A_64_17_EC
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United Nations联合国
Report of the United Nations Commission on International Trade Law联合国国际贸易法委员会报告
Forty-second session第四十二届会议
(29 June-17 July 2009)(2009年6月29日至7月17日)
General Assembly大会
Official Records Sixty-fourth session Supplement No. 17正式记录 第六十四届会议 补编第17号
General Assembly Official Records Sixty-fourth session Supplement No. 17大会 正式记录 第六十四届会议 补编第17号
United Nations New York, 2009
Report of the United Nations Commission on International Trade Law联合国国际贸易法委员会报告
Forty-second session第四十二届会议
(29 June-17 July 2009)(2009年6月29日至7月17日)
Note联合国 2009年,纽约 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
22
D. AgendaD. 议程
2
3 E. Establishment of the Committee of the WholeE. 设立全体委员会 3
4
F. Adoption of the reportF. 通过报告
44
3. Finalization and adoption of UNCITRAL notes on cooperation, communication and coordination in cross-border insolvency proceedings3. 贸易法委员会关于跨国界破产程序合作、联系与协调的说明的最后定稿和通过
44
4. Draft UNCITRAL model law on public procurement4. 贸易法委员会公共采购示范法草案
76
A. IntroductionA. 导言
6
7 B. Report on the progress made by Working Group I (Procurement) in the fulfilment of its mandateB. 第一工作组(采购)履行任务授权的进度报告 7
8
C. Report of the Committee of the Whole on its consideration of the draft revised model lawC. 全体委员会关于审议示范法修订本草案的报告
1311
Article 1. Scope of application第1条. 适用范围
1311
Article 2.第2条. 定义
Definitions 1411
Article 3. International obligations of this State relating to procurement [and intergovernmental agreements within (this State)]第3条. 本国所承担的与采购有关的国际义务[和(本国)之内的政府间协定]
1714
Articles 4 and 5第4条和第5条
1815
Article 6. Information on planned procurement activities第6条. 关于计划进行的采购活动的信息
1815
Article 7. Rules concerning methods, techniques and procedures for procurement and type of solicitation第7条. 关于采购方法、技术和程序以及招标类型的规则
1916
Article 8. Communications in procurement第8条. 采购中的通信
2420
Article 11. Rules concerning description of the subject matter of the procurement, and the terms and conditions of the procurement contract or framework agreement第11条. 关于采购标的说明的规则以及采购合同或框架协议的条款和条件
2823
Article 12. Rules concerning evaluation criteria [the evaluation of submissions]第12条. 关于评审标准[评审提交书]的规则
2924
Article 14. Submission securities第14条. 提交书担保
3428
Article 15.第15条. 资格预审程序
Prequalification proceedings 3428
Article 16.第16条. 否决全部提交书
Rejection of all submissions 3528
Article 17. Rejection of abnormally low submissions第17条. 否决异常低价提交书
4032
Article 18. Rejection of a submission on the ground of inducements from suppliers or contractors or on the ground of conflicts of interests第18条. 以供应商或承包商的利诱或以利益冲突为由否决提交书
4033
Article 19. Acceptance of submissions and entry into force of the procurement contract第19条. 接受提交书和采购合同生效
4234
Article 21.第21条. 保密
Confidentiality 4637
Article 22. Record of procurement proceedings第22条. 采购过程的记录
4939
Future work今后的工作
5141
Report of the deliberations审议情况报告
5141
A. Decisions by the Commission with respect to agenda item 5A. 贸易法委员会关于议程项目5的决定
5141
5. Arbitration and conciliation: progress report of Working Group II5. 仲裁和调解:第二工作组进度报告
5242
6. Insolvency law: progress report of Working Group V6. 破产法:第五工作组进度报告
5645
A. Progress report of Working Group VA. 第五工作组进度报告
5645
B. Eighth Multinational Judicial ColloquiumB. 第八次多国司法座谈会
5746
C. Future work on insolvency lawC. 今后的破产法工作
5847
7. Security interests: progress report of Working Group VI7. 担保权益:第六工作组进度报告
5847
8. Possible future work in the area of transport law: commentary on the United Nations Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea8. 今后可能在运输法领域开展的工作:《联合国全程或者部分海上国际货物运输合同公约》评注
6149
A. Update on developments relating to the ConventionA. 《公约》最新动态
6149
B. Possible future work on an explanatory noteB. 今后可能就解释性说明开展的工作
6350
9. Possible future work in the area of electronic commerce9. 今后可能在电子商务领域开展的工作
6552
10. Possible future work in the area of commercial fraud10. 今后可能在商业欺诈领域开展的工作
6753
11. Endorsement of texts of other organizations: 2007 revision of the Uniform Customs and Practice for Documentary Credits published by the International Chamber of Commerce11. 对其他组织的文本的认可:国际商会公布的《跟单信用证统一惯例》2007年修订本
7056
12. Monitoring implementation of the New York Convention12. 监督《纽约公约》的执行情况
7157
13. Technical assistance and cooperation13. 技术援助与合作
7258
A. Technical cooperation and assistance activitiesA. 技术合作与援助活动
7258
B. Support to the uniform interpretation of UNCITRAL textsB. 支持对贸易法委员会法规的统一解释
7459
C. Library and online resourcesC. 图书馆和网上资源
7560
14.14. 贸易法委员会法规的现状和促进
Status and promotion of UNCITRAL texts 7560
15. Working methods of UNCITRAL15. 贸易法委员会工作方法
7762
16. Coordination and cooperation16. 协调与合作
8367
A. GeneralA. 概述
8367
B. Reports of other international organizationsB. 其他国际组织的报告
8468
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家和国际各级法治方面的作用
8770
18. International commercial arbitration moot competitions18. 国际商事模拟仲裁辩论赛
8972
A. General remarksA. 总论
8972
B. Willem C. Vis International Commercial Arbitration Moot competitionB. 维斯国际商事模拟仲裁辩论赛
9073
MadridC. commercial arbitration moot competitionC. 马德里模拟商事仲裁辩论赛
9173
19. Relevant General Assembly resolutions19. 大会有关决议
9174
20.20. 其他事项
Other business 9274
A. Internship programmeA. 实习方案
9274
B. Microfinance in the context of international economic developmentB. 国际经济发展背景下的小额信贷
9274
C. Evaluation of the role of the Secretariat in facilitating the work of the CommissionC. 评价秘书处在促进委员会工作方面的作用
9375
21. Date and place of future meetings21. 今后会议的日期和地点
9375
A. Forty-third session of the CommissionA. 委员会第四十三届会议
9375
B. Sessions of working groupsB. 各工作组的届会
9375
Annex附件
List of documents before the Commission at its forty-second session委员会第四十二届会议会前文件一览表
9678
I. Introduction一. 导言
1. The present report of the United Nations Commission on International Trade Law (UNCITRAL) covers the forty-second session of the Commission, held in Viennafrom 29 June to 17 July 2009.1. 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2009年6月29日至7月17日在维也纳举行的第四十二届会议的情况。
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-second session of the Commission was opened on 29 June 2009.3. 委员会第四十二届会议于2009年6月29日开幕。
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 Assembly further increased the membership of the Commission from 36 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 17 November 2003 and on 22 May 2007, 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 (2010), Armenia (2013), Australia (2010), Austria (2010), Bahrain (2013), Belarus (2010), Benin (2013), Bolivia (Plurinational State of) (2013), Bulgaria (2013), Cameroon (2013), Canada (2013), Chile (2013), China (2013), Colombia (2010), Czech Republic (2010), Ecuador (2010), Egypt (2013), El Salvador (2013), Fiji (2010), France (2013), Gabon (2010), Germany (2013), Greece (2013), Guatemala (2010), Honduras (2013), India (2010), Iran (Islamic Republic of) (2010), Israel (2010), Italy (2010), Japan (2013), Kenya (2010), Latvia (2013), Lebanon (2010), Madagascar (2010), Malaysia (2013), Malta (2013), Mexico (2013), Mongolia (2010), Morocco (2013), Namibia (2013), Nigeria (2010), Norway (2013), Pakistan (2010), Paraguay (2010), Poland (2010), Republic of Korea (2013), Russian Federation (2013), Senegal (2013), Serbia (2010), Singapore (2013), South Africa (2013), Spain (2010), Sri Lanka (2013), Switzerland (2010), Thailand (2010), Uganda (2010), United Kingdom of Great Britain and Northern Ireland (2013), United States of America (2010), Venezuela (Bolivarian Republic of) (2010) and Zimbabwe (2010).下列国家是分别于2003年11月17日和2007年5月22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(2010年)、亚美尼亚(2013年)、澳大利亚(2010年)、奥地利(2010年)、巴林(2013年)、白俄罗斯(2010年)、贝宁(2013年)、玻利维亚多民族国(2013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(2010年)、捷克共和国(2010年)、厄瓜多尔(2010年)、埃及(2013年)、萨尔瓦多(2013年)、斐济(2010年)、法国(2013年)、加蓬(2010年)、德国(2013年)、希腊(2013年)、危地马拉(2010年)、洪都拉斯(2013年)、印度(2010年)、伊朗伊斯兰共和国(2010年)、以色列(2010年)、意大利(2010年)、日本(2013年)、肯尼亚(2010年)、拉脱维亚(2013年)、黎巴嫩(2010年)、马达加斯加(2010年)、马来西亚(2013年)、马耳他(2013年)、墨西哥(2013年)、蒙古(2010年)、摩洛哥(2013年)、纳米比亚(2013年)、尼日利亚(2010年)、挪威(2013年)、巴基斯坦(2010年)、巴拉圭(2010年)、波兰(2010年)、大韩民国(2013年)、俄罗斯联邦(2013年)、塞内加尔(2013年)、塞尔维亚(2010年)、新加坡(2013年)、南非(2013年)、西班牙(2010年)、斯里兰卡(2013年)、瑞士(2010年)、泰国(2010年)、乌干达(2010年)、大不列颠及北爱尔兰联合王国(2013年)、美利坚合众国(2010年)、委内瑞拉玻利瓦尔共和国(2010年)和津巴布韦(2010年)。
5. With the exception of Benin, Ecuador, Gabon, Greece, Guatemala, Latvia, Madagascar, Malta, Namibia, Pakistan, Paraguay, Ugandaand Zimbabwe, all the members of the Commission were represented at the session.5. 除贝宁、厄瓜多尔、加蓬、希腊、危地马拉、拉脱维亚、马达加斯加、马耳他、纳米比亚、巴基斯坦、巴拉圭、乌干达和津巴布韦之外,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: Angola, Argentina, Azerbaijan, Belgium, Brazil, Côte d’Ivoire, Croatia, Dominican Republic, Finland, Indonesia, Jordan, Kazakhstan, Kuwait, Mali, New Zealand, Nicaragua, Panama, Peru, Philippines, Romania, Slovakia, Slovenia, Sweden, Tunisia, Turkeyand Yemen.6. 下列国家派观察员出席了本届会议:安哥拉、阿根廷、阿塞拜疆、比利时、巴西、科特迪瓦、克罗地亚、多米尼加共和国、芬兰、印度尼西亚、约旦、哈萨克斯坦、科威特、马里、新西兰、尼加拉瓜、巴拿马、秘鲁、菲律宾、罗马尼亚、斯洛伐克、斯洛文尼亚、瑞典、突尼斯、土耳其和也门。
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: Food and Agriculture Organization and World Bank;(a) 联合国系统:粮食及农业组织和世界银行;
(b) Intergovernmental organizations: Caribbean Community, East African Community, Eurasian Economic Community, European Commission, International Association of Insolvency Regulators, International Institute for the Unification of Private Law, Organization for Economic Cooperation and Development, Permanent Court of Arbitration and World Trade Organization (WTO);(b) 政府间组织:加勒比共同体、东非共同体、欧亚经济共同体、欧盟委员会、国际破产管理机关协会、国际统一私法协会、经济合作与发展组织、常设仲裁法院和世界贸易组织(世贸组织);
(c) Invited non-governmental organizations: American Bar Association, Center for International Legal Studies, Comité maritime international, European Company Lawyers Association, International Association of Restructuring, Insolvency and Bankruptcy Professionals (INSOL), International Chamber of Commerce, International Council for Commercial Arbitration, International Federation of Consulting Engineers, International Swaps and Derivatives Association and the Regional Centre for International Commercial Arbitration in Lagos, Nigeria.(c) 接到邀请的非政府组织:美国律师协会、国际法律研究中心、国际海事委员会、欧洲公司律师协会、重组和破产管理专业人员国际协会、国际商会、国际商事仲裁理事会、国际顾问工程师联合会、国际掉期及衍生工具协会和设在尼日利亚拉各斯的国际商事仲裁区域中心。
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定的案文的质量至关重要,委员会请秘书处继续邀请这类组织参加其届会。
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:
Chairperson: Soo-Geun OH (Republic of Korea)主席: Soo-Geun OH(大韩民国)
Vice-Chairpersons: Susan DOWNING (Australia)副主席: Susan DOWNING(澳大利亚)
Jean Marc MPAY (Cameroon)Jean-Marc MPAY(喀麦隆)
Maria SZYMANSKA (Poland)Maria SZYMANSKA(波兰)
Rapporteur: Ricardo SANDOVAL LÓPEZ (Chile)报告员: Ricardo SANDOVAL LÓPEZ(智利)
D. AgendaD. 议程
10. The agenda of the session, as adopted by the Commission at its 888th meeting, on 29 June 2009, was as follows:10. 委员会在2009年6月29日第888次会议上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 UNCITRAL notes on cooperation, communication and coordination in cross-border insolvency proceedings.4. 《贸易法委员会关于跨国界破产程序合作、联系与协调的说明》的最后定稿和通过。
5. Draft UNCITRAL model law on public procurement.5. 《贸易法委员会公共采购示范法》草案。
6. Arbitration and conciliation: progress report of Working Group II.6. 仲裁与调解:第二工作组的进度报告。
7. Insolvency law: progress report of Working Group V.7. 破产法:第五工作组的进度报告。
8. Security interests: progress report of Working Group VI.8. 担保权益:第六工作组的进度报告。
9. Possible future work in the area of transport law: commentary on the United Nations Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea.9. 今后可能在运输法领域开展的工作:《联合国全程或者部分海上国际货物运输合同公约》评注。
10. Possible future work in the area of electronic commerce.10. 今后可能在电子商务领域开展的工作。
11. Possible future work in the area of commercial fraud.11. 今后可能在商业欺诈领域开展的工作。
12. Endorsement of texts of other organizations: Uniform Customs and Practice for Documentary Credits (UCP 600) published by the International Chamber of Commerce.12. 对其他组织的文本的认可:国际商会出版的《跟单信用证统一惯例》(UCP 600)。
13. Monitoring implementation of the New York Convention.13. 监测《纽约公约》的实施情况。
14. Technical assistance to law reform.14. 法律改革技术援助。
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的法治方面的作用。
19. International commercial arbitration moot competitions:19. 国际商事模拟仲裁辩论赛:
(a) Willem C. Vis International Commercial Arbitration Moot competition;(a) 维斯国际商事模拟仲裁辩论赛;
(b) Madrid commercial arbitration moot competition.(b) 马德里模拟商事仲裁辩论赛。
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 the Committee of the WholeE. 设立全体委员会
11. The Commission established the Committee of the Whole and referred agenda item 5 to it for consideration.11. 委员会设立了全体委员会,并将议程项目5交其审议。
The Commission elected Mireille-France Blanchard (Canada) Chairperson of the Committee.委员会选举Mireille-France Blanchard(加拿大)担任全体委员会主席。
The Committee met from 2 to 10 July and held 14 meetings.全体委员会于7月2日至10日举行会议,共举行了14次会议。
At its 892nd meeting, on 10 July, the Commission considered the report of the Committee of the Whole and agreed to include it in the present report (see paras. 49-282 below).委员会在7月10日第892次会议上审议了全体委员会的报告,并同意将之列入本报告。 (见下文第49至282段)。
F. Adoption of the reportF. 通过报告
12. At its 899th and 900th meetings, on 17 July 2009, the Commission adopted the present report by consensus.12. 委员会在2009年7月17日第899和900次会议上以协商一致方式通过了本报告。
III. Finalization and adoption of UNCITRAL notes on cooperation, communication and coordination in cross-border insolvency proceedings三. 贸易法委员会关于跨国界破产程序合作、联系与协调的说明的 最后定稿和通过
13. The Commission recalled that, at its thirty-ninth session, in 2006, it had agreed that initial work to compile practical experience with respect to negotiating and using cross-border insolvency agreements should be facilitated informally through consultation with judges and insolvency practitioners and that a preliminary progress report on that work should be presented to the Commission for further consideration at its fortieth session, in 2007.13. 委员会回顾,委员会曾在2006年第三十九届会议上商定,应当通过与法官和破产从业人员协商的方式非正式地推动关于跨国界破产协议谈判和使用实际经验的初步编辑工作,另外还商定,应当向委员会提交一份关于这方面工作的初步进展情况报告,供委员会2007年第四十届会议审议。
The Commission also recalled that, during the first part of its fortieth session, in 2007, the Commission had considered that preliminary report (A/CN.9/629) and had expressed its satisfaction with respect to the progress made on the work of compiling practical experience with negotiating and using cross-border insolvency protocols; the Commission had reaffirmed that that work should continue to be developed informally by the Secretariat in consultation with judges, practitioners and other experts.委员会还回顾在2007年第四十届会议第一部分会议上,委员会审议了这一初步报告(A/CN.9/629),对编辑关于跨国界破产协议谈判和使用方面实际经验的工作取得的进展表示满意;委员会重申秘书处应当继续通过与法官、从业人员和其他专家的协商非正式地开展此项工作。
14. The Commission also recalled that, at its forty-first session, in 2008, it had before it a note by the Secretariat reporting on further progress with respect to that work (A/CN.9/654).14. 委员会还回顾,在2008年第四十一届会议上,委员会收到了秘书处报告此项工作的进一步进展情况的说明(A/CN.9/654)。
At that session, the Commission had noted that further consultations had been held with judges and insolvency practitioners and a compilation of practical experience, organized around the outline of contents annexed to the previous report to the Commission (A/CN.9/629), had been prepared by the Secretariat.委员会在该届会议上注意到,秘书处同法官和破产从业人员进行了进一步协商,并围绕上次提交委员会的报告(A/CN.9/629)附件所载内容提纲编写了一份实际经验汇编。
Because of timing and translation constraints, that compilation could not be submitted to the Commission’s forty-first session.由于时间和翻译方面的限制,这份汇编未能提交委员会第四十一届会议。
15.
It was recalled that, at its forty-first session, the Commission had expressed its satisfaction with respect to the progress made on the work of compiling practical experience and had decided that the compilation should be presented as a working paper to Working Group V (Insolvency Law) at its thirty-fifth session (Vienna, 17-21 November 2008) for an initial discussion.15. 回顾委员会在第四十一届会议上,对编辑实际经验的工作所取得的进展表示满意,决定以工作文件的形式向第五工作组(破产法)第三十五届会议(2008年11月17日至21日,维也纳)提交这份汇编供其初步讨论。
Working Group V could then decide to continue discussing the compilation at its thirty-sixth session (New York, 18-22 May 2009) and make its recommendations to the forty-second session of the Commission, in 2009, bearing in mind that coordination and cooperation based on cross-border insolvency agreements were likely to be of considerable importance in finding solutions for the international treatment of enterprise groups in insolvency.第五工作组可以决定继续在其第三十六届会议(2009年5月18日至22日,纽约)上讨论这一汇编文件,并向委员会2009年第四十二届会议提出其建议,同时须铭记基于跨国界破产协议的协调与合作对于寻找破产企业集团的国际处理办法可能具有非常重要的意义。
16.
It was noted that the Working Group considered the draft notes on cooperation, communication and coordination in cross-border insolvency proceedings (A/CN.9/WG.V/WP.83) at its thirty-fifth session, when it agreed that the notes should be circulated to Governments for comment prior to its thirty-sixth session (A/CN.9/666, para. 22).16. 注意到工作组在第三十五届会议上审议了关于跨国界破产程序合作、联系与协调的说明草稿(A/CN.9/WG.V/WP.83),当时同意在工作组第三十六届会议之前将该说明分发给各国政府征求意见(A/CN.9/666,第22段)。
That version of the draft notes was circulated in November 2008.该说明草案的文本已于2008年11月分发。
17. The draft notes were revised on the basis of the decisions made by the Working Group at its thirty-fifth session, the comments received from Governments and additional cross-border insolvency agreements that were entered into after the preparation of the first draft.17. 对说明草稿的修订考虑到工作组第三十五届会议上作出的各项决定、从各国政府收到的意见,还有在该说明初稿编写之后订立的一些其他跨国界破产协议。
18.
At its current session, the Commission had before it the revised version of the draft notes (A/CN.9/WG.V/WP.86), the comments of States on the draft notes (A/CN.9/WG.V/WP.86/Add.1-3) and the report of the thirty-sixth session of the Working Group at which the draft notes were further considered (A/CN.9/671, paras. 12-15).18. 本届会议上委员会收到了说明草稿的订正本(A/CN.9/WG.V/WP.86)、各国就说明草稿提出的意见(A/CN.9/WG.V/WP.86/Add.1-3)以及对说明草稿作了进一步审议的工作组第三十六届会议的报告(A/CN.9/671,第12-15段)。
The Commission heard an oral presentation on the draft notes and noted that some minor updating was required to take account of important cross-border insolvency agreements entered into since the consideration by the Working Group at its thirty-sixth session.委员会听取了关于说明草稿的口头介绍,认为还须作出一些小的增补,以考虑到自工作组第三十六届会议的审议以来订立的一些重要跨国界破产协议。
19. The Commission expressed its appreciation for the draft notes and emphasized their usefulness for practitioners and judges, as well as creditors and other stakeholders in insolvency proceedings, particularly in the context of the current financial crisis.19. 委员会对说明草案表示赞赏,强调了在破产程序中它对于从业人员、法官以及债权人和其他利害相关方的实用性,特别是在当前金融危机的情况下。
In that regard, the notes were viewed as very timely, having application in a number of large, complex cases and being the first document dealing with cross-border insolvency agreements to be prepared by an international organization.在这方面,《说明》被认为是非常及时的,它可以适用于一些大规模的复杂案件,而且是由国际组织拟定的第一部涉及跨国界破产协议的文书。
The Commission also expressed its appreciation for the incorporation of the suggestions made by Governments following circulation of the draft notes (document A/CN.9/WG.V/WP.83; see paras. 16 and 17 above) and agreed that the document should be entitled “Practice Guide on Cross-Border Insolvency Cooperation”.委员会还对纳入各国政府在说明草案(A/CN.9/WG.V/WP.83号文件;见上文第16和17段)分发后提出的建议表示赞赏,并商定这份文件的标题应当是“跨国界破产合作实践指南”。
20.
With respect to the term “court” as used in the draft Practice Guide and as defined in paragraph 13 (f) of A/CN.9/WG.V/WP.86, it was clarified that, consistent with the terminology of the UNCITRAL Model Law on Cross-Border Insolvency (UNCITRAL Model Insolvency Law) and the Legislative Guide on Insolvency Law, it included judicial and other authorities, including administrative authorities, competent to control or supervise insolvency proceedings.20. 关于实践指南草案中使用的、A/CN.9/WG.V/WP.86号文件第13(f)段所定义的“法院”这一术语,据解释,按照《贸易法委员会跨国界破产示范法》(“《贸易法委员会破产示范法》”)的术语表和《破产法立法指南》,该术语包含司法当局和其他当局,其中包括有资格管理或监督破产程序的行政当局。
To avoid any confusion with regard to the use of that term, the Commission agreed to delete the second sentence of paragraph 8 of A/CN.9/WG.V/WP.86.为了避免在这一术语的使用上造成任何混淆,委员会商定删去A/CN.9/WG. V/WP.86号文件第8段第二句。
21. With respect to paragraph 17 of part III A, the Commission agreed to modify the first sentence, so that it would read as follows: “Where parties desire court approval of an agreement, certain jurisdictions may require the court to find appropriate statutory authorization for such approval, as it may not be covered by the court’s ‘general equitable or inherent powers’.”21. 关于第三部分A节第17段,委员会商定将第一句改为:“如果当事人希望法院批准一项协议,某些法域可能要求法院为这种批准找到适当的法定授权,因为法院的‘一般衡平或固有权力’可能并不涵盖这种权力。
22. The Commission agreed to modify the second sentence of paragraph 18 of part III A, so that it would read as follows: “As noted above with respect to insolvency representatives, one issue to take into consideration is that since judges must act on the basis of legal authority, acting outside that authority could make them personally liable.”22. 委员会商定将第三部分A节第18段第二句修改为:“如上文谈到破产管理人时所指出的,一个要考虑的问题是,法官必须依据法律权限行事,若超出这一权限行事,或许要承担个人责任。
The Commission also agreed that, in order to align the third and fourth sentences with the revised second sentence and paragraph 17, the words “formally approve” should replace the words “enter into” in the third sentence and that the words after “familiarity with cross-border agreements” in the fourth sentence should be deleted.”委员会还商定,为了使第三句同修订后的第二句及第17段相一致,应将第三句中“订立”一词改为“正式批准”,并删去第四句中“和订立这些协议所需要的司法裁量权”。
It further agreed to remove the references to common and civil law in paragraphs 17 and 18 and replace them with a more generic reference, such as “some” or “certain” jurisdictions.委员会还商定删去第17和18段提及大陆法系和英美法系的内容,改用较为笼统的说法,如“一些”或“某些”法域。
23. To address the concern that the term “cross-border agreement” was too general, the Commission agreed that those agreements should be referred to as “cross-border insolvency agreements” and, as a short form, as “insolvency agreements” or “agreements”.23. 为了解决“跨国界协议”这一术语过于宽泛的问题,委员会商定将这些协议称为“跨国界破产协议”,简称为“破产协议”或“协议”。
24. At its 890th meeting, on 1 July 2009, the Commission adopted the following decision:24. 委员会在2009年7月1日第890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,
“Noting that increased trade and investment leads to a greater incidence of cases where business is conducted on a global basis, and enterprises and individuals have assets and interests in more than one State,“注意到由于贸易和投资的增长,在全球范围开展业务以及企业和个人在不止一个国家拥有资产和利益的情形大大增加,
“Noting also that where the subjects of insolvency proceedings are debtors with assets in more than one State or are members of an enterprise group with business operations and assets in more than one State, there is generally an urgent need for cross-border cooperation in, and coordination of, the supervision and administration of the assets and affairs of those individual debtors and enterprise group members, including, as applicable, multiple parallel insolvency proceedings,“还注意到当破产程序的主体是在不止一个国家拥有资产的债务人或者是在不止一个国家拥有经营业务和资产的企业集团成员的情况下,普遍出现了对此等个人债务人和企业集团成员的资产和事务以及在适当情况下对多个平行破产程序的监督和管理进行跨国界合作与协调的紧迫需要,
“Considering that cooperation and coordination in cross-border insolvency cases has the potential to significantly improve the chances for rescuing financially troubled individuals and enterprise groups,“认为在跨国界破产案件中进行合作与协调,有可能大大增加挽救陷入财务困境的个人和企业集团的机会,
“Acknowledging that familiarity with cross-border cooperation and coordination and the means by which it might be implemented in practice is not widespread,“认识到人们普遍不熟悉跨国界合作与协调及其实际操作方式,
“Convinced that providing readily accessible information on current practice with respect to cross-border coordination and cooperation for reference and use by judges, practitioners and other stakeholders in insolvency proceedings has the potential to facilitate and promote that cooperation and coordination and avoid unnecessary delay and costs,“深信就跨国界协调与合作的现行做法提供通俗易懂的信息,供法官、从业人员和其他利害相关方在破产程序中参考使用,有可能便利和促进这方面的合作与协调,避免不必要的延误和费用,
“Recalling that the UNCITRAL Model Law on Cross-Border Insolvency provides a legislative framework that facilitates effective cross-border coordination and cooperation,“回顾《贸易法委员会跨国界破产示范法》提供了促进有效的跨国界协调与合作的立法框架,
“1.
Adopts the Practice Guide on Cross-Border Insolvency Cooperation contained in working paper A/CN.9/WG.V/WP.86 and authorizes the Secretariat to add further information with respect to recently adopted cross-border insolvency agreements and to edit and finalize the text of the Practice Guide in the light of the deliberations of the Commission;“1. 通过A/CN.9/WG.V/WP.86号工作文件所载《跨国界破产合作实践指南》,授权秘书处增列关于近期通过的跨国界破产协议的信息并根据委员会的审议情况编辑、最后审定《实践指南》案文;
“2. Requests the Secretary-General to publish, including electronically, the text of the Practice Guide 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;“2. 请秘书长发表包括以电子形式发表《实践指南》文本,并分送各国政府,请其向相关机构提供该文本,使之广为人知并可供大众查阅;
“3. Recommends that the Practice Guide be given due consideration, as appropriate, by judges, insolvency practitioners and other stakeholders involved in cross-border insolvency proceedings;“3. 建议法官、破产从业人员和其他利害相关方在跨国界破产程序中酌情对《实践指南》给予适当考虑;
“4. Recommends that all States continue to consider implementation of the UNCITRAL Model Law on Cross-Border Insolvency.”“4. 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》。
IV. Draft UNCITRAL model law on public procurement四. 贸易法委员会公共采购示范法草案
A. IntroductionA. 导言
25. 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 (the 1994 Model Procurement Law) 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.25. 委员会回顾,委员会在2004年第三十七届会议上一致认为有必要对《贸易法委员会货物、工程和服务采购示范法》(1994年《采购示范法》)进行增补,以反映各种新的实务,特别是公共采购使用电子通信所产生的新做法以及用1994年《采购示范法》作为法律改革基础所取得的经验。
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,委员会在该届会议上决定责成第一工作组(采购)拟订对1994年采购《示范法》的修改建议。
The Working Group was given a flexible mandate to identify the issues to be addressed in its considerations.委员会赋予该工作组灵活的任务授权,以确定拟在审议中处理的各种问题。
26. 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 11 one-week sessions to consider revisions to the 1994 Model Procurement Law.26. 委员会注意到,工作组在第六届会议(2004年8月30日至9月3日,维也纳)上开始了此项工作,自那时起,工作组已经举行十一次一周届会审议对1994年《采购示范法》的修订。
The Commission recalled that, from its thirty-eighth session, in 2005, to its forty-first session, in 2008, it 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,从2005年第三十八届会议到2008年第四十一届会议,委员会重申支持正在进行的这项审查工作和在公共采购示范法修订本(示范法修订本)中纳入新的采购做法。
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, 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.委员会还回顾,委员会在第三十九届会议上建议工作组在增补1994年《采购示范法》和《指南》的过程中考虑到利益冲突问题,并考虑是否有必要在示范法修订本中列入涉及这些问题的具体条款。
At its fortieth session, the Commission recommended that the Working Group should adopt a concrete agenda for its forthcoming sessions in order to expedite progress in its work.委员会在第四十届会议上建议工作组为其今后各届会议通过一项具体的议程,以便加快工作进度。
At its forty-first session, the Commission 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.委员会在第四十一届会议上请工作组加快完成这一项目,以便能够在合理期限内最后审定、通过示范法修订本及其颁布指南。
27. At its current session, the Commission had before it the following: (a) a draft model law on public procurement with an accompanying note by the Secretariat (A/CN.9/WG.I/WP.68 and Add.1 and A/CN.9/WG.I/WP.69 and Add.1-5); (b) the reports of the fourteenth (Vienna, 8-12 September 2008), fifteenth (New York, 2-6 February 2009) and sixteenth (New York, 26-29 May 2009) sessions of the Working Group (A/CN.9/664, A/CN.9/668 and A/CN.9/672, respectively); and (c) further proposals for the revision of the 1994 Model Procurement Law.27. 委员会在本届会议上收到了下列文件:(a)附有秘书处说明的公共采购示范法草案(A/CN.9/WG.I/WP.68和Add.1,A/CN.9/WG.I/WP.69和Add.1至5);(b)工作组第十四届会议(2008年9月8日至12日,维也纳)、第十五届会议(2009年2月2日至6日,纽约)和第十六届会议(2009年5月26日至29日,纽约)工作报告(分别为A/CN.9/664、A/CN.9/668和A/CN.9/672);(c)对1994年《采购示范法》提出的进一步修改建议。
B. Report on the progress made by Working Group I (Procurement) in the fulfilment of its mandateB. 第一工作组(采购)履行任务授权的进度报告
28.
The Commission noted that the focus of the early sessions of the Working Group was primarily on the following key subjects, for which the Working Group was recommending entirely new provisions or substantial amendments: (a) the use of electronic communications in public procurement; (b) electronic reverse auctions; (c) abnormally low submissions; and (d) framework agreements.28. 委员会注意到,工作组早期届会的侧重点主要是以下几个关键问题,工作组当时提出就这些问题拟订全新的条款或作出实质性修正:(a)电子通信在公共采购中的使用;(b)电子逆向拍卖;(c)异常低价竞标;(d)框架协议。
It was reported that the principles for most of those provisions had been agreed upon, but that some drafting issues remained outstanding.工作组的报告指出,除一些具体措词问题尚未解决之外,这些条款的原则大都已商定。
29. It was noted that later sessions had focused on procurement of services, alternative procurement methods, simplification and standardization of the 1994 Model Procurement Law and conflicts of interest, and that new provisions and substantial amendments on those subjects were being considered.29. 委员会注意到,工作组后几次届会侧重于服务采购、替代采购方法、1994年《采购示范法》的简化和标准化以及利益冲突,正在对有关这些问题的新条款和实质性修正进行审议。
30. The Commission heard a report on the progress achieved in separate areas of work.30. 委员会听取了在上述不同工作领域取得进度的报告。
31. As regards general aspects of electronic procurement, it was noted that provisions of the revised model law would allow for the use of electronic communications in the procurement process, in a new article 8, which would address form and means of communications together and would replace article 9 of the 1994 Model Procurement Law (which dealt only with the form of communications).31. 关于电子采购的一般问题,据指出,示范法修订本的条款,也就是新的第8条,准许在采购过程中使用电子通信,该条同时涉及通信的方式和手段,将取代1994年《采购示范法》的第9条(只涉及通信方式)。
The proposed article 8 would: (a) provide for functional equivalence between paper- and non-paper based communications; (b) contain safeguards addressing confidentiality, traceability and integrity; (c) prevent any form or means of communications from being used to restrict access to procurement; and (d) ensure transparency and predictability by requiring any specific requirements as to the form and means of communications to be specified by the procuring entity at the beginning of the procurement proceedings.拟议第8条将着眼于:(a)规定纸介通信与非纸介通信之间的功能等同性;(b)载明有关保密性、可追踪性和完整性的保障措施;(c)防止利用任何通信方式或手段限制采购机会;(d)为确保透明度和可预测性而要求采购实体在采购程序开始时就通信方式和手段提出具体要求。
32. As regards electronic reverse auctions, it was explained that the term referred to an online, real-time auction, during which bidders submitted successively improved bids.32. 关于电子逆向拍卖,会上解释说,这个词是指报价人能够在拍卖过程中相继提出更有利报价的一种在线实时拍卖方法。
Recognizing their potential benefits (price savings), the Working Group was recommending provisions for them, but not for auctions in a non-electronic form because of the risks of collusion in the latter.工作组承认电子逆向拍卖的潜在益处(价格方面的节省),因此建议就电子逆向拍卖拟订条款,但不主张准许非电子形式的拍卖,因为后者存在着串通风险。
Provisions on electronic reverse auctions would set out (a) conditions for the use of electronic reverse auctions and (b) procedural rules for two types of such auctions: those used as a phase in other procurement methods and those used as a stand-alone procurement method.关于电子逆向拍卖的条款将载明两点:(a)使用电子逆向拍卖的条件,(b)两类此类拍卖的程序规则:一类是作为在其他采购方法中的一个阶段来使用的电子逆向拍卖,另一类是作为单独采购方法来使用的电子逆向拍卖。
The revised model law would provide for the type of auction where the best bid according to the award criteria was identified automatically at the end of the auction process.在示范法修订本所准许的那类拍卖中,最佳报价是在拍卖过程结束时根据授标标准自动加以确定的。
This type of electronic reverse auctions, which did not allow post-auction evaluation, required (a) an automatic re‑evaluation of bids as they were revised during the auction and (b) disclosure to all bidders at all times during the auction of sufficient information to allow them to determine whether their bid was the winning one.这类电子逆向拍卖不准许拍卖后评价,有两点要求:(a)在拍卖过程中随着不断修订报价自动重新评价报价;(b)在拍卖过程中随时向所有报价人披露足够的信息,使其能够确定他们的报价是否胜出。
It was noted that the important issue considered by the Working Group in the context of electronic reverse auctions was the extent to which non-price factors could feature in such auctions.据指出,在电子逆向拍卖的环境下,工作组要考虑的重要问题是非价格因素会对此类拍卖有多大影响。
The Working Group noted concerns that such factors could complicate the process, and lead to less transparency.工作组注意到人们担心此种因素可能会使这一过程复杂化,并导致降低透明度。
33. As regards framework agreements, it was explained that the term described two-stage procurements in which a framework agreement between suppliers and the procuring entity was made at the first stage and procurement contracts were issued in the form of orders at the second stage.33. 关于框架协议,会上解释说,这个词所描绘的是一种两阶段采购,在第一阶段,供应商与采购实体达成框架协议,在第二阶段,以订单形式发出采购合同。
It was noted that framework agreements were not addressed in the 1994 Model Procurement Law, partly because they were used infrequently at that time.据指出,框架协议之所以没有在1994年《采购示范法》中涉及,部分是因为框架协议的使用当时并不频繁。
In the light of their increasing use and advantages (mainly reductions in administrative and transactional costs and times and assuring the security of supply), the Working Group provided for them in the draft revised text.鉴于框架协议的使用日渐增多,以及由其带来的好处(主要是减少行政、交易费用和时间,供应有保证),工作组在修订本中对框架协议作了规定。
Three types were addressed.所涉及的框架协议有三种。
The first type was a “closed” framework agreement, i.e. one concluded with one or more suppliers in which the specification and all terms and conditions of the procurement were set out in the framework and there was no further opening of competition between the suppliers at the second stage.第一种是“封闭式”框架协议,这是一种与一个或多个供应商订立的协议,协议中对所有采购条件和条款都作出明确规定,进入第二阶段后供应商之间不再竞标。
The second type was also a “closed” framework agreement but it differed in that it would always have more than one supplier as a party, not all terms would be finalized and set out in the framework agreement, and a further competition would take place at the second stage to award a procurement contract.第二种也是“封闭式”框架协议,但有所不同,这是因为:供应方的人数总是不止一个,并非所有条件都在框架协议中最后确定和载明,进入第二阶段后还需经过一轮竞标才能授予采购合同。
The third type was an “open” framework agreement, i.e. one concluded with more than one supplier to which further suppliers could subsequently become parties.第三种是“开放式”框架协议,也就是说与不只一位供应商订立协议,在此之后其他供应商也可以成为当事人。
The second stage of “open” framework agreements would be competitive in the same way as the second type of “closed” framework agreements.“开放式”框架协议的第二阶段是竞争性的,这一点同封闭式框架协议的第二种相同。
34. The Commission heard that the provisions would include both general conditions for the use of framework agreements and procedures for each type, but that the conditions for use and some other aspects remained outstanding.34. 委员会了解到,这些条款将涉及使用框架协议的一般条件以及每一类框架协议的程序,不过使用条件和某些其他方面的问题尚不明确。
Further, there would be controls to prevent and limit certain risks that frameworks presented in practice, including risks to effective competition in the longer term, risks of collusion between suppliers and difficulties in monitoring the operation of framework agreements.另外,为了防范、限制在实际使用框架协议中出现的风险也须采取一些控制措施,这些风险包括从长期来看对有效竞争带来的影响、供应商之间相互串通的风险以及在监测框架协议执行情况方面存在的困难。
Thus, for example, States would be required to include in their laws a maximum duration for closed frameworks (to avoid them being used to shut out suppliers from competition for long periods).因此,举例来说,各国需在本国法律中对封闭式框架协议规定最长期限(以防止利用框架协议长期将某些供应商排除在竞争范围之外)。
The Commission also noted that the provisions placed emphasis on ensuring transparency in the operation of framework agreements by requiring a series of public notices to be communicated throughout the process.委员会还注意到,这些条款特别强调确保框架协议操作的透明度,要求在全过程中发布一系列公告。
35. As regards suppliers’ lists, the Working Group had acknowledged that such lists existed and were in use, and that such use in practice should be subject to minimum standards.35. 关于供应商名单,工作组承认有此类名单存在和使用,并承认实践中使用此类名单应当遵守最低标准。
At its thirteenth session, the Working Group concluded that the topic would not be addressed in the revised model law because the flexible provisions on framework agreements would be sufficient and would avoid some of the risks of lists.工作组第十三届会议得出结论称,示范法修订本将不述及这一问题,因为关于框架协议的灵活规定已经足够,而且可避免名单造成的一些风险。
The reasons for that conclusion would be set out in the guide to enactment, which would also address concerns related to the use of lists, such as lack of transparency and restrictions on market access, which might arise even where controls such as permanently open and simple registration procedures had been put in place, and even where lists were intended to be optional.这一结论的理由将列入颁布指南,指南还将述及与名单使用有关的关切,如缺乏透明度和对市场机会的限制,而即使实行了永久开放而简单的登记程序等管理措施,即使本意是可选择使用名单,也可能出现上述问题。
36. As regards abnormally low submissions, which might entail a performance risk, the Working Group had decided that the risk could arise in any procurement procedure (though it had initially considered that the risk arose in the context of electronic reverse auctions).36. 关于可能造成履约风险的异常低价投标书,工作组认为,任何采购程序都可能出现这种风险(虽然工作组最初认为这一风险出现在电子逆向拍卖中)。
It therefore recommended provisions in the revised model law to require the procuring entity to investigate a potentially abnormally low submission.因此工作组建议在示范法修订本的条文中要求采购实体对可能有异常低价的投标书进行调查。
Only after such an investigation, and where the procuring entity concluded that the submission was abnormally low and a performance risk existed, could the procuring entity reject the submission.只有在进行这种调查之后,并且采购实体得出结论认为该投标书为异常低价且存在履约风险,采购实体才能拒绝该标书。
The limitation on this ability was noted to be important for ensuring fair and equal treatment of suppliers.有与会者指出,对这一能力的限制对确保公平而平等地对待供应商非常重要。
37. The Working Group had reconsidered the provisions addressing the procurement of services, alternative procurement methods and their impact on simplification and standardization of the 1994 Model Procurement Law.37. 工作组重新审议了述及服务采购的条文、其他采购办法及其对1994年《采购示范法》的简化和标准化的影响。
The preliminary decision of the Working Group was to retain all options for the procurement of services, with enhanced guidance for their use.工作组起初的决定是,保留服务采购的所有可选方法,并改进其使用方面的指导。
In the course of consideration, it became apparent however that services procedures contained in different articles of the 1994 Model Procurement Law were substantially the same and that only one services selection procedure – the selection procedure with consecutive negotiations – was distinct.不过,在审议过程中发现,1994年《采购示范法》不同条款中的服务采购程序基本相同,只有一种服务评选程序—通过连续谈判进行评选的程序—不一样。
In the light of such a significant overlap, the Working Group had reconsidered whether all methods should be retained.鉴于这一明显的重复,工作组重新审议了是否保留所有方法的问题。
The review of all procurement methods therefore became one main element of simplification and standardization of the 1994 Model Procurement Law.因此,审查所有采购办法成为了1994年《采购示范法》的简化和标准化过程的一个主要部分。
38. Some delegations had formulated a proposal for a negotiated procurement method to be used for any type of procurement, to be called “Request for proposals with competitive dialogue”, the results of which were presented to the Commission as a new procurement method.38. 一些代表团拟就了关于在任何类型的采购中均采用谈判采购方法的一项提案,称之为“竞争性对话征求建议法”。 该提案的结果已经作为新的采购办法提交委员会。
The Commission noted that the main issues in that method included: providing sufficient flexibility in the method (considered to facilitate achieving best value for money) while building in procedures to avoid the risk that the discretion conferred would be abused; ensuring sufficient transparency without removing all flexibility; and specifying ways for the procuring entity to control the number of suppliers with which it would negotiate (for example, through pre-selection, an assessment of responsiveness or exclusion of solutions).委员会注意到,这一办法中的主要问题包括:在这一办法中提供充分的灵活性(据认为有利于实现最佳资金价值),同时建立程序以避免所赋予的酌处权被滥用的风险;确保足够的透明度,又不消除所有灵活性;具体规定采购实体控制与之谈判的供应商数量的办法(例如通过预选、评估响应性或排除解决方案)。
The Commission also heard about the importance of establishing the aspects of the procurement that could be negotiated during the dialogue phase.委员会还听取了关于必须规定采购有哪些方面可在对话阶段进行谈判的说明。
39. The Commission noted that other methods from the 1994 Model Procurement Law (including competitive negotiations, two-stage tendering, and perhaps consecutive negotiations) might be retained in specific circumstances (such as competitive negotiations in the case of urgent procurement) and that the need for such methods would be assessed based on the extent to which they differed and the extent to which they addressed circumstances that were distinct from that proposed in the new procurement method.39. 委员会指出,可以为特定情形保留1994年《采购示范法》中的其他方法(包括竞争性谈判、两阶段招标,可能还包括连续谈判)(如为紧急采购保留竞争性谈判),并指出,将按照这些方法与新的拟议采购方法的差异程度和所针对的情形的差异程度评估是否需要这些方法。
40. In addition, the Working Group had reconsidered the conditions for use of alternative methods, and recommended a requirement to use the most competitive method available.40. 此外,工作组还重新审议了使用备选方法的条件,并建议要求使用竞争性最强的可用方法。
Thus, open (international) solicitation should take place by default unless restricted or domestic tendering was justified and competitive negotiations, for example, should be preferable to single-source procurement in cases of urgency wherever possible.因此,应自动进行公开(国际)招标,除非有正当理由进行限制性招标或国内招标,例如在紧急情况下,只要有可能,便应优先使用竞争性谈判而非单一来源采购。
The reformulations, it was said, would be finalized after the various procurement methods had been examined and their uses had been completed.有与会者说,将在审查各种采购方法并完善其用途之后对修订内容进行定稿。
The Commission heard that such an examination would also entail a consideration of whether the resulting number of procurement methods was optimal.委员会获悉,在这一审查中还将审议最终的采购方法数目是否为最佳数目。
41. Other aspects of the Working Group’s work in simplifying and standardizing the 1994 Model Procurement Law were described.41. 介绍了工作组的1994年《采购示范法》简化和标准化工作的其他方面。
First, as not all procurement in the defence and national security arena was considered to be sensitive or confidential, the blanket exemption of those sectors from the scope of the 1994 Model Procurement Law had been revisited.首先,据认为国防和国家安全领域的采购并非全都是敏感的或机密的,因而重新讨论了这些部门全部被排除在1994年《采购示范法》范围之外的问题。
The aim was to bring national defence and national security sectors, where appropriate, into the general ambit of the revised model law, to promote a harmonized legal procurement regime across various sectors in enacting States.讨论的目的是将国防和国家安全部门酌情纳入示范法修订本的总体范围,以便促进在颁布国建立跨部门的统一采购法律制度。
However, appropriate modifications, for example to transparency obligations, would be required and were proposed in the draft revised text, drawing on provisions of the 1994 Model Procurement Law, to accommodate sensitive or confidential types of procurement.不过需要在诸如透明度义务等方面作适当的改动,以适应敏感的或机密的采购类型。 修订案文草案借鉴1994年《采购示范法》的条文,提出了改动建议。
42. The Commission heard that the general provisions in chapter I had been expanded in the draft revised model law contained in the addenda to document A/CN.9/WG.I/WP.69 (the draft revised model law) to include rules that under the 1994 Model Procurement Law were applicable only to tendering proceedings, but that were, in fact, of general application.42. 委员会获悉,A/CN.9/WG.I/WP.69号文件增编所载示范法修订本草案(示范法修订本草案)的第一章总则的范围有了扩大,以包含1994年《采购示范法》中规定仅适用于招标程序而实际上可普遍适用的规则。
The Commission noted that those rules addressed the choice of procurement method and open or direct solicitation, the description of procurement (specifications and other terms), evaluation criteria, tender securities, prequalification proceedings, confidentiality and the acceptance of tender and entry into force of procurement contract.委员会注意到,这些规则涉及选择采购方法、选择公开招标或直接招标、采购说明(规格和其他条款)、评标标准、投标保函、资格预选程序、保密性和接受投标以及采购合同生效。
Other topics, such as requests for expression of interest and general rules on clarifications and modifications of solicitation documents might also be included in chapter I.还有其他问题,如征求意向和关于对招标文件进行说明和修改的一般规则,也可以纳入第一章。
43. It was noted that the 1994 Model Procurement Law distinguished between the procurement of goods and construction on the one hand, and services on the other hand.43. 有与会者指出,1994年《采购示范法》区分了货物和工程采购与服务采购。
The Commission heard that the draft revised model law had adopted a different approach, one that focused on whether the procurement was straightforward or more complex.委员会获悉,示范法修订本草案采用了另一种办法,侧重于采购是简单的还是较为复杂。
For example, one of the determining factors in the choice of an appropriate procurement method would be whether the subject of the procurement could easily be identified and evaluated, regardless of whether that subject was goods, construction or services.例如,在选择适当采购方法时,决定因素之一是,是否可简单地确定采购标的并估计其价值,无论该标的是货物、工程还是服务。
The default method of tendering (which required specifications and evaluation criteria to be specified in advance) would not be changed, but if it were not possible to formulate detailed specifications or characteristics at the outset of the procurement and to evaluate tenders through quantifiable criteria, the procurement might involve dialogue with the market or negotiations (using two-stage tendering or request for proposals with competitive dialogue).默认的招标办法(要求事先说明规格和评标标准)不会改变,但如果无法在采购开始时说明详细的规格或特征,而且不可能通过可量化的标准进行评标,则可在采购中与市场对话或进行谈判(采用两阶段投标或竞争性对话征求建议法)。
Procurement of low-value, simple or standardized items could be undertaken through a request for quotations procedure or an electronic reverse auction.价值低、简单或标准化的项目可通过征求报价程序或电子逆向拍卖进行采购。
Importantly, it was noted that a fundamental provision of the 1994 Procurement Model Law, according to which only exceptional circumstances would justify recourse to single-source procurement, remained and the Commission would be invited to consider strengthening safeguards to ensure that those circumstances would be objectively assessed.有与会者指出,重要的是保留了1994年《采购示范法》的一个基本条款,其中规定只有在例外情形下才可使用单一来源采购。 将请委员会考虑加强保障措施,以确保客观地评估这些情形。
44. As regards the evaluation and comparison of tenders, the Working Group had formulated a single set of requirements as regards evaluation criteria that would replace several inconsistent, incomplete provisions in the 1994 Model Procurement Law.44. 关于投标书的评价与比较,工作组就评价标准拟订了一整套要求,将以此取代1994年《采购示范法》几个不相一致和并不完备的条文。
The essence of the provisions was that such criteria should: be relevant to the subject matter of the procurement; to the extent practicable, be objective and quantifiable; and be disclosed (together with their relative weights, thresholds, and any margins of preference, and with information on the manner in which the criteria, margins, relative weights and thresholds would be applied) at the outset of the procurement.这些条文的实质意义在于,此种标准应当:与采购的主题事项有关;在实际可行的范围内,是客观的和可以量化的;在采购之初就可予以披露(连同其相对权重、临界值和任何优惠幅度以及有关标准、幅度、相对权重和临界值的适用方式的信息)。
The aim, it was observed, was to enable submissions to be evaluated objectively and compared on a common basis.据指出,这样做的目的是为了能以对投标书加以客观评价并在共同的基准上加以比较。
45. The Working Group had reviewed the manner in which the use of procurement to promote industrial, social and environmental policies (notably to protect the domestic economy) was addressed in the 1994 Model Procurement Law.45. 工作组审查了1994年《采购示范法》中对利用采购推进工业、社会和环境政策(特别是保护国内经济)的处理方式。
