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United Nations联合国
Report of the United Nations Commission on International Trade Law联合国国际贸易法委员会报告
Forty-fourth session第四十四届会议
(27 June-8 July 2011)(2011年6月27日至7月8日)
General Assembly Official Records Sixty-sixth session Supplement No. 17大会 正式记录 第六十六届会议 补编第17号
General Assembly Official Records Sixty-sixth session大会 正式记录 第六十六届会议
Supplement No. 17补编第17号
Report of the United Nations Commission on International Trade Law联合国国际贸易法委员会报告
Forty-fourth session第四十四届会议
(27 June-8 July 2011)(2011年6月27日至7月8日)
United Nations • New York, 2011联合国 2011年,纽约
Note说明
Symbols of United Nations documents are composed of capital letters combined with figures. Mention of such a symbol indicates a reference to a United Nations document.联合国文件用英文大写字母附加数字编号。提到这种编号,即指联合国的某一个文件。
ContentsISSN 0251-916X 目录
Chapter章次
Page页次
1. Introduction1. 导言
11
2. Organization of the session2. 会议的组织
11
A. Opening of the sessionA. 会议开幕
11
B. Membership and attendanceB. 成员和出席情况
11
C. Election of officersC. 选举主席团成员
32
D. AgendaD. 议程
33
E. Adoption of the reportE. 通过报告
44
3. Finalization and adoption of the UNCITRAL Model Law on Public Procurement3. 最后审定和通过《贸易法委员会公共采购示范法》
44
A. IntroductionA. 导言
44
B. Consideration of the draft UNCITRAL Model Law on Public ProcurementB. 审议贸易法委员会公共采购示范法草案
54
C. Preparation of a Guide to Enactment to the revised Model LawC. 拟订《示范法》修订本《颁布指南》
3025
D. Promotion of the revised Model LawD. 推广《示范法》修订本
3226
E. Future work in the area of public procurementE. 公共采购领域今后的工作
3226
F. Adoption of the UNCITRAL Model Law on Public ProcurementF. 通过《贸易法委员会公共采购示范法》
3327
4. Finalization and adoption of judicial materials on the UNCITRAL Model Law on Cross-Border Insolvency4. 最后审定和通过关于《贸易法委员会跨国界破产示范法》的司法材料
3428
5. Arbitration and conciliation5. 仲裁和调解
3630
A. Progress reports of Working Group IIA. 第二工作组进度报告
3630
B. Mediation in the context of settlement of investor-State disputesB. 投资人与国家间争议解决中的调停
3831
6. Online dispute resolution: progress reports of Working Group III6. 网上争议解决:第三工作组的进度报告
4032
7. Insolvency law: progress report of Working Group V7. 破产法:第五工作组的进度报告
4133
A. Progress report of Working Group VA. 第五工作组的进度报告
4133
B. Ninth Multinational Judicial ColloquiumB. 第九次多国司法座谈会
4133
C. World Bank: treatment of natural persons in insolvencyC. 世界银行:破产中自然人的对待办法
4234
8. Security interests: progress reports of Working Group VI8. 担保权益:第六工作组进度报告
4234
9. Current and possible future work in the area of electronic commerce9. 目前和将来可能在电子商务领域开展的工作
4536
10. Possible future work in the area of microfinance10. 将来可能在小额金融领域开展的工作
4638
11. Endorsement of texts of other organizations: 2010 revision of the Uniform Rules for Demand Guarantees published by the International Chamber of Commerce11. 赞同其他组织的法规:国际商会公布的《即付担保书统一规则》2010年修订本
4939
12. Monitoring implementation of the 1958 New York Convention12. 监测1958年《纽约公约》的执行情况
5040
13. Technical assistance: law reform13. 技术援助:法律改革
5041
A. General discussionA. 一般讨论
5041
B. Establishing a regional presence of UNCITRALB. 建立贸易法委员会的区域存在
5242
14. Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts14. 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
5444
15.15. 贸易法委员会法规的现状和推广
Status and promotion of UNCITRAL legal texts 5544
16. Coordination and cooperation16. 协调与合作
5645
A. GeneralA. 概况
5645
B. Coordination and cooperation in the field of security interestsB. 在担保权益领域的协调与合作
5746
C. Reports of other international organizationsC. 其他国际组织的报告
5847
D. International governmental and non-governmental organizations invited to sessions of UNCITRAL and its working groupsD. 受邀参加贸易法委员会及其工作组届会的国际政府组织和非政府组织
6049
17. Role of UNCITRAL in promoting the rule of law at the national and international levels17. 贸易法委员会在促进国内和国际法治方面的作用
6250
A. IntroductionA. 导言
6250
B. Actions as regards relevant General Assembly resolutions at the current sessionB. 本届会议就大会有关决议采取的行动
6350
C. Summary of the panel discussion on the role of UNCITRAL in the promotion of the rule of law in conflict and post-conflict societiesC. 关于贸易法委员会对促进陷入冲突和冲突后社会的法治的作用的小组讨论概要
6351
D. ConclusionsD. 结论
6653
E. High-level meeting of the General Assembly on the rule of law at the national and international levels in 2012E. 2012年大会关于国内和国际各级法治的高级别会议
6754
18. International commercial arbitration moot competitions18. 国际商事模拟仲裁辩论赛
6854
A. General remarksA. 一般意见
6854
B. Willem C. Vis International Commercial Arbitration Moot 2011B. 2011年维斯国际商事模拟仲裁辩论赛
6855
MadridC. Commercial Arbitration Moot 2011C. 2011年马德里商事模拟仲裁辩论赛
6955
19. Relevant General Assembly resolutions19. 大会有关决议
6955
20.20. 其他事项
Other business 6956
A. Internship programmeA. 实习方案
6956
B. Evaluation of the role of the Secretariat in facilitating the work of the CommissionB. 对秘书处在促进委员会工作方面所起作用的评价
7056
C. Entitlement to summary recordsC. 获得简要记录的权利
7056
21. Date and place of future meetings21. 今后会议的日期和地点
7157
A. Consideration of a budget proposal made by the Secretary-General affecting the alternating pattern of UNCITRAL meetings in New Yorkand ViennaA. 审议秘书长提出的影响贸易法委员会在纽约和维也纳交替举行会议的一项预算 建议
7157
B. Forty-fifth session of the CommissionB. 委员会第四十五届会议
7459
C. Sessions of working groupsC. 各工作组的届会
7460
Annexes附件
1. UNCITRAL Model Law on Public Procurement1. 贸易法委员会公共采购示范法
7762
2. List of documents before the Commission at its forty-fourth session2. 委员会第四十四届会议文件一览表
138111
I. Introduction一. 导言
1. The present report of the United Nations Commission on International Trade Law (UNCITRAL) covers the forty-fourth session of the Commission, held in Viennafrom 27 June to 8 July 2011.1. 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2011年6月27日至7月8日在维也纳举行的第四十四届会议的情况。
2. Pursuant to General Assembly resolution 2205 (XXI) of 17 December 1966, this report is submitted to the Assembly and is also submitted for comments to the United Nations Conference on Trade and Development.2. 现根据大会1966年12月17日第2205 (XXI)号决议向大会提交本报告,同时一并提交联合国贸易和发展会议征求意见。
II. Organization of the session二. 会议的组织
A. Opening of the sessionA. 会议开幕
3. The forty-fourth session of the Commission was opened on 27 June 2011.3. 委员会第四十四届会议于2011年6月27日开幕。
B. Membership and attendanceB. 成员和出席情况
4. The General Assembly, in its resolution 2205 (XXI), established the Commission with a membership of 29 States, elected by the Assembly.4. 大会在第2205 (XXI)号决议中设立了由大会选出的29个成员国组成的贸易法委员会。
By its resolution 3108 (XXVIII) of 12 December 1973, the Assembly increased the membership of the Commission from 29 to 36 States.大会在1973年12月12日第3108 (XXVIII)号决议中将委员会成员国数量从29个增加到36个。
By its resolution 57/20 of 19 November 2002, the Assembly further increased the membership of the Commission from 36 States to 60 States.大会在2002年11月19日第57/20号决议中进一步将委员会成员国数量从36个增加到60个。
The current members of the Commission, elected on 22 May 2007, on 3 November 2009 and on 15 April 2010, are the following States, whose term of office expires on the last day prior to the beginning of the annual session of the Commission in the year indicated: Algeria (2016), Argentina (2016), Armenia (2013), Australia (2016), Austria (2016), Bahrain (2013), Benin (2013), Bolivia (Plurinational State of) (2013), Botswana (2016), Brazil (2016), Bulgaria (2013), Cameroon (2013), Canada (2013), Chile (2013), China (2013), Colombia (2016), Czech Republic (2013), Egypt (2013), El Salvador (2013), Fiji (2016), France (2013), Gabon (2016), Georgia (2015), Germany (2013), Greece (2013), Honduras (2013), India (2016), Iran (Islamic Republic of) (2016), Israel (2016), Italy (2016), Japan (2013), Jordan (2016), Kenya (2016), Latvia (2013), Malaysia (2013), Malta (2013), Mauritius (2016), Mexico (2013), Morocco (2013), Namibia (2013), Nigeria (2016), Norway (2013), Pakistan (2016), Paraguay (2016), Philippines (2016), Poland (2012), Republic of Korea (2013), Russian Federation (2013), Senegal (2013), Singapore (2013), South Africa (2013), Spain (2016), Sri Lanka (2013), Thailand (2016), Turkey (2016), Uganda (2016), Ukraine (2014), United Kingdom of Great Britain and Northern Ireland (2013), United States of America (2016) and Venezuela (Bolivarian Republic of) (2016).下列国家是分别于2007年5月22日、2009年11月3日和2010年4月15日选出的委员会现任成员,任期于所示年份的委员会年度届会开始前的最后一天届满:阿尔及利亚(2016年)、阿根廷(2016年)、亚美尼亚(2013年)、澳大利亚(2016年)、奥地利(2016年)、巴林(2013年)、贝宁(2013年)、多民族玻利维亚国(2013年)、博茨瓦纳(2016年)、巴西(2016年)、保加利亚(2013年)、喀麦隆(2013年)、加拿大(2013年)、智利(2013年)、中国(2013年)、哥伦比亚(2016年)、捷克共和国(2013年)、埃及(2013年)、萨尔瓦多(2013年)、斐济(2016年)、法国(2013年)、加蓬(2016年)、格鲁吉亚(2015年)、德国(2013年)、希腊(2013年)、洪都拉斯(2013年)、印度(2016年)、伊朗伊斯兰共和国(2016年)、以色列(2016年)、意大利(2016年)、日本(2013年)、约旦(2016年)、肯尼亚(2016年)、拉脱维亚(2013年)、马来西亚(2013年)、马耳他(2013年)、毛里求斯(2016年)、墨西哥(2013年)、摩洛哥(2013年)、纳米比亚(2013年)、尼日利亚(2016年)、挪威(2013年)、巴基斯坦(2016年)、巴拉圭(2016年)、菲律宾(2016年)、波兰(2012年)、大韩民国(2013年)、俄罗斯联邦(2013年)、塞内加尔(2013年)、新加坡(2013年)、南非(2013年)、西班牙(2016年)、斯里兰卡(2013年)、泰国(2016年)、土耳其(2016年)、乌干达(2016年)、乌克兰(2014年)、大不列颠及北爱尔兰联合王国(2013年)、美利坚合众国(2016年)、委内瑞拉玻利瓦尔共和国(2016年)。
5.
With the exception of Armenia, Bahrain, Benin, Botswana, Fiji, Gabon, Georgia, Greece, Latvia, Malta, Morocco, Pakistan, Senegal, South Africaand Uganda, all the members of the Commission were represented at the session.5. 除亚美尼亚、巴林、贝宁、博茨瓦纳、斐济、加蓬、格鲁吉亚、希腊、拉脱维亚、马耳他、摩洛哥、巴基斯坦、塞内加尔、南非、乌干达之外,委员会所有成员都派代表出席了本届会议。
6.
The session was attended by observers from the following States: Afghanistan, Angola, Belarus, Belgium, Costa Rica, Croatia, Cuba, Democratic Republic of the Congo, Dominican Republic, Ecuador, Finland, Guatemala, Indonesia, Iraq, Kuwait, Panama, Peru, Portugal, Qatar, San Marino, Saudi Arabia, Slovakia, Slovenia, Sweden, Switzerland, the former Yugoslav Republic of Macedonia, Uruguayand Yemen.6. 下列国家派观察员出席了本届会议:阿富汗、安哥拉、白俄罗斯、比利时、哥斯达黎加、克罗地亚、古巴、刚果民主共和国、多米尼加共和国、厄瓜多尔、芬兰、危地马拉、印度尼西亚、伊拉克、科威特、巴拿马、秘鲁、葡萄牙、卡塔尔、圣马力诺、沙特阿拉伯、斯洛伐克、斯洛文尼亚、瑞典、瑞士、前南斯拉夫的马其顿共和国、乌拉圭、也门。
7. The session was also attended by observers from Palestineand the European Union.7. 巴勒斯坦和欧洲联盟也派观察员出席了本届会议。
8. The session was also attended by observers from the following international organizations:8. 下列国际组织也派观察员出席了本届会议:
(a) United Nations system: United Nations Conference on Trade and Development (UNCTAD), United Nations Economic Commission for Europeand the World Bank;(a) 联合国系统:联合国贸易和发展会议(贸发会议)、联合国欧洲经济委员会、世界银行;
(b) Intergovernmental organizations: Asian-African Legal Consultative Organization, Inter-Parliamentary Assembly of the Eurasian Economic Community, International Development Law Organization, International Institute for the Unification of Private Law (Unidroit), Organization for Security and Cooperation in Europe (OSCE) and the World Customs Organization;(b) 政府间组织:亚非法律协商组织、欧洲经济共同体议会联盟大会、国际发展发组织、国际统一私法协会(统法协会)、欧洲安全与合作组织(欧安组织)、世界海关组织;
(c) Invited non-governmental organizations: Asociación Americana de Derecho Internacional Privado, Association droit et méditerranée (Jurimed), China International Economic and Trade Arbitration Commission, Comité Maritime International, European Company Lawyers Association, Forum for International Conciliation and Arbitration, International Air Transport Association, International Chamber of Commerce, International Credit Insurance and Surety Association, International Law Institute, Moot Alumni Association and New York State Bar Association.(c) 接到邀请的非政府组组织:美洲国际私法协会、法律与地中海协会(Jurimed)、中国国际经济和贸易仲裁委员会、国际海事委员会(海事委员会)、欧洲公司律师协会、国际调解和仲裁论坛、国际航空运输协会、国际商会、国际信贷保险和保证协会、国际法学会、模拟仲裁辩论赛校友会、纽约市律师协会。
9. The Commission welcomed the participation of international non-governmental organizations with expertise in the major items on the agenda.9. 委员会欢迎在主要议程项目方面拥有专门知识的国际非政府组织参加会议。
Their participation was crucial to the quality of texts formulated by the Commission, which requested the Secretariat to continue to invite such organizations to its sessions.它们参加会议对于提高委员会拟订的案文的质量至关重要,委员会请秘书处继续邀请这类组织参加其届会。
C. Election of officersC. 选举主席团成员
10. The Commission elected the following officers:10. 委员会选出了下列主席团成员:
Chair: Salim MOOLLAN (Mauritius)主席: Salim MOOLLAN(毛里求斯)
Vice-Chairs: Marek JEZEWSKI (Poland) Carlos SÁNCHEZ MEJORADA Y VELASCO (Mexico) Tore WIWEN-NILSSON (Sweden) (elected in his personal capacity)副主席: Marek JEZEWSKI(波兰) Carlos SÁNCHEZ MEJORADA Y VELASCO(墨西哥) Tore WIWEN-NILSSON(瑞典)(以个人身份当选)
Rapporteur: Mr. Kah Wei CHONG(Singapore)报告员: Kah Wei CHONG先生(新加坡)
D. AgendaD. 议程
11. The agenda of the session, as adopted by the Commission at its 925th meeting, on 27 June 2011, was as follows:11. 委员会在2011年6月27日第925次会议上通过的会议议程如下:
1. Opening of the session.1. 会议开幕。
2. Election of officers.2. 选举主席团成员。
3. Adoption of the agenda.3. 通过议程。
4. Finalization and adoption of the UNCITRAL Model Law on Public Procurement.4. 最后审定和通过《贸易法委员会公共采购示范法》。
5. Finalization and adoption of judicial materials on the UNCITRAL Model Law on Cross-Border Insolvency.5. 最后审定和通过关于《贸易法委员会跨国界破产示范法》的司法材料。
6. Arbitration and conciliation:6. 仲裁和调解:
(a) Progress reports of Working Group II;(a) 第二工作组的进度报告;
and
(b) Mediation in the context of settlement of investor-State disputes.(b) 解决投资人与国家之间争议时的调停。
7. Online dispute resolution: progress reports of Working Group III.7. 网上争议解决:第三工作组的进度报告。
8. Insolvency law: progress report of Working Group V.8. 破产法:第五工作组的进度报告。
9. Security interests: progress reports of Working Group VI.9. 担保权益:第六工作组的进度报告。
10. Current and possible future work in the area of electronic commerce.10. 目前和将来可能在电子商务领域开展的工作。
11. Possible future work in the area of microfinance.11. 将来可能在小额金融领域开展的工作。
12. Endorsement of texts of other organizations: 2010 revision of the Uniform Rules for Demand Guarantees published by the International Chamber of Commerce.12. 赞同其他组织的法规:国际商会公布的《即付担保书统一规则》2010年修订本。
13. Monitoring implementation of the New York Convention.13. 监测《纽约公约》的执行情况。
14. Technical assistance to law reform.14. 法律改革技术援助。
15. Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts.15. 推广确保统一解释和适用贸易法委员会法规的方式和方法。
16. Status and promotion of UNCITRAL legal texts.16. 贸易法委员会法规的现况和推广。
17. Coordination and cooperation:17. 协调与合作:
(a) General;(a) 概述;
(b) Coordination in the field of security interests;(b) 在担保权益领域的协调;
(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) 受邀参加贸易法委员会及其工作组届会的国际政府间组织和非政府组织。
18. Role of UNCITRAL in promoting the rule of law at the national and international levels.18. 贸易法委员会在促进国家和国际各级法治方面的作用。
19. International commercial arbitration moot competitions.19. 国际商事仲裁模拟辩论赛。
20. Relevant General Assembly resolutions.20. 大会有关决议。
21. Other business.21. 其他事项。
22. Date and place of future meetings.22. 今后会议的日期和地点。
23. Adoption of the report of the Commission.23. 通过委员会的报告。
E. Adoption of the reportE. 通过报告
12. At its 941st and 942nd meetings, on 8 July 2011, the Commission adopted the present report by consensus.12. 在2011年7月8日第941次和第942次会议上,委员会以协商一致方式通过了本报告。
III. Finalization and adoption of the UNCITRAL Model Law on Public Procurement三. 最后审定和通过《贸易法委员会公共采购示范法》
A. IntroductionA. 导言
13. The Commission recalled its previous discussions on the UNCITRAL Model Law on Procurement of Goods, Construction and Services of 1994 and its decision to entrust the drafting of proposals for revision of the 1994 Model Law to Working Group I (Procurement).13. 委员会回顾了以往就1994年《贸易法委员会货物、工程和服务采购示范法》进行的讨论以及责成第一工作组(采购)拟订1994年《示范法》修订建议的决定。
The Commission noted that the Working Group had begun its work on the revision at its sixth session, held in Viennafrom 30 August to 3 September 2004, and completed its work at its nineteenth session, held in Viennafrom 1 to 5 November 2010.委员会注意到,工作组在2004年8月30日至9月3日于维也纳举行的第六届会议上开始着手进行修订工作,在2010年11月1日至5日于维也纳举行的第十九届会议上完成了修订工作。
At its twentieth session, held in New Yorkfrom 14 to 18 March 2011, the Working Group had commenced work on the preparation of a revised Guide to Enactment.在2011年3月14日至18日于纽约举行的第二十届会议上,工作组开始进行《颁布指南》修订本的拟订工作。
14.
The Commission had before it at the current session: (a) the draft revised text of the Model Law on Public Procurement resulting from the nineteenth session of the Working Group, with an accompanying note by the Secretariat (A/CN.9/729 and Add.1-8); (b) a compilation of comments from Governments on that draft Model Law received by the Secretariat before the forty-fourth session of the Commission (A/CN.9/730 and Add.1 and 2); (c) a working draft of the Guide to Enactment to accompany the draft Model Law (A/CN.9/731 and Add.1-9 and A/CN.9/WG.I/WP.77 and Add.1-9); and (d) the reports on the nineteenth and twentieth sessions of the Working Group (A/CN.9/713 and A/CN.9/718).14. 委员会在本届会议上收到下列文件:(a)委员会第十九届会议产生的公共采购示范法修订本草案并随附秘书处说明(A/CN.9/729和Add.1-8);(b)秘书处在委员会第四十四届会议之前收到的各国政府对示范法草案的意见汇编(A/CN.9/ 730和Add.1及2);(c)示范法草案随附的颁布指南暂定草案(A/CN.9/731和Add.1-9,A/CN.9/WG.I/WP.77和Add.1-9);(d)工作组第十九届会议和第二十届会议报告(A/CN.9/713和A/CN.9/718)。
15. The Commission proceeded with the consideration of the draft Model Law.15. 委员会接着审议了示范法草案。
The Commission noted that the working draft of the Guide to Enactment was not to be considered during the session but was to be used only for reference to assist the Commission in consideration of the provisions of the draft Model Law.委员会注意到,颁布指南暂定草案并不准备放在本届会议期间审议,只供委员会审议示范法草案条文参考之用。
The Commission agreed to consider substantive issues first and drafting issues thereafter.委员会同意首先审议实质性问题,然后审议措词问题。
B. Consideration of the draft UNCITRAL Model Law on Public ProcurementB. 审议贸易法委员会公共采购示范法草案
16. It was agreed that references throughout the Model Law to “the member of the public”, the “general public” and the like should be replaced with references to “any person”.16. 会议商定,《示范法》凡提及“公共成员”和“普通公众”的词语及类似内容一律改为“任何人”。
Preamble序言
Subparagraph (b): the phrase “regardless of nationality”(b)项:短语“不论国籍”
17. Concern was expressed about the wording of the subparagraph in that it did not reflect the primary purpose of public procurement in many developing countries: to promote development of the domestic market and to encourage participation in the procurement proceedings of national suppliers or contractors.17. 对该项的措词表示了关切,因为它没有反映许多发展中国家公共采购的首要目的,即发展国内市场并鼓励本国供应商或承包商参加采购程序。
It was noted that the Guide explained the flexibility of the Model Law in that regard.据指出,《指南》就《示范法》在这方面的灵活性作了解释。
Subparagraph (d): the term “equitable”(d)项:词语“公正”
18. It was proposed to change the term “equitable” to “equal”.18. 会上提议将“公正”一词改为“平等”。
It was explained that the term “equitable” encompassed the same concept as “fair”, which was already in the subparagraph and different in substance from the term “equal”.解释说,“公正”一词包含的概念与已经写入该项的“公平”的概念相当,但与“平等”一词有实质性区别。
Concern was also expressed that the term “equitable” was open to different interpretations and possible misuse, such as favouritism, and that difficulties would be encountered in the enforcement of the concept of “equity” (from which the principle “equitable treatment” derived).会上表示的另一项关切是,“公正”一词可作不同解释,有可能导致滥用,例如偏袒,而且在执行“公正”概念时将遇到困难(“衡平待遇”原则即源自该词)。
19. Opposition was expressed to changing the term as it appeared in the draft and in the 1994 text, in particular because the term “equitable” was considered to be more flexible and already encompassed the principle of “equal treatment”.19. 对改换本草案以及1994年文本中的这个词表示了反对意见,主要是因为“公正”一词被认为更具灵活性,而且已经包含了“平等待遇”原则。
Concern was also expressed that a greater number of challenges might ensue from suppliers or contractors claiming that they were treated unequally.还表示担心的是,由此一来,供应商或承包商会提出更多质疑,声称他们受到了不平等待遇。
Other delegations urged flexibility as regards the use of either term, on the condition that the Guide would explain that participants in procurement proceedings ought to be treated equally in identical situations but might be treated differently in different circumstances.其他代表团则敦促无论使用哪个词都要显示灵活性,只需在《指南》中作如下解释,情况相同的,凡是参加采购程序的人都应受到平等待遇,但是,情形不同的,待遇可以有差别。
20. The Commission agreed to refer in the subparagraph to “fair, equal and equitable treatment” of all suppliers and contractors and explain in the Guide the meaning of that phrase.20. 委员会商定,在该项中提及对所有供应商和承包商的“公平、平等和公正待遇”,并在《指南》中对这段词语的含义作出解释。
Chapter I.General provisions第一章 总则
Article 2第2条
21. The understanding was that all definitions in the article would be listed in alphabetical order in all language versions of the final text.21. 会上的理解是,所有语文的最后文本都将按字母顺序列出该条中的各项定义。
22. It was agreed that the beginning of definition (e) should read “‘framework agreement procedure’ means a procedure”.22. 会上商定,(e)项定义的开头语应改为“‘框架协议程序’系指一种程序”。
23. It was further agreed that the article should contain new definitions of “pre-qualification” and “pre-selection”, which would read as follows: “‘Pre-qualification’ means the procedure set out in article 17 to identify, prior to solicitation, suppliers or contractors that are qualified;” and “‘Pre-selection’ means the procedure set out in article 48 (3) to identify, prior to solicitation, a limited number of suppliers or contractors that best meet the qualification criteria for the procurement concerned.”23. 会上还商定,第2条应载有“资格预审”和“预选”的新定义,新定义的内容如下:“‘资格预审’系指第17条所规定的在招标之前确定合格供应商或承包商的程序”;“‘预选’系指第48条第(3)款所规定的在招标之前确定最符合相关采购的资格标准的有限数目供应商或承包商的程序”。
24. It was proposed and agreed to delete the words in parentheses (“the ‘subject matter of the procurement’”) in definition (h).24. 会上建议并商定删除括号内的词语(“采购标的”)。
While the broadly held view was that there should be a definition of the subject matter of the procurement, which should be drafted so as to allow the appropriate use of the term throughout the Model Law, views varied on the wording.虽然普遍认为应当有一条采购标的定义,其措词应当便于《示范法》通篇适当使用该术语,但如何措词有不同看法。
The proposal was made that such a definition should draw on article 36, subparagraph (b), with the addition of the words “if appropriate” after the word “including”.会上提出可以借鉴第36条(b)项拟订这一定义,但需在“包括”一词之后加上“酌情”。
25. The alternative view was expressed that no such definition should be included, since the term was to be defined in each procurement, not in the law.25. 另一种看法是无需列入这样的定义,因为该术语应在每次采购中界定,而不是在法律中界定。
It was believed that the subject matter of a procurement was a question of fact which could not easily fall under a generic definition and that it was therefore better to leave such a definition open and to include the discussion on that subject in the Guide.据认为,采购标的是一个事实问题,不易作通类定义,因此最好不作结论,把有关讨论列入《指南》为妥。
26. The Commission deferred its decision on the proposal to a later stage.26. 委员会推迟到以后阶段就该建议作出决定。
27. After subsequent discussion, it was agreed that no definition of the subject matter of the procurement should be included in the Model Law.27. 经过后来的讨论,会议商定,《示范法》中不应列入采购标的的定义。
It was understood that the Guide would explain the term “subject matter of the procurement” used throughout the Model Law, including by drawing on provisions of article 36, subparagraph (b), or by stating that the “subject matter of the procurement” was what the procuring entity described as such at the outset of the procurement proceedings.会上的理解是,《指南》将解释《示范法》通篇使用的“采购标的”这一术语,这包括,或者借鉴第36条(b)项的规定,或者说明采购实体在采购程序开始时作此说明的就是“采购标的”。
28. The Commission agreed that definition (o), “solicitation”, should be expanded to refer to an invitation to tender, present submissions or participate in request-for-proposals proceedings or an electronic reverse auction but should not cover invitations for pre-qualification or for pre-selection.28. 委员会商定,(o)项定义中的“招标”应当扩大为指邀请投标、邀请递交提交书或邀请参加征求建议书程序或电子逆向拍卖,但不应包括邀请参加资格预审或预选。
Article 5, paragraph 1第5条第1款
29. The Commission agreed to delete the following words: “Except as provided for in paragraph (2) of this article, the text of”.29. 委员会商定删除条文中的下列词语:“但本条第(2)款规定的除外”以及“本法文本”中的“文本”一词。
It was the understanding that the Guide would clarify that paragraph 1 dealt with legal texts that did not encompass any internal documents (not being of general application) or case law (being covered by paragraph 2 of the article).会上的理解是,《指南》将澄清,第1款所涉及的法律文本并不包括任何内部文件(非一般适用)或判例法(该条第2款涉及)。
Article 8, paragraph 4第8条第4款
30. A query was raised as to whether the phrase “reasons and circumstances” referred to factual and legal justifications for the decision of the procuring entity.30. 会上问及“理由和情形”的提法是否是指采购实体决定的事实根据和法律根据。
The discussion of that term in the Working Group was recalled, and it was noted that the decision of the Working Group to use that term should not be reopened.会上回顾了工作组就该词进行的讨论,指出不应就工作组关于使用该术语的决定重新进行讨论。
31. It was agreed that the current wording would be retained, with the Guide explaining that in some jurisdictions the procuring entity would need to substantiate the reasons and circumstances with legal justifications, which would be reflected in relevant domestic enactments as necessary.31. 会上商定保留现有措词,并在《指南》中作出如下解释:在有些法域,采购实体需为支持此种理由和情形提供法律根据,这一点将视情况需要在国内颁布的相关法律中加以反映。
Article 9, paragraphs 2 (f) and 8 (a)第9条第2款(f)项和第8款(a)项
32. It was agreed that consistency between paragraphs 2 (f) and 8 (a) as regards references to “false statements” and “misrepresentations” should be ensured.32. 会上商定,应当确保第2款(f)项和第8款(a)项对“假报”和“虚报”提法的一致性。
It was agreed to add a reference to “misrepresentation” in paragraph 8 (a).会上商定在第8款(a)项中增加对“虚报”的提及。
Article 9, paragraph 8 (b)第9条第8款(b)项
33. Views differed on whether the phrase “may disqualify” should be replaced with “shall disqualify”. One view was that the procuring entity ought to be required to disqualify suppliers or contractors if they presented materially inaccurate or materially incomplete information; the other view was that such flexibility should be preserved, in particular to allow for clarifying whether an error or omission was deliberate or a simple mistake.33. 关于“可以取消资格”一语是否应改为“应当取消资格”,会上提出不同看法,一种看法是,如果供应商或承包商提交的资料在实质性方面失实或不完整,理应要求采购实体取消供应商或承包商的资格;另一种看法则认为应保留这种灵活性,这主要是为澄清某项错误或忽略是有意为之还是简单错误留出余地。
Concerns were raised about the negative impact of automatic disqualification on competition and an increased number of challenges if the proposed change was introduced.关于自动取消资格对竞争造成的不利影响以及一旦实行所提议的改动将导致质疑数量增加,会上表示关切。
34. The Commission agreed that the term “materially inaccurate or materially incomplete” should be clarified in all language versions and the concept explained in the Guide.34. 委员会商定,所有语文文本都应对“在实质性方面失实或在实质性方面不完整”这段词语作出澄清,而且《指南》也要对这一概念作出解释。
The need for a clarification procedure in the context of ascertainment of the qualifications of suppliers or contractors (similar to the one that existed in the context of abnormally low submissions under article 19 and in tendering proceedings under article 42 was considered in that context.为此审议了是否需为确定供应商或承包商的资格而设置一种澄清程序,此种程序类似于第19条中对异常低价提交书规定的程序和第42条中对投标程序规定的类似程序。
(For further consideration of this issue, see paras. 48-53 below.)(关于这一问题的进一步审议,见下文第47-52段。 )
35. Accordingly, the Commission agreed to retain the wording of article 9, paragraph 8 (b).35. 鉴于此,委员会商定保留第9条第8款(b)项的措词。
Article 10第10条
36. It was agreed that paragraph 1 should be redrafted as follows: “(a) The pre-qualification or pre-selection documents, if any, shall set out a description of the subject matter of the procurement; (b) The procuring entity shall set out in the solicitation documents the detailed description of the subject matter of the procurement that it will use in the examination of submissions, including the minimum requirements that submissions must meet in order to be considered responsive and the manner in which those minimum requirements are to be applied.”36. 一致同意第1款应当重拟如下:“(a)有资格预审文件或预选文件的,此类文件应当载列采购标的说明;(b)采购实体应当在招标文件中列出其用以评审提交书的采购标的详细说明,其中包括提交书被认为具响应性而必须达到的最低限要求,以及拟适用这些最低限要求的方式。
It was proposed that the Guide would highlight that paragraphs 1 (a) and 2 (a) of article 29 catered for situations in which there was no such detailed description.”建议《指南》应当强调,第29条第1款(a)项和第2款(a)项特别着眼于没有此类详细说明的情形。
37. It was further agreed to make the following changes: in paragraph 3 the words “including concerning” should be deleted, and paragraph 3 should read as follows: “(3) The description of the subject matter of the procurement may include, inter alia, specifications, plans, drawings, designs, requirements, testing and test methods, packaging, marking or labelling or conformity certification, and symbols and terminology.” ;37. 还一致同意作出下列修改:在第3款中,将“关于……的要求”改为“要求……”;第3款修改后内容如下:“(3)采购标的说明可以除其他外列入规格、平面图、图样、设计、要求、试验和试验方法、包装、标志标签或合格证、符号和术语。
the beginning of paragraph 4 should read “To the extent practicable, the description of the subject matter”; and the phrase “the relevant technical, quality and performance characteristics” should be used in paragraph 4 and elsewhere in the text of the Model Law as appropriate.”;第4款句首应改为“在可行情况下,采购标的说明”;第4款和《示范法》案文其他地方应酌情使用“有关技术特点、质量特点和性能特点”。
38. It was proposed that the second sentence in paragraph 4 should also prohibit the use of “specific production methods” in descriptions, so as to avoid the use of discriminatory requirements for prescribed methods in order to favour certain suppliers.38. 会上提出,第4款第二句还应禁止在采购标的说明中提及“具体生产方法”,以避免提出歧视性要求,为偏袒某些供应商而指定生产方法。
39. Views varied as regards the proposal.39. 关于这项建议有不同看法。
It was suggested that, if the reference to “specific production methods” were included, the accompanying Guide text should state as follows: “With regard to specified production methods, and with due regard to paragraph (5), which calls for standardized technical requirements, in some cases there may be no equivalent production methods and the solicitation may so note.”有建议认为,如果列入提及“具体生产方法”的内容,《指南》中就要有相应的案文:“关于具体规定的生产方法,如果适当考虑到第(5)款对标准化技术要求的规定,在有些情况下可能没有等同的生产方法,而招标时也会作此说明。
40. The proposal was subsequently withdrawn.40. 此项提议随后撤回。
It was noted in particular that the original wording as appeared in the draft and in the 1994 text was traced back to the wording of equivalent provisions of the 1994 Agreement on Government Procurement of the World Trade Organization (WTO) and that in some procurement methods specification of the production method was essential for ensuring quality.特别指出,本草案和1994年文本中使用的原措词可以追溯到1994年世界贸易组织(世贸组织)《政府采购协定》相应条款的措词;而且,在有些采购方法中,具体规定生产方法是确保质量所必需的。
41. The Commission agreed that the Guide text would discuss the risks of discrimination where specific production methods were mentioned by drawing attention to the prohibition against discriminatory treatment in paragraph 2 of article 10.41. 委员会商定,《指南》的案文将讨论在提及具体生产方法的情况下出现歧视的风险,为此将提醒注意第10条第2款中的禁止歧视性待遇的规定。
Article 11第11条
42. It was proposed that the phrase in paragraph 3 “and expressed in monetary terms” should be replaced with “and/or expressed in monetary terms”, since it would not always be possible to express all evaluation criteria in monetary terms.42. 会上提议把第3款中“并以金额表示”改为“并且/或者以金额表示”,因为以金额表示所有评审标准并非总是可行的。
The understanding of some delegations was that the words “to the extent practicable”, if applied to all three requirements in the provision (that the evaluation criteria must be objective, quantifiable and expressed in monetary terms), would achieve the same result as the proposed redraft.有些代表团这样理解,即如果用“在可行范围内”一语限定条文中的所有三项要求(即评审标准须力求客观、量化并以金额表示),则可达至重拟提议的同样效果。
Concern was expressed, however, that such a caveat should not apply to evaluation criteria in electronic reverse auctions where it was required that all evaluation criteria should be quantifiable and expressed in monetary terms for such auctions to be held. (The relevant provision requiring a formula in electronic reverse auctions would be explained in the Guide.) The Commission deferred its decision on the wording of the article to a later stage.不过,有与会者关切地指出,此种解释并不能适用于电子逆向拍卖中的评审标准,此种拍卖要求所有评审标准都应当可量化并以金额表示,否则不能举行电子逆向拍卖(《指南》将就要求在电子逆向拍卖中使用某种公式的相关规定作出解释)。 委员会推迟到稍后阶段就该条的措词作出决定。
43.
After subsequent discussion, it was agreed that: paragraph 2 chapeau and subparagraph (a) should read as follows: “The evaluation criteria relating to the subject matter of the procurement may include: (a) Price”; paragraph 3 should be redrafted as follows: “To the extent practicable, all non-price evaluation criteria shall be objective, quantifiable and expressed in monetary terms,” with the Guide explaining that the expression “in monetary terms” would not be applicable to all cases; in paragraph 4 (b), after the words “domestically produced goods,” the words “or any other preference” should be added; paragraph 5 (b) should be redrafted as follows: “All evaluation criteria established pursuant to this article, including price as modified by any preference;” and paragraph 5 (c) should be redrafted as follows: “The relative weights of all evaluation criteria, except where the procurement is conducted under article 48, in which case the procuring entity may list all evaluation criteria in descending order of importance.”43. 此后经过讨论商定如下:第2款起首句和(a)项应当改为;“与采购标的有关的评审标准可以包括:(a)价格”;第3款应当重拟如下:“所有非价格评审标准均应在可行范围内力求客观、量化并以金额表示”,并在《指南》中解释,“金额”一语并非所有情况下均适用;在第4款(b)项中,应在“给予国产货物的优惠幅度”一语之后添加“或其他任何优惠幅度”;第5款(b)项应当重拟如下:“依据本条确定的所有评审标准,包括根据任何优惠作出修订的价格”;第5款(c)项应当重拟如下:“所有评审标准的相对权重,但根据第48条进行的采购除外,在此种采购中,采购实体可按重要性递减顺序列出所有评审标准”。
Article 13第13条
44. It was agreed that the wording of the article should not change but that the Guide should discuss the options in the text regarding the languages to be used in the pre-qualification, pre-selection and solicitation documents.44. 会上商定,本条的措词不能改,但应在《指南》中就案文中关于资格预审文件、预选文件和招标文件拟使用语文的选项作出论述。
Article 14第14条
45. It was agreed to add in paragraph 1 the word “in” before the words “the pre-qualification or pre-selection documents”.45. 会上商定,第1款中,在“the pre-qualification or pre-selection documents”之前添加“in”。
46. It was understood that any changes made to the solicitation, pre-qualification or pre-selection documents in accordance with article 14 would be material and therefore covered by paragraph 3 of article 15; the link between the provisions would be highlighted in the Guide.46. 会上的理解是,根据第14条对招标文件、资格预审文件或预选文件所作的任何改动都将是实质性的,因此在第15条第3款涵盖的范围之内;《指南》将突出指明这些条款之间的联系。
Article 15, paragraph 1第15条第1款
47. It was agreed to replace the phrase “such time as will” with the phrase “a time period that will” in the third sentence.47. 会上商定,第三句中的“such time as will”改为“a time period that will”。
New article 15 bis on clarification of qualification information and of submissions新的第15条之二:关于澄清资质信息和提交书
48. The attention of the Commission was drawn to the provisions in document A/CN.9/730 on clarification of qualification data and submissions.48. 会上提请委员会注意A/CN.9/730号文件中关于澄清资质信息和提交书的条款。
The Commission considered whether a generic article on clarification of qualification data and submissions should be added in chapter I of the Model Law or whether the subject should be dealt with in all relevant articles.委员会审议了是否应在第一章中添加关于澄清资质信息料和提交书的通用条款,或者是否应在所有相关条款中述及这一问题。
While some delegations preferred the former approach, others preferred the latter, in particular because it allowed adapting provisions on clarification to suit the various procedures, taking into account, in particular, points of time when the need to request clarification might arise.一些代表团倾向于前一种办法,另一些代表团倾向于后者,特别是因为后者允许调整关于澄清的规定以适应各种程序,尤其是考虑到需要提出澄清请求的时间点。
49. In discussion of articles 45 and 46, the point was made that any provisions providing for the right of the procuring entity to seek clarification should be coupled with a prohibition against entering into negotiations during such clarification procedures.49. 在讨论第45条和第46条时指出,任何条文规定采购实体寻求澄清的权利都应当同时禁止在此澄清程序中进行谈判。
It was noted that such a prohibition would be in addition to the prohibition of negotiations included in the context of some methods of procurement, such as under article 45.还指出,除了已经针对一些采购方法(例如第45条中)作出的禁止谈判的规定之外,还应加上这样一条禁止谈判的规定。
50. It was also pointed out that certain paragraphs of article 46 illustrated the varying points of time in request-for-proposals-without-negotiation proceedings at which the procuring entity might wish to ask for clarification.50. 还指出,第46条某些款项列出不通过谈判征求建议书程序中采购实体可以要求澄清的不同时间点。
It was noted that the generic article on clarification of qualification data and submissions should take into account that such points of time would vary depending on procurement methods and when qualifications were assessed.会上指出,关于澄清资质信息和提交书的通用条款应当考虑到,此种时间点将取决于不同采购方法以及何时进行资格认定。
51.
It was subsequently agreed that paragraph 1 of article 42 should be used as a basis for drafting a generic article on clarification of qualification data and submissions to be included in chapter I. It was also agreed that that generic article would in addition reflect: (a) that the procedure involved a clarification procedure, and not negotiations; and (b) that a complete record of the exchange of all information during the clarification procedure ought to be included in the record of the procurement proceedings under article 24.51. 会议随后商定,在起草要列入第一章的关于澄清资质信息和提交书的通用条款时,应以第42条第1款为基础。 还商定,该通用条款还应反映以下内容:(a)该程序所涉及的是一种澄清程序,而不涉及谈判;(b)应当在第24条所规定的采购程序记录中完整记录在澄清程序中交换的所有信息。
The Commission agreed to consider the draft provision at a later stage.委员会商定在稍后阶段审议该条款草案。
52. Later in the session, it was agreed to include the following new article in the Model Law:52. 会议随后商定,在《示范法》中列入以下新条款:
“Article 15 bis. Clarification of qualification information and of submissions“第15条之二. 资质信息和提交书的澄清
1. At any stage of the procurement proceedings, the procuring entity may ask a supplier or contractor for clarifications of its qualification information or of its submission, in order to assist in the ascertainment of qualifications or the examination and evaluation of submissions.1. 在采购程序的任何阶段,采购实体可以要求供应商或承包商为协助资格的确定或投标书的审查和评审而对其资质信息或其提交书作出澄清。
2. The procuring entity shall correct purely arithmetical errors that are discovered during the examination of submissions.2. 采购实体应当纠正在提交书审查期间发现的纯粹计算错误。
The procuring entity shall give prompt notice of any such correction to the supplier or contractor that presented the submission concerned.采购实体应当迅速将任何此种纠正通知发给递交了有关提交书的供应商或承包商。
3. No substantive change to qualifications information, and no substantive change to a submission (including changes aimed at making an unqualified supplier or contractor qualified or an unresponsive submission responsive), shall be sought, offered or permitted.3. 不得谋求、提议或允许对资质信息作出实质性改变,或者对提交书作出实质性改变(其中包括为了使不具资格的供应商或承包商具备资格或者使不具响应性的提交书成为具响应性提交书而作出的改变)。
4. No negotiations shall take place between the procuring entity and a supplier or contractor with respect to qualification information or submissions, nor shall any change in price be made, pursuant to a clarification that is sought under this article.4. 不得在采购实体和供应商或承包商之间就资质信息或提交书进行任何谈判,也不得在根据本条要求澄清之后根据所作澄清对价格作出任何改变。
5. Paragraph (4) of this article shall not apply to proposals submitted under article 48, 49, 50 or 51.5. 本条第(4)款不适用于根据第48条、第49条、第50条或第51条提交的建议书。
6. All communications generated under this article shall be included in the record of the procurement proceedings.”6. 根据本条产生的所有通信均应载入采购程序记录。
53. It was understood that the Guide should elaborate on the difference between a change in price and a correction of the price.53. 会上的理解是,《指南》应当就价格的改动与价格的纠正这两者的区别加以论述。
Article 16, paragraph 1 (c)第16条第1款(c)项
54. The need for subparagraph (ii) was questioned given the similar wording in paragraph 1 (b).54. 有与会者问,鉴于第1款(b)项有类似措词,是否有必要保留第㈡目。
The Commission deferred the consideration of the wording of paragraph 1 (c) to a later stage.委员会推迟到稍后阶段审议第1款(c)项的措词。
55. After subsequent discussion, it was agreed to delete subparagraph (ii) and merge subparagraph (i) with the chapeau provisions of subparagraph (c).55. 此后经过讨论商定,删除第㈡目,第㈠目与(c)项的启首语合并。
Article 17, paragraph 2第17条第2款
56. It was proposed that the procurement regulations, not the Law, should identify a publication in which an invitation to pre-qualify should be published.56. 会上提出应在采购条例而非法律中指明在何种出版物上登载资格预审邀请书。
The Commission agreed with the proposed wording to that end in document A/CN.9/730.委员会同意A/CN.9/730号文件中为此提出的措词。
The understanding was that the same change would be made throughout the Model Law to equivalent provisions.此处的理解是,将对《示范法》全文中与之等同的条款作同样的修改。
57. Reflecting that agreement, as well as the agreement reached at the session as regards the revisions to be made in paragraph 2 of article 32 of the draft (see paras. 92-99 below), the Commission agreed to revise paragraph 2 as follows: “(2) If the procuring entity engages in pre-qualification proceedings, it shall cause an invitation to pre-qualify to be published in the publication identified in the procurement regulations.57. 鉴于此项一致意见以及本届会议拟就草案第32条第2款的修订达成的一致意见(见下文第93-100段),会上商定对第2款修改如下:“(2)采购实体进行资格预审程序,应当在采购条例所确定的出版物上登载资格预审邀请书。
Unless decided otherwise by the procuring entity in the circumstances referred to in article 32 (4) of this Law, the invitation to pre-qualify shall also be published internationally, so as to be widely accessible to international suppliers or contractors.”除非采购实体在本法第32条第(4)款述及的情况下另有决定,否则还应当在国际上登载资格预审邀请书,以便使国际供应商或承包商能够广泛查取。
Article 17, paragraph 3 (b)第17条第3款(b)项
58. The Commission deferred the consideration of a proposal to replace the word “timetable” with the phrase “envisaged or indicative timetable”.58. 委员会推迟审议将“时间表”改为“所设想的时间表或暂定时间表”的建议。
The view was expressed that the wording already allowed for sufficient flexibility.有意见认为,原措词已经容许了足够的灵活性。
59. After subsequent discussion, it was agreed to replace the phrase “as the desired or required time for the supply of the goods or for the completion of the construction, or the timetable for the provision of the services” with the phrase “as the desired or required time for the supply of the goods, for the completion of the construction, or for the provision of the services;”.59. 此后经过讨论商定,“以及希望或要求供应货物的时间或工程竣工时间,或者提供服务的时间表”改为“以及希望或要求的供货时间、竣工时间或提供服务的时间;”。
Article 19, paragraphs 1 (c) and 2第19条第1款(c)项和第2款
60. It was agreed that subparagraph (c) should be deleted and the following wording should replace paragraph 2: “The decision of the procuring entity to reject a submission in accordance with this article and the reasons for that decision, and all communications with the supplier or contractor under this article shall be included in the record of the procurement proceedings.60. 会上商定,删除(c)项,并对第2款修改如下:“采购实体根据本条作出的否决提交书的决定及其理由,以及根据本条与供应商或承包商的所有通信,均应载入采购程序记录。
The decision of the procuring entity and the reasons therefor shall be promptly communicated to the supplier or contractor concerned.”采购实体的决定及其理由应当迅速告知有关的供应商或承包商。
It was the understanding that, as a consequence, changes would be introduced in paragraph 1 as follows: “and” would be added after subparagraph (a), and “and” after subparagraph (b) would be deleted.”会上的理解是,将因此而对第1款作如下调整:(a)项之后加上“并且”,删除(b)项后面的“并且”。
Article 20第20条
61. Regarding a comment in document A/CN.9/730/Add.1, the prevailing view was that no de minimis threshold should be introduced in paragraph 1, in order to be consistent with international anti-corruption regulations that linked, as did paragraph 1 of the draft, the relevant act of the supplier or contractor to its intention to influence an act or decision of the procuring entity.61. 关于A/CN.9/730/Add.1号文件中的一条意见,与会者普遍认为,不应在第1款中规定最低阈值,以便与国际反腐败条例保持一致,这些条例与本草案第1款一样,将供应商或承包商的有关行为与其影响采购实体行为或决定的意图联系起来。
The understanding was that the Guide would explain the relevant issues, with reference to national provisions and practices, and should indicate that even small items could constitute inducements in some circumstances.会上的理解是,《指南》将解释有关问题,并提及各国的规定和做法,还应指明,在某些情形下,即使很小的物品也可能构成利诱。
62. Regarding another comment in document A/CN.9/730/Add.1, it was agreed that no additional language to clarify the notion of “unfair competitive advantage” in paragraph 1 (b) should be added.62. 关于A/CN.9/730/Add.1号文件中的一条意见,会上一致认为,不应在第1款(b)项中添加措词澄清“不公平竞争优势”这一概念。
Support was expressed for the current approach in the draft Guide encouraging enacting States to consider the issue in the light of the prevailing circumstances (and the use of examples was suggested, such as that a supplier or contractor that had drafted a description should not be permitted to participate because it would have such an unfair advantage, an example also referred to in the 1994 WTO Agreement on Government Procurement.有与会者赞同《指南》草案目前采用的办法,即鼓励颁布国按照普遍情况考虑这一问题(有与会者建议列举实例,如不应允许起草说明的供应商或承包商参加,因为该供应商或承包商将具有这种不公平优势,1994年世贸组织《政府采购协定》也举了这个例子)。
The importance of considering competition issues not only in the context of a particular procurement proceeding but also in the light of the competition policies of States at a macroeconomic level was highlighted.有与会者强调,在考虑竞争问题时,不仅应当结合具体采购程序的情况,还应顾及各国在宏观经济层面的竞争政策。
Article 21, paragraph 2 (c)第21条第2款(c)项
63. The Commission agreed that the duration of the standstill period was to be established by the procuring entity in the solicitation documents and in accordance with the requirements of the procurement regulations.63. 委员会一致认为,停顿期期限应由采购实体按照采购条例的要求在招标文件中规定。
It was the understanding that the procurement regulations might fix different minimums for different types of procurement and that the Model Law would require the procurement regulations to address the standstill period(s).会上的理解是,采购条例可以对不同类型的采购规定不同的最短期限,《示范法》将要求采购条例述及停顿期。
Article 21, paragraph 3 (b)第21条第3款(b)项
64. It was agreed that the paragraph should be replaced with the following wording: “Where the contract price is less than the threshold amount set out in the procurement regulations; or”.64. 会上商定对该项修改如下:“合同价格低于采购条例中列明的阈值;或者”。
It was noted that that change would make the wording consistent with the drafting of the relevant part of paragraph 2 of article 28.据指出,改动后的措词将与第28条第2款相关部分的措词一致。
Article 21, paragraph 7第21条第7款
65. The proposal was made to include at the end of the last sentence the phrase “unless the extension has been granted to the procuring entity by suppliers or contractors that presented submissions and the entities that provided the tender security.”65. 会上提议在最后一句末尾添加以下语句:“除非递交提交书的供应商或承包商或者提供投标担保的实体同意采购实体展延其有效期。
The Commission noted the related provisions in article 40 of the draft and deferred its decision on the drafting to a later stage.”委员会注意到草案第40条中的相关规定,并推迟到稍后阶段就该措词作出决定。
66. After subsequent discussion, it was ultimately agreed that the following provision (or its equivalent) should be introduced: “unless extended under article 40 (2)”.66. 此后经过讨论,最后商定加上以下规定(或其等同规定):“除非根据第40条第(2)款展延”。
Article 22, paragraph 2第22条第2款
67. The Commission recalled its decision as regards article paragraph 3 (b) of article 21 (see para. 64 above) and agreed that a similar change would be made in paragraph 2 of article 22.67. 委员会回顾其就第21条第3款(b)项所做的决定(见上文第65段),并商定在第22条第2款中作类似的改动。
Article 23, paragraph 3第23条第3款
68. Concern was expressed about the reference to solicitation documents in the second sentence of the paragraph.68. 会上对该款第二句中提及招标文件表示关切。
Requiring suppliers or contractor to grant blanket ex ante consent to disclose confidential information during the procurement proceedings was considered to facilitate manipulation by the procuring entity.据认为,要求供应商或承包商在事前一律同意在采购程序期间披露机密信息,会便于采购实体进行操纵。
The Commission agreed to delete the phrase “or permitted in the solicitation documents” and to explain in the Guide that requiring consent to disclose such information should be carefully considered in the light of the potentially anti-competitive effect of doing so.委员会同意删去“或除非招标文件允许”一语,并在《指南》中解释,在要求同意披露此类信息时应当深思熟虑,顾及这样做可能造成的反竞争效应。
69. A question was also raised about the intended scope of the second sentence, and it was agreed to revise the draft to make it clear that the provisions applied only in the context of the procurement methods referred to in the first sentence.69. 还问及第二句所要涵盖的范围,会上商定修改此处的措词,以明确说明这些规定仅适用于第一句提及的采购方法。
70. After subsequent discussion, it was agreed that the paragraph should read as follows: “Any discussions, communications, negotiations and dialogue between the procuring entity and a supplier or contractor pursuant to paragraph 3 of article 47 and to articles 48 to 50 of this Law shall be confidential.70. 此后经过讨论商定,该款修改如下:“采购实体与供应商或承包商之间根据本法第47条第3款和第48条至第50条进行的任何讨论、通信、谈判和对话均应保密。
Unless required by law or ordered by the [name of the court or courts] or the [name of the relevant organ designated by the enacting State], no party to any such discussions, communications, negotiations or dialogue shall disclose to any other person any technical, price or other information relating to these discussions, communications, negotiations or dialogue without the consent of the other party.”除非法律要求或者[法院名称]或[颁布国指定的有关机关的名称]下令,否则任何参与此种讨论、通信、谈判或对话的一方未经对方同意,不得向其他任何人披露与这些讨论、通信、谈判或对话有关的任何技术信息、价格信息或其他信息。
Article 24第24条
71. It was proposed to add in the first sentence of paragraph 3 after the words “on request” the words “unless such information has not arisen in the procurement proceedings”, with the explanation in the Guide that certain information listed in paragraph 1 of the article would not be available in all procurement proceedings, e.g., if they were cancelled.71. 会上提议在第3款第一句末尾添加“除非在采购程序中尚未产生此类信息”,并在《指南》中解释,该条第1款所列某些信息并非所有采购程序都能提供,例如在采购程序取消的情况下。
After discussion, it was decided that this proposal would not be retained.经过讨论,决定不保留这条提议。
72. The Commission considered the extent of disclosure of information listed in paragraph 1 (s) and 1 (t) and under paragraphs 3 and 4 (b) of the article and recalled that the aim was to provide for a general principle of transparency, which should be modified only to the extent necessary to prevent future collusion or other risks to competition.72. 委员会审议了该条第3款和第4款(b)项所规定的第1款(s)项和第1款(t)项所列信息的披露范围,并回顾,其目的是规定一般的透明度原则,只有在为预防将来发生串通或是损害竞争的其他风险的情况下,才能对该原则做必要的变更。
The Commission agreed to revise the provisions to ensure an appropriate balance and to consider the drafting at a later stage.委员会商定修改这些条款以确保适当的平衡,并在稍后阶段对措词进行审议。
73. In further discussion, the Commission heard proposals to retain paragraph 1 (s) as drafted, to insert the phrase “for each submission” at the beginning of that paragraph and delete the words “of each submission” at the end, and to remove the reference to “the basis for determining the price” from the text.73. 在进一步讨论时,委员会听取了以下建议:第1款(s)项应保留原措辞,但在该款开头处添加“for each submission”,并删除结尾处的“of each submission”,同时从案文中删除“定价依据”字样。
74. It was subsequently suggested that reference to “the basis for determining the price” might be listed separately under paragraph 1.74. 随后,有与会者建议“定价依据”字样可在第1款下单独列出。
The importance of retaining such a reference in paragraph 1 was emphasized in the light of the explanations in the 1994 “Guide to Enactment of UNCITRAL Model Law on Procurement of Goods, Construction and Services” regarding that provision and the importance of such information for the procuring entity, for example in investigating abnormally low submissions.结合1994年《贸易法委员会货物、工程和服务采购示范法颁布指南》对于该条文的解释以及此种信息对于采购实体的重要性,例如用于调查异常低价提交书,强调指出第1款保留这些字样非常重要。
It was further emphasized that this type of information was always commercially sensitive and therefore should not be accessible to competitors.还强调此种信息始终具有商业敏感性,因此不应当可供竞争者查阅。
75. Subject to any further drafting changes to paragraph 1 (s), it was agreed that reference to paragraph 1 (s) would be retained in paragraph 3.75. 在第1款(s)项的措辞需作进一步修改的前提下,一致同意仍应在第3款中提及第1款(s)项。
76. Views varied as regards the need to refer in paragraph 3 to cancellation of the procurement.76. 对于第3款是否需要提及取消采购,会上发表了不同意见。
The Commission decided to delete that reference.委员会决定删除此种提及。
It was understood that, in the case of cancellation of the procurement, suppliers or contractors would not have an automatic right but rather would need to seek a court order to access the part of the record specified in paragraph 3.会上的理解是,在取消采购的情况下,供应商或承包商并不自动享有权利,而是需要寻求一项法院令,才能获取第3款规定的记录部分。
77. After deliberation, the Commission decided to retain paragraph 4 unchanged, noting that it provided essential safeguards against improper disclosure of information contained in the record.77. 经过审议,委员会决定保留第4款,不作改动,同时注意到该款已针对不当披露记录所载的信息提供了必要的保障措施。
Concern was nevertheless expressed about the reference to submission prices in paragraph 4 (b), which, it was suggested, should be reconsidered, taking into account the differences among various procurement methods, some of which, such as tendering, involved the disclosure of tender prices to all suppliers or contractors that submitted tenders.不过,有与会者对第4款(b)项提及提交书价格表示关切,指出应当根据各种采购方法的差异重新考虑此事,其中一些采购方法,如招标,涉及向提交投标书的所有供应商或承包商披露投标价格。
The Commission agreed to consider that point later in the session.委员会同意在本届会议晚些时候审议这个问题。
78. After subsequent discussion, it was agreed that the phrase in paragraph 1 (r) “the written procurement contract” should read “a written procurement contract”, that the words “or the basis for determining the price” in paragraph 1 (s) should be deleted and that the words in paragraph 4 (b) “and submission prices” should be deleted.78. 此后经过讨论商定,第1款(r)项中,“the written procurement contract”应改为“a written procurement contract;”;第1款(s)项中,删除“或定价依据”;第4款(b)项中,删除“以及提交书价格”。
79. It was proposed that paragraph 3 should read as follows: “Except as disclosed pursuant to article 41 (3) of this Law, the portion of the record referred to in subparagraphs (p) to (t) shall, on request, be made available to suppliers or contractors that presented submissions after the decision on acceptance of the successful submission of the procurement has become known to them, unless the procuring entity determines that disclosure of such information would impede fair competition.79. 会上提议对第3款修改如下:“除本法第41条第(3)款规定的披露外,(p)项至(t)项述及的记录部分,应当在关于中选采购提交书被接受的决定已为递交了提交书的供应商或承包商知悉后,根据请求提供给这些供应商或承包商,除非采购实体认定披露此种信息将妨碍公平竞争。
Disclosure of the portion of the record referred to in subparagraphs (s) and (t) may be ordered at an earlier stage only by the [name of the court or courts] or [name of the relevant organ designated by the enacting State].”(s)项和(t)项述及的记录部分,可以在更早阶段披露,但必须由[法院名称]或[颁布国指定的有关机关的名称]下令。
80. The inclusion of the words “of the procurement” in the proposal was questioned.80. 对该提议中加上“采购”一词提出疑问。
It was also suggested that it would be advisable to add a reference to paragraph 1 after the reference to subparagraphs (p) to (t).还提出,不妨在提及(p)项至(t)项之后添加提及第1款的内容。
The need for the phrase “unless the procuring entity determines that disclosure of such information would impede fair competition” was queried in the light of the content of paragraph 4 (a) of the article.考虑到该条第4款(a)项的内容,对是否有必要加上“除非采购实体认定披露此种信息将妨碍公平竞争”提出疑问。
The Commission deferred its decision on the proposal to a later stage.委员会推迟到稍后阶段就此建议作出决定。
81. After subsequent discussion, the Commission agreed to replace paragraph 3 with the following wording: “Subject to paragraph (4) of this article, or except as disclosed pursuant to article 41 (3) of this Law, the portion of the record referred to in subparagraphs (p) to (t) of paragraph (1) of this article shall, after the decision on acceptance of the successful submission has become known to them, be made available, on request, to suppliers or contractors that presented submissions.”81. 此后经过讨论,委员会商定,第3款改为以下内容:“在不违反本条第4款的情况下,或者除本法第41条第3款规定的披露之外,本条第1款(p)项至(t)项述及的记录部分,应当在关于中选提交书被接受的决定已为递交了提交书的供应商或承包商知悉后,根据请求提供给这些供应商或承包商。
82. It was agreed to reflect in the Guide the content of the deleted sentence of paragraph 3 as contained in document A/CN.9/729/Add.2 and that the procuring entity should notify suppliers or contractors of the disclosure of information from the record relevant to them.82. 会上商定,《指南》中应反映A/CN.9/729/Add.2号文件所载第3款中被删除句子的内容,采购实体应将披露记录中与其有关的信息一事通知供应商或承包商。
Article 25第25条
83. Concern was expressed about the scope of the article, which dealt only with the conduct of the procuring entity and not with the conduct of suppliers and contractors and was therefore considered to be too narrow.83. 有与会者对本条的范围表示关切,本条只处理采购实体的行为,并未处理供应商和承包商的行为,因此被认为过于狭隘。
In the light of developments in the regulation of those issues at the national, regional and international levels, it was said to be essential for UNCITRAL to undertake work in that area so that the article could be supplemented by pertinent materials of UNCITRAL on that subject.考虑到国家、区域和国际各级规范这些问题的进展情况,会上指出,贸易法委员会在这个领域开展工作是至关重要的,这样贸易法委员会关于该问题的相关材料就能够对该条起到补充作用。
The Commission agreed to consider the issue at a future session in the context of its consideration of future work of UNCITRAL in the area of public procurement.委员会同意在今后一届会议上结合审议贸易法委员会今后在公共采购领域的工作来审议这个问题。
Chapter II. Methods of procurement and their conditions for use. Solicitation and notices of the procurement第二章 采购方法及其使用条件。招标办法以及采购通知
Article 26第26条
84. In response to a query as to whether open framework agreements should be listed as a separate procurement method in paragraph 1 of the article, the Commission decided to retain the article unchanged.84. 有与会者询问开放式框架协议是否应作为一种单独的采购方法在本条第1款列出,对此,委员会决定保留本条,不作修改。
Article 29, paragraph 1 (a)第29条第1款(a)项
85. It was proposed that the provision should read: “It is not feasible for the procuring entity to formulate a detailed description of the subject matter of the procurement in accordance with article 10 of this Law, and the procuring entity assesses that discussions with suppliers or contractors are needed to refine aspects of the description of the subject matter of the procurement and to formulate them with the precision required under article 10 of this Law and in order to allow the procuring entity to obtain the most satisfactory solution to its procurement needs.”85. 会上提议,条文应当改为:“采购实体按照本法第10条拟订采购标的详细说明不可行,采购实体经评价认定,为了使采购实体的采购需要达致最满意的解决,需要与供应商或承包商进行讨论,细化采购标的说明的各个方面,并按照本法第10条所要求的精确度对其加以拟订。
Concern was expressed about the wording, since it did not fully reflect the conditions for use of two-stage tendering (in which a detailed description of the subject matter of the procurement might be provided at the outset of the procurement proceedings).”有与会者对该措辞表示关切,因为该措辞没有充分反映使用两阶段招标的条件(两阶段招标中,可能在采购程序之初即已提供采购标的详细说明)。
The need for alignment of the text with paragraphs 2 and 3 of article 47 was highlighted.强调需要调整该案文,使其与第47条第2款和第3款相一致。
The Commission deferred a decision on the proposal to a later stage.委员会推迟到以后阶段再就该建议作出决定。
86. In subsequent discussion, it was agreed that the provision as drafted in document A/CN.9/729/Add.3 should be retained with a small drafting change: “The procuring entity assesses that discussions with suppliers or contractors are needed to refine aspects of the description of the subject matter of the procurement and to formulate them with the detail required under article 10 of this Law, and in order to allow the procuring entity to obtain the most satisfactory solution to its procurement needs.”86. 此后经过讨论商定,保留A/CN.9/729/Add.3号文件中的条文,但可在措词上略作修改如下:“采购实体经评价认定,为了使采购实体的采购需要达致最满意的解决,需要与供应商或承包商进行讨论,细化采购标的说明的各个方面,并按照本法第10条要求的详细程度拟订采购标的说明。
Article 29, paragraph 2 (c)第29条第2款(c)项
87. A query was raised as regards the interaction of paragraph 3 of article 27 and paragraph 2 (c) of article 29.87. 有与会者询问第27条第3款和第29条第2款(c)项的相互关系。
The understanding was that referring only to national security would not be sufficient to fulfil the requirement of paragraph 3 of article 27 in such cases and that more explanation of the reasons and circumstances would be required in the record.会上的理解是,在此类情形下,只提及国家安全不足以满足第27条第3款的要求,需要在记录中就理由和情形作出更多解释。
Article 30, paragraph 1 (a)第30条第1款(a)项
88. The Commission agreed to delete the words “and precise” from the paragraph, as article 10 as amended at the current session (see para. ‎36 above) referred only to a “detailed” and not to a “precise” description of the subject matter of the procurement.88. 委员会商定,删除该款中的“精确的”这几个字,因为第10条经本届会议修正后(见上文第37段)只提及“详细的”,而不提及“精确的”采购标的说明。
Article 31, paragraph 1 (a)第31条第1款(a)项
89. It was suggested that the phrase “on an indefinite basis” should be replaced with the phrase “on an indefinite or repeated basis” or alternatively that the Guide should explain that the term “indefinite” encompassed the concept of repeated purchases.89. 建议将“不定期”一语改为“不定期或重复”,或在《指南》中解释“不定期”一语包含重复采购的概念。
The alternative view was that a resort to framework agreements would always be justified in cases of indefinite demands, which might not necessarily arise on a repeated basis.另一种意见是,在有不定期需求的情况下,使用框架协议始终是有道理的,但不定期需求不一定重复出现。
90. The Commission agreed to replace the phrase “on an indefinite basis” with the phrase “on an indefinite or repeated basis.”90. 委员会同意将“不定期”改为“不定期或重复”。
It was also noted that the Guide would include a comment to the effect that indefinite needs would include circumstances in which the framework agreement was used to ensure security of supply.还指出《指南》将列入一项评论,大意是不定期需求将包括使用框架协议以确保供应安全的情形。
Article 32, paragraph 1, and article 33, paragraph 5第32条第1款,第33条第5款
91. The Commission recalled its decision in paragraph 57 above as regards paragraph 2 of article 17 and confirmed its understanding that it would also apply to paragraph 1 of article 32 and paragraph 5 of article 33.91. 委员会回顾其关于第17条第2款的决定,并确认其理解,即该决定也适用于第32条第1款和第33条第5款。
Article 32, paragraph 2第32条第2款
92. Concern was expressed about the requirement in the paragraph to publish the invitation in a language customarily used in international trade, as that requirement would impose an unreasonable translation burden on developing countries (whose local languages were not customarily used in international trade).92. 有与会者对本款中关于以国际贸易惯常使用的一种语文登载邀请书的要求表示关切,因为该要求将给发展中国家(其当地语文并非国际贸易惯常使用的语文)带来不合理的翻译负担。
The point was made that the 1994 WTO Agreement on Government Procurement imposed the equivalent requirement only as regards publication of summary information about the procurement and not the solicitation documents.会上指出,1994年世贸组织《政府采购协定》仅对登载采购摘要信息而未对招标文件规定同等要求。
It was clarified that the provisions in the draft referred to the invitation rather than the solicitation documents.解释说,草案中的条文指的是邀请书而非招标文件。
93. The Commission agreed with the proposals that references to the language and any media (such as a newspaper or journal) should be removed from the provision and that it should instead focus on the goal to be achieved: publication internationally so as to be accessible to international suppliers or contractors.93. 委员会同意以下建议,即提及语文和任何媒体(如报纸或刊物)之处应从该条文中去掉,条文应当注重拟实现的目标:在国际范围登载以便国际供应商或承包商可以查取。
The Commission deferred its consideration of revised wording to a later stage.委员会推迟到以后阶段再审议经修订的措辞。
94. A representative of a multilateral development bank expressed concern about the proposed changes since they might result in provisions that would be inconsistent with the relevant requirements of the multilateral development banks.94. 多边开发银行的代表对拟议的修改表示关切,因其可能产生与多边开发银行的有关要求不一致的条文。
95. After subsequent discussion, the Commission agreed that paragraph 2 should be replaced with the following wording: “The invitation shall also be published internationally, so as to be widely accessible to international suppliers or contractors.”95. 此后经过讨论,委员会商定,第2款应改为以下内容:“还应当在国际上登载此种邀请书,以便使国际供应商或承包商能够广泛查取。
96. Concern was expressed by the observers from a multilateral development bank and a development assistance organization about the change made to paragraph 2 of article 32 and paragraph 2 of article 17 regarding the language of publication, since the resulting wording, it was said, did not promote the participation of suppliers or contractors regardless of nationality, which was one of the objectives of the Model Law as stated in its preambular subparagraph (b).96. 某一多边开发银行和某一发展援助组织的观察员对第32条第2款和第17条第2款中对登载邀请书所使用的语文所作的修改表示了关切,因为据指出,修改后的措词不利于促进供应商或承包商不论国籍参与采购,而这本来是《示范法》序言(b)项所阐明的目标之一。
It was proposed that, if the new wording were to be retained, the Guide should clearly state why the changes were made.会上提出,如果保留这样的新措词,就应在《指南》中清楚地说明为什么作出这样的修改。
97. The alternate view was expressed that the previous wording implied the use of the English language, which would not be appropriate, and that the revised wording reflected modern practices, such as the use of Internet-based communications.97. 会上提出的另一种看法是,以前的措词暗示应使用英文,而这将是不合适的,修改后的措词反映了现代做法,例如对互联网通信的使用。
98. To address the concerns of the observers, it was agreed that the Guide would explain that the revised text was technologically neutral (whereas the previous wording implied the use of paper-based media, by referring to a newspaper or a journal of wide international circulation) and was intended to accommodate modern methods of publication.98. 针对观察员提出的关切,会上商定,《指南》将解释,修正后的案文是技术中性的(而以前的措词则暗示要使用纸质媒介,因为提到国际广泛发行的报纸或刊物),其用意在于考虑到现代登载方法。
It was also agreed that the Guide would describe the different ways in which the requirements for international publication could be fulfilled, in particular for those jurisdictions in which electronic publication was not possible, which would include the methods specified in the 1994 text.还商定,《指南》将说明可以用不同方式来满足国际登载方面的要求,特别是对于那些无法使用电子登载手段的法域来说,仍将包括1994年文本所规定的方法。
99. The Commission agreed that the Guide should: (a) note that the provision would require that the publication be in a language that would in fact make it accessible to all potential suppliers or contractors in the context of the procurement concerned; and (b) alert enacting States that in WTO the provisions on the language of publication of procurement-related information (article XVII of the 1994 Agreement on Government Procurement) were considered to be an important safeguard with respect to achieving transparency and competition.99. 委员会商定,《指南》:(a)应当指出条文将要求在相关采购中以所有潜在供应商或或承包商事实上能够读懂的语文登载相关信息,(b)应当提请各颁布国注意,世贸组织关于登载采购相关信息所使用语文的规定(1994年《政府采购协定》第17条)被认为是实现透明度和竞争的一项重要保障。
Article 32, paragraph 4第32条第4款
100. It was proposed that the words “in view of the low value” should be deleted.100. 建议删除“因价值低”一语。
Objection was raised to the proposal on the basis that the resulting wording would allow unrestricted use of domestic procurement by the procuring entity.有与会者对这项建议提出异议,理由是这样一改后就将允许采购实体不受限制地使用国内采购。
The alternative view was expressed that the provision should be redrafted to reflect that the costs of international publication (e.g. translation) would be disproportionate to the value of the procurement and that this was the reason to allow the procuring entity not to publish internationally.另一种意见是应当重拟条文,以反映国际登载的成本(例如翻译费)与采购价值相比不成比例,而这是允许采购实体不在国际范围登载的理由。
101. Concern was expressed about the proposed changes.101. 有与会者对拟议的修改表示关切。
It was recalled that international and regional regulations usually referred to a certain threshold value below which the procurement was considered to be of no interest to international suppliers or contractors.回顾说,国际和区域条例通常使用某一阀值,采购低于该阀值,即认为国际供应商或承包商不感兴趣。
102. The Commission discussed whether to delete the reference to “low” in the provision to avoid confusion with other provisions of the Model Law that referred to a low value threshold but agreed to retain the current wording, noting that the provision would be explained in the Guide.102. 委员会讨论了是否删除条文中的“低”字,以避免与《示范法》中提及低阀值的其他条文相混淆,但商定保留现在的措词,同时指出《指南》将对该条文作出解释。
Article 33, paragraph 6第33条第6款
103. A query was raised as to whether a reference to paragraph 4 (a) of article 29 should be added to the provision.103. 有与会者询问条文是否应当补充提及第29条第4款(a)项。
The discussion of that issue in the Working Group was recalled, in particular that the intention of the Working Group had been to exclude references to simple urgency in order to avoid abusive use of competitive negotiations and single-source procurement.回顾了工作组关于该问题的讨论,尤其是工作组的意图其实是不提及简单的紧急情形,以避免滥用竞争性谈判和单一来源采购。
It was proposed that, to avoid confusion, the word “urgency” should be replaced with the phrase “catastrophic events”.建议为了避免混淆,将“紧急”一词改为“灾难性事件”。
104. After discussion, the Commission agreed to add a reference to paragraph 4 (a) of article 29 in the provision.104. 经过讨论,委员会同意在本条文中补充提及第29条第4款(a)项。
Chapter III. Open tendering第三章 公开招标
Article 36, paragraph (c)第36条(c)项
105. It was suggested that the provision should begin with the wording “A summary of”.105. 会上提议在该条文结尾加上“的概要”字样。
106. The Commission agreed that the provision should read as follows: “A summary of the criteria and procedures to be used for ascertaining the qualifications of suppliers or contractors, and of any documentary evidence or other information that must be submitted by suppliers or contractors to demonstrate their qualifications, in conformity with article 9 of this Law.”106. 委员会商定,条文修改后内容如下:“关于符合本法第9条规定的用以确定供应商或承包商资格的标准和程序的概要,以及关于供应商或承包商证明其资质必须提交的任何书面证据或其他资料的概要。
Article 41, paragraph 2第41条第2款
107. The Commission agreed to replace paragraph 2 with the following wording: “All suppliers or contractors that have presented tenders, or their representatives, shall be permitted by the procuring entity to participate in the opening of tenders.”107. 委员会商定,第2款改写如下:“采购实体应当允许所有递交了投标书的供应商或承包商或其代表参加开标。
It was the understanding that the Guide would explain that the participation could be physical or virtual, and that both were covered by the provision, consistent with the technologically neutral approach to revising the Model Law.”会上的理解是,《指南》将解释,本着对修订《示范法》所采取的技术中性方针,参加开标可以是亲自出席,也可以是虚拟方式,两者都在规定范围之内。
Article 42
108. As a consequence of introducing new article 15 bis (see para. 52 above), the Commission agreed to delete paragraph 1 of article 42, to renumber subsequent paragraphs and to amend cross-references in article 42, including by inserting a cross-reference to the new article in what would become paragraph 2 (b).108. 由于新增第15条之二(见上文第51段),委员会商定,删除第42条第1款,其后各款重新编号,并修改第42条中的比照提及内容,包括在调整后的第2款(b)项中添加提及新条款的内容。
Chapter IV. Procedures for restricted tendering, request for quotations and request for proposals without negotiation第四章 限制性招标程序、询价程序、不通过谈判征求建议书程序
Article 46, paragraph 2 (b)第46条第2款(b)项
109. The Commission agreed that the provision should begin with the words “A detailed description”.109. 委员会商定,条文开头语应改为“采购标的简要说明”。
Article 46, paragraph 4 (d), and article 48, paragraph 5 (d)第46条第4款(d)项,第48条第5款(d)项
110. The Commission agreed to replace in those paragraphs and in similar instances throughout the Model Law the phrase “formulated or expressed” with the phrase “formulated and expressed”.110. 委员会商定,在这些条款以及《示范法》全文的类似条款中,“拟订或表示”应改为“拟订和表示。
Chapter V. Procedures for two-stage tendering, request for proposals with dialogue, request for proposals with consecutive negotiations, competitive negotiations and single-source procurement第五章 两阶段招标程序、通过对话征求建议书程序、通过顺序谈判征求建议书程序、竞争性谈判程序、单一来源采购程序
Article 47, paragraph 4 (b)第47条第4款(b)项
111. The Commission agreed that the provision should prohibit the procuring entity from modifying the subject matter of the procurement, drawing on the same prohibition found in paragraph 9 of article 48.111. 委员会一致同意,条文应当借鉴第48条第9款中的同样规定,禁止采购实体修改采购标的。
It was agreed that the Guide would explain what would be considered to be a modification of the subject matter of the procurement.会议商定,《指南》应当解释哪些行为将被视为修改采购标的。
112. Accordingly, the Commission agreed to revise the provision as follows:112. 因此,委员会商定对这些条文修改如下:
“(b) In revising the relevant terms and conditions of the procurement, the procuring entity may not modify the subject matter of the procurement but may refine aspects of the description of the subject matter of the procurement by:“(b) 在修订有关的采购条款和条件时,采购实体不得修改采购标的,但可以通过下述方式细化采购标的说明的各个方面:
(i) Deleting or modifying any aspect of the technical or quality characteristics of the subject matter of the procurement initially provided and by adding any new characteristics that conform to the requirements of this Law;㈠ 删除或修改最初提供的关于采购标的技术特点或质量特点的任何方面,并增列符合本法要求的任何新特点;
(ii) Deleting or modifying any criterion for examining or evaluating tenders initially provided, and by adding any new criterion that conforms to the requirements of this Law, to the extent only that the deletion, modification or addition is required as a result of changes made in the technical or quality characteristics of the subject matter of the procurement.”㈡ 删除或修改最初提供的关于投标书审查或评审的任何标准,并增列符合本法要求的任何新标准,但此种删除、修改或增列只能是由于对采购标的技术或质量特点作出改动所必需的。”
Article 47, paragraph 4 (e)第47条第4款(e)项
113. The Commission agreed to update the cross-reference to paragraph 4 (b) of article 42 in the light of the revisions agreed to be made in article 42 (see para. 108 above).113. 委员会商定,鉴于对第42条商定的几处修改(见上文第109段),本项中比照提及第42条第4款(b)项的内容应作相应调整。
Chapter VI. Electronic reverse auctions第六章 电子逆向拍卖
Articles 52 and 53, titles第52条,第53条,标题
114. The Commission agreed that the title of article 52 should read “Electronic reverse auction as a stand-alone method of procurement” and the title of article 53 should read “Electronic reverse auction as a phase preceding the award of the procurement contract”.114. 委员会商定,第52条的标题改为“作为独立采购方法的电子逆向拍卖”,第53条的标题改为“作为授予采购合同前的一个阶段的电子逆向拍卖”。
Article 52, paragraph 1 (c) 115. A query was raised as regards the reference to the “contract form, if any, to be signed by the parties”.115. 有与会者就提及“将由各方当事人签署的任何合同表格”的内容提出问题。
Objection was expressed to deleting the reference in the provision and in other relevant provisions, which were considered essential for transparency reasons; references to the terms and conditions of the procurement contract were not considered sufficient.有意见表示反对在这些条文和其他相关条文中删除这一内容,认为这对于透明度是不可缺少的;只提及采购合同的条款和条件,认为还不够。
116. The Commission agreed to retain the current wording, with the Guide clarifying that it was not contemplated that any contract was to be signed at the outset of procurement proceedings.116. 委员会商定保留目前的措词,同时在《指南》中澄清,并无在采购程序之初签订任何合同之意。
Article 52, paragraphs 1 (k) and 2第52条第1款(k)项和第2款
117. It was agreed that paragraph 1 (k) of article 52 should read: “[(k) If any limitation on the number of suppliers or contractors that can be registered for the auction is imposed in accordance with paragraph (2) of this article, the relevant maximum number and the criteria and procedure, in conformity with paragraph (2) of this article, that will be followed in selecting it;]”.117. 会上商定,第52条第1款(k)项改为:“[(k)根据本条第(2)款对能够登记参加拍卖的供应商或承包商规定了限数的,相关的最高限数,以及按照本条第(2)款所应遵循的选定最高限数的标准和程序;]”
118. It was agreed that the following words should be added at the end of the first sentence of paragraph 2 of article 52: “and shall select the suppliers or contractors to be so registered in a non-discriminatory manner.”118. 会上商定,在第52条第2款末尾添加以下语句:“并应当以不歧视方式挑选能够进行这种登记的供应商或承包商。
Article 52, footnote第52条,脚注
119. It was proposed that paragraph 2 should be accompanied by the same footnote that accompanied paragraph 1 (k).119. 会上建议给第2款附上与第1款(k)项相同的脚注。
The alternative view was that the footnote should be deleted on the understanding that all provisions of the Model Law were optional for enactment by States.另一种意见是删去脚注,因为《示范法》的所有条款都是供各国选择颁布的。
Support was expressed for the latter proposal, as well as for the deletion of other footnotes in the text of the Model Law.有意见赞成后一种建议,并赞成删去《示范法》案文中的其他脚注。
120. The view was expressed that, if the footnote were to be deleted, the provisions of paragraphs 1 (k) and 2 should also be deleted and perhaps placed in the Guide.120. 有意见认为,如果删去脚注,也应删去第1款(k)项和第2款,或许可以将其放到《指南》中。
121. The Commission decided to retain the text of both paragraphs 1 (k) and 2 in brackets without any accompanying footnotes, but to include an explanation in the Guide of why the provisions appeared in brackets.121. 委员会决定将第1款(k)项和第2款放在括号中保留,不附任何脚注,但在《指南》中加入一条关于为何将这些条款放在括号中的解释。
122. A general objection was raised to that approach, as well as to putting any text in the Model Law in square brackets or parentheses, except in cases where provisions called for enacting States to insert missing information, such as the name of a competent body.122. 有意见表示总体上反对这一办法,也反对将《示范法》的任何案文放在方括号或括号中,除非是条款中要求颁布国填入的信息,如主管机构的名称。
It was pointed out that the explanation in the Guide as regards the enactment of provisions of the Model Law should be sufficient.据指出,《指南》中关于颁布《示范法》条款的解释应已足够。
The alternative view was that it was common to use parentheses, square brackets and footnotes, when required, in UNCITRAL model laws.另一种意见认为,在贸易法委员会的示范法中,必要时使用括号、方括号和脚注是很常见的。
The Commission deferred its decision as regards the use of parentheses and square brackets in the text to a later stage.委员会推迟到稍后阶段就使用括号和方括号的问题作出决定。
(For further consideration of those issues, see paras. ‎175-‎178 below.)(关于这些问题的进一步审议情况,见下文第176-179段。 )
Article 53, new paragraph 3第53条,新的第3款
123. The Commission agreed to add the following new paragraph 3: “Where an evaluation of initial bids has taken place, each invitation to the auction shall also be accompanied by the outcome of the evaluation as relevant to the supplier or contractor to which the invitation is addressed.”123. 委员会商定,添加新的第3款如下:“初步出价经过评审的,每份拍卖邀请书还应当随附与被邀请供应商或承包商有关的评审结果。
Chapter VII. Framework agreements procedures第七章 框架协议程序
Article 57第57条
124. A query was raised as regards the absence of a reference in article 57 to a declaration pursuant to article 8, given that such reference appeared in article 59.124. 会上问及,既然第59条提及了根据第8条作出的声明,为何第57条没有提及。
It was clarified that, in the context of closed framework agreements, the requirement to include such a reference could already be found in provisions regulating the procurement methods by means of which the closed framework agreement was to be awarded.会上澄清说,在封闭式框架协议的情形下,对授予封闭式框架协议所用采购方法加以规范的条款可能已经要求提及此种声明。
125. The Commission agreed that paragraph 2 should start with the following wording: “The provisions of this Law regulating pre-qualification and the contents of …”.125. 委员会商定,第2款开头部分改为:“本法就规范资格预选和……的内容作出的规定”。
Article 58, paragraph 1, new subparagraph (f)第58条第1款,新的(f)项
126. The Commission agreed to add the following subparagraph (f): “The manner in which the procurement contract will be awarded.”126. 委员会商定,添加(f)项如下:“授予采购合同的方式。
Article 59第59条
127. The Commission recalled its decision as regards the footnote and the provisions to which it related in article 52 (see para. 121 above) and confirmed that that decision would also apply to the footnote and the provisions to which it related in article 59.127. 委员会回顾了就第52条的脚注和与之相关的条文所作的决定(见上文第120段),并确认该决定也适用于第59条的脚注和与之相关的条文。
128.
