为该词是一个并非所有各国均可能使用的技术用语,而且无论如何说,该用语的实质内容(即信息的编排和检索方式)将是任何登记系统的一个有机组成部分。
Accordingly, the Commission agreed that the reference to “search logic” in recommendation 35, subparagraph (b), should be deleted.因此,委员会商定,建议35(b)小段中的“查询逻辑”的提法应当予以删除。
Subject to those changes, the Commission adopted chapter VI (Search criteria and search results).在作这些修改的前提下,委员会通过了第六章(查询标准和查询结果)。
Chapter 7. Registration and search fees (A/CN.9/WG.VI/WP.54/Add.4, paras. 52-58, A/CN.9/781, para. 72, and A/CN.9/781/Add.1, recommendation 36)第七章. 登记费和查询费(A/CN.9/WG.VI/WP.54/Add.4,第52-58段;A/CN.9/781,第72段;及A/CN.9/781/Add.1,建议36)
183. The Commission adopted chapter VII (Registration and search fees) unchanged.183. 委员会未作修改通过了第七章(登记费和查询费)。
Annex II. Examples of registry forms (A/CN.9/781/Add.2)附件二. 登记处表格的实例(A/CN.9/781/Add.2)
184. The Commission then turned to the examples of registry forms set forth in annex II of the draft Registry Guide.184. 委员会随即审议了登记处指南草案附件二所载登记处表格的实例。
With respect to form I (Initial notice), the Commission agreed that:关于表格一(初始通知),委员会商定:
the checkboxes in front of “natural person” and “legal person” in sections A and B should be deleted (the same change should be made to form II, sections A to F; form IV, sections C and D; and form VI, section A); (b) reference to “P.O. Box (if any)” in sections A and B should be revised to “Street or P.O. Box (if any)” (the same change should be made to form II, sections A, C, D and F; form IV, sections A and D; and form V, section A); (c) reference to “Electronic or other address (if any)” in sections A and B should be changed to “Electronic address (if any)” (the same change should be made to form II, sections A, C, D and F; form IV, sections A and D; and form V, section A); (d) the box “additional information about the grantor” following legal person in section A should be deleted (the same changes should be made to form II, sections A and C; and form IV, section D); (e) the box on special cases of grantors in section A should be placed in square brackets, with a footnote making reference to the relevant commentary (the same changes should be made to form II, sections A and C; and form IV, section D); (f) sections A.2 and B.2 should be removed and a note should be inserted stating that the forms should be designed to accommodate cases in which there were multiple grantors and/or secured creditors; and (g) section D should be revised to reflect options A to C of recommendation 13.(a)A和B节自然人和法人之前的勾选框应当予以删除(应当对表格二A至F节和表格四C和D节及表格六A节作相同的修改);(b)应当把A和B节中“邮政信箱(如有)”的提法改为“街道或邮政信箱(如有)”,应当对表格二A、C、D和F节与表格四A和D节及表格五A节作相同的修改);(c)应当把A和B节中“电子地址或其他地址(如有)”的提法改为“电子地址(如有)”(应当对表格二A、C、D和F节与表格四A和D节及表格五A节做相同的修改);(d)A节中法人后“关于设保人的补充信息”的方框应当予以删除(应当对表格二A和C节及表格四D节作相同的修改);(e)应当把A节中关于设保人特例的方框置于方括号内,并附有提及相关评注的脚注(应当对表格二A和C节及表格四D节作相同的修改);(f)应当删除A.2和B.2节,并且应当插入一则说明,注明表格的设计应当顾及存在多个设保人和(或)有担保债权人的情形;及(g)应当对D节加以修订以便反映建议13的备选案文A至C。
185. With respect to form II (Amendment notice), the Commission agreed that:185. 关于表格二(修订通知),委员会商定:
“registration no. of initial notice” in the second box should be revised to “registration no. of the initial notice to which the amendment relates” (the same changes should be made to the second box of form IV and to form VIII, section B.2); and (b) section J should read “J. Extend duration of registration” and should be revised to reflect options A to C of recommendation 13.(a)应当把第二个方框中“初始通知登记号”修订为“与修订有关的初始通知登记号”(应当对表格四和表格八B.2节中的第二个方框作相同的修改);(b)J节的内容应当是“J. 登记的延长期”并且应当加以修订以便反映建议13的备选案文A至C。
186. With respect to form III (Cancellation notice), the Commission agreed that “registration no. of initial notice to be cancelled” in the second box should be revised to state “registration no. of the initial notice to which the cancellation relates” (the same changes should be made to the second box of form V and form VIII, sections B.3).186. 关于表格三(取消通知),委员会商定: (a)应当把第二个方框中“拟取消的初始通知的登记号”修订为“与取消有关的初始通知登记号”(应当对表格五及表格八B.3节的第二个方框作相同的修改)。
187. With respect to form IV (Amendment notice pursuant to a judicial or administrative order), the Commission agreed that section G (extend or reduce duration of registration) should be deleted entirely.187. 关于表格四(依照司法命令或行政命令的修订通知),委员会商定,G节(登记期限的延长或缩短)应当完全删除。
With respect to form VI (Search request form), the Commission agreed that a separate section should be provided for searchers submitting a paper search request to indicate the person and the address to which the paper search result should be mailed.关于表格六(查询请求表格),委员会商定,应当单设一节,以便让提交纸质查询请求的查询人指明纸质查询请求的收件人和收件地址。
188. With respect to form VII (Search results), the Commission agreed that the footnote should reiterate recommendation 35, which required that the search result should set forth all information in each registered notice that matched the specific search criterion, without the need for an additional search, while the presentation of such information might differ depending on the registry system.188. 关于表格七(查询结果),委员会商定,脚注应当重申建议35,其中要求查询结果载列与特定查询标准相匹配的每份已登记通知中所有信息,同时不需要补充查询,而这类信息的编排可根据登记系统的情况有所区别。
189. With respect to form VIII (Rejection of a registration of a search request), the Commission agreed that:189. 关于表格八(拒绝对查询请求的登记),委员会商定:
the reasons for rejection in section B should be more specific and separate checkboxes should be inserted with regard to the address of the grantor and the secured creditor; and (b) the word “relevant” in section B.2 should be deleted, and separate checkboxes should be placed, respectively, for information for addition, deletion and change.(a)B节中拒绝的理由应当更为具体,应当针对设保人和有担保债权人的地址分别插入单独的方框;并且(b)B.2节中“相关”的字词应当予以删除,应当把关于增补、删除或更改的信息分别置于单独的复选框中;
190. Subject to the above-mentioned changes, the Commission adopted annex II (Examples of registry forms).190. 在作上述修改的前提下,委员会通过了附件二(登记处表格的实例)。
Adoption of the UNCITRAL Guide on the Implementation of a Security Rights Registry通过《贸易法委员会关于落实担保权登记处的指南》
191. At its 970th meeting, on 16 July 2013, the Commission adopted the following decision:191. 委员会在2013年7月16日第970次会议上通过了下述决定:
“The United Nations Commission on International Trade Law,“联合国国际贸易法委员会,
“Recalling General Assembly resolution 63/121 of 11 December 2008, in which the Assembly recommended that all States give favourable consideration to the UNCITRAL Legislative Guide on Secured Transactions when revising or adopting legislation relevant to secured transactions,“回顾大会2008年12月11日第63/121号决议,大会在其中建议所有国家在修订或通过担保交易相关立法时积极考虑《贸易法委员会担保交易立法指南》,
“Recognizing that an efficient secured transactions regime with a publicly accessible security rights registry of the kind recommended in the Secured Transactions Guide is likely to increase access to affordable secured credit and thus promote economic growth, sustainable development, the rule of law and financial inclusion and assist in combating poverty,“认识到建立了《担保交易指南》建议类别的可供公众查询的担保权登记处的高效担保交易制度,有可能增加获得费用可承受的担保信贷的机会,从而促进经济增长、可持续发展、法治和金融普惠,并有助于消除贫穷,
“Noting with satisfaction that the UNCITRAL Guide on the Implementation of a Security Rights Registry is consistent with and usefully supplements the Secured Transactions Guide and that, together, the two guides will provide comprehensive guidance to States with respect to legal and practical issues that need to be addressed when implementing a modern secured transactions regime,“满意地注意到《贸易法委员会关于落实担保权登记处的指南》与《担保交易指南》保持一致,并且是对后者的有益补充,两份指南将共同就落实现代担保交易制度时需要处理的法律和实务问题向各国提供全面的指导,
“Noting also that secured transactions law reform could not be effectively implemented without the establishment of an efficient, publicly accessible security rights registry where information about the potential existence of a security right in movable assets may be registered, and that States urgently need guidance with respect to the establishment and operation of such registries,“还注意到若不建立高效的可供公众查询的担保权登记处,登记可能存在动产担保权的相关信息,担保交易法改革便无法有效实施,各国迫切需要在这类登记处的设立和运作方面得到指导,
“Noting further that the harmonization of national security rights registries on the basis of the Registry Guide is likely to increase the availability of credit across national borders and thus facilitate the development of international trade, which, if achieved on the basis of equality and mutual benefit to all States, is an important element in promoting friendly relations among States,“进一步注意到基于《登记处指南》协调统一各国担保权登记处有可能增加跨国界信贷的供应,从而促进国际贸易的发展,而发展国际贸易如能在对所有国家平等互利的基础上实现,是促进国家间友好关系的一个重要因素,
“Expressing its appreciation to international intergovernmental and non-governmental organizations active in the field of secured transactions law reform for their participation in and support for the development of the Registry Guide,“表示感谢在担保交易法改革领域开展活动的国际政府间组织和非政府组织参与和支持拟订《登记处指南》,
“Expressing also its appreciation to the participants of Working Group VI (Security Interests), as well as to the Secretariat, for their contribution to the development of the Registry Guide,“还表示感谢第六工作组(担保权益)参加人员和秘书处对拟订《登记处指南》作出的贡献,
“1. Adopts the UNCITRAL Guide on the Implementation of a Security Rights Registry, consisting of the text contained in documents A/CN.9/WG.VI/WP.54, A/CN.9/WG.VI/WP.54/Add.1-4, A/CN.9/781 and A/CN.9/781/Add.1-2, with amendments adopted by the Commission at its forty-sixth session, and authorizes the Secretariat to edit and finalize the text of the UNCITRAL Guide on the Implementation of a Security Rights Registry pursuant to the deliberations of the Commission at that session;“1. 通过《贸易法委员会关于落实担保权登记处的指南》,其中包括A/CN.9/WG.VI/WP.54、A/CN.9/WG.VI/WP.54/Add.1-4、A/CN.9/781和A/ CN.9/781/Add.1-2所载案文连同委员会第四十六届会议通过的修正,同时授权秘书处根据委员会该届会议的审议情况编辑、审定《贸易法委员会关于落实担保权登记处的指南》的案文;
“2. Requests the Secretary-General to publish the UNCITRAL Guide on the Implementation of a Security Rights Registry, including electronically, and to disseminate it broadly to Governments and other interested bodies;“2. 请秘书长公布《贸易法委员会关于落实担保权登记处的指南》,包括以电子方式公布,并向各国政府和其他有关机构广泛传播;
“3. Recommends that all States give favourable consideration to the UNCITRAL Guide on the Implementation of a Security Rights Registry when revising relevant legislation, administrative regulations or guidelines, and to the UNCITRAL Legislative Guide on Secured Transactions when revising or adopting legislation relevant to secured transactions, and invites States that have used the guides to advise the Commission accordingly;“3. 建议所有国家在修订相关立法、行政条例或准则时积极考虑《贸易法委员会关于落实担保权登记的指南》,在修订或通过与担保交易有关的立法时积极考虑《贸易法委员会担保交易立法指南》,并请已在使用这两份指南的国家向委员会通报相关事宜;
“4. Also recommends that all States continue to consider becoming party to the United Nations Convention on the Assignment of Receivables in International Trade, the principles of which are also reflected in the UNCITRAL Legislative Guide on Secured Transactions, and the optional annex of which refers to the registration of notices with regard to assignments.”“4. 还建议所有国家继续考虑成为《联合国国际贸易应收款转让公约》的缔约国,该《公约》的原则也反映在《贸易法委员会担保交易立法指南》中,该《公约》的备选附件提到转让通知的登记。 ”
Progress report of Working Group VI and future work第六工作组的进度报告和今后的工作
192. Recalling its decision to refer to the Working Group the preparation of a simple, short and concise model law on secured transactions based on the recommendations of the Secured Transactions Guide and consistent with all texts prepared by UNCITRAL on secured transactions, the Commission noted that, at its twenty-third session, Working Group VI (Security Interests) had had a general exchange of views on the basis of a note prepared by the Secretariat entitled “Draft Model Law on Secured Transactions” (A/CN.9/WG.VI/WP.55 and Add.1 to 4).192. 回顾其交由工作组在《担保交易指南》的建议基础上并按照由贸易法委员会编拟的关于担保交易的所有各项案文,编拟一份关于担保交易法的简单、简短和简略的示范法的决定,委员会注意到,第六工作组(担保权益)在其第二十三届会议上,在秘书处编拟的题为“担保交易示范法草案”的一则说明(A/CN.9/WG.VI/WP.55和Add.1-4;)的基础上进行了一般意见交流。
The Commission also noted that the Secretariat was in the course of preparing a revised version of the draft Model Law that would implement the mandate given by the Commission to the Working Group and facilitate commercial finance transactions.委员会还注意到,秘书处正在编拟示范法草案修订稿,该修订稿将落实委员会给工作组的授权并便利商业金融交易。
193. It was agreed that the preparation of the draft Model Law was an extremely important project to complement the work of the Commission in the area of security interests and provide urgently needed guidance to States as to how to implement the recommendations of the Secured Transactions Guide.193. 会上商定,示范法草案的编拟是一项极为重要的项目,目的是对委员会在担保权益领域的工作加以补充,就如何落实《担保交易指南》的建议向各国提供急需的指导。
It was also agreed that, in view of the importance of modern secured transactions law for the availability and the cost of credit, and the importance of credit for economic development, such guidance was extremely important and urgent to all States at a time of economic crisis but in particular to States with developing economies and economies in transition.会上还商定,鉴于现代担保交易法对信贷的供应及其费用的重要意义以及信贷对经济发展的重要意义,这类指导对在经济危机发生之时的所有各国并尤其对发展经济体国家和转型经济体国家极为重要和迫切。
In addition, it was stated that the scope of the draft Model Law should include all economically valuable assets.此外,据指出,示范法草案的范围应当列入所有有经济价值的资产。
194. After discussion, subject to further discussions on the priorities to be set by the Commission with regard to planned and possible future work (see paras. 292 to 332 below), the Commission confirmed its decision that Working Group VI should prepare a simple, short and concise model law on secured transactions based on the recommendations of the Secured Transactions Guide and consistent with all texts prepared by UNCITRAL on secured transactions.194. 经讨论后,在就拟由委员会针对计划中和今后可能开展的工作而设定的优先任务展开进一步讨论的前提下(见下文第292至332段),委员会确认了其所作的决定,即第六工作组应当在《担保交易指南》建议的基础上并按照由贸易法委员会编拟的关于担保交易的所有案文,编拟一份关于担保交易的简单、简短和简要的示范法。
Consideration of issues in the area of insolvency law五. 审议破产法领域的问题
Finalization and adoption of revisions to the Guide to Enactment of the UNCITRAL Model Law on Cross-Border Insolvency最后审定和通过对《贸易法委员会跨国界破产示范法颁布指南》的修订
195. The Commission recalled its decision to entrust Working Group V (Insolvency Law) with a mandate to develop several topics, the first of which concerned a proposal by the United States, as described in document A/CN.9/WG.V/WP.93/Add.1, paragraph 8, to provide guidance on the interpretation and application of selected concepts of the UNCITRAL Model Law on Cross-Border Insolvency relating to centre of main interests and possibly to develop a model law or provisions on insolvency law addressing selected international issues, including jurisdiction, access and recognition, in a manner that would not preclude the development of a convention.195. 委员会回顾其曾作出决定,委托第五工作组(破产法)负责拟订若干议题,其中第一个议题涉及A/CN.9/WG.V/WP.93/Add.1号文件第8段所述美国的一项提议,即就如何解释和适用《贸易法委员会跨国界破产示范法》中与主要利益中心有关的某些概念提供指导,在可能的情况下,针对某些国际问题,包括管辖权、介入和承认等问题,拟订破产法示范法或条文,在工作方式上不排除制定一项公约。
196. With respect to the first part of that mandate, the Commission had before it the draft of proposed revisions to the Guide to Enactment of the Model Law on Cross-Border Insolvency (see A/CN.9/WG.V/WP.112) and the further revisions agreed by the Working Group at its forty-third session (see A/CN.9/766).196. 关于这项授权任务的第一部分,委员会收到对《跨国界破产示范法颁布指南》的拟议修订草案(见A/CN.9/WG.V/WP.112),以及工作组第四十三届会议商定的进一步修订(见A/CN.9/766)。
197. Having considered the text, the Commission adopted the following additional revisions:197. 在审议了案文之后,委员会通过了下述补充修订:
Reinsertion of paragraphs 14 to 17 of the published version of the Guide to Enactment of the Model Law on Cross-Border Insolvency after paragraph 13, under the heading “B. Origin of the Model Law”;在“B. 《示范法》的渊源”这一标题下,接着第13段,重新插入已公布的《跨国界破产示范法颁布指南》版本的第14-17段;
Insertion of a cross reference in paragraphs 123F and G so as to clarify that the date by reference to which those factors were to be considered by the court should be the date as discussed in paragraphs 128A to D;在第123F和G段插入参引标注,以澄清法院考虑这些因素时所依据的日期应当是第128A至D段讨论的日期;
Replacement of the words “The Model Law” at the beginning of paragraph 166 with the words “Article 23, paragraph 1”.在第166段的句首,以“《示范法》”取代“第23条第1款”等词语。
198. At its 973rd meeting, on 18 July 2013, the Commission adopted the following decision:198. 在2013年7月18日其第973次会议上,委员会通过了如下决定:
“The United Nations Commission on International Trade Law,“联合国国际贸易法委员会,
“Noting that legislation based upon the UNCITRAL Model Law on Cross-Border Insolvency has been enacted in some 20 States,“注意到有大约20个国家颁布了以《贸易法委员会跨国界破产示范法》为基础的法规,
“Noting also the widespread increase in the incidence of cross-border insolvency proceedings and, accordingly, the growing opportunities for use and application of the Model Law in cross-border insolvency proceedings and the development of international jurisprudence interpreting its provisions,“还注意到跨国界破产程序发生率普遍增加,因而在跨国界破产程序中使用和适用《示范法》以及发展对其条文进行解释的国际判例法的机会日渐增多,
“Noting further that courts frequently have reference to the Guide to Enactment of the Model Law for guidance on the background to the drafting and interpretation of its provisions,“又注意到法院经常参引《示范法颁布指南》,作为指导了解《示范法》条文的起草和解释的背景,
“Recognizing that some uncertainty with respect to the interpretation of certain provisions of the Model Law has emerged in the jurisprudence arising from its application in practice,“认识到在实际适用《示范法》时形成的判例法中,《示范法》某些条文的解释存在某种不确定性,
“Convinced of the desirability, in the interpretation of those provisions, of regard to the international origin of the Model Law and the need to promote uniformity in its application,“确信在解释这些条文时,应当考虑到《示范法》的国际渊源和需要促进《示范法》的统一适用,
“Convinced also of the desirability of providing additional guidance through revision of the Guide to Enactment of the Model Law with respect to the interpretation and application of selected aspects of the Model Law to facilitate uniform interpretation,“还确信应当通过修订《示范法颁布指南》,就《示范法》某些方面的解释和适用提供额外指导,以促进此种统一解释,
“Appreciating the support and participation of international intergovernmental and non-governmental organizations active in the field of insolvency law reform in the revision of the Guide to Enactment of the Model Law,“赞赏活跃于破产法改革领域的国际政府间组织和非政府组织对《示范法颁布指南》修订工作的支持和参与,
“Expressing its appreciation to Working Group V (Insolvency Law) for its work in revising the Guide to Enactment of the Model Law,“表示赞赏第五工作组(破产法)在修订《示范法颁布指南》方面所做的工作,
“1. Adopts the Guide to Enactment and Interpretation of the UNCITRAL Model Law on Cross-Border Insolvency, contained in document A/CN.9/WG.V/WP.112, as revised by the Working Group at its forty-third session (see A/CN.9/766) and by the Commission at its current session (see the report of the Commission on its forty-sixth session, (A/68/17), para. 197), and authorizes the Secretariat to edit and finalize the text of the Guide to Enactment and Interpretation in the light of those revisions;“1. 通过经工作组第四十三届会议(见A/CN.9/766)和委员会本届会议(见委员会第四十六届会议报告(A/68/17),第197段)修订的载于A/CN.9/WG.V/WP.112号文件的《贸易法委员会跨国界破产示范法颁布和解释指南》,并授权秘书处按照这些修订意见编辑和审定《颁布和解释指南》的案文;
“2. Requests the Secretary-General to publish, including electronically, the revised text of the Guide to Enactment and Interpretation of the Model Law, together with the text of the Model Law, and to transmit it to Governments and interested bodies, so that it becomes widely known and available;“2. 请秘书长发布包括以电子形式发布《示范法颁布和解释指南》修订本,连同《示范法》案文一起,并分送各国政府和相关机构,使之广为周知和可供查阅;
“3. Recommends that the Guide to Enactment and Interpretation of the Model Law be given due consideration, as appropriate, by legislators, policymakers, judges, insolvency practitioners and other individuals concerned with cross-border insolvency laws and proceedings;“3. 建议立法者、决策者、法官、破产从业人员和跨国界破产法律和程序其他相关人员酌情适当考虑《示范法颁布和解释指南》;以及
“4. Also recommends that all States continue to consider implementation of the UNCITRAL Model Law on Cross-Border Insolvency, and invites States that have enacted legislation based upon the Model Law to advise the Commission accordingly.”“4. 还建议所有国家继续考虑实施《贸易法委员会跨国界破产示范法》,并请以《示范法》为基础颁布了法规的国家相应通报委员会。
Finalization and adoption of legislative recommendations on directors’ obligations in the period approaching insolvency” B. 最后审定和通过关于临近破产期公司董事义务的立法建议
199. The Commission recalled its decision to entrust Working Group V (Insolvency Law) with a mandate to develop several topics, the second of which concerned a proposal by the United Kingdom (A/CN.9/WG.V/WP.93/Add.4), the International Association of Restructuring, Insolvency and Bankruptcy Professionals (INSOL International) (A/CN.9/WG.V/WP.93/Add.3) and the International Insolvency Institute (A/CN.9/582/Add.6) concerning the obligations of directors and officers of an enterprise in the period approaching insolvency.199. 委员会回顾其曾作出决定,委托第五工作组(破产法)负责拟订若干议题,其中第二个议题涉及由英国(A/CN.9/WG.V/WP.93/Add.4)、重组和破产管理专业人员国际协会(国际破产协会)(A/CN.9/WG.V/WP.93/Add.3)和国际破产研究学会(A/CN.9/582/Add.6)就临近破产期企业董事和管理人员义务而提出的一项建议。
The focus of the work undertaken on that topic has been upon the obligations that arise in the period approaching insolvency, but that become enforceable only once insolvency proceedings commence.关于这项议题所开展的工作重点一直是临近破产期所产生的但仅在破产程序启动后才可强制执行的义务。
200. With respect to that part of that mandate, the Commission had before it a draft of the proposed text on directors’ obligations in the period approaching insolvency (A/CN.9/WG.V/WP.113) and the revisions agreed by the Working Group at its forty-third session (see A/CN.9/766).200. 关于这项授权任务的这一部分,委员会收到关于临近破产期公司董事义务的拟订案文草案(A/CN.9/WG.V/WP.113),以及工作组第四十三届会议商定的修订(见A/CN.9/766)。
201. In accordance with the working assumption adopted by the Working Group, the draft text has been prepared as an additional part of the UNCITRAL Legislative Guide on Insolvency Law, and thus contains a commentary and a set of legislative recommendations.201. 根据工作组通过的工作设想,拟订了案文草案作为《贸易法委员会破产法立法指南》的一个添加部分,为此,其中载有条文的评议和一套立法建议。
202. Having considered the text, the Commission adopted the following additional revisions:202. 在审议了案文之后,委员会通过了下述补充修订:
Deletion of the words “As noted above” at the beginning of the third sentence of paragraph 37;在第37段第三句的句首,删除“如上所述”一语;
Deletion of the words “such as” in the second sentence of paragraph 51; and在第51段的第二句,删除“例如”二字;以及
Addition of a footnote with a cross-reference to paragraph 12 (a) of the glossary to the Legislative Guide to explain the phrase “administrative expenses” in recommendation 10.增加一个脚注,列明参见《立法指南》术语第12(a)段,对建议10中的“行政费用”一语进行解释。
203. Although no proposal was made to revise the current text, the concern was reiterated as to the appropriateness of including draft recommendation 12 on the basis that it could not properly be considered part of the law relating to insolvency, but pertained instead to corporate or criminal law.203. 虽然没有提出建议来修订当前的案文,但对列入建议12草案是否适当重申了所表示的关切,因为这项建议不能被妥当认为是关于破产的法律中的一部分,而是涉及公司法或刑法的范畴。
A different view was that the sorts of measures contemplated were available in the insolvency regimes in a number of jurisdictions and were aimed at encouraging appropriate behaviour on the part of directors.一种不同的观点是,一些法域的破产制度中含有所设想的那些种类的措施,其目的是鼓励公司董事的妥当行为。
204. At its 973rd meeting, on 18 July 2013, the Commission adopted the following decision:204. 在2013年7月18日其第973次会议上,委员会通过了下述决定:
“The United Nations Commission on International Trade Law,“联合国国际贸易法委员会,
“Recognizing that effective insolvency regimes are increasingly seen as a means of encouraging economic development and investment, as well as fostering entrepreneurial activity and preserving employment,“认识到有效的破产制度越来越多地被视为鼓励经济发展和投资以及促进创业活动和保持就业的一种手段,
“Considering that effective insolvency regimes, in addition to providing a predictable legal process for addressing the financial difficulties of troubled enterprises and the necessary framework for their efficient reorganization or orderly liquidation, should also permit an examination to be made of the circumstances giving rise to insolvency, and in particular the conduct of directors of such an enterprise in the period before insolvency proceedings commence,“认为有效的破产制度除了为化解陷入困境的企业的财务困难提供可预见的法律程序并为这些企业的高效重整或有序清算提供必要的框架外,还应当允许审视造成破产的情节,尤其是破产程序启动之前的一段时期此类企业董事的行为,
“Noting that the UNCITRAL Legislative Guide on Insolvency Law, while addressing the obligations of directors of an enterprise once insolvency proceedings commence, does not address the conduct of directors in the period approaching insolvency and the obligations that might be applicable to directors in that period,“注意到《贸易法委员会破产法立法指南》虽然述及破产程序一旦启动后企业董事的责任,但并未述及临近破产期企业董事的行为和这段时期可能对企业董事适用的义务,
“Considering that providing incentives for directors to take timely action to address the effects of financial distress experienced by an enterprise may be key to its successful reorganization or liquidation and that such incentives should be part of an effective insolvency regime,“考虑到激励董事及时采取行动化解企业遭遇的财务困境的影响可能是成功重整或清算的关键,此类激励应是有效破产制度的组成部分,
“Appreciating the support and participation of international intergovernmental and non-governmental organizations active in the field of insolvency law reform in the development of an additional part of the Legislative Guide addressing the obligations of directors in the period approaching insolvency,“赞赏活跃于破产法改革领域的国际政府间组织和非政府组织对增编《立法指南》关于临近破产期企业董事义务的部分给予的支持和参与,
“Expressing its appreciation to Working Group V (Insolvency Law) for its work in developing part four of the Legislative Guide, on the obligations of directors in the period approaching insolvency,“表示赞赏第五工作组(破产法)为编写《立法指南》关于临近破产期企业董事义务的第四部分所做的工作,
“1. Adopts part four of the UNCITRAL Legislative Guide on Insolvency Law, consisting of the text in document A/CN.9/WG.V/WP.113 as revised by the Working Group at its forty-third session (see A/CN.9/766) and by the Commission at its current session (see the report of the Commission on its forty-sixth session (A/68/17), para. 202), and authorizes the Secretariat to edit and finalize the text of part four of the UNCITRAL Legislative Guide on Insolvency Law in the light of those revisions;“1. 通过《贸易法委员会破产法立法指南》第四部分,该部分由经工作组第四十三届会议(见A/CN.9/766号文件)和委员会本届会议(见委员会第四十六届会议报告(A/68/17),第202段)修订的A/CN.9/WG.V/ WP.113号文件所载案文构成;并授权秘书处按照这些修订意见编辑和审定《贸易法委员会破产法立法指南》第四部分的案文;
“2. Requests the Secretary-General to publish, including electronically, the text of part four of the UNCITRAL Legislative Guide on Insolvency Law, to transmit it to Governments and other interested bodies and to consider consolidating parts one to four of the Legislative Guide and publishing them, including electronically, at a future date;“2. 请秘书长发布包括以电子形式发布《贸易法委员会破产法立法指南》第四部分的案文,将其分送各国政府和相关机构,并考虑合并《立法指南》第一至第四部分,在今后某个时候予以发布,包括以电子形式发布;以及
“3. Recommends that all States utilize the UNCITRAL Legislative Guide on Insolvency Law to assess the economic efficiency of their insolvency law regimes and give favourable consideration to the Legislative Guide when revising or adopting legislation relevant to insolvency, and invites States that have used the Guide to advise the Commission accordingly.”“3. 建议所有国家利用《贸易法委员会破产法立法指南》评估本国破产法制度的经济效率,在修订或通过与破产相关的立法时积极考虑到该《立法指南》,并请已采用该《指南》的国家相应通报委员会。
Finalization of revisions to the UNCITRAL Model Law on Cross-Border Insolvency:” C. 最后审定对《〈跨国界破产示范法〉:
the Judicial Perspective司法角度的审视》的修订
205. The Commission recalled its decision at its forty-fourth session, in 2011, to adopt the UNCITRAL Model Law on Cross-Border Insolvency:205. 委员会回顾其2011年第四十四届会议的决定,其中通过了《〈贸易法委员会跨国界破产示范法〉:
