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A/69/17A/66/17 联合国 联合国国际贸易法委员会报告 第四十七届会议 (2014年7月7日至18日) 大会 正式记录 第六十九届会议 补编第17号 大会 正式记录 第六十九届会议 补编第17号 联合国国际贸易法委员会报告 第四十七届会议 (2014年7月7日至18日) 联合国 2014年,纽约 说明 联合国文件用英文大写字母附加数字编号。 提到这种编号,即指联合国的某一个文件。 ISSN 0251-916X A/69/17
United Nations Report of the United Nations Commission on International Trade Law Forty-seventh session (7-18 July 2014) General Assembly Official Records Sixty-ninth session Supplement No. 17 General Assembly Official Records Sixty-ninth session Supplement No. 17 Report of the United Nations Commission on International Trade Law Forty-seventh session (7-18 July 2014) United Nations New York, 2014 Note Symbols of United Nations documents are composed of capital letters combined with figures. Mention of such a symbol indicates a reference to a United Nations document. ISSN 0251-9127 A/69/17A/69/17
A/69/17 Contents目录
Chapter章次
Page页次
Introduction导言
11
Organization of the session会议的组织
11
Opening of the session会议开幕
11
Membership and attendance成员和出席情况
11
Election of officers选举主席团成员
32
Agenda议程
32
Adoption of the report通过报告
44
Consideration of issues in the area of arbitration and conciliation审议仲裁和调解领域的问题
44
Finalization and approval of a draft convention on transparency in treaty-based investor-State arbitration最后审定并核准投资人与国家间基于条约仲裁透明度公约草案
44
Establishment and functioning of the transparency repository透明度存储处的设立和运作情况
1716
Preparation of a guide on the New York Convention编拟《纽约公约》指南
1917
International commercial arbitration moot competitions国际商事仲裁模拟辩论赛
2119
Planned and possible future work计划中的工作和今后可能开展的工作
2220
Micro-, small- and medium-sized enterprises: progress report of Working Group I中小微企业:第一工作组进度报告
2421
Online dispute resolution: progress report of Working Group III网上争议解决:第三工作组进度报告
2522
Electronic commerce: progress report of Working Group IV电子商务:第四工作组进度报告
2623
Insolvency law: progress report of Working Group V破产法:第五工作组进度报告
2824
Security interests: progress report of Working Group VI担保权益:第六工作组进度报告
2926
Technical assistance to law reform法律改革方面的技术援助
3026
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
3227
Status and promotion of UNCITRAL texts贸易法委员会法规的现状和促进
3429
Coordination and cooperation协调与合作
3530
General概述
3530
Coordination and cooperation in the field of security interests担保权益领域的协调与合作
3530
Reports of other international organizations其他国际组织的报告
3731
International governmental and non-governmental organizations invited to sessions of UNCITRAL and its Working Groups获邀参加贸易法委员会及其工作组届会的国际政府组织和非政府组织
4135
UNCITRAL regional presence贸易法委员会的区域存在
4236
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
4336
Introduction导言
4336
Reports on the implementation of the relevant decisions taken by the Commission at its forty-sixth session关于委员会第四十六届会议所作相关决定执行情况的报告
4538
Summary of the rule of law briefing法治通报会摘要
4739
UNCITRAL comments to the General Assembly on its role in the promotion of the rule of law through facilitating access to justice贸易法委员会就其在通过便利获得司法救助促进法治方面的作用给大会的评论意见
4840
Planned and possible future work计划中的工作和今后可能开展的工作
5042
General概述
5042
Legislative development立法制订工作
5142
Support activities支助活动
5445
Relevant General Assembly resolutions大会的有关决议
5546
Other business其他事项
5647
Entitlement to summary records获取简要记录的权利
5647
Internship programme实习方案
5748
Evaluation of the role of the Secretariat in facilitating the work of the Commission对秘书处在促进委员会工作方面所起作用的评价
5849
Date and place of future meetings今后会议的日期和地点
6050
Forty-eighth session of the Commission委员会第四十八届会议
6051
Sessions of working groups工作组的届会
6151
Annexes附件
Draft convention on transparency in treaty-based investor-State arbitration投资人与国家间基于条约仲裁透明度公约草案
6353
List of documents before the Commission at its forty-seventh session提交委员会第四十七届会议的文件一览表
68 A/69/1758
I. Introduction一. 导言
The present report of the United Nations Commission on International Trade Law (UNCITRAL) covers the forty-seventh session of the Commission, held in New York from 7 to 18 July 2014.1. 联合国国际贸易法委员会(贸易法委员会)本期报告概述委员会于2014年7月7日至18日在纽约举行的第四十七届会议的情况。
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. 会议的组织
A. Opening of the sessionA. 会议开幕
The forty-seventh session of the Commission was opened by the Under-Secretary-General for Legal Affairs and Legal Counsel of the United Nations, Mr. Serpa Soares, on 7 July 2014.3. 2014年7月7日,联合国主管法律事务的副秘书长兼联合国法律顾问Serpa Soares先生宣布委员会第四十七届会议开幕。
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. 大会在第2205 (XXI)号决议中设立了由大会选出的29个国家组成的委员会。
By its resolution 3108 (XXVIII) of 12 December 1973, the Assembly increased the membership of the Commission from 29 to 36 States.大会在1973年12月12日第3108 (XXVIII)号决议中将委员会成员国数量从29个增至36个。
By its resolution 57/20 of 19 November 2002, the 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), Côte d’Ivoire (2019), Colombia (2016), Croatia (2016), Denmark (2019), Ecuador (2019), El Salvador (2019), Fiji (2016), France (2019), Gabon (2016), Georgia (2015), Germany (2019), Greece (2019), Honduras (2019), Hungary (2019), India (2016), Indonesia (2019), Iran (Islamic Republic of) (2016), Israel (2016), Italy (2016), Japan (2019), Jordan (2016), Kenya (2016), Kuwait (2019), Liberia (2019), Malaysia (2019), Mauritania (2019), Mauritius (2016), Mexico (2019), Namibia (2019), Nigeria (2016), Pakistan (2016), Panama (2019), Paraguay (2016), Philippines (2016), 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)、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)、科特迪瓦(2019年)、哥伦比亚(2016年)、克罗地亚(2016年)、丹麦(2019年)、厄瓜多尔(2019年)、萨尔瓦多(2019年)、斐济(2016年)、法国(2019年)、加蓬(2016年)、格鲁吉亚(2015年)、德国(2019年)、希腊(2019年)、洪都拉斯(2016年)、匈牙利(2019年)、印度(2016年)、印度尼西亚(2019年)、伊朗伊斯兰共和国(2016年)、以色列(2016年)、意大利(2016年)、日本(2019年)、约旦(2016年)、肯尼亚(2016年)、科威特(2019年)、利比里亚(2019年)、马来西亚(2019年)、毛里塔尼亚(2019年)、毛里求斯(2016年)、墨西哥(2019年)、纳米比亚(2019年)、尼日利亚(2016年)、巴基斯坦(2016年)、巴拿马(2019年)、巴拉圭(2016年)、菲律宾(2016年)、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)。
With the exception of Botswana, Côte d’Ivoire, Fiji, Gabon, Indonesia, Jordan, Malaysia, Mauritania and Sierra Leone, all the members of the Commission were represented at the session.5. 除博茨瓦纳、科特迪瓦、斐济、加蓬、印度尼西亚、约旦、马来西亚、毛里塔尼亚、塞拉利昂之外,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: Belgium, Chile, Cyprus, Czech Republic, Democratic Republic of the Congo, Finland, Guatemala, Libya, Netherlands, Norway, Peru, Qatar, Romania, Slovakia, Sweden and Viet Nam.6. 下列国家派观察员出席了本届会议:比利时、智利、塞浦路斯、捷克共和国、刚果民主共和国、芬兰、危地马拉、利比亚、荷兰、挪威、秘鲁、卡塔尔、罗马尼亚、斯洛伐克、瑞典、越南。
The session was also attended by observers from Holy See, the State of Palestine and the European Union.7. 教廷、巴勒斯坦国和欧洲联盟也派观察员出席了本届会议。
The session was also attended by observers from the following international organizations: (a)8. 下列国际组织也派观察员出席了本届会议:
United Nations system: International Maritime Organization (IMO), Office of Legal Affairs (OLA), Office of the High Commissioner for Human Rights (OHCHR), United Nations Development Programme (UNDP), the World Bank and the World Intellectual Property Organization (WIPO);(a) 联合国系统:国际海事组织、法律事务厅、联合国人权事务高级专员办公室、联合国开发计划署(开发计划署)、世界银行、世界知识产权组织(知识产权组织);
(b) Intergovernmental organizations: Caribbean Development Bank, European Bank for Reconstruction and Development (EBRD), Hague Conference on Private International Law (the Hague Conference), International Cotton Advisory Committee, International Development Law Organization (IDLO), International Institute for the Unification of Private Law (Unidroit), Maritime Organization of West and Central Africa (MOWCA), Organization for Economic Cooperation and Development (OECD), Organization of American States (OAS) and Permanent Court of Arbitration (PCA);(b) 政府间组织:加勒比开发银行、欧洲复兴开发银行、海牙国际私法会议(海牙会议)、国际棉花咨询委员会、国际发展法组织、国际统一私法协会(统法协会)、西部和中部非洲海事组织、经济合作与发展组织(经合组织)、美洲国家组织、常设仲裁法院;
(c) Invited non-governmental organizations: African Center for Cyberlaw and Cybercrime Prevention, American Arbitration Association and International Centre for Dispute Resolution (AAA/ICDR), American Bar Association (ABA), American Society of International Law (ASIL), Asia-Pacific Regional Arbitration Group (APRAG), Asociación Americana de Derecho Internacional Privado, Association for the Promotion of Arbitration in Africa, Centre for International Environmental Law (CIEL), China International Economic and Trade Arbitration Committee (CIETAC), China Society of Private International Law, Comisión Interamericana de Arbitraje Comercial (CIAC-IACAC), Commercial Finance Association (CFA), European Communities Trade Mark Association, European Law Students’ Association (ELSA), German Institution of Arbitration (DIS), Institute of Commercial Law, International Bar Association (IBA), International Chamber of Commerce (ICC), International Insolvency Institute (III), International Institute for Conflict Prevention and Resolution, International Law Institute, International Mediation Institute, International Swaps and Derivatives Association (ISDA), Inter-Pacific Bar Association (IPBA), Jerusalem Arbitration Center, Madrid Court of Arbitration, New York State Bar Association (NYSBA), P.R.I.M.E.(c) 受邀请的非政府组织:非洲网络法律和网络犯罪预防中心、美国仲裁协会和争议解决国际中心、美国律师协会、美国国际法学会、亚洲太平洋区域仲裁集团、美洲国际私法协会、非洲促进仲裁协会、国际环境法中心、中国国际经济和贸易仲裁委员会、中国国际私法学会、美洲商事仲裁委员会、商业金融协会、欧洲共同体商标协会、欧洲法律学生协会、德国仲裁机构、商业法研究所、国际律师协会、国际商会、国际破产协会、冲突预防与解决国际研究所、国际法研究所、国际调解和仲裁论坛、法律与技术研究所(马萨里克大学)、美洲律师协会、国际仲裁学会、国际律师联盟、国际律师协会、国际调解院、国际掉期及衍生工具协会、泛亚律师协会、耶路撒冷仲裁中心、马德里仲裁法院、纽约州律师协会、国际市场知名专家组金融基金会、国际商事仲裁区域中心(尼日利亚,拉各斯)、国际律师联盟。
Finance (P.R.I.M.E), Regional Centre for International Commercial Arbitration (Lagos, Nigeria) and Union Internationale des Avocats (UIA).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。
The Commission welcomed the participation of international non-governmental organizations with expertise in the major items on the agenda. 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.Choong-hee HAHN先生(大韩民国)
Choong-hee HAHN (Republic of Korea) Vice-Chairs: Ms.副主席:
Maria-Chiara MALAGUTI (Italy) Mr.Maria-Chiara MALAGUTI女士(意大利)
Salim MOOLLAN (Mauritius)Salim MOOLLAN先生(毛里求斯)
Mr. Hrvoje SIKIRIĆ (Croatia)Hrvoje SIKIRIĆ先生(克罗地亚)
Rapporteur: Ms.报告员:
Maria del Pilar ESCOBAR PACAS (El Salvador)Maria del Pilar ESCOBAR PACAS女士(萨尔瓦多)
D. AgendaD. 议程
The agenda of the session, as adopted by the Commission at its 984th meeting, on 7 July, was as follows:11. 委员会在7月7日第984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) Finalization and approval of a draft convention on transparency in treaty-based investor-State arbitration;(a) 最后审定并核准投资人与国家间基于条约仲裁透明度公约草案;
(b) Establishment and functioning of the transparency repository;(b) 透明度存储处的设立和运作;
(c) Preparation of a guide on the 1958 New York Convention;(c) 编拟1958年《纽约公约》指南;
(d) International commercial arbitration moot competitions.(d) 国际商事仲裁模拟辩论赛。
5. Micro-, small- and medium-sized enterprises: progress report of Working Group I. 6.5. 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.6. 网上争议解决:第三工作组进度报告。
7. Electronic commerce: progress report of Working Group IV.7. 电子商务:第四工作组的进度报告。
8. Insolvency law: progress report of Working Group V. 9.8. 破产法:第五工作组进度报告。
Security interests: progress report of Working Group VI.9. 担保权益:第六工作组进度报告。
10. Technical assistance to law reform.10. 法律改革技术援助。
11. Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts.11. 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。
12. Status and promotion of UNCITRAL legal texts.12. 贸易法委员会各项法规的现状和推广。
13. Coordination and cooperation:13. 协调与合作:
(a) General;(a) 概述;
(b) Coordination and cooperation in the field of security interests;(b) 担保权益领域的协调与合作;
(c) Reports of other international organizations;(c) 其他国际组织的报告;
(d) International governmental and non-governmental organizations invited to sessions of UNCITRAL and its Working Groups.(d) 获邀参加贸易法委员会及其工作组届会的国际政府间组织和非政府组织。
14. UNCITRAL regional presence.14. 贸易法委员会的区域存在。
15. Role of UNCITRAL in promoting the rule of law at the national and international levels.15. 贸易法委员会在促进国内和国际法治方面的作用。
16. Planned and possible future work.16. 计划中的工作和今后可能开展的工作。
17. Relevant General Assembly resolutions.17. 大会的有关决议。
18. Other business.18. 其他事项。
19. Date and place of future meetings.19. 今后会议的日期和地点。
20. Adoption of the report of the Commission.20. 通过委员会的报告。
E. Adoption of the reportE. 通过报告
The Commission adopted the present report by consensus at its 989th meeting on 9 July 2014, 990th meeting on 10 July 2014, 994th meeting on 14 July 2014, 995th meeting on 16 July 2014 and 997th meeting on 18 July 2014.12. 在其2014年7月9日第989次会议、2014年7月10日第990次会议、2014年7月14日第994次会议、2014年7月16日第995次会议和2014年7月18日第997次会议上,委员会以协商一致方式通过了本报告。
III. Consideration of issues in the area of arbitration and conciliation三. 审议仲裁和调解领域的问题
A. Finalization and approval of a draft convention on transparency in treaty-based investor-State arbitrationA. 最后审定并核准投资人与国家间基于条约仲裁透明度公约草案
1. Introduction1. 导言
The Commission recalled the decision made at its forty-first session, in 2008, and forty-third session, in 2010, namely that the topic of transparency in treaty-based investor-State arbitration should be dealt with as a matter of priority immediately after completion of the revision of the UNCITRAL Arbitration Rules.13. 委员会回顾了委员会2008年第四十一届会议和2010年第四十三届会议作出的决定,即应当在完成对《贸易法委员会仲裁规则》的修订后立即作为优先事项处理投资人与国家间基于条约仲裁的透明度问题。
At its forty-third session, the Commission entrusted its Working Group II (Arbitration and Conciliation) with the task of preparing a legal standard on that topic.委员会在第四十三届会议上责成第二工作组(仲裁和调解)拟订关于这个问题的法律标准。 1 《大会正式记录,第六十三届会议,补编第17号》和更正(A/63/17和Corr.1),第314段。 2 同上,《第六十五届会议,补编第17号》(A/65/17),第190段。 3
Official Records of the General Assembly, Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), para.关于《贸易法委员会仲裁规则》(1976年)文本,见《大会正式记录,第三十一届会议,补编第17号》(A/31/17)。
314. Ibid. Sixty-fifth Session, Supplement No. 17 (A/65/17), para.关于《贸易法委员会仲裁规则》(2010年修订本)文本,见《大会正式记录,第六十五届会议,补编第17号》(A/65/17),附件一。
190. For the text of the UNCITRAL Arbitration Rules (1976), see Official Records of the General Assembly, Thirty-first Session, Supplement No. 17 (A/31/17).4
For the text of the UNCITRAL Arbitration Rules (as revised in 2010), see Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), annex I. Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), para.《大会正式记录,第六十五届会议,补编第17号》(A/65/17),附件三,第190段。
190. At its forty-sixth session, in 2013, the Commission adopted the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration (the “Rules on Transparency” or the “Rules”), together with the UNCITRAL Arbitration Rules (with new article 1, paragraph 4, as adopted in 2013).14. 委员会2013年第四十六届会议通过了《贸易法委员会投资人与国家间基于条约仲裁通明度规则》(《透明度规则》)及《贸易法委员会仲裁规则》(新增2013年通过的第1条第4款)。 委员会在该届会议上达成共识,将拟订一项关于对现有投资条约适用《透明度规则》的公约(《透明度公约》或“公约”)的任务委托给工作组,并考虑到该公约的目标是为愿意将《透明度规则》适用于其现有投资条约的国家提供一种有利于这样做的高效机制,但不对其他国家将利用该公约提供的机制产生期望。
At that session, the Commission recorded consensus to entrust the Working Group with the task of preparing a convention on the application of the Rules on Transparency to existing investment treaties (the “transparency convention” or the “convention”), taking into account that the aim of the convention was to give those States that wished to make the Rules on Transparency applicable to their existing investment treaties an efficient mechanism to do so, without creating any expectation that other States would use the mechanism offered by the convention.5
Ibid. Sixty-eighth Session, Supplement No. 17 (A/68/17), para.同上,第六十八届会议,补编第17号》(A/68/17),第128段,附件一和二。
128 and annexes I and II.6
Ibid. para. 127. At its current session, the Commission had before it the reports of Working Group II (Arbitration and Conciliation) on the work of its fifty-ninth session, held in Vienna from 16 to 20 September 2013, and its sixtieth session, held in New York from 3 to 7 February 2014 (A/CN.9/794 and A/CN.9/799, respectively). It also had before it the text of the draft convention on transparency in treaty-based investor-State arbitration (the “draft convention on transparency” or the “draft convention”), as it resulted from the second reading of the draft convention at the sixtieth session of the Working Group and as contained in document A/CN.9/812. The Commission took note of the summary of the deliberations on the draft convention on transparency that had taken place at the fifty-ninth and sixtieth sessions of the Working Group. The Commission also took note of the comments on the draft convention on transparency as set out in document A/CN.9/813 and its addendum. 2. Consideration of the draft convention on transparency Preamble The Commission considered the preamble of the draft convention on transparency as set out in paragraph 5 of document A/CN.9/812 and recalled the deliberations of the Working Group on the preamble (see A/CN.9/794, paras. 33-43, and A/CN.9/799, paras. 16-20). The Commission further endorsed the agreement of the Working Group at its fifty-ninth and sixtieth sessions not to include in the preamble the wording of the mandate given by the Commission to the Working Group (see para. 14 above), but rather that the proposal for the General Assembly resolution recommending the convention contain the wording as set out in paragraph 41 of document A/CN.9/794. The Commission considered that the inclusion of the word “investment” after the word “concluded” in the fourth paragraph of the preamble (see A/CN.9/812, para. 7) improved the drafting and ought to be retained. The Commission took note of a suggestion to add a paragraph to the end of the preamble as follows: “Noting also article 1(2) and (9) of the UNCITRAL Rules on Transparency,” (see A/CN.9/812, para. 7). After discussion, that proposal was agreed. Approval of the preamble After discussion, the Commission approved the substance of the preamble as contained in paragraph 5 of document A/CN.9/812, inclusive of a new paragraph as set out in paragraph 19 above. Draft article 1: Scope of application The Commission considered article 1 of the draft convention on transparency as set out in paragraph 5 of document A/CN.9/812 and recalled the deliberations of the Working Group on that article (see A/CN.9/794, paras. 44-82, and A/CN.9/799, paras. 21-26). The Commission affirmed the decision of the Working Group at its sixtieth session to use the term “investment treaty” in relation to the underlying investment treaties to which the convention would apply (see A/CN.9/799, para. 26). Approval of article 1 After discussion, the Commission approved the substance of article 1 as contained in paragraph 5 of document A/CN.9/812. Draft article 2: Application of the UNCITRAL Rules on Transparency The Commission considered article 2 of the draft convention on transparency as set out in paragraph 5 of document A/CN.9/812 and recalled the deliberations of the Working Group on that article (see A/CN.9/794, paras. 89-114, and A/CN.9/799, paras. 29-47 and 88-128). Relation between the transparency convention and the investment treaties to which it would apply The Commission unanimously confirmed that it shared the view expressed by a great number of delegations at the fifty-ninth session of the Working Group, namely that the transparency convention, upon coming into force, would constitute a successive treaty creating new obligations pursuant to article 30 of the Vienna Convention on the Law of Treaties (1969) (the “Vienna Convention”) (see A/CN.9/794, para. 22). United Nations, Treaty Series, vol. 1155, No. 18232. Paragraph (1) The Commission considered a suggestion to delete the language “[, as they may be revised from time to time,]”, in light of the text in article 2(3), and article 3(2), which addressed the application of the Rules on Transparency in the event of a revision to the Rules. It was clarified that deleting that language in paragraph (1) would remove an ambiguity in the Rules as to which version of the Rules would apply when the respondent State had made a reservation in respect of the application of the most recent version under article 3(2). After discussion, it was agreed to delete the square bracketed language “[, as they may be revised from time to time,]” in paragraphs (1) and (2). Paragraph (2) Following its decision as set out in paragraph 27 above, the square bracketed phrase “[, as they may be revised from time to time,]” would also be deleted from paragraph (2). A proposal was made to modify the drafting of paragraph (2) to require explicit written agreement by the claimant to the application of the Rules on Transparency. That proposal would modify the latter half of paragraph (2) as follows: “(...) under article 3(1), provided that the claimant agrees explicitly and in writing, to the application (...)”. That proposal was not supported on the basis that article 2 of the draft convention addressed the application of the Rules on Transparency, which themselves set out the mechanics of a claimant’s agreement in articles 1(2) and (9), and that requiring a specific form of agreement under the convention was not desirable. A clarification was sought as to why the word “an” preceded the phrase “investor-State arbitration” in paragraph (2), whereas the word “any” preceded that phrase in paragraph (1). It was clarified that the word “any” was deliberately used in paragraph (1) to reflect that that paragraph applied to all arbitrations falling within its scope, whereas in paragraph (2), the use of the word “an” reflected that that paragraph applied to specific arbitrations upon an offer by the respondent and an acceptance of that offer by the claimant. Paragraph (3) Further to its decision to delete the words “as they may be revised from time to time” from paragraphs (1) and (2) (see para. 27 above), it was agreed to retain paragraph (3) as providing useful clarity in respect of the application of the Rules following an amendment thereto. It was furthermore agreed to delete the reference to an arbitral tribunal, so that paragraph (3) would read in full: “Where the UNCITRAL Rules on Transparency apply pursuant to paragraph 1 or 2, the most recent version of those Rules as to which the respondent has not made a reservation pursuant to article 3(2) shall apply.” Paragraph (5) It was recalled that at the fifty-ninth and sixtieth sessions of the Working Group, it had been agreed that a claimant should not be permitted to avoid application of the Rules on Transparency by invoking a most favoured nation (MFN) clause, and nor should a claimant be permitted to invoke an MFN clause to make the Rules on Transparency applicable in circumstances where the Rules would not otherwise apply (see A/CN.9/794, paras. 118-121, and A/CN.9/799, paras. 40-46, 88-96 and 123-124). The Commission confirmed that the deliberations on MFN clauses in the context of the convention should not be interpreted as taking, and did not take, a position on the question of whether MFN clauses applied to dispute settlement procedures under investment treaties. The Commission considered whether to delete the words “[or non-application]”, in order to improve clarity of drafting in paragraph (5). A concern was raised that removing that language would change the intended meaning of the provision, namely that paragraph (5) should also preclude a claimant applying the Rules on Transparency when the Rules would not otherwise apply under the convention. To address that concern, it was proposed to rephrase paragraph (5) as follows: “The Parties to this Convention agree that a claimant may not invoke a most favored nation provision to seek to apply, or avoid the application of, the UNCITRAL Rules on Transparency under this Convention”. The suggestion to address in paragraph (5) application of different versions of the Rules did not receive support. After discussion, the proposal set out in paragraph 35 above was approved in substance by the Commission. Paragraph headings It was said that the heading “Unilateral offer of application” preceding paragraph (2) should be reconsidered since an offer was by its nature unilateral and moreover that heading did not clarify that the offer could only be made by the respondent under that paragraph. A suggestion was consequently made to replace that heading with the heading “Irrevocable offer”. That suggestion did not receive support, in particular because it was said that it would be at odds with article 4, paragraph (1), which provided that a reservation could be made at any time; hence an offer under article 2(2) was not necessarily irrevocable. Another proposal was made to replace the heading with the word “Offer”, in light of the self-evidently unilateral nature of any offer. A third proposal was made to rephrase the heading such that it made clear that the offer was of unilateral application by a treaty Party; in other words, that only one treaty Party had made the offer to apply the Rules on Transparency and that it would be for the claimant to accept that offer. In response, it was said that the heading “Offer of unilateral application” might not convey clearly that intended meaning. It was furthermore suggested that the term “unilateral offer of application” provided a helpful contrast to the heading preceding paragraph (1), namely “Bilateral or multilateral application”, and that as such it provided a clear indication of the content and purposes of the two paragraphs.同上,第127段。
After discussion, it was agreed to retain the heading “Unilateral offer of application” preceding paragraph (2).15. 委员会本届会议收到了2013年9月16日至20日在维也纳举行的第二工作组(仲裁和调解)第五十九届会议的工作报告和2014年2月3日至7日在纽约举行的第六十届会议的工作报告(分别为A/CN.9/794和A/CN.9/799)。
The Commission approved the proposed headings for all other paragraphs of article 2 as set out in paragraph 5 of document A/CN.9/812.委员会还收到了投资人与国家间基于条约仲裁透明度公约草案(“透明度公约草案”或“公约草案”)的案文,该案文是工作组第六十届会议二读公约草案所产生的结果,载于A/CN.9/812号文件。
Approval of article 216. 委员会注意到工作组第五十九届和第六十届会议审议透明度公约草案的概要。
After discussion, the Commission approved the substance of article 2 as contained in paragraph 5 of document A/CN.9/812, and as modified by paragraphs 27, 28, 31, 32 and 37 above.委员会还注意到载于A/CN.9/813号文件及其增编的透明度公约草案意见汇编。
Draft article 3: Reservations2. 审议透明度公约草案
The Commission considered article 3 of the draft convention on transparency as set out in paragraph 5 of document A/CN.9/812.序言
The Commission noted that the language set out therein had been approved in substance at the sixtieth session of the Working Group (see A/CN.9/799, paras. 51-55 and 97-128; for deliberations on article 3 at the fifty-ninth session of the Working Group, see A/CN.9/794, paras. 115-147).17. 委员会审议了A/CN.9/812号文件第5段所载透明度公约草案的序言,并回顾了工作组就序言进行审议的情况(见A/CN.9/794 ,第33-34段;A/CN.9/799,第16-20段)。
The Commission furthermore confirmed the unanimous agreement of the Working Group that it would be unacceptable for a Party to the transparency convention to accede to the transparency convention and then carve out its entire content by use of reservations under article 3 (see A/CN.9/794, paras. 131-133).委员会进一步赞同工作组第五十九届和第六十届会议达成的一致意见,即不在序言中列入关于委员会赋予工作组的任务授权的案文(见上文第14段),而是在建议通过公约的大会决议中载入A/CN.9/794号文件第41段所提出的案文。
The Commission further took note of the clear indication of consensus at the fifty-ninth and sixtieth sessions of the Working Group that the only reservations permitted under the convention ought to be those enumerated in the transparency convention (see A/CN.9/794, para.18. 委员会认为,在序言第四段“订立的”一词之后加上“投资”(见A/CN.9/ 812,第7段)改进了措词,应当予以保留。 19. 委员会注意到建议在序言结尾处添加一段案文如下:“还注意到《贸易法委员会透明度规则》第1条第(2)款和第(9)款,”(见A/CN.9/812,第7段)。 经过讨论,就这项建议达成一致。 核准序言 20. 经过讨论,委员会核准了载于A/CN.9/812号文件第5段的序言的实质内容,并如上文第19段所载列入一新段。 第1条草案:适用范围 21. 委员会审议了A/CN.9/812号文件第5段所载透明度公约草案第1条,并回顾了工作组审议该条的情况(见A/CN.9/794,第44-82段;A/CN.9/799,第21-26段)。
147, and A/CN.9/799, para.22. 委员会确认了工作组第六十届会议作出的关于在涉及适用公约的基础投资条约时使用“投资条约”这一术语的决定(见A/CN.9/799,第26段)。
55).核准第1条
Paragraph (1)23. 经过讨论,委员会核准了载于A/CN.9/812号文件第5段的第1条的实质内容。
Subparagraph (a)第2条草案:《贸易法委员会透明度规则》的适用
A proposal was made to modify subparagraph (a) with three amendments, namely: (a) to add the words “to which it is a contracting party” after the phrase “a specific investment treaty”; (b) to replace the words “date that investment treaty was concluded” with “date that investment treaty was signed by the Party making the reservation”; and (c) to add the words “in cases where it is the respondent in an arbitration brought under that treaty” to the end of the subparagraph.24. 委员会审议了A/CN.9/812号文件第5段所载透明度公约草案第2条,并回顾了工作组审议该条的情况(见A/CN.9/794,第89-114段;A/CN.9/799,第29-47段和88-128段)。
After discussion, it was said that that proposal might create additional complexity in some respects, and a revised proposal was made to replace subparagraph (a) as follows: “It shall not apply this Convention to investor-State arbitration under a specific investment treaty, identified by title and name of contracting parties to that investment treaty.” A suggestion to insert the word “the” before the phrase “contracting parties” in that revised proposal, and consequently also in article 8(1), was agreed.透明度公约与适用透明度公约的投资条约之间的关系
After discussion, the revised proposal for article 3(1)(a) as set out in paragraph 48 above was agreed.25. 委员会一致确认其同意绝大多数代表团在工作组第五十九届会议上所表达的意见,即透明度公约生效后将构成可根据《维也纳条约法公约》(1969年)(《维也纳公约》)第30条创设新义务的后订条约(见A/CN.9/794,第22段)。
A separate proposal was made to replace, in the chapeau, the words “A Party may declare that:” with the phrase “A party may make the following reservations:”.7
That proposal did not receive support since the declaration referred to in that phrase was the mechanism through which a reservation would be made. Paragraph (2)联合国,《条约汇编》,第1155卷,第18232号。
The Commission agreed to replace the phrase “amendment to” in the phrase “amendment to the UNCITRAL Rules on Transparency”, with “a revision of”, in order to align the drafting more closely with other provisions of the draft convention and the Rules.第(1)款
It was consequently agreed that the word “amendment” as it appeared later in that provision would also be replaced with the word “revision”.26. 委员会审议了下述建议:鉴于第2条第(3)款以及第3条第(2)款的案文——涉及在修订《透明度规则》的情况下《规则》的适用问题,应当删除“[可能不时修订的]”这段词语。 会上澄清,删除第(1)款中的这段词语将消除《规则》中的模糊之处——如果被申请国就根据第3条第(2)款适用最新版本提出保留,将适用《规则》的哪个版本。
For the sake of drafting consistency, it was agreed to replace the word “will” appearing before the words “not apply” by the word “shall”.27. 经过讨论,会议商定,删除第(1)款和第(2)款中置于方括号内的词语“[可能不时修订的]”。
In all other respects it was agreed to retain paragraph (2) in the form set out in paragraph 5 of document A/CN.9/812. It was confirmed that the UNCITRAL secretariat would follow its usual practice of notifying all States of the revision of the Rules. Approval of article 3第(2)款
After discussion, the Commission approved the substance of article 3 as contained in paragraph 5 of document A/CN.9/812, and as modified by paragraphs 49 and 51 above and paragraph 73 below.28. 根据上文第27段载明的委员会的决定,还将从第(2)款中删除方括号内的词语“[可能不时修订的]”。
Draft article 4: Formulation of reservations29. 会上提议修改第(2)款的措词,要求申请人以明确的书面协议对适用《透明度规则》表示同意。 这项提议将对第(2)款后半部修改如下:“[......]根据第3条第(1)款......,条件是申请人以书面方式明确同意适用[......]”。 这项提议未得到支持,因为公约草案第2条涉及《透明度规则》的适用,其本身在第1条第(2)款和第(9)款中阐明了申请人表示同意的方式,而如果在公约中要求提供具体形式的同意,并不可取。 30. 会上要求澄清为什么在第(2)款“投资人与国家间仲裁”之前加上“一项”,而在第(1)款该用语之前则加上“任何”。 澄清说,第(1)款是特意加上“任何”一词的,以反映该款适用于属于其范围内的所有仲裁,而第(2)款使用“一项”一词,反映出经被申请人提议并由申请人接受该提议,该款适用于特定仲裁。 第(3)款 31. 鉴于决定从第(1)款和第(2)款中删去“可能不时修订的”一语(见上文第27段),会议商定,保留第(3)款,因其有助于明确在修订《规则》之后《规则》的适用问题。 32. 会议还商定,删除对仲裁庭的提及,因此,整个第(3)款修改后内容如下:“根据第1款或第2款适用《贸易法委员会透明度规则》的,应适用被申请人未根据第3条第(2)款作出保留的该《规则》的最新版本。 ” 第(5)款 33. 会上回顾,工作组第五十九届和第六十届会议曾商定,不应允许申请人以援用最惠国条款的方式规避适用《透明度规则》,也不应允许申请人援用最惠国条款在本来不适用《规则》的情况下使《透明度规则》得以适用(见A/CN.9/ 794,第118-121段;A/CN.9/799,第40-46、88-96、123-124段)。 34. 委员会确认,关于最惠国条款与公约关系的审议,不应被解释为就最惠国条款是否在投资条约下适用于争议解决程序持任何立场,而且也并没有就此持任何立场。 35. 委员会审议了是否删除“[或不适用]”一词以提高第(5)款措词的明确度。 会上提出的一项关切是,去掉这段措词将会改变该款的初衷,即第(5)款还应排除当根据公约本来不适用《规则》时申请人适用《透明度规则》的情形。 针对这项关切,提议对第(5)款改写如下:“本公约缔约方同意,申请人不得援用最惠国条款,以根据本公约适用或规避适用《贸易法委员会透明度规则》”。 36. 会上提议在第(5)款中处理《规则》不同版本的适用问题,但未得到支持。 37. 经过讨论,委员会核准了上文第35段所载建议的实质内容。 条款标题 38. 会上指出,第(2)款前面的标题“单方面提议适用”应当加以重新审议,因为一项提议就其本质而论都是单方面的,此外,这个标题并没有明确根据该款只能由被申请人作出提议。 因此建议将该标题改为“不可撤销的提议”。 这项建议未得到支持,主要是因为会上指出这将与第4条第(1)款不一致,后者规定可随时作出保留;因此,根据第2条第(2)款作出的一项提议并不一定是不可撤销的。 39. 另一项建议是将标题改为“提议”,因为任何提议的单方面性质不言自明。 40. 第三项建议是改写该标题,以便明确,此种提议属于某一条约缔约方的单方面适用;换言之,只有一个条约缔约方提议适用《透明度规则》,是否接受该提议将由申请人来决定。 对此指出,“提议单方面适用”这一标题可能无法清楚地表达本来的含意。 41. 会上进一步指出,“单方面提议适用”这一用语与第(1)款前面的标题——即“双边和多边适用”——形成了有益对比,正因为如此,这个标题清楚地表明了这两款的内容和目的。 42. 经过讨论商定,保留第(2)款前面的标题“单方面提议适用”。
The Commission considered article 4 of the draft convention on transparency as set out in paragraph 5 of document A/CN.9/812.43. 委员会核准了A/CN.9/812号文件第5段所载第2条其余各款的拟议标题。
The Commission recalled the deliberations of the Working Group on that article (see A/CN.9/794, paras. 123-126 and 149-152, and A/CN.9/799, paras. 56-69, 134(a) and 136).核准第2条 44. 经过讨论,委员会核准了载于A/CN.9/812号文件第5段并在上文第27、28、31、32和37段中作了修改的第2条的实质内容。 第3条草案:保留 45. 委员会审议了A/CN.9/812号文件第5段所载透明度公约草案第3条。
New paragraph to be inserted after paragraph 3委员会注意到,工作组已在第六十届会议上核准了该条案文的实质内容(见A/CN.9/799,第51-55、97-128段;工作组第五十九届会议审议第3条的情况,见A/CN.9/ 794,第115-147段)。
A proposal was made to add a new paragraph after paragraph (3) in article 4, as follows: “Reservations made at the time of ratification, acceptance or approval of this Convention or accession thereto shall take effect simultaneously with the entry into force of this Convention in respect of the Party concerned.”46. 委员会进一步确认了工作组达成的一致意见,即透明度公约的缔约方加入透明度公约,然后又利用第3条中的保留规定排除公约的全部内容,这样做是不可接受的(见A/CN.9/794,第131-133段)。
It was said that such a provision would be more consistent with other timelines provided for in article 4.委员会进一步注意到工作组第五十九届和第六十届会议达成的协商一致意见,它清楚地表明,公约所准许的保留只应是透明度公约中列出的那些保留(见A/CN.9/794,第147段;A/CN.9/799,第55段)。
After discussion, that proposal was agreed in substance.第(1)款
Paragraphs (2) and (3)(a)项
It was said that the order of paragraphs (2) and (3) should be inverted to reflect the fact that confirmations of reservations were first mentioned in paragraph (3).47. 会上提议对(a)项作三项修改,即:(a)在“特定投资条约”之前加上“其为缔约方的”;(b)将“投资条约订立日期”改为“作出保留的缔约方签署投资条约的日期”;(c)在该项结尾处加上以下案文:“如果该缔约方是根据该条约提起的一项仲裁的被申请人”。
After discussion, it was agreed that paragraph (2) would be better placed as the penultimate paragraph of article 4.48. 经过讨论,会上指出,该建议可能会在某些方面造成更多的复杂性,因此提出一项修订建议对(a)项改写如下:“一特定投资条约按标题和该投资条约缔约方名称识别的,该缔约方不对在该投资条约下提起的投资人与国家间的仲裁适用本公约。
Paragraph (4)”提议在该修订建议中“缔约方”之前以及相应地还在第8条第(1)款中加上定冠词“the”,会上就此达成一致。
A suggestion was made to clarify the drafting of paragraph (4) by adding the words “made by a Party” following the words “Except for a reservation”.49. 经过讨论,会上就上文第48段所载第3条第(1)款(a)项的修订建议达成一致。
That proposal was agreed.50. 提出一项单独建议,将启首语中的措词“缔约方可声明:”改为“缔约方可作出下列保留:”。
Paragraph (5)该建议未得到支持,因为这段词语中提到的声明是籍以作出保留的机制。 第(2)款 51. 委员会商定,将“......《贸易法委员会透明度规则》作出修正”中的“修正”一词改为“修订”,以便使这一措词与公约草案其他条文和《规则》更加贴近。 因此商定,该款后面出现的“修正”一词也改为“修订”。 为措词一致起见,会议商定,去掉“不适用”前面的“将”一词。
