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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-ninth session (27 June-15 July 2016)第四十九届会议 (2016年6月27日至7月15日)
General Assembly大会
Official Records正式记录
Seventy-first session第七十一届会议
Supplement No. 17补编第17号
General Assembly大会
Official Records正式记录
Seventy-first session第七十一届会议
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-ninth session第四十九届会议
(27 June-15 July 2016)(2016年6月27日至7月15日)
United Nations • New York, 2016联合国 2016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。
Contents目录 章次
Page页次
1. Introduction1. 导言
11
2. Organization of the session2. 会议安排
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
54
3. Consideration of issues in the area of security interests3. 审议担保交易领域的问题
54
A. Finalization and adoption of a draft Model Law on Secured TransactionsA. 最后审定并通过担保交易示范法草案
54
1. Introduction1. 导言
54
2. Consideration of the draft Model Law2. 审议示范法草案
65
3. Adoption of the UNCITRAL Model Law on Secured Transactions3. 通过《贸易法委员会担保交易示范法》
2420
B. Consideration of the draft Guide to Enactment of the draft Model Law on Secured TransactionsB. 审议担保交易示范法草案的颁布指南草案
2723
C. Possible future work in the area of security interestsC. 今后在担保权益领域可能开展的工作
2723
D. Coordination and cooperationD. 协调与合作
2824
4. Consideration of issues in the area of arbitration and conciliation4. 审议仲裁和调解领域的问题
2924
A. Finalization and adoption of the revised UNCITRAL Notes on Organizing Arbitral ProceedingsA. 最后审定并通过《贸易法委员会关于安排仲裁程序的说明》
2924
1. Introduction1. 导言
2924
2. Consideration of the draft revised Notes2. 审议《说明》修订本草案
3025
3. Approval of the draft revised Notes3. 核准《说明》修订草案
3328
4. Promotion of the 2016 UNCITRAL Notes on Organizing Arbitral Proceedings4. 推广2016年《贸易法委员会关于安排仲裁程序的说明》
3429
B. Progress report of Working Group IIB. 第二工作组进度报告
3530
C. Establishment and functioning of the transparency repositoryC. 透明度存储处的设立和运作
3630
D. Possible future work in the area of arbitration and conciliationD. 今后在仲裁和调解领域可能开展的工作
3732
1.1. 并行程序
Concurrent proceedings 3732
2. Code of ethics/conduct for arbitrators2. 仲裁员道德(行为)守则
3933
3. Possible work on reform of investor-State dispute settlement system3. 可能就投资人与国家间争议解决制度改革开展的工作
4034
4. Conclusion4. 结论
4235
E. Secretariat Guide on the New York ConventionE. 秘书处关于《纽约公约》的指南
4236
F. International commercial arbitration and mediation moot competitionsF. 国际商事仲裁和调解模拟辩论赛
4236
1. Willem C. Vis International Commercial Arbitration Moot1. 维斯国际商事仲裁模拟辩论赛
4236
2. Madrid Commercial Arbitration Moot 20162. 2016年马德里商事仲裁模拟辩论赛
4336
3. Mediation and negotiation competition3. 调解与谈判竞赛
4337
5. Consideration of issues in the area of online dispute resolution: finalization and adoption of Technical Notes on Online Dispute Resolution5. 审议网上争议解决领域的问题:最后审定并通过《关于网上争议解决的技术指引》
4337
6. Micro-, small- and medium-sized enterprises: progress report of Working Group I6. 中小微企业:第一工作组进度报告
4639
7. Consideration of issues in the area of electronic commerce7. 审议电子商务领域的问题
4841
A. Progress report of Working Group IVA. 第四工作组进度报告
4841
B. Future work in the area of electronic commerceB. 今后在电子商务领域可能开展的工作
4941
C. Cooperation with UN/ESCAP in the field of paperless tradeC. 在无纸贸易领域与联合国/亚太经社会的合作
5143
8. Insolvency law: progress report of Working Group V8. 破产法:第五工作组进度报告
5143
9. Technical assistance to law reform9. 法律改革技术援助
5345
A. General discussionA. 一般性讨论
5345
B. Consideration of a draft guidance note on strengthening United Nations support to States, upon their request, to implement sound commercial law reformsB. 审议关于加强联合国应请求支助各国落实健全商法改革的指导意见说明草案
5546
10. Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts10. 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
5747
11.11. 贸易法委员会法规的现状和促进
Status and promotion of UNCITRAL legal texts 5949
12. Coordination and cooperation12. 协调与合作
6050
A. GeneralA. 概述
6050
B. Reports of other international organizationsB. 其他国际组织的报告
6151
1.1. 统法协会
Unidroit 6151
2. The Hague Conference on Private International Law2. 海牙国际私法会议
6252
C. International governmental and non-governmental organizations invited to sessions of UNCITRALC. 获邀参加贸易法委员会届会的国际政府组织和非政府组织
6352
13. UNCITRAL regional presence13. 贸易法委员会的区域存在
6453
14. Role of UNCITRAL in promoting the rule of law at the national and international levels14. 贸易法委员会在促进国内和国际法治方面的作用
6655
A. IntroductionA. 导言
6655
B. Implementation of the relevant decisions taken by the Commission at its forty-eighth sessionB. 委员会第四十八届会议所作相关决定的执行情况
6756
C. Summary of the rule of law briefingC. 法治通报会概要
6857
D. UNCITRAL comments to the General AssemblyD. 贸易法委员会提交大会的评论意见
6958
1. Summary of the panel discussion on practices of States in the implementation of multilateral treaties emanated from the work of UNCITRAL1. 关于各国执行贸易法委员会工作所产生的多边条约实际做法的小组讨论概要
6958
2. Summary of the panel discussion on practical measures to facilitate access to justice in the commercial law context, in particular by MSMEs2. 关于特别便利中小微企业获得商法方面司法救助的实际措施的小组讨论摘要
7260
3. Comments by the Commission3. 委员会的评论意见
7361
15. Work Programme of the Commission15. 委员会的工作方案
7461
A. Legislative developmentA. 立法制定工作
7462
1.1. 中小微企业
MSMEs 7462
2. Arbitration and conciliation2. 仲裁和调解
7562
3. Online dispute resolution3. 网上争议解决
7562
4. Electronic commerce4. 电子商务
7563
5. Insolvency5. 破产
7563
6. Security interests6. 担保权益
7663
7. Public procurement and infrastructure development7. 公共采购和基础设施发展
7663
8. Possible colloquium on updating development on commercial fraud8. 可能举办关于商业欺诈方面最新动态的专题讨论会
7764
9. Allocation of conference resources9. 会议资源分配
7865
B. Support activitiesB. 支助活动
7865
16. Congress 201716. 2017年大会
7965
17. Relevant General Assembly resolutions17. 大会的有关决议
7966
18.18. 其他事项
66
Other business 80 A. Entitlement to summary recordsA. 获得简要记录的权利
8066
B. Internship programmeB. 实习方案
8067
C. Evaluation of the role of the Secretariat in facilitating the work of the CommissionC. 评价秘书处在促进委员会工作方面所起的作用
8167
D. Methods of workD. 工作方法
8268
19. Date and place of future meetings19. 今后会议的日期和地点
8369
A. Fiftieth session of the CommissionA. 委员会第五十届会议
8469
B. Sessions of working groupsB. 工作组届会
8470
1. Sessions of working groups between the forty-ninth and fiftieth sessions of the Commission1. 委员会第四十九届和第五十届会议之间各工作组的届会
8470
2. Sessions of the Working groups in 2017 after the fiftieth session of the Commission2. 委员会第五十届会议之后各工作组2017年的届会
8470
Annexes附件
1. Technical Notes on Online Dispute Resolution1. 《关于网上争议解决的技术指引》
8671
2. Guidance Note on Strengthening United Nations Support to States, Upon Their Request, to Implement Sound Commercial Law Reforms2. 《关于加强联合国根据请求对各国支助以落实健全商法改革的指导意见说明》
9378
A. About this Guidance NoteA. 关于本《指导意见说明》
9378
B. Guiding principlesB. 指导原则
9378
1. The United Nations work in the field of international commercial law as an integral part of the broader agenda of the United Nations1. 联合国国际商法领域工作作为联合国更广泛议程的一个组成部分
9378
2. United Nations assistance to States, upon their request, with the assessment of local needs for commercial law reforms and their implementation2. 联合国根据请求协助各国评估当地商法改革需要及其落实情况
9479
3. United Nations role in assisting States, upon their request, to implement holistic and properly coordinated commercial law reforms3. 联合国在根据请求协助各国落实通盘考虑、适当协调的商法改革方面的作用
9579
4. United nations support to States, upon their request, with building local capacity to effectively implement sound commercial law reforms4. 联合国根据请求支助各国构建本国有效落实健全商法改革的能力
9580
5. UNCITRAL is the core legal body in the United Nations system in the field of international commercial law and as such should be relied upon by United Nations entities in their support to States, upon their request, to implement sound commercial law reforms5. 贸易法委员会是联合国系统国际商法领域的核心法律机构,因此,联合国各实体在根据请求支助各国落实健全商法改革时应当倚重贸易法委员会
9680
C. Operational frameworkC. 工作框架
9781
1. Legal framework1. 法律框架
9882
2. State institutions involved in commercial law reforms2. 参与商法改革的国家机构
9882
3. Private sector, academia and general public3. 私营部门、学术界和公众
9983
3. List of documents before the Commission at its forty-ninth session3. 委员会第四十九届会议文件一览表
10185
I. Introduction一. 导言
1. The present report of the United Nations Commission on International Trade Law (UNCITRAL) covers the forty-ninth session of the Commission, held in New York from 27 June to 15 July 2016.1. 联合国国际贸易法委员会(贸易法委员会)本报告概述委员会2016年6月27日至7月15日在纽约举行的第四十九届会议的情况。
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. 会议安排
A. Opening of the sessionA. 会议开幕
3. The forty-ninth session of the Commission was opened by the Under-Secretary-General for Legal Affairs and Legal Counsel of the United Nations, Mr. Serpa Soares, on 27 June 2016.3. 2016年6月27日,联合国主管法律事务副秘书长和联合国法律顾问Serpa Soares先生宣布委员会第四十九届会议开幕。
B. Membership and attendanceB. 成员和出席情况
4. The General Assembly, in its resolution 2205 (XXI), established the Commission with a membership of 29 States, elected by the Assembly.4. 大会在其第2205 (XXI)号决议中设立了由大会选出的29个国家组成的贸易法委员会。
By its resolution 3108 (XXVIII) of 12 December 1973, the Assembly increased the membership of the Commission from 29 to 36 States.大会通过1973年12月12日第3108 (XXVIII)号决议,将委员会成员国数目从29个国家增至36个国家。
By its resolution 57/20 of 19 November 2002, the General Assembly further increased the membership of the Commission from 36 States to 60 States.大会在2002年11月19日第57/20号决议中进一步将委员会成员国数目从36个增加到60个。
The current members of the Commission, elected on 14 November 2012, 14 December 2012, 9 November 2015, 15 April 2016 and 17 June 2016 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: Argentina (2022), Armenia (2019), Australia (2022), Austria (2022), Belarus (2022), Brazil (2022), Bulgaria (2019), Burundi (2022), Cameroon (2019), Canada (2019), Chile (2022), China (2019), Colombia (2022), Côte d’Ivoire (2019), Czech Republic (2022), Denmark (2019), Ecuador (2019), El Salvador (2019), France (2019), Germany (2019), Greece (2019), Honduras (2019), Hungary (2019), India (2022), Indonesia (2019), Iran (Islamic Republic of) (2022), Israel (2022), Italy (2022), Japan (2019), Kenya (2022), Kuwait (2019), Lebanon (2022), Lesotho (2022), Liberia (2019), Libya (2022), Malaysia (2019), Mauritania (2019), Mauritius (2022), Mexico (2019), Namibia (2019), Nigeria (2022), Pakistan (2022), Panama (2019), Philippines (2022), Poland (2022), Republic of Korea (2019), Romania (2022), Russian Federation (2019), Sierra Leone (2019), Singapore (2019), Spain (2022), Sri Lanka (2022), Switzerland (2019), Thailand (2022), Turkey (2022), Uganda (2022), United Kingdom of Great Britain and Northern Ireland (2019), United States of America (2022), Venezuela (Bolivarian Republic of) (2022) and Zambia (2019).下列国家是分别于2012年11月14日、2012年12月14日、2015年11月9日、2016年4月15日和2016年6月17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:阿根廷(2022年)、亚美尼亚(2019年)、澳大利亚(2022年)、奥地利(2022年)、白俄罗斯(2022年)、巴西(2022年)、保加利亚(2019年)、布隆迪(2022年)、喀麦隆(2019年)、加拿大(2019年)、智利(2022年)、中国(2019年)、哥伦比亚(2022年)、科特迪瓦(2019年)、捷克共和国(2022年)、丹麦(2019年)、厄瓜多尔(2019年)、萨尔瓦多(2019年)、法国(2019年)、德国(2019年)、希腊(2019年)、洪都拉斯(2019年)、匈牙利(2019年)、印度(2022年)、印度尼西亚(2019年)、伊朗伊斯兰共和国(2022年)、以色列(2022年)、意大利(2022年)、日本(2019年)、肯尼亚(2022年)、科威特(2019年)、黎巴嫩(2022年)、莱索托(2022年)、利比里亚(2019年)、利比亚(2022年)、马来西亚(2019年)、毛里塔尼亚(2019年)、毛里求斯(2022年)、墨西哥(2019年)、纳米比亚(2019年)、尼日利亚(2022年)、巴基斯坦(2022年)、巴拿马(2019年)、菲律宾(2022年)、波兰(2022年)、大韩民国(2019年)、罗马尼亚(2022年)、俄罗斯联邦(2019年)、塞拉利昂(2019年)、新加坡(2019年)、西班牙(2022年)、斯里兰卡(2022年)、瑞士(2019年)、泰国(2022年)、土耳其(2022年)、乌干达(2022年)、大不列颠及北爱尔兰联合王国(2019年)、美利坚合众国(2022年)、委内瑞拉玻利瓦尔共和国(2022年)、赞比亚(2019年)。
5.
With the exception of Burundi, Colombia, Côte d’Ivoire, Iran (Islamic Republic of), Kenya, Kuwait, Lebanon, Liberia, Malaysia, Mauritania, Pakistan, the Philippines and Poland, all the members of the Commission were represented at the session.5. 除布隆迪、哥伦比亚、科特迪瓦、伊朗伊斯兰共和国、肯尼亚、科威特、黎巴嫩、利比里亚、马来西亚、毛里塔尼亚、巴基斯坦、菲律宾和波兰之外,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: Algeria, Cyprus, Dominican Republic, Finland, Iraq, Netherlands, Peru and Swaziland.6. 下列国家派观察员出席了本届会议:阿尔及利亚、塞浦路斯、多米尼加共和国、芬兰、伊拉克、荷兰、秘鲁、瑞士。
7. The session was also attended by observers from the Holy See and the European Union.7. 教廷和欧洲联盟也派观察员出席了会议。
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: European Center for Peace and Development (ECPD), International Centre for Settlement of Investment Disputes (ICSID), United Nations Environmental Programme (UNEP) and World Bank;(a) 联合国系统:欧洲和平与发展中心、国际投资争端解决中心(投资争端解决中心)、联合国环境规划署(环境署)、世界银行;
(b) Intergovernmental organizations: the Hague Conference on Private International Law, International Development Law Organization (IDLO), International Institute for the Unification of Private Law (Unidroit), Maritime Organization of West and Central Africa (MOWCA) and Organization for Economic Cooperation and Development (OECD);(b) 政府间组织:海牙国际私法会议、国际发展法组织、国际统一私法协会(统法协会)、西非和中非海事组织、经济合作与发展组织(经合组织);
(c) Invited non-governmental organizations: American Arbitration Association/International Centre for Dispute Resolution (AAA/ICDR), American Bar Association (ABA), American Society of International Law (ASIL), Asia-Pacific Regional Arbitration Group (APRAG), Association Suisse de l’Arbitrage (ASA), Center for International Dispute Settlement (CIDS), China Society of Private International Law (CSPIL), Commercial Finance Association (CFA), European Law Students’ Association (ELSA), Factors Chain International and the EU Federation for Factoring and Commercial Finance (FCI+EUF), Forum for International Conciliation and Arbitration (FICACIC), Grupo Latinoamericano de Abogados para el Derecho del Comercio Inernational (GLULACI), Institute of Commercial Law/Penn State Dickinson School of Law, Inter-American Commercial Arbitration Commission (IACAC), Inter-Pacific Bar Association (IPBA), International Bar Association (IBA), International Chamber of Commerce (ICC), International Commercial Arbitration Court at the Ukrainian Chamber of Commerce and Industry (ICAC), International Council for Commercial Arbitration (ICCA), International Institute for Conflict Prevention and Resolution (CPR), International Road Transport Union (IRU), International Women’s Insolvency and Restructuring Confideration (IWIRC), Jerusalem Arbitration Center (JAC), London Court of International Arbitration (LCIA), Moot Alumni Association (MAA), National Law Center for Inter-American Free Trade (NLCIFT), New York State Bar Association (NYSBA), Pace Institute of International Commercial Law (PIICL), Regional Centre for International Commercial Arbitration (Lagos, Nigeria) (RCICAL), Universitat de Les Illes Balears (CEDIB), World Association of Former United Nations Interns and Fellows (WAFUNIF) and Wuhan University Institute of International Law (WHU).(c) 受邀请的非政府组织:美国仲裁协会/国际争端解决中心、美国律师协会、美国国际法学会、亚洲太平洋区域仲裁集团、瑞士仲裁协会、国际争议解决中心(争议解决中心)、中国国际私法学会、商业金融协会、欧洲法律学生协会、保理商联号国际/欧盟保理和商业金融联合会、国际调解和仲裁论坛、拉丁美洲国际贸易法律师集团、商法学院/宾州州立大学迪金森法学院、美洲商事仲裁委员会、泛太平洋律师协会、国际律师协会、国际商会、乌克兰工商会国际商事仲裁法院、国际商事仲裁理事会、冲突预防和解决国际研究所、国际公路运输联盟、国际妇女破产和重组联合会、耶路撒冷仲裁中心、伦敦国际仲裁院、模拟仲裁辩论赛赛友会、美洲自由贸易国家法律中心、纽约律师协会、佩斯国际商法学院、国际商事仲裁区域中心(尼日利亚,拉各斯)、巴利阿里群岛大学(巴利阿里法律和信息学研究中心)、联合国前实习人员和研究员世界协会〈前实习人员和研究员协会〉、武汉大学国际法学院。
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 for the quality of texts formulated by the Commission and the Commission requested the Secretariat to continue to invite such organizations to its sessions.它们参加会议对于提高委员会拟定的案文的质量至关重要,委员会请秘书处继续邀请这类组织参加其届会。
C. Election of officersC. 选举主席团成员
10. The Commission elected the following officers:10. 委员会选出了下列主席团成员:
Chair: Mr. Gaston KENFACK DOUAJNI (Cameroon)主席: Gaston KENFACK DOUAJNI先生(喀麦隆)
副主席:
Vice-Chairs: Mr. Rodrigo LABARDINI FLORES (Mexico)Rodrigo LABARDINI FLORES先生(墨西哥)
Mr. David MÜLLER (Czech Republic)David MÜLLER先生(捷克共和国)
Mr. Michael SCHNEIDER (Switzerland)Michael SCHNEIDER先生(瑞士)
Rapporteur: Mr. Jeffrey CHAN (Singapore)报告员: Jeffrey CHAN先生(新加坡)
D. AgendaD. 议程
11. The agenda of the session, as adopted by the Commission at its 1024th meeting, on 27 June, was as follows:11. 委员会在6月27日第1024次会议上通过的会议议程如下:
1. Opening of the session.1. 会议开幕。
2. Election of officers.2. 选举主席团成员。
3. Adoption of the agenda.3. 通过议程。
4. Consideration of issues in the area of security interests:4. 审议担保权益领域的问题:
(a) Finalization and adoption of a draft Model Law on Secured Transactions;(a) 最后审定并通过担保交易示范法草案;
(b) Consideration of the draft Guide to Enactment of the draft Model Law on Secured Transactions;(b) 审议担保交易示范法草案颁布指南草案;
(c) Possible future work in the area of security interests;(c) 今后在担保权益领域可能开展的工作;
(d) Coordination and cooperation.(d) 协调与合作。
5. Consideration of issues in the area of arbitration and conciliation:5. 审议仲裁和调解领域的问题:
(a) Finalization and adoption of the revised UNCITRAL Notes on Organizing Arbitral Proceedings;(a) 最后审定并通过《贸易法委员会关于安排仲裁程序的说明》修订本;
(b) Progress report of Working Group II;(b) 第二工作组进度报告;
(c) Establishment and functioning of the transparency repository;(c) 透明度存储处的设立和运作;
(d) Possible future work in the area of arbitration and conciliation;(d) 今后在仲裁和调解领域可能开展的工作;
(e) Secretariat Guide on the New York Convention;(e) 《秘书处纽约公约指南》;
(f) International commercial arbitration and mediation moot competitions.(f) 国际商事仲裁模和调解拟辩论赛。
6. Consideration of issues in the area of online dispute resolution: finalization and adoption of Technical Notes on Online Dispute Resolution.6. 审议网上争议解决领域的问题:最后审定并通过《关于网上争议解决的技术指引》。
7. Micro-, small- and medium-sized enterprises: progress report of Working Group I.7. 微型、小型和中型企业:第一工作组进度报告。
8. Consideration of issues in the area of electronic commerce:8. 审议电子商务领域的问题:
(a) Progress report of Working Group IV;(a) 第四工作组进度报告;
(b) Future work in the area of electronic commerce;(b) 今后在电子商务领域可能开展的工作;
(c) Cooperation with UN/ESCAP in the field of paperless trade.(c) 在无纸贸易领域与联合国/亚太经社会的合作。
9. Insolvency law: progress report of Working Group V.9. 破产法:第五工作组进度报告。
10. Technical assistance to law reform:10. 法律改革技术援助:
(a) General;(a) 概述;
(b) Consideration of a draft guidance note on strengthening United Nations support to States, upon their request, to implement sound commercial law reforms.(b) 审议关于加强联合国对各国支助以根据其请求落实健全商法改革的指导意见说明草案。
11. Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts:11. 促进可确保贸易法委员会法规统一解释和适用的方式方法:
(a) Case Law on UNCITRAL texts (CLOUT);(a) 贸易法委员会法规判例法(法规判例法);
(b) Digests of case law relating to UNCITRAL legal texts.(b) 贸易法委员会法规判例法摘要集。
12. Status and promotion of UNCITRAL legal texts.12. 贸易法委员会各项法规的现状和推广。
13. Coordination and cooperation:13. 协调与合作:
(a) General;(a) 概述;
(b) Reports of other international organizations;(b) 其他国际组织的报告;
(c) International governmental and non-governmental organizations invited to sessions of UNCITRAL and its Working Groups.(c) 受邀参加贸易法委员会及其工作组届会的国际政府间组织和非政府组织。
14. UNCITRAL regional presence.14. 贸易法委员会的区域存在。
15. Role of UNCITRAL in promoting the rule of law at the national and international levels.15. 贸易法委员会在促进国内和国际法治方面的作用。
16. Work programme of the Commission.16. 委员会的工作方案。
17. Congress 2017.17. 2017年大会。
18. Relevant General Assembly resolutions.18. 大会的有关决议。
19. Other business.19. 其他事项。
20. Date and place of future meetings.20. 今后会议的日期和地点。
21. Adoption of the report of the Commission.21. 通过委员会的报告。
E. Adoption of the reportE. 通过报告
12. The Commission adopted the present report by consensus at its 1033rd meeting, on 1 July, at its 1039th meeting, on 8 July, and at its 1046th meeting, on 15 July 2016.12. 委员会在2016年7月1日第1033次会议、7月8日第1039次会议、7月15日第1046次会议上以协商一致方式通过了本报告。
III. Consideration of issues in the area of security interests三. 审议担保交易领域的问题
A. Finalization and adoption of a draft Model Law on Secured TransactionsA. 最后审定并通过担保交易示范法草案
1. Introduction1. 导言
13.
The Commission recalled that, at its forty-sixth session, in 2013, it had confirmed its decision taken at its forty-fifth session in 2012, that Working Group VI (Security Interests) should prepare a model law on secured transactions (the “draft Model Law”) based on the recommendations of the UNCITRAL Legislative Guide on Secured Transactions (the “Secured Transactions Guide”) and consistent with all texts prepared by the Commission on secured transactions, including the United Nations Convention on the Assignment of Receivables in International Trade (New York, 2001) (the “Assignment Convention”), the Supplement on Security Rights in Intellectual Property (the “Intellectual Property Supplement”), and the UNCITRAL Guide on the Implementation of a Security Rights Registry (the “Registry Guide”).13. 委员会回顾其2013年第四十六届会议曾确认其2012年第四十五届会议作出的决定,即第六工作组(担保权益)应当在《贸易法委员会担保交易立法指南》(《担保交易指南》)各项建议的基础上,按照委员会拟订的关于担保交易的所有法规,包括《联合国国际贸易应收款转让公约》(2001年,纽约)(《转让公约》)、《知识产权担保权补编》(《知识产权补编》)以及《贸易法委员会关于落实担保权登记处的指南》(《登记处指南》),着手编写一部担保交易示范法(示范法草案)。
14.
In addition, the Commission recalled that, at its forty-seventh session, in 2014, it had acknowledged the importance of modern secured transactions law for the availability and cost of credit and the need for urgent guidance to States, in particular those with developing economies and economies in transition, and had requested the Working Group to expedite its work so as to complete the draft Model Law, including the definitions and provisions on non-intermediated securities, and to submit it to the Commission for adoption as soon as possible.14. 另外,委员会回顾在其2014年第四十七届会议上确认了现代担保交易法对于信贷供应及其费用的重要意义,以及各国特别是发展中经济体和转型经济体对指导意见的迫切需要,并请工作组加快工作,以完成示范法草案,包括关于非中介证券的定义和条文,并尽快提交委员会通过。
15.
Moreover, the Commission recalled that, at its forty-eighth session in 2015, it had approved the substance of article 26 of chapter IV of the draft Model Law and articles 1 to 29 of the draft Registry Act (see A/CN.9/852), and had requested the Working Group to expedite its work so as to submit the draft Model Law to the Commission for final consideration and adoption at its forty-ninth session in 2016.15. 此外,委员会回顾其2015年第四十八届会议核准了示范法草案第四章第26条的实质内容以及登记处法令草案第1至29条(见A/CN.9/852),并请工作组加快工作进度,以便将示范法草案提交委员会2016年第四十九届会议最后审定并通过。
16.
At its current session, the Commission had before it the reports of the twenty-eighth and twenty-ninth sessions of the Working Group (A/CN.9/865 and A/CN.9/871, respectively), as well as notes by the Secretariat entitled “Draft Model Law on Secured Transactions” (A/CN.9/884 and addenda 1-4, including the “draft Model Registry-related Provisions” contained in A/CN.9/884/Add.1), “Draft Guide to Enactment of the draft Model Law on Secured Transactions” (A/CN.9/885 and addenda 1-4) and “Draft Model Law on Secured Transactions: Compilation of comments by States” (A/CN.9/886, A/CN.9/887 and A/CN.9/887/Add.1).16. 本届会议上,委员会收到了工作组第二十八届和第二十九届会议的报告(分别为A/CN.9/865、A/CN.9/871),以及标题分别为“担保交易示范法草案”(A/CN.9/884及增编1-4,包括载于A/CN.9/884/Add.1的“登记处相关示范条文草案”)、“担保交易示范法草案颁布指南草案”(A/CN.9/885及增编1-4)和“担保交易示范法草案:各国意见汇编”(A/CN.9/886、A/CN.9/887、A/CN.9/ 887/Add.1)的秘书处说明。
In addition, the Commission noted with appreciation that, at its twenty-eighth and twenty-ninth sessions, the Working Group adopted the draft Model Law (A/CN.9/865 and A/CN.9/871) and, at its twenty-ninth session, decided to submit it to the Commission for consideration and adoption at its forty-ninth session (A/CN.9/871, para. 91).此外,委员会赞赏地注意到,在工作组第二十八届和第二十九届会议上,工作组通过了示范法草案(A/CN.9/865、A/CN.9/871),并在第二十九届会议上决定将其提交委员会第四十九届会议审议并通过(A/CN.9/871,第91段)。
2. Consideration of the draft Model Law (A/CN.9/884 and Addenda 1-4)2. 审议示范法草案(A/CN.9/884及增编1-4)
Chapter I. Scope of application and general provisions第一章. 适用范围和一般规定
17. With respect to article 1, it was agreed that paragraph 2 should be revised to: (a) refer to articles 70-80 (see para. 80 below); (b) include the words “by agreement” after the word “receivables” to clarify that the draft Model Law only applied to outright transfers of receivables by agreement and not by law; and (c) delete the text in square brackets, since it referred to terminological issues that were left to article 2.17. 关于第1条,会上商定,第2款作以下修改:(a)提及第70-80条(见下文第80段);(b)在“应收款”一词前面加上“通过协议”一词,以明确,示范法草案仅适用于通过协议而非依法彻底转让应收款;(c)删除方括号内的案文,因其提及放在第2条处理的术语问题。
It was also agreed that paragraph 4 should be retained outside square brackets.还商定,第4款应予保留,去掉放括号。
18.