The Commission agreed to revise paragraph 2 as follows: “The procuring entity shall solicit participation in the open framework agreement by causing an invitation to become a party to the open framework agreement to be published following the requirements of article 32 of this Law”; to delete paragraph 3 (c), its provisions being superfluous in the light of paragraph 3 (b), with consequent renumbering of the remaining subparagraphs under paragraph 3 of that article; to replace the phrase in paragraph 3 (e) (ii) “in conformity with this Law” with the phrase “in conformity with paragraph 7 of this article”; and to add the following phrase in the end of the first sentence of paragraph 7: “and shall select the suppliers or contractors to be parties to the open framework agreement in a non-discriminatory manner.”128. 委员会商定,第2款修改如下:“采购实体邀请参加开放式框架协议程序,应当按照本法第32条的要求登载加入开放式框架协议的邀请书”;删除第3款(c)项,鉴于第3款(b)项,其规定已成多余;第3款(e)项第㈡目中,“按照本法”改为“按照本条第7款”;第7款第一句末尾添加如下语句:“并应当以不歧视方式挑选可加入开放式框架协议的供应商或承包商。
Article 61, paragraph 4 (a)第61条第4款(a)项
129. It was proposed that the phrase “or only to each of those parties of the framework agreement then capable of meeting the needs of that procuring entity in the subject matter of the procurement” should be deleted.129. 会上建议,删去“或者只向当时有能力满足采购实体对采购标的需要的任何框架协议当事方同时发出递交提交书的书面邀请”。
It was explained that the provision might otherwise lead to misuse, as unlimited discretion was given to the procuring entity to decide which suppliers or contractors parties to the framework agreement were capable of delivering the subject matter of the procurement.会上解释说,否则的话,这些规定可能会导致滥用行为,因为给予了采购实体无限制的裁量权决定哪些加入框架协议的供应商或承包商有能力交付采购标的。
The point was made that in non-electronic framework agreements there would not be such a large number of suppliers or contractors parties to the framework agreement that it would become burdensome for the procuring entity to notify all such suppliers or contractors of procurement opportunities and that, in the context of framework agreements maintained electronically, which might have many suppliers parties, electronic means of communication would allow notifying all of them without significant cost and time.会上指出,在非电子框架协议中,加入框架协议的供应商或承包商的数量不会太多,使得向所有供应商或承包商通知采购机会成为采购实体的负担,而如果框架协议是以电子方式维持的,加入框架协议的供应商数量可能很多,但使用电子通信手段通知所有供应商或承包商并不会花费大量费用和时间。
130. The alternative view was that in some jurisdictions suppliers or contractors parties to the framework agreement were required to participate in the competition if they received an invitation from the procuring entity to do so.130. 另一种意见认为,一些法域要求,加入框架协议的供应商或承包商如果收到采购实体发出的参加竞争的邀请,便应参加竞争。
Reference was also made to the practical use of framework agreements by central purchasing agencies, which might face high costs if required to invite numerous suppliers parties to the framework agreement and to deal with large numbers of submissions from those that were not capable of meeting the procuring entity’s needs.会上提到中央采购机构使用框架协议的实际情况,如果要求对加入框架协议的众多供应商都发出邀请,并处理那些无法满足采购实体需要的供应商递交的大量提交书,费用会很高。
It was further explained that, if some suppliers or contractors parties to the framework agreement indicated to the procuring entity from the outset of the procurement proceedings their limited capacity to deliver certain parts of the subject matter of the procurement, it would be inappropriate for the procuring entity to invite them.进一步解释说,如果加入框架协议的某些供应商或承包商在采购程序之初便向采购实体表明其交付采购标的某些部分的能力有限,则采购实体不宜向其发出邀请。
The point was made that safeguards against abuse should therefore be balanced against the considerations of efficiency and practicality.因此,会上指出,要在防范滥用的保障措施与效率和实效性考虑这两者之间加以平衡。
The Commission deferred its consideration of the issue to a later stage.委员会推迟到稍后阶段审议这一问题。
131. After subsequent discussion, the following proposal was made for a new subparagraph (a):131. 此后经过讨论,就新的(a)项提出如下建议:
“(a) The procuring entity shall issue a written invitation to present submissions simultaneously:“(a) 采购实体应当向以下各方同时发出递交提交书的书面邀请:
(i) To each supplier or contractor party to the framework agreement;㈠ 框架协议的每一个供应商或承包商当事人,或者
or
(ii) Only to each of those parties of the framework agreement then capable of meeting the needs of that procuring entity in the subject matter of the procurement, provided that, at the same time, notice of the second-stage competition is given to all parties to the framework agreement so that they have the opportunity to participate in the second-stage competition;”.㈡ 只限于当时有能力满足采购实体对采购标的需要的每一个框架协议当事方,但条件是,与此同时,向框架协议的所有当事方发出第二阶段竞争通知,以使其有机会参加第二阶段竞争;”。
132. The view was expressed that subparagraph (ii) was unnecessary, and that only the provisions of the chapeau and subparagraph (i) should be included.132. 另有意见认为,第㈡目毫无必要,只应列入前导句和第㈠目的规定。
In support of that view, it was emphasized that otherwise the provisions would open the door to corruption by giving the procuring entity unlimited discretion in the selection of capable suppliers or contractors.支持这一意见的人强调,否则的话,保留这些规定就会打开腐败之门,在挑选有能力的供应商或承包商方面给予采购实体无限制的裁量权。
133. The view prevailed that the wording as proposed in paragraph 131 above achieved the desired compromise by addressing both transparency and efficiency and should therefore be included as a new subparagraph (a).133. 会上普遍认为,上文第131段所提议的措词实现了所要达成的折衷,既顾及了透明度又顾及了效率,因此应当列作新的(a)项。
134. It was agreed that the Guide would note that, in order to prevent the procuring entity from being confronted by a large number of challenges related to its assessment of suppliers’ or contractors’ capability to supply, the framework agreement ought to set out clear procedures and criteria that would enable the procuring entity to identify which suppliers or contractors were capable.134. 会上商定在《指南》中作出如下表述:为使采购实体避免遇到与评估供应商或承包商供应能力有关的大量难题,框架协议应当列出明确的程序和标准,使采购实体能够籍此确定有能力的供应商或承包商。
135. It was agreed that the means of fulfilling the notice requirement would be explained in the Guide, highlighting various considerations, such as costs and the availability of electronic means of communication, and that the nature of the notice might vary as communication methods improved over time.135. 会上商定,将在《指南》中对满足通知要求的手段加以解释,强调指出各种考虑因素,如电子通信手段的费用和普及情况,并强调,随着通信方法的日益改进,通知的性质可能有所改变。
Article 62, title第62条,标题
136. It was proposed that the title of the article should read: “[Possible] Changes during the operation of the framework agreement”.136. 会上提出将该条的标题改为:“框架协议运作期间[可能进行的]改动”。
The alternative view was that the title should retain the notion that no material change, in particular to the subject matter of the procurement, should occur during the operation of a framework agreement.另一种意见认为,应当在标题中保留下述观念:在框架协议运作期间不应作任何实质性改动,特别不应对采购标的作实质性改动。
The point was made that the title should reflect the content of the article, which did not refer to material change.有观点认为,标题应当反映该条的内容,而该条并未提及实质性改动。
The discussion of “material change” in the Working Group was recalled, in particular that it had been decided at that time to avoid any reference to such a concept in the Model Law, as it was not easy to define.会上回顾了工作组对“实质性改动”的讨论,特别是,当时决定避免在《示范法》中提及这一概念,因为这一概念不易界定。
The alternative view was that “material change” should be understood as any change that would affect the group of competitors that would be interested in participating in any given procurement proceeding, and that this should be consistently understood in the implementation of the Model Law.另一种意见认为,“实质性改动”应当理解为会对有兴趣参加任何特定采购程序的竞争者群体造成影响的任何改动,在《示范法》的执行过程中对这一概念的理解应当保持一致。
The Commission deferred its consideration of the title of the article to a later stage.委员会推迟到稍后阶段审议该条的标题。
137. After subsequent discussion, the Commission agreed that the title should read as follows: “Changes during the operation of a framework agreement”.137. 此后经过讨论,委员会商定,将标题改为:“框架协议运作期间的改动”。
Chapter VIII. Challenges and appeals第八章 质疑和上诉
Title标题
138. The Commission agreed that the title of the chapter should be: “Challenge proceedings”.138. 委员会商定,该章标题应改为“质疑程序”。
Terminology术语
139.
It was agreed that the use of terminology should be streamlined throughout the chapter. In particular, the term “reconsideration” should be used in the context of the consideration of complaints by the procuring entity under article 65; the term “review” should be used in the context of the consideration of complaints by the independent body under article 66; and the term “appeal” should be used only in the context of judicial review.139. 会上一致认为应当理顺整章中术语的使用,特别是,“重新审议”一语应当用于第65条规定的采购实体审议投诉的情形,“复议”一语应当用于第66条规定的独立机构审议投诉的情形,“上诉”一语应用仅用于司法复议的情形。
140. It was also pointed out that, to the extent possible, consistency in the references to the group of persons to be notified of the decisions or actions under chapter VIII was desirable.140. 会上还指出,应当尽可能使根据第八章被告知有关决定或行动的一类人员的提法保持一致。
The consideration and decisions of the Working Group as regards different groups of persons to be notified depending on decisions and actions in question were recalled.回顾了工作组关于将被告知的各类人员取决于相关决定和行动的审议和决定。
Article 63第63条
141. Strong opposition was expressed to retaining the provisions of article 63 as drafted.141. 有意见表示强烈反对保留第63条中各项规定目前的措词。
Concern was expressed that the article did not provide a clear idea to aggrieved suppliers or contractors as regards their options to challenge and seek appeal and did not describe the sequence of steps that they could take.有与会者表示关切说,该条并未向受影响的供应商或承包商明确说明在质疑和寻求上诉方面可供选择的办法,而且没有说明其可能采取的步骤的顺序。
It was also observed that the article reflected a parallel system of review, while many jurisdictions followed a hierarchical system of review.还有与会者说,该条反映的是平行的复议制度,而许多法域遵循的是层级式的复议制度。
It was considered doubtful that, in jurisdictions that would choose to invest in the establishment of an independent administrative body, suppliers or contractors would be allowed to seek recourse, as a general rule rather than as an exception, directly to the courts (i.e. bypassing the administrative body).有与会者表示怀疑,在选择投资设立独立行政机构的法域,一般而言(而非在特殊情况下)是否会允许供应商或承包商直接诉诸法院(即越过该行政机构)。
It was therefore suggested that either the article should be redrafted to provide for several options, without preference being given to any one specific option, that could be considered by the enacting State, or that the article should be deleted altogether.因此有与会者建议,要么重写该条,提供若干选择办法供颁布国考虑,而不偏向任一具体的选择办法,要么完全删去该条。
In the latter case, it was suggested, text in square brackets could be inserted in its place inviting enacting States to consider which challenge and appeal system should be put in place in their jurisdiction, considering in particular whether an administrative body existed in their jurisdiction and the efficacy of their court system.如果删去该条,建议在此处插入一段带方括号的案文,请颁布国考虑应在其法域实行哪一种质疑和上诉制度,同时特别考虑到其法域是否存在行政机构,以及法院系统的效力。
142. In response, doubts were expressed that the Model Law could set out all potential scenarios that might exist in challenge and appeal proceedings under chapter VIII of the draft.142. 对此,有与会者表示怀疑《示范法》能否在草案第八章下列出质疑和上诉程序中可能存在的所有情形。
It was considered more appropriate to retain the text of article 63 as drafted and to describe all possible scenarios in the Guide.据认为,较适宜的办法是保留第63条现有的案文,并在《指南》中描述所有可能存在的情形。
It was observed that the chapter reflected the consensus reached in the Working Group.据认为,这一章反映了工作组达成的共识。
Support was also expressed for the current approach in drafting chapter VIII, as it ensured, in the view of some delegations, the effectiveness of the review system.还有意见表示赞成第八章目前的草拟办法,一些代表团认为这确保了复议制度的效力。
Concerns were expressed that requiring remedies to be exhausted in one body before going to the other might lead to negative consequences for both the procuring entity and suppliers or contractors: from the point of view of suppliers or contractors, they might be forced to deal with less efficient or more corrupt bodies before being able to have resort to the most effective body, and that could nullify the effectiveness of the review system; from the point of view of the procuring entity, requiring suppliers or contractors to take steps in sequence might lead to longer suspension periods and bring additional costs to the procurement process.有与会者表示关切说,要求在一个机构用尽所有救济办法之后才能诉诸另一个机构,可能会对采购实体和供应商或承包商都造成负面后果:从供应商或承包商的角度来说,他们可能被迫先与效率低下而腐败的机构打交道,然后才能求助于最有效的机构,这可能会使复议制度归于无效;从采购实体的角度来说,要求供应商或承包商依次采取步骤可能会导致暂停期延长并给采购进程带来额外费用。
143. Others urged flexibility as long as the chapter reflected the minimum standards of the challenge and appeal system found in applicable international instruments, such as the United Nations Convention against Corruption and the 1994 WTO Agreement on Government Procurement.143. 也有与会者促请灵活处理,只要这一章反映了适用国际文书(如《联合国反腐败公约》和1994年世贸组织《政府采购协定》)中质疑和上诉制度的最低标准就可以了。
It was recalled that the view had been clearly expressed at an earlier session of the Commission that it was not within the scope of the Model Law to dictate to enacting States which review system they should follow.据回顾,在之前的委员会届会上已经明确说明,指示颁布国应当遵循哪一种复议制度不在《示范法》的范围之内。
A preference was therefore expressed for leaving all options open for consideration by enacting States.因此会上倾向于将所有选择办法留给颁布国考虑。
144. In subsequent discussion, the suggestion was made to split paragraph 1 into two parts: the first dealing with the requirements that suppliers or contractors ought to meet to be able to bring challenges or appeals (that part would continue to reflect in essence article 52 of the 1994 text); and the second dealing with the organization of a challenge and appeal system in an enacting State, including whether it should be parallel or hierarchical.144. 在随后的讨论中,有与会者建议将第1款分为两部分:第一部分阐明要求供应商或承包商必须开会才能提出质疑或上诉(这一部分将继续反映1994年文本第52条的实质内容),第二部分阐明颁布国中质疑和上诉制度的组织结构(无论是平行式结构还是层级式结构)。
As regards the latter, it was suggested that footnotes 7 and 14 in the current draft could accompany the resulting second part.关于第二部分,有与会者提议可对第二部分附以目前草案中的脚注7和14。
The need for retaining the second part in the Model Law was questioned.有与会者怀疑第二部分是否有必要在《示范法》中保留。
The suggestion was made to reflect its content in a footnote that would accompany article 63 or be placed in the Guide.有与会者提议在第63条的脚注或《指南》中反映其中的内容。
145. In further discussion, it was proposed that the text in paragraph 1 ending with the words “action concerned” should be retained in the Model Law, together with paragraph 2, while the remaining provisions of the article would be deleted.145. 在进一步讨论时,提议在《示范法》中保留第1款中到“有关的决定或行动”为止的案文,第2款也应保留在《示范法》中,本条其余条文应予删除。
It was understood that the Guide would explain the options available to enacting States, including as regards hierarchical applications and sequencing.会上的理解是,《指南》将解释颁布国可用的各种选择,包括有关层级式申请和排序的选择。
146. After subsequent discussion, the Commission agreed that the title of the article should be “Right to challenge and appeal” and that the article should read as follows:146. 此后经过讨论,委员会商定,该条的标题应为“质疑和上诉权”,该条修改后内容如下:
“1. A supplier or contractor that claims to have suffered or claims that it may suffer loss or injury because of alleged non-compliance of a decision or action of the procuring entity with the provisions of this Law may challenge the decision or action concerned.“1. 供应商或承包商声称由于所指称的采购实体不遵守本法规定的决定或行动而遭受了损失或损害或者可能遭受损失或损害的,可以质疑有关的决定或行动。
2. Challenge proceedings may be made by way of [an application for reconsideration to the procuring entity under article 65 of this Law, an application for review to the [name of the independent body] under article 66 of this Law or an appeal to the [name of the court or courts].]”2. 提起质疑程序的方式,可以是[根据本法第65条向采购实体提出重新审议申请、根据本法第66条向[独立机构名称]提出复议申请,或者向[法院名称]提出上诉。
]”
147. In subsequent discussion, it was agreed that paragraph 2 of article 63 as proposed in paragraph 146 above should also contain a reference to applications to courts so as to allow a first-instance review by the courts of decisions or actions taken by the procuring entity in the procurement proceedings.147. 随后经过讨论,会议商定,上文第145段提出的第63条第2款还应提及向法院提出申请,使法院可以对采购实体在采购程序中作出的决定或采取的行动进行初审。
148. It was agreed that the Guide should include provisions along the following lines, subject to clarification of the terminology: “The enacting State may add provisions addressing the sequence of applications, if desired, and to allow an independent body or court to hear an appeal from an application for review; the application for reconsideration can be followed by an application for review or for judicial review, according to the domestic enactment of the Model Law.”148. 会上商定,在对有关术语作出澄清的情况下,应当在《指南》中列入下述写法的规定:“颁布国如有需要,可添加关于申请顺序的条款,并允许独立机构或法院在复议申请提出后审理上诉;可根据依《示范法》颁布的国内法,在提出重新审议申请后申请复议或司法复议。
149. The point was made that, if paragraph 2 as contained in document A/CN.9/729/Add.8 were to be deleted, article 69 should remain in the text.149. 会上指出,如果删去A/CN.9/729/Add.8号文件所载的第2款,便应在案文中保留第69条。
(For further consideration of that point and the Commission’s decision to add a new paragraph 3 to article 63, see paras. 171-174 below.)(关于这一问题的进一步审议情况以及委员会就第63条添加新的第3款作出的决定,见下文第170-173段。 )
Article 64, paragraph 1, and article 65, paragraph 3第64条第1款,第65条第3款
150. Concerns were raised about the impact of the above provisions on the entry into force of the procurement contract, in particular that they might involve lengthy delays to the procurement at issue.150. 会上就上述条文对采购合同生效的影响提出关切,特别是这些条文可能造成有关采购长期拖延。
The consideration in the Working Group of policy issues underlying the drafting of chapter VIII was recalled.回顾了工作组就第八章的起草所涉及的基本政策问题进行的审议。
151. A query was raised as regards a particular step or steps intended to be covered by the term “enter into a procurement contract” in paragraph 1 of article 64, whether the intention was to cover only the dispatch of the notice of acceptance of the successful submission or to cover also the request or receipt of approval from a competent body and the signature of the procurement contract.151. 会上询问第64条第1款中“订立采购合同”一语拟涵盖的一个或几个具体步骤,即意图是仅涵盖发送接受中选提交书通知书,还是也涵盖请求或得到主管机关批准以及签署采购合同。
It was proposed that the drafting of paragraph 1 of article should be clarified in that respect, for example by stating that the “procuring entity shall not take any action to bring the contract into force”, to encompass all actions leading to the entry into force of the procurement contract under article 21 of the draft.建议第64条第1款的措词应在这方面作出澄清,例如指出“采购实体不应采取促使合同生效的任何行动”,以涵盖本草案第21条所规定的导致采购合同生效的所有行动。
The Commission deferred its decision on the final wording of those provisions to a later stage.委员会推迟到以后阶段再就这些条文的最后措词作出决定。
(For the decision on the final wording of article 64, see para. 152 below.)(关于就第64条的最后措词作出的决定,见下文第152段。 )
Article 64第64条
152. The Commission agreed that the title of the article should be: “Effect of a challenge” and that paragraphs 1 and 2 of the article should read as follows:152. 委员会商定,该条的标题应改为“质疑的效力”,该条第1款和第2款修改后内容如下:
“1. The procuring entity shall not take any step that would bring a procurement contract or framework agreement in the procurement proceedings concerned into force:“1. 有下列情形之一的,采购实体不得采取任何步骤,使有关采购程序中的采购合同或框架协议生效:
(a) Where it receives an application for reconsideration within the time-limits specified in article 65 (2);(a) 采购实体在第65条第(2)款规定的期限内收到了重新审议申请书;或者
or
(b) Where it receives notice of an application for review from the [name of the independent body] under article 66 (5)(b);(b) 采购实体收到了[独立机构的名称]根据第66条第(5)款(b)项发来的复议申请通知;或者
or
(c) Where it receives notice of an application or of an appeal from the [name of the court or courts].(c) 采购实体收到了[法院名称]发来的申请通知书或上诉通知书。
2. The prohibition referred to in paragraph (1) shall lapse … working days (the enacting State specifies the period) after the decision of the procuring entity, the [name of the independent body] or the [name of the court or courts] has been communicated to the applicant or appellant, as the case may be, to the procuring entity, where applicable, and to all other participants in the challenge proceedings.”2. 在采购实体、[独立机构名称]或[法院名称]的决定发给申请人或上诉人(两者视情况而定)、采购实体(如果适用)和质疑程序中的其他所有参与方之后……个工作日(颁布国列明期限)内,第(1)款提及的禁止规定即告失效。
153. It was agreed that the Guide would explain the term “participants in the challenge proceedings” and would note that enacting States might choose to use another term to refer to the entities that would have the requisite interest to take part in the proceedings.153. 会上商定,《指南》将解释“质疑程序中的参与方”一语,并将指出颁布国不妨选用别的术语,提及对参与程序享有必要权益的各实体。
154. The Commission agreed to delete the words “or appeal” and “or appellant, as the case may be” in paragraph 3 (b) of the article.154. 委员会商定,删除本条第3款(b)项中“或上诉人(两者视情况而定)”的字样。
Article 65, paragraphs 4 and 7第65条第4款和第7款
155. It was agreed that the following provisions should appear in square brackets in both paragraphs as follows: “[in the [name of the independent body] under article 66 of this Law or in the [name of the court or courts]]”.155. 会上商定,将这两款中下述条文放在方括号内:“[根据本法第66条向[独立机构名称]……或者向[法院名称]]”。
Article 66第66条
156. It was agreed that:156. 会上商定如下:
(a) Reference to “appeal(s)” and “appellant, as the case may be” should be deleted in the title and throughout the article;(a) 标题中和整个条款中删除“上诉”和“上诉人(两者视情况而定)”;
(b) Paragraph 1 should read: “A supplier or contractor may apply to the [name of the independent body] for review of a decision or an action taken by the procuring entity in the procurement proceedings, or of the failure of the procuring entity to take a decision under article 65 of this Law within the time limits prescribed in that article”;(b) 第1款改为:“供应商或承包商可以就采购实体在采购程序中作出的决定或采取的行动,或者就采购实体未在本法第66条规定的期限内根据该条作出决定,向[独立机构名称]提出复议申请”;
and
(c) The following words should be deleted in paragraph 2 (d): “Appeals against decisions of the procuring entity taken under article 65 of this Law, or” and that the word “appellant” would be replaced with the word “applicant”.(c) 删除第2款(d)项中以下字样:“不服采购实体根据本法第65条作出的决定的,或者……提出上诉或”,并将“上诉人”改为“申请人”。
157. It was suggested that paragraphs 4 and 5 were excessively detailed and that some provisions therein could be deleted.157. 会上提出,第4款和第5款过于详细,其中一些是可以删除的。
The need to retain the provisions addressing “urgent public interest considerations” was emphasized, however.不过,强调需要保留述及“紧迫公共利益考虑”的条文。
158. The Commission agreed to retain paragraphs 4 and 5 with the following wording added at the end of paragraph 5 (a): “in accordance with paragraphs (3) and (4) of this article.”158. 委员会商定,保留第4款和第5款,并在第5款(a)项句首添加下列措词:“根据本条第3款和第4款”。
159. The proposal was made to redraft paragraph 8, which currently implied a physical transfer by the procuring entity of the relevant documents to the independent body.159. 建议重拟第8款,因为目前的条文意味着采购实体将有关文件实际移交给独立机构。
It was explained that it might not be possible to implement such an obligation where classified information was concerned or when a large volume of information was involved.解释说,在涉及机密信息的情况下,或者在涉及大量信息的情况下,履行这项义务也许是不可能的。
It was therefore proposed that the provision should read: “The procuring entity shall provide the [name of the independent body] with all documents or grant access to all documents related to the procurement.”因此建议将条文改为:“采购实体应当向[独立机构名称]提供所有文件或者准予查取与采购有关的所有文件。
160. The opposing view was that the proposed changes might put the independent body in a disadvantaged and inappropriate position since they implied that the independent body would be required physically to visit the procuring entity’s premises and to request access to the documents.160. 相反的意见是,拟议的修改可能使独立机构处于不利和不合适的位置,因为这种修改意味着独立机构需要实际造访采购实体的房地并请求查取这些文件。
According to that view, the provisions in the draft were considered appropriate.这种观点认为,草案中的条文是适当的。
A further view was that the provisions might be redrafted in broader terms to refer, for example, to the obligation of the procuring entity to provide documents to the independent body in a manner that ensured effective access by the independent body to all documents.另一种意见是可以从更广泛的角度重拟条文,例如提及采购实体有义务以确保独立机构有效查取所有文件的方式向独立机构提供文件。
161. It was suggested that the drafting of the opening phrase in English could be clarified to make it clear that reference was being made to the appeal by the supplier or contractor, not the independent body.161. 会上提出,可以澄清英文本中启首语的措词,以明确这里指的是供应商或承包商提出的上诉,而非独立机构提出的上诉。
162. The Commission deferred its decision on the wording of paragraph 8 to a later stage.162. 委员会推迟到以后阶段再就第8款的措词作出决定。
163. After subsequent discussion, it was agreed that paragraph 8 should read as follows: “Promptly upon receipt of a notice under paragraph (5) (b) of this article, the procuring entity shall provide the [name of the independent body] with effective access to all documents relating to the procurement proceedings in its possession, in a manner appropriate to the circumstances.”163. 此后经过讨论商定,第8款应当改为:“采购实体收到根据本条第(5)款(b)项发来的通知时,应当以适合具体情形的方式,迅速向[独立机构名称]提供其掌握的与采购程序有关的一切文件的有效查阅办法。
It was agreed that the Guide should explain how access (physical or virtual) to documents could be granted in practice and that the relevant documents could be provided in steps.”会上商定,《指南》应当解释如何在实践中提供(实际或虚拟)查阅文件的办法,以及如何分步骤提供相关文件。
(For example, a list of all documents could be provided to the independent body first so that the independent body could identify those documents relevant to the proceedings before it.)(例如,可先向独立机构提供一个所有文件一览表,以便于独立机构确定与独立机构的程序有关的文件。 )
164. Concerns were raised as regards the use of the adjectives “lawful” and “unlawful” in paragraph 9.164. 会上对第9款中使用“合法”和“非法”这样的形容词提出关切。
The use of alternative qualifying terms, such as “in violation of law” or “deemed/found/decided to be unlawful/lawful”, was proposed.建议改用替代术语,如“违法”或者“被视为/被认定/被裁定非法/合法”。
The Commission deferred its decision on the wording to a later stage.委员会推迟到以后阶段再就措词作出决定。
165. After subsequent discussion, it was agreed that subparagraphs (a) to (e) and (h) of paragraph 9 should read:165. 此后经过讨论商定,第9款(a)项至(e)项和(h)项应当改为:
“(a) Prohibit the procuring entity from acting, taking a decision or following a procedure that is not in compliance with the provisions of this Law;“(a) 禁止采购实体采取不符合本法规定的行动、作出不符合本法规定的决定或者实施不符合本法规定的程序;
(b) Require the procuring entity that has acted or proceeded in a manner that is not in compliance with the provisions of this Law, to act, take a decision or to proceed in a manner that is in compliance with the provisions of this Law;(b) 采购实体已经以不符合本法规定的方式采取行动或者实施程序的,要求其以符合本法规定的方式采取行动、作出决定或者实施程序;
[(c) Overturn in whole or in part an act or a decision of the procuring entity that is not in compliance with the provisions of this Law [other than any act or decision bringing the procurement contract or the framework agreement into force];[(c) 全部或部分推翻采购实体不符合本法规定的行动或决定[,但不包括使采购合同或框架协议生效的任何行动或决定];
(d) Revise a decision by the procuring entity that is not in compliance with the provisions of this Law [other than any act or decision bringing the procurement contract or the framework agreement into force];(d) 修正采购实体不符合本法规定的决定[,但不包括使采购合同或框架协议生效的任何行动或决定];
(d bis) Confirm a decision of the procuring entity;(d之二) 确认采购实体的决定;
(e) Overturn the award of a procurement contract or a framework agreement that has entered into force in a manner that is not in compliance with the provisions of this Law and, if notice of the award of the procurement contract or the framework agreement has been published, order the publication of notice of the overturning of the award;](e) 采购合同或框架协议已经以不符合本法规定的方式生效的,废标,已经登载采购合同或框架协议授标通知的,下令登载废标通知;]
……
(h) Require the payment of compensation for any reasonable costs incurred by the supplier or contractor submitting an application as a result of an act or decision of, or procedure followed by, the procuring entity in the procurement proceedings, which is not in compliance with the provisions of this Law, and for any loss or damages suffered[, which shall be limited to costs for the preparation of the submission, or the costs relating to the application, or both];(h) 要求赔付提出申请的供应商或承包商由于采购实体在采购程序中采取不符合本法规定的行动、作出不符合本法规定的决定或者实施不符合本法规定的程序而支付的任何合理费用,并且赔付所遭受的任何损失或损害[,赔付额限于提交书编写费、限于相关申请费,或者限于这两项费用];或者”
or “
166. It was agreed that in paragraph 10 the words “challenge or appeal proceedings” should be replaced with the words “application for review”.166. 会上商定,第10款中“质疑程序或上诉程序”应当改为“复议申请”。
Article 67第67条
167. The Commission agreed to delete references to “appeal” in the title and throughout the article and to delete in paragraph 3 the words “relevant challenge or appeal”.167. 委员会商定,删除标题中和整个条款中“上诉”的提法,并删除第3款中“相应质疑程序或上诉”的字样。
It also agreed to add the words “duly notified of the proceedings” after the words “a supplier or contractor” at the beginning of the second sentence of paragraph 1.还商定,在第1款第二句句首“供应商或承包商”之前加上“接获质疑程序正式通知”。
168. A query was raised as regards the reference to “any governmental authority” in the text.168. 对案文中“任何政府主管部门”的提法提出疑问。
The understanding was that this reference would be explained in the Guide.会上的理解是,将在《指南》中对这种提法作出解释。
Article 68第68条
169. It was proposed to reflect in the article that restricted access to classified information might be possible.169. 会上提议,在该条中反映出对机密信息的限制性查取是可能的。
The understanding was that no changes to that end in the article were needed.会上的理解是,该条无需作此修改。
170. The Commission agreed to delete references to “appeal” in the title and in the article.170. 委员会商定删除标题中和整个条款中“上诉”的提法。
Article 69 and consequent changes in article 63 (addition of a new paragraph 3)第69条以及第63条中的相应修改(添加新的第3款)
171. A query was raised as to whether article 69 was needed.171. 就是否需要第69条提出疑问。
The broadly held view was that retaining a reference to judicial review in chapter VIII, either in article 69 or by expanding article 63, was essential.普遍认为第八章中保留对司法审议的提及至关重要,或者在第69条中提及,或者以扩展第63条的方式提及。
The Commission deferred its decision on that issue to a later stage.委员会推迟到以后阶段再就这一问题作出决定。
172. In further discussion, the view was expressed that article 69 should be deleted.172. 在进一步讨论中,有与会者认为应当删除第69条。
The deletion of that article was supported on the condition that additional wording would be included in article 63, as a new paragraph 3, reflecting the need under international instruments for an enacting State to have a two-stage appeal system.支持基于以下条件删除该条,即第63条添加一些措词,作为新的第3款,反映根据国际文书需要颁布国拥有两阶段上诉体系。
Such additional wording, it was said, would draw on paragraph 2 of draft article 63 in document A/CN.9/729/Add.8 and could read: “A supplier or contractor may appeal any decision taken in challenge proceedings in [name of the court or courts].”据指出,添加措词将借鉴A/CN.9/729/Add.8号文件中的第63条草案的第2款,内容可以是:“供应商或承包商不服质疑程序中作出的决定,可以向[法院名称]提出上诉。
173. Concern was expressed about the proposed wording since it implied requirements for appeals against court judgements, which were considered to be outside the scope of the Model Law.173. 对提议的措词表示关切,因为这隐含着对法院判决提出上诉的要求,据认为,这超出了《示范法》的范围。
174. After discussion, it was agreed that article 69 would be deleted and a new paragraph 3 would be included in article 63 that would read: “A supplier or contractor may appeal any decision taken in challenge proceedings under article 65 or 66 of this Law in [name of the court or courts].”174. 经过讨论商定,伤处第69条,同时在第63条中列入新的第3款,其内容如下:“供应商或承包商不服本法第65条或第66条下的质疑程序中作出的决定,可以向[法院名称]提出上诉。
Footnotes, the use of parentheses and square brackets脚注,以及圆括号和方括号的使用
175. The view was expressed that some footnotes in chapter VIII should be deleted.175. 会上认为第八章的一些脚注应予删除。
The Commission recalled its earlier considerations as regards the desirability of including any footnotes in the Model Law (see paras. 119-122 above) and decided to defer its consideration of the issue as a whole to a later stage of the session.委员会回顾了早些时候就《示范法》中列入任何脚注的可取性进行的审议(见上文第118-121段),决定推迟到本届会议晚些时候再一并审议这个问题。
176. After subsequent discussion, it was agreed that all footnotes currently in chapter VIII should be removed, that their contents should be reflected in the Guide and that a new footnote to the title to the chapter would be inserted to direct enacting States to consider the various options for the text that were explained in the Guide.176. 此后经过讨论商定,去掉目前第八章中的所有脚注,其内容应反映在《指南》中,同时给本章标题增加一个新脚注,以指导各颁布国考虑在《指南》中作了解释的案文选项。
177. It was agreed that all other footnotes in the draft revised text of the Model Law, other than those expressly agreed to be deleted during the current session of the Commission, were to be retained in the text of the Model Law.177. 会上商定,除委员会本届会议明确商定予以删除的脚注外,《示范法》修订本草案中其他所有脚注均应保留在《示范法》案文中。
178. It was also agreed that parentheses were to be used when necessary for grammatical reasons, while square brackets were to be used where it was necessary to signal to enacting States that the text was optional.178. 会上还商定,在语法要求的情况下使用圆括号,在有必要向颁布国表明案文属于备选案文的情况下使用方括号。
In the latter case, it was pointed out, the square brackets were intended to draw the attention of States to the particular considerations discussed in the Guide that might affect their decisions on how to enact the text.据指出,在后一种情况下,方括号意在提请各国注意《指南》中所讨论的可能影响其如何颁布案文的决定的特殊考虑。
Finalization of the Model Law《示范法》的定稿
179. The Commission authorized the Secretariat to prepare the final text of the Model Law by incorporating changes agreed to be made at the session to document A/CN.9/729 and its addenda, renumbering the articles as a result of the introduction of new article 15 bis, amending cross-references and making other necessary editorial changes throughout the Model Law.179. 委员会授权秘书处编写《示范法》的最后文本,在A/CN.9/729及其各增编中纳入本届会议商定的修改意见,在添加新的第15条之二后对各条款重新编号,修正比照提及内容,并对《示范法》全文作出其它必要的文字修改。
General comments一般性评论
180. While acknowledging the efforts made to prepare the revised Model Law, a view was expressed that some of its provisions focused excessively on the use of public procurement as a tool for promotion of international trade.180. 在感谢为编写《示范法》修订本所作努力的同时,有观点认为,《示范法》的一些条文过于注重将公共采购当作促进国际贸易的手段。
According to that view, public procurement in many developing countries was used as a tool for building local capacities, developing local small and medium-sized enterprises and implementing other socio-economic and environmental policies of States.这种观点认为,在许多发展中国家,公共采购被用作建设当地能力、发展当地中小企业和落实本国其他社会经济和环境政策的手段。
The Commission was urged to take into account the social and economic realities of various countries in preparing the Guide and to avoid indicating that the text should be directly implemented into domestic legislation without amendment to take account of such matters.促请委员会在编写《指南》时考虑到各国的社会和经济现实,同时避免作出这样的说明,即应当将《示范法》案文直接写入国内立法而无需在顾及上述事项的情况下作出修正。
C. Preparation of a Guide to Enactment to the revised Model LawC. 拟订《示范法》修订本《颁布指南》
181. The importance of a Guide to Enactment to the revised Model Law as an indispensable accompaniment to that Model Law was stressed.181. 会上强调了《示范法》修订本《颁布指南》作为该《示范法》不可获缺的连带部分的重要性。
Recalling that the Guide was expected to contain recommendations to enacting States on how to implement the Model Law, it was understood that the Guide should be approved by the Commission at its next session.会上回顾,《指南》预期将载列关于颁布国如何落实《示范法》的各项建议,会上的理解是,《指南》应由委员会在下届会议上核准。
It was therefore agreed that work on finalizing the Guide should be undertaken in as efficient and practical manner as possible.因此商定,应当以尽可能高效、实际的方式进行《指南》的最后审定工作。
Views varied, however, on whether the Working Group should reconvene to finalize the Guide.但是,关于工作组应何时重开会议最后审定《指南》,会上有不同看法。
The view of some delegations was that this was not necessary; the core policy issues had been agreed and reflected in the Model Law, so the Secretariat, in consultation with experts, would be able to finalize the Guide.有些代表团认为,这样做是不必要的:核心政策问题已经商定并反映在《示范法》中,因此,秘书处只要与专家协商即可最后审定《指南》。
In support of that view, it was stated that: (a) the final Guide should be presented by the Secretariat for adoption of the Commission at its forty-fifth session, in 2012; (b) a sufficient number of days should be allocated to the Commission for that purpose; and (c) if any session of the Working Group were to be held before the Commission’s forty-fifth session, only one session, preferably in the spring of 2012, should be held.此种观点的支持者提出以下几点:(a)秘书处应在委员会下届会议即2012年第四十五届会议上将《指南》定本提交委员会通过;(b)应当为此目的为委员会分配足够的天数;(c)如果必须在委员会第四十五届会议之前举行工作组的任何届会,只能举行一次届会,最好是在2012年春季。
Another view was that, in the light of budgetary uncertainties, a Working Group session before the Commission’s session in 2012 would be undesirable.另一种观点是,鉴于预算上的不确定性,在委员会2012年届会之前举行工作组届会不可取。
Alternatives to Working Group sessions were considered, such as meetings of a working party, informal meetings before the Commission session or expert group meetings in the manner usually convened by the Secretariat.考虑了工作组届会以外的其他选择办法,如工作班子会议、委员会届会之前的非正式会议或者秘书处通常采取的专家组会议的形式。
182. The alternative view was that it was essential for the Working Group to continue working on the Guide, particularly as a number of policy issues (some of which might be difficult to resolve) had been referred to the Guide for elaboration.182. 还有一种看法是,工作组继续就《指南》展开工作是至关重要的,特别是一些政策问题(其中某些问题可能难以解决)留待《指南》加以阐述。
The involvement of all delegations in resolving them was considered important.所有代表团参加解决这些问题,被认为是很重要的。
Support was therefore expressed for holding at least one session of the Working Group before the next session of the Commission.因此,会上表示支持至少在委员会下届会议之前举行一次工作组届会。
It was added that the draft Guide was a long document, which the Commission would not be in a position during its session to consider in sufficient detail in full in order to ensure the quality of the text.补充说,指南草案是一份篇幅很长的文件,委员会是无法在其届会期间为确保案文质量而充分详尽地进行审议的。
183. The differences between formal intergovernmental sessions and informal expert group meetings convened by the Secretariat, from budgetary and other perspectives, were recalled.183. 会上从预算和其他角度回顾了正式的政府间届会和秘书处举行的非正式专家组会议之间的区别。
Informal alternatives to a session of the Working Group alone were not considered viable, in part because the expectation was that the Guide would be finalized in a formal intergovernmental setting.以非正式方式来替代工作组届会,被认为是不可行的,部分是因为,《指南》将在正式的政府间场合最后审定。
It was emphasized that experts at expert group meetings acted in their individual capacity rather than as representatives of Governments; since the Guide was expected to be an UNCITRAL document, it was considered essential that all States had a chance to participate.强调指出,专家在专家小组会议上是以个人身份行事,而不是以政府代表的身份行事;鉴于《指南》将成为贸易法委员会的法规文件,认为所有国家有机会参与其中是至关重要的。
In addition, concerns were expressed that availability of resources for interpretation and translation in all six official United Nations languages in the context of informal meetings, unlike formal intergovernmental sessions, could not be ensured.还有一点令人关切,即非正式会议不同于正式的政府间届会,无法确保提供资源以联合国所有六种语文提供口译和笔译。
It was considered essential that the text of the Guide should be made available in all official languages of the United Nations well before the session of the Commission for comment by States and interested organizations.会上认为,至关重要的是在委员会届会之前以联合国的所有正式语文提供《指南》案文,以留出足够时间供各国和有关组织提出意见。
184. The Commission preliminarily agreed that holding one session of the Working Group before the next session of the Commission, in either late autumn 2011 or early 2012, would be appropriate; the final decision on that issue was deferred, however, until the Commission had a chance to consider all issues related to future meetings of UNCITRAL.184. 委员会初步商定,在委员会下届会议之前举行一届工作组会议是适当的,该届会议可以在2011年秋末举行,也可在2012年初举行;不过,关于这个问题还需待委员会有机会审议与贸易法委员会今后会议有关的所有问题之后再作决定。
(For further consideration of the issue, see paras. 334-350 below.) The Secretariat was instructed to advance work on the Guide as much as possible for that session of the Working Group, through informal consultations with experts.(关于这个问题的进一步审议,见下文第360-376段)。 委员会指示秘书处通过与专家的非正式协商,尽量为工作组该届会议而推进《指南》的工作。
The prevailing view was that, during the preparation of the revised Model Law, in-person expert group meetings had proved to be more efficient than teleconferences or exchanges of comments and documents.普遍看法是,在《示范法》修订本拟订期间,专家亲自到场的小组会议已证明比远程会议或交流看法和交换文件更有效。
185. It was proposed that the Commission should consider at a later session whether some topics addressed in the Guide (such as defence procurement) and other issues that might be of interest to users or in certain regions could be discussed in detail in supporting papers, rather than in the Guide.185. 会上提出,委员会应当在以后的一次届会上审议是否将《指南》中涉及的某些问题(如国防采购)以及可能涉及某些区域用户的其他问题放在辅助性文件而不是放在《指南》中详细论述。
186. In response to a query on how to ensure that the Guide would be a living document, the suggestion was made that it could be updated electronically on the UNCITRAL website.186. 针对关于如何确保《指南》成为一种有活力的文件而提出的一个问题,有建议提出可以在贸易法委员会网站上以电子方式不断更新《指南》。
The need for regular contacts by the Secretariat with experts to monitor developments in the regulation of public procurement was emphasized.会上强调,为了监测公共采购条例的变化发展,秘书处需要经常与专家联系。
It was suggested that the Commission might receive periodic reports of the Secretariat with the relevant information and proposals and that it would be for the Commission to authorize making the proposed changes in the Guide.会上提出,委员会可以收阅秘书处提供的载有相关信息和建议的定期报告,然后由委员会授权对《指南》作出拟议的改动。
The significant expertise that had been built up in the preparation of the revised Model Law and a revised Guide could be harnessed through such a mechanism without the need to engage a working group.《示范法》修订本以及《指南》修订本的拟订工作中汇聚了大量的专门知识,可以通过这种机制加以利用,而无需召集工作组。
187. The creation of a blog on the “UNCITRAL Model Procurement Law”, and the principles of operation of that blog, were announced.187. 会上宣布将建立“《贸易法委员会采购示范法》”微博,并宣布了这一微博的运作原则。
The goal was to create an open platform for the exchange of comments on the implementation of the revised Model Law and the use of its Guide.目标是就《示范法》修订本的执行及其《指南》的使用提供一个意见交流公开平台。
D. Promotion of the revised Model LawD. 推广《示范法》修订本
188. The Commission heard an oral report from the Secretariat on its efforts to promote the work of UNCITRAL in the area of public procurement and the instruments resulting from that work.188. 委员会听取了秘书处关于为促进贸易法委员会在公共采购领域中的工作并推广由此项工作产生的各项文书所作的努力的口头报告。
It was reported that the main activities were through conferences and publications and technical assistance projects.报告中指出,主要活动包括会议和出版物以及技术援助项目。
A joint project with the European Bank for Reconstruction and Development and OSCE for countries of the Commonwealth of Independent States and Mongoliathat was intended to start in September 2011 was cited as an example.会上举出的一个例子是计划于2011年9月开始执行的一个联合项目,将与欧洲复兴开发银行和欧安组织为独联体国家和蒙古实施该项目。
The project, it was explained, had as its goal the promotion and use of the revised Model Law in those countries, some of which had based their procurement law on the 1994 text.据解释,该项目设定的目标是在这些国家推广和使用《示范法》修订本,其中一些国家的采购法是以1994年文本为基础的。
189. The need for States to take a more active role in promoting the use of the revised Model Law and its effective implementation and uniform interpretation, in particular through the donor agencies of States, was stressed, also given resource constraints in the Secretariat for such work.189. 会上强调,尤其是在秘书处开展此项工作的资源有限的情况下,各国需发挥更为积极的作用,促进《示范法》修订本的使用及其有效执行和统一解释,特别是借助各国的赞助机构。
In that regard, reference was made to the CLOUT (case law on UNCITRAL texts) system for collecting and disseminating information about UNCITRAL texts (see paras. 271-274 below), which did not currently contain reported case law on UNCITRAL texts in the area of public procurement.在这方面提到了贸易法委员会法规信息收集和传播系统(法规判例法),该系统目前还没有任何关于贸易法委员会在公共采购领域中的法规的报告案例法。
Information about enactment of UNCITRAL instruments in that area was also lacking as a result of the absence of reports from States to the Commission.关于这一领域贸易法委员会文书的颁布情况,也由于没有各国向委员会的报告而缺乏资料。
Inherent differences with respect to monitoring the enactment of UNCITRAL texts in the area of public procurement, including because enactments were generally adapted to suit local circumstances, were recalled.回顾说,对公共采购领域颁布贸易法委员会法规的监测工作本身存在差异,其中的原因包括,所颁布的法规一般都为适合当地情况而作了调整。
It was generally agreed that coordination among the various procurement reform agencies and other mechanisms to promote effective implementation and uniform interpretation of the revised Model Law should be considered.普遍认为应当为促进有效执行和统一解释《示范法》修订本而在各种采购改革机构和其他机制之间进行协调。
The benefits of those approaches for achieving a greater harmonization of public procurement laws in various jurisdictions were highlighted.强调了这些做法有利于不同法域实现公共采购法的进一步协调统一。
E. Future work in the area of public procurementE. 公共采购领域今后的工作
190. The Commission considered the desirability of work in the area of public-private partnerships and privately financed infrastructure projects.190. 委员会审议了在公共—私人伙伴关系或私人融资基础设施项目领域开展工作的可取性。
The Commission recalled its instruments on privately financed infrastructure projects and heard a view that those instruments might need to be updated in the light of the work accomplished in the area of public procurement.委员会对其关于私人融资基础设施项目的各项文书作了回顾,并听取了这样的看法,即鉴于在公共采购领域所完成的工作,可能有必要对这些文书进行更新。
In the view of some delegations, however, the issue should be considered in the broader context of the future work programme of UNCITRAL as a whole and in the light of financial and human resource constraints faced by UNCITRAL and its secretariat so as to prioritize the work in various fields appropriately.但是,在有些代表团看来,对这个问题的审议应当放在整个贸易法委员会今后的工作方案这一更大的范围内,而且要考虑到贸易法委员会及其秘书处在财政和人力资源方面面临的困难,以便对不同领域工作的优先重点作出适当安排。
191.
The Commission requested the Secretariat to prepare a study on possible future work of UNCITRAL in the area of public-private partnerships and privately financed infrastructure projects for consideration by the Commission at a future session.190. 委员会请秘书处编写一份关于贸易法委员会在公共—私人伙伴关系/私人融资基础设施项目领域今后可能开展的工作的研究报告,供委员会在将来一届会议上审议。
It was noted that this topic could include many aspects, of which public procurement was only one.据指出,这一议题可包含许多方面,公共采购只是其中的一个方面。
F. Adoption of the UNCITRAL Model Law on Public ProcurementF. 通过《贸易法委员会公共采购示范法》
192.
The Commission, after consideration of the text of the draft UNCITRAL Model Law on Public Procurement and other procurement-related topics, adopted the following decision at its 933rd meeting, on 1 July 2011:191. 委员会审议贸易法委员会公共采购示范法草案案文以及其他与采购相关的主题之后,于2011年7月1日在第933次会议上通过了下述决定:
“The United Nations Commission on International Trade Law,“联合国国际贸易法委员会,
“Recalling its mandate under General Assembly resolution 2205 (XXI) of 17 December 1966 to further the progressive harmonization and unification of the law of international trade and in that respect to bear in mind the interests of all peoples, and in particular those of developing countries, in the extensive development of international trade,“回顾大会1966年12月17日第2205 (XXI)号决议赋予委员会的任务是,促进国际贸易法的逐渐协调和统一,并在这方面念及各国人民,尤其是发展中国家人民在国际贸易广泛发展中的利益,
“Noting that procurement constitutes a significant portion of public expenditure in most States,“注意到采购构成了大多数国家公共开支的一个重要部分,
“Recalling the adoption of its Model Law on Procurement of Goods, Construction and Services at its twenty-seventh session, in 1994,“回顾其1994年第二十七届会议通过了《货物、工程和服务采购示范法》,
“Observing that the 1994 Model Law, which has become an important international benchmark in procurement law reform, contains procedures aimed at achieving competition, transparency, fairness, economy and efficiency in the procurement process,“认为1994年《示范法》已成为采购法改革方面的重要国际尺度,其中所载程序着眼于采购过程实现竞争、透明度、公平性、节省和效率,
“Observing also that, despite the widely recognized value of the 1994 Model Law, new issues and practices have arisen since its adoption that have justified revision of the text,“还认为1994年《示范法》的价值虽已得到广泛承认,但自1994年《示范法》通过以来出现了新问题和新做法,因而有必要对其案文加以修订,
“Recalling that, at its thirty-seventh session, in 2004, it agreed that the 1994 Model Law would benefit from being updated to reflect new practices, in particular those resulting from the use of electronic communications in public procurement, and the experience gained in the use of the 1994 Model Law as a basis for law reform, taking care, however, not to depart from the basic principles behind it and not to modify the provisions whose usefulness had been proven,“回顾委员会2004年第三十七届会议曾商定,增订1994年《示范法》将使之受益,从而反映新做法,特别是公共采购领域使用电子通信后产生的新做法,并借鉴在使用1994年《示范法》作为法律改革基础方面取得的经验,但注意不要偏离《示范法》所依据的基本原则,也不能修改已被证明实用有效的条文,
“Recalling also that at that session it decided to entrust the drafting of proposals for the revision of the 1994 Model Law to its Working Group I (Procurement), which was given a flexible mandate to identify the issues to be addressed in its considerations,“还回顾委员会在该届会议上决定责成第一工作组(采购)草拟1994年《示范法》修订草案,并赋予该工作组灵活确定审议工作拟处理问题的授权,
“Expressing appreciation to the Working Group for having prepared the draft UNCITRAL Model Law on Public Procurement,“表示赞赏工作组拟订了贸易法委员会公共采购示范法草案,
“Noting that the revisions to the 1994 Model Law were the subject of due deliberation and extensive consultations with Governments and interested international organizations, and thus it can be expected that the revised Model Law, to be called ‘the UNCITRAL Model Law on Public Procurement’, would be acceptable to States with different legal, social and economic systems,“注意到各国政府和有关国际组织已对1994年《示范法》修订意见进行了应有的审议和广泛协商,因此,拟称作‘《贸易法委员会公共采购示范法》’的《示范法》修订本可望为法律、社会和经济制度不同的各国所接受,
“Noting also that the revised Model Law is expected to contribute significantly to the establishment of a harmonized and modern legal framework for public procurement that promotes economy, efficiency and competition in procurement and at the same time fosters integrity, confidence, fairness and transparency in the procurement process,“还注意到《示范法》修订本可望对建立协调统一的现代公共采购法律框架作出显著贡献,此种框架既可促进在采购中节省费用,提高效率和加强竞争,同时又可增进采购程序的廉正、公信度、公平和透明度,
“Being convinced that the revised Model Law will significantly assist all States, in particular developing countries and States whose economies are in transition, in enhancing their existing procurement laws and formulating procurement laws where none presently exist, and will lead to the development of harmonious international economic relations and increased economic development,“深信《示范法》修订本将大大有助于所有国家,特别是发展中国家和经济转型国家加强其现有采购法律并制订尚不具备的采购法,从而促进发展协调的国际经济关系,拉动经济发展,
“1. Adopts the UNCITRAL Model Law on Public Procurement as it appears in annex I to the report of its current session;“1. 通过委员会本届会议报告附件一所载《贸易法委员会公共采购示范法》;
“2. Requests the Secretary-General to disseminate broadly, including through electronic means, the text of the UNCITRAL Model Law on Public Procurement to Governments and other interested bodies;“2. 请秘书长通过包括电子手段在内的方式,向各国政府和其他有关机构广泛传播《贸易法委员会公共采购示范法》文本;
“3. Recommends that all States use the UNCITRAL Model Law on Public Procurement in assessing their public procurement legal regime and give favourable consideration to the UNCITRAL Model Law on Public Procurement when they enact or revise their laws;“3. 建议所有国家使用《贸易法委员会公共采购示范法》评价本国的公共采购法律制度,并在颁布或修订其法律时对《贸易法委员会公共采购示范法》给予优先考虑;
“4. Requests all States to support the promotion and implementation of the UNCITRAL Model Law on Public Procurement;“4. 请所有国家对促进和执行《贸易法委员会公共采购示范法》给予支持;
“5. Calls for closer cooperation and coordination among the Commission and other international organs and organizations, including regional organizations, active in the field of procurement law reform, in order to avoid undesirable duplication of efforts and inconsistent, incoherent or conflicting results in the modernization and harmonization of public procurement law;“5. 呼吁委员会与活跃于采购法改革领域中的包括区域组织在内的其他国际机构和组织之间进行更密切的合作和协调,以避免在公共采购示范法更新和协调统一过程中出现不应有的重复努力以及不一致、不连贯或相互矛盾的结果;
“6. Endorses the efforts and initiatives of the Commission’s secretariat aimed at increasing coordination of, and cooperation on, legal activities concerned with public procurement reform.”“6. 赞同委员会为增进公共采购改革相关法律活动的协调与合作所作的努力和提出的举措。
IV.