the Judicial Perspective and its request to the Secretariat to establish a mechanism for updating the Judicial Perspective on an ongoing basis in the same flexible manner in which it was developed, ensuring that its neutral tone was maintained and that it continued to meet its stated purpose.司法角度的审视》,并请秘书处建立一个机制,采用拟订《司法角度的审视》的同样灵活方式持续更新这一文本,确保维持中性的语气和继续符合所申明的目的。
206. The Commission noted that the Secretariat had established a board of experts to advise on the updating of the Judicial Perspective to take account of recent jurisprudence interpreting the Model Law on Cross-Border Insolvency and to reflect revisions proposed to the Guide to Enactment of the Model Law on Cross-Border Insolvency.206. 委员会注意到,秘书处成立了一个专家委员会,就《司法角度的审视》一文的更新提供咨询建议,以便考虑到近期的司法判例对《跨国界破产示范法》的解释,并反映对《跨国界破产示范法颁布指南》提出的修订。
207. The Commission had before it the draft of the proposed updates to the Judicial Perspective (A/CN.9/778) and the report of the Working Group on its forty-third session (A/CN.9/766), in which the Working Group had noted the proposed updates to the text.207. 委员会收到对《司法角度的审视》提出的更新草案(A/CN.9/778)以及工作组第四十三届会议报告(A/CN.9/766),工作组在报告中注意到对案文提出的更新。
The Commission noted that the updated text had also been provided to the participants in the Tenth Multinational Judicial Colloquium, organized by UNCITRAL in conjunction with INSOL International and the World Bank, which had been held in The Hague on 18 and19 May 2013.委员会注意到,更新后的案文也已提供给贸易法委员会与国际破产协会和世界银行一起于2013年5月18日至19日在海牙举行的第十次多国司法座谈会的与会者。
208. The Commission agreed that the preface should include reference to the names and States of the experts constituting the board of experts consulted on the updates to the Judicial Perspective.208. 委员会商定,序言中应当包括提及就更新《司法角度的审视》一文时所咨询的专家委员会各位专家的姓名和国籍。
The Commission also supported a suggestion that the preface should clarify that judgements issued prior to 15 April 2013 were included and that later judgements would be considered for inclusion in a subsequent update of the Judicial Perspective.委员会还支持一项建议,认为序言应当阐明,文中包括了2013年4月15日之前发布的判决,之后的判决将考虑包括在《司法角度的审视》随后的更新本中。
209. The Commission took note of the updates to the Judicial Perspective and commended the Secretariat and the board of experts for their work in maintaining the currency of the text, which provided a valuable resource for judges considering insolvency cases involving cross-border issues.209. 注意到对《司法角度的审视》的更新,赞扬秘书处和专家委员会为保持案文的时效而开展的工作,该文件为法官审议涉及跨国界问题的破产案件提供了一个宝贵的参考资源。
The Commission authorized the Secretariat to edit and finalize the text of the updated Judicial Perspective and requested that it be published, including electronically, and transmitted to Governments, together with the request that the text be made available to relevant authorities so that it would become widely known and available.委员会授权秘书处编辑和审定《司法角度的审视》的更新文本,并请予以发布,包括以电子形式发布,同时分送各国政府,并请其将案文提供给相关的当局,以便广为周知和可供查阅。
Progress report of Working Group V第五工作组进度报告
210. The Commission considered the reports of the Working Group on its forty-second and forty-third sessions (A/CN.9/763 and A/CN.9/766), noting that at its forty-third session (New York, 15-19 April 2013) the Working Group had discussed remaining elements of the mandate referred to in paragraph 195 above, particularly as it related to the applicability of the concept of centre of main interests to enterprise groups and the possible development of a model law or provisions on insolvency law addressing selected international issues, including jurisdiction, access and recognition, in a manner that would not preclude the development of a convention, together with other topics for possible future work.210. 委员会审议了工作组第四十二届和第四十三届会议的报告(A/CN.9/763和A/CN.9/766),注意到在工作组第四十三届会议(2013年4月15日至19日,纽约)上,讨论了上文第195段所述授权任务的其余部分,特别是因为其涉及主要利益中心概念对企业集团的可适用性,以及在可能的情况下编拟破产法示范法或条文,处理选定的一些国际问题,包括管辖权、介入和承认,在工作方式上不排除制订一项公约,并连同讨论了今后可能工作的其他议题。
211. The Commission held a preliminary exchange of views, noting that decisions on the priority of these issues and on issues of future work would subsequently be made under agenda item 16 (see paras. 292-332 below).211. 委员会举行了一次初步意见交换,注意到随后将在议程项目16下就这些议题的优先顺序和今后工作的议题作出决定(见下文第292-332段)。
Reference was made to the proposal in A/CN.9/789 and to the conclusions of the Working Group in paragraphs 104 to 109 of A/CN.9/766.发言中提到了A/CN.9/789中的建议和A/CN.9/766第104至109段中的工作组结论。
It was noted that enterprise group issues in cross-border insolvency continued to be an area of key concern and that continuing the work in this area could usefully build upon existing consensus reached in respect of centre of main interests and directors’ obligations in the context of single enterprises.注意到跨国界破产中的企业集团问题继续是一个关键的关切领域,在这一领域继续开展工作时似宜建立在就主要利益中心和单独企业的董事义务而达成的现有共识之上。
212. Support was expressed for the holding of a colloquium to enable the Working Group to clarify enterprise group issues and other parts of its current mandate.212. 对举行一次座谈会表示了支持,以便使工作组能够澄清企业集团问题和当前授权任务的其他部分。
It was suggested that such a colloquium could also provide an opportunity to consider topics for possible future work, including those that may be of particular interest to developing countries, those of particular relevance to dealing with the global financial crisis and specific matters such as treatment of employee rights in insolvency and the interface between specialized insolvency regimes being developed for banking and financial institutions and general insolvency law.据指出,这一座谈会还可提供一个机会,审议今后可能工作的议题,包括发展中国家可能特别感兴趣的那些议题、与处理全球金融危机具有特别关系的那些议题,以及一些具体事项,例如在破产时对职员权利的处理,以及正在为银行和金融机构制订的专门破产制度与一般破产法之间的衔接问题。
Another view was that Working Group V should continue with its mandate as planned.另一种观点是,第五工作组应继续按计划执行其授权任务。
Yet another view was that the mandate should not proceed, as the Working Group did not have a plan for what its work on those topics would produce and no work should take place until that issue was clarified.还有一种观点是,不应再继续执行授权任务,因为关于其就这些议题的工作将产生什么结果,工作组并没有一个计划,在这个问题澄清之前不应开展任何工作。
213. A related issue was whether such a colloquium should replace Working Group sessions currently scheduled for 2013 and 2014.213. 一个相关的问题是这一座谈会是否应当取代目前定于2013年和2014年举行的工作组届会。
One view was that it should not, and that once the colloquium had been held to clarify how best to approach the existing mandate, the Working Group sessions should proceed and that further approval from the Commission was not required to undertake work to complete the existing mandate.一种意见是,不应当取代,而且一旦举行座谈会澄清现有授权任务的最佳处理方式之后,工作组届会应当继续进行,开展工作完成现有授权任务不必得到委员会的进一步批准。
A different view was that a colloquium should take the place of Working Group sessions scheduled for 2013 and 2014 and that Working Group sessions would resume only with the approval of the Commission.一种不同的意见是,应以一次座谈会取代定于2013年和2014年举行的工作组届会,工作组的届会将只能在得到委员会的批准后才能恢复。
(For further consideration of this matter, see paras. 324-326 below.)(关于这一事项的进一步审议,见下文第324-326段。
Consideration of issues in the area of public procurement) 六. 审议公共采购领域的问题
214. The Commission recalled its instructions to the Secretariat to undertake a study of topics that were not adequately covered in the UNCITRAL Model Law on Public Procurement (2011) and its accompanying Guide to Enactment and that might warrant guidance papers to support the effective implementation, interpretation and use of the Model Law, to explore options for publishing and publicizing the various resources and papers themselves, including through cooperation with other relevant reform agencies, and to undertake a study of existing resources and publications of those agencies that might be made available to such ends.214. 委员会回顾了给秘书处下达的指示: 就《贸易法委员会公共采购示范法》(2011年)及其配套的《颁布指南》中未充分涉及但可能需要为支持《示范法》的有效执行、解释和使用而提供指导文件的主题进行一项研究,探索通过与其他相关改革机构合作等方式登载和宣传各种资料及文件本身的各种选择办法,并就有可能为此目的提供的这些机构的现有资料和出版物进行一项研究。
215. The Commission considered two draft documents produced to support the Model Law in this way:215. 委员会审议了为了在这方面支持《示范法》而编拟的两份文件草稿:
“Guidance on procurement regulations to be promulgated in accordance with article 4 of the UNCITRAL Model Law on Public Procurement” (A/CN.9/770) and “Glossary of procurement-related terms used in the UNCITRAL Model Law on Public Procurement” (A/CN.9/771).关于根据《贸易法委员会公共采购示范法》第4条需要颁布的采购条例的指导意见(A/CN.9/770)和《贸易法委员会公共采购示范法》中使用的采购相关术语的术语表(A/CN.9/771)。
216. The Commission adopted the following decision regarding those documents:216. 委员会通过了关于这些文件的下列决定:
“The United Nations Commission on International Trade Law,“联合国国际贸易法委员会,
“Recalling the adoption of its Model Law on Public Procurement at its forty-fourth session, in 2011, and an accompanying Guide to Enactment at its forty-fifth session, in 2012,“回顾在其2011年第四十四届会议上通过了《贸易法委员会公共采购示范法》,并在其2012年第四十五届会议上通过了与之配套的《颁布指南》,
“Expressing appreciation to the Secretariat for having prepared the documents “Guidance on procurement regulations to be promulgated in accordance with article 4 of the UNCITRAL Model Law on Public Procurement” (A/CN.9/770) and “Glossary of procurement-related terms used in the UNCITRAL Model Law on Public Procurement” (A/CN.9/771),“表示赞赏秘书处编拟了“关于根据《贸易法委员会公共采购示范法》第4条需要颁布的采购条例的指导意见”(A/CN.9/770)和“《贸易法委员会公共采购示范法》中使用的采购相关术语的术语表”(A/CN.9/771)这两份文件,
“1. Adopts the documents “Guidance on procurement regulations to be promulgated in accordance with article 4 of the UNCITRAL Model Law on Public Procurement” and “Glossary of procurement-related terms used in the UNCITRAL Model Law on Public Procurement”;“1. 通过上文提及的关于采购条例的指导意见和术语表;
“2. Requests the Secretary-General to publish those documents, including electronically, to disseminate them broadly to Governments and other interested bodies and to make all efforts to ensure that they become generally known and available;“2. 请秘书长发表这些文件,包括以电子方式发表,向各国政府及其他有关机构广泛传播这些文件,并尽一切努力确保这些文件广为人知,可普遍查取;
“3. Recommends that those documents be considered by States and reform agencies when reforming public procurement systems on the basis of the UNCITRAL Model Law on Public Procurement and accompanying Guide to Enactment, so as to support the effective implementation and use of the Model Law.”“3. 建议各国和各改革机构在根据《贸易法委员会公共采购示范法》及其配套的《颁布指南》改革公共采购制度时考虑到这些文件,以便支持《示范法》的有效执行和使用。 ”
217. As regards the other topics with regard to which additional guidance had been suggested by the Commission at its forty-fifth session, in 2012, and in response to an oral report of the Secretariat on its consultations with experts on these topics, the Commission decided that:217. 关于委员会在其2012年第四十五届会议上建议提供补充指导意见的其他主题,根据秘书处就其与专家关于这些主题的协商的口头报告,委员会决定如下:
Issues of contract management and administration and procurement planning might be addressed in any future work in the field of public-private partnerships; accordingly, no further work on those topics should be undertaken at this time (as regards future work in the field of public-private partnerships, see paras. 327-331 below);合同管理和行政问题以及采购规划问题可以放在公私伙伴关系领域今后的工作中处理;因此,目前不开展关于这些主题的进一步工作(关于公私伙伴关系方面今后的工作,见下文327-331段);
A detailed existing publication of a member State on issues of promoting competition in the procurement process and mitigating risks of collusion had been provided to UNCITRAL, and the Secretariat was encouraged to make reference to it on the UNCITRAL website;一个成员国向贸易法委员会提供了一本关于促进采购过程竞争和减轻串通风险的出版物,鼓励秘书处在贸易法委员会网站上提及该出版物;
The Model Law and the Guide addressed in sufficient detail the legal aspects of the effective use of the Model Law’s procurement methods, centralized purchasing and framework agreements, sustainability and environmental procurement and access for small and medium-sized enterprises to procurement markets, but recognized that other reform agencies might publish additional material on the implementation and use of legal enabling provisions, as experience with such tools increases; where such additional materials could support the effective implementation and use of the Model Law, they would be brought to the Commission for its consideration in due course;《示范法》及其《指南》十分详细地述及有效使用《示范法》采购方法所涉及的法律方面、集中采购和框架协议、可持续性、环境相关采购以及中小型企业进入采购市场,但是,随着使用这些工具的经验的增加,其他改革机构也可能发表关于法律赋权条文执行和使用的补充材料;如果这些材料可有助于《示范法》的有效执行和使用,将在适当时候提供这些材料供委员会审议;
Although the importance of the remaining topics was growing, they were not addressed in the Model Law or in detail in the Guide to Enactment (notably, use of contractors, issues relating to their capabilities, suspension, debarment and “self-cleaning”); if additional materials from outside sources, or if it were suggested that additional materials developed by UNCITRAL, could support the effective implementation and use of the Model Law, the matter would be brought to the Commission for its consideration in due course;尽管其余一些主题的重要性日益增加,但并未在《示范法》中涉及,也未在《颁布指南》中详细论及(主要是使用承包人和与其能力相关的问题,以及暂停资格、禁止令和“自清门户”);如果外部来源编写补充材料可有助于《示范法》的有效执行和使用,或者建议由贸易法委员会编写补充材料亦可有助于《示范法》的有效执行和使用,将在适当时候提请委员会审议这一事项;
Further work on harmonization between public procurement law and other branches of law was considered to be of lower priority and would not be considered further at this time.关于公共采购示范法与其他法律分支之间的协调,认为进一步就此开展工作属于较低优先事项,目前不作进一步考虑。
Online dispute resolution:七. 网上解决争议:
progress report of Working Group III第三工作组进度报告
218. The Commission recalled its previous discussions of online dispute resolution and took note with appreciation of the progress made by Working Group III (Online Dispute Resolution), as reflected in its reports on its twenty-second to twenty-seventh sessions (A/CN.9/716, A/CN.9/721, A/CN.9/739, A/CN.9/744, A/CN.9/762 and A/CN.9/769).218. 委员会回顾了之前就网上解决争议进行的讨论,并赞赏第三工作组(网上解决争议)取得的进展,如其第二十二届至第二十七届会议报告(A/CN.9/ 716、A/CN.9/721、A/CN.9/739、A/CN.9/744、A/CN.9/762和A/CN.9/769)所示。
The Commission commended the Secretariat for the working papers and reports prepared for those sessions.委员会赞扬秘书处为这些届会编写的工作文件和报告。
219. In relation to the recent deliberations of the Working Group, the Commission recalled that differing views had been expressed in the Working Group in relation to the nature of the final stage of online dispute resolution proceedings under the draft rules being discussed in the Working Group, and that in order to reconcile those views, the Working Group had proposed at its twenty-sixth session, a two-track system, one track of which ended in arbitration and one of which did not.219. 关于工作组最近的审议情况,委员会回顾,工作组内对工作组正在讨论的规则草案制度网上解决争议程序最后阶段的性质有分歧,为了调和这些不同意见,工作组在第二十六届会议上提出了“双轨制”,其中,一个轨道以仲裁结束,另一个轨道则不以仲裁结束。
It was recalled that the genesis of that proposal could be found in document A/CN.9/762 and its annex.回顾说,A/CN.9/762号文件及其附件载有该提议的概要。
220. The Commission noted that at the twenty-seventh session of the Working Group, a number of delegations had reiterated that the Working Group needed to devise a global online dispute resolution system accommodating both jurisdictions that provided for pre-dispute arbitration agreements to be binding on consumers and jurisdictions that did not (A/CN.9/769, para. 16).220. 委员会注意到,在工作组第二十七届会议上,一些代表团重申,工作组设计的网上解决争议全球性制度既要顾及那些规定争议前仲裁协议对消费者有约束力的法域,又要顾及那些规定争议前仲裁协议对消费者无约束力的法域(A/CN.9/769,第16段)。
The Commission took note of the two structural proposals in relation to the rules that had been made at that session, one for a business-to-business set of rules intended to precede the development of a business-to-consumer set of rules, and the other a modified proposal implementing a two-track system.委员会注意到在该届会议上就规则的结构提出的两项建议,一项建议提出在针对企业对消费者拟订一套规则之前先拟订企业对企业的一套规则,另一项建议则是对双轨制提出的修改建议。
The Commission further noted the determination of the Working Group in relation to those proposals, namely, that there had not been a preponderance of views supporting the discarding of the two-track system in favour of a business-to-business-only set of rules as a preliminary stage, and that all components of the modified two-track proposal would be put in square brackets for further consideration and that the concerns raised in relation to that proposal would be further addressed (A/CN.9/769, paras. 14-43).委员会还注意到工作组就这些建议断定,对初级阶段放弃双轨制而选择只考虑企业对企业的一套《规则》尚未形成绝对多数意见,经修改的双轨制建议的所有组成部分都将放在方括号内供进一步审议,就该建议提出的关切也需作进一步处理(A/CN.9/769,第14-43段)。
221. At its forty-fifth session, in 2012, the Commission had decided that the Working Group should:221. 委员会在2012年第四十五届会议上决定,工作组应当:
consider and report back at a future session of the Commission on how the draft rules would respond to the needs of developing countries and those facing post-conflict situations, in particular with regard to the need for an arbitration phase to be part of the process; (b) continue to include in its deliberations the effects of online dispute resolution on consumer protection in developing and developed countries and countries in post-conflict situations, including in cases where the consumer was the respondent party in an online dispute resolution process; and (c) continue to explore a range of means of ensuring that online dispute resolution outcomes were effectively implemented, including arbitration and possible alternatives to arbitration.(a)审议规则草案如何响应发展中国家和面临冲突后局势国家的需要,尤其是对于将仲裁阶段作为程序的一部分的需要,并就此向委员会今后届会提出报告;(b)应当继续将网上解决争议在发展中国家和发达国家以及冲突后局势下国家对消费者保护的影响问题列入其审议工作,包括消费者在网上解决争议程序中是被申请人的情形;(c)应当继续探讨确保网上解决争议的结果得到有效执行的一系列方式,包括仲裁以及可能的仲裁替代办法;此外,委员会还重申工作组在价值低、数量大的跨境电子交易方面的任务授权。
At that session, the Commission furthermore reaffirmed the mandate of the Working Group on online dispute resolution in respect of low-value, high-volume cross-border electronic transactions, and the Working Group was encouraged to continue to conduct its work in the most efficient manner possible.委员会在该届会议上进一步重申工作组在涉及价值低、数量大的跨境电子交易的网上解决争议方面的任务授权,并鼓励工作组继续尽可能高效地开展工作。
222. After discussion, the Commission unanimously confirmed the decision made at its previous session on the matter, namely that:222. 经过讨论,委员会一致确认了在其上届会议上作出的下述决定,即:
The Working Group should consider and report back at a future session of the Commission on how the draft rules would respond to the needs of developing countries and those facing post-conflict situations, in particular with regard to the need for an arbitration phase to be part of the process;工作组应当审议规则草案如何响应发展中国家和面临冲突后局势国家的需要,尤其是对于将仲裁阶段作为程序的一部分的需要,并就此向委员会今后届会提出报告;
The Working Group should continue to include in its deliberations the effects of online dispute resolution on consumer protection in developing and developed countries and countries in post-conflict situations, including in cases where the consumer was the respondent party in an online dispute resolution process;工作组应当继续将网上解决争议在发展中国家和发达国家以及冲突后局势下国家对消费者保护的影响问题列入其审议工作,包括消费者在网上解决争议程序中是被申请人的情形;
The Working Group should continue to explore a range of means of ensuring that online dispute resolution outcomes were effectively implemented, including arbitration and possible alternatives to arbitration;工作组应当继续探讨确保网上解决争议的结果得到有效执行的一系列方式,包括仲裁以及可能的仲裁替代办法;
The mandate of the Working Group on online dispute resolution in respect of low-value, high-volume cross-border electronic transactions was reaffirmed, and that the Working Group was encouraged to continue to conduct its work in the most efficient manner possible.重申第三工作组对于涉及价值低、数量大的跨境电子交易的网上解决争议的任务授权,并鼓励工作组继续尽可能高效地开展工作。
Electronic commerce:八. 电子商务:
progress report of Working Group IV第四工作组进度报告
223. The Commission recalled that at its forty-fourth session, in 2011, it had mandated Working Group IV (Electronic Commerce) to undertake work in the field of electronic transferable records.223. 委员会回顾其2011年第四十四届会议授权第四工作组(电子商务)在电子可转让记录领域开展工作。
At its current session, the Commission had before it reports of the Working Group on its forty-sixth session (A/CN.9/761), held in Vienna from 29 October to 2 November 2012, and forty-seventh session (A/CN.9/768), held in New York from 13 to 17 May 2013.在本届会议上,委员会收到了2012年10月29日至11月2日在维也纳举行的工作组第四十六届会议的报告(A/CN.9/761)和2013年5月13日至17日在纽约举行的第四十七届会议的报告(A/CN.9/768)。
224. The Commission noted that the Working Group, at its forty-sixth session, had agreed that generic rules based on a functional approach should be developed encompassing various types of electronic transferable records and that draft provisions should be prepared in the form of a model law, without prejudice to the decision on the final form (A/CN.9/761, paras. 18 and 93).224. 委员会注意到,工作组在第四十六届会议上商定应当制订基于功能处理法的通用规则,其中涵盖各类电子可转让记录,并且应当编写示范法形式的条文草案,同时不影响就最后的形式作出决定(A/CN.9/761,第18和93段)。
It was further noted that the Identity Management Legal Task Force of the American Bar Association had submitted a paper on identity management (A/CN.9/WG.IV/WP.120) for that session.还注意到美国律师协会身份管理问题法律工作队向该届会议提交了一份关于身份管理的文件(A/CN.9/WG.IV/WP.120)。
225. The Commission noted that the Working Group, at its forty-seventh session, had had the first opportunity to consider the draft provisions on electronic transferable records with the general understanding that its work should be guided by the principles of functional equivalence and technological neutrality, and should not deal with matters governed by the substantive law (A/CN.9/768, para. 14).225. 委员会注意到,工作组在第四十七届会议上第一次有机会审议电子可转让记录条文草案,普遍理解是工作组的工作应以功能等同和技术中性原则为指导,不应涉及实体法管辖的事项(A/CN.9/768,第14段)。
226. The view was expressed that work on electronic transferable records should take into consideration the Convention Providing a Uniform Law for Bills of Exchange and Promissory Notes (Geneva, 7 June 1930) and the Convention Providing a Uniform Law for Cheques (Geneva, 19 March 1931), as dematerialization or introduction of electronic equivalents of such instruments might create legal difficulties in States parties to those conventions.226. 有观点认为,关于电子可转让记录的工作应当考虑到《统一汇票本票法公约》(1930年6月7日,日内瓦)和《统一支票法公约》(1931年3月19日,日内瓦),因为在这些公约的缔约国,此类票据的非物质化或者引入此类票据的电子等同形式可能造成法律困难。
227. Noting that the current work of the Working Group would greatly assist in facilitating electronic commerce in international trade, the Commission expressed its appreciation to the Working Group for the progress made and commended the Secretariat for its work.227. 委员会注意到工作组目前的工作将大大有助于促进在国际贸易中推行电子商务,对工作组取得的进展表示赞赏,并赞扬秘书处所做的工作。
228. The Commission also took note of other developments in the field of electronic commerce.228. 委员会还注意到电子商务领域的其他发展情况。
It was first noted that the United Nations Convention on the Use of Electronic Communications in International Contracts (New York, 2005) had entered into force on 1 March 2013 with three States parties.首先指出,《联合国国际合同使用电子通信公约》(2005年,纽约)已于2013年3月1日生效,有三个缔约国。
It was further explained that substantive provisions of the Electronic Communications Convention, which had 16 additional signatories, had influenced States that were revising or enacting their legislation on electronic commerce, and thus had the unforeseen yet very positive effect of updating and supplementing the UNCITRAL Model Law on Electronic Commerce.还解释说,另有16个签署方的《电子通信公约》的实质性条款对正在修订或颁布本国电子商务立法的国家产生了影响,因而发挥了未曾想到的非常积极的作用,有助于修订和补充《贸易法委员会电子商务示范法》。
229. The Commission was also informed about the technical assistance and coordination activities in the field of electronic commerce undertaken by the Secretariat, including through the UNCITRAL Regional Centre for Asia and the Pacific.229. 还向委员会通报了秘书处在电子商务领域开展的技术援助和协调活动,包括通过贸易法委员会亚洲及太平洋区域中心开展的活动。
It was noted that cooperation activities, such as the Secretariat’s participation in the revision of recommendation No. 14 on authentication of trade documents by means other than signature of the United Nations Centre for Trade Facilitation and Electronic Business, ensured the consistency of such projects with UNCITRAL texts on electronic commerce.注意到一些合作活动如秘书处参与修订联合国贸易便利化和电子商务中心关于贸易单证认证的第14号建议,确保这类项目与贸易法委员会电子商务法规保持一致。
Coordination with the Economic and Social Commission for Asia and the Pacific, the World Customs Organization and the European Commission were also noted.还注意到与亚洲及太平洋经济社会委员会(亚太经社会)、世界海关组织和欧盟委员会的协调。
230. After discussion, the Commission reaffirmed the mandate of the Working Group relating to electronic transferable records and requested the Secretariat to continue reporting to the Commission on relevant developments in the field of electronic commerce.230. 经过讨论,委员会再次确认工作组与电子可转让记录有关的任务授权,并请秘书处继续向委员会报告电子商务领域的相关发展情况。
Technical assistance:九. 技术援助:
law reform法律改革
231. The Commission had before it a note by the Secretariat (A/CN.9/775) describing the technical cooperation and assistance activities undertaken subsequent to the date of the note on that topic submitted to the Commission at its forty-fifth session, in 2012 (A/CN.9/753).231. 委员会收到了秘书处的一份说明(A/CN.9/775),其中介绍了在向委员会2012年第四十五届会议提交有关这一议题的说明(A/CN.9/753)之日后开展的技术合作与援助活动。
The Commission stressed the importance of such technical cooperation and assistance and expressed its appreciation for the activities undertaken by the Secretariat referred to in document A/CN.9/775.委员会强调了此种技术合作和援助的重要性,并对A/CN.9/775号文件中提到的秘书处开展的活动表示赞赏。
232. The Commission noted that the continuing ability to respond to requests from States and regional organizations for technical cooperation and assistance activities was dependent upon the availability of funds to meet associated costs.232. 委员会注意到,能否继续响应各国和各区域组织对技术合作和援助活动的请求,取决于是否有资金支付相关费用。
The Commission further noted that, despite efforts by the Secretariat to solicit new donations, funds available in the UNCITRAL Trust Fund for Symposia were very limited.委员会还注意到,虽然秘书处为争取新的捐款作出了种种努力,但贸易法委员会专题讨论会信托基金可用资金仍然非常有限。
Accordingly, requests for technical cooperation and assistance activities continued to be very carefully considered, and the number of such activities, which of late had mostly been carried out on a cost-share or no-cost basis, was limited.因此,仍然对各种技术合作和援助活动请求进行认真审议,此种活动数量仍然有限,而且近来大多以费用分摊或无费用的方式进行。
The Commission requested the Secretariat to continue exploring alternative sources of extrabudgetary funding, in particular by more extensively engaging permanent missions, as well as other possible partners in the public and private sectors.委员会请秘书处继续探索其他预算外资金来源,特别是更广泛地动员各常驻代表团以及公共和私营部门其他潜在合作伙伴参与。
The Commission also encouraged the Secretariat to seek cooperation with international organizations, including through regional offices, and bilateral assistance providers in the provision of technical assistance, and appealed to all States, international organizations and other interested entities to facilitate such cooperation and take any other initiative to maximize the use of relevant UNCITRAL standards in law reform.委员会还鼓励秘书处在提供技术援助时争取包括通过区域办事处与各国际组织合作以及与双边援助提供者合作,吁请所有国家、国际组织和其他相关实体为此种合作提供便利,并采取任何其他举措以期在法律改革中最大限度地利用贸易法委员会相关标准。
233. The Commission reiterated its appeal to all States, international organizations and other interested entities to consider making contributions to the UNCITRAL Trust Fund for Symposia, if possible in the form of multi-year contributions or as specific-purpose contributions, in order to facilitate planning and enable the Secretariat to meet the increasing number of requests from developing countries and countries with economies in transition for technical cooperation and assistance activities.233. 委员会再次吁请所有国家、国际组织和其他有关实体考虑向贸易法委员会专题讨论会信托基金提供捐款,可能的话采用多年期捐款形式,或提供专门用途捐款,以便于进行规划并使秘书处能够满足发展中国家和经济转型期国家提出的越来越多的技术合作和援助活动请求。
The Commission expressed its appreciation to the Government of the Republic of Korea, through its Ministry of Justice, and to the Government of Indonesia for their contributions to the Trust Fund since the Commission’s forty-fifth session, as well as to organizations that had contributed to the programme by providing funds or by hosting seminars.委员会对大韩民国政府通过其司法部并对印度尼西亚政府自委员会第四十五届会议以来向该信托基金提供捐款表示感谢,并感谢一些组织通过提供经费或主办研讨会对该方案作出贡献。