With respect to article 2, it was agreed that: (a) in the definition of the term “bank account”, reference should be made only to “authorized deposit-taking institution”; (b) in the definition of the term “competing claimant”, the square bracketed words “[to be specified by the enacting State]” should be deleted, while the draft Guide to Enactment of the draft Model Law (the “draft Guide to Enactment”) should give examples of other creditors of the grantor that could have a right in the same encumbered asset; (c) in the definition of the term “debtor of the receivable”, the reference to a “transferor in an outright transfer” should be deleted; (d) in the definition of the term “default”, the text that appeared within square brackets should be revised to read along the following lines: “and any other event that under the terms of an agreement between the grantor and the secured creditor constitutes default” and be retained outside square brackets;18. 关于第2条,会上商定如下:(a)在“银行账户”一语定义中应当仅提及“被授权接收存款的机构”;(b)在“相竞求偿人”定义中,应当删除方括号内的词语“[拟由颁布国指明的]”,同时应当在担保交易示范法草案颁布指南草案(“颁布指南草案”)中给出能够对同一设保资产享有权利的设保人的其他债权人的例子;(c)在“应收款债务人”一语定义中,应当删除对“彻底转让的转让人”的提及;(d)在“违约”定义中,方括号内的案文应当按以下写法改写:“以及根据设保人与有担保债权人之间的协议条款构成违约的其他任何事件”,去掉方括号保留;(e)在“设保资产”定义结尾,应当根据委员会就第1条第2款作出的决定(见上文第5段)加上“通过协议”一词,去掉方括号,保留其中案文;(f)在“设保人”一语定义第㈡项中,删除“承租人”或“被许可人”,在第㈢项中,“in”应当改为“under”,结尾“应收款”一词前面应当加上“通过协议”(“有担保债权人”和“担保权”的定义应作同样改动);(g)应当删除“破产管理人”的定义,因为该词仅出现在“相竞求偿人”一语的定义中,可以在颁布指南草案中连同其他相关的破产术语对该术语作简要解释;(h)在“库存品”一语定义中,应当提及“原材料和在制品”,而不提及“半加工材料”;(i)可以按以下写法界定“动产”一词:“‘动产’是指[颁布国法律所界定的]不动产以外的有形资产或无形资产”;(j)在“占有”一语定义中,“直接或间接”这段词语多余,应予删除;(k)“登记处”一语应当按以下写法定义:“‘登记处’是指根据本法第27条设立的登记处”;(l)在“有担保债务”一语定义中,应当删除第二句,颁布指南草案应当解释,在应收款彻底转让中不涉及有担保债务;(m)“担保协议”和“担保权”定义括号内的案文应保留,去掉方括号;(n)在“有形资产”定义中,应当提及(l)项而非(k)项,另外还应提及第31条;(o)应当按《担保交易指南》建议11的写法界定“书面”一语。
(e) at the end of the definition of the term “encumbered asset”, the words “by agreement” should be added in line with the Commission’s decision on article 1, paragraph 2 (see para. 17 above) and the text should be retained outside square brackets;
(f) in subparagraph (ii) of the definition of the term “grantor”, the words “lessee or licensee” should be deleted, and in subparagraph (iii) the word “in” should be replaced with the word “under” and the words “by agreement” should be included at the end (same changes should be made to the definitions of the terms “secured creditor” and “security right”);
(g) the definition of the term “insolvency representative” should be deleted, since the term only appeared in the definition of the term “competing claimant”, and that term together with other relevant insolvency terms could be briefly explained in the draft Guide to Enactment;
(h) in the definition of the term “inventory”, reference should be made to “raw materials and work-in-process”, and not to “semi-processed materials”;
(i) the term “movable asset” should be defined along the following lines: “‘movable asset’ means a tangible or intangible asset other than immovable property [as defined in the law of the enacting State]”;
(j) in the definition of the term “possession”, the words “directly or indirectly” should be deleted as they were redundant;
(k) the term “registry” should be defined along the following lines: “‘registry’ means the registry established under article 27 of this Law”;
(l) in the definition of the term “secured obligation”, the second sentence should be deleted and the draft Guide to Enactment should explain that there was no secured obligation in an outright transfer of a receivable;
(m) the bracketed text in the definitions of the term “security agreement” and “security right” should be retained outside square brackets;
(n) in the definition of the term “tangible asset”, reference should be made to subparagraph (l) instead of subparagraph (k) and, in addition, to article 31;
and (o) the term “writing” should be defined along the lines of recommendation 11 of the Secured Transactions Guide. 19. After discussion, the Commission adopted articles 1 and 2 subject to the above-mentioned changes and articles 3-5 unchanged (for subsequent changes made to art. 3, see paras. 96-98, and for subsequent changes made to art. 2, subpara. (t), see para. 100 below).19. 经过讨论,委员会通过了第1和第2条,但须作上述改动,还通过了第3-5条,未作改动(关于随后对第3条作出的改动,见下文第96-98段,关于随后对第2条(t)项作出的改动,见第100段)。
Chapter II. Creation of a security right第二章. 担保权的设定
20. With respect to the heading of section “A. General rules” of chapter II, it was agreed that, to address the relationship between the general and the asset-specific provisions in each chapter, a footnote should be added at the beginning of chapter II that would read along the following lines: “In this chapter and all other chapters, the general rules are subject to the asset-specific rules.20. 关于第二章“A. 一般规则”一节的标题,会上商定,为了处理每一章中一般条文与资产特定条文之间的关系,应当在每章开头增列内容大致如下的一则脚注:“在本章及其他所有各章中,一般规则须服从资产特定规则。
The enacting State may wish to include in its law a provision reflecting this principle or otherwise address the relationship between general and asset-specific provisions”.颁布国似可在本国法律中列入反映该项原则的一则条文,或以其他方式处理一般条文与资产特定条文之间的关系”。
21. With respect to article 6, it was agreed that, to better reflect its content, its heading should be changed to read along the following lines: “Creation of a security right and requirements for a security agreement”.21. 关于第6条,会上商定,为了更好地反映其内容,应当对其标题大致修改如下:“担保权的设定以及对担保协议的要求”。
(For an additional amendment made to art. 6, see para. 24 below).(关于对第6条作出的其他正,见下文第24段)。
22. With respect to article 7, it was agreed that it should be revised to read along the following lines: “A security right may secure one or more obligations of any type, …”.22. 关于第7条,会上商定,应当对其作如下修订:“一项担保权可以为任何类型的一项或多项债务作保,……”。
23. With respect to article 8, subparagraph (a), it was agreed that the reference to future assets should be deleted as article 6, paragraph 2, already provided that a security agreement might provide for the creation of a security right in a future asset, but the security right was created only when the grantor acquired rights in that future asset or the power to encumber it.23. 关于第8条(a)项,会上商定,应当删除对未来资产的提及,因为第6条第2款已经规定,担保协议可以就未来资产担保权的设定作出规定,但只能在设保人取得对该未来资产的权利或者将该资产设押的权力时方可设定担保权。
24. With respect to article 9, it was agreed that it should be revised to apply the same standard to the description of secured obligations, and thus to: (a) refer to secured obligations in the heading and in paragraph 1; and (b) include a third paragraph that would read along the following lines: “A description of secured obligations that indicates that the security right secures all obligations owed to the secured creditor at any time satisfies the standard in paragraph 1”.24. 关于第9条,会上商定,应当对其加以修订,以对有担保债务的描述适用同样标准,并且:(a)在标题和第1款中提及有担保债务;并(b)列入一个第三款,内容大致如下:“有担保债务的描述注明该担保权为任何时期欠付有担保债权人的所有债务作保,该描述即为满足第1款中的标准”。
In addition, it was agreed that it was sufficient to refer in paragraph 1 to encumbered assets, rather than “assets encumbered or to be encumbered”.还商定,在第1款中提及设保资产足矣,而不必提及“已设保资产或拟设保资产”。
Moreover, it was agreed that in article 6, paragraph 3(b), a reference should be included to the description of a secured obligation “as provided in article 9”.此外,会上还商定,在第6款第3款(b)项中,应当提及“第9条所规定的”有担保债务的描述。
25. With respect to article 10, it was agreed that reference should be made to “money or funds”, rather than to “assets” or “proceeds”, and to the “amount”, rather than to the “value”, of money or funds.25. 关于第10条,会上商定,应当采用“金钱或资金”而非“资产”或“收益”的提法,并且应当采用“款项”而非金钱或资金“价值”的提法。
While the Commission initially agreed to also cover in article 10 money or funds as original encumbered assets, and not just as proceeds, it ultimately decided not to do it because: (a) commingling of money or funds as an original encumbered asset was rare in practice; (b) if the matter was addressed in article 10, it would also have to be addressed in the chapter on third-party effectiveness and priority; and (c) the matter could be addressed in the draft Guide to Enactment (by explaining, for example, that the term “proceeds” as defined in art. 2, subpara. (bb), covered situations where funds in a bank account were moved to another bank account, even at the instigation of the deposit-taking institution, and thus art. 10, para. 2, applied to those situations, as the funds in the second bank account were “proceeds”).虽然委员会最初商定第10条还涵盖作为原始设保资产而不只是作为收益的金钱或资金,但最后仍然决定不予涵盖,其理由是:(a)将金钱或资金混同为原始设保资产在实践中极为罕见;(b)如果在第10条中处理该事项,也就必须在关于第三方效力和优先权的一章中处理该事项;(c)该事项可以在颁布指南草案中处理(例如做出这样的解释:第2条(bb)项所界定的“收益”涵盖下述情形:某一银行账户中的资金转移至另一银行账户,即使是在存款收取机构的怂恿下所为;因此,第10条第2款适用用于这些情形,因为资金转入第二个银行账户仍为“收益”)。
26. With respect to article 11, it was agreed that paragraph [3][4] should be deleted as the matter was better addressed in article 32, paragraphs 2 and 3.26. 关于第11条,会上商定,第[3][4]款应当予以删除,因为该事项放在第32条第2和3款中处理更为妥当。
While support was expressed in favour of option A and option B, the concern was also expressed that they were difficult to administer as they presupposed an evaluation of tangible assets before commingling which was said to be rare in practice.虽然会上对选项A和选项B表示了支持,但也表示了下述关切,即这两个选项均难以实施,因其以评价混合前的有形资产为前提,而这在实践中极为罕见。
In order to address that concern, a third option was proposed.为处理该项关切,会上提出了第三个选项。
After discussion, the Commission postponed consideration of article 11 until it had a proposal possibly combining the elements of all options into one rule (see para. 99 below).经过讨论,委员会延后对第11条的审议,直至委员会收到一份将所有选项中的要素并入一条规则的提案(见下文第99段)。
27. With respect to article 12, it was agreed that it should be revised to provide that a security right would be extinguished when all secured obligations had been discharged and there were no outstanding commitments to extend credit secured by the security right.27. 关于第12条,会上商定,该条应当加以修订,规定,当所有有担保债务均已解除,且不存在以一项担保权作保提供信贷的任何未决承诺时,该担保权即告消灭。
28.
With respect to article 13, it was agreed that: (a) for reasons of consistency with article 9 of the Assignment Convention and because they were unnecessary, the words “as between the grantor and the secured creditor and as against the debtor of the receivable” in paragraph 1 should be deleted; (b) as the meaning of the term “subsequent” was not clear (because, unlike the Assignment Convention which defined the term “subsequent assignment” in art. 2, subpara. (b), the draft Model Law did not contain a definition of the term “subsequent security right”) and on the understanding that the meaning of paragraph 1 would not change, reference should be made to “any” secured creditor rather than to any “subsequent” secured creditor; and (c) also for reasons of consistency with article 9 of the Assignment Convention and to avoid giving the impression that paragraph 3 limited the protection provided to secured creditors with the last part of paragraph 2, paragraph 3 should be merged into paragraph 2.28. 关于第13条,会上商定:(a)为了与《转让公约》第9条保持一致,第1款中“在设保人与有担保债权人之间……并具有对抗应收款债务人的”的语句应予删除,因其并无必要;(b)“后继”一词含义不明确(因为示范法草案不同于《转让公约》,后者中的第2条(b)项对“后继转让”一词作了界定,而前者未载有“后继担保权”一词的定义),同时,基于不改变第1款的含义这一理解,应当提及“任何”有担保债权人,而非任何“后继”有担保债权人;(c)还是为了与《转让公约》第9条保持一致,并且为了避免造成第3款对第2款最后一部分为有担保债权人提供的保护加以限定的印象,应当把第3款并入第2款。
29. With respect to article 14, it was agreed that: (a) for reasons of consistency with article 10 of the Assignment Convention, paragraph 2 should be merged into paragraph 1; (b) for the same reason but also to avoid giving the impression that the draft Model Law dealt with the question of whether a right securing or supporting an encumbered receivable should be transferred with or without a new act of transfer, the words “under the law governing it” should be added in paragraph 2 to qualify the word “transferable”.29. 关于第14条,会上商定:(a)为了与《转让公约》第10条保持一致,第2款应当并入第1款;(b)出于同样原因,同时也为了避免造成这样的印象,即示范法草案涉及是否应当在有或者没有新的转让行为的情况下转让一项为设保应收款作保或者提供支持的权利的问题,第2款应当添加“在其管辖法律下”的语句,对“可转让的”一词加以限定。
30. After discussion, the Commission adopted articles 6 to 14 subject to the changes mentioned above (for changes made to art. 11 see also para. 99 below) and articles 15 to 17 unchanged.30. 经过讨论,在作出上述修改的前提下,委员会通过了第6至14条(关于对第11条作出的修改,另见下文第99段),并且通过了第15至17条,未作修改。
Chapter III. Effectiveness of a security right against third parties第三章. 担保权对抗第三方的效力
31. With respect to article 18, further to its decision to include in article 2 a definition of the term “registry” (see para. 18, subpara. (k) above), the Commission agreed that article 18 should be revised to refer to the “Registry”, rather than to the “general security rights registry”.31. 关于第18条,根据将“登记处”一词的定义纳入第2条的决定(见上文第18段(k)项),委员会商定,第18条应作修订,提及“登记处”而非“担保权普通登记处”。
It was also agreed that the footnote to article 18, paragraph 1, should be moved to the definition of the term “registry” and clarify that, if the enacting State implemented the UNCITRAL Model Law on Secured Transactions and the Model Registry-related Provisions contained therein in one law, it would need to include a definition of the term “registry” only once, rather than twice, as was currently the case in the draft Model Law and the draft Model Registry-related Provisions because of the assumption that they might be implemented in separate statutes or other types of instrument.还商定,第18条第1款的脚注应移至“登记处”一词的定义,并澄清,如果颁布国在同一部法律中实施《贸易法委员会担保交易示范法》和《登记处相关示范条文》,则纳入“登记处”一词定义一次即可,而非两次,由于假定可能是在单独法规或者其他类型文书中实施示范法草案和登记处相关条文草案,该词定义分别纳入这两个草案。
32. With respect to article 19, it was agreed that reference should be made in both paragraphs 1 and 2 to a security right in proceeds arising under article 10, so as to cover the point that the security right extended only to “identifiable” proceeds.32. 关于第19条,会上商定,第1款和第2款均应提及第10条之下所产生收益的担保权,以涵盖以下观点,即担保权仅延及“可识别”收益。
As a result, it was agreed, the reference to the identifiability of the proceeds in paragraph 2 would be redundant and should thus be deleted.因此,会上商定,第2款中提及收益可识别性之处已成多余,因而应当删除。
33. The Commission noted that, while the draft Model Law dealt in article 11 with the creation of a security right in tangible assets commingled in a mass or product and in article 40 with the priority of such a security right, there was no article in the draft Model Law dealing with the third-party effectiveness of such a security right.33. 委员会注意到,虽然示范法草案第11条处理混集物或制成物中混合有形资产上担保权的设定,第40条处理此类担保权的优先权,但示范法草案中并无一个条款处理此类担保权对抗第三方的效力。
Thus, the Commission agreed that a new article should be inserted in this part of the draft Model Law to implement recommendation 44 of the Secured Transactions Guide that should read along the following lines: “If a security right in a tangible asset is effective against third parties, a security right in a mass or product to which the security right extends under article 11 is effective against third parties without any further act”.因此,委员会商定,应在示范法草案本部分加入一新条款,以落实《担保交易指南》建议44,其写法如下:“如果有形资产上的一项担保权具有对抗第三方的效力,根据第11条,该担保权延及混集物或制成物的,其上的担保权不需任何进一步行为即具有对抗第三方的效力”。
34. With respect to article 22, it was agreed that the reference to a change of the applicable law as a result of a change in the location of the asset or the grantor should be deleted, since under chapter VIII of the draft Model Law the applicable law could change as a result, for example, of a change in the location of the depositary institution maintaining the relevant account.34. 关于第22条,会上商定,删除由于资产或设保人所在地变更而导致适用法律变更的提法,因为根据示范法草案第八章,适用法律可能由于保持相关账户的存款机构的所在地变更等原因而发生变更。
For that reason but also for reasons of clarity, it was agreed that paragraph 1 should be revised to read along the following lines: “If a security right is effective against third parties under the law of another State and this Law becomes applicable, the security right remains effective against third parties under this Law if it is made effective against third parties in accordance with this Law before the earlier of: (a) …; and (b) The expiry of [a short period of time to be specified by the enacting State] after this Law becomes applicable”.由于这个原因,同时也为清晰起见,会上商定修订第1款,其写法如下:“如果一项担保权根据另一国法律具有对抗第三方的效力,且本法成为适用法律,则该担保权在以下较早时间之前根据本法取得对抗第三方效力的,该担保权仍然具有对抗第三方效力:(a)……;(b)本法成为适用法律之后[拟由颁布国指明的一段短暂期限]期满”。
35. With respect to article 23, it was agreed that option A should be deleted and option B should be revised to read along the following lines: “An acquisition security right in consumer goods with an acquisition price below [an amount to be specified by the enacting State] is effective against third parties other than a buyer, lessee or licensee upon its creation without any further act” (see para. 102 below for subsequent changes to the agreed text).35. 关于第23条,会上商定,删除备选案文A,备选案文B按下述写法修订:“购置价格低于[拟由颁布国指明的价值]的消费品上的购置款担保权,无需任何进一步行为,在设定之时即具有对抗买受人、承租人或被许可人以外的第三方的效力”(关于随后对已商定案文作出的改动,见下文第102段)。
It was also agreed that, for that rule to make sense, the draft Guide to Enactment should clarify that States should specify a reasonably high price.还商定,为使该规则具有意义,颁布指南草案应明确指出,各国应具体指明价位合理的较高价格。
It was also agreed that there was no need to refer to a transferee other than a buyer, as the term “transferee” could cover a donee to whom article 23 should not apply.还商定,无需提及买受人以外的受让人,因为“受让人”一词可能涵盖不应适用第23条的受赠人。
36. The concern was, however, expressed that qualifying the third-party effectiveness of a security right by a reference to certain third parties was in essence a priority rule providing that buyers acquired consumer goods free of acquisition security rights made effective against third parties under article 23.36. 但会上表示的关切是,通过提及某些第三方对担保权的第三方效力加以限定,实质上是提出一种优先权规则,规定买受人取得的消费品不附带根据第23条取得对抗第三方效力的购置款担保权。
It was also stated that introducing a relative concept of third-party effectiveness would be inconsistent with the approach taken in the draft Model Law which referred to effectiveness against all third parties (without regard to who the third party was) and distinguished third-party effectiveness from priority.还指出,引入第三方效力的相对概念将与示范法草案所采取的做法不一致,示范法草案提及对抗所有第三方的效力(不考虑谁是第三方)并将第三方效力与优先权区分开来。
After discussion, the Commission postponed consideration of article 23 until it had the opportunity to consider a proposal with respect to a priority rule that would address that concern (see paras. 102-104 below).经过讨论,委员会延后审议第23条,直至委员会有机会审议一项针对这一关切提出的有关优先权规则的提案(见下文第102-104段)。
37. With respect to article 25, it was agreed that paragraph 3 should be revised to also refer to the return of “the assets covered by the document”, not only to “dealing with the assets”, while the draft Guide to Enactment should explain that the words “dealing with the assets” covered not only transactions like sale and exchange but also physical actions like loading and unloading.37. 关于第25条,会上商定,修订第3款,以便还提及退还“单证所涵盖的资产”,而不仅仅是提及“处理……资产”,同时,颁布指南草案应当解释,“处理……资产”这一语句不仅涵盖像变卖和交换这样的交易,而且还涵盖像装载和卸载这样的实际行动。
38. After discussion, the Commission adopted articles 18, 19, 22, 23 and 25 subject to the above-mentioned changes (for art. 23, see also paras. 102-104 below) and articles 20, 21, 24 and 26 unchanged.38. 经过讨论,在作出上述修改的前提下,委员会通过了第18、19、22、23、25条(关于第23条,另见下文第102-104段),并且通过了第20、21、24、26条和第26条,未作修改。
The Commission also adopted the new article on the third-party effectiveness of a security right in tangible assets commingled in a mass or product that would follow article 19 (see para. 33 above).委员会还通过了关于混集物或制成物中混合有形资产上担保权第三方效力的新条款,该条款将依循第19条(见上文第33段)。
Chapter IV. The registry system第四章. 登记制度
39. With respect to article 27, it was agreed that its heading should be revised to read along the following lines: “Establishment of the Registry”.39. 关于第27条,会上商定,其标题应按下述写法修订:“登记处的建立”。
Subject to that change, the Commission adopted article 27.在作出这一修改的前提下,委员会通过了第27条。
Draft Model Registry-related Provisions登记处相关示范条文草案
40. The Commission agreed that the draft Model Registry-related Provisions should be called “Model Registry Provisions”.40. 委员会商定,登记处相关示范条文草案应称作“登记处示范条文”。
41. With respect to article 1 of the draft Model Registry-related Provisions, it was agreed that the definition of the term “registered notice” and the numbers of all subsequent paragraphs should be retained outside square brackets.41. 关于登记处相关示范条文草案第1条,会上商定,保留“已登记通知”一语的定义以及随后所有段落的序号,去掉方括号。
42. With respect to article 5 of the draft Model Registry-related Provisions, it was agreed that reference should be made in paragraph 4 to access “to registry services”.42. 关于登记处相关示范条文草案第5条,会上商定,第4款应当采用访问“登记处服务”的提法。
It was also agreed that the draft Guide to Enactment should explain that, with respect to initial notices, a registrant would normally meet any secured access requirements in the context of identifying itself (which could include setting up a user account; see the Registry Guide, para. 96), as provided in paragraph 1(b).还商定,颁布指南草案应当解释,关于初始通知,登记人通常将按照第1款(b)项的规定,满足在身份识别方面的任何安全访问要求(这可包括设立用户账户;见《登记处指南》第96段)。
43. With respect to article 6 of the draft Model Registry-related Provisions, it was agreed that, for reasons of clarity and avoiding that the Registry would be obliged to accept a notice or a search request if some but not all information was legible, paragraphs 1(a) and 2 should be revised to read along the following lines respectively: “A notice if no information is entered in one of the mandatory designated fields or information entered in one of the mandatory designated fields is illegible” and “The Registry must reject a search request if no information is entered in one of the fields designated for entering a search criterion or information entered in one of the fields designated for entering a search criterion is illegible”.43. 关于登记处相关示范条文草案第6条,会上商定,为明确起见并避免登记处在有些但并非所有信息清晰可辨的情况下被迫接受通知或查询请求,应当分别对第1款(a)项和第2款作如下修订:“该通知未在某一指定的必须填写栏目输入任何信息,或者该通知输入某一指定的必须填写栏目的信息模糊不清”,以及“未在要求输入查询标准的某一指定栏目输入任何信息的,或者要求输入查询标准的某一指定栏目中所输入的信息模糊不清的,登记处必须拒绝查询请求”。
44. With respect to article 8 of the draft Model Registry-related Provisions, it was agreed that the reference to article 9 of the draft Model Registry-related Provisions should be placed before the reference to additional grantor information, as article 9 did not deal with such additional information.44. 关于登记处相关示范条文草案第8条,会上商定,对登记处相关示范条文第9条的提及应当放在提及设保人补充信息的内容之前,因为第9条不述及这类补充信息。
45. With respect to article 11 of the draft Model Registry-related Provisions, it was agreed that, in view of the Commission’s decisions with respect to article 9 of the draft Model Law (see para. 24 above): (a) in paragraph 1, reference should be made to “encumbered assets” rather than to “assets encumbered or to be encumbered”; and (b) in paragraph 2, reference should be made to a “generic” rather than to a “particular” category of assets.45. 关于登记处相关示范条文草案第11条,会上商定,鉴于委员会就示范法草案第9条所作的决定(见上文第24段):(a)在第1款中,应当采用“设保资产”而并非“设保或拟设保资产”的提法;(b)在第2款中,应当采用“通类”而并非“特类”资产的提法。
46. With respect to article 15 of the draft Model Registry-related Provisions, it was agreed that, for reasons of clarity, paragraph 2(b) should be revised to read along the following lines: “if that person knows that the address has changed, at the most recent address if known or reasonably available to that person”.46. 关于登记处相关示范条文草案第15条,会上商定,为清晰起见,应当对第2款(b)项作如下修订:“该人知悉地址已经变更的,按照该人如能知悉或者可合理掌握的最新地址”。
47. With respect to article 20 of the draft Model Registry-related Provisions, it was agreed that: (a) paragraphs 1(a), 2(a) and 3(a)(i) should be revised to refer to the secured creditor having been informed, rather than knowing, that the grantor would not authorize a registration, as the latter would be almost impossible; (b) a new paragraph 1(c) should be included to read along the following lines: “The grantor authorized the registration of a notice covering those assets but the authorization has been withdrawn and no security agreement covering those assets has been concluded”; and (c) paragraph 4 should also include a reference to the new paragraph 1(c).47. 关于登记处相关示范条文草案第20条,会上商定: (a)第1款(a)项、第2款(a)项和第3款(a)项㈠目应当加以修订,以提及有担保债权人已被告知而本来知道设保人不会授权办理登记,因为后一种情况几无可能;(b)应当增列内容如下的新的第1款(c)项:“设保人授权对一项涵盖这些资产的通知办理登记,但该授权已被撤回,且未订立涵盖这些资产的任何担保协议”;(c)第4款还应加入提及新的第1款(c)项的内容。
48. With respect to article 24 of the draft Model Registry-related Provisions, it was agreed that the draft Guide to Enactment should explain the words “except to the extent it seriously misled third parties that relied on the erroneous information in the registered notice” in paragraph 6 along the lines they were explained in the Registry Guide (see paras. 215 and 217-220 of the Registry Guide).48. 关于登记处相关示范条文草案第24条,会上商定,颁布指南草案应当按照《登记处指南》所作解释的意思,对第6款中“除非它严重误导依赖已登记通知中错误信息行事的第三方”一语作出解释。
(For changes made to art. 24, paras. 6 and 7, see paras. 105-107 below.)(关于对第24条第6和第7款作出的修改,见下文第105-107段)。
49. With respect to article 27 of the draft Model Registry-related Provisions, it was agreed that the draft Guide to Enactment should explain that the duties of the registrar would be determined by the relevant supervising authority in a law, regulation or other act implementing the Model Registry-related Provisions.49. 关于登记处相关示范条文草案第27条,会上商定,颁布指南草案应当解释,对于登记官所负义务,将由相关监管机关在落实示范条文草案的法律、条例或其他法令中予以确定。
50.
With respect to article 30, option A, paragraph 1, of the draft Model Registry-related Provisions it was agreed that reference should be made to “article 19, including any cancellation notice registered in accordance with article 20, paragraph 3 or 7”, in order to avoid inadvertently creating the impression that, before removing any information from the public registry record, the Registry would need to check and ensure that a cancellation notice met the conditions of article 20, paragraph 3 or 7.50. 关于登记处相关示范条文草案第30条备选案文A第1款,会上商定,应当采用的提法是:“第19条,包括根据第20条第3款或第7款已登记的任何取消通知”,以避免无意中造成这样的印象,即在从公共登记处记录中删除任何信息之前,登记处需要加以核对并确保取消通知符合第20条第3款或第7款载明的条件。
51. After discussion, the Commission adopted articles 1, 5, 6, 8, 11, 15, 20 and 30 of the draft Model Registry-related Provisions subject to the above-mentioned changes and articles 2-4, 7, 9, 10, 12-14, 16-19, 21-23, 27-29 and 31-33 of draft Model Registry-related Provisions unchanged (for changes made to arts. 24-26 of the draft Model Registry-related Provisions, see paras. 105-110 below).51. 经过讨论,在作出上述修改的前提下,委员会通过了登记处相关示范条文草案第1、5、6、8、11、15、20和30条,并且通过了登记处相关示范条文草案第2-4、7、9、10、12-14、16-19、21-23、27-29、31-33条,未作修改(关于对登记处相关示范条文草案第24-26条作出的修改,见下文第105-110段)。
Chapter V. Priority of a security right第五章. 担保权的优先权
52. The Commission considered and adopted with some modifications a proposal for revised versions of articles 28, 30, 31, 36 and 39.52. 委员会审议并在作出某些修改的情况下通过了就第28、30、31、36和39条修订稿提出的提案。
53. With respect to article 28, it was agreed that paragraphs 1 and 3 should be revised along the following lines to track more closely recommendation 76 of the Secured Transactions Guide:53. 关于第28条,会上商定,应当对第1和3款作内如下修订,以便更加贴近《担保交易指南》建议76:
“Subject to articles 31, 36, 37 and 39-41, priority between competing security rights created by the same grantor in the same encumbered asset is determined according to the following rules:“在不违反第31、36、37条和第39-41条的前提下,同一设保人在同一设保资产上设定相竞担保权的,优先权根据以下规则确定:
“(a) As between security rights that were made effective against third parties by registration of a notice in the Registry, priority is determined by the order of registration, without regard to the order of creation of the security rights;“(a) 担保权通过在登记处办理通知登记而取得对抗第三方效力的,优先权根据登记顺序确定,不考虑设定担保权的顺序;
“(b) As between security rights that were made effective against third parties otherwise than by registration of a notice in the Registry, priority is determined by the order of third-party effectiveness;“(b) 担保权以其他方式而非通过在登记处办理通知登记取得对抗第三方效力的,优先权根据取得第三方效力的顺序确定;及
and
“(c) As between a security right that was made effective against third parties by registration and a security right that was made effective against third parties otherwise than by registration of a notice in the Registry, priority is determined by the order of registration or third-party effectiveness, whichever occurs first.”“(c) 一担保权通过办理登记取得对抗第三方效力,另一担保权以其他方式而非通过在登记处办理通知登记取得对抗第三方效力的,优先权根据办理登记或取得第三方效力的顺序确定(以先发生者为准)。”
54. It was also agreed that the draft Guide to Enactment should explain the application of that rule in cases in which the secured creditor registered a notice and in addition took actions necessary to achieve third-party effectiveness of its security right by another means.54. 会上还商定,颁布指南草案应当解释,如果有担保债权人除登记通知之外还采取必要行动以另一种方式使其担保权取得了第三方效力,这种情况下如何适用这一规则。
It was further agreed that paragraph 2 of article 28, dealing with security rights created by different grantors, should be set out in a separate article.进一步商定,述及由不同设保人设定的担保权的第28条第2款应当列作一个单独条款。
55. With respect to article 29, it was agreed that it should refer to the “time when”, rather the “time period during which” the security right was not effective against third parties.55. 关于第29条,会上商定,该条应提及担保权 “在任何时间”而非“在任何时期内”均具有对抗第三方效力。
56. With respect to article 30, it was agreed that it should be made subject to article 39 and revised along the lines proposed to refer to a security right in proceeds of an encumbered asset having the same priority over a competing security right as the security right in the encumbered asset from which the proceeds arose (see para. 61 below).56. 关于第30条,会上商定,该条应受限于第39条,并应按所建议的写法加以修订,提及设保资产收益上的担保权如同产生该收益的设保资产上的担保权,享有相对于相竞担保权的优先权(见下文第61段)。
57. With respect to article 31, it was agreed that it should be revised along the lines proposed and coordinated with article 11 (see para. 101 below).57. 关于第31条,会上商定,应当按所建议的写法加以修订,并与第11条协调一致(见下文第101段)。
58. With respect to article 35, it was agreed that: (a) in paragraph 1, the words “the rights of acquisition secured creditors in accordance with” were unnecessary and should be thus deleted; (b) in paragraph 2, the words “or at the same time” should be retained outside square brackets to address the situation where the time when a security right became effective in future assets coincided with the time when a judgement creditor took the steps referred to in paragraph 1; and (c) paragraph 2(a) should be revised to read along the following lines: “Before the secured creditor received a notice from the judgement creditor that the judgement creditor has taken the steps referred to in paragraph 1, or within [a short period of time to be specified by the enacting State] thereafter”.58. 关于第35条,会上商定:(a)在第1款中,“……规定的购置款有担保债权人权利”的语句并无必要,因此应当删除;(b)在第2款中,“或同时”应当保留,去掉方括号,以述及担保权对未来资产发生效力的时间与胜诉债权人采取第1款所述步骤的时间吻合的情形;(c)应当对第2款(a)项作如下修订:“在有担保债权人收到由胜诉债权人发出的关于胜诉债权人已经采取第1款所述步骤之前,或者在其后[拟由颁布国指明的短暂时期内]”。
59. With respect to article 36, it was agreed that it should be revised along the lines proposed to address: (a) in paragraph 1, the priority of an acquisition security right in equipment, or in intellectual property or rights of a licensee under a licence of intellectual property primarily used or intended to be used by the grantor in the operation of its business; (b) in paragraph 2, the priority of an acquisition security right in inventory, or in intellectual property or rights of a licensee under a licence of intellectual property held by the grantor for sale or licence in the ordinary course of the grantor’s business; and (c) in paragraph 3, the priority of an acquisition security right in consumer goods, or in intellectual property or rights of a licensee under a licence of intellectual property used or intended to be used by the grantor primarily for personal, family or household purposes.59. 关于第36条,会上商定,应当按照所建议的写法加以修订,以:(a)在第1款中,述及设保人主要用于或意图用于其日常运营的设备、知识产权或知识产权许可下被许可人权利上购置款担保权的优先权;(b)在第2款中,述及设保人在其日常运营中为出售或许可而持有的库存品、知识产权或知识产权许可下被许可人权利上购置款担保权的优先权;(c)在第3款中,述及设保人主要为个人、家庭或家居目的而使用或意图使用的消费品、知识产权或知识产权许可下被许可人权利上购置款担保权的优先权。
60. With respect to article 37, it was agreed that the words “of a secured creditor other than a seller or lessor, or a licensor of intellectual property” should be deleted, as they were either stating the obvious or were confusing to the extent that they could be read to suggest that there might be more than one seller, lessor or licensor.60. 关于第37条,会上商定,应当删除“出卖人或出租人或知识产权许可人以外的有担保债权人的”,这段语句要么不言自明,要么会造成困惑,因其可能被解读为是暗示可能不止有一个出卖人、出租人或许可人。
It was also agreed that the draft Guide to Enactment should explain that an acquisition security right of a seller, lessor or licensor would have priority over all competing security rights held by other types of creditor.还商定,颁布指南草案应当解释,出卖人、出租人或许可人的购置款担保权享有相对于由其他各类债权人所持有的所有相竞担保权的优先权。
61. With respect to article 39, it was agreed that it should be revised to set out along the lines proposed: (a) in paragraph 1, the rule that a security right in proceeds of an asset that was the subject of an acquisition security right had the same priority over a competing security right that the acquisition security right in the asset from which the proceeds arose had under article 36; and (b) in paragraph 2, the special rules for proceeds of inventory (priority to be determined in accordance with art. 28, if the proceeds were in the form of receivables, etc., and otherwise in accordance with art. 36).61. 关于第39条,会上商定,应当对该条加以修订,以便按所建议的写法:(a)在第1款中,阐明下述规则:系购置款担保权标的的资产上收益的担保权,享有相对于产生收益的资产上的购置款担保权根据第36条所享有的相竞优先权的优先权;(b)在第2款中,阐明对于库存品收益的特别规则(收益以应收款等为形式的,根据第28条确定优先权,否则根据第36条确定优先权)。
62.