Finalization and adoption of judicial materials on the UNCITRAL Model Law on Cross-Border Insolvency 193.四. 最后审定和通过关于《贸易法委员会跨国界破产示范法》的司法材料
The Commission noted that Working Group V (Insolvency Law) had considered at its thirty-ninth session, held in Vienna from 6 to 10 December 2010, a draft text of the judicial materials on the Model Law (A/CN.9/WG.V/WP.97 and Add.1 and 2), which responded to a mandate given to the Secretariat by the Commission and was developed in consultation with judges and insolvency experts (A/CN.9/715, paras. 110-116).193. 委员会注意到,第五工作组(破产法)2010年12月6日至10日在维也纳举行的第三十九届会议已经审议了按照委员会对秘书处的任务授权、经与法官和破产专家协商编写的《示范法》司法材料案文草案(A/CN.9/WG.V/WP.97及Add.1和2)(A/CN.9/715,第110-116段)。
The Commission further noted that the draft text had been considered at the Ninth Multinational Judicial Colloquium, held in Singapore on 12 and 13 March 2011 (see paras. 220-221 below) and that, pursuant to the Working Group’s request (A/CN.9/715, para. 116), it had been circulated to Governments for comment in February 2011.委员会还注意到,2011年3月12日和13日在新加坡举行的第九次多国司法座谈会对案文草案进行了审议(见下文第220-221段),并且,根据工作组的请求(A/CN.9/715,第116段),已于2011年2月将案文草案发给各国政府征求意见。
194. The draft judicial materials were revised on the basis of the decisions made by the Working Group at its thirty-ninth session, the comments received from Governments and those made at the judicial colloquium.194. 根据工作组第三十九届会议作出的决定以及从各国政府收到的评论意见和司法座谈会上提出的评论意见,对该司法材料草案作了修订。
195. The Commission had before it the revised version of the draft judicial materials (A/CN.9/732 and Add.1-3), the comments from Governments (A/CN.9/733 and Add.1) and the report of the thirty-ninth session of the Working Group (A/CN.9/715).195. 委员会收到了司法材料草案修订本(A/CN.9/732和Add.1-3)、各国政府的评论意见(A/CN.9/733和Add.1)和工作组第三十九届会议的报告(A/CN.9/ 715)。
The Commission heard an oral introduction to the draft text.委员会听取了就该案文草案作的口头介绍。
196. The Commission expressed its appreciation for the draft judicial materials and emphasized their usefulness for practitioners and judges, as well as creditors and other stakeholders in insolvency proceedings, particularly in the context of the current financial crisis.196. 委员会对司法材料草案表示赞赏,并强调司法材料对于从业人员和法官以及破产程序中的债权人和其他利益攸关方非常有用,特别是在目前的金融危机中。
In that regard, the judicial materials were viewed as very timely.在这方面,认为司法材料非常及时。
The Commission also expressed its appreciation for the incorporation of the suggestions made by Governments following circulation of the draft judicial materials and agreed that the document should be entitled “The UNCITRAL Model Law on Cross-Border Insolvency: the judicial perspective”.委员会还表示赞赏司法材料草案分发之后各国政府提出的建议得到采纳,并商定将文件标题定为“《贸易法委员会跨国界破产示范法》:司法角度的审视”。
197. The Commission also agreed that, in order to recognize the significant contribution of Justice Paul Heathof the High Court of New Zealand in preparing the first draft of the judicial materials and contributing to its further development, an appropriate acknowledgement should be included in a preface that would be prepared by the Secretariat.197. 委员会还商定,为了感谢新西兰高等法院Paul Heath法官为编写司法材料第一稿作出的显著贡献以及为进一步完善司法材料作出的贡献,应在秘书处编写的序言中加入适当的致谢辞。
198. At its 934th meeting, on 1 July 2011, the Commission adopted the following decision:198. 在2011年7月1日第934次会议上,委员会通过了下述决定:
The United Nations Commission on International Trade Law,联合国国际贸易法委员会,
Noting that increased trade and investment leads to a greater incidence of cases where business is conducted on a global basis and enterprises and individuals have assets and interests in more than one State,注意到由于贸易和投资的增长,在全球范围开展业务以及企业和个人在不止一个国家拥有资产和利益的情形也在增加,
Noting also that, where the subjects of insolvency proceedings are debtors with assets in more than one State, there is generally an urgent need for cross-border cooperation in, and coordination of, the supervision and administration of the assets and affairs of those debtors,又注意到如果破产诉讼的主体是在不止一个国家拥有资产的债务人,通常就紧迫需要跨国界合作与协调,监督和管理这些债务人的资产和业务,
Considering that cooperation and coordination in cross-border insolvency cases has the potential to significantly improve the chances for rescuing financially troubled debtors,考虑到在跨国界破产案件中进行合作与协调,有可能大为增加救助陷入财务困境的债务人的机会,
Believing that the UNCITRAL Model Law on Cross-Border Insolvency (the Model Law) contributes significantly to the establishment of a harmonized legal framework for addressing cross-border insolvency and facilitating coordination and cooperation,相信《贸易法委员会跨国界破产示范法》(《示范法》)能显著促进建立一个统一的法律框架处理跨国界破产问题和便利协调与合作,
Acknowledging that familiarity with cross-border cooperation and coordination and the means by which it might be implemented in practice is not widespread,认识到跨国界合作与协调及其实际操作方式尚未广为熟知,
Convinced that providing readily accessible information on the interpretation of and current practice with respect to the Model Law for reference and use by judges in insolvency proceedings has the potential to promote wider use and understanding of the Model Law and facilitate cross-border judicial cooperation and coordination, avoiding unnecessary delay and costs,深信如果关于《示范法》的解释和现行做法的信息易于法官调阅,供其在破产诉讼中参考使用,就有可能推动更广泛地使用和了解《示范法》,便利跨国界司法合作与协调,避免不必要的延误和费用,
1.
Adopts the UNCITRAL Model Law on Cross-Border Insolvency: the Judicial Perspective, as contained in document A/CN.9/732 and Add.1-3 and authorizes the Secretariat to edit and finalize the text in the light of the deliberations of the Commission;1. 通过A/CN.9/732和Add.1-3号文件所载“《贸易法委员会跨国界破产示范法》:司法角度的审视”,同时授权秘书处根据委员会审议情况编辑审定该文本;
2. Requests the Secretariat to establish a mechanism for updating the Judicial Perspective on an ongoing basis in the same flexible manner as it was developed, ensuring that its neutral tone is maintained and that it continues to meet its stated purpose;2. 请秘书处建立一个机制,以拟订“司法角度的审视”的同样灵活方式持续更新这一文本,确保维持中立的语气和继续达到所申明的目的;
3. Requests the Secretary-General to publish, including electronically, the text of the Judicial Perspective, as updated/amended from time to time in accordance with paragraph 2 of this decision, and to transmit it to Governments with the request that the text be made available to relevant authorities so that it becomes widely known and available;3. 请秘书长发表“司法角度的审视”的文本根据本决定第2段不断更新/修订的版本,包括以电子形式予以发表,并将其分送各国政府,请各国政府向相关机构提供该文本,使之广为人知并可供查阅;
4. Recommends that the Judicial Perspective be given due consideration, as appropriate, by judges, insolvency practitioners and other stakeholders involved in cross-border insolvency proceedings;4. 建议法官、破产从业人员和跨国界破产程序的其他利益攸关方酌情适当考虑“司法角度的审视”;
5. Also recommends that all States continue to consider implementation of the Model Law.5. 还建议所有国家继续审议《示范法》的实施情况。
V. Arbitration and conciliation五. 仲裁和调解
A. Progress reports of Working Group IIA. 第二工作组进度报告
199. At its current session, the Commission had before it the reports of the Working Group on its fifty-third session, held in Vienna from 4 to 8 October 2010 (A/CN.9/712), and on its fifty-fourth session, held in New York from 7 to 11 February 2011 (A/CN.9/717).199. 在本届会议上,委员会收到了2010年10月4日至8日在维也纳举行的工作组第五十三届会议的报告(A/CN.9/712)和2011年2月7日至11日在纽约举行的第五十四届会议的报告(A/CN.9/717)。
The Commission commended the Working Group for the progress made regarding the preparation of a legal standard on transparency in treaty-based investor-State arbitration and the Secretariat for the quality of the documentation prepared for the Working Group.委员会赞扬工作组在拟订投资人与国家间基于条约仲裁透明度法律标准方面取得的进展,并赞扬秘书处为工作组编写的文件的质量。
200. The Commission noted that the Working Group had considered matters of content, form and applicability of the legal standard on transparency to both future and existing investment treaties.200. 委员会注意到,工作组已审议了透明度法律标准的内容、形式和对未来和现有投资条约的适用性等事宜。
It was confirmed that the question of applicability of the legal standard on transparency to existing investment treaties was part of the mandate of the Working Group and a question with great practical interest, taking account of the high number of treaties already concluded.委员会确认,透明度法律标准对现有投资条约的适用性问题是工作组任务授权的组成部分,鉴于已经缔结大量条约,这个问题具有重大的现实意义。
The Commission also reiterated its commitment expressed at its forty-first session, in 2008, regarding the importance of ensuring transparency in investor-State arbitration.委员会还重申其2008年第四十一届会议就确保投资人与国家间仲裁的透明度的重要性所表示的承诺。
201. The Commission noted that the Working Group had discussed at its fifty-third session the matter of submissions by third parties (amicus curiae) in arbitral proceedings.201. 委员会注意到,工作组第五十三届会议讨论了第三方(法庭之友)在仲裁程序中提交材料的事项。
In that context, the question of intervention in the arbitration by a non-disputing State party to the investment treaty was raised.在这方面,提出了投资条约非争议方缔约国介入仲裁的问题。
At that session, the Working Group had agreed to seek guidance from the Commission on whether that topic could be dealt with by the Working Group in the context of its current work (A/CN.9/712, para. 103).工作组该届会议商定,请委员会就工作组可否在目前工作范围内处理这一议题提供指导(A/CN.9/712,第103段)。
That agreement was reiterated by the Working Group at its fifty-fourth session (A/CN.9/717, para. 153).工作组第五十四届会议重申了这一商定意见(A/CN.9/717,第153段)。
It was explained that, at its fifty-third session, the Working Group had noted that two possible types of amicus curiae should be distinguished and perhaps considered differently.据解释,工作组第五十三届会议指出,应当区分法庭之友的两种可能类型,或许还应区别考虑。
The first type could be any third party that would have an interest in contributing to the solution of the dispute.第一类可以是有兴趣促成解决争议的任何第三方。
A second type could be another State party to the investment treaty at issue that was not a party to the dispute.第二类可以是并非争议当事方的相关投资条约另一缔约国。
It was noted that such a State often had important information to provide, such as information on travaux préparatoires, thus preventing one-sided treaty interpretation.据称,这类国家往往有重要的信息可以提供,例如关于准备工作文件的信息,从而避免对条约作单方面解释。
It was also noted that an intervention by a non-disputing State party of which the investor was a national could raise issues of diplomatic protection and was to be given careful consideration (A/CN.9/712, para. 49).还指出,作为投资人国籍国的非争议方缔约国的介入可能引起外交保护的问题,对此应加以认真考虑(A/CN.9/ 712,第49段)。
202. After discussion, the Commission agreed that the question of possible intervention in the arbitration by a non-disputing State party to the investment treaty should be regarded as falling within the mandate of the Working Group.202. 经过讨论,委员会商定,投资条约非争议方缔约国可能介入仲裁的问题应当视为属于工作组的授权范围。
Whether the legal standard on transparency should deal with such a right of intervention and, if so, the determination of the scope and modalities of such intervention should be left for further consideration by the Working Group.透明度问题法律标准是否应当述及这种介入权,如果是,如何确定这种介入的范围和方式,这一问题应留给工作组进一步审议。
203. With respect to future work in the field of settlement of commercial disputes, the Commission recalled that the issue of arbitrability should be maintained by the Working Group on its agenda, as decided by the Commission at its thirty-ninth session.203. 关于今后在解决商事争议领域的工作,委员会回顾,工作组应根据委员会第三十九届会议的决定,在其议程上保留可仲裁性问题。
Further, the Commission heard a suggestion that the issue of confidentiality might need to be further examined.委员会还听取了一项关于或需对保密问题作进一步研究的建议。
It was said that, where confidentiality was specifically protected under legislation, there was no single approach to the scope of the obligation of confidentiality in terms of the information that was to be treated as confidential, the persons to whom the obligation attached or permissible exceptions to prohibitions on disclosure and communication.会上指出,在有立法专门保护机密的情况下,关于应作为机密对待的信息、负有保密义务的人或者对禁止披露和传播信息规定的例外情形,并无任何单一的做法处理保密义务的范围。
The Commission agreed that the options for dealing with confidentiality in commercial arbitration should be considered as a matter for future work of the Working Group.委员会商定,处理商事仲裁中保密问题的各种选择应当视为工作组今后工作的一个事项。
204. The Commission was informed that recommendations to assist arbitral institutions and other interested bodies with regard to arbitration under the UNCITRAL Arbitration Rules, as revised in 2010, were under preparation by the Secretariat in accordance with the decision of the Commission at its forty-third session, in 2010.204. 委员会获悉,按照委员会2010年第四十三届会议的决定,秘书处正在编写建议,以协助仲裁机构和其他有关机构根据《贸易法委员会仲裁规则》2010年修订本进行仲裁。
It was recalled that the purpose of such recommendations was to promote the use of the Rules and that arbitral institutions in all parts of the world would be more inclined to accept acting as appointing authorities if they had the benefit of such recommendations.据回顾,此类建议的目的是推广《规则》的使用,世界各地的仲裁机构如能受益于此类建议将更愿意担任指定机构。
Subject to the availability of resources, the Secretariat was requested to prepare draft recommendations for consideration by the Commission at a future session, preferably as early as 2012.在可获得资源的前提下,请秘书处编写建议草案供委员会今后一届会议审议,最好是在2012年初就能审议。
205. The Commission agreed that the 1996 UNCITRAL Notes on Organizing Arbitral Proceedings needed to be updated pursuant to the adoption of the UNCITRAL Arbitration Rules, as revised in 2010, and entrusted the Secretariat with the preparation of the revised Notes.205. 委员会商定,由于《贸易法委员会仲裁规则》2010年修订本已获通过,需要修订1996年《贸易法委员会关于安排仲裁程序的说明》,并委托秘书处编写《说明》修订本。
206. The Commission heard an oral report on progress regarding the preparation of a guide to enactment and use of the UNCITRAL Model Law on International Commercial Arbitration as amended in 2006.206. 委员会听取了关于2006年修正的《贸易法委员会国际商事仲裁示范法》颁布和使用指南的编写进度的口头报告。
The Commission requested the Secretariat to pursue its efforts towards the preparation of the guide.委员会请秘书处继续努力编写该指南。
It was agreed that a more substantive presentation on progress made in the preparation of the guide should be made at a future session of the Commission.会上商定,应在委员会今后一届会议上就编写指南的进展作更具实质性的专题介绍。
207. Noting the various projects referred to in paragraphs 204-206 above, as well as the preparation of a guide on the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, done at New Yorkon 10 June 1958 (see paras. 250-252 below), the Commission discussed the priorities to be given to those projects.207. 委员会注意到上文第204-206段提到的各种项目,以及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》指南的编写(见下文第250-252段),讨论了这些项目的优先顺序。
The Commission agreed on the importance of each of those projects and took note of the fact that, resources permitting, the Secretariat should work as a matter of priority on the preparation of recommendations on the use of the UNCITRAL Arbitration Rules, as revised in 2010, and on revising the UNCITRAL Notes on Organizing Arbitral Proceedings.委员会一致认为其中每个项目都很重要,并注意到,在资源允许的情况下,秘书处应当优先编写关于使用《贸易法委员会仲裁规则》2010年修订本的建议和修订《贸易法委员会关于安排仲裁程序的说明》。
The elaboration of a guide on the New York Convention (see para. 252 below), which might take longer than the other two projects, was seen as a particularly important goal.拟订《纽约公约》指南(见下文第252段)被视为一项特别重要的目标,所花费的时间可能比其他两个项目要长。
B. Mediation in the context of settlement of investor-State disputesB. 投资人与国家间争议解决中的调停
208. The Commission noted that, following consultations between the secretariats of UNCITRAL and UNCTAD, a proposal had been received by the UNCITRAL secretariat from UNCTAD on the question of mediation in the context of settlement of investor-State disputes (transmitted to the Commission in a note by the Secretariat (A/CN.9/734)).208. 委员会注意到,在贸易法委员会秘书处和贸发会议秘书处磋商之后,贸易法委员会秘书处收到了贸发会议关于投资人与国家间争议解决中的调停的提案(已在一份秘书处说明(A/CN.9/734)中转交给委员会)。
209. The Commission heard a presentation by the secretariat of UNCTAD on the use of mediation in the context of investor-State dispute settlement.209. 委员会听取了贸发会议秘书处就投资人与国家间争议解决中使用调停所作的专题介绍。
The work of UNCTAD on international investment law was said to pursue the overall objective of harnessing foreign investment as a tool for sustainable development.据指出,贸发会议有关国际投资法的工作是为了实现将外国投资用作促进可持续发展的手段这一总体目标。
It was said that, in recent years, there had been an increasing interest in the possibility of using alternative methods for managing disputes effectively.指出近年来人们对使用替代办法有效管理争议的可能性的兴趣日益增加。
Effective recourse to mediation or conciliation as part of investor-State dispute settlement mechanisms might improve the efficiency of dispute resolution and have several advantages, such as enhancing flexibility, consuming fewer resources and being favourable to the long-term working relationship between the parties, while simultaneously improving good governance and regulatory practices of States.将有效诉诸调停或调解作为投资人与国家间争议解决机制的组成部分,可以提高争议解决的效率,并有若干长处,如增强灵活性、减少耗费的资源以及更有利于当事各方之间的长期工作关系,同时又可改进各国的良好治理和监管做法。
Overall, mediation/conciliation as an alternative approach to international arbitration under investment treaties was said to offer a promising alternative to the settlement of investment disputes through international arbitration; hence various actors should be encouraged to give such methods further consideration.总而言之,据指出,调停/调解作为投资条约下国际仲裁的替代办法提供了通过国际仲裁解决投资争议这一大有希望的替代办法;因此应当鼓励各行动方进一步考虑这类办法。
210. It was said that UNCITRAL had already adopted well-known texts in the field of mediation/conciliation.210. 据指出,贸易法委员会已在调停/调解领域通过了一些广为人知的法规。
The 1980 UNCITRAL Conciliation Rules contained a set of rules to be applied by agreement of the parties to conciliation of disputes arising out of, or relating to, a contractual or other legal relationship where the parties were seeking an amicable settlement of their dispute.1980年《贸易法委员会调解规则》载有一套规则,由当事各方协议用于合同关系或其他法律关系所产生的或与此类关系有关的、当事各方寻求友好解决的争议的调解。
The UNCITRAL Model Law on International Commercial Conciliation, adopted in 2002, which provided uniform rules in respect of the conciliation process, used a broad notion of the term “conciliation” for referring to proceedings in which a third person or a panel of persons (“the conciliator”) assisted the parties in their attempt to reach an amicable settlement of their dispute.2002年通过的《贸易法委员会国际商事调解示范法》就调解程序提供了统一规则,其中使用了“调解”一词,这一广泛概念指第三人或数人组成的小组(“调解人”)协助当事各方努力就其争议达成友好解决的程序。
The Model Law on Conciliation addressed procedural aspects of conciliation, including the appointment of conciliators, the commencement and termination of conciliation, the conduct of conciliation, communication between the conciliator and other parties, confidentiality and the admissibility of evidence in other proceedings, as well as post-conciliation issues, such as the conciliator acting as arbitrator and the enforceability of settlement agreements.《调解示范法》处理调解的程序问题,包括调解人的任命、调解的启动和终止、调解的进行、调解人与其他当事方之间的通信、保密和其他程序中证据的可采性以及调解后问题,如调解人充当仲裁员及和解协议的可执行问题。
211. The Commission considered steps that might need to be taken to foster the use of mediation in the context of investor-State dispute settlement.211. 委员会审议了为促进在投资人与国家间争议解决中使用调停而可能需要采取的步骤。
It was suggested that the UNCITRAL and UNCTAD secretariats should combine forces to increase awareness among the community of States, investors, legal practitioners, and arbitration and international organizations about mediation/conciliation as an alternative approach to investor-State dispute resolution that would complement sustainable and responsible investment.建议贸易法委员会秘书处和贸发会议秘书处携起手来,提高各国、投资人、法律从业人员、仲裁组织和国际组织对调停/调解作为投资人与国家间争议解决的替代办法的认识,这种办法将与可持续和负责任的投资互为补充。
212. After discussion, the Commission expressed its appreciation to its secretariat for establishing close cooperation with UNCTAD over the previous years.212. 经过讨论,委员会表示赞赏其秘书处过去几年来与贸发会议建立了密切的合作。
The secretariat was encouraged to continue such cooperation, resources permitting.鼓励秘书处在资源允许的情况下继续开展此类合作。
The Commission agreed that the proposal to foster the use of mediation in the context of investor-State dispute settlement was worthy of further consideration.委员会一致认为,在投资人与国家间争议解决中使用调停的提案值得进一步审议。
It was suggested that conciliation/mediation with respect to the settlement of treaty-based investor-State disputes should be considered as a topic for future work by the Working Group.据建议,解决投资人与国家间基于条约的争议方面的调解/调停应当视为工作组今后工作的一个议题。
VI. Online dispute resolution: progress reports of Working Group III六. 网上争议解决:第三工作组的进度报告
213. The Commission recalled its previous discussions of online dispute resolutions.213. 委员会回顾了之前对网上争议解决的讨论。
At its current session, the Commission noted that Working Group III (Online Dispute Resolution) had commenced its deliberations on the preparation of legal standards, in particular procedural rules on online dispute resolution for cross-border electronic transactions, at its twenty-second session, held in Vienna from 13 to 17 December 2010, and continued its work at its twenty-third session, held in New York from 23 to 27 May 2011.委员会在本届会议上注意到,第三工作组(网上争议解决)在2010年12月13日至17日于维也纳举行的第二十二届会议上已经着手就拟订法律标准,特别是关于跨境电子交易网上争议解决的程序规则进行审议,并在2011年5月23日至27日于纽约举行的第二十三届会议上继续这项工作。
The Commission also noted that, in addition to the procedural rules, the Working Group had requested the Secretariat, subject to the availability of resources, to prepare documentation for its next session addressing the issues of guidelines for neutrals, guidelines for online dispute resolution providers, substantive legal principles for resolving disputes and a cross-border enforcement mechanism.委员会还注意到,除程序规则之外,工作组还请秘书处在资源允许的情况下,针对中立人准则、网上争议解决机构准则、争议解决实质性法律原则以及跨境执行机制等问题编写工作组下届会议的文件。
214. The Commission expressed its appreciation to the Working Group for the progress made, as reflected in the reports on its twenty-second (A/CN.9/716) and twenty-third sessions (A/CN.9/721) and commended the Secretariat for the working papers and reports prepared for those sessions.214. 委员会对工作组第二十二届会议报告(A/CN.9/716)和第二十三届会议报告(A/CN.9/721)所反映的工作组取得的进展表示赞赏,并赞扬了秘书处为这些会议编写的工作文件和报告。
215. The Commission took note of a concern raised that, given that online dispute resolution was a somewhat novel subject for UNCITRAL and that it related at least in part to transactions involving consumers, the Working Group should adopt a prudent approach in its deliberations, bearing in mind the Commission’s direction at its forty-third session that the Working Group’s work should be carefully designed not to affect the rights of consumers.215. 委员会注意到会上提出的一项关切,即鉴于网上争议解决是贸易法委员会所处理的一个较新的课题,而且至少部分地与涉及消费者的交易有关,工作组的审议务必审慎,铭记委员会第四十三届会议对其作出的指示,即对工作组工作的设计应当谨慎小心,不要影响到消费者权利。
216. The view was expressed that the Working Group should bear in mind the need to conduct its work in the most efficient manner, which included prioritizing its tasks and reporting back with a realistic time frame for their completion.216. 还有与会者认为,工作组应铭记需以最高效的方式开展工作,这包括确定其任务的优先顺序并在现实可行的时间框架内完成其任务后提出报告。
217. Differing views were expressed as to whether the mandate of the Working Group should be interpreted to include consumer-to-consumer transactions.217. 关于工作组的任务是否应解释为包括消费者对消费者交易,会上提出不同看法。
One view was that such a further emphasis on the inclusion of consumer-related transactions might make it more difficult to reach consensus on the work of the Working Group as a whole.一种看法是,如果进一步强调需包括与消费者有关的交易,可能更难以就整个工作组的工作达成共识。
Another view was that, in practice, it was often difficult, if not impossible, to determine whether a party to a transaction was a consumer or a business.另一种看法是,从实际角度来看,要想确定某一交易的当事人是消费者还是商家,即使不是不可能的,通常也相当困难。
218. After discussion, the Commission reaffirmed the mandate of Working Group III relating to cross-border electronic transactions, including business-to-business and business-to-consumer transactions.218. 经过讨论,委员会重新确认了第三工作组的任务涉及跨境电子交易,包括企业对企业交易和企业对消费者交易。
The Commission decided that, while the Working Group should be free to interpret that mandate as covering consumer-to-consumer transactions and to elaborate possible rules governing consumer-to-consumer relationships where necessary, it should be particularly mindful of the need not to displace consumer protection legislation.委员会决定,虽然工作组应当灵活地将这一任务解释为涵盖消费者对消费者交易,并在必要时就规范消费者对消费者关系拟订可能的规则,但要特别注意不取代消费者保护法规。
The Commission also decided that, in general terms, in the implementation of its mandate, the Working Group should also consider specifically the impact of its deliberations on consumer protection and that it should report to the Commission at its next session.委员会还决定,一般来说,工作组在履行其任务时,还应特别考虑到所进行的审议对保护消费者的影响,并向委员会下届会议提出报告。
VII. Insolvency law: progress report of Working Group V七. 破产法:第五工作组的进度报告
A. Progress report of Working Group VA. 第五工作组的进度报告
219. The Commission recalled its previous discussions on activity undertaken by Working Group V (Insolvency Law) on the following two topics: (a) guidance on the interpretation and application of selected concepts of the UNCITRAL Model Law on Cross-Border Insolvency relating to centre of main interests and possible development of a model law or provisions on insolvency law addressing selected international issues, such as jurisdictions, access and recognition, in a manner that would not preclude the development of a convention; and (b) responsibility and liability of directors and officers of an enterprise in insolvency and pre-insolvency cases.219. 委员会回顾了之前就第五工作组(破产法)在以下两个议题上开展的活动进行的讨论:(a)就《贸易法委员会跨国界破产示范法》中有关主要利益中心的某些概念的解释和适用提供指导,可能的话,在不排除制订一项公约的情况下,针对某些国际问题(如管辖权、进入和承认)拟订破产法示范法或条文;(b)破产情况下和破产前情况下董事和高管人员的职责和赔偿责任问题。
The Commission expressed its appreciation for the progress made by the Working Group as reflected in the report of its thirty-ninth session, held in Viennafrom 6 to 10 December 2010 (A/CN.9/715), and commended the Secretariat for the working papers and reports prepared for that session.委员会对工作组2010年12月6日至10日在维也纳举行的第三十九届会议报告(A/CN.9/715)中反映的工作组所取得的进展表示赞赏,并赞扬了秘书处为该届会议编写的工作文件和报告。
B. Ninth Multinational Judicial ColloquiumB. 第九次多国司法座谈会
220. The Commission heard a brief report on the Ninth Multinational Judicial Colloquium, held in Singaporeon 12 and 13 March 2011.220. 委员会听取了2011年3月12日和13日在新加坡举行的第九次多国司法座谈会的简要报告。
The colloquium, organized jointly by UNCITRAL, the International Association of Restructuring, Insolvency and Bankruptcy Professionals (INSOL International) and the World Bank, was attended by approximately 80 judges from 44 States, who discussed issues of cross-border insolvency coordination and cooperation, including in the context of enterprise groups, as well as the draft text of the UNCITRAL Model Law on Cross-Border Insolvency: the judicial perspective, the preparation of which was widely supported by judges as a valuable source of information on current issues and practice.这次座谈会是贸易法委员会、重组和破产管理从业人员国际协会和世界银行联合组织的,有来自44个国家的大约80名法官参加。 与会者讨论了跨国界破产协调与合作的问题(包括在企业集团情形下),还讨论了“《贸易法委员会跨国界破产示范法》:司法角度的审视”的案文草案,法官们普遍赞成编写该文件,认为这是关于当前问题和做法的宝贵资料。
The colloquium was once again judged by participants to be a very useful event and a welcome opportunity for judges from different jurisdictions to meet and discuss cross-border insolvency-related issues and share their experiences.与会者再一次确认,这次座谈会是十分有益的活动,也是不同法域的法官汇聚一堂讨论与跨国界破产有关的问题并交流经验的良好机会。
The Commission noted that a short report on the colloquium had been prepared and made available on the respective websites of the three organizations.委员会注意到,已经编写了该座谈会的简短报告,并分别发布在这三个组织各自的网站上。
221. The Commission expressed its satisfaction to the Secretariat for organizing the colloquium and requested the Secretariat to continue cooperating actively with INSOL International and the World Bank, with a view to organizing further colloquiums in the future, resources permitting.221. 委员会对秘书处组织这次座谈会表示满意,并请秘书处继续与重组和破产管理从业人员国际协会和世界银行积极合作,将来在资源允许的情况下组织更多的座谈会。
C. World Bank: treatment of natural persons in insolvencyC. 世界银行:破产中自然人的对待办法
222.
The Commission heard an oral presentation from the World Bank on work to be undertaken by its Insolvency and Creditor/Debtor Regimes Task Force to study key regulatory aspects underlying natural person insolvency, the variation in legal treatment under national legal regimes and the implications of those divergences for international collaboration and coordination.222. 委员会听取了世界银行就其破产和债权人/债务人制度工作组将要开展的工作所作的口头介绍。 该工作组将研究自然人破产方面的主要规范问题、各国法律制度下法律对待办法的差异以及这些差异对国际合作与协调造成的影响。
One of the lessons from the recent financial crisis, the World Bank advised, was the recognition of the problem of consumer insolvency as a systemic risk and the consequent need for the modernization of domestic laws and institutions to enable jurisdictions to deal effectively and efficiently with the risks of individual overindebtedness.世界银行指出,从近期金融危机吸取的一个教训是,认识到消费者破产问题是危及整个体系的问题,因而需要改革国内法律和制度,使各法域能够有效而高效地处理个人负债过重的风险问题。
The World Bank emphasized the importance of the participation of UNCITRAL in that work, particularly in the light of the possibility that it might lead to additions to the existing insolvency standard, comprising the recommendations of the UNCITRAL Legislative Guide on Insolvency Law and the World Bank’s Principles for Effective Insolvency and Creditor Rights Systems.世界银行强调,这一工作需要贸易法委员会参与,特别是因为贸易法委员会的参与有可能为《贸易法委员会破产法立法指南》各项建议和世界银行《关于破产和债权人权利有效制度原则》所组成的现行破产标准增加新内容。
The Commission encouraged the Secretariat to participate actively in the work of the Task Force and to partner with the World Bank in any further work that might contribute to establishing best practice on that topic.委员会鼓励秘书处积极参加该工作组的工作,并与世界银行结成伙伴关系,共同开展可能有助于在这一问题上确立最佳做法的任何进一步工作。
VIII. Security interests: progress reports of Working Group VI八. 担保权益:第六工作组进度报告
223. The Commission recalled its previous discussions on the preparation of a text on the registration of security rights in movable assets.223. 委员会回顾了之前就拟订关于动产担保权登记的法规进行的讨论。
At its current session, the Commission had before it the reports of Working Group VI (Security Interests) on the work of its eighteenth session, held in Vienna from 8 to 12 November 2010, and nineteenth session, held in New York from 11 to 15 April 2011 (A/CN.9/714 and A/CN.9/719, respectively).委员会本届会议收到了第六工作组(担保权益)关于其2010年11月8日至12日在维也纳举行的第十八届会议和2011年4月11日至15日在纽约举行的第十九届会议的工作报告(分别为A/CN.9/714和A/CN.9/719)。
The Commission noted that, at its eighteenth session, the Working Group had adopted the working assumption that the text it had been entrusted to prepare would take the form of a guide on the implementation of a registry of notices with respect to security rights in movable assets.委员会注意到,工作组第十八届会议所持的一个可行假设是:委托其拟订的案文将采用动产担保权通知登记处实施指南的形式。
In addition, the Commission noted that, at that session, the Working Group had generally agreed that the text could include principles, guidelines, commentary and possibly recommendations with respect to registration regulations.此外,委员会注意到,在该届会议上,工作组普遍认为,该案文可包含有关登记条例的各项原则、准则、评述意见并视可能包含各项建议。
Moreover, the Commission noted that the Working Group had agreed that the text should be consistent with the UNCITRAL Legislative Guide on Secured Transactions, at the same time taking into account the approaches taken in modern security rights registration systems, both national and international (A/CN.9/714, para. 13).此外,委员会注意到,工作组一致认为,该案文应当与《贸易法委员会担保交易立法指南》保持一致,同时又考虑到在国家和国际层面上的现代担保权登记制度所采用的各种做法(A/CN.9/714,第13段)。
The Commission also noted that, having agreed that the Secured Transactions Guide was consistent with the guiding principles of UNCITRAL texts on e-commerce, the Working Group considered certain issues arising from the use of electronic communications in security rights registries to ensure that, like the Secured Transactions Guide, the text on registration would also be consistent with those principles (A/CN.9/714, paras. 34-47).委员会还注意到,由于一致认为《担保交易指南》与贸易法委员会关于电子商务的各项法规的指导原则并行不悖,因此工作组审议了在担保权登记处方面使用电子通信所产生的一些问题,目的是确保有关登记的案文也同《担保交易指南》一样与这些原则保持一致(A/CN.9/714,第34-47段)。
224. The Commission also noted that, at the nineteenth session of the Working Group, differing views had been expressed as to the form and content of the text to be prepared. One view noted was that the text should be a stand-alone guide that would include an educational part introducing the secured transactions law recommended in the Secured Transactions Guide and a practical part that would include model regulations and commentary thereon.224. 委员会还注意到,在工作组第十九届会议上,与会者就拟编拟的案文的形式和内容发表了不同的看法,一种看法认为,该案文应当是一个独立的指南,其中将包括教育部分(采用《担保交易指南》所建议的担保交易法律)和实务部分(将包含示范条例及其评述意见)。
Another view noted was that the text should place more emphasis on model regulations and commentary thereon, which should provide States that had enacted the secured transactions law recommended in the Secured Transactions Guide with practical advice as to the issues to be addressed in the context of the establishment and operation of a general security rights registry (A/CN.9/719, paras. 13-15).另一种观点认为,该案文应当更加重视示范条例及其评述意见,就在建立和运营普通担保权登记处时要处理的问题给已经颁布《担保交易指南》所建议的担保交易法的国家提供实际咨询意见。 (A/CN.9/719,第13-15段)。
The Commission also noted that differing views had also been expressed at that session of the Working Group as to whether the regulations should be formulated as model regulations or as recommendations (A/CN.9/719, para. 46).委员会还注意到,工作组该届会议就所拟条例究竟应当是示范条例还是建议意见不一(A/CN.9/719,第46段)。
The Commission further noted that, at its nineteenth session, the Working Group had completed the first reading of the draft Security Rights Registry Guide and draft Model Regulations (A/CN.9/WG.VI/WP.46 and Add.1-3) and had requested the Secretariat to prepare a revised version reflecting the deliberations and decisions of the Working Group (A/CN.9/719, para. 12).委员会又注意到工作组第十九届会议已经完成对《担保权登记处指南》草案和《示范条例》草案的一读(A/CN.9/WG.VI/WP.46和Add.1-3),并请秘书处编拟一份反映工作组审议情况及其各项决定的修订本(A/CN.9/719,第12段)。
225. The Commission expressed its appreciation to the Working Group for the significant progress achieved in its work and to the Secretariat for the efficient assistance provided to the Working Group.225. 委员会赞赏工作组工作取得巨大进展并赞赏秘书处向工作组提供了高效援助。
The significance of the work undertaken by Working Group VI was emphasized in particular in view of the efforts currently being undertaken by several States with a view to establishing a general security rights registry and the significant beneficial impact the operation of such a registry would have on the availability and cost of credit.尤其从一些国家为建立普通担保权登记处而正在进行的努力以及这类登记处的运行对信贷供应及其费用的重大益处的角度,强调了第六工作组工作的重要意义。
With respect to the form and content of the text to be prepared, it was stated that, following the approach used with respect to the Secured Transactions Guide, the text should be formulated as a guide with commentary and recommendations rather than as a text with model regulations and commentary thereon.关于拟编拟的案文的形式和内容,据指出,按照对《担保交易指南》的做法,所拟案文应当是附有评述意见和建议的指南,而非附有示范条例及其评述意见的案文。
In that connection, it was noted that the next version of the text before the Working Group would be formulated in a way that would leave the matter open until the Working Group had made a decision.有与会者就此指出,向工作组提交的该案文下一稿在行文上应当将该问题留待工作组作出决定。
After discussion, the Commission agreed that, leaving aside the decision on the form and content of the text to be prepared for the Working Group, the mandate of the Working Group did not need to be modified and that, in any case, a final decision would be made by the Commission once the Working Group had completed its work and submitted the text to the Commission.委员会经讨论后商定,对工作组的任务授权无须作出修改,拟编拟的案文的形式和内容将留待工作组决定,无论如何,一旦工作组完成其工作并将案文提交委员会,委员会便可作出最终决定。
226. Noting the significant progress made by the Working Group in its work and the guidance urgently needed by a number of States, the Commission requested the Working Group to proceed with its work expeditiously and to try to complete its work, hopefully in time for the text to be submitted to the Commission for final approval and adoption at its forty-fifth session, in 2012.226. 鉴于工作组工作取得重大进展,而且一些国家迫切需要得到指导,委员会请工作组迅速继续开展工作,努力争取完成工作,及时将案文提交2012年委员会第四十五届会议,供其最后核准并通过。
227. As to the future work of the Working Group, it was generally agreed that it was premature for the Commission to consider the matter and make any decision at the current session.227. 关于工作组今后的工作,与会者普遍认为,由委员会本届会议审议该事项并作出决定为时尚早。
The Commission left it to the Working Group to discuss its possible future work and make proposals to the Commission.委员会交由工作组讨论其今后可能开展的工作并就此向委员会提出建议。
In that connection, the suggestion was made that, after completing its text on registration, the Working Group should embark on a project aimed at converting the recommendations in the Secured Transactions Guide into a model law.会上就此提出的建议是,在完成有关登记的案文之后,工作组应当着手开展一个项目,将《担保交易指南》中的各项建议转化为示范法。
228. The Commission next turned to the question of whether a joint set of principles on effective secured transactions regimes should be prepared in cooperation with the World Bank on the basis of the recommendations of the Secured Transactions Guide.228. 委员会接下来讨论了是否应当在《担保交易指南》各项建议的基础上与世界银行合作编拟有关担保交易高效制度的一套共同原则的问题。
It was noted that, based on the precedent of the coordination between the World Bank Principles for Effective Insolvency and Creditor/Debtor Regimes and the UNCITRAL Legislative Guide on Insolvency Law, a draft of those principles could be prepared by the Secretariat in cooperation with the World Bank, through its Legal Vice-Presidency, and outside experts, within existing resources and without utilizing Working Group resources.有与会者指出,依照世界银行《关于破产和债权人/债务人有效制度原则》和《贸易法委员会破产法立法指南》之间协调的先例,秘书处可在现有资源范围内,无需动用工作组资源,与世界银行(通过其法律局)和外部专家合作编拟这些原则的草案。
The Commission welcomed the preparation of such principles.委员会对编拟这类原则表示欢迎。
It was widely felt that, as the Secured Transactions Guide became the general reference material in secured transactions law reform efforts, principles reflecting the recommendations of the Secured Transactions Guide would promote law reform based on generally acceptable international standards.会上普遍认为,由于《担保交易指南》已经成为担保交易法律改革工作的一般性参考材料,反映《担保交易指南》各项建议的原则将能推动在普遍公认的国际标准基础上进行法律改革。
After discussion, the Commission requested the Secretariat to proceed with the preparation, in cooperation with the World Bank and outside experts, of a joint set of principles on effective secured transactions regimes.委员会经讨论后请秘书处着手与世界银行和外部专家合作编拟有关担保交易高效制度的一套共同原则。
It was agreed that such efforts would be aimed at preparing a text that would be approved by both the Commission and the World Bank and could include consultations and meetings with experts from the public and private sector, within existing resources.会议普遍认为,这类努力应当着眼于编拟能够得到委员会和世界银行批准的一则案文,并且可以包括在现有资源范围内与公共和私营部门专家展开协商和会议。
229. The Commission next considered the question of whether efforts should be undertaken with a view to ensuring consistency between a proposed European Union instrument on the law applicable to the third-party effects of assignments of receivables and the United Nations Convention on the Assignment of Receivables in International Trade, which addressed that issue.229. 委员会接下来审议了是否应当努力确保欧洲联盟应收款转让第三方效力适用法律的文书与涉及该问题的《联合国国际贸易应收款转让公约》保持一致的问题。
230. The Commission noted that the European Commission had adopted a regulation on the law applicable to contractual obligations (Rome I) and that article 14 of the Rome I Regulation dealt with the law applicable to the relationship between an assignor and an assignee under a voluntary assignment or contractual subrogation of a claim and the relationship between the assignee and the debtor in a way that was consistent with the United Nations Assignment Convention and the Secured Transactions Guide.230. 委员会注意到,欧盟委员会通过了关于合同义务适用法律的一份条例(《罗马条例一》),《罗马条例一》第14条使用与《联合国转让公约》和《担保交易指南》一致的方式述及转让人和受让人在自愿转让或合同规定的债权代位下的关系以及受让人和债务人之间的关系的适用法律。
As to the law applicable to the proprietary effects of assignments, the Commission noted that the Rome I Regulation had not addressed the matter and that the European Commission was currently preparing a study.关于转让专属性的适用法律问题,委员会注意到,《罗马条例一》并未述及该事项,欧盟委员会目前正在编拟一份研究报告。
231. The Commission agreed that a coordinated approach to the matter was in the interest of all States, as otherwise a different conflict-of-laws rule would apply depending on whether a dispute was brought before a court in a European Union member State or not.231. 委员会一致认为,就此事项采取协同做法符合所有国家的利益,否则就会因是将争议提交欧盟成员国法院处理还是非欧盟成员国法院处理而适用不同的法律冲突规则。
It was widely felt that such a result would undermine certainty as to the law applicable to the proprietary effects of assignments and create unnecessary obstacles to international receivables financing, which could not be distinguished from regional receivables financing.与会者普遍认为,这样结果就会损害转让专属性所适用法律的确定性,并且会给无法与区域应收款融资相区分的国际应收款融资设置不必要的障碍。
After discussion, the Commission requested the Secretariat to cooperate closely with the European Commission with a view to ensuring a coordinated approach to the matter, taking into account the approach followed in the United Nations Assignment Convention and the Secured Transactions Guide.委员会经讨论后请秘书处与欧盟委员会密切合作,以确保就此事项采取协同做法,同时考虑到《联合国转让公约》和《担保交易指南》所遵循的办法。
The Commission also encouraged the European Commission to consider removing any obstacle to wide adoption of the United Nations Assignment Convention and the Secured Transactions Guide by States, including by European Union member States that wished to adopt them on the understanding that a future European Union instrument on the matter might limit their application.委员会还鼓励欧盟委员会考虑消除障碍,使包括欧盟成员国在内的各国广泛采纳《联合国转让公约》和《担保交易指南》,欧盟成员国希望在下述理解的基础上采纳这两项文书:今后有关这一事项的欧洲联盟文书可能会对其适用范围加以限制。
IX. Current and possible future work in the area of electronic commerce九. 目前和将来可能在电子商务领域开展的工作
232. The Commission had before it a note by the Secretariat (A/CN.9/728 and Add.1) summarizing the discussions that had taken place at the colloquium on electronic commerce, held in New Yorkfrom 14 to 16 February 2011.232. 委员会收到了秘书处的一项说明(A/CN.9/728和Add.1),其中概要介绍了2011年2月14日至16日在纽约举行的电子商务专题讨论会的讨论情况。
The Commission was informed that the Secretariat received regular requests for expert input from other bodies in the United Nations system, as well as from other intergovernmental organizations, and that some of those requests called for a comprehensive discussion in a specialized forum and might therefore best be addressed in Working Group IV (Electronic Commerce).委员会了解到,秘书处经常从联合国系统其他机构以及其他政府间组织收到专家协助请求,其中一些请求需要在一个专门论坛上进行全面讨论,因此,或许最好在第四工作组(电子商务)处理这些请求。
233. The Commission took note of the information contained in the note prepared by the Secretariat.233. 委员会注意到秘书处编写的说明提供的情况。
Broad consensus was expressed on the desirability of reconvening Working Group IV.会上就重新召集第四工作组的可取性表示了广泛共识。
In particular, it was noted that the past work of UNCITRAL in the field of electronic commerce offered a particularly significant contribution to the advancement of the use of electronic communications in international trade and that too long a lapse in the meetings of that Working Group might erode that leadership, as well as prevent UNCITRAL from updating and complementing existing legal standards in that rapidly evolving field.会上特别指出,贸易法委员会以往在电子商务领域的工作对促进国际贸易中使用电子通信作出了特别显著的贡献,该工作组停会时间过长可能会损蚀这种领导地位,不利于贸易法委员会在这一迅速变化的领域中更新、补充现行法律标准。
The view was also expressed, however, that none of the topics under consideration was ripe for discussion at the working group level and that therefore a decision on future meetings of Working Group IV should be further postponed.但也有与会者认为,所有审议中的议题都还没有成熟到要放在工作组级别进行讨论的程度,因此,应当进一步推迟就第四工作组今后会议的问题作出决定。
234. The need to give a clear mandate to the Working Group was stressed; however, it was also indicated that many of the topics under consideration were, in practice, intersecting.234. 会上强调需对该工作组下达明确的任务授权;但也有人指出,所审议的许多议题实际上都是相互交叉的。
It was further noted that that was particularly the case for electronic single-window facilities.还指出,就电子单一窗口设施而言,尤其如此。
It was suggested that, time and resources permitting, a reconvened Working Group should consider a recommendation pending in the United Nations Centre for Trade Facilitation and Electronic Business (CEFACT) that raised issues under UNCITRAL instruments.会上建议,如果时间和资源允许,重新召集的工作组应审议联合国贸易便利和电子商务中心正在处理的一项建议,该建议引出了贸易法委员会各项文书下的一些问题。
235. Support was expressed for dealing on a priority basis with legal issues relating to the use of electronic transferable records.235. 有与会者支持优先处理与使用电子可转移记录有关的法律问题。
In particular, it was recalled that such work would be beneficial not only for the generic promotion of electronic communications in international trade but also for addressing some specific issues such as assisting in the implementation of the United Nations Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea (the Rotterdam Rules).特别回顾说,此种工作不仅有利于普遍促进在国际贸易中使用电子通信,还有助于处理某些具体问题,如协助执行《联合国全程或者部分海上国际货物运输合同公约》(《鹿特丹规则》)。
Similarly, it was noted, other areas of the transport business, such as aviation, could benefit directly from the formulation of uniform legal standards in the field.有与会者指出,其他运输业务领域,如航空业务,同样也可因制订这一领域的统一法律标准而直接受益。
It was also noted that the work regarding electronic transferable records might include certain aspects of the other topics discussed in document A/CN.9/728 and Add.1.另据指出,在电子可转移记录方面的工作可包含A/CN.9/728和Add.1号文件中讨论的其他问题的某些方面。
236. Some support was also expressed for dealing with legal issues relating to identity management; however, particular caution was recommended when discussing matters touching upon issues, such as privacy and data protection, that had important regulatory aspects.236. 会上还表示支持处理与身份管理有关的法律问题;但有与会者提出,隐私和数据保护之类的问题涉及重大的法律规范问题,讨论触及此种问题的事项时一定要特别谨慎。
In that regard, it was added, it might be beneficial to wait for further developments so as to better define the terms of a possible future mandate for the Working Group.关于这一点还补充说,不如等到有了更进一步的发展,再就工作组今后可能的任务范围作出更明确的界定。
237. The importance of mobile commerce, in particular for those countries where connectivity to the information and communication infrastructure was achieved mostly through mobile devices, was also mentioned.237. 会上还提到移动商务的重要性,对于通过移动设备实现信息和通信基础设施的连接的国家尤为重要。
In that respect, it was recalled that most legal issues relating to the use of mobile devices were not different in nature from those posed by the use of other electronic devices.关于这一点回顾说,与使用移动设备有关的大多数法律问题在性质上与使用其他电子设备所产生的法律问题并没有什么区别。
It was further said that, while certain mobile commerce practices might call for further study, caution should be used in order to avoid touching upon, on the one hand, issues relating to consumer protection and, on the other hand, issues relating to privacy and data protection.还指出,虽然可能需对某些移动商务的业务进行研究,但一定要谨慎从事,以避免一方面触及与消费者保护有关的问题,另一方面又触及与隐私和数据保护有关的问题。
238. After discussion, the Commission agreed that Working Group IV (Electronic Commerce) should be convened to undertake work in the field of electronic transferable records.238. 经过讨论,委员会商定,应当召集第四工作组(电子商务),在电子可转移记录领域开展工作。
239. The Commission also agreed that the extension of the mandate of Working Group IV to other topics discussed in document A/CN.9/728 and Add.1 as discrete subjects (as opposed to their incidental relation to electronic transferable records) would be further considered at a future session.239. 委员会还商定,将在未来一届会议上进一步审议是否扩大第四工作组的任务范围以包括A/CN.9/728和Add.1号文件论及的其他主题,并将其作为单独的主题处理(不讨论其与电子可转移记录可能产生的关系)。
240. With respect to legal issues relating to electronic single-window facilities, the Commission welcomed the ongoing cooperation between the Secretariat and other relevant organizations, including the World Customs Organization, and asked the Secretariat to contribute as appropriate, with a view to discussing relevant matters at the working group level when the progress of joint work offered a sufficient level of detail.240. 关于与电子单一窗口设施有关的法律问题,委员会欢迎秘书处与包括世界海关组织在内的其他有关组织之间正在进行的合作,并请秘书处酌情作出贡献,以便在联合工作的进展达到足够详细程度时在工作组一级讨论相关事项。
X. Possible future work in the area of microfinance十. 将来可能在小额金融领域开展的工作
241. The Commission recalled its previous discussions on possible work in the area of microfinance.241. 委员会回顾了之前对今后可能在小额金融领域开展的工作进行的讨论。
At its current session, the Commission had before it a note by the Secretariat containing a summary of the proceedings of and the key issues identified at the international colloquium on microfinance, held in Viennafrom 12 to 13 January 2011 (A/CN.9/727).在本届会议上,委员会收到秘书处的一份说明,其中概要介绍了2011年1月12日至13日在维也纳举行的小额金融问题国际学术讨论会的议事情况和所确定的关键问题(A/CN.9/727)。
The Commission was informed that at the colloquium it was highlighted that, although there had been initiatives, often successful, in a number of States to address issues surrounding microfinance, there was no coherent set of global legal and regulatory measures that could serve as a standard for States wishing to legislate in accordance with international best practice.委员会获悉,在学术讨论会上,与会者强调,虽然一些国家实施了处理小额金融相关问题的举措,并且往往取得了成功,但是没有一套一致的全球法律和监管措施,可供希望按照国际最佳做法进行立法的国家作为标准。
As noted by some participants, many States were now struggling to find an appropriate regulatory framework to promote financial inclusion through microfinance institutions.如一些与会者所指出,目前许多国家在想方设法寻找适当的监管框架,以通过小额金融机构促进金融普惠。
UNCITRAL legislative texts were mentioned as instrumental in strengthening a legislative and regulatory framework that could accommodate the needs of the microfinance industry.提到贸易法委员会各种法规对于加强可满足小额金融业需要的立法和监管框架至关重要。
Subjects indicated included cross-border funding; secured transactions in microfinance, in order to enhance the availability of credit, in particular to small and medium-sized enterprises or clients that did not have sufficient capital or access to other kinds of credit; use of electronic money (e-money); and dispute resolution mechanisms to address the complaints of microfinance users.提到的议题包括:跨境供资;小额金融担保交易,以增加尤其是没有足够资本或无法获得其他类别信贷的中小型企业或客户获得信贷的机会;电子货币的使用;处理小额金融用户投诉的争议解决机制。
242. It was said that conceiving a favourable legal and regulatory framework for microfinance raised various issues for consideration, which included:242. 与会者指出,要设计一种有利于小额金融的法律和监管框架,需要考虑各种问题,其中包括:
(a) The nature and quality of the regulatory environment;(a) 监管环境的性质和质量;
(b) The appropriateness of setting limits on interest rates chargeable on microfinance loans;(b) 对小额金融贷款收取利率设限的适当性;
(c) Measures to address the problem of overindebtedness;(c) 处理过度负债问题的措施;
(d) The establishment and regulation of credit bureaux;(d) 征信所的建立和监管;
(e) Overcollateralization and the use of collateral with no economic value;(e) 过度抵押和使用无经济价值的抵押品;
(f) Abusive collection practices;(f) 乱收款做法;
(g) Foreign exchange risk where microfinance institutions obtained loan capital from abroad;(g) 小额金融机构从国外获得贷款资本时的外汇风险;
(h) Facilitating the handling of international remittances of funds by microfinance institutions on a cheaper and more efficient basis;(h) 促进小额金融机构以更低廉的价格更高效地办理国际汇款;
(i) E-money, including its status as savings; whether “issuers” of e-money were engaged in banking and hence what type of regulation they were subject to; and the coverage of such funds by deposit insurance schemes;(i) 电子货币,包括其作为储蓄的地位;电子货币“发行人”是否在从事银行业务,因此应受到哪一类监管;存款保险计划对这类资金的涵盖;
(j) Enhancing the predictability of the legal status of transactions conducted with mobile devices (for example, in the area of payment services);(j) 对使用移动设备完成的交易,加强其法律地位的可预测性(例如,在支付服务领域);
(k) Facilitating the use of agent banking and other forms of branchless banking as a means to make financial services more accessible;(k) 促进使用代理银行业务和其他形式的无网点银行业务,作为扩大金融服务覆盖面的手段;
(l) Measures to promote financial literacy and increase the protection of clients against abusive or unscrupulous lending practices;(l) 推广金融知识和增强客户保护使其免受滥发或乱发贷款做法之害的措施;
(m) Provision for fair, rapid, transparent and inexpensive processes for the resolution of disputes arising from microfinance transactions;(m) 为解决小额交易产生的争议提供公平、迅捷、透明和低成本的程序;
(n) Facilitating the use of, and ensuring transparency in, secured lending to microenterprises and small and medium-sized enterprises.(n) 促进对微型企业和中小型企业使用担保借贷并确保其透明度。
243. The Commission took note of the Secretariat’s involvement in a United Nations inter-agency mechanism for the promotion of inclusive finance, and of the fact that UNCITRAL was the only participant therein focusing on the legal and regulatory aspects of microfinance.243. 委员会注意到秘书处参与了一项联合国促进普惠金融机构间机制,还注意到贸易法委员会是其中重点处理小额金融的法律和监管问题的唯一参与方。
The Secretariat was encouraged to continue its participation in that initiative and to keep abreast of developing legal and regulatory issues with respect to microfinance in order to contribute to the overall effort.鼓励秘书处继续参与这项举措,并随时跟踪小额金融方面不断发展的法律和监管问题,以期为这项总体工作做出贡献。
244. The Commission commended the Secretariat for the work done so far in the field of microfinance and expressed unanimous support for continuing work in that field.244. 委员会赞扬秘书处迄今在小额金融领域所做的工作,并一致支持继续在该领域开展工作。
It was said that microfinance was an important tool for poverty alleviation and that in some countries it was a significant element of the national economy; hence developing a legislative framework for microfinance would prove extremely useful.据指出,小额金融是减轻贫穷的重要手段,在一些国家是国民经济的重要组成部分;因此,事实将证明制订小额金融立法框架大有益处。
It was generally felt that UNCITRAL could make a substantial contribution to that matter, as the existing legislative frameworks were not seen as fully adequate.普遍认为贸易法委员会能够对这项工作做出重大贡献,因为现有立法框架被认为不完全适足。
It was explained that some States had recently adopted legislation in that field, and it was proposed that the experience of such States should be shared with others.据解释,一些国家最近通过了该领域的立法,建议这些国家与其他国家分享经验。
245. It was suggested that the work that could be implemented needed to be focused on certain well-defined matters and that the boundaries of the contemplated work should be further determined.245. 与会者指出,可能开展的工作需要以某些清楚界定的事情为重点,并应当进一步划定所设想工作的范围。
It was therefore proposed to identify areas where specific work could be implemented and where further research would be needed as a result, keeping in mind the scope of the mandate of UNCITRAL and its traditional areas of work.因此,建议查明能够在哪些领域开展具体工作,因而哪些领域需要开展进一步研究,同时牢记贸易法委员会的任务授权范围及其传统的工作领域。
It was also suggested that the relations established between UNCITRAL and international organizations active in the field of microfinance should continue to be developed.还建议继续发展贸易法委员会与活跃在小额金融领域的国际组织已经建立的关系。
In particular, the UNCITRAL secretariat was encouraged to pursue the development of its relations with other United Nations bodies and agencies active in the field, as well as with the group responsible for financial inclusion in the Group of 20 Finance Ministers and Central Bank Governors, namely the Global Partnership for Financial Inclusion.尤其鼓励贸易法委员会秘书处继续发展与活跃在该领域的其他联合国机关和机构的关系,以及与二十国集团财政部长和中央银行行长会议中负责金融普惠的小组(即全球金融普惠伙伴关系)的关系。
The Secretariat was urged to be cautious with regard to unnecessary overlap or interference with matters of banking regulation, including matters of prudential regulation such as those addressed by the Basel Core Principles for Effective Banking Supervision.促请秘书处小心谨慎,避免不必要地重复或干预银行监管事宜,包括审慎监管事宜,如《巴塞尔有效银行监督核心原则》处理的事宜。
246. After discussion, the Commission agreed to include microfinance as an item for the future work of UNCITRAL and to further consider that matter at its next session, in 2012.246. 经过讨论,委员会商定将小额金融列为贸易法委员会今后工作的一个项目,并在2012年下一届会议上进一步审议此事。
In order to assist the Commission in defining the areas where work was needed, the Commission requested the Secretariat to circulate to all States a short questionnaire regarding their experience with the establishment of a legislative and regulatory framework for microfinance, including any obstacles they might have encountered in that regard, for consideration by the Commission at its next session.为协助委员界定需要在哪些领域开展工作,委员会请秘书处向所有国家分发一份简短问卷,以了解其在建立小额金融立法和监管框架方面的经验,包括在这方面可能遇到的任何障碍,供委员会下一届会议审议。
Further, the Commission agreed that, among the topics identified by the Secretariat and listed in paragraph 242 above, the Secretariat should, resources permitting, undertake research for consideration by the Commission at a later session on the items mentioned in subparagraphs (e), (i), (m) and (n) of paragraph 242.此外,委员会商定,在上文第242段中列出的秘书处确定的议题中,秘书处应在资源允许的情况下就第242段(e)、(i)、(m)、(n)项中提及的项目展开研究,供委员会今后一届会议审议。
That work should be done bearing in mind the need for States to have in place an effective overall legal and regulatory framework for microfinance.开展这项工作应考虑到各国需要建立有效的小额金融总体法律和监管框架。
The Secretariat was invited to consider further the areas of secured finance, dispute resolution and electronic commerce, in connection with microfinance.委员会请秘书处结合小额金融问题,进一步审议担保融资、争议解决和电子商务等领域。
It was emphasized that the Secretariat should take account of work already carried out by other institutions in that field in order to avoid duplication of efforts.强调秘书处应当考虑到其他机构已在该领域开展的工作,以避免重复工作。
XI.
Endorsement of texts of other organizations: 2010 revision of the Uniform Rules for Demand Guarantees published by the International Chamber of Commerce十一. 赞同其他组织的法规:国际商会公布的《即付担保书统一规则》 2010年修订本
247. The International Chamber of Commerce requested the Commission to consider recommending the use of the 2010 revision of the Uniform Rules for Demand Guarantees (URDG 758), as it had done most recently with respect to the 2007 revision of the Chamber’s Uniform Customs and Practice for Documentary Credits (UCP 600).247. 国际商会请委员会考虑建议使用《即付担保书统一规则》2010年修订本(《统一规则758》),国际商会最近还曾就国际商会《跟单信用证统一惯例》2007年修订本(《统一惯例600》)提出过同样请求。
248. The Commission recognized that the Uniform Rules for Demand Guarantees provided a new set of rules applicable to demand guarantees securing monetary and performance obligations in a wide array of international and domestic contracts.248. 委员会承认《即付担保书统一规则》提供了一套适用于即付担保书的新规则,此种担保书可为门类众多的国际合同和国内合同中的金钱债务和履约义务提供担保。
It was also noted that the Uniform Rules were fully compatible with the United Nations Convention on Independent Guarantees and Stand-by Letters of Credit prepared by the Commission in 1995 and endorsed by the International Chamber of Commerce in 1999.还指出,《即付担保书统一规则》与委员会1995年拟订并经国际商会1999年赞同的《联合国独立担保和备用信用证公约》完全一致。
249. Taking note of the significant revisions made to the previous version of the Uniform Rules and their usefulness in facilitating international trade, the Commission, at its 937th meeting, on 5 July 2011, agreed to recommend the use of the Uniform Rules in international trade and adopted the following decision:249. 委员会注意到对前版《统一规则》作出的重大修订及其对便利国际贸易的益处,在2011年7月5日第937次会议上同意建议在国际贸易中使用《统一规则》,并通过决定如下:
The United Nations Commission on International Trade Law,联合国国际贸易法委员会,
Expressing its appreciation to the International Chamber of Commerce for transmitting to it the revised text of the Uniform Rules for Demand Guarantees, which was approved by the Executive Board of the International Chamber of Commerce on 3 December 2009, with effect from 1 July 2010,对国际商会将《即付担保书统一规则》修订本转发委员会表示赞赏,该修订本已经由国际商会执行理事会于2009年12月3日核可,自2010年7月1日起生效,
Congratulating the International Chamber of Commerce on having made a further contribution to the facilitation of international trade by making its rules on demand guarantees clearer, more precise and more comprehensive while including innovative features reflecting recent practices,祝贺国际商会对便利国际贸易作出又一贡献,使国际商会关于即付担保书的规则更加明确、更加准确和更加全面,同时纳入了一些反映当前业务的新颖特点,
Noting that the Uniform Rules for Demand Guarantees constitute a valuable contribution to the facilitation of international trade,注意到《即付担保书统一规则》是对便利国际贸易作出的宝贵贡献,
Commends the use of the 2010 revision of the Uniform Rules for Demand Guarantees, as appropriate, in transactions involving demand guarantees.赞扬在涉及即付担保书的交易中酌情使用《即付担保书统一规则》2010年修订本。
XII. Monitoring implementation of the 1958 New York Convention十二. 监测1958年《纽约公约》的执行情况
250. The Commission recalled its previous discussions on monitoring implementation of the 1958 New York Convention.250. 委员会回顾了之前对监测1958年《纽约公约》执行情况的讨论。
At its current session, the Commission was informed that the Secretariat was carrying out two complementary projects in that regard.在本届会议上,委员会获知,秘书处正在就此实施两个补充项目。
251. One project related to the publication on the UNCITRAL website of information contributed by States on their legislative implementation of the New York Convention.251. 一个项目涉及在贸易法委员会网站上公布各国提供的关于本国在立法方面执行《纽约公约》的信息。
The Commission expressed its appreciation to States that had already contributed information and urged all States to continue providing the Secretariat with accurate information to ensure that the data published on the UNCITRAL website remained up to date.委员会感谢已经提供了信息的国家,并促请所有国家继续向秘书处提供准确的信息,以确保在贸易法委员会网站上公布的数据始终是最新数据。
252. The other project related to the preparation of a guide on the New York Convention.252. 另一个项目涉及编拟一份关于《纽约公约》的指南。
The Commission was informed that the preparation of the guide was currently being carried out by the Secretariat, in close cooperation with G.Bermann and E. Gaillard, who had established research teams to work on the project.委员会获知,目前秘书处正与G. Bermann和E. Gaillard紧密合作,开展该指南的编拟工作。 G. Bermann和E. Gaillard教授成立了研究小组,就该项目开展工作。
The Commission expressed its appreciation for the steps taken so far and requested the Secretariat to pursue its efforts towards the preparation of the guide on the New York Convention.委员会对迄今为止所采取的步骤表示赞赏,并请秘书处继续努力编拟《纽约公约》的指南。
It was agreed that a more substantive presentation on progress made in the preparation of the guide would be made at a future session of the Commission (see also para. 207 above).委员会商定,将在委员会今后一届届会上更实质性地介绍指南编拟工作所取得的进展(另见上文第207段)。
XIII. Technical assistance: law reform十三. 技术援助:法律改革
A. General discussionA. 一般讨论
253. The Commission had before it a note by the Secretariat (A/CN.9/724) describing the technical cooperation and assistance activities undertaken subsequent to the date of the note on that topic submitted to the Commission at its forty-third session, in 2010 (A/CN.9/695 and Add.1).253. 委员会收到了秘书处的一份说明(A/CN.9/724),其中介绍了在向委员会2010年第四十三届会议提交有关这一主题的说明(A/CN.9/695和Add.1)之后开展的技术合作和援助活动。
The Commission stressed the importance of such technical cooperation and assistance and expressed its appreciation for the activities undertaken by the Secretariat referred to in document A/CN.9/724.委员会强调了此种技术合作和援助的重要性,并对A/CN.9/724号文件中提到的秘书处开展的活动表示赞赏。
It was explained that legislative technical assistance, in particular to developing countries, was no less important an activity than the formulation of uniform rules itself.据解释,立法方面的技术援助,特别是对发展中国家的技术援助,这一活动的重要性不亚于拟订统一规则本身。
For that reason, the Secretariat was encouraged to continue to provide such assistance to the broadest extent possible and to improve its outreach, in particular to developing countries.因此,鼓励秘书处继续尽可能广泛地提供此种援助,并改进特别是在发展中国家的推广工作。
254.
