A_70_17_EC
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A/70/17 V1505452.docx (English)A/70/17 V1505451.docx (Chinese)
A/70/17A/70/17
United NationsA/66/17
Report of the United Nations Commission on International Trade Law联合国
Forty-eighth session (29 June-16 July 2015)联合国国际贸易法委员会报告
General Assembly第四十八届会议
Official Records(2015年6月29日至7月16日)
Seventieth session大会
Supplement No. 17正式记录
General Assembly第七十届会议 补编第17号 大会
Official Records正式记录
Seventieth session第七十届会议
Supplement No. 17补编第17号
Report of the United Nations Commission on International Trade Law联合国国际贸易法委员会报告
Forty-eighth session第四十八届会议
(29 June-16 July 2015)(2015年6月29日至7月16日)
United Nations Vienna, 2015联合国 2015年,纽约
Note说明
Symbols of United Nations documents are composed of capital letters combined with figures.联合国文件用英文大写字母附加数字编号。
Mention of such a symbol indicates a reference to a United Nations document.提到这种编号,即指联合国的某一个文件。
ISSN 0251-9127ISSN 0251-916X
A/70/17A/70/17
A/70/17A/70/17
Contents目录
Page章次 页次
Introduction导言
11
Organization of the session会议安排
11
Opening of the session会议开幕
11
Membership and attendance成员和出席情况
11
Election of officers选举主席团成员
32
Agenda议程
33
Establishment of a Committee of the Whole设立全体委员会
44
Adoption of the report通过报告
54
Consideration of issues in the area of arbitration and conciliation审议仲裁和调解领域的问题
54
Consideration and provisional approval of draft revised UNCITRAL Notes on Organizing Arbitral Proceedings对《贸易法委员会关于安排仲裁程序的说明》的修订
54
Planned and possible future work计划中的和今后可能开展的工作
2321
Establishment and functioning of the transparency repository透明度存储处的设立和运作
2623
International commercial arbitration and mediation moot competitions国际商事仲裁和调解模拟辩论赛
2825
Consideration of issues in the area of security interests审议担保权益领域的问题
2926
Introduction导言
2926
Consideration and provisional approval of parts of a model law on secured transactions审议和暂时核准担保交易示范法的几个部分
3026
Possible future work in the area of security interests今后在担保权益领域可能开展的工作
4035
Coordination and cooperation in the area of security interests担保权益领域的协调与合作
4136
Micro-, small- and medium-sized enterprises (MSMEs): progress report of Working Group I微型、小型和中型企业:第一工作组进度报告
4136
Online dispute resolution: progress report of Working Group III网上争议解决:第三工作组进度报告
4337
Electronic commerce: progress report of Working Group IV电子商务:第四工作组进度报告
4337
Insolvency law: progress report of Working Group V破产法:第五工作组进度报告
4438
Endorsement of texts of other organizations: Principles on Choice of Law in International Commercial Contracts赞同其他组织的法规:《国际商事合同法律选择原则》
4539
Technical assistance to law reform法律改革技术援助
4640
General discussion一般性讨论
4640
Consideration of a draft guidance note on strengthening United Nations support to States to implement sound commercial law reforms审议关于加强联合国对各国支助以落实健全商法改革的指导意见说明草案
4841
Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts促进可确保贸易法委员会法规统一解释和适用的方式方法
4942
Status and promotion of UNCITRAL texts贸易法委员会法规的现状和促进
5143
Coordination and cooperation贸易法委员会的区域存在
5244
General概述
5244
Coordination and cooperation in the field of international arbitration and conciliation国际仲裁和调解领域的协调与合作
5245
Reports of other international organizations其他国际组织的报告
5547
International governmental and non-governmental organizations invited to sessions of UNCITRAL获邀参加贸易法委员会届会的国际政府组织和非政府组织
5748
UNCITRAL regional presence贸易法委员会的区域存在
5849
Role of UNCITRAL in promoting the rule of law at the national and international levels贸易法委员会在促进国内和国际法治方面的作用
5950
Introduction导言
5950
Implementation of the relevant decisions taken by the Commission at its forty-seventh session委员会第四十七届会议所作相关决定的执行情况
6051
UNCITRAL comments to the General Assembly贸易法委员会向大会提供的评论意见
6152
The thirty-fifth anniversary of the United Nations Convention on Contracts for the International Sale of Goods (Vienna, 1980)《联合国国际货物销售合同公约》(1980年,维也纳)三十五周年
6656
Work Programme of the Commission委员会的工作方案
6858
Legislative development立法制订工作
6958
Support activities支助活动
7463
Commemoration of the fiftieth anniversary of the establishment of UNCITRAL纪念贸易法委员会成立五十周年
7563
Relevant General Assembly resolutions大会有关决议
7563
Other business其他事项
7563
Entitlement to summary records获得简要记录的权利
7563
Internship programme实习方案
7664
Evaluation of the role of the Secretariat in facilitating the work of the Commission评价秘书处在促进委员会工作上发挥的作用
7664
Measures to achieve the optimum utilization by UNCITRAL of conference servicing resources使贸易法委员会最佳利用会议服务资源的措施
7765
Date and place of future meetings今后会议的日期和地点
7966
Forty-ninth session of the Commission委员会第四十九届会议
7966
Sessions of working groups工作组届会
7966
Annex附件
List of documents before the Commission at its forty-eighth session委员会第四十八届会议文件一览表
8168
A/70/17一、
I. Introduction导言
The present report of the United Nations Commission on International Trade Law (UNCITRAL) covers the forty-eighth session of the Commission, held in Vienna from 29 June to 16 July 2015.1. 联合国国际贸易法委员会(贸易法委员会)本报告概述委员会2015年6月29日至7月16日在维也纳举行的第四十八届会议的情况。
Pursuant to General Assembly resolution 2205 (XXI) of 17 December 1966, this report is submitted to the Assembly and is also submitted for comments to the United Nations Conference on Trade and Development.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、 会议安排
A. Opening of the sessionA. 会议开幕
The forty-eighth session of the Commission was opened on 29 June 2015.3. 委员会第四十八届会议于2015年6月29日开幕。
B. Membership and attendanceB. 成员和出席情况
The General Assembly, in its resolution 2205 (XXI), established the Commission with a membership of 29 States, elected by the Assembly.4. 大会在其第2205 (XXI)号决议中设立了由大会选出的29个国家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.大会通过1973年12月12日第3108 (XXVIII)号决议,将委员会成员国数量从29个国家增至36个国家。
By its resolution 57/20 of 19 November 2002, the General Assembly further increased the membership of the Commission from 36 States to 60 States.大会在2002年11月19日第57/20号决议中进一步将委员会成员国数量从36个增加到60个。
The current members of the Commission, elected on 3 November 2009, on 15 April 2010, on 14 November 2012 and on 14 December 2012 are the following States, whose term of office expires on the last day prior to the beginning of the annual session of the Commission in the year indicated: Algeria (2016), Argentina (2016), Armenia (2019), Australia (2016), Austria (2016), Belarus (2016), Botswana (2016), Brazil (2016), Bulgaria (2019), Cameroon (2019), Canada (2019), China (2019), Colombia (2016), Côte d’Ivoire (2019), Croatia (2016), Czech Republic (2016), Denmark (2019), Ecuador (2019), El Salvador (2019), Fiji (2016), France (2019), Gabon (2016), Germany (2019), Greece (2019), Honduras (2019), Hungary (2019), India (2016), Indonesia (2019), Iran (Islamic Republic of) (2016), Israel (2016), Italy (2016), Japan (2019), Jordan (2016), Kenya (2016), Kuwait (2019), Liberia (2019), Malaysia (2019), Mauritania (2019), Mauritius (2016), Mexico (2019), Namibia (2019), Nigeria (2016), Pakistan (2016), Panama (2019), Paraguay (2016), Philippines (2016), Poland (2016), Republic of Korea (2019), Russian Federation (2019), Sierra Leone (2019), Singapore (2019), Spain (2016), Switzerland (2019), Thailand (2016), Turkey (2016), Uganda (2016), United Kingdom of Great Britain and Northern Ireland (2019), United States of America (2016), Venezuela (Bolivarian Republic of) (2016) and Zambia (2019).下列国家是分别于2009年11月3日、2010年4月15日、2012年11月14日和2012年12月14日选出的委员会现任成员,任期于所示年份的委员会年度届会开始前的最后一天届满:阿尔及利亚(2016年)、阿根廷(2016年)、亚美尼亚(2019年)、澳大利亚(2016年)、奥地利(2016年)、白俄罗斯(2016年)、博茨瓦纳(2016年)、巴西(2016年)、保加利亚(2019年)、喀麦隆(2019年)、加拿大(2019年)、中国(2019年)、哥伦比亚(2016年)、科特迪瓦(2019年)、克罗地亚(2016年)、捷克共和国(2016年)、丹麦(2019年)、厄瓜多尔(2019年)、萨尔瓦多(2019年)、斐济(2016年)、法国(2019年)、加蓬(2016年)、德国(2019年)、希腊(2019年)、洪都拉斯(2019年)、匈牙利(2019年)、印度(2016年)、印度尼西亚(2019年)、伊朗伊斯兰共和国(2016年)、以色列(2016年)、意大利(2016年)、日本(2019年)、约旦(2016年)、肯尼亚(2016年)、科威特(2019年)、利比里亚(2019年)、马来西亚(2019年)、毛里塔尼亚(2019年)、毛里求斯(2016年)、墨西哥(2019年)、纳米比亚(2019年)、尼日利亚(2016年)、巴基斯坦(2016年)、巴拿马(2019年)、巴拉圭(2016年)、菲律宾(2016年)、波兰(2016年)、大韩民国(2019年)、俄罗斯联邦(2019年)、塞拉利昂(2019年)、新加坡(2019年)、西班牙(2016年)、瑞士(2019年)、泰国(2016年)、土耳其(2016年)、乌干达(2016年)、大不列颠及北爱尔兰联合王国(2019年)、美利坚合众国(2016年)、委内瑞拉玻利瓦尔共和国(2016年)、赞比亚(2019年)。
Pursuant to General Assembly resolution 2205 (XXI), the members of the Commission are elected for a term of six years.根据大会第2205 (XXI)号决议,委员会成员经选举产生,任期六年。
Of the current membership, 28 were elected by the Assembly at its sixty-fourth session, on 3 November 2009, two were elected by the Assembly at its sixty-fourth session, on 15 April 2010, 29 were elected by the Assembly at its sixty-seventh session, on 14 November 2012, and one was elected by the Assembly at its sixty-seventh session, on 14 December 2012.在现任成员中,28个由大会第六十四届会议于2009年11月3日选出,2个由大会第六十四届会议于2010年4月15日选出,29个由大会第六十七届会议于2012年11月14日选出,1个由大会第六十七届会议于2012年12月14日选出。
By its resolution 31/99, the Assembly altered the dates of commencement and termination of membership by deciding that members would take office at the beginning of the first day of the regular annual session of the Commission immediately following their election and that their terms of office would expire on the last day prior to the opening of the seventh regular annual session following their election.大会在其第31/99号决议中,改变了成员资格的开始和终止日期,决定所有当选的成员国应从它们当选后紧接着召开的委员会年度常会开始的第一天起就职,其任期应于它们当选后委员会第七届年度常会开幕前的最后一天届满。
The following six States members elected by the General Assembly on 3 November 2009 agreed to alternate their membership among themselves until 2016 as follows: Belarus (2010-2011, 2013-2016), Czech Republic (2010-2013, 2015-2016), Poland (2010-2012, 2014-2016), Ukraine (2010-2014), Georgia (2011-2015) and Croatia (2012-2016).大会于2009年11月3日选出的以下六个成员国同意在2016年之前轮流出任委员会成员:白俄罗斯(2010-2011年、2013-2016年)、捷克共和国(2010-2013年、2015-2016年)、波兰(2010-2012年、2014-2016年)、乌克兰(2010-2014年)、格鲁吉亚(2011-2015年)、克罗地亚(2012-2016年)。
With the exception of Armenia, Botswana, Cameroon, Côte d’Ivoire, Fiji, Gabon, Jordan, Kuwait, Liberia, Mauritania, Mauritius, Namibia, Nigeria, Paraguay, Sierra Leone and Zambia, all the members of the Commission were represented at the session.5. 除亚美尼亚、博茨瓦纳、喀麦隆、科特迪瓦、斐济、加蓬、约旦、科威特、利比里亚、毛里塔尼亚、毛里求斯、纳米比亚、尼日利亚、巴拉圭、塞拉利昂、赞比亚之外,委员会所有成员都派代表出席了本届会议。
The session was attended by observers from the following States: Angola, Belgium, Benin, Bolivia (Plurinational State of), Chile, Costa Rica, Cyprus, Dominican Republic, Egypt, Finland, Lebanon, Luxembourg, Mali, Netherlands, Norway, Oman, Peru, Portugal, Qatar, Romania, Slovakia, Sri Lanka, Tunisia, United Arab Emirates and Viet Nam.6. 下列国家派观察员出席了本届会议:安哥拉、比利时、贝宁、多民族玻利维亚国、智利、哥斯达黎加、塞浦路斯、多米尼加共和国、埃及、芬兰、黎巴嫩、卢森堡、马里、荷兰、挪威、阿曼、秘鲁、葡萄牙、卡塔尔、罗马尼亚、斯洛伐克、斯里兰卡、突尼斯、阿拉伯联合酋长国、越南。
The session was also attended by observers from the European Union.7. 欧洲联盟也派观察员出席了会议。
The session was also attended by observers from the following international organizations: (a)8. 下列国际组织也派观察员出席了本届会议:
United Nations system: International Centre for Settlement of Investment Disputes (ICSID), United Nations Conference on Trade and Development (UNCTAD) and World Bank;(a) 联合国系统:国际投资争端解决中心(投资争端解决中心)、联合国贸易和发展会议(贸发会议)、世界银行;
(b) Intergovernmental organizations: Energy Charter Secretariat, the Hague Conference on Private International Law, International Institute for the Unification of Private Law (Unidroit), Organization for Economic Cooperation and Development (OECD) and Permanent Court of Arbitration (PCA);(b) 政府间组织:能源宪章秘书处、海牙国际私法会议、国际统一私法协会(统法学会)、经济合作与发展组织(经合组织)、常设仲裁法院(常设仲裁院);
(c) Invited non-governmental organizations: American Bar Association (ABA), American Society of International Law, Arbitration Institute of the Stockholm Chamber of Commerce (SCC), Chartered Institute of Arbitrators (CIARB), China International Economic and Trade Arbitration Commission (CIETAC), CISG Advisory Council (CISG-AC), EU Federation for the Factoring and Commercial Finance (EUF), European Law Institute (ELI), European Law Students’ Association, Factors Chain International (FCI), Fondation pour le droit continental, Forum for International Conciliation and Arbitration (FICACIC), German Institution of Arbitration (DIS), International Association of Democratic Lawyers (IADL), International Bar Association (IBA), International Commercial Arbitration Court at the Ukrainian Chamber of Commerce and Industry (ICAC at the UCC), International Council for Commercial Arbitration (ICCA), International Factors Group (IFG), International Federation of Commercial Arbitration Institutions (IFCAI), International Insolvency Institute (III), International Law Institute (ILI), International Mediation Institute (IMI), International Swaps and Derivatives Association (ISDA), Internet Corporation for Assigned Names and Numbers (ICANN), Korean Commercial Arbitration Board (KCAB), Moot Alumni Association (MAA), National Law Center for Inter-American Free Trade (NLCIFT), Swiss Arbitration Association (ASA) and Vienna International Arbitral Centre (VIAC).(c) 受邀请的非政府组织:美国律师协会、美国国际法学会、斯德哥尔摩商会仲裁院、特许仲裁员协会、中国国际经济贸易仲裁委员会、销售合同公约咨询理事会、欧盟保理和商业金融联合会、欧洲法律研究院、欧洲法律学生协会、国际保理商联合会、大陆法系基金会、国际调解和仲裁论坛、德国仲裁院、国际民主律师协会、国际律师协会、乌克兰斯工商会国际商事仲裁法院、国际商事仲裁理事会、国际保理商组织、商事仲裁协会国际联盟、国际破产协会、国际法研究所、国际调解院、国际掉期及衍生工具协会、互联网名称与数字地址分配机构、韩国商事仲裁院、模拟仲裁辩论赛赛友会、美洲自由贸易国家法律中心、瑞士仲裁协会、维也纳国际仲裁中心。
The Commission welcomed the participation of international non-governmental organizations with expertise in the major items on the agenda.9. 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
The Commission elected the following officers:10. 委员会选出了下列主席团成员:
Chair:主席:
Mr. Francisco REYES VILLAMIZAR (Colombia)Francisco REYES VILLAMIZAR先生(哥伦比亚)
Vice-Chairs: Mr.副主席:
Yongil LEE (Republic of Korea)Yongil LEE 先生(大韩民国)
Mr. Michael Adipo Okoth OYUGI (Kenya)Michael Adipo Okoth OYUGI先生(肯尼亚)
Mr.Michael SCHNEIDER先生(瑞士)
Michael SCHNEIDER (Switzerland)报告员:
Rapporteur: Mr. Siniša PETROVIC (Croatia)Siniša PETROVIC 先生(克罗地亚)
D. AgendaD. 议程
The agenda of the session, as adopted by the Commission at its 998th meeting, on 29 June, was as follows:11. 委员会在6月29日第998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. Consideration of issues in the area of arbitration and conciliation:4. 审议仲裁和调解领域的问题:
(a) Consideration and provisional approval of draft revised UNCITRAL Notes on Organizing Arbitral Proceedings;(a) 审议和暂时核准《贸易法委员会关于安排仲裁程序的说明》修订本草案;
(b) Enforcement of settlement agreements resulting from international commercial conciliation/mediation;(b) 国际商事调解/调停所产生和解协议的执行;
(c) Possible future work in the area of arbitration and conciliation;(c) 今后在仲裁和调解领域可能开展的工作;
(d) Establishment and functioning of the transparency repository;(d) 透明度存储处的设立和运作;
(e) International commercial arbitration moot competitions.(e) 国际商事仲裁模拟辩论赛。
5. Consideration of issues in the area of security interests:5. 审议担保权益领域的问题:
(a) Consideration and provisional approval of parts of a model law on secured transactions;(a) 审议和暂时核准担保交易示范法的几个部分;
(b) Possible future work in the area of security interests;(b) 今后在担保权益领域可能开展的工作;
(c) Coordination and cooperation in the area of security interests.(c) 担保权益领域的协调与合作。
6. Micro-, small- and medium-sized enterprises: progress report of Working Group I. 7.6. 微型、小型和中型企业:第一工作组进度报告。
Online dispute resolution: progress report of Working Group III.7. 网上争议解决:第三工作组进度报告
8. Electronic commerce: progress report of Working Group IV.8. 电子商务:第四工作组进度报告
9. Insolvency law: progress report of Working Group V. 10.9. 破产法:第五工作组进度报告。
Endorsement of texts of other organizations: Principles on Choice of Law in International Commercial Contracts.10. 对其他组织的文本的认可:《国际商事合同法律选择原则》。
11. Technical assistance to law reform.11. 法律改革技术援助。
12. Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts:12. 促进可确保贸易法委员会法规统一解释和适用的方式方法:
(a) Case law on UNCITRAL texts (CLOUT);(a) 贸易法委员会法规判例法(法规判例法);
(b) Digests of case law relating to UNCITRAL legal texts.(b) 贸易法委员会法规判例法摘要集。
13. Status and promotion of UNCITRAL legal texts.13. 贸易法委员会各项法规的现状和推广。
14. Coordination and cooperation:14. 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;
(c) International governmental and non-governmental organizations invited to sessions of UNCITRAL and its Working Groups.(c) 受邀参加贸易法委员会及其工作组届会的国际政府组织和非政府组织。
15. UNCITRAL regional presence.15. 贸易法委员会的区域存在。
16. Role of UNCITRAL in promoting the rule of law at the national and international levels.16. 贸易法委员会在促进国内和国际法治方面的作用。
17. The thirty-fifth anniversary of the United Nations Convention on Contracts for the International Sale of Goods (Vienna, 1980).17. 《联合国国际货物销售合同公约》(1980年,维也纳)三十五周年。
18. Work programme of the Commission.18. 委员会的工作方案。
19. Relevant General Assembly resolutions.19. 大会的有关决议。
20. Other business.20. 其他事项。
21. Date and place of future meetings.21. 今后会议的日期和地点。
22. Adoption of the report of the Commission.22. 通过委员会的报告。
E. Establishment of a Committee of the WholeE. 设立全体委员会
The Commission established a Committee of the Whole and referred to it for consideration under agenda item 5 (a).12. 委员会设立了全体委员会,并将议程项目5(a)交其审议。
The Commission elected Mr. Rodrigo LABARDINI FLORES (Mexico) to chair the Committee of the Whole in his personal capacity.委员会选出Rodrigo LABARDINI FLORES先生(墨西哥)以个人身份担任全体委员会主席。
The Committee of the Whole met from 13 to 16 July and held 7 meetings.全体委员会于7月13日至16日举行会议,共举行了7次会议。
At its 1023rd meeting, on 16 July, the Commission considered and adopted the report of the Committee of the Whole and agreed to include it in the present report (see para.委员会在7月16日第1023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214段)。
214 below).(全体委员会的报告转载于下文第169-213段)。
(The report of the Committee of the Whole is reproduced in paras. 169-213 below).F. 通过报告
F. Adoption of the report13. 委员会在2015年7月3日第1006次会议和第1007次会议、7月10日第1014次会议和第1015次会议、7月13日第1016次会议以及7月16日第1023次会议上以协商一致方式通过了本报告。
The Commission adopted the present report by consensus at its 1006th and 1007th meetings on 3 July, 1014th and 1015th meetings on 10 July, 1016th meeting on 13 July and 1023rd meeting on 16 July 2015.三、
III. Consideration of issues in the area of arbitration and conciliation审议仲裁和调解领域的问题
A. Consideration and provisional approval of draft revised UNCITRAL Notes on Organizing Arbitral ProceedingsA. 对《贸易法委员会关于安排仲裁程序的说明》的修订
1. Introduction1. 导言
The Commission recalled its decision at the forty-sixth session, in 2013, that Working Group II (Arbitration and Conciliation) should undertake work on the revision of the UNCITRAL Notes on Organizing Arbitral Proceedings (referred to as the “Notes”).14. 委员会回顾其2013年第四十六届会议上作出的决定,即第二工作组(仲裁和调解)应当就《贸易法委员会关于安排仲裁程序的说明》(以下称“说明”)的修订开展工作。
At that session, it was agreed that the preferred forum for that work would be that of a Working Group, to ensure that the universal acceptability of the Notes would be preserved.在该届会议上,委员会商定,开展此项工作的首选论坛将是工作组,以确保《说明》的普遍可接受性得以保持。
The Commission further recalled that, at its forty-seventh session, in 2014, it agreed that the Working Group should consider at its sixty-first and, if necessary, its sixty-second session, the revision of the Notes.委员会进一步回顾,委员会在2014年第四十七届会议上商定,工作组应在其第六十一届会议并且必要时在其第六十二届会议上审议对《说明》的修订。
In so doing the Working Group should focus on matters of substance, leaving drafting to the Secretariat.为此,工作组应侧重于实质事项,具体起草问题应交给秘书处处理。
UNCITRAL Yearbook, vol. XXVII: 1996, part three, annex II.《贸易法委员会年鉴》,第二十七卷:1996年,第三部分,附件二。
Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), para.《大会正式记录,第六十八届会议,补编第17号》(A/68/17),第130段。 同上。
130. Ibid. Ibid. Sixty-ninth Session, Supplement No. 17 (A/69/17), para.同上,《第六十九届会议,补编第17号》(A/69/17),第128段。
128. At its current session, the Commission had before it the reports of Working Group II on the work of its sixty-first session, held in Vienna from 15 to 19 September 2014, and its sixty-second session, held in New York from 2 to 6 February 2015 (A/CN.9/826 and A/CN.9/832, respectively).15. 本届会议上,委员会收到了第二工作组2014年9月15日至19日在维也纳举行的第六十一届会议以及2015年2月2日至6日在纽约举行的第六十二届会议的工作报告(分别为A/CN.9/826和A/CN.9/832)。
It also had before it the text of the draft revised UNCITRAL Notes on Organizing Arbitral Proceedings (the “draft revised Notes”) as contained in document A/CN.9/844.委员会还收到了A/CN.9/844号文件所载对《贸易法委员会关于安排仲裁程序的说明》的修订草案案文(“《说明》修订草案”)。
The Commission took note of the summary of the deliberations on the draft revised Notes that had taken place at the sixty-first and sixty-second sessions of the Working Group.16. 委员会注意到工作组第六十一届和第六十二届会议对《说明》修订草案进行审议的概要。
The Commission considered the draft revised Notes, with the aim of their provisional approval at its current session, and adoption at its next session, in 2016.委员会审议了《说明》修订草案,目标是在委员会本届会议上暂时核可该修订草案并在委员会2016年下届会议上通过该修订草案。
In so doing the Commission agreed to address substantive matters in relation to the revision of the Notes, entrusting the Secretariat with any consequential drafting modifications.为此,委员会同意处理与《说明》修订有关的实质事项,责成秘书处进行任何相应的起草方面的修改。
2. Consideration of the draft revised Notes2. 审议《说明》修订草案
(a) General remarks(a) 概述
The Commission recalled that, when it finalized the Notes at its twenty-ninth session, in 1996, it approved the principles underlying the Notes, among which were: that the Notes must not impinge upon the beneficial flexibility of arbitral proceedings; that it was necessary to avoid establishing any requirement beyond existing laws, rules or practices, and in particular to ensure that the fact that the Notes, or any part of them, were disregarded, would not lead to a conclusion that a procedural principle had been violated or a ground for refusing enforcement of an award; and that the Notes should not seek to harmonize disparate arbitral practices and, in the face of such disparate practices, to recommend the use of any particular procedure.17. 委员会回顾,1996年在第二十九届会议上审定《说明》时,委员会核准了《说明》的基本原则,其中包括:《说明》绝不能影响仲裁程序有益的灵活性;有必要避免确立超出现行法律、规则或惯例的任何要求,并且特别要确保不会因不考虑《说明》或其中任何部分而导致得出任何程序性原则被违背的结论或者成为拒绝执行裁决的理由;以及《说明》不应当寻求统一不同的仲裁惯例并在面临不同做法时建议采用任何特定程序。
It was furthermore recalled that one of the great advantages of the Notes was their descriptive and non-directive nature that reflected a variety of practices.还进一步回顾,《说明》的最大长处之一是其描述性而非指令性,从而反映了各方面的实践。 同上,《第五十一届会议,补编第17号》(A/51/17),第13段。 18. 工作组一致认为,《说明》修订草案应当保留这些特性,其目的不应当是将任何做法作为最佳做法加以提倡。 19. 另外,委员会确认了工作组的下述理解,即《说明》修订草案应当保持其普遍适用性,并处理可能出现的程序问题,而不区分仲裁种类。 在这方面,委员会指出,“说明6”草案涉及“仲裁相关信息的保密;可能达成的保密协议;投资人与国家间基于条约仲裁的透明度”,该条说明突出了在投资仲裁方面可能产生的一个具体问题,同时仍然保持了《说明》修订草案的一般性质。 20. 委员会还确认了工作组的下述理解,即需要使用不提及特定技术的语言对《说明》修订草案中提及技术和通信手段的内容加以增订(A/CN.9/826,第25、38、39、91至102、110、125段)。 还指出,新的条目已经包括在《说明》修订草案中与临时措施、并入和合并有关的项下。 21. 关于措词问题,委员会认为,《说明》修订草案下一稿应当前后一致地使用措词。 例如,会上指出,广义使用的“文件”一词有时具体指“书面证据”,有时又指“书面提交材料”,有时还指“法律依据复件”,这些含义明显不同,应当在《说明》修订草案的相关段落中加以澄清。 另外,应当澄清,“证人”一词是指事实证人、专家证人还是指这两者。 (b) 对《说明》修订草案各段的评论 导言(第1至16段) 《说明》修订草案第13段 22. 委员会核可了下述提议,即应当在第13段最后一句“最好”一词前面加上“通常”,以反映当事人亲自参加不可取这种例外情形。 《说明》修订草案第14段 23. 会上指出,第14段澄清了一个重要的程序事项,它与一方当事人未参加程序会议的情形有关。 会上提出,即使是在这种情况下,仲裁庭也应当始终都为各方当事人提供陈述案情的机会。 因此,委员会商定,删除该段中的“尽可能在程序日程表”这段词语,同时单独加上一句话,反映下述事实,即如果确定了程序日程表,则应调整日程表以提供此种机会。 24. 有建议提出应反映需在并入和合并情况下调整程序日程表。 这项建议未获支持,因为并入和合并通常不是在仲裁庭组成之后发生的,而且《说明》修订草案第12和14段已经充分述及这一问题。 《说明》修订草案第15段 25. 委员会商定,在第15段第二句“可以口头作出”前面加上“也”一词,以便更好地反映程序会议上作出的决定可以采取各种形式。 26. 为了反映实际做法,第15段可以按下述写法添加一句话:“例如,普遍做法是,仲裁庭对初次程序会议期间以程序令形式作出的载明仲裁管辖规则的各项决定加以概括。 ”委员会进一步商定,如果《说明》修订草案提及程序开始时将审议的事项,则应添加参引第15段的内容。 附加说明 说明1 — 一套仲裁规则(第17至19段)
Ibid. Fifty-first Session, Supplement No. 17 (A/51/17), para.《说明》修订草案第17段
13. The Commission agreed that the draft revised Notes should retain those characteristics and that their purpose should not be to promote any practice as best practice.27. 会上提议修订第17段第四句,规定当事人所选择的一套仲裁规则将“在不违反适用仲裁法律强制性规定的情况下”管辖该仲裁,而不是强调这套仲裁规则优先于该法律的非强制性规定。 28. 对此,会上指出,关于当事人同意受适用仲裁法律强制性规定约束,《说明》修订草案第5和6段已经阐明了这条一般原则;第17段第四句的用意在于强调指出,当事人意思自治原则优先于适用仲裁法律的任何非强制性规定,这一原则也反映在《贸易法委员会仲裁规则》(2010年修订本)第1条第1款中。 同上,《第六十五届会议,补编第17号》(A/65/17),附件一。
Further, the Commission confirmed the understanding of the Working Group that the draft revised Notes should maintain their general applicability and address procedural issues that might arise, without differentiating the types of arbitration.29. 经过讨论,委员会商定,保留第17段第四句,不作修改,同时将该段最后一句中的“可能更适合具体案件”按下述措词改写:“可能会更好地反映当事人的目标”。
In that context, the Commission noted that draft Note 6 addressing “information relating to the arbitration; possible agreement on confidentiality; transparency in treaty-based investor-State arbitration” highlighted a specific issue that might arise in relation to investment arbitration, while still preserving the general nature of the draft revised Notes.《说明》修订草案第18段
The Commission also confirmed the understanding of the Working Group that references to technology and means of communication in the draft revised Notes needed to be updated using language that would not be technology-specific (A/CN.9/826, paras. 25, 38, 39, 91 to 102, 110 and 125).30. 会上指出,第17段涉及仲裁启动之前已经就一套仲裁规则达成约定的情形,但没有提及此种约定的形式。
It was also noted that new topics had been covered under the draft revised Notes in relation to interim measures, joinder and consolidation.会上指出,对比之下,第18段第一句则以“仲裁协议”的形式提及规定,而这又过于具体。
As a matter of drafting, the Commission agreed that terms should be used in a consistent manner in the next version of the draft revised Notes.会上提出,第18段应当一般适用于当事人未就一套仲裁规则达成约定的情形。
For instance, it was said that the term “document” which was used in a general manner sometimes referred specifically to “documentary evidence”, sometimes to “written submissions”, and sometimes to “copies of legal authorities” and that these distinct meanings should be clarified in the relevant paragraphs of the draft revised Notes, whose scope would otherwise be unclear.31. 关于第18段第二句,会上提出的问题是,该规定是否还意在涉及这样的情形:当事人就某一仲裁机构根据一套非本机构的仲裁规则管理案件达成约定。
Furthermore, it should be clarified whether the term “witnesses” referred to witnesses of facts, expert witnesses or both.会上提出,如果真的出现这种情形,那就应当删除“临时”一词,因为这些词有可能被误解为是限制此种可能性。
(b) Comments on paragraphs of the draft revised Notes32. 会上普遍认为,第18段的目的是表明,当事人需获得仲裁机构的同意,特别是如果已经组成仲裁庭的话。
Introduction (paras. 1 to 16)会上回顾,工作组第六十一届会议上曾对《说明》修订草案列入某些做法表示了关切,即使用某一机构的规则而不由该机构来管理仲裁,因为此种做法通常造成混乱、延误和费用(A/CN.9/826,第 45段)。
Paragraph 13 of the draft revised Notes因此,会上一致认为,《说明》修订草案没有必要进一步详细阐述此种可能性。
The Commission approved the suggestion that the word “usually” should be added before the word “desirable” in the last sentence of paragraph 13 to reflect the exceptional circumstance in which the participation of the parties themselves would not be desirable.还提出可以删除下面的词语:“而不论是根据该机构的仲裁规则还是根据《贸易法委员会仲裁规则》进行仲裁,或者根据其他任何临时规则进行仲裁”,因为这段话是多余的。
Paragraph 14 of the draft revised Notes33. 为明确起见,会上商定,第18段第二句可以按下述写法加以修订:“如果当事人在仲裁庭组成之后约定由某一仲裁机构处理该争议,可以(......)”。
It was said that paragraph 14 clarified an important procedural matter in relation to the situation where a party did not participate in procedural meetings.《说明》修订草案第19段
It was suggested that the arbitral tribunal, even under such circumstances, should always provide the parties with an opportunity to present their case.34. 委员会商定,第19段应当加以修订,以表明仲裁庭在确定如何进行程序时可以参照一套仲裁规则。
Therefore, the Commission agreed to delete the words “possibly in the procedural timetable” from that paragraph, and to add a separate sentence reflecting the fact that if a procedural timetable was established, that timetable should be adjusted to provide for such opportunity.说明2 — 仲裁程序的一种或数种语言(第20至25段)
A suggestion was made to reflect the need to adjust the procedural timetable in situations of joinder and consolidation.《说明》修订草案第20段
That suggestion did not receive support as joinder and consolidation usually did not occur after the constitution of the arbitral tribunal and as that matter was adequately addressed in paragraphs 12 and 14 of the draft revised Notes.35. 关于第20段第二句,委员会商定,应当采用当事人能够或易于理解或用于函件往来的程序语言而不是当事人所“熟悉”的语言的提法。
Paragraph 15 of the draft revised Notes《说明》修订草案第22段
The Commission agreed to add the word “also” before the words “be made orally” in the second sentence of paragraph 15 to better reflect the various forms decisions made at procedural meetings might take.36. 会上提出,第22段应当澄清,可以只翻译相关文件的某些部分,包括在涉及大量司法裁定和司法著述(法律依据)的情况下。
In order to reflect practice, it was agreed that a sentence along the following lines could be added to paragraph 15: “For instance, it is common for an arbitral tribunal to summarize the decisions taken at the first procedural meeting in a procedural order setting forth the rules governing the arbitration.”37. 会上就此商定,《说明》修订草案应当以笼统方式述及与法律依据有关的问题(例如,指明无需在仲裁员熟悉判例法的情况下提交判例法)。
The Commission further agreed that where the draft revised Notes referred to matters to be considered at the outset of the proceedings, a cross-reference to paragraph 15 should be added.说明3 — 仲裁地(第26至30段)
Annotations《说明》修订草案第27段
Note 1 — Set of arbitration rules (paras. 17 to 19)38. 委员会商定,扩大仲裁地选择法律后果清单,以列入诸如对任命仲裁员的影响、签署裁决的相关要求之类的事项。
Paragraph 17 of the draft revised Notes会上一致认为,应当比较一般地规定,仲裁员和当事人都应了解仲裁地的仲裁法律。
A suggestion was made that the fourth sentence of paragraph 17 should be revised to provide that the set of arbitration rules chosen by the parties would govern the arbitration “subject to the mandatory provisions of the applicable arbitration law”, instead of focusing on the prevalence of the set of arbitration rules over non-mandatory provisions of that law.39. 关于《说明》修订草案应当一般提及案件实体适用法律的建议未获支持,认为该问题超出了以程序事项为侧重点的《说明》修订草案的范围。
In response, it was noted that the general principle of the agreement of the parties being subject to the mandatory provisions of the applicable arbitration law was already stated in paragraphs 5 and 6 of the draft revised Notes, and that the purpose of the fourth sentence of paragraph 17 was to highlight that party autonomy prevailed over any non-mandatory provisions of the applicable arbitration law, a principle also reflected in article 1, paragraph 1, of the UNCITRAL Arbitration Rules (as revised in 2010).《说明》修订草案第28和29段
Ibid. Sixty-fifth Session, Supplement No. 17 (A/65/17), annex I. After discussion, the Commission agreed to retain the fourth sentence of paragraph 17 without modification and to replace the words “may be better adapted to a particular case” in the last sentence of that paragraph by words along the following lines: “may better reflect the objectives of the parties”.40. 委员会核可了就第29 = 4 \* GB4 ㈣段提及的律师代理资格限制亦可构成第28段下一项相关标准提出的建议,因为该事项可能在司法复议阶段有影响,导致撤销或者执行仲裁裁决。
Paragraph 18 of the draft revised Notes会上按照同样思路提出,适用的仲裁法律可列入对仲裁员资格的限制,该问题可能也值得在第28和29段下加以考虑。
It was noted that paragraph 17 dealt with circumstances where there existed an agreement on a set of arbitration rules prior to the commencement of the arbitration and that no reference was made to the form of that agreement.《说明》修订草案第30段
It was stated that, in contrast, the first sentence of paragraph 18 referred to stipulation in the form of an “arbitration agreement”, which was too specific.41. 关于第30段,会上提出,当事人和仲裁庭应当考虑到在仲裁地以外的地方举行所有听讯可能在司法复议阶段有影响,导致在某些法域撤销或执行仲裁裁决。
It was suggested that paragraph 18 should apply generally to situations where the parties had not agreed on a set of arbitration rules.42. 委员会确认,第30段中的用语“快捷和方便”足以涵盖因不可抗力而无法在仲裁地举行听讯的情形。
With respect to the second sentence of paragraph 18, a question was raised whether that provision was intended to also address situations where parties would agree on an arbitral institution to administer a case under a set of arbitration rules other than the rules of that institution.说明4 — 仲裁庭履行职能可能需要的行政服务(第31至37段)
It was suggested that if that were to be the case, the words “ad hoc” should be deleted as those words could be misunderstood to limit such possibility.《说明》修订草案第33段
It was generally agreed that the objective of paragraph 18 was to indicate that the parties would need to secure the agreement of the arbitral institution, in particular if the arbitral tribunal was already constituted.43. 会上商定,第33段第一句应当按下述写法修改:“除非仲裁机构作出有关程序的行政安排,否则通常由当事人或仲裁庭作出此种安排”。
It was recalled that at the sixty-first session of the Working Group, concerns were expressed with respect to including in the draft revised Notes the practice of using institutional rules without the arbitration being administered by that institution, as such practice often led to confusion, delays and costs (A/CN.9/826, para.会上解释说,并不是所有仲裁机构都一定能够提供这类支持或服务。
45).《说明》修订草案第35段
Therefore, it was agreed that the draft revised Notes would not need to elaborate further on such possibility.44. 关于第35段最后一句——规定“在任何情况下,秘书通常都不参与履行由仲裁庭履行的决策职能”,会上发表了不同看法。
It was further suggested that the words “regardless whether the arbitration is administered under the arbitration rules of that institution or under the UNCITRAL Arbitration Rules, or any other ad hoc rules” could be deleted as they were redundant.45. 一种观点认为,现在的案文正确反映了当下的做法,即通常由仲裁庭作出决定,而在某些很少见的情况下可责成秘书提供法律咨询意见。
As a matter of clarification, it was agreed that the second sentence of paragraph 18 should be revised along the following lines: “If the parties agree after the arbitral tribunal has been constituted that an arbitration institution will administer the dispute, it may (...)”.会上提到与某些类型仲裁(如商品仲裁或特定部门的仲裁)有关的规则和惯例,在这些仲裁中,仲裁庭秘书可能是唯一具有法律背景并被责成行使可能会影响决策过程的职能的人。
Paragraph 19 of the draft revised Notes因此,会上提出,现行案文应予保留,可能的话可作出更多澄清。
The Commission agreed that paragraph 19 should be revised to indicate that the arbitral tribunal, in determining how the proceedings would be conducted, might refer to a set of arbitration rules.46. 另一种观点认为,“通常”一词会有误导之嫌,因为通常的理解是秘书不应参与决策过程。
Note 2 — Language or languages of the arbitral proceedings (paras. 20 to 25)因此,会上提出,《说明》第27段原来使用的措辞可能更贴切,其内容是:“然而,通常承认,重要的是确保秘书不得行使仲裁庭的任何决策职能。
Paragraph 20 of the draft revised Notes
In relation to the second sentence of paragraph 20, the Commission agreed that reference should be made to the parties having the capacity or being at ease to understand or communicate in, rather than being “familiar” with, the language of the proceedings.47. 在回顾了《说明》修订草案的非规范性质之后又提出阐明这样的原则,即责成仲裁庭行使决策职能,但不提及秘书。
Paragraph 22 of the draft revised Notes这方面提出的另一项建议是,如果阐明这条一般原则,《说明》修订草案就应明确指出,不应阻止某些类型仲裁的秘书向仲裁庭提供法律咨询意见。
It was suggested that paragraph 22 should clarify the possibility of translating only part of relevant documents, including in the case of voluminous judicial decisions and juridical writings (legal authorities).48. 经过讨论,委员会决定在以后审议阶段进一步审议该问题。
In that context, it was agreed that the draft revised Notes should address issues related to legal authorities in a general manner (for example, indicating that submission of case law might not be necessary where the arbitrators were familiar with it).说明5 — 仲裁费用(第38至47段)
Note 3 — Place of arbitration (paras. 26 to 30)《说明》修订草案第38至40段
Paragraph 27 of the draft revised Notes49. 关于第38段,会上强调,将在某些情况下限制由仲裁庭来确定仲裁费用(例如,由仲裁机构确定仲裁庭的收费和费用)。
The Commission agreed to broaden the list of legal consequences of the choice of the place of arbitration, to include matters such as the impact on the appointment of arbitrators, requirements in relation to the signing of the awards.另外,会上指出,仲裁庭对当事人负担的法律费用没有任何控制权。
More generally, it was agreed to provide that arbitrators and parties should make themselves acquainted with the arbitration law at the place of arbitration.还指出,在任何情况下,仲裁庭对收费的确定都将限于可收回费用。
A suggestion that the draft revised Notes should contain a general reference to the law applicable to the merits of the case did not receive support, as it was considered that that question was outside the scope of the draft revised Notes, which focused on procedural aspects.提出了这样一些建议:《说明》修订草案应当强调并进一步阐述“合理性”的含义,既要着眼于仲裁庭的收费和费用,也要着眼于当事人是否有资格要求补偿其全部或部分费用。
Paragraphs 28 and 29 of the draft revised Notes会上还指出,仲裁庭应当在仲裁程序伊始就确定关于收费及其分担办法的合理性标准。
The Commission approved the suggestion that the qualification restrictions with respect to counsel representation referred to in paragraph 29 (iv) could also constitute a relevant criteria under paragraph 28, as that matter might have an impact at the stage of judicial review, setting aside or enforcement of the arbitral award.50. 经过讨论,会议商定,改拟第38至40段,以清楚列明仲裁费用细目或项目,进而指出,仲裁庭有责任确保此种费用的合理性,包括仲裁员的收费和费用以及可收回费用的分担办法。
Along the same lines, it was suggested that applicable arbitration law might include restrictions on the qualification of arbitrators, and that that question might also deserve consideration under paragraphs 28 and 29.《说明》修订草案第41段
It was stated, however, that the law governing the place of arbitration did not apply with respect to the qualification of the arbitrators in international arbitration.51. 会议商定,第41段前两句的顺序应当调换,首先规定通常请求当事人为仲裁费用交存一笔款额,然后述及此种交存款不由仲裁机构处理、因而需由仲裁庭负责的情形。
Paragraph 30 of the draft revised Notes《说明》修订草案第45和46段
In relation to paragraph 30, it was suggested that parties and the arbitral tribunal should consider that holding all hearings outside of the place of arbitration might have an impact at the stage of judicial review, setting aside or enforcement of the arbitral award in certain jurisdictions.52. 委员会听取了关于第45和46段的各种提议。
The Commission confirmed the understanding that the words “expeditious and convenient” in paragraph 30 were broad enough to cover situations where, for reasons of force majeure, hearings could not be held at the place of arbitration.会上提出,重点应当放在仲裁庭决定费用分担办法的裁量权上。
Note 4 — Administrative support that may be needed for the arbitral tribunal to carry out its functions (paras. 31 to 37)还指出,仲裁庭就费用分担办法作出决定的法律依据应当在这些段落中反映出来,为此可以提及适用的仲裁法律、仲裁规则以及当事人的协议。
Paragraph 33 of the draft revised Notes进一步强调,费用分担办法有各种不同的做法。
It was agreed that the first sentence of paragraph 33 should read along the following lines: “Unless the administrative arrangements for the proceedings are made by an arbitral institution, they will usually be made by the parties or the arbitral tribunal”.53. 经过讨论,委员会商定,有益的做法是为仲裁庭提供更多关于费用分担办法的信息,因此应当提及广泛适用的“定费从事”的原则。
It was explained that such support or services might not necessarily be available from all arbitration institutions.还商定按下述写法改写第46段:“在适用当事人商定的或者由适用仲裁法律或仲裁规则规定的分担办法时,或者在没有此种协议或规定时,以及在适用仲裁庭认为适当的任何此种其他方法时,仲裁庭还似应考虑到各方当事人的行为。
Paragraph 35 of the draft revised Notes所考虑的行为似可包括未遵守程序令或者过分的程序请求(例如,文件请求、程序申请和盘问请求),以此种行为对仲裁费用产生了直接影响为限,且仲裁庭确定此种行为对程序造成了不必要的延误或妨碍。
In relation to the last sentence of paragraph 35 which provided that “In any event, secretaries would normally not be involved in the arbitral tribunal’s decision-making functions”, a wide range of views were expressed.”强调指出,这项提议表明:当事人的某些行为(例如,造成程序延误或混乱的请求,或者过分或无理请求)有可能对费用分担产生影响;为了追究相关当事人的责任,仲裁庭必须认定其请求不合理。
One view was that the present text correctly reflected the current practice where the arbitral tribunal would normally be making decisions while, in certain rare instances, secretaries could be tasked with providing legal advice.《说明》修订草案第47段
Reference was made to rules and practices in relation to certain types of arbitration, like commodity arbitration, or arbitration in specific sectors, where a secretary to the arbitral tribunal might be the only person with legal background tasked with functions that might have an impact on the decision-making process.54. 会上普遍认为,在程序进行期间,仲裁庭可随时作出有关费用及其分担办法的决定,而不必等待对案件实体的最终裁决。
Therefore, it was suggested that the present text should be retained, possibly with additional clarifications.因此,会上商定,在第47段第一句“不”和“需要”之间添加“一定”一词。
Another view was that the word “normally” could be misleading as it was generally understood that a secretary should not be involved in the decision-making process.会上又商定,《说明》修订草案应当举例说明可以在下达最后裁决之后作出有关费用及其分担办法的决定。
Accordingly, the suggestion was made that the original wording used in paragraph 27 of the Notes would be more appropriate, which read: “However, it is typically recognized that it is important to ensure that the secretary does not perform any decision-making function of the arbitral tribunal.”55. 有建议提出,第47段第一句中提及的“最后”裁决不一定是就案件实体作出的(例如,程序因管辖权裁决而终止),针对此项建议,会议商定,应当删除“就案件实体”字样。
Recalling the non-prescriptive nature of the draft revised Notes, another suggestion was to state the principle that the arbitral tribunal was tasked with the decision-making function, without any reference to secretaries.56. 虽然提出《说明》修订草案应当述及费用担保问题,但会上认为没有必要。
In that context, yet another suggestion was that if that general principle were to be stated, the revised draft Notes should make it clear that the secretaries in certain types of arbitration would not be prevented from providing legal advice to the arbitral tribunal.说明6 ― 仲裁相关信息;可能达成的保密协议;投资人与国家间基于条约仲裁的透明度(第49至53段)
After discussion, the Commission decided to consider the issue further at a later stage of its deliberations.《说明》修订草案第49段
Note 5 — Cost of arbitration (paras. 38 to 47)57. 会上提出在第49段中提及适用的仲裁法律,以提请各方当事人注意现有关于保密的立法框架。
Paragraphs 38 to 40 of the draft revised Notes进一步指出,虽然适用的仲裁法律或仲裁规则中可能载有保密规定,但当事人应当清楚,此种规定可能并不是强制性的,或者不足以解决当事人的关切。
In relation to paragraph 38, it was highlighted that the determination of the arbitral tribunal with respect to the cost of arbitration would in some cases be restricted (for example, when the fees and expenses of the arbitral tribunal were set by the arbitration institution).58. 经过讨论,会议商定,按下述写法修订第49段:“假如保密是一个关切事项或优先事项,并且当事人对于适用仲裁法律非强制性规定或者仲裁规则非减损性规定处理该问题的方式不满意,当事人似应以协议形式就保密作出规定”。
Moreover, it was stated that the arbitral tribunal would have no control over the legal costs incurred by the parties.《说明》修订草案第51和52段
It was further stated that in any case, determination of cost by the arbitral tribunal would be limited to recoverable costs.59. 会上提出,第51和52段应当展开论述,以具体例子说明不同法域的当事人可能会根据各自法域对其或其律师适用的法律而承担不同的保密或披露义务。
A number of suggestions were made that the draft revised Notes should emphasize and elaborate further on the meaning of “reasonableness” not only with respect to cost and fees of the arbitral tribunal, but also with respect to whether a party was entitled to compensation for all or some of its cost.指出第51段已经用一般措辞述及这一问题。
It was also stated that the arbitral tribunal should set out the standards of reasonableness with respect to cost and its allocation at the outset of the proceedings.委员会同意在以后阶段审议是否需要就这一问题拟订一条更详细的规定。
After discussion, it was agreed that paragraphs 38 to 40 should be recast to clearly set out the elements or items of cost of arbitration and then state that it would be the arbitral tribunal’s responsibility to ensure the reasonableness of such cost, regarding both the fees and expenses of the arbitrators and allocation of recoverable cost.《说明》修订草案第53段
Paragraph 41 of the draft revised Notes60. 会上指出,争议各方也可根据《贸易法委员会投资人与国家间基于条约仲裁透明度规则》(《透明度规则》)第1条第(2)款(a)项以协议方式适用《透明度规则》,因此,第53段应当加以修