The Commission agreed to retain paragraph (5) in the form set out in paragraph 5 of document A/CN.9/812, subject to its further consideration of, and any consequential amendments that might be required by, paragraph (6).在所有其他方面,会议商定按A/CN.9/812号文件第5段所载写法保留第(2)款。
Paragraph (6)52. 会议确认,贸易法委员会秘书处将依循其一贯做法,向所有国家通报《规则》修订事宜。
The Commission affirmed the agreement of the Working Group that a withdrawal providing for greater transparency ought to have immediate effect, whereas all other modifications ought to take effect twelve months after receipt by the depositary, as a measure to avoid abuse (see A/CN.9/794, paras. 153-157, and A/CN.9/799, paras. 63-69, 134(a) and 136).核准第3条
A concern was raised that the language set out in paragraph (6) referring to a modification to a reservation “with the effect of making (...) a withdrawal” of a reservation was difficult to interpret and might in any event be unnecessary. A clarification was sought as to whether, when a Party to the convention deposited a list of a number of treaties as a single “reservation” under article 3(1)(a), that list would in practice constitute a single reservation, or separate reservations in respect of each treaty listed.53. 经过讨论,委员会核准了载于A/CN.9/812号文件第5段并经上文第49和51段以及下文第73段修改的第3条的实质内容。
It was agreed that such a list would constitute separate reservations, and the Commission decided to consider further whether such an understanding ought to be made explicit in the convention itself.第4条草案:保留的提出
As a corollary to that determination, it was said that “modifications” of a reservation to the transparency convention would no longer be an appropriate term, because in the event a number of treaties had been listed pursuant to article 3(1)(a), the addition or removal of any specific investment treaty from that list would constitute either a new reservation, or the withdrawal of a reservation.54. 委员会审议了A/CN.9/812号文件第5段所载透明度公约草案第4条。
Having regard to those clarifications, the Commission considered a proposal to amend paragraph (6) as follows: “If after this Convention has entered into force for a Party, that Party withdraws a reservation under article 3(1)(a) or (b) with respect to a specific investment treaty or a specific set of arbitration rules or procedures, or a reservation under article 3(1)(c) or (2), such withdrawal shall take effect upon receipt of the notification by the depositary.”委员会回顾了工作组对该条的审议情况(见A/CN.9/794,第123-126、149-152段;A/CN.9/799,第56-69、134(a)、136段)。
It was said that that proposal would obviate the need for reference to modifications in paragraph (5), as well as in article 5, and would result in the deletion of paragraph (7) as redundant.拟在第3款之后插入一新款
Article 4(6) and new article 3(3)55. 提议在第4条第(3)款之后插入一新款,内容如下:“批准、接受或核准本公约或加入本公约时作出的保留应在本公约对相关缔约方生效时同时生效。
After discussion, a revised proposal was made that was said likewise to obviate the need for references to modifications even where a Party was to deposit multiple reservations within the same instrument and withdraw only one such reservation.”会上指出,这样的条文将与第4条规定的其他时限更加一致。
That revised proposal read as follows: “When a party makes a declaration under article 3, each investment treaty or set of arbitration rules or procedures to which the declaration refers, and any part of the declaration made under paragraph 1(c) or (2) shall be deemed to constitute a separate reservation for purposes of article 4.”56. 经过讨论,就这项提议的实质内容达成一致意见。
It was said that that revised proposal was best placed in article 3, as a separate provision to follow paragraph (2).第(2)款和第(3)款 57. 会上指出,应当调换第(2)款和第(3)款的顺序,以反映第(3)款提及的保留的确认在先这一事实。 经过讨论,会议商定,第(2)款放在第4条倒数第二的位置更合适。
Various amendments were made to that revised proposal, such that it would read as follows: “Parties may make multiple declarations in a single instrument.第(4)款
When this occurs, each such declaration in respect of a specific investment treaty under article 3(1)(a) or specific set of arbitration rules or procedures under article 3(1)(b), or any such declaration in respect of article 3(1)(c) or article 3(2), shall constitute a separate reservation capable of separate withdrawal under article 4(5).”58. 建议澄清第(4)款的措词,紧接“除第3条第(2)款规定的”之后,添加“一缔约方提出的”一语。
A suggestion was made to omit the language “When this occurs” from that proposal.就这项提议达成一致意见。
Another suggestion was made to replace the word “declaration” in that proposal where it appeared as a noun, with the word “reservation”.第(5)款
A further suggestion was made to change the reference in the first line of that proposal to “reservations”, and retain the word “declaration” where it appeared in the second sentence, to reflect that a reservation was the result of the making of a declaration under article 3.59. 委员会商定,按A/CN.9/812号文件第5段所载的形式保留第(5)款,但以进一步审议第(6)款以及因第(6)款而可能需要作出任何相应修改为前提。
That suggestion would require the retention of the words “When this occurs” to create the link between the reservation in the first sentence, and the mechanism by which that reservation was effected (e.g. a declaration) in the second sentence.第(6)款
Following those suggestions, a further revised proposal was made as follows: “Parties may make multiple reservations in a single instrument.60. 委员会确认工作组的一致意见,即凡是规定更高透明度的撤回均应立即生效,所有其他修改应自保存人收到之日起十二个月后生效,以避免滥用情形(见A/CN.9/794,第153-157段;A/CN.9/799,第63-69、134(a)、136段)。
In such an instrument, each declaration made: (a) In respect of a specific investment treaty under paragraph (1)(a); (b) In respect of a specific set of arbitration rules or procedures under paragraph (1)(b); (c) Under paragraph (1)(c); or (d) Under paragraph (2); shall constitute a separate reservation capable of separate withdrawal under article 4(6).”61. 会上提出一项关切,认为第(6)款有措词提到修改一项保留,使之“具有撤回”保留“效力的”,这样的措词难以解释,可能没有任何必要性。 62. 会上要求就以下问题作出澄清,即一缔约方作为第3条第(1)款(a)项下的单项“保留”交存若干条约的清单,该清单实际上构成单项保留,还是构成对所列每项条约分别提出的保留。
A question was raised as to whether the language “capable of separate withdrawal under article 4(6)” was necessary.一致认为,此种清单将构成分别提出的保留,委员会决定进一步审议是否应在公约本身明确规定这种理解。 63. 作为此项断定的必然结果,会上指出,对透明度公约的保留作出“修改”将不再是一个适当的措辞,因为在根据第3条第(1)款(a)项列出若干条约的情况下,该清单增减任何特定投资条约都将构成一项新的保留或对一项保留的撤回。
It was said in response that that language, while not strictly required, would be helpful to provide clarity.64. 在考虑到这些澄清的情况下,委员会审议了一项修正第(6)款的提议,内容如下:“本公约对一缔约方生效后,该缔约方撤回根据第3条第(1)款(a)项或(b)项对一特定投资条约或一套特定仲裁规则或程序作出的保留,或者撤回根据第3条第(1)款(c)项或第(2)款作出的保留,此种撤回应于保存人收到通知时生效。
After discussion, it was agreed: (a) to adopt the text as set out in paragraph 71 above; (b) to place that text as a new paragraph in article 3, to follow paragraph (2); (c) to revise article 4(6) as contained in paragraph 64 above, to eliminate duplicative language in that article; and (d) to remove all references to “modification of a reservation” in articles 4 and 5.
Drafting matters65. 会上指出,这项提议使得不再需要提及第(5)款以及第5条规定的修改,可因此而删除因此而多余的第(7)款。
It was agreed that throughout article 4, references to “receipt of notification”, would be replaced by references to deposit with the depositary, to align better the drafting of that article with United Nations treaty practice.第4条第(6)款和新的第3条第(3)款 66. 经过讨论提出一项修订建议,据说这项建议同样不必提及修改,即使缔约方打算在同一份文书中交存多项保留并只撤回一项此种保留。 67. 该修订建议内容如下:“缔约方根据第3条作出声明的,该声明所提及的每一投资条约或每套仲裁规则或程序,以及根据第1款(c)项或第(2)款作出的声明的任何部分,均应视为构成第4条所指的一项单独保留。
Approval of article 4
After discussion, the Commission approved the substance of article 4 as contained in paragraph 5 of document A/CN.9/812, and as modified by paragraphs 55, 56, 57, 73 and 74 above.68. 会上指出,该修订建议最好放在第3条中,作为一单独条款紧接第(2)款。 69. 对该修订建议提出各种修改意见,修改后内容如下:“缔约各方可在单一项文书中作出多项声明。 遇此情形,就第3条第(1)款(a)项下的特定投资条约或者就第3条第(1)款(b)项下的一套特定仲裁规则或程序作出的每一项此种声明,或者就第3条第(1)款(c)项或第3条第(2)款作出的任何此种声明,应构成一项单独的保留,该保留能够根据第4条第(5)款单独撤回。
Draft article 5: Application to investor-State arbitrations” 70. 提议略去该建议中“遇此情形”字样。
The Commission considered article 5 of the draft convention on transparency as set out in paragraph 5 of document A/CN.9/812.另一项建议是替换该建议中作为名词出现的“声明”一词,将其改为“保留”。
The Commission noted that the language set out therein had been approved in substance at the sixtieth session of the Working Group (see A/CN.9/799, para.还有一项建议是将该建议第一行中的这个词改为“保留”,同时保留第二句中的“声明”一词,以反映出保留是根据第3条作出声明的结果。
76).这项建议将要求保留“遇此情形”字样,以便在第一句中的保留与第二句中的提出保留的机制(如声明)这两者之间建立关联。 71. 根据这些意见,又进一步提出以下修订建议:“缔约方可在单一项文书中作出多项保留。 在此种文件书中,每一项声明,凡在下列范围之内的,应构成一项单独的保留,该保留能够根据第4条第(6)款单独撤回:(a)该声明涉及第(1)款(a)项下的特定投资条约;(b)该声明涉及第(1)款(b)项下的一套特定的仲裁规则或程序;(c)该声明系根据第(1)款(c)项提出;或者(d)该声明系根据第(2)款提出。
A proposal was made to add the word “concerned” after the phrase “in respect of each Party” in order to align the wording more closely with other provisions in the draft convention (such as article 4(3)).
That proposal was agreed.72. 对是否有必要加上“该保留能够根据第4条第(6)款单独撤回”这段词语提出疑问。 对此提出,这段词语虽非绝对必要,但有助于提供明确度。 73. 经过讨论,会议商定如下,(a)通过上文第71段所载案文;(b)将该案文作为一新款置于第3条中,紧接第(2)款;(c)修订上文第64段所载第4条第(6)款,去掉该条中的重复文字;(d)删除第4条和第5条中所有提及“对保留的修改”的内容。
As matters of drafting, proposals to insert the word “shall” before the words “apply”, and to replace the words “have been” appearing before the word “commenced” with “are”, were agreed.起草事项
Consequent to the proposals agreed as set out in paragraphs 77 and 78 above, article 5 would read as follows: “This Convention and any reservation or withdrawal of a reservation, shall apply only to investor-State arbitrations that are commenced after the date when the Convention, reservation, or withdrawal of a reservation, enters into force or takes effect in respect of each Party concerned.”74. 会议商定,第4条中凡有“收到通知”之处均改为交存保存人,以便使该条的措词与联合国的条约实践更加一致。
Approval of article 5核准第4条
After discussion, the Commission approved the substance of article 5 as set out in paragraph 79 above.75. 经过讨论,委员会核准了载于A/CN.9/812号文件第5段并经上文第55、56、57、73、74段修改的第4条的实质内容。
Draft article 6: Depositary第5条草案:对投资人与国家间仲裁的适用
The Commission noted that the Working Group had considered article 6 at its fifty-ninth and sixtieth sessions (see A/CN.9/794, para.76. 委员会审议了A/CN.9/812号文件第5段所载透明度公约草案第5条。
159, and A/CN.9/799, para.委员会注意到工作组第六十届会议已核准其中所载案文的实质内容(见A/CN.9/799,
70).第76段)。
Approval of article 677. 提议将“对每一缔约方”改为“对每一相关缔约方”,以便与公约草案其他条文的措词更加一致(如第4条第(3)款)。
The Commission approved the substance of article 6 as set out in paragraph 5 of document A/CN.9/812.就这项提议达成一致意见。 78. 作为起草问题,就以下提议达成一致意见,即在“apply”之前添加“shall”字,并将“commenced”之前的“have been”改为“are”(中文不适用)。
Draft article 7: Signature, ratification, acceptance, approval, accession79. 由于上文第77和78段所载商定提议,第5条修改后内容如下:“本公约以及任何保留,或者对保留的撤回,仅适用于在本公约、保留或者对保留的撤回对每一相关缔约方生效或产生效力之日后提起的投资人与国家间的仲裁。
The Commission considered article 7 of the draft convention on transparency as set out in paragraph 5 of document A/CN.9/812.
The Commission noted that the language set out therein had been approved in substance at the sixtieth session of the Working Group (see A/CN.9/799, para.核准第5条
71; for deliberations on article 7 at the fifty-ninth session of the Working Group, see A/CN.9/794, paras. 160-164).80. 经过讨论,委员会核准了上文第79段所载第5条的实质内容。 第6条草案:保存人 81. 委员会注意到工作组第五十九届和第六十届会议审议了第6条(见A/CN.9/794,第159段;A/CN.9/799,第70段)。 核准第6条 82. 委员会核准了A/CN.9/812号文件第5段所载第6条的实质内容。
In connection with draft article 7, the attention of the Commission was drawn to an invitation from the Government of Mauritius to participate in an event for the celebration of the adoption of the convention.第7条草案:签署、批准、接受、核准、加入
If approved by the General Assembly, the Mauritius event would include a ceremony for the signing of the convention, once adopted.83. 委员会审议了A/CN.9/812号文件第5段所载透明度公约草案第7条。 委员会注意到工作组第六十届会议已核准其中所载的案文的实质内容(见A/CN.9/799,第71段;工作组第五十九届会议对第7条的审议情况,见A/CN.9/794,第160-164段)。
The event was also envisioned to include a seminar under the auspices of UNCITRAL.84. 关于第7条草案,会议提请委员会注意毛里求斯政府邀请参加庆祝通过公约的活动。
The Commission was informed that the Government of Mauritius was prepared to assume the additional costs that might be incurred by convening a signing ceremony outside the premises of the United Nations so that the organization of the proposed event and the signing ceremony would not require additional resources under the United Nations budget.另外,如果经大会批准,毛里求斯活动将包括公约获通过后的签字仪式。
The Commission expressed its gratitude for the generosity of the Government of Mauritius in offering to act as host for such an event, and that proposal was unanimously supported. Paragraph (1) It was observed that, given the strong positive response of the Commission to the invitation to attend a signing ceremony in Mauritius, the text of draft article 7 ought to be adjusted to include Mauritius as the place at which the transparency convention would be opened for signature and the instrument could then be opened for further signature at United Nations Headquarters in New York.按照设想,这次活动将包括一次由贸易法委员会主持的研讨会。
There was broad support for that suggestion and the Commission agreed that paragraph (1) of article 7 would read: “This Convention is open for signature in Port Louis, Mauritius, on 17 March 2015, and thereafter at the United Nations Headquarters in New York by any (a) State; or (b) regional economic integration organization that is constituted by States and is a contracting party to an investment treaty.”委员会获悉,毛里求斯政府准备承担可能产生的额外费用,其中包括在联合国馆舍外举行签字仪式,因此,拟议活动和签字仪式的组办将无需从联合国预算中提供额外资源。
Approval of article 785. 委员会对毛里求斯政府慷慨提出担任此次活动东道国表示感谢,这项提议获得一致支持。
After discussion, the Commission approved the substance of article 7 as contained in paragraph 5 of document A/CN.9/812, and as modified in paragraph 87 above.第(1)款
Draft article 8: Participation by regional economic integration organizations86. 会上认为,鉴于委员会对在毛里求斯出席签字仪式的邀请作出了十分积极的反应,第7条草案的案文应作调整,将毛里求斯列为透明度公约开放供签署的地点,此后,该文书可以在纽约联合国总部开放供进一步签署。
The Commission considered article 8 of the draft convention on transparency as set out in paragraph 5 of document A/CN.9/812 and took note of the previous deliberations of the Working Group on that article (see A/CN.9/794, paras. 168-170, and A/CN.9/799, paras. 74 and 129-133).87. 这项建议得到广泛支持,委员会商定对第7条第(1)款修改如下:“本公约于2015年3月17日在毛里求斯路易港,随后在纽约联合国总部,开放供任何(a)国家签署,或者(b)由国家组成并作为投资条约缔约方的区域经济一体化组织签署开放供其签署。
Paragraph (1)
A proposal was made to delete the phrase “, and date that investment treaty was concluded”, to provide for consistency with the proposed deletion of the reference to the date of conclusion of investment treaties in article 3 (see paras. 48-49 above).核准第7条
In response, it was said that in paragraph (1) of article 8, the reference to a date of conclusion of an investment treaty was intended to alert the depositary to the fact that the treaty in question fell within the scope of application of the convention, and in particular that such treaty was concluded prior to 1 April 2014.88. 经过讨论,委员会核准了A/CN.9/812号文件第5段所载并经上文第87段修改的第7条的实质内容。
It was observed that article 7(1) already provided for the relevant requirements for a regional economic organization to become a Party to the convention.第8条草案:区域经济一体化组织的参与
After discussion, it was agreed to delete the phrase “, and date that investment treaty was concluded” from article 8(1).89. 委员会审议了A/CN.9/812号文件第5段所载透明度公约草案第8条,并注意到工作组以往对该条的审议情况(A/CN.9/794,第168-170段;A/CN.9/799,第74、129-133段)。
In all other respects, paragraph (1) as set out in paragraph 5 of document A/CN.9/812 was approved in substance.第(1)款
Approval of article 890. 会上提议删除“和投资条约订立日期”一语,以便与拟议第3条拟议删除的提及投资条约订立日期的字样相一致(见上文第48-49段)。
After discussion, the Commission approved the substance of article 8 as set out in paragraph 5 of document A/CN.9/812, and as modified by paragraph 91 above.对此指出,在第8条第(1)款中,提及投资条约订立日期意在提醒保存人注意以下事实,即相关条约属于公约的适用范围,尤其是该条约是在2014年4月1日之前订立的。 91. 会上指出,第7条第(1)款已经规定了区域经济一体化组织成为缔约方的相关要求。
Draft article 9: Entry into force经过讨论商定,从第8条第(1)款中删除“和投资条约订立日期”一语。
The Commission considered article 9 of the draft convention on transparency as set out in paragraph 5 of document A/CN.9/812.92. 在所有其他方面,核准了A/CN.9/812号文件第5段所载第(1)款的实质内容。
The Commission noted that the language therein had been approved in substance at the sixtieth session of the Working Group (see A/CN.9/799, para.核准第8条
75; for deliberations on article 9 at the fifty-ninth session of the Working Group, see A/CN.9/794, paras. 171-175).93. 经过讨论,委员会核准了A/CN.9/812号文件第5段所载并经上文第91段修改的第8条的实质内容。
Paragraph (1)第9条草案:生效
A proposal to replace the phrase “enters into force” with the phrase “shall enter into force” was agreed.94. 委员会审议了A/CN.9/812号文件第5段所载透明度公约草案第9条。
Approval of article 9委员会注意到工作组第六十届会议已核准其中案文的实质内容(见A/CN.9/799,第75段;工作组第五十九届会议对第9条的审议情况,见A/CN.9/794,第171-175段)。
After discussion, the Commission approved the substance of article 9 as set out in paragraph 5 of document A/CN.9/812, and as modified by paragraph 95 above.第(1)款
Draft article 10: Amendment95. 就以下提议达成一致意见,即:将“enters into force”改成“shall enter into force”(中文不适用)。
The Commission considered article 10 of the draft convention on transparency as set out in paragraph 5 of document A/CN.9/812.核准第9条
The Commission noted that the language therein had been approved in substance at the sixtieth session of the Working Group, based on proposals made at that session (see A/CN.9/799, paras. 78 and 138-146; for deliberations on article 10 at the fifty-ninth session of the Working Group, see A/CN.9/794, paras. 177-178).96. 经过讨论,委员会核准了A/CN.9/812号文件第5段所载并经上文第95段修改的第9条的实质内容。
Paragraph (2)第10条草案:修正
A proposal was made to replace the first sentence of paragraph (2) as follows, “The Parties shall make every effort to achieve consensus at the conference on each amendment”.97. 委员会审议了A/CN.9/812号文件第5段所载透明度公约草案第10条。 委员会注意到工作组第六十届会议已基于该届会议上的提议核准其中案文的实质内容(A/CN.9/799,第78、138-146段;工作组第五十九届会议对第10条的审议情况,见A/CN.9/794,第177-178段)。
That proposal did not receive support.第(2)款
A proposal to replace the phrases “have been exhausted” and “has been reached” with the phrases “are exhausted” and “is reached”, respectively, was accepted.98. 会上提议将第(2)款第一句改为:“缔约方应在缔约方会议上尽一切努力就每项修正案达成协商一致”。
Paragraph (4)这项提议未得到支持。
A suggestion was made to replace the words “expressed consent to be bound” with examples of how that consent might be expressed, for example through the deposit of an instrument of ratification, acceptance or approval.99. 会上提议分别将 “have been exhausted”和“has been reached”改为“are exhausted”和“is reached”(中文不适用),这项提议得到接受。
It was said in response that means of consent were addressed by the Vienna Convention, and consequently did not need to be explicitly addressed in the transparency convention.第(4)款
Approval of article 10100. 会上提议将“已表示同意受其约束”改为可能表示同意的实例,例如交存批准书、接受书或核准书。
After discussion, the Commission approved the substance of article 10 as contained in paragraph 5 of document A/CN.9/812, and as modified by paragraph 99 above.对此指出,《维也纳公约》已经处理表示同意的方式,因此,不需要在透明度公约中明确处理这一问题。
Draft article 11: Denunciation of this Convention核准第10条
The Commission considered article 11 of the draft convention on transparency as set out in paragraph 5 of document A/CN.9/812.101. 经过讨论,委员会核准了A/CN.9/812号文件第5段所载并经上文第99段修改的第10条的实质内容。
The Commission noted that the language set out therein had been approved in substance at the sixtieth session of the Working Group (see A/CN.9/799, paras. 79-80; for deliberations on article 11 at the fifty-ninth session of the Working Group, see A/CN.9/794, para.第11条草案:退出本公约
179).102. 委员会审议了A/CN.9/812号文件第5段所载透明度公约草案第11条。 委员会注意到工作组第六十届会议已核准其中所载案文的实质内容(见A/CN.9/799,第79-80段;工作组第五十九届会议对第11条的审议情况,见A/CN.9/794,第179段)。
Paragraph (1)第(1)款
A suggestion was made to replace the term “notification in writing” with the term “formal notification” in line with other provisions in the draft convention.103. 会上提议将“书面通知”一语改成“正式通知”,使之与公约其他条文相一致。
That proposal was agreed, it having been clarified that it was the understanding of the Commission that formal notifications did take place in writing and that it was consequently not necessary to include the words “in writing” in the convention itself.就该提议达成一致意见,澄清委员会的理解是,正式通知就是以书面形式作出的,因此没有必要在公约本身加入“书面”字样。
Approval of article 11核准第11条
After discussion, the Commission approved the substance of article 11 as set out in paragraph 5 document A/CN.9/812, and as modified by paragraph 103 above.104. 经过讨论,委员会核准了A/CN.9/812号文件第5段所载并经上文第103段修改的第11条的实质内容。
Title of the transparency convention透明度公约的标题 105. 委员会商定,透明度公约的标题应为“《联合国投资人与国家间基于条约仲裁透明度公约》”。
The Commission agreed that the title of the transparency convention should be the “United Nations Convention on Transparency in Treaty-based Investor-State Arbitration”.鉴于毛里求斯政府提议主办透明度公约签字仪式(见上文第84-87段),委员会进一步商定,公约还应称为“《毛里求斯透明度公约》”。 3. 委员会的决定和提交大会的建议 106. 在2014年7月9日第988次会议上,委员会以协商一致方式通过了下述决定和提交大会的建议:
Further to the offer of the Government of Mauritius to host a signing ceremony for the transparency convention (see paras. 84-87 above), the Commission further agreed that the convention should also be known as the “Mauritius Convention on Transparency” in English and “La Convention de l’Ile Maurice sur la Transparence” in French.联合国国际贸易法委员会,
3. Decision of the Commission and recommendation to the General Assembly“忆及大会2013年12月16日第68/109号决议,其中建议使用《投资人与国家间基于条约仲裁透明度规则》和《仲裁规则》(2010年修订本,新增2013年通过的第1条第4款),其中还进一步建议,除非相关条约有任何规定可能要求更高的透明度,否则《透明度规则》应通过适当的机制适用于根据《透明度规则》生效日之前缔结的保护投资人或投资的条约启动的投资人与国家间的仲裁,但适用时应以符合这些条约为限,
At its 988th meeting, on 9 July 2014, the Commission adopted by consensus the following decision and recommendation to the General Assembly:8
“The United Nations Commission on International Trade Law,《大会正式记录,第六十八届会议,补编第17号》(A/68/17),第三章及附件一。
“Recalling General Assembly resolution 68/109 of 16 December 2013 recommending the use of the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration and Arbitration Rules (as revised in 2010, with new article 1, paragraph 4, as adopted in 2013), and further recommending that subject to any provision in relevant treaties that may require a higher degree of transparency than that provided in the Rules on Transparency, the Rules be applied through appropriate mechanisms to investor-State arbitration initiated pursuant to treaties providing for the protection of investors or investments concluded before the date of coming into effect of the Rules, to the extent that such application is consistent with those treaties,9
Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), chap. III and annex I. Ibid.同上,第三章及附件二。
chap. III and annex II.“又忆及贸易法委员会在2013年第四十六届会议上委托第二工作组(仲裁和调解)拟订一项公约,为那些希望把《透明度规则》适用于其现有条约的国家提供一种有利于这样做的高效机制,但同时不对其他国家将利用公约提供的机制产生任何期望,
“Further recalling that, at its forty-sixth session in 2013, it entrusted Working Group II (Arbitration and Conciliation) with the preparation of a convention to give those States that wished to make the Rules on Transparency in Treaty-based Investor-State Arbitration applicable to their existing treaties an efficient mechanism to do so, without creating any expectation that other States would use the mechanism offered by the convention,10
Ibid.同上,第127段。
para.“注意到工作组于2013年和2014年为拟订投资人与国家间基于条约仲裁透明度公约草案专门举行了两届会议,
127. “Noting that the Working Group devoted two sessions, in 2013 and 2014, to the preparation of the draft convention on transparency in treaty-based investor-State arbitration,11
For the reports of those sessions of the Working Group, see A/CN.9/794 and A/CN.9/799.工作组这两届会议的报告见A/CN.9/794和A/CN.9/799。 “还注意到委员会就拟订公约草案进行了适当的审议,公约草案受益于与各国政府以及有关政府间组织和国际非政府组织的协商,
“Further noting that the preparation of the draft convention was the subject of due deliberation in the Commission and that the draft convention benefited from consultations with Governments and interested intergovernmental and international non-governmental organizations,“在委员会2014年第四十七届会议上审议了公约草案,
“Having considered the draft convention at its forty-seventh session, in 2014,“提请注意公约草案已在委员会第四十七届会议之前分发给所有作为成员和观察员应邀出席委员会和工作组届会的政府,征求意见,所收到的意见已提交委员会第四十七届会议,
“Drawing attention to the fact that the text of the draft convention was circulated for comment before the forty-seventh session of the Commission to all Governments invited to attend sessions of the Commission and the Working Group as members and observers and that the comments received were before the Commission at its forty-seventh session,12
A/CN.9/813 and its addendum.A/CN.9/813及附录。
“Considering that the draft convention has received sufficient consideration and has reached the level of maturity for it to be generally acceptable to States,“认为公约草案已得到充分审议,并已达到可为各国广泛接受的成熟度:
“1. Submits to the General Assembly the draft convention on transparency in treaty-based investor-State arbitration, as it appears in annex I to the present report;“1. 向大会提交本报告附件一所载投资人与国家间基于条约仲裁透明度公约草案;
“2. Recommends that the General Assembly, taking into account the extensive consideration given to the draft convention by the Commission and its Working Group II (Arbitration and Conciliation), consider the draft convention with a view to: (a) adopting, at its sixty-ninth session, on the basis of the draft convention approved by the Commission, a United Nations Convention on Transparency in Treaty-Based Investor-State Arbitration; (b) authorizing a signing ceremony to be held on 17 March 2015 in Port Louis, Mauritius, upon which the Convention would be open for signature; and (c) recommending that the Convention be known as the “Mauritius Convention on Transparency” in English and “La Convention de l’Ile Maurice sur la Transparence” in French;“2. 建议大会在考虑到委员会及其第二工作组(仲裁和调解)已对公约草案进行广泛审议的情况下对公约草案进行审议,以期:(a)根据委员会核准的公约草案,在大会第六十九届会议上通过《投资人与国家间基于条约仲裁透明度公约》;(b)授权于2015年3月17日在毛里求斯路易港举行签字仪式,届时《公约》将开放供签署;(c)建议将《公约》称为“《毛里求斯透明度公约》”;
“3. Requests the Secretary-General to publish the Convention, upon adoption, including electronically and in the six official languages of the United Nations, and to disseminate it broadly to Governments and other interested bodies.”“3. 请秘书长在《公约》获得通过时发布《公约》,包括以电子方式、用联合国的六种正式语文发布,并向各国政府及其他有关机构广泛传播。
B. Establishment and functioning of the transparency repository
For their implementation, the Rules on Transparency require the establishment of a repository to publish information under the Rules (article 8).B. 透明度存储处的设立和运作情况
The Commission 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.107. 为实施《透明度规则》,《规则》要求设立透明度存储处,根据《规则》公布信息(第8条)。
It was said that the United Nations, as a neutral and universal body, and its secretariat, as an independent organ under the Charter of the United Nations, should be expected to undertake the core functions of a repository under the Rules on Transparency, as a public administration directly responsible for the servicing and proper operation of its own legal standards.委员会回顾其2013年第四十六届会议对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。
The Commission requested the Secretariat to report to the Commission at its next session on the status of the establishment and functioning of the transparency repository.会上指出,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》下一个独立机关,因此,理当履行《透明度规则》下存储处的核心职能,存储处是一个公共管理机构,直接负责自身法律标准的维护和适当运作。 委员会请秘书处向委员会下届会议报告透明度存储处的设立和运作情况。
The General Assembly, in paragraph 3 of its resolution 68/106, invited the Secretary-General to consider performing, in accordance with article 8 of the Rules on Transparency, the role of the transparency repository through the secretariat of the Commission, and requested the Secretary-General to report to the General Assembly and the Commission in this regard.大会在第68/106号决议第3段请秘书长考虑根据《透明度规则》第8条的规定通过委员会秘书处履行透明度存储处的职责,并请秘书长就此大会和委员会提交报告。 13
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80段。 14
80. Ibid.同上,第79段。
para.15
79. Ibid.同上,第98段。
para.108. 因此,秘书处报告了为满足委员会就拟由贸易法委员会 秘书处履行的存储处职责提出的要求而采取的步骤。
98. Accordingly, the Secretariat reported on steps taken for meeting the demands of the Commission in respect of the repository function to be performed by the UNCITRAL secretariat.在升级贸易法委员会网站以便利法规判例法数据库运作的范围内(见下文第175段),秘书处设立了一个专用网页,网址是:www.uncitral.org/transparency-registry。
In the context of an upgrade of the UNCITRAL website to facilitate the functioning of the CLOUT database (see para.与提高投资人与国家间仲裁透明度的目的相一致,透明度存储处将公布以下两种情形下的信息和文件:《透明度规则》(无论是否经由条约缔约方修正)根据第1条予以适用的情形;或者,投资条约缔约方或争议当事方指定对投资人与国家间基于条约仲裁公布信息和文件事宜适用《透明度规则》的情形。
175 below), a dedicated web page has been set up by the Secretariat and is accessible at: www.uncitral.org/transparency-registry.委员会注意到尚未刊载任何信息或文件,欢迎加拿大政府提议在存储处网页公布根据《北美自由贸易协定》裁决的加拿大案件的信息。
Consistent with the aim to enhance transparency in treaty-based investor-State arbitration, the Transparency Registry would publish information and documents where the Rules on Transparency (whether or not amended by the Parties to the treaty) applied pursuant to article 1 of the Rules; or where the Transparency Registry was appointed for the publication of information and documents in treaty-based investor-State arbitration, either by Parties to an investment treaty or by the parties to a dispute.会上指出,此种公布具有教育意义,将以示例说明登记处在投资人与国家间基于条约仲裁透明度的全球参照基准方面发挥的作用。
Noting that no information or documents had yet been posted, the Commission welcomed an indication that the Government of Canada had proposed to publish on the Registry web page information in respect of Canadian cases rendered under the North American Free Trade Agreement (NAFTA).109. 委员会表示赞赏透明度存储处网站的建立和秘书处就此开展的工作。
It was stated that such publication would play an educational role and illustrate the role to be played by the registry as a global reference on transparency in investor-State treaty-based arbitration.委员会获悉,按照委员会第四十六届会议的授权,秘书处已向大会争取必要资金,以便使贸易法委员会秘书处能够履行透明度存储处的职责。
The Commission expressed its appreciation for the establishment of the transparency registry website and for the work of the Secretariat in relation thereto.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赋予贸易法委员会秘书处增加的任务授权,按照这一要求,正在努力作为暂时由自愿捐款供资的试点项目设立存储处。
The Commission was informed that, consistent with the mandate received from the Commission at its forty-sixth session, the Secretariat had sought from the General Assembly the funding necessary to enable the UNCITRAL secretariat to undertake the role of transparency repository.委员会赞赏欧洲联盟承诺提供资金,使秘书处能够征聘必要的项目人员。
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 Registry as a pilot project temporarily funded by voluntary contributions.委员会鼓励秘书处继续努力,通过预算外资源筹集必要资金。
The Commission expressed its appreciation to the European Union for its commitment to provide funding that would allow the Secretariat to recruit the necessary project staff.对此指出,虽然可以设想存储处在开始的试验期利用预算外资金,但其长期运作将取决于能否获得额外的经常预算资源。
The Commission encouraged the Secretariat to pursue its efforts to raise the necessary funding through extrabudgetary resources.如果在试验期结束时仍得不到此类额外资源,必须设想替代解决方案,例如,在秘书处内调拨资源,或者如委员会第四十六届会议所设想的一种可能的临时解决办法,委托联合国以外的实体履行存储处职责。
In response, it was pointed out that, while extrabudgetary funding of the Registry could be envisaged for an initial trial period, its long-term operation would depend on the availability of additional regular budget resources. Should such additional resources remain unavailable at the end of the trial period, alternative solutions would have to be envisaged, such as redeploying resources within the Secretariat, or entrusting entities outside the United Nations with the performance of the repository function, as envisaged by the Commission at its forty-sixth session as a possible temporary solution. Ibid. para.16
82. Ibid.同上,第82段。
paras. 97-98.17 同上,第97-98段。
After discussion, the Commission recalled its own mandate to “further the progressive harmonization and unification of the law of international trade by: [...] promoting wider participation in existing international conventions and wider acceptance of existing model and uniform laws; [...] preparing or promoting the adoption of new international conventions, model laws and uniform laws and promoting the codification and wider acceptance of international trade terms, provisions, customs and practices, in collaboration, where appropriate, with the organizations operating in this field; [...] promoting ways and means of ensuring a uniform interpretation and application of international conventions and uniform laws in the field of the law of international trade; [...] and taking any other action it may deem useful to fulfil its functions”.110. 经过讨论,委员会回顾自身的任务授权是“以下列方法,促进国际贸易法之逐渐协调与统一:[......]促使更多国家参加现有国际公约,接受现有示范与划一法律;[......]斟酌情形与从事此方面工作之组织合作,拟订或提倡采用新国际公约、示范法律与划一法律,且提倡国际贸易名词、规定、习惯与惯例之编纂并促其广获采纳;[......]促进确保国际贸易法方面国际公约及划一法律之解释与适用趋于一致之方法;[......]采取其认为有裨职能执行之任何其他行动”。
On that basis, it reiterated its mandate to its secretariat to establish and operate the Transparency Registry, initially as a pilot project, and, to that end, to seek any necessary funding.在此基础上,委员会重申其授权秘书处设立和运作透明度登记处,最初作为一个试点项目,并为此争取任何必要的资金。
General Assembly resolution 2205 (XXI) of 17 December 1966.18 大会1966年12月17日第2205 (XXI)号决议。 C. 编拟《纽约公约》指南
C. Preparation of a guide on the New York Convention111. 委员会2008年第四十一届会议同意应当开展工作,消除或限制各国在实施、解释和适用1958年于纽约订立的《承认及执行外国仲裁裁决公约》(《纽约公约》)方面法律不一致所造成的影响。
At its forty-first session, in 2008, the Commission agreed that work should be undertaken to eliminate or limit the effect of legal disharmony regarding the implementation of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, done at New York on 10 June 1958, (the New York Convention) by States, its interpretation and its application.委员会该届会议普遍认为,该项工作的成果应当是拟订一部《纽约公约》指南,以期促进《公约》的统一解释和适用。
The Commission was generally of the view at that session that the outcome of the work should consist in the development of a guide on the New York Convention, with a view to promoting a uniform interpretation and application of the Convention.会议认为,这样一部指南可有助于处理因《公约》执行不完善或部分执行而导致的法律不确定性问题,并可限制各国做法偏离《公约》精神的风险。
It was considered that such a guide could assist with problems of legal uncertainty resulting from the imperfect or partial implementation of the Convention and could limit the risk that practices of States diverged from the spirit of the Convention.在该届会议上,委员会请秘书处研究拟订这样的指南是否可行。
At that session, the Commission requested the Secretariat to study the feasibility of preparing such a guide.委员会还在该届会议上商定,若资源允许,秘书处在技术援助方案范围内开展的活动可以包括传播关于《纽约公约》司法解释的信息,这项工作将对《公约》的其他支助性活动起到有益的补充作用。
Also at that session, the Commission agreed that, resources permitting, the activities of the Secretariat in the context of its technical assistance programme could include dissemination of information on the judicial interpretation of the New York Convention, which would usefully complement other activities in support of the Convention.19
United Nations, Treaty Series, vol. 330, No.联合国,《条约汇编》,第330卷,第4739号。
4739. Official Records of the General Assembly, Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), paras. 355 and 360.20
The Commission recalled that it had been informed, at its forty-fourth and forty-fifth sessions, in 2011 and 2012, that the Secretariat was carrying out a project on the preparation of a guide on the New York Convention, in close cooperation with two experts, E. Gaillard (Sciences Po Paris, École de Droit) and G.《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355和360段。
Bermann (Columbia University School of Law), who had established research teams to work on that project.112. 委员会在其2011年和2012年第四十四届会议和第四十五届会议上获悉,秘书处正在与E.