234. The Commission appealed to the relevant bodies of the United Nations system, organizations, institutions and individuals to make voluntary contributions to the Trust Fund established to provide travel assistance to developing countries that were members of the Commission.234. 委员会吁请联合国系统相关机构、各组织、机构和个人提供自愿捐款,资助为向委员会成员国中的发展中国家提供旅行补助而设立的信托基金。
The Commission expressed its appreciation to Austria for contributing to the UNCITRAL Trust Fund since the Commission’s forty-fifth session, thereby enabling travel assistance to be granted to developing countries that were members of UNCITRAL.委员会感谢奥地利自委员会第四十五届会议以来向贸易法委员会信托基金提供捐款,从而促成向贸易法委员会成员国中的发展中国家提供旅行补助。
Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts十. 促进可确保贸易法委员会法规统一解释和适用的方式方法
235. The Commission considered document A/CN.9/777, “Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts”, which provided information on the current status of the case law on UNCITRAL texts (CLOUT) system and of the digests of case law on the United Nations Convention on Contracts for the International Sale of Goods and on the UNCITRAL Model Law on International Commercial Arbitration.235. 委员会审议了A/CN.9/777号文件,即“促进可确保贸易法委员会法规统一解释和适用的方式方法”,其中介绍了贸易法委员会法规判例法(法规判例法)系统的现状以及与《联合国国际货物销售合同公约》和《贸易法委员会国际商事仲裁示范法》有关的判例法摘要集的现状。
236. The Commission expressed its continuing belief that the CLOUT system and the digests were an important tool for promoting uniform interpretation of international trade law and noted with appreciation the increasing number of UNCITRAL legal texts that were currently represented in the CLOUT system.236. 委员会表示仍然认为法规判例法系统和摘要集是促进国际贸易法统一解释的重要工具,并赞赏地注意到目前法规判例法系统收录了越来越多的贸易法委员会法规。
As at 26 April 2013 (date of document A/CN.9/777), 128 issues of compiled case-law abstracts had been prepared, dealing with 1,234 cases.截至2013年4月26日(A/CN.9/777号文件截稿日),已编写128期判例法摘要汇编,涉及1,234个判例。
The cases relate to the New York Convention and the following nine UNCITRAL texts:这些判例涉及《纽约公约》和下列9部贸易法委员会法规:
Convention on the Limitation Period in the International Sale of Goods (New York, 1974) and Convention on the Limitation Period in the International Sale of Goods as amended by the Protocol of 11 April 1980 (Vienna)― 《国际货物销售时效期限公约》(1974年,纽约)和经1980年4月11日(维也纳)议定书修正的《国际货物销售时效期限公约》;
United Nations Convention on the Carriage of Goods by Sea (Hamburg, 1978)― 《联合国海上货物运输公约》(1978年,汉堡);
United Nations Sales Convention― 《联合国销售公约》;
UNCITRAL Model Law on International Credit Transfers (1992)― 《贸易法委员会国际信贷划拨示范法》(1992年);
United Nations Convention on Independent Guarantees and Stand-by Letters of Credit (New York, 1995)― 《联合国独立担保和备用信用证公约》(1995年,纽约);
UNCITRAL Model Law on International Commercial Arbitration (1985), with amendments as adopted in 2006― 《贸易法委员会国际商事仲裁示范法》(1985年),附带2006年通过的修正案;
UNCITRAL Model Law on Electronic Commerce, 1996― 1996年《贸易法委员会电子商务示范法》;
UNCITRAL Model Law on Cross-Border Insolvency― 《贸易法委员会跨国界破产示范法》;
Electronic Communications Convention.― 《电子通信公约》。
While most of the abstracts published came from Western European and other States, a small decrease in the number of abstracts attributable to that regional group and a parallel modest increase in the abstracts from Latin America and the Caribbean was recorded, compared to the figures in 2012.虽然出版的摘要多数来自西欧和其他国家,但与2012年的数字相比,归于该区域组的摘要数目有了小幅下降,而来自拉丁美洲和加勒比的摘要数目则有了相应的适度增加。
The volume of abstracts from the other regional groups had not changed.来自其他区域组的摘要数目没有变化。
237. The network of national correspondents initiated its mandate on the first day of the forty-fifth session of the Commission, in 2012.237. 目前的国家通讯员网络的任务授权已于委员会2012年第四十五届会议第一天开始。
The network is currently composed of 64 correspondents representing 31 countries.该网络目前由代表31个国家的64名通讯员组成。
The Commission noted that paragraph 7 of document A/CN.9/777 was inaccurate in that respect, since it failed to list Denmark among the countries that had recently nominated national correspondents.委员会注意到,A/CN.9/777号文件第7段这方面不准确,因为未将丹麦列入最近提名国家通讯员的那些国家中。
Since the previous note to the Commission (A/CN.9/748), national correspondents had provided approximately 36 per cent of the abstracts published.自向委员会提交上一份说明(A/CN.9/748)以来,国家通讯员提供的摘要约占所出版摘要的36%。
238. The Commission noted with appreciation that the Secretariat had promoted the Digest of Case Law on the United Nations Convention on Contracts for the International Sale of Goods and the Digest of Case Law on the Model Law on International Commercial Arbitration in various ways and that the English version of the former had been printed in paper format thanks to the financial support and collaboration of the University of Pittsburgh School of Law and the Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ).238. 委员会赞赏地注意到秘书处以各种方式推广《联合国国际货物销售合同公约判例法摘要集》和《国际商事仲裁示范法判例法摘要集》,得益于匹兹堡大学法学院和德国国际合作机构提供资金支助与协作,英文版的《销售公约摘要集》纸张形式的印制工作已经完成。
The Commission also noted that translation of the Digest into the other five official languages of the United Nations in some cases had been finalized and in other cases was under way.委员会还注意到将该《摘要集》翻译成联合国其他五种语文的工作有的已经完成,有的正在进行中。
The Commission was informed of the progress of preparation of the digest of case law on the UNCITRAL Model Law on Cross-Border Insolvency.委员会获悉了《跨国界破产示范法摘要集》的编写进度情况。
239. The Commission also took note of the collaboration with Professors G. Bermann and E. Gaillard and their teams, which had resulted in the setting up of a database on the New York Convention, including material used in the preparation of the guide on that Convention (see para. 137 above).239. 委员会还注意到G. Bermann和E. Gaillard两位教授及其研究团队提供的协作,这种协作促使建立了关于《纽约公约》包括编拟该公约指南过程中收集的资料的数据库(见上文第137段)。
240. The Commission welcomed the news that the Secretariat had found some internal resources for the updating and upgrading of the CLOUT system in order to make it more user-friendly.240. 委员会欢迎有消息说秘书处已找到一些内部资源,可为法规判例法系统实行更新和升级,使之更方便使用。
The Commission, expressing its appreciation for the work of the Secretariat on the CLOUT system, noted the resource-intensive nature of the system and once again acknowledged the need for further resources to sustain it.委员会表示赞赏秘书处就法规判例法系统开展的工作,注意到该系统需要大量资源,并再次承认维持这一系统需要进一步的资源。
As it had done previously, the Commission appealed to all States to assist the Secretariat in the search for available funding at the national level to ensure the coordination and expansion of the system.同以往一样,委员会吁请所有国家协助秘书处在国家一级寻找可提供的资金,以确保能够协调和扩大该系统。
Status and promotion of UNCITRAL texts十一. 贸易法委员会法规的现状和促进
241. The Commission considered the status of the conventions and model laws emanating from its work and the status of the New York Convention, on the basis of a note by the Secretariat (A/CN.9/773).241. 委员会以秘书处的一份说明(A/CN.9/773)为基础审议了由委员会工作产生的各项公约和示范法的现状以及《纽约公约》的现状。
The Commission noted with appreciation the information on treaty actions and legislative enactments received since its forty-fifth session.委员会赞赏地注意到自其第四十五届会议以来收到的关于条约行动和立法颁布情况的信息。
In particular, it expressed appreciation for the efforts made by the Max Planck Institute for Comparative and International Private Law (Hamburg, Germany) to identify and provide information to the Secretariat on legislation enacting UNCITRAL model laws.委员会尤其感谢马克斯 •普朗克比较法与国际私法研究所作出努力,查明关于颁布贸易法委员会各项示范法的法规的信息并向秘书处提供此类信息。
242. The Commission also noted with appreciation the following actions and enactments made known to the Secretariat subsequent to the submission of the note by the Secretariat:242. 委员会还赞赏地注意到在秘书处说明提交之后秘书处获悉的下述行动和颁布情况:
New York Convention:《纽约公约》:
withdrawal of declaration by Mauritius (149 States parties);毛里求斯撤回声明(149个缔约国);
UNCITRAL Model Law on Electronic Commerce (1996):《贸易法委员会电子商务示范法》(1996年):
legislation based on the Model Law had been adopted in Grenada (2008), Oman (2008) and San Marino (2013); legislation influenced by the principles on which the Model Law is based had been adopted in Bangladesh (2006) and the United States, in the State of Georgia (2009);根据《示范法》制定的法规获得通过的有格林纳达(2008年)、阿曼(2008年)和圣马力诺(2013年);受《示范法》所依据原则影响制定的法规获得通过的有孟加拉国(2006年)和美国佐治亚州(2009年);
UNCITRAL Model Law on Electronic Signatures (2001):《贸易法委员会电子签名示范法》(2001年):
legislation based on the Model Law had been adopted in Grenada (2008) and San Marino (2013); legislation influenced by the principles on which the Model Law is based had been adopted in Oman (2008);根据《示范法》制定的法规获得通过的有格林纳达(2008年)和圣马力诺(2013年);受《示范法》所依据原则影响制定的法规获得通过的有阿曼(2008年));
UNCITRAL Model Law on International Commercial Conciliation (2002):《贸易法委员会国际商事调解示范法》(2002年):
legislation based on the Model Law had been adopted in Belgium (2005) and Luxembourg (2012); legislation influenced by the principles on which the Model Law is based had been adopted in France (2011), Switzerland (2008) and the United States, in the State of Hawaii (2013).根据《示范法》制定的法规获得通过的有比利时(2005年)和卢森堡(2012年);受《示范法》所依据原则影响制定的法规获得通过的有法国(2011年)、瑞士(2008年)和美国夏威夷州(2013年)。
243. The Commission noted that, to make it even more useful, the record of treaty actions and legislative enactments of model laws could reflect additional aspects of the impact of UNCITRAL texts.243. 委员会指出,示范法条约行动和立法颁布情况记录可以反映贸易法委员会法规影响的更多方面,使之发挥更大用途。
In this regard, it took note of the May 2013 Accord on Fire and Building Safety in Bangladesh.在这方面,委员会注意到2013年5月孟加拉国《防火与建筑物安全协定》。
The Accord is an agreement between trade unions and international fashion retailers to establish certain minimum safety standards in the Bangladesh garment industry in the light of the Rana Plaza tragedy.该《协定》是在工会与国际时装零售商之间订立的协议,目的是以拉纳广场悲剧为鉴,确立孟加拉国服装业某些最低限安全标准。
In order to create a binding dispute settlement regime, the Accord references the New York Convention and the UNCITRAL Model Law on International Commercial Arbitration (1985), with amendments as adopted in 2006.为了建立有约束力的争议解决制度,该《协定》提及《纽约公约》和《贸易法委员会国际商事仲裁示范法》(1985年)连同2006年通过的修正。
The Accord demonstrates the wide recognition of the legal effectiveness of those texts, and it also serves as a reminder of the status of those texts as widely accepted norms and models for the creation of legal accountability.该《协定》表明这些法规的法律效力已得到广泛承认,也提醒人们注意这些法规作为公认规范和用来确立法律责任的模式的地位。
244. Considering the broader impact of UNCITRAL texts, the Commission also took note of the bibliography of recent writings related to the work of UNCITRAL (A/CN.9/772) and noted with appreciation the influence of UNCITRAL legislative guides, practice guides and contractual texts.244. 考虑到贸易法委员会法规的影响越来越广,委员会还注意到与贸易法委员会工作有关的最新著作目录(A/CN.9/772),并赞赏地注意到贸易法委员会各种立法指南、实务指南和合约性文本所产生的影响。
To facilitate a comprehensive approach to the creation of the bibliography and to further the understanding of the influence of UNCITRAL texts, the Commission called on non-governmental organizations, in particular those invited to the Commission’s annual session, to donate copies of their journals, annual reports and other publications to the UNCITRAL Law Library for review.为便利就建立著作目录采取综合办法和增进对贸易法委员会法规影响的认识,委员会吁请非政府组织特别是得到邀请参加委员会年度届会的非政府组织,向贸易法委员会法律图书馆捐赠各自的期刊、年度报告和其他出版物,以便进行审查。
In this regard, the Commission expressed appreciation to the German Institution of Arbitration for its donation of all existing and forthcoming issues of the German Arbitration Journal (Zeitschrift für Schiedsverfahren).在这方面,委员会赞赏德国仲裁机构捐赠现有和今后各期《德国仲裁期刊》(Zeitschrift für Schiedsverfahren)。
Coordination and cooperation十二. 协调与合作
General概述
245. The Commission had before it a note by the Secretariat (A/CN.9/776) providing information on the activities of international organizations active in the field of international trade law in which the UNCITRAL secretariat had participated since the last note to the Commission (A/CN.9/749).245. 委员会收到秘书处的一份说明(A/CN.9/776),其中介绍了贸易法委员会秘书处自上次向委员会提交的说明(A/CN.9/749)以来所参加的由国际贸易法领域积极开展工作的各国际组织举办的活动情况。
The Commission noted with appreciation that the Secretariat had engaged in activities with a number of organizations both within and outside the United Nations system, including the European Union, the Hague Conference on Private International Law, the Organization for Economic Cooperation and Development, the United Nations Centre for Trade Facilitation and Electronic Business, the United Nations Conference on Trade and Development, the Economic Commission for Europe, Unidroit, the United Nations Inter-Agency Cluster on Trade and Productive Capacity of the United Nations System Chief Executives Board for Coordination, and the World Bank.委员会赞赏地注意到,秘书处与联合国系统内外的一些组织一起开展了活动,其中包括欧洲联盟、海牙国际私法会议、经济合作与发展组织、联合国贸易便利化和电子商务中心、联合国贸易和发展会议、欧洲经济委员会、统法协会、联合国系统行政首长协调理事会下属联合国贸易和生产能力问题机构间小组和世界银行。
246. The Commission noted that the coordination activity of the Secretariat concerned topics discussed in all the current UNCITRAL working groups and that the Secretariat participated in expert groups, working groups and plenary meetings with the purpose of sharing information and expertise and avoiding duplication of work and of the resultant products.246. 委员会注意到,秘书处的协调活动涉及贸易法委员会目前所有工作组讨论的议题,为交流信息和专业知识,以及为避免在所产生的成果方面重复工作,秘书处参与了专家组会议、工作组会议和全体会议。
The Commission also noted that that work often involved travel to meetings of the organizations mentioned in paragraph 245 above and the expenditure of funds allocated for official travel.委员会还注意到,这方面的工作经常涉及出差去参加上文第245段所提到的这些组织的会议,以及为公务旅行拨出的经费支出。
The Commission reiterated the importance of coordination work being undertaken by UNCITRAL as the core legal body in the United Nations system in the field of international trade law and supported the use of travel funds for that purpose.委员会重申贸易法委员会作为联合国系统在国际贸易法领域中的核心法律机构开展协调工作的重要性,并支持为此目的使用差旅费。
247. As examples of current efforts, the Commission noted with particular appreciation the coordination activities involving the Hague Conference on Private International Law and Unidroit.247. 作为目前努力的实例,委员会特别赞赏地注意到与海牙国际私法会议和统法协会的协调活动。
Coordination and cooperation in the field of security interests担保权益领域的协调与合作
248. The Commission took note with appreciation of the coordination efforts undertaken in the last two decades in the field of security interests, as reflected, for example, in a United Nations publication entitled “UNCITRAL, Hague Conference and Unidroit texts on security interests:248. 委员会赞赏地注意到过去二十年来在担保权益领域进行的协调努力,例如,联合国一份题为“贸易法委员会、海牙会议和统法协会的担保权益法规:
comparison and analysis of major features of international instruments relating to secured transactions”.关于担保权益的国际文书主要特征对比和分析”的出版物所述及的那些努力。
It was widely felt that those efforts were an excellent example of the kind of coordination and cooperation that the Commission had been supporting for years in order to avoid duplication of efforts and conflicts among legal texts prepared by various organizations.广泛认为,这些努力是委员会为避免重复努力和避免各组织拟订的法规文本之间发生冲突而在这些年始终支持的那种协调与合作的一个极为良好的实例。
249. Recalling the mandate it had given to the Secretariat at its forty-fourth session, in 2011, the Commission noted with appreciation the efforts of the Secretariat in:249. 回顾到委员会2011年第四十四届会议给予秘书处的任务授权,委员会赞赏地注意到秘书处在以下两个方面的努力:
preparing in cooperation with the World Bank a first draft of a joint set of UNCITRAL-World Bank principles on secured transactions that would incorporate the recommendations of the UNCITRAL Legislative Guide on Secured Transactions; and (b) cooperating closely with the European Commission with a view to ensuring a coordinated approach to the issue of the law applicable to the third-party effects of assignments of receivables, taking into account the approach followed in the United Nations Convention on the Assignment of Receivables in International Trade and the Secured Transactions Guide.(a)与世界银行合作,编拟贸易法委员会/世界银行担保交易原则合编的初稿,其中将并入《贸易法委员会担保交易立法指南》的各项建议;以及(b)与欧盟委员会紧密合作,以期确保应收款转让的第三方效力准据法问题协调统一的处理方式,其中考虑到《联合国国际贸易应收款转让公约》和《担保交易指南》中所采用的方法。
It was widely felt that such coordination was particularly important and should continue.广泛认为这种协调特别重要,应当继续下去。
After discussion, the Commission renewed its mandate to the Secretariat to continue with such coordination efforts and report to the Commission.经讨论后,委员会延长了对秘书处的授权期限,请其继续这种协调努力并向委员会提出报告。
Reports of other international organizations其他国际组织的报告
250. The Commission took note of statements made on behalf of the following international and regional organizations.250. 委员会注意到代表下列国际组织和区域组织所作的发言。
International Institute for the Unification of Private Law (Unidroit)国际统一私法协会(统法协会)
251. The Commission heard a statement made on behalf of Unidroit welcoming the current coordination and cooperation with UNCITRAL and reaffirming its commitment to cooperate closely with the Commission.251. 委员会听取了代表统法协会所作的发言,其中对当前与贸易法委员会的协调与合作表示欢迎,并重申其承诺与委员会紧密合作。
252. Unidroit reported that:252. 统法协会报告称:
At its 92nd session (Rome, 8-10 May 2013), the Unidroit Governing Council had adopted the Model Clauses for the Use of the Unidroit Principles of International Commercial Contracts.统法协会理事会第92届会议(2013年5月8日至10日,罗马)通过了《使用统法协会国际商事合同通则示范条款》。
The UNCITRAL secretariat had provided comments to the draft Model Clauses in order to clarify the relationship between the Unidroit Principles and article 7 of the United Nations Sales Convention.贸易法委员会秘书处对《示范条款》草案提出了评论,以便阐明《统法协会通则》与《联合国销售公约》第7条之间的关系。
The Unidroit Governing Council had adopted the Model Clauses and reflected the UNCITRAL secretariat’s observations through an amendment to the comments accompanying the Model Clauses;统法协会理事会通过了《示范条款》,并通过附随《示范条款》对评论所作的一则修正而反映了贸易法委员会秘书处的意见;
At the same session, the Unidroit Governing Council had taken note of the report concerning possible future work on long-term contracts and invited the Unidroit secretariat to undertake preliminary in-house steps to identify the issues related to investment and other long-term contracts not adequately addressed in the 2010 edition of the Unidroit Principles;在同届会议上,统法协会理事会注意到关于长期合同问题今后可能的工作的报告,并请统法协会秘书处采取内部的初步步骤,查明在2010年版《统法协会通则》中未予充分处理的与投资和其他长期合同相关的问题;
The Unidroit Governing Council had taken note of the progress in negotiations for the establishment of the international registry for railway rolling stock and of the first meeting of the Preparatory Commission for the Establishment of the International Registry for Space Assets (Rome, 6-7 May 2013).统法协会理事会注意到为设立国际铁道机车车辆登记册而举行的谈判的进度,以及筹备委员会关于设立国际空间资产登记册而举行的第一次会议(2013年5月6日至7日,罗马)。
The following States had participated in the work of the Preparatory Commissions:下列国家参加了筹备委员会的工作:
Brazil, China, Czech Republic, France, Germany, India, Italy, Russian Federation, Saudi Arabia, South Africa and United States.巴西、中国、捷克共和国、法国、德国、印度、意大利、俄罗斯联邦、沙特阿拉伯、南非和美国。
The International Telecommunication Union, the International Civil Aviation Organization and the Intergovernmental Organization for Carriage by Rail, as well as a number of other participants and representatives of the financial and commercial world, had been invited to attend the session as observers.国际电信联盟、国际民用航空组织和铁路运输政府间组织,以及一些其他与会者和金融及商业界代表被邀请作为观察员出席了会议。
The Unidroit Governing Council had requested that the Unidroit secretariat continue assigning high priority to the promotion of both Protocols to the Convention on International Interests in Mobile Equipment (Cape Town, 2001);统法协会理事会请统法协会秘书处继续对促进《移动设备国际利益公约》(2001年,开普敦)这两项议定书给予高度优先;
The Cape Town Convention now had 58 States parties and the Registry established under the Protocol to the Convention on International Interests in Mobile Equipment on Matters Specific to Aircraft Equipment had reached the remarkable level of nearly 400,000 entries since its establishment in 2006;《开普敦公约》现在拥有58个缔约国,根据《移动设备国际利益公约航空器设备特有事项议定书》设立的《登记册》自其2006年设立以来已登入了将近400,000个记录,达到可观水平;
The Unidroit Governing Council had continued to consider possible additions to the Cape Town system.统法协会理事会继续考虑可能对开普敦系统的补充增加。
At its ninety-second session, the Council had taken note of reports on:理事会在其第九十二届会议上注意到下述三个报告:
a possible fourth protocol to the Cape Town Convention on agricultural, mining and construction equipment, as well as the expressions of support from several industry associations on its potential economic impact; (b) a possible future protocol on ships and maritime transport equipment; and (c) a possible future protocol on off-shore wind power generation equipment.(a)《开普敦公约》可能的第四项议定书,关于农业、采矿和建筑设备,若干行业协会对该议定书可能的经济效果表示支持;(b)今后一项可能的船舶和海洋运输设备议定书;以及(c)今后一项可能的离岸风力发电设备议定书。
The Governing Council agreed to proceed with preliminary work on a potential fourth protocol, on agricultural, mining and construction equipment, assigned medium priority, and had requested that the Unidroit secretariat prepare a feasibility study on whether satisfactory conditions existed to move forward with work in respect of the other two topics;理事会同意开始关于一项可能的农业、采矿和建筑设备第四议定书的初步工作,对此给予中度优先,并请秘书处进行可行性研究,查看是否存在满意的条件启动关于另两个专题的工作;
The draft principles on the operation of close-out netting provisions had been adopted by the Governing Council together with the accompanying comments;理事会连同随附的评注一并通过了清盘净额结算条款的操作原则草案;
The Unidroit Committee on Emerging Markets Issues would hold its third meeting in Istanbul later in the year, for the purpose of establishing the scope and methodology for drafting a legislative guide on principles and rules capable of enhancing trading in securities in emerging markets;统法协会新兴市场问题委员会将于今年后期在伊斯坦布尔举行其第三次会议,目的是确立起草一本可实现加强新兴市场证券交易的原则和规则立法指南文本的范围和方法;
Two sessions had been held by the Unidroit working group charged with the preparation of a legal guide on contract farming, a project to which the Unidroit Governing Council had assigned high priority with a view to its substantive completion in 2014.负责拟订一本合同农业法律指南的统法协会工作组举行了两届会议,这是统法协会理事会给予高度优先的一个项目,以期2014年完成其实质性工作。
The Food and Agriculture Organization of the United Nations, the International Fund for Agricultural Development and the World Food Programme had actively participated in the preparation of the guide.联合国粮食及农业组织、国际农业发展基金和世界粮食计划署积极参加了拟订指南的工作。
The Council had reaffirmed its interest in possible future work on private law aspects of agricultural investment and financing (including land investment contracts, land tenure regimes, legal structure of agricultural enterprises) and had encouraged the Unidroit secretariat to revisit those issues once the legal guide on contract farming had been completed.在此同时,关于农业投资和融资(包括土地投资合同、土地占有制度、农业企业法律结构)所涉及的私法方面今后可能开展的工作,理事会重申了其兴趣,并已经鼓励统法协会秘书处在合同农业法律指南一旦完成后即开始再次审议这些问题。
253. With regard to the Model Clauses, the Commission recalled its observations at its fortieth session related to its endorsement of the 2004 edition of the Unidroit Principles, in which it had developed its position on the proper relationship between the Unidroit Principles and the United Nations Sales Convention.253. 关于《示范条款》,委员会回顾其第四十届会议与赞同2004年版《统法协会通则》有关的意见,其中提出了委员会对于《统法协会通则》和《联合国销售公约》间正确关系的立场。
It was reiterated that the Unidroit Principles should not be construed as the “general principles” on which the United Nations Sales Convention is based.重申《统法协会通则》不应当解释为《销售公约》所依据的“一般原则”。
It was noted that those “general principles” formed an integral component of the interpretive hierarchy found in article 7 of the United Nations Sales Convention.指出这些“一般原则”构成《联合国销售公约》第7条所载解释顺序制度的不可分割的组成部分。
It was also noted that, for the Unidroit Principles to displace the principles referred to in article 7 of the United Nations Sales Convention, it was necessary for the parties contractually to exclude the application of article 7.还指出若要用《统法协会通则》取代《联合国销售公约》第7条中提到的原则,必须由缔约方以契约方式排除《联合国销售公约》第7条的适用。
While noting the amendment made to the comments found in the Model Clauses, the Commission suggested that, with a view to avoiding any confusion as to the roles of the Unidroit Principles and the United Nations Sales Convention, and the relationship between the two instruments, this issue should be further discussed at the colloquium to be held in celebration of the thirty-fifth anniversary of the United Nations Sales Convention, or at another event (see para. 315 below).委员会注意到对《示范条款》所载评论意见作出的修正,指出为避免混淆《统法协会通则》和《联合国销售公约》两者的作用以及两个文书之间的关系,应当在为庆祝《联合国销售公约》三十五周年举行的座谈会或别的活动上进一步讨论这个问题(见下文第315段)。
254. The Commission took note of the decision by the Unidroit Governing Council to seek substantive cooperation with UNCITRAL.254. 委员会注意到统法协会理事会决定寻求与贸易法委员会的实质性合作。
After discussion, the Commission agreed that Unidroit, the Hague Conference on Private International Law and UNCITRAL should emphasize their cooperation with particular regard to the areas of intersection of the three organizations.经过讨论,委员会商定统法协会、海牙会议和贸易法委员会应当重视相互之间的合作,特别是在三个组织交叉的领域。
The Commission also expressed broad support for the suggestion that a report, jointly prepared by the UNCITRAL secretariat and Unidroit highlighting possible joint projects, be submitted to the Commission at its next session.委员会还表示广泛支持以下建议,即由贸易法委员会秘书处和统法协会共同编写一份报告,提交委员会下届会议,其中着重说明有可能共同开展哪些项目。
European Union欧洲联盟
255. The Commission heard a statement by the European Commission on its proposal for a Common European sales law.255. 委员会听取了欧盟委员会就其关于欧洲共同销售法的提议所作的发言。
The justifications for the proposal were noted, including the legal barriers to trade presented by divergent contract laws.注意到提出该提议的理由,包括各种不同的合同法给贸易带来法律障碍。
It was noted that the proposal was for an optional contract law instrument that would be open for selection in cross-border business-to-consumer transactions and business-to-business transactions where one party was a small or medium-sized enterprise.注意到该提议涉及制定一项任择性合同法文书,该文书将开放作为在企业对消费者跨境交易中和在一方当事人为中小企业时的企业对企业跨境交易中选择适用。
It was also noted that the Common European sales law, as proposed, would be available for selection in any transaction where at least one party to the transaction was located in the European Union.还注意到,任何交易中只要至少一方当事人位于欧洲联盟,拟议的《欧洲共同销售法》即可供加以选择适用。
The influence of international instruments, including the United Nations Sales Convention and the Unidroit Principles, on the European Commission’s proposal was also noted.还注意到国际文书对欧盟委员会提议的影响,其中包括《联合国销售公约》和《统法协会通则》产生的影响。
Finally, it was noted that the proposal was still being considered under the legislative procedures of the European Union.最后,注意到仍在欧洲联盟立法程序下对该提议进行审议。
World Bank世界银行
256. The Commission heard a statement made on behalf of the World Bank, in which appreciation was expressed to UNCITRAL and its secretariat for the continuing cooperation with the World Bank.256. 委员会听取了代表世界银行所作的发言,其中对贸易法委员会及其秘书处继续与世界银行合作表示赞赏。
It was noted that over the previous years the work of the World Bank in supporting the modernization of the enabling legal environment for economic growth and trade had been significantly enhanced by the work of UNCITRAL and its working groups.指出在过去几年当中,世界银行支持根据现代需要创建有利的法律环境以促进经济增长和贸易的工作得到贸易法委员会及其各工作组工作的大力支持。
In particular, the work being done by the two organizations in establishing uniform legal frameworks in the field of public procurement, arbitration and conciliation, insolvency and secured transactions was highlighted.特别强调了两个组织在公共采购、仲裁和调解、破产和担保交易领域建立统一法律框架方面开展的工作。
International governmental and non-governmental organizations invited to sessions of UNCITRAL and its Working Groups获邀参加贸易法委员会及其工作组届会的国际政府间组织和非政府组织
257. At its current session, the Commission recalled that, at its forty-third session, in 2010, it had adopted the summary of conclusions on UNCITRAL rules of procedure and methods of work.257. 在本届会议上,委员会回顾其2010年第四十三届会议通过了关于贸易法委员会议事规则和工作方法的结论概要。
