A_65_17_EC
Correct misalignment Change languages order
A/65/17 V1055648.doc (english)A/65/17 V1055647.doc (chinese)
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-third session第四十三届会议
(21 June-9 July 2010)(2010年6月21日至7月9日)
General Assembly Official Records Sixty-fifth session Supplement No. 17大会 正式记录 第六十五届会议 补编第17号
General Assembly Official Records Sixty-fifth session大会 正式记录 第六十五届会议
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-third session第四十三届会议
(21 June-9 July 2010)(2010年6月21日至7月9日)
United Nations • New York, 2010联合国 2010年,纽约
Note说明
Symbols of United Nations documents are composed of capital letters combined with figures. Mention of such a symbol indicates a reference to a United Nations document.联合国文件用英文大写字母附加数字编号。提到这种编号,即指联合国的某一个文件。
ISSN 0251-9127ISSN 0251-916X
Contents目录
Chapter章次
Page页次
1. Introduction1. 导言
11
2. Organization of the session2. 会议的组织
11
A. Opening of the sessionA. 会议开幕
11
B. Membership and attendanceB. 成员和出席情况
11
C. Election of officersC. 选举主席团成员
32
D. AgendaD. 议程
33
E. Establishment of a Committee of the WholeE. 设立全体委员会
44
F. Adoption of the reportF. 通过报告
44
3. Finalization and adoption of a revised version of the UNCITRAL Arbitration Rules3. 最后审定并通过《联合国国际贸易法委员会仲裁规则》修订本
44
A. Organization of deliberationsA. 审议工作安排
44
B. Report of the Committee of the WholeB. 全体委员会报告
55
Section I. Introductory rules第一章 绪则
55
Section II. Composition of the arbitral tribunal第二章 仲裁庭的组成
1110
Section III.第三章 仲裁程序
Arbitral proceedings 1513
Section IV.第四章 裁决
The award 2320
C. Adoption of the UNCITRAL Arbitration Rules as revised in 2010C. 通过《联合国国际易法委员会仲裁规则》2010年修订本
3028
D. Possible recommendations to arbitral institutions and other interested bodiesD. 可向仲裁机构和其他有关机构提出的建议
3229
E. Future work in the field of settlement of commercial disputesE. 解决商事争议领域今后的工作
3229
4. Finalization and adoption of a draft supplement to the UNCITRAL Legislative Guide on Secured Transactions dealing with security rights in intellectual property4. 最后审定并通过《贸易法委员会担保交易立法指南》关于知识产权担保权补编草案
3330
A. IntroductionA. 导言
3330
B. Consideration of the draft supplementB. 审议补编草案
3430
C. Adoption of the UNCITRAL Legislative Guide on Secured Transactions.C. 通过《贸易法委员会担保交易立法指南。
Supplement on Security Rights in Intellectual Property知识产权担保权补编》
4137
5. Finalization and adoption of part three of the UNCITRAL Legislative Guide on Insolvency Law on the treatment of enterprise groups in insolvency5. 审定并通过《贸易法委员会破产法立法指南》关于破产企业集团对待办法的第三部分
4338
A. Consideration of draft part three of the UNCITRAL Legislative Guide on Insolvency LawA. 审议《贸易法委员会破产法立法指南》第三部分草案
4338
B. Decision on adoption of part three of the UNCITRAL Legislative Guide on Insolvency LawB. 关于通过《贸易法委员会破产法立法指南》第三部分的决定
4439
6. Procurement: progress report of Working Group I6. 采购:第一工作组进度报告
4540
7. Possible future work in the areas of electronic commerce and online dispute resolution7. 今后在电子商务和网上解决争议领域可能开展的工作
4741
A. Possible future work in the area of electronic commerceA. 今后在电子商务领域可能开展的工作
4741
B. Possible future work in the area of online dispute resolution in cross-border electronic commerce transactionsB. 今后在跨界电子商务交易网上解决争议领域可能开展的工作
5043
8. Possible future work in the area of insolvency law8. 今后在破产法领域可能开展的工作
5245
9. Possible future work in the area of security interests9. 今后在担保权益领域可能开展的工作
5346
10.10. 国际经济发展背景下的小额金融
Possible future work in the area of microfinance 5648
11. Monitoring implementation of the New York Convention11. 监督《纽约公约》的执行情况
5749
12. Technical assistance to law reform12. 法律改革技术援助
5850
13. Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts13. 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
6051
14.14. 贸易法委员会法规的现状和促进
Status and promotion of UNCITRAL texts 6052
15. Working methods of UNCITRAL15. 贸易法委员会的工作方法
6354
16. Coordination and cooperation16. 协调与合作
6556
A. GeneralA. 概况
6556
B. Reports of other international organizationsB. 其他国际组织的报告
6657
17. Role of UNCITRAL in promoting the rule of law at the national and international levels17. 贸易法委员会在促进国内和国际法治方面的作用
6757
A. Laws and practices of States in the domestic implementation and interpretation of UNCITRAL texts: perspectives of recipient States on the work of UNCITRALA. 各国在贸易法委员会法规的国内执行和国内解释方面的法律和实践:受援国对贸易法委员会工作的观点
6959
B. Coordination and coherence of technical assistance and capacity-building in the areas of UNCITRAL work, and mechanisms and criteria for evaluating the effectiveness of such assistanceB. 贸易法委员会工作领域技术援助和能力建设的协调和一致性,以及评价这种援助的成效的机制和标准
7160
C. Decisions by the CommissionC. 委员会的决定
7161
18. International commercial arbitration moot competitions18. 国际商事仲裁模拟辩论赛
7261
A. Willem C. Vis International Commercial Arbitration Moot 2010A. 2010年Willem C. Vis国际商事仲裁模拟辩论赛
7261
B. Madrid Commercial Arbitration Moot 2010B. 2010年马德里商事仲裁模拟辩论赛
7362
19. Relevant General Assembly resolutions19. 大会有关决议
7362
20.20. 其他事项
Other business 7463
A. Internship programmeA. 实习方案
7463
B. Strategic framework for the biennium 2012-2013B. 2012-2013两年期战略框架
7564
C. Evaluation of the role of the Secretariat in facilitating the work of the CommissionC. 对秘书处在促进委员会工作方面所起作用的评价
7564
21. Date and place of future meetings21. 今后会议的日期和地点
7665
A. Forty-fourth session of the CommissionA. 委员会第四十四届会议
7665
B. Sessions of working groupsB. 各工作组的届会
7665
Annexes附件
1. UNCITRAL Arbitration Rules (as revised in 2010)1. 《联合国国际贸易法委员会仲裁规则》(2010年修订)
79 2.67
Terminology and recommendations of the UNCITRAL Legislative Guide on Secured Transactions. Supplement on Security Rights in Intellectual Property2. 《贸易法委员会担保交易立法指南。 知识产权担保权补编》中的术语和建议
9985
3. UNCITRAL rules of procedure and methods of work3. 贸易法委员会议事规则和工作方法
10187
4. List of documents before the Commission at its forty-third session4. 委员会第四十三届会议文件一览表
10389
I. Introduction一. 导言
1. The present report of the United Nations Commission on International Trade Law (UNCITRAL) covers the forty-third session of the Commission, held in New York from 21 June to 9 July 2010.1. 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2010年6月21日至7月9日在纽约举行的第四十三届会议的情况。
2. 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.2. 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。
II. Organization of the session二. 会议的组织
A. Opening of the sessionA. 会议开幕
3. The forty-third session of the Commission was opened by the Under-Secretary-General for Legal Affairs, the Legal Counsel, on 21 June 2010.3. 委员会第四十三届会议于2010年6月21日开幕,主管法律事务副秘书长女士宣布会议开幕。
B. Membership and attendanceB. 成员和出席情况
4. The General Assembly, in its resolution 2205 (XXI), established the Commission with a membership of 29 States, elected by the Assembly.4. 大会在第2205 (XXI)号决议中设立了由大会选出的29个成员国组成的贸易法委员会。
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个增加到36个。
By its resolution 57/20 of 19 November 2002, the General 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 22 May 2007, on 3 November 2009 and on 15 April 2010, 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: Algeria (2016), Argentina (2016), Armenia (2013), Australia (2016), Austria (2016), Bahrain (2013), Belarus (2011), Benin (2013), Bolivia (Plurinational State of) (2013), Botswana (2016), Brazil (2016), Bulgaria (2013), Cameroon (2013), Canada (2013), Chile (2013), China (2013), Colombia (2016), Czech Republic (2013), Egypt (2013), El Salvador (2013), Fiji (2016), France (2013), Gabon (2016), Germany (2013), Greece (2013), Honduras (2013), India (2016), Iran (Islamic Republic of) (2016), Israel (2016), Italy (2016), Japan (2013), Jordan (2016), Kenya (2016), Latvia (2013), Malaysia (2013), Malta (2013), Mauritius (2016), Mexico (2013), Morocco (2013), Namibia (2013), Nigeria (2016), Norway (2013), Pakistan (2016), Paraguay (2016), Philippines (2016), Poland (2012), Republic of Korea (2013), Russian Federation (2013), Senegal (2013), Singapore (2013), South Africa (2013), Spain (2016), Sri Lanka (2013), Thailand (2016), Turkey (2016), Uganda (2016), Ukraine (2014), United Kingdom of Great Britain and Northern Ireland (2013), United States of America (2016) and Venezuela (Bolivarian Republic of) (2016).下列国家是分别于2007年5月22日、2009年11月3日和2010年4月15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:阿尔及利亚(2016年)、阿根廷(2016年)、亚美尼亚(2013年)、澳大利亚(2016年)、奥地利(2016年)、巴林(2013年)、白俄罗斯(2011年)、贝宁(2013年)、多民族玻利维亚国(2013年)、博茨瓦纳(2016年)、巴西(2016年)、保加利亚(2013年)、喀麦隆(2013年)、加拿大(2013年)、智利(2013年)、中国(2013年)、哥伦比亚(2016年)、捷克共和国(2013年)、埃及(2013年)、萨尔瓦多(2013年)、斐济(2016年)、法国(2013年)、加蓬(2016年)、德国(2013年)、希腊(2013年)、洪都拉斯(2013年)、印度(2016年)、伊朗伊斯兰共和国 (2016年)、以色列(2016年)、意大利(2016年)、日本(2013年)、约旦(2016年)、肯尼亚(2016年)、拉脱维亚(2013年)、马来西亚(2013年)、马耳他(2013年)、毛里求斯(2016年)、墨西哥(2013年)、摩洛哥(2013年)、纳米比亚(2013年)、尼日利亚(2016年)、挪威(2013年)、巴基斯坦(2016年)、巴拉圭(2016年)、菲律宾 (2016年)、波兰(2012年)、大韩民国(2013年)、俄罗斯联邦(2013年)、塞内加尔(2013年)、新加坡(2013年)、南非(2013年)、西班牙(2016年)、斯里兰卡(2013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(2013年)、美利坚合众国(2016年)、委内瑞拉玻利瓦尔共和国(2016年)。
5. With the exception of Bahrain, Bolivia (Plurinational State of), Botswana, Gabon, Latvia, Malta, Morocco, Namibia, Sri Lanka and Uganda, all the members of the Commission were represented at the session.5. 除巴林、多民族玻利维亚国、博茨瓦纳、加蓬、拉脱维亚、马耳他、摩洛哥、纳米比亚、斯里兰卡、乌干达之外,委员会所有成员都派代表出席了本届会议。
6.
The session was attended by observers from the following States: Belgium, Ethiopia, Finland, Ghana, Guatemala, Iraq, Kuwait, Libyan Arab Jamahiriya, Madagascar, Netherlands, Panama, Qatar, Slovakia, Slovenia, Switzerland, Trinidad and Tobago, and United Arab Emirates.6. 下列国家派观察员出席了本届会议:比利时、埃塞俄比亚、芬兰、加纳、危地马拉、伊拉克、科威特、阿拉伯利比亚民众国、马达加斯加、荷兰、巴拿马、卡塔尔、斯洛伐克、斯洛文尼亚、瑞士、特立尼达和多巴哥、阿拉伯联合酋长国。
In addition, an observer from the Holy See attended the session.此外,罗马教廷派观察员出席了本届会议。
7. The session was also attended by observers from the following international organizations:7. 下列国际组织也派观察员出席了本届会议:
(a) United Nations system: Office of Legal Affairs of the Secretariat, International Monetary Fund, International Telecommunication Union (ITU), World Bank and World Intellectual Property Organization (WIPO);(a) 联合国系统:秘书处法律事务厅、国际货币基金组织、国际电信联盟(国际电联)、世界银行、世界知识产权组织(知识产权组织);
(b) Intergovernmental organizations: Asian-African Legal Consultative Organization, European Bank for Reconstruction and Development (EBRD), European Union and Permanent Court of Arbitration (PCA);(b) 政府间组织:亚非法律协商组织、欧洲复兴开发银行、欧洲联盟、常设仲裁法院;
(c) Invited non-governmental organizations: American Arbitration Association (AAA), American Bar Association (ABA), American Bar Foundation, Arab Association for International Arbitration, Asia Pacific Regional Arbitration Group, Association for the Promotion of Arbitration in Africa, Association Française des Entreprises Privées, Cairo Regional Centre for International Commercial Arbitration, Center for International Legal Studies, Comité Français de l’Arbitrage, Commercial Finance Association, Consultative Group to Assist the Poor, Corporate Counsel International Arbitration Group, European Communities Trade Mark Association, Independent Film and Television Alliance, Insolvency and Bankruptcy Professionals (INSOL), International Air Transport Association (IATA), International Arbitration Institute, International Association of Restructuring, International Bar Association (IBA), International Institute for Sustainable Development, International Law Institute, International Swaps and Derivatives Association, International TrademarkAssociation, Moot Alumni Association, New York City Bar, Pace Institute of International Commercial Law, Regional Centre for International Commercial Arbitration - Lagos, and Queen Mary University of London, School of International Arbitration;(c) 接到邀请的非政府组组织:美国仲裁协会、美国律师协会、美国律师基金会、阿拉伯国际仲裁协会、亚洲太平洋区域仲裁集团、非洲促进仲裁协会、法国私营企业协会、开罗国际商事仲裁区域中心、国际法律研究中心、法国仲裁委员会、商业金融协会、援助最贫穷者协商小组、公司律师国际仲裁集团、欧洲共同体商标协会、独立电影和电视联盟、重组和破产管理专业人员国际协会、国际航空运输协会(空运协会)、国际仲裁研究所、国际律师协会、国际可持续发展研究所、国际法研究所、国际掉期及衍生工具协会、国际商标协会、模拟仲裁辩论赛校友会、纽约市律师协会、佩斯国际商法研究所、拉各斯国际商事仲裁区域中心、伦敦玛丽女王大学国际仲裁学院。
(d) Other entities having received a standing invitation to participate as observers in the General Assembly and maintaining permanent offices at Headquarters: Sovereign Military Order of Malta.(d) 已获长期邀请可作为观察员参与大会工作并在总部有常设办事处的实体:马耳他主权军事教团。
8. The Commission welcomed the participation of international non-governmental organizations with expertise in the major items on the agenda.8. 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订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。
C. Election of officersC. 选举主席团成员
9. The Commission elected the following officers:9. 委员会选出了下列主席团成员:
Chair: Ricardo Sandoval López (Chile)主席: Ricardo Sandoval López(智利)
Vice-Chairs: Salim Moollan (Mauritius)副主席: Salim Moollan(毛里求斯)
Kathryn Sabo (Canada)Kathryn Sabo(加拿大)
Wisit Wisitsora-at (Thailand)Wisit Wisitstora-at(泰国)
Rapporteur: Gerard Jirair Mekjian (Armenia)报告员: Gerard Jirair Mekjian(亚美尼亚)
D. AgendaD. 议程
10. The agenda of the session, as adopted by the Commission, was as follows:10. 委员会通过的会议议程如下:
1. Opening of the session.1. 会议开幕。
2. Election of officers.2. 选举主席团成员。
3. Adoption of the agenda.3. 通过议程。
4. Finalization and adoption of a revised version of the UNCITRAL Arbitration Rules.4. 《贸易法委员会仲裁规则》修订本的最后审定和通过。
5. Finalization and adoption of a draft supplement to the UNCITRAL Legislative Guide on Secured Transactions dealing with security rights in intellectual property.5. 《贸易法委员会担保交易立法指南》关于知识产权担保权的补编草案的最后审定和通过。
6. Finalization and adoption of part three of the UNCITRAL Legislative Guide on Insolvency Law on the treatment of enterprise groups in insolvency.6. 《贸易法委员会破产法立法指南》关于破产企业集团对待办法的第三部分的最后审定和通过。
7. Procurement: progress report of Working Group I.7. 采购:第一工作组的进度报告。
8. Possible future work in the areas of electronic commerce and online dispute resolution.8. 今后可能在电子商务和网上争议解决领域开展的工作。
9. Possible future work in the area of insolvency law.9. 今后可能在破产法领域开展的工作。
10. Possible future work in the area of security interests.10. 今后可能在担保权益领域开展的工作。
11. Possible future work in the area of microfinance.11. 今后可能在小额金融领域开展的工作。
12. Monitoring implementation of the 1958 New York Convention.12. 监督1958年《纽约公约》实施情况。
13. Technical assistance to law reform.13. 法律改革技术援助。
14. Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts.14. 促进确保贸易法委员会各项法规之解释和适用趋于一致之方法。
15. Status and promotion of UNCITRAL legal texts.15. 贸易法委员会各项法规的现状和推广。
16. Working methods of UNCITRAL.16. 贸易法委员会的工作方法。
17. Coordination and cooperation:17. 协调与合作:
(a) General;(a) 概述;
(b) Reports of other international organizations.(b) 其他国际组织的报告。
18. Role of UNCITRAL in promoting the rule of law at the national and international levels.18. 贸易法委员会在促进国家和国际各级法治方面的作用。
19. International commercial arbitration moot competitions.19. 国际商事模拟仲裁辩论赛。
20. Relevant General Assembly resolutions.20. 大会有关决议。
21. Other business.21. 其他事项。
22. Date and place of future meetings.22. 今后会议的日期和地点。
23. Adoption of the report of the Commission.23. 通过委员会的报告。
E. Establishment of a Committee of the WholeE. 设立全体委员会
11. The Commission established a Committee of the Whole and referred to it for consideration agenda item 4.11. 委员会设立了全体委员会,并将议程项目4交其审议。
The Commission elected Michael Schneider (Switzerland) to chair the Committee of the Whole in his personal capacity.委员会选出Michael Schneider(瑞士)以个人身份担任全体委员会主席。
The Committee of the Whole met from 21 to 25 June 2010 and held 10 meetings.全体委员会于2010年6月21日至25举行会议,共举行了10次会议。
At its 910th meeting, on 25 June, the Commission considered and adopted the report of the Committee of the Whole and agreed to include it in the present report (see para. ‎187 below).委员会6月25日第910次会议审议并通过了全体委员会的报告,并同意将之列入本报告(见下文第187段)。
(The report of the Committee of the Whole is reproduced in paras. 16-186 below.)(全体委员会的报告转载于下文第16-186 段)。
F. Adoption of the reportF. 通过报告
12. At its 910th meeting, on 25 June, 915th and 916th meetings, on 30 June, 919th meeting, on 2 July, and 924th meeting, on 9 July 2010, the Commission adopted the present report by consensus.12. 委员会在2010年6月25日第910次会议、6月30日第915次会议和第916次会议、7月2日第919次会议、7月9日第924次会议上以协商一致方式通过了本报告。
III. Finalization and adoption of a revised version of the UNCITRAL Arbitration Rules三. 最后审定并通过《联合国国际贸易法委员会仲裁规则》修订本
A. Organization of deliberationsA. 审议工作安排
13.
The Commission had before it the reports of Working Group II (Arbitration and Conciliation) on the work of its fifty-first (Vienna, 14-18 September 2009) and fifty-second (New York, 1-5 February 2010) sessions (A/CN.9/684 and A/CN.9/688, respectively) and the text of the draft revised UNCITRAL Arbitration Rules, as it resulted from the third reading by the Working Group at its fifty-second session and as contained in document A/CN.9/703 and Add.1.13. 委员会收到了第二工作组(仲裁和调解)第五十一届会议(2009年9月14日至18日,维也纳)工作报告和第五十二届会议(2010年2月1日至日,纽约)工作报告(分别为A/CN.9/684和A/CN.9/688)以及经第五十二届会议三读产生的《贸易法委员会仲裁规则》修订草案案文,该案文载于A/CN.9/703号文件及其增编1。
The Commission took note of the summary of the deliberations on the draft revised UNCITRAL Arbitration Rules since the forty-fifth session of the Working Group (Vienna, 11-15 September 2006).委员会注意到自工作组第四十五届会议(2006年9月11日至15日,维也纳)以来对审议《联合国国际贸易法委员会仲裁规则》修订草案的概括。
The Commission also took note of the comments on the draft revised UNCITRAL Arbitration Rules that had been submitted by Governments and international organizations, as set out in document A/CN.9/704 and Add.1-10.委员会还注意到政府和国际组织就《联合国国际贸易法委员会仲裁规则》修订草案提出的意见,这些意见载于A/CN.9/704号文件及其增编1-10。
14. The Commission recalled that, at its thirty-ninth session, in 2006, it had noted that, as one of the early instruments developed by UNCITRAL in the field of arbitration, the UNCITRAL Arbitration Rules (1976) were widely recognized as a very successful text, having been adopted by many arbitration centres and used in many different instances.14. 委员会回顾其2006年第三十九届会议曾指出,作为贸易法委员会在仲裁领域拟订的一份早期文书,《贸易法委员会仲裁规则》(1976年)被公认为一份十分成功的文书,得到许多仲裁中心的采纳,并被用于多种不同情况。
In recognition of the success and status of the UNCITRAL Arbitration Rules, the Commission was generally of the view that any revision of them should not alter the structure of the text, its spirit or its drafting style and should respect the flexibility of the text rather than make it more complex.鉴于《贸易法委员会仲裁规则》已经取得的成功和地位,委员会普遍认为,对《规则》所作的任何修订都不应改变该文书的结构、精神和文体,并且应尊重该文本的灵活性,勿使其更为复杂。
At its fortieth session, in 2007, the Commission had noted that the review should seek to modernize the Rules and to promote greater efficiency in arbitral proceedings.委员会在其2007年第四十届会议上指出,审查工作应当力求使《规则》符合时代要求,提高仲裁程序效率。
The Commission generally agreed that the mandate of the Working Group to maintain the original structure and spirit of the UNCITRAL Arbitration Rules had provided useful guidance to the Working Group in its deliberations.委员会普遍认为,工作组的任务是保持《贸易法委员会仲裁规则》的原有结构和精神,这对工作组的审议工作提供了有益指导。
15. The Committee of the Whole, established by the Commission at its current session (see para. ‎11 above), proceeded with the consideration of the text of the draft revised UNCITRAL Arbitration Rules.15. 委员会本届会议设立的全体委员会(见上文第11段)接着审议了《联合国国际贸易法委员会仲裁规则》修订草案案文。
The report of the Committee is reproduced in section B below.全体委员会报告转载于下文B节。
B. Report of the Committee of the WholeB. 全体委员会报告
Section I. Introductory rules第一章 绪则
Scope of application适用范围
Draft article 1第1条草案
16. The Committee agreed that the words in brackets in paragraph 2 should be replaced with the words “15 August 2010”.16. 全体委员会商定,第2款括号内的词语应替换为“2010年8月15日”。
The Committee agreed that the revised Rules should be effective as from that date.全体委员会商定,《规则》修订本应自该日生效。
With that modification, the Committee adopted the substance of draft article 1.作此修改后,全体委员会通过了第1条草案的实质内容。
Notice and calculation of periods of time通知和期限计算
Draft article 2第2条草案
17. The Committee considered draft article 2 and noted that it was one of the provisions that had not been fully considered by the Working Group during the third reading of the draft revised Rules.17. 全体委员会审议了第2条草案,注意到该条款是工作组未在《规则》修订草案三读期间充分审议的条款之一。
18. A number of concerns were raised regarding draft article 2.18. 对第2条草案提出一些关切。
As a matter of structure, it was suggested that it was preferable to describe first the acceptable means of communication, as currently laid out in paragraph 3, and only thereafter to deal with issues regarding receipt of a notice delivered through such means of communication.从结构上看,有与会者提出最好是按目前第(3)款的写法先对可接受的通信手段作出描述,然后再述及收到通过此种通信手段收到通知的问题。
For that reason, it was proposed to place paragraph 3 as a first paragraph in draft article 2.为此提议把第3款放在第2条草案第1 款的位置。
19. It was said that the requirement in paragraph 3 for the communication to provide a record of the information contained therein would seem to rule out many commonly used methods of verifying that a communication had been received, such as courier receipts.19. 据指出,第3款要求通信手段能够提供其中所载信息内容的记录,这似乎排除了许多通常用于核实收到信函的方法,如快递收据。
In addition, the requirement that the means of communication provide a record of its receipt was said to appear inconsistent with the purpose of paragraphs 1 (b) and 2, which dealt with deemed receipt.另外,要求通信手段可提供收讫记录,据认为似乎与第1(b)款和第2款的目的不一致,后者涉及视为收讫。
That requirement was said to be unusual and likely to give rise to practical difficulties.还指出,这种做法并不常见,有可能造成实际困难。
It was proposed to refer instead to the “transmission”, “delivery” or “sending” of the notice and to avoid any reference to the notion of receipt in paragraph 3.会上提出改用这样的提法:通知的“传输”、“递送”或“发出”,避免第(3)款中对收讫概念的提及。
It was said that, in cases where the addressee denied that a notice had been received, that matter would have to be dealt with by the arbitral tribunal, according to draft article 27, paragraph 1, on the burden of proof.据指出,如果遇到收件人不承认收到通知的情形,可根据关于举证责任的第27条草案第1款交给仲裁庭处理。
20. The Committee recalled the decision made in the Working Group to expressly include in the Rules language that authorized both electronic and traditional forms of communication.20. 全体委员会回顾了工作组作出的决定,即应在《规则》中以明确的措词授权进行电子形式和传统形式的通信。
In that respect, it was said that the revised version of draft article 2 should include language consistent with previous standards prepared by UNCITRAL in the field of electronic commerce, such as the UNCITRAL Model Law on Electronic Commerce and the United Nations Convention on the Use of Electronic Communications in International Contracts (2005).为此,有与会者指出,第2条草案修订稿所使用的措词应当同贸易法全体委员会早先在电子商务领域中拟定的标准一致,如《贸易法全体委员会电子商务示范法》和《联合国国际合同使用电子通信公约》(2005年) 。
It was suggested that the use of the term “dispatch” in draft article 2 would be more appropriate to align draft article 2 with the aforementioned instruments.会上提出,在第2条中使用“递送”一词更贴切,可以使第2条草案与上述文书一致。
Others questioned the appropriateness of the proposed language.
21. In relation to paragraph 2, the view was expressed that that provision should be augmented to deal with the situation where the addressee would refuse to take delivery or receive a notice as it was not viewed as covering that situation.21. 关于第2款,有与会者认为,该款应当加以扩充,述及收件人拒收通知的情形,因为该款没有包括此种情形。
22. Support was expressed for draft article 2, as it appeared in document A/CN.9/WG.II/WP.157, which was said to follow more closely the language of the 1976 version of that article in the Rules.22. 有与会者对A/CN.9/WG.II/WP.157号文件中的第2条草案案文表示支持,认为它更贴近《规则》1976年版本中该条采用的措词。
23. The Committee considered the following proposal for draft article 2:23. 全体委员会审议了就第2条草案提出的下列提案:
“1. A notice, including a notification, communication or proposal, may be transmitted by any means of communication that provides or allows for a record of its transmission.“1. 通知包括通知书、函件或建议,可通过任何能够提供或顾及传输记录的通信手段传输。
“2. If an address has been designated by a party specifically for this purpose or authorized by the arbitral tribunal, any notice shall be delivered to that party at that address, and if so delivered shall be deemed to have been received.“2. 凡是一方当事人已专为此目的指定一地址,或者仲裁庭已批准一地址的,一律按该地址向该当事人递送通知,照此方式递送的,视为收到通知。
Delivery by electronic means such as facsimile or e-mail may only be made to an address so designated or authorized.使用传真或电子邮件等电子方式的,只能将通知递送到按上述方式指定或批准的地址。
“3.“3. 未作出此种指定或批准的,
In the absence of such designation or authorization, a notice is: “(a) Received if it is physically delivered to the addressee;“(a) 通知直接交给收件人,即为收到或者
or
“(b) Deemed to have been received if it is delivered at the place of business, habitual residence or mailing address of the addressee.“(b) 通知递送到收件人的营业地、惯常住所或邮政地址,即视为收到。
“4. If, after reasonable efforts, delivery cannot be effected in accordance with paragraphs 2 or 3, a notice is deemed to have been received if it is sent to the addressee’s last-known place of business, habitual residence or mailing address by registered letter or any other means that provides a record of delivery or of attempted delivery.“4. 经合理努力仍无法根据第2款或第3款递送通知的,在下述条件下,视为已收到通知:用挂号信或者以能够提供递送或试图递送的记录的方式,将通知发送到收件人的最后已知营业地、惯常住所或邮政地址。
“5. A notice shall be deemed to have been received on the day it is delivered in accordance with paragraphs 2, 3 or 4, or attempted to be delivered in accordance with paragraph 4.“5. 根据第2款、第3款或第4款递送通知的日期,或者按照第4款试图递送通知的日期,应视为已收到通知的日期。
“6. For the purpose of calculating a period of time under these Rules, such period shall begin to run on the day following the day when a notice is received.“6. 为计算本《规则》规定的期限,此种期限应自收到通知之日的次日起算。
If the last day of such period is an official holiday or a non-business day at the residence or place of business of the addressee, the period is extended until the first business day which follows.此种期限的最后一天是收件人住所或营业地法定假日或非营业日的,此种期限顺延至其后第一个营业日。
Official holidays or non-business days occurring during the running of the period of time are included in calculating the period.”此种期限持续期间的法定假日或非营业日应计入此种期限。
24. General support was expressed for the substance of the proposal.24. 会上对该提案的实质内容普遍表示支持。
With a view to clarifying the time of delivery where transmission took place by means of electronic communication, the following proposal was made for a possible addition to paragraph 5: “A notice transmitted by electronic means is deemed to have been received on the day it is transmitted.”为了澄清以电子通信手段进行传输的递送日期,提出了下述建议以对第5款作可能的补充:“以电子手段传输通知,视为收到的日期是该通知被传输的日期。
Views expressed earlier in the discussion regarding the possible need to ensure consistency between the revised Rules and other UNCITRAL standards dealing with issues of electronic communication were reiterated.”会上重申了早先讨论中就可能需确保《规则》修订本同贸易法全体委员会有关电子通信问题的其他标准之间的一致性所表达的各种看法。
More generally, the discussion focused on whether all notices under the Rules should rely on a receipt or on a dispatch rule.讨论更一般地侧重于《规则》中所涉及的所有通知是否都应以收到规则或递送规则为依据。
The question whether a specific rule should be designed for the notice of arbitration was also discussed.还讨论了是否应为仲裁通知设计一种特定规则的问题。
Support was expressed for a rule under which electronic communication should be deemed to have been received on the day when it was sent.有与会者支持以电子函件发出日期作为电子函件的视为收到日期这样的规则。
It was generally acknowledged that a rule relying on deemed receipt at the time when notification reached the addressee’s electronic address would be more consistent with other UNCITRAL texts and thus more conducive to the promotion of electronic communication in international arbitration.普遍承认,一项规则所依据的视为收到时间如果是通知到达收件人电子地址的时间,此种规则与贸易法全体委员会的其他案文将更加一致,从而也更有利于促进在国际仲裁中使用电子通信。
However, concern was expressed that, in daily arbitration practice, requiring a sender of an electronic notice to confirm the date of delivery to the addressee’s address before being able to calculate time periods for the parties’ further obligations in the arbitration (pursuant to draft art. 2, para. 6) could be excessively burdensome, whereas the date of sending could be readily ascertained.但会上表达了这样的关切:在日常仲裁实务中, 如果要求电子通知发件人必须先确认通知送达收件人地址的日期,然后才能(根据第2条草案第6款)计算各方当事人在仲裁中的进一步义务的期间,可能会造成过重的义务,而发出日期本来是很容易确定的。
In that regard, it was noted that paragraph 5 only pertains to the question as to when a notice sent by electronic means is deemed received.在这方面,有与会者指出,第5款只涉及以电子手段发出的通知何时视为收到的问题。
The question whether it is deemed received is governed by paragraph 2, which conditions deemed receipt upon delivery of the notice to the address.至于该通知是否视为收到的问题,则由第2款管辖,该款对视为收到设定的条件是,通知送达相关地址。
It was therefore said that it remained open to a non-sending party to object that a particular notice, even if electronically sent to that party’s address at an identified time, was in fact not delivered (and thus could not in the end be “deemed received”).因此,据指出,非发出方当事人仍然可以提出异议,指出即使某一通知已在一确定时间发往该当事人的地址,事实上该通知并未送达(,因此最后可能并非“视为收到”)。
The view was expressed that draft article 2 should be reflective of a practice where reliance on electronic communication was still limited.会上认为,第2条草案应当反映对电子通信的依赖仍然有限的做法。
25. After discussion, the Committee adopted the following wording to be inserted at the end of paragraph 5: “A notice transmitted by electronic means is deemed to have been received on the day it is sent, except that a notice of arbitration so transmitted is only deemed to have been received on the day when it reaches the addressee’s electronic address.”25. 经讨论,全体委员会通过了下述行文,将其放在第5款结尾处:“以电子方式传递通知的,通知发出的日期视为已收到通知的日期,但以电子方式传递的仲裁通知除外,仲裁通知视为已收到的日期,只能是其抵达收件人电子地址的日期。
26. It was clarified that the words “specifically for this purpose” in paragraph 2 following the words “designated by a party” should be understood as also including the indication of addresses for general notices in contracts that contained or referred to the arbitration agreement.26. 会上澄清一点:第2款中,“凡一方当事人已为此目的专门指定某一地址”中的“为此目的专门”一语,应当理解为也包括为载有或提及仲裁协议的合同中的普通通知指明地址。
27. The Committee confirmed its understanding that the first sentence of paragraph 6 was to be understood as encompassing both actual and deemed receipt of a notice.27. 全体委员会确认了下述理解:第6款第一句应理解为包括实际收到通知和视为收到通知。
28. After discussion, the Committee adopted the substance of draft article 2 as contained in paragraphs ‎23‎ and ‎25 above.28. 经讨论,全体委员会通过了上文第23和25段所载第2条草案的实质内容。
Notice of arbitration仲裁通知
Draft article 3第3条草案
29. For the sake of consistency with the provisions of draft article 2, the Committee agreed to replace the word “give” appearing before the words “to the other party” in paragraph 1 with the word “communicate”.29. 为与第2条草案的规定保持一致,全体委员会商定,第1款中,“另一方当事人”前面的词“给予”应改为“递送”。
With that modification, the Committee adopted the substance of draft article 3.作此修改后,全体委员会通过了第3条草案的实质内容。
Response to the notice of arbitration对仲裁通知的答复
Draft article 4第4条草案
30. The Committee recalled that the purpose of draft article 4 was to provide the respondent with an opportunity to state its position before the constitution of the arbitral tribunal by responding to the notice of arbitration, and to clarify at an early stage of the procedure the main issues raised by the dispute.30. 全体委员会回顾,第4条草案的目的是为被申请人提供机会,使其能够在仲裁庭组成之前通过对仲裁通知作出答复陈述其立场,另一个目的则是在程序的早期阐明争议所涉及的主要问题。
Paragraph 1第1款
31. It was observed that the 30-day time period for the communication of the response to the notice of arbitration might be too short in certain cases, in particular in complex arbitration or arbitration involving entities such as States or intergovernmental organizations.31. 据指出,在30天的期限内递送对仲裁通知的答复,这个期限在有些情况下可能过短,特别是在复杂仲裁中或者在涉及国家或政府间组织等实体的仲裁中。
32. In that context, it was pointed out that the specific practices and procedures of the United Nations, including its subsidiary organs, and other intergovernmental organizations might affect the ability of such organizations to take action within such time periods.32. 关于这一点有与会者指出,包括附属机关在内的联合国以及其他政府间组织的某些做法和程序有可能影响这些组织在这一时间期限内采取行动的能力。
33. It was said that lengthening the time period for the communication of the response to the notice of arbitration would not be a satisfactory solution in relation to purely commercial arbitration between privateparties.33. 据指出,对于私人当事方之间的纯商业仲裁,延长递送对仲裁通知的答复的期限并不是一种令人满意的解决办法。
It was proposed that the concerns raised in relation to arbitration involving States or intergovernmental organizations or complex arbitration could be dealt with by adding language to the effect that the response to the notice of arbitration should be given “as far as possible” within 30 days.有与会者提议,针对涉及国家或政府间组织的仲裁或复杂仲裁所提出的关切,可以添加这样的措词,其大意是对仲裁通知的答复应“尽量”在30天之内作出。
Another proposal was made to provide that the response to the notice of arbitration was only indicative.另一项提议是规定对仲裁通知的答复只能是临时性的。
34. Those proposals were objected to on the grounds that, in practice, the notice of arbitration and the response thereto were aimed at clarifying outstanding issues, and that goal might not be reached if the time limit for the communication of response to the notice of arbitration was not mandatory.34. 这些建议均遭到反对,理由是,在实践中,仲裁通知以及对此作出的答复都是为了澄清悬而未决的问题,而如果递送对仲裁通知的答复的期限不是强制性的,则可能无法达到这一目的。
35. It was said that the response to the notice of arbitration dealt mainly with two types of issue, one relating to the response to the claim and the other to the composition of the arbitral tribunal.35. 据指出,对仲裁通知的答复主要涉及两类问题,一类是对请求的答复,另一类则是仲裁庭的组成。
It was said that only the first type of issue was a novelty introduced by draft article 4, compared with the 1976 version of the Rules.据指出,同《规则》1976年版本相比,第4条草案中的新颖之处只是第一类问题。
In addition, it was pointed out that draft article 30, paragraph 1 (b), already provided that a failure by the respondent to communicate its response to the notice of arbitration should not be treated by the arbitral tribunal as an admission of the claimant’s allegations.另外还指出,第30条草案第1(b)款已经规定,被申请人未能对仲裁通知作出答复,不应被仲裁庭视为认可申请人的指称。
36. The Committee agreed that the response to the notice of arbitration was not intended to limit the right of the respondent to respond on the merits of the case at a later stage of the procedure, in particular in its statement of defence as provided in draft article 21.36. 全体委员会商定,对仲裁通知的答复并非意在限制被申请人的权利,使其无法在程序的稍后阶段特别是在第21条草案所规定的答辩书中就案件实体作出答复。
It was further said that the concerns raised in relation to the time period for the communication of the response to the notice of arbitration could be dealt with in practice, by the respondent either requesting an extension of time, or emphasizing the provisional nature of its response.还指出,关于递送对仲裁通知的答复的期限,在实践中可以用这样的办法来处理所提出的关切,即被申请人要么请求延长期限,要么强调其答复的临时性质。
37. After discussion, the Committee adopted the substance of paragraph 1 without modification.37. 经讨论,全体委员会未作修改通过了第1款的实质内容。
Paragraph 2第2款
38. As a matter of drafting, the Committee agreed to add the words “to be” before the word “constituted” in paragraph 2 (a) and, with that modification, the Committee adopted the substance of paragraph 2.38. 作为措辞问题,全体委员会同意在第2(a)款“根据本《规则》组成的”之前加上“拟”一词,作此修改后,全体委员会通过了第2款的实质内容。
Paragraph 3第3款
39. The Committee adopted the substance of paragraph 3 without modification.39. 全体委员会未作修改通过了第3款的实质内容。
Representation and assistance代表和协助
Draft article 5第5条草案
40. A proposal was made to modify the second sentence of draft article 5 along the lines of: “The credentials of such persons (representatives) must be certified in due form in accordance with the privatelaw of the country of arbitration, and their names and addresses must be communicated to all parties and to the arbitral tribunal.”40. 有与会者提议修改第5条草案第二句,加上下面一句话:“此类人员(代表)的资格证书必须根据仲裁地所在国的私法经过正式核证,其姓名和地址必须通知各方当事人和仲裁庭。
That proposal did not receive support.”该建议未得到支持。
41. The Committee adopted the substance of draft article 5 without modification.41. 全体委员会未作修改通过了第5条草案的实质内容。
Designating and appointing authorities指派和指定机构
Draft article 6第6条草案
42. The Committee considered draft article 6, which dealt with designating and appointing authorities.42. 全体委员会审议了第6条草案,其中处理指派和指定机构。
That provision reflected the principle that the appointing authority could be appointed by the parties at any time during the arbitration proceedings, and not only in circumstances currently provided for in the Rules.该条款反映了以下原则,即指定机构可由当事人在仲裁程序的任何时间指定,而不仅仅在《规则》目前所规定的情形下。
It also sought to clarify the importance of the role of the appointing authority, particularly in the context of non-administered arbitration.该条款还试图说明指定机构所发挥作用的重要性,特别是在非常设机构仲裁的情况下。
Paragraph 1第1款
43. The question was raised whether the Secretary-General of the PCA should be mentioned in the Rules as one example of who could serve as appointing authority.43. 有与会者询问,是否应在《规则》中提及常设仲裁院秘书长,作为可担任指定机构的机构的一个例子。
It was proposed to delete the words “including the Secretary-General of the PCA” in paragraph 1.建议删除第1款草案中的“包括常设仲裁院秘书长”字样。
That proposal did not receive support.该建议没有得到支持。
44. It was further suggested that the functions of the Secretary-General of the PCA should be expressly limited under the Rules to those of a designating authority.44. 还有与会者建议,《规则》应将常设仲裁院秘书长的作用局限于一个指派机构的作用。
In response to that suggestion, it was pointed out that there were instances in which the Secretary-General of the PCA had acted also as an appointing authority under the Rules.对此建议,指出有些情况下常设仲裁院秘书长也发挥《规则》所规定的指定机构的作用。
It was also said that that suggestion, if accepted, would run contrary to that existing practice and entail the risk of invalidating arbitration agreements designating the Secretary-General of the PCA as an appointing authority.还指出,该建议如获接受,将与现行做法背道而驰,并有可能使指派常设仲裁院秘书长为指定机构的仲裁协议归于无效。
45. After discussion, the Committee adopted the substance of paragraph 1 without modification.45. 经讨论,全体委员会未作修改通过了第1款的实质内容。
Paragraphs 2 and 3第2和第3款
46. It was stated that the specific practices and procedures of the United Nations, including its subsidiary organs, and other intergovernmental organizations might affect the ability of such organizations to designate an appointing authority within the time period established under paragraph 2 to take action.46. 据指出,联合国包括其附属机关以及其他政府间组织的具体做法和程序可能影响这类组织在第2款所规定的采取行动的期限内指派指定机构的能力。
47. The Committee adopted the substance of paragraphs 2 and 3 without modification.47. 全体委员会未作修改通过了第2和第3款的实质内容。
Paragraph 4第4款
48. The Committee noted that paragraph 4 did not deal with the consequences attached to a failure to act of an appointing authority in case of challenge of an arbitrator.48. 全体委员会注意到第4款没有处理在要求一名仲裁员回避的情况下指定机构未能作为所产生的后果。
Since no time limit had been set for an appointing authority to decide on a challenge under draft article 13, that occurrence did not fall under any of the instances listed in paragraph 4.由于未对指定机构就根据第13条草案要求回避作出决定规定时限,这种情况不属于第4款所列的任何情况。
To address that concern, it was proposed to amend the first sentence of paragraph 4 as follows: “If the appointing authority refuses to act, or if it fails to appoint an arbitrator within 30 days after it receives a party’s request to do so, fails to act within any other period provided by these Rules, or fails to decide on a challenge to an arbitrator within a reasonable time after receiving a party’ s request to do so, any party may request the Secretary-General of the PCA to designate a substitute appointing authority”. That proposal was adopted by the Committee.为处理这一关切,建议将第4款第一句修改如下:“指定机构拒不作为,或者指定机构收到一方当事人请求指定仲裁员的申请后30天内未指定一名仲裁员、在本《规则》规定的其他任何期限内不作为,或者在收到一方当事人要求一名仲裁员回避的申请后的合理时间内未就该申请作出决定的,任何一方当事人均可请求常设仲裁院秘书长指派替代指定机构,”该建议得到全体委员会采纳。
49. The Committee agreed that, for the sake of clarity, the functions of the Secretary-General of the PCA in relation to the review of fees and expenses of arbitrators should be dealt with under draft article 41, paragraph 4.49. 全体委员会一致认为,为明确起见,常设仲裁院秘书长与审查仲裁员收费和开支有关的作用应在第41条第(4)款中处理。
Consequently, the Committee agreed to delete the last sentence of paragraph 4 and to include the words “Except as referred to in article 41, paragraph 4,” as the opening words of draft article 6, paragraph 4.因此,全体委员会决定删除第4款最后一句,并添加“但第41条第4款述及的情形除外”,作为第6条第4款的前导语(中文置后)。
50. The Committee adopted the substance of paragraph 4 with the modifications referred to in paragraphs ‎48 and ‎49 above.50. 在作出上文第48和第49段所述修改后,全体委员会通过了第4款的实质内容。
Paragraphs 5-7第5-7款
51. The Committee adopted the substance of paragraphs 5-7 without modification. Section II.51. 全体委员会未作修改通过了第5-7款的实质内容。
Composition of the arbitral tribunal第二章 仲裁庭的组成
Number of arbitrators仲裁员人数
Draft article 7第7条
52. The Committee took note of a proposal to the effect that the single arbitrator who would be designated unless the parties had decided otherwise would be entitled, at the request of any of the parties, to determine that the arbitral tribunal should be composed of three arbitrators (see A/CN.9/704/Add.6).52. 全体委员会注意到一项建议,其大意是,如果当事人未另行决定而指定独任仲裁员,应任何一方当事人的请求,独任仲裁员将有权决定由三名仲裁员组成仲裁庭(见A/CN.9/704/Add.6)。
No support was expressed for that proposal.该建议未得到支持。
53. The Committee adopted the substance of draft article 7 without modification.53. 全体委员会未作修改通过了第7条草案的实质内容。
Appointment of arbitrators (draft articles 8-10)仲裁员的指定(第8-10条草案)
Draft article 8第8条草案
54. The Committee adopted the substance of draft article 8 without modification.54. 全体委员会未作修改通过了第8条草案的实质内容。
Draft article 9第9条草案
Paragraph 1第1款
55. It was said that draft article 9, paragraph 1, did not provide for the possibility of consultation between the arbitrators and the parties prior to choosing the presiding arbitrator.55. 据指出,第9条草案第1款未规定仲裁员和当事人在选定首席仲裁员之前进行协商的可能性。
In order to avoid draft article 9 being construed as precluding such consultation, which was said to occur in practice, it was proposed to amend the second sentence of draft article 9, paragraph 1, as follows: “The two arbitrators thus appointed shall, after consultation with the parties should the arbitrators so decide, choose the third arbitrator who will act as presiding arbitrator of the arbitral tribunal.”为避免将第9条解释为排除据说为常见做法的此种协商,提议对第9条第1款第二句修改如下:“如此指定的两名仲裁员如决定与当事人协商,应在与当事人协商之后选定第三名仲裁员,第三名仲裁员将担任仲裁庭的首席仲裁员。
56. The need to amend paragraph 1 as proposed was questioned.56. 有与会者对修改第1款的必要性提出质疑。
It was said that, while consultations occurred in practice, international arbitral institutions did not provide in the text of their arbitration rules for such consultations.指出虽然协商在实践中较为常见,但国际仲裁机构并未在其仲裁规则案文中就此种协商作出规定。
It was also suggested that, before adding such language, more precision was required as to how the arbitrators would carry out such consultations.还提出,在添加此种措词之前,必须更为准确地推敲仲裁员如何进行此种协商的问题。
In response to concern that such consultations between parties and arbitrators could create issues with regard to the duty of impartiality and independence of the arbitrators, the Committee agreed that such consultations should not be considered an infringement of that duty.有与会者关切当事人和仲裁员之间的此种协商可能对仲裁员的公正性和独立性义务造成问题,对此,全体委员会一致认为,这种协商不应被视为违背这种义务。
It was further pointed out that codes of ethics for arbitrators, such as the IBA Rules of Ethics for International Arbitrators or the AAA/ABA Code of Ethics for Arbitrators in Commercial Disputes provided in substance that in arbitrations in which the two party-appointed arbitrators were expected to appoint the third arbitrator, each party-appointed arbitrator might consult with the party who appointed him or her concerning the choice of the third arbitrator.还指出,仲裁员道德守则如国际律师协会《国际仲裁员道德准则》或美国仲裁协会/美国律师协会《商事争议仲裁员道德守则》均作出实质性规定,即仲裁是预期由当事人指定的两名仲裁员指定第三名仲裁员的,当事人指定的每一名仲裁员可以就选择第三名仲裁员与其指定当事人进行协商。
57. After discussion, the Committee adopted the substance of paragraph 1 without modification.57. 经讨论,全体委员会未作修改通过了第1款的实质内容。
Paragraph 2第2款
58. The Committee adopted the substance of paragraph 2 without modification.58. 全体委员会未作修改通过了第2款的实质内容。
Paragraph 3第3款
59. It was pointed out that paragraph 3 (pursuant to which the presiding arbitrator was to be appointed in the same way as a sole arbitrator would be appointed under draft article 8, paragraph 2), appropriately referred to “article 8, paragraph 2”.59. 据指出,第3款(其中规定按照第8条第2款规定的指定独任仲裁员的方式指定首席仲裁员)提及“第8条第2款”是适当的。
In order to capture in draft article 9, paragraph 3, also the important rule of draft article 8, paragraph 1, according to which the appointing authority should act “at the request of a party”, it was proposed that the reference in the last sentence of draft article 9, paragraph 3, should be to article 8 and not only to article 8, paragraph 2.为了在第9条草案第3款中同时反映第8条草案第1款的重要规则,即指定机构应当“经一方当事人的请求”采取行动,建议第9条第3款最后一句提及第8条,而非仅仅提及第8条第2款。
The proposal to delete the words “, paragraph 2” was adopted and, with that modification, the Committee adopted the substance of paragraph 3.删除“第2款”字样的建议得到通过,作此修改后,全体委员会通过了第3款的实质内容。
Draft article 10第10条草案
60. It was noted that the principle in paragraph 3 that the appointing authority should appoint the entire arbitral tribunal when parties were unable to do so was an important principle, in particular in situations like the one that had given rise to the case BKMI and Siemens v. Dutco.60. 据指出,第3款阐明了一项重要原则,即当事人未能组成仲裁庭的,指定机构应指定整个仲裁庭,特别是在导致BKMI和Siemens诉Dutco案的类似情形下。
It was stated that the decision in the Dutco case had been based on the requirement that parties received equal treatment, which paragraph 3 addressed by shifting the appointment power to the appointing authority.据指出,Dutco案所作的决定是基于当事人应受到平等待遇的要求,为满足这一要求,第3款将指定权转给了指定机构。
In that light, a proposal was made to insert at the end of paragraph 3 the words “while respecting the equality of the parties”.鉴于此,有建议提出在第3款结尾处加上“同时尊重当事人平等”的字样。
61. The Committee agreed that party equality was one of the fundamental principles of arbitration to also be observed by the appointing authority.61. 全体委员会一致认为,当事人平等是仲裁的基本原则之一,指定机构也须遵守。
However, it was noted that the shifting of all appointing power to the appointing authority safeguarded the principle of equality of the parties.但有与会者指出,将指定权完全转给指定机构为当事人平等原则提供了保障。
The Committee concluded that there was no need to add such language in the Rules.全体委员会最后认为无需在《规则》中添加此种措词。
62. After discussion, the Committee adopted the substance of draft article 10 without modification.62. 经讨论,全体委员会未作修改通过了第10条草案的实质内容。
Disclosures by and challenge of arbitrators (draft articles 11-13)仲裁员披露情况和回避(第11-13条草案)
Draft article 11第11条草案
63. It was proposed to include language in draft article 11 that would relieve an arbitrator of his or her obligation to disclose circumstances likely to give rise to justifiable doubts as to his or her impartiality or independence where those circumstances were already known to the parties.63. 建议在第11条草案纳入这样的措辞,以便在有关情形已为当事人所知的情况下,免除仲裁员披露可能对其公正性和独立性产生有正当理由怀疑的情形的义务。
That proposal received little support.该建议没有得到什么支持。
It was said that that situation was already addressed by both draft article 12, paragraph 2, which gave a party the right to challenge the arbitrator appointed by it only for reasons of which it became aware after the appointment had been made, and draft article 13, paragraph 1, which included a time limit of 15 days for a party to challenge an arbitrator after the circumstances became known to it.据指出第12条第2款草案和第13条第1款草案已经处理这种情况,前者赋予一方当事人只能根据其指定仲裁员之后才得知的理由对其所指定的仲裁员提出异议的权利;后者规定了当事人得知这类情形之后对仲裁员提出异议的15天时限。
64. Another proposal was to qualify the standard of “circumstances likely to give rise to justifiable doubts” by including the words “in the view of an impartial third party” after the words “justifiable doubts”.64. 另一项建议是限定“可能产生有正当理由怀疑的情形”的标准,即在“有正当理由怀疑”之前添加“公正的第三方看来”词语。
That proposal did not find support.该建议没有得到支持。
65. After discussion, the Committee adopted the substance of draft article 11 without modification.65. 经讨论,全体委员会未作修改通过了第11条草案的实质内容。
Draft article 12第12条草案
66. The Committee adopted the substance of draft article 12 without modification.66. 全体委员会未作修改通过了第12条草案的实质内容。
Draft article 13第13条草案
67. With a view to limiting frivolous challenges, a proposal was made to include at the end of paragraph 2 the following words: “and, as far as possible, the documents and the evidence on which the challenge is based”.67. 为了限制随意要求回避,有与会者建议在第2款结尾插入以下词语:“并尽可能提供回避申请所依据的文件和证据”。
Another proposal was made to require the appointing authority to state the grounds on which its decision on challenge of arbitrator was made.另一项建议是要求指定当局在就要求仲裁员回避的申请作出决定时说明理由。
A further proposal was made to include the words “within a reasonable time” at the end of paragraph 4 to avoid needless prolongation of the proceedings if the appointing authority was not sufficiently responsive.还有建议提出在第4款添加“在合理时间内”的词语,以避免在指定当局未作充分回应的情况下毫无必要地拖延程序。
Those proposals did not find support.这些建议没有得到支持。
68. It was noted that draft article 2 provided a general rule of interpretation, according to which periods of time stipulated in the Rules “begin to run on the day following the day when a notice, notification, communication or proposal is received”.68. 据指出,第2条草案提供了一般解释规则,据此规则,本《规则》所规定的期间“自收到通知、通知书、函件或建议之日的次日起算”。
It was further noted that draft article 13, paragraph 4, however, referred to the “date of the notice of challenge” rather than the date of its receipt as the starting point for the calculation of the time period.但又注意到第13条第4款草案提到“回避通知发出之日”,而不是将收到回避通知之日作为计算期间的起点。
The Committee confirmed that the starting date in draft article 13, paragraph 4, was correctly stated for the purposes of draft article 13, paragraph 4.全体委员会确认,从第13条草案第4款的目的来看,第13条草案第4款对起算日期的表述是正确的。
69. The Committee adopted the substance of draft article 13 without modification.69. 全体委员会未作修改通过了第13条草案的实质内容。
Replacement of an arbitrator替换仲裁员
Draft article 14第14条草案
70. The Committee adopted the substance of draft article 14 without modification.70. 全体委员会未作修改通过了第14条草案的实质内容。
Repetition of hearings in the event of the replacement of an arbitrator在替换仲裁员的情况下继续进行审理
Draft article 15第15条草案
71. The Committee adopted the substance of draft article 15 without modification. Exclusion of liability71. 全体委员会未作修改通过了第15条草案的实质内容。
免责
Draft article 16第16条草案
72. The Committee considered draft article 16, which aimed at establishing immunity for the participants in the arbitration and sought to preserve exoneration in cases where the applicable law allowed contractual exoneration from liability, to the fullest extent permitted by such law, save for intentional wrongdoing.72. 全体委员会审议了第16条草案,该条草案旨在确立仲裁参与各方的豁免权,寻求在适用法律允许的最大限度内,在这类法律允许合同免责的情况下保持免责,但蓄意不当行为除外。
73. The Committee recalled that the purpose of the provision was to ensure that arbitrators were protected from the threat of potentially large claims by parties dissatisfied with arbitral tribunals’ rulings or awards who might claim that such rulings or awards arose from the negligence or fault of an arbitrator.73. 全体委员会回顾,该条文的目的是确保仲裁员免受对仲裁庭裁定或裁决不满的当事人可能提出巨额索赔的威胁,这些当事人可能声称这类裁定或裁决是仲裁员的疏忽或错误造成的。
It was also recalled that a waiver “to the fullest extent permitted under the applicable law” did not and should not extend to intentional wrongdoing.还回顾,“在适用法律允许的最大范围内”放弃索赔并不也不应延及蓄意不当行为。
74. It was stated that the existence of liability was regulated by the applicable law and not by the agreement between the parties.74. 据指出,是否存在赔偿责任由适用法律管辖,而不是依从当事人之间的协议。
The Rules, it was further said, were an agreement between the parties.还指出,《规则》属于当事人之间的协议。
Therefore, the question was raised whether draft article 16 should be amended so as to avoid creating the impression that it regulated the existence of liability, and focus instead on the allocation of its consequences between the parties.因此,提出了以下问题,即是否应对第16条草案作出修正,以避免造成该条管辖是否存在赔偿责任的印象,而侧重于在当事人之间划分责任后果。
75. It was further said that draft article 16 might give rise to differing interpretations, in particular the proviso “save for intentional wrongdoing” might be interpreted differently in various jurisdictions.75. 还指出,第16条草案可能导致不同解释,特别是限制性条款“除蓄意不当行为外”在不同法域可能作不同解释。
Also, the view was expressed that that proviso might create the impression that the Rules created liability even if there was no such liability under the applicable law.还认为,这样的限制性条款可能造成的印象是,即使适用法律没有规定赔偿责任,根据《规则》也会产生赔偿责任。
76. A proposal was made to address those concerns along the lines of: “The parties waive, to the extent permitted under the applicable law, any claim that they may have under that law against the arbitrators, ...”76. 有与会者建议使用大意如下的措辞处理上述关切:“在适用法律允许的限度内,当事人放弃根据该法而可能对仲裁员提出的任何索赔,……”。
.