The Commission had been informed that Mr. Gaillard and Mr. Bermann, in conjunction with their respective research teams and with the support of the Secretariat, had established a website (www.newyorkconvention1958.org) to make the information gathered in preparation of the guide on the New York Convention publicly available.Gaillard(巴黎政治大学法学院)和G.
The website was aimed at promoting the uniform and effective application of the Convention by making available details on its judicial interpretation by States parties.Bermann(哥伦比亚大学法学院)两名专家密切合作,开展与编拟关于《纽约公约》的指南有关的项目,这两人成立了研究小组,就该项目开展工作。 委员会获悉,Gaillard先生和Bermann先生与各自的研究小组在秘书处的协助下建立了一个网站(www.newyorkconvention1958.org),用于公布在编写《纽约公约》指南的过程中收集的资料。
The Commission had also been informed that the UNCITRAL secretariat planned to maintain close connection between the cases in the system for collecting and disseminating case law relating to UNCITRAL texts (CLOUT) (see paras. 170-176 below) and the cases available on the website dedicated to the preparation of the guide on the New York Convention.该网站的目的是通过刊载各缔约国关于《公约》的司法解释的详细资料,促进《公约》的统一和有效适用。
At its forty-fifth session, in 2012, the Commission expressed its appreciation for the establishment of the website on the New York Convention and the work done by the Secretariat, as well as by the experts and their research teams, and requested the Secretariat to pursue efforts regarding the preparation of the guide on the New York Convention.委员会还获悉,贸易法委员会秘书处计划在贸易法委员会法规相关判例法收集和传播系统(法规判例法系统)中的判例(见下文第170-176段)与编拟《纽约公约》指南专用网站上提供的判例之间保持密切关联。
Ibid. Sixty-sixth Session, Supplement No. 17 (A/66/17), para.委员会2012年第四十五届会议对《纽约公约》网站的建立和秘书处以及两位专家及其研究小组开展的工作表示赞赏,并请秘书处继续努力编拟《纽约公约》指南。 21
252; and ibid. Sixty-seventh Session, Supplement No. 17 (A/67/17), para.同上,《第六十六届会议,补编第17号》(A/66/17),第252段;以及同上,《第六十七届会议,补编第17号》(A/67/17),第135段。 22
135. Ibid. Sixty-seventh Session, Supplement No. 17 (A/67/17), para.同上,《第六十七届会议,补编第17号》(A/67/17),第136段。
136. By paragraph 6 of its resolution 66/94, the General Assembly noted with appreciation the decision of the Commission to request the Secretariat to pursue its efforts towards the preparation of a guide on the Convention.113. 大会第66/94号决议第6段赞赏地注意到委员会决定请秘书处继续努力编写《公约》指南。
By paragraph 5 of its resolution 68/106, the General Assembly noted “with appreciation the projects of the Commission aimed at promoting the uniform and effective application of the Convention [...], including the preparation of a guide on the Convention, in close cooperation with international experts, to be submitted to the Commission at a future session for its consideration.”大会第68/106号决议第5段“赞赏地注意到委员会旨在倡导统一有效适用《纽约公约》的项目[......],包括与国际专家密切合作,编拟关于该《公约》的指南,以提交委员会今后一届会议审议。
See also General Assembly resolution 67/89, paragraph 5, by which the General Assembly noted “with appreciation the projects of the Commission aimed at promoting the uniform and effective application of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, done at New York on 10 June 1958, including the preparation of a guide on the Convention.”
At its forty-sixth session, the Commission had before it an excerpt of the guide on the New York Convention for its consideration (A/CN.9/786).23
Concerns were expressed at that session that a guide would indicate preference for some views over others, and would therefore not reflect an international consensus on the interpretation of the New York Convention.另见大会第67/89号决议第5段,大会在其中“赞赏地注意到委员会旨在倡导统一有效适用1958年6月10日在纽约订立的《承认及执行外国仲裁裁决公约》的项目,包括编拟该《公约》指南的工作。
The question of the form in which the guide might be published was therefore raised.
In response, it was pointed out that the drafting approach adopted in the preparation of the guide was similar to that of other UNCITRAL guides or digests.114. 委员会第四十六届会议收到了《纽约公约》指南的节选供其审议(A/CN.9/786)。
The Commission requested the Secretariat to submit the guide to the Commission at its forty-seventh session for further consideration of the status of the guide and how it would be published.有代表团在该届会议上关切地指出,一部指南将表明对不同观点厚此薄彼,因而反映不出有关《纽约公约》解释的国际共识。
Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), paras. 138-140.因此提出了公布指南可能采取的形式的问题。
Ibid.对此指出,编拟指南采用的起草办法与贸易法委员会其他指南或摘要集的起草办法类似。
para.委员会请秘书处向委员会第四十七届会议提交该指南,以便进一步审议指南的状况及其公布方式。
140. Pursuant to that request, the Commission at its current session had additional excerpts of the Guide (A/CN.9/814 and its addenda), and considered: (a) the inclusion of a disclaimer in the Guide to address the concerns expressed at the forty-sixth session (see para.24
114 above); and (b) the title of the Guide.《大会正式记录,第六十八届会议,补编第17号》(A/68/17),第138-140段。
After discussion, the Commission agreed to include a disclaimer in the Guide as follows: “The Guide is a product of the work of the Secretariat based on expert input, and was not substantively discussed by the United Nations Commission on International Trade Law (UNCITRAL).25
Accordingly, the Guide does not purport to reflect the views or opinions of UNCITRAL member States and does not constitute an official interpretation of the New York Convention.”同上,第140段。
The Commission further agreed that the guide should be entitled “UNCITRAL Secretariat Guide on the New York Convention” and requested the Secretariat to publish the guide, including electronically, in the six official languages of the United Nations.115. 根据该请求,委员会本届会议收到了指南的更多节选(A/CN.9/814及其增编),并审议了(a)在指南中纳入一则免责声明,以处理第四十六届会议上表达的关切(见上文第114段);(b)指南的标题。
D. International commercial arbitration 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-first Moot, the oral arguments phase of which had taken place in Vienna from 11 to 17 April 2014. As in previous years, the Moot had been co-sponsored by the Commission. Legal issues addressed by the teams of students participating in the Twenty-first 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 291 teams from law schools in 64 countries participated, with the best team in oral arguments being from the Deakin University, Australia. The oral arguments phase of the Twenty-second Willem C. Vis International Commercial Arbitration Moot will be held in Vienna from 27 March to 2 April 2015. United Nations, Treaty Series, vol. 1489, No. 25567. It was also noted that the Eleventh Willem C. Vis (East) International Commercial Arbitration Moot had been organized by the Chartered Institute of Arbitrators, East Asia Branch, and co-sponsored by the Commission. The final phase had been organized in Hong Kong, China, from 31 March to 6 April 2014. A total of 99 teams from 28 jurisdictions had taken part in the Eleventh (East) Moot. The winning team in the oral arguments was from the Loyola University Chicago School of Law, United States. The Twelfth (East) Moot would be held in Hong Kong, China, from 15 to 22 March 2015. 2. Madrid Commercial Arbitration Moot 2014 It was noted that Carlos III University of Madrid had organized the Sixth International Commercial Arbitration Competition in Madrid from 21 to 25 April 2014. The Madrid Moot had also been co-sponsored by the Commission. The legal issues involved in the competition related to an international distribution contract and sale of goods in which the United Nations Sales Convention was applicable, as well as the UNCITRAL Model Law on International Commercial Arbitration, the New York Convention and the Rules of Arbitration of the Court of Arbitration of Madrid. A total of 21 teams from law schools or masters’ programmes in eight countries had participated in the Madrid Moot in Spanish. The best team in oral arguments was Pontificia Universidad Católica del Perú. The Seventh Madrid Moot would be held from 20-24 April 2015. For the text of the UNCITRAL Model Law on International Commercial Arbitration (1985), see Official Records of the General Assembly, Fortieth Session, Supplement No. 17 (A/40/17), annex I. For the text of the UNCITRAL Model Law on International Commercial Arbitration (1985), with amendments as adopted in 2006, see Official Records of the General Assembly, Sixty-first Session, Supplement No. 17 (A/61/17), annex I (revised articles only), and United Nations publication, Sales No. E.08.V.4. Available from www.camaramadrid.es/doc/linkext/rules-of-arbitration.pdf. E. Planned and possible future work In addition to the revision of the UNCITRAL Notes on Organizing Arbitral Proceedings (1996) (the “Notes”), which the Commission had mandated its Working Group II (Arbitration and Conciliation) to undertake (see para. 122 below), the Commission considered two other areas of possible future work for the Working Group (see paras. 123-130 below). UNCITRAL Yearbook, vol. XXVII: 1996, part three, annex II.116. 经过讨论,委员会商定在指南中纳入一则免责声明,具体如下:“《指南》是秘书处基于专家投入开展工作的成果,联合国国际贸易法委员会(贸易法委员会)未对其进行深入讨论。
The Commission recalled that, at its forty-sixth session, in 2013, it considered that the Notes required updating as a matter of priority.因此,《指南》并不是要反映贸易法委员会成员国的观点或意见,也不构成对《纽约公约》的正式解释。
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.
Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), para.117. 委员会还商定,指南的标题应当是“贸易法委员会秘书处关于《纽约公约》的指南”,并请秘书处公布该指南,包括以电子方式、用联合国的六种正式语文公布。
130. At the current session, the Commission had before it a proposal for future work in relation to enforcement of international settlement agreements (A/CN.9/822).D. 国际商事仲裁模拟辩论赛
In support of that proposal, it was said that one obstacle to greater use of conciliation was that settlement agreements reached through conciliation might be more difficult to enforce than arbitral awards.1. 维斯国际商事仲裁模拟辩论赛
In general, it was said that settlement agreements reached through conciliation are already enforceable as contracts between the parties but that enforcement under contract law cross-border can be burdensome and time-consuming.118. 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二十一届模拟辩论赛,口头辩论阶段于2014年4月11日至17日在维也纳举办。
Finally, it was said that the lack of easy enforceability of such contracts was a disincentive to commercial parties to mediate.同往年一样,此次辩论赛由委员会协办。
Consequently, it was proposed that Working Group II develop a multilateral convention on the enforceability of international commercial settlement agreements reached through conciliation, with the goal of encouraging conciliation in the same way that the New York Convention had facilitated the growth of arbitration.参加第二十一届模拟辩论赛各学生队讨论的法律议题以《联合国国际货物销售合同公约》(1980年,维也纳)(《联合国销售公约》)为基础。
Guide to Enactment and Use of the UNCITRAL Model Law on International Commercial Conciliation (2002), para.来自64个国家的法学院的总共291支赛队参加了辩论赛,口头辩论优胜队是澳大利亚迪肯大学。
89. UNCITRAL Yearbook, vol. XXXIII: 2002, part three, annex II.第二十二届维斯国际商事仲裁模拟辩论赛口头辩论阶段将于2015年3月27日至4月2日在维也纳举行。
Support was expressed for possible work in that area on many of the bases expressed above.26
Doubts were also expressed as to the feasibility of the project and questions were raised in relation to that possible topic of work, including: (a) whether the new regime of enforcement envisaged would be optional in nature; (b) whether the New York Convention was the appropriate model for work in relation to mediated settlement agreements; (c) whether formalizing enforcement of settlement agreements would in fact diminish the value of mediation as resulting in contractual agreements; (d) whether complex contracts arising out of mediation were suitable for enforcement under such a proposed treaty; (e) whether other means of converting mediated settlement agreements into binding awards obviated the need for such a treaty; and (f) what the legal implications for a regime akin to the New York Convention in the field of mediation might be.联合国,《条约汇编》,第1489号,第25567号。
It was furthermore observed that UNICTRAL had previously considered that issue when preparing the UNCITRAL Model Law on International Commercial Conciliation (2002), and particular reference was made to article 14 of the Model Law and paragraphs 90 and 91 of the Guide to Enactment and Use of that text.119. 还注意到仲裁员特许学会东亚处组办了第十一届维斯(东方)国际商事仲裁模拟辩论赛,此次辩论赛由委员会协办。
UNCITRAL Yearbook, vol. XXXIII: 2002, part three, annex I. Ibid. annex II.最后阶段于2014年3月31日至4月6日在中国香港举行。
The Commission considered whether to mandate its Working Group II to undertake work in the field of concurrent proceedings in investment treaty arbitrations, recalling that it had identified, at its forty-sixth session, in 2013, that the subject of concurrent proceedings was increasingly important particularly in the field of investment arbitration and might warrant further consideration.来自28个法域的总共99支赛队参加了第十一届(东方)模拟辩论赛。
The Commission was informed that the International Arbitration Institute (IAI, Paris), the Geneva Centre for International Dispute Settlement (CIDS) and the Secretariat jointly organized a conference on that topic on 22 November 2013.口头辩论优胜队是美利坚合众国芝加哥洛约拉大学法学院。
It was furthermore mentioned that other organizations, including the OECD, had carried out research in relation to certain aspects of that topic.第十二届(东方)模拟辩论赛将于2015年3月15日至22日在中国香港举行。
Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), paras. 131 and 132.2. 2014年马德里商事仲裁模拟辩论赛
It was said that parallel proceedings were posing serious issues in the field of treaty-based investor-State arbitration, and that future work in that area could be beneficial.120. 注意到马德里卡洛斯三世大学于2014年4月21日至25日在马德里举办了第六届国际商事仲裁辩论赛。
In response, it was suggested that UNCITRAL ought not to limit its work to parallel proceedings arising in the context of investor-State arbitration, but rather, in light of the implication such work might have on other types of arbitration practice, to extend that work to commercial arbitration as well.马德里模拟辩论赛也由委员会协办。
It was also said, however, that parallel proceedings in investment arbitrations, and those in commercial arbitrations, raised different issues and might need to be considered separately.辩论赛涉及的法律问题与《联合国销售公约》所适用的国际经销合同和货物销售以及《贸易法委员会国际商事仲裁示范法》、《纽约公约》和《马德里仲裁法院仲裁规则》有关。
After discussion, the Commission agreed that the Working Group should consider at its sixty-first and, if necessary, sixty-second sessions, the revision of the Notes.共有八个国家的法学院或硕士班的21支赛队参加了西班牙语马德里模拟辩论赛。
In so doing the Working Group should focus on matters of substance, leaving drafting to the Secretariat.口头辩论优胜队是秘鲁天主教大学。
The Commission further agreed that the Working Group should also consider at its sixty-second session the issue of enforcement of international settlement agreements resulting from conciliation proceedings and should report to the Commission at its forty-eighth session, in 2015, on the feasibility and possible form of work in that area.第七届马德里模拟辩论赛将于2015年4月20日至24日举行。
The Commission invited delegations to provide information to the Secretariat in respect of that subject matter.27
In relation to the issue of concurrent proceedings, the Commission agreed that the Secretariat should explore the matter further, in close cooperation with experts from other organizations working actively in that area.《贸易法委员会国际商事仲裁示范法》(1985年)的文本,见《大会正式记录,第四十届会议,补编第17号》(A/40/17),附件一。 《贸易法委员会国际商事仲裁示范法》(1985年)的文本,以及2006年通过的修正案,见《大会正式记录,第六十一届会议,补编第17号》(A/61/17),附件一(仅含修订的条款),以及联合国出版物,出售品编号:E.08.V.4。
That work should focus on treaty-based investor-State arbitration, without disregarding the issue in the context of international commercial arbitration.28
The Commission requested the Secretariat to report to the Commission at a future session, outlining the issues at stake and identifying work that UNCITRAL might usefully undertake in the area.查阅网址:www.camaramadrid.es/doc/linkext/rules-of-arbitration.pdf。
IV. Micro-, small- and medium-sized enterprises: progress report of Working Group IE. 计划中的工作和今后可能开展的工作
The Commission recalled its decision at its forty-sixth session, in 2013, to entrust Working Group I with work aimed at reducing the legal obstacles encountered by micro-, small- and medium-sized enterprises (MSMEs) throughout their life cycle, in particular, in developing economies.121. 对《贸易法委员会关于安排仲裁程序的说明》(1996年)(《说明》)的修订是委员会责成第二工作组(仲裁和调解)进行的工作(见下文第122段),除这项修订工作之外,委员会还审议了该工作组今后可能开展工作的两个其他领域(见下文第123-130段)。
It was also recalled that at that session, the Commission agreed that such work should commence with a focus on the legal questions surrounding the simplification of incorporation.29
The Working Group commenced its work on that topic at its twenty-second session (New York, 10-14 February 2014) and the Commission had before it the report of the Working Group on its work at that session (A/CN.9/800).《贸易法委员会年鉴》,第二十七卷:1996年,第三部分,附件二。
The Commission commended the Secretariat for the working papers and the report prepared for that session.122. 委员会回顾,在2013年第四十六届会议上,委员会认为,需要作为优先事项更新《说明》。 委员会一致认为,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。 30 《大会正式记录,第六十八届会议,补编第17号》(A/68/17),130段。 123. 本届会议上,委员会收到了一项与执行国际和解协议有关的今后工作建议(A/CN.9/822)。 这项建议的支持者指出,扩大调解的使用范围的一个障碍是,通过调解达成的和解协议执行起来比仲裁裁决可能更为困难。 会上指出,一般而言,通过调解达成的和解协议已经如同当事方之间的合同一样可以执行,但在合同法框架下跨境执行可能比较麻烦并且费时间。 最后,会上指出,此种合同执行起来难度大,不利于商业当事人诉诸调解。 因此,会上提议,第二工作组拟订一项关于通过调解达成的国际商业和解协议可执行性的多边公约,目的是以《纽约公约》促进仲裁发展的同样方式鼓励调解。 31 《贸易法委员会国际商事调解示范法颁布和使用指南》(2002年),第89段。 《贸易法委员会年鉴》,第三十三卷:2002年,第三部分,附件二。 124. 对以上述多项理由为基础在该领域开展可能的工作表示了支持。 另外,对该项目的可行性表示了疑问,并就这项可能的工作专题提出了一些问题,其中包括:(a)所设想的新的执行制度是不是任择性的;(b)《纽约公约》是否适合作为与调解达成的和解协议有关的工作模式;(c)以正规方式处理和解协议的执行问题,是否事实上会削弱经由调解产生合同协议的价值;(d)调解所产生的复杂合同是否适合在一项此种拟议条约的框架下执行;(e)如果能够以其他方式将调解达成的和解协议转换成具有约束力的裁决,是否就不需要拟订这样的条约;(f)在调解领域中建立一种类似于《纽约公约》的制度会产生什么法律影响。 125. 会上进一步指出,在拟订《贸易法委员会国际商事调解示范法》(2002年)时,贸易法委员会曾经审议过这个问题,为此特别提到《示范法》中的第14条以及该示范法《颁布和使用指南》中的第90和91段。 32 《贸易法委员会年鉴》,第三十三卷:2002年,第三部分,附件一。 33
Ibid.同上,附件二。
paras. 321-322.126. 委员会审议了是否责成第二工作组在投资条约仲裁并行程序领域中开展工作的问题,同时回顾,委员会曾在其2013年第四十六届会议上确定并行程序问题越来越重要,特别是在投资仲裁领域中,因此可能需要进一步加以审议。
Ibid.委员会获悉,国际仲裁学会(仲裁学会,巴黎)、日内瓦国际争议解决中心和秘书处于2013年11月22日举行了关于这一专题的会议。
para.会上进一步提到,包括经合组织在内的其他组织已经在进行与该专题某些方面有关的研究。
321. The Commission noted that the Working Group, at its twenty-second session, had engaged in preliminary discussions in respect of a number of broad issues relating to the development of a legal text on simplified incorporation.34
That discussion was based upon the issues raised in working paper A/CN.9/WG.I/WP.82, including: limited liability, legal personality, the protection of third parties and creditors dealing with the enterprise, registration of the business, sole ownership, minimum capital requirements, transparency in respect of beneficial ownership, internal governance issues, and freedom of contract, as well as the possible forms that the proposed legal text could take.《大会正式记录,第六十八届会议,补编第17号》(A/68/17),第131和132段。
The Commission also noted that the Working Group had requested the Secretariat to prepare a document setting out best practices in respect of business registration, as well as a template on simplified incorporation and registration containing contextual elements and experiences linked to the mandate of the Working Group, to provide the basis for drafting a possible model law, without discarding the possibility of the Working Group drafting different legal instruments, particularly, but not exclusively, as they applied to MSMEs in developing countries.127. 会上指出,平行程序已经在投资人与国家间基于条约仲裁领域中造成严重问题,今后开展这一领域的工作可能是有益的。 对此,会上指出,贸易法委员会不应将其工作限于投资人与国家间仲裁所涉及的平行程序,而是应当在考虑到此种工作可能对其他类型仲裁实践产生的影响的情况下,将此项工作扩大到商业仲裁领域。 不过又指出,投资仲裁中的平行程序和商业仲裁中的平行程序提出的问题是不同的,或许需要分别加以审议。 128. 经过讨论,委员会商定,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》的修订问题。 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。 129. 委员会进一步商定,工作组还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的形式向委员会2015年第四十八届会议报告。 委员会请各代表团就这一主题事项向秘书处提供信息。 130. 关于并行程序问题,委员会一致认为,秘书处应当同活跃于这一领域的其他组织的专家密切合作,进一步研究这一事项。 这项工作的侧重点应当是投资人与国家间基于条约的仲裁,但不应忽视国际商事仲裁方面的问题。 委员会请秘书处在今后一届会议上向委员会提出报告,概述要害问题,并指明贸易法委员会有可能在这一领域中开展的有益工作。 四. 中小微企业:第一工作组进度报告 131. 委员会回顾其2013年第四十六届会议决定委托第一工作组开展以特别是在发展中经济体减少中小微企业整个寿命周期面临的法律障碍为宗旨的工作。 还回顾委员会商定这项工作应当首先着重于围绕简化设立程序的法律问题。 工作组第二十二届会议(2014年2月10日至14日,纽约)着手就这项议题开展工作,委员会收到了工作组该届会议的工作报告(A/CN.9/800)。 委员会赞扬秘书处为该届会议编写的工作文件和报告。 35 同上,第321-322段。 36 同上,第321段。 132. 委员会注意到工作组第二十二届会议就拟订与简化设立程序法律案文有关的一系列广泛问题进行了初步讨论。 讨论以A/CN.9/WG.I/WP.82号工作文件提出的问题为基础,其中包括:有限责任、法律人格、保护与企业打交道的第三方和债权人、企业注册、独资企业、最低资本要求、实际所有权透明度、内部治理问题、合同自由以及拟议法律案文可能采取的形式。 委员会还注意到工作组请秘书处编写一份文件,列出企业注册方面的最佳做法,并编制一个简化设立和注册程序模板,其中有文字内容和与工作组任务授权有关的经验,以便为起草可能的示范法奠定基础,但不排除工作组起草不同法律文书的可能性,特别是适用于发展中国家中小微企业的法律文书,但不以此为限。 37
A/CN.9/800, para.A/CN.9/800,第65段。
65. It was observed that the fullest participation of States, particularly developing countries, in the Working Group was desirable in order to offer the widest possible range of experiences in the development of the legal standard.133. 会上指出,期望各国特别是发展中国家尽可能充分参与工作组的工作,以便为制定这种法律标准提供尽可能广泛的经验。
Access to credit was flagged as one important future issue for the Working Group, as well as alternative dispute resolution.会上提出,获得信贷是工作组今后一个重要议题,非诉讼争议解决也是如此。
It was said that some form of cooperation with other Working Groups would be needed.会上指出,将需要与其他工作组开展某种形式的合作。 134. 经过讨论,委员会重申了委员会第四十六届会议报告中所表述的工作组的任务授权。
After discussion, the Commission reaffirmed the mandate of the Working Group, as expressed in the report of the Commission’s forty-sixth session.38
Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), paras. 318 and 321.《大会正式记录,第六十八届会议,补编第17号》(A/68/17),第318和321段。
V. Online dispute resolution: progress report of Working Group III五. 网上争议解决:第三工作组进度报告
The Commission recalled its decision at its forty-third session, in 2010, to entrust Working Group III to undertake work in the field of online dispute resolution (ODR) relating to cross-border electronic transactions.135. 委员会回顾在其2010年第四十三届会议上决定委托第三工作组在与跨境电子交易有关的网上争议解决(网上解决)领域中开展工作。
At its current session, the Commission had before it reports of the Working Group on its twenty-eighth session (A/CN.9/795), held in Vienna from 18 to 22 November 2013, and twenty-ninth session (A/CN.9/801), held in New York from 24 to 28 March 2014.本届会议上委员会收到了2013年11月18日至22日在维也纳举行的第二十八届会议的报告(A/CN.9/795)和2014年3月24日至28日在纽约举行的第二十九届会议的报告(A/CN.9/801)。
Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), para.39
257. The Commission welcomed the progress that was made at the twenty-eighth and twenty-ninth sessions of the Working Group, and agreed that the Working Group had made substantial progress on the text of Track II of the procedural rules on cross-border electronic transactions (the “Rules”), the subject of the Working Group’s deliberations, including progress on many functional issues.《大会正式记录,第六十五届会议,补编第17号》(A/65/17),第257段。
It was further agreed that as there were conceptually many common elements between Track I and Track II of the Rules, many issues relating to Track I of the Rules had been addressed in those discussions as well.136. 委员会对工作组第二十八届和第二十九届会议取得的进展表示欢迎,一致认为工作组所审议的主题——跨境电子交易程序规则(《规则》)二轨道案文——取得了大量进展,其中包括在许多功能性问题上取得了进展。 委员会还一致认为,《规则》一轨道与二轨道之间可能存在许多共同要素,许多与《规则》一轨道有关的问题也已经在这些讨论中处理。
The Commission further agreed that the next session of the Working Group should address the text of Track I of the Rules, should also address the issues identified in paragraph 222 of the report of the forty-sixth session of the Commission, some of which were further addressed in document A/CN.9/WG.III/WP.125, a proposal by the Governments of Colombia, Honduras, Kenya and the United States, and should continue to achieve practical solutions to open questions.137. 委员会进一步商定,工作组下届会议应当处理《规则》一轨道的案文,并且还应处理委员会第四十六届会议报告第222段中所确定的问题,其中有些问题在A/CN.9/WG.III/WP.125号文件中进一步述及,该文件是哥伦比亚、洪都拉斯、肯尼亚和美国政府的一项建议,同时,工作组应继续找出未决问题的实际解决办法。 40
Ibid. Sixty-eighth Session, Supplement No. 17 (A/68/17).同上,《第六十八届会议,补编第17号》(A/68/17)。
The Commission recalled that at its forty-fifth session, in 2012, it had decided that the Working Group should: (a) consider and report back at a future session of the Commission on how the draft rules would respond to the needs of developing countries and those facing post-conflict situations, in particular with regard to the need for an arbitration phase to be part of the process; (b) continue to include in its deliberations the effects of online dispute resolution on consumer protection in developing and developed countries and countries in post-conflict situations, including in cases where the consumer was the respondent party in an online dispute resolution process; and (c) continue to explore a range of means of ensuring that online dispute resolution outcomes were effectively implemented, including arbitration and possible alternatives to arbitration.138. 委员会回顾了2012年第四十五届会议作出的如下决定:(a)工作组应当审议规则草案如何响应发展中国家和面临冲突后局势国家的需要,尤其是对于将仲裁阶段作为程序的一部分的需要,并就此向委员会今后届会提出报告;(b)工作组应当继续将网上解决争议在发展中国家和发达国家以及冲突后局势下国家对消费者保护的影响问题列入其审议工作,包括消费者在网上解决争议程序中是被申请人的情形;(c)工作组应当继续探讨确保网上解决争议的结果得到有效执行的一系列方式,包括仲裁以及可能的仲裁替代办法。 41
Ibid. Sixty-seventh Session, Supplement No. 17 (A/67/17), para.同上,《第六十七届会议,补编第17号》(A/67/17),第79段。
79. The Commission further recalled that, at its forty-sixth session, in 2013, it had unanimously confirmed that decision, and reaffirmed the mandate of the Working Group in relation to low-value, high-volume transactions, encouraging the Working Group to continue to conduct its work in the most efficient manner possible.139. 委员会进一步回顾,在2013年第四十六届会议上,委员会一致确认了该决定,并重申工作组在低价值、数量大交易方面的任务授权,鼓励工作组以尽可能高效的方式继续开展其工作。 42
Ibid. Sixty-eighth Session, Supplement No. 17 (A/68/17), para.同上,《第六十八届会议,补编第17号》(A/68/17),第222段。
222. After discussion, the Commission reaffirmed its understanding of the Working Group’s mandate, as expressed at the forty-fifth and forty-sixth sessions of the Commission.140. 经过讨论,委员会重申了其对委员会第四十五届和第四十六届会议所表述的工作组任务授权的理解。 43
Ibid. Sixty-seventh Session, Supplement No. 17 (A/67/17), paras. 71-79; and ibid. Sixty-eighth Session, Supplement No. 17 (A/68/17), paras. 218-222.同上,《第六十七届会议,补编第17号》(A/67/17),第71-79段;同上,《第六十八届会议,补编第17号》(A/68/17),第218-222段。
VI. Electronic commerce: progress report of Working Group IV六. 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.141. 委员会回顾其2011年第四十四届会议授权第四工作组(电子商务)在电子可转让记录领域开展工作。
At its current session, the Commission had before it reports of the Working Group on its forty-eighth session (A/CN.9/797), held in Vienna from 9 to 13 December 2013, and forty-ninth session ( A/CN.9/804), held in New York from 28 April to 2 May 2014.在本届会议上,委员会收到了工作组2013年12月9日至13日在维也纳举行的第四十八届会议(A/CN.9/797)和2014年4月28日至5月2日在纽约举行的四十九届会议的报告(A/CN.9/804)。
The Commission took note of the key discussions during the sessions, which were guided by the principles of functional equivalence and technological neutrality.委员会注意到这两届会议期间进行的重要讨论,这些讨论以功能等同原则和技术中性原则为指导。
The Commission further noted that the Working Group had dedicated one half-day at each session for discussing technical assistance and coordination activities in the field of electronic commerce, which also provided an opportunity for the Working Group to be informed about recent developments in States.142. 委员会还注意到工作组每届会议专门用半天时间讨论电子商务领域的技术援助和协调活动,这样做也为工作组了解各国的最新动态提供了机会。
In that context, the Commission was informed about the coordination activities undertaken by the Secretariat, including continued cooperation with the United Nations Centre for Trade Facilitation and Electronic Business (UN/CEFACT), United Nations Economic and Social Commission for Asia and the Pacific (UN/ESCAP), the Asia-Pacific Economic Cooperation (APEC), the European Commission and the World Customs Organization (WCO).在这方面,委员会获悉了秘书处开展的协调活动,包括继续与联合国贸易便利化和电子商务中心(电子商务中心)、联合国亚洲及太平洋经济社会委员会(亚太经社会)、亚洲–太平洋经济合作组织(亚太经合组织)、欧盟委员会和世界海关组织(海关组织)合作。
It was further noted that the chairperson of the forty-sixth session of the Commission had given a keynote speech at the conference “Facilitating Trade in the Digital Economy — Enhancing Interaction Between Business and Government” organized by ICC (Geneva, 8-9 April 2014), which highlighted the contribution of UNCITRAL texts to facilitating the use of electronic communications at the national and international levels.143. 还注意到委员会第四十六届会议主席在国际商会举办的会议“为数字经济中的贸易提供便利-加强商界与政府的互动”(2014年4月8日至9日,日内瓦)上作了主旨发言,强调了贸易法委员会法规对促进国家和国际一级使用电子通信所做的贡献。
In that context, support was expressed for the Commission and the Secretariat engaging closely with other organizations active in the field of electronic commerce.在这方面,对委员会和秘书处与活跃在电子商务领域的其他组织密切接触表示支持。
The Commission was informed that the Russian Federation and Congo had become States parties to the United Nations Convention on the Use of Electronic Communications in International Contracts (New York, 2005) (the Electronic Communications Convention), which now had five States parties.144. 委员会获悉,俄罗斯联邦和刚果已成为《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》)的缔约国,该公约现有5个缔约国。
The Commission urged other States to consider becoming parties to that Convention.委员会促请其他国家考虑成为该公约的缔约国。
General Assembly resolution 60/21, annex.44
With respect to possible future work, the Commission recalled that at its forty-sixth session, in 2013, it agreed that whether work regarding electronic transferable records might extend to identity management, use of mobile devices in electronic commerce and single window facilities would be further assessed at future sessions.大会第60/21号决议,附件。
Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), para.145. 关于今后可能开展的工作,委员会回顾在其2013年第四十六届会议上商定,将在今后届会上进一步评估是否可将有关电子可转让记录的工作延伸至身份管理、电子商务使用移动设备和单一窗口设施。
313. In that context, the Commission took note of a proposal by the Government of Canada with regard to legal issues on cloud computing (A/CN.9/823).45
It was explained that the proposal was intended to request the Secretariat to gather information relating to cloud computing and to prepare a document identifying potential risks from current practices in relation to conflict of laws, the lack of supporting legislative framework, and the possible disparities of domestic laws.《大会正式记录,第六十八届会议,补编第17号》(A/68/17),313段。
It was also suggested that best practices could be outlined, also making reference to work done by other organizations.146. 在这方面,委员会注意到加拿大政府关于云计算法律问题的提案(A/CN.9/823)。
It was stated that such work by the Secretariat could form a basis for the Commission’s consideration of cloud computing as a possible future topic for the Working Group.解释说该提案意在请秘书处收集关于云计算的信息,并编写一份文件,查明当前做法在法律冲突、缺乏支持性立法框架以及各国国内法可能相互不一致造成的潜在风险。
There was wide support for that proposal recognizing the implication of cloud computing, particularly for small- and medium-sized enterprises.还建议可以概要介绍一些最佳做法,在这方面也要参照其他组织已经开展的工作。
However, it was suggested that caution should be taken not to engage in issues such as data protection, privacy and intellectual property, which might not easily lend themselves to harmonization and might raise questions as to whether they fell within the mandate of the Commission.会上指出,秘书处开展这项工作可能为委员会将云计算作为工作组今后可能的议题进行审议奠定基础。