It was agreed that the order of the first two sentences of paragraph 41 should be reversed to first provide that parties would normally be requested to deposit an amount to cover costs, and then address instances where such deposit would not be handled by an arbitral institution and thus would need to be taken care of by the arbitral tribunal.同上,《第六十八届会议,补编第17号》(A/68/17),附件一。
Paragraphs 45 and 46 of the draft revised Notes订,将这一点考虑进去。
The Commission heard various proposals in relation to paragraphs 45 and 46.说明7 ― 通信手段(第54至57段)
It was suggested that the emphasis should be on the discretionary power of the arbitral tribunal to decide on cost allocation.《说明》修订草案第54至57段
It was further said that the legal basis for an arbitral tribunal to make a decision on cost allocation should be reflected in those paragraphs by including references to the applicable arbitration law, arbitration rules and agreement of the parties.61. 会上指出,第54段结尾处参引第65和79段有误导作用,或者应当将其删除,或者调换其位置。
It was further underlined that there were various practices in relation to methods for allocating costs.提议应在第56段中提及选择电子手段可能产生的费用影响。
After discussion, the Commission agreed that it would be useful to provide more information to arbitral tribunals in relation to cost allocation and that reference should be made to the widely applied principle of “cost follow the event”.还提议修订第57段的标题,以更好地反映其内容,但未获支持。
It was also agreed that paragraph 46 should be redrafted along the following lines: “The arbitral tribunal may also wish to consider the conduct of the parties in applying any allocation method agreed by the parties or specified by the applicable arbitration law or arbitration rules, or in the absence of such agreement or specification, in applying such other method as the arbitral tribunal deems appropriate.说明8 ― 临时措施(第58至61段)
Conduct so considered might include a failure to comply with procedural orders or abusive procedural requests (for example, document requests, procedural applications and cross-examination requests) to the extent that they actually had a direct impact on the cost of arbitration and are determined by the arbitral tribunal to have unnecessarily delayed or obstructed the proceedings.”《说明》修订草案第58段
It was underlined that that proposal made clear that certain conducts by parties (for example, requests that resulted in delay or disruption of the process, or requests that were abusive or unjustified) could have an impact on cost allocation and that in order to hold the relevant party responsible, the arbitral tribunal would have to find that the requests were unreasonable.62. 会上提出,第58段应当阐明一项一般原则,即适用的仲裁法律和仲裁规则通常都包括关于临时措施的规定。
Paragraph 47 of the draft revised Notes《说明》修订草案第59段
It was generally agreed that decisions by the arbitral tribunal on cost and its allocation could be made at any time during the proceedings and not necessarily with the final award on the merits.63. 委员会一致认为,第59段第一句应当加以澄清,规定:当一方当事人有可能在仲裁程序之前或者仲裁程序期间请求国内法院采取临时措施时,一项既定原则是,此种请求不得与仲裁协议相悖。
Therefore, it was agreed to include the word “necessarily” between the words “not” and “need” in the first sentence of paragraph 47.64. 关于临时措施通常是暂时性措施这条规定,会上表达了不同看法。
It was further agreed that the draft revised Notes should illustrate the possibility of decisions on the cost and its allocation being made subsequent to the final award.提议删除“通常”一词,因为临时措施任何时候都是暂时的。
In response to a suggestion that the “final” award referred to in the first sentence of paragraph 47 might not necessarily be on the merits (for example, if the proceedings terminated with an award on jurisdiction), it was agreed that words “on the merits” should be deleted.对此指出,《说明》修订草案的起草风格需顾及各种可能的例外情形,因此不妨保留该词。
While a suggestion was made that the draft revised Notes should address the question of security for costs, it was considered not to be necessary.还有一种看法是,关于临时措施性质的说明是多余的,可以删除。
Note 6 — Information relating to the arbitration; possible agreement on confidentiality; transparency in treaty-based investor-State arbitration (paras. 48 to 53)这项提议的支持者指出,在对临时措施加以界定或定性时务必谨慎小心,因为此种措施会因有关法律或适用的仲裁规则而有所不同。
Paragraph 49 of the draft revised Notes另一项建议是保留这段案文,可能的话放在第58段中,以便规定,当事人可以请求以临时措施的形式提供临时救济。
A suggestion was made to include in paragraph 49 a reference to the applicable arbitration law in order to draw attention of the parties to the existing legislative framework on confidentiality.讨论期间,提请注意《贸易法委员会国际商事仲裁示范法》(2006年通过修正)(《仲裁示范法》)第17条第(2)款以及《贸易法委员会仲裁规则》(2010年修订本)第26条第(2)款,其中规定,“临时措施是任何暂时措施(......)”。
It was further pointed out that while there might be provisions on confidentiality in the applicable arbitration law or arbitration rules, the parties should be made aware that such provisions might not be mandatory or sufficiently address the concerns of the parties.联合国出版物,出售品编号:E.08.V.4。
After discussion, the Commission agreed to revise paragraph 49 along the following lines: “Should confidentiality be a concern or priority and should the parties not be satisfied by the treatment of that issue in the non-mandatory provisions of the applicable arbitration law or derogable provisions of the arbitration rules, the parties may wish to provide for confidentiality in the form of an agreement”.《大会正式记录,第六十五届会议,补编第17号》(A/65/17),附件一。
Paragraphs 51 and 52 of the draft revised Notes65. 经过讨论,委员会商定,“说明8”应当反映下述原则,即临时措施是暂时性的。
A suggestion was made that paragraphs 51 and 52 should be elaborated to illustrate instances where parties from different jurisdictions might be subject to different obligations in relation to confidentiality or disclosure under the law applicable to them or to their counsel in their respective jurisdiction.66. 进一步提出,在强调了此种措施的暂时性之后,《说明》修订草案不应看上去是在鼓励以裁决形式下达临时措施(裁决通常被视为“最终”和“有约束力的”)。
It was noted that paragraph 51 already addressed that question in general terms.还提出,《说明》修订草案不应包括关于临时措施形式的任何规定。
The Commission agreed to consider at a later stage whether a more detailed provision on the issue would be required.此项提议的支持者指出,《说明》修订草案就裁决形式提供了有限指导(见“说明20”)。
Paragraph 53 of the draft revised Notes会上还表示了一些看法,意思是临时措施形式问题超出了《说明》修订草案的范围。
It was noted that the UNCITRAL Rules on Transparency in Treaty-based Investor-States Arbitration (“UNCITRAL Transparency Rules”) could also apply by agreement of the disputing parties under article 1(2)(a) of the UNCITRAL Transparency Rules, and paragraph 53 should be revised taking that into account.67. 经过讨论,会议商定,应当从第59段中删除提及临时措施形式的内容,但这一问题或许可以在以后阶段结合关于裁决书要求的“说明20”的审议情况加以审议(见下文第132段)。
Ibid. Sixty-eighth Session, Supplement No. 17 (A/68/17), annex I. Note 7 — Means of communication (paras. 54 to 57)68. 又提出在《说明》修订草案中处理关于应急仲裁员的问题,但未获支持。
Paragraph 54 to 57 of the draft revised Notes《说明》修订草案第60段
It was said that a cross-reference to paragraphs 65 and 79 at the end of paragraph 54 was misleading and should be either deleted or relocated.69. 会上提议修订第60段,因为该段有可能引起误解,以为仲裁庭有义务向当事人提供关于临时措施的信息,而通常做法是仲裁庭在面临此种请求时不提供此种具体信息。
A suggestion was made that a reference to the impact of cost when selecting electronic means of communication should be included in paragraph 56.经过讨论,会议商定,第60段第一句应当重拟,以载明当事人请求采取临时措施时或者仲裁庭下达临时措施时应当加以考虑的要素。
A suggestion to revise the heading of paragraph 57 to better reflect its content did not receive support.讨论期间,特别强调了该段中关于可利用的临时措施执行机制的第 = 5 \* GB4 ㈤项。
Note 8 — Interim measures (paras. 58 to 61)70. 会上询问,《说明》修订草案是否应当涉及仲裁庭关于临时措施的决定与法院下达的临时措施可能发生冲突的问题。
Paragraph 58 of the draft revised Notes例如,有一个问题是,仲裁庭是否受法院下达的临时措施的约束,还是说可以重审有关事项。
It was suggested that paragraph 58 should set out the general rule that the applicable arbitration law and arbitration rules usually included provisions on interim measures. Paragraph 59 of the draft revised Notes The Commission agreed that the first sentence of paragraph 59 should be clarified to provide that when it was possible for a party to request an interim measure from a domestic court before or during the arbitral proceedings, an established principle was that such a request would not be incompatible with an agreement to arbitrate. Various views were expressed on the provision that an interim measure was usually temporary in nature. A suggestion was made to delete the word “usually” as an interim measure would always be temporary. In response, it was suggested that the drafting style of the draft revised Notes catered for possible exceptions, and therefore it might be useful to retain that word. Yet, another view was that the statement on the nature of interim measures was redundant and could be deleted. In support of that suggestion, it was said that caution should be taken in defining or characterizing interim measures, which might differ according to the relevant laws or applicable arbitration rules. Another suggestion was to retain the text possibly in paragraph 58, so as to provide that a party might request a temporary relief in the form of an interim measure. During that discussion, attention was drawn to article 17(2) of the UNCITRAL Model Law on International Commercial Arbitration (1985), with amendments as adopted in 2006 (“Model Law on Arbitration”) and article 26(2) of the UNCITRAL Arbitration Rules (as revised in 2010) which provided that “an interim measure is any temporary measure (...)”. United Nations publication, Sales No. E.08.V.4. Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), annex I. After discussion, the Commission agreed that Note 8 should reflect the principle that an interim measure would be temporary in nature. It was further suggested that the draft revised Notes should not appear to encourage the issuance of interim measures in the form of an award (which was usually deemed “final” and “binding”) after emphasizing the temporary nature of such measures. It was also suggested that draft revised Notes should not include any provisions on the form of interim measures. In support of that suggestion, it was said that the draft revised Notes provided limited guidance on the form of an award (see Note 20). Views were also expressed that the matter of form of interim measures was beyond the scope of the draft revised Notes. After discussion, it was agreed that the reference to the form of interim measures should be deleted from paragraph 59 but that issue might possibly be considered at a later stage in conjunction with the deliberation on Note 20 on requirements concerning the award. (See further para. 132 below.) A suggestion to address issues pertaining to emergency arbitrator in the draft revised Notes did not receive support. Paragraph 60 of the draft revised Notes It was suggested that paragraph 60 should be revised as it could be misunderstood as obliging the arbitral tribunal to provide information to the parties relating to interim measures and it was generally not the practice for arbitral tribunals to provide such detailed information when confronted with a request. After discussion, it was agreed that the first sentence of paragraph 60 should be recast to set out elements for the parties and the arbitral tribunal to consider when requesting or ordering interim measures. During the discussion, particular emphasis was put on item (v) of that paragraph regarding the available mechanism for enforcement of interim measures. A question was raised whether the draft revised Notes should address possible conflict of an arbitral tribunal’s decision on interim measures with a court-ordered interim measure. For instance, it was questioned whether an arbitral tribunal would be bound by the court-ordered interim measure or could consider the matter de novo. Paragraph 61 of the draft revised Notes《说明》修订草案第61段
It was agreed that the second and third sentences of paragraph 61 should be retained and the square brackets deleted.71. 会议商定,应当保留第61段的第二句和第三句,去掉方括号。
It was further suggested that the second sentence of paragraph 61 should be qualified to state that the party requesting an interim measure might be liable for any costs and damages caused by the measure under applicable law, which, in most instances, would be the arbitration law.还建议应当对第61段第二句加以限定,指出提出临时措施请求的一方当事人可能须根据适用法律对此种措施造成的任何费用和损失承担赔偿责任,多数情况下,适用法律为仲裁法。 72. 会上询问是否应去掉“在当时的情况下”一语,因为仿效《仲裁示范法》第17G条和《贸易法委员会仲裁规则》(2010年修订本)第26条第(8)款的该项规定也许在适用法律或规则中并不存在。 支持保留这些措词者指出,第61段有益地提示了赔偿责任的范围和依据。 委员会回顾在修订《仲裁示范法》期间进行的广泛审议,尤其提到载有该问题相关立法方法概览的A/CN.9/WG.II/WP.127号文件。
A question was raised whether the words “in the circumstances then prevailing” should be deleted, as that provision, which mirrored article 17G of the Model Law on Arbitration and article 26(8) of the UNCITRAL Arbitration Rules (as revised in 2010) might not exist in the applicable law or rules.73. 会上提出,与临时措施相关的担保和此种措施造成费用和损失的赔偿责任有关的问题应仿效《仲裁示范法》(第17E和17G条)和《贸易法委员会仲裁规则》(2010年修订本)(第26条第(6)和(8)款)采用的方法予以单独处理。
In support of retaining those words, it was said that paragraph 61 provided useful indications as to the scope and basis for the liability.74. 委员会商定,《说明》修订草案应列入一个条文,指出仲裁庭和当事人可以设想就临时措施所造成费用和损失提出索赔的程序。
The Commission recalled the extensive deliberation it had during the revision of the Model Law on Arbitration and in particular, reference was made to document A/CN.9/WG.II/WP.127 which contained an overview of legislative approaches to that question.说明9 ― 书面材料(第62至64段)
A suggestion was made that issues relating to security in connection with interim measures and liability for costs and damaged caused by such measures should be dealt with separately following the approach in the Model Law on Arbitration (arts. 17E and 17G) and the UNCITRAL Arbitration Rules (as revised in 2010) (art. 26(6) and (8)).75. 委员会商定,“说明9”应强调各方当事人需要考虑如何分轮次提交书面材料,并就此事提供更多信息。 委员会还商定在第64段最后一句提及仲裁规则。 说明10 ― 涉及书面材料和证据的实际安排(第65段) 76. 关于第65段,会上商定,清单不应拟成一个详尽无遗的清单,前导句应指明某些仲裁规则载有关于涉及书面材料和证据的实际安排的规定。 77. 会上提出,文件特别是电子形式文件的保全问题应当作为程序伊始由当事人和仲裁庭考虑的事项加以强调。 特别指出一点,某些法域规定,即使是在程序启动之前当事人也有保全证据的法律义务。 委员会商定,此事应在《说明》修订草案中述及,可能的话结合关于书面证据的“说明13”作进一步审议。 说明11 ― 确定争议点;裁决事项的先后顺序;确定所寻求的救济或补偿 (第66至69段) 《说明》修订草案第69段 78. 委员会一致认为第69段提供了有益的指导,应当予以保留,并去掉方括号。 委员会回顾了工作组的讨论,即在某些法域要求仲裁庭协助当事人,以避免因形式原因而造成无法立案,而在另一些法域,仲裁庭不应被视为是在向一方当事人提供建议(A/CN.9/826,第116段)。 本着同样的思路,会上提到,仲裁庭将其关切告知当事人可能并非总是恰当的,需视情况而定(包括适用的仲裁法),而仲裁庭可能需要在提出此种关切方面谨慎行事,这一点也要视情况而定。 委员会商定,进一步审议第69段是否适当地反映了在这一事项上采取的不同做法。 说明12 ― 友好解决(第70段) 《说明》修订草案第70段
The Commission agreed that the draft revised Notes should include a provision noting that the arbitral tribunal and the parties might envisage a procedure to raise claims regarding costs and damages arising from interim measures. Note 9 — Written submissions (paras. 62 to 64)79. 会上提出用“作为一项原则”取代“在适当情况下”,这项建议未得到支持,因为该段反映的是不同做法。
The Commission agreed that Note 9 should emphasize the need for the parties to consider how to proceed with the round(s) of written submissions and provide more information on the matter.80. 还一致认为,第70段第三句不应局限于“由第三方调解人提出”和解,还应扩展至“以其他任何方式提出”和解,其中包括当事人之间和解和第三方协助和解。 81. 虽然提出第70段应就协助和解的程序及可能对仲裁程序的影响(例如,是否允许单方面通信,以及没有达成和解情况下仲裁庭的作用)提供更多细节,但一致认为现在的案文已经充分说明对友好解决采取的不同做法,无需加以扩展。 说明13 ― 书面证据(第71至83段) 《说明》修订草案第72至74段
The Commission also agreed to include a reference to arbitration rules in the last sentence of paragraph 64.82. 委员会商定,修订第72至74段的小标题,不仅包括迟交的后果,还包括第74段规定的未提交情形。
Note 10 — Practical arrangements concerning written submissions and evidence (para.83. 会议商定,第72段应列入这样的规定,即仲裁庭可指示当事人连同书面材料或在另一时间提交所依赖的证据。 84. 会上指出,第73段并非迟交“后果”的恰当例子。 在这方面,一致认为第73段应当反映仲裁庭需要在拒绝迟交所实现的程序效率与接受迟交可能带来的益处这两者之间保持平衡。 进一步提到,第73段应当反映需要在考虑到当事人利益的情况下(例如,为另一方当事人提供就迟交书面证据发表意见或出具进一步证据的机会),对坚持程序规则加以平衡。 85. 关于第74段,会上提出了若干建议。 一个观点是“inferences”一词是不适当的,应当用《说明》原版本使用的“conclusions”取而代之。 另一个观点是,该句自相矛盾,因为一方面仲裁庭可自行就此种缺失作出结论,另一方面又只能根据仲裁庭已获得的证据作出裁决。
65)还有一种意见是,第74段应与《仲裁示范法》第25条(b)项和《贸易法委员会仲裁规则》(2010年修订本)第30条第(1)款(b)项相一致,这两个条款都涉及被申请人未发送其对仲裁通知的答复或未发送其答辩书的情形,遇到这种情形时,仲裁庭不能将此种缺失本身视作对申请人指称的认可。
In relation to paragraph 65, it was agreed that the list should not be presented as an exhaustive one and that the chapeau should indicate that certain sets of arbitration rules contained provisions on such practical arrangements concerning written submission and evidence.86. 在这方面强调指出,虽然《说明》修订草案规定,如果被命令出具证据而没有提供证据,仲裁庭可以据此作出推论,但《说明》修订草案并没有处理未参加程序的后果问题。
A suggestion was made that the question of preservation of documents, particularly in electronic form, should be highlighted as a matter for consideration by the parties and the arbitral tribunal at the outset of the proceedings.87. 经过讨论,会议商定,修订第74段,以提供一条一般规则,即当事人未能在时限内出具证据支持其论点,又没有表明充分理由的,仲裁庭即可根据仲裁庭已获得的证据作出裁决。
In particular, it was noted that certain jurisdictions imposed legal obligations on the parties to preserve evidence even before the commencement of proceedings.还商定,关于仲裁庭是否可以以当事人未能在仲裁庭命令其出具具体证据时提供证据为依据自行作出任何推论的问题,需要结合第75和76段(请求出具书面证据)单独加以处理。
The Commission agreed that that matter should be addressed in the draft revised Notes and possibly considered further in relation to Note 13 on documentary evidence.《说明》修订草案第75和76段
Note 11 — Defining points at issue; order of deciding issues; defining relief or remedy sought (paras. 66 to 69)88. 委员会回顾,第75和76段处理应一方当事人请求出具书面证据以及仲裁庭在这一程序中的作用,指出各种做法以及当事人的看法可能有相当大的差异。 为突出这一点,会议商定,第76段第一句应放在第75段开头处。
Paragraph 69 of the draft revised Notes《说明》修订草案第77段
The Commission agreed that paragraph 69 provided useful guidance and should be retained without the square brackets.89. 关于第77段,会上提出,“在没有提出具体异议的情况下”一语限定性过强,《说明》原版本第52段的写法更可取(“仲裁庭似应告知当事双方,它打算在以下基础上进行仲裁:除非当事一方在某一规定时间对以下任何一项结论提出异议......”)更好些。
The Commission recalled the discussion of the Working Group that in certain jurisdictions, arbitral tribunals were expected to assist the parties to avoid the case failing on reasons of form, whereas in other jurisdictions, arbitral tribunals should not be perceived as giving advice to one party (A/CN.9/826, para.90. 另一项建议是删除第77段中“包括其任何译文”一语,并单独处理译文的问题。
116).《说明》修订草案第78段
In the same line, it was mentioned that depending on the circumstances (including the applicable arbitration law), it might not always be appropriate for the arbitral tribunal to inform the parties of its concerns and depending on the context, the arbitral tribunal might need to take caution in raising such concerns.91. 会上提出修订第78段,首先处理文件源出和真实性问题,然后提请当事人注意可能特别由于只以电子方式披露的文件或者那些以电子方式生成后以硬拷贝方式披露的文件产生的问题。 因此,会议商定,第一句应当删除,第二句应当改拟如下:“如果文件的源出和真实性出现问题(......)”。 进一步商定,添加一句,提请当事人和仲裁庭注意电子文件的特殊性,特别是数据保存可能产生的问题。 《说明》修订草案第81段 92. 委员会商定,修订第81段,规定:关于是否以合订方式制备一套书面证据的问题通常不是在程序开始时加以解决,而是如果达成一致的话通常在听讯之前制备一套合订证据。 《说明》修订草案第83段
The Commission agreed to further consider whether paragraph 69 adequately reflected the various approaches to that matter.93. 会上提出,第83段第一句中的“专家”一词或有误导之嫌,因为该词在“说明15”中用于不同语境。 在这方面,回顾说,《说明》原版本第54段中使用的措词是“相关领域中有专业资格的人”。
Note 12 — Amicable settlement (para.94. 经过讨论,委员会商定,保留第83段中“专家”一词,取其广义。
70)还取得进一步理解,即如果“说明15”语境下的专家提交一份第83段中提及的总结报告,则“说明15”所阐明的程序亦将适用。
Paragraph 70 of the draft revised Notes说明14 ― 事实证人(第84至97段) 《说明》修订草案第84至88段的小标题 95. 委员会商定,第84至88段小标题结尾处应加上“及其代表”。 《说明》修订草案第84和85段
A suggestion to replace the words “in appropriate circumstances” by the words “as a matter of principle” did not receive support as the paragraph reflected different approaches.96. 会上商定,《说明》修订草案应当包括一项关于“证人陈述”一词的一般性说明,写法如下:“证人陈述是足以在争议事项中作为证人证据的书面文件。 ”虽然会上提出不妨在《说明》修订草案中以示例表明对证人陈述的某些要求(例如,陈述由证人签字),但普遍认为没有必要。 《说明》修订草案第86段 97. 会上提出,第86段第一句限定性过强,因此可以与第二句合并起来。 会上提到,第一句就不必以口头方式复述书面陈述的全部内容或部分内容提出了有益指导,因此应当保留在《说明》修订草案中。 98. 委员会商定,第86段第二句中“确认”一词后面应当加上“或者补充”。 关于该段第三句,会议商定,“无争议证人口头作证”应当改为“听讯无争议证言”。 《说明》修订草案第87段 99. 关于措词,会议商定,“给出......出处”应改为“对......加以确认”。 《说明》修订草案第88段 100. 会上提出,第88段第一句应当澄清该段是否仅适用于己方证人还是说也适用于对方证人。 会上提出,第三句因第四句而多余因此可以删除,但指出,第三句反映了国际仲裁在作证前与证人接触方面的最新趋势。 101. 会上一致认为,第88段应当扩展,对各种做法加以解释,供委员会进一步审议。 还一致认为,第88段最后一句应当展开论述因当事人参与准备证人口头作证而产生的各种问题。 《说明》修订草案第90段 102. 委员会商定,修订第90段,首先述及谁将负责询问证人,然后述及对听讯的掌控程度。 《说明》修订草案第92段 103. 委员会商定对92段修订如下:(a)更明确地表述证人作证之前和之后进入听讯室方面的各种做法;(b)规定:如果不允许证人进入听讯室,则务必也不应让证人接触到听讯的任何现场记录;(c)明确指出,作证中断期间,证人不得讨论其证词;和(d)就当事人的代表进入听讯室列入更具体的信息,因为如果不允许当事人的代表进入听讯室则要求采用另一套对待办法。 104. 会议一致认为,第89至93段的要求(听取口头证据的方式)也应适用于借助技术手段远程提供证词的证人。 《说明》修订草案第94和95段 105. 会上提议在第94和95段小标题中添加“和询问”字样。 106. 关于第94段第三句,会上指出,通常都是由传唤证人的一方当事人来选择其希望传唤证人的顺序,这主要是因为该方当事人更有可能了解其证人可出席听讯的时间。 就此提出的一个问题是,质询方当事人是否对选择传唤顺序有发言权。 107. 会上提出结合第86段审查第95段,以避免任何不一致之处,并可触及书面陈述与口头陈述之间的相互关系。 所提出的一个问题是,《说明》修订草案是否应当涉及听讯期间出具新证据的问题。 108. 关于第95段最后一句,会上提出,除传唤证人的当事人之外,质询方当事人也应能够对该证人再次进行询问。 因此,一致认为,应当添加一句,指明仲裁庭和(或)质询方当事人可以在传唤证人的当事人再次询问之后进一步对证人提问。
It was further agreed that the third sentence of paragraph 70 should not be limited to settlement “by a third party mediator”, but be expanded to settlement “by any other means”, which would include settlement between the parties and by a third party.还一致认为,再次询问应当限于质询当中提出的问题。
While a suggestion was made that paragraph 70 should provide more detail on the procedure for facilitating settlement and possible impact on the arbitral proceedings (for example, whether ex-parte communication would be allowed and the role of the tribunal if no settlement was reached), it was agreed that the current text sufficiently illustrated the different approaches with regard to amicable settlement and need not be expanded.《说明》修订草案第96段
Note 13 — Documentary evidence (paras. 71 to 83)109. 关于第96段,会议商定如下:(a)对于第一句中的“与......有任何关系的”和最后一句括号中的词语应当加以澄清;(b)还应在第二句中提及仲裁做法;和(c)第三句中的“此等人员的陈述是否可以提交并被考虑”应当删除,因为不应禁止代表提交陈述。
Paragraphs 72 to 74 of the draft revised Notes《说明》修订草案第97段
The Commission agreed to revise the sub-heading of paragraphs 72 to 74 to include not only consequences of late submission but also failure to submit as provided in paragraph 74.110. 会议商定对第97段修订如下:(a)澄清该段只适用于被邀请作证的证人;(b)载明证人不出庭可能的后果;和(c)指明应当给仲裁庭留出一定灵活余地,使之能够处理证人不出席听讯的情形,包括对该证人可能提供的任何书面陈述给予多大权重。
It was agreed that paragraph 72 should include a provision that an arbitral tribunal might direct the parties to submit evidence relied upon along with their written submissions or at another time.《透明度规则》的可能适用
It was said that the second sentence of paragraph 73 was not a proper example of a “consequence” for late submissions.111. 会上询问,在举行公开听讯的情况下(例如,根据《贸易法委员会透明度规则》举行公开听讯),将如何适用第92和93段,针对这一问题,会上一致认为,第53段的脚注可以展开论述,规定《贸易法委员会透明度规则》有可能对程序的其他方面产生影响。
In that context, it was agreed that paragraph 73 should reflect the need for the arbitral tribunal to balance the procedural efficiency achieved by refusing late submissions and the possible usefulness of accepting late submissions.说明15 ― 专家和专家证人(第98至111段)
It was further mentioned that paragraph 73 should reflect the need to balance the enforcement of procedural rules with the interest of the parties (for example, providing the other party an opportunity to comment or produce further evidence with respect to the late submission).112. 委员会一致认为“说明15”应当前后一致地使用“专家意见”一语。
In relation to paragraph 74, a number of suggestions were made.113. 会上提出,“说明15”应使用“专家证人”一语,以便既指各方当事人提出的专家,也指仲裁庭指定的专家。
One view was that the word “inferences” was inappropriate and should be replaced by the word “conclusions” as used in the original version of the Notes.进一步指出,这两类专家均提供意见,因此,不应使用不同的术语加以区分。
Another view was that the sentence was contradictory in the sense that the arbitral tribunal was free to draw inferences from the failure, yet had to make the award solely on the evidence before it.这项建议未获支持。
Yet another view was that paragraph 74 should be made consistent with article 25(b) of the Model Law on Arbitration and article 30(1)(b) of the UNCITRAL Arbitration Rules (as revised in 2010), both addressing the situation where a respondent failed to communicate its response to the notice of arbitration or its statement of defence, whereby the arbitral tribunal would not be able to treat such failure in itself as an admission of the claimant’s allegations.114. 在这方面,会上指出,“说明15”目前用来指代不同类别专家的术语与《贸易法委员会仲裁规则》(2010年修订本)是一致的,特别是第29条使用了“仲裁庭指定的专家”这一词语。
In that context, it was highlighted that while the draft revised Notes provided that the arbitral tribunal could draw inferences from the failure to produce evidence when ordered to do so, it did not address the consequences of non-participation in the proceedings.进一步指出,一方当事人既可提供“事实证人”,也可提供“专家证人”,而仲裁庭将指定自己的“专家”。
After discussion, it was agreed that paragraph 74 should be revised to provide a general rule that if a party failed to produce evidence to support its case within the time limit without showing sufficient cause, the arbitral tribunal could make the award on the evidence before it.还指出,并非所有法律制度都熟悉“专家证人”的概念,因此可能有必要在《说明》修订草案中对这一概念加以阐述。
It was further agreed that the question whether the arbitral tribunal would be free to draw any inference from a party’s failure to produce specific evidence when ordered to do so by the arbitral tribunal would need to be dealt with separately in relation to paragraphs 75 and 76.会上建议提及要求专家提供履历或罗列近期经历详细介绍其专长这种做法。
(Requests to produce documentary evidence.)《说明》修订草案第100段
Paragraphs 75 and 76 of the draft revised Notes115. 委员会商定,就专家证人指明一致点和分歧点的做法提供更多信息。
Recalling that paragraphs 75 and 76 dealt with production of documentary evidence upon the request of a party and the role of the arbitral tribunal in that procedure, the Commission noted that the practices as well as perceptions of parties might vary significantly.《说明》修订草案第105至109段
In order to highlight that aspect, it was agreed that the first sentence of paragraph 76 should be placed at the beginning of paragraph 75.116. 委员会商定列入一个条文,强调仲裁庭在决定是否指定专家时应考虑到程序效率。
Paragraph 77 of the draft revised Notes117. 委员会商定将第106段第二句中“可以”改为“通常”,以澄清仲裁庭为当事人提供就专家资格、公正性和独立性发表意见的机会是通常做法。
In relation to paragraph 77, it was suggested that the words “in the absence of a specific objection” was too definitive and that wording along the lines of paragraph 52 of the original version of the Notes (“It may be helpful for the arbitral tribunal to inform the parties that it intends to conduct the proceedings on the basis that, unless a party raises an objection to any of the following conclusions within a specified period of time ...”) would be preferable.118. 委员会商定进一步审议以下建议,即第108段应规定仲裁庭可以指示其专家在与当事人通信时遵守适当程序。
Another suggestion was to delete the words “including any translation thereof” from paragraph 77 and to address the issue of translated documents separately.会上指出,对于仲裁庭指定专家是否应避免单方面通信的问题,不同法域有不同的处理方法。
Paragraph 78 of the draft revised Notes119. 会上提议将第109段中“发表意见”一语改为“提交材料”,但未获得支持,因为当事人也许不必就专家意见正式提交材料。
It was suggested that paragraph 78 should be revised to first deal with provenance and authenticity of documents and then draw the attention of parties to issues that might arise particularly with documents disclosed only electronically or those generated electronically and disclosed in hard copy.委员会商定,第109段还应规定,视情形而定,应给予当事人向仲裁庭指定专家提问的机会,并商定,案文可以反映提交正式和非正式材料的能力。
Therefore, it was agreed that the first sentence should be deleted and the second sentence should be revised along the following lines: “If there are issues with the provenance and authenticity of the documents (...)”.120. 会上指出,在有些法律制度下,仲裁庭将专家意见作为证据对待。
It was further agreed that a sentence should be added drawing the attention of the parties and the arbitral tribunal to the peculiarities of electronic documents, in particular with respect to issues that could arise with the preservation of data.会上询问,专家意见一经提交,仲裁庭是否总是将其作为证据对待。
Paragraph 81 of the draft revised Notes《说明》修订草案第110和111段
The Commission agreed that paragraph 81 should be revised to provide that the question whether to prepare a joint set of documentary evidence would often not be resolved at the outset of the proceedings but rather, if agreed, the joint set would usually be prepared before the hearings.121. 会上询问,第110和111段是否既适用于专家证人,也适用于仲裁庭指定的专家。
Paragraph 83 of the draft revised Notes提议修订这两段,以便澄清:(a)通常将确定仲裁庭指定的专家的职责范围;(b)一方当事人及其专家证人确定的职责范围通常并不共享,第110和111段所列相关信息将载入专家意见。
It was suggested that the word “expert” in the first sentence of paragraph 83 could be misleading as that word was used in a different context in Note 15.122. 一致认为,仲裁庭指定的专家的报酬是应列入其职责范围的一个项目。
In that regard, it was recalled that paragraph 54 of the original version of the Notes used the words “person competent in the relevant field”.一致认为,《说明》修订草案应当指出,仲裁庭似应确保其在报酬超出最初列明的数额时不承担责任。
After discussion, the Commission agreed to retain the word “expert” in paragraph 83 in the broad sense.审议期间强调了职责范围对于确保仲裁庭和专家之间关系透明度的重要性。
It was further understood that if an expert in the context of Note 15 were to present a summary report referred to in paragraph 83, the procedures spelled out in Note 15 would also apply.说明16 ― 其他证据(第112至117段)
Note 14 — Witnesses of fact (paras. 84 to 97)《说明》修订草案第112和114段
Subheading of paragraphs 84 to 88 of the draft revised Notes123. 会上指出,第112段第一句中“要求”一词不应解释为仲裁庭评估实物证据的能力仅限于一方当事人提出此种请求。
The Commission agreed that the words “and their representatives” should be added at the end of the subheading of paragraphs 84 to 88.关于第114段,会上商定将“是否有利于”改为“足以”。
Paragraphs 84 and 85 of the draft revised Notes124. 会上提出,《说明》修订草案或许可以述及当拟查验的实地、财物或货物处于第三方控制之下时可能产生的复杂问题,不过,普遍认为就此问题没有什么指导意见可以提供。
It was agreed that the draft revised Notes should include a general explanation about the term “witness statement” along the following lines: “A witness statement is a written document sufficient to serve as evidence of that witness in the matter in dispute.”说明17 ― 听讯(第118至129段)
While a suggestion was made that the draft revised Notes could illustrate certain requirements of a witness statement (for instance, that it be signed by the witness), it was generally agreed that that was not necessary.125. 就“说明17”提出了一些建议。
Paragraph 86 of the draft revised Notes一项建议是在第118段第一句提及“仲裁法”。
It was suggested that the first sentence of paragraph 86 was too definitive and thus could be combined with the second sentence.另一项建议是第121段括号内所举例子与听讯的关系应当更加紧密(例如,证人能否到场)。
It was mentioned that the first sentence provided useful guidance on the fact that written statements need not be repeated orally either in full or in part, which should be retained in the draft revised Notes.还有一项建议是第118至121段的小标题“提交与听讯有关的材料”应改为“听讯后提交材料”。
The Commission agreed that the words “or updating” should be added after the word “confirmation” in the second sentence of paragraph 86.关于第126段,会上提出,仲裁庭不仅应在听讯之前和听讯刚刚结束留出审议时间,而且应在整个仲裁过程留出审议时间。
In relation to the third sentence of that paragraph, it was agreed that the words “for oral testimony by uncontroversial witnesses” should be replaced by the words “for hearing uncontroversial testimony”.关于第127段第二句,会上指出,应就哪一方当事人作最后发言提供更多指导,对这件事采取的做法是有所不同的。
Paragraph 87 of the draft revised Notes还提出,第128段应规定,由听讯时不在场的人编制录音誊本有时可能极其繁琐且费用很高。
As a matter of drafting, it was agreed that the words “refer to” should be replaced by the word “identify”.上述所有建议都得到支持,会议商定应据此修订“说明17”。
Paragraph 88 of the draft revised Notes说明18 ― 多当事方仲裁(第130和131段)和说明19 ― 并入和合并
It was suggested that the first sentence of paragraph 88 should clarify whether it applied only to the party’s witness or also to the other party’s witness.(第132至136段)
While a suggestion was made that the third sentence could be deleted as the fourth sentence made it redundant, it was stated that the third sentence reflected the recent trend in international arbitration with respect to pre-testimony contacts with witnesses.126. 关于“说明18”和“说明19”,会上商定,进一步审议《说明》修订草案是否应就多项仲裁协议和平行程序可能产生的问题提供信息。
It was agreed that paragraph 88 should be expanded to explain the various approaches for further consideration by the Commission.127. 有建议提出在关于并入的段落中就仲裁庭允许并入时所采用的标准提供更多指导,对此,会上提出,可增列程序效率以补充第133段中的标准。
It was also agreed that the last sentence of paragraph 88 should be expanded with respect to issues raised by the parties’ involvement in the preparation of oral testimony by witnesses.说明20 ― 可能与裁决书有关的要求(第137至139段)
Paragraph 90 of the draft revised Notes The Commission agreed that paragraph 90 should be revised to first address who would be responsible for questioning the witnesses and then the degree of control over the hearings.128. 一项建议是,要么删除“说明20”——因其超出了《说明》修订草案的范围,要么在保留该条说明的情况下进一步加以阐述,讨论尤其是裁决书的形式和内容方面可能产生的种种问题(例如,裁决书是否需要由仲裁员签署,仲裁员不在同一地点可否使用电子签字,是否需要出具裁决书的硬拷贝,以及有仲裁员不止一位时如何作出决定并记录决定)。
Paragraph 92 of the draft revised Notes129. 不过,普遍认为“说明20”足以处理限于裁决书存档或送达的程序事项,类似于《说明》原版本的做法。
The Commission agreed to revise paragraph 92 to: (a) express more clearly the various practices in relation to the presence of witnesses in the hearing room before and after they have testified; (b) provide that to the extent that witnesses were not allowed in the hearing room, it would be important that those witnesses should also not have access to any contemporaneous transcripts of the hearings; (c) indicate that witnesses should not discuss their testimony during any interruption thereof; and (d) include more detailed information about the presence of parties’ representatives in the hearing room, as their exclusion from the hearing room required a different treatment.130. 一项建议是列入一个类似于第44段的条文,该段述及监管问题以及拟订裁决书时因贸易或支付限制所引起的问题,这项建议未获支持。
It was agreed that requirements in paragraphs 89 to 93 (manner of taking oral evidence) should also apply to witnesses that provided their testimony remotely via technological means.131. 经过讨论,会议商定,按目前形式保留“说明20”,可能对其标题作出修正,以更好地反映第138至139段的内容。
Paragraphs 94 and 95 of the draft revised Notes132. 在审议“说明20”之后,委员会还一致认为,《说明》修订草案没有必要列入一个关于临时措施形式的条文(见上文第66和67段)。
It was suggested that the words “and questioned” could be added at the end of the subheading to paragraphs 94 and 95.3. 暂时核准《说明》修订草案
In relation to the third sentence of paragraph 94, it was noted that it was usually the party calling the witnesses that would select the order in which it wished to have its witnesses called, particularly as it would be in a better position to know the availability of the witnesses.133. 委员会原则上核准了《说明》修订草案,并请秘书处根据审议情况和作出的决定修订案文草案(见上文第2节)。
In that context, a question was raised whether the party cross-examining would have a say in choosing the order.会议商定,如有必要,秘书处可以在其第六十四届会议期间就具体问题向第二工作组寻求意见。
A suggestion was made that paragraph 95 should be reviewed in conjunction with paragraph 86 to avoid any inconsistency and touch upon the interrelationship between written and oral statements.委员会进一步要求最后审定《说明》修订草案,供委员会2016年第四十九届会议通过。
A question was raised whether the draft revised Notes should deal with presentation of new evidence during the hearings.B. 计划中的和今后可能开展的工作
In relation to the last sentence of paragraph 95, it was suggested that the cross-examining party should also be able to re-examine the witness in addition to the party calling that witness.134. 在结束对《说明》修订稿的审议之后,委员会就国际仲裁和调解领域今后可能开展的工作进行了初步讨论。
Accordingly, it was said that a sentence should be added stating the possibility for the arbitral tribunal and/or the cross-examining party to further question the witness after re-examination by the party calling the witness.在完成对议程项目18(委员会的工作方案)的审议后,委员会再次确认了初步讨论期间达成的结论(见下文第341段)。
It was further agreed that re-examination should be limited to issues raised during the cross-examination.1. 国际商事调解/调停所产生和解协议的执行
Paragraph 96 of the draft revised Notes135. 委员会回顾,委员会在其2014年第四十七届会议上商定,工作组应在其第六十二届会议上审议调解程序所产生的国际和解协议的执行问题,并应就这一领域工作的可行性和可能形式向委员会提出报告。
In relation to paragraph 96, it was agreed that: (a) the words “in any way related to” in the first sentence and the words in the parentheses in the last sentence should be clarified; (b) reference should also be made to arbitration practice in the second sentence; and (c) the words “whether statements from such persons may be submitted and considered” in the third sentence should be deleted as representatives should not be prohibited from submitting statements.委员会在该届会议上还请各代表团向秘书处提供关于这一主题事项的信息。
Paragraph 97 of the draft revised Notes因此,委员会收到了秘书处所收到答复的汇编(A/CN.9/846及增编)。
It was agreed that paragraph 97 should be revised to: (a) clarify that it only applied to witnesses invited to testify; (b) set out possible consequences for non-appearance of a witness; and (c) state that the arbitral tribunal should be given some flexibility to deal with the non-appearance of a witness including what weight to be given to the written statement, if any, of that witness.同上,《第六十九届会议,补编第十七号》(A/69/17),第129段。
Possible application of the UNCITRAL Transparency Rules同上。
In response to a question on how paragraphs 92 and 93 would apply when the hearing would be made public (for example, under the UNCITRAL Transparency Rules), it was agreed that the footnote to paragraph 53 could be elaborated to provide that the UNCITRAL Transparency Rules could have an impact on other aspects of the proceedings.136. 委员会注意到,工作组在第六十二届会议上审议了调解程序所产生国际协议的执行问题(A/CN.9/832第13-59段)。
Note 15 — Experts and expert witnesses (paras. 98 to 111)在该届会议上,虽然提出了一些问题和关切,但普遍认为可以通过就这一主题进一步开展工作处理这些问题(A/CN.9/832第58段)。
The Commission agreed that Note 15 should make consistent use of the term “expert opinion”.因此,工作组建议授权其就和解协议执行问题开展工作,确定相关问题并提出可能的解决办法,包括拟订一项公约、示范条文或指导意见案文。
A suggestion was made that the term “expert witnesses” should be used in Note 15 to refer to both experts presented by the parties and those appointed by the arbitral tribunal.考虑到对任何特定文书的形式和内容以及可行性表达了不同看法,工作组还建议就这一主题赋予其广泛授权,使之能够考虑到各种做法和关切(A/CN.9/832,第59段)。
It was further said that both categories of experts gave opinion, and therefore, should not be distinguished by using different terms.137. 委员会回顾,委员会在拟订《贸易法委员会国际商事调解示范法》(2002年)(《调解示范法》)时审议过国际和解协议的执行问题。
That suggestion did not receive support.会上提到《调解示范法》第14条,其中申明了和解协议可予执行的原则,但并未试图具体规定可以用来执行此种和解协议的方法,而是将这一事项留给每一颁布国来处理。
In that context, it was pointed out that the terms currently used in Note 15 to refer to the different categories of experts were consistent with the UNCITRAL Arbitration Rules (as revised in 2010), in particularly article 29, where the term “experts appointed by the arbitral tribunal” was used.大会第57/18号决议,附件。
It was further pointed out that a party could present both “witness of fact” and “expert witness” whereas the arbitral tribunal would appoint its “expert”.138. 普遍支持恢复这一领域中的工作,以推动将调解办法作为一种既省时又有成本效益的非诉讼争议解决办法。
It was also pointed out that not all legal systems were familiar with the notion of “expert witness” and therefore, it might be useful for it to be elaborated in the draft revised Notes.会上指出,拟订一部倡导以简便、快捷的方式执行调解产生的和解协议的文书将进一步促进调解方法的发展。
It was suggested to refer to the practice of requiring experts to detail their expertise by providing a resume or a list of recent experience.还指出,没有统一协调的执行机制不利于企业推进调解做法,因此有必要通过增进确定性使得人们能够依赖任何所产生的和解协议。
Paragraph 100 of the draft revised Notes139. 但是,对建立统一协调的执行机制是否可取表示了疑问,因为这有可能对调解的灵活性质产生不利影响。
The Commission agreed to provide more information about practices regarding the presentation of points of agreement and disagreement by expert witnesses.另一项关切是,超越《调解示范法》第14条为和解协议的执行提供一种立法解决办法是否可行。
Paragraphs 105 to 109 of the draft revised Notes另外还指出,和解协议执行程序在不同法律制度下有极大差异,而且取决于国内法规定,因此本身并不适合统一协调。
The Commission agreed to include a provision highlighting that the arbitral tribunal should take into account efficiency of the proceedings when deciding whether to appoint an expert.140. 尽管如此,会上指出,国内层面也正在就和解协议的执行机制订立法框架,现在考虑制订统一协调的办法可能正当其时。
The Commission agreed to replace the word “may” in the second sentence of paragraph 106 by the words “will usually” to clarify that it was usual practice for the arbitral tribunal to give parties an opportunity to comment on the expert’s qualifications, impartiality and independence.会上提出,关于这一主题的工作一般不宜具体涉及国内程序;而一种可行的办法或许是以《承认及执行外国仲裁裁决公约》(1958年,纽约)(《纽约公约》第三条作为模式,为执行国际和解协议引入一种机制。
The Commission agreed to further consider the suggestion that paragraph 108 should provide that the arbitral tribunal might instruct its expert to observe due process in its communication with the parties.联合国,《条约汇编》,第330卷,第4739号,第3页。
It was said that the question whether a tribunal-appointed expert should refrain from ex-parte communication was treated differently in various jurisdictions.141. 鉴于有的看法认为和解协议方面的工作有可能与其他组织正在进行的工作重叠(例如,海牙国际私法会议的判决书项目),会上提出,其他组织的工作侧重点不同,而委员会则是讨论这一主题的适当论坛。
A suggestion to replace the word “comment” in paragraph 109 by the word “make submissions” did not receive support, as parties might not necessarily make formal submissions on expert opinions.142. 经过讨论,委员会一致认为,工作组应当在其第六十三届会议上启动关于和解协议执行问题的工作,以确定相关问题并提出可能的解决办法,包括可能拟订一项公约、示范条文或指导意见案文。
The Commission agreed that paragraph 109 should also provide that, depending on circumstances, the parties would be given an opportunity to question a tribunal-appointed expert and agreed that the text could reflect the ability to present formal as well as informal submissions.委员会还同意,工作组关于这一主题的任务授权应当是广泛的,以考虑到各种不同做法和关切。
It was said that under some systems of law, expert opinions were treated as evidence by the arbitral tribunal.2. 并行程序
A question was raised whether expert opinions would always be treated as evidence by the arbitral tribunal once they were presented.143. 关于并行程序问题,委员会回顾曾在其2014年第四十七届会议上商定,秘书处应当与活跃于这一领域其他组织的专家密切合作,进一步探讨这一事项,工作重点应当侧重于投资人与国家间基于条约的仲裁,但不能忽视国际商事仲裁方面的问题。
Paragraphs 110 and 111 of the draft revised Notes委员会请秘书处在向委员会提出报告时概述所涉及的问题并指明贸易法委员会可在这一领域中开展的有益工作。
A question was raised whether paragraphs 110 and 111 applied to both expert witnesses and tribunal-appointed experts.《大会正式记录,第六十九届会议,补编第十七号》(A/69/17),第130段。
It was suggested that those paragraphs should be revised to clarify that: (a) terms of reference would usually be established for tribunal-appointed experts; and (b) terms of reference established by a party and its expert witness would usually not be shared and the relevant information listed in paragraphs 110 and 111 would be contained in the expert opinion.同上。
It was agreed that the remuneration of the tribunal-appointed expert was an item to be included in its terms of reference.144. 根据这一请求,委员会收到了与投资仲裁并行程序有关的一份秘书处说明(A/CN.9/848)。
It was agreed that the draft revised Notes should point out that arbitral tribunals might wish to ensure that they were not held responsible in case the remuneration exceeded the amount initially indicated.委员会对秘书处编写的说明表示赞赏,其中概述了各种实际问题、造成并行程序的各种情形、可用来处理这些问题的各种选择办法,以及如果拟订这方面的文书可能采取的形式。
During the deliberation, it was underlined that the terms of reference were important to ensure that the relationship between the arbitral tribunal and the expert would be transparent.145. 普遍支持在委员会议程上保留并行程序这一主题。
Note 16 — Other evidence (paras. 112 to 117)强调指出,并行程序已证明不利于投资实践,因此引起各国特别关注。
Paragraphs 112 and 114 of the draft revised Notes虽然对工作组作为优先事项开展关于这一主题的工作表示了支持,但普遍认为现阶段时机尚不成熟,只应在全面深入分析各种问题之后再开展工作。