That proposal did not receive support.该建议没有得到支持。
The Committee agreed that even though the liability regime differed depending on the applicable law, “intentional wrongdoing” was a concept that would be understandable to judges in different jurisdictions.全体委员会一致认为,即使赔偿责任制度依适用法律而有所不同,“蓄意不当行为”是不同法域的法官都能够理解的概念。
77. The Committee noted that the Secretary-General of the PCA was mentioned as being among those against whom parties would waive liability under the revised Rules. However, according to the comments of the Court, it already enjoyed immunity against legal process under various agreements and international conventions.77. 全体委员会注意到,在当事人依据《规则》修订本免除其赔偿责任的人员中提到了常设仲裁法院秘书长,常设仲裁法院秘书长已经按照各种协定和国际公约享有法律程序豁免。
The Committee agreed to delete the words “the Secretary-General of the PCA” in draft article 16 for the reason that a specific waiver under the revised Rules was unnecessary for the Court.全体委员会一致同意从第16条草案中删除“常设仲裁法院秘书长”词语,因为经修订的《规则》没有必要为常设仲裁法院特别规定免责。
78. After discussion, the Committee adopted the substance of draft article 16 with the modification contained in paragraph ‎77 above.78 经讨论,在作出上文第77段所载的修改后,全体委员会通过了第16条草案的实质内容。
Section III.第三章 仲裁程序
Arbitral proceedings General provisions通则
Draft article 17第17条草案
Paragraph 1第1款
79. It was noted that the Working Group had agreed to delete the word “full” that appeared before the word “opportunity” in article 15, paragraph 1, of the 1976 version of the Rules (corresponding to draft article 17, paragraph 1), in recognition of the fact that the phrase “a full opportunity” could be invoked to delay proceedings or otherwise misused and that it might be more appropriate simply to refer to “an opportunity”.79. 注意到工作组商定删去《规则》1976年版本第15条第1款(与第17条草案第1款相对应)中“机会”一词前的“充分”一词,因为认识到可能借“充分机会”这一词语 延缓程序或由此导致其他滥用情形,只提及“机会”或许更合适。
80. A suggestion was made to include the word “reasonable” or “adequate” before the word “opportunity” in paragraph 1.80. 有与会者建议在第1款“机会”一词前添加“合理”或“适当”一词。
Objections were made to that suggestion on the ground that it might be interpreted as weakening the ability of parties to present their case.这项建议遭到反对,理由是这样做可能解释为削弱当事人陈述案情的能力。
It was also pointed out that the word “opportunity” appeared under various provisions of the Rules and the use of the word “reasonable” before the word “opportunity” in draft article 17, paragraph 1, would create a discrepancy with those other provisions.还指出,“机会”一词出现在《规则》各种条文中,在第17条草案第1款“机会”一词前使用“合理”一词会导致与这些其他条文不一致。
81. Strong support was expressed for the inclusion of the word “reasonable” before the word “opportunity” on the ground that it corresponded to a commonly used and well-accepted standard.81. 有与会者强烈支持在“机会”一词前添加“合理”一词,理由是这样做符合通常使用和普遍接受的标准。
82. After discussion, the Committee agreed to replace the word “an” appearing before the word “opportunity” in the first sentence of paragraph 1 with the words “a reasonable”.82. 经讨论,全体委员会同意在第1款第一句“机会”一词前添加“合理”一词。
The Committee adopted the substance of paragraph 1 with that modification.在作出这一修改后,全体委员会通过了第1款的实质内容。
Paragraph 2第2款
83. It was noted that paragraph 2 provided for the power of the arbitral tribunal to change “any period of time”.83. 注意到第2款规定了仲裁庭改变“任何期间”的权力。
A suggestion was made to except from that power extension of the period of time for issuing an award, as certain domestic legislation prohibited any such extension.有与会者建议将延长下述裁决的期间排除在这一权力之外,因为某些国内法律禁止延长这种期间。
Accordingly, it was suggested to add at the end of paragraph 2 the words “provided that this does not include the power to alter the period of time for issuing the award”.因此,建议在第2款结尾添加以下词语:“前提是不包括改变作出裁决的期间的权力。
That suggestion did not receive support.”这项建议没有得到支持。
It was explained that draft article 1, paragraph 3, of the Rules contained a general reservation stating that the Rules might not derogate from mandatory provisions of the law applicable to the arbitration, and that provision appropriately addressed that concern.据解释,《规则》第1条草案第3款载有一项一般性保留,其中规定本《规则》不得减损背离仲裁所适用法律的强制性规定,该规定已适当处理这种关切。
84. After discussion, the Committee adopted the substance of paragraph 2 without modification.84. 经讨论,全体委员会未作修改通过了第2款的实质内容。
Paragraph 3第3款
85. The Committee adopted the substance of paragraph 3 without modification.85. 全体委员会未作修改通过了第3款的实质内容。
Paragraph 4第4款
86. A proposal was made to place the provision of paragraph 4, which dealt with all communications, as a new paragraph of draft article 2.86. 有与会者建议,应当将处理所有函件的第4款的规定作为第2条草案的一个新款。
It was further proposed to delete from draft articles 20, paragraph 1, 21, paragraph 1, 37, paragraph 1, and 38, paragraph 1, the notification requirement they contained since draft article 17, paragraph 4, it was said, already addressed the matter.还建议从第20条草案第1款、第21条草案第1款、第37条草案第1款和第38条草案第1款删除其中所载的通知要求,因为据说第17条草案4款已经处理这一事项。
Those proposals did not receive support.这些建议没有得到支持。
87. The Committee considered paragraph 4 in the light of its decision to delete draft article 26, paragraph 9 (see paras. ‎121-‎125 below).87. 全体委员会结合其关于删除第26条第9款的决定(见下文第121-125段)审议了第4款。
In order to preserve the possibility for a party to apply to the arbitral tribunal for a preliminary order, it was proposed to modify draft article 17, paragraph 4, as follows:为保留一方当事人向仲裁庭申请初步令的可能性,建议对第17条草案第4款修改如下:
“All communications to the arbitral tribunal by one party shall at the same time be communicated by that party to all other parties except if delayed communication to the other party is necessary so that the arbitral tribunal can consider, when it is otherwise authorized to do so, a party’s request that it issue a preliminary order directing the other party not to frustrate the purpose of a requested interim measure while the tribunal considers that request.”“一方当事人应将其发给仲裁庭的所有函件同时发送其他各方当事人,除非延后向另一方当事人发送函件是必要的,以便仲裁庭在以其他方式获得授权的情况下,能够审议一方当事人要求其下达以下内容的初步令的请求,即指示另一方当事人不得在仲裁庭审议该请求时阻碍所请求的临时措施之目的。”
88. It was pointed out that there were other instances where communications by a party could not be sent at the same time to the other parties.88. 据指出,还存在一方当事人的函件不能同时发给另一方当事人的其他情形。
An example was the situation where arbitral institutions required that all communications be sent through them.一个例子是仲裁机构要求所有函件均通过仲裁机构发送的情形。
With the aim of adopting a broader approach to possible exceptions to the requirement of simultaneous communication, a proposal was made to delete the words “at the same time” from paragraph 4.为了更广泛地处理同时发送函件这项要求可能存在的除外情况,有建议提出从第4款删除“同时”二字。
An alternative proposal was made to amend paragraph 4 as follows: “All communications to the arbitral tribunal by one party shall at the same time be communicated by that party to all other parties, except as otherwise permitted by the arbitral tribunal.”提出了替代提案对第4款修改如下:“一方当事人应将其提交仲裁庭的所有函件同时发送其他各方当事人,仲裁庭另外允许的情形除外。
89. The alternative proposal received support.89. 该替代提案得到支持。
It was proposed to add at the end of the alternative proposal the words “or by applicable law”.有与会者建议在替代提案结尾处添加“或根据适用法”词语。
That proposal received some support, as it was seen as a safeguard and a limit to the possibility for delayed communications.该建议得到一定支持,因为它被视作对延后发送函件的可能性的保证和限制。
90. However, it was suggested that that inclusion might import in the Rules application of domestic law principles that might not be desirable, in particular in those instances where the laws did not contain limitations to delayed communications.90. 不过,有与会者提出,添加这样的词语可能会在《规则》中引入适用国内法原则的问题,如此一来可能并不可取,特别是如果这些法律并不包含对延后发送函件的限制的话。
91. In order to avoid any ambiguity as to the fact that the exception applied only to the timing of communication, it was suggested to divide the alternative proposal into two sentences along the lines of:91. 为了避免在除外情形仅适用于函件时间性的问题上产生任何模棱两可之处,建议将替代提案分为两句,其大意是:
“All communications to the arbitral tribunal by one party shall be communicated by that party to all other parties. Except as otherwise permitted by the arbitral tribunal, all such communications shall be made at the same time.”“一方当事人应将其提交仲裁庭的所有函件发送其他各方当事人。除仲裁庭另外允许的情形外,所有此类函件应同时发送。”
92. In response to concerns expressed by a few delegations on the alternative proposal, it was stated that the alternative proposal was not meant to affect the question whether an arbitral tribunal was authorized to issue orders without hearing parties.92. 针对几个代表团就替代提案提出的关切,会上指出,替代提案并非意在影响是否授权仲裁庭不听讯各方当事人即可下达命令这一问题。
In that respect, one delegation recalled that draft article 17, paragraph 1, required the arbitral tribunal to treat the parties with equality and to provide a fair and efficient process for resolving their dispute.一代表团就此回顾说,第17条第1款要求仲裁庭平等对待各方当事人并为解决当事人争议提供公平有效的程序。
With a view to clarifying that the Rules remained neutral by reference to applicable law as to whether the arbitral tribunal had the power to permit delayed communications, a suggestion was made to amend the second sentence of the alternative proposal so that paragraph 4 would read as follows:关于仲裁庭是否有权力允许延后发送函件的问题,为了说明《规则》是以提及适用法的方式采取中性立场,有建议提出对替代提案第二句作出修改,修改后第4款内容如下:
“All communications to the arbitral tribunal by one party shall be communicated by that party to all other parties. Such communications shall be made at the same time, except as otherwise permitted by the arbitral tribunal if it may do so under applicable law.”“一方当事人应将其提交仲裁庭的所有函件发送其他各方当事人。除仲裁庭可以根据适用法另外允许的情形外,所有此类函件应同时发送。”
The Committee adopted that suggestion.全体委员会采纳了这项建议。
93. The Committee adopted the substance of paragraph 4 as it appeared in paragraph ‎92 above.93. 全体委员会通过了上文第92段中载列的第4款的实质内容。
Paragraph 5第5款
94. The Committee considered paragraph 5, which allowed the arbitral tribunal to join a third party in the arbitration, under certain circumstances.94. 全体委员会审议了第5款,该款允许仲裁庭在某些情形下将第三方当事人并入仲裁程序。
It was pointed out that paragraph 5 provided that if a joinder would prejudice any of the parties, the provision gave the tribunal the possibility to deny it.据指出,第5款规定,如果并入将对任何一方当事人造成损害,该条文赋予仲裁庭拒绝并入的可能性。
It was said that joining a third person might deprive that person of its right to participate in the constitution of the arbitral tribunal.据认为,并入第三人将剥夺该人参与仲裁庭的组成的权利。
In that respect, it was clarified that the possible impact of the joinder on the validity or the enforceability of the award was a matter to be taken into account by the arbitral tribunal when assessing whether the joinder would cause prejudice to any of the parties.就此所作的解释是,并入可能对裁决的有效性和可执行性产生的影响,是仲裁庭在评估并入是否对任何一方当事人造成损害时应当考虑的问题。
95. After discussion, the Committee adopted the substance of paragraph 5 without modification.95. 经讨论,全体委员会未作修改通过了第5款的实质内容。
Place of arbitration仲裁地
Draft article 18第18条草案
96. It was said that draft article 18, paragraph 1, of the Rules stated that “the award shall be deemed to have been made at the place of arbitration”, and it was clarified that when the Rules were used by intergovernmental organizations, including the United Nations and its subsidiary organs, the reference to the place of arbitration should not be interpreted as a waiver of the organizations’ privileges and immunities.96. 会上指出,《规则》第18条草案第1款规定,裁决应“视为在仲裁地作出”,据解释,在政府间组织包括联合国及其附属机关使用《规则》时,提及仲裁地不应解释为放弃本组织的特权和豁免。
It was said that the United Nations and its subsidiary organs were not subject to local laws, including procedural laws concerning the conduct of the arbitration proceedings.据指出,联合国及其附属机关不受当地法律包括与进行仲裁程序有关的程序法约束。
97. The Committee confirmed the decision made by the Working Group to retain the phrase “place of arbitration”, and adopted the substance of draft article 18 without modification.97. 全体委员会确认了工作组关于保留“仲裁地”一语的决定,并未作修改通过了第18条草案的实质内容。
Language语言
Draft article 19第19条草案
98. The Committee adopted the substance of draft article 19 without modification. Statement of claim98. 全体委员会未作修改通过了第19条草案的实质内容。
仲裁申请书
Draft article 20第20条草案
Paragraph 1第1款
99. As a matter of drafting, it was proposed to add the words “referred to” in the second sentence of paragraph 1 before the words “in article 3”.99. 作为措词问题,有与会者建议将第1款第二句中“第3条规定的”改为“第3条述及的”。
That proposal was adopted by the Committee and, with that modification, the Committee adopted the substance of paragraph 1.全体委员会通过了该建议,作此修改后,全体委员会通过了第1款的实质内容。
Paragraphs 2 and 3第2和第3款
100. The Committee adopted the substance of paragraphs 2 and 3 without modification.100. 全体委员会未作修改通过了第2和第3款的实质内容。
Paragraph 4第4款
101. A suggestion was made to complement paragraph 4 with a text providing that in case documents could not be submitted with the statement of claim, the statement of claim should provide explanation and an indication as to when the missing document could be made available.101. 有建议提出以下列案文补充第4款,该案文规定如文件不能与申请书一起提交,应在申请书中作出解释,指明缺失文件何时可以提供。
That suggestion did not receive support as it was considered overregulating the matter.该项建议没有得到支持,认为对此事管理过度。
102. The Committee adopted the substance of paragraph 4 without modification. Statement of defence102. 全体委员会未作修改通过了第4款的实质内容。
答辩书
Draft article 21第21条草案
Paragraph 1第1款
103. As a matter of drafting, the Committee agreed to include the words “referred to” before the reference to “article 4” in the second sentence of draft article 21, paragraph 1.103. 作为措词问题,全体委员会一致认为应将第21条第1款草案第二句中“第4款规定的”改为“第4款述及的”。
With that modification, the Committee adopted the substance of paragraph 1.作此修改后,全体委员会通过了第1款的实质内容。
Paragraphs 2 and 3第2和第3款
104. The Committee adopted the substance of paragraphs 2 and 3 without modification.104. 全体委员会未作修改通过了第2和第3款的实质内容。
Paragraph 4第4款
105. It was noted that paragraph 4 provided that draft article 20, paragraphs 2 and 4, applied to a counterclaim and a claim relied on for the purpose of a set-off.105. 会上注意到,第4款规定第20条草案第2款和第4款适用于反请求和为抵消目的而依据的请求。
It was suggested that a reference to draft article 20, paragraph 3, be added to cater for the situation where a counterclaim or claim for the purpose of a set-off would be based on a contract or legal instrument different from the one submitted by the claimant in the statement of claim.建议补充提及第20条草案第3款,以适合以下情况,即反请求或为抵消目的的请求所依据的合同或法律文书并非申请人在仲裁申请书中所提交的合同或法律文书。
106. It was also proposed to include the phrase “, a claim under article 4, paragraph 2 (f),” after the words “a counterclaim”, in order to address the situation in which a respondent would have formulated a claim against a party to the arbitration agreement other than the claimant.106. 还建议,在“反请求”一词之后添加“第4条第2款(f)项述及的请求”,以处理被申请人对不是申请人的仲裁协议当事人提出请求的情况。
107. Both proposals received broad support and the Committee adopted the substance of paragraph 4 with the modifications contained in paragraphs ‎105 and ‎106 above.107. 两项建议都得到广泛支持,在作出上文第105段和第106段所载修改建议后,全体委员会通过了第4款的实质内容。
Amendments to the claim or defence对仲裁请求或答辩的变更
Draft article 22第22条草案
108. The Committee adopted the substance of draft article 22 without modification.108. 全体委员会未作修改核准了第22条草案的实质内容。
Pleas as to the jurisdiction of the arbitral tribunal对仲裁庭管辖权的抗辩
Draft article 23第23条草案
Paragraph 1第1款
109. It was noted that the phrase “shall have the power to rule” contained in article 21, paragraph 1, of the 1976 Rules had been replaced with the words “may rule” in draft article 23 of the revised Rules, which might be interpreted as weakening the power of the arbitral tribunal with respect to decisions on its own jurisdiction.109. 会上注意到,《规则》修订本第23条草案中已用“可……作出裁定”取代了1976年《规则》第21条第1款所载的“应有权……作出裁定”,前者可能被解释成削弱了仲裁庭对自身管辖权作出裁定的权力。
It was explained that the modification had been made for the purpose of aligning the language of the Rules with that of the UNCITRAL Model Law on International Commercial Arbitration.据解释,作此修改的目的是使《规则》措辞与《贸易法委员会国际商事仲裁示范法》相一致。
While it was acknowledged that the words “may rule” were appropriate in the context of a legislative text, it was said that the wording of the 1976 version of the Rules should be retained as it better expressed the power granted to the arbitral tribunal under a text of a contractual nature such as the Rules.虽然承认“可……作出裁定”在法律文本中是适当的,但指出还是应当保留1976年《规则》中的措辞,因为它们更好地表达了在类似《规则》的合同性案文中授予仲裁庭的权力。
It was agreed to revert to the language in the 1976 version of the Rules and to replace in the first sentence of paragraph 1 the word “may” appearing before the word “rule” with the words “shall have the power to”.会上一致同意恢复1976年《规则》的措辞,将第1款第一句中“裁定”一词前的“可”字改为“应有权力”。
With that modification, the Committee adopted the substance of paragraph 1.作此修改后,全体委员会通过了第1款的实质内容。
Paragraphs 2 and 3第2和第3款
110. The Committee adopted the substance of paragraphs 2 and 3 without modification.110. 全体委员会未作修改通过了第2和第3款的实质内容。
Further written statements进一步书面陈述
Draft article 24第24条草案
111. It was clarified that draft article 24, which dealt with further written statements that might be required from the parties, was meant to be a provision of a general nature and to include the possibility for the arbitral tribunal to require a response by the claimant to a counterclaim or claim for the purpose of a set-off.111. 会上解释说,关于可要求当事人提出进一步书面陈述的第24条草案意在成为一般性条款,并包括仲裁庭要求申请人对反请求或为抵消目的的请求作出答复的可能性。
112. The Committee adopted the substance of draft article 24 without modification.112. 全体委员会未作修改核准了第24条草案的实质内容。
Periods of time期间
Draft article 25第25条草案
113. It was said that the possibility for the arbitral tribunal to extend time limits provided for in the second sentence of draft article 25 if it considered that an extension was justified defeated the purpose of the first sentence of that provision, which was to determine a maximum time limit of 45 days for the communication of written statements.113. 据指出,允许仲裁庭认为有正当理由便可延长第25条草案第二句所规定的期限会使该条文头一句所述目的归于无效,其中规定传递书面陈述的期限最长不得超过45天。
Therefore, it was proposed to also provide for a time limit with respect to extension of time limits that might be decided by the arbitral tribunal.因此,有建议提出还应当就可以由仲裁庭决定的延长时限的期限作出规定。
That proposal did not receive support.该提议未获支持。
114. The Committee adopted the substance of draft article 25 without modification.114. 全体委员会未作修改通过了第25条草案的实质内容。
Interim measures临时措施
Draft article 26第26条草案
Paragraph 1第1款
115. The Committee adopted the substance of paragraph 1 without modification.115. 全体委员会未作修改通过了第1款的实质内容。
Paragraph 2第2款
116. As a matter of drafting, it was agreed to replace the words “to, including, without limitation:” appearing in the chapeau of paragraph 2 with the words “, for example and without limitation, to:”.116. 作为措词问题,建议将第2款前导句中“包括但不限于”改为“比如且不限于”。
117. With respect to paragraph 2 (c), which allowed the arbitral tribunal to order a party to provide a means of preserving assets out of which a subsequent award might be satisfied, it was said that the property and assets of the United Nations were immune from search, requisition, confiscation, expropriation and any other form of interference, whether by executive, administrative, judicial or legislative action pursuant to article II, section 3, of the Convention on the Privileges and Immunities of the United Nations.117. 第2(c)款允许仲裁庭命令一方当事人为日后使用资产兑现裁决而提供资产保全手段,对此,据指出,根据《联合国特权和豁免公约》第二条第三节,联合国的财产和资产豁免搜查、征用、没收、征收和任何其他形式的干扰,不论是由于执行行为、行政行为、司法行为还是立法行为。
It was further said that such immunity was absolute and might not be disposed of by any court or tribunal.还指出,这种豁免是绝对的,任何法院或法庭没有处置权。
In that regard, it was clarified that paragraph 2 (c) was not intended to affect the regime of privileges and immunities of the United Nations.在这方面,解释说第2(c)款无意影响联合国的特权和豁免制度。
118. With regard to state entities, a proposal was made to add to paragraph 2 (c) wording along the lines of: “nothing regarding that paragraph should be construed as derogating from the law on state immunity from execution”.118. 关于国家实体,有建议提出在第2(c)款添加大意如下的措辞:“本款的任何规定不应解释为减损有关豁免的法律的执行”。
A proposal was made to include a general provision to the effect that nothing in the Rules should be implied as a waiver of state immunities.还有一项建议是列入一则一般性规定,其大意是,《规则》的任何规定不应解释为放弃国家豁免权。
After discussion, the Committee agreed that such addition to paragraph 2 (c) was not appropriate in view of the generic nature of the Rules.经讨论,全体委员会一致认为,鉴于《规则》的通用性,无需在第2(c)款添加这些措辞。
It was also said to be unnecessary as nothing in the Rules was intended to affect the system of immunities and privileges of States and state entities.还指出,《规则》的任何规定无意影响国家和国家实体的豁免和特权制度。
119. After discussion, the Committee adopted the substance of paragraph 2 with the modification referred to in paragraph ‎116 above.119. 经讨论,在作出上文第116段提及的修改建议后,全体委员会通过了第2款的实质内容。
Paragraphs 3-8第3-8款
120. The Committee adopted the substance of paragraphs 3-8 without modification.120. 全体委员会未作修改通过了第3-8款的实质内容。
Paragraph 9第9款
121. The Committee recalled that, pursuant to chapter IV A of the Model Law on Arbitration with amendments as adopted in 2006, preliminary orders might be granted by an arbitral tribunal upon request by a party, without prior notice of the request to any other party, in the circumstances where it considered that prior disclosure of the request for the interim measure to the party against whom it was directed risked frustrating the purpose of the measure.121. 全体委员会回顾,根据委员会《贸易法委员会仲裁示范法》(2006年通过修正),在下述情况下,仲裁庭可应一方当事人请求,不将请求一事通知任何其他当事人而下达初步令:仲裁庭认为事先向临时命令所针对的当事人披露临时措施请求有可能损害该措施的目的。
The Committee further recalled the extensive discussions in the Working Group that had resulted in the adoption of paragraph 9.全体委员会还回顾工作组曾进行广泛讨论,最后通过了第9款。
It was recalled that there were diverging views in the Working Group with respect to preliminary orders.会上回顾,工作组内在初步令的问题上存在分歧。
122. It was explained that the Working Group had agreed to the inclusion of paragraph 9 on the basis that it clarified that it would not be possible for an arbitral tribunal to grant preliminary orders in legal systems that did not allow them and that the power to grant preliminary orders had to be found outside these Rules.122. 解释说,工作组同意列入第9款,是基于该款明确指出,仲裁庭不可能在不允许下达初步令的法律制度中下达初步令,下达初步令的权力必须是在本《规则》之外。
It was further explained that the text of draft paragraph 9 had been initially drafted for insertion in explanatory material accompanying the Rules.还解释说,最初起草第9款草案的案文时是想将其列入《规则》随附的解释性材料。
123. It was suggested to delete paragraph 9 on the basis that its drafting was unclear, did not provide a rule and was unnecessary.123. 有与会者建议删除第9款,理由是其措辞不明确,未提供一项规则,并且是不必要的。
124. In support of retaining paragraph 9, it was stated that paragraph 9 reflected existing practice and promoted a neutral approach to the question of preliminary orders.124. 支持保留第9款者指出,第9款反映了现行做法,它促进在初步令问题上采取中性立场。
It was also pointed out that draft article 17, paragraph 4, which required that all communications to the arbitral tribunal by one party be at the same time communicated to all other parties, contained a reference to draft article 26, paragraph 9 (see para. 93 above).还指出,第17条草案第4款要求“一方当事人将其提交仲裁庭的所有函件同时发送其他各方当事人”,其中提到了第26条草案第9款(见上文第93段)。
It was stated that deletion of paragraph 9 would disassemble a carefully crafted compromise, which was seen as reconciling the diverging views expressed in the Working Group on the question of preliminary orders.据指出,删除第9款将打破一个精心设计的折中办法,而这种办法被认为是调和了工作组在初步令问题上的歧见。
125. After discussion, the Committee agreed to delete paragraph 9.125. 经讨论,全体委员会一致同意删除第9款。
Paragraph 10第10款
126. The Committee adopted the substance of paragraph 10 without modification.126. 全体委员会未作修改通过了第10款的实质内容。
Evidence证据
Draft article 27第27条草案
127. In response to a suggestion to include in draft article 27 a provision regarding the possibility of cross-examining witnesses, it was clarified that there were no restrictions under draft article 27 as to the manner in which witnesses might be examined.127. 关于在第27条草案中列入可否质证证人的一则条文的建议,会上解释所,第27条草案对询问证人的方式并无任何限制。
That suggestion did not receive support.该建议未获支持。
128. After discussion, the Committee adopted the substance of draft article 27 without modification. Hearings128. 经讨论,全体委员会未作修改通过了第27条草案的实质内容。
开庭审理
Draft article 28第28条草案
Paragraphs 1-3第1-3款
129. The Committee adopted the substance of paragraphs 1-3 without modification.129. 全体委员会未作修改通过了第1-3款的实质内容。
Paragraph 4第4款
130. A suggestion was made to add language at the end of paragraph 4 to clarify that examination of witnesses or experts in a manner that would not require their physical presence should be justified by specific circumstances.130. 有建议提出在第4款结尾处添加措词,以澄清采用无需证人或专家亲自到庭的方式对其加以询问应当为具体情形所必需。
In response to that suggestion, it was said that it might not be appropriate to provide for such a restriction in the light of technological developments in the field of communication.针对该建议,有与会者指出,考虑到通讯领域的技术发展,作出这类限制可能并不合适。
131. After discussion, the Committee adopted the substance of paragraph 4 without modification.131. 经讨论,全体委员会未作修改通过了第4款的实质内容。
Experts appointed by the arbitral tribunal仲裁庭指定的专家
Draft article 29第29条草案
132. The Committee adopted the substance of draft article 29 without modification. Default132. 全体委员会未作修改通过了第29条草案的实质内容。
缺席审理
Draft article 30第30条草案
133. In response to a question whether there could be any inconsistency between draft article 30, paragraph 1 (b), and draft article 32, it was explained that those two provisions dealt with different matters: draft article 30, paragraph 1 (b), addressed matters pertaining to the substance of the case, whereas draft article 32 related to matters of a procedural nature.133. 针对第30条草案第1(b)款与第32条草案之间是否存在任何不一致之处的问题,有与会者解释说,这两则条文述及不同事项:第30条草案第1(b)款述及与案件实体相关的事项,而第32条草案涉及程序事项。
134. The Committee adopted the substance of draft article 30 without modification. Closure of hearings134. 全体委员会未作修改通过了第30条草案的实质内容。
开庭终结
Draft article 31第31条草案
135. In paragraph 1, a drafting suggestion was made to replace the word “or” appearing before the word “witnesses” with the word “including”, as witnesses were a mode of proof.135. 关于第1款的措词,建议将“证人”一词前的“或者”改为“包括”,因为证人也是一种举证方式。
That proposal did not receive support.该提议未获支持。
136. The Committee adopted the substance of draft article 31 without modification.136. 全体委员会未作修改通过了第31条草案的实质内容。
Waiver of right to object放弃异议权
Draft article 32第32条草案
137. The Committee adopted the substance of draft article 32 without modification.137. 全体委员会未作修改通过了第32条草案的实质内容。
Section IV.第四章 裁决
The award
Decisions决定
Draft article 33第33条草案
138. It was suggested to modify draft article 33 to the effect that, in the absence of a majority, the award could be made by the presiding arbitrator alone.138. 有建议提出对第33条草案加以修改,修改内容大致为,没有多数的,首席仲裁员可单独作出裁决。
In response, the Committee recalled the extensive discussion in the Working Group that had led to the current text of the provision.全体委员会就此回顾工作组曾进行广泛讨论并由此形成该条文的现行案文。
Since the proposed change continued to provoke a division of opinion, it was not agreed to.由于所提议的修改仍然导致意见分歧,该建议未得到同意。
139. After discussion, the Committee adopted the substance of draft article 33 without modification.139. 经讨论,全体委员会未作修改通过了第33条草案的实质内容。
Form and effect of the award裁决的形式和效力
Draft article 34第34条草案
Paragraph 1第1款
140. The Committee adopted the substance of paragraph 1 without modification.140. 全体委员会未作修改通过了第1款的实质内容。
Paragraph 2第2款
141. The Committee considered paragraph 2 and noted that it was one of the provisions on which the Working Group did not reach agreement during the third reading of the draft revised Rules.141. 全体委员会审议了第2款,并注意到该款是工作组三读《规则》修订草案期间未达成一致意见的款项之一。
142. The Committee adopted the substance of the first two sentences of paragraph 2.142. 全体委员会通过了第2款头两句的实质内容。
The discussion focused on the third sentence, which contained a waiver to recourse.讨论侧重于第三句,其中载有对放弃追诉的规定。
143. While some support was expressed for spelling out the recourses that were excluded from the scope of the waiver, it was also felt that the language proposed might create ambiguity regarding the scope of the waiver, in particular with regard to whether the waiver encompassed the ability to resist enforcement of an award.143. 虽然有些意见表示支持对排除在放弃范围之外的追诉加以阐明,但也认为所提议的措词可能在放弃的范围方面造成含义不清,尤其是在这种放弃是否包括抵制强制执行一项裁决的能力方面。
It was proposed to replace the third sentence of paragraph 2 with a formulation along the lines of rule 28, paragraph 6, of the Rules of Arbitration of the International Chamber of Commerce (ICC) or rule 26.9 of the Arbitration Rules of the London Court of International Arbitration (LCIA), which provided in substance that the parties waived their rights insofar as such waiver could validly be made, without defining the specific recourses waived.有与会者提议将第2款第三句话改为大意如《国际商会仲裁规则》第28条第6款或《伦敦国际仲裁法院规则》第26.9条规则的案文,其中作出的实质性规定是,各方当事人只要可有效放弃其权利即为放弃其权利,而无须界定所放弃的具体追诉。
144. It was also said that it would not be possible to accurately list the exceptions to the waiver as proposed in paragraph 2, as such list would have to cover all forms of recourse that might not be waived in all legal systems.144. 还指出,不可能准确地列举第2款所提议的放弃的例外情况,因为此种列举必须涵盖不一定能在所有法律制度中放弃的所有形式的追诉。
Following that approach, a proposal was made to amend the third sentence of paragraph 2 as follows: “Insofar as they may validly do so by adopting these Rules, the parties waive their right to any form of appeal or review of an award to any court or other competent authority.”遵循这一做法,提议对第2款第三句修正如下:“各方当事人只要通过采用该《规则》而可以有效地这样做,即对所作裁决放弃其向任何法院或其他主管机构提起任何形式的上诉或复议的权利。
145. The concern was expressed that a general waiver without any qualifications might be ineffective and would not provide sufficient guidance to the parties.145. 有与会者表示关切一项没有任何限定的一般放弃可能不具有效力,因而无法向当事人提供充分的指导。
Parties might not be aware that certain forms of recourse could not be waived in most legal systems.当事人可能并未意识到在大多数法律制度中某些形式的追诉权是不可放弃的。
In the few systems where a waiver was possible, various requirements had to be met for the waiver to be valid, depending on the applicable law.在可作此放弃的少数制度中,要使放弃具有效力就必须满足各种要求,视适用的法律而定。
An alternative proposal was made to modify the third sentence of paragraph 2 as follows: “The parties waive their right to any form of appeal, review or recourse against an award to any court or other competent authority that may be waived under the applicable law, and the waiver of which does not require a specific agreement.”为修改第2款第三句提出的替代提案案文如下:“各方当事人即对所作裁决放弃根据适用法律可予以放弃的向任何法院或其他主管机构提起任何形式的上诉、复议或追诉的权利,而且放弃这些权利不要求有具体协议。
146. Another concern was expressed regarding the consequence that such a general waiver might entail for the privileges and immunities of sovereign entities or intergovernmental organizations when using the UNCITRAL Arbitration Rules.146. 另有与会者表示关切在使用《贸易法委员会仲裁规则》时这样一项一般性规定可能会对主权实体或政府间组织的特权和豁免权产生的后果。
It was pointed out that the provision on waiver of recourses should not be deemed a waiver, express or implied, of any of the privileges and immunities of sovereign entities or of intergovernmental organizations, including the United Nations and its subsidiary organs.据指出,关于放弃追诉权的规定不应视为明示或默示放弃包括联合国及其附属机关在内的主权实体或政府间组织的任何特权和豁免权。
147. In view of the difficulties in properly defining the limits of the waiver, and on the basis that that matter should be left to be addressed by applicable law, a proposal was made to delete the third sentence from paragraph 2 and to place its substance in an annex to the Rules, following the draft model arbitration clause for contracts.147. 鉴于难以适当地界定此种放弃的限度,以及基于这一事项应留给适用法律处理这一原则,有建议提出删除第2款第三句话,并效仿合同中的示范仲裁条款草案,将这一句的实质内容置于《规则》的一个附件中。
That proposal was adopted by the Committee with the waiver statement reading as follows: “The parties hereby waive their right to any form of recourse against an award to any court or other competent authority, insofar as such waiver can validly be made under the applicable law.”全体委员会采纳了这一提议,关于放弃的声明内容如下:“各方当事人放弃其就一项裁决向任何法院或其他主管机构提起任何形式追诉的权利,但根据适用法律放弃无效的除外。
148. It was further proposed to include the waiver statement under the draft model arbitration clause for contracts, as an additional item that the parties should consider adding.148. 还进一步提议将放弃声明列于合同中的示范仲裁条款草案之下,作为当事人应考虑增列的另一个项目。
In support of that approach, it was said that such a waiver provision in the model arbitration clause would be a useful reminder for the parties to explicitly waive recourses.有与会者赞成这一做法,指出示范仲裁条款中的这一放弃条文有助于提醒当事人明确放弃追诉权。
However, it was said that the matters listed under the model arbitration clause related to basic procedural aspects, such as the number of arbitrators, place of arbitration and language.但据指出,示范仲裁条款下列举的事项与诸如仲裁员人数、仲裁地和仲裁语言等基本程序方面有关。
It was pointed out that the waiver statement was of a different nature, and it would be useful to provide some guidance to the parties on the effect of that statement and its interplay with applicable laws.据指出,放弃声明具有不同性质,因此有必要就这一声明的效力及其与适用法律的相互作用向当事人提供某种指导。
149. Therefore, it was proposed to place the waiver statement following the draft model arbitration clause with the heading “Possible waiver statement” and to add a note before the waiver statement along the lines of: “If the parties wish to exclude recourse against the arbitral award that may be available under the applicable law, they may consider adding a provision to that effect as suggested below, considering however that the effectiveness and conditions of such an exclusion depend on the applicable law.”149. 为此,有与会者提议将示范仲裁条款草案后面的放弃声明加上标题——“可考虑增列的放弃声明”,并在放弃声明之前加注,其写法如下:“如果各方当事人希望排除可能根据适用法律对仲裁裁决提出的追诉,可以考虑加上一则条文,大意如下文所提议,但须考虑到此种排除条文的效力和条件取决于适用法律。
Support was expressed for that proposal.”有与会者表示支持这一提议。
150. Concern was expressed that not including the waiver in the model arbitration clause might diminish its importance for the users of the Rules.150. 有关切表示,不将放弃声明包括在示范仲裁条款之内可能会降低此种声明对《规则》使用者的重要性。
In response, it was said that both the waiver and the model arbitration clause were placed in the annex to the Rules and thus both were optional to the parties.有与会者就此指出,放弃声明和示范仲裁条款都列于《规则》的附件中,因此二者都是当事人的选项。
151. After discussion, the Committee agreed to delete the third sentence of paragraph 2 and to include the “possible waiver statement” following the draft model arbitration clause in the annex to the Rules as provided for in paragraphs ‎147 and ‎149 above.151. 经讨论,全体委员会商定,删除第2款第二句,并按上文第147和149段所述,将“可考虑增列的放弃声明”列入《规则》附件,放在示范仲裁条款草案的后面。
Paragraphs 3-6第3-6款
152. With respect to paragraph 5, which regulated conditions of publication of an award, it was said that as a means of ensuring the adequate protection of the privileges and immunities of the United Nations, including its subsidiary organs, the Organization generally provided that, when required by law, a third party was allowed to disclose certain information pertaining to the United Nations, subject to and without any waiver of the privileges and immunities of the United Nations.152. 关于对裁决的公布条件加以规范的第5款,有与会者指出,作为确保为联合国及其附属机关的特权和豁免权提供充分保护的一种手段,联合国组织有一项基本规定,即如果法律有要求,则允许第三方披露与联合国有关的某些信息,但须尊重并且不得以任何方式放弃联合国的特权和豁免权。
For that reason, third parties were generally required to give the United Nations sufficient prior notice of a request for the disclosure of such information in order to allow the United Nations to take protective measures or such other action as might be appropriate before any such disclosure was made.为此,一般要求第三方就其披露此种信息的请求向联合国发出充分的事先通知,以便联合国能够在任何此类披露发生之前采取保护措施或其他可能适当的行动。
It was clarified that paragraph 5 should not be interpreted as a limitation on the United Nations ability to impose restrictions on the disclosure of information against its privileges and immunities.会上解释说,第5款不应解释为限制联合国对不顾其特权和豁免权而披露信息的行为加以限制的能力。
153. The Committee adopted the substance of paragraphs 3-6 without modification.153. 全体委员会未作修改通过了第3-6款的实质内容。
Applicable law, amiable compositeur适用法律,友好和解人
Draft article 35第35条草案
Paragraph 1第1款
154. It was pointed out that the reference in the second sentence of paragraph 1 to “the law” that the arbitral tribunal determined to be appropriate in the absence of an express choice of the parties could be interpreted as excluding the arbitral tribunal’s power to apply “rules of law”.154. 有与会者指出,第1款第二句中关于在各方当事人未有明确选择的情况下仲裁庭认为适当的“法律”的提法可能会被解释为排除仲裁庭适用“法律规则”的权力。
It was said that such an approach would differ from the solutions adopted by rules of other international arbitration institutions (such as art. 17, para. 1, of the ICC Rules, article 22.3 of the LCIA Rules or art. 33, para. 1 of the Swiss Rules of International Arbitration).据指出,这种做法有别于其他国际仲裁机构的规则(例如,《国际商会规则》第17条第1款、《伦敦仲裁院规则》第22.3条,或《瑞士国际仲裁规则》第33条第1款)所采取的解决办法。
It was suggested to amend the second sentence of draft article 35, paragraph 1, as follows: “Failing such designation by the parties, the arbitral tribunal shall apply the law or rules of law which it determines to be appropriate.”有建议提出对第35条草案第1款第二句修改如下:“各方当事人未作此项指定的,仲裁庭应适用其确定为适当的法律或法律规则”。
155. In response, it was explained that paragraph 1 was meant to increase the parties’ and the arbitral tribunal’s flexibility in determining the applicable law.155. 有与会者就此解释说,第1款的本意是让当事人和仲裁庭在确定适用法律方面有更多的灵活性。
It was noted that, while under the corresponding provision of the 1976 version of the UNCITRAL Arbitration Rules the parties were expected to choose the “law” to be applied to the merits of the dispute, under the draft revised version they would be allowed to choose “rules of law”, a phrase generally understood to mean any body of rules, not necessarily emanating from a State.据指出,虽然《贸易法委员会仲裁规则》1976年版本的相应条文要求当事人选择适用于实体争议的“法律”,但修订本草案将允许当事人选择“法律规则”,这个词通常被理解为是指任何规则体系,而不一定是与某一国家有渊源的规则。
It was further noted that, regarding the arbitral tribunal’s choice of the applicable law in case the parties had not made a choice themselves, the 1976 version of the Rules instructed the tribunal to choose the governing law by applying conflict-of-laws rules that it considered applicable.还指出,关于在当事人未作选择的情况下由仲裁庭选择适用法律的问题,《规则》1976年版本指示仲裁庭通过适用其认为适用的冲突法规则来选择管辖法律。
It was explained that the draft revised version did not mention conflict-of-laws rules, thereby enhancing flexibility.会上解释说,修订本草案不提及冲突法规则,从而提供了更多灵活性。
It was also said that the decision of the Working Group not to give to the arbitral tribunal the discretion to designate “rules of law” where the parties had failed to make a decision regarding the applicable law was the result of careful consideration.另据指出,,工作组之所以决定不让仲裁庭在当事人未就适用法律作出决定的情况下享有指定“法律规则”的裁量权,是经过认真考虑的。
156. It was also stated that, in any case, parties and the arbitral tribunal were not completely free to choose the applicable law.156. 会上还指出,无论如何,当事人和仲裁庭在选择适用法律上并不享有完全的自由。
It was explained that the validity and enforceability of the award depended on the applicable law and on the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (1958) (the New York Convention).据解释,裁决的效力和可执行性取决于适用法律以及《承认及执行外国仲裁裁决公约》(1958年)(《纽约公约》)。
For instance, under article V of the New York Convention, an award was invalid or unenforceable if a party to the arbitration agreement was under some incapacity under its law, if the award was on a matter that was not arbitrable under the law applied by the court or if it conflicted with the public policy of the forum.举例来说,根据《纽约公约》第五条,有下列情况的,裁决无效或无法执行:仲裁协议一方当事人根据其法律不具有某种行为能力、裁决所涉事项根据法院所适用的法律无法加以仲裁,或者裁决与法院的公共政策抵触。
It was highlighted that relevant laws regarding legal capacity, arbitrability and public policy should be taken into consideration.会上强调指出,应当考虑到法律行为能力、可仲裁性和公共政策等方面的相关法律。
157. After discussion, the Committee adopted the substance of paragraph 1 without modification.157. 经讨论,全体委员会未作修改通过了第1款的实质内容。
Paragraphs 2 and 3第2和第3款
158. The Committee adopted the substance of paragraphs 2 and 3 without modification.158. 全体委员会未作修改通过了第2和第3款的实质内容。
Settlement or other grounds for termination和解或其他终止仲裁的理由
Draft article 36第36条草案
159. The Committee adopted the substance of draft article 36 without modification. Interpretation of the award159. 全体委员会未作修改通过了第36条草案的实质内容。
裁决书的解释
Draft article 37第37条草案
160. The Committee adopted the substance of draft article 37 without modification.160. 全体委员会未作修改通过了第37条草案的实质内容。
Correction of the award裁决书的更正
Draft article 38第38条草案
161. The Committee adopted the substance of draft article 38 without modification.161. 全体委员会未作修改通过了第38条草案的实质内容。
Additional award补充裁决
Draft article 39第39条草案
162. The Committee adopted the substance of draft article 39 without modification.162. 全体委员会未作修改通过了第39条草案的实质内容。
Definition of costs费用定义
Draft article 40第40条草案
163. It was noted that the definition of costs contained in draft article 40, paragraph 2 (f), referred to “any fees and expenses of the appointing authority”, but only to “the expenses” of the Secretary-General of the PCA.163. 有与会者注意到,第40条草案第2(f)款所载费用定义述及“指定机构的任何收费和开支”,但在述及常设仲裁院秘书长时仅提及“开支”。
It was suggested to add the word “fees” in the reference to the Secretary-General of the PCA in that paragraph.建议该项在述及常设仲裁院秘书长时还加上“收费”一词。
That suggestion received support and, with that modification, the Committee adopted the substance of draft article 40.该建议获得支持,作此修改后,全体委员会通过了第40条草案的实质内容。
Fees and expenses of arbitrators仲裁员的收费和开支
Draft article 41第41条草案
164. The Committee considered draft article 41 and noted that paragraphs 3 and 4 had not been fully considered by the Working Group during the third reading of the draft revised Rules.164. 全体委员会审议了第41条草案,注意到工作组在对《规则》修订本草案进行三读期间尚未对第3和第4款作充分审议。
Paragraph 1第1款
165. The Committee adopted the substance of paragraph 1 without modification.165. 全体委员会未作修改通过了第1款的实质内容。
Paragraph 2第2款
166. It was observed that the words “has been agreed upon by the parties or designated by the Secretary-General of the PCA, and if that authority” appearing in paragraph 2 could be deleted as they were viewed as redundant.166. 据指出,第2款中的“由各方当事人约定或者由常设仲裁院秘书长指派,并且该指定机构对……的”一语由于被视为多余而可予以删除。
That proposal received support.该提议获得支持。
It was further proposed to replace the word “an” appearing before the words “appointing authority” at the beginning of paragraph 2 with the word “the” for the sake of clarity.还有与会者提议,为清楚起见,将第2款开头处“指定机构”一词前的“an”改为“the”。
Concern was expressed that those proposals would not be consistent with the fact that an appointing authority would not necessarily be designated in each case.有与会者关切地指出,这些提议与并非每一案件一定要指派指定机构这一事实可能不符。
To accommodate that concern, it was proposed to begin paragraph 2 with the words “If there is an appointing authority and it applies”.为顾及这一关切,有与会者提议第2款从“有指定机构并且其适用……”一语开始。
That proposal received broad support.该提议获得广泛支持。
The Committee adopted the substance of paragraph 2 with the aforementioned modification.全体委员会作上述修改后通过了第2款的实质内容。
Paragraph 3第3款
167. The Committee adopted the substance of paragraph 3 without modification.167. 全体委员会未作修改通过了第3款的实质内容。
Paragraph 4第4款
168. As a matter of principle, the question was raised whether the cost review mechanism designed under draft article 41 should be included in the Rules, as it might be seen as introducing complexities, and might give rise to abuse by losing parties that might seek review of fees to delay enforcement of an award.168. 作为原则问题,有与会者询问是否应当把第41条草案所设计的费用审查机制列入《规则》,因为这可能会被看作引入一些复杂因素,并可能导致败诉方当事人滥用此种机制,试图借费用审查拖延裁决的执行。
It was further said that the review mechanism would only address a situation rarely occurring in practice.另据指出,审查机制只涉及实践中极少出现的一种情况。
In response, it was said that the review mechanism included in paragraph 4 would promote confidence in arbitration, that the risk of abuse was countered by the fact that the review did not affect any determination in the award, that paragraph 4 constituted the best compromise reached after extensive discussion in the Working Group and that the review mechanism would make the Rules attractive for users.会上就此指出以下几点:第4款所列审查机制将能增进对仲裁的信任、审查不影响裁决书中任何事项的裁决足以抵消滥用风险、第4款是工作组经广泛讨论而达成的最佳折中办法,且审查机制将使《规则》对用户产生吸引力。
169. After discussion, the Committee agreed on the principle of including a cost review mechanism in the Rules and turned its attention to the drafting of paragraph 4 with a view to simplifying it.169. 经讨论,全体委员会就费用审查机制列入《规则》这一原则达成一致,并转而注意推敲第4款的措词,使之更加精练。
170. It was noted that the second and third sentences of paragraph 4 were not consistent as the second sentence dealt with the hypothesis of the non-existence of an appointing authority whereas the third sentence, by referring to draft article 6, paragraph 4, dealt with the situation where the appointing authority refused or failed to act.170. 据指出,第4款的第二句和第三句不一致,因为第二句述及指定机构并不存在这一假设,而第三句则采取引用第6条草案第4款的方法来述及指定机构拒绝行事或未予行事的情形。
It was suggested that those words should be deleted along with the second sentence of draft article 6, paragraph 4, and that the second sentence of paragraph 4 be modified along the lines of: “Within 15 days of receiving the arbitral tribunal’s determination of fees and expenses, any party may refer for review such determination to the appointing authority, or if no appointing authority has been agreed upon or designated or if the appointing authority refuses or fails to make any decision, to the Secretary-General of the PCA.”建议将这些词句连同第6条草案第4款的第二句一并删除,并且对第4款第二句大致修改如下:“在收到仲裁庭对收费和开支的确定方法后15天内,任何一方当事人均可将此种确定方法提请指定机构审查,未约定或未指派指定机构的,或指定机构拒绝或未作出任何决定的,可提请常设仲裁院秘书长审查。