It was also stressed that work already undertaken by other international organizations, for example, OECD and APEC, in this area should be taken into consideration so as to avoid any overlap and duplication of work.147. 与会者认识到云计算的影响,特别是对中小企业的影响,普遍支持该提案。
It was also suggested that compilation of best practices might be premature at the current stage.不过,指出应当谨慎行事,不要介入数据保护、隐私和知识产权等问题,这些问题可能不容易协调统一,并可能引起它们是否属于委员会任务授权范围方面的问题。
Subject to those comments, it was generally agreed that the mandate given to the Secretariat should be broad enough to enable it to gather as much information as possible for the Commission to consider cloud computing as a possible topic at a future session.还强调应当考虑到其他国际组织如经合组织和亚太经合组织在这方面已经开展的工作,以避免工作的重叠和重复。
It was noted that the scope of any future work would, in any case, have to be determined by the Commission at a later stage.会上还提出,现阶段汇编最佳做法可能时机尚不成熟。
Another suggestion related to possible future work by the Working Group was that the Secretariat should continue to closely follow legislative developments in the field of identity management and authentication, particularly in respect of the recent adoption of the Regulation of the European Parliament and of the Council on Electronic Identification and Trust Services for Electronic Transactions in the Internal Market (eIDAS).在需考虑到这些评论意见的前提下,普遍同意赋予秘书处的任务授权应当尽可能宽泛,使其能够收集尽可能多的信息,以便委员会在今后一届会议上将云计算作为一个可能的议题。
It was suggested that workshops could be organized to gather information on that topic.会上指出,无论如何,今后任何工作的范围必须由委员会在以后阶段确定。
Noting that the current work of the Working Group would greatly assist in facilitating electronic commerce in international trade, the Commission expressed its appreciation to the Working Group for the progress made in preparing draft provisions on electronic transferable records and commended the Secretariat for its work.148. 另一项与工作组今后可能的工作有关的建议是,秘书处应继续密切关注身份管理和认证方面的立法动态,特别是最近通过《欧洲议会和欧洲理事会关于内部市场电子交易的电子身份识别和信托服务条例》的动态。
After discussion, the Commission reaffirmed the mandate of the Working Group to develop a legislative text on electronic transferable records and requested the Secretariat to continue reporting to the Commission on relevant developments in the field of electronic commerce.建议可举办讲习班收集关于该议题的信息。
The Commission requested the Secretariat to compile information on cloud computing, identity management, use of mobile devices in electronic commerce and single window facilities, including by organizing, co-organizing or participating in colloquia, workshops and other meetings within available resources, and to report at a future session of the Commission.149. 委员会注意到工作组目前的工作将大大有助于促进在国际贸易中推行电子商务,对工作组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。
VII. Insolvency law: progress report of Working Group V经过讨论,委员会重申了工作组编拟电子可转让记录法律文本的任务授权,并请秘书处继续向委员会报告电子商务领域的相关发展情况。
The Commission considered the reports of the Working Group on its forty-fourth session (A/CN.9/798), held in Vienna from 16 to 20 December 2013, and forty-fifth session (A/CN.9/803), held in New York from 21 to 25 April 2014, as well as the report of the colloquium (A/CN.9/815) held as part of the forty-fourth session in accordance with the decision of the Commission at its forty-sixth session to clarify how the Working Group would proceed with the enterprise group issues and other parts of its current mandate and to consider topics for possible future work, including insolvency issues specific to MSMEs.150. 委员会请秘书处在现有资源范围内汇编关于云计算、身份管理、电子商务使用移动设备以及单一窗口设施的信息,包括举办、合办或参加学术讨论会、讲习班和其他会议,并向委员会今后一届会议报告有关情况。
Ibid.七. 破产法:第五工作组进度报告
para. 325. Reference was made to paragraphs 16-23 of document A/CN.9/798, in which the Working Group set forth its conclusions with respect to how the work on enterprise group issues and other parts of the current mandate should proceed. The Commission noted that the Working Group had, at its forty-fifth session, commenced consideration of enterprise group insolvency on the basis of the issues outlined in paragraph 16 of document A/CN.9/798. The Commission also noted that an open-ended informal group had been established to consider the feasibility of developing a convention on international insolvency issues and to study the issues facing States with respect to adoption of the UNCITRAL Model Law on Cross-Border Insolvency (see A/CN.9/798, para. 19, and A/CN.9/803, para. 39 (a)). General Assembly resolution 52/158, annex. Reference was made to the topic of the obligations of directors of enterprise group companies in the period approaching insolvency, as discussed in paragraph 23 of document A/CN.9/798. It was said that that topic was being considered by an informal expert group prior to Working Group activity. Reference was also made to paragraphs 24-30 of document A/CN.9/798 in which the Working Group outlined its conclusions on topics for possible future work, as well as to paragraphs 12-14 of document A/CN.9/803, which referred to the insolvency of MSMEs as requested by the Commission (see para. 151 above), and to paragraph 39 (b) of that document which sought a mandate for work on the recognition and enforcement of insolvency-derived judgements. The Commission expressed support for continuing the current work on insolvency of enterprise groups as described in paragraph 152 above with a view to bringing it to a conclusion at an early date. There was support for the suggestion that, in addition to that topic, the Working Group’s other priority should be to develop a model law or model legislative provisions to provide for the recognition and enforcement of insolvency-derived judgements, which was said to be an important area for which no explicit guidance was contained in the UNCITRAL Model Law on Cross-Border Insolvency. The Commission approved a mandate accordingly. Development of a text on insolvency of MSMEs was emphasized as being important work which, when initiated, should be coordinated as appropriate with Working Group I so as to promote consistency of UNCITRAL standards in that area. The view was expressed that that work should become Working Group V’s next priority, after completion of the work outlined in paragraph 155 above. It was pointed out that Working Group V had a rather full agenda already and needed to prioritise its work, and in that light there were certain matters that did not require consideration as immediate priorities. Those included the insolvency of large and complex financial institutions, and further work on financial contracts, despite the recognized need to assure that the relevant provisions of the UNCITRAL Legislative Guide on Insolvency Law, remained consistent with current best practice and related international instruments. The Commission requested the secretariat to monitor developments at the Financial Stability Board and Unidroit. United Nations publication, Sales No. E.05.V.10. Support was expressed for continued study on the feasibility of developing a convention on selected international insolvency issues (which, it was said, was grounded in the need for a treaty basis to facilitate cross-border cooperation in insolvency matters) and on exploring the potential for further adoption of the UNCITRAL Model Law on Cross-Border Insolvency. The Working Group was urged to continue its study on those topics. Regarding a convention, it was suggested that the open-ended informal group referred to in paragraph 152 above should include in its deliberations whether such an instrument would have value in encouraging States to adopt cross-border insolvency measures, which should be seen as a primary justification for a convention. A note of caution was expressed regarding the setting up of informal groups, of which it was said that, though they may have certain advantages with regard to efficiency, they could be perceived by their nature as less inclusive. VIII. Security interests: progress report of Working Group VI 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 simple, short and concise model law on secured transactions based on the recommendation of the UNCITRAL Legislative Guide on Secured Transactions (the Secured Transactions Guide) and consistent with all texts prepared by the Commission on secured transactions. At its current session, the Commission had before it reports of the Working Group on its twenty-fourth session (A/CN.9/796), held in Vienna from 2 to 6 December 2013, and twenty-fifth session (A/CN.9/802), held in New York from 31 March to 4 April 2014. The Commission noted that at its twenty-fourth session the Working Group had commenced its work on the draft model law and that at its twenty-fifth session the Working Group had completed the first reading of the draft model law. The Commission further took note of the key decisions made during the two sessions. United Nations publication, Sales No. E.09.V.12. Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), paras. 194 and 332. The Commission also recalled that at its forty-sixth session, in 2013, it had agreed that whether the draft model law should include provisions on security interests in non-intermediated securities would be assessed at a future time. To facilitate consideration of the issue by the Commission, the Working Group, at its twenty-fifth session, considered a set of definitions and draft provisions dealing with non-intermediated securities and decided to recommend to the Commission that security rights in non-intermediated securities should be addressed in the draft model law (see A/CN.9/802, para. 93). The Commission had before it a note by the Secretariat entitled “Draft Model Law on Secured Transactions: Security Interests in Non-Intermediated Securities” (A/CN.9/811), which included the definitions and draft provisions to be included in the draft model law as had been agreed by the Working Group. Ibid. para. 332. It was stated that, while non-intermediated securities were an important source of credit for businesses, particularly small- and medium-sized enterprises, security interests in non-intermediated securities had not been addressed in the Unidroit Convention on Substantive Rules for Intermediated Securities, the Convention on the Law Applicable to Certain Rights in Respect of Securities held with an Intermediary or the Secured Transactions Guide. Therefore, it was widely agreed that there was great benefit in including the definitions and draft provisions on non-intermediated securities in the draft model law. Available from www.unidroit.org/english/conventions/2009intermediatedsecurities/convention.pdf. Available from www.hcch.net/index_en.php?act=conventions.text&cid=72. Acknowledging the importance of modern secured transactions law for the availability and cost of credit and the need for urgent guidance to States, in particular those with developing economies and economies in transition, the Commission expressed its satisfaction for the considerable progress achieved by the Working Group in its work. The Commission thus requested the Working Group to expedite its work so as to complete the draft model law, including the definitions and provisions on non-intermediated securities, and to submit it to the Commission for adoption together with a guide to enactment as soon as possible. IX. Technical assistance to law reform The Commission had before it a note by the Secretariat (A/CN.9/818) describing technical cooperation and assistance activities. The Commission stressed the importance of such activities and expressed its appreciation for the related work undertaken by the Secretariat. 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. 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. 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. 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. The Commission welcomed the Secretariat’s efforts to expand cooperation with the Government of the Republic of Korea on the APEC Ease of Doing Business project in the area of enforcing contracts, to other areas and with other APEC member economies. 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. 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. The Commission expressed its appreciation to the Government of the Republic of Korea, through its Ministry of Justice, and to the Government of Indonesia for their contributions to the Trust Fund since the Commission’s forty-sixth session and to organizations that had contributed to the programme by providing funds or by hosting seminars. 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. The Commission expressed its appreciation to Austria for contributing to the UNCITRAL Trust Fund since the Commission’s forty-sixth session, thereby enabling travel assistance to be granted to developing countries that were members of UNCITRAL. Having heard that questions were occasionally raised, particularly in the context of cost-cutting exercises conducted in the Secretariat, as to the existence of a general mandate for the Commission to undertake technical assistance activities, the Commission was unanimous in affirming the existence of that general mandate, as stemming from numerous resolutions of the General Assembly, since its establishing resolution 2205 (XXI) of 17 December 1966 created the Commission to “further the progressive harmonization and unification of the law of international trade by: [...](b) Promoting wider participation in existing international conventions and wider acceptance of existing model and uniform laws; (c) Preparing or promoting the adoption of new international conventions, model laws and uniform laws and promoting the codification and wider acceptance of international trade terms, provisions, customs and practices, in collaboration, where appropriate, with the organizations operating in this field; (d) Promoting ways and means of ensuring a uniform interpretation and application of international conventions and uniform laws in the field of the law of international trade; [...](h) Taking any other action it may deem useful to fulfil its functions”. The Commission expressed its unanimous understanding that the sustained ability to fulfil its technical assistance mandate through its secretariat was essential to facilitate the adoption of UNCITRAL texts, in particular in developing countries and in countries that were less familiar with the work of the Commission. X. Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts The Commission, considering document A/CN.9/810, expressed its continuing belief that CLOUT and the digests were an important tool for promoting uniform interpretation and application of UNCITRAL texts. The Commission noted with appreciation that, in addition to the New York Convention, an increasing number of UNCITRAL texts were represented in CLOUT. They are as follows: - 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)151. 委员会审议了工作组2013年12月16日至20日于维也纳举行的第四十四届会议的报告(A/CN.9/798)和2014年4月21日至25日于纽约举行的第四十五届会议的报告(A/CN.9/803),并审议了根据委员会第四十六届会议的决定作为第四十六届会议的一部分而举行的专题讨论会的报告(A/CN.9/815),其目的是阐明工作组将如何着手处理企业集团问题及现行任务授权中的其他部分,并审议今后可能工作的专题,包括中小微企业特有的破产问题。
United Nations, Treaty Series, vol. 1511, No.46
26119. Ibid.同上,第325段。
vol. 1511, No.152. 会上提到A/CN.9/798号文件第16-23段,工作组在其中列出了其关于如何就企业集团问题和现行任务授权中其他部分开展工作的结论。
26121. -委员会注意到,工作组第四十五届会议已在A/CN.9/798号文件第16段所述问题的基础上开始审议企业集团破产问题。
United Nations Convention on the Carriage of Goods by Sea (Hamburg, 1978)委员会还注意到,已经成立了一个不限成员名额的非正式工作组,负责审议制订一项国际破产问题公约的可行性,并研究各国在通过《贸易法委员会跨国界破产示范法》方面面临的种种问题(见A/CN.9/798,第19段;A/CN.9/803,第39段(a))。
Ibid.47
vol. 1695, No.大会第52/158号决议,附件。
29215. -153. 会上提到A/CN.9/798号文件第23段所讨论的企业集团公司董事在临近破产期间的义务问题。
United Nations Sales Convention会上指出,在工作组开展活动之前,一个非正式专家组正在审议这个问题。
- United Nations Convention on Independent Guarantees and Stand-by Letters of Credit (New York, 1995)154. 还提及A/CN.9/798号文件第24-30段,工作组在其中概述了其关于今后可能工作的专题的结论,并提及A/CN.9/803号文件第12-14段,其中按照委员会的要求提到中小微企业的破产(见上文第151段),另外还提及该文件第39段(b),其中寻求一项任务授权,就承认和执行由破产派生的判决开展工作。
United Nations, Treaty Series, vol. 2169, No. 38030, p.155. 委员会表示支持继续开展上文第152段所说明的当前关于企业集团破产问题的工作,以期能够早日完成。
163.对所提建议表示了支持,即:除这一专题之外,工作组的其他优先事项应当是制定一项示范法或示范立法条文,就承认和执行由破产派生的判决作出规定,据指出,这是一个重要领域,《贸易法委员会跨国界破产示范法》中尚无明确指导意见。
- Electronic Communications Convention委员会就此核准了一项任务授权。
- UNCITRAL Model Law on International Commercial Arbitration (1985), with amendments as adopted in 2006156. 会上强调,制定关于中小微企业破产的法规是一项重要的工作,这项工作启动之后,应与第一工作组适当协调,以促进这一领域贸易法委员会标准的一致性。
Official Records of the General Assembly, Fortieth Session, Supplement No. 17 (A/40/17), annex I; and ibid. Sixty-first Session, Supplement No. 17 (A/61/17), annex I. -有的意见认为,在完成上文第155段所概述的工作之后,这项工作应当成为第五工作组的下一个优先事项。
UNCITRAL Model Law on International Credit Transfers (1992)157. 会上指出,第五工作组的议程已经排得很满,需要划分其工作的轻重缓急,鉴于此,有些事项不必作为当务之急考虑。
Official Records of the General Assembly, Forty-seventh Session, Supplement No. 17 (A/47/17), annex I. -这些事项包括大型复杂金融机构的破产,以及关于金融合同的进一步工作,但承认有必要保证《贸易法委员会跨国界破产示范法》的有关规定继续与当下的最佳做法以及相关的国际文书保持一致。
UNCITRAL Model Law on Electronic Commerce, 1996委员会请秘书处监测金融稳定理事会和统法协会的发展动态。
General Assembly resolution 51/162, annex.48
- UNCITRAL Model Law on Cross-Border Insolvency联合国出版物,出售品编号:E.05.V.10。
The Commission further noted with satisfaction that as of 5 May 2014, 143 issues of compiled case-law abstracts had been published, dealing with 1,351 cases from all regions of the world.158. 对继续研究制定一项某些国际破产问题的公约可行性表示了支持(据指出,其理由是需要在一项条约的基础上便利破产事项的跨界合作),并对探讨进一步通过《贸易法委员会跨国界破产示范法》的潜在可能性表示了支持。
The Commission was informed that the network of national correspondents had maintained its composition of 64 national correspondents representing 31 States.委员会敦促工作组继续开展这些专题的研究工作。 关于拟订一项公约,会上提出,上文第152段中提到的不限成员名额非正式小组的审议应当包括此种文书是否对鼓励各国采取跨国界破产措施有价值,这一点应被视为拟订一项公约的首要理由。 159. 对设立非正式小组表示了审慎的态度,就此指出,尽管这些小组可能在效率方面具有某些优势,但却可能因其性质而被视为欠缺包容性。
Noting the important role of national correspondents both in collecting case law and preparing abstracts, the Commission invited those States that had not yet appointed national correspondents to do so.八. 担保权益:第六工作组进度报告
The Commission commended the Secretariat for promoting the UNCITRAL Digest of Case Law on the United Nations Convention on Contracts for the International Sale of Goods (2012) (the CISG Digest) and the UNCITRAL Digest of Case Law on the Model Law on International Commercial Arbitration (the MAL Digest) through various means.160. 委员会回顾,委员会2013年第四十六届会议确认了其决定,即第六工作组(担保权益)应在《贸易法委员会担保交易立法指南》(《担保交易指南》)建议的基础上,并按照由委员会编拟的关于担保交易的所有案文,编拟一份关于担保交易的简单、简短、简要的示范法。 委员会本届会议收到了工作组2013年12月2日至6日于维也纳举行的第二十四届会议的报告(A/CN.9/796)和2014年3月31日至4月4日于纽约举行的第二十五届会议的报告(A/CN.9/802)。 委员会注意到,工作组第二十四届会议已开始示范法草案的编拟工作,工作组第二十五届会议完成了示范法草案的一读。
It further noted with satisfaction the translation of the third revision of the CISG Digest, published in English 2012, in all United Nations official languages.委员会还注意到在这两届会议期间所作的主要决定。
The Commission was further informed of progress of preparation of the digest of case law on the UNCITRAL Model Law on Cross-Border Insolvency and work to update the current version of the MAL Digest.49
The Commission requested the Secretariat to continue preparing and publishing, including through electronic means, digests of case law relating to UNCITRAL texts in as many official languages as possible and to ensure that those digests were broadly disseminated to Governments and other interested bodies.联合国出版物,出售品编号:E.09.V.12。
The Commission took note with appreciation of the performance of the website www.newyorkconvention1958.org, which was launched in 2012 to make publicly available information collected in the preparation of the UNCITRAL Secretariat Guide on the New York Convention (see para.50
112 above).《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。
The Commission also noted with appreciation that work undertaken to upgrade the UNCITRAL website (www.uncitral.org) to facilitate the functioning of the CLOUT database was progressing.161. 委员会还回顾,委员会2013年第四十六届会议商定,未来将评估示范法草案是否应包括关于非中介证券担保权益的条款。 为便于委员会审议这一问题,工作组第二十五届会议审议了涉及非中介证券的一组定义和条文草案,并决定向委员会建议,应在示范法草案中述及非中介证券上的担保权(见A/CN.9/802,第93段)。
In that context, it was suggested to consider the use of social media as a means to promote the use of the CLOUT database and the UNCITRAL website.委员会收到了标题为“担保交易示范法草案:非中介证券上的担保权”的秘书处说明(A/CN.9/811),其中载有工作组商定列入示范法草案的定义和条文草案。
The Commission, as in the previous sessions, commended the Secretariat for its work on CLOUT, acknowledged the resource-intensive nature of the system and the need for further resources to sustain it.51
The Commission thus reiterated its appeal to States to assist the Secretariat in the search for available funding sources to ensure proper maintenance and development of CLOUT.同上,第332段。
Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), para.162. 会上指出,虽然非中介证券是企业尤其是中小型企业信贷的一个重要来源,但《统法协会中介证券实体规则公约》、《中间人代持证券所涉某些权利准据法公约》或《担保交易指南》均未述及非中介证券上的担保权。
240. XI.因此,会上普遍同意,在示范法草案中列入关于非中介证券的定义和条文草案是十分有益的。
Status and promotion of UNCITRAL texts52
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.9/806).查阅网址:www.unidroit.org/english/conventions/2009intermediatedsecurities/convention.pdf。 53 查阅网址:www.hcch.net/index_en.php?act=conventions.text&cid=72。 163. 委员会认识到现代担保交易法对信贷的供应及其费用的重要意义,以及各国特别是经济正在发展和转型的国家对指导意见的迫切需要,对工作组在工作中取得的显著进展表示满意。
The Commission noted with appreciation the information on treaty actions and legislative enactments received since its forty-sixth session.因此,委员会请工作组加快工作,完成示范法草案,包括关于非中介证券的定义和条文,并提交委员会,以便连同一部颁布指南尽快通过。
The Commission also noted the following actions made known to the Secretariat subsequent to the submission of the Secretariat’s note:九. 法律改革方面的技术援助
(a) the New York Convention — accession by Burundi (150 States parties); and164. 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.9/818)。 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。
(b) United Nations Sales Convention — accession by Congo (81 States parties).165. 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 approved the planned future work by the Secretariat to further promote the United Nations Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea (New York, 2008) (the Rotterdam Rules) through the preparation of an accession kit designed to assist States with the ratification of or accession to the Convention, without any bearing on the interpretation of the Convention.委员会还注意到,虽然秘书处为争取新的捐款作出了种种努力,但贸易法委员会专题讨论会信托基金可用资金仍然非常有限。
The Commission requested the Secretariat to publish the accession kit, including electronically and in the six official languages of the United Nations, and to disseminate it to Governments and other interested bodies.因此,将继续十分谨慎地考虑有关技术合作和援助活动的请求,此种活动数量仍然有限,而且近来大多以费用分摊或不收费的方式进行。
General Assembly resolution 63/122, annex.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。
Considering the broader impact of UNCITRAL’s texts, the Commission took note of the bibliography of recent writings related to the work of UNCITRAL (A/CN.9/805) and noted with appreciation the increased influence of UNCITRAL legislative guides, practice guides and contractual texts.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。
To facilitate a comprehensive approach to the creation of the bibliography and to further the understanding of the influence of UNCITRAL texts, the Commission called on non-governmental organizations, in particular those invited to the Commission, to donate copies of their journals, annual reports and other publications to the UNCITRAL Law Library for review.166. 委员会欢迎秘书处作出努力,将强制执行合同领域亚太经合组织便利营商项目与大韩民国政府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。
In this regard, the Commission expressed appreciation to the Ljubljana Arbitration Centre for its donation of current and forthcoming issues of the Slovenian Arbitration Review and to the Eötvös Loránd University Faculty of Law for its donation of current and forthcoming issues of the ELTE Law Journal.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。
The important role played by the UNCITRAL website (www.uncitral.org) in promotion and dissemination of information about UNCITRAL, its texts and its publications was highlighted and the Commission expressed its approval for the sound management of the website by the Secretariat to maintain the high standards.167. 委员会再次吁请所有国家、国际组织及其他有关实体考虑向贸易法委员会专题讨论会信托基金提供捐款,可能的话采用多年期捐款形式,或提供专门用途捐款,以便于进行规划并使秘书处能够满足发展中国家和经济转型期国家提出的越来越多的技术合作和援助活动请求。
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.委员会感谢大韩民国政府(通过其司法部)和印度尼西亚政府自委员会第四十六届会议以来向该信托基金提供捐款,并感谢一些组织通过提供经费或主办研讨会对该方案作出贡献。
(As related to the functioning of the UNCITRAL website, see also para.168. 委员会吁请联合国系统相关机构、各组织、机构和个人提供自愿捐款,资助为向委员会成员国中的发展中国家提供旅行补助而设立的信托基金。
175 above.)委员会感谢奥地利自委员会第四十六届会议以来向贸易法委员会信托基金提供捐款,从而促成向贸易法委员会成员国中的发展中国家提供旅行补助。 169. 鉴于尤其是在秘书处削减成本的背景下不时听到对委员会是否担负开展技术援助活动的一般任务提出的疑问,委员会一致确认了这项一般任务的存在,其来源是联大的多项决议,始于1966年12月17日关于创建委员会的第2205(XXI)号决议,该决议创建了委员会,以“通过以下手段进一步逐步协调和统一国际贸易法:[......](b)促进更广泛地参与现有的国际公约和更广泛地接受现有的示范法和统一法;(c)酌情与这个领域内的组织协作,编制或促进通过新的国际公约、示范法和统一法,并促进编纂和更广泛地认可国际贸易条款、规定、习惯和惯例;(d)促进以各种方式和手段确保对国际贸易法领域的各项国际公约和统一法作出统一解释和适用;[......](h)采取委员会认为的对其履行职能有益的任何其他行动”。 委员会表示其达成的一致理解是,委员会通过其秘书处履行技术援助任务的持续能力是促进通过贸易法委员会法规的关键,特别是在发展中国家和对委员会工作不太熟悉的国家。 十. 促进可确保贸易法委员会法规统一解释和适用的方式方法 170. 在审议A/CN.9/810号文件时,委员会表示仍然相信法规判例法系统和摘要集是促进贸易法委员会法规统一解释和适用的重要工具。 委员会赞赏地注意到,除《纽约公约》之外,法规判例法系统收录的贸易法委员会法规也不断增多。 这些法规有: -《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(维也纳)修正的《国际货物销售时效期限公约》 54 联合国,《条约汇编》,第1511卷,第26119号。 55 同上,第1511卷,第26121号。 - 《联合国海上货物运输公约》(1978年,汉堡) 56 同上,第1695卷,第29215号。 - 《联合国销售公约》 - 1995年《联合国独立担保和备用信用证公约》(1995年,纽约) 57 联合国,《条约汇编》,第2169卷,第38030号,第163页。 -《电子通信公约》 - 《贸易法委员会国际商事仲裁示范法》(1985年),附带2006年通过的修正案 58 《大会正式记录,第四十届会议,补编第17号》(A/40/17),附件一;以及同上,《第六十一届会议,补编第17号》(A/61/17),附件一。 - 《贸易法委员会国际信贷划拨示范法》(1992年) 59 《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) 60 大会第51/162号决议,附件。 - 《贸易法委员会跨国界破产示范法》 171. 委员会还满意地注意到,截至2014年5月5日,判例法摘要汇编已出版143期,涉及全世界所有区域的1,351个判例。 172. 委员会还获悉,国家通讯员网仍然由代表31个国家的64名国家通讯员构成。 委员会注意到国家通讯员在收集判例法和编写摘要方面的重要作用,请尚未指定国家通讯员的国家予以指定。 173. 委员会赞扬秘书处以各种方式推广《贸易法委员会关于联合国国际货物销售合同公约的判例法摘要集》(2012年)(《销售公约摘要集》)和《贸易法委员会关于国际商事仲裁示范法的判例法摘要集》(《仲裁法摘要集》)。 委员会还满意地注意到2012年发布的英文第三版《销售公约摘要集》已译成联合国所有正式语文。 委员会还获悉了《关于贸易法委员会跨国界破产示范法的摘要集》的编写进度情况以及为增订《仲裁法摘要集》现版本所做的工作。 委员会请秘书处继续以尽可能多的正式语文编写并出版包括以电子方式出版与贸易法委员会法规有关的判例法摘要集,并确保这些摘要集向各国政府及其他相关机构广泛传播。 174. 委员会赞赏地注意到网站www.newyorkconvention1958.org的运行情况,该网站于2012年推出,用于公布在编写贸易法委员会秘书处关于《纽约公约》的指南的过程中收集的资料(见上文第112段)。 175. 委员会还赞赏地注意到为提升贸易法委员会网站(www.uncitral.org)以便利法规判例法数据库的运作所做的工作正在取得进展。 在这方面,建议考虑使用社会媒体作为促进使用法规判例法数据库和贸易法委员会网站的一种手段。 176. 同以往届会一样,委员会赞扬秘书处就法规判例法开展的工作,认识到该系统需要大量资源,而维持这一系统需要进一步的资源。 因此,委员会再次呼吁各国协助秘书处寻找可用资金,以确保法规判例法的妥善维持和发展。 61 《大会正式记录,第六十八届会议,补编第17号》(A/68/17),第240段。 十一. 贸易法委员会法规的现状和促进 177. 委员会以秘书处的一份说明(A/CN.9/806)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。 委员会赞赏地注意到自委员会第四十六届会议以来收到的关于条约行动和颁布立法的信息。 178. 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: (a) 《纽约公约》——布隆迪加入(150个缔约国);以及 (b) 《联合国销售公约》——刚果加入(81个缔约国)。 179. 委员会核准了秘书处计划今后开展的工作,秘书处将通过编制旨在协助各国批准或加入《联合国全程或者部分海上国际货物运输合同公约》(2008年,纽约)(《鹿特丹规则》)但不影响《公约》解释的成套工具而进一步推广该《公约》。 委员会请秘书处公布该成套工具,包括以电子方式和以联合国六种正式语文公布,并向各国政府和其他相关机构传播该工具。 62 大会第63/122号决议,附件。 180. 考虑到贸易法委员会法规的广泛影响,委员会注意到与贸易法委员会工作有关的最新著作目录(A/CN.9/805),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产生的更大影响。 为便利就建立著作目录采取综合办法和增进对贸易法委员会法规影响的认识,委员会吁请非政府组织特别是得到邀请参加委员会工作的非政府组织,向贸易法委员会法律图书馆捐赠各自的期刊、年度报告和其他出版物,以便进行审查。 在这方面,委员会表示赞赏卢布尔雅那仲裁中心捐赠现有和今后各期《斯洛文尼亚仲裁评论》,以及罗兰德依亚托斯大学法律系捐赠现有和今后各期《罗兰德依亚托斯大学法律期刊》。 181. 委员会强调了贸易法委员会网站(www.uncitral.org)在推广和传播关于贸易法委员会及其法规和出版物的信息方面的重要作用,并表示认可秘书处为维持高标准而对该网站的妥善管理。 委员会回顾大会一些决议赞扬该网站使用六种语文的界面,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。 (关于易法委员会网站的运作,另见上文第175段。 ) 63
General Assembly resolutions 61/32, para. 17, 62/64, para. 16, and 63/120, 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。
20. XII.十二. 协调与合作
Coordination and cooperationA. 概述
A. General182. 委员会收到了A/CN.9/809号文件,赞赏地注意到,自2013年第四十六届会议以来,秘书处继续不断参与联合国系统内外活跃在国际贸易领域的其他组织的举措。
The Commission, having before it document A/CN.9/809, noted with appreciation that since its forty-sixth session, in 2013, the Secretariat had maintained a sustained involvement in initiatives of other organizations active in the field of international trade both within and outside the United Nations system.除其他外,秘书处参加了下列组织的活动:联合国贸易便利和电子商务中心、联合国贸易和发展会议、联合国欧洲经济委员会、联合国环境规划署、联合国机构间贸易和生产能力小组、海牙会议、经合组织、统法协会、世界银行和世界贸易组织。
Among others, the Secretariat had participated in the activities of the following organizations: the UN/CEFACT, the United Nations Conference on Trade and Development, the United Nations Economic Commission for Europe, the United Nations Environment Programme, the United Nations Inter-Agency Cluster on Trade and Productive Capacity, the Hague Conference, OECD, Unidroit, the World Bank and the World Trade Organization.183. 通过目前工作的示例,委员会赞赏地注意到涉及海牙会议和统法协会的协调活动以及联合国和其他实体工作领域与贸易法委员会工作有关的法治活动。
By way of example of current efforts, the Commission took note with satisfaction of the coordination activities involving the Hague Conference 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 to the work of UNCITRAL.184. 委员会注意到,秘书处参加了其他组织的专家组、工作组和全体会议,目的是分享信息和专长,避免在工作产品方面发生工作重复。
The Commission noted that the Secretariat participated in expert groups, working groups and plenary meetings of other organizations with the purpose of sharing information and expertise and avoiding duplication of work in the resultant work products.委员会还注意到,协调工作通常涉及出差去参加这些组织的会议以及为公务旅行拨出经费支出。
The Commission further observed that coordination work often involved travel to meetings of those organizations and the expenditure of funds allocated for official travel.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项工作的重要性,并支持为此目的使用差旅费。
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.B. 担保权益领域的协调与合作 185. 委员会回顾2011年第四十四届会议赋予秘书处的任务授权,赞赏地注意到秘书处在世界银行编拟《世界银行破产和债权人权利标准》修订版的过程中努力与其协调,修订版的基础是《世界银行关于有效的破产和债权人权利制度的原则》(《原则》)《原则》经修订后纳入《担保交易指南》的主要建议并参照《贸易法委员会担保交易立法指南:知识产权担保权补编》(2010年)和《贸易法委员会关于落实担保权登记处的指南》(2013年)。
B. Coordination and cooperation in the field of security interests64
Recalling the mandate it had given to the Secretariat at its forty-fourth session, in 2011, the Commission noted with appreciation the efforts of the Secretariat to coordinate with the World Bank in preparing a revised version of the World Bank Insolvency and Creditor Rights Standard (the “ICR Standard”) on the basis of the World Bank Principles for Effective Insolvency & Creditor Rights Systems (the “Principles”) revised to incorporate the key recommendations of the Secured Transactions Guide, and to make reference to the UNCITRAL Legislative Guide on Secured Transactions: Supplement on Security Rights in Intellectual Property (2010) and to the UNCITRAL Guide on the Implementation of a Security Rights Registry (2013).《大会正式记录,第六十六届会议,补编第17号》(A/66/17),第228段。
Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), para.65 查阅网址:http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTLAWJUSTICE/EXTGILD/
228. Available from http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTLAWJUSTICE/EXTGILD/0,,contentMDK:22095859~menuPK:64874173~pagePK:4789622~piPK:64873779~theSitePK:5807555,00.html.0,,contentMDK:22095859~menuPK:64874173~pagePK:4789622~piPK:64873779~theSitePK:
Available from www.uncitral.org/uncitral/uncitral_texts/security.html.5807555,00.html。
Ibid. The Commission was informed by the representative of the World Bank that the special Working Group on Security Interests designated by the World Bank’s Global Task Force on Effective Insolvency and Debtor/Creditor Regimes (the “Task Force”) to examine and update the Principles had completed its work.66
It was further noted that the report and recommendation of that special Working Group would be reviewed by the Task Force at its meeting in October 2014 and posted for public comment, after which the Task Force would determine the best way of integrating the revised Principles into the ICR Standard.查阅网址:www.uncitral.org/uncitral/uncitral_texts/security.html。
The Secretariat was requested by the World Bank to continue participating in that process.67 同上。 186. 世界银行的代表告知委员会,世界银行有效破产和债务人/债权人制度全球工作队(“工作队”)指定的审查和修订《原则》的担保权益问题特别工作组已完成工作。
It was widely felt that such coordination effort was important and should continue in an expeditious manner.还注意到特别工作组的报告和建议将由工作队在2014年10月的会议上进行审查,并将刊载征求公众意见,此后,工作队将确定将经修订的《原则》纳入《破产和债权人权利标准》的最佳方式。
Thus, the Commission renewed its mandate to the Secretariat to continue to coordinate with the World Bank and to finalize a revised version of the ICR Standard that would be consistent with relevant UNCITRAL texts.世界银行请秘书处继续参与该项工作。
Recalling its decision at its forty-sixth session, in 2013, to request the Secretariat to engage in discussions with the European Commission to ensure a coordinated approach to the issue of the law applicable to third-party effects of assignments of receivables, the Commission was informed of the efforts made by the Secretariat in that respect.187. 广泛认为这种协调非常重要,应当尽快继续进行。
In that context, the Commission reiterated its call to the European Commission to ensure a coordinated approach in line with all the texts of UNCITRAL on security interests and renewed the mandate it had given to the Secretariat to cooperate with the European Commission to ensure such a coordinated approach.因此,委员会重申授权秘书处继续与世界银行协调,并最后完成将与贸易法委员会有关法规保持一致的《破产和债权人权利标准》修订版。
Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), para.188. 会上回顾委员会2013年第四十六届会议决定请秘书处与欧盟委员会讨论,以确保对应收款转让第三方效力准据法问题采取协调统一的处理方式,委员会获悉了秘书处在这方面所做的努力。
249. The Commission took note of a statement by the Unidroit representative on the status of the Convention on International Interests in Mobile Equipment (the Cape Town Convention) and its protocols.为此,委员会再次呼吁欧盟委员会确保采取与贸易法委员会所有法规协调一致的处理方式,并重申授权秘书处与欧盟委员会合作,以确保采取协调一致的处理方式。
In that context, the Commission was informed that Unidroit was in the process of considering the preparation of a new protocol to the Cape Town Convention on mining, agricultural and construction equipment (the “MAC Protocol”) through a study group that is expected to meet in December 2014.68
It was widely felt that while the Cape Town Convention and its protocols provided a separate international regime for certain types of mobile equipment, coordination between the MAC Protocol and all the texts of UNCITRAL on security interests was extremely important in order to avoid any overlap or conflict with existing work.同上,《第六十八届会议,补编第17号》(A/68/17),第249段。
It was noted that if the scope of the MAC Protocol were to follow the approach of the Cape Town Convention and be limited to equipment of high value, crossing national borders in the course of its normal use, and typically being subject to asset-based registration, the MAC Protocol would be compatible with the comprehensive approach taken in the Secured Transactions Guide.189. 委员会注意到统法协会代表就《移动设备国际利益公约》(《开普敦公约》)及其各项议定书的现状所作的发言。
After discussion, the Commission renewed its mandate given to the Secretariat to cooperate with Unidroit, particularly in the area of security interests.在这方面,委员会获悉统法协会正在考虑通过预期于2014年12月开会的研究小组编拟《开普敦公约》关于采矿、农业和建筑设备的新的议定书(“采矿、农业和建筑设备议定书”)。
Available from www.unidroit.org/instruments/security-interests/cape-town-convention.普遍认为,虽然《开普敦公约》及其各项议定书针对某些类别的移动设备提供了独立的国际制度,但采矿、农业和建筑设备议定书与贸易法委员会关于担保权益的所有法规相互协调非常重要,有利于避免与现有工作的重叠或冲突。
The Commission also welcomed and expressed support for the cooperation and coordination with the International Financial Corporation (IFC) or any other entity resulting from the recent restructuring of the World Bank Group with respect to technical assistance to law reform and with OAS with respect to local capacity-building in the area of security interests.会上指出,如果采矿、农业和建筑设备议定书的范围仿效《开普敦公约》的处理方式,并局限于正常使用过程中的高价值、跨国界且通常须作资产登记的设备,该议定书就将与《担保交易指南》采取的综合做法吻合。
C. Reports of other international organizations经过讨论,委员会重申授权秘书处与统法协会合作,特别是在担保权益领域合作。
The Commission took note of statements made on behalf of the following international and regional organizations: Unidroit, OAS, IMO, World Bank, IDLO and OHCHR.69
A summary of their statements is reproduced below.查阅网址:www.unidroit.org/instruments/security-interests/cape-town-convention。
1. Unidroit190. 委员会还欢迎并支持与国际金融公司或经世界银行集团最近重组而建立的任何其他实体在提供法律改革技术援助方面进行合作与协调,以及与美洲组织在担保权益领域当地能力建设方面进行合作与协调。
The Secretary-General of Unidroit reported on the main activities of Unidroit since the forty-sixth session of UNCITRAL, in 2013.C. 其他国际组织的报告
The Commission was in particular informed that:191. 委员会注意到代表下列国际组织和区域组织所作的发言:统法协会、美洲组织、海事组织、世界银行、发展法组织和人权高专办。
(a) Preparation of legal guide on contract farming in cooperation with interested international organizations, in particular the Food and Agriculture Organization of the United Nations (FAO), the International Fund for Agricultural Development (IFAD) and the World Food Programme (WFP), continued.现将其发言摘要转载如下。
With the assistance of the Unidroit secretariat, the experts were currently revising the guide, with a view to complete review of the draft guide at the fourth and final meeting of the Unidroit working group to be held in mid-November 2014.1. 统法协会
Before that meeting, the Unidroit secretariat would circulate the draft to international organizations, farmers, industry representatives and scholars, and the comments received would be before the working group.192. 统法协会秘书长报告了自贸易法委员会2013年第四十六届会议以来统法协会开展的主要活动。
The final deliberations of the working group would also be informed by discussions at four consultation events organized in the course of 2014 with the view of presenting the content of the draft guide to audiences of farmers’ representatives, industry stakeholders, interested Governments and intergovernmental and non-governmental organizations, and seeking feedback on its adequacy to meet their practical needs.委员会尤其获悉:
After that final meeting of the working group, the guide would undergo pre-publication editing and translation into French as well as the required FAO procedures, before being submitted to the Unidroit Governing Council for approval, at its ninety-fourth session, in 2015.(a) 继续与相关国际组织合作,特别是与联合国粮食及农业组织(粮农组织)、国际农业发展基金(农发基金)和世界粮食计划署(粮食计划署)合作,编拟合同农业法律指南。
Once finalised, the guide was expected to be issued as a joint FAO/Unidroit instrument, which the partner organizations would use in the framework of their technical assistance and capacity-building programmes in developing countries;在统法协会秘书处帮助下,专家们目前正在修订该指南,以便在拟于2014年11月中举行的统法协会工作组第四次即最后一次会议上完成对指南草案的审查。
(b) In 2014, the Unidroit Governing Council decided to take a first initial step towards a fourth edition of the Unidroit Principles of International Commercial Contracts.在该会议之前,统法协会秘书处将向国际组织、农户、工业代表和学者分发该草案,收到的意见将提交工作组。
It instructed the Unidroit secretariat to set up a restricted Steering Committee for the purpose of formulating specific proposals for appropriate amendments and additions to the rules and comments of the Unidroit Principles to address particular issues raised by long-term contracts.工作组的最后审议也将参考在2014年举办的四次协商活动期间进行的讨论,举办这些活动的目的是向农户代表、工业利益相关者、有关政府和政府间组织及非政府组织等受众介绍该指南草案的内容,并就该指南草案是否可以满足其实际需要征求反馈意见。
The Steering Committee was expected to meet in January 2015.在工作组最后会议之后,将对指南进行出版前编辑并翻译成法文以及通过必要的粮农组织程序,然后提交统法协会理事会2015年第九十四届会议核准。
The first reading of the draft by the Unidroit Council was expected at its ninety-fourth session in 2015;该指南最后完成之后,预计将作为一部粮农组织/统法协会共同文书印发,伙伴组织将在发展中国家技术援助和能力建设方案的框架内使用;
The current and earlier editions of the Principles are available from www.unidroit.org/publications/513-unidroit-principles-of-international-commercial-contracts.(b) 2014年,统法协会理事会决定朝着编拟《统法协会国际商事合同通则》第四版迈出最初的第一步。
(c) The Cape Town Convention currently had 60 States Parties; the Aircraft Protocol to the Cape Town Convention continued to attract new accessions; the International Registry for aircraft objects was expanding exponentially, in terms of the proportion of the world’s commercial aircraft financing transactions recorded in the registry; the Rail Protocol had six signatories and one State Party and the negotiations with the bidder selected to operate the International Registry for railway rolling stock had been successfully completed.它指示统法协会秘书处设立一个有限的指导委员会,目的是就适当地修正和增补《统法协会通则》的规则和评论拟订具体建议,以处理长期合同引起的特殊问题。
As regards the Space Protocol, the Preparatory Commission, established pursuant to Resolution 1 of the Diplomatic Conference, met in Rome on 6 and 7 May 2013, and again on 27 and 28 February 2014, and would hold its third session in September 2014 to consider a first draft of the Registry Regulations and the process for selecting the registrar.该指导委员会预期于2015年1月开会。
The International Telecommunication Union (ITU) accepted to join the Preparatory Commission, and its secretariat confirmed its interest in becoming the Supervisory Authority.预计统法协会理事会将在2015年第九十四届会议上对草案进行一读;
The Unidroit Governing Council agreed to set up a study group to consider the feasibility of future work on a possible fourth protocol to the Cape Town Convention (the MAC Protocol) (see also para.70
189 above).《通则》现版本和早先的版本可查阅网址:www.unidroit.org/publications/513-unidroit-principles-of-international-commercial-contracts。
The first meeting of the study group would take place in Rome, on 15-17 December 2014;(c) 《开普敦公约》目前有60个缔约国;《开普敦公约航空器议定书》继续吸引新的国家加入;从航空器物体国际登记处记录的全世界商业航空器融资交易的比例来看,该登记处在呈指数倍发展;《铁路议定书》有六个签署国,一个缔约国,与中标运作铁路机车车辆国际登记处的投标者的谈判已圆满完成。
(d) In 2013 Unidroit and the European Law Institute (ELI) agreed to conduct a joint project aimed at developing model rules of civil procedure tailored for the European context and taking into account, in particular, the European acquis.关于《空间议定书》,根据外交会议第1号决议设立的筹备委员会于2013年5月6日和7日在罗马开会,于2014年2月27日和28日再次开会,并将于2014年9月举行第三届会议,审议《登记处条例》第一稿和挑选登记官的程序。
The first joint ELI/Unidroit workshop, in cooperation with the American Law Institute (ALI), was held in Vienna on 18 and 19 October 2013.国际电信联盟(国际电联)同意加入筹备委员会,其秘书处确认有兴趣担任监督机构。
In 2014, Unidroit and ELI set up a Steering Committee, which met on 12-13 May 2014 in Rome and agreed on the composition of the working groups for each topic chosen at the 2013 workshop (service and information; interim measures; evidence).统法协会理事会同意设立一个研究小组,审查今后就可能拟订《开普敦公约》公约第四项议定书(采矿、农业和建筑设备议定书)开展工作是否可行(另见上文第189段)。
Those working groups would hold a joint meeting, with the participation of a representative of ALI, in November 2014 in Rome.该研究小组第一次会议将于2014年12月15日至17日在罗马举行; (d) 2013年,统法协会和欧洲法律学会(欧洲法学会)商定开展一个共同项目,目的是拟订适合欧洲情形的民事诉讼示范规则,其中特别考虑到欧洲的法规。
A final report on the feasibility of formulating European model rules of civil procedure on the basis of the ALI/Unidroit Principles of Transnational Civil Procedure (the ALI/Unidroit Principles) and a list of topics to be covered by future rules were expected to be completed by 2015.与美国法律学会(美国法学会)合作举办的第一次欧洲法学会/统法协会联合讲习班于2013年10月18日和19日在维也纳举行。
The project might represent a first attempt towards the development of other regional projects adapting the ALI/Unidroit Principles to the specificities of regional legal cultures, leading the way to the drafting of other regional rules.2014年,统法协会和欧洲法学会设立了一个指导委员会,该指导委员会于2014年5月12日至13日在罗马开会,并就2013年讲习班选定的讨论每个议题(送达和信息;临时措施;证据)的工作组的构成达成一致意见。
Prepared by a joint ALI/Unidroit Study Group and adopted in 2004 by the Unidroit Governing Council, aimed at reconciling the differences among various national rules of civil procedure, taking into account the peculiarities of transnational disputes as compared to purely domestic ones.这些工作组将于2014年11月在罗马举行一次有美国法学会代表参加的联合会议。
They were accompanied by a set of “Rules of Transnational Civil Procedure”, which were not formally adopted by either Unidroit or ALI, but constituted “the Reporters’ model implementation of the Principles, providing greater detail and illustrating concrete fulfilment of the Principles”.预期到2015年完成关于在美国法学会/统法协会《跨国民事诉讼程序原则》基础上拟订欧洲民事诉讼示范规则的最终可行性报告和今后规则拟涵盖的议题清单。
2. OAS该项目可能是制定其他区域项目以调整美国法学会/统法协会原则适应各区域法律文化的特点的第一次尝试,将导致拟订其他区域规则。
A representative of OAS referred to the long-standing history of the relationship between the OAS and UNCITRAL and informed about current areas of work in private international law undertaken in OAS by its political organs (the General Assembly, the Permanent Council and the Committee on Juridical and Political Affairs (CAJP)), secretariat, InterAmerican Juridical Committee and specialized conferences (CIDIP).71
The Commission was in particular informed that:由一个美国法学会/统法协会研究小组编拟,统法协会理事会于2004年通过,目的是调和各国民事诉讼规则之间的差异,同时考虑到跨国争议与纯国内争议相比的特点。
(a) Under the Inter-American Program for the Development of International Law, OAS implemented two technical cooperation projects in the field of private international law of particular relevance to UNCITRAL: (i) “Commercial Arbitration: Training Judicial Agents in the Enforcement of International Awards”, with its key objective to promote, among judges and other public officials, knowledge and correct application of the regional and global legal instruments in the area of international commercial arbitration; and (ii) “Reform of the Secured Transaction Regime in the Americas”, with its key objective to improve the capacity of OAS member States to implement the necessary reforms that will create a modern and effective secured transactions regime;该原则附有一套“跨国民事诉讼规则”,统法协会或美国法学会均未正式通过,但该套规则构成“报告员关于如何实施《原则》的示范说明,提供了更多细节,并举例说明如何具体落实《原则》”。
(b) Among the topics recently studied by the InterAmerican Juridical Committee, three were of relevance to the work of UNCITRAL: (i) Simplified Stock Corporations (relevant to the current work of UNCITRAL Working Group I); (ii) Electronic Warehouse Receipts for Agricultural Products (relevant to the current work by UNCITRAL Working Group IV); and (iii) the InterAmerican Convention on the Law Applicable to International Contracts;2. 美洲国家组织
(c) The OAS Secretariat, through its Department of International Law, had been specifically instructed “to promote among member states further development of private international law, in collaboration with agencies and organizations engaged in this area, among them UNCITRAL, the Hague Conference on Private International Law, and the American Association of Private International Law.”193. 美洲国家组织的一名代表提及了美洲国家组织与贸易法委员会历史悠久的关系,并介绍了美洲国家组织的政治机关(大会/常设理事会/司法和政治事务委员会)、秘书处、美洲司法委员会和专门会议(美洲国际私法专门会议)目前在国际私法方面的工作领域。
OAS General Assembly resolution 2852, para.委员会特别了解到:
12. The representative of OAS expressed appreciation for assistance received from the UNCITRAL secretariat with the implementation of the technical cooperation project in the area of secured transactions, for participation of UNCITRAL in the work of CIDIP and for other collaborative initiatives with UNCITRAL.(a) 在《美洲国际法制定方案》下,美洲国家组织在与贸易法委员会特别相关的国际私法领域实施了两个技术合作项目: = 1 \* GB4 ㈠“商事仲裁:在强制执行国际裁决方面对司法人员的培训”,其主要目标是在法官和其他公职人员中推广国际商事仲裁方面的区域性和全球性法律文书的知识和正确适用; = 2 \* GB4 ㈡“美洲担保交易制度改革”,其主要目标是提高美洲国家组织成员国的能力,以实行必要的改革,建立有效的现代担保交易制度;
Benefits of continuing cooperation between UNCITRAL and OAS for States, the organizations concerns and their secretariats were highlighted.(b) 在美洲司法委员会最近研究的议题中,有三个议题与贸易法委员会的工作有关: = 1 \* GB4 ㈠简化的股份有限公司(与贸易法委员会第一工作组目前的工作有关); = 2 \* GB4 ㈡农产品的电子仓单(与贸易法委员会第四工作组目前的工作有关); = 3 \* GB4 ㈢《美洲国际合同准据法公约》;
3. IMO(c) 美洲国家组织秘书处通过其国际法部得到的具体指令是,“与贸易法委员会、海牙国际私法会议和美洲国际私法协会等在国际私法领域工作的机构和组织合作,在成员国中促进国际私法的进一步发展。
A representative of IMO informed that the 2014 World Maritime Day would be celebrated under the theme “IMO conventions: effective implementation”.
Reference was made to a number of IMO treaty instruments and amendments thereto (in force and not yet in force).72
In light of their relevance to seaborne trade, these instruments were considered relevant to the work of UNCITRAL.美洲国家组织大会第2852号决议,第12段。 194. 美洲国家组织的代表表示感谢贸易法委员会秘书处在实施担保交易领域的技术合作项目方面提供的协助,感谢贸易法委员会参与了美洲国际私法专门会议的工作,还对与贸易法委员会的其他合作举措表示感谢。
The importance of States ratifying, acceding to, accepting or approving those instruments was highlighted.强调了贸易法委员会与美洲国家组织之间的持续合作对于各国、相关组织及其秘书处产生的益处。
In that context, IMO informed about its depository and other functions with respect to those instruments, including advice and assistance that it provided to States in connection with the accession to those instruments and with their subsequent implementation.3. 国际海事组织
4. World Bank195. 国际海事组织的一名代表告知,2014年世界海事日纪念 活动的主题将是“国际海事组织各项公约:有效实施”。
The Chief Counsel, Legal Vice Presidency, of the World Bank expressed support for an enhanced cooperation and coordination between UNCITRAL and the World Bank and other development institutions.提及了国际海事组织的若干条约文书及其修正案(包括生效的和尚未生效的)。
UNCITRAL’s work was viewed by the World Bank as directly relevant to the development agenda, especially in a world where markets and capital flows were increasingly global in nature.这些文书涉及海上贸易,因而被视为与贸易法委员会的工作有关。
UNCITRAL standards and work in the areas of insolvency law and security interests were noted as particularly responsive to immediate needs for commercial law reforms in those areas in developing countries.强调各国应当批准、加入、接受或核准这些文书。
Other areas of UNCITRAL’s work of relevance to the World Bank’s development assistance work and where close cooperation and coordination between UNCITRAL and the World Bank would therefore be welcome were settlement of commercial disputes, electronic commerce, public procurement and MSMEs.在这方面,国际海事组织介绍了其对这些文书的保存职能和其他职能,其中包括就加入这些文书以及加入后的实施问题向各国提供建议和协助。
The area of public-private partnerships was also mentioned as relevant to the work of the World Bank in developing countries.4. 世界银行
Appreciation was expressed for the active participation by the UNCITRAL secretariat in the World Bank’s Global Forum on Law Justice and Development (www.globalforumljd.org), and for the guidance that UNCITRAL has provided to various communities of practice within the Forum.196. 世界银行法律局首席顾问表示支持增进贸易法委员会与世界银行及其他开发机构之间的合作与协调。
(See also paras. 185-187 above.)世界银行认为,贸易法委员会的工作与发展议程直接相关,特别是在市场和资本流动的全球性越来越强的世界上。
5. IDLO指出贸易法委员会在破产法和担保权益方面的各项标准和工作特别回应了发展中国家在这些领域的商法改革当前的需要。
The Commission took note of a report of IDLO on an enhanced cooperation achieved with the UNCITRAL secretariat over last year, in particular though mutual participation in events intended to expand States’ appreciation of the contribution of the law to development.贸易法委员会工作与世界银行的发展援助工作有关的其他领域以及因此而欢迎贸易法委员会和世界银行进行紧密合作与协调的领域有:解决商事争议、电子商务、公共采购和中小微型企业。
The role of the rule of law — the basic cause that IDLO and UNCITRAL shared — to the effort to level the playing field for economic actors, promote the growth of entrepreneurship and MSMEs and to sustain development was highlighted.还提及了与世界银行在发展中国家的工作有关的公私伙伴关系领域。
6. OHCHR197. 表示感谢贸易法委员会秘书处积极参与世界银行的“法律公正与发展全球论坛”(www.globalforumljd.org),还感谢贸易法委员会在论坛期间向各实践社群提供的指导意见。
The Commission was informed about the mandate and the work of the United Nations Working Group on Business and Human Rights.5. 国际发展法组织
Established by the United Nations Human Rights Council in 2011, it was extended for another three years by the Council at its twenty-sixth session, in June 2014.198. 委员会注意到国际发展法组织的报告,其中介绍了过去一年中与贸易法委员会增进合作的情况,特别是通过共同参加为使各国更多认识到法律对发展的贡献而开展的活动。 强调了法治——即国际发展法组织和贸易法委员会的共同基本目标——对于为各经济行动方创造平等竞争环境、促进创业和中小微型企业的增长以及维持发展的努力所发挥的作用。
The Working Group’s current mandate was to promote the effective implementation of the Guiding Principles on Business and Human Rights and to explore options and make recommendations to strengthen the protection against business-related human rights abuses.6. 人权高专办
The Working Group is advocating for the development of national action plans on business and human rights as a means to facilitate a stock-taking of current gaps in laws and regulations and to formulate clear road maps to address such gaps.199. 委员会获悉了联合国工商业与人权工作组的任务授权和工作情况。
Available from www.ohchr.org/Documents/Publications/GuidingPrinciplesBusinessHR_EN.pdf.该工作组由联合国人权理事会于2011年设立,人权理事会2014年6月第二十六届会议将其任务授权延期三年。 工作组目前的任务授权是促进有效落实《工商业和人权指导原则》,探讨加强防范措施防止工商业相关人权滥用的选项并就此提出建议。
The work of UNCITRAL in promoting the rule of law in commercial relations, in particular through its standards in the areas of transparency in investor-State arbitration and public procurement, was seen by the Working Group to be of high relevance to the effective protection of human rights and thus to the work of the Working Group on Business and Human Rights.工作组正在倡导制定工商业与人权国家行动计划,以此促进审查法律条例中现有的差距,并制定弥补这些差距的明确的路线图。
Given its technical expertise on the issue of corporate and trade law, UNCITRAL was considered ideally placed to work together with the Working Group in ensuring that human rights norms and standards inform law-making related to trade and investment at the national level.73
As the Working Group was developing guidance for national action plans, it would like to seek the support and collaboration of the UNCITRAL secretariat to explore opportunities for collaboration.查阅网址:www.ohchr.org/Documents/Publications/GuidingPrinciplesBusinessHR_EN.pdf。
7. Concluding statements in the Commission200. 贸易法委员会特别通过投资人与国家间仲裁透明度和公共采购等领域的标准促进商业关系中的法治,这项工作被该工作组视为与有效保护人权高度相关,因而也与工商业与人权工作组的工作高度相关。
The Commission took note of an oral report of the Secretariat on a joint project between the UNCITRAL secretariat and OECD aimed at promoting the culture of commercial and investment arbitration in the Middle East and North Africa (MENA) region.鉴于贸易法委员会在公司和贸易法问题方面的技术专长,贸易法委员会被视为非常适合与该工作组一道工作,以确保人权规范和标准为国家一级与贸易和投资有关的法律制定工作提供信息依据。
The Commission expressed appreciation for the statements made and noted the high level of cooperation that already existed between UNCITRAL (and its secretariat) and other international organizations active in the field of international trade law.由于工作组正在拟订国家行动计划指导意见,它寻求贸易法委员会秘书处给予支持与协作,探讨相互合作的机会。 7. 委员会中的总结发言 201. 委员会注意到秘书处的一份口头报告,其中介绍了贸易法委员会秘书处与经合组织为在中东和北非区域推广商事仲裁和投资仲裁文化而开展的联合项目。 202. 委员会对所作的发言表示赞赏,并注意到贸易法委员会(及其秘书处)与活跃于国际贸易法领域的其他国际组织之间已经存在的高级别合作。
It encouraged its secretariat to look for synergies and to capitalize on those existing by implementing joint projects.委员会鼓励其秘书处寻求协同效应并通过执行联合项目充分发挥现有的协同效应。
This was considered essential in order to avoid duplication and achieve more efficient use of scarce resources available to the UNCITRAL secretariat and those organizations.据认为有必要这样做,目的是避免重叠并更高效利用贸易法委员会和其他组织所掌握的不多的资源。
Particular importance was attached to developing partnerships with regional organizations in light of the capacity of those organizations to better reach out to their member States and disseminate among them information about UNCITRAL and its standards.特别强调要发展与区域组织的合作伙伴关系,因为这些组织能够更好地接触其成员国并传播关于贸易法委员会及其各项标准的信息。 203. 特别强调了美洲国家组织、世界银行和贸易法委员会在担保权益领域为拉丁美洲和加勒比区域各国开展的联合项目的重要性,还强调需要与海牙会议和统法协会进行更紧密、更具实质性的合作。
The importance of joint projects of the OAS, the World Bank and UNCITRAL in the area of security interests for countries in the Latin American and Caribbean region was particularly highlighted as was also highlighted the need for a closer and more substantive cooperation with the Hague Conference and Unidroit.据指出,与统法协会的联合项目尚未实施,原因是这两个机构当前工作方案的专题暂不适合此种合作。
It was noted that joint projects with Unidroit were not yet implemented because topics on the current work programmes of both institutions did not currently lend themselves to such cooperation.会上表示确信,一旦出现适当的专题,值得考虑实施贸易法委员会和统法协会的联合项目。
The conviction was expressed that it was worth considering implementing UNCITRAL-Unidroit joint projects once appropriate topics appeared.204. 关于人权高专办要求贸易法委员会对工商业与人权工作组目前的项目给予支持与协作(见上文第199-200段),委员会同意以下建议,即贸易法委员会秘书处应与联合国内外的相关机构合作,监测工商业与人权领域的事态发展,并向委员会通报与贸易法委员会工作有关的事态发展。
As regards calls by the OHCHR for the support and collaboration of the UNCITRAL secretariat in the current project of the Working Group on Business and Human Rights (see paras. 199-200 above), the Commission agreed with a suggestion that the UNCITRAL secretariat should monitor developments in the area of business and human rights, in cooperation with relevant bodies within the United Nations and beyond and inform the Commission about developments of relevance to UNCITRAL work.D. 获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
D. International governmental and non-governmental organizations invited to sessions of UNCITRAL and its Working Groups205. 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。
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.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。
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.委员会还回顾,根据该要求,秘书处调整了关于获邀参加贸易法委员会及其工作组届会的政府间组织和非政府组织而在网上列示的信息以及向各国发送此类信息的方式,所作调整让委员会感到满意。
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.74
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。 75
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. 176-178.76 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-sixth session, in 2013, the following organizations had been added in the list of non-governmental organizations invited to UNCITRAL sessions: the African Center for Cyberlaw and Cybercrime Prevention (ACCP; http://cybercrime-fr.org/index.pl/accp); the German Institution of Arbitration (DIS; www.dis-arb.de); the International Mediation Institute (IMI; www.imimediation.org); and the Jerusalem Arbitration Center (JAC; www.jac-adr.org).206. 委员会注意到,自其2013年第四十六届会议以来,获邀参加贸易法委员会届会的非政府组织名单新增了下列组织:非洲网络法律和网络犯罪预防中心(ACCP; cybercrime-fr.org/index.pl/accp)、德国仲裁机构(DIS; www.dis-arb.de)、国际调解院(IMI; www.imimediation.org)和耶路撒冷仲裁中心(JAC; www.jac-adr.org)。
The Commission also took note that the following organization had been removed from that list because of its dissolution as announced on its website: Global Business Dialogue on e-Society (GBDe; www.gbd-e.org).委员会还注意到,名单中删掉的组织是全球电子社会商业对话(GBDe; www.gbd-e.org),因为该组织已在其网站上宣布解散。
The Commission also took note that, pursuant to General Assembly resolution 68/106, paragraph 8, all States and invited organizations were reminded, when they were invited to UNCITRAL sessions, about rules of procedure and work methods of UNCITRAL.207. 委员会还注意到,按照大会第68/106号决议第8段,所有国家和获邀组织在被邀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。
XIII. UNCITRAL regional presence十三. 贸易法委员会的区域存在
The Commission heard an oral report on the activities undertaken by the UNCITRAL Regional Centre for Asia and the Pacific subsequent to the date of the report on that topic to the Commission at its forty-sixth session in 2013 and based on the written report submitted to the Commission (A/CN.9/808).208. 委员会听取了关于继向委员会2013年第四十六届会议提交关于这一主题的报告之日后贸易法委员会亚洲及太平洋区域中心开展的活动的口头报告(A/CN.9/808)。
The Commission stressed the importance of the mandate assigned to the Regional Centre for Asia and the Pacific and expressed its appreciation and support for the activities undertaken by that Centre, underlining its importance in enhancing regional contributions to the work of UNCITRAL.209. 委员会强调了交给亚洲及太平洋区域中心的任务的重要性,对该中心所开展的活动表示赞赏和支持,同时强调了增进对贸易法委员会工作的区域贡献的重要性。
The Commission acknowledged with gratitude the contribution of the Government of the Republic of Korea to the Regional Centre for Asia and the Pacific as well as that of the other contributors, in kind or financially, to specific activities of that Regional Centre.210. 委员会对大韩民国政府为亚洲及太平洋区域中心作出的贡献表示感谢,并对其他捐助方为该区域中心具体活动提供的实物捐助和资助表示感谢。
Appreciation was expressed, in particular, for the various activities undertaken by the Regional Centre and aimed at longer-term capacity-building such as the joint programme established with the Beijing Normal University on teaching and researching electronic commerce law.211. 特别对该区域中心开展的着眼于长期能力建设的各项活动表示赞赏,例如,与北京师范大学设立的关于电子商务法律教学和研究的联合方案。
The importance of the Regional Centre as a channel of communication between States in the region and UNCITRAL was also stressed.212. 还强调了该区域中心作为该区域各国与贸易法委员会的交流渠道的重要性。
In that regard, it was suggested that States in the region could each designate a focal point for matters related to UNCITRAL topics and in charge of coordinating with the Regional Centre.在这方面提议该区域各国不妨指定一个与贸易法委员会专题有关事项的联络人,由其负责与该区域中心协调。
Reference was made to the close cooperation with the host country of the Regional Centre, 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 Conference on “Enabling Environment for Microbusiness and Creative Economy” and the Second Annual Arbitration Asia-Pacific Conference.213. 会上提到与该区域中心东道国——即大韩民国——特别是与该国司法部开展的密切合作,即联合举办了几次区域会议和技术援助举措,例如,关于“有利于微型企业和创新经济的环境”的会议,以及第二次亚太仲裁年度大会。
The Government of the Republic of Korea reiterated its continuous support to the activities of the Regional Centre.大韩民国政府重申其继续支持区域中心的活动。
The Commission reiterated that, in light of the importance of a regional presence for raising awareness of UNCITRAL’s work and, in particular, for promoting the adoption and uniform interpretation of UNCITRAL texts, further efforts should be made to emulate the example of the Regional Centre for Asia and the Pacific in other regions.214. 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,应当作出进一步努力,在其他区域拓展亚洲及太平洋区域中心的例子。
The Secretariat was mandated to pursue consultations regarding the possible establishment of other UNCITRAL regional centres.委员会责成秘书处继续就可能设立其他贸易法委员会区域中心进行协商。
XIV. Role of UNCITRAL in promoting the rule of law at the national and international levels十四. 贸易法委员会在促进国内和国际法治方面的作用
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.215. 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关于其在促进国内和国际法治方面的作用的评论意见,包括在冲突后重建情况下。
It expressed its conviction that the promotion of the rule of law in commercial relations should be an integral part of the broader agenda of the United Nations to promote the rule of law at the national and international levels, including through the Rule of Law Coordination and Resource Group supported by the Rule of Law Unit in the Executive Office of the Secretary-General.委员会表示确信,在商业关系中促进法治应当是促进国内和国际法治这一更广泛的联合国议程的一个组成部分,包括在秘书长办公厅法治股的支助下通过法治协调和资源小组加以促进。