The Commission agreed on the need for a comprehensive approach to the furtherance of its mandate, based on a life cycle for uniform legislative texts comprised of four steps: identification of adequate topics of work; preparation of texts; adequate promotion of the adoption and use of those texts; and monitoring their uniform interpretation and application.254. 委员会一致认为,有必要以一种综合性办法推进其任务授权,依循统一法规从产生到适用的周期包括以下四个步骤:确定适当的工作议题;拟订法规;适当促进通过和使用这些法规;监测法规的统一解释和适用。
It was noted that, while UNCITRAL had prepared a number of legislative standards, their rate of adoption varied significantly, and therefore the promotion of the adoption and use of those standards seemed to call for specific attention.据指出,贸易法委员会已经拟订了若干立法标准,但其通过率差别很大,因此似乎需要特别关注促进通过和使用这些标准的工作。
255. The Commission took note of the strategic framework for technical assistance suggested by the Secretariat (A/CN.9/724, paras. 10-48) and endorsed its priority lines of action, which included the following: stressing a regional and subregional approach in order not only to achieve economies of scale but also to complement ongoing regional integration initiatives; promoting the universal adoption of those international trade law texts already enjoying wide acceptance, namely the New York Convention (a United Nations convention adopted prior to the establishment of the Commission but actively promoted by the Commission) and the United Nations Convention on Contracts for the International Sale of Goods; and making particular efforts to disseminate information on recently adopted texts, with a view, if such texts were treaties, to fostering their early adoption and entry into force.255. 委员会注意到秘书处提出的技术援助战略框架(A/CN.9/724,第10-48段),并核可了其首要的行动方针,其中包括以下内容:注重区域和次区域办法,以便不仅实现规模经济,也对正在开展的各项区域一体化举措加以补充;促进普遍通过已得到广泛承认的国际贸易法规,即《纽约公约》(委员会成立以前通过但由委员会负责实际推行的一项联合国公约)和《联合国国际货物销售合同公约》;特别努力传播最近通过的法规的有关信息,如果此类法规是条约,则以促进其早日通过并生效为目的。
In that respect, the benefits relating to further academic and training activities, in particular for members of the judiciary and of the bar, were illustrated.在这方面,会上举例说明了进一步学术和培训活动的相关益处,特别是对司法人员和律师的益处。
256. In relation to the promotion of recently adopted texts, the Commission heard a statement from the Comité Maritime International.256. 关于推广近期通过的法规,委员会听取了国际海事委员会所作的说明。
The Comité commended UNCITRAL for its work and, in particular, for the preparation of the Rotterdam Rules.国际海事委员会赞扬了贸易法委员会的工作,特别是《鹿特丹规则》的拟订工作。
The Comité illustrated the number of benefits arising from the adoption of the Rotterdam Rules, which were described as a modern and comprehensive treaty that was able to address the needs of all operators involved in maritime transport.国际海事委员会列举了因通过《鹿特丹规则》而产生的若干益处,认为该规则是现代化的综合性条约,能够应对参与海上运输所有运营商的需要。
In reiterating its readiness to contribute to the promotion and implementation of the Rotterdam Rules, the Comité stressed the need for an early adherence to the Rotterdam Rules by all States so as to establish that text firmly and as soon as possible as the sole global standard in its field.国际海事委员会重申其愿意协助推广和执行《鹿特丹规则》,同时强调需要所有国家早日遵守《鹿特丹规则》,才能尽早将该法规牢固地确立为这一领域唯一的全球标准。
257. The desirability of ensuring better communication on the mandate and work of UNCITRAL between the Commission and the Secretariat on the one hand and the Commission and decision makers on trade law reform on the other hand was noted.257. 会上指出,关于贸易法委员会的任务授权和工作,最好确保委员会和秘书处之间以及委员会和贸易法改革决策人员之间加强沟通。
It was suggested that UNCITRAL delegates and experts might be in a position to further contribute to the mandate of UNCITRAL by assisting in identifying those decision makers in the respective capitals.有与会者提出,贸易法委员会各代表和专家或许有办法协助确定各自首都的决策人员,从而对贸易法委员会的任务授权提供进一步帮助。
258. 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.258. 委员会指出,能否继续响应各国和各区域组织对技术合作和援助活动的请求,取决于是否有资金支付相关费用。
The Commission further noted that, despite efforts by the Secretariat to solicit new donations, funds available in the UNCITRAL Trust Fund for Symposia were very limited.委员会还指出,虽然秘书处为寻求新的捐款作出了种种努力,但贸易法委员会专题讨论会信托基金所能支配的资金仍然极其有限。
Accordingly, requests for technical cooperation and assistance activities continued to be very carefully considered, and the number of such activities, which of late had mostly been carried out on a cost-share or no-cost basis, was limited.因此,仍然对各种技术合作和援助活动的请求进行认真审议,此种活动的数量仍然有限,而且近来大多以费用均摊或无费用的方式进行。
The Commission requested the Secretariat to continue exploring alternative sources of extrabudgetary funding, in particular by more extensively engaging permanent missions, as well as other possible partners in the public and private sectors.委员会请秘书处继续探索其他预算外资金来源,特别是更广泛地动员各常驻代表团以及公共和私营部门其他潜在合作伙伴参与。
259. The Commission appealed to all States to assist the Secretariat in identifying sources of available funding in their States or organizations that might partner with UNCITRAL to support technical cooperation and assistance activities to promote the use and adoption of UNCITRAL texts, as well as wider participation in the development of such activities.259. 委员会呼吁所有国家协助秘书处找出各自国家可供利用的资金来源,或者物色可与贸易法委员会开展合作的组织,以便通过支持技术合作和援助活动促进贸易法委员会各种法规的使用和通过,并促进更广泛地参与此类活动的发展。
In particular, the Commission asked the Secretariat to circulate, both formally and informally, a questionnaire to take stock of existing and possible sources of funding for technical cooperation and assistance activities.委员会特别请秘书处以正式和非正式的方式分发一份调查表,盘点技术合作和援助活动现有的和可能的资金来源。
260. The Commission also reiterated its appeal to all States, international organizations and other interested entities to consider making contributions to the UNCITRAL Trust Fund for Symposia, if possible in the form of multi-year contributions or as specific-purpose contributions, in order to facilitate planning and enable the Secretariat to meet the increasing number of requests from developing countries and countries with economies in transition for technical cooperation and assistance activities.260. 委员会再次呼吁所有国家、国际组织和其他有关实体考虑向贸易法委员会专题讨论会信托基金提供捐款,可能的话可采用多年期捐款形式,或提供专门用途捐款,以便于进行规划并使秘书处能够满足发展中国家和经济转型期国家提出的越来越多的技术合作和援助活动请求。
The Commission expressed its appreciation to Indonesiafor contributing to the Trust Fund since the Commission’s forty-third session and to organizations that had contributed to the programme by providing funds or by hosting seminars.委员会对第四十三届会议以来向信托基金提供捐款的印度尼西亚表示感谢,并对通过提供经费或主办研讨会的方式为该方案作出贡献的各组织表示感谢。
261. 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.261. 委员会吁请联合国系统各有关机构、各组织、机构和个人对为向委员会成员国中的发展中国家提供旅行资助而设立的信托基金提供自愿捐款。
The Commission expressed its appreciation to Austria for contributing to the UNCITRAL Trust Fund since the Commission’s forty-third session, thereby enabling travel assistance to be granted to developing countries that were members of UNCITRAL.委员会感谢奥地利自委员会第四十三届会议以来向贸易法委员会信托基金提供了捐款,从而能够向贸易法委员会成员国中的发展中国家提供旅行资助。
B. Establishing a regional presence of UNCITRALB. 建立贸易法委员会的区域存在
262. The Commission recalled that, at its forty-second session, in 2009, it had requested the Secretariat to explore the possibility of establishing a presence in regions or specific countries by, for example, having dedicated staff in United Nations field offices, collaborating with such existing field offices or establishing Commission country offices, with a view to facilitating the provision of technical assistance, in particular to developing countries, with respect to the use and adoption of UNCITRAL texts.262. 委员会回顾,在2009年其第四十二届会议上,委员会请秘书处探讨在各区域或特定国家建立存在的可能性,办法包括向联合国外地办事处派驻专门人员,与现有的这类外地办事处合作,或设立贸易法委员会国别办事处,以便利特别是向发展中国家提供技术援助,帮助使用和通过贸易法委员会法规。
The General Assembly, in paragraph 10 (e) of its resolution 64/111, had noted that request.大会第64/111号决议第10(e)段注意到了这项请求。
263. The Commission was informed that the options available for establishing such a presence were limited because the regular budget of the Secretariat did not include funds for such activities and currently available extrabudgetary funds for technical assistance projects were scarce.263. 委员会获知,建立这类存在的可选办法是有限的,因为秘书处的经常预算并不包括开展这类活动的资金,并且目前可用的技术援助项目预算外资金不足。
Therefore, the Secretariat, in a note verbale dated 18 March 2011, had invited Member States of the United Nations to express their interest in establishing UNCITRAL regional centres in different parts of the world.因此,在2011年3月18日的普通照会中,秘书处请联合国会员国对在世界各地设立贸易法委员会区域中心一事表明态度。
States were asked to consider providing substantive financial contributions and necessary privileges and immunities, as well as office premises and facilities, to enable UNCITRAL regional centres to perform their functions.请各国考虑提供大量财政捐助、必要的特权和豁免以及办公房地和设施,以便贸易法委员会各区域中心能够履行职能。
264. The Commission was also informed that UNCITRAL regional centres, envisaged as project-based offices, would enhance international trade and development by disseminating international trade norms and standards, in particular those elaborated by UNCITRAL, by providing bilateral and multilateral technical assistance, by undertaking coordination activities with international and regional organizations active in the region and by collecting relevant information about UNCITRAL-related activities, including enactments by States in the region.264. 委员会还获知,设想贸易法委员会区域中心将作为以项目为基础的办事处,为促进国际贸易和发展而传播国际贸易规范和标准,特别是贸易法委员会拟订的国际贸易规范和标准,提供双边和多边技术援助,与活跃在本区域的国际组织和区域组织开展协调活动,并收集贸易法委员会相关活动(包括本区域各国颁布法律的情况)的有关信息。
Regional centres would also function as a channel of communication between States in the region and UNCITRAL.区域中心还将成为本区域各国与贸易法委员会之间的沟通渠道。
Broad support was expressed for the establishment of regional centres, which was considered a novel yet important step for the Commission in reaching out and providing technical assistance to developing countries.与会者对设立区域中心表示广泛支持,认为这是委员会向发展中国家伸出援手提供技术援助迈出的新颖而重要的一步。
Broad support was also expressed for the initiative undertaken by the Secretariat to that end.还对秘书处为实现该目的而采取的这项举措表示广泛支持。
265. As to the funding of UNCITRAL regional centres, it was understood that, under the limited resources currently available to the Secretariat, the establishment of a regional presence would have to rely entirely on extrabudgetary sources, including but not limited to voluntary contributions from States.265. 关于贸易法委员会区域中心的供资问题,据了解,在秘书处现有可用资源有限的情况下,设立区域中心将必须完全依靠预算外资源,包括但不限于各国的自愿捐款。
In that context, the concern was raised that, while expansion of technical assistance through the establishment of regional centres would be beneficial to recipient States, it should not entail a burden on the already limited resources of the Secretariat.在这方面提出的关切是,尽管通过设立区域中心来扩大技术援助将使接受国受益,但却不应当给秘书处已经很紧张的资源增添负担。
In response to that concern, it was explained that sources of funding would remain completely separate, since the Secretariat was entirely funded by the regular budget of the United Nations.针对该项关切,委员会解释说,供资来源将保持完全独立,因为秘书处全部由联合国经常预算供资。
While the Secretariat staff would obviously need to invest some of its time in establishing and monitoring the activities of the regional centres, including in the training of project personnel, a balanced approach would be taken to ensure that the benefits resulting from the establishment of a regional centre would outweigh any related cost associated with the time spent by the Secretariat staff on such activities.虽然秘书处工作人员显然需要将一部分时间用于设立区域中心和监测其各项活动,包括培训项目人员,但是将采取一种平衡兼顾的办法,确保设立区域中心带来的惠益将超过秘书处工作人员在这类活动上花费的时间所产生的任何费用。
It was also indicated that the Commission would be regularly informed about the activities of regional centres.另外还指出,将定期向委员会通报区域中心的活动情况。
In that context, it was noted that regional centres would need to engage actively in fund-raising activities so as to maintain a self-sustaining budget.在这方面,指出各区域中心需要积极参与筹资活动,从而维持自给自足的预算。
266. The Commission noted that, as at 24 June 2011, the Dominican Republic, El Salvador, Kenya, Malaysia, the Republicof Koreaand Singaporehad formally expressed an interest in hosting an UNCITRAL regional centre.266. 委员会注意到,截至2011年6月24日,多米尼加共和国、萨尔瓦多、肯尼亚、马来西亚、大韩民国和新加坡已正式表示有意担任贸易法委员会区域中心东道国。
It also noted that several other States had expressed their support for the initiative.还注意到其他几个国家表示支持这项举措。
At the current session, Argentinaalso expressed an interest in hosting an UNCITRAL regional centre.在本届会议上,阿根廷也表示了担任贸易法委员会区域中心东道国的意向。
267. The Commission was informed of the specific offer received from the Republicof Koreafor a pilot project whereby the Government of the Republicof Korea, through its Ministry of Justice and the Incheon Metropolitan City Office, had pledged the following for the establishment and operation of the “UNCITRAL Regional Centre for Asiaand the Pacific”:267. 委员会获知收到了大韩民国关于一个试点项目的具体提议。 大韩民国政府通过其法务部和仁川广域市办公室,在提议中就“贸易法委员会亚洲及太平洋区域中心”的设立和运作承诺如下:
• An annual financial contribution of $500,000 to the UNCITRAL Trust Fund for Symposia for an initial five-year period• 在最初五年内,每年向贸易法委员会专题讨论会信托基金提供财政捐助50万美元
• Office premises in Incheon, Republic of Korea, and other in-kind contributions, including equipment and furniture• 位于大韩民国仁川的办公房地和其他实物捐助,包括设备和家具
• One loaned, non-reimbursable staff member (a legal expert) to engage in technical cooperation and assistance activities.• 无偿借调一名工作人员(法律专家)参与技术合作和援助活动。
268. As Malaysia and Singapore also expressed a general interest in hosting an UNCITRAL regional centre in Asia and the Pacific, the Commission noted the possibility of establishing additional regional centres in that region.268. 由于马来西亚和新加坡也表示了担任贸易法委员会在亚洲和太平洋的区域中心东道国的一般意向,委员会指出有可能在该区域设立其他区域中心。
In that context, the Secretariat was requested to consult further with the relevant authorities of Malaysiaand Singaporeto ensure that a comprehensive and integrated approach would be implemented to maximize efficiency in providing technical assistance in Asiaand the Pacific.在这方面,请秘书处与马来西亚和新加坡的有关当局进一步协商,以确保采取统筹兼顾的办法,最大程度地提高在亚洲和太平洋提供技术援助的效率。
269. After discussion, the Commission expressed its appreciation to the Secretariat for taking the initiative to establish a regional presence of UNCITRAL and its gratitude to the Government of the Republic of Koreafor its generous contribution to the pilot project.269. 经过讨论,委员会表示赞赏秘书处采取建立贸易法委员会区域存在的这项举措并感谢大韩民国政府对试点项目的慷慨捐助。
Accordingly, the Commission approved the establishment of an UNCITRAL Regional Centre for Asia and the Pacific in the Republic of Korea, subject to the relevant rules and regulations of the United Nations and the internal approval process in the Office of Legal Affairs.因此,委员会核准遵照联合国相关规则和条例以及法律事务厅的内部核准程序,在大韩民国设立贸易法委员会亚洲及太平洋区域中心。
270. The Secretariat was requested to keep the Commission informed of developments regarding the establishment of UNCITRAL regional centres, including the UNCITRAL Regional Centre for Asia and the Pacific, and in particular their funding and budget situations.270. 请秘书处随时向委员会通报设立包括贸易法委员会亚洲及太平洋区域中心在内的贸易法委员会各区域中心的有关进展情况,特别是其供资和预算状况。
XIV. Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts十四. 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
271. The Commission considered a note by the Secretariat on the promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts (A/CN.9/726), which provided information on the current status of the CLOUT system and an update on work undertaken by the Secretariat on digests of case law relating to the United Nations Sales Convention and the Model Law on Arbitration.271. 委员会审议了关于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的秘书处说明(A/CN.9/726),其中介绍了法规判例法系统的现状并提供了秘书处就《联合国销售公约》和《仲裁示范法》相关判例法摘要开展工作的最新情况。
The Commission also drew attention to the resource-intensive nature of such work and the need for further resources to sustain it.委员会还提请注意此类工作需要大量资源,而维持此类工作则需更多资源。
272. The Commission noted with appreciation the continuing work under the CLOUT system.272. 委员会赞赏地注意到在法规判例法系统方面继续开展的工作。
As at 6 May 2011, 107 issues of compiled case-law abstracts from the CLOUT system had been prepared for publication, dealing with 1,055 cases relating mainly to the United Nations Sales Convention and the Model Law on Arbitration.截至2011年5月6日,法规判例法系统判例法摘要汇编已经出版了107期,涉及1,055个判例,主要与《联合国销售公约》和《仲裁示范法》有关。
The Commission noted the increase in the number of abstracts on the UNCITRAL Model Law on Cross-Border Insolvency and on the New York Convention, as well as the publication of abstracts related to the Convention on the Limitation Period in the International Sale of Goods.委员会注意到,涉及《贸易法委员会跨国界破产示范法》和《纽约公约》的摘要的数量有所增加,与《国际货物销售时效期限公约》有关的摘要也已出版。
The Commission also noted that a majority of the published abstracts concerned cases from Western European and other States and that the remainder concerned cases from other regions (Asia and the Pacific, Eastern Europe, Africa and Latin America and the Caribbean).委员会还注意到,所出版的摘要主要涉及西欧和其他国家的案例;其余摘要则涉及其他区域的案例(亚洲和太平洋、东欧、非洲以及拉丁美洲和加勒比)。
A few abstracts referred to International Chamber of Commerce awards.少数几份摘要提到国际商会的裁决。
The Commission expressed its appreciation to the national correspondents and other contributors for their work in developing the CLOUT system.委员会对国家通讯员和其他撰稿人在法规判例法系统发展方面所做的工作表示感谢。
The Secretariat was encouraged to continue its efforts to extend the composition and vitality of the network of contributors to the CLOUT system.鼓励秘书处继续努力扩大法规判例法系统撰稿人网络的组成,并使其更加具有活力。
273. The Commission was informed that a meeting of national correspondents would be held on 7 July 2011 and that it would discuss, among other issues, the revised digest of case law on the United Nations Sales Convention and the advanced work on the digest on the Model Law on Arbitration.273. 委员会获悉,2011年7月7日将举行一次国家通讯员会议,除其他问题外,这次会议将讨论《联合国销售公约》判例法摘要修订本以及《仲裁示范法》摘要方面的先头工作。
274. There was broad agreement that the CLOUT system, including the digests, continued to be an important aspect of the work undertaken by UNCITRAL for promoting the awareness, harmonization and uniform interpretation of UNCITRAL texts.274. 会上达成广泛共识,认为包括摘要在内的法规判例法系统依然是贸易法委员会为促进对贸易法委员会法规的认识、协调以及统一解释而开展的工作的一个重要方面。
The Commission thanked the Secretariat for its work in that area and expressed its full support for a call for increased resources to support and enlarge that work.委员会感谢秘书处在这一领域所做的工作,并表示完全支持为支助和扩大这一工作而提出的增加资源的请求。
XV.十五. 贸易法委员会法规的现状和推广
Status and promotion of UNCITRAL legal texts 275. 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.9/723) and information obtained by the Secretariat subsequent to the submission of that note.275. 委员会根据秘书处的一份说明(A/CN.9/723)以及秘书处在提交该说明之后获得的信息,审议了由委员会的工作所产生的各项公约和示范法现状以及《纽约公约》的现状。
The Commission noted with appreciation the information on the following treaty actions and legislative enactments received since its forty-third session regarding the following instruments:委员会赞赏地注意到自其第四十三届会议以来收到的关于就下列文书采取条约行动和颁布立法的资料:
(a) Convention on the Limitation Period in the International Sale of Goods, as amended, of 1980: accession by the Dominican Republic(21 States parties);(a) 1980年修正的《国际货物销售时效期限公约》:多米尼加共和国加入(21个缔约国);
(b) Convention on the Recognition and Enforcement of Foreign Arbitral Awards of 1958: accession by Fiji(145 States parties);(b) 1958年《承认及执行外国仲裁裁决公约》:斐济加入(145个缔约国);
(c) UNCITRAL Model Law on International Commercial Arbitration of 1985, with amendments as adopted in 2006: new legislation based on the Model Law as amended in 2006 had been adopted in Australia (2010), Brunei Darussalam (2010), Costa Rica (2011), Georgia (2009), Malaysia (2005) and Hong Kong, China (2010);(c) 1985年《贸易法委员会国际商事仲裁示范法》,2006年通过修正:根据2006年修正的《示范法》颁布的新法规已获通过的有:澳大利亚(2010年)、文莱达鲁萨兰国(2010年)、哥斯达黎加(2011年)、格鲁吉亚(2009年)、马来西亚(2005年)、中国香港(2010年);
(d) UNCITRAL Model Law on International Commercial Conciliation of 2002: new legislation based on the Model Law had been adopted in Montenegro(2005) and in Canada, in the Province of Ontario(2010);(d) 2002年《贸易法委员会国际商事调解示范法》:根据《示范法》颁布的新法规已获通过的有:黑山(2005年)、加拿大安大略省(2010年);
(e) United Nations Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea of 2008: new signatures by the Democratic Republic of the Congoand Luxembourgand ratification by Spain(one State party);(e) 2008年《联合国全程或部分海上国际货物运输合同公约》:新签署国有刚果民主共和国和卢森堡。西班牙批准(1个缔约国);
(f) UNCITRAL Model Law on Electronic Commerce of 1996: new legislation based on the Model Law had been adopted in Bahrain (2002), Fiji (2008), Ghana (2008), Paraguay (2010), Qatar (2010), Rwanda (2010), Samoa (2008), Vanuatu (2000) and Zambia (2009);(f) 1996年《贸易法委员会电子商务示范法》。根据《示范法》颁布的新法规已获通过的有:巴林(2002年)、斐济(2008年)、加纳(2008年)、巴拉圭(2010年)、卡塔尔(2010年)、卢旺达(2010年)、萨摩亚(2008年)、瓦努阿图(2000年)、赞比亚(2009年);
(g) UNCITRAL Model Law on Electronic Signatures of 2001: new legislation based on the Model Law had been adopted in Ghana(2008), Paraguay(2010), Qatar(2010), Rwanda(2010) and Zambia(2009); legislation influenced by the principles on which the Model Law was based had been adopted in Nicaragua(2010).(g) 2001年《贸易法委员会电子签名示范法》:根据《示范法》颁布的新法规已获通过的有:加纳(2008年)、巴拉圭(2010年)、卡塔尔(2010年)、卢旺达(2010年)、赞比亚(2009);受《示范法》所依据原则的影响制订的法规已获通过的有尼加拉瓜(2010年);
276. The Commission took note of the bibliography of recent writings related to the work of UNCITRAL (A/CN.9/722) and noted with appreciation the influence of UNCITRAL legislative guides, practice guides and contractual texts.276. 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.9/722),还赞赏地注意到贸易法委员会各种立法指南、实务指南和合约性文本所产生的影响。
In that context, it was noted that Colombiahad passed legislation responding to part three of the UNCITRAL Legislative Guide on Insolvency Law, on the treatment of enterprise groups in insolvency.在这方面,注意到哥伦比亚已根据《贸易法委员会破产法立法指南》中关于破产企业集团对待办法的第三部分通过了法规。
XVI. Coordination and cooperation十六. 协调与合作
A. GeneralA. 概况
277. The Commission had before it a note by the Secretariat (A/CN.9/725) providing information on the activities of other international organizations active in the field of international trade law in which the UNCITRAL secretariat had participated since the last note to the Commission on that topic (A/CN.9/707 and Add.1).277. 委员会收到了秘书处的一份说明(A/CN.9/725),其中介绍了贸易法委员会秘书处自就这项议题向委员会提出上次说明(A/CN.9/707和Add.1)以来参与国际贸易法领域其他国际组织活动的情况。
278.
The Commission noted with appreciation that, pursuant to General Assembly resolution 65/21, the Secretariat had engaged in a dialogue with a number of organizations, including the European Union, the Hague Conference on Private International Law (the Hague Conference), the Organization for Economic Cooperation and Development, the UNCTAD-led Inter-Agency Cluster on Trade and Productive Capacity of the United Nations System Chief Executives Board for Coordination, Unidroit, the World Bank and the World Intellectual Property Organization.278. 委员会赞赏地注意到,秘书处已经按照大会第65/21号决议,与一些组织开展了对话,其中包括欧洲联盟、海牙国际私法会议(海牙会议)、经济合作与发展组织、联合国系统行政首长协调会在联合国贸易和发展会议领导下的机构间贸易和生产能力小组、统法协会、世界银行、世界知识产权组织。
The Secretariat principally participated in expert groups, working groups and plenary meetings of those organizations, with the purpose of sharing information and expertise and avoiding duplication of work in the resultant work products.秘书处主要参与的是这些组织的专家组、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 that work often involved travel to meetings of those organizations and the expenditure of funds allocated for official travel of its secretariat.委员会注意到,这方面的工作通常涉及出差去参加这些组织的会议以及为其秘书处公务旅行拨出的经费支出。
The Commission reiterated the importance of coordination work being undertaken by UNCITRAL as the core legal body in the United Nations system in the field of international trade law and expressed its support for the use of travel funds for that purpose.委员会重申贸易法委员会作为联合国系统在国际贸易法领域中的核心法律机构开展的协调工作的重要性,并表示支持为此目的使用差旅费。
279. By way of example of current efforts at coordination, the Commission took note in particular of the activities involving the Hague Conference and Unidroit.279. 通过目前进行的协调努力的实例,委员会特别注意到有海牙会议和统法协会参加的活动。
B. Coordination and cooperation in the field of security interestsB. 在担保权益领域的协调与合作
280.
The Commission had before it a paper prepared jointly by the Permanent Bureau of the Hague Conference and the secretariats of UNCITRAL and Unidroit with the assistance of outside experts (in particular, Neil Cohen and Steven Weise) and entitled “Comparison and analysis of major features of international instruments relating to secured transactions” (A/CN.9/720).280. 委员会收到了由海牙会议常设主席团、贸易法委员会秘书处和统法协会秘书处在外部专家(特别是Neil Cohen和Steven Weise)的协助下联合编拟的题为“担保交易国际文书主要特征的对比和分析”的文件(A/CN.9/720)。
It was noted that the Permanent Bureau of the Hague Conference and the secretariats of UNCITRAL and Unidroit planned to give that paper the widest possible dissemination, including by way of a United Nations sales publication to be issued in line with the relevant United Nations publication rules and the terms agreed upon with the Permanent Bureau of the Hague Conference and the secretariat of Unidroit.据指出,海牙会议常设主席团、贸易法委员会秘书处和统法协会秘书处计划尽可能广泛传播该文件,包括按照联合国相关出版规则以及与海牙会议常设主席团和统法协会秘书处商定的条款发行联合国销售性出版物。
281. The Commission welcomed the paper and expressed its appreciation to its secretariat, the Permanent Bureau of the Hague Conference and the secretariat of Unidroit, as well as to all experts involved in preparing the paper.281. 委员会对该文件表示欢迎,并向其秘书处、海牙会议常设主席团和统法协会秘书处以及参与文件编拟工作的所有专家表示感谢。
It was widely felt that the paper was reflective of the kind of cooperation that the Commission had been supporting for years.与会者广泛认为,该文件反映了委员会多年来一贯支持的合作类型。
It was also stated that, by summarizing the scope of application of the various instruments, showing how they could interact with one another and providing a comparative understanding of the basic themes covered by each instrument, the paper would be highly useful in assisting policymakers in States that wished to adopt all of those instruments.另据称,该文件概要介绍了各种文书的适用范围,说明其如何交互运作,还对每项文书所涵盖的基本主题作了比较说明,对希望通过所有这些文书的国家的政策制定者将大有助益。
It was observed that the paper might pave the way for possible future papers explaining the interrelationship of texts prepared by the three organizations mentioned.据认为,该文件可为今后可能编写的解释这三个组织所拟订的法规之间相互关系的文件铺平道路。
In that context, however, it was noted that caution should be exercised to avoid creating uncertainty as to the relationship between the various texts that might be involved.但有与会者指出,在这方面应当谨慎行事,以避免在可能涉及的各种法规之间的相互关系上造成不确定性。
282. The suggestion was made that, in the context of the discussion of the Unidroit Model Law on Leasing, reference should be made to the 1988 Unidroit Convention on International Financial Leasing and to the fact that there was no overlap between the Unidroit Model Law and the 2001 Protocol to the Convention on International Interests in Mobile Equipment on Matters specific to Aircraft Equipment, as the Unidroit Model Law excluded leasing of large aircraft equipment, unless otherwise agreed by the parties.282. 有与会者建议,在讨论《统法协会租赁示范法》时,应当提及1988年《统法协会国际金融租赁公约》,并提及《统法协会示范法》和2001年《移动设备国际利益公约关于航空器设备特有事项的议定书》事实上并无重叠之处,因为《统法协会示范法》排除了大型航空器设备的租赁,除非当事各方另有约定。
The suggestion was also made that, in the context of the description of the assets covered by the 2009 Unidroit Convention on Substantive Rules for Intermediated Securities, reference should also be made to certain aspects relating to non-intermediated securities that were also covered.另据建议,在讨论2009年《统法协会中间人代持证券实体规则公约》所涵盖的资产类型时,还应提及也包含在内的与非中间人代持证券有关的某些方面。
283.
After discussion, subject to addressing the above-mentioned suggestions in cooperation with the secretariat of Unidroit, the Commission approved the paper and requested that it be given the widest possible dissemination, including by way of a United Nations sales publication with proper recognition of the contribution of the Permanent Bureau of the HagueConference and the secretariat of Unidroit.283. 经讨论后,委员会通过了该文件,但仍须与统法协会秘书处合作处理上述建议。 委员会要求尽可能广泛传播该文件,包括通过联合国销售性出版物的方式,同时适当鸣谢海牙会议常设主席团和统法协会秘书处的贡献。
C. Reports of other international organizationsC. 其他国际组织的报告
284. The Commission took note of statements made on behalf of the following international organizations.284. 委员会注意到以下国际组织代表所作的发言。
1. International Institute for the Unification of Private Law (Unidroit)1. 国际统一私法协会(统法协会)
285. The Commission heard a statement on behalf of Unidroit.285. 委员会听取了统法协会代表所作的发言。
Unidroit welcomed the current coordination and cooperation with UNCITRAL and reaffirmed its commitment to cooperating closely with the Commission with a view to ensuring consistency, avoiding overlap and duplication in the work of the two organizations and making the best use of the resources made available by the respective member States.统法协会欢迎目前与贸易法委员会的协调与合作并重申其致力于与委员会密切合作以确保一致性,避免两个组织工作的重叠和重复,并最好地利用各自成员国所提供的资源。
Mention was made of the document on the work of UNCITRAL, Unidroit and the Hague Conference in the area of secured transactions (see paras. 280-283 above) as a concrete joint product of that tripartite collaboration.会上将贸易法委员会、统法协会和海牙会议在担保交易领域的工作文件(见上文第280-283段)称为这一三方合作的具体联合产品。
Unidroit expressed its appreciation to UNCITRAL for having coordinated and sponsored that project and expressed the hope that a series of joint projects could follow.统法协会对贸易法委员会协调和赞助这个项目表示感谢,并表示希望今后能够有一系列联合产品。
286. Unidroit reported that:286. 统法协会报告说:
(a) At the ninetieth session of the Unidroit Governing Council, held in Romefrom 9 to 11 May 2011, the Council had adopted by acclamation the third edition of the Unidroit Principles of International Commercial Contracts (to be known as “Unidroit Principles 2010”). The new edition included four new chapters dealing with the unwinding of failed contracts, illegality, plurality of obligors and obligees, and conditional obligations. The Council authorized the publication and promotion of the Unidroit Principles 2010 worldwide and mandated the Unidroit secretariat to take the necessary steps to secure their formal endorsement by UNCITRAL;(a) 在2011年5月9日至11日于罗马举行的统法协会理事会第九十届会议上,理事会以鼓掌方式通过了《统法协会国际商事合同通则》第三版(称为“统法协会通则2010”)。新版本包括四个新章节,分别论述失败合同的解决、非法行为、债务人和债权人的多元性,及有条件的义务。理事会授权在世界范围出版和宣传“统法协会通则2010”,并授权统法协会秘书处采取必要步骤确保其得到贸易法委员会的正式赞同;
(b) Unidroit was preparing the third protocol, dealing with space assets, of the 2001 Convention on International Interests on Mobile Equipment (the “Cape Town Convention”). As at 1 July 2011, there were 46 ContractingStates to the Cape Town Convention and 40 Contracting Statesto the Aircraft Protocol. The Governing Council had authorized the Unidroit secretariat to transmit the text of the draft Protocol to a diplomatic conference for adoption. The Government of Germany had agreed to host such a conference, which would take place in Berlinfrom 27 February to 9 March 2012;(b) 统法协会正在编拟2001年《移动设备国际利益公约》(“开普敦公约”)涉及空间资产的第三项议定书。截至2011年7月1日,《开普敦公约》有46个缔约国,《航空器议定书》有40个缔约国。理事会已授权统法协会秘书处将议定书草案案文转交外交会议通过。德国政府已同意主办这一会议,会议将于2012年2月27日至3月9日在柏林举行;
(c) Publication of the revised final version of the Official Commentary to the 2009 Unidroit Convention on Substantive Rules for Intermediated Securities should occur during the third quarter of 2011. In September 2010, the Unidroit secretariat organized a colloquium on financial markets law, with a view to identifying possible topics suitable for insertion in a future legislative guide on principles and rules that could enhance trading in securities in emerging markets. The presentations made at the colloquium were published in a special issue of the Uniform Law Review that had appeared earlier in 2011. Groundwork on the legislative guide on the principles and rules was under way and was expected to be reviewed at the second meeting of the Emerging Markets Committee (tentatively scheduled for 28 and 29 March 2012);(c) 应在2011年第三季度出版2009年《统法协会中间人代持证券实体规则公约》正式评注的最后修订版。2010年9月,统法协会秘书处组织了一次关于金融市场法的讨论会,目的在于确定在未来关于能够加强新兴市场的证券交易的原则和规则的立法指南中适合插入的可能专题。2011年早些时候印发的《统一法评论》专刊中登载了该讨论会上所作的专题介绍。编拟这些原则和规则的立法指南的基础工作正在进行之中,预计将在新兴市场委员会第二次会议(暂定于2012年3月28日和29日举行)上予以审查;
(d) Preparation of uniform principles and rules on the netting of financial instruments had been assigned the highest level of priority. The first meeting of the study group, composed of regulators, scholars and industry representatives, was held in Romein April 2011. The next meeting would be held in September 2011;(d) 编拟建立金融工具网的统一原则和规则的工作已列为最高度优先事项。由监管人员、学者和业界代表组成的研究小组第一次会议于2011年4月在罗马举行。下次会议将于2011年9月举行;
(e) The Unidroit Governing Council had authorized the Unidroit secretariat to continue its consultations with relevant sectors so as to further develop an understanding of the potential scope and advantages of a possible fourth protocol to the Cape Town Convention, on agricultural, construction and mining equipment. The Unidroit secretariat intended to hold an industry consultation meeting in November 2011;(e) 统法协会理事会已授权统法协会秘书处继续与相关部门进行磋商,以进一步了解可能编拟的《开普敦公约》关于农业、建筑和采矿设备的第四项议定书的潜在范围和好处。统法协会秘书处打算于2011年11月举行一次业界磋商会议;
(f) In agreement with the Unidroit Governing Council, consultations with intergovernmental organizations, in particular the Food and Agriculture Organization of the United Nations and the International Fund for Agricultural Development, in the area of agricultural investment and production were being carried out to better explore synergies and develop joint projects. As follow-up, the Unidroit secretariat intended to organize a colloquium, which would also involve external experts, representatives of Governments of member States and representatives from professional circles, in particular from agribusiness and the finance industry, that were interested in private law issues and agricultural development. The colloquium was tentatively scheduled to be held from 8 to 10 November 2011 and should include a discussion on selection procedures for the award of agricultural projects to potential investors. The participation of UNCITRAL to address that topic would be appreciated;(f) 与统法协会理事会达成一致,正在同各政府间组织特别是联合国粮食及农业组织和国际农业发展基金在农业投资和生产领域进行磋商,以更好地探讨协同效应和制定联合项目。作为后续行动,统法协会秘书处打算组织一次讨论会,还将邀请外部专家、成员国政府代表和专业界(尤其是农业综合企业和金融业)对私法问题和农业发展感兴趣的代表参加该讨论会。讨论会暂定于2011年11月8日至10日举行,应包括讨论对潜在的投资者给予农业项目的遴选程序。请贸易法委员会参与讨论这一专题;
(g) The Unidroit Governing Council had asked the Unidroit secretariat to conduct informal consultations with Governments and other organizations concerned, with a view to ascertaining the scope and feasibility of a possible international instrument on third-party liability for the malfunctioning of services supported by global navigation satellite systems. The Unidroit secretariat had already held an informal consultation meeting in October 2010, at which participants, while expressing differing views on the topic, had conveyed their general interest in continuing consultations;(g) 统法协会理事会已请统法协会秘书处与各国政府和其他有关组织进行非正式磋商,以确定编拟关于第三方对全球导航卫星系统支持的服务故障所负责任的可能国际文书的范围和可行性。统法协会秘书处已于2010年10月举行了一次非正式磋商会议,与会者虽然就该专题表达了不同的意见,但普遍表示有兴趣继续进行磋商;
(h) At its ninetieth session, the Governing Council requested the Unidroit secretariat to proceed with the convening of a follow-up committee of the 1995 Unidroit Convention on Stolen or Illegally Exported Cultural Objects, which as at 1 July 2011 had 32 contracting States.(h) 在其第九十届会议上,理事会请统法协会秘书处继续召集统法协会1995年《国际归还被盗或非法出口的文物公约》后续工作委员会会议,截至2011年7月1日,该公约有32个缔约国。
2. World Bank2. 世界银行
287. The Commission heard a statement on behalf of the World Bank, in which appreciation was expressed to UNCITRAL and its secretariat for the continuing cooperation conducted with the World Bank.287. 委员会听取了世界银行代表所作的发言,其中对贸易法委员会及其秘书处继续与世界银行进行合作表示赞赏。
It was noted that over the past year the work of the World Bank in supporting the modernization of the legal enabling environment for economic growth and trade had been significantly enhanced by the work of UNCITRAL.指出过去一年世界银行在支持法律赋能环境现代化以促进经济增长和贸易的工作得到贸易法委员会工作的极大支持。
In particular, the observer for the World Bank highlighted the work being done by the two organizations in establishing uniform legal frameworks for public procurement, arbitration and conciliation, insolvency and security interests.世界银行观察员特别强调两个组织在建立公共采购、仲裁和调解、破产和担保权益领域的统一法律框架方面正在进行的工作。
The adoption at the current session of the UNCITRAL Model Law on Cross-Border Insolvency: the judicial perspective (see para. 198 above), the ongoing work on the regulatory environment for registries and the exploratory work regarding the legal environment for microfinance were welcomed.会上欣见本届会议通过了“《贸易法委员会跨国界破产示范法》:司法角度的审视”(见上文第198段),以及正在开展的关于登记处的监管环境和有关小额金融的法律环境的探索性工作。
Particular appreciation was expressed for UNCITRAL cooperation in the effort to develop a brief statement of standards for effective secured transactions regimes based on the Secured Transactions Guide and for the support offered to the World Bank Insolvency Task Force, which was beginning to consider the appropriateness and feasibility of identifying common principles across jurisdictions for addressing the problem of individual bankruptcy in the light of the emphasis on broad and inclusive access to finance (see para. 222 above).特别对贸易法委员会在努力编拟基于《担保交易指南》的有效担保交易制度标准的简要说明方面所给予的合作以及对世界银行破产工作队给予的支助表示感谢。 鉴于对广泛的普惠性融资渠道的重视,该工作队开始考虑确立跨法域处理个人破产问题的通用原则的适宜性和可行性(见上文第222段)。
The World Bank also expressed its appreciation for the readiness of the UNCITRAL secretariat to help identify and marshal technical expertise to support the implementation of the Commission’s legislative texts.世界银行还对贸易法委员会秘书处随时准备协助物色和汇集技术专长来支持实施贸易法委员会的立法案文表示感谢。
D. International governmental and non-governmental organizations invited to sessions of UNCITRAL and its working groupsD. 受邀参加贸易法委员会及其工作组届会的国际政府组织和非政府组织
288. 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.288. 委员会回顾,2010年其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。
By 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 entertained a long-standing cooperation and which had been invited to Commission sessions.根据概要第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受邀参加委员会届会的国际组织和非政府组织的名单。
289. The Commission noted that the lists of intergovernmental and non-governmental organizations invited to sessions of UNCITRAL and its working groups were made available to Member States online.289. 委员会注意到,已在网上向会员国提供了受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名单。
The lists contained the full and abbreviated names of organizations, in English, French and/or Spanish, as appropriate, and provided a link to the websites, if any, of the listed organizations.这些名单酌情载有各组织的英文、法文和(或)西班牙文全称和简称,所列组织有网站的,则提供了网站链接。
The Commission further noted that the Secretariat systematically maintained the lists, in particular by including new organizations once it was decided to invite them to sessions of UNCITRAL or to sessions of any UNCITRAL working group.委员会还注意到,秘书处系统地维护着名单,尤其是一经决定邀请新组织参加贸易法委员会届会或贸易法委员会任何一个工作组的届会,便将该组织列入其中。
290.
The Commission was informed that since December 2010, when the lists had been first made available to the Member States online, six new non-governmental organizations had been added: Association droit et méditerranée (Jurimed), Fondation pour le droit continental/Civil Law Initiative, International Federation of Purchasing and Supply Management, International Technology Law Association, National Center for Technology and Dispute Resolution and Tehran Regional Arbitration Centre.290. 委员会获知,自2010年12月首次在网上向会员国提供名单以来,已新增了六个非政府组织:法律和地中海协会(Jurimed)、大陆法系基金会/民法举措、国际购买和供应管理联合会、国际技术法律协会、国家技术与争议解决中心和德黑兰区域仲裁中心。
291. Concern was expressed by some delegations that they had not received information about the lists and the procedure for obtaining access to them.291. 一些代表团对其未曾收到与这些名单及访问名单的程序有关的信息表示关切。
In response to queries, it was explained that access to the lists was given to all United Nations Member States and that the relevant information had been communicated by the Secretariat to all Member States in a note verbale of 14 December 2010.针对这些询问,会上解释说,名单访问权已给予联合国所有会员国,并且秘书处在2010年12月14日的普通照会中向所有会员国传达了相关信息。
It was agreed that the relevant information should be circulated again to all Member States.委员会商定,应向所有会员国再次发送相关信息。
A number of delegations were of the view that it would be effective also to circulate that information to members of delegations to UNCITRAL.一些代表团认为,向贸易法委员会各代表团成员传达此类信息也是有效的。
292. The Secretariat confirmed that the lists contained the names of all organizations currently being invited to sessions of the Commission and its working groups.292. 秘书处确认,名单载有目前受邀参加委员会及其工作组届会的所有组织名称。
A suggestion was made that the lists should be made more user-friendly by grouping organizations to indicate the body whose sessions they were invited to attend.有与会者建议,应将各组织划分组别,标明其受邀参加哪个机构的届会,从而使名单更加便于用户使用。
The Commission requested the Secretariat to restructure the lists to make it clear which organizations were being invited to which working group and which organizations were being invited to sessions of the Commission.委员会请秘书处调整名单,使其明示哪些组织目前受邀参加哪个工作组的届会以及哪些组织目前受邀参加委员会的届会。
293. Concern was expressed by some delegations that the States members of the Commission were generally not consulted before new non-governmental organizations were added to the list.293. 一些代表团表示关切说,在名单中新增非政府组织之前通常未向委员会会员国征求意见。
In response, the Secretariat observed that, while invitations were issued on behalf of the Commission or the working group, it would be too time-consuming and thus impractical to require that the Secretariat always consult member States before deciding to invite non-governmental organizations to sessions of the Commission or its working groups.对此,秘书处称,虽然邀请是代表委员会或工作组发出的,但若要求秘书处每次在决定邀请非政府组织参加委员会或其工作组届会前都向会员国征求意见,会耗费太多时间,因此是不切实际的。
It was recalled that there had been extensive discussion of that same issue at the previous four sessions of the Commission.据回顾,委员会前四届会议就这一问题作了广泛讨论。
294. The suggestion was made that the Secretariat should circulate information about new non-governmental organizations that were being considered for invitation by way of a formal communication (i.e. a note verbale to permanent missions or permanent representatives) or an informal communication (e.g. an e-mail to representatives of States attending UNCITRAL sessions) before a working group began work on the newly assigned project.294. 有与会者建议,秘书处应在一个工作组开始就新布置的项目开展工作前通过正式信函(即致常驻代表团或常驻代表的普通照会)或非正式信函(如致出席贸易法委员会届会的国家代表的电子邮件)的方式分发关于考虑邀请的新的非政府组织的信息。
In response, concern was expressed about the practical consequences of the suggestion for the Secretariat, the Commission and its working groups, in particular if an invitation to an organization being objected to by a single State would result in preventing the invitation being issued until after the Commission had considered the matter at its annual session.对此,有与会者对这一建议给秘书处、委员会及其工作组带来的实际后果表示关切,尤其是如果某个国家反对邀请某个组织,那么只能等到委员会在其年度届会上审议了该事项后才能发出邀请。
It was generally agreed that cumbersome consultations by the Secretariat with all States before the decision to extend an invitation to any new non-governmental organization should be avoided.委员会普遍同意,秘书处在决定向任何新的非政府组织发出邀请前向所有国家征求意见是非常麻烦的,应当避免。
295. The Secretariat explained the way in which it had proceeded on that matter since the end of the forty-third session of the Commission, in 2010: (a) the Secretariat made the preliminary decision to invite new organizations to sessions, on behalf of the Commission and its working groups; (b) at the same time that the invitation was extended to each such organization, the relevant list of invited organizations accessible to Member States was updated; and (c) the Commission was informed at its annual session of any new organization added to the lists (see para. 290 above).295. 秘书处解释了其在2010年委员会第四十三届会议结束以来处理这一事项的方式:(a)秘书处代表委员会及其工作组初步决定邀请新组织参加届会;(b)同时,逐一向这些组织发出邀请,更新会员国可访问的受邀组织名单;(c)在委员会年度届会上向委员会通报名单上的所有新增组织(见上文第290段)。
It was noted that, if objections were raised to inviting any new organizations, such objections were expected to be addressed at the session by all member States of the Commission.委员会注意到,如果有意见反对邀请哪一个新组织,委员会所有成员国将在该届会议上处理此类异议。
296. Some delegations suggested that the Secretariat should specifically draw the attention of States to each time a new organization was added to the list of invitees.296. 有些代表团建议,每次在受邀组织名单中新增组织时,秘书处应当特别提请各国加以注意。
After discussion, it was agreed that referring States to the updated lists available online should be sufficient.经过讨论,委员会一致认为,使各国注意网上提供的更新名单即可。
It was agreed that States should be reminded of the availability of the list as compiled and updated in accordance with paragraphs 292 and 295 above in the standard note verbale circulated to invite Governments to attend each session of UNCITRAL and its working groups.据商定,应当在所印发的邀请各国政府参加贸易法委员会及其工作组届会的标准普通照会中提醒各国已有根据上文第292和295段编制并更新的名单。
It was understood that any State willing to record an objection to any new organization being invited could communicate its objection to the Secretariat at any time.据了解,任何想要申明反对邀请某个新组织的国家可随时向秘书处提出其反对意见。
297. A widely supported suggestion was that all documents related to the working methods of UNCITRAL should be made available on a dedicated web page of the UNCITRAL website.297. 一项受到广泛支持的建议是,应当在贸易法委员会网站的一个专门网页上提供与贸易法委员会工作方法有关的所有文件。
The Commission requested the Secretariat to update the website, as appropriate.委员会请秘书处酌情更新网站。
298. Another suggestion was that, with a view to increasing awareness of the standard-setting and technical assistance work of the Commission, the Secretariat should investigate the possibility of inviting a small number of prominent specialized law reviews to attend sessions of the Commission or its working groups as observers, on the understanding that those reviews would then disseminate information about new projects and existing standards.298. 另一项建议是,为了提高对委员会标准制定工作和技术援助工作的认识,秘书处应当研究可否邀请几位知名的专门法律评论员以观察员身份参加委员会或其工作组的届会,但有一项谅解,即这些评论员随后将传播新项目和现行标准方面的信息。
After discussion, that suggestion was adopted.经讨论后采纳了该建议。
XVII. Role of UNCITRAL in promoting the rule of law at the national and international levels十七. 贸易法委员会在促进国内和国际法治方面的作用
A. IntroductionA. 导言
299. In paragraph 3 of its resolution 62/70, paragraph 7 of resolution 63/128 and paragraph 9 of resolution 64/116, the General Assembly invited the Commission to comment in its report to the Assembly on its current role in promoting the rule of law.299. 大会在其第62/70号决议第3段、第63/128号决议第7段以及第64/116号决议第9段中,请委员会在其提交大会的报告中就委员会在促进法治方面的作用表达意见。
The Commission recalled that it had subsequently transmitted its comments, as requested, in its annual reports to the Assembly.委员会回顾,委员会随后根据请求在其提交大会的年度报告中转发了委员会的意见。
B. Actions as regards relevant General Assembly resolutions at the current sessionB. 本届会议就大会有关决议采取的行动
300. The Sixth Committee of the General Assembly had reached the understanding that comments related to the sub-topic of “rule of law and transitional justice in conflict and post-conflict situations”, under the agenda item on the rule of law, should address, among other things, the role and future of national and international transitional justice and accountability mechanisms and informal justice systems.300. 大会第六委员会达成了一项共识,即在关于法治的议程项目下,与“在冲突中和冲突后情形下的法治和过渡司法”这一分主题有关的意见应当除其他外涉及国内和国际过渡司法和问责机制以及非正式司法系统的作用和未来。
The Commission therefore decided that at its current session its comments to the General Assembly would focus on that sub-topic and the issues identified by the Sixth Committee from the perspective of the work of UNCITRAL.因此,委员会决定,委员会在本届会议上向大会提出的意见将侧重于该分主题,并从贸易法委员会工作的角度处理第六委员会所确定的各种问题。
301. The Commission held a panel discussion on that sub-topic, with the participation of UNCITRAL partners active in the implementation of commercial law reforms in the Balkan region.301. 委员会就该分主题举行了小组讨论,积极参与巴尔干区域商法改革实施工作的贸易法委员会的合作伙伴参加了这次讨论。
The panellists were requested to provide real-life examples of successful achievements and challenges so that such first-hand information could be relied upon in formulating the Commission’s comments on its role in the promotion of the rule of law at the national and international levels in the relevant context to the General Assembly.委员会请小组讨论会成员提供成功业绩的实例和遇到的挑战,以便能够依据这类第一手材料,就委员会在相关情况下对促进国内和国际各级法治所发挥的作用拟订委员会提交大会的意见。
C. Summary of the panel discussion on the role of UNCITRAL in the promotion of the rule of law in conflict and post-conflict societiesC. 关于贸易法委员会对促进陷入冲突和冲突后社会的法治的作用的 小组讨论概要
302. The panellists emphasized that UNCITRAL instruments and resources, if properly used, could facilitate and expedite the transition from post-conflict recovery towards a more stable and inclusive economy.302. 讨论小组成员强调指出,贸易法委员会的各种文书和资源如果得到适当使用,当能促进并加快从冲突后恢复向更稳定、更具包容性经济的过渡。
They also pointed to the unique nature of UNCITRAL and its expertise: no other organization was better equipped to provide internationally acceptable model laws and rules in the field of commercial law, support for enactments of uniform commercial laws and, especially, much-needed education and training.他们还指出了贸易法委员会及其专门知识的独特性:贸易法委员会与其他组织相比具有得天独厚的条件,能够提供商法领域国际公认的示范法和规则,并为颁布统一商法特别是为迫切需要的教育和培训提供支助。
The point was made by all panellists that UNCITRAL should use the full range of its technical assistance and cooperation activities to assist post-conflict societies by providing technical assistance to organizations and Governments at the earliest possible time.讨论小组的所有成员都指出,贸易法委员会应当利用其门类齐全的技术援助和合作活动,尽早向各组织和各国政府提供技术援助,从而为冲突后社会提供协助。
303. In the cross-border context, it was in particular emphasized that UNCITRAL provided a neutral, impartial and apolitical forum for the discussion of technical legal issues, which often enabled parties in cross-border conflicts to restart a dialogue.303. 特别强调的是,贸易法委员会可以针对跨国界情形为讨论技术性法律问题提供中立、公正和非政治化的论坛,因此通常能够使跨国界冲突中的各方重启对话。
The impact of the work of UNCITRAL on facilitating regional economic integration, which was widely considered to be an effective deterrent against conflict (including by preventing post-conflict societies from sliding back into conflict), was also noted.还指出了贸易法委员会工作对促进区域经济融合所起的作用,普遍认为这种融合作用是抑制冲突的有效因素(包括防止冲突后社会重陷冲突)。
304. In the internal reconstruction context, the use of UNCITRAL instruments and other resources for local commercial law and institutional reforms was considered essential in order to quickly regain the trust of the international business community and donors, without which no flow of the finances needed for reconstruction was possible.304. 关于在国内重建情形下使用贸易法委员会的文书及其他资源进行当地商法及体制改革,会上认为这对于迅速重新获得国际商界及捐助方的信任至关重要,没有这种信任就无法产生重建所需要的资金流动。
In that context, reference was made in particular to UNCITRAL instruments in the areas of public procurement, commercial dispute settlement and contracts for the international sale of goods.关于这一点,特别提到贸易法委员会在公共采购、商事争议解决以及国际货物销售合同等领域中的文书。
It was reported that the fact that local commercial laws were based on internationally acceptable standards elaborated by UNCITRAL constituted sufficient assurance for investors and donors as regards their quality.据报告,当地商法以贸易法委员会拟订的国际公认标准为依据,这一点就足以就其质量为投资者和捐助者提供保证。
The need for the increased involvement of UNCITRAL in assistance with the enactment of laws based on its texts and with their interpretation and application was emphasized.会上强调,贸易法委员会要更多参与协助根据贸易法委员会的法规颁布法律并对其作出解释和加以适用。
Also stressed was the importance of translating UNCITRAL texts into the local languages of post-conflict societies to ensure better outreach to and understanding by intended end-users.还强调了将贸易法委员会的法规译成冲突后社会所使用的语文的重要性,以此确保更好地向预期使用者进行宣传并增进其理解。
305. It was a well-known fact, it was said, that the judiciary in many countries, not only in post-conflict societies, was understaffed, experienced backlogs and lacked skilled personnel.305. 据指出,众所周知的是,许多国家——而不仅仅是冲突后社会——的司法机关都人员不足,工作积压,缺少熟练人手。
It was acknowledged that judicial reform was neither easy nor fast to implement.会上承认,司法改革并非易事,不能一蹴而就。
Arbitration had proved to be a viable alternative for the resolution of disputes in societies, including post-conflict societies, facing problems with the judicial system.实践证明,对于司法系统面临种种问题的社会(包括冲突后社会)来说,仲裁是争议解决的一个可行的替代办法。
It was noted that, since arbitration centres as a rule were created by private initiative and administered privately, they were considerably easier and faster to set up and administer than courts.据指出,由于仲裁中心一般都经由私人举措设立并以私营方式管理,比起法院来,设立和管理此种中心容易得多,也快得多。
It was reported that some arbitration centres might in fact already have a grass-roots foundation in traditional dispute resolution mechanisms.据报告,一些仲裁中心实际上可能已经在传统争议解决机制的基层一级建立起来。
The role of UNCITRAL instruments in facilitating the use of arbitration was emphasized.强调了贸易法委员会文书对于促进使用仲裁的作用。
306. Aspects of the work of UNCITRAL in the area of mediation and conciliation were also touched upon.306. 讨论中还涉及贸易法委员会在调停和调解领域中的工作的各个方面。
The positive impact of mediation and conciliation on the general culture of dispute resolution in post-conflict societies, resulting in parties shifting from the position of adversaries to one of aiming at the amicable settlement of a dispute, was in particular noted.特别指出了调停和调解办法对于冲突后社会形成争议解决文化氛围的积极作用,使当事人从敌对立场转变为谋求友好解决争议。
For such a positive change to occur, UNCITRAL instruments in that field alone were not considered sufficient.为了使这种积极变化得以实现,光靠贸易法委员会在这一领域中的文书还不够。
The active engagement of UNCITRAL and its partners in raising public awareness of such alternative means of dispute resolution, assisting in creating necessary mediation centres and building necessary skills was considered vital.据认为,贸易法委员会及其合作伙伴积极参与进来,提高公众对此种争议解决替代手段的认识,协助建立必要的调停中心,并发展必要的技能,都是至关重要的。
307. It was felt that, although it was obvious that arbitration and mediation and conciliation as regulated by UNCITRAL instruments were relevant in a commercial relations context, when experience with their use in that context proved to be positive, they also affected the way in which non-commercial disputes were resolved.307. 会上认为,贸易法委员会文书所规范的仲裁以及调停和调解方法对处理商业关系显然是有用的,但如果这方面使用贸易法委员会文书的经验已证明取得了积极成果,这些方法也会影响非商业争议的解决方式。
308. The role of such UNCITRAL resources as the CLOUT system (see paras. 271-274 above) in the context of the training of judges and judicial reforms was emphasized.308. 强调了贸易法委员会的法规判例法系统等资源(见上文第271-274段)在法官培训和司法改革中的作用。
Apart from being considered an important tool for facilitating the uniform interpretation and application of international commercial law standards by judges and arbitrators, the CLOUT system, it was reported, had an impact on the quality of judgements and arbitral awards delivered: where judges and arbitrators were aware that their judgements or awards would be used by CLOUT national correspondents for preparing abstracts for the CLOUT system, the quality of the judgements or awards that they delivered improved considerably.除认为法规判例法系统是促进法官和仲裁员统一解释和适用国际商法标准的一种重要工具之外,据报告法规判例法系统对所下达的判决和仲裁裁决的质量也有影响:当法官和仲裁员意识到他们的判决或裁决将被法规判例法国家通讯员用来编拟法规判例法系统摘要时,他们所下达的判决/裁决的质量就会显著提高。
309. The potential of some UNCITRAL instruments, for example in the area of public procurement, to facilitate the reintegration of some groups affected by conflict (such as aggrieved minorities, internally displaced persons, refugees and former combatants) into normal economic activity was noted.309. 会上指出了贸易法委员会的某些文书,例如在公共采购领域中的文书,具有使某些受冲突影响的群体(例如有怨情的少数人群体、国内流离失所者、难民或前战斗人员)重新融入正常社会活动的潜在作用。
Such reintegration, it was explained, could be possible through margin-of-preference mechanisms and set-aside programmes, which, if applied in a transparent and strictly regulated manner, were allowed under UNCITRAL public procurement instruments.据解释,可以通过优惠幅度机制和优先保留方案使此种重新融入成为可能,这种机制和方案是贸易法委员会的公共采购文书所允许的,但必须以透明和严格管理的方式加以适用。
The different nature of those instruments compared with other international instruments in that area (such as those formulated under the auspices of WTO or the European Union) that aimed primarily at opening local markets to international competition was noted, in particular that such UNCITRAL instruments were to be used as templates for national public procurement laws and thus balanced the goals of promoting international competition with the need to build local capacities and address other socio-economic policies of the State.会上指出,此种文书在性质上与该领域主要着眼于向国际竞争开放国内市场的其他国际文书(如世贸组织或欧洲联盟主持下拟订的文书)有所不同,特别是此种贸易法委员会文书将用作国内公共采购法的范本,从而在促进国际竞争的目标与建立本国能力并考虑本国其他社会经济政策的必要性这两者之间起到了平衡作用。
By regulating both large- and small-scale procurement, such instruments would prove to be useful in post-conflict reconstruction contexts, where both types of procurement were highly relevant.由于冲突后重建工作涉及大规模采购和小规模采购,通过对这两种采购加以规范,这些文书将证明它们可以在冲突后重建中发挥有益作用。
310. The impact of UNCITRAL on bringing informal sectors of the economy into the formal sector was emphasized.310. 强调了贸易法委员会对非正规经济部门转为正规经济部门所起的作用。
It was reported that a typical situation in post-conflict societies characterized by mistrust and dysfunctional legal enforcement mechanisms was for parties to commercial transactions to turn to informal ways of doing business (e.g. oral transactions on the spot between partners that knew each other).据报告,冲突后社会经常面临的情况是,人们相互不信任,执法机制失灵,致使商业交易当事人转而使用非正式的做生意方法(例如,相互了解的合伙人之间进行现场口头交易)。
While that type of transaction could satisfy the daily basic needs of people, it did not create employment and was not conducive to economic progress.此类交易固然可以满足人们的日常基本需要,但并不能创造就业,也无助于经济进步。
UNCITRAL instruments, in particular in the areas of contracts for the sale of goods and commercial dispute settlement, proved to be useful in creating (or recreating) a favourable legal environment for more regulated contract-based commercial relations, including in a cross-border context.贸易法委员会的文书,特别是在货物销售合同以及商事争议解决领域中的文书,已证明可为更加规范的以合同为基础的商业关系建立(或重新建立)有利的法律环境,包括在跨国界情况下。
311. Specific examples of the use of UNCITRAL texts and other forms of UNCITRAL engagement in post-conflict societies were given.311. 关于在冲突后社会中贸易法委员会法规的使用以及贸易法委员会其他形式的参与,会上举出了一些具体例子。
It was noted that the UNCITRAL Model Law on International Commercial Arbitration was the model for the Kosovo Lawon Arbitration adopted in January 2007.会上指出,2007年1月通过的《科索沃仲裁法》就是以《贸易法委员会国际商事仲裁示范法》为范本的。
It was reported that the Kosovo Chamber of Commerce and the American Chamber of Commerce in Kosovo had endorsed the Kosovo Arbitration Rules patterned after the UNCITRAL Arbitration Rules and would soon consider the UNCITRAL Conciliation Rules when drafting their procedural rules for commercial mediation and amendments to the Kosovo Law on Mediation.据报告,科索沃商会以及科索沃美国商会通过了以《贸易法委员会仲裁规则》为模式的《科索沃仲裁规则》,而且在拟订商事调解程序规则以及修正《科索沃调解法》时将考虑《贸易法委员会调解规则》。
It was noted that UNCITRAL had recently provided the United States Agency for International Development/Kosovo Systems for Enforcing Agreements and Decisions programme in Kosovo with materials used in the training of arbitrators in May and June of 2011.据指出,贸易法委员会最近向科索沃的美国国际开发署/科索沃协议和决定执行系统方案提供了2011年5月和6月的仲裁员培训使用的材料。
312. With reference to document A/CN.9/724, which was before the Commission at the current session under agenda item 14 (see para. 253 above), it was noted that some technical assistance and cooperation activities of the UNCITRAL secretariat in recent years had been undertaken in cooperation with regional economic integration organizations that included as members post-conflict countries and had had a direct impact on those countries.312. 关于在本届会议议程项目14之下提交委员会的A/CN.9/724号文件(见上文第253段),会上指出,近年来贸易法委员会秘书处的一些技术援助与合作活动是与成员中包括冲突后国家的各区域经济一体化组织合作开展的,因而对这些国家有直接影响。
For example, activities had been held on a regular basis in States parties to the Dominican Republic-Central America-United States Free Trade Agreement. Those activities were related, inter alia, to the adoption of UNCITRAL texts by the Dominican Republic, El Salvadorand Honduras.举例来说,在《多米尼加共和国—中美洲-美国自由贸易协定》缔约国定期举办活动,这些活动主要与多米尼加共和国、萨尔瓦多和洪都拉斯通过贸易法委员会的法规有关。
Another example given was the UNCITRAL secretariat’s contribution to the work of the East African Community Task Force on Cyberlaws, a joint initiative of the East African Community secretariat and UNCTAD aimed at the adoption of uniform laws on electronic transactions in the member States of the Community, based, inter alia, on relevant UNCITRAL texts.会上举出的另一个例子是贸易法委员会秘书处对东非共同体网络法问题工作队的工作作出的贡献,该工作队是东非共同体秘书处和贸发会议的一项联合举措,目的是,主要依据贸易法委员会的有关法规,在东非共同体成员国通过关于电子交易的统一法律。
It was noted that the UNCITRAL secretariat interacted with the Task Force on a regular basis.据指出,贸易法委员会秘书处定期与该工作队互动。
The legislation of Rwandaon electronic commerce (Law No. 18/2010 of 12 May 2010 relating to electronic messages, electronic signatures and electronic transactions) was prepared within that framework.卢旺达电子商务立法(2010年5月12日关于电子信息、电子签名和电子交易的第18/2010号法律)就是在这一框架内拟订的。
313. It was also reported that the UNCITRAL secretariat participated in the private sector development programme for Iraq, where, under the leadership of the United Nations Industrial Development Organization, support was being provided for the preparation of new Iraqi legislation on, inter alia, public procurement and alternative dispute resolution (arbitration and conciliation).313. 另据报告,贸易法委员会秘书处参与了伊拉克私营部门发展方案,该方案正在联合国工业发展组织领导下协助拟订伊拉克在公共采购和争议替代解决办法(仲裁和调解)等方面的新立法。
That programme was aimed at creating and enabling an effective, coherent and comprehensive framework for private sector development in Iraq.这个方案的目的是为伊拉克私营部门的发展建立一个有效、一致和全面的框架并使之发挥作用。
Its goals included the enhancement of the legal and regulatory framework to foster economic growth.其目标包括加强法律和监管框架以促进经济增长。
In particular, in March and April 2011, technical assistance was provided with regard to the drafting of public procurement legislation.特别是,2011年3月和4月为拟订公共采购立法提供了技术援助。
314. The Commission noted that the UNCITRAL secretariat had also provided comments and assistance to various international institutions that engaged in technical assistance activities in conflict and post-conflict societies.314. 委员会注意到,贸易法委员会秘书处还向陷入冲突社会和冲突后社会技术援助活动各参与国际机构提供了意见和援助。
For example, it had provided comments on laws on mediation to the Deutsche Gesellschaftfür Internationale Zusammenarbeit (GIZ) as part of its efforts to promote alternative dispute settlement in the Balkans, as well as to the International Finance Corporation, which provided technical assistance to numerous States in the field of dispute settlement, on various arbitration and mediation laws.例如,秘书处就调解法问题向德国国际合作协会提供了意见,以此作为其努力推动巴尔干地区争议解决替代办法工作的一部分,还向国际金融公司提供了意见,国际金融公司负责就各种仲裁和调解法在争议解决领域向各国提供技术援助。
The Commission noted with appreciation that the involvement of secretariat members in some of those projects was considered key to their successful conclusion.委员会赞赏地注意到,秘书处成员对其中一些项目的参与被认为是项目圆满结束的关键。
The UNCITRAL secretariat was also providing technical assistance to the World Bank in an effort to promote the adoption in Africaof the New York Convention.贸易法委员会秘书处还在向世界银行提供技术援助,以促进《纽约公约》在非洲的通过。
315. The Commission noted the concern expressed in document A/CN.9/724 that the urgent need to counter global threats had attracted attention on a priority basis and demanded significant resources, to the detriment of other areas of work, including international trade law, whose role as an important development tool was often overlooked.315. 委员会注意到在A/CN.9/724号文件中表达的关切,即应对全球威胁的迫切需要受到了高度重视,需要为此提供大量资源,而这就会影响其他领域的工作,包括国际贸易法,其作为重要发展工具的作用经常被忽视。
International and internal conflicts had weakened the capacity of affected States, including their ability to engage in trade law reform.国际冲突和国内冲突削弱了受影响国家的能力,包括其进行贸易法改革的能力。
That had happened in spite of the fact that trade might provide an important contribution to post-conflict recovery, both by fostering economic development and by building mutual trust.而实际上贸易是有可能对冲突后恢复发挥重要作用的,既有助于经济发展,又能帮助建立互信。
D. ConclusionsD. 结论
316. The Commission identified the relevance of its current work, in particular in the fields of arbitration and conciliation, public procurement and security rights registries, and its possible future work in the area of microfinance to post-conflict reconstruction in general and to some of the specific subjects identified by the Sixth Committee under that sub-topic (see para. 300 above).316. 委员会确认,其目前的工作,特别是在仲裁和调解、公共采购和担保权登记领域的工作,以及今后可能在小额金融领域开展的工作,总体上对冲突后重建具有重要意义,对于第六委员会在这一分主题下确定的某些具体问题(见上文第300段)也具有重要意义。
317. The Commission noted the particular relevance of its instruments and resources for creating an environment conducive to post-conflict reconstruction and preventing societies from sliding back into conflict.317. 委员会注意到委员会的文书和资源对于建立有利于冲突后重建的环境和防止社会重陷冲突的特别意义。
Its instruments, if used for the enactment of commercial laws in post-conflict societies, contributed to regaining the trust of the business community and donors that was lost or negatively affected as a result of the conflict.如果将委员会的文书用于在冲突后社会颁布商业法律,便有助于挽回因冲突而丧失或受到不利影响的商界和捐助方的信任。
Its programmes and resources were also conducive to organizing institutions that supported economic activity, legal education and skills-building, such as chambers of commerce, bar associations and arbitration centres.贸易法委员会的方案和资源还有助于为支助经济活动、法律教育和技能培养建立机构,如商会、律师协会和仲裁中心。
Its instruments and resources also contributed to strengthening the judiciary (e.g. through the CLOUT system, which helped judges to better understand international commercial law standards and apply them in a uniform way). They could also make positive changes to dispute settlement strategies and behaviour in affected societies.委员会的文书和资源还有助于加强司法机构(例如,法规判例法系统可以帮助法官更好地了解国际商法标准并以统一方式适用这些标准),还能使受影响社会的争议解决策略及行为发生积极变化。
318. While acknowledging the need for UNCITRAL and its secretariat to be more actively engaged in post-conflict reconstruction, the Commission was of the view that, since it faced a lack of sufficient resources, its contribution in that context would remain modest or might even diminish unless innovative ways were found for the early engagement of UNCITRAL instruments and resources in post-conflict recovery operations by the United Nations and other donors (such as through the Department of Peacekeeping Operations, the Peacebuilding Commission, the United Nations Development Programme, the World Bank, the European Union and OSCE).318. 委员会虽然承认贸易法委员会及其秘书处需要更积极地参与冲突后重建工作,但认为因没有充足的资源,委员会在这方面的作用仍然很有限,甚至有可能减少,除非能够找到新颖办法,在联合国和其他捐助方(如维持和平行动部、和平缔造委员会、联合国开发计划署、世界银行、欧洲联盟和欧安组织)实施的冲突后恢复行动中尽早地将贸易法委员会的文书和资源派上用场。
The secretariat was encouraged to seek and develop partnerships to that end.委员会鼓励秘书处为此目的而寻求并发展伙伴关系。
It was noted that the establishment of UNCITRAL regional centres, discussed earlier at the current session (see paras. 262-270 above), should also facilitate achieving that goal.据指出,本届会议早些时候论及的建立贸易法委员会区域中心(见上文第262-270段)也应有助于实现这一目标。
319. It was considered necessary to achieve increased awareness about the work of UNCITRAL, in particular recognition that UNCITRAL dealt not only with complex sophisticated trade practices (such as the assignment of receivables) but also with the basic building blocks of any commercial activity (such as the sale of goods) and thus could make a real and immediate contribution in societies emerging from conflict.319. 认为有必要增进人们对贸易法委员会工作的认识,特别是认识到贸易法委员会所处理的不仅仅是复杂难懂的贸易做法(如应收款转让),而且还涉及任何商业活动的基本构件(如货物销售),因此,贸易法委员会可以对从冲突中走出的社会作出切实而直接的贡献。
Such awareness should be achieved not only in the United Nations system but also among bilateral and multilateral donors, as well as in recipient countries and affected societies.不但要在联合国系统内取得这样的认识,而且还要在双边和多边捐助方以及受援国和受影响社会中取得这样的认识。
The role of non-governmental organizations and academia in publicizing the relevance of the work of UNCITRAL in that context was noted.指出了非政府组织和学术界对宣传贸易法委员会工作在这方面的意义的作用。
It was also suggested that means should be explored for more broadly disseminating UNCITRAL instruments, including by translating them into local languages in post-conflict societies.还提议,应当探索更广泛传播贸易法委员会文书的方式,包括将其译成冲突后社会所使用的语文。
320. The Commission reiterated its conviction that promotion of the rule of law in commercial relations should be an integral part of the broader agenda of the United Nations to promote the rule of law at the national and international level, 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.320. 委员会重申其相信在商业关系中促进法治应当是促进国内和国际各级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 was looking forward to being part of strengthened and coordinated rule-of-law activities of the Organization.委员会期待着在本组织得到加强和协调的法治活动中占有一席之地。
E. High-level meeting of the General Assembly on the rule of law at the national and international levels in 2012E. 2012年大会关于国内和国际各级法治的高级别会议
321. The attention of the Commission was drawn to paragraph 13 of General Assembly resolution 65/32.321. 提请委员会注意大会第65/32号决议第13段。
The Commission noted that it would be informed by the Secretariat in due course of the agreed modalities of the high-level segment of the Assembly’s sixty-seventh session on the rule of law at the national and international levels so that the Commission could explore at its next session, in 2012, ways and means of ensuring that aspects of the work of UNCITRAL were duly reflected in that meeting.委员会注意到,秘书处将在适当时候向其通报商定以何种方式举办大会第六十七届会议关于国内和国际各级法治的高级别部分会议,以使委员会能够在2012年的下届会议上探讨以何种方式和方法确保贸易法委员会工作的各个方面在这次高级别会议上得到适当反映。
The importance of not overlooking such aspects in discussions during that high-level meeting was noted.指出了一定不能在这次高级别会议期间的讨论中忽略这些方面。
XVIII. International commercial arbitration moot competitions十八. 国际商事模拟仲裁辩论赛
A. General remarksA. 一般意见
322. The Commission noted with satisfaction that the Willem C. Vis International Commercial Arbitration Moot competition, which involved participants from all over the world, was a very successful educational initiative, having contributed both to the dissemination of information about UNCITRAL instruments and to the development of university courses dedicated to international commercial arbitration.322. 委员会满意地注意到,维斯国际商事模拟仲裁辩论赛汇聚了来自世界各地的参赛者,是一项十分成功的教育举措,不仅有助于传播贸易法委员会各项文书的有关信息,还有助于设立大学国际商事仲裁课程。
Special appreciation was expressed to Eric Bergsten, former secretary of the Commission, for developing the moot competition and giving it direction since its inception during the 1993/94 academic year.会上特别感谢委员会前任秘书Eric Bergsten自1993/94学年辩论赛发起以来对辩论赛的发展给予的指导。
Appreciation was also expressed to all institutions and persons involved in the preparation and conduct of the moot competitions.还向参与筹备和举办辩论赛的所有机构和个人表示了感谢。
323. The Commission took note with appreciation and expressed support for the continuation of preliminary consultations between the Secretariat, universities and other institutions in various parts of the world regarding the possibility of developing a moot court specifically designed to promote UNCITRAL insolvency standards.323. 委员会赞赏地注意到秘书处、各大学和世界各地其他机构之间就是否有可能特别为推广贸易法委员会破产标准而设立模拟法庭所进行的初步磋商,并支持继续进行磋商。
In that connection, it was suggested that future inspiration for moot courts could also be derived from UNCITRAL standards on security interests.在这方面,有与会者建议,今后还可围绕贸易法委员会担保权益标准设立模拟法庭。
B. Willem C. Vis International Commercial Arbitration Moot 2011B. 2011年维斯国际商事模拟仲裁辩论赛
324. It was noted that the Association for the Organization and Promotion of the Willem C. Vis International Commercial Arbitration Moot had organized the Eighteenth Moot.324. 会上注意到,组织和促进维斯国际商事模拟仲裁辩论赛协会组办了第十八届模拟辩论赛。
The oral arguments phase had taken place in Viennafrom 15 to 21 April 2011.口头辩论阶段于2011年4月15日至21日在维也纳举行。
As in previous years, the Moot had been co-sponsored by the Commission.与往年一样,此次辩论赛由委员会协办。
It was noted that the legal issues dealt with by the teams of students participating in the Eighteenth Moot had been based on the United Nations Sales Convention and the Arbitration Rules of the Chamber of Arbitration of Milan.会上还注意到,参加第十八届辩论赛的各学生队所辩论的法律问题是以《联合国销售公约》和《米兰仲裁院仲裁规则》为基础的。
A total of 254 teams from law schools in 63 countries had participated in the Eighteenth Moot.共有来自63个国家的254支队伍参加了第十八届模拟辩论赛。
The best team in oral arguments was that of the Universityof Ottawa(Canada).口头辩论优胜队是渥太华大学(加拿大)。
The oral arguments of the Nineteenth Willem C. Vis International Commercial Arbitration Moot would be held in Viennafrom 30 March to 5 April 2012.第十九届维斯国际商事模拟仲裁辩论赛口头辩论赛将于2012年3月30日至4月5日在维也纳举行。
325. It was also noted that the Eighth Willem C. Vis (East) International Commercial Arbitration Moot had been organized by the Vis East Moot Foundation with the Chartered Institute of Arbitrators, East Asia Branch, and also co-sponsored by the Commission.325. 会上还注意到,维斯东方模拟辩论赛基金会与仲裁员特许学会东亚处组办了第八届维斯(东方)国际商事模拟仲裁辩论赛,此次辩论赛也是由委员会协办。
The final phase had been organized in Hong Kong, China, from 4 to 10 April 2011.决赛阶段于2011年4月4日至10日在中国香港举行。
A total of 85 teams from 19 countries had taken part in the Eighth (East) Moot.共有19个国家的85支队伍参加了第八届(东方)模拟辩论赛。
The winning team in the oral arguments was from BondUniversity (Australia).口头辩论赛优胜队是邦德大学(澳大利亚)。
The Ninth (East) Moot would be held in Hong Kong, China, from 19 to 25 March 2012.第九届(东方)模拟辩论赛将于2012年3月19日至25日在中国香港举行。
C. Madrid Commercial Arbitration Moot 2011C. 2011年马德里商事模拟仲裁辩论赛
326. It was noted that Carlos III University of Madrid had organized the Third International Commercial Arbitration Competition in Madridfrom 20 to 25 June 2011.326. 会上注意到,马德里卡洛斯三世大学于2011年6月20日至25日在马德里举办了第三届国际商事仲裁赛。
The Madrid Moot had also been co-sponsored by the Commission.马德里模拟辩论赛也由委员会协办。
The legal issues involved in the competition were the international sale of goods (the United Nations Sales Convention), international transport (the Rotterdam Rules) and international commercial arbitration under the Model Law on Arbitration and the New York Convention.此次辩论赛所涉及的法律问题有:国际货物销售(《联合国销售公约》)、国际运输(《鹿特丹规则》)以及《仲裁示范法》和《纽约公约》下的国际商事仲裁。
A total of nine teams from law schools or masters programmes in five countries had participated in the Madrid Moot in Spanish.共有五个国家法学院或硕士班的九支队伍参加了西班牙语马德里辩论赛。
The best team in oral arguments was from the Universityof Versailles(France).口头辩论优胜队是凡尔赛大学(法国)。
The Fourth Madrid Moot would be held in 2012 on dates yet to be confirmed.第四届马德里模拟辩论赛将于2012年举办,具体日期尚待确认。
XIX. Relevant General Assembly resolutions十九. 大会有关决议
327.