It was noted that the words “called upon” in the first sentence of paragraph 112 should not be interpreted as limiting the arbitral tribunal’s ability to assessing physical evidence only when there was a request from a party.146. 因此,会上建议秘书处跟踪这一领域的变化发展,提供进一步分析,阐明各种问题并以中性方式提出可能的解决办法,以协助委员会在以后阶段作出知情决定。
In relation to paragraph 114, it was agreed to replace the word “desirable” by the word “adequate”.会上提出,关于这一主题的工作还应当考虑到国际商事仲裁方面的并行程序,从而与委员会2014年的请求保持一致。
While a suggestion was made that the draft revised Notes might address the possible complexities that might arise when sites, property, or goods to be inspected were under the control of a third party, it was generally felt that there was little guidance that could be provided on that issue.147. 经过讨论,委员会请秘书处与包括活跃于这一领域其他组织的专家在内的专家密切合作,进一步探索这一问题,并在今后一届会议上向委员会提出报告时拿出关于这一主题的详细分析,包括可能开展的工作。
Note 17 — Hearings (paras. 118 to 129)3. 仲裁员道德/行为守则
A number of suggestions were made in relation to Note 17.148. 委员会收到了一份关于投资仲裁仲裁员道德守则方面今后工作的建议(A/CN.9/855),其中提出,这方面的工作可能涉及仲裁员行为、仲裁员与仲裁程序各参与方的关系以及仲裁员应当共有和表达的价值观。
One suggestion was to include a reference to “arbitration law” in the first sentence of paragraph 118.149. 这一主题引起广泛兴趣,认为可以在考虑到各方面问题和做法的情况下加以探讨。
Another suggestion was that examples provided in parentheses in paragraph 121 should relate more closely to hearings (for example, availability of the witnesses).特别是,普遍认为今后在这一领域的工作不应限于投资仲裁,还应涉及国际商事仲裁。
Yet another suggestion was that the words “submissions in relation to hearings” in the subheading to paragraphs 118 to 121 should be replaced by the words “post-hearing submissions”.对此,会上指出,投资仲裁有特殊性,需要采取略微不同的做法。
In relation to paragraph 126, it was suggested that the arbitral tribunal should set aside time for deliberations not only before or shortly after the close of the hearings but throughout the entire arbitration process.150. 会上提出,应当确定那些对仲裁员行为有影响的现行法律、条例和规则(例如,关于公正性和独立性的披露规定)。
With respect to the second sentence of paragraph 127, it was suggested that more guidance should be provided on which of the parties had the last word, while approaches diverged on that matter.还提出,需要考虑到其他组织在这方面开展的工作。
It was further suggested that paragraph 128 should provide that transcription by a person not present at the hearing of an audio recording could in some cases be extremely cumbersome and costly.在这方面,会上指出,在国际仲裁中,当事人的律师和仲裁庭可能受不止一种道德标准的约束,取决于他们的国籍、与律师协会的隶属关系以及仲裁地。
All of the above-mentioned suggestions received support and it was agreed that Note 17 should be revised accordingly.151. 经过讨论,委员会请秘书处广泛探索这一问题,既包括商事仲裁也包括投资仲裁,同时考虑到各种现行法律、规则和条例以及其他组织制订的任何标准。
Note 18 — Multiparty arbitration (paras. 130 and 131) and Note 19 — Joinder and consolidation (paras. 132 to 136)会议请秘书处评价这一领域工作的可行性并向委员会今后一届会议提出报告。
In relation to Notes 18 and 19, it was agreed to further consider whether the draft revised Notes should provide information about the issues that might arise from multiple arbitration agreements and from parallel proceedings.C. 透明度存储处的设立和运作
In response to a suggestion that the paragraphs on joinder should provide more guidance on the criteria to be used by an arbitral tribunal in allowing joinders, it was suggested that procedural efficiency could be added to complement the criteria in paragraph 133.152. 委员会回顾,根据《贸易法委员会透明度规则》第8条,必须设立《规则》下已公布信息存储处(“透明度存储处”)。
Note 20 — Possible requirements concerning the award (paras. 137 to 139)153. 委员会进一步回顾,委员会2013年第四十六届会议对应由贸易法委员会秘书处履行透明存储处职责表示了强烈的一致意见。
A suggestion was made that Note 20 should either be deleted as it was beyond the scope of the draft revised Notes or, if retained, elaborated further to discuss the wide range of issues that might arise particularly with regard to the form and content of the award (for example, whether the award would need to be signed by the arbitrators, whether electronic signatures could be used where the arbitrators were in different locations, whether hard copies of the award would need to be produced, and how decisions would be made and recorded when there were more than one arbitrator).在该届会议上指出,联合国是一个中立和普遍机构,联合国秘书处是《联合国宪章》下的一个独立机关,理当履行透明度存储处的核心职能,透明度存储处将作为一个公共管理机构直接负责自身法律标准的维护和适当运作。
However, it was widely felt that Note 20 sufficiently dealt with the procedural aspects limited to the filing or delivering of the award, similar to the original version of the Notes.《大会正式记录,第六十八届会议,补编第17号》(A/68/17),第79-98段。
A suggestion to include a provision similar to that found in paragraph 44 on regulatory issues and issues arising from restrictions on trade or payment when formulating an award did not receive support.154. 委员会还回顾,在2014年第四十七届会议上,秘书处报告了就拟履行的存储处职能采取的步骤,包括制作一个专门网页(www.uncitral.org/transparency-registry)。
After discussion, it was agreed that Note 20 should be retained in the current form with possible amendments to its heading to better reflect the content of paragraphs 138 to 139.在该届会议上,委员会获悉,一些国家要求在联合国经常预算不作增减的预算基础上履行给贸易法委员会秘书处增加的任务授权,按照这一要求,已为设立透明度存储处作出努力,将其作为一个暂由自愿捐款供资的试点项目。
After its deliberation of Note 20, the Commission further agreed that it would not be necessary for the draft revised Notes to include a provision on the form of interim measures (see paras. 66 and 67 above). 3. Provisional approval of the draft revised Notes The Commission approved the draft revised Notes in principle and requested the Secretariat to revise the draft text in accordance with the deliberations and decisions (see section 2 above). It was agreed that the Secretariat could seek input from Working Group II on specific issues, if necessary, during its sixty-fourth session. The Commission further requested that draft revised Notes be finalized for adoption by the Commission at its forty-ninth session, in 2016. B. Planned and possible future work Upon completion of its deliberation on the revision of the Notes, the Commission held a preliminary discussion regarding future work in the area of international arbitration and conciliation. The conclusions reached during that preliminary discussion were reaffirmed by the Commission upon its consideration of agenda item 18 (Work programme of the Commission) (see para. 341 below). 1. Enforcement of settlement agreements resulting from international commercial conciliation/mediation The Commission recalled that at its forty-seventh session, in 2014, it had agreed that the Working Group should consider at its sixty-second session the issue of enforcement of international settlement agreements resulting from conciliation proceedings and should report to the Commission on the feasibility and possible form of work in that area. At that session, the Commission also invited delegations to provide information to the Secretariat in respect of that subject matter. Accordingly, the Commission had before it a compilation of responses received by the Secretariat (A/CN.9/846 and addenda).因此,委员会在该届会议上重申授权其秘书处设立和运作透明度存储处,最初作为一个试点项目,并为此争取任何必要的资金。
Ibid. Sixty-ninth Session, Supplement No. 17 (A/69/17), para.同上,《第六十九届会议,补编第17号》(A/69/17),第108-110段。
129. Ibid. The Commission noted that the Working Group at its sixty-second session considered the topic of enforcement of international settlement agreements resulting from conciliation proceedings (A/CN.9/832, paras. 13-59).155. 委员会获悉,在大会关于委员会第四十七届会议工作报告的决议中,大会赞赏地注意到秘书处已采取步骤设立并运作透明度存储处,作为试点项目,暂时由自愿捐款供资,并在这方面请秘书长随时向大会通报透明度存儲处的供资和预算情况的发展。
At that session, while a number of questions and concerns were expressed, it had been generally felt that they could be addressed through further work on the topic (A/CN.9/832, para.大会第69/115号决议,第3段。
58).156. 在这方面,委员会听取了关于秘书处为设立和运作透明度存储处采取的步骤和秘书处面临的困难的口头报告。
The Working Group, therefore, suggested that it be given a mandate to work on the topic of enforcement of settlement agreements, to identify the relevant issues and develop possible solutions, including the preparation of a convention, model provisions or guidance texts.157. 委员会首先注意到以下观点,即大会决议目前的措词也许不能视作构成对秘书处的适当授权,因为大会并未专门“请”秘书长设立和运作透明度存储处。
Considering that differing views were expressed as to the form and content, as well as the feasibility, of any particular instrument, the Working Group also suggested that a mandate on the topic be broad enough to take into account the various approaches and concerns (A/CN.9/832, para.委员会还注意到以下意见:即使透明度存储处完全是用自愿捐款供资的,也还是应当遵守《大会议事规则》以及《联合国财务条例和细则》规定的其他程序。
59).158. 关于预算情况,委员会获悉,秘书处收到了石油输出国组织(欧佩克)国际发展基金对赠款125,000美元的确认函,此外欧洲联盟承付100,000欧元,这些款项将使秘书处能够暂时运作该项目到2016年底。
The Commission recalled that it had previously considered the issue of enforcement of international settlement agreements when preparing the UNCITRAL Model Law on International Commercial Conciliation (2002) (“Model Law on Conciliation”).委员会还获悉,秘书处正在与捐助方正式确定供资安排,委员会非常感谢欧洲联盟和欧佩克国际发展基金承付款项。
Reference was made to article 14 of the Model Law on Conciliation which stated the principle that settlement agreements were enforceable, without attempting to specify the method by which such settlement agreements might be enforced, a matter that was left to each enacting State.159. 还注意到透明度存储处的运作不会引起任何赔偿责任问题,因为《贸易法委员会透明度规则》第3条规定存储处不参与关于拟公布信息的任何决策。
General Assembly resolution 57/18, annex.最后,委员会注意到在试点项目结束时可能会面临的局面,这包括:(a)完全利用预算外资源继续运行;(b)寻求经常预算资源或在秘书处内调整资源;(c)可能委托联合国以外的实体履行这项职能。
There was general support to resume work in that area with the aim to promote conciliation as a time- and cost-efficient alternative dispute resolution method.160. 在讨论期间,委员会强调透明度存储处应当尽快充分运作,因为存储处为根据《贸易法委员会透明度规则》和《毛里求斯透明度公约》进行的所有投资人与国家间仲裁提供一个综合、透明和易查询的全球案件记录数据库,因而构成《规则》和《公约》的一个核心特征。
It was said that an instrument in favour of easy and fast enforcement of settlement agreements resulting from conciliation would further contribute to the development of conciliation.还强调,由委员会秘书处运作透明度存储处将被视作发出一个强有力的信号,支持投资人与国家间基于条约仲裁的透明度以及贸易法委员会关于透明度的相关法规。
It was further pointed out that the lack of a harmonized enforcement mechanism was a disincentive for businesses to proceed with conciliation, and that there was a need for greater certainty that any resulting settlement agreement could be relied on.大会第69/116号决议,附件。
However, doubts were expressed on whether it would be desirable to have a harmonized enforcement mechanism as it might have a negative impact on the flexible nature of conciliation.161. 经过讨论,委员会重申其强烈的一致意见,即委员会秘书处应当履行透明度存储处职能,并且应当设立和运作透明度存储处,最初作为一个试点项目。
Another concern was whether it would be feasible to provide a legislative solution on enforcement of settlement agreements beyond article 14 of the Model Law on Conciliation.为此,委员会一致同意向大会建议,由大会请委员会秘书处根据《贸易法委员会透明度规则》第8条的规定设立并运作《透明度规则》下已发布信息存储处,最初作为试点项目,完全由自愿捐款供资,直至2016年底。
Furthermore, it was pointed out that procedures for enforcing settlement agreements varied greatly between legal systems and were dependent upon domestic law, which did not easily lend themselves to harmonization.D. 国际商事仲裁和调解模拟辩论赛
Nonetheless, it was stated that legislative frameworks on enforcement of settlement agreements were being developed domestically and that it might be timely to consider developing a harmonized solution.1. 维斯国际商事仲裁模拟辩论赛
It was suggested that work on the topic should generally not dwell into the domestic procedures; instead, a possible approach could be to introduce a mechanism to enforce international settlement agreement, possibly modelled on article III of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958) (the “New York Convention”).162. 注意到维斯国际商事仲裁模拟辩论赛组织和促进协会组办了第二十二届模拟辩论赛,口头辩论阶段于2015年3月27日至4月2日在维也纳举办。
United Nations, Treaty Series, vol. 330, No. 4739, p.同往年一样,此次辩论赛由委员会协办。
3. In response to the view that work on settlement agreements might overlap with existing work by other organizations (for instance, the judgements project of the Hague Conference on Private International Law), it was said that work of other organizations had a different focus and that the Commission would be a suitable forum for discussion on the topic.第二十二届模拟辩论赛各参赛队讨论的法律问题以《联合国国际货物销售合同公约》(1980年,维也纳)(《联合国销售公约》)为基础。
After discussion, the Commission agreed that the Working Group should commence work at its sixty-third session on the topic of enforcement of settlement agreements to identify relevant issues and develop possible solutions, including the possible preparation of a convention, model provisions or guidance texts.来自72个法域总共298支代表队参加了辩论赛,口头辩论优胜队是渥太华大学(加拿大)。
The Commission also agreed that the mandate of the Working Group with respect to that topic should be broad to take into account the various approaches and concerns.第二十三届维斯国际商事仲裁模拟辩论赛口头辩论阶段将于2016年3月16日至24日在维也纳举行。
2. Concurrent proceedings联合国,《条约汇编》,第1489卷,第25567号。
On the issue of concurrent proceedings, the Commission recalled that, at its forty-seventh session, in 2014, it agreed that the Secretariat should explore the matter further, in close cooperation with experts from other organizations working actively in that area and that work should focus on treaty-based investor-State arbitration, without disregarding the issue in the context of international commercial arbitration.163. 还注意到维斯东方模拟辩论赛基金会组办了第十二届维斯(东方)国际商事仲裁模拟辩论赛,此次辩论赛由委员会和仲裁院特许学会东亚处协办。
The Commission requested the Secretariat to report to the Commission outlining the issues at stake and identifying work that UNCITRAL might usefully undertake in the area.决赛阶段于2015年3月15日至22日在中国香港举行。
Official Records of the General Assembly, Sixty-ninth Session, Supplement No. 17 (A/69/17), para.来自29个法域总共107支代表队参加了第十二届(东方)模拟辩论赛,口头辩论优胜队是新加坡管理大学(新加坡)。
130. Ibid. In accordance with that request, the Commission had before it a note by the Secretariat in relation to concurrent proceedings in investment arbitration (A/CN.9/848).第十三届(东方)模拟辩论赛将于2016年3月6日至13日在中国香港举行。
The Commission expressed its appreciation to the Secretariat for the note, which outlined the practical issues, the variety of situations that led to concurrent proceedings, the various options available to address those issues, and the possible form of any instrument to be developed in that area.2. 2015年马德里商事仲裁模拟辩论赛
There was general support for retaining the topic of concurrent proceedings on the agenda of the Commission.164. 注意到马德里卡洛斯三世大学于2015年4月20日至24日在马德里举办了第七届国际商事仲裁辩论赛,由委员会协办。
It was highlighted that concurrent proceedings have proven to be detrimental to investment practice and thus was of particular interest to States.各参赛队讨论的法律问题涉及国际特约总经销合同和货物销售,可适用《联合国销售公约》、《纽约公约》、统法协会关于特许经营的法规和《马德里仲裁法院仲裁规则》。
While support was expressed for the Working Group to undertake work on the topic as a matter of priority, it was widely felt that it was premature at this stage, and work should be undertaken only after a thorough analysis of the issues.共有来自13个法域30支代表队参加了西班牙语马德里模拟辩论赛。
Accordingly, it was suggested that the Secretariat should keep abreast of developments in that area, provide further analysis and set out the issues and possible solutions in a neutral manner, which would assist the Commission making an informed decision at a later stage.口头辩论优胜队是秘鲁天主教大学(秘鲁)。
It was suggested that, consistent with the request of the Commission in 2014, work on the topic should also take into consideration concurrent proceedings in international commercial arbitration.第八届马德里模拟辩论赛将于2016年4月25日至29日举行。
After discussion, the Commission requested the Secretariat to explore the topic further, in close cooperation with experts including those from other organizations working actively in that area and to report to the Commission at a future session with a detailed analysis of the topic including possible work that could be carried out.查阅网址:www.camaramadrid.es/doc/linkext/rules-of-arbitration.pdf。
3. Code of ethics/conduct for arbitrators3. 调解与谈判竞赛
The Commission had before it a proposal for future work on a code of ethics for arbitrators in investment arbitration (A/CN.9/855), which suggested that work on the topic could relate to conduct of arbitrators, their relationship with those involved in the arbitration process, and the values that they were expected to share and convey.165. 注意到国际律师协会和维也纳国际仲裁中心联合组办了第一届调解与谈判竞赛,于2015年7月1日至4日在维也纳举行,由委员会协办。
There was general interest in the topic, which could be explored taking into account the wide range of issues and approaches.各参赛队讨论的法律问题以第二十二届维斯国际商事仲裁模拟辩论赛为基础(见上文第162段)。
In particular, it was widely felt that future work in that area should not be limited to investment arbitration but also deal with international commercial arbitration.共有来自13个法域16支代表队参加。
In response, it was noted that the peculiarities of investment arbitration might require a slightly different approach.四、
It was suggested that existing laws, regulation and rules (for example, provisions on disclosure in relation to impartiality and independence) that had an impact on the conduct of arbitrators should be identified. It was also suggested that work conducted by other organizations on the topic would need to be considered. In that context, it was noted that in international arbitration, counsels for the parties as well as the arbitral tribunals could be bound by more than one standard of ethics depending on their nationality, affiliation with bar associations as well as place of arbitration. After discussion, the Commission requested the Secretariat to explore the topic in a broad manner, including both in the field of commercial and investment arbitration, taking into account existing laws, rules and regulations as well as any standards established by other organizations. The Secretariat was requested to assess the feasibility of work in that area and report to the Commission at a future session. C. Establishment and functioning of the transparency repository The Commission recalled that, under article 8 of the UNCITRAL Transparency Rules, the repository of published information under the Rules (the “transparency repository”) had to be established. The Commission further recalled that, at its forty-sixth session, in 2013, it expressed its strong and unanimous opinion that the UNCITRAL secretariat should fulfil the role of the transparency repository. At that session, it was said that the United Nations, as a neutral and universal body, and its secretariat, as an independent organ under the Charter of the United Nations, should be expected to undertake the core functions of a transparency repository, as a public administration directly responsible for the servicing and proper operation of its own legal standards. Ibid. Sixty-eighth Session, Supplement No. 17 (A/68/17), paras. 79-98. The Commission also recalled that, at its forty-seventh session, in 2014, the Secretariat had reported on steps taken in respect of the repository function to be performed, including the preparation of a dedicated web page (www.uncitral.org/transparency-registry). At that session, the Commission was informed that in line with the request by some States that the additional mandate bestowed on the UNCITRAL secretariat be fulfilled on a cost-neutral budgetary basis in relation to the United Nations regular budget, efforts were made to establish the transparency repository as a pilot project temporarily funded by voluntary contributions. Accordingly, the Commission, at that session, reiterated its mandate to its secretariat to establish and operate the transparency repository, initially as a pilot project, and, to that end, to seek any necessary funding. Ibid. Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 108-110. The Commission was informed that the General Assembly, in its resolution on the report of the Commission on the work of its forty-seventh session noted with appreciation that the secretariat of the Commission had taken steps to establish and operate the transparency repository, as a pilot project temporarily funded by voluntary contributions, and in that regard requested the Secretary-General to keep the General Assembly informed of developments regarding the funding and budgetary situation of the transparency repository. General Assembly resolution 69/115, para. 3. In that context, the Commission heard an oral report on the steps taken by the Secretariat to establish and operate the transparency repository and the difficulties it was facing. The Commission first took note of the view that the current wording in the General Assembly resolution might be seen as not constituting a proper mandate for the Secretariat because the General Assembly did not specifically “request” the Secretary-General to establish and operate the transparency repository. It also took note of the view that additional procedures contemplated in the Rules of Procedure of the General Assembly as well as the Financial Regulations and Rules of the United Nations should have been followed despite the fact that the transparency repository was to be fully funded by voluntary contributions. With respect to the budget situation, the Commission was informed that the Secretariat had received confirmation from the Fund for International Development (OFID) of the Organization of the Petroleum Exporting Countries (OPEC) for a grant of 125,000 USD, in addition to the European Union’s commitment for 100,000 EUR, which would allow the Secretariat to operate the project on a temporary basis until the end of 2016. The Commission was also informed that the Secretariat was currently formalizing the funding arrangements with the donors, and the Commission expressed its great appreciation to the European Union and OFID for their commitments. It was further noted that the operation of the transparency repository would not raise any liability issues as article 3 of the UNCITRAL Transparency Rules provided that the repository would not be involved in any decision-making regarding the information to be published. Finally, the Commission took note of the possible scenarios upon the end of the pilot project which could be: (a) continuing to operate entirely on extrabudgetary resources; (b) seeking regular budget resources or redeploying resources within the Secretariat; and (c) possibly entrusting entities outside the United Nations with that function. During the discussion, the Commission emphasized that the transparency repository should be fully operational as soon as possible, as the repository constituted a central feature of both the UNCITRAL Transparency Rules and the Mauritius Convention on Transparency by providing a consolidated, transparent and easily accessible global case record database for all investor-State arbitrations conducted pursuant to the Rules and the Convention. It was also highlighted that the operation of the transparency repository by the secretariat of the Commission would be perceived as a robust signal in support of transparency in investor-State treaty-based arbitration and the relevant UNCITRAL texts on transparency. General Assembly resolution 69/116, annex. After discussion, the Commission reiterated its strong and unanimous opinion that the secretariat of the Commission should fulfil the role of the transparency repository and that it should establish and operate the transparency repository, initially as a pilot project. To that end, the Commission agreed to recommend to the General Assembly that it request the secretariat of the Commission to establish and operate the repository of published information under the UNCITRAL Transparency Rules, in accordance with article 8 of the Rules, initially as a pilot project until the end of 2016, to be funded entirely by voluntary contributions. D. International commercial arbitration and mediation moot competitions 1. Willem C. Vis International Commercial Arbitration Moot It was noted that the Association for the Organization and Promotion of the Willem C. Vis International Commercial Arbitration Moot had organized the Twenty-second Moot, the oral arguments phase of which had taken place in Vienna from 27 March to 2 April 2015. As in previous years, the Moot had been co-sponsored by the Commission. Legal issues addressed by the teams in the Twenty-second Moot were based on the United Nations Convention on Contracts for the International Sale of Goods (Vienna, 1980) (the “United Nations Sales Convention”). A total of 298 teams from 72 jurisdictions participated and the best team in oral arguments was Ottawa University (Canada). The oral arguments phase of the Twenty-third Willem C. Vis International Commercial Arbitration Moot would be held in Vienna from 18 to 24 March 2016. United Nations, Treaty Series, vol. 1489, No. 25567. It was also noted that the Vis East Moot Foundation had organized the Twelfth Willem C. Vis (East) International Commercial Arbitration Moot, which had been co-sponsored by the Commission and the East Asia Branch of CIARB. The final phase took place in Hong Kong, China, from 15 to 22 March 2015. A total of 107 teams from 29 jurisdictions participated in the Twelfth (East) Moot and the best team in oral arguments was Singapore Management University (Singapore). The Thirteenth (East) Moot would be held in Hong Kong, China, from 6 to 13 March 2016. 2. Madrid Commercial Arbitration Moot 2015 It was noted that Carlos III University of Madrid had organized the Seventh International Commercial Arbitration Competition in Madrid from 20 to 24 April 2015, which had been co-sponsored by the Commission. Legal issues addressed by the teams related to an international master franchising contract and sale of goods, where the United Nations Sales Convention, the New York Convention, the Unidroit texts on franchising and the Rules of Arbitration of the Court of Arbitration of Madrid were applicable. A total of 30 teams from 13 jurisdictions participated in the Madrid Moot which was held in Spanish. The best team in oral arguments was Pontificia Universidad Católica del Perú (Peru). The Eighth Madrid Moot would be held from 25 to 29 April 2016. Available from www.camaramadrid.es/doc/linkext/rules-of-arbitration.pdf. 3. Mediation and negotiation competition It was noted that the first mediation and negotiation competition organized jointly by IBA and VIAC had taken place in Vienna from 1 to 4 July 2015 and had been co-sponsored by the Commission. Legal issues addressed by the teams had been those addressed at the Twenty-second Willem C. Vis International Commercial Arbitration Moot (see para. 162 above). A total of 16 teams from 13 jurisdictions had participated. IV. Consideration of issues in the area of security interests审议担保权益领域的问题
A. IntroductionA. 导言
The Commission recalled that, at its forty-sixth session, in 2013, it had confirmed its decision that Working Group VI (Security Interests) should prepare a model law on secured transactions (the “draft Model Law”) based on the recommendations of the UNCITRAL Legislative Guide on Secured Transactions (the “Secured Transactions Guide”) and consistent with all texts prepared by the Commission on secured transactions, including the United Nations Convention on the Assignment of Receivables in International Trade (New York, 2001) (the “Assignment Convention”), the Supplement on Security Rights in Intellectual Property (the “Intellectual Property Supplement”) and the UNCITRAL Guide on the Implementation of a Security Rights Registry (the “Registry Guide”).166. 委员会回顾其2013年第四十六届会议曾确认以下决定,即第六工作组(担保权益)应当在《贸易法委员会担保交易立法指南》(《担保交易指南》)各项建议的基础上并按照由贸易法委员会编拟的关于担保交易的所有案文,包括《联合国国际贸易应收款转让公约》(2001年,纽约)(《转让公约》)、《知识产权担保权补编》(《知识产权补编》)和《贸易法委员会关于落实担保权登记处的指南》(《登记处指南》),着手编写一部担保交易示范法(示范法草案)。
The Commission also recalled that, at its forty-seventh session, in 2014, it had requested the Working Group to expedite its work to complete the draft Model Law and submit it to the Commission for adoption.委员会还回顾其2014年第四十七届会议请工作组加快工作,以完成示范法草案并提交委员会通过。
United Nations publication, Sales No. E.09.V.12.联合国出版物,出售品编号:E.09.V.12。
General Assembly resolution 56/81, annex.大会第56/81号决议,附件。
United Nations publication, Sales No. E.11.V.6.联合国出版物,出售品编号:E.11.V.6。
United Nations publication, Sales No. E.14.V.6.联合国出版物,出售品编号:E.14.V.6。
Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), paras. 194 and 332.《大会正式记录,第六十八届会议,补编第17号》(A/68/17),第194和332段。
Ibid. Sixty-ninth Session, Supplement No. 17 (A/69/17), para.同上,《第六十九届会议,补编第17号》(A/69/17),第163段。
163. At its current session, the Commission had before it the reports of the twenty-sixth and twenty-seventh sessions of the Working Group (A/CN.9/830 and A/CN.9/836, respectively), as well as two notes by the Secretariat entitled “Draft Model Law on Secured Transactions” (A/CN.9/852 and A/CN.9/853).167. 在本届会议上,委员会收到了工作组第二十六届会议和第二十七届会议报告(分别为A/CN.9/830和A/CN.9/836),以及秘书处题为“担保交易示范法草案”的两份说明(A/CN.9/852和A/CN.9/853)。 委员会注意到工作组第二十六届会议和第二十七届会议完成了示范法草案的二读。 此外,委员会赞赏地注意到,工作组第二十七届会议核准了示范法草案几个章节条文的实质内容(即政策),并向委员会提交示范法草案登记处相关、法律冲突和过渡条文,供其原则上核准(即核准政策)(见A/CN.9/836,第122段)。 此外,委员会注意到工作组该届会议建议为即将拟就的《贸易法委员会担保交易示范法》编拟颁布指南(“颁布指南”)(A/CN.9/836,第121段)。 168. 委员会本届会议设立的全体委员会(见上文第12段)进而根据秘书处的一份说明(A/CN.9/852)审议了议程项目5(a)——审议和暂时核准担保交易示范法的几个部分。 委员会还审议了美利坚合众国代表团提交的建议。 全体委员会的报告转载于下文B.1节。 B. 审议和暂时核准担保交易示范法的几个部分 1. 全体委员会的报告 示范法草案第26条:国家公共登记处的建立及其向公众开放 169. 注意到示范法草案关于登记处制度的第四章缩减至一个条款,并且,基于以下理解,与登记处有关的案文已纳入《登记处法规》草案:如示范法草案第26条所规定的,《登记处法规》草案中所载与登记处有关的条款可在颁布示范法草案的法律、单独一部法案、法令或条例或其组合中加以实施。 基于一项理解,即《登记处法规》草案的名称以及置于何处的问题将在委员会讨论所有与登记处有关的条款之后再作讨论,委员会未作改动核准了示范法草案第26条的实质内容。 在这方面,委员会同意授权秘书处对示范法草案第26条以及《登记处法规》草案的条文在措词上作必要改动。 170. 此外,会议商定,《登记处指南》中的定义应纳入《登记处法规》草案。 还商定,《颁布指南》应当讨论:(a)担保权通知以外的通知(如强制执行通知、优先债权或判决债权通知)的登记;(b)按照《担保交易指南》建议54(j)项和《登记处指南》建议5,登记处如有可能应当完全电子化,就可能有的不同层级作出解释(例如,数据库作为第一层级,然后是电子登记和访问,等等)。 《登记处法规》草案第1条:一项通知足以涵盖多项担保权 171. 会议商定,修订《登记处法规》草案第1条,以更好地反映以下政策,即一份通知可能涉及依据所登记通知中注明的当事方之间的多项担保权协议设定的担保权。 在作此修改的前提下,委员会核准了《登记处法规》草案第1条的实质内容。 172. 此外,会议还商定,在《登记处法规》草案开头处插入一个新的条文,置于方括号内,以述及《登记处法规》草案的目的及其与示范法草案的关系。 还商定,《颁布指南》应当解释,该条文只在颁布国决定不以示范法草案的执行法律作为《登记处法规》草案的执行法律时才是必需的。 《登记处法规》草案第2条:预先登记 173. 会议商定,修订《登记处法规》草案第2条,以提及任何通知,因为如果在设定担保权之前登记了一则初始通知,而担保权最终并未设定,则需要登记一则取消通知。 还商定,《颁布指南》应对此事加以解释。 此外,会议商定,第2条应提及“所登记通知中注明的当事方之间”的担保协议。 在作出这些修改的前提下,委员会核准了《登记处法规》草案第2条的实质内容。 《登记处法规》草案第3条:设保人对登记的授权 174. 会议商定,修订《登记处法规》草案第3条,以便:(a)第1、2和3款规定除非经设保人授权,否则对通知的登记将是无效的;(b)第2款(a)项提及担保协议或与所登记通知中注明的设保人的另一项协议;以及(c)删除第2款(b)项,因为第3款已经充分处理此事,根据该款,在增加新的设保人的情况下,修订通知应得到该新的设保人的授权(且不应允许现有设保人阻止添加新的设保人)。 还商定,《颁布指南》应当澄清,第3款不适用于不是增加新的设保人而是变更设保人名称的情形。 在作出这些修改的前提下,委员会核准了《登记处法规》草案第3条的实质内容。 《登记处法规》草案第4条:向公众开放的条件 175. 会议商定,修订《登记处法规》草案第4条,以便:(a)插入一个第二款,以提及一人获准访问登记处服务的安全程序(从而将未经有担保债权人授权而登记修订通知和取消通知的风险降至最低程度;见《登记处法规》草案第20条);以及(b)第3款提及登记处有义务“毫不迟延地”发出拒访理由的通知。 还商定,《颁布指南》应当澄清:(a)“通知表格”一语既包括纸质表格也包括电子表格(或屏显);(b)只有在登记处属于政府机关的情况下,才应由登记处规定任何安全程序(或其他政策事项),否则,应由负责监管登记处的政府机关规定此类程序(见《登记处法规》草案第26条)。 在作出这些修改的前提下,委员会核准了《登记处法规》草案第4条的实质内容。 《登记处法规》草案第5条:拒绝登记通知或拒绝查询请求 176. 会议商定,修订《登记处法规》草案第5条第3款,以提及登记处有义务“毫不迟延地”发出拒访理由的通知。 在作出此项修改的前提下,委员会核准了《登记处法规》草案第5条的实质内容。 《登记处法规》草案第6条:登记处对通知中的信息不予核实 177. 会议商定,修订《登记处法规》草案第6条,以便:(a)删除第1款方括号内的案文,该案文并无必要;以及(b)插入一个第三款,规定除《登记处法规》草案第5条规定的情形外,登记处无权拒绝一项查询请求或者对一项查询请求的内容进行任何审查。 在作出这些修改的前提下,委员会核准了《登记处法规》草案第6条的实质内容。 《登记处法规》草案第7条:初始通知所需信息 178. 会议商定,删除《登记处法规》草案第7条(a)项中“允许或”几个字,因为该条述及初始通知“所需”信息。 还商定,《颁布指南》应当澄清:(a)(a)项中提及的补充信息并非设保人身份识别特征的一部分;(b)一些国家使用补充信息(如独一的身份号码)作为设保人身份标识;以及(c)通知可能涉及不止一个设保人或有担保债权人,应针对每一个设保人或有担保债权人分别输入所需信息。
The Commission noted that at its twenty-sixth and twenty-seventh sessions the Working Group completed the second reading of the draft Model Law.在作出这些修改的前提下,委员会核准了《登记处法规》草案第7条的实质内容。 《登记处法规》草案第8条:设保人的身份标识
In addition, the Commission noted with appreciation that, at its twenty-seventh session, the Working Group approved the substance (i.e.179. 会议商定,修订《登记处法规》草案第8条,以便:(a)调整其结构,使之更贴近《登记处指南》建议24的结构;(b)将第1款起始句的措辞调整为“设保人是自然人的,设保人的身份标识即为......”,使之与第2款一致;以及(c)第1款(c)项更加明确地指出,该项所提及的“法定名称”可能不会反映在任何官方证件中。
the policy) of the provisions of several chapters of the draft Model Law and submitted to the Commission for approval in principle (i.e.还商定,《颁布指南》应当:(a)提及官方证件范本及其等级排序(见《登记处指南》,第163-168段);以及(b)提请颁布国注意需要处理外国设保人的身份标识(见《登记处指南》,第169段)。
approval of the policy) the registry-related, the conflict-of-laws and the transition provisions of the draft Model Law (A/CN.9/836, para.在作出这些修改的前提下,委员会核准了登记处法规草案第8条的实质内容。 《登记处法规》草案第9条:有担保债权人的身份标识
122).180. 会议商定,修订《登记处法规》草案第9条,以便提及有担保债权人的身份标识可以是有担保债权人或其代理人的姓名。
Moreover, the Commission noted that, at that session, the Working Group recommended the preparation of a guide to enactment of what would become the UNCITRAL Model Law on Secured Transactions (the “Guide to Enactment”) (A/CN.9/836, para.还商定,《颁布指南》应对“代理人”一语的含义作出解释,由于登记并不设定担保权,代理人并非担保权的实际持有人。
121).在作出这些修改的前提下,委员会核准了《登记处法规》草案第9条的实质内容。 《登记处法规》草案第10条:对设保资产的描述
The Committee of the Whole, established by the Commission at its current session (see para.181. 会议商定,修订《登记处法规》草案第10条,以更明确地反映该条所载规则。
12 above), proceeded with the consideration of agenda item 5(a), Consideration and provisional approval of parts of a model law on secured transactions, on the basis of a note by the Secretariat (A/CN.9/852).还商定,《颁布指南》应当澄清:(a)通知中的描述不需要与担保协议所作描述相同;(b)如果通知所作描述超出担保协议所作描述的范围,通知将无法使这类资产上的担保权具有对抗第三方效力;(c)已登记通知提及某一项资产,既不意味也不代表设保人目前或今后对该项资产拥有权利;(d)以数量或计算公式作出描述,即可满足第10条所指明的标准。
The Commission also considered a proposal submitted by the delegation of the United States of America.在作出这些修改的前提下,委员会核准了《登记处法规》草案第10条的实质内容。
The report of the Committee is reproduced in section B.1 below.《登记处法规》草案第11条:通知中信息的语文
B. Consideration and provisional approval of parts of a model law on secured transactions182. 会议商定,修订第11条,以规定:通知所包含的全部信息,除设保人和有担保债权人的姓名和地址外,均应以颁布国指明的语文加以表述。
1. Report of the Committee of the Whole183. 然而,会上就登记人未以颁布国指明的语文表述该信息所带来的法律后果发表了不同的看法。
Article 26 of the draft Model Law: Establishment of a national public registry and public access一种看法认为,在这类情况下,通知应当无效。
It was noted that chapter IV of the draft Model Law on the registry system was reduced to one article and the registry-related text was included in the draft Registry Act on the understanding that, as provided in article 26 of the draft Model Law, the registry-related provisions set forth in the draft Registry Act might be implemented in the law enacting the draft Model Law, a separate act, decree or regulation, or a combination thereof.另一种看法认为,除非登记人的上述行为严重误导合理行事的查询人(《登记处法规》第23条第2款的检验标准),否则通知不应无效。
On the understanding that the name and the location of the draft Registry Act would be discussed after the Committee had discussed all the registry-related provisions, the Committee approved the substance of article 26 of the draft Model Law unchanged.就此指出,如果对设保资产的描述未使用颁布国指明的语文,通知不应对使用了合适语文加以描述的其他设保资产无效(大致类似于《登记处法规》第23条第4款的一条规则)。
In that connection, the Committee agreed that the Secretariat was authorized to introduce any necessary drafting changes in article 26 of the draft Model Law and the provisions of the draft Registry Act.经过讨论,委员会请秘书处拟订反映会上所表达的各种看法的备选案文。
In addition, it was agreed that the definitions of the Registry Guide should be included in the draft Registry Act.184. 关于应当用以表述通知中的信息的字符组,会议商定,应由登记处指明并公布字符组。
Moreover, it was agreed that the Guide to Enactment should discuss: (a) the registration of notices other than security right notices (e.g. enforcement notices, notices of preferential claims or judgement claims); and (b) that, in line with recommendation 54, subparagraph (j), of the Secured Transactions Guide and recommendation 5 of the Registry Guide, the Registry should be fully electronic, if possible, explaining the different possible levels (e.g. a database, as first level, then electronic registration and access, etc.). Article 1 of the draft Registry Act: One notice sufficient for multiple security rights会议就此商定,《颁布指南》应当澄清:(a)如果通知中的信息未以登记处指明和公布的字符组表述,则通知中的该信息即为登记处无法辨认的信息,从而可以根据第5条第1款(b)项拒绝受理该通知;(b)登记处不是政府机关的,只能由负责监管登记处的政府机关指明、公布和修改字符组。
It was agreed that article 1 of the draft Registry Act should be revised to better reflect the policy that one notice might relate to security rights created under multiple security agreements between the parties identified in the registered notice.185. 在作出上述修改的前提下,委员会核准了《登记处法规》草案第11条的实质内容。
Subject to that change, the Committee approved the substance of article 1 of the draft Registry Act.《登记处法规》草案第12条:通知登记的生效时间
In addition, it was agreed that a new provision should be inserted within square brackets at the beginning of the draft Registry Act to address the purpose of the draft Registry Act and its relationship to the draft Model Law.186. 会议商定,修订《登记处法规》草案第12条,以便:(a)将初始通知或修订通知的相关材料合归一处,另将取消通知的相关材料和归一处;(b)调整第2款,使之更贴近《登记处指南》的建议11(c)项;(c)第4款将提及“不加延迟地”(见上文第175段);(d)第5款将提及登记处有义务“记录”通知的登记日期和时间并根据请求提供通知。
Moreover, it was agreed that the Guide to Enactment should explain that that provision would be necessary only if the enacting State decided to implement the draft Registry Act in a law other than the law that would implement the draft Model Law. Article 2 of the draft Registry Act: Advance registration在作出这些修改的前提下,委员会核准了《登记处法规》草案第12条的实质内容。
It was agreed that article 2 of the draft Registry Act should be revised to refer to any notice, since, if an initial notice had been registered in advance of the creation of a security right and ultimately the security right was not created, a cancellation notice would need to be registered.《登记处法规》草案第13条:通知登记的有效期
In addition, it was agreed that the Guide to Enactment should explain that matter.187. 会议商定,修订《登记处法规》草案第13条,以便:(a)在所有备选案文的第1款中都提及初始通知;(b)在所有备选案文中都添加第4款,明确指出暗含但未言明之意,即有效期可以延长一次以上。
Moreover, it was agreed that article 2 should refer to a security agreement “between the parties identified in the registered notice”.在作出这些修改的前提下,委员会核准了《登记处法规》草案第13条的实质内容。
Subject to those changes, the Committee approved the substance of article 2 of the draft Registry Act.《登记处法规》草案第14条:发送已登记通知副本的义务
Article 3 of the draft Registry Act: Grantor’s authorization for registration188. 委员会回顾其早先就采取规定行动的时限所作的决定(见上文第175段),商定《登记处法规》草案第14条第1款应当提及“不加延迟地”。
It was agreed that article 3 of the draft Registry Act should be revised so that: (a) paragraphs 1, 2 and 3 would provide that the registration of a notice would be ineffective unless authorized by the grantor; (b) subparagraph 2(a) would refer to the security agreement or another agreement with the grantor identified in the registered notice; and (c) subparagraph 2(b) should be deleted, since the matter was sufficiently addressed in paragraph 3, according to which in the case of the addition of a new grantor, the amendment notice should be authorized by the new grantor (and not permit the existing grantor to prevent the addition of a new grantor).还商定,应当在第14条草案中添加第三款放在方括号内,其内容将大致类似于《担保交易指南》的建议55(c)项,以处理有担保债权人未向通知中指明为设保人的人发送已登记通知副本的赔偿责任限制问题。
It was also agreed that the Guide to Enactment should clarify that paragraph 3 did not apply to a situation where there was no new grantor but rather a change of the name of the grantor.在作出这些修改的前提下,委员会核准了《登记处法规》草案第14条的实质内容(另见下文第198段)。
Subject to those changes, the Committee approved the substance of article 3 of the draft Registry Act. Article 4 of the draft Registry Act: Public access conditions189. 会议还商定,拟订一新条款放入《登记处法规》草案,规定:根据通知中指明为设保人的人的请求,登记处应当提供关于登记人身份的信息。
It was agreed that article 4 of the draft Registry Act should be revised so that: (a) a second paragraph would be inserted to refer to the security procedures for a person to obtain access to the registry services (and thus the risk of the registration of amendment and cancellation notices not authorized by the secured creditor would be minimized; see article 20 of the draft Registry Act); and (b) paragraph 3 would refer to the obligation of the Registry to communicate the reason for refusing access “without delay”.委员会就此指出,根据《登记处法规》草案第4条第1款(b)项,登记人应当表明其身份,根据《登记处法规》草案第6条第1款,登记处应当保持关于登记人身份的信息。
It was also agreed that the Guide to Enactment should clarify that: (a) the term “notice form” included both a paper and an electronic form (or screen); (b) any security procedures (or other policy matter) should be prescribed by the Registry only if the Registry was a governmental authority, and, otherwise, by the governmental authority supervising the Registry (see article 26 of the draft Registry Act).《登记处法规》草案第15条:对修订通知或取消通知的登记权
Subject to those changes, the Committee approved the substance of article 4 of the draft Registry Act. Article 5 of the draft Registry Act: Rejection of the registration of a notice or a search request It was agreed that paragraph 3 of article 5 of the draft Registry Act should be revised to refer to the obligation of the Registry to communicate the reason for the rejection of a notice or search request “without delay”.190. 会议商定,审查《登记处法规》草案各条款(例如,经修订的第7条(b)项、第9条第1款(见上文第180段)以及第15条第1款)所使用的术语(即“有担保债权人或其代理人”和“通知中指明为有担保债权人的人”),以确保明确性和一致性。
Subject to that change, the Committee approved the substance of article 5 of the draft Registry Act. Article 6 of the draft Registry Act: No verification of information in a notice by the Registry委员会就此回顾了《登记处指南》对术语的使用(见《登记处指南》,第8和9段),以及下述事实:在有些条款中需要提及通知中指明为有担保债权人的人,因为登记处无法知悉究竟谁是事实上的有担保债权人。
It was agreed that article 6 of the draft Registry Act should be revised so that: (a) the bracketed text in paragraph 1 would be deleted as unnecessary; and (b) a third paragraph should be inserted to provide that, except as provided in article 5 of the draft Registry Act, the Registry was not entitled to reject or conduct any scrutiny of the content of a search request.会上还建议,为了明确区分谁有权对修订通知或取消通知办理登记(在《登记处法规》草案第15条中述及)和未获有担保债权人授权的修订通知或取消通知的问题(在《登记处法规》草案第20条中述及),应对第2款作内容大致如下的修订:“在初始通知中指明为有担保债权人的人对变更有担保债权人的修订通知办理登记之时,只有在修订通知中指明为有担保债权人的人方可对修订通知或取消通知办理登记”。
Subject to those changes, the Committee approved the substance of article 6 of the draft Registry Act. Article 7 of the draft Registry Act: Information required in an initial notice还商定,《颁布指南》应讨论《登记处法规》草案第15条(该条规定通知中指明为有担保债权人的人有权对修订通知或取消通知办理登记)和第3条第5款(该条规定可在登记前或登记后提供通知所要求的任何授权)。 在作出这些修改的前提下,委员会核准了《登记处法规》草案第15条的实质内容。 《登记处法规》草案第16条:修订通知中所需要的信息
It was agreed that the words “permit or” in subparagraph (a) of article 7 of the draft Registry Act should be deleted, since the article dealt with information “required” in an initial notice.191. 委员会核准了《登记处法规》草案第16条的实质内容,未作修改。 《登记处法规》草案第17条:对有担保债权人信息的全面修订