With respect to article 49, paragraph 5, it was agreed that the draft Guide to Enactment should explain that, unlike articles 44, paragraph 2, and 47, paragraph 3, which provided a substantive rule for transferees of encumbered negotiable instruments and negotiable documents to acquire their rights free of the security right, article 49, paragraph 5, essentially referred the matter to other law mainly because, with respect to non-intermediated securities, the matter was more complex, and legal systems diverged more widely than with respect to negotiable instruments and negotiable documents.62. 关于第49条第5款,会上商定,颁布指南草案应当解释,第49条第5款不同于第44条第2款和第47条第3款,后者提供了关于设保可转让票据和可转让单证的受让人在不附带担保权的情况下获得其权利的一条实质性规则,前者基本上将该事项交由其他法律处理,其主要原因是,对于非中介证券,该事项更为复杂,各种法律制度在这方面的差别远甚于在可转让票据和可转让单证方面的差别。
63. In line with the approach taken in the other chapters of the draft Model Law, it was agreed that the heading of chapter V (“priority”) did not need to be repeated in the heading of each article.63. 本着示范法草案其他各章所采取的做法,会上商定,第五章的标题(“优先权”)不必在每一条款的标题中重复。
64. After discussion, the Commission adopted articles 28-30, 35-37 and 39 subject to the above-mentioned changes and articles 33-34, 38 and 40, 41 and 43-49 unchanged (for changes made to art. 31, see para. 101 below; for changes made to art. 32, see para. 103 below; and for changes made to art. 42, see para. 107 below).64. 经过讨论,在作出上述修改的前提下,委员会通过了第28-30、35-37、39条,并且通过了第33-34、38、40、41、43-49条,未作修改(关于对第31条作出的修改,见下文第101段;关于对第32条作出的修改,见下文第103段;关于对第42条作出的修改,见下文第107段)。
Chapter VI. Rights and obligations of the parties and third-party obligors第六章. 当事人及第三方承付人的权利和义务
65. With regard to article 51 and article 53, paragraph 1(a), it was agreed that the reference to “value” should be deleted, since reasonable care to preserve an encumbered asset would also result in preserving its value; and where preserving the value of an asset would be beyond the control of the person in possession, such a duty would be impossible for the person in possession to perform.65. 关于第51条以及第53条第1款(a)项,会上商定,应当删除对“价值”的提及,因为在保全设保资产上的合理谨慎也将导致保全其价值;并且,如果保全资产价值超出了占有权人的控制范围,占有权人将无法履行这项义务。
It was also agreed that the draft Guide to Enactment could explain that the obligation to preserve both the encumbered asset and its value could arise under article 4, according to which parties should act in good faith and in a commercially reasonable manner.会上还商定,颁布指南草案可以解释,保全设保资产及其价值的义务可能产生于第4条,该条规定当事人应以诚信和商业上合理的方式行事。
66. With respect to article 52, it was agreed that, upon extinguishment of a security right, the encumbered assets ought to be returned to the grantor “or a person designated by the grantor” (see also para. 111 below).66. 关于第52条,会上商定,在担保权消灭之时,设保资产应当返还设保人“或由设保人指定的人”(见下文第111段)。
It was also agreed that the draft Guide to Enactment should explain that: (a) in some jurisdictions, the return to a person designated by the grantor would be viewed as a “return to the grantor”; and (b) the return of encumbered assets to a person designated by the grantor should take place only with the agreement of the secured creditor and in a commercially reasonable manner, and the grantor should bear the costs of such a return.还商定,颁布指南草案应当解释:(a)在有些法域,返还给设保人指定的人将被视为“返还给设保人”;(b)将设保资产返还给设保人指定的人,只应当在有担保债权人同意的情况下以商业上合理的方式进行,并且设保人应当承担这类返还的费用。
67. With respect to article 54, it was agreed that, in paragraph 1, reference should be made to a “written” request, and to a transferee under an outright transfer of a receivable by agreement (see para. 17, subpara. (b), above).67. 关于第54条,会上商定,在第1款中,应当采用“书面”请求和通过协议彻底转让应收款的受让人的说法(见上文第17段(b)项)。
68. With respect to article 57, it was agreed it should be aligned more closely with article 14 of the Assignment Convention, on which article 57 was based.68. 关于第57条,会上商定,该条应当调整,更贴近第57条所依据的《转让公约》第14条。
69. With respect to article 59, paragraphs 2(a) and (b), it was agreed that reference should be made to the “contract giving rise to the receivable”, rather than to the “original contract”, as the term “original contract” was not defined in the draft Model Law (the same change should be made in art. 61, para. 1, and in the heading of art. 64).69. 关于第59条第2款(a)和(b)项,会上商定,应当提及产生应收款的合同而并非原始合同,因为“原始合同”一词未在示范法草案中加以界定(第61条第1款以及第64条的标题应作同样修改)。
70. With respect to article 60, it was agreed that, in paragraph 4, reference should be made to “a security right in a receivable created in favour of a secured creditor by the initial or any other secured creditor” rather than to “a subsequent security right”, which was a term that was not defined in the draft Model Law (the same change should be made in art. 61, paras. 5 and 8), and at the end the words “in that receivable” should be added for more clarity.70. 关于第60条,会上商定,在第4款中,应当提及“由初始有担保债权人或其他任何有担保债权人为某一有担保债权人设定的应收款上的担保权”,而不是提及“后继担保权”,后者在示范法草案中并未加以界定(第61条第5和第8款应作同样修改),并且应当添加“该应收款上”一语以求更加明确。
71. After discussion, the Commission adopted articles 51-54, 57, 59-61 and 64 subject to the above-mentioned changes (for subsequent changes to art. 52, see para. 111 below) and articles 50, 55, 56, 58, 62-63 and 65-69 unchanged.71. 经过讨论,在作出上述修改的前提下,委员会通过了第51-54、57、59-61、64条(关于随后对第52条作出的修改,见下文第111段),并且通过了第50、55、56、58、62-63、65-69条,未作修改。
Chapter VII. Enforcement of a security right第七章. 担保权的强制执行
72.
With respect to article 72, it was agreed that: (a) both options should be set out in full and retained for each enacting State to choose the option that best fit its legal system; (b) to also cover co-owners of encumbered assets who would not be covered by the term “competing claimant”, option A should be revised to refer to “the grantor, any other person with a right in the encumbered asset or the debtor”; and (c) option B should cover people who did not have a right in the encumbered asset (e.g. the insolvency representative in some jurisdictions) and be qualified to somehow narrow the number of people that could be covered by being considered as “affected” by the non-compliance of another person with the provisions of chapter VII.72. 关于第72条,会上商定:(a)两份备选案文都应全文载述并予保留,以便让各颁布国选择最适合其法律制度的备选案文;(b)为了还涵盖不为“相竞求偿人”一语所涵盖的设保资产共同所有人,应当对备选案文A加以修订,以提及“设保人、对设保资产享有权利的其他任何人或债务人”;(c)备选案文B应当涵盖不享有对设保资产的权利的人(如有些法域中的破产管理人),并应当加以限定,以便在某种程度上缩小可列入被视为受另一人不遵守第七章规定“影响”的人的数目。
73. With respect to article 74, paragraph 2, it was agreed that it should be deleted, as it subjected the rights of a higher-ranking secured creditor to rights granted by a lower-ranking secured creditor and was thus inconsistent with article 79, paragraphs 2 and 4.73. 关于第74条第2款,会上商定,该款应予删除,因为该款规定排序较高的有担保债权人的权利从属于由排序较低的有担保债权人所让与的权利,因此与第79条第2款和第4款不一致。
74. With respect to article 75, it was agreed that: (a) paragraph 1 should be revised to provide that the secured creditor could obtain possession “either by applying or without applying” to a court or other authority; (b) paragraph 2 should be deleted as it did not refer to any specific conditions and the conditions of the civil procedure law of the enacting State would apply anyway; and (c) paragraph 4 should be retained but the words “or is of a kind sold on a recognized market” should be deleted, as they were unclear and not applicable in the context of the procedure for obtaining possession of the encumbered assets.74. 关于第75条,会上商定:(a)第1款应当加以修订,规定有担保债权人可通过向法院或其他主管机关“提出申请或者不提出申请”而取得占有权;(b)第2款应予删除,因其未提及任何具体条件,并且颁布国民事诉讼程序法的条件无论如何都将予以适用;(c)第4款应予保留,但“或属于在公认市场上变卖的某一类资产”的语句应予删除,因其内容不清楚,而且对于取得设保资产占有权的程序不适用。
75. With respect to article 76, it was agreed that: (a) to align the chapeau of paragraph 4 with the wording of paragraphs 2 and 3, reference should be made to the decision of the secured creditor to “exercise the right provided in paragraph 1”; (b) to avoid confusion with the term “notice of the secured creditor’s intention” used in the chapeau of paragraph 4, in paragraph 4(b), the word “notifies” should be replaced with the word “informs”; (c) for reasons of clarity, paragraphs 5-8 should refer to the notice referred to in paragraph 4.75. 关于第76条,会上商定:(a)为了使第4款的起始句与第2款和第3款的措辞一致,应当提及有担保债权人“行使第1款所规定的权利的”决定;(b)为了避免与第4款起始句所使用的“有担保债权人意图通知”一语混淆,在第4款(b)项中,应当将“通知”改为“告知”;(c)为清楚起见,第5至8款应当提及第4款所述通知。
It was also agreed that the draft Guide to Enactment should explain that: (a) the period of time referred to in paragraphs 4(b) and 4(c) should be very brief; and (b) the fact that paragraph 8 did not require a notice for the out-of-court sale of an asset that was of a kind sold on a recognized market did not mean that a notice was not required for an out-of-court sale of a controlling stake in a company.会上还商定,颁布指南草案应当解释:(a)第4款(b)项和第4款(c)项所述期限应当非常短;(b)第8款不要求就属于在公认市场上变卖的某类资产的庭外变卖发出通知,并不意味着不要求就公司控股权的庭外变卖发出通知。
76.
In that connection, the Commission considered a proposal that article 76, paragraph 7, should be amended to allow a notice to be sent to recipients other than the grantor in the language of the relevant Registry.76. 在这方面,委员会审议了就修订第76条第7款以便能够以相关登记处所使用的语文向设保人以外的其他收件人发送通知提出的提议。
That proposal was objected to.该提议遭到反对。
It was widely felt that such a safe harbour rule would apply only to some of the recipients of the notice of the secured creditor’s intention to sell an encumbered asset out of court and would create uncertainty as the meaning of the term “relevant Registry” was not clear.会上广泛认为,这类安全港规则将只适用于表明有担保债权人庭外变卖设保资产意图的通知的某些收件人,而且这种规则会造成不确定性,因为“相关登记处”一语含义不清。
77.
With respect to article 77, it was agreed that: (a) to better reflect its content, its heading should be revised to read along the following lines: “Distribution of the proceeds of a disposition of an encumbered asset and debtor’s liability for any deficiency”; (b) in paragraph 2(a), the word “net” should be deleted as the remaining words clarified the meaning of “net proceeds”; and (c) in paragraph 3, the word “shortfall” should be replaced with the word “amount”.77. 关于第77条,会上商定:(a)为了更好地反映其内容,应当对标题作如下修订:“设保资产处分收益的分配以及债务人对任何缺额的偿付责任”;(b)在第2款(a)项中,应当删除“净”一词,因为余下的词句已经澄清了“净收益”的含义;(c)在第3款中,“缺额”一词应改为“数额”。
It was also agreed that the draft Guide to Enactment should explain that: (a) the distribution of proceeds would require that the secured creditor report and provide an account to the grantor, the debtor and any subordinate competing claimant; and (b) any amount owing to the secured creditor after application of the net proceeds to the secured obligation would be an amount owing after deduction of any amount owing to the grantor by the secured creditor.会上还商定,颁布指南草案应当解释:(a)收益的分配将要求有担保债权人向设保人、债务人及任何排序居次的相竞求偿人提供报告和说明;(b)净收益用于偿付附担保债务后,对有担保债权人的任何欠款额,为扣除有担保债权人对设保人的任何欠款后的欠款额。
78.
With respect to article 78, it was agreed that: (a) for reasons of consistency, the text of paragraph 3 should be coordinated with the equivalent text of article 76, paragraph 5(b); (b) for reasons of clarity, paragraph 4 should be revised and set out in two separate paragraphs; and (c) for reasons of clarity and precision, reference should be made in the new paragraph 5 to “consent in writing”, rather than to “affirmative consent”.78. 关于第78条,会上商定:(a)为一致起见,第3款案文的措辞应与第76条第5款(b)项的相应措辞协调一致;(b)为清晰起见,第4款应加以修订,并分作两款单独载述;(c)为清晰和准确起见,新的第5款中应当提及“书面同意”而非“确认同意”的提法。
79.
With respect to article 79, it was agreed that: (a) in paragraphs 1 and 2, the words “except rights that have priority over the right of the enforcing secured creditor” should be deleted and the remaining text in square brackets should be recast as a question for the enacting State (using words along the lines of the words “whether or not”); and (b) in paragraph 5, the words “provided that it had no knowledge of a violation of the provisions of this chapter that materially prejudiced the rights of the grantor or another person” should be retained outside square brackets.79. 关于第79条,会上商定:(a)在第1和第2款中,“享有相对于实行强制执行的有担保债权人权利的优先权的权利除外”一语应当删除,方括号内的其余案文应当改拟为向颁布国提出的一个问题(采用“是否”这类措词);(b)在第5款中,“前提是其对违反本章规定导致严重损害设保人或另一人的权利毫不知情”一语应当保留,去掉方括号。
80.
With respect to article 81, it was agreed that: (a) in line with the Commission’s decision with respect to article 1 (see para. 17, subpara. (b), above), in paragraph 1, reference should be made to an outright transfer “by agreement”, and the words “before or after default of the transferor” that were not relevant in the case of an outright transfer should be replaced with words along the following lines: “at any time after payment becomes due”; and (b) in view of the Commission’s decision that articles 70-80 should not apply to outright transfers (see, para. 17, subpara. (a), above), paragraphs 3 and 5 of article 80 should be reiterated in article 81 to ensure that they would apply to outright transfers.80. 关于第81条,会上商定:(a)按照委员会就第1条所作的决定(见上文第17段(b)项),在第1款中,应当采用“通过协议”彻底转让的提法,“转让人违约前后”的词句无关彻底转让,应当改为如下写法:“在付款日到期后的任何时间”;(b)鉴于委员会关于第70至80条不应适用于彻底转让的决定(见上文第17段(a)项),应当在第81条中再次申明第80条第3和5款,以确保其适用于彻底转让。
81.
After discussion, the Commission adopted articles 72, 74-79 and 81 subject to the above-mentioned changes and articles 70-71, 73 and 80 unchanged.81. 经过讨论,在作出上述修改的前提下,委员会通过了第72、74-79、81条,并且通过了第70-71、73、80条,未作修改。
Chapter VIII. Conflict of laws第八章. 法律冲突
82. With respect to article 83, it was agreed that: (a) to cover priority conflicts with the rights of any competing claimant, in paragraph 2, reference should be made to “the right of a competing claimant”, rather than to “a competing security right made effective against third parties by another method”; and (b) paragraph 4(a) should be deleted as it simply restated the lex situs rule of paragraph 1.82. 关于第83条,会上商定:(a)为了涵盖与任何相竞求偿人权利之间的优先权冲突,在第2款中,应当采用“相竞求偿人权利”而不是“通过另一种方法取得对抗第三方效力的相竞担保权”的提法;(b)第4款(a)项只是简单地重述了第1款中的物所在地法规则,因而应当删除。
83. With respect to article 85, it was agreed that, for reasons of clarity, it should be revised to read along the following lines: “either arises from the sale or lease of immovable property or is secured by immovable property”.83. 关于第85条,会上商定,为清楚起见,应当对其作如下修订:“或产生于变卖或租赁不动产,或由不动产作保”。
In that connection, the Commission considered but did not adopt a proposal to limit the application of article 85 to receivables secured by immovable property identified or identifiable in the contract that gave rise to the receivable.委员会就此审议了一项限制第85条适用范围的建议,即该条应适用于由不动产作保的应收款,但不动产必须已在产生该应收款的合同中指明或者可以在其中指明,但委员会未采纳这一建议。
It was stated that, with that revision, it would be easier for the secured creditor to find out that a receivable in which it had a security right was secured by immovable property and, as a result, a different law would apply to its security right in the receivable.会上指出,作出这一修订后,有担保债权人将更易于确定其享有担保权的应收款是由不动产作保,因此将对其在这笔应收款上的担保权适用一种不同法律。
It was widely felt, however, that the rule in article 85 was appropriate and should apply to all receivables secured by immovable property.不过,会上普遍认为,第85条中的规则应当适用于由不动产作保的所有应收款。
84. With respect to article 86, it was agreed that the law applicable to the enforcement of a security right in a tangible asset should be the law of the State in which the encumbered asset was located at the time of commencement of enforcement, and thus the reference to the law of the State in which enforcement took place should be deleted.84. 关于第86条,会上商定,强制执行有形资产担保权所适用的法律应当是在强制执行开始时设保资产所在国的法律,因此应当删除强制执行发生地所在国法律的提法。
85. With respect to article 89, paragraph 1(b), it was agreed that the draft Guide to Enactment should explain the meaning of the words “the time the issue arises” with illustrations.85. 关于第89条第1款(b)项,会上商定,颁布指南草案应当以实例解释“这一问题产生之时”一语的含义。
It was stated, for example, that: (a) the issue of the priority of a security right over the rights of the grantor’s insolvency representative would arise when the insolvency proceedings commenced; (b) the issue of the priority of a security right as against another security right would arise when the acts that gave rise to the priority conflict arose; and (c) an issue would arise in litigation upon commencement of the litigation proceedings.会上指出:(a)破产程序启动时,会产生一项担保权相对于设保人的破产管理人的权利的优先权问题;(b)当造成优先权冲突的行为出现时,会产生一项担保权对抗另一项担保权的优先权问题;(c)诉讼程序启动时,会产生诉讼问题。
86. With regard to article 93, it was agreed that it should be revised to conform more closely to recommendation 217 of the Secured Transactions Guide.86. 关于第93条,会上商定,该条应加以修订,以便更贴近《担保交易指南》建议217。
87. With respect to article 97, it was agreed that option C should be retained, while options A and B should be deleted.87. 关于第97条,会上商定,备选案文C应当保留,备选案文A和B应当删除。
It was widely felt that option C stated a clear and simple rule that would apply to all issues, distinguishing only between debt and equity securities, and preventing the secured creditor from manipulating the applicable law by moving certificated securities from State to State.会上普遍认为,备选案文C阐述了一条简单、明确的规则,它将适用于所有问题,只区分债务证券和股权证券,并且防止有担保债权人通过在国家间转移凭证式证券操纵所适用的法律。
88. With respect to article 98, it was agreed that it should be revised to read along the following lines: “If the law applicable to an issue is the law of a State that comprises one or more territorial units each of which has its own rules of law in respect of that issue: (a) any reference in the provisions of this chapter to the law of a State means the law in force in the relevant territorial unit; and (b) the internal conflict of laws rules of that State, or, in the absence of such rules, of that territorial unit determine the relevant territorial unit whose substantive law is to apply”.88. 关于第98条,会上商定,该条应作如下修订:“如果某一问题的适用法律是由一个或多个领土单位组成的国家的法律,而每个领土单位各有自己针对该问题的法律规则:(a)凡本章条文中提及一国法律之处,均是指相关领土单位的现行法律;及(b)该国的内部法律冲突规则,或者在没有这类规则的情况下,该领土单位的现行法律,决定适用实质性法律的相关领土单位”。
It was also agreed that, as it was not an asset-specific rule, article 98 should be moved to the end of section A of chapter VIII that contained general rules.会上还商定,由于这条规则并非资产特定规则,应当把第98条移至第八章载有一般规则的A节末尾。
89. With respect to the headings of the provisions in chapter VIII, in line with the Commission’s decision not to include the chapter title in the title of each article (see para. 63 above), it was agreed that the words “Law applicable” should be deleted from the headings of the provisions in chapter VIII.89. 关于第八章各条的标题,按照贸易法委员会关于不在每一条款标题中列入该章标题的决定(见上文第63段),会上商定,应当从第八章各条的标题中删除“适用法律”字样。
90. After discussion, the Commission adopted articles 83, 85, 86, 93, 97 and 98 subject to the above-mentioned changes and articles 82, 84, 87, 88-92 and 94-96 unchanged.90. 经过讨论,在作出上述修改的前提下,委员会通过了第83、85、86、93、97、98条,并且通过了第82、84、87、88-92、94-96条,未作修改。
Chapter IX. Transition第九章. 过渡
91. With respect to article 100, paragraph 1(a), it was agreed that the reference to “the law applicable under the conflict-of-laws rules of the enacting State” should be retained outside square brackets.91. 关于第100条第1款(a)项,会上商定,“颁布国法律冲突规则下的适用法律”的提法应当保留,去掉方括号。
92. With respect to article 103, it was agreed that a paragraph 5 should be added that would read along the following lines: “If a prior security right referred to in paragraph 2 was made effective against third parties by registration under prior law, the time of registration under prior law is the time to be used for the purposes of applying the priority rules of this Law that refer to the time of registration of a security right”.92. 关于第103条,会上商定,第5款应补充如下内容:“如果采用先前法律下的登记办法使得第2款所述先前担保权取得对抗第三方的效力,在先前法律下办理登记的时间,是为适用本法中提及担保权登记时间的优先权规则的目的而使用的时间”。
93. With respect to article 104, it was agreed that paragraph 1 should be deleted as it might be inconsistent with article 103, paragraph 2, its wording might be unclear, and article 103, as modified, already addressed comprehensively the transitional rules for determining the time of third-party effectiveness of prior security rights for the purposes of applying the priority provisions of the draft Model Law.93. 关于第104条,会上商定,第1款应当删除,因其可能与第103条第2款不一致,其措辞可能不清楚,而且经修改后的第103条已经全面述及为适用示范法草案优先权规定的目的而确定先前担保权取得第三方效力时间的过渡性规则。
94. After discussion, the Commission adopted articles 100, 103 and 104 subject to the above-mentioned changes and articles 99, 101, 102 and 105 unchanged.94. 经过讨论,在作出上述修改的前提下,委员会通过了第100、103、104条,并且通过了第99、101、102、105条,未作修改。
Miscellaneous provisions杂项规定
95. The Commission resumed its discussion of article 2, subparagraph (t), and articles 3, 11, 23, 31, 32, 42 and 52 of the draft Model Law, as well as article 24, paragraph 6, and articles 25 and 26 of the draft Registry-related Provisions.95. 委员会继续讨论示范法草案第2条(t)项、第3、11、23、31、32、42、52条,以及登记处相关条文草案第24条第6款、第25、26条。
96. With respect to article 3, it was suggested that a new paragraph should be added to read along the following lines: “Nothing in this Law affects any agreement to the use of alternative dispute resolution, including arbitration, mediation, conciliation and online dispute resolution”.96. 关于第3条,会上提议按下述写法加入一新款:“本法中的规定概不影响就使用包括仲裁、调停、调解和网上争议解决在内的非诉讼争议解决办法达成协议”。
Strongly held differing views were expressed.会上表达了完全不同的意见。
97. One view was that the proposed text should not be included in article 3.97. 一种意见认为不应将拟议案文列入第3条。
It was stated that that text was either superfluous as it stated the obvious or harmful as it failed to address the issue of arbitrability of disputes arising with respect to security agreements or security rights and the need to protect the rights of third parties, but also inappropriately indicated a preference for alternative dispute resolution (ADR) over judicial proceedings.会上指出,该案文不但是多余的——案文所述显而易见或有害无益,因其未能处理在担保协议或担保权方面所产生争议的可仲裁性问题以及保护第三方权利的必要性,而且还不恰当地表明非诉讼争议解决办法较之于司法程序更可取。
In addition, it was observed that arbitrability was a matter to be dealt with in arbitration law and thus a matter for Working Group II (Arbitration and Conciliation), on the agenda of which it was since 1999.另外还指出,可仲裁性问题是一个应放在仲裁法中处理的事项,因而也是第二工作组(仲裁和调解)处理的事项,这个问题自1999年以来一直放在该工作组议程上。
Moreover, it was said that the fact that a regional text or the national laws of some States in a region of the world included such a provision did not mean that a text prepared by an international body such as UNCITRAL and addressed to the whole world should or could follow the same approach.另外,会上还指出,某一区域性案文或者世界某一区域某些国家的国内法列入了这种条文,并不意味着由诸如贸易法委员会这样的国际机构拟订并推向全世界的案文应当或者可以依循同样做法。
As a compromise, it was thus suggested that the matter ought to be discussed in the draft Guide to Enactment (see A/CN.9/885/Add.3, paras. 55 and 58) and placed on the future work agenda of the Commission (see para. 125 below).因此,作为折衷办法,会上提出,这一事项应当放在颁布指南草案中讨论(见A/CN.9/885/Add.3,第55和58段),并将其放在委员会今后的工作议程上(见下文第125段)。
98. The prevailing view, however, was that the proposed text should be included in article 3.98. 然而,普遍意见认为还是应当将拟议案文列入第3条。
It was stated that the use of ADR to resolve disputes arising with respect to security agreements or security rights was essential, in particular for developing countries, to attract investment.会上指出,尤其对于发展中国家,使用非诉讼争议解决办法解决与担保协议或担保权相关的争议,对于吸引投资至关重要。
In that connection, it was observed that the often inefficient judicial enforcement mechanisms were bound to have a negative impact on the availability and the cost of credit.在这方面,会上指出,司法强制执行机制的效率通常低下,势必对信贷提供和信贷成本产生不利影响。
In addition, it was pointed out that the proposed text was of significant educational importance as it made a statement in support of ADR, without interfering with the way in which the various legal systems dealt with arbitrability, the protection of rights of third parties or access to justice.另外还指出,所提议案文具有显著教育意义,因为该案文在申明支持非诉讼争议解决办法的同时并没有干涉各种不同法律制度以何种方式处理可仲裁性问题、第三方权利的保护或者诉诸司法的权利。
Moreover, it was said that the matter involved the relationship between the grantor and the secured creditor and thus it could also be addressed in the chapter on the rights and obligations of the parties.还指出,这一问题涉及设保人与有担保债权人之间的关系,因此还可放在关于当事人权利和义务的一章中处理。
After discussion, it was agreed that the proposed text should be included in article 3 with appropriate explanations in the draft Guide to Enactment, on the understanding that it did not prejudice the discussion of arbitrability, the protection of the rights of third parties or access to justice.经过讨论,一致认为应当将拟议案文列入第3条,并在颁布指南草案中加入适当解释,但有一项理解,即该案文不能影响关于可仲裁性、保护第三方权利以及诉诸司法的权利的讨论。
99. With respect to article 11, it was agreed that it should be revised to read along the following lines:99. 关于第11条,会议商定按下述写法修订该条:
“1.“1. 混合在混集物中的有形资产上的担保权延及该混集物。
A security right in a tangible asset that is commingled in a mass extends to the mass. A security right in a tangible asset that is transformed into a product extends to the product.转换为制成物的有形资产上的担保权延及该制成物。
“2. A security right that extends to a mass is limited to the same proportion of the mass as the quantity of the encumbered asset bore to the quantity of the entire mass immediately after the commingling.“2. 延及混集物的担保权,其在混集物中所占比例,限于混合之后设保资产数量即刻对于整个混集物数量的比例。
“3. A security right that extends to a product is limited to the value of the encumbered asset immediately before it became part of the product.”“3. 延及制成物的担保权,限于设保资产在即将成为制成物一部分之前具有的价值。
100. It was also agreed that the definition of the term “mass or product” in article 2, subparagraph (t), should be revised to read along the following lines: “‘Mass’ means a tangible asset which results when tangible assets are so commingled with other tangible assets of the same kind that they have lost their separate identity”; and “‘Product’ means a tangible asset which results when tangible assets are so physically associated or united with other tangible assets of a different kind, or when one or more tangible assets are so manufactured, assembled or processed, that they have lost their separate identity”.100. 会议还商定,第2条(t)项中“混集物或制成物”术语的定义应按下述写法修订:“‘混集物’是指当有形资产与同类其他有形资产混合以致丧失其单独特性时所产生的有形资产”;“‘制成物’是指当有形资产在形体上与另一不同种类的其他有形资产连接或结合以致丧失其单独特性时,或者当一种或多种有形资产经过制造、组装或加工以致丧失其单独特性时所产生的有形资产”。
101. To coordinate it with article 11 as revised, it was agreed that article 31, paragraph 3, should be revised to read along the following lines: “For the purposes of paragraph 2, the obligation secured by a security right that extends to the mass or product is subject to the limitation determined in accordance with article 11.”101. 为了使之与经过修订的第11条协调,会议商定,第31条第3款应按下述写法修订:“就第2款而言,延及混集物或制成物的担保权所担保的债务需服从根据第11条所确定的限制。
It was also agreed that appropriate adjustments should be made to the headings of the relevant articles to refer to the “transformation”, rather than to commingling, of assets into a product.”还商定,应当对相关条款的标题作出适当调整,提及资产“转换为”制成物,而不是资产混合为制成物。
102. With respect to article 23, it was agreed that it should be revised to read along the following lines: “An acquisition security right in consumer goods with an acquisition price below [an amount to be specified by the enacting State] is effective against third parties upon its creation without any further act”.102. 关于第23条,会议商定按下述写法修订该条:“购置价格低于[拟由颁布国指明的数额]的消费品上的购置款担保权,无需任何进一步行为,在设定之时即具有对抗第三方的效力”。
103. It was also agreed that, to complete the treatment of acquisition security rights in consumer goods, a priority rule should be added as a new paragraph at the end of article 32 that should read along the following lines: “A buyer acquires its rights free of, and the rights of a lessee are not affected by, an acquisition security right in consumer goods unless the security right is made effective against third parties otherwise than under article 23 before the buyer or lessee acquires its rights in the goods”.103. 会议还商定,为了以完整的方式对消费品购置款担保权进行处理,还应在第32条结尾作为一新款加入一个优先权规则,其写法如下:“在买受人或承租人取得对消费品的权利之前,除非担保权已根据第23条以外的规定具有对抗第三方的效力,否则,买受人取得其权利时不附带消费品上的购置款担保权,承租人的权利也不受消费品上购置款担保权的影响。
104. It was noted that: (a) in both article 23 and the new paragraph of article 32, the reference to a transferee was deleted to avoid covering a donee (see para. 35 above); and (b) the reference to a licensee was deleted because a licence in consumer goods either did not exist at all or might exist only in very rare cases.104. 会上指出:(a)在第23条以及第32条的新款中,删除对受让人的提及,以避免涵盖受赠人(见上文第35段);(b)删除对被许可人的提及,因为消费品上的许可权根本不存在,即使存在可能也极为罕见。
105. With respect to article 24, paragraph 6, of the draft Model Registry-related Provisions, it was agreed that it should be revised to read along the following lines:105. 关于登记处相关示范条文草案第24条第6款,会上商定,该款应作如下修订:
“6. Notwithstanding paragraph 4, an error in the period of effectiveness of registration specified in an initial or amendment notice, does not render the registration of the notice ineffective, except to the extent that third parties relied on the erroneous information in the registered notice.“6. 虽有第4款的规定,初始通知或修正通知中指明的登记有效期出现错误,不会导致对通知的登记无效,除非第三方依赖于已登记通知中的错误信息。
“7. Notwithstanding paragraph 4, an error in the maximum amount for which the security right may be enforced entered in an initial or amendment notice, does not render the registration of the notice ineffective.“7. 虽有第4款的规定,初始通知或修正通知中输入的担保权强制执行最高额出现错误,不会导致对通知的登记无效。
However, its effectiveness against third parties who relied on the amount stated in the notice is limited to that amount or the maximum amount indicated in the security agreement, whichever is lower”.但第三方依赖于通知中所指明的数额的,该担保权对抗第三方的效力限于该数额或担保协议中所指明的最高额,两者以较低者为准”。
106. After further discussion, it was agreed that the above-proposed article 24, paragraph 7, should be revised to read along the following lines: “Notwithstanding paragraph 4, an error in the maximum amount specified in an initial or amendment notice does not render the registration ineffective, but the priority of the security right is limited to the maximum amount stated in the notice or in the security agreement, whichever is lower”.106. 经过进一步讨论,会上商定,前面提出的第24条第7款应作如下修订:“虽有第(4)款的规定,初始通知或修正通知中指明的最高额出现错误,不会导致登记无效,但担保权的优先权限于通知或担保协议中指明的最高额,两者以较低者为准”。