The Commission, it was noted, would consider the issue, including the matter of whether socio-economic factors should be treated as evaluation criteria with all the transparency and objectivity rules then applicable to them and/or as qualification criteria (as was the practice in some jurisdictions with set-asides programmes), with reference to the relevant documents before it at the current session.据指出,委员会将参考本届会议收到的有关文件审议这一问题,包括是否应当用当时适用的所有透明和客观规则处理各种社会经济因素,以此作为评价标准和(或)资格标准(如设有保留方案的某些法域的习惯做法)的问题。
46. As regards remedies in procurement, the Working Group had decided to strengthen the provisions to ensure that they were consistent with the United Nations Convention against Corruption, providing for a mandatory system of independent review and deleting the exemptions from review contained in the 1994 Model Procurement Law.46. 关于采购中的救济办法,工作组决定对有关条文加以充实,以确保这些条文与《联合国反腐败公约》保持一致,将规定建立一个强制性的独立审查制度,删除1994年《采购示范法》中有关不予审查的除外条款。
The Working Group had also recommended the introduction of a standstill period between the identification of the successful submission and entry into force of a procurement contract in order to ensure an effective review procedure.工作组还建议在从确定中标到采购合同生效的间隔期间规定有一个停顿期,目的是确保审查程序切实有效。
The extent of relief that may be granted in administrative proceedings, it was noted, had not yet been finalized.有与会者注意到,行政诉讼所能准予的救济幅度尚未最后确定。
47. As regards other issues identified for consideration in the review of the 1994 Model Procurement Law, it was reported that:47. 关于已经确定的在审查1994年《采购示范法》期间应当加以考虑的其他问题,有与会者报告称:
(a) Although the question of community participation in procurement fell outside the scope of the 1994 Model Procurement Law as it related primarily to the planning and implementation phases, given the growing importance of local community participation and the possible need for enabling legislation, the Working Group had ensured that the revised model law would not pose obstacles to such participation in project-related procurement and that further guidance in the guide would be given;(a) 尽管对采购的社会参与问题主要涉及规划和实施阶段的工作,因而超出了1994年《采购示范法》的范围,但考虑到地方社区参与日益重要,并且有可能需要给这方面的立法创造条件,工作组已设法确保示范法修订本不致给项目相关采购的这类参与设置任何障碍,指南将就此提供进一步的指导;
(b) It was recalled that the 1994 Model Procurement Law permitted procuring entities to call for the legalization of documents from all suppliers, which could be time consuming and expensive for suppliers. In addition to the deterrent effect, all or part of the increased overheads for suppliers might be passed on to procuring entities. Hence, the Working Group recommended an amendment to the provisions contained in the 1994 Model Procurement Law to allow the procuring entity to require the legalization of documentation only from a successful supplier;(b) 回顾1994年《采购示范法》允许采购实体要求所有供应商均对文书加以认证,而这对供应商来说既费时又费钱。除了具有阻遏效应外,供应商由此而增加的全部或部分间接费用可能都会转嫁给采购实体。因此,工作组建议修订1994年《采购示范法》有关条文,允许采购实体只要求中标的供应商对文书加以认证;
(c) Noting that the Convention against Corruption required procurement systems to address conflicts and declarations of interest and that the 1994 Model Procurement Law did not address them, the draft revised model law had been expanded to make appropriate provision.(c) 注意到《反腐败公约》要求采购制度述及利益冲突和利益披露问题,而1994年《采购示范法》尚未加以论及,已经拓展了示范法修订本草案的范围以便作出适当规定。
48. The Commission endorsed the suggestion made as regards the establishment of a committee of the whole to consider the draft revised model law at the current session. It also decided that the committee in its work should address the issues of defence sector procurement and consider socio-economic factors in public procurement.48. 有与会者建议设立一个全体委员会以便在本届会议上审议示范法修订本草案,委员会赞同这一建议,并且还决定委员会的工作应当述及国防部门的采购和在公共采购中考虑到各种社会经济因素等问题。
It heard statements about the importance of the guidance provided by UNCITRAL, in particular the guidance on how to protect domestic interests and treat sensitive procurement without undermining the objectives of the 1994 Model Procurement Law.委员会听取了就贸易法委员会在这些方面提供指导的重要意义所作的陈述,特别是就在不损害1994年《采购示范法》目标的情况下如何保护国内利益和对待敏感采购问题提供指导。
C. Report of the Committee of the Whole on its consideration of the draft revised model lawC. 全体委员会关于审议示范法修订本草案的报告
Article 1. Scope of application第1条. 适用范围
49. The Committee noted that the draft article had been revised pursuant to the Working Group’s decision to bring defence sector procurement within the scope of the revised model law.49. 全体委员会注意到,已经依照工作组关于将国防部门的采购纳入示范法修订本的决定对该条草案作了修订。
No comments specific to the article were made.与会者未专门针对该条发表任何评注意见。
However, a proposal was made to amend several articles of the draft revised model law to accommodate types of procurement that involved sensitive issues.但有一则建议要求对示范法修订本草案的某些条款加以修订以顾及涉及敏感问题的各类采购。
50. The Committee decided to consider that proposal in conjunction with specific relevant articles.50. 全体委员会决定结合有关的具体条款审议该建议。
(See further paras. 100-119, 123-137 and 253-266.)(又见第100-119段、第123-137段和第253-266段)。
Article 2.第2条. 定义
Definitions 51. It was noted that the purpose of article 2 was to provide definitions of recurrent terms rather than to provide an exhaustive list of all terms used in the revised model law.51. 据指出,第2条的目的是对一再出现的某些用语加以界定,而不是穷尽示范法所使用的所有用语。
It was the understanding that the article would be supplemented with a more comprehensive glossary.一项谅解是,将对该条加以补充,辅之以更为全面的术语表。
52. Support was expressed for setting out the definitions contained in article 2 in alphabetical order, as appropriate in each respective language.52. 有与会者支持按照各种语文适当字母顺序列出第2条所载定义。
53. Caution was expressed for substituting terms that were well known and widely used in many jurisdictions with new terms.53. 有与会者表示,在用新的用语取代许多法域广泛使用的一些熟悉用语方面应当谨慎行事。
It was also noted that an excessively long list of definitions should be avoided.还有与会者指出,应当避免列出过多的定义。
Subparagraph (a)(a)项
54. It was noted that it was important for the title and the definition in subparagraph (a) to be consistent.54. 有与会者指出,标题与(a)项定义之间的统一一致非常重要。
It was therefore proposed that the word “procurement” should be replaced with the phrase “public procurement” and that the latter term should be used consistently throughout the text of the revised model law.因此,建议“采购”一词改为“公共采购”,并在示范法修订本案文中通篇统一使用后面的词语。
In response, it was explained that the term “procurement” was intended only to refer to the procurement process and therefore no distinction was drawn between public and private procurement in this context.对此,解释说“采购”一词的用意仅在于指采购过程,因此,在这种语境中,对公共采购和私人采购不作区分。
It was noted, in addition, that this distinction was built into the definition of the “procuring entity”.另据指出,这种区别已嵌入“采购实体”的定义。
The suggestion was therefore made to address the matter in a glossary rather than in article 2.因此提出建议,在术语表中而不是在第2条中处理这一问题。
The Committee agreed to that suggestion.全体委员会赞同这项建议。
Subparagraph (e): “[submission] security”(e)项:“[提交书]担保”
55. With respect to subparagraph (e), concern was expressed about the use of the term “submission security” instead of “tender security”.55. 关于(e)项,有与会者对使用“提交书担保”一词而不使用“投标担保”表示关切。
It was explained that the latter term was well known in procurement circles while the former might be confusing and meaningless.据解释,后面的这个术语在采购界中广为人知,而前者则可能产生混淆,毫无意义。
The other view was that the term “submission security” should be retained given that the term “submission” had been introduced in subparagraph (g) (see paras. 58-60 below).另一种观点是,考虑到(g)项中已列入“提交书”一词,因而应当保留“提交书担保”这一用语(见下文第58-60段)。
The need to ensure consistency and coherence in the use of terms throughout the revised model law was highlighted.有意见强调说,在整个示范法修订本中,需要确保用词上的一致和统一。
It was suggested that, in order to ensure more clarity and logical sequence of definitions, the definition “submission” should be placed before the definition “submission security”.据建议,为了确保定义更加明确和符合逻辑顺序,“提交书”的定义应放在“提交书担保”定义之前。
56. Some delegates preferred the term “tender or other security” to the term “submission security”.56. 一些代表更希望采用“投标或其他担保”一语,而不用“提交书担保”。
Another proposal was to use the term “guarantee to carry out the procurement contract.”另一项建议是使用“履行采购合同的担保”一语。
A compromise solution was suggested to use the term “[submission] [tender or other] security” with an option to the enacting State to choose the definition as appropriate in its jurisdiction.有与会者提出了一个折衷的解决办法,使用“[提交书][投标或其他]担保”这种说法,让颁布国酌情选用在其法域中所适用的定义。
(See para. 176 below.)(见下文第176段)。
57. Concern was also expressed that the wording in subparagraph (e), when read together with subparagraph (g), could imply that multiple securities might be required in any single procurement proceeding where several bids, proposals or offers were presented.57. 还有与会者表示关切,认为(e)项中的措词与(g)项结合阅读时,可能意味着在提交了若干出价、建议书或报盘的任何单一采购程序中,可能需要多重担保。
It was proposed that the guide could clarify that the provisions did not intend to convey any such meaning.建议指南可加以澄清,指出这些条文并非意在表达任何此种含义。
Subparagraph (g): “submission(s)”(g)项:“提交书”
58. Support was expressed for introducing a new collective and generic term that would refer to tenders, proposals, offers, quotations or bids.58. 有与会者表示支持采用一个新的统称集合词,通指投标、建议书、报盘、报价或出价。
59. A query was made about the desirability of using for such purposes the term “submission”.59. 有与会者对为此目的使用“提交书”一词是否可取提出疑问。
Difficulties with the use and translation of the new suggested term “submission” were highlighted.强调指出,新建议的“提交书”一词在使用和翻译上有困难。
The term preferred might be “tender”, which in many jurisdictions was used as a collective and generic term.所选用的词可能应是“投标”二字,该词在许多法域中作为统称的集合词使用。
Another suggestion was to consider the term “supply”.另一项建议是考虑“供应”一词。
占主导的观点则是对案文不作进一步修订。
The prevailing view was that the text would not be further amended. 60. In the course of subsequent deliberations, it was considered that, in the light of the compromise solution to use the term “[submission] [tender or other] security” in lieu of the term “submission security” (see para. 56 above), the term “submission(s)” should be replaced with the term “tender or other submission(s)”.60. 在随后审议的过程中,考虑到折衷解决办法是采用“[提交书][投标或其他]担保”一词取代“提交书担保”(见上文第56段),因此认为“提交书”一词应改为“投标或其他提交书”等词语。
Some delegations however expressed reservations about the proposed change since in their view the use of this proposed definition throughout the revised model law would distort the meaning of some provisions.但是,一些代表团对提出的改动表示保留意见,因为他们认为在整个示范法修订本中使用所提出的这一定义将会使一些条款的含义发生扭曲。
Subparagraph (m): “direct solicitation”(m)项:“直接招标”
61. Concern was expressed about the fact that the definition “direct solicitation” might imply that the procuring entity would have unlimited discretion in deciding from whom it might solicit submissions.61. 有与会者表示关切,因为“直接招标”的定义可能意味着采购实体在决定可以向谁征求提交书时将享有无限的酌处权。
In response, it was suggested that the definition should be rephrased to read “solicitation from supplier(s) or contractor(s) chosen by the procuring entity”.对此,有与会者建议,定义的措词应改写为“向采购实体所选定的供应商或承包商招标”。
62. Another suggestion that gained substantial support in the Committee was to remove that definition from article 2 in order to avoid direct solicitation being put on an equal footing with open solicitation rather than being treated as an exceptional matter.62. 在全体委员会中赢得大量支持的另一项建议是从第2条中删除本定义,以避免将直接招标置于与公开招标平等的地位,而不是作为例外情况处理。
63. Subsequently, however, it was decided that the suggested amended definition of “direct solicitation” (see para. 61 above), with the addition of a reference to the exceptional nature of direct solicitation, should be retained in article 2.63. 但是,后来决定在第2条中保留所建议的“直接招标”修订定义(见上文第61段),并添加提及直接招标特殊性质的词语。
It was stated that it would be in accordance with standard drafting techniques to keep all definitions in one article, and that so doing would facilitate the understanding of the subsequent articles in which the term “direct solicitation” appeared, such as in article 7 (6).有与会者说,把所有定义集中于一条,符合标准起草办法,这样也便于理解后面的第7(6)条等出现“直接招标”这一术语的条款。
Subparagraphs (n) to (s): definitions related to framework agreements(n)至(s)项:与框架协议相关的定义
64. Support was expressed for retaining the definitions related to framework agreements in article 2 as doing so would allow users of the revised model law to familiarize themselves from the outset with terminology used in the context of the new procedure of the revised model law.64. 与会者表示支持在第2条中保留与框架协议相关的定义,因为这将使示范法修订本的使用者能够从一开始就熟悉示范法修订本新程序中使用的术语。
65. The other view was that those definitions should be moved from article 2 to the section of the draft revised model law dealing with framework agreements.65. 另一种观点是,应当把这些定义从第2条挪至示范法修订本草案论述框架协议的部分。
Another proposal was to retain in article 2 only the definition in subparagraph (n) and move definitions in subparagraphs (o) to (s) to the section dealing with framework agreements.另一项建议是仅在第2条中保留(n)项定义,(o)至(s)项定义挪至论述框架协议的部分。
It was noted in that respect that it was usual practice to put all definitions in one place at the beginning of a legal instrument rather than to spread them throughout the text.在这方面,有与会者指出,通常的惯例是在法律文书开始的某处集中列出所有定义,而不是将定义分散在整个文本中。
Another approach suggested was to set out subparagraphs (o) to (s) as sub-subparagraphs to subparagraph (n).建议的另一种方法是将 (o)至(s)项作为(n)项之下的细目处理。
66. A willingness to be flexible about all the suggested options was expressed.66. 有与会者表示愿意对提出的所有选择持灵活态度。
It was proposed that the Committee, in order to expedite its work, might decide to refer such and similar non-substantive issues to a drafting group that it might create.建议全体委员会为了加速其工作,可以决定将这类和类似的非实质性问题交给可能建立的一个起草小组处理。
The UNCITRAL practice with establishing drafting groups and mandates usually given to them was recalled, in particular that drafting groups were created to address purely drafting issues, mainly to ensure parity between various language versions of an instrument.回顾了贸易法委员会建立起草小组并通常赋予其任务的做法,特别是成立起草小组处理纯起草措词问题,主要是为了确保文书各语文版本之间的均等。
Subparagraph (t): “material change in the description of the subject matter of the procurement or all other terms and conditions of the procurement”(t)项:“采购标的说明或所有其他采购条款和条件的实质性改变”
67. Support was expressed for retaining the definition in the revised model law and the use therein of the word “would” not “could”.67. 与会者表示支持此定义保留在示范法修订本中,其中使用“将”字而不是“可”字。
The word “would”, it was felt, conveyed better an idea that one meant not a theoretical possibility that a change might produce the result specified in the definition but rather that it would inevitably lead to such a result.“将”字感觉上更好地表达了认为所指的发生改变可能产生定义中指明的结果,这不是一种理论上的可能性,而是将会必然导致这种结果。
68. Another suggestion was to use the term “fundamental change”, not the term “material change”.68. 另一项建议是使用“根本性改变”一词,而不是“实质性改变”。
The Committee noted that differences between the two terms had been discussed in the Working Group, which had opted for the use of the term “material change” because in its view it allowed for more flexibility, as was appropriate in the context envisaged.委员会注意到,工作组已讨论过这两个词之间的差别,选用了“实质性改变”一词,因为工作组认为这样将留出更大的灵活性,适合于所设想的情形。
69. It was noted that a similar concept was found in the proposed article 32 (2) (b) but in a different context.69. 与会者注意到,拟议的第32(2)(b)条中也发现有类似的概念,但语境不同。
It was therefore queried whether it would be advisable to refer in article 2 to “material change” only in the context of framework agreements.因此,询问在第2条中仅在框架协议场合下提及“实质性改变”这样做是否可取。
In response, it was noted that the definition would have to be redrafted to make it generally applicable to all situations where discretion was given to the procuring entity to change the terms and conditions of the procurement.对此的答复是,将需要改写定义,以使之普遍适用于给予采购实体酌处权以改变采购条款和条件的所有情形。
A relevant discussion in the context of the most recently introduced competitive dialogue procedure was recalled in this respect.回顾到在审议最近提出的竞争性对话程序时作了相关的讨论。
Preference was expressed for addressing the concept “material change” in each case in the relevant context rather than for trying to define it generically in article 2.会议表示选择按相关情况个别处理“实质性改变”的概念,而不是试图在第2条中就其作出通用的定义。
70. In response to another query, it was confirmed that situations identified in the definition were supposed to be listed alternatively, not cumulatively, and that such an understanding should be conveyed in all language versions.70. 在答复另一项询问时,据确认,定义中指出的情形意在列为非此即彼,而不是合计在一起,所有语文文本中都应表达这样的理解。
71. The Committee deferred consideration of that definition until after redrafting when, it was proposed, the Committee would consider whether the definition of “material change” should be retained in article 2 or whether it would be better addressed in other provisions.71. 全体委员会将本定义的审议推迟到改写之后再进行,有与会者建议,届时全体委员会将考虑“实质性改变”的定义应保留在第2条中,还是在其他条款中处理更好些。
增加定义
Additional definitions 72. The view was expressed that it would be desirable to add in article 2 a definition of an electronic reverse auction as well as any other recurrent terms used in connection with this new procurement technique.72. 有与会者认为,似宜在第2条中增列电子逆向拍卖的定义,以及在涉及这一新采购技术时使用的其他任何经常出现的术语。
73. In response to the suggestion that not only electronic reverse auctions but also conventional auctions should be defined in article 2, the Committee was reminded that the Working Group had decided not to regulate the latter type of auctions, which posed high risks of collusion among bidders (see para. 32 above).73. 有与会者建议在第2条中不仅对电子逆向拍卖加以定义,而且还对常规拍卖进行定义,对此,有与会者提醒全体委员会,工作组已经决定不对后一类拍卖进行规范,这类拍卖出价人之间串通的风险很高(见上文第32段)。
74. The Secretariat was requested to propose a list of additional terms that it would be desirable to have defined in article 2 in the light of the consideration by the Committee of the draft revised model law.74. 会议请秘书处根据全体委员会对示范法修订本草案的审议情况,提出似宜在第2条中加以界定的增加术语清单。
It was the understanding in the Committee that the substance of any additional definitions would have to be decided upon by the Committee.全体委员会的理解是,增加的任何定义的实质内容都必须由全体委员会来决定。
Opposition was expressed to adding new definitions if that would jeopardize the progress of the Committee’s work on the draft revised model law.如果增加新定义将会影响全体委员会关于示范法修订本草案的工作进度,则有与会者对此表示反对。
The understanding was that no new definitions would be added in article 2 unless necessary and taking into account the impact of doing so on the achievement of the desired goal of completing the project at the current session of the Commission.所达成的谅解是,第2条中不增加新定义,除非确有必要,并考虑到这样做对实现在全体委员会本届会议上完成本项目这一预期目标的影响。
Article 3. International obligations of this State relating to procurement [and intergovernmental agreements within (this State)]第3条. 本国所承担的与采购有关的国际义务[和(本国)之内的政府间协定]
75. A query was raised about the square brackets in the title of the article, which had also appeared in the 1994 Model Procurement Law.75. 有与会者对本条标题出现的方括号提出疑问,这些方括号也出现在1994年《采购示范法》中。
The point was made that the text in square brackets was relevant to the provisions of paragraph (c) of the article, which, however, did not appear in square brackets.据指出,方括号内的文字与本条(c)款条文相关,但该款无方括号。
It was noted that internal consistency should be achieved within the provisions.据称,条文之间应做到内在统一。
If the intention was to restrict them to international obligations, then the square bracketed text in the title, together with paragraph (c), should be removed as both were dealing with the purely domestic issue of a federal State.如果用意是将其局限于国际义务,那么标题中方括号内的文字连同(c)款应一并去除,因为两者都涉及一个联邦国家的纯国内问题。
If however, the intention remained to deal in the article with both international agreements and agreements between a federal State and its subjects, then paragraph (c) and the corresponding text in the square brackets in the title should be put in square brackets.但是,如果用意仍然是在本条中阐述国际协议和联邦国家与其辖地之间的协议,那么(c)款和方括号内的相应案文均应放在方括号中。
It was noted that the guide might explain that the provisions within the square brackets were relevant to, and intended for consideration by, federal States.据指出,指南可解释,方括号内的条文与联邦国家相关,也意在由这些国家加以考虑。
76. The appropriateness of the entire article was questioned.76. 有与会者对整个本条是否适当提出疑问。
It was stated that the article addressed issues dealt with in the constitution of an enacting State and therefore were not of a legislative nature and should not appear in the revised model law.据指出,本条述及颁布国宪法所涉及的问题,因此,不属于立法性质,不应当出现在示范法修订本中。
In response, it was observed that those issues had been discussed at the time of the preparation of the 1994 Model Procurement Law and that it had been decided that the provisions should nevertheless be included in the Model Law because of their operational value.对此,答复指出,在拟定1994年《采购示范法》时,曾讨论过这些问题,当时的决定是,这些条文因为其实际操作上的价值而仍应当列在《示范法》中。
It was recalled that, in authorizing the review of the 1994 Model Procurement Law, the Commission had instructed not to depart from its basic principles.据回顾,委员会在授权审查1994年《采购示范法》时,指示不要偏离其基本原则。
It was considered that article 3 contained such a principle.据认为,第3条中即含有这样一项原则。
It was suggested that the guide or a footnote accompanying this article might alert enacting States of the fact that the provisions of the article might need to be adapted to constitutional requirements.建议指南或本条的一则相关脚注可提醒颁布国注意,可能需要根据宪法要求适当调整本款规定。
With reference to paragraph (b) in particular, it was noted that “agreements entered” might need to be not only signed but also ratified by parliament, in order for them to be binding in an enacting State.特别是关于(b)款,指出“订立的协定”可能不仅需要经由议会签署,而且需要经由议会批准,才能对颁布国具有约束力。
77. While several delegations supported that suggestion, some others were of the view that the approach did not address the concern expressed, i.e. that the content of article 3 as it stood was inappropriate for a procurement law, in that it strayed into constitutional matters.77. 虽然一些代表团支持上述建议,但也有些代表团认为,这种方式并未解决所表示的关切,即第3条的内容按其目前状况并不适合于采购法,因为其偏离方向,陷入国家体制内部事务。
It was stressed that it was inappropriate for a model law to regulate hierarchy between procurement law and international treaties or bilateral obligations.据强调,示范法不应当规范采购法与国际条约或双边义务之间的等级关系。
78. The prevailing view was that the provisions should be retained in the revised model law, but that the guide should alert enacting States that they should not enact this article if its provisions conflicted with their constitutional law.78. 主导意见是,这些条文应当保留在示范法修订本中,但指南应提醒颁布国注意,如果本条规定与本国的国家宪法相冲突,则不应当颁布。
It was the understanding in the Committee that the square brackets would remain in the title of the article and that paragraph (c) would also be put in square brackets to indicate that these provisions were relevant only in the context of federal States.委员会的理解是,本条标题中将保留方括号,(c)款也将放在方括号内,表明这些条文仅适用于联邦国家。
Articles 4 and 5第4条和第5条
79. No comment was made with respect to articles 4 and 5, which were found to be generally acceptable.79. 第4条和第5条获得普遍接受,对这两条没有发表意见。
Article 6. Information on planned procurement activities第6条. 关于计划进行的采购活动的信息
80. Support was expressed for replacing the word “obligate” with the word “oblige” in the text of article 6.80. 与会者表示支持将第6条案文中“obligate”改为“oblige”(中译文不变)。
81. The Committee had before it the following proposal for an additional paragraph in article 6:81. 全体委员会收到第6条新增加一款的下述提案:
“(2) A procuring entity may issue a request for expressions of interest before commencing procurement proceedings under this Law. [Such a request shall be published in ... (the enacting State specifies the official gazette or other official publication in which the request is to be published). The request shall also be published, in a language customarily used in international trade, in a newspaper of wide international circulation or in a relevant trade publication or relevant technical or professional journal of wide international circulation.[, except where the procurement proceedings are intended to be limited to domestic suppliers or contractors under article [7 (6) (c) (i) and (ii)] of this Law].] Neither the request nor any response shall confer any rights on suppliers or contractors, including any right to have a submission evaluated;“(2) 采购实体可在根据本法启动采购程序之前,发布征求意向书。[征求意向书可刊登在……(颁布国具体指明将刊登征求意向书的官方公报或其他官方出版物)。征求意向书还应以国际贸易惯常使用的一种语文在一份国际广泛发行的报纸或一份国际广泛发行的有关行业出版物或技术刊物或专业刊物上刊登[,除非采购过程打算根据本法第[7(6)(c)㈠和㈡]条仅限于国内供应商或承包商]。征求意向书和对其的任何响应不应赋予供应商或承包商任何权利,包括其提交书应受到评估的权利;该通告也不使采购实体因此有义务发出招标邀请。”
nor does the notice oblige the procuring entity to issue a solicitation.” 82. A query was made about the location of the provisions in this article rather than in articles regulating requests for proposals procedures where the stage of request for expression of interests was common (the notion of a request for an expression of interest being found in the 1994 Model Procurement Law (articles 37 and 48)).82. 有与会者对本条规定所处的位置提出疑问,询问为什么不放在规范征求建议书程序的条款中,因为征求意向书阶段通常属于这一程序(征求意向书的概念见于1994年《采购示范法》(第37和48条))。
The Committee was informed about the discussion that took place on this subject at the sixteenth session of the Working Group (New York, 26-29 May 2009), in which it was decided that requests for expressions of interests might be relevant to any other procurement method, although they might be more common in requests for proposals procedures.全体委员会了解到工作组第十六届会议(2009年5月26日至29日,纽约)上就此问题进行的讨论,其中认定,征求意向书可能也适用于任何其他采购方法,尽管在征求建议书程序中可能更为常见。
To avoid confusion with the terminology already widely used in the context of requests for proposals procedures, a suggestion that eventually gained support was to consider replacing in the proposed paragraph the term “request for expression of interest” with the term “notice seeking interest” or other similar term.为了避免与征求建议书语境下已经广泛使用的术语相混淆,一项最终获得支持的建议是在拟议的本款中将“征求意向书”一词改为“征求意向通告”或其他类似的词语。
83. The view was expressed that the proposed article 6 should remain as it was, without adding new provisions (which were in any case optional and created no legal obligations).83. 有与会者认为,拟议的第6条应保持不变,不增加任何条文(反正也是任择性质的,不产生任何法律义务)。
This view was underscored because the phrase in the draft article 6 on information on planned procurement activities could be interpreted very broadly to encompass the intended meaning of the newly proposed paragraph (2).这一观点被着重强调,因为第6条草案中“关于计划进行的采购活动的信息”这些词语可以作非常广泛的解释,包含新拟的第(2)款所指的含义。
Considerable overlap between the existing provisions of the proposed article 6 and the newly proposed paragraph (2) above was noted.与会者注意到拟议的第6条的现有条文与新拟的以上第(2)款之间有相当部分重叠。
84. The alternative view, which eventually prevailed, was that the newly proposed paragraph (2) had a distinct application and should be added to draft article 6, and that the guide should clarify how the resulting paragraphs (1) and (2) of article 6 would operate in practice.84. 另一种观点最终占据主导,即新拟的第(2)款有其不同于其他的适用范围,应当添入第6条草案,而指南则应澄清所形成的第6条第(1)和(2)款将在实践中如何操作。
It was explained that, in some jurisdictions, the steps described in both paragraphs could be part of the procurement proceedings, could immediately precede the procurement proceedings or could simply be a step in a long or medium-term plan.据解释,在一些法域中,这两款所述的步骤都可以成为采购程序的一部分,可以放在采购程序的前夕,或仅作为中长期计划的一个步骤。
85. A reservation was expressed against the suggestion to retain draft article 6 if proposed paragraph (2) were added.85. 如果增添拟议的第(2)款,有与会者对保留第6条草案的建议表示保留意见。
The optional nature of both paragraphs in draft article 6 was stressed.强调指出,第6条草案这两款属任择性质。
It was therefore observed that it would be more appropriate to move them from the draft revised model law to the guide, as examples of best practice in procurement planning and investigation of the market.因此,据指出,将其从示范法修订本草案挪至指南更加合适,作为在采购规划和市场调查时的最佳做法示例。
Another suggestion was to put the provisions in square brackets for further consideration.另一项建议是将这些条文放在方括号中供进一步审议。
Opposition to this latter proposal was raised, since it was felt that the provisions had been duly considered on several occasions and reflected the prevailing view among delegations.有与会者对后面这项建议提出反对,因为感觉这些条文已在若干场合作过适当审议,其中反映的是代表团中占主导性的意见。
86. The prevailing view was to retain the provisions of both proposed paragraphs of article 6 in the text of the revised model law with the amendments agreed at the current session (see paras. 80 and 82 above).86. 占主导的意见是在示范法修订本中保留拟议的第6条这两款条文,并按本届会议所商定的加以修订(见上文第80和82段)。
The value of retaining these provisions in the revised model law was emphasized with reference to the Convention against Corruption, as ensuring transparency throughout the process and eliminating any advantageous position of suppliers or contractors that might otherwise gain access to procurement planning phases in a non-transparent way.发言中强调了示范法修订本中保留这些条文对《反腐败公约》的价值,即在整个过程中可确保透明度,消除否则可能会以非透明方式进入采购规划阶段的供应商或承包商的任何有利地位。
It was understood that this point and the reasons for including these provisions as a matter of general application to all procurement methods in chapter I should be explained in the guide.根据理解,这一点以及为什么在第一章中列入这些条文作为一般适用于所有采购方法的规定,应在指南中加以解释。
87. Concern was expressed about the burden on procuring entities of publishing the text in paper form.87. 有与会者对以书面形式刊登通告给采购实体造成的负担表示关切。
The wording proposed was “to make this information accessible” rather than to specify that such information should be published in a newspaper.建议在措词上采用“使这些信息得以获取”,而不是规定此类信息应刊登在报纸上。
In response, it was noted that under article 8, which provided for functional equivalence between various publication media, reference to a newspaper would already imply paper or non-paper means.对此,答复中指出,第8条中规定了各种出版媒体之间的等同功能,因此提及报纸也即已意味着纸质或非纸质手段。
Ultimately, it was decided to remove the second and third sentences from the proposed paragraph (2) to the guide.会议最后决定将第2和第3句从拟议的第(2)款挪至指南。
Article 7. Rules concerning methods, techniques and procedures for procurement and type of solicitation第7条. 关于采购方法、技术和程序以及招标类型的规则
Paragraph (3)第(3)款
88. It was recalled that the agreement in the Working Group was to use the term “economic efficiency” in paragraph (3) of the article.88. 据回顾,工作组达成的一致意见是在本条第(3)款中使用“经济效率”一词。
It was suggested that since one of the objectives of the revised model law as set out in its preamble was “maximizing economy and efficiency in public procurement” the choice of the term to be used should be considered in conjunction with this preamble provision.建议如示范法修订本序言所述,示范法的目标之一是“在公共采购中实现经济和效率的最大化”,因此应结合序言的这一规定审议选词问题。
89. Some delegates expressed difficulty in understanding the term “economic efficiency” and said that the terms “economy or efficiency” or “economy and efficiency” would be preferable.89. 有些代表表示很难理解“经济效率”一词,认为“经济或效率”或“经济和效率”更可取。
In the view of one delegation, a reference to “economy” meant that the use of a procurement method would be less costly, while the term “efficiency” meant that the use of a procurement method would involve less time.有一个代表团认为,“经济”是指所使用的采购方法花费较低,而“效率”是指所使用的采购方法耗费的时间较少。
Satisfaction of either of these considerations, it was said, should be sufficient to justify recourse to alternative procurement methods set out in chapter III of the draft revised model law.据指出,只要能实现这两点中的任何一点,就足可以采用示范法修订本草案第三章述及的其他采购方法。
While this understanding was shared by another delegation, the suggestion was made to use the term “economic efficiency” as achieving the desirable ratio between time and cost considerations.虽然另一代表团也持这种看法,但有与会者建议使用“经济效率”一词,认为该词实现了时间和费用两方面考虑的适当平衡。
It was suggested that further explanations might be provided in the guide.建议可在指南中提供进一步的解释。
90. The view was expressed that whichever term would be used to convey the intended meaning, it should appear either only in article 7 (3) or, in addition, in all articles of chapter III.90. 有观点认为,无论使用哪个词语来表达预期含义,该词要么应当只在第7(3)条中出现,要么此外还在第三章的所有条款中出现。
Preference was expressed for the former approach since, it was said, article 7 (3) set out the general requirements justifying recourse to chapter III provisions.与会者倾向于第一种方法,因为,据指出,第7(3)条载述了适用第三章条款的一般要求。
Consequently, whatever the terms of those requirements, they would be applicable to all procurement methods in that chapter.因此,无论这些要求是什么,都应适用于该章的所有采购方法。
91. The general view was that specific conditions for use of different procurement methods should not be set out in article 7 but retained in the articles regulating each relevant procurement method.91. 普遍认为不同采购方法的具体使用条件不应列入第7条,而应保留在规范每一种相关采购方法的条款中。
It was understood that article 7 should set out the general conditions justifying recourse (a) to chapter III procurement methods in lieu of tendering and (b) to chapter IV procurement methods in lieu of tendering and chapter III procurement methods.据认为,第7条应当载述一般使用条件,说明为什么:(a)采用第三章采购方法,取代招标;(b)采用第四章采购方法,取代招标和第三章采购方法。
92. Economic efficiency was considered by some delegations to be the main condition for recourse to procurement methods set out in chapter III in lieu of tendering, while the inability to define specifications and/or establish evaluation criteria in quantifiable or monetary terms was considered to be the main condition for recourse to chapter IV procurement methods.92. 有些代表团认为经济效率是采用第三章所述采购方法取代招标的主要条件,而无法确定所需规格和(或)无法制定量化或以货币值表示的评审标准则是采用第四章采购方法的主要条件。
93.
The Committee considered the proposal that the following principle should be reflected in the revised paragraph (3): “Where the procuring entity would be required to use tendering proceedings under paragraph (1) of this article, but considers for reasons of economic efficiency that it would be appropriate to use a method specified in chapter III, it may do so [if the conditions for use of the relevant procurement method in chapter III are satisfied] [only in accordance with the conditions specified for each such procurement method].”93. 委员会审议了关于应在修订第(3)款中反映以下原则的建议:“如果采购实体被要求使用本条第(1)款规定的招标程序,但其认为宜使用第三章规定的采购方法,则[若能满足第三章中有关采购方法的使用条件,采购实体可以这样做][采购实体只能根据所规定的每一种采购方法的使用条件使用这些方法]。
The understanding was that the guide would provide guidance on the relationship between paragraph (3) and paragraphs (1) and (4).”一项理解是《指南》将就第(3)款与第(1)和(4)款的关系提供指导。
94. It was queried whether the idea proposed to be reflected in paragraph (3) of the article would eliminate the main difference between conditions for recourse to procurement methods set out in chapter III and conditions for recourse to procurement methods set out in chapter IV.94. 有与会者问,提议在本条第(3)款中反映的概念是否会消除第三章所述采购方法使用条件和第四章所述采购方法使用条件之间的主要差异。
It was considered to be essential to retain the idea that both tendering and the procurement methods alternative to tendering set out in chapter III were subject to the same criterion, that it was feasible to provide a detailed description of the subject matter of the procurement and to establish the evaluation criteria in quantifiable or monetary terms, and that this criterion would not be fulfilled in the case of procurement methods set out in chapter IV.认为应保留以下概念:招标和第三章所述招标以外的采购方法应采用相同的标准,可就采购标的作详细说明,并且规定可量化或以货币值表示的评审标准,但第四章所述采购方法无须满足这种标准。
95. In the view of some delegations, economic efficiency was not the main reason for recourse to all procurement methods set out in chapter III.95. 有些代表团认为,经济效率并不是采用第三章所述的所有采购方法的主要原因。
For example, recourse to two-envelope tendering was justified by other considerations, and recourse to request for quotations was justified by considerations of economic efficiency only by implication.例如,采用双信封招标是出于其他考虑,而采用报价征求书只是隐含性地考虑到经济效率。
Therefore, it was considered whether specifying in article 7 (3) economic efficiency as a general condition for recourse to all procurement methods in chapter III would be appropriate.因此,不知在第7(3)条中规定以经济效率作为使用第三章所有采购方法的一般条件是否适当。
A proposal was therefore made to delete from the paragraph the following wording: “but where the use of tendering proceedings would not be appropriate for reasons of economic efficiency [economy and efficiency] [economy or efficiency].”故建议删除该款中的以下措词:“但由于经济效率[经济和效率][经济或效率]原因不宜采用招标程序。
The paragraph would then read as follows:”修改后本款行为如下:
“Where it is feasible to provide detailed description of the subject matter of the procurement and to establish the evaluation criteria in quantifiable or monetary terms, a procuring entity may use a method of procurement referred to in chapter III of this Law provided that the conditions for the use of the method concerned, as specified in the relevant provisions of chapter III, are satisfied.”“如果可能对采购标的作详细说明并规定可量化的或以货币值表示的评审标准,采购实体可以使用本法第三章述及的采购方法,但须满足第三章相关条款中规定的有关方法的使用条件。”
96. It was decided, in the light of the mutual impact of the provisions in paragraph (3) and those in chapter III, to consider the paragraph at a later stage together with the relevant provisions of chapter III.96. 鉴于第(3)款规定与第三章其他规定的相互影响,决定今后结合第三章的有关规定审议本款。
Paragraph (4)第(4)款
97. It was decided, in the light of the mutual impact of the provisions in that paragraph with those in chapter IV, to consider the paragraph at a later stage together with the relevant provisions of chapter IV.97. 鉴于本款规定与第四章其他规定的相互影响,决定今后结合第四章的有关规定审议本款。
Paragraph (5)第(5)款
98. It was decided that the term “stand-alone” should be retained and that the term “as appropriate” should be deleted.98. 决定保留“独立的”一词,删除“酌情”一词。
Paragraph (6) (a) chapeau第(6)(a)款前导句
99. The prevailing view was that the phrase “without prejudice to article 24” should be removed from the text.99. 普遍认为应从案文中删除“在不损害第24条规定的情况下”一语。
Paragraph (6) (a) (ii)第(6)(a)㈡款
100. It was acknowledged that the provisions were intended to accommodate sensitive types of procurement that usually took place in the defence sector.100. 认识到本规定意在考虑到通常发生在国防部门的敏感采购类型。
The proposal was made to remove any ambiguity in the term “confidentiality” by changing the text to read as follows: “Direct solicitation is required by reasons of essential national security or essential national defence purposes.”建议消除“机密”一词的任何模糊性,将案文改为以下措词:“出于基本的国家安全理由或基本国防目的,必须采用直接招标”。
It was noted that the proposal would also be relevant to paragraph (7) (a) (iv), which involved the same considerations.注意到这项建议也与第7(a)㈣款相关,其中涉及同样的考虑。
101. Reference in this context was made to article XXIII (1) of the 1994 WTO Agreement on Government Procurement, and article III of the Agreement as revised in 2006.101. 在这方面,提及了1994年《世界贸易组织政府采购协议》第二十三(1)条,以及该《协议》2006年修订版第三条。
Both of these articles, it was stated, allowed exceptions to transparency for the protection of essential security interests relating to the procurement of arms, ammunition or war materials, or to procurement indispensable for national security or for national defence purposes.据称,这两条都规定,对于枪支、弹药或战争物资的采购,或者为国家安全或国防目的所不可或缺的采购,为保护其基本安全利益,可不作透明度要求。
It was considered important to take into account these provisions.据认为,将这些规定考虑在内是很重要的。
102. However, the Committee noted that the proposed wording might be insufficiently broad to cover sensitive procurements outside the defence sector, such as the procurement of a vaccine in the case of a pandemic.102. 不过,全体委员会指出,拟议措词可能不够宽泛,无法涵盖国防部门之外的敏感采购,如在发生流行病情况下采购疫苗。
It was noted that both versions of the Agreement distinguished between measures necessary for national security and national defence, and measures necessary, for example, for public order or safety.有与会者指出,《协议》两个版本都区分了国家安全与国防方面的必要措施和公共秩序或安全等方面的必要措施。
An alternative view was that the wording could be interpreted more flexibly and that the guide could provide examples of situations intended to be covered by the notion of “essential national security” (such as procurement in the case of a pandemic or the procurement of sensitive items for medical tests or experiments).另一种观点认为,可对该措词作较为灵活的解释,指南可以举出“基本国家安全”概念意欲涵盖的情况的实例(如发生流行病情况下的采购或用于医疗测试或试验的敏感物品采购)。
103. Some delegates supported flexibility as regards retaining a reference to “confidentiality” in the text, on the condition that the guide would clarify that it did not refer to confidentiality in the sense of preserving commercially sensitive information (such as trade secrets).103. 对于在案文中保留提及“机密”的内容,一些代表赞同采用灵活办法,但要在指南中澄清,这不是指保护商业敏感信息(如贸易机密)意义上的机密。
All procurement was considered to be confidential in this sense.据认为,在这种意义上,所有采购都是机密的。
It was suggested therefore that the text should limit the scope of the term “confidentiality” to State secrets arising from considerations of national security or national defence.因此有与会者建议,在案文中将“机密”这一术语的范围限制在因国家安全或国防方面的考虑因素而形成的国家机密。
104. The prevailing view was that the text should be revised as proposed in paragraph 100 above.104. 与会者普遍认为,应按照上文第100段的建议修订案文。
Paragraph (6) (b)第(6)(b)款
105. A proposal was made to delete paragraph 6 (b) in the light of the changes to be made to paragraph (6) (a) (ii).105. 鉴于商定的对第(6)(a)㈡款的改动,有与会者建议删去第(6)(b)款。
106. Concern was expressed that such a deletion would remove mention of exemptions from transparency requirements in the revised model law that could be essential in the context of the sensitive nature of certain types of procurement.106. 有与会者表示关切说,示范法修订本中免除透明度要求的规定对于具有敏感性质的某些类别采购可能是必要的,而删除第6(b)款将不提及这类规定。
107. Support was expressed for the view that the provisions should remain but be redrafted in the light of the changes agreed to be made in paragraph (6) (a) (ii).107. 有与会者支持以下观点,即应当保留这些规定,但应考虑到商定的对第(6)(a)㈡款的改动进行改写。
It was suggested, for example, that the opening phrase should be replaced with the following wording: “if direct solicitation is used in situations referred to in paragraph (6) (a) (ii).”例如,有与会者建议将起首语改为:“在第(6)(a)㈡款所述的情形下使用直接招标的。
108. It was noted that such a phrase would be excessively broad as it would justify exemptions from transparency in all cases of procurement involving essential national security or essential national defence.108. 有与会者指出,这种用语过于宽泛,因为如此一来,涉及基本国家安全或基本国防的所有采购便都有理由免于遵守透明度要求。
It was therefore suggested that it should be narrowed only to those procurements referred to in paragraph (6) (a) (ii) that were considered by the procuring entity to be confidential.因此建议应将范围缩小到第(6)(a)㈡款提及的采购实体认为机密的采购。
109. The following wording was proposed to replace the opening phrase in paragraph (6) (b) (which would limit exemptions from disclosure requirements to strictly justifiable cases): “if direct solicitation is used in the situations referred to in paragraph (6) (a) (ii), and where the procuring entity determines for considerations of confidentiality that the whole or part of the provisions as regards public disclosure of this Law should not apply, it shall include …” It was noted that the same considerations would be applicable in the context of article 7 (7) (c).109. 建议以下述措词取代第(6)(b)款的起首语(将免于遵守披露要求的例外情况严格限于有正当理由的情形):“在第(6)(a)㈡款提及的情况下使用直接招标的,采购实体若出于机密考虑因素断定不应当适用本法关于公开披露的全部或部分规定,则应当……”有与会者指出,第7(7)(c)款的情形也可适用同样的考虑因素。
110. While some support was expressed for the idea intended to be conveyed by the proposed wording, the prevailing view was that the term “confidentiality” should be avoided in any revised text, since this term could justify unlimited exemptions and lead to abuses.110. 一些与会者表示赞同这一拟议措词意欲表达的观点,但与会者普遍认为,在任何修订案文中都应避免使用“机密”这一术语,因为无数豁免都可以这一术语为理由,从而导致滥用。
The following wording was therefore suggested: “if direct solicitation is used in the circumstances set out in paragraph (6) (a) (ii) and where these circumstances make it necessary not to disclose the relevant information, the procuring entity may decide not to apply articles […] of this Law.”因此建议使用以下措词:“在第6(a)㈡款所列的情形下使用直接招标的,如果由于这些情形而不可披露相关信息,采购实体可决定不适用本法第[…]条。
The alternative view was that the originally suggested opening phrase “if direct solicitation is used in situations referred to in paragraph (6) (a) (ii)” (see para. 107 above) was sufficient and should not be expanded.”另一种意见认为,最初建议使用的起首语:“在第(6)(a)㈡款提及的情况下使用直接招标的”(见上文第107段)已经足够,不应扩大范围。
111. In the light of the implications of the proposed provisions on enacting States, the strong view was expressed that the scope of the provisions setting out exemptions from transparency requirements of the revised model law should be very clear and should limit any subjectivity on the part of the procuring entity to what was absolutely necessary.111. 鉴于拟议条款对颁布国的影响,有意见坚决认为,规定在何种情形下免于遵守示范法修订本中透明度要求的条款的范围应当十分明确,且应当将采购实体的任何主观性限制于绝对必要的程度内。
112. A query was made as to whether all the cross-references conferring exemptions to the transparency requirements of the revised model law contained in the text were appropriate.112. 有与会者问,是否案文中所有允许免于遵守示范法修订本中透明度要求的参引条目号都是恰当的。
It was noted that the Committee should express its position as regards each exemption.有与会者指出,全体委员会应当对每条豁免规定表明立场。
The Committee was therefore invited to consider which of the following exemptions should remain or be added: (a) exemption from open solicitation (article 24 and article 15 (2) (providing for public notification of prequalification proceedings)); (b) exemption from public notification about pre-qualified suppliers or contractors (article 15 (9)); (c) exemption from public notice of the award of the procurement contract (article 20); and (d) exemption from public access to the relevant records of procurement proceedings (article 22 (2)).因此请全体委员会审议应当保留或添加下述哪些豁免规定:(a)免于公开招标(第24条和第15(2)条(规定公开通报资格预审程序));(b)免于公开通报通过资格预审的供应商或承包商的情况(第15(9)条);(c)免于公开通报授予采购合同的情况(第20条);(d)免于让公众查阅采购程序的相关记录(第22(2)条)。
113. The inclusion of cross-references to article 15 (2) and (9) (prequalification) was queried, since it was considered that direct solicitation, as per the proposed definition in article 2 (see paras. 61 and 63 above), involved the solicitation from chosen suppliers rather than prequalification.113.有与会者问是否要引证第15(2)和(9)条(资格预审)的条款编号,因为据认为,按照第2条的拟议定义(见上文第61和63段),直接招标是向选定的供应商招标,而不涉及资格预审。
The alternative view was that it would be desirable to preserve flexibility in this matter and, thus, that cross-references to these provisions should remain.另一种意见认为,在这一问题上最好保持灵活性,因此应保留这些引证条目编号。
114. In the view of some other delegations, it would not be necessary to set out any specific exemptions in paragraph (6) (b), since these exemptions were already implicit in the term “direct solicitation” read together with paragraph (6) (a) (ii).114. 另一些代表团认为,第6(b)款不必规定任何具体的豁免情形,因为“直接招标”这一术语和第(6)(a)㈡款结合一并阅读便已经暗含了这些豁免情形。
In the view of yet other delegations, exemptions should be set out but taking into account the need to achieve a balance between the interests of the procuring entity in exempting some sensitive information from the public disclosure requirement on justifiable grounds and the need to provide minimum information to the public to ensure public oversight and review even in cases of sensitive procurement.还有一些代表团认为,应当列明豁免情形,但要考虑到,一方面采购实体对某些敏感信息有权出于正当理由免于遵守公开披露要求,另一方面,即使是敏感采购,也有必要向公众提供最低限度的信息以确保公众监督和审查,要在这两方面之间取得平衡。
115. A query was made as to whether the procuring entity should have the right to choose which of the provided exemptions it could invoke in particular circumstances.115. 有与会者问,采购实体是否应有权在特定情况下从所规定的豁免情形中选择援引哪一种。
One view was that the wording proposed in paragraph 109 above, in referring to “the whole or part of the provisions as regards public disclosure of this Law”, gave the procuring entity the flexibility to decide whether to invoke all or some public disclosure exemptions.一种意见认为,上文第109段所建议的措词提及了“本法关于公共披露的所有或部分规定”,便是允许采购实体灵活决定援引全部还是部分公共披露豁免规定。
116. The importance of preserving in the text safeguards against abuse of the exemptions was highlighted, such as the requirement that the procuring entity must include in the record of procurement proceedings a statement of the grounds and circumstances on which it relied to justify its determination.116. 与会者强调案文中必须保留防止滥用豁免规定的措施,如要求采购实体必须在采购程序记录中说明其如此断定所依据的理由和情况。