It was also agreed that the Guide to Enactment should clarify that: (a) the additional information referred to in subparagraph (a) would not be part of the grantor identifier; (b) some States used additional information (e.g. unique ID numbers) as grantor identifiers; and (c) a notice might relate to more than one grantor or secured creditor and the required information should be entered separately for each grantor or secured creditor.192. 虽然对《登记处法规》草案第17条是否涉及登记处基本设施表示了一些疑问,但一致认为该条还是有益处的,应予保留(备选案文A以及备选案文B第三稿)。
Subject to those changes, the Committee approved the substance of article 7 of the draft Registry Act. Article 8 of the draft Registry Act: Grantor identifier此外,还一致认为,两个备选案文应当澄清,在有担保债权人的名称(和(或)地址)发生变更以及转让附担保义务的情况下,这两个备选案文适用。
It was agreed that article 8 of the draft Registry Act should be revised so that: (a) its structure would be aligned more closely with the structure of recommendation 24 of the Registry Guide; (b) the wording of the chapeau of paragraph 1 would be aligned with paragraph 2 to state that “where the grantor is a natural person, the grantor identifier is”; and (c) subparagraph 1 (c) would state more clearly that it referred to the grantor’s “legal name” that might not be reflected in any official document.还商定,《颁布指南》应当作如下解释:(a)备选案文A可以在完全电子化登记处系统中适用,而备选案文B可以在允许登记纸质通知的登记处系统中适用;(b)在第4条中引入特别进入程序将减少擅自全面修订的风险;(c)登记处将需要整理登记处记录,以便于全面修订,特别是如果有担保债权人的标识不是根据《登记处法规》草案第21条可以公开查到的查询标准的话。
It was also agreed that the Guide to Enactment should: (a) mention examples of official documents and the hierarchy among them (see the Registry Guide, paras. 163-168); and (b) draw the attention of enacting States to the need to deal with identifiers of foreign grantors (see the Registry Guide, para.在作出这些修改的前提下,委员会核准了《登记处法规》草案第17条的实质内容。
169).《登记处法规》草案第18条:取消通知中所需要的信息
Subject to those changes, the Committee approved the substance of article 8 of the draft Registry Act.193. 委员会核准了《登记处法规》草案第18条的实质内容,未作修改。
Article 9 of the draft Registry Act: Secured creditor identifier《登记处法规》草案第19条:对修订通知或取消通知的强制性登记
It was agreed that article 9 of the draft Registry Act should be revised so that reference would be made to the possibility that the secured creditor identifier might be the name of the secured creditor or its representative.194. 会议商定,《登记处法规》草案第19条第1款应当调整,以首先述及对修订通知进行登记的条件,然后述及对取消通知进行登记的条件,此外,还商定,第1款(b)项中应当提及第3条下修订通知所需要的设保人的任何授权。
It was also agreed that the Guide to Enactment should explain the meaning of the term “representative” and that, as registration did not create the security right, the representative was not the actual holder of the security right.还商定,第2和第4款下任何费用的缴纳不应给修订通知或取消通知的登记造成任何障碍。 还商定,第6款应当删除,因其含义不清,且涉及一般由民事诉讼程序法处理的事项。
Subject to those changes, the Committee approved the substance of article 9 of the draft Registry Act. Article 10 of the draft Registry Act: Description of encumbered assets195. 会议还商定,《颁布指南》应当作如下解释:在第19条中:(a)有担保债权人在了解到第1款中规定的任何条件已经得到满足之后负有在合理期限内为修订通知或取消通知办理登记的独立义务;(b)对于违反第19条中规定的义务所承担的赔偿责任,由颁布国关于违反法定义务赔偿责任的法律来处理;(c)如果有担保债权人未遵守其义务,设保人有权寻求通过简易司法程序或行政程序对修订通知或取消通知进行登记。
It was agreed that article 10 of the draft Registry Act should be revised to reflect the rules stated therein more clearly.还商定,《颁布指南》可以请颁布国来确定哪些法院或其他当局对审议根据《登记处法规》第19条及其他规定提出的请求拥有管辖权。
It was also agreed that the Guide to Enactment should clarify that: (a) the description in the notice did not need to be identical to that in the security agreement; (b) to the extent that the description in the notice exceeded the description in the security agreement, the notice would not make effective against third parties a security right in such assets; (c) reference to an asset in a registered notice would not imply or represent that the grantor presently or in the future would have rights in the asset; and (d) a description by quantity or computational formula would meet the standard indicated in article 10.196. 在作出上述修改的前提下,委员会核准了《登记处法规》草案第19条的实质内容。 《登记处法规》草案第20条:未获有担保债权人授权的修订通知或取消通知
Subject to those changes, the Committee approved the substance of article 10 of the draft Registry Act.197. 会议商定,《登记处法规》草案第20条的所有四个备选案文均应保留。
Article 11 of the draft Registry Act: Language of information in a notice还商定,《颁布指南》应当论及每一种备选案文所提供的不同政策选择以及登记处制度的设计对选择其中一种方法的影响。
It was agreed that article 11 should be revised to state that all information contained in a notice, except the names and addresses of the grantor and the secured creditor, ought to be expressed in the language to be specified by the enacting State.在作出这些修改的前提下,委员会核准了《登记处法规》草案第20条的实质内容。
However, differing views were expressed as to the legal consequence of a failure of the registrant to express that information in the language to be specified by the enacting State.198. 在第20条的讨论过程中提出,《登记处法规》草案第14条可能有必要澄清,登记处有义务向通知中被指认为有担保债权人的人发出任何通知,包括修订通知和取消通知。 还提出,第14条在《登记处法规》草案中的位置可能也需要加以审查,以避免造成第14条仅适用于初始通知的印象。 《登记处法规》草案第21条:查询标准
One view was that, in such a case, the notice should be ineffective.199. 委员会核准了《登记处法规》草案第21条的实质内容,未作修改。 《登记处法规》草案第22条:查询结果
Another view was that the notice should not be ineffective unless the failure of the registrant to comply would seriously mislead a reasonable searcher (the test in art. 23, para.200. 会上认为,《登记处法规》草案第22条应当只处理登记处根据请求提供查询结果的义务。
2, of the draft Registry Act).会上指出,查询结果是否应当载述与查询标准完全匹配或近似匹配的信息的问题是一个应当留待各颁布国解决的技术问题。
In that connection, it was stated that, if the description of an encumbered asset was not in the language specified by the enacting State, the notice should not be ineffective with respect to other encumbered assets, the description of which was in the appropriate language (a rule along the lines of art. 23, para.但普遍观点认为,第22条应当处理这两个问题并就此向各国提供指导。
4, of the draft Registry Act). After discussion, the Committee requested the Secretariat to prepare options to reflect the various views expressed.会上还认为,只有备选案文A(涉及完全匹配)应当保留在第22条,而备选案文B(涉及近似匹配)应当留待颁布国处理并在《颁布指南》中加以讨论。 会上指出,这种做法与《登记处法规》草案第23条第1款相一致,该款预先假设登记处系统的设计是为了只检索与查询标准完全匹配的信息。
With respect to the character set in which information in a notice should be expressed, it was agreed that it should be the character set specified and publicized by the Registry.虽然普遍认为第22条应当同时涉及完全匹配和近似匹配,但关于第23条第1款确切含义的讨论推迟到有机会讨论第23条之后进行(见下文第202段)。
In that connection, it was agreed that the Guide to Enactment should clarify that: (a) if the information in a notice was not expressed in the character set specified and publicized by the Registry, the information in the notice would not be legible for the Registry and thus the notice would be rejected under article 5, subparagraph 1 (b); and (b) if the Registry was not a governmental authority, the character set should be specified, publicized and modified only by the governmental authority supervising the Registry.201. 经过讨论,会议商定,备选案文B对“近似”匹配的提法不明确,应当参照“拟由颁布国指明的标准或方法”加以澄清。
Subject to the above-mentioned changes, the Committee approved the substance of article 11 of the draft Registry Act.还商定,应对第3款大致修改如下:“声称由登记处颁发的书面查询结果,在无相反证据的情况下,是其内容的证据”。
Article 12 of the draft Registry Act: Time of effectiveness of the registration of a notice而且,会议还商定,《颁布指南》应对备选案文A的完全匹配做法和备选案文B的近似匹配做法加以解释,并且还应参照《登记处指南》有关这些事项的讨论(见《登记处指南》第205、206、268-271段)讨论其利弊。
It was agreed that article 12 of the draft Registry Act should be revised so that: (a) the material relating to initial or amendment notices would be grouped together and the material relating to cancellation notices would also be grouped together; (b) paragraph 2 would be aligned more closely with recommendation 11, subparagraph (c), of the Registry Guide; (c) paragraph 4 would refer to the words “without delay” (see para.在作出这些修改的前提下,委员会核准了《登记处法规》草案第22条的实质内容。 《登记处法规》草案第23条:登记人在所需信息上的差错 202. 会上就《登记处法规》草案第23条第1款是否适用于设有完全匹配或近似匹配查询程序的登记处系统发表了不同看法。
175 above); and (d) paragraph 5 would refer to the obligation of the Registry to “record” the date and time of the registration of a notice and to make it available upon request.一种看法认为,第1款所依据的前提是登记处系统将设有完全匹配查询程序。
Subject to those changes, the Committee approved the substance of article 12 of the draft Registry Act.因此,会上指出,摘要中看似微不足道的一个差错,仍有可能意味着,如果该差错造成查询人将设保人正确的身份标识用作查询标准进行查询而无法检索到登记处记录中的信息,该登记即为无效。
Article 13 of the draft Registry Act: Period of effectiveness of the registration of a notice还指出,为了处理近似匹配做法,应在《登记处法规》草案第23条中插入一则内容大致如下的新条文:“通知是作为近似匹配通过查询登记处记录检索到的,该通知中设保人标识的输入错误不导致通知的登记无效,除非该差错将严重误导合理查询人”。
It was agreed that article 13 of the draft Registry Act should be revised so that: (a) paragraph 1 in all options would refer to the initial notice; and (b) a fourth paragraph would be added to all options to state explicitly what was implicit but unstated, namely that the period of effectiveness might be extended more than once.203. 另一种意见是,实际上第1款只在采用近似匹配查询程序的情况下适用。
Subject to those changes, the Committee approved the substance of article 13 of the draft Registry Act.因此指出,在登记处的查询程序下,如果通知是使用正确标识查询作为近似匹配检索到的,该通知所提供的设保人标识中的小差错不造成该通知无效。
Article 14 of the draft Registry Act: Obligation to send a copy of a registered notice还指出,现代登记处查询程序的设计一般不会使得与查询标准近似匹配的通知的检索清单过长。
Recalling its earlier decision as to the time within which a prescribed action should be taken (see para.还指出,任何情况下都应将近似匹配程序公布于众,以便查询人知道如何进行查询。
175 above), the Committee agreed that in paragraph 1 of article 14 of the draft Registry Act reference should be made to the words “without delay”.还提到,在完全匹配制度中,没有必要采用目前第1款所载检验标准或规则,因为如果设保人标识有任何差错,则使用正确标识查询的查询人就检索不到该通知。
It was also agreed that a third paragraph should be added within square brackets to article 14 that would read along the lines of recommendation 55, subparagraph (c), of the Secured Transactions Guide to deal with the limitation of the liability of a secured creditor for failure to send a copy of the registered notice to the person identified in the notice as the grantor.经过讨论,委员会商定,在《登记处法规》草案第23条中插入一个大意如上文所述(见第202段)的新条文并将其置于方括号内,以便进一步审议这一事项。
Subject to those changes, the Committee approved the substance of article 14 of the draft Registry Act (see further para.204. 对于是否应当保留第2款,会上表达了不同看法。
198 below).一种看法是应当删除第2款。
It was also agreed that a new article should be inserted into the draft Registry Act to provide that, upon request by the person identified in the notice as the grantor, the Registry ought to provide information with respect to the identity of the registrant.会上指出,《登记处法规》草案第10条的规定是充分的:通知未以便于合理辨认方式描述设保资产的无效。
In that connection, the Committee noted that, under article 4, subparagraph 1 (b), of the draft Registry Act, a registrant ought to identify itself, and, under article 6, paragraph 1, of the draft Registry Act, the Registry ought to maintain information about the registrant’s identity.还指出,对于设保人地址中的任何差错,应在第1款而非第2款中处理。
Article 15 of the draft Registry Act: Right to register an amendment or cancellation notice但普遍看法是应当保留第2款。
It was agreed that the terminology (i.e.会上指出,第2款意在处理这样的情形:虽然对设保资产的描述是充分的,但还是出现了可能使通知无效的小差错。
“secured creditor or its representative” and “the person identified in the notice as the secured creditor”) used in various articles of the draft Registry Act, such as article 7, subparagraph (b), article 9, paragraph 1, as revised (see para.还指出,对于设保人地址的差错,适用标准应当是第2款中的标准,而非第1款中列作设保人标识差错的同样标准,这是因为,设保人地址与设保人标识不同,并不是一种查询标准。
180 above) and article 15, paragraph 1, should be reviewed to ensure clarity and consistency.经过讨论,委员会商定,保留第2款。
In that connection, the Committee recalled the use of terminology in the Registry Guide (see the Registry Guide, paras. 8 and 9) and the fact that reference needed to be made in some articles to the person identified in the notice as the secured creditor, since the Registry could not know who the actual secured creditor was.还商定,《颁布指南》应当讨论《登记处法规》草案第10条与第23条的关系。
It was also suggested that, to draw a clear distinction between the issue of who had the right to register an amendment or cancellation notice (addressed in article 15 of the draft Registry Act) from the issue of amendment or cancellation notices that were unauthorized by the secured creditor (addressed in article 20 of the draft Registry Act), paragraph 2 should be revised to read along the following lines: “Upon registration of an amendment notice by the person identified in the initial notice as the secured creditor changing the secured creditor, only the person identified in the amendment notice as the secured creditor may register an amendment or cancellation notice”.205. 至于第1至第4款的顺序,会议商定,处理设保人标识差错的第3款应当接第1款,而处理设保资产描述差错的第4款应当接第2款。
It was also agreed that the Guide to Enactment should discuss the relationship between article 15 (which stated the rule that the person identified in a notice as the secured creditor had the right to register an amendment or cancellation notice) and article 3, paragraph 5, of the draft Registry Act (which stated that any authorization required for a notice could be given before or after registration).206. 对于是否保留第5款有不同看法。
Subject to those changes, the Committee approved the substance of article 15 of the draft Registry Act.一种看法是应当删除第5款。
Article 16 of the draft Registry Act: Information required in an amendment notice会上指出,该款提到的主观标准可能造成循环优先权问题(A优先于B,B优先于C,C优先于A)。
The Committee approved the substance of article 16 of the draft Registry Act unchanged.还指出,如果予以保留,为避免出现该问题,第5款应当列入一条大致如第2款中的标准的客观标准。
Article 17 of the draft Registry Act: Global amendment of secured creditor information但普遍看法是应当保留第5款。
While some doubt was expressed as to whether article 17 of the draft Registry Act dealt with an essential registry facility, it was agreed that it was useful and should be retained (option A and the third version of option B).会上指出,也许如果添加了“合理”依赖的字样,第5款对于政策理由(不合理地依赖通知的人不应受到保护)和现实理由(要证明所指称的依赖不合理可能并不太难)而言将是适当的。
In addition, it was agreed that both options should clarify that they applied in the case of a change in the name (and/or address) of the secured creditor and an assignment of the secured obligation.经过讨论,委员会商定保留第5款,去掉方括号。
Moreover, it was agreed that the Guide to Enactment should explain that: (a) option A could apply in the case of a fully electronic registry system, while option B could apply in the case of a registry system that would permit the registration of paper notices; (b) the introduction of special access procedures in article 4 would reduce the risk of unauthorized global amendments; and (c) the Registry would need to organize the registry record so as to facilitate global amendments, in particular as the secured creditor identifier was not a publicly available search criterion under article 21 of the draft Registry Act.207. 在作出上述修改的前提下,委员会核准了《登记处法规》草案第23条的实质内容。
Subject to those changes, the Committee approved the substance of article 17 of the draft Registry Act.《登记处法规》草案第24条:设保人标识在登记后变更
Article 18 of the draft Registry Act: Information required in a cancellation notice208. 会上建议,将《登记处法规》草案第24条和第25条移至第三方效力或优先权一章,因为它们处理的是第三方效力和优先权问题。
The Committee approved the substance of article 18 of the draft Registry Act unchanged.该建议遭到反对。
Article 19 of the draft Registry Act: Compulsory registration of an amendment or cancellation notice会上指出,这些问题与登记处制度有关,在《登记处法规》中处理这些事项更合逻辑,更有透明度。
It was agreed that paragraph 1 of article 19 of the draft Registry Act should be reorganized to deal first with the conditions for the registration of an amendment notice and then with the conditions for the registration of a cancellation notice.还指出,颁布国首先必须决定是将《登记处法规》的规定纳入本国的担保交易法、另一部法律或法令还是其组合中。
In addition, it was agreed that, in subparagraph 1 (b), reference should be made to any authorization by the grantor required for an amendment notice under article 3.还商定,修改《登记处法规》草案第24条,处理有担保债权人未能登记修改通知的问题。
Moreover, it was agreed that the payment of any fees under paragraphs 2 and 4 should not create any obstacle to the registration of an amendment or cancellation notice.在作出一些措词修改的前提下,委员会核准了《登记处法规》草案第24条的实质内容。
It was also agreed that paragraph 6 should be deleted, since it was ambiguous and dealt with a matter typically addressed in civil procedure law.《登记处法规》草案第25条:设保资产在登记后转让
It was also agreed that the Guide to Enactment should explain that, under article 19: (a) the secured creditor had an independent obligation to register an amendment or cancellation notice within a reasonable period of time after it became aware that any of the conditions in paragraph 1 were met; (b) liability for violations of the obligations provided for in article 19 was left to the law of the enacting State on liability for violations of statutory obligations; and (c) if the secured creditor did not comply with its obligation, the grantor had a right to seek the registration of an amendment or cancellation notice through a summary judicial or administrative procedure.209. 会议商定,目前来看,《登记处法规》草案第25条的所有备选案文都应当保留。
It was also agreed that the Guide to Enactment could invite enacting States to identify the court or other authority that would have jurisdiction to consider a request under article 19 and other provisions of the Registry Act.还商定,备选案文A和B应当加以修改,以述及相继转让设保资产的情形,并明确规定这些备选案文仅适用于转让设保资产而被转让人不是在无担保权的情况下取得权利这种情形。
Subject to the above-mentioned changes, the Committee approved the substance of article 19 of the draft Registry Act.此外还商定,《登记处法规》草案第25条与示范法草案第42条的关系应当进一步澄清。
Article 20 of the draft Registry Act: Amendment or cancellation notices not authorized by the secured creditor还商定,为了使《登记处法规》草案第25条适用于被当作新设保人的设保资产的被转让人,《登记处法规》草案第2条中“设保人”定义需要加以修订,以包括设保资产的被转让人。
It was agreed that all four options of article 20 of the draft Registry Act should be retained.在作出这些修改的前提下,委员会核准了《登记处法规》草案第25条的实质内容。
In addition, it was agreed that the Guide to Enactment should discuss the different policy choices offered by each option and the impact of the design of the registry system on the choice of an option.《登记处法规》草案第26条:任命登记官
Subject to those changes, the Committee approved the substance of article 20 of the draft Registry Act.210. 委员会核准了《登记处法规》草案第26条的实质内容,未作修改。
In the discussion of article 20, it was suggested that article 14 of the draft Registry Act might need to clarify that the Registry was obliged to send to the person identified in the notice as the secured creditor any notice, including amendment and cancellation notices.《登记处法规》草案第27条:已登记通知中信息的编排
It was also suggested that the placement of article 14 in the draft Registry Act might need to be reviewed to avoid giving the impression that article 14 applied only to initial notices.211. 会议商定,调整《登记处法规》草案第27条第1款,使之更贴近《登记处指南》第15段。
Article 21 of the draft Registry Act: Search criteria此外还商定,修订第2款,以处理近似匹配查询标准的通知的检索问题以及全面修正通知问题。
The Committee approved the substance of article 21 of the draft Registry Act unchanged.还商定,第3款方括号内的案文应当加以澄清,去掉方括号后保留。
Article 22 of the draft Registry Act: Search results在作出这些修改的前提下,委员会核准了《登记处法规》草案第27条的实质内容。
The view was expressed that article 22 of the draft Registry Act should deal only with the obligation of the Registry to provide a search result upon request.《登记处法规》草案第28条:登记处记录中信息的完整性
It was stated that the question of whether the search result should set forth information matching the search criterion exactly or closely was a technical question that should be left to each enacting State.212. 会议商定,修订《登记处法规》草案第28条第2款,规定登记处对保持登记处记录并在发生丢失时重建记录负有直接义务。
The prevailing view, however, was that article 22 should deal with, and provide guidance to States with respect to, both issues.还商定,《颁布指南》应当避免提及为保持并重建记录而使用的任何特定技术手段。
The view was also expressed that only option A (dealing with exact matches) should be retained in article 22, while option B (dealing with close matches) should be left to the enacting State and discussed in the Guide to Enactment.在作出这些修改的前提下,委员会核准了《登记处法规》草案第28条的实质内容。
It was stated that such an approach would be consistent with article 23, paragraph 1, of the draft Registry Act, which presupposed that the registry system would be designed to retrieve only information that matched the search criterion exactly.《登记处法规》草案第29条:从公共登记处记录和档案中删除信息
While the prevailing view was that article 22 should cover both exact and close matches, the discussion of the exact meaning of article 23, paragraph 1, was deferred until it had the opportunity to discuss article 23 (see para.213. 会议商定,在《登记处法规》草案第29条第1款中加入第二个备选案文,以兼顾第20条备选案文C和D中采取的“开放式抽屉做法”(即不能从公共登记处记录中删除信息)。
202 below).还商定,《颁布指南》应当解释各种选择办法。
After discussion, it was agreed that the reference to “close” matches in option B was not clear and should be clarified by reference to “criteria or a method to be specified by the enacting State”.在作出这些修改的前提下,委员会核准了《登记处法规》草案第29条的实质内容。
In addition, it was agreed that paragraph 3 should be revised to read along the following lines: “A written search result that purports to have been issued by the Registry is proof of its contents in the absence of evidence to the contrary”.2. 通过全体委员会报告
Moreover, it was agreed that the Guide to Enactment should explain the exact-match approach of option A and the close-match approach of option B, and discuss their advantages and disadvantages, referring also to the discussion of those matters in the Registry Guide (see the Registry Guide, paras. 205, 206 and 268-271).214. 在2015年7月16日第1023次会议上,委员会通过了全体委员会报告,一致认为该报告应当构成本报告的一部分(见上文B.1节)。
Subject to those changes, the Committee approved the substance of article 22 of the draft Registry Act.在审议示范法草案第四章(登记制度)第26条以及《登记处法规》草案第1至29条后,委员会决定核准其实质内容。
Article 23 of the draft Registry Act: Registrant errors in required informationC. 今后在担保权益领域可能开展的工作
Diverging views were expressed as to whether paragraph 1 of article 23 of the draft Registry Act applied to registry systems with an exact-match or a close-match search programme.215. 委员会回顾,工作组在其第二十七届会议上建议委员会拟订《颁布指南》(A/CN.9/836,第121段;见上文第167段)。
One view was that paragraph 1 was based on the premise that the registry system would have an exact-match search programme.在这方面,委员会注意到,在拟订示范法草案时,工作组铭记,若能提供背景材料和解释性材料,协助各国考虑使用示范法颁布立法,则示范法将成为各国更新其立法的一个更有效的工具。
As a result, it was stated, an error that might seem minor or trivial in the abstract might nonetheless mean that the registration would not be effective if the error would cause the information in the registry record not to be retrieved by a searcher using the grantor’s correct identifier as the search criterion.此外,委员会还注意到,工作组在拟订示范法草案时即已假设示范法将随附这类指南,并要求将若干事项放在该指南中加以澄清。
It was also suggested that, to address the close-match approach, a new provision should be inserted in article 23 of the draft Registry Act along the following lines: “An error in the grantor identifier entered in the notice does not render the registration of the notice ineffective, if the notice would be retrieved as a close match by a search of the registry record, unless the error would seriously mislead a reasonable searcher”.216. 委员会一致认为应当拟订《颁布指南》,并责成工作组完成这一任务。
Another view was that paragraph 1 could practically apply only in the case of a close-match search programme.此外,委员会一致认为,《颁布指南》:(a)应当尽量简短;(b)比照《担保交易指南》以及委员会关于担保交易的其他法规;(c)侧重于为立法者而不是为该文书使用者提供指导意见;(d)解释示范法每一条文或章节的侧重点,以及与《担保交易指南》的相应建议或者贸易法委员会其他关于担保交易法规的条文的任何区别;(e)就留给各国处理的事项向各国提供指导意见,特别就示范法各条款中提出的每项备选案文作出解释,以协助颁布国从中选出一项。
Thus, it was stated, a minor error in the grantor’s identifier as provided in the notice would not render the notice ineffective if, under the registry’s search programme, the notice would be retrieved as a close match on a search using the correct identifier.另外,委员会一致认为,虽然工作组必须将《颁布指南》与示范法草案放在一起审议,以确保两个案文的一致性,但这种审议不必像示范法草案的审议那样详细。
In addition, it was observed that modern registry search programmes were so designed as to typically result in not too long lists of notices matching the search criterion closely.最后,委员会请工作组加快工作进度,以便将示范法草案提交委员会2016年第四十九届会议最后审定并通过。
Moreover, it was pointed out that, in any case, a close-match search programme should be publicized so that searchers would know how to conduct a search.217. 委员还指出,委员会第四十三届会议在其今后工作方案中提出将拟订一部关于担保交易的合同指南和一部关于发放知识产权许可的统一法规案文。
It was also mentioned that, in an exact-match system, there would be no need to introduce a test or a rule as currently stated in paragraph 1, since, if any error was made in the grantor’s identifier, the notice would not be retrieved by a searcher using the correct grantor identifier. After discussion, the Committee agreed that a new provision along the lines mentioned above (see para. 202 above) should be inserted within square brackets in article 23 of the draft Registry Act for further consideration of the matter. Diverging views were expressed as to whether paragraph 2 should be retained. One view was that paragraph 2 should be deleted. It was stated that article 10 of the draft Registry Act was sufficient in providing that, if the encumbered assets were not described in the notice in a manner that would reasonably allow their identification, the notice would be ineffective. It was also observed that an error in the address of the grantor should be addressed in paragraph 1, and not in paragraph 2. The prevailing view, however, was that paragraph 2 should be retained. It was stated that paragraph 2 was intended to address situations in which, while the description of the encumbered assets was sufficient, an error was made that could render the notice ineffective. It was also noted that an error in the address of the grantor should be subject to the test in paragraph 2 and not to the same test as an error in the grantor identifier in paragraph 1, because, unlike the grantor identifier, the address of the grantor was not a search criterion. After discussion, the Committee agreed that paragraph 2 should be retained. It was also agreed that the Guide to Enactment should discuss the relationship of articles 10 and 23 of the draft Registry Act. As to the order of paragraphs 1 to 4, it was agreed that paragraph 3, which dealt with an error in the grantor identifier, should follow paragraph 1, while paragraph 4, which dealt with an error in the description of the encumbered assets, should follow paragraph 2. Diverging views were expressed as to whether paragraph 5 should be retained. One view was that paragraph 5 should be deleted. It was stated that the subjective test it referred to could create circular priority problems (A had priority over B, B had priority over C, C had priority over A). It was also observed that, if retained, to avoid that problem, paragraph 5 should include an objective test along the lines of the test in paragraph 2. The prevailing view, however, was that paragraph 5 should be retained. It was stated that, perhaps with the addition of a reference to “reasonable” reliance, paragraph 5 would be appropriate for policy reasons (those who unreasonably relied on the notice should not be protected) and practical reasons (it might not be too difficult to demonstrate that any alleged reliance was not reasonable). After discussion, the Committee agreed that paragraph 5 should be retained outside square brackets. Subject to the above-mentioned changes, the Committee approved the substance of article 23 of the draft Registry Act. Article 24 of the draft Registry Act: Post-registration change of grantor’s identifier The suggestion was made that articles 24 and 25 of the draft Registry Act should be moved to the third-party effectiveness or the priority chapter, as they dealt with third-party effectiveness and priority issues. That suggestion was objected to. It was stated that those issues related to the registry system and it would be more logical and transparent to deal with those matters in the Registry Act. It was also pointed out that the enacting State would, in any case, have to decide whether to include the provisions of the Registry Act in their secured transactions law, another law or decree, or a combination thereof. It was also agreed that article 24 of the draft Registry Act should be revised to address the impact of the secured creditor’s failure to register an amendment notice. Subject to some drafting changes, the Committee approved the substance of article 24 of the draft Registry Act. Article 25 of the draft Registry Act: Post-registration transfer of an encumbered asset It was agreed that, for the time being, all options should be retained in article 25 of the draft Registry Act and discussed in the Guide to Enactment. In addition, it was agreed that options A and B should be revised to address successive transfers of an encumbered asset and to clarify that they applied only to transfers of an encumbered asset in which the transferee did not acquire its rights free of the security right. Moreover, it was agreed that the relationship between article 25 of the draft Registry Act and article 42 of the draft Model Law should be further clarified. It was also agreed that, for article 25 of the draft Registry Act to apply to a transferee of an encumbered asset that would be treated as a new grantor, the definition of “grantor” in article 2 of the draft Model Law would need to be revised to include a transferee of an encumbered asset. Subject to those changes, the Committee approved the substance of article 25 of the draft Registry Act. Article 26 of the draft Registry Act: Appointment of the registrar The Committee approved the substance of article 26 of the draft Registry Act unchanged. Article 27 of the draft Registry Act: Organization of information in registered notices It was agreed that paragraph 1 of article 27 of the draft Registry Act should be aligned more closely with recommendation 15 of the Registry Guide. In addition, it was agreed that paragraph 2 should be revised to deal with the retrieval of notices that matched closely the search criterion and with global amendment notices. Moreover, it was agreed that the bracketed text in paragraph 3 should be clarified and retained outside square brackets. Subject to those changes, the Committee approved the substance of article 27 of the draft Registry Act. Article 28 of the draft Registry Act: Integrity of information in the registry record It was agreed that paragraph 2 of draft article 28 of the draft Registry Act should be revised to provide for a direct obligation of the Registry to preserve the registry record and to reconstruct it in the event of loss. It was also agreed that the Guide to Enactment should avoid referring to any particular technique used with respect to the preservation and reconstruction of records. Subject to those changes, the Committee approved the substance of article 28 of the draft Registry Act. Article 29 of the draft Registry Act: Removal of information from the public registry record and archival It was agreed that a second option should be inserted in paragraph 1 of article 29 of the draft Registry Act to accommodate the “open-drawer approach” (in which no information would be removed from the public registry record) taken in options C and D of article 20. It was also agreed that the Guide to Enactment should explain the various options. Subject to those changes, the Committee approved the substance of article 29 of the draft Registry Act. 2. Adoption of the report of the Committee of the Whole At its 1023rd meeting, on 16 July 2015, the Commission adopted the report of the Committee of the Whole and agreed that it should form part of the present report (see section B.1 above). After considering article 26 of chapter IV (on the registry system) of the draft Model Law and articles 1 to 29 of the draft Registry Act, the Commission decided to approve their substance. C. Possible future work in the area of security interests The Commission recalled that, at its twenty-seventh session, Working Group VI had recommended to the Commission the preparation of the Guide to Enactment (A/CN.9/836, para. 121; see para. 167 above). In that connection, the Commission noted that, the Working Group, in preparing the draft Model Law, was mindful of the fact that the model law would be a more effective tool for States modernizing their legislation if background and explanatory information were provided to assist States in considering the model law for enactment. In addition, the Commission noted that, in the preparation of the draft Model Law, the Working Group had assumed that the model law would be accompanied by such a guide and referred a number of matters for clarification in that guide. The Commission agreed that the Guide to Enactment should be prepared and referred that task to the Working Group. In addition, the Commission agreed that the Guide to Enactment: (a) should be as short as possible; (b) include cross-references to the Secured Transactions Guide and the other texts of the Commission on secured transactions; (c) focus on giving guidance to legislators rather than users of the text; (d) explain the thrust of each provision or section of the model law and any difference with the corresponding recommendations of the Secured Transactions Guide or the provisions of another UNCITRAL text on secured transactions; (e) give guidance to States with respect to matters referred to them and in particular explain each option offered in various articles of the model law to assist enacting States in choosing one of the options offered. Moreover, the Commission agreed that, while the Guide to Enactment would have to be considered by the Working Group together with the draft Model Law to ensure consistency between the two texts, that consideration did not need to be as detailed as the consideration of the draft Model Law. Finally, the Commission requested the Working Group to expedite its work so as to submit the draft Model Law to the Commission for final consideration and adoption at its forty-ninth session in 2016. The Commission also noted that, at its forty-third session, it had placed on its future work programme the preparation of a contractual guide on secured transactions and a uniform law text on intellectual property licensing. After discussion, the Commission decided that those matters should be retained on its future work programme and considered at a future session on the basis of notes to be prepared by the Secretariat, after a colloquium or expert group meeting, to be held within existing resources.经过讨论,委员会决定,这些事项应当放在其今后工作方案中保留,并将在今后一届会议上根据秘书处在利用现有资源举办一次专题讨论会或专家组会议之后编写的说明对这些事项进行审议。
Ibid. Sixty-fifth Session, Supplement No. 17 (A/65/17), paras. 264 and 273.同上,《第六十五届会议,补编第17号》(A/65/17),第264和273段。
D. Coordination and cooperation in the area of security interestsD. 担保权益领域的协调与合作
The Commission took note with appreciation of the report of the Secretariat about the progress achieved in: (a) the revision of the World Bank Insolvency and Creditor Rights Standard to take into account the key recommendations of the Secured Transactions Guide; (b) the coordination efforts with the European Commission with a view to ensuring a coordinated approach to the law applicable to the third-party effects of assignments of receivables, taking into account the approach followed in the Assignment Convention, the Secured Transactions Guide and the draft Model Law; (c) the coordination efforts with Unidroit with respect to a fourth Protocol to the Convention on International Interests in Mobile Equipment on matters specific to agricultural, construction and mining equipment; and (d) the coordination efforts with the International Finance Corporation and the Organization of American States in providing technical assistance and assistance with respect to local capacity-building in the area of security interests.218. 委员会赞赏地注意到秘书处将就下列方面取得的进展所作的报告:(a)修订《世界银行破产和债权人权利标准》,以便考虑到《担保交易指南》的关键建议;(b)与欧盟委员会的协调工作,以确保就应收款转让第三方效力准据法采取协调的做法,其中考虑到《转让公约》、《担保交易指南》以及示范法草案所采取的做法;(c)与统法协会就《移动设备国际利益公约》关于农业、采矿和建筑设备特定事项的第四项议定书开展的协调工作;以及(d)与国际金融公司和美洲国家组织在提供技术援助和协助担保权益领域当地能力建设方面开展的协调工作。
It was widely felt that such coordination and cooperation efforts were extremely important and should continue with a view to ensuring that the work of the Commission on security interests was reflected to the maximum extent possible in the relevant texts of other organizations.219. 普遍认为此种协调与合作努力极为重要,应当继续下去,以期确保委员会的担保权益工作尽可能地反映在其他组织的相关案文中。
After discussion, the Commission renewed its mandate to the Secretariat to continue its coordination and cooperation efforts in the area of security interests.经过讨论,委员会延长了对秘书处的授权期限,请其继续在担保权领域进行协调与合作努力。
V. Micro-, small- and medium-sized enterprises (MSMEs): progress report of Working Group I五、
The Commission recalled its decision at its forty-sixth session, in 2013, which was reaffirmed at its forty-seventh session, in 2014, granting to Working Group I the following mandate: “that work on international trade law aimed at reducing the legal obstacles faced by micro-, small- and medium-sized enterprises throughout their life cycle and, in particular, those in developing economies should be added to the work programme” and that “such work should start with a focus on the legal questions surrounding the simplification of incorporation.”微型、小型和中型企业:第一工作组进度报告
Ibid. Sixty-eighth Session, Supplement No. 17 (A/68/17), para.220. 委员会回顾其2013年第四十六届会议的决定,该决定经2014年第四十七届会议重申,赋予第一工作组以下任务授权:“工作方案中应添加以特别是在发展中经济体减少中小微型企业整个寿命周期面临的法律障碍为宗旨的国际贸易法工作”,并且“此类工作应首先侧重于围绕简化企业组建程序的法律问题”。
321. Ibid. Sixty-ninth Session, Supplement No. 17 (A/69/17), para.同上,《第六十八届会议,补编第17号》(A/68/17),第321段。
134. Ibid. Sixty-eighth Session, Supplement No. 17 (A/68/17), para.同上,《第六十九届会议,补编第17号》(A/69/17),第134段。
321; and ibid. Sixty-ninth Session, Supplement No. 17 (A/69/17), para.同上,《第六十八届会议,补编第17号》(A/68/17),第321段;同上,《第六十九届会议,补编第17号》(A/69/17),第134段。
134. The Commission considered the reports of the Working Group on the work of its twenty-third session (A/CN.9/825), held in Vienna from 17 to 21 November 2014, and twenty-fourth session (A/CN.9/831), held in New York from 13 to 17 April 2015.221. 委员会审议了工作组2014年11月17日至21日在维也纳举行的第二十三届会议的工作报告(A/CN.9/825)以及2015年4月13日至17日在纽约举行的第二十四届会议的工作报告(A/CN.9/831)。
The Commission commended the Secretariat for the working papers prepared for those sessions and for the reports of those sessions.委员会赞扬秘书处为这两届会议编写工作文件和会议报告。
The Commission noted the work of the Working Group at its twenty-third session in respect of good practices in business registration (A/CN.9/WG.I/WP.85), as well presentations made to the Working Group by the following expert international organizations currently active in the area: the Corporate Registers Forum, the European Business Register and the European Commerce Register’s Forum.222. 委员会注意到工作组第二十三届会议在企业注册最佳做法方面的工作(A/ CN.9/WG.I/WP.85),以及目前在这一领域开展活动的下列专门国际组织向工作组所作的专题介绍:公司注册论坛以及欧洲企业注册处和欧洲商业注册处论坛。
The Commission noted the continued development of the topic of good practices in business registration through a further exploration of the relevant key principles and that the Working Group had not yet decided on the particular form that any legal text in this regard should take.委员会注意到,通过进一步探讨相关关键原则在企业登记良好做法这一议题上继续取得进展,而且工作组尚未决定这方面的任何法规应采取哪一种特定形式。
See A/CN.9/825, paras. 12-38.见A/CN.9/825,第12-38段。
Ibid. paras. 39-46.同上,第39-46段。
The Commission also noted the Working Group’s consideration at its twenty-third and twenty-fourth sessions of the legal questions surrounding the simplification of incorporation, observing that the deliberations were proceeding through a consideration of the relevant issues as outlined in the framework set out in working paper A/CN.9/WG.I/WP.86, including A/CN.9/WG.I/WP.83, as well as through presentations by States of information on possible alternative legislative models to assist micro-, small- and medium-sized enterprises (MSMEs), and on the text of a draft model law on a simplified business entity.223. 委员会还注意到工作组第二十三届和第二十四届会议审议了围绕简化企业组建程序的法律问题,注意到这些审议工作在进行的过程中审议了A/CN.9/ WG.I/WP.86号工作文件中的框架所概述的相关问题,还听取了各国介绍的可能帮助微型、小型和中型企业(中小微企业)的备选立法模式,以及简易企业实体示范法草案案文的情况。
The Commission noted that the draft model law had been prepared as an example in order to assist the Working Group in its consideration of the issues necessary to make progress in its work, but that the Working Group had not yet decided on the form which any legal text on the issues surrounding the simplification of incorporation should take. Ibid.委员会注意到,该示范法草案是作为一个范例编写的,目的是协助工作组审议必要的问题以在工作中取得进展,但工作组尚未决定围绕简化企业组建程序的法律问题的相关法规应当采取何种形式。
paras. 62-79 and A/CN.9/831, paras. 14-77.同上,第62-79段,以及A/CN.9/831,第14-77段。
A/CN.9/825, paras. 56-61 and A/CN.9/WG.I/WP.87.A/CN.9/825,56-61段,以及A/CN.9/WG.I/WP.87。
See A/CN.9/WG.I/WP.89.见A/CN.9/WG.I/WP.89。
Some States expressed the view that the Working Group was working outside of its mandate.224. 一些国家认为,工作组现在的工作超出了任务授权。
It was stated that two elements contained in the mandate should be considered as a priority: first, the starting point of the work should be simplified incorporation and second, should be the importance of the issue for developing countries.会上指出,任务授权中有两点应当被视为优先事项:首先,工作的起点应当是简化组建程序,其次应当是该问题对于发展中国家的重要性。
Other States expressed the view that the Working Group had done that, having considered simplified incorporation along with other approaches to reducing legal obstacles for MSMEs and that the Working Group should continue to do so.另一些国家认为,工作组已经这样做了,参照减少中小微企业法律障碍的其他做法审议了简化组建程序问题;工作组应当继续这样做下去。
Another view was expressed that the Working Group had decided on the appropriate course of its deliberations within the mandate granted by the Commission, and that the Working Group could discuss several issues at the same time.会上表达的另一种看法是,工作组已经决定了在委员会赋予的任务授权内进行审议的适当方向,工作组可以同时讨论若干议题。
The Commission noted the progress made by the Working Group in the analysis of the legal issues surrounding the simplification of incorporation and to good practices in business registration, both of which aimed at reducing the legal obstacles encountered by MSMEs throughout their life cycle.225. 委员会注意到工作组在分析围绕简化企业组建程序的法律问题上取得的进展以及在企业注册良好做法上取得的进展,这两方面都是着眼于减少中小微型企业在其整个寿命周期面临的法律障碍。
After discussion, the Commission confirmed the mandate granted to Working Group I (see para.六、
220 above).网上争议解决:第三工作组进度报告
VI. Online dispute resolution: progress report of Working Group III226. 委员会收到了工作组第三十届和第三十一届会议的工作报告(分别为A/CN.9/827和A/CN.9/833),还收到了以色列(A/CN.9/857)以及哥伦比亚、洪都拉斯和美国(A/CN.9/858)就工作组的工作提出的建议。
The Commission had before it the reports of the Working Group on the work of its thirtieth and thirty-first sessions (A/CN.9/827 and A/CN.9/833, respectively) and a proposal by Israel (A/CN.9/857) and a proposal by Colombia, Honduras and the United States (A/CN.9/858) related to the work of the Working Group.委员会审议了第三工作组的报告,并结合议程项目18(委员会的工作方案)审议了这些建议(见下文第342-353段)。