107. In addition, it was agreed that the above-proposed and agreed paragraphs 6 and 7 of article 24 should appear in the final text of the Model Registry-related Provisions within square brackets and be accompanied with the relevant footnotes drawing the attention of enacting States to the fact that those provisions would be necessary depending on whether they had decided to implement option B or C of article 14 and article 8, subparagraph (e), respectively, of the Model Registry-related Provisions.107. 此外,会上商定,前面提出的第24条第6和7款已经达成一致,应当放入《登记处相关示范条文》最后案文,置于方括号内,同时加上相关脚注,提请颁布国注意这样的事实,即这些条文有否必要将取决于颁布国是否已经决定分别执行《登记处相关示范条文》第14条备选案文B或备选案文C以及第8条(e)项。
Moreover, it was agreed that references to the “maximum amount” throughout the draft Model Law should be coordinated.而且,会上商定,示范法草案通篇中的“最高额”应当协调一致。
It was also agreed that article 42, paragraph 3, of the draft Model Law should be deleted as it addressed the same issue addressed in the above-proposed and agreed article 24, paragraph 7 (see para. 106 above).还商定,示范法草案第42条第3款应予删除,因其述及的问题与前面提出并已达成一致的第24条第7款述及的问题是一样的(见上文第106段)。
108. With respect to article 25 of the draft Model Registry-related Provisions, it was agreed that it should be revised to read along the following lines:108. 关于登记处相关示范条文草案第25条,会上商定,该条应作如下修订:
“1. Subject to paragraphs 2 and 3, the third-party effectiveness and priority of a security right that was made effective against third parties by registration of a notice is not affected by a change in the identifier of the grantor after the notice is registered.“1. 在不违反第2款和第3款的前提下,担保权通过办理通知登记取得对抗第三方效力的,其第三方效力和优先权不受办理通知登记后设保人身份标识发生变更的影响。
“2. If the identifier of the grantor changes after a notice is registered, a competing security right created by the grantor that was made effective against third parties after the change has priority over the security right to which the notice relates unless the security right to which the notice relates is made effective against third parties by a method other than registration of a notice, or an amendment notice disclosing the new identifier of the grantor is registered:“2. 如果设保人的身份标识在办理通知登记后发生变更,由设保人设定的在发生变更后取得对抗第三方效力的相竞担保权,享有相对于通知所涉担保权的优先权,除非以办理通知登记以外的一种方法使通知所涉担保权取得对抗第三方的效力,或者在以下情况下办理披露设保人新的身份标识的修正通知的登记:
“(a) Before the expiry of [a short period of time to be specified by the enacting State] after the change;“(a) 在发生变更后[拟由颁布国指明的一段短暂时期]期满前;或
or
“(b) After the expiry of the period referred to in paragraph 2(a) but before the competing security right is made effective against third parties.“(b) 在第2款(a)项所述期限期满后,但在相竞担保权取得对抗第三方效力之前。
“3. If the identifier of the grantor changes after a notice is registered, a buyer to whom the encumbered asset is sold after the change acquires its rights free of the security right to which the notice relates unless it is made effective against third parties by a method other than registration of a notice, or an amendment notice disclosing the new identifier of the grantor is registered:“3. 如果设保人的身份标识在办理通知登记后发生变更,发生变更后所变卖设保资产的买受人获得其权利而不连带通知所涉担保权,除非以办理通知登记以外的一种方法使其取得对抗第三方的效力,或者在以下情况下办理披露设保人新的身份标识的修正通知的登记:
“(a) Before the expiry of the period referred to in paragraph 2(a);“(a) 在第2款(a)项所述期限期满前;或
or
“(b) After the expiry of the period referred to in paragraph 2(a) but before the buyer acquires its rights in the asset.“(b) 在第2款(a)项所述期限期满后,但在买受人取得其在资产上的权利之前。
“4. Paragraphs 2 and 3 do not apply if the information in the registered notice referred to in paragraph 1 would be retrieved by a search using the new identifier of the grantor as a search criterion”.“4. 如果使用设保人新的身份标识作为查询标准,通过查询可检索到第1款所述已登记通知中的信息,第2款和第3款不适用”。
109. It was also agreed that a footnote should be added to draw the attention of the enacting State to the fact that the above-proposed and agreed article 25, paragraph 4, would be necessary only for enacting States that would implement option B of article 23, paragraph 1, of the Model Registry-related Provisions.109. 会上还商定添加一个脚注,提请颁布国注意这样一个事实,即前面提出并已达成一致的第25条第4款仅对将执行《登记处相关示范条文》第23条第1款备选案文B的颁布国有必要。
110. It was also agreed that article 26 of the draft Model Registry-related Provisions should be revised to read along the following lines:110. 会上还商定,登记处相关示范条文草案第26条应作如下修订:
“Option A“备选案文A
“1. Subject to paragraphs 2 and 3, the third-party effectiveness and priority of a security right in an encumbered asset that was made effective against third parties by registration of a notice is not affected by a sale of the encumbered asset after the notice is registered to a buyer that acquires its rights subject to the security right under article 32 of the Law.“1. 在不违反第2款和第3款的前提下,设保资产上的担保权通过办理通知登记取得对抗第三方效力的,其第三方效力和优先权不受在办理通知登记后将设保资产变卖给买受人的影响,买受人取得的权利连带根据本法第32条设定的担保权。
“2. If an encumbered asset covered by a registered notice is sold to a buyer that acquires its rights subject to the security right to which the notice relates under article 32 of the Law, a competing security right created by the buyer that is made effective against third parties after the sale has priority over the security right to which the notice relates unless the security right to which the notice relates is made effective against third parties by a method other than registration of a notice, or an amendment notice is registered adding the buyer as a new grantor:“2. 如果已登记通知所涵盖的设保资产变卖给买受人,而买受人取得的权利连带根据本法第32条设定的通知所涉担保权,该买受人所设定的相竞担保权,如果在变卖后取得对抗第三方效力,享有相对于通知所涉担保权的优先权,除非以办理通知登记以外的一种方法使通知所涉担保权取得对抗第三方的效力,或者在以下情况下办理增列买受人为新的设保人的修正通知的登记:
“(a) Before the expiry of [a short period of time to be specified by the enacting State] after the sale;“(a) 在变卖后[拟由颁布国指明的一段短暂时期]期满前;或
or
“(b) After the expiry of the period referred to in paragraph 2(a) but before the competing security right is made effective against third parties.“(b) 在第2款(a)项所述期限期满后,但在相竞担保权取得对抗第三方效力之前。
“3. If an encumbered asset covered by a registered notice is sold to a buyer that acquires its rights subject to the security right to which the notice relates under article 32 of the Law, a subsequent buyer to whom the initial buyer sells the encumbered asset acquires its rights free of the security right to which the notice relates unless it is made effective against third parties by a method other than registration of a notice, or an amendment notice adding the initial buyer as a new grantor is registered:“3. 如果已登记通知所涵盖的设保资产变卖给买受人,而买受人取得的权利连带根据本法第32条设定的通知所涉担保权,初始买受人所变卖设保资产的后继买受人取得其权利而不连带通知所涉担保权,除非以办理通知登记以外的一种方法使该担保权取得对抗第三方的效力,或者在以下情况下办理增列初始买受人为新的设保人的修正通知的登记:
“(a) Before the expiry of the period referred to in paragraph 2(a);“(a) 在第2款(a)项所述期限期满前;或
or
“(b) After the expiry of the period referred to in paragraph 2(a) but before the subsequent buyer acquires its rights in the encumbered asset.“(b) 在第2款(a)项所述期限期满后,但在后继买受人取得其在设保资产上的权利之前。
“4. The third-party effectiveness and priority of a security right in intellectual property that was made effective against third parties by registration of a notice is not affected by a sale of the intellectual property after the notice is registered to a buyer that acquires its rights subject to the security right under article 32 of the Law.“4. 知识产权担保权以办理通知登记的方式取得对抗第三方效力的,其第三方效力和优先权不受在办理通知登记后将知识产权变卖给买受人的影响,买受人取得的权利连带根据本法第32条设定的担保权。
“Option B“备选案文B
“1. Subject to paragraphs 2 to 4, the third-party effectiveness and priority of a security right in an encumbered asset that was made effective against third parties by registration of a notice is not affected by a sale of the encumbered asset after the notice is registered to a buyer that acquires its rights subject to the security right under article 32 of the Law.“1. 在不违反第2款至第4款的前提下,设保资产担保权通过办理通知登记取得对抗第三方效力的,其第三方效力和优先权不受在办理通知登记后将设保资产变卖给买受人的影响,买受人取得的权利连带根据本法第32条设定的担保权。
“2. If an encumbered asset covered by a registered notice is sold to a buyer that acquires its rights subject to the security right to which the notice relates under article 32 of the Law, a competing security right created by the buyer that is made effective against third parties after the secured creditor acquires knowledge of the sale and the identifier of the buyer has priority over the security right to which the notice relates unless the security right to which the notice relates is made effective against third parties by a method other than registration of a notice, or an amendment notice adding the buyer as a new grantor is registered:“2. 如果已登记通知所涵盖的设保资产变卖给买受人,而买受人取得的权利连带根据本法第32条设定的通知所涉担保权,该买受人所设定的相竞担保权,如果在有担保债权人知悉变卖事宜和买受人的身份标识之后取得对抗第三方效力,优先于通知所涉担保权,除非以办理通知登记以外的一种方法使通知所涉担保权取得对抗第三方效力,或者在以下情况下办理增列该买受人为新的设保人的修正通知的登记:
“(a) Before the expiry of [a short period of time to be specified by the enacting State] after the secured creditor acquires the relevant knowledge;“(a) 在有担保债权人知悉相关事宜后[拟由颁布国指明的短暂期限]期满前;或
or
“(b) After the expiry of the period referred to in paragraph 2(a) but before the competing security right is made effective against third parties.“(b) 在第2款(a)项所述期限期满后,但在相竞担保权取得对抗第三方效力之前。
“3. If an encumbered asset covered by a registered notice is sold to a buyer that acquires its rights subject to the security right to which the notice relates under article 32 of the Law, a subsequent buyer to whom the encumbered asset is sold after the secured creditor acquires knowledge of the sale and the identifier of the buyer acquires its rights free of the security right to which the notice relates unless it is made effective against third parties by a method other than registration of a notice, or an amendment notice adding the identifier of the initial buyer as a new grantor is registered:“3. 如果已登记通知所涵盖的设保资产变卖给买受人,而买受人取得的权利连带根据本法第32条设定的通知所涉担保权,在有担保债权人知悉变卖事宜和买受人身份标识之后所变卖的设保资产的后继买受人取得其权利而不连带通知所涉担保权,除非以办理通知登记以外的一种办法使该担保权取得对抗第三方的效力,或者在以下情况下办理增列初始买受人为新的设保人的修正通知的登记:
“(a) Before the expiry of the period referred to in paragraph 2(a);“(a) 在第2款(a)项所述期限期满前;或
or
“(b) After the expiry of the period referred to in paragraph 2(a) but before the subsequent buyer acquires its rights in the encumbered asset.“(b) 在第2款(a)项所述期限期满后,但在后继买受人取得其在设保资产上的权利之前。
“4. If there are one or more subsequent sales of the encumbered asset before the secured creditor acquires knowledge of the sale and the identifier of the buyer, the obligation to register an amendment notice under paragraphs 2 and 3 is satisfied if the secured creditor registers an amendment notice adding the identifier of the most recent buyer of which it has knowledge as a new grantor.“4. 在有担保债权人知悉变卖事宜和买受人身份标识之前设保资产有一次或多次后继变卖的,有担保债权人登记一则修正通知,增列其所知悉的最新买受人的身份标识为新的设保人,即为满足第2款和第3款所规定的登记修正通知的义务。
“5. The third-party effectiveness and priority of a security right in intellectual property that was made effective against third parties by registration of a notice is not affected by a sale of the intellectual property after the notice is registered to a buyer that acquires its rights subject to the security right under article 32 of the Law.“5. 知识产权担保权以办理通知登记的方式取得对抗第三方效力的,其第三方效力和优先权不受在办理通知登记后将知识产权变卖给买受人的影响,买受人取得的权利连带根据本法第32条设定的担保权。
“Option C“备选案文C
“The third-party effectiveness and priority of a security right in an encumbered asset that is made effective against third parties by registration of a notice is not affected by a sale of the asset after the notice is registered to a buyer that acquires its rights subject to the security right under article 32 of the Law”.“设保资产担保权通过办理通知登记取得对抗第三方效力的,其第三方效力和优先权不受在办理通知登记后将资产变卖买受人的影响,买受人取得的权利连带根据本法第32条设定的担保权。”
111. With respect to article 52 (see para. 66 above), it was agreed that it should be revised to read along the following lines: “Upon extinction of a security right in an encumbered asset, a secured creditor in possession must return the asset to the grantor or deliver the asset to a person designated by the grantor”.111. 关于第52条(见上文第66段),会上商定,该条应作如下修订:“在设保资产担保权消灭之时,享有占有权的有担保债权人必须将资产返还设保人或将资产交付给由设保人指定的人”。
112. The Commission next considered a proposal for a new article that would follow article 79 and would read along the following lines: “If the maximum amount entered in an initial or amendment notice is lower than that indicated in the security agreement to which the notice relates, the security right to which the notice relates may be enforced only up to the amount entered in the notice, unless there are no other competing claimants that relied on the maximum amount entered in the notice”.112. 委员会接下来审议了关于新增一个条款的提案,该条款接第79条之后,内容如下:“如果初始通知或修正通知中输入的最高额低于该通知所涉担保协议中指明的数额,该通知所涉担保权的最高强制执行额不得超高已登记通知中输入的数额,除非没有其他相竞求偿人依赖该通知中输入的最高额”。
113. While some support was expressed, the proposal was objected to.113. 该提案获得一些支持,但也遭到反对。
It was widely felt that the above-proposed and agreed article 24, paragraph 7 (see paras. 106-107 above), was sufficient to address situations in which the maximum amount stated in a registered notice was different from the maximum amount stated in the security agreement by providing that the priority of a security right was limited to the maximum amount stated in the notice or in the security agreement, whichever was lower.会上普遍认为,前面提出并已达成一致的第24条第7款(见上文第106-107段)足以处理已登记通知中指明的最高额不同于担保协议中指明的数额的情形,该款规定,担保权的优先权限于通知或担保协议中指明的最高额,两者以较低者为准。
114. After discussion, the Commission adopted article 2, subparagraph (t), and articles 3, 11, 23, 31, 32, 42 and 52 of the draft Model Law, as well as article 24, paragraphs 6 and 7, and articles 25 and 26 of the draft Model Registry-related Provisions subject to the above-mentioned changes.114. 经过讨论,在作出上述修改的前提下,委员会通过了示范法草案第2条(t)项、第3、11、23、31、32、42、52条,以及登记处相关示范条文草案第24条第6、7款、第25、26条。
115. At the close of its deliberations on the draft Model Law, the Commission agreed that the Secretariat should be given a mandate to make the changes approved by the Commission, as well as any consequential editorial changes, avoiding making changes where it was not clear whether a change was editorial or substantive.115. 在结束对示范法草案的审议时,委员会商定,应当授权秘书处作出经委员会核可的修改,并作出相应的编辑上的改动,同时避免在不清楚属于编辑上的改动还是实质内容上的改动的情况下作出改动。
The Commission also agreed that the Secretariat should review the entire draft Model Law to ensure consistency in the terminology used.委员会还商定,秘书处应对整部示范法草案加以审查,以确保所用术语的一致性。
3. Adoption of the UNCITRAL Model Law on Secured Transactions3. 通过《贸易法委员会担保交易示范法》
116. Before adopting the UNCITRAL Model Law on Secured Transactions (the “Model Law”), the Commission considered its name in the official languages other than English.116. 在通过《贸易法委员会担保交易示范法》(《示范法》)之前,委员会审议了《示范法》除英语外其他正式语文的名称。
The suggestion was made that in Spanish the Model Law should be named as follows: “Ley Modelo sobre Garantías Mobiliarias”.会上提出,在西班牙文中,《示范法》应当使用以下名称:“Ley Modelo sobre Garantías Mobiliarias”。
It was stated that that name was more correct in Spanish and more understandable for Spanish language readers.据称,该名称在西班牙文中更为准确,更容易为西班牙文读者理解。
It was also said that that was the Spanish name of the “Model Inter-American Law on Secured Transactions”.还指出,这也是“美洲国家担保交易示范法”的西班牙文名称。
While initially diverging views were expressed as to whether the word “reales” should be added to qualify the word “garantías” and distinguish proprietary from personal security rights, it was ultimately agreed that that was not necessary as the word “mobiliarias”, which could not refer to personal security rights, was sufficient to indicate that only proprietary security rights were meant.虽然会上最初就是否应当添加“reales”一词以限定“garantias”一词并对专属担保权和属人担保权加以区分发表了不同看法,但会上最终商定,这样做没有必要,因为“mobiliarias”一词不可能指称属人担保权,并且该词足以表明所指的只能是专属担保权。
117. The concern was expressed, however, that the suggested new Spanish name of the Model Law might cause confusion as the term “secured transactions” (“opérations garanties” in French, “operaciones garantizadas” in Spanish) had been used for several years in connection with the Secured Transactions Guide.117. 但会上表达了这样的关切:所提议的西班牙文《示范法》新的名称可能会造成混乱,因为若干年来与《担保交易指南》有关的用语一直都是“secured transactions”(法文为“opérations garanties”,西班牙文为“operaciones garantizadas”)。
To address that concern, it was agreed that a note should be added at the beginning of the Model Law to explain that, as explained in the Secured Transactions Guide, the term “secured transaction” meant a transaction that created a security right and thus there was no substantive difference in the terminology used.为了处理这一关切,会上商定,应当在《示范法》开头处添加一则说明,作出如下解释:如《担保交易指南》所解释的,“担保交易”这一术语是指设定担保权的交易,因此在所用术语方面并不存在任何实质性区别。
The concern was also expressed that the suggested new Spanish name of the Model Law would affect the name of the Model Law in the language versions other than English and Spanish.会上还关切地表示,所提议的西班牙文《示范法》新的名称会影响到英文和西班牙文以外语文文本《示范法》的名称。
In response, it was noted that the name of the Model Law in those other languages also should be correct and understandable for the readers of those languages.对此指出,其他语文文本《示范法》的名称也应当正确无误,并且可为这些语文的读者所理解。
118.
After discussion, it was agreed that the Spanish name of the Model Law should be “Ley Modelo de la CNUDMI sobre Garantías Mobiliarias” and the French name should be “Loi type de la CNUDCI sur les sûretés mobilières” (for the same reason mentioned in para. 116 above for the Spanish version, the term “réelles” did not need to qualify the term “sûretés”).118. 经过讨论,会上商定,《示范法》的西班牙文名称应当是“Ley Modelo sobre Garantías Mobiliarias”,法文名称应当是“Loi type de la CNUDCI sur les sûretés mobilières”(出于上文第116段就西班牙文文本提到的同样原因,无需用“réelles”一词限定“sûretés”)。
It was also agreed that the name of the Model Law in the language versions other than English, French and Spanish should be as consistent as possible with the name of the Model Law in the English, French and Spanish language versions and, at the same time, use terminology that would be as correct and easily understood as possible by the readers of that language.会上还商定,英文、法文和西班牙文以外其他语文文本《示范法》的名称应当尽量与英文、法文和西班牙文文本《示范法》的名称一致,同时应当使用尽可能准确且易于这些语文读者理解的术语。
119. At its 1032nd meeting on 1 July, the Commission adopted the following decision:119. 在2016年7月1日第1032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,
“Recalling General Assembly resolution 2205 (XXI) of 17 December 1966, which established the United Nations Commission on International Trade Law with the purpose of furthering the progressive harmonization and unification of the law of international trade in the interests of all peoples, in particular those of developing countries,“回顾大会1966年12月17日第2205 (XXI)号决议设立联合国国际贸易法委员会,目的是为各国人民的利益,特别是为发展中国家人民的利益,促进国际贸易法的逐渐协调和统一,
“Recalling also General Assembly resolutions 56/81 of 12 December 2001, 63/121 of 11 December 2008, 65/23 of 6 December 2010 and 68/108 of 16 December 2013 in which the General Assembly recommended that States consider or continue to consider becoming parties to the United Nations Convention on the Assignment of Receivables in International Trade (New York, 2001) and giving favourable consideration to the UNCITRAL Legislative Guide on Secured Transactions (2007), the Supplement on Security Rights in Intellectual Property and the UNCITRAL Guide on the Implementation of a Security Rights Registry, respectively,“还回顾大会2001年12月12日第56/81号、2008年12月11日第63/121号、2010年12月6日第65/23号和2013年12月16日第68/108号决议,大会在这些决议中分别建议各国考虑或继续考虑成为《联合国国际贸易应收款转让公约》(2001年,纽约)的缔约国,并积极考虑《贸易法委员会担保交易立法指南》(2007年)、《知识产权担保权补编》和《贸易法委员会担保权登记处落实指南》,
“Further recalling that, at its forty-sixth session, in 2013, it entrusted Working Group VI (Security Interests) with the preparation of a model law on secured transactions based on the recommendations of the UNCITRAL Legislative Guide on Secured Transactions (2007) and consistent with all texts prepared by UNCITRAL on secured transactions,“又回顾委员会2013年第四十六届会议委托第六工作组(担保权益)在《贸易法委员会担保交易立法指南》(2007年)建议的基础上,并按照委员会拟订的关于担保交易的所有案文,拟订一部担保交易示范法,
“Noting that the Working Group devoted six sessions, from 2013 to 2016, to the preparation of the draft model law on secured transactions (the ‘draft Model Law’),“注意到工作组从2013年到2016年用六届会议拟订担保交易示范法草案(“示范法草案”),
“Further noting that, at its forty-eighth session, in 2015, the Commission approved the substance of the registry-related provisions of the draft Model Law,“又注意到委员会2015年第四十八届会议核准了示范法草案与登记处有关的条文的实质内容,
“Further noting with satisfaction that the draft Model Law is based on the recommendations of the UNCITRAL Legislative Guide on Secured Transactions and consistent with all texts prepared by UNCITRAL on secured transactions, and with those texts thus provides comprehensive guidance to States with respect to legal and practical issues that need to be addressed when implementing a modern secured transactions regime,“还满意地注意到示范法草案以《贸易法委员会担保交易立法指南》为基础,并与贸易法委员会拟订的关于担保交易的所有案文相一致,因而以此就落实现代担保交易制度时需要处理的法律问题和实务问题向各国提供全面的指导,
“Recognizing that an efficient secured transactions regime with a publicly accessible security rights registry of the kind provided for in the draft Model Law is likely to increase access to affordable secured credit and thus promote economic growth, sustainable development, the rule of law and financial inclusion, as well as assist in combating poverty,“认识到建立起高效担保交易制度并配备示范法草案所规定的这类可供公众查询的担保权登记处,有可能增加获得费用可承受的担保信贷的机会,从而促进经济增长、可持续发展、法治和金融普惠,并有助于消除贫穷,
“Recognizing also that the harmonization of national secured transactions regimes and registries on the basis of the draft Model Law is likely to increase the availability of secured credit across national borders and thus facilitate the development of international trade, which, if achieved on the basis of equality and mutual benefit to all States, is an important element in promoting friendly relations among States,“还认识到在示范法草案的基础上协调统一各国担保交易制度和登记处,有可能增加跨国界信贷供应,从而促进国际贸易发展,如能在所有国家平等互利的基础上实现这种发展,则是促进国家间友好关系的一个重要因素,
“Recognizing further that secured transactions law reform could not be effectively implemented without the establishment of an efficient, publicly accessible security rights registry where information about the potential existence of a security right in movable assets may be registered, and that States urgently need guidance with respect to the establishment and operation of such registries,“又认识到不建立高效的可供公众查询的担保权登记处,以登记可能存在的动产担保权的相关信息,担保交易法改革便无法有效实施,各国迫切需要在这类登记处的设立和运作方面得到指导,
“Expressing its appreciation to international intergovernmental and non-governmental organizations active in the field of secured transactions law reform for their participation in and support for the development of the draft Model Law,“表示感谢在担保交易法改革领域开展活动的国际政府间组织和非政府组织参与和支持拟订示范法草案,
“Having considered the draft Model Law at its forty-ninth session, in 2016,“已在委员会2016年第四十九届会议上审议示范法草案,
“Drawing attention to the fact that the text of the draft Model Law was circulated for comment before the forty-ninth session of the Commission to all Governments invited to attend sessions of the Commission and the Working Group as members and observers and that the comments received were before the Commission at its forty-ninth session,“提请注意示范法草案的案文已在委员会第四十九届会议之前分发给所有作为成员和观察员应邀出席委员会和工作组届会的政府征求意见,收到的意见已提交委员会第四十九届会议,
“Considering that the draft Model Law has received sufficient consideration and has reached the level of maturity for it to be generally acceptable to States,“认为示范法草案已得到充分审议,并已达到可为各国广泛接受的成熟度,
“1.
Adopts the UNCITRAL Model Law on Secured Transactions, consisting of the text contained in documents A/CN.9/884 and addenda 1-4, with amendments adopted by the Commission at its forty-ninth session, and authorizes the Secretariat to edit and finalize the text of the UNCITRAL Model Law on Secured Transactions pursuant to the deliberations of the Commission at that session;“1. 通过《贸易法委员会担保交易示范法》,其案文由载于A/CN.9/884及增编1-4号文件并经委员会第四十九届会议修订的案文组成,同时授权秘书处根据委员会本届会议审议情况编辑《贸易法委员会担保交易示范法》定本;
“2. Requests the Secretary-General to publish the UNCITRAL Model Law on Secured Transactions, including electronically and in the six official languages of the United Nations, and to disseminate it broadly to Governments and other interested bodies;“2. 请秘书长发布《贸易法委员会担保交易示范法》,包括以电子方式、用联合国六种正式语文发布,并向各国政府及其他有关机构广泛传播;
“3. Recommends that all States give favourable consideration to the UNCITRAL Model Law on Secured Transactions when revising or adopting legislation relevant to secured transactions, and invites States that have used the Model Law to advise the Commission accordingly;“3. 建议各国在修订或通过与担保交易有关的立法时积极考虑《贸易法委员会担保交易示范法》,并请已使用《示范法》的国家向委员会通报相关事宜;
“4. Also recommends that, where necessary, States continue giving favourable consideration to the UNCITRAL Guide on the Implementation of a Security Rights Registry when revising relevant legislation, administrative regulations or guidelines, and to the UNCITRAL Legislative Guide on Secured Transactions and the Supplement on Security Rights in Intellectual Property when revising or adopting legislation relevant to secured transactions, and invites States that have used the guides to advise the Commission accordingly;“4. 还建议各国在修订相关立法、行政条例或准则时视需要继续积极考虑《贸易法委员会担保权登记处落实指南》,并在修订或通过与担保交易有关的立法时积极考虑《贸易法委员会担保交易立法指南》和《知识产权担保权补编》,同时请已使用这两份指南的国家向委员会通报相关事宜;
“5. Also recommends that all States continue to consider becoming parties to the United Nations Convention on the Assignment of Receivables in International Trade, the principles of which are also reflected in the UNCITRAL Model Law on Secured Transactions, and the optional annex of which refers to the registration of notices with regard to assignments.”“5. 还建议所有国家继续考虑成为《联合国国际贸易应收款转让公约》的缔约国,该《公约》的原则也反映在《贸易法委员会担保交易示范法》中,该《公约》的备选附件提到转让通知的登记。
B. Consideration of the draft Guide to Enactment of the draft Model Law on Secured TransactionsB. 审议担保交易示范法草案的颁布指南草案
120. The Commission recalled that, at its forty-eighth session, in 2015, it had agreed that the draft Guide to Enactment should be prepared and referred that task to the Working Group.120. 委员会回顾,委员会2015年第四十八届会议商定应当拟订颁布指南草案,并将该项工作交给工作组。
The Commission noted that the Working Group, at its twenty-eighth session, had noted that, in order to complete the draft Guide to Enactment, it might need an additional one or two sessions, and, at its twenty-ninth session, decided to request the Commission one or two sessions for that purpose (A/CN.9/865, para. 104, and A/CN.9/871, para. 91, respectively).委员会注意到,工作组第二十八届会议称,为了完成颁布指南草案,工作组可能需要增加一届或两届会议,工作组第二十九届会议决定请委员会为此目的增加一届或两届会议(分别为A/CN.9/865,第104段,A/CN.9/871,第91段)。
121. At its current session, the Commission had before it the draft Guide to Enactment (A/CN.9/885 and addenda 1-4).121. 委员会本届会议收到了颁布指南草案(A/CN.9/885及增编1-4)。
The Commission noted that the draft Guide to Enactment provided background and explanatory information that could assist States in considering the Model Law for adoption.委员会注意到,颁布指南草案提供了可协助各国审议《示范法》以便加以通过的背景资料和解释性资料。
In addition, the Commission noted with appreciation that the draft Guide to Enactment was already at an advanced stage.此外,委员会赞赏地注意到,颁布指南草案已经进入全面展开的阶段。
Moreover, the Commission noted that a number of issues were referred to the draft Guide to Enactment even at its current session, and thus the draft Guide to Enactment was an extremely important text for the implementation and interpretation of the Model Law.委员会还注意到,甚至本届会议上已参照颁布指南草案处理若干问题,由此看来,颁布指南草案是执行和解释《示范法》的一项极为重要的案文。
122. After discussion, the Commission agreed to give the Working Group up to two sessions to complete its work and submit the draft Guide to Enactment to the Commission for final consideration and adoption at its fiftieth session, in 2017.122. 经过讨后,委员会商定,拨给工作组最多两届会议,使其得以完成其工作并将颁布指南草案提交委员会2017年第五十届会议最后审议并通过。
In addition, the Commission agreed that, if the Working Group completed its work in less than two sessions, it should use any time remaining to discuss its future work in a session or in a colloquium to be organized by the Secretariat.此外,委员会商定,如果工作组不用两届会议即已完成其工作,则应使用任何余下时间举行一次届会或由秘书处组办一次专题讨论会讨论其今后工作。
Moreover, the Commission agreed that, subject to further discussion of the overall future work of the Commission (see chapter XV below), a colloquium to discuss future work on security interests should be held even if the Working Group used the full time of the two sessions to complete its work on the draft Guide to Enactment.委员会还商定,在进一步讨论委员会今后总体工作的前提下(见下文第十五章),即便工作组用了两届会议的全部时间来完成其拟订颁布指南草案的工作,仍应举行一次专题讨论会讨论今后在担保权益方面的工作。
123. Having mandated work on the draft Guide to Enactment, the Commission requested the Secretariat to reflect that decision in its publications programme and take any other measures to ensure future publication of any final text resulting from that work, including electronically and in the six official languages of the United Nations.123. 鉴于已授权开展拟订颁布指南草案的工作,委员会请秘书处在其出版物方案中反映该决定,并采取其他任何措施确保今后以联合国六种正式语文发布由此项工作产生的任何最后案文,包括以电子等方式发布。
C. Possible future work in the area of security interestsC. 今后在担保权益领域可能开展的工作
124. The Commission recalled that, at its forty-eighth session, in 2015, it had noted that, at its forty-third session, in 2010, it had placed on its future work programme the preparation of a contractual guide on secured transactions and a uniform law text on intellectual property licensing.124. 委员会回顾,其2015年第四十八届会议注意到,其2010年第四十三届会议已将拟订一部担保交易合同指南和一部有关知识产权许可的统一法案文纳入其今后工作的方案。
At the current session, the Commission decided that those matters should be retained on its future work programme and considered at a future session on the basis of notes to be prepared by the Secretariat, after a colloquium or expert group meeting, to be held within existing resources (see para. 122 above).委员会本届会议决定应当将这些事项保留在其今后的工作方案上,并且以拟由秘书处编拟的说明为基础而在拟利用现有资源举行的专题讨论会或专家组会议之后举行的一届会议上加以审议。
125.