It was also proposed that the guide should provide detailed explanations of the provisions, in particular the significance of the exemptions, and should highlight that it is the procuring entity that determines whether sufficient grounds exist to treat a relevant procurement as confidential.还有与会者建议在指南中详细解释这些规定,特别是豁免规定的重要性,还应强调应该是由采购实体来确定是否存在充足理由将相关采购当作机密处理。
117. The general feeling was that the provisions would have to be redrafted to envisage all appropriate alternatives to open solicitation.117. 与会者普遍认为,要改写这些条文,以设想到除公开招标之外的所有适当办法。
The view was expressed that the term “direct solicitation” might better be avoided altogether in any revised text.有意见认为,在任何修订案文中完全避免使用“直接招标”这一术语较妥。
118. In the course of subsequent deliberations, support was expressed for the following wording to replace paragraph (6) (b): “If solicitation proceeds pursuant to article 7 (6) (a) (ii), the procuring entity shall determine which provisions of this Law calling for public disclosure shall not apply, and shall include in the record required by article 22, a statement of the [grounds and circumstances] [reasons] which justified such determination.”118. 在随后的审议过程中,与会者支持将第(6)(b)款改为以下措词:“根据第7(6)(a)㈡条的规定进行招标的,采购实体应当断定本法中要求公开披露的哪些规定不应适用,并且应在第22条所要求的记录中附上一份说明,解释其如此断定所依据的[理由和情况][原因]。
Paragraph (7)第(7)款
119. It was proposed that subparagraph (a) (iv) and the reference to “national interest” in subparagraph (c) should be revised by the Secretariat in the light of the deliberations of the Committee on procurement in the defence sector (see paras. 100-104).119. 有与会建议秘书处根据全体委员会对国防部门采购的审议情况(见第…段),修订(a)㈣项和(c)项提及的“国家利益”(见第100-104段)。
Paragraph (8)第(8)款
120. It was proposed that the words “or the use of direct solicitation” should be deleted.120. 有与会者建议删除“或使用直接招标”等字。
The alternative proposal, which gained support, was to redraft the paragraph to ensure that any decision by the procuring entity to use a procurement method other than tendering and any decision not to use open solicitation in other procurement methods would have to be reflected and justified in the record.另一项建议是重拟本款,确保在记录中反映采购实体关于使用某种非招标采购方法的任何决定,或者在其他采购方法中不使用公开招标的任何决定,并说明有关理由。 该建议获得了支持。
The Committee deferred consideration of the paragraph and the remaining paragraphs of article 7 to a later stage.全体委员会推迟到稍后阶段再审议这一条款和第7条的其余各款。
Article 8. Communications in procurement第8条. 采购中的通信
Paragraph (2)第(2)款
121. The Committee had before it the following proposal for a revised paragraph (2):121. 委员会收到了下述第(2)款修订建议:
“(2) Communication of information between suppliers or contractors and the procuring entity referred to in articles [14 (1) (d), 15 (6) and (9), 19 (4), 30 (2) (a), 32 (1), …, and in the case of direct solicitation in accordance with article 7 (6) (a),] may be made by means that do not provide a record of the content of the information on the condition that, immediately thereafter, confirmation of the communication is given to the recipient of the communication in a form that provides a record of the content of the information and that is accessible so as to be usable for subsequent reference.”“(2) 第[14(1)(d)、15(6)和(9)、19(4)、30(2)(a)、32(1)……条,以及第7(6)(a)条规定的直接招标情形,]所提及的供应商或承包商与采购实体之间的信息传送可以使用不提供其中所载内容记录的手段,但条件是随后立即以提供其中所载内容记录的形式向通信的接收人发出通信确认书,该确认书应当可以调取以备日后查用。”
122. With reference to a query set out in footnote 61 of document A/CN.9/WG.I/WP.69/Add.1, the prevailing view was that a cross-reference to article 19 (4) should be deleted.122. 对于A/CN.9/WG.I/WP.69/Add.1号文件脚注61中提出的一个问题,与会者普遍认为,应当删去引证的第19(4)条条目编号。
The Secretariat was entrusted to ensure accuracy of the remaining cross-references in these provisions.委托秘书处确保这些条款中引证的其余条目编号准确无误。
New paragraph (3)新的第(3)款
123. The Committee had before it the following proposal for a new paragraph (3):123. 全体委员会收到了关于新的第(3)款的以下建议:
“When the procurement involves, requires and/or contains classified information as regards national defence or national security, the procuring entity shall specify in solicitation documents measures and requirements needed to ensure the security of such information at the requisite level.”“如果采购涉及、要求提供和(或)包含有关国防或国家安全的机密信息,采购实体应当在招标文件中规定确保这类信息的必要安全所需的措施和要求。”
124. The proponents explained that additional provisions would be needed in the text to accommodate the particular issues arising from the inclusion of defence procurement within the scope of the revised model law.124. 建议者解释说,需要在案文中添加额外规定,以考虑到将国防采购列入示范法修订本范围所产生的特定问题。
In response to a query as to whether the security concerns were already addressed in paragraph (5), the proponents pointed to the different scopes of the proposed new text and paragraph (5).有与会者问安全方面的问题是否已在第(5)款中述及,对此,建议者指出,所提议的新案文与第(5)款范围不同。
125. It was explained that the requirements or measures referred to in the proposed text concerned technical requirements addressed to suppliers or contractors to ensure the integrity of information, such as encryption requirements, and would allow the procuring entity to stipulate, for example, the level of the officer tasked with receiving the information concerned.125. 据解释,拟议新案文中提及的要求或措施涉及为确保信息完整性而对供应商或承包商提出的技术要求,例如加密要求,并使采购实体能够规定例如负责接收有关信息的官员级别。
Paragraph (5), on the other hand, addressed internal requirements with which the procuring entity had to comply.而第(5)款涉及的是采购实体必须遵守的内部要求。
126. Several delegates strongly supported including those provisions in the revised model law because not doing so, it was said, would make the that model law unusable in the national security and defence sectors.126. 有几名代表强烈支持在示范法修订本中列入这一规定,因为,据指出,如果不列入的话,会使示范法修订本在国家安全和国防部门无法使用。
127. Opposition to including the proposed provisions in the revised model law was expressed.127. 有与会者反对将拟议规定列入示范法修订本。
It was considered that the proposed provisions would complicate chapter I, which was supposed to set out provisions of general application to public procurement.认为拟议规定会使第一章变得复杂,该章本应载列普遍适用于公共采购的条款。
The provisions were considered unnecessary also because enacting States might already have specific regulations addressing classified information in the national defence or national security sector.认为该规定没有必要的另一原因是,颁布国可能已有关于国防或国家安全部门机密信息的特定条例。
In response, it was observed that the proposed text had been crafted broadly to avoid including details that might conflict with other regulations and that it was the understanding of the proponents that the guide would specify that the provisions were subject to applicable regulations in each enacting State.针对这一点,据指出,拟议案文采用了宽泛的措词,以避免包含可能与其他条例相冲突的细节,而且建议者认为,指南应详细说明该规定服从于每个颁布国的适用条例。
128. A proposal to have a special article or chapter dedicated to procurement in the defence and security sectors did not gain support.128. 有一项建议是列入一个特殊条款或章节,专门述及国防和安全部门的采购。
该建议未获支持。
It was explained that defence and national security procurement, among other kinds of procurement, of a sensitive nature, would be exempted from certain general principles of the revised model law.据解释说,国防和国家安全采购与一些其他类别具有敏感性的采购一道被豁免遵守示范法修订本中某些一般原则。
Treating them separately and distinctly in the revised model law would, in the view of some delegations, result in a departure from the general premise on which the draft revised model law was based – that is, the complexity of the procurement in question rather than its subject matter or the sector in which it took place.有些代表团认为,在示范法修订本中单独对这种采购予以不同处理会偏离示范法修订本草案所基于的基本前提——即所进行的采购的复杂性,而不是采购标的或采购涉及的领域。
At the same time, support was expressed for the view that a general review of the draft revised model law, to accommodate sensitive procurement where appropriate through exemptions from general rules, was unavoidable.同时,与会者对以下观点表示支持,即不可避免对示范法修订本草案进行总体审查,以酌情通过列出一般规则的例外情形而将敏感的采购考虑在内。
(See paras 253-266 below.)(见下文第253-266段。 )
129. It was agreed that article 8 would be the appropriate location for the proposal as it addressed communications, but flexibility was expressed as regards the best paragraph within that article for the provisions to be set out.129. 一致认为宜将该建议列入第8条,因为该条涉及通信问题,但至于将这一规定列入第8条的哪一款最合适,应当灵活考虑。
Suggestions to merge the proposed text with paragraph (5) did not gain support given their substantially different scopes (see paras 124 and 125 above).关于将拟议案文与第(5)款合并的建议没有得到支持,因为它们的范围有很大不同(见上文第124和125段)。
Substantial support was expressed for the suggestion to add the proposed text as a new subparagraph (b) in paragraph (3).有一项建议是将拟议案文作为新的(b)项列入第(3)款,该建议得到了大力支持。
130. Concern was expressed about this suggestion since relocating the provisions to paragraph (3) might imply that they were of general rather than exceptional application.130. 有与会者对这一建议表示关切,因为将该规定放在第(3)款可能会意味着它具有普遍适用性,而不是一种例外。
It was cautioned that expanding the application of measures justifiable in national defence and national security sectors to other sectors might lead to discriminatory practices.据提醒说,把国防和国家安全部门可采取的措施的适用范围扩大到其他部门可能会导致歧视性做法。
A preference was therefore expressed for stand-alone provisions on this subject with the replacement of the words “shall specify” with the words “shall have the right to specify”.因此,倾向于将有关这一问题的条款作为单独条款,并把“应当规定”改为“应当有权规定”。
131. Since the proposal essentially addressed the information that the procuring entity must specify in solicitation documents, the view prevailed that the following text based on the proposal should be set out not separately but as a new subparagraph (b) in paragraph (3) as follows:131. 由于建议本质上涉及采购实体必须在招标文件中列明的信息,普遍认为以该建议为基础的下列案文不应单独出现,而应作为第(3)款新的(b)项载入:
“Where the procurement involves, requires and/or contains classified information as regards national defence or national security, measures and requirements needed to ensure the security of such information at the requisite level;”“如果采购涉及、要求提供和(或)包含有关国防或国家安全的机密信息,确保这类信息的必要安全所需的措施和要求;”
132. In connection with this text, it was queried whether protection should be given to classified or similar information only in the defence or other national security sectors.132. 对于这一案文,有与会者问是否应当只保护国防或其他国家安全部门的机密信息或类似信息。
Support was expressed for a suggestion to broaden the scope of the proposal.与会者支持关于扩大该建议范围的提议。
The following suggestions were considered to that end:为此审议了以下建议:
(a) To refer to “protected” or “sensitive” information rather than “classified” information;(a) 提及“受保护”或“敏感”的信息,而不是“机密”信息;
(b) To broaden the scope of the classified information, by adding the words “or in any other instance” after the words “national defence or national security”;(b) 在“国防或国家安全”后添加“或其他任何情况下”等词语,从而扩大机密信息的范围;
(c) Alternatively, to refer to “classified information [either] as regards national defence or national security, or any other information requiring protection”;(c) 或者提及“有关国防或国家安全的机密信息,或需要保护的其他任何信息”;
(d) Alternatively, to refer to “classified information [such] as regards national defence or national security”;(d) 或提及“例如有关国防或国家安全的机密信息”;
(e) To refer to “national defence or the national interest” rather than “national defence or national security”.(e) 提及“国防或国家利益”而不是“国防或国家安全”。
133. In considering the alternative formulations given above, the view was expressed that the reference to “classified” information might be too restrictive and that an alternative term, such as “sensitive” or “protected” information, might better convey the type of information concerned.133. 在审议上述各种表述方法时,有观点认为,“机密”信息这种提法可能限制性太强,其他词语如“敏感”或“受保护”的信息也许更能表示有关信息类型。
On the other hand, it was observed that the term “classified” information was a term of art well understood in relevant circles.另一方面,据指出,“机密”信息是一个在相关业界人人皆知的行业术语。
Caution against too broad an expansion of the concept of “classified information” was urged.提醒不应过于扩大“机密信息”这一概念的范围。
Support was expressed for the inclusion in the text of the words “or any other information requiring protection” as set out in paragraph 132 (c) above, as an appropriate way of resolving these issues.与会者支持在案文中添加上述第132段(c)中所载的“或需要保护的其他任何信息”等词语,认为这是解决这些问题的一个适当方法。
134. In this context, it was recalled that, in the light of the earlier deliberations in the Committee on article 7 (6) (a) (ii) (see paras. 100-104 above), the references to “national security” were intended to be interpreted broadly, so that the protection of public health in cases of (for example) a pandemic would fall within the provisions.134. 在这方面,据回顾,结合委员会先前对第7(6)(a)㈡条的审议情况(见上文第100-104段),“国家安全”一词意在作广义的解释,以便使(例如)发生流行病时保护公共健康的情况也可属于这一规定的范围。
On the one hand, concern was expressed about the fact that, notwithstanding the understanding reached, a reference to “national defence or national security”, even where broadly construed, might not allow for the protection of classified or similar information not in the national defence or national security domain, such as information on public health.一方面,有与会者感到关切的是,尽管达成了这种谅解,但 “国防或国家安全”即使作广义的解释,可能也不允许保护除国防或国家安全以外领域的机密信息或类似信息,如公共卫生信息。
On the other hand, concern was expressed about the fact that the use of the phrase “or any other instance” would confer an open-ended discretion that might lead to abuse.另一方面,有与会者表示关切说,使用“或其他任何情况”一语会赋予一种无限的酌处权,这种权利可能会被滥用。
In response, it was said that this provision addressed the protection of classified or similar information only, and not the broader question of the use of direct solicitation or other transparency measures.对此,据指出,这一规定只涉及机密信息或类似信息的保护,而不涉及采用直接招标或其他透明度措施的更广泛问题。
135. Other views expressed were that the guide should explain the scope of the provisions, and that they were linked to the scope of article 7 (6) (a) (ii).135. 其他观点包括指南应解释这一规定的范围,并解释该规定与第7(6)(a)㈡条的范围有关。
It was also stressed that the provisions should make it clear that the protection was afforded to classified or similar information, and not to information that the procuring entity might simply wish to protect.另外还强调,该规定应当明确:所保护的是机密信息或类似信息,而不是采购实体随便希望保护的信息。
136. A query was made as to how the protection would affect the obligation of the procuring entity to maintain a comprehensive record of the procurement and to make certain parts thereof available to the public.136. 有与会者问这种保护会对采购实体保持全面采购记录并将其中某些部分的记录公布于众的义务产生什么影响。
137. The Committee decided that future considerations of the new provisions for article 8 should be based on the following wording that would be considered together with the related provisions of the deferred article 7 (see paras. 100-120 above):137. 全体委员会决定,今后审议第8条的这一新规定时应以下列行文为基础,并与被推迟审议的第7条相关款项一起审议(见上文第100-120段):
“(3) (b) Where the procurement involves, requires, and/or contains [sensitive] [classified] information [such] [either] [as] [regards] national defence or national security [or national interest] [or other information requiring protection], and if the procuring entity considers it necessary, measures and requirements needed to ensure the security of such information at the requisite level;”“(3) (b)如果采购涉及、要求提供和(或)包含[例如]有关国防或国家安全[或国家利益]的[敏感][机密]信息[或需要保护的其他信息],并且采购实体认为必要的话,确保这类信息的必要安全所需的措施和要求;”
Paragraph (3), new subparagraph (c), old subparagraph (b)第(3)款,新(c)项,原(b)项
138. The Committee had before it the following proposal for a new subparagraph (3) (c):138. 全体委员会收到关于第(3)款新(c)项的下述提案:
“(c) The means to be used to communicate information by or on behalf of the procuring entity to a supplier or contractor or to the public or by a supplier or contractor to the procuring entity or other entity acting on its behalf.”“(c) 采购实体或其代表向供应商或承包商或公众传递信息或者供应商或承包商向采购实体或代表采购实体行事的其他实体传递信息所应采用的手段。”
139. No objection was raised to the proposal, which was found to be generally acceptable.139. 本提案获得普遍接受,未对本提案提出反对意见。
Paragraph (4)第(4)款
140. The Committee had before it the following proposal for paragraph (4):140. 全体委员会收到关于第(4)款的下述提案:
“(4) The procuring entity shall use means of communication that are in common use by suppliers or contractors in the relevant context. In addition, the procuring entity shall hold any meeting of suppliers or contractors using means that ensure that suppliers or contractors can fully and contemporaneously participate in the meeting.”“(4) 采购实体应采用供应商或承包商在有关情况下通常使用的通信手段。此外,采购实体应举行供应商或承包商的任何会议,使用的手段应能确保供应商或承包商可以在同一时段充分地参与会议。”
141. It was suggested that the phrase “any meeting of suppliers or contractors” should be replaced with the phrase “any meeting with suppliers or contractors.”141. 有与会者建议将“供应商或承包商的任何会议”这些词语改为“与供应商或承包商的任何会议。
No objection was raised to this suggestion or the remainder of the proposal.”会上对本建议或提案的其余部分都未提出反对意见。
The proposal with this amendment was found to be generally acceptable.经此修改的本提案获得普遍接受。
Paragraph (5)第(5)款
142. The Committee had before it the following proposal for paragraph (5):142. 全体委员会收到关于第(5)款的下述提案:
“(5) The procuring entity shall put in place appropriate measures to secure the authenticity, integrity and confidentiality of information concerned.”“(5) 采购实体应当实行适当措施,以确保有关信息的真实性、完整性和保密性。”
143. No objection was raised to the proposal, which was found to be generally acceptable.143. 本提案获得普遍接受,对本提案未提出反对意见。
Article 11. Rules concerning description of the subject matter of the procurement, and the terms and conditions of the procurement contract or framework agreement第11条. 关于采购标的说明的规则以及采购合同或框架协议的条款和条件
144. The Committee had before it the following proposal for paragraph (1) of article 11:144. 全体委员会收到第11条第(1)款的下述提案:
“(1) The procuring entity shall set out in the solicitation documents the description of the subject matter of the procurement that it will use in the examination of tenders or other submissions. Where thresholds are set by the procuring entity for identifying non-responsive submissions, the procuring entity shall also set out the thresholds and the manner in which they are to be applied in the examination in the solicitation documents.”“(1) 采购实体应当在招标文件中列出其用以评审投标书或提交书的采购标的说明。采购实体为确定不具响应性的提交书规定了最低标准的,采购实体还应在招标文件中列明这些最低标准及其在评审中的适用方式。”
145. Concern was expressed about using the term “threshold” without it being defined in article 2 or in the guide in the specific context of article 11 as referring to minimum technical requirements.145. 有与会者表示关切,因为使用了“最低标准”一词,而未对该词在第2条中或在指南有关第11条的具体说明中加以定义,以表明其系指最低限度的技术要求。
The point was made that this term had different connotations in many jurisdictions and in some international texts, such as the WTO Agreement on Government Procurement and European Union directives on procurement, where the term usually referred to monetary thresholds that might dictate the use of particular procurement methods.据指出,这个词在许多法域中有不同的内涵,在一些国际文书中,例如在《世贸组织政府采购协议》和欧盟委员会在采购领域的指令中,通常指可能用以决定是否采用某种采购方法的最低限度金额。
The technical meaning assigned to the term in the context of various articles of the draft revised model law was noted.与会者注意到在示范法修订本草案各项条款中赋予该词的技术含义。
146. In order to stress the distinct meaning intended to be conveyed in this article, alternative terms were proposed to be used in lieu of the term “threshold”, such as “benchmark”, “minimum requirements”, “minimum level of” or “minimum criteria”.146. 为了强调本条预期表达的不同含义,提出了一些替代词语取代“threshold”(最低标准),例如“基准”、“最低限度要求”、“最低限度”或“最低限度标准”。
It was suggested that whichever term was used in the context of these provisions, it might need to be defined in article 2 in order to eliminate any ambiguity as to its intended meaning.据指出,在这些条款中不论使用什么词语,都可能需要在第2条中加以定义,以便消除其所指含义上的任何模糊性。
147. A consensus emerged to substitute the term “threshold” with an alternative term.147. 会上出现了一种协商一致意见,以另一种用词替代“最低标准”一词。
Support was expressed for the use of the term “minimum requirements”.与会者表示支持采用“最低限度要求”一词。
Some reservation was expressed about the use of another alternative term proposed – “minimum criteria”, as it might create unnecessary confusion since the word “criteria” was also used in the context of assessment of qualifications or evaluation.对于所提出采用的另一种替代措词——“最低限度标准”,一些与会者表示了保留意见,因为在资格评估或评审的语境中也使用了“标准”二字,因此可能造成不必要的混淆。
148. The Secretariat was entrusted with finding the appropriate term to replace the term “threshold”.148. 委托秘书处寻找适当的措词代替“最低标准”一词。
It was recalled that a glossary of terms would be prepared and it was considered more appropriate to explain the term used in the context of article 11 there rather than in article 2.据回顾,将会拟定一则术语表,认为在那里解释第11条语境下使用的措词比在第2条中加以解释更加适当。
Article 12. Rules concerning evaluation criteria [the evaluation of submissions]第12条. 关于评审标准[评审提交书]的规则
Structure and general issues结构和一般问题
149. Concern was expressed about the structure of the article.149. 有与会者对本条的结构表示关切。
It was proposed that the article should be restructured with the following three elements: first, principles applicable to the evaluation criteria; second, the obligation to publish the evaluation criteria and related information in the solicitation documents; and third, the manner in which the evaluation criteria and other related evaluation aspects were to be applied in the evaluation process.建议按以下三个要素修改本条的结构:一,对评审标准适用的原则;二,在招标文件中公布评审标准和相关信息的义务;三,评审过程中评审标准和其他相关评审方面的应用方式。
Support was expressed for that suggestion.与会者对此建议表示支持。
150. Other structural changes were proposed, such as reordering paragraphs 2 and 3.150. 提出了其他结构上的改变,例如调换第2和3款的顺序。
The alternative view was that the article as proposed was coherent and no structural changes would be required.另一种观点则是,拟议的本条整体行文协调,不需要作结构上的改变。
151. A preference was expressed for using the term “evaluation criteria” rather than “criteria” throughout the article and in other provisions of the revised model law according to the context.151. 与会者表示在整个本条中以及在示范法修订本其他条款中根据上下文偏向于选用“评审标准”一词,而不用“标准”二字。
It was also the understanding that amendments would be required in the text in the light of the proposed definition of “tender or other submission(s)” (see para. 60 above).还认为将需要根据所建议的“投标或其他提交书”的定义而在案文中作出修正(见上文第60段)。
Paragraph (1), chapeau provisions第(1)款,前导句条文
152. The Committee had before it the following proposal for the title and chapeau of paragraph (1):152. 全体委员会收到关于标题和第(1)款前导句的下述提案:
“Article 12. Rules concerning evaluation criteria“第12条. 关于评审标准的规则
(1) In examining, evaluating and comparing tenders or other submissions and determining the successful submission (the evaluation procedure), the procuring entity shall:”(1) 在审查、评审和比较投标书或其他提交书并确定中选提交书时(评审程序),采购实体应当:”
153. A preference was expressed for replacing the proposed chapeau provisions with the phrase “In order to determine the successful submission, the procuring entity shall:”.153. 有与会者表示偏向于将所提出的前导句条文改为“为了确定中选提交书,采购实体应当:”等词语。
Paragraph (1) (a) to (c)第(1)(a)至(c)款
154. Concern was expressed about the inclusion of an essential principle, that “the evaluation criteria must be relevant to the subject matter of the procurement”, only in paragraph (1) (a).154. 对于仅在第(1)(a)款中列入一项基本原则“评审标准必须与采购标的有关”,有与会者表示关切。
It was noted that this paragraph addressed the evaluation and comparison of submissions, at which stage the procuring entity would have to apply the criteria set out in the solicitation documents.据指出,本款述及提交书的评审和比较,在此阶段,采购实体将须使用招标文件中列明的标准。
It was considered essential that all requirements governing the evaluation criteria, including this one, be established very early in the procurement process and set out in the solicitation documents.据认为,有关评审标准的所有要求,包括本条原则,在采购过程之初加以确定并在招标文件中列明,至关重要。
It was therefore proposed that the principle should be set out without a link to any stage of the procurement proceedings as an overarching requirement, such as in paragraph (3).因此,建议将本原则作为一项总括性的要求列出,例如列在第(3)款中,不与采购程序的任何阶段相联系。
In a similar vein, it was suggested that all such requirements be placed at the beginning of the article.同样,还建议所有此类要求都放在本条的开始部分。
155. It was suggested that the provisions of subparagraphs (1) (a) to (c) should be merged with the chapeau provisions in order to avoid repetitions and to set out the essential principles applicable to the evaluation criteria.155. 建议第(1)(a)至(c)款的规定应与前导句条文合并,以避免重复,并列明对评审标准所适用的基本原则。
These principles included that the evaluation criteria and all other information related to the evaluation process must be set out in the solicitation documents and that the evaluation criteria must be relevant to the subject matter of the procurement.这些原则包括评审标准和与评审过程相关的所有其他信息必须在招标文件中载明,以及评审标准必须与采购标的相关联。
It was also proposed that the notion that the evaluation criteria should correspond to the market conditions be included.还建议列入评审标准应符合市场条件的概念。
156. The Committee agreed that subsequent consideration of paragraph (1) of the article would be based on the following wording:156. 全体委员会商定,对本条第(1)款随后的审议将以如下措词为基础:
“[In order to determine the successful tender or other submission] [In evaluating and comparing tenders or other submissions and determining the successful tender or other submission], the procuring entity shall use only those evaluation criteria that have been set out in the solicitation documents, [and which shall relate to the subject matter of the procurement] and shall apply them in the manner that has been disclosed in those solicitation documents.”“[为确定中选投标书或其他提交书][在评审和比较投标书或其他提交书并确定中选投标书或其他提交书时],采购实体应当仅使用那些在招标文件中列明的评审标准,[这些标准应与采购标的相关联],并应按照这些招标文件中公布的方式加以运用。”
Paragraph (2)第(2)款
157. The Committee had before it the following proposal for paragraph (2):157. 全体委员会收到第(2)款的如下提案:
“(2) Any non-price evaluation criteria shall, to the extent practicable, be objective and quantifiable. All evaluation criteria shall be given a relative weight in the evaluation procedure and, wherever practicable, shall be expressed in monetary terms.”“(2) 任何非价格评审标准应在可行范围内尽可能客观和可以量化。应指明所有评审标准在评审程序中的相对比重,并在可行的情况下,尽可能以货币值表示。”
158. No objection was raised to the proposal, which was approved.158. 对此提案未提出反对意见,提案得到核准。
Paragraph (3)第(3)款
159. The Committee had before it the following proposal for paragraph (3):159. 全体委员会收到第(3)款的如下提案:
“(3) (a) The evaluation criteria must relate to the subject matter of the procurement.“(3) (a) 评审标准必须与采购标的相关联。
(b) The evaluation criteria may [concern] [consider] only:(b) 评审标准可以只[涉及][考虑]:
(i) The price, subject to any margin of preference applied pursuant to paragraph (4) (b) of this article;㈠ 价格,但须计入按照本条第4(b)款适用的任何优惠幅度;
(ii) The cost of operating, maintaining and repairing goods or construction, the time for delivery of goods, completion of construction or provision of services, the functional characteristics of goods or construction, the terms of payment and of guarantees in respect of the subject matter of the procurement, subject to any margin of preference applied pursuant to paragraph (4) (b) of this article;㈡ 操作、保养和维修货物或工程的费用,交付货物、完成工程或提供服务的时间,货物或工程的功能特点,对采购标的的付款条件和保证,但须计入按照本条第4(b)款适用的任何优惠幅度;
(iii) Where the procurement is conducted in accordance with article … [two-envelope tendering] or with chapter IV, and where relevant, the qualifications, experience, reputation, reliability and professional and managerial competence of the supplier or contractor and of the personnel to be involved in providing the services, subject to any margin of preference applied pursuant to paragraph (4) (b) of this article.”㈢ 按照第…条[双信封招标]或第四章进行采购的,适当时包括供应商或承包商及其参与提供服务人员的资格、经验、信誉、可靠性、专业能力和管理能力,但须计入按照本条第4(b)款适用的任何优惠幅度。”
160. It was proposed that the following revisions be made to the suggested new wording for paragraph (3), and the view was reiterated that the paragraph should appear before paragraph (2) (see para. 150 above):160. 建议对所提出的第(3)款新案文作如下修改,并重申该款应放在第(2)款之前(见上文第150段):
(a) In subparagraph (b), to delete the words “consider” and “only”.
No objection was raised to the deletion of the word “consider”.
In support of the proposal to delete the word “only”, it was observed that it might not be possible to set out exhaustively all the possible evaluation criteria.
This deletion was supported on the condition that all criteria would be published in the solicitation documents for transparency reasons and be relevant to the subject matter of the procurement. In opposing the deletion, it was commented that the reason for including the word “only” was to avoid the introduction of subjective criteria. It was added that there was a clearly defined structured approach to the paragraph, making the aim of an exhaustive set of criteria clear. It was suggested, therefore, that the word “only” either be retained or included in square brackets with an explanation of the policy considerations in the guide.(a) 在(b)项中,删除“考虑”和“只”字。没人反对删除“考虑”一词。对删除“只”字的建议表示支持的与会者指出,可能无法详尽无遗地列出所有可能的评审标准。但支持删除该字的条件是:为透明度原因,应在招标文件中公布所有标准,并且这些标准应与采购标的相关。反对删除该字的与会者指出,列入“只”字是为了避免采用主观性的标准。另外还指出,该款采取了一种明确而有条理的方法,从而清楚表明了所列标准是全部标准的目的。因此,建议要么保留“只”字,要么将其放在方括号内,并在指南中解释政策方面的考虑。鉴于在这一点上存在分歧,有与会者建议在本规定中保留“只”字,并放在方括号内,由颁布国选择删除还是保留。另一项建议是将“只”字改为“特别”,但与会者更倾向于前一种办法。委员会决定保留“只”字,并将其放在方括号内,但有待进一步审议;
It the light of disagreement on this point, it was proposed that the word should be retained in the provisions in square brackets for enacting States to choose whether to delete or retain it.
This approach was preferred to another proposal to replace the word “only” with the words “in particular”.
The Committee decided to retain the word “only” in square brackets pending further deliberations;
(b) In subparagraph (b) (i), to add a reference to socio-economic factors after the reference to margins of preference and replace a cross reference to paragraph (4) (b) with a reference to paragraph (4). The importance of bringing socio-economic factors within the ambit of paragraph (3) was emphasized in order to clarify how such factors were supposed to be taken into account in a transparent and objective manner in the evaluation and comparison of submissions. Both support and opposition to this proposal were voiced. It was noted that the provisions were based on the corresponding provisions in the 1994 Model Procurement Law, and that the intention was to require objective and transparent adjustments in price according to a margin of preference to be set out and disclosed to suppliers and contractors in advance of the procurement.(b) 在(b)㈠项中,在“优惠幅度”后添加提及社会经济因素的文字,并且提及第(4)款,而不是第4(b)款。强调了把社会经济因素纳入第(3)款范围的重要性,以便说明在评审和比较提交书时,应以透明、客观的方式将此类因素考虑在内。这项建议有人支持,也有人反对。据指出,本规定以1994年《采购示范法》的相关规定为基础,意在要求根据采购前规定并告知供应商和承包商的优惠幅度,对价格进行客观和透明的调整。据指出,在这里提及社会经济因素可能会使本规定变得主观和不透明。提议应在今后结合与评审和比较提交书时考虑社会经济因素有关的所有其他拟议条文,对该建议进行审议;
Reference to socio-economic factors in this context, it was suggested, could make the provisions non-transparent and subjective.
It was suggested that the proposal should be considered at a later stage together with all other proposed provisions relevant to the consideration of socio-economic factors in the evaluation and comparison of submissions;
(c) In subparagraph (b) (iii), to delete references to “qualifications, experience, reputation”. It was noted that the provisions were based on article 39 of the 1994 Model Procurement Law, which addressed services procurement. A concern was raised about converting them to evaluation criteria relevant to all types of procurement. The inherent subjectivity of the term “reputation” raised particular concern on the part of some delegations, and substantial support was expressed for its deletion.(c) 在(b)㈢项中,删除“资格、经验、信誉”等词。据指出,本规定以1994年《采购示范法》第39条为基础,该条涉及的是服务采购。因此对使其转而成为与所有采购类型相关的评审标准感到关切。“信誉”一词内在的主观性使有些代表团感到特别关切,极力支持删除该词。全体委员会同意将“信誉”改为“资信资料”的建议,因为后者更加客观。委员会还同意删除“资格”一词,因此起初建议删除的本规定最后改为“经验、资信资料”。
The Committee agreed to a suggestion to replace the term “reputation” with the term “references”, as being more objective.
The Committee also agreed to delete the reference to “qualifications”, with the resulting provisions that had originally been proposed to be deleted reading “experience, references”;
(d) Also in subparagraph (b) (iii), to replace the reference to “services” with a reference to “subject matter of the procurement”, in line with the decision not to differentiate procurement under the revised model law on the basis of whether goods, construction or services were being procured;(d) 在(b)㈢项中,再将“服务”改为“采购标的”,这样符合在示范法修订本中不以所采购的是货物、工程还是服务来区分具体采购的决定;
(e) To add a new subparagraph referring to “performances in environmental protection”. Support was expressed for this suggestion and eventually it was agreed that a reference to ecological considerations should be added.(e) 添加一个新项,提及“环境保护方面的效能”。与会者支持这一建议,最后一致认为应添加提及生态考虑因素的内容。
Paragraph (4)第(4)款
161. The proposal was made to replace subparagraph (a) with the phrase “consider socio-economic factors” and to list the examples of socio-economic factors from the 1994 Model Procurement Law in the guide.161. 建议将(a)项改为“考虑社会经济因素”,并在指南中列举1994年《采购示范法》中的社会经济因素实例。
Support was expressed for this approach as it would appropriately provide for more flexibility in an area that was constantly evolving and involved politically sensitive issues.与会者支持这种办法,因为该办法将在一个不断变化并涉及政治敏感问题的领域适当提供更多的灵活性。
162. Strong objection was expressed to the amendment of these provisions of the 1994 Model Procurement Law.162. 有与会者强烈反对修改1994年《采购示范法》的这些规定。
A reference in this respect was made to the accompanying guide text, which was considered to be broadly consistent with the WTO Agreement on Government Procurement, explaining the exceptional nature of the provisions and stating that they should be available only to developing countries.在这方面提到所附的指南案文,认为该案文与《世贸组织政府采购协议》大体一致。 解释了本规定的例外性,并指出本规定应当只适用于发展中国家。
Concern was expressed that amending the text would distort the balance achieved in 1994, might open the door to protectionism in various countries and would not be consistent with trends in international regulation of procurement.担心修改案文会扭曲1994年达成的平衡,可能会在许多国家为保护主义打开大门,并且与国际采购管理趋势不一致。
Strong support was therefore expressed for retaining the provisions as they appeared in the 1994 Model Procurement Law together with the cautionary wording in the accompanying guide.因此强烈支持保留1994年《采购示范法》中的规定和所附《指南》中的告诫性措词。
163. The alternative proposal was to amend subparagraph (a) to read as follows: “consider socio-economic factors, such as”, on the understanding that an illustrative list of socio-economic factors could be provided in the revised model law or be omitted with the result that it would be up to an enacting State to specify the relevant socio-economic factors according to the circumstances on the ground.163. 另一项建议是将(a)项改为:“考虑社会经济因素,例如”,认为可在示范法修订本中提供一个经济社会因素示例清单,或者不提供这种清单,而让颁布国根据本国情况列出相关的社会经济因素。
The prevailing view was that it would be helpful to provide for an illustrative list of socio-economic factors in the revised model law and that such a list could be based on the provisions of the 1994 Model Procurement Law, updated as necessary.普遍认为在示范法修订本中提供社会经济因素示例清单不无助益,而且这种清单可以1994年《采购示范法》的规定为基础,并作必要更新。
164.
It was suggested that an updated illustrative list might refer to such socio-economic factors as: “specific industrial sector development, development of small and medium-sized enterprises, minority enterprises, small social organizations, disadvantaged groups, persons with disabilities, regional and local development, environmental improvements, improvement in the rights of women, the young and the elderly, people who belong to indigenous and traditional groups, as well as economic factors, such as balance of payment position and foreign exchange reserves.”164. 有与会者建议,更新后的示例清单可提及以下社会经济因素:“特定工业部门的发展、中小型企业的发展、少数民族企业、小型社会组织、弱势群体、残疾人员、区域发展和地方发展、环境改善、妇女权利的改善、年轻人和老年人、土著群体和传统群体,以及各种经济因素,如收支状况和外汇储备。
Support was expressed for including this updated illustrative list in the revised model law.”有与会者表示赞成将这一更新示例清单列入示范法修订本草案。
165. In response to a concern about transparency and objectivity in applying socio-economic factors in the evaluation and comparison of submissions, the general understanding was that the requirement of the 1994 Model Procurement Law that these factors and the manner of their application would have to be addressed in procurement regulations would be retained.165. 有与会者对在提交书的评审和比较过程中适用社会经济因素时的透明度和客观性表示关切,对此有与会者答复说,一般的理解是,将保留1994年《采购示范法》中的要求,即须在采购条例中述及这些因素及其适用方式。
In addition, it was suggested that paragraph 4 (a) might explicitly require the socio-economic factors to be applied in an objective and transparent manner, with the guide explaining how such transparency and objectivity could be achieved in practice.此外还有与会者建议在第4(a)款中明确要求以客观而透明的方式适用社会经济因素,并在指南中解释如何在实践中实现这种透明度和客观性。
The importance of keeping a comprehensive record was highlighted in this respect.在这方面,强调了保留全面记录的重要性。
166. It was suggested that: subparagraph (a) should start with the phrase “in establishing non-price criteria”; subparagraph (b) should start with the phrase “in establishing price criteria”; and subparagraph (c) should be deleted.166. 有与会者建议:将(a)项起首语改为“在制定非价格标准时”;将(b)项起首语改为“在制定价格标准时”;删去(c)项。
No objection was raised to this suggestion.没有人反对这一建议。
167. It was decided that consideration of the paragraph with all proposed revisions thereto should be deferred to a later stage.167. 会议决定推迟到稍后阶段审议本款及其所有修订建议。
Paragraph (5)第(5)款
168. No comments were made with respect to the paragraph.168. 没有对该款提出评论意见。
Paragraph (6)第(6)款
169. Support was expressed for retaining the term “lowest evaluated tender” in the revised model law.169. 有与会者表示赞成在示范法修订本中保留“估价最低的投标书”这一词语。
170. Some delegations, however, did not find the drafting history of the term (A/CN.9/WG.I/WP.68, paras. 21-27) so convincing as to justify the retention of the term.170. 不过,一些代表团认为,该词语的草拟过程(A/CN.9/WG.I/WP.68,第21-27段)说服力不够,不能为保留该词语提供充分的理由。
Concern was reiterated about the term as implying that the supplier receiving the lowest rating at the end of the evaluation process would be the successful supplier.有与会者再次表示关切说,该词语意味着在评审程序结束时评级最低的供应商为中选供应商。
In response, it was observed that, from the practitioner’s point of view, the term did not raise any difficulty.对此有与会者答复说,从从业人员的角度看,这一词语不会造成任何困难。
Reference in this respect was made to provisions of paragraph (2) of the article that helped to understand the intended meaning of the concept of the lowest evaluated tender.在这方面,有与会者提到了本条第(2)款的规定,这些规定有助于理解最低估价的投标书这一概念所要表达的意思。
171. The alternative terms, such as “most advantageous tender”, used in the WTO Agreement on Government Procurement, “most economical tender” or “best evaluated tender”, were suggested for consideration.171. 与会者提出了其他可选词语,如《世贸组织政府采购协议》使用的“最有利的投标书”,或“最经济的投标书”,或“估价最佳的投标书”,以供审议。
Another solution proposed was to retain the term “lowest evaluated tender” with an explanation in the guide about the origin of the term and the drafting history provided in document A/CN.9/WG.I/WP.68.所提出的另一种解决办法是,保留“估价最低的投标书”这一词语,并在《指南》中解释其来源和A/CN.9/WG.I/WP.68号文件所述的草拟过程。
172. Another suggestion, which, it was noted, might also assist in resolving problems with terminology, was to delete subparagraphs (a) to (e).172. 还有一种建议是删去(a)至(e)项,据称这也有助于解决术语方面的问题。
It was considered more appropriate to include these provisions in the articles addressing specific procurement methods.据认为较为恰当的办法是将这些规定列入述及具体采购方法的条款中。
173. The Committee decided to delete subparagraphs (a) to (e) and retain in paragraph (6) the following text: “The evaluation procedure shall be conducted by applying the evaluation criteria in the manner set out in the solicitation documents, to determine the [successful tender or other successful submission] [most advantageous tender or other successful submission]”.173. 委员会决定删去(a)至(e)项,并保留第(6)款中的以下案文:“评审时应按照招标文件中列明的方式适用评审标准,确定[中选投标书或其他中选提交书][最有利的投标书或其他中选提交书]”。
174. A general remark was made that the drafting history of the 1994 Model Procurement Law might be irrelevant in many aspects since the entire philosophy of the revised model law should reflect the changes that had taken place in procurement since 1994.174. 有与会者概括地评论说,1994年《采购示范法》的草拟过程在许多方面可能无关紧要,因为示范法修订本的整体基本原理应当反映1994年以来在采购方面发生的变化。
The revised model law would be viewed as a more complex document that was not only concerned with the issue of opening up markets, which was the major concern of the 1994 version.示范法修订本将被认为是内容更加复杂的文件,所涉及的不仅仅是1994年版主要关心的开放市场问题。
In particular, it was pointed out that the basic premise expressed in the 1994 Model Procurement Law that some States were not ripe for certain sophisticated procurement methods or techniques should be removed, since many States had made considerable progress in their procurement administration and it could be said that the same principles and concerns preoccupied developed and developing countries alike.有与会者特别指出,1994年《采购示范法》的基本前提是,在一些国家,采用某些复杂的采购方法或技术的条件尚未成熟,现在应当撇开这一前提,因为许多国家已经在各自的采购管理方面取得了很大进步,可以说发达国家和发展中国家所关注的原则和问题是相同的。
How to achieve the best value for money was cited as an example of the issues that remained valid for all jurisdictions.有些问题对所有法域来说仍然是现实的,例如如何实现资金的最大价值。
Article 14. Submission securities第14条. 提交书担保
175. It was the understanding that, in the light of the proposal to change to the definition “[submission] security” to “[submission] [tender or other] security” in article 2 (see para. 56 above), consequential amendments would be required throughout the revised model law in the relevant context, including in this article.175. 与会者认为,鉴于拟议将第2条中“[提交书]担保”定义改为“[提交书][投标书或其他]担保”(见上文第56段),必须对示范法修订本全文的相关内容作相应修改,包括对本条进行修改。
176. Concern about the proposed changes in the definition “[submission] security” was raised in the specific context of article 14, where the use of the newly suggested term “tender or other security”, it was said, might distort the content of the article.176. 有与会者联系第14条的具体情形,对“[提交书]担保”定义中的拟议修改表示关切,据称使用新提出的“投标书或其他担保”这一词语可能会歪曲本条的内容。
Additional concerns were raised about this new term, in particular its exact scope and the absence of a reference therein to “other submission security” in line with the newly proposed definition “tender or other submission(s)” (see paras. 55-60 above).还有与会者在其他方面对这些新词语提出了关切,特别是其确切范围,以及其中没有按照拟议新定义“投标书或其他提交书”提及“其他提交书担保”(见上文第55-60段)。
Article 15.第15条. 资格预审程序
Prequalification proceedings
177. The decision of the Working Group not to provide for pre-selection in this article was recalled.177. 据回顾,工作组已决定不在本条中规定预选。
It was therefore suggested that the term describing the proceedings of article 15 in various languages should not inadvertently convey any such meaning.因此有与会者提出,各种语文中用来描述第15条中的程序的词语不应在无意中表达预选的意思。
178. It was proposed that the last words in paragraph (7) should read “the invitation to prequalify”, in the light of the content of paragraph (3) of the article.178. 有与会者建议,鉴于本条第(3)款的内容,应将第(7)款结尾的“资格预审文件”改为“资格预审邀请书”。
No objection was raised to this suggestion.没有人反对这一建议。
Article 16.第16条. 否决全部提交书
Rejection of all submissions 179. It was noted that, although consequential changes would be made in the provisions to reflect the proposed definition “tender or other submission(s)” (see para. 60 above), some difficulties with the use of that definition persisted.179. 据指出,虽然随后将需要作出相应的改动,以反映所提出的“投标书或其他提交书”定义(见上文第60段),但使用该定义仍然存在一些困难。
Provisions containing the anticipated amendments, it was said, would be unnecessarily complicated and difficult to understand.据称,含有预期的修改内容的条文将会无谓地复杂化,难以理解。
180. The Committee was informed about the drafting history of the article preceding the adoption of the 1994 Model Procurement Law and consideration of the article in the Working Group, with reference to document A/CN.9/WG.I/WP.68/Add.1 (paras. 25-36).180. 全体委员会了解到在通过1994年《采购示范法》之前本条的草拟过程以及工作组对本条的审议情况,相关的记载见A/CN.9/WG.I/WP.68/Add.1号文件(第25-36段)。
The Committee noted that discussion of the article should take into account decisions made in the Working Group in the course of the revision of the 1994 Model Procurement Law that had an impact on some provisions of the article, such as the Working Group’s decision to strengthen review provisions.全体委员会注意到,对本条的讨论应考虑到工作组在修订1994年《采购示范法》过程中作出的一些对本条某些条文具有影响的决定,例如工作组关于加强审查条款的决定。
It was recalled that under the 1994 Model Procurement Law, many decisions of the procuring entity, including a decision to reject all submissions, were exempted from review, and that it was proposed to remove this exemption (article 52 (2) (d)), among others, from the revised model law.据回顾,在1994年《采购示范法》下,采购实体的许多决定,包括否决所有提交书的决定,都豁免于审查,因此建议在示范法修订本中除其他外,取消这一豁免(第52(2)(d)条)。
181. The Committee had before it the following proposals:181. 委员会收到下述提案:
(a) To delete in paragraph (1), the words in square brackets “cancel the procurement” and “but is not required to justify those grounds”. The latter deletion, it was explained, was proposed in the light of the provisions in paragraph (2) of the article. It was further proposed that other provisions in square brackets should be retained in the text without square brackets;(a) 在第(1)款中,删除方括号内的词句“取消采购”和“但无须解释那些理由”。据解释说,提出删除的后面这一词句是因为考虑到本条第(2)款的条文。还建议,方括号内的其他条文保留在案文中,但去掉方括号;
(b) To delete in paragraph (2) the words “towards suppliers or contractors that have presented submissions”;(b) 在第(2)款中,删除“对递交了提交书的供应商或承包商”等词语;
(c) To replace paragraphs (1) and (3) of the article with the following text: “In case the procurement is cancelled by the procuring entity prior to the acceptance of the successful submission, notice of cancellation of the procurement and those grounds should be given promptly to all suppliers or contractors that presented submissions”. Some support was expressed for this proposal with some modification (see para. 186 below);(c) 以下述案文取代本条第(1)和(3)款:“采购实体在接受中选提交书之前取消采购的,应迅速向递交了提交书的所有供应商或承包商发出取消采购和说明其理由的通知”。有些与会者表示支持这一建议,并提出了某种修改(见下文第186段);
(d) To replace the article with a text that provided for (i) the right to cancel the procurement at any stage of the procurement proceedings, (ii) a notification of the cancellation being provided in the same manner as the initial solicitation, (iii) an additional notification with grounds to suppliers or contractors that had presented submissions, and (iv) no liability on the side of the procuring entity.(d) 以一段案文取代本条,其中规定㈠有权在采购程序的任何阶段取消采购,㈡以最初招标的同样方式发出取消采购的通知,㈢向递交了提交书的供应商或承包商发出说明理由的补充通知,㈣采购实体不承担赔偿责任。
182.
The Committee subsequently focused on the following issues in conjunction with these proposals: (a) whether the term “rejection of all submissions” accurately described the intended meaning of the article;
(b) whether the procuring entity should have the right to cancel the procurement and at which stage of the procurement proceedings; (c) the time frame intended to be covered by the article; (d) whether a notice of cancellation should always be provided and in which manner it should be provided; (e) whether grounds and justifications for cancellation must always be provided and, if so, whether they should be provided in the same way as a notice of cancellation or only to participating suppliers or contractors;182. 全体委员会结合这些建议,随后将审议重点放在下述问题上:(a)“否决全部提交书”一词是否准确描述了本条所希望表达的含义;(b)采购实体是否应当有权以及在采购程序的哪个阶段取消采购;(c)本条所预期涵盖的时间段;(d)是否始终应当发出取消采购的通知,以及应当以何种方式发出;(e)是否必须始终提供取消采购的根据和理由,如果如此,是否应当以发送取消通知的同样方式提供,或仅向参加采购的供应商或承包商提供;以及(f)保障措施防止根据本条赋予采购实体的权利被不当使用。
and (f) safeguards against the improper use of the right given to the procuring entity under the article.