171. It was further proposed to delete the words “pursuant to article 38” at the end of paragraph 4 and to add a sentence at the end of paragraph 4 along the lines of “Article 38, paragraph 3, shall apply.” , which would clarify that the adjustments to be made on the fees and expenses were not errors or omissions in the sense of draft article 38, but that the procedure of draft article 38, paragraph 3, applied.171. 还有与会者提议删除第4款结尾“根据第38条”一语,并在第4款结尾加上一句话,内容大致为“第38条第3款应予适用”,目的是澄清,拟就收费和开支而作出的调整并非第38条草案所指的错误或遗漏,而是指将适用第38条第3款所述程序。
172. After discussion, the Committee adopted the substance of paragraph 4 as follows:172. 经讨论,全体委员会通过了第4款的下述实质内容:
“4. (a) When informing the parties of the arbitrators’ fees and expenses that have been fixed pursuant to article 40, paragraphs 2 (a) and (b), the arbitral tribunal shall also explain the manner in which the corresponding amounts have been calculated;“4. (a) 向各方当事人通知根据第40条第2款(a)项和(b)项确定的仲裁员收费和开支时,仲裁庭还应解释相应金额的计算方式;
“(b) Within 15 days of receiving the arbitral tribunal’s determination of fees and expenses, any party may refer for review such determination to the appointing authority. If no appointing authority has been agreed upon or designated, or if the appointing authority fails to act within the time specified in these Rules, then the review shall be made by the Secretary-General of the PCA;“(b) 收到仲裁庭收费和开支确定方法后15天内,任何一方当事人均可将此种确定方法提请指定机构审查。未约定或未指派指定机构的,或者指定机构在本《规则》列明的期限内不作为的,应由常设仲裁院秘书长审查;
“(c) If the appointing authority or the Secretary-General of the PCA finds that the arbitral tribunal’s determination is inconsistent with the arbitral tribunal’s proposal (and any adjustment thereto) under paragraph 3 or is otherwise manifestly excessive, it shall, within 45 days of receiving such a referral, make any adjustments to the arbitral tribunal’s determination that are necessary to satisfy the criteria in paragraph 1. Any such adjustments shall be binding upon the arbitral tribunal;“(c) 如果指定机构或常设仲裁院秘书长认为仲裁庭确定的费用和开支与仲裁庭根据第3款提议的费用和开支(及其任何调整)不一致,或者明显过高,指定机构或常设仲裁院秘书长应在收到审查请求后45天内,对仲裁庭的确定方法作出任何必要调整,使之符合第1款的标准。任何此种调整对仲裁庭具有约束力;
“(d) Any such adjustments shall either be included by the tribunal in its award or, if the award has already been issued, be implemented in a correction to the award, to which the procedure of article 38, paragraph 3, shall apply.”“(d) 仲裁庭应将任何此种调整写入裁决书,裁决书已下达的,应适用第38条第3款规定的程序对裁决书作出更正,完成此种调整。”
Deposit for the payment of the fee review为付费审查交存款项
173. Concern was expressed that draft article 41, paragraph 4, did not provide for the payment of the costs incurred by the appointing authority or the Secretary-General of the Permanent Court of Arbitration for their review of the arbitrator’s fees and expenses.173. 有关切指出,第41条草案第4款未就指定机构或常设仲裁院秘书长为审查仲裁员的收费和开支而负担的费用支付问题作出规定。
In that regard, it was proposed to include an additional paragraph following paragraph 4 along the lines of:有与会者就此提议在第4款之后另增一款,其内容大致为:
“A party referring for review, under paragraph 4, the arbitral tribunal’s determination of fees and expenses shall at the time of such referral deposit with the reviewing authority a sum, to be determined by the reviewing authority to cover the estimated cost of such review. Any excess amount shall be determined by the reviewing authority at the completion of the review.”“一方当事人根据第4款提请对仲裁庭所确定的收费和开支办法进行审查的,应当在提请审查之时向审查机构交存一笔其数额由审查机构确定的款项,以此支付这类审查的估计费用。任何添加款项都应由审查机构在完成审查后加以确定。”
Some support was expressed for the inclusion of such a provision on the ground that the payment of a deposit would deter parties from making frivolous requests for review.有与会者以支付交存款可阻止各方当事人提出无谓的审查请求为理由而对列入这则条文表示某种支持。
174. After discussion and particularly in view of the agreed additions to paragraph 6 (see para. ‎177 below), the Committee agreed that it was not necessary to include a provision on a deposit for the costs of the reviewing authorities.174. 经讨论,特别鉴于已同意在第6款中添加内容(见下文第177段),全体委员会商定没有必要列入一则关于交存审查机构费用的条文。
Paragraph 5第5款
175. The Committee adopted the substance of paragraph 5 without modification.175. 全体委员会未作修改通过了第5款的实质内容。
Paragraph 6第6款
176. It was said that the cost review mechanism could delay the arbitral proceedings and might go beyond the scope of a review on the costs of the arbitrators only.176. 据指出,费用审查机制可能会延缓仲裁程序的进行,并且可能超出了仅对仲裁员的费用加以审查的范围。
To address the concern that the cost review might delay the recognition and enforcement of the award, it was proposed to include a second sentence in paragraph 6 along the lines of: “If an award containing the tribunal’s determination of its fees and expenses is referred for review pursuant to paragraph 4, all provisions in the award other than those that relate to the determination of fees and expenses shall, to the maximum extent authorized by applicable law, be subject to immediate recognition and enforcement.”针对就费用审查可能会导致延缓承认和执行裁决所表达的关切,有与会者提议在第6款中列入内容大致如下的第二句:“根据第4款将载有仲裁庭关于其费用和开支确定方法的裁决书提请审查的,应当在适用法律所准许的最大限度内,立即承认和执行裁决书中除费用和开支确定方法相关条文以外的其他所有条文。
177. That proposal received support and, with a view to simplifying its drafting, the Committee agreed to add at the end of paragraph 6 the words “; nor shall it delay the recognition and enforcement of all parts of the award other than those relating to the determination of the arbitral tribunal’s fees and expenses”.177. 该提议获得支持,为简化其行文,全体委员会商定在第6款结尾添加词语如下:“,也不得延迟除仲裁庭的收费和开支的确定之外裁决书中所有部分的承认和执行。
With that modification, the Committee adopted the substance of paragraph 6.”作此修改后,全体委员会通过了第6款的实质内容。
Allocation of costs费用分担
Draft article 42第42条草案
178. The question was raised whether the words “any other award” appearing in paragraph 2 should be replaced with the words “any other decision”, so as to align the wording of that paragraph with the term used in draft article 40, paragraph 1.178. 有与会者询问是否应当把第2款中“其他任何裁决”一语改为“其他任何决定”,以便该款的措词与第40条草案第1款中的用语保持一致。
In response, it was explained that draft article 42 dealt with the determination of amounts that a party might have to pay to another party as a result of the decision on allocation of costs, and that decision was to be found in an award.有与会者就此解释说,第42条草案涉及由于费用分担的决定一方当事人可能不得不向另一方当事人支付的款项的确定方法,而且该决定应写入裁决书。
179. After discussion, the Committee adopted the substance of draft article 42 without modification.179. 经讨论,全体委员会未作修改通过了第42条的实质内容。
Deposit of costs费用交存
Draft article 43第43条草案
180. The Committee adopted the substance of draft article 43 without modification.180. 全体委员会未作修改通过了第43条草案的实质内容。
Placement of the draft model arbitration clause for contracts and the model statements of independence pursuant to article 11 of the Rules合同中的示范仲裁条款草案和根据《规则》第11条作出的独立性声明 范文的位置
181. The Committee agreed to place the draft model arbitration clause for contracts and the draft model statements of independence pursuant to article 11 of the Rules in an annex to the revised Rules and to include a reference to them in the table of contents of the revised Rules, as well as in a footnote to the corresponding articles referring to that annex.181. 全体委员会商定,将合同中的示范仲裁条款草案和根据《规则》第11条作出的独立性声明范文草案放在《规则》修订本的附件中,并在《规则》修订本目录表以及在提及该附件的相应条款的脚注中列入一则有关它们的参引条目。
Draft model arbitration clause for contracts合同中的示范仲裁条款草案
182. The Committee adopted the substance of the draft model arbitration clause for contracts without modification.182. 全体委员会未作修改通过了合同中的示范仲裁条款草案的实质内容。
Draft model statements of independence pursuant to article 11 of the Rules根据《规则》第11条作出的独立性声明范文草案
183. As a matter of drafting, the Committee agreed to delete the word “hereby” where that word appeared in the draft model statements of independence.183. 关于措词,全体委员会商定删除在独立性声明范文草案中出现的“hereby”一词。
184. A proposal was made to include in the statements a reference to legal counsels, witnesses and experts, from which the arbitrator had to be independent.184. 有建议提出在声明中提及仲裁员必须对其保持独立性的各方当事人的法律顾问、证人和专家。
In response, it was said that such a statement would be difficult to make in relation to witnesses and experts, as they were not all known to the arbitrator at the time his or her statement would be made.有与会者就此指出,对证人和专家难以作出这类声明,因为仲裁员在作出声明之时对他们并不都很了解。
Although some support was expressed for the inclusion of the legal counsels to the parties, the prevailing view was that such an inclusion might not be necessary as the statement was drafted in a broad manner, encompassing all circumstances likely to give rise to doubts as to the impartiality or independence of the arbitrators.尽管有与会者对将各方当事人的法律顾问列入在内表示支持,但普遍看法是,此种列入似无必要,因为所起草的声明涉面广泛,涵盖有可能对仲裁员的公正性或独立性产生怀疑的所有情形。
185. After discussion, the Committee adopted the substance of the draft statements of independence pursuant to article 11 of the Rules with the deletion of the word “hereby” where it appeared in the draft statements.185. 经讨论,全体委员会通过了根据《规则》第11条作出的独立性声明草案的实质内容,但删除声明草案中出现的“hereby”一词。
Note on a statement of availability of the arbitrator关于仲裁员可投入时间声明的注
186. It was also observed that the note on a statement of availability could be either requested by the parties or made by the arbitrator on his or her own motion.186. 会上还指出,对可投入时间声明加注,可以由各方当事人提出请求,也可以由仲裁员自行提出请求。
The Committee adopted the note on the draft statement on the availability of the arbitrator with the following modification to its chapeau: “Note. Any party may consider requesting from the arbitrator the following addition to the statement of independence:”.全体委员会通过了关于仲裁员可投入时间声明草案的注,但对其前导句修改如下:“注:任何一方当事人均可考虑请求仲裁员对独立性声明作出如下补充:”。
C. Adoption of the UNCITRAL Arbitration Rules as revised in 2010C. 通过《联合国国际易法委员会仲裁规则》2010年修订本
187. At its 910th meeting, on 25 June 2010, the Commission adopted the report of the Committee of the Whole and agreed that it should form part of the present report (see paras. 16-186 above).187. 在2010年6月25日第910次会议上,委员会通过了全体委员会报告,并商定该报告应构成本报告的一部分(见上文第16-186段)。
After considering the text of the draft revised Arbitration Rules (reproduced in annex I to this report), the Commission adopted the following decision:经审议《仲裁规则》修订本草案案文(转载于本报告附件一),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,
“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,其目的是为了各国人民,特别是为了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 General Assembly resolution 31/98 of 15 December 1976 recommending the use of the UNCITRAL Arbitration Rules,“回顾大会1976年12月15日第32/98号决议建议使用《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 commercial relations,“认识到仲裁作为一种争议解决方法处理国际商业关系中产生的争议的价值,
“Noting that the UNCITRAL Arbitration Rules are recognized as a very successful text and are used in a wide variety of circumstances covering a broad range of disputes, including disputes between privatecommercial parties, investor-State disputes, State-to-State disputes and commercial disputes administered by arbitral institutions, in all parts of the world,“注意到《贸易法委员会仲裁规则》已是全世界各地区公认的极为成功的法律文本,在涵盖各类争议、涉面广泛的情形中都得到了使用,其中包括私人商事当事人之间的争议、投资人与国家之间的争议、国与国之间的争议以及仲裁机构所管理的商事争议,
“Recognizing the need for revising the UNCITRAL Arbitration Rules to conform to current practices in international trade and to meet changes that have taken place over the last thirty years in arbitral practice,“认识到有必要修订《贸易法委员会仲裁规则》,使之符合国际贸易现行惯例,适应过去三十年仲裁实践发生的变化,
“Believing that the UNCITRAL Arbitration Rules as revised in 2010 to reflect current practices will significantly enhance the efficiency of arbitration under the Rules,“相信体现了现行惯例的《联合国国际贸易法委员会仲裁规则》2010年修订本将大大提高根据《规则》仲裁的效率,
“Convinced that the revision of the UNCITRAL Arbitration Rules in a manner that is acceptable to countries with different legal, social and economic systems can significantly contribute to the development of harmonious international economic relations,“深信以可为法律、社会和经济制度不同的国家接受的方式修订《贸易法委员会仲裁规则》,能够大大有助于和谐国际经济关系的发展,
“Noting that the preparation of the UNCITRAL Arbitration Rules as revised in 2010 was the subject of due deliberation and extensive consultations with Governments and interested circles and that the revised text can be expected to contribute significantly to the establishment of a harmonized legal framework for the fair and efficient settlement of international commercial disputes,“注意到《联合国国际贸易法委员会仲裁规则》2010年修订本是与各国政府和有关方面适当讨论和广泛协商拟定的,修订本可望大大促进建立一个公平有效地解决国际商事争议的统一法律框架,
“Expressing its appreciation to Working Group II (Arbitration and Conciliation) for formulating the UNCITRAL Arbitration Rules as revised in 2010,“表示感谢第二工作组(仲裁和调解)拟订了《联合国国际贸易法委员会仲裁规则》2010年修订本,
“1. Adopts the UNCITRAL Arbitration Rules as revised in 2010 as they appear in annex I to the present report;“1. 通过联合国国际贸易法委员会第四十三届会议工作报告附件一所载《联合国国际贸易法委员会仲裁规则》2010年修订本;
“2. Recommends the use of the UNCITRAL Arbitration Rules as revised in 2010 in the settlement of disputes arising in the context of international commercial relations;“2. 建议使用《联合国国际贸易法委员会仲裁规则》2010年修订本解决国际商业关系中产生的争议;
“3. Requests the Secretary-General to make all efforts to ensure that the UNCITRAL Arbitration Rules as revised in 2010 become generally known and available.”“3. 请秘书长做出一切努力,确保《联合国国际贸易法委员会仲裁规则》2010年修订本广为人知,可普遍查取。
D. Possible recommendations to arbitral institutions and other interested bodiesD. 可向仲裁机构和其他有关机构提出的建议
188. The Commission had before it a note by the Secretariat on possible recommendations to arbitral institutions and other interested bodies with respect to the revised Rules (A/CN.9/705).188. 委员会收到了秘书处关于就《规则》修订本可向仲裁机构和其他有关机构提出的建议的说明(A/CN.9/705)。
The Commission recalled that, at its fifteenth session, in 1982, it had adopted “Recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the UNCITRAL Arbitration Rules”.委员会回顾在其1982年第十五届会议上通过了“关于协助仲裁机构和其他有关机构根据《贸易法委员会仲裁规则》进行仲裁的建议”。
The preparation of the Recommendations had been undertaken by the Commission to facilitate the use of the 1976 UNCITRAL Arbitration Rules in administered arbitration and to deal with instances where the Rules were adopted as institutional rules of an arbitral body or when the arbitral body was acting as appointing authority or provided administrative services in ad hoc arbitration under the Rules.委员会承担了编写该《建议》的工作,以便利在机构仲裁中使用1976年《贸易法委员会规则》,并处理下述情形:采纳《规则》作为仲裁机构的机构规则、仲裁机构担任指定机构,或在根据《规则》进行特别仲裁时提供管理服务。
189. After discussion, the Commission agreed that similar recommendations to arbitral institutions and other relevant bodies should be issued with respect to the UNCITRAL Arbitration Rules as revised in 2010 in view of the extended role granted to appointing authorities.189. 委员会经讨论商定,鉴于赋予指定机构的责任扩大,应当向仲裁机构和其他有关机构分发关于《联合国国际贸易法委员会仲裁规则》2010年修订本的类似建议。
It was said that the recommendations would promote the use of the Rules and that arbitral institutions in all parts of the world would be more inclined to accept acting as appointing authorities if they had the benefit of such guidelines.据指出,这些建议将促进《规则》的使用,世界各地的仲裁机构如能受益于这些准则将更愿意担任指定机构。
The Commission also agreed that the recommendations on the revised Rules should follow the same pattern as the Recommendations adopted in 1982.委员会还商定,关于《规则》修订本的建议应当依循编写1982年通过的《建议》的同样方式。
The Commission entrusted the Secretariat with the preparation of that document, for consideration by the Commission at a future session.委员会委托秘书处编写该文件,供委员会今后届会审议。
E. Future work in the field of settlement of commercial disputesE. 解决商事争议领域今后的工作
190. With respect to future work in the field of settlement of commercial disputes, the Commission recalled the decision made at its forty-first session 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 current revision of the UNCITRAL Arbitration Rules.190. 关于解决商事争议领域今后的工作,委员会回顾其第四十一届会议作出的决定,即应在完成目前对《贸易法委员会仲裁规则》的修订后立即作为优先事项处理投资人与国家之间以条约为基础的仲裁的透明度问题。
The Commission entrusted its Working Group II (Arbitration and Conciliation) with the task of preparing a legal standard on that topic.委员会责成第二工作组(仲裁和调解)制订关于这一问题的法律标准。
The Commission was informed that, pursuant to the request received from the Commission at the forty-first session, the Secretariat had circulated a questionnaire to States with regard to their practice on transparency in investor-State arbitration and that replies thereto would be made available to the Working Group.委员会了解到,秘书处已根据委员会第四十一届会议的请求,向各国分发了关于投资人与国家之间仲裁透明度做法的调查表,并将向工作组提供对调查表的答复。
191. Support was expressed for the view that the Working Group could also consider undertaking work in respect of those issues which arose more generally in treaty-based investor-State arbitration and would deserve additional work.191. 对下述看法表示了支持:工作组还应考虑就投资人与国家之间以条约为基础的仲裁中产生的更一般问题开展工作,而且这需要作更多的工作。
The prevailing view, in line with the decision previously made by the Commission, was that it was too early to make a decision on the precise form and scope of a future instrument on treaty-based arbitration and that the mandate of the Working Group should be limited to the preparation of rules of uniform law on transparency in treaty-based investor-State arbitration.根据委员会早先作出的决定,普遍看法认为,现在就一项关于以条约为基础的仲裁的未来文书的确切形式和范围作出决定为时尚早,工作组的授权应当限于拟订关于投资人与国家之间以条约为基础的仲裁的透明度的统一法的规则。
However, it was agreed that, while operating within that mandate, the Working Group might identify any other topic with respect to treaty-based investor-State arbitration that might also require future work by the Commission.但委员会商定,工作组在根据这一授权开展工作时,应当查明可能需要委员会今后加以研究的其他任何与投资人与国家之间以条约为基础的仲裁有关的课题。
It was agreed that any such topic might be brought to the attention of the Commission at its next session, in 2011.委员会商定,可提请委员会2010年下届会议注意任何此种课题。
IV.
Finalization and adoption of a draft supplement to the UNCITRAL Legislative Guide on Secured Transactions dealing with security rights in intellectual property四. 最后审定并通过《贸易法委员会担保交易立法指南》 关于知识产权担保权补编草案
A. IntroductionA. 导言
192.
The Commission had before it: (a) the draft supplement to the UNCITRAL Legislative Guide on Secured Transactions dealing with security rights in intellectual property (A/CN.9/700 and Add.1-7)); (b) the reports of the sixteenth (Vienna, 2-6 November 2009) and seventeenth (New York, 8-12 February 2010) sessions of Working Group VI (Security Interests) (A/CN.9/685 and A/CN.9/689, respectively); (c) chapter V of the report of Working Group V (Insolvency Law) on the work of its thirty-eighth session (New York, 19-23 April 2010) (A/CN.9/691), addressing the impact of insolvency of a licensor or licensee on a security right in that party’s rights under a licence agreement; and (d) a note by the Secretariat transmitting comments of international organizations on the draft supplement (A/CN.9/701).192. 委员会收到了下列文件:(a)《贸易法委员会担保交易立法指南》关于知识产权担保权补编草案(A/CN.9/700和Add.1-7);(b)第六工作组(担保权益)第十六届会议(2009年11月2日至6日,维也纳)和第十七届会议(2010年2月8日至12日,纽约)报告(分别为A/CN.9/685和A/CN.9/689);(c)第五工作组(破产法)第三十八届会议(2010年4月19日至23日,纽约)报告(A/CN.9/691)第五章,述及许可人或者被许可人破产对该当事人在许可协议下的权利的担保权的影响;(d)秘书处转发国际组织关于补编草案的意见的说明(A/CN.9/701)。
193. At the outset, the Commission expressed its appreciation to Working Group VI (Security Interests) for its work in the development of the draft supplement, to Working Group V (Insolvency Law) for its contribution to the development of the insolvency chapter of the draft supplement and to the Secretariat for its work in coordinating this work and preparing the documents for the session.193. 委员会首先表示感谢第六工作组(担保权益)为拟订补编草案所作的工作、感谢第五工作组(破产法)为拟订补编草案破产部分章节所作的贡献,并感谢秘书处在协调此项工作和编写本届会议文件方面所作的工作。
The Commission also expressed its appreciation to all the organizations that have assisted Working Group VI in its work, in particular, to WIPO and to the Permanent Bureau of the Hague Conference on PrivateInternational Law.委员会还表示感谢所有协助第六工作组进行此项工作的组织,特别是知识产权组织和海牙国际私法会议常设局。
194. The Commission also noted with appreciation the publication of the UNCITRAL Legislative Guide on Secured Transactions and a separate publication consisting of the terminology and recommendations of the Guide. Both texts had been adopted by the Commission at the second part of its fortieth session (Vienna, 10-14 December 2007).194. 委员会还赞赏地注意到出版了《贸易法委员会担保交易立法指南》和载有《指南》术语和建议的单独出版物,两个出版物的案文均在委员会第四十届会议(2007年12月10日至14日,维也纳)第二部分会议期间获得通过。
B. Consideration of the draft supplementB. 审议补编草案
195. With regard to the title of the supplement, the Commission agreed that it should be “UNCITRAL Legislative Guide on Secured Transactions.195. 关于补编的标题,委员会商定应为“贸易法委员会担保交易立法指南。
Supplement on Security Rights in Intellectual Property”.知识产权担保权补编”。
It was also agreed that the notes to the Commission at the beginning of each chapter of the draft supplement, which provided information about the relevant discussion by Working Group VI, would not need to be reproduced in the final version of the supplement.还商定,补编草案每章开头处提供关于第六工作组相关讨论情况的“委员会注意”部分不必放进补编最后文本。
The Commission gave the Secretariat the mandate to make the necessary editorial changes to ensure consistency among the various chapters of the draft supplement and between the draft supplement and the Guide.另外,委员会还允许秘书处在文字上作出必要调整,以确保补编草案各章之间以及补编草案与《指南》之间保持一致。
1. Preface and introduction (A/CN.9/700)1. 前言和导言(A/CN.9/700)
196. With respect to the preface, it was agreed that:196. 关于前言商定如下:
(a) The first sentence of the third paragraph should be revised to read along the following lines: “… the Secretariat organized, with the cooperation of WIPO, a colloquium …”;(a) 第三段第一句应修改如下:“在知识产权组织的配合下,秘书处组织了一次座谈会……”;
(b) In the third sentence of the fifth paragraph, after the phrase “organizations from the public and the privatesector”, the phrase “which attended its meetings as observers” should be added.(b) 在第五段第三句中,将“来自公共和私营部门的其他知识产权组织”改为“来自公共和私营部门的作为观察员参加其会议的其他知识产权组织”。
197. With respect to the introduction, it was agreed that:197. 关于导言部分商定如下:
(a) At the end of the second sentence of paragraph 1 and the first sentence of paragraph 7, the phrase “as security for credit” should be added;(a) 在第1段第二句和第7段第一句的结尾,在“价值”一词前面加上“作为信贷担保的”;
(b) The last sentence of paragraph 32 should be revised to read along the following lines: “the expression ‘transfer other than an outright transfer’ may denote the granting of rights from a licensor to a licensee where the licensor retains some control over the use of the intellectual property”;(b) 修改第32段最后一句,修改后内容如下:“‘彻底转让以外的转让’这一用语可以表示许可人为被许可人设定权利,而许可人保留对使用知识产权的某些控制权”;
(c) At the end of the third sentence of paragraph 41, the phrase “with the consent of the licensor, if the licence agreement provides that the rights of Company D are non-transferable” should be added;(c) 在第41段第三句结尾,加上以下措词:“在获得许可人同意的情况下,条件是许可协议规定D公司的权利是不可转让的”;
(d) At the end of the last sentence of paragraph 41, the phrase “to determine whether company D may grant a security right” should be added;(d) 在第41段最后一句结尾处加上以下措词:“以确定D公司是否设定了担保权”;
(e) Prior to paragraph 43, a subheading “Security rights in tangible assets with respect to which intellectual property is used” should be inserted to cover examples 6 and 7;(e) 在第43段前面加上小标题“使用知识产权的有形资产的担保权”,以涵盖例6和例7;
(f) The second and third sentences of paragraph 43 should be revised to read along the following lines: “This category of transactions, illustrated by examples 6 and 7 below, involve security rights in tangible assets. As discussed in the draft supplement, a security right in a tangible asset does not automatically extend to the intellectual property used with respect to that asset, except if otherwise agreed by parties.” ;(f) 第43段第二和第三句应修改如下:“下文例6和例7所说明的此类交易涉及有形资产的担保权。如补编草案所述,有形资产的担保权不会自动延及该资产所使用的知识产权,除非当事人另有约定。”;
(g) The third sentence of paragraph 44 should be revised to read along the following lines: “Company F provides bank F with its trademarklicence agreements evidencing its right to use the trademarks and to grant a security right in the trademarked inventory, and its obligations to the trademarkowner.”(g) 第44段第三句应修改如下:“F公司向F银行提供商标使用许可协议,证明其使用这些商标的权利和对带商标库存品设定担保权的权利,并证明其对商标所有人的义务。”;
;
(h) At the end of the second sentence of paragraph 45, the phrase “and that it has rights to grant a security right in those jeans” should be inserted;(h) 在第45段第二句结尾加上以下措词:“并证明其有权对这些牛仔服设定担保权”;
(i) At the end of the second sentence of paragraph 48, the reference to “licensors or licensees” having exclusive rights should be deleted, as only owners had exclusive rights.(i) 在第48段第二句结尾处,将享有排他性权利的“许可人或被许可人”删除,因为只有所有人才享有排他性权利。
198. Subject to those changes, the Commission adopted the substance of the preface and the introduction.198. 在作出这些修改后,委员会通过了前言和导言部分的实质内容。
2. Chapter I. Scope of application and party autonomy (A/CN.9/700/Add.1)2. 第一章. 适用范围和当事人意思自治(A/CN.9/700/Add.1)
199. The Commission agreed that:199. 委员会商定如下:
(a) In subparagraph (g) dealing with patents in paragraph 11, the word “patent” should be replaced with the word “invention”, as an inventor would invent the invention and not the patent;(a) 在第11段关于专利的(g)项中,“专利”一词应改为“发明”,因为发明人发明的不是一种专利,而是发明本身;
(b) A subparagraph (h) should be added under patents in paragraph 11 to refer to “the transferability of patents and the right to grant a licence”;(b) 第11段专利部分下面添加(h)项,提及“专利的可转让性和授予许可的权利”;
(c) At the end of paragraph 17, text along the following lines should be added: “A State implementing the recommendations of the Guide may wish to address this question.”(c) 在第17段结尾添加以下内容的案文:“一国执行《指南》的建议,似应考虑到这个问题”。
200. Subject to those changes, the Commission adopted the substance of chapter I.200. 在作出这些修改后,工作组通过了第一章的实质内容。
3. Chapter II. Creation of a security right in intellectual property (A/CN.9/700/Add.2 and recommendation 243)3. 第二章. 知识产权担保权的设定(A/CN.9/700/Add.2和建议243)
201. It was agreed that paragraph 32 should be revised to refer to cars or other devices that included a copy of copyrighted software or design rights.201. 委员会商定修改第32段,提及含版权软件拷贝或设计权的轿车或其他装置。
It was also agreed that the word “product” at the end of the paragraph should be replaced with the word “component”.还商定,该段结尾的“产品”一词应改为“构件”。
Subject to those changes, the Commission adopted the substance of chapter II.在作出这些修改后,委员会通过了第二章的实质内容。
The Commission also adopted recommendation 243 unchanged.委员会还未作修改通过了建议243。
4. Chapter III. Effectiveness of a security right in intellectual property against third parties (A/CN.9/700/Add.3, paras. 1-9)4. 第三章. 知识产权担保权对抗第三方的效力(A/CN.9/700/Add.3,第1-9段)
202. It was agreed that the fourth sentence of paragraph 9 should be revised to read along the following lines: “… a security right in intellectual property is treated as another type of (outright or conditional) transfer …”.202. 委员会商定,第9段第四句应修订为大致如下措词:“……知识产权担保权被当作另类转让(彻底转让或有条件转让)……”。
Subject to those changes, the Commission adopted the substance of chapter III.在作出上述修改后,委员会通过了第三章的实质内容。
5. Chapter IV. The registry system (A/CN.9/700/Add.3, paras. 10-52, and recommendation 244)5. 第四章. 登记制度(A/CN.9/700/Add.3,第10-52段,以及建议244)
203. It was agreed that:203. 委员会商定如下:
(a) In the fourth sentence of paragraph 13, the reference to “the Madrid Agreement concerning the International Registration of Marks (1891), the Madrid Protocol (1989)” should be deleted;(a) 应当删除第13段第四句提及“《商标国际注册马德里协定》(1891年)和《马德里议定书》(1989年)”的字样;
(b) After the words “For example” in the second sentence of paragraph 14, the phrase “the Madrid Agreement concerning the International Registration of Marks (1891) and the Protocol Relating to that Agreement (1989) provides for the possibility to record a restriction of the holder’s right of disposal in an international application or registration (see Form MM19 at www.wipo.int/madrid/en/forms/) and” should be inserted;(b) 应在第14段第二句“例如”一词之后插入以下语句:“《商标国际注册马德里协定》(1891年)和《马德里议定书》(1989年)规定了在国际申请或注册中记录持有人处分权被限制情况的可能性(见表格MM19,载于www.wipo.int/madrid/en/forms/),并且”;
(c) Paragraph 29 should be revised to avoid unnecessarily emphasizing the fact that the general security rights registry provided less information and to clarify the advantages and disadvantages of such a general registry.(c) 应对第29段进行修订,以避免不必要地强调普通担保权登记处提供较少信息这一事实,并说明此种普通登记处的利弊。
204. Subject to those changes, the Commission adopted the substance of chapter IV.204. 在作出这些修改后,委员会通过了第四章的实质内容。
The Commission also adopted recommendation 244 unchanged.委员会还未作修改通过了建议244。
6. Chapter V. Priority of a security right in intellectual property (A/CN.9/700/Add.4 and recommendation 245)6. 第五章. 知识产权担保权的优先权(A/CN.9/700/Add.4和建议245)
205. The Commission agreed that the phrase in parenthesis at the end of paragraph 35 should be deleted.205. 委员会商定,第35段结尾处括号内的语句应予删除。
Subject to that change, the Commission adopted the substance of chapter V. The Commission also adopted recommendation 245 unchanged.在作出这一修改后,委员会通过了第五章的实质内容。 委员会还未作修改通过了建议245。
7. Chapter VI. Rights and obligations of the parties to a security agreement relating to intellectual property (A/CN.9/700/Add.5, paras. 1-5, and recommendation 246)7. 第六章. 知识产权所涉担保协议当事人的权利和义务(A/CN.9/700/Add.5, 第1-5段,以及建议246)
206. The Commission adopted the substance of chapter VI unchanged.206. 委员会未作修改通过了第六章的实质内容。
The Commission also adopted recommendation 246 unchanged.委员会还未作修改通过了建议246。
8.
Chapter VII.
Rights and obligations of third-party obligors in intellectual property financing transactions (A/CN.9/700/Add.5, paras. 6-7)8. 第七章. 知识产权融资交易中第三方承付人的权利和义务 (A/CN.9/700/Add.5,第6-7段)
207. The Commission adopted the substance of chapter VII unchanged.207. 委员会未作修改通过了第七章的实质内容。
9. Chapter VIII. Enforcement of a security right in intellectual property (A/CN.9/700/Add.5, paras. 8-32)9. 第八章. 知识产权担保权的强制执行(A/CN.9/700/Add.5,第8-32段)
208. The Commission adopted the substance of chapter VIII unchanged.208. 委员会未作修改通过了第八章的实质内容。
10. Chapter IX. Acquisition financing in an intellectual property context (A/CN.9/700/Add.5, paras. 33-62, and recommendation 247)10. 第九章. 知识产权情形下的购置款融资(A/CN.9/700/Add.5,第33-62段,以及建议247)
209. The Commission considered replacing the text in paragraphs 43-47 with a text that would clarify that a licensor or its secured creditor could obtain the benefits of an acquisition security right as it could register the licence or the security right in the relevant intellectual property registry before a secured creditor of the licensee.209. 委员会审议了替换第43-47段的案文问题,替换后的案文将明确说明许可人或其有担保债权人可以获得购置款担保权的好处,正如它可先于被许可人的有担保债权人在相关知识产权登记处登记许可或担保权一样。
It was stated that that result would be achieved only if registration of security rights in future intellectual property was not permitted under the relevant specialized registration regime.指出只有在相关专门登记制度不允许登记未来知识产权担保权的情况下才能够实现这种结果。
It was also observed that, if such advance registration was permitted, the general financier of a licensee could obtain priority over an acquisition secured creditor of the licensor.还指出,如果允许这种预登记,被许可人的一般融资人就可以取得相对于许可人的购置款有担保债权人的优先权。
After discussion, it was agreed that, while the proposed text contained an important element that could usefully be added to the text in paragraphs 43-47, it should not replace the text in those paragraphs.经过讨论,一致认为虽然拟议的案文含有可有益地添加到第43-47段的重要内容,但不应当用该案文取代这些段落中的案文。
The Secretariat was authorized to make the necessary editorial amendments.委员会授权秘书处在措词上作必要的修改。
Subject to that change, the Commission adopted the substance of chapter IX.在作出这一修改后,委员会通过了第九章的实质内容。
The Commission also adopted recommendation 247 unchanged.委员会还未作修改通过了建议247。
11. Chapter X. Law applicable to a security right in intellectual property (A/CN.9/700/Add.6, paras. 1-54, and recommendation 248)11. 第十章. 知识产权担保权的适用法律(A/CN.9/700/Add.6,第1-54段,以及 建议248)
210. In addition to options A-D, the Commission considered the following options for recommendation 248:210. 除备选案文A-D外,委员会还审议了就建议248提出的下列备选案文:
“Option E“备选案文E
“248. The law should provide that, notwithstanding recommendations 208 and 218, in the case of a security right in intellectual property:“248. 法律应当规定,尽管有建议208和218,就知识产权担保权而言:
“(a) The law applicable to property issues relating to whether a security right in the intellectual property may be created [, such as whether the intellectual property right exists, whether the grantor has an interest in it, and whether and to whom that interest is transferable,] is the law of the State in which the intellectual property is protected;“(a) 与知识产权担保权可否设定有关的财产问题的适用法律是知识产权保护国的法律[,如知识产权是否存在,设保人是否在其中享有权益,以及该权益可否转让及可对谁转让];
“(b) Subject to paragraph (a), the law applicable to the creation of a security right in intellectual property is the law of the State in which the grantor is located;“(b) 在服从(a)项的情况下,设定知识产权担保权的适用法律是设保人所在国的法律;
“(c) The law applicable to the effectiveness against third parties and priority of a security right in intellectual property is the law of the State in which the intellectual property is protected; however, if rights in the intellectual property may not be registered in an intellectual property registry in the State in which the intellectual property is protected, the law applicable to the effectiveness against third parties and priority of the security right in the intellectual property as against another secured creditor or the grantor’s insolvency representative is the law of the State in which the grantor is located;“(c) 知识产权担保权对抗第三方效力和优先权的适用法律是知识产权保护国的法律;然而,如知识产权上的权利不可在知识产权保护国的知识产权登记处登记,则知识产权担保权对抗第三方效力和相对于另一有担保债权人或设保人破产管理人的优先权的适用法律是设保人所在国的法律;
and
“(d) The law applicable to the enforcement of a security right in intellectual property is the law of the State in which the grantor is located, provided that, with respect to sale or other disposition of the intellectual property, the law applicable to property issues relevant to the rights in the intellectual property created by the sale or other disposition is the law of the State in which the intellectual property is protected.“(d) 知识产权担保权强制执行的适用法律是设保人所在国的法律,前提是,就知识产权的出售或其他处分而言,与通过出售或其他处分方式在知识产权上设定的权利有关的财产问题的适用法律是知识产权保护国的法律。
“Option F“备选案文F
“248. The law should provide that, notwithstanding recommendations 208 and 218, in the case of a security right in intellectual property:“248. 法律应当规定,虽有建议208和218,就知识产权担保权而言:
“(a) The law applicable to property issues relating to whether a security right in the intellectual property may be created and the rights in the intellectual property created by enforcement of the security right is the law of the State in which the intellectual property is protected; [such property issues include those that determine whether the intellectual property right exists, whether the grantor has an interest in it, the transferability of the intellectual property and the requirements for creating a property right in the transferee upon disposition;]“(a) 与知识产权担保权可否设定和通过担保权强制执行而设定的知识产权上的权利有关的财产问题的适用法律是知识产权保护国的法律;[这类财产问题包括决定知识产权是否存在、设保人是否在其中享有权益、知识产权的可转让性以及在处分时设定受让人财产权的要求的问题。];
“(b) Subject to paragraph (a), the law applicable to the creation and enforcement of a security right in intellectual property is the law of the State in which the grantor is located;“(b) 在服从(a)项的情况下,知识产权担保权的设定和强制执行的适用法律是设保人所在国的法律;
and
“(c) The law applicable to effectiveness against third parties and priority of a security right in intellectual property is the law of the State in which the intellectual property is protected; however, if rights in the intellectual property may not be registered in an intellectual property registry in the State in which the intellectual property is protected, the law applicable to effectiveness against third parties and priority of the security right in the intellectual property as against another secured creditor or the grantor’s insolvency representative is the law of the State in which the grantor is located.“(c) 知识产权担保权对抗第三方效力和优先权的适用法律是知识产权保护国的法律;然而,如知识产权上的权利不可在知识产权保护国的知识产权登记处登记,则知识产权担保权对抗第三方效力和相对于另一有担保债权人或设保人破产管理人的优先权的适用法律是设保人所在国的法律。
“Option G“备选案文G
“The law should provide that the law applicable to the creation, effectiveness against third parties, priority and enforcement of a security right in intellectual property is the law of the State in which the intellectual property is protected. The law should in addition provide that a security right in intellectual property may also be created under the law of the State in which the grantor is located and made effective under that law against third parties other than another secured creditor, a transferee or a licensee.”“法律应当规定,知识产权担保权的设定、对抗第三方效力、优先权和强制执行的适用法律是知识产权保护国的法律。法律还应当规定,知识产权担保权也可根据设保人所在国的法律设定,并根据该法取得除另一有担保债权人、受让人或被许可人之外的对抗第三方效力。”
211. With respect to options E and F, which were substantially identical, it was stated that they were guided by the twin principles of accommodating the interests of secured creditors and intellectual property right holders, and of appropriately deferring to law relating to intellectual property.211. 关于备选案文E和备选案文F,这两个案文基本相同,与会者认为它们的指导原则有两个,一方面顾及有担保债权人和知识产权持有人的利益,另一方面适当参照知识产权相关法律。
It was also observed that options E and F, the preparation of which was significantly aided by discussions at a meeting held in June by the European Max-Planck Group for Conflicts of Laws in Intellectual Property (CLIP), aimed at referring: (a) issues relating to the ownership and transferability of intellectual property to the law of the State in which the intellectual property was protected (lex protectionis); (b) the creation and enforcement of a security right in intellectual property to the law of the State in which the grantor was located; and (c) the third-party effectiveness and priority of a security right in intellectual property, with two narrowly defined exceptions, to the lex protectionis.还指出,在备选案文E和F的编写过程中,欧洲知识产权法律冲突问题马克思–普朗克小组6月份会议的讨论提供了很大帮助,两个案文的着眼点是:(a)将知识产权所有权和转让性的相关问题交给知识产权保护国的法律(保护地法)处理;(b)将知识产权担保权的设定和强制执行问题交给设保人所在国的法律处理;(c)将知识产权担保权第三方效力和优先权(其中包括两种狭义除外情形)交给保护地法处理。
212. With respect to option E, subparagraph (d), concern was expressed that it might be unworkable to the extent that it appeared to separate enforcement issues into two different categories and refer them to two different laws.212. 关于备选案文E(d)项提出的关切是,此种办法可能行不通,因为该项似乎是把强制执行问题分成了两个不同种类并将其交给两种不同法律来处理。
In response, it was stated that all enforcement issues were referred to the law of the State in which the grantor was located.有与会者就此指出,所有强制执行问题都应交给设保人所在国的法律处理。
It was also observed that, once an enforcement sale was concluded, issues relating to the transfer (and possibly the registration of the intellectual property) would normally be subject to the lex protectionis.还指出,一旦完成强制执行的变卖,与转让(以及可能与知识产权登记)有关的问题通常都由保护地法管辖。
213. With respect to option G, it was stated that it was intended to reflect an approach based essentially on the lex protectionis, in the sense that it referred the creation, third-party effectiveness, priority and enforcement of a security right in intellectual property to the lex protectionis.213. 关于备选案文G,有与会者指出,该备选案文意在反映一种基本上基于保护地法的办法,因为它把知识产权担保权的设定、第三方效力、优先权和强制执行问题都交给保护地法来处理。
However, it was also observed that option G permitted the secured creditor to create and make effective against third parties a security right in intellectual property according to the law of the State in which the grantor was located.但也有与会者指出,备选案文G允许有担保债权人根据设保人所在国的法律设定知识产权担保权并使之具有对抗第三方的效力。
It was explained that, as a result, that option provided for the application of the law of the State in which the grantor was located to the effectiveness of a security right in the case of the grantor’s insolvency.据解释,这样一来,该备选案文就规定了在设保人破产的情况下对担保权的效力适用设保人所在国的法律。
In response to a question, it was explained that if a security right was effective as against an insolvency representative, its effectiveness had to be respected and thus no issue of priority arose.有与会者针对这一问题解释说,如果一项担保权具有对抗破产管理人的效力,其效力必须得到尊重,因此并不产生任何优先权问题。
214. It was also pointed out that option G was short and simple and thus promoted certainty and predictability with respect to the law applicable to a security right in intellectual property.214. 还指出,备选案文G简短明确,因此有助于促进知识产权担保权适用法律方面的确定性和可预测性。
In addition, it was mentioned that another advantage of option G was that it did not distinguish between types of intellectual property that could be registered in an intellectual property registry and those which could not be registered in such a registry.另外,会上还提到备选案文G的另一个优点,就是不把知识产权分成可在知识产权登记处登记的知识产权和不能在此种登记处登记的知识产权。
In response to a question, it was observed that, in the case of multiple security rights in multiple intellectual property assets protected under the laws of multiple States, under option G, there would be one law governing priority, namely the law of the State in which the relevant intellectual property asset that was subject to the competing security rights was protected.会上针对一个问题指出,按照备选案文G,如果出现多项知识产权资产有多项担保权受多个国家法律保护的情形,管辖优先权的法律将是一个法律,也就是相关知识产权资产保护国的法律,而此种知识产权资产上还存在着相竞担保权。
215. While it was explained that enforcement in multiple jurisdictions was a common situation with respect to security rights in intellectual property, strong concern was expressed that referring enforcement issues in particular in the case of a security right in a portfolio of intellectual property assets protected under the law of multiple States to the laws of those jurisdictions would add complexity and cost to intellectual property financing transactions and would thus run counter to the overall objective of the Guide to facilitate access to secured credit at more affordable rates.215. 有与会者解释说,多法域的强制执行问题是知识产权担保权经常遇到的一种情形,虽然如此,会上特别担心的是,在知识产权资产组合受多个国家法律保护的情况下,把该组合上的某项担保权的强制执行问题特别交给这些法域的法律来处理,将会增加知识产权融资交易的复杂性和成本,因此有悖于《指南》促进以更可承受的费率提供担保信贷这一总体目标。
The suggestion was thus made that enforcement should be referred to the law of the State in which the grantor was located.为此提出的建议是,强制执行问题还是应当交给设保人所在国的法律来处理。
There was broad support for that suggestion.这项建议得到广泛支持。
216. After a preliminary discussion, the Commission agreed that, in view of the fact that options E-G had attracted some support and covered all the elements reflected in options B-D, the latter could be set aside.216. 委员会经初步讨论商定,鉴于备选案文E-G得到一定支持并涵盖了备选案文B-D所反映的所有要点,备选案文B-D可以放弃。
As a result, the Commission decided to focus on options A and E-G.因此,委员会决定重点审议备选案文A和备选案文E-G。
217. In support of option A, it was stated that it was consistent with various intellectual property conventions.217. 支持备选案文A的与会者指出,该案文与知识产权方面的各种公约是一致的。
In that regard, some doubt was expressed as to whether those conventions dealt with the law applicable to a security right in intellectual property.关于这一点提出一些疑问,即这些公约是否涉及知识产权担保权的适用法律问题。
It was also observed that option A was consistent with the law in many States.还指出,备选案文A与许多国家的法律是一致的。
In that connection, it was pointed out that option G was also an approach based on the lex protectionis, with the additional advantage that it allowed the secured creditor to obtain a security right that could be created and made effective against the grantor’s insolvency representative and judgement creditors under the law of the State in which the grantor was located.为此有与会者指出,备选案文G也是一种以保护地法为依据的办法,其优点还在于允许有担保债权人取得的担保权是可以根据设保人所在国的法律加以设定并取得对设保人的破产管理人和胜诉债权人的对抗效力的担保权。
218. Broad support was expressed for option G, provided that it was revised to refer enforcement issues to the law of the grantor’s location.218. 对备选案文G普遍表示支持,但须对其作出修改,把强制执行问题交给设保人所在地的法律来处理。
To address that point, option G was revised to read as follows:针对这一点对备选案文G修订如下:
“The law should provide that:“法律应当规定:
“(a) The law applicable to the creation, effectiveness against third parties and priority of a security right in intellectual property is the law of the State in which the intellectual property is protected;“(a) 知识产权担保权的设定、对抗第三方效力和优先权的适用法律是知识产权保护国的法律;
“(b) A security right in intellectual property may also be created under the law of the State in which the grantor is located and may also be made effective under that law against third parties other than another secured creditor, a transferee or a licensee;“(b) 知识产权担保权也可根据设保人所在国的法律设定,并可根据该法取得除另一有担保债权人、受让人或被许可人之外的对抗第三方效力;而且
and
“(c) The law applicable to the enforcement of a security right in intellectual property is the law of the State in which the grantor is located.”“(c) 知识产权担保权的强制执行的适用法律是设保人所在国的法律。”
219. General support was expressed for the revised version of option G on the understanding that it: (a) was essentially based on the lex protectionis; (b) allowed the secured creditor to obtain a security right that could also be created and made effective against the grantor’s insolvency representative and judgement creditors under the law of the State in which the grantor was located; and (c) referred enforcement issues to the law of the State in which the grantor was located.219. 普遍表示支持备选案文G的修订案文,所基于理解有以下几点:(a)修订案文基本上基于保护地法;(b)允许有担保债权人取得一项根据设保人所在国法律也可加以设定并具有对抗设保人的破产管理人和胜诉债权人的效力的担保权;(c)强制执行问题交给设保人所在国的法律处理。
220.