In addition, the Commission decided that the following topics should also be placed on its future work programme and considered at a future session on the basis of notes to be prepared by the Secretariat, after a colloquium or expert group meeting, to be held within existing resources (see para. 122 above): (a) the question whether the Model Law and the draft Guide to Enactment might need to be expanded to address matters related to secured finance to micro, small and medium-sized enterprises (MSMEs); (b) the question whether any future work on a contractual guide on secured transactions should discuss contractual issues of concern to MSMEs (e.g. transparency issues); (c) any question that might not have already been addressed in the area of warehouse receipt financing (e.g. the negotiability of warehouse receipts); and (d) the question whether disputes arising from security agreements could be resolved through ADR mechanisms (see A/CN.9/871, paras. 83-86, and A.CN.9/885/Add.3, paras. 55 and 58;125. 此外,委员会决定,还应当将以下议题纳入其今后工作方案,并以拟由秘书处编拟的说明为基础,在拟利用现有资源举行专题讨论会或专家组会议之后举行的一届会议上审议以下问题(见上文第122段):(a)是否需要扩展《示范法》和颁布指南草案的范围,以处理向微型、小型和中型企业(中小微企业)提供担保融资的相关事项;(b)今后有关担保交易合同指南的任何工作是否应当讨论中小微企业所关切的问题(如透明度问题);(c)在仓储收据融资(例如仓储收据可转让性)领域可能尚未处理的任何问题;(d)担保协议所产生的争议是否可通过非诉讼争议解决机制加以解决(见A/CN.9/871,第83-86段;A/CN.9/ 885/Add.3,第55、58段;另见第96、97段)。
see also paras. 96 and 97 above).
D. Coordination and cooperationD. 协调与合作
126. The Commission noted with appreciation the efforts of the Secretariat in coordinating and cooperating with a number of organizations active in the area of security interests.126. 委员会赞赏地注意到秘书处努力同活跃在担保权益领域的若干组织开展协调与合作的情况。
It was noted that the Secretariat had provided comments on the World Bank Principles contained in the World Bank Insolvency and Creditor Rights Standard (the “Standard”) and was expecting to receive the comments of the World Bank on a revised draft of the Standard that contained the key recommendations of the Secured Transactions Guide.会上注意到,秘书处就世界银行《破产和债权人权利标准》(《标准》)所载《世界银行原则》发表了评述意见,并且预期将收到世界银行有关该《标准》修订草案的评述意见,其中将载有《担保交易指南》的主要建议。
In addition, it was noted that the Secretariat had provided suggestions to the European Commission with a view to ensuring a coordinated approach to the law applicable to the third-party effects of assignments of receivables, taking into account the approach followed in the Assignment Convention, the Secured Transactions Guide and the Model Law, and noted that the European Commission was to issue a proposal on that topic for consultation.此外,会上注意到秘书处向欧盟委员会提出建议,以期确保在顾及《转让公约》、《担保交易指南》和《示范法》所持做法情况下对应收款转让第三方效力适用法律采取协调做法议,并且注意到欧盟委员会将发布有关该议题的一份提议以供协商。
Moreover, the Commission noted that Unidroit had referred to an inter-governmental meeting the draft fourth protocol to the Convention on International Interests in Mobile Equipment on matters specific to agricultural, construction and mining equipment, and requested the Secretariat to attend that meeting with a view to ensuring the avoidance of duplication of efforts that could lead to overlap and conflict with the Commission’s work on security interests.另外,委员会注意到国际统一私法协会(统法协会)将《国际移动设备权益公约》关于农业、建筑和采矿设备特定事项的四议定书草案交由一个政府间会议处理,并请秘书处出席该会议以确保避免重复努力,造成与委员会的担保权益工作重叠和冲突。
The Commission also noted with appreciation the Secretariat’s coordination efforts with the World Bank Group, the Organization of American States (OAS) and the Asian Pacific Economic Cooperation (APEC) in providing technical assistance and assistance with respect to local capacity-building in the area of security interests.委员会还赞赏地注意到秘书处与世界银行集团、美洲国家组织和亚太经济合作组织进行协调,提供技术援助并在担保权益领域本国能力建设方面提供援助。
127. After discussion, the Commission renewed the mandate given to the Secretariat to continue with those coordination and cooperation efforts.127. 经讨论后,委员会延长了赋予秘书处继续开展这类协调与合作努力的任务授权。
It was widely felt that cooperation should continue and expand, focusing on technical assistance and training activities, including with respect to security rights registries.会上广泛认为,应当继续开展并扩展侧重于包括在担保权登记处方面提供技术援助和培训活动的合作。
It was also generally agreed that the joint publication UNCITRAL, Hague Conference and Unidroit Texts on Security Interests should be updated to include texts adopted by those and other organizations on security interests after the publication was issued.会上还普遍认为,应当增订《贸易法委员会、海牙会议和统法协会担保权益案文》这一联合出版物,增列该出版物印发后由这些组织以及担保权益方面的其他组织通过的案文。
It was further agreed that consideration should be given to including in the publication to be updated references to the Model Inter-American Law on Secured Transactions and, if possible, other regional texts on security interests.会上进一步商定,应当考虑在拟增订的出版物中提及《美洲国家担保交易示范法》并视可能提及有关担保权益的其他区域文本。
128. Having mandated work on the joint publication on security interests, the Commission requested the Secretariat to reflect that decision in its publications programme and take any other measures to ensure future publication of any final text resulting from that work, including electronically and in the six official languages of the United Nations.128. 鉴于授权开展有关担保权益联合出版物的工作,委员会请秘书处在其有关出版物方案中反映该项决定,并采取其他任何措施确保今后以联合国六种正式语文发布由此项工作产生的任何最后案文,包括以电子等方式发布。
IV. Consideration of issues in the area of arbitration and conciliation四. 审议仲裁和调解领域的问题
A. Finalization and adoption of the revised UNCITRAL Notes on Organizing Arbitral ProceedingsA. 最后审定并通过《贸易法委员会关于安排仲裁程序的说明》
1. Introduction1. 导言
129. The Commission recalled its decision at the forty-sixth session, in 2013, that Working Group II (Arbitration and Conciliation) should undertake work on the revision of the UNCITRAL Notes on Organizing Arbitral Proceedings (referred to as the “Notes”).129. 委员会回顾其2013年第四十六届会议上作出的决定,即第二工作组(仲裁和调解)应当就《贸易法委员会关于安排仲裁程序的说明》(以下称《说明》)开展工作。
The Commission further recalled that, at its forty-seventh session, in 2014, it had agreed that the Working Group should commence work on the revision of the Notes and, in so doing, should focus on matters of substance, leaving drafting to the Secretariat.委员会进一步回顾,委员会在2014年第四十七届会议上商定,工作组应当着手进行《说明》的修订工作,为此应当侧重于实质事项,具体起草问题交给秘书处处理。
130. The Commission recalled that at its forty-eighth session, in 2015, the Commission had before it the draft version of the Notes (contained in document A/CN.9/844), as it resulted from the work of the Working Group at its sixty-first (Vienna, 15-19 September 2014) and sixty-second (New York, 2-6 February 2015) sessions.130. 委员会回顾,委员会在2015年第四十八届会议上收到了工作组第六十一届会议(2014年9月15日至19日,维也纳)和第六十二届会议(2015年2月2日至6日,纽约)的工作所产生的《说明》修订草案(载于A/CN.9/844)。
At that session, the Commission had approved that draft version of the Notes in principle and requested the Secretariat to prepare an updated text in accordance with the deliberations and decisions at that session for finalization and adoption at the forty-ninth session, in 2016.在该届会议上,委员会原则上核准了《说明》修订草案,并请秘书处根据该届会议上的审议情况和决定增订案文,以便提交2016年第四十九届会议最后审订并通过。
The Commission had also agreed that the Secretariat could seek input from the Working Group on specific issues during its sixty-fourth session (New York, 1-5 February 2016).委员会还商定,秘书处可以在工作组第六十四届会议(2016年2月1日至5日,纽约)期间就具体问题征求工作组的意见。
131. At its current session, the Commission had before it the report of the Working Group on the work of its sixty-fourth session (A/CN.9/867), during which specific issues in the draft version of the Notes (contained in document A/CN.9/WG.II/WP.194) were considered.131. 本届会议上,委员会收到了工作组第六十四届会议的工作报告(A/CN.9/ 867),该届会议期间对《说明》修订草案(载于A/CN.9/WG.II/WP.194号文件)中的具体问题进行了审议。
The Commission had before it the text of the draft revised Notes as contained in document A/CN.9/879 (referred to below as the “draft revised Notes”), which reflected the deliberations of the Working Group at that session.委员会收到了载于A/CN.9/879号文件中的《说明》修订本草案案文(以下称“《说明》修订本草案”),这一案文反映了工作组该届会议的审议情况。
2. Consideration of the draft revised Notes2. 审议《说明》修订本草案
Title of the revised Notes《说明》修订本标题
132. The Commission agreed that the revised Notes should be titled the “2016 UNCITRAL Notes on Organizing Arbitral Proceedings” and also referred to as the second edition of the Notes.132. 委员会商定,《说明》修订本的标题应为2016年《贸易法委员会关于安排仲裁程序的说明》,也可称之为《说明》第二版。
Preface前言
133. The Commission approved the preface without any modification.133. 委员会未作修改核准了前言。
Introduction导言
134. The Commission agreed to replace the word “needs” by the words “will need” in the last sentence of paragraph 5 of the draft revised Notes to clarify that the arbitral tribunal could raise a matter when appropriate, without having to wait until the matter actually came up.134. 委员会商定,将《说明》修订本草案第5段最后一句中的“需要”一词改为“将需要”,以便明确,仲裁庭可以在适当时提出某一事项,而不必等到该事项实际出现。
With respect to the last sentence of paragraph 8 of the draft revised Notes, a suggestion to include a reference to the legal tradition at the place of arbitration when choosing a set of arbitration rules for reference purposes did not receive support.关于《说明》修订本草案第8段最后一句,会上提议在为参照目的而选择一套仲裁规则时提及仲裁地的法律传统,但这一提议未获支持。
Subject to the modification in paragraph 5 of the draft revised Notes, the Commission approved the introduction.在对《说明》修订本草案第5段作出修改的前提下,委员会核准了导言。
附加说明
Annotations 135. The Commission approved draft revised Notes 1, 4, 6, 7, 10, 12, 15, 16, 18 and 20 without any modification.135. 委员会未作修改核准了《说明》修订本草案中的“说明”1、4、6、7、10、12、15、16、18、20。
Note 2 (Language or languages of the arbitral proceedings)“说明”2(仲裁程序所使用的一种或数种语言)
136. With respect to the second sentence in paragraph 25 of the draft revised Notes, it was agreed that the words “any of the” should replace the words “that” before the words “multiple languages” to avoid giving the impression that all languages must be used during the arbitral proceedings.136. 关于《说明》修订本草案第25段第二句,会议商定,“多数语言”后面应当加上“中的任何一种语言”,以避免造成必须在仲裁程序期间使用所有这些语言的印象。
Subject to that modification, the Commission approved draft revised Note 2.在作出这一修改的前提下,委员会核准了“说明”2的修订草案。
Note 3 (Place of arbitration)“说明”3(仲裁地)
137. With respect to paragraph 29 of the draft revised Notes, the Commission agreed that the words “the nature and frequency of” in subparagraph (ii) should be deleted.137. 关于《说明》修订本草案第29段,委员会商定,删除第㈡项中“的性质和频度”字样。
Subject to that modification, the Commission approved draft revised Note 3.在作出这一修改的前提下,委员会核准了“说明”3的修订草案。
Note 5 (Costs of arbitration)“说明”5(仲裁费用)
138. The Commission noted that paragraph 40 had been included in the draft revised Notes following deliberations of the Working Group at its sixty-fourth session to indicate that in-house costs might also be an item of the arbitration costs.138. 委员会注意到,第40段是根据工作组第六十四届会议的审议情况列入《说明》修订本草案的,以表明内部费用也有可能成为一项仲裁费用。
It was noted that a reference to in-house costs was important as the draft revised Notes should not mistakenly imply that only the legal fees of external counsel would be recoverable.会上指出,对内部费用的提及很重要,因为《说明》修订草案不应错误地暗示只有外聘顾问的法律费用才是可收回的。
It was further noted that the treatment of in-house costs as part of arbitration costs was controversial and thereby paragraph 40 simply aimed at presenting the different approaches.进一步指出,将内部费用作为仲裁费用的一部分处理是有争议的,因此,第40段只是为了介绍各种不同的做法。
139. It was widely felt that paragraphs 40 and 41 appropriately addressed the relevant issues in a balanced manner, and contained references to possible criteria used by tribunals in awarding in-house costs.139. 会上普遍认为,第40和41段适当述及了相关问题,并无偏颇之处,而且还提到仲裁庭判给内部费用所采用的可能标准。
However, a number of suggestions were made in relation to paragraph 40.不过,对第40段提出了一些建议。
140. It was suggested to delete references to “management and other costs” and “managing directors, experts and other staff members”, as they indicated too wide and uncertain a category of costs and such costs should not be recoverable.140. 会上提议删除对“管理费用及其他费用”以及“常务董事、专家和其他工作人员”的提及,因为其所表明的费用种类过宽、不确定,因此此等费用不应是可收回的。
In this regard, it was argued that paragraph 40 should be limited to costs relating to legal representation.为此提出,第40段应当限于与法律代理费用相关的费用。
That suggestion did not receive support on the ground that there was no basis on which to limit recoverable costs to legal representation.这项建议未获支持,理由是,将可收回费用限于法律代理费用没有根据。
141. A suggestion was made to highlight in paragraph 40 that “parties” included States and government agencies.141. 会上提议应在第40段中强调,“当事人”包括国家和政府机构。
It was explained that costs relating to internal counsel or representatives of States and government agencies in investor-State arbitration were usually not referred to as “in-house costs”.解释说,在投资人与国家间仲裁中,与国家和政府机构的内部顾问或代表有关的费用通常不称作“内部费用”。
However, it was agreed that the suggested clarification was not necessary as the draft revised Notes adopted a generic approach and such distinction with regard to the parties were not made in other parts of the draft revised Notes.但是,会上一致认为,所提议的澄清并无必要,因为《说明》修订本草案采取的是一种通用办法,而且《说明》修订本草案其他部分也没有对当事人作此区分。
142. A suggestion was made that paragraph 40 should provide that some arbitral tribunals had awarded internal legal costs where a party had prepared its defence mainly through use of its own in-house counsel.142. 会上提议,第40段应当规定,如果当事人主要是通过自己的内部顾问准备抗辩,有些仲裁庭判给内部法律费用。
That suggestion did not receive support as the last sentence of paragraph 40 sufficiently addressed that matter.这项建议未获支持,因为第40段最后一句已经充分述及这一事项。
Another suggestion to clearly define “in-house costs” and to make a clear distinction with other costs also did not receive support.另一项建议是明确界定“内部费用”并与其他费用作明确区分,但未获支持。
143. With respect to a further suggestion that the draft revised Notes should distinguish investment arbitration and deal with issues arising from such arbitration in a separate manner, the Commission recalled its decision that the Notes should keep their generic nature and that specific aspects of investment arbitration should only be dealt with separately with respect to transparency as presented in draft revised Note 6.143. 会上还提出《说明》修订本草案应当区分投资仲裁并以单独方式处理此种仲裁产生的问题,对于这一提议,委员会回顾了其下述决定:《说明》应当保持其通用性质,对于投资仲裁中的特定问题,只应在涉及“说明”6修订草案所提出的透明度问题时单独加以处理。
144. A suggestion was made to provide that when assessing the reasonableness of in-house costs, consideration should be given to the costs that would have been incurred had such services been provided by an external service provider, and that the amount recoverable should be limited thereto.144. 一项提议是,规定应当在评价内部费用合理性时考虑到假如由外部服务提供人提供此种服务而可能产生的费用,并将可收回的费用数额限于此种费用。
That suggestion did not receive support.这项建议未获支持。
145. After discussion, it was agreed that the first sentence of paragraph 40 should be revised to refer to legal representation generally.145. 经过讨论,会议商定,修订第40段第一句,一般提及法律代理。
The Commission further agreed that draft revised Note 5 should highlight the importance of controlling costs as well as the need to preserve the cost-effectiveness of the arbitration process, possibly in paragraph 47.委员会进一步商定,可能的话,“说明”5修订草案可在第47段中着重说明控制费用的重要性以及保持仲裁过程成本效益的必要性。
146. With respect to paragraph 49 of the draft revised Notes, a suggestion to indicate that it would be more appropriate for decisions on costs to be made simultaneously with the final award did not receive support.146. 关于《说明》修订本草案第49段,会上提出应表明这样一点,即更为妥当的做法是与最后裁决同时作出关于费用的决定,但这项建议未获支持。
147. Subject to the modifications in paragraph 145 above, the Commission approved draft revised Note 5.147. 在作出上文第145段提修改的前提下,委员会核准了“说明”5的修订草案。
Note 8 (Interim measures)“说明”8(临时措施)
148. In response to a question raised in connection with draft revised Note 8, it was confirmed that issues pertaining to emergency arbitrator were not dealt with despite their increasing significance, because those issues arose prior to the commencement of the arbitral proceedings and thus were outside the scope of the Notes.148. 关于就“说明”8修订草案提出的一个问题,会上确认,虽然与应急仲裁员有关的问题越来越重要,但由于这些问题是在仲裁程序启动之前产生的,因此不在《说明》范围之内,这一问题不作处理。
149. The Commission agreed that the order of paragraphs 61 and 62 should be reversed, as paragraphs 60 and 62 dealt with interim measures in a general fashion while paragraph 61 dealt with ex parte interim measures.149. 委员会商定,第61和62段应当颠倒顺序,因为第60和62段都是以一般方式述及临时措施,而第61段则述及单方面临时措施。
Subject to that modification, the Commission approved draft revised Note 8.在作出这一修改的前提下,委员会核准了“说明”8的修订草案。
Note 9 (Written submissions, witness statements, expert reports and documentary evidence (“submissions”))“说明”9(书面材料、书面陈述、专家报告和书面证据(“提交材料”))
150. The Commission agreed that reference to the word “pleadings” should be avoided as that word was understood differently in various jurisdictions.150. 委员会商定,应当避免对“诉辩状”(“pleadings”)一词的提及,因为该词在不同法域会有不同理解。
Subject to that modification, the Commission approved draft revised Note 9.在作出这一修改的前提下,委员会核准了“说明”9的修订草案。
Note 11 (Points at issue and relief or remedy sought)“说明”11(争议点以及所寻求的救济或补偿)
151. The Commission agreed that the words “to ensure the enforceability of the arbitral award”, in paragraph 71, should be replaced by the words “to ensure the enforceability of any arbitral award that might grant such relief or remedy”.151. 委员会商定,第71段中的“确保仲裁裁决的执行”应改为“确保任何可能准予此种救济或补偿的仲裁裁决的执行”。
Subject to that modification, the Commission approved draft revised Note 11.在作出这一修改的前提下,委员会核准了“说明”11的修订草案。
Note 13 (Documentary evidence)“说明”13(书面证据)
152. The Commission agreed that wording along the following lines should be added at the end of the first sentence of paragraph 77 of the draft revised Notes: “and often as well, a statement as to why the requested documents are believed to be in the possession of the other party and are not otherwise available to the requesting party.”152. 在《说明》修订本草案第77段第一句结尾加入下述案文:“通常还载入一项声明,指出为何认为所请求的文件在另一方当事人的掌控之中,且请求方无法以其他方式获得该文件。
With respect to the last sentence of paragraph 78, the Commission agreed that the words “, if necessary, may” should be replaced by the words “will often”.”关于第78段最后一句,委员会商定,“必要时,仲裁庭可以”应改为“仲裁庭通常将”。
Subject to those modifications, the Commission approved draft revised Note 13.在作出这些修改的前提下,委员会核准了“说明”13的修订草案。
Note 14 (Witnesses of fact)“说明”14(事实证人)
153. With respect to paragraph 92 of the draft revised Notes, a suggestion to delete the second sentence did not receive support.153. 关于《说明》修订本草案第92段,会上提出删除第二句,但未获支持。
However, it was agreed that the words “securing the attendance of” could be replaced by the word “inviting”.不过,会议商定,“争取……出席”可以改为“邀请”。
The Commission also agreed that paragraphs 91 and 92 would be better placed in draft revised Note 17, possibly with paragraph 125.委员会还商定,第91和92段放在“说明”17的修订草案中更妥,可能的话与第125段放在一起。
Subject to those modifications, the Commission approved draft revised Note 14.在作出这些修改的前提下,委员会核准了“说明”14的修订草案。
Note 17 (Hearings)“说明”17(听讯)
154. With respect to paragraph 125, a suggestion was made that the order of the fourth and fifth sentences should be reversed as a decision by the tribunal not to hear a witness would mean that the tribunal had indeed given weight to the witness statement.154. 关于第125段,会上提出,第四句和第五句的顺序应当颠倒,因为仲裁庭作出不听讯某一证人的决定,意味着仲裁庭的确对证人陈述给予了权重。
That suggestion did not receive support.这项建议未获支持。
155. With respect to the fourth sentence of paragraph 125, the Commission agreed that the words “while this may raise concerns about the requesting party’s opportunity to present its case” should be replaced by the words “if the arbitral tribunal deems the proposed testimony, for example, immaterial or purely cumulative, having regard to the requesting party’s reasonable opportunity to present to its case.”155. 关于第125段第四句,委员会商定,“不过这样做有可能引起对请求方陈述案情的机会的关切”应改为“如果仲裁庭认为所提议的作证等无实质内容或者纯属堆砌,同时考虑到了请求方有合理的机会陈述其案情。
It was further agreed that this should not only apply to cross-examination but also to direct examination.”会上进一步商定,这不但应适用于质证,还应适用于直接讯问。
Subject to that modification, the Commission approved draft revised Note 17.在作出这一修改的前提下,委员会核准了“说明”17的修订草案。
Note 19 (Joinder and consolidation)“说明”19(并入和合并)
156. With respect to paragraph 140 of the draft revised Notes, it was agreed that the fourth sentence could be expanded to refer to the relevance of the new party to be joined as well as to the negative impact that joinder could have on the proceedings including possible delays.156. 关于《说明》修订本草案第140段,会议商定,第四句可以扩展,提及拟并入程序的新的一方当事人的相关性,以及此种并入可能对程序产生的不利影响,包括可能的延误。
Subject to that modification, the Commission approved draft revised Note 19.在作出这一修改的前提下,委员会核准了“说明”19的修订草案。
3. Approval of the draft revised Notes3. 核准《说明》修订草案
157. Upon completion of its deliberation, the Commission approved the draft revised Notes and requested the Secretariat to prepare a final version in accordance with the deliberations and decisions (see section 2 above).157. 在完成审议之后,委员会核准了《说明》修订本草案,并请秘书处根据审议情况和决定(见上文第2节)拟订定本。
158. At its 1037th meeting on 7 July, the Commission adopted the following decision:158. 在7月7日第1037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,
“Recalling General Assembly resolution 2205 (XXI) of 17 December 1966, which established the United Nations Commission on International Trade Law with a mandate 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, 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)号决议设立联合国国际贸易法委员会,其任务授权是促进国际贸易法之逐渐协调与统一,并在这方面念及所有人民,尤其是发展中国家人民在国际贸易广泛发展中的利益,
“Reaffirming the value and increased use of arbitration as a method of settling disputes,“重申仲裁作为一种争议解决方法所具有的价值和愈益增加的用途,
“Recognizing the need for revising the UNCITRAL Notes on Organizing Arbitral Proceedings, initially adopted in 1996, to conform to current arbitral practices,“认识到有必要修订1996年通过的《贸易法委员会关于安排仲裁程序的说明》,以符合当前仲裁做法,
“Noting that the purpose of the UNCITRAL Notes on Organizing Arbitral Proceedings is to list and briefly describe matters relevant to the organization of arbitral proceedings and that the Notes, prepared with a focus on international arbitration, are intended to be used in a general and universal manner, regardless whether the arbitration is administered by an arbitral institution,“注意到《贸易法委员会关于安排仲裁程序的说明》的目的是列出并简要说明与仲裁程序有关的事项,以国际仲裁为侧重点编写的《说明》意在以一般和普遍方式加以使用,而不论是否由仲裁机构主持仲裁,
“Noting that the UNCITRAL Notes on Organizing Arbitral Proceedings do not seek to promote any practice as best practice given that procedural styles and practices in arbitration do vary and that each of them has its own merit,“注意到《贸易法委员会关于安排仲裁程序的说明》并不寻求提倡以任何做法作为最佳做法,因为仲裁的程序风格和做法确实各不相同且各有所长,
“Noting further that the revision of the UNCITRAL Notes on Organizing Arbitral Proceedings benefited greatly from consultations with Governments, interested intergovernmental and international non-governmental organizations active in the field of arbitration, including arbitral institutions, as well as individual experts,“进一步注意到对《贸易法委员会关于安排仲裁程序的说明》的修订极大受益于与各国政府以及活跃于仲裁领域的相关政府间组织和国际非政府组织的协商,其中包括仲裁机构以及个人专家,
“1. Adopts the 2016 UNCITRAL Notes on Organizing Arbitral Proceedings consisting of the text contained in document A/CN.9/879, with amendments adopted by the Commission at its forty-ninth session, and authorizes the Secretariat to edit and finalize the text of the Notes pursuant to the deliberations of the Commission at that session;“1. 通过2016年《贸易法委员会关于安排仲裁程序的说明》,其案文由A/CN.9/879号文件所载案文以及委员会第四十九届会议通过的修正意见组成,同时授权秘书处根据委员会该届会议审议情况编辑并拟订《说明》定本案文;
“2. Recommends the use of the Notes including by parties to arbitration, arbitral tribunals, arbitral institutions as well as for academic and training purposes with respect to international commercial dispute settlement;“2. 建议包括由仲裁当事人、仲裁庭和仲裁机构在国际商事争议解决方面并为学术和培训目的而使用《说明》;
“3. Requests the Secretary-General to publish the 2016 UNCITRAL Notes on Organizing Arbitral Proceedings, including electronically, and in the six official languages of the United Nations, and to make all efforts to ensure that the Notes become generally known and available.”“3. 请秘书长以联合国所有正式语文发布2016年《贸易法委员会关于安排仲裁程序的说明》,包括以电子方式发布,并尽一切努力确保《说明》广为人知并可普遍获取。
4. Promotion of the 2016 UNCITRAL Notes on Organizing Arbitral Proceedings4. 推广2016年《贸易法委员会关于安排仲裁程序的说明》
159. The Commission had before it a proposal by ASA with the aim of cooperating with UNCITRAL in promoting the 2016 UNCITRAL Notes on Organizing Arbitral Proceedings through the development of an online arbitration toolbox (referred to below as the “Toolbox”) for users of arbitration (A/CN.9/893).159. 委员会收到了瑞士仲裁协会的建议,该建议的目的是与贸易法委员会合作,通过为仲裁使用者开发一个仲裁网上工具箱(下称“工具箱”),推广2016年《贸易法委员会关于安排仲裁程序的说明》(A/CN.9/893)。
The Commission heard an oral presentation by the president of ASA providing a brief introduction of the Toolbox, which addressed practical issues in commercial arbitration, highlighting the flexible nature of the arbitration proceeding and taking into account the diverse approaches.委员会听取了瑞士仲裁协会会长的口头介绍,对涉及商事仲裁中实际问题的工具箱作了简要介绍,着重说明了仲裁程序的灵活性,并考虑到各种各样的做法。
It was stated that the Toolbox could provide a useful platform for training purposes, which could support the technical assistance and capacity-building activities of UNCITRAL.会上指出,工具箱可为培训提供有益的平台,从而能够为贸易法委员会的技术援助和能力建设活动提供支持。
It was explained that the Toolbox project would be funded entirely by ASA requiring no allocation of resources of UNCITRAL and that the Toolbox would not aim at revisiting issues in the 2016 UNCITRAL Notes on Organizing Arbitral Proceedings but rather complement them.解释说,工具箱项目将完全由瑞士仲裁协会出资,不需要贸易法委员会拨付资源,工具箱的目的不是重提2016年《贸易法委员会关于安排仲裁程序的说明》中的问题,而是与该《说明》互为补充。
While it was mentioned that a possible form of cooperation could be establishing a joint website presenting the Toolbox, it was clarified that at this stage, ASA would not be seeking the Commission’s endorsement of the contents of the Toolbox, which was still being prepared.会上提到,可能的合作形式可以是建立一个介绍该工具箱的联合网站,但澄清说,现阶段瑞士仲裁协会并不寻求委员会赞同工具箱的内容,工具箱的内容仍在编写当中。
In concluding, the president of ASA sought the Commission’s preliminary support for the project and suggested that the Secretariat be given the mandate to seek possible cooperation on the Toolbox project.最后,瑞士仲裁协会会长寻求委员会对该项目给予初步支持,并建议授权秘书处就工具箱项目探讨可能的合作。
160. After discussion, the Commission expressed its appreciation to ASA for its efforts in preparing a very timely and useful tool, which would be available free of charge, for promotion of the 2016 UNCITRAL Notes on Organizing Arbitral Proceedings and arbitration in general.160. 经过讨论,委员会表示赞赏瑞士仲裁协会努力编写一个非常及时而有用的工具,用于推广2016年《贸易法委员会关于安排仲裁程序的说明》,全面促进仲裁,而且该工具将免费提供。
The Secretariat was requested to seek cooperation with ASA, and to report to the Commission, at its next session, on the concrete form of such cooperation, including the possible reliance on outside experts.委员会请秘书处寻求与瑞士仲裁协会开展合作,并向委员会下届会议报告此种合作的具体形式,包括可能依赖外部专家。
It was agreed that, if the Commission were eventually requested to endorse the Toolbox, its content would have to be considered by the Commission.会议商定,如果最终请委员会赞同该工具箱,其内容必须由委员会审议。
161. In the course of the deliberation, a general view was expressed that caution should be exercised in choosing organizations with which the Commission or the Secretariat would seek cooperation, and that, in that respect, objective criteria might need to be established.161. 在议过程中表达的一般意见是,委员会或秘书处选择与之合作的组织务必谨慎,为此可能需要确立客观标准。
The vigilance of the Secretariat in making rigorous selections aimed at preserving neutrality and encompassing as many organizations as possible was acknowledged.对于秘书处审慎行事,严格挑选以保持中立性并涵盖尽可能多的组织,会议给予肯定。
B. Progress report of Working Group IIB. 第二工作组进度报告
162. The Commission recalled that, at its forty-seventh session, in 2014, it had agreed that the Working Group should consider at its sixty-second session the issue of enforcement of international settlement agreements resulting from conciliation proceedings and should report to the Commission on the feasibility and possible form of work in that area.162. 委员会回顾,委员会在其2014年第四十七届会议上商定,工作组应在其第六十二届会议上审议调解程序所产生的国际和解协议的执行问题,并应就这一领域工作的可行性和可能形式向委员会提出报告。
At that session, the Commission had also invited delegations to provide information to the Secretariat in respect of that subject matter.在该届会议上,委员会还请各代表团向秘书处提供关于这一主题事项的信息。
163. The Commission also recalled that at its forty-eighth session, in 2015, it had before it a compilation of responses received by the Secretariat (A/CN.9/846 and addenda).163. 委员会还回顾,委员会2015年第四十八届会议收到了秘书处收到的答复汇编(A/CN.9/846及增编)。
At that session, it had agreed that the Working Group should commence work at its sixty-third session on the topic of enforcement of settlement agreements to identify relevant issues and develop possible solutions, including the preparation of a convention, model provisions or guidance texts.委员会在该届会议上商定,工作组应当在其第六十三届会议上启动关于和解协议执行问题的工作,以确定相关问题并提出可能的解决办法,包括拟订一项公约、示范条文或指导意见案文。
The Commission had also agreed that the mandate of the Working Group with respect to that topic should be broad to take into account the various approaches and concerns.委员会还商定,工作组关于这一主题的任务授权应当是广泛的,以考虑到各种不同做法和关切。