Whether “rejection of all submissions” accurately described the intended meaning of the article“否决全部提交书”是否准确描述了本条所希望表达的含义
183. Support was expressed for the view that the term “rejection of all submissions” was problematic and should be replaced with “annulment of the procurement proceedings”, “cancellation of the procurement proceedings” or “termination of the procurement proceedings”.183. 与会者对以下观点表示支持,即“否决全部提交书”一词有问题,应改为“采购程序的废除”、“采购程序的取消”或“采购程序的终结”。
The term “rejection” was seen as too closely linked to the examination, evaluation and comparison of submissions and the rejection, for example, of unresponsive submissions.“否决”一词被认为与提交书的审查、评审和比较过于密切相关,例如,否决不具响应性的提交书。
Concern was raised about the use of the term “annulment” and a general preference was expressed for the use of the term “cancellation” or “termination”.有与会者对使用“废除”一词表示关切,普遍倾向于选用“取消”或“终结”一词。
Other delegations were of the view that the term “rejection of all submissions” should be retained.其他一些代表团则认为,应当保留“否决全部提交书”这些词语。
184. The Committee decided that the Secretariat should find an appropriate term that would convey more accurately the intended meaning of article 16 and would avoid confusion with other provisions of the revised model law that allowed rejection of individual submissions on various grounds (for example, on the ground of inducement, conflicts of interest, as being non-responsive or not achieving the required threshold).184. 全体委员会决定,秘书处应当寻找一个适当的词语,更加准确地表达第16条所希望表达的含义,避免与示范法修订本其他一些允许以各种理由(例如,以利诱、利益冲突为由,认为不具响应性或未达到要求的最低限度)否决个别提交书的条款规定相混淆。
185. In the course of subsequent deliberations, it was agreed to use the term “cancellation of the procurement” and to amend the article accordingly.185. 在随后的审议过程中,一致商定使用“采购的取消”一词,并对本条作相应修正。
Whether the procuring entity should have the right to cancel the procurement and at which stage of the procurement proceedings采购实体是否应当有权以及在采购程序的哪个阶段取消采购
186. Support was expressed for the view that the procuring entity should have an unconditional right to cancel the procurement at any stage of the procurement proceedings.186. 与会者对以下观点表示支持,即采购实体应当享有一项无条件的权利,可以在采购程序的任何阶段取消采购。
It was therefore suggested that the following sentence should replace the opening phrase in the proposal reproduced in paragraph 181 (c) above: “the procuring entity shall have the right to cancel the procurement at any stage of the procurement proceedings.”因此建议,以如下一句取代上文第181(c)段转载的提案中的起首语:“采购实体有权在采购程序的任何阶段取消采购。
The time frame intended to be covered by the article本条所预期涵盖的时间段
187. Views differed as regards the time frame that should be covered in article 16.187. 与会者对第16条应当涵盖的时间段意见不一。
Some inconsistency between the first and second sentences of paragraph (1) of the proposed article 16, which was also found in the 1994 Model Procurement Law, was noted in this regard.在这方面,注意到拟议的第16条第(1)款第一和第二句之间有些不一致,同样的问题也见于1994年《采购示范法》。
A view was expressed that the provisions should permit cancellation up to the deadline for presenting submissions.一种观点认为,本款条文应当允许在递交提交书的截止日期之前取消。
Two other main options considered were to allow cancellation (a) up to the acceptance of the successful submission or (b) up to the stage of conclusion or entry into force of the procurement contract.审议的另外两个主要选择是允许取消,(a)截至接受中选提交书之前,或(b)截至采购合同订立或生效阶段之前。
188. In explanation of the first option, it was stated that the purpose of the article was to provide protection to suppliers or contractors that presented submissions.188. 在解释第一种选择时,据指出,本条的目的是为递交了提交书的供应商或承包商提供保护。
Thus the period that preceded the presentation of submissions and the period after the acceptance of the successful submission would not be relevant.因此,递交提交书之前的阶段和接受中选提交书之后的阶段毫不相干。
The acceptance of the successful submission would be the appropriate cut-off point in the light of article 19, which provided sufficient safeguards to the suppliers or contractor whose submission was accepted but the procurement was cancelled subsequently.考虑到第19条为提交书被接受但采购被随后取消的供应商或承包商提供了充分保障措施,接受中选提交书将是适当的时间分界点。
It was explained that in such a case, the safeguards provided for in article 19 would apply, not those in article 16.据解释,在这种情况下,第19条规定的保障措施将予适用,而不是第16条。
189. A compromise emerged that the provisions should concern the entire procurement process covered by the revised model law, in other words until the conclusion of the procurement contract, after which general provisions of contract law were applicable.189. 出现的一种折衷是,条文应当涉及示范法修订本涵盖的整个采购过程,换言之,直至订立采购合同为止,此后,适用合同法的一般规定。
Whether a notice of cancellation should always be provided and in which manner it should be provided是否始终应当发出取消通知以及以何种方式发出通知
190. Support was expressed for the view that a notice of cancellation should always be provided.190. 与会者对以下观点表示支持,即始终应当发出取消通知。
Views varied whether it should be provided individually to participating suppliers or contractors alone, or whether it should be issued in the same way and in the same media in which the original notice of procurement is published.关于应当单独个别向参与采购的供应商或承包商发出通知,还是应当以公布最初采购通知的同样方式以及在同样的媒体上发出通知,与会者意见不一。
191. The prevailing view was that if the procurement were cancelled before submissions were presented or if the submissions were presented but not opened, the notice of cancellation was to be published in the same way and in the same media in which the original notice of procurement had been published and any unopened submissions would be returned unopened to participating suppliers and contractors.191. 占主导意见认为,如果取消采购发生在递交提交书之前或提交书虽已递交但尚未开封,则取消采购的通知应以公布最初采购通知的同样方式以及在同样的媒体上刊登,并将任何尚未开封的提交书原封不动退还参与的供应商和承包商。
A public notice of cancellation of the procurement was considered essential for the oversight by the public.一项取消采购的公告被认为对于接受公众监督至关重要。
It was further explained that in the case of opened submissions, the notice of cancellation should also be given individually to each supplier or contractor that had presented a submission.据进一步解释,如果提交书已经开封,则还应当分别向递交了该提交书的每个供应商或承包商发出取消通知。
192. The view was reiterated that, as explained in paragraph 188 above, the stage preceding the presentation of submissions would be irrelevant and should therefore not be regulated by the article.192. 有与会者重申了其观点,认为正如上文第188段所解释的,递交提交书之前的阶段毫不相干,因此不应由本条加以规范。
Whether grounds and justifications for cancellation must always be provided and, if so, whether they should be provided in the same way as a notice of cancellation or only to suppliers or contractors concerned是否必须在任何情况下都说明取消的根据和理由,如果是的话,是否应当 向提供取消通知书一样说明这些根据和理由,还是只需向有关供应商或 承包商说明这些根据和理由
193. Support was expressed for the view that if the procurement were cancelled before submissions were presented or if the submissions were presented but not opened, the procuring entity should not be required to provide any grounds or justifications for cancellation.193. 与会者对以下观点表示支持,即如果取消采购是在提交书递交之前发生的,或者提交书递交后没有开启,则采购实体无需说明取消的根据或理由。
If, however, the procurement were cancelled during subsequent stages of the procurement proceedings, grounds should be provided in the notice of cancellation issued individually to each supplier or contractor concerned.但是,如果取消采购是在采购程序后来的阶段发生的,则需在单独发给每一有关供应商或承包商的取消通知书中说明理由。
194. The view was reiterated that, as explained in paragraph 188 above, the stage preceding the presentation of submissions would be irrelevant and should therefore not be regulated by the article.194. 会上重申,如上文第188段所述,递交提交书之前的阶段与此无关,因此不应在该条中作出规定。
195. Some delegations were of the view that the obligation to notify grounds for cancellation should not be automatic but should arise following a request from the suppliers or contractors concerned.195. 有些代表团认为,就取消理由发出通知的义务不应是自动履行的义务,而是在有关供应商或承包商提出请求之后产生的义务。
This limitation was seen as important for not increasing the bureaucratic burden.据认为这条限制很重要,有助于防止行政负担的增加。
It was also suggested that the guide should highlight, in the same vein, that the grounds provided could be short but should nonetheless be comprehensible.会上还建议在指南中以同样的写法强调指出,对理由的说明虽然可以简短一些,但要让人看得懂。
196. Other delegations did not share these views.196. 另一些代表团不同意这些看法。
They considered that imposing such an obligation on the procuring entity would be the only way to ensure transparency and meaningful review.它们认为,对采购实体规定此种义务是确保透明度和有意义的审查的唯一方式。
They therefore proposed that the words “upon request” in paragraph (1) of the proposed article be deleted.因此,它们提议删除该条拟议案文第(1)款中的“根据请求”这几个字。
It was also noted that under the law of some jurisdictions, the procuring entity would in any case have to communicate the grounds to all suppliers or contractors affected by a decision to reject all submissions.还指出,根据某些法域的法律,采购实体在任何情况下都必须向所有受到否决所有提交书的决定的影响的供应商或承包商说明理由。
In response, the point was made that requirements of national laws of any individual country should not become a determining factor for revisions of the 1994 Model Procurement Law.对此提出的观点是,任何个别国家的国内法要求不应成为影响1994年《采购示范法》修订的决定因素。
197. An understanding was expressed that justification should not be required, as any such requirement would be inconsistent with paragraph (2) of the article (which itself provided that the procuring entity shall incur no liability, solely by virtue of its invoking paragraph (1) of the article).197. 会上提出这样一种理解:不应要求提供理由,因为任何此种要求都与该条第(2)款不一致(该款本身规定,采购实体不应仅仅因其援引本条第(1)款规定而负有赔偿责任)。
At the same time, there was a general understanding that the procuring entity might decide to provide justifications.同时,会上普遍认为可以由采购实体来决定是否提供理由。
198. In the light of these discussions, it was proposed that a distinction between “grounds” and “justifications” should be eliminated in the provisions, by replacing these two terms with the word “reasons”.198. 根据上述讨论,会上提出不在这些条款中对“根据”和“理由”这两个词加以区分,而将其改为“原因”。
Safeguards against improper use of the right given to the procuring entity under the article防止不当使用本条赋予采购实体的权利的保障措施
199. In the light of the unconditional right given to the procuring entity to cancel the procurement, it was considered essential to provide for safeguards against any abuse of this right.199. 鉴于赋予采购实体的取消采购的无条件权利,会上认为务必针对任何滥用此种权利的情形规定防范措施。
It was noted, in this regard, that the provisions could be used for corruptive practices.为此提到有可能利用这些规定舞弊。
200. The Committee in this respect recalled the Working Group’s decision to delete the exception from review of a decision to cancel the procurement, which had been set out in article 52 (2) (d) of the 1994 Model Procurement Law.200. 为此委员会回顾工作组曾作出决定,不再允许按1994年《采购示范法》第52(2)(d)条的规定免于对取消采购的决定进行审查。
Provisions on the record of procurement proceedings that would require including in the record the fact of and grounds for the decision under article 16 were also noted.会上还提到关于采购程序记录的规定,这些规定要求在档案中记录根据第16条作出决定的事实和根据。
The obligation on the part of the procuring entity to provide affected suppliers or contractors with reasons for the decision was also cited as an important safeguard.另外,要求采购实体向受到影响的供应商或承包商说明作出决定的原因,这种义务也是一项重要的保障措施。
It was also recalled that under the review provisions of the revised model law, the affected suppliers would be able to seek recovery of the costs of preparing and presenting submissions.会上还回顾,根据示范法修订本的审查规定,受影响的供应商可以要求补偿编制和提交投标文件的费用。
201. It was proposed that the revised model law or the guide might provide for additional safeguards by, for example, listing exceptional circumstances that would justify the cancellation of the procurement (for example, budgetary considerations).201. 会上提出可以在示范法修订本或指南中规定进一步的保障措施,例如,列出可以取消采购的例外情形(如预算考虑等)。
Opposition was expressed to the suggestion that any specific conditions governing the procuring entity’s right to cancel the procurement under article 16 should be provided in the revised model law, as they could not be exhaustive.有一项建议提出在示范法修订本中对有关采购实体根据第16条取消采购的权利规定具体条件,但这项建议遭到反对,认为此种条件是无法一一列出的。
Instead, it was considered sufficient to list in the guide possible circumstances that would justify exercise by the procuring entity of its right under article 16.相反,据认为只要在指南列出采购实体可以根据第16条行使权利的各种可能情形就足够了。
Such circumstances, it was pointed out, would arise mainly from public interest considerations, as had already been highlighted in the 1994 Guide.据指出,这类情形主要由于公共利益考虑而产生的,1994年的指南已经就此作了着重说明。
An observer informed the Commission that cancellation of the procurement in practice often took place after submissions had been examined, evaluated and compared either because all the submissions had turned out to be unresponsive, effective competition was missing or the proposed prices substantially exceeded the available budget.一位观察员向委员会介绍了下述情况:在实践中,对提交书进行审查、评估和比较之后取消采购的事情经常发生,或者因为所有提交书都不适合要求,或者因为缺乏有效的竞争,或者因为所报价格大大超出现有预算。
202. Requiring a higher-level approval for taking a decision under article 16 and reserving the right in the solicitation documents to cancel the procurement were also mentioned as possible safeguards.202. 在第16条中要求由上级批准作出一项决定,并在招标文件中保留取消采购的权利,也被视为可能的保障措施。
In response to an enquiry as to why provisions of the 1994 Model Procurement Law to such effect had been deleted from the proposed article, the relevant Working Group’s decisions were recalled, including a strong view expressed in that Group that these provisions created an unnecessary bureaucratic burden (with reference to a higher-level approval) or were superfluous (as regards reserving the right in the solicitation documents) particularly in the light of administrative law provisions giving the right to the procuring entity to cancel the procurement in any case (A/CN.9/668, paras. 112 and 113).有与会者询问,为什么要在拟议条款中删除1994年《采购示范法》的有关规定,针对此疑问,回顾了工作组的有关决定,其中包括,工作组中当时有一种强烈的观点认为这些规定会造成不必要的行政负担(就上级批准而言),而且是多余的(就在招标文件中保留此项权利而言),特别是考虑到行政法规定赋予了采购实体在任何情况下取消采购的权利(A/CN.9/668,第112和113段)。
203. Among other possible safeguards, some delegations noted that laws in their jurisdictions required that possible grounds for cancellation should be specified in the solicitation documents.203. 关于其他可能的保障措施,有些代表团指出,其所在法域的法律要求在招标文件中具体说明可能的取消理由。
Another safeguard proposed for consideration was that the procuring entity should be prohibited from resorting to direct solicitation or single-source procurement on the same subject matter following the cancelled procurement.提出的另一种供考虑的保障措施是,应当禁止采购实体在取消采购之后对同样标的使用直接招标或单一来源采购办法。
204. A query was raised as to whether the procuring entity should incur liability as a result of its decision to cancel the procurement.204. 会上提出的另一个问题是,采购实体是否应为其决定取消采购而负赔偿责任。
In this respect and in the light of the decision by the Working Group to delete the exemption of the decision of the procuring entity to cancel the procurement from review, the need for the provisions of paragraph (2) was questioned.关于这一点,鉴于工作组已经决定不允许对采购实体取消采购的决定免于审查,会上对是否有必要保留第(2)款的规定提出质疑。
Varying views were expressed on this point.关于这一点发表了各种不同看法。
205. The general understanding was that the provisions of paragraph (2) addressed issues distinct from the right to review the decision of the procuring entity to cancel the procurement proceedings.205. 普遍看法是,第(2)款规定所述及的问题不同于对采购实体取消采购程序的决定进行审查的权利。
It was stated that the right would exist and could be exercised but whether liability on the part of the procuring entity would arise would depend on the factual circumstances of each case (in particular, the extent to which the procuring entity complied with applicable procedures such as the requirement to provide a prompt notice of the cancellation and reasons for cancellation where applicable).据指出,这种权利将继续存在,而且可以行使,但采购实体方面是否负赔偿责任则取决于个案的实际情形(特别要考虑的是,采购实体在多大程度上遵守了有关程序,例如,迅速提供取消通知和在适用情况下说明取消原因的要求)。
206. A preference was expressed for retaining paragraph (2).206. 有一种观点倾向于保留第(2)款。
It was explained that the paragraph was important because it provided protection to the procuring entity from unjustifiable protests and, at the same time, safeguarded against an unjustifiable cancellation of the procurement proceedings by the procuring entity.据解释,该款很重要,因为它为采购实体防范无理抗议提供了保护,同时又可防止采购实体无故取消采购程序。
207. The other view was that paragraph (2) was superfluous and might be deleted with suitable explanation in the guide.207. 另一种观点认为第(2)款是多余的,删除后可以在指南中作出适当解释。
Yet another view was that paragraph (2) should be deleted in order to allow for review of the decision concerned.还有一种观点是,第(2)款应当删除,以便能够对有关决定进行审查。
It was explained that the issue of liability was linked to the right of review and the right to seek compensation for damages, such as recovery of costs incurred for preparing and presenting a submission (as envisaged, for example, in the WTO Agreement on Government Procurement).据解释,赔偿责任问题同审查权有关,还与损害赔偿请求权有关,例如补偿编制和提交投标文件的费用(如同例如《世贸组织政府采购协议》所规定的那样)。
208. An additional view was that the issue of liability should be addressed differently depending on when a decision to cancel the procurement proceedings was made: if it was made before the submissions were presented and opened, the issue of liability should not arise; otherwise, liability should be envisaged.208. 还有一种观点是,是否以不同方式处理赔偿责任问题,取决于取消采购程序的决定是在何时作出的:如果此种决定是在已经提交和开启投标文件之后作出的,则不产生赔偿责任问题;否则的话就要涉及赔偿责任。
In this regard, reference was made to the wording of the provisions, which allowed limited interpretation since it restricted liability towards suppliers or contractors having presented submissions.为此提到该款的措词允许作出有限度的解释,因其限制了对已提交投标文件的供应商或承包商的赔偿责任。
Article 17. Rejection of abnormally low submissions第17条. 否决异常低价提交书
209. The Committee noted that changes would be made to the title and text of this article in the light of the newly proposed definition “tender or other submission(s)” (see para. 60 above).209. 全体委员会指出,将按照新的拟议定义“投标书或其他提交书”(见上文第60段)修改本条的标题和案文。
210. It was proposed that the words “and/or” in square brackets in paragraph (1) be deleted.210. 有与会者建议删去第(1)款方括号中的“和(或)”两字。
211. A query was raised about the meaning of the term “constituent elements of a submission”, in response to which it was noted that the term referred to the aspects of a tender or other submission other than price, notably the quality of the subject matter of the procurement.211. 有与会者问“提交书的构成要素”的含义,对此据答复说,该词指的是投标书或其他提交书的非价格方面,特别是采购标的的质量。
A subsequent query was whether an abnormally low submission could be identified by reference to price alone, by reference to all elements of the submission without price or by reference to price in conjunction with the other constituent elements of the submission.随后又问,确定异常低价提交书是仅看价格、看提交书除价格之外的所有要素,还是看价格连同提交书的其他构成要素。
It was proposed that the phrase “the submitted price with the constituent elements of a submission” should be replaced with “the submitted price and/or the constituent elements of a submission” if it were intended to provide for all three possibilities.据建议,如果打算规定所有三种可能性,便应将“所提出的价格结合提交书的构成要素”一语改为“所提出的价格和(或)提交书的构成要素”。
Another view was that price must always be analysed in the context of other constituent elements of the submissions concerned.另一种意见认为,必须始终结合有关提交书的其他构成要素对价格进行分析。
The latter view prevailed, as a result of which the proposal to delete in paragraph (1) the words in square brackets “and/or” was accepted.与会者普遍赞成后一种意见,因此采纳了删去第(1)款方括号中“和(或)”两字的建议。
The amended paragraph was found to be generally acceptable.经此修改的本款得到普遍接受。
It was also proposed that relevant explanations should be provided in the guide.还有与会者建议在指南中作相关的解释。
212. As regards the use of the word “reasonable” in paragraph (1) (b), the view was expressed that the phrase set out in footnote 23 of document A/CN.9/WG.I/WP.69/Add.2 be used in lieu of the word “reasonable”, as it was a more objective formulation.212. 关于在第(1)(b)款中使用“合理”一词的问题,有意见表示,A/CN.9/WG.I/ WP.69/Add.2号文件脚注23中的短语是较为客观的表达方式,可替代“合理”一词。
This view was accepted and it was noted that consequent drafting changes to avoid repetition would be made in due course.这一意见得到了采纳,且有与会者指出,在适当时要作相应的措词修改,以避免重复。
Article 18. Rejection of a submission on the ground of inducements from suppliers or contractors or on the ground of conflicts of interest第18条. 以供应商或承包商的利诱或以利益冲突为由否决提交书
213. The Committee noted that changes would be made to the title and text of this article 18 in the light of the newly proposed definition “tender or other submission(s)” (see para. 60 above).213. 委员会指出,将按照新的拟议定义“投标书或其他提交书”(见上文第60段)修改第18条的标题和案文。
214. As regards new paragraph (b), the link between a conflict of interest and an unfair competitive advantage was queried.214. 关于新的(b)项,有与会者问利益冲突和不公平的竞争优势之间有何联系。
It was stated that those two concepts could arise independently of each other and support was expressed for separating the two concepts in the provisions as follows:据称,这两种概念可能彼此单独出现,与会者表示赞成在条文中将这两个概念分开,行文如下:
“(b) The supplier or contractor has [gained] an unfair competitive advantage [created by conflicts of interest or otherwise] or has a conflict of interest, in violation of the applicable standards.”“(b) 供应商或承包商违背适用标准而具有[取得了][利益冲突或其他原因形成的]不公平的竞争优势或有利益冲突。”
215. It was pointed out that, although an unfair competitive advantage might be expected to arise from a conflict of interest, this would not necessarily always be the case (for example, where the same lawyer represented both sides in the case).215. 有与会者指出,尽管不公平的竞争优势可能是因利益冲突而产生的,但并不一定始终是这种情况(例如,案件的双方当事人均由同一律师代表的情形)。
At the same time, it was explained that an unfair competitive advantage might be gained under unrelated circumstances (such as consolidation of businesses or a prior business relationship).同时,有与会者解释说,不公平的竞争优势也可能是在不相关的情形下取得的(如业务合并或以前的业务关系)。
216. It was queried whether the concepts of an “unfair competitive advantage” or a “conflict of interest” as set out in the text should be qualified by the word “material” or by another term that indicated that the conflict or advantage could be mitigated.216. 有与会者问,案文中的“不公平的竞争优势”或“利益冲突”的概念是否应以“具体的”一词或其他词语加以限定,表明冲突或优势是可以减弱的。
It was stressed that some conflicts could not be mitigated, such as those that might arise if a consultant who had participated in formulating the terms and conditions of the procurement subsequently presented a submission.有与会者强调说,有些冲突是无法减弱的,例如一名顾问参与拟定采购条款和条件后递交了提交书的情形。
Although it was added that some other conflicts or advantages could be mitigated through the provision of information to other suppliers, there was no support for the suggestion that either concept should be qualified as suggested.有与会者补充说,还有一些冲突或优势可以通过向其他供应商提供信息而削弱,但无人赞成按照建议对这两个概念加以限定。
217. Different views were expressed as to whether to retain the word “gained” in the provisions.217. 对于是否在条款中保留“取得了”一词,与会者表达了不同意见。
One view was that retaining it would create an additional, potentially superfluous, element.一种意见认为,保留该词会产生一个附加的而且可能是多余的因素。
The contrary view was that it was necessary to retain the word to indicate how an unfair competitive advantage had arisen.相反的意见认为,有必要保留这个词,以表明不公平的竞争优势是如何产生的。
The view prevailed that the word should be deleted.大多数意见认为应当删去这个词。
218. It was queried whether both references to conflicts of interest in the proposal were necessary.218. 有与会者问,提案中是否有必要两次提及利益冲突。
After debate, it was concluded that only one such reference should be made, and the prevailing view was to remove the phrase “created by a conflict of interest or otherwise” from the provisions, explaining the notion concerned in the guide.经讨论后得出的结论是只提及一次利益冲突,大多数意见赞成删去该条款中“利益冲突或其他原因形成的”一语,并在指南中解释相关的概念。
It was also agreed that the guide should explain the term “unfair competitive advantage”.与会者还一致认为,应在指南中解释“不公平的竞争优势”一词。
219. It was agreed to replace paragraph (1) (b) with the following two subparagraphs:219. 同意将第(1)(b)款改为以下两项:
“(b) The supplier or contractor has an unfair competitive advantage in violation of the applicable standards;“(b) 供应商或承包商违背适用标准而具有不公平的竞争优势;
(c) The supplier or contractor has a conflict of interest in violation of the applicable standards.”(c) 供应商或承包商违背适用标准而具有利益冲突。”
220. It was understood that references to the standards in both subparagraphs would be explained in the guide, which would highlight that those standards might evolve over time.220. 认为应在指南中解释提及标准的文字,强调这些标准可能会随着时间发生变化。
It was also understood that changes would be required in the title of the article to reflect the distinct concepts of conflict of interest and unfair competitive advantage.另外还认为需要对本条标题作改动,以反映利益冲突和不公平的竞争优势之间的区别。
221. In the view of one delegation, it would be desirable to incorporate procedures and safeguards against any unjustifiable rejection in cases referred to in newly proposed subparagraphs (b) and (c), drawing on the provisions of article 17 (1).221. 有一个代表团认为,应当参考第17(1)条的规定,列入防止在新提议的(b)和(c)项所述情况下出现任何不合理否决的程序和保障措施。
In response, it was suggested that it would be sufficient for the guide to encourage a dialogue between the procuring entity and an affected supplier or contractor.对此,有与会者指出,在指南中鼓励采购实体与受影响供应商或承包商进行对话就可以了。
222. The article as amended was found to be generally acceptable.222. 经修正的本条获得普遍接受。
Article 19. Acceptance of submissions and entry into force of the procurement contract第19条. 接受提交书和采购合同生效
223. The Committee noted that changes would be made to the title and text of article 19 in the light of the newly proposed definition “tender or other submission(s)” (see para. 60 above).223. 全体委员会指出应结合新提出的“投标书或其他提交书”(见上文第60段)的定义,修改第19条标题和案文。
Paragraph (2)第(2)款
224. The Committee had before it the following proposal for paragraph (2):224. 全体委员会收到了第(2)款的以下提案:
“(2) The procuring entity shall promptly notify all suppliers or contractors whose tenders or other submissions were evaluated of its intended decision to accept the successful tender or submission. The notice shall contain, at a minimum, the following information“(2) 采购实体应迅速将打算接受中选标书或提交书的决定通知标书或其他提交书得到评价的所有供应商或承包商。该通知至少应包含以下内容:
(a) The name and address of the supplier or contractor presenting the successful tender or submission;(a) 递交中选标书或提交书的供应商或承包商的名称和地址;
(b) The contract price or, where necessary, a summary of other characteristics and relative advantages of the successful tender or submission, provided that the procuring entity shall not disclose any information if its disclosure would be contrary to law, would impede law enforcement, would not be in the public interest, would prejudice the legitimate commercial interests of the suppliers or contractors or would impede fair competition;(b) 合同价格,或者,如有必要,概要说明中选标书或提交书的其他特点和相对优势,但条件是,如果某些资料的披露会违反法律、妨碍法律的执行、不符合公共利益、损害供应商或承包商的合法商业利益或妨碍公平竞争,则采购实体不应予以披露;
(c) The period before the entry into force of the procurement contract during which the suppliers or contractors concerned may seek review of the decisions of the procuring entity related to the ascertainment of the successful tender or submission (the standstill period shall be […] (to be determined by an enacting State)).”(c) 采购合同生效之前的一个期限,在此期间,有关供应商或承包商可寻求对采购实体关于确定中选标书或提交书的决定进行审查(停顿期应当为[……](由颁布国决定))。”
225. It was explained that subparagraph (b) should be expanded to accommodate national defence and national security considerations, to reflect the provisions that would be included in article 7 (6) (a) (ii).225. 据解释,应当扩大(b)项的范围,将国防和国家安全方面的考虑包括在内,以反映拟列入第7(6)(a)㈡条的规定。
The need to ensure consistency in any resulting provisions and draft article 21 was stressed.强调必须确保任何修订后条文与第21条草案之间的一致性。
226.
It was also explained that the newly proposed subparagraph (c) did not contain the following wording that appeared in the proposed article 19 (2) (c) in document A/CN.9/WG.I/WP.69/Add.2: “The standstill period shall be sufficiently long, to allow the suppliers or contractors concerned to seek where necessary the effective review in accordance with chapter VII of this Law, and shall run from the date of the dispatch of the notice to all the suppliers or contractors concerned in accordance with this paragraph.”226. 另据解释,新提议的(c)项不包含A/CN.9/WG.I/WP.69/Add.2号文件拟议第19(2)(c)条中的以下措词:“停顿期应当足够长,使有关供应商或承包商得以在必要情况下按照本法第七章寻求进行有效审查。 停顿期的起算日期应当是根据本款向所有有关供应商或承包商发送通知的日期。
It was suggested that this wording should be moved to the guide.”据指出,应将这些措词移到指南中。
The newly proposed wording would allow an enacting State, it was said, to specify the duration of the standstill period with a view to ensuring effective review in accordance with local circumstances.指出新提议的措词将允许颁布国规定停顿期的期限,以确保根据本国情况进行有效审查。
It was confirmed that the intention was to apply the same standstill period in the context of framework agreements.确认这样做的意图是在框架协议情况下也适用相同的停顿期。
227. A preference was expressed for reinstating the following words at the end of the proposed subparagraph (c): “and shall run from the date of the dispatch of the notice to all the suppliers or contractors concerned in accordance with this paragraph.”227. 有与会者表示偏向于在拟议的(c)项结尾处恢复以下措词:“并应当从根据本款向所有有关供应商或承包商发送通知之日起算。
The other view was that it would be better for provisions suggested for reinstatement to be reflected in the guide, as such provisions were closely connected to the administrative review systems of each enacting State that would determine when a standstill period should start.”另一种观点是,最好将建议恢复的条文放在指南中,因为这些规定与决定停顿期起点的每个颁布国的行政审查制度密切有关。
228. A query was made as to whether a standstill period could have any other logical starting point.228. 也有与会者询问停顿期是否可以有另一个符合逻辑的起点。
It was felt that, according to best procurement practice, there could not be a better starting point than the point in time at which all the suppliers or contractors concerned were appropriately notified about the outcome of the evaluation process.据认为,根据最佳采购做法,不可能有一个比所有有关供应商或承包商获得关于评审过程结果的适当通知之时更好的起点。
While some delegations expressed flexibility as regards the location of the provisions, other delegations insisted that they were sufficiently important to be reflected in the revised model law itself.一些代表团对这些条文的所在位置表示灵活性,但另一些代表团则坚持认为这些条文极为重要,足以载入示范法修订本本身。
229. It was noted that certainty for suppliers and contractors on the one hand and the procuring entity on the other hand as to the beginning and end of the standstill period was critical for ensuring both that the suppliers and contractors could take such action as was warranted and that the procuring entity could award the contract without risking an upset.229. 有与会者认为,停顿期起点和终点的确定性对供应商和承包商以及采购实体都关系重大,从而确保供应商和承包商可以采取必要的行动,而采购实体也可以授予合同,无事后推翻的风险。
For this reason, it was said, the date of dispatch would create the highest level of certainty and should be retained as the starting point for the standstill period.为此原因,据指出,发送通知的日期将确立最大限度的确定性,应当保留作为停顿期的起点。
The discussions that had taken place in 1994 on the question of effectiveness of the notification and that had been reflected in the 1994 Guide, to the effect that the date of dispatch was the date that provided for the most certainty, were recalled.会上回顾了1994年就通知的效力问题进行的讨论,这些讨论已反映在1994年《指南》中,其要点是发送通知的日期是可提供最大确定性的日期。
Another view was that the date of receipt should be the relevant date, because the standstill period should reflect the time available to the recipient to consider whether to lodge a request for review, and that some systems operated on this principle.另一种观点认为,收到日期才应是相关的日期,因为停顿期应当反映收件人可用于考虑是否提出审查请求的时间段,而且有些制度的运作以此为原则。
A further view was that the issue of determining whether the standstill period should start from the date of dispatch or receipt of the relevant notice should be left to enacting States.还有一种观点是,停顿期究竟从有关通知的发出或接收之日起算这个问题应当由颁布国决定。
A broad reference to the concept of “notification taking effect” to replace reference to the time of dispatch or receipt was also mentioned.还提到可概括地提及“通知生效”的概念,以取代发送或接收时间的措词。
However, concern was expressed that this concept would not be recognized in some jurisdictions.但是,有与会者表示关切,认为这一概念在有些法域不被承认。
230. A consensus emerged to reinsert the following words at the end of the proposed subparagraph (c): “and shall run from the date of the dispatch of the notice to all the suppliers or contractors concerned in accordance with this paragraph.”230. 一致认为应在拟议(c)项的末尾重新添加以下措词:“停顿期的起算日期应当是根据本款向所有有关供应商或承包商发送通知的日期。
231. The importance of sending a notice individually to each supplier or contractor concerned was highlighted.231. 会上强调了分别向每个有关的供应商或承包商发送通知的重要性。
Putting a notice on the website was considered to be insufficient.在网站上挂出一则通知被认为是不够的。
232. A concern was expressed about the deletion from the proposed subparagraph (c) of the provisions that required the standstill period to be sufficiently long to allow suppliers or contractors an effective review.232. 有与会者对拟议的(c)项中删除要求停顿期足够长以便供应商或承包商能够进行有效审查的规定表示关切。
A preference was expressed for reinstating this idea.倾向于恢复这一概念。
233. The other view was that paragraph (c) as proposed in paragraph 224 above was sufficient in that respect.233. 另一种观点是,上文第224段提出的(c)款在这方面已经足够。
It was observed that the concept “standstill period” had proved to be a difficult issue because of differences between review provisions in enacting States.据指出,因为颁布国关于审查的规定上的差别,“停顿期”概念已证明是一个难题。
Those States that had an effective administrative review system, it was recalled, were reluctant to introduce a standstill period because it was considered to cause delays in the process without bringing about a commensurate benefit.据回顾,那些建立了有效行政审查制度的国家不愿采用停顿期,因为认为这样会给采购过程带来拖延,而又没有相应的利处。
The newly proposed paragraph (c) was considered as a good compromise for accommodating the needs of States with various administrative review systems, in that it gave enacting States the discretion to determine the duration of the standstill period according to local requirements.新提出的(c)款被认为是一个良好的折衷办法,照顾到各种行政审查制度的国家的需要,因为它赋予颁布国根据本国需要决定停顿期长短的酌处权。
234. It was proposed that the revised model law might leave it up to enacting States to specify in their procurement law a minimum duration, rather than a fixed duration, for the standstill period.234. 有与会者建议,示范法修订本可让颁布国在其采购法中指明停顿期的最短期限,而不是一个固定的期限。
The understanding was that the procuring entity should then have flexibility in determining the exact duration of the standstill period appropriate for each procurement, subject to that statutory minimum.对此的理解是如此一来采购实体应享有灵活性,可根据这种法定最短期限决定适合每次采购的停顿期准确期限。
The provisions of the new article 8 were recalled in this context, which gave the discretion to the procuring entity to choose the means of communication in the procurement proceedings.在这方面,回顾了新的第8条规定,该条赋予采购实体酌处权,其可以选择采购程序中使用的通信手段。
It was noted that the appropriate duration of the standstill period would depend to a considerable extent upon the main means of communications used and whether procurement was domestic or international.据指出,停顿期的适当期限将在相当程度上取决于所使用的主要通信手段以及采购是国内还是国际的。
235. It was noted that the discretion of the procuring entity to determine the exact duration of the standstill period in the light of the specific factors of individual procurement (while within the prescribed minimum) should be coupled with an obligation upon the procuring entity to disclose the exact duration of that period in the solicitation documents.235. 有与会者指出,采购实体根据每次采购的特定因素决定停顿期的具体期限(在规定的最低限度范围内)这一酌处权应同时附带有一项义务,这就是采购实体必须在招标文件中披露该期限的具体长度。
The importance of disclosing such information from the outset of the procurement was highlighted given the impact that such information would have on suppliers or contractors.强调了从采购一开始即披露这种信息的重要性,因为这种信息将对供应商或承包商产生影响。
236. The other view was that the greater need was to ensure certainty, which, it was said, would only be achieved by the use of a defined period in the text.236. 另一种观点是,更需要确保确定性,据称,只有通过在案文中使用一个规定的期限才能做到这一点。
In addition, it was queried what the impact would be if the standstill period were lengthy, because the overall objectives of the revised model law included certainty, transparency and efficiency.另据询问,如果停顿期漫长将会有什么影响,因为示范法修订本的总体目标包括确定性、透明度和效率。
In this regard, it was suggested that enacting States would need flexibility to stipulate the period itself.在这方面,指出颁布国将需要有灵活性,自行规定该期限。
237. The Committee entrusted the Secretariat to revise the provisions in relevant part along the following lines: “The standstill period shall be at least (…[specific number of days to be determined by the enacting State]) days,” on the understanding that article 27 would stipulate that the exact standstill period applicable for each procurement had to be included in the solicitation documents.237. 全体委员会委托秘书处按照以下思路修订相关部分的条文:“停顿期应当至少(……[由颁布国确定具体天数])天,但有一项谅解,即第27条将规定,每次采购所适用的准确停顿期将包括在招标文件中。
It was noted that the reference in the text to “at least” would be consistent with the wording in the WTO Agreement on Government Procurement and the European Union remedies directive.据指出,案文中提及“至少”二字,符合《世贸组织政府采购协议》和欧洲联盟补救指令的措词。
238. It was considered that the guide should explain the impact that the duration of the standstill period would have on overall objectives of the revised model law as regards transparency, accountability, efficiency and equitable treatment of suppliers or contractors.238. 据认为,指南应解释停顿期长短对示范法修订本在透明度、责任制、效率和供应商或承包商平等待遇方面总体目标将产生的影响。
It was also understood that the guide would explain the impact of a lengthy standstill period on the costs that would be considered and factored in by suppliers or contractors in their submissions and in deciding whether to participate.还有一项谅解是指南将解释停顿期漫长对费用的影响,供应商或承包商将会在其提交书中并在决定是否参加时考虑和计入这些因素。
239. A query was raised as regards the guidance that should be provided to enacting States on the duration of the standstill period.239. 有与会者问应在停顿期期限方面给予颁布国什么指导。
In response, it was explained that the aim of the standstill period was to allow suppliers or contractors sufficient time to decide whether to protest the procuring entity’s intended decision to accept the successful submission.对此,据解释说,停顿期的目的是使供应商或承包商能够有足够时间决定是否应就采购实体打算接受中选提交书的决定提出抗议。
The standstill period was, therefore, supposed to be relatively short.因此停顿期应当相对较短。
It was also explained that once the protest had been submitted, the provisions on review proceedings would address a suspension of the procurement procedure.另据解释,一旦提出抗议,有关审查程序的规定将述及暂停采购程序的问题。
Local and regional regulation of the duration of the standstill period was mentioned.提到了有关停顿期期限的当地和区域规定。
For example, it was noted that in the European context it was considered that a period of around 10 days should be provided to suppliers to decide whether to initiate review proceedings.例如,据指出,在欧洲环境下,认为应给予供应商10天左右的期限来决定是否启动审查程序。
Local regulations therefore provided for a standstill period of 10 calendar days in cases where the notice was sent electronically and for a period 15 calendar days in other cases.因此当地条例规定,在以电子方式发送通知的情况下,停顿期为10个历日,但在其他情况下为15个历日。
The reason for the difference, it was said, was to ensure equality of treatment, by allowing for the additional time that would be required for a notice sent by traditional mail to reach overseas suppliers.据指出,有所区别的原因是为了确保公平对待,考虑到以传统邮寄方式发送的通知到达海外供应商所需的额外时间。
It was suggested that these considerations should be reflected in the guide.认为应在指南中反映这些考虑因素。
240. A query was made as to whether the provisions include an express requirement for the procuring entity to notify unsuccessful suppliers or contractors of the fact that they had not been successful and of the grounds for that decision.240. 有与会者问本规定是否明确要求采购实体向未中标供应商或承包商通知未中标事宜,以及作出该决定的理由。
In response, it was observed that providing a full statement of the grounds to each supplier or contractor might be burdensome.对此,据指出,向每个供应商或承包商充分说明理由可能负担太重。
In this context, the Committee was informed of positive experience with debriefing in some jurisdictions and it was observed that debriefing would represent best practice.在这方面,全体委员会了解到有些法域在简况汇报方面的良好经验,指出简况汇报是最佳做法。
At the same time, the difficulty of providing for a mandatory and enforceable regulatory regime for debriefing was highlighted, particularly in the light of the widely varying scope of debriefing from one procurement to another.同时也强调了建立强制性和可执行的汇报管理制度所存在的困难,特别是因为不同的采购中,汇报范围相差很大。
It was therefore suggested that it would be useful to address the issues of debriefing only in the guide.因此认为仅在《指南》中述及汇报问题将不无助益。
241. In order to remove a perceived ambiguity in the provisions as regards the reference to “suppliers or contractors concerned”, the suggestion was made to refer consistently in subparagraph (c) either to “suppliers or contractors that did not win” or to “suppliers or contractors whose submissions were evaluated”.241. 为了消除对条文中“有关供应商或承包商”这些措词所察觉到的语义模糊,有与会者建议,在(c)项中保持一致,要么指称“未中标的供应商或承包商”,要么是“提交书被评审的供应商或承包商”。
The latter formulation was preferred as being consistent with the chapeau provisions of paragraph (2) (while, it was said, the former would exclude from the group of recipients of the notice the winning supplier, which would contradict the intention of the provisions).倾向于选用后面这种措词,因为其与第(2)款前导句条文相一致(而据称,前一种措词将从接收通知的群体中排除中标供应商,这将与条文的用意相悖)。
Paragraph (3)第(3)款
242. Support was expressed for retaining the wording of paragraph (3) as it appeared in A/CN.9/WG.I/WP.69/Add.2.242. 有意见表示赞成A/CN.9/WG.I/WP.69/Add.2号文件所载的第(3)款的措词。
It was suggested that in the course of considering paragraph (11) and the related provisions of article 55 (3) (e), the Committee might consider referring in paragraph (3) to open framework agreements and deleting paragraph (11).有与会者建议,全体委员会在审议第(11)款和第55(3)(e)款的有关规定的过程中,可考虑在第(3)款中提及开放式框架协议并删去第(11)款。
243. The Committee deferred consideration of paragraph (3).243. 全体委员会推迟审议第(3)款。
244. The Committee proceeded with consideration of paragraphs (8) and (11) of the article, noting that other provisions of the article did not raise any outstanding issues.244. 全体委员会接下来审议本条第(8)和(11)款,因为注意到本条其他条款没有引起任何尚未解决的问题。
Paragraph (8)第(8)款
245. It was suggested that the following words should be deleted from the proposed text: “that [are in force] [remain valid]”, and that the guide should explain that the award under the provisions in these circumstances should be to the next lowest priced or the lowest evaluated submission.245. 有与会者建议删去拟议案文中的以下词语:“[有效][仍然有效]”,并在《指南》中解释,在这些情形下按照规定应将合同授予价格次低的或估价最低的提交书。
The point was made that the provisions should be redrafted to provide more clarity.有与会者指出,应当改写这些规定,使之更加清楚明确。
246. No objection was raised to these suggestions.246. 没有人对上述建议表示反对。
Paragraph (11)第(11)款
247. Having noted the connection between paragraph (11) and draft article 55 (3) (e) and a statement made by a delegation in connection with paragraph (3) (see para. 242 above), the Committee deferred consideration of the paragraph.247. 全体委员会注意到第(11)款同第55(3)(e)条草案之间的联系以及一个代表团就第(3)款所作的声明(见上文第242段),因而推迟审议本款。
Article 21.第21条. 保密
Confidentiality
248. It was proposed that: in paragraph (1) the word in square brackets “inappropriate” should be deleted; in paragraph (2) the words “except as provided in chapter IV” should be inserted and the words “pursuant to articles in chapter IV of this Law” should be deleted; and a new paragraph (3) should be added reading “the procuring entity may impose on suppliers or contractors requirements aimed at protecting the classified information with regards national defence or national security they communicate throughout the tendering and contracting procedure.248. 有与会者提出建议:删去第(1)款中方括号内“不适当的”一词;在第(2)款中添加“第四章的规定除外”,并删去“按照本法第四章的条款”字样;添加新的第(3)款,行文如下:“采购实体可规定供应商或承包商必须遵守一些要求,目的是保护其在招标和订约程序期间传送的关于国防或国家安全的机密信息。
It may also request these suppliers or contractors to ensure compliance with such requirements by their subcontractors.”采购实体还可要求这些供应商或承包商确保其分包商也遵守这些要求。
Paragraph (1)第(1)款
249. General support was expressed for deleting the word “inappropriate”.249. 与会者普遍表示赞成删去“不适当的”一词。
Paragraph (2)第(2)款
250. The proposals as regards paragraph (2) (see para. 248 above) were stated to be unacceptable to some delegations, as they excluded the provisions of chapter IV from the application of the article.250. 有与会者说,关于第(2)款的建议(见上文第248段)对某些代表团来说是无法接受的,因为这些建议规定该条不适用于第四章的规定。
It was noted that draft article 21 was based on repetitive provisions of the 1994 Model Procurement Law regulating procurement methods involving negotiations.有与会者指出,第21条草案所依据的是1994年《采购示范法》中规范有谈判的采购方法的重复规定。
It was stressed that provisions of paragraph 2 were particularly valid in the context of chapter IV, which dealt with such procurement methods.有与会者强调说,第四章涉及这类采购方法,因此第(2)款的规定在第四章的情形下尤为有效。
251. The relevance of the article to all procurement methods was highlighted.251. 有与会者强调了本条对所有采购方法的适用性。
The essence of the article was seen as preserving the comparative advantage that a supplier might have over another (such as technical excellence), which should not be compromised during the process, and which might be at particular risk where negotiations took place.据认为,本条实质上保全某一供应商相对于另一供应商的比较优势(如技术特长),这种优势不应在程序期间受到损害,而在进行谈判的情况下,这种优势可能遭遇特别风险。
252.
Some drafting improvements were suggested, such as that provisions should be redrafted: (a) to ensure consistency with the provisions of article 19 (2) (b) (the broader formulation in article 19 (2) (b) being preferable to some delegations, though it was also questioned whether it would be appropriate to repeat all references in that article in article 21); (b) to reflect the introduction of a new procurement method – request for proposals with competitive dialogue – by referring where appropriate to dialogue; (c) to covey the idea that a confidentiality requirement would also apply to information exchanged in the course of negotiations or dialogue; and (d) to use the phrase appearing at the beginning of paragraph (2) with an added reference to dialogue throughout the article, as appropriate.252. 与会者提出了一些措词上的改进意见,如改写条文,目的是:(a)确保与第19(2)(b)条的规定相一致(一些代表团赞成第19(2)(b)条中较为广义的表达方式,但也有人问,在第21条中重复第19条中的所有引证条目编号是否适当);(b)在适当处提及对话,以反映所添加的新采购方法—竞争性对话征求建议书;(c)表明保密要求也适用于在谈判或对话过程中所交流的信息;(d)使用第(2)款开头的语句,并在本条各处酌情增加提及对话。
New paragraph (3)新的第(3)款
253. Support was expressed for including a new paragraph (3) as proposed in paragraph 248 above.253. 有与会者支持列入上文第248段提议的新的第(3)款。
Other delegations opposed the inclusion of the suggested provisions in article 21 while yet other delegations questioned the need for a new paragraph (3) in article 21 in the light of proposed relevant changes to article 8.另一些代表团反对在第21条列入提议的规定,还有些代表团考虑到提议对第8条作出的相关改动,对是否有必要在第21条列入新的第(3)款表示怀疑。
It was also pointed out that the proposed wording for a new paragraph (3) was facilitative, not mandatory, and thus might be inappropriate for the revised model law.另据指出,新的第(3)款的拟议行文是提供方便,而不是强制性的,因此可能不适合列入示范法修订本。
254. A preference was expressed for locating the proposed provisions in article 7 (6) or 8.254. 有与会者倾向于将拟议规定列入第7(6)条或第8条。
The understanding was that article 21 had a broad scope, was applicable to all procurement regardless of the sector in which it took place, and was intended to protect parties in the procurement proceedings rather than the subject matter of the procurement (which para. (3) addressed).认为第21条范围广泛,适用于所有采购而与采购发生在哪个部门无关,并且该条意在保护采购过程中的当事人而不是采购标的(这是第(3)款涉及的内容)。
The other view was that the location of the provisions in article 21 was appropriate.另一种观点认为,将本规定放在第21条是合适的。
255. While flexibility was expressed as regards their location, the need for the provisions was emphasized in the light of the Working Group’s decision to expand the scope of the 1994 Model Procurement Law to include procurement in the national defence and national security sectors.255. 虽然认为应灵活处理本规定的所在位置,但强调指出,鉴于工作组决定扩大1994年《采购示范法》的范围,将国防和国家安全部门的采购包括在内,因此本规定是必要的。
It was considered that this expanded scope would have to be reconsidered if the particular characteristics of defence and national security sectors were not accommodated.据认为,如果不考虑国防和国家安全部门的特殊性,则必须重新审议这种扩大范围的问题。
256. It was suggested that there were several possible solutions to the question of principle.256. 据指出,对这一原则问题有几种可能的解决办法。
The first would be to adopt the solution of the 1994 Model Procurement Law to exclude defence procurement, which was a solution that this Committee and the Working Group before it had rejected.第一种是采取1994年《采购示范法》的解决办法,将国防采购排除在外,这是本全体委员会及在它之前工作组曾经否决的办法。
Such a solution was not accepted by some delegations on the ground that their jurisdictions sought guidance from UNCITRAL as regards procurement in the defence sector.有些代表团不接收这种办法的理由是,他们的法域寻求贸易法委员会就国防部门的采购提供指导。
257. It was not questioned that the decision of the Working Group to expand the scope of the 1994 Model Procurement Law to include national defence and national security was a significant achievement.257. 没人质疑工作组关于扩大1994年《采购示范法》的范围而将国防和国家安全包括在内的决定是一项重大成就。
There was also no dispute about the need to provide for special treatment in the light of specific features of this sector procurement.在有必要根据这一部门采购的具体特点规定特殊处理方法方面也无争议。
However, questions were raised about the desirability of including provisions in article 21 and, more broadly, about ways of accommodating this sector in the revised model law (a question that required in-depth consideration and involved taking account of which entities would undertake such procurement).但在第21条列入这些规定是否可行以及更广泛说在示范法修订本以何种方式顾及这一部门方面,提出了疑问(这一问题需要深入审议,并需要考虑到进行此类采购的是哪些实体)。
258. The alternative to a blanket exclusion, it was said, was to address the procurement in this sector in one of the following ways.258. 据指出,作为相对于完全排除以外的一种方法,可以采用以下方式之一处理这一部门的采购。
The first way would be to treat defence procurement as procurement with piecemeal exceptions where necessary, i.e. the current approach.第一种方式是必要时将国防采购视为个别例外的采购,也就是当前采取的办法。
It was noted that the experience at the current session showed that this method of work would be time-consuming and might ultimately not be productive.据指出,本届会议的经验表明这种工作方法非常耗时,而且最终未必有效。
259. The second way would be to introduce provisions in a separate chapter or a new model law on defence procurement, an approach that had been taken in the European Union and at least one of its member States.259. 第二种方式是在单独一章或一部关于国防采购的新示范法中列入有关规定,这是欧洲联盟及其至少一个成员国采取的办法。
It was noted that that had been a significant task, one that had taken several years of work.据指出,这是一项非常艰巨的任务,花费了数年时间。
This approach also presupposed detailed regulation of an area that had traditionally been considered to fall within the sovereign prerogative of enacting States to regulate, independently, according to their own national defence policy.如果采取这种办法,还必须对一个传统上被认为属于颁布国主权特权范围内、根据本国国防政策进行独立规范的领域作出详细规定。
Finally, it was noted that such a chapter would be limited in scope as it would not take into account sensitive procurement outside the defence sector.最后,据指出,这种章节的范围将会有限,因为它不考虑国防部门以外的敏感采购。
260. An alternative solution would be to provide a general or partial exemption from the provisions of the revised model law in article 1, by narrowing the ambit of the 1994 Model Procurement Law exemption to ensure that it addressed strictly defence procurement and could not be abused.260. 另一种解决办法是规定示范法修订本第1条条文的一般或部分例外情形,缩小1994年《采购示范法》的例外范围,以确保这种例外严格涉及国防采购,而且不会被滥用。
Alternative suggestions were to place issues arising as regards confidentiality and defence procurement in a single location rather than including repetitious references to national defence and national security procurement.其他建议包括单独在一处统一处理机密性和国防采购方面的问题,而不是重复提及国防和国家安全采购。
A preference was expressed for article 7 for such a provision or to bring the relevant provisions of article 8 to article 21.倾向于将这种规定放在第7条,或者将第8条的有关规定移至第21条。
261. After deliberation, consensus was reached on the need for appropriate provisions to address confidentiality in defence procurement and on the fact that this was one aspect of a larger debate about how to accommodate the special nature of defence procurement.261. 经审议后,达成了一种共识,即有必要述及国防采购机密性的适当条文,这是关于如何顾及国防采购特殊性质的广泛辩论的一个方面。
262. Although some delegations were of the view that the Secretariat should be entrusted to draft appropriate provisions to accommodate sensitive procurement, primarily in the defence sector, other delegations did not consider it feasible for the Secretariat to fulfil this task without clear guidance from the Committee on how defence sector and other sensitive procurement should be approached in the revised model law.262. 尽管有些代表团认为应委托秘书处起草适当条文以顾及敏感采购,主要是国防部门的采购,但另一些代表团认为,没有全体委员会关于如何在示范法修订本中处理国防部门采购和其他敏感采购的明确指导,让秘书处完成这项工作是不可行的。
263. The point was made that a comprehensive consideration of the topic was unavoidable and it would be preferable to hold such consideration without reference to each provision of the draft revised model law.263. 有观点认为,全面审议这一议题将不可避免,最好在不针对示范法修订本草案每项规定的情况下进行这种审议。
The following questions were identified for comprehensive consideration of the defence sector procurement: (a) the specific needs of this sector, such as the treatment of classified information; and (b) ways to accommodate such needs.为全面审议国防部门采购确定了以下问题:(a)该部门的特殊需要,例如机密信息的处理;(b)顾及这些需要的方法。
In that regard, it was noted that the specific needs of procurement in the defence sector might arise from either the sensitive nature of the subject of the procurement or from the treatment of classified information even if the subject was not sensitive (for example, when the need arose to ensure confidentiality of information about a delivery schedule or the location of delivery), or both.在这方面,据指出,国防部门采购具有特殊需要的原因可能在于采购标的的敏感性,或即使采购标的不敏感情况下机密信息的处理(例如在必须确保交付日期或交付地点信息的机密性时),或者这两者兼有之。
264. The other suggestion was that, instead of considering the topic separately and comprehensively, the Committee should continue examining provisions of the draft revised model law and look into issues pertaining to defence sector procurement in conjunction with relevant articles of the draft revised model law.264. 另一种建议是,不对该议题进行单独的全面审议,而是全体委员会继续审查示范法修订本草案的规定,并结合示范法修订本草案的有关条款研究与国防部门采购有关的问题。
That approach, it was said, would assist delegations in obtaining a comprehensive picture of the exemptions needed to be provided for in the revised model law, in order to accommodate sensitive procurement.据指出,这种方法将有助于各代表团对示范法修订本需要规定例外情形以顾及敏感采购的情况有一个全面了解。
The view was reiterated that such a review should not be limited to defence procurement alone but, rather, should address sensitive procurement in general.重申这种审查不应仅限于国防部门,而是应涉及所有的敏感采购。
265.