The Commission took note with appreciation of the following four General Assembly resolutions adopted on 6 December 2010: resolution 65/21 on the report of the United Nations Commission on International Trade Law on the work of its forty-third session; resolution 65/22 on the UNCITRAL Arbitration Rules as revised in 2010; resolution 65/23 on the UNCITRAL Legislative Guide on Secured Transactions: Supplement on Security Rights in Intellectual Property; and resolution 65/24 on part three of the UNCITRAL Legislative Guide on Insolvency Law.327. 委员会赞赏地注意到2010年12月6日通过的下列四项大会决议:关于联合国国际贸易法委员会第四十三届会议工作报告的第65/21号决议、关于2010年修订的《联合国国际贸易法委员会仲裁规则》的第65/22号决议、关于《贸易法委员会担保交易立法指南:知识产权担保权补编》的第65/23号决议、关于《贸易法委员会破产法立法指南》第三部分的第65/24号决议。
二十. 其他事项
XX.A. 实习方案
Other business A. Internship programme 328. An oral report was presented on the internship programme at the UNCITRAL secretariat.328. 会议听取了关于贸易法委员会秘书处实习方案的口头报告。
It was in particular noted that, since the secretariat’s oral report to the Commission at its forty-third session, in July 2010, 17 new interns had undertaken an internship with the UNCITRAL secretariat.委员会特别注意到,自2010年7月秘书处向委员会第四十三届会议作口头报告以来,已有17名新实习生在贸易法委员会秘书处进行了实习。
329. The Commission noted that the secretariat, in selecting interns from the roster of interns maintained and administered by the United Nations Office at Vienna, kept in mind the needs of UNCITRAL and its secretariat at any given period, in particular the need to maintain the UNCITRAL website in the six official languages of the United Nations.329. 委员会注意到,秘书处在从联合国维也纳办事处保管的实习生名册中甄选实习生时,始终铭记贸易法委员会及其秘书处在任何特定时期的需要,特别是需要以联合国六种正式语文维护贸易法委员会网站。
The Commission further noted that, when a sufficient pool of qualified candidates was available, the secretariat tried to ensure a balanced gender representation and representation from various geographical regions, paying particular attention to the needs of developing countries and countries with economies in transition.委员会还注意到,当有足够多的合格候选人时,秘书处努力确保在性别和不同地理区域的代表性方面均保持均衡,尤其注意发展中国家和经济转型期国家的需要。
330. During the period under review, the secretariat received, out of a total of 17 interns, 11 female interns and 12 interns from developing countries and countries with economies in transition.330. 本审查期内,秘书处共接收了17名实习生,其中有11名女性,有12名来自发展中国家和经济转型期国家。
The Commission noted that during the period under review the secretariat faced difficulties in finding on the roster of interns eligible and qualified candidates from African and Latin American and Caribbean States, as well as candidates with Arabic language skills.委员会注意到,本审查期内,秘书处面临的困难是,难以从实习生名册中找到来自非洲国家以及拉丁美洲和加勒比国家既符合条件又能胜任的候选人和具有阿拉伯语技能的候选人。
B. Evaluation of the role of the Secretariat in facilitating the work of the CommissionB. 对秘书处在促进委员会工作方面所起作用的评价
331. It was recalled that, as indicated to the Commission at its fortieth session, in 2007, the programme budget for the biennium 2008-2009 listed among the “expected accomplishments of the Secretariat” its contribution to facilitating the work of UNCITRAL.331. 委员会回顾,正如向2007年委员会第四十届会议所表明的,2008-2009两年期方案预算在“秘书处预期成绩”下列入了其对促进贸易法委员会工作所作的贡献。
The performance measure of that expected accomplishment was the level of satisfaction of UNCITRAL with the services provided, as evidenced by a rating on a scale ranging from 1 to 5 (5 being the highest rating).衡量预期成绩的业绩标准是贸易法委员会对所提供服务的满意度,以1至5的评定等级表中的评分(5分为最高评分)为据。
The Commission agreed to provide feedback to the Secretariat.委员会同意向秘书处提供反馈意见。
It was recalled that a similar question regarding the level of satisfaction of UNCITRAL with the services provided by the Secretariat had been asked at the close of the forty-third session of the Commission.委员会回顾,在委员会第四十三届会议结束时曾有过关于贸易法委员会对秘书处所提供服务的满意度的类似问题。
It was further recalled that, at that session, the question had elicited replies from six delegations, with an average rating of 4.66.委员会还回顾,该届会议上有六个代表团对该问题作了答复,得出的平均评分为4.66分。
C. Entitlement to summary recordsC. 获得简要记录的权利
332. At the request of the Conference Management Service at the United Nations Office at Vienna, the Commission was informed by the Chief of the Conference Management Service of proposals to substitute the production of summary records of UNCITRAL meetings with either: (a) unedited transcripts of proceedings, in all six official languages of the United Nations; or (b) digital recordings of proceedings, which would be searchable to some degree and could be made available on the UNCITRAL website.332. 根据联合国维也纳办事处会议管理处的请求,会议管理处处长向委员会通报了关于改用以下任一种方式制作贸易法委员会会议简要记录的建议:(a)以联合国所有六种正式语文提供未经编辑的会议纪要誊本;或(b)会议纪要的数码录音,这种录音将在一定程度上可供搜索并可在贸易法委员会网站上提供。
The objective of those changes would be to respond to calls for the reduction of expenditure on documentation throughout the United Nations.这些变化的目标将是响应关于减少整个联合国文件支出的呼吁。
The Chief of the Conference Management Service indicated a possible range of savings that could be achieved as a result of the measures suggested.会议管理处处长表示,所建议的措施可能会实现一定范围内的节支。
It was understood that none of the proposed changes would affect the record of proceedings of the current Commission session.据了解,所建议的任何变化都不会影响委员会本届会议纪要的记录。
333. While acknowledging the need to address the issue of reducing costs throughout the United Nations Secretariat, the Commission emphasized the importance of records of its meetings being as comprehensive as possible to facilitate subsequent research of the legislative history of the legal standards prepared by UNCITRAL.333. 委员会认识到需要处理整个联合国秘书处减少费用问题,但强调了其会议记录尽可能全面的重要性,这有助于便利以后研究贸易法委员会所拟订的法律标准的立法过程。
The Commission noted that, under General Assembly resolution 49/221, it was entitled to summary records.委员会指出,根据大会第49/221号决议,委员会有权获得简要记录。
Furthermore, the Commission noted that it had previously addressed the issue of the necessity of those summary records at its thirty-seventh session, in 2004.此外,委员会还指出,之前委员会已于2004年第三十七届会议讨论了简要记录的必要性问题。
On that occasion, the Commission had been presented with the options of unedited verbatim transcripts or digital sound recordings and had determined that summary records were essential for its work.当时向委员会提出了其他选择办法,即未经编辑的原文录音打字本和数码录音,委员会确定简要记录对其工作是必不可少的。
From that perspective, the Commission’s entitlement to summary records should not be parted with lightly.从这个角度讲,不应随便要求委员会放弃获得简要记录的权利。
After discussion, the Commission expressed its willingness to discuss the matter again and agreed to revisit the matter at its next session, on the basis of a report to be prepared by the Secretariat setting out the issues and options involved.经过讨论,委员会表示愿意再次讨论该事项,并商定将基于秘书处编制的一份阐述相关问题和选择办法的报告,在其下届会议上重新审议该事项。
XXI. Date and place of future meetings二十一. 今后会议的日期和地点
A. Consideration of a budget proposal made by the Secretary-General affecting the alternating pattern of UNCITRAL meetings in New Yorkand ViennaA. 审议秘书长提出的影响贸易法委员会在纽约和维也纳交替举行会议的 一项预算建议
334. The Commission was informed of a proposal made by the Secretary-General with the aim of reducing administrative costs involved in servicing UNCITRAL sessions by cutting the travel budget of Secretariat staff to service UNCITRAL meetings in New York.334. 委员会获悉秘书长提出的一项建议,其目的是通过削减为贸易法委员会在纽约举行会议提供会务的秘书处工作人员的差旅预算,降低贸易法委员会届会会务的行政费用。
It was noted that the effect of the Secretary-General’s proposal would be that the long-established practice of holding sessions of the Commission and its working groups alternately in New York and Vienna would be discontinued and thus, as from 2012, all sessions of the Commission and its Working Groups would be held in Vienna.注意到如果落实秘书长的建议,委员会及其各工作组长期以来在纽约和维也纳交替举行届会的做法将被中断,这样一来,自2012年起,委员会及其各工作组的所有届会将在维也纳举行。
It was also noted that, for that proposal to come into effect, decisions must be made by the Commission and the General Assembly.还注意到,必须在委员会和大会做出决定之后,这项建议才能生效。
The Commission was also informed that the Secretary-General’s budget proposal for 2012-2013 involved cutting not only travel funds required for the servicing of meetings in New York (a proposed reduction of $274,200 for the biennium 2012-2013, or 94.3 per cent of the 2010-2011 appropriation) but also resources budgeted for the following: hiring of consultants (a reduction of $20,000, or 23.6 per cent); travel of experts (a reduction of $39,100, or 17.8 per cent); other travel of Secretariat staff (a reduction of $22,800, or 20 per cent); and furniture and equipment (a reduction of $17,200, or 44.9 per cent), among other things.委员会还获悉,秘书长2012-2013年预算建议不仅削减了在纽约举行会议会务所需的差旅费(提议2012-2013两年期削减274,200美元,占2010-2011年拨款的94.3%),而且还削减了下列活动的预算资源:聘请顾问(削减20,000美元,占23.6%);专家差旅费(削减39,100美元,占17.8%);秘书处工作人员其他差旅费(削减22,800美元,占20%)以及家具和设备(削减17,200美元,占44.9%),等等。
Altogether, the budget reduction proposed for UNCITRAL and its secretariat would amount to $364,700 for the biennium 2012-2013, or 5.2 per cent of the 2010-2011 appropriation.2012-2013两年期,提议的贸易法委员会及其秘书处预算共削减364,700美元,占2010-2011年拨款的5.2%。
Bearing in mind that 84.2 per cent of the aggregate budget of the UNCITRAL secretariat was spent on staff posts, the proposed reduction would amount to 33 per cent of the non-post appropriation for 2010-2011.考虑到贸易法委员会秘书处预算总额中有84.2%用于工作人员员额,提议的削减相当于2010-2011年非员额拨款的33%。
335. The Commission took note of the proposal.335. 委员会注意到该建议。
Unanimous support was expressed for efforts to achieve savings across the United Nations.委员会一致支持整个联合国为实现节约所做的努力。
336. The Commission recalled that the alternating pattern of meetings between New Yorkand a European city (Geneva from 1969 to 1977 and Vienna since 1978) had been a feature of UNCITRAL throughout its existence.336. 委员会回顾,在纽约和一个欧洲城市(1969至1977年在日内瓦,1978年以来在维也纳)交替举行会议的做法是贸易法委员会成立以来一直具有的一个特点。
Among the reasons for such a changing venue that were put forward by States when the Commission was established and when its secretariat was transferred from New York to Vienna were the following: the proportionate distribution of travel costs among delegations; the influence and presence of UNCITRAL globally; and the needs of developing countries, many of which did not have representation in Vienna.委员会成立之时及其秘书处从纽约迁至维也纳之时,各国提出的如此更换会址的理由包括:各代表团均衡分担差旅费;贸易法委员会在全球的影响和存在;以及发展中国家的需要,因为其中许多国家未在维也纳派驻代表。
The Commission confirmed that those reasons remained as valid today as ever.委员会确认这些理由在目前一如既往,仍然有效。
It was recalled that, throughout the history of UNCITRAL, proposals had been made for holding some meetings of the Commission and its working groups in other regions of the world, so as to increase the visibility of UNCITRAL in those regions and worldwide.回顾说,纵观贸易法委员会的历史,曾有建议要求在世界其他区域举行贸易法委员会及其工作组的一些会议,以增强贸易法委员会在这些区域和全世界的知名度。
From that perspective, the current alternating pattern was already the result of a compromise that should not be unravelled.从这个角度来看,目前的交替做法已经是折中的结果,不应当再行取消。
The Commission also recalled its decisions as regards ways and means of achieving better integration of UNCITRAL resources into other United Nations activities, such as joint rule-of-law programmes, development programmes and post-conflict reconstruction (see paras. 318-320 above).委员会还回顾其关于将贸易法委员会的资源与联合国其他活动更好地整合在一起的各项决定,如共同法治方案、发展方案和冲突后重建(见上文第318-320段)。
Implementing those decisions would require closer cooperation and coordination between the UNCITRAL secretariat and the relevant parts of the United Nations system located in New York.落实这些决定需要贸易法委员会秘书处与设在纽约的联合国系统其他部分更加密切地合作与协调。
337. Member States attending the current session unanimously felt that abolishing the alternating pattern of meetings would entail detrimental consequences to the ability of UNCITRAL to continue its work on the harmonization and unification of the law of international trade.337. 出席本届会议的会员国一致认为,取消易地交替举行会议的做法将给贸易法委员会继续开展工作以协调和统一国际贸易法委员会法的能力带来有害的后果。
That work, it was said, presupposed the fullest possible participation of States in sessions of the Commission and its working groups so that UNCITRAL standards achieved universal acceptability.据指出,该工作以委员会及其各工作组的届会得到尽可能广泛参加为前提,目的是贸易法委员会的标准实现普遍接受性。
It was emphasized that the special interests of developing countries should be taken into account to ensure their continued or increased representation in the work of UNCITRAL.强调应当考虑到发展中国家的特殊利益,以确保维持或增强这些国家在贸易法委员会工作中的代表性。
In terms of perception, it was also important that the uniform instruments of UNCITRAL should be seen to be the result of worldwide consensus based on proper representation.还必须认识到,贸易法委员会的各项统一文书应当视为在适当代表性的基础上全世界协商一致达成的结果。
Concern was expressed that the proposed change would contradict General Assembly resolution 2205 (XXI) on the establishment of UNCITRAL, as well as Assembly resolutions 2609 (XXIV) and 31/140, all of which dealt with the pattern of UNCITRAL conferences.有与会者表示担心,拟议的变动将违反大会关于设立贸易法委员会的第2205(XXI)号决议,以及大会第2609(XXIV)号决议和第31/140号决议,所有这些决议都述及贸易法委员会会议的模式。
In view of the above, the Commission expressed its unanimous support for the continuation of the current alternating pattern of meetings held by UNCITRAL.鉴于上述情况,委员会对保持贸易法委员会目前易地交替举行会议的做法一致表示支持。
338. Bearing in mind the current financial crisis, the Commission generally agreed that, while the proposed abolition of the alternating pattern of meetings should be avoided, every effort should be made to identify alternatives that would achieve an equal amount of savings.338. 考虑到目前的金融危机,委员会普遍同意,虽然应避免按提议取消易地交替举行会议的做法,但也应当尽一切努力找到实现同样数额节约的替代办法。
In response to a question, the Commission was informed that, according to a recent estimate, the costs of servicing a one-week meeting within the entitlement to conference services support for regular calendar meetings of UNCITRAL or its working groups amounted to $132,654, regardless of whether the meeting was held in New York or Vienna.委员会从对一个问题的答复中获悉,根据最近的估计,在贸易法委员会或其工作组例行会议有权得到的会务支助费范围内,一周会议的会务费为132,654美元,不论会议在纽约还是在维也纳举行。
That amount was approximately the same as the annual cost ($137,100) of Secretariat staff travelling to New Yorkto service sessions of UNCITRAL and its working groups.该数额与每年前往纽约为贸易法委员会及其工作组会议提供会务的秘书处工作人员的费用(137,100美元)大致相等。
The Commission was generally of the view that reducing its entitlement to conference services support by one week per year, while disruptive to its work programme, would constitute an acceptable alternative to abolishing its alternating pattern of meetings.委员会普遍认为,每年将其有权得到会务支助的会议减少一周,虽然影响其工作安排,却是取消易地交替举行会议做法可以接受的替代办法。
In that context, the Commission noted that its current entitlement to conference services support amounted to 12 weeks per year for working group sessions and 3 weeks per year for the Commission session — a total of 15 weeks of conference services support per year.在这方面,委员会注意到,目前其有权得到会务支助的会议相当于每年12周用于工作组届会,每年3周用于委员会届会——每年会务支助总共15周。
The possible savings would result in a reduction of that entitlement from 15 to 14 weeks of meetings per year.这种可能采取的节约方法将把该项权利从每年15周会议减至14周。
339. The Commission understood that abolishing the alternating pattern of meetings, as opposed to eliminating one week of conference services support, although substantially equivalent for the overall budget of the United Nations, would not be equally reflected in the budget of the Office of Legal Affairs and, in particular, of the UNCITRAL secretariat.339. 委员会认识到,取消易地举行会议的做法与会务支助减少一周相比,虽然于联合国总体预算而言大体相当,但两者并非同样在法律事务厅尤其是贸易法委员会秘书处的预算中得到反映。
It was explained that savings achieved by eliminating one week of conference services support would appear under the budget of the Department for General Assembly and Conference Management, while savings achieved by eliminating the alternating pattern of meetings of UNCITRAL would appear under the budget of the Office of Legal Affairs.据解释,减少一周会务支助实现的节约将体现在大会和会议管理部的预算中,而取消贸易法委员会易地举行会议的做法所实现的节约则体现在法律事务厅的预算中。
Concern was expressed as to whether the link between the proposed alternative savings in the Department for General Assembly and Conference Management budget and the operation of UNCITRAL would be sufficiently visible to the Fifth Committee of the General Assembly to be credited to the Office of Legal Affairs.有代表团担心,大会第五委员会是否能够充分认识到大会和会议管理部预算的拟议节支替代办法与贸易法委员会运作这两者之间的联系,从而将这项节约归于法律事务厅名下。
A number of delegations expressed their confidence that compensation between two lines of the regular budget should be acceptable provided that sufficient explanations were given.一些代表团表示相信,如果作出充分解释,两个经常预算项目之间的相互补偿应当是可以接受的。
340. The Commission decided to propose the alternative to the General Assembly.340. 委员会决定向大会建议该替代办法。
It appealed to members of delegations represented at the forty-fourth session of the Commission to coordinate closely with representatives of their delegations in the Fifth and Sixth Committees when the proposal and reasons therefor were considered in those bodies.委员会呼吁在第五委员会和第六委员会审议本建议及其理由时,请出席委员会第四十四届会议的各代表团成员与其在第五和第六委员会的代表团代表密切协调。
The understanding was that the final decision of the Commission on the date and place of sessions of UNCITRAL and its working groups in 2012 (see paras. 345, 349 and 350 below) would be deferred until the decision of the Assembly on the Secretary-General’s proposal and the alternative proposal of the Commission was taken, which was expected to be in December 2011.会上的理解是,委员会关于贸易法委员会及其各工作组2012年届会日期和地点的最后决定(见下文第345、349和350段)将推迟到大会就秘书长的建议和委员会的替代建议作出决定之时,该决定预期将在2011年12月作出。
341. The Commission exchanged ideas as to possible additional ways of achieving savings on the budget of its secretariat.341. 委员会就可能采取的节约秘书处预算的其他方式交换了意见。
One delegation suggested reducing the number of personnel travelling to New Yorkto service sessions.一个代表团建议减少赴纽约会务人员的数目。
Other delegations were of the view that micromanagement should be avoided and flexibility should be preserved in that regard since some projects might require the involvement of more staff than others.其他代表团认为,在这方面应当避免微观管理,留有灵活性,因为一些项目可能比其他项目需要更多工作人员参与。
Holding back-to-back sessions with mostly the same personnel servicing two or more sessions was also suggested.还建议连续举行届会,由大致相同的工作人员为两个或更多届会提供会务。
While there was general agreement that this might constitute a desirable goal, practical difficulties were highlighted, in particular since the dates were not always available for holding back-to-back sessions and the lack of expertise of the Secretariat staff in the topics considered in different working groups might detrimentally affect substantive secretariat services provided during sessions.普遍同意这是一项可取的目标,但是强调了实际困难,特别是因为并非总能排出可连续举行届会的日期,且秘书处工作人员缺乏不同工作组所审议专题的专门知识可能对会议期间提供的实质性秘书处服务有不利影响。
As to the possibility of cutting posts in the UNCITRAL secretariat, the view was strongly held by a number of delegations that this should not be considered an acceptable way forward.至于裁减贸易法委员会秘书处员额的可能性,一些代表团强烈认为不应将此视为可以接受的努力方向。
342. The Commission was invited to reconsider the frequency with which working groups met and the desirability of undertaking new projects.342. 请委员会重新考虑各工作组开会的频度和开展新项目的可取性。
The view was shared that servicing six working groups stretched the resources of the UNCITRAL secretariat to the maximum and increased the risk that the quality of services would be negatively affected.共同认为为六个工作组提供会务已经使贸易法委员会秘书处资源的使用达到最大限度,并增加了服务质量受到负面影响的危险。
Holding one session of a working group per year instead of the traditional two sessions (as was decided at the current session as regards Working Group I (see para. 184 above)) and temporarily suspending the activities of one working group were considered as options.认为工作组每年举行一届会议而不是传统的两届会议(本届会议就第一工作组所做的决定即是如此(见上文见第184段))并暂停一个工作组的活动也是一个选择办法。
For example, it was suggested that the Commission might decide at its next session to suspend the work of Working Group VI once that working group completed work on its current project.例如,建议一旦第六工作组完成当前项目的工作,委员会下届会议似宜决定暂停该工作组的工作。
Nevertheless, concerns about long suspensions of working group activities were expressed, since the prolonged inactivity might create doubt about the ability of UNCITRAL to maintain its level of expertise in a particular field.但有与会者对长期暂停工作组的活动表示关切,因为长期不活动可能使人们对贸易法委员会在特定领域保持专门知识水平的能力产生疑问。
Electronic commerce and transport law were cited as examples.会上以电子商务和运输法为例作了说明。
343. Some delegations expressed the view that, in the light of the shortage of resources and the budgetary cuts faced by the UNCITRAL secretariat, the time was ripe for the Commission to engage in strategic planning by holding a comprehensive review of its current and future work programmes and more efficient ways to implement them.343. 有些代表团认为,由于贸易法委员会秘书处资金不足,预算削减,委员会现在已经到了做出战略规划的时候了,为此应全面审查当前和未来工作方案以及各种更高效的方案执行办法。
Prioritizing work on the various topics, clearly defining a time frame for a working group to complete its work and rationalizing the Commission’s work, in particular the volume and contents of documentation, were considered to be among the issues worth considering in that context.这方面应加以考虑的问题包括,分清各项专题工作的轻重缓急,清晰界定工作组完成工作的时间框架,把委员会的工作尤其是文件量和文件内容合理化。
More extensive resort to informal consultations for resolving controversial issues and to drafting groups for finalizing text, as had successfully been done during the current session in respect of the Model Law on Public Procurement, was suggested as a pattern to be considered to expedite decision-taking at plenary meetings of the Commission.有与会者建议,为加快委员会全体会议的决策工作,应予考虑的一种方式是,如同本届会议期间在《公共采购示范法》修订本方面的成功做法,应当更多利用非正式协商来解决有争议的问题并更多利用起草小组来确定最终文本。
Nevertheless, a note of caution was struck and it was generally agreed that any proposed changes should not negatively affect the flexibility of the methods by which the Commission had successfully operated and proved its effectiveness and efficiency.然而,有与会者告诫应当谨慎行事,会上普遍认为,任何拟议变动都不应对委员会行之有效的方法的灵活性及其公认的效力和效率产生不利影响。
After discussion, the Commission requested the Secretariat to prepare for the next session of the Commission a note on strategic planning, with possible options and an assessment of their financial implications.委员会经讨论后请秘书处为委员会下届会议编拟一份战略规划说明,其中列出各种可能的选择办法以及对这些选择办法涉及的财务问题所作的评估。
344. A number of delegations expressed concern over the fact that the full range of financial information, including existing documents containing budget proposals that might have a decisive impact on the work of the Commission and require policy decisions on its part, was not made available to the Commission as a matter of course.344. 有些代表团表示关切的是,向委员会提供所有各种财务信息,包括所载概算对委员会工作可能产生决定性影响并需要委员会作出政策性决定的现行文件,实际上还没有做到常态化。
B. Forty-fifth session of the CommissionB. 委员会第四十五届会议
345. The Commission approved the holding of its forty-fifth session in New Yorkfrom 18 June to 6 July 2012 (or in Viennafrom 9 to 27 July 2012).345. 委员会核准2012年6月18日至7月6日在纽约(或2012年7月9日至27日在维也纳)举行其第四十五届会议。
The Secretariat was requested to consider shortening the duration of the session by one week if the expected workload of the session would justify doing so.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。
C. Sessions of working groupsC. 各工作组的届会
346. At its thirty-sixth session, in 2003, the Commission had agreed that: (a) working groups should normally meet for a one-week session twice a year; (b) extra time, if required, could be allocated from the unused entitlement of another working group provided that such arrangement would not result in an 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, that 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.346. 委员会2003年第三十六届会议曾商定如下:(a)正常情况下各工作组应当每年举行两次会期一周的会议;(b)如果需要额外时间,可以从其他工作组未使用的会议服务时间权限中分配,条件是这种安排不能造成目前分配给委员会所有六个工作组届会的总共12周会议服务时间的增加;(c)如果工作组对额外时间的请求导致12周分配时间的增加,则应由委员会审查这种请求,工作组应就为何需要改变会议时间分配方式给出适当理由。
347. At the current session, in view of the extraordinary constraints placed on the Commission and its secretariat to reduce regular budget expenditures during the 2012-2013 biennium, the Commission agreed that its entitlement to 12 weeks of conference services per year for sessions of six working groups, together with its entitlement to three weeks of conference services per year for its own session, should be reduced so as not to exceed a total of 14 weeks of conference services instead of the habitual 15-week total entitlement per year.347. 本届会议上,鉴于为减少2012-2013两年期经常预算开支而对委员会及其秘书处作出了不同寻常的限制,委员会商定,六个工作组届会每年总共12周的会议服务时间以及委员会届会每年3周的会议服务时间都应缩减,会议服务总共不得超过14周,而不是惯常的15周。
The Commission emphasized that its agreement to such a reduction in its use of conference services was conditional on the continued availability of a venue to hold sessions in New York, with full servicing by the Commission’s secretariat as per established practice (see paras. 338-340 above).委员会强调,其同意减少会议服务的先决条件是,能够继续将纽约作为举行届会的一个会议地点,并依照惯例由委员会秘书处提供全面服务(见上文第338-340段)。
348. The Secretariat was requested to consider cancelling working group sessions if the expected availability of resources or the workload of the session would justify doing so.348. 会议请秘书处考虑根据预期资源可获量或届会工作量在有必要时考虑取消工作组的届会。
1. Sessions of working groups before the forty-fifth session of the Commission1. 在委员会第四十五届会议之前各工作组的届会
349. The Commission approved the following schedule of meetings for its working groups:349. 委员会核准了各工作组的下列会议时间安排:
(a) Working Group I (Procurement) would hold its twenty-first session in New Yorkfrom 16 to 20 April 2012 (or in Viennafrom 27 February to 2 March 2012);(a) 第一工作组(采购)将于2012年4月16日至20日在纽约(或2012年2月27日至3月2日在维也纳)举行第二十一届会议;
(b) Working Group II (Arbitration and Conciliation) would hold its fifty-fifth session in Vienna from 3 to 7 October 2011 and its fifty-sixth session in New York from 6 to 10 February 2012 (or in Vienna from 30 January to 3 February 2012);(b) 第二工作组(仲裁和调解)将于2011年10月3日至7日在维也纳举行第五十五届会议,于2012年2月6日至10日在纽约(或2012年1月30日至2月3日在维也纳)举行第五十六届会议;
(c) Working Group III (Online Dispute Resolution) would hold its twenty-fourth session in Vienna from 14 to 18 November 2011 and its twenty-fifth session in New York from 28 May to 1 June 2012 (or in Vienna from 7 to 11 May 2012);(c) 第三工作组(网上争议解决)将于2011年11月14日至18日在维也纳举行第二十四届会议,于2012年5月28日至6月1日在纽约(或2012年5月7日至11日在维也纳)举行第二十五届会议;
(d) Working Group IV (Electronic Commerce) would hold its forty-fifth session in Vienna from 10 to 14 October 2011 and its forty-sixth session in New York from 13 to 17 February 2012 (or in Vienna from 9 to 13 January 2012);(d) 第四工作组(电子商务)将于2011年10月10日至14日在维也纳举行第四十五届会议,于2012年2月13日至17日在纽约(或2012年1月9日至13日在维也纳)举行第四十六届会议;
(e) Working Group V (Insolvency Law) would hold its fortieth session in Vienna from 31 October to 4 November 2011 and its forty-first session in New York from 9 to 13 April 2012 (or in Vienna from 20 to 24 February 2012);(e) 第五工作组(破产法)将于2011年10月31日至11月4日在维也纳举行第四十届会议,于2012年4月9日至13日在纽约(或2012年2月20日至24日在维也纳)举行第四十一届会议;
(f) Working Group VI (Security Interests) would hold its twentieth session in Viennafrom 12 to 16 December 2011, and its twenty-first session in New Yorkfrom 14 to 18 May 2012 (or in Viennafrom 5 to 9 March 2012).(f) 第六工作组(担保权益)将于2011年12月12日至16日在维也纳举行第二十届会议,于2012年5月14日至18日在纽约(或2012年3月5日至9日在维也纳)举行第二十一届会议。
2. Sessions of working groups in 2012 after the forty-fifth session of the Commission2. 2012年在委员会第四十五届会议之后各工作组的届会
350. The Commission noted that tentative arrangements had been made for working group meetings in 2012 after its forty-fifth session (the arrangements were subject to the approval of the Commission at its forty-fifth session) as follows:350. 委员会注意到已经为其第四十五届会议之后各工作组2012年的会议作出暂定安排如下(有关安排需经委员会第四十五届会议核准):
(a) Working Group II (Arbitration and Conciliation) would hold its fifty-seventh session in Viennafrom 1 to 5 October 2012;(a) 第二工作组(仲裁和调解)将于2012年10月1日至5日在维也纳举行第五十七届会议;
(b) Working Group III (Online Dispute Resolution) would hold its twenty-sixth session in Viennafrom 10 to 14 December 2012;(b) 第三工作组(网上争议解决)将于2012年12月10日至14日在维也纳举行第二十六届会议;
(c) Working Group IV (Electronic Commerce) would hold its forty-seventh session in Viennafrom 3 to 7 December 2012;(c) 第四工作组(电子商务)将于2012年12月3日至7日在维也纳举行第四十七届会议;
(d) Working Group V (Insolvency Law) would hold its forty-second session in Viennafrom 26 to 30 November 2012;(d) 第五工作组(破产法)将于2012年11月26日至30日在维也纳举行第四十二届会议;
(e) Working Group VI (Security Interests) would be expected to hold its twenty-second session in Viennafrom 5 to 9 November 2012, unless it completed its work on the finalization of a text by the Commission at its forty-fifth session, in 2012.(e) 第六工作组(担保权益)预期将于2012年11月5日至9日在维也纳举行第二十二届会议,除非该工作组完成了拟提交委员会2012年第四十五届会议最后审定的案文的拟订工作。
Annex I附件一
UNCITRAL Model Law on Public Procurement贸易法委员会公共采购示范法
Preamble序言
WHEREAS the [Government] [Parliament] of ... considers it desirable to regulate procurement so as to promote the objectives of:鉴于……[政府][议会]认为宜对采购加以规范,以促进下列目标:
(a) Maximizing economy and efficiency in procurement;(a) 采购尽量节省费用,提高效率;
(b) Fostering and encouraging participation in procurement proceedings by suppliers and contractors regardless of nationality, thereby promoting international trade;(b) 不论国籍促进和鼓励供应商和承包商参加采购程序,从而促进国际贸易;
(c) Promoting competition among suppliers and contractors for the supply of the subject matter of the procurement;(c) 促进供应商和承包商为供应采购标的进行竞争;
(d) Providing for the fair, equal and equitable treatment of all suppliers and contractors;(d) 规定对所有供应商和承包商给予公平、平等和公正待遇;
(e) Promoting the integrity of, and fairness and public confidence in, the procurement process;(e) 促进采购程序的廉正、公平和公信度;
(f) Achieving transparency in the procedures relating to procurement.(f) 采购相关程序具有透明度;
Be it therefore enacted as follows: Chapter I. General provisions兹颁布如下规定: 第一章 总则
Article 1第1条
Scope of application适用范围
This Law applies to all public procurement.本法适用于一切公共采购。
Article 2第2条
Definitions定义
For the purposes of this Law:为本法之目的:
(a) “Currency” includes the monetary unit of account;(a) “货币”包括货币记账单位;
(b) “Direct solicitation” means solicitation addressed directly to one supplier or contractor or a restricted number of suppliers or contractors. This excludes solicitation addressed to a limited number of suppliers or contractors following pre-qualification or pre-selection proceedings;(b) “直接招标”系指直接向一个供应商或承包商或者向数目受限的供应商或承包商进行招标。在资格预审程序或预选程序后向数目受限的供应商或承包商进行招标不在此列;
(c) “Domestic procurement” means procurement limited to domestic suppliers or contractors pursuant to article 8 of this Law;(c) “国内采购”系指根据本法第8条限于国内供应商或承包商参加的采购;
(d) “Electronic reverse auction” means an online real-time purchasing technique utilized by the procuring entity to select the successful submission, which involves the presentation by suppliers or contractors of successively lowered bids during a scheduled period of time and the automatic evaluation of bids;(d) “电子逆向拍卖”系指供应商或承包商在规定期限内相继提交更低出价,出价自动评审,采购实体选出中选提交书所使用的在线实时采购工具;
(e) “Framework agreement procedure” means a procedure conducted in two stages: a first stage to select a supplier (or suppliers) or a contractor (or contractors) to be a party (or parties) to a framework agreement with a procuring entity, and a second stage to award a procurement contract under the framework agreement to a supplier or contractor party to the framework agreement:(e) “框架协议程序”系指分两阶段进行的程序:第一阶段甄选将加入与采购实体的框架协议的一个或多个供应商或承包商,第二阶段将框架协议下的采购合同授予已加入框架协议的一个供应商或承包商:
(i) “Framework agreement” means an agreement between the procuring entity and the selected supplier (or suppliers) or contractor (or contractors) concluded upon completion of the first stage of the framework agreement procedure;㈠ “框架协议”系指框架协议程序第一阶段完成时,采购实体与一个或多个中选供应商或承包商订立的协议;
(ii) “Closed framework agreement” means a framework agreement to which no supplier or contractor that is not initially a party to the framework agreement may subsequently become a party;㈡ “封闭式框架协议”系指最初未加入框架协议的供应商或承包商不可随后加入的框架协议;
(iii) “Open framework agreement” means a framework agreement to which a supplier (or suppliers) or a contractor (or contractors) in addition to the initial parties may subsequently become a party or parties;㈢ “开放式框架协议”系指除最初加入框架协议的当事人之外其他一个或多个供应商或承包商可随后加入的框架协议;
(iv) “Framework agreement procedure with second-stage competition” means a procedure under an open framework agreement or a closed framework agreement with more than one supplier or contractor in which certain terms and conditions of the procurement that cannot be established with sufficient precision when the framework agreement is concluded are to be established or refined through a second-stage competition;㈣ “有第二阶段竞争的框架协议程序”系指有不止一个供应商或承包商的开放式框架协议或封闭式框架协议下的程序,在订立框架协议时无法充分准确确定的某些采购条款和条件将通过第二阶段竞争加以确定或细化;
(v) “Framework agreement procedure without second-stage competition” means a procedure under a closed framework agreement in which all terms and conditions of the procurement are established when the framework agreement is concluded;㈤ “无第二阶段竞争的框架协议程序”系指订立框架协议时已确定所有采购条款和条件的封闭式框架协议下的程序;
(f) “Pre-qualification” means the procedure set out in article 18 of this Law to identify, prior to solicitation, suppliers or contractors that are qualified;(f) “资格预审”系指本法第18条所规定的在招标之前确定合格供应商或供应商的程序;
(g) “Pre-qualification documents” means documents issued by the procuring entity under article 18 of this Law that set out the terms and conditions of the pre-qualification proceedings;(g) “资格预审文件”系指采购实体根据本法第18条印发的载明资格预审程序条款和条件的文件;
(h) “Pre-selection” means the procedure set out in paragraph 3 of article 49 of this Law to identify, prior to solicitation, a limited number of suppliers or contractors that best meet the qualification criteria for the procurement concerned;(h) “预选”系指本法第49条第3款所规定的在招标之前确定最符合相关采购的资格标准的有限数目供应商或承包商的程序;
(i) “Pre-selection documents” means documents issued by the procuring entity under paragraph 3 of article 49 of this Law that set out the terms and conditions of the pre-selection proceedings;(i) “预选文件”系指采购实体根据本法第49条第3款印发的载明预选程序条款和条件的文件;
(j) “Procurement” or “public procurement” means the acquisition of goods, construction or services by a procuring entity;(j) “采购”或“公共采购”系指采购实体获取货物、工程或服务;
(k) “Procurement contract” means a contract concluded between the procuring entity and a supplier (or suppliers) or a contractor (or contractors) at the end of the procurement proceedings;(k) “采购合同”系指采购程序结束时采购实体与一个或多个供应商或承包商之间订立的合同;
(l) “Procurement involving classified information” means procurement in which the procuring entity may be authorized by the procurement regulations or by other provisions of law of this State to take measures and impose requirements for the protection of classified information;(l) “涉及机密信息的采购”系指本国采购条例或其他法律规定允许采购实体为保护机密信息采取措施并规定要求的采购;
(m) “Procurement regulations” means regulations enacted in accordance with article 4 of this Law;(m) “采购条例”系指根据本法第4条颁布的条例;
(n) “Procuring entity” means:(n) “采购实体”系指:
Option I任择案文一
(i) Any governmental department, agency, organ or other unit, or any subdivision or multiplicity thereof, that engages in procurement, except ...; [and]㈠ 从事采购的任何政府部门、机构、机关或其他单位,或其任何下属机构或联合体,但……除外;[和]
Option II任择案文二
(i) Any department, agency, organ or other unit, or any subdivision or multiplicity thereof, of the [Government] [other term used to refer to the national Government of the enacting State] that engages in procurement, except ...;㈠ [政府][用以指称颁布国国家政府的其他词语]中从事采购的任何部门、机构、机关或其他单位,或其任何下属机构或联合体,但……除外;[和]
[and]
(ii) [The enacting State may insert in this subparagraph and, if necessary, in subsequent subparagraphs other entities or enterprises, or categories thereof, to be included in the definition of “procuring entity”];㈡ [颁布国可在本项中,必要时也可在其后各项中,填写拟包括在“采购实体”定义内的其他实体或企业或其类别];
(o) “Socio-economic policies” means environmental, social, economic and other policies of this State authorized or required by the procurement regulations or other provisions of law of this State to be taken into account by the procuring entity in the procurement proceedings. [The enacting State may expand this subparagraph by providing an illustrative list of such policies.];(o) “社会经济政策”系指本国采购条例或其他法律规定允许或要求采购实体在采购程序中考虑到的本国在环境、社会、经济和其他方面的政策。[颁布国可扩充本项,列入此种政策的示例清单。];
(p) “Solicitation” means an invitation to tender, present submissions or participate in request-for-proposals proceedings or an electronic reverse auction;(p) “招标”系指邀请投标、邀请递交提交书,或者邀请参加征求建议书程序或电子逆向拍卖程序;
(q) “Solicitation document” means a document issued by the procuring entity, including any amendments thereto, that sets out the terms and conditions of the given procurement;(q) “招标文件”系指采购实体印发的,载明特定采购的条款和条件的文件,包括此种文件的任何修正;
(r) “Standstill period” means the period starting from the dispatch of a notice as required by paragraph 2 of article 22 of this Law, during which the procuring entity cannot accept the successful submission and during which suppliers or contractors can challenge, under chapter VIII of this Law, the decision so notified;(r) “停顿期”系指自发出本法第22条第2款所要求的通知之时起算的期间,在此期间,采购实体不得接受中选提交书,供应商或承包商可以根据本法第八章对已经作此通知的决定提出质疑;
(s) “A submission (or submissions)” means a tender (or tenders), a proposal (or proposals), an offer (or offers), a quotation (or quotations) and a bid (or bids) referred to collectively or generically, including, where the context so requires, an initial or indicative submission (or submissions);(s) “提交书”系投标书、建议书、报盘、报价和出价的总称或通称,视语境需要,包括初步提交书或临时提交书;
(t) “Supplier or contractor” means, according to the context, any potential party or any party to the procurement proceedings with the procuring entity;(t) “供应商或承包商”依语境系指参加采购实体的采购程序的任何潜在当事人或任何实际当事人;
(u) “Tender security” means a security required from suppliers or contractors by the procuring entity and provided to the procuring entity to secure the fulfilment of any obligation referred to in paragraph 1 (f) of article 17 of this Law and includes such arrangements as bank guarantees, surety bonds, standby letters of credit, cheques for which a bank is primarily liable, cash deposits, promissory notes and bills of exchange. For the avoidance of doubt, the term excludes any security for the performance of the contract.(u) “投标担保”系指采购实体要求供应商或承包商向采购实体提供的,用以保证履行本法第17条第1款(f)项所述任何义务的一项担保,包括诸如银行保函、第三方担保书、备用信用证、由银行负主债务人责任的支票、现金押金、本票和汇票等安排。为避免疑义,本术语不包括任何履约担保。
Article 3第3条
International obligations of this State relating to procurement [and intergovernmental agreements within [this State]]本国所承担的与采购有关的国际义务[和[本国]之内的政府间协定]
To the extent that this Law conflicts with an obligation of this State under or arising out of any:本法与本国根据或由于下列任何条约或协定而承担的义务发生冲突的,应当以该条约或协定的规定为准:
(a) Treaty or other form of agreement to which it is a party with one or more other States; [or](a) 本国与一国或多国订立的条约或其他形式的协定;[或者]
(b) Agreement entered into by this State with an intergovernmental international financing institution[,] [;(b) 本国与一政府间国际金融机构订立的协定[,][;或者]
or]
[(c) Agreement between the federal Government of [name of federal State] and any subdivision or subdivisions of [name of federal State] or between any two or more such subdivisions,][(c) [联邦制国家名称]联邦政府与[联邦制国家名称]任何一个或多个地方政府之间订立的协定,或者任何两个或多个此种地方政府之间订立的协定,]
the requirements of the treaty or agreement shall prevail, but in all other respects the procurement shall be governed by this Law.但在其他所有方面,采购事宜仍应由本法管辖。
Article 4第4条
Procurement regulations采购条例
The [name of the organ or authority authorized to promulgate the procurement regulations] is authorized to promulgate procurement regulations to fulfil the objectives and to implement the provisions of this Law.[受权颁布采购条例的机关或权力机构的名称]受权为实现本法目标和执行本法规定而颁布采购条例。
Article 5第5条
Publication of legal texts法律文本的公布
1. This Law, the procurement regulations and other legal texts of general application in connection with procurement covered by this Law, and all amendments thereto, shall be promptly made accessible to the public and systematically maintained.1. 本法、采购条例和与本法所涉采购相关的一般适用的其他法律文本及其一切修正案文,应可迅速供公众查取并加以系统保持。
2. Judicial decisions and administrative rulings with precedent value in connection with procurement covered by this Law shall be made available to the public.2. 与本法所涉采购相关的具有先例价值的司法判决和行政裁决应当公诸于众。
Article 6第6条
Information on possible forthcoming procurement未来可能采购活动的信息
1. Procuring entities may publish information regarding planned procurement activities for forthcoming months or years.1. 采购实体可以发布未来数月或数年计划采购活动的信息。
2. Procuring entities may also publish an advance notice of possible future procurement.2. 采购实体也可以预先发布未来可能采购活动的公告。
3. Publication under this article does not constitute a solicitation, does not oblige the procuring entity to issue a solicitation and does not confer any rights on suppliers or contractors.3. 根据本条发布的信息或公告不构成招标,不使采购实体承担招标义务,也不赋予供应商或承包商任何权利。
Article 7第7条
Communications in procurement采购过程中的通信
1.
Any document, notification, decision or other information generated in the course of a procurement and communicated as required by this Law, including in connection with challenge proceedings under chapter VIII or in the course of a meeting, or forming part of the record of procurement proceedings under article 25 of this Law shall be in a form that provides a record of the content of the information and that is accessible so as to be usable for subsequent reference.1. 按照本法要求传递采购过程中产生的任何文件、通知、决定或其他任何信息,包括与第八章规定的质疑程序有关、在会议期间传递、或构成本法第25条规定的采购程序记录一部分的任何文件、通知、决定或其他任何信息,所采用的形式应当能够提供信息内容的记录,并且能够调取供日后查用。
2.
Direct solicitation and communication of information between suppliers or contractors and the procuring entity referred to in article 16, paragraph 1 (d) of article 17, paragraphs 6 and 9 of article 18, paragraph 2 (a) of article 41 and paragraphs 2 to 4 of article 50 of this Law may be made by means that do not provide a record of the content of the information, on the condition that immediately thereafter confirmation of the communication is given to the recipient of the communication in a form that provides a record of the content of the information and that is accessible so as to be usable for subsequent reference.2. 直接招标以及本法第16条、第17条第1款(d)项、第18条第6款和第9款、第41条第2款(a)项和第50条第2款至第4款述及的供应商或承包商与采购实体之间的通信,可以使用不提供信息内容记录的手段,条件是,随即以能够提供信息内容记录且能够调取供日后查用的形式,向通信的接收人发出通信确认函。
3. The procuring entity, when first soliciting the participation of suppliers or contractors in the procurement proceedings, shall specify:3. 采购实体应当在邀请供应商或承包商参加采购程序之初规定:
(a) Any requirement of form;(a) 任何形式要求;
(b) In procurement involving classified information, if the procuring entity considers it necessary, measures and requirements needed to ensure the protection of classified information at the requisite level;(b) 采购涉及机密信息的,如果采购实体认为必要,确保在必要级别为机密信息提供保护所需要的措施和要求;
(c) The means to be used to communicate information by or on behalf of the procuring entity to a supplier or contractor or to any person, or by a supplier or contractor to the procuring entity or other entity acting on its behalf;(c) 采购实体或其代表向供应商或承包商或者向任何人传递信息,或者供应商或承包商向采购实体或代表采购实体行事的其他实体传递信息的,通信所应采用的手段;
(d) The means to be used to satisfy all requirements under this Law for information to be in writing or for a signature;(d) 为满足本法对书面信息或签字的所有要求而应采用的手段;和
and
(e) The means to be used to hold any meeting of suppliers or contractors.(e) 举行任何供应商或承包商会议所应采用的手段。
4. The procuring entity may use only those means of communication that are in common use by suppliers or contractors in the context of the particular procurement.4. 采购实体可以只采用供应商或承包商在特定采购情况下通常使用的通信手段。
In any meeting held with suppliers or contractors, the procuring entity shall use only those means that ensure in addition that suppliers or contractors can fully and contemporaneously participate in the meeting.采购实体与供应商或承包商举行任何会议,只应采用还能确保供应商或承包商在同一时段充分参与会议的手段。
5. The procuring entity shall put in place appropriate measures to secure the authenticity, integrity and confidentiality of information concerned.5. 采购实体应当制定适当措施,确保相关信息的真实性、完整性和保密性。
Article 8第8条
Participation by suppliers or contractors供应商或承包商的参与
1. Suppliers or contractors shall be permitted to participate in procurement proceedings without regard to nationality, except where the procuring entity decides to limit participation in procurement proceedings on the basis of nationality on grounds specified in the procurement regulations or other provisions of law of this State.1. 供应商或承包商不论国籍均应当被允许参加采购程序,但采购实体基于本国采购条例或其他法律规定列明的理由决定根据国籍限制对采购程序的参加的除外。
2. Except when authorized or required to do so by the procurement regulations or other provisions of law of this State, the procuring entity shall establish no other requirement aimed at limiting the participation of suppliers or contractors in procurement proceedings that discriminates against or among suppliers or contractors or against categories thereof.2. 除本国采购条例或其他法律规定允许或要求外,采购实体不得为限制承包商或供应商参加采购程序而设定可能造成歧视或者区别对待供应商或承包商或者歧视其中某些种类的其他要求。
3. The procuring entity, when first soliciting the participation of suppliers or contractors in the procurement proceedings, shall declare whether the participation of suppliers or contractors in the procurement proceedings is limited pursuant to this article and on which ground.3. 在邀请供应商或承包商参加采购程序之初,采购实体应当声明是否根据本条并且以何理由对供应商或承包商参加采购程序进行限制。
Any such declaration may not later be altered.任何此种声明不得事后更改。
4. A procuring entity that decides to limit the participation of suppliers or contractors in procurement proceedings pursuant to this article shall include in the record of the procurement proceedings a statement of the reasons and circumstances on which it relied.4. 采购实体决定根据本条限制供应商或承包商参加采购程序的,应当在采购程序记录中载明采购实体所依据的理由和情形。
5. The procuring entity shall make available to any person, upon request, its reasons for limiting the participation of suppliers or contractors in the procurement proceedings pursuant to this article.5. 采购实体应当根据请求向任何人提供采购实体根据本条限制供应商或承包商参加采购程序的理由。
Article 9第9条
Qualifications of suppliers and contractors供应商和承包商的资格
1. This article applies to the ascertainment by the procuring entity of the qualifications of suppliers or contractors at any stage of the procurement proceedings.1. 本条适用于采购实体在采购程序任何阶段确定供应商或承包商的资格。
2. Suppliers or contractors shall meet such of the following criteria as the procuring entity considers appropriate and relevant in the circumstances of the particular procurement:2. 供应商或承包商应当达到采购实体认为与特定采购情形相适合和相关的下列标准:
(a) That they have the necessary professional, technical and environmental qualifications, professional and technical competence, financial resources, equipment and other physical facilities, managerial capability, reliability, experience and personnel to perform the procurement contract;(a) 供应商或承包商拥有履行采购合同所必需的专业资格、技术资格和环境方面的资格、专业和技术能力、财政资源、设备和其他有形设施、管理能力、可靠性、经验和人员;
(b) That they meet ethical and other standards applicable in this State;(b) 供应商或承包商符合本国所适用的道德标准和其他标准;
(c) That they have the legal capacity to enter into the procurement contract;(c) 供应商或承包商具有订立采购合同的法律能力;
(d) That they are not insolvent, in receivership, bankrupt or being wound up, their affairs are not being administered by a court or a judicial officer, their business activities have not been suspended and they are not the subject of legal proceedings for any of the foregoing;(d) 供应商或承包商不是处于无清偿能力、财产被接管、破产或结业状况,其事务目前不是由法院或司法人员管理,其业务活动未被中止,并且供应商或承包商未因上述任何状况而成为法律诉讼主体;
(e) That they have fulfilled their obligations to pay taxes and social security contributions in this State;(e) 供应商或承包商履行了缴纳本国税款和社会保障款的义务;
(f) That they have not, and their directors or officers have not, been convicted of any criminal offence related to their professional conduct or the making of false statements or misrepresentations as to their qualifications to enter into a procurement contract within a period of ... years [the enacting State specifies the period of time] preceding the commencement of the procurement proceedings, or have not been otherwise disqualified pursuant to administrative suspension or debarment proceedings.(f) 在采购程序开始前……年期间[颁布国列明该期间]内,供应商或承包商及其董事或高管人员未曾被判犯有涉及职业操守或涉及假报虚报资格订立采购合同的任何刑事罪,也未曾因中止或暂停资格的行政程序而被取消其他资格。
3. Subject to the right of suppliers or contractors to protect their intellectual property or trade secrets, the procuring entity may require suppliers or contractors participating in procurement proceedings to provide appropriate documentary evidence or other information to satisfy itself that the suppliers or contractors are qualified in accordance with the criteria referred to in paragraph 2 of this article.3. 在不损害供应商或承包商保护其知识产权或商业秘密的权利的前提下,采购实体可以要求参加采购程序的供应商或承包商提供适当书面证据或其他资料,使采购实体得以认定该供应商或承包商符合本条第2款述及的资格标准。
4. Any requirement established pursuant to this article shall be set out in the pre-qualification or pre-selection documents, if any, and in the solicitation documents and shall apply equally to all suppliers or contractors.4. 有资格预审文件或预选文件的,应当在此种文件以及招标文件中列出根据本条确定的任何要求,并应当将其同等适用于所有供应商或承包商。
A procuring entity shall impose no criterion, requirement or procedure with respect to the qualifications of suppliers or contractors other than those provided for in this Law.除本法规定的标准、要求或程序外,采购实体不得对供应商或承包商的资格规定其他标准、要求或程序。
5. The procuring entity shall evaluate the qualifications of suppliers or contractors in accordance with the qualification criteria and procedures set out in the pre-qualification or pre-selection documents, if any, and in the solicitation documents.5. 有资格预审文件或预选文件的,采购实体应当根据此种文件以及招标文件所列资格标准和程序对供应商或承包商的资格进行评审。
6. Other than any criterion, requirement or procedure that may be imposed by the procuring entity in accordance with article 8 of this Law, the procuring entity shall establish no criterion, requirement or procedure with respect to the qualifications of suppliers or contractors that discriminates against or among suppliers or contractors or against categories thereof, or that is not objectively justifiable.6. 采购实体不得在其可根据本法第8条规定的任何标准、要求或程序之外,就供应商或承包商的资格设定任何造成歧视或区别对待供应商或承包商或者歧视其中某些类别的标准、要求或程序,或者客观上不合理的标准、要求或程序。
7. Notwithstanding paragraph 6 of this article, the procuring entity may require the legalization of documentary evidence provided by the supplier or contractor presenting the successful submission so as to demonstrate its qualifications for the particular procurement.7. 虽有本条第6款的规定,采购实体仍可要求对递交中选提交书的供应商或承包商为证明其有资格参加特定采购而提供的书面证据进行公证。
In doing so, the procuring entity shall not impose any requirements as to the legalization of the documentary evidence other than those provided for in the laws of this State relating to the legalization of documents of the type in question.采购实体为此而规定的书面证据公证要求,不得超出本国法律对此类文书公证所规定的要求。
8. (a) The procuring entity shall disqualify a supplier or contractor if it finds at any time that the information submitted concerning the qualifications of the supplier or contractor was false or constituted a misrepresentation;8. (a) 采购实体在任何时候发现所提交的关于某一供应商或承包商资格的资料有假或构成虚报,应当取消该供应商或承包商的资格;
(b) A procuring entity may disqualify a supplier or contractor if it finds at any time that the information submitted concerning the qualifications of the supplier or contractor was materially inaccurate or materially incomplete;(b) 采购实体在任何时候发现所提交的关于某一供应商或承包商资格的资料在实质性方面失实或在实质性方面不完整,可以取消该供应商或承包商的资格;
(c) Other than in a case to which subparagraph (a) of this paragraph applies, a procuring entity may not disqualify a supplier or contractor on the ground that information submitted concerning the qualifications of the supplier or contractor was inaccurate or incomplete in a non-material respect. The supplier or contractor may, however, be disqualified if it fails to remedy such deficiencies promptly upon request by the procuring entity;(c) 除本款(a)项所适用的情形外,采购实体不得以所提交的关于某一供应商或承包商资格的资料在非实质性方面失实或不完整为由取消该供应商或承包商的资格。但是,供应商或承包商未能在采购实体提出要求后迅速补正此种缺陷的,可以取消该供应商或承包商的资格;
(d) The procuring entity may require a supplier or contractor that was pre-qualified in accordance with article 18 of this Law to demonstrate its qualifications again in accordance with the same criteria used to pre-qualify such supplier or contractor. The procuring entity shall disqualify any supplier or contractor that fails to demonstrate its qualifications again if requested to do so. The procuring entity shall promptly notify each supplier or contractor requested to demonstrate its qualifications again as to whether or not the supplier or contractor has done so to the satisfaction of the procuring entity.(d) 供应商或承包商已根据本法第18条通过资格预审的,采购实体可以要求其按照原来对其进行资格预审时使用的同样标准再次证明资格。供应商或承包商凡未能按要求再次证明资格的,采购实体应当取消其资格。采购实体应当迅速通知每一被要求再次证明资格的供应商或承包商,是否认可其所进行的再次证明。
Article 10第10条
Rules concerning description of the subject matter of the procurement and the terms and conditions of the procurement contract or framework agreement关于采购标的说明以及采购合同或框架协议条款和条件的规则
1. (a) The pre-qualification or pre-selection documents, if any, shall set out a description of the subject matter of the procurement;1. (a) 有资格预审文件或预选文件的,此种文件应当载列采购标的说明;
(b) The procuring entity shall set out in the solicitation documents the detailed description of the subject matter of the procurement that it will use in the examination of submissions, including the minimum requirements that submissions must meet in order to be considered responsive and the manner in which those minimum requirements are to be applied.(b) 采购实体应当在招标文件中列出其将用以评审提交书的采购标的详细说明,其中包括提交书被认为具响应性而必须达到的最低限要求,以及拟适用这些最低限要求的方式。
2. Other than any criterion, requirement or procedure that may be imposed by the procuring entity in accordance with article 8 of this Law, no description of the subject matter of a procurement that may restrict the participation of suppliers or contractors in or their access to the procurement proceedings, including any restriction based on nationality, shall be included or used in the pre-qualification or pre-selection documents, if any, or in the solicitation documents.2. 有资格预审文件或预选文件的,除采购实体根据本法第8条可以规定的任何标准、要求或程序之外,此种文件以及招标文件不得列入或使用可能限制供应商或承包商参加或进入采购程序的采购标的说明,包括基于国籍的任何限制。
3. The description of the subject matter of the procurement may include specifications, plans, drawings, designs, requirements, testing and test methods, packaging, marking or labelling or conformity certification, and symbols and terminology.3. 采购标的说明可以列入规格、平面图、图样、设计、要求、试验和试验方法、包装、标志标签或合格证、符号和术语。
4. To the extent practicable, the description of the subject matter of the procurement shall be objective, functional and generic.4. 可行情况下,采购标的说明应当客观、实用、通用。
It shall set out the relevant technical, quality and performance characteristics of that subject matter.采购标的说明应当规定该标的的有关技术特点、质量特点或性能特点。
There shall be no requirement for or reference to a particular trademark or trade name, patent, design or type, specific origin or producer unless there is no sufficiently precise or intelligible way of describing the characteristics of the subject matter of the procurement and provided that words such as “or equivalent” are included.不得有任何对某一商标、商标名、专利、设计或型号、具体来源或厂商的要求或提及,除非没有充分确切或易懂的方式可说明采购标的特点,在这种情况下应写上“或与其相当”之类的词语。
5. (a) Standardized features, requirements, symbols and terminology relating to the technical, quality and performance characteristics of the subject matter of the procurement shall be used, where available, in formulating the description of the subject matter of the procurement to be included in the pre-qualification or pre-selection documents, if any, and in the solicitation documents;5. (a) 有资格预审文件或预选文件的,在制订拟列入此种文件以及招标文件的采购标的说明时,应当采用与采购标的技术特点、质量特点和性能特点有关的现有标准化特征、要求、符号和术语;
(b) Due regard shall be had for the use of standardized trade terms and standardized conditions, where available, in formulating the terms and conditions of the procurement and the procurement contract or the framework agreement to be entered into in the procurement proceedings, and in formulating other relevant aspects of the pre-qualification or pre-selection documents, if any, and solicitation documents.(b) 在制订采购条款和条件以及采购程序中将订立的采购合同或框架协议的条款和条件时,以及有资格预审文件或预选文件的,在编制此种文件以及招标文件的其他有关内容时,应当适当考虑采用现有标准化贸易条款和标准化条件。
Article 11第11条
Rules concerning evaluation criteria and procedures关于评审标准和程序的规则
1. Except for the criteria set out in paragraph 3 of this article, the evaluation criteria shall relate to the subject matter of the procurement.1. 除本条第3款规定的标准外,评审标准应当与采购标的相关。
2. The evaluation criteria relating to the subject matter of the procurement may include:2. 与采购标的相关的评审标准可以包括:
(a) Price;(a) 价格;
(b) The cost of operating, maintaining and repairing goods or of construction; the time for delivery of goods, completion of construction or provision of services; the characteristics of the subject matter of the procurement, such as the functional characteristics of goods or construction and the environmental characteristics of the subject matter; and the terms of payment and of guarantees in respect of the subject matter of the procurement;(b) 货物操作、保养和维修费用或工程费用;交付货物、完成工程或提供服务的时间;采购标的特点,如货物或工程的功能特点和标的的环境特点;以及采购标的的付款条件和保证条件;
(c) Where relevant in procurement conducted in accordance with articles 47, 49 and 50 of this Law, the experience, reliability and professional and managerial competence of the supplier or contractor and of the personnel to be involved in providing the subject matter of the procurement.(c) 涉及根据本法第47条、第49条和第50条进行采购的,供应商或承包商以及参与提供采购标的人员的经验、可靠性、专业能力和管理能力。
3. In addition to the criteria set out in paragraph 2 of this article, the evaluation criteria may include:3. 除本条第2款规定的标准外,评审标准还可以包括:
(a) Any criteria that the procurement regulations or other provisions of law of this State authorize or require to be taken into account;(a) 本国采购条例或其他法律规定允许或者要求考虑到的任何标准;
(b) A margin of preference for the benefit of domestic suppliers or contractors or for domestically produced goods, or any other preference, if authorized or required by the procurement regulations or other provisions of law of this State. The margin of preference shall be calculated in accordance with the procurement regulations.(b) 本国采购条例或其他法律规定允许或要求给予国内供应商或承包商或者给予国产货物的优惠幅度或其他任何优惠。优惠幅度应当根据采购条例计算。
4. To the extent practicable, all non-price evaluation criteria shall be objective, quantifiable and expressed in monetary terms.4. 所有非价格评审标准均应在可行范围内力求客观、量化并以金额表示。
5. The procuring entity shall set out in the solicitation documents:5. 采购实体应当在招标文件中具体说明:
(a) Whether the successful submission will be ascertained on the basis of price or price and other criteria;(a) 中选提交书将根据价格确定,还是价格结合其他标准作为依据加以确定;
(b) All evaluation criteria established pursuant to this article, including price as modified by any preference;(b) 根据本条确定的所有评审标准,包括根据任何优惠作出修改的价格;
(c) The relative weights of all evaluation criteria, except where the procurement is conducted under article 49 of this Law, in which case the procuring entity may list all evaluation criteria in descending order of importance;(c) 所有评审标准的相对权重,但根据本法第49条进行的采购除外,在此种采购中,采购实体可以按重要性递减顺序列出所有评审标准;
(d) The manner of application of the criteria in the evaluation procedure.(d) 评审程序适用这些标准的方式。
6. In evaluating submissions and determining the successful submission, the procuring entity shall use only those criteria and procedures that have been set out in the solicitation documents and shall apply those criteria and procedures in the manner that has been disclosed in those solicitation documents.6. 在评审提交书和确定中选提交书时,采购实体只应采用招标文件中列明的标准和程序,并应当按照招标文件中公布的方式适用这些标准和程序。
No criterion or procedure shall be used that has not been set out in accordance with this provision.凡不是根据本规定列明的标准或程序,一律不得采用。
Article 12第12条
Rules concerning estimation of the value of procurement关于采购估值的规则
1. A procuring entity shall neither divide its procurement nor use a particular valuation method for estimating the value of procurement so as to limit competition among suppliers or contractors or otherwise avoid its obligations under this Law.1. 采购实体不得为限制供应商或承包商之间的竞争或者为以其他方式规避本法对其规定的义务而将采购业务分割,或者采用特定估值方法对采购进行估值。
2. In estimating the value of procurement, the procuring entity shall include the estimated maximum total value of the procurement contract or of all procurement contracts envisaged under a framework agreement over its entire duration, taking into account all forms of remuneration.2. 采购实体进行采购估值,应当包括采购合同的最大估计总价值,或框架协议下所设想的整个期间所有采购合同的最大估计总价值,同时考虑到所有付酬形式。
Article 13第13条
Rules concerning the language of documents关于文件语文的规则
1. The pre-qualification or pre-selection documents, if any, and the solicitation documents shall be formulated in [the enacting State specifies its official language or languages] [and in a language customarily used in international trade, unless decided otherwise by the procuring entity in the circumstances referred to in paragraph 4 of article 33 of this Law].1. 有资格预审文件或预选文件的,此种文件以及招标文件应当以[颁布国列明其官方语文]编制[,除非采购实体在本法第33条第4款述及的情况下另有决定,并以国际贸易惯常使用的一种语文]编制。
2. Applications to pre-qualify or for pre-selection, if any, and submissions may be formulated and presented in the language of the pre-qualification or pre-selection documents, if any, and solicitation documents, respectively, or in any other language permitted by those documents.2. 有资格预审申请或预选申请的,申请书以及提交书可以分别以资格预审文件或预选文件以及招标文件的语文编写和递交,或者以此等文件所允许的其他任何语文编写和递交。
Article 14第14条
Rules concerning the manner, place and deadline for presenting applications to pre-qualify or applications for pre-selection or for presenting submissions关于资格预审申请书、预选申请书或提交书的递交方式、地点和 截止时间的规则
1. The manner, place and deadline for presenting applications to pre-qualify or for pre-selection shall be set out in the invitation to pre-qualify or for pre-selection and in the pre-qualification or pre-selection documents, as applicable.1. 资格预审申请书或预选申请书的递交方式、地点和截止时间,应当在资格预审邀请书或预选邀请书中列明,适用的,还应当在资格预审文件或预选文件中列明。
The manner, place and deadline for presenting submissions shall be set out in the solicitation documents.提交书的递交方式、地点和截止时间,应当在招标文件中列明。
2. Deadlines for presenting applications to pre-qualify or for pre-selection or for presenting submissions shall be expressed as a specific date and time and shall allow sufficient time for suppliers or contractors to prepare and present their applications or submissions, taking into account the reasonable needs of the procuring entity.2. 资格预审申请书、预选申请书或提交书的递交截止时间,应当以具体日期和时间表示,并应当给供应商或承包商编写和递交申请书或提交书留出足够时间,同时考虑到采购实体的合理需要。
3.