The Commission noted with satisfaction that that view had been endorsed by the General Assembly.委员会满意地注意到大会赞同了这个意见。
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. 111-113.77
General Assembly resolutions 62/70, para.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。
3; 63/128, para.78
7; 64/116, para.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。
9; 65/32, para.79
10; 66/102, para. 12; and 67/97, para. 14. www.unrol.org/article.aspx?article_id=6.www.unrol.org/article.aspx?article_id=6。
Official Records of the General Assembly, Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), para.80
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; and ibid. Sixty-eighth Session, Supplement No. 17 (A/68/17), paras. 267-291.《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。
Resolutions 63/120, para.81
11; 64/111, para.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。
14; 65/21, paras. 12-14; 66/94, paras. 15-17; 67/89, paras. 16-18; and 68/106, para.216. 本届会议上,委员会听取了第四十六届会议主席和秘书处关于委员会第四十六届会议所作相关决定执行情况的口头报告。
12. At its current session, the Commission heard an oral report by the chairperson of its forty-sixth session and by the Secretariat on the implementation of the relevant decisions taken by the Commission at its forty-sixth session.报告概要见下文B节。
A summary of the reports is contained in section B below.82
Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), paras. 273 and 275.《大会正式记录,第六十八届会议,补编第17号》(A/68/17),第273和275段。
The Commission recalled that at its forty-third session, in 2010, it had indicated that it considered it essential to maintain a regular dialogue with the Rule of Law Coordination and Resource Group through the Rule of Law Unit and to keep abreast of progress made in the integration of the work of UNCITRAL into United Nations joint rule of law activities.217. 委员会回顾,委员会2010年第四十三届会议认为,通过法治股保持与法治协调和资源小组的经常性对话至关重要,而且必须随时了解在贸易法委员会工作融入联合国共同法治活动方面取得的进展。 为此,委员会请秘书处每隔一年在贸易法委员会于纽约举行届会时安排由法治股通报情况。
To that end, it had requested the Secretariat to organize briefings by the Rule of Law Unit every other year, when sessions of the Commission were held in New York. Consequently, a briefing had taken place at the Commission’s forty-fifth session in New York in 2012, and at the current session, the Commission had a briefing by the Rule of Law Unit.因此,于2012年在纽约举行的委员会第四十五届会议上作了通报。
Its summary is contained in section C below.本届会议期间,委员会安排由法治股通报了情况。 通报会概要见下文C节。 83
Ibid. Sixty-fifth Session, Supplement No. 17 (A/65/17), para.同上,《第六十五届会议,补编第17号》(A/65/17),第335段。
335. Ibid. Sixty-seventh Session, Supplement No. 17 (A/67/17), paras. 195-227.84 同上,《第六十七届会议,补编第17号》(A/67/17),第195-227段。
The Commission also took note of General Assembly resolution 68/116 on the rule of law at the national and international levels, by paragraph 14 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.218. 委员会还注意到大会关于国内和国际法治的第68/116号决议,大会在该决议第14段中请委员会继续在其提交大会的报告中就委员会目前在促进法治方面的作用发表评论意见。
Recalling its deliberations at its forty-sixth session, the Commission welcomed a panel discussion on “Sharing States’ national practices in strengthening the rule of law through access to justice”.委员会回顾其第四十六届会议的审议情况,欢迎就“分享各国通过司法救助加强法治的国家实践”举行了小组专题讨论。
A summary of the panel discussion and comments of the Commission on its role in promoting the rule of law by facilitating access to justice are contained in section D below.小组专题讨论概要以及委员会关于委员会在通过便利司法救助促进法治方面的作用的评论意见载于下文D节。 85
Ibid. Sixty-eighth Session, Supplement No. 17 (A/68/17), para.同上,《第六十八届会议,补编第17号》(A/68/17),第291段。
291. The Commission recalled that in conjunction with the approval of the draft convention on transparency at the current session (see para.219. 委员会回顾,结合本届会议核准《透明度公约》草案(见上文第106段),国际发展法组织总干事Irene Khan女士就贸易法委员会在促进商业关系中的法治方面的作用作了发言。 Khan女士在发言中特别强调了贸易法委员会的标准和工具对促进透明度、问责和获取信息的作用以及这些问题尤其在投资人与国家间关系中的重要性。
106 above), a statement on UNCITRAL’s role in promoting the rule of law in commercial relations was delivered by Ms. Irene Khan, Director-General of IDLO.委员会对这一发言表示赞赏,并表示支持加强与国际发展法组织在促进商业关系中的法治方面的合作。
In that statement, Ms. Khan in particular emphasized the role of UNCITRAL standards and tools in the promotion of transparency, accountability and access to information and the importance of those issues especially in the context of investor-State relations.B. 关于委员会第四十六届会议所作相关决定执行情况的报告
The Commission expressed appreciation for the statement and support for enhanced collaboration with IDLO on promotion of the rule of law in commercial relations.220. 贸易法委员会第四十六届会议主席报告说,他在开放工作组第八届会议(2014年2月3日至7日,纽约)上作了发言,他在发言中向工作组表示,健全的商业、投资和贸易监管框架是应对可持续发展方面的挑战——如失业、青年人待业以及大规模非正规经济体缺陷等——的强大驱动力。
B. Reports on the implementation of the relevant decisions taken by the Commission at its forty-sixth session建立这种框架在很大程度上规范了私营部门对可持续发展的贡献。 因此,各国对商法领域的注意不断增加,应当视为重要的转折性变化之一,2015年后的任何发展议程都应当清楚地反映这一变化。 86 贸易法委员会第四十六届会议Michael Schoell先生的发言见http://sustainabledevelopment.un.org/ owg8.html,“发言和专题介绍”,以及贸易法委员会网站(www.uncitral.org/pdf/english/ whats_new/2014_02/UNCITRAL-OWG-statement.pdf)。
The chairperson of UNCITRAL’s forty-sixth session reported that he had spoken at the eighth session of the Open Working Group (New York, 3-7 February 2014), in which he conveyed to the Group that a sound regulatory framework for businesses, investment and trade was a powerful driving force in addressing such sustainable development challenges as joblessness, youth unemployment and the shortcomings of a large informal economy.221. 委员会还听取了下述情况:贸易法委员会秘书处与亚非法律协商组织、国际发展法组织和国际商会合作,在开放工作组第八届会议空余时间就以法治为基础的有利于商业、投资和贸易的环境举办了一次辅助活动(2014年2月6日,纽约)。
The existence of such a framework largely conditioned the contribution of the private sector to sustainable development.辅助活动侧重于建立以法治为基础的有利于商业、投资和贸易的环境,以此作为预防冲突、冲突后重建以及促进商业关系中的法治和善治的关键要素。
Increasing attention by States to the commercial law area should thus be regarded as one of important transformative changes that should come clearly across in any post-2015 development agenda.87
The statement by the chairperson of UNCITRAL’s forty-sixth session, Mr. Michael Schoell, is available at http://sustainabledevelopment.un.org/owg8.html, under “Statements & Presentations”, and on the UNCITRAL website (www.uncitral.org/pdf/english/whats_new/2014_02/UNCITRAL-OWG-statement.pdf).这些辅助活动的情况可以查阅http://sustainabledevelopment.un.org/owg8.html,以及贸易法委员会网站(www.uncitral.org/uncitral/en/about/whats_new_archive.html, 29/01/2014 entry)。
The Commission also heard that the UNCITRAL secretariat, in cooperation with the Asian-African Legal Consultative Organization (AALCO), IDLO and ICC, organized a side event on the margins of the eighth session of the Open Working Group on the enabling environment for rule-based business, investment and trade (New York, 6 February 2014).222. 委员会注意到,在联合国法治协商和资源小组2013年12月20日的专家一级会议上,联合国秘书处法律事务厅提交了秘书长关于促进商业关系中的法治的指导意见说明草案,委员会在其2013年第四十六届会议上了解到这份说明草案。
The side event focused on the establishment of enabling environments for rule-based business, investment and trade as critical elements for conflict prevention, post-conflict reconstruction and the promotion of rule of law and governance in commercial relations.会上指出,案文已提供给委员会供了解情况,目前正在对案文进行最后核定,预计最后将在联合国、包括在联合国国别办事处分发该说明。
Information about the side event may be found at http://sustainabledevelopment.un.org/owg8.html and on the UNCITRAL website (www.uncitral.org/uncitral/en/about/whats_new_archive.html, 29/01/2014 entry).88
The Commission took note that a draft guidance note of the Secretary-General on the promotion of the rule of law in commercial relations, about which the Commission was informed at its forty-sixth session, in 2013, was presented by the Office of Legal Affairs of the United Nations Secretariat at the expert level meeting of the Rule of Law Coordination and Resource Group of the United Nations on 20 December 2013.《大会正式记录,第六十八届会议,补编第17号》(A/68/17),第273段。
It was noted that the text, which was made available to the Commission for information purposes was currently undergoing the final approval and was expected eventually to be circulated across the United Nations, including United Nations country offices.223. 在随后进行的讨论中,国际商会的代表向委员会通报了国际商会不断作出的努力,特别是通过“2015年后发展议程全球商业联盟”作出努力,让整个联合国系统了解工商界对法治和可持续发展的观点。
Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), para.所强调的问题都与贸易法委员会的工作有关,因为这些问题涉及私人投资障碍、创业、贸易以及健全的商业监管环境。
273. In ensuing discussion a representative of ICC informed the Commission about its continuing efforts, in particular through the Global Business Alliance on Post-2015 Development Agenda, to convey across the United Nations business perspectives related to rule of law and sustainable development.224. 委员会还了解到围绕法治概念在开放工作组的工作过程中出现的各种争议。
Issues highlighted were all relevant to the work of UNCITRAL since they dealt with barriers to private investment, entrepreneurship and trade and the sound regulatory environment for business.为此,会议告诫委员会不要涉入被某些国家认为具有政治性的领域,否则,贸易法委员会的中立性就会受到损害,贸易法委员会的授权也会被削弱。
The Commission was also informed about controversies around the concept of the rule of law that arose in the work of the Open Working Group.对于将贸易法委员会的工作融入联合国法治战略所带来的增加值,会上提出疑问。
The Commission was therefore cautioned against embarking into areas that were considered by some States to be politicized since otherwise neutrality of UNCITRAL could be compromised and its mandate diluted.225. 对此指出,贸易法委员会在促进商业关系中的法治方面的作用毋庸置疑,大会关于贸易法委员会事项的多项决议——包括关于设立贸易法委员会的决议——就是证明,贸易法委员会本身作出的各项决定也是证明。
Added value in integrating UNCITRAL work in the United Nations rule of law strategies was questioned.对商业交易进行规范的规则不但要清楚明了,还要力求公平,这样才能减轻商业上较强势一方滥用权力的风险,并使商业关系在经济上具有长期可持续性。
In response, it was noted that the role of UNCITRAL in promoting the rule of law in commercial relations was undisputable as evidenced by numerous General Assembly resolutions on UNCITRAL matters, including the one on the establishment of UNCITRAL, and by decisions of UNCITRAL itself.贸易法委员会以平衡、中性的方式调和各个利害相关方的利益,在这方面起着重要作用。
Rules regulating commercial transactions should not only be clear but also fair in order for them to be able to mitigate risks of abuses of power by commercially stronger parties and to make commercial relations economically sustainable in the long run.将贸易法委员会的工作纳入更广泛的联合国活动,有益于贸易法委员会各项标准的最后使用者,因此被认为是可取的。
By reconciling in a balanced and neutral way interests of various stakeholders UNCITRAL played an important role in that regard.担心由于同联合国相关机构加强合作和协调而损害贸易法委员会的中立性并削弱贸易法委员会的授权,并不是一种普遍的关切。
Integration of UNCITRAL work to broader United Nations activities was considered desirable for the benefit of end-users of UNCITRAL’s standards.226. 对于本届会议期间分发的指导意见说明草案中的某些问题表示了关切,特别是其中提到的人权、贸易法委员会在商业欺诈领域中的工作以及中小微企业的规范。
Concerns about compromised neutrality of UNCITRAL and dilution of its mandate as a result of closer cooperation and coordination with relevant United Nations bodies were not widely shared.针对说明草案未述及某些重要问题的批评意见,以指导意见说明的目的为依据对草案的特定范围和侧重点作了解释,指出指导意见说明是一种宣传工具,用来在整个联合国系统、特别是在联合国国别办事处中促进贸易法委员会的工作。
Concern was expressed about particular points in the draft guidance note circulated at the session, in particular references to human rights, the work of UNCITRAL in the area of commercial fraud and regulation of MSMEs.227. 委员会重申其相信在国际贸易中贯彻并有效使用现代私法标准对于促进良好治理、可持续的经济发展以及根除贫困和饥馑至关重要。
In response to the criticism that the draft did not address some important aspects, the specific scope and focus of the draft was explained by reference to the purpose of the guidance note as an advocacy tool for the promotion of the work of UNCITRAL across the United Nations, in particular in United Nations country offices.因此,应当将促进商业关系中的法治作为促进国内和国际一级法治的更广泛联合国议程的一个组成部分。
The Commission reiterated its conviction that the implementation and effective use of modern private law standards in international trade are essential for advancing good governance, sustained economic development and the eradication of poverty and hunger.委员会鼓励秘书长为实现这种整合而制定实际有效的机制。
The promotion of the rule of law in commercial relations should therefore be an integral part of the broader agenda of the United Nations to promote the rule of law at the national and international levels.228. 委员会还强调了贸易法委员会的工作对于2015年后发展议程的意义,表示赞赏委员会第四十六届会议主席Michael Schoell先生以及秘书处作出努力,提请参加关于新发展议程讨论的各相关机构注意贸易法委员会所处理的各种问题。
The Commission encouraged the Secretary-General to devise effective practical mechanisms to achieve such integration.委员会请本届会议主席团和秘书处继续采取适当步骤,确保贸易法委员会的工作领域以及贸易法委员会在促进法治和在可持续发展方面的作用不会在关于2015年后发展议程和可持续发展融资的讨论中被忽视,并请其在委员会下届会议上就朝此方面采取的步骤向委员会报告。
The Commission also emphasized the relevance of the work by UNCITRAL to post-2015 development agenda and expressed its appreciation to the chairperson at its forty-sixth session, Mr. Michael Schoell, and the secretariat, for efforts to bring the attention of relevant bodies involved in discussion of the new development agenda to issues dealt with by UNCITRAL.C. 法治通报会摘要
The Commission requested its Bureau at the current session and its secretariat to continue to take appropriate steps to ensure that the areas of work of UNCITRAL and the role of UNCITRAL in the promotion of the rule of law and in sustainable development are not overlooked in the discussion of the post-2015 development agenda and sustainable development financing, and to report to the Commission at its next session on the steps taken in that direction.229. 在法治通报会开始时,联合国秘书长2015年后发展规划问题特别代表Amina Mohammed女士作了主旨发言。
C. Summary of the rule of law briefingMohammed女士提到设想国际贸易在2015年后发展议程中的位置,承认贸易仍是融入全球经济并推进发展中国家减少援助依赖的最有效手段之一。
The rule of law briefing was opened by a keynote speech of the Special Representative of the Secretary-General of the United Nations on Post-2015 Development Planning, Ms. Amina Mohammed.委员会获悉,在2015年后进程的整个协商阶段,联合国系统明确认识到公平、稳定和可预测法律框架对于促进包容、可持续和公平发展以及经济增长和就业的重要性。
Ms. Mohammed referred to the envisaged place of international trade in post-2015 development agenda recognizing that trade remained one of the most productive ways of integrating into the global economy and propelling developing countries to become less aid dependent.联合国系统还认识到,若没有以法治为基础的有利于商业、投资和贸易的环境,世界将无法应对发展挑战,因此各国政府应当掌握各种知识和工具,以便能够充分利用贸易,将其作为促进可持续发展的强有力手段。
The Commission was informed that, throughout the consultation phase of the post-2015 process, the United Nations system had clearly recognized the importance of fair, stable and predictable legal frameworks for generating inclusive, sustainable and equitable development, as well as economic growth and employment.230. 委员会还获悉了各国和联合国系统预期在2015年9月通过新发展议程之前采取的步骤。
It also acknowledged that without an enabling environment for rule-based business, investment and trade, the world would not be able to tackle development challenges, and Governments should therefore be equipped with knowledge and tools to be able to fully utilize trade as a powerful tool for sustainable development.Mohammed女士强调需要采取改革行动,促进包容、可持续增长和体面就业,包括通过经济多元化、金融普惠、高效基础设施、贸易、相关教育和能力培训,以及贸易法委员会可能发挥作用帮助各国制定和实施此类改革行动。
The Commission was also informed about steps expected to be taken by States and the United Nations system during the time leading to the adoption of the new development agenda in September 2015.231. 然后,秘书长办公厅法治股股长向委员会通报了自2012年在贸易法委员会举行法治通报会以来与联合国法治议程有关的进展。
Ms. Mohammed emphasized the need for transformative actions to promote inclusive and sustainable growth and decent employment, including through economic diversification, financial inclusion, efficient infrastructure, trade, relevant education and skills training, and the potential role of UNCITRAL in assisting States to devise and implement such transformative actions.特别强调了为将促进商业关系中的法治切实纳入联合国更广泛法治议程所作的努力。
The Director of the Rule of Law Unit in the Executive Office of the Secretary-General then briefed the Commission about developments related to the United Nations rule of law agenda occurred since the 2012 rule of law briefing in UNCITRAL.委员会高兴地注意到秘书长关于法治问题的报告更多次提到其活动和与其工作有关的领域。
Efforts being made towards effective integration of the promotion of the rule of law in commercial relations in the United Nations broader rule of law agenda were particularly highlighted.请委员会考虑采取什么办法衡量其法治活动的效果。
The Commission was pleased to note an increased number of references to its activities and areas relevant to its work in the Secretary-General’s reports on rule of law issues.232. 全球契约办公室总顾问对法治通报作了补充,她向委员会介绍了秘书长在2013年9月发起的商业参与架构,特别是其商业促进法治部分,以及关于拟订全球法治商业原则的工作。
The Commission was invited to consider approaches to measuring effectiveness of its rule of law activities.她还提到贸易法委员会特别是在公共采购和私人融资基础设施项目领域的标准、工具和专门知识可在全球契约项目中发挥的作用。
The General Counsel of the Global Compact Office complemented the rule of law briefing by informing the Commission about the Business Engagement Architecture, in particular its business for the rule of law segment, launched by the Secretary-General in September 2013, and work on formulating the global rule of law business principles.委员会还获悉了修订联合国出版物“联合国与全球商业”的计划。
She also referred to the role that UNCITRAL standards, tools and expertise, in particular in the areas of public procurement and privately financed infrastructure projects, could play in the Global Compact’s projects.请贸易法委员会及其秘书处在该办公室的相关项目中予以合作。
The Commission was also informed about plans to update the United Nations publication “United Nations and Global Commerce”.233. 委员会表示赞赏Mohammed的主旨发言,赞赏法治股股长的通报,以及全球契约办公室总顾问的发言和她关于与贸易法委员会更密切合作的想法。
UNCITRAL and its secretariat were invited to cooperate in relevant projects of the Office.委员会鼓励与联合国各机构更密切合作与协商,处理贸易法委员会工作中与这些机构有关的问题。
The Commission expressed appreciation to Ms. Mohammed for her keynote speech, to the Director of the Rule of Law Unit for the briefing and to the General Counsel of the Global Compact Office for her statement and ideas about closer cooperation with UNCITRAL.D. 贸易法委员会就其在通过便利获得司法救助促进法治方面的作用给大会的
The Commission encouraged closer cooperation and consultations with United Nations bodies on issues of UNCITRAL work of relevance to them.评论意见
D. UNCITRAL comments to the General Assembly on its role in the promotion of the rule of law through facilitating access to justice1. 小组讨论摘要
1. Summary of the panel discussion234. 小组讨论期间,来自奥地利、哥伦比亚、开发计划署、世界银行集团和欧洲复兴开发银行的特邀演讲人概要介绍了在合同执行、破产程序、担保权益保护、从法律上增强能力和公共采购方面各国通过司法救助加强法治国家实践以及联合国项目的调查情况。
During the panel discussion, the invited speakers from Austria, Colombia, UNDP, the World Bank Group and EBRD presented surveys of States’ national practices and United Nations projects in strengthening the rule of law through access to justice in the context of enforcement of contracts, insolvency proceedings, protection of security interests, legal empowerment and public procurement.235. 世界银行集团全球指标顾问介绍了世界银行与贸易法委员会秘书处等合作开展的合同执行国家实践调查。
An advisor on global indicators of the World Bank Group presented a survey of States’ practices with enforcement of contracts undertaken by the World Bank Group, in cooperation with, among others, the UNCITRAL secretariat.该调查涵盖189个国家,它比较了世界各地企业家在执行合同方面与地方法院打交道的经验,突出说明了改革的必要性。
The survey covering 189 countries compared experiences for entrepreneurs around the world when dealing with local courts in enforcing contract and highlighted the need for reform.通过该调查查明的主要趋势是,通过建立商事法院和电子法院,以及由于出现了专门为便利妇女和中小微企业通过小额索赔法院取得司法救助而设计的机制,案件管理和执行速度有所改进。
The main trend identified through the survey was improvement in case management and speed of enforcement through creation of commercial courts and e-courts and appearance of mechanisms specifically designed to facilitate women’s and MSME’s access to justice through small claims courts.委员会了解了目前将有效合同执行与减少非正规性、便利信贷获得和增加贸易联系在一起的研究。
The Commission was informed about existing studies linking efficient contract enforcement with decreased informality, improved access to credit and increase in trade.委员会注意到即将就法院处理公布判决和提供自愿调解等问题展开研究。
It took note of upcoming research on courts touching on such issues as publication of judgements and availability of voluntary mediation.236. 哥伦比亚代表介绍了拉丁美洲和加勒比在担保交易和破产法领域进行法律改革的总体情况,重点介绍了司法救助问题。
The representative of Colombia presented an overview of legal reforms in the areas of secured transactions and insolvency law in Latin America and the Caribbean, focusing on issues of access to justice.她提到贸易法委员会标准和贸易法委员会秘书处技术援助在这些改革中的作用。
She referred to the role of UNCITRAL standards and technical assistance of the UNCITRAL secretariat in those reforms.举例介绍了在该区域动产担保登记处运作和破产程序方面司法救助的模式。
Examples of models for access to justice in the context of operation of movable property security registries and insolvency proceedings in the region were provided.该演讲人还介绍了该区域目前为处理中小微企业破产的某些方面及其在破产时获得司法救助和保护担保权益方面所作的努力。
The speaker also shared information about existing efforts in the region to address particular aspects of insolvency of MSMEs and their access to justice in insolvency and protection of security interests contexts.237. 开发计划署代表深入介绍了从法律上增强穷人能力委员会和处理从法律上增加最边缘化社会群体能力及其获得司法救助问题的其他联合国机构的工作。
The representative of UNDP shared insights into the work of the Commission on Legal Empowerment and other United Nations bodies that dealt with issues of legal empowerment and access to justice for the most marginalized segments of societies.这些机构的报告和研究查明了非正规性与贫穷和不平等长久化之间有多大关系,并建议特别针对非正规性开展增强能力战略。
Reports and studies by those bodies identified the extent of the relationship between informality and the perpetuation of poverty and inequality and recommended empowerment strategies particularly in relation to informality.委员会注意到开发计划署在促进低成本司法服务、基于社区的非正规司法体系以及法律援助和法律认识方面的经验,尤其是:(a)如在阿富汗实施国别方案,支持从法律上增强街头商贩的能力;(b)在其他国家开展的将司法服务分散到农村地区、流动法院、司法中心以及民事和商事法律援助等方案。
The Commission took note of UNDP’s experience with promoting low-cost justice services, community-based and informal justice systems and legal aid and legal awareness, in particular: (a) the implementation of country programming such as in Afghanistan supporting the legal empowerment of street vendors; and (b) programmes in other countries on decentralization of justice services to rural areas, mobile courts, justice centres and legal aid in civil and commercial matters.该演讲人欢迎为理解贸易法委员会工作与开发计划署和其他联合国机构的低成本和基于增强能力的发展方案之间的联系所作的努力。
Efforts to understand the linkages between UNCITRAL work and low-cost and empowerment-based development programming of UNDP and other United Nations bodies were welcomed by the speaker.238. 奥地利代表和欧洲复兴开发银行代表介绍了公共采购方面便利受影响供应商得到司法救助的国家实践调查。
Representatives of Austria and EBRD presented surveys of States’ practices with facilitating access by aggrieved suppliers to justice in the context of public procurement.他们查明了与采购决定复审有关的多个问题的重大趋势,特别是在以下方面:独立行政复审、赔偿机制、可对已生效采购合同采取的行动、有权对采购决定提出质疑的人员、可对哪些类别的采购决定提出质疑、提交申诉和就申诉作出决定的的最后期限以及防止滥用的保障措施。
They identified major trends on wide range of issues related to review of procurement decisions, in particular as regards an independent administrative review, compensation mechanisms, actions that could be taken with respect to procurement contracts entered into force, groups of persons that were entitled to challenge procurement decisions, types of procurement decisions that could be challenged, deadlines for submission of complaints and taking decisions on complaints and safeguards against abuses.他们的结论是,世界各地在实现公正和高效审查采购决定方面仍有很大改进余地。
They concluded that there was still much room for improvement across the world to achieve impartiality and efficiency in the review of procurement decisions.贸易法委员会在其2011年《公共采购示范法》中提供的标准和《示范法颁布指南》中的配套指导意见被认为对执行必要的改革很有益处。
The standards provided by UNCITRAL in its 2011 Model Law on Public Procurement and accompanying guidance in the Guide to Enactment of that Model Law were considered useful in implementing the required reforms.89
Available from www.uncitral.org/uncitral/en/uncitral_texts/procurement_infrastructure/2011Model.html.查阅网址:www.uncitral.org/uncitral/en/uncitral_texts/procurement_infrastructure/2011Model.html。
Ibid. The Commission expressed its appreciation to the panellists for their statements and noted that the surveys presented were relevant to standards being considered, administered or already prepared by UNCITRAL (in particular in the areas of settlement of commercial disputes, public procurement, contracts for the international sale of goods, e-commerce, insolvency law, security interests and an enabling legal environment for MSMEs). 2. Comments by the Commission on its role in promoting the rule of law by facilitating access to justice The Commission confirmed its role in strengthening the rule of law, including by facilitating access to justice. Specifically on the subtopic of the panel discussion (see paras. 234-239 above), the Commission noted that UNCITRAL work was relevant to all dimensions of access to justice (normative protection, capacity to seek remedy, and capacity to provide effective remedies): (a) As relevant to the normative protection, UNCITRAL facilitates the law-making task of States by recognizing legitimate grievances and according to them adequate legal protection and providing appropriate range of remedies or compensation in law; (b) As relevant to capacity to seek remedy, UNCITRAL activities are relevant in building capacity of persons to interpret, apply and implement international commercial law standards properly. Such UNCITRAL tools as the UNCITRAL website in the six languages of the United Nations, CLOUT, digests and the Transparency Registry and teaching, training and dissemination activities are all relevant for increasing legal awareness and legal empowerment. Some UNCITRAL standards directly call for publicity of legal texts applicable to commercial relations between parties (see e.g. article 5 of the UNCITRAL Model Law on Public Procurement); (c) Capacity to seek remedy also encompasses access to formal and also informal justice mechanisms. UNCITRAL offers a sound regulatory framework for such complementary means of adjudication as arbitration and alternative dispute resolution (ADR). It assists States with strengthening the linkages between formal and those informal justice mechanisms and building interfaces between them; (d) As relevant to capacity to provide effective remedies through effective adjudication, due process and enforcement, UNCITRAL, through its standards, promotes fair, efficient, accountable and independent justice bodies. Its standards for example address such issues as minimum requirements that administrative review bodies in the context of public procurement or arbitral tribunals should meet to be considered capable of effectively addressing various types of grievances and delivering fair outcomes through adjudication. They also touch upon issues of time and costs involved in resolving disputes, other aspects of due process, public interest litigation, public oversight and government accountability. Some of the standards and tools focus on enforcement of arbitral awards. Judicial training carried out by the UNCITRAL secretariat, CLOUT, digests and other tools and activities aimed at promoting uniform interpretation and application of international commercial law standards are also all very relevant in this context; (e) Finally, UNCITRAL standards, in particular those in the area of e-commerce calling inter alia for legal recognition, admissibility and evidential weight of data messages and e-signatures, proved to be relevant in modernization of civil justice and administrative review procedures. UNCITRAL might be expected to contribute further in that respect, in particular as regards low-value cross-border disputes. XV. Planned and possible future work A. General The Commission recalled the agreement, made at its forty-sixth session in 2013, that it should reserve time for discussion of UNCITRAL’s future work as a separate topic at each Commission session. There was general support for such a review of the Commission’s overall work programme as a tool to facilitate effective planning of its activities. Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), para. 310. The Commission heard a summary of the documents prepared to assist its discussions on future work at the forty-seventh session (A/CN.9/807 and A/CN.9/816). It noted that those documents addressed UNCITRAL’s main activities, i.e. legislative development and activities designed to support the effective implementation, use and understanding of UNCITRAL texts (collectively referred to as “support activities”). It was also agreed that the resource constraints identified in those documents, and similar constraints within member States, required prioritization among UNCITRAL’s activities. The Commission recalled some general considerations in that regard that it had discussed at its forty-sixth session.90
Ibid.同上。
paras. 294 to 309.239. 委员会赞赏讨论小组成员的发言,注意到所介绍的调查与贸易法委员会正在审议、管理或已经编写的标准有关(特别是在解决商事争议、公共采购、国际货物销售合同、电子商务、破产法、担保权益和有利于中小微企业的法律环境领域)。
B. Legislative development2. 委员会对其在通过便利司法救助促进法治方面的作用提出的评论意见
As regards the tabular presentations of legislative activity (current and possible future work), and the summaries of support activities in documents A/CN.9/807 and A/CN.9/816:240. 委员会确认其在加强法治方面发挥的作用,包括通过便利司法救助。
(a) A question was raised as regards the presentation of possible future work on online dispute resolution in Table 2.特别是在小组讨论的这一分专题上(见上文第234-239段),委员会注意到,贸易法委员会的工作关系到司法救助的所有方面(规范保护、寻求救济的能力,以及提供有效救济的能力):
It was suggested that the existing mandate of Working Group III (dating from 2010) would encompass the work described in the relevant line of Table 2.(a) 在规范保护方面,贸易法委员会承认合理投诉并对其进行适当法律保护,在法律中提供适当范围的救济或补偿,从而促进各国的立法工作;
The Commission recalled, with reference to the reports of its forty-fourth and forty-fifth sessions, that the original mandate could be considered to include the preparation of the guidelines for ODR providers and platforms referred to in that Table;(b) 在寻求救济的能力方面,贸易法委员会的活动关涉到培养人们适当解读、适用和执行国际商法标准的能力。