The prevailing view was that the decision of the Working Group to include procurement in the defence sector within the scope of the revised model law, on the basis of the views expressed within the Working Group to justify inclusion, should be endorsed, and that the Secretariat should be entrusted with preparing drafting suggestions for further consideration by the Working Group taking into account the following considerations: (a) in this sector, recourse to direct solicitation and procurement methods alternative to tendering should be allowed; (b) special measures for protecting classified information should be envisaged; (c) the specific characteristics of procurement in this sector should be reflected in the provisions regulating the content of the record of procurement proceedings and access to the record; and (d) in drafting provisions to accommodate the procurement in the defence sector, repetitions should be avoided.265. 普遍认为应当根据工作组内就纳入理由所表达的各种观点,核可工作组关于将国防部门采购纳入示范法修订本范围的决定,并委托秘书处结合以下方面的考虑编拟起草建议供进一步审议:(a)应当允许该部门采用直接招标和非招标采购方法;(b)应当制定保护机密信息的特殊措施;(c)在规范采购过程记录的内容及其查询的条文中,应当反映该部门采购的具体特点;(d)在起草顾及国防部门采购的条文时,应当避免重复。
266. It was also the understanding that the provisions in the revised model law on procurement in the defence sector would be accompanied by the provisions in the guide, explaining grounds for special measures that might be taken by the procuring entity to protect classified information, including in the supply chain.266. 还认为示范法修订本中有关国防部门的条文应当附有指南案文,解释采购实体为保护机密信息包括供应链中的机密信息而可采取的特殊措施。
Article 22. Record of procurement proceedings第22条. 采购过程的记录
Paragraph (1)第(1)款
267. It was proposed that:267. 与会者建议:
(a) Subparagraphs (b) and (e) should be revised to provide for the possibility of more than one procurement contract resulting from procurement proceedings;(a) 修订(b)和(e)项,以考虑到采购过程产生不止一个采购合同的可能性;
(b) Reference to socio-economic factors and the manner of their consideration in the evaluation process should be added to subparagraph (f);(b) 在(f)项中添加提及社会经济因素和在评审过程中如何考虑这些因素的内容;
(c) In subparagraph (g), the Committee’s agreement to use the term “cancellation of the procurement” (see para. 185 above) should be reflected;(c) 在(g)项中,应当反映全体委员会关于使用“取消采购”一词的一致意见(见上文第185段);
(d) In subparagraph (k) the words “and [any other information that the Working Group decides to add]” should be deleted;(d) 在(k)项中,删除“以及[工作组决定补充的任何其他资料]”;
(e) In subparagraph (l), the words “of services” and “on which the procuring entity relied to justify the selection procedure used” should be deleted, and that the subparagraph would remain in square brackets pending consideration of chapter IV.(e) 将(l)项改为“在采用第四章方法进行采购的情况下,第41条第(2)款所规定的理由和情况说明”,在审议第四章之前,该项应继续放在方括号内。
Paragraph (2)第(2)款
268. It was proposed that the paragraph should be revised to provide for the possibility that more than one procurement contract might result from procurement proceedings.268. 有与会者建议修订本款,以考虑到采购过程可能产生不止一个采购合同的情况。
Paragraph (4)第(4)款
269. The proposal was that the beginning of the paragraph should be expanded to read “except when ordered to do so by a competent court or competent authority”.269. 有与会者建议将本款开头扩展为“除主管法院或主管机构下令”。
It was further proposed that the suggested additional reference to competent authority should be explained in the guide (in particular that a competent authority might include the parliament or auditor general and might vary among enacting States).另外还建议,应在指南中解释为何还要提到主管机构(尤其是可能包括议会或审计长在内,并且各颁布国可能有所不同的主管机构)。
Another view was that the wording should read “except when ordered to do so by a competent authority”, with an explanation in the guide that the term “competent authority” referred to both the court and to competent administrative authorities, including oversight bodies.另一种观点是,将措词改为“除主管机构下令”,并在指南中解释“主管机构”既指法院,也指主管行政机构,包括海外机构。
270. Strong support was expressed for retaining the provisions as they were. It was highlighted that the provisions referred to exceptional cases when disclosure should be authorized (for example, when such disclosure would be “contrary to law”).270. 有与会者强烈支持原样保留本规定,强调本规定提及的是应当授权披露的例外情形(例如在这种披露“违反法律”时)。
It was clarified that in such exceptional cases, any competent authority might request disclosure but that the final decision as to whether such disclosure must take place should be a judicial one.与会者解释说,在这些例外情形下,任何主管机构都可要求予以披露,但关于是否必须进行这种披露的最后决定应当是一种司法决定。
The impartiality of the judiciary and the risk that other branches might not be independent were highlighted in this respect.在这方面强调了司法部门的公正无私以及其他机构也许并不独立的可能性。
271. A further suggestion was to keep the text as it was, with an explanation in the guide that other competent authorities might be authorized under applicable local regulations to order disclosure of information in the cases specified in subparagraphs (a) and (b).271. 另一种建议是原样保留案文,但在指南中解释可根据当地适用的条例,授权其他主管机构在(a)和(b)项规定的情况下令披露信息。
Opposition was expressed to that suggestion. It was felt that the revised model law should provide minimum essential requirements.有与会者反对这一建议,认为示范法修订本应规定最低的基本要求。
272. Support was expressed for the suggestion that the opening words should read “except when ordered to do so by a competent court or administrative organ referred to in article 58 of this Law”. It was explained that this wording restricted the pool of administrative authorities that could be authorized to order disclosure in the exceptional cases referred to in the paragraph.272. 有与会者支持将开头的字词改为“除本法第58条提及的主管法院或主管行政机构下令”,并解释说这种措词对可授权哪些行政机构在本款提及的例外情形下下令披露信息作出了限制。
273. Another suggestion was to add the following words “and/or competent authority or administrative agency” in square brackets, so that the enacting State could select the text according to the local circumstances.273. 另一种建议是添加“和(或)主管机构或主管行政机构”等字,并放在方括号内,从而使颁布国能够根据本国情况选择案文。
274. No consensus on the provisions was reached and it was decided to include the various proposals in square brackets for further consideration.274. 没有就本规定达成共识,决定将各种建议放在方括号内,供今后审议。
It was also noted that the wording chosen for paragraph (4) (a) might also affect similar provisions in paragraph (3), and therefore consistency would need to be ensured for similar circumstances.另据指出,第4(a)款选用的措词也可能影响到第(3)款的类似规定,因此需要确保类似情况下的一致性。
275. It was also suggested that the opening words in paragraph (4) (a) should be redrafted to read “information from the record of the procurement proceedings”.275. 还有与会者建议,第4(a)款开头的字词应改为:“采购过程记录中载列的信息。
Another suggestion was to redraft the chapeau provisions and paragraph (a) in positive terms to add clarity since, it was felt, the current wording could be interpreted in different ways.”另一项建议是以肯定语气重拟起首条款和(a)款,以增加确定性,因为认为现有措词可能会有不同的解释。
Paragraph (5)第(5)款
276. A query was made as to whether the wording of paragraph (5) might imply that there was no obligation to maintain the record, contrary to the provisions of paragraph (1).276. 有与会者质疑第(5)款的措词是否可能意味着没有义务保存记录,这与第(1)款的规定相反。
It was proposed that the words “without prejudice to chapter VII” should be added at the beginning of the paragraph in order to avoid such an interpretation.因此建议在本款开头添加“在不影响第七章规定的情况下”等字,以避免作此种解释。
277. An alternative proposal was made for paragraph (5) to be deleted in the light of chapter VII, in particular article 56, of the draft revised model law.277. 另一种建议是,鉴于示范法修订本草案第七章尤其是第56条的规定,应当删除第(5)款。
It was pointed out that the suppliers or contractors might seek damages against the procuring entity under these provisions for not maintaining the record as required under article 22.据指出,供应商或承包商可能会按照这些规定,就没有按第22条要求保存记录这一点向采购实体寻求赔偿。
In this regard, it was noted that the supplier or contractor would be obliged to demonstrate loss or injury in order to substantiate a claim for damages under the review provisions.在这方面,有与会者指出,供应商或承包商要想按照关于审查的规定提出索赔要求的话,必须证明损失或伤害。
The fact of an insufficient record, it was stated, could not, in and of itself, be grounds for the claim.据指出,记录不充分本身并不能成为索赔理由。
278. The other view was that the provisions should be retained for the same reasons as those expressed with regard to paragraph (2) of article 16 (see paras. 205 and 206 above), notably that they made it clear that the failure of the procuring entity to maintain the record in accordance with article 22 did not automatically give rise to liability on the part of the procuring entity.278. 另一种观点认为应当保留本规定,理由与针对第16条第(2)款提出的理由(见上文第205和206段)相同,特别是本规定明确指出,采购实体未按第22条要求保存记录并不自动意味着采购实体负有赔偿责任。
The provisions indicated, it was further explained, that the burden of proof as regards liability was on the supplier or contractor.另外还解释说,本规定表明应由供应商或承包商承担赔偿的举证责任。
The provisions were considered to be of assistance to the procuring entity as a safeguard against unjustifiable protests.认为本规定有助于保障采购实体免遭不合理的抗议。
279. Consensus was that the provisions should be deleted.279. 达成的共识是,应当删除本规定。
It was proposed that the guide should explain that the consequences of a failure to maintain the record might be regulated by other rules applicable in enacting States.建议指南作出如下解释:可由颁布国的其他适用规则来规范没有保存记录所造成的后果。
Period of time during which the record had to be preserved记录必须保存的一段期间
280. A proposal to include a minimum or maximum period for retention of the record, to reflect (for example) contractual limitation periods, did not gain support since there would be no universally acceptable period.280. 有与会者建议规定保留记录的最短或最长期间,以反映(例如)合同的时效期限,该建议没有得到支持,因为不会有一个普遍接受的期间。
This was considered to be a question to be addressed within the enacting State.认为这是一个应由颁布国处理的问题。
Future work今后的工作
281. The understanding in the Committee was that the Secretariat should be requested to prepare new draft provisions of the revised model law to reflect deliberations at the current session.281. 全体委员会内认为,应当请秘书处编写示范法修订本新的条文草案,以反映本届会议的审议情况。
The idea of holding inter-session informal consultations was supported.与会者支持举行闭会期间非正式协商会议的想法。
The importance of ensuring inclusiveness and as wide a geographical representation of participants as possible in such consultations was highlighted.强调在这些协商会议上,应确保包容性和与会者尽可能广泛的区域代表性。
The Secretariat was requested to make all efforts within available resources to provide the relevant documents in the six official languages of the United Nations.请秘书处在可用资源范围内尽一切努力,以联合国所有六种正式语文提供有关文件。
Report of the deliberations审议情况报告
282. The Committee considered the draft report of its deliberations and proposed amendments thereto.282. 全体委员会审议了其审议情况报告草稿,并提出了有关修改。
It agreed to recommend to the Commission the adoption of the report as amended.全体委员会建议贸易法委员会通过经修订的报告。
D. Decisions by the Commission with respect to agenda item 5D. 贸易法委员会关于议程项目5的决定
283. The Commission took note of the report of the Committee of the Whole.283. 贸易法委员会注意到全体委员会的报告。
In particular, the Commission noted the Committee’s conclusion according to which the revised model law was not ready for adoption at this session of the Commission.委员会特别注意到全体委员会关于示范法修订本尚未准备完毕,无法供委员会本届会议通过的结论。
The Commission further noted that the Committee was able to consider only chapter I of the draft revised model law and, although some issues were still outstanding from this chapter, most provisions thereof had been agreed upon.委员会还注意到,全体委员会只审议了示范法修订本草案的第一章,尽管该章有些问题尚未解决,但就大部分条文达成了一致。
The Commission also noted that the Committee had requested that the Secretariat be entrusted with preparing drafting suggestions, for consideration by Working Group I (Procurement), to address those outstanding issues.委员会还注意到,全体委员会请求委托秘书处编写处理这些未决问题的起草建议,供第一工作组(采购)审议。
The Commission further noted that the Committee had recommended the adoption of the report.委员会还注意到全体委员会建议通过本报告。
284. The Commission adopted the report of the Committee of the Whole as recommended.284. 委员会根据建议通过了全体委员会的报告。
It also took note of the reports of Working Group I on the work of its fourteenth to sixteenth sessions (A/CN.9/664, A/CN.9/668 and A/CN.9/672) and requested the Working Group to continue its work on the review of the 1994 Model Procurement Law.委员会还注意到第一工作组第十四届至第十六届会议的工作报告(A/CN.9/664、A/CN.9/668和A/CN.9/ 672),请工作组继续开展1994年《采购示范法》的审查工作。
285. The importance of completing the revised model law as soon as reasonably possible was highlighted.285. 委员会强调了尽早完成示范法修订本的重要性。
It was emphasized that the revised model law would have considerable impact on ongoing procurement law reforms at the local and regional levels.强调示范法修订本将对地方和区域一级现行的采购法改革产生重大影响。
Guidance from UNCITRAL in the procurement field was in particular sought on such issues as electronic reverse auctions, framework agreements, e-procurement in general, competitive dialogue and procurement in the defence sector.在电子逆向拍卖、框架协议、整个电子采购、竞争性对话以及国防部门采购等问题上,各国尤其寻求贸易法委员会在采购领域的指导。
The importance of UNCITRAL outreach activities was also underscored and the UNCITRAL secretariat was encouraged to increase its promotional efforts for a more widespread use of its uniform law standards in procurement and other areas.还强调了贸易法委员会宣传活动的重要性,鼓励贸易法委员会秘书处加强宣传工作,以便在采购和其他领域广泛采用贸易法委员会的统一法律标准。
(For the two forthcoming sessions of the Working Group, see subpara. 437 (a) below).(关于工作组即将举行的两届会议,见下文第437(a)段)。
V. Arbitration and conciliation: progress report of Working Group II五. 仲裁和调解:第二工作组进度报告
286. The Commission recalled that, at its thirty-ninth session, in 2006, it had agreed that Working Group II (Arbitration and Conciliation) should undertake a revision of the Arbitration Rules of the United Nations Commission on International Trade Law (the UNCITRAL Arbitration Rules).286. 委员会回顾,委员会2006年第三十九届会议商定第二工作组(仲裁和调解)应当对《联合国国际贸易法委员会仲裁规则》(《贸易法委员会仲裁规则》)进行修订。
287. It was also recalled that at that session, the Commission had noted that, as one of the early instruments developed by UNCITRAL in the field of arbitration, the UNCITRAL Arbitration Rules were widely recognized as a very successful text, having been adopted by many arbitration centres and used in many different instances, for example in investor-State disputes.287. 还回顾委员会在该届会议上注意到,作为贸易法委员会在仲裁领域拟定的一份早期文书,《贸易法委员会仲裁规则》被公认为一份十分成功的文本,得到许多仲裁中心的采纳,并被用于多种不同的情况,例如投资人与国家之间的纠纷。
In recognition of the success and status of the UNCITRAL Arbitration Rules, the Commission was generally of the view that any revision of the Rules 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.考虑到《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本的行文结构、精神和文体,并且应尊重该文本的灵活性,而不是令其更为复杂。
It was suggested that the Working Group should undertake to define carefully the list of topics that might need to be addressed in a revised version of the UNCITRAL Arbitration Rules.有与会者建议,工作组应当认真确定《贸易法委员会仲裁规则》修订本需要论及的议题清单。
288. It was further recalled that, at its fortieth session, in 2007, the Commission had noted that the UNCITRAL Arbitration Rules had not been amended since their adoption in 1976 and that the review should seek to modernize the Rules and to promote greater efficiency in arbitral proceedings.288. 还回顾委员会在2007年第四十届会议上注意到,《贸易法委员会仲裁规则》自1976年通过以来从未进行过修订,审查工作应力求使《规则》符合时代要求,提高仲裁工作的效率。
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 to date and should continue to be a guiding principle for its work.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,这对工作组迄今的审议工作提供了有益的指导,并应继续作为工作组工作的一项指导原则。
289. The Commission further recalled that, at its forty-first session, in 2008, the Commission had noted that the Working Group had decided, at its forty-eighth session, to proceed with its work on the revision of the UNCITRAL Arbitration Rules in their generic form and to seek guidance from the Commission on whether, after completion of its current work on the Rules, the Working Group should consider in further depth the specificity of treaty-based arbitration and, if so, which form that work should take (A/CN.9/646, para. 69).289. 委员会还回顾,委员会在2008年第四十一届会议上注意到,工作组第四十八届会议决定继续进行修订通用形式的《贸易法委员会仲裁规则》的工作,并请委员会指明工作组在完成目前关于《规则》的工作之后是否应当更深入地审议以条约为基础的仲裁的特殊性,以及如果应当审议的话,该项工作应当采取什么形式(A/CN.9/646,第69段)。
290. It was further recalled that, after discussion at that session, the Commission had agreed that it would not be desirable to include specific provisions on treaty-based arbitration in the UNCITRAL Arbitration Rules themselves and that any work on investor-State disputes that the Working Group might have to undertake in the future should not delay the completion of the revision of the UNCITRAL Arbitration Rules in their generic form.290. 进一步回顾委员会在该届会议上,经讨论后一致认为,《贸易法委员会仲裁规则》本身列入关于以条约为基础的仲裁的特定条文是不可取的,工作组今后可能就投资人与国家之间的纠纷所开展的任何工作不应耽误通用形式的《贸易法委员会仲裁规则》修订工作的完成。
As to timing, the Commission had agreed that the topic of transparency in treaty-based investor-State arbitration was worthy of future consideration and should be dealt with as a matter of priority immediately after completion of the current revision of the UNCITRAL Arbitration Rules.关于时间安排,委员会一致认为,投资人与国家之间以条约为基础的仲裁的透明度问题值得在今后加以审议,并应在目前修订《贸易法委员会仲裁规则》的工作完成之后立即作为一个优先事项进行。
As to the scope of such future work, the Commission had agreed by consensus on the importance of ensuring transparency in investor-State dispute resolution.关于今后这类工作的范围,委员会以协商一致方式就确保透明解决投资人与国家之间纠纷的重要性达成了共识。
Written observations regarding that issue had been presented by one delegation (A/CN.9/662) and a statement had also been made on behalf of the Special Representative of the Secretary-General on the issue of human rights and transnational corporations and other business enterprises.有一个代表团提交了关于这一问题的书面意见(A/CN.9/662),此外还有人代表秘书长人权和跨国公司及其他商业企业问题特别代表作了发言。
The Commission had been of the view that, as noted by the Working Group at its forty-eighth session (A/CN.9/646, para. 57), the issue of transparency as a desirable objective in investor-State arbitration should be addressed by future work.委员会认为,如工作组第四十八届会议所指出的(A/CN.9/646,第57段),透明度问题作为投资人与国家之间仲裁的一个可取目标,应在今后的工作中加以处理。
As to the form that any future work product might take, the Commission had noted that various possibilities had been envisaged by the Working Group (ibid., para. 69) in the field of treaty-based arbitration, including the preparation of instruments such as model clauses, specific rules or guidelines, an annex to the UNCITRAL Arbitration Rules in their generic form, separate arbitration rules or optional clauses for adoption in specific treaties.关于今后的任何工作成果可能采取的形式,委员会注意到工作组在以条约为基础的仲裁领域设想了各种可能性(同上,第69段),包括编拟示范条款、特定规则或准则、通用形式的《贸易法委员会仲裁规则》附件、单独的仲裁规则或供在特定条约中采用的任择条款等文书。
The Commission had decided that it was too early to make a decision on the form of a future instrument on treaty-based arbitration and that broad discretion should be left to the Working Group in that respect.委员会认为就以条约为基础的仲裁方面未来文书的形式作出决定还为时过早,并认为在这方面应留给工作组广泛的酌处权。
With a view to facilitating consideration of the issues of transparency in treaty-based arbitration by the Working Group at a future session, the Commission had requested the Secretariat, resources permitting, to undertake preliminary research and compile information regarding current practices.为了便利工作组在今后届会上审议以条约为基础的仲裁的透明度问题,委员会请秘书处在资源允许的情况下开展初步研究,并汇编关于当前做法的资料。
The Commission had urged member States to contribute broad information to the Secretariat regarding their practices with respect to transparency in investor-State arbitration.委员会促请成员国向秘书处提供广泛信息,介绍各自在实现投资人与国家之间仲裁的透明度方面有哪些做法。
It had been emphasized that, when composing delegations to the Working Group sessions that would be devoted to that project, member States and observers should seek to achieve the highest level of expertise in treaty law and treaty-based investor-State arbitration.据强调指出,在组成参加专门讨论这一工作的工作组届会的代表团时,成员国和观察员应力求在条约法和投资人与国家之间以条约为基础的仲裁方面达到最高专业水准。
291. At its current session, the Commission had before it the reports of the forty-ninth (Vienna, 15-19 September 2008) and fiftieth (New York, 9-13 February 2009) sessions of the Working Group (A/CN.9/665 and A/CN.9/669, respectively).291. 委员会本届会议收到了工作组第四十九届会议(2008年9月15日至19日,维也纳)和第五十届会议(2009年2月9日至13日,纽约)的报告(分别为A/CN.9/665和A/CN.9/669)。
The Commission commended the Working Group for the progress made regarding the revision of the UNCITRAL Arbitration Rules and the Secretariat for the quality of the documentation prepared for the Working Group.委员会赞扬工作组在修订《贸易法委员会仲裁规则》方面取得的进展,并赞扬秘书处为工作组编写的高质量文件。
292. The Commission noted that the Working Group had discussed at its forty-ninth session a proposal aimed at expanding the role of the Secretary-General of the Permanent Court of Arbitration at The Hagueunder the UNCITRAL Arbitration Rules (A/CN.9/665, paras. 47-50).292. 委员会注意到工作组第四十九届会议讨论了一项建议,该建议的目的是扩大《贸易法委员会仲裁规则》所规定的海牙常设仲裁法院秘书长的职责范围(A/CN.9/665,第47-50段)。
The 1976 version of the Rules included a mechanism whereby the Secretary-General of the Permanent Court of Arbitration should, if so requested by a party, designate an appointing authority to provide certain services in support of arbitral proceedings.1976年版《规则》包括一个机制,其中规定常设仲裁法院秘书长应在一方当事人的请求下指定一个指派当局以提供某些服务,协助仲裁程序。
The appointing authority would appoint members of an arbitral tribunal under articles 6 and 7 of the Rules and might also be called upon, under article 12 of the Rules, to decide on challenges to arbitrators.指派当局按照《规则》第6和第7条的规定指派仲裁庭成员,还可按照第12条的规定应请求就针对仲裁员提出的异议作出决定。
Under articles 39 and 41 (respectively) of the Rules, the appointing authority might also assist the parties in fixing the arbitrators’ fees and the arbitral tribunal in fixing the deposit for costs.(分别)根据《规则》第39和第41条,指派当局还可协助各方当事人确定仲裁员的费用并协助仲裁庭确定费用的保证金。
The Secretary-General of the Permanent Court of Arbitration, despite the Court being neither a United Nations body, nor a body created to deal with commercial, non-governmental disputes, agreed to act as the designating authority under the Rules and thus to play a role that was clearly more limited than, and qualitatively different from, that of an appointing authority.虽然常设仲裁法院既不是联合国机构,也不是为处理商事纠纷和非政府纠纷而设立的机构,但常设仲裁法院秘书长同意担任《规则》所规定的指定当局,从而发挥一种显然比指派当局的作用有限、而且性质有所不同的作用。
A proposal was made in the Working Group to replace the existing mechanism by a provision to the effect that where parties were unable to agree on an appointing authority, the Secretary-General of the Permanent Court of Arbitration should act directly as the appointing authority subject to the parties’ right to request the him or her to designate another appointing authority, and to the discretion of the Court’s Secretary-General to designate another appointing authority, if it considered it appropriate.工作组内有人建议用一项规定取代现行机制,该规定大意为:如果当事人无法就指派当局达成一致,常设仲裁法院秘书长应直接充当指派当局,但当事人有权请求他或她指定另一指派当局,而且常设仲裁法庭秘书长可斟酌指定自己认为适当的另一指派当局。
The Commission noted that that proposal had initially been made at the forty-sixth session of the Working Group (A/CN.9/619, paras. 71-74), where it had been considered a major and unnecessary departure from the existing UNCITRAL Arbitration Rules and where it had been decided that the mechanism on the designating and appointing authorities as designed under the 1976 version of the Rules should be preserved (A/CN.9/619, para. 74, and A/CN.9/665, para. 49).委员会注意到这项建议最初是在工作组第四十六届会议上提出的(A/CN.9/ 619,第71-74段),在该届会议上,与会者认为该建议严重并且不必要地背离了现行的《贸易法委员会仲裁规则》,工作组决定保留1976年版《规则》所设计的指定和指派当局机制(A/CN.9/619,第74段,和A/CN.9/665,第49段)。
The Commission further noted that, at the forty-ninth session of the Working Group, diverging views had been expressed as to whether that question should be debated again in the Working Group and the view had been expressed that, whether or not consensus could be reached in the Working Group regarding a possible default rule, the matter was of a political nature and could only be settled by the Commission (A/CN.9/665, paras. 49-50).委员会还注意到,在工作组第四十九届会议上,与会者就是否应在工作组内再次辩论这一问题表达了各种看法。 有一种观点认为,无论工作组内能否就一项可能的缺省规则达成共识,该问题具有政治性质,只能由委员会解决(A/CN.9/665,第49-50段)。
At its current session, the Commission had before it a note on the designating and appointing authorities under the UNCITRAL Arbitration Rules (A/CN.9/677).委员会本届会议收到一份关于《贸易法委员会仲裁规则》所规定的指定当局和指派当局的说明(A/CN.9/677)。
293. After discussion, the Commission agreed that the existing mechanism on designating and appointing authorities, as designed under the 1976 version of the Rules, should not be changed.293. 委员会经讨论后一致认为,不应改变1976年版《规则》所设计的关于指定当局和指派当局的现行机制。
It was recalled that the mechanism regarding designating and appointing authorities under the 1976 version of the Rules was not considered to be a problematic area by the Working Group, when defining matters for revision at its forty-fifth session.与会者回顾,工作组第四十五届会议在确定所要修订的事项时,并不认为1976年版《规则》中关于指定当局和指派当局的机制有什么问题。
That mechanism was generally not reported as having created delays for the parties or difficulties in the functioning of the Rules.根据报告,这一机制一般情况下并未拖延当事人的时间,也未给《规则》的运作造成困难。
It was further said that since the provision on designating and appointing authorities under the 1976 version of the Rules did not cause any significant burden and offered benefits, there was no need to alter the structure of the Rules in that respect.与会者还指出,既然1976年版《规则》中有关指定当局和指派当局的规定没有造成重大负担,而且还带来了益处,就没有必要在这方面改变《规则》的结构。
In the context of that discussion, the Commission recognized the expertise and the sense of accountability of the Permanent Court of Arbitration, as well as the quality of the services it rendered under the UNCITRAL Arbitration Rules.在这一讨论过程中,委员会认识到常设仲裁法院所拥有的专门知识和责任感,以及它根据《贸易法委员会仲裁规则》所提供的服务的质量。
294. The two-stage process defined under the 1976 version of the Rules was said to offer flexibility (by allowing the designation of a wide range of appointing authorities to suit the needs of particular cases) that a default appointing authority would preclude.294. 据认为,1976年版《规则》界定的两阶段过程是为了提供缺省指派当局所不具有的灵活性(允许指定各种指派当局以符合具体案件的需要)。
It was observed that the Rules could easily be adapted for use in a wide variety of circumstances covering a broad range of disputes and that one measure of the UNCITRAL Arbitration Rules’ success in achieving broad applicability and in their ability to meet the needs of parties in a wide range of legal cultures and types of disputes had been the significant number of independent arbitral institutions that had declared themselves willing to administer (and that, in fact, administered) arbitrations under the UNCITRAL Arbitration Rules, in addition to proceedings under their own rules.与会者指出,《规则》很容易进行调整,可在涉及各种纠纷的多种情形下使用;而且,在《贸易法委员会仲裁规则》是否实现了广泛适用性并能满足各种法律文化下和各类纠纷中当事人的需要方面,一个评判标准是,有很多独立仲裁机构声明除自身规则规定的程序外,愿意(且实际)按照《贸易法委员会仲裁规则》来管理仲裁。
It was also said that the proposal to expand the role of the Permanent Court of Arbitration under the Rules, if adopted, would constitute not a mere technical adjustment, but a change in the nature of the Rules and would run contrary to the guiding principles set by the Commission, that any revision of the Rules 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.另外还指出,关于扩大《规则》所规定的常设仲裁法院职责范围的建议如果得到通过,则不仅要作技术上的调整,还会改变《规则》的性质,这将有违委员会规定的指导原则,即对《规则》所作的任何修订都不应改变该文本的行文结构、精神和文体,并且应尊重该文本的灵活性,而不是令其更为复杂。
295. It was further said that the Permanent Court of Arbitration had been established by the Convention for the Pacific Settlement of International Disputes to deal with disputes involving States and not to handle disputes arising in the context of commercial relations among private parties, which were said to be the primary focus of the UNCITRAL Arbitration Rules.295. 与会者还指出,常设仲裁法院是依《和平解决国际争端公约》设立的,负责处理涉及国家的纠纷,而不是私人当事人的商务关系中出现的纠纷,而后者是《贸易法委员会仲裁规则》的主要侧重点。
Expanding the role of the Permanent Court of Arbitration, it was said, would appear as favouring the Court over other arbitral organizations, despite the Court having little experience in the area of private commercial disputes, as compared with other arbitration organizations that had jurisdiction over such cases.与会者认为,扩大常设仲裁法院的职责范围会显得是对该法院相对于其他仲裁机构的一种偏袒,尽管同对私人商事纠纷拥有管辖权的其他仲裁组织相比,该法院在这一领域的经验很少。
296. The Commission was of the view that the establishment of any central administrative authority under the Rules would create a need for providing (in the Rules or in an accompanying document) guidance on the conditions under which such a central authority would perform its functions.296. 委员会认为,在设立《规则》所规定的任何中央行政当局方面,将有必要(在《规则》中或所附文件中)就该中央当局在何种条件下履行职能提供指导。
The Commission agreed that the work on the revision of the Rules should not be delayed by additional work that would need to be done in that respect if the proposal to expand the role of the PCA were to be pursued.委员会一致认为,如果采纳扩大常设仲裁法院职责的建议,在这方面所需开展的额外工作不应耽误《规则》的修订。
297. In light of those policy principles, it was emphasized that the UNCITRAL Arbitration Rules should not contain a default rule, to the effect that one institution would be singled out as the default appointing authority and would be identified in the Rules as a provider of direct assistance to the parties.297. 结合这些政策原则,与会者强调说,《贸易法委员会仲裁规则》不应包含一项缺省规则,大意是选出一个机构作为缺省指派当局,而且《规则》将其确定为向当事人直接提供协助者。
298. The Commission noted that the Working Group, at its fiftieth session, agreed to request the Commission for sufficient time to complete its work on the UNCITRAL Arbitration Rules in order to bring the draft text of revised Rules to the level of maturity and quality required (A/CN.9/669, para. 120).298. 委员会注意到,工作组第五十届会议商定请委员会给予充足的时间来完成《贸易法委员会仲裁规则》修订工作,以便使《规则》修订本的案文草案在成熟程度和质量上能够达到要求(A/CN.9/669,第120段)。
The Commission agreed that the time required should be taken for meeting the high standard of UNCITRAL, taking account of the international impact of the Rules, and expressed the hope that the Working Group would complete its work on the revision of the UNCITRAL Arbitration Rules in their generic form, so that the final review and adoption of the revised Rules would take place at the forty-third session of the Commission, in 2010.委员会一致认为,考虑到《规则》的国际影响,应当花费必要的时间达到贸易法委员会的高标准,并表示希望工作组完成通用形式的《贸易法委员会仲裁规则》的修订工作,以便能够在2010年委员会第四十三届会议上最后审查并通过修订后的《规则》。
The Commission heard a proposal that the Working Group should discuss the extent to which a reference to arbitrators intervening as conciliators should be included in a revised version of the Rules.委员会听取了一项建议,即工作组应当讨论在《规则》修订本中,应在多大程度上提及仲裁员作为调解人进行的干预。
299. With respect to future work in the field of settlement of commercial disputes, the Commission recalled its earlier decision that the question 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, as decided by the Commission at its forty-first session (see para. 290 above).299. 关于今后在解决商事纠纷领域开展的工作,委员会回顾早些时候作出的一项决定,即如委员会第四十一届会议所决定的(见上文第290段),目前修订《贸易法委员会仲裁规则》的工作完成之后,应当立即作为一个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。
It was reiterated that, when composing delegations to the Working Group sessions that would be devoted to that project, member Statesand observers should seek to achieve the highest level of expertise in treaty law and treaty-based investor-State arbitration.委员会重申,在组成参加专门讨论这一工作的工作组届会的代表团时,成员国和观察员应力求在条约法和投资人与国家之间以条约为基础的仲裁方面达到最高专业水准。
The Commission also recalled that the issue of arbitrability and online dispute resolution should be maintained by the Working Group on its agenda, as decided by the Commission at its thirty-ninth session.委员会还回顾,工作组应当根据委员会第三十九届会议的决定,在其议程上保留可否仲裁问题和网上解决纠纷问题。
300. The Commission heard an oral report on progress in the preparation of a guide to enactment and use in relation to the entire UNCITRAL Model Law on International Commercial Arbitration as amended in 2006.300. 委员会听取了关于在编写经2006年修正的整部《贸易法委员会国际商事仲裁示范法》的颁布和使用指南方面进展情况的口头报告。
It was recalled that, at its thirty-ninth session, the Commission had agreed that it would be useful to prepare such a guide.回顾在第三十九届会议会议,委员会一致认为编写这样的指南是有益的。
It was also recalled that such a guide would provide a useful instrument for national legislators and other users of a major UNCITRAL standard.还回顾该指南将为国家立法人员和贸易法委员会重要标准的其他使用者提供一个有益工具。
In addition, it would further the process of harmonization of laws.此外,它还将进一步推动法律统一进程。
The Commission requested the Secretariat to pursue its efforts towards the preparation of the guide.委员会请秘书处继续编写该指南。
It was agreed that a more substantive presentation on progress made in the preparation of the guide should be made at a future session of the Commission.一致认为应当就该指南的编写情况向委员会下届会议作实质性介绍。
(For the two forthcoming sessions of the Working Group, see subpara. 437 (b) below.)(关于工作组即将举行的两届会议,见下文第437(b)段)。
VI. Insolvency law: progress report of Working Group V六. 破产法:第五工作组进度报告
A. Progress report of Working Group VA. 第五工作组进度报告
301. The Commission recalled that at its thirty-ninth session, in 2006, it had agreed, inter alia, that: (a) the topic of the treatment of corporate groups in insolvency was sufficiently developed for referral to Working Group V (Insolvency Law) for consideration in 2006 and that the Working Group should be given the flexibility to make appropriate recommendations to the Commission regarding the scope of its future work and the form it should take, depending on the substance of the proposed solutions to the problems that the Working Group would identify under that topic; and (b) post-commencement financing should initially be considered as a component of the work to be undertaken on insolvency of corporate groups, with the Working Group being given sufficient flexibility to consider any proposals for work on additional aspects of the topic.301. 委员会回顾,在2006年第三十九届会议上,委员会一致认为:(a)在破产公司集团对待办法这一专题上已经取得充分进展,足以交给第五工作组(破产法)在2006年审议,并应当给予该工作组灵活性,由工作组根据对其在该专题下查明的问题所提出解决办法的实质内容,就今后工作的范围和应当采取的形式向委员会提出适当建议;(b)启动后融资一开始就应视为就公司集团破产开展的工作的一个组成部分,并在工作组审议有关该专题其他方面工作的任何建议上赋予其充分的灵活性。
The term “corporate groups” was subsequently replaced by the term “enterprise groups” (see A/CN.9/622, paras. 77-84, and A/CN.9/643).“公司集团”一词随后被“企业集团”取代(见A/CN.9/622,第77-84段,和A/CN.9/643)。
302. At its current session, the Commission expressed its appreciation for the substantial progress made by the Working Group in considering the treatment of enterprise groups in insolvency as reflected in the reports on its thirty-fifth (Vienna, 17-21 November 2008) and thirty-sixth (New York, 18-22 May 2009) sessions (A/CN.9/666 and A/CN.9/671, respectively) and commended the Secretariat for the working papers and reports prepared for those sessions.302. 在本届会议上,委员会表示赞赏工作组第三十五届会议(2008年11月17日至21日,维也纳)和第三十六届会议(2009年5月18日至22日,纽约)报告(分别为A/CN.9/666和A/CN.9/671号文件)中所反映的工作组在审议破产企业集团对待问题上取得的进展,并赞扬秘书处为这些会议编写的工作文件和报告。
303. The Commission noted that the Working Group had adopted in substance a number of recommendations with respect to the domestic treatment of enterprise groups and had reached agreement on its approach to the international treatment of such groups as reflected in the set of 15 recommendations discussed at its thirty-sixth session, a number of which had been adopted in substance.303. 委员会注意到工作组通过了就企业集团国内对待办法提出的一系列建议的实质内容,并且工作组就其处理这些集团国际对待问题的方法达成了一致,这种一致反映在工作组第三十六届会议讨论的15条建议中,其中许多建议的实质内容已获通过。
The Commission took note of the close connection between the work on the international treatment of enterprise groups and both the UNCITRAL Model Insolvency Law and the UNCITRAL Practice Guide on Cross-Border Insolvency Cooperation (see para. 24 above) and emphasized the need to ensure consistency with those two texts.委员会注意到企业集团国际对待问题方面的工作与《贸易法委员会破产示范法》和《贸易法委员会跨国界破产合作实践指南》(见上文第24段)密切相关,强调需要确保与这两份文书的一致性。
304. The Commission also noted that the Working Group had agreed that the text resulting from the work on enterprise groups should form part III of the UNCITRAL Legislative Guide on Insolvency Law and adopt the same format, i.e. recommendations and commentary.304. 委员会还注意到工作组商定有关企业集团的工作产生的案文应作为《贸易法委员会破产法立法指南》的第三部分,并采取相同的格式,即建议和评注格式。
To that end, the commentary to accompany both the domestic and international recommendations would be prepared for consideration by the Working Group at its thirty-seventh session, in 2009, and, if necessary, at its thirty-eighth session, in 2010.为此,将编写国内和国际对待办法建议的所附评注,供工作组2009年第三十七届会议审议,并且必要的话供工作组2010年第三十八届会议审议。
305. The Commission also expressed its appreciation for the cooperation between working groups V and VI with respect to the treatment of intellectual property in insolvency and noted that the questions raised by Working Group VI had been considered and answered by Working Group V at its thirty-sixth session (A/CN.9/671, para. 127) and noted that that information had been incorporated in the work of Working Group VI. (See para. 312 below.)305. 委员会还对第五工作组和第六工作组在破产中知识产权的处理方面开展的合作,注意到第五工作组三十六届会议审议并回答了第六工作组提出的问题(A/CN.9/671,第127段),并且注意到这一信息已被纳入第六工作组的工作(见下文第312段)。
B. Eighth Multinational Judicial ColloquiumB. 第八次多国司法座谈会
306. The Commission heard a brief report on the Eighth Multinational Judicial Colloquium, held in Vancouver, Canada, on 20 and 21 June 2009.306. 委员会听取了2009年6月20日至21日在加拿大温哥华举行的第八次多国司法座谈会的简要报告。
The colloquium, organized by UNCITRAL, the International Association of Insolvency Practitioners and the World Bank, was attended by some 80 judges from around 40 States, who discussed issues of cross-border insolvency coordination and cooperation, including judicial communication.该座谈会由贸易法委员会、破产管理从业人员国际协会和世界银行举办,来自约40个国家的80名左右法官出席了该座谈会,讨论了跨国界破产协调与合作包括司法联系等问题。
The colloquium was well received by judges, who welcomed the opportunity to further their understanding of cooperation in cross-border insolvency cases and to have contact with each other to discuss related concerns and issues.座谈会得到了法官的普遍认可,他们欢迎提供机会,增进对跨国界破产案件合作的认识,并进行相互联系,讨论有关关切和问题。
Many of the issues discussed were addressed in the UNCITRAL Practice Guide on Cross-Border Insolvency Cooperation (see para. 24 above), the preparation of which was widely supported by judges as a valuable source of information on current issues and practice.座谈会上讨论的许多问题在《贸易法委员会跨国界破产合作实践指南》(见上文第24段)中都有涉及,该《指南》的编写得到了法官们的广泛支持,认为这是关于当前问题和做法的宝贵信息来源。
The Commission noted that a short report of the colloquium would be prepared and made available on the respective websites of the three organizations.委员会注意到将编写简短的座谈会报告,并在这三个组织各自的网站上发布。
307. The Commission expressed its satisfaction to the Secretariat for organizing the colloquium and requested the Secretariat to continue cooperating actively with the International Association of Insolvency Practitioners and the World Bank with a view to organizing further colloquiums in the future, resources permitting.307. 委员会对秘书处组织了这次座谈会表示满意,请秘书处继续与破产管理从业人员国际协会和世界银行积极合作,以便在资源允许的情况下,于今后组织进一步的座谈会。
C. Future work on insolvency lawC. 今后的破产法工作
308. The question of possible future work that Working Group V might undertake on completion of the current topic on enterprise groups was raised.308. 提出了第五工作组在完成当前的企业集团专题后可能于今后开展的工作问题。
The Commission noted several tentative proposals, including: (a) developing a model law based on the recommendations of the UNCITRAL Legislative Guide on Insolvency Law; (b) undertaking a study of the different financial instruments currently being used and how they were treated in insolvency; and (c) in light of the current financial crisis, considering the insolvency of banks and other financial institutions.委员会注意到一些暂时的提议,其中包括:(a)根据《贸易法委员会破产法立法指南》的建议起草示范法;(b)对目前使用的不同金融工具及在破产中的处理方法进行研究;以及(c)结合当前的金融危机,审议银行和其他金融机构的破产问题。
It was agreed that those and other possible topics should continue to be discussed and elaborated upon in order to establish their feasibility, with a view to possible consideration of the issue of future work at the Commission’s forty-third session, in 2010.一致认为应继续讨论和详细阐述这些专题和其他可能的专题,以确定其可行性,从而使委员会能够在2010年第四十届会议上可以审议今后的工作问题。
(For the two forthcoming sessions of the Working Group, see subpara. 437 (d) below.)(关于工作组即将举行的两届会议,见下文第437(d)段)。
VII. Security interests: progress report of Working Group VI七. 担保权益:第六工作组进度报告
309. The Commission recalled that, during the first part of its fortieth session (Vienna, 25 June-12 July 2007), it had decided to entrust Working Group VI (Security Interests) with the preparation of an annex to the draft Guide on Secured Transactions specific to security rights in intellectual property.309. 委员会回顾,在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)上,曾决定委托第六工作组编拟担保交易指南草案中专门针对知识产权担保权的附件。
At that session, the Commission had emphasized the need to complete that work within a reasonable period of time.在该届会议上,委员会曾强调需要在一段合理时间内完成这项工作。
310. The Commission also recalled that, at its resumed fortieth session (Vienna, 10‑14 December 2007), it had finalized and adopted the UNCITRAL Legislative Guide on Secured Transactions (the Legislative Guide) on the understanding that the annex to the Legislative Guide would be prepared as soon as possible thereafter so as to ensure that comprehensive and consistent guidance would be provided to States in a timely manner.310. 委员会还回顾到,其在第四十届会议续会(2007年12月10日至14日,维也纳)上,已最后审定并通过《贸易法委员会担保交易立法指南》(“《立法指南》”),但有一项谅解,即随后将尽快编拟《立法指南》附件,以便确保及时地向各国提供全面和前后统一的指导。
311. At its current session, the Commission had before it the reports of Working Group VI on the work of its fourteenth (Vienna, 20-24 October 2008) and fifteenth (New York, 27 April-1 May 2009) sessions (A/CN.9/667 and A/CN.9/670, respectively).311. 在本届会议上,委员会收到第六工作组第十四届会议(2008年10月20日至24日,维也纳)和第十五届会议(2009年4月27日至5月1日,纽约)工作报告(分别为A/CN.9/667号和A/CN.9/670)。
The Commission noted with satisfaction that the Working Group had completed the reading of two versions of the annex to the Legislative Guide (A/CN.9/WG.VI/WP.35 and Add.1 and A/CN.9/WG.VI/WP.37 and Add.1-4) and made significant progress (A/CN.9/667, para. 15, and A/CN.9/670, para. 16).委员会满意地注意到,工作组完成了对《立法指南》附件两个版本(A/CN.9/WG.VI/WP.35和Add.1,以及A/CN.9/WG.VI/ WP.37和Add.1-4)的研读,并取得了重要进展(A/CN.9/667,第15段和A/CN.9/670,第16段)。
312.
The Commission also noted with appreciation that Working Group V (Insolvency Law), at its thirty-sixth session (New York, 18-22 May 2009), had discussed, on the basis of documents A/CN.9/WG.VI/WP.37/Add.4 and A/CN.9/WG.V/WP.87, certain insolvency-related issues referred to it by Working Group VI, and approved the text referred to it by Working Group VI in document A/CN.9/WG.VI/WP.37/Add.4, paragraphs 22-40, for inclusion in the annex to the Legislative Guide (A/CN.9/671, paras. 125-127).312. 委员会还赞赏地注意到,第五工作组(破产法)第三十六届会议(2009年5月18日至22日,纽约)在A/CN.9/WG.VI/WP.37/Add.4和A/CN.9/WG.V/WP.87号文件的基础上,讨论了第六工作组提出的与破产相关的某些问题,并核准了第六工作组在A/CN.9/WG.VI/WP.37/Add.4号文件第22-40段提出的供并入《立法指南》附件的案文(A/CN.9/671,第125-127段)。
313. In addition, the Commission noted that, at its fourteenth session, Working Group VI discussed its future work and agreed that it should be able to complete its work on the draft supplement in time to have it submitted to the Commission for final approval and adoption at its forty-third session, in 2010 (A/CN.9/667, para. 143).313. 另外,委员会还注意到,第六工作组第十四届会议讨论了其今后的工作,一致认为应能够按时完成增补说明草案,以提交委员会2010年第四十三届会议最后审定和通过(A/CN.9/667,第143段)。
Moreover, the Commission noted that, at its fourteenth and fifteenth sessions, Working Group VI had engaged in a preliminary discussion of its future work programme (A/CN.9/667, paras. 141-143, and A/CN.9/670, paras. 123-126).此外,委员会注意到,第六工作组第十四届会议和第十五届会议就其今后的工作方案进行了初步讨论(A/CN.9/667,第141-143段和A/CN.9/670,第123-126段)。
314.
In that connection, it was noted that, at the fifteenth session of Working Group VI, the following topics were suggested for inclusion in the future work programme of Working Group VI: a text on security rights in securities not covered by the draft convention on substantive rules regarding intermediated securities, being prepared by the International Institute for the Unification of Private Law (Unidroit); a legislative guide on registration of security rights; a contractual guide on secured financing agreements; a contractual guide on intellectual property licensing;314. 在这方面,注意到第六工作组第十五届会议上提出将下列议题列入第六工作组今后的工作方案:关于国际统一私法协会(统法协会)正在拟定的中介证券实体规则公约草案所未涵盖的证券担保权的案文;担保权登记立法指南;担保融资协议合同指南;知识产权许可合同指南;内含《立法指南》建议的担保交易示范法;以及关于特许经营的案文(A/CN.9/670,第124段)。
a model law on secured transactions, incorporating the recommendations of the Legislative Guide;
and a text on franchising (A/CN.9/670, para. 124).