If the procuring entity issues a clarification or modification of the pre-qualification, pre-selection or solicitation documents, it shall, prior to the applicable deadline for presenting applications to pre-qualify or for pre-selection or for presenting submissions, extend the deadline if necessary or as required under paragraph 3 of article 15 of this Law in order to afford suppliers or contractors sufficient time to take the clarification or modification into account in their applications or submissions.3. 如果采购实体印发对资格预审文件、预选文件或招标文件的澄清或修改,采购实体应当在必要时或者按照本法第15条第3款的要求,在资格预审申请书、预选申请书或提交书所适用的递交截止时间之前展延该截止时间,以便给予供应商或承包商足够时间在申请书或提交书中考虑到该澄清或修改。
4. The procuring entity may, at its absolute discretion, prior to a deadline for presenting applications to pre-qualify or for pre-selection or for presenting submissions, extend the applicable deadline if it is not possible for one or more suppliers or contractors to present their applications or submissions by the deadline initially stipulated because of any circumstance beyond their control.4. 如果一个或多个供应商或承包商因超出其控制范围的任何情形而无法在最初规定的截止时间之前递交申请书或提交书,采购实体可以依其完全自由裁量权,在资格预审申请书、预选申请书或提交书的递交截止时间之前展延所适用的截止时间。
5. Notice of any extension of the deadline shall be given promptly to each supplier or contractor to which the procuring entity provided the pre-qualification, pre-selection or solicitation documents.5. 采购实体应当向每一个由采购实体提供了资格预审文件、预选文件或招标文件的供应商或承包商迅速发出任何展延截止时间的通知。
Article 15第15条
Clarifications and modifications of solicitation documents招标文件的澄清和修改
1. A supplier or contractor may request a clarification of the solicitation documents from the procuring entity.1. 供应商或承包商可以请求采购实体澄清招标文件。
The procuring entity shall respond to any request by a supplier or contractor for clarification of the solicitation documents that is received by the procuring entity within a reasonable time prior to the deadline for presenting submissions.对于供应商或承包商提出的澄清招标文件的请求,只要是在提交书递交截止时间之前的合理时间内为采购实体收到的,采购实体均应作出答复。
The procuring entity shall respond within a time period that will enable the supplier or contractor to present its submission in a timely fashion and shall, without identifying the source of the request, communicate the clarification to all suppliers or contractors to which the procuring entity has provided the solicitation documents.采购实体应当在能够使该供应商或承包商及时递交提交书的时限内作出答复,并应当将澄清事项告知由采购实体提供了招标文件的所有供应商或承包商,但不得标明请求的提出者。
2. At any time prior to the deadline for presenting submissions, the procuring entity may for any reason, whether on its own initiative or as a result of a request for clarification by a supplier or contractor, modify the solicitation documents by issuing an addendum.2. 在提交书递交截止时间之前的任何时候,采购实体可以出于任何理由,主动或根据供应商或承包商的澄清请求,以印发补充文件的方式修改招标文件。
The addendum shall be communicated promptly to all suppliers or contractors to which the procuring entity has provided the solicitation documents and shall be binding on those suppliers or contractors.补充文件应当迅速分发给由采购实体提供了招标文件的所有供应商或承包商,并应当对这些供应商或承包商具有约束力。
3.
If as a result of a clarification or modification issued in accordance with this article, the information published when first soliciting the participation of suppliers or contractors in the procurement proceedings becomes materially inaccurate, the procuring entity shall cause the amended information to be published in the same manner and place in which the original information was published and shall extend the deadline for presentation of submissions as provided for in paragraph 3 of article 14 of this Law.3. 如果根据本条印发一项澄清或修改,导致在邀请供应商或承包商参加采购程序之初发布的信息变成实质上不准确的信息,采购实体应当以发布原信息的同样方式,在同一登载处发布经修改的信息,并应当按照本法第14条第3款的规定展延提交书的递交截止时间。
4. If the procuring entity convenes a meeting of suppliers or contractors, it shall prepare minutes of the meeting containing the requests submitted at the meeting for clarification of the solicitation documents and its responses to those requests, without identifying the sources of the requests.4. 采购实体召开供应商或承包商会议,应当编制会议议事录,载列会上提出的澄清招标文件的请求以及采购实体对这些请求作出的答复,但不得标明请求的提出者。
The minutes shall be provided promptly to all suppliers or contractors to which the procuring entity provided the solicitation documents, so as to enable those suppliers or contractors to take the minutes into account in preparing their submissions.采购实体应当迅速将议事录提供给由采购实体提供了招标文件的所有供应商或承包商,以便使这些供应商或承包商能够在编写提交书时考虑到议事录的内容。
Article 16第16条
Clarification of qualification information and of submissions资质信息和提交书的澄清
1. At any stage of the procurement proceedings, the procuring entity may ask a supplier or contractor for clarification of its qualification information or of its submission, in order to assist in the ascertainment of qualifications or the examination and evaluation of submissions.1. 在采购程序的任何阶段,采购实体可以要求供应商或承包商为协助确定资格或进行提交书审查和评审而对资质信息或提交书作出澄清。
2. The procuring entity shall correct purely arithmetical errors that are discovered during the examination of submissions.2. 采购实体应当纠正在提交书审查期间发现的纯粹计算错误。
The procuring entity shall give prompt notice of any such correction to the supplier or contractor that presented the submission concerned.采购实体应当迅速将任何此种纠正通知发给递交了有关提交书的供应商或承包商。
3. No substantive change to qualification information or to a submission, including changes aimed at making an unqualified supplier or contractor qualified or an unresponsive submission responsive, shall be sought, offered or permitted.3. 不得谋求、提议或允许对资质信息或者对提交书作出实质性改变,其中包括为了使不合格的供应商或承包商合格或者使不具响应性的提交书具响应性而作出的改变。
4. No negotiations shall take place between the procuring entity and a supplier or contractor with respect to qualification information or submissions, nor shall any change in price be made pursuant to a clarification that is sought under this article.4. 不得在采购实体和供应商或承包商之间就资质信息或提交书进行任何谈判,也不得在依本条要求澄清之后根据所作澄清对价格作出任何改变。
5. Paragraph 4 of this article shall not apply to proposals submitted under articles 49, 50, 51 and 52 of this Law.5. 本条第4款不适用于根据本法第49条、第50条、第51条和第52条递交的建议书。
6. All communications generated under this article shall be included in the record of the procurement proceedings.6. 根据本条产生的通信一律载入采购程序记录。
Article 17第17条
Tender securities投标担保
1. When the procuring entity requires suppliers or contractors presenting submissions to provide a tender security:1. 采购实体要求递交提交书的供应商或承包商提供投标担保的:
(a) The requirement shall apply to all suppliers or contractors;(a) 此种要求应当适用于所有供应商或承包商;
(b) The solicitation documents may stipulate that the issuer of the tender security and the confirmer, if any, of the tender security, as well as the form and terms of the tender security, must be acceptable to the procuring entity. In cases of domestic procurement, the solicitation documents may in addition stipulate that the tender security shall be issued by an issuer in this State;(b) 招标文件可以规定,投标担保出具人和(可能提出的)投标担保保兑人,以及投标担保的形式和条件,必须是采购实体所能接受的。在国内采购情况下,招标文件还可以规定应由本国出具人出具投标担保;
(c) Notwithstanding the provisions of subparagraph (b) of this paragraph, a tender security shall not be rejected by the procuring entity on the grounds that the tender security was not issued by an issuer in this State if the tender security and the issuer otherwise conform to requirements set out in the solicitation documents, unless the acceptance by the procuring entity of such a tender security would be in violation of a law of this State;(c) 虽有本款(b)项规定,只要投标担保和出具人在其他方面符合招标文件中列明的要求,采购实体不得以投标担保不是本国出具人出具为由拒绝该投标担保,除非采购实体接受此种投标担保将违反本国法律;
(d) Prior to presenting a submission, a supplier or contractor may request the procuring entity to confirm the acceptability of a proposed issuer of a tender security or of a proposed confirmer, if required; the procuring entity shall respond promptly to such a request;(d) 在递交提交书之前,供应商或承包商可以请求采购实体确认所提出的投标担保出具人可否被接受,采购实体要求提出保兑人的,可以请求采购实体确认所提出的保兑人可否被接受;采购实体应当对此种请求迅速作出答复;
(e) Confirmation of the acceptability of a proposed issuer or of any proposed confirmer does not preclude the procuring entity from rejecting the tender security on the ground that the issuer or the confirmer, as the case may be, has become insolvent or has otherwise ceased to be creditworthy;(e) 确认所提出的出具人或可能提出的保兑人可被接受,并不排除采购实体以出具人或保兑人(两者视情况适用)已无清偿能力或者已在其他方面失去信誉为由,拒绝该投标担保;
(f) The procuring entity shall specify in the solicitation documents any requirements with respect to the issuer and the nature, form, amount and other principal terms and conditions of the required tender security. Any requirement that refers directly or indirectly to the conduct of the supplier or contractor presenting the submission may relate only to:(f) 采购实体应当在招标文件中具体说明对出具人以及对所要求的投标担保的性质、形式、数额和其他主要条款和条件的任何要求。凡是与递交提交书的供应商或承包商的行为直接或间接有关的要求,只可涉及以下方面:
(i) Withdrawal or modification of the submission after the deadline for presenting submissions, or before the deadline if so stipulated in the solicitation documents;㈠ 在提交书递交截止时间之后撤回或修改提交书,或者按照招标文件的规定在该截止时间之前撤回或修改提交书;
(ii) Failure to sign a procurement contract if so required by the solicitation documents;㈡ 招标文件要求签署采购合同而未能签署采购合同;并且
and
(iii) Failure to provide a required security for the performance of the contract after the successful submission has been accepted or failure to comply with any other condition precedent to signing the procurement contract specified in the solicitation documents.㈢ 未能在中选提交书被接受后提供所要求的履约担保,或者未能遵守招标文件中规定的签署采购合同的其他任何先决条件。
2. The procuring entity shall make no claim to the amount of the tender security and shall promptly return, or procure the return of, the security document after the earliest of the following events:2. 下列情形中有一种情形先发生,采购实体即不得对投标担保金额提出主张,并应当迅速退还或者促成退还担保文书:
(a) The expiry of the tender security;(a) 投标担保期满;
(b) The entry into force of a procurement contract and the provision of a security for the performance of the contract, if such a security is required by the solicitation documents;(b) 采购合同生效,招标文件要求提供履约担保的,还提供了履约担保;
(c) The cancellation of the procurement;(c) 采购被取消;
(d) The withdrawal of a submission prior to the deadline for presenting submissions, unless the solicitation documents stipulate that no such withdrawal is permitted.(d) 在提交书的递交截止时间之前撤回提交书,除非招标文件规定不得撤回。
Article 18第18条
Pre-qualification proceedings资格预审程序
1. The procuring entity may engage in pre-qualification proceedings with a view to identifying, prior to solicitation, suppliers and contractors that are qualified.1. 采购实体可以进行资格预审程序,以期在招标之前确定合格的供应商和承包商。
The provisions of article 9 of this Law shall apply to pre-qualification proceedings.资格预审程序应当适用本法第9条的规定。
2. If the procuring entity engages in pre-qualification proceedings, it shall cause an invitation to pre-qualify to be published in the publication identified in the procurement regulations.2. 采购实体进行资格预审程序,应当在采购条例所确定的出版物上登载资格预审邀请书。
Unless decided otherwise by the procuring entity in the circumstances referred to in paragraph 4 of article 33 of this Law, the invitation to pre-qualify shall also be published internationally, so as to be widely accessible to international suppliers or contractors.除非采购实体在本法第33条第4款述及的情况下另有决定,否则还应当在国际上登载资格预审邀请书,以便使国际供应商或承包商能够广泛查取。
3. The invitation to pre-qualify shall include the following information:3. 资格预审邀请书应当包括下列内容:
(a) The name and address of the procuring entity;(a) 采购实体的名称和地址;
(b) A summary of the principal required terms and conditions of the procurement contract or the framework agreement to be entered into in the procurement proceedings, including the nature, quantity and place of delivery of the goods to be supplied, the nature and location of the construction to be effected or the nature of the services and the location where they are to be provided, as well as the desired or required time for the supply of the goods, the completion of the construction or the provision of the services;(b) 采购程序中拟订立采购合同或框架协议的主要必要条款和条件的概要,包括所需供应货物的性质、数量和交货地,拟实施工程的性质和地点,或者服务性质和服务提供地,以及希望或要求的供货时间、竣工时间或提供服务时间;
(c) The criteria and procedures to be used for ascertaining the qualifications of suppliers or contractors, in conformity with article 9 of this Law;(c) 符合本法第9条规定的用以确定供应商或承包商资格的标准和程序;
(d) A declaration as required by article 8 of this Law;(d) 本法第8条要求作出的声明;
(e) The means of obtaining the pre-qualification documents and the place where they may be obtained;(e) 资格预审文件的索取方式和索取地点;
(f) The price, if any, to be charged by the procuring entity for the pre-qualification documents and, subsequent to pre-qualification, for the solicitation documents;(f) 采购实体对资格预审文件收取的任何费用,以及资格预审之后对招标文件收取的任何费用;
(g) If a price is to be charged, the means of payment for the pre-qualification documents and, subsequent to pre-qualification, for the solicitation documents, and the currency of payment;(g) 收取费用的,资格预审文件以及资格预审之后的招标文件的付费方式和付费币种;
(h) The language or languages in which the pre-qualification documents and, subsequent to pre-qualification, the solicitation documents are available;(h) 资格预审文件以及资格预审之后的招标文件所使用的一种或几种语文;
(i) The manner, place and deadline for presenting applications to pre-qualify and, if already known, the manner, place and deadline for presenting submissions, in conformity with article 14 of this Law.(i) 资格预审申请书的递交方式、地点和截止时间,以及提交书的递交方式、地点和截止时间(以已经知道为前提),两者均须符合本法第14条的规定。
4. The procuring entity shall provide a set of pre-qualification documents to each supplier or contractor that requests them in accordance with the invitation to pre-qualify and that pays the price, if any, charged for those documents.4. 供应商或承包商凡是根据资格预审邀请书请求提供资格预审文件并支付了可能对资格预审文件收取的费用的,采购实体均应向其提供一套资格预审文件。
The price that the procuring entity may charge for the pre-qualification documents shall reflect only the cost of providing them to suppliers or contractors.采购实体对资格预审文件的收费价格,只能是向供应商或承包商提供资格预审文件的工本费。
5. The pre-qualification documents shall include the following information:5. 资格预审文件应当包括下列内容:
(a) Instructions for preparing and presenting pre-qualification applications;(a) 关于编写和递交资格预审申请书的说明;
(b) Any documentary evidence or other information that must be presented by suppliers or contractors to demonstrate their qualifications;(b) 关于供应商或承包商证明其资质必须提交的任何书面证据或其他资料的要求;
(c) The name, functional title and address of one or more officers or employees of the procuring entity who are authorized to communicate directly with and to receive communications directly from suppliers or contractors in connection with the pre-qualification proceedings without the intervention of an intermediary;(c) 在没有中间人介入的情况下,采购实体负责就资格预审程序与供应商或承包商直接通信并直接接收供应商或承包商来信的一名或多名官员或雇员的姓名、职称和地址;
(d) References to this Law, the procurement regulations and other laws and regulations directly pertinent to the pre-qualification proceedings, and the place where those laws and regulations may be found;(d) 对本法、采购条例和与资格预审程序直接相关的其他法律条例的提及以及这些法律条例的出处;
(e) Any other requirements that may be established by the procuring entity in conformity with this Law and the procurement regulations relating to the preparation and presentation of applications to pre-qualify and to the pre-qualification proceedings.(e) 采购实体根据本法和采购条例可能就资格预审申请书的编写和递交以及就资格预审程序规定的其他任何要求。
6. The procuring entity shall respond to any request by a supplier or contractor for clarification of the pre-qualification documents that is received by the procuring entity within a reasonable time prior to the deadline for presenting applications to pre-qualify.6. 对于供应商或承包商提出的澄清资格预审文件的请求,只要是在资格预审申请书递交截止时间之前的合理时间内为采购实体收到的,采购实体均应作出答复。
The procuring entity shall respond within a time period that will enable the supplier or contractor to present its application to pre-qualify in a timely fashion.采购实体应当在能够使该供应商或承包商及时递交资格预审申请书的时限内作出答复。
The response to any request that might reasonably be expected to be of interest to other suppliers or contractors shall, without identifying the source of the request, be communicated to all suppliers or contractors to which the procuring entity has provided the pre-qualification documents.对于任何请求作出的答复,凡有理由认为可能与其他供应商或承包商有关的,应当一并发给由采购实体提供了资格预审文件的所有供应商或承包商,但不得标明请求的提出者。
7. The procuring entity shall take a decision with respect to the qualifications of each supplier or contractor presenting an application to pre-qualify.7. 采购实体应当就每一个递交了资格预审申请书的供应商或承包商的资格作出决定。
In reaching that decision, the procuring entity shall apply only the criteria and procedures set out in the invitation to pre-qualify and in the pre-qualification documents.采购实体作出此种决定,只应适用资格预审邀请书和资格预审文件中列明的标准和程序。
8. Only suppliers or contractors that have been pre-qualified are entitled to participate further in the procurement proceedings.8. 只有通过了资格预审的供应商或承包商才有资格继续参加采购程序。
9. The procuring entity shall promptly notify each supplier or contractor presenting an application to pre-qualify whether or not it has been pre-qualified.9. 采购实体应当迅速通知每一个递交了资格预审申请书的供应商或承包商是否通过了资格预审。
It shall also make available to any person, upon request, the names of all suppliers or contractors that have been pre-qualified.采购实体还应当根据请求向任何人提供所有通过了资格预审的供应商或承包商的名称。
10. The procuring entity shall promptly communicate to each supplier or contractor that has not been pre-qualified the reasons therefor.10. 采购实体应当迅速向每一个未通过资格预审的供应商或承包商告知未获通过的原因。
Article 19第19条
Cancellation of the procurement取消采购
1. The procuring entity may cancel the procurement at any time prior to the acceptance of the successful submission and, after the successful submission is accepted, under the circumstances referred to in paragraph 8 of article 22 of this Law.1. 采购实体可以在接受中选提交书之前的任何时候取消采购,在本法第22条第8款述及的情况下,还可以在中选提交书已获接受之后取消采购。
The procuring entity shall not open any tenders or proposals after taking a decision to cancel the procurement.采购实体不得在决定取消采购之后开启任何投标书或建议书。
2. The decision of the procuring entity to cancel the procurement and the reasons for the decision shall be included in the record of the procurement proceedings and promptly communicated to any supplier or contractor that presented a submission.2. 采购实体取消采购的决定及其理由,应当载入采购程序记录并迅速告知递交了提交书的任何供应商或承包商。
The procuring entity shall in addition promptly publish a notice of the cancellation of the procurement in the same manner and place in which the original information regarding the procurement proceedings was published, and return any tenders or proposals that remain unopened at the time of the decision to the suppliers or contractors that presented them.采购实体还应当以发布采购程序原信息的同样方式,在同一登载处迅速发布取消采购的公告,并应当将作出该决定时仍未开启的任何投标书或建议书退还给递交了这些投标书或建议书的供应商或承包商。
3. Unless the cancellation of the procurement is a consequence of irresponsible or dilatory conduct on the part of the procuring entity, the procuring entity shall incur no liability, solely by virtue of its invoking paragraph 1 of this article, towards suppliers or contractors that have presented submissions.3. 除非取消采购是采购实体不负责任或拖延行为造成的,否则采购实体不应仅因其援用本条第1款而对递交了提交书的供应商或承包商负赔偿责任。
Article 20第20条
Rejection of abnormally low submissions否决异常低价提交书
1. The procuring entity may reject a submission if the procuring entity has determined that the price, in combination with other constituent elements of the submission, is abnormally low in relation to the subject matter of the procurement and raises concerns with the procuring entity as to the ability of the supplier or contractor that presented that submission to perform the procurement contract, provided that the procuring entity has taken the following actions:1. 如果采购实体确定,价格结合提交书的其他构成要素相对于采购标的异常偏低,由此引起采购实体对递交了该提交书的供应商或承包商履行采购合同能力的关切,采购实体可以否决该提交书,条件是采购实体采取了下列行动:
(a) The procuring entity has requested in writing from the supplier or contractor details of the submission that gives rise to concerns as to the ability of the supplier or contractor to perform the procurement contract;(a) 采购实体已经以书面形式请求该供应商或承包商就引起采购实体对其履行采购合同能力关切的提交书提供细节;并且
and
(b) The procuring entity has taken account of any information provided by the supplier or contractor following this request and the information included in the submission, but continues, on the basis of all such information, to hold concerns.(b) 采购实体已考虑到该供应商或承包商在这一请求之后提供的任何信息以及提交书中列入的信息,但在所有这些信息的基础上继续持有关切。
2. The decision of the procuring entity to reject a submission in accordance with this article, the reasons for that decision, and all communications with the supplier or contractor under this article shall be included in the record of the procurement proceedings.2. 采购实体根据本条作出的否决提交书的决定及其理由,以及根据本条与供应商或承包商的所有通信,均应载入采购程序记录。
The decision of the procuring entity and the reasons therefor shall be promptly communicated to the supplier or contractor concerned.采购实体的决定及其理由应当迅速告知有关的供应商或承包商。
Article 21第21条
Exclusion of a supplier or contractor from the procurement proceedings on the grounds of inducements from the supplier or contractor, an unfair competitive advantage or conflicts of interest以供应商或承包商利诱、不公平竞争优势或利益冲突为由将其排除在 采购程序之外
1. A procuring entity shall exclude a supplier or contractor from the procurement proceedings if:1. 供应商或承包商有下列情形的,采购实体应当将其排除在采购程序之外:
(a) The supplier or contractor offers, gives or agrees to give, directly or indirectly, to any current or former officer or employee of the procuring entity or other governmental authority a gratuity in any form, an offer of employment or any other thing of service or value, so as to influence an act or decision of, or procedure followed by, the procuring entity in connection with the procurement proceedings;(a) 该供应商或承包商直接或间接提议给予、实际给予或同意给予采购实体或其他政府当局的任何现任或前任官员或雇员任何形式的酬礼,或提议给予任职机会或其他任何服务或价值物,以影响采购实体在采购程序方面的行动或决定或实施的程序;或者
or
(b) The supplier or contractor has an unfair competitive advantage or a conflict of interest, in violation of provisions of law of this State.(b) 该供应商或承包商违反本国法律规定,有不公平竞争优势或利益冲突。
2. Any decision of the procuring entity to exclude a supplier or contractor from the procurement proceedings under this article and the reasons therefor shall be included in the record of the procurement proceedings and promptly communicated to the supplier or contractor concerned.2. 采购实体根据本条规定将供应商或承包商排除在采购程序之外的任何决定及其理由,应当载入采购程序记录并迅速告知有关的供应商或承包商。
Article 22第22条
Acceptance of the successful submission and entry into force of the procurement contract接受中选提交书和采购合同生效
1. The procuring entity shall accept the successful submission unless:1. 除非有下列情形,否则采购实体应当接受中选提交书:
(a) The supplier or contractor presenting the successful submission is disqualified in accordance with article 9 of this Law;(a) 根据本法第9条取消了递交中选提交书的供应商或承包商的资格;
(b) The procurement is cancelled in accordance with paragraph 1 of article 19 of this Law;(b) 根据本法第19条第1款条取消了采购;
(c) The submission found successful at the end of evaluation is rejected as abnormally low under article 20 of this Law;(c) 根据本法第20条以价格异常偏低为由否决了评审结束时确定的中选提交书;或者
or
(d) The supplier or contractor presenting the successful submission is excluded from the procurement proceedings on the grounds specified in article 21 of this Law.(d) 根据本法第21条列明的理由将递交中选提交书的供应商或承包商排除在采购程序之外。
2. The procuring entity shall promptly notify each supplier or contractor that presented submissions of its decision to accept the successful submission at the end of the standstill period.2. 采购实体应当将其拟在停顿期结束时接受中选提交书的决定迅速通知每一个递交了提交书的供应商或承包商。
The notice shall contain, at a minimum, the following information:通知书应当至少包含下列内容:
(a) The name and address of the supplier or contractor presenting the successful submission;(a) 递交中选提交书的供应商或承包商的名称和地址;
(b) The contract price or, where the successful submission was ascertained on the basis of price and other criteria, the contract price and a summary of other characteristics and relative advantages of the successful submission;(b) 合同价格,或者,价格结合其他标准作为依据确定中选提交书的,合同价格以及中选提交书的其他特点和相对优势概要;并且
and
(c) The duration of the standstill period as set out in the solicitation documents and in accordance with the requirements of the procurement regulations. The standstill period shall run from the date of the dispatch of the notice under this paragraph to all suppliers or contractors that presented submissions.(c) 根据采购条例的要求,在招标文件中列明的停顿期期限。停顿期应当自本款规定的通知书向递交了提交书的所有供应商或承包商发出之日起算。
3. Paragraph 2 of this article shall not apply to awards of procurement contracts:3. 采购合同有下列情形的,不应当对授予采购合同适用本条第2款:
(a) Under a framework agreement procedure without second-stage competition;(a) 采购合同是无第二阶段竞争的框架协议程序下的采购合同;
(b) Where the contract price is less than the threshold amount set out in the procurement regulations;(b) 合同价格低于采购条例中列明的阀值;或者
or
(c) Where the procuring entity determines that urgent public interest considerations require the procurement to proceed without a standstill period. The decision of the procuring entity that such urgent considerations exist and the reasons for the decision shall be included in the record of the procurement proceedings.(c) 采购实体判定出于公共利益紧迫考虑必须在没有停顿期的情况下进行采购。采购实体关于存在此种紧迫考虑的决定以及作出该决定的理由,应当载入采购程序记录。
4. Upon expiry of the standstill period or, where there is none, promptly after the successful submission was ascertained, the procuring entity shall dispatch the notice of acceptance of the successful submission to the supplier or contractor that presented that submission, unless the [name of court or courts] or the [name of the relevant organ designated by the enacting State] orders otherwise.4. 停顿期期满后,或者,无停顿期的,在确定中选提交书之后,采购实体应当迅速向递交了该提交书的供应商或承包商发出接受中选提交书的通知书,除非[法院名称]或者[颁布国指定的有关机关的名称]另有裁定。
5. Unless a written procurement contract and/or approval by another authority is/are required, a procurement contract in accordance with the terms and conditions of the successful submission enters into force when the notice of acceptance is dispatched to the supplier or contractor concerned, provided that the notice is dispatched while the submission is still in effect.5. 除非要求有书面采购合同和(或)报请另一机关批准,否则,在向有关供应商或承包商发出接受通知书时,符合中选提交书条款和条件的采购合同即告生效,条件是通知书发出时提交书仍然有效。
6. Where the solicitation documents require the supplier or contractor whose submission has been accepted to sign a written procurement contract conforming to the terms and conditions of the accepted submission:6. 招标文件要求提交书已获接受的供应商或承包商签署一项符合被接受的提交书的条款和条件的书面采购合同的:
(a) The procuring entity and the supplier or contractor concerned shall sign the procurement contract within a reasonable period of time after the notice of acceptance is dispatched to the supplier or contractor concerned;(a) 采购实体和有关供应商或承包商应当在向该供应商或承包商发出接受通知书后的合理时间内签署此项采购合同;
(b) Unless the solicitation documents stipulate that the procurement contract is subject to approval by another authority, the procurement contract enters into force when the contract is signed by the supplier or contractor concerned and by the procuring entity. Between the time when the notice of acceptance is dispatched to the supplier or contractor concerned and the entry into force of the procurement contract, neither the procuring entity nor that supplier or contractor shall take any action that interferes with the entry into force of the procurement contract or with its performance.(b) 除非招标文件规定采购合同必须报请另一机关批准,否则采购合同一经有关供应商或承包商和采购实体签署即告生效。从向该供应商或承包商发出接受通知书至采购合同生效,这段时间内采购实体和该供应商或承包商均不得采取任何行动阻挠采购合同的生效或履行。
7. Where the solicitation documents stipulate that the procurement contract is subject to approval by another authority, the procurement contract shall not enter into force before the approval is given.7. 招标文件规定采购合同必须报请另一机关批准的,在获得批准之前,采购合同不得生效。
The solicitation documents shall specify the estimated period of time following dispatch of the notice of acceptance that will be required to obtain the approval.招标文件应当具体指明在接受通知书发出后获得批准估计需要的时间期限。
A failure to obtain the approval within the time specified in the solicitation documents shall not extend the period of effectiveness of submissions specified in the solicitation documents or the period of effectiveness of the tender security required under article 17 of this Law, unless extended under the provisions of this Law.未能在招标文件具体指明的时间内获得批准的,不应展延招标文件中列明的提交书有效期或本法第17条所要求的投标担保的有效期,除非根据本法规定展延该有效期。
8. If the supplier or contractor whose submission has been accepted fails to sign any written procurement contract as required or fails to provide any required security for the performance of the contract, the procuring entity may either cancel the procurement or decide to select the next successful submission from among those remaining in effect, in accordance with the criteria and procedures set out in this Law and in the solicitation documents.8. 提交书已获接受的供应商或承包商未能按要求签署书面采购合同,或者未能提供所要求的任何履约担保的,采购实体可以取消采购,也可以决定根据本法和招标文件中列明的标准和程序,从其余仍然有效的提交书中选出下一份中选提交书。
In the latter case, the provisions of this article shall apply mutatis mutandis to such submission.在后一种情况下,本条的规定应当经变通后适用于该提交书。
9. Notices under this article are dispatched when they are promptly and properly addressed or otherwise directed and transmitted to the supplier or contractor or conveyed to an appropriate authority for transmission to the supplier or contractor by any reliable means specified in accordance with article 7 of this Law.9. 本条规定的通知书以本法第7条规定的任何可靠手段迅速、正确地发给或以其他方式交给或转给供应商或承包商时,或者交给有关机关转交供应商或承包商时,即为已经发出。
10. Upon the entry into force of the procurement contract and, if required, the provision by the supplier or contractor of a security for the performance of the contract, notice of the procurement contract shall be given promptly to other suppliers or contractors, specifying the name and address of the supplier or contractor that has entered into the contract and the contract price.10. 在采购合同生效并且供应商或承包商按要求提供履约担保时,即应迅速向其他供应商或承包商发出采购合同通知,列明已订立采购合同的供应商或承包商的名称和地址及合同价格。
Article 23第23条
Public notice of the award of a procurement contract or framework agreement采购合同和框架协议的授标公告
1. Upon the entry into force of the procurement contract or conclusion of a framework agreement, the procuring entity shall promptly publish notice of the award of the procurement contract or the framework agreement, specifying the name of the supplier (or suppliers) or contractor (or contractors) to which the procurement contract or the framework agreement was awarded and, in the case of procurement contracts, the contract price.1. 采购合同生效时或者订立框架协议时,采购实体应当迅速发布采购合同或框架协议的授标公告,列明被授予采购合同或框架协议的一个或多个供应商或承包商的名称,以及采购合同的合同价格。
2. Paragraph 1 is not applicable to awards where the contract price is less than the threshold amount set out in the procurement regulations.2. 本条第1款不适用于合同价格低于采购条例中列明的阀值的授标。
The procuring entity shall publish a cumulative notice of such awards from time to time but at least once a year.采购实体应当定期、累积发布此种授标的公告,每年至少一次。
3. The procurement regulations shall provide for the manner of publication of the notices required under this article.3. 采购条例应当就本条所要求的公告发布方式作出规定。
Article 24第24条
Confidentiality 1.保密
In its communications with suppliers or contractors or with any person, the procuring entity shall not disclose any information if non-disclosure of such information is necessary for the protection of essential security interests of the State or if disclosure of such information would be contrary to law, would impede law enforcement, would prejudice the legitimate commercial interests of the suppliers or contractors or would impede fair competition, unless disclosure of that information is ordered by the [name of the court or courts] or the [name of the relevant organ designated by the enacting State] and, in such case, subject to the conditions of such an order.1. 在采购实体与供应商或承包商的通信或者与任何人的通信中,如果不披露信息是保护国家基本安全利益所必需的,或者披露信息将违反法律、将妨碍执法、将损害供应商或承包商的正当商业权益,或者将妨碍公平竞争,则采购实体不得披露任何此种信息,除非[法院名称]或[颁布国指定的有关机关的名称]下令披露该信息,在此种情况下,该信息的披露须符合此种命令规定的条件。
2.
Other than when providing or publishing information pursuant to paragraphs 2 and 10 of article 22 and to articles 23, 25 and 42 of this Law, the procuring entity shall treat applications to pre-qualify or for pre-selection and submissions in such a manner as to avoid the disclosure of their contents to competing suppliers or contractors or to any other person not authorized to have access to this type of information.2. 除根据本法第22条第2款和第10款、第23条、第25条和第42条提供或发布信息之外,采购实体处理资格预审申请书、预选申请书和提交书,应当避免将其内容披露给其他竞标供应商或承包商,或未被允许接触此类信息的其他任何人。
3.
Any discussions, communications, negotiations or dialogue between the procuring entity and a supplier or contractor pursuant to paragraph 3 of article 48 and to articles 49 to 52 of this Law shall be confidential.3. 采购实体与供应商或承包商之间根据本法第48条第3款和第49条至第52条进行的任何讨论、通信、谈判和对话均应保密。
Unless required by law or ordered by the [name of the court or courts] or the [name of the relevant organ designated by the enacting State], no party to any such discussions, communications, negotiations or dialogue shall disclose to any other person any technical, price or other information relating to these discussions, communications, negotiations or dialogue without the consent of the other party.除非法律要求或者[法院名称]或[颁布国指定的有关机关的名称]下令,否则任何参与此种讨论、通信、谈判或对话的一方未经对方同意,不得向其他任何人披露与这些讨论、通信、谈判或对话有关的任何技术信息、价格信息或其他信息。
4. Subject to the requirements in paragraph 1 of this article, in procurement involving classified information, the procuring entity may:4. 在不违反本条第1款的要求的情况下,采购涉及机密信息的,采购实体可以:
(a) Impose on suppliers or contractors requirements aimed at protecting classified information;(a) 对供应商或承包商规定旨在保护机密信息的要求;并且
and
(b) Demand that suppliers or contractors ensure that their sub-contractors comply with requirements aimed at protecting classified information.(b) 要求供应商或承包商确保其分包商遵守旨在保护机密信息的要求。
Article 25第25条
Documentary record of procurement proceedings采购程序的书面记录
1. The procuring entity shall maintain a record of the procurement proceedings that includes the following information:1. 采购实体应当保持采购程序记录,其中应包括下列内容:
(a) A brief description of the subject matter of the procurement;(a) 采购标的简要说明;
(b) The names and addresses of suppliers or contractors that presented submissions, the name and address of the supplier (or suppliers) or contractor (or contractors) with which the procurement contract is entered into and the contract price (and, in the case of a framework agreement procedure, the name and address of the supplier (or suppliers) or contractor (or contractors) with which the framework agreement is concluded);(b) 递交了提交书的供应商或承包商的名称和地址,以及订立了采购合同的供应商或承包商的名称和地址及合同价格(使用框架协议程序的,还有订立框架协议的供应商或承包商的名称和地址);
(c) A statement of the reasons and circumstances relied upon by the procuring entity for the decision as regards means of communication and any requirement of form;(c) 关于采购实体就通信手段和任何形式要求作出的决定所依据的理由和情形的说明;
(d) In procurement proceedings in which the procuring entity, in accordance with article 8 of this Law, limits the participation of suppliers or contractors, a statement of the reasons and circumstances relied upon by the procuring entity for imposing such a limit;(d) 采购实体根据本法第8条限制供应商或承包商参加采购程序的,关于采购实体规定此种限制所依据的理由和情形的说明;
(e) If the procuring entity uses a method of procurement other than open tendering, a statement of the reasons and circumstances relied upon by the procuring entity to justify the use of such other method;(e) 采购实体使用公开招标以外的其他采购方法的,关于采购实体使用此种其他方法所依据的理由和情形的说明;
(f) In the case of procurement by means of an electronic reverse auction or involving an electronic reverse auction as a phase preceding the award of the procurement contract, a statement of the reasons and circumstances relied upon by the procuring entity for the use of the auction and information about the date and time of the opening and closing of the auction;(f) 采购使用电子逆向拍卖方式的,或者采购涉及作为授予采购合同之前的一个阶段的电子逆向拍卖的,关于采购实体使用此种拍卖所依据的理由和情形的说明以及关于拍卖启迄日期和时间的信息;
(g) In the case of a framework agreement procedure, a statement of the reasons and circumstances upon which it relied to justify the use of a framework agreement procedure and the type of framework agreement selected;(g) 使用框架协议程序的,关于采购实体使用框架协议程序和所选择的框架协议类型所依据的理由和情形的说明;
(h) If the procurement is cancelled pursuant to paragraph 1 of article 19 of this Law, a statement to that effect and the reasons and circumstances relied upon by the procuring entity for its decision to cancel the procurement;(h) 根据本法第19条第1款取消采购的,关于这方面和采购实体作出取消采购的决定所依据的理由和情形的说明;
(i) If any socio-economic policies were considered in the procurement proceedings, details of such policies and the manner in which they were applied;(i) 采购程序中考虑任何社会经济政策的,关于这些政策及其适用方式的详细说明;
(j) If no standstill period was applied, a statement of the reasons and circumstances relied upon by the procuring entity in deciding not to apply a standstill period;(j) 未适用停顿期的,关于采购实体决定不适用停顿期所依据的理由和情形的说明;
(k) In the case of a challenge or appeal under chapter VIII of this Law, a copy of the application for reconsideration or review and the appeal, as applicable, and a copy of all decisions taken in the relevant challenge or appeal proceedings, or both, and the reasons therefor;(k) 根据本法第八章提出质疑或上诉的,重新审议申请书副本或复议申请书副本以及上诉书副本(酌情适用),以及在相关质疑程序或上诉程序中或者在这两种程序中作出的所有决定的副本及其理由;
(l) A summary of any requests for clarification of the pre-qualification or pre-selection documents, if any, or of the solicitation documents and the responses thereto, as well as a summary of any modifications to those documents;(l) 有资格预审文件或预选文件的,关于澄清资格预审文件、预选文件或招标文件的任何请求及相应答复的概要,以及这些文件所作任何修改的概要;
(m) Information relative to the qualifications, or lack thereof, of suppliers or contractors that presented applications to pre-qualify or for pre-selection, if any, or submissions;(m) 有资格预审申请或预选申请的,关于递交了资格预审申请书、预选申请书或提交书的供应商或承包商具备资格或缺乏资格的资料;
(n) If a submission is rejected pursuant to article 20 of this Law, a statement to that effect and the reasons and circumstances relied upon by the procuring entity for its decision;(n) 根据本法第20条否决提交书的,关于这方面和采购实体作出决定所依据的理由和情形的说明;
(o) If a supplier or contractor is excluded from the procurement proceedings pursuant to article 21 of this Law, a statement to that effect and the reasons and circumstances relied upon by the procuring entity for its decision;(o) 根据本法第21条将供应商或承包商排除在采购程序之外的,关于这方面和采购实体作出决定所依据的理由和情形的说明;
(p) A copy of the notice of the standstill period given in accordance with paragraph 2 of article 22 of this Law;(p) 根据本法第22条第2款发出的停顿期通知书的副本;
(q) If the procurement proceedings resulted in the award of a procurement contract in accordance with paragraph 8 of article 22 of this Law, a statement to that effect and of the reasons therefor;(q) 根据本法第22条第8款,采购程序导致授予采购合同的,关于这方面及其理由的说明;
(r) The contract price and other principal terms and conditions of the procurement contract; where a written procurement contract has been concluded, a copy thereof. (In the case of a framework agreement procedure, in addition a summary of the principal terms and conditions of the framework agreement or a copy of any written framework agreement that was concluded);(r) 合同价格以及采购合同其他主要条款和条件;已订立书面采购合同的,合同书副本。(使用框架协议程序的,还有框架协议主要条款和条件概要,或者所订立的任何书面框架协议副本);
(s) For each submission, the price and a summary of the other principal terms and conditions;(s) 每项提交书的价格,以及其他主要条款和条件概要;
(t) A summary of the evaluation of submissions, including the application of any preference pursuant to paragraph 3 (b) of article 11 of this Law, and the reasons and circumstances on which the procuring entity relied to justify any rejection of bids presented during the auction;(t) 提交书评审概要,包括根据本法第11条第3款(b)项给予的任何优惠,以及采购实体否决拍卖期间提出的任何出价所依据的理由和情形;
(u) Where exemptions from disclosure of information were invoked under paragraph 1 of article 24 or under article 69 of this Law, the reasons and circumstances relied upon in invoking them;(u) 根据本法第24条第1款或者根据第69条援用信息披露条款除外情形的,援用除外情形所依据的理由和情形;
(v) In procurement involving classified information, any requirements imposed on suppliers or contractors for the protection of classified information pursuant to paragraph 4 of article 24 of this Law;(v) 采购涉及机密信息的,根据本法第24条第4款对承包商或供应商规定的任何保护机密信息的要求;和
and
(w) Other information required to be included in the record in accordance with the provisions of this Law or the procurement regulations.(w) 根据本法规定或采购条例应载入记录的其他内容。
2. The portion of the record referred to in subparagraphs (a) to (k) of paragraph 1 of this article shall, on request, be made available to any person after the successful submission has been accepted or the procurement has been cancelled.2. 本条第1款(a)项至(k)项述及的记录部分,应当在中选提交书被接受后,或者在采购被取消后,提供给请求得到此种记录的任何人。
3.
Subject to paragraph 4 of this article, or except as disclosed pursuant to paragraph 3 of article 42 of this Law, the portion of the record referred to in subparagraphs (p) to (t) of paragraph 1 of this article shall, after the decision on acceptance of the successful submission has become known to them, be made available, upon request, to suppliers or contractors that presented submissions.3. 在不违反本条第4款的情况下,或者除本法第42条第3款规定的披露外,本条第1款(p)项至(t)项述及的记录部分,应当在关于中选提交书被接受的决定已为递交了提交书的供应商或承包商知悉后,根据请求提供给这些供应商或承包商。
4. Except when ordered to do so by the [name of court or courts] or the [name of the relevant organ designated by the enacting State], and subject to the conditions of such an order, the procuring entity shall not disclose:4. 除[法院名称]或[颁布国指定的有关机关的名称]下令并按此种命令规定的条件予以披露外,采购实体不得披露:
(a) Information from the record of the procurement proceedings if its non-disclosure is necessary for the protection of essential security interests of the State or if its disclosure would be contrary to law, would impede law enforcement, would prejudice the legitimate commercial interests of the suppliers or contractors or would impede fair competition;(a) 采购程序记录内的信息,不披露此种信息是保护国家基本安全利益所必需,或者披露此种信息将违反法律、将妨碍执法、将损害供应商或承包商的正当商业权益,或者将妨碍公平竞争;
(b) Information relating to the examination and evaluation of submissions, other than the summary referred to in subparagraph (t) of paragraph 1 of this article.(b) 与提交书审查和评审有关的资料,但本条第1款(t)项述及的概要除外。
5. The procurement entity shall record, file and preserve all documents relating to the procurement proceedings, according to procurement regulations or other provisions of law of this State.5. 采购实体应当根据本国采购条例或其他法律规定,记录、归档并保存与采购程序有关的一切文件。
Article 26第26条
Code of conduct行为守则
A code of conduct for officers or employees of procuring entities shall be enacted. It shall address, inter alia, the prevention of conflicts of interest in procurement and, where appropriate, measures to regulate matters regarding personnel responsible for procurement, such as declarations of interest in particular procurements, screening procedures and training requirements. The code of conduct so enacted shall be promptly made accessible to the public and systematically maintained.应当颁布采购实体官员或雇员行为守则。行为守则除其他事项外,应当涉及防止采购中的利益冲突,并酌情涉及规范采购负责人员相关事项的措施,例如,特定采购中的利益关系申明、筛选程序和培训要求。所颁布的此种行为守则应可迅速供公众查取并加以系统保持。
Chapter II. Methods of procurement and their conditions for use;第二章 采购方法及其使用条件;
solicitation and notices of the procurement招标办法以及采购通知
Section I. Methods of procurement and their conditions for use第一节 采购方法及其使用条件
Article 27第27条
Methods of procurement采购方法
1. The procuring entity may conduct procurement by means of:1. 采购实体可以通过下列方式进行采购:
(a) Open tendering;(a) 公开招标;
(b) Restricted tendering;(b) 限制性招标;
(c) Request for quotations;(c) 询价;
(d) Request for proposals without negotiation;(d) 不通过谈判征求建议书;
(e) Two-stage tendering;(e) 两阶段招标;
(f) Request for proposals with dialogue;(f) 通过对话征求建议书;
(g) Request for proposals with consecutive negotiations;(g) 通过顺序谈判征求建议书;
(h) Competitive negotiations;(h) 竞争性谈判。
(i) Electronic reverse auction;(i) 电子逆向拍卖;和
and
(j) Single-source procurement.(j) 单一来源采购。
2. The procuring entity may engage in a framework agreement procedure in accordance with the provisions of chapter VIIof this Law.2. 采购实体可以根据本法第七章的规定进行框架协议程序。
Article 28第28条
General rules applicable to the selection of a procurement method适用于选择采购方法的一般规则
1. Except as otherwise provided for in articles 29 to 31 of this Law, a procuring entity shall conduct procurement by means of open tendering.1. 除本法第29条至第31条另有规定外,采购实体应当通过公开招标方式进行采购。
2. A procuring entity may use a method of procurement other than open tendering only in accordance with articles 29 to 31 of this Law, shall select the other method of procurement to accommodate the circumstances of the procurement concerned and shall seek to maximize competition to the extent practicable.2. 采购实体可以使用公开招标以外的其他采购方法,但只能是本法第29条至第31条规定的采购方法,对此种其他采购方法的选择应当顾及有关采购的情形,并应当在实际可行的限度内求得最大程度的竞争。
3. If the procuring entity uses a method of procurement other than open tendering, it shall include in the record required under article 25 of this Law a statement of the reasons and circumstances upon which it relied to justify the use of that method.3. 采购实体使用公开招标以外的其他采购方法,应当在本法第25条要求的记录中载列关于采购实体使用此种方法所依据的理由和情形的说明。
Article 29第29条
Conditions for the use of methods of procurement under chapter IV of this Law (restricted tendering, requests for quotations and requests for proposals without negotiation)本法第四章采购方法(限制性招标、询价、不通过谈判征求建议书)的使用条件
1. The procuring entity may engage in procurement by means of restricted tendering in accordance with article 45 of this Law when:1. 符合下列条件的,采购实体可以根据本法第45条使用限制性招标方式进行采购:
(a) The subject matter of the procurement, by reason of its highly complex or specialized nature, is available only from a limited number of suppliers or contractors;(a) 采购标的因其高度复杂性或专门性只能从数目有限的供应商或承包商处获得;或者
or
(b) The time and cost required to examine and evaluate a large number of tenders would be disproportionate to the value of the subject matter of the procurement.(b) 审查和评审大量投标书所需要的时间和费用与采购标的价值不成比例。
2. A procuring entity may engage in procurement by means of a request for quotations in accordance with article 46 of this Law for the procurement of readily available goods or services that are not specially produced or provided to the particular description of the procuring entity and for which there is an established market, so long as the estimated value of the procurement contract is less than the threshold amount set out in the procurement regulations.2. 所采购的现成货物或服务并非按采购实体特定说明专门生产或提供,并且已有固定市场的,采购实体可以根据本法第46条使用询价方式进行采购,但采购合同的估计价值必须低于采购条例列明的阀值。
3. The procuring entity may engage in procurement by means of request for proposals without negotiation in accordance with article 47 of this Law where the procuring entity needs to consider the financial aspects of proposals separately and only after completion of examination and evaluation of the quality and technical aspects of the proposals.3. 采购实体需要在建议书的质量和技术方面审查和评审完成之后才对建议书的财务方面单独进行审议的,采购实体可以根据本法第47条使用不通过谈判征求建议书的方式进行采购。
Article 30第30条
Conditions for the use of methods of procurement under chapter V of this Law (two-stage tendering, requests for proposals with dialogue, requests for proposals with consecutive negotiations, competitive negotiations and single-source procurement)本法第五章采购方法(两阶段招标、通过对话征求建议书、通过顺序谈判征求建议书、竞争性谈判、单一来源采购)的使用条件
1. A procuring entity may engage in procurement by means of two-stage tendering in accordance with article 48 of this Law where:1. 有下列情形之一的,采购实体可以根据本法第48条使用两阶段招标的方式进行采购:
(a) The procuring entity assesses that discussions with suppliers or contractors are needed to refine aspects of the description of the subject matter of the procurement and to formulate them with the detail required under article 10 of this Law, and in order to allow the procuring entity to obtain the most satisfactory solution to its procurement needs;(a) 采购实体经评价认定,为了使采购实体的采购需要达致最满意的解决,需要与供应商或承包商进行讨论,细化采购标的说明的各个方面,并按照本法第10条要求的详细程度拟订采购标的说明;或者
or
(b) Open tendering was engaged in but no tenders were presented or the procurement was cancelled by the procuring entity pursuant to paragraph 1 of article 19 of this Law and where, in the judgement of the procuring entity, engaging in new open-tendering proceedings or a procurement method under chapter IV of this Law would be unlikely to result in a procurement contract.(b) 进行了公开招标而无人投标,或者采购实体根据本法第19条第1款取消了采购,并且根据采购实体的判断,进行新的公开招标程序或者使用本法第四章采购方法将不可能产生采购合同。
2. [Subject to approval by the [name of the organ designated by the enacting State to issue the approval]], a procuring entity may engage in procurement by means of request for proposals with dialogue in accordance with article 49 of this Law where:2. [经[颁布国指定的审批机关的名称]批准],有下列情形之一的,采购实体可以根据本法第49条使用通过对话征求建议书的方式进行采购:
(a) It is not feasible for the procuring entity to formulate a detailed description of the subject matter of the procurement in accordance with article 10 of this Law, and the procuring entity assesses that dialogue with suppliers or contractors is needed to obtain the most satisfactory solution to its procurement needs;(a) 采购实体根据本法第10条拟订采购标的详细说明不可行,而且采购实体经评价认定需要与供应商或承包商对话才能使其采购需要达致最满意的解决;
(b) The procuring entity seeks to enter into a contract for the purpose of research, experiment, study or development, except where the contract includes the production of items in quantities sufficient to establish their commercial viability or to recover research and development costs;(b) 采购实体寻求为科研、实验、研究或开发目的订立一项合同,但合同所涉货品产量足以确立该货品的商业可行性或足以收回研发费用的除外;
(c) The procuring entity determines that the selected method is the most appropriate method of procurement for the protection of essential security interests of the State;(c) 采购实体认定,所选择的方法是最适合保护国家基本安全利益的采购方法;或者
or
(d) Open tendering was engaged in but no tenders were presented or the procurement was cancelled by the procuring entity pursuant to paragraph 1 of article 19 of this Law and where, in the judgement of the procuring entity, engaging in new open-tendering proceedings or a procurement method under chapter IV of this Law would be unlikely to result in a procurement contract.(d) 进行了公开招标而无人投标,或者采购实体根据本法第19条第1款取消了采购,并且根据采购实体的判断,进行新的公开招标程序或者使用本法第四章采购方法将不可能产生采购合同。
3.
A procuring entity may engage in procurement by means of request for proposals with consecutive negotiations in accordance with article 50 of this Law where the procuring entity needs to consider the financial aspects of proposals separately and only after completion of examination and evaluation of the quality and technical aspects of the proposals, and it assesses that consecutive negotiations with suppliers or contractors are needed in order to ensure that the financial terms and conditions of the procurement contract are acceptable to the procuring entity.3. 采购实体需要在建议书的质量和技术方面审查和评审完成之后才对建议书的财务方面单独进行审查,而且采购实体经评价认定需要与供应商或承包商进行顺序谈判才能确保采购合同的财务条款和条件为采购实体接受的,采购实体可以根据本法第50条使用通过顺序谈判征求建议书的方式进行采购。
4. A procuring entity may engage in competitive negotiations, in accordance with the provisions of article 51 of this Law, in the following circumstances:4. 在下列情况下,采购实体可以根据本法第51条的规定进行竞争性谈判:
(a) There is an urgent need for the subject matter of the procurement, and engaging in open-tendering proceedings or any other competitive method of procurement, because of the time involved in using those methods, would therefore be impractical, provided that the circumstances giving rise to the urgency were neither foreseeable by the procuring entity nor the result of dilatory conduct on its part;(a) 对采购标的存在紧迫需要,使用公开招标程序或者其他任何竞争性采购方法都将因使用这些方法所涉及的时间而不可行,条件是,造成此种紧迫性的情形既非采购实体所能预见,也非采购实体办事拖延所致;
(b) Owing to a catastrophic event, there is an urgent need for the subject matter of the procurement, making it impractical to use open-tendering proceedings or any other competitive method of procurement because of the time involved in using those methods;(b) 由于灾难性事件而对采购标的存在紧迫需要,使用公开招标程序或者其他任何竞争性采购方法都将因使用这些方法所涉及的时间而不可行;或者
or
(c) The procuring entity determines that the use of any other competitive method of procurement is not appropriate for the protection of essential security interests of the State.(c) 采购实体认定,使用其他任何竞争性采购方法均不适合保护国家基本安全利益。
5. A procuring entity may engage in single-source procurement in accordance with the provisions of article 52 of this Law in the following exceptional circumstances:5. 在下列特殊情况下,采购实体可以根据本法第52条的规定进行单一来源采购:
(a) The subject matter of the procurement is available only from a particular supplier or contractor, or a particular supplier or contractor has exclusive rights in respect of the subject matter of the procurement, such that no reasonable alternative or substitute exists, and the use of any other procurement method would therefore not be possible;(a) 采购标的只能从某一供应商或承包商获得,或者某一供应商或承包商拥有与采购标的相关的专属权,所以不存在其他合理选择或替代物,并且因此不可能使用其他任何采购方法;
(b) Owing to a catastrophic event, there is an extremely urgent need for the subject matter of the procurement, and engaging in any other method of procurement would be impractical because of the time involved in using those methods;(b) 由于灾难性事件而对采购标的存在极端紧迫需要,使用其他任何采购方法都将因使用这些方法所涉及的时间而不可行;
(c) The procuring entity, having procured goods, equipment, technology or services from a supplier or contractor, determines that additional supplies must be procured from that supplier or contractor for reasons of standardization or because of the need for compatibility with existing goods, equipment, technology or services, taking into account the effectiveness of the original procurement in meeting the needs of the procuring entity, the limited size of the proposed procurement in relation to the original procurement, the reasonableness of the price and the unsuitability of alternatives to the goods or services in question;(c) 采购实体原先向某一供应商或承包商采购货物、设备、技术或服务的,现因为标准化或者由于需要与现有货物、设备、技术或服务配套,在考虑到原先采购能有效满足采购实体需要、拟议采购与原先采购相比规模有限、价格合理且另选其他货物或服务代替不合适的情况下,采购实体认定必须从原供应商或承包商添购供应品;
(d) The procuring entity determines that the use of any other method of procurement is not appropriate for the protection of essential security interests of the State;(d) 采购实体认定,使用其他任何采购方法均不适合保护国家基本安全利益;或者
or
(e) [Subject to approval by the [name of the organ designated by the enacting State to issue the approval] and,] following public notice and adequate opportunity to comment, procurement from a particular supplier or contractor is necessary in order to implement a socio-economic policy of this State, provided that procurement from no other supplier or contractor is capable of promoting that policy.(e) 向某一供应商或承包商采购系实施本国社会经济政策所必需,条件是向其他任何供应商或承包商采购不能促进该政策,但须[经[颁布国指定的审批机关的名称]批准,并且]事先发布公告并有充分机会进行评议。
Article 31第31条
Conditions for use of an electronic reverse auction电子逆向拍卖的使用条件
1. A procuring entity may engage in procurement by means of an electronic reverse auction in accordance with the provisions of chapter VI of this Law, under the following conditions:1. 符合下列条件的,采购实体可以根据本法第六章的规定使用电子逆向拍卖方式进行采购:
(a) It is feasible for the procuring entity to formulate a detailed description of the subject matter of the procurement;(a) 采购实体拟订采购标的详细说明是可行的;
(b) There is a competitive market of suppliers or contractors anticipated to be qualified to participate in the electronic reverse auction, such that effective competition is ensured;(b) 存在着供应商或承包商的竞争市场,预期有资格的供应商或承包商将参加电子逆向拍卖,从而可确保有效竞争;并且
and
(c) The criteria to be used by the procuring entity in determining the successful submission are quantifiable and can be expressed in monetary terms.(c) 采购实体确定中选提交书所使用的标准可以量化,且可用金额表示。
2. A procuring entity may use an electronic reverse auction as a phase preceding the award of the procurement contract in a procurement method, as appropriate under the provisions of this Law.2. 采购实体可以在根据本法规定酌情使用的采购方法中,使用作为授予采购合同前的一个阶段的电子逆向拍卖。
It may also use an electronic reverse auction for award of a procurement contract in a framework agreement procedure with second-stage competition in accordance with the provisions of this Law.采购实体还可以根据本法的规定,在有第二阶段竞争的框架协议程序中为授予采购合同而使用电子逆向拍卖。
An electronic reverse auction under this paragraph may be used only where the conditions of paragraph 1 (c) of this article are satisfied.只有满足本条第1款(c)项规定的条件,才可使用本款规定的电子逆向拍卖。
Article 32第32条
Conditions for use of a framework agreement procedure框架协议程序的使用条件
1. A procuring entity may engage in a framework agreement procedure in accordance with chapter VIIof this Law where it determines that:1. 采购实体认定有下列情形之一的,可以根据本法第七章进行框架协议程序:
(a) The need for the subject matter of the procurement is expected to arise on an indefinite or repeated basis during a given period of time;(a) 对采购标的的需要预计将在某一特定时期内不定期出现或重复出现;或者
or
(b) By virtue of the nature of the subject matter of the procurement, the need for that subject matter may arise on an urgent basis during a given period of time.(b) 由于采购标的的性质,对该采购标的的需要可能在某一特定时期内在紧急情况下出现。
2. The procuring entity shall include in the record required under article 25 of this Law a statement of the reasons and circumstances upon which it relied to justify the use of a framework agreement procedure and the type of framework agreement selected.2. 采购实体应当在本法第25条要求的记录中载列关于采购实体使用框架协议程序和所选择的框架协议类型所依据的理由和情形的说明。
Section II. Solicitation and notices of the procurement第二节 招标办法以及采购通知
Article 33第33条
Solicitation in open tendering, two-stage tendering and procurement by means of an electronic reverse auction公开招标、两阶段招标和使用电子逆向拍卖方式的采购中的招标办法
1. An invitation to tender in open tendering or two-stage tendering and an invitation to an electronic reverse auction under article 53 of this Law shall be published in the publication identified in the procurement regulations.1. 应当在采购条例所确定的出版物上登载公开招标或两阶段招标的投标邀请书以及本法第53条规定的电子逆向拍卖的邀请书。
2. The invitation shall also be published internationally, so as to be widely accessible to international suppliers or contractors.2. 还应当在国际上登载此种邀请书,以便使国际供应商或承包商能够广泛查取。
3. The provisions of this article shall not apply where the procuring entity engages in pre-qualification proceedings in accordance with article 18 of this Law.3. 采购实体根据本法第18条进行资格预审程序的,本条规定不适用。
4. The procuring entity shall not be required to cause the invitation to be published in accordance with paragraph 2 of this article in domestic procurement and in procurement proceedings where the procuring entity decides, in view of the low value of the subject matter of the procurement, that only domestic suppliers or contractors are likely to be interested in presenting submissions.4. 在国内采购中,以及在采购实体鉴于采购标的价值低而确定只有国内供应商或承包商才可能有兴趣递交提交书的采购程序中,不应要求采购实体根据本条第2款登载此种邀请书。
Article 34第34条
Solicitation in restricted tendering, request for quotations, competitive negotiations and single-source procurement: requirement for an advance notice of the procurement限制性招标、询价、竞争性谈判和单一来源采购中的招标办法:采购预告要求
1. (a) When the procuring entity engages in procurement by means of restricted tendering on the grounds specified in paragraph 1 (a) of article 29 of this Law, it shall solicit tenders from all suppliers and contractors from which the subject matter of the procurement is available;1. (a) 采购实体基于本法第29条第1款(a)项规定的理由使用限制性招标方式进行采购的,应当向所有能够提供采购标的的供应商和承包商征求投标书;
(b) When the procuring entity engages in procurement by means of restricted tendering on the grounds specified in paragraph 1 (b) of article 29 of this Law, it shall select suppliers or contractors from which to solicit tenders in a non-discriminatory manner, and it shall select a sufficient number of suppliers or contractors to ensure effective competition.(b) 采购实体基于本法第29条第1款(b)项规定的理由使用限制性招标方式进行采购的,应当以不歧视方式挑选向其征求投标书的供应商或承包商,并应当为确保有效竞争而挑选足够数目的供应商或承包商。
2.