In paragraph 9 of the summary, the Commission had decided to draw up and update as necessary a list of international organizations and non-governmental organizations with which UNCITRAL had long-standing cooperation and which had been invited to sessions of the Commission.在概要第9段,委员会决定编拟并在必要情况下更新与贸易法委员会长期合作以及曾获邀参加委员会届会的国际组织和非政府组织的名单。
The Commission also recalled that, further to its request, the Secretariat had adjusted the online presentation of information concerning intergovernmental and non-governmental organizations invited to sessions of UNCITRAL and its working groups and the modality of communicating such information to States, and the adjustments made were to the satisfaction of the Commission.委员会还回顾,根据该要求,秘书处调整了关于获邀参加贸易法委员会及其工作组届会的政府间组织和非政府组织而在网上列示的信息以及向各国发送此类信息的方式,所作调整让委员会感到满意。
258. The Commission took note that since its forty-fifth session, in 2012, the following organizations had been added to the list of non-governmental organizations invited to sessions of UNCITRAL and its working groups:258. 委员会注意到,自2012年第四十五届会议以来,获邀参加贸易法委员会及其工作组届会的非政府组织名单上增添了下列组织:
European Law Institute, (www.europeanlawinstitute.eu), Korean Commercial Arbitration Board (www.kcab.or.kr) and Panel of Recognised International Market Experts in Finance (www.primefinancedisputes.org).欧洲法律研究所(www.europeanlawinstitute.eu);韩国商事仲裁委员会(www.kcab.or.kr);国际金融市场知名专家小组(www.primefinancedisputes.org)。
259. In response to a query on the inclusion in the list of the Korean Commercial Arbitration Board, it was explained that the national affiliation of a non-governmental organization was not a decisive factor in deciding on whether to invite it to UNCITRAL sessions.259. 针对就韩国商事仲裁委员会列入名单提出的疑问,答复解释说,一个非政府组织的国籍隶属关系并非决定是否邀请其参加贸易法委员会届会的一个决定因素。
The Commission recalled that a number of national non-governmental organizations were invited by UNCITRAL to its sessions because of their prominent role in legal developments not only in their own jurisdiction but also in the jurisdictions of a particular region or worldwide, as reflected by their generally multinational membership.委员会回顾,有许多国家非政府组织获贸易法委员会邀请参加各届会议,因为这些组织不仅在本国法域而且在特定区域或世界范围内,在法律制定方面发挥突出的作用,如这些组织普遍具有多国成员所反映的那样。
The need to achieve a balanced representation of non-governmental organizations from various geographical regions and groups of countries at different levels of development was also taken into account.也考虑到对来自不同地理区域和不同发展程度国家群体的非政府组织,需要实现其平衡代表权。
Efforts were also made to avoid overrepresentation of organizations from a particular country or region or with a particular expertise that was already sufficiently represented in the Commission.还努力避免来自特定国家或区域的组织或具有在委员会已有充分代表权的特定专门知识的组织所占比例过高。
260. The Commission recalled the criteria that the Secretariat applied when deciding on whether to invite a new organization to UNCITRAL sessions.260. 委员会回顾秘书处在决定是否邀请一个新的组织参加贸易法委员会届会时适用的标准。
The Commission reaffirmed its understanding, as reflected in paragraph 10 of the summary of conclusions on UNCITRAL rules of procedure and methods of work (see para. 257 above), that it was for the Secretariat to inform the States members of the Commission about its decision to invite a new non-governmental organization to UNCITRAL sessions and it was for the Commission to take a final decision when an objection was raised to that decision.委员会重申其理解,即如关于贸易法委员会议事规则和工作方法的结论概要(见上文第257段)第10段所反映,由秘书处向委员会的各国成员通报其决定邀请新的非政府组织参加贸易法委员会届会,在该决定被提出异议时,由委员会作出最后决定。
The Commission also confirmed its understanding that invitations extended to non-governmental organizations to attend sessions of UNCITRAL and its working groups had no bearing on the observer status of those organizations in any body of the United Nations system, and that the status of a non-governmental organization with the Economic and Social Council had no bearing on a decision on whether that organization should be invited to UNCITRAL sessions.委员会还确认其以下理解,即向非政府组织发出参加贸易法委员会及其工作组届会的邀请与这些组织在联合国系统任何机构的观察员地位无关,非政府组织在经济及社会理事会的地位与该组织是否应当被邀请参加贸易法委员会届会无关。
The list of non-governmental organizations invited to sessions of UNCITRAL was compiled and made available to States for the sole purpose of informing them about organizations being invited to the sessions.获邀参加贸易法委员会届会的非政府组织名单已经汇编完毕并向各国提供,唯一目的是向各国通报有哪些组织获邀参加届会。
261. The point was made that the criteria applied by the Secretariat in taking decisions on inviting new non-governmental organizations to UNCITRAL sessions and the procedure for applying such criteria should be made as objective as possible.261. 提出了以下观点,即秘书处在决定是否邀请新的非政府组织参加贸易法委员会届会时适用的标准以及此类标准的适用程序应当尽可能客观。
The view was also expressed that the Secretariat ought to inform States members of the Commission before an invitation was extended to a new non-governmental organization and before that organization was added to the list.还认为秘书处在向一个新的非政府组织发出邀请并将该组织添加到名单之前,应向委员会的各国成员通报。
It was recalled that the same issues had been discussed at length at previous sessions of the Commission.回顾在委员会以往的届会上曾详尽讨论同一问题。
The Commission reaffirmed the compromise achieved on those issues, as reflected in paragraphs 9 and 10 of the summary of conclusions on UNCITRAL methods of work referred to above.委员会重申就这些问题达成的折中办法,如上文所提到关于贸易法委员会工作方法的结论概要第9段和第10段所反映。
UNCITRAL regional presence十三. 贸易法委员会在区域驻地的活动
262. The Commission took note of the activities undertaken by the UNCITRAL Regional Centre for Asia and the Pacific subsequent to the date of the report on that topic to the Commission at its forty-fifth session, in 2012, and referred to in paragraphs 51 to 70 of document A/CN.9/775.262. 委员会注意到继向委员会2012年第四十五届会议提交关于这一主题的报告之日后贸易法委员会亚洲及太平洋区域中心开展的活动,A/CN.9/775号文件第51至70段提及这些活动。
263. The representative of the Republic of Korea made reference to the close cooperation that its Government, in particular its Ministry of Justice, had enjoyed with the Regional Centre for Asia and the Pacific and provided some examples of the outcome of that cooperation.263. 大韩民国代表提到该国政府特别是其司法部与亚太区域中心之间的密切合作,并提供了一些合作成果事例。
The interest of the Republic of Korea in pursuing further joint work was indicated.韩国代表表示了开展进一步联合工作的意向。
264. The representative of Kenya confirmed that its Government was continuing to consider hosting an UNCITRAL regional centre in Nairobi.264. 肯尼亚代表确认该国政府仍在考虑承办内罗毕贸易法委员会区域中心事宜。
265. The Commission stressed the importance of the tasks assigned to the Regional Centre for Asia and the Pacific and expressed its appreciation for the activities undertaken.265. 委员会强调了交给亚洲及太平洋区域中心的任务的重要性,对所开展的活动表示赞赏。
266. The Commission acknowledged with gratitude the contribution of the Republic of Korea to the Regional Centre for Asia and the Pacific and welcomed the continuing interest in the establishment of a regional centre by the Government of Kenya.266. 委员会对大韩民国政府为亚洲及太平洋区域中心作出的贡献表示感谢,并欢迎肯尼亚政府继续对建立区域中心表现出兴趣。
The Commission requested the Secretariat to keep the Commission informed of developments regarding the operation of the Regional Centre for Asia and the Pacific and the establishment of other UNCITRAL regional centres, with particular respect to their funding and budget.委员会请秘书处向其通报亚洲及太平洋区域中心的运作情况以及建立贸易法委员会区域中心事宜,特别是其出资和预算事宜。
Role of UNCITRAL in promoting the rule of law at the national and international levels十四. 贸易法委员会在促进国内和国际法治方面的作用
Introduction导言
267. The Commission recalled that the item on the role of UNCITRAL in promoting the rule of law at the national and international levels had been on the agenda of the Commission since its forty-first session, in 2008, in response to the General Assembly’s invitation to the Commission to comment, in its report to the General Assembly, on the Commission’s current role in promoting the rule of law.267. 委员会回顾,大会请委员会在提交大会的报告中,对委员会目前促进法治的作用发表评论,据此,“贸易法委员会在促进国内和国际法治方面的作用”这一项目自2008年第四十一届会议以来一直列在委员会议程上。
The Commission further recalled that since that session, the Commission, in its annual reports to the General Assembly, had transmitted comments on its role in promoting the rule of law at the national and international levels, including in the context of post-conflict reconstruction.委员会还回顾,在该届会议以来提交大会的年度报告中转交了关于其在促进国内和国际法治方面的作用的评论意见,包括在冲突后重建情况下。
It expressed its conviction that the promotion of the rule of law in commercial relations should be an integral part of the broader agenda of the United Nations to promote the rule of law at the national and international levels, including through the Rule of Law Coordination and Resource Group supported by the Rule of Law Unit in the Executive Office of the Secretary-General.委员会表示确信,在商业关系中促进法治应当是促进国内和国际法治这一更广泛的联合国议程的一个组成部分,包括在秘书长办公厅法治股的支助下通过法治协调和资源小组加以促进,并特别表示相信促进商业关系中的法治应成为联合国促进国家和国际法治这项更广泛议程的组成部分,包括在联合国秘书长执行办公室法治股的支助下通过法治协调和资源小组开展的工作。
The Commission noted with satisfaction that that view had been endorsed by the General Assembly.委员会满意地注意到大会赞同了这个意见。
268. The Commission further recalled that at its forty-third session, in 2010, it had indicated that it considered it essential to maintain a regular dialogue with the Rule of Law Coordination and Resource Group through the Rule of Law Unit and to keep abreast of progress made in the integration of the work of UNCITRAL into United Nations joint rule of law activities.268. 委员会还回顾,其2010年第四十三届会议认为,通过法治股保持与法治协调和资源小组的经常性对话至关重要,而且必须随时了解在贸易法委员会工作融入联合国共同法治活动方面取得的进展。
To that end, it had requested the Secretariat to organize briefings by the Rule of Law Unit every other year, when sessions of the Commission were held in New York.为此,委员会请秘书处每隔一年在贸易法委员会于纽约举行届会时安排由法治股通报情况。
Consequently, a briefing had taken place at the Commission’s forty-fifth session in New York in 2012.因此,于2012年在纽约举行的委员会第四十五届会议上作了通报。
269. At that session, the Commission had been informed about the progress made in achieving increased awareness about the work of UNCITRAL and integration of that work into the rule of law activities of the United Nations and other organizations.269. 在该届会议上,委员会获悉了在提高对贸易法委员会工作的认识以及将该工作纳入联合国和其他组织的法治活动方面取得的进展。
The Commission had also been informed of the preparations for the September 2012 high-level meeting of the General Assembly on the rule of law at the national and international levels and expected outcomes of that meeting.委员会还了解到2012年9月国内和国际法治问题大会高级别会议的筹备情况以及该会议的预期成果。
At that session, the Commission had formulated its position as regards ways and means of ensuring that aspects of the work of UNCITRAL were duly reflected at the high-level meeting and in its outcome document, and in the message to the high-level meeting itself.在该届会议上,委员会就以何种方式方法确保贸易法委员会工作的各个方面在高级别会议及其成果文件中得到适当反映提出了自己的立场,并提出了向高级别会议本身传递的信息。
Relevant developments since the forty-fifth session of the Commission委员会第四十五届会议以来的有关动态
270. At its forty-sixth session, the Commission heard an oral report by the Chairman of its forty-fifth session on the implementation of the relevant decisions of the Commission taken at its forty-fifth session.270. 委员会在第四十六届会议上听取了第四十五届会议主席关于第四十五届会议所作有关决定执行情况的口头报告。
It was reported, in particular, that by a special invitation of the General Assembly, the Chairman of the forty-fifth session of UNCITRAL had delivered a statement to the high-level meeting in which he had underscored the mutually reinforcing impact of the rule of law and economic development and highlighted the importance of the work of UNCITRAL in promoting the rule of law in commercial relations and in the broader context.报告中尤其提到,大会特别请贸易法委员会第四十五届会议主席在高级别会议上做了一次发言,他在发言中强调了法治和经济发展之间互为加强的影响,并强调了贸易法委员会的工作在商业关系当中和更广的范围内促进法治的重要性。
The Commission took note with satisfaction of the Declaration of the high-level meeting of the General Assembly on the rule of law at the national and international levels, in paragraph 7 of which Member States reaffirmed that the rule of law and development were interlinked and mutually reinforcing and expressed their conviction that that interrelationship should be considered in the post-2015 international development agenda.委员会满意地注意到大会高级别会议的国内和国际法治问题大会高级别会议声明,其中第7段指出,法治和发展相互关联,相辅相成,并表示确信,在2015年以后的国际发展议程当中应当考虑这种互联关系。
The Commission was, in particular, glad to note that in paragraph 8 of the Declaration, States recognized the importance of fair, stable and predictable legal frameworks for generating inclusive, sustainable and equitable development, economic growth and employment, generating investment and facilitating entrepreneurship, and in that regard commended the work of UNCITRAL.委员会尤其高兴地注意到,声明的第8段确认了公平、稳定和可预见的法律框架对于促成包容、可持续和公平的发展、经济增长和就业,对于拉动投资和促进创业精神,都具有重要意义,并赞扬了贸易法委员会在这方面做的工作。
271. The Commission expressed its appreciation to the Chairman of its forty-fifth session for the report and for ensuring that the UNCITRAL message to the high-level meeting was delivered and that aspects of the work of UNCITRAL were duly reflected at the high-level meeting and in its outcome document.271. 委员会感谢第四十五届会议主席所作的报告并确保了向高级别会议传达贸易法委员会的意见,使得贸易法委员会工作的各个方面在高级别会议及其成果文件中得到的适当反映。
272. The Commission also noted with satisfaction the participation of the Chairman of its forty-fifth session in the General Assembly’s thematic debate on “Entrepreneurship for development”, held in New York on 26 June 2013, and in a conference co-hosted by the Peacebuilding Commission and the United Nations Global Compact on potential of private sector to help fragile countries emerge from conflict.272. 委员会还满意地注意到,第四十五届会议主席参加了2013年6月26日在纽约举行的大会关于“创业发展”的主题辩论,以及建设和平委员会和联合国全球契约联合主办的关于民营部门帮助脆弱国家摆脱冲突开展建设的潜力的会议。
The Commission endorsed efforts to increase awareness across the United Nations system of the work done by UNCITRAL and its relevance to other areas of work of the United Nations.委员会赞成在联合国系统内努力宣传贸易法委员会的工作及其对联合国其他工作领域的相关性。
273. The Commission was also informed that its secretariat, upon the request of the Rule of Law Unit, had prepared a draft guidance note of the Secretary-General on the promotion of the rule of law in commercial relations.273. 委员会还了解到,秘书处应法治股的请求编写了一份关于在商业关系中促进法治的秘书长指导说明草案。
The draft guidance note, which was under consideration by the Unit and would subsequently be transmitted to members of the Rule of Law Coordination and Resource Group for comment, drew on the Commission’s decisions taken since 2008 under the agenda item that were aimed at (a) building sustained capacity of States to promote the rule of law in commercial relations, with the assistance of the international community where necessary; and (b) increasing the ability of the United Nations to respond effectively, when called upon to do so, to the needs of States to build such local capacity.该指导说明草案正由法治股审议,随后将转发给法治协调和资源组成员征求意见。 草案的基础是委员会2008年以来在这一议程下以下列各项为目标作出的一系列决定: (a)建设各国在商业关系中促进法治的可持续能力,必要时请国际社会提供援助,(b)增强联合国在接到呼吁时有效响应各国的需要在当地开展此种能力建设的能力。
The note was intended to be relevant to United Nations rule of law activities, in particular those promoting economic development, in a variety of situations, including conflict prevention, post-conflict reconstruction and development contexts.该说明的意图是,在各种不同情况下,包括预防冲突、冲突后重建和发展进程,指导联合国的法治活动,尤其是其中促进经济发展的活动。
The Commission requested the Secretariat to bring the guidance note to the attention of the Commission once it was issued, for the purpose of disseminating it as widely as possible.委员会请秘书处在印发这一指导说明以便尽可能广为散发的时候提请委员会加以注意。
274. The Commission heard about other developments since its last session related to the implementation of the rule of law agenda of the United Nations.274. 委员会听取了关于自上届会议以来落实联合国法治议程方面其他动态的介绍。
In particular, it learned about initiatives across the United Nations system to formulate the post-2015 development agenda, to which the rule of law was integral.委员会尤其了解了整个联合国系统内为拟定2015年以后发展议程所提出的各种举措,而法治是其中的一个组成部分。
It was, in particular, informed about the work of the Open Working Group on Sustainable Development Goals and the Intergovernmental Committee of Experts on Sustainable Development Financing.委员会尤其获悉了可持续发展目标问题不限员额工作组和政府间可持续发展筹资专家委员会所开展的工作。
275. The Commission noted the relevance of its work to those and other efforts across the United Nations system.275. 委员会注意到其工作与整个联合国系统的工作及其他方面努力的相关性。
It requested its Bureau at the current session and its secretariat to take appropriate steps to ensure that the areas of work of UNCITRAL and the role of UNCITRAL in the promotion of the rule of law and sustainable development were not overlooked, and to report to the Commission at its next session on the steps taken in that direction.委员会请本届会议主席团及秘书处采取适当步骤,确保贸易法委员会的各个工作领域及贸易法委员会促进法治和可持续发展的作用不被忽视,并向委员会下届会议报告朝这个方向采取的步骤。
Comments to the General Assembly on the current role of UNCITRAL in the promotion of the rule of law向大会提出的关于贸易法委员会在促进法治方面的目前作用的评论意见
276. The Commission took note of General Assembly resolution 67/97 on the rule of law at the national and international levels.276. 委员会注意到关于国内和国际法治问题的大会第67/97号决议。
In paragraph 14 of that resolution, the Assembly had invited the Commission to continue to comment, in its reports to the General Assembly, on its current role in promoting the rule of law.在该决议第14段中,大会请委员会继续在其提交大会的报告中就其目前在促进法治方面的作用发表评论。
In paragraph 17 of that resolution, the Assembly had decided to focus the upcoming Sixth Committee debates in 2013 under the agenda item “The rule of law at the national and international levels” on the subtopic “The rule of law and the peaceful settlement of international disputes”.在该项决议第17段,大会决定,即将举行的第六委员会在议程项目“国内和国际各级的法治”下辩论重点将是“法治与和平解决国际争端”副专题。
Consequently, the Commission decided to focus its comments to the General Assembly on its role in promoting the rule of law and the peaceful settlement of international disputes.因此,委员会决定,向大会提出的评论意见将侧重于委员会促进法治以及和平解决国际争端的作用。
277. To facilitate the formulation by the Commission of the comments on that subtopic pursuant to the above-mentioned invitation by the General Assembly, a panel discussion was organized by the Secretariat with participation of experts in the relevant areas of work of UNCITRAL (arbitration and conciliation and online dispute resolution).277. 为便利委员会按照大会的上述请求拟定关于这一副专题的评论意见,秘书处组织了一次专门讨论,委员会有关工作领域(仲裁和调解及网上解决争议)的专家参加了这次讨论。
Summary of the rule of law briefing on the role of UNCITRAL in promoting the rule of law and the peaceful settlement of international disputes关于贸易法委员会在促进法治与和平解决国际争议上所起作用的法治情况
278. The panel discussion started by highlighting the important role of international commercial arbitration rules in strengthening the rule of law through the peaceful settlement of international disputes.简要介绍摘要 278. 小组讨论首先强调了国际商事仲裁规则通过和平解决国际争议而在加强法治上发挥的重要作用。
Arbitration was an area in which UNCITRAL had been working since its inception, and UNCITRAL had become well known for its development of core legal instruments, such as the UNCITRAL Arbitration Rules and the UNCITRAL Model Arbitration Law, and for monitoring the effective implementation of the 1958 New York Convention.贸易法委员会自创建以来一直致力于仲裁领域的工作,拟订了《贸易法委员会仲裁规则》和《贸易法委员会仲裁示范法》之类的核心法律文书,并监督1958年《纽约公约》的有效执行,因此声名卓著。
279. It was noted that international commercial arbitration had been one of the most effective means of resolving international economic disputes, such as cross-border disputes over investments in natural resources.279. 据指出,国际商事仲裁是解决自然资源投资跨境争议之类国际经济争议的最为有效的手段之一。
As such, it was argued, international commercial arbitration might have reduced the opportunity for inter-State conflicts by obviating the need for States to confront one another directly on behalf of their aggrieved citizens, through reprisals, claims espousals or other means.有与会者就此指出,国际商事仲裁可能减少了国家间发生冲突的机会,因为国家由此无需代表其受害的公民而通过报复、赞成权利主张或其他手段发生直接对抗。
Moreover, it might have contributed to avoiding aggravation of situations in volatile situations (for example, by preventing societies from sliding back into conflict).而且,这可能有助于避免动荡情况下局势的恶化(例如防止社会再度陷入冲突)。
280. The speakers highlighted the distinct features of international arbitration that made it valuable in the peaceful settlement of disputes, especially those disputes arising in unstable and politically charged relationships (for example, cross-border investments in the extractive industries, post-conflict disputes related to transboundary damages, seizure of property or territorial claims).280. 发言者着重说明了国际仲裁在和平解决争议上发挥重要作用的突出特征,尤其是在和平解决因为不稳定并且政治紧张的关系(例如在采掘工业上的跨境投资、与跨国界损害赔偿有关的冲突后争议、扣押财产或领土主张)而产生的争议上。
Among such valuable features, the speakers noted flexibility (the ability of disputing parties to deploy an ad hoc procedure that was specifically adapted to the particular dispute, rather than being bound by the fixed procedures of a local court) and neutrality through denationalization of the legal forum for adjudicating disputes (the arbitral tribunal was independent of disputing parties, as well as insulated from instructions or interference by the respective Governments, and was empowered to rule on its own jurisdiction).发言者注意到这些重要特征包括了灵活性(争议当事方有能力利用根据特定争议而作具体调整的特别程序而不是受地方法院固定程序的约束)以及通过主张裁判争议的诉讼所在地的非国别性而保证中立性(仲裁庭是独立于争议当事方的,不接受相关政府的指示或干预,有权根据自身的管辖权作出裁断)。
281. It was indicated that the neutrality of the forum was of special value in post-conflict situations and other volatile situations where recourse to domestic courts of States in conflict was often out of the question (either because the courts were dysfunctional or because of suspicion of bias or even hostility of the local courts, raising also questions of personal safety, or because of the lack of court independence, including where a domestic court was charged with determining the legality of the actions of its own government).281. 据指出,如果诉诸冲突国国内法院通常毫无可能(由于法院无法正常运转或由于怀疑地方法院持有偏见或抱有敌意,从而也造成人身安全问题,或由于法院缺乏独立性,包括某国内法院被指控确定本国政府行为的合法性),诉讼所在地的中立性被视为在冲突后局势及其他动荡局势下具有特殊的意义。
282. UNCITRAL instruments in the area of international commercial arbitration, it was said, provided practical means to ensure that those distinct features of international arbitration worked in practice.282. 有与会者指出,贸易法委员会在国际商事仲裁领域的文书给确保国际仲裁突出特征在实务中奏效提供了实际手段。
As regards flexibility, it was said that the UNCITRAL Arbitration Rules allowed great flexibility in adapting the procedure to the requirements of the dispute by permitting the parties to define the issues to be resolved, the number of arbitrators, the identity of the arbitrators, the forum and the applicable law.关于灵活性,据指出,《贸易法委员会仲裁规则》允许当事双方确定有待解决的问题、仲裁员人数、仲裁员身份、诉讼所在地和可适用法律,从而能够根据相关争议的要求而对程序高度灵活地加以调整。
Once the tribunal had been empanelled, it was said, it had the inherent power to work out its own procedures, in consultation with the parties, such as the time within which the award would be rendered, the number and order of pleadings and how the tribunal would obtain evidence.据指出,一旦仲裁庭被列入陪审员名单,就享有同当事双方协商制定自身程序的根本权力,例如作出裁决的时间、应答次数和顺序及仲裁庭取证方式。
As regards neutrality, it was submitted that the UNCITRAL Model Arbitration Law had been the most successful single instrument for ensuring an independent and harmonized approach to international arbitration.关于中立性,会议承认,《贸易法委员会仲裁示范法》是在确保以独立统一做法开展国际仲裁上最为成功的一份文书。
283. The speakers also commended the efforts of UNCITRAL, in cooperation with other stakeholders, towards achieving near-universal accession to the 1958 New York Convention (which currently had 149 States parties) and towards its effective implementation and uniform interpretation and application by collecting and disseminating case law and other materials related to that Convention.283. 发言者还称赞贸易法委员会同其他利益攸关方合作,收集和传播与1958年《纽约公约》有关的判例法及其他相关材料,力争该公约达到几近普遍的加入率(目前有149个缔约国),并力争对其加以有效执行和予以统一解释和适用。
It was stated that the contribution of the Convention to strengthening the rule of law was indisputable:据指出,《公约》对增强法治所作贡献不容置疑:
the Convention had been the bedrock of international arbitration, providing for more than 50 years a common set of standards for the recognition and enforcement of international arbitration awards.《公约》是国际仲裁的基石,50多年来为承认并强制执行国际商事裁决提供了一套共同的标准。
(On this subject, see also para. 136 above.)(关于这一主题,另见上文第136段。
284. The framework provided by those instruments, it was said, was an effective means of attracting investment needed for sustainable development and capacity-building, which in turn might effectively deter many conflicts currently triggered by economic factors.) 284. 据指出,这些文书所提供的框架是吸引可持续发展所需投资和开展能力建设的一种有效手段,而这又可能有效遏制目前因经济因素而触发的许多冲突。
285. The speakers recalled the adoption by UNCITRAL, earlier in the session, of the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration (see para. 128 above).285. 发言者回顾贸易法委员会先前在贸易法委员会届会上通过了《基于条约的投资者与国家间仲裁透明度规则》(见上文第128段)。
With reference to the definition of the rule of law as articulated in United Nations documents, which explicitly refers to legal and procedural transparency, it was emphasized that without such transparency no other fundamental requirements of the rule of law, such as accountability, legal certainty, fairness in the application of laws and the avoidance of arbitrariness, could be achieved.关于联合国文件中阐明的法治定义,其中明确提及法律和程序的透明,有与会者强调,如果没有这类透明度,法治的其他任何基本要求,例如问责任制、法律的确定性、公平地适用法律并避免任意武断等,都将无从实现。
The potential impact of the UNCITRAL Rules on Transparency on achieving all those fundamentals of the rule of law was highlighted, in particular in an area where transparency seemed much needed: exploitation of public resources.会上着重强调了《贸易法委员会透明度规则》对实现法治所有这些基本要求的潜在影响,特别是在利用公共资源这一看来十分需要有透明度的领域。
The UNCITRAL Rules on Transparency, it was said, covered nearly all aspects of treaty-based investor-State arbitrations.据指出,《贸易法委员会透明度规则》涵盖投资人与国家间基于条约仲裁的几乎所有方面。
They were nuanced and balanced, but to achieve what they were intended to achieve they needed to be effectively implemented.这些规则精准周全,但要实现其预期目标,就需要加以有效落实。
According to speakers, the important work of UNCITRAL should therefore continue:因此,据发言者称,贸易法委员会应当继续开展其重要工作:
UNCITRAL should not only soon prepare a convention devising a mechanism for applicability of the Rules to existing investment treaties but also take steps towards practical implementation of the Rules, collection and dissemination of the relevant information as required under the Rules and promotion of good practices with respect to the use of the Rules.贸易法委员会不仅应当尽快编拟一项公约,建立将《规则》适用于现行投资条约的相关机制,而且还应当采取落实《规则》的相关步骤,收集并传播《规则》所要求的相关信息,并推进在使用《规则》上的良好做法。
In response, it was noted that that ought to be balanced with the need to respect the basis on which investment decisions were made, and that changing the rules that were applicable to such decisions was itself contrary to the rule of law.对此,据答复称,这应当与必须尊重作出投资决定时的依据相平衡,改变适用于这些决定的规则这本身就是违背法治的。
286. The Commission heard then the suggestion for increased use of mediation and the role of domestic courts in the settlement of international economic disputes.286. 委员会随后听取了关于更多利用调解并更好发挥国内法院在解决国际经济争议上所起作用的建议。
The value of mediation was highlighted as a flexible, cheap and fast method of settlement of disputes and as the effective mechanism towards reaching an early amicable settlement between disputing parties.有与会者强调调解作用重大,是解决争议的一种灵活、经济和快捷的方法,并且是争取争议当事双方尽快达成和解的一种有效机制。
Data were presented indicating that in many cases of investor-State arbitration, disputes were in fact settled amicably before the final award was rendered.所介绍的数据表明,在投资者与国家间仲裁的许多情况下,在作出最后裁决之前事实上已经就争议达成了和解。
It was said that, despite that preference for amicable settlements of disputes, mediation was not widely used and known.据指出,虽然人们更愿意对争议达成和解,但是对调解的利用并不普遍,并且对调解也不熟悉。