Ibid. Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 213; and ibid. Sixty-seventh Session, Supplement No. 17 (A/67/17), para. 73. (b) It was agreed that the conclusions relating to the existing mandates and future work of each of the six Working Groups reached earlier in the session (see paras. 128-130, 134, 140, 145-150, 154-158 and 162-163 above) would not be reopened. Thus, it was confirmed, the Working Groups would continue to develop legislative texts and associated guidance in the existing subject areas for the year to the forty-eighth Commission session in 2015. It was noted that the reports of four Working Groups (numbers I, II, III and VI) indicated the possible presentation of texts to the Commission for its consideration and adoption at that session. A concern was raised that, as these decisions had been made earlier in the Commission’s deliberations, it would be extremely difficult for the Commission while discussing future work to overturn the conclusions involved. It was proposed, therefore, that at future sessions the reports of Working Groups and planning for future work should be considered together. It was emphasized that, as a consequence of these conclusions, there was no opening for additional legislative development before a Working Group in the coming year. A suggestion in paragraph 31 of document A/CN.9/807 — that a seventh Working Group could be created to allow for legislative development in other subject-areas — was not supported. It was further highlighted that the forty-eighth session of the Commission might require a relatively lengthy session to accommodate the anticipated volume of texts for the Commission’s consideration. Additional suggestions made in paragraph 29(b) of document A/CN.9/807 so as to enhance flexibility in the legislative development process, i.e. to consider allocating more than one topic to a Working Group and to review the automatic allocation of two weeks’ conference time annually to each Working Group, received some support. It was not considered necessary to implement this approach at this session, but the Commission agreed that the possibility could indeed be further discussed in the future. As regards the suggestion made in paragraphs 33-35 of document A/CN.9/807 — to follow a more flexible approach to combining formal and informal working methods (terms described in para.贸易法委员会的各种工具,例如有联合国六种语文版本的贸易法委员会网站、法规判例法、摘要和透明登记处,以及教学、培训和宣传活动,都关涉到提高法律意识和增强法律上的赋权。
19 of that document) — there was support for greater flexibility on a case-by-case basis and some support for greater use of informal working methods.贸易法委员会的一些标准直接要求公布适用于当事人之间商业关系的法律文本(例如,见《贸易法委员会公共采购示范法》第5条);
These expressions of support, however, were made subject to two caveats: first, that the main purpose of informal working methods was to prepare for submission of legislative proposals to a Working Group or directly to the Commission and, secondly, that their use should not compromise the resources allocated to support activities.(c) 寻求救济的能力还包括正规和非正规司法机制的救助。
The Commission reaffirmed its support for formal working methods as the primary method of legislative development, given the transparent, inclusive and multilingual process involved, which supported the universal applicability of UNCITRAL texts.贸易法委员会为仲裁和非诉讼纠纷解决方式等补充性的裁决手段提供了一个健全的规范框架。
In particular, it was emphasized that any working method that might reduce the ability of developing countries to have a voice in legislative development should be avoided.它协助各国加强正规和非正规司法机制之间的联系,并建立两者之间的接口;
Noting the limitations on UNCITRAL’s resources in general and availability of conference time in particular, a view was expressed that the primary aim of legislative development should be the production of legal texts (rather than supporting guidance, which might more appropriately be developed using informal working methods).(d) 在通过有效裁决、正当程序和强制执行来提供有效救济的能力方面,贸易法委员会通过其各项标准,促进公平、高效、负责而独立的司法机构。
As regards a suggestion in paragraph 73(e) of document A/CN.9/816 that the Commission might set a tentative legislative development plan for 3-5 years, the prevailing view was that longer-term planning would remain an exceptional situation.其各项标准涉及的问题诸如公共采购中的行政复审机构或者仲裁庭应当符合哪些最低限度要求才能被视为有能力有效处理各种类型的申诉并通过裁决达至公正的结果。
The Commission recalled concerns as regards creating de facto permanent or semi-permanent Working Groups.它们还涉及解决争议的时间和费用、正当程序的其他方面、公共利益诉讼、公众监督和政府问责制。
It was also reaffirmed that the Commission retained the authority and responsibility for setting UNCITRAL’s workplan, especially as regards the mandates of Working Groups, though the role of Working Groups in identifying possible future work and the need for flexibility to allow a Working Group to decide on the type of legislative text to be produced were also recalled.一些标准和工具侧重于仲裁裁决的执行。
Accordingly, the Commission agreed that it would not express itself at this session on future work extending beyond its forty-eighth session in 2015, but would confine itself to setting a workplan implementing the priorities noted above for the year to that session.由贸易法委员会秘书处进行的司法培训、法规判例法、摘要以及其他工具和活动旨在促进统一解释和适用国际商法标准,在这方面都有十分重要的意义;
Ibid. Sixty-eighth Session, Supplement No. 17 (A/68/17), para. 310. See also paragraph 35 of document A/CN.9/807. A concern was also expressed that the existing modus operandi of Working Groups tended to encourage longer mandates being suggested or developed by each Working Group for each subject area. In response, it was emphasized that the Commission would continue to review the mandates concerned on an annual basis. A proposal to set maximum time frames for legislative development in a subject area was considered to be impractical in the UNCITRAL context, and did not receive support.(e) 最后一点,贸易法委员会的各项标准,特别是电子商务领域的标准(除其他外要求数据电文和电子签名得到法律承认、可接受和具有证据力),经实践证明在民事司法和行政复审程序的现代化方面具有重要意义。
A request was also made for information available from each Working Group on the progress and status of its work, as set out in the reports of the Working Groups, to be collated and presented to the Commission so as to allow the context of each Working Group’s suggestions for future work and for prioritization among existing and new topics to be clearer.或许可以期待贸易法委员会在这方面做出进一步贡献,特别是在低价值跨境争议方面。
It was also stated that, as existing projects came to a close, the Commission might consider at a future session reducing the number of Working Groups to five, given the resource implications of servicing six Working Groups (as noted in para.十五. 计划中的工作和今后可能开展的工作
32 of document A/CN.9/807).A. 概述
As regards future work beyond the work of each Working Group noted above, the Commission:241. 委员会回顾了在其2013年第四十六届会议上达成的一致意见,即委员会应为讨论贸易法委员会今后的工作预留时间,这是委员会每届会议的单独议题。
(a) Reaffirmed its decision at its forty-sixth session to hold a colloquium to recognise the thirty-fifth anniversary of the United Nations Sales Convention in 2015;普遍支持对委员会的全面工作方案进行此种审查,以此促进委员会活动的有效规划。
Ibid.91
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310段。
315. (b)242. 委员会听取了为协助其在第四十七届会议上讨论今后工作而编写的文件概要介绍(A/CN.9/807和A/CN.9/816)。
Reaffirmed its decision made earlier in the session to hold a colloquium to explore possible future work in the field of electronic commerce, addressing (among other things) identity management, trust services, electronic transfers and cloud computing (see para.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”)。
150 above);243. 会上还一致认为,鉴于这些文件中指出资源拮据以及会员国内部面临类似的拮据,必须突出贸易法委员会活动的优先重点。
(c) Considered the proposal for possible legislative development in the field of public-private partnerships (PPPs).委员会回顾了在其第四十六届会议上所讨论的这方面的一些一般考虑。
It was noted that no conference time was available for that topic in the coming year.92
Some delegations, while expressing gratitude for the efforts made to delineate the scope of possible future work, including the holding of a colloquium in March 2014, considered that legislative development on PPPs would involve a significant and lengthy project, and for that reason did not support it.同上,第294至309段。
In that regard, it was noted that the colloquium report (A/CN.9/821), which was before the Commission for its consideration at the current session, identified 15 topics for consideration in developing a legislative text on PPPs, some of which appeared to be substantial.B. 立法制订工作
Materials of the colloquium are available from www.uncitral.org/uncitral/en/commission/colloquia/public-private-partnerships-2014.html.244. 关于A/CN.9/807和A/CN.9/816号文件表中所列立法活动(目前的工作和今后可能开展的工作)以及支助活动概要: (a) 就表2中列出的关于网上争议解决方面今后可能开展的工作提出一个问题。
It was also stated that the existing UNCITRAL texts on privately financed infrastructure projects could be used to harmonize and modernize laws in that field at the national level.会上指出,第三工作组现在的任务授权(始于2010年)将包括表2相关栏目中说明的工作。
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.委员会根据其第四十四届和第四十五届会议的报告回顾,最初的任务授权可以被认为是包括拟订该表中提到的网上解决机构和平台的准则; 93 同上,《第六十六届会议,补编第17号》(A/66/17),第213段;同上,《第六十七届会议,补编第17号》(A/67/17),第73段。 (b) 一致认为,不会重新讨论本届会议早些时候就六个工作组每一工作组现在的任务授权和今后的工作达成的结论(见上文第128-130、134、140、145-150、154-158、162-163段)。
It was recalled, however, that PPPs constituted a topic of importance to all regions of the world, and that the colloquium had highlighted that importance and suggested the need for additional legislative work.因此,会议确认,本年度直到2015年委员会第四十八届会议,各工作组将继续制订现有各主题领域中的立法案文及相关指导意见。 会上指出,各工作组(第一、第二、第三和第四工作组)的报告表明了可能将提交委员会该届会议供其审议并通过的法规案文。 245. 会上提出的一项关切是,由于这些决定都是在委员会早先审议中作出的,委员会若想在讨论今后工作时推翻有关的结论是极其困难的。
The importance of PPPs to developing countries was also raised, and it was said that developing countries would encourage the Commission to take the subject up.因此提议,在今后届会上应当把各工作组的报告和今后工作的规划放在一起审议。
The experience arising from consultations within one State, which had indicated support for legislative development in PPPs, was also drawn to the attention of the Commission.246. 强调指出,由于这些结论的限制,没有为工作组下一年度开展额外的立法制订工作留出余地。
Accordingly, a suggestion was made that the topic of PPPs should be remitted to a working group whose existing mandate could be expected to be completed by the forty-eighth Commission session in 2015, should such a working group be identified.A/CN.9/807号文件第31段提议不妨设立第七工作组以便于在其他主题领域开展立法制订工作,但这项建议未得到支持。
After discussion, the Commission did not adopt that suggestion.247. 进一步强调说,考虑到拟由委员会审议的案文的预期数量,委员会第四十八届会议可能需要较长的会期。
It was noted that the Commission had not made any decision that work on PPPs should be undertaken at the working group level.248. A/CN.9/807号文件第29(b)段中提出的其他建议着眼于增进立法制订过程的灵活性,即考虑为工作组分配一个以上的主题,并对每年自动分配给每个工作组的两周会议时间进行审查,这些建议得到一定支持。 认为没有必要在本届会议上采取这种做法,但委员会一致认为今后的确可以进一步讨论这种可能性。 249. 对于A/CN.9/807号文件第33-35段中提出的建议——采取更为灵活的办法将正规的和非正规的工作方法(该文件第19段对这些用语作了说明)结合起来,会议支持具体情况灵活处理,并对更多地使用非正规工作方法表示了一定支持。 但是,在表示这些支持的同时提出要特别注意以下两点:首先,非正规工作方法的主要目的是为了向工作组或者直接向委员会提交立法建议做准备,其次,采用非正规工作方法不应影响为支助性活动分配的资源。 委员会重审其支持以正式工作方法作为立法制订工作的主要方法,因为其中的透明、包容和多边过程是委员会法规具有普遍适用性的保证。 特别强调指出,凡是有可能减少发展中国家在立法制订过程中的话语权的工作方法,都应当加以避免。 250. 鉴于贸易法委员会的资源普遍有限,特别是所能提供的会议时间有限,会上认为,立法制订工作的主要目的应当是产生法规案文(而不是辅助性指导意见,后者采用非正规工作方法拟订或许更合适)。 251. 关于A/CN.9/816号文件73(e)段中提出的一项建议,即委员会可以制订3-5年期立法制订工作临时计划,普遍认为,制订较长时期的规划仍将是一种特殊情形。 委员会回顾了对设立事实上的常设或半常设工作组所表达的关切。 还重申,委员会保留对确定贸易法委员会工作计划,特别是对确定各工作组任务授权的权利和责任,但同时还回顾了各工作组在确定今后可能开展的工作方面的作用,以及需要保持灵活性以便于工作组就所拟订立法案文的类型作出决定。 为此,委员会同意,委员会不在本届会议上对2015年第四十八届会议之后的未来工作表明意见,而只限于确定一项工作计划,以落实本年度至该届会议的上述优先事项。 94 同上,《第六十八届会议,补编第17号》(A/68/17),第310段。 另见A/CN.9/807号文件第35段。 252. 会上表达的另一项关切是,各工作组目前采取的做法往往是鼓励每一工作组为每个主题领域提议或制订较长时期的任务授权。 对此,会上强调指出,委员会将继续在年度基础上审查相关的任务授权。 有一项建议是确定每一主题领域立法制订工作的最长时间期限,但考虑到贸易法委员会的情况被认为不切实际而未得到支持。 253. 会上还请求对各工作组在其报告中提供的关于各工作组工作进度和状况的信息进行核对后提交委员会,以便使每一工作组对今后工作提出建议并对确定现在主题和新主题优先顺序提出建议的背景更加清楚明了。 254. 会上还指出,鉴于为六个工作组提供服务对资源的影响,随着现有项目的结束,委员会可以在今后一届会议上考虑将工作组的数目减至五个(如A/CN.9/ 807第32段所述)。 255. 关于每一工作组今后在上述工作以外开展的工作,委员会:
The Commission reserved the possibility to consider the matter afresh if and when working group resources became available. It was also recalled that there was no certainty that any such resources would become available in 2015.(a) 重申其第四十六届会议作出的决定,即2015年举办一次专题讨论会,纪念《联合国销售公约》通过三十五周年;
The question of whether the Secretariat should continue to prepare for possible legislative development in PPPs was raised.95 同上,《第六十八届会议,补编第17号》(A/68/17),第315段。 (b) 重申该届会议早先作出的决定,即举办一次专题讨论会,就电子商务领域今后可能开展的工作进行探讨,(除其他外)涉及身份管理、信托服务、电子转让和云计算(见上文第150段);
Views differed on whether a mandate to take up the subject would be given were resources available.(c) 审议了关于可能在公私伙伴关系领域开展立法制订工作的建议。
One delegation considered that the topic was not yet amenable to harmonization.会上指出,下一年度没有为这个主题安排会议时间。
Support was expressed for the Secretariat to continue to advance such preparations, internally and using informal consultations, so as to ensure that a working group could take up the subject if a mandate were given.在对为划定今后可能开展工作的范围——包括于2014年3月举办的一次专题讨论会——所作出的努力表示感谢的同时,有些代表团认为公私伙伴关系方面的立法制订工作将涉及一个耗费大量时间的重大项目,因此不支持这项工作。 在这方面指出,已提交委员会本届会议审议的专题讨论会报告(A/CN.9/821),确定了在制订公私伙伴关系立法案文方面需要审议的15个专题,其中有些专题似乎规模庞大。
Although some delegations considered that no such additional work would be necessary, because (as the colloquium report noted) the topic was ready for legislative development to commence, the view prevailed that very limited additional preparatory work would be appropriate provided that it did not divert UNCITRAL resources from the servicing of existing working groups and support activities.96 专题讨论会材料的查阅网址:www.uncitral.org/uncitral/en/commission/colloquia/public-private-partnerships-2014.html。 256. 还指出,现有关于私人融资基础设施项目的贸易法委员会文书可以在国家一级用于这一领域法律的协调统一和更新。 97 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。 257. 但是,会上回顾,公私伙伴关系是对全世界所有区域都具有重要意义的一个课题,这次专题讨论会强调了这种重要意义,并提出有必要开展进一步的立法工作。 会上还提到了公私伙伴关系对于发展中国家的重要性,指出发展中国家将鼓励委员会抓住这一主题。 会上提请委员会注意在某个国家内部进行的协商所产生的经验,该国表示支持公私伙伴关系方面的立法制订工作。 因此,会上提议,如果能够确定某一工作组的现有任务授权将在委员会2015年第四十八届会议之前完成,应当将公私伙伴关系这一专题交给该工作组。 258. 经过讨论,委员会未采纳这项建议。 会上提出,委员会尚未就是否应当在工作组一级开展公私伙伴关系方面的工作作出任何决定。 如果能够有可使用的工作组资源,委员会保留届时对这一事项重新进行审议的可能性。 会上还提醒说,2015年能否有任何此种资源可供使用并无任何把握。 259. 会上询问,秘书处是否应当继续为公私伙伴关系方面可能开展的立法制订工作作准备。 关于如果有资源是否下达研究该主题的任务授权,会上有分歧。 一个代表团认为,还不宜对这个主题进行协调统一。 260. 会上表示支持秘书处继续推进这方面的准备工作,包括在内部并使用非正式协商办法,以确保工作组在下达任务时能够开始研究这一主题。 尽管有些代表团认为无需进一步进行此种工作——因为(如专题讨论会报告所述)这一专题的准备工作已经就绪,可以开始进行立法制订工作,但普遍看法是,还是有必要进行极为有限的进一步准备工作,条件是此种准备工作不会分散贸易法委员会用于服务现有各工作组及支助活动的资源。 但强调指出,准备工作应当限定范围,只包括秘书处对相关问题的研究,并侧重于使秘书处能够在准备就绪时协助委员会进一步审查是否开始这一主题领域的立法制订工作(这是秘书处对新出现议题采取的比较普遍的做法)。
It was emphasized, however, that the work should be limited and would involve Secretariat studies of relevant issues, focussing on enabling the Secretariat being ready to assist the Commission with a further review of whether or not to take up legislative development in this subject area (an approach taken by the Secretariat for emerging issues more generally). It was agreed that the possibility of future work in PPPs would be further discussed by the Commission at its forty-eighth session in 2015.会议同意将在委员会2015年第四十八届会议上进一步讨论未来开展公私伙伴关系方面工作的可能性。
C. Support activitiesC. 支助活动
The Commission expressed its appreciation for the support activities described in documents A/CN.9/807 and A/CN.9/816, as reviewed in more detail earlier in the session (see paras. 164-228 above).261. 委员会对A/CN.9/807和A/CN.9/816号文件所说明的支助活动表示赞赏,本届会议早些时候对这些活动作了比较详细的审查(见上文第164-228段)。
It acknowledged the difficulty of ensuring the availability of resources for such activities in the context of UNCITRAL’s legislative work which, it was said, should take priority in UNCITRAL’s activities.委员会承认难以在贸易法委员会立法工作的范围内为这些活动提供资源,据称立法工作应在贸易法委员会活动中占优先地位。
It was recognized that seeking additional resources from the United Nations regular budget for support activities was unlikely to be successful in the current economic climate.262. 认识到在当前的经济环境下寻求由联合国经常预算为支助活动提供额外资源不大可能取得成功。
The discussions earlier in the session emphasizing the importance of support activities were recalled (see e.g.263. 会上回顾,本届会议早些时候的讨论强调了支助活动的重要性(例如,见上文第164、169、170、181、184、187、202、209、215段),并强调需鼓励通过秘书处和成员国在全球和区域范围开展此类活动。
paras. 164, 169, 170, 181, 184, 187, 202, 209 and 215 above), and the need to encourage such activities at the global and regional levels through both the Secretariat and member States was highlighted.264. 考虑到可用于支助活动的资源有限,委员会鼓励秘书处寻求与相关国际组织以及与相关双边和多边捐助者和非政府组织建立伙伴关系,结成适当的联盟,此类国际组织可能包括海牙会议和统法协会。
In the light of the limited resources available for support activities, the Commission encouraged the Secretariat to seek partnerships and forge appropriate alliances with relevant international organizations, possibly including the Hague Conference and Unidroit, and with relevant bilateral and multilateral donors and non-governmental organizations.此外,支持A/CN.9/816号文件第65(b)段所载建议,即秘书处应当促进这些组织和联合国系统加强对贸易法委员会各项法规的认识。
In addition, there was support for the suggestion in paragraph 65(b) of document A/CN.9/816 that the Secretariat should promote increased awareness of UNCITRAL’s texts in these organizations and within the United Nations system.国际破产协会代表指出,该组织将如A/CN.9/816号文件所建议的,考虑支助贸易法委员会的活动。
The representative of the International Insolvency Institute stated that his organization would consider supporting UNCITRAL’s activities as suggested in document A/CN.9/816.265. A/CN.9/816号文件第65(c)段建议,各工作组和委员会现有的专门知识应当用来帮助促进通过和使用贸易法委员会法规,这项建议也得到广泛支持。
The suggestion in paragraph 65(c) of document A/CN.9/816 that the expertise available in the Working Groups and Commission should be used to help promote adoption and use of UNITRAL texts also received broad support.会上提到一个代表团以这种方式鼓励使用贸易法委员会法规方面的积极经验。
Positive experience of one delegation in encouraging the use of UNCITRAL texts in that way was raised.266. 委员会重申授权秘书处探索替代资金来源,以便更积极地开展支助活动。
The Commission reaffirmed the Secretariat’s mandate to explore alternative sources of financing to allow for more active support activities to be undertaken.鼓励提供自愿捐助。
Voluntary contributions were encouraged.不过,委员会告诫说可能难以筹集不附带条件的资金,不应指望获得大量此类捐款。
The Commission, however, cautioned that untied funding might be difficult to raise, and that significant contributions of this type should not be expected.还指出,如果预算外资金对贸易法委员会经常预算资源的比例过高,可能会给实现贸易法委员会的核心任务授权带来风险。
In addition, it was said, there could be risks to achieving UNCITRAL’s core mandate if the proportion of extrabudgetary funding was excessive as compared with UNCITRAL’s regular budget resources.十六. 大会的有关决议
XVI. Relevant General Assembly resolutions267. 委员会注意到大会于2013年12月16日通过的下列四项与委员会工作有关的决议:关于联合国国际贸易法委员会第四十六届会议工作报告的第68/106号决议、关于修订《贸易法委员会跨国界破产示范法颁布指南》和《破产法立法指南》第四部分的第68/107号决议、关于《贸易法委员会担保权登记处落实指南》的第68/108号决议,以及关于《贸易法委员会投资人与国家间基于条约仲裁透明度规则》和《仲裁规则》(2010年修订本,新增2013年通过的第1条第4款)的第68/109号决议(委员会审议大会关于国内和国际法治的第68/116号决议的情况,见上文第218段,该决议也涉及委员会的工作)。
The Commission took note of the following four resolutions adopted by the General Assembly on 16 December 2013 regarding the work of the Commission: resolution 68/106 on the report of the United Nations Commission on International Trade Law on the work of its forty-sixth session; resolution 68/107 on revision of the Guide to Enactment of the UNCITRAL Model Law on Cross-Border Insolvency and part four of the UNCITRAL Legislative Guide on Insolvency Law; resolution 68/108 on UNCITRAL Guide on the Implementation of a Security Rights Registry; and resolution 68/109 on UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration and Arbitration Rules (as revised in 2010, with new article 1, para.268. 在审议大会第68/106号决议第3段时,委员会欢迎大会认可委员会的意见,即贸易法委员会秘书处应当履行透明度存储处的职责,委员会还欢迎请秘书长考虑通过委员会秘书处履行该职责。
4, as adopted in 2013) (see para.会上还回顾,委员会本届会议重申其授权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(见上文第110段)。
218 above for consideration by the Commission of General Assembly resolution 68/116 on the rule of law at the national and international levels, which also relate to the work of the Commission).委员会对大会第68/106号决议第3段的理解是,鼓励秘书处寻求一切可能的手段和资源以通过贸易法委员会秘书处履行透明度存储处的职责,可能的话可以在其起始阶段利用预算外资源。
Upon considering paragraph 3 of General Assembly resolution 68/106, the Commission welcomed the recognition by the General Assembly of the Commission’s opinion that the secretariat of UNCITRAL should fulfil the role of the transparency repository and the invitation to the Secretary-General to consider performing that role through the Commission’s secretariat.委员会赞赏欧洲联盟就提供实质性捐助作出承诺(见上文第109段),吁请各国和有关的组织为此提供资源捐助。
It was recalled that at the current session the Commission had reiterated its mandate to its secretariat to establish and operate the Transparency Registry, initially as a pilot project, and to that end, to seek any necessary funding (see para.十七. 其他事项
110 above).A. 获取简要记录的权利
The Commission understood paragraph 3 of General Assembly resolution 68/106 as encouraging the Secretariat to seek all possible means and resources to fulfil the functions of the transparency repository through the UNCITRAL secretariat, possibly on extrabudgetary resources in its initial stages.269. 委员会回顾其2012年第四十五届会议决定,在不放弃根据大会第49/221号决议获取简要记录的权利的同时,请求按照第四十五届会议的同样做法,除简要记录之外,在试行基础上继续为2013年第四十六届和2014年第四十七届会议提供数码录音。
Acknowledging with appreciation the commitment by the European Union to provide a substantive contribution (see para.在该届会议上,委员会商定,其2014年第四十七届会议将评估数码录音的使用经验,并在这一评估的基础上就数码录音是否可以取代简要记录作出决定。
109 above), the Commission appealed to States and interested organizations to make voluntary contributions to that end.委员会请秘书处定期向委员会报告联合国系统内为解决数码录音使用上可能出现的问题而采取的措施。
XVII. Other business A. Entitlement to summary records 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. At that session, the Commission agreed that at its forty-seventh session, in 2014, it would assess the experience of using digital recordings and, on the basis of that assessment, take a decision regarding the possible replacement of summary records by digital recording.委员会还请秘书处评估应请求为委员会各工作组届会提供数码录音的可能性,并在2014年第四十七届会议向委员会提出报告。
The Commission requested the Secretariat to report to the Commission on a regular basis on measures taken in the United Nations system to address possible problems with the use of digital recordings.98
It also requested the Secretariat to assess the possibility of providing digital recordings at sessions of UNCITRAL working groups, at their request, and to report to the Commission at its forty-seventh session, in 2014.《大会正式记录,第六十七届会议,补编第17号》(A/67/17),第249段。
Official Records of the General Assembly, Sixty-seventh Session, Supplement No. 17 (A/67/17), para.270. 委员会还回顾,其2013年第四十六届会议了解了在整个联合国使用数码录音的经验、贸易法委员会会议使用数码录音遇到的问题以及为解决这些问题所作的努力。
249. The Commission also recalled that, at its forty-sixth session, in 2013, it was informed about the experience with digital recordings in the United Nations generally, problems encountered with the use of UNCITRAL meetings digital recordings and efforts made to resolve them.在该届会议上,委员会确认其第四十五届会议作出的试用数码录音的决定,还商定应贸易法委员会工作组届会上应提供数码录音并自动公开提供这些录音。
At that session, the Commission confirmed its decisions taken at the forty-fifth session as regards a trial use of digital recordings and also agreed that digital recordings at sessions of UNCITRAL working groups should be provided and made publicly available by default.将推迟到以后一届会议再决定在提供工作组数码录音的同时是否还应当附带提供录音记录稿。
A decision on whether digital recordings of working groups should be accompanied by a script was deferred to a future session.99
Ibid. Sixty-eighth Session, Supplement No. 17 (A/68/17), paras. 334-340.同上,《第六十八届会议,补编第17号》(A/68/17),第334-340段。
Ibid.100
paras. 341-342.同上,第341-342段。 101
Ibid.同上,第342段。
para.271. 在本届会议上,委员会评估了使用贸易法委员会会议数码录音的经验。
342. At the current session, the Commission assessed the experience of using UNCITRAL meetings digital recordings.在这方面,回顾了2012年在纽约举行贸易法委员会届会时准时收到所有六种语言数码录音方面的问题。
In that context, problems with receiving on time and in all six languages digital recordings in 2012 when the UNCITRAL session was held in New York were recalled.委员会还了解了最近在纽约举行的贸易法委员会工作组届会上数码录音推迟发布的情况。
The Commission was also informed about delays with the release of digital recordings of the latest New York sessions of the UNCITRAL Working Groups.认为有必要再试一年,以便贸易法委员会及其秘书处能够确定,在届会结束之后不久即可向贸易法委员会秘书处提供所有六种语言的数码录音方面的所有障碍确实均已消除,不论届会在哪里举行。
Another year for trial was considered necessary to allow UNCITRAL and its secretariat to ascertain whether all obstacles to the release of digital recordings in all six languages to the UNCITRAL secretariat soon after a session had been completed, regardless of where a session is held, have indeed been eliminated.272. 还提到大会第67/237号决议,其中指出:“需由大会审议是否进一步扩大[作为一项节省开支的措施过渡到以本组织六种正式语言提供会议数码录音]这一措施,包括这样做在法律、资金和人力资源方面的影响,而且这种做法应当完全符合大会的有关决议”。
Reference was also made to 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”.指出应由大会以某种方式授权其附属机构如贸易法委员会自简要记录向数码录音过渡。
It was suggested that the General Assembly should authorize in one way or another its subsidiary bodies, such as UNCITRAL, to make the transition from summary records to digital recording.否则,如果由贸易法委员会决定进行这种过渡,则本委员会或第六委员会可能与第五委员会在这件事上产生冲突。
Otherwise, contradictions in the Commission or the Sixth Committee with the Fifth Committee on that matter could arise if UNCITRAL were to decide to make such transition.273. 委员会还注意到在证实数码录音至少可与简要记录一样发挥相同功能方面需要考虑的其他悬而未决问题。
The Commission also took note of other outstanding issues to be considered in verifying that digital recordings performed at least the same functionalities as summary records.尤其指出,虽然贸易法委员会简要记录并非大会正式记录的一部分,但它们确实作为带来有文件头的文件出现,并出现在贸易法委员会年鉴(以英文、法文、俄文和西班牙文编制)中。
In particular, it was noted that, although the UNCITRAL summary records were not part of the Official Records of the General Assembly, they did appear as masthead documents and in the UNCITRAL Yearbook (prepared in English, French, Russian and Spanish).将数码录音变成贸易法委员会年鉴的一部分的办法及相关成本和成本分配情况尚不清楚。
Mechanisms for making digital recordings part of UNCITRAL Yearbooks and costs associated with that and their allocation were not yet clear.年鉴目前只以电子方式在网上发布和使用光盘发布。
The Yearbook was currently published only in electronic form online and on CD-ROM.目前音频文件的大小几乎肯定使得不能使用光盘发布数码录音。
The size of the audio files would currently almost certainly prevent CD-ROM publication of digital recordings.274. 此外,在联合国正式文件系统(ODS)(自A/CN.9/SR.520(1994年)起)提供的简要记录完全可使用联合国所有六种语文在ODS中搜索(使用复杂选项)。
In addition, summary records made available in the United Nations Official Document System (ODS) (starting with A/CN.9/SR.520 (1994)) were fully searchable (with sophisticated options) in the ODS in all United Nations six languages.转载于贸易法委员会年鉴(以前只转载部分记录,现在转载全部记录)的所有简要记录也可在贸易法委员会网站上使用英文、法文、俄文和西班牙文(即发布贸易法委员会年鉴使用的语文)通过复杂程度较低的搜索引擎搜索。
All summary records reproduced in the UNCITRAL Yearbook (historically only selected records, but currently all) were also searchable on the UNCITRAL website, via a less sophisticated search engine, in English, French, Russian and Spanish (i.e.目前,数码录音尚不具备此类搜索选项。
the languages in which the UNCITRAL Yearbook was being published).275. 委员会回顾其上届会议曾提出在提供数码录音的同时附带提供录音记录稿的问题,据认为这种做法可缓解上文提出的一些关切。
Currently such searching options were not available for digital recordings.会上回顾,提到了仅以英文编写录音记录稿的可能性。
The Commission recalled that at its last session an issue of transcripts that could accompany digital recordings was raised, which was considered as alleviating some of the concerns raised above.102
It was recalled that reference was made to the possibility of preparing transcripts only in English.同上,第335段。
Ibid.276. 在这一评估的基础上,委员会决定将向贸易法委员会提供数码录音的同时也提供简要记录的做法至少再延期一年。
para.注意到委员会下届会议将再次评估数码录音的使用经验。
335. On the basis of that assessment, the Commission decided to prolong the practice of providing to UNCITRAL digital recordings in parallel with summary records for at least one more year.理解是在确定自简要记录向数码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。
It was noted that at its next session the Commission would again assess its experience with the use of digital recordings.表示相信随着技术的迅速发展,整个联合国将最终找到令人满意的解决办法。
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. Confidence was expressed that with rapid technological development, satisfactory solutions across the United Nations would eventually be found. Meanwhile, the practice with the use of digital recording of UNCITRAL meetings should continue and be appropriately monitored.与此同时,贸易法委员会会议使用数码录音的做法应继续下去,并得到适当监测。
B. Internship programmeB. 实习方案
The Commission recalled the considerations taken by its secretariat in selecting candidates for internship.277. 委员会回顾了秘书处在挑选实习人选时所作的考虑。 委员会获悉,自秘书处向委员会2013年7月第四十六届会议作口头报告以来,有23名新的实习生在贸易法委员会秘书处实习,其中9人在贸易法委员会亚洲及太平洋区域中心实习。
The Commission was informed that, since the Secretariat’s oral report to the Commission at its forty-sixth session, in July 2013, twenty-three new interns had undertaken an internship with the UNCITRAL secretariat, nine of whom in the UNCITRAL Regional Centre for Asia and the Pacific.多数实习生来自发展中国家和转型期国家,并且是女性。
Most interns had come from developing countries and countries in transition and were female.委员会获悉,由于自2013年7月1日起实行的实习生挑选程序,吸引的来自所有地理区域的申请数量大大增加。
The Commission was informed that the procedure for selecting interns that was put in place from 1 July 2013 allowed attracting considerably more applications from all geographical regions.因此,这也大大便利了寻找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的工作。
As a result, finding eligible and qualified candidates for internship from under-represented countries, regions and language groups has been considerably facilitated.103
Ibid. Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 328-330.同上,《第六十六届会议,补编第17号》(A/66/17),第328-330段。
The Commission was informed about significant changes introduced on 13 January 2014 in eligibility requirements for internship with the United Nations, which were expected to produce a further positive impact on the pool of qualified applicants.278. 委员会了解到2014年1月13日对联合国实习生资格要求所作的重大改动,预计这些改动将对合格申请人储备库产生进一步的积极影响。
Before that time, only students involved in a degree programme in a graduate school at the time of application and during the internship were eligible to apply.在此之前,只有在申请时和实习期间在读研究生学位课程的学生才有资格申请。
Since 13 January 2014, students in the final academic year of a first university degree programme and holders of a university degree who would be able to commence the internship within one year of graduation were also eligible to apply.自2014年1月13日起,在读第一个大学学位最后一学年的学生和持有大学学位而且能够在毕业一年内实习的人也有资格申请。
States and observer organizations were requested to bring those important changes to the attention of interested applicants.请各国和观察员组织提请有兴趣的申请人注意到这些重要改动。
C. Evaluation of the role of the Secretariat in facilitating the work of the CommissionC. 对秘书处在促进委员会工作方面所起作用的评价
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”.279. 委员会回顾,在委员会2007年第四十届会议上曾向其通报了2008-2009两年期方案预算,其中在秘书处的预期成绩中列出了“促进贸易法委员会的工作”。
The performance measure for that expected accomplishment was the level of satisfaction of UNCITRAL with the services provided, as evidenced by a rating on a scale ranging from 1 to 5 (5 being the highest rating).该项预期成绩的绩效衡量标准是贸易法委员会对所提供服务的满意度,以1-5分评定等级表中的评分(5分为最高评分)为凭据。
At that session, the Commission had agreed to provide feedback to the Secretariat.在该届会议上,委员会同意向秘书处提供反馈意见。
Ibid. Sixty-second Session, Supplement No. 17 (A/62/17), part one, para.104
243. A/62/6 (Sect. 8) and Corr.1, table 8.19 (d).同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第243段。
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.105
That practice had changed since the Commission’s forty-fifth session, in 2012.A/62/6(第八节)以及Corr.1,表8.19(d)。
As regards the forty-sixth session of UNCITRAL, such an evaluation questionnaire was circulated to all States by a note verbale of 27 May 2014.280. 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。
It covered the period from 8 July 2013 to 6 July 2014.自2012年委员会第四十五届会议起,这种做法有所变化。
The deadline for submission of evaluation was 6 July 2014, the day before the opening of the current session of the Commission.对于贸易法委员会第四十六届会议,这种评价调查表是通过2014年5月27日的普通照会分发给所有成员国的,涵盖2013年7月8日至2014年7月6日这一期间。