315. With respect to the Legislative Guide, the Commission requested the Secretariat to expedite its publication as a whole and in part (the terminology and recommendations as a separate publication).315. 关于《立法指南》,委员会请秘书处加速出版其全文和部分内容(单行出版术语和建议)。
The Commission also requested the Secretariat to increase its efforts to raise the awareness of States and other interested parties with respect to the Legislative Guide and in promoting the implementation of the recommendations of that Guide by States in various ways, including by holding seminars, organizing briefing missions, preparing articles for publication and drafting or reviewing draft legislation, as well as cooperating with other organizations active in the field of secured transactions law reform.委员会还请秘书处加强努力,提高各国和其他感兴趣的各方对《立法指南》的认识,以各种方式促进各国执行《指南》的建议,包括举办研讨会,安排情况介绍访问,编拟供出版的条款,起草或审查立法草案,以及与在担保交易法改革领域开展活动的其他组织进行合作。
316. With respect to the annex to the Legislative Guide (referred to subsequently as a supplement), the Commission expressed its appreciation to Working Group VI and the Secretariat for the progress achieved thus far and emphasized the importance of that supplement.316. 关于《立法指南》附件(后称作增补说明),委员会对第六工作组和秘书处迄今取得的进展表示赞赏,并强调了该增补说明的重要性。
It was stated that economic development involved innovation, which was in turn connected with intellectual property assets.据指出,经济的发展涉及创新,而创新则与知识产权资产相关联。
It was also pointed out that the main assets of many small or medium-sized businesses were intellectual property assets.另据指出,许多中小企业的主要资产就是知识产权资产。
Thus, it was observed that it was important for economic development to facilitate secured transactions in which the encumbered asset was an intellectual property asset.因此,据称,经济发展应为以知识产权资产作为担保资产的担保交易提供便利。
317. After discussion, the Commission, noting the interest of the international intellectual property community, requested Working Group VI to expedite its work so as to finalize the supplement to the Legislative Guide in one or two sessions and submit it to the Commission for finalization and adoption at its forty- third session, in 2010, so that the Supplement to the Guide may be offered to States for adoption as soon as possible.317. 经讨论后,委员会注意到国际知识产权界的兴趣,请第六工作组加速其工作,以便以一两届会议最后审定《立法指南》增补说明,并提交委员会2010年第四十三届会议进行最后审定和通过,从而《指南》增补说明可尽早提供给各国通过。
The Commission agreed that, if two sessions were not sufficient for the preparation of a generally acceptable and balanced text, the Working Group should be given the time necessary to achieve that result, even if that meant that the supplement to the Legislative Guide would be ready for submission to the Commission at its forty-fourth session in 2011.委员会同意,如果两届会议不足以拟定出普遍接受的平衡案文,则应当给工作组必要的时间达到这一结果,即使这意味着《立法指南》附件将于2011年备妥提交委员会第四十四届会议。
318. The Commission engaged in a preliminary discussion of the future work programme of Working Group VI.318. 委员会就第六工作组今后的工作方案进行了初步讨论。
As to the topics to be included in that future work programme, various views were expressed.关于拟列入该项今后工作方案的议题,与会者发表了各种意见。
With respect to security rights in securities not covered by the draft convention on substantive rules regarding intermediate securities, the Commission noted that, at its fortieth session in 2007, it had decided that future work should be undertaken with a view to preparing a supplement to the Guide on certain types of securities, taking into account work by other organizations, in particular Unidroit.对于中介证券实体规则公约草案所涉涵盖的证券担保权,委员会注意到,其2007年第四十届会议曾决定应开展今后的工作,以拟定一则关于某些类别证券担保权的《指南》增补说明,其中应考虑到其他组织特别是统法协会的工作。
In that connection, it was generally agreed that no decision could be made before Unidroit had finalized its work on the draft convention (see para. 314 above), which it would presumably do in the fall of 2009.在这方面,普遍认为,在统法协会估计于2009年秋最后完成其关于该公约草案的工作之前(见上文第314段),不可能作出任何决定。
With respect to a legislative guide on registration of security rights in general security rights registries, it was stated that such work could usefully supplement the work achieved by the Commission on the Guide.关于在普通担保权登记处登记担保权的立法指南,据指出,该工作可有益地补充委员会在《指南》方面完成的工作。
With respect to a contractual guide on intellectual property licensing, it was stated that such work, if any, should be undertaken in close cooperation with the World Intellectual Property Organization.关于知识产权许可合同指南,据指出,如果进行该工作,应当与世界知识产权组织密切合作。
With respect to a text on franchising, some doubt was expressed as to whether it would fit into the Commission’s work on secured transactions.关于特许经营的案文,一些与会者对其是否属于委员会关于担保交易工作的范畴表示怀疑。
319. As to the process for the preparation of a future work programme for Working Group VI, the Commission agreed that, depending on the availability of time, preparatory work could be advanced through a discussion at the sixteenth session of Working Group VI.319. 关于第六工作组今后工作方案的准备过程,委员会商定,根据是否拥有时间而定,可以通过在第六工作组第十六届会议上进行讨论来推动筹备工作。
In addition, it was agreed that the Secretariat could hold an international colloquium early in 2010 with broad participation of experts from Governments, international organizations and the private sector.还商定,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各方专家广泛参加的国际座谈会。
Moreover, the Commission left it to the Secretariat to organize an expert group meeting, if necessary, to obtain expert advice for the preparation of a paper discussing the various work topics and making suggestions.另外,委员会还交由秘书处在必要时组织一次专家组会议,以获取专家建议,协助拟定一份文件,其中讨论各项工作议题并提出建议。
It was generally agreed that on the basis of that paper the Commission would be in a better position to consider and make a decision on the future work programme of Working Group VI at its forty-third session, in 2010.与会者普遍认为,以该份文件为基础,委员会将能更好地在其2010年第四十三届会议上对第六工作组今后工作方案进行审议并作出一项决定。
320. In response to a question, it was noted that, should Working Group VI complete its work at its sixteenth session in the fall of 2009, it would have an opportunity to consider a possible future work programme at its seventeenth session in the spring of 2010.320. 对于一个问题,据答复指出,第六工作组如果在其2009年秋第十六届会议上完成工作,将有机会在2010年春第十七届会议上审议今后可能的工作方案。
In that connection, it was noted that, in discussing its possible future work programme in the area of security interests at a future session, the Commission could be assisted by the detailed suggestions of Working Group VI and a paper to be prepared by the Secretariat after a colloquium and an expert group meeting, if necessary.在这方面,据指出,在未来届会上讨论今后在担保权益领域可能的工作方案时,第六工作组的详细建议和秘书处在座谈会和必要时举行的专家组会议之后拟定的文件,可以为委员会提供帮助。
321. At the conclusion of its deliberations on security interests, the Commission recalled the mandate given to the Secretariat for the publication of the commentary to the United Nations Convention on the Assignment of Receivables in International Trade.321. 委员会在结束其关于担保权益的审议时,回顾其赋予秘书处的任务是出版关于《联合国国际贸易应收款转让公约》的评论意见。
In that connection, it was suggested that the Secretariat could hold an expert group meeting with the participation of experts who were involved in the preparation of the Convention.在这方面,建议秘书处可以举行一次专家组会议,邀请参与拟定该公约的专家出席。
The Commission also recalled its mandate for the publication of a text discussing the interrelationship of various texts on security interests prepared by the Commission, Unidroit and the Hague Conference on Private International Law.委员会还回顾了其任务包括出版一篇案文,讨论由委员会、统法协会和海牙国际私法会议分别拟定的担保权益各项法规之间的相互关系。
(For the two forthcoming sessions of the Working Group, see subpara. 437 (e) below.) VIII.(关于工作组即将举行的两届会议,见下文第437(e)段)。
Possible future work in the area of transport law: commentary on the United Nations Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea八. 今后可能在运输法领域开展的工作:《联合国全程或者部分海上国际 货物运输合同公约》评注
A. Update on developments relating to the ConventionA. 《公约》最新动态
322. The Commission noted that, following its approval of what was then known as the draft convention on contracts for the international carriage of goods wholly or partly by sea at its forty-first session, in 2008, the United Nations Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea was subsequently adopted by the General Assembly in its resolution 63/122 of 11 December 2008.322. 委员会注意到,在委员会2008年第四十一届会议核准了当时的《全程或者部分海上国际货物运输合同公约》草案之后,大会随即在2008年12月11日第63/122号决议中通过了《联合国全程或者部分海上国际货物运输合同公约》。
In that resolution, the Assembly also authorized a ceremony for the opening for signature of the Convention, to be held in Rotterdam, the Netherlands, on 23 September 2009, and called upon all Governments to consider becoming party to the Convention.大会还在决议中授权于2009年9月23日在荷兰鹿特丹举行公约开放供签署仪式,并吁请各国政府考虑成为《公约》缔约国。
In addition, the Assembly recommended that the rules embodied in the Convention be known as “the Rotterdam Rules”.此外,大会还建议将《公约》所体现的规则称为“鹿特丹规则”。
323. The Commission was advised of preparations that had taken place for the signing ceremony, including the circulation of a certified true copy of the Convention by the Treaty Section of the United Nations to permanent missions in New York, accompanied by instructions advising States on how to proceed should they wish to sign the Convention.323. 委员会了解到签字仪式的筹备情况,包括联合国条约科向纽约各常驻代表团分发了经证明无误的副本,以及关于各国若想签署《公约》应如何进行的指导。
Further, the Commission noted that a note verbale had been sent to permanent missions by the UNCITRAL secretariat, reminding States of the upcoming signing ceremony on 23 September 2009.此外,委员会注意到,贸易法委员会秘书处向各常驻代表团发送了一份普通照会,提醒各国即将于2009年9月23日举行签字仪式一事。
In addition, it was noted that the note verbale informed States of a colloquium to take place under the auspices of UNCITRAL and of the Comité maritime international (CMI), in conjunction with the signing ceremony.委员会还注意到,该普通照会通知各国,在举行签字仪式的同时,将在贸易法委员会和国际海事委员会(海事委员会)主持下举行一次专题讨论会。
The colloquium would take place on 21 September 2009 and would feature presentations on various aspects of the Convention by key experts on the subject from around the world.专题讨论会定于2009年9月21日举行,届时来自世界各地的《公约》主题事项方面的主要专家将就《公约》的各个方面作专题介绍。
Other events were planned to take place around the colloquium and the signing ceremony.还计划围绕专题讨论会和签字仪式举办其他活动。
Delegations were invited to consult the following web page for further information on all events and to obtain a copy of the information circulated by the Treaty Section on the requirements for signature of the Convention: http://www.rotterdamrules2009.com.请各代表团查询以下网页,了解关于所有活动的进一步信息,并获取条约科分发的有关公约签署要求的资料副本:http://www.rotterdamrules2009.com。
It was emphasized that all States were invited to participate in both the colloquium and the signing ceremony, regardless of whether or not the State intended to sign the Convention.与会者强调应邀请所有国家参加专题讨论会和签字仪式,无论其是否打算签署《公约》。
As stated in the note verbale, States wishing to attend were advised to notify the Secretariat of that desire and of the names of the individuals in their delegation, indicating which member of the delegation, if any, would be signing the Convention.如普通照会所指出的,希望参加的国家应将这一愿望及其代表团成员名单通知秘书处,说明哪位代表团成员(如有的话)将签署公约。
324. The Commission also took note that intergovernmental organizations and non-governmental organizations whose work was relevant to the subject matter covered by the Convention had been invited by the Secretariat to participate in the colloquium and related events and to attend the signing ceremony as observers.324. 委员会还注意到秘书处邀请了其工作与《公约》主题事项有关的政府间组织和非政府组织参加专题讨论会和相关活动,并以观察员身份参加签字仪式。
Those wishing to attend were advised to notify the Secretariat of that desire and of the names of the individuals in their delegation.希望参加的组织应将这一愿望及其代表团成员名单通知秘书处。
325. It was recalled that the Secretariat maintained a web page for each of its instruments once they had been approved or adopted.325. 与会者回顾,秘书处为已经核准或通过的每一份文书设立了一个网页。
The Commission noted that, in light of the rapidly growing body of information and views being published in respect of the Convention, the UNCITRAL website had expanded its web page on the Rotterdam Rules to include a selection of materials, links to other relevant web pages and an informative podcast on the Convention.委员会注意到,鉴于资料的迅速增加和就《公约》发表的各种看法,贸易法委员会网站扩大了“鹿特丹规则”网页,以包含与《公约》有关的一些材料、与其他相关网页的链接和一个参考性播客。
326. The Commission took note of efforts made by the Secretariat to promote the Convention.326. 委员会注意到秘书处为宣传《公约》所作的努力。
In addition to preparing the colloquium and the signing ceremony, the Secretariat had been assisting States that were considering signing the Convention by providing them with the information and support they needed to make that decision.除了筹备专题讨论会和签字仪式外,秘书处还一直协助在考虑是否签署《公约》的各国,向它们提供作出这一决定所需要的信息和支持。
Further, the Secretariat had prepared various materials in respect of the Convention for publication in legal journals, on websites, and other publicly accessible locations.此外,秘书处还针对《公约》编写了各种资料,刊登在法律刊物上、网站上和其他可公开查询之处。
327. The Commission also noted that, following its forty-first session, the Secretariat had participated in a number of events in order to provide information on and to promote the Convention.327. 委员会还注意到,在委员会第四十一届会议后,秘书处参加了一系列活动,以提供与《公约》有关的信息,并对《公约》进行宣传。
In October of 2008, the Secretariat participated in the thirty-ninth conference of CMI, held in Athens.2008年10月,秘书处出席了在雅典举行的海事委员会第三十九届会议。
The Commission noted with interest that, at that Conference, CMI had overwhelmingly endorsed the Convention, stating that the Convention generally achieved a fair balance among the various interests in the shipping industry, and recognizing that it offered a unique opportunity to unify and update maritime law and practice on a global basis.委员会感兴趣地注意到,海事委员会在这次会议上以压倒性多数核可了《公约》,指出《公约》总体上在运输业的各种利益人之间实现了公正的平衡,并认识到《公约》为在全球统一和更新海事方面的法律和做法提供了一个独特机会。
In addition, in April 2009, the Secretariat, in collaboration with the Arab Society for Commercial and Maritime Law, CMI and other organizations, assisted in the organization of and participated in the third Arab Conference for Commercial and Maritime Law, held in Alexandria, Egypt.此外,2009年4月,秘书处与阿拉伯商法和海事法学会、海事委员会和其他组织合作,协助组织并出席了在埃及亚历山大举行的第三次阿拉伯商法和海事法会议。
The two-day conference was entitled the “Rotterdam Rules 2009: Uniformity vs. Diversity of the Law of Carriage of Goods by Sea, a Euro-Arab Perspective”.这次会议为期两天,会议主题是“鹿特丹规则:海上货物运输法的统一性与多样性—欧洲和阿拉伯的视角”。
At the conference, the details of the Convention were examined and the issue of whether it could meet the perceived needs of Arab countries was discussed.在这次会议上,研究了《公约》细节并讨论了《公约》是否满足阿拉伯国家预期需要的问题。
B. Possible future work on an explanatory noteB. 今后可能就解释性说明开展的工作
328. The Commission then considered possible future work in respect of the Convention, in terms of the possible drafting of an explanatory note to accompany the publication of the text.328. 委员会接下来从可能起草解释性说明与案文一起出版方面,审议了今后可能就《公约》开展的工作。
It was recalled that during its deliberations on the Convention from 2002 to 2008, Working Group III (Transport Law) had considered whether certain aspects of the text should be further elaborated in a commentary or explanatory notes that could accompany the Convention upon its publication.委员会回顾,第三工作组(运输法)在2002至2008年审议《公约》期间,曾审议过是否应在《公约》出版时附上评注或解释性说明,对《公约》的某些方面作进一步阐述。
For example, in the last draft text of the Convention that was published with footnotes (A/CN.9/WG.III/WP.101), footnote 6, which referred to article 3 on “Form requirements”, includes mention of an explanatory note to the effect that any notices contemplated in the Convention that were not included in article 3 could be made by any means, including orally or by exchange of data messages that did not meet the definition of “electronic communication”.例如,在所出版的附有脚注的上一份《公约》草案(A/CN.9/WG.III/WP.101)中,与关于“形式要求”的第3条有关的脚注6曾提及解释性说明,大意是第3条中未列入的本《公约》所设想的任何通知可以采取任何形式,包括口头形式或者不符合“电子通信”定义的数据电文交换形式。
No decision had been taken by the Working Group or the Commission on whether to include additional materials along with the publication of the Convention, and if so, which form those materials should take.在出版《公约》时是否应包括其他材料以及如果包括的话这些材料所采取的形式方面,工作组和委员会均未作出决定。
329. In order to assist in the consideration of that issue, the Commission had before it a note by the Secretariat (A/CN.9/679) suggesting possible models of commentary or note, if any, that should accompany the publication of the Convention.329. 为协助审议这一问题,委员会收到了秘书处的一份说明(A/CN.6/679),其中提出了可能应当与《公约》一起出版的评注或说明的范本。
In that note, reference was made to three different styles of explanatory note that had previously been published in conjunction with UNCITRAL conventions.该说明提到以前与贸易法委员会公约一起出版的解释性说明的三种不同形式。
It was observed that none of those notes constituted an official commentary on the convention to which they referred, and that publication of an official commentary on an instrument was extremely rare in the history of UNCITRAL.与会者指出,这些说明均不构成所涉公约的正式评注,而在贸易法委员会历史上,出版文书正式评注的情况极其罕见。
The sole example of such an official text was said to have been in connection with the original text of the unamended Convention on the Limitation Period in the International Sale of Goods.据指出,唯一一次出版的这种正式文本与未经修正的《国际货物销售时效期限公约》有关。
However, the Commission observed that explanatory notes were regularly included in the publication of UNCITRAL conventions, often with a disclaimer along the following lines: “This note has been prepared by the Secretariat of the United Nations Commission on International Trade Law for informational purposes;但委员会注意到,解释性说明通常包含在所出版的贸易法委员会公约内,并且往往附有大意如下的否认声明:“由联合国国际贸易法委员会秘书处编写的本说明供参考之用,并不是《公约》的正式评注。
it is not an official commentary on the Convention.” 330. It was noted that in considering what form of note, if any, should be published along with the Convention, certain characteristics of the Rotterdam Rules were thought to be relevant.330. 委员会注意到,在审议应与《公约》一起出版的任何说明的形式时,《鹿特丹规则》的某些特点被认为是相关的。
Those characteristics included the length and breadth of the Convention, its goal of harmonizing the highly disparate global regime for maritime transport, the voluminous travaux préparatoires, and the anticipated publication of several academic commentaries on the Convention in the coming months.这些特点包括《公约》的篇幅和范围、《公约》对差异极大的全球海上运输制度加以统一的目标、数量庞大的准备工作文件,以及预计在今后几个月出版的对《公约》的一些学术评注等。
331. There was general agreement in the Commission that the text of the Convention, along with the resolution of the General Assembly adopting it, should be published by the Secretariat as a separate document.331. 委员会内普遍认为秘书处应在单独一份文件中出版《公约》案文和通过《公约》的大会决议。
Further, there was broad support for the suggestion that the Secretariat should prepare an index to the lengthy travaux préparatoires that would assist readers in accessing the legislative history of the text on an article by article basis.此外,与会者广泛支持一项建议,即秘书处应编写长篇准备工作文件索引,帮助读者逐条了解案文的立法经过。
In addition, there was some support for the preparation of materials relating to the text that would alert the reader to cross-references to other relevant provisions of the Convention.此外,有些与会者支持编写与案文有关的材料,提醒读者注意与《公约》其他相关条文的相互参照。
332. Strong reservations were expressed regarding whether or not an explanatory note on the Convention should be prepared.332. 有与会者对是否应编写《公约》的解释性说明持强烈保留态度。
It was observed that, while lengthy, the Rotterdam Rules were a balanced and measured text that had been the product of complex negotiations over the course of several years.与会者指出,《鹿特丹规则》虽然篇幅很长,但它是一种平衡兼顾、措词严密的案文,是经过几年复杂谈判的结果。
It was said that the resulting text represented a carefully wrought compromise that States had specifically approved when the General Assembly had adopted the text in December 2008.与会者指出,最后案文是谨慎达成的一种妥协,在大会于2008年12月通过案文时,各国对此予以了特别认可。
Fear was expressed that it might be more difficult to understand the intricately woven agreement that had resulted in the adoption of the text if a detailed commentary were published, as it might unwittingly reopen certain issues in respect of which agreement had been particularly hard-won.与会者担心如果出版详细的评注,则在理解最终使案文得以通过的复杂的一致意见方面可能更加困难,因为这些评注可能会无意间重提经过极其艰难的历程达成一致的某些问题。
It was also suggested that that danger would be exacerbated if the commentary was to be an official one on which the views of States would be sought, for example, in the context of a Working Group.另外还指出,如果评注是一种需要征求各国意见(例如在工作组内)的正式评注,则这种危险性更大。
Further, it was questioned whether the preparation of a detailed commentary, whether or not it was considered by a Working Group, might not inadvertently delay the ratification process, as States awaited the outcome of those discussions.此外,与会者怀疑编写详细的评注,无论工作组审议与否,是否会在不经意间耽误批准过程,因为各国需要等待讨论结果。
In addition, the view was expressed that following the adoption of the Convention, its interpretation should be left to States and not be influenced by other actors.与会者还认为,《公约》通过后应当由各国来解释,而不应受其他方面的影响。
It was urged that in light of the expressed concerns, no commentary of any type should be published in conjunction with the text.有与会者强烈认为,鉴于所表达的各种关切,不应与案文一起出版任何类型的评注。
There was support for that view.这种观点获得了支持。
333. It was observed that while an official and detailed commentary on the text might be unwise, the preparation by the Secretariat of a more general explanatory note, not intended to affect the interpretation of the text, could aid in the uniform application of the Convention.333. 有与会者指出,虽然就案文编写正式和详细的评注也许并不明智,但秘书处编写一份更具一般性的、无意影响案文解释的解释性说明,可能会有助于《公约》的统一适用。
Further, it was thought that such a general note could assist States both in making recommendations to their legislatures as to whether or not to become party to the Convention, and in the later implementation of the Convention.与会者还认为,这种一般性说明可协助各国就是否加入《公约》向本国立法机关提出建议,而在加入情况下,又可有助于《公约》的实施。
There was support for that view.这种观点获得了支持。
334. After discussion, the Commission agreed that the Secretariat should prepare a brief introductory note to describe, in general terms, how the Convention had come into being, while avoiding entering into a discussion of substantive issues or a legal assessment; such a note could perhaps be along the lines of the note published with the United Nations Convention on Contracts for the International Sale of Goods (United Nations Sales Convention).334. 委员会经讨论后一致认为,秘书处应编写一份简短的介绍性说明,一般性地介绍《公约》的产生经过,但应避免讨论实质性问题或进行法律评估,这种说明或许可以采用与同《联合国国际货物销售时效期限公约》(“《联合国销售公约》”)一起出版的说明相类似的形式。
The view was expressed that it would be desirable for the Secretariat to present a draft introductory note for consideration by the Commission already at its forty-third session, subject to the availability of the relevant resources.有与会者认为,秘书处最好提出一份介绍性说明草案,以便在有有关资源的情况下由委员会第四十三届会议审议。
However, given the nature of the note as purely descriptive of the provisions of the Convention, and not intended to be used to interpret their content, the Commission decided that the note should be published, without seeking further review by the Commission, as an introduction to the index to the legislative history of the text (see para. 331 above), rather than as an attachment to the text of the Convention itself.但是,鉴于说明的性质纯粹是对《公约》条文的介绍,而无意用于条文内容的解释,委员会决定该说明应作为案文立法经过索引(见上文第331段)的导言而不是《公约》案文本身的附件出版,而无需征求委员会进一步审查。
IX. Possible future work in the area of electronic commerce 335.九. 今后可能在电子商务领域开展的工作
It was recalled that, in 2004, having completed its work on a draft convention on the use of electronic communications in international contracts, Working Group IV (Electronic Commerce) requested the Secretariat to continue monitoring various issues related to electronic commerce, including issues related to cross-border recognition of electronic signatures, and to publish the results of its research with a view to making recommendations to the Commission as to whether future work in those areas would be possible (A/CN.9/571, para. 12).335. 回顾在2004年,第四工作组(电子商务)在完成了有关国际合同使用电子通信公约草案的工作以后,请秘书处继续跟踪与电子商务有关的各种问题,包括与电子签名的跨国界承认有关的问题,并发表其研究结果,以便就今后是否有可能在这些领域开展工作向委员会提出建议(A/CN.9/571,第12段)。
336. It was also recalled that, at its fortieth session, in 2007, the Commission requested the Secretariat to continue to follow closely legal developments in the relevant areas, with a view to making appropriate suggestions in due course.336. 还回顾委员会2007年第四十届会议请秘书处继续密切跟踪相关领域的法律动向,以便在适当的时候提出相关建议。
At its forty-first session, in 2008, the Commission requested the Secretariat to engage actively, in cooperation with the World Customs Organization (WCO) 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 designed to handle cross-border transactions.又回顾委员会2008年第四十一届会议请秘书处与世界海关组织(海关组织)合作,在专家参与下积极研究实施跨国界单一窗口设施所涉的法律问题,以期拟定一份关于创设和管理单一窗口处理跨国界交易所涉法律问题的综合性国际参考文件。
The Commission noted that one of the benefits arising from its involvement in such a project would be the improved coordination of work between the Commission, WCO and the United Nations Centre for Trade Facilitation and Electronic Business.委员会注意到,参与这样一个项目所带来的好处之一是改进委员会、海关组织和联合国贸易便利和电子商务中心之间的工作协调。
The Commission also requested the Secretariat to report to the Commission on the progress of that work at its next session.委员会还请秘书处向委员会下届会议报告工作进展情况。
337. At the current session, the Commission had before it a note by the Secretariat (A/CN.9/678) providing an update on the work relating to policy considerations and legal issues in the implementation and operation of single window facilities.337. 委员会本届会议收到秘书处的一份说明(A/CN.9/678),其中介绍了与实施和操作单一窗口设施方面的政策考虑和法律问题有关的最新工作情况。
In particular, the note reported on the activities of the WCO-UNCITRAL Joint Legal Task Force on Coordinated Border Management incorporating the International Single Window (the Joint Legal Task Force) as well as on other regional initiatives in this field.该说明特别报告了海关组织—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(联合法律工作队)的活动,以及这一领域的其他区域举措。
Moreover, the note referred to a proposal for the compilation of a comprehensive reference document aimed at facilitating the task of legislators and policymakers, in particular in developing countries, when dealing with issues relating to electronic commerce.此外,说明还提到一项建议,即编拟一份综合参考文件,为特别是发展中国家的立法者和决策者在处理与电子商务有关的问题时提供工作便利。
338. The Commission had received further proposals for future work on electronic commerce from States.338. 委员会收到了各国就今后可能在电子商务领域开展的工作提出的进一步建议。
One proposal suggested the preparation of legal standards on the electronic transferability of rights to goods in transit as well as on electronic documents for bills of lading, letters of credit, insurance and other trade in and transportation of goods (A/CN.9/681 and Add.1).有一项建议是就以电子方式转让在途货物权利以及就提单、信用证、保险和其他事务以及货物运输相关电子单证拟订法律标准(A/CN.9/681和Add.1)。
A related proposal called for the preparation of uniform rules governing electronic transfer or negotiation of rights or documents with a view to fostering the migration of cross-border operations of this kind to the electronic environment; the suggested approach focused on the role of electronic registries and trusted third parties in these processes (A/CN.9/682).另一项有关建议要求拟订关于权利或单证的电子转让或流通的统一规则,以促进这类跨国界活动向电子环境的转移;所建议的方法侧重于电子登记处和受托第三方在这些过程中的作用(A/CN.9/682)。
A third proposal suggested preparing a study on possible future work on the subject of online dispute resolution in cross-border electronic commerce transactions (A/CN.9/681/Add.2).第三种建议是编写一份研究报告,说明今后可能就跨国界电子商务交易中的网上解决纠纷问题开展的工作(A/CN.9/681/Add.2)。
339. The Commission heard a statement from a representative of WCO on the work of the Joint Legal Task Force (see para. 411 below).339. 委员会听取了海关组织代表关于联合法律工作队工作情况的发言(见下文第411段)。
The Commission also heard a statement from the Inter-Parliamentary Assembly of the Eurasian Economic Community on the structure of that body and its activities relating to electronic commerce legislation and single window facilities (see paras. 407-409 below).委员会还听取了欧亚经济共同体议会间大会就该机构的结构及其与电子商务立法和单一窗口设施有关的活动所作的发言(见下文第407-409段)。
340. The Commission stressed the importance of the work of the Joint Legal Task Force, and, more generally, of the legal aspects of single window facilities for trade facilitation.340. 委员会强调了联合法律工作队的工作,以及更广泛来说,单一窗口设施法律问题对贸易便利化的重要性。
The desirability of focusing that work on practical outcomes, including by involving implementing bodies such as WCO, was also noted.委员会还希望通过让诸如海关组织等实施机构参与进来等方式,把工作重点放在实际成果上。
After discussion, the Commission requested the Secretariat to remain engaged in the Joint Legal Task Force, to report periodically on its achievements and to convene a Working Group session should the progress of work warrant it (see subpara. 437 (c) below).经讨论后,委员会请秘书处继续参加联合法律工作队,定期报告该工作队的成就,并在工作进度需要时召开工作组届会(见下文第437(c)段)。
341. The Commission agreed on the importance of the proposals relating to future work in the fields of electronic transferable records and of online dispute resolution to promote electronic commerce, for the reasons expressed in the proposals submitted to the Commission.341. 鉴于向委员会提交的建议中所述的原因,委员会一致认为与今后可能在可转让电子记录和网上解决纠纷领域开展的工作有关的建议对促进电子商务非常重要。
With respect to electronic transferable records, it was recalled that, as already noted at the Commission’s forty-first session, limited elements of commonality in the different records and rights transferred would not support immediate work at the working group level.关于可转让电子记录,委员会回顾,如委员会第四十一届会议已经指出的,由于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开展工作。
Thus, it was indicated that further information was needed in order to fully assess the scope and mandate of possible future work on those issues by Working Group IV.因此,委员会指出,需要提供进一步的信息,以充分评估第四工作组今后可能就这些问题开展工作的范围和任务。
342. With respect to the proposal on online dispute resolution, it was suggested that further studies should identify the different groups interested by possible future standards, including consumers.342. 关于网上解决纠纷建议,有与会者指出,进一步的研究应当确定对今后可能拟订的标准感兴趣的不同群体,包括消费者。
It was noted in this respect that the variety of rules on consumer protection made it particularly difficult to achieve harmonization in this field.在这方面,指出消费者保护规则的不同使这个领域的统一尤难实现。
Divergent views were expressed on the desirability of a discussion of the issue of enforcement of awards rendered in online arbitral proceedings.与会者对是否应当讨论网上仲裁程序所作裁决的执行问题发表了不同意见。
It was explained that practical difficulties arose from the fact that the disputes settled by such awards generally involved small monetary amounts, especially in consumer-related disputes, and from the costs of cross-border enforcement under existing instruments.与会者解释说,通过这种裁决解决的纠纷所涉金额一般较小,尤其是在与消费者有关的纠纷中,这一情况以及按照现有文书进行跨国界执行的费用造成了实际困难。
343. The Commission requested the Secretariat to prepare studies on the basis of the proposals in documents A/CN.9/681 and Add.1 and 2 and A/CN.9/682, with a view to reconsidering the matter at a future session.343. 委员会请秘书处根据文件A/CN.9/681和Add.1和2以及A/CN.9/682中的建议编写研究报告,以便在今后一届会议上重新审议这一事项。
It further requested the Secretariat to hold colloquiums on the same issues, resources permitting.委员会还请秘书处在资源允许的情况下就同一些问题举行专题讨论会。
344. The Commission was aware of the importance of providing adequate assistance to developing countries in addressing the digital divide, and of promoting the adoption of modern electronic commerce legislation.344. 委员会认识到向发展中国家提供适当援助以弥合数字鸿沟和促进通过现代电子商务立法的重要性。
However, the Commission did not consider it had sufficient information to support the proposal to initiate the compilation of a comprehensive reference document aimed at facilitating the task of legislators and policymakers.但委员会认为,委员会并没有足够信息来支持关于编写一份综合性参考文件以便利立法者和决策者工作的建议。
In this respect, it was noted that, while a significant amount of information had already been made available to the public, including through the UNCITRAL website, the studies already requested by the Commission to the Secretariat fully engaged its capacity in the near future.在这方面,委员会指出,虽然已向公众提供了大量信息,包括通过贸易法委员会网站提供信息,但委员会已经要求秘书处开展的研究使其在不远的将来必须全力以赴。
It was therefore suggested that the proposal could be reconsidered at a later stage, subject to availability of resources and to clarification of the specific issues to be covered in such compilation.因此,委员会指出,在有可用资源,并且这种参考文件将要涉及的具体问题已经明确的情况下,可在今后重新审议这一建议。
X. Possible future work in the area of commercial fraud十. 今后可能在商业欺诈领域开展的工作
345. It was recalled that the subject of commercial fraud had been considered by the Commission at its thirty-fifth to forty-first sessions, from 2002 to 2008, respectively.345. 回顾商业欺诈问题曾分别在2002-2008年委员会第三十五届至第四十一届会议上作过审议。
It was further recalled that at its thirty-seventh session, in 2004, the Commission agreed that it would be useful if, wherever appropriate, examples of commercial fraud were to be discussed in the particular contexts of projects worked on by the Commission so as to enable delegates involved in those projects to take the problem of fraud into account in their deliberations.还回顾到委员会2004年第三十七届会议一致认为,只要情况允许,就应特别结合委员会正在开展的项目讨论商业欺诈的实例,从而使参与此类项目的各位代表在其审议期间考虑到欺诈问题。
In addition, the Commission agreed in 2004 that the preparation of lists of common features present in typical fraudulent schemes (the “indicators of commercial fraud”) could be useful as educational material for participants in international trade and other potential targets of perpetrators of fraud in order to help them protect themselves from becoming victims of fraudulent schemes.此外,委员会还一致认为,编写典型欺诈做法共同特征的清单(“商业欺诈标志”)可用作国际贸易人员和有可能成为欺诈人目标的其他人的教材,有助于这些人自我保护,避免成为欺诈阴谋的受害人。
346. The Commission also recalled that at its thirty-eighth session, in 2005, its attention was drawn to Economic and Social Council resolution 2004/26 of 21 July 2004, pursuant to which the United Nations Office on Drugs and Crime (UNODC) had begun its work on economic crime and identity fraud.346. 委员会还回顾,在其2005年第三十八届会议上,与会者提请其注意到经济及社会理事会2004年7月21日第2004/26号决议,依照该决议,联合国毒品和犯罪问题办公室(毒品和犯罪问题办公室)开始了其关于经济犯罪和身份欺诈问题的工作。
In that same resolution, the Council recommended that the Secretary-General designate UNODC to serve as secretariat for an intergovernmental expert group to prepare a study on fraud and the criminal misuse and falsification of identity and to develop on the basis of the study useful practices, guidelines or other materials, in consultation with the secretariat of UNCITRAL.在同一项决议中,经社理事会建议秘书长指定毒品和犯罪问题办公室与贸易法委员会秘书处协商担任一个政府间专家组的秘书处,该政府间专家组负责编写欺诈、非法滥用和伪造身份资料问题研究报告并在研究报告基础上编写有益做法、准则或其他材料。
347. It was recalled that, at its forty-first session, in 2008, the Secretariat had reported both on its work on the indicators of commercial fraud, and on the comments received by States after the indicators had been circulated to them.347. 回顾在2008年第四十一届会议上,秘书处报告了其就商业欺诈标志问题开展的工作,以及这些标志分发给各国后从各国收到的意见。
It was also recalled that, at that session, the Commission had requested the Secretariat to make such adjustments and additions as were advisable to improve the materials and to subsequently publish them as a Secretariat informational note.还回顾委员会在该届会议上请秘书处为改进这些材料而作出适当的调整和增补,然后作为一份秘书处资料说明加以出版。
The Commission further recalled that at that session, it had heard a report on collaborative efforts undertaken by the Secretariat with UNODC in respect of the work of UNODC on economic fraud and identity fraud and reiterated its request that the Secretariat continue to cooperate with and to assist UNODC in its work on fraud and economic crime, and to keep the Commission informed of developments in that area.委员会还回顾在该届会议上听取了关于秘书处与毒品和犯罪问题办公室就毒品和犯罪问题办公室在经济欺诈和身份欺诈方面的工作进行合作努力的情况报告,重申请秘书处继续与毒品和犯罪问题办公室合作,协助其开展欺诈和经济犯罪领域的工作,并随时向委员会通报这方面的进展情况。
348. At the current session of the Commission, the Secretariat reported that several examples of fraudulent schemes that had come to light since the beginning of the global economic crisis were being added to the indicators, which were being updated and prepared for publication and dissemination.348. 秘书处向委员会本届会议报告,全球经济危机开始以来曝光的一些欺诈阴谋实例正在添入标志汇编,而标志汇编则正在加以增补和准备出版印发。
The Commission expressed its approval and its continued support for the publication and dissemination of indicators of commercial fraud.委员会表示认可,并继续支持出版和印发商业欺诈标志。
349. The Secretariat further reported that it had participated in all meetings of UNODC core group of experts on identity-related crime, which had been created to examine issues of economic fraud and identity fraud.349. 秘书处还报告说,其参加了毒品和犯罪问题办公室“与身份相关的犯罪问题核心专家组”的所有会议,该专家组是为审查经济欺诈和身份欺诈问题而设立的。
Three meetings of the core group of experts had been held, in November 2007, June 2008 and January 2009, the results of which had been considered by the Commission on Crime Prevention and Criminal Justice at its eighteenth session (18 April 2008 and 16-24 April 2009), under the agenda item entitled “Economic fraud and identity-related crime”.2007年11月、2008年6月和2009年1月,核心专家组分别举行了三次会议,预防犯罪和刑事司法委员会第十八届会议(2008年4月18日和2009年4月16日至24日)在“经济欺诈和与身份相关的犯罪”的议程项目下审议了核心专家组会议的成果。
350.
The Commission was informed that at its eighteenth session, the Commission on Crime Prevention and Criminal Justice had considered a number of texts on the issue of economic fraud, including: the reports of the first three meetings of the core group of experts (E/CN.15/2009/CRP.10, E/CN.15/2009/CRP.11 and E/CN.15/2009/CRP.12); a report of the Secretary-General on international cooperation in the prevention, investigation, prosecution and punishment of economic fraud and identity-related crime (E/CN.15/2009/2 and Corr.1); a note by the Secretariat, section II of which was on economic fraud and identity-related crime (E/CN.15/2009/15); a conference room paper on essential elements of criminal laws to address identity-related crime (E/CN.15/2009/CRP.9);350. 委员会获悉,预防犯罪和刑事司法委员会在第十八届会议上审议了关于经济欺诈问题的一些文件,包括:核心专家组前三次会议的报告(E/CN.15/2009/CRP.10、E/CN.15/2009/CRP.11和E/CN.15/2009/CRP.12);秘书长关于开展国际合作预防、侦查、起诉和惩处经济欺诈和与身份相关的犯罪的报告(E/CN.15/2009/2和Corr.1);秘书处的说明,其中第二节涉及经济欺诈和与身份相关的犯罪(E/CN.15/2009/15);会议室文件“关于处理与身份相关犯罪问题的刑法基本要素的论文”(E/CN.15/2009/CRP.9);关于对身份盗窃进行刑事定罪的法律方法的会议室文件(E/CN.15/2009/CRP.13)关于与身份相关犯罪的受害人问题的讨论文件(E/CN.15/2009/CRP.14)。
a conference room paper on legal approaches to criminalize identity theft (E/CN.15/2009/CRP.13);
and a discussion paper on identity-related crime victim issues (E/CN.15/2009/CRP.14). 351. The Commission was advised that two themes raised by the Commission on Crime Prevention and Criminal Justice at its eighteenth session might be of particular interest to UNCITRAL.351. 会上向委员会通报了预防犯罪和刑事司法委员会第十八届会议讨论期间提出的可能为贸易法委员会所特别关心的两个主题。
The first theme was the prevention of economic crime and identity-related crime, and cooperation in that regard with the private sector.第一个主题是预防经济犯罪和与身份相关的犯罪,以及在这方面与私营部门的合作。
The second theme was international cooperation in the prevention of economic fraud and identity-related crime, particularly in terms of raising awareness of the problem and providing technical assistance.第二个主题是开展国际合作预防经济欺诈和与身份相关的犯罪,特别是提高对问题的认识和提供技术援助。
The following conclusions reached by the Commission on Crime Prevention and Criminal Justice after the thematic discussions on economic crime and identity-related crime were reported to UNCITRAL as being of possible interest:预防犯罪和刑事司法委员会在关于经济犯罪和与身份相关的犯罪主题讨论之后达成的下列结论已向贸易法委员会作了报告,认为其可能会感兴趣:
(a) It was generally agreed that, in view of the increasing transnational nature of economic fraud and identity-related crime, it was indispensible to strengthen international cooperation mechanisms;(a) 普遍一致认为,鉴于经济欺诈和与身份相关的犯罪跨国性日益增加,加强国际合作机制是不可缺少的;
(b) Emphasis was placed on giving special consideration to the protection of victims of economic fraud and identity-related crime, particularly in terms of awareness-raising and educational programmes, among other issues;(b) 强调对保护经济欺诈和与身份相关犯罪的受害者给予特别考虑,除其他问题外,特别是开展提高认识和教育方案;
(c) The education of potential victims of fraud and identity-related crime, as well as the dissemination of information to them, were said to be critical elements of crime prevention strategies;(c) 据称,对欺诈和与身份相关犯罪的潜在受害人进行教育以及向他们传播信息是预防犯罪战略的关键组成要素;
(d) It was acknowledged that cooperation between the public and private sectors was essential in order to develop an accurate and complete picture of the problems posed by economic fraud and identity-related crime and in order to adopt and implement both preventive and reactive measures against such crime.(d) 据确认,公共与私营部门之间的合作至关重要,从而促使对经济欺诈和与身份相关犯罪所构成的问题有一个准确和全面的了解,并通过和实施针对这些犯罪的预防措施和应对措施。
352.
At its eighteenth session, the Commission on Crime Prevention and Criminal Justice recommended to the Economic and Social Council the adoption of a draft resolution, in which the Council acknowledged the efforts of UNODC to establish, in consultation with UNCITRAL, a core group of experts on identity-related crime and bring together on a regular basis representatives from Governments, private sector entities, international and regional organizations and academia to pool experience, develop strategies, facilitate further research and agree on practical action against identity-related crime.352. 预防犯罪和刑事司法委员会第十八届会议建议经济及社会理事会通过一项决议草案,其中确认了毒品和犯罪问题办公室所开展的工作,与贸易法委员会磋商建立了与身份相关犯罪问题核心专家组,并定期将各国政府、私营部门实体、国际和区域组织以及学术界的代表召集在一起,汇集经验,制定战略,为进一步研究提供便利,以及商定对付与身份相关犯罪的实际行动。
In the draft resolution, the Commission also recommended that the Council request UNODC to collect, develop and disseminate various materials, the most relevant of which for UNCITRAL were said to be the following: materials on technical assistance for training to enhance expertise and capacity to prevent and combat economic fraud and identity-related crime; useful practices and guidelines in establishing the impact of such crimes on victims; and best practices on public-private partnerships to prevent economic fraud and identity-related crime.在该决议草案中,预防犯罪和刑事司法委员会还建议经社理事会请毒品和犯罪问题办公室搜集、编制和印发各种材料,据称,其中与贸易法委员会最相关的如下:关于开展培训提高专业知识和能力以预防和打击经济欺诈和与身份相关犯罪的技术援助材料;确立这些犯罪对受害人影响的实用操作方法和准则;以及关于公私伙伴关系预防经济欺诈和与身份相关犯罪的最佳做法。
Finally, in the draft resolution it was requested that UNODC continue its efforts, in consultation with UNCITRAL, to promote mutual understanding and the exchange of views between public and private sector entities on issues related to economic fraud and identity-related crime, with the aim of facilitating cooperation, through the continuation of the work of the core group of experts, and to report on the outcome of its work to the Commission on Crime Prevention and Criminal Justice on a regular basis.最后,决议草案请毒品和犯罪问题办公室继续努力,与贸易法委员会磋商,在涉及经济欺诈和与身份相关犯罪的问题上促进公共与私营部门实体之间相互理解和交换看法,目的是通过核心专家组的继续工作为合作提供便利;决议草案还请办公室定期将其工作结果报告预防犯罪和刑事司法委员会。
353. The Commission took note that certain of the actions requested of UNODC by the Commission on Crime Prevention and Criminal Justice in its draft resolution would allow ample scope for integrating the work of UNCITRAL on the indicators of commercial fraud as an important tool for prevention and education and as a possible component of any broader efforts by UNODC in that regard.353. 委员会注意到,预防犯罪和刑事司法委员会决议草案中请毒品和犯罪问题办公室执行的某些行动将有充分的余地与贸易法委员会关于商业欺诈标志的工作结合起来进行,作为预防和教育方面一个重要工具,并作为毒品和犯罪问题办公室在这方面任何更大范围努力的一个可能组成部分。
In response to a question regarding the possibility of future work for UNCITRAL in that area, for example, the development of a code of conduct, the Commission was advised that, following the approval of the draft resolution by the Economic and Social Council, the Secretariat would consult with the UNODC secretariat regarding the possibilities for future work and collaboration, and would report on that issue to UNCITRAL at a future session of the Commission.关于对贸易法委员会今后可否在这一领域开展工作而提出的一个问题,例如拟订一套行为守则,委员会获悉,在经社理事会核准该决议草案之后,秘书处将与毒品和犯罪问题办公室秘书处就今后工作和协作的可能性进行磋商,并将在委员会今后的一届会议上向贸易法委员会报告有关这一问题的情况。
354. The Commission expressed its gratitude to the Secretariat for its work in the area of commercial fraud and expressed the desire that the Secretariat would continue its efforts at cooperation and collaboration with the UNODC secretariat in its work on economic fraud and identity-related crime, including by reporting to the Commission on developments at its future sessions.354. 委员会表示感激秘书处在商业欺诈领域的工作,并表示希望秘书处继续努力与毒品和犯罪问题办公室秘书处合作和协作开展关于经济欺诈和与身份相关犯罪问题的工作,包括向委员会今后的届会报告发展动态。
355. One delegation proposed that the Commission’s work in the area of commercial fraud should be extended to the area of financial fraud, in the light of the current situation and recent events in the financial market that had cross-border and international implications.355. 一个代表团建议,鉴于当前情况和最近金融市场发生的具有跨国界和国际影响的事件,委员会在商业欺诈领域的工作应扩大到金融欺诈领域。
It was proposed that, in the future, work on financial fraud could focus on developing further indicators of financial fraud and on identifying preventive measures.有代表团建议今后就金融欺诈开展的工作可以进一步拟订金融欺诈标志并查明预防措施为重点。
In addition, it was proposed that such work could also involve a study of measures for efficiently solving the consequences of financial fraud, with a view to preserving the integrity of the global financial market.还有代表团建议此类工作也可涉及研究一些措施,协助有效解决金融欺诈造成的后果,以便保护全球金融市场的完整性。
The creation of an institutional arbitration organ was mentioned as one such possible measure.提到作为可能采取的一项措施,可以建立一个具有公共机构特征的仲裁机关。
The Commission took note of those proposals.委员会注意到了这些建议。
XI.