The perceived disadvantages of that mechanism, in particular uncertainties as regards enforcement of the results of mediation, as well as the lack of the explicit power in law by any entity to negotiate on behalf of the State in the framework of mediation procedures, contributed to its relative unpopularity.调解之所以不太受欢迎,是因为在人们看来,调解机制有着许多不利之处,特别是在调解结果的落实上有着一些不确定之处,在调解程序的框架内代表国家进行协商的任何实体都缺乏明确的法律授权。
Many jurisdictions did not have a consolidated law encompassing substantially all aspects of commercial mediation or capacity to handle mediation of commercial disputes. That was despite the fact that many jurisdictions surveyed by the World Bank provided for court referral of cases to mediation or conciliation in commercial disputes where court proceedings had been initiated.许多法域都缺乏涵盖商事调解几乎所有各个方面的统一法律,也没有能力处理对商事争议的调解,虽然事实上,接受世界银行调查的许多法域都声称允许法院在启动法院诉讼程序之时将商事争议案件交由调解或调停处理。
The role of the UNCITRAL Conciliation Rules (1980) and the UNCITRAL Model Law on International Commercial Conciliation in strengthening the domestic framework for mediation was highlighted:会上强调《贸易法委员会调解规则》(1980年)和《贸易法委员会国际商事调解示范法》在加强各国国内调解框架方面所起的作用。
robust domestic rules on mediation were considered to be a prerequisite for fostering mediation of international disputes and ensuring that safeguards of at least some transparency, accountability and anti-corruption applied to negotiations held in the framework of mediation procedures.各国在调解方面强有力的国内规则被视为一个先决条件,可推动国际争议的调解并确保至少能在一定程度上保障对调解程序框架内进行的协商适用透明度、问责制和反腐原则。
287. The Commission also heard a presentation on the evolving nature of online dispute resolution and its potential to expedite resolution of disputes in various contexts, especially in post-conflict societies where face-to-face communication with the aim of resolving disputes could be difficult.287. 委员会还听取了就网上解决争议的变化中性质及其在加快解决各类情况(尤其在难以为解决争议而进行面对面沟通的冲突后社会)争议上的可能性所作的专门介绍。
The Commission was informed that technology-assisted or technology-based online dispute resolution mechanisms, as well as technology-facilitated online dispute prevention guarantees, were already being tested, including in some post-conflict communities.委员会获悉,得到技术帮助的或基于技术的网上解决争议机制以及得到技术便利的网上争议预防保障机制均已经受了考验,包括在某些冲突后社区中。
To some extent, state-of-the-art technologies using artificial intelligence and an ability to learn and improve automatically may work as a substitute for arbitrators, conciliators or meditators by generating dispute settlement options with minimal human intervention or without such intervention.使用人工智能的最新技术以及自动学习和改进的能力在某种程度上可以替代仲裁员、调停人员或调解员,在极少人力干预或没有人力干预的情况下生成解决争议的选项。
Factors such as their round-the-clock availability and accessibility, speed and affordability could also increase their popularity.例如每天24小时开通和访问及迅捷经济等这类因素也可提高其受欢迎度。
Any endeavour at the international level to increase effectiveness and efficiency of peaceful settlement of international disputes should therefore not underestimate the potential role of online dispute resolution.因此,凡要在国际层面上力求提高和平解决国际争议的效力和效率,就不应当低估网上解决争议的潜在作用。
Globally harmonized principles and standards (including on accreditation of providers, procedural safeguards, substantive regulation and trust-building applications) for online dispute resolution to be used in various contexts (including business-to-business, business-to-consumer or consumer-to-consumer, and possibly other contexts) were paramount to ensure sustainable operation of providers of online dispute resolution and the effectiveness of such mechanisms.让网上解决争议能在各种情况下(包括企业与企业间、企业与消费者间或消费者与消费者间以及可能存在的其他情况)均可使用的全球协调统一的原则和标准(包括在对提供方进行资质鉴定、提供程序性保障、进行实质性监管和建议信任适用措施等方面)对确保网上解决争议办法提供方的可持续运作以及网上解决争议办法的效力均至关重要。
In that respect, the work of UNCITRAL Working Group III (Online Dispute Resolution) was highlighted as being very valuable.会上就此强调贸易法委员会第三工作组(网上解决争议)的工作十分重要。
Action by the Commission委员会采取的行动
288. The Commission expressed its appreciation to the panellists for their statements and endorsed their views about the role of UNCITRAL and its instruments in the area of arbitration and conciliation in the promotion of the rule of law and the peaceful settlement of international disputes.288. 委员会赞赏小组成员所作的发言,赞同其对贸易法委员会及其仲裁和调解领域各项文书在促进法治与和平解决国际争议上所起作用而发表的看法。
The Commission highlighted the potentially significant role of the UNCITRAL Rules on Transparency in that respect as well.委员会强调《贸易法委员会透明度规则》在这方面也有可能发挥重要作用。
The Commission also noted the evolving nature of online dispute resolution and its potential role in dispute settlement in various contexts, in particular in post-conflict situations.委员会还注意到网上解决争议办法的变化中性质及其在各种情况下尤其在冲突后局势中在解决争议方面的潜在作用。
289. The Commission recalled the activities of the Secretariat on technical assistance with law reforms in the area of settlement of disputes, as reported in the note by the Secretariat on technical cooperation and assistance (A/CN.9/775) (see para. 231 above).289. 委员会回顾了秘书处在其关于技术合作与协助的说明(A/CN.9/775)中所述的解决争议领域法律改革方面的技术援助活动(见上文第231段)。
The Commission also heard a statement on projects in South-East Europe and the State of Palestine as regards domestic arbitration and conciliation laws, undertaken in cooperation with GIZ.委员会还听取了关于与德国国际合作署合作在东南欧和巴勒斯坦国就国内仲裁和调解法而开展的项目的一则发言。
It also recalled the technical assistance mission to Iraq on the adoption of the New York Convention, in cooperation with the United States Department of Commerce.它还回顾了与美国商务部合作就通过《纽约公约》而派团前往伊拉克开展技术援助考察的情况。
The Commission recalled its discussion of the role of the guide on the 1958 New York Convention in facilitating the understanding of the text of the Convention, its effective implementation, uniform interpretation and application (see paras. 134-140 above).委员会回顾就1958年《纽约公约》指南在方便理解《公约》案文、其有效执行、统一解释和适用的作用上展开的讨论(见上文第134-140段)。
In that respect, the Commission noted with appreciation that GIZ expressed the wish to support the preparation of the guide on the 1958 New York Convention as an important tool in technical assistance activities in the area of dispute settlement.委员会就此赞赏地注意到,德国国际合作署希望支持编拟1958年《纽约公约》指南,以此作为在解决争议领域开展技术援助活动的一项重要工具。
290. The Commission emphasized the importance of technical assistance activities of its secretariat for strengthening the rule of law and called for closer cooperation and coordination within the United Nations system and with the relevant stakeholders outside the United Nations system to achieve the increased use of UNCITRAL standards.290. 委员会强调秘书处技术援助活动对加强法治的重要性,呼吁在联合国系统内部并且与联合国系统外相关利益攸关方密切合作与协调,以便更多使用贸易法委员会的标准。
The Commission reiterated that the role of States in that respect should also be considerably enhanced.委员会重申还应当大大加强各国在这方面的作用。
291. The Commission recalled that the General Assembly, in paragraph 17 of its resolution 67/97, had decided to focus the Sixth Committee debates in 2014 under the agenda item entitled “The rule of law at the national and international levels” on the subtopic “Sharing States’ national practices in strengthening the rule of law through access to justice”.291. 委员会回顾,大会在其第67/97号决议第17段中决定第六委员会2014年在题为“国家和国际层面上的法治”议程项目下的辩论侧重于“通过司法救济共享各国在加强法治上的国家做法”这一专题。
The Commission invited comments and studies on that subtopic for consideration by the Commission at its forty-seventh session, to be held in 2014.委员会请求就该次专题发表意见并展开研究,以便供委员会2014年举行的第四十七届会议审议。
Planned and possible future work, including in the areas of arbitration and conciliation, commercial fraud, electronic commerce, insolvency law, international contract law, microfinance, online dispute resolution, public procurement and infrastructure development, including public-private partnerships, and security interests十五. 计划开展和今后可能开展的工作,包括在仲裁和调解、商业欺诈、 电子商务、破产法、国际合同法、小额金融、网上解决争议、 公共采购和基础设施发展,包括公私伙伴关系,以及担保权益等领域的工作
292. The Commission recalled its request at its forty-fourth session, in 2011, that the Secretariat should prepare a note on strategic planning, for consideration by the Commission at its forty-fifth session, to include possible options for the future work of UNCITRAL and an assessment of their financial implications.292. 委员会回顾其2011年第四十四届会议请秘书处编写一份关于战略规划的说明,供委员会第四十五届会议审议,其中列出贸易法委员会今后工作各种可能的选择办法以及对这些选择办法涉及的财务问题所作的评估。
It also recalled its agreement to provide further guidance on the strategic direction of UNCITRAL at the present session, and had requested the Secretariat to reserve sufficient time in the present forty-sixth session to allow for a detailed discussion on the matter.委员会还回顾曾商定在本届会议上就贸易法委员会战略方向提供进一步的指导意见,并请秘书处在第四十六届会议上预留足够的时间,以便能够对此事进行详细讨论。
293. The Commission considered the note by the Secretariat on planned and possible future work (A/CN.9/774), which supplemented the note by the Secretariat on a strategic direction for UNCITRAL (A/CN.9/752 and Add.1), prepared in response to the request at the forty-fourth session referred to above.293. 委员会审议了秘书处关于“计划开展和今后可能开展的工作”的说明(A/CN.9/774),该文件是对秘书处根据上述第四十四届会议请求而编写的关于“贸易法委员会战略方向”的说明(A/CN.9/752和Add.1)的补充。
The attention of the Commission was also drawn to the reports and documents referred to in those documents.还提请大会注意这些文件中提到的报告和文件。
There was broad support for the approach and key points set out in documents A/CN.9/774 and A/CN.9/752 and Add.1.广泛支持A/CN.9/774和A/CN.9/752及Add.1号文件中提出的方法和关键论点。
294. The Commission discussed some general considerations that it might apply in planning and prioritizing the future work of UNCITRAL, including both its legislative activity and the other activities to support the adoption and use of UNCITRAL texts described in paragraph 12 of document A/CN.9/774.294. 委员会讨论了A/CN.9/774号文件第12段所述可能适用于规划贸易法委员会今后工作并确定先后顺序的一些一般性考虑,这些工作包括其立法活动和为支持贸易法委员会案文的通过和使用而开展的其他活动。
It underscored the importance of taking a strategic approach to the allocation of the scarce resources of UNCITRAL, in the context of its mandate to modernize and harmonize international trade law, and in the light of the increasing number of topics referred to UNCITRAL for consideration.委员会强调,在其推动国际贸易法现代化和协调统一任务的范围内,并考虑到提交贸易法委员会审议的议题日渐增多,因此在分配贸易法委员会宝贵资源时采取一种战略方法非常重要。
295. The Commission recalled certain strategic considerations that had been raised at its forty-fifth session, namely:295. 委员会回顾第四十五届会议提出的某些战略考虑,即:
Identifying the subject areas that should be accorded the highest priority, by reference to the role and relevance of UNCITRAL;参照贸易法委员会的作用和关联性,确定应当列为最优先事项的主题领域;
The sustainability of the existing modus operandi, i.e. current emphasis on formal rather than informal negotiations when developing texts, given current resources;考虑到当前的资源,现有工作方式的可持续性,即在拟订案文时,目前侧重于正式谈判而不是非正式商讨;
Achieving the optimal balance among the activities of UNCITRAL, given current resources;考虑到当前的资源,实现各种活动之间的最佳平衡;
The mobilization of additional resources and the extent to which UNCITRAL should seek external resources for its activities, such as through joint activities and cooperation with other bodies.调集更多的资源和贸易法委员会应当为其活动寻求外部资源的程度,例如,通过共同活动和与其他机构合作。
296. As regards the subject areas that should be accorded the highest priority, the Commission noted that prioritization involved issues of both importance and urgency, and recalled the various considerations that the Commission had previously set out referred to in section IV.B (“Prioritization of subject areas”) of document A/CN.9/774.296. 关于应当列为最优先事项的主题领域,委员会注意到确定先后顺序既涉及重要性问题,也涉及紧迫性问题,并回顾了A/CN.9/774号文件第四节B(“确定各主题领域的先后顺序”)提到的委员会以前曾提出的各种考虑。
297. The Commission emphasized the importance of undertaking legislative development on those topics on which it was likely that consensus could be achieved, for which an economic need (in the sense used in document A/CN.9/774) existed, and which were likely to result in a legislative text with a beneficial effect on the development of international trade law.297. 委员会强调有必要就一些议题开展立法制定工作,这是因为就这些议题有可能达成共识、存在着(A/CN.9/774号文件用意上的)经济上的需要,并且有可能形成有利于国际贸易法的发展的立法案文。
It was underscored that the extent to which an envisaged legislative text would support the development of international trade law as expressed in the mandate given to UNCITRAL by the General Assembly should be the main factor guiding the Commission in deciding whether or not to take up a topic.强调正如大会赋予贸易法委员会的任务所述,所设想的立法案文在多大程度上有利于国际贸易法的发展应是指导委员会决定是否就一个议题开展工作的主要因素。
While some delegations emphasized the issues of promoting sustainable economic and social development and the rule of law in assessing the priority to be ascribed to topics, others stated that such support would be a desirable effect of harmonizing and modernizing international trade law itself.一些代表团在评估赋予各议题的优先顺序时强调促进经济和社会可持续发展以及法治等问题,而另一些代表团则指出,这种支持将是对国际贸易法本身实行协调统一和现代化的一个理想结果。
298. The Commission heard a description of certain issues set out in a proposal by the United States, contained in section II of document A/CN.9/789.298. 委员会听取了对A/CN.9/789号文件第二节所载美国一项提案列出的某些问题的介绍。
With reference to the issues set out in section II of that document (in the subsection entitled “Sustainability of existing modus operandi”), some States considered that the project-based approach to the denomination of working groups described therein would be appropriate.关于该文件第二节所列问题(题为“现有工作方式的可持续性”这一小节),一些国家认为其中所述的基于项目确定工作组名称的办法是适宜的。
Others expressed the view, which subsequently prevailed, that the flexibility that a project-based approach was designed to have had existed since the decision taken in 2003 to increase the number of working groups from three to six.另一些国家则认为,采用基于项目的办法是为了能够有灵活性,这种灵活性自2003年决定将工作组数目从三个增至六个时就一直存在,这种观点后来占了上风。
It was acknowledged that the allocation of conference time among working groups could also be undertaken flexibly, rather than through an automatic allocation of two weeks per subject per year.认识到也可以灵活地分配各工作组的会议时间,而不是每个议题每年自动分配两周时间。
299. Concern was expressed that, should the Commission establish semi-permanent or permanent working groups whose remit and mandate were not regularly reviewed, topics that the Commission might consider to be high priorities for UNCITRAL to work upon might be crowded out.299. 有与会者表示关切,认为如果委员会设立半常设或常设工作组而其职权范围和授权任务不加以定期审查的话,那么委员会所可能认为是贸易法委员会高度优先工作的一些议题就可能被挤掉。
However, it was agreed that the expertise within working groups should be recognized and supported, as a way of supporting the high quality and sustained relevance of UNCITRAL texts.然而,会议商定,各工作组内的专业知识应当得到承认和支持,以此作为支持贸易法委员会法规保持高质量和持续关联性的一种方法。
300. The Commission also emphasized that the development of UNCITRAL texts as a matter of course should be undertaken through the working group process.300. 委员会还强调通常应当通过工作组进程拟订贸易法委员会案文。
In that regard, the Commission recalled the link between that formal negotiation process and the universal applicability and hence acceptance of UNCITRAL texts, the importance of the transparency that that process conferred, and the need to continue the inclusive working methods of UNCITRAL.在这方面,委员会回顾这种正式谈判进程与贸易法委员会案文的普遍适用性及从而被接受这两者之间的联系、这种进程所具有的透明度的重要性以及贸易法委员会继续采用包容性工作方法的必要性。
It was also agreed that the multilingualism of the working methods of UNCITRAL constituted key support for its work and, even though it was resource-hungry, should be continued.还一致认为贸易法委员会工作方法中采用多种语文对其工作构成关键的支持,即使需要不少资源,这种做法也应当继续下去。
301. The Commission agreed that there were exceptional situations in which more informal working methods might be appropriate, including addressing highly technical aspects of topics, and addressing drafting issues when a text was nearing completion.301. 委员会还一致认为,在有些特殊情况下,较为非正式的工作办法可能更加合适,包括处理议题中高度技术性问题,以及在法规案文接近完成时处理草案措词问题。
It was suggested that, in the latter scenario, such methods might be accelerated through reliance on experts and special rapporteurs to facilitate the final preparation for submission of a text to the Commission for adoption.指出在后一种情况下,通过依赖专家和特别报告员协助最后的编写工作以便将案文提交委员会通过,可以加快这种方法的速度。
The importance of transparency and inclusiveness and of avoiding the dominance of specialized groups and interests in informal working methods was emphasized.强调了这种非正式工作方法中透明度和包容性以及避免某些专业群体和利益集团在其中占主导地位的重要性。
It was agreed that the Secretariat should be permitted the flexibility to organize informal work to suit the needs of each relevant subject area.商定应当允许秘书处灵活安排非正式工作,以适应各个相关主题领域的需要。
The Commission stressed, however, that there should both be limits to such informal working methods and that all legislative texts should be considered by the Commission prior to adoption.不过,委员会强调,此类非正式工作方法应当有一定的限度,所有立法案文在通过之前应由委员会审议。
In addition, it was noted that preparatory work prior to referring a topic to a working group was both appropriate and necessary, such as through Secretariat studies, the holding of colloquiums and the assistance of outside experts from different legal traditions and affiliations.此外,指出在将议题交给工作组之前做些准备工作既适宜又有必要,例如由秘书处开展研究,举行座谈会,以及不同法律传统和从属关系的外部专家提供协助。
The Commission recalled earlier statements in that regard, cited in section II of document A/CN.9/789, under the heading “Subject matters that should be accorded highest priority”, to the effect that as a rule a subject matter would not be referred to a working group before a study was undertaken by the Secretariat.委员会回顾以前在这方面的说法,A/CN.9/789号文件第二节在“应当列为最优先事项的主题事项”标题下曾引用这种说法,其大意是,一个主题事项通常在秘书处开展研究之前不提交工作组审议。
302. The nature of a legislative text was also raised.302. 还提到立法案文的性质。
It was suggested that formal negotiations should be limited to the development of binding texts (such as conventions) and standard-setting documents (such as model laws), and that informal legislative development would be appropriate for legislative guides and other forms of guidance.指出正式谈判应当限于制定有约束力的案文(如公约)和确立标准的文件(如示范法),而立法指南和其他形式的指导意见应当采取非正式立法拟订的办法。
Another view, which subsequently prevailed, was that a more flexible approach was needed, both because there was not always a clear dividing line between binding and other types of text and because the type of text that was appropriate might become clear only during formal negotiations.另一种意见是,需要采取较为灵活的方法,一方面因为在约束性案文和其他类别的案文之间并非始终有明确的分界线,另一方面因为适宜采用哪类案文可能只有在正式谈判过程中才会变得明确,这种意见后来占了上风。
It was nonetheless agreed that the mandate for a working group should be precise, should reflect the maturity of the subject matter and should clearly identify the scope of work to be undertaken, including the envisaged nature of the legislative text where appropriate.不过,一致认为给工作组的任务授权应当精确,应当反映主题事项的成熟性,并应当明确确定拟开展工作的范围,酌情包括设想的立法案文的性质。
303. Bearing in mind the scarce resources available to UNCITRAL and particularly the limited conference time available (14 weeks annually in the period 2012-2013, including each Commission session), the Commission agreed to assess whether or not legislative development in any particular topic should be referred to a working group on the basis of four tests, the first of which was whether it was clear that the topic was likely to be amenable to harmonization and the consensual development of a legislative text.303. 铭记贸易法委员会所可利用的资源不多,特别是所可利用的会议时间有限(2012-2013年期间每年14个星期,包括委员会其中每年的一届会议),委员会商定将评估是否应当在四项检验的基础上把任何特定专题的立法拟订工作交由某工作组处理,其中第一项检验是,是否显然可以对该专题加以协调统一并协商拟订立法案文。
In that regard, recalling that UNCITRAL was a global rather than regional organization, it was agreed that such an assessment required the potential for international and not merely regional harmonization.会议就此回顾贸易法委员会是一个全球性而并非区域性组织,因而一致认为,这类评估的前提是,有可能在国际而并非仅在区域层面上加以协调统一。
304. The second test was whether the scope of a future text and the policy issues for deliberation were sufficiently clear.304. 第二项检验是,未来案文的范围以及有待审议的政策问题是否足够清楚。
The third test was whether there existed a sufficient likelihood that a legislative text on the topic would enhance modernization, harmonization or unification of the international trade law.第三项检验是,是否存在该专题立法案文将能增强国际贸易法现代化、相互协调或统一的充分可能性。
The fourth test was that legislative development should generally not be undertaken if so doing would duplicate legislative work on topics being undertaken by other international or intergovernmental bodies and that preparatory work to identify any areas of potential duplication should be undertaken before a topic was referred to a working group.第四项检验是,立法拟订工作如果是对其他国际或政府间机构正在开展的专题立法工作的一种重复,则一般不应当展开,应当是在把某个专题交由工作组之前,首先进行准备工作,找出任何有可能重复之处。
305. The Commission agreed that it would normally assess topics for consideration and legislative development on an annual basis, but that some longer-term indicative planning would be appropriate, so as to understand what the Commission would be expected to address over a three-to-five year period.305. 委员会商定其通常每年都将评估有待审议的专题和立法拟订工作,但似宜有某种更为长期的指示性规划,目的是了解究竟期望委员会在三到五年期间处理什么问题。
Possible preparations for an event to celebrate the thirty-fifth anniversary of the United Nations Sales Convention in 2015 were cited as an example (see para. 315 below).会上列举了2015年《联合国销售公约》三十五周年庆祝活动可能开展的准备工作作为一个实例(见下文第315段)。
The importance of giving appropriate flexibility to the Secretariat in such planning was recalled.会上回顾了在这类规划方面让秘书处拥有适当灵活性的重要性。
306. The Commission noted that it would also bear in mind the relevance of assessing the role and relevance of UNCITRAL activities within the broader United Nations agenda and the priorities of donor communities and national Governments.306. 委员会称,还将铭记在联合国更广议程、捐助团体和各国政府优先任务的范围内评估贸易法委员会活动的作用和关联性的相关意义。
While there was broad support for pursuing a harmonized approach to relevant issues with these bodies, views differed as to the benefits of adopting other agencies’ priorities, and it was agreed that cooperation in this area should be undertaken on a case-by-case basis.虽然采用同这些机构协调统一的做法处理相关问题得到广泛支持,但是会上对采纳其他机构优先主题的好处仍然意见不一,会议商定,应当根据该领域具体情况逐一展开合作。
307. The Commission also considered the balance of the work of UNCITRAL in legislative development and the other activities undertaken to support UNCITRAL texts.307. 委员会还审议了贸易法委员会制订立法的工作与为支持贸易法委员会法规而开展的其他活动这两者之间的平衡。
As regards technical assistance, and noting the increasing demand for Secretariat participation in such work as reflected in the note by the Secretariat on technical cooperation and assistance (A/CN.9/775) (see para. 231 above), the Commission underlined the importance of such assistance in ensuring the effective implementation of UNCITRAL texts.关于技术援助,鉴于如同秘书处关于技术合作与援助的说明(A/CN.9/775)所示(见上文第231段),对秘书处参与这类工作的需求有增无减,委员会强调这类援助对确保有效落实贸易法委员会的案文具有重要意义。
It was suggested that a significant element of technical assistance would be to educate potential users of the texts on the policy solutions and rules they encompassed, so as to enable the users to implement and use the texts effectively.会上建议,技术援助的一项重要内容应当是,就案文所包含的政策解决办法和规则向案文潜在用户展开教育,以便使用户能够有效落实并使用这些案文。
The Secretariat was invited to consider methods of undertaking that work commensurate with its resources, for example through coordination with other relevant agencies within the United Nations system and beyond.会上请秘书处考虑如何在同其资源相称的情况下通过与联合国系统内外其他相关机构展开协调而开展这项工作。
The limited extent of the Secretariat’s ability to engage in such activities was highlighted, however, bearing in mind both the need to ensure that the Secretariat allocated sufficient resources to servicing the sessions of the Commission and its working groups and the need for States to play a major role in technical assistance activities.然而会上强调,考虑到既需要确保秘书处为委员会及其工作组的会务工作拨出充分的资源,又需要让各国在技术援助活动上发挥主要作用,因而秘书处从事这类活动的能力有限。
308. As regards coordination and cooperation with other relevant law reform agencies, the Commission emphasized the need for ongoing efforts to secure effective links within and beyond the United Nations (such as with the multilateral development banks and other international and regional organizations, in particular the Hague Conference on Private International Law and Unidroit), to identify joint projects where appropriate, and to set priorities with such bodies based on the expertise within each such body.308. 关于同其他相关法律改革机构之间的协调与合作,委员会强调需要不断努力确保在联合国内外(例如同多边开发银行及其他国际和区域组织,尤其是同海牙国际私法会议和统法协会)建议有效的联系,以便酌情确定联合项目,并根据其中每个机构的专长而确定与这类机构展开协调与合作的优先任务。
Examples were given of such coordination and cooperation referred to in the note by the Secretariat on coordination activities (A/CN.9/776) (see para. 245 above).会上列举了秘书处关于协调活动的说明(A/CN.9/776)所述展开这类协调与合作的实例(见上文第245段)。
(See also paras. 245-256 above.)(另见上文第245-256段)。
309. A suggestion was made that the possibility of appointing the Chairman of the Commission for the duration of the calendar year and not for the duration of the Commission session (which begins at the opening of the session and ends immediately before the following annual session) should be examined.309. 有与会者提议,应当审查可否任命一个日历年任期的而不是整届委员会任期(自届会开幕时起至下届年会前夕)的委员会主席。
310. The Commission considered the proposals for ongoing and future work before it in the light of the above-mentioned matters, and agreed that it should reserve time for discussion of future work as a separate topic at each Commission session.310. 委员会根据上述事项审议了关于目前及今后工作的各种提议,并一致认为,应当在委员会每一届会议上留出时间将今后工作作为一项单独专题加以讨论。
Its conclusions regarding the subject areas for planned and possible future legislative work identified in document A/CN.9/774 were as follows.其有关A/CN.9/774号文件所载计划中和有可能开展的未来立法工作主题领域的结论内容如下。
Arbitration and conciliation仲裁和调解
311. The Commission recalled the summary of its discussion on planned and future work in the area of arbitration and conciliation (see paras. 127 and 129-133 above) and agreed that the future activities in the area of commercial dispute settlement identified in paragraphs 127 and 129-133 above should be submitted to Working Group II (Arbitration and Conciliation), which would meet for two one-week sessions during the year to June 2014.311. 委员会回顾其就仲裁和调解领域计划中和未来工作的讨论情况摘要(上文第127和129-133段)并商定,应当把关于上文第127和129-133段所载解决商业争议领域的未来活动提交给第二工作组(仲裁和调解)处理,该工作组将在直至2014年6月这一年期间举行两届为期一星期的会议。
Commercial fraud商业欺诈
312. The Commission heard an oral report on the topic of commercial fraud, drawing upon the information set out in the note by the Secretariat on commercial fraud (A/CN.9/788).312. 委员会听取了以秘书处关于商业欺诈的说明(A/CN.9/778)所述信息为基础而就商业欺诈专题作的口头报告。
The Commission recalled that, at its forty-first session, in 2008, it had requested the Secretariat to publish the “Indicators of commercial fraud” (A/CN.9/624 and Add.1 and 2), as subsequently amended, a text that had been considered generally useful, and heard that a group of experts convened pursuant to the Commission’s suggestion at its previous session, in 2012, should continue to meet periodically to consider the continuing relevance and accuracy of those indicators.委员会回顾到,其2008年第四十一届会议曾请秘书处印发“商业欺诈的标志”(A/CN.9/624和Add.1和2),随后作了修订,该案文被认为大体有益,并且获悉,依照委员会上届2012年会议所作建议而召集的专家组会议应当继续定期开会,审议这些标志是否继续具有关联性和准确性的问题。
Reference was made to plans to develop under the auspices of the core group of experts on identity-related crime of the Commission on Crime Prevention and Criminal Justice model legislation on identity-related crime, and to a request made in that context to the United Nations Office on Drugs and Crime to coordinate with UNCITRAL on the development of such model legislation.会上提到计划在预防犯罪和刑事司法委员会与身份相关犯罪问题核心专家组的主持下拟订与身份相关犯罪问题的示范立法,并提到为此向联合国毒品和犯罪问题办公室提出的请求,以便就拟订此类示范立法与贸易法委员会协调。
Noting that there was no current proposal to prepare a new legislative text in this area, the Commission welcomed the suggestion that it be kept informed of future developments.注意到目前并无提议编拟该领域新的立法案文,委员会对关于应当向其随时通报今后动态的建议表示欢迎。