The Commission considered the reports of Working Group III and the proposals in conjunction with agenda item 18 (Work programme of the Commission) (see paras. 342-353 below).七、
VII. Electronic commerce: progress report of Working Group IV电子商务:第四工作组进度报告
The Commission recalled that at its forty-fourth session, in 2011, it had mandated Working Group IV (Electronic Commerce) to undertake work in the field of electronic transferable records.227. 委员会回顾其在2011年第四十四届会议上授权第四工作组(电子商务)开展电子可转让记录领域的工作。
The Commission also recalled that at that session it had welcomed the ongoing cooperation between the Secretariat and other organizations on legal issues relating to electronic single window facilities and had asked the Secretariat to contribute as appropriate, with a view to discussing relevant matters at the working group level when the progress of joint work offered a sufficient level of detail.委员会还回顾,委员会在该届会议上欢迎秘书处与其他组织就电子单一窗口设施相关问题正在进行的合作,并请秘书处酌情作出贡献,以期当联合工作的进展达到足够详细程度时在工作组一级讨论相关事项。
Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), para.《大会正式记录,第六十六届会议,补编第17号》(A/66/17),第238段。
238. Ibid.同上,第240段。
para.228. 本届会议上,委员会收到了工作组2014年11月10日至14日在维也纳举行的第五十届会议的工作报告(A/CN.9/828)以及2015年5月18日至22日在纽约举行的第五十一届会议的工作报告(A/CN.9/834)。
240. At its current session, the Commission had before it the reports of the Working Group on the work of its fiftieth session (A/CN.9/828), held in Vienna from 10 to 14 November 2014, and fifty-first session (A/CN.9/834), held in New York from 18 to 22 May 2015.委员会获知,关于目前的工作,工作组决定应采取电子可转让记录示范法草案的形式(A/CN.9/834,第12段),其侧重点是与纸质可转让单证或票据等同的电子可转让记录使用的国内方面,以后阶段将涉及这些记录使用的国际方面以及仅以电子形式存在的可转让记录的使用。
The Commission was informed that current work, which the Working Group decided should take the form of a draft model law on electronic transferable records (A/CN.9/834, para.会上指出,工作组应将重点限于与纸质可转让单证或票据等同的电子可转让记录。
12), focused on domestic aspects of the use of electronic transferable records equivalent to paper-based transferable documents or instruments, and that international aspects of the use of those records, as well as the use of transferable records existing only in electronic form, would be addressed at a later stage.补充说,下一阶段或可考虑为支持有效使用电子可转让记录示范法而就货物运输领域执行示范法而提供补充指导意见的可能性以及融资可能性。
It was stated that the Working Group should limit its focus on electronic transferable records equivalent to paper-based transferable documents or instruments.229. 委员会还获知主要与联合国亚洲及太平洋经济社会委员会(联合国/亚太经社会)在无纸贸易领域正在开展的工作,其中包括电子单一窗口设施的法律方面。
It was added that the possibility of supporting the effective use of a model law on electronic transferable records by providing additional guidance for its implementation in the fields of carriage of goods and of financing might be considered at a later stage.会上指出,这项工作有可能对世界贸易组织成员2014年通过的《贸易便利化协定》第10.4条的执行起到有益作用。
The Commission was also informed about ongoing work in the field of paperless trade, including legal aspects of electronic single window facilities, carried out, in particular, in cooperation with the United Nations Economic and Social Commission for Asia and the Pacific (UN/ESCAP).查阅网址:https://www.wto.org/english/tratop_e/tradfa_e/tradfa_e.htm。
It was said that that work could be useful with respect to implementation of article 10.4 of the Trade Facilitation Agreement adopted in 2014 by members of the World Trade Organisation.230. 会上提到秘书处在电子商务领域开展的技术援助和协调活动,包括通过贸易法委员会亚洲及太平洋区域中心开展的活动。
Available from www.wto.org/english/tratop_e/tradfa_e/tradfa_e.htm.231. 委员会注意到工作组目前的工作将大大有助于促进在国际贸易中推行电子通信,对工作组在拟订电子可转让记录条文草案方面取得的进展表示赞赏,并赞扬秘书处所做的工作。
Reference was also made to the technical assistance and coordination activities undertaken by the Secretariat, including through the UNCITRAL Regional Centre for Asia and the Pacific (UNCITRAL-RCAP), in the field of electronic commerce.铭记电子可转让记录示范法将随附解释性说明,委员会鼓励工作组最后审定目前的工作,以便将其工作成果提交委员会第四十九届会议。
Noting that the current work of the Working Group would greatly assist in promoting the use of electronic communications in international trade, the Commission expressed its appreciation to the Working Group for the progress made in preparing draft provisions on electronic transferable records and commended the Secretariat for its work.八、
Bearing in mind that a model law on electronic transferable records would be accompanied by explanatory materials, the Commission encouraged the Working Group to finalize the current work in order to submit its results at the Commission’s forty-ninth session.破产法:第五工作组进度报告
VIII. Insolvency law: progress report of Working Group V232. 委员会审议了2014年12月15日至19日在维也纳举行的工作组第四十六届会议的工作报告(A/CN.9/829)和2015年5月26日至29日在纽约举行的第四十七届会议的报告(A/CN.9/835)。
The Commission considered the reports of the Working Group on the work of its forty-sixth session (A/CN.9/829), held in Vienna from 15 to 19 December 2014, and forty-seventh session (A/CN.9/835), held in New York from 26 to 29 May 2015.委员会赞扬秘书处为这两届会议编写工作文件和会议报告。
The Commission commended the Secretariat for the working papers prepared for those sessions and for the reports of those sessions.233. 委员会审议了就工作组开展工作的三个议题取得的进展:(a)便利跨国企业集团的跨国界破产;(b)企业集团公司的董事在临近破产期间所负义务;以及(c)与破产有关的判决的承认和执行。
The Commission considered the progress made with respect to the three topics being developed in the Working Group: (a) facilitating the cross-border insolvency of multinational enterprise groups; (b) the obligations of directors of enterprise group companies in the period approaching insolvency; and (c) the recognition and enforcement of insolvency-related judgements.234. 关于就企业集团开展的工作,委员会注意到,虽然进展似乎有些缓慢,但工作组讨论侧重的是国际社会未广泛审议或国内法未解决的相对较新的非常复杂的问题。
With respect to the work on enterprise groups, the Commission noted that while progress might appear to be slow, discussion in the Working Group was focused on relatively new, very complex issues that had not been widely considered by the international community or resolved in national laws.由于这些原因,会上提出,需要分阶段开展工作,以确保对所审议的解决办法有广泛理解,并为制定可以广泛接受和实施的案文积聚共识。
For those reasons, it was suggested, work might need to be developed in stages to ensure broad understanding of the solutions being considered and to build consensus towards development of a text that would be widely acceptable and implemented.会上指出,如果实现了这样的案文,将是在制定跨国界破产法方面迈出的重要步骤,这样的破产法可帮助在世界范围内为了债权人的利益而实现价值最大化。
It was observed that if such a text could be achieved it would be a significant step in the development of cross-border insolvency law that could assist in maximizing value for creditors around the world.235. 关于第二个议题,即企业集团公司的董事在临近破产期间所负义务,委员会注意到,虽然这项工作已经充分展开,但在关于企业集团破产的工作取得充分进展从而能够确保两个案文采取一致办法之前,还不会提交委员会最后审定和核准。
On the second topic of the obligations of directors of enterprise group companies in the period approaching insolvency, the Commission noted that while the work was already well developed, it would not be referred to the Commission for finalization and approval until the work on enterprise group insolvency was sufficiently advanced to be able to ensure consistency of approach between the two texts.236. 委员会欢迎就与破产有关的判决的承认和执行开展的工作。
The Commission welcomed the work on recognition and enforcement of insolvency-related judgement.注意到已采取措施促进与海牙国际私法会议的密切协调,以便工作组编拟的案文草案能够考虑到海牙会议判决项目取得的进展。
It was noted that steps had been taken to facilitate close coordination with the Hague Conference on Private International Law so that progress on the Hague Conference’s judgements project could be taken into consideration in the draft text being developed by the Working Group.237. 讨论之后,委员会赞扬工作组在拟订上述三个领域的法律案文方面所做的工作。
After discussion, the Commission commended the Working Group for its work on developing legal texts in the three areas noted above.委员会注意到秘书处在继续监测大型复杂金融机构破产领域的动态,可能将再编写一份说明,概述金融稳定委员会对其2014年9月关于跨境承认解决诉讼的咨询文件的答复。
The Commission noted that the Secretariat was continuing to monitor developments with respect to the insolvency of large and complex financial institutions and that a further note might be expected to outline the Financial Stability Board’s response to its September 2014 consultative document on the cross-border recognition of resolution actions.九、
IX. Endorsement of texts of other organizations: Principles on Choice of Law in International Commercial Contracts赞同其他组织的法规:《国际商事合同法律选择原则》
The Hague Conference on Private International Law requested the Commission to consider possible endorsement of the Principles on Choice of Law in International Commercial Contracts (“Hague Principles”).238. 海牙国际私法会议(海牙会议)请委员会考虑对《国际商事合同法律选择原则》(《海牙原则》)表示可能的赞同。
A/CN.9/847, and available from www.hcch.net.A/CN.9/847,并可查阅www.hcch.net。
It was noted that the main objective of the Hague Principles is to reinforce party autonomy and to ensure that the law chosen by the parties in international commercial transactions has the widest scope of application, subject to certain limits.239. 会上指出,《海牙原则》的目的是加强当事人意思自治,确保国际商事交易当事人所选择的法律在不违反某些限制的情况下有最广泛的适用范围。
In this context, the Commission noted that the Hague Principles, in article 3, allow parties to choose not only the law of a State but also “rules of law”, within certain parameters and unless the law of the forum provides otherwise.在这方面,委员会注意到,《海牙原则》第3条允许当事人不仅可选择一国的法律也可选择“法律规则”,但必须是在某些参数范围内,并且除非诉讼地法律另有规定。
The Commission noted with approval that that provision might facilitate the choice of UNCITRAL texts, such as the United Nations Sales Convention, where they would not otherwise apply, thus enhancing the harmonizing impact of those texts.委员会赞同地指出,这一规定有可能便利对贸易法委员会法规(如《联合国销售公约》)的选择——否则它们将不适用,从而增进这些法规的协调统一作用。
Taking note of the usefulness of the Hague Principles in facilitating international trade, the Commission, at its 1010th meeting, on 8 July 2015, adopted the following decision:240. 委员会注意到《海牙原则》对促进国际贸易的有益作用,在2015年7月8日第1010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,
“Expressing its appreciation to the Hague Conference on Private International Law for transmitting to it the text of the Principles on Choice of Law in International Commercial Contracts (“Hague Principles”),“对海牙国际私法会议将《国际商事合同法律选择原则》(《海牙原则》)案文转交委员会表示赞赏,
“Taking note that the Hague Principles complement a number of international trade law instruments, including the United Nations Convention on Contracts for the International Sale of Goods, and the UNCITRAL Model Law on International Commercial Arbitration (1985), with amendments as adopted in 2006,“注意到《海牙原则》是对一些国际贸易法文书的补充,其中包括《联合国国际货物销售合同公约》和《贸易法委员会国际商事仲裁示范法》(1985年)及2006年通过的修正,
United Nations, Treaty Series, vol. 1489, No. 25567, p.联合国,《条约汇编》第1489卷,第25567号,第3页。
3. United Nations publication, Sales No. E.08.V.4.联合国出版物,出售品编号:E.08.V.4。
“Noting that the preamble of the Hague Principles states that:注意到《海牙原则》序言指出:
‘1. This instrument sets forth general principles concerning choice of law in international commercial contracts.‘1.
They affirm the principle of party autonomy with limited exceptions,本文书载明关于国际商事合同法律选择的一般原则,本原则确认
‘2. They may be used as a model for national, regional, supranational or international instruments,除有限例外情形当事人意思自治原则,
‘3. They may be used to interpret, supplement and develop rules of private international law,‘2.
‘4. They may be applied by courts and by arbitral tribunals,’本原则可当作国家、区域、跨国家或国际文书的范本使用,
“Congratulating the Hague Conference on Private International Law on having made a valuable contribution to the facilitation of international trade by promoting the principle of party autonomy and reinforcing choice of law in international commercial contracts,‘3.
“Commends the use of the Hague Principles, as appropriate, by courts and by arbitral tribunals; as a model for national, regional, supranational or international instruments; and to interpret, supplement and develop rules of private international law.”本原则可用来解释、补充和制订国际私法规则,
X. Technical assistance to law reform‘4.
A. General discussion本原则可由法院和仲裁庭适用,’
The Commission had before it a note by the Secretariat (A/CN.9/837) describing technical cooperation and assistance activities.“祝贺海牙国际私法会议通过促进当事人意思自治原则和加强国际商事合同法律选择,对促进国际贸易法作出了宝贵贡献,
The Commission stressed the importance of such activities and expressed its appreciation for the related work undertaken by the Secretariat.“推荐在适当情况下由法院和仲裁庭使用《国际商事合同法律选择原则》;以其作为国家、区域、跨国家或国际文书的范本;并用其解释、补充和制订国际私法规则。
The Commission noted that the continuing ability to respond to requests from States and regional organizations for technical cooperation and assistance activities was dependent upon the availability of funds to meet associated costs.
The Commission further noted that, despite efforts by the Secretariat to solicit new donations, funds available in the UNCITRAL Trust Fund for Symposia were very limited.十、
Accordingly, requests for technical cooperation and assistance activities continued to be very carefully considered, and the number of such activities, which of late had mostly been carried out on a cost-share or no-cost basis, was limited.法律改革技术援助
The Commission requested the Secretariat to continue exploring alternative sources of extrabudgetary funding, in particular by more extensively engaging permanent missions, as well as other possible partners in the public and private sectors.A. 一般性讨论
The Commission also encouraged the Secretariat to seek cooperation and partnership with international organizations, including through regional offices, and bilateral assistance providers in the provision of technical assistance, and appealed to all States, international organizations and other interested entities to facilitate such cooperation and take any other initiative to maximize the use of relevant UNCITRAL standards in law reform.241. 委员会收到秘书处介绍技术合作和援助活动的一份说明(A/CN.9/837)。
The Commission welcomed the Secretariat’s efforts to expand cooperation with the Government of the Republic of Korea on the Asia-Pacific Economic Cooperation (APEC) Ease of Doing Business project in the area of enforcing contracts, to other areas and with other APEC member economies.委员会强调了这类活动的重要性,并赞赏秘书处开展的相关工作。
Support was expressed for the Secretariat’s aim to cooperate more closely with APEC and its member economies to improve the business environment in the Asia-Pacific region and to promote UNCITRAL texts.242. 委员会注意到,能否继续响应各国和各区域组织对技术合作和援助活动的请求,取决于是否有资金支付相关费用。
The Commission reiterated its appeal to all States, international organizations and other interested entities to consider making contributions to the UNCITRAL Trust Fund for Symposia, if possible in the form of multi-year contributions or as specific-purpose contributions, in order to facilitate planning and enable the Secretariat to meet the increasing number of requests from developing countries and countries with economies in transition for technical cooperation and assistance activities.委员会进一步注意到,虽然秘书处为寻求新的捐款作出了种种努力,但贸易法委员会专题讨论会信托基金可用资金仍然非常有限。
The Commission expressed its appreciation to the Government of the Republic of Korea, through its Ministry of Justice, and to the Governments of France and Indonesia for their contributions to the Trust Fund since the Commission’s forty-seventh session and to organizations that had contributed to the programme by providing funds or by hosting seminars.因此,仍然对各种技术合作和援助活动的请求进行非常认真的审议,此种活动的数量仍然有限,而且近来大多以费用分摊或无费用的方式进行。
The Commission 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.委员会请秘书处继续探索其他预算外资金来源,特别是更广泛地动员各常驻代表团以及公共和私营部门其他潜在合作伙伴参与。
The Commission expressed its appreciation to the Government of Austria and to the Commercial Finance Association for contributing to that trust fund since the Commission’s forty-seventh session, thereby enabling travel assistance to be granted to developing countries that were members of UNCITRAL.委员会还鼓励秘书处在提供技术援助时争取包括通过区域办事处与各国际组织合作以及与双边援助提供方合作,并吁请所有国家、国际组织和其他相关实体为此种合作提供便利,并采取任何其他举措以期在法律改革中最大限度地利用贸易法委员会的相关标准。
With regard to the dissemination of information on UNCITRAL’s work and texts, the Commission noted the important role played by the UNCITRAL website (www.uncitral.org) and the UNCITRAL Law Library.243. 委员会欢迎秘书处作出努力,将与大韩民国政府在亚太经合组织营商便利项目执行合同领域的合作扩大到其他领域,并扩大与亚太经合组织其他成员经济体的合作。
The Commission expressed its approval for the library’s updated online public access catalogue, in particular with regards to the newly developed six-language interface.会上支持秘书处着眼于与亚太经合组织及其成员经济体开展更密切的合作,以改善亚太区域的营商环境并推广贸易法委员会法规。
Available from https://unov.tind.io/.244. 委员会再次呼吁所有国家、国际组织和其他有关实体考虑向贸易法委员会专题讨论会信托基金提供捐款,可能的话可采用多年期捐款形式,或提供专门用途捐款,以便于进行规划并使秘书处能够满足发展中国家和经济转型期国家提出的越来越多的技术合作和援助活动请求。
The Commission welcomed the inclusion on the UNCITRAL website of interactive status maps for the New York Convention, the UNCITRAL Model Law on International Commercial Arbitration (1985), and the United Nations Sales Convention.委员会对大韩民国政府通过其司法部以及法国和印度尼西亚政府自委员会第四十七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 welcomed the establishment of new social media features, noting that the development of such features in accordance with the applicable guidelines was also welcomed by the General Assembly, and noted with approval the “What’s new at UNCITRAL?” Tumblr microblog.245. 委员会吁请联合国系统相关机构、各组织、研究所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 requested the Secretariat to continue to explore the development of new social media features on the UNCITRAL website as appropriate.委员会感谢奥地利政府和商业金融协会自委员会第四十七届会议以来向该信托基金提供了捐款,从而促成向贸易法委员会成员国中的发展中国家提供旅行补助。
Finally, recalling the General Assembly resolutions commending the website’s six-language interface, the Commission requested the Secretariat to continue to provide, via the website, UNCITRAL texts, publications, and related information, in a timely manner and in the six official languages of the United Nations.246. 关于传播贸易法委员会工作和法规相关信息,委员会注意到贸易法委员会网站(www.uncitral.org)和贸易法委员会法律图书馆发挥的重要作用。
Available from www.uncitral.org/uncitral/uncitral_texts/arbitration/NYConvention_ status_map.html.委员会对该图书馆的最新在线公共检索目录表示赞许,特别是新开发的六种语文界面。
Available from www.uncitral.org/uncitral/uncitral_texts/arbitration/1985Model_arbitration_ status_map.html.查阅网址:https://unov.tind.io/。
Available from www.uncitral.org/uncitral/uncitral_texts/sale_goods/1980CISG_status_map.html.247. 委员会欢迎贸易法委员会网站增加了《纽约》、《贸易法委员会国际商事仲裁示范法》(1985年)和《联合国销售公约》的互动式现状地图。
General Assembly resolution 69/115, para. 21. General Assembly resolutions 61/32, para.委员会还欢迎增加了新的社交媒体功能,指出大会还欢迎按照适用的准则代发此种功能,并赞许地注意到Tumblr网站上的微博“What’s new at UNCITRAL?”。
17; 62/64, para. 16; 63/120, para.委员会请秘书处继续酌情探讨在贸易法委员会网站上开发新的社交媒体功能。
20; and 69/115, para.最后,委员会回顾大会一些决议赞扬该网站使用六种语文界面,请秘书处继续通过该网站,及时以联合国六种正式语文提供贸易法委员会法规、出版物和相关信息。
21. B.查阅网址:www.uncitral.org/uncitral/uncitral_texts/arbitration/NYConvention_status_map.html。
Consideration of a draft guidance note on strengthening United Nations support to States to implement sound commercial law reforms查阅网址:www.uncitral.org/uncitral/uncitral_texts/arbitration/1985Model_arbitration_status_map.html。
The Commission had before it a note by the Secretariat (A/CN.9/845) containing a draft guidance note on strengthening United Nations support to States to implement sound commercial law reforms.查阅网址:www.uncitral.org/uncitral/uncitral_texts/sale_goods/1980CISG_status_map.html。
Recalling its request to the Secretariat at its forty-third session, in 2010, to consider ways of better integrating its technical cooperation and assistance activities into activities conducted on the ground by the United Nations in particular through the United Nations Development Programme or other country offices of the United Nations, the Commission considered which steps to take with respect to the draft.大会第69/115号决议,第21段。
Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), para.大会第61/32号决议,第17段;第62/64号决议,第16段;第63/120号决议,第20段;第69/115号决议,第21段。
336. Objection was raised by some delegations to formulating UNCITRAL’s position with respect to the draft without discussing it in detail.B. 审议关于加强联合国对各国支助以落实健全商法改革的指导意见说明草案
A number of suggestions to improve its wording were made during the session.248. 委员会收到了秘书处的一份说明(A/CN.9/845),其中载有关于加强联合国对各国支助以落实健全商法改革的指导意见说明草案。
Some delegations expressed the view that the draft guidance note described some situations and suggested a course of work expected from States and therefore exceeded the framework of an internal note aimed at being applied by internal bodies of the United Nations in general and UNCITRAL in particular.委员会回顾其2010年第四十三届会议请秘书处考虑如何更好地将其技术合作和援助活动纳入联合国特别是通过联合国开发计划署或联合国其他国别办事处在当地开展的活动,审议了拟就该草案采取的步骤。
Doubts were raised by some delegations about the appropriateness of the Commission acting on a document intended for the internal use of the United Nations Secretariat.《大会正式记录,第六十五届会议,补编第17号》(A/65/17),第336段。
Other delegations considered it appropriate for the Commission to act on the document, which was intended to be widely used across the United Nations and expected to produce impact on States.249. 一些代表团反对未经详细讨论就拟订贸易法委员会对该草案的立场。
They therefore welcomed its discussion in the Commission.会上就改进其措词提出了一些建议。
The narrow scope and purpose of the intended document as a tool to increase awareness across the United Nations about the importance of sound commercial law reforms and the use of internationally accepted commercial law standards in that context was emphasized.一些代表团认为,指导意见说明草案描述了一些情形,并提出期望各国采取的工作方针,因此超出了一份旨在由联合国内部机构特别是贸易法委员会适用的内部说明的框架。
While the Commission noted that the draft generally reflected that scope and fulfilled that purpose, it was suggested that renaming the document might help to better convey its intended narrow scope and purpose.一些代表团对于委员会是否适宜就一份意在供联合国内部使用的文件采取行动提出疑虑。
On the other hand, concerns were expressed about the content of the draft guidance note in relation to the UNCITRAL mandate.250. 另一些代表团认为委员会适宜就该文件采取行动,该文件意在广泛用于整个联合国系统,并预期将对各国产生影响。
After discussion, the Commission requested States to provide to its secretariat any suggestion for revision of the text and, in formulating such suggestions in writing, to keep in mind the intended scope and purpose of the document, which, to be usable by its expected readers, should remain short, concise and simple.因此,它们欢迎在委员会对该文件进行讨论。
It was agreed that the compilation of all comments received from States would be circulated by the Secretariat to all States together with a revised version of the text.强调文件的范围和目的都比较窄,意在作为一个工具提高整个联合国对于健全商法改革的重要性以及为此而使用国际公认商法标准的认识。
It was understood that, if agreement of States on the revised text could be achieved before or during the consideration of the Commission’s report in the Sixth Committee of the General Assembly in 2015, the Sixth Committee itself might wish to endorse the text, so as to avoid delay in issuing the document.虽然委员会注意到该草案总体上反映了此种范围并实现了此种目的,但会上提出,对该文件重新命名或许有助于更好地表达其本来的狭窄范围和目的。
Otherwise, the matter might need to be brought back to the Commission for consideration at its next session.另一方面,对于指导意见说明草案中涉及贸易法委员会任务授权的内容表示了关切。
The Secretariat was requested, in revising the text, to follow closely the wording of General Assembly resolution 2205 (XXI) on the establishment of UNCITRAL and avoid embarking into areas not directly linked to the UNCITRAL mandate.251. 经过讨论,委员会请各国就如何修订该案文向秘书处提出建议,在书面拟订此类建议时,铭记该文件的预期范围和目的,要想使该文件能够为预期读者使用,该文件就应当保持简短、简明、简单。
The Secretariat was also requested to allocate sufficient time for consideration of the revised text at the next session if the revised text had to be considered at that time, and to make provisions for specific time to be allotted to that item in the provisional agenda of that session.会议商定,秘书处将把收到的各国意见汇编连同案文的修订版分发给所有国家。
XI. Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts会上的理解是,如果在大会第六委员会2015年审议委员会报告之前或此期间各国就案文修订版达成了一致意见,第六委员会自己不妨核可该案文,以避免延误该文件的印发。
The Commission considered document A/CN.9/840 “Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts”, which provided information on the current status of the CLOUT system and of the digests of case law relating to the United Nations Sales Convention and the UNCITRAL Model Law on International Commercial Arbitration.否则,也许还需将此事提交委员会,以便其下届会议审议。
The Commission expressed its continuing belief that CLOUT and digests were an important tool for promoting uniform interpretation of UNCITRAL texts and noted with appreciation the increasing number of UNCITRAL legal texts that were currently represented in CLOUT.252. 请秘书处在修订该案文时严格遵守关于设立贸易法委员会的大会第2205 (XXI)号决议的措词,避免涉足与贸易法委员会任务授权没有直接关系的领域。
As at 11 May 2015, 155 issues of compiled case-law abstracts had been prepared, dealing with 1,454 cases.如果必须在下届会议上审议案文修订版,还请秘书处为届时审议该修订版分配足够时间,并在该届会议临时议程中就分配用于该项目的具体时间作出安排。
The cases related to the following texts:十一、
- The New York Convention - Convention on the Limitation Period in the International Sale of Goods (New York, 1974) and Convention on the Limitation Period in the International Sale of Goods as amended by the Protocol of 11 April 1980 (Vienna) United Nations, Treaty Series, vol. 1511, No. 26119. Ibid. vol. 1511, No. 26121. - United Nations Convention on the Carriage of Goods by Sea (Hamburg, 1978) Ibid. vol. 1695, No. 29215. - United Nations Sales Convention - United Nations Convention on Independent Guarantees and Stand-by Letters of Credit (New York, 1995) Ibid. vol. 2169, No. 38030, p. 163. - United Nations Convention on the Use of Electronic Communications in International Contracts (New York, 2005) (“Electronic Communications Convention”) General Assembly resolution 60/21, annex. - Model Law on Arbitration - UNCITRAL Model Law on International Credit Transfers (1992) Official Records of the General Assembly, Forty-seventh Session, Supplement No. 17 (A/47/17), annex I. - UNCITRAL Model Law on Electronic Commerce, 1996 General Assembly resolution 51/162, annex. - UNCITRAL Model Law on Cross-Border Insolvency (1997) General Assembly resolution 52/158, annex. - UNCITRAL Model Law on Electronic Signatures (2001) General Assembly resolution 56/80, annex. The Commission was informed that, while the majority of the abstracts published still originated from Western European and other States, there was a small increase in the number of abstracts from Eastern European States and from African States.促进可确保贸易法委员会法规统一解释和适用的方式方法
The Commission took note that new national correspondents had been appointed, including after document A/CN.9/840 (see para.253. 委员会审议了A/CN.9/840号文件“促进可确保贸易法委员会法规统一解释和适用的方式方法”,其中介绍了法规判例法系统的现状以及与《《销售公约》和《贸易法委员会国际商事仲裁示范法》有关的判例法摘要汇编的现状。
253 above) had been issued, and that the network of national correspondents was composed of 73 experts representing 35 countries.254. 委员会表示仍然认为法规判例法系统和摘要汇编是促进统一解释国际贸易法委员会法规的重要工具,并赞赏地注意到目前法规判例法系统收录了越来越多的贸易法委员会法规。 截至2015年5月11日,已编写155期判例法摘要汇编,涉及1,454个判例。 这些判例涉及下列法规: - 《纽约公约》 - 《国际货物销售时效期限公约》(1974年,纽约)和经1980年4月11日《议定书》修正的《国际货物销售时效期限公约》 联合国,《条约汇编》,第1511卷,第26119号。 同上,第1511卷,第26121号。 - 《联合国海上货物运输公约》(1978年,汉堡) 同上,第1695卷,第29215号。 - 《联合国销售公约》 - 《联合国独立担保和备用信用证公约》(1995年,纽约) 同上,第2169卷,第38030号,第163页。 -《联合国国际合同使用电子通信公约》(2005年,纽约)(《电子通信公约》) 大会第60/21号决议,附件。 - 《仲裁示范法》 - 《贸易法委员会国际贷记划拨示范法》(1992年) 《大会正式记录,第四十七届会议,补编第17号》(A/47/17),附件一。 - 《贸易法委员会电子商务示范法》(1996年) 大会第51/162号决议,附件。 - 《贸易法委员会跨国界破产示范法》(1997年) 大会第52/158号决议,附件。 - 《贸易法委员会电子签名示范法》(2001年) 大会第56/80号决议,附件。
The Commission was also informed that since the note of the Secretariat to the forty-seventh session of the Commission in 2014 (A/CN.9/810), national correspondents had provided approximately 47 per cent of the abstracts published in CLOUT.255. 委员会获悉,所发表的摘要来源于西欧和其他国家的仍占多数,但来自东欧国家和非洲国家的摘要数量略有增多。
The Commission expressed its appreciation that the French version of the third edition of the UNCITRAL Digest of Case Law on the United Nations Convention on Contracts for the International Sale of Goods (2012) had been translated and that the digest was now available in the six official languages of the United Nations on the UNCITRAL website as well as on CD-ROM.256. 委员会注意到,任命了新的国家通讯员,其中包括在A/CN.840号文件(见上文第253段)印发之后任命的通讯员,还注意到国家通讯员网络由代表35个国家的73名专家组成。
The latter format was considered to be particularly useful for technical assistance and coordination activities.委员会还获悉,自秘书处提交委员会2014年第四十七届会议的说明(A/CN.9/810)以来,在法规判例法中发表的摘要约有47%是各国通讯员提供的。
The Commission also commended the continued effort of its secretariat in the promotion of both the UNCITRAL Digest of Case Law on the United Nations Convention on Contracts for the International Sale of Goods (2012) and the UNCITRAL Digest of Case Law on the Model Law on International Commercial Arbitration, and took note of the progress on the finalization of the digest of case law on the UNCITRAL Model Law on Cross-Border Insolvency.257. 贸易法委员会《联合国国际货物销售合同公约》判例法摘要汇编第三版(2012年)法文本的翻译已经完成,现已用联合国六种正式语文在贸易法委员会网站上发布,并制成只读光盘版,委员会对此表示赞赏。
The Commission noted with appreciation the performance of the website www.newyorkconvention1958.org and the successful coordination between that website and the CLOUT system.据认为,只读光盘的形式对技术援助和协调活动特别有用。
It also welcomed the upgraded CLOUT database and noted with particular interest its improved features that resulted in a more user-friendly interface which allowed for faster as well as a more detailed search of material.258. 委员会还赞扬秘书处继续努力推广贸易法委员会《联合国国际货物销售合同公约判例法摘要汇编(2012年)和贸易法委员会《国际商事仲裁示范法》判例法摘要汇编,还注意到在最后完成《国际跨国界破产示范法》判例法摘要汇编方面的进展。
As in previous sessions, the Commission expressed its appreciation for the work of the Secretariat on CLOUT, once again noting the resource-intensive nature of the system and acknowledging the need for further resources to sustain it.259. 委员会赞赏地注意到www.newyorkconvention1958.org网站的运行情况,以及该网站与法规判例法系统之间的成功协调。
The Commission thus appealed to all States to assist the Secretariat in its search for available funding at the national level to ensure sustained operation of the system.委员会欣见法规判例法数据库升级,还特别感兴趣地注意到,该数据库的功能设计作了改进,使得界面对使用者更加友好方便,可以更迅速、更详细地查找材料。
XII. Status and promotion of UNCITRAL texts260. 同以往各届会议一样,委员会赞赏秘书处在法规判例法方面开展的工作,再次注意到该系统需要使用大量资源,并认识到维持这一系统需要进一步的资源。
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.9/843).因此,委员会吁请所有国家协助秘书处在国家一级寻找可提供的资金,以确保该系统能够持续运作。
The Commission noted with appreciation the information on treaty actions and legislative enactments received since its forty-seventh session.十二、贸易法委员会法规的现状和促进
The Commission also noted the following actions and legislative enactments made known to the Secretariat subsequent to the submission of the Secretariat’s note:261. 委员会以秘书处的一份说明(A/CN.9/843)为基础审议了由委员会工作产生的各项公约和示范法的现状以及《纽约公约》的现状。
(a) New York Convention — accession by Andorra (156 States parties);委员会赞赏地注意到自委员会第四十七届会议以来收到的关于条约行动和颁布立法的信息。
(b) United Nations Sales Convention — withdrawal of declarations by Hungary (83 States parties);262. 委员会还注意到在提交秘书处说明之后秘书处获悉的下述行动和法律颁布情况:
(c) Electronic Communications Convention — ratification by Sri Lanka (7 States parties);(a) 《纽约公约》——安道尔加入《公约》(156个缔约国);
Upon ratification, Sri Lanka declared: In accordance with articles 21 and 19 (para.(b) 《联合国销售公约》——匈牙利撤回声明(83个缔约国);
2) of the United Nations Convention on the Use of Electronic Communications in International Contracts, the Convention shall not apply to electronic communications or transactions specifically excluded under Section 23 of the Electronic Transactions Act No. 19 of 2006, of Sri Lanka.(c) 《电子通信公约》——斯里兰卡批准《公约》(7个缔约国);
(d) Mauritius Convention on Transparency — signature by Italy and ratification by Mauritius (1 State party);在批准时,斯里兰卡宣布:根据《联合国国际合同使用电子通信公约》第21条和第19条(第2款),该《公约》不应适用于斯里兰卡2006年第19号电子交易法令第23节所明文排除的电子通信或交易。
(e) UNCITRAL Model Law on International Commercial Arbitration (1985), with amendments as adopted in 2006 — enactment of the Model Law in Slovakia (2014) and enactment of the Model Law as amended in 2006 in Bahrain (2015) and Bhutan (2013);(d) 《毛里求斯透明度公约》——意大利签署《公约》和毛里求斯批准《公约》(1个缔约国);
(f) UNCITRAL Model Law on Electronic Commerce (1996) — enactment in Honduras (2015); and(e) 《贸易法委员会国际商事仲裁示范法》(1985年),2006年通过了修正案——斯洛伐克颁布了《示范法》(2014年),巴林(2015年)和不丹(2013年)颁布了于2006年修正的《示范法》;
(g) UNCITRAL Model Law on International Commercial Conciliation (2002) — enactment in Bhutan (2013).(f) 《贸易法委员会电子商务示范法》(1996年)——洪都拉斯(2015年)颁布了《示范法》;
The Commission noted with appreciation the inclusion in document A/CN.9/843 of certain information related to the status of the UNCITRAL Arbitration Rules and the UNCITRAL Transparency Rules.(g) 《贸易法委员会国际商事调解示范法》(2002年)——不丹(2013年)颁布了《示范法》。
The Commission requested the Secretariat to make this information available on the UNCITRAL website (www.uncitral.org) in the six official languages of the United Nations.263. 贸易法委员会赞赏地注意到A/CN.9/843号文件列入了与《贸易法委员会仲裁规则》和《贸易法委员会透明度规则》有关的某些信息。
UNCITRAL Arbitration Rules (as revised in 2010), Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), annex I; UNCITRAL Arbitration Rules (1976), ibid. Thirty-first Session, Supplement No. 17 (A/31/17), para.委员会请秘书处在贸易法委员会网站(www.uncitral.com)上以联合国六种正式语文提供该信息。
57. Considering the broader impact of UNCITRAL’s texts, the Commission also took note of the bibliography of recent writings related to the work of UNCITRAL (A/CN.9/839) and noted with appreciation the increased influence of UNCITRAL legislative guides, practice guides and contractual texts.《贸易法委员会仲裁规则》(2010年修订本),《大会正式记录,第六十五届会议,补编第17号》(A/65/17),附件一;《贸易法委员会仲裁规则》(1976年),同上,《第三十一届会议,补编第17号》(A/31/17),第57段。
The Commission noted the importance of facilitating a comprehensive approach to the creation of the bibliography and the need to remain informed of activities of non-governmental organizations active in the field of international trade law.264. 考虑到贸易法委员会法规的广泛影响,委员会还注意到与贸易法委员会工作有关的近期著作目录(A/CN.9/839),并赞赏地注意到贸易法委员会各种立法指南、实务指南和合约性文本所产生影响增加。
In this regard, the Commission requested non-governmental organizations invited to the Commission’s annual session to donate copies of their journals, reports and other publications to the UNCITRAL Law Library for review.委员会注意到便利以综合做法建立著作目录的重要性,以及需要不断了解活跃于国际贸易法领域的非政府组织的活动。
The Commission expressed appreciation to the editors of the International Journal of Arab Arbitration, IHR: International Commercial Law and Journal du droit international (Clunet) for their donation of current and forthcoming issues of these journals.在这方面,委员会请受邀参加委员会年会的非政府组织向贸易法委员会法律图书馆捐赠其期刊、报告和其他出版物,以便进行审阅。
XIII. Coordination and cooperation委员会感谢《阿拉伯仲裁国际期刊》、《国际卫生条例》、《国际商法》和《国际法期刊》(Clunet)的编辑人员捐赠最近和即将出版的这些期刊。
A. General十三、协调与合作
The Commission had before it a note by the Secretariat (A/CN.9/838) providing information on the activities of international organizations active in the field of international trade law in which the Secretariat had participated since the last note to the Commission (A/CN.9/809).A. 概述
The Commission also had before it a note by the Secretariat (A/CN.9/851, paras. 6-13) providing information on developments in the field of sovereign debt restructuring, which had mentioned the work of the Commission in the fields of insolvency law and arbitration.265. 委员会收到了秘书处的一份说明(A/CN.9/838),其中介绍了贸易法委员会秘书处自上次向委员会提交的说明(A/CN.9/809)以来所参加的由活跃于国际贸易法领域的国际组织举办的活动。
The Commission expressed appreciation for the Secretariat engaging with a high number of organizations both within and outside the United Nations system.委员会还收到了秘书处的一份说明(A/ CN.9/851,第6-13段),该说明提供关于主权债务重构领域动态的情况,其中提到委员会在破产法和仲裁领域中的工作。
Among others, the Secretariat had participated in the activities of the following organizations: UNCTAD, the United Nations Economic Commission for Europe, the United Nations Environment Programme, the United Nations Inter-Agency Cluster on Trade and Productive Capacity, the World Bank, the World Trade Organization, APEC, the Hague Conference on Private International Law, OECD and Unidroit.委员会对秘书处与联合国系统内外众多组织进行接触表示赞赏。
By way of example of current efforts, the Commission took note with satisfaction of the coordination activities involving the Hague Conference on Private International Law and Unidroit as well as the activities on the rule of law in those areas of work of the United Nations and other entities that were of relevance for the work of UNCITRAL.除其他外,秘书处参与了下列组织的活动:贸发会议、联合国欧洲经济委员会、联合国环境规划署、贸易和生产部门联合国机构间集群、世界银行、世界贸易组织、亚太经合组织、海牙国际私法会议、经合组织、统法协会。
The Commission also noted that the Secretariat participated in expert groups, working groups and plenary meetings with the purpose of sharing information and expertise and avoiding duplication of work in the resultant work products.266. 作为当前努力的例子,委员会满意地注意到有海牙国际私法会议参加的协调活动,以及在联合国及其他实体与贸易法委员会工作有关的工作领域中开展的法治方面的活动。
The Commission further observed that coordination work often involved travel to meetings of those organizations and the expenditure of funds allocated for official travel.267. 委员会还注意到,秘书处参加了以交换信息和专门知识并避免所产生的工作成果出现工作重叠为目的的专家组、工作组和全体会议。
The Commission reiterated the importance of such 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.委员会进一步注意到,协调工作通常涉及出差参加这些组织的会议以及为公务旅行拨出经费支出。
B. Coordination and cooperation in the field of international arbitration and conciliation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的核心法律机构开展这些工作的重要性,并支持为此目的使用差旅费。
The Commission noted with appreciation the ongoing cooperation and coordination efforts of the Secretariat with organizations active in the field of international arbitration and conciliation.B. 国际仲裁和调解领域的协调与合作
The Commission further noted that UNCITRAL standards in that field were characterized by their flexibility and generic application to different types of arbitration, including both purely commercial arbitration and investor-State arbitration.268. 委员会赞赏地注意到秘书处正在与活跃于国际仲裁和调解领域的组织开展合作与协调。
In that light, the Commission agreed that the Secretariat should continue to coordinate with organizations in relation to the various types of arbitration to which UNCITRAL standards were applicable, and to closely monitor developments, further exploring areas for cooperation and coordination.委员会进一步注意到,贸易法委员会在这一领域中的标准以其灵活性和普遍适用于不同类型仲裁(包括纯商事仲裁和投资人与国家间仲裁)为特色。
In relation to investor-State arbitration, the Commission noted that the current circumstances posed a number of challenges and proposals for reforms had been formulated by a number of organizations.鉴于此,委员会一致认为,秘书处应当继续与各组织在适用贸易法委员会标准的各类仲裁方面开展合作,并且更密切地监测发展动态,以便进一步探索合作与协调领域。
In that context, the Commission was further informed that the Secretariat was conducting a study on whether the Mauritius Convention on Transparency could provide a useful model for possible reforms in the field of investor-State arbitration, in conjunction with interested organizations, including the Center for International Dispute Settlement (CIDS) of the University of Geneva and the Graduate Institute of International and Development Studies.关于投资人与国家间仲裁,委员会注意到,目前的状况造成一些挑战,有一些组织已经提出了改革建议。
In that light, the Secretariat was requested to report to the Commission at a future session with an update on that matter.在这方面,委员会进一步了解到,秘书处正在就《毛里求斯透明度公约》是否能够在与有关组织(包括日内瓦大学解决争端国际中心和国际与发展研究院)合作的情况下为投资人与国家间仲裁领域可能进行的改革提供有益的示范。
In addition, the Commission took note of the statements made by the following intergovernmental organizations.鉴于此,委员会请秘书处在今后一届会议上向委员会提出报告,并提供关于这一事项的最新情况。
1. UNCTAD此外,委员会注意到下列政府间组织的发言。
The representative of UNCTAD mentioned that the UNCITRAL Transparency Rules and the Mauritius Convention on Transparency constituted an important contribution to the comprehensive reform of the international investment agreements (IIA) regime and reported on the main activities of UNCTAD in the field of IIAs and investor-State dispute settlement, which included research and analysis, technical assistance and intergovernmental consensus building.1. 贸发会议
The Commission was informed that UNCTAD had devoted an extensive part of its work developing potential solutions to the challenges that the IIA regime was currently facing.269. 贸发会议代表提到《贸易法委员会透明度规则》和《毛里求斯透明度公约》是对国际投资协议制度全面改革的重要贡献,并报告了贸发会议在国际投资协议以及投资人与国家间争议解决领域中的主要活动,其中包括研究与分析、技术援助和政府间建立共识。
The World Investment Report published by UNCTAD in 2015 offered an action menu for IIA reforms, building on views that emerged at recent intergovernmental and multi-stakeholder meetings organized by UNCTAD as well as its earlier work in that area, and based on the guiding principle that sustainable development should be the overall objective of IIA reforms.委员会获知,贸发会议在其工作中广泛致力于针对国际投资协议制度当前面临的各种挑战制定潜在解决办法。
The Commission was informed that the 2015 World Investment Report offered policy options for IIA reforms in key areas (such as IIA clauses, investment dispute settlement and systemic issues) and at different levels of policymaking (national, bilateral, regional and multilateral levels).贸发会议2015年发表的《世界投资报告》为国际投资协议改革提供了一个行动菜单,其中借鉴了贸发会议最近组织的政府间会议和多利害相关方会议上提出的观点以及贸发会议早先在这一领域中开展的工作,同时还依据了这样的指导原则,即可持续发展应当是国际投资协议改革的总体目标。
Options for reform included reforming the mechanism of investment arbitration under the current structure or replacing it; the latter could include the creation of a standing international investment court, reliance on State-State dispute settlement, and/or reliance on domestic judicial systems of the host State.270. 委员会获知,《2015年世界投资报告》为在关键领域(如国际投资协议条款、投资争端解决和系统问题)中以及在不同决策层面(国内、双边、区域和多边层面)进行国际投资协议改革提供了政策选择办法。
2. ICSID改革办法包括对现行结构下的投资仲裁机制进行改革或者取而代之;后者可能包括设立一个常设国际投资法院、依靠国与国之间争议解决机制,并且(或者)依靠东道国的国内司法系统。
The Secretary-General of ICSID provided a general outline of ICSID’s activities in the field of investor-State arbitration.2. 解决投资争端中心
It was stated that ICSID had administered approximately 70 per cent of all known investment cases under the ICSID rules, the UNCITRAL Arbitration Rules and ad hoc, and that its caseload had increased in recent years, having registered 52 cases in the past fiscal year.271. 解决投资争端中心秘书长概要介绍了该中心在投资人与国家间仲裁领域中的活动。
The Commission was informed of the efforts by ICSID to provide cost- and time-efficient services by making use of the World Bank offices around the world, developing best practices and making better use of technology, while ensuring that due process and the equality of the parties were respected.会上指出,解决投资争端中心根据该中心的规则、《贸易法委员会仲裁规则》以及特定规则管理约70%的所有已知投资案件,该中心的案件量近年来有所增加,上一个财政年录得52起案件。
The Commission also took note of the technical assistance and knowledge management activities of ICSID to provide information about investor-State dispute settlement through its new website and publications as well as by conducting training sessions.委员会获知,解决投资争端中心为提供有成本时间效益的服务作出种种努力,包括利用世界银行在全世界的办事处,制定最佳做法,更好地利用技术,同时确保正当程序和当事人平等待遇得到尊重。