One of the delegations that supported option A stated that, despite the fact that it preferred option A and in view of the overwhelming support for the revised option G, it did not wish to stand in the way of consensus and was thus prepared to accept the revised option G. That delegation added, however, that the commentary should clarify that issues relating to the ownership and transferability of intellectual property would not be affected by the proposed recommendation.220. 支持备选案文A的一个代表团指出,虽然该代表团倾向于备选案文A,但鉴于绝大多数代表团支持经修订的备选案文G,该代表团不想妨碍达成共识,因此准备接受经修订的备选案文G。 但该代表团补充说,应当在评注中作出如下说明:有关知识产权所有权和转让性的问题将不受此条拟议建议的影响。
It also stated that, if law relating to intellectual property had an intellectual property-specific rule that provided for a different applicable law, that rule would prevail in accordance with recommendation 4, subparagraph (b).该代表团还指出,如果知识产权相关法律载有一条具体针对知识产权的规则,规定适用另一种法律,则根据建议4(b)项将以该规则为准。
There was general agreement that the commentary should include a statement to clarify those matters.会议普遍同意在评注中加上一段陈述说明这些问题。
221. After discussion, the Commission adopted the revised option G as recommendation 248.221. 经讨论,委员会通过了经修订的备选案文G,将其作为建议248。
222.222. 接下来委员会审议了第十章的评注。
The Commission next turned to the commentary of chapter X. It was agreed that: (a) the analysis of possible approaches should be revised to reflect the Commission’s adoption of revised option G and the reasons for that decision; (b) the commentary should emphasize the fact that the Guide did not affect the law applicable to ownership and transferability issues, drawing on the relevant text of options E and F; and (c) like any other recommendation of the Guide and the draft supplement, recommendation 248 was subject to recommendation 4, subparagraph (b).委员会商定如下:(a)应当修改对各种可能方法的分析,以反映出委员会通过了经修订的备选案文G以及作出这一决定的理由;(b)评注应根据备选案文E和F的有关案文强调一点,即《指南》并不影响所有权和转让性问题的适用法律;(c)同《指南》和补编草案中的其他任何建议一样,建议248也受建议4(b)项的限制。
It was also agreed that a so-called “accommodation rule”, under which a forum would equate a security right that was created and made effective under the law of the grantor’s location to the closest equivalent of the security right under the lex protectionis, was not necessary as the text of recommendation 248 adopted gave appropriate recognition to the lex protectionis.委员会还商定,根据所谓的“顾及规则”,法院将把一项根据设保人所在地法律设定并具有效力的担保权等同于根据保护地法最接近的相当担保权,这项规则其实没有必要,因为所通过的建议248的案文已经对保护地法给予适当承认。
223. Subject to the changes agreed to be made in chapter X under paragraphs ‎220 and ‎222 above, the Commission adopted the substance of chapter X.223. 在对第十章作出上文第220和第222段中所商定的修改后,委员会通过了第十章的实质内容。
12. Chapter XI. Transition (A/CN.9/700/Add.6, paras. 55-59)12. 第十一章. 过渡(A/CN.9/700/Add.6,第55-59段)
224. The Commission adopted the substance of chapter XI unchanged.224. 委员会未作修改通过了第十一章的实质内容。
13. Chapter XII. The impact of insolvency of a licensor or licensee of intellectual property on a security right in that party’s rights under a licence agreement (A/CN.9/700/Add.6, paras. 60-82, and A/CN.9/691, paras. 94-98)13. 第十二章. 知识产权许可人或被许可人破产对该当事人在许可协议下 各项权利上所设担保权的影响(A/CN.9/700/Add.6,第60-82段, A/CN.9/691,第94-98段)
225. The Commission noted that Working Group V (Insolvency Law), at its thirty-eighth session (New York, 19-23 April 2010), had considered the text on automatic termination and acceleration clauses in intellectual property licence agreements referred to it by Working Group VI (Security Interests) at its sixteenth session (A/CN.9/685, para. 95; the text currently reflected in A/CN.9/700/Add.6, paras. 64-66).225. 委员会注意到,第五工作组(破产法)第三十八届会议(2010年4月19日至23日,纽约)审议了第六工作组(担保权益)第十六届会议提交的关于知识产权许可协议中自动终止和提前到期条款的案文(A/CN.9/685,第95段;现载于A/CN.9/700/Add.6,第64-66段)。
The Commission further noted that Working Group V had approved that text subject to the addition of the following text possibly after paragraph 64 (A/CN.9/691, paras. 94-98):委员会注意到,第五工作组核准了该案文,但认为可能需在第64段之后添加以下案文(A/CN.9/691,第94-98段):
“The commentary to the Insolvency Guide explains the perceived advantages and disadvantages of such clauses, the types of contracts that may be appropriate to be exempted and the inherent tension between promoting the debtor’s survival, which may require the preservation of contracts, and introducing provisions which override contractual clauses. The possible application of such provisions to intellectual property is addressed in the commentary at part two, chapter II, paragraph 115, of the Insolvency Guide.”“《破产法指南》评注解释了此种条款的明显利弊、可能适合于被排除在外的合同类型,以及在促进债务人生存(为此要求保全合同)和纳入推翻合同条款的规定之间存在的固有矛盾。《破产法指南》第二部分第二章第115段的评注述及对知识产权可能适用此种规定的问题。”
226. Subject to that change, the Commission adopted the substance of chapter XII.226. 在作出这一修改后,委员会通过了第十二章的实质内容。
C. Adoption of the UNCITRAL Legislative Guide on Secured Transactions.C. 通过《贸易法委员会担保交易立法指南。
Supplement on Security Rights in Intellectual Property知识产权担保权补编》
227. At its 914th meeting, on 29 June 2010, the Commission adopted the following decision:227. 在2010年6月29日第914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 the importance of efficient secured transactions regimes in promoting access to secured credit,“认识到高效担保交易制度对于促进提供担保信贷的重要性,
“Recognizing also the need to make secured credit more available and at lower cost to intellectual property owners and other intellectual property right holders, and thus the need to enhance the value of intellectual property rights as security for credit,“还认识到需要增加对知识产权所有权人和其他知识产权持有人的信贷供应并降低其成本,并且因此需要提高知识产权作为信贷担保的价值,
“Noting that the UNCITRAL Legislative Guide on Secured Transactions generally applies to security rights in intellectual property, without inadvertently interfering with the basic rules and objectives of law relating to intellectual property,“注意到《贸易法委员会担保交易立法指南》一般适用于知识产权担保权,不会意外导致对知识产权相关法律基本规则和目标的干扰,
“Taking into account the need to address the interaction between secured transactions law and law relating to intellectual property at both national and international levels,“考虑到需要在国家和国际各级解决担保交易法与知识产权相关法律相互作用问题,
“Recognizing that States would need guidance as to how the recommendations of the UNCITRAL Legislative Guide on Secured Transactions would apply in an intellectual property context and as to the adjustments that need to be made in their laws to avoid inconsistencies between secured transactions law and law relating to intellectual property,“认识到需要就《贸易法委员会担保交易立法指南》建议如何适用于知识产权情形以及就国内法律需作出哪些调整方可避免担保交易法与知识产权相关法律之间出现矛盾向各国提供指导,
“Noting further the importance of balancing the interests of all stakeholders, including grantors, whether they are owners, licensors or licensees of intellectual property, and secured creditors,“还注意到必须兼顾设保人和有担保债权人等所有利益攸关方的利益,无论设保人是知识产权所有权人、许可人还是被许可人,
“Noting with satisfaction that the Supplement to the UNCITRAL Legislative Guide on Secured Transactions dealing with security rights in intellectual property is consistent with the UNCITRAL Legislative Guide on Insolvency Law with regard to the treatment of the impact of insolvency of a licensor or licensee of intellectual property on a security right in that party’s rights under a licence agreement,“满意地注意到在如何处理知识产权许可人或被许可人破产对该当事人在许可协议下各项权利上所设担保权的影响的问题上,《贸易法委员会担保交易立法指南》关于知识产权担保权《补编》与《贸易法委员会破产法立法指南》保持了一致,
“Expressing its appreciation to international intergovernmental and non-governmental organizations active in the fields of secured transactions law and law relating to intellectual property, in particular, the World Intellectual Property Organization and the Hague Conference on PrivateInternational Law, for their participation in and support for the development of the Supplement to the UNCITRAL Legislative Guide on Secured Transactions dealing with security rights in intellectual property,“表示感谢在担保交易法和知识产权相关法律领域开展活动的国际政府间组织和非政府组织,特别是世界知识产权组织和海牙国际私法会议参与并支持拟订《贸易法委员会担保交易立法指南》关于知识产权担保权《补编》,
“Expressing 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 Supplement to the UNCITRAL Legislative Guide on Secured Transactions dealing with security rights in intellectual property,“表示感谢第六工作组(担保权益)参加人和秘书处对拟订《贸易法委员会担保交易立法指南》关于知识产权担保权《补编》所作出的贡献,
“1. Adopts the Supplement under the title “UNCITRAL Legislative Guide on Secured Transactions.“1. 通过标题为“《贸易法委员会担保交易立法指南。
Supplement on Security Rights in Intellectual Property”, consisting of the text contained in documents A/CN.9/700 and Add.1-7, with the amendments adopted by the Commission at its forty-third session, and authorizes the Secretariat to edit and finalize the text of the Supplement pursuant to the deliberations of the Commission at that session;知识产权担保权补编》”的《补编》,其案文载于A/CN.9/700和Add.1-7号文件并经委员会第四十三届会议修订,同时授权秘书处根据委员会本届会议审议情况编辑审定《补编》文本;
“2. Requests the Secretary-General to disseminate broadly the text of the Supplement to the UNCITRAL Legislative Guide on Secured Transactions dealing with security rights in intellectual property, transmitting it to Governments and other interested bodies, in both the fields of secured financing and intellectual property;“2. 请秘书长广泛分发《贸易法委员会担保交易立法指南》关于知识产权担保权的《补编》文本,并将其发送各国政府以及担保融资和知识产权领域的有关组织;
“3.
Recommends that all States utilize the Supplement to the UNCITRAL Legislative Guide on Secured Transactions dealing with security rights in intellectual property, to assess the economic efficiency of their secured transactions regimes as well as their intellectual property regimes and give favourable consideration to the Supplement when revising or adopting legislation relevant to secured transactions and intellectual property, and invites States that have used the Guide and the Supplement to advise the Commission accordingly.”“3. 建议所有国家利用《贸易法委员会担保交易立法指南》关于知识产权担保权的《补编》评估本国担保交易制度和知识产权制度的经济效率,在修订或通过担保交易和知识产权相关立法时积极考虑到《补编》,并请已在使用《指南》和《补编》的国家向委员会通报相关事宜。
V. Finalization and adoption of part three of the UNCITRAL Legislative Guide on Insolvency Law on the treatment of enterprise groups in insolvency五. 审定并通过《贸易法委员会破产法立法指南》关于破产企业集团对待办法的第三部分
A. Consideration of draft part three of the UNCITRAL Legislative Guide on Insolvency LawA. 审议《贸易法委员会破产法立法指南》第三部分草案
228. The Commission recalled that, at its thirty-ninth session, in 2006, it had referred the topic of the treatment of corporate groups in insolvency to Working Group V (Insolvency Law) for consideration.228. 委员会回顾在其2006年第三十九届会议上将破产公司集团对待办法问题交给第五工作组(破产法)审议。
The term “corporate groups” was subsequently replaced with the term “enterprise groups” (see A/CN.9/622, paras. 77-84, and A/CN.9/643).此后将“公司集团”一词改为“企业集团”(见A/CN.9/622,第77-84段,A/CN.9/643)。
The Commission also recalled that, at its forty-second session, in 2009, it had taken note of the close connection between the work on the international treatment of enterprise groups and both the UNCITRAL Model Law on Cross-Border Insolvency and the UNCITRAL Practice Guide on Cross-Border Insolvency Cooperation and had emphasized the need to ensure consistency with those two texts.委员会还回顾,委员会在其2009年第四十二届会议上指出关于企业集团国际对待办法的工作与《贸易法委员会跨国界破产示范法》和《贸易法委员会跨国界破产合作实务指南》之间存在密切关系,并强调需确保与这两个文本的一致性。
The Commission further recalled that, at that session, it had noted that the text resulting from the work on enterprise groups should form part three of the UNCITRAL Legislative Guide on Insolvency Law and adopt the same format, that is, recommendations and commentary.委员会还回顾在该届会议上指出,关于企业集团的工作所产生的文本应构成《贸易法委员会破产法立法指南》的第三部分,而且应采用同样方式即建议和评注的方式加以拟订。
229. The Commission noted that the Working Group had agreed at its thirty-seventh session (Vienna, 9-13 November 2009) that the draft of part three (as set forth in documents A/CN.9/WG.V/WP.90 and Add.1) should be circulated to Governments in sufficient time for comment and for compilation of those comments for the forty-third session of the Commission (A/CN.9/686, para. 125).229. 委员会注意到,工作组在其第三十七届会议(2009年11月9日至13日,维也纳)上商定,应将(A/CN.9/WG.V/WP.90和Add.1号文件)所载第三部分草稿分发各国政府,为其留出足够时间提出意见,然后将这些意见汇编成册提交委员会第四十三届会议(A/CN.9/686,第125段)。
230.
The Commission had before it the revised draft of part three (A/CN.9/WG.V/WP.92 and Add.1), which the Working Group had approved at its thirty-eighth session (New York, 19-23 April 2010), the comments by Governments and international organizations on draft part three (A/CN.9/699 and Add.1-4), the reports of the thirty-seventh and thirty-eighth sessions of the Working Group (A/CN.9/686 and A/CN.9/691, respectively) and a note by the Secretariat on the revision of draft part three as agreed by the Working Group at its thirty-eighth session (A/CN.9/708).230. 委员会收到了已经由工作组第三十八届会议(2010年4月19日至23日,纽约)核准的第三部分的修订草案(A/CN.9/WG.V/WP.92和Add.1)、政府和国际组织对第三部分草案的评论意见(A/CN.9/699和Add.1-4)、工作组第三十七届和第三十八届会议报告(分别为A/CN.9/686和A/CN.9/691),以及秘书处关于经工作组第三十八届会议商定的第三部分草案修订案文的说明(A/CN.9/708)。
231. The Commission considered the domestic and international treatment of enterprise groups in insolvency as set forth in the documents noted in paragraph ‎230 above and adopted the commentary and recommendations with the following modifications:231. 委员会审议了上文第230段所提及各份文件中载明的破产企业集团国内对待办法和国际对待办法,在作出下述修改后通过了有关的评注意见和建议:
(a) With respect to draft recommendations 242 and 248, the Commission agreed to include the words “to facilitate coordination of those proceedings” at the end of both draft recommendations;(a) 关于建议242和248草案,委员会商定在这两条建议草案结尾加上“以促进这些程序的协调”;
(b) With respect to draft recommendation 244, paragraph (c), the Commission agreed to delete the words “and claims” following the words “substantive rights”, to align it with draft recommendation 243, paragraph (f).(b) 关于建议244草案(c)项,委员会商定删除“实体权利”后面的“和债权”,使之与建议243草案(f)项一致。
232. With respect to paragraph 28 of document A/CN.9/WG.V/WP.92/Add.1 on recording of the communication by courts as part of the record, it was suggested that the word “may” appearing in the second sentence should be replaced with the word “should”, as the inclusion of the transcript in the record was seen as a mandatory consequence of the recording and the transcribing of the communication.232. 关于A/CN.9/WG.V/WP.92/Add.1号文件中提到作为记录的一部分录制法院之间的联系内容的第28段,有建议提出将第2句中的“可”字改为“应当”,因为记录中包括记录稿被看作是对联系内容进行录制的必然结果。
In response, it was widely felt that the language should be kept as wide as possible, in order to maintain flexibility.对此,与会者普遍认为这一措词应当尽量宽泛,以保持灵活性。
The Commission agreed to retain the paragraph as drafted.委员会商定按现在的写法保留该段。
B. Decision on adoption of part three of the UNCITRAL Legislative Guide on Insolvency LawB. 关于通过《贸易法委员会破产法立法指南》第三部分的决定
233. At its 918th meeting, on 1 July 2010, the Commission adopted the following decision:233. 委员会在2010年7月1日第918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,
“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,
“Noting that because the business of corporations is increasingly conducted, both domestically and internationally, through enterprise groups, the formation of enterprise groups is a feature of the increasingly globalized world economy and thus significant to international trade and commerce,“注意到通过企业集团开展公司业务,不论是在国内还是在国际上都越来越普遍,因此组建企业集团是世界经济日益全球化的一大特色,对国际贸易和商务具有重要意义,
“Recognizing that where the business of an enterprise group fails, it is important not only to know how the group will be treated in insolvency proceedings, but also to ensure that that treatment facilitates, rather than hinders, the fast and efficient conduct of the insolvency proceedings,“认识到当企业集团倒闭时,不仅要知道如何在破产程序中对待企业集团,而且要确保这种对待办法能够便利而不是阻碍破产程序迅速有效地展开,
“Being aware that very few States recognize an enterprise group as a legal entity, except in limited ways for specific purposes and that very few, if any, have a comprehensive regime for the treatment of enterprise groups in insolvency,“了解到除为了特定目的的有限方式之外,很少有国家承认企业集团是一个法律实体,而且即使有国家设有处理破产企业集团的综合制度也寥寥无几,
“Noting that while the UNCITRAL Legislative Guide on Insolvency Law provides a sound basis for the unification of insolvency law and forms key elements of a modern commercial law framework, it does not address the insolvency of enterprise groups,“注意到贸易法委员会《破产法立法指南》虽为破产法的统一奠定了坚实基础,构成了现代商法框架的关键要素,但并未涉及企业集团破产问题,
“Recalling the mandate given to Working Group V (Insolvency Law) to complement the UNCITRAL Legislative Guide on Insolvency Law with provisions concerning the treatment of enterprise groups in insolvency,“回顾交给第五工作组(破产法)的任务是编拟关于破产企业集团对待办法的条款,以此补充贸易法委员会《破产法立法指南》,
“Appreciating the support for and the 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 UNCITRAL Legislative Guide on Insolvency Law addressing the treatment of enterprise groups in insolvency,“赞赏在破产法改革领域开展活动的国际政府间组织和非政府组织支助并参与《贸易法委员会破产法立法指南》关于破产企业集团对待办法补充部分的编写工作,
“Expressing its appreciation to Working Group V (Insolvency Law) for its work in developing part three of the UNCITRAL Legislative Guide on Insolvency Law on the treatment of enterprise groups in insolvency,“表示赞赏第五工作组(破产法)为编写《贸易法委员会破产法立法指南》关于破产企业集团对待办法第三部分所做的工作,
“1.
Adopts part three of the UNCITRAL Legislative Guide on Insolvency Law, consisting of the text in documents A/CN.9/WG.V/WP.92 and Add.1, the revisions agreed by the Working Group at its thirty-eighth session (as set forth in documents A/CN.9/691 and A/CN.9/708), and the amendments adopted by the Commission at the current session, and authorizes the Secretariat to edit and finalize the text of part three of the UNCITRAL Legislative Guide on Insolvency Law in the light of the deliberations of the Commission;“1. 通过贸易法委员会《贸易法委员会破产法立法指南》第三部分,其案文由A/CN.9/WG.V/WP.92及Add.1号文件的案文以及工作组第三十八届会议商定的修订案文(载于A/CN.9/691和A/CN.9/708号文件)组成,修正意见已由委员会本届会议通过,同时授权秘书处按照委员会的审议情况编辑审定《贸易法委员会破产法立法指南》第三部分的案文;
“2. Requests the Secretary-General to transmit the text of part three of the UNCITRAL Legislative Guide on Insolvency Law to Governments and other interested bodies;“2. 请秘书长将《贸易法委员会破产法立法指南》第三部分案文发送各国政府和其他有关机构;
“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 Guide when revising or adopting legislation relevant to insolvency, and invites States that have used the Guide to advise the Commission accordingly;“3. 建议所有国家继续利用《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,在修订或通过破产相关立法时积极考虑到该《指南》,并请已采用该《指南》的国家向委员会通报相关事宜;
“4. Recommends also that all States continue to consider implementation of the UNCITRAL Model Law on Cross-Border Insolvency;“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》。
“5. Recommends that the UNCITRAL Practice Guide on Cross-Border Insolvency Cooperation continue to be given due consideration by judges, insolvency practitioners and other stakeholders involved in cross-border insolvency proceedings.”“5. 建议法官、破产从业人员以及其他参与跨国界破产程序的相关方继续对《贸易法委员会跨国界破产合作实务指南》给予适当考虑。
VI. Procurement: progress report of Working Group I六. 采购:第一工作组进度报告
234. The Commission recalled that, at its thirty-seventh session, in 2004, it had agreed that the UNCITRAL Model Law on Procurement of Goods, Construction and Services (1994) would benefit from being updated to reflect new practices, in particular those resulting from the use of electronic communications in public procurement, and the experience gained in the use of the 1994 Model Procurement Law as a basis for law reform.234. 委员会回顾在其2004年第三十七届会议上商定,《贸易法委员会货物、工程和服务采购示范法》(1994年)将通过增订而受益,可以反映新的惯例,特别是公共采购使用电子通信所产生的新的惯例以及作为法律改革基础使用1994年《采购示范法》所取得的经验。
The Commission also recalled that at that session it had decided to entrust the drafting of proposals for the revision of the 1994 Model Procurement Law to its Working Group I (Procurement).委员会还回顾在该届会议上决定责成第一工作组(采购)起草1994年《采购示范法》的修订提案。
The Working Group was given a flexible mandate to identify the issues to be addressed in its considerations.委员会允许工作组以灵活方式执行这一任务,确定在其审议中应处理的各种问题。
235. The Commission noted that the Working Group had begun its work at its sixth session (Vienna, 30 August-3 September 2004), since when it had held 13 one-week sessions to consider revisions to the 1994 Model Procurement Law.235. 委员会注意到工作组已在其第六届会议(2004年8月30日至9月3日,维也纳)上着手进行工作,自此以来工作组举行了13次一周会议审议对1994年《采购示范法》的修订意见。
The Commission recalled that, from its thirty-eighth session, in 2005, to its forty-first session, in 2008, it had taken note of the reports of the sixth to thirteenth sessions of the Working Group and had reaffirmed its support for the review being undertaken and for the inclusion of novel procurement practices in a revised model law on public procurement (the revised model law).委员会回顾,自委员会2005年第三十八届会议至2008年第四十一届会议以来,委员会注意到了工作组第六届至第十三届会议的报告并重申其支持目前进行的审查并将新的采购惯例纳入公共采购示范法修订本(示范法修订本)。
It also recalled that, at its thirty-ninth session, the Commission recommended that the Working Group, in updating the 1994 Model Procurement Law and the Guide to Enactment, should take into account issues of conflicts of interest and should consider whether any specific provisions addressing those issues would be warranted in the revised model law; at its fortieth session, the Commission had recommended that the Working Group should adopt a concrete agenda for its forthcoming sessions in order to expedite progress in its work; and, at its forty-first session, the Commission had invited the Working Group to proceed expeditiously with the completion of the project, with a view to permitting the finalization and adoption of the revised model law, together with its guide to enactment, within a reasonable time.委员会还回顾:在第三十九届会议上,委员会建议工作组在增订1994年《采购示范法》和《颁布指南》时应考虑到利益冲突问题,并应考虑是否有必要在示范法修订本中针对这些问题拟订具体条款;在第四十届会议上,委员会建议工作组应通过其今后届会的具体议程,以便加快其工作进度;在第四十一届会议上,委员会请工作组加快完成该项目的速度,以便能够在合理时间内最后审定并通过示范法修订本及其颁布指南。
236. The Commission further recalled that, at its forty-second session, in 2009, it had taken note of the reports of the fourteenth to sixteenth sessions of the Working Group and established a Committee of the Whole to consider a draft revised model law, including the issues of defence sector procurement and the use of socio-economic factors in public procurement.236. 委员会还回顾,委员会在其2009年第四十二届会议上注意到工作组第十四届会议至第十六届会议的报告,并设立了全体委员会审议示范法修订本,其中包括国防部门采购和在公共采购中考虑社会经济因素等问题。
At that session, the Commission had also taken note of the report of the Committee of the Whole, in which the Committee in particular had concluded that the revised model law was not ready for adoption at that session of the Commission, and had requested the Working Group to continue its work on the review of the 1994 Model Procurement Law.在该届会议上,委员会还注意到全体委员会的报告,全体委员会在该报告中特别指出,示范法修订本尚未就绪供委员会该届会议通过,并请工作组继续进行审订1994年《采购示范法》的工作。
237. At its forty-third session, the Commission had before it the reports of the seventeenth (Vienna, 7-11 December 2009) and eighteenth (New York, 12-16 April 2010) sessions of the Working Group (A/CN.9/687 and A/CN.9/690, respectively).237. 委员会在第四十三届会议上收到了工作组第十七届会议(2009年12月7日至11日,维也纳)和第十八届会议(2010年4月12日至16日,纽约)的报告(分别为A/CN.9/687和A/CN.9/690)。
It noted that the Working Group, at those sessions, had completed a second reading of all chapters of the draft revised model law and had begun a third reading of the text.委员会注意到,工作组在这两届会议上完成了示范法修订草案所有章节的二读,并已开始对案文进行三读。
It was also noted that the Working Group had settled many of the substantive issues and requested the Secretariat to redraft certain provisions to reflect its deliberations at the sessions.委员会还注意到,工作组解决了许多实质性问题,并请秘书处重拟某些条文以反映这两届会议的审议情况。
The Commission further noted that the Working Group, at its eighteenth session, agreed to address the remaining outstanding issues throughout the draft revised model law with a view to finalizing the text at its nineteenth session.委员会还注意到,工作组在其第十八届会议上商定处理示范法修订草案全文中尚未解决的各个问题,以便在工作组第十九届会议上最后审定案文。
The Commission also noted that the Working Group had also agreed to undertake work on a draft revised guide to enactment.委员会还注意到,工作组还商定着手拟订颁布指南修订草案。
The Commission noted the Working Group’s intention to present the draft revised model law for adoption by the Commission at its forty-fourth session, in 2011 (A/CN.9/690, paras. 156-157).委员会注意到工作组打算向委员会2011年第四十四届会议提交示范法修订草案供其通过(A/CN.9/690,第156-157段)。
238. The Commission recalled that at its previous sessions it had called for the Working Group to proceed expeditiously with the completion of the project, with a view to permitting the finalization and adoption of the revised model law within a reasonable time (see para. ‎235 above).238. 委员会回顾在其前几届会议上要求工作组加快完成该项目的速度,以便能够在合理时间内最后审定并通过示范法修订本见上文第235段)。
Support was expressed for the suggestion that the Commission, at its current session, should ask the Working Group to complete its work so that a draft revised model law could be submitted to the Commission’s next session, in 2011, and additionally instruct the Working Group not to reopen issues on which a decision had already been taken.会上对下述建议表示支持,即委员会本届会议应请工作组完成其工作,以便能够向委员会2011年下届会议提交示范法修订草案,并指示工作组不要重开对已经作出决定的问题的讨论。
239. After discussion, the Commission requested the Working Group to complete its work on the revision of the 1994 Model Procurement Law during the next two sessions of the Working Group (see para. ‎352 (a) below) and present a draft revised model law for finalization and adoption by the Commission at its forty-fourth session, in 2011.239. 经过讨论,委员会请工作组在工作组下两届会议期间完成1994年《采购示范法》修订本的修订工作(见下文第352(a)段),并将示范法修订草案提交委员会2011年第四十四届会议最后审定并通过。
The Commission instructed the Working Group to exercise restraint in revisiting issues on which decisions had already been taken.委员会指示工作组尽量避免就已经作出的问题重新进行讨论。
VII. Possible future work in the areas of electronic commerce and online dispute resolution七. 今后在电子商务和网上解决争议领域可能开展的工作
A. Possible future work in the area of electronic commerceA. 今后在电子商务领域可能开展的工作
1. Introduction1. 导言
240. It was recalled that, at its fortieth session, in 2007, the Commission had requested the Secretariat to continue to follow closely legal developments in the area of electronic commerce, with a view to making appropriate suggestions in due course.240. 会上回顾,委员会2007年第四十届会议请秘书处继续密切跟踪在电子商务方面的法律动态,以便适时提出适当建议。
241. At the forty-third session, the Commission had before it a note by the Secretariat (A/CN.9/692) containing an update on the progress of the work of the World Customs Organization (WCO)-UNCITRAL Joint Legal Task Force on Coordinated Border Management incorporating the International Single Window on the implementation and operation of a single window facility.241. 委员会在第四十三届会议上收到了秘书处的一份说明(A/CN.9/692),其中载有世界海关组织(海关组织)—贸易法委员会含国际单一窗口的协调边界管理问题联合法律工作队在执行和操作单一窗口设施方面的最新工作进展情况。
The note also provided information relating to electronic transferable records and an update on recent developments in the field of electronic commerce, with particular regard to identity management and electronic commerce conducted with mobile devices, including payments.说明还提供了可转让电子记录方面的信息,以及电子商务领域的最新动态,特别是在身份管理和利用移动设施进行的电子商务(包括支付)方面。
2. Electronic single window facilities2. 电子单一窗口设施
242. The Commission recalled that, at its forty-first session, in 2008, it had requested the Secretariat to engage actively in cooperation with WCO and the United Nations Centre for Trade Facilitation and Electronic Business and, with the involvement of experts, in the study of the legal aspects involved in implementing a cross-border single window facility with a view to formulating a comprehensive international reference document on legal aspects of creating and managing a single window, and to report to the Commission on the progress of that work.242. 委员会回顾,其2008年第四十一届会议曾请秘书处与海关组织及联合国贸易便利和电子商务中心合作,并在专家参与的情况下,积极参与研究执行跨国界单一窗口设施所涉法律问题,以便就建立和管理单一窗口所涉法律问题编拟一份国际性综合参考文件,并向委员会报告工作进展情况。
That request had been reiterated by the Commission at its forty-second session, in 2009.委员会2009年第四十二届会议重申了这一要求。
243. The Commission noted with appreciation the involvement of the Secretariat in the second meeting of the Joint Legal Task Force.243. 委员会赞赏地注意到,秘书处参与了联合法律工作队的第二次会议。
The Commission took note of the decision of the Joint Legal Task Force to gather the necessary information on possible user models and cases from experts in customs procedures and to compile it for use as reference in legal analysis.委员会注意到,联合法律工作队决定向海关程序方面的专家收集可能的用户模型和案例方面的必要资料,并加以汇集,以用作法律分析参考资料。
With regard to the legal issues identified by the Joint Legal Task Force as suitable for further study, it was suggested that caution should be taken in dealing with issues related to enforcement as those generally fell into the realm of domestic regulatory matters.关于联合法律工作队所确定的适于作进一步研究的法律问题,建议在处理与强制执行有关的问题时应当慎重,因为这些问题一般属于国内规范事项。
244. After discussion, the Commission requested the Secretariat to continue its active participation in the work on single windows carried out by the Joint Legal Task Force and by other organizations, with a view to exchanging views and formulating recommendations on possible legislative work in that domain.244. 委员会经讨论后请秘书处继续积极参与联合法律工作队和其他组织在单一窗口方面开展的工作,以便就可能在这方面开展的立法工作交换意见并制定建议。
3. Electronic transferable records3. 可转让电子记录
245. It was recalled that, at its forty-second session, in 2009, the Commission had requested the Secretariat to prepare a study on electronic transferable records in the light of written proposals received at that session (documents A/CN.9/681 and Add.1 and A/CN.9/682) and to organize a colloquium on that topic, resources permitting, with a view to reconsidering those matters at a future session.245. 会上回顾,委员会2009年第四十二届会议请秘书处根据该届会议收到的书面建议(A/CN.9/681和Add.1及A/CN.9/682号文件)编拟有关可转让电子记录的研究报告,并在资源允许的情况下组织关于这一专题的专题讨论会,目的是在今后一届会议上重新审议这些事项。
At the current session, the Commission was reminded that previous documents had already dealt in depth with the substantive aspects of that topic (A/CN.9/WG.IV/WP.69 and A/CN.9/WG.IV/WP.90, which had been before Working Group IV at its thirtieth and thirty-eighth sessions, respectively).在本届会议上,提醒委员会注意以往的文件已经深入讨论了这一专题的实质性问题(分别为A/CN.9/WG.IV/WP.69和A/CN.9/WG.IV/WP.90,已提交工作组第三十和第三十八届会议)。
246. The Commission noted that the use of electronic communications in international trade had gained further acceptance, including with respect to the use of registries for the creation and transfer of rights.246. 委员会注意到,在国际贸易中,包括在利用登记处设定和转让权利方面,使用电子通信已进一步为人们所接受。
The Commission took note of a detailed description of the recently enacted legislation of the Republic of Korea enabling the use of electronic bills of lading based on a designated registry operator approach.大韩民国最近颁布了法律,据此可以根据指定的登记操作人的办法使用电子提单,委员会注意到了对该法律的详细说明。
In that context, the concern was expressed that any work by the Commission in the area of electronic transferable records should take a cautious approach not to deviate from or contradict other UNCITRAL texts, such as the United Nations Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea (2008) (the Rotterdam Rules).在这方面,有与会者表示关切说,委员会在可转让电子记录领域的任何工作都应采取谨慎的办法,不偏离或抵触贸易法委员会的其他法规,如《联合国全程或者部分海上国际货物运输合同公约》(2008年)《鹿特丹规则》。
As an example, it was noted that the registry-based approach, reflected in the legislation of the Republic of Korea, could possibly contradict the control-based approach adopted in the Rotterdam Rules.有与会者举例说,大韩民国立法所反映的以登记为基础的办法可能与《鹿特丹规则》所采用的以控制为基础的办法有抵触。
Another view was that there was not necessarily such a conflict.另有看法认为不一定存在这种冲突。
247. During the discussion, it was also suggested that work on electronic transferable records could embrace issues related to single window facilities and identity management and that it might be possible to address all those topics in a single project.247. 讨论中有与会者提出,可转让电子记录方面的工作可包含与单一窗口设施和身份管理有关的问题,或许可以在单一项目中处理所有这些专题。
However, it was also recalled that limited elements of commonality in the different records and rights transferred would not warrant immediate work at the working group level with respect to electronic transferable records.但也有与会者回顾说,由于所转让的各种记录和权利的共同点有限,还不能立即在工作组一级就可转让电子记录问题开展工作。
4. Identity management4. 身份管理
248. The Commission took note of the information contained in the note by the Secretariat (A/CN.9/692) regarding the notion of identity management system, its business model, processes and main actors as well as potential benefits.248. 委员会注意到秘书处说明(A/CN.9/692)中所介绍的身份管理系统的概念、其业务模型、程序、主要行动方和潜在益处。
The Commission noted that identity management raised several relevant legal issues and that calls had been made for compiling a set of uniform legal rules to address such issues.委员会注意到,身份管理产生了若干相关的法律问题,已多次要求就处理这类问题编纂一套统一的法律规则。
5. Use of mobile devices in electronic commerce5. 在电子商务中使用移动设施
249. With respect to the use of mobile devices in electronic commerce, the Commission agreed that communication via mobile devices could be regarded as a subset of electronic communications as dealt with in relevant legislative standards adopted by UNCITRAL.249. 关于在电子商务中使用移动设施的问题,委员会一致认为,通过移动设备进行通信可视为贸易法委员会通过的相关立法标准所述的电子通信的一部分。
The Commission further agreed that the predictability of the legal status of transactions conducted with mobile devices would be greatly enhanced by the adoption of appropriate legislation.委员会还一致认为,通过适当的法律后,使用移动设施完成的交易的法律地位的可预测性将大大提高。
In that connection, it was acknowledged that guidance on the adoption of appropriate legislative standards, with particular respect to the use of mobile devices, might be useful, in particular, in developing countries, where the broader use of mobile devices could make a significant contribution to widening access to electronic means of communication.在这方面,有与会者承认,特别是在使用移动设施方面,关于采用适当立法标准的指导意见可能会有所帮助,尤其是在发展中国家,因为在这些国家更广泛地使用移动设施可大大有助于扩大电子通信手段的普及范围。
It was also noted that payment services had been identified as an area of special importance for mobile technology and that mobile payments could support financial inclusion, especially in rural areas.还有与会者注意到,据确定,支付服务领域对移动技术特别重要,移动支付可有助于提高金融包容性,特别是在农村地区。
6. Decision by the Commission with respect to future work in the area of electronic commerce6. 委员会关于今后在电子商务领域开展的工作的决定
250. After discussion, the Commission requested the Secretariat to convene a colloquium and possibly other informal meetings to discuss all of the above-mentioned topics.250. 委员会经讨论后请秘书处召集一次专题讨论会和可能召集的其他非正式会议,以讨论上述所有专题。
The Secretariat was requested to report to the Commission at its next session on the results of the colloquium.请秘书处向委员会下届会议报告专题讨论会的结果。
The note to be prepared by the Secretariat should summarize the discussion and possibly identify a road map for future work by the Commission in the area of electronic commerce.秘书处将要编写的说明应概要介绍讨论情况,如有可能,确定委员会今后在电子商务领域开展工作的路线图。
It was agreed that that note, which would serve as a basis for discussion at the forty-fourth session of the Commission, in 2011, should provide sufficient information for the Commission to make an informed decision and to give a clearly defined mandate to a working group, if deemed appropriate.会议商定,该说明将作为委员会2010年第四十四届会议的讨论基础,因此应当提供足够的资料,使委员会在掌握情况的基础上作出决定,并在认为适当的情况下向工作组下达界定明确的任务授权。
B. Possible future work in the area of online dispute resolution in cross-border electronic commerce transactionsB. 今后在跨界电子商务交易网上解决争议领域可能开展的工作
1. Introduction1. 导言
251. It was recalled that, at its forty-second session, in 2009, the Commission had heard a recommendation that a study be prepared on possible future work on the subject of online dispute resolution in cross-border electronic commerce (e-commerce) transactions, with a view to addressing the types of e-commerce dispute that might be solved by online dispute-resolution systems, the appropriateness of drafting procedural rules for online dispute resolution, the possibility or desirability to maintain a single database of certified online dispute-resolution providers and the issue of enforcement of awards made through the online dispute-resolution process under the relevant international conventions.251. 会上回顾,委员会2009年第四十二届会议听取了一项建议,即应就今后在跨界电子商务交易网上解决争议这一课题上可能开展的工作编拟一份研究报告,以述及可通过网上解决争议系统加以解决的各类电子商务争议、是否应当起草网上解决争议程序性规则、可否或应否设有网上解决争议合格供应商统一数据库,以及根据相关国际公约通过网上解决争议程序所作裁决的强制执行问题。
The Commission had agreed on the importance of the proposals relating to future work in the field of online dispute resolution to promote e-commerce and requested the Secretariat to prepare a study on the basis of the proposals contained in document A/CN.9/681/Add.2 and to hold a colloquium on the issue of online dispute resolution, resources permitting.委员会一致认为,有关网上解决争议方面今后工作的提议对推动电子商务具有重要意义,并请秘书处在资源允许的前提下,根据A/CN.9/681/Add.2号文件所载建议编写一份研究报告并就网上解决争议问题举行一次专题讨论会。
252. At its forty-third session, the Commission had before it a note by the Secretariat on the issue of online dispute resolution (A/CN.9/706).252. 委员会在第四十三届会议上收到了秘书处关于网上解决争议问题的说明(A/CN.9/706)。
The note, in particular, summarized the discussion at the colloquium organized jointly by the Secretariat, the Pace Institute of International Commercial Law and the Penn State University Dickinson School of Law, under the title “A fresh look at online dispute resolution (ODR) and global e-commerce: towards a practical and fair redress system for the 21st century trader (consumer and merchant)” (Vienna, 29 and 30 March 2010).该说明特别概要介绍了秘书处、佩斯国际商法研究所和宾州大学迪金森法学院共同举办的专题讨论会(2010年3月29日和30日。 维也纳)的讨论情况,专题讨论会的题目是“重新审视网上解决争议与全球电子商务:力争为21世纪交易商(消费者和商家)形成一个务实公平的补偿制度”。
The Commission also had before it a note by the Secretariat (A/CN.9/710) transmitting information provided by the Institute of International Commercial Law in support of possible future work by UNCITRAL in the field of online dispute resolution.委员会还收到秘书处提交的一份说明(A/CN.9/710),其中转载了国际商法研究所为支持贸易法委员会在网上解决争议方面今后可能开展的工作提供的信息。
253. The Commission noted that, during the colloquium, it had been said that proposals for regional online dispute-resolution systems were in the process of being developed and it might therefore be timely to deal with the matter internationally from the outset in order to avoid development of inconsistent mechanisms.253. 委员会注意到,在专题讨论会期间,有与会者说,正在拟定关于区域网上解决争议系统的提议,因此,为避免形成各种不相一致的机制,从一开始就在国际层面上处理该事项可能很及时。
It was further noted that the goal of any work undertaken by UNCITRAL in that field should be to design generic rules, which, consistent with the approach adopted in UNCITRAL instruments (such as the Model Law on Electronic Commerce), could apply in both business-to-business and business-to-consumer environments.有与会者进一步指出,贸易法委员会在该领域所开展的任何工作都应力求拟订一些通行规则,在与贸易法委员会文书(例如《电子商务示范法》)所采取的做法相一致的情况下,能够同时适用于企业对企业以及企业对消费者的情况。
254. The Commission was informed that the commonly shared view expressed during the colloquium was that traditional judicial mechanisms for legal recourse did not offer an adequate solution for cross-border e-commerce disputes, and that the solution — providing a quick resolution and enforcement of disputes across borders — might reside in a global online dispute-resolution system for small-value, high-volume business-to-business and business-to-consumer disputes.254. 委员会获悉,在专题讨论会期间,与会者普遍认为,关于法律追索的传统司法机制并没有为跨界电子商务争议提供适当的解决办法,这种解决办法可为跨界争议提供迅捷的解决和执行办法,或许可以放在一个针对企业对企业和企业对消费者的低价值高数额争议的全球网上解决争议系统中。
E-commerce cross-border disputes required tailored mechanisms that did not impose costs, delays and burdens that were disproportionate to the economic value at stake.电子商务跨界争议需要定制式机制,且这类机制不致造成与所涉经济价值不相称的过高费用、过多延迟和过重负担。
Those views were generally supported in the Commission.委员会普遍赞成上述意见。
The Commission also noted that work on the topic should recognize the digital divide and that more efforts should be made to hear the views of developing States.委员会还注意到,在这一专题上开展工作时应当认识到数字鸿沟的问题,且应做更多努力倾听发展中国家的意见。
255. The Commission was generally of the view that topics identified at the colloquium required attention and that work by the Commission in the field of online dispute resolution would be timely.255. 委员会普遍认为,应当重视专题讨论会所确定的专题,委员会在网上解决争议领域的工作是适时的。
However, some concerns were expressed with regard to the scope of work to be undertaken.但有与会者对将要开展的工作的范围表示关切。
It was suggested that such scope should be limited, at an initial stage, to business-to-business transactions.有与会者建议,在最初阶段,应将工作范围限于企业对企业交易。
It was pointed out that issues related to consumer protection were difficult to harmonize, since consumer protection laws and policies varied significantly from State to State.有与会者指出,与消费者保护有关的问题很难统一,因为各国保护消费者的法律和政策差别很大。
It was also stated that work in that area should be conducted with extreme caution to avoid undue interference with consumer protection legislation.还有与会者说,在这一领域开展工作应当极其谨慎,以避免不当干涉消费者保护法。
256. In response, the view was expressed that, in the present electronic environment, consumer transactions constituted a significant portion of electronic and mobile commercial transactions and were often cross-border in nature.256. 对此,有意见认为,在当前的电子环境下,消费者交易在电子和移动商务交易中占了很大一部分,而且往往是跨国性质的。
It was also argued that it was practically and theoretically difficult to make a distinction not only between business-to-business and business-to-consumer transactions but also between merchants and consumers.还有与会者指出,从实务和理论上来说,不仅企业对企业交易和企业对消费者交易难以区分,就是商家和消费者也难以区分。
It was concluded that work by a working group should be carefully designed not to affect the rights of consumers.最后的结论是,应当谨慎规划工作组的工作,从而不影响消费者的权利。
Although it was generally felt that it would be feasible to develop a generic set of rules applicable to both kinds of transactions, it was also agreed that the working group should have the discretion to suggest different approaches, if necessary.虽然普遍认为制定一套适用于这两类交易的通用规则是可行的,但也一致认为,在必要情况下,应让工作组自行斟酌提出各种办法。
2. Decision by the Commission with respect to future work in the area of online dispute resolution in cross-border e-commerce transactions2. 委员会就今后在跨界电子商务交易网上解决争议领域可能开展的工作所做的决定
257. After discussion, the Commission agreed that a working group should be established to undertake work in the field of online dispute resolution relating to cross-border e-commerce transactions, including business-to-business and business-to-consumer transactions.257. 经过讨论,委员会商定设立一个工作组,在与跨界电子商务交易(包括企业对企业和企业对消费者交易)有关的网上解决争议领域开展工作。
It was also agreed that the form of the legal standard to be prepared should be decided by the working group after further discussion of the topic.还商定,所要制定的法律标准的形式应由工作组对该专题作进一步讨论之后决定。
VIII. Possible future work in the area of insolvency law八. 今后在破产法领域可能开展的工作
258. The Commission had before it a series of notes (A/CN.9/WG.V/WP.93 and Add.1-6 and A/CN.9/582/Add.6) setting forth a number of proposals for future work on insolvency law.258. 委员会会收到了一系列说明(A/CN.9/WG.V/WP.93和Add.1-6,A/CN.9/582/ Add.6),其中就破产法方面今后的工作提出了一些建议。
The proposals contained in those documents were discussed at the thirty-eighth session of Working Group V (Insolvency Law) (A/CN.9/691, paras. 99-107).在第五工作组(破产法)第三十八届会议上就这些文件中提出的建议进行了讨论(A/CN.9/691,第99-107段)。
An additional document (A/CN.9/709) was submitted after that session of Working Group V, which set forth material additional to the proposal of Switzerland contained in document A/CN.9/WG.V/WP.93/Add.5.在第五工作组该届会议之后提交了另一份文件(A/CN.9/709),就A/CN.9/WG.V/WP.93/Add.5号文件中载列的瑞士建议提供了补充材料。
259. After discussion, the Commission endorsed the recommendation by Working Group V contained in document A/CN.9/691, paragraph 104, that activity be initiated on two insolvency topics, both of which were of current importance, and where a greater degree of harmonization of national approaches would be beneficial in delivering certainty and predictability.259. 经过讨论,委员会核准了A/CN.9/691号文件第104段中载列的第五工作组的建议,即应当就两个破产问题启动工作,这两个问题在当前都具有现实意义,加强各国在这些问题上的协调将有助于提供确定性和可预测性。
Those topics were:这些议题是:
(a) The United States’ proposal as described in paragraph 8 of document A/CN.9/WG.V/WP.93/Add.1 to provide guidance on the interpretation and application of selected concepts of the UNCITRAL Model Insolvency Law 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;(a) A/CN.9/WG.V/WP.93/Add.1号文件第8段所阐明的美国建议,其目的是就《贸易法委员会破产示范法》中主要利益中心的某些概念的解释和适用提供指导,可能的话,在不排除制定一项公约的情况下,针对某些国际问题(包括管辖权、进入和承认)拟订破产法示范法或条文;
(b) The proposals of the United Kingdom (see A/CN.9/WG.V/WP.93/Add.4), INSOL (A/CN.9/WG.V/WP.93/Add.3) and the International Insolvency Institute (A/CN.9/582/Add.6) concerning the responsibility and liability of directors and officers of an enterprise in insolvency and pre-insolvency cases.(b) 联合王国的建议(见A/CN.9/WG.V/WP.93/Add.4)、破产管理从业人员国际协会(见A/CN.9/WG.V/WP.93/Add.3)和国际破产协会的建议(见A/CN.9/582/Add.6),这些建议均涉及破产情况下和破产前情况下董事和高管人员的职责和赔偿责任问题。
In the light of concerns raised during extensive discussion, the Commission agreed that the focus of the work on that topic should only be upon those responsibilities and liabilities that arose in the context of insolvency and that criminal law issues were outside the scope of the mandate.委员会商定,关于这个问题的工作重点只能是破产情况下产生的这些职责和赔偿责任,刑法问题不在任务授权范围之内。
260. With respect to the proposal by Switzerland, the Commission agreed that the study (see A/CN.9/709, para. 7) should be undertaken by the Secretariat as resources permitted.260. 关于瑞士的建议,委员会商定,应当由秘书处在资源允许情况下进行此项研究(见A/CN.9/709,第7段)。
It was noted in that regard that reports on work being undertaken by a number of other organizations on the same topic were expected by the end of 2010 and that those reports should be factored into the Secretariat’s work.在这方面有与会者指出,其他一些组织就同一问题进行的工作的报告可望于2010年底出炉,秘书处的工作应当考虑到这些报告。
It was anticipated that coordination would be sought between the Secretariat and other interested international organizations.预期将设法在秘书处和其他有关国际组织之间进行协调。
261. The Commission heard a proposal by the Secretariat, which noted that participants in the judicial colloquiums that had been held by UNCITRAL in cooperation with INSOL and the World Bank (the Ninth Colloquium is scheduled for 2011) had indicated a desire for information and guidance for judges on cross-border-related issues and in particular on the UNCITRAL Model Insolvency Law.261. 委员会听取了秘书处提出的一项建议,该建议指出,在贸易法委员会与破产管理从业人员协会和世界银行合作举办的司法座谈会上(第九期座谈会定于2011年举行),与会者表示希望就跨国界破产相关问题,特别是就《贸易法委员会破产示范法》为法官提供信息和指导。
To that end, the Commission was informed that the Secretariat had been working on the preparation of a draft text that provided a judicial perspective on the use and interpretation of the UNCITRAL Model Insolvency Law.为此,委员会了解到,秘书处已经着手拟订一个案文草案,从司法角度就《贸易法委员会破产示范法》的使用和解释提出见解。
The Commission agreed that the Secretariat should be mandated to develop that text in the same flexible manner, resources permitting, as was achieved with respect to the UNCITRAL Practice Guide on Cross-Border Insolvency Cooperation.委员会商定,应当授权秘书处在资源允许的情况下,以编写《贸易法委员会跨国界破产合作实务指南》的同样灵活方式编写该案文。
That would involve consultation, principally with judges, but also with insolvency practitioners and professionals; consideration, at an appropriate stage, by Working Group V; and finalization and adoption by the Commission, possibly in 2011.这项工作将涉及以下几个阶段:协商,主要是与法官协商,但也需与破产从业人员和专业人员协商;第五工作组在适当阶段进行审议;委员会可能在2011年审定并通过该案文。
IX. Possible future work in the area of security interests九. 今后在担保权益领域可能开展的工作
262. The Commission recalled that, at its forty-second session, in 2009, it had noted with interest the future work topics discussed by Working Group VI (Security Interests) at its fourteenth and fifteenth sessions (A/CN.9/667, para. 141, and A/CN.9/670, paras. 123-126, respectively).262. 委员会回顾,委员会在其2009年第四十二届会议感兴趣地注意到第六工作组(担保权益)第十四届和第十五届会议讨论的今后工作议题(分别为A/CN.9/667第141段和A/CN.9/670第123-126段)。
The Commission also noted that, at that session, it had agreed that: (a) the Secretariat could hold an international colloquium early in 2010 with broad participation of experts from Governments, international organizations and the privatesector; and (b) the Commission would be in a better position to consider and make a decision on the future work programme of the Working Group at its forty-third session on the basis of a note by the Secretariat.委员会还注意到,委员会在该届会议上商定:(a)秘书处可以在2010年初举行一次由来自各国政府、国际组织和私营部门的专家广泛参加的国际座谈会;(b)以秘书处的一项说明为基础,委员会第四十三届会议能够更好地对该工作组今后工作方案进行审议并作出决定。
At its forty-third session, the Commission had before it a note by the Secretariat on possible future work in the area of security interests (A/CN.9/702 and Add.1).委员会在第四十三届会议上收到了秘书处关于今后在担保权益领域可能开展的工作的说明(A/CN.9/702和Add.1)。
263. In addition, the Commission noted that Working Group VI, at its seventeenth session (New York, 8-12 February 2010), had engaged in a preliminary discussion of its future work programme (A/CN.9/689, paras. 59-61).263. 此外,委员会还注意到,第六工作组第十七届会议(2010年2月8日至12日,纽约)就今后工作方案进行了初步讨论(A/CN.9/689,第59-61段)。
The Commission also noted that, at that session, some support had been expressed for work on registration of security rights and a model law on secured transactions based on the recommendations of the UNCITRAL Legislative Guide on Secured Transactions, while any work on security rights in securities would have to be limited to non-intermediated securities and any work on intellectual property licensing would need to be closely coordinated with WIPO (A/CN.9/689, para. 61).委员会还注意到,在该届会议上,有与会者支持就担保权登记和以《贸易法委员会担保交易立法指南》建议为基础编写担保交易示范法开展工作,而就证券担保权开展任何工作必须限于非中间人代持证券,就发放知识产权许可开展任何工作则需与知识产权组织密切协调(A/CN.9/689,第61段)。
264. The Commission agreed that four issues related to secured transactions law listed in document A/CN.9/702, paragraph 2 (a)-(d), were interesting (non-intermediated securities, registration of security rights, a model law and a contractual guide on secured transactions) and should be retained on its future work agenda (for the discussion of intellectual property licensing, see paras. ‎269-‎273 below).264. 委员会一致认为,A/CN.9/702号文件第2段(a)-(d)项中列出的与担保交易法有关的四个问题(非中间人代持证券、担保权登记、担保交易示范法和担保交易合同指南)都令人感兴趣,应放在今后工作议程上保留(关于发放知识产权许可的讨论,见下文第269-273段)。
At the same time, in view of the limited resources available to it, the Commission agreed that it could not undertake work on all four issues at the same time and that, as a result, it should set priorities.与此同时,鉴于委员会可用资源有限,委员会一致认为不能同时就所有四个问题开展工作,因此,委员会应确定优先事项。
In that regard, there was general agreement that priority should be given to work on registration of security rights in movable assets.在这方面,普遍认为应当优先就动产担保权登记开展工作。
265. It was widely felt that such a text would usefully supplement the Commission’s work on secured transactions and provide urgently needed guidance to States with respect to the establishment and operation of security rights registries.265. 普遍认为,这样的案文将有益地补充委员会就担保交易开展的工作,并就担保权登记处的建立和运作向各国提供迫切需要的指导。
It was stated that secured transactions law reform could not be effectively implemented without the establishment of an efficient publicly accessible security rights registry.据指出,不建立高效的可供公众使用的担保权登记处,担保交易法改革便无法有效实施。
It was also emphasized that the Guide did not address in sufficient detail the various legal, administrative infrastructural and operational questions that needed to be resolved to ensure the successful and efficient implementation of a registry.还强调《指南》并未足够详细地处理为确保成功和高效实施登记处而需要解决的各种法律、行政基础设施和运作问题。
266. It was also agreed that, while the specific form and structure of the text could be left to the Working Group, the text could: (a) include principles, guidelines, commentary, recommendations and model regulations; and (b) draw on the Guide, texts prepared by other organizations and national law regimes that have introduced security rights registries similar to the registry recommended in the Guide.266. 会议还商定,虽然案文的具体形式和结构可留给工作组决定,但案文可以:(a)包括原则、准则、评注、建议和示范条例;(b)借鉴《指南》、其他组织编写的案文和已采用与《指南》所建议登记处类似的担保权登记处的国家法律制度。