Electronic commerce电子商务
313. The Commission recalled the summary of its discussion on planned and future work in the area of electronic commerce (paras. 223-230 above) and agreed that the continuation of work towards developing a legislative text in the field of electronic transferable records would be continued at two one-week sessions of Working Group IV (Electronic Commerce) during the year to June 2014, and that at a future time it would be assessed whether that work would extend to identity management, single windows and mobile commerce.313. 委员会回顾关于电子商务领域计划中和未来工作的讨论情况摘要(上文第223-230段),并商定将在直至2014年6月的这一年期间第四工作组(电子商务)两届为期一星期的会议上继续开展拟订电子可转让记录领域立法案文的工作,并将在今后某个时间评估是否应当把该工作延伸至身份管理、单一窗口和移动商务。
International contract law国际合同法
314. The Commission heard an oral report on international contract law.314. 委员会听取了关于国际合同法专题的口头报告。
It recalled the related discussions at its forty-fifth session, in 2012, as summarized in paragraph 11 (e) of document A/CN.9/774, and the proposal from Switzerland set out in document A/CN.9/758 referred to therein.回顾了A/CN.9/774号文件第11(e)段所归纳的在其2012年第四十五届会议上进行的相关讨论,以及其中提到的A/CN.9/758号文件所述瑞士的提议。
The Commission recalled that at that session it had requested the Secretariat to organize symposiums and other meetings, including at the regional level and within available resources, maintaining close cooperation with Unidroit, with a view to compiling further information to assist the Commission in the assessment of the desirability and feasibility of future work in the field of general contract law at a future session, including the possible need for supplementing existing instruments in that field.委员会回顾,在该届会议上,其请秘书处在可得资源内组织专题讨论会和其他会议,包括区域一级的会议,与统法协会保持紧密合作,以期汇编进一步信息,协助委员会在今后一届会议上评估一般合同法领域今后工作的可取性和可行性,包括可能需要对这一领域的现有文书加以补充。
The Secretariat indicated that, for lack of resources, it had not been able to engage in the activities requested but had co-sponsored a symposium entitled “Assessing the CISG and other international endeavours to unify international contract law” at the Villanova University School of Law, United States, in January 2013; held an expert meeting on contract law at the UNCITRAL Regional Centre for Asia and the Pacific in February 2013; and had included relevant documents in the bibliography on its website.秘书处指出,由于资源不够,秘书处无法从事所要求的所有各项活动,但仍然于2013年1月在美国维拉诺瓦大学法学院联合主办了题为“评估《销售公约》和意在统一国际合同法的其他国际努力”的专题讨论会;于2013年2月在贸易法委员会亚太区域中心举行了一次关于合同法的专家会议;以及把相关文件列入其网站上的文献目录。
It was noted that the Secretariat would continue reviewing the situation and report to the Commission as necessary.据指出,秘书处将继续审查并在必要时向委员会报告相关情况。
315. In the light of that discussion and having heard an oral presentation of the subject as set out in document A/CN.9/789, the Commission also requested the Secretariat to commence planning for a colloquium to celebrate the thirty-fifth anniversary of the United Nations Sales Convention, to take place on a date after the forty-seventh Commission session, to be held in 2014.315. 根据讨论情况并在听取了关于A/CN.9/789号文件所列这一主题的口头介绍之后,委员会还请秘书处着手规划《联合国销售公约》三十五周年的庆祝座谈会,该座谈会将在2014年委员会第四十七届会议之后的某一天举行。
The Commission agreed that the scope of that colloquium could include looking at the Convention broadly and include some of the issues raised by an earlier proposal submitted at its forty-fifth session (A/CN.9/758), as well as other developments in the field, such as the Unidroit Principles of International Commercial Contracts, and explore the need for further work in that area.委员会商定,这一座谈会的范围可以包括广泛查看该《公约》,包括委员会第四十五届会议上听取的一项早期建议中所提出的一些议题(A/CN.9/758),以及这一领域的其他动态,如《统法协会国际商业合同通则》,并探讨这一领域今后工作的必要性。
Microfinance and the formalization of micro-, small- and medium-sized enterprises小额金融和中小微型企业的组建
316. The Commission heard a summary of the work undertaken by the Secretariat in the area of microfinance and the formalization of micro-, small- and medium-sized enterprises, and the results of a colloquium held in that field on 16-18 January 2013, further to the request of the Commission at its forty-fifth session, in 2012.316. 委员会还遵照委员会2012年第四十五届会议的请求,听取了秘书处所做工作的总结以及2013年1月16日至18日举行的关于小额金融和中小微型企业的组建这一领域一次座谈会的成果。
317. The Commission took note of the broad consensus among participants at the colloquium to recommend that a UNCITRAL working group be entrusted with addressing the legal aspects of an enabling legal environment for micro-, small- and medium-sized enterprises.317. 委员会注意到座谈会与会者达成广泛共识,希望建议委托一个贸易法委员会工作组负责处理中小微型企业催生环境所涉及的法律方面。
Participants identified five broad areas where the Commission could provide guidance, to be articulated so as to address the business cycle of such enterprises.与会者查明了委员会可以提供指导的五大领域,需加以清楚阐明,以便处理中小微型企业的商业周期问题。
The starting point would be guidance that allowed for simplified business start-up and operation procedures.首先一点将是提供关于开办和运作企业的简化程序方面的指导。
Other topics to be taken up subsequently included the following:之后需要处理的问题包括如下:
a system for resolving disputes between borrowers and lenders, including taking into account possibilities for the use of online dispute resolution; (b) effective access to financial services for micro-, small- and medium-sized enterprises, including consideration of broadening the scope of existing UNCITRAL instruments on e-commerce and international credit transfers to accommodate mobile payment systems; (c) guidance on ensuring access to credit, addressing issues such as transparency in lending and enforcement in a range of lending transactions; and (d) insolvency of micro-, small- and medium-sized enterprises, focusing on fast-track procedures and business rescue options so as to develop workable alternatives to formal insolvency processes in line with both the key characteristics of an effective insolvency system and the needs of such enterprises.(a)一套解决借款人和放款人之间争议的制度,包括考虑到使用网上解决争议的可能性;(b)中小微型企业获得金融服务的有效渠道,包括考虑扩大贸易法委员会关于电子商务和国际信贷划拨的现有文书范围,以便添入移动支付系统;(c)关于确保获取信贷的途径而提供的指导,处理放款透明和一系列放款交易中的执行等问题;以及(d)中小微型企业的破产,重点是形成快速通道程序和企业拯救方案,以便根据有效破产制度的关键特征和这类企业的需要,形成正式破产程序之外可行的替代解决办法。
Existing UNCITRAL instruments as well as guidance already developed by international organizations were said to be suitable building blocks for work in those areas.据指出,贸易法委员会的一些现有文书和一些国际组织已经形成的指导,是在这些领域开展工作时适当的基础建筑元素。
As to the form the Commission guidance could take, the Commission was further advised that a flexible tool, such as a legislative guide or a model law according to the topics, would contribute to harmonizing efforts in that sector and provide momentum for reforms that would further encourage micro-business participation in the economy.关于委员会的指导可以采用的方式,可以进一步向委员会指出,一种灵活的工具,例如按专题划分的立法指南或示范法,将有助于协调这一部门的努力,并推动改革,进一步鼓励微型企业参与经济。
318. The Commission also heard a proposal from the Government of Colombia (A/CN.9/790), suggesting that the Commission should create a new mandate for a working group focused on the enterprise life cycle, particularly in relation to micro-, small- and medium-sized enterprises.318. 委员会还听取了哥伦比亚政府的一项建议(A/CN.9/790),其中指出,委员会应当设定一个工作组的新授权任务,着重处理企业的寿命周期,特别是关于中小微企业的寿命周期问题。
The working group should begin with the facilitation of simplified business incorporation and registration and follow on to other matters, such as those discussed at the 2013 colloquium, in order to create an enabling legal environment for that type of business activity.工作组应当首先处理简化企业组建和注册的便利化工作,然后接着处理其他事项,例如在2013年座谈会上讨论的那些,以便为这类商业活动创造一种催生的法律环境。
The proposal was broadly supported.这一建议获得广泛支持。
319. It was pointed out that in many economies, both developing and developed, the informal sector contributed a significant share of national income and employment.319. 据指出,在许多发展中经济体和发达经济中,非正规部门为国民收入和就业贡献了巨大的比例。
However, informality could perpetuate non-compliance with the law and work against strengthening the rule of law.但是,非正规性可能使不守法的状况长久化,并且违反加强法治原则。
It could increase the risk of non-payment of taxes, increase corruption and constitute a negative environment for foreign investment and trade.还可能增加不纳税的风险,增加腐败现象,并构成不利于外国投资和贸易的环境。
Several delegations indicated that micro-, small- and medium-sized enterprises needed a legal basis on which to engage in trade at the international level and that there was a need for greater harmonization in the area of creating an enabling legal environment for such enterprises, which it was said would contribute to an increase in international and regional cross-border trade.一些代表团指出,微小中型企业需要一种可以为其在国际上参与贸易的法律基础,以及在为这类企业创造催生法律环境方面,需加以进一步协调,据指出,这将有助于扩大国际和区域的跨国界贸易。
320. Views were expressed on the question of whether the tests for assignment of a matter to a working group (see paras. 303 and 304 above) were met in that case.320. 关于在这方面是否达到了向一个工作组指定所处理事项的检验标准(见上文第303和304段)这一问题,与会者发表了意见。
It was questioned whether certain topics, such as insolvency, dispute resolution and secured transactions, relating to matters already being addressed by other working groups, might better be dealt with by those working groups rather than by another working group.有人提问,与已经正在由其他工作组处理的事项相关的某些专题——例如破产、解决争议和担保交易,是否由这些工作组而不是另一工作组处理可能更好些。
Some delegations questioned whether the subject matter was sufficiently developed for consideration by a working group and stressed that the necessary groundwork needed to be prepared by the Secretariat in advance of the working group’s first meeting.一些代表团询问,这一主题事项是否已充分形成而可以考虑成立一个工作组处理,并强调,秘书处需要在该工作组首次会议之前做好必要的基础工作准备。
321. After discussion, the Commission agreed that work on international trade law aimed at reducing the legal obstacles faced by micro-, small- and medium-sized enterprises throughout their life cycle and, in particular, those in developing economies should be added to the work programme of the Commission.321. 在对些问题讨论之后,委员会商定,委员会工作方案中应当添加关于特别是在发展中经济体减少中小微型企业整个寿命周期遇到的法律障碍的工作。
The Commission also agreed that such work should start with a focus on the legal questions surrounding the simplification of incorporation and that the Secretariat should prepare documentation as a prerequisite to the early convening of the session of a working group.委员会还商定,这一工作组应当首先着重于围绕组建的法律问题,秘书处应当准备文件,作为尽早召开工作组会议的一个先决条件。
The Commission agreed that the Secretariat should include in its preparatory documentation to the working group (a) empirical information demonstrating how that work affected sustainable development and inclusive finance and (b) information on how that work was complementary to the work of other international and intergovernmental organizations — both within and outside the United Nations — having a mandate in those fields.委员会一致认为,秘书处应当在其向工作组提交的准备文件中包括(a)关于其工作如何关联可持续发展和包容性金融的实例证明,以及(b)关于其工作如何是对在这些领域负有授权任务的——联合国内外——其他国际组织和政府间组织工作的补充的相关情况介绍。
322. The Commission also agreed to discontinue the use of the term “microfinance” when referring to the new subject matter to be allocated to a working group, namely, Working Group I.322. 委员会还商定,在提及拟分配给一个工作组(即第一工作组)的主题事项时,停止使用“小额金融”这个词。
Online dispute resolution网上解决争议
323. The Commission recalled the summary of its discussion on planned and future work in the area of online dispute resolution (see paras. 218 to 222 above) and agreed that the work on online dispute resolution would continue accordingly at two one-week sessions of Working Group III in the year to June 2014.323. 委员会回顾了关于其就网上解决争议领域计划中和未来工作进行的讨论情况概要(上文第218-222段),一致商定,将在直至2014年6月这一年期间第三工作组两届为期一周的会议上相应继续开展关于网上解决争议的工作。
Insolvency破产
324. The Commission recalled the summary of its discussion on planned and future work in the area of insolvency law (see paras. 210-213 above), noting that the current mandate of Working Group V (Insolvency Law) had not been exhausted but that the Working Group was not yet clear on how best to proceed with that work.324. 委员会回顾其关于破产法领域计划中和未来工作的讨论情况摘要(见上文第210-213段),并注意到第五工作组现有任务授权尚未穷尽,而该工作组还不清楚如何继续开展该项工作最为妥当。
325. After discussion, the Commission decided that Working Group V (Insolvency Law) should hold a colloquium in the first few days of the working group session scheduled for the second half of 2013 to clarify how it would proceed with the enterprise group issues and other parts of its current mandate and to consider topics for possible future work, including insolvency issues specific to micro-, small- and medium-sized enterprises.325. 委员会经讨论后决定,第五工作组(破产法)应当在为2013年下半年所安排的工作组届会的头几天举行一次座谈会,以便澄清如何继续处理企业集团问题及其现有任务授权其他方面的工作,并审议关于未来可能工作的专题,包括中小微型企业所特有的破产问题。
The conclusions of that colloquium would not be determinative but should be considered and evaluated by the Working Group in the remaining days of that session, in the context of the existing mandate.该座谈会不必作出一些定论,而是可以由工作组在其届会的余下几天内根据现有任务授权加以考虑和评判。
Topics identified for possible future work should be reported to the Commission in 2014.2014年应当向委员会报告关于所确定的未来可能工作的专题。
326. With respect to the insolvency of micro-, small- and medium-sized enterprises, the Commission requested Working Group V to conduct, at its session to be held in the first half of 2014, a preliminary examination of relevant issues, and in particular to consider whether the UNCITRAL Legislative Guide on Insolvency Law provided sufficient and adequate solutions for such enterprises.在为2014年上半年所安排的工作组届会上应当首先着重探讨中小微型企业特有的破产问题,作为今后可能工作的一个专题。 326. 关于中小微型企业的破产问题,委员会请第五工作组在其将于2014年上半年举行的届会上对相关问题进行初步审查,尤其是审议《贸易法委员会破产法立法指南》是否为这类企业提供了充分适当的解决办法。
If it did not, the Working Group was requested to consider what further work and potential work product might be required to streamline and simplify insolvency procedures for such enterprises.如果没有提供这类解决办法,工作组就应当考虑为精简与简化这类企业的破产程序究竟还需要开展哪些进一步的工作和有可能达成哪些工作成果。
Its conclusions on those issues related to micro-, small- and medium-sized enterprises should be included in its progress report to the Commission in 2014 in sufficient detail to enable the Commission to consider what future work might be required, if any.应当把其有关中小微型企业问题的结论列入2014年提交给委员会的进度报告,并且内容应当足够详细,以便使委员会得以考虑是否有可能需要未来开展工作。
Public-private partnerships公私伙伴关系
327. The Commission heard a summary of the results of the colloquium organized by the Secretariat in May 2013 pursuant to the Commission’s instruction to the Secretariat at its forty-fifth session, in 2012 (the report of the colloquium is contained in document A/CN.9/779).327. 委员会听取了秘书处依照委员会2012年第四十五届会议对秘书处的指示而于2013年5月举办的座谈会的结果概要(座谈会的报告载于A/CN.9/779)。
The Commission noted the agreed importance of the topic in securing resources for infrastructure and other development, at the international and regional levels and for States at all stages of development.委员会注意到为国际和区域基础设施和其他发展以及为所有发展阶段的各个国家获取资源这个主题而已经共同商定的重要性。
328. As regards the four tests set out in paragraphs 303 and 304 above, the Commission noted that the topic of public-private partnerships was amenable to harmonization and the consensual development of a legislative text, given developments in public-private partnerships since the issue of the UNCITRAL texts on privately-financed infrastructure projects.328. 关于上文第303和304段所述的四个检验标准,委员会注意到,这一主题需要根据贸易法委员会关于私人融资基础设施项目的法规(私人融资基础设施项目文书)发布以来公私伙伴关系方面的发展情况加以协调和共同商议拟定一部法规文本。
The Commission also heard the colloquium’s conclusion that there was a lack of a universally accepted and acceptable standard on public-private partnerships.委员会还听取了座谈会的结论,其中指出,关于公私伙伴关系,缺乏普遍公认和可接受的标准。
329. As regards the mandate of UNCITRAL, it was recalled that the topic had already been the subject of legislative development within UNCITRAL, and it was noted that the work of other agencies in the field had been taken into account to avoid duplication of effort.329. 关于贸易法委员会的授权任务,据回顾,这个专题已经是贸易法委员会内立法编制工作的主题,据指出,已经考虑到其他机构在这一领域的工作,以避免重复努力。
It was observed that the instruments on privately-financed infrastructure projects, although recognized as comprehensive and accurate when they were issued, were not always used as the source of choice when enacting legislation on public-private partnerships.据指出,私人融资基础设施项目文书虽然在发布时已经获得确认是全面和准确的,但在颁布关于公私伙伴关系的立法时,并非总是被当作所选择的来源加以使用。
There was also agreement that the instruments on privately-financed infrastructure projects might be in need of some updating and revision, given the development in the market for public-private partnerships, and that the key elements of a legislative text on public-private partnerships — drawing in large part on the instruments — were agreed.还一致认为,鉴于公私伙伴关系市场的发展,私人融资基础设施项目文书可能需要一些更新和修订,会议商定了(基本以私人融资基础设施项目文书为参照依据的)一部关于公私伙伴关系立法案文的关键要素。
330. However, noting the wide variation in terminology, scope and contents of existing texts at the national level, as reported at the colloquium, and some divergence of views as to whether a model law or other legislative text should be developed, it was considered that further preparatory work on the topic would be required so as to set a precise scope for any mandate to be given for development in a working group.330. 但是,注意到在座谈会上所报告的各国现行法规文书在术语、范围和内容上的巨大差别,以及关于究竟是制订一部示范法还是其他立法文本在看法上存在一些差异,因此据认为,关于这一主题需要开展进一步的筹备工作,以便确定将对工作组工作所给予的任何授权任务的准确范围。
In that regard, it was emphasized that any legislative text should ultimately be developed through a working group and that the preparatory work should be undertaken in an inclusive and transparent manner that took account of the experience in all regions, the need to include both the public and private sectors in consultations and multilingualism.在这方面,据强调,任何立法案文最终都将通过一个工作组来制订,并应当以一种包容性和透明的方式开展筹备工作,其中考虑到所有区域的经验、在协商中同时包括公共和私营部门的必要性以及多种语言文字。
331. The view was expressed that minimal resources were required to carry out the necessary preparatory work, including consultations with experts.331. 据认为,开展必要的准备工作,包括与专家协商,只需要最低限度的资源。
After discussion, the Commission agreed that the Secretariat would organize that preparatory work through studies and consultations with experts, and use up to one week of conference time previously allocated to Working Group I in the year to June 2014 for one or more colloquiums in cooperation with relevant international and regional bodies active in the field.经讨论后,委员会商定,将由秘书处安排这些准备工作,方法是进行研究,与专家进行协商,并使用不超过从前分配给第一工作组在直至2014年6月这一年期间为期一周的会议时间,与在这领域开展活动的相关国际和区域机构合作举办一次或多次座谈会。
Thereafter, a further report would be made to the Commission at its forty-seventh session.在此之后,向委员会第四十七届会议提出一份进一步的报告。
Security interests担保权益
332. The Commission recalled the summary of its discussion on planned and future work in the area of security interests (paras. 192-194 above) and agreed that the continuation of work towards developing a model law on secured transactions would be undertaken in two one-week sessions of Working Group VI (Security Interests) in the year to June 2014, and that whether that work would include security interests in non-intermediated securities would be assessed at a future time.332. 委员会回顾了其关于担保权益领域计划中和未来工作的讨论情况概要(上文第192-194段),并商定将在直至2014年6月这一年期间第六工作组(担保权益)两届为期一周的会议上开始继续工作,拟订一部关于担保交易的示范法,而这一工作是否将包括非中间人代持证券担保权益,这个问题将在今后某个时候加以评估。
Relevant General Assembly resolutions十六. 大会的有关决议
333. The Commission took note of the following two General Assembly resolutions adopted on the recommendation of the Sixth Committee:333. 委员会注意到大会按照第六委员会的建议通过的下列两项决议:
resolution 67/89 on the report of the United Nations Commission on International Trade Law on the work of its forty-fifth session, and resolution 67/90 on recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the Arbitration Rules of the United Nations Commission on International Trade Law as revised in 2010.关于联合国贸易法委员会第四十五届会议工作报告的第67/89号决议;以及关于协助仲裁机构和其他有关机构根据《联合国国际贸易法委员会仲裁规则》2010年修订本进行仲裁的建议的第67/90号决议。
(See paras. 270, 276 and 291 above for consideration by the Commission of two other General Assembly resolutions related to the work of the Commission (resolutions 67/1 and 67/97).)(关于委员会审议大会其他两项与委员会工作有关的决议(第67/1号决议和第67/97号决议)的情况,见上文第270、276和291段。 )
Other business十七. 其他事项
Entitlement to summary records获取简要记录的权利
334. The Commission recalled that at its forty-fifth session, in 2012, it decided, while not relinquishing its entitlement to summary records under General Assembly resolution 49/221, to request that digital recordings continue to be provided at its forty-sixth and forty-seventh sessions, in 2013 and 2014, on a trial basis, in addition to summary records, as was done for the forty-fifth session.334. 委员会回顾,委员会于2012年第四十五届会议决定,在不放弃根据大会第49/221号决议获取简要记录的权利的同时,请求按照第四十五届会议的同样做法,除简要记录之外,在试行基础上继续为第四十六和第四十七届会议提供数码录音。
At that session, the Commission agreed that at its forty-seventh session, in 2014, it would assess the experience of using digital recordings and, on the basis of that assessment, take a decision regarding the possible replacement of summary records by digital recording.在该届会议上,委员会商定,在2014年的第四十七届会议上评估使用数码录音的做法,并在这一评估的基础上就使用数码录音取代简要记录作出决定。
The Commission requested the Secretariat to report to the Commission on a regular basis on measures taken in the United Nations system to address possible problems with the use of digital recordings.委员会请秘书处向委员会定期报告联合国系统内为了解决使用数码录音可能存在的问题而采取的措施。
It also requested the Secretariat to assess the possibility of providing digital recordings at sessions of UNCITRAL working groups, at their request, and to report to the Commission at its forty-seventh session, in 2014.委员会还请秘书处评估应请求为委员会各个工作组提供数码录音的可能性,并在2014年第四十七届会议向委员会提出报告。
335. At its current session, the Commission heard a presentation about updates to the digital recording system available in the United Nations and saw the demonstration of the website through which the digital recordings of the forty-fifth and forty-sixth sessions of the Commission were made available.335. 委员会在本届会议上听取了关于联合国现有数码录音系统的最新情况介绍,并观看了在网站上提供的委员会第四十五和四十六届会议的数码录音演示。 据解释:
It was explained that (a) during the meeting, all interpretation channels and the floor sound were recorded digitally; (b) an electronic log showing the list of speakers was also created; (c) those recordings and the list of speakers were available shortly after the meeting; (d) the files were accessible through both the global meetings management system (gMeets), for the Secretariat, and the UNCITRAL website, for the public; (e) searching by date or title of the meeting was technically possible; and (f) there was an online tutorial explaining for users the main features of the system.(a)在会议期间,所有的口译频道和会场发言都制作了数码录音;(b)并且建立了显示发言者名单的电子记录;(c)会议结束后不久即可以提供这些录音和发言者名单;(d)秘书处可以通过全球会议管理系统(gMeets)而公众则可以通过贸易法委员会网站检索这些档案;(e)在技术上可以实现按会议日期和名称搜寻;(f)有在线教程为用户解释该系统的主要特点。
The current digital recording system offered the user two options:当前的数码录音系统为用户提供两种选择:
to listen immediately to a particular intervention; and/or download a full meeting in MP3 format in any language of interpretation or the floor recording.立刻听取某一段发言;及(或)下载MP3格式的整个会议中任一口译语言或会场发言原声的录音。
The Secretariat could upload additional material to enrich the meeting archives and assist searching the audio files, for example by preparing a transcript of the meeting, which was currently produced by the Secretariat in English shortly after the meeting, for some United Nations bodies, from savings gained by no longer providing written records in all six official languages, the purpose of the transcription being to assist in finding the relevant information in the digital recording.秘书处可上传补充材料充实会议档案和协助查找音频文件,例如编写会议录音记录稿,目前秘书处通过使用不再提供所有六种正式语文的书面记录后而节省下来的资源为某些联合国机构在会议后不久编写英文的这种记录稿,编写记录稿的目的是帮助查找数码录音中的相关信息。
Any electronically available material, such as written statements or presentations, could also be added.另外还可增添电子版的任何材料,例如书面发言稿或图文幻灯集。
336. It was explained that the digital system producing audio files for archival purposes was part of the gMeets platform and that platform enabled any intergovernmental body, if the body so decided, to replace or supplement their written meeting records or benefit from records of meetings where none was currently provided, such as in the case of UNCITRAL working groups.336. 据解释说,配备了为存档目的生产音频文件的数码系统的eMeets是数码录音系统的平台,因此,任何政府间机构只要决定,就可以用这种录音系统取代或者补充会议的文字记录,或获益于目前不加提供的会议记录,如贸易法委员会各个工作组的情况。
At the same time, the Commission was informed about General Assembly resolution 67/237, in which the Assembly noted the pilot project undertaken by the Committee on the Peaceful Uses of Outer Space at the United Nations Office at Vienna to make a transition to digital recordings of meetings in the six official languages of the Organization as a cost-saving measure, and emphasized that the further expansion of that measure would require consideration, including of its legal, financial and human resources implications, by the General Assembly and full compliance with the relevant resolutions of the Assembly, and requested the Secretary-General to report thereon and on the evaluation of the pilot project mentioned above to the Assembly at its sixty-eighth session.同时,委员会还获悉,大会在第67/237号决议中注意到联合国维也纳办事处和平利用外层空间委员会作为一项节省开支的措施而向六种正式语言数码录音过渡的试行项目,并强调,需由大会审议是否进一步扩大这一措施,包括这样做在法律、资金和人力资源方面的影响,而且这种做法应当完全符合大会的有关决议,请秘书长向大会第六十八届会议作出有关报告并报告对上述试行项目的评价。
337. The Commission noted problems with uploading on the UNCITRAL website the digital recordings of the forty-fifth session of the Commission on time and in all six official languages of the United Nations.337. 委员会注意到在以联合国六种正式语言把委员会第四十五届会议的数码录音及时上传至贸易法委员会网站方面存在的问题。
The Commission was informed of steps taken and possible additional steps to ensure that digital recordings would be made available immediately in all six languages, regardless of where a session was held.委员会了解到为了确保无论会议在哪里举行都立即以全部六种语言提供数码录音而采取的步骤和可能的补充措施。
338. Questions were raised about sustainability of the system, in particular because of the need to archive the large volume of data and ensure that the data remained usable in future, regardless of changes in technology.338. 有人提出了这种系统的可持续性问题,尤其是因为需要存档大量数据和确保无论未来发生何种技术变革数据都可加使用。
In response, the Secretariat explained that, in order to ensure preservation of the data for an extended duration, measures had been put in place, such as multiple server and back-up services in various duty stations to prevent the data from being lost due to unprecedented events in one of the duty stations, such as the 2012 storm Sandy affecting New York.秘书处在答复中解释,为了保证长期保留数据,已经采取了措施,例如各站点的多服务器和备份服务,以防其中某一站点发生前所未有的事件时,如2012年袭击纽约的飓风桑迪,而造成的数据损失。
339. In response to a query as regards citations of digital recordings in written materials, it was explained that the relevant practice had already developed:339. 关于书面材料中引用数码录音的提问,所作的解释是,已经拟定了有关办法:
the speaker, the subject of his or her statement, the date, time and agenda item under which the statement was made were cited, and a hyperlink to the relevant digital recording was provided, thus allowing a reader of the document to instantaneously listen to the cited statement.标注发言者、其发言主题、日期、时间和所作发言的相关议程项目,并提供相关数码录音的超级链接,这样,文件读者就能即刻聆听被引述的发言。
At the same time, it was emphasized that digital recordings should not be treated as the official records of an intergovernmental body; they were only a recording tool.同时强调的是,不应把数码录音视为一个政府间机构的正式记录,这仅是一种记录工具。
An appropriate decision of the relevant body in the United Nations system would be needed to upgrade their status to those of official records.如果要把数码录音的地位升为正式记录,就需要联合国系统的有关机构作出适当决定。