With respect to reform initiatives in the field of investor-State arbitration, it was highlighted that States were the primary custodians of such initiatives in their investment treaties and contracts, and that ICSID would continue to contribute its expertise and experience to implement those initiatives by working closely with its member States, the Commission and other organizations.委员会还注意到解决投资争端中心通过其新的网站和出版物以及通过举办培训班为提供关于投资人与国家间争端解决的信息而开展的技术援助和知识管理活动。
3. PCA关于投资人与国家间仲裁领域中的改革举措,强调指出,各国是其投资条约和合同方面此种举措的主要监护人,解决投资争端中心将继续通过与其成员国、委员会及其他组织密切合作,为执行这些举措贡献其专门知识和经验。
The representative of PCA informed the Commission of the activities of PCA, particularly under the UNCITRAL Arbitration Rules.3. 常设仲裁院
It was mentioned that PCA had administered over 110 investor-State arbitrations, the great majority of which were conducted pursuant to the UNCITRAL Arbitration Rules.272. 常设仲裁院代表向委员会通报了常设仲裁院的活动,特别是根据《贸易法委员会仲裁规则》进行的活动。
The Commission also took note of PCA’s role as designating and appointing authority in connection with the UNCITRAL Arbitration Rules, where a significant proportion of requests received by PCA concerned challenges to arbitrators.会上提到,常设仲裁院管理的投资人与国家间仲裁有110多起,其中绝大多数都是根据《贸易法委员会仲裁规则》进行的。
It further took note of the transparent proceedings administered by PCA and possible cooperation in reform efforts in the field of investor-State dispute settlement.委员会还注意到常设仲裁院作为与《贸易法委员会仲裁规则》有关的指派和指定机构所发挥的作用,在这方面,常设仲裁院所收到的相当大比例的请求涉及仲裁员回避。 委员会进一步注意到由常设仲裁院管理的透明程序,以及为在投资人与国家间争议解决领域进行改革努力而可能开展的合作。
4. OECD4. 经合组织
The representative of OECD informed the Commission of its recent initiatives, which might be of particular interest to the Commission.273. 经合组织代表向委员会通报了该组织近来开展的可能与委员会特别相关的举措。 首先,委员会获知,经合组织主办了一个称之为“投资自由圆桌会议”(圆桌会议)的政府间论坛,该论坛自2011年以来已着手进行关于投资人与国家间仲裁和投资法律的工作。
Firstly, the Commission was informed that OECD hosted an intergovernmental forum, called the Freedom of Investment Roundtable (the “Roundtable”), which had been engaged in work on investor-State arbitration and investment law since 2011.会上指出,圆桌会议除经合组织成员之外还有众多其他国家出席,显示了在投资条约方面交流经验和最佳做法的价值。
It was noted that the Roundtable, which was attended by a wide range of States in addition to the members of the OECD, had demonstrated the value of exchanges of experience and best practices relating to investment treaties.此外,委员会获知,经合组织今年举办其第三次关于负责任企业行为全球论坛,经合组织关于负责任企业行为的工作是以《经合组织跨国企业准则》及其执行机制为依据的。
In addition, the Commission was informed that OECD held this year its third Global Forum on Responsible Business Conduct and that OECD’s work on responsible business conduct built on the OECD Guidelines for Multinational Enterprises and its mechanisms for implementation.还指出,《经合组织投资政策框架》最近已经更新,其中涉及诸多政策领域(包括投资政策、投资促进和便利、投资支持绿色增长,以及关于竞争、贸易和税收的政策),所有这些都有助于投资环境。
It was also noted that the OECD Policy Framework for Investment (PFI) had recently been updated, which addressed numerous policy areas (including investment policy, investment promotion and facilitation, investment in support of green growth as well as policies on competition, trade and taxation), all of which contributed to the investment climate.会上指出,这种综合做法可以帮助各国政府改善投资环境并实现其他公共政策目标。
It was stated that such an integrated approach could help governments in improving the investment climate and achieving other public policy goals.5. 能源宪章秘书处
5. Energy Charter Secretariat274. 能源宪章秘书处的代表向委员会介绍了该秘书处在《能源宪章条约》实施方面的作用。
The representative of the Energy Charter Secretariat informed the Commission about the secretariat’s role in the implementation of the Energy Charter Treaty, the only existing multilateral investment treaty among 54 States providing investment arbitration as a tool for the protection of energy investments.该条约是唯一的现行多边投资条约,有54个缔约国,提供投资仲裁作为保护能源投资的工具。
It was mentioned that at the occasion of the Ministerial Conference on the International Energy Charter at The Hague on 20-21 May 2015, the importance of full access to adequate dispute settlement, including national mechanisms and international arbitration, was restated.提到2015年5月20日至21日在海牙举行的国际能源宪章部长级会议重申必须全面提供适当的争议解决办法,包括各种国内机制和国际仲裁。
Particular attention was drawn to the activity by the Investment Group of the Energy Charter Conference, in close cooperation with UNCITRAL, ICSID, PCA, International Chamber of Commerce (ICC) and SCC and with the assistance of IMI, for the implementation of article 26 of the Energy Charter Treaty, allowing mediation of energy investment disputes and to remove obstacles to mediation.会上特别提请注意能源宪章会议投资小组与贸易法委员会、解决投资争端中心、常设仲裁法院、国际商会以及斯德哥尔摩商会密切合作,在国际调解研究所的协助下,为实施《能源宪章条约》第26条而开展的活动,使得能够调解能源投资争议并消除调解障碍。
C. Reports of other international organizationsC. 其他国际组织的报告
The Commission took note of statements made on behalf of the following international intergovernmental and non-governmental organizations: Unidroit, Hague Conference on Private International Law and ICANN, a summary of which is reported below.275. 委员会注意到代表下列国际政府间组织和非政府组织所作的发言:统法协会、海牙国际私法会议以及互联网名称与数字地址分配机构。
1. Unidroit下文概要介绍发言内容。
The Secretary-General of Unidroit reported on the main activities of Unidroit since the forty-seventh session of UNCITRAL, in 2014.1. 统法协会
The Commission was in particular informed about the following:276. 统法协会秘书长报告了统法协会自贸易法委员会2014年第四十七届会议以来开展的主要活动情况。
(a) Completion of the Legal Guide on Contract Farming, authored in collaboration with the Food and Agriculture Organization of the United Nations (FAO), and the International Fund for Agricultural Development (IFAD).特别向委员会通报了下列事项:
The Legal Guide intends to raise awareness on the legal dimension of contract farming and enhance fair and economically beneficial relationships between agricultural producers and contractors.(a) 完成《契约农业法律指南》,与联合国粮食及农业组织(粮农组织)和国际农业发展基金(农发基金)合作编写。
The text is also intended to serve as a “good practice” reference by providing guidance for parties engaged in contract farming operations, and for policymakers in the context of the formulation of public governance instruments to sustain agricultural development.该《法律指南》意在提高人们对契约农业法律方面问题的认识,并增进农业生产者和承包人之间公平和经济实惠的关系。
Appreciation was expressed to UNCITRAL for providing comments on the Guide during its preparation.该案文还意在成为“良好做法”参考,为从事契约农业经营的当事人提供指导,也为制定维持农业发展的公共治理文书的决策者提供指导。
It was noted that the Guide, approved by the Unidroit Governing Council in May 2015, would be launched at an event in Rome on 28 July 2015 and that IFAD had granted funds to support various follow-up activities planned by FAO, under the supervision of a steering committee in which the three organizations participate;对贸易法委员会在《指南》编写过程中对《指南》提出的评论意见表示感谢。
(b) The Convention on International Interests in Mobile Equipment (“Cape Town Convention”) continued to attract new accessions and had reached the number of sixty-six contracting States.会上注意到,《指南》于2015年5月得到统法协会理事会核准,将于2015年7月28日在罗马举办的活动中发布,农发基金已经提供资金支助粮农组织计划开展的各种后续活动,这些活动将由这三个组织参加的指导委员会监督。
Participation in the Aircraft Protocol to the Convention had increased as well and currently the Protocol had fifty-eight States parties.(b) 《移动设备国际利益公约》(《开普敦公约》)继续吸引更多国家加入,缔约国数量已达66个。
There were also developments with regard to protocols to the Cape Town Convention.加入该《公约》《航空器议定书》的国家也有所增加,目前该《议定书》有58个缔约国。
Since the last Commission session, in 2014, the European Union had approved the Rail Protocol, this approval would be instrumental to ratification of this text by States and its entry into force; a third session of the Space Protocol Preparatory Commission had been held and had largely finalized the draft Regulations for the international registry; significant progress had also been made on the future fourth Protocol on matters specific to agricultural, mining and construction equipment, for which Study Group meetings had been held.《开普敦公约》各项议定书也有一些进展。
The development of such Protocol continued and it was anticipated that it would move to the intergovernmental negotiation stage in 2016.自2014年委员会上届会议以来,欧洲联盟核准了《铁路议定书》,这将有助于各国批准该文本,促成其生效;《空间议定书》筹备委员会举行了第三届会议,国际登记处条例草案基本定稿;未来关于农业、矿业和建筑设备特有事项的第四项议定书也取得了显著进展,已经为此举行了多次研究组会议。
Unidroit’s appreciation for UNCITRAL’s involvement in developing the Protocol was expressed and it was noted that the UNCITRAL secretariat had attended the first Study Group meeting;该议定书的拟订工作继续进行,预计将在2016年进入政府间谈判阶段。
Available from www.unidroit.org/instruments/security-interests/cape-town-convention.统法协会感谢贸易法委员会参与该议定书的拟订工作,注意到贸易法委员会秘书处出席了研究组第一次会议。
(c) Unidroit continued to be active in the field of international commercial contracts and had created a restricted Working Group to consider developing possible amendments and additions to the black-letter rules and comments of the current edition of the Principles of International Commercial Contracts in order to address the special needs of long-term contracts.查阅网址:www.unidroit.org/instruments/security-interests/cape-town-convention。
The Working Group, whose first meeting was attended by the UNCITRAL secretariat, considered amendments relating to contracts with open terms, agreements to negotiate in good faith, supervening events, termination for compelling reasons and post-contractual obligations.(c) 统法协会继续在国际商业合同领域积极开展活动,设立了一个限定人数的工作组,考虑对《国际商事合同通则》目前版本的黑体字规则和评论作出可能的修正和补充,以满足长期合同的特殊需要。
The second meeting to finalize the proposed amendments and additions to the black-letter rules was expected to be held in October 2015;贸易法委员会秘书处出席了工作组第一次会议,会上审议了在以下方面的修正:载有待定条款的合同、善意谈判协议、后发事件、出于紧迫原因的终止以及后合同义务。
(d) Unidroit also continued to work with ELI to adapt the American Law Institute (ALI)/Unidroit Principles of Transnational Civil Procedure (2004) to the specificities of European regional legal cultures with a view to drafting Europe-specific regional rules.预计将在2015年10月举行第二次会议,最后确定对黑体字规则的拟议修正和补充。
Five Working Groups had been established to consider (i) access to information and evidence; (ii) provisional and protective measures; (iii) service of documents and due notice of proceedings; (iv) lis pendens and res judicata; and (v) obligations of the parties and lawyers.(d) 统法协会还继续与欧洲法律研究所合作,按照欧洲区域法律文化特征改编美国法学会/统法协会《跨国民事诉讼程序原则》(2004年),以期拟订专门针对欧洲的区域规则。
The Working Groups first met in November 2014 in a joint meeting with the Steering Committee and a second meeting of the Steering Committee and Chairs of the Working Groups was subsequently held in Brussels in April 2015.已经设立五个工作组审议以下事项: = 1 \* GB4 ㈠获取信息和证据; = 2 \* GB4 ㈡临时措施和保护性措施; = 3 \* GB4 ㈢文件送达和适当的程序通知; = 4 \* GB4 ㈣未决案件和已决案件; = 5 \* GB4 ㈤当事人和律师的义务。
It was expected that work on this topic could be completed in three to four years;这些工作组首先在2014年11月与指导委员会举行联席会议,随后于2015年4月在布鲁塞尔举行了指导委员会和各工作组主席的会议。
(e) Celebrations of the twentieth anniversary of the 1995 Unidroit Convention on Stolen or Illegally Exported Cultural Objects took place in Rome (8 May 2015) and provided an opportunity to assess the significance, the distinctive features and operational aspects of this normative instrument;预计可在三至四年内完成关于该议题的工作。
(f) As the year 2016 will mark Unidroit’s ninetieth anniversary, Unidroit was planning a one-day high-level special session of the Unidroit General Assembly, tentatively scheduled for 20 April 2016, to discuss the role and place of private law in supporting the implementation of the international community’s broader cooperation and development objectives.(e) (2015年5月8日)在罗马举办了1995年《统法协会关于被盗或非法出口文物的公约》二十周年庆祝活动,为评估这一规范性文书的重要性、显著特征和操作方面的问题提供了一个机会。
UNCITRAL was invited to be represented at the highest level at such an event and to chair a panel devoted to commercial law and the rule of law to highlight the important contribution of the Commission in this field.(f) 2016年将是统法协会成立90周年,统法协会正在计划举办为期一天的统法协会大会高级别特别会议,暂定于2016年4月20日举行,讨论私法在支持执行国际社会更广泛合作与发展目标方面的作用和地位。
2. The Hague Conference on Private International Law贸易法委员会受邀派最高级别代表出席这一活动,并主持一个专门讨论商法和法治的小组讨论会,以突显委员会在这一领域的重要贡献。
A representative of the Permanent Bureau expressed appreciation for the continuing cooperation between The Hague Conference, Unidroit and UNCITRAL.2. 海牙国际私法会议
It was noted that, in the context of such cooperation, The Hague Conference had on various occasions shared its expertise in projects of private international law of common interest to the three organizations, and that it was ready to further contribute to other similar projects in the future.277. 常设局的代表表达了对于海牙会议与统法协会和贸易法委员会之间持续合作的赞赏。
3. ICANN会上指出,在这种合作中,海牙会议通过多种机会在三个组织共同感兴趣的国际私法项目中分享了其专长,海牙会议愿意将来为其他类似项目作出进一步贡献。
The Commission was informed about the mandate and the work of ICANN.3. 互联网名称与数字地址分配机构
A not-for-profit corporation, established under the laws of California (United States), ICANN deals with Internet security, stability and interoperability.278. 委员会了解到互联网名称与数字地址分配机构的任务授权和工作情况。
In particular, the organization is responsible for the coordination of the Internet’s naming system, i.e.该机构是按照加利福尼亚州(美国)法律设立的非盈利机构,处理互联网安全、稳定和互操作性问题。
the Domain Name System, through which ICANN contributes to maintain an open and interoperable Internet.特别是,该组织负责协调互联网的命名系统,即域名系统,从而协助维持一个开放而可互操作的互联网。
Appreciation was expressed for ICANN’s participation, as an observer, in the work of UNCITRAL Working Group IV (Electronic Commerce).会上感谢互联网名称与数字地址分配机构作为观察员参加贸易法委员会第四工作组(电子商务)的工作。
D. International governmental and non-governmental organizations invited to sessions of UNCITRALD. 获邀参加贸易法委员会届会的国际政府组织和非政府组织
At its current session, the Commission recalled that, at its forty-third session, in 2010, it had adopted the summary of conclusions on UNCITRAL rules of procedure and methods of work.279. 在本届会议上,委员会回顾其2010年第四十三届会议通过了关于贸易法委员会议事规则和工作方法的结论概要。
In paragraph 9 of the summary, the Commission had decided to draw up and update as necessary a list of international organizations and non-governmental organizations with which UNCITRAL had long-standing cooperation and which had been invited to sessions of the Commission.在概要第9段,委员会决定编拟并在必要情况下更新与贸易法委员会长期合作以及曾获邀参加委员会届会的国际组织和非政府组织的名单。
The Commission also recalled that, further to its request, the Secretariat had adjusted the online presentation of information concerning intergovernmental and non-governmental organizations invited to sessions of UNCITRAL and its working groups and the modality of communicating such information to States, and the adjustments made were to the satisfaction of the Commission.委员会还回顾,根据该要求,秘书处调整了网上列示的获邀参加贸易法委员会及其工作组届会的政府间组织和非政府组织的信息以及向各国发送此类信息的方式,所作调整让委员会感到满意。
Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), annex III.《大会正式记录,第六十五届会议,补编第17号》(A/65/17),附件三。
Ibid. Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 288-298.同上,《第六十六届会议,补编第17号》(A/66/17),第288-298段。
Ibid. Sixty-seventh Session, Supplement No. 17 (A/67/17), paras. 176-178.同上,《第六十七届会议,补编第17号》(A/67/17),第176-178段。
The Commission took note that since its forty-seventh session, in 2014, the following organizations had been added in the list of non-governmental organizations invited to sessions of UNCITRAL: the Brazilian Chamber of Electronic Commerce (www.camara-e.net); the Center of Arbitration of the Chamber of Commerce of Lima (www.camaralima.org.pe); International Commercial Arbitration Court at the Chamber of Commerce and Industry of Ukraine (www.ucci.org.ua/arb/icac/en/icac.html) (ICAC); IFG (www.ifgroup.com); and the New York International Arbitration Center (nyiac.org) (NYIAC).280. 委员会注意到,自其2014年第四十七届会议以来,在受邀参加贸易法委员会届会的非政府组织名单中添加了下列组织:巴西电子商会(www.camara-e.net)、利马商会仲裁中心(www.camaralima.org.pe)、乌克兰工商会国际商事仲裁法院(www.ucci.org.ua/arb/icac/en/icac.html)、国际保理商组织(www.ifgroup.com)和纽约国际仲裁中心(nyiac.org)。
The Commission requested the Secretariat, when presenting its oral report at future sessions of the Commission on the topic of organizations invited to sessions of UNCITRAL, to provide comments on the manner in which invited organizations fulfilled the criteria applied by the Secretariat in making its decision to invite non-governmental organizations.委员会要求,在今后的委员会届会上,秘书处就受邀参加贸易法委员会届会的组织这一议题作口头报告时,解释受邀组织如何满足秘书处在决定邀请非政府组织时所适用的标准。
The Commission also took note that, pursuant to General Assembly resolutions 68/106 and 69/115 (paragraph 8 in both resolutions), all States and invited organizations were reminded, when they were invited to UNCITRAL sessions, about rules of procedure and work methods of UNCITRAL.281. 委员会还注意到,根据大会第68/106和69/115号决议(在这两项决议的第8段),所有国家和获邀组织在被邀请参加贸易法委员会届会时,都被提醒注意贸易法委员会的议事规则和工作方法。
Such a reminder is effectuated by inclusion in invitations issued to them of a reference to a dedicated web page of the UNCITRAL website where main official documents of UNCITRAL pertaining to its rules of procedure and work methods could be easily accessed.提醒的办法是在向各国家和组织发送的邀请函中提及贸易法委员会网站上的一个专门网页,可在该网页上轻松查阅关于贸易法委员会议事规则和工作方法的主要正式文件。
(For the deliberations of the Commission on coordination and cooperation in the area of security interests, see paras. 218-219 above.)(关于委员会就担保权益领域协调与合作进行审议的情况,见上文第218-219段。
XIV. UNCITRAL regional presence
The Commission had before it a note by the Secretariat (A/CN.9/842) on the activities undertaken by UNCITRAL-RCAP.十四、
In an oral report by the head of UNCITRAL-RCAP, reference was made to the close cooperation with the host country of UNCITRAL-RCAP, the Republic of Korea, and in particular its Ministry of Justice, namely by the joint organization of several regional conferences and technical assistance initiatives, such as the 2015 UNCITRAL Asia-Pacific Incheon Spring Conferences and the third ADR Asia-Pacific Conference.贸易法委员会的区域存在
Strong support was expressed, in particular, for the various activities undertaken by UNCITRAL-RCAP which aimed at long-term capacity-building ensuring legal uniformity and general economic stability in Asia and the Pacific, in close cooperation and coordination with institutions active in trade law reform in the region.282. 委员会收到了秘书处关于贸易法委员会亚太区域中心所开展活动的说明(A/CN.9/842)。
It was recognized that the growing relevance of UNCITRAL-RCAP and its innovative approaches promoted the harmonization and modernization of international trade law standards in the context of economic integration and cooperation frameworks, and actions undertaken in the context of regional organizations, in particular the ASEAN Economic Community, APEC, the Gulf Cooperation Council and the South Asian Association for Regional Cooperation, were encouraged.283. 在贸易法委员会亚太区域中心主任的口头报告中,提到了与贸易法委员会亚太区域中心东道国即大韩民国特别是与该国司法部开展的密切合作,即联合举办几次区域会议和技术援助举措,例如,2015年贸易法委员会亚洲太平洋仁川春季会议和第三次亚洲太平洋非诉讼争议解决会议。
The Commission reiterated the importance of the mandate given to UNCITRAL-RCAP and expressed firm encouragement and support for its wide range of activities, namely the educational and outreach programmes, emphasizing its growing significance in increasing regional contributions to the work of UNCITRAL.284. 会上表示强烈支持特别是贸易法委员会亚太区域中心与该区域积极进行贸易法改革的机构密切合作与协调开展的旨在建设长期能力以确保亚洲太平洋区域法律协调统一和整个经济稳定的各种活动。
In response to a suggestion to hold a session of a working group in the Asia-Pacific region, the Secretariat was requested to assess such feasibility taking into account the budget situation and the long tradition of holding those sessions in Vienna and New York.285. 会议认识到贸易法委员会亚太区域中心日益重要的作用及其创新做法促进了在经济一体化与合作框架内实现国际贸易法标准的协调统一和现代化,并鼓励在区域组织特别是东盟经济共同体、亚太经合组织、海湾合作委员会和南亚区域合作联盟范围内采取的行动。
The proposal to host a celebratory event in the Asia-Pacific region on the occasion of the 50th anniversary of the establishment of UNCITRAL was supported.286. 委员会重申赋予贸易法委员会亚太区域中心任务授权的重要性,并表示坚定鼓励和支持其开展的广泛活动,即教育和宣传方案,强调该中心在促进本区域对贸易法委员会工作的贡献方面发挥越来越重要的作用。
The Commission acknowledged with gratitude the financial and in-kind contributions of the Government of the Republic of Korea to the operation of UNCITRAL-RCAP and to its specific activities, as well as that of other contributors.287. 针对提议在亚洲太平洋区域举行工作组届会,会上请秘书处考虑到预算情况及在维也纳和纽约举行届会的长期传统对这种可行性进行评估。
The Government of the Republic of Korea stated its continued willingness to support the operation of UNCITRAL-RCAP, possibly by extending its financial contribution beyond 2017.288. 会上支持在贸易法委员会成立五十周年之际在亚洲太平洋区域主办一次庆祝活动的建议。
Furthermore, in that context, a suggestion was made that it would be desirable for UNCITRAL-RCAP to become a permanent regional office through assistance from States in the region and possibly through the United Nations regular budget.289. 委员会感谢大韩民国政府为贸易法委员会亚太区域中心的运作及其具体活动提供资金和实物捐助,也感谢其他捐助者。
The Commission reiterated that, in light of the importance of a regional presence for raising awareness of UNCITRAL’s work and, especially, for promoting the adoption and uniform interpretation of UNCITRAL texts, and in view of the successful activities of UNCITRAL-RCAP, further efforts should be made to emulate its example in other regions.290. 大韩民国政府表示愿意继续为贸易法委员会亚太区域中心的运作提供支助,可能将其资金捐助延长到2017年以后。
The Secretariat was requested to pursue consultations regarding the possible establishment of other UNCITRAL regional centres and/or capacity-building centres.此外,在这方面,会上提出贸易法委员会亚太区域中心应当通过区域内国家的援助——也许通过联合国经常预算——成为一个常设性区域办事处。
In that context, while concern was raised on the already limited resources of the UNCITRAL secretariat to monitor and support regional activities, a balanced approach was encouraged to ensure that benefits resulting from the establishment of additional regional centres outweigh any related cost associated with time spent by the UNCITRAL secretariat, recognizing that such centres are beneficial to all States and for the efficient global implementation of UNCITRAL standards.291. 委员会重申,鉴于区域存在对于增进了解贸易法委员会工作,特别是对于促进通过和统一解释贸易法委员会法规的重要性,并鉴于贸易法委员会亚太区域中心成功地开展了一些活动,应当作出进一步努力,在其他区域仿效亚太区域中心的例子。
The Commission was informed of the specific offer received to establish a UNCITRAL regional centre in Colombia, which gathered support from States.委员会请秘书处继续就可能设立贸易法委员会其他区域中心和(或)能力建设中心进行协商。 292. 在这方面,虽然对秘书处可用来监测和开展区域活动的资源已经很有限表示了关切,但会上鼓励采取平衡兼顾的做法,确保设立额外区域中心所带来的益处超过与秘书处所花费时间有关的任何相关成本,同时认识到此类中心对所有国家都有益处,并有利于全球高效地执行贸易法委员会的标准。
XV. Role of UNCITRAL in promoting the rule of law at the national and international levels293. 委员会获悉收到了在哥伦比亚设立贸易法委员会区域中心的具体提议,哥伦比亚已争取到一些国家的支持。 十五、贸易法委员会在促进国内和国际法治方面的作用
A. IntroductionA. 导言
The Commission recalled that the item on the role of UNCITRAL in promoting the rule of law at the national and international levels had been on the agenda of the Commission since its forty-first session, in 2008, in response to the General Assembly’s invitation to the Commission to comment, in its report to the General Assembly, on the Commission’s current role in promoting the rule of law.294. 委员会回顾,大会请委员会在提交大会的报告中,对委员会目前在促进法治方面的作用发表评论,据此,“贸易法委员会在促进国内和国际法治方面的作用”这一项目自2008年第四十一届会议以来一直列在委员会议程上。
The Commission further recalled that since that session, the Commission, in its annual reports to the General Assembly, had transmitted comments on its role in promoting the rule of law at the national and international levels, including in the context of post-conflict reconstruction.委员会还回顾,在该届会议以来提交大会的年度报告中转交了对委员会在促进国内和国际法治方面的作用的评论意见,包括在冲突后重建情况下。
It expressed its conviction that the promotion of the rule of law in commercial relations should be an integral part of the broader agenda of the United Nations to promote the rule of law at the national and international levels.委员会表示确信,在商业关系中促进法治应当是促进国内和国际法治这一更广泛的联合国议程的一个组成部分。
That view had been endorsed by the General Assembly.大会赞同这一看法。
For the decision of the Commission to include the item on its agenda, see Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17), part two, paras. 111-113.关于委员会将本项目列入议程的决定,见《大会正式记录,第六十二届会议,补编第17号》(A/62/17),第二部分,第111-113段。 大会第62/70号决议,第3段;第63/128号决议,第7段;第64/116号决议,第9段;第65/32号决议,第10段;第66/102号决议,第12段;以及第67/97号决议,第14段;第68/116号决议,第14段。 《大会正式记录,第六十三届会议,补编第17号》和更正(A/63/17和Corr.1),第386段;同上,《第六十四届会议,补编第17号》(A/64/17),第413-419段;同上,《第六十五届会议,补编第17号》(A/65/17),第313-336段;同上,《第六十六届会议,补编第17号》(A/66/17),第299-321段;同上,《第六十七届会议,补编第17号》(A/67/17),第195-227段;同上,《第六十八届会议,补编第17号》(A/68/17),第267-291段;《第六十九届会议,补编第17号》(A/69/17),第215-240段。 第63/120号决议,第11段;第64/111号决议,第14段;第65/21号决议,第12-14段;第66/94号决议,第15-17段;第67/89号决议,第16-18段;第68/106号决议,第12段;第69/115号决议,第12段。
General Assembly resolutions 62/70, para.295. 委员会第四十八届会议听取了秘书处就委员会第四十七届会议所作相关决定执行情况作的口头报告。
3; 63/128, para. 7; 64/116, para. 9; 65/32, para. 10; 66/102, para. 12; 67/97, para. 14; and 68/116, para.委员会与之有关的报告和决定概要载于下文B节。
14. Official Records of the General Assembly, Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), para.《大会正式记录,第六十九届会议,补编第17号》(A/69/17),第228段。
386; ibid. Sixty-fourth Session, Supplement No. 17 (A/64/17), paras. 413-419; ibid. Sixty-fifth Session, Supplement No. 17 (A/65/17), paras. 313-336; ibid. Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 299-321; ibid. Sixty-seventh Session, Supplement No. 17 (A/67/17), paras. 195-227; ibid. Sixty-eighth Session, Supplement No. 17 (A/68/17), paras. 267-291; and ibid. Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 215-240.296. 委员会注意到大会关于国内和国际法治的第69/123号决议,大会在该决议第17段请委员会继续在其提交大会的报告中就其目前在促进法治方面的作用发表评论。
Resolutions 63/120, para. 11; 64/111, para.委员会决定将其今年提交大会的评论侧重于委员会根据该决议第20段促进和增进法治的多边条约过程。
14; 65/21, paras. 12-14; 66/94, paras. 15-17; 67/89, paras. 16-18; 68/106, para.在邀请专家进行小组讨论后编拟了评论。
12; and 69/115, para.评论以及小组讨论概要载于下文C节。
12. At its forty-eighth session, the Commission heard an oral report by the Secretariat on the implementation of the relevant decisions taken by the Commission at its forty-seventh session.297. 委员会还注意到该决议第1和15段以及秘书长报告A/68/213/Add.1,秘书长在该报告中表达了下述看法:在发展法治与联合国三大支柱——和平与安全、人权和发展——之间的关联时,应当探索如何密切大会与贸易法委员会之间的互动关系。
A summary of the report and decisions of the Commission related thereto are contained in section B below.委员会注意到这与该讨论的相关性,并赞同秘书处继续努力在拟根据该决议第15段编写的分析概要中反映贸易法委员会的看法。
Official Records of the General Assembly, Sixty-ninth Session, Supplement No. 17 (A/69/17), para.B. 委员会第四十七届会议所作相关决定的执行情况
228. The Commission took note of General Assembly resolution 69/123 on the rule of law at the national and international levels, by paragraph 17 of which the General Assembly invited the Commission to continue to comment, in its reports to the General Assembly, on its current role in promoting the rule of law.298. 在代表贸易法委员会第四十七届会议主席的报告中指出,已经作出努力,在2015年后发展议程谈判中以及拟于2015年7月13日至16日在亚的斯亚贝巴举行的第三次发展筹资问题国际会议成果文件中反映协调统一的现代国际商法框架对于执行2015年后发展议程的重要性。
The Commission decided to focus its comments to the General Assembly this year on the role of its multilateral treaty processes in promoting and advancing the rule of law in line with paragraph 20 of that resolution.提议在会议成果文件中列入一个段落,对贸易法委员会工作对于发展筹资的意义加以确认,该提议得到一些国家的支持。
The comments were formulated following a panel discussion with participation of invited experts.委员会欢迎这一建议,并表示希望将在最后成果文件中保留该建议。
The comments and a summary of the panel discussion are contained in section C below.299. 委员会注意到自其第四十七届会议以来与联合国法治议程有关的动态,特别是,将法治作为一项目标列入2015年后发展议程、贸易法委员会工作对于2015年后发展议程的一些其他设想中的目标的意义,以及正在为拟订将于2015年9月通过的可持续发展目标和指标的配套指示数而开展的工作。
The Commission also took note of paragraphs 1 and 15 of that resolution and the Secretary-General report A/68/213/Add.1 in which the Secretary-General expressed the view that a closer interaction between the General Assembly and UNCITRAL should be explored in developing the linkages between the rule of law and the three pillars of the United Nations: peace and security, human rights and development.300. 委员会对贸易法委员会第四十七届会议主席Choong-hee HAHN先生(大韩民国)为增进联合国系统对贸易法委员会工作的了解和为促成国际贸易法协调统一和现代化问题列入2015年后发展议程和发展筹资讨论所作出的大量努力表示感谢。
The Commission noted its relevance to that discussion and endorsed Secretariat efforts towards reflecting UNCITRAL’s views in the analytical summary to be prepared under paragraph 15 of the resolution.委员会请贸易法委员会各成员国、本届会议主席团及其秘书处采取适当步骤,确保在2015年后发展议程谈判、通过和执行的随后各阶段,特别是在亚的斯亚贝巴会议的成果文件、2015年峰会以及可持续发展目标和指标的配套指示数中,保持并在可能情况下加强与贸易法委员会有关的积极发展动态。
B. Implementation of the relevant decisions taken by the Commission at its forty-seventh session301. 委员会回顾,委员会曾要求秘书处继续探索发挥协同效应的途径并扩展与各国派驻联合国各机构代表团的联系,以增进其对贸易法委员会工作以及这些工作对联合国其他工作领域的意义的了解。
On behalf of the Chairman of UNCITRAL’s forty-seventh session, it was reported that efforts had been made to reflect in negotiations of the post-2015 development agenda and in an outcome document of the Third International Conference on Financing for Development to be held in Addis Ababa on 13-16 July 2015 the importance of harmonized and modernized international commercial law framework for implementation of the post-2015 development agenda.会上表示支持与在国家层面开展活动的其任务授权是协助进行当地法律改革——促进法治、发展或其他方面——的联合国系统各机构扩展联系,以便使这些机构在其工作中适当考虑到在商业关系中促进法治,特别是促进贸易法委员会的标准。
A paragraph acknowledging the relevance of UNCITRAL’s work in the financing for development context was proposed for inclusion in the outcome document of the Conference and was supported by a number of States.同上,第284段。
The Commission welcomed the proposal and expressed the hope that it would be retained in the final outcome document.C. 贸易法委员会向大会提供的评论意见
The Commission noted developments related to the United Nations rule of law agenda since its forty-seventh session, in particular the integration of rule of law as a target in the post-2015 development agenda, the relevance of UNCITRAL’s work to a number of other envisaged targets in the post-2015 development agenda and ongoing work on indicators that would accompany sustainable development goals and targets to be adopted in September 2015.1. 贸易法委员会多边条约进程对促进和推进法治的作用小组讨论概要
The Commission expressed its appreciation to the Chair of the forty-seventh session of UNCITRAL, Mr. Choong-hee HAHN (Republic of Korea), for his significant efforts towards increasing awareness of UNCITRAL’s work across the United Nations system and for bringing issues of harmonization and modernization of the law of international trade to the discussions of the post-2015 development agenda and financing for development.302. 发言者们提及大会第67/1号决议,其中认识到贸易法委员会和国际贸易法在法治和发展背景下的作用。
It requested States members of UNCITRAL, its Bureau at the current session and its secretariat to take appropriate steps to ensure that the positive developments related to UNCITRAL are retained and if possible reinforced, in subsequent stages of negotiation, adoption and implementation of the post-2015 development agenda, in particular in the outcome documents of the Addis Ababa Conference and the 2015 Summit and in the indicators that would accompany the sustainable development goals and targets.他们认为,应当做更多工作,使人们认识到联合国法治活动也包含促进以规则为依据的商业关系。
The Commission recalled its call to its secretariat to continue exploring synergies and expanding outreach to delegations of States to various United Nations bodies with the view of increasing their awareness of the work of UNCITRAL and its relevance to other areas of work of the United Nations.303. 发言者们说,还应做更多工作,使联合国全系统更多了解贸易法委员会的工作对实施国际发展议程的重要性。
Support was expressed for outreach to various bodies of the United Nations system operating at a country level with the mandate to assist with local law reforms, be it in the promotion of the rule of law, development or other context, so that they appropriately factor in their work the promotion of the rule of law in commercial relations generally and UNCITRAL standards in particular.特别是,在联合国全系统内外讨论的国际贸易促进问题的各个方面不应忽视需要清除或减少对国际贸易流动的法律障碍。
Ibid.应向与贸易法委员会工作有关的联合国各机构(包括专门机构)开展推介工作。
para.304. 关于贸易法委员会多边条约进程对促进和推进法治的作用,受邀发言者重点讨论了以下几方面:(a)条约进程的启动;(b)条约制定进程;(c)条约的执行。
284.他们讨论了多边条约进程这三个阶段之间的联系、每个阶段对条约质量的影响、这三个阶段相结合对条约质量的影响、各国和预期最终使用者对条约的接受程度,以及在商业关系中促进法治的问题。
C. UNCITRAL comments to the General Assembly305. 会上强调有必要在多边条约进程的所有阶段与所有相关利益方进行密切协调,以避免在整个进程中出现重复工作、相互冲突的结果以及失去推进法治的机会。
1. Summary of the panel discussion on the role of UNCITRAL multilateral treaty processes in promoting and advancing the rule of law会上为特别同区域机构增进合作与协调提出了一些建议。
Speakers referred to General Assembly resolution 67/1 that recognized the role of UNCITRAL and the law of international trade in the rule of law and development contexts.306. 会上提及促进贸易法委员会标准制定活动的各项要素,其中包括国际贸易法(即规范私营当事人之间的商业关系而非国家间贸易关系的法律)的技术性质和非政治性质。
They felt that more should be done to achieve the understanding of the United Nations rule of law activities as also encompassing promotion of rule-based commercial relations.应当防止将贸易法委员会的条约制定进程与多边贸易协定进程联系过紧,因为后一种进程通常导致政治上的妥协,而这与评估正在制定的标准对经济和合同惯例的影响关系不大。
According to speakers, more should also be done towards increasing awareness across the United Nations system about relevance of the work of UNCITRAL to the implementation of the international development agenda.307. 会上回顾了贸易法委员会的工作所产生的不同类型的联合国条约。
In particular, aspects of international trade facilitation discussed across the United Nations system and beyond should not overlook the need for removing or reducing legal obstacles to the flow of international trade.一些条约协调了现行的各种法律制度(如《联合国销售公约》),还有一些条约反映了就注重经济结果的规则达成的协议(如《转让公约》)。
Outreach should be to the entire spectrum of United Nations bodies relevant to the work of UNCITRAL, including specialized agencies.贸易法委员会的一些文书将这两种要素结合起来——在某些方面协调各种完善的法律制度,而在另一些方面采用只在少数法域通行的注重经济结果的办法。
On the role of UNCITRAL multilateral treaty processes in promoting and advancing the rule of law, the invited speakers focused on: (a) initiation of a treaty process; (b) treaty-making processes; and (c) treaty implementation.308. 会上强调了所有条约——包括允许国家作出声明的和允许私人当事方减损的条约——对经济和法治的积极作用。
They discussed the linkages among those three stages of multilateral treaty processes and the impact of each separately and all cumulatively on the quality of a treaty, its acceptance by States and intended end-users, and the promotion of the rule of law in commercial relations.有与会者认为,允许作出声明的公约仍然确保了确定性和可预测性,因为商业当事人事先已经了解通过声明可作修改的程度。
The need for close coordination with all relevant stakeholders at all stages of multilateral treaty processes was emphasized in order to avoid duplication, conflicting results and lost opportunities to advance the rule of law through the process.有当事人意思自治条款的条约,即使可能不适用于某些特定交易,但仍然促进了“最佳做法”规则,避免了不必要的规范。
Suggestions were made for increasing cooperation and coordination in particular with regional bodies.309. 在贸易法委员会条约制定进程的启动方面,在小组讨论和随后的讨论中,都强调必须及时选择适当主题以制定条约加以规范。
The technical and apolitical nature of the law of international trade (i.e.讨论了实现这一点的手段,特别是与开发银行、其他发展援助机构和商界密切合作。
law regulating commercial relations between private parties as opposed to trade relations among States) was cited among factors that facilitated UNCITRAL’s standard-setting activities.从非洲发展的角度看,特别强调贸易法委员会可在以下领域开展活动:对转运承运人的规范;执行判决;自然人破产;特许经营;技术转让;经销和代理合同;以及自然资源开发。
Linking UNCITRAL’s treaty-making processes too closely to multilateral trade agreement processes should be discouraged since the latter processes often led to political compromises that had little to do with the assessment of economic and contract practice effects of standards being prepared.还强调需要在贸易法委员会已经处理的领域或目前正在处理的领域进一步开展协调统一工作,这些领域有:公共采购、建设工程合同、基础设施项目、国际支付和电子商务。
Different types of United Nations treaties emanated from the work of UNCITRAL were recalled.310. 发言者们列举具体实例,指出,在条约和其他类型文书(示范法或立法指南)之间进行选择,有时并不是简单的事,可在已经着手制定标准时作最后选择。
Some treaties harmonized existing legal systems (e.g. the United Nations Sales Convention) while others recorded an agreement on economic results-based rules (e.g. the Assignment Convention).有必要在很早的阶段确定一项标准的主要受益方,以便确保采取正确的规范办法。
Some UNCITRAL instruments combined both elements — harmonization of developed legal regimes on some aspects and economic results-based approaches prevailing only in a minority of jurisdictions on some other aspects.强调了条约进程的这一初始阶段对条约随后结果的影响。
The positive economic and rule of law effect of all treaties, including those allowing declarations by States and derogations by private parties, was emphasized.在贸易法委员会的实践中不乏实例证明“软法律”办法在协调统一的初始阶段的有效性:由于“软法律”标准的广泛应用,通过条约实现较高程度的协调统一更为切实可行,最终制定出来的条约也更容易实施。
It was argued that certainty and predictability were still ensured through treaties allowing declarations since the extent of modification through the declaration was known to commercial parties in advance.311. 在条约制定进程方面,发言者们讨论了贸易法委员会为实现包容性、知名度并调和各谈判方的不同意见和利益而采取的工作方法。
Treaties with party autonomy provisions, even though they might not be applicable to particular transactions, still promote “best practice” rules, avoiding unnecessary regulation.贸易法委员会聚集来自各政府、私营部门和其他机构的专家,借以促进不同国家、文化和利益之间的对话。
In the context of initiation of a treaty-making process in UNCITRAL, during the panel discussion and ensuing discussion, the importance of the timely selection of the appropriate subject for regulation by a treaty was emphasized.考虑到贸易法委员会处理的私法事项在各地的规范互不相同,各种法律传统的差异以及各国发展水平的差异,这种对话有时并不容易;因此解决办法一定是以妥协为基础的。
Means of achieving that, in particular through closer collaboration with development banks, other development assistance agencies and business communities, were discussed.312. 会上指出,贸易法委员会的一些特点使得贸易法委员会的标准制定进程不同于联合国其他机构的标准制定进程,并有助于保障其各项标准的质量。
From African development perspectives, the following areas for possible work by UNCITRAL were highlighted in particular: regulation of transit carriers; enforcement of judgements; insolvency of natural persons; franchising; technology transfer; distribution and agency contracts; and natural resources exploitation.这些特点有:将协商一致理解为“具有实质性优势的多数”、达成协商一致的做法以及受邀非政府组织在谈判中的积极作用。
The need for further harmonization work in areas already tackled by UNCITRAL or currently being tackled — public procurement, construction contracts, infrastructure projects, international payments and electronic commerce — was also highlighted.大会一贯的做法是协商一致通过贸易法委员会拟订的公约,而不将公约送交外交会议作最后确定并通过,这正是对贸易法委员会条约制定进程有效性的承认。
Citing specific examples, speakers noted that choosing between a treaty and other types of instruments (a model law or legislative guide) was not always a straightforward choice and the final choice might be made when a standard was already being elaborated.313. 在条约执行方面,发言者们指出,条约启动和制定进程的质量以及条约本身的质量并不能保证条约得到国际社会通过。
Identifying at the very early stage the primary beneficiaries of a standard was necessary in order to ensure the correct approach to regulation.其原因是多种多样的,其中包括条约中的解决办法过时,或者与区域经济一体化承诺相冲突。
The impact of that initial stage of the treaty process on the subsequent fate of the treaty was underscored.适当执行条约的能力(具备必要的机构、程序和专业骨干)也是许多国家的问题。
There were examples in UNCITRAL’s practice proving the effectiveness of a “soft law” approach at the initial stages of harmonization: the widespread use of “soft law” standards made achieving a higher-level of unification through a treaty more realistic and the treaty elaborated in the end was more easily implemented.314. 另一方面,非正式的条约执行方式也正在普及:条约条款被商业当事人用作合同条款,或被各种规则制定机构或法律改革援助机构纳入“软法律”文书(如区域示范法或指导文件)。
In the context of treaty-making processes, speakers discussed work methods of UNCITRAL aimed at inclusiveness, publicity and reconciling various views and interests of negotiating parties.还有一些实例是,由于对某项条约所涵盖的问题没有适当的国内规范,法院适用了条约,从而改善了本国境内的贸易环境。
By bringing together experts from Governments, private sector and other institutions, UNCITRAL promoted a dialogue across nations, cultures and interests.还有一些实例是,某一条约影响了区域一级的示范准则,并通过区域性的协调统一文书被完全或部分照搬到国内制度中。
That dialogue was not always easy taking into account differences in local regulation of private law matters addressed by UNCITRAL, legal traditions and level of development of countries; solutions thus by necessity were based on compromises.315. 发言者们强调了实现条约的统一解释和适用对于有效实施条约的重要性。
The understanding in UNCITRAL of consensus as a “substantially prevailing majority”, practices of reaching it and the active role of invited non-governmental organizations in negotiation were cited as features making UNCITRAL’s standard-making processes distinct from those of other United Nations bodies and contributing to the quality of its standards.在这方面,法规判例法和摘要汇编的作用很重要,因为它们有助于法院适当顾及贸易法委员会各项标准的国际特征并避免受国内办法的影响,从而实现对贸易法委员会各项标准的自主解释。
The effectiveness of UNCITRAL’s treaty-making processes is recognized by the well-established practice of the General Assembly to adopt conventions prepared by UNCITRAL by consensus rather than sending them for finalization and adoption by diplomatic conferences.国内办法可能并不适当,特别是在不具备完善的法律体系管辖商法事项的国家。
In the context of treaty implementation, speakers noted that the quality of treaty-initiation and treaty-making processes and of a treaty itself did not guarantee the adoption of the treaty by the international community.会上鼓励贸易法委员会秘书处继续努力促进贸易法委员会各项标准的统一解释和适用,还欢迎各相关方为此种努力提供支持。
Reasons were various, including that solutions in the treaty became outdated or came in conflict with regional economic integration commitments.316. 此外,会上还赞扬贸易法委员会秘书处在资源有限的情况下不懈努力,为各国的商法改革提供技术援助。
The capacity to properly implement a treaty (existence of the required institutions, procedures and professional cadre) was also an issue for many countries.强调有必要广泛接触可能的合作伙伴,以扩大这项工作的范围,同时解决资源短缺的问题。
On the other hand, informal ways of treaty implementation were also becoming widespread: treaty provisions were being used by commercial parties as contractual clauses or incorporated by various rule-formulating or law reform assistance agencies in “soft law” instruments (e.g. regional model laws or guidance documents).会上讨论了设立一个国际机构专门负责推广、颁布、监测和执行贸易法委员会各项条约是否可取,以及设立并维持该机构的各种方法。
There were also examples when courts, in the absence of adequate national regulation of questions covered by a treaty, applied the treaty, by this improving conditions for trade on the territory of the State.所有这些努力决不能削弱国家及相关政府间组织和非政府组织对于推广、颁布、监测和执行贸易法委员会各项条约的积极作用。
There were also examples when a treaty had influenced model norms at the regional level and was transposed to national systems in full or in part through a regional harmonization instrument.317. 最后,回顾了贸易法委员会早年曾经讨论的制定国际贸易法统一准则的设想。
Speakers highlighted the importance for effective implementation of treaties of achieving their uniform interpretation and application.有与会者表示怀疑说,导致当时放弃由贸易法委员会制定此种准则的顾虑或许并未消失。
The role of CLOUT and digests was important in that respect since they assisted courts to achieve autonomous interpretation of UNCITRAL standards with due regard to their international character and avoiding influence of national approaches.但这并不排除在未来某个时间可能需要合并国际贸易法领域所有国际公认标准以确保它们之间适当的相互联系和一致性,贸易法委员会可考虑为此目的采取一些初步措施,例如为将来的准则拟订一份概念说明。
National approaches might be inadequate, especially in countries without well-established jurisprudence on commercial law matters.2. 委员会的评论意见