In response to a statement that work by the Commission on registration of security rights should not duplicate work done, for example, in the context of the Convention on International Interests in Mobile Equipment (Cape Town, 2001), it was pointed out that the Cape Town Convention registry was different from the registry recommended in the Guide at least to the extent that the Cape Town Convention registry was an asset-based international registry permitting registration of sales transactions.有与会者指出,委员会就担保权登记开展的工作不应重复已经做的工作,例如在《移动设备国际利益公约》(2001年,开普敦)范围内开展的工作,针对这一说法,指出《开普敦公约》登记处与《指南》所建议的登记处是不同的,至少体现在《开普敦公约》登记处是以资产为基础的国际登记处,允许登记买卖交易。
267. With respect to work on security rights in non-intermediated securities, differing views were expressed.267. 关于就非中间人代持证券担保权开展工作,与会者表达了各不相同的观点。
One view was that work should be undertaken to provide guidance to States with respect to security rights in a very important type of asset.一种观点是,应当开展工作,就一种非常重要类型资产的担保权向各国提供指导。
It was stated that non-intermediated securities were used as security for credit in commercial financing transactions and yet they were generally excluded from the scope of the Guide and the Unidroit Convention on Substantive Rules for Intermediated Securities (2009).据指出,非中间人代持证券在商业融资交易中被用作信贷担保,却被普遍排除在《指南》和统法协会《中间人代持证券实体规则公约》(2009年)的范围之外。
Another view was that there was no reason why the recommendations of the Guide should not apply to security rights in non-intermediated securities, a result that could be achieved by a change in the scope provisions of the Guide.另一种观点是,《指南》的各项建议没有理由不适用于非中间人代持证券的担保权,调整《指南》的适用范围规定即可实现这一效果。
It was stated that the Secretariat could study that matter and report to the Commission at a future session.会上还指出,秘书处可以研究此事并向委员会今后届会报告。
Yet another view was that any work on security rights in non-intermediated securities should be postponed until the International Institute for the Unification of PrivateLaw (Unidroit) had had a chance to complete its work on a commentary and an accession kit to the Geneva Securities Convention, as well as to consider its future work in the area of financial markets.还有一种观点是,就非中间人代持证券担保权开展的任何工作都应当推迟到国际统一私法协会(统法协会)有机会完成《日内瓦证券公约》评注和成套加入工具的编制工作以及审议其今后在金融市场市场开展的工作之后。
268. After discussion, the Commission decided that Working Group VI should be entrusted with the preparation of a text on registration of security rights in movable assets as a matter of priority.268. 经过讨论,委员会决定应委托第六工作组优先编写关于动产担保权登记的案文。
It was also agreed that other topics, such as security rights in non-intermediated securities, a model law based on the recommendations of the Guide and a text dealing with the rights and obligations of the parties should be retained in the future programme of Working Group VI for further consideration by the Commission at a future session on the basis of notes to be prepared by the Secretariat within the limits of existing resources.还商定,其他议题如非中间人代持证券担保权、以《指南》建议为基础编写示范法和关于各方当事人权利和义务的案文应放在第六工作组今后方案中保留,供委员会在今后届会上根据秘书处在现有资源限度内编写的有关各项说明作进一步审议。
269. The Commission next considered the topic of intellectual property licensing, a topic at the intersection of intellectual property and contract law.269. 委员会接着审议了发放知识产权许可的问题,这个问题介于知识产权法和合同法之间。
It was widely felt that the Commission did not have sufficient information to make a decision as to the desirability and feasibility of any work on that topic.普遍认为,委员会并未掌握充足资料,就任何有关这一问题的工作的可取性和可行性作出决定。
The Commission, therefore, considered whether to request the Secretariat to prepare a desirability and feasibility study that would identify any particular needs and suggest specific ways in which those needs could be addressed by a legal text to be prepared by the Commission with a view to removing any legal obstacles to intellectual property licensing practices hindering the development of international trade.因此,委员会审议了是否请秘书处编写一份可取性和可行性研究报告的问题,这项研究报告将确定任何特定需要,并就如何在拟由委员会编写的法律文本论述这些需要的具体方式提出建议,以便消除在发放知识产权许可方面存在的任何妨碍国际贸易发展的法律障碍。
270. Differing views were expressed as to whether the topic of intellectual property licensing fell within the mandate of the Commission and, as a result, whether the Commission could undertake any work on that topic.270. 关于发放知识产权许可是否属于委员会的授权范围,以及委员会是否由此可以开展关于这个问题的工作,会上表达了不同看法。
One view was that, to the extent that intellectual property licensing involved contract issues and formed an important part of international trade, it was within the mandate of the Commission.一种观点是,就发放知识产权许可涉及合同问题并构成了国际贸易的一个重要组成部分而言,发放知识产权许可属于委员会的授权范围。
Another view was that intellectual property licensing was more properly viewed as an intellectual property law topic that fell within the scope of work of other organizations, such as WIPO.另一种观点是,发放知识产权许可问题更应当看作是属于知识产权组织等其他组织的工作范围的知识产权法问题。
After discussion, the Commission agreed that intellectual property licensing was a topic at the intersection of intellectual property and commercial law and thus, while it fell within the mandate of the Commission, any work by the Commission should be undertaken in cooperation with other organizations, such as WIPO.经过讨论,委员会一致认为,发放知识产权许可问题是一个介于知识产权法和合同法之间的问题,因此,虽然这个问题是在委员会的授权范围之内,但委员会开展的任何工作都应同知识产权组织等其他组织合作进行。
271. Differing views were also expressed as to the scope of any study to be prepared by the Secretariat.271. 关于拟由秘书处编写的研究报告的范围也提出了不同看法。
One view was that the study should examine the desirability and feasibility of work on various issues related to intellectual property licensing.一种看法是,研究报告应当审查就发放知识产权许可的各种相关问题开展工作的可取性和可行性。
It was stated that the outcome of the study should not be prejudged.还指出,不应预先判断研究报告的结果。
In that connection, it was observed that the result of the study could well be that work was both necessary and possible on a narrow topic or on no topic at all.关于这一点还指出,研究报告的结果很可能是这样的:要么有必要也有可能就范围有限的问题开展工作,要么根本就不需要开展任何工作。
In addition, it was pointed out that the Commission had experience in the preparation of such desirability and feasibility studies in the context of a careful, open and deliberate process, involving expert group meetings, colloquiums and seminars, and was confident that that process would produce the best possible and broadly acceptable result for consideration by the Commission.另外还指出,召开专家组会议、专题讨论会和研讨会,通过认真、公开和审慎的过程拟订这种可取性和可行性研究报告,委员会是有经验的,而且有信心通过这一过程产生可供委员会审议的最佳和最为广泛接受的结果。
Moreover, it was said that, as the study would have to be prepared within existing resources and other work had priority, the Secretariat would probably need some time to prepare it.还指出,由于必须在现有资源范围内编写研究报告,而且其他工作有优先,秘书处或许需要更多时间编写这一报告。
272. Another view was that the study should examine a narrow topic related to secured transactions, such as, for example, whether licensee rights could be used as security for credit and, if so, in which rights exactly and under which conditions.272. 另一种看法是,研究报告所审查的与担保交易有关的问题应当缩小范围,例如,举例来说,被许可人的权利是否可以作为信贷担保使用,如果可以的话,究竟是在哪些权利中可以使用以及使用的条件。
It was stated that, in the absence of any specific indication of a particular need, no work was warranted of a broader scope.会上指出,如果不对特定需要做出任何具体说明,就没有必要进行任何更广泛的工作。
It was also observed that experience gained from work on intellectual property licensing at the national level suggested that such work was not desirable or feasible.还指出,从国家一级发放知识产权许可工作中取得的经验表明,此种工作既不可取也不可行。
In that connection, it was emphasized that issues arising with respect to patent licensing were different from those arising with respect to copyright licensing.在这方面,会上强调,发放专利许可所产生的问题不同于发放版权许可所产生的问题。
It was also pointed out that, even within the area of copyright licensing, the issues arising with respect to software licensing were different from those arising in the context of movie or music licensing.还指出,即使是在发放版权许可领域,发放软件许可所产生的问题也不同于发放电影或音乐许可所产生的问题。
In addition, it was said that difficulties would be compounded at the international level in view of the wide divergences existing between the various legal systems.另外还指出一点,鉴于各种法律制度之间存在着广泛差异,在国际一级遇到的问题更为复杂。
Some doubt was expressed as to whether the topic of licensee rights as security for credit warranted any future work in particular in view of the work that had been done by the Commission on the Supplement to the UNCITRAL Legislative Guide on Secured Transactions dealing with security rights in intellectual property.鉴于委员会已经在《贸易法委员会担保交易立法指南》关于知识产权担保权《补编》方面开展的工作,还有与会者对今后是否有必要就被许可人权利作为信贷担保使用的问题开展工作提出疑问。
273. After discussion, the Commission requested the Secretariat to prepare a study, within existing resources, that would identify specific topics and discuss the desirability and feasibility of the Commission preparing a legal text with a view to removing specific obstacles to international trade in the context of intellectual property licensing practices.273. 经过讨论,委员会请秘书处在现有资源范围内编写一份研究报告,其中将确定具体问题并讨论委员会编写一份法律文本对消除在发放知识产权许可的做法中存在的妨碍国际贸易的具体障碍是否可取和是否可行。
It was widely felt that the study should establish specific needs and appropriate ways in which those needs could be addressed, and carefully identify the suitability and the scope of work to facilitate consideration of the topic by the Commission at a future session.普遍认为,研究报告应当确定特定需要以及如何处理这些需要的适当方式,并认真确定工作的适当性和范围,以便于委员会今后审议这个问题。
It was also generally agreed that the Secretariat should consult relevant international organizations, such as WIPO, and experts who had significant experience in intellectual property licensing, both from the public and the privatesector, including those who relied on the licensing of intellectual property in their own commercial practices.会议还普遍认为,秘书处应当咨询知识产权组织等有关国际组织,并应当咨询公私营部门在发放知识产权许可方面有大量经验的专家,包括那些在其商业实务中依赖于发放知识产权许可的专家。
It was also generally agreed that the Secretariat should consider addressing a questionnaire to States to assess the needs and any possible ways in which they could be addressed.会议还普遍认为,秘书处应当考虑向各国分发一份调查问卷,以评价需要以及处理这些需要的任何可能方式。
十. 国际经济发展背景下的小额金融
X. Possible future work in the area of microfinance 274. The Commission recalled that, at its forty-second session, in 2009, it had heard a suggestion that it would be timely for UNCITRAL to carry out a study on microfinance with the purpose of identifying the need for a legal and regulatory framework aimed at protecting and developing the microfinance sector so as to allow its continuous development, consistent with the purpose of microfinance, which was to build inclusive financial sectors for development.274. 会员会回顾,委员会在2009年第四十二届会议上听取了一项建议,即贸易法委员会现在就应当开展小额金融研究工作,目的是确定是否需要有一个以保护和发展小额金融为目的的法律和监管框架,从而在不违背小额金融建立有利于发展的包容性金融部门的宗旨的前提下允许其继续发展。
It was further recalled that, after discussion at that session, the Commission had requested the Secretariat, subject to the availability of resources, to prepare a detailed study on the legal and regulatory issues of microfinance as well as proposals as to the form and nature of a reference document that the Commission might in the future consider preparing with a view to assisting legislators and policymakers around the world in establishing a favourable legal framework for microfinance.还回顾,在该届会议上,委员会经讨论后请秘书处在资源允许的情况下编写一份详细的研究报告,讨论小额金融的法律和监管问题,并就一份参考文件的形式和性质提出建议,为协助世界各国的立法者和决策者建立有利于小额金融的法律框架,委员会今后不妨考虑编写这样一份参考文件。
The Commission had also requested the Secretariat to work in conjunction with experts and to seek possible cooperation with other interested organizations for the preparation of such a study, as appropriate.委员会还请秘书处与专家共同努力,并尽可能寻求其他有关组织给予合作,酌情编写这类研究报告。
275. At its forty-third session, the Commission had before it a note by the Secretariat containing a study and proposals as requested (A/CN.9/698).275. 委员会在第四十三届会议上收到了秘书处的一份说明,其中按要求载有一份研究报告和建议(A/CN.9/698)。
The note, it was explained, sought to examine and provide an overview of the issues relating to the regulatory and legal framework of microfinance.据解释,该说明试图审查并概述与小额金融监管和法律框架有关的问题。
276. It was recognized that, in facilitating access to financial services to the many poor who were not currently served by the formal financial system, microfinance could play an important role as a tool for the alleviation of poverty and achievement of the Millennium Development Goals.276. 与会者认识到,为便利目前享受不到正规金融系统服务的许多穷人获得金融服务,小额金融作为减轻贫穷和实现《千年发展目标》的手段,可以发挥重要作用。
It was also noted that an appropriate regulatory environment contributed to the development of the microfinance sector.还注意到适当的监管环境有助于小额金融部门的发展。
277. A number of delegates cautioned against UNCITRAL straying too far into the field of domestic banking and financial regulation, one delegation noting that this had proved to be a subject of acrimonious debate when raised in other international forums.277. 几位代表告诫贸易法委员会不要偏离太远,涉足国内银行和金融监管领域,一个代表团指出这个问题在其他国际论坛提出时,已证明曾引起激烈辩论。
The question was raised as to whether microfinance was an appropriate field of work for UNCITRAL, given that its mandate related to international trade.有与会者询问小额金融是否为适合贸易法委员会的工作领域,因为其任务授权与国际贸易有关。
It was also stated that many aspects of microfinance seemed to be largely domestic issues and that the supranational aspect of any work in the area should be made clear.还指出小额金融的许多方面似乎很大程度上属于国内问题,该领域任何工作的超国家方面都应当加以明确。
278. One observer outlined some of the key current developments in the field, including the increasing “commercialization” of microfinance over the past several years; the extension of the microfinance concept beyond credit to encompass a wider array of financial services to the poor, including insurance and remittances; the growth of “branchless banking”;278. 一位观察员概要介绍了该领域当前一些主要发展情况,包括过去几年来小额金融日益“商业化”;小额金融概念已延伸到超越信贷,涵盖对穷人的各种金融服务,包括保险和汇款;“无网点银行业务”的增长;以及移动电话在提供金融服务方面的发展。
and the expansion of mobile telephony in the delivery of financial services. 279. Several speakers noted that, since a number of other organizations were currently actively developing policy and standards in the microfinance field, it was necessary to ensure that any involvement by UNCITRAL should be undertaken in close cooperation with other key players.279. 几位发言者指出,由于一些其他组织目前正在积极制定小额金融领域的政策和标准,必须确保贸易法委员会的任何参与都与其他关键行动方密切合作。
It was stated that care should be taken to complement, and avoid duplication of, work that other organizations were doing.据指出,应当注意补充其他组织正在开展的工作,避免重复它们的工作。
280. After discussion, the Commission agreed that the Secretariat should convene a colloquium, with the possible participation of experts from other organizations working actively in that field, to explore the legal and regulatory issues surrounding microfinance that fell within the mandate of UNCITRAL.280. 经过讨论,委员会商定,秘书处应召集一次专题讨论会,可能的话应有积极参与这一领域工作的其他组织的专家参加,以探讨属于贸易法委员会授权范围的围绕小额金融的法律和监管问题。
The colloquium should result in a report to the Commission at its next session, outlining the issues at stake and containing recommendations on work that UNCITRAL might usefully undertake in the field.专题讨论会应产生一份报告,提交委员会下届会议,其中概述相关的问题并载列贸易法委员会可在这一领域开展有益工作的建议。
XI. Monitoring implementation of the New York Convention十一. 监督《纽约公约》的执行情况
281. The Commission recalled that, at its twenty-eighth session, in 1995, it had approved a project, undertaken jointly with Committee D (now known as the Arbitration Committee) of IBA, aimed at monitoring the legislative implementation of the New York Convention and at considering procedural mechanisms that States had adopted for the recognition and enforcement of arbitral awards under that Convention.281. 委员会回顾,在1995年第二十八届会议上曾核准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,目的是监督在立法方面实施《纽约公约》的情况,研究各国为根据《公约承认和执行仲裁裁决而建立的程序性机制。
A questionnaire had been circulated to States with the purpose of identifying how the Convention had been incorporated into national legal systems and how it was interpreted and applied.已向各国分发的一份调查问卷的用意是,查清各国将《公约》纳入本国法律制度并对其加以解释和适用的情况。
One of the central issues to be considered under that project was whether States parties had included additional requirements for recognition and enforcement of arbitral awards that were not provided for in the Convention.在该项目下将要审议的一个核心问题是,缔约国在承认和执行仲裁裁决方面是否列入了《公约》未予规定的更多要求。
It was also recalled that the Secretariat had presented an interim report to the Commission at its thirty-eighth session, in 2005, which had set out the issues raised by the replies received in response to the questionnaire circulated in connection with the project (A/CN.9/585).还回顾秘书处向委员会2005年第三十八届会议提交了一份临时报告(A/CN.9/585),其中列明了在就该项目分发调查问卷之后所收到的答复中提出的问题。
282. The Commission further recalled that, at its forty-first session, in 2008, it had 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 Convention, based on replies sent by 108 States parties (A/CN.9/656 and Add.1).282. 委员会进一步回顾,在2008年第四十一届会议上审议了有关该项目的书面报告,报告以《纽约公约》108个缔约国提交的答复为基础,介绍了各国执行《公约》的情况,对《公约》的解释和适用以及各国为根据《公约》执行裁决而确定的要求和程序(A/CN.9/656和Add.1)。
At that session, the Commission had 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.在该届会议上,委员会欢迎该报告所载建议和结论,注意到其中强调需要在一些领域开展额外工作以加强对《公约》的统一解释和有效执行。
The Commission had been generally of the view that the outcome of the project should consist in the development of a guide to enactment of the 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 diverged from the spirit of the Convention.委员会普遍认为,该项目的结果应当包括编拟一份《公约》颁布指南,以推动《公约》的统一解释和适用,从而避免因执行不当或部分执行而造成的不确定性,并减少各国做法偏离《公约》精神的风险。
The Commission had requested the Secretariat to study the feasibility of preparing such a guide and to publish on the UNCITRAL website the information collected during the project implementation, in the language in which it was received.委员会请秘书处研究能否编拟这样一份指南,还请秘书处将项目执行期间收集的信息以收到时的语文在贸易法委员会网站上公布。
283. The Commission also recalled that, at its forty-second session, in 2009, it had heard an oral report on the project.283. 委员会还回顾,在2009年第四十二届会议上听取了有关该项目的口头报告。
The Commission had noted in particular that a draft guide to enactment of the New York Convention was being planned for preparation and that information collected during the project implementation, to the extent it was confirmed to be accurate, would be published on the UNCITRAL website.委员会特别注意到,正在筹划编拟《纽约公约》颁布指南草案,在项目执行期间收集的信息,如果已经确认准确无误,将在贸易法委员会网站上公布。
284. At its current session, the Commission noted with appreciation that, pursuant to its request, the information collected during the project implementation had been published on the UNCITRAL website in the language in which it had been received.284. 在本届会议上,委员会赞赏地注意到,项目执行期间收集的信息已按要求以收到时的语文在贸易法委员会网站上公布。
To keep the compilation of information up to date and to enable the study based on that compilation to be as effective as possible, the Commission urged States to continue to provide the Secretariat with information regarding their implementation of the Convention.为使信息汇编保持最新并使以该汇编为基础的研究报告尽可能有效,委员会促请各国继续向秘书处提供关于执行《公约》情况的信息。
The Commission requested the Secretariat to pursue its efforts towards the preparation of the guide to enactment of the Convention.委员会请秘书处继续努力编拟《公约》颁布指南。
It was agreed that a more substantive presentation on progress made in the preparation of the guide would be made at a future session of the Commission.还一致同意,将在委员会今后届会上更实质性地介绍编拟指南的进展情况。
XII. Technical assistance to law reform十二. 法律改革技术援助
285. The Commission had before it a note by the Secretariat (A/CN.9/695 and Add.1) 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-second session, in 2009 (A/CN.9/675 and Add.1).285. 委员会收到了秘书处的一份说明(A/CN.9/695和Add.1),其中介绍了在向委员会2009年第四十二届会议提交有关这一主题的说明(A/CN.9/675和Add.1)之后开展的技术合作和援助活动。
The Commission emphasized the importance of such technical cooperation and assistance, in particular to the adoption and use of UNCITRAL texts, and expressed its appreciation for the activities undertaken by the Secretariat referred to in document A/CN.9/695 and in particular for the broad range of activities undertaken to promote adoption of the Rotterdam Rules (see A/CN.9/695/Add.1).委员会强调了此种技术合作和援助特别对于通过和使用贸易法委员会法律文本的重要性,并对A/CN.9/695号文件中提到的秘书处开展的活动表示赞赏,特别是为促进通过《鹿特丹规则》所开展的广泛活动(见A/CN.9/695/Add.1)。
It was emphasized that legislative technical assistance, in particular to developing countries, was an activity that was not less important than the formulation of uniform rules itself.会上强调,立法方面的技术援助,特别是对发展中国家的技术援助,是一项其重要性不亚于拟订统一规则本身的活动。
For that reason, the Secretariat was encouraged to continue to provide such assistance to the broadest extent possible and to improve its outreach to developing countries in particular.为此,委员会鼓励秘书处继续在尽可能广泛的范围提供此种援助,尤其是扩大对发展中国家的工作力度。
The Commission welcomed the suggestion of the Secretariat that a special report on promotional activities relating to each of the newly adopted legislative texts could be prepared for the Commission on an annual basis.委员会欢迎秘书处提出的一项建议,即可以每年为委员会编写关于每项新近通过法律文本相关促进活动的特别报告。
286. 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 UNCITRAL costs.286. 委员会指出,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,取决于是否有资金满足贸易法委员会的相关费用。
The Commission noted in particular that, despite efforts by the Secretariat to solicit new donations, funds available in the UNCITRAL Trust Fund for Symposia were very limited.委员会特别指出,虽然秘书处为寻求新的捐款作出种种努力,但贸易法委员会专题讨论会信托基金所能支配的资金仍然极其有限。
Accordingly, requests for technical cooperation and assistance activities had to be very carefully considered and the number of such activities limited.因此,必须对各种技术合作和援助活动的请求进行认真审查,而且此种活动的数目也受到限制。
The Commission requested the Secretariat to continue exploring alternative sources of extrabudgetary funding and the availability of other resources to provide technical assistance, noting that UNCITRAL should have at its disposal the means necessary to carry out technical cooperation and assistance activities.委员会请秘书处为提供技术援助而继续探索其他预算外资金来源和可支配的其他资源,指出贸易法委员会应当拥有可供其支配的必要手段来开展技术合作和援助活动。
287. The Commission appealed to all States to assist the Secretariat in identifying sources of available funding in their States or organizations that might partner with UNCITRAL to support technical cooperation and assistance activities to promote the use and adoption of UNCITRAL texts, as well as wider participation in their development.287. 委员会呼吁所有国家协助秘书处找出各自国家可供利用的资金来源,或者物色可与贸易法委员会开展合作的组织,以便通过支持技术合作和援助活动促进贸易法委员会各种法律文本的使用和通过,并促进更广泛地参与此种文本的制定。
In particular, the Secretariat was encouraged to explore ways of collaborating further with other organizations, such as Unidroit and the Hague Conference on PrivateInternational Law, to jointly promote related texts.委员会特别鼓励秘书处探索同其他组织(如统法协会和海牙国际私法会议)进一步开展协作以共同促进相关法律文本的各种途经。
288. The Commission also 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.288. 委员会再次呼吁所有国家、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,可能的话可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 Cameroon and Singapore for contributing to the Trust Fund since the Commission’s forty-second session and to organizations that had contributed to the programme by providing funds or by hosting seminars.委员会对自第四十二届会议以来向信托基金捐款的喀麦隆和新加坡表示感谢,并对通过提供经费或通过主办研讨会的方式为该方案作出贡献的各组织表示感谢。
289. 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.289. 委员会吁请联合国系统各有关机关、组织、机构和个人对为向属于委员会成员国的发展中国家提供旅行资助而设立的信托基金提供自愿捐款。
XIII. Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts十三. 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
290. The Commission had before it a note by the Secretariat (A/CN.9/696), which set out the current status of the system for the collection and dissemination of case law on UNCITRAL texts (the CLOUT system) and provided an update on work undertaken by the Secretariat on digests of case law relating to the United Nations Convention on Contracts for the International Sale of Goods (1980) and the Model Law on Arbitration.290. 委员会收到了秘书处的一份说明(A/CN.9/696),其中阐述了贸易法委员法规判例法(法规判例法)收集和传播系统的现状,并介绍了秘书处在《联合国国际货物销售合同公约》(1980年)以及《仲裁示范法》相关判例法摘要集方面的最新工作情况。
It also drew attention to the resource-intensive nature of that work and the need for additional resources to sustain it.委员会还提请注意此项工作需要大量资源,而维持此项工作则需更多资源。
291. The Commission noted with appreciation the continuing work under the CLOUT system.291. 委员会赞赏地注意到继续在法规判例法系统下开展工作。
As at 14 April 2010, 92 issues of compiled case-law abstracts from the CLOUT system had been published, dealing with 925 cases relating mainly to the United Nations Sales Convention and the Model Law on Arbitration.截至2010年4月14日,法规判例法系统判例法摘要汇编已经出版了92期,涉及925个判例,主要与《联合国销售公约》和《仲裁示范法》有关。
In addition, the Commission noted the increase in the abstracts of case law on the UNCITRAL Model Insolvency Law as well as the publication of abstracts on the New York Convention.另外,委员会注意到,《贸易法委员会破产示范法》判例法摘要的数量有所增加,涉及《纽约公约》的摘要已予出版。
The Commission also noted that a majority of the published abstracts concerned cases from Western European and other States and the remainder of the published abstracts concerned cases from other regions (Asia and the Pacific, Eastern Europe, Africa and Latin America and the Caribbean, listed in order of the number of published abstracts per region).委员会还注意到,所出版的摘要主要涉及西欧和其他国家的案例,所出版的其余摘要则涉及其他区域的案例(亚太、东欧、非洲,以及拉丁美洲和加勒比——按各区域摘要的出版数量排列)。
It was widely agreed that the CLOUT system continued to be an important aspect of the overall technical cooperation and assistance activities undertaken by UNCITRAL and that its broad dissemination in all six official languages of the United Nations promoted the uniform interpretation and application of UNCITRAL texts.与会者普遍认为,法规判例法系统仍然是贸易法委员会开展全面技术合作和援助活动的一个重要方面,以联合国全部六种正式语文广泛传播,推动了对贸易法委员会法规的统一解释和适用。
The Commission expressed its appreciation to the national correspondents and other contributors for their work in developing the CLOUT system. The Secretariat was encouraged to continue its efforts to extend the composition and vitality of the network of contributors to the CLOUT system.委员会对国家通信员和其他撰稿人在法规判例法系统发展方面所做的工作表示感谢,鼓励秘书处继续努力扩大法规判例法系统撰稿人联络网的组成,并使其更加具有活力。
292. The Commission took note that the digest of case law on the United Nations Sales Convention was currently being updated with a view to finalizing the draft in the fourth quarter of 2010.292. 委员会注意到,目前正在对《联合国销售公约》判例法摘要集进行增订,以便在2010年第四季度最终完成草案。
Preparation of the digest on the Model Law on Arbitration was also under way and should continue until the fourth quarter of 2010.正在编写的还有《仲裁示范法》摘要集,此项工作会延续到2010年第四季度。
293. The Commission thanked the Secretariat for its work in this area and agreed that CLOUT and digests were important assets — which it was essential to sustain — for promoting awareness, harmonization and uniform interpretation of the law relating to UNCITRAL texts.293. 委员会感谢秘书处在这一领域所做的工作,一致认为法规判例法和摘要集是一项必须加以维持的重要资产,关系到促进对贸易法委员会法规相关法律的了解、协调和统一解释。
The Commission fully supported a call for increased resources to support and enlarge the work of the Secretariat in this area.委员会完全支持一项增加资源以支持、扩大秘书处在这一领域的工作的请求。
XIV.十四. 贸易法委员会法规的现状和促进
Status and promotion of UNCITRAL texts 294. 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.9/694) and information obtained by the Secretariat subsequent to the submission of that note.294. 委员会根据秘书处的一份说明(A/CN.9/694)以及秘书处在提交该说明之后获得的信息审议了由委员会的工作所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 the following treaty actions and legislative enactments received since its forty-second session regarding the following instruments:委员会赞赏地注意到自其第四十二届会议以来收到的关于就下列文书采取的条约行动和颁布的立法的资料:
(a) [Unamended] Convention on the Limitation Period in the International Sale of Goods, 1974 (New York) (28 States parties);(a) [未经修正]《国际货物销售时效期限公约》,1974年(纽约)(28个缔约国);
(b) Convention on the Limitation Period in the International Sale of Goods, as amended, 1980 (New York) (20 States parties);(b) 《国际货物销售时效期限公约》,1980年修正(纽约)(20个缔约国);
(c) United Nations Convention on the Carriage of Goods by Sea, 1978 (Hamburg) (34 States parties);(c) 《联合国海上货物运输公约》,1978年(汉堡)(34个缔约国);
(d) United Nations Convention on Contracts for the International Sale of Goods (1980) (new actions by the Dominican Republic and Turkey (accessions); 76 States parties);(d) 《联合国国际货物销售合同公约》(1980年)(实施新行动的国家有多米尼加共和国和土耳其(加入);76个缔约国);
(e) United Nations Convention on International Bills of Exchange and International Promissory Notes (1988) (the Convention has 5 States parties; it requires 10 States parties for entry into force);(e) 《联合国国际汇票和国际本票公约》(1988年)(该公约有5个缔约国;公约生效需有10个缔约国);
(f) United Nations Convention on the Liability of Operators of Transport Terminals in International Trade, (1991) (the Convention has four States parties; it requires five States parties for entry into force);(f) 《联合国国际贸易运输港站经营人赔偿责任公约》(1991年)(该公约有4个缔约国;公约生效需有5个缔约国);
(g) United Nations Convention on Independent Guarantees and Stand-by Letters of Credit (1995) (eight States parties);(g) 《联合国独立担保和备用信用证公约》(1995年)(8个缔约国);
(h) United Nations Convention on the Assignment of Receivables in International Trade (2001) (the Convention has one State party;(h) 《联合国国际贸易应收款转让公约》(2001年)(该公约有1个缔约国;公约生效需有5个缔约国);
it requires five States parties for entry into force); (i) United Nations Convention on the Use of Electronic Communications in International Contracts (2005) (new actions by Honduras and Singapore (ratifications); the Convention has two States parties;(i) 《联合国国际合同使用电子通信公约》(2005年)(实施新行动的国家有洪都拉斯和新加坡(批准);该公约有2个缔约国;公约生效需有3 个缔约国);
it requires three States parties for entry into force); (j) United Nations Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea (the Rotterdam Rules) (signatures by Armenia, Cameroon, the Congo, Denmark, France, Gabon, Ghana, Greece, Guinea, Madagascar, Mali, the Netherlands, the Niger, Nigeria, Norway, Poland, Senegal, Spain, Switzerland, Togo and the United States; the Convention requires 20 States parties for entry into force);(j) 《联合国全程或部分海上国际货物运输合同公约》《鹿特丹规则》(签署国有亚美尼亚、喀麦隆、刚果、丹麦、法国、加蓬、加纳、希腊、几内亚、马达加斯加、马里、荷兰、尼日尔、尼日利亚、挪威、波兰、塞内加尔、西班牙、瑞士、多哥、美利坚合众国;公约生效需有20个缔约国);
(k) Convention on the Recognition and Enforcement of Foreign Arbitral Awards (new action by the former Yugoslav Republic of Macedonia (withdrawal of reservation); 144 States parties);(k) 《承认及执行外国仲裁裁决公约》(实施新行动的国家有前南斯拉夫的马其顿共和国(撤回保留意见);144个缔约国);
(l) UNCITRAL Model Law on International Commercial Arbitration (1985), as amended in 2006 (new legislation based on the Model Law as amended in 2006, has been adopted in Ireland (2010), Rwanda (2008) and, in the United States, in the State of Florida (2010));(l) 《贸易法委员会国际商事仲裁示范法》(1985年),2006年修正(根据2006年修正的《示范法》颁布的新法规已获通过的有爱尔兰(2010年)、卢旺达(2008年)、美国佛罗里达州(2010年));
(m) UNCITRAL Model Law on International Credit Transfers (1992);(m) 《贸易法委员会国际信贷划拨示范法》(1992年);
(n) UNCITRAL Model Law on Procurement of Goods, Construction and Services (1994) (new legislation based on the Model Law has been adopted in Armenia (2005) and Georgia (1999));(n) 《贸易法委员会货物、工程和服务采购示范法》(1994年)(根据《示范法》颁布的新法规已获通过的有亚美尼亚(2005年)和格鲁吉亚(1999年));
(o) UNCITRAL Model Law on Electronic Commerce (1996) (new legislation based on the Model Law has been adopted in Iran (Islamic Republic of) (2004) and Jamaica (2006));(o) 《贸易法委员会电子商务示范法》(1996年)(根据《示范法》颁布的新法规已获通过的有伊朗伊斯兰共和国(2004年)和牙买加(2006年));
(p) UNCITRAL Model Law on Cross-Border Insolvency (1997) (new legislation based on the Model Law has been adopted in Canada (2009) and Greece (2010));(p) 《贸易法委员会跨国界破产示范法》(1997年)(根据《示范法》颁布的新法规已获通过的有加拿大(2009年)和希腊(2010年));
(q) UNCITRAL Model Law on Electronic Signatures (2001) (new legislation based on the Model Law has been adopted in Jamaica (2006); legislation influenced by the principles on which the Model Law is based has been adopted in India (2009));(q) 《贸易法委员会电子签名示范法》(2001年)(根据《示范法》颁布的新法规已获通过的有牙买加(2006年);受《示范法》所依据原则的影响制定的法规已获通过的有印度(2009年));
(r) UNCITRAL Model Law on International Commercial Conciliation (2002) (new legislation based on the Model Law has been adopted in Albania (2003) and Honduras (2000)).(r) 《贸易法委员会国际商事调解示范法》(2002年)(根据《示范法》颁布的新法规已获通过的有阿尔巴尼亚(2003年)和洪都拉斯(2000年))。
295. During the session, Turkey deposited its instrument of accession to the United Nations Sales Convention.295. 土耳其在本届会议期间交存了《联合国销售公约》的加入书。
In a statement to the Commission, the representative of Turkey stated that the development of international trade on the basis of equality and mutual benefit was an important element in promoting friendly relations among States and that the improvement of the legal framework in which international trade operated was a fundamental aspect of such development process.土耳其代表在对委员会的发言中指出,在平等互利基础上发展国际贸易是促进国与国之间友好关系的一个重要因素,改善国际贸易运作的法律框架则是此种发展进程的一个基本方面。
296. Following that, Singapore deposited its instrument of ratification to the United Nations Convention on the Use of Electronic Communications in International Contracts during the session.296. 接着,新加坡在本届会议期间交存了《联合国国际合同使用电子通信公约》的批准书。
In a statement made by the representative of Singapore, it was noted that the Convention set a new global standard for national e-commerce legislation.新加坡代表在发言中指出,该《公约》为各国电子商务法规确立了一套新的全球标准。
It was noted that Singapore had been among those States which had been at the forefront of implementing laws relating to e-commerce and information and communications technology.据指出,新加坡是采用电子商务和信息通信技术方面的法律的前沿国家之一。
The representative of Singapore indicated that Singapore had enacted legislation to give effect to that Convention in its domestic laws.新加坡代表表示,新加坡已经颁布立法,使该《公约》在本国法律中产生效力。
He noted that wider adoption of the Convention would be an important step towards harmonizing e-commerce legislation.他指出,广泛采用该《公约》是实现电子商务法规统一的重要步骤。
The representative of Honduras, which had deposited its instrument of ratification of the Convention a few weeks before, also emphasized the role that the Convention could play in fostering regional development in the field of e-commerce.洪都拉斯代表几周前交存该《公约》批准书时也强调了该《公约》对促进各区域在电子商务领域中的发展所发挥的作用。
He encouraged States to adopt the Convention and promote it in their respective regions.他鼓励各国通过该《公约》并促进在本区域推广之。
297. The Commission was informed that Australia had recently enacted legislation based on the UNCITRAL Model Law on Arbitration, as amended in 2006.297. 委员会获悉,澳大利亚最近根据经2006年修正的《贸易法委员会仲裁示范法》颁布了法规。
298. The Commission was informed, and noted with appreciation, that a number of States were in the process of becoming parties to or adopting various UNCITRAL instruments.298. 委员会获悉并赞赏地注意到一些国家正在准备加入或通过贸易法委员会的各项文书。
Those States were urged to share such information with the Commission and the Secretariat when available.委员会促请这些国家与委员会和秘书处交流所掌握的此种信息。
XV. Working methods of UNCITRAL十五. 贸易法委员会的工作方法
299. The Commission recalled that, at the first part of its fortieth session (Vienna, 25 June-12 July 2007), it had had before it observations and proposals by France on the working methods of the Commission (A/CN.9/635) and had engaged in a preliminary exchange of views on those observations and proposals.299. 委员会回顾,委员会第四十届会议第一部分会议(2007年6月25日至7月12日,维也纳)收到了法国关于委员会工作方法的意见和建议(A/CN.9/635),并就这些意见和建议初步交换了意见。
It was agreed at that session that the issue of working methods would be placed as a specific item on the agenda of the Commission at its resumed fortieth session (Vienna, 10-14 December 2007).在该届会议上,与会者一致认为,应当将工作方法问题列为委员会第四十届会议续会(2007年12月10日至14日,维也纳)的一个特别议程项目。
In order to facilitate informal consultations among all interested States, the Secretariat was requested to prepare a compilation of procedural rules and practices established by UNCITRAL itself or by the General Assembly in its resolutions regarding the work of the Commission.为便利所有感兴趣的国家进行非正式协商,请秘书处将贸易法委员会本身或大会关于委员会工作的决议所确定的议事规则和做法汇编成册。
The Secretariat was also requested to make the necessary arrangements, as resources permitted, for representatives of all interested States to meet on the day prior to the opening of the resumed fortieth session of the Commission and, if possible, during the resumed session.还请秘书处在资源允许的情况下作出必要安排,使所有感兴趣国家的代表可在委员会第四十届会议续会开幕前一天举行会晤,并且如有可能,还可在续会期间举行会晤。
At its resumed fortieth session, the Commission had considered the issue of working methods on the basis of the observations and proposals by France on the working methods of the Commission (A/CN.9/635) and observations by the United States on the same topic (A/CN.9/639), as well as the requested note by the Secretariat on rules of procedure and methods of work of the Commission (A/CN.9/638 and Add.1-6).委员会第四十届会议续会根据法国关于委员会工作方法的意见和建议(A/CN.9/635)、美国有关同一议题的意见(A/CN.9/639)以及秘书处根据要求编写的关于委员会议事规则和工作方法的说明(A/CN.9/ 638和Add.1-6),审议了工作方法问题。
The Commission was informed about the informal consultations held on 7 December 2007 among representatives of all interested States on the rules of procedure and methods of work of the Commission.委员会获悉了所有感兴趣国家的代表2007年12月7日就委员会议事规则和工作方法进行的非正式协商的情况。
At that session, the Commission had agreed that:在该届会议上,委员会商定如下:
(a) Any future review should be based on the previous deliberations on the subject in the Commission, the observations by France and the United States (A/CN.9/635 and A/CN.9/639, respectively), and the note by the Secretariat (A/CN.9/638 and Add.1-6), which was considered to provide a particularly important historical overview of the establishment and evolution of UNCITRAL rules of procedure and methods of work;(a) 今后的任何审查应当依据委员会先前对这个问题进行的审议、法国和美国的意见(分别为A/CN.9/635和A/CN.9/639)以及秘书处的说明(A/CN.9/638和Add.1-6),据认为,后者对贸易法委员会议事规则和工作方法的制定和演变做了特别重要的历史回顾;
(b) The Secretariat should be entrusted with the preparation of a working document describing current practices of the Commission with the application of rules of procedure and methods of work, in particular as regards decision-making and participation of non-state entities in the work of UNCITRAL, distilling the relevant information from its previous note (A/CN.9/638 and Add.1-6).(b) 应当委托秘书处编写一份工作文件,借助其先前说明(A/CN.9/638和Add.1-6)中的有关资料,介绍委员会在适用议事规则和工作方法,特别是在决策以及非国家实体参加贸易法委员会工作方面的现行做法。
That working document would serve for future deliberations on the subject in the Commission in formal and informal settings.该工作文件将用于委员会今后在正式和非正式场合就该事项进行的审议。
It was understood that, where appropriate, the Secretariat should indicate its observations on rules of procedure and methods of work for consideration by the Commission;但有一项谅解,即秘书处应酌情就议事规则和工作方法提出自己的意见供委员会审议;
(c) The Secretariat should circulate the working document to all States for comment and subsequently compile any comments it might receive;(c) 秘书处应当将该工作文件分发给所有国家征求意见,然后汇编所收到的任何意见;
(d) Informal consultations among all interested States might be held, if possible, before the forty-first session of the Commission;(d) 如有可能,所有感兴趣的国家可以在委员会第四十一届会议之前举行非正式协商;
(e) The working document might be discussed already at the Commission’s forty-first session, time permitting.(e) 如时间允许,甚至在委员会第四十一届会议上就可开始讨论该工作文件。
300. The Commission also recalled that, at its forty-first session, in 2008, it had had before it a note by the Secretariat describing current practices of the Commission as regards decision-making, status of observers in UNCITRAL, and preparatory work by the Secretariat (A/CN.9/653).300. 委员会还回顾,委员会2008年第四十一届会议收到了秘书处的一份说明,其中描述委员会目前在决策、贸易法委员会观察员地位和秘书处的准备工作各方面的做法(A/CN.9/653)。
At that session, the Commission had also had before it a note by the Secretariat compiling the comments received on the note by the Secretariat (A/CN.9/653) prior to the Commission’s forty-first session (A/CN.9/660 and Add.1-5).在该届会议上,委员会还收到了秘书处的一份说明,其中汇编了在委员会第四十一届会议之前收到的对秘书处该份说明(A/ CN.9/653)的意见(A/CN.9/660和Add.1至5)。
The Commission requested the Secretariat to prepare a first draft of a reference document, based on the note by the Secretariat (A/CN.9/653), for use by chairpersons, delegates and observers and by the Secretariat itself.委员会请秘书处在其说明(A/ CN.9/653)的基础上编写参考文件初稿,供会议主席、与会代表和观察员及秘书处自己使用。
It was understood that the reference document should be somewhat more normative in nature than document A/CN.9/653.有一项谅解是,较之于A/CN.9/653号文件,这份参考文件的规范性应略强一些。
While the term “guidelines” was most often used to describe the future reference document, no decision was made as to its final form.关于今后的这份参考文件,虽然描述上使用最多的是“准则”一词,但最终采用什么形式,尚未作出决定。
The Secretariat was requested to circulate the draft reference document for comments by States and interested international organizations and to prepare a compilation of those comments for consideration by the Commission at its forty-second session.委员会请秘书处分发该参考文件草稿,征求各国和相关国际组织的意见,然后汇编这些意见交委员会第四十二届会议审议。
Without prejudice to other forms of consultation, the Commission had decided that two days should be set aside for informal meetings to take place, with interpretation in the six official languages of the United Nations, at the beginning of the forty-second session of the Commission, to discuss the draft reference document.在不影响其他协商方式的情况下,委员会决定,在委员会第四十二届会议开始时,应当拨出两天时间举行配备联合国六种正式语文口译服务的非正式会议,专门讨论该参考文件草稿。
301. The Commission further recalled that, at its forty-second session, in 2009, it had had before it a note by the Secretariat containing a first draft of a reference document (A/CN.9/676), comments by States and interested international organizations (A/CN.9/676/Add.1-9) and a proposal by France (A/CN.9/680) for revisions to be made to the reference document A/CN.9/676.301. 委员会进一步回顾,委员会2009年第四十二届会议收到了秘书处载有参考文件初稿的说明(A/CN.9/676)、各国和有关国际组织的意见(A/CN.9/676/ Add.1-9)以及法国关于修改A/CN.9/676号参考文件的提案(A/CN.9/680)。
It was recalled that the Commission had devoted the first two days of that session to informal consultations on the topic of working methods and that the discussion in the plenary had been based on document A/CN.9/676.还回顾委员会在该届会议的头两天专门就工作方法问题举行了非正式协商,全体会议的讨论以A/CN.9/676号文件为基础。
The Commission also recalled that after discussion in the plenary at that session it had agreed on some revisions to be made in the document, postponed the consideration of other proposed revisions on which the Commission was not able to reach a decision and also deferred the consideration of those parts of the document which the Commission was not able to consider at that session for lack of time.委员会还回顾,经过该届会议上全体会议的讨论,委员会就该文件的一些修订达成了一致,并推迟审议委员会未能达成决定的其他拟议修订,还推迟审议该届会议因时间不够而未能审议的文件部分内容。
302. At its forty-third session, the Commission had before a note by the Secretariat containing a proposed summary of conclusions on UNCITRAL rules of procedure and methods of work (A/CN.9/697).302. 在第四十三届会议上,委员会收到了秘书处的一份说明,其中载有关于贸易法委员会议事规则和工作方法的拟议结论概要(A/CN.9/697)。
That summary of conclusions had resulted from intersessional consultations among interested delegations.该结论概要是感兴趣的代表团进行闭会期间协商的结果。
The Commission also had before it a note reproducing comments of Burundi regarding UNCITRAL working methods (A/CN.9/697/Add.1).委员会还收到了转载布隆迪关于贸易法委员会工作方法的意见的说明(A/CN.9/697/Add.1)。
Those comments, based on document A/CN.9/676, had been received by the Secretariat after the Commission’s forty-second session.这些意见以A/CN.9/676号文件为基础,是秘书处在委员会第四十二届会议之后收到的。
303. The Commission considered that document A/CN.9/697 was a suitable basis for continuation of the discussion.303. 委员会认为,A/CN.9/697号文件是继续讨论的合适基础。
It was agreed that the summary of conclusions annexed to that note did not attempt to provide a complete set of rules but constituted the best possible rendition of the main characteristics of the methods of work of UNCITRAL.一致认为该说明所附的结论概要并没有试图提供一套完整的规则,而是尽可能最好地反映贸易法委员会工作方法的主要特点。
One delegation regretted that the preparation of a more detailed set of rules of procedure could not be achieved.一个代表团对未能编写一份更详尽的议事规则表示遗憾。
304. The Commission agreed that documents previously prepared by the Secretariat, in particular document A/CN.9/638 and Add.1-6, should remain available for future reference.304. 委员会一致认为,秘书处以前编写的几份文件,特别是A/CN.9/638号文件和Add.1-6,应继续供今后参考。
305. After discussion, the Commission unanimously adopted the summary of conclusions on UNCITRAL rules of procedure and methods of work, as reproduced in annex III to the present report.305. 经过讨论,委员会一致通过了本报告附件三转载的关于贸易法委员会议事规则和工作方法的结论概要。
306. With respect to the implementation of that text, it was emphasized that all chairpersons should adhere to the principles expressed in the summary of conclusions at future sessions.306. 关于该案文的实施,强调各位主席应当在今后届会上遵守结论概要中所述原则。
The Secretariat was requested to issue any reminder that might be necessary to ensure strict compliance with those principles.请秘书处给予必要提醒,以确保严格遵守这些原则。
As to non-governmental organizations, whose contribution was generally recognized as welcome and essential to the work of the Commission and its Working Groups, it was emphasized that only those organizations which were expected to contribute positively to the advancement of a project should be invited to participate in a session.非政府组织的贡献普遍认为值得欢迎,对于委员会及其工作组的工作至关重要。 关于非政府组织,强调只有预期可对推动一个项目作出积极贡献的组织应当获邀参加届会。
XVI. Coordination and cooperation十六. 协调与合作
A. GeneralA. 概况
307. The Commission had before it a note by the Secretariat (A/CN.9/707 and Add.1) providing a brief survey of the work of international organizations related to the harmonization of international trade law, focusing upon substantive legislative work.307. 委员会收到了秘书处的一份说明(A/CN.9/707和Add.1),其中提供了对各国际组织开展的协调国际贸易法方面的相关工作,侧重于实质性立法工作的简要调查结果。
The Commission commended the Secretariat for the preparation of the documents, recognizing their value to coordination of the activities of international organizations in the field of international trade law.委员会赞扬秘书处编拟了这些文件,承认这些文件对协调国际组织在国际贸易法领域中的活动所具有的价值。
The Commission recalled that, at its forty-first and forty-second sessions, in 2008 and 2009, the Secretariat had suggested that the timing of both its general annual report on the current activities of international organizations related to the harmonization and unification of international trade law, as well as its ongoing series of specialized reports on particular topics, would in the future not necessarily be published prior to the annual session of the Commission.委员会回顾了秘书处在分别于2008年和2009年举行的第四十一届和四十二届会议上提出的建议,即委员会今后关于各国际组织当前开展的协调和统一国际贸易法相关活动的年度总报告及其现行的一系列关于特定专题的专门报告的发布时间不必安排在委员会年度届会之前。
The Commission welcomed the information that, given the growing interest in insolvency issues that had been witnessed in the light of the ongoing global economic crisis, the Secretariat would soon publish a more detailed study on insolvency-related activities.委员会高兴地得知,鉴于正在发生的全球经济危机,人们对破产问题日益感兴趣,秘书处不久将发表一份关于破产相关活动的更加详细的研究报告。
308. It was recalled that, at its thirty-seventh session, in 2004, the Commission had agreed that it should adopt a more proactive attitude, through its secretariat, in fulfilling the terms of its mandate as regards coordination activities.308. 委员会回顾了其在2004年举行的第三十七届会议上一致认为应采取一种更加积极主动的态度,通过秘书处履行其任务范围内有关协调活动的职责。
Recalling General Assembly resolution 64/111 of 16 December 2009 (see paras. ‎340 and ‎341 below), in which the Assembly had endorsed the efforts and initiatives of the Commission towards coordination of activities of international organizations in the field of international trade law, the Commission noted with appreciation that the Secretariat was taking steps to engage in a dialogue, on both legislative and technical assistance activities, with a number of organizations, including the Hague Conference on PrivateInternational Law, the Organization for Economic Cooperation and Development, the Organization of American States, Unidroit, WIPO, the World Bank and other multilateral development banks, and the World Trade Organization.委员会回顾大会在其2009年12月16日的第64/111号决议(见下文第340段和341段)中核可了委员会为协调国际组织在国际贸易法领域中的活动所作的努力和采取的举措,赞赏地注意到秘书处正采取步骤与一些组织就立法和技术援助活动进行对话,这些组织包括:海牙国际私法会议、经济合作与发展组织、美洲国家组织、统法协会、知识产权组织、世界银行及其他多边开发银行、世界贸易组织。
The Commission noted that that work often involved travel to meetings of those organizations and the expenditure of funds allocated for official travel.委员会注意到,这方面的工作通常涉及出差去参加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。
309. By way of example of current efforts at coordination, the Commission noted the coordination activities listed in documents A/CN.9/695, paragraphs 26-30, and A/CN.9/695/Add.1, paragraph 13, and in particular the meetings involving the Hague Conference on PrivateInternational Law and Unidroit.309. 通过有关目前进行的协调努力的例子,委员会注意到A/CN.9/695号文件第26-30段和A/CN.9/695/Add.1号文件第13段中所列的协调活动,特别是召开有海牙国际私法会议和统法协会参加的会议。
B. Reports of other international organizationsB. 其他国际组织的报告
310. The Commission took note of statements made on behalf of IATA and ITU.310. 委员会注意到代表国际航空运输协会和国际电联所作的发言。
311. The Commission heard a statement on behalf of IATA concerning its work on e-freight, aimed at taking the paper out of air cargo and replacing it with the exchange of electronic data and messages.311. 委员会听取了代表国际航空运输协会所作的关于其开展的电子货运工作的发言,电子货运目的是在空运货物方面取消纸质文件,代之以电子数据和信息的交换。
Noting that e-freight was live in 24 locations in 2009, IATA was focusing on increasing that number, by the end of 2010, to include 44 e-freight locations and 76 major airports and the number of electronic messaging standards that replace paper documents from 16 to 20.注意到2009年在24个货运站推行了电子货运,国际航空运输协会正着力于到2010年底使这一数字增加到包括44个电子货运站和76个主要机场,并使取代纸质文件的电子信息交互标准从16个增加到20个。
With respect to the latter, the Commission was advised that work was proceeding on development of the e-air waybill and that its use was live in more than 20 locations.关于后者,委员会获悉正在进行电子航空货运单的开发工作,并在20多个货运站推行使用。
In total, locations that accounted for more than 80 per cent of all international air freight would be e-freight-capable by the end of 2010.总的来说,到2010年底,占所有国际航空货运80%以上的货运站将具备电子货运能力。
312. The Commission also heard a statement on behalf of ITU concerning its work on issues of cybersecurity, including identity management, data privacy and security of electronic transactions.312. 委员会还听取了代表国际电联就其网络安全工作所作的发言,其中包括身份管理、数据隐私以及电子交易安全。
The Commission took note of the close cooperation between ITU and UNCITRAL in the formulation of legal standards related to those issues and encouraged further efforts in that direction.委员会注意到国际电联与贸易法委员会在制订关于这些问题的法律标准方面所进行的密切合作并鼓励朝此方向进一步努力。
XVII. Role of UNCITRAL in promoting the rule of law at the national and international levels十七. 贸易法委员会在促进国内和国际法治方面的作用
313. The Commission recalled that this item had been on the agenda of the Commission since its resumed fortieth session (Vienna, 10-14 December 2007).313. 委员会回顾,该议程项目自委员会第四十届会议续会(2007年12月10日至14日,维也纳)以来就放在委员会议程上。
It was further recalled that the decision to consider this item had been taken on the basis of General Assembly resolution 62/70 of 6 December 2007 on the rule of law at the national and international levels.委员会还回顾,就审议该项目作出的决定,所依据的是大会关于国内和国际法治的2007年12月6日第62/70号决议。
In paragraph 3 of that resolution as well as paragraph 7 of resolution 63/128 of 11 December 2008, the General Assembly invited the Commission to comment in its report to the Assembly on its current role in promoting the rule of law.大会在该决议第3段和2008年12月11日第63/128号决议第7段中请委员会在其提交大会的报告中就委员会在促进法治方面当前的作用提出意见。
The Commission recalled that it had subsequently transmitted its comments, as requested, in its annual reports to the Assembly.委员会回顾其此后在提交大会的年度报告中转交了所请求提供的意见。
314. At its forty-third session, the Commission took note of General Assembly resolution 64/116 of 16 December 2009 on the rule of law at the national and international levels.314. 在第四十三届会议上,委员会注意到大会2009年12月16日关于国内和国际法治的第64/116号决议。