164. At the current session, the Commission considered the reports of the Working Group on the work of its sixty-third session (A/CN.9/861), held in Vienna from 7 to 11 September 2015, and sixty-fourth session (A/CN.9/867), held in New York from 1 to 5 February 2016.164. 在本届会议上,委员会审议了工作组2015年9月7日至11日在维也纳举行的第六十三届会议的工作报告(A/CN.9/861)和2016年2月1日至5日在纽约举行的第六十四届会议的工作报告(A/CN.9/867)。
The Commission was informed that the Working Group, at its sixty-fourth session, requested the Secretariat to prepare a document outlining the issues considered at the session and setting out draft provisions without prejudice to the final form of the instrument, grouping provisions into broad categories (A/CN.9/867, para. 15).委员会获悉,工作组在第六十四届会议上请秘书处编写一份文件,概述该届会议所审议的各种问题,并在不影响文书最后形式的情况下载明条文草案,对条文作大致分类(A/CN.9/ 867,第15段)。
165. After discussion, the Commission commended the Working Group for its work on the preparation of an instrument dealing with enforcement of international commercial settlement agreements resulting from conciliation and confirmed that the Working Group should continue its work on the topic.165. 讨论之后,委员会对工作组为拟订一部涉及调解所产生国际商事和解协议的执行的文书所作的工作表示赞许,委员会确认,工作组应当继续进行关于这一主题的工作。
Having reaffirmed the mandate, the Commission requested the Secretariat to reflect that decision in its publications programme and take any other measures to ensure future publication of any final text resulting from that work, including electronically and in the six official languages of the United Nations.委员会重申了对工作组的任务授权,请秘书处在其出版物方案中反映该项决定,并采取任何其他措施确保今后使用电子等方式并以联合国六种正式语文公布由这项工作所产生的任何最后案文。
C. Establishment and functioning of the transparency repositoryC. 透明度存储处的设立和运作
166. The Commission recalled that, under article 8 of the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration (the “Transparency Rules” or “Rules”), the repository of published information under the Rules (the “transparency repository”) had to be established.166. 委员会回顾,根据《贸易法委员会投资人与国家间基于条约仲裁透明度规则》(《透明度规则》或《规则》)第8条,必须设立《规则》下已公布信息存储处(“透明度存储处”)。
167. The Commission further recalled that, at its forty-sixth session, in 2013, it expressed its strong and unanimous opinion that the Secretariat should fulfil the role of the transparency repository.167. 委员会还回顾,委员会2013年第四十六届会议对由秘书处履行透明度存储处职责表示了强烈、一致意见。
The Commission also recalled that, at its forty-seventh session, in 2014, the Secretariat had reported on steps taken in respect of the repository function to be performed, including the preparation of a dedicated web page (www.uncitral.org/transparency-registry).委员会还回顾,在2014年第四十七届会议上,秘书处报告了就拟履行的存储处职能采取的步骤,包括制作一个专门网页(www.uncitral.org/transparency-registry)。
168. The Commission further recalled that, at its forty-eighth session, in 2015, it had reiterated its strong and unanimous opinion that the secretariat of the Commission should fulfil the role of the transparency repository and that it should establish and operate the transparency repository, initially as a pilot project.168. 委员会还回顾,委员会2015年第四十八届会议重申其强烈、一致意见,即委员会秘书处应当履行透明度存储处职能,并且应当设立和运作透明度存储处,最初作为一个试点项目。
The General Assembly, in its resolution 70/115 of 14 December 2015, noted with approval “the view of the Commission that the repository of published information under the Rules on Transparency in Treaty-based Investor-State Arbitration should be fully operational as soon as possible, as the repository constituted a central feature both of the Rules on Transparency and of the United Nations Convention on Transparency in Treaty-based Investor-State Arbitration (Mauritius Convention on Transparency) by providing a consolidated, transparent and easily accessible global case record database for all investor-State arbitrations conducted pursuant to the Rules on Transparency and the Convention.大会2015年12月14日第70/115号决议赞许地注意到,“委员会的意见是,根据《投资人与国家间基于条约仲裁透明度规则》设立的已发布信息存储处应当尽快充分投入运作,因为存储处构成《透明度规则》和《联合国投资人与国家间基于条约仲裁透明度公约》(《毛里求斯透明度公约》)的核心特征,为按照《透明度规则》和《公约》进行的所有投资人与国家间仲裁提供了一个综合、透明和便于使用的全球案例记录数据库”。
In this regard, the General Assembly “requested the Secretary-General to establish and operate through the secretariat of the Commission the repository of published information under the Rules on Transparency, in accordance with article 8 of the Rules, initially as a pilot project until the end of 2016, to be funded entirely by voluntary contributions”.为此,大会请“秘书长根据《透明度规则》第8条的规定通过委员会秘书处设立并运行《透明度规则》所要求的已发布信息存储处,最初作为一个完全由自愿捐款供资的试点项目运行到2016年底”。
169. With respect to the budget situation, the Commission was informed that in early 2016, the Secretariat had received a grant from the Fund for International Development (OFID) of the Organization of the Petroleum Exporting Countries (OPEC) in the amount of 125,000 USD and funding by the European Union in the amount of 100,000 Euro, which allowed the secretariat of the Commission to operate the project on a temporary basis until end of 2016 and beyond.169. 关于预算情况,委员会获悉,秘书处于2016年初收到石油输出国组织(欧佩克)国际发展基金赠款125,000美元,欧洲联盟资助100,000欧元,这使得委员会秘书处能够暂时运作该项目,直至2016年底及以后。
The Commission expressed its appreciation to both the European Union and OFID for their contributions.委员会对欧洲联盟和国际发展基金提供捐款表示感谢。
170. The Commission noted with satisfaction that a legal officer had been hired in April 2016 to operate the transparency repository.170. 委员会满意到注意到,2016年4月雇用了一名法律干事运作透明度存储处。
Further, the Commission noted that, since its forty-eighth session, in 2015, information on two additional cases had been made available on the transparency repository where the Rules applied under article 1(2)(a) by agreement of the parties to the disputes, in arbitration arising under the ICSID Rules in one case, and under the UNCITRAL Arbitration Rules administered by the Permanent Court of Arbitration in the other case.此外,委员会注意到,自委员会2015年第四十八届会议以来,透明度存储处提供了经争议当事人约定、《透明度规则》依其第1条第(2)款(a)项予以适用的另外两个案例的信息,其中一个案例是依据《国际投资争端解决中心规则》提起的仲裁,另一个案例则是依据《贸易法委员会仲裁规则》提起的仲裁,由常设仲裁法院管理。
Further, the Commission noted that the Secretariat had received an increasing number of inquiries on the Transparency Rules and performed a steadily increasing number of capacity-building activities on the UNCITRAL standards on transparency in treaty-based investor-State arbitration.此外,委员会注意到,秘书处收到的有关《透明度规则》的询问日益增多,而且就贸易法委员会投资人与国家间基于条约仲裁透明度标准开展的能力建设活动也稳步增加。
171. The Commission was informed that the Secretariat was currently in contact with the European Union and OFID to possibly obtain renewed funding.171. 委员会获悉,秘书处目前正在与欧洲联盟和国际发展基金联系,有可能获得新的资助。
More generally, the Commission reiterated its appeal to all States, international organizations and other interested entities to consider making contributions to the funding of the transparency repository, preferably in the form of multi-year contributions, so as to facilitate its continued operation.从更大范围来看,委员会再次吁请所有国家、国际组织和其他有关实体考虑向透明度存储处捐款,最好是多年期捐款形式,以便利持续运作。
172. The Commission was informed that the Secretariat would be able to continue operating the transparency repository until the end of 2017 with the funds remaining from the contribution received from the European Union and OFID in early 2016 and taking into account possible new commitments.172. 委员会获悉,利用2016年初欧洲联盟和国际发展基金所提供捐款的剩余资金,并考虑到可能获得的新的承付款,秘书处将能够把透明度存储处运作到2017年底。
173. After discussion, the Commission reiterated its strong and unanimous opinion that the secretariat of the Commission should fulfil the role of the transparency repository and that it should continue to operate the transparency repository.173. 经过讨论,委员会重申其强烈、一致意见,即委员会秘书处应当履行透明度存储处职能,并且应当继续运作透明度存储处。
Accordingly, the Commission recommended to the General Assembly that it request the secretariat of the Commission to continue operating the repository of published information in accordance with article 8 of the Transparency Rules, as a pilot project until the end of 2017, to be funded entirely by voluntary contributions.据此,委员会向大会建议,由大会请委员会秘书处根据《透明度规则》第8条的规定继续运作已发布信息存储处,完全由自愿捐款供资,作为试点项目运作至2017年底。
The Commission also requested that the Commission and the General Assembly be informed of developments regarding the funding and budgetary situation of the transparency repository based on its pilot operation.委员会还请求根据透明度存储处试点运作情况,向委员会及大会通报存储处资金和预算情况的动态。
D. Possible future work in the area of arbitration and conciliationD. 今后在仲裁和调解领域可能开展的工作
174. The Commission held a preliminary discussion regarding future work in the area of international arbitration and conciliation.174. 委员会就国际仲裁和调解领域今后的工作进行了初步讨论。
The conclusions reached during that preliminary discussion were reaffirmed by the Commission upon its consideration of agenda item 16 (Work programme of the Commission) (see chapter XV below).在完成对议程项目16(委员会的工作方案)的审议后,委员会再次确认了初步讨论期间达成的结论(见下文第十五节)。
1.1. 并行程序
Concurrent proceedings 175. On the issue of concurrent proceedings, the Commission recalled that, at its forty-seventh session, in 2014, it had agreed that the Secretariat should explore the matter further and that work should focus on treaty-based investor-State arbitration, without disregarding the issue in the context of international commercial arbitration.175. 关于并行程序问题,委员会回顾,委员会2014年第四十七届会议商定,秘书处应当进一步探索这一事项,工作侧重点应当是投资人与国家间基于条约的仲裁,但不应忽视国际商事仲裁方面的问题。
The Commission further recalled that, at its forty-eighth session, in 2015, it had considered a note by the Secretariat in relation to concurrent proceedings in investment arbitration, which outlined the practical issues, the variety of situations that led to concurrent proceedings, the various options available to address those issues, and the possible form of any instrument to be developed in that area (A/CN.9/848).委员会进一步回顾,委员会2015年第四十八届会议审议了与投资仲裁并行程序有关的一份秘书处说明,其中概述了各种实际问题、造成并行程序的各种情形、可用来处理这些问题的各种选择办法,以及如果制订这方面的文书可能采取的形式(A/CN.9/848)。
There was general support for retaining the topic of concurrent proceedings on the agenda of the Commission.普遍支持在委员会议程上保留关于并行程序的主题。
Accordingly, it was suggested that the Secretariat should keep abreast of developments in that area, provide further analysis and set out the issues and possible solutions in a neutral manner, which would assist the Commission making an informed decision at a later stage.因此,会上提议,秘书处应当跟踪这一领域的变化发展,提供进一步分析,阐明各种问题并以中性方式提出可能的解决办法,以协助委员会在以后阶段作出知情决定。
It was suggested that work should also take into consideration concurrent proceedings in international commercial arbitration.会上提出,关于这一主题的工作还应当考虑到国际商事仲裁方面的并行程序。
At that session, the Commission requested the Secretariat to explore the topic further, in close cooperation with experts including those from other organizations working actively in that area and to report to the Commission at a future session with a detailed analysis of the topic including possible work that could be carried out.在该届会议上,委员会请秘书处与包括活跃于这一领域其他组织专家在内的专家密切合作,进一步探索这一问题,并在今后一届会议上向委员会提出报告时拿出关于这一主题的详细分析,包括可能开展的工作。
176. In accordance with that request, the Commission, at the current session, had before it a note by the Secretariat in relation to concurrent proceedings in international arbitration (A/CN.9/881).176. 根据这一请求,委员会在该届会议上收到了关于国际仲裁并行程序的一份秘书处说明(A/CN.9/881)。
The Commission expressed its appreciation to the Secretariat for the note, which outlined the causes and impact of concurrent proceedings, existing principles and mechanisms to address concurrent proceedings and possible future work in that area.委员会对秘书处提供的这份说明表示赞赏,其中概述了并行程序的缘由和影响,现行处理并行程序的原则和机制以及今后可能在这一领域开展的工作。
177. A view was expressed that there was not much merit in retaining the topic of concurrent proceedings on the future work agenda of the Commission and that it would be preferable to utilize resources on other topics.177. 会上提出的一种意见是,把并行程序主题保留在委员会今后工作议程上没有什么太大意义,最好将资源用于其他主题。
In support of that view, it was stated that concurrent proceedings were rare and sporadic, and that any guidance provided to arbitral tribunals on the topic would be incomplete, as it would be limited to instances where the UNCITRAL Arbitral Rules were applicable.这一意见的支持者指出,并行程序并不多见,只是时有发生,就这一主题向仲裁庭提供任何指导意见都是不完整的,因为它将限于可适用《贸易法委员会仲裁规则》的情形。
It was also mentioned that there were already existing mechanisms in investment treaties in which States could seek guidance.还提到,在国家可能从中寻求指导意见的投资条约中已经有现成的机制。
It was mentioned that, while the Commission might choose to address concurrent proceedings at a later stage, the topic did not warrant further work by the Secretariat at the current stage.会上提到,虽然委员会不妨在今后某个阶段选择处理并行程序问题,但现阶段秘书处并无必要就这一主题开展进一步工作。
178. Nonetheless, there was general support that the topic of concurrent proceedings, despite the challenges posed, should be kept on the future work agenda of the Commission.178. 尽管如此,虽然面临种种挑战,但普遍支持在委员会今后工作议程上保持并行程序这一主题。
It was mentioned that the note by the Secretariat clearly set out the issues that need to be addressed and exemplified that the existing legal framework and relevant rules did not address such circumstances.会上提到,秘书处的说明清楚地阐明了需要加以处理的各种问题,并以实例说明现有法律框架和相关规则并没有处理此种情形。
It was emphasized that concurrent proceedings posed a genuine problem and was of great significance as it could be harmful, particular to developing States, faced with such proceedings.会上强调,并行程序提出了一个实实在在的问题,意义极其重大,因为它有可能给面临此种程序的发展中国家造成损害。
179. On the possible form of work, as discussed in section IV of document A/CN.9/881, support was expressed for providing guidance to arbitral tribunals faced with concurrent proceedings.179. 关于A/CN.9/881号文件第四节中所论及的可能工作形式,会上表示支持为面临并行程序的仲裁庭提供指导意见。
It was suggested that such work could address how an arbitral tribunal should deal with concurrent proceedings and avoid contradictory decisions, possibly utilizing its inherent power provided in article 17 of the UNCITRAL Arbitration Rules and similar provisions in other arbitration rules.会上提出,此种工作可以述及仲裁庭如何处理并行程序以及如何避免作出相互矛盾的决定,可能的办法是利用《贸易法委员会仲裁规则》第17条以及其他仲裁规则的类似规定中赋予仲裁庭的固有权力。
Support was also expressed for providing prudent guidance to States that might be faced with concurrent proceedings or wanted to avoid them.会上还表示支持为可能面临并行程序或者希望避免并行程序的国家提供谨慎的指导意见。
It was suggested that concrete examples of existing mechanisms or provisions in investment treaties and possible models to be followed could be provided, supplementing the work already done by other organizations.会上提出,不妨提供投资条约中现有机制或规定的实际例子以及有可能依循模式的实际例子,从而补充其他组织已经进行的工作。
However, some doubts were expressed about the possible preparation of a multilateral instrument to address concurrent proceedings.但是,对于拟订一部多边文书处理并行程序,会上提出一些疑问。
180. As to whether the possible work should focus on investment and/or commercial arbitration, it was suggested that a distinction should be made if work were to be undertaken.180. 关于可能开展的工作是否应当侧重于投资仲裁和(或)商事仲裁,会上提议,如果开展这项工作,还是应当加以区分的。
It was generally felt that there was a more pressing need for work to focus on concurrent proceedings in investment arbitration.普遍认为,将工作侧重于投资仲裁方面的并行程序有着更为迫切的需要。
It was also mentioned that concurrent proceeding in commercial arbitration deserved a similar level of attention.不过,会上还提到,商事仲裁方面的并行程序也需要给予同等程度的关注。
In addition, it was suggested that possible work on the topic should also address successive proceedings, thus encompassing the full range of instances comprising multiple proceedings.另外还提出,就这一主题可能开展的工作还应涉及连续程序,从而完整地涵盖各种涉及多重程序的情形。
181. After discussion, the Commission agreed that the Secretariat should continue to explore the topic and further develop possible work that could be undertaken with regard to concurrent proceedings as mentioned in section IV of document A/CN.9/881, for consideration by the Commission at a future session.181. 经过讨论,委员会一致认为,秘书处应当继续探索这一主题,并就A/CN.9/881号文件第四节所提及的可能在并行程序方面开展的工作进一步进行研究,供委员会今后一届会议审议。
2. Code of ethics/conduct for arbitrators2. 仲裁员道德(行为)守则
182. The Commission recalled that, at its forty-eighth session, in 2015, it had before it a proposal for future work on a code of ethics for arbitrators in investment arbitration (A/CN.9/855), which suggested that work on the topic could relate to conduct of arbitrators, their relationship with those involved in the arbitration process, and the values that they were expected to share and convey.182. 委员会回顾,委员会2015年第四十八届会议收到了一份关于投资仲裁仲裁员道德守则方面今后工作的建议(A/CN.9/855),其中提出,这方面的工作可能涉及仲裁员行为、仲裁员与仲裁程序各参与方的关系以及仲裁员应当共有和表达的价值观。
It was further recalled that the Commission requested the Secretariat to explore the topic in a broad manner, including in the field of both commercial and investment arbitration, taking into account existing laws, rules and regulations as well as any standards established by other organizations.委员会进一步回顾,委员会请秘书处广泛探索这一问题,既包括商事仲裁也包括投资仲裁,同时考虑到各种现行法律、规则和条例以及其他组织制订的任何标准。
The Secretariat was requested to assess the feasibility of work in that area and report to the Commission at a future session.会议请秘书处评价这一领域工作的可行性并向委员会今后一届会议提出报告。
183. Pursuant to that request, the Commission had before it a note by the Secretariat in relation to ethics in international arbitration (A/CN.9/880).183. 根据这一请求,委员会收到了关于国际仲裁道德准则的一份秘书处说明(A/CN.9/880)。
The Commission expressed its appreciation to the Secretariat for the note, which outlined the concept of ethics in international arbitration as well as existing legal frameworks on ethics and posed some questions to be considered before possibly engaging in future work in that area.委员会对秘书处编写这一说明表示赞赏,其中概述了国际仲裁道德准则的概念以及道德准则方面的现有法律框架,并提出了一些在可能进行这一领域中的工作之前需要考虑的问题。
184. In support of retaining the topic of code of ethics on the future work agenda, it was said that there was currently a wide diversity and multiple layers of ethical norms and standards, and that therefore, it would be useful for the Commission to undertake work on the topic.184. 关于今后工作议程上保留道德守则这一主题,支持者指出,目前在道德规范和准则方面存在着广泛的多样性和多个层面,因此,委员会就这一主题开展工作是有益的。
It was underlined that different ethical norms and standards were applicable, and there were currently no clear criteria for determining how they interacted or which should prevail in a given situation.强调指出,可以适用的道德规范和准则各种各样,目前还没有明确标准确定其如何相互作用或者在某一特定情形下以哪些规范和标准为准。
It was suggested that future work on the topic could take various approaches including (a) substantive work on harmonizing such norms or establishing minimum standards, yet taking into account considerations of cultural diversity, and (b) how to address the inter-relationship of multiple layers of norms and standards and providing guidance on which ethical standards would apply.会上提出,今后关于这一主题的工作可以采取各种做法,其中包括:(a)关于统一协调此种规范或者确立最低限度标准的实质性工作,但需考虑到文化多样性因素,(b)如何处理不同层面的规范和准则的相互关系并就适用哪些道德准则提供指导。
In that respect, a question was raised regarding the scope of work, namely whether such work should focus on a code of ethics that applied to arbitrators only, or that also applied to other participants in the arbitration process, such as counsel and experts.在这方面,就工作范围提出一个问题,即此种工作是否应侧重于仅仅适用于仲裁员的道德守则,还是说也适用于仲裁程序的其他参与方,如顾问和专家等。
In response, reservations were expressed regarding possible extension of the work to counsel and experts, as different sets of rules on ethics would usually be applicable, such as those governing the bar.在答复这一问题时,对于可能将此项工作延伸至顾问和专家提出了保留意见,因为通常都将在道德准则方面适用不同的规则,如涉及律师的规则。
It was further mentioned that issues relating to conflicts of interest of arbitrators could usefully be further elaborated.进一步提到,关于仲裁员利益冲突的问题通常都可以进一步详细阐述。
185. Views were also expressed that the wide array of existing norms and standards on ethics would make it superfluous for the Commission to undertake work on the topic.185. 会上还表达了一些看法,认为现行道德规范和准则非常广泛,委员会就这一主题开展工作是多余的。
It was said that notions such as independence and impartiality were already embedded in most domestic arbitration laws, arbitration rules, and institutions’ codes of ethics.会上指出,诸如独立性和公正性这样一些概念已经体现在大多数国内仲裁法律、仲裁规则和机构的道德守则中。
It was further pointed that in the field of treaty-based investor-State arbitration, codes of ethics were being developed as part of, or as an annex to, investment treaties and, therefore, the timeliness of undertaking work in that field was questioned.进一步指出,在投资人与国家间基于条约的仲裁领域中,正在作为投资条约的一部分或者附件制订道德守则,因此,对于在这一领域开展工作是否正当其时提出了疑问。
186. After discussion, the Commission requested the Secretariat to continue exploring the topic further, in close cooperation with experts including those from other organizations working actively in that area, and to report to the Commission at a future session on the various possible approaches as outlined above.186. 经过讨论,委员会请秘书处与包括活跃于这一领域其他组织专家在内的专家密切合作,继续进一步探索这一主题,并就上文概述的各种可能做法向委员会今后一届会议提出报告。
3. Possible work on reform of investor-State dispute settlement system3. 可能就投资人与国家间争议解决制度改革开展的工作
187. The Commission recalled that at its forty-eighth session, in 2015, it had been informed that the Secretariat was conducting a study on whether the Mauritius Convention on Transparency could provide a useful model for possible reforms in the field of investor-State arbitration, in conjunction with the Center for International Dispute Settlement (CIDS) of the University of Geneva and the Graduate Institute of International and Development Studies.187. 委员会回顾在2015年第四十八届会议上获悉,秘书处正在与日内瓦大学国际争议解决中心和国际与发展研究院合作开展一项研究,探讨《毛里求斯透明度公约》是否能够为投资人与国家间仲裁领域可能进行的改革提供有益的示范。
The Secretariat was requested to report to the Commission at a future session with an update on that matter.委员会请秘书处在今后一届会议上向委员会提出报告,并提供关于这一事项的最新情况。
188. In accordance with that request, the Commission had before it a note providing an update on the study conducted within the framework of a research project of CIDS and a short overview of its outcome (A/CN.9/890).188. 按照该请求,委员会收到一份说明,其中介绍在国际争议解决中心研究项目框架内开展研究的最新情况并简短概述了研究成果(A/CN.9/890)。
The Commission expressed its appreciation to the Secretariat and to CIDS for the research conducted.委员会感谢秘书处和国际争议解决中心开展的研究。
In particular, the Commission expressed its appreciation to Gabrielle Kaufmann-Kohler and Michele Potestà for the thorough analysis of the topic.委员会特别感谢Gabrielle Kaufmann-Kohler和Michele Potestà对该议题的透彻分析。
189. The Commission heard an oral presentation of the CIDS research study, which sought to provide a preliminary analysis of the issues that would need to be considered if a reform of the investor-State dispute settlement system were to be pursued at a multilateral level.189. 委员会听取了关于国际争议解决中心研究项目的口头介绍,该项目寻求对在多边层面推进投资人与国家间争议解决制度改革的情况下需要考虑的问题作初步分析。
It was explained that the research study analysed whether the Mauritius Convention on Transparency could serve as a model for further reforms, and sought to map the main options available in reforming investor-State dispute settlement.解释说,研究项目分析了《毛里求斯透明度公约》是否能够作为进一步改革的示范,并试图描绘在投资人与国家间争议解决方面进行改革可采用的主要选项。
It was further explained that the research study borrowed from existing experience with various international courts and tribunals, including inter-state dispute settlement bodies (such as the International Court of Justice and the World Trade Organization (WTO)) as well as other dispute settlement mechanisms, such as the Iran-United States Claims Tribunal and regional courts.还解释说,该研究项目借鉴了各国际法院和法庭现有的经验,其中包括投资人与国家间争议解决机构(如国际法院和世界贸易组织(世贸组织))以及其他争议解决机制,如伊朗——美国索赔法庭和各区域法院。
It was pointed out that two scenarios were considered in depth in the research study: the design of a permanent investment tribunal and of an appeal mechanism.会上指出,研究项目深入考虑了两种情形:设计一个常设投资法庭和设计一个上诉机制。
It was further explained that the final part of the research study addressed how States might extend the proposed new dispute settlement system to their existing and future investment treaties.进一步解释说,研究项目的最后部分探讨各国如何将拟议的新的争议解决机制延伸适用于现有和今后的投资条约。
The research study suggested that, although not the only model that could be envisaged for those purposes, an opt-in convention modelled on the Mauritius Convention on Transparency with certain adaptations could effectively extend new dispute settlement options to existing investment treaties.研究项目建议,在作某些调整的情况下仿效《毛里求斯透明度公约》的制定一部可选择适用的公约,或许可以有效地将新的争议解决选项延伸适用于现有投资条约,不过这并非为此目的可以设想的唯一模式。
However, it was pointed out that such a convention would raise treaty law issues, which the research study discussed.然而,会上指出,这样一部公约将带来条约法问题,研究项目就此进行了讨论。
190. Support was expressed for including the topic of reforms of the investor-State dispute settlement system in the future work agenda of the Commission.190. 会上表示支持将投资人与国家间争议解决机制改革这一议题纳入委员会今后工作议程。
It was said that criticism had developed towards investor-State arbitration in general, which included the alleged lack of impartiality and accountability of the arbitrators, the lack of transparency of the procedure, and the absence of consistency of the jurisprudence, all of which had triggered a growing demand for changes from a number of States, international organizations and civil society groups.会上指出,总体上已形成对投资人与国家间仲裁的批评态势,其中包括据称仲裁员缺乏公正性和没有问责制,程序缺乏透明度,以及判例缺乏一致性,所有这些问题导致一些国家、国际组织和民间社会团体要求改革的呼声日渐增多。
It was further said that reforms had been undertaken to address those criticisms, and it would therefore be timely to consider the matter at a multilateral level to avoid the development of a fragmented system.还指出,已经针对这些批评实施了改革,因此,在多边层面审议这一事项恰逢其时,以避免形成一种支离破碎的制度。
191. It was suggested that the Commission would constitute an appropriate forum for considering and possibly coordinating work on the matter, because of its universal composition, and of its experience in the field of international dispute settlement.191. 会上建议,鉴于委员会的组成具有普遍性,并且委员会拥有国际争议解决领域的经验,委员会将组建一个适当论坛,审议并视可能协调就这一事项开展的工作。
Some delegations also stated that the Commission should not do further work on investor-State arbitration as that topic was already being adequately addressed elsewhere.一些代表团指出,委员会不应就投资人与国家间仲裁开展进一步工作,因为其他方面已在处理这个主题。
However, it was underlined that, if the Commission were to play such a role, close coordination and cooperation would be required with States and other stakeholders already involved in that matter.不过,强调指出,如果需要委员会发挥此种作用,必须与已经在处理此事的各国和利益攸关方进行密切协调与合作。
192. Another view was that it would be difficult to define the scope of such work and that as currently presented, it might be too ambitious a project for the Commission to embark on.192. 另一种观点认为,很难界定此项工作的范围,按照目前的提议,委员会着手这样一个项目也许目标太过远大。
Therefore, it was suggested that preference be given to work relating to commercial arbitration.因此,建议偏重于开展与商事仲裁有关的工作。
193. In response to a concern that the Commission would not be an appropriate institution to host or to establish an investment court, it was said that the envisaged role of the Commission would be to lead the process of designing a new dispute settlement system, without necessarily hosting it.193. 针对委员会并非主办或建立一个投资法院的适当机构这一关切,会上指出,设想委员会所发挥的作用是为新的争议解决机制的设计工作牵头,而不一定是要成为这种机制的主办机构。
194. After discussion, the Commission requested the Secretariat to review how the project described in document A/CN.9/890 might be best carried forward, if approved as a topic of future work at the forthcoming session of the Commission, taking into consideration the views of all States and other stakeholders, including how this project might interact with other initiatives in this area and which format and processes should be used.194. 经过讨论,委员会请秘书处审查,如果委员会下届会议核准A/CN.9/890号文件所介绍的项目为今后工作的一个议题,如何以最佳方式推进这一项目,同时考虑到所有国家和利益攸关方的观点,包括这一项目与这一领域其他举措是何种关系,以及应当采用哪种形式和程序。
In so doing, the Secretariat was requested to conduct broad consultations.在此过程中,委员会请秘书处进行广泛的协商。
4. Conclusion4. 结论
195. After deliberation of the three possible topics for future work (see paras. 175-194 above), the Commission decided to retain those topics on its agenda for further consideration at its next session.195. 在审议今后可能开展工作的三个议题(见上文第175-194段)之后,委员会决定将这些议题保留在其议程上,供下届会议进一步审议。
It further requested that the Secretariat, within its existing resources, continue to update and conduct preparatory work on all the topics so that the Commission would be in a position to make an informed decision whether to mandate its Working Group II to undertake work in any of the topics, following the current work on the enforcement of settlement agreements resulting from conciliation.委员会还请秘书处在现有资源范围内继续推进和开展所有这些议题的准备工作,以便委员会能够就是否授权第二工作组在目前关于调解所产生和解协议的执行的工作结束之后就其中任何议题开展工作作出知情决定。
In that context, it was reaffirmed that priority should be given to the current work by Working Group II so that it could expeditiously complete its work on the preparation of an instrument on the topic.在这方面,会议重申,第二工作组应当优先处理目前的工作,以便迅速完成就此议题编拟一部文书的工作。
E. Secretariat Guide on the New York ConventionE. 秘书处关于《纽约公约》的指南
196. The Commission recalled its discussion at its forty-seventh session, in 2014, regarding the preparation of a guide (“New York Convention Guide”) on the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, done at New York on 10 June 1958 (the New York Convention).196. 委员会回顾其2014年第四十七届会议曾就编写关于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》(《纽约公约》)的指南(《纽约公约》指南)进行讨论。