Where the procuring entity engages in procurement by means of request for quotations in accordance with paragraph 2 of article 29 of this Law, it shall request quotations from as many suppliers or contractors as practicable, but from at least three.2. 采购实体根据本法第29条第2款使用询价方式进行采购的,应当在可行范围内向更多供应商或承包商询价,至少应向三个供应商或承包商询价。
3. Where the procuring entity engages in procurement by means of competitive negotiations in accordance with paragraph 4 of article 30 of this Law, it shall engage in negotiations with a sufficient number of suppliers or contractors to ensure effective competition.3. 采购实体根据本法第30条第4款使用竞争性谈判方式进行采购的,应当为确保有效竞争而与足够数目的供应商或承包商进行谈判。
4. Where the procuring entity engages in single-source procurement in accordance with paragraph 5 of article 30 of this Law, it shall solicit a proposal or price quotation from a single supplier or contractor.4. 采购实体根据本法第30条第5款进行单一来源采购的,应当向单一供应商或承包商征求建议书或者征求报价。
5. Prior to direct solicitation in accordance with the provisions of paragraphs 1, 3 and 4 of this article, the procuring entity shall cause a notice of the procurement to be published in the publication identified in the procurement regulations.5. 在根据本条第1款、第3款和第4款的规定直接招标之前,采购实体应当在采购条例所确定的出版物上发布采购公告。
The notice shall contain at a minimum the following information:采购公告应当至少包含下列内容:
(a) The name and address of the procuring entity;(a) 采购实体的名称和地址;
(b) A summary of the principal required terms and conditions of the procurement contract or the framework agreement to be entered into in the procurement proceedings, including the nature, quantity and place of delivery of the goods to be supplied, the nature and location of the construction to be effected or the nature of the services and the location where they are to be provided, as well as the desired or required time for the supply of the goods, the completion of the construction or the provision of the services;(b) 采购程序中拟订立采购合同或框架协议的主要必要条款和条件的概要,包括所需供应货物的性质、数量和交货地,拟实施工程的性质和地点,或者服务性质和服务提供地,以及希望或要求的供货时间、竣工时间或提供服务时间;
(c) A declaration pursuant to article 8 of this Law;(c) 根据本法第8条作出的声明;和
and
(d) The method of procurement to be used.(d) 拟使用的采购方法。
6. The requirements of paragraph 5 of this article shall not apply in cases of urgent need as referred to in paragraphs 4 (a), 4 (b) and 5 (b) of article 30 of this Law.6. 在出现本法第30条第4款(a)项、第4款(b)项和第5款(b)项述及的紧迫需要时,本条第5款的要求不适用。
Article 35第35条
Solicitation in request-for-proposals proceedings征求建议书程序中的招标办法
1. An invitation to participate in request-for-proposals proceedings shall be published in accordance with paragraphs 1 and 2 of article 33 of this Law, except where:1. 应当根据本法第33条第1款和第2款登载参加征求建议书程序的邀请书,但下列情形除外:
(a) The procuring entity engages in pre-qualification proceedings in accordance with article 18 of this Law or in pre-selection proceedings in accordance with paragraph 3 of article 49 of this Law;(a) 采购实体根据本法第18条进行资格预审程序或者根据本法第49条第3款进行预选程序的;
(b) The procuring entity engages in direct solicitation under the conditions set out in paragraph 2 of this article;(b) 符合本条第2款规定的条件,采购实体使用直接招标办法的;或者
or
(c) The procuring entity decides not to cause the invitation to be published in accordance with paragraph 2 of article 33 of this Law in the circumstances referred to in paragraph 4 of article 33 of this Law.(c) 在本法第33条第4款述及的情况下,采购实体决定不根据本法第33条第2款登载邀请书的。
2. The procuring entity may engage in direct solicitation in request-for-proposals proceedings if:2. 在下列条件下,采购实体可以在征求建议书程序中使用直接招标办法:
(a) The subject matter to be procured is available from only a limited number of suppliers or contractors, provided that the procuring entity solicits proposals from all those suppliers or contractors;(a) 只有数目有限的供应商或承包商能够提供拟采购标的,但采购实体须向所有这些供应商或承包商征求建议书;
(b) The time and cost required to examine and evaluate a large number of proposals would be disproportionate to the value of the subject matter to be procured, provided that the procuring entity solicits proposals from a sufficient number of suppliers or contractors to ensure effective competition and selects suppliers or contractors from which to solicit proposals in a non-discriminatory manner;(b) 审查和评审大量建议书所需要的时间和费用与拟采购标的的价值不成比例,但采购实体须为确保有效竞争而向足够数目的供应商或承包商征求建议书,并应当以不歧视方式挑选向其征求建议书的供应商或承包商;或者
or
(c) The procurement involves classified information, provided that the procuring entity solicits proposals from a sufficient number of suppliers or contractors to ensure effective competition.(c) 采购涉及机密信息,但采购实体须为确保有效竞争而向足够数目的供应商或承包商征求建议书。
3. The procuring entity shall include in the record required under article 25 of this Law a statement of the reasons and circumstances upon which it relied to justify the use of direct solicitation in request-for-proposals proceedings.3. 采购实体应当在本法第25条要求的记录中载列关于采购实体在征求建议书程序中使用直接招标办法所依据的理由和情形的说明。
4. The procuring entity shall cause a notice of the procurement to be published in accordance with the requirements set out in paragraph 5 of article 34 of this Law when it engages in direct solicitation in request-for-proposals proceedings.4. 采购实体在征求建议书程序中使用直接招标办法的,应当根据本法第34条第5款列明的要求发布采购公告。
Chapter III. Open tendering第三章 公开招标
Section I.Solicitation of tenders第一节 征求投标书
Article 36第36条
Procedures for soliciting tenders征求投标书程序
The procuring entity shall solicit tenders by causing an invitation to tender to be published in accordance with the provisions of article 33 of this Law.采购实体应当根据本法第33条的规定,通过登载投标邀请书征求投标书。
Article 37第37条
Contents of invitation to tender投标邀请书的内容
The invitation to tender shall include the following information:投标邀请书应当包括下列内容:
(a) The name and address of the procuring entity;(a) 采购实体的名称和地址;
(b) A summary of the principal required terms and conditions of the procurement contract to be entered into as a result of the procurement proceedings, including the nature, quantity and place of delivery of the goods to be supplied, the nature and location of the construction to be effected or the nature of the services and the location where they are to be provided, as well as the desired or required time for the supply of the goods, the completion of the construction or the provision of the services;(b) 采购程序中拟订立采购合同的主要必要条款和条件的概要,包括所需供应货物的性质、数量和交货地,拟实施工程的性质和地点,或者服务性质和服务提供地,以及希望或要求的供货时间、竣工时间或提供服务时间;
(c) A summary of the criteria and procedures to be used for ascertaining the qualifications of suppliers or contractors, and of any documentary evidence or other information that must be submitted by suppliers or contractors to demonstrate their qualifications, in conformity with article 9 of this Law;(c) 关于符合本法第9条规定的用以确定供应商或承包商资格的标准和程序的概要,以及关于供应商或承包商证明其资质必须提交的任何书面证据或其他资料的概要;
(d) A declaration pursuant to article 8 of this Law;(d) 根据本法第8条作出的声明;
(e) The means of obtaining the solicitation documents and the place where they may be obtained;(e) 招标文件的索取方式和索取地点;
(f) The price, if any, to be charged by the procuring entity for the solicitation documents;(f) 采购实体对招标文件收取的任何费用;
(g) If a price is to be charged for the solicitation documents, the means and currency of payment;(g) 招标文件收费的,付费方式和付费币种;
(h) The language or languages in which the solicitation documents are available;(h) 招标文件所使用的一种或几种语文;
(i) The manner, place and deadline for presenting tenders.(i) 投标书的递交方式、地点和截止时间。
Article 38第38条
Provision of solicitation documents招标文件的提供
The procuring entity shall provide the solicitation documents to each supplier or contractor that responds to the invitation to tender in accordance with the procedures and requirements specified therein. If pre-qualification proceedings have been engaged in, the procuring entity shall provide a set of solicitation documents to each supplier or contractor that has been pre-qualified and that pays the price, if any, charged for those documents. The price that the procuring entity may charge for the solicitation documents shall reflect only the cost of providing them to suppliers or contractors.供应商或承包商凡是按照投标邀请书中列明的程序和要求对投标邀请书作出答复的,采购实体均应向其提供招标文件。已经进行资格预审程序的,采购实体应当向通过了资格预审并支付了可能对招标文件收取的费用的每一个供应商或承包商提供一套招标文件。采购实体对招标文件的收费价格,只能是向供应商或承包商提供招标文件的工本费。
Article 39第39条
Contents of solicitation documents招标文件的内容
The solicitation documents shall include the following information:招标文件应当包括下列内容:
(a) Instructions for preparing tenders;(a) 投标书编写说明;
(b) The criteria and procedures, in conformity with the provisions of article 9 of this Law, that will be applied in the ascertainment of the qualifications of suppliers or contractors and in any further demonstration of qualifications pursuant to paragraph 5 of article 43 of this Law;(b) 确定供应商或承包商资格以及根据本法第43条第5款要求进一步证明资格将适用的符合本法第9条规定的标准和程序;
(c) The requirements as to documentary evidence or other information that must be presented by suppliers or contractors to demonstrate their qualifications;(c) 关于供应商或承包商证明其资质必须提交的书面证据或其他资料的要求;
(d) A detailed description of the subject matter of the procurement, in conformity with article 10 of this Law; the quantity of the goods; the services to be performed; the location where the goods are to be delivered, construction is to be effected or services are to be provided;(d) 符合本法第10条规定的采购标的详细说明,货物数量,拟提供的服务,交货地、施工地或服务提供地,以及任何希望或要求的交货时间、施工时间或提供服务时间;
and the desired or required time, if any, when goods are to be delivered, construction is to be effected or services are to be provided;
(e) The terms and conditions of the procurement contract, to the extent that they are already known to the procuring entity, and the form of the contract, if any, to be signed by the parties;(e) 采购合同条款和条件(以采购实体知道者为限),以及将由各方当事人签署的任何合同表格;
(f) If alternatives to the characteristics of the subject matter of the procurement, the contractual terms and conditions or other requirements set out in the solicitation documents are permitted, a statement to that effect and a description of the manner in which alternative tenders are to be evaluated;(f) 允许除招标文件列明者之外另列采购标的特点、合同条款和条件或其他要求的,就此作出的说明以及关于备选投标书评审办法的说明;
(g) If suppliers or contractors are permitted to present tenders for only a portion of the subject matter of the procurement, a description of the portion or portions for which tenders may be presented;(g) 允许供应商或承包商只对采购标的某一部分投标的,对可投标部分作出的说明;
(h) The manner in which the tender price is to be formulated and expressed, including a statement as to whether the price is to cover elements other than the cost of the subject matter of the procurement itself, such as any applicable transportation and insurance charges, customs duties and taxes;(h) 投标价格的拟订和表示方式,包括关于该价格除采购标的本身费用之外是否包含其他要素的说明,例如,任何适用的运费、保险费、关税和其他税项;
(i) The currency or currencies in which the tender price is to be formulated and expressed;(i) 拟订和表示投标价格所使用的一种或几种货币;
(j) The language or languages, in conformity with article 13 of this Law, in which tenders are to be prepared;(j) 编写投标书所使用的符合本法第13条规定的一种或几种语文;
(k) Any requirements of the procuring entity with respect to the issuer and the nature, form, amount and other principal terms and conditions of any tender security to be provided by suppliers or contractors presenting tenders in accordance with article 17 of this Law, and any such requirements for any security for the performance of the procurement contract to be provided by the supplier or contractor that enters into the procurement contract, including securities such as labour and material bonds;(k) 递交了投标书的供应商或承包商根据本法第17提供任何投标担保的,采购实体对担保出具人以及担保的性质、形式、数额和其他主要条款和条件的任何要求,以及对订立采购合同的供应商或承包商为履行采购合同提供的任何担保,包括对诸如劳动力和原料保证等担保的任何此种要求;
(l) If a supplier or contractor may not modify or withdraw its tender prior to the deadline for presenting tenders without forfeiting its tender security, a statement to that effect;(l) 供应商或承包商在投标截止时间之前修改或撤回投标书不可能不丧失其投标担保的,这方面的说明;
(m) The manner, place and deadline for presenting tenders, in conformity with article 14 of this Law;(m) 符合本法第14条规定的投标书递交方式、地点和截止时间;
(n) The means by which, pursuant to article 15 of this Law, suppliers or contractors may seek clarification of the solicitation documents and a statement as to whether the procuring entity intends to convene a meeting of suppliers or contractors at this stage;(n) 供应商或承包商根据本法第15条请求澄清招标文件可使用的方式,以及关于采购实体是否打算在此阶段召开供应商或承包商会议的说明;
(o) The period of time during which tenders shall be in effect, in conformity with article 41 of this Law;(o) 符合本法第41条规定的投标书有效期;
(p) The manner, place, date and time for the opening of tenders, in conformity with article 42 of this Law;(p) 符合本法第42条规定的开标方式、地点、日期和时间;
(q) The criteria and procedure for examining tenders against the description of the subject matter of the procurement;(q) 对照采购标的说明审查投标书的标准和程序;
(r) The criteria and procedure for evaluating tenders in accordance with article 11 of this Law;(r) 根据本法第11条评审投标书的标准和程序;
(s) The currency that will be used for the purpose of evaluating tenders pursuant to paragraph 4 of article 43 of this Law and either the exchange rate that will be used for the conversion of tender prices into that currency or a statement that the rate published by a specified financial institution and prevailing on a specified date will be used;(s) 根据本法第43条第4款对投标书进行评审所使用的货币,以及将投标价格换算成该币种所使用的汇率,或者关于将使用某指定金融机构公布的某一规定日期现行汇率的说明;
(t) References to this Law, the procurement regulations and other laws and regulations directly pertinent to the procurement proceedings, including those applicable to procurement involving classified information, and the place where those laws and regulations may be found;(t) 对本法、采购条例和与采购程序直接相关的其他法律条例的提及,包括对涉及机密信息的采购所适用的法律条例的提及,以及这些法律条例的出处;
(u) The name, functional title and address of one or more officers or employees of the procuring entity who are authorized to communicate directly with and to receive communications directly from suppliers or contractors in connection with the procurement proceedings without the intervention of an intermediary;(u) 在没有中间人介入的情况下,采购实体负责就采购程序与供应商或承包商直接通信并直接接收供应商或承包商来信的一名或多名官员或雇员的姓名、职称和地址;
(v) Notice of the right provided under article 64 of this Law to challenge or appeal decisions or actions taken by the procuring entity that are allegedly not in compliance with the provisions of this Law, together with information about the duration of the applicable standstill period and, if none will apply, a statement to that effect and the reasons therefor;(v) 关于本法第64条规定的对所指称的采购实体不遵守本法规定的决定或行动提出质疑或上诉的权利的通知,其中列明可适用的停顿期期限,不适用任何停顿期的,关于这方面不适用停顿期的理由的说明;
(w) Any formalities that will be required, once a successful tender has been accepted, for a procurement contract to enter into force, including, where applicable, the execution of a written procurement contract and approval by another authority pursuant to article 22 of this Law, and the estimated period of time following the dispatch of the notice of acceptance that will be required to obtain the approval;(w) 中选投标书被接受后为使采购合同生效而必须履行的任何手续,适用的,包括根据本法第22条签署一项书面采购合同和报请另一机关批准,以及接受通知书发出后获得批准估计需要的时间期限;
(x) Any other requirements established by the procuring entity in conformity with this Law and the procurement regulations relating to the preparation and presentation of tenders and to other aspects of the procurement proceedings.(x) 采购实体根据本法和采购条例就投标书的编写和递交以及采购程序的其他方面规定的其他任何要求。
Section II.第二节 投标书的递交
Presentation of tenders
Article 40第40条
Presentation of tenders投标书的递交
1. Tenders shall be presented in the manner, at the place and by the deadline specified in the solicitation documents.1. 应当按照招标文件列明的方式、地点和截止时间递交投标书。
2. (a) A tender shall be presented in writing, signed and:2. (a) 投标书应当采用书面形式、加具签名递交,并且:
(i) If in paper form, in a sealed envelope;㈠ 采用纸件形式递交的,应当装入密封信袋;或者
or
(ii) If in any other form, according to the requirements specified by the procuring entity in the solicitation documents, which shall ensure at least a similar degree of authenticity, security, integrity and confidentiality;㈡ 采用其他任何形式递交的,应当按照采购实体在招标文件中列明的要求递交,至少应当确保具有类似程度的真实性、安全性、完整性和保密性;
(b) The procuring entity shall provide to the supplier or contractor a receipt showing the date and time when its tender was received;(b) 采购实体应当向供应商或承包商提供一份显示其投标书收讫日期和时间的收据;
(c) The procuring entity shall preserve the security, integrity and confidentiality of a tender and shall ensure that the content of the tender is examined only after it is opened in accordance with this Law.(c) 采购实体应当保全投标书的安全性、完整性和保密性,并应当确保仅在按照本法开标之后方可审查投标书内容。
3. A tender received by the procuring entity after the deadline for presenting tenders shall not be opened and shall be returned unopened to the supplier or contractor that presented it.3. 采购实体不得开启在投标截止时间之后收到的投标书,并应当将其原封不动退还给递交该投标书的供应商或承包商。
Article 41第41条
Period of effectiveness of tenders; modification and withdrawal of tenders投标书的有效期;投标书的修改和撤回
1. Tenders shall be in effect during the period of time specified in the solicitation documents.1. 投标书在招标文件列明的期间内有效。
2. (a) Prior to the expiry of the period of effectiveness of tenders, the procuring entity may request suppliers or contractors to extend the period for an additional specified period of time.2. (a) 投标书有效期期满前,采购实体可以请求供应商或承包商将有效期展延一段规定的时间。
A supplier or contractor may refuse the request without forfeiting its tender security;供应商或承包商可以拒绝此种请求而不丧失其投标担保;
(b) Suppliers or contractors that agree to an extension of the period of effectiveness of their tenders shall extend or procure an extension of the period of effectiveness of tender securities provided by them or provide new tender securities to cover the extended period of effectiveness of their tenders. A supplier or contractor whose tender security is not extended, or that has not provided a new tender security, is considered to have refused the request to extend the period of effectiveness of its tender.(b) 供应商或承包商同意展延投标书有效期的,应当展延或促成展延由其提供的投标担保的有效期,或者提供新的投标担保涵盖投标书的展延期。供应商或承包商的投标担保没有展期,或者供应商或承包商没有提供新的投标担保,视为该供应商或承包商已经拒绝展延投标书有效期的请求。
3. Unless otherwise stipulated in the solicitation documents, a supplier or contractor may modify or withdraw its tender prior to the deadline for presenting tenders without forfeiting its tender security.3. 除非招标文件中另有规定,否则供应商或承包商可以在投标截止时间之前修改或撤回投标书而不丧失其投标担保。
The modification or notice of withdrawal is effective if it is received by the procuring entity prior to the deadline for presenting tenders.此种修改或此种撤回通知,在投标截止时间之前为采购实体收到的,即为有效。
Section III.第三节 投标书的评审
Evaluation of tenders
Article 42第42条
Opening of tenders开标
1. Tenders shall be opened at the time specified in the solicitation documents as the deadline for presenting tenders.1. 开标时间是招标文件列明的投标截止时间。
They shall be opened at the place and in accordance with the manner and procedures specified in the solicitation documents.应当在招标文件列明的地点,按照招标文件列明的方式和程序开标。
2. All suppliers or contractors that have presented tenders, or their representatives, shall be permitted by the procuring entity to participate in the opening of tenders.2. 采购实体应当允许所有递交了投标书的供应商或承包商或其代表参加开标。
3. The name and address of each supplier or contractor whose tender is opened and the tender price shall be announced to those persons present at the opening of tenders, communicated on request to suppliers or contractors that have presented tenders but that are not present or represented at the opening of tenders, and included immediately in the record of the procurement proceedings required by article 25 of this Law.3. 供应商或承包商的投标书凡是被开启的,其名称和地址以及投标价格均应在开标时向出席者当众宣读、应当根据请求告知递交了投标书但未出席或未派代表出席开标的供应商或承包商,并应当立即载入本法第25条所要求的采购程序记录。
Article 43第43条
Examination and evaluation of tenders投标书的审查和评审
1. (a) Subject to subparagraph (b) of this paragraph, the procuring entity shall regard a tender as responsive if it conforms to all requirements set out in the solicitation documents in accordance with article 10 of this Law;1. (a) 在考虑到本款(b)项的情况下,采购实体应当将符合招标文件中依本法第10条规定列明的所有要求的投标书视作具响应性投标书;
(b) The procuring entity may regard a tender as responsive even if it contains minor deviations that do not materially alter or depart from the characteristics, terms, conditions and other requirements set out in the solicitation documents or if it contains errors or oversights that can be corrected without touching on the substance of the tender. Any such deviations shall be quantified, to the extent possible, and appropriately taken account of in the evaluation of tenders.(b) 投标书即使稍有偏离但并未实质改变或背离招标文件列明的特点、条款、条件和其他要求的,或者投标书虽有差错或疏漏但可以纠正而不影响投标书实质内容的,采购实体仍然可以将其视作具响应性投标书。任何此种偏离应当尽可能量化,并在评审投标书时适当加以考虑。
2. The procuring entity shall reject a tender:2. 有下列情形的,采购实体应当否决投标书:
(a) If the supplier or contractor that presented the tender is not qualified;(a) 递交投标书的供应商或承包商不合格;
(b) If the supplier or contractor that presented the tender does not accept a correction of an arithmetical error made pursuant to article 16 of this Law;(b) 递交投标书的供应商或承包商不接受根据本法第16条对计算错误作出的纠正;
(c) If the tender is not responsive;(c) 投标书不具响应性;
(d) In the circumstances referred to in article 20 or 21 of this Law.(d) 本法第20条或第21条中述及的情形。
3. (a) The procuring entity shall evaluate the tenders that have not been rejected in order to ascertain the successful tender, as defined in subparagraph (b) of this paragraph, in accordance with the criteria and procedures set out in the solicitation documents.3. (a) 采购实体应当根据招标文件列明的标准和程序对未被否决的投标书进行评审,以便确定本款(b)项所界定的中选投标书。
No criterion or procedure shall be used that has not been set out in the solicitation documents;凡是招标文件未列明的标准或程序,一律不得采用;
(b) The successful tender shall be:(b) 中选投标书:
(i) Where price is the only award criterion, the tender with the lowest tender price;㈠ 价格是唯一授标标准的,应当是投标价格最低的投标书;或者
or
(ii) Where there are price and other award criteria, the most advantageous tender ascertained on the basis of the criteria and procedures for evaluating tenders specified in the solicitation documents in accordance with article 11 of this Law.㈡ 价格标准结合其他授标标准的,应当是根据招标文件中依 本法第11条规定列明的评审标准和程序确定的最有利的投标书。
4. When tender prices are expressed in two or more currencies, for the purpose of evaluating and comparing tenders, the tender prices of all tenders shall be converted to the currency specified in the solicitation documents according to the rate set out in those documents, pursuant to subparagraph (s) of article 39 of this Law.4. 投标价格以两种或两种以上货币表示的,为了评审和比较投标书,应当根据本法第39条(s)项,按照招标文件中列明的汇率,将所有投标书的投标价格换算成招标文件中列明的货币。
5. Whether or not it has engaged in pre-qualification proceedings pursuant to article 18 of this Law, the procuring entity may require the supplier or contractor presenting the tender that has been found to be the successful tender pursuant to paragraph 3 (b) of this article to demonstrate its qualifications again, in accordance with criteria and procedures conforming to the provisions of article 9 of this Law.5. 不论采购实体是否根据本法第18条进行了资格预审程序,投标书根据本条第3款(b)项已经被确定为中选投标书的,采购实体可以要求递交该投标书的供应商或承包商按照符合本法第9条规定的标准和程序再次证明其资格。
The criteria and procedures to be used for such further demonstration shall be set out in the solicitation documents.再次证明资格所采用的标准和程序应当在招标文件中列明。
Where pre-qualification proceedings have been engaged in, the criteria shall be the same as those used in the pre-qualification proceedings.进行了资格预审程序的,所采用的标准应当与资格预审程序中采用的标准相同。
6. If the supplier or contractor presenting the successful tender is requested to demonstrate its qualifications again in accordance with paragraph 5 of this article but fails to do so, the procuring entity shall reject that tender and shall select the next successful tender from among those remaining in effect, in accordance with paragraph 3 of this article, subject to the right of the procuring entity to cancel the procurement in accordance with paragraph 1 of article 19 of this Law.6. 采购实体根据本条第5款要求递交了中选投标书的供应商或承包商再次证明其资格,该供应商或承包商未能做到的,采购实体应当否决其投标书,并应当根据本条第3款从其余仍然有效的投标书中选出下一个中选投标书,但采购实体有权按照本法第19条第1款取消该项采购。
Article 44第44条
Prohibition of negotiations with suppliers or contractors禁止与供应商或承包商谈判
No negotiations shall take place between the procuring entity and a supplier or contractor with respect to a tender presented by the supplier or contractor.采购实体不得就供应商或承包商递交的投标书与其进行谈判。
Chapter IV. Procedures for restricted tendering, requests for quotations and requests for proposals without negotiation第四章 限制性招标程序、询价程序、 不通过谈判征求建议书程序
Article 45第45条
Restricted tendering 1.限制性招标
The procuring entity shall solicit tenders in accordance with the provisions of paragraphs 1 and 5 of article 34 of this Law.1. 采购实体应当根据本法第34条第1款和第5款的规定征求投标书。
2. The provisions of chapter III of this Law, except for articles 36 to 38, shall apply to restricted-tendering proceedings.2. 本法第三章的规定,除第36条至第38条外,应当适用于限制性招标程序。
Article 46第46条
Request for quotations询价
1. The procuring entity shall request quotations in accordance with the provisions of paragraph 2 of article 34 of this Law.1. 采购实体应当根据本法第34条第2款的规定询价。
Each supplier or contractor from which a quotation is requested shall be informed whether any elements other than the charges for the subject matter of the procurement itself, such as any applicable transportation and insurance charges, customs duties and taxes, are to be included in the price.应当告知每一个被询价的供应商或承包商是否需把采购标的本身费用之外的其他任何要素计入价格之内,例如,任何适用的运费、保险费、关税和其他税项。
2. Each supplier or contractor is permitted to give only one price quotation and is not permitted to change its quotation.2. 只允许每一个供应商或承包商提出一个报价,不允许更改其报价。
No negotiations shall take place between the procuring entity and a supplier or contractor with respect to a quotation presented by the supplier or contractor.采购实体不得就供应商或承包商提出的报价与其进行谈判。
3. The successful quotation shall be the lowest-priced quotation meeting the needs of the procuring entity as set out in the request for quotations.3. 中选报价应当是可满足询价书中列明的采购实体需要的最低报价。
Article 47第47条
Request for proposals without negotiation不通过谈判征求建议书
1.
The procuring entity shall solicit proposals by causing an invitation to participate in the request-for-proposals-without-negotiation proceedings to be published in accordance with paragraph 1 of article 35 of this Law, unless an exception provided for in that article applies.1. 采购实体征求建议书,应当根据本法第35条第1款登载参加不通过谈判征求建议书程序的邀请书,除非适用该条规定的一种除外情形。
2. The invitation shall include:2. 邀请书的内容应当包括:
(a) The name and address of the procuring entity;(a) 采购实体的名称和地址;
(b) A detailed description of the subject matter of the procurement, in conformity with article 10 of this Law, and the desired or required time and location for the provision of such subject matter;(b) 符合本法第10条规定的采购标的详细说明,以及希望或要求提供此种采购标的的时间和地点;
(c) The terms and conditions of the procurement contract, to the extent that they are already known to the procuring entity, and the form of the contract, if any, to be signed by the parties;(c) 采购合同条款和条件(以采购实体知道者为限),以及将由各方当事人签署的任何合同表格;
(d) The criteria and procedures to be used for ascertaining the qualifications of suppliers or contractors and any documentary evidence or other information that must be presented by suppliers or contractors to demonstrate their qualifications, in conformity with article 9 of this Law;(d) 符合本法第9条规定的用以确定供应商或承包商资格的标准和程序,以及供应商或承包商证明其资质必须提交的任何书面证据或其他资料;
(e) The criteria and procedures for opening the proposals and for examining and evaluating the proposals in accordance with articles 10 and 11 of this Law, including the minimum requirements with respect to technical, quality and performance characteristics that proposals must meet in order to be considered responsive in accordance with article 10 of this Law, and a statement that proposals that fail to meet those requirements will be rejected as non-responsive;(e) 本法第10条和第11条对开启建议书以及对审查和评审建议书规定的标准和程序,包括根据本法第10条认为建议书具响应性而必须在技术特点、质量特点和性能特点上达到的最低限要求,以及关于以不具响应性否决未达到这些要求的建议书的说明;
(f) A declaration pursuant to article 8 of this Law;(f) 根据本法第8条作出的声明;
(g) The means of obtaining the request for proposals and the place where it may be obtained;(g) 建议征求书的索取方式和索取地点;
(h) The price, if any, to be charged by the procuring entity for the request for proposals;(h) 采购实体对建议征求书收取的任何费用;
(i) If a price is to be charged for the request for proposals, the means and currency of payment;(i) 建议征求书收费的,付费方式和付费币种;
(j) The language or languages in which the request for proposals is available;(j) 建议征求书所使用的一种或几种语文;
(k) The manner, place and deadline for presenting proposals.(k) 建议书的递交方式、地点和截止时间。
3. The procuring entity shall issue the request for proposals:3. 采购实体应当将建议征求书发给:
(a) Where an invitation to participate in the request-for-proposals-without-negotiation proceedings has been published in accordance with the provisions of paragraph 1 of article 35 of this Law, to each supplier or contractor responding to the invitation in accordance with the procedures and requirements specified therein;(a) 根据本法第35条第1款登载了参加不通过谈判征求建议书程序邀请书的,按照邀请书中列明的程序和要求对邀请书作出答复的每一个供应商或承包商;
(b) In the case of pre-qualification, to each supplier or contractor pre-qualified in accordance with article 18 of this Law;(b) 有资格预审的,根据本法第18条通过了资格预审的每一个供应商或承包商;
(c) In the case of direct solicitation under paragraph 2 of article 35 of this Law, to each supplier or contractor selected by the procuring entity;(c) 根据本法第35条第2款使用直接招标办法的,采购实体所选出的每一个供应商或承包商;
that pays the price, if any, charged for the request for proposals. The price that the procuring entity may charge for the request for proposals shall reflect only the cost of providing it to suppliers or contractors.上述供应商或承包商均须支付可能对建议征求书收取的费用。采购实体对建议征求书的收费价格,只能是向供应商或承包商提供建议征求书的工本费。
4. The request for proposals shall include, in addition to the information referred to in subparagraphs (a) to (e) and (k) of paragraph 2 of this article, the following information:4. 建议征求书除列入本条第2款(a)项至(e)项和(k)项中述及的内容外,还应当包括下列内容:
(a) Instructions for preparing and presenting proposals, including instructions to suppliers or contractors to present simultaneously to the procuring entity proposals in two envelopes: one envelope containing the technical, quality and performance characteristics of the proposal, and the other envelope containing the financial aspects of the proposal;(a) 关于编写和递交建议书的说明,包括供应商或承包商用两个信封同时向采购实体递交建议书的说明:一个信封装建议书的技术特点、质量特点和性能特点内容,另一个信封装建议书的财务方面内容;
(b) If suppliers or contractors are permitted to present proposals for only a portion of the subject matter of the procurement, a description of the portion or portions for which proposals may be presented;(b) 允许供应商或承包商只对采购标的某一部分递交建议书的,对可递交建议书的部分作出的说明;
(c) The currency or currencies in which the proposal price is to be formulated and expressed, the currency that will be used for the purpose of evaluating proposals and either the exchange rate that will be used for the conversion of proposal prices into that currency or a statement that the rate published by a specified financial institution and prevailing on a specified date will be used;(c) 拟订和表示建议书价格所使用的一种或几种货币、评审建议书所使用的货币,以及将建议书价格换算成该币种所使用的汇率,或者关于将使用某指定金融机构公布的某一规定日期现行汇率的说明;
(d) The manner in which the proposal price is to be formulated and expressed, including a statement as to whether the price is to cover elements other than the cost of the subject matter of the procurement itself, such as reimbursement for transportation, lodging, insurance, use of equipment, duties or taxes;(d) 建议书价格的拟订和表示方式,包括关于该价格除采购标的费用本身之外是否包含其他要素的说明,例如,对运输、住宿、保险、设备使用、关税或其他税项的补偿;
(e) The means by which, pursuant to article 15 of this Law, suppliers or contractors may seek clarification of the request for proposals, and a statement as to whether the procuring entity intends to convene a meeting of suppliers or contractors at this stage;(e) 供应商或承包商根据本法第15条请求澄清建议征求书可使用的方式,以及关于采购实体是否打算在此阶段召开供应商或承包商会议的说明;
(f) References to this Law, the procurement regulations and other laws and regulations directly pertinent to the procurement proceedings, including those applicable to procurement involving classified information, and the place where those laws and regulations may be found;(f) 对本法、采购条例和与采购程序直接相关的其他法律条例的提及,包括对涉及机密信息的采购所适用的法律条例的提及,以及这些法律条例的出处;
(g) The name, functional title and address of one or more officers or employees of the procuring entity who are authorized to communicate directly with and to receive communications directly from suppliers or contractors in connection with the procurement proceedings without the intervention of an intermediary;(g) 在没有中间人介入的情况下,采购实体负责就采购程序与供应商或承包商直接通信并直接接收供应商或承包商来信的一名或多名官员或雇员的姓名、职称和地址;
(h) Notice of the right provided under article 64 of this Law to challenge or appeal decisions or actions taken by the procuring entity that are allegedly not in compliance with the provisions of this Law, together with information about the duration of the applicable standstill period and, if none will apply, a statement to that effect and the reasons therefor;(h) 关于本法第64条规定的对所指称的采购实体不遵守本法规定的决定或行动提出质疑或上诉的权利的通知,其中列明可适用的停顿期期限,不适用任何停顿期的,关于这方面不适用停顿期的理由的说明;
(i) Any formalities that will be required, once the successful proposal has been accepted, for a procurement contract to enter into force, including, where applicable, the execution of a written procurement contract and approval by another authority pursuant to article 22 of this Law, and the estimated period of time following the dispatch of the notice of acceptance that will be required to obtain the approval;(i) 中选建议书被接受后为使采购合同生效而必须履行的任何手续,适用的,包括根据本法第22条签署一项书面采购合同和报请另一机关批准,以及接受通知书发出后获得批准估计需要的时间期限;
(j) Any other requirements that may be established by the procuring entity in conformity with this Law and the procurement regulations relating to the preparation and presentation of proposals and to the procurement proceedings.(j) 采购实体根据本法和采购条例可以就建议书的编写和递交以及采购程序规定的其他任何要求。
5. Before opening the envelopes containing the financial aspects of the proposals, the procuring entity shall examine and evaluate the technical, quality and performance characteristics of proposals in accordance with the criteria and procedures specified in the request for proposals.5. 在装有建议书财务方面内容的信封拆封之前,采购实体应当按照建议征求书中列明的标准和程序,审查和评审建议书的技术特点、质量特点和性能特点。
6. The results of the examination and evaluation of the technical, quality and performance characteristics of the proposals shall immediately be included in the record of the procurement proceedings.6. 建议书技术特点、质量特点和性能特点的审查和评审结果应当立即载入采购程序记录。
7. The proposals whose technical, quality and performance characteristics fail to meet the relevant minimum requirements shall be considered to be non-responsive and shall be rejected on that ground.7. 建议书的技术特点、质量特点和性能特点未达到有关的最低限要求的,该建议书应当视为不具响应性,并应当以此为由被否决。
A notice of rejection and the reasons for the rejection, together with the unopened envelope containing the financial aspects of the proposal, shall promptly be dispatched to each respective supplier or contractor whose proposal was rejected.否决和否决理由通知书,连同装有建议书财务方面内容的未拆封信封,应当迅速分送建议书被否决的每一个供应商或承包商。
8. The proposals whose technical, quality and performance characteristics meet or exceed the relevant minimum requirements shall be considered to be responsive.8. 建议书的技术特点、质量特点和性能特点达到或超过有关的最低限要求的,该建议书应当视为具响应性。
The procuring entity shall promptly communicate to each supplier or contractor presenting such a proposal the score of the technical, quality and performance characteristics of its respective proposal.采购实体应当迅速向递交了此种建议书的供应商或承包商告知其各自建议书技术特点、质量特点和性能特点的得分。
The procuring entity shall invite all such suppliers or contractors to the opening of the envelopes containing the financial aspects of their proposals.采购实体应当邀请所有此种供应商或承包商参加装有其建议书财务方面内容的信封的拆封。
9. The score of the technical, quality and performance characteristics of each responsive proposal and the corresponding financial aspect of that proposal shall be read out in the presence of the suppliers or contractors invited, in accordance with paragraph 8 of this article, to the opening of the envelopes containing the financial aspects of the proposals.9. 在供应商或承包商根据本条第8款应邀参加装有建议书财务方面内容的信封的拆封时,应当当众宣读每项具响应性建议书的技术特点、质量特点和性能特点的得分及其相应的财务方面内容。
10. The procuring entity shall compare the financial aspects of the responsive proposals and on that basis identify the successful proposal in accordance with the criteria and the procedure set out in the request for proposals.10. 采购实体应当比较具响应性建议书的财务方面内容,并以此为基础按照建议征求书中列明的标准和程序确定中选建议书。
The successful proposal shall be the proposal with the best combined evaluation in terms of: (a) the criteria other than price specified in the request for proposals; and (b) the price.中选建议书应当是下述两个方面综合评审结果最佳的建议书:(a)建议征求书所列非价格标准;和(b)价格。
Chapter V. Procedures for two-stage tendering, requests for proposals with dialogue, requests for proposals with consecutive negotiations, competitive negotiations and single-source procurement第五章 两阶段招标程序、通过对话征求建议书程序、 通过顺序谈判征求建议书程序、竞争性谈判程序、 单一来源采购程序
Article 48第48条
Two-stage tendering两阶段招标
1. The provisions of chapter III of this Law shall apply to two-stage-tendering proceedings, except to the extent that those provisions are derogated from in this article.1. 本法第三章的规定,在本条中未减损的,应当适用于两阶段招标程序。
2. The solicitation documents shall call upon suppliers or contractors to present, in the first stage of two-stage-tendering proceedings, initial tenders containing their proposals without a tender price.2. 招标文件应当邀请供应商或承包商在两阶段招标程序的第一阶段递交初步投标书,在其中载明不包括投标价格的建议。
The solicitation documents may solicit proposals relating to the technical, quality or performance characteristics of the subject matter of the procurement, as well as to contractual terms and conditions of supply and, where relevant, the professional and technical competence and qualifications of the suppliers or contractors.招标文件可以征求关于采购标的技术特点、质量特点或性能特点的建议以及关于供应的合同条款和条件的建议,相关的,还可要求提供供应商或承包商的专业和技术能力及资质。
3. The procuring entity may, in the first stage, engage in discussions with suppliers or contractors whose initial tenders have not been rejected pursuant to provisions of this Law concerning any aspect of their initial tenders.3. 供应商或承包商的初步投标书未根据本法规定被否决的,采购实体可以在第一阶段就其初步投标书的任何方面与其进行讨论。
When the procuring entity engages in discussions with any supplier or contractor, it shall extend an equal opportunity to participate in discussions to all suppliers or contractors.采购实体与任何供应商或承包商进行讨论时,应当给予所有供应商或承包商平等参加讨论的机会。
4. (a) In the second stage of two-stage-tendering proceedings, the procuring entity shall invite all suppliers or contractors whose initial tenders were not rejected in the first stage to present final tenders with prices in response to a revised set of terms and conditions of the procurement;4. (a) 在两阶段招标程序的第二阶段,采购实体应当邀请初步投标书未在第一阶段被否决的所有供应商或承包商根据一套经修订的采购条款和条件递交列明价格的最后投标书;
(b) In revising the relevant terms and conditions of the procurement, the procuring entity may not modify the subject matter of the procurement but may refine aspects of the description of the subject matter of the procurement by:(b) 在修订有关的采购条款和条件时,采购实体不得修改采购标的,但可以用下述方式细化采购标的说明的各个方面:
(i) Deleting or modifying any aspect of the technical, quality or performance characteristics of the subject matter of the procurement initially provided and adding any new characteristics that conform to the requirements of this Law;㈠ 删除或修改最初提供的关于采购标的技术特点、质量特点或性能特点的任何方面,并增列符合本法要求的任何新特点;
(ii) Deleting or modifying any criterion for examining or evaluating tenders initially provided and adding any new criterion that conforms to the requirements of this Law, only to the extent that the deletion, modification or addition is required as a result of changes made in the technical, quality or performance characteristics of the subject matter of the procurement;㈡ 删除或修改最初提供的关于投标书审查或评审的任何标准,并增列符合本法要求的任何新标准,但此种删除、修改或增列只能是由于对采购标的技术特点、质量特点或性能特点作出改动所必需的;
(c) Any deletion, modification or addition made pursuant to subparagraph (b) of this paragraph shall be communicated to suppliers or contractors in the invitation to present final tenders;(c) 应当在递交最后投标书的邀请书中告知供应商或承包商根据本款(b)项作出的任何删除、修改或增列;
(d) A supplier or contractor not wishing to present a final tender may withdraw from the tendering proceedings without forfeiting any tender security that the supplier or contractor may have been required to provide;(d) 供应商或承包商无意递交最后投标书的,可以退出招标程序而不丧失该供应商或承包商原先可能被要求提供的任何投标担保;
(e) The final tenders shall be evaluated in order to ascertain the successful tender as defined in paragraph 3 (b) of article 43 of this Law.(e) 应当对最后投标书进行评审,以确定本法第43条第3款(b)项所界定的中选投标书。
Article 49第49条
Request for proposals with dialogue通过对话征求建议书
1.
The procuring entity shall solicit proposals by causing an invitation to participate in the request-for-proposals-with-dialogue proceedings to be published in accordance with paragraph 1 of article 35 of this Law, unless an exception provided for in that article applies.1. 采购实体征求建议书,应当根据本法第35条第1款登载参加通过对话征求建议书程序的邀请书,除非适用该条规定的一种除外情形。
2. The invitation shall include:2. 邀请书的内容应当包括:
(a) The name and address of the procuring entity;(a) 采购实体的名称和地址;
(b) A description of the subject matter of the procurement, to the extent known, and the desired or required time and location for the provision of such subject matter;(b) 采购标的说明(以知道者为限),以及希望或要求提供此种采购标的的时间和地点;
(c) The terms and conditions of the procurement contract, to the extent that they are already known to the procuring entity, and the form of the contract, if any, to be signed by the parties;(c) 采购合同条款和条件(以采购实体知道者为限),以及将由各方当事人签署的任何合同表格;
(d) The intended stages of the procedure;(d) 采购程序预期包括的阶段;
(e) The criteria and procedures to be used for ascertaining the qualifications of suppliers or contractors and any documentary evidence or other information that must be presented by suppliers or contractors to demonstrate their qualifications, in conformity with article 9 of this Law;(e) 符合本法第9条规定的用以确定供应商或承包商资格的标准和程序,以及供应商或承包商证明其资质必须提交的任何书面证据或其他资料;
(f) The minimum requirements that proposals must meet in order to be considered responsive in accordance with article 10 of this Law and a statement that proposals that fail to meet those requirements will be rejected as non-responsive;(f) 根据本法第10条认为建议书具响应性而必须达到的最低限要求,以及关于以不具响应性否决未达到这些要求的建议书的说明;
(g) A declaration pursuant to article 8 of this Law;(g) 根据本法第8条作出的声明;
(h) The means of obtaining the request for proposals and the place where it may be obtained;(h) 建议征求书的索取方式和索取地点;
(i) The price, if any, to be charged by the procuring entity for the request for proposals;(i) 采购实体对建议征求书收取的任何费用;
(j) If a price is to be charged for the request for proposals, the means and currency of payment;(j) 建议征求书收费的,付费方式和付费币种;
(k) The language or languages in which the request for proposals is available;(k) 建议征求书所使用的一种或几种语文;
(l) The manner, place and deadline for presenting proposals.(l) 建议书的递交方式、地点和截止时间。
3. For the purpose of limiting the number of suppliers or contractors from which to request proposals, the procuring entity may engage in pre-selection proceedings.3. 采购实体可以为限制向其征求建议书的供应商或承包商的数目而进行预选程序。
The provisions of article 18 of this Law shall apply mutatis mutandis to the pre-selection proceedings, except to the extent that those provisions are derogated from in this paragraph:本法第18条的规定,在本款中未减损的,应当经变通后适用于预选程序:
(a) The procuring entity shall specify in the pre-selection documents that it will request proposals from only a limited number of pre-selected suppliers or contractors that best meet the qualification criteria specified in the pre-selection documents;(a) 采购实体应当在预选文件中具体规定,采购实体将只向数目有限、最符合预选文件中列明的资格标准的通过了预选的供应商或承包商征求建议书;
(b) The pre-selection documents shall set out the maximum number of pre-selected suppliers or contractors from which the proposals will be requested and the manner in which the selection of that number will be carried out. In establishing such a limit, the procuring entity shall bear in mind the need to ensure effective competition;(b) 预选文件应当列明将向其征求建议书的通过了预选的供应商或承包商的最高限数以及选定这一限数的方式。在确定这一限数时,采购实体应当考虑到确保有效竞争的必要性;
(c) The procuring entity shall rate the suppliers or contractors that meet the criteria specified in the pre-selection documents according to the manner of rating that is set out in the invitation to pre-selection and the pre-selection documents;(c) 采购实体应当按照预选邀请书和预选文件中列明的排名方式,对符合预选文件列明的标准的供应商或承包商进行排名;
(d) The procuring entity shall pre-select suppliers or contractors that acquired the best rating, up to the maximum number indicated in the pre-selection documents but at least three, if possible;(d) 采购实体预选的取得最佳排名的供应商或承包商,应当限于预选文件所列明的最高限数,但如有可能至少应为三个;
(e) The procuring entity shall promptly notify each supplier or contractor whether it has been pre-selected and shall, upon request, communicate to suppliers or contractors that have not been pre-selected the reasons therefor. It shall make available to any person, upon request, the names of all suppliers or contractors that have been pre-selected.(e) 采购实体应当迅速通知每一个供应商或承包商是否通过预选,并应当根据请求向未通过预选的供应商或承包商告知未获通过的原因。采购实体还应当根据请求向任何人提供通过了预选的所有供应商或承包商的名称。
4. The procuring entity shall issue the request for proposals:4. 采购实体应当将建议征求书发给:
(a) Where an invitation to participate in the request-for-proposals-with-dialogue proceedings has been published in accordance with the provisions of paragraph 1 of article 35 of this Law, to each supplier or contractor responding to the invitation in accordance with the procedures and requirements specified therein;(a) 根据本法第35条第1款登载了参加通过对话征求建议书程序邀请书的,根据邀请书中列明的程序和要求对邀请书作出答复的每一个供应商或承包商;
(b) In the case of pre-qualification, to each supplier or contractor pre-qualified in accordance with article 18 of this Law;(b) 有资格预审的,根据本法第18条通过了资格预审的每一个供应商或承包商;
(c) Where pre-selection proceedings have been engaged in, to each pre-selected supplier or contractor in accordance with the procedures and requirements specified in the pre-selection documents;(c) 进行了预选程序的,根据预选文件列明的程序和要求通过了预选的每一个供应商或承包商;
(d) In the case of direct solicitation under paragraph 2 of article 35 of this Law, to each supplier or contractor selected by the procuring entity;(d) 根据本法第35条第2款使用直接招标办法的,采购实体所选出的每一个供应商或承包商。
that pays the price, if any, charged for the request for proposals. The price that the procuring entity may charge for the request for proposals shall reflect only the cost of providing it to suppliers or contractors.上述供应商或承包商均须支付可能对建议征求书收取的费用。采购实体对建议征求书的收费价格,只能是向供应商或承包商提供建议征求书的工本费。
5. The request for proposals shall include, in addition to the information referred to in paragraphs 2 (a) to (f) and (l) of this article, the following information:5. 建议征求书除列入本条第2款(a)项至(f)项和(l)项述及的内容外,还应当包括下列内容:
(a) Instructions for preparing and presenting proposals;(a) 关于编写和递交建议书的说明;
(b) If suppliers or contractors are permitted to present proposals for only a portion of the subject matter of the procurement, a description of the portion or portions for which proposals may be presented;(b) 允许供应商或承包商只对采购标的某一部分递交建议书的,对可递交建议书的部分作出的说明;
(c) The currency or currencies in which the proposal price is to be formulated and expressed, the currency that will be used for the purpose of evaluating proposals and either the exchange rate that will be used for the conversion of proposal prices into that currency or a statement that the rate published by a specified financial institution and prevailing on a specified date will be used;(c) 拟订和表示建议书价格所使用的一种或几种货币、评审建议书所使用的货币,以及将建议书价格换算成该币种所使用的汇率,或者关于将使用某指定金融机构公布的某一规定日期现行汇率的说明;
(d) The manner in which the proposal price is to be formulated and expressed, including a statement as to whether the price is to cover elements other than the cost of the subject matter of the procurement itself, such as reimbursement for transportation, lodging, insurance, use of equipment, duties or taxes;(d) 建议书价格的拟订和表示方式,包括关于该价格除采购标的费用本身之外是否包含其他要素的说明,例如,对运输、住宿、保险、设备使用、关税或其他税项的补偿;
(e) The means by which, pursuant to article 15 of this Law, suppliers or contractors may seek clarification of the request for proposals and a statement as to whether the procuring entity intends to convene a meeting of suppliers or contractors at this stage;(e) 供应商或承包商根据本法第15条请求澄清建议征求书可使用的方式,以及关于采购实体是否打算在此阶段召开供应商或承包商会议的说明;
(f) Any element of the description of the subject matter of the procurement or term or condition of the procurement contract that will not be the subject of dialogue during the procedure;(f) 采购标的说明或者采购合同条款或条件中不属于程序期间对话内容的任何要素;
(g) Where the procuring entity intends to limit the number of suppliers or contractors that it will invite to participate in the dialogue, the minimum number of suppliers or contractors, which shall be not lower than three, if possible, and, where appropriate, the maximum number of suppliers or contractors and the criteria and procedure, in conformity with the provisions of this Law, that will be followed in selecting either number;(g) 采购实体打算限制被邀请参加对话的供应商或承包商数目的,供应商或承包商的最低数目,可能情况下不应低于三个,酌定供应商或承包商的最高限数,以及按照本法规定所应遵循的选定最低数目或最高限数的标准和程序;
(h) The criteria and procedure for evaluating the proposals in accordance with article 11 of this Law;(h) 根据本法第11条评审建议书的标准和程序;
(i) References to this Law, the procurement regulations and other laws and regulations directly pertinent to the procurement proceedings, including those applicable to procurement involving classified information, and the place where those laws and regulations may be found;(i) 对本法、采购条例和与采购程序直接相关的其他法律条例的提及,包括对涉及机密信息的采购所适用的法律条例的提及,以及这些法律条例的出处;
(j) The name, functional title and address of one or more officers or employees of the procuring entity who are authorized to communicate directly with and to receive communications directly from suppliers or contractors in connection with the procurement proceedings without the intervention of an intermediary;(j) 在没有中间人介入的情况下,采购实体负责就采购程序与供应商或承包商直接通信并直接接收供应商或承包商来信的一名或多名官员或雇员的姓名、职称和地址;
(k) Notice of the right provided under article 64 of this Law to challenge or appeal decisions or actions taken by the procuring entity that are allegedly not in compliance with the provisions of this Law, together with information about the duration of the applicable standstill period and, if none will apply, a statement to that effect and the reasons therefor;(k) 关于本法第64条规定的对所指称的采购实体不遵守本法规定的决定或行动提出质疑或上诉的权利的通知,其中列明可适用的停顿期期限,不适用任何停顿期的,关于这方面不适用停顿期的理由的说明;
(l) Any formalities that will be required, once the successful offer has been accepted, for a procurement contract to enter into force, including, where applicable, the execution of a written procurement contract and approval by another authority pursuant to article 22 of this Law, and the estimated period of time following dispatch of the notice of acceptance that will be required to obtain the approval;(l) 中选报盘被接受后为使采购合同生效而必须履行的任何手续,适用的,包括根据本法第22条签署一项书面采购合同和报请另一机关批准,以及接受通知书发出后获得批准估计需要的时间期限;
(m) Any other requirements that may be established by the procuring entity in conformity with this Law and the procurement regulations relating to the preparation and presentation of proposals and to the procurement proceedings.(m) 采购实体根据本法和采购条例可以就建议书的编写和递交以及采购程序规定的其他任何要求。
6. (a) The procuring entity shall examine all proposals received against the established minimum requirements and shall reject each proposal that fails to meet these minimum requirements on the ground that it is non-responsive;6. (a) 采购实体应当根据所确定的最低限要求审查所有收到的建议书,凡是未达到这些最低限要求的建议书,均应以其不具响应性加以否决;
(b) Where a maximum limit on the number of suppliers or contractors that can be invited to participate in the dialogue has been established and the number of responsive proposals exceeds that limit, the procuring entity shall select the maximum number of responsive proposals in accordance with the criteria and procedure specified in the request for proposals;(b) 对可被邀请参加对话的供应商或承包商规定了最高限数,而具响应性建议书的数量超过该最高限数的,采购实体应当按照建议征求书列明的标准和程序选择最高限数的具响应性建议书;
(c) A notice of rejection and the reasons for the rejection shall be promptly dispatched to each respective supplier or contractor whose proposal was rejected.(c) 否决和否决理由通知书应当迅速分送建议书被否决的每一个供应商或承包商。
7. The procuring entity shall invite each supplier or contractor that presented a responsive proposal, within any applicable maximum, to participate in the dialogue.7. 凡是递交了具响应性建议书的供应商或承包商,采购实体均应在所适用的任何最高限数之内邀请其参加对话。
The procuring entity shall ensure that the number of suppliers or contractors invited to participate in the dialogue, which shall be at least three, if possible, is sufficient to ensure effective competition.采购实体应当确保被邀请参加对话的供应商或承包商的数目足以确保有效竞争,如有可能至少应为三个。
8. The dialogue shall be conducted by the same representatives of the procuring entity on a concurrent basis.8. 采购实体应当分派 若干位相同代表,在同一时间进行对话。
9.
During the course of the dialogue, the procuring entity shall not modify the subject matter of the procurement, any qualification or evaluation criterion, any minimum requirements established pursuant to paragraph 2 (f) of this article, any element of the description of the subject matter of the procurement or any term or condition of the procurement contract that is not subject to the dialogue as specified in the request for proposals.9. 对话过程中,采购实体不得修改采购标的;不得修改任何资格标准或评审标准;不得修改根据本条第2款(f)项确定的任何最低限要求;不得修改采购标的说明的任何要素;也不得修改不属于建议征求书所列明的对话内容的任何采购合同条款或条件。
10. Any requirements, guidelines, documents, clarifications or other information generated during the dialogue that is communicated by the procuring entity to a supplier or contractor shall be communicated at the same time and on an equal basis to all other participating suppliers or contractors, unless such information is specific or exclusive to that supplier or contractor or such communication would be in breach of the confidentiality provisions of article 24 of this Law.10. 采购实体向某一供应商或承包商发送的对话期间产生的任何要求、准则、文件、澄清或其他信息,应当在平等基础上同时发送给其他所有参加对话的供应商或承包商,除非这些要求、准则、文件、澄清或其他信息是特别针对或专门用于该供应商或承包商的,或者此种发送将违反本法第24条的保密规定。
11. Following the dialogue, the procuring entity shall request all suppliers or contractors remaining in the proceedings to present a best and final offer with respect to all aspects of their proposals.11. 对话之后,采购实体应当请所有仍在程序中的供应商或承包商就其建议书的所有方面提出最佳和最终报盘。
The request shall be in writing and shall specify the manner, place and deadline for presenting best and final offers.该请求应当采用书面形式,并应当具体说明提出最佳和最终报盘的方式、地点和截止时间。
12. No negotiations shall take place between the procuring entity and suppliers or contractors with respect to their best and final offers.12. 采购实体不得就供应商或承包商提出的最佳和最终报盘与其进行谈判。
13. The successful offer shall be the offer that best meets the needs of the procuring entity as determined in accordance with the criteria and procedure for evaluating the proposals set out in the request for proposals.13. 中选报盘应当是按照建议征求书列明的建议书评审标准和程序确定的最符合采购实体需要的报盘。
Article 50第50条
Request for proposals with consecutive negotiations通过顺序谈判征求建议书
1.
The provisions of paragraphs 1 to 7 of article 47 of this Law shall apply mutatis mutandis to procurement conducted by means of request for proposals with consecutive negotiations, except to the extent that those provisions are derogated from in this article.1. 本法第47条第1款至第7款的规定,在本条中未减损的,应当经变通后适用于使用通过顺序谈判征求建议书的方式进行的采购。
2. Proposals whose technical, quality and performance characteristics meet or exceed the relevant minimum requirements shall be considered to be responsive.2. 建议书的技术特点、质量特点和性能特点达到或超过有关的最低限要求的,该建议书应当视为具响应性。
The procuring entity shall rank each responsive proposal in accordance with the criteria and procedure for evaluating proposals as set out in the request for proposals and shall:采购实体应当按照建议征求书列明的建议书评审标准和程序对每项具响应性建议书进行排名,并应当:
(a) Promptly communicate to each supplier or contractor presenting a responsive proposal the score of the technical, quality and performance characteristics of its respective proposal and its ranking;(a) 迅速向每一个递交了具响应性建议书的供应商或承包商告知其各自建议书技术特点、质量特点和性能特点的得分和排名;
(b) Invite the supplier or contractor that has attained the best ranking, in accordance with those criteria and procedure, for negotiations on the financial aspects of its proposal;(b) 邀请按照这些标准和程序取得最佳排名的供应商或承包商就其建议书的财务方面进行谈判;并且
and
(c) Inform other suppliers or contractors that presented responsive proposals that their proposals may be considered for negotiation if negotiations with the supplier (or suppliers) or contractor (or contractors) with a better ranking do not result in a procurement contract.(c) 告知递交了具响应性建议书的其他供应商或承包商,可能考虑在与排名靠前的一个或多个供应商或承包商谈判未产生采购合同的情况下就其建议书进行谈判。
3. If it becomes apparent to the procuring entity that the negotiations with the supplier or contractor invited pursuant to paragraph 2 (b) of this article will not result in a procurement contract, the procuring entity shall inform that supplier or contractor that it is terminating the negotiations.3. 如果采购实体认为与根据本条第2款(b)项邀请的供应商或承包商谈判显然不会产生采购合同,采购实体应当通知该供应商或承包商将终止谈判。
4. The procuring entity shall then invite for negotiations the supplier or contractor that attained the second-best ranking; if the negotiations with that supplier or contractor do not result in a procurement contract, the procuring entity shall invite the other suppliers or contractors still participating in the procurement proceedings for negotiations on the basis of their ranking until it arrives at a procurement contract or rejects all remaining proposals.4. 采购实体随后应当邀请排名次高的供应商或承包商进行谈判;如果与该供应商或承包商谈判未产生采购合同,采购实体应当根据排名顺序,邀请其他仍然参加采购程序的供应商或承包商进行谈判,直至达成采购合同或否决其余所有建议书。
5.