The Commission noted in particular that in paragraphs 4 and 8 the General Assembly called upon the United Nations system to systematically address aspects of the rule of law in relevant activities, and encouraged the Secretary-General and the United Nations system to accord high priority to rule of law activities.委员会特别注意到,大会在第4和第8段中呼吁联合国系统以系统的方式处理有关活动所涉及的法治工作的各个方面,并鼓励秘书长和联合国系统对法治活动给予高度优先考虑。
The Commission further noted that the Assembly in paragraph 9 of that resolution had invited the Commission (together with the International Court of Justice and the International Law Commission) to continue to comment, in its reports to the Assembly, on its current role in promoting the rule of law.委员会进一步注意到,大会在该决议第9段中请委员会(协同国际法院和国际法委员会)继续在其提交大会的报告中就委员会在促进法治方面的作用提出意见。
315. The Commission also noted that in paragraph 12 of the same resolution, the General Assembly had decided that at its sixty-fifth session, in 2010, the debates in the Sixth Committee under the agenda item on the rule of law would be focused on the sub-topic “Laws and practices of Member States in implementing international law”, without prejudice to the consideration of the item as a whole.315. 委员会还注意到,大会在同一决议第12段中决定,在大会2010年第六十五届会议期间,第六委员会在关于法治的议程项目下的辩论将侧重于“会员国在执行国际法方面的法律和实践”这一分主题,同时不影响对整个议题的审议。
The Commission noted that the Sixth Committee had reached the understanding that comments related to this sub-topic should address, among other things, laws and practices in the domestic implementation and interpretation of international law, strengthening and improving coordination and coherence of technical assistance and capacity-building in that area, mechanisms and criteria for evaluating the effectiveness of such assistance, ways and means of advancing donor coherence and perspectives of recipient States.委员会注意到第六委员会达成了这样的理解,就这一分主题提出的意见应当主要着眼于国际法国内执行和国内解释方面的法律和实践、加强和改善这一领域技术援助和能力建设的协调和一致性、评价此种援助成效的机制和标准、促进捐助方一致性的方式方法,以及受援国的观点。
The Commission therefore decided that, at its current session, its comments to the General Assembly would focus on that sub-topic and the issues identified by the Sixth Committee, as envisaged from the perspective of the work of UNCITRAL.因此,委员会决定,委员会本届会议向大会提出的意见将侧重于从委员会工作的角度就该分主题以及第六委员会确定的各个问题提出设想。
316. The Commission held a panel discussion on the sub-topic.316. 委员会就这一分主题进行了小组讨论。
Opening remarks were delivered by the Deputy Secretary-General, who welcomed the panel discussion on the rule of law in trade and commerce and highlighted the relevance of that discussion (and of the work of UNCITRAL in general) for the United Nations entire rule of law agenda.常务副秘书长致开幕辞,她欢迎就贸易和商业方面的法治问题进行小组讨论,并着重说明了这一讨论(以及一般而言贸易法委员会的工作)对联合国整个法治议程的重要性。
The Deputy Secretary-General referred to the role of UNCITRAL in promoting the rule of law at the national and international levels, the impact of the work of UNCITRAL on economic and social development, including the achievement of the Millennium Development Goals, and in the context of post-conflict reconstruction.常务副秘书长提到贸易法委员会在促进国内和国际法治方面的作用、贸易法委员会工作对经济社会发展的影响,包括对实现《千年发展目标》的作用以及在冲突后重建中所发挥的作用。
She also highlighted the mandate of UNCITRAL to coordinate activities of organizations active in the field of international commercial law and to encourage cooperation among them.她还着重指出贸易法委员会的任务是协调活跃于国际商法领域中的各组织的活动,促进这些组织的相互合作。
The Deputy Secretary-General concluded her remarks by expressing the hope that better integration of the work of UNCITRAL into the United Nations joint rule of law programmes would be achieved.常务副秘书长最后在开幕致辞中表示希望将贸易法委员会的工作与联合国联合法治方案更好地整合在一起。
She saw the panel discussion as a welcome step in that direction.她把这次小组讨论看作是朝此方向迈出的令人欢迎的一步。
She encouraged all concerned to follow-up by raising awareness about the work of UNCITRAL across the United Nations and by promoting regular interaction between UNCITRAL and other relevant actors.她鼓励各有关方面采取后续行动,包括提高全联合国系统对贸易法委员会工作的了解,并促进贸易法委员会与其他各有关行动方之间的定期互动。
To that end, she highlighted the role of the United Nations Rule of Law Coordination and Resource Group, supported by the Rule of Law Unit in the Executive Office of the Secretary-General.为此目的,她强调了联合国法治协调和资源小组在秘书长执行办公室法治股的支持下所发挥的作用。
317. A first round of discussion, with presentations by representatives of Ghana, Honduras and Slovenia, focused on the issues of “Laws and practices of States in the domestic implementation and interpretation of UNCITRAL texts: perspectives of recipient States on the work of UNCITRAL”.317. 在第一轮讨论中,加纳、洪都拉斯和斯洛文尼亚的代表作了专题介绍,侧重的问题涉及“各国在贸易法委员会法规的国内执行和国内解释方面的法律和实践:受援国对贸易法委员会工作的观点”。
A second round, with presentations by the Director of the Rule of Law Unit of the Secretariat, the Legal Counsel of the World Bank and the Deputy General Counsel of EBRD, focused on the issues of “Coordination and coherence of technical assistance and capacity-building in the areas of UNCITRAL work, and mechanisms and criteria for evaluating the effectiveness of such assistance”.在第二轮讨论中,秘书处法治股主任、世界银行法律顾问以及欧洲复兴开发银行常务总顾问分别作了专题介绍,所侧重的问题涉及“贸易法委员会工作领域技术援助和能力建设的协调和一致性,及评价这种援助的成效的机制和标准。
318. In his introductory remarks, the Director of the Rule of Law Unit informed the Commission about the mandates of the Unit and the Rule of Law Group.318. 法治股主任在介绍性发言中向委员会介绍了法治股以及法治小组的任务。
319. In the course of two rounds of discussion, speakers echoed the Secretary-General’s call for careful and context-specific analysis of the relationship between law and economics, and the impact the economic crisis has had on legal protection, justice and security for the most vulnerable and marginalized populations.319. 在这两轮讨论中,发言者都赞同按照秘书长的要求,根据具体情况认真研究法律与经济之间的关系,以及经济危机对于为最弱势和最边缘化人群提供法律保护、公正和安全所产生的影响。
The positive correlation between advancement of democracy, legal reform and economic development was pointed out.会上指出了促进民主体制、法律改革和经济发展这三者之间的积极互动关系。
The point was also made that laws and regulations governing finance and commerce were not purely technical matters, but embodied particular policy preferences.会上还指出,有关金融和商业的法律和规范并非纯粹经济问题,而是反映了一定的政策倾向。
Their effectiveness should not be measured in isolation but in the context of the broader goals of sustainable, equitable and inclusive growth.关于这些法律和规范的效能,是不能孤立地衡量的,而应当结合可持续、公平和包容性增长这一更广泛的目标加以衡量。
320. The Commission was also informed that, in a speech to the Security Council on 29 June 2010, the Under-Secretary-General for Legal Affairs, the Legal Counsel, had drawn the attention of the Council on the work of UNCITRAL and emphasized the supportive role played by effective commercial law in addressing root causes of many international problems, such as migration caused by impoverishment, inequality and internal conflicts, or inequitable access to shared resources.320. 委员会还了解到,法律事务副秘书长兼法律顾问在2010年6月29日对安全理事会的发言中提请安理会注意贸易法委员会的工作,并强调了行之有效的商业法律对从根源上处理诸多国际问题——如贫困、不公平和内部冲突所造成的人口移徙或资源分享不公平——所发挥的支助作用。
The Council had been informed that UNCITRAL would hold a panel discussion to analyse the impact of commercial law and commercial activities on the rule of law, in a debate that was described as rare in the United Nations, where the traditional focus in the context of the rule of law had been on human rights, criminal law and international public law.安理会还了解到,贸易法委员会将举行一次小组讨论,对商业法律和商业活动对法治的影响进行分析,有人形容说这样的辩论在联合国是很少见的,因为法治方面的重点历来是人权、刑法和国际公法。
A. Laws and practices of States in the domestic implementation and interpretation of UNCITRAL texts: perspectives of recipient States on the work of UNCITRALA. 各国在贸易法委员会法规的国内执行和国内解释方面的法律和实践:受援国对贸易法委员会工作的观点
321. In her opening remarks, the Deputy Secretary-General noted that UNCITRAL, with its mandate to work in the interests of all peoples, and in particular those of developing countries, had continuously sought more effective ways to deliver, to build local capacities and to respond to needs “on the ground”.321. 常务副秘书长在其开幕致辞中指出,贸易法委员会的任务是为各国人民特别是发展中国家的人民谋福利,因此,贸易法委员会一直不断地寻求以更为有效的方式提供援助、发展当地能力并“实地”对需要作出反应。
She noted that UNCITRAL promoted the rule of law in both national and cross-border contexts: by developing a modern commercial law framework; by assisting States to implement it; and by helping them to fulfil their international commitments, under the auspices of other international and regional organizations.她注意到贸易法委员会用各种方式促进了在各国和在跨国界情况下建立法治:制定现代商法框架并协助各国执行此种框架,同时协助各国在其他国际组织和区域组织的主持下履行其国际承诺。
She also remarked that UNCITRAL had less visible but no less important impacts in addressing the roots of economic tensions and problems, such as poverty and inequality, or disputes over access to shared resources.她还说,对于从源头处理经济难题和困难,如贫困、不平等或资源分享机会纠纷,贸易法委员会所发挥的作用虽不明显,但并非不重要。
She also referred to the role of UNCITRAL in promoting regional and international integration, which could deter cross-border tensions from escalating into conflicts.她还提到了贸易法委员会对推动区域和国际一体化所发挥的作用,从而可能阻止了跨国界紧张情形发展成为冲突。
The relevance of the work of UNCITRAL in the areas of arbitration and conciliation, public procurement, privately financed infrastructure projects and microfinance to the challenges of transitional justice and post-conflict reconstruction, such as the creation of jobs for ex-combatants and internally displaced persons, was also highlighted.另外还着重说明了贸易法委员会在各有关领域的工作的重要性,如仲裁和调解、公共采购、私人融资基础设施项目,以及为应对过渡性司法和冲突后重建的挑战而提供小额贷款,包括为前战斗人员和国内流离失所人员提供就业机会等。
322. The Commission was informed that the Secretary-General had called for firmly grounding the United Nations rule of law work in the development agenda of the Organization.322. 委员会还了解到,秘书长要求在本组织发展议程上牢牢树立联合国法治工作的地位。
The crucial role of the work of UNCITRAL in facilitating economic and social development, including through the achievement of the Millennium Development Goals, was emphasized in that context.在这方面,特别强调了贸易法委员会在促进经济社会发展方面的工作所发挥的关键作用,包括对实现《千年发展目标》所发挥的作用。
Specific reference was made to Goal 8, on the promotion of an open, rule-based, predictable, non-discriminatory trading and financial system.具体提到目标8——促进建立公开、依据规则、可预测、非歧视性的贸易和金融制度。
The contribution of UNCITRAL to other Goals in many other ways, direct and indirect, including by the creation of legal frameworks to mobilize resources, was also emphasized.另外还强调了贸易法委员会在其他许多方面对《千年发展目标》的其他目标作出的直接和间接贡献,包括建立有助于调动资源的法律框架等。
323. Other speakers elaborated on the above points by illustrating, with practical examples, the impact of UNCITRAL on the promotion of the rule of law in their jurisdictions and in their regions or subregions.323. 其他发言者在阐述上述问题时以具体实例显示了贸易法委员会对促进本法域以及本区域或分区域的法治所发挥的作用。
They referred to various UNCITRAL instruments (conventions, model laws and legislative guides) as representing globally recognized best practices and balancing the interests of various stakeholders.他们提到贸易法委员会的各种文本(公约、示范法和立法指南)反映了全球公认的最佳做法并平衡兼顾了各相关方的利益。
Organizations that partnered with UNCITRAL in their activities reported that UNCITRAL texts were used by them as a benchmark in assessing the need for legal reforms in countries where they operated.与贸易法委员会合作开展活动的组织报告说,它们在其开展业务的国家以贸易法委员会的法规作为准绳,评价这些国家对法律改革的需要。
324. In the context of the promotion of good governance, specific reference was made by speakers to the 1994 Model Procurement Law, which touched upon such issues as anti-corruption, accountability and transparency in public administration.324. 关于促进善政,发言者具体提到1994年《采购示范法》,该法涉及公共管理方面反腐败、问责和透明度这样一些问题。
In the context of promotion of access to justice and culture of the rule of law in the society as a whole, speakers referred to UNCITRAL instruments in the area of commercial dispute resolution.关于在全社会增加诉诸司法的机会和促进法治文化,发言者提到贸易法委员会在商事争议解决领域中的各项文书。
The role of texts produced by UNCITRAL in the area of insolvency, especially at the time of economic crisis, was also highlighted, as providing for rule-based resolution of financial difficulties, exit mechanisms and distribution of assets.还着重说明了贸易法委员会在破产领域制定的法规的作用,特别是在发生经济危机的情况下,这些文书对按规则解决财务困难、退出机制和资产分配作出了规定。
The impact of UNCITRAL texts, in particular in the areas of sale of goods and e-commerce, on economic development and modernization of business practices was also underscored.特别强调了贸易法委员会在货物销售和电子商务领域中的法规对于发展经济和采用现代商业惯例所发挥的作用。
The point was also made that possible future work by UNCITRAL in the area of microfinance could contribute to the achievement of the Millennium Development Goals.还指出,贸易法委员会今后在小额贷款领域可能开展的工作会对实现《千年发展目标》作出贡献。
325. The Commission heard that in some countries UNCITRAL texts had facilitated regional integration and that some States used UNCITRAL texts in their bilateral programmes of technical assistance with commercial law reforms, judicial training and promotion of cross-border judicial cooperation.325. 委员会还了解到,在有些国家,贸易法委员会的法规促进了区域一体化,有些国家还在其商法改革技术援助双边方案、司法培训以及促进跨国界司法合作方面使用了贸易法委员会的法规。
326. It was reported that, in some States, the policymaking, monitoring, coordination and enforcement mechanisms in relation to international legal standards had not kept pace with the international development of finance and commerce.326. 有与会者报告说,有些国家在国际法律标准方面的决策、监测、协调和执行机制滞后于国际金融和商业发展。
Another speaker referred to the gap between the quality of such international legal standards and the quality of their implementation in some States.另一位发言者则提到此种国际法律标准的质量与其在某些国家的执行质量之间的差距。
The point was made that good laws denied economic potential if not or not properly implemented and that confidence in the rule of law would inevitably be undermined if the expectation existed that the law would not be enforced.有与会者指出,法律再好,如果无法执行或无法适当执行,经济上的潜能就发挥不出来;如果存在着法律将得不到执行的预期,对法治的信心势必受到削弱。
327. In that context, speakers were unanimous in commending efforts of UNCITRAL aimed at ensuring effective implementation and uniform interpretation of international commercial standards through technical assistance with law reform in the field of commercial law.327. 在这方面,发言者一致赞扬贸易法委员会通过商法领域法律改革技术援助为确保国际商业标准的有效执行和统一解释而作出的种种努力。
The importance of the CLOUT system was also emphasized.还强调了贸易法委员会法规判例法系统的重要性。
Speakers expressed the need to secure sufficient resources to sustain and expand the work of UNCITRAL in those areas, which were considered vital for States with limited capacity in the field of commercial law.发言者表示需争取足够资源以维持并扩大贸易法委员会在这些领域中的工作,认为这方面的工作对那些在商法领域中能力有限的国家至关重要。
328. Concern was expressed about the low representation of developing countries at the sessions of UNCITRAL.328. 有与会者表示关切发展中国家在贸易法委员会届会上的代表性偏低。
It was pointed out that addressing the needs of the global economy required the active participation of developing countries.指出处理全球经济的需要要求发展中国家积极参与。
A participatory and inclusive legislative process was considered critical to the development of well-balanced legislation and essential to ensuring that its legitimacy would be recognized worldwide.认为参与性和包容性立法过程对于发展平衡兼顾的立法至关重要,是确保其合法性得到全世界承认所必不可少的。
The Commission and its secretariat were requested to find ways to increase outreach to developing countries, including through regional and subregional organizations established by those countries.请委员会及其秘书处找到增加对发展中国家拓展工作的方式,包括借助这些国家建立的区域和分区域组织。
B. Coordination and coherence of technical assistance and capacity-building in the areas of UNCITRAL work, and mechanisms and criteria for evaluating the effectiveness of such assistanceB. 贸易法委员会工作领域技术援助和能力建设的协调和一致性,以及评价这种援助的成效的机制和标准
329.
In her opening remarks, the Deputy Secretary-General highlighted the challenges that the United Nations faced in promoting the rule of law, including being more responsive to the needs of Member States; empowering national stakeholders; mobilizing local knowledge and resources; and constantly monitoring and evaluating the impact of work.329. 常务副秘书长在开幕发言中强调了联合国在促进法治方面面临的挑战,其中包括:更好地响应会员国的需要;增强各国利益相关者的能力;调动当地知识和资源;持续监测和评价工作的影响。
She emphasized that those challenges and the range of issues related to the rule of law could only be addressed collectively — by the whole United Nations system in close cooperation and coordination with outside actors.她强调这些挑战和与法治有关的种种问题只能共同解决,即由整个联合国系统与外部行动方密切合作和协调加以解决。
In that context, she referred to the special role played by UNCITRAL as the core United Nations legal body in the field of international commercial law with the specific mandate to coordinate activities of organizations active in that field.在这方面,她提到贸易法委员会发挥的特殊作用,认为委员会是联合国在国际商法领域的核心法律机构,肩负协调活跃在该领域的各组织的活动的具体任务。
330. Coordination was considered by speakers to be essential in achieving coherence, efficient use of scarce resources and for sharing and widely disseminating knowledge and best practices.330. 发言者认为协调至关重要,有助于实现一致性、稀缺资源的高效利用以及知识和最佳做法的分享和广泛传播。
Coordination with other aid providers, it was pointed out, was often one of the criteria used for evaluating the effectiveness of technical assistance and capacity-building.据指出,与其他援助提供方的协调往往是用来评价技术援助和能力建设的成效的标准之一。
331. The need to adjust the approach of the international community to the rule of law in the light of the lessons learned from the most recent economic crisis was emphasized.331. 与会者强调需根据从最近经济危机中吸取的教训,调整国际社会对于法治的做法。
Particular reference in that regard was made to the need to ensure country-led reform and country-level coordination.在这方面,特别提到需确保国家主导的改革和国家一级的协调。
332. It was acknowledged that UNCITRAL played a commendable role in fostering cooperation and coordination in the field of international commercial law.332. 承认贸易法委员会在促进国际商法领域的合作和协调方面发挥了值得称赞的作用。
However, practical difficulties faced by UNCITRAL and its secretariat in ensuring better coordination were recognized.不过,也认识到贸易法委员会及其秘书处确保更好地协调所面临的实际困难。
The potential facilitating role of the Rule of Law Group and the Rule of Law Unit in that respect was emphasized.强调了法治小组及法治股可能在这方面发挥的促进作用。
333. The Director of the Rule of Law Unit briefed the Commission about the current work and future plans of the Group and the Unit in achieving coordination and coherence of United Nations rule of law activities.333. 法治股主任向委员会通报了该小组和该股在实现联合国法治活动的协调和一致性方面的当前工作和未来计划。
In the Unit’s view, it was important to achieve better integration of the expertise of UNCITRAL into the United Nations joint rule of law activities.该股认为,更好地将贸易法委员会的专门知识融入联合国共同法治活动非常重要。
Although it was recognized that the United Nations engagement often took place in a volatile environment where the dominant concerns were peace and security, it was acknowledged that taking other measures to enable or promote long-term economic and social development was necessary.尽管认识到联合国的参与通常发生在不稳定的环境中,此种环境中的主要关切是和平与安全,但也承认采取其他措施促成或促进长期的经济和社会发展是必要的。
The Unit would find it helpful to receive from UNCITRAL any reference materials, such as a summary of lessons learned and good practices collected as a result of UNCITRAL technical cooperation and assistance activities, that would facilitate better understanding and integration by the United Nations system of the work of UNCITRAL into the United Nations joint rule of law activities.该股认为从贸易法委员会得到任何参考材料是有益的,如在贸易法委员会技术合作和援助活动中吸取的经验教训和收集的良好做法的概要,这将促进联合国系统更好地理解贸易法委员会的工作并将其纳入联合国共同法治活动。
C. Decisions by the CommissionC. 委员会的决定
334. At the end of the panel discussion, the Commission reiterated 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 Group supported by the Rule of Law Unit.334. 在小组讨论结束时,委员会重申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各级法治这项更广泛议程的组成部分,包括法治小组在法治股支持下开展的工作。
The Commission looked forward to being part of strengthened and coordinated rule of law activities of the Organization.委员会期望在得到增强和协调的本组织法治活动中成为一部分。
335. The Commission considered it essential to keep a regular dialogue with the Rule of Law Group through the Rule of Law Unit and to keep abreast of progress made in the integration of the work of UNCITRAL into the United Nations joint rule of law activities.335. 委员会认为,与法治小组和法治股进行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 requested the Secretariat to organize briefings by the Rule of Law Unit biannually, when sessions of the Commission were held in New York.为此,请秘书处每两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。
336. The Commission requested the Secretariat to initiate surveys and studies of the impact of the standards and activities of UNCITRAL on the rule of law and development, in cooperation with the World Bank and other partner organizations that would have the required research capacities in those areas.336. 委员会请秘书处与世界银行和掌握相关领域必要研究能力的其他伙伴组织合作,发起调查和研究,探讨贸易法委员会的标准和活动对法治和发展的影响。
The Commission also requested the Secretariat to review its experience with the operation of the technical cooperation and assistance programme conducted on behalf of the Commission, with a view to identifying lessons learned, best practices and major problems encountered, and to suggesting ways of enhancing technical cooperation and assistance and capacity-building in the field of commercial law and mechanisms for evaluating their effectiveness.委员会还请秘书处对代表委员会开展的技术合作和援助方案的运作经验进行审查,以查明经验教训、最佳做法和遇到的主要问题,并提出加强商法领域技术合作和援助和能力建设的方式和评价其成效的机制。
The Commission also requested the Secretariat to consider ways of better integrating its technical cooperation and assistance activities into activities conducted on the ground by the United Nations in particular through United Nations Development Programme or other country offices of the United Nations.委员会还请秘书处考虑如何更好地将其技术合作和援助活动纳入联合国特别是通过联合国开发计划署或联合国其他国别办事处在当地开展的活动。
XVIII. International commercial arbitration moot competitions十八. 国际商事仲裁模拟辩论赛
A. Willem C. Vis International Commercial Arbitration Moot 2010A. 2010年Willem C. Vis国际商事仲裁模拟辩论赛
337. It was noted that the Association for the Organization and Promotion of the Willem C. Vis International Commercial Arbitration Moot had organized the Seventeenth Moot.337. 会上注意到,组织和促进Willem C. Vis国际商事仲裁模拟辩论赛协会组办了第十七届模拟辩论赛。
The oral arguments phase had taken place in Vienna from 26 March to 1 April 2010.口头辩论阶段于2010年3月26日至4月1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,此次辩论赛由委员会协办。
It was noted that legal issues dealt with by the teams of students participating in the Seventeenth Moot had been based on the United Nations Sales Convention.会上还注意到,参加第十七届辩论赛各学生队所处理的法律问题是以《联合国销售合同》为基础的。
A total of 252 teams from law schools in 62 countries had participated in the Seventeenth Moot.共有62个国家法学院的252支队伍参加了第十七届模拟辩论赛。
The best team in oral arguments was that of King’s College London.口头辩论优胜队是伦敦Kings学院。
The oral arguments of the Eighteenth Willem C. Vis International Commercial Arbitration Moot would be held in Vienna from 15 to 21 April 2011.第十八届Willem C. Vis国际商事仲裁模拟辩论赛口头辩论赛将于2011年4月15日至21日在维也纳举行。
338. It was also noted that the Seventh Willem C. Vis (East) International Commercial Arbitration Moot had been organized by the Chartered Institute of Arbitrators, East Asia Branch, and also co-sponsored by the Commission.338. 会议还注意到,仲裁员特许学会东亚处组办了第七届Willem C. Vis(东方)国际商事仲裁模拟辩论赛,此次辩论赛也是由委员会协办。
The final phase had been organized in Hong Kong Special Administrative Region of China from 15 to 21 March 2010.决赛阶段于2010年3月15日至21日在中国香港特别行政区举行。
A total of 75 teams from 18 countries had taken part in the Seventh (East) Moot.共有18个国家的75支队伍参加了第七届(东方)模拟辩论赛。
The winning team in the oral arguments was from the University of Freiburg, Germany.口头辩论赛优胜队是德国弗赖堡大学。
The Eighth (East) Moot would be held in Hong Kong SAR from 4 to 10 April 2011.第八届(东方)模拟辩论赛将于2011年4月4日至10日在中国香港特别行政区举行。
B. Madrid Commercial Arbitration Moot 2010B. 2010年马德里商事仲裁模拟辩论赛
339. It was noted that the Carlos III University of Madrid had organized the Second International Commercial Arbitration Competition in Madrid from 28 June to 2 July 2010.339. 会上注意到,马德里卡洛斯三世大学于2010年6月28日至7月2日在马德里举办了第二届国际商事仲裁赛。
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 were the Model Law on Arbitration, with amendments as adopted in 2006, the United Nations Sales Convention, the New York Convention, the Unidroit Model Law on Leasing and the Unidroit Convention on International Financial Leasing (1988).此次辩论赛所涉及的法律问题是2006年通过修正的《仲裁示范法》、《联合国销售公约》、《纽约公约》、《统法协会租赁示范法》和《统法协会国际金融租赁公约》(1988年)。
A total of 18 teams from law schools or master programmes in seven countries had participated in the Madrid Moot in Spanish.7个国家法学院或硕士班的18支队伍参加了西班牙语马德里辩论赛。
The best team in oral arguments was from the University of Zaragoza, Spain.口头辩论优胜队是西班牙Zaragoza大学。
The Third Madrid Moot would be held in 2011 on dates yet to be confirmed.第三届马德里模拟辩论赛将于2011年举办,具体日期尚待确认。
It was also noted that the Centre for the Study of Law, Economics and Politics (CEDEP) had organized a Moot competition in Asunción on 12 June 2010.会上还注意到,法律、经济学和政治学研究中心于2010年6月12日在亚松森举办了一次模拟辩论赛。
Legal issues involved in the competition were similar to those of the Madrid Moot.辩论赛所涉及的法律问题与马德里模拟辩论赛所涉及的法律问题类似。
Teams from law schools in three different countries (Argentina, Colombia and Paraguay) participated in the Moot in Asunción.三个国家(阿根廷、哥伦比亚和巴拉圭)法学院的队伍参加了亚松森模拟辩论赛。
The winning team in oral arguments was from the Universidad Católica “Nuestra Señora de la Asunción”.口头辩论赛优胜队是天主教大学“Nuestra Señora de la Asunción”。
XIX. Relevant General Assembly resolutions十九. 大会有关决议
340. The Commission took note with appreciation of two General Assembly resolutions related to the work of UNCITRAL, adopted at the sixty-fourth session on the recommendation of the Sixth Committee: resolution 64/111, on the report of UNCITRAL on the work of its forty-second session; and resolution 64/112, on the Practice Guide on Cross-Border Insolvency Cooperation of UNCITRAL, both of 16 December 2009.340. 委员会赞赏地注意到根据第六委员会建议在大会第六十四届会议上通过的与贸易法委员会工作有关的两项大会决议:关于贸易法委员会第四十二届会议工作报告的第64/111号决议;以及关于《贸易法委员会跨国界破产合作实务指南》的第64/112号决议,两个决议的日期都是2009年12月16日。
341. The Commission noted that, in its resolution 64/111, the General Assembly, inter alia:341. 委员会注意到大会第64/111号决议除其他外:
(a) Commended the completion of the Commission’s project in the area of insolvency law, and welcomed the comprehensive review by the Commission of its working methods, the continuing discussion of its role in promoting the rule of law at the national and international levels, and the progress made in other areas, including public procurement and arbitration, and as regards publication of digests of case law and maintenance of the UNCITRAL website;(a) 称赞委员会完成其在破产法方面的有关项目,并欣见委员会对其工作方法进行的全面审查、继续就其在国家和国际各级促进法治的作用展开的讨论,以及在其他领域取得的进展,其中包括公共采购和仲裁以及出版判例法摘要集和维护贸易法委员会网站;
(b) Noted with appreciation the Commission’s decisions as regards: (i) holding colloquiums on electronic commerce and security interests; (ii) publication of various texts on security interests prepared by the Commission and its secretariat; and (iii) commending the use of the 2007 revision of the Uniform Customs and Practice for Documentary Credits in transactions involving the establishment of a documentary credit;(b) 赞赏地注意到委员会决定:㈠举行关于电子商务的座谈会和关于担保权益的座谈会,㈡出版委员会及其秘书处编写的关于担保权益的各种法规,以及㈢称赞在涉及开立跟单信用证的交易中使用《跟单信用证统一惯例》2007年修订本;
(c) Endorsed the efforts and initiatives of the Commission towards implementation of the Commission’s programmes of technical assistance, and coordination and cooperation, and in that context: (i) reiterated its appeal to relevant organizations for further cooperation and coordination of their activities with those of the Commission; (ii) encouraged the Commission to explore different approaches to the use of partnerships with non-state actors; (iii) called for contributions to the UNCITRAL trust funds; (iv) noted the Commission’s request to the Secretariat to explore the possibility of establishing an UNCITRAL presence in regions or specific countries with a view to facilitating the provision of technical assistance with respect to the use and adoption of UNCITRAL texts;(c) 赞同委员会为实施其在技术援助和协调与合作方面的各项方案而作出的努力和采取的举措,并在这方面:㈠再次吁请相关组织在其活动方面与委员会展开进一步的合作与协调;㈡鼓励委员会探讨以各种方法利用与非国家行为体的伙伴关系;㈢要求向贸易法委员会信托基金捐款;㈣注意到委员会请秘书处探讨在区域和特定国家派驻人员的可能性,以便利提供技术援助,帮助使用和通过委员会法规;㈤注意到委员会在审议2010-2011年期间拟议战略框架方面所提出的评论意见,即尤其需要向秘书处分配额外资源,以满足更多的技术援助需求;
and (v) took note the Commission’s comments made in the context of its consideration of the proposed strategic framework for the period 2010-2011 that additional resources were required to be allotted to the Secretariat in particular to meet the increased demand for technical assistance;
(d) Requested the Secretary-General to explore options for the timely publication of the UNCITRAL Yearbook, to continue providing summary records of the Commission’s meetings relating to the formulation of normative texts, and to bear in mind the particular characteristics of the mandate and work of the Commission in implementing page limits with respect to the documentation of the Commission.(d) 请秘书处探讨促进及时出版贸易法委员会《年鉴》的办法,继续提供委员会拟定规范性案文的会议的简要记录,并在对委员会文件的实施页数限制的规定时考虑到委员会职权和工作的特殊性质。
342. The Commission noted that, in its resolution 64/112, the General Assembly requested the Secretary-General to publish, including electronically, the text of the Practice Guide on Cross-Border Insolvency Cooperation, and to transmit it to Governments with the request that the text be made available to relevant authorities so that it becomes widely known and available.342. 委员会注意到,大会第64/112号决议请秘书处发表《跨国界破产合作实务指南》,包括以电子形式予以发表,并将其分送各国政府,请各国政府向相关机构提供《指南》文本,使之广为人知并可供查阅。
The Commission also noted that the Assembly recommended that the Practice Guide be given due consideration, as appropriate, by judges, insolvency practitioners and other stakeholders involved in cross-border insolvency proceedings, and that all States continue to consider implementation of the UNCITRAL Model Insolvency Law.委员会还注意到,大会建议法官、破产管理人和跨国界破产程序的其他利益攸关方酌情适当考虑《实务指南》,并建议所有国家继续考虑执行《贸易法委员会跨国界破产示范法》。
二十. 其他事项
XX.A. 实习方案
Other business A. Internship programme 343. An oral report was presented on the internship programme at the UNCITRAL secretariat.343. 会议听取了关于贸易法委员会秘书处实习方案的口头报告。
In particular, it was noted that, since the Secretariat’s oral report to the Commission at its forty-second session, in July 2009, 26 new interns had undertaken internship with the UNCITRAL secretariat.委员会特别注意到自2009年7月秘书处向委员会第四十二届会议作口头报告以来,已有26名新实习生在贸易法委员会秘书处进行了实习。
344. The Commission noted that the Secretariat, in selecting interns from the Interns Roster maintained and administered by the United Nations Office at Vienna, kept in mind the needs of UNCITRAL and its secretariat at any given period of time, in particular the need to maintain the UNCITRAL website in six official languages of the United Nations.344. 委员会注意到,秘书处在从联合国维也纳办事处保管的实习生花名册中挑选实习生时,考虑到了贸易法委员会及其秘书处在任何特定时期的需要,特别是以联合国六种正式语文维持贸易法委员会网站运转的需要。
From that perspective, the Commission noted with regret that during the period under review only a few candidates from Arabic-speaking countries and China had been available for selection from the Interns Roster.从这一角度看,委员会遗憾地注意到,在所审议的时期内,《实习生花名册》中只有少数几个来自阿拉伯语国家和中国的候选人可供选择。
The Commission further took note that when a sufficient pool of qualified candidates was available the Secretariat tried to ensure a balanced gender representation and representation of interns from various geographical regions, paying special regard to the needs of developing countries and countries with economies in transition.委员会还注意到,当有足够多的合格候选人时,秘书处努力确保在不同地理区域之间和不同性别之间保持均衡的代表性,尤其注意发展中国家和经济转型国家的需要。
During the period under review, the secretariat had been able to select 10 female interns and 12 interns from developing countries and countries with economies in transition.在所审议的时期内,秘书处得以挑选了10名女实习生和12名来自发展中国家和经济转型国家的实习生。
B. Strategic framework for the biennium 2012-2013B. 2012-2013两年期战略框架
345. The Commission had before it the proposed strategic framework for the period 2012-2013 (A/65/6 (Prog. 6)) and was invited to review the proposed biennial programme plan for subprogramme 5 (Progressive harmonization, modernization and unification of the law of international trade) of programme 6 (Legal affairs).345. 委员会收到了2012-2013年期间拟议战略框架(A/65/6 (Prog. 6)),请委员会为方案6(法律事务)的次级方案5(国际贸易法的逐步协调、现代化和统一)审查拟议的两年期方案计划。
The Commission noted that the proposed framework had been reviewed by the Committee for Programme and Coordination at its fiftieth session (7 June-2 July 2010) and would be transmitted to the General Assembly at its sixty-fifth session.委员会注意到该拟议框架已由方案和协调委员会第五十届会议(2010年6月7日至7月2日)进行了审查,并将转交大会第六十五届会议。
346. Concerns were expressed that the resources allotted to the Secretariat under subprogramme 5 were insufficient for it to meet the increased and pressing demands from developing countries and countries with economies in transition for technical assistance with law reform in the field of commercial law.346. 与会者对次级方案5下分配给秘书处的资源不足以满足发展中国家和经济转型国家在商法领域法律改革方面日益增多和紧迫的技术援助需求表示关切。
The Commission urged the Secretary-General to take steps to ensure that the comparatively small amount of additional resources necessary to meet a demand so crucial to development be made promptly available.委员会促请秘书长采取步骤确保能够迅速提供数量相对较少的额外资源以满足对发展如此至关重要的必要需求。
347. The Commission was informed that the Secretariat was exploring various means of responding to the growing need for uniform interpretation of UNCITRAL texts.347. 委员会获悉秘书处正在探索各种方式以回应日益增多的对贸易法委员会文本进行统一解释的需要。
Such uniform interpretation was considered indispensable for the effective implementation of UNCITRAL texts.这种统一解释被视为对有效实施贸易法委员会法规是不可或缺的。
It was noted that some instruments emanated from the work of UNCITRAL explicitly prescribed that, in their interpretation, regard should be had to their international character and to the need to promote uniformity in their application and the observance of good faith in international trade.委员会注意到一些产生于贸易法委员会工作的文书在其解释中明确规定,应当考虑到其国际性,需要促进其统一适用并在国际贸易中遵守诚信。
Continuing work of the Secretariat on the CLOUT system as a means to comply with such a requirement was considered vital.作为满足这一要求的手段,秘书处继续开展有关法规判例法系统的工作被看作是至关重要的。
Concern over the lack of sufficient resources in the Secretariat to sustain and expand such work was noted.与会者提出了对秘书处缺乏足够资源来继续和扩大这一工作所表示的关切。
Building partnerships with interested institutions and exploring various other means, besides seeking additional resources from the regular budget, were mentioned as possible ways to address that concern.除了寻求从经常预算拨付追加资源外,提到解决这一问题的可能办法包括与有关机构建立伙伴关系和探索其他途径。
The Commission also took note of the desirability of establishing within its secretariat a third pillar concentrating on the promotion of ways and means of encouraging uniform interpretation of UNCITRAL texts.委员会还注意到在秘书处内建立第三支柱以着力于促进贸易法委员会法规统一解释的方式方法的可取性。
C. Evaluation of the role of the Secretariat in facilitating the work of the CommissionC. 对秘书处在促进委员会工作方面所起作用的评价
348. It was recalled that, as indicated to the Commission at its fortieth session, in 2007, the programme budget for the biennium 2008-2009 listed among the “Expected accomplishments of the Secretariat” its contribution to facilitating the work of UNCITRAL.348. 委员会回顾,正如向委员会2007年第四十届会议所表明的,2008-2009两年期方案预算在“秘书处预期成绩”下列入了其对“促进贸易法委员会的工作”所作贡献。
The performance measure of 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).对该预期成绩的业绩计量是贸易法委员会对所提供服务的满意度,以1至5的评定等级表中的评分(5分为最高评分)为凭证。
The Commission agreed to provide feedback to the Secretariat.委员会同意向秘书处提供反馈意见。
It was recalled that a similar question regarding the level of satisfaction of UNCITRAL with the services provided by the Secretariat had been asked at the close of the forty-second session of the Commission.在委员会第四十二届会议结束时曾有过关于贸易法委员会对秘书处所提供服务的满意度的类似问题。
It was further recalled that, at that session, the question had elicited replies from 15 delegations, with an average rating of 4.66.会议还回顾,该届会议上有15个代表团对该问题作了答复,得出的平均评分为4.66分。
349. Appreciation was expressed for efforts by the Secretariat in various fields related to the work of UNCITRAL, including in rendering assistance to various stakeholders in implementing projects aimed at dissemination of information about UNCITRAL texts, such as in organizing international commercial arbitration moot competitions.349. 与会者对秘书处在与贸易法委员会工作有关的各领域所作的努力表示赞赏,包括对各利益相关方提供援助以利实施旨在传播有关贸易法委员会法规信息的项目,如组办国际商事仲裁模拟辩论赛等。
Satisfaction was expressed for the generally excellent quality of work delivered to UNCITRAL by its secretariat.对秘书处向贸易法委员会提供的总体高质量的工作表示满意。
XXI. Date and place of future meetings二十一. 今后会议的日期和地点
A. Forty-fourth session of the CommissionA. 委员会第四十四届会议
350. The Commission approved the holding of its forty-fourth session in Vienna from 27 June to 15 July 2011.350. 委员会核准于2011年6月27日至7月15日在维也纳举行第四十四届会议。
The Secretariat was requested to consider shortening the duration of the session by one week if the expected workload of the session would justify doing so.请秘书处考虑在届会预期工作量允许的情况下将届会会期缩短一周。
B. Sessions of working groupsB. 各工作组的届会
351. At its thirty-sixth session, in 2003, the Commission had agreed that: (a) working groups should normally meet for a one-week session twice a year; (b) extra time, if required, could be allocated from the unused entitlement of another working group provided that such arrangement would not result in the increase of 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 the increase of the 12-week allotment, it 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.351. 委员会2003年第三十六届会议曾商定如下:(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,可以从其他工作组有权使用但尚未使用的时间中调拨,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周会议服务时间的增加;(c)如果某一工作组对额外时间的请求导致12周分配时间的增加,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。
1. Sessions of working groups up to the forty-fourth session of the Commission1. 各工作组在委员会第四十四届会议之前的届会
352. The Commission approved the following provisional schedule of meetings for its working groups:352. 委员会核准了各工作组的下述暂定会议安排:
(a) Working Group I (Procurement) would hold its nineteenth session in Vienna from 1 to 5 November 2010 and its twentieth session in New York from 11 to 15 April 2011;(a) 第一工作组(采购)将于2010年11月1日至5日在维也纳举行第十九届会议,将于2011年4月11日至15日在纽约举行第二十届会议;
(b) Working Group II (Arbitration and Conciliation) would hold its fifty-third session in Vienna from 4 to 8 October 2010 and its fifty-fourth session in New York from 7 to 11 February 2011;(b) 第二工作组(仲裁和调解)将于2010年10月4日至8日在维也纳举行第五十三届会议,将于2011年2月7日至11日在纽约举行第五十四届会议;
(c) Working Group III (Online Dispute Resolution) would hold its twenty-second session in Vienna from 11 to 15 October 2010 and its twenty-third session in New York from 14 to 18 March 2011;(c) 第三工作组(网上解决争议)将于2010年10月11日至15日在维也纳举行其第二十二届会议,将于2011年3月14日至18日在纽约举行其第二十三届会议;
(d) Working Group V (Insolvency Law) would hold its thirty-ninth session in Vienna from 6 to 10 December 2010 and its fortieth session in New York from 16 to 20 May 2011;(d) 第五工作组(破产法)将于2010年12月6日至10日在维也纳举行第三十九届会议,将于2011年5月16日至20日在纽约举行第四十届会议;
(e) Working Group VI (Security Interests) would hold its eighteenth session in Vienna from 8 to 12 November 2010 and its nineteenth session in New York from 14 to 18 February 2011.(e) 第六工作组(担保权益)将于2010年11月8日至12日在维也纳举行第十八届会议,将于2011年2月14日至18日在纽约举行第十九届会议。
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 a colloquium on e-commerce (see para. ‎250 above) and a colloquium on microfinance (see para. ‎280 above).353. 委员会授权秘书处根据工作组需要以及举行电子商务专题讨论会(见上文第250段)和小额金融专题讨论会(见上文第280段)的需要,对各工作组会议日程安排作出调整。
The Secretariat was requested to post on the UNCITRAL website the final schedule of the working group meetings once the dates of the meetings had been confirmed.一旦会议日期得到确认,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。
Additional time补充会议时间
354. Tentative arrangements were made for a session to be held in New York from 23 to 27 May 2011.354. 已经为拟于2011年5月23日至27日在纽约举行的届会作出临时安排。
That time could be used to accommodate the need for a session of a working group or for holding a colloquium, depending on the needs of the working groups and subject to consultation with States.这部分时间可用于满足由一个工作组举行一次届会的需要或举行一次专题讨论会的需要,但应视各工作组的需要而定,并且必须与各国协商。
2. Sessions of working groups in 2011 after the forty-fourth session of the Commission2. 各工作组2011年在委员会第四十四届会议之后的届会
355. The Commission noted that tentative arrangements had been made for working group meetings in 2011 after its forty-fourth session (the arrangements were subject to the approval of the Commission at its forty-fourth session):355. 委员会注意到已经为2011年第四十四届会议之后举行的各工作组会议作出了暂定安排(有关安排需经委员会第四十四届会议核准):
(a) Working Group I (Procurement) would hold its twenty-first session in Vienna from 17 to 21 October 2011;(a) 第一工作组(采购)将于2011年10月17日至21日在维也纳举行第二十一届会议;
(b) Working Group II (Arbitration and Conciliation) would hold its fifty-fifth session in Vienna from 5 to 9 September 2011;(b) 第二工作组(仲裁和调解)将于2011年9月5日至9日在维也纳举行第五十五届会议;
(c) Working Group III (Online Dispute Resolution) would hold its twenty-fourth session in Vienna from 12 to 16 December 2011;(c) 第三工作组(网上解决争议)将于2011年12月12日至16日在维也纳举行第二十四届会议;
(d) Working Group IV (Electronic Commerce) would hold its forty-fifth session in Vienna from 10 to 14 October 2011;(d) 第四工作组(电子商务)将于2011年10月10日至14日在维也纳举行第四十五届会议;
(e) Working Group V (Insolvency Law) would hold its forty-first session in Vienna from 31 October to 4 November 2011;(e) 第五工作组(破产法)将于2011年10月31日至11月4日在维也纳举行第四十一届会议;
(f) Working Group VI (Security Interests) would hold its twentieth session in Vienna from 12 to 16 September 2011.(f) 第六工作组(担保权益)将于2011年9月12日至16日在维也纳举行第二十届会议。
Annex I附件一
UNCITRAL Arbitration Rules《联合国国际贸易法委员会仲裁规则》
(as revised in 2010)(2010年修订)
Section I. Introductory rules第一章 绪则
Scope of application适用范围
Article 1第1条
1. Where parties have agreed that disputes between them in respect of a defined legal relationship, whether contractual or not, shall be referred to arbitration under the UNCITRAL Arbitration Rules, then such disputes shall be settled in accordance with these Rules subject to such modification as the parties may agree.1. 凡各方当事人同意,不论一项确定的法律关系是合同关系还是非合同关系,彼此之间与此有关的争议应根据《联合国国际贸易法委员会仲裁规则》提交仲裁的,此类争议均应按照本《规则》进行解决,但须服从各方当事人可能协议对本《规则》作出的修改。
2. The parties to an arbitration agreement concluded after 15 August 2010 shall be presumed to have referred to the Rules in effect on the date of commencement of the arbitration, unless the parties have agreed to apply a particular version of the Rules.2. 除非各方当事人约定适用本《规则》某一版本,否则应推定双方当事人于2010年8月15日之后订立的仲裁协议适用仲裁程序开始之日现行有效的本《规则》。
That presumption does not apply where the arbitration agreement has been concluded by accepting after 15 August 2010 an offer made before that date.在2010年8月15日之后通过接受该日之前所作要约而订立仲裁协议的,此推定不适用。
3. These Rules shall govern the arbitration except that where any of these Rules is in conflict with a provision of the law applicable to the arbitration from which the parties cannot derogate, that provision shall prevail.3. 仲裁应按照本《规则》进行,但本《规则》任一条款与仲裁所适用的某项法律规定相抵触,且各方当事人又不得背离该法律规定的,以该法律规定为准。
Notice and calculation of periods of time通知和期间计算
Article 2第2条
1. A notice, including a notification, communication or proposal, may be transmitted by any means of communication that provides or allows for a record of its transmission.1. 通知包括通知书、函件或建议,可通过任何能够提供或容许传输记录的通信手段进行传输。
2. If an address has been designated by a party specifically for this purpose or authorized by the arbitral tribunal, any notice shall be delivered to that party at that address, and if so delivered shall be deemed to have been received.2. 凡一方当事人已为此目的专门指定某一地址,或者仲裁庭已同意指定某一地址的,均应按该地址将任何通知送达该当事人;照此方式递送的,视为收到通知。
Delivery by electronic means such as facsimile or e-mail may only be made to an address so designated or authorized.使用传真或电子邮件等电子方式的,只能将通知递送到按上述方式指定或同意指定的地址。
3. In the absence of such designation or authorization, a notice is:3. 没有指定地址或没有同意指定地址的,
(a) Received if it is physically delivered to the addressee;(a) 通知直接交给收件人,即为收到;或者
or
(b) Deemed to have been received if it is delivered at the place of business, habitual residence or mailing address of the addressee.(b) 通知递送到收件人的营业地、惯常住所或通讯地址,即视为收到。
4. If, after reasonable efforts, delivery cannot be effected in accordance with paragraphs 2 or 3, a notice is deemed to have been received if it is sent to the addressee’s last-known place of business, habitual residence or mailing address by registered letter or any other means that provides a record of delivery or of attempted delivery.4. 经合理努力仍无法根据第2款或第3款递送通知的,用挂号信或以能够提供递送记录或试图递送记录的方式,将通知递送到收件人最后一个为人所知的营业地、惯常住所或通讯地址,即应视为已收到通知。
5. A notice shall be deemed to have been received on the day it is delivered in accordance with paragraphs 2, 3 or 4, or attempted to be delivered in accordance with paragraph 4.5. 根据第2款、第3款或第4款递送通知的日期,或者根据第4款试图递送通知的日期,应视为已收到通知的日期。
A notice transmitted by electronic means is deemed to have been received on the day it is sent, except that a notice of arbitration so transmitted is only deemed to have been received on the day when it reaches the addressee’s electronic address.以电子方式传递通知的,通知发出的日期视为已收到通知的日期,但以电子方式传递的仲裁通知除外,仲裁通知视为已收到的日期,只能是其抵达收件人电子地址的日期。
6. For the purpose of calculating a period of time under these Rules, such period shall begin to run on the day following the day when a notice is received.6. 本《规则》规定的期间,应自收到通知之日的次日起算。
If the last day of such period is an official holiday or a non-business day at the residence or place of business of the addressee, the period is extended until the first business day which follows.期间的最后一天是收件人住所或营业地法定假日或非营业日的,期间顺延至其后第一个营业日。
Official holidays or non-business days occurring during the running of the period of time are included in calculating the period.期间持续阶段的法定假日或非营业日应计入期间。
Notice of arbitration仲裁通知
Article 3第3条
1. The party or parties initiating recourse to arbitration (hereinafter called the “claimant”) shall communicate to the other party or parties (hereinafter called the “respondent”) a notice of arbitration.1. 提起仲裁的一方或多方当事人(以下称“申请人”)应向另一方或多方当事人(以下称“被申请人”)递送仲裁通知。
2. Arbitral proceedings shall be deemed to commence on the date on which the notice of arbitration is received by the respondent.2. 仲裁程序应视为自被申请人收到仲裁通知之日起开始。
3. The notice of arbitration shall include the following:3. 仲裁通知应包括下列各项:
(a) A demand that the dispute be referred to arbitration;(a) 将争议提交仲裁的要求;
(b) The names and contact details of the parties;(b) 各方当事人的名称和联系方式;
(c) Identification of the arbitration agreement that is invoked;(c) 指明所援引的仲裁协议;
(d) Identification of any contract or other legal instrument out of or in relation to which the dispute arises or, in the absence of such contract or instrument, a brief description of the relevant relationship;(d) 指明引起争议的或与争议有关的任何合同或其他法律文书,无此类合同或文书的,简单说明相关关系;
(e) A brief description of the claim and an indication of the amount involved, if any;(e) 对仲裁请求作简单说明,涉及金额的,指明其数额;
(f) The relief or remedy sought;(f) 寻求的救济或损害赔偿;
(g) A proposal as to the number of arbitrators, language and place of arbitration, if the parties have not previously agreed thereon.(g) 各方当事人事先未就仲裁员人数、仲裁语言和仲裁地达成协议的,提出这方面的建议。
4. The notice of arbitration may also include:4. 仲裁通知还可包括:
(a) A proposal for the designation of an appointing authority referred to in article 6, paragraph 1;(a) 第6条第1款中述及的关于指派指定机构的建议;
(b) A proposal for the appointment of a sole arbitrator referred to in article 8, paragraph 1;(b) 第8条第1款中述及的关于指定一名独任仲裁员的建议;
(c) Notification of the appointment of an arbitrator referred to in article 9 or 10.(c) 第9条或第10条中述及的指定一名仲裁员的通知书。
5. The constitution of the arbitral tribunal shall not be hindered by any controversy with respect to the sufficiency of the notice of arbitration, which shall be finally resolved by the arbitral tribunal.5. 任何关于仲裁通知充分性的争议不得妨碍仲裁庭的组成,最终应由仲裁庭解决。
Response to the notice of arbitration对仲裁通知的答复
Article 4第4条
1. Within 30 days of the receipt of the notice of arbitration, the respondent shall communicate to the claimant a response to the notice of arbitration, which shall include:1. 被申请人应在收到仲裁通知30天内向申请人递送对仲裁通知的答复,其中应包括:
(a) The name and contact details of each respondent;(a) 每一被申请人的名称和联系方式;
(b) A response to the information set forth in the notice of arbitration, pursuant to article 3, paragraphs 3 (c) to (g).(b) 对仲裁通知中根据第3条第3款(c)项至(g)项所载信息内容的答复;
2. The response to the notice of arbitration may also include:2. 对仲裁通知的答复还可包括:
(a) Any plea that an arbitral tribunal to be constituted under these Rules lacks jurisdiction;(a) 任何关于根据本《规则》组成的仲裁庭缺乏管辖权的抗辩;
(b) A proposal for the designation of an appointing authority referred to in article 6, paragraph 1;(b) 第6条第1款中述及的关于指派指定机构的建议;
(c) A proposal for the appointment of a sole arbitrator referred to in article 8, paragraph 1;(c) 第8条第1款中述及的关于指定一名独任仲裁员的建议;
(d) Notification of the appointment of an arbitrator referred to in article 9 or 10;(d) 第9条或第10条中述及的指定一名仲裁员的通知书;
(e) A brief description of counterclaims or claims for the purpose of a set-off, if any, including where relevant, an indication of the amounts involved, and the relief or remedy sought;(e) 提出反请求或为抵消目的而提出请求的,对其作简单说明,包括在有关情况下指明所涉金额以及所寻求的救济或损害赔偿;
(f) A notice of arbitration in accordance with article 3 in case the respondent formulates a claim against a party to the arbitration agreement other than the claimant.(f) 被申请人对不是申请人的仲裁协议当事人提出请求的,第3条规定的仲裁通知。
3. The constitution of the arbitral tribunal shall not be hindered by any controversy with respect to the respondent’s failure to communicate a response to the notice of arbitration, or an incomplete or late response to the notice of arbitration, which shall be finally resolved by the arbitral tribunal.3. 任何关于被申请人未递送对仲裁通知的答复或者关于对仲裁通知的不完整答复或迟延答复的争议,均不得妨碍仲裁庭的组成,最终均应由仲裁庭解决。
Representation and assistance代理和协助
Article 5第5条
Each party may be represented or assisted by persons chosen by it. The names and addresses of such persons must be communicated to all parties and to the arbitral tribunal. Such communication must specify whether the appointment is being made for purposes of representation or assistance. Where a person is to act as a representative of a party, the arbitral tribunal, on its own initiative or at the request of any party, may at any time require proof of authority granted to the representative in such a form as the arbitral tribunal may determine.每一方当事人可由其选定的人员出任代理人或助理人。此类人员的姓名和地址必须通知各方当事人和仲裁庭。此种通知必须说明所作指定是为了代理目的还是为了协助目的。对于出任一方当事人代理人的人员,仲裁庭可自行或应任何一方当事人的请求,随时要求按照仲裁庭决定的方式出具对该代理人的授权证据。
Designating and appointing authorities指派和指定机构
Article 6第6条
1. Unless the parties have already agreed on the choice of an appointing authority, a party may at any time propose the name or names of one or more institutions or persons, including the Secretary-General of the Permanent Court of Arbitration at The Hague (hereinafter called the “PCA”), one of whom would serve as appointing authority.1. 除非各方当事人已就选择指定机构达成约定,否则一方当事人可随时提名一个或数个机构或个人,包括海牙常设仲裁法院(以下称“常设仲裁院”)秘书长,由其中之一担任指定机构。
2. If all parties have not agreed on the choice of an appointing authority within 30 days after a proposal made in accordance with paragraph 1 has been received by all other parties, any party may request the Secretary-General of the PCA to designate the appointing authority.2. 在其他各方当事人收到根据第1款的提名后30天内,如果各方当事人未能就选择指定机构达成约定,任何一方当事人均可请求常设仲裁院秘书长指派指定机构。
3. Where these Rules provide for a period of time within which a party must refer a matter to an appointing authority and no appointing authority has been agreed on or designated, the period is suspended from the date on which a party initiates the procedure for agreeing on or designating an appointing authority until the date of such agreement or designation.3. 本《规则》规定一方当事人必须在一期限内将某一事项提交指定机构处理而指定机构尚未约定或指派的,该期限自一方当事人启动对指定机构的约定或指派程序之日起暂停计算,直至达成此种约定或指派之日。
4.