Endorsement of texts of other organizations: 2007 revision of the Uniform Customs and Practice for Documentary Credits published by the International Chamber of Commerce十一. 对其他组织的文本的认可:国际商会公布的《跟单信用证统一惯例》 2007年修订本
356. The International Chamber of Commerce (ICC) requested the Commission to consider recommending the use in international trade of the 2007 revision of the ICC Uniform Customs and Practice for Documentary Credits (UCP 600), as it had with respect to the 1962, 1974, 1983 and 1993 versions of UCP.356. 国际商会请委员会考虑建议在国际贸易中使用国际商会《跟单信用证统一惯例》(UCP 600)2007年修订本,如同建议使用1962、1974、1983和1993年统一惯例版本那样。
357. The Commission recognized that UCP 600, which was aimed at establishing uniformity of practice in relation to dealings with documentary credits, provided successful international contractual rules governing documentary credits.357. 委员会确认,UCP 600的目标是在跟单信用证交易方面确立统一惯例,因而提供了成功管辖跟单信用证的国际合同规则。
Taking note of the significant changes made to the previous version of UCP, the Commission agreed to recommend the use of UCP 600, adopting the following decision:考虑到对上一版本的统一惯例作出的重大改动,委员会同意建议使用UCP 600,并通过下列决定:
“The United Nations Commission on International Trade Law,“联合国国际贸易法委员会,
“Expressing its appreciation to the International Chamber of Commerce for transmitting to it the revised text of ‘Uniform Customs and Practice for Documentary Credits’, which was approved by the Commission on Banking Technique and Practice of the International Chamber of Commerce on 25 October 2006, with effect from 1 July 2007,“表示感激国际商会向其转递《跟单信用证统一惯例》修订本,该文本于2006年10月25日经国际商会银行技术和惯例委员会核准,于2007年7月1日起生效,
“Congratulating the International Chamber of Commerce on having made a further contribution to the facilitation of international trade by bringing up to date its rules on documentary credit practice to allow for developments in the banking, transport and insurance industries and new technological applications,“祝贺国际商会通过增订更新其跟单信用证惯例规则以考虑到银行、运输和保险业的发展以及新的技术应用,从而对国际贸易的便利化作出的又一项贡献,
“Noting that ‘Uniform Customs and Practice for Documentary Credits’ constitutes a valuable contribution to the facilitation of international trade,“注意到《跟单信用证统一惯例》对国际贸易便利化构成一项宝贵贡献,
“Commends the use of the 2007 revision, as appropriate, in transactions involving the establishment of a documentary credit.”“推荐在涉及开立跟单信用证的交易中酌情使用2007年修订本。”
XII. Monitoring implementation of the New YorkConvention十二. 监督《纽约公约》的执行情况
358. 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 the International Bar Association, aimed at monitoring the legislative implementation of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (the New York Convention) and at considering procedural mechanisms that States had adopted for the recognition and enforcement of arbitral awards under the New York Convention.358. 委员会回顾,其1995年第二十八届会议核准了一个与国际律师协会D委员会(现称作仲裁委员会)共同实施的项目,目的是监督在立法方面《承认及执行外国仲裁裁决公约》(《纽约公约》)的情况,研究各国为根据《纽约公约》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 New York 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表的用意是,弄清各国将《纽约公约》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 New York Convention.在该项目下将要审议的一个主要问题是,缔约国在承认和执行仲裁裁决方面是否列入了《纽约公约》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 set out the issues raised by the replies received in response to the questionnaire circulated in connection with the project (A/CN.9/585).还有与会者回顾,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表之后所收到的答复中提出的问题。
359. At its current session, the Commission 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 New York Convention, based on replies sent by 108 States parties to the New York Convention (A/CN.9/656 and Add.1).359. 委员会本届会议回顾,其2008年第四十一届会议审议了有关该项目的书面报告,报告以《纽约公约》108个缔约国提交的答复为基础,介绍了各国执行《纽约公约》的情况,对《纽约公约》的解释和适用以及各国为根据《纽约公约》执行裁决而确定的要求和程序(A/CN.9/656和Add.1)。
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 New York Convention.委员会欢迎该报告所载的建议和结论,注意到其中强调在一些领域需要开展额外工作以加强对《纽约公约》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 New York Convention, with a view to promoting a uniform interpretation and application of the Convention, thus avoiding uncertainty resulting from its imperfect or partial implementation and limiting the risk that practices of States diverge from the spirit of the Convention.委员会普遍认为,该项目最后还应当力争拟订《纽约公约》颁布指南,以推动对《公约》加以统一解释和适用,从而避免因执行不当或部分执行而造成的不确定性,并限制各国做法偏离《公约》精神的可能性。
The Commission had requested the Secretariat to study the feasibility of preparing such a guide.委员会请秘书处研究能否拟订此种指南。
The Commission had also requested the Secretariat to publish on the UNCITRAL website the information collected during the project implementation, in the language in which it was received.委员会还请秘书处将项目执行期间搜集的信息按照收到时的语文在贸易法委员会网站上公布。
In addition, the Commission had agreed that, resources permitting, the activities of the Secretariat in the context of its technical assistance programme could usefully include dissemination of information on the judicial interpretation of the New York Convention, which would usefully complement other activities in support of the Convention.此外,委员会一致认为,如果资源允许的话,秘书处在技术援助方案范围内开展的活动可以包括传播对《纽约公约》进行司法解释的信息,对于为支持《公约》而开展的其他活动而言,这项工作不失为一种有益的补充。
360. At its current session, the Commission heard an oral report on the project.360. 委员会本届会议听取了有关该项目的口头报告。
The Commission noted 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.委员会注意到,正在计划编拟《纽约公约》颁布指南草案,在项目执行期间搜集的信息,如果已经确认准确无误,便将在贸易法委员会网站上公布。
The Commission urged States to provide the Secretariat with information regarding implementation of the New York Convention to ensure that the information published on the UNCITRAL website regarding that project remained up to date.为确保贸易法委员会网站公布的项目相关信息为最新信息,委员会促请各国向秘书处提供执行《纽约公约》的相关信息。
The Commission noted that comments received from States on the impact in their jurisdictions of the recommendation adopted by the Commission at its thirty-ninth session, in 2006, regarding the interpretation of article II, paragraph 2, and article VII, paragraph 1, of the New York Convention would also be published as part of the project.委员会注意到,作为该项目的一部分,还将公布各国提供的评述意见,这些评述意见涉及委员会2006年第三十九届会议所通过的关于《纽约公约》第二条第2款和第七条第1款的解释性建议对本国法域的影响。
It was noted that States generally supported the recommendation as a means to promote a uniform and flexible interpretation, in different jurisdictions, of the writing requirement for arbitration agreements under article II, paragraph 2, of the New York Convention.据指出,各国普遍支持将该建议作为一种手段来推动在不同法域统一灵活解释《纽约公约》第二条第2款所述仲裁协议书面要求。
The Commission noted that technical assistance activities would be designed and implemented in coordination with other international organizations to address specific issues identified during the project implementation.委员会称将协同其他国际组织设计和执行技术援助活动,以处理在项目执行期间发现的具体问题。
The Commission agreed that a more substantive presentation of the progress on the project regarding the implementation of the New York Convention should be made at a future session of the Commission.委员会一致认为,在委员会今后举行的一届会议上,应当以更加充实的内容专门介绍执行《纽约公约》项目的进展情况。
361. The Commission recalled that the ICC Commission on Arbitration had created a task force to examine the national rules of procedure for recognizing and enforcing foreign arbitral awards on a country-by-country basis.361. 委员会回顾,国际商会所属仲裁委员会设立了一个特别工作组,负责按国别逐一审查各国在承认和执行外国仲裁裁决上的议事规则。
The Commission expressed its appreciation to the ICC Commission on Arbitration and commended the Secretariat for maintaining close collaboration between the two institutions.委员会对国际商会所属仲裁委员会表示感谢,并称赞秘书处保证两机构间进行密切合作。
It was noted that IBA, at its annual meeting in 2008, had invited both a representative of UNCITRAL and of the ICC Commission on Arbitration to discuss their respective projects.据指出,国际律师协会在其2008年年会期间曾邀请贸易法委员会与国际商会所属仲裁委员会各派一名代表共同商讨各自的项目。
In view of the common features identified in the work of the Commission and ICC for the promotion of the New York Convention, the Commission expressed the wish that more opportunities for joint activities would be identified in the future.考虑到委员会与国际商会在各自推进《纽约公约》方面的工作上存在一些共同之处,委员会希望今后能找到更多的机会开展联合活动。
The Secretariat was encouraged to develop new initiatives in that respect.会议鼓励秘书处就此拟订新的举措。
XIII. Technical assistance and cooperation十三. 技术援助与合作
A. Technical cooperation and assistance activitiesA. 技术合作与援助活动
362. The Commission had before it a note by the Secretariat (A/CN.9/675 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-first session, in 2008 (A/CN.9/652).362. 委员会收到了秘书处的一份说明(A/CN.9/675和Add.1),其中介绍了在向委员会2008年第四十一届会议提交有关这一议题的说明(A/CN.9/652)之日以后开展的技术合作与援助活动。
The Commission emphasized the importance of such technical cooperation and expressed its appreciation for the activities undertaken by the Secretariat referred to in document A/CN.9/675, paragraphs 8-31.委员会强调了此种技术合作的重要性,并对A/CN.9/675号文件第8-31段中所述秘书处开展的活动表示赞赏。
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.委员会强调,法律技术援助,特别是向发展中国家提供的这类援助,其重要性不亚于拟订统一规则本身。
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.因此,委员会鼓励秘书处继续尽可能广泛地提供这类援助,并特别加强对发展中国家的援助。
363. The organization of technical assistance and cooperation activities on a regional basis was supported as being particularly useful.363. 与会者支持在区域一级组织技术援助与合作活动,认为这种做法特别有用。
The Commission requested the Secretariat to explore the possibility of establishing a presence in regions or specific countries through, for example, having dedicated staff in United Nations field offices, collaboration with such existing field offices or establishing UNCITRAL country offices.委员会请秘书处研究有没有可能在各区域或特定国家建立一种存在,方法包括向联合国外地办事处派驻专门人员,与已有的这类外地办事处合作,或者设立贸易法委员会国别办事处。
In addition to technical assistance with respect to the use and adoption of UNCITRAL texts, it was also pointed out that many countries faced difficulties in maintaining a sustained presence in the Commission and its working groups and that they might require assistance in preparing for and participating in the work of those bodies, particularly where the topics being discussed were highly technical, to ensure they could develop the capacity to participate effectively.除了与使用和通过贸易法委员会法规有关的技术援助外,与会者还指出,许多国家在持续参加委员会及其工作组方面存在困难,这些国家在筹备和参与这些机构的工作上,尤其是在讨论技术性很强的议题时可能需要援助,以确保它们具备有效参与能力。
It was suggested that establishing channels of information to facilitate monitoring, on a continuing basis, of the work that was being done might also be useful.据指出,建立信息渠道以便于持续跟踪所开展的工作,可能也会有所助益。
364. 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.364. 委员会注意到,能否持续根据各国和区域组织的要求开展技术合作与援助活动,取决于是否有资金负担贸易法委员会的相关费用。
The Commission in particular noted that, despite efforts by the Secretariat to solicit new donations, funds available in the UNCITRAL Trust Fund for Symposia were very limited.委员会尤其注意到,尽管秘书处努力争取新的捐款,贸易法委员会专题讨论会信托基金可用的资金仍然很有限。
Accordingly, requests for technical assistance activities had to be very carefully considered and the number of such activities limited.因此,不得不非常谨慎地考虑技术援助活动请求,并限制这类活动的数量。
The Commission requested the Secretariat to explore avenues for UNCITRAL to use extrabudgetary resources in a way similar to that used by UNODC to provide technical assistance, noting that UNCITRAL should have at its disposal the means necessary to carry out technical cooperation and assistance activities.委员会请秘书处探讨如何采取与毒品和犯罪问题办公室的技术援助方法相类似的办法利用预算外资源,指出委员会应当有可以支配的开展技术合作和援助活动的必要资金。
365. The Commission appealed to all States to assist the Secretariat in identifying sources of available funding in their State 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.365. 委员会吁请所有国家协助秘书处在本国或可能与贸易法委员会合作的组织中找到可用的资金来源,支持开展技术合作与援助活动,从而推动使用和通过贸易法委员会的法规并广泛参与这些法规的拟定工作。
366. 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 requests from developing countries and countries with economies in transition for technical assistance and cooperation activities.366. 委员会还再次吁请所有国家、国际组织和其他有关实体考虑向贸易法委员会专题讨论会信托基金捐款,可能的话以多年捐款或专门用途捐款的形式捐款,以便利制订计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不断增加的技术援助与合作活动请求。
The Commission expressed its appreciation to Cameroon, Mexico, and Singaporefor contributing to the Trust Fund since the Commission’s forty-first session and to organizations that had contributed to the programme by providing funds or by hosting seminars.委员会对喀麦隆、墨西哥和新加坡自委员会第四十一届会议以来向该信托基金提供捐款表示感谢,并感谢一些组织通过提供经费或主办研讨会对该方案作出的贡献。
The Commission also expressed its appreciation to France, which had funded a junior professional officer to work in the Secretariat.委员会还感谢法国为一名初级专业人员在秘书处工作提供了资金。
367. 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.367. 委员会吁请联合国系统相关机构、各组织、机构和个人提供自愿捐款,资助为向委员会成员国中的发展中国家提供旅行补助而设立的信托基金。
The Commission expressed its appreciation to Austriafor contributing to the UNCITRAL Trust Fund and therefore enabling travel assistance to be granted to developing countries that are members of UNCITRAL.委员会还感谢奥地利向贸易法委员会信托基金捐款,从而使委员会成员国中的发展中国家能够得到旅行补助。
B. Support to the uniform interpretation of UNCITRAL textsB. 支持对贸易法委员会法规的统一解释
368. The Commission noted with appreciation the continuing work under the system established for the collection and dissemination of case law on UNCITRAL texts (CLOUT).368. 委员会赞赏地注意到在为搜集和传播贸易法委员会法规判例法(法规判例法)而设立的系统下继续开展的工作。
As at 8 April 2009, 83 issues of compiled case-law abstracts from the CLOUT system had been prepared for publication, dealing with 851 cases relating mainly to the United Nations Sales Convention and the UNCITRAL Model Arbitration Law, and also including some cases on the UNCITRAL Model Law on Cross-Border Insolvency.截至2009年4月8日,已经根据法规判例法系统编印了83期判例法摘要,涉及851个案例,主要与《联合国销售公约》和《贸易法委员会仲裁示范法》有关,也包括与《贸易法委员会跨国界破产示范法》有关的一些案例。
369. It was widely agreed that the CLOUT system continued to be an important tool for promoting broader use and better understanding of the legal standards developed by UNCITRAL.369. 普遍认为,法规判例法系统仍然是促进更广泛地利用和更好地了解贸易法委员会所拟订的法律标准的一个重要工具。
It was also felt that the enhancement of the CLOUT system to disseminate case law and other legal materials in all six official languages of the United Nations was key to a more uniform interpretation and application of UNCITRAL texts and should be dealt with as a matter of priority, alongside technical assistance to law reform undertaken by UNCITRAL.此外还认为,加强法规判例法系统从而能够以联合国全部六种正式语文传播判例法和其他法律材料是对贸易法委员会法规进行更加统一的解释和适用的关键,应将此作为一个优先事项处理,同时向贸易法委员会实施的法律改革提供技术援助。
370. The Commission expressed its appreciation to the national correspondents and other contributors for their work in developing the CLOUT system.370. 委员会对国家通讯员和其他撰稿人在发展法规判例法系统方面所做的工作表示感谢。
It also noted the need for a collection system that would be sustainable over time and could respond to changing circumstances.委员会还注意到需要建立一个可持续的并且能够应对不断变化的情况的搜集系统。
The Commission agreed that States that had appointed national correspondents should be requested to reconfirm that appointment every five years, enabling those correspondents who wished to remain actively involved to continue their work and providing an opportunity for new correspondents to join the network.委员会一致认为,应当请已经任命国家通讯员的国家每五年重新确认一次任命,从而使那些希望继续积极参与的通讯员能够继续工作,并为新的通讯员加入网络提供机会。
In order to facilitate implementation of that provision, the term of current national correspondents would expire in 2012 and States would be asked to reconfirm the appointment of their national correspondents at that time and every five years thereafter.为便利执行这一规定,现任国家通讯员的任期将于2012年届满,请各国届时重新确认本国任命的国家通讯员,并在此后每五年重新确认一次。
The Secretariat was requested to update the existing guidelines for national correspondents (see A/CN.9/SER.C/GUIDE/1/Rev.1) to reflect those changes.委员会请秘书处修订现有的国家通讯员准则(见A/CN.9/SER.C/GUIDE/1/Rev.1),以反映这些变动。
371. The Commission noted the need to enhance the completeness of the collection of case law both from countries that already participate in the CLOUT system and from countries that are currently underrepresented.371. 委员会注意到需要进一步完备从已经参加法规判例法系统的国家和目前在系统中缺乏代表性的国家搜集判例法的工作。
The Commission mandated the Secretariat to utilize all available sources of information that might supplement the information provided by the national correspondents.委员会授权秘书处利用一切可用的信息来源,对国家通讯员提供的资料加以补充。
The Secretariat was requested to carry out that task in collaboration with national correspondents where appointed.委员会还请秘书处与所任命的国家通讯员合作开展这项工作。
372. The Commission noted that the continued ability of CLOUT to provide meaningful information was dependent on the regular maintenance and development of the system.372. 委员会注意到法规判例法能否继续提供有用信息取决于该系统是否得到经常维护和发展。
The Commission further noted that those activities were resource intensive and the Secretariat was currently stretching its available resources to ensure coordination of the system.委员会还注意到,这些活动需要大量资源,秘书处目前正在对可用资源精打细算,以确保该系统的协调。
The Commission appealed to all States to assist the Secretariat in the search for available funding at the national level to ensure coordination and expansion of the CLOUT system.委员会吁请所有国家协助秘书处寻找国家一级的可用资金,以确保能够协调和扩大法规判例法系统。
373. The Commission noted that the digest of case law on the United Nations Sales Convention had been published and that work was commencing on a revised edition for a possible publication in 2010.373. 委员会注意到《联合国销售公约》判例法摘要目前已经出版,并在开始编写修订本,以供可能的话在2010年出版。
It was also noted that a quarterly bulletin and an information brochure had been developed to facilitate dissemination of information on the CLOUT system.委员会还注意到每季度出版一期公报,并编写了宣传册,以促进法规判例法系统的信息传播。
C. Library and online resourcesC. 图书馆和网上资源
374. The Commission further noted developments with respect to the UNCITRAL website (www.uncitral.org), emphasizing its importance as a component of the overall UNCITRAL programme of information and technical assistance activities.374. 委员会还注意到贸易法委员会网站(www.uncitral.org)的开发情况,强调该网站作为贸易法委员会宣传和技术援助活动总体方案的组成部分所具有的重要性。
The Commission expressed its appreciation for the availability of the website in the six official languages of the United Nations and encouraged the Secretariat to maintain and further upgrade the website in accordance with existing guidelines.委员会对于网站使用联合国六种正式语文表示赞赏,并鼓励秘书处根据现行准则对该网站加以维护并进一步升级换代。
It was noted with particular appreciation that, since the holding of the forty-first session of the Commission, the website had received over one million visits.委员会特别赞赏地注意到,自委员会第四十一届会议举行以来,该网站的访问次数已超过100万。
The monitoring of news and information dealing with the activities of UNCITRAL and the availability of it on the website were welcomed.委员会对跟踪关于贸易法委员会活动的新闻和信息并在委员会网站上加以公布表示欢迎。
375. The Commission took note with appreciation of developments regarding the UNCITRAL Law Library, in particular those relating to the development of online resources and audio-visual materials.375. 委员会赞赏地注意到贸易法委员会法律图书馆特别是网上资源和视听材料开发方面的动态。
It also noted developments with respect to UNCITRAL publications, including the note of the Secretariat containing the bibliography of recent writings related to the work of UNCITRAL (A/CN.9/673) and the availability of online updates to the annual document.委员会还注意到贸易法委员会出版物方面的动态,包括秘书处关于与贸易法委员会工作有关的最新著作目录的说明(A/CN.9/673),以及年度文件的在线更新。
XIV.十四. 贸易法委员会法规的现状和促进
Status and promotion of UNCITRAL texts 376. 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.9/674) and updated information available on the UNCITRAL website.376. 委员会根据秘书处的一份说明(A/CN.9/674)和贸易法委员会网站上提供的最新资料,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-first session regarding the following instruments:委员会赞赏地注意到自委员会第四十一届会议以来收到的关于就下列文书采取的以下条约行动和颁布立法行动的信息:
(a) [Unamended] Convention on the Limitation Period in the International Sale of Goods, 1974 (New York) (new action by Belgium; 28 States parties);(a) [未修订的]1974年《国际货物销售时效期限公约》(纽约)(比利时实施了新行动;28个缔约国);
(b) Convention on the Limitation Period in the International Sale of Goods, as amended, 1980 (New York) (new action by Belgium; 20 States parties);(b) 修订后的1980年《国际货物销售时效期限公约》(纽约)(比利时实施了新行动;20个缔约国);
(c) United Nations Convention on the Carriage of Goods by Sea, 1978 (Hamburg) (34 States parties);(c) 1978年《联合国海上货物运输公约》(汉堡)(34个缔约国);
(d) United Nations Convention on Contracts for the International Sale of Goods, 1980 (Vienna) (new actions by Albania, Armenia, Japanand Lebanon; 74 States parties);(d) 1980年《联合国国际货物销售合同公约》(维也纳)(阿尔巴尼亚、亚美尼亚、日本和黎巴嫩实施了新行动;74个缔约国);
(e) United Nations Convention on International Bills of Exchange and International Promissory Notes, 1988 (New York) (the Convention has five States parties; it requires ten States parties for entry into force);(e) 1988年《联合国国际汇票和国际本票公约》(纽约)(《公约》已有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 (Vienna) (the Convention has four States parties; it requires five States parties for entry into force);(f) 1991年《联合国国际贸易运输港站经营人赔偿责任公约》(维也纳)(《公约》已有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 (New York) (eight States parties);(g) 1995年《联合国独立担保和备用信用证公约》(纽约)(8个缔约国);
(h) United Nations Convention on the Assignment of Receivables in International Trade, 2001 (New York) (the Convention has one State party; it requires five States parties for entry into force);(h) 2001年《联合国国际贸易应收款转让公约》(纽约)(《公约》已有1个缔约国;《公约》生效需有5个缔约国);
(i) United Nations Convention on the Use of Electronic Communications in International Contracts, 2005 (New York) (the Convention requires three States parties for entry into force);(i) 2005年《联合国国际合同使用电子通信公约》(纽约)(《公约》生效需有3个缔约国);
(j) Convention on the Recognition and Enforcement of Foreign Arbitral Awards, 1958 (New York) (new actions by the Cook Islands and Rwanda; 144 States parties);(j) 1958年《承认及执行外国仲裁裁决公约》(纽约)(库克群岛和卢旺达实施了新行动;144个缔约国);
(k) UNCITRAL Model Law on International Commercial Arbitration (1985, amended in 2006) (new legislation based on the Model Law has been adopted in the Dominican Republic (2008), Honduras (2000), Serbia (2006) and the former Yugoslav Republic of Macedonia (2006); new legislation based on the Model Law as amended in 2006, has been adopted in Mauritius (2008), New Zealand (2007), Peru (2008) and Slovenia (2008));(k) 《贸易法委员会国际商事仲裁示范法》(1985年、2006年修订)(多米尼加共和国(2008年)、洪都拉斯(2000年)、塞尔维亚(2006年)和前南斯拉夫的马其顿共和国(2006年)根据《示范法》通过了新立法;毛里求斯(2008年)、新西兰(2007年)、秘鲁(2008年)和斯洛文尼亚(2008年)根据2006年修订的《示范法》通过了新立法);
(l) UNCITRAL Model Law on International Credit Transfers (1992);(l) 《贸易法委员会国际贷记划拨示范法》(1992年);
(m) UNCITRAL Model Law on Procurement of Goods, Construction and Services (1994) (new legislation based on the Model Law has been adopted in Bangladesh, Ghana, Guyana, Madagascar, Nepal, Rwandaand Zambia);(m) 《贸易法委员会货物、工程和服务采购示范法》(1994年)(孟加拉国、加纳、圭亚那、马达加斯加、尼泊尔、卢旺达和赞比亚根据《示范法》通过了新立法);
(n) UNCITRAL Model Law on Electronic Commerce (1996) (new legislation based on the Model Law has been adopted in Brunei Darussalam (2000), Cape Verde(2003) and Guatemala(2008));(n) 《贸易法委员会电子商务示范法》(1996年)(文莱达鲁萨兰国(2000年)、佛得角(2003年)和危地马拉(2008年)根据《示范法》通过了新立法);
(o) UNCITRAL Model Law on Cross-Border Insolvency (1997) (new legislation based on the Model Law has been adopted in Mauritius(2009) and Slovenia(2008));(o) 《贸易法委员会跨国界破产示范法》(1997年)(毛里求斯(2009年)和斯洛文尼亚(2008年)根据《示范法》通过了新立法);
(p) UNCITRAL Model Law on Electronic Signatures (2001) (new legislation based on the Model Law has been adopted in Cape Verde (2003) and Guatemala (2008); legislation influenced by the principles on which the Model Law is based has been adopted in Costa Rica (2005));(p) 《贸易法委员会电子签名示范法》(2001年)(佛得角(2003年)和危地马拉(2008年)根据《示范法》通过了新立法;哥斯达黎加(2005年)通过了受《示范法》基本原则影响的立法);
(q) UNCITRAL Model Law on International Commercial Conciliation (2002) (legislation influenced by the Model Law and the principles on which it is based has been enacted in the United States of America by the States of Idaho, South Dakota, Utah and Vermont, as well as by the District of Columbia).(q) 《贸易法委员会国际商事调解示范法》(2002年)(美利坚合众国爱达荷州、南达科他州、犹他州、佛蒙特州以及哥伦比亚特区颁布了受《示范法》基本原则影响的立法)。
377. With respect to model laws and legislative guides, the Commission noted that their use in and influence on the legislative work of States and intergovernmental organizations was considerably greater than suggested by the limited information available to the Secretariat and reflected in the above-mentioned note.377. 关于示范法和立法指南,委员会注意到,这些文书在各国和政府间组织立法工作中的利用及其影响远远超过向秘书处提供的有限信息所表明的以及上述说明中所反映的程度。
378. The Commission was informed and noted with appreciation, that a number of States had adopted legislation that would enable them to become a party to the United Nations Sales Convention and the United Nations Convention on the Use of Electronic Communications in International Contracts and that the instruments expressing consent to be bound would be deposited with the Secretary-General in due course.378. 委员会获悉并且赞赏地注意到,一些国家通过了将使其能够加入《联合国销售公约》和《联合国国际合同使用电子通信公约》的立法,表示愿受约束的文书将在适当时间内交由秘书长保存。
XV. Working methods of UNCITRAL十五. 贸易法委员会工作方法
379. The Commission recalled that, at the first part of its fortieth session (Vienna, 25 June-12 July 2007), it had before it observations and proposals by Franceon the working methods of the Commission (A/CN.9/635) and engaged in a preliminary exchange of views on those observations and proposals.379. 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看法。
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,应将工作方法问题列作委员会第四十届会议续会(2007年12月10日至14日,维也纳)议程上的一个特别议题。
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.为方便所有相关国家进行非正式磋商,委员会请秘书处把由贸易法委员会自身所确定的或由大会关于委员会工作的决议所确定的各种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.委员会还请秘书处在资源允许的情况下作出必要安排,以便所有相关国家的代表能够在委员会第四十届会议续会开幕前一天会面,而且如有可能还可在续会期间会面。
380. The Commission further recalled that, at its resumed fortieth session, it considered the issue of the working methods of the Commission on the basis of observations and proposals by France (A/CN.9/635), observations by the United States (A/CN.9/639) and the requested note by the Secretariat on the rules of procedure and methods of work of the Commission (A/CN.9/638 and Add.1-6).380. 委员会还回顾,委员会第四十届会议续会以法国的意见和建议(A/CN.9/ 635)、美国的意见(A/CN.9/639)以及秘书处根据要求提供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)为基础,审议了委员会的工作方法问题。
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.委员会获知,所有相关国家的代表于2007年12月7日就委员会的议事规则和工作方法进行了非正式协商。
At that session, the Commission agreed that 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) and the note by the Secretariat (A/CN.9/638 and Add.1-6), which was considered as providing a particularly important historical overview of the establishment and evolution of the UNCITRAL rules of procedure and methods of work.在该届会议上,委员会商定:今后的任何审查应以委员会此前对该问题的审议情况、法国和美国的意见(A/CN.9/635和A/CN.9/639)及秘书处的说明(A/CN.9/638和Add.1-6)为基础,据认为,秘书处的说明对贸易法委员会议事规则及其工作方法的制定和演变过程作了特别重要的历史回顾。
The Commission also agreed that the Secretariat should be entrusted with the preparation of a working document describing current practices of the Commission as regards 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).委员会还一致认为,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,特别是在作出决定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 be used 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就该事项进行的正式和非正式审议。
It was understood that, where appropriate, the Secretariat should indicate its observations on the 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意见供委员会审议。
The Commission further agreed that the Secretariat should circulate the working document to all States for comment and subsequently compile any comments it might receive, that informal consultations among all interested States might be held, if possible, before the forty-first session of the Commission, and that the working document might be discussed already at the Commission’s forty-first session, time permitting.委员会还一致认为,秘书处应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。 如果可能,所有相关国家可以在委员会第四十一届会议之前举行非正式协商。 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。
381. The Commission also recalled that, at its forty-first session, in 2008, it had before it a note by the Secretariat describing current practices of the Commission as regards decision-making, the status of observers in UNCITRAL and the preparatory work undertaken by the Secretariat (A/CN.9/653).381. 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,其中对委员会在作出决定方面的现行做法、观察员在贸易法委员会中的地位以及秘书处的筹备工作作了介绍(A/CN.9/653)。
At that session, the Commission 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另一份说明,其中汇总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.1-5)。
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.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 what its final form would be.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,征求各国和有关国际组织的意见,然后汇总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 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。
382. At the current session, the Commission had before it a note by the Secretariat containing a first draft of a reference document (A/CN.9/676).382. 委员会本届会议收到秘书处的一份说明,其中载有参考文件初稿(A/CN.9/676)。
The Commission was informed that, as requested by the Commission at its forty-first session, the draft reference document had been circulated for comments by States and interested international organizations, and that comments received by the Secretariat had been compiled in document A/CN.9/676/Add.1-9.委员会获悉,按照委员会第四十一届会议的要求,该参考文件草稿已被分发给各国和有关国际组织征求意见,并在A/CN.9/676/Add.1-9号文件中对秘书处收到的意见进行了汇总。
The Commission also had before it a proposal by France(A/CN.9/680) for revisions to be made to the reference document (A/CN.9/676).委员会还收到了法国关于修订参考文件(A/CN.9/ 676)的提案(A/CN.9/680)。
Also as requested by the Commission at its forty-first session, the Commission devoted the first two days of its current session to informal consultations on the topic of working methods.同样按照委员会第四十一届会议的要求,委员会将本届会议的头两天用于就工作方法问题举行非正式协商。
383. The Commission expressed its appreciation for the documents and generally agreed that they provided a sound basis for formulating a set of guidelines as a reference for the chairpersons, delegates and secretariat of UNCITRAL.383. 委员会对所收到的文件表示赞赏,普遍认为这些文件为制定一套准则供贸易法委员会会议主席、与会代表和秘书处参考奠定了坚实的基础。
The subsequent discussion was based on document A/CN.9/676.随后的讨论是以A/CN.9/676号文件为基础进行的。
384. The Commission noted that paragraphs 1-14 and 37-43 of document A/CN.9/676 had been considered in informal consultations.384. 委员会注意到在非正式协商期间审议了A/CN.9/676号文件第1至14段和第37至43段。
After the informal consultations, possible revisions to paragraphs 11, 12 and 14 were made available for consideration by the Commission.经过非正式协商,提出了对第11、12和14段的可能修订,供委员会审议。
385. It was suggested that paragraph 11 should be revised to read as follows:385. 建议将第11段修订如下:
“11.“11. 联合国对于协商一致并无确定的定义。
There is no established United Nations definition of consensus. However, in United Nations practice, consensus is generally understood to mean adoption of a decision without formal objection and vote; this being possible only when no delegation formally objects to a consensus being recorded, though some delegations may have reservations to the substantive matter at issue or to a part of it.但在联合国的实践中,人们通常将协商一致理解为是指,在没有正式反对意见和未经正式表决的情况下通过一项决定;协商一致得以成立的先决条件是:虽然有些代表团对所涉实质性事项或部分事项持有保留意见,但没有一个代表团对所记录的协商一致正式表示反对。
The fact that consensus is recorded does not necessarily mean that there is unanimity of opinion, namely, complete agreement as to substance and a consequent absence of reservations.12 ‘Consensus’ should therefore be distinguished from ‘unanimity’, i.e., the decision-taking by a vote wherein no negative votes are cast, albeit with abstentions.达成协商一致的事实并不一定表明意见全体一致,也就是说并不表明对实质内容取得完全一致并从而毫无保留。 12因此,“协商一致”应当有别于全体一致,全体一致是指在没有反对票但可能有弃权票的情况下通过表决作出决定的方式。
There are numerous occasions in United Nations practice where States make declarations or reservations to a matter at issue while not objecting to a decision being recorded as taken by consensus,13 which includes a decision taken ‘without a vote’.在联合国的实践中,曾多次出现有些国家对所涉问题申明立场或作出保留,但同时又不反对把通过的决定记录为以协商一致方式作出。 13其中包括“未经表决”作出的决定。
_______________” ____________
“12 See the legal opinion in United Nations Juridical Yearbook, 1987 (United Nations publication, Sales No. E.96.V.6), pp. 174-175, under item 5.“12 见1987年《联合国司法年鉴》(联合国出版物,出售品编号:E.96.V.6)项目5中的法律意见,第174-175页。
“13 Ibid. The 1987 legal opinion is reproduced in a note by the Secretariat (A/CN.9/638/Add.4, para. 22).“13 同上。 1987年的法律意见转载于秘书处说明(A/CN.9/638/Add.4,第22段)。
Paragraphs 16-24 of that note clarify the meaning of ‘consensus’ in United Nations practice.该说明第16至24段对在联合国实践中“协商一致”的含义作了澄清。
Some organs distinguish between ‘consensus’ and ‘decision without a vote’.有些机构对“协商一致”和“未经表决的决定”作了区分。
‘Consensus’ is used simply to reflect a situation where disagreeing delegations would not have pressed their disagreement to the point where no ‘decision by consensus’ could be reached.“协商一致”只是用来反映持有不同意见的代表团不至于因为其持有不同意见而坚持不得“以协商一致作出决定”的情形。
In that case, disagreeing delegations could, of course, have voiced their disagreement and, if they so wished, could have had their views reflected in the records.在这类情形中,持有不同意见的代表团当然可以发表其不同意见,而且如果愿意的话,可以要求将其意见载入记录。
Where delegations do not wish to be closely associated with the decision, they have on occasion had the decision recorded as taken ‘without a vote’.如果有些代表团不愿意与所作决定有着密切的联系,它们有时还可要求将决定记录为“未经表决”作出的决定。
Such a decision would have a less positive appearance and, it may be said, does not represent ‘consensus’ in its truest form.这类决定看似不很肯定,而且可以说并不代表真正意义上的“协商一致”。
Other organs use the terms ‘by consensus’, ‘without a vote’ or ‘by general agreement’ interchangeably.其他机构交替使用“以协商一致的方式”、“未经表决”或“以普遍一致的方式”等用语。
In any event, as noted in the 1987 legal opinion, ‘the legal status of a decision is not affected by the manner in which it is reached.毕竟正如1987年法律意见所述,“一项决定的法律地位并不受作出决定的方式所影响。
Once adopted, it has the status of a legally adopted decision’.”决定一旦通过,便享有合法通过的决定的地位”。
386. It was generally agreed that the suggested revision fully reflected the discussion during the informal consultations.386. 普遍认为所提议的修订充分反映了非正式期间的讨论情况。
However, a concern was expressed with regard to whether such a paragraph, which described the practices of consensus in the United Nations at large, and thus related to United Nations bodies other than the Commission, could form part of a document produced by the Commission.但有与会者表示关切说,由于该段描述的是整个联合国的协商一致做法,从而与联合国机构而不是委员会有关,因此不知其能否构成委员会编写的文件的一部分。
The Commission took note of those reservations.委员会注意到这些保留意见。
After discussion, the Commission found paragraph 11 as reproduced in paragraph 385 of the present report to be generally acceptable.委员会经讨论后认为,本报告第385段所转载的第11段得到了普遍接受。
387. The Commission found the following text for paragraph 12, revised to ensure consistency with the language used in paragraph 11, to be generally acceptable:387. 委员会认为,普遍接受为确保与第11段所用措词相一致而修订过的第12段的以下案文:
“12. Consensus in the Commission may reflect a complete agreement as to substance and a consequent absence of reservations. It may also be based on the substantially prevailing view, a flexible notion that does not embody a pre‑defined mode of calculation and is characterized by a strong majority of opinions and the absence of formal objection and vote.“12. 委员会的协商一致可能表明在实质内容上完全一致并从而毫无保留,也可能是以占绝对主导地位的看法为依据,这是一个灵活的概念,并非一种事先确定的计算方法,其特点是,某种意见占压倒性多数,不存在正式反对意见和表决。
Delegations may request that the decision be recorded as taken without a vote.”代表团可要求将所作决定记录为未经表决作出的决定。
388. Although there was some support for deleting the last sentence or moving it to section 3 on voting, the decision was made that it should be retained in paragraph 12.388. 尽管有与会者支持删除最后一句,或将其移至关于表决的第3节,但还是决定该句应保留在第12段中。
389. The Commission emphasized that the role of the chairperson included advancing negotiations, facilitating consensus and determining the existence and exact nature of the consensus.389. 委员会强调主席的作用包括推动谈判、促进达成协商一致以及确定协商一致是否存在及其确切性质。
After discussion, the Commission found that a text for the chapeau of paragraph 14 along the following lines would be generally acceptable subject to possible drafting refinement, which the Secretariat was requested to consider for discussion at a future session (the content of the accompanying footnote was not discussed):委员会经讨论后认为,内容大致如下的第14段前导句得到普遍接受,但可能需要改进措词,请秘书处考虑这一问题以供今后一届会议讨论(未讨论所附脚注的内容):
“14. The chairperson plays an important role in facilitating and determining the existence and the exact nature of a consensus.15 The chairperson should be committed to advancing negotiations in order to reach a widely acceptable solution.“14. 主席在促进达成协商一致和确定协商一致是否存在及其确切性质方面发挥着重要作用。
In practical terms, when a chairperson announces that it is her or his understanding that the Commission wishes to take a decision by consensus, the following scenarios are possible:15从实际的角度来看,如果主席宣布,根据她或他的理解,委员会似宜以协商一致的方式作出决定,就有可能出现以下各种情况:
___________________________
“15 It should be noted that the chairperson, in the exercise of her or his functions, remains under the authority of the Commission (rule 107 of the Rules of Procedure of the General Assembly), which may overrule her or his decisions by a majority of the members present and voting (rule 125 of the same rules). It is therefore recommended that, as a general rule, before the chairperson rules, she or he seeks views from the member States of the Commission.”“15 应当指出的是,主席在行使职责时仍然受委员会的管辖(大会《议事规则》第107条),在场的委员会多数成员经表决便可推翻主席的决定(同一份规则第125条)。因此,作为一条一般性规则,建议主席在裁定之前事先征求委员会成员国的意见。”
390. It was suggested that an objecting delegation should be responsible for formulating alternative solutions.390. 有与会者建议,持反对意见的代表团应当有责任提出其他解决办法。
That proposal was not supported.该建议没有得到支持。
391. The Commission found the following text of paragraph 14, subparagraph (a), to be generally acceptable:391. 委员会认为普遍接受第14段(a)项的以下案文:
“(a) If the announcement is met by silence, either by implicit or explicit expression of support, the chairperson can declare that the decision has been taken by consensus;”“(a) 如果对这项宣布保持沉默或予以默示或明确支持,主席就可宣布决定以协商一致的方式作出;”
392. The Commission did not have time to conclude its deliberations on paragraph 14, subparagraph (b).392. 委员会没有时间就第14段(b)项的审议情况达成结论。
The following text, which did not gain consensus in the Commission, was suggested for further deliberations at a later stage: “(b) If an objection to the decision being recorded as taken by consensus is lodged by a member Stateof the Commission, the chairperson gives an opportunity to the objecting delegation to formulate the grounds for its objection.有与会者提出以下案文作为今后进一步审议的基础,委员会还没有就该案文达成协商一致:
The chairperson has a general duty to seek a consensual way out of a deadlock. If after best efforts, it is not possible to find a solution, the chairperson may wish at this stage to explain [to the objecting delegation] that a formal objection by a delegation to a decision being adopted by consensus [does not have effect akin to a veto but is to be treated as an implicit request for formal voting] [may lead to a vote]. The chairperson may wish subsequently to seek confirmation of the delegation’s intention. If the formal objection is maintained, the chairperson may proceed to formal voting (see section 3 below).”“(b) 如果委员会的某一成员国反对把决定记录为以协商一致的方式作出,主席就会请表示反对的代表团发言,阐明其所持反对意见的理由。如果出现僵局,主席通常有义务寻求以协商一致的方式摆脱僵局。如果尽一切努力后仍找不到解决办法,主席在该阶段似宜[向表示反对的代表团]解释,代表团对以协商一致方式所作决定正式表示反对[并不具有类似于否决的效果,但将被视为关于正式表决的默示请求][可能会导致进行表决]。主席似宜随之寻求确认该代表团的意图,如果其坚持正式表示反对,主席便可宣布进入正式表决(见下文第3节)。”
393. With respect to the first sentence, the view was expressed that the right to object to a decision being recorded as being taken by consensus should also be available to non-member States.393. 关于第一句,有与会者认为,也应赋予非成员国反对把一项决定记录为以协商一致方式作出的权利。
It was recalled that the principal difference between member and non-member States of the Commission related to the right to vote.与会者回顾委员会成员国和非成员国之间的主要区别与行使表决的权利有关。
The view was expressed that, except for the right to vote, observer States should enjoy all of the rights from which member States benefited, consistent with the practice developed over years since the establishment of the Commission and the objectives of UNCITRAL to achieve the universal acceptability of its standards and the broadest participation by States.因此指出,按照委员会成立以来多年来形成的惯例,以及贸易法委员会力求其标准具有普遍接受性和各国最广泛参与的目标,观察员国应享有除表决权以外成员国享有的所有权利。
The opposite view was also expressed that the right to raise a formal objection to consensus should be available only to member States of the Commission.也有相反的观点认为,对协商一致提出正式反对意见的权利应仅限于委员会成员国。
394. With regard to the third sentence of subparagraph (b), concern was expressed with respect to the use of the word “veto” in the first alternative wording in square brackets. The Secretariat was requested to consider possible alternative language to reflect the impossibility of reaching a decision as a result of a formal objection being maintained by one State.394. 关于(b)项第三句,有与会者对方括号内的第一种备选案文使用“否决”一词感到关切,请秘书处考虑采用其他可能的措词,以反映一国若坚持正式反对则会导致无法达成决定这一点。
It was suggested that a formal objection and a request for a vote were independent actions and that the former should not be treated as an implicit request for a vote.与会者认为正式反对和要求进行表决是两个独立的行为,前者不应被认为是关于正式表决的默示请求。
For that reason, the second alternative wording in square brackets was proposed.因此提出了方括号内的第二种备选案文。
395. It was proposed that the text should clarify the different intentions that the objecting delegation might have, which would include requesting the decision to be recorded as one taken without a vote or requesting a vote.395. 有与会者建议,案文应当说明持反对意见的代表团可能具有的不同意图,包括要求将决定记录为未经表决作出的决定或要求进行表决。
However, it was observed that the guidelines should provide guidance to chairpersons in dealing with decision-making in the specific situation where an objecting delegation sought to maintain its objection after extensive negotiation without requesting a vote, and thereby sought to prolong the negotiation phase indefinitely.但有与会者指出,准则应向在以下特殊情况下处理作出决定问题的主席提供指导:持反对意见的代表团在经过大量谈判后仍力求坚持其反对意见,而不要求进行表决,从而寻求将谈判阶段无限拖长。
It was noted that the final sentence attempted to address such a practical difficulty.与会者指出,最后一句试图解决这一实际困难。
The Commission did not reach a decision on that point and the discussion was postponed.委员会没有就这一点达成决定,讨论被推迟进行。
396. The view was expressed that, in the light of the consideration of the revised paragraphs 12 and 14 (b) above, paragraph 13 of document A/CN.9/676 should also be revised.396. 有与会者认为,考虑到上述对经修订的第12段和第14(b)段的审议情况,A/CN.9/676号文件第13段也应加以修订。
397. The text of revised paragraphs 14 (c) to (e), 37, 39, 41 and 43, which were prepared by the Secretariat but not considered by the Commission for lack of time, read as follows:397. 秘书处还编写了第14(c)至(e)项、第37、39、41和43段的修订案文,但由于时间不够,委员会未能对其进行审议,这些段落的修订案文如下:
“14. (c) If a delegation announces that it is not participating in the decision-taking but does not prevent the chairperson from stating that the decision has been adopted by consensus, the chairperson can make such a statement and then, in effect, the situation would be viewed as if such a State was not present when the decision was taken;16“14. (c) 如果一代表团宣布不参加作出决定,但不妨碍主席宣布决定以协商一致获得通过,主席便可发表此类声明,事实上,这种情况随之便将被视为在作出决定时该国并不在场;16
“(d) Those delegations which do not expressly indicate that they do not participate in a consensus are deemed to have participated in it;17“(d) 没有明确表示不参加协商一致的代表团将被视为参加了协商一致;17
“(e) Non-member States of the Commission and observer organizations may participate in the collective effort to achieve a generally acceptable text.18 However, they may not raise any formal objection to a decision being recorded as taken by consensus.“(e) 委员会非成员国和观察员组织可参加为形成获得普遍接受的案文而作出的集体努力,18但不得对将决定记录为以协商一致方式作出提出任何正式反对意见。
“37. The secretariat has discretion in determining its working methods.40“37. 秘书处有权自行决定其工作方法。 40
“39. The secretariat may have recourse to the assistance of outside experts from different legal traditions and affiliations, such as Government officials, academics, practising lawyers, judges, bankers, arbitrators or other subject-matter experts and members of various international, regional and professional organizations.42“39. 秘书处可寻求来自不同法律传统和从属关系的外部专家的协助,其中包括:政府官员、学术人员、从业律师、法官、银行家、仲裁员或其他专题专家以及各种国际、区域和专业组织的成员。
42
“41. When the secretariat decides to convene an expert group meeting, information about the meeting (dates and format of the meeting, topic(s) to be discussed and participants invited to the meeting) is made available to States to the extent compatible with articles 100 and 101 of the Charter of the United Nations.“41. 如果秘书处决定召集专家组会议,则可以在不违反《联合国宪章》第100和101条的范围内向各国提供会议信息(会议日期和开会方式、拟讨论的一项(多项)议题和应邀与会的参与方)。
Conferences and colloquiums are broadly advertised, particularly through the posting of the relevant information about the events on the UNCITRAL website.将对会议和专题讨论会作广泛宣传,尤其是通过在贸易法委员会网站上张贴活动相关信息的方式。
“43. As demonstrated by practice so far, the use of one working language only at expert group meetings convened by the UNCITRAL secretariat has not hampered but rather facilitated the consultation process at such meetings.“43. 迄今为止的实践已经证明,在贸易法委员会秘书处召集的专家组会议上仅使用一种工作语文非但不妨碍而且有助于这类会议的协商工作。
Nevertheless, the UNCITRAL secretariat is committed to endeavour, resources permitting, to provide at such meetings translation and interpretation in the other working language of the Secretariat, according to its needs and the needs of participants.但贸易法委员会秘书处仍然致力于在资源许可的情况下,根据秘书处的需要和与会者的需要给这类会议提供(秘书处另一种工作语文)的笔译和口译服务。
In addition or alternatively, as the case may be, the Secretariat may find it necessary, under certain circumstances, to provide at such meetings translation and/or interpretation into another official language of the United Nations (for example, when expert advice from a particular country or region is required and the experts coming from that country or region do not have a good command of English or French but can communicate in another official language of the United Nations).作为一种补充或选择,秘书处可酌情认为需要在某些情况下(例如需要某一国或某一地区提供专家咨询,而来自该国或该地区的专家没有熟练掌握英语或法语,但是能够以联合国的另一种官方语文进行交流)给这类会议提供联合国另一种官方语文的笔译和/或口译服务。
In its requests for translation and interpretation services during such meetings, the secretariat has to take into account that the requested services can only be provided on an ‘as available’ basis, since intergovernmental meetings, formal or informal, have priority access to translation and interpretation services.在请求为这类会议提供笔译和口译服务时,秘书处必须考虑到,所请求的服务只能够在“有资源可用”的情况下加以提供,因为政府间的正式或非正式会议都将优先得到笔译和口译服务。
_______________” ____________
“16 Based on the wording of the legal opinion in United Nations Juridical Yearbook, 1987 (United Nations publication, Sales No. E.96.V.6), pp. 174-175, under item 5.“16 根据1987年《联合国司法年鉴》(联合国出版物,出售品编号:E.96.V.6)项目5中的法律意见的措词,第174-175页。
“17 Ibid.“17 同上。
“18 Ibid.“18 同上。
“40 It is recalled that, under Article 100 of the Charter of the United Nations, Secretariat staff, in the performance of their duties, shall not seek or receive instructions from any Government or from any other authority external to the Organization. Each Member Stateof the United Nations undertakes to respect the exclusively international character of the responsibilities of the staff of the Secretariat and not to seek to influence them in the discharge of their responsibilities. It is also recalled that, under Article 101 (3) of the Charter, the necessity of securing the highest standards of efficiency, competence and integrity is the paramount consideration in the employment of the staff.“40 有与会者回顾,根据《联合国宪章》第100条,秘书处工作人员在行使职责时,不应寻求或接受本组织以外任何政府或其他当局的指示。联合国各会员国承诺尊重秘书处工作人员职责的纯粹国际性并且不得寻求对其行使职责施加影响。还有与会者回顾,根据《宪章》第101(3)条,必须力求达到效率、才干和忠诚的最高标准是聘用工作人员的首要考虑。
“42 Already in its early years, the Commission envisaged that the UNCITRAL secretariat would hold consultations with the organs and organizations concerned as may be appropriate in the different phases of the work. In particular, it envisaged that studies and other preparatory documents would be prepared by the secretariat with the assistance of experts, if necessary, and budget permitting. The Commission agreed that budget and planning estimates prepared by the secretariat for subsequent years should take into account the need for obtaining the services of consultants or organizations with special expertise in matters dealt with by the Commission, in order to enable the Commission to carry out its work. See, e.g., A/8017, paras. 219-221.”“42 早在最初几年,委员会就设想贸易法委员会秘书处将在工作的各个阶段酌情与有关的机构和组织进行协商。它尤其设想,如有必要,而且预算允许的话,秘书处将在专家的协助下编拟研究报告和其他筹备文件。委员会一致认为,秘书处为今后几年编拟的预算和规划概算应当考虑到需要获得在委员会所涉事项方面具有特别专长的顾问或组织所提供的服务,目的是便利委员会开展其工作。例如见A/8017第219-221段。”
XVI. Coordination and cooperation十六. 协调与合作
A. GeneralA. 概述
398. The Commission heard an oral report from the Secretariat providing a brief overview of the work of international organizations related to the harmonization of international trade law.398. 委员会听取了秘书处的口头报告,其中概述了致力于统一国际贸易法的各国际组织的工作。
The Commission recalled that at its forty-first session, in 2008, 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,在2008年委员会第四十一届会议上,秘书处曾提出,委员会关于致力于协调和统一国际贸易法的国际组织当前活动的一般年度报告及其目前仍在编写的关于特定题目的专门报告系列今后不必安排在委员会每次年会之前发表。
The Commission noted that the Secretariat would publish its 2009 annual report on the activities of other international organizations in the fourth quarter of 2009.委员会注意到,秘书处将于2009年第四季度发表关于其他国际组织活动的2009年年度报告。
It was also noted that, given the growing interest in insolvency issues that had been witnessed in the light of the current global economic crisis, the Secretariat would publish a more detailed study on insolvency-related activities.另据指出,鉴于当前全球经济危机下对破产问题表现出越来越大的兴趣,秘书处将就破产有关的活动发表一份更为详细的研究报告。
399. 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.399. 据回顾,委员会在2004年第三十七届会议上曾商定,委员会应当采取更为积极主动的做法,通过其秘书处履行有关协调活动的任务授权。
Recalling General Assembly resolution 63/120 of 11 December 2008 (see paras. 428 and 429 below), in which the Assembly 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 Private International Law, Unidroit, the Organization for Economic Cooperation and Development, the Organization of American States, the World Bank, WCO, the World Intellectual Property Organization, and WTO.回顾大会2008年12月11日第63/120号决议(见下文第428和429段),大会在其中赞同贸易法委员会作出努力和采取举措协调国际贸易法领域中各国际组织的活动,委员会赞赏地注意到秘书处正在采取步骤,就立法和技术援助活动同一些组织进行对话,其中包括海牙国际私法会议、统法协会、经济合作与发展组织、美洲国家组织、世界银行、海关组织、世界知识产权组织和世界贸易组织。
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需要出差去这些组织开会并为出差拨出经费。
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正在开展的协调工作的重要性,并支持为此目的使用差旅费。
400. By way of example of current efforts at coordination, the Commission noted the coordination activities listed in document A/CN.9/675, paragraphs 32-35, and in particular the meetings involving the Hague Conference on Private International Law and Unidroit.400. 在举例说明当前的协调活动时,委员会注意到A/CN.9/675号文件第32至35段中列出的各项协调活动,特别是由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
401. The Commission took note of statements made on behalf of the following international and regional organizations.401. 委员会注意到代表下列国际组织和区域组织所作的发言。
European Bank for Reconstruction and Development欧洲复兴开发银行
402. The Commission was advised of a statement received by the Secretariat from the General Counsel of the European Bank for Reconstruction and Development (EBRD) confirming the willingness of EBRD to follow the appeal made by the General Assembly in its resolution 63/120 (para. 7 (d)) (see paras. 428 and 429 below) for regional development banks to cooperate and coordinate their activities with UNCITRAL and to support the technical assistance programme of the Commission.402. 委员会听取了秘书处代为宣读的欧洲复兴开发银行总顾问的发言,其中确认,欧洲复兴开发银行愿意响应大会在第63/120号决议(第7(d)段)(见下文第428和429段)中对各区域开发银行与贸易法委员会协调活动并支持委员会的技术援助方案发出的呼吁。
The General Counsel of EBRD pointed to the joint conference organized by UNCITRAL, EBRD and the World Bank entitled “Secured transactions and insolvency: reforms at a crossroads”, held in Washington, D.C., on 5 and 6 May 2008 (A/CN.9/675, para. 25 (a)) as a successful example of such collaboration and cooperation.欧洲复兴开发银行总顾问提到了贸易法委员会、欧洲复兴开发银行和世界银行于2008年5月5日和6日在华盛顿特区举办的关于“担保交易和破产:改革处于十字路口”的联合会议(A/CN.9/675,第25(a)段),认为这是此类协调合作的成功事例。
Food and Agriculture Organization of the United Nations联合国粮食及农业组织
403. The Commission heard a statement concerning the International Treaty on Plant Genetic Resources for Food and Agriculture, which established a Multilateral System of Access and Benefit-Sharing covering the 64 most important crops for global food security and which was implemented through a standard contract, namely the Standard Material Transfer Agreement for the transfer of plant genetic resources and the sharing of benefits accruing from those transfers.403. 委员会听取了就《粮食和农业植物遗传资源国际条约》所作的发言,该条约确立涵盖64种对全球粮食安全最为重要的作物的“准入和利益分享多边制度”,这个制度正在通过一项标准合同也就是《标准材料转让协定》执行,目的是转让植物遗传资源并分享从这种转让中获得的利益。
404. It was noted that the UNCITRAL secretariat had participated in expert consultations on various aspects of information technology being developed to assist with the transfer of genetic resources and the sharing of benefits arising from the use of those resources and that it had contributed expertise on developing mechanisms for dispute resolution.404. 会议注意到,贸易法委员会秘书处参加了关于为协助转让遗传资源和分享从使用这些资源产生的利益而正在开发的信息技术各个方面的专家协商会议,并为建立争端解决机制贡献了专门知识。
The Commission heard that the value of its contribution to the implementation of the Treaty was recognized by the 122 Contracting Parties to the Treaty, whose governing body had recently held its third session in Tunisfrom 1 to 5 June 2009.委员会了解到,该条约122个缔约国对贸易法委员会秘书处为执行该条约所作的贡献表示认可,该条约理事机构最近于2009年6月1日至5日在突尼斯举行了第三届会议。
The contribution made by UNCITRAL was particularly appreciated by developing countries in need of advice on practical, efficient and cost-effective solutions to implement the Multilateral System of Access and Benefit-Sharing.发展中国家需要得到有关如何执行“准入和利益分享多边制度”的实际、高效和有成本效益解决办法的建议,它们对贸易法委员会的贡献特别表示赞赏。
405. At its third session, the Governing Body and the Contracting Parties, in approving the procedures for the Third Party Beneficiary, thanked UNCITRAL for its excellent advice to the Secretariat (Governing Body resolution 5/2009).405. 在理事机构第三届会议上,各缔约国在核可第三方受益人程序时感谢贸易法委员会“向秘书处提出的出色建议”(理事机构第5/2009号决议)。
Contracting Parties also consolidated the basis for further collaboration by requesting the Treaty secretariat to foster cooperation with other organizations and strengthen existing cooperative arrangements with a view to developing synergies and reducing inefficiencies (Governing Body resolution 8/2009).各缔约国还夯实了进一步开展协作的基础,要求条约秘书处“促进与其他组织的合作并加强现有合作安排,以便形成合力并减少拖拉现象”(理事机构第8/2009号决议)。
406. The Commission noted that continuing to collaborate with UNCITRAL would contribute to the implementation of the Treaty and benefit both the Food and Agriculture Organization of the United Nations and UNCITRAL.406. 委员会指出,继续与贸易法委员会开展合作将促进该条约的执行,对联合国粮食及农业组织和贸易法委员会都有利。
Inter-Parliamentary Assembly of the Eurasian Economic Community欧亚经济共同体跨议会大会
407. The Commission heard a statement concerning the Inter-Parliamentary Assembly of the Eurasian Economic Community relating, in particular, to its structure and projects that were relevant to the work of UNCITRAL.407. 委员会听取了就欧亚经济共同体跨议会大会所作的发言,其中特别涉及其结构和与贸易法委员会工作相关的项目。
It was noted that the Assembly was involved in the formation of common external customs at the borders of the member States of the Eurasian Economic Community (Belarus, Kazakhstan, Kyrgyzstan, Russian Federation, Tajikistan and Uzbekistan) and the elaboration of unified foreign economic policies, tariffs, prices and other components of a functioning common market.据指出,跨议会大会参与在欧亚经济共同体成员国(白俄罗斯、哈萨克斯坦、吉尔吉斯斯坦、俄罗斯联邦、塔吉克斯坦和乌兹别克斯坦)的边界形成共同的对外海关,并为一个功能健全的共同市场制订统一的对外经济政策、关税、价格以及其他部分。
It was also noted that the Assembly, a body of parliamentary cooperation of States members of the Eurasian Economic Community, was considering issues related to the harmonization of national legislation with the agreements concluded within the framework of the Assembly, in order to achieve the objectives of the Eurasian Economic Community.另据指出,跨议会大会作为欧亚经济共同体成员国的议会合作机构,正在审议国内立法与跨议会大会框架内达成的各项协议统一协调相关问题,以便实现欧亚经济共同体的目标。
408. It was explained that the work of the Inter-Parliamentary Assembly included projects to develop normative legal acts, such as draft model legislation and recommendations on the harmonization of national laws.408. 据解释说,跨议会大会的工作包括若干制订规范性法案的项目,如关于统一协调国内法律的示范法和建议草案。
One of its reported activities was the creation of a legal framework for electronic commerce, which was viewed from the perspective of trade facilitation and the development of a single window facility.据报告,跨议会大会的一项活动是,从贸易便利和发展单一窗口设施的角度出发,建立电子商务法律框架。
409. The Commission heard that model basic principles for e-commerce had been prepared for use as a framework for national legislation, on the basis, inter alia, of the UNCITRAL Model Law on Electronic Commerce, with a view to improving legislation on electronic commerce and supporting the development of electronic commerce in member States.409. 委员会了解到,作为国内法规框架已经制订了“电子商务基本原则”示范,其依据主要是《贸易法委员会电子商务示范法》,目的是改进电子商务法规,支持成员国的电子商务发展。
It was further indicated that the Inter-Parliamentary Assembly had taken advantage of the expertise and experience of the UNCITRAL secretariat, including by receiving suggestions on draft recommendations to be presented at the meeting of the standing committee on trade policy and international cooperation of the Assembly, to be held in Minskin November 2009.另据表示,跨议会大会已经利用了贸易法委员会秘书处的专门知识和经验,包括就拟提交2009年11月在明斯克举行的跨议会大会贸易政策和国际合作常务委员会会议的建议草案接受后者的建议。
International Institute for the Unification of Private Law国际统一私法协会
410. The Commission heard a statement on behalf of Unidroit.410. 委员会听取了代表统法协会所作的发言。
Unidroit welcomed the current coordination and cooperation with UNCITRAL and reaffirmed its commitment to cooperating closely with UNCITRAL with a view to ensuring consistency and avoiding overlap and duplication in the work of the two organizations and the best use of the resources made available by the respective member States.统法协会欢迎目前同贸易法委员会进行的协调与合作,确认其致力于与贸易法委员会密切合作,以便确保一致性,并避免两个组织之间工作的重叠和重复,最佳使用各自成员国提供的资源。
Unidroit reported that:统法协会报告说:
(a) At the sixty-third session of the Unidroit General Assembly, held in Romeon 11 December 2008, the members of the Unidroit Governing Council were elected for the subsequent five years. The Unidroit General Assembly also approved the recommendations made by the Governing Council in respect of the Unidroit work programme for the 2009-2011 triennium, assigning the highest priority to the work on finalization of a draft convention on intermediated securities and the additional chapters of the Unidroit Principles of International Commercial Contracts, and to the work on a protocol on matters specific to space assets to the Convention on International Interests in Mobile Equipment (Cape Town Convention);(a) 2008年12月11日在罗马举行的统法协会大会第六十三届会议选出了统法协会理事会下一个五年期的理事。统法协会大会还核准了理事会就2009-2011三年期工作方案提出的各项建议,其中给予最高度重视的工作是最后审定关于中介证券的公约草案、统法协会《国际商事合同通则》补充章节和《移动设备国际利益公约》(《开普敦公约》关于空间资产特有事项的议定书;
(b) The first session of the diplomatic conference to adopt a convention on substantive rules regarding intermediated securities took place in Genevafrom 1 to 12 September 2008. The final session, to complete work on the draft convention, is to be held from 5 to 9 October 2009 in Geneva. A steering committee for drafting an official commentary to the convention had been established and the English version of the draft commentary had been posted on the Unidroit website, with the French text to become available soon;(b) 2008年9月1日至12日在日内瓦举行了通过一项中介证券实体规则公约的外交会议第一届会议。最后一届会议将于2009年10月5日至9日在日内瓦举行,将完成有关该公约草案的工作。设立了一个指导委员会起草关于公约的正式评注,评注草案英文版已经在统法协会网站上张贴,法文版不久就可贴出;
(c) A Model Law on Leasing was completed in 2008 and formed the basis of leasing laws already developed by Jordan, Tanzania (United Republic of) and Yemen and leasing laws being developed, for example, in Afghanistan. An official commentary on the model law is being prepared by the Unidroit secretariat, in close cooperation with a group of experts, and should be finalized in the course of 2009;(c) 租赁示范法于2008年完成,它构成了已经由约旦、坦桑尼亚联合共和国和也门制订的租赁法的基础,而且还是阿富汗等国正在制订的租赁法的基础。统法协会秘书处与专家小组密切合作,正在编写关于示范法的正式评注,2009年期间即可完成;
(d) The working group for the preparation of a third edition of the Unidroit Principles of International Commercial Contracts held its third session in Rome from 26 to 29 May 2008 and its fourth session also in Rome from 25 to 29 May 2009. The Working Group had been considering a draft chapter on the unwinding of failed contracts, a draft chapter on illegality, a draft chapter on plurality of obligors and/or of obligees, a draft chapter on conditional obligations and a position paper with draft provisions on the termination of long-term contracts for just cause. The working group decided to temporarily set aside its work on the termination of long-term contracts for just cause and to focus only on the other four chapters, with a view to submitting them to the Governing Council for its approval in 2010; (e) An additional area of work under the overall umbrella of the Cape Town Convention was the preparation of a draft protocol on matters specific to space assets.(d) 负责拟订统法协会《国际商事合同通则》第三版的工作组于2008年5月26日至29日在罗马举行了第三届会议,2009年5月25日至29日又在罗马举行了第四届会议。工作组一直在审议:关于未履行合同的终结一章的草案、关于非法性一章的草案、关于债务人和(或)债权人多样性一章的草案、关于有条件债务一章的草案以及载有关于为正当理由终结长期合同的条款草案的立场文件。工作组决定暂时搁置关于为正当理由终止长期合同的工作,而仅专注于其他四章的审议,以便2010年将其提交理事会核准;
A steering committee was formed in 2007 to develop the draft protocol and, in view of the progress of its work, a diplomatic conference for adoption of a draft protocol might be held in 2010. A preparatory commission was established by resolution of the Luxembourgdiplomatic conference in order to prepare the international registry under the Luxembourg Rail Protocol. A meeting of the Commission, co-hosted by Unidroit and the Intergovernmental Organization for International Carriage by Rail (OTIF), was held in Romein April 2008. Another such meeting is expected to be held on 1 and 2 October 2009;(e) 在《开普敦公约》总体框架下开展的另一项工作是拟订关于空间资产特有事项的议定书草案。2007年成立了一个指导委员会,负责拟订议定书草案,鉴于该委员会工作的进展情况,2010年有可能举行外交会议通过议定书草案。根据卢森堡外交会议的决议设立了一个筹备委员会,以便根据《卢森堡铁路议定书》筹建国际登记处。由统法协会和国际铁路运输政府间组织共同主办的该委员会于2008年4月在罗马举行了一次会议。预计将于2009年10月1日和2日再次举行会议;
(f) Possible future work by Unidroit included (i) a protocol to the Cape Town Convention on agricultural, construction and mining equipment; (ii) a study on civil liability for satellite-based services; (iii) a proposal for a model law on the protection of cultural property; (iv) a convention on the netting of financial instruments;(f) 统法协会今后可能开展的工作包括:㈠就今后拟订《开普敦公约》关于农业、建筑和采矿设备的议定书提出建议;㈡就卫星服务民事赔偿责任开展研究;㈢就保护文化财产示范法提出建议;㈣拟订一部金融工具净额结算公约;㈤在私法和发展领域,特别是与粮食安全和农业相关可能开展的工作。
and (v) possible work in the area of private law and development, in particular, as regards food security and agriculture.