The Secretariat noted with regret that the 2014 questionnaire had elicited only six responses.提交评价的截止日期为2014年7月6日,即委员会本届会议开幕前一天。
Although the level of satisfaction with the services provided to UNCITRAL by the UNCITRAL secretariat remained high (five States respondents gave 5 out of 5 and one State respondent 4 out of 5), 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.281. 秘书处遗憾地注意到,2014年调查表只收回了6份答复。
This was required for budgetary and other purposes.尽管对贸易法委员会秘书处向贸易法委员会提供的服务的满意度仍然很高(总分为5分,有5个国家答卷人打了5分,1个国家答卷人打了4分),但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。
Distribution of the questionnaire in the Commission during the session elicited eleven additional responses (ten marked 5 out of 5 and one 4 out of 5).这是预算和其他方面所必需的。
The Commission exchanged views about some aspects of work of the Secretariat.282. 在委员会本届会议期间分发了调查表,又收回十一份答复(总分为5分,有十份答复打了5分,1份答复打了4分)。
Some delegations recalled the importance of timely production of documents in all six languages of the United Nations, although it was noted that constraints were understandable and it was clear that not all production steps were within the control of the UNCITRAL secretariat.283. 委员会就秘书处工作的某些方面交流了意见。
Suggestions were also made to reinforce technical assistance work, cooperation with regional organizations and academia, and to explore new means to disseminate information about UNCITRAL and its work.一些代表团回顾,有必要及时以联合国所有六种语文提供文件,但据指出,限制因素是可以理解的,而且显然所有制作步骤都在贸易法委员会秘书处的控制之下。
Most recent technical assistance efforts by the UNCITRAL secretariat, in particular in the area of dispute settlement in the Middle East, were referred to as potentially producing positive long-term impact.还有与会者建议加强技术援助工作、与区域组织和学术界的合作,探索新手段传播关于贸易法委员会及其工作的信息。
Efforts of the Secretariat to increase the visibility of UNCITRAL within the United Nations system and find appropriate synergies with other United Nations bodies were considered an important and welcome addition to the work of the UNCITRAL secretariat.贸易法委员会秘书处最近进行的技术援助工作,特别是在争议解决领域在中东提供的技术援助,据称多数有可能产生长期的积极影响。
The secretariat was encouraged to continue exploring such 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.284. 据认为,秘书处在联合国系统内提高贸易法委员会知名度并寻找与联合国其他机构形成适当协同效应的努力是对贸易法委员会秘书处工作的重要而受欢迎的补充。
In response to a suggestion to establish in the UNCITRAL secretariat a focal point for contacts with delegates, it was explained that the centralized mail box of UNCITRAL uncitral@uncitral.org was already treated as such.鼓励秘书处继续寻求这种协同效应并扩展与各国驻联合国机构代表团的联系,以使他们更多认识贸易法委员会的工作以及这些工作与联合国其他工作领域的关联。
Delegations in the Asia and Pacific Region were also encouraged to establish closer contact with the UNCITRAL Regional Centre for Asia and the Pacific.285. 有与会者建议在贸易法委员会秘书处设立一个与代表联络的联络点,对此建议的解释是,贸易法委员会的中央邮箱uncitral@uncitral.org已经用作联络点。
The presence of Member States at sessions of UNCITRAL was also discussed.还鼓励亚洲及太平洋区域的代表团与贸易法委员会亚洲及太平洋区域中心建立紧密的联系。
The number of delegations present at UNCITRAL sessions was considered by some delegates as indicative of the success of the work of UNCITRAL and its secretariat.286. 还讨论了会员国出席贸易法委员会届会的情况。
Other delegates argued that the interest of States in the work of UNCITRAL might be high but financial constraints did not allow some of them to send delegations to UNCITRAL sessions.一些代表认为,出席贸易法委员会届会代表团的数量反映了贸易法委员会及其秘书处工作的成功度。
It was recalled that the trust fund established to provide travel assistance to developing countries that were members of the Commission (see para.另一些代表团则认为,各国对贸易法委员会的工作可能有很大兴趣,但一些国家由于经济条件限制无法派代表团参加贸易法委员会届会。
168 above) and other measures as regards least developed countries envisaged in the annual resolutions of the General Assembly on the report of UNCITRAL intended to address that issue but success was limited.会上回顾,为了向贸易法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(见上文第168段),以及大会关于贸易法委员会报告的年度决议所规定的针对最不发达国家的其他措施,都是着眼于处理这一问题,但成效不大。
The suggestion was made that the Secretariat should undertake fundraising activities to raise according to any applicable rules required finance from donors and the private sector for such purpose.会上建议秘书处为此目的开展筹资活动,按照任何适用的规则,从捐助方和私营部门筹集所需的资金。
Costs involved were considered miniscule in comparison with benefits derived from participation of States in sessions of UNCITRAL.据认为,所涉费用与各国参加贸易法委员会届会所产生的益处相比是微不足道的。
A view was expressed that States should take more responsibility for the level and quality of participation of their delegations in the work of UNCITRAL.287. 有意见认为,各国应当对其代表团参与贸易法委员会工作的程度和质量承担更多责任。
A visible discrepancy between information entered in the lists of participants and delegations actually present in the room was noted.会上指出,列入与会者名单的信息和实际出席会议的代表团之间存在明显的差异。
It was also stated that States should also make more efforts to use the session time more efficiently.还指出,各国还应做出更大努力,更高效地利用届会时间。
After discussion, the Commission expressed general satisfaction with the work of the Secretariat and appealed to States to be more responsive to the request for evaluation of the role of the Secretariat in servicing UNCITRAL.288. 经讨论后,委员会表示对秘书处的工作总体满意,并呼吁各国更积极地响应对秘书处服务贸易法委员会的情况进行评价的请求。
It was noted that performance monitoring was important and was required across the United Nations.会上指出,对工作情况进行监测十分重要,在整个联合国都是必须的。
In response to proposals to make the evaluation exercise not so frequent, it was agreed that until new budget procedures were introduced, the procedure established since the Commission’s forty-fifth session, in 2012, would be followed that would require the annual evaluation by States of the role of the Secretariat in servicing UNCITRAL.针对减少评价频率的建议,会上一致认为,在实行新的预算程序之前,将遵循委员会2012年第四十五届会议以来设立的程序,其中要求各国每年对秘书处服务贸易法委员会的职能进行评价。
Positive aspects of that procedure were highlighted, in particular since it allowed to present comprehensive evaluation of services provided to UNCITRAL and its working groups throughout the year, not only during annual sessions of UNCITRAL.会上强调了这一程序的积极方面,特别是这样能够对全年(而非仅在贸易法委员会年度届会期间)向贸易法委员会及其工作组提供的服务进行综合评价。
XVIII. Date and place of future meetings十八. 今后会议的日期和地点
The Commission recalled that, at its thirty-sixth session, in 2003, it had agreed that: (a) its working groups should normally meet for a one-week session twice a year; (b) extra time, if required, could be allocated to a working group provided that such arrangement would not result in 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 an increase of the 12-week allotment, the request should be reviewed by the Commission, with proper justification being given by that working group regarding the reasons for which a change in the meeting pattern was needed.289. 委员会回顾,委员会在2003年第三十六届会议上商定如下:(a)各工作组一般应每年举行两届会议,每届会议为期一周;(b)如果需要,可以拨给额外时间,条件是此种安排不会超出目前分配给委员会所有六个工作组届会的每年会议服务12周这一总数;(c)如果某一工作组对额外时间的任何请求导致超出12周的分配量,应当由委员会加以审查,该工作组应就为何需要改变会议安排办法提出正当理由。 106
Official Records of the General Assembly, Fifty-eighth Session, Supplement No. 17 (A/58/17), para.《大会正式记录,第五十八届会议,补编第17号》(A/58/17),第275段。
275. The Commission also recalled that, at its forty-fifth session, in 2012, it took note of paragraph 48 of General Assembly resolution 66/246 on questions relating to the proposed programme budget for the biennium 2012-2013, by which the Assembly had decided to increase non-post resources in order to provide sufficient funding for servicing the work of the Commission for 14 weeks and to retain the rotation scheme between Vienna and New York.290. 委员会还回顾,委员会在2012年第四十五届会议上注意到大会第66/246号决议有关2012-2013两年期拟议方案预算相关问题的第48段,其中大会决定,增加非员额资源,以便为委员会14周的会务工作提供充足的资金,并且保留在维也纳和纽约之间交替开会的安排。
In the light of that decision, the Commission noted at that session that the total number of 12 weeks of conference services per year could continue being allotted to six working groups of the Commission meeting twice a year for one week if annual sessions of the Commission were no longer than two weeks.鉴于该项决定,委员会该届会议注意到,如果委员会年度会议不超过两周,每年总共有12周会议服务时间可继续分配给委员会的六个工作组,供其每年举行两次会期各为一周的会议。
The Commission noted that otherwise adjustments would need to be made to extend the fourteen-week allotment imposed during the 2012-2013 biennium for all sessions of the Commission and its working groups.委员会注意到,否则就需作出调整,在2012-2013两年期分配给委员会及其各工作组所有届会的14周时间的基础上予以增加。 107
Ibid. Sixty-seventh Session, Supplement No. 17 (A/67/17), para.同上,《第六十七届会议,补编第17号》(A/67/17),第258段。
258. A.A. 委员会第四十八届会议
Forty-eighth session of the Commission291. 鉴于上述考虑,委员会核准2015年6月29日至7月16日(7月17日是公共假日)在维也纳举行其第四十八届会议。
In the light of the considerations set out above, the Commission approved the holding of its forty-eighth session in Vienna from 29 June to 16 July 2015 (17 July being an official holiday).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。
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. 工作组届会 1. 委员会第四十七届和四十八届会议之间各工作组的届会 292. 鉴于上述考虑,委员会核准了各工作组的以下会议安排: (a) 第一工作组(中小微企业)将于2014年11月17日至21日在维也纳举行第二十三届会议,2015年4月13日至17日在纽约举行第二十四届会议;
B. Sessions of working groups(b) 第二工作组(仲裁和调解)将于2014年9月15日至19日在维也纳举行第六十一届会议,2015年2月2日至6日在纽约举行第六十二届会议;
1. Sessions of working groups between the forty-seventh and the forty-eighth sessions of the Commission(c) 第三工作组(网上争议解决)将于2014年10月20日至24日在维也纳举行第三十届会议,2015年2月9日至13日在纽约举行第三十一届会议;
In the light of the considerations set out above, the Commission approved the following schedule of meetings for its working groups:(d) 第四工作组(电子商务)将于2014年11月10日至14日在维也纳举行第五十届会议,2015年5月18日至22日在纽约举行第五十一届会议; (e) 第五工作组(破产法)将于2014年12月15日至19日在维也纳举行第四十六届会议,2015年5月26日至29日在纽约举行第四十七届会议;
(a) Working Group I (MSMEs) would hold its twenty-third session in Vienna from 17 to 21 November 2014 and the twenty-fourth session in New York from 13 to 17 April 2015;(f) 第六工作组(担保权益)将于2014年12月8日至12日在维也纳举行第二十六届会议,2015年4月20日至24日在纽约举行第二十七届会议。
(b) Working Group II (Arbitration and Conciliation) would hold its sixty-first session in Vienna from 15 to 19 September 2014 and its sixty-second session in New York from 2 to 6 February 2015;293. 委员会授权秘书处根据各工作组的需要对工作组会议安排作出调整。 日期一经确认,即请秘书处将工作组会议最后日程安排张贴在贸易法委员会网站上。 2. 在委员会第四十八届会议之后于2015年举行的各工作组届会 294. 委员会注意到,已经就委员会第四十八届会议之后各工作组2015年的会议作出暂定安排,但需委员会该届会议予以核准: (a) 第一工作组(中小微企业)将于2015年10月12日至16日在维也纳举行第二十五届会议; (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;
(c) Working Group III (Online Dispute Resolution) would hold its thirtieth session in Vienna from 20 to 24 October 2014 and its thirty-first session in New York from 9 to 13 February 2015;(c) 第三工作组(网上争议解决)将于2015年10月5日至9日在维也纳举行第三十二届会议;
(d) Working Group IV (Electronic Commerce) would hold its fiftieth session in Vienna from 10 to 14 November 2014 and its fifty-first session in New York from 18 to 22 May 2015;(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;
(e) Working Group V (Insolvency Law) would hold its forty-sixth session in Vienna from 15 to 19 December 2014 and its forty-seventh session in New York from 26 to 29 May 2015;(e) 第五工作组(破产法)将于2015年10月19日至23日在维也纳举行第四十八届会议;
(f) Working Group VI (Security Interests) would hold its twenty-sixth session in Vienna from 8 to 12 December 2014 and its twenty-seventh session in New York from 20 to 24 April 2015.(f) 第六工作组(担保权益)将于2015年12月14日至18日在维也纳举行第二十八届会议。
The Commission authorized the Secretariat to adjust the schedule of working group meetings according to the needs of the working groups.附件一
The Secretariat was requested to post on the UNCITRAL website the final schedule of the working group meetings once the dates had been confirmed.投资人与国家间基于条约仲裁透明度公约草案
2. Sessions of working groups in 2015 after the forty-eighth session of the Commission序言
The Commission noted that tentative arrangements had been made for working group meetings in 2015 after its forty-eighth session, subject to the approval by the Commission at that session:本公约缔约方,
(a) Working Group I (MSMEs) would hold its twenty-fifth session in Vienna from 12 to 16 October 2015;认识到仲裁作为一种争议解决办法对处理国际关系中可能出现的争议的价值,以及仲裁在各个方面广泛用于解决投资人与国家间的争议,
(b) Working Group II (Arbitration and Conciliation) would hold its sixty-third session in Vienna from 7 to 11 September 2015;还认识到解决投资人与国家间基于条约争议的透明度规定需要考虑到此类仲裁中所涉及的公共利益,
(c) Working Group III (Online Dispute Resolution) would hold its thirty-second session in Vienna from 5 to 9 October 2015;相信联合国国际贸易法委员会于2013年7月11日通过、自2014年4月1日生效的《投资人与国家间基于条约仲裁透明度规则》(《贸易法委员会透明度规则》)将大大有助于建立公平、高效解决国际投资争议的协调法律框架,
(d) Working Group IV (Electronic Commerce) would hold its fifty-second session in Vienna from 9 to 13 November 2015;注意到已有大量为投资或投资人提供保护的条约生效,促进《贸易法委员会透明度规则》适用于在这些已订立投资条约下进行的仲裁具有实际重要性,
(e) Working Group V (Insolvency Law) would hold its forty-eighth session in Vienna from 19 to 23 October 2015;还注意到《贸易法委员会透明度规则》第1条第(2)款和第(9)款,
(f) Working Group VI (Security Interests) would hold its twenty-eighth session in Vienna from 14 to 18 December 2015.兹商定如下:
Annex I Draft convention on transparency in treaty-based investor-State arbitration Preamble The Parties to this Convention, Recognizing the value of arbitration as a method of settling disputes that may arise in the context of international relations, and the extensive and wide-ranging use of arbitration for the settlement of investor-State disputes, Also recognizing the need for provisions on transparency in the settlement of treaty-based investor-State disputes to take account of the public interest involved in such arbitrations, Believing that the Rules on Transparency in Treaty-based Investor-State Arbitration adopted by the United Nations Commission on International Trade Law on 11 July 2013 (“UNCITRAL Rules on Transparency”), effective as of 1 April 2014, would contribute significantly to the establishment of a harmonized legal framework for a fair and efficient settlement of international investment disputes, Noting the great number of treaties providing for the protection of investments or investors already in force, and the practical importance of promoting the application of the UNCITRAL Rules on Transparency to arbitration under those already concluded investment treaties, Noting also article 1(2) and (9) of the UNCITRAL Rules on Transparency, Have agreed as follows: Scope of application适用范围
Article 1第1条
1. This Convention applies to arbitration between an investor and a State or a regional economic integration organization conducted on the basis of an investment treaty concluded before 1 April 2014 (“investor-State arbitration”).1. 本公约适用于根据2014年4月1日之前订立的投资条约,在投资人与国家或区域经济一体化组织之间进行的仲裁(“投资人与国家间仲裁”)。
2. The term “investment treaty” means any bilateral or multilateral treaty, including any treaty commonly referred to as a free trade agreement, economic integration agreement, trade and investment framework or cooperation agreement, or bilateral investment treaty, which contains provisions on the protection of investments or investors and a right for investors to resort to arbitration against contracting parties to that investment treaty.2. “投资条约”一词系指其中载有保护投资或投资人以及投资人对该投资条约缔约方诉诸仲裁的权利的规定的任何双边或多边条约,其中包括通常被称为自由贸易协定、经济一体化协定、贸易和投资框架或合作协定或者双边投资条约的任何条约。
Application of the UNCITRAL Rules on Transparency《贸易法委员会透明度规则》的适用
Article 2第2条 双边或多边适用
Bilateral or multilateral application1. 《贸易法委员会透明度规则》应适用于投资人与国家间的任何仲裁,不论该仲裁是否根据《贸易法委员会仲裁规则》提起,该仲裁的被申请人是一未根据第3条第(1)款(a)项或(b)项作出相关保留的缔约方,且申请人的所属国是一未根据第3条第(1)款(a)项作出相关保留的缔约方。
1. The UNCITRAL Rules on Transparency shall apply to any investor-State arbitration, whether or not initiated under the UNCITRAL Arbitration Rules, in which the respondent is a Party that has not made a relevant reservation under article 3(1)(a) or (b), and the claimant is of a State that is a Party that has not made a relevant reservation under article 3(1)(a).单方面提议适用
Unilateral offer of application2. 根据第1款不适用《贸易法委员会透明度规则》的,《贸易法委员会透明度规则》应适用于投资人与国家间的一项仲裁,不论该仲裁是否根据《贸易法委员会仲裁规则》提起,该仲裁的被申请人是一未根据第3条第(1)款就投资人与国家间的该仲裁作出相关保留的缔约方,且申请人同意适用《贸易法委员会透明度规则》。
2. Where the UNCITRAL Rules on Transparency do not apply pursuant to paragraph 1, the UNCITRAL Rules on Transparency shall apply to an investor-State arbitration, whether or not initiated under the UNCITRAL Arbitration Rules, in which the respondent is a Party that has not made a reservation relevant to that investor-State arbitration under article 3(1), and the claimant agrees to the application of the UNCITRAL Rules on Transparency.《贸易法委员会透明度规则》的适用版本 3. 根据第1款或第2款适用《贸易法委员会透明度规则》的,应适用被申请人未根据第3条第(2)款作出保留的该《规则》的最新版本。 《贸易法委员会透明度规则》第1条第(7)款 4. 《贸易法委员会透明度规则》第1条第(7)款最后一句不应适用于第1款下投资人与国家间的仲裁。 投资条约中的最惠国条款 5. 本公约缔约方同意,申请人不得援用最惠国条款,以根据本公约适用或规避适用《贸易法委员会透明度规则》。 保留 第3条 1. 缔约方可声明: (a) 一特定投资条约按标题和该投资条约缔约方的名称识别的,该缔约方不对在该投资条约下提起的投资人与国家间的仲裁适用本公约; (b) 第2条第(1)款和第(2)款不应适用于使用《贸易法委员会仲裁规则》以外的一套特定仲裁规则或程序进行的该缔约方是被申请人的投资人与国家间的仲裁; (c) 第2条第(2)款不应适用于该缔约方是被申请人的投资人与国家间的仲裁。
Applicable version of the UNCITRAL Rules on Transparency2. 在《贸易法委员会透明度规则》作出修订的情况下,缔约方可在该修订通过后六个月内声明其不适用《规则》的修订本。
3. Where the UNCITRAL Rules on Transparency apply pursuant to paragraph 1 or 2, the most recent version of those Rules as to which the respondent has not made a reservation pursuant to article 3(2) shall apply.3. 缔约方可在单一项文书中作出多项保留。
Article 1(7) of the UNCITRAL Rules on Transparency在此种文书中,每一项声明,凡在下列范围之内的,应构成一项单独的保留,该保留能够根据第4条第(6)款单独撤回:
4. The final sentence of article 1(7) of the UNCITRAL Rules on Transparency shall not apply to investor-State arbitrations under paragraph 1.(a) 该声明涉及第(1)款(a)项下的特定投资条约;
Most favoured nation provision in an investment treaty(b) 该声明涉及第(1)款(b)项下的一套特定的仲裁规则或程序;
5. The Parties to this Convention agree that a claimant may not invoke a most favoured nation provision to seek to apply, or avoid the application of, the UNCITRAL Rules on Transparency under this Convention.(c) 该声明系根据第(1)款(c)项提出;或者
Reservations Article 3 1. A Party may declare that: (a) It shall not apply this Convention to investor-State arbitration under a specific investment treaty, identified by title and name of the contracting parties to that investment treaty; (b) Article 2(1) and (2) shall not apply to investor-State arbitration conducted using a specific set of arbitration rules or procedures other than the UNCITRAL Arbitration Rules, and in which it is a respondent;(d) 该声明系根据第(2)款提出。
(c) Article 2(2) shall not apply in investor-State arbitration in which it is a respondent.4. 除本条明确授权的保留外,不允许作出任何保留。
2. In the event of a revision of the UNCITRAL Rules on Transparency, a Party may, within six months of the adoption of such revision, declare that it shall not apply that revised version of the Rules.保留的提出
3. Parties may make multiple reservations in a single instrument.第4条
In such an instrument, each declaration made:1. 缔约方可随时作出保留,但第3条第(2)款规定的保留除外。
(a) In respect of a specific investment treaty under paragraph (1)(a);2. 在签署时作出的保留,必须在批准、接受或核准时加以确认。
(b) In respect of a specific set of arbitration rules or procedures under paragraph (1)(b);此类保留应在本公约对有关缔约方生效时同时生效。
(c) Under paragraph (1)(c); or (d) Under paragraph (2); shall constitute a separate reservation capable of separate withdrawal under article 4(6). 4. No reservations are permitted except those expressly authorized in this article. Formulation of reservations Article 4 1. Reservations may be made by a Party at any time, save for a reservation under article 3(2). 2. Reservations made at the time of signature shall be subject to confirmation upon ratification, acceptance or approval. Such reservations shall take effect simultaneously with the entry into force of this Convention in respect of the Party concerned. 3. Reservations made at the time of ratification, acceptance or approval of this Convention or accession thereto shall take effect simultaneously with the entry into force of this Convention in respect of the Party concerned. 4. Except for a reservation made by a Party under article 3(2), which shall take effect immediately upon deposit, a reservation deposited after the entry into force of the Convention for that Party shall take effect twelve months after the date of its deposit. 5. Reservations and their confirmations shall be deposited with the depositary. 6. Any Party that makes a reservation under this Convention may withdraw it at any time. Such withdrawals are to be deposited with the depositary, and shall take effect upon deposit.3. 批准、接受或核准本公约或者加入本公约时作出的保留,应在本公约对有关缔约方生效时同时生效。
Application to investor-State arbitrations4. 除一缔约方根据第3条第(2)款作出的保留应于交存时立即生效外,在本公约对该缔约方生效后交存的保留应于该保留交存之日起十二个月后生效。
Article 55. 保留书及其确认书应交存保存人。
This Convention and any reservation, or withdrawal of a reservation, shall apply only to investor-State arbitrations that are commenced after the date when the Convention, reservation, or withdrawal of a reservation, enters into force or takes effect in respect of each Party concerned.6. 根据本公约作出保留的任何缔约方,可随时撤回该保留。
Depositary Article 6 The Secretary-General of the United Nations is hereby designated as the depositary of this Convention. Signature, ratification, acceptance, approval, accession Article 7此种撤回书应交存保存人,并应于交存时生效。
1. This Convention is open for signature in Port Louis, Mauritius, on 17 March 2015, and thereafter at the United Nations Headquarters in New York by any (a) State; or (b) regional economic integration organization that is constituted by States and is a contracting party to an investment treaty.对投资人与国家间仲裁的适用
2. This Convention is subject to ratification, acceptance or approval by the signatories to this Convention.第5条
3. This Convention is open for accession by all States or regional economic integration organizations referred to in paragraph 1 which are not signatories as from the date it is open for signature.本公约以及任何保留,或者对保留的撤回,仅适用于在本公约、保留或者对保留的撤回对每一有关缔约方生效或产生效力之日后提起的投资人与国家间的仲裁。
4. Instruments of ratification, acceptance, approval or accession are to be deposited with the depositary.保存人
Participation by regional economic integration organizations第6条
Article 8兹指定联合国秘书长为本公约保存人。
1. When depositing an instrument of ratification, acceptance, approval or accession, a regional economic integration organization shall inform the depositary of a specific investment treaty to which it is a contracting party, identified by title and name of the contracting parties to that investment treaty.签署、批准、接受、核准、加入 第7条
2. When the number of Parties is relevant in this Convention, a regional economic integration organization does not count as a Party in addition to its member States which are Parties.1. 本公约于2015年3月17日在毛里求斯路易港开放供(a)任何国家,或(b)由国家组成并作为投资条约缔约方的任何区域经济一体化组织签署,随后在纽约联合国总部开放供其签署。
Entry into force Article 9 1. This Convention shall enter into force six months after the date of deposit of the third instrument of ratification, acceptance, approval or accession. 2. When a State or a regional economic integration organization ratifies, accepts, approves or accedes to this Convention after the deposit of the third instrument of ratification, acceptance, approval or accession, this Convention enters into force in respect of that State or regional economic integration organization six months after the date of the deposit of its instrument of ratification, acceptance, approval or accession. Amendment Article 102. 本公约须经本公约签署方批准、接受或核准。
1. Any Party may propose an amendment to the present Convention by submitting it to the Secretary-General of the United Nations.3. 本公约对自开放供签署之日起未签署本公约的第1款所提及的所有国家或区域经济一体化组织开放供加入。
The Secretary-General shall thereupon communicate the proposed amendment to the Parties to this Convention with a request that they indicate whether they favour a conference of Parties for the purpose of considering and voting upon the proposal.4. 批准书、接受书、核准书或加入书应交存保存人。
In the event that within four months from the date of such communication at least one third of the Parties favour such a conference, the Secretary-General shall convene the conference under the auspices of the United Nations.区域经济一体化组织的参与
2. The conference of Parties shall make every effort to achieve consensus on each amendment.第8条
If all efforts at consensus are exhausted and no consensus is reached, the amendment shall, as a last resort, require for its adoption a two-thirds majority vote of the Parties present and voting at the conference.1. 一特定投资条约按标题和该投资条约缔约方的名称识别的,区域经济一体化组织应在交存批准书、接受书、核准书或加入书时将其作为缔约方的该投资条约告知保存人。
3. An adopted amendment shall be submitted by the Secretary-General of the United Nations to all the Parties for ratification, acceptance or approval.2. 当涉及本公约下缔约方数目时,区域经济一体化组织的成员国为缔约方的,该区域经济一体化组织不另算作缔约方。
4. An adopted amendment enters into force six months after the date of deposit of the third instrument of ratification, acceptance or approval.生效
When an amendment enters into force, it shall be binding on those Parties which have expressed consent to be bound by it.第9条
5. When a State or a regional economic integration organization ratifies, accepts or approves an amendment that has already entered into force, the amendment enters into force in respect of that State or that regional economic integration organization six months after the date of the deposit of its instrument of ratification, acceptance or approval.1. 本公约于第三份批准书、接受书、核准书或加入书交存之日起六个月后生效。
6. Any State or regional economic integration organization which becomes a Party to the Convention after the entry into force of the amendment shall be considered as a Party to the Convention as amended.2. 一国或一区域经济一体化组织在第三份批准书、接受书、核准书或加入书交存之后批准、接受、核准或加入本公约的,本公约于该国或该区域经济一体化组织交存批准书、接受书、核准书或加入书之日起六个月后对其生效。
Denunciation of this Convention修正
Article 11第10条
1. A Party may denounce this Convention at any time by means of a formal notification addressed to the depositary.1. 任何缔约方均可对本公约提出修正案,将其提交联合国秘书长。
The denunciation shall take effect twelve months after the notification is received by the depositary.秘书长应立即将所提修正案转发本公约缔约方,请其表示是否赞成召开缔约方会议,以对该修正提案进行审议和表决。 如果自通报之日起四个月内至少有三分之一缔约方赞成召开此种会议,秘书长应在联合国主持下召集缔约方会议。
2. This Convention shall continue to apply to investor-State arbitrations commenced before the denunciation takes effect.2. 缔约方会议应尽一切努力就每项修正案达成协商一致。
DONE in a single original, of which the Arabic, Chinese, English, French, Russian and Spanish texts are equally authentic.如果为达成协商一致作出一切努力而未达成协商一致,作为最后手段,该修正案须有出席缔约方会议并参加表决的缔约方的三分之二多数票方可通过。 3. 通过的修正案应由联合国秘书长提交给所有缔约方,请其批准、接受或核准。
IN WITNESS WHEREOF, the undersigned plenipotentiaries, being duly authorized by their respective Governments, have signed the present Convention.4. 通过的修正案自第三份批准书、接受书或核准书交存之日起六个月后生效。
Annex II修正案一经生效,即对已经表示同意受其约束的缔约方具有约束力。
List of documents before the Commission at its forty-seventh session5. 一修正案已经生效的,如果一国或一区域经济一体化组织批准、接受或核准该修正案,该修正案于该国或该区域经济一体化组织交存批准书、接受书或核准书之日起六个月后对其生效。
Symbol6. 凡是在修正案生效后成为本公约缔约方的国家或区域经济一体化组织,均应被视为经修正公约的缔约方。
Title or description退出本公约 第11条 1. 缔约方可通过向保存人发出正式通知的方式,于任何时间退出本公约。 退约应于保存人收到通知起十二个月后生效。 2. 本公约应继续适用于退约生效前已启动的投资人与国家间的仲裁。 ......订于......,正本一份,阿拉伯文、中文、英文、法文、俄文和西班牙文文本同为作准文本。 兹由经本国政府正式授权的下列署名全权代表签署本公约,以昭信守。 附件二 提交委员会第四十七届会议的文件一览表 文件号 标题或说明
A/CN.9/793A/CN.9/793
Provisional agenda, annotations thereto and scheduling of meetings of the forty-seventh session第四十七届会议临时议程、临时议程说明和会议时间安排
A/CN.9/794A/CN.9/794
Report of Working Group II (Arbitration and Conciliation) on the work of its fifty-ninth session第二工作组(仲裁和调解)第五十九届会议工作报告
A/CN.9/795A/CN.9/795
Report of Working Group III (Online Dispute Resolution) on the work of its twenty-eighth session第三工作组(网上解决争议)第二十八届会议工作报告
A/CN.9/796A/CN.9/796
Report of Working Group VI (Security Interests) on the work of its twenty-fourth session第六工作组(担保权益)第二十四届会议工作报告
A/CN.9/797A/CN.9/797
Report of Working Group IV (Electronic Commerce) on the work of its forty-eighth session第四工作组(电子商务)第四十八届会议工作报告
A/CN.9/798A/CN.9/798
Report of Working Group V (Insolvency Law) on the work of its forty-fourth session第五工作组(破产法)第四十四届会议工作报告
A/CN.9/799A/CN.9/799
Report of Working Group II (Arbitration and Conciliation) on the work of its sixtieth session第二工作组(仲裁和调解)第六十届会议工作报告
A/CN.9/800A/CN.9/800
Report of Working Group I (MSMEs) on the work of its twenty-second session第一工作组(中小微企业)第二十二届会议工作报告
A/CN.9/801A/CN.9/801
Report of Working Group III (Online Dispute Resolution) on the work of its twenty-ninth session第三工作组(网上解决争议)第二十九届会议工作报告
A/CN.9/802A/CN.9/802
Report of Working Group VI (Security Interests) on the work of its twenty-fifth session第六工作组(担保权益)第二十五届会议工作报告
A/CN.9/803A/CN.9/803
Report of Working Group V (Insolvency Law) on the work of its forty-fifth session第五工作组(破产法)第四十五届会议工作报告
A/CN.9/804A/CN.9/804
Report of Working Group IV (Electronic Commerce) on the work of its forty-ninth session第四工作组(电子商务)第四十九届会议工作报告
A/CN.9/805A/CN.9/805
Bibliography of recent writings related to the work of UNCITRAL贸易法委员会工作相关的近期著述书目
A/CN.9/806A/CN.9/806
Status of conventions and model laws各公约和示范法现状
A/CN.9/807A/CN.9/807
Planned and possible future work – Part I计划开展和今后可能开展的工作——第一部分
A/CN.9/808A/CN.9/808
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.9/809A/CN.9/809
Coordination activities协调活动
A/CN.9/810A/CN.9/810
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.9/811A/CN.9/811
Draft Model Law on Secured Transactions: Security Interests in Non-Intermediated Securities担保交易示范法草案:非中介证券上的担保权
A/CN.9/812A/CN.9/812
Settlement of commercial disputes: Draft convention on transparency in treaty-based investor-State arbitration解决商事争议:投资人与国家间基于条约仲裁透明度公约草案
A/CN.9/813 and Add.1A/CN.9/813和Add.1
Settlement of commercial disputes: Draft convention on transparency in treaty-based investor-State arbitration, Compilation of comments解决商事争议:投资人与国家间基于条约仲裁透明度公约草案,意见汇编
A/CN.9/814 and Adds.1-5A/CN.9/814和Adds.1-5
UNCITRAL Guide on the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 1958)贸易法委员会关于《承认及执行外国仲裁裁决公约》(1958年,纽约)的指南
A/CN.9/815A/CN.9/815
Report of the Fourth International Insolvency Law Colloquium第四届国际破产法专题讨论会报告
A/CN.9/816A/CN.9/816
Planned and possible future work – Part II计划开展和今后可能开展的工作——第二部分
A/CN.9/817A/CN.9/817
Online dispute resolution for cross-border electronic commerce transactions: Proposal by the Governments of Colombia, Kenya, Honduras and the United States of America跨境电子商务交易网上争议解决:哥伦比亚、肯尼亚、洪都拉斯和美国政府的提案
A/CN.9/818A/CN.9/818
Technical cooperation and assistance技术合作与援助
A/CN.9/819A/CN.9/819
Possible future work in Public-Private Partnerships (PPPs) Discussion paper – Part I今后可能就公私伙伴关系开展的工作 讨论文件——第一部分
A/CN.9/820A/CN.9/820
Possible future work in Public-Private Partnerships (PPPs) Discussion paper – Part II今后可能就公私伙伴关系开展的工作 讨论文件——第二部分
A/CN.9/821A/CN.9/821
Possible future work in Public-Private Partnerships (PPPs) Report of the UNCITRAL colloquium on PPPs今后可能就公私伙伴关系开展的工作 贸易法委员会公私伙伴关系学术讨论会的报告
A/CN.9/822A/CN.9/822
Planned and possible future work – Part III, Proposal by the Government of the United States of America: future work for Working Group II计划开展和今后可能开展的工作——第三部分,美利坚合众国政府的建议:第二工作组今后的工作
A/CN.9/823A/CN.9/823
Planned and possible future work – Part IV, Proposal by the Government of Canada: possible future work on electronic commerce – legal issues affecting cloud computing计划中的工作和今后可能开展的工作——第四部分,加拿大政府的建议:今后可能在电子商务领域开展的工作——影响云计算的法律问题