340. Support was expressed for the digital recordings as a viable alternative to summary records, taking into account their obvious advantages, such as (a) savings (as the digital recording system was inexpensive, and savings from eliminating the production of written summary records were significant); (b) efficiency (as digital recordings were immediately available, unlike the summary records or verbatim records which were sometimes produced months or even years after the meeting); (c) accuracy (as the floor language version of the digital audio files presented a fully authentic audio recording); and (d) environmental considerations.340. 各代表团表示支持使用数码录音,以此作为简要记录的可行替代办法,因为数码录音有以下明显好处,例如: (a)节约(数码录音系统本身并不昂贵,由于不必制作书面简要记录而实现大量节约);(b)效率(数码录音可以立即提供,与简要记录或逐字记录不同,后者有时是在会议之后数月甚至数年才制作完毕);(c)准确(现场语音版本的数字音频文档显示完全真实的音频记录);以及(d)环境考虑。
341. The Commission expressed appreciation to the Secretariat for updating the Commission on the developments made in the digital recordings system.341. 委员会表示赞赏秘书处向委员会通报数码录音系统的最新进展情况。
The Commission agreed that the UNCITRAL trial use of digital recordings, in parallel with summary records, should continue.委员会商定贸易法委员会应当在使用简要记录的同时继续试用数码录音。
The Commission also confirmed its agreement that at its next session, in 2014, it would assess the experience of using digital recordings and, on the basis of that assessment, would take a decision regarding the possible replacement of summary records by digital recordings.委员会还确认其以下一致意见,即将在2014年下届会议上评估使用数码录音的经验,并在此评估的基础上就数码录音是否可以取代简要记录作出决定。
342. The Commission agreed that, taking into account the Secretariat’s confirmation that digital recordings could be easily provided at sessions of UNCITRAL working groups, such recordings should be provided by default.342. 委员会一致认为,考虑到秘书处确认可以在贸易法委员会工作组届会上很容易配备数码录音,所以应当统一自动配备这种数码录音。
As was done by the Chair at the present session, the working group concerned should be reminded that the digital recordings of the session would be made publicly available.如同主席在本届会议上那样,应当提醒有关工作组,会议的数码录音将予公开提供。
It was the understanding that an intergovernmental body could always request that no audio recording be taken during its particular session and thus opt out of the digital recordings services.据理解,政府间机构总是可以请求在特定会议上不作音频记录,从而选择不使用数码录音服务。
The view was expressed that the Commission might decide at a future session whether digital recordings of working groups should be accompanied by a script.认为委员会可在今后一届会议上决定在提供工作组数码录音的同时是否还应当附带提供录音记录稿。
Internship programme实习方案
343. The Commission recalled the considerations taken into account by its secretariat in selecting candidates for internship.343. 委员会回顾了秘书处在挑选实习人选时所作的考虑。
The Commission was informed that, since the Secretariat’s oral report to the Commission at its forty-fifth session, in July 2012, 23 new interns had undertaken an internship with the UNCITRAL secretariat, 7 of whom in the UNCITRAL Regional Centre for Asia and the Pacific.委员会获悉,自秘书处向委员会2012年7月第四十五届会议作口头报告以来,有23名新的实习生在贸易法委员会秘书处实习,其中7人在贸易法委员会亚洲及太平洋区域中心实习。
Most interns came from developing countries and countries in transition and were female.多数实习生来自发展中国家和转型国家,并且是女性。
The Commission was informed that, while during the period under review the situation with finding eligible and qualified candidates for internship from Latin American and Caribbean States had improved, the Secretariat continued facing difficulties in finding such candidates from African States, as well as candidates with Arabic language skills.委员会获悉,在本审查期内,寻找来自拉丁美洲和加勒比国家实习人选的情况有所改进,但在寻找来自非洲国家的这类人选和具有阿拉伯语技能的人选方面,秘书处继续遇到困难。
344. The Commission was also informed that the procedure for selecting interns had changed since 1 July 2013.344. 委员会还获悉,2013年7月1日以来挑选实习生的程序有所变化。
Before that date, interns had been selected from among candidates listed in the roster maintained and administered by the United Nations Office at Vienna, while currently interns were selected by the UNCITRAL secretariat directly from among candidates who had applied to the job opening posted at the United Nations career portal (careers.un.org).在该日期之前,实习生从联合国维也纳办事处保管的名册所列的人选中挑选,目前,实习生则由贸易法委员会秘书处直接从在联合国就业网页(careers.un.org)上向所刊载的空缺职位提出申请的候选人中挑选。
States and observer organizations were requested to bring that substantial change in the procedure for selecting interns to the attention of interested persons.请各国和观察员组织提醒相关人士注意实习生挑选程序的重大变化。
Evaluation of the role of the Secretariat in facilitating the work of the Commission对秘书处在促进委员会工作方面所起作用的评价
345. The Commission recalled that at its fortieth session, in 2007, it had been informed of the programme budget for the biennium 2008-2009, which listed among the expected accomplishments of the Secretariat “facilitating the work of UNCITRAL”.345. 委员会回顾,在委员会2007年第四十届会议上曾向其通报了2008-2009两年期方案预算,其中在秘书处的预期成绩中列出了“促进贸易法委员会的工作”。
The performance measure for that expected accomplishment was the level of satisfaction of UNCITRAL with the services provided, as evidenced by a rating on a scale ranging from 1 to 5 (5 being the highest rating).该项预期成绩的绩效衡量标准是贸易法委员会对所提供服务的满意度,以1-5分评定等级表中的评分(5分为最高评分)为凭据。
At that session, the Commission had agreed to provide feedback to the Secretariat.在该届会议上,委员会同意向秘书处提供反馈意见。
From that session until the forty-fifth session of the Commission, in 2012, the Secretariat had circulated to delegates and representatives of observer States attending the annual sessions of UNCITRAL by the end of the session a questionnaire with the request to evaluate the quality of services provided by the Secretariat in facilitating the work of the Commission.从该届会议时起,直至委员会2012年第四十五届会议,秘书处均在届会结束之前向与会代表和出席贸易法委员会年度届会的观察国代表分发一份调查表,请其评价秘书处为委员会工作提供便利的服务质量。
The Commission noted that the Secretariat had not been receiving much feedback in response to that request; feedback received indicated a generally high level of satisfaction.委员会注意到秘书处没有收到对于该请求的太多反馈;收到的一份反馈意见表明总体上满意度较高。
346. The Commission further took note that no such questionnaire had been circulated during the forty-fifth session of the Commission, in 2012; instead the Secretariat circulated to all States a note verbale on 22 March 2013 with the request that they indicate, by filling in the evaluation form enclosed to the note verbale, their level of satisfaction with the services provided to UNCITRAL by the UNCITRAL secretariat since the start of the forty-fifth session of UNCITRAL (held in New York from 25 June to 6 July 2012).346. 委员会进一步注意到,委员会2012年第四十五届会议期间没有发放此类调查表;而是由秘书处于2013年3月22日向所有国家分发一份普通照会,请各国通过填写该普通照会所附的评价表格,表明对贸易法委员会秘书处自委员会第四十五届会议(2012年6月25日至7月6日在纽约举行)开始以来向委员会提供服务的满意度。
The deadline for submission of the evaluation had been 7 July 2013, the day before the opening of the current session of the Commission.提交评价的截止日期是2013年7月7日,即委员会本届会议开幕前一天。
347. The Commission was informed that the request had elicited an unusually high number of responses (15) and that the level of satisfaction with the services provided to UNCITRAL by the UNCITRAL secretariat remained high (an average of 4.8 out of 5).347. 委员会获悉,请求得到了比平时多的答复(15份),对于贸易法委员会秘书处向委员会提供服务的满意度依然较高(5分中获得平均4.8分)。
In the light of the higher number of replies received in the present year in response to the circulated note verbale, the Secretariat would continue the practice of soliciting the relevant feedback from States by means of a note verbale that would be circulated closer to the start of an annual session of the Commission, as had been done the present year, and reporting to the Commission at its annual sessions on the results of evaluation on the basis of the responses received.考虑到今年收到的对分发的普通照会的答复较多,秘书处将继续这种做法,即通过普通照会向各国征求相关反馈意见,该普通照会将在接近委员会年度届会开始之时分发,如同今年这样,并向委员会年度届会报告根据收到的答复而作出的评价结果。
Date and place of future meetings十八. 今后会议的日期和地点
348. The Commission recalled that, at its thirty-sixth session, in 2003, it had agreed that (a) its working groups should normally meet for a one-week session twice a year; (b) extra time, if required, could be allocated to a working group provided that such arrangement would not result in an increase in the total number of 12 weeks of conference services per year currently allotted to sessions of all six working groups of the Commission; and (c) if any request by a working group for extra time would result in an increase in the 12-week allotment, the request should be reviewed by the Commission, with proper justification being given by that working group regarding the reasons for which a change in the meeting pattern was needed.348. 委员会回顾,其2003年第三十六届会议曾商定: (a)正常情况下各工作组应当每年举行两次会期一周的届会;(b)如果需要额外时间,可以调拨,条件是这种安排不能造成目前分配给委员会所有六个工作组届会的总共12周会议服务时间增加;(c)如果某一工作组对额外时间的请求导致12周分配时间增加,则应由委员会审查这种请求,该工作组应就变更会议时间分配模式的原因作出适当解释。
349. The Commission also recalled that, at its forty-fifth session, in 2012, it took note of paragraph 48 of General Assembly resolution 66/246 on questions relating to the proposed programme budget for the biennium 2012-2013, by which the Assembly had decided to increase non-post resources in order to provide sufficient funding for servicing the work of the Commission for 14 weeks and to retain the rotation scheme between Vienna and New York.349. 委员会还回顾,在2012年第四十五届会议上,委员会注意到大会第66/246号决议有关2012-2013两年期拟议方案预算相关问题的第48段,其中大会决定,增加非员额资源,以便为委员会14周的会务工作提供充足的资金,并且保留在维也纳和纽约之间轮流开会的办法。
In the light of that decision, the Commission noted at that session that the total number of 12 weeks of conference services per year could continue being allotted to six working groups of the Commission meeting twice a year for one week if annual sessions of the Commission were no longer than two weeks.鉴于该决定,委员会在该届会议上注意到,如果委员会年度会议不超过两周,每年总共12周的会议服务时间仍可继续分配给委员会六个工作组,每年开会两次每次会期一周。
Otherwise, adjustments would need to be made within the current 14-week allotment for all sessions of the Commission and its working groups.否则,就需要在分配给委员会及其各工作组所有届会的现行14周时间内作出调整。
350. At the current session, the Commission emphasized the need for flexibility in allocation of conference time (see para. 298 above).350. 委员会在本届会议上强调,在分配会议时间方面需要有灵活性(见上文第298段)。
Forty-seventh session of the Commission委员会第四十七届会议
351. In the light of the considerations set out above, the Commission approved the holding of its forty-seventh session in New York from 7 to 25 July 2014.351. 鉴于上述考虑,委员会核准2014年7月7日至25日在纽约举行其第四十七届会议。
The Secretariat was requested to consider shortening the duration of the session by one week if the expected workload of the session justified doing so.会议请秘书处考虑,如果根据届会预期工作量而有合理理由,可将会期缩短一周。
Sessions of working groups工作组的届会
Sessions of working groups between the forty-sixth and the forty-seventh sessions of the Commission在委员会第四十六届和四十七届会议之间的工作组届会
352. In the light of the considerations set out above, the Commission approved the following schedule of meetings for its working groups:352. 鉴于上述考虑,委员会核准其各工作组的以下会议安排:
Working Group I would hold its twenty-second session in Vienna from 23 to 27 September 2013 and its twenty-third session in New York from 10 to 14 February 2014;第一工作组(采购)将于2013年9月23日至27日在维也纳举行其第二十二届会议,并将于2014年2月10日至14日在纽约举行其第二十三届会议;
Working Group II (Arbitration and Conciliation) would hold its fifty-ninth session in Vienna from 16 to 20 September 2013 and its sixtieth session in New York from 3 to 7 February 2014;第二工作组(仲裁和调解)将于2013年9月16日至20日在维也纳举行其第五十九届会议,并将于2014年2月3日至7日在纽约举行其第六十届会议;
Working Group III (Online Dispute Resolution) would hold its twenty-eighth session in Vienna from 18 to 22 November 2013 and its twenty-ninth session in New York from 24 to 28 March 2014;第三工作组(网上解决争议)将于2013年11月18日至22日在维也纳举行其第二十八届会议,并将于2014年3月24至28日在纽约举行其第二十九届会议;
Working Group IV (Electronic Commerce) would hold its forty-eighth session in Vienna from 9 to 13 December 2013 and its forty-ninth session in New York from 28 April to 2 May 2014;第四工作组(电子商务)将于2013年12月9日至13日在维也纳举行其第四十八届会议,并将于2014年4月28日至5月2日在纽约举行其第四十九届会议;
Working Group V (Insolvency Law) would hold its forty-fourth session in Vienna from 16 to 20 December 2013 and its forty-fifth session in New York from 21 to 25 April 2014;第五工作组(破产法)将于2012年12月16日至20日在维也纳举行其第四十四届会议,并将于2014年4月21日至25日在纽约举行其第四十五届会议;
Working Group VI (Security Interests) would hold its twenty-fourth session in Vienna from 7 to 11 October or 2 to 6 December 2013 and its twenty-fifth session in New York from 31 March to 4 April 2014.第六工作组(担保权益)将于2013年10月7日至11日或者12月2日至6日在维也纳举行其第二十四届会议,并将于2014年3月31日至4月4日在纽约举行其第二十五届会议。
353. The Commission authorized the Secretariat to adjust the schedule of working group meetings according to the needs of the working groups and the need to hold colloquiums as agreed by the Commission at the current session (see paras. 325 and 331 above).353. 委员会授权秘书处根据各工作组的需要和委员会本届会议商定的举办座谈会的必要性(见上文第325和331段)对工作组会议安排作出调整。
The Secretariat was requested to post on the UNCITRAL website the final schedule of the working group meetings once the dates had been confirmed.一旦日期得到确认,即请秘书处将工作组会议日程安排表定稿张贴在贸易法委员会网站上。
Sessions of working groups in 2014 after the forty-seventh session of the Commission在委员会第四十七届会议之后于2014年举行的工作组届会
354. The Commission noted that the following dates were allocated for UNCITRAL meetings in 2014 after its forty-seventh session:354. 委员会注意到,就贸易法委员会第四十七届会议之后的贸易法委员会2014年会议分配了下列日期:
8-12 September 2014 or 20-24 October 2014; (b) 22-26 September 2014; (c) 10-14 November 2014; (d) 17-21 November 2014; (e) 8-12 December 2014; and (f) 15-19 December 2014.(a)2014年9月8-12日或者2014年10月20-24日;(b)2014年9月22-26日;(c)2014年11月10-14日;(d)2014年11月17-21日;(e)2014年12月8-12日;(f)2014年12月15-19日。
Annex I附件一
UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration贸易法委员会投资人与国家间基于条约仲裁透明度规则
Article 1. Scope of application第1条 适用范围
Applicability of the Rules《规则》的适用性
The UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration (“Rules on Transparency”) shall apply to investor-State arbitration initiated under the UNCITRAL Arbitration Rules pursuant to a treaty providing for the protection of investments or investors (“treaty”)* concluded on or after 1 April 2014 unless the Parties to the treaty** have agreed otherwise.《贸易法委员会投资人与国家间基于条约仲裁透明度规则》(《透明度规则》)应适用于依照2014年4月1日及之后订立的为投资或投资人提供保护的条约(“条约”)*,在《贸易法委员会仲裁规则》下提起的投资人与国家间的仲裁,除非该条约缔约方**另有约定。
In investor-State arbitrations initiated under the UNCITRAL Arbitration Rules pursuant to a treaty concluded before 1 April 2014, these Rules shall apply only when:投资人与国家间的仲裁依照2014年4月1日前订立的条约提起的,本《规则》仅在下列情况下适用:
The parties to an arbitration (the “disputing parties”) agree to their application in respect of that arbitration; or仲裁各方当事人(“争议各方”)同意对该仲裁适用本《规则》;或者,
The Parties to the treaty or, in the case of a multilateral treaty, the State of the claimant and the respondent State, have agreed after 1 April 2014 to their application.条约缔约方,或者涉及多边条约的,申请人所属国和被申请国,在2014年4月1日后同意适用本《规则》。
Application of the Rules《规则》的适用
In any arbitration in which the Rules on Transparency apply pursuant to a treaty or to an agreement by the Parties to that treaty:在根据条约或者条约缔约方的协议适用《透明度规则》的任何仲裁中:
The disputing parties may not derogate from these Rules, by agreement or otherwise, unless permitted to do so by the treaty;争议各方不得以协议或者以其他方式减损本《规则》,除非条约允许这样做;
The arbitral tribunal shall have the power, besides its discretionary authority under certain provisions of these Rules, to adapt the requirements of any specific provision of these Rules to the particular circumstances of the case, after consultation with the disputing parties, if such adaptation is necessary to conduct the arbitration in a practical manner and is consistent with the transparency objective of these Rules.除本《规则》某些条款赋予仲裁庭的裁量权之外,仲裁庭还应有权力经与争议各方协商后调整本《规则》任何特定条款的要求,使之适合案件特殊情况,但此种调整应是以务实方式进行仲裁所必需的,并且是与本《规则》的透明度目标相一致的。
Discretion and authority of the arbitral tribunal仲裁庭的裁量权和权力
Where the Rules on Transparency provide for the arbitral tribunal to exercise discretion, the arbitral tribunal in exercising such discretion shall take into account:《透明度规则》规定仲裁庭行使裁量权的,仲裁庭在行使此种裁量权时应考虑到:
The public interest in transparency in treaty-based investor-State arbitration and in the particular arbitral proceedings; and对于投资人与国家间基于条约的仲裁和特定仲裁程序的透明度的公共利益,以及
The disputing parties’ interest in a fair and efficient resolution of their dispute.争议各方对于公平、高效解决其争议的利益。
These Rules shall not affect any authority that the arbitral tribunal may otherwise have under the UNCITRAL Arbitration Rules to conduct the arbitration in such a manner as to promote transparency, for example by accepting submissions from third persons.本《规则》不影响仲裁庭根据《贸易法委员会仲裁规则》可能享有的以可促进透明度的方式——例如,接受第三方的提交书——进行仲裁的权力。
In the presence of any conduct, measure or other action having the effect of wholly undermining the transparency objectives of these Rules, the arbitral tribunal shall ensure that those objectives prevail.如果存在任何具有完全削弱本《规则》透明度目标的行为、措施或其他行动,仲裁庭应确保这些目标得以实现。
Applicable instrument in case of conflict冲突情况下应适用的文书
Where the Rules on Transparency apply, they shall supplement any applicable arbitration rules.适用《透明度规则》的,《透明度规则》应补充任何适用的仲裁规则。
Where there is a conflict between the Rules on Transparency and the applicable arbitration rules, the Rules on Transparency shall prevail.《透明度规则》与适用的仲裁规则有冲突的,应以《透明度规则》为准。
Notwithstanding any provision in these Rules, where there is a conflict between the Rules on Transparency and the treaty, the provisions of the treaty shall prevail.《透明度规则》与条约有冲突的,不论本《规则》有何规定,仍以条约规定为准。
Where any of these Rules is in conflict with a provision of the law applicable to the arbitration from which the disputing parties cannot derogate, that provision shall prevail.本《规则》任一条款与仲裁所适用的某项法律规定有冲突,而争议各方又不得减损该法律规定的,应以该法律规定为准。
Application in non-UNCITRAL arbitrations在非贸易法委员会仲裁中的适用
These Rules are available for use in investor-State arbitrations initiated under rules other than the UNCITRAL Arbitration Rules or in ad hoc proceedings.本《规则》可在根据《贸易法委员会仲裁规则》以外的规则提起的投资人与国家间的仲裁中或者在临时程序中使用。
Footnotes to article 1, paragraph 1:第1条第(1)款脚注:
For the purposes of the Rules on Transparency, a “treaty” shall be understood broadly as encompassing any bilateral or multilateral treaty that contains provisions on the protection of investments or investors and a right for investors to resort to arbitration against Parties to the treaty, including any treaty commonly referred to as a free trade agreement, economic integration agreement, trade and investment framework or cooperation agreement, or bilateral investment treaty.就《透明度规则》而言,‘条约’应广义理解为涵盖其中载有保护投资或投资人以及投资人对条约缔约方诉诸仲裁的权利的规定的任何双边或多边条约,包括通常被称为自由贸易协定、经济一体化协定、贸易和投资框架或合作协定或者双边投资条约的任何条约。
For the purposes of the Rules on Transparency, any reference to a “Party to the treaty” or a “State” includes, for example, a regional economic integration organization where it is a Party to the treaty.就《透明度规则》而言,凡提及“条约缔约方”或“国家”之处,均包括例如成为条约缔约方的区域经济一体化组织。
Article 2. Publication of information at the commencement of arbitral proceedings第2条 在仲裁程序启动时公布信息
Once the notice of arbitration has been received by the respondent, each of the disputing parties shall promptly communicate a copy of the notice of arbitration to the repository referred to under article 8.一俟被申请人收到仲裁通知,争议各方即应迅速将仲裁通知副本发送给第8条所述及的存储处。
Upon receipt of the notice of arbitration from the respondent, or upon receipt of the notice of arbitration and a record of its transmission to the respondent, the repository shall promptly make available to the public information regarding the name of the disputing parties, the economic sector involved and the treaty under which the claim is being made.存储处从被申请人处收到仲裁通知,或者存储处收到仲裁通知及该通知已发给被申请人的记录,即应迅速向公众提供关于争议各方名称、所涉经济部门以及提出有关申请所依据的条约的信息。
Article 3. Publication of documents第3条 文件的公布
Subject to article 7, the following documents shall be made available to the public:除第7条另有规定外,应向公众提供下列文件:
the notice of arbitration, the response to the notice of arbitration, the statement of claim, the statement of defence and any further written statements or written submissions by any disputing party; a table listing all exhibits to the aforesaid documents and to expert reports and witness statements, if such table has been prepared for the proceedings, but not the exhibits themselves; any written submissions by the non-disputing Party (or Parties) to the treaty and by third persons, transcripts of hearings, where available; and orders, decisions and awards of the arbitral tribunal.仲裁通知、对仲裁通知的答复、申请书、答辩书以及任何争议方提交的任何进一步书面陈述或书面材料;上述文件的所有证物以及专家报告和证人陈述的证物的清单(尚未为程序编拟的此种清单不在此列),但并非证物本身;非争议方条约缔约方以及第三人提交的任何书面材料、审理笔录(如果有)以及仲裁庭的命令、决定和裁决。
Subject to article 7, expert reports and witness statements, exclusive of the exhibits thereto, shall be made available to the public, upon request by any person to the arbitral tribunal.除第7条另有规定外,经任何人向仲裁庭提出请求,应向公众提供专家报告和证人陈述,但专家报告和证人陈述的证物不包括在内。
Subject to article 7, the arbitral tribunal may decide, on its own initiative or upon request from any person, and after consultation with the disputing parties, whether and how to make available exhibits and any other documents provided to, or issued by, the arbitral tribunal not falling within paragraphs 1 or 2 above.除第7条另有规定外,仲裁庭可以自行或者经任何人请求,经与争议各方协商后,决定是否以及如何公布证物以及向仲裁庭提供的或者由仲裁庭印发的不在上文第1款或第2款范围之内的其他任何文件。
This may include, for example, making such documents available at a specified site.例如,这可以包括在规定的场所公布此种文件。
The documents to be made available to the public pursuant to paragraphs 1 and 2 shall be communicated by the arbitral tribunal to the repository referred to under article 8 as soon as possible, subject to any relevant arrangements or time limits for the protection of confidential or protected information prescribed under article 7.根据第1款和第2款向公众提供的文件,应由仲裁庭尽早发送给第8条所述及的存储处,但须遵守第7条规定的保护机密信息或受保护信息的任何相关安排或时限。
The documents to be made available pursuant to paragraph 3 may be communicated by the arbitral tribunal to the repository referred to under article 8 as they become available and, if applicable, in a redacted form in accordance with article 7.根据第3款将公布的文件,可在获得此种文件时由仲裁庭发送给第8条所述及的存储处,适用的,应根据第7条以检禁形式发送。
The repository shall make all documents available in a timely manner, in the form and in the language in which it receives them.存储处应以所收到文件的原有形式和语文及时公布这些文件。
A person granted access to documents under paragraph 3 shall bear any administrative costs of making those documents available to that person, such as the costs of photocopying or shipping documents to that person, but not the costs of making those documents available to the public through the repository.根据第3款获准查阅文件的人应负担向其提供这些文件的相关行政管理费,如文件影印费和向其运送文件的费用,但不包括通过存储处向公众提供这些文件的费用。
Article 4. Submission by a third person第4条 第三人提交材料
After consultation with the disputing parties, the arbitral tribunal may allow a person that is not a disputing party, and not a non-disputing Party to the treaty (“third person(s)”), to file a written submission with the arbitral tribunal regarding a matter within the scope of the dispute.经与争议各方协商后,仲裁庭可允许既不是争议方又不是非争议方条约缔约方的人(“第三人”)就争议范围内的事项向仲裁庭提交书面材料。
A third person wishing to make a submission shall apply to the arbitral tribunal, and shall, in a concise written statement, which is in a language of the arbitration and complies with any page limits set by the arbitral tribunal:第三人希望提交材料的,应向仲裁庭提出申请,并应以仲裁所使用的语文,以简洁方式,在仲裁庭规定的页数限制内提供下列书面材料:
Describe the third person, including, where relevant, its membership and legal status (e.g., trade association or other non-governmental organization), its general objectives, the nature of its activities and any parent organization (including any organization that directly or indirectly controls the third person);说明第三人的情况,相关的,包括其成员身份和法律地位(例如行业协会或其他非政府组织)、其总目标、其活动的性质以及任何上级组织(包括对第三人直接或间接进行控制的任何组织);
Disclose any connection, direct or indirect, which the third person has with any disputing party;披露第三人与任何争议方的任何直接或间接关联;
Provide information on any government, person or organization that has provided to the third person (i) any financial or other assistance in preparing the submission; or (ii) substantial assistance in either of the two years preceding the application by the third person under this article (e.g. funding around 20 per cent of its overall operations annually);提供关于向第三人提供了下述援助的任何政府、个人或组织的信息: ㈠ 在准备提交材料过程中提供的任何资金或其他援助;或者㈡ 在第三人根据本条提出申请之前的两年中有一年提供了大量援助(例如,为第三人全年经营总费用注资约20%);
Describe the nature of the interest that the third person has in the arbitration; and说明第三人在仲裁中的利益的性质;以及
Identify the specific issues of fact or law in the arbitration that the third person wishes to address in its written submission.指明第三人希望在其书面提交材料中阐述的仲裁中的具体事实或法律问题。
In determining whether to allow such a submission, the arbitral tribunal shall take into consideration, among other factors it determines to be relevant:在确定是否允许提交此类材料时,除仲裁庭确定的其他相关因素外,仲裁庭应考虑到下列方面:
Whether the third person has a significant interest in the arbitral proceedings; and第三人是否在仲裁程序中有重大利益;以及
The extent to which the submission would assist the arbitral tribunal in the determination of a factual or legal issue related to the arbitral proceedings by bringing a perspective, particular knowledge or insight that is different from that of the disputing parties.所提交的材料将在何种程度上通过提出不同于争议各方的观点、特别知识或见解而有助于仲裁庭确定与仲裁程序相关的某一事实或法律问题。
The submission filed by the third person shall:第三人提交的材料应:
Be dated and signed by the person filing the submission on behalf of the third person;由代表第三人提交材料的人注明日期并签名;
Be concise, and in no case longer than as authorized by the arbitral tribunal;行文简洁,篇幅无论如何不超过仲裁庭允许的限度;
Set out a precise statement of the third person’s position on issues; and准确阐明第三人在所涉问题上的立场;以及
Address only matters within the scope of the dispute.只涉及争议范围内的事项。
The arbitral tribunal shall ensure that any submission does not disrupt or unduly burden the arbitral proceedings, or unfairly prejudice any disputing party.仲裁庭应确保任何提交材料不对仲裁程序造成干扰或不适当的负担,或对任何争议方造成不公正的损害。
The arbitral tribunal shall ensure that the disputing parties are given a reasonable opportunity to present their observations on any submission by the third person.仲裁庭应确保给予争议各方就第三人提交的材料发表意见的合理机会。
Article 5. Submission by a non-disputing Party to the treaty第5条 非争议方条约缔约方提交材料
The arbitral tribunal shall, subject to paragraph 4, allow, or, after consultation with the disputing parties, may invite, submissions on issues of treaty interpretation from a non-disputing Party to the treaty.仲裁庭应在遵守第4款的前提下,允许非争议方条约缔约方就条约解释问题提交材料,或者经与争议各方协商后,可邀请非争议方条约缔约方就条约解释问题提交材料。
The arbitral tribunal, after consultation with the disputing parties, may allow submissions on further matters within the scope of the dispute from a non-disputing Party to the treaty.经与争议各方协商后,仲裁庭可允许非争议方条约缔约方就争议范围内的进一步事项提交材料。
In determining whether to allow such submissions, the arbitral tribunal shall take into consideration, among other factors it determines to be relevant, the factors referred to in article 4, paragraph 3, and, for greater certainty, the need to avoid submissions which would support the claim of the investor in a manner tantamount to diplomatic protection.在决定是否允许提交此种材料时,除仲裁庭确定的其他相关因素外,仲裁庭应考虑到第4条第3款中提及的若干因素,以及为更加明确起见,考虑到需要避免可能以相当于外交保护的方式支持投资人申诉的提交材料。
The arbitral tribunal shall not draw any inference from the absence of any submission or response to any invitation pursuant to paragraphs 1 or 2.根据第1款或第2款邀请提交材料而未收到任何提交材料或答复的,仲裁庭不应由此作出任何推论。
The arbitral tribunal shall ensure that any submission does not disrupt or unduly burden the arbitral proceedings, or unfairly prejudice any disputing party.仲裁庭应确保任何提交材料不对仲裁程序造成干扰或不适当的负担,或对任何争议方造成不公正的损害。