World Customs Organization世界海关组织
411. The Commission heard of the continued interest of WCO in collaborating with UNCITRAL through the Joint Legal Task Force (see para. 337 above) as a means of providing a road map for potential single window users to follow when creating a legally enabling environment.411. 委员会了解到,海关组织对通过联合法律工作队(见上文第337段)与贸易法委员会开展合作继续表现出兴趣,以此为潜在单一窗口用户提供在创建有利法律环境时可以依循的路径图的。
WCO indicated its intention to continue doing its best to obtain strong member involvement in analysing the policy, operational and procedural contexts of single window facilities and providing strategic guidance to prospective single window stakeholders.海关组织表示打算继续做出最大努力,争取让成员积极参与对单一窗口设施的政策、业务和程序环境的分析,并向潜在的单一窗口相关方提供战略指导。
That member involvement was expected to include representation from the six WCO global regions, which include all 174 members.这种成员参与估计将包括海关组织六大全球区域所有174个成员的代表。
WCO expressed its belief that, at the present stage, the process could be satisfactorily managed by face-to-face meetings at its Brusselsheadquarters, as well as through the various other means described in the original terms of reference of the Joint Legal Task Force, such as a shared space on the Internet.海关组织表示相信,在目前的阶段,可以通过在其布鲁塞尔总部举行面对面会议并通过联合法律工作队原职责范围中所说明的各种其他方式,如互联网共享空间,对这一进程进行令人满意的管理。
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家和国际各级法治方面的作用
412. The Commission recalled that at its resumed fortieth session (Vienna, 10-14 December 2007) it decided to include the item “Role of UNCITRAL in promoting the rule of law” in the agenda of its forty-first session and invited all States members of UNCITRAL and observers to exchange views on this agenda item at that session.412. 委员会回顾其第四十届会议续会(2007年12月10日至14日,维也纳)曾决定将“贸易法委员会在促进法治方面的作用”这一项目列入其第四十一届会议的议程,并邀请贸易法委员会所有成员国和观察员在该届会议上就此议程项目交换意见。
It also recalled that that decision was taken on the basis of General Assembly resolution 62/70 on the rule of law at the national and international levels, in paragraph 3 of which the General Assembly invited the Commission to comment in its report to the General Assembly on the Commission’s current role in promoting the rule of law.委员会还回顾,作出该决定的依据是大会关于国家和国际各级法治的第62/70号决议,大会在该决议第3段请委员会在提交大会的报告中对其目前促进法治的作用发表评论。
The Commission further recalled that it had transmitted the comments, as requested, to the General Assembly in its annual report on the work of its forty-first session, in 2008.委员会进一步回顾,其已按照要求在其提交大会关于委员会2008年第四十一届会议工作的年度报告中转交了这些评论。
413. At its current session, the Commission took note of General Assembly resolution 63/128 on the rule of law at the national and international levels.413. 在本届会议上,委员会注意到大会关于在国家和国际各级的法治的第63/128号决议。
In particular, the Commission noted that in paragraph 4 of that resolution the Assembly had called upon the United Nations system to systematically address aspects of the rule of law in relevant activities and that in paragraph 6 it had 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,大会在其中第4段吁请联合国系统在相关活动中系统地处理法治各方面问题,在第6段鼓励秘书长和联合国系统高度优先重视法治活动。
The Commission also noted that, in paragraph 7 of that resolution, the Assembly had invited the Commission to continue to comment, in its reports to the Assembly, on its current role in promoting the rule of law.委员会还注意到,大会在该决议第7段邀请委员会继续在其提交大会的报告中对其目前促进法治的作用发表评论。
414. The Commission noted that, in paragraph 10 of its resolution 63/128 the General Assembly had decided that at its sixty-fourth session, in 2009, the debates in the Sixth Committee under the agenda item on the rule of law would focus on the sub-topic “Promoting the rule of law at the international level”, without prejudice to the consideration of the item as a whole.414. 委员会注意到,大会在第63/138号决议第10段决定,在2009年大会第六十四届会议上,第六委员会在关于法治的议程项目下进行的辩论将着重于“促进国际一级法治”这一分议题,但不妨碍对整个项目的审议。
The Commission therefore decided that at its current session its comments to the General Assembly would focus on its current role in promoting the rule of law at the international level.因此,委员会决定,在本届会议上,其提交大会的评论将着重于其目前在促进国际一级的法治方面所发挥的作用。
415. The Commission recalled the mandate given to it by the General Assembly in its resolution 2205 (XXI) of 17 December 1966 establishing UNCITRAL as the United Nations expert body in the field of international commercial law.415. 委员会回顾大会1966年12月17日第2205 (XXI)号决议赋予其的任务授权,该决议设立了贸易法委员会作为联合国在国际商法领域的专家机构。
It was stressed that, pursuant to this mandate, the Commission contributed to the progressive development and harmonization of international commercial law by formulating modern international norms and standards to support international commerce and by ensuring that these norms and standards were acceptable to States with different legal, social and economic systems, as well as to other international actors, such as multilateral donors, using such norms and standards.据强调,根据这一任务授权,委员会对国际商法的逐步发展和协调作出贡献,办法包括制订支持国际商务的现代国际规范和标准,并确保这些规范和标准为不同法律、社会和经济制度的国家以及使用这些规范和标准的例如多边捐助方等其他国际活动者所接受。
The Commission also promoted general awareness and greater understanding of those standards, through teaching and technical assistance, CLOUT, the UNCITRAL website and publications and by dissemination of information about international commercial law by other means.委员会还促进对这些标准的普遍了解和加深认识,办法包括通过教学和技术援助、法规判例法、贸易法委员会网站和出版刊物,以及通过其他手段传播关于国际商法的信息。
416. It was also noted that the Commission always attached high importance to another aspect of its mandate – cooperation and coordination with international organizations, including non-governmental organizations, active in the formulation, interpretation and/or implementation of international commercial law standards.416. 还指出,委员会始终高度重视其任务授权的另一个方面——与在制订、解释和(或)执行国际商法标准方面开展活动的国际组织包括非政府组织在内进行合作与协调。
Cooperation and coordination were seen to be the means to avoid conflicting rules or interpretations and confusion as regards sources of law and thus to achieve order, clarity, efficiency and consistency in the international regulation of commerce.合作与协调被认为是一种手段,可有助于避免相互冲突的规则或解释,以及关于法律渊源的混淆,从而实现国际商务监管上的秩序、明确、效率和一致。
In that regard, the Commission recalled its numerous appeals, supported by the General Assembly, most recently in its resolution 63/120 (see para. 428 below), for relevant international and regional organizations to coordinate their rule-making and/or technical assistance activities with those of the Commission.在这方面,委员会回顾了其向各有关国际和区域组织提出的众多呼吁,要求它们在制订规则和(或)技术援助活动中与委员会保持协调,这些呼吁获得大会的支持,最近的一次是在第63/120号决议中(见下文第428段)。
Noting that the desired coordination and cooperation were still to be achieved, the Commission welcomed the upcoming consideration at the sixty-fifth session of the General Assembly, in 2010, of ways and means of strengthening and improving coordination and coherence in rule of law activities (see para. 420 below).委员会注意到理想的协调与合作尚有待实现,欢迎即将在2010年大会第六十五届会议上对加强和改进法治活动协调统一方式方法进行的审议(见下文第420段)。
417. The Commission also promoted peaceful and independent adjudication of disputes in the context of trade and investment, including between States, respect for binding commitments, confidence in the rule of law and fair treatment by strengthening non-judicial mechanisms such as arbitration and conciliation.417. 委员会还通过加强非司法机制,例如仲裁和调解,促进贸易和投资纠纷包括国家之间纠纷的和平和独立裁决、尊重具有约束力的承诺、对法治的信任以及公平待遇。
In that respect, the Commission recalled its ongoing project on the revision of the UNCITRAL Arbitration Rules (see paras. 286-298 above), which were widely used in many different instances, including for solving disputes involving States and international organizations, as well as ongoing and new projects with respect to the New York Convention that aimed at achieving universal recognition and enforcement of foreign arbitral awards (see paras. 358-361 above).在这方面,委员会回顾了其正在进行的关于修订《贸易法委员会仲裁规则》的项目(见上文第286-298段),这些规则是一项在许多不同场合下被广泛使用的文书,包括用于解决涉及国家和国际组织的纠纷;还回顾了与《纽约公约》有关正在进行的和新的项目,该公约旨在实现对外国仲裁裁决的普遍承认和执行(见上文第358-361段)。
The Commission also recalled its plans for future work in the area of investment disputes resolution that touched upon such issues of international law as State responsibilities, transparency and human rights.委员会还回顾了其在涉及如国家责任、透明度和人权等国际法问题的投资纠纷解决领域的今后工作计划。
418. The Commission also worked at the critical juncture between international and national rule of law by assisting States with the implementation, at the domestic level, of international norms and standards and their uniform interpretation.418. 委员会的工作还涉及国际和国内法治的关键结合处,协助各国在国内执行国际规范和标准以及对其的统一解释。
Noting that laws and practices of Member States in implementing international law would be considered separately by the General Assembly at its sixty-fifth session (see para. 420 below), the Commission wanted only to reiterate, at the current stage, its concern that successful continuation of its programme of technical assistance with domestic law reforms was jeopardized by the lack of sufficient resources.委员会注意到各会员国实施国际法的法律和实践将由大会第六十五届会议进行单独审议(见下文第420段),仅想重申现阶段感到关切的是其协助国内法律改革的技术援助方案因缺乏充足的资源而受到影响,无法成功继续施行。
It recalled in this respect its request at previous sessions, as supported by the General Assembly, and repeated at the current session (see paras. 364-366 above and para. 428 below), for additional resources to be allocated to meet the increased demand from developing countries and countries with economies in transition for technical assistance with the implementation of international commercial law.委员会在这方面回顾了其在以往各届会议上以及在本届会议上又再次提出的请求,这些请求得到大会的支持(见上文第364-366段和下文第428段),这就是增加所拨给的资源,以满足发展中国家和经济转型期国家在实施国际商法方面增加的对技术援助的需求。
419. The Commission considered that higher awareness, understanding and use of international commercial law were as important for modern commerce and sustained economic development as for good governance, justice and legal empowerment.419. 委员会认为,提高认识、加深理解和广泛使用国际商法,对于现代商务和持续的经济发展非常重要,对于良好治理、公道和赋予法律上的权力同样重要。
The Commission therefore reiterated its conviction that promotion of the rule of law in commercial relations should be an integral part of the broader agenda of the United Nations to promote the rule of law at the national and international levels, including through the Rule of Law Coordination and Resource Group, supported by the rule of law unit in the Executive Office of the Secretary-General.因此,委员会重申其确信在商务关系中促进法治应当是联合国促进国家和国际各级法治这一更广泛议程中的一个组成部分,包括通过在秘书长执行办公室法治股支持下的法治协调和咨询组开展工作。
The Commission was looking forward to being part of strengthened and coordinated rule of law activities of the Organization.委员会期望成为本组织得到加强和协调的法治活动的一部分。
420. The Commission drew the attention of its member States and observers to the following sub-topics under the agenda item “Rule of law at the national and international levels” expected to be considered at the sixty-fifth and sixty- sixth sessions of the General Assembly, in 2010 and 2011: “Laws and practices of Member States in implementing international law” and “Rule of law and transitional justice in conflict and post-conflict situations”.420. 委员会提请其成员国和观察员注意预期在2010和2011年大会第六十五届和第六十六届会议上审议的“国家和国际各级的法治”这一议程项目下的下列分议题:“会员国实施国际法的法律和实践”和“冲突和冲突后形势下的法治和过渡司法”。
Noting the relevance of its activities to the subjects identified in these sub-topics, the Commission invited its member Statesand observers to submit comments in writing or orally addressing the role of UNCITRAL in the relevant context, for reflection in the Commission’s reports to the General Assembly in the respective years.委员会注意到其活动关系到在这些分议题下确定的内容,因此邀请其成员国和观察员就贸易法委员会在相关情况下的作用提交书面评论或发表口头评论,以便反映在委员会在相应年度提交大会的报告中。
XVIII. International commercial arbitration moot competitions十八. 国际商事模拟仲裁辩论赛
A. General remarksA. 总论
421. The Commission recalled that pursuant to proposals made at the UNCITRAL Congress in 1992, and following deliberations at the Commission’s twenty-sixth session, in 1993, the first Willem C. Vis International Commercial Arbitration Moot was organized in Viennaby the Instituteof International Commercial Lawat Pace University, New York.421. 委员会回顾,依照贸易法委员会1992年大会所提建议并根据委员会1993年第二十六届会议的审议情况,第一届维斯国际商事模拟仲裁辩论赛由纽约佩斯大学国际商业法研究所组织在维也纳举办。
That arbitration moot competition was conceived as an educational initiative aimed at promoting and expanding familiarity with and understanding of UNCITRAL legal texts, in particular the United Nations Sales Convention and the UNCITRAL works in the field of international commercial arbitration.该模拟仲裁辩论赛被视为教育上的一项创举,目的是宣传、进一步熟悉和了解贸易法委员会的法律文本,特别是《联合国销售公约》和贸易法委员会在国际商事仲裁领域的工作。
422. At its current session, the Commission noted with satisfaction that the Willem C. Vis International Commercial Arbitration Moot competition, which involved participants from all over the world, was a very successful educational initiative, having contributed both to the dissemination of information about UNCITRAL instruments and to the development of university courses dedicated to international commercial arbitration.422. 委员会本届会议满意地注意到,维斯国际商事模拟仲裁辩论赛参赛者来自世界各地,是一次十分成功的教育活动,既有助于宣传贸易法委员会的各项文书,也有利于开设专门讨论国际商事仲裁问题的大学课程。
The Commission was informed that arbitration moot competitions modelled on the Willem C. Vis International Commercial Arbitration Moot were being organized in Argentina, China(Hong Kong) (see para.  425 below) and Spain(see para. 426 below).委员会获知,阿根廷、中国(香港)(见下文第425段)和西班牙(见下文第426段)正在效仿维斯国际商事模拟仲裁辩论赛举办模拟仲裁辩论赛。
423.
The Commission expressed its gratitude to the organizers and other sponsors of the Willem C. Vis International Commercial Arbitration Moot competition and, in particular, to the Association for the Organization and Promotion of the Willem C. Vis International Commercial Arbitration Moot and its institutional members (Pace University School of Law, United States; Queen Mary University, United Kingdom; University of Stockholm, Sweden; University of Vienna, Austrian Arbitration Association and Federal Economic Chamber, Austria) for their efforts to make it successful and hoped that the international outreach and positive impact of the moot competition would continue to grow.423. 委员会感谢维斯国际商事模拟仲裁辩论赛的组办方和其他协办方,尤其感谢组织和宣传维斯国际商事模拟仲裁辩论赛协会及其机构成员(美国佩斯大学法学院、联合王国玛丽女王大学、瑞典斯德哥德尔摩大学、维也纳大学、奥地利仲裁协会和奥地利联邦商会)为成功举办该模拟辩论赛而作出的努力,委员会希望该模拟辩论赛继续扩大国际范围并提高其积极影响。
Special appreciation was expressed to Eric E. Bergsten, former secretary of the Commission, for developing the moot competition and giving it direction since its inception in 1993-1994.委员会特别感谢其前任秘书Eric E. Bergsten自模拟辩论赛1993-1994年问世以来为其发展所做的工作和提供的指导。
Special appreciation was also expressed to Rafael Illescas Ortiz and Pilar Perales Viscasillas for their initiative in establishing the Madridcommercial arbitration moot competition.委员会还特别感谢Rafael Illescas Ortiz和Pilar Perales Viscasillas主动积极创办马德里模拟商事仲裁辩论赛。
B. Willem C. Vis International Commercial Arbitration Moot competitionB. 维斯国际商事模拟仲裁辩论赛
424. It was noted that the Association for the Organization and Promotion of the Willem C. Vis International Commercial Arbitration Moot had organized the Sixteenth Moot in Viennafrom 2 to 9 April 2009. As in previous years, the Moot had been co-sponsored by the Commission.424. 有与会者注意到,组织和宣传维斯国际商事模拟仲裁辩论赛协会于2009年4月2日至9日在维也纳组办了其第十六届模拟辩论赛。
与往年一样,此次模拟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 Sixteenth Moot had been based on the United Nations Sales Convention, the arbitration rules of the Institute of Arbitrationof the Stockholm Chamber of Commerce and the Arbitration Model Law.与会者注意到,参加第十六届辩论赛的各学生赛队所讨论的法律问题都以《联合国销售公约》、《斯德哥德尔摩商会仲裁院仲裁规则》和《仲裁示范法》为基础。
A total of 228 teams from law schools in 57 countries had participated in the Sixteenth Moot.来自57个国家法学院的总共228支赛队参加了第十六届模拟辩论赛。
The best team in oral arguments was that of Victoria University of Wellington.口头辩论优胜队是惠灵顿维多利亚大学。
The Seventeenth Willem C. Vis International Commercial Arbitration Moot would be held in Viennafrom 26 March to 1 April 2010.第十七届维斯国际商事模拟仲裁辩论赛将于2010年3月26日至4月1日在维也纳举行。
425. It was also noted that the Sixth Willem C. Vis (East) International Commercial Arbitration Moot organized by the Chartered Institute of Arbitrators East Asia Branch, and co-sponsored by the Commission had been organized in China(Hong Kong) from 23 to 29 March 2009.425. 还有与会者注意到,第六届维斯(东方赛区)国际商事模拟仲裁辩论赛于2009年3月23日至29日在中国(香港)举办,该辩论赛由英国仲裁协会东亚分会组办,也是由委员会协办。
A total of 64 teams from 17 countries took part in the Sixth (East) Moot.来自17个国家的总共64支赛队参加了第六届(东方赛区)模拟辩论赛。
The winning team in the oral arguments was from Loyola Law School Los Angeles, United States.口头辩论优胜队是美国洛杉矶莱奥那法学院。
The Seventh (East) Moot would be held in Hong Kong, China, from 15 to 21 March 2010.第七届(东方赛区)模拟辩论赛将于2010年3月15日至21日在中国香港举行。
C. Madrid commercial arbitration moot competitionC. 马德里模拟商事仲裁辩论赛
426. It was noted that University Carlos III of Madrid, Universia and PromoMadrid had organized the first international commercial arbitration moot competition in Madridfrom 22 to 26 June 2009, which had also been co-sponsored by the Commission.426. 有与会者注意到,马德里卡洛斯三世大学、Universia大学和马德里发展署于2009年6月22日至26日在马德里组办了第一届国际商事模拟仲裁辩论赛。
该模拟辩论赛也由委员会协办。
The legal issues involved in the competition were the Arbitration Model Law, the Model Law on International Commercial Conciliation, the UNCITRAL Arbitration Rules, the United Nations Sales Convention, and the New York Convention.辩论赛讨论的法律问题涉及《仲裁示范法》、《国际商事调解示范法》、《贸易法委员会仲裁规则》、《联合国销售公约》及《纽约公约》。
A total of nine teams from law schools or master programmes of five countries had participated in the Madridmoot competition in Spanish.来自5个国家的法学院或硕士学位课程的总共九支赛队参加了以西班牙语进行的马德里模拟辩论赛。
The best team in oral arguments was the Universityof Versailles Saint-Quentin-en-Yvelines, France.口头辩论优胜队为法国圣康丁昂伊夫利纳–凡尔赛大学。
The second Madridmoot competition would be held in Madridfrom 28 June to 2 July 2010.第二届马德里模拟辩论赛将于2010年6月28日至7月2日在马德里举行。
XIX. Relevant General Assembly resolutions十九. 大会有关决议
427. The Commission took note with appreciation of those resolutions related to the work of UNCITRAL adopted by the General Assembly at its sixty-third session on the recommendation of the Sixth Committee: Assembly resolution 63/120 on the reports of UNCITRAL on the work of its resumed fortieth and forty-first sessions and Assembly resolution 63/121 of 11 December 2008 on the Legislative Guide on Secured Transactions of the United Nations Commission on International Trade Law.427. 委员会赞赏地注意到根据第六委员会的建议而由大会第六十三届会议通过的与贸易法委员会工作有关的大会决议:关于贸易法委员会第四十届会议续会和第四十一届会议的工作报告的第63/120号决议和大会2008年12月11日关于《联合国国际贸易法委员会担保交易立法指南》的第63/121号决议。
428. The Commission noted that by General Assembly resolution 63/120, the Assembly had commended the Commission for the completion of the Legislative Guide on Secured Transactions and the draft Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea and welcomed the preparation of digests of case law and the continuous efforts of the Commission to maintain and improve its website.428. 委员会注意到,大会第63/120号决议称赞委员会完成《担保交易立法指南》和《联合国全程或者部分海上国际货物运输合同公约》草案,并欢迎委员会编写判例法摘要和不断努力保持和改进其网站。
It also welcomed the comprehensive review undertaken by the Commission of its working methods and the discussion by the Commission of its role in promoting the rule of law at the national and international levels.它还欢迎委员会对其工作方法进行的全面审查以及委员会就其在国家和国际各级促进法治方面展开的讨论。
The General Assembly endorsed the efforts and initiatives of the Commission towards expanding its technical assistance and cooperation programme.大会赞同委员会为扩展其技术援助与合作方案而作出的努力和采取的举措。
The Assembly appealed to relevant organizations to coordinate their legal activities with those of the Commission and appealed for contributions to the UNCITRAL trust funds.大会吁请有关组织与委员会协调其法律活动,并吁请向贸易法委员会信托基金捐款。
429. The Commission noted that by its resolution 63/121, the General Assembly had requested the Secretary-General to disseminate broadly the text of the Legislative Guide on Secured Transactions, transmitting it to Governments and other interested bodies, such as national and international financial institutions and chambers of commerce.429. 委员会注意到,大会第63/121号决议请秘书长将《担保交易立法指南》的文本广为散发,转递各国政府和其他有关机构,如国家和国际金融机构及各商会。
The Assembly recommended that all States give favourable consideration to the Legislative Guide when revising or adopting legislation relevant to secured transactions, and invited States that had used the Legislative Guide to advise the Commission accordingly.大会还建议各国在修订或通过与担保交易相关立法时积极考虑《立法指南》,并请业已使用《立法指南》的国家就此告知委员会。
430. The Commission further noted that, in considering agenda item 9, it had taken note of Assembly resolution 63/122 of 11 December 2008 on the United Nations Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea (see para. 322 above).430. 委员会还注意到,在审议议程项目9时,曾注意到大会关于《联合国全程或者部分海上国际货物运输合同公约》的2008年12月11日第63/122号决议(见上文第322段)。
二十. 其他事项
XX.A. 实习方案
Other business A. Internship programme 431. An oral report was presented on the internship programme at the UNCITRAL secretariat.431. 会上就贸易法委员会秘书处的实习方案作了口头报告。
While general appreciation was expressed for the programme, which is designed to give young lawyers the opportunity to become familiar with the work of UNCITRAL and to increase their knowledge of specific areas in the field of international trade law, it was observed that only a small proportion of interns were nationals of developing countries.该方案的目的是向年轻律师提供熟悉贸易法委员会工作的机会,加深他们对国际贸易法领域特定方面的了解,该方案尽管得到普遍赞赏,但也有与会者称,实习生中来自发展中国家的人数为数不多。
A suggestion was made that consideration should be given to establishing the financial means of supporting wider participation by young lawyers from developing countries.有与会者建议,应当考虑如何从经济上保证来自发展中国家的青年律师得以更为广泛的参与。
That suggestion was supported.该建议获得支持。
B. Microfinance in the context of international economic developmentB. 国际经济发展背景下的小额信贷
432. The Commission heard a suggestion that it would be timely for UNCITRAL to carry out a study on microfinance in the context of international economic development, in close coordination with the main organizations already active in that field.432. 有与会者向委员会建议,贸易法委员会现在就应当与已经活跃在小额信贷领域的主要组织密切协调,就国际经济发展背景下的小额信贷问题展开研究。
The purpose of the study would be to identify the need for a regulatory and legal framework aimed at protecting and developing the microfinance sector so as to allow its continuous development, consistent with its purpose, which was to build inclusive financial sectors for development.该研究的目的是,确定是否需要有一个以保护和发展小额信贷部门为目的监管与法律框架,从而在不违背其建立有利于发展的包容性金融部门的宗旨的前提下确保其继续发展。
433. After discussion, the Commission requested the Secretariat, subject to the availability of resources, to prepare a detailed study including an assessment of the legal and regulatory issues at stake in the field of microfinance as well as proposals as to the form and nature of a reference document discussing the various elements required to establish a favourable legal framework for microfinance, which the Commission might in the future consider preparing with a view to assisting legislators and policymakers around the world.433. 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,其中包括对小额信贷领域关键的法律和监管问题作出评价,就讨论建立有利于小额信贷的法律框架所需各项内容的参考文件的形式和性质提出建议,为能协助世界各国的立法者和决策者开展这项工作,委员会今后不妨考虑编写这样一份参考文件。
It was said that developing countries and countries with economies in transition were considering whether and how to regulate microfinance; thus, the creation of consensus-oriented legal instruments could prove highly valuable for countries at this stage of development of the microfinance industry.据指出,发展中国家和转型期经济体国家正在考虑是否及如何对小额信贷加以规范的问题;因此,对正处在小额信贷业发展的现阶段的国家来说,创设以协商一致为主导的法律文书具有十分重要的价值。
The Commission 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.委员会请秘书处与专家协同努力并尽可能寻求其他有关组织给予合作,酌情共同编写这类研究报告。
C. Evaluation of the role of the Secretariat in facilitating the work of the CommissionC. 评价秘书处在促进委员会工作方面的作用
434. It was recalled that, as indicated to the Commission at its fortieth session, the programme budget for the biennium 2008-2009 listed among the “expected accomplishments of the Secretariat” its contribution to facilitating the work of UNCITRAL.434. 据回顾,正如在委员会第四十届会议上所指出的那样,2008-2009两年期方案预算在“秘书处预期成就”下列入了秘书处对促进贸易法委员会工作所作的贡献。
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).衡量该预期成就的标准为贸易法委员会对所提供的服务的满意度,满意度以评分来表示,评分等级为1至5分(5分为最高评分)。
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-first session of the Commission, in 2008.回顾在2008年委员会第四十一届会议结束时曾有人就贸易法委员会对秘书处提供的服务的满意度提出类似的问题。
At that session, it had elicited replies from seven delegations, with an average rating of 4.5.在该届会议上,曾有七个代表团作出了答复,平均评分为4.5分。
XXI. Date and place of future meetings二十一. 今后会议的日期和地点
A. Forty-third session of the CommissionA. 委员会第四十三届会议
435. The Commission approved the holding of its forty-third session in New York, from 21 June to 9 July 2010.435. 委员会核可于2010年6月21日至7月9日在纽约举行第四十三届会议。
B. Sessions of working groupsB. 各工作组的届会
436. At its thirty-sixth session, in 2003, the Commission 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.436. 委员会在2003年第三十六届会议上曾商定如下:(a)正常情况下各工作组应当每年举行两次会期一周的会议;(b)如果需要额外时间,可以从其他工作组未使用的会议服务时间权限中分配,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,工作组应就为何需要改变会议时间分配模式提出适当理由。
1. Sessions of working groups up to the forty-third session of the Commission1. 各工作组在委员会第四十三届会议之前的届会
437. The Commission approved the following schedule of meetings for its working groups:437. 委员会批准了各工作组的下述会议时间安排:
(a) Working Group I (Procurement) would hold its seventeenth session in Viennafrom 7 to 11 December 2009 and its eighteenth session in New Yorkfrom 12 to 16 April 2010;(a) 第一工作组(采购)将于2009年12月7日至11日在维也纳举行第十七届会议,2010年4月12日至16日在纽约举行第十八届会议;
(b) Working Group II (Arbitration and Conciliation) would hold its fifty-first session in Viennafrom 14 to 18 September 2009 and its fifty-second session in New Yorkfrom 1 to 5 February 2010;(b) 第二工作组(仲裁和调解)将于2009年9月14日至18日在维也纳举行第五十一届会议,2010年2月1日至5日在纽约举行第五十二届会议;
(c) Working Group IV (Electronic Commerce) would be authorized to hold its forty-fifth session in New York from 17 to 21 May 2010, should this be warranted by the progress of work done in cooperation with WCO (see para. 340 above);(c) 第四工作组(电子商务)将被授权于2010年5月17日至21日在纽约举行第四十五届会议—如果与海关组织合作开展工作取得的进展表明有必要的话(见上文第340段);
(d) Working Group V (Insolvency Law) would hold its thirty-seventh session in Viennafrom 9 to 13 November 2009 and its thirty-eighth session in New Yorkfrom 19 to 23 April 2010;(d) 第五工作组(破产法)将于2009年11月9日至13日在维也纳举行第三十七届会议,2010年4月19日至23日在纽约举行第三十八届会议;
(e) Working Group VI (Security Interests) would hold its sixteenth session in Viennafrom 2 to 6 November 2009 and its seventeenth session in New Yorkfrom 8 to 12 February 2010.(e) 第六工作组(担保权益)将于2009年11月2日至6日在维也纳举行第十六届会议,2010年2月8日至12日在纽约举行第十七届会议。
Additional time补充会议时间
438. Tentative arrangements were made for a four-day session to be held in Vienna, from 27 to 30 October 2009 (26 October being an official holiday) and a one-week session in New York, from 24 to 28 May 2010.438. 为2009年10月27日至30日在维也纳举行一次为期四天的届会(10月26日是法定假日)和2010年5月24日至28日在纽约举行一次为期一周的届会作了暂定安排。
This time could be used to accommodate the need for a session of a working group, depending on the needs of the working groups and subject to consultation with States.这部分时间可用于满足一个工作组召开一次届会的需要,但应视各工作组的需要而定,并须与各国协商。
2. Sessions of working groups in 2010 after the forty-third session of the Commission2. 各工作组2010年在委员会第四十三届会议之后的届会
439. The Commission noted that tentative arrangements had been made for working group meetings in 2010 after its forty-third session (the arrangements were subject to the approval of the Commission at its forty-third session):439. 委员会注意到已经为2010年期间第四十三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四十三届会议批准):
(a) Working Group I (Procurement) would hold its nineteenth session in Viennafrom 11 to 15 October 2010;(a) 第一工作组(采购)将于2010年10月11日至15日在维也纳举行第十九届会议;
(b) Working Group II (Arbitration and Conciliation) would hold its fifty-third session in Viennafrom 4 to 8 October 2010;(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;
(c) Working Group III (Transport Law) would hold its twenty-second session in Viennafrom 13 to 17 December 2010;(c) 第三工作组(运输法)将于2010年12月13日至17日在维也纳举行第二十二届会议;
(d) Working Group IV (Electronic Commerce) would hold its forty-sixth session in Viennafrom 6 to 10 December 2010;(d) 第四工作组(电子商务)将于2010年12月6日至10日在维也纳举行第四十六届会议;
(e) Working Group V (Insolvency Law) would hold its thirty-ninth session in Viennafrom 1 to 5 November 2010;(e) 第五工作组(破产法)将于2010年11月1日至5日在维也纳举行第三十九届会议;
(f) Working Group VI (Security Interests) would hold its eighteenth session in Viennafrom 8 to 12 November 2010.(f) 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。
Annex附件
List of documents before the Commission at its forty-second session委员会第四十二届会议会前文件一览表
Symbol文号
Title or description标题或说明
A/CN.9/663A/CN.9/663
Provisional agenda, annotations thereto and scheduling of meetings of the forty-second session第四十二届会议临时议程、临时议程说明和会议时间安排
A/CN.9/664A/CN.9/664
Report of Working Group I (Procurement) on the work of its fourteenth session (Vienna, 8-12 September 2008)第一工作组(采购)第十四届会议(2008年9月8日至12日,维也纳)工作报告
A/CN.9/665A/CN.9/665
Report of Working Group II (Arbitration and Conciliation) on the work of its forty-ninth session (Vienna, 15-19 September 2008)第二工作组(仲裁和调解)第四十九届会议(2008年9月15日至19日,维也纳)工作报告
A/CN.9/666A/CN.9/666
Report of Working Group V (Insolvency Law) on the work of its thirty-fifth session (Vienna, 17-21 November 2008)第五工作组(破产法)第三十五届会议(2008年11月17日至21日,维也纳)工作报告
A/CN.9/667A/CN.9/667
Report of Working Group VI (Security Interests) on the work of its fourteenth session (Vienna, 20-24 October 2008)第六工作组(担保权益)第十四届会议(2008年10月20日至24日,维也纳)工作报告
A/CN.9/668A/CN.9/668
Report of Working Group I (Procurement) on the work of its fifteenth session (New York, 2-6 February 2009)第一工作组(采购)第十五届会议(2009年2月2日至6日,纽约)工作报告
A/CN.9/669A/CN.9/669
Report of Working Group II (Arbitration and Conciliation) on the work of its fiftieth session (New York, 9-13 February 2009)第二工作组(仲裁和调解)第五十届会议(2009年2月9日至13日,纽约)工作报告
A/CN.9/670A/CN.9/670
Report of Working Group VI (Security Interests) on the work of its fifteenth session (New York, 27 April-1 May 2009)第六工作组(担保权益)第十五届会议(2009年4月27日至5月1日,纽约)工作报告
A/CN.9/671A/CN.9/671
Report of Working Group V (Insolvency Law) on the work of its thirty-sixth session (New York, 18-22 May 2009)第五工作组(破产法)第三十六届会议(2009年5月18日至22日,纽约)工作报告
A/CN.9/672A/CN.9/672
Report of Working Group I (Procurement) on the work of its sixteenth session (New York, 26-29 May 2009)第一工作组(采购)第十六届会议(2009年5月26日至29日,纽约)工作报告
A/CN.9/673A/CN.9/673
Bibliography of recent writings related to the work of UNCITRAL与贸易法委员会工作有关的最新著作目录
A/CN.9/674A/CN.9/674
Status of conventions and model laws各公约和示范法的现状
A/CN.9/675 and Add.1A/CN.9/675和Add.1
Technical cooperation and assistance技术合作与援助
A/CN.9/676A/CN.9/676
UNCITRAL rules of procedure and methods of work贸易法委员会议事规则和工作方法
A/CN.9/676/Add.1 to Add.9A/CN.9/676/Add.1至Add.9
UNCITRAL rules of procedure and methods of work – Comments received from Member States and interested international organizations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.9/677A/CN.9/677
Settlement of commercial disputes – UNCITRAL Arbitration Rules: Designating and appointing authorities under the UNCITRAL Arbitration Rules商事纠纷的解决——《贸易法委员会仲裁规则》:《贸易法委员会仲裁规则》所规定的指定当局和指派当局
A/CN.9/678A/CN.9/678
Possible future work on electronic commerce今后可能就电子商务开展的工作
A/CN.9/679A/CN.9/679
Possible future work in the area of transport law: Commentary or explanatory notes on the United Nations Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea (“Rotterdam Rules”)今后可能在运输法领域开展的工作:《联合国全程或者部分海上国际货物运输合同公约》(“《鹿特丹规则》”)的评注或解释性说明
A/CN.9/680A/CN.9/680
UNCITRAL rules of procedure and methods of work – Proposal by France贸易法委员会议事规则和工作方法——法国的提案
A/CN.9/681A/CN.9/681
Possible future work on electronic commerce – Recommendations for future work of Working Group IV (Electronic Commerce) submitted by the United States of America今后可能就电子商务开展的工作——美利坚合众国就第四工作组(电子商务)今后的工作提交的建议
A/CN.9/681/Add.1A/CN.9/681/Add.1
Possible future work on electronic commerce – Proposal of the United States of Americaon electronic transferable records今后可能就电子商务开展的工作——美利坚合众国关于电子可转移记录的建议
A/CN.9/681/Add.2A/CN.9/681/Add.2
Possible future work on electronic commerce – Proposal of the United States of Americaon online dispute resolution今后可能就电子商务开展的工作——美利坚合众国关于网上解决纠纷的建议
A/CN.9/682A/CN.9/682
Proposal of Spainconcerning the future work of Working Group IV西班牙关于第四工作组今后工作的建议
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 fifty-eighth session, on 17 November 2003 (decision 58/407), and 30 were elected by the Assembly at its sixty-first session, on 22 May 2007 (decision 61/417). 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.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个由大会第五十八届会议于2003年11月17日选出(第58/407号决定),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)。大会在第31/99号决议中改变了成员资格的开始和终止日期,决定所有当选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。
2 Official Records of the General Assembly, Sixty-first Session, Supplement No. 17 (A/61/17), para.  209 (c).2 《大会正式记录,第六十一届会议,补编第17号》(A/61/17),第209(c)段。
3 Ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part I, para. 191.3 同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第191段。
4 Ibid., Sixty-third Session, Supplement No. 17 (A/63/17), para. 320.4 同上,《第六十三届会议,补编第17号》(A/63/17),第320段。
5 Ibid., para. 321.5 同上,第321段。
6 Ibid., United Nations publication, Sales No. E.99.V.3.6 同上,联合国出版物,出售品编号:E.99.V.3。
See also paragraph 376 (o) below.另见下文第376(o)段。
7 Ibid., Sales No. E.05.V.10.7 同上,出售品编号:E.05.V.10。
8 United Nations publication, Sales No. E.98.V.13.8 联合国出版物,出售品编号:E.98.V.13。
9 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), para. 81.9 同上,《第五十九届会议,补编第17号》,(A/59/17),第81段。
10 Ibid., para. 82.10 同上,第82段。
11 For the reports of the Working Group on the work of its sixth to sixteenth 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 and A/CN.9/672, respectively.11 关于工作组第六届至第十六届会议工作的报告,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和A/CN.9/672。
12 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;12 《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》(A/63/17),第307段。
and ibid., Sixty-third Session, Supplement No. 17 (A/63/17), para. 307.
13 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), para. 192.13 同上,《第六十一届会议,补编第17号》(A/61/17),第192段。
14 Ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part I, para. 170.14 同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第170段。
15 Ibid., Sixty-third Session, Supplement No. 17 (A/63/17), para. 307.15 同上,《第六十三届会议,补编第17号》(A/63/17),第307段。
16 At the request of the Working Group (A/CN.9/668, para. 277) and upon consultation with the Bureau of the Commission, the sixteenth session of the Working Group was convened from 26 to 29 May 2009, at a time initially scheduled for the forty-fifth session of Working Group IV (Electronic Commerce).16 应工作组的请求(A/CN.9/668,第277段),经与委员会主席团协商,2009年5月26日至29日举行了工作组第十六届会议,这一时间原定举行第四工作组(电子商务)第四十五届会议。
17 United Nations, Treaty Series, vol. 2349, No. 42146.17 联合国,《条约汇编》,第2349卷,第42146号。
18 Available at http://www.wto.org/english/tratop_E/gproc_e/gp_gpa_e.htm.18 可在下述网址查阅:http://www.wto.org/english/tratop_E/gproc_e/gp_gpa_e.htm。
19 Available at http://www.wto.org/english/tratop_e/gproc_e/gp_gpa_e.htm.19 可在下述网址查阅:http://www.wto.org/english/tratop_e/gproc_e/gp_gpa_e.htm。
20 Directive 2004/18/EC of the European Parliament and of the Council of 31 March 2004 on the coordination of procedures for the award of public works contracts, public supply contracts and public service contracts and Directive 2004/17/EC of the European Parliament and of the Council of 31 March 2004, coordinating the procurement procedures of entities operating in the water, energy, transport and postal services sectors (Official Journal of the European Union, No. L 134, 30 April 2004, pp. 114 and 1, respectively.20 2004年3月31日欧洲议会和欧洲委员会关于协调公共工程合同、公共供应合同和公共服务合同授予程序的协调的第2004/18/EC号指令,和2004年3月31日欧洲议会和欧洲委员会关于水、能源、运输和邮政服务部门中经营实体的采购程序的协调的第2004/17/EC号指令(分别见《欧洲联盟公报》,第L 134号,2004年4月30日,第114和1页。
Both available at http://europa.eu.int/comm/internal_market/publicprocurement/legislation_en.htm).均可在以下网址查阅:http://europa.eu.int/comm/internal_market/publicprocurement/legislation_en.htm)。
21 Directive 2007/66/EC of the European Parliament and of the Council of 11 December 2007 amending Council directive 89/665/EEC and 92/13/EEC with regard to improving the effectiveness of review procedures concerning the award of public contracts, available at http://ec.europa.eu/internal_market/publicprocurement/remedies/remedies_en.htm.21 2007年12月11日欧洲议会和欧洲委员会第2007/66/EC号指令,该指令修正了欧洲委员会关于提高公共合同授予的审查程序的效力的第89/665/EEC和第92/13/EEC号指令,可在下述网址查阅:http://ec.europa.eu/internal _market/publicprocurement/remedies/remedies_en.htm。
22 United Nations publication, Sales No. E.93.V.6.22 联合国出版物,出售品编号:E.93.V.6。
23 Official Records of the General Assembly, Sixty-first Session, Supplement No. 17 (A/61/17), para.  187.23 《大会正式记录,第六十一届会议,补编第17号》(A/61/17),第187段。
24 Ibid., para. 184.24 同上,第184段。
25 Ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part I, para. 174.25 同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第174段。
26 Ibid., Sixty-third Session, Supplement No. 17 (A/63/17), para. 313.26 同上,《第六十三届会议,补编第17号》(A/63/17),第313段。
27 Ibid., para. 314.27 同上,第314段。
28 See Carnegie Endowment for International Peace, The Hague Conventions and Declarations of 1899 and 1907 (New York, Oxford University Press, 1915).28 见卡内基国际和平基金会,《1899年和1907年海牙公约与宣言》(牛津大学出版社,1915年,纽约)。
29 Official Records of the General Assembly, Sixty-first Session, Supplement No. 17 (A/61/17), para.  187.29 《大会正式记录,第六十一届会议,补编第17号》(A/61/17),第187段。
30 United Nations publication, Sales No. E.08.V.4.30 联合国出版物,出售品编号:E.08.V.4。
See also paragraph 376 (k) below.另见下文第376(k)段。
31 Official Records of the General Assembly, Sixty-first Session, Supplement No. 17 (A/61/17), para.  176.31 《大会正式记录,第六十一届会议,补编第17号》(A/61/17),第176段。
32 Ibid., para. 209.32 同上,第209段。
33 United Nations publication, Sales No. E.05.V.10.33 联合国出版物,出售品编号:E.05.V.10。
34 Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17), part I, paras. 157 and 162.34 《第六十二届会议,补编第17号》(A/62/17),第一部分,第157和162段。
35 Ibid., part II, paras. 99-100.35 同上,第二部分,第99-100段。
36 Ibid., part I, para. 160.36 同上,第一部分,第160段。
37 Ibid., Fifty-sixth Session, Supplement No. 17 (A/56/17), para. 195. For the text of the Convention, see General Assembly resolution 56/81 of 12 December 2001, annex. For further information about the Convention, see paragraph 376 (h) below.37 同上,《第五十六届会议,补编第17号》(A/56/17),第195段。公约案文见大会第56/81号决议,附件。有关公约的进一步信息,见下文第376(h)段。
38 Ibid., Sixty-third Session, Supplement No. 17 (A/63/17), para. 384.38 同上,《第六十三届会议,补编第17号》(A/63/17),第384段。
39 Ibid., para. 298.39 同上,第298段。
40 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. See also paragraph 376 (a) below.40 《联合国国际货物销售时效(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。
另见下文第376(a)段。
41 United Nations publication, Sales No. E.95.V.12.41 联合国出版物,出售品编号:E.95.V.12。
For further information about the Convention, see paragraph 376 (d) below.有关该《公约》的进一步信息,见下文第376(d)段。
42 Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17), part I, para. 195.42 《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195段。
43 Ibid., Sixty-third Session, Supplement No. 17 (A/63/17), paras. 336 and 338.43 同上,《第六十三届会议,补编第17号》(A/63/17),第336和338段。
44 Ibid., para. 337.44 同上,第337段。
45 Ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17), paras. 279-290;
ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), paras. 231-241;
ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 108-112; ibid., Sixtieth Session, Supplement No. 17 (A/60/17), paras. 216-220; ibid., Sixty-first Session, Supplement No. 17 (A/61/17), paras. 211-217; ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part I, paras. 196-203;45 同上,《第五十七届会议,补编第17号》(A/57/17),第279-290段;同上,《第五十八届会议,补编第17号》(A/58/17),第231-241段;同上,《大会正式记录,第五十九届会议,补编第17号》(A/59/17),第108-112段;同上,《第六十届会议,补编第17号》(A/60/17),第216-220段;同上,《第六十一届会议,补编第17号》(A/61/17),第211-217段;同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第196-203段;以及同上,《第六十三届会议,补编第17号》(A/63/17),第339-347段。
and ibid., Sixty-third Session, Supplement No. 17 (A/63/17), paras. 339-347.
46 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), para. 112.46 同上,《第五十九届会议,补编第17号》(A/59/17),第112段。
47 Ibid., Sixtieth Session, Supplement No. 17 (A/60/17), para. 217.47 同上,《第六十届会议,补编第17号》(A/60/17),第217段。
48 Ibid., Sixty-third Session, Supplement No. 17 (A/63/17), paras. 339-342.48 同上,《第六十三届会议,补编第17号》(A/63/17),第339-342段。
49 Ibid., paras. 343-344.49 同上,第343-344段。
50 Ibid., paras. 345-347.50 同上,第345-347段。
51 For the report of the session, see Official Records of the Economic and Social Council, 2009, Supplement No. 10 (E/2009/30–E/CN.15/2009/20).51 该届会议的报告见《经济及社会理事会正式记录,2009年,补编第10号》(E/2009/30-E/CN.15/2009/20)。
52 Ibid., chapter II.52 同上,第二章。
53 Ibid., chapter I, B, draft resolution I.53 同上,第一章B,决议草案一。
54 United Nations, Treaty Series, vol. 330, No. 4739. See also paragraph 376 (j) below.54 联合国,《条约汇编》,第330卷,第4739号。另见下文第376(j)段。
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 (A/63/17), paras. 353-360.57 同上,《第六十三届会议,补编第17号》(A/63/17),第353-360段。
58 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), annex II.58 同上,《第六十一届会议,补编第17号》(A/61/17),附件二。
59 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.59 《联合国国际货物销售时效(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。
60 United Nations publication, Sales No. E.95.V.13.60 联合国出版物,出售品编号:E.95.V.13。
61 United Nations publication, Sales No. E.95.V.14.61 联合国出版物,出售品编号:E.95.V.14。
62 United Nations publication, Sales No. E.95.V.12.62 联合国出版物,出售品编号:E.95.V.12。
63 United Nations publication, Sales No. E.95.V.16.63 联合国出版物,出售品编号:E.95.V.16。
64 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.64 《联合国国际贸易运输港站经营人赔偿责任会议正式记录,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。
65 United Nations publication, Sales No. E.97.V.12.65 联合国出版物,出售品编号:E.97.V.12。
66 United Nations publication, Sales No. E.04.V.14.66 联合国出版物,出售品编号:E.04.V.14。
67 United Nations publication, Sales No. E.07.V.2.67 联合国出版物,出售品编号:E.07.V.2。
68 United Nations, Treaty Series, vol. 330, No. 4739.68 联合国,《条约汇编》,第330卷,第4739号。
69 United Nations publication, Sales No. E.08.V.4.69 联合国出版物,出售品编号:E.08.V.4。
70 United Nations publication, Sales No. E.99.V.11.70 联合国出版物,出售品编号:E.99.V.11。
71 United Nations publication, Sales No. E.98.V.13.71 联合国出版物,出售品编号:E.98.V.13。
72 United Nations publication, Sales No. E.99.V.4.72 联合国出版物,出售品编号:E.99.V.4。
73 United Nations publication, Sales No. E.99.V.3.73 联合国出版物,出售品编号:E.99.V.3。
74 United Nations publication, Sales No. E.02.V.8.74 联合国出版物,出售品编号:E.02.V.8。
75 United Nations publication, Sales No. E.05.V.4.75 联合国出版物,出售品编号:E.05.V.4。
76 United Nations publication, Sales No. E.07.V.02.76 联合国出版物,出售品编号:E.07.V.02。
77 Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17), part I, paras. 234-241.77 《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。
78 Ibid., part II, paras. 101-107.78 同上,第二部分,第101-107段。
79 Ibid., Sixty-third session, Supplement No. 17 (A/63/17), paras. 373-381.79 同上,《第六十三届会议,补编第17号》(A/63/17),第373-381段。
80 Ibid., para. 382.80 同上,第382段。
81 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), para. 114.81 同上,《第五十九届会议,补编第17号》(A/59/17),第114段。
82 Food and Agriculture Organization of the United Nations, Report of the Conference of FAO, Thirty-first Session, Rome, 2-13 November 2001 (C 2001/REP), appendix D.82 联合国粮食及农业组织,《粮农组织第三十一届会议报告,2001年11月2日至13日,罗马》(C 2001/REP),附录D。
83 See paragraph 376 (n) above.83 见上文第376(n)段。
84 Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17), part II, paras. 111-113.84 《大会正式记录,第六十二届会议,补编第17号》(A/62/17),第二部分,第111-113段。
85 Ibid., Sixty-third Session, Supplement No. 17 (A/63/17), para. 386.85 同上,《第六十三届会议,补编第17号》(A/63/17),第386段。
86 The Sixth Committee reached the understanding that comments related to the first sub-topic should address, among others, 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 this area, mechanisms and criteria for evaluating the effectiveness of such assistance, ways and means of advancing donor coherence and perspectives of recipient States. Comments related to the other sub-topic should address, among others, the role and future of national and international transitional justice and accountability mechanisms and informal justice systems (A/63/443, para. 7).86 第六委员会达成的谅解是:与第一个分议题有关的评论应当特别述及国内实施和解释国际法的法律和实践,加强和改进在这一领域的技术援助和能力建设的协调和一致,这些援助有效性的评价机制和标准,增进捐助方一致性的方式和方法,以及受援国的视角。与另一个分议题相关的评论应当特别述及国家和国际过渡司法和问责机制以及非正式司法系统的作用和前景(A/63/443,第7段)。
87 “Uniform Commercial Law in the Twenty-First Century”, Proceedings of the Congress of the United Nations Commission on International Trade Law, New York, 18-22 May 1992 (United Nations publication, Sales No. E.94.V.14).87 《二十一世纪的统一商法:联合国国际贸易法委员会大会议事记录,1992年5月18日至22日,纽约》(联合国出版物,出售品编号:E.94.V.14)。
88 Official Records of the General Assembly, Forty-eighth Session, Supplement No. 17 (A/48/17), para. 312.88 《大会正式记录,第四十八届会议,补编第17号》(A/48/17),第312段。
89 Ibid.89 同上。
90 See footnote 47 above.90 见上文脚注47。
91 Ibid.91 同上。
92 Available at the date of this report at http://www.sccinstitute.com/?id=23719.92 本报告发表之日可在下述网址查阅:http://www.sccinstitute.com/?id=23719。
93 See footnote 31 above.93 见上文脚注31。
94 Ibid.94 同上。
95 See footnote 84 above.95 见上文脚注84。
96 See footnote 22 above.96 见上文脚注22。
97 See footnote 47 above.97 见上文脚注47。
98 See footnote 60 above.98 见上文脚注60。
99 Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17), part I, para. 243.99 《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。
100 Proposed programme budget for the biennium 2008-2009, Part III, International justice and law, Section 8, Legal affairs (Programme 6 of the biennial programme plan and priorities for the period 2008-2009), Subprogramme 5, Progressive harmonization, modernization and unification of the law of international trade (A/62/6 (Sect. 8), table 8.19 (d)).100 2008-2009两年期拟议方案预算,第三编,国际司法和法律,第8款,法律事务(2008-2009两年期方案计划和优先事项,方案6),次级方案5,国际贸易法的逐步协调、现代化和统一(A/62/6(第8款),表8.19(d))。
101 Official Records of the General Assembly, Sixty-third Session, Supplement No. 17 (A/63/17), para. 392.101 《大会正式记录,第六十三届会议,补编第17号》(A/63/17),第392段。