197. The Commission was informed that the New York Convention Guide had been finalized and published on the website (www.newyorkconvention1958.org) which was set up to make the information gathered in preparation of the New York Convention Guide publicly available.197. 委员会获悉,《纽约公约》指南已经完成,并发布于网站上(www.newyorkconvention1958.org),该网站是为公布在编写《纽约公约》指南的过程中收集的资料而建立的。
The Commission also heard an oral report on the developments on the website since the last Commission session.委员会还听取了关于委员会上届会议以来该网站动态的口头报告。
198. The Commission expressed its appreciation for the completion of the New York Convention Guide and the work done by the Secretariat as well as the experts, E. Gaillard (Sciences Po Paris, École de Droit) and G. Bermann (Columbia University School of Law), including their research teams.198. 委员会对《纽约公约》指南已告完成表示赞赏,并对秘书处以及两位专家E. Gaillard(巴黎政治大学法学院)和G. Bermann(哥伦比亚大学法学院)包括其研究团队所做的工作表示赞赏。
F. International commercial arbitration and mediation moot competitionsF. 国际商事仲裁和调解模拟辩论赛
1. Willem C. Vis International Commercial Arbitration Moot1. 维斯国际商事仲裁模拟辩论赛
199. It was noted that the Association for the Organization and Promotion of the Willem C. Vis International Commercial Arbitration Moot had organized the Twenty-third Moot, the oral arguments phase of which had taken place in Vienna from 18 to 24 March 2016.199. 注意到维斯国际商事仲裁模拟辩论赛组织和促进协会组办了第二十三届模拟辩论赛,口头辩论阶段于2016年3月18日至24日在维也纳举办。
As in previous years, the Moot had been co-sponsored by the Commission.同往年一样,此次辩论赛由委员会协办。
Legal issues addressed by the teams in the Twenty-third Moot were based on the United Nations Convention on Contracts for the International Sale of Goods (Vienna, 1980) (the “United Nations Sales Convention”).第二十三届模拟辩论赛各参赛队讨论的法律问题以《联合国国际货物销售合同公约》(1980年,维也纳)(《联合国销售公约》)为基础。
A total of 311 teams from 67 countries participated and the best team in oral arguments was the University of Buenos Aires (Argentina).来自67个国家总共311支赛队参赛,口头辩论优胜队是布宜诺斯艾利斯大学(阿根廷)。
The oral arguments phase of the Twenty-fourth Willem C. Vis International Commercial Arbitration Moot would be held in Vienna from 7 to 13 April 2017.第二十四届维斯国际商事仲裁模拟辩论赛口头辩论阶段将于2017年4月7日至13日在维也纳举行。
200. It was also noted that the Vis East Moot Foundation had organized the Thirteenth Willem C. Vis (East) International Commercial Arbitration Moot, which had been co-sponsored by the Commission, the East Asia Branch of the Chartered Institute of Arbitrators and many law firms based in Hong Kong, China.200. 还注意到维斯东方模拟辩论赛基金会组办了第十三届维斯(东方)国际商事仲裁模拟辩论赛,此次辩论赛由委员会、仲裁员特许学会东亚处和设在中国香港的多家律师事务所协办。
The final phase took place in Hong Kong, China, from 6 to 13 March 2016.最后阶段于2016年3月6日至13日在中国香港举行。
A total of 115 teams from 29 jurisdictions participated in the Thirteenth (East) Moot and the best team in oral arguments was Singapore Management University (Singapore).来自29个法域总共115支赛队参加了第十三届(东方)模拟辩论赛,口头辩论优胜队是新加坡管理大学(新加坡)。
The Fourteenth (East) Moot would be held in Hong Kong, China, from 26 March to 2 April 2017.第十四届(东方)模拟辩论赛将于2017年3月26日至4月2日在中国香港举行。
2. Madrid Commercial Arbitration Moot 20162. 2016年马德里商事仲裁模拟辩论赛
201. It was noted that Carlos III University of Madrid had organized the Eighth International Commercial Arbitration Competition in Madrid from 25 to 29 April 2016, which had been co-sponsored by the Commission.201. 注意到马德里卡洛斯三世大学于2016年4月25日至29日在马德里举办了第八届国际商事仲裁辩论赛,委员会为协办方。
Legal issues addressed by the teams related to an international sale of goods, where the United Nations Sales Convention, the New York Convention, and the Rules of Arbitration of the Madrid Court of Arbitration were applicable.各参赛队讨论的法律问题涉及国际货物销售,可适用《联合国销售公约》、《纽约公约》和《马德里仲裁法院仲裁规则》。
A total of 24 teams from 11 jurisdictions participated in the Madrid Moot 2016, which was held in Spanish.来自11个法域总共24支赛队参加了2016年西班牙语马德里模拟辩论赛。
The best team in oral arguments was Universidad Peruana de Ciencias Aplicadas (Peru).口头辩论优胜队是秘鲁应用科学大学(秘鲁)。
The Ninth Madrid Moot would be held from 3 to 7 April 2017.第九届马德里模拟辩论赛将于2017年4月3日至7日举行。
3. Mediation and negotiation competition3. 调解与谈判竞赛
202. It was noted that the second mediation and negotiation competition organized jointly by IBA and the Vienna International Arbitral Centre with the support of the Commission had taken place in Vienna from 28 June to 2 July 2016.202. 注意到第二届调解与谈判竞赛于2016年6月28日至7月2日在维也纳举行,该竞赛由国际律师协会和维也纳国际仲裁中心联合组办,委员会协办。
Legal issues addressed by the teams had been those addressed at the Twenty-third Willem C. Vis International Commercial Arbitration Moot (see para. 199 above).各参赛队讨论的法律问题即是第二十三届维斯国际商事仲裁模拟辩论赛讨论的问题(见上文第199段)。
A total of 30 teams from 17 jurisdictions had participated.来自17个法域总共30支赛队参赛。
V. Consideration of issues in the area of online dispute resolution: finalization and adoption of Technical Notes on Online Dispute Resolution五. 审议网上争议解决领域的问题:最后审定并通过 《关于网上争议解决的技术指引》
203. The Commission recalled its instruction to Working Group III (Online Dispute Resolution), made at its forty-eighth session, in 2015, to continue its work towards elaborating a non-binding descriptive document reflecting elements of an online dispute resolution (ODR) process, on which elements the Working Group had previously reached consensus, excluding the question of the nature of the final stage of the ODR process (arbitration/non-arbitration).203. 委员会回顾其2015年第四十八届会议指示第三工作组(网上争议解决)继续致力于拟订一部无约束力的描述性文件,在其中反映工作组早先已达成共识的网上争议解决程序(网上解决)各项要素,而将网上解决程序最后阶段的性质问题(仲裁/非仲裁)排除在外。
It was also recalled that the Working Group had been given a time limit of one year or no more than two Working Group sessions to conclude its work.还回顾,给工作组设定的完成其工作的期限为一年,或者不超过两届工作组会议。
204. The Commission took note of the progress of the Working Group, reflected in its reports to the Commission from the two sessions since the instructions referred to above (A/CN.9/862 and A/CN.9/868).204. 委员会注意到自下达上文提及的指示以来工作组所取得的进展,工作组提交委员会的两届会议的报告反映了进展情况(A/CN.9/862、A/CN.9/868)。
The Commission noted that the Working Group had completed its deliberations and submitted a draft document entitled “Technical Notes on Online Dispute Resolution” for the Commission’s consideration and eventual adoption at the current session (A/CN.9/868, para. 87).委员会注意到工作组已完成其审议工作,并提交了标题为“关于网上争议解决的技术指引”的文件草案,供委员会在本届会议上审议并最终通过(A/CN.9/868,第87段)。
205. The Commission also heard that the concerns about ensuring language consistency in accurately reflecting the descriptive nature of the text in its title in certain official languages had been satisfactorily addressed (A/CN.9/868, paras. 79-81).205. 委员会还获知,已经满意地处理了就确保语文一致性以在某些正式语文的标题中准确反映案文描述性质所表达的关切(A/CN.9/868,第79-81段)。
206. The Commission proceeded with the consideration of draft technical notes on online dispute resolution contained in document A/CN.9/888 (the draft Technical Notes).206. 委员会接着审议了载于A/CN.9/888 号文件中的关于网上争议解决的技术指引草案(技术指引草案)。
The Commission heard a proposal for an additional paragraph to be included in the draft Technical Notes to read as follows, “These Technical Notes are not intended to supplant or override applicable law”, the purpose of which would be to facilitate a correct understanding of the nature of the Technical Notes and so to support their implementation.委员会听取了就拟列入技术指引草案的一个补充段提出的建议,其内容如下:“本《技术指引》并非意在取代或优先于适用的法律”,建议的目的是促进对《技术指引》性质的正确理解并以此支持其执行。
207. In response, it was stated that the draft Technical Notes were expressly descriptive in nature, and so they could not override applicable law.207. 对此,会上指出,技术指引草案具有明确的描述性质,因此不可能优先于适用的法律。
In addition, it was observed that the suggested addition was unnecessary and could add confusion.另外还指出,所提议增加的段落没有必要,且有可能造成混乱。
208. Confirming its understanding that the Technical Notes did not supplant or override applicable law, the Commission decided to leave the text as proposed in document A/CN.9/888.208. 委员会确认其对《技术指引》不取代或不优先于适用法律的理解,决定按A/CN.9/888号文件所提议案文保持不变。
209. The Commission then heard the following proposals to amend the draft Technical Notes which, it was suggested, would remove a contradiction between paragraph 34 on the one hand and paragraphs 19 and 33 on the other hand in the draft Technical Notes regarding the commencement of ODR proceedings:209. 委员会听取了就修改技术指引草案提出的下述建议,其中提出消除技术指引草案中第34段与第19和33段在启动网上解决程序方面的模糊之处:
(a) To rephrase paragraph 19 as follows: “When a claimant submits a notice through the ODR platform to the ODR administrator (see section VI below), …”;(a) 第19段重拟如下:“当申请人通过网上解决平台向网上解决管理人提交申请通知时(见下文第六节),……”;并且
and
(b) To amend the opening phrase of paragraph 33 to read “In order that an ODR proceeding may begin”.(b) 修改第33段的开头语,改为:“为了可以开始网上解决程序”。
210. An alternative proposal was that no changes should be made to paragraphs 19 and 33, and the phrase after the comma in paragraph 34 should be deleted. Paragraph 34 could consequentially be amended to read “ODR proceedings may be deemed to have commenced when the claimant communicates a notice to the ODR administrator.210. 另一项建议是不应对第19和33段作出改动,而应修改第34段第一个逗号后面的语句,将第34段修改为:“申请人将通知发送给网上解决管理人之时,可视为网上解决程序启动的时间。
It is desirable that the ODR administrator notify the parties that the notice is available at the ODR platform within a reasonable time.”可取的做法是,网上解决管理人在合理时限内通知各方当事人可在网上解决平台检索该通知。
It was said that that view better reflected that both paragraphs 19 and 34 reflect consensus regarding how commencement should be measured; however, as there was a conflict in the approach taken in the two paragraphs, the approach taken in paragraph 19 was preferable because it was more efficient.”会上指出,这一意见固然更好地表明第19和34段都反映了就如何衡量启动时间达成的共识,但这两段所采取的做法有矛盾,第19段所采取的做法更可取,因其效率更高。
211. In response, it was stated that the existing paragraph 34 expressed the consensus in the Working Group that the proceedings “may be deemed to have commenced when, following a claimant’s communication of a notice to the ODR administrator, the ODR administrator notifies the parties that the notice is available at the ODR platform.”211. 对此指出,现在的第34段表达了工作组达成的共识,即“申请人将通知发送给网上解决管理人后,网上解决管理人通知各方当事人可在网上解决平台检索该通知之时,可视为……程序启动的时间。
212. After discussion, it was agreed that the amendments proposed to paragraphs 19 and 33 would be made.212. 经过讨论,会上商定对第19和33段作出所提议的修改。
It was also confirmed that paragraph 34 would remain unchanged.还确认,第34段将保持不变。
213. The Commission also agreed the following amendments to the draft Technical Notes:213. 委员会还商定对技术指引草案作出下述修改:
(a) To delete the word “claimant’s” from the phrase “the claimant’s notice” in paragraphs 36 and 51;(a) 删除第36和51段中“申请人通知”中的“申请人”一词;并且
and
(b) To add the following phrase after the word “neutral” at the end of paragraph 42: “as described in paragraph 46 below”.(b) 在第42段结尾“中立人”一词前面加上下述语句:“下文第46段所说明的”。
214. A proposal to add the following sentence to paragraph 51, “The ODR administrator may utilize technical means to accommodate this selection”, did not gain support.214. 会上提出在第51段加上下述语句:“网上解决管理人可以为顾及此种选择而利用技术手段”,但这项建议未获支持。
215.
The Commission also considered paragraph 53 of the draft Technical Notes, and agreed that the following formulation would more accurately reflect the intention of the Working Group (A/CN.9/868, paras. 74-75): “It is desirable that ODR proceedings be subject to the same confidentiality and due process standards that apply to dispute resolution proceedings in an offline context, in particular independence, neutrality and impartiality”.215. 委员会还审议了技术指引草案第53段,一致认为以下写法将更为准确地反映了工作组的意图(A/CN.9/868,第74-75段):“可取的做法是,网上解决程序须符合非网上环境下争议解决程序所适用的同样保密标准和正当程序标准,特别是在独立性、中立性和公正性方面”。
It was decided that paragraph 53 of the draft Technical Notes would be amended accordingly.会上决定,技术指引草案第53段将作相应修改。
216. The Commission approved the draft Technical Notes subject to the amendments agreed to be made at the current session.216. 在作出本届会议所商定的修改的前提下,委员会核准了技术指引草案。
217. The Commission, after consideration of the draft Technical Notes, adopted the following decision at its 1035th meeting, on 5 July 2016:217. 在审议了技术指引草案之后,委员会于2016年7月5日在第1035次会议上通过了以下决定:
“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授权是促进国际贸易法的逐渐协调与统一,并在这方面念及所有人民,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 the sharp increase of online cross-border transactions has raised a need for mechanisms for resolving disputes which arise from such transactions, and that one such mechanism is online dispute resolution (“ODR”),“注意到跨境网上交易猛增,产生了对于此种交易所产生争议的解决机制的需要,其中一种机制是网上争议解决(“网上解决”),
“Observing that ODR can assist the parties in resolving the dispute in a simple, fast, flexible and secure manner, without the need for physical presence at a meeting or hearing,“注意到网上解决可协助当事人以简单、快捷、灵活和安全的方式解决争议,而无需亲自出席会议或听讯,
“Also observing that ODR represents significant opportunities for access to dispute resolution by buyers and sellers concluding cross-border commercial transactions, both in developed and developing countries,“还注意到不论是在发达国家还是发展中国家,网上解决都为订立跨境商业交易的买卖双方寻求解决争议提供了重要机会,
“Recalling that at its forty-third session, in 2010, the Commission agreed that a working group should be established to undertake work in the field of ODR,“回顾委员会2010年第四十三届会议商定设立一个工作组,在网上争议解决领域开展工作,
“Expressing appreciation to Working Group III (Online Dispute Resolution) for having prepared the draft Technical Notes on Online Dispute Resolution,“表示赞赏第三工作组(网上争议解决)拟订了关于网上争议解决的技术指引草案,
“Noting further that the Technical Notes on Online Dispute Resolution are non-binding, descriptive, and reflect principles of impartiality, independence, efficiency, effectiveness, due process, fairness, accountability and transparency,“进一步注意到《关于网上争议解决的技术指引》是无约束力和说明性的,体现了公正、独立、高效、实效、正当程序、公平、问责和透明原则,
“Noting additionally that the Technical Notes on Online Dispute Resolution are expected to contribute significantly to the development of systems to enable the settlement of disputes arising from cross-border low-value sales or service contracts concluded using electronic communications,“还注意到《关于网上争议解决的技术指引》可望对于发展各种系统从而使利用电子通信订立的跨境低价值销售或服务合同所产生的争议得以解决作出显著贡献,
“Being convinced that the Technical Notes on Online Dispute Resolution will significantly assist all States, in particular developing countries and States whose economies are in transition, ODR administrators, ODR platforms, neutrals, and the parties to ODR proceedings in developing and using ODR systems,“深信《关于网上争议解决的技术指引》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、网上解决管理人、网上解决平台、中立人以及网上解决程序当事人发展和使用网上解决系统,
“1. Adopts the Technical Notes on Online Dispute Resolution, as they appear in annex I to the report of UNCITRAL on its forty-ninth session;“1. 通过贸易法委员会第四十九届会议报告附件一所载《关于网上争议解决的技术指引》;
“2. Requests the Secretary-General to publish the text of the Technical Notes on Online Dispute Resolution, including electronically, in the six official languages of the United Nations, and to disseminate that text broadly, including through electronic means, to Governments and other interested bodies;“2. 请秘书长以联合国六种正式语文发布《关于网上争议解决的技术指引》案文,包括以电子方式发布,并向各国政府以及其他相关机构广为传播其案文,包括通过电子方式传播;
“3. Recommends that all States and other stakeholders use the Technical Notes on Online Dispute Resolution in designing and implementing ODR systems for cross-border commercial transactions;“3. 建议所有国家及其他相关方在设计和建立针对跨境商业交易的网上解决系统时使用《关于网上争议解决的技术指引》;并且
and
“4. Requests all States to support the promotion and use of the Technical Notes on Online Dispute Resolution.”“4. 请所有国家支持推广和使用《关于网上争议解决的技术指引》。
218. It was suggested that the Technical Notes could be endorsed by means of a dedicated draft resolution, which could be introduced to the General Assembly.218. 会上提出,不妨以拟定一项专门决议草案然后向大会提出的方式对《技术指引》表示赞同。
The Secretariat was requested to bear this suggestion in mind when assisting States with the preparation of submissions to the Sixth Committee later in 2016.会议请秘书处在2016年下半年协助各国编拟提交第六委员会的文件时考虑到这项建议。
VI. Micro-, small- and medium-sized enterprises: progress report of Working Group I六. 中小微企业:第一工作组进度报告
219.
The Commission had before it the reports of Working Group I (MSMEs) on the work of its twenty-fifth and twenty-sixty sessions (A/CN.9/860 and A/CN.9/866, respectively) outlining progress on the two topics on its current work agenda, both of which “aimed at reducing the legal obstacles faced by micro, small and medium-sized enterprises throughout their life cycle and, in particular, those in developing economies”:219. 委员会收到了第一工作组(中小微企业)第二十五届和第二十六届会议工作报告(分别为A/CN.9/860和A/CN.9/866),其中概要介绍就其当前工作议程上两个议题取得的进展,这两个议题均“以特别是在发展中经济体减少中小微企业整个寿命周期面临的法律障碍为宗旨”:
(a) Key principles in business registration;(a) 企业登记的关键原则;以及
and
(b) Legal questions surrounding the creation of a simplified business entity.(b) 围绕创建简易企业实体的法律问题。
220. With respect to the work on key principles in business registration, the Commission noted that the Working Group had considered texts prepared by the Secretariat in the form of draft commentary and draft recommendations for a possible legislative guide.220. 关于就企业登记的关键原则开展的工作,委员会注意到工作组审议了秘书处拟订的一部可能的立法指南的评注草案和建议草案的案文。
The Commission further noted that on the basis of those draft texts, the Working Group had decided to prepare an instrument along the lines of a concise legislative guide, without prejudice to considering at a later time whether draft provisions or a model law might also be appropriate (A/CN.9/860, para. 73), and that the twenty-eighth session of the Working Group would be devoted in its entirety to consideration of a draft legislative guide on business registration to be prepared by the Secretariat (A/CN.9/866, para. 90).委员会进一步注意到,在这些案文草案的基础上,工作组决定拟订一部大致如简明立法指南的文书,但不影响以后考虑是否也适合拟订条文草案或示范法(A/CN.9/860,第73段),以及工作组第二十八届会议将全部用于审议拟由秘书处拟订的企业登记立法指南草案(A/CN.9/866,第90段)。
221. On the second topic of the legal issues surrounding the creation of a simplified business entity, the Commission recalled that the Working Group had proceeded to examine those issues as illustrated by way of working papers and through the text of draft model laws.221. 关于第二个议题即围绕创建简易企业实体的法律问题,委员会回顾,工作组接着审查了几份工作文件和示范法草案案文举例说明的问题。
The Commission noted that at the conclusion of its examination of those issues at its twenty-sixth session, the Working Group decided that a legislative guide reflecting its policy considerations to date and consisting of recommendations and commentary should be prepared for further discussion in the Working Group (A/CN.9/866, paras. 48 to 50).委员会注意到,工作组第二十六届会议在结束对这些问题的审查时,决定应拟订一部由建议和评注组成的立法指南,反映迄今为止的政策审议情况,以便工作组进一步讨论(A/CN.9/866,第48至50段)。
The Commission further noted the Working Group’s decision that its twenty-seventh session would be devoted in its entirety to consideration of a draft legislative guide on a simplified business entity (A/CN.9/866, para. 90).委员会还注意到,工作组决定将在其第二十七届会议专门审议简易企业实体立法指南草案(A/CN.9/866,第90段)。
222. The Commission noted that the Working Group had also considered how best to provide an overall context for end-users of current and possible future texts relating to MSMEs.222. 委员会注意到,工作组还审议了如何最佳地为目前和今后可能与中小微企业有关的案文的最终用户提供一个总体框架。
The Working Group was of the view that an introductory document along the lines of A/CN.9/WG.I/WP.92 should preface the two legislative texts currently under preparation, and that such a text could also provide a link for possible future texts relating to MSMEs but that might, for example, be prepared by other Working Groups (A/CN.9/866, paras. 86 to 87).工作组认为,应将大致如A/CN.9/ WG.I/WP.92的介绍性文件放在正在编写的两部立法案文的前言部分,这样一份案文还可与今后可能拟订的与中小微企业有关、但可能由其他工作组编写的案文关联起来(A/CN.9/866,第86至87段)。
223. It was observed that although work on the two topics being tackled by the Working Group aimed at reducing the legal obstacles faced by MSMEs, the issues addressed by the Working Group were of the general nature and not specific to MSMEs.223. 会上认为,尽管就工作组正在处理的两个议题开展的工作着眼于减少中小微企业面临的障碍,但工作组所处理的问题 具有普遍性质,并非中小微企业特有的问题。
Consideration could thus be given to whether the description of the Working Group as a working group on MSMEs reflected correctly the nature of its work.因此,不妨考虑的是,将工作组描述为一个关于中小微企业的工作组是否正确地反映了其工作的性质。
Reference was also made to work being pursued by the European Commission on the topic of single member private limited companies, along with a request that the Secretariat continue to liaise with the secretariat of the European Commission in that regard.还提到欧盟委员会就单一成员私人有限公司开展的工作,同时请秘书处继续就此与欧盟委员会秘书处联络。
A view was also expressed that completion of the current work programme of the Working Group was urgent, and that other topics in relation to MSMEs might be pursued, possibly in coordination with other Working Groups.还认为迫切需要完成工作组目前的工作方案,同时还可以推进与中小微企业有关的其他议题,可能的话与其他工作组协调推进。
It was further noted with satisfaction that the Working Group had expressly allotted time at its next session to consider a legal business form that had proven successful in a State (A/CN.9/866, para. 90), and that the Working Group had tentatively agreed at an earlier session to include a discussion in its further work of alternative legislative models for micro and small businesses that provided for the segregation of business assets from personal assets without requiring the creation of an entity with legal personality (A/CN.9/831, para. 20).还满意地注意到,工作组已明确分配下届会议的时间用于审议在某一国家已证明行之有效的法定企业形式(A/CN.9/866,第90段),还注意到工作组在早先一届会议上暂时商定,在其进一步工作中讨论小微企业的备选立法模式,此类模式规定将企业财产与个人财产分开而不要求创建具有法律人格的实体(A/CN.9/831,第20段)。
224. After discussion, the Commission commended the Working Group for the progress that was being made on the two topics as reported above, and States were encouraged to ensure that their delegations included experts on business registration so as to facilitate work on that topic.224. 经过讨论,委员会对上文所报告的工作组在这两个议题上取得的进展表示赞许,鼓励各国确保其代表团包括企业登记方面的专家,以便利就此议题开展工作。
It noted that, consistent with the principles contained in General Assembly resolutions on the work of UNCITRAL, the legislative texts resulting from the current work of the Working Group on those two topics should be published, including electronically, and in the six official languages of the United Nations, and be disseminated broadly to Governments and other interested bodies.委员会指出,按照大会关于贸易法委员会工作的各项决议所载原则,工作组目前关于这两个议题的工作所产生的立法案文应予发布,包括以电子方式、用联合国六种正式语文发布,并向各国政府及其他有关机构广泛传播。
VII. Consideration of issues in the area of electronic commerce七. 审议电子商务领域的问题
A. Progress report of Working Group IVA. 第四工作组进度报告
225. The Commission recalled that at its forty-fourth session, in 2011, it had mandated Working Group IV (Electronic Commerce) to undertake work in the field of electronic transferable records and that the work had progressed in the preparation of a draft Model Law on Electronic Transferable Records.225. 委员会回顾,委员会2011年第四十四届会议授权第四工作组(电子商务)开展电子可转让记录领域的工作,拟订电子可转让记录示范法草案的工作已经取得进展。
226. At its current session, the Commission had before it reports of the Working Group on its fifty-second session (A/CN.9/863), held in Vienna from 9 to 13 November 2015, and fifty-third session (A/CN.9/869), held in New York from 9 to 13 May 2016.226. 本届会议上,委员会收到了工作组2015年11月9日至13日在维也纳举行的第五十二届会议的报告(A/CN.9/863),以及2016年5月9日至13日在纽约举行的第五十三届会议的报告(A/CN.9/869)。
It was noted that the draft Model Law on Electronic Transferable Records focused on domestic aspects of the use of electronic transferable records equivalent to paper-based transferable documents or instruments, and that international aspects of the use of those records, as well as the use of transferable records existing only in electronic form, would be addressed at a later stage.会上指出,电子可转让记录示范法草案的侧重点是与纸质可转让单证或票据等同的电子可转让记录使用的国内方面,以后阶段将涉及这些记录使用的国际方面以及仅以电子形式存在的可转让记录的使用。
The Commission was informed that, given the advanced stage of preparation, it was expected that the draft Model Law with an explanatory note would be submitted for adoption at its fiftieth session, in 2017.委员会获知,鉴于拟订工作已进入高级阶段,可望提交附带解释说明的示范法草案,供委员会2017年第五十届会议通过。
227. The Commission expressed its appreciation to the Working Group for the progress made and commended the Secretariat for its work.227. 委员会对工作组所取得的进展表示赞赏并称赞了秘书处所做的工作。
The Commission requested the Secretariat to reflect in its publication programme and take any other measures to ensure future publication of the final text of the UNCITRAL Model Law on Electronic Transferable Records with an explanatory note, expected to be adopted at the Commission’s fiftieth session, including electronically and in the six official languages of the United Nations, and to disseminate it broadly to Governments and other interested bodies.委员会请秘书处在其出版物方案中反映此项决定,并采取其他任何措施,确保今后以联合国六种正式语文发布可望在委员会第五十届会议上通过附解释说明的《电子可转让记录示范法》最终案文,包括以电子方式发布,并向各国政府及其他有关机构广泛发布该示范法。
B. Future work in the area of electronic commerceB. 今后在电子商务领域可能开展的工作
228. The Commission recalled that at its forty-eighth session, in 2015, it had instructed the Secretariat to conduct preparatory work on identity management and trust services, cloud computing and mobile commerce, including through the organization of colloquia and expert group meetings, for future discussion at the Working Group level following the current work on electronic transferable records.228. 委员会回顾,委员会2015年第四十八届会议指示秘书处就身份管理和信任服务、云计算和移动商务进行准备工作,包括举办学术讨论会和专家组会议,以便在完成当前关于电子可转让记录的工作之后在工作组一级开展进一步讨论。
229. Accordingly, the Commission had before it a note by the Secretariat on legal issues related to identity management and trust services (A/CN.9/891) summarising the discussions during the UNCITRAL Colloquium on Legal Issues Related to Identity Management and Trust Services held in Vienna on 21 and 22 April 2016 and complemented by other material.229. 因此,委员会收到了秘书处关于与身份管理和信任服务有关的法律问题的说明(A/CN.9/891),其中概述了2016年4月21日和22日在维也纳举行的贸易法委员会关于身份管理和信任服务所涉法律问题专题讨论会期间的讨论情况以及其他补充材料。
The Commission was also informed that work on contractual aspects of cloud computing had started at the expert level on the basis of a proposal (A/CN.9/856) submitted at the forty-eighth session of the Commission, in 2015.委员会还获知,根据委员会2015年第四十八届会议上提交的一项建议(A/CN.9/856),已经在专家一级启动关于云计算所涉合同问题的工作。
230. In light of such progress, it was noted that the Working Group could commence consideration of legal issues relating to the use of identity management and trust services and of cloud computing upon completion of its work on the draft Model Law on Electronic Transferable Records, in line with the decision made by the Commission at its forty-eighth session, in 2015.230. 鉴于这些进展,会上指出,根据委员会2015年第四十八届会议作出的决定,工作组可以在完成其关于电子可转让记录示范法草案的工作之后,开始审议与使用身份管理和信任服务有关的法律问题以及云计算问题。
231. In that context, preference was expressed for work to commence on legal issues relating to cloud computing based on preparatory work already conducted.231. 在这方面,会上表示倾向于在已经进行的准备工作的基础上开始进行关于云计算所涉法律问题的工作。
However, the view was also expressed that additional preparatory work was necessary, which should aim at compiling relevant information.但是,还有意见认为,有必要进行进一步的准备工作,其着眼点应当是汇集相关信息。
In response to a question about the possible means for conducting preparatory work, the Commission was informed that the Secretariat would undertake a wide range of informal consultations with experts and related organizations, including possibly through the organization of a meeting of experts.在答复关于准备工作可能采取的方式的问题时,委员会获知,秘书处将与专家及相关组织进行广泛的非正式协商,包括在可能情况下举办一次专家会议。
States and other concerned entities were invited to share with the Secretariat expertise and other resources useful for that initiative with a view to ensuring regional representation.委员会请各国及其他相关实体与秘书处分享对这一倡议有益的专门知识及其他资源,以期确保区域机构的参与。
232. Preference was also expressed for work to commence on identity management and trust services, as that topic continuously arose during the preparation of the draft Model Law on Electronic Transferable Records, was of general significance in electronic transactions, and could build on the results of the Colloquium (see para. 229 above).232. 会上还表示倾向于开始进行关于身份管理和信任服务的工作,因为这一主题在拟订电子可转让记录示范法草案期间不断出现,在电子交易中具有普遍意义,并且能够巩固专题讨论会(见上文第229段)所取得的成果。
It was mentioned that preparatory work on that topic should involve assessment of existing legal frameworks, which might eventually lead to the identification of a specific subtopic(s), which the Working Group might focus its work.会上提到,关于这一主题的准备工作应当包括对现行法律框架的评价,最后可能由此确定一个或若干个具体分主题,可供工作组作为其工作重点。
In that context, a suggestion was made that the Secretariat might consider circulating a questionnaire to seek inputs from States on the existing domestic legislative framework on identity management and trust services.在这方面提出的一项建议是,秘书处可以考虑分发一份调查问卷,就身份管理和信任服务方面的现行国内立法框架向各国征集信息。
233. During the discussion, a view was expressed that the topics of “identity management” and “trust services” should be distinguished and that focus of the work should be on the former, as it was the subject of legislative efforts by a number of States.233. 讨论期间提出的一种看法是,“身份管理”主题和“信任服务”主题应当区别对待,工作侧重点应为前者,因为这是一些国家所进行的立法工作的主题。