Except as referred to in article 41, paragraph 4, if the appointing authority refuses to act, or if it fails to appoint an arbitrator within 30 days after it receives a party’s request to do so, fails to act within any other period provided by these Rules, or fails to decide on a challenge to an arbitrator within a reasonable time after receiving a party’s request to do so, any party may request the Secretary-General of the PCA to designate a substitute appointing authority.4. 指定机构拒不作为,或者指定机构收到一方当事人请求指定仲裁员的申请后30天内未指定一名仲裁员、在本《规则》规定的其他任何期限内不作为,或者在收到一方当事人要求一名仲裁员回避的申请后的合理时间内未就该申请作出决定的,任何一方当事人均可请求常设仲裁院秘书长指派替代指定机构,但第41条第4款述及的情形除外。
5. In exercising their functions under these Rules, the appointing authority and the Secretary-General of the PCA may require from any party and the arbitrators the information they deem necessary and they shall give the parties and, where appropriate, the arbitrators, an opportunity to present their views in any manner they consider appropriate.5. 指定机构和常设仲裁院秘书长行使本《规则》对其规定的职责,可要求任何一方当事人和仲裁员向指定机构和常设仲裁院秘书长提供其认为必需的信息,并以其认为适当的方式给予各方当事人以及在可能情况下给予仲裁员陈述意见的机会。
All such communications to and from the appointing authority and the Secretary-General of the PCA shall also be provided by the sender to all other parties.与指定机构和常设仲裁院秘书长的所有此种往来函件也应由发件人提供给其他各方当事人。
6. When the appointing authority is requested to appoint an arbitrator pursuant to articles 8, 9, 10 or 14, the party making the request shall send to the appointing authority copies of the notice of arbitration and, if it exists, any response to the notice of arbitration.6. 请求指定机构依照第8条、第9条、第10条或第14条指定一名仲裁员的,提出请求的当事人应向指定机构发送仲裁通知副本,对仲裁通知已作答复的,还应发送该答复副本。
7. The appointing authority shall have regard to such considerations as are likely to secure the appointment of an independent and impartial arbitrator and shall take into account the advisability of appointing an arbitrator of a nationality other than the nationalities of the parties.7. 指定机构应注意到任何有可能保证指定独立、公正仲裁员的考虑,并应考虑到指定一名与各方当事人国籍不同的仲裁员的可取性。
Section II. Composition of the arbitral tribunal第二章 仲裁庭的组成
Number of arbitrators仲裁员人数
Article 7第7条
1. If the parties have not previously agreed on the number of arbitrators, and if within 30 days after the receipt by the respondent of the notice of arbitration the parties have not agreed that there shall be only one arbitrator, three arbitrators shall be appointed.1. 各方当事人未事先约定仲裁员人数,并且在被申请人收到仲裁通知后30天内各方当事人未就只应指定一名仲裁员达成约定的,应指定三名仲裁员。
2.
Notwithstanding paragraph 1, if no other parties have responded to a party’s proposal to appoint a sole arbitrator within the time limit provided for in paragraph 1 and the party or parties concerned have failed to appoint a second arbitrator in accordance with article 9 or 10, the appointing authority may, at the request of a party, appoint a sole arbitrator pursuant to the procedure provided for in article 8, paragraph 2, if it determines that, in view of the circumstances of the case, this is more appropriate.2. 虽有第1款规定,一方当事人提出指定独任仲裁员的提议而其他各方当事人未在第1款规定的时限内对此作出答复,并且有关的一方或多方当事人未根据第9条或第10条指定第二名仲裁员的,指定机构可根据第8条第2款规定的程序,经一方当事人请求,指定独任仲裁员,但指定机构须根据案情确定这样做更适当。
Appointment of arbitrators (articles 8 to 10)仲裁员的指定(第8条至第10条)
Article 8第8条
1. If the parties have agreed that a sole arbitrator is to be appointed and if within 30 days after receipt by all other parties of a proposal for the appointment of a sole arbitrator the parties have not reached agreement thereon, a sole arbitrator shall, at the request of a party, be appointed by the appointing authority.1. 各方当事人已约定将指定独任仲裁员,而在其他各方当事人收到指定独任仲裁员的建议后30天内各方当事人未就选择独任仲裁员达成约定的,经一方当事人请求,应由指定机构指定独任仲裁员。
2. The appointing authority shall appoint the sole arbitrator as promptly as possible.2. 指定机构应尽速指定独任仲裁员。
In making the appointment, the appointing authority shall use the following list-procedure, unless the parties agree that the list-procedure should not be used or unless the appointing authority determines in its discretion that the use of the list-procedure is not appropriate for the case:在进行指定时,除非当事人约定不使用名单法,或指定机构依其裁量权决定该案件不宜使用名单法,否则指定机构应使用下述名单法:
(a) The appointing authority shall communicate to each of the parties an identical list containing at least three names;(a) 指定机构应将至少列有三个人名的相同名单分送每一方当事人;
(b) Within 15 days after the receipt of this list, each party may return the list to the appointing authority after having deleted the name or names to which it objects and numbered the remaining names on the list in the order of its preference;(b) 收到名单后15天内,每一方当事人可删除其反对的一个或数个人名,按其选择顺序排列名单上剩余人名之后,将名单送还指定机构;
(c) After the expiration of the above period of time the appointing authority shall appoint the sole arbitrator from among the names approved on the lists returned to it and in accordance with the order of preference indicated by the parties;(c) 上述期限届满后,指定机构应从送还名单上经认可的人名中,按各方当事人所标明的选择顺序,指定一人为独任仲裁员;
(d) If for any reason the appointment cannot be made according to this procedure, the appointing authority may exercise its discretion in appointing the sole arbitrator.(d) 由于任何原因,无法按这一程序进行指定的,指定机构可行使裁量权指定独任仲裁员。
Article 9第9条
1. If three arbitrators are to be appointed, each party shall appoint one arbitrator.1. 指定三名仲裁员的,每一方当事人应各指定一名仲裁员。
The two arbitrators thus appointed shall choose the third arbitrator who will act as the presiding arbitrator of the arbitral tribunal.第三名仲裁员应由已被指定的两名仲裁员选定,担任仲裁员首席仲裁员。
2. If within 30 days after the receipt of a party’s notification of the appointment of an arbitrator the other party has not notified the first party of the arbitrator it has appointed, the first party may request the appointing authority to appoint the second arbitrator.2. 一方当事人收到另一方当事人指定一名仲裁员的通知书后,未在30天内将其所指定的仲裁员通知另一方当事人的,该另一方当事人可请求指定机构指定第二名仲裁员。
3. If within 30 days after the appointment of the second arbitrator the two arbitrators have not agreed on the choice of the presiding arbitrator, the presiding arbitrator shall be appointed by the appointing authority in the same way as a sole arbitrator would be appointed under article 8.3. 指定第二名仲裁员后30天内,两名仲裁员未就首席仲裁员人选达成约定的,应由指定机构按照第8条规定的指定独任仲裁员的同样方式,指定首席仲裁员。
Article 10第10条
1.
For the purposes of article 9, paragraph 1, where three arbitrators are to be appointed and there are multiple parties as claimant or as respondent, unless the parties have agreed to another method of appointment of arbitrators, the multiple parties jointly, whether as claimant or as respondent, shall appoint an arbitrator.1. 为第9条第1款之目的,在须指定三名仲裁员且申请人或被申请人为多方当事人的情况下,除非各方当事人约定采用其他方法指定仲裁员,否则多方当事人应分别作为共同申请人或共同被申请人,各指定一名仲裁员。
2. If the parties have agreed that the arbitral tribunal is to be composed of a number of arbitrators other than one or three, the arbitrators shall be appointed according to the method agreed upon by the parties.2. 各方当事人约定组成仲裁庭的仲裁员人数不是一名或三名的,应按照各方当事人约定的方法指定仲裁员。
3. In the event of any failure to constitute the arbitral tribunal under these Rules, the appointing authority shall, at the request of any party, constitute the arbitral tribunal and, in doing so, may revoke any appointment already made and appoint or reappoint each of the arbitrators and designate one of them as the presiding arbitrator.3. 未能根据本《规则》组成仲裁庭的,经任何一方当事人请求,指定机构应组成仲裁庭,并可为此撤销任何已作出的指定,然后指定或重新指定每一名仲裁员,并指定其中一人担任首席仲裁员。
Disclosures by and challenge of arbitrators (articles 11 to 13)仲裁员披露情况和回避(第11条至13条)
Article 11第11条
When a person is approached in connection with his or her possible appointment as an arbitrator, he or she shall disclose any circumstances likely to give rise to justifiable doubts as to his or her impartiality or independence. An arbitrator, from the time of his or her appointment and throughout the arbitral proceedings, shall without delay disclose any such circumstances to the parties and the other arbitrators unless they have already been informed by him or her of these circumstances.可能被指定为仲裁员的人,应在与此指定有关的洽谈中披露可能对其公正性和独立性产生有正当理由怀疑的任何情况。仲裁员应自其被指定之时起,并在整个仲裁程序期间,毫无延迟地向各方当事人以及其他仲裁员披露任何此种情况,除非此种情况已由其告知各方当事人。
Article 12第12条
1. Any arbitrator may be challenged if circumstances exist that give rise to justifiable doubts as to the arbitrator’s impartiality or independence.1. 如果存在可能对任何仲裁员的公正性或独立性产生有正当理由怀疑的情况,均可要求该仲裁员回避。
2. A party may challenge the arbitrator appointed by it only for reasons of which it becomes aware after the appointment has been made.2. 一方当事人只能根据其指定仲裁员之后才得知的理由,对其所指定的仲裁员提出回避。
3. In the event that an arbitrator fails to act or in the event of the de jure or de facto impossibility of his or her performing his or her functions, the procedure in respect of the challenge of an arbitrator as provided in article 13 shall apply.3. 仲裁员不作为,或者仲裁员因法律上或事实上的原因无法履行其职责的,应适用第13条中规定的程序申请仲裁员回避。
Article 13第13条
1. A party that intends to challenge an arbitrator shall send notice of its challenge within 15 days after it has been notified of the appointment of the challenged arbitrator, or within 15 days after the circumstances mentioned in articles 11 and 12 became known to that party.1. 一方当事人意图对一名仲裁员提出回避,应在被要求回避的仲裁员的任命通知书发给该当事人后15天内,或在该当事人得知第11条和第12条所提及的情况后15天内,发出其回避通知。
2. The notice of challenge shall be communicated to all other parties, to the arbitrator who is challenged and to the other arbitrators.2. 回避通知应发给其他各方当事人、被要求回避的仲裁员以及其他仲裁员。
The notice of challenge shall state the reasons for the challenge.回避通知应说明提出回避的理由。
3. When an arbitrator has been challenged by a party, all parties may agree to the challenge.3. 一方当事人对一名仲裁员提出回避,其他各方当事人可以附议。
The arbitrator may also, after the challenge, withdraw from his or her office.该仲裁员也可在回避提出后辞职。
In neither case does this imply acceptance of the validity of the grounds for the challenge.无论是其中哪一种情况,均不表示提出回避的理由成立。
4. If, within 15 days from the date of the notice of challenge, all parties do not agree to the challenge or the challenged arbitrator does not withdraw, the party making the challenge may elect to pursue it.4. 自回避通知发出之日起15天内,如果其他当事人不同意该回避,或者被要求回避的仲裁员不辞职,提出回避的当事人可以坚持要求回避。
In that case, within 30 days from the date of the notice of challenge, it shall seek a decision on the challenge by the appointing authority.在这种情况下,该当事人应自回避通知发出之日起30天内,请求指定机构就回避申请作出决定。
Replacement of an arbitrator替换仲裁员
Article 14第14条
1. Subject to paragraph 2, in any event where an arbitrator has to be replaced during the course of the arbitral proceedings, a substitute arbitrator shall be appointed or chosen pursuant to the procedure provided for in articles 8 to 11 that was applicable to the appointment or choice of the arbitrator being replaced.1. 在不违反第2款的情况下,只要仲裁程序进行过程中有必要替换仲裁员,即应适用第8条至第11条规定的指定或选定被替换仲裁员的程序,指定或选定一名替代仲裁员。
This procedure shall apply even if during the process of appointing the arbitrator to be replaced, a party had failed to exercise its right to appoint or to participate in the appointment.在指定拟被替换仲裁员的过程中,即使一方当事人未行使其指定或参与指定的权利,该程序仍应适用。
2. If, at the request of a party, the appointing authority determines that, in view of the exceptional circumstances of the case, it would be justified for a party to be deprived of its right to appoint a substitute arbitrator, the appointing authority may, after giving an opportunity to the parties and the remaining arbitrators to express their views: (a) appoint the substitute arbitrator; or (b) after the closure of the hearings, authorize the other arbitrators to proceed with the arbitration and make any decision or award.2. 经一方当事人请求,如果指定机构确定,鉴于案情特殊,有理由取消一方当事人指定替代仲裁员的权利,在给予各方当事人和其余仲裁员发表意见的机会之后,指定机构可以:(a)指定替代仲裁员;或(b)在审理终结后,授权其他仲裁员继续进行仲裁并作出决定或裁决。
Repetition of hearings in the event of the replacement of an arbitrator在替换仲裁员的情况下继续进行审理
Article 15第15条
If an arbitrator is replaced, the proceedings shall resume at the stage where the arbitrator who was replaced ceased to perform his or her functions, unless the arbitral tribunal decides otherwise.如果一名仲裁员被替换,应从被替换的仲裁员停止履行职责时所处的阶段继续进行程序,除非仲裁庭另有决定。
Exclusion of liability免责
Article 16第16条
Save for intentional wrongdoing, the parties waive, to the fullest extent permitted under the applicable law, any claim against the arbitrators, the appointing authority and any person appointed by the arbitral tribunal based on any act or omission in connection with the arbitration.除蓄意不当行为外,在适用法律允许的最大限度内,各方当事人放弃以与本仲裁有关的作为或不作为为由,向仲裁员、指定机构以及仲裁庭指定的任何人提出任何索赔。
Section III.第三章 仲裁程序
Arbitral proceedings General provisions通则
Article 17第17条
1. Subject to these Rules, the arbitral tribunal may conduct the arbitration in such manner as it considers appropriate, provided that the parties are treated with equality and that at an appropriate stage of the proceedings each party is given a reasonable opportunity of presenting its case.1. 在不违反本《规则》的情况下,仲裁庭可以其认为适当的方式进行仲裁,但须平等对待各方当事人,并在仲裁程序适当阶段给予每一方当事人陈述案情的合理机会。
The arbitral tribunal, in exercising its discretion, shall conduct the proceedings so as to avoid unnecessary delay and expense and to provide a fair and efficient process for resolving the parties’ dispute.仲裁庭行使裁量权时,程序的进行应避免不必要延迟和费用,并为解决当事人争议提供公平有效的程序。
2. As soon as practicable after its constitution and after inviting the parties to express their views, the arbitral tribunal shall establish the provisional timetable of the arbitration.2. 仲裁庭一经组成,在请各方当事人发表意见后,仲裁庭即应根据实际情况尽快确定仲裁临时时间表。
The arbitral tribunal may, at any time, after inviting the parties to express their views, extend or abridge any period of time prescribed under these Rules or agreed by the parties.任何期间,不论是本《规则》规定的还是当事人约定的,仲裁庭均可请各方当事人发表意见后随时予以延长或缩短。
3. If at an appropriate stage of the proceedings any party so requests, the arbitral tribunal shall hold hearings for the presentation of evidence by witnesses, including expert witnesses, or for oral argument.3. 如有任何一方当事人在仲裁程序的适当阶段请求开庭审理,仲裁庭应开庭审理,由证人包括专家证人出示证据,或进行口头辩论。
In the absence of such a request, the arbitral tribunal shall decide whether to hold such hearings or whether the proceedings shall be conducted on the basis of documents and other materials.未提出此种请求的,仲裁庭应决定是进行开庭审理,还是根据书面文件和其他资料进行程序。
4. All communications to the arbitral tribunal by one party shall be communicated by that party to all other parties.4. 一方当事人应将其提交仲裁庭的所有函件发送其他各方当事人。
Such communications shall be made at the same time, except as otherwise permitted by the arbitral tribunal if it may do so under applicable law.除仲裁庭可以根据适用法另外允许的情形外,所有此类函件应同时发送。
5. The arbitral tribunal may, at the request of any party, allow one or more third persons to be joined in the arbitration as a party provided such person is a party to the arbitration agreement, unless the arbitral tribunal finds, after giving all parties, including the person or persons to be joined, the opportunity to be heard, that joinder should not be permitted because of prejudice to any of those parties.5. 仲裁庭可根据任何一方当事人的请求,允许将一个或多个第三人作为一方当事人并入仲裁程序,前提是此种人是仲裁协议的一方当事人,除非仲裁庭在给予各方当事人,包括拟被并入仲裁程序的一人或多人陈述意见的机会后认定,由于并入仲裁程序会对其中任何一方当事人造成损害而不应准许此种并入。
The arbitral tribunal may make a single award or several awards in respect of all parties so involved in the arbitration.对于仲裁程序如此涉及到的所有当事人,仲裁庭可作出单项裁决,也可作出若干项裁决。
Place of arbitration仲裁地
Article 18第18条
1. If the parties have not previously agreed on the place of arbitration, the place of arbitration shall be determined by the arbitral tribunal having regard to the circumstances of the case.1. 各方当事人未事先约定仲裁地的,仲裁庭应根据案情确定仲裁地。
The award shall be deemed to have been made at the place of arbitration.裁决应视为在仲裁地作出。
2. The arbitral tribunal may meet at any location it considers appropriate for deliberations.2. 仲裁庭可在其认为适当的任何地点进行合议。
Unless otherwise agreed by the parties, the arbitral tribunal may also meet at any location it considers appropriate for any other purpose, including hearings.除非各方当事人另有约定,仲裁庭还可在其认为适当的任何地点为其他任何目的举行会议,包括进行开庭审理。
Language语言
Article 19第19条
1. Subject to an agreement by the parties, the arbitral tribunal shall, promptly after its appointment, determine the language or languages to be used in the proceedings.1. 在不违反各方当事人约定的情况下,仲裁庭应在其被指定后迅速确定仲裁程序中将使用的一种或数种语言。
This determination shall apply to the statement of claim, the statement of defence, and any further written statements and, if oral hearings take place, to the language or languages to be used in such hearings.此决定应适用于仲裁申请书、答辩书和任何进一步书面陈述;进行开庭审理的,亦适用于开庭审理中将使用的一种或数种语言。
2. The arbitral tribunal may order that any documents annexed to the statement of claim or statement of defence, and any supplementary documents or exhibits submitted in the course of the proceedings, delivered in their original language, shall be accompanied by a translation into the language or languages agreed upon by the parties or determined by the arbitral tribunal.2. 仲裁庭可下达指令,任何附于仲裁申请书或答辩书的文件,以及任何在仲裁程序进行过程中提交的补充文件或物证,凡是用其原语文提交的,均应附具各方当事人所约定的或仲裁庭所确定的一种或数种语言的译文。
Statement of claim仲裁申请书
Article 20第20条
1. The claimant shall communicate its statement of claim in writing to the respondent and to each of the arbitrators within a period of time to be determined by the arbitral tribunal.1. 申请人应在仲裁庭确定的期间内,以书面形式向申请人和每一名仲裁员递送仲裁申请书。
The claimant may elect to treat its notice of arbitration referred to in article 3 as a statement of claim, provided that the notice of arbitration also complies with the requirements of paragraphs 2 to 4 of this article.申请人可选择将第3条述及的仲裁通知当作仲裁申请书对待,只要该仲裁通知同样符合本条第2款至第4款的要求。
2. The statement of claim shall include the following particulars:2. 申请书应包括以下各项:
(a) The names and contact details of the parties;(a) 各方当事人的名称和联系方式;
(b) A statement of the facts supporting the claim;(b) 支持本仲裁请求的事实陈述;
(c) The points at issue;(c) 争议点;
(d) The relief or remedy sought;(d) 寻求的救济或损害赔偿;
(e) The legal grounds or arguments supporting the claim.(e) 支持本仲裁请求的法律依据或观点。
3. A copy of any contract or other legal instrument out of or in relation to which the dispute arises and of the arbitration agreement shall be annexed to the statement of claim.3. 引起争议或与争议有关的任何合同或其他法律文书副本,以及仲裁协议副本,应附于仲裁申请书之后。
4. The statement of claim should, as far as possible, be accompanied by all documents and other evidence relied upon by the claimant, or contain references to them. Statement of defence4. 仲裁申请书应尽可能附具申请人所依据的所有文件和其他证据,或附注说明拟提交的这些文件和证据。
答辩书
Article 21第21条
1. The respondent shall communicate its statement of defence in writing to the claimant and to each of the arbitrators within a period of time to be determined by the arbitral tribunal.1. 被申请人应在仲裁庭确定的期间内,以书面形式向申请人和每一名仲裁员递送答辩书。
The respondent may elect to treat its response to the notice of arbitration referred to in article 4 as a statement of defence, provided that the response to the notice of arbitration also complies with the requirements of paragraph 2 of this article.被申请人可选择将其对第4条述及的仲裁通知的答复当作答辩书对待,只要对该仲裁通知的答复同样符合本条第2款的要求。
2.
The statement of defence shall reply to the particulars (b) to (e) of the statement of claim (art. 20, para. 2).2. 答辩书应对仲裁申请书中(b)项至(e)项(第20条第2款规定)的特定内容作出答复。
The statement of defence should, as far as possible, be accompanied by all documents and other evidence relied upon by the respondent, or contain references to them.答辩书应尽可能附具被申请人所依据的所有文件和其他证据,或附注说明拟提交的这些文件和证据。
3. In its statement of defence, or at a later stage in the arbitral proceedings if the arbitral tribunal decides that the delay was justified under the circumstances, the respondent may make a counterclaim or rely on a claim for the purpose of a set-off provided that the arbitral tribunal has jurisdiction over it.3. 被申请人可在其答辩书中提出反请求或为抵消目的而提出请求,仲裁庭根据情况决定延迟有正当理由的,被申请人还可在仲裁程序后一阶段提出反请求或为抵消目的而提出请求,前提是仲裁庭对此拥有管辖权。
4.
The provisions of article 20, paragraphs 2 to 4, shall apply to a counterclaim, a claim under article 4, paragraph 2 (f), and a claim relied on for the purpose of a set-off.4. 第20条第2款至第4款的规定应适用于反请求、根据第4条第2款(f)项提出的请求,以及为抵消目的而提出的请求。
Amendments to the claim or defence对仲裁请求或答辩的变更
Article 22第22条
During the course of the arbitral proceedings, a party may amend or supplement its claim or defence, including a counterclaim or a claim for the purpose of a set-off, unless the arbitral tribunal considers it inappropriate to allow such amendment or supplement having regard to the delay in making it or prejudice to other parties or any other circumstances. However, a claim or defence, including a counterclaim or a claim for the purpose of a set-off, may not be amended or supplemented in such a manner that the amended or supplemented claim or defence falls outside the jurisdiction of the arbitral tribunal.在仲裁程序进行过程中,当事人可更改或补充其仲裁请求或答辩,包括更改或补充反请求或为抵消目的而提出的请求,除非仲裁庭考虑到所提出的更改或补充过迟或对其他当事人造成损害,或者考虑到其他任何情况,认为不宜允许此种更改或补充。但是,对仲裁请求或答辩提出更改或补充,包括对反请求或为抵消目的而提出的请求提出更改或补充,不得使更改后或补充后的仲裁请求或答辩超出仲裁庭的管辖权。
Pleas as to the jurisdiction of the arbitral tribunal对仲裁庭管辖权的抗辩
Article 23第23条
1. The arbitral tribunal shall have the power to rule on its own jurisdiction, including any objections with respect to the existence or validity of the arbitration agreement.1. 仲裁庭有权力对其自身管辖权作出裁定,包括对与仲裁协议的存在或效力有关的任何异议作出裁定。
For that purpose, an arbitration clause that forms part of a contract shall be treated as an agreement independent of the other terms of the contract.为此目的,构成合同一部分的仲裁条款,应作为独立于合同中其他条款的一项协议对待。
A decision by the arbitral tribunal that the contract is null shall not entail automatically the invalidity of the arbitration clause.仲裁庭作出合同无效的裁定,不应自动造成仲裁条款无效。
2. A plea that the arbitral tribunal does not have jurisdiction shall be raised no later than in the statement of defence or, with respect to a counterclaim or a claim for the purpose of a set-off, in the reply to the counterclaim or to the claim for the purpose of a set-off.2. 对仲裁庭无管辖权的抗辩,至迟应在答辩书中提出,涉及反请求或为抵消目的而提出的请求的,至迟应在对反请求或对为抵消目的而提出的请求的答复中提出。
A party is not precluded from raising such a plea by the fact that it has appointed, or participated in the appointment of, an arbitrator.一方当事人已指定或参与指定一名仲裁员,不妨碍其提出此种抗辩。
A plea that the arbitral tribunal is exceeding the scope of its authority shall be raised as soon as the matter alleged to be beyond the scope of its authority is raised during the arbitral proceedings.对仲裁庭超出其职权范围的抗辩,应在所指称的超出仲裁庭职权范围的事项在仲裁程序期间出现后尽快提出。
The arbitral tribunal may, in either case, admit a later plea if it considers the delay justified.仲裁庭认为延迟有正当理由的,可在上述任一情形中准许延迟提出抗辩。
3. The arbitral tribunal may rule on a plea referred to in paragraph 2 either as a preliminary question or in an award on the merits.3. 对于第2款述及的抗辩,仲裁庭既可作为先决问题作出裁定,也可在实体裁决书中作出裁定。
The arbitral tribunal may continue the arbitral proceedings and make an award, notwithstanding any pending challenge to its jurisdiction before a court.对于涉及仲裁庭管辖权的任何异议,即使法院审理待决,仲裁庭仍可继续进行仲裁程序并作出仲裁裁决。
Further written statements进一步书面陈述
Article 24第24条
The arbitral tribunal shall decide which further written statements, in addition to the statement of claim and the statement of defence, shall be required from the parties or may be presented by them and shall fix the periods of time for communicating such statements.仲裁庭应决定,除仲裁申请书和答辩书之外,还应要求各方当事人提交何种进一步书面陈述,或者各方当事人可提交何种进一步书面陈述,并应确定递送这些书面陈述的期间。
Periods of time期间
Article 25第25条
The periods of time fixed by the arbitral tribunal for the communication of written statements (including the statement of claim and statement of defence) should not exceed 45 days. However, the arbitral tribunal may extend the time limits if it concludes that an extension is justified.仲裁庭确定的递送书面陈述(包括仲裁申请书和答辩书)的期间不得超过45天。但是,仲裁庭认为延长期间有正当理由的,可以延长该期间。
Interim measures临时措施
Article 26第26条
1. The arbitral tribunal may, at the request of a party, grant interim measures.1. 经一方当事人请求,仲裁庭可准予临时措施。
2. An interim measure is any temporary measure by which, at any time prior to the issuance of the award by which the dispute is finally decided, the arbitral tribunal orders a party, for example and without limitation, to:2. 临时措施是仲裁庭在下达决定争议的终局裁决之前的任何时候下令一方当事人采取的任何临时性措施,比如且不限于:
(a) Maintain or restore the status quo pending determination of the dispute;(a) 争议未决之前维持或恢复现状;
(b) Take action that would prevent, or refrain from taking action that is likely to cause, (i) current or imminent harm or (ii) prejudice to the arbitral process itself;(b) 采取行动防止,或者避免采取行动造成:㈠当前或即将发生的损害,或㈡对仲裁过程本身的妨碍;
(c) Provide a means of preserving assets out of which a subsequent award may be satisfied;(c) 为以后使用资产执行仲裁裁决提供一种资产保全手段;或者
or
(d) Preserve evidence that may be relevant and material to the resolution of the dispute.(d) 保全与解决争议可能有关的实质性证据。
3. The party requesting an interim measure under paragraphs 2 (a) to (c) shall satisfy the arbitral tribunal that:3. 当事人请求根据第2款(a)项至(c)项采取临时措施,应使仲裁庭确信:
(a) Harm not adequately reparable by an award of damages is likely to result if the measure is not ordered, and such harm substantially outweighs the harm that is likely to result to the party against whom the measure is directed if the measure is granted;(a) 如果不下令采取此种措施,所造成的损害可能无法通过损害赔偿裁决加以充分补偿,而且此种损害大大超出如果准予采取此种措施可能给该措施所针对的一方当事人造成的损害;并且
and
(b) There is a reasonable possibility that the requesting party will succeed on the merits of the claim. The determination on this possibility shall not affect the discretion of the arbitral tribunal in making any subsequent determination.(b) 请求方当事人有在仲裁请求实体上获胜的合理可能性。对此种可能性的判定,不得影响仲裁庭以后作出任何裁定的裁量权。
4. With regard to a request for an interim measure under paragraph 2 (d), the requirements in paragraphs 3 (a) and (b) shall apply only to the extent the arbitral tribunal considers appropriate.4. 对于根据第2款(d)项请求采取临时措施,第3款(a)项和(b)项的要求只应在仲裁庭认为适当的限度内适用。
5. The arbitral tribunal may modify, suspend or terminate an interim measure it has granted, upon application of any party or, in exceptional circumstances and upon prior notice to the parties, on the arbitral tribunal’s own initiative.5. 经任何一方当事人申请,仲裁庭可修改、中止或终结其准予的临时措施,或者在特殊情况下并经事先通知各方当事人,仲裁庭可自行主动修改、中止或终结其准予的临时措施。
6. The arbitral tribunal may require the party requesting an interim measure to provide appropriate security in connection with the measure.6. 一方当事人提出临时措施请求,仲裁庭可要求其为该措施提供适当担保。
7. The arbitral tribunal may require any party promptly to disclose any material change in the circumstances on the basis of which the interim measure was requested or granted.7. 请求或准予临时措施所依据的情况发生任何重大变化的,仲裁庭可要求任何一方当事人迅速披露此种情况。
8. The party requesting an interim measure may be liable for any costs and damages caused by the measure to any party if the arbitral tribunal later determines that, in the circumstances then prevailing, the measure should not have been granted.8. 如果仲裁庭事后确定,在当时的情况下本不应准予临时措施,则提出临时措施请求的一方当事人可能须对此种措施给任何一方当事人造成的任何费用和损失承担赔偿责任。
The arbitral tribunal may award such costs and damages at any point during the proceedings.仲裁庭可在程序进行期间随时就此种费用和损失作出裁决。
9. A request for interim measures addressed by any party to a judicial authority shall not be deemed incompatible with the agreement to arbitrate, or as a waiver of that agreement.9. 任何一方当事人向司法当局提出临时措施请求,不得视为与仲裁协议不符,或视为放弃仲裁协议。
Evidence证据
Article 27第27条
1. Each party shall have the burden of proving the facts relied on to support its claim or defence.1. 每一方当事人应对其仲裁请求或答辩所依据的事实负举证责任。
2. Witnesses, including expert witnesses, who are presented by the parties to testify to the arbitral tribunal on any issue of fact or expertise may be any individual, notwithstanding that the individual is a party to the arbitration or in any way related to a party.2. 当事人提出的就任何事实问题或专业问题向仲裁庭作证的证人,包括专家证人,可以是任何个人,无论其是否为仲裁的一方当事人或是否与一方当事人有任何关系。
Unless otherwise directed by the arbitral tribunal, statements by witnesses, including expert witnesses, may be presented in writing and signed by them.除非仲裁庭另有指示,证人陈述,包括专家证人陈述,可以书面形式呈递,并由其本人签名。
3. At any time during the arbitral proceedings the arbitral tribunal may require the parties to produce documents, exhibits or other evidence within such a period of time as the arbitral tribunal shall determine.3. 在仲裁程序进行期间的任何时候,仲裁庭均可要求各方当事人在应由仲裁庭决定的期限内出示文件、证物或其他证据。
4. The arbitral tribunal shall determine the admissibility, relevance, materiality and weight of the evidence offered.4. 仲裁庭应就所出示证据的可采性、关联性、实质性和重要性作出决定。
Hearings开庭审理
Article 28第28条
1. In the event of an oral hearing, the arbitral tribunal shall give the parties adequate advance notice of the date, time and place thereof.1. 进行开庭审理的,仲裁庭应将开庭日期、时间和地点充分提前通知各方当事人。
2. Witnesses, including expert witnesses, may be heard under the conditions and examined in the manner set by the arbitral tribunal.2. 对证人包括对专家证人的听讯或讯问,可按照仲裁庭确定的条件或方式进行。
3. Hearings shall be held in camera unless the parties agree otherwise.3. 各方当事人未另外约定的,审理不公开进行。
The arbitral tribunal may require the retirement of any witness or witnesses, including expert witnesses, during the testimony of such other witnesses, except that a witness, including an expert witness, who is a party to the arbitration shall not, in principle, be asked to retire.仲裁庭可在任何证人包括专家证人作证时,要求其他证人包括其他专家证人退庭,但证人包括专家证人为仲裁一方当事人的,原则上不应要求其退庭。
4. The arbitral tribunal may direct that witnesses, including expert witnesses, be examined through means of telecommunication that do not require their physical presence at the hearing (such as videoconference).4. 对证人包括对专家证人的讯问,仲裁庭可指示采用电信方式(例如视频会议)进行,不要求其亲自到庭。
Experts appointed by the arbitral tribunal仲裁庭指定的专家
Article 29第29条
1. After consultation with the parties, the arbitral tribunal may appoint one or more independent experts to report to it, in writing, on specific issues to be determined by the arbitral tribunal.1. 经与各方当事人协商后,仲裁庭可指定独立专家一人或数人以书面形式就仲裁庭需决定的特定问题向仲裁庭提出报告。
A copy of the expert’s terms of reference, established by the arbitral tribunal, shall be communicated to the parties.仲裁庭确定的专家职责范围应分送各方当事人。
2. The expert shall, in principle before accepting appointment, submit to the arbitral tribunal and to the parties a description of his or her qualifications and a statement of his or her impartiality and independence.2. 原则上,专家应在接受任命之前向仲裁庭和各方当事人提交一份本人资质说明以及本人公正性和独立性声明。
Within the time ordered by the arbitral tribunal, the parties shall inform the arbitral tribunal whether they have any objections as to the expert’s qualifications, impartiality or independence.各方当事人应在仲裁庭规定的时间内,向仲裁庭说明其对专家资质、公正性或独立性是否持有任何反对意见。
The arbitral tribunal shall decide promptly whether to accept any such objections.仲裁庭应迅速决定是否接受任何此种反对意见。
After an expert’s appointment, a party may object to the expert’s qualifications, impartiality or independence only if the objection is for reasons of which the party becomes aware after the appointment has been made.专家任命之后,一方当事人对专家资质、公正性或独立性提出反对意见,只能依据该当事人在专家任命作出之后才意识到的原因。
The arbitral tribunal shall decide promptly what, if any, action to take.仲裁庭应迅速决定将采取何种可能的行动。
3. The parties shall give the expert any relevant information or produce for his or her inspection any relevant documents or goods that he or she may require of them.3. 各方当事人应向专家提供任何有关资料,或出示专家可能要求其出示的任何有关文件或物件供专家检查。
Any dispute between a party and such expert as to the relevance of the required information or production shall be referred to the arbitral tribunal for decision.一方当事人与专家之间关于要求提供资料和出示文件或物件的必要性的任何争议,应交由仲裁庭决定。
4. Upon receipt of the expert’s report, the arbitral tribunal shall communicate a copy of the report to the parties, which shall be given the opportunity to express, in writing, their opinion on the report.4. 仲裁庭应在收到专家报告时将报告副本分送各方当事人,并应给予各方当事人以书面形式提出其对该报告的意见的机会。
A party shall be entitled to examine any document on which the expert has relied in his or her report.当事人应有权查阅专家在其报告中引以为据的任何文件。
5. At the request of any party, the expert, after delivery of the report, may be heard at a hearing where the parties shall have the opportunity to be present and to interrogate the expert.5. 专家报告提交后,经任何一方当事人请求,专家可在开庭时听询,各方当事人应有机会出庭并质询专家。
At this hearing, any party may present expert witnesses in order to testify on the points at issue.任何一方当事人均可在此次开庭时委派专家证人出庭,就争议点作证。
The provisions of article 28 shall be applicable to such proceedings.本程序应适用第28条的规定。
Default缺席审理
Article 30第30条
1. If, within the period of time fixed by these Rules or the arbitral tribunal, without showing sufficient cause:1. 在本《规则》或仲裁庭确定的期间内:
(a) The claimant has failed to communicate its statement of claim, the arbitral tribunal shall issue an order for the termination of the arbitral proceedings, unless there are remaining matters that may need to be decided and the arbitral tribunal considers it appropriate to do so;(a) 申请人未递送仲裁申请书,不表明充分理由的,仲裁庭应下令终止仲裁程序,除非尚有未决事项可能需作出决定,且仲裁庭认为就未决事项作出决定是适当的;
(b) The respondent has failed to communicate its response to the notice of arbitration or its statement of defence, the arbitral tribunal shall order that the proceedings continue, without treating such failure in itself as an admission of the claimant’s allegations; the provisions of this subparagraph also apply to a claimant’s failure to submit a defence to a counterclaim or to a claim for the purpose of a set-off.(b) 被申请人未递送对仲裁通知的答复或答辩书,不表明充分理由的,仲裁庭应下令继续进行仲裁程序,不递送答复或答辩书之事本身不应作为承认申请人主张对待;申请人未就反请求或为抵消目的而提出的请求提交答辩书的,也适用本项规定。
2. If a party, duly notified under these Rules, fails to appear at a hearing, without showing sufficient cause for such failure, the arbitral tribunal may proceed with the arbitration.2. 一方当事人经根据本《规则》适当通知后仍未出庭,不就此表明充分理由的,仲裁庭可继续进行仲裁程序。
3. If a party, duly invited by the arbitral tribunal to produce documents, exhibits or other evidence, fails to do so within the established period of time, without showing sufficient cause for such failure, the arbitral tribunal may make the award on the evidence before it.3. 一方当事人经仲裁庭适当请求仍未在规定期间内出示文件、证物或其他证据,不就此表明充分理由的,仲裁庭可依据已提交给仲裁庭的证据作出裁决。
Closure of hearings开庭终结
Article 31第31条
1. The arbitral tribunal may inquire of the parties if they have any further proof to offer or witnesses to be heard or submissions to make and, if there are none, it may declare the hearings closed.1. 仲裁庭可询问各方当事人是否有任何进一步证据要提出、是否有其他证人要听讯或是否有其他材料要提交,没有的,仲裁庭即可宣布开庭终结。
2. The arbitral tribunal may, if it considers it necessary owing to exceptional circumstances, decide, on its own initiative or upon application of a party, to reopen the hearings at any time before the award is made.2. 仲裁庭认为因特殊情形有必要的,可自行决定或经一方当事人申请后决定,在作出仲裁裁决之前的任何时候重新进行开庭审理。
Waiver of right to object放弃异议权
Article 32第32条
A failure by any party to object promptly to any non-compliance with these Rules or with any requirement of the arbitration agreement shall be deemed to be a waiver of the right of such party to make such an objection, unless such party can show that, under the circumstances, its failure to object was justified.凡一方当事人未能迅速对不遵守本《规则》或仲裁协议任何要求的任何情形提出异议的,应视为该当事人放弃提出此种异议的权利,除非该当事人能够证明,其在当时情况下未提出异议有正当理由。
Section IV.第四章 裁决
The award
Decisions决定
Article 33第33条
1. When there is more than one arbitrator, any award or other decision of the arbitral tribunal shall be made by a majority of the arbitrators.1. 仲裁员不止一名的,仲裁庭的任何仲裁裁决或其他决定均应以仲裁员的多数作出。
2. In the case of questions of procedure, when there is no majority or when the arbitral tribunal so authorizes, the presiding arbitrator may decide alone, subject to revision, if any, by the arbitral tribunal.2. 关于程序问题,达不到多数或者经仲裁庭授权,首席仲裁员可单独作出决定,但仲裁庭可作出任何必要修订。
Form and effect of the award裁决的形式和效力
Article 34第34条
1. The arbitral tribunal may make separate awards on different issues at different times.1. 仲裁庭可在不同时间对不同问题分别作出仲裁裁决。
2. All awards shall be made in writing and shall be final and binding on the parties.2. 所有仲裁裁决均应以书面形式作出,仲裁裁决是终局的,对各方当事人均具有拘束力。
The parties shall carry out all awards without delay.各方当事人应毫不延迟地履行所有仲裁裁决。
3. The arbitral tribunal shall state the reasons upon which the award is based, unless the parties have agreed that no reasons are to be given.3. 仲裁庭应说明裁决所依据的理由,除非各方当事人约定无须说明理由。
4. An award shall be signed by the arbitrators and it shall contain the date on which the award was made and indicate the place of arbitration.4. 裁决书应由仲裁员签名,并应载明作出裁决的日期和指明仲裁地。
Where there is more than one arbitrator and any of them fails to sign, the award shall state the reason for the absence of the signature.仲裁员不止一名而其中有任何一名仲裁员未签名的,裁决书应说明未签名的理由。
5. An award may be made public with the consent of all parties or where and to the extent disclosure is required of a party by legal duty, to protect or pursue a legal right or in relation to legal proceedings before a court or other competent authority.5. 裁决可经各方当事人同意后予以公布,为了保护或实施一项法定权利,或者涉及法院或其他主管机构法律程序的,也可在法定义务要求一方当事人披露的情况下和限度内予以公布。
6. Copies of the award signed by the arbitrators shall be communicated to the parties by the arbitral tribunal.6. 仲裁庭应将经仲裁员签名的裁决书发送各方当事人。
Applicable law, amiable compositeur适用法律,友好和解人
Article 35第35条
1. The arbitral tribunal shall apply the rules of law designated by the parties as applicable to the substance of the dispute.1. 仲裁庭应适用各方当事人指定适用于实体争议的法律规则。
Failing such designation by the parties, the arbitral tribunal shall apply the law which it determines to be appropriate.各方当事人未作此项指定的,仲裁庭应适用其认为适当的法律。
2. The arbitral tribunal shall decide as amiable compositeur or ex aequo et bono only if the parties have expressly authorized the arbitral tribunal to do so.2. 只有在各方当事人明确授权仲裁庭的情况下,仲裁庭才应作为友好和解人或按照公平合理的原则作出裁决。
3. In all cases, the arbitral tribunal shall decide in accordance with the terms of the contract, if any, and shall take into account any usage of trade applicable to the transaction.3. 所有案件中,有合同条款的,仲裁庭均应按照合同条款作出裁决,并应考虑到适用于有关交易的任何商业惯例。
Settlement or other grounds for termination和解或其他终止程序的理由
Article 36第36条
1. If, before the award is made, the parties agree on a settlement of the dispute, the arbitral tribunal shall either issue an order for the termination of the arbitral proceedings or, if requested by the parties and accepted by the arbitral tribunal, record the settlement in the form of an arbitral award on agreed terms.1. 裁决作出之前,各方当事人就争议达成和解协议的,仲裁庭应下令终止仲裁程序,或者经各方当事人请求并经仲裁庭接受,应记录此项和解协议并按照和解协议条款作出仲裁裁决。
The arbitral tribunal is not obliged to give reasons for such an award.仲裁庭无须就此项裁决说明理由。
2. If, before the award is made, the continuation of the arbitral proceedings becomes unnecessary or impossible for any reason not mentioned in paragraph 1, the arbitral tribunal shall inform the parties of its intention to issue an order for the termination of the proceedings.2. 裁决作出之前,仲裁程序并非由于第1款提及的原因而不必继续或不可能继续的,仲裁庭应将其下达程序终止令的意图通知各方当事人。
The arbitral tribunal shall have the power to issue such an order unless there are remaining matters that may need to be decided and the arbitral tribunal considers it appropriate to do so.仲裁庭有权力下达此项命令,除非尚有未决事项可能需作出决定,且仲裁庭认为就未决事项作出决定是适当的。
3. Copies of the order for termination of the arbitral proceedings or of the arbitral award on agreed terms, signed by the arbitrators, shall be communicated by the arbitral tribunal to the parties.3. 仲裁程序终止令或按照和解协议条款作出的仲裁裁决书,经仲裁员签名后,应由仲裁庭发送各方当事人。
Where an arbitral award on agreed terms is made, the provisions of article 34, paragraphs 2, 4 and 5, shall apply.按照和解协议条款作出仲裁裁决书的,应适用第34条第2款、第4款和第5款的规定。
Interpretation of the award裁决书的解释
Article 37第37条
1. Within 30 days after the receipt of the award, a party, with notice to the other parties, may request that the arbitral tribunal give an interpretation of the award.1. 一方当事人可在收到裁决书后30天内,在通知其他各方当事人后,请求仲裁庭对裁决书作出解释。
2. The interpretation shall be given in writing within 45 days after the receipt of the request.2. 裁决书的解释应在收到请求后45天内以书面形式作出。
The interpretation shall form part of the award and the provisions of article 34, paragraphs 2 to 6, shall apply.裁决书的解释应构成裁决书的一部分,并应适用第34条第2款至第6款的规定。
Correction of the award裁决书的更正
Article 38第38条
1. Within 30 days after the receipt of the award, a party, with notice to the other parties, may request the arbitral tribunal to correct in the award any error in computation, any clerical or typographical error, or any error or omission of a similar nature.1. 一方当事人可在收到裁决书后30天内,在通知其他各方当事人后,请求仲裁庭更正裁决书中的任何计算错误、任何笔误或排印错误,或任何类似性质的错误或遗漏。
If the arbitral tribunal considers that the request is justified, it shall make the correction within 45 days of receipt of the request.仲裁庭认为此项请求有正当理由的,应在收到请求后45天内作出更正。
2. The arbitral tribunal may within 30 days after the communication of the award make such corrections on its own initiative.2. 仲裁庭可在发送裁决书后30天内,自行主动作出此种更正。
3. Such corrections shall be in writing and shall form part of the award.3. 此种更正应以书面形式作出,并应构成裁决书的一部分。
The provisions of article 34, paragraphs 2 to 6, shall apply.应适用第34条第2款至第6款的规定。
Additional award补充裁决
Article 39第39条
1. Within 30 days after the receipt of the termination order or the award, a party, with notice to the other parties, may request the arbitral tribunal to make an award or an additional award as to claims presented in the arbitral proceedings but not decided by the arbitral tribunal.1. 一方当事人可在收到终止令或裁决书后30天内,在通知其他各方当事人后,请求仲裁庭就仲裁程序中提出而仲裁庭未作决定的请求作出裁决或补充裁决。
2. If the arbitral tribunal considers the request for an award or additional award to be justified, it shall render or complete its award within 60 days after the receipt of the request.2. 仲裁庭认为裁决或补充裁决请求有正当理由的,应在收到请求后60天内作出裁决或补充完成裁决。
The arbitral tribunal may extend, if necessary, the period of time within which it shall make the award.如有必要,仲裁庭可延长其作出裁决的期限。
3. When such an award or additional award is made, the provisions of article 34, paragraphs 2 to 6, shall apply.3. 作出此种裁决或补充裁决时,应适用第34条第2款至第6款的规定。
Definition of costs费用定义
Article 40第40条
1. The arbitral tribunal shall fix the costs of arbitration in the final award and, if it deems appropriate, in another decision.1. 仲裁庭应在最终裁决书中并在其认为适当的另一决定中确定仲裁费用。
2. The term “costs” includes only:2. “费用”一词仅包括:
(a) The fees of the arbitral tribunal to be stated separately as to each arbitrator and to be fixed by the tribunal itself in accordance with article 41;(a) 按每一仲裁员分别开列并由仲裁庭根据第41条自行确定的仲裁庭收费;
(b) The reasonable travel and other expenses incurred by the arbitrators;(b) 仲裁员所花费的合理旅费和其他开支;
(c) The reasonable costs of expert advice and of other assistance required by the arbitral tribunal;(c) 仲裁庭征询专家意见的合理费用和所需其他协助的合理费用;
(d) The reasonable travel and other expenses of witnesses to the extent such expenses are approved by the arbitral tribunal;(d) 证人的合理旅费和其他开支,以仲裁庭核准的开支额度为限;
(e) The legal and other costs incurred by the parties in relation to the arbitration to the extent that the arbitral tribunal determines that the amount of such costs is reasonable;(e) 各方当事人所花费的与仲裁有关的法律费用和其他费用,以仲裁庭确定的此种费用的合理数额为限;
(f) Any fees and expenses of the appointing authority as well as the fees and expenses of the Secretary-General of the PCA.(f) 指定机构的任何收费和开支,以及常设仲裁院秘书长的收费和开支。
3. In relation to interpretation, correction or completion of any award under articles 37 to 39, the arbitral tribunal may charge the costs referred to in paragraphs 2 (b) to (f), but no additional fees.3. 对于第37条至第39条述及的任何裁决书的解释、更正或补充完成,仲裁庭可收取第2款(b)项至(f)项述及的费用,但不得额外收费。
Fees and expenses of arbitrators仲裁员的收费和开支
Article 41第41条
1. The fees and expenses of the arbitrators shall be reasonable in amount, taking into account the amount in dispute, the complexity of the subject matter, the time spent by the arbitrators and any other relevant circumstances of the case.1. 仲裁员的收费和开支数额应合理,需考虑到争议金额、案件复杂程度、仲裁员花费的时间以及其他任何有关案情。
2. If there is an appointing authority and it applies or has stated that it will apply a schedule or particular method for determining the fees for arbitrators in international cases, the arbitral tribunal in fixing its fees shall take that schedule or method into account to the extent that it considers appropriate in the circumstances of the case.2. 有指定机构,且该指定机构对确定国际案件仲裁员收费适用或已声明将适用某一收费表或特定方法的,仲裁庭确定其收费时,应在仲裁庭认为适合案情的额度内,考虑到该收费表或方法。
3. Promptly after its constitution, the arbitral tribunal shall inform the parties as to how it proposes to determine its fees and expenses, including any rates it intends to apply.3. 仲裁庭组成后,仲裁庭应将其如何确定收费和开支的提议,包括仲裁庭打算适用的任何费率,迅速通知各方当事人。
Within 15 days of receiving that proposal, any party may refer the proposal to the appointing authority for review.收到该提议后15天内,任何一方当事人均可将该提议提请指定机构审查。
If, within 45 days of receipt of such a referral, the appointing authority finds that the proposal of the arbitral tribunal is inconsistent with paragraph 1, it shall make any necessary adjustments thereto, which shall be binding upon the arbitral tribunal.收到审查请求后45天内,如果指定机构认为仲裁庭的提议与第1款不一致,指定机构应对该提议作出任何必要调整,该调整对仲裁庭具有约束力。
4. (a) When informing the parties of the arbitrators’ fees and expenses that have been fixed pursuant to article 40, paragraphs 2 (a) and (b), the arbitral tribunal shall also explain the manner in which the corresponding amounts have been calculated;4. (a) 向各方当事人通知根据第40条第2款(a)项和(b)项确定的仲裁员收费和开支时,仲裁庭还应解释相应金额的计算方式。
(b) Within 15 days of receiving the arbitral tribunal’s determination of fees and expenses, any party may refer for review such determination to the appointing authority. If no appointing authority has been agreed upon or designated, or if the appointing authority fails to act within the time specified in these Rules, then the review shall be made by the Secretary-General of the PCA;(b) 收到仲裁庭收费和开支确定方法后15天内,任何一方当事人均可将此种确定方法提请指定机构审查。未约定或未指派指定机构的,或者指定机构在本《规则》列明的期限内不作为的,应由常设仲裁院秘书长审查。
(c) If the appointing authority or the Secretary-General of the PCA finds that the arbitral tribunal’s determination is inconsistent with the arbitral tribunal’s proposal (and any adjustment thereto) under paragraph 3 or is otherwise manifestly excessive, it shall, within 45 days of receiving such a referral, make any adjustments to the arbitral tribunal’s determination that are necessary to satisfy the criteria in paragraph 1.(c) 如果指定机构或常设仲裁院秘书长认为仲裁庭确定的费用和开支与仲裁庭根据第3款提议的费用和开支(及其任何调整)不一致,或者明显过高,指定机构或常设仲裁院秘书长应在收到审查请求后45天内,对仲裁庭的确定方法作出任何必要调整,使之符合第1款规定的标准。任何此种调整均对仲裁庭具有约束力。
Any such adjustments shall be binding upon the arbitral tribunal;
(d) Any such adjustments shall either be included by the arbitral tribunal in its award or, if the award has already been issued, be implemented in a correction to the award, to which the procedure of article 38, paragraph 3, shall apply.(d) 仲裁庭应将任何此种调整写入裁决书,裁决书已下达的,应适用第38条第3款规定的程序对裁决书作出更正,完成此种调整。
5. Throughout the procedure under paragraphs 3 and 4, the arbitral tribunal shall proceed with the arbitration, in accordance with article 17, paragraph 1.5. 在根据第3款或第4款进行的整个程序中,仲裁庭应根据第17条第1款继续进行仲裁。
6. A referral under paragraph 4 shall not affect any determination in the award other than the arbitral tribunal’s fees and expenses; nor shall it delay the recognition and enforcement of all parts of the award other than those relating to the determination of the arbitral tribunal’s fees and expenses.6. 根据第4款提请的审查,不得影响裁决书中除仲裁庭收费和开支之外的其他任何事项的裁决,也不得延迟除仲裁庭收费和开支的确定之外裁决书所有部分的承认和执行。
Allocation of costs费用分担
Article 42第42条
1. The costs of the arbitration shall in principle be borne by the unsuccessful party or parties.1. 仲裁费用原则上应由败诉一方或败诉各方负担。
However, the arbitral tribunal may apportion each of such costs between the parties if it determines that apportionment is reasonable, taking into account the circumstances of the case.但是,仲裁庭考虑到具体案情,认为分摊费用合理的,仲裁庭可裁决在当事人之间分摊每一项此种费用。
2. The arbitral tribunal shall in the final award or, if it deems appropriate, in any other award, determine any amount that a party may have to pay to another party as a result of the decision on allocation of costs.2. 仲裁庭应在最终裁决书中,或者在其认为适当的其他任何裁决中,裁决一方当事人须根据费用分摊决定向另一方当事人支付的任何数额。
Deposit of costs费用预付
Article 43第43条
1. The arbitral tribunal, on its establishment, may request the parties to deposit an equal amount as an advance for the costs referred to in article 40, paragraphs 2 (a) to (c).1. 仲裁庭可在其成立时要求各方当事人预缴相等数额款项,以此作为第40条第2款(a)项至(c)项述及费用的预付金。
2. During the course of the arbitral proceedings the arbitral tribunal may request supplementary deposits from the parties.2. 仲裁程序进行过程中,仲裁庭可要求各方当事人预缴补充预付款。
3. If an appointing authority has been agreed upon or designated, and when a party so requests and the appointing authority consents to perform the function, the arbitral tribunal shall fix the amounts of any deposits or supplementary deposits only after consultation with the appointing authority, which may make any comments to the arbitral tribunal that it deems appropriate concerning the amount of such deposits and supplementary deposits.3. 已约定或指派指定机构的,在一方当事人请求且指定机构也同意履行职责时,仲裁庭应同指定机构协商后方能确定任何预付款或补充预付款的数额,指定机构可就此项预付款或补充预付款的数额向仲裁庭提出其认为适当的任何意见。
4. If the required deposits are not paid in full within 30 days after the receipt of the request, the arbitral tribunal shall so inform the parties in order that one or more of them may make the required payment.4. 要求预付的款项未在接到付款要求后30天内缴齐的,仲裁庭应将此事通知各方当事人,以便一方或多方当事人可缴付要求交付的款项。
If such payment is not made, the arbitral tribunal may order the suspension or termination of the arbitral proceedings.不缴付此款项的,仲裁庭可下令暂停或终止仲裁程序。
5. After a termination order or final award has been made, the arbitral tribunal shall render an accounting to the parties of the deposits received and return any unexpended balance to the parties.5. 仲裁庭应在下达终止令或作出最终裁决后,将所收预付款账单送交各方当事人,并将任何未用余额退还各方当事人。
Annex附件
Model arbitration clause for contracts合同中的示范仲裁条款
Any dispute, controversy or claim arising out of or relating to this contract, or the breach, termination or invalidity thereof, shall be settled by arbitration in accordance with the UNCITRAL Arbitration Rules.任何争议、争执或请求,凡由于本合同而引起的或与之有关的,或由于本合同的违反、终止或无效而引起的或与之有关的,均应按照《联合国国际贸易法委员会仲裁规则》仲裁解决。
Note.