During the course of the negotiations, the procuring entity shall not modify the subject matter of the procurement; any qualification, examination or evaluation criterion, including any established minimum requirements; any element of the description of the subject matter of the procurement; or term or condition of the procurement contract other than financial aspects of proposals that are subject to the negotiations as specified in the request for proposals.5. 谈判过程中,采购实体不得修改采购标的;不得修改任何资格标准、审查标准或评审标准,包括所规定的任何最低限要求;不得修改采购标的说明的任何要素;除属于建议征求书所列明的谈判内容的建议书财务方面之外,也不得修改采购合同条款和条件。
6. The procuring entity may not reopen negotiations with any supplier or contractor with which it has terminated negotiations.6. 采购实体与任何供应商或承包商终止谈判后不得与其重新进行谈判。
Article 51第51条
Competitive negotiations竞争性谈判
1. Paragraphs 3, 5 and 6 of article 34 of this Law shall apply to the procedure preceding the negotiations.1. 本法第34条第3款、第5款和第6款应当适用于谈判之前的程序。
2. Any requirements, guidelines, documents, clarifications or other information relative to the negotiations that is communicated by the procuring entity to a supplier or contractor before or during the negotiations shall be communicated at the same time and on an equal basis to all other suppliers or contractors engaging in negotiations with the procuring entity relative to the procurement, unless such information is specific or exclusive to that supplier or contractor or such communication would be in breach of the confidentiality provisions of article 24 of this Law.2. 采购实体在谈判之前或谈判期间向某一供应商或承包商发送的与谈判有关的任何要求、准则、文件、澄清或其他信息,应当在平等基础上同时发送给正在与采购实体进行采购方面谈判的其他所有供应商或承包商,除非这些要求、准则、文件、澄清或其他信息是特别针对或专门用于该供应商或承包商的,或者此种发送将违反本法第24条的保密规定。
3. Following completion of negotiations, the procuring entity shall request all suppliers or contractors remaining in the proceedings to present, by a specified date, a best and final offer with respect to all aspects of their proposals.3. 谈判完成后,采购实体应当请所有仍在程序中的供应商或承包商在某一规定日期之前就其建议书的所有方面提出最佳和最终报盘。
4. No negotiations shall take place between the procuring entity and suppliers or contractors with respect to their best and final offers.4. 采购实体不得就供应商或承包商提出的最佳和最终报盘与其进行谈判。
5. The successful offer shall be the offer that best meets the needs of the procuring entity.5. 中选报盘应当是最符合采购实体需要的报盘。
Article 52第52条
Single-source procurement单一来源采购
Paragraphs 4 to 6 of article 34 of this Law shall apply to the procedure preceding the solicitation of a proposal or price quotation from a single supplier or contractor. The procuring entity shall engage in negotiations with the supplier or contractor from which a proposal or price quotation is solicited unless such negotiations are not feasible in the circumstances of the procurement concerned.本法第34条第4款至第6款应当适用于向单一供应商或承包商征求建议书或征求报价之前的程序。采购实体应当与被征求建议书或被征求报价的供应商或承包商进行谈判,除非在相关采购的情况下进行此种谈判不可行。
Chapter VI. Electronic reverse auctions第六章 电子逆向拍卖
Article 53第53条
Electronic reverse auction as a stand-alone method of procurement作为独立采购方法的电子逆向拍卖
1. The procuring entity shall solicit bids by causing an invitation to the electronic reverse auction to be published in accordance with article 33 of this Law.1. 采购实体征求出价,应当根据本法第33条登载电子逆向拍卖邀请书。
The invitation shall include:邀请书的内容应当包括:
(a) The name and address of the procuring entity;(a) 采购实体的名称和地址;
(b) A detailed description of the subject matter of the procurement, in conformity with article 10 of this Law, and the desired or required time and location for the provision of such subject matter;(b) 符合本法第10条规定的采购标的详细说明,以及希望或要求提供此种采购标的的时间和地点;
(c) The terms and conditions of the procurement contract, to the extent they are already known to the procuring entity, and the form of the contract, if any, to be signed by the parties;(c) 采购合同条款和条件(以采购实体知道者为限),以及将由各方当事人签署的任何合同表格;
(d) A declaration pursuant to article 8 of this Law;(d) 根据本法第8条作出的声明;
(e) The criteria and procedures to be used for ascertaining the qualifications of suppliers or contractors and any documentary evidence or other information that must be presented by suppliers or contractors to demonstrate their qualifications in conformity with article 9 of this Law;(e) 符合本法第9条规定的用以确定供应商或承包商资格的标准和程序,以及供应商或承包商证明其资质必须提交的任何书面证据或其他资料;
(f) The criteria and procedure for examining bids against the description of the subject matter of the procurement;(f) 根据采购标的说明审查出价的标准和程序;
(g) The criteria and procedure for evaluating bids in accordance with article 11 of this Law, including any mathematical formula that will be used in the evaluation procedure during the auction;(g) 根据本法第11条评审出价的标准和程序,包括拍卖期间评审程序将使用的任何数学计算公式;
(h) The manner in which the bid price is to be formulated and expressed, including a statement as to whether the price is to cover elements other than the cost of the subject matter of the procurement itself, such as any applicable transportation and insurance charges, customs duties and taxes;(h) 出价价格的拟订和表示方式,包括关于该价格除采购标的本身费用之外是否包含其他要素的说明,例如,任何适用的运费、保险费、关税和其他税项;
(i) The currency or currencies in which the bid price is to be formulated and expressed;(i) 拟订和表示出价价格所使用的一种或几种货币;
(j) The minimum number of suppliers or contractors required to register for the auction in order for the auction to be held, which shall be sufficient to ensure effective competition;(j) 为举行拍卖而对登记参加拍卖的供应商或承包商规定了最低数目的,该数目应当足以确保有效竞争;
[(k) If any limit on the number of suppliers or contractors that can be registered for the auction is imposed in accordance with paragraph 2 of this article, the relevant maximum number and the criteria and procedure, in conformity with paragraph 2 of this article, that will be followed in selecting it;][(k)根据本条第2款对能够登记参加拍卖的供应商或承包商规定了限数的,相关的最高限数,以及选定最高限数所应遵循的符合本条第2款的标准和程序;]
(l) How the auction can be accessed, including appropriate information regarding connection to the auction;(l) 如何接入拍卖程序,包括关于连线拍卖的适当信息;
(m) The deadline by which suppliers or contractors must register for the auction and the requirements for registration;(m) 供应商或承包商必须登记参加拍卖的截止时间和登记要求;
(n) The date and time of the opening of the auction and the requirements for identification of bidders at the opening of the auction;(n) 拍卖开始日期和时间,以及对拍卖开始时确认出价人身份的要求;
(o) The criteria governing the closing of the auction;(o) 结束拍卖所适用的标准;
(p) Other rules for the conduct of the auction, including the information that will be made available to the bidders in the course of the auction, the language in which it will be made available and the conditions under which the bidders will be able to bid;(p) 进行拍卖的其他规则,包括拍卖过程中将向出价人提供的信息、提供信息所使用的语文以及出价人能够出价的条件;
(q) References to this Law, the procurement regulations and other laws and regulations directly pertinent to the procurement proceedings, including those applicable to procurement involving classified information, and the place where those laws and regulations may be found;(q) 对本法、采购条例和与采购程序直接相关的其他法律条例的提及,包括对涉及机密信息的采购所适用的法律条例的提及,以及这些法律条例的出处;
(r) The means by which suppliers or contractors may seek clarification of information relating to the procurement proceedings;(r) 供应商或承包商请求澄清采购程序相关信息可采用的方式;
(s) The name, functional title and address of one or more officers or employees of the procuring entity who are authorized to communicate directly with and to receive communications directly from suppliers or contractors in connection with the procurement proceedings before and after the auction without the intervention of an intermediary;(s) 在没有中间人介入的情况下,采购实体负责就拍卖前和拍卖后的采购程序与供应商或承包商直接通信并直接接收供应商或承包商来信的一名或多名官员或雇员的姓名、职称和地址;
(t) Notice of the right provided under article 64 of this Law to challenge or appeal decisions or actions taken by the procuring entity that are allegedly not in compliance with the provisions of this Law, together with information about the duration of the applicable standstill period and, if none will apply, a statement to that effect and the reasons therefor;(t) 关于本法第64条规定的对所指称的采购实体不遵守本法规定的决定或行动提出质疑或上诉的权利的通知,其中列明可适用的停顿期期限,不适用任何停顿期的,关于这方面不适用停顿期的理由的说明;
(u) Any formalities that will be required after the auction for a procurement contract to enter into force, including, where applicable, ascertainment of qualifications or responsiveness in accordance with article 57 of this Law and the execution of a written procurement contract pursuant to article 22 of this Law;(u) 拍卖之后为使采购合同生效而必须履行的任何手续,适用的,包括根据本法第57条确定资格或响应性,以及根据本法第22条签署一项书面采购合同;
(v) Any other requirements established by the procuring entity in conformity with this Law and the procurement regulations relating to the procurement proceedings.(v) 采购实体根据本法和有关采购程序的采购条例提出的其他任何要求。
[2. The procuring entity may impose a maximum limit on the number of suppliers or contractors that can be registered for the electronic reverse auction only to the extent that capacity constraints in its communications system so require, and shall select the suppliers or contractors to be so registered in a non-discriminatory manner.[2. 采购实体可以对能够登记参加电子逆向拍卖的供应商或承包商规定最高限数,但只能是在由于采购实体通信系统能力的局限性而必须作此限制的范围内,并应当以不歧视方式挑选能够进行这种登记的供应商或承包商。
The procuring entity shall include a statement of the reasons and circumstances upon which it relied to justify the imposition of such a maximum limit in the record required under article 25 of this Law.]采购实体应当在本法第25条要求的记录中载列关于采购实体规定此种最高限数所依据的理由和情形的说明。 ]
3. The procuring entity may decide, in the light of the circumstances of the given procurement, that the electronic reverse auction shall be preceded by an examination or evaluation of initial bids.3. 采购实体可以根据特定采购的情形,决定在电子逆向拍卖之前审查或评审初步出价。
In such case, the invitation to the auction shall, in addition to information listed in paragraph 1 of this article, include:在这种情况下,拍卖邀请书除列入本条第1款列出的内容之外还应当包括:
(a) An invitation to present initial bids, together with instructions for preparing initial bids;(a) 初步出价邀请书,附带初步出价编写说明;
(b) The manner, place and deadline for presenting initial bids.(b) 初步出价的递交方式、地点和截止时间。
4. Where the electronic reverse auction has been preceded by an examination or evaluation of initial bids, the procuring entity shall promptly after the completion of the examination or evaluation of initial bids:4. 电子逆向拍卖之前对初步出价进行了审查或评审的,采购实体应当在初步出价审查或评审完成后:
(a) Dispatch the notice of rejection and reasons for rejection to each supplier or contractor whose initial bid was rejected;(a) 迅速将否决和否决理由通知书分送初步出价被否决的每一个供应商或承包商;
(b) Issue an invitation to the auction to each qualified supplier or contractor whose initial bid is responsive, providing all information required to participate in the auction;(b) 迅速向初步出价具响应性的每一个合格的供应商或承包商发出拍卖邀请书,提供与参加拍卖有关的一切必要信息;
(c) Where an evaluation of initial bids has taken place, each invitation to the auction shall also be accompanied by the outcome of the evaluation, as relevant to the supplier or contractor to which the invitation is addressed.(c) 初步出价经过评审的,每份拍卖邀请书还应当随附与被邀请供应商或承包商有关的评审结果。
Article 54第54条
Electronic reverse auction as a phase preceding the award of the procurement contract作为授予采购合同前的一个阶段的电子逆向拍卖
1. Where an electronic reverse auction is to be used as a phase preceding the award of the procurement contract in a procurement method, as appropriate, or in a framework agreement procedure with second-stage competition, the procuring entity shall notify suppliers or contractors when first soliciting their participation in the procurement proceedings that an auction will be held, and shall provide, in addition to other information required to be included under provisions of this Law, the following information about the auction:1. 在酌情使用的采购方法中,或者在有第二阶段竞争的框架协议程序中,如果作为授予采购合同前的一个阶段使用电子逆向拍卖,采购实体应当在邀请供应商或承包商参加采购程序之初通知其将举行拍卖,除提供根据本法规定应列入的其他信息之外,还应当提供下列关于拍卖的信息:
(a) The mathematical formula that will be used in the evaluation procedure during the auction;(a) 拍卖期间评审程序将使用的数学计算公式;
(b) How the auction can be accessed, including appropriate information regarding connection to the auction.(b) 如何接入拍卖程序,包括关于连线拍卖的适当信息。
2. Before the electronic reverse auction is held, the procuring entity shall issue an invitation to the auction to all suppliers or contractors remaining in the proceedings, specifying:2. 举行电子逆向拍卖之前,采购实体应当向所有仍在程序中的供应商或承包商发出拍卖邀请书,列明:
(a) The deadline by which the suppliers or contractors must register for the auction and requirements for registration;(a) 供应商或承包商必须登记参加拍卖的截止时间和登记要求;
(b) The date and time of the opening of the auction and requirements for the identification of bidders at the opening of the auction;(b) 拍卖开始日期和时间,以及对拍卖开始时确认出价人身份的要求;
(c) Criteria governing the closing of the auction;(c) 结束拍卖所适用的标准;
(d) Other rules for the conduct of the auction, including the information that will be made available to the bidders during the auction and the conditions under which the bidders will be able to bid.(d) 施行拍卖的其他规则,包括拍卖过程中将向出价人提供的信息以及出价人能够出价的条件。
3. Where an evaluation of initial bids has taken place, each invitation to the auction shall also be accompanied by the outcome of the evaluation as relevant to the supplier or contractor to which the invitation is addressed.3. 初步出价经过评审的,每份拍卖邀请书还应当随附与被邀请供应商或承包商有关的评审结果。
Article 55第55条
Registration for the electronic reverse auction and the timing of the holding of the auction电子逆向拍卖的登记和举行拍卖的时间
1. Confirmation of registration for the electronic reverse auction shall be communicated promptly to each registered supplier or contractor.1. 应当迅速向每一个已经登记的供应商或承包商发出电子逆向拍卖登记确认函。
2. If the number of suppliers or contractors registered for the electronic reverse auction is insufficient to ensure effective competition, the procuring entity may cancel the auction.2. 登记参加电子逆向拍卖的供应商或承包商的数目不足以确保有效竞争的,采购实体可以取消拍卖。
The cancellation of the auction shall be communicated promptly to each registered supplier or contractor.应当迅速向每一个已经登记的供应商或承包商发出取消拍卖通知。
3. The period of time between the issuance of the invitation to the electronic reverse auction and the auction shall be sufficiently long to allow suppliers or contractors to prepare for the auction, taking into account the reasonable needs of the procuring entity.3. 在顾及采购实体合理需要的情况下,自发出电子逆向拍卖邀请书至举行拍卖,应当有足够时间让供应商或承包商做拍卖准备。
Article 56第56条
Requirements during the electronic reverse auction电子逆向拍卖期间的要求
1. The electronic reverse auction shall be based on:1. 电子逆向拍卖依据的标准:
(a) Price, where the procurement contract is to be awarded to the lowest-priced bid;(a) 在采购合同授予最低出价的情况下,应当是价格;或者
or
(b) Price and other criteria specified to suppliers or contractors under articles 53 and 54 of this Law, as applicable, where the procurement contract is to be awarded to the most advantageous bid.(b) 在采购合同授予最有利出价的情况下,应当是价格结合本法第53条和第54条对供应商或承包商规定的其他标准(以适用者为准)。
2. During the auction:2. 拍卖期间:
(a) All bidders shall have an equal and continuous opportunity to present their bids;(a) 所有出价人均应当有同等、连续的机会递交出价;
(b) There shall be automatic evaluation of all bids in accordance with the criteria, procedure and formula provided to suppliers or contractors under articles 53 and 54 of this Law, as applicable;(b) 所有出价应当自动评审,评审依据是根据本法第53条和第54条向供应商或承包商提供的标准、程序和公式(以适用者为准);
(c) Each bidder must receive, instantaneously and on a continuous basis during the auction, sufficient information allowing it to determine the standing of its bid vis-à-vis other bids;(c) 必须让每一个出价人在拍卖期间即时、连续收到充分信息,使其能够确定本出价相对于其他出价的位置;
(d) There shall be no communication between the procuring entity and the bidders or among the bidders, other than as provided for in subparagraphs (a) and (c) of this paragraph.(d) 除本款(a)项和(c)项另有规定外,采购实体与出价人之间不得进行通信,出价人之间也不得进行通信。
3. The procuring entity shall not disclose the identity of any bidder during the auction.3. 采购实体不得在拍卖期间披露任何出价人的身份。
4. The auction shall be closed in accordance with the criteria specified to suppliers or contractors under articles 53 and 54 of this Law, as applicable.4. 应当按照本法第53条和第54条对供应商或承包商规定的标准(以适用者为准)结束拍卖。
5. The procuring entity shall suspend or terminate the auction in the case of failures in its communication system that put at risk the proper conduct of the auction or for other reasons stipulated in the rules for the conduct of the auction.5. 在采购实体的通信系统出现故障,可能影响拍卖正常进行的情况下,采购实体应当暂停或终止拍卖,或者由于拍卖施行规则规定的其他原因,采购实体也应当暂停或终止拍卖。
The procuring entity shall not disclose the identity of any bidder in the case of suspension or termination of the auction.暂停或终止拍卖的,采购实体不得披露任何出价人的身份。
Article 57第57条
Requirements after the electronic reverse auction电子逆向拍卖结束后的要求
1. The bid that at the closure of the electronic reverse auction is the lowest-priced bid or the most advantageous bid, as applicable, shall be the successful bid.1. 中选出价应当是电子逆向拍卖结束时的最低出价或最有利出价,以适用者为准。
2. In procurement by means of an auction that was not preceded by examination or evaluation of initial bids, the procuring entity shall ascertain after the auction the responsiveness of the successful bid and the qualifications of the supplier or contractor submitting it.2. 在使用拍卖方式的采购中,拍卖之前不对初步出价进行审查或评审的,采购实体应当在拍卖之后确定中选出价的响应性和递交了该出价的供应商或承包商的资格。
The procuring entity shall reject that bid if it is found to be unresponsive or if the supplier or contractor submitting it is found unqualified.采购实体认为该出价不具响应性,或者认为递交该出价的供应商或承包商不合格的,应当否决该出价。
Without prejudice to the right of the procuring entity to cancel the procurement in accordance with paragraph 1 of article 19 of this Law, the procuring entity shall select the bid that was the next lowest-priced or next most advantageous bid at the closure of the auction, provided that that bid is ascertained to be responsive and the supplier or contractor submitting it is ascertained to be qualified.在不影响采购实体根据本法第19条第1款取消采购的权利的情况下,采购实体应当选择拍卖结束时的次低出价或次有利出价,条件是确定该出价具响应性并且确定递交该出价的供应商或承包商合格。
3. Where the successful bid at the closure of the auction appears to the procuring entity to be abnormally low and gives rise to concerns on the part of the procuring entity as to the ability of the bidder that presented it to perform the procurement contract, the procuring entity may follow the procedures described in article 20 of this Law.3. 采购实体认为拍卖结束时的中选出价异常偏低,由此引起采购实体对该出价递交人履行采购合同能力关切的,采购实体可以采用本法第20条所说明的程序。
If the procuring entity rejects the bid as abnormally low under article 20, it shall select the bid that at the closure of the auction was the next lowest-priced or next most advantageous bid.如果采购实体根据本法第20条以其价格异常偏低否决该出价,采购实体应当选择拍卖结束时的次低出价或次有利出价。
This provision is without prejudice to the right of the procuring entity to cancel the procurement in accordance with paragraph 1 of article 19 of this Law.本规定不影响采购实体根据本法第19条第1款取消采购的权利。
Chapter VII. Framework agreement procedures第七章 框架协议程序
Article 58第58条
Award of a closed framework agreement封闭式框架协议的授予
1. The procuring entity shall award a closed framework agreement:1. 采购实体应当以下述方式授予封闭式框架协议:
(a) By means of open-tendering proceedings, in accordance with provisions of chapter III of this Law, except to the extent that those provisions are derogated from in this chapter;(a) 本法第三章的规定,在本章中未减损的,根据这些规定使用公开招标程序;或者
or
(b) By means of other procurement methods, in accordance with the relevant provisions of chapters II, IV and V of this Law, except to the extent that those provisions are derogated from in this chapter.(b) 本法第二章、第四章和第五章的有关规定,在本章中未减损的,根据这些规定使用其他采购方法。
2. The provisions of this Law regulating pre-qualification and the contents of the solicitation in the context of the procurement methods referred to in paragraph 1 of this article shall apply mutatis mutandis to the information to be provided to suppliers or contractors when first soliciting their participation in a closed framework agreement procedure.2. 本法有关资格预审的规定以及有关本条第1款述及的采购方法中招标内容的规定,应当经变通后适用于邀请供应商或承包商参加封闭式框架协议程序之初应向其提供的信息。
The procuring entity shall in addition specify at that stage:除这些信息之外,采购实体在这一阶段还应当作出下述具体规定:
(a) That the procurement will be conducted as a framework agreement procedure, leading to a closed framework agreement;(a) 采购将作为框架协议程序进行,由此产生封闭式框架协议;
(b) Whether the framework agreement is to be concluded with one or more than one supplier or contractor;(b) 与一个还是与不止一个供应商或承包商订立框架协议;
(c) If the framework agreement will be concluded with more than one supplier or contractor, any minimum or maximum limit on the number of suppliers or contractors that will be parties thereto;(c) 与不止一个供应商或承包商订立框架协议的,将加入框架协议的供应商或承包商的最低数目或最高数目;
(d) The form, terms and conditions of the framework agreement in accordance with article 59 of this Law.(d) 本法第59条规定的框架协议的形式、条款和条件。
3. The provisions of article 22 of this Law shall apply mutatis mutandis to the award of a closed framework agreement.3. 本法第22条的规定,应当经变通后适用于授予封闭式框架协议。
Article 59第59条
Requirements for closed framework agreements封闭式框架协议的要求
1. A closed framework agreement shall be concluded in writing and shall set out:1. 封闭式框架协议应当以书面形式订立,并应当载明:
(a) The duration of the framework agreement, which shall not exceed the maximum duration established by the procurement regulations;(a) 框架协议期限,该期限不应超过采购条例确定的最长期限;
(b) The description of the subject matter of the procurement and all other terms and conditions of the procurement established when the framework agreement is concluded;(b) 采购标的说明以及确立框架协议时已经确定的其他所有采购条款和条件;
(c) To the extent that they are known, estimates of the terms and conditions of the procurement that cannot be established with sufficient precision when the framework agreement is concluded;(c) 确立框架协议时无法充分准确确定采购条款和条件的,在已经知道的范围内对此种条款和条件的估计;
(d) Whether, in a closed framework agreement concluded with more than one supplier or contractor, there will be a second-stage competition to award a procurement contract under the framework agreement and, if so:(d) 与不止一个供应商或承包商订立封闭式框架协议的,是否进行第二阶段竞争以授予框架协议下的采购合同,如果进行第二阶段竞争:
(i) A statement of the terms and conditions of the procurement that are to be established or refined through second-stage competition;㈠ 关于拟通过第二阶段竞争加以确定或细化的采购条款和条件的说明;
(ii) The procedures for and the anticipated frequency of any second-stage competition, and envisaged deadlines for presenting second-stage submissions;㈡ 任何第二阶段竞争的程序和预期频度,以及第二阶段提交书的预计递交截止时间;
(iii) The procedures and criteria to be applied during the second-stage competition, including the relative weight of such criteria and the manner in which they will be applied, in accordance with articles 10 and 11 of this Law. If the relative weights of the evaluation criteria may be varied during the second-stage competition, the framework agreement shall specify the permissible range;㈢ 根据本法第10条和第11条,第二阶段竞争期间将适用的程序和标准,包括此种标准的相对权重以及适用此种标准的方式。第二阶段竞争期间可以变更评审标准相对权重的,框架协议应当具体指明可变范围;
(e) Whether the award of a procurement contract under the framework agreement will be to the lowest-priced or to the most advantageous submission;(e) 框架协议下的采购合同将授予价格最低的提交书还是最有利的提交书;和
and
(f) The manner in which the procurement contract will be awarded.(f) 采购合同的授予方式。
2. A closed framework agreement with more than one supplier or contractor shall be concluded as one agreement between all parties unless:2. 与不止一个供应商或承包商订立封闭式框架协议,应当视为所有当事人之间订立了一项协议,除非:
(a) The procuring entity determines that it is in the interests of a party to the framework agreement that a separate agreement with any supplier or contractor party be concluded;(a) 采购实体确信与框架协议的任何供应商或承包商当事人订立单独协议符合该当事人的利益;
(b) The procuring entity includes in the record required under article 25 of this Law a statement of the reasons and circumstances on which it relied to justify the conclusion of separate agreements;(b) 采购实体在本法第25条要求的记录中载列关于采购实体订立单独协议所依据的理由和情形的说明;并且
and
(c) Any variation in the terms and conditions of the separate agreements for a given procurement is minor and concerns only those provisions that justify the conclusion of separate agreements.(c) 一项特定采购的多项单独协议在条款和条件上的差异细微,且只涉及那些订立单独协议所依据的规定。
3. The framework agreement shall contain, in addition to information specified elsewhere in this article, all information necessary to allow the effective operation of the framework agreement, including information on how the agreement and notifications of forthcoming procurement contracts thereunder can be accessed and appropriate information regarding connection, where applicable.3. 除本条他处列明的信息外,框架协议还应当包含框架协议有效运作所必需的一切信息,其中包括如何查取该协议和该协议下即将授予采购合同的通知,适用的,还有关于连接的适当信息。
Article 60第60条
Establishment of an open framework agreement开放式框架协议的确立
1. The procuring entity shall establish and maintain an open framework agreement online.1. 采购实体应当在网上确立和维持开放式框架协议。
2. The procuring entity shall solicit participation in the open framework agreement by causing an invitation to become a party to the open framework agreement to be published following the requirements of article 33 of this Law.2. 采购实体邀请参加开放式框架协议程序,应当按照本法第33条的要求登载加入开放式框架协议的邀请书。
3. The invitation to become a party to the open framework agreement shall include the following information:3. 加入开放式框架协议邀请书应当包括下列内容:
(a) The name and address of the procuring entity establishing and maintaining the open framework agreement and the name and address of any other procuring entities that will have the right to award procurement contracts under the framework agreement;(a) 确立和维持开放式框架协议的采购实体的名称和地址,以及将有权授予框架协议下采购合同的其他任何采购实体的名称和地址;
(b) That the procurement will be conducted as a framework agreement procedure leading to an open framework agreement;(b) 采购将作为框架协议程序进行,由此产生开放式框架协议;
(c) The language (or languages) of the open framework agreement and all information about the operation of the agreement, including how the agreement and notifications of forthcoming procurement contracts thereunder can be accessed and appropriate information regarding connection;(c) 开放式框架协议所使用的一种(或几种)语文,以及关于该协议运作的所有信息,其中包括如何查取该协议和该协议下即将授予采购合同的通知,还有关于连接的适当信息;
(d) The terms and conditions for suppliers or contractors to be admitted to the open framework agreement, including:(d) 接受供应商或承包商加入开放式框架协议的条款和条件,其中包括:
(i) A declaration pursuant to article 8 of this Law;㈠ 根据本法第8条作出的声明;
[(ii) If any maximum limit on the number of suppliers or contractors that are parties to the open framework agreement is imposed in accordance with paragraph 7 of this article, the relevant number and the criteria and procedure, in conformity with paragraph 7 of this article, that will be followed in selecting it;][㈡ 根据本条第7款对加入开放式框架协议的供应商或承包商规定任何最高限数的,相关的最高限数,以及选定最高限数所应遵循的符合本条第7款的标准和程序;]
(iii) Instructions for preparing and presenting the indicative submissions necessary to become a party to the open framework agreement, including the currency or currencies and the language (or languages) to be used, as well as the criteria and procedures to be used for ascertaining the qualifications of suppliers or contractors and any documentary evidence or other information that must be presented by suppliers or contractors to demonstrate their qualifications in conformity with article 9 of this Law;㈢ 关于编写和递交加入开放式框架协议所必需的临时提交书的说明,包括拟使用的一种或几种货币和一种(或几种)语文,以及符合本法第9条规定的用以确定供应商或承包商资格的标准和程序及供应商或承包商证明其资质必须提交的任何书面证据或其他资料;
(iv) An explicit statement that suppliers or contractors may apply to become parties to the framework agreement at any time during the period of its operation by presenting indicative submissions, subject to any maximum limit on the number of suppliers or contractors and any declaration made pursuant to article 8 of this Law;㈣ 关于供应商或承包商可以在不超出可能规定的供应商或承包商最高限数并根据本法第8条作出任何声明的情况下在框架协议运作期间随时通过递交临时提交书的方式申请加入框架协议的明确声明;
(e) Other terms and conditions of the open framework agreement, including all information required to be set out in the open framework agreement in accordance with article 61 of this Law;(e) 开放式框架协议的其他条款和条件,包括本法第61条要求列入开放式框架协议的所有信息;
(f) References to this Law, the procurement regulations and other laws and regulations directly pertinent to the procurement proceedings, including those applicable to procurement involving classified information, and the place where those laws and regulations may be found;(f) 对本法、采购条例和与采购程序直接相关的其他法律条例的提及,包括对涉及机密信息的采购所适用的法律条例的提及,以及这些法律条例的出处;
(g) The name, functional title and address of one or more officers or employees of the procuring entity who are authorized to communicate directly with and to receive communications directly from suppliers or contractors in connection with the procurement proceedings without the intervention of an intermediary.(g) 在没有中间人介入的情况下,采购实体负责就采购程序与供应商或承包商直接通信并直接接收供应商或承包商来信的一名或多名官员或雇员的姓名、职称和地址。
4. Suppliers or contractors may apply to become a party or parties to the framework agreement at any time during its operation by presenting indicative submissions to the procuring entity in compliance with the requirements of the invitation to become a party to the open framework agreement.4. 供应商或承包商可以按照加入开放式框架协议邀请书的要求,在框架协议运作期间随时通过向采购实体递交临时提交书的方式申请加入开放式框架协议。
5. The procuring entity shall examine all indicative submissions received during the period of operation of the framework agreement within a maximum of … working days [the enacting State specifies the maximum period of time], in accordance with the procedures set out in the invitation to become a party to the open framework agreement.5. 采购实体应当按照加入开放式框架协议邀请书中列明的程序,最多在……个工作日[颁布国列明最长期限]内审查在框架协议运作期间收到的所有临时提交书。
6. The framework agreement shall be concluded with all qualified suppliers or contractors that presented submissions unless their submissions have been rejected on the grounds specified in the invitation to become a party to the open framework agreement.6. 应当与所有递交了提交书的合格供应商或承包商订立框架协议,除非根据加入开放式框架协议邀请书中列明的理由否决了其提交书。
[7. The procuring entity may impose a maximum limit on the number of parties to the open framework agreement only to the extent that capacity limitations in its communications system so require, and shall select the suppliers or contractors to be parties to the open framework agreement in a non-discriminatory manner.[7. 采购实体可以对开放式框架协议的当事人规定最高限数,但只能是在由于采购实体通信系统能力的局限性而必须作此限制的范围内,并应当以不歧视方式挑选可加入开放式框架协议的供应商或承包商。
The procuring entity shall include in the record required under article 25 of this Law a statement of the reasons and circumstances upon which it relied to justify the imposition of such a maximum limit.]采购实体应当在本法第25条要求的记录中载列关于采购实体规定此种最高限数所依据的理由和情形的说明。 ]
8. The procuring entity shall promptly notify the suppliers or contractors whether they have become parties to the framework agreement and of the reasons for the rejection of their indicative submissions if they have not.8. 采购实体应当迅速通知供应商或承包商是否已能加入框架协议以及未能加入框架协议者的临时提交书被否决的理由。
Article 61第61条
Requirements for open framework agreements开放式框架协议的要求
1. An open framework agreement shall provide for second-stage competition for the award of a procurement contract under the agreement and shall include:1. 开放式框架协议应当就授予开放式框架协议下采购合同的第二阶段竞争作出规定,其中应当包括:
(a) The duration of the framework agreement;(a) 框架协议期限;
(b) The description of the subject matter of the procurement and all other terms and conditions of the procurement known when the open framework agreement is established;(b) 采购标的说明以及确立开放式框架协议时已经知道的其他所有采购条款和条件;
(c) Any terms and conditions of the procurement that may be refined through second-stage competition;(c) 可以通过第二阶段竞争加以细化的任何采购条款和条件;
(d) The procedures and the anticipated frequency of second-stage competition;(d) 第二阶段竞争的程序和预期频度;
(e) Whether the award of procurement contracts under the framework agreement will be to the lowest-priced or the most advantageous submission;(e) 框架协议下的采购合同将授予价格最低的提交书还是最有利的提交书;
(f) The procedures and criteria to be applied during the second-stage competition, including the relative weight of the evaluation criteria and the manner in which they will be applied, in accordance with articles 10 and 11 of this Law. If the relative weights of the evaluation criteria may be varied during second-stage competition, the framework agreement shall specify the permissible range.(f) 根据本法第10条和第11条,第二阶段竞争期间将适用的程序和标准,包括评审标准的相对权重以及适用这些标准的方式。第二阶段竞争期间可以变更评审标准相对权重的,框架协议应当具体指明可变范围。
2. The procuring entity shall, during the entire period of operation of the open framework agreement, republish at least annually the invitation to become a party to the open framework agreement and shall in addition ensure unrestricted, direct and full access to the terms and conditions of the framework agreement and to any other necessary information relevant to its operation.2. 在开放式框架协议整个运作期间,采购实体应当至少每年重新登载加入开放式框架协议邀请书,并应确保对框架协议条款和条件以及与框架协议运作有关的其他任何必要信息的不受限制、直接和充分查取。
Article 62第62条
Second stage of a framework agreement procedure框架协议程序的第二阶段
1. Any procurement contract under a framework agreement shall be awarded in accordance with the terms and conditions of the framework agreement and the provisions of this article.1. 应当根据框架协议的条款和条件以及本条的规定,授予框架协议下的任何采购合同。
2. A procurement contract under a framework agreement may be awarded only to a supplier or contractor that is a party to the framework agreement.2. 框架协议下的任何采购合同只可授予加入该框架协议的供应商或承包商。
3. The provisions of article 22 of this Law, except for paragraph 2, shall apply to the acceptance of the successful submission under a framework agreement without second-stage competition.3. 在无第二阶段竞争的框架协议下,中选提交书的接受应当适用本法第22条的规定,其中第2款除外。
4. In a closed framework agreement with second-stage competition and in an open framework agreement, the following procedures shall apply to the award of a procurement contract:4. 在有第二阶段竞争封闭式框架协议下以及在开放式框架协议下,采购合同的授予应当适用下列程序:
(a) The procuring entity shall issue a written invitation to present submissions, simultaneously to:(a) 采购实体应当向以下各方同时发出递交提交书的书面邀请,
(i) Each supplier or contractor party to the framework agreement;㈠ 框架协议的每一个供应商或承包商当事人;或者
or
(ii) Only to those suppliers or contractors parties to the framework agreement then capable of meeting the needs of that procuring entity in the subject matter of the procurement, provided that at the same time notice of the second-stage competition is given to all parties to the framework agreement so that they have the opportunity to participate in the second-stage competition;㈡ 只限于当时有能力满足采购实体对采购标的需要的框架协议的供应商或承包商当事人,条件是,与此同时,向框架协议的所有当事人发出第二阶段竞争通知,以使其有机会参加第二阶段竞争;
(b) The invitation to present submissions shall include the following information:(b) 递交提交书的邀请书应当包括下列内容:
(i) A restatement of the existing terms and conditions of the framework agreement to be included in the anticipated procurement contract, a statement of the terms and conditions of the procurement that are to be subject to second-stage competition and further detail regarding those terms and conditions, where necessary;㈠ 对拟列入预期采购合同的框架协议现有条款和条件的重新申明、对第二阶段须确定的采购条款和条件的说明,以及这些条款和条件必要的更具体内容;
(ii) A restatement of the procedures and criteria for the award of the anticipated procurement contract, including their relative weight and the manner of their application;㈡ 对预期采购合同的授标标准(包括其相对权重及其适用方式)和程序的重新申明;
(iii) Instructions for preparing submissions;㈢ 提交书编写说明;
(iv) The manner, place and deadline for presenting submissions;㈣ 提交书的递交方式、地点和截止时间;
(v) If suppliers or contractors are permitted to present submissions for only a portion of the subject matter of the procurement, a description of the portion or portions for which submissions may be presented;㈤ 允许供应商或承包商只对采购标的某一部分递交提交书的,对可递交提交书的部分作出的说明;
(vi) The manner in which the submission price is to be formulated and expressed, including a statement as to whether the price is to cover elements other than the cost of the subject matter of the procurement itself, such as any applicable transportation and insurance charges, customs duties and taxes;㈥ 提交书价格的拟订和表示方式,包括关于该价格除采购标的本身费用之外是否包含其他要素的说明,例如,任何适用的运费、保险费、关税和其他税项;
(vii) Reference to this Law, the procurement regulations and other laws and regulations directly pertinent to the procurement proceedings, including those applicable to procurement involving classified information, and the place where those laws and regulations may be found;㈦ 对本法、采购条例和与采购程序直接相关的其他法律条例的提及,包括对涉及机密信息的采购所适用的法律条例的提及,以及这些法律条例的出处;
(viii) The name, functional title and address of one or more officers or employees of the procuring entity who are authorized to communicate directly with and to receive communications directly from suppliers or contractors in connection with the second-stage competition without the intervention of an intermediary;㈧ 在没有中间人介入的情况下,采购实体负责就第二阶段竞争与供应商或承包商直接通信并直接接收供应商或承包商来信的一名或多名官员或雇员的姓名、职称和地址;
(ix) Notice of the right provided under article 64 of this Law to challenge or appeal decisions or actions taken by the procuring entity that are allegedly not in compliance with the provisions of this Law, together with information about the duration of the applicable standstill period and, if none will apply, a statement to that effect and the reasons therefor;㈨ 关于本法第64条规定的对所指称的采购实体不遵守本法规定的决定或行动提出质疑或上诉的权利的通知,其中列明可适用的停顿期期限,不适用任何停顿期的,关于这方面不适用停顿期的理由的说明;
(x) Any formalities that will be required once a successful submission has been accepted for a procurement contract to enter into force, including, where applicable, the execution of a written procurement contract pursuant to article 22 of this Law;㈩ 中选提交书被接受后为使采购合同生效而必须履行的任何手续,适用的,包括根据本法第22条签署一项书面采购合同;
(xi) Any other requirements established by the procuring entity in conformity with this Law and the procurement regulations relating to the preparation and presentation of submissions and to other aspects of the second-stage competition;(十一) 采购实体根据本法和采购条例就提交书的编写和递交以及第二阶段竞争其他方面规定的其他任何要求;
(c) The procuring entity shall evaluate all submissions received and determine the successful submission in accordance with the evaluation criteria and the procedures set out in the invitation to present submissions;(c) 采购实体应当按照递交提交书邀请书中列明的评审标准和程序,评审所有收到的提交书并确定中选提交书;
(d) The procuring entity shall accept the successful submission in accordance with article 22 of this Law.(d) 采购实体应当根据本法第22条接受中选提交书。
Article 63第63条
Changes during the operation of a framework agreement框架协议运作期间的改动
During the operation of a framework agreement, no change shall be allowed to the description of the subject matter of the procurement. Changes to other terms and conditions of the procurement, including to the criteria (and their relative weight and the manner of their application) and procedures for the award of the anticipated procurement contract, may occur only to the extent expressly permitted in the framework agreement.框架协议运作期间,不允许对采购标的说明作任何改动。对于其他采购条款和条件,包括预期采购合同的授标标准(及其相对权重和适用方式)和程序,只能在框架协议明文允许的范围内加以改动。
Chapter VIII.第八章 质疑程序
Challenge proceedings
Article 64第64条
Right to challenge and appeal质疑和上诉权
1. A supplier or contractor that claims to have suffered or claims that it may suffer loss or injury because of the alleged non-compliance of a decision or action of the procuring entity with the provisions of this Law may challenge the decision or action concerned.1. 供应商或承包商声称由于所指称的采购实体不遵守本法规定的决定或行动而遭受了损失或损害或者可能遭受损失或损害的,可以质疑有关的决定或行动。
2. Challenge proceedings may be made by way of [an application for reconsideration to the procuring entity under article 66 of this Law, an application for review to the [name of the independent body] under article 67 of this Law or an application or appeal to the [name of the court or courts]].2. 提起质疑程序的方式,可以是[根据本法第66条向采购实体提出重新审议申请、根据本法第67条向[独立机构名称]提出复议申请,或者向[法院名称]提出申请或上诉]。
[3. A supplier or contractor may appeal any decision taken in challenge proceedings under article 66 or 67 of this Law in the [name of the court or courts]].[3. 供应商或承包商不服本法第66条或第67条下的质疑程序中作出的任何决定,可以向[法院名称]提出上诉。
]
Article 65第65条
Effect of a challenge质疑的效力
1. The procuring entity shall not take any step that would bring into force a procurement contract or framework agreement in the procurement proceedings concerned:1. 有下列情形之一的,采购实体不得采取任何步骤,使有关采购程序中的采购合同或框架协议生效:
(a) Where it receives an application for reconsideration within the time limits specified in paragraph 2 of article 66;(a) 采购实体在第66条第2款规定的期限内收到了重新审议申请书;
(b) Where it receives notice of an application for review from the [name of the independent body] under paragraph 5 (b) of article 67;(b) 采购实体收到了[独立机构名称]根据第67条第5款(b)项发来的复议申请通知书;或者
or
(c) Where it receives notice of an application or of an appeal from the [name of the court or courts].(c) 采购实体收到了[法院名称]发来的申请通知书或上诉通知书。
2. The prohibition referred to in paragraph 1 shall lapse … working days [the enacting State specifies the period] after the decision of the procuring entity, the [name of the independent body] or the [name of the court or courts] has been communicated to the applicant or appellant, as the case may be, to the procuring entity, where applicable, and to all other participants in the challenge proceedings.2. 在采购实体、[独立机构名称]或[法院名称]的决定发给申请人或上诉人(两者视情况而定)、采购实体(如果适用)和质疑程序中的其他所有参与方之后……个工作日[颁布国列明期限]内,第1款述及的禁止规定即告失效。
3. (a) The procuring entity may at any time request the [name of the independent body] or the [name of the court or courts] to authorize it to enter into the procurement contract or framework agreement on the ground that urgent public interest considerations so justify;3. (a) 采购实体可以随时以紧迫公共利益考虑要求订立采购合同或框架协议为由,请求[独立机构名称]或[法院名称]授权采购实体订立采购合同或框架协议;
(b) The [name of the independent body], upon consideration of such a request [, or of its own motion,] may authorize the procuring entity to enter into the procurement contract or framework agreement where it is satisfied that urgent public interest considerations so justify. The decision of the [name of the independent body] and the reasons therefor shall be made part of the record of the procurement proceedings, and shall promptly be communicated to the procuring entity, to the applicant, to all other participants in the challenge proceedings and to all other participants in the procurement proceedings.(b) 如果[独立机构名称]认定紧迫公共利益考虑要求订立采购合同或框架协议,[独立机构名称]可以在审议此种请求时[,或者自行提议],授权采购实体订立采购合同或框架协议。[独立机构名称]的决定及其理由应当成为采购程序纪录的一部分,并应当迅速告知采购实体、申请人、质疑程序的其他所有参与方以及采购程序的其他所有参与方。
Article 66第66条
Application for reconsideration before the procuring entity向采购实体提出重新审议申请
1. A supplier or contractor may apply to the procuring entity for a reconsideration of a decision or an action taken by the procuring entity in the procurement proceedings.1. 供应商或承包商可以就采购实体在采购程序中作出的决定或采取的行动,向采购实体提出重新审议申请。
2. Applications for reconsideration shall be submitted to the procuring entity in writing within the following time periods:2. 应当在下列期限内,以书面方式向采购实体提交重新审议申请:
(a) Applications for reconsideration of the terms of solicitation, pre-qualification or pre-selection or decisions or actions taken by the procuring entity in pre-qualification or pre-selection proceedings shall be submitted prior to the deadline for presenting submissions;(a) 重新审议申请涉及招标条款、资格预审或预选的,或者涉及采购实体在资格预审程序或预选程序中作出的决定或采取的行动的,应当在提交书递交截止时间之前提交申请书;
(b) Applications for reconsideration of other decisions or actions taken by the procuring entity in the procurement proceedings shall be submitted within the standstill period applied pursuant to paragraph 2 of article 22 of this Law, or, where none has been applied, prior to the entry into force of the procurement contract or the framework agreement.(b) 重新审议申请涉及采购实体在采购程序中作出的其它决定或采取的其他行动的,应当在根据本法第22条第2款适用的停顿期内提交申请书,未适用任何停顿期的,应当在采购合同或框架协议生效之前提交申请书。
3. Promptly after receipt of the application, the procuring entity shall publish a notice of the application and shall, not later than three (3) working days after receipt of the application:3. 收到申请书后,采购实体应当迅速登载该申请的通知,并且收到申请书后不迟于三(3)个工作日即应:
(a) Decide whether the application shall be entertained or dismissed and, if it is to be entertained, whether the procurement proceedings shall be suspended. The procuring entity may dismiss the application if it decides that the application is manifestly without merit, the application was not submitted within the deadlines set out in paragraph 2 of this article or the applicant is without standing. Such a dismissal constitutes a decision on the application;(a) 决定受理还是驳回该申请,受理该申请的,决定是否暂停采购程序。采购实体认定该申请明显不值得审议、申请书不是在本条第2款规定的截止时间内提交,或者申请人不具备资格的,采购实体可以驳回该申请。此种驳回构成就该申请作出的决定;
(b) Notify all participants in the procurement proceedings to which the application relates about the submission of the application and its substance;(b) 将申请的提交及申请书的内容通知该申请所涉采购程序所有参与方;
(c) Notify the applicant and all other participants in the procurement proceedings of its decision on whether the application is to be entertained or dismissed;(c) 将其受理或驳回该申请的决定通知申请人以及采购程序的其他所有参与方:
(i) If the application is to be entertained, the procuring entity shall in addition advise whether the procurement proceedings are suspended and, if so, the duration of the suspension;㈠ 受理该申请的,采购实体还应当通知是否暂停采购程序以及暂停情况下的暂停期;
(ii) If the application is to be dismissed or the procurement proceedings are not suspended, the procuring entity shall in addition advise the applicant of the reasons for its decision.㈡ 驳回该申请的,或者不暂停采购程序的,采购实体还应当将其决定的理由通知申请人。
4.
If the procuring entity does not give notice to the applicant as required in paragraphs 3 (c) and 8 of this article within the time-limit specified in paragraph 3 of this article, or if the applicant is dissatisfied with the decision so notified, the applicant may immediately thereafter commence proceedings [in the [name of the independent body] under article 67 of this Law or in the [name of the court or courts]].4. 采购实体未在本条第3款规定的期限内按照本条第3款(c)项和第8款的要求向申请人发出通知的,或者申请人对已经作此通知的决定不满意的,申请人随即可以[根据本法第67条向[独立机构名称]]提起程序,[或者向[法院名称]]提起程序。
Where such proceedings are commenced, the competence of the procuring entity to entertain the application ceases.此种程序提起时,采购实体受理该申请的权限即告终止。
5. In taking its decision on an application that it has entertained, the procuring entity may overturn, correct, vary or uphold any decision or action taken in the procurement proceedings to which the application relates.5. 在就采购实体所受理的申请作出决定时,采购实体可以推翻、纠正、更改或维持该申请所涉及的,在采购程序中作出的任何决定或采取的任何行动。
6. The decision of the procuring entity under paragraph 5 of this article shall be issued within … working days [the enacting State specifies the period] after receipt of the application.6. 采购实体根据本条第5款作出的决定,应当在收到申请书后……个工作日[颁布国列明期限]内下达。
The procuring entity shall immediately thereafter communicate the decision to the applicant, to all other participants in the challenge proceedings and to all other participants in the procurement proceedings.采购实体随即应当将该决定告知申请人、质疑程序的其他所有参与方以及采购程序的其他所有参与方。
7. If the procuring entity does not communicate its decision to the applicant in accordance with the requirements of paragraphs 6 and 8 of this article, the applicant is entitled immediately thereafter to commence proceedings [in the [name of the independent body] under article 67 of this Law or in the [name of the court or courts]].7. 采购实体未按照本条第6款和第8款的要求将其决定发给申请人的,申请人随即有权[根据本法第67条向[独立机构名称]]提起程序,[或者向[法院名称]]提起程序。
Where such proceedings are commenced, the competence of the procuring entity to entertain the application ceases.此种程序提起时,采购实体受理该申请的权限即告终止。
8. All decisions of the procuring entity under this article shall be in writing, shall state the action taken and the reasons therefor, and shall promptly be made part of the record of the procurement proceedings, together with the application received by the procuring entity under this article.8. 采购实体根据本条作出的所有决定,均应当以书面形式作成,应当列明所采取的行动及其理由,并应当连同采购实体根据本条收到的申请书迅速成为采购程序记录的一部分。
Article 67第67条
Application for review before an independent body向独立机构提出复议申请
1. A supplier or contractor may apply to the [name of the independent body] for review of a decision or an action taken by the procuring entity in the procurement proceedings, or of the failure of the procuring entity to issue a decision under article 66 of this Law within the time limits prescribed in that article.1. 供应商或承包商可以就采购实体在采购程序中作出的决定或采取的行动,或者就采购实体未在本法第66条规定的期限内根据该条作出决定,向[独立机构名称]提出复议申请。
2. Applications for review shall be submitted to the [name of the independent body] in writing within the following time periods:2. 应当在下列期限内,以书面形式向[独立机构]提交复议申请书:
(a) Applications for review of the terms of solicitation, pre-qualification or pre-selection or of decisions or actions taken by the procuring entity in pre-qualification or pre-selection proceedings shall be submitted prior to the deadline for presenting submissions;(a) 复议申请涉及招标条款、资格预审或预选的,或者涉及采购实体在资格预审程序或预选程序中作出的决定或采取的行动的,应当在提交书递交截止时间之前提交申请书;
(b) Applications for review of other decisions or actions taken by the procuring entity in the procurement proceedings shall be submitted:(b) 复议申请涉及采购实体在采购程序中作出的其它决定或采取的其他行动的:
(i) Within the standstill period applied pursuant to paragraph 2 of article 22 of this Law;㈠ 应当在根据本法第22条第2款适用的停顿期内提交申请书;或者
or
(ii) Where no standstill period has been applied, within … working days [the enacting State specifies the period] after the time when the applicant became aware of the circumstances giving rise to the application or when the applicant should have become aware of those circumstances, whichever is earlier, but not later than … working days [the enacting State specifies the period] after the entry into force of the procurement contract or the framework agreement [or a decision to cancel the procurement];㈡ 未适用任何停顿期的,应当自申请人意识到引起该申请的情况之后或者自申请人理应意识到这些情况之后(两者以先发生者为准)……个工作日[颁布国列明期限]内提交申请书,但不得迟于采购合同或框架协议生效之后[或者取消采购的决定]之后……个工作日[颁布国列明期限];
(c) Notwithstanding subparagraph (b) (i) of this paragraph, a supplier or contractor may request the [name of the independent body] to entertain an application for review filed after the expiry of the standstill period, but not later than … working days [the enacting State specifies the period] after the entry into force of the procurement contract or the framework agreement [or a decision to cancel the procurement], on the ground that the application raises significant public interest considerations. The [name of the independent body] may entertain the application where it is satisfied that significant public interest considerations so justify. The decision of the [name of the independent body] and the reasons therefor shall promptly be communicated to the supplier or contractor concerned;(c) 虽有本款(b)项第㈠目的规定,供应商或承包商仍然可以以一项申请引起重大公共利益考虑为由,请求[独立机构名称]受理在停顿期期满后提出的复议申请,但不得迟于采购合同或框架协议生效之后[或者取消采购的决定]之后……个工作日[颁布国列明期限]提出该请求。[独立机构名称]可以受理该申请,惟须认定重大公共利益考虑要求这样做。[独立机构名称]的决定及其理由应当迅速告知有关供应商或承包商。
(d) Applications for review of the failure of the procuring entity to issue a decision under article 66 of this Law within the time limits prescribed in that article shall be submitted within … working days [the enacting State specifies the period] after the decision of the procuring entity should have been communicated to the applicant in accordance with the requirements of paragraphs 3, 6 and 8 of article 66 of this Law, as appropriate.(d) 复议申请涉及采购实体未在本法第66条规定的期限内根据该条下达决定的,应当在酌情根据本法第66条第3款、第6款和第8款理应向申请人告知采购实体的决定之后……个工作日[颁布国列明期限]内提交申请书。
3. Following receipt of an application for review, the [name of the independent body] may, subject to the requirements of paragraph 4 of this article:3. 收到复议申请书后,在不违反本条第4款的要求的情况下,如果而且只要[独立机构名称]认为下列暂停是保护申请人所必需的,[独立机构名称]即可:
[(a)] Order the suspension of the procurement proceedings at any time before the entry into force of the procurement contract;[(a)] 在采购合同生效之前随时下令暂停采购程序;[并且
[and
(b) Order the suspension of the performance of a procurement contract or the operation of a framework agreement that has entered into force;](b) 下令暂停履行已生效的采购合同或者暂停执行已生效的框架协议;]
if and for as long as it finds such a suspension necessary to protect the interests of the applicant unless the [name of the independent body] decides that urgent public interest considerations require the procurement proceedings[, the procurement contract or the framework agreement, as applicable,] to proceed. The [name of the independent body] may also order that any suspension applied be extended or lifted, taking into account the aforementioned considerations.除非[独立机构名称]决定,紧迫公共利益考虑要求继续进行采购程序[、继续履行采购合同或者继续执行框架协议(酌情适用)]。[独立机构名称]也可以根据上述考虑,下令延长或取消任何已适用的暂停。
4. The [name of the independent body] shall: (a) Order the suspension of the procurement proceedings for a period of ten (10) working days where an application is received prior to the deadline for presenting submissions;4. (a) 申请书在提交书递交截止时间之前收到的,[独立机构名称]应当下令暂停采购程序,暂停期十(10)个工作日;并且
and
(b) Order the suspension of the procurement proceedings [or the performance of a procurement contract or the operation of a framework agreement, as the case may be] where an application is received after the deadline for presenting submissions and where no standstill period has been applied;(b) 申请书在提交书递交截止时间之后收到,且没有适用暂停期的,[独立机构名称]应当下令暂停采购程序[、暂停履行采购合同或者暂停执行框架协议(视情况而定)];
unless the [name of the independent body] decides that urgent public interest considerations require the procurement proceedings[, the procurement contract or the framework agreement, as applicable,] to proceed.除非[独立机构名称]决定,紧迫公共利益考虑要求继续进行采购程序[、继续履行采购合同或者继续执行框架协议(酌情适用)]。
5. Promptly upon receipt of the application, the [name of the independent body] shall:5. [独立机构名称]收到申请书时,应当迅速:
(a) Suspend or decide not to suspend the procurement proceedings [or the performance of a procurement contract or the operation of a framework agreement, as the case may be] in accordance with paragraphs 3 and 4 of this article;(a) 根据本条第3款和第4款,暂停或决定不暂停采购程序[、采购合同的履行,或者框架协议的执行(视情况而定)];
(b) Notify the procuring entity and all identified participants in the procurement proceedings to which the application relates of the application and its substance;(b) 将申请及申请书内容通知采购实体以及该申请所涉采购程序的所有已确认参与方;
(c) Notify all identified participants in the procurement proceedings to which the application relates of its decision on suspension. Where the [name of the independent body] decides to suspend the procurement proceedings [or the performance of a procurement contract or the operation of a framework agreement, as the case may be], it shall in addition specify the period of the suspension. Where it decides not to suspend them, it shall provide the reasons for its decision to the applicant and to the procuring entity;(c) 将其暂停决定通知该申请所涉采购程序的所有已确认参与方。[独立机构名称]决定暂停采购程序[、采购合同的履行或者框架协议的执行(视情况而定)]的,[独立机构名称]还应当具体规定暂停期。[独立机构名称]决定不作上述暂停的,[独立机构名称]应当向申请人以及采购实体提供其决定的理由;并且
and
(d) Publish a notice of the application.(d) 登载该申请的通知。
6. The [name of the independent body] may dismiss the application and shall lift any suspension applied, where it decides that:6. [独立机构名称]认定存在下列情况的,可以驳回该申请,并应当取消任何已适用的暂停:
(a) The application is manifestly without merit or was not presented in compliance with the deadlines set out in paragraph 2 of this article;(a) 该申请明显不值得审议,或者申请书未按照本条第2款规定的截止时间提交;或者
or
(b) The applicant is without standing.(b) 申请人不具备资格。
The [name of the independent body] shall promptly notify the applicant, the procuring entity and all other participants in the procurement proceedings of the dismissal and the reasons therefor and that any suspension in force is lifted. Such a dismissal constitutes a decision on the application.[独立机构名称]应当将驳回及其理由迅速通知申请人、采购实体以及采购程序的其他所有参与方,并通知其任何生效的暂停已被取消。此种驳回构成就该申请作出的决定。
7. The notices to the applicant, the procuring entity and other participants in the procurement proceedings under paragraphs 5 and 6 of this article shall be given no later than three (3) working days after receipt of the application.7. 本条第5款和第6款规定的对申请人、采购实体以及采购程序其他参与方的通知,至迟应当在收到申请书后三(3)个工作日内发出。
8. Promptly upon receipt of a notice under paragraph 5 (b) of this article, the procuring entity shall provide the [name of the independent body] with effective access to all documents relating to the procurement proceedings in its possession, in a manner appropriate to the circumstances.8. 采购实体收到根据本条第5款(b)项发出的通知时,应当以适合具体情形的方式,迅速向[独立机构名称]提供其掌握的与采购程序有关的一切文件的有效查阅办法。
9. In taking its decision on an application that it has entertained, the [name of the independent body] may declare the legal rules or principles that govern the subject matter of the application, shall address any suspension in force and shall take one or more of the following actions, as appropriate:9. 在就[独立机构名称]所受理的申请作出决定时,[独立机构名称]可以宣布对该申请所涉事项的管辖法律规则或原则,应当处理任何生效的暂停,并应当酌情采取下列一种或几种行动:
(a) Prohibit the procuring entity from acting, taking a decision or following a procedure that is not in compliance with the provisions of this Law;(a) 禁止采购实体采取不符合本法规定的行动、作出不符合本法规定的决定或者实施不符合本法规定的程序;
(b) Require the procuring entity that has acted or proceeded in a manner that is not in compliance with the provisions of this Law to act, to take a decision or to proceed in a manner that is in compliance with the provisions of this Law;(b) 采购实体已经以不符合本法规定的方式采取行动或者实施程序的,要求其以符合本法规定的方式采取行动、作出决定或者实施程序;
[(c) Overturn in whole or in part an act or a decision of the procuring entity that is not in compliance with the provisions of this Law [other than any act or decision bringing the procurement contract or the framework agreement into force];[(c) 全部或部分推翻采购实体不符合本法规定的行动或决定[,但不包括使采购合同或框架协议生效的任何行动或决定];
(d) Revise a decision by the procuring entity that is not in compliance with the provisions of this Law [other than any act or decision bringing the procurement contract or the framework agreement into force];(d) 修正采购实体不符合本法规定的决定[,但不包括使采购合同或框架协议生效的任何行动或决定];
(e) Confirm a decision of the procuring entity;(e) 确认采购实体作出的决定;
(f) Overturn the award of a procurement contract or a framework agreement that has entered into force in a manner that is not in compliance with the provisions of this Law and, if notice of the award of the procurement contract or the framework agreement has been published, order the publication of notice of the overturning of the award;](f) 采购合同或框架协议已经以不符合本法规定的方式生效的,废标,已经发布采购合同或框架协议授标公告的,下令发布废标公告;]
(g) Order that the procurement proceedings be terminated;(g) 下令终止采购程序;
(h) Dismiss the application;(h) 驳回该申请;
(i) Require the payment of compensation for any reasonable costs incurred by the supplier or contractor submitting an application as a result of an act or decision of, or procedure followed by, the procuring entity in the procurement proceedings that is not in compliance with the provisions of this Law, and for any loss or damages suffered[, which shall be limited to the costs of the preparation of the submission or the costs relating to the application, or both];(i) 要求赔付提出申请的供应商或承包商由于采购实体在采购程序中采取不符合本法规定的行动、作出不符合本法规定的决定或者实施不符合本法规定的程序而支付的任何合理费用,并且赔付所遭受的任何损失或损害[,赔付额限于提交书编写费、限于相关申请费,或者限于这两项费用];或者
or
(j) Take such alternative action as is appropriate in the circumstances.(j) 根据情况采取其他适当行动。
10. The decision of the [name of the independent body] under paragraph 9 of this article shall be issued within … working days [the enacting State specifies the period] after receipt of the application.10. [独立机构名称]根据本条第9款作出的决定,应当在收到申请书后……个工作日[颁布国列明期限]内下达。
The [name of the independent body] shall immediately thereafter communicate the decision to the procuring entity, to the applicant, to all other participants in the application for review and to all other participants in the procurement proceedings.[独立机构名称]随即应当将该决定告知采购实体、申请人、复议申请的其他所有参与方以及采购程序的其他所有参与方。
11. All decisions of the [name of the independent body] under this article shall be in writing, shall state the action taken and the reasons therefor and shall promptly be made part of the record of the procurement proceedings, together with the application received by the [name of the independent body] under this article.11. [独立机构名称]根据本条作出的所有决定,均应当以书面形式作成,应当列明所采取的行动及其理由,并应当连同[独立机构名称]根据本条收到的申请书迅速成为采购程序记录的一部分。
Article 68第68条
Rights of participants in challenge proceedings质疑程序参与方的权利
1. Any supplier or contractor participating in the procurement proceedings to which the application relates, as well as any governmental authority whose interests are or could be affected by the application, shall have the right to participate in challenge proceedings under articles 66 and 67 of this Law.1. 凡是参加该申请所涉采购程序的供应商或供应商,以及凡是其利益受到或可能受到该申请影响的政府主管部门,均应当有权参加本法第66条和第67条下的质疑程序。
A supplier or contractor duly notified of the proceedings that fails to participate in such proceedings is barred from subsequently challenging under articles 66 and 67 of this Law the decisions or actions that are the subject matter of the application.供应商或承包商接获质疑程序正式通知而未参加此种程序的,禁止该供应商或承包商此后根据本法第66条和第67条质疑就该申请所涉事项作出的决定或采取的行动。
2. The procuring entity shall have the right to participate in challenge proceedings under article 67 of this Law.2. 采购实体应当有权参加本法第67条下的质疑程序。
3.
The participants in challenge proceedings under articles 66 and 67 of this Law shall have the right to be present, represented and accompanied at all hearings during the proceedings; the right to be heard; the right to present evidence, including witnesses; the right to request that any hearing take place in public;3. 本法第66条和第67条下的质疑程序的参与方,应当有权在相应质疑程序期间的所有审理中出庭、委托代表出庭或在陪同下出庭;有权作出申述;有权出示证据(包括提出证人);有权请求公开举行任何审理;并且有权在不违反本法第69条的规定的情况下寻求查取质疑程序记录。
and the right to seek access to the record of the challenge proceedings subject to the provisions of article 69 of this Law.
Article 69第69条
Confidentiality in challenge proceedings质疑程序的保密
No information shall be disclosed in challenge proceedings and no public hearing under articles 66 and 67 of this Law shall take place if so doing would impair the protection of essential security interests of the State, would be contrary to law, would impede law enforcement, would prejudice the legitimate commercial interests of the suppliers or contractors or would impede fair competition.无论是在质疑程序中披露信息,还是举行本法第66条和第67条规定的公开审理,凡是将不利于保护国家基本安全利益、将违反法律、将妨碍执法、将损害供应商或承包商的正当商业权益,或者将妨碍公平竞争的,一律不得进行此种披露,也不得举行此种公开审理。
Annex II附件二
List of documents before the Commission at its forty-fourth session委员会第四十四届会议文件一览表
Symbol文号
Title or description标题或说明
A/CN.9/711 and Corr.1A/CN.9/711和Corr.1
Provisional agenda, annotations thereto and scheduling of meetings of the forty-fourth session第四十四届会议临时议程、临时议程说明和会议时间安排
A/CN.9/712A/CN.9/712
Report of Working Group II (Arbitration and Conciliation) on the work of its fifty-third session (Vienna, 4-8 October 2010)第二工作组(仲裁和调解)第五十三届会议 (2010年10月4日至8日,维也纳)工作报告
A/CN.9/713A/CN.9/713
Report of Working Group I (Procurement) on the work of its nineteenth session (Vienna, 1-5 November 2010)第一工作组(采购)第十九届会议工作报告 (2010年11月1日至5日,维也纳)
A/CN.9/714A/CN.9/714
Report of Working Group VI (Security Interests) on the work of its eighteenth session (Vienna, 8-12 November 2010)第六工作组(担保权益)第十八届会议工作报告 (2010年11月8日至12日,维也纳)
A/CN.9/715A/CN.9/715
Report of Working Group V (Insolvency Law) on the work of its thirty-ninth session (Vienna, 6-10 December 2010)第五工作组(破产法)第三十九届会议工作报告(2010年12月6日至10日,维也纳)
A/CN.9/716A/CN.9/716
Report of Working Group III (Online Dispute Resolution) on the work of its twenty-second session (Vienna, 13-17 December 2010)第三工作组(网上争议解决)第二十二届会议工作报告(2010年12月13日至17日,维也纳)
A/CN.9/717A/CN.9/717
Report of Working Group II (Arbitration and Conciliation) on the work of its fifty-fourth session (New York, 7-11 February 2011)第二工作组(仲裁和调解)第五十四届会议(2011年2月7日至11日,纽约)工作报告
A/CN.9/718A/CN.9/718
Report of Working Group I (Procurement) on the work of its twentieth session (New York, 14-18 March 2011)第一工作组(采购)第十届会议工作报告(2011年3月14日至日,)
A/CN.9/719A/CN.9/719
Report of Working Group VI (Security Interests) on the work of its nineteenth session (New York, 11-15 April 2011)2011年月日至日,第六工作组(担保权益)第十九届会议报告(2011年4月11日至15日)
A/CN.9/720A/CN.9/720
Note by the Secretariat on comparison and analysis of major features of international instruments relating to secured transactions秘书处关于担保交易国际文书主要特征对比和分析的说明
A/CN.9/721A/CN.9/721
Report of Working Group III (Online Dispute Resolution) on the work of its twenty-third session (New York, 23-27 May 2011)第三工作组(网上争议解决)第二十三届会议(2011年5月23日至27日,纽约)工作报告
A/CN.9/722A/CN.9/722
Note by the Secretariat on bibliography of recent writings related to the work of UNCITRAL秘书处关于贸易法委员会工作相关的近期著述书目的说明
A/CN.9/723A/CN.9/723
Note by the Secretariat on the status of conventions and model laws秘书处关于各公约和示范法的现状的说明
A/CN.9/724A/CN.9/724
Note by the Secretariat on technical cooperation and assistance秘书处关于技术合作与援助的说明
A/CN.9/725A/CN.9/725
Note by the Secretariat on coordination activities秘书处关于协调活动的说明
A/CN.9/726A/CN.9/726
Note by the Secretariat on the promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts秘书处关于促进确保统一解释和适用贸易法委员会法规的方式方法的说明
A/CN.9/727A/CN.9/727
Note by the Secretariat on legal and regulatory issues surrounding microfinance秘书处关于小额金融相关法律和监管问题的说明
A/CN.9/728 and Add.1A/CN.9/728和Add.1
Note by the Secretariat on present and possible future work on electronic commerce秘书处关于电子商务现行工作和今后可能开展的工作的说明
A/CN.9/729 and Add.1-8A/CN.9/729和Add.1-8
Note by the Secretariat on the draft revised text of the Model Law秘书处关于示范法修订案文草案的说明
A/CN.9/730 and Add.1 and 2A/CN.9/730和Add.1-2
Note by the Secretariat on the finalization and adoption of the UNCITRAL Model Law on Public Procurement: compilation of comments by Governments and international organizations on the draft Model Law on Public Procurement秘书处关于最后审定并通过《贸易法委员会公共采购示范法》的说明:各国政府和国际组织对公共采购示范法草案的意见汇编
A/CN.9/731 and Add.1-9A/CN.9/731和Add.1-9
Note by the Secretariat on the revised Guide to Enactment to accompany the UNCITRAL Model Law on Public Procurement秘书处关于《贸易法委员会公共采购示范法》所附的《颁布指南》修订本的说明
A/CN.9/732 and Add.1-3A/CN.9/732和Add.1-3
Note by the Secretariat on judicial materials on the UNCITRAL Model Law on Cross-Border Insolvency秘书处关于《贸易法委员会跨国界破产示范法》的司法材料的说明
A/CN.9/733 and Add.1A/CN.9/733和Add.1
Note by the Secretariat on judicial materials on the UNCITRAL Model Law on Cross-Border Insolvency: compilation of comments by Governments秘书处关于《贸易法委员会跨国界破产示范法》的司法材料的说明:政府评论意见汇编
A/CN.9/734A/CN.9/734
Note by the Secretariat transmitting a proposal by the United Nations Conference on Trade and Development on strengthening awareness and use of alternative dispute resolution methods in the settlement of investment disputes秘书处转发联合国贸易和发展会议关于提高认识,更多地使用替代争议解决方法解决投资争议的说明
1 Pursuant to General Assembly resolution 2205 (XXI), the members of the Commission are elected for a term of six years. Of the current membership, 30 were elected by the Assembly at its sixty-first session, on 22 May 2007 (decision 61/417), 28 were elected by the Assembly at its sixty-fourth session, on 3 November 2009 and two were elected by the Assembly at its sixty-fourth session, on 15 April 2010. By its resolution 31/99, the Assembly altered the dates of commencement and termination of membership by deciding that members would take office at the beginning of the first day of the regular annual session of the Commission immediately following their election and that their terms of office would expire on the last day prior to the opening of the seventh regular annual session following their election. The following six States members elected by the Assembly on 3 November 2009 agreed to alternate their membership among themselves until 2016 as follows: Belarus (2010-2011, 2013-2016), Czech Republic (2010-2013, 2015-2016), Poland (2010-2012, 2014-2016), Ukraine (2010-2014), Georgia (2011-2015) and Croatia (2012-2016).1 根据大会第2205 (XXI)号决议,委员会成员经选举产生,任期六年。在现任成员中,30个由大会第六十一届会议于2007年5月22日选出(第61/417号决定),28个由大会第六十四届会议于2009年11月3日选出,2个由大会第六十四届会议于2010年4月15日选出。大会第31/99号决议改变了成员资格的开始和终止日期,决定当选成员应从其当选后紧接着召开的委员会年度常会开始的第一天起就职,任期应于其当选后委员会第七届年度常会开幕前的最后一天届满。大会于2009年11月3日选出的以下6个成员国同意在2016年之前轮流出任委员会成员:白俄罗斯(2010-2011年、2013-2016年)、捷克共和国(2010-2013年、2015-2016年)、波兰(2010-2012年、2014-2016年)、乌克兰(2010-2014年)、格鲁吉亚(2011-2015年)、克罗地亚(2012-2016年)。
2 United Nations publication, Sales No. E.98.V.13.2 联合国出版物,出售品编号:E.98.V.13。
3 Official Records of the General Assembly, Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 81 and 82.3 《大会正式记录,第五十九届会议,补编第17号》(A/59/17),第81和82段。
4 For the reports of the Working Group on the work of its sixth to twentieth sessions, see A/CN.9/568, A/CN.9/575, A/CN.9/590, A/CN.9/595, A/CN.9/615, A/CN.9/623, A/CN.9/640, A/CN.9/648, A/CN.9/664, A/CN.9/668, A/CN.9/672, A/CN.9/687, A/CN.9/690, A/CN.9/713 and A/CN.9/718, respectively.4 关于工作组第六届会议至第二十届会议的工作报告,分别见A/CN.9/568、A/CN.9/575、A/CN.9/590、A/CN.9/595、A/CN.9/615、A/CN.9/623、A/CN.9/640、A/CN.9/648、A/CN.9/664、A/CN.9/668、A/CN.9/672、A/CN.9/687、A/CN.9/690、A/CN.9/713、A/CN.9/718。
5 Agreement on Government Procurement, article VI, para. 3; available from www.wto.org/english/tratop_E/gproc_e/gp_gpa_e.htm.5 《政府采购协定》,第六条第3款;查阅网址:www.wto.org/english/tratop_E/gproc_e/ gp_gpa_e.htm。
6 For the text of the Guide, see document A/CN.9/403, which was reproduced in the Yearbook of the United Nations Commission on International Trade Law, vol. XXV: 1994 (United Nations publication, Sales No. E.95.V.20), part three, annex II.6 《指南》案文见A/CN.9/403号文件,也刊载于《联合国国际贸易法委员会年鉴》,第二十五卷:1994年(联合国出版物,出售品编号:E.95.V.20),第三部分,附件二。
The Guide is available in electronic form from the UNCITRAL website at www.uncitral.org/pdf/english/texts/procurem/ml-procurement/ml-procure.pdf.《指南》电子版可在贸易法委员会网站上查阅:www.uncitral.org/pdf/english/texts/procurem/ ml-procurement/ml-procure.pdf。
7 United Nations, Treaty Series, vol. 2349, No. 42146.7 联合国,《条约汇编》,第2349卷, 第42146号。
8 Official Records of the General Assembly, Forty-ninth Session, Supplement No. 17 and corrigendum (A/49/17 and Corr.1), para. 97.8 《大会正式纪录,第四十九届会议,补编第17号》和更正(A/49/17和Corr.1),第97段。
9 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), para. 81.9 同上,《第五十九届会议,补编第17号》(A/59/17),第81段。
10 Ibid., para. 82.10 同上,第82段。
11 The report of the colloquium is available from www.uncitral.org/pdf/english/news/NinthJC.pdf.11 该座谈会的报告可在以下网址查阅:www.uncitral.org/pdf/english/news/NinthJC.pdf。
12 United Nations publication, Sales No. E.99.V.3.12 联合国出版物,出售品编号:E.99.V.3。
13 Official Records of the General Assembly, Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), para. 314.13 《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。
14 Ibid., Sixty-first Session, Supplement No. 17 (A/61/17), para. 187.14 同上,《第六十一届会议,补编第17号》(A/61/17),第187段。
15 Ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), annex I.15 同上,《第六十五届会议,补编第17号》(A/65/17),第189段。
16 Ibid., para. 189.16 同上,附件一。
17 Ibid., Fifty-first Session, Supplement No. 17 (A/51/17), part II.17 同上,《第五十一届会议,补编第17号》(A/51/17),第二部分。
18 Ibid., Fortieth Session, Supplement No. 17 (A/40/17), annex I; and ibid., Sixty-first Session, Supplement No. 17 (A/61/17), annex I. For previous discussions on the issue, see ibid., Sixty-first Session, Supplement No. 17 (A/61/17), para. 176.18 同上,《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。之前对该问题的讨论见同上,《第六十一届会议,补编第17号》(A/61/17),第176段。
19 Investor-State Disputes: Prevention and Alternatives to Arbitration, United Nations publication, Sales No. E.10.II.D.11; available from www.unctad.org/en/docs/diaeia200911_en.pdf.19 《投资人与国家间争议:预防和仲裁替代办法》,联合国出版物,出售品编号:E.10.II.D.11;可在以下网址查阅:www.unctad.org/en/docs/diaeia200911_en.pdf。
20 Official Records of the General Assembly, Thirty-fifth Session, Supplement No. 17 (A/35/17), para. 106.20 《大会正式记录,第三十五届会议,补编第17号》(A/35/17),第106段。
21 United Nations publication, Sales No. E.05.V.4.21 联合国出版物,出售品编号:E.05.V.4。
22 Official Records of the General Assembly, Sixty-fourth Session, Supplement No. 17 (A/64/17), paras. 338 and 341-343; and ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), paras. 252 and 257.22 《大会正式记录,第六十四届会议,补编第17号》(A/64/17),第338段和第341-343段;以及同上,《第六十五届会议,补编第17号》(A/65/17),第252和257段。
23 Ibid. Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 256.23 同上,《第六十五届会议,补编第17号》(A/65/17),第256段。
24 Ibid., para. 259.24 同上,第259段。
25 The report of the colloquium is available from www.uncitral.org/pdf/english/news/NinthJC.pdf.25 这次座谈会的报告可在以下网址查阅:www.uncitral.org/pdf/english/news/NinthJC.pdf。
26 United Nations publication, Sales No. E.05.V.10.26 联合国出版物,出售品编号:E.05.V.10。
27 Available from www.worldbank.org.27 可在以下网址查阅:www.worldbank.org。
28 Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), paras. 265-268.28 《大会正式记录,第六十五届会议,补编第17号》(A/65/17),第265-268段。
29 United Nations publication, Sales No. E.09.V.12.29 联合国出版物,出售品编号:E.09.V.12。
30 General Assembly resolution 56/81, annex.30 大会第56/81号决议,附件。
31 Regulation (EC) No. 593/2008 of the European Parliament and of the Council of the European Union of 17 June 2008.31 欧洲议会和欧洲联盟理事会2008年6月17日第593/2008号条例(欧盟委员会)。
32 Information about the colloquium is also available from www.uncitral.org/uncitral/en/commission/colloquia/electronic-commerce-2010.html.32 还可在以下网址查阅这次专题讨论会的相关信息:www.uncitral.org/uncitral/en/commission/ colloquia/electronic-commerce-2010.html。
33 General Assembly resolution 63/122, annex.33 大会第63/122号决议,附件。
34 Official Records of the General Assembly, Sixty-fourth Session, Supplement No. 17 (A/64/17), paras. 432 and 433; and ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), paras. 275-276 and 280.34 《大会正式记录,第六十四届会议,补编第17号》(A/64/17),第432和433段;以及同上,《第六十五届会议,补编第17号》(A/65/17),第275-276段和第280段。
35 Available from www.bis.org/publ/bcbs129.htm.35 可在以下网址查阅:www.bis.org/publ/bcbs129.htm。
36 Official Records of the General Assembly, Sixty-fourth Session, Supplement No. 17 (A/64/17), paras. 356-357.36 《大会正式记录,第六十四届会议,补编第17号》(A/64/17),第356-357段。
37 United Nations, Treaty Series, vol. 2169, No. 38030.37 联合国《条约汇编》,第2169卷,第38030号。
38 Official Records of the General Assembly, Fiftieth Session, Supplement No. 17 (A/50/17), paras. 401-404; and ibid., Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), paras. 355 and 356.38 《大会正式记录,第五十届会议,补编第17号》(A/50/17),第401-404段;以及同上,《第六十三届会议,补编第17号》(A/63/17和Corr.1),第355和356段。
39 United Nations, Treaty Series, vol. 1489, No. 25567.39 联合国《条约汇编》,第1489卷,第25567号。
40 Official Records of the General Assembly, Sixty-fourth Session, Supplement No. 17 (A/64/17), para. 363.40 《大会正式记录,第六十四届会议,补编第17号》(A/64/17),第363段。
41 Official Records of the United Nations Conference on Prescription (Limitation) in the International Sale of Goods, New York, 20 May-14 June 1974 (United Nations publication, Sales No. E.74.V.8), part I.41 《联合国国际货物销售时效(期限)问题会议正式记录,1974年5月20日至6月14日,纽约》(联合国出版物,出售品编号:E.74.V.8),第一部分。
42 Official Records of the United Nations Conference on Contracts for the International Sale of Goods, Vienna, 10 March-11 April 1980 (United Nations publication, Sales No. E.81.IV.3), part I.42 《联合国国际货物销售合同问题会议正式记录,1980年3月10日至4月11日,维也纳》(联合国出版物,出售品编号:E.81.IV.3),第一部分。
43 United Nations, Treaty Series, vol. 330, No. 4739.43 联合国《条约汇编》,第330卷,第4739号。
44 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.44 《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。
45 Ibid., Fifty-seventh Session, Supplement No. 17 (A/57/17), annex I.45 同上,《第五十七届会议,补编第17号》(A/57/17),附件一。
46 General Assembly resolution 63/122, annex. The Convention has not yet entered into force; it requires 20 States parties for entry into force.46 大会第63/122号决议,附件。公约尚未生效;公约生效需有20个缔约国。
47 Official Records of the General Assembly, Fifty-first Session, Supplement No. 17 (A/51/17), annex I.47 《大会正式记录,第五十一届会议,补编第17号》(A/51/17),附件一。
48 Ibid., Fifty-sixth Session, Supplement No. 17 and corrigendum (A/56/17 and Corr.3), annex II.48 同上,《第五十六届会议,补编第17号》和更正(A/56/17和Corr.3),附件。
49 Available in pre-release form from www.uncitral.org/uncitral/en/uncitral_texts/insolvency.html.49 可在以下网址查阅预发本:www.uncitral.org/uncitral/en/uncitral_texts/insolvency.html。
50 The notes by the Secretariat under the present agenda item are prepared pursuant to paragraph 5 (b) of General Assembly resolution 34/142 and in accordance with the mandate of UNCITRAL. In that resolution, the Assembly requested the Secretary-General to place before the Commission, at each of its sessions, a report on the legal activities of the international organs, organizations and bodies concerned with international trade law, together with recommendations as to the steps to be taken by the Commission to fulfil its mandate of coordinating the work of organizations active in the field of international trade law and encouraging cooperation among them.50 本议程项目下的秘书处说明是根据大会第34/142号决议第5(b)段以及贸易法委员会的任务授权编写的。在该决议中,大会请秘书长向贸易法委员会每一届会议报告各有关国际机构、组织和机关开展与国际贸易法有关的法律活动的情况,并提出建议说明委员会应当采取何种步骤完成其下述任务:协调活跃在国际贸易法领域的其他组织所开展的活动并鼓励其相互合作。
51 See para. 7 of the resolution.51 见该决议第7段。
52 Available from www.unidroit.org/english/modellaws/2008leasing/main.htm.52 可在以下网址查阅:www.unidroit.org/english/modellaws/2008leasing/main.htm。
53 Available from www.unidroit.org/english/conventions/1988leasing/main.htm.53 可在以下网址查阅:www.unidroit.org/english/conventions/1988leasing/main.htm。
54 Available from www.unidroit.org/english/conventions/mobile-equipment/main.htm.54 可在以下网址查阅:www.unidroit.org/english/conventions/mobile-equipment/main.htm。
55 Available from www.unidroit.org/english/conventions/2009intermediatedsecurities/main.htm.55 可在以下网址查阅:www.unidroit.org/english/conventions/2009intermediatedsecurities/ main.htm。
56 Available from www.unidroit.org/english/conventions/1995culturalproperty/main.htm.56 可在以下网址查阅:www.unidroit.org/english/conventions/1995culturalproperty/main.htm。
57 Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), annex III.57 《大会正式记录,第六十五届会议,补编第17号》(A/65/17),附件三。
58 Official Records of the General Assembly, Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), paras. 385-386; ibid., Sixty-fourth Session, Supplement No. 17 (A/64/17), paras. 412-420; and ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), paras. 313-336.58 《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385-386段;同上,《第六十四届会议,补编第17号》(A/64/17),第412-420段;同上,《第六十五届会议,补编第17号》(A/65/17),第313-336段。
59 本文件提及科索沃之处均应理解为符合安全理事会第1244(1999)号决议。
60 Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17), part I, para. 243.60 《大会正式记录,第六十二届会议,补编第17号》(A/62/17),第一部分,第243段。
61 A/62/6 (Sect. 8) and Corr.1, table 8.19 (d).61 A/62/6(第8节)和Corr.1,表8.19(d)。
62 Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 348.62 《大会正式记录,第六十五届会议,补编第17号》(A/65/17),第348段。
63 Ibid., Fifty-ninth Session, Supplement No. 17 (A/59/17), paras. 129-130.63 同上,《第五十九届会议,补编第17号》(A/59/17),第129-130段。
64 Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 275.64 同上,《第五十八届会议,补编第17号》(A/58/17),第275段。
65 The text in brackets in this article is relevant to, and intended for consideration by, federal States.65 本条款括号内的案文与联邦制国家有关,意在供这些国家考虑。
66 States may choose not to incorporate all the methods of procurement listed in this article into their national legislation, although an appropriate range of options, including open tendering, should be always provided for.66 各国可以选择不将本条列出的所有采购方法纳入本国立法,但无论如何都要规定适当的选择范围,其中应包括公开招标。
On this question, see the Guide to Enactment of the UNCITRAL Model Law on Public Procurement (A/CN.9/…).关于这个问题,参见《贸易法委员会公共采购示范法颁布指南》(A/CN.9/…)。
States may consider whether, for certain methods of procurement, to include a requirement for high-level approval by a designated organ.各国可以考虑是否对某些采购方法提出须报请指定机关批准这一要求。
On this question, see the Guide to Enactment.关于这个问题,参见《颁布指南》。
67 The enacting State may consider enacting the provisions in brackets if it wishes to subject the use of this procurement method to a measure of ex ante control.67 颁布国希望以预期控制措施限制此种采购方法的使用的,似可考虑颁布括号内的条文。
68 Certain options are presented in this Chapter in square brackets.68 本章中的某些任择内容置于方括号内。