The UNCITRAL secretariat was encouraged to continue its efforts towards promoting uniform interpretation and application of UNCITRAL standards and support of such efforts by various stakeholders was welcomed.318. 委员会对小组成员发言表示赞赏,指出其发言加强了大会和委员会所表示的信念,即在商事关系中促进法治应当成为联合国促进国内和国际法治更广泛议程的一个组成部分。
In addition, the continuing efforts of the UNCITRAL secretariat to provide technical assistance to States with their commercial law reforms despite its limited resources were praised.319. 委员会特别结合其在促进和增进法治的多边条约过程中的作用,回顾其任务授权是促进逐步协调、统一国际贸易法,特别是通过(a)拟订国际贸易法领域国际公约,(b)酌情与从事这一领域工作的其他组织协作,促进编篡国际贸易术语、条文、习惯和惯例并使之更广泛地被接受,(c)促进对这些公约更广泛的参与;(d)促进以各种方式和方法确保这些公约的统一解释和适用。
The need for outreach to a wide range of possible partners to expand that work and at the same time to address the issue with the shortage of resources was highlighted.320. 委员会回顾,委员会工作所产生的条约大多数已为大会通过。
Desirability of establishing a dedicated international body responsible for promoting, enacting, monitoring and implementing UNCITRAL treaties and various ways to build and sustain it were discussed.指出一点,贸易法委员会具有包容性、透明度和基于共识的标准制定过程,为贸易法委员会作为一个专注于协调、统一国际贸易法和促进国际上接受其工作的机构的价值和重要性提供了支持。
All those efforts could in no way undermine the active role of States and relevant intergovernmental and non-governmental organizations in promoting, enacting, monitoring and implementing UNCITRAL treaties.321. 委员会确定了它所从事领域的重要特点是:(a)灵活性(因当事人意思自治乃是一般规范),(b)动态性(因商业实践变化迅速,需要与时俱进调整其规范),以及(c)不同法律制度和商业习惯法的影响。
Finally, the idea of a uniform code of international trade law that was discussed in the early years of UNCITRAL was recalled.这些特点说明为什么贸易法委员会采取审慎做法发起任何标准制定活动,也说明为什么起草方法着眼于以平衡、中性的方式调和不同利害相关方的利益。
Doubts were expressed that concerns that led to abandoning at that time the idea of preparing such a code by UNCITRAL disappeared.举例来说,如果无法实现高度协调统一,或者较高灵活度可取且适合所审议的主题,则不采用条约形式而采取协调统一办法,如示范法或立法指南等。
It was nevertheless not excluded that at some point in future all internationally accepted standards in the area of the law of international trade might need to be consolidated to ensure the proper interlinkage and coherence among them, and UNCITRAL might consider taking some preliminary steps towards that end, for example preparing a concept note for a future code.322. 在历经四十八年的贸易法委员会工作中,委员会拟订了十项多边条约,其中五项业已生效。
2. Comments by the Commission贸易法委员会生效公约的缔约国数目在六到三十四个之间,《联合国销售公约》是例外,有八十三个缔约国。
The Commission expressed its appreciation to the panellists for their statements and noted that their statements reinforced the conviction expressed by the General Assembly and the Commission that the promotion of the rule of law in commercial relations should be an integral part of the broader agenda of the United Nations to promote the rule of law at the national and international levels.贸易法委员会最近拟订的条约是2014年12月10日通过的《毛里求斯透明度公约》,该公约就追溯适用《贸易法委员会透明度规则》作了规定。
In the particular context of the role of its multilateral treaty processes in promoting and advancing the rule of law, the Commission recalled its mandate to further the progressive harmonization and unification of the law of international trade in particular by (a) preparing international conventions in the field of the law of international trade, (b) promoting the codification and wider acceptance of international trade terms, provisions, customs and practices in collaboration, where appropriate, with other organizations operating in the field, (c) promoting wider participation in them, and (d) promoting ways and means of ensuring their uniform interpretation and application.贸易法委员会的条约和其他文书都试图平衡国家与商业当事人的利益。
The Commission recalled that most treaties developed through its work had been adopted by the General Assembly.除了贸易法委员会的多部示范法、规则和指南之外,这些条约和文书确立了它们所涉及领域实践的国际标准。
It was noted that the inclusive, transparent and consensus-based standard-making processes in UNCITRAL support the value and importance of UNCITRAL as a body devoted to harmonization and unification of the law of international trade, and promote international acceptance of its work.323. 委员会指出,委员会还是《承认及执行外国仲裁裁决纽约公约》的监督机构,该条约现有156个缔约国。
The Commission identified important features of the field in which it operated: (a) flexibility (because party autonomy was the general norm); (b) dynamism (because business practices evolved rapidly and with that the need to adjust their regulation); and (c) influence by different legal systems and lex mercatoria.《纽约公约》体现的是仲裁协议和裁决在所有缔约国法院获得承认和执行所依循的一套标准和商定程序,从而赋予国际商事仲裁制度以确定性和可预测性。
These features explain UNCITRAL’s considered approach to initiating any standard-setting activity and drafting techniques aimed at reconciling interests of various stakeholders in a balanced and neutral way.通过使商事仲裁制度基本上覆盖全球,《纽约公约》对增进和促进在商事争议解决方面诉诸司法作出了重大贡献——诉诸司法是法治的另一个重要组成部分。
For example, if a high degree of harmonization could not be achieved, or a greater degree of flexibility was desired and was appropriate to the subject under consideration, a technique of harmonization other than a treaty, such as a model law or legislative guide, was used.委员会监测该公约的有效执行,促进该公约的统一解释和适用。
During forty-eight years of UNCITRAL’s work, the Commission formulated ten multilateral treaties, five of which have entered into force.委员会回顾,大会赞赏地注意到贸易法委员会与该公约有关的项目,其中包括在贸易法委员会2006年第三十九届会议上通过了一项关于《纽约公约》某些条文解释的建议,以及编拟《贸易法委员会秘书处关于纽约公约指南》。
The number of States parties to UNCITRAL conventions that entered into force is within the range of six to thirty-four, the exception being the United Nations Sales Convention with eighty-three State parties.大会第61/33号决议,第2段,第69/115号决议,第5段。
The most recent treaty prepared by UNCITRAL is the Mauritius Convention on Transparency, adopted on 10 December 2014, which provided for the retrospective application of the UNCITRAL Transparency Rules.324. 委员会提请大会注意,下列与委员会条约过程有关的问题需要引起注意:
UNCITRAL’s treaties and other instruments seek to balance the interests of States and commercial parties.(a) 需要增加所有国家对贸易法委员会规则制定工作的参与,以便鼓励接受这方面的工作。
In addition to numerous UNCITRAL model laws, rules and guides, they established international standards for the practice in the areas that they addressed.应当加强来自不同区域、有着不同法律制度和处于不同发展水平的国家——包括最不发达国家和发展中小岛屿国家——的自身能力,使之能够充分参与贸易法委员会中的辩论和谈判。
The Commission noted that it was also a custodian of the New York Convention, a treaty with 156 State parties as of today.增加对贸易法委员会规则制定工作的参与有助于建立此种能力,也有助于增强本国实施健全商法改革的能力;
The Convention embodies a set of criteria and an agreed procedure by which arbitration agreements and awards are to be recognized and enforced in the courts of all States parties, thereby lending certainty and predictability to the regime of international commercial arbitration.(b) 需要在国际和区域各级进一步发展国际贸易法领域各种规则制定机构之间的协调机制。
By making the regime of commercial arbitration essentially global in scope, the New York Convention makes a substantial contribution to advancing and promoting access to justice in the resolution of commercial disputes (access to justice being another important component of the rule of law).更密切的协调机制,特别是与区域经济一体化组织的协调机制,将是受欢迎的做法。
The Commission monitors the effective implementation of that Convention and promotes its uniform interpretation and application.这方面强调了贸易法委员会亚太区域中心以及贸易法委员会其他可能的区域办事处的作用;
The Commission recalled that UNCITRAL projects related to that Convention, including the adoption by UNCITRAL at its thirty-ninth session, in 2006, of a recommendation regarding the interpretation of some provisions of the New York Convention and the preparation of the UNCITRAL Secretariat Guide on the New York Convention, were noted with appreciation by the General Assembly.(c) 需要使代表性偏低区域和国家集团的专业协会、仲裁机构和其他终端使用者在贸易法委员会工作中取得更公平的地域代表性。
General Assembly resolutions 61/33, para. 2, and 69/115, para.对于确定贸易法委员会的工作方案以及阐明、促进和监测贸易法委员会标准的效用,这些标准的预期终端使用者的贡献被认为很有价值;
5. The Commission brought to the attention of the General Assembly issues related to its treaty processes requiring attention: (a)(d) 需要增加各国对条约拟订、执行和适用的参与。
The need to achieve increased participation of all countries in UNCITRAL’s rule-formulating work in order to encourage acceptance of that work.十六、《联合国国际货物销售合同公约》(1980年,维也纳)三十五周年
The local capacity of States from various regions, legal systems and different levels of development, including least-developed countries and small-island developing countries, to fully engage in debate and negotiation in UNCITRAL should be enhanced.325. 委员会收到了一份标题为“国际货物销售法领域的当前趋势”的秘书处说明(A/CN.9/849)。
Increased participation in UNCITRAL’s rule-formulating work contributes to building such capacity and to the local capacity to implement sound commercial law reforms;委员会回顾,委员会2013年第四十六届会议曾请秘书处为庆祝《联合国销售公约》三十五周年而着手筹划一次专题讨论会,在委员会第四十七届会议之后的某一天举行。
(b) The need to further develop coordination mechanisms among the various rule-formulating bodies in the field of the law of international trade at the international and regional levels.委员会第四十七届会议重申了上述请求,按照该请求,秘书处组织了一次小组讨论会,参加人员有国际货物销售法领域的下列专家:János Martonyi先生(主持人)、Quentin Loh先生、Rui Manuel Gens de Moura Ramos先生、Ana Elizabeth Villalta Vizcarra女士、王利明先生(讨论小组成员)。
Mechanisms to achieve closer coordination in particular with regional economic integration organizations would be welcome.下文第326-332段简要概述他们的专题介绍内容。
The role of UNCITRAL-RCAP and other possible regional offices of UNCITRAL was underscored in that context;《大会正式记录,第六十八届会议,补编第17号》(A/68/17),第315段。
(c) The need to achieve greater representation in the work of UNCITRAL of professional associations, arbitral institutions and other end users from underrepresented regions and groups of countries.同上,《第六十九届会议,补编第17号》(A/69/17),第255(a)段。
Contributions of intended end users of UNCITRAL standards were considered valuable in defining UNCITRAL’s work programme and in elaborating, promoting and monitoring the effectiveness of its standards;326. 会上回顾,2005年《联合国销售公约》二十五周年之际,曾在维也纳举办过一次会议,评价该公约推广和实施的进展情况。
(d) The need to increase the participation of States in development, implementation and application of treaties.会上注意到,过去十年中《联合国销售公约》的新缔约国继续增加,尽管通过的步伐还有待进一步加快。
XVI. The thirty-fifth anniversary of the United Nations Convention on Contracts for the International Sale of Goods (Vienna, 1980)总体上看,强调了《联合国销售公约》对维护合同自由的贡献,因为合同自由是该公约的基本原则。
The Commission had before it a note by the Secretariat entitled “Current trends in the field of international sale of goods law” (A/CN.9/849).327. 会上还注意到,在过去几年中,出现了审查和撤回声明的趋势。
The Commission recalled that at its forty-sixth session, in 2013, it had requested the Secretariat to commence planning for a colloquium to celebrate the thirty-fifth anniversary of the United Nations Sales Convention, to take place on a date after the forty-seventh Commission session.在这方面,委员会宣布并欢迎匈牙利即将撤回在批准《联合国销售公约》时所作的声明。
In accordance with that request, which was reiterated at the Commission’s forty-seventh session, a panel discussion was organized by the Secretariat with participation of the following experts in the field of international sale of goods law: Mr. János Martonyi (moderator), Mr. Quentin Loh, Mr. Rui Manuel Gens de Moura Ramos, Ms. Ana Elizabeth Villalta Vizcarra, Mr. Liming Wang (panel members).解释说,这种撤回将简化《公约》的适用,进一步便利跨境贸易;对国际货物销售合同的书面形式要求是历史遗留下来的。
A short summary of their presentations is contained in paragraphs 326 to 332 below.对于中国2013年撤回关于书面形式的声明,也表达了类似的考虑,解释说,这一撤回使得《联合国销售公约》与国内法中业已采取的形式自由原则相一致。
Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), para.328. 会上强调,最好在全球和区域层面协调国际销售法方面的条约和其他文本的拟订工作。
315. Ibid. Sixty-ninth Session, Supplement No. 17 (A/69/17), para.同样,补充说,还应当在促进这些文本的通过和统一解释方面进行协调。
255 (a).相关的文本包括关于国际私法问题的文本,如1994年《美洲国际合同准据法公约》,以及各非政府组织拟订的文本。
It was recalled that a conference to take stock of progress in the promotion and implementation of the United Nations Sales Convention had taken place in Vienna on the occasion of the twenty-fifth anniversary of the Convention, in 2005.329. 会上广泛承认《联合国销售公约》曾经是区域一级和国家一级一些法规的示范。
It was noted that the United Nations Sales Convention had continued to gather new State parties in the last decade, albeit a further increase in the pattern of adoptions could be desirable.尽管如此,会上指出,《联合国销售公约》仍然是唯一具有立法性质的全球性法规,本身就值得特别关注。
At a general level, the contribution of the United Nations Sales Convention to upholding contractual freedom, which is its underpinning principle, was stressed.补充说,对于有些领域的问题,在订立《联合国销售公约》时未能达成共识,但在后来的统一文本中有所涉及,如《统法协会国际商事合同通则》以及《欧洲私法原则、定义和示范规则》——《共同参照框架草案》,或许可在这些领域进一步开展工作。
It was further noted that in the last years a trend relating to the review and withdrawal of declarations had emerged.这些领域包括有效性问题,其中包括形式之争和强制履行。
In that respect, the imminent withdrawal of the declarations lodged by Hungary upon ratification of the United Nations Sales Convention was announced and welcomed by the Commission.为了促进有效实施《联合国销售公约》,其他值得特别注意的议题包括:统一解释义务和在法院裁决中提及外国案例,以及按照《公约》第一条第(1)款(b)项或者通过国际货物销售合同当事人的选择而适用《公约》。
It was explained that such withdrawal would simplify the application of the Convention and further facilitate cross-border trade, and that the written form requirement for contracts for the international sale of goods was a legacy from the past.还有一个议题是将《联合国销售公约》作为商法适用,即以此反映其在国际贸易法中的普遍重要地位,特别是在仲裁程序中以及在各个专门司法分支中的重要地位。
Similar considerations were expressed with respect to the withdrawal of the written form declaration by China in 2013 that, it was explained, aligned the United Nations Sales Convention with the principle of freedom of form already adopted in domestic law.330. 关于《联合国销售公约》在各国的颁布,会上举出的例子是该《公约》对匈牙利2013年《民法典》的影响,后者在不履约或部分履约的赔偿责任标准、确定损害赔偿数额和可预见性概念等方面受到了《公约》的启发。
The desirability of coordinating the preparation of treaties and other texts on international sales law at the global and regional level was stressed.331. 会上还以中国作为《联合国销售公约》对国内合同法产生巨大影响的法域的例子。
Likewise, it was added, coordination should occur in the promotion of the adoption and uniform interpretation of those texts.解释说,将《公约》的实质性规则转换到国内法,是以若干重要因素为基础的,其中包括,《联合国销售公约》提供了源自英美法系和大陆法系的最有效规则,这些规则是以统一通用术语表述的;《公约》的规则被认为特别有利于市场经济的。
Relevant texts included those dealing with private international law issues, such as, for instance, the Inter-American Convention on the Law Applicable to International Contracts, 1994, as well as those prepared by non-governmental organizations.还举例说明了对不履约或部分履约的补救制度的简化,其中包括重大违约概念。
It was widely recognized that the United Nations Sales Convention had been the model for a number of legislative texts at the regional and national level.进一步指出,《联合国销售公约》特别适合作为国内法的示范,因其汇集了本来可能散在于不同法规中的条款(例如,关于合同法的总则部分、关于销售法的特别部分、取证规则等)。
Nevertheless, it was noted, the United Nations Sales Convention remained the only global text of legislative nature and, as such, deserved special attention.332. 会上提到,最好考虑到自1980年通过《联合国销售公约》以来在法律思想和商业实践方面的发展情况。
It was added that further work might be possible in some areas on which consensus could not be achieved at the time of the conclusion of the United Nations Sales Convention, but which were dealt with in subsequent uniform texts such as the Unidroit Principles of International Commercial Contracts, and the Principles, Definitions and Model Rules of European Private Law — Draft Common Frame of Reference.强调必须有利于新技术的使用。
Those areas included issues of validity, including battle of forms, and specific performance.在这方面指出,《电子通信公约》中载有专为使用电子手段而制定的条款,该《公约》的通过将会有效更新和完善《联合国销售公约》。
Other topics deserving special interest in order to promote the effective implementation of the United Nations Sales Convention included the duty of uniform interpretation and references to foreign cases in court decisions, and the application of the Convention by virtue of its article 1(1)(b) or through the choice of the parties to the contract for international sale of goods.333. 委员会对专家的专题介绍表示特别赞赏,并请秘书处采取相关举措,确保这些专题介绍得到发表。
Yet another topic was the application of the United Nations Sales Convention as lex mercatoria, i.e.会上广泛支持在所掌握的资源范围内为支持通过并有效实施《联合国销售公约》而开展更多推广和能力建设活动。
as reflecting the prevalent position in international trade law, in particular, in arbitral proceedings and by specialized judicial branches.例如,会上提出,可对促进统一解释《联合国销售公约》的各种机制进行深入研究。
With respect to national enactments of the United Nations Sales Convention, the example was provided of the influence of the Convention on the Civil Code of Hungary of 2013, which took inspiration from the Convention with respect to liability standards for non-performance or partial performance, determination of the amount of damages, and the notion of foreseeability.另一项建议是对《公约》通过后所产生的惠益进行定量分析。
China was referred to as another example of jurisdiction where the United Nations Sales Convention had greatly influenced national contract law.还有一项建议涉及在未对选择不适用《公约》的后果进行全面分析的情况下建议作出这种选择所产生的后果,特别关涉到使法律服务提供者了解他们可能承担的职业责任。
It was explained that the transposition of substantive rules from the Convention into domestic law was based on a number of important factors, including that the United Nations Sales Convention offered the most effective rules from both the common law and the civil law legal systems, expressed through a common uniform terminology, and that its rules were deemed particularly supportive of a market economy.会上邀请各国进一步就这些活动的形式和范围提供建议。
Examples were provided with respect to simplification of the system of remedies for non-performance and partial performance, including the notion of fundamental breach.但有意见认为,就《联合国销售公约》立法工作开展后续活动为时过早,因为尚需证明这种工作是否有益或可取。
It was further noted that the United Nations Sales Convention was particularly suitable as a model for national law since it compiled provisions that might otherwise be scattered in different texts (e.g. general part on contract law, special part on sales law, evidence rules).334. 委员会注意到为庆祝《联合国销售公约》三十五周年而安排的一些活动尚未举办,并请秘书处在委员会第四十九届会议上报告这些活动的情况。
Reference was made to the desirability of taking into account the developments in legal thinking and business practice since the adoption of the United Nations Sales Convention, in 1980.委员会注意到已有近三十年未在工作组中处理货物销售法问题,因此,贸易法委员会没有现成的固定论坛用于交流《联合国销售公约》推广和实施方面的信息。
The importance of enabling the use of new technologies was stressed.委员会请秘书处定期报告为支持实施《公约》而开展的推广和能力建设活动的情况,以期征求对这些活动的战略性指导意见。
In that respect, it was said that the adoption of the Electronic Communications Convention would effectively update and complete the United Nations Sales Convention with provisions specifically designed for the use of electronic means.十七、委员会的工作方案
The Commission expressed particular appreciation for the presentations of the experts and requested the Secretariat to take relevant initiatives to ensure that those presentations be published.335. 委员会回顾其一致意见,即应当在委员会每一届会议上留出时间,将委员会的总体工作方案作为一项单独议题加以讨论,以此促进其活动的有效规划。
Broad support was expressed for increasing, within available resources, the number of promotional and capacity-building activities aimed at supporting adoption and effective implementation of the United Nations Sales Convention.同上,《第六十八届会议,补编第17号》(A/68/17),第310段。
For instance, the possibility of studying in depth mechanisms to facilitate the uniform interpretation of the United Nations Sales Convention was mentioned.336. 委员会听取了为协助其讨论该议题而编写的文件的概要介绍(A/CN.9/841,其中提到的其他文件和此后提交的提案)。
Another suggestion related to preparing a quantitative analysis of the benefits arising from the adoption of the Convention.委员会注意到,这些文件涉及贸易法委员会的主要活动,即立法制订工作以及旨在支持有效执行、使用和理解贸易法委员会各项法规的活动(以下合称“支助活动”)。
Yet another suggestion pertained to the consequences of recommending opting out of the application of the Convention without full analysis of the consequences of such choice, with particular regard to informing providers of legal services of their possible professional liability.337. 委员会注意到本届会议早些时候报告的各工作组进展情况以及支助活动所取得的进展(见本报告第三至十六章)。
States were invited to further contribute suggestions on the form and scope of those activities.A. 立法制订工作
However, the view was expressed that following up on the United Nations Sales Convention legislative work would be untimely given that it remained to be demonstrated whether such work was useful or desirable.338. 关于以表格列示的今后立法活动(A/CN.9/841号文件表2),委员会作出如下决定:
The Commission took note of the fact that some of the activities scheduled to celebrate the thirty-fifth anniversary of the United Nations Sales Convention had yet to take place, and asked the Secretariat to report on those activities at its forty-ninth session.1. 中小微企业
Noting that the matter of sales of goods law had not been dealt with in a working group for about three decades, and that therefore a regular forum for the exchange of information relating to the promotion and implementation of the United Nations Sales Convention was not readily available in UNCITRAL, the Commission asked the Secretariat to report periodically on promotional and capacity-building activities aimed at supporting the Convention implementation, with a view to seeking strategic guidance on those activities.339. 关于A/CN.9/841号文件表2列明的中小微企业方面今后可能开展的工作,会上认为,希望贸易法委员会能够推进在金融普惠、移动支付、信贷机会以及非诉讼争议解决办法等方面的个工作。
XVII. Work Programme of the Commission340. 会上一致认为,A/CN.9/WG.I/WP.83号文件应当列入供第一工作组进行简化注册手续方面审议的文件。
The Commission recalled its agreement to reserve time for discussion of the Commission’s overall work programme as a separate topic at each Commission session, as a tool to facilitate effective planning of its activities.委员会再次确认赋予第一工作组的任务授权(见上文第220和225段)。
Ibid. Sixty-eighth Session, Supplement No. 17 (A/68/17), para.2. 仲裁和调解
310. The Commission heard a summary of the documents prepared to assist its discussions on this topic (A/CN.9/841, further documents referred to therein and proposals submitted thereafter).341. 委员会回顾其关于该领域计划中和未来工作的讨论情况概要(见上文第134-151段)。
It noted that these documents addressed UNCITRAL’s main activities, i.e.经过讨论,委员会重申赋予第二工作组最后审定《说明》修订本草案的任务授权,可能情况下利用第二工作组第六十四届会议的部分时间(见上文第133段)。
legislative development and activities designed to support the effective implementation, use and understanding of UNCITRAL texts (collectively referred to as “support activities”).委员会进一步确认其以下决定,即第二工作组自其六十三届会议起应作为优先事项处理关于和解协议执行这一议题的工作(见上文第142段)。
The Commission took note of the progress of its Working Groups and regarding support activities reported earlier in the session (see chapters III to XVI of this report).还商定,并行程序议题应留在委员会议程上作为今后工作的一个项目,委员会再次请秘书处进一步探讨该议题(见上文第147段)。
A. Legislative development关于就仲裁员道德/行为守则开展工作,委员会重申对该议题感兴趣,并再次请秘书处进一步探讨该议题并就此向今后一届会议提出报告(见上文第151段)。
As regards the tabular presentation of future legislative activity (table 2 in document A/CN.9/841), the Commission decided as follows:还注意到应结合商事和投资仲裁考虑并行程序以及道德/行为守则方面的工作。
1. MSMEs3. 网上争议解决(网上解决)
In relation to possible future work on MSMEs as set out in table 2, paragraph 13 of document A/CN.9/841, the view was expressed that it was hoped that UNCITRAL would be able to pursue work on financial inclusion, mobile payments, access to credit and alternative dispute resolution, among other topics.342. 委员会回顾曾决定一并审议第三工作组取得的进展和今后就该议题开展的任何立法活动(见上文第226段)。
It was agreed that document A/CN.9/WG.I/WP.83 should be included among the documents under consideration by Working Group I for the simplification of incorporation.委员会注意到自其2014年第四十七届会议以来举行的工作组两届会议上产生的主要问题,即提交工作组的《网上解决规则》第三提案(其中设想采用单一套《规则》)未促成就与消费者订立的有约束力的争议前仲裁协议在《规则》下是否有效这个问题达成共识。
The Commission again confirmed the mandate granted to Working Group I (see paras. 220 and 225 above).各国就此问题仍存在根本分歧,尽管工作组为促成达成共识作出了艰巨努力。
2. Arbitration and conciliation一些国家认为委员会应考虑因此而终止工作组这项任务授权,而另一些国家认为工作组应继续努力,以便基于第三提案找到共识。
The Commission recalled the summary of its discussion on planned and future work in that area (see paras. 134-151 above).委员会还获悉,自工作组第三十一届会议以来举行的闭会期间协商未取得进一步进展。
After discussion, it reaffirmed the mandate given to Working Group II to finalize the draft revised Notes, possibly utilizing parts of the sixty-fourth session of Working Group II (see para.343. 委员会听取了以色列代表团的一项提案(A/CN.9/857),其中建议贸易法委员会可以制定一部不具约束力的文书,供网上解决机构和中立人使用,他们的目的是为网上解决从业人员提供帮助和支持。
133 above).会上指出,这样一部文书与工作组现有的任务授权相一致,可以处理与网上解决机构一般运作和案件管理有关的各种商定问题。
The Commission further confirmed its decision that work on the topic of enforcement of settlement agreements should be dealt with as a matter of priority by Working Group II beginning at its sixty-third session (see para.会上指出,目前不需要具体确定该文书的标题。
142 above).补充说,这种办法可以加强网上解决程序的可靠性、公正性和效率,从而鼓励在数量大、价值低、跨境网上商业交易中使用这些程序。
It was further agreed that the topic of concurrent proceedings should remain on the agenda of the Commission as an item for future work, and the Commission reaffirmed its request to the Secretariat to explore the topic further (see para.该文书可以利用工作组迄今取得的巨大进展,而不需要处理上述关于对消费者有约束力的争议前仲裁协议的复杂问题。
147 above).344. 还建议秘书处可以在工作组以往审议的基础上并与主要专家协商编写一部关于非约束力文书的草案。
With respect to work on a code of ethics/conduct for arbitrators, the Commission reiterated its interest on that topic and reaffirmed its request to the Secretariat to explore the topic further and to report back at a future session (see para.在这方面,工作组随后可以处理以前未讨论但查明与这样一部文书有关的问题。
151 above).还建议工作组可在今后两届会议上讨论一部草案。
It was further noted that work on concurrent proceedings as well as a code of ethics/conducts should be considered in the context of both commercial and investment arbitration. 3. Online dispute resolution (ODR) The Commission recalled that it had decided to consider progress in Working Group III and any future legislative activity on this topic together (see para. 226 above). The Commission took note of the main issues arising from the two Working Group sessions held since its forty-seventh session in 2014, namely that a third proposal for ODR Rules before the Working Group (which envisaged a single set of Rules) had not yet led to consensus on the issue of whether binding pre-dispute agreements to arbitrate concluded with consumers were to be given effect under the Rules. There remained fundamental differences on this question between States, despite the Working Group’s strenuous efforts to broker consensus. Some States had considered that the Commission should consider terminating the mandate of the Working Group in consequence, but others had expressed the view that the Working Group should continue with its efforts to find a consensus based on the third proposal. The Commission also heard that intersessional consultations since the Working Group’s thirty-first session had not resulted in further progress. The Commission heard a proposal from the delegation of Israel (A/CN.9/857), suggesting that UNCITRAL could develop a non-binding instrument for use by ODR providers and neutrals, whose aim would be to assist and support ODR practitioners. Such an instrument, it was said, would be in line with the existing mandate of the Working Group and could address various agreed-upon issues with respect to the general functioning of ODR providers and to case management. The title of the instrument, it was noted, did not need to be specified at this point. This approach, it was added, could enhance the reliability, impartiality and efficiency of ODR proceedings to encourage their use in high-volume, low-value, cross-border online commercial transactions. The instrument could build upon the significant progress made by the Working Group so far, without the need to address the complex issues regarding binding pre-dispute arbitration for consumers noted above. It was also suggested that the Secretariat could prepare a draft for the non-binding instrument on the basis of the previous deliberations of the Working Group and in consultation with leading experts. In this context, issues not previously discussed but identified as relevant for such an instrument could then be addressed by the Working Group.因此,该建议支持者指出,不支持就此终止工作组任务授权的建议。
It was also suggested that the Working Group could discuss a draft at its next two sessions.345. 对此指出,既然工作组在上述基本问题上缺乏进展,就不宜继续有关网上争议解决的工作;贸易法委员会的稀缺资源应当用在别处,因此,应当终止这一任务授权。
The proponent therefore stated that it did not support the suggestion that the Working Group’s mandate should be terminated.346. 另一种观点是,对于该任务授权本身,应当按其原先表述所允许的范围作出更宽泛的解释:如工作组第三十一届会议工作报告(A/CN.9/833。
In response, it was observed that the lack of progress in the Working Group on the fundamental issue described above was such that it would not be appropriate for the work on ODR to continue, that the scarce resources of UNCITRAL should be deployed elsewhere, and accordingly that the mandate should indeed be terminated.第3段)所记载的,该任务授权提及网上解决的“一系列手段,......包括仲裁”,并且并没有将案文的形式局限于《规则》。
Another view was that the mandate itself should be construed more broadly, as its original formulation permitted: as recorded in the report of the Working Group on the work of its thirty-first session (A/CN.9/833, para.会上进一步指出,该任务授权包括企业对企业和企业对消费者的交易。
3), the mandate referred to a “range of means ... including arbitration” for ODR, and did not limit the form of the text to the Rules.但会上也承认,可能需要进一步详细划定任务授权的确切范围,其原因是,对如何解释“网上争议解决”有着不同的看法,尤其是对这一概念是否包括网上仲裁以及网上调停和调解有着不同看法。
It was further observed that the mandate included both business to business (B2B) and (business to consumer (B2C) transactions.会上回顾,准予该任务授权的依据是,已经存在需要协调统一的既定做法。
It was conceded, however, that the precise scope of the mandate might require further elaboration, in that there were different views on the interpretation of “ODR”, notably on whether the concept included online arbitration, and online mediation and conciliation.在工作组接受其任务授权时,对于是否承认针对消费者的争议前仲裁协议显然存在着分歧,由此导致编拟了二轨道《规则》,以反映不同立场。
The mandate had been granted, it was recalled, on the basis that there was existing practice in need of harmonization.这种做法最后导致第三提案的出台,其本身又可作若干种解释,从而反映出各代表团的这一分歧。
As the Working Group took up its mandate, it had become clear that there were differences about the recognition of pre-dispute agreements to arbitrate in the consumer context, which had led to the preparation of two tracks of the Rules to reflect the different positions.会上就此指出,这个第三提案仍然摆在工作组面前,因此,如果终止工作组的任务授权,对于该提案的支持者来说不但不妥当也不礼貌。
That approach had ultimately yielded to the third proposal, which itself was subject to several interpretations reflecting this very disagreement among delegations.347. 会上支持延续工作组的任务授权,但将其重点改为产生一部无约束力的案文(其性质现阶段可留出灵活余地,但建议采用“指示”、“准则”和“说明”)。
It was observed, in this regard, that this third proposal remained before the Working Group and that terminating the mandate of the Working Group would therefore be inappropriate and discourteous to its proponents.为此强调指出,工作组已经就网上争议解决程序的许多问题达成共识,反映出已经取得实质性重大进展,因此提出,上面指出的基本分歧是可以解决的。
Support was expressed for continuing the mandate of the Working Group but for changing its focus to produce a non-binding text (whose nature could remain flexible at this stage, though suggestions for “instructions”, “guidelines” and “notes” were made).348. 哥伦比亚、洪都拉斯和美国提交了另一份建议(A/CN.9/858)。
In this regard, it was emphasized that the Working Group had already achieved consensus on many issues for an ODR procedure, reflecting substantive and significant progress, and it was suggested that the fundamental disagreement noted above could be resolved.解释说,该建议设想提出一份无约束力描述性文书,该文书属于反映网上争议解决程序各项要素的技术性和解释性文书,它将能处理一系列技术问题,同时又可避免那些已经证明在工作组无法调和的问题。
A further proposal was submitted by Colombia, Honduras and the United States (A/CN.9/858).在这方面,拟议案文将不偏重任何特定的制度,并将反映工作组迄今取得的进展,从而反映了类似于以色列建议的做法。
It was explained that the proposal envisaged a non-binding descriptive instrument, of a technical and explanatory nature reflecting elements of an ODR process, which would address a range of technical issues while avoiding those issues that had proved irreconcilable in the Working Group.会上强调,目的是在争议解决这一关键领域提供指导来源。
In this regard, the proposed text would not favour any particular system, would reflect the progress to date in the Working Group, and thus reflected an approach similar to that of the proposal from Israel.349. 会上补充说,需要对所设想的工作规定期限,建议以一年为期或者不超过两届工作组会议。
It was emphasized that the aim was to offer a source of guidance in this critical area of dispute resolution.350. 会上对该建议和设定时间期限表示支持。
It was added that there would be a need to impose a time limit for the work envisaged, which was suggested to be no more than one year or two Working Group sessions.此外,强调了保护消费者并因此而把企业对消费者交易列入今后案文范围的重要性。
Support for both the proposal and for setting this time frame was expressed.351. 此外,回顾了向工作组提出的各种折中建议,但事实证明无法就此取得共识。
In addition, the importance of consumer protection and consequently of including B2C transactions in the scope of a future text were underscored.在这方面,同时为了避免出现工作组以前所遇到的类似僵局,会上提出,委员会应当就拟议无约束力案文向工作组提供准确的任务授权,这也是把所提议的有限时间框架落到实处所必需的。
In addition, the various compromise proposals that had been placed before the Working Group were recalled, upon which consensus had not proved possible.会上认识到已经就早先提出的各项建议作了大量工作,因此建议为工作组提供可灵活调整的任务授权。
In this regard, and in order to avoid reaching an impasse similar to that previously encountered in the Working Group, it was suggested that the Commission should provide a precise mandate to the Working Group for the non-binding text proposed, which would also be necessary to give practical effect to the proposed limited time frame.即A/CN.9/WG.III/121号文件以及工作组第三十一届会议工作报告(A/CN.9/833)第142段及其后各段中载明的建议。
Recognizing the significant work that had been devoted to the earlier proposals, it was suggested that the Working Group be given an open mandate.352. 会议商定,今后任何案文都应利用在第三提案和其他提案上取得的进展。
That is, those set out in document A/CN.9/WG.III/121 and in paragraph 142 and paragraphs following it in the report of the Working Group on the work of its thirty-first session (A/CN.9/833).委员会指示第三工作组继续致力于拟订一部无约束力的描述性文件,在其中反映工作组早先已达成共识的网上解决程序的各项要素,而将网上解决程序最后阶段的性质问题排除在外。
It was agreed that any future text should build upon the progress on the third proposal and other proposals.会议还商定,给工作组设定的期限为一年,或者不超过两届工作组会议,在此之后,不论是否取得结果,工作组的工作即告结束。
The Commission instructed Working Group III to continue its work towards elaborating a non-binding descriptive document reflecting elements of an ODR process, on which elements the Working Group had previously reached consensus, excluding the question of the nature of the final stage of the ODR process (arbitration/non-arbitration).353. 在实际层面,会上指出,第三工作组2015年秋季届会的拟议会期与必需的筹备工作程度不相称。
It was also agreed that the Working Group would be given a time limit of one year or no more than two Working Group sessions, after which the work of the Working Group would come to an end, whether or not a result had been achieved.会上注意到为秋季届会确定其他日期有种种困难,请秘书处在可能的情况下将会期改在12月。
On a practical level, it was noted that the proposed date for the autumn 2015 session of Working Group III would not be commensurate with the degree of preparation that would be necessary.另一项建议是,工作组只能在2016年春季开会,筹备工作将使用虚拟会议和其他网上工具进行。
Difficulties in finding further dates for the autumn session were noted, and the Secretariat was requested to find dates in December if possible.会上还强调,工作组各参与方需要事先就为届会做好准备,这样就需要及时分发工作文件。
An alternative suggestion was that the Working Group could meet only in the spring of 2016, with preparatory work being undertaken using virtual meetings and other online tools.委员会商定,在设定工作组下一年届会会期时将再次审议该问题(见下文关于工作组2015年秋季届会商定会期的第385(c)段)。
It was also emphasized that the participants in the Working Group would need to prepare for the sessions well in advance, so that the working papers would need to be circulated in good time.4. 电子商务
The Commission agreed to revert to this question when setting the dates for the Working Group sessions for the forthcoming year (see para.354. 委员会听取了就提请其注意的与电子商务今后工作有关的三个提案的说明,即关于身份管理和信托服务相关法律问题的提案(A/CN.9/854)、关于提供云计算服务的合同问题的提案(A/CN.9/856),以及关于移动商务和利用移动设备付款问题的提案(A/CN.9/WG.IV/WP.133)。
385 (c) below regarding the agreed dates for the autumn 2015 session of the Working Group).355. 各区域对于就身份管理和信托服务开展工作的可取性表达了广泛共识。
4. Electronic commerce会上强调了该议题对于提议今后在电子商务领域开展的其他工作的重要性以及对于第四工作组现有任务授权和贸易法委员会现有法规的相关性。
The Commission heard illustrations of the three proposals relating to future work on electronic commerce submitted for its attention, namely on legal issues related to identity management and trust services (A/CN.9/854), on contractual issues in the provision of cloud computing services (A/CN.9/856) and on issues relating to mobile commerce and payments effected with mobile devices (A/CN.9/WG.IV/WP.133).会上表示,应当更好地界定这项工作的范围,例如,具体规定这项工作可以涉及使用公共信托框架处理商业关系,但不应延伸至明显超出贸易法委员会任务授权的事项。
Broad interregional consensus was expressed on the desirability of conducting work on identity management and trust services.为了确定工作方法,那些提起这项建议的成员国表示可以为秘书处提供支持,特别是举办关于这一问题的学术讨论会。
The importance of the topic for other suggested future work in the field of electronic commerce as well as its relevance for the current mandate of Working Group IV and for existing UNCITRAL texts was stressed.356. 对于在云计算领域开展工作也表示了广泛共识。
It was indicated that the scope of that work should be better defined, for instance by specifying that it could deal with the use of public trust frameworks for commercial relations, but should not extend to matters clearly outside UNCITRAL’s mandate.会上提出这项工作可以采取指导材料的形式或其他合适的形式,并应当涵盖各相关方的观点,即服务提供商、用户和相关的第三方。
In order to define the methodology of work, those member States that initiated this proposal expressed their availability to support the Secretariat, specifically by organizing a colloquium on this issue.还提出或许可以与海牙国际私法会议合作,讨论涉及的国际私法问题。
Broad consensus was also expressed for undertaking work in the field of cloud computing.357. 会上还表示支持就使用移动设备的法律方面开展工作,特别是因为这项工作对于发展中国家的潜在意义。
It was suggested that that work could take the form of guidance material or as otherwise appropriate, and should cover the perspectives of all parties involved, i.e.但补充说,应当力求谨慎,避免涉足监管事项。
service providers, users and concerned third parties.还指出,虽然使用电子手段付款的有关事项与国际贸易密切相关,并且增订贸易法委员会这一领域的现有法规可能特别有必要,但鉴于这一课题的复杂性,任何工作建议都需要加以进一步说明。
It was further suggested that private international law aspects should be discussed, possibly in cooperation with the Hague Conference on Private International Law.358. 因此,委员会指示秘书处就身份管理和信托服务、云计算和移动商务进行准备工作,包括举办学术讨论会和专家组会议,以便供在完成当前关于电子可转让记录的工作之后在工作组一级开展进一步讨论。
Support was also expressed for undertaking work on the legal aspects of the use of mobile devices, especially for its potential relevance for developing countries.委员会还请秘书处与第四工作组分享这一准备工作的结果,以期就确切范围、可能采用的方法和优先事项征求建议,供委员会第四十九届会议审议。
However, it was added, caution should be used in order to avoid touching upon regulatory matters. It was further indicated that, while matters relating to payments with electronic means had great relevance for international trade and it might be particularly desirable to update existing UNCITRAL texts in that field, any work proposal required further illustration given the complexity of the subject. The Commission accordingly instructed the Secretariat to conduct preparatory work on identity management and trust services, cloud computing and mobile commerce, including through the organization of colloquia and expert group meetings, for future discussion at the Working Group level following the current work on electronic transferable records. The Commission also asked the Secretariat to share the result of that preparatory work with Working Group IV, with a view to seeking recommendations on the exact scope, possible methodology and priorities for the consideration of the Commission at its forty-ninth session. If the current work of the Working Group was concluded prior to the next session of the Commission, the Working Group could take up the subjects mentioned above.如果在委员会下届会议之前完成了工作组目前的工作,工作组可以着手研究上述课题。
5. Insolvency5. 破产
The Commission considered the issue raised in paragraph 15 (c) of document A/CN.9/841 on the insolvency treatment of financial contracts and noted the update provided by the Secretariat with respect to the work of international organizations in paragraphs 1-5 of document A/CN.9/851.359. 委员会审议了A/CN.9/841号文件第15(c)段就金融合同的破产处理提出的问题,并注意到秘书处在A/CN.9/851号文件第1至5段中提供的关于国际组织开展工作的最新情况。
After discussion, the Commission agreed that Working Group V should focus on the topics currently before it (as noted in paras. 232-237 above) and that work on updating the chapter of the UNCITRAL Legislative Guide on Insolvency Law relating to the insolvency treatment of financial contracts should not be taken up at this time.经过讨论,委员会商定,第五工作组应将重点放在眼下正在处理的议题上(如上文第232-237段所述),现在不应着手增订《贸易法委员会破产法立法指南》关于金融合同的破产处理一章。
United Nations publication, Sales No. E.05.V.10.77
The Commission also noted the information provided to it in document A/CN.9/851 with respect to sovereign debt restructuring and agreed that the Secretariat should not be requested to monitor international developments on that topic.联合国出版物,出售品编号:E.05.V.10。
6. Security interests360. 委员会还注意到A/CN.9/851号文件中就主权债务重组为委员会提供的信息,以致认为不应要求秘书处监测关于这一议题的国际动态。
It was noted that the Commission would be taking up the draft Model Law, with a view to approval of parts thereof, during the third week of the session (see paras. 166-214 above).6. 担保权益
It was noted that the Working Group had undertaken its work on the elaboration of a model law mindful of the benefits of an accompanying guide to enactment that would set out background and explanatory information for the benefit of enacting States.361. 会上注意到,委员会将审议担保权益示范法草案,以期在第三周的届会期间核准该草案的部分内容(见上文第166-214段)。
The Commission agreed that it would confirm whether the Working Group should indeed prepare such a guide to enactment for submission to the Commission session in 2016, together with the final draft of a model law on secured transactions, later in the session.会上注意到,工作组已开展《示范法》的拟订工作,同时铭记随附颁布指南的益处,指南可以为颁布国提供背景情况和解释性资料。
The Commission also noted that it would consider other possible future topics in the field of security interests (a contractual guide on secured transactions in particular for small- and medium-sized enterprises and enterprises in developing countries, and a uniform law text on intellectual property licensing), at a future time and on the basis of more detailed information from the Secretariat following meetings of experts and/or one or more colloquia.委员会商定,委员会将确认工作组是否的确应当编拟这样一份颁布指南,以便在委员会2016年届会后期连同担保交易示范法最后草案一并提交该届会议。
(For the decisions of the Commission on those matters, see paras. 215-217 above.) 7. Public procurement and infrastructure development委员会还指出,委员会将在今后某一时间根据秘书处举行专家会议和/或一次或多次学术讨论会之后提供的更详细的信息,审议今后可能在担保权益领域研究的其他可能议题(一部特别针对中小型企业和发展中国家企业的关于担保交易的合同指南和一部关于发放知识产权许可的统一法案文)。
The Commission took note of the proposals set out in document A/CN.9/850.(关于委员会就这些事项作出的决定,见上文第215-217段。
As regards the proposal for future work on the topic of suspension and debarment in public procurement, the importance of the topic was agreed.