Parties should consider adding:注:各方当事人应当考虑增列:
(a) The appointing authority shall be ... [name of institution or person];(a) 指定机构应为……[机构名称或人名];
(b) The number of arbitrators shall be ... [one or three];(b) 仲裁员人数应为……[一名或三名];
(c) The place of arbitration shall be ... [town and country];(c) 仲裁地应为……[城市和国家];
(d) The language to be used in the arbitral proceedings shall be .. ..(d) 仲裁程序中使用的语言应为……。
Possible waiver statement可考虑增列的放弃声明
Note.
If the parties wish to exclude recourse against the arbitral award that may be available under the applicable law, they may consider adding a provision to that effect as suggested below, considering, however, that the effectiveness and conditions of such an exclusion depend on the applicable law.注:如果当事人希望排除可能根据适用法律对仲裁裁决提出的追诉,可以考虑加上一则条文,大意如下文所提议,但须考虑到此种排除条文的效力和条件取决于适用法律。
Waiver放弃
The parties hereby waive their right to any form of recourse against an award to any court or other competent authority, insofar as such waiver can validly be made under the applicable law.各方当事人放弃其就一项裁决向任何法院或其他主管机构提起任何形式追诉的权利,但根据适用法律放弃无效的除外。
Model statements of independence pursuant to article 11 of the Rules根据《规则》第11条作出的独立性声明范文
No circumstances to disclose无情况披露
I am impartial and independent of each of the parties and intend to remain so. To the best of my knowledge, there are no circumstances, past or present, likely to give rise to justifiable doubts as to my impartiality or independence. I shall promptly notify the parties and the other arbitrators of any such circumstances that may subsequently come to my attention during this arbitration.本人公正不偏,独立于每一方当事人,今后亦将如此行事。尽本人所知,过去、现在均不存在会对本人公正性或独立性产生有正当理由怀疑的任何情形。本案仲裁期间随后一旦出现可能引起本人注意的任何此种情形,本人当迅速通知各方当事人和其他仲裁员。
Circumstances to disclose有情况披露
I am impartial and independent of each of the parties and intend to remain so. Attached is a statement made pursuant to article 11 of the UNCITRAL Arbitration Rules of (a) my past and present professional, business and other relationships with the parties and (b) any other relevant circumstances. [Include statement.] I confirm that those circumstances do not affect my independence and impartiality. I shall promptly notify the parties and the other arbitrators of any such further relationships or circumstances that may subsequently come to my attention during this arbitration.本人公正不偏,独立于每一方当事人,今后亦将如此行事。根据《联合国国际贸易法委员会仲裁规则》第11条,谨此附上有关以下方面的声明:(a)本人过去、现在与各方当事人在专业、业务和其他方面的关系,和(b)其他任何有关情形。[列入声明]本人确认,这些情形不影响本人的独立性和公正性。本案仲裁期间随后一旦出现可能引起本人注意的任何此种进一步关系或情形,本人当迅速通知各方当事人和其他仲裁员。
Note.
Any party may consider requesting from the arbitrator the following addition to the statement of independence:注:任何一方当事人均可考虑要求仲裁员对独立性声明作出如下补充:
I confirm, on the basis of the information presently available to me, that I can devote the time necessary to conduct this arbitration diligently, efficiently and in accordance with the time limits in the Rules.本人确认,根据本人目前掌握的情况,本人可以投入必要时间,按照本《规则》确定的时限,勤勉、高效地进行本案仲裁。
Annex II附件二
Terminology and recommendations of the UNCITRAL Legislative Guide on Secured Transactions. Supplement on Security Rights in Intellectual Property《贸易法委员会担保交易立法指南。知识产权担保权补编》中的术语和建议
A. TerminologyA. 术语
“Acquisition security right” includes a security right in intellectual property or a licence of intellectual property, provided that the security right secures the obligation to pay any unpaid portion of the acquisition price of the encumbered asset or an obligation incurred or credit otherwise provided to enable the grantor to acquire the encumbered asset.“购置款担保权”包括知识产权或知识产权许可的担保权,条件是该担保权为设保资产购置款任何未支付部分的付款义务提供担保,或为使设保人获取设保资产而产生的债务或提供的信贷而提供担保。
“Consumer goods” includes intellectual property or a licence of intellectual property used or intended to be used by the grantor for personal, family or household purposes.“消费品”包括设保人用于或打算用于个人、家庭或家居用途的知识产权或知识产权许可。
“Inventory” includes intellectual property or a licence of intellectual property held by the grantor for sale or licence in the ordinary course of the grantor’s business.“库存品”包括设保人为在正常经营过程中进行销售或授予许可而持有的知识产权或知识产权许可。
B. Recommendations 243-248B. 建议243-248
Security rights in tangible assets with respect to which intellectual property is used使用知识产权的有形资产的担保权
243. The law should provide that, in the case of a tangible asset with respect to which intellectual property is used, a security right in the tangible asset does not extend to the intellectual property and a security right in the intellectual property does not extend to the tangible asset.243. 法律应当规定,对于使用知识产权的有形资产,有形资产的担保权不延及知识产权,知识产权的担保权也不延及有形资产。
Impact of a transfer of encumbered intellectual property on the effectiveness of the registration设保知识产权的转让对登记效力的影响
244. The law should provide that the registration of a notice of a security right in intellectual property in the general security rights registry remains effective notwithstanding a transfer of the encumbered intellectual property.244. 法律应当规定,尽管转让设保知识产权,在普通担保权登记处登记的知识产权担保权通知仍然有效。
Priority of rights of certain licensees of intellectual property知识产权某些被许可人的权利的优先权
245. The law should provide that the rule in recommendation 81, subparagraph (c), applies to the rights of a secured creditor under this law and does not affect the rights the secured creditor may have under the law relating to intellectual property.245. 法律应当规定,建议81(c)项的规则适用于有担保债权人在本法律下享有的权利,且不影响有担保债权人在知识产权相关法律下可能享有的权利。
Right of the secured creditor to preserve the encumbered intellectual property有担保债权人保全设保知识产权的权利
246. The law should provide that the grantor and the secured creditor may agree that the secured creditor is entitled to take steps to preserve the encumbered intellectual property.246. 法律应当规定,设保人和担保债权人可以约定有担保债权人有权采取步骤保全设保知识产权。
Application of acquisition security right provisions to security rights in intellectual property购置款担保权条文对知识产权担保权的适用
247. The law should provide that the provisions on an acquisition security right in a tangible asset also apply to an acquisition security right in intellectual property or a licence of intellectual property.247. 法律应当规定,有形资产购置款担保权条文也适用于知识产权或知识产权许可的购置款担保权。
For the purpose of applying these provisions:在适用这些条文时:
(a) Intellectual property or a licence of intellectual property:(a) 知识产权或知识产权许可:
(i) Held by the grantor for sale or licence in the ordinary course of the grantor’s business is treated as inventory;㈠ 由设保人在其正常经营过程中为出售或授予许可而持有的,视作库存品;
and
(ii) Used or intended to be used by the grantor for personal, family or household purposes is treated as consumer goods;㈡ 由设保人用于或打算用于个人、家庭或家居用途的,视作消费品;以及
and
(b) Any reference to:(b) 任何规定:
(i) Possession of the encumbered asset by the secured creditor does not apply;㈠ 提及有担保债权人占有设保资产的,均不适用;
(ii) The time of possession of the encumbered asset by the grantor refers to the time the grantor acquires the encumbered intellectual property or licence of intellectual property;㈡ 提及设保人占有设保资产的时间的,均系指该设保人取得设保知识产权或知识产权许可的时间;
and
(iii) The time of the delivery of the encumbered asset to the grantor refers to the time the grantor acquires the encumbered intellectual property or licence of intellectual property.㈢ 提及向设保人交付设保资产的时间的,均系指该设保人取得设保知识产权或知识产权许可的时间。
Law applicable to a security right in intellectual property知识产权担保权的适用法律
248. The law should provide that:248. 法律应当规定,
(a) The law applicable to the creation, effectiveness against third parties and priority of a security right in intellectual property is the law of the State in which the intellectual property is protected;(a) 知识产权担保权的设定、对抗第三方效力和优先权的适用法律是知识产权保护国的法律;
(b) A security right in intellectual property may also be created under the law of the State in which the grantor is located and may also be made effective under that law against third parties other than another secured creditor, a transferee or a licensee;(b) 知识产权担保权也可根据设保人所在国的法律设定,并可根据该法取得除另一有担保债权人、受让人或被许可人之外的对抗第三方效力;
and
(c) The law applicable to the enforcement of a security right in intellectual property is the law of the State in which the grantor is located.(c) 知识产权担保权的强制执行的适用法律是设保人所在国的法律。
Annex III附件三
UNCITRAL rules of procedure and methods of work贸易法委员会议事规则和工作方法
Summary of conclusions结论概要
As decided by the Commission at its first session, rules relating to the procedure of committees of the General Assembly, as well as rules 45 and 60, shall apply to the procedure of the Commission. As the Commission has further decided, on matters not covered by these rules, the Commission shall be guided by the general principle that the rules of procedure of the General Assembly should apply, mutatis mutandis, to the Commission as may be appropriate for the performance of its functions.委员会第一届会议决定,与大会各委员会议事程序有关的规则以及规则第45条与60条,适用于委员会的议事程序。委员会还决定,对于不受这些规则涵盖的事项,委员会依循的一般原则是,大会议事规则经适当变通将酌情适用于委员会履行职责。
Decision-taking决定的作出
1. Decisions in the Commission are taken by member States of the Commission.1. 委员会的决定由委员会成员国作出。
The views of non-member States and observer organizations are for the benefit of member States who may take such views into account in determining their positions on the issue to be decided upon.非成员国和观察员组织可以向成员国发表意见,成员国确定对拟决定问题的立场,可以将这些意见用作参考。
2. The practice in the Commission as reflected by existing procedures long used by the Commission is to reach decisions by consensus.2. 以协商一致方式作出决定,是委员会长期使用的现行议事程序所反映的委员会惯例。
The Commission has decided that Commission decisions should be reached by consensus as far as possible; in the absence of a consensus, decisions are to be taken by voting as provided for in the relevant rules of procedure of the General Assembly.委员会已经决定,委员会应当尽可能以协商一致的方式作出决定;在无法达成协商一致时,应当根据大会有关议事规则的规定,通过表决作出决定。
3. States are entitled to make explanations of vote and explanations of position and to have those statements reflected in the report, consistent with the rules of procedure of the General Assembly.3. 按照大会议事规则,各国有权对投票和立场作出解释,并要求将这些说明列入报告。
4. Voting is to be regarded as an exceptional procedure.4. 表决应视为例外程序。
It should be noted that voting in the Commission took place only once on a procedural matter.应当注意,委员会对程序事项只能表决一次。
Status of non-member States and observer organizations非成员国和观察员组织的地位
5. Non-member States are entitled, when they so request, to attend the sessions of the Commission and its working groups as observers and may participate in the collective effort to achieve a generally acceptable text. However, they cannot object to a decision being recorded.5. 非成员国如提出请求,有权以观察员身份列席委员会及其工作组的会议,并可参加为达致可普遍接受的案文而作出的集体努力,但不得对记录决定提出反对意见。
6. As regards observer organizations, sessions of the Commission and its subsidiary organs are open to representatives of international governmental and non-governmental organizations invited by the Commission, as discussed in paragraphs 8 to 10 below.6. 对于观察员组织,如下文第8至第10段所述,委员会及其附属机构的会议对获委员会邀请的国际政府组织和非政府组织的代表开放。
7. Observers, in particular non-governmental organizations, do not participate in the decision-taking.7. 观察员,尤其是非政府组织,不参与决策。
8. United Nations organs and specialized agencies brought into relationship with the United Nations are permitted to participate in the sessions and the work of the Commission and its subsidiary organs.8. 允许联合国机构和与联合国有关系的专门机构参与委员会及其附属机构的会议和工作。
9. The Commission shall draw up, and shall update as necessary, a list of other international organizations and of non-governmental organizations with which UNCITRAL entertains a long-standing cooperation and which have been invited to Commission sessions.9. 委员会应当拟定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会议的其他国际组织和非政府组织的名单。
10. In addition, the Secretariat may be requested by the Commission or its subsidiary organs to invite a specific organization to the relevant session.10. 此外,委员会或其附属机构可以要求秘书处邀请某一特定组织参加相关会议。
It may also receive a request from an organization to be invited to a session, or it may itself take the initiative to invite an organization on the basis of its assessment of the relevance and potential contribution of the organization concerned to the proceedings of the relevant session.秘书处还可受理某一组织的与会请求,或在评价某一组织与有关会议议事的相关性和可能对其做出的贡献的基础上主动邀请该组织。
In such cases, the Secretariat shall inform the member States of the Commission.在这种情况下,秘书处应通报委员会各成员国。
Where an objection is raised, the decision will be taken by the Commission.若有反对意见,由委员会作出决定。
Working methods of the UNCITRAL secretariat贸易法委员会秘书处的工作方法
11. The Secretariat may make either oral or written statements at any time to the Commission or its subsidiary organs concerning any question under consideration.11. 秘书处可随时就所审议的任何问题向委员会或其附属机构作口头或书面说明。
Within the limits of its available resources, the Secretariat may have recourse to the assistance of outside experts from different legal traditions and affiliations.秘书处可在其现有资源限度内,寻求有着不同法律传统和从属关系的外部专家的协助。
The Secretariat shall decide on the appropriate form that the assistance of outside experts may take depending on the needs of the Secretariat.秘书处应根据自身需要,决定外部专家提供协助的适当形式。
12. The Secretariat is not bound by the advice of such experts.12. 秘书处不受这些专家意见的约束。
It formulates its proposals to the Commission or its subsidiary organs under its own responsibility and in accordance with specific instructions received from the Commission or its subsidiary organs, if any, also bearing in mind the policies expressed in relevant General Assembly resolutions and decisions adopted previously by the Commission.秘书处拟订对委员会或其附属机构的建议将实行文责自负,并以委员会或其附属机构给出的任何特定指示为依据,同时铭记大会有关决议和委员会以前通过的相关决定所表述的政策。
13. The Secretariat shall inform member States of the expert group meetings it holds as requested.13. 秘书处应向成员国通报其按要求举行的专家组会议的情况。
14. The UNCITRAL secretariat is committed to endeavour, resources permitting, to provide at such meetings translation and interpretation in as many official languages as appropriate.14. 贸易法委员会秘书处致力于在资源许可的情况下,为这类会议提供适当种类正式语文的笔译和口译服务。
15. Colloquiums organized or co-organized by the Secretariat shall be widely advertised, particularly by posting relevant information concerning such events on the UNCITRAL website.15. 应当广泛登载秘书处组织或参与组织的学术讨论会的消息,特别是在贸易法委员会网站上发布这类活动的有关信息。
Their results shall be reported to the Commission or, as appropriate, to the working groups.这些会议的结果应报告委员会,或酌情报告各工作组。
Annex IV附件四
List of documents before the Commission at its forty-third session委员会第四十三届会议文件一览表
Symbol文号
Title or description标题或说明
A/CN.9/683 and Corr.1A/CN.9/683和Corr.1
Provisional agenda, annotations thereto and scheduling of meetings of the forty-third session第四十三届会议临时议程、临时议程说明和会议时间安排
A/CN.9/684A/CN.9/684
Report of Working Group II (Arbitration and Conciliation) on the work of its fifty-first session (Vienna, 14-18 September 2009)第二工作组(仲裁和调解)第五十一届会议(2009年9月14日至18日,维也纳)工作报告
A/CN.9/685A/CN.9/685
Report of Working Group VI (Security Interests) on the work of its sixteenth session (Vienna, 2-6 November 2009)第六工作组(担保权益)第十六届会议(2009年11月2日至6日,维也纳)工作报告
A/CN.9/686A/CN.9/686
Report of Working Group V (Insolvency Law) on the work of its thirty-seventh session (Vienna, 9-13 November 2009)第五工作组(破产法)第三十七届会议(2009年11月9日至13日,维也纳)工作报告
A/CN.9/687A/CN.9/687
Report of Working Group I (Procurement) on the work of its seventeenth session (Vienna, 7-11 December 2009)第一工作组(采购)第十七届会议(2009年12月7日至11日,维也纳)工作报告
A/CN.9/688A/CN.9/688
Report of Working Group II (Arbitration and Conciliation) on the work of its fifty-second session (New York, 1-5 February 2010)第二工作组(仲裁和调解)第五十二届会议(2010年2月1日至5日,纽约)工作报告
A/CN.9/689A/CN.9/689
Report of Working Group VI (Security Interests) on the work of its seventeenth session (New York, 8-12 February 2010)第六工作组(担保权益)第十七届会议(2010年2月8日至12日,纽约)工作报告
A/CN.9/690A/CN.9/690
Report of Working Group I (Procurement) on the work of its eighteenth session (New York, 12-16 April 2010)第一工作组(采购)第十八届会议(2010年4月12日至16日,纽约)工作报告
A/CN.9/691A/CN.9/691
Report of Working Group V (Insolvency Law) on the work of its thirty-eighth session (New York, 19-23 April 2010)第五工作组(破产法)第三十八届会议(2010年4月19日至23日,纽约)工作报告
A/CN.9/692A/CN.9/692
Note by the Secretariat on present and possible future work on electronic commerce秘书处的说明:电子商务现行工作和今后可能开展的工作
A/CN.9/693A/CN.9/693
Note by the Secretariat on a bibliography of recent writings related to the work of UNCITRAL秘书处的说明:与贸易法委员会工作有关的最新著作目录
A/CN.9/694A/CN.9/694
Note by the Secretariat on the status of conventions and model laws秘书处的说明:各公约和示范法的现状
A/CN.9/695 and Add.1A/CN.9/695 /Add.1
Note by the Secretariat on technical cooperation and assistance, including transport law秘书处的说明:技术合作与援助,包括运输法
A/CN.9/696A/CN.9/696
Note by the Secretariat on promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts秘书处的说明:促进确保统一解释和适用贸易法委员会法规的方式方法
A/CN.9/697 and Add.1A/CN.9/697/Add.1
Note by the Secretariat on the UNCITRAL rules of procedure and methods of work; comments received from Member States and interested international organizations秘书处的说明:贸易法委员会议事规则和工作方法;从成员国和有关国际组织收到的意见
A/CN.9/698A/CN.9/698
Note by the Secretariat on microfinance in the context of international economic development秘书处的说明:国际经济发展背景下的小额金融
A/CN.9/699 and Add.1-4A/CN.9/699和Add.1-4
UNCITRAL Legislative Guide on Insolvency Law: draft part three; compilation of comments by Governments and international organizations《贸易法委员会破产法立法指南》:第三部分草案;各国政府和国际组织意见汇编
A/CN.9/700 and Add.1-7A/CN.9/700和Add.1-7
Note by the Secretariat on the draft supplement to the UNCITRAL Legislative Guide on Secured Transactions dealing with security rights in intellectual property秘书处的说明:《贸易法委员会担保交易立法指南》关于知识产权担保权的补编草案
A/CN.9/701A/CN.9/701
Note by the Secretariat on the draft supplement to the UNCITRAL Legislative Guide on Secured Transactions dealing with security rights in intellectual property; compilation of comments by Governments and international organizations秘书处的说明:《贸易法委员会担保交易立法指南》关于知识产权担保权的补编草案;各国政府和国际组织意见汇编
A/CN.9/702 and Add.1A/CN.9/702和Add.1
Note by the Secretariat on possible future work on security interests秘书处的说明:今后可能就担保权益开展的工作
A/CN.9/703 and Add.1A/CN.9/703和Add.1
Note by the Secretariat on the settlement of commercial disputes: revision of the UNCITRAL Arbitration Rules秘书处的说明:解决商事争议:对《贸易法委员会仲裁规则》的修订
A/CN.9/704 and Add.1-10A/CN.9/704和Add.1-10
Note by the Secretariat on the settlement of commercial disputes: revision of the UNCITRAL Arbitration Rules; compilation of comments by Governments and international organizations秘书处的说明:解决商事争议:对《贸易法委员会仲裁规则》的修订;各国政府和国际组织意见汇编
A/CN.9/705A/CN.9/705
Note by the Secretariat on the settlement of commercial disputes: revision of the UNCITRAL Arbitration Rules秘书处的说明:解决商事争议:对《贸易法委员会仲裁规则》的修订
A/CN.9/706A/CN.9/706
Note by the Secretariat on possible future work on online dispute resolution in cross-border electronic commerce transactions秘书处的说明:在跨界电子商务交易网上解决争议方面今后可能开展的工作
A/CN.9/707 and Add.1A/CN.9/707和Add.1
Note by the Secretariat on current activities of international organizations related to the harmonization and unification of international trade law秘书处的说明:各国际组织当前开展的协调和统一国际贸易法的相关活动
A/CN.9/708A/CN.9/708
Note by the Secretariat: revisions to A/CN.9/WG.V/WP.92 and Add.1; UNCITRAL Legislative Guide on Insolvency Law: part three: treatment of enterprise groups in insolvency秘书处的说明:A/CN.9/WG.V/WP.92和Add.1的修订;《贸易法委员会破产法立法指南》:第三部分:破产企业集团对待办法
A/CN.9/709A/CN.9/709
Note by the Secretariat on insolvency law: possible future work; further proposal by the delegation of Switzerland for preparation by the UNCITRAL secretariat of a study on the feasibility and possible scope of an instrument regarding the cross-border resolution of large and complex financial institutions秘书处的说明:破产法:今后可能的工作;瑞士代表团就贸易法委员会秘书处编写一份关于大型复杂金融机构跨国界破产文书的可行性和可能范围的研究报告提出的进一步建议
A/CN.9/710A/CN.9/710
Note supporting the possible future work on online dispute resolution by UNCITRAL, submitted by the Institute of International Commercial Law: possible future work on online dispute resolution in cross-border electronic commerce transactions国际商法研究所提交关于支助贸易法委员会在网上解决争议方面今后可能开展的工作的说明:在跨界电子商务交易网上解决争议方面今后可能开展的工作
1 Pursuant to General Assembly resolution 2205 (XXI), the members of the Commission are elected for a term of six years. Of the current membership, 30 were elected by the Assembly at its sixty-first session, on 22 May 2007 (decision 61/417), 28 were elected by the Assembly at its sixty-fourth session, on 3 November 2009, and two were elected by the Assembly at its sixty-fourth session, on 15 April 2010. 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. The following six States members elected by the General Assembly on 3 November 2009 agreed to alternate their membership among themselves until 2016 as follows: 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).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。在现任成员中,30个由大会第六十一届会议于2007年5月22日选出(第61/417号决定),28个由大会第六十四届会议于2009年11月3日选出,2个由大会第六十四届会议于2010年4月15日选出。大会第31/99号决议改变了成员资格的开始和终止日期,决定当选成员应从其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,任期应于其当选后委员会第七届年度常会开幕前的最后一天届满。大会于2009年11月3日选出的以下6个成员国同意在2016年之前轮流出任委员会成员: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)以及克罗地亚(2012-2016年)。
2 Official Records of the General Assembly, Thirty-first Session, Supplement No. 17 (A/31/17), para. 57.2 《大会正式记录,第三十一届会议,补编第17号》(A/31/17),第57段。
3 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), para. 184.3 同上,《第六十一届会议,补编第17号》(A/61/17),第184段。
4 Ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part I, para. 174.4 同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第174段。
5 United Nations publication, Sales No. E.99.V.4.5 联合国出版物,出售品编号:E.99.V.4。
6 United Nations publication, Sales No. E.07.V.2.6 联合国出版物,出售品编号:E.07.V.2。
7 Available at the date of this report from www.ibanet.org/Publications/publications_IBA_guides_and_free_materials.aspx.7 编写本报告时查阅的网站:www.ibanet.org/Publications/publications_IBA_guides_ and_free_materials.aspx。
8 Available at the date of this report from www.abanet.org/dispute/commercial_disputes.pdf.8 编写本报告时查阅的网站:www.abanet.org/dispute/commercial_disputes.pdf。
9 BKMI and Siemens v. Dutco, French Court of Cassation, 7 January 1992 (see Revue de l’Arbitrage, 1992, p. 470).9 BKMI and Siemens诉Dutco,法国最高法院,1992年1月7日(见Revue de l’Arbitrage, 1992, p. 470)。
10 See article 16, paragraph 1, of the UNCITRAL Model Law on International Commercial Arbitration with amendments as adopted in 2006 (United Nations publication, Sales No. E.08.V.4).10 见2006年通过修正的《贸易法委员会国际商事仲裁示范法》第16条第1款(联合国出版物,出售品编号:E.08.V.4)。
11 General Assembly resolution 22 A (1).11 大会第22 A (1)号决议。
12 United Nations publication, Sales No. E.08.V.4.12 联合国出版物,出售品编号:E.08.V.4。
13 Available at the date of this report from www.iccwbo.org/court/arbitration/id4093/index.html.13 编写本报告时查阅的网站:www.iccwbo.org/court/arbitration/id4093/index.html。
14 Available at the date of this report from www.lcia.org/Dispute_Resolution_Services/LCIA_Arbitration_Rules.aspx.14 编写本报告时查阅的网站:www.lcia.org/Dispute_Resolution_Service/LCIA_Arbitration_ Rules.aspx。
15 Available at the date of this report from www.sccam.org/sa/en/rules.php.15 编写本报告时查阅的网站:www.sccam.org/sa/en/rules.php。
16 See article 33, paragraph 1, of the 1976 UNCITRAL Arbitration Rules.16 见1976年《贸易法委员会仲裁规则》第33条第1款。
17 United Nations, Treaty Series, vol. 330, No. 4739.17 联合国,《条约集》,第330卷,第4739号。
18 Official Records of the General Assembly, Thirty-first Session, Supplement No. 17 (A/31/17), chap. V, sect. C.18 《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。
19 Ibid., Thirty-seventh Session, Supplement No. 17 and corrigenda (A/37/17 and Corr.1 and 2), paras. 74-85 and annex I.19 同上,《第三十七届会议,补编第17号》和更正(A/63/17及Corr.1和2),第74-85段和附件一。
20 Ibid., Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), para. 314.20 同上,《第六十三届会议,补编第17号》和更正(A/63/17及Corr.1),第314段。
21 United Nations publication, Sales No. E.09.V.12;21 联合国出版物,出售品编号:E.09.V.12。
also available at the date of this report from www.uncitral.org/pdf/english/texts/security-lg/e/09-82670_Ebook-Guide_09-04-10English.pdf.编写本报告时还查阅的网站:www.uncitral.org/ pdf/english/texts/security-lg/c/Annex-c-edited.pdf。
22 United Nations publication, Sales No. E.09.V.13;22 联合国出版物,出售品编号:E.09.V.13。
also available at the date of this report from www.uncitral.org/pdf/english/texts/security-lg/e/Terminology-and-Recs.18-1-10.pdf.编写本报告时还查阅的网站:www.uncitral.org/ pdf/english/texts/security-lg/e/Terminology-and-Recs.18-1-10.pdf。
23 Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17), part II, para. 100.23 《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100段。
24 United Nations publication, Sales No. E.05.V.10.24 联合国出版物,出售品编号:E.05.V.10。
25 Official Records of the General Assembly, Sixty-first Session, Supplement No. 17 (A/61/17), para. 209.25 《大会正式记录,第六十一届会议,补编第17号》(A/61/17),第209段。
26 United Nations publication, Sales No. E.99.V.3.26 联合国出版物,出售品编号:E.99.V.3。
27 United Nations publication, Sales No. E.10.V.6.27 联合国出版物,出售品编号:E.10.V.6。
28 Official Records of the General Assembly, Sixty-fourth Session, Supplement No. 17 (A/64/17), paras. 303 and 304.28 《大会正式记录,第六十四届会议,补编第17号》(A/64/17),第303和304段。
29 United Nations publication, Sales No. E.98.V.13.29 联合国出版物,出售品编号:E.98.V.13。
30 Official Records of the General Assembly, Fifty-ninth Session, Supplement No. 17 (A/59/17), para. 81.30 《大会正式记录,第五十九届会议,补编第17号》(A/59/17),第81段。
31 Ibid., para. 82.31 同上,第82段。
32 For the reports of the Working Group on the work of its sixth to eighteenth sessions, see A/CN.9/568, A/CN.9/575, A/CN.9/590, A/CN.9/595, A/CN.9/615, A/CN.9/623, A/CN.9/640, A/CN.9/648, A/CN.9/664, A/CN.9/668, A/CN.9/672, A/CN.9/687 and A/CN.9/690, respectively.32 关于工作组第六届会议至第十八届会议的工作报告,分别见A/CN.9/568、A/CN.9/575、A/CN.9/590、A/CN.9/595、A/CN.9/615、A/CN.9/623、A/CN.9/640、A/CN.9/648、A/CN.9/664、A/CN.9/668、A/CN.9/672、A/CN.9/687、A/CN.9/690。
33 Official Records of the General Assembly, Sixtieth Session, Supplement No. 17 (A/60/17), para. 172; ibid., Sixty-first Session, Supplement No. 17 (A/61/17), para. 192; ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part I, para. 170; and ibid., Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), para. 307.33 《大会正式记录,第六十届会议,补编第17号》(A/60/17),第172段;同上,《第六十一届会议,补编第17号》(A/61/17),第192段;同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第170段;同上,《第六十三届会议,补编第17号》和更正(A/63/17和Corr. 1),第307段。
34 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), para. 192.34 同上,《第六十一届会议,补编第17号》(A/61/17),第192段。
35 Ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part I, para. 170.35 同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第170段。
36 Ibid., Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), para. 307.36 上同,《第六十三届会议,补编第17号》和更正(A/63/17和Corr.1),第307段。
37 A/CN.9/664, A/CN.9/668 and A/CN.9/672, respectively.37 分别为A/CN.9/664、A/CN.9/668、A/CN.9/672。
38 Official Records of the General Assembly, Sixty-fourth Session, Supplement No. 17 (A/64/17), paras. 11, 48 and 284.38 《大会正式记录,第六十四届会议,补编第17号》(A/64/17),第11、48和284段。
39 Ibid., paras. 283 and 284.39 同上,第283和284段。
40 Ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part I, para. 195.40 同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第195段。
41 Ibid., Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), paras. 333-338.41 同上,《第六十三届会议,补编第17号》和更正(A/63/17及Corr.1),第333-338段。
42 Ibid., Sixty-fourth Session, Supplement No. 17 (A/64/17), para. 340.42 同上,《第六十四届会议,补编第17号》(A/64/17),第340段。
43 Ibid., para. 343.43 同上,第343段。
44 United Nations publication, Sales No. E.09.V.9.44 联合国出版物,出售品编号:E.09.V.9。
45 Official Records of the General Assembly, Sixty-fourth Session, Supplement No. 17 (A/64/17), para. 338, and A/CN.9/681/Add.2, para. 4.45 《大会正式记录,第六十四届会议,补编第17号》(A/64/17),第338段,A/CN.9/681/Add.2,第4段。
46 Official Records of the General Assembly, Sixty-fourth Session, Supplement No. 17 (A/64/17), paras. 342-343.46 《大会正式记录,第六十四届会议,补编第17号》(A/64/17),第342-343段。
47 Information about the colloquium is available at the date of this report from www.uncitral.org/pdf/english/news/IICL_Bro_2010_v8.pdf.47 编写本报告时查阅专题讨论会相关信息的网站:www.uncitral.org/pdf/english/news/ IICL_Bro_2010_v8.pdf。
48 United Nations publication, Sales No. E.99.V.4.48 联合国出版物,出售品编号:E.99.V.4。
49 See the related proposal of the Union internationale des Avocats referred to in the report of Working Group V on the work of its thirty-seventh session (Vienna, 9-13 November 2009) (A/CN.9/686, paras. 127-130).49 见第五工作组第三十七届会议(2009年11月9日至13日,维也纳)工作报告(A/CN.9/686,第127-130段)中提及的国际律师联盟的有关建议。
50 Official Records of the General Assembly, Sixty-fourth session, Supplement No. 17 (A/64/17), paras. 313-320.50 《大会正式记录,第六十四届会议,补编第17号》(A/64/17),第313-320段。
51 Available at the date of this report from www.unidroit.org/english/conventions/mobile-equipment/mobile-equipment.pdf.51 编写本报告时查阅的网站:www.unidroit.org/english/conventions/mobile-equipment/mobile- equipment.pdf。
52 Available at the date of this report from www.unidroit.org/english/conventions/2009intermediatedsecurities/convention.pdf.52 编写本报告时查阅的网站:www.unidroit.org/english/conventions/2009intermediatedsecurities/ convention.pdf。
53 Official Records of the General Assembly, Sixty-fourth Session, Supplement No. 17 (A/64/17), paras. 432-433.53 《大会正式记录,第六十四届会议,补编第17号》(A/64/17),第432和433段。
54 Further information about the Millennium Development Goals is available at the date of this report from www.un.org/millenniumgoals/bkgd.shtml.54 编写本报告时查阅《千年发展目标》进一步资料的网站:www.un.org/millenniumgoals/ bkgd.shtml。
55 Official Records of the General Assembly, Fiftieth Session, Supplement No. 17 (A/50/17), paras. 401-404.55 《大会正式记录,第五十届会议,补编第17号》(A/50/17),第401-404段。
56 Ibid., Sixtieth Session, Supplement No. 17 (A/60/17), paras. 188-191.56 同上,《第六十届会议,补编第17号》(A/60/17),第188-191段。
57 Ibid., Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), paras. 355-356.57 同上,《第六十三届会议,补编第17号》和更正(A/63/17及Corr.1),第355-356段。
58 Ibid., Sixty-fourth Session, Supplement No. 17 (A/64/17), para. 360.58 同上,《第六十四届会议,补编第17号》(A/64/17),第360段。
59 United Nations, Treaty Series, vol. 1489, No. 25567.59 联合国,《条约集》,第1489卷,第25567号。
60 Official Records of the United Nations Conference on Prescription (Limitation) in the International Sale of Goods, New York, 20 May-14 June 1974 (United Nations publication, Sales No. E.74.V.8), part I.60 《联合国关于国际货物销售时效(期限)会议正式记录,1974年5月20日至6月14日,纽约》(联合国出版物,出售品编号:E.74.V.8),第一部分。
61 United Nations publication, Sales No. E.95.V.13.61 联合国出版物,出售品编号:E.95.V.13。
62 United Nations publication, Sales No. E.95.V.14.62 联合国出版物,出售品编号:E.95.V.14。
63 United Nations publication, Sales No. E.95.V.12.63 联合国出版物,出售品编号:E.95.V.12。
64 United Nations publication, Sales No. E.95.V.16.64 联合国出版物,出售品编号:E.95.V.16。
65 Official Records of the United Nations Conference on the Liability of Operators of Transport Terminals in International Trade, Vienna, 2-19 April 1991 (United Nations publication, Sales No. E.93.XI.3), part I, document A/CONF.152/13, annex.65 《联合国关于国际贸易运输港站经营人赔偿责任会议的正式记录,1991年4月2日至19日,维也纳》(联合国出版物,出售品编号:E.93.XI.3),第一部分,A/CONF.152/13号文件,附件。
66 United Nations publication, Sales No. E.97.V.12.66 联合国出版物,出售品编号:E.97.V.12。
67 United Nations publication, Sales No. E.04.V.14.67 联合国出版物,出售品编号:E.04.V.14。
68 United Nations publication, Sales No. E.07.V.2.68 联合国出版物,出售品编号:E.07.V.2。
69 United Nations publication, Sales No. E.09.V.9.69 联合国出版物,出售品编号:E.09.V.9。
70 United Nations, Treaty Series, vol. 330, No. 4739.70 联合国,《条约集》,第330卷,第4739号。
71 United Nations publication, Sales No. E.95.V.18.71 联合国出版物,出售品编号:E.95.V.18。
72 United Nations publication, Sales No. E.08.V.4.72 联合国出版物,出售品编号:E.08.V.4。
73 United Nations publication, Sales No. E.99.V.11.73 联合国出版物,出售品编号:E.99.V.11。
74 United Nations publication, Sales No. E.98.V.13.74 联合国出版物,出售品编号:E.98.V.13。
75 United Nations publication, Sales No. E.99.V.4.75 联合国出版物,出售品编号:E.99.V.4。
76 United Nations publication, Sales No. E.99.V.3.76 联合国出版物,出售品编号:E.99.V.3。
77 United Nations publication, Sales No. E.02.V.8.77 联合国出版物,出售品编号:E.02.V.8。
78 United Nations publication, Sales No. E.05.V.4.78 联合国出版物,出售品编号:E.05.V.4。
79 Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17), part I, paras. 234-241.79 《大会正式记录,第六十二届会议,补编第17号》(A/62/17 ),第一部分,第234-241段。
80 Ibid., (A/62/17), part II, paras. 101-107.80 同上,(A/62/17),第二部分,第101-107段。
81 Ibid., Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), paras. 373-381.81 同上,《第六十三届会议,补编第17号》和更正(A/63/17和Corr.1),第373-381段。
82 Ibid., Sixty-fourth Session, Supplement No. 17 (A/64/17), paras. 379-397.82 同上,《第六十四届会议,补编第17号》(A/64/17),第379-397段。
83 Ibid., Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), para. 382; and ibid., Sixty-fourth Session, Supplement No. 17 (A/64/17), para. 398.83 同上,《第六十三届会议,补编第17号》和更正(A/63/17和Corr.1),第382段;同上,《第六十四届会议,补编第17号》(A/64/17),第398段。
84 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), para. 114.84 同上,《第五十九届会议,补编第17号》(A/59/17),第114段。
85 Ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part II, paras. 111-113.85 同上,《第六十二届会议,补编第17号》(A/62/17),第二部分,第111-113段。
86 Ibid., Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), para. 386; and ibid., Sixty-fourth Session, Supplement No. 17 (A/64/17), paras. 415-419.86 同上,《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415-419段。
87 See the note by the Chairman of the Sixth Committee (A/C.6/63/L.23), para. 3.87 见第六委员会主席的说明(A/C.6/63/L.23),第3段。
88 See A/64/298, para. 78.88 见A/64/298,第78段。
89 Available at the date of this report from www.unidroit.org/english/documents/2008/study59a/s-59a-17-e.pdf.89 编写本报告时查阅的网站:www.unidroit.org/english/documents/2008/study59a/s-59a-17-e.pdf。
90 Available at the date of this report from www.unidroit.org/english/conventions/1988leasing/1988leasing-e.htm.90 编写本报告时查阅的网站:www.unidroit.org/english/conventions/1988leasing/1988leasing-e.htm。
91 Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17), part I, para. 243.91 《大会正式记录,第六十二届会议,补编第17号》(A/62/17),第一部分,第243段。
92 A/62/6 (Sect. 8) and Corr.1, table 8.19 (d).92 A/62/6 (Sect. 8) 和Corr.1,表8.19(d)。
93 Official Records of the General Assembly, Sixty-fourth Session, Supplement No. 17 (A/64/17), para. 434.93 《大会正式记录,第六十四届会议,补编第17号》(A/64/17),第434段。
94 Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 275.94 同上,《第五十八届会议,补编第17号》(A/58/17),第275段。
* A model arbitration clause for contracts can be found in the annex to the Rules.* 合同中的示范仲裁条款载于本《规则》附件。