The arbitral tribunal shall ensure that the disputing parties are given a reasonable opportunity to present their observations on any submission by a non-disputing Party to the treaty.仲裁庭应确保给予争议各方就非争议方条约缔约方提交的任何材料发表意见的合理机会。
Article 6. Hearings第6条 审理
Subject to article 6, paragraphs 2 and 3, hearings for the presentation of evidence or for oral argument (“hearings”) shall be public.除第2款和第3款另有规定外,为出示证据或进行口头辩论而进行的审理(“审理”)应公开举行。
Where there is a need to protect confidential information or the integrity of the arbitral process pursuant to article 7, the arbitral tribunal shall make arrangements to hold in private that part of the hearing requiring such protection.依照第7条有必要保护机密信息或者仲裁程序完整性的,仲裁庭应作出安排,不公开举行需要此种保护的审理部分。
The arbitral tribunal shall make logistical arrangements to facilitate the public access to hearings (including where appropriate by organizing attendance through video links or such other means as it deems appropriate).仲裁庭可作出实际安排,便利公众列席审理(酌情包括通过视频链接或其认为适当的其他手段安排列席)。
However, the arbitral tribunal may, after consultation with the disputing parties, decide to hold all or part of the hearings in private where this becomes necessary for logistical reasons, such as when the circumstances render any original arrangement for public access to a hearing infeasible.但是,经与争议各方协商后,仲裁庭可决定在出于实际原因而变得有必要时(例如,情况使得原来安排的公众列席审理不可行)不公开举行全部或部分审理。
Article 7. Exceptions to transparency第7条 透明度的例外情形
Confidential or protected information机密信息或受保护信息
Confidential or protected information, as defined in paragraph 2 and as identified pursuant to the arrangements referred to in paragraphs 3 and 4, shall not be made available to the public pursuant to articles 2 to 6.第2款所界定以及按照第3款和第4款述及的安排所指明的机密信息或受保护信息,不应根据第2条至第6条提供给公众。
Confidential or protected information consists of:机密信息或受保护信息包括:
Confidential business information;商业机密信息;
Information that is protected against being made available to the public under the treaty;根据条约受到保护而不得向公众提供的信息;
Information that is protected against being made available to the public, in the case of the information of the respondent State, under the law of the respondent State, and in the case of other information, under any law or rules determined by the arbitral tribunal to be applicable to the disclosure of such information; or根据被申请国的法律受到保护而不得向公众提供的被申请国的信息,以及根据仲裁庭认定适用于其他信息披露的任何法律或规则受到保护而不得向公众提供的此种其他信息;或者
Information the disclosure of which would impede law enforcement.披露信息将妨碍执行法律的信息。
The arbitral tribunal, after consultation with the disputing parties, shall make arrangements to prevent any confidential or protected information from being made available to the public, including by putting in place, as appropriate:经与争议各方协商后,仲裁庭应作出安排,防止向公众提供任何机密信息或受保护信息,包括酌情实施:
Time limits in which a disputing party, non-disputing Party to the treaty or third person shall give notice that it seeks protection for such information in documents;争议方、非争议方条约缔约方或第三人应就其寻求保护文件中的此类信息发出通知的时限;
Procedures for the prompt designation and redaction of the particular confidential or protected information in such documents; and迅速指定并检禁此类文件中特定机密信息或受保护信息的程序;以及
Procedures for holding hearings in private to the extent required by article 6, paragraph 2.在第6条第2款规定的限度内举行非公开审理的程序。
Any determination as to whether information is confidential or protected shall be made by the arbitral tribunal after consultation with the disputing parties.关于信息是否属于机密信息或受保护信息的裁定,应由仲裁庭经与争议各方协商后作出。
Where the arbitral tribunal determines that information should not be redacted from a document, or that a document should not be prevented from being made available to the public, any disputing party, non-disputing Party to the treaty or third person that voluntarily introduced the document into the record shall be permitted to withdraw all or part of the document from the record of the arbitral proceedings.仲裁庭裁定不应从某一文件中检禁信息的,或者不应阻止向公众提供某一文件的,应允许自愿将该文件纳入记录的任何争议方、非争议方条约缔约方或第三人从仲裁程序记录中撤出整份文件或文件的一部分。
Nothing in these Rules requires a respondent State to make available to the public information the disclosure of which it considers to be contrary to its essential security interests.被申请国认为信息披露将违背其基本安全利益的,本《规则》概不要求被申请国向公众提供有关信息。
Integrity of the arbitral process仲裁过程完整性
Information shall not be made available to the public pursuant to articles 2 to 6 where the information, if made available to the public, would jeopardize the integrity of the arbitral process as determined pursuant to paragraph 7.根据第2条至第6条向公众提供信息,如果会对仲裁过程完整性造成第7条所确定的损害,不得提供此种信息。
The arbitral tribunal may, on its own initiative or upon the application of a disputing party, after consultation with the disputing parties where practicable, take appropriate measures to restrain or delay the publication of information where such publication would jeopardize the integrity of the arbitral process because it could hamper the collection or production of evidence, lead to the intimidation of witnesses, lawyers acting for disputing parties or members of the arbitral tribunal, or in comparably exceptional circumstances.公布信息将因为可能妨碍收集或出示证据或者导致对证人、争议各方代理律师或仲裁庭成员的恐吓而损害仲裁过程完整性的,或者在相当的特殊情形下损害仲裁过程完整性的,仲裁庭可自行或根据争议一方的申请,在实际可行的情况下经与争议各方协商后,采取适当措施,限制或推迟公布信息。
Article 8. Repository of published information第8条 已公布信息存储处
The repository of published information under the Rules on Transparency shall be the Secretary-General of the United Nations or an institution named by UNCITRAL.《透明度规则》下的已公布信息存储处应为联合国秘书长或贸易法委员会指定的一个机构。
Annex II附件二
Amendment to article 1 of the UNCITRAL Arbitration Rules对《贸易法委员会仲裁规则》第1条的修正
UNCITRAL Arbitration Rules (with new article 1, paragraph 4, as adopted in 2013)《贸易法委员会仲裁规则》(新增2013年通过的第1条第4款)
Scope of application适用范围
Article 1第1条
For investor-State arbitration initiated pursuant to a treaty providing for the protection of investments or investors, these Rules include the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration (“Rules on Transparency”), subject to article 1 of the Rules on Transparency.对于依照为投资或投资人提供保护的条约提起的投资人与国家间的仲裁,本《规则》包括《贸易法委员会投资人与国家间基于条约仲裁透明度规则》(《透明度规则》),但以《透明度规则》第1条的规定为限。
Annex III附件三
List of documents before the Commission at its forty-sixth session提交委员会第四十六届会议的文件一览表
Symbol文件号
Title or description标题或说明
A/CN.9/759A/CN.9/759
Provisional agenda, annotations thereto and scheduling of meetings of the forty-sixth session第四十六届会议临时议程、临时议程说明和会议时间安排
A/CN.9/760A/CN.9/760
Report of Working Group II (Arbitration and Conciliation) on the work of its fifty-seventh session第二工作组(仲裁和调解)第五十七届会议工作报告
A/CN.9/761A/CN.9/761
Report of Working Group IV (Electronic Commerce) on the work of its forty-sixth session第四工作组(电子商务)第四十六届会议工作报告
A/CN.9/762A/CN.9/762
Report of Working Group III (Online Dispute Resolution) on the work of its twenty-sixth session第三工作组(网上解决争议)第二十六届会议工作报告
A/CN.9/763A/CN.9/763
Report of Working Group V (Insolvency Law) on the work of its forty-second session第五工作组(破产法)第四十二届会议工作报告
A/CN.9/764A/CN.9/764
Report of Working Group VI (Security Interests) on the work of its twenty-second session第六工作组(担保权益)第二十二届会议工作报告
A/CN.9/765A/CN.9/765
Report of Working Group II (Arbitration and Conciliation) on the work of its fifty-eighth session第二工作组(仲裁和调解)第五十八届会议工作报告
A/CN.9/766A/CN.9/766
Report of Working Group V (Insolvency Law) on the work of its forty-third session第五工作组(破产法)第四十三届会议工作报告
A/CN.9/767A/CN.9/767
Report of Working Group VI (Security Interests) on the work of its twenty-third session第六工作组(担保权益)第二十三届会议工作报告
A/CN.9/768A/CN.9/768
Report of Working Group IV (Electronic Commerce) on the work of its forty-seventh session第四工作组(电子商务)第四十七届会议工作报告
A/CN.9/769A/CN.9/769
Report of Working Group III (Online Dispute Resolution) on the work of its twenty-seventh session第三工作组(网上解决争议)第二十七届会议工作报告
A/CN.9/770A/CN.9/770
Guidance on procurement regulations to be promulgated in accordance with article 4 of the UNCITRAL Model Law on Public Procurement关于根据《贸易法委员会公共采购示范法》第4条需要颁布的采购条例的指导意见
A/CN.9/771A/CN.9/771
Glossary of procurement-related terms used in the UNCITRAL Model Law on Public Procurement贸易法委员会公共采购示范法》中使用的采购相关术语的术语表
A/CN.9/772A/CN.9/772
Note by the Secretariat on bibliography of recent writings related to the work of UNCITRAL秘书处关于贸易法委员会工作相关的近期著述书目的说明
A/CN.9/773A/CN.9/773
Note by the Secretariat on status of conventions and model laws秘书处关于各公约和示范法现状的说明
A/CN.9/774A/CN.9/774
Note by the Secretariat on planned and possible future work秘书处关于计划开展和今后可能开展的工作的说明
A/CN.9/775A/CN.9/775
Note by the Secretariat on technical cooperation and assistance秘书处关于技术合作与援助的说明
A/CN.9/776A/CN.9/776
Note by the Secretariat on coordination activities秘书处关于协调活动的说明
A/CN.9/777A/CN.9/777
Note by the Secretariat on promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts秘书处关于促进确保统一解释和适用贸易法委员会法规的方式方法的说明
A/CN.9/778A/CN.9/778
The UNCITRAL Model Law on Cross-Border Insolvency:《贸易法委员会跨国界破产示范法》:
the Judicial Perspective司法角度的审视
A/CN.9/779A/CN.9/779
Note by the Secretariat on possible future work in the area of public-private partnerships:秘书处的说明: 今后可能在公私伙伴关系领域开展的工作:
report of the UNCITRAL colloquium on public-private partnerships贸易法委员会公私伙伴关系学术讨论会的报告
A/CN.9/780A/CN.9/780
Microfinance:小额金融:
creating an enabling legal environment for micro-business and small and medium-sized enterprises为微型企业和中小型企业创造有利的法律环境
A/CN.9/781 and Adds.1-2A/CN.9/781和Adds.1-2
Draft UNCITRAL Guide on the Implementation of a Security Rights Registry贸易法委员会关于落实担保权登记处的指南草案
A/CN.9/782A/CN.9/782
Discussion paper on the International Colloquium on Public-Private Partnerships关于公私伙伴关系国际学术讨论会的讨论文件
A/CN.9/783A/CN.9/783
Settlement of commercial disputes:解决商事争议:
draft UNCITRAL rules on transparency in treaty-based investor-State arbitration贸易法委员会投资人与国家间基于条约仲裁透明度规则草案
A/CN.9/784A/CN.9/784
Settlement of commercial disputes:解决商事争议:
applicability of the UNCITRAL rules on transparency to the settlement of disputes arising under existing investment treaties贸易法委员会透明度规则对解决现行投资条约下产生的争议的可适用性
A/CN.9/785A/CN.9/785
Settlement of commercial disputes: possible future work in the field of settlement of commercial disputes在解决商事争议领域今后可能开展的工作
A/CN.9/786A/CN.9/786
Settlement of commercial disputes: UNCITRAL Guide on the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958):贸易法委员会关于《承认及执行外国仲裁裁决公约》(1958年,纽约)的指南:
excerpt, guide on article VII节选,关于第七条的指南
A/CN.9/787 and Adds.1-3 and Add.1/Corr.1A/CN.9/787和Adds.1-3及Add.1/Corr.1
Settlement of commercial disputes:解决商事争议:
draft UNCITRAL rules on transparency in treaty-based investor-State arbitration:贸易法委员会投资人与国家间基于条约仲裁透明度规则草案:
compilation of comments by Governments政府意见汇编
A/CN.9/788A/CN.9/788
Note by the Secretariat on commercial fraud秘书处关于商业欺诈的说明
A/CN.9/789A/CN.9/789
Proposal by the Government of the United States regarding UNCITRAL future work:美国政府关于贸易法委员会今后工作的建议:
provisional agenda item 16临时议程项目16
A/CN.9/790A/CN.9/790
Proposal by the Government of Colombia哥伦比亚政府的建议
A/CN.9/791A/CN.9/791
Settlement of commercial disputes:解决商事争议:
draft UNCITRAL rules on transparency in treaty-based investor-State arbitration:贸易法委员会投资人与国家间基于条约仲裁透明度规则草案:
repository of published information under article 8 of the draft UNCITRAL rules on transparency in treaty-based investor-State arbitration贸易法委员会投资人与国家间基于条约仲裁透明度规则草案第8条下的已公布信息存储处
A/CN.9/792 and Adds.1-3A/CN.9/792和Adds.1-3
Revised Guide to Enactment of the Model Law and draft part four of the Legislative Guide on Insolvency Law:《示范法颁布指南》修订稿和《破产法立法指南》第四部分草案:
compilation of comments by Governments政府意见汇编
1 Pursuant to General Assembly resolution 2205 (XXI), the members of the Commission are elected for a term of six years.1 根据大会第2205 (XXI)号决议,委员会成员经选举产生,任期六年。
Of the current membership, 28 were elected by the Assembly on 3 November 2009, two were elected by the Assembly on 15 April 2010, 29 were elected by the Assembly on 14 November 2012 and one was elected by the Assembly on 14 December 2012.在现任成员中,28个由大会于2009年11月3日选出,2个由大会于2010年4月15日选出,29个由大会于2012年11月14日选出,1个由大会于2012年12月14日选出。
By its resolution 31/99, the Assembly altered the dates of commencement and termination of membership by deciding that members would take office at the beginning of the first day of the regular annual session of the Commission immediately following their election and that their terms of office would expire on the last day prior to the opening of the seventh regular annual session following their election.大会在第31/99号决议中,改变了成员资格的开始和终止日期,决定所有当选的成员国应从它们当选后紧接着召开的委员会年度常会开始的第一天起就职,其任期应于它们当选后委员会第七届年度常会开幕前的最后一天届满。
The following six States members elected by the Assembly on 3 November 2009 agreed to alternate their membership among themselves until 2016 as follows:大会于2009年11月3日选出的以下六个成员国成员国同意在2016年之前轮流出任委员会成员:
Belarus (2010-2011, 2013-2016), Czech Republic (2010-2013, 2015-2016), Poland (2010-2012, 2014-2016), Ukraine (2010-2014), Georgia (2011-2015) and Croatia (2012-2016).白俄罗斯(2010-2011年、2013-2016年)、捷克共和国(2010-2013年、2015-2016年)、波兰(2010-2012年、2014-2016年)、乌克兰(2010-2014年)、格鲁吉亚(2011-2015年)、克罗地亚(2012-2016年)。
2 Official Records of the General Assembly, Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), para. 314.2 《大会正式记录,第六十三届会议,补编第17号》和更正(A/63/17和Corr.1),第314段。
3 Ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 190.3 同上,《第六十五届会议,补编第17号》(A/65/17),第190段。
4 For the text of the UNCITRAL Arbitration Rules (1976), see Official Records of the General Assembly, Thirty-first Session, Supplement No. 17 (A/31/17).4 关于《贸易法委员会仲裁规则》(1976年)文本,见《大会正式记录,第三十一届会议,补编第17号》(A/31/17)。
For the text of the UNCITRAL Arbitration Rules (as revised in 2010), see Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), annex I.关于《贸易法委员会仲裁规则》(2010年修订本)文本,见《大会正式记录,第六十五届会议,补编第17号》(A/65/17),附件一。
5 Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 200-202.5 同上,《大会正式记录,第六十六届会议,补编第17号》(A/66/17),第200-202段。
6 United Nations, Treaty Series, vol. 2080, No. 36116.6 联合国,《条约汇编》第2080卷,第36116号。
7 Ibid., vol. 1155, No. 18232.7 同上,第1155卷,第18232号。
8 See Carnegie Endowment for International Peace, The Hague Conventions and Declarations of 1899 and 1907 (New York, Oxford University Press, 1915).8 见卡内基国际和平基金会,1899年和1907年海牙公约和宣言(纽约,牛津大学出版社,1915年)。
The text of the Convention is available from www.minbuza.nl/en/key-topics/treaties/search-the-treaty-database/1907/10/003316.html (accessed on 1 August 2013).公约文本见www.minbuza.nl/en/key-topics/treaties/search-the-treaty-database/1907/10/ 003316.html(2013年8月1日查阅)。
9 United Nations, Treaty Series, vol. 575, No. 8359.9 联合国,《条约汇编》,第575卷,第8359号。
10 Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 200.10 《大会正式记录,第六十六届会议,补编第17号》(A/66/17),第200段。
11 For the text of the UNCITRAL Arbitration Rules (1976), see Official Records of the General Assembly, Thirty-first Session, Supplement No. 17 (A/31/17), chap. V, sect. C.11 《贸易法委员会仲裁规则》(1976年)的文本,见《大会正式记录,第三十一届会议,补编第17号》(A/31/17),第五章,C节。
For the text of the UNCITRAL Arbitration Rules (as revised in 2010), see Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), annex I.《贸易法委员会仲裁规则》(2010年修订)的文本,见《大会正式记录,第六十五届会议,补编第17号》(A/65/17),附件一。
12 Official Records of the General Assembly, Fifty-first Session, Supplement No. 17 (A/51/17), chap. II.12 《大会正式记录,第五十一届会议,补编第17号》(A/51/17),第二章。
13 For the text of the UNCITRAL Model Law on International Commercial Arbitration (1985), see Official Records of the General Assembly, Fortieth Session, Supplement No. 17 (A/40/17), annex I. For the text of the UNCITRAL Model Law on International Commercial Arbitration (1985), with amendments as adopted in 2006, see Official Records of the General Assembly, Sixty-first Session, Supplement No. 17 (A/61/17), annex I (revised articles only), and United Nations publication, Sales No.13 《贸易法委员会国际商事仲裁示范法》(1985年)的文本,见《大会正式记录,第四十届会议,补编第17号》(A/40/17),附件一。 《贸易法委员会国际商事仲裁示范法》(1985年)的文本,以及2006年通过的修正案,见《大会正式记录,第六十一届会议,补编第17号》(A/61/17),附件一(仅含修订的条款),以及联合国出版物,出售品编号:
E.08.V.4.E.08.V.4。
14 United Nations, Treaty Series, vol. 330, No. 4739.14 联合国,《条约汇编》,第330卷,第4739号。
15 Official Records of the General Assembly, Fiftieth Session, Supplement No. 17 (A/50/17), paras. 401-404.15 《大会正式记录,第五十届会议,补编第17号》(A/50/17),第401-404段。
16 Ibid., Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), paras. 355 and 360.16 同上,《第六十三届会议,补编第17号》和更正(A/63/17和Corr.1),第355和360段。
17 Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 252; and ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), para. 135.17 同上,《第六十六届会议,补编第17号》(A/66/17),第252段;以及同上,《第六十七届会议,补编第17号》(A/67/17),第135段。
18 Ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), para. 136.18 同上,《第六十七届会议,补编第17号》(A/67/17),第136段。
19 Available from www.uncitral.org/uncitral/en/case_law/digests.html (accessed 1 August 2013).19 见www.uncitral.org/uncitral/en/case_law/digests.html(2013年8月1日查阅)。
20 United Nations publication, Sales No.20 联合国出版物,出售品编号:
E.87.V.9.E.87.V.9。
21 United Nations, Treaty Series, vol. 1489, No. 25567.21 联合国,《条约汇编》,第1489卷,第25567号。
22 Available from www.unidroit.org/english/principles/contracts/main.htm (accessed 1 August 2013).22 见www.unidroit.org/english/principles/contracts/main.htm(2013年8月1日查阅)。
23 United Nations publication, Sales No.23 联合国出版物,出售品编号:
E.09.V.12.E.09.V.12。
24 United Nations publication, Sales No.24 联合国出版物,出售品编号:
E.09.V.12.E.09.V.12。
25 Ibid.25 同上。
26 General Assembly resolution 56/81, annex.26 大会第56/81号决议,附件。
27 General Assembly resolution 52/158, annex.27 大会第52/158号决议,附件。
28 Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 259.28 《大会正式记录,第六十五届会议,补编第17号》(A/65/17),第259段。
29 A/CN.9/442, annex.29 A/CN.9/442,附件。
30 General Assembly resolution 52/158, annex.30 大会第52/158号决议,附件。
31 A/CN.9/442, annex.31 A/CN.9/442,附件。
32 United Nations publication, Sales No.32 联合国出版物,出售品编号:
E.05.V.10.E.05.V.10。
33 United Nations publication, Sales No.33 联合国出版物,出售品编号:
E.05.V.10.E.05.V.10。
34 Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 198.34 《大会正式记录,第六十六届会议,补编第17号》(A/66/17),第198段。
35 Ibid., annex I.35 同上,附件一。
36 Ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), paras. 110 and 114.36 同上,《第六十七届会议,补编第17号》(A/67/17),第110和114段。
37 Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 192; and Sixty-seventh Session, Supplement No. 17 (A/67/17), para. 46.37 同上,《第六十六届会议,补编第17号》(A/66/17),第192段;及《第六十七届会议,补编第17号》(A/67/17),第46段。
38 Ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), para. 110.38 同上,《第六十七届会议,补编第17号》(A/67/17),第110段。
39 Ibid., Sixty-fourth Session, Supplement No. 17 (A/64/17), paras. 338 and 341-343; Sixty-fifth Session, Supplement No. 17 (A/65/17), paras. 252 and 257; Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 213; and Sixty-seventh Session, Supplement No. 17 (A/67/17), paras. 71-79.39 同上,《第六十四届会议,补编第17号》(A/64/17),第338和341-343段;《第六十五届会议,补编第17号》(A/65/17),第252和257段;《第六十六届会议,补编第17号》(A/66/17),第213段;以及《第六十七届会议,补编第17号》(A/67/17),第71-79段。
40 Ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), para. 79.40 同上,《第六十七届会议,补编第17号》(A/67/17),第79段。
41 Ibid.41 同上。
42 League of Nations, Treaty Series, vol. CXLIII, No. 3313.42 国际联盟,《条约汇编》,第一四三卷,第3313号。
43 Ibid., vol. CXLIII, No. 3316.43 同上,第一四三卷,第3316号。
44 General Assembly resolution 60/21, annex.44 大会第60/21号决议,附件。
45 General Assembly resolution 51/162, annex.45 大会第51/162号决议,附件。
46 The Commission may recall that at its forty-first session, in 2008, it agreed that, resources permitting, the Secretariat could collect and disseminate information on the judicial interpretation of the New York Convention.46 委员会可以回顾,其2008年第四十一届会议一致认为,若资源允许,秘书处可收集和传播关于《纽约公约》司法解释的信息。
For this reason, the CLOUT system includes only recent case law concerning the Convention.因此,法规判例法系统仅列入了近期与该《公约》有关的判例法。
See Official Records of the General Assembly, Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), para. 360.见《大会正式记录,第六十三届会议,补编第17号》和更正(A/63/17和Corr.1),第360段。
47 United Nations, Treaty Series, vol. 1511, No. 26119.47 联合国,《条约汇编》,第1511卷,第26119号。
48 Ibid., vol. 1511, No. 26121.48 同上,第1511卷,第26121号。
49 Ibid., vol. 1695, No. 29215.49 同上,第1695卷,第29215号。
50 Official Records of the General Assembly, Forty-seventh Session, Supplement No. 17 (A/47/17), annex I.50 《大会正式记录,第四十七届会议,补编第17号》(A/47/17),附件一。
51 United Nations, Treaty Series, vol. 2169, No. 38030, p. 163.51 联合国,《条约汇编》,第2169卷,第38030号,第163页。
52 Official Records of the General Assembly, Fortieth Session, Supplement No. 17 (A/40/17), annex I; and ibid., Sixty-first Session, Supplement No. 17 (A/61/17), annex I.52 《大会正式记录,第四十届会议,补编第17号》(A/40/17),附件一;以及同上,《第六十一届会议,补编第17号》(A/61/17),附件一。
53 General Assembly resolution 51/162, annex.53 大会第51/162号决议,附件。
54 Official Records of the General Assembly, Sixty-fourth Session, Supplement No. 17 (A/64/17), para. 372.54 《大会正式记录,第六十四届会议,补编第17号》(A/64/17),第372段。
55 General Assembly resolution 51/162, annex.55 大会第51/162号决议,附件。
56 General Assembly resolution 56/80, annex.56 大会第56/80号决议,附件。
57 General Assembly resolution 57/18, annex.57 大会第57/18号决议,附件。
58 Available from www.industriall-union.org/sites/default/files/uploads/documents/2013-05-13_-_accord_on_fire_and_building_safety_in_bangladesh_0.pdf (accessed 16 July 2013).58 查阅网址: www.industriall-union.org/sites/default/files/uploads/documents/2013-05-13_-_accord_on_ fire_and_building_safety_in_bangladesh_0.pdf(2013年7月16日查询)。
59 Official Records of the General Assembly, Fortieth Session, Supplement No. 17 (A/40/17), annex I; and ibid., Sixty-first Session, Supplement No. 17 (A/61/17), annex I.59 《大会正式记录,第四十届会议,补编第17号》(A/40/17),附件一;以及同上,《第六十一届会议,补编第17号》(A/61/17),附件一。
60 Available from www.uncitral.org/uncitral/en/uncitral_texts/security/2011UNCITRAL_HCCH_Unidroit_texts.html (accessed 1 August 2013).60 见www.uncitral.org/uncitral/en/uncitral_texts/security/2011UNCITRAL_HCCH_Unidroit_texts.html(2013年8月1日查阅)。
61 Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 228.61 《大会正式记录,第六十六届会议,补编第17号》(A/66/17),第228段。
62 Available from www.unidroit.org/english/conventions/mobile-equipment/main.htm (accessed 1 August 2013).62 见www.unidroit.org/english/conventions/mobile-equipment/main.htm(2013年8月1日查阅)。
63 United Nations, Treaty Series, vol. 2367, No. 41143.63 联合国,《条约汇编》,第2367卷,第41143号。
64 Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17), paras. 209-213.64 《大会正式记录,第六十二届会议,补编第17号》(A/62/17),第209-213段。
65 Ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), annex III.65 同上,《第六十五届会议,补编第17号》(A/65/17),附件三。
66 Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 288-298.66 同上,《第六十六届会议,补编第17号》(A/66/17),第288-298段。
67 Ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), paras. 176-178.67 同上,《第六十七届会议,补编第17号》(A/67/17),第176-178段。
68 Ibid., para. 192.68 同上,第192段。
69 For the decision of the Commission to include the item on its agenda, see Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17), part two, paras. 111-113.69 关于委员会将本项目列入议程的决定,见《大会正式记录,第六十二届会议,补编第17号》(A/62/17),第二部分,第111-113段。
70 General Assembly resolutions 62/70, para. 3; 63/128, para. 7; 64/116, para. 9; 65/32, para. 10; and 66/102, para. 12.70 大会第62/70号决议,第3段;第63/128号决议,第7段;第64/116号决议,第9段;第65/32号决议,第10段;以及第66/102号决议,第12段。
71 Official Records of the General Assembly, Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), para. 386; ibid., Sixty-fourth Session, Supplement No. 17 (A/64/17), paras. 413-419; ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), paras. 313-336; ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 299-321; and ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), paras. 195-227.71 《大会正式记录,第六十三届会议,补编第17号》和更正(A/63/17和Corr.1),第386段;同上,《第六十四届会议,补编第17号》(A/64/17),第413-419段;同上,《第六十五届会议,补编第17号》(A/65/17),第313-336段;同上,《第六十六届会议,补编第17号》(A/66/17),第299-321段;同上,《第六十七届会议,补编第17号》(A/67/17),第195-227段。
72 Resolutions 63/120, para. 11; 64/111, para. 14; 65/21, paras. 12-14; 66/94, paras. 15-17; and 67/89, paras. 16-18.72 第63/120号决议,第11段;第64/111号决议,第14段;第65/21号决议,第12-14段;第66/94号决议,第15-17段以及第67/89号决议,第16-18段。
73 Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 335.73 《大会正式记录,第六十五届会议,补编第17号》(A/65/17),第335段。
74 Ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), paras. 195-227.74 同上,《第六十七届会议,补编第17号》(A/67/17),第195-227段。
75 Ibid., paras. 211-223.75 同上,第211-223段。
76 Ibid.76 同上
77 General Assembly resolution 67/1.77 大会第67/1号决议。
78 See the report of the Secretary-General on the rule of law and transitional justice in conflict and post-conflict societies (S/2004/616), para. 6.78 见秘书长关于冲突社会和冲突后社会法治与过渡期正义的报告(S/2004/616),第6段。
79 Official Records of the General Assembly, Thirty-fifth Session, Supplement No. 17 (A/35/17), chap. V, sect. A, para. 106.79 《大会正式记录,第三十五届会议,补编第17号》(A/35/17),第五章,A节,第106段。
80 General Assembly resolution 57/18, annex.80 大会第57/18号决议,附件。
81 Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 343.81 《大会正式记录,第六十六届会议,补编第17号》(A/66/17),第343段。
82 Ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), para. 231.82 同上,《第六十七届会议,补编第17号》(A/67/17),第231段。
83 Ibid., para 229.83 同上,第229段。
84 See, for example, Official Records of the General Assembly, Thirty-third Session, Supplement No. 17 (A/33/17), paras. 67-68; and a note by the Secretariat on the UNCITRAL rules of procedure and methods of work (A/CN.9/638, para. 20).84 见例如,《大会正式记录,第三十三届会议,补编第17号》(A/33/17),第67-68段;以及秘书处关于贸易法委员会议事规则和工作方法的说明(A/CN.9/638,第20段)。
85 Official Records of the General Assembly, Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1).85 《大会正式记录,第六十三届会议,补编第17号》和更正(A/63/17和Corr.1)。
86 Ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), para. 232.86 同上,《第六十七届会议,补编第17号》(A/67/17),第232段。
87 See Official Records of the Economic and Social Council, 2013, Supplement No. 10 and corrigendum (E/2013/30 and Corr.1), chap. I, sect. B, draft resolution III, para. 7.87 见经济及社会理事会正式记录,2013年,补编第10号和更正(E/2013/30和Corr.1),第一章,B节,决议三草案,第7段。
88 Official Records of the General Assembly, Sixty-seventh Session, Supplement No. 17 (A/67/17), paras. 127-132.88 《大会正式记录,第六十七届会议,补编第17号》(A/67/17),第127-132段。
89 Ibid.89 同上。
90 Ibid., para. 126.90 同上,第126段。
91 Available from www.uncitral.org/uncitral/uncitral_texts/insolvency.html.91 见www.uncitral.org/uncitral/uncitral_texts/insolvency.html。
92 Official Records of the General Assembly, Sixty-seventh Session, Supplement No. 17 (A/67/17), para. 120.92 《大会正式记录,第六十七届会议,补编第17号》(A/67/17),第120段。
93 The UNCITRAL Legislative Guide on Privately-Financed Infrastructure Projects (2000) and the UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects (2003), available from www.uncitral.org/uncitral/uncitral_texts/procurement_infrastructure.html.93 贸易法委员会《私人融资基础设施项目立法指南》(2000年)和《贸易法委员会私人融资基础设施项目立法条文》(2003年),见www.uncitral.org/uncitral/uncitral_texts/procurement_ infrastructure.html。
94 Official Records of the General Assembly, Sixty-seventh Session, Supplement No. 17 (A/67/17), para. 249.94 《大会正式记录,第六十七届会议,补编第17号》(A/67/17),第249段。
95 Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 329.95 同上,《第六十六届会议,补编第17号》(A/66/17),第329段。
96 Ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part one, para. 243.96 同上,《第六十二届会议,补编第17号》(A/62/17),第243段。
97 A/62/6 (Sect. 8) and Corr.1, table 8.19 (d).97 A/62/6(第8款)和Corr.1,表8.19(d)。
98 Official Records of the General Assembly, Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 275.98 《大会正式记录,第五十八届会议,补编第17号》(A/58/17),第275段。
99 Ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), para. 258.99 同上,《第六十七届会议,补编第17号》(A/67/17),第258段。