Support was expressed for the proposal that the Secretariat should engage in preparatory work towards the possible development of a legislative text in this area.7. 公共采购和基础设施开发
In this regard, the Commission heard that the issues raised had been the subject of discussion among European Union member States and other States, and that there were indeed significant differences in practice.362. 委员会注意到A/CN.9/850号文件所述各项建议。
Consequently, it was said, this was a topic upon which a harmonized UNCITRAL text would support the effective implementation and use of the UNCITRAL Model Law on Public Procurement.关于今后就公共采购中暂停和取消资格议题开展工作的建议,一致认为该议题具有重要意义。
On the other hand, some concern was expressed that a legislative text might not be an appropriate solution to the issues identified, and that the demand for such a text from States, rather than from within the donor community, should be explored.会上支持秘书处应当为视可能拟订该领域立法案文开展筹备工作的建议。
The Secretariat was instructed to report to the Commission at its 2016 session on the results of its exploratory work on the question.委员会就此获悉,欧洲联盟成员国及其他国家已经就所提出的问题进行过讨论,实务中的确存在相当大的差异。
General Assembly resolution 66/95, annex.因此,会上指出,在这个议题上,如有一部协调统一的贸易法委员会法规,将为有效执行和使用《贸易法委员会公共采购示范法》提供支持。
As regards public-private partnerships (PPPs), support was expressed for the proposal as set out in document A/CN.9/850, and the importance of the topic to developing countries in particular was emphasized. The suggestion was made that one or more colloquia should be held, so as to ensure an inclusive and multilingual approach to developing a legislative text on PPPs, and to ensure that there would be sufficient time available to States to consider the proposed provisions and guidance before a text were presented to the Commission for its consideration and possible adoption. The view was expressed, on the other hand, that in light of the time that was required for the development of the existing UNCITRAL texts in the area of privately financed infrastructure projects and the efforts of the Secretariat in recent years, there was a risk that the project would turn into a lengthy one, and might eventually involve working group resources. For that reason, it was said that the Commission should not take up the proposal at this time. A further view was that the resource implications, which would not at this stage be extensive either for the Secretariat or for the member States, were appropriate given the importance of the topic. The opinion that the topic was not amenable to harmonization, which had been expressed at the previous Commission session, was repeated.另一方面也表示一些关切,认为对于所确定的问题,立法案文可能并非合适的解决方法,应当就各国对于这类案文的需求问题进行探讨,但不能仅限于捐助方范围内的需求。
It was decided, in light of the other decisions implicating UNCITRAL’s resources made earlier at the session, that the topic would be kept on the Commission’s agenda, that the Secretariat would continue to follow the topic to advance preparations should it eventually be taken up, and that the Secretariat would report further to the Commission in 2016.委员会指示秘书处向委员会2016年届会报告关于这一问题探索性工作的结果。
The UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects (2000) and the UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects (2003), available from www.uncitral.org/uncitral/uncitral_texts/procurement_infrastructure.html.78 大会第66/95号决议,附件。 363. 关于公私伙伴关系,会上对A/CN.9/850号文件所载明的建议表示支持,并强调了该议题尤其对于发展中国家的重要性。 会上提出举办一次或多次学术讨论会,以确保采用包容性和多语文方法拟订一部关于公私伙伴关系的立法案文,并确保在将案文提交委员会审议并可能通过之前为各国留出充足的时间审议拟议条文和指导意见。 另一方面,会上认为,鉴于拟订私人融资基础设施项目领域贸易法委员会现有文书所需要的时间,以及秘书处近年来所作出的努力,这样一个项目可能颇费时日,最后有可能牵涉到工作组资源。 为此,会上指出,现阶段委员会不宜采纳该建议。 另一种观点认为,所涉资源现阶段并不会对秘书处或成员国造成广泛影响,而从这一议题的重要性来看还是适当的。 会上重提了在委员会上届会议上发表的所谓难以就该议题达成协调统一的观点。 会议决定,鉴于本届会议早先作出的牵涉贸易法委员会资源的其他决定——即该议题将保留在委员会议程上,秘书处将继续跟踪该议题,一旦最终就这一议题进行审议即可推进准备工作,秘书处还将在2016年向委员会报告进一步情况。 79 《贸易法委员会私人融资基础设施项目立法指南》(2000年)和《贸易法委员会私人融资基础设施项目立法条文》(2003年),查阅网址:www.uncitral.org/uncitral/uncitral_texts/ procurement_infrastructure.html。
In light of confirmation of the mandates of the Working Groups and the activities assigned for legislative development as set out in paragraphs 339-361 above, the Commission agreed that there were no further resource issues to be addressed on that topic.364. 鉴于上文第339-361段对各工作组任务授权的确认以及为法规制订工作分配的活动,委员会一致认为,在这一议题上没有需要处理的其他资源问题。
B. Support activitiesB. 支助活动
The Commission expressed its appreciation for the support activities described in documents A/CN.9/837, A/CN.9/838, A/CN.9/839, A/CN.9/840, A/CN.9/842, A/CN.9/843 and A/CN.9/845, as considered earlier in this session (see chapters X to XV of this report), and requested the Secretariat to continue with those activities to the extent that its resources permitted.365. 委员会对本届会议早先审议的A/CN.9/837、A/CN.9/838、A/CN.9/839、A/CN.9/840、A/CN.9/842、A/CN.9/843和A/CN.9/845号文件中记述的支助活动表示赞赏(见本报告第十至十五章),并请秘书处在资源允许的情况下继续开展这些活动。 C. 纪念贸易法委员会成立五十周年 366. 委员会听取了1992年国际贸易法大会圆满结束的情况,这次大会既有回顾也有展望。 委员会同意所提出的建议,即举行第三次贸易法委员会大会,纪念贸易法委员会成立五十周年。 按照秘书处说明(A/CN.9/841)第33段中提出的建议,委员会请秘书处为组办这一大会开展筹备工作,并以2017年举行大会为基础,向委员会2016年第四十九届会议提出建议。 会上提出,这一活动的目的应当是提高贸易法委员会的知名度,并使公众更多了解贸易法委员会在前五十年的运作中成功开展的活动。
C. Commemoration of the fiftieth anniversary of the establishment of UNCITRAL80
The Commission heard of the successful conclusion of the 1992 UNCITRAL Congress, which had included both retrospective and prospective elements, and expressed its agreement with the suggestion that a third UNCITRAL congress should be held to commemorate UNCITRAL’s fiftieth anniversary.《二十一世纪统一商业法:联合国国际贸易法委员会大会议事录,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)。
The Secretariat was requested to undertake preparatory work towards the organization of such a congress, as suggested in paragraph 33 of the note by the Secretariat (A/CN.9/841), and to make proposals to the Commission at its forty-ninth session in 2016 on the basis that the Congress would take place in 2017.十八、大会有关决议
It was suggested that the event should be designed so as to promote the profile of UNCITRAL and enhance public awareness of UNCITRAL’s successful activities during its first fifty years of operation.367. 委员会注意到根据第六委员会的建议通过的以下两项大会决议:关于联合国贸易法委员会第四十七届会议工作报告的第69/115号决议,以及关于《联合国投资人与国家间基于条约仲裁透明度公约》的第69/116号决议。
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).十九、其他事项
XVIII. Relevant General Assembly resolutionsA. 获得简要记录的权利
The Commission took note of the following two General Assembly resolutions adopted on the recommendation of the Sixth Committee: resolution 69/115 on the report of the United Nations Commission on International Trade Law on the work of its forty-seventh session; and resolution 69/116 on the United Nations Convention on Transparency in Treaty-based Investor-State Arbitration.368. 委员会回顾其2012年第四十五届会议决定,在不放弃委员会根据大会第49/221号决议获得简要记录的权利的同时,请继续按第四十五届会议的做法,在委员会2013年和2014年第四十六届和第四十七届会议上,除提供简要记录之外,还在试行基础上提供数字录音。
XIX. Other business委员会2014年第四十七届会议评估了使用数字录音的经验,在这一评估的基础上,决定将向贸易法委员会提供数字录音的同时也提供简要记录的做法至少再延期一年。
A. Entitlement to summary records注意到委员会下届会议将再次评估数字录音的使用经验。
The Commission recalled that at its forty-fifth session, in 2012, it decided, while not relinquishing its entitlement to summary records under General Assembly resolution 49/221, to request that digital recordings continue to be provided at its forty-sixth and forty-seventh sessions, in 2013 and 2014, on a trial basis, in addition to summary records, as was done for the forty-fifth session.会上的理解是,在确定自简要记录向数字录音过渡不存在任何障碍之前,必须向委员会提供简要记录。
At its forty-seventh session, in 2014, the Commission assessed the experience of using digital recordings and on the basis of that assessment decided to prolong the practice of providing to UNCITRAL digital recordings in parallel with summary records for at least one more year. It was noted that at its next session the Commission would again assess its experience with the use of digital recordings. It was understood that until it was ascertained that no obstacles existed to making the transition from summary records to digital recordings, summary records would have to be provided to the Commission.81
Official Records of the General Assembly, Sixty-seventh Session, Supplement No. 17 (A/67/17), para.《大会正式记录,第六十七届会议,补编第17号》(A/67/17),第249段。 82
249. Ibid. Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 271-276.同上,《第六十九届会议,补编第17号》(A/69/17),第271-276段。
At its forty-eighth session, the Commission heard an oral report of the Secretariat on the experience with the use of UNCITRAL’s digital recordings and developments as regards General Assembly resolution 67/237, paragraph 26, stating that “the further expansion of [transition to digital recordings of meetings in the six official languages of the Organization as a cost-saving measure] would require consideration, including of its legal, financial and human resources implications, by the General Assembly and full compliance with the relevant resolutions of the Assembly”.369. 委员会第四十八届会议听取了秘书处的口头报告,其中介绍了贸易法委员会使用数字录音的经验以及与大会第67/237号决议第26段有关的进展情况,该段指出,“[作为一项节约费用措施过渡到以本组织六种正式语文提供会议数字录音的进一步扩大]须经大会审议,包括审议所涉法律、财务和人力资源问题,且须完全符合大会相关决议”。
The Commission noted that the wording found in General Assembly resolution 67/237 was repeated in General Assembly resolution 69/250, paragraph 105, with the request to the Secretary-General to report on the use of digital recordings to the Assembly at its seventieth session.370. 委员会注意到,大会第69/250号决议第105段重复了大会第67/237号决议的措词,并请秘书长向大会第七十届会议报告数字录音的使用情况。
In light of this resolution, the Commission decided again to prolong the practice of providing to UNCITRAL digital recordings in parallel with summary records for at least one more year.鉴于该决议,委员会再次决定,将向贸易法委员会提供数字录音的同时还提供简要记录的做法至少再延期一年。
It was noted that at its next session the Commission would again assess its experience with the use of digital recordings.注意到委员会下届会议将再次评估使用数字录音的经验。
B. Internship programmeB. 实习方案
The Commission recalled the considerations taken by its secretariat in selecting candidates for internship.371. 委员会回顾了秘书处在挑选实习人选时所作的考虑。 还回顾自2013年7月1日起实行的实习生挑选程序、2014年1月13日对联合国实习生资格要求所作的重大改动,以及据报告这些改动对来自任职人员不足的国家、区域和语文群体的合格实习生人选储备库产生的积极影响。 83 同上,《第六十六届会议,补编第17号》(A/66/17),第328-330段;同上,《第六十八届会议,补编第17号》(A/68/17),第344段;同上,《第六十九届会议,补编第17号》(A/69/17),第277和278段。 372. 委员会获悉,自2014年7月秘书处向委员会第四十七届会议作口头报告以来,有13名新实习生在维也纳贸易法委员会秘书处实习。 多数实习生来自发展中国家和转型期国家,其中一名来自最不发达国家,一名来自小岛屿发展中国家。 C. 评价秘书处在促进委员会工作上发挥的作用 373. 委员会回顾,委员会2007年第四十届会议曾听取了2008-2009两年期方案预算,其中在秘书处的预期成绩中列入了“促进贸易法委员会的工作”。 该项预期成绩的绩效衡量标准是贸易法委员会对所提供服务的满意度,以1-5分评定等级表中的评分(5分为最高评分)为凭据。
It also recalled the procedure for selecting interns that was put in place from 1 July 2013, changes introduced on 13 January 2014 in eligibility requirements for internship with the United Nations and the reported positive implications thereof on the pool of eligible and qualified candidates for internship from under-represented countries, regions and language groups.在该届会议上,委员会同意向秘书处提供反馈意见。
Ibid. Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 328-330; ibid. Sixty-eighth Session, Supplement No. 17 (A/68/17), para.84
344; and ibid. Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 277 and 278.同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第243段。
The Commission was informed that, since the Secretariat’s oral report to the Commission at its forty-seventh session, in July 2014, thirteen new interns had undertaken an internship with the UNCITRAL secretariat in Vienna.85
Most interns were coming from developing countries and countries in transition, among them one coming from a least developed country and one coming from a small island developing country.A/62/6(第8节)以及Corr.1,表8.19(d)。
C. Evaluation of the role of the Secretariat in facilitating the work of the Commission374. 从委员会第四十届会议时起,直至2012年第四十五届会议,参加贸易法委员会年度届会的国家对秘书处在届会结束时分发的调查表作了答复,提供了反馈意见。
The Commission recalled that at its fortieth session, in 2007, it had been informed of the programme budget for the biennium 2008-2009, which listed among the expected accomplishments of the Secretariat “facilitating the work of UNCITRAL”.自2012年委员会第四十五届会议起,这种做法有所变化,部分原因是需要征得更多答复:秘书处一改在届会期间分发调查表的做法,开始在委员会年度届会开幕前不久向所有国家发送普通照会,其中请各国填写普通照会所附的评价表,表明其对贸易法委员会秘书处为贸易法委员会某届会议提供的服务的满意程度。
The performance measure for that expected accomplishment was the level of satisfaction of UNCITRAL with the services provided, as evidenced by a rating on a scale ranging from 1 to 5 (5 being the highest rating).至于贸易法委员会第四十八届会议,2015年6月3日向联合国所有会员国发送了普通照会,其中指明所涵盖的期间起自贸易法委员会第四十七届会议开幕时(2014年7月7日)。
At that session, the Commission had agreed to provide feedback to the Secretariat.375. 委员会获悉,这一请求征得17份答复,这些答复显示,对于贸易法委员会秘书处向委员会提供服务的满意度依然很高(满分为5分,有12个答复国打了5分,5个答复国打了4分)。
Ibid. Sixty-second Session, Supplement No. 17 (A/62/17), part one, para.委员会获悉,各国就委员会报告向大会第六委员会所作的说明中常常会包含它们对贸易法委员会秘书处在服务委员会方面所做工作的意见。
243. A/62/6 (Sect.但很难根据这些说明进行定量分析。
8) and Corr.1, table 8.19 (d).376. 委员会注意到,对评估请求的答复率仍然很低,需要收到更多国家对贸易法委员会秘书处工作情况的反馈意见,才能更客观地评价秘书处的作用。
From the fortieth session until the forty-fifth session of the Commission, in 2012, the feedback was provided by States attending the annual sessions of UNCITRAL in response to the questionnaire circulated by the Secretariat by the end of the session.这是预算和其他方面所必需的。
That practice had changed since the Commission’s forty-fifth session, in 2012, partly because of the need to solicit more responses: instead of an in-session questionnaire, the Secretariat started circulating to all States closer to the start of an annual session of the Commission a note verbale with the request to indicate, by filling in the evaluation form enclosed to the note verbale, their level of satisfaction with the services provided to UNCITRAL by the UNCITRAL secretariat during a given session.委员会感谢秘书处为服务贸易法委员会所做的工作。
As regards the forty-eighth session of UNCITRAL such a note verbale was circulated to all Member States of the United Nations on 3 June 2015 and the period covered was indicated from the start of the forty-seventh session of UNCITRAL (7 July 2014).D. 使贸易法委员会最佳利用会议服务资源的措施
The Commission was informed that the request had elicited seventeen responses and that the level of satisfaction with the services provided to UNCITRAL by the UNCITRAL secretariat, as indicated in those responses, remained high (twelve States respondents gave 5 out of 5 and five States respondents gave 4 out of 5).377. 向委员会通报了2015年4月22日会议委员会主席致贸易法委员会第四十七届会议主席的信函的情况。
The Commission heard that States in their statements to the Sixth Committee of the General Assembly on the report of the Commission often included their views on the work of the UNCITRAL secretariat in servicing the Commission.该信提到贸易法委员会在2012-2014年对会议服务的利用不充分,并建议采取几项措施以实现会议服务资源的最佳利用,特别是:
Such statements did not lend themselves to the easy quantitative assessment.(a) 仅对根据往年模式预期举行的会议数量进行安排,从而减少会议取消情况;
The Commission took note of the concern that the level of responses to the request for evaluation remained low and that it was essential to receive from more States the feedback about the UNCITRAL secretariat’s performance for a more objective evaluation of the role of the Secretariat.(b) 如果已作安排的会议结束时仍有时间,审议方案中的其他项目;
This was required for budgetary and other purposes.(c) 将会议时间段缩短为2小时;
The Commission expressed appreciation to the Secretariat for its work in servicing UNCITRAL.(d) 如果预计会议将推迟举行或提前结束,至少在会议前一天通知会议管理科,以腾出未用的口译服务部分。
D. Measures to achieve the optimum utilization by UNCITRAL of conference servicing resources378. 委员会承认有改进余地,特别是在准时开会方面,但认为贸易法委员会作为一个专家法律机构,因其工作性质的缘故,无法精确地计划会议。
The Commission was informed about a letter of 22 April 2015 from the Chair of the Committee on Conferences addressed to the Chair of the forty-seventh session of UNCITRAL.发言的数量、长度和内容、发言可能引起的争议大小以及达成妥协所需的时间都是无法预测的。
The letter referred to underutilization of conference services by UNCITRAL in 2012-2014 and suggested measures to achieve the optimum utilization of conference servicing resources, in particular by:此外,以联合国六种语文对所涉及的技术术语进行口译和理解往往是复杂的,这有时需要进行较长时间的对话和非正式磋商。
(a) Reducing cancellation of meetings by programming only the number of meetings anticipated based on past patterns;因此,有意见认为,需要考虑到贸易法委员会的专业性质以及它所涉及的技术性高的复杂领域。
(b) Considering additional items in the programme if time remains at the end of a scheduled meeting;这使得贸易法委员会有别于以较易预测的模式运作的联合国其他机构。
(c) Reducing the meeting blocks to two hours;379. 尽管如此,委员会仍一致认为,代表会议委员会所表达的关切应得到认真考虑和重视,委员会应当保持警觉。
(d) Informing the Meetings Management Section of anticipated late starts and early endings at least the day before to free up unused portions of interpretation services.会上询问,委员会及其工作组将会议时间用于非正式磋商是否可能对贸易法委员会使用会议服务的记录造成负面影响。
The Commission, while acknowledging that there was room for improvement, in particular in the punctual start of meetings, was of the view that the nature of the work of UNCITRAL as an expert legal body did not make it possible to plan its meetings precisely.对此,委员会普遍认为,应当强调非正式磋商对于达成妥协和协商一致具有不可或缺的作用。
The number, length and content of statements, the level of controversy that they might raise and the time needed to reach compromise could not be predicted.委员会请秘书处确保在较正式的讨论之前、期间或之后任何时候进行的非正式磋商都被视作且记录为合理使用所分配的会议时间。
In addition, technical terms involved often complicated their interpretation and understanding in the six languages of the United Nations, which occasionally called for a longer dialogue and informal consultations.380. 特别提到2014年委员会届会期间取消了很多会议,2013年委员会届会期间有推迟举行和提早结束会议的现象。
The view was therefore expressed that the specialized nature of UNCITRAL and the highly technical and complex field that it dealt with needed to be taken into account.有意见认为,2014年取消的会议确实多得反常,这也是因为审议工作意外地富有成效,但委员会及其工作组不应为了充分利用会议服务而勉强继续审议。
This made UNCITRAL distinct from other United Nations bodies operating on a more predictable pattern.在努力改进会议服务利用情况统计结果时,绝不应当忽视贸易法委员会工作的质量方面。
Nevertheless the Commission agreed that the concerns expressed on behalf of the Committee on Conferences were to be seriously considered and taken into account and the Commission should remain vigilant.381. 会上赞扬贸易法委员会秘书处考虑到预计工作量而精心规划委员会届会会期、安排会议时间、给每届会议分配议程项目,做出了出色的工作。
A question was raised whether utilization by the Commission and its working groups of conference time for informal consultations could negatively affect UNCITRAL’s record on utilization of conference services.382. 经讨论后,委员会商定向会议委员会传达以下讯息:
In response, the Commission was generally of the view that the indispensable role of informal consultations in reaching compromises and consensus should be emphasized.“委员会注意到会议委员会主席2015年4月22日致贸易法委员会第四十七届会议主席的信函中对贸易法委员会在2012-2014年期间未充分使用会议服务所表达的关切,以及改进这一情况的措施。
The Secretariat was requested to ensure that their use at any point in time, before, during or after more formal discussion, were indeed considered and recorded as legitimate use of the allocated conference time.委员会感谢向委员会提供的高质量会议服务,并保证高效加以利用。
Specific reference was made to the high number of cancelled meetings during the Commission session in 2014 and late starts and early ends of meetings during the Commission session in 2013.委员会支持整个联合国为此目的而作的努力。
While admitting that the number of cancelled meetings in 2014 was indeed an anomaly and the result of unexpectedly productive deliberations, the view was expressed that the Commission and its working groups should not find themselves in the situation when they had to continue deliberations for the sake of fully utilizing conference services.委员会注意到所建议的措施,但指出,由于委员会的任务授权、性质和工作方法等原因,这些措施有时无法执行。
Qualitative aspects of UNCITRAL’s work should never be overlooked in efforts to improve statistics on utilization of conference services.
The UNCITRAL secretariat was commended for its excellent job in carefully planning the duration of Commission sessions, scheduling meetings and distributing agenda items throughout any given session taking into account an expected workload.二十、今后会议的日期和地点
After discussion, the Commission agreed to transmit to the Committee on Conferences the following message: “The Commission took note of concerns about underutilization of conference services by UNCITRAL in 2012-2014 and measures to improve the situation, contained in the letter of 22 April 2015 from the Chair of the Committee on Conferences to the Chair of the forty-seventh session of UNCITRAL.383. 委员会2003年第三十六届会议曾商定如下:(a)正常情况下各工作组应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,条件是这种安排不会造成目前每年分配给委员会所有六个工作组届会的总共12周会议服务时间的增加;(c)如果某一工作组对额外时间的请求导致超出12周分配时间的增加,应由委员会审查这种请求,该工作组应就为何需要改变会议时间分配方式提出正当理由。
The Commission appreciates the high-quality conference services provided to the Commission and was committed to utilizing them efficiently.86
It supports efforts across the United Nations to that end.《大会正式记录,第五十八届会议,补编第17号》(A/58/17),第275段。
It takes note of the suggested measures noting however that its mandate, nature and methods of work would not always permit implementing them.”A. 委员会第四十九届会议
XX. Date and place of future meetings384. 鉴于上述考虑,委员会核准2016年6月27日至7月15日(2016年7月4日和7日联合国总部不办公)在纽约举行第四十九届会议。
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.在该届会议预期工作量允许的情况下,请秘书处考虑将会期缩短一周。
Official Records of the General Assembly, Fifty-eighth Session, Supplement No. 17 (A/58/17), para.B. 工作组届会
275. A.1. 委员会第四十八届和四十九届会议之间各工作组届会
Forty-ninth session of the Commission385. 鉴于上述考虑,委员会核准了各工作组的以下会议安排:
In the light of the considerations set out above, the Commission approved the holding of its forty-ninth session in New York from 27 June to 15 July 2016 (the United Nations Headquarters is closed on 4 and 7 July 2016).(a) 第一工作组(中小微企业)将于2015年10月19日至23日在维也纳举行第二十五届会议,2016年4月4日至8日在纽约举行第二十六届会议;
The Secretariat was requested to consider shortening the duration of the session by one week if the expected workload of the session would justify doing so.(b) 第二工作组(仲裁和调解)将于2015年9月7日至11日在维也纳举行第六十三届会议,2016年2月1日至5日在纽约举行第六十四届会议;
B. Sessions of working groups(c) 第三工作组(网上争议解决)将于2015年11月30日至12月4日在维也纳举行第三十二届会议,2016年2月29日至3月4日在纽约举行第三十三届会议;
1. Sessions of working groups between the forty-eighth and forty-ninth sessions of the Commission(d) 第四工作组(电子商务)将于2015年11月9日至13日在维也纳举行第五十二届会议,2016年5月9日至13日在纽约举行第五十三届会议;
In the light of the considerations set out above, the Commission approved the following schedule of meetings for its working groups:(e) 第五工作组(破产法)将于2015年12月14日至18日在维也纳举行第四十八届会议,2016年5月2日至6日在纽约举行第四十九届会议;
(a) Working Group I (MSMEs) would hold its twenty-fifth session in Vienna from 19 to 23 October 2015 and the twenty-sixth session in New York from 4 to 8 April 2016;(f) 第六工作组(担保权益)将于2015年10月12日至16日在维也纳举行第二十八届会议,2016年2月8日至12日在纽约举行第二十九届会议。
(b) Working Group II (Arbitration and Conciliation) would hold its sixty-third session in Vienna from 7 to 11 September 2015 and its sixty-fourth session in New York from 1 to 5 February 2016;2. 在委员会第四十九届会议之后于2016年举行的各工作组届会
(c) Working Group III (Online Dispute Resolution) would hold its thirty-second session in Vienna from 30 November to 4 December 2015 and its thirty-third session in New York from 29 February to 4 March 2016; (d) Working Group IV (Electronic Commerce) would hold its fifty-second session in Vienna from 9 to 13 November 2015 and its fifty-third session in New York from 9 to 13 May 2016; (e) Working Group V (Insolvency Law) would hold its forty-eighth session in Vienna from 14 to 18 December 2015 and its forty-ninth session in New York from 2 to 6 May 2016; (f) Working Group VI (Security Interests) would hold its twenty-eighth session in Vienna from 12 to 16 October 2015 and its twenty-ninth session in New York from 8 to 12 February 2016.386. 委员会注意到,已经就委员会第四十九届会议之后各工作组2016年的会议作出暂定安排,但需委员会该届会议予以核准:
2. Sessions of working groups in 2016 after the forty-ninth session of the Commission(a) 第一工作组(中小微企业)将于2016年10月3日至7日在维也纳举行第二十七届会议;
The Commission noted that tentative arrangements had been made for working group meetings in 2016 after its forty-ninth session, subject to the approval by the Commission at that session: (a) Working Group I (MSMEs) would hold its twenty-seventh session in Vienna from 3 to 7 October 2016; (b) Working Group II (Arbitration and Conciliation) would hold its sixty-fifth session in Vienna from 5 to 9 September 2016;(b) 第二工作组(仲裁和调解)将于2016年9月5日至9日在维也纳举行第六十五届会议;
(c) Working Group III would hold its thirty-fourth session in Vienna from 19 to 23 September 2016;(c) 第三工作组(网上争议解决)将于2016年9月19日至23日在维也纳举行第三十四届会议;
(d) Working Group IV (Electronic Commerce) would hold its fifty-fourth session in Vienna from 31 October to 4 November 2016;(d) 第四工作组(电子商务)将于2016年10月31日至11月4日在维也纳举行第五十四届会议;
(e) Working Group V (Insolvency Law) would hold its fiftieth session in Vienna from 12 to 16 December 2016;(e) 第五工作组(破产法)将于2016年12月12日至16日在维也纳举行第五十届会议;
(f) Working Group VI (Security Interests) would hold its thirtieth session in Vienna from 5 to 9 December 2016.(f) 第六工作组(担保权益)将于2016年12月5日至9日在维也纳举行第三十届会议。
Annex附件
List of documents before the Commission at its forty-eighth session委员会第四十八届会议文件一览表
Symbol文号
Title or description标题或说明
A/CN.9/824A/CN.9/824
Provisional agenda, annotations thereto and scheduling of meetings of the forty-eighth session第四十八届会议临时议程、临时议程说明和会议时间安排
A/CN.9/825A/CN.9/825
Report of Working Group I (MSMEs) on the work of its twenty-third session第一工作组(中小微企业)第二十三届会议工作报告
A/CN.9/826A/CN.9/826
Report of Working Group II (Arbitration and Conciliation) on the work of its sixty-first session第二工作组(仲裁和调解)第六十一届会议工作报告
A/CN.9/827A/CN.9/827
Report of Working Group III (Online Dispute Resolution) on the work of its thirtieth session第三工作组(网上解决争议)第三十届会议工作报告
A/CN.9/828A/CN.9/828
Report of Working Group IV (Electronic Commerce) on the work of its fiftieth session第四工作组(电子商务)第五十届会议工作报告
A/CN.9/829A/CN.9/829
Report of Working Group V (Insolvency Law) on the work of its forty-sixth session第五工作组(破产法)第四十六届会议工作报告
A/CN.9/830A/CN.9/830
Report of Working Group VI (Security Interests) on the work of its twenty-sixth session第六工作组(担保权益)第二十六届会议工作报告
A/CN.9/831A/CN.9/831
Report of Working Group I (MSMEs) on the work of its twenty-fourth session第一工作组(中小微企业)第二十四届会议工作报告
A/CN.9/832A/CN.9/832
Report of Working Group II (Arbitration and Conciliation) on the work of its sixty-second session第二工作组(仲裁和调解)第六十二届会议工作报告
A/CN.9/833A/CN.9/833
Report of Working Group III (Online Dispute Resolution) on the work of its thirty-first session第三工作组(网上解决争议)第三十一届会议工作报告
A/CN.9/834A/CN.9/834
Report of Working Group IV (Electronic Commerce) on the work of is fifty-first session第四工作组(电子商务)第五十一届会议工作报告
A/CN.9/835A/CN.9/835
Report of Working Group V (Insolvency Law) on the work of its forty-seventh session第五工作组(破产法)第四十七届会议工作报告
A/CN.9/836A/CN.9/836
Report of Working Group VI (Security Interests) on the work of its twenty-seventh session第六工作组(担保权益)第二十七届会议工作报告
A/CN.9/837A/CN.9/837
Technical cooperation and assistance技术合作与援助
A/CN.9/838A/CN.9/838
Coordination activities协调活动
A/CN.9/839A/CN.9/839
Bibliography of recent writings related to the work of UNCITRAL与贸易法委员会工作相关的近期著述书目
A/CN.9/840A/CN.9/840
Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts促进确保统一解释和适用贸易法委员会法规的方式方法
A/CN.9/841A/CN.9/841
Planned and possible future work计划开展和今后可能开展的工作
A/CN.9/842A/CN.9/842
Activities of the UNCITRAL Regional Centre for Asia and the Pacific贸易法委员会亚洲及太平洋区域中心的活动
A/CN.9/843A/CN.9/843
Status of conventions and model laws各公约和示范法现状
A/CN.9/844A/CN.9/844
Settlement of commercial disputes: Revision of the UNCITRAL Notes on Organizing Arbitral Proceedings解决商事争议:对《贸易法委员会关于安排仲裁程序的说明》的修订
A/CN.9/845A/CN.9/845
Technical assistance to law reform法律改革技术援助
A/CN.9/846 and Adds.1-5A/CN.9/846和Adds.1-5
Settlement of commercial disputes — Enforcement of settlement agreements resulting from international commercial conciliation/mediation — Compilation of comments by Governments解决国际商事争议——国际商事调解/调停所产生的和解协议的执行——各国政府意见汇编
A/CN.9/847A/CN.9/847
Principles on Choice of Law in International Commercial Contracts《国际商事合同法律选择原则》
A/CN.9/848A/CN.9/848
Concurrent proceedings in investment arbitration投资仲裁的并行程序
A/CN.9/849A/CN.9/849
Current trends in the field of international sale of goods law国际货物销售法领域的当前趋势
A/CN.9/850A/CN.9/850
Planned and possible future work in procurement and infrastructure development计划和今后可能在采购和基础设施发展领域开展的工作
A/CN.9/851A/CN.9/851
Insolvency Law: treatment of financial contracts and netting; sovereign debt restructuring破产法:对金融合同和净额结算的处理;主权债务重组
A/CN.9/852A/CN.9/852
Draft Model Law on Secured Transactions (Chapter IV)担保交易示范法草案(第四章)
A/CN.9/853A/CN.9/853
Draft Model Law on Secured Transactions (Chapter VIII-IX)担保交易示范法草案(第八-九章)
A/CN.9/854A/CN.9/854
Possible future work in the area of electronic commerce — legal issues related to identity management and trust services电子商务领域今后可能开展的工作——与身份管理和信托服务有关的法律问题
A/CN.9/855A/CN.9/855
Proposal by the Government of Algeria: possible future work in the area of international arbitration between States and investors — code of ethics for arbitrators阿尔及利亚政府提出的建议:今后在国家与投资者之间国际仲裁领域可能开展的工作—仲裁员道德守则
A/CN.9/856A/CN.9/856
Possible future work in the area of electronic commerce — Contractual issues in the provision of cloud computing services — Proposal by Canada电子商务领域今后可能开展的工作——在提供云计算服务方面所涉及的合同问题——加拿大的建议
A/CN.9/857A/CN.9/857
Possible future work in the area of online dispute resolution — Proposal by Israel网上争议解决领域今后可能开展的工作——以色列的建议
A/CN.9/858A/CN.9/858
Possible future work in the area of online dispute resolution — Proposal by Colombia, Honduras and the United States网上争议解决领域今后可能开展的工作——哥伦比亚、洪都拉斯和美国的建议