Furthermore, it was mentioned that work on trust services should be deferred until further assessment was made.此外,会上提到,关于信任服务的工作应当延后到作出进一步评价。
234. While comments were made that work on the identity management and trust services could touch upon or take into account issues concerning privacy in electronic communications, it was generally felt that caution should be exercised in dealing with such issues, which did not necessarily fall within the overall mandate of the Commission.234. 虽然会上评论说关于身份管理和信任服务的工作可以涉及或者考虑到与电子通信隐私有关的问题,但普遍认为处理此种问题应当力行谨慎,因为这些问题不一定属于委员会的全面任务授权范围。
235. After discussion, it was agreed that priority should be given to completing the preparation of the draft Model Law on Electronic Transferable Records and the accompanying explanatory note, so that they could be finalized and adopted by the Commission at its next session.235. 经过讨论,会上一致认为,应当优先考虑完成电子可转让记录示范法草案及所附解释说明的拟订工作,以便由委员会下届会议最后审定并通过。
It was generally felt that the topics of identity management and trust services as well as of cloud computing should be retained on the work agenda and that it would be premature to prioritize between the two topics.普遍认为,身份管理和信任服务主题以及云计算主题都应放在工作议程上保留,确定这两个主题孰先孰后尚不成熟。
The Commission confirmed its decision that the Working Group could take up work on those topics upon completion of the work on the Model Law on Electronic Transferable Records.委员会确认了下述决定,即工作组可以在完成关于电子可转让记录示范法的工作之后着手进行关于这两个主题的工作。
In that context, the Secretariat, within its existing resources, and the Working Group were asked to continue to update and conduct preparatory work on the two topics including their feasibility in parallel and in a flexible manner and report back to the Commission so that it could make an informed decision at a future session, including the priority to be given to each topic.为此,委员会请秘书处在现有资源范围内,同时也请工作组继续增补并进行关于这两个主题的准备工作,包括这两个主题的工作以灵活方式并行展开的可行性,并向委员会提出报告,使委员会能够在今后一届会议上就包括确定每个主题优先顺序在内的问题作出知情决定。
In that context, it was mentioned that priority should be based on practical needs rather than on how interesting the topic was or the feasibility of work.在这方面,会上提到,应当根据实际需要确定优先顺序,而不是根据某个主题多么令人感兴趣或者根据工作可行性来决定优先顺序。
236. Having mandated work in the fields of identity management and trust services and of cloud computing, the Commission requested the Secretariat to reflect that decision in its publications programme and take any other measures to ensure future publication of any final text resulting from that work, including electronically and in the six official languages of the United Nations.236. 在授权进行身份管理和信任服务以及云计算领域的工作之后,委员会请秘书处在其出版物方案中反映此项决定,并采取其他任何措施确保今后以联合国六种正式语文发布此项工作所产生的任何最后案文,包括以电子方式发布。
237. During its deliberation of future work, the Commission was informed of legislative developments based on UNCITRAL texts on electronic commerce, which could provide guidance to the current and future work of Working Group IV, especially with respect to certain aspects of interoperability.237. 在对今后工作进行审议的过程中,委员会了解到根据贸易法委员会电子商务方面法规开展立法工作的情况,这有可能为第四工作组当前和今后的工作提供指导,特别是在互通性的某些问题方面。
In addition, the importance of technical assistance and capacity-building activities in the field of electronic commerce was highlighted.此外,会上强调了在电子商务领域开展技术援助和能力建设活动的重要性。
The Secretariat was requested to make robust and tangible efforts to expand such assistance for law reforms in that field, especially for developing countries.委员会请秘书处作出强有力的切实努力,特别为发展中国家而扩大对这一领域法律改革的此种援助。
C. Cooperation with UN/ESCAP in the field of paperless tradeC. 在无纸贸易领域与联合国/亚太经社会的合作
238. The Commission recalled that at its forty-fourth session, in 2011, it had welcomed the ongoing cooperation between the Secretariat and other organizations on legal issues relating to electronic single window facilities and had asked the Secretariat to contribute as appropriate.238. 委员会回顾,委员会2011年第四十四届会议欢迎秘书处与其他组织就电子单一窗口设施相关问题正在进行的合作,并请秘书处酌情作出贡献。
57
239. At the current session, the Commission was informed about ongoing work in the field of paperless trade, including legal aspects of electronic single window facilities, carried out in cooperation with the United Nations Economic and Social Commission for Asia and the Pacific (UN/ESCAP).239. 委员会在本届会议上了解到目前在无纸贸易领域中与联合国亚洲及太平洋经济社会委员会(联合国/亚太经社会)合作开展的工作,其中包括电子单一窗口设施所涉及的法律问题。
In particular, the Commission was informed that on 19 May 2016, UN/ESCAP, during its seventy-second session, adopted the “Framework Agreement on Facilitation of Cross-Border Paperless Trade in Asia and the Pacific” (the “Framework Agreement”).特别是,委员会了解到,2016年5月19日,联合国/亚太经社会在其第七十二届会议期间通过了《亚洲太平洋跨境无纸贸易便利化框架协定》(《框架协定》)。
It was noted that the Secretariat had participated in the preparation of the Framework Agreement from an early stage to ensure consistency with the principles embodied in UNCITRAL texts on electronic commerce.会上指出,秘书处从早期阶段就参与了《框架协定》的拟订工作,以确保与贸易法委员会电子商务方面法规所体现的原则一致。
240. The Commission took note that the objective of the Framework Agreement was to promote and facilitate cross-border electronic exchange of trade data and documents in line with a set of general principles, thus bridging the gap between cross-border trade facilitation and electronic commerce.240. 委员会注意到《框架协定》的目标是根据一套通用原则促进并便利贸易数据和文件的跨境电子互换,从而弥合跨境贸易便利化与电子商务之间的间隙。
It was further explained that the Framework Agreement was intended to complement the WTO Trade Facilitation Agreement and might also facilitate the implementation and harmonization of a growing number of bilateral and multilateral cross-border paperless trade initiatives in the Asia and Pacific region, including those regarding regional and subregional single windows.进一步解释说,《框架协定》意在补充世贸组织的《贸易便利化协定》,并且也有可能促进亚洲太平洋区域日渐增多的双边和多边跨境无纸贸易倡议的执行和协调统一,其中包括与区域和分区域单一窗口有关的倡议。
VIII. Insolvency law: progress report of Working Group V八. 破产法:第五工作组进度报告
241. The Commission had before it the reports of the Working Group on the work of its forty-eighth and forty-ninth sessions (A/CN.9/864 and A/CN.9/870, respectively) outlining progress on the three topics on its current work agenda:241. 委员会收到工作组第四十八届和第四十九届会议工作报告(分别为A/CN.9/864、A/CN.9/870),其中概述了工作组当前工作议程上三个主题的进展情况:
(a) Facilitating the cross-border insolvency of multinational enterprise groups, pursuant to a mandate given by the Commission at its forty-third session;(a) 便利跨国企业集团的跨国界破产,依据是委员会第四十三届会议赋予的一项任务授权;
(b) Obligations of directors of enterprise group companies in the period approaching insolvency, pursuant to a mandate given by the Commission at its forty-third session;(b) 企业集团公司的董事在临近破产期间所负义务,依据是委员会第四十三届会议赋予的一项任务授权;
and
(c) Recognition and enforcement of insolvency-related judgements, pursuant to a mandate given by the Commission at its forty-seventh session.(c) 承认和执行与破产有关的判决,依据是委员会第四十七届会议赋予的一项任务授权。
242. With respect to the work on enterprise groups, the Commission noted that the Working Group had agreed on a set of key principles to underpin its work and a structure for the draft text to be developed.242. 关于企业集团方面的工作,委员会注意到,工作组已经就其工作所依据的一套关键原则以及所要拟订案文草案的结构达成一致。
A first draft text consolidating the issues addressed by the key principles with articles on cooperation and coordination, facilitating the development and recognition of a group insolvency solution, and treatment of foreign claims in accordance with applicable law had been considered, enabling a more coherent and comprehensive draft text to be prepared for consideration at a future session.已经审议了第一稿案文草案,其中将关键原则所涉及的问题与关于合作与协调的条款、关于便利指定和承认集团破产解决办法的条款以及关于按适用法律处理外国债权的条款结合起来,这样就能够拟订出更加协调一致和全面的案文草案,供今后届会审议。
243. On the second topic of the obligations of directors of enterprise group companies in the period approaching insolvency, the Commission recalled that while the work was already well developed, it would not be referred to the Commission for finalization and approval until the work on enterprise group insolvency was sufficiently advanced to be able to ensure consistency of approach between the two texts.243. 关于第二个议题,即企业集团公司董事在临近破产期间所负义务,委员会回顾,虽然这项工作已经充分展开,但在关于企业集团破产的工作取得充分进展从而能够确保两个案文一致性之前,还不会将其提交委员会最后审定和核准。
244. With respect to the work on recognition and enforcement of insolvency-related judgements, the Commission noted with satisfaction the progress that had been made towards the development of a draft model law, as well as the steps that had been taken to facilitate close coordination with the Hague Conference on Private International Law, including attendance by the Secretariat at the recent Special Commission of June 2016 on the Recognition and Enforcement of Foreign Judgements.244. 关于承认和执行与破产有关的判决方面的工作,委员会满意地注意到制订示范法草案所取得的进展,以及为便利与海牙国际私法会议的密切协调而采取的步骤,包括秘书处出席特别委员会最近于2016年6月召开的关于承认和执行外国判决的会议。
That coordination has enabled progress on the Hague Conference’s judgements project to be taken into consideration in the draft model law being developed by the Working Group.由于这方面的协调,使得能够在工作组正在拟订的示范法草案中考虑到海牙会议判决书项目所取得的进展。
The Commission noted that the Hague Conference had prepared a document on UNCITRAL’s work on judgements and settlement agreements for the information of the Special Commission.委员会注意到,海牙会议编写了一份关于贸易法委员会在判决书和和解协议方面工作的文件,供特别委员会了解情况。
Stressing the importance of ensuring coordination with the work of the Hague Conference, the Commission encouraged the Secretariat to continue its efforts in that regard.委员会强调了与海牙会议工作保持协调的重要性,鼓励秘书处继续进行这方面的努力。
245. After discussion, the Commission commended the Working Group for the progress that was being made on the three topics on its current work agenda, as reported above (see para. 241).245. 讨论之后,委员会对工作组在上文(见第241段)所报告的工作组当前工作议程的三个主题上正在取得的进展表示赞许。
The Commission requested the Secretariat to reflect, in its publications programme, the decisions to mandate work on those topics and to take any other measures necessary to ensure future publication of final texts resulting from that work, including electronically and in the six official languages of the United Nations.委员会请秘书处在其出版物方案中反映授权进行关于这些主题的工作的决定,并采取其他任何必要措施,确保今后以联合国六种正式语文发布此项工作所产生的最后案文,包括以电子方式发布。
246. The Commission noted that the report of the Working Group’s forty-ninth session recommended the Commission clarify the mandate given at its forty-seventh session to Working Group V with respect to the insolvency of MSMEs.246. 委员会注意到,工作组第四十九届会议报告建议委员会澄清委员会第四十七届会议给第五工作组下达的与中小微企业破产有关的任务授权。
The Commission agreed that Working Group V is mandated to develop appropriate mechanisms and solutions, focusing on both natural and legal persons engaged in commercial activity, to resolve the insolvency of MSMEs.委员会一致同意,第五工作组的任务授权是制定适当的机制和解决办法,侧重于从事商业活动的自然人和法人,以解决中小微企业的破产问题。
While the key insolvency principles and the guidance provided by the UNCITRAL Legislative Guide on Insolvency Law should be the starting point for discussions, the Working Group should aim to tailor the mechanisms already provided in the Legislative Guide to specifically address MSMEs and develop new and simplified mechanisms as required, taking into account the need for those mechanisms to be equitable, fast, flexible and cost efficient.虽然关键的破产原则和《贸易法委员会破产法立法指南》提供的指导应当是讨论的起点,但工作组应当着眼于对《立法指南》中已提供的机制作出特别调整,以专门处理中小微企业问题,并根据需要制定新的简化机制,同时考虑到这些机制需要力求公正、快捷、灵活和节费。
The form the work might take should be decided at a later time based on the nature of the various solutions that were being developed.关于这项工作可能采取的形式,应当根据正在拟订的各种解决办法的性质以后再作决定。
会上提到,对何以构成中小微企业加以界定不无益处。
It was mentioned that the definition of what constituted an MSME would be helpful. 247. The Commission noted that the feasibility of developing a convention on international insolvency issues might continue to be studied informally by an ad hoc, open-ended group of interested participants on the basis of a list of issues prepared and distributed by the Secretariat.247. 委员会注意到,对于拟订一部国际破产问题公约的可行性,可能需要由一个由感兴趣参与者组成的特设开放小组根据秘书处编拟和分发的问题清单以非正式方式继续加以研究。
However, noting that the agenda of Working Group V was already rather full and that the Secretariat might have little time and few resources with which to conduct this informal work, the Commission agreed that that work should only be undertaken as and when the Secretariat was able to do so.但是,委员会注意到第五工作组的议程已经排满,秘书处可能也没有什么时间和资源来进行此项工作,因此商定,只应在秘书处有能力时开展此项工作。
IX. Technical assistance to law reform九. 法律改革技术援助
A. General discussionA. 一般性讨论
248. The Commission had before it a note by the Secretariat (A/CN.9/872) describing technical cooperation and assistance activities.248. 委员会收到秘书处介绍技术合作和援助活动的说明(A/CN.9/872)。
The Commission stressed the importance of such activities and expressed its appreciation for the related work undertaken by the Secretariat.委员会强调了这类活动的重要性,并赞赏秘书处开展的相关工作。
249. 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.249. 委员会注意到,能否继续响应各国和各区域组织对技术合作和援助活动的请求,取决于是否有资金支付相关费用。
The Commission further noted that, despite efforts by the Secretariat to solicit new donations, funds available in the UNCITRAL Trust Fund for Symposia were very limited.委员会进一步指出,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非常有限。
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,对于各种技术合作和援助活动请求仍需认真考虑,此类活动数量仍然有限,而且近来大多以费用分摊或无费用的方式进行。
The Commission 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,特别是更广泛动员各常驻代表团以及公共和私营部门其他潜在合作伙伴参与。
The Commission also encouraged the Secretariat to seek cooperation and partnership with international organizations, including through regional offices, and bilateral assistance providers in the provision of technical assistance, and appealed to all States, international organizations and other interested entities to facilitate such cooperation and take any other initiative to maximize the use of relevant UNCITRAL standards in law reform.委员会还鼓励秘书处在提供技术援助时争取包括通过区域办事处与各国际组织及双边援助提供者合作并建立伙伴关系,吁请所有国家、国际组织和其他相关实体为此种合作提供便利,并采取任何其他举措,以期在法律改革中最大限度地利用贸易法委员会相关标准。
250. The Commission welcomed the Secretariat’s efforts to expand cooperation with the Government of the Republic of Korea on the APEC Ease of Doing Business project in the area of enforcing contracts, to other areas and with other APEC member economies.250. 委员会欢迎秘书处作出努力,将与大韩民国政府在亚太经合组织营商便利项目执行合同领域的合作扩大到其他领域,并扩大与亚太经合组织其他成员经济体的合作。
Support was expressed for the Secretariat’s aim to cooperate more closely with APEC and its member economies to improve the business environment in the Asia-Pacific region and to promote UNCITRAL texts.会上支持秘书处着眼于与亚太经合组织及其成员经济体开展更密切的合作,以改善亚太区域的商业环境并推广贸易法委员会法规。
251. The Commission reiterated its appeal to all States, international organizations and other interested entities to consider making contributions to the UNCITRAL Trust Fund for Symposia, if possible in the form of multi-year contributions or as specific-purpose contributions, in order to facilitate planning and enable the Secretariat to meet the increasing number of requests from developing countries and countries with economies in transition for technical cooperation and assistance activities.251. 委员会再次吁请所有国家、国际组织和其他有关实体考虑向贸易法委员会专题讨论会信托基金提供捐款,可能的话采用多年期捐款形式,或提供专门用途捐款,以便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 the Governments of the Republic of Korea, and Indonesia for their contributions to the Trust Fund since the Commission’s forty-eighth session and to organizations that had contributed to the programme by providing funds or by hosting seminars.委员会对自委员会第四十八届会议以来向信托基金捐款的大韩民国政府和印度尼西亚政府表示感谢,并对通过提供经费或主办研讨会为该方案作出贡献的各组织表示感谢。
252. 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.252. 委员会吁请联合国系统各有关机关、组织、机构和个人对为向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进行自愿捐款。
The Commission expressed its appreciation to the Government of Austria for contributing to the UNCITRAL Trust Fund since the Commission’s forty-eighth session, thereby enabling travel assistance to be granted to developing countries that were members of UNCITRAL.委员会感谢奥地利政府自委员会第四十八届会议以来向贸易法委员会信托基金提供捐款,从而使得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。
253. With regard to the dissemination of information on UNCITRAL’s work and texts, the Commission noted the important role played by the UNCITRAL website (www.uncitral.org) and the UNCITRAL Law Library.253. 在传播贸易法委员会工作和法规相关信息方面,委员会注意到贸易法委员会网站(www.uncitral.org)和贸易法委员会法律图书馆发挥的重要作用。
254. The Commission welcomed the UNCITRAL Law Library’s inclusion on the UNCITRAL website of a new feature highlighting UNCITRAL’s role in supporting the Sustainable Development Goals.254. 委员会欢迎贸易法委员会法律图书馆在贸易法委员会网站上纳入了一项新的内容,突出强调贸易法委员会在支持可持续发展目标方面的作用。
The Commission recalled its request that the Secretariat continue to explore the development of new social media features on the UNCITRAL website as appropriate, noting that the development of such features in accordance with the applicable guidelines was also welcomed by the General Assembly.委员会忆及其请秘书处继续酌情探索在贸易法委员会网站上开发新的社交媒体功能,指出大会也欢迎按照适用的准则开发此种功能。
In this regard, the Commission noted with approval the continued development of the “What’s new at UNCITRAL? ” Tumblr microblog and the establishment of an UNCITRAL presence on LinkedIn.在这方面,委员会赞许地注意到对Tumblr网站微博“What’s new at UNCITRAL? ”的继续开发以及贸易法委员会在LinkedIn上开设的账户。
Finally, recalling the General Assembly resolutions commending the website’s six-language interface, the Commission requested the Secretariat to continue to provide, via the website, UNCITRAL texts, publications, and related information, in a timely manner and in the six official languages of the United Nations.最后,委员会忆及大会一些决议赞扬该网站使用了六种语文界面,请秘书处继续通过该网站,以联合国六种正式语文及时提供贸易法委员会法规、出版物和相关信息。
B. Consideration of a draft guidance note on strengthening United Nations support to States, upon their request, to implement sound commercial law reformsB. 审议关于加强联合国应请求支助各国落实健全商法改革的指导意见说明草案
255. The Commission recalled that, at its forty-eighth session, it considered a draft guidance note on strengthening United Nations support to States to implement sound commercial law reforms (A/CN.9/845).255. 委员会回顾其在第四十八届会议上审议了关于加强联合国支助各国落实健全商法改革的指导意见说明草案(A/CN.9/845)。
After consideration, it requested States to provide to its secretariat any suggestion for revision of the text.经过审议,委员会请各国就该案文的修订向秘书处提出建议。
It was agreed that the compilation of all comments received from States would be circulated by the Secretariat to all States together with a revised version of the text.会议商定,秘书处将把收到的各国评论汇编连同案文的修订版分发给所有国家。
It was understood that, if agreement of States on the revised text could be achieved before or during the consideration of the Commission’s report in the Sixth Committee of the General Assembly in 2015, the Sixth Committee itself might wish to endorse the text, so as to avoid delay in issuing the document.会议认为,如果在大会第六委员会2015年审议委员会报告之前或在此期间各国可就案文修订版达成一致意见,第六委员会自己不妨核可该案文,以避免延误该文件的印发。
Otherwise, the matter might need to be brought back to the Commission for consideration at its next session.否则,也许还需将此事提交委员会,以便其下届会议审议。
The Secretariat was requested, in revising the text, to follow closely the wording of General Assembly resolution 2205 (XXI) on the establishment of UNCITRAL and avoid embarking into areas not directly linked to the UNCITRAL mandate.请秘书处在修订该案文时严格遵守关于设立贸易法委员会的大会第2205 (XXI)号决议的措词,避免涉足与贸易法委员会任务授权没有直接关系的领域。
256. At its current session, the Commission took note of steps taken by the Secretariat to implement the above-referred decisions of the Commission.256. 委员会在本届会议上注意到秘书处为执行委员会的上述决定所采取的步骤。
The Commission was also informed about statements made by States in the Sixth Committee on the subject and the results of informal consultations held in that body on the draft.委员会还获知各国在第六委员会就此主题所做的发言及该委员会就此草案所举行的非正式磋商的结果。
The Commission also took note of paragraph 6 (e) of General Assembly resolution 70/115 on the report of UNCITRAL on the work of its forty-eighth session, by which the General Assembly recalled its resolutions stressing the need to strengthen support to Member States, upon their request, in the domestic implementation of their respective international obligations through enhanced technical assistance and capacity-building, welcomed the efforts of the Secretary-General to ensure greater coordination and coherence among United Nations entities and with donors and recipients, and took note of the ongoing discussion in the Commission of ways to strengthen support to Member States, upon their request, in the implementation of sound commercial law reforms.委员会还注意到大会关于贸易法委员会第四十八届会议工作报告的第70/115号决议第6(e)段,其中,大会回顾其相关决议强调在应会员国请求时必须通过加强技术援助和能力建设来加大力度支持会员国在国内履行各自国际义务,欣见秘书长为确保加强联合国各实体之间以及与捐助方和受援国的协调和统一而作出努力,并注意到委员会正在讨论如何在应会员国请求时加大力度支持它们实施健全的商法改革。
It was noted that the objective was to assist States but in no way to impose on States the adoption of the guidance note.会上指出,目的是协助各国,但决不能强行要求各国通过指导意见说明。
257.
At the session, the Commission had before it: (a) the compilation of comments by States received by the Secretariat on document A/CN.9/845 in response to a note verbale circulated by the Secretariat to States on 21 July 2015 (A/CN.9/882, section II); (b) a comment by a State (transmitted to the Secretariat in a note verbale of 23 October 2015) on a version of the guidance note prepared pursuant to those comments and circulated to States by the Secretariat in a note verbale of 8 October 2015 (the 8 October 2015 version) (A/CN.9/882, section III); (c) a draft guidance note on strengthening United Nations support to States, upon their request, to implement sound commercial law reforms, prepared pursuant to consultations held in the Sixth Committee, and comments received from States, on the 8 October 2015 version (A/CN.9/883); and (d) a comment by a State (transmitted to the Secretariat in a note verbale of 20 June 2016) on the draft guidance note contained in document A/CN.9/883 (A/CN.9/882/Add.1).257. 委员会本届会议收到了:(a)秘书处收到的各国为响应秘书处2015年7月21日发给各国的普通照会而就A/CN.9/845号文件发表的评论汇编(A/CN.9/882,第二节);(b)某国对秘书处根据这些评论拟订并在2015年10月8日普通照会中发给各国的指导意见说明修订版(2015年10月8日版本)发表的评论(在2015年10月23日普通照会中转交了秘书处)(A/CN.9/882,第三节);(c)根据第六委员会举行的磋商结果以及从各国收到的对2015年10月8日版本发表的评论拟订的关于加强联合国应请求支助各国落实健全商法改革的指导意见说明草案(A/CN.9/883),(d)某国对A/CN.9/883号文件所载指导意见说明草案的评论(在2016年6月20日普通照会中转交了秘书处)(A/CN.9/882/Add.1)。
258. The Commission considered the draft guidance note contained in document A/CN.9/883 together with the comment received from one State on that draft and the comments received from States on the earlier versions of the draft guidance note.258. 委员会审议了A/CN.9/883号文件所载指导意见说明草案、某国对该草案的评论以及各国对指导意见说明草案早期版本的评论。
As regards document A/CN.9/882/Add.1, the delegation author of the comment contained in that document requested the Secretariat to issue a corrigendum to the English and other language versions of that document containing the words “incl. the word ‘rule-based’” to the effect that those words would be deleted. It also requested that, in the Russian version of document A/CN.9/883, the phrase “основанные на верховенстве права коммерческие отношения” in the first sentence of paragraph 9, the phrase “основанных на верховенстве права коммерческих отношений и международной торговли” in the first sentence of paragraph 19, and the phrase “коммерческих отношений, основанных на верховенстве права” in the first sentence of paragraph 22, be redrafted.至于A/CN.9/882/Add.1号文件,该文件所载评论的代表团作者请秘书处印发该文件英文及其他载有“包括‘基于规则的’一语”的语文版本的更正,删除那一用语,还请改写A/CN.9/883号文件俄文版本第9段第一句中的“основанные на верховенстве права коммерческие отношения”、第19段第一句中的“основанных на верховенстве права коммерческих отношений и международной торговли”以及第22段第一句中的“коммерческих отношений, основанных на верховенстве права”。
References to the rule of law (“верховенствo права”) in those phrases were found inappropriate.这几处对法治(“верховенствo права”)的提法不当。
A more appropriate term in Russian for the term “rule-based” used in the English version of document A/CN.9/883 in those instances would be “основанных на правилaх”.A/CN.9/883号文件英文版本中这几处对应词语为“rule-based”,俄文更恰当的相应表述应为“основанных на правилaх”。
That other term should be used in the final text of the guidance note in all instances where the English text refers to the rule-based commercial relations and international trade.在指导意见说明的最终版本中,凡英文表述为“the rule-based commercial relations and international trade”的地方,均应采用前文所述的另一表述。
259. Concerns were expressed about the proposal to remove the phrase “and respect for the rule of law” in the second sentence of paragraph 9.259. 对于删除第9段第二句“和尊重法治”一语的建议,会上表示关切。
After discussion, the Commission agreed to replace the phrase “the respect for the rule of law” with the phrase “respect for legality/rule-based order” to make it closer to the French version of the text, with the consequential deletion of footnote 5.经过讨论,委员会一致同意用“尊重合法性/基于规则的秩序”替换“尊重法治”一语,使其更贴近法文版本,并相应地删除脚注5。
The Commission also emphasized the need to pay particular attention to consistency between the various linguistic versions of the guidance note when finalizing the text.委员会还强调,在案文最终定稿时,需要特别注意保持各语文版本的一致性。
260. The Commission agreed that the footnotes should be removed from the final text of the guidance note except for those intended to guide users of the guidance note to UNCITRAL instruments, online resources and other essential information (footnotes 13 and 15 to 25).260. 委员会一致同意,指导意见说明的最终案文应删除脚注,但旨在向指导意见说明用户介绍贸易法委员会文书、在线资源和其他重要信息的脚注除外(脚注13及脚注15至25)。
261. As regards the annex and paragraph 12 referring to the checklist of illustrative indicators, the Commission heard a proposal that the annex should not be part of the guidance note and no references thereto should be made in the guidance note.261. 关于提到示例性指标清单的附件和第12段,委员会听取的建议是,该附件不应成为指导意见说明的一部分,也不应在其中提及。
The Commission agreed to that proposal on the understanding that, while not being appended to the guidance note as a policy document, the annex should be used at working level, as an internal document of the UNCITRAL secretariat, when needed in the negotiation of specific projects with relevant stakeholders, donors and possible partners of UNCITRAL in technical cooperation and assistance projects.委员会同意这一建议,但又一项理解是,附件虽然不作为政策文件随附于指导意见说明,但是,如果在与贸易法委员会技术合作和援助项目的相关利益攸关方、捐助者和潜在合作伙伴谈判特定项目时需要,可以将其作为贸易法委员会秘书处的内部文件在工作层面使用。
262. Subject to the above-mentioned changes, the Commission endorsed the text of the draft guidance note contained in document A/CN.9/883 and requested the Secretary-General to finalize it in the light of deliberations at the current session, and to circulate the final text as broadly as possible to its intended users.262. 在作出上述修改的前提下,委员会核可了A/CN.9/883号文件所载指导意见说明草案案文,并请秘书长考虑本届会议的审议结果而予以审定,然后将最终案文尽可能广泛地分发给目标用户。
X. Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts十. 促进可确保贸易法委员会法规统一解释和适用的方式方法
263. The Commission considered document A/CN.9/873 “Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts”, which provided information on the current status of the CLOUT system and of the digests of case law relating to the United Nations Sales Convention and the UNCITRAL Model Law on International Commercial Arbitration (the Model Law on Arbitration).263. 委员会审议了A/CN.9/873号文件,即“促进可确保贸易法委员会法规统一解释和适用的方式方法”,其中介绍了法规判例法系统的现状以及《销售公约》和《国际商事仲裁示范法》(《仲裁示范法》)相关判例法摘要集的现状。
264. The Commission expressed its continuing belief that the system of CLOUT and the digests are an important tool for promoting uniform interpretation of the law relating to UNCITRAL texts and noted with appreciation the increasing number of UNCITRAL legal texts that are currently represented in CLOUT.264. 委员会表示仍然认为法规判例法系统和摘要集是促进贸易法委员会法规统一解释的一个重要工具,并赞赏地注意到目前法规判例法系统所涉及的贸易法委员会法规数量越来越多。
As at 9 May 2016 (date of A/CN.9/873), 166 issues of compiled case-law abstracts had been prepared, dealing with 1,551 cases.截至2016年5月9日(A/CN.9/873号文件的日期),已编写166期判例法摘要汇编,涉及1,551个判例。
The cases related to the following legislative texts:这些判例涉及以下法规:
- The New York Convention- 《纽约公约》
- Convention on the Limitation Period in the International Sale of Goods (New York, 1974) and Convention on the Limitation Period in the International Sale of Goods as amended by the Protocol of 11 April 1980 (Vienna)- 《国际货物销售时效期限公约》(1974年)和经1980年4月11日《议定书》修正的《国际货物销售时效期公约》(维也纳)
- United Nations Convention on the Carriage of Goods by Sea (Hamburg, 1978)- 《联合国海上货物运输公约》(1978年,汉堡)
- United Nations Sales Convention- 《联合国销售公约》
- United Nations Convention on Independent Guarantees and Stand-by Letters of Credit (New York, 1995)- 《联合国独立担保和备用信用证公约》(1995年,纽约)
- United Nations Convention on the Use of Electronic Communications in International Contracts (New York, 2005)- 《联合国国际合同使用电子通信公约》(2005年,纽约)
- Model Law on Arbitration- 《仲裁示范法》
- UNCITRAL Model Law on International Credit Transfers (1992)- 《贸易法委员会国际信贷划拨示范法》(1992年)
- UNCITRAL Model Law on Electronic Commerce (1996)- 《贸易法委员会电子商务示范法》(1996年)
- UNCITRAL Model Law on Cross-Border Insolvency (1997)- 《贸易法委员会跨国界破产示范法》(1997年)
- UNCITRAL Model Law on Electronic Signatures (2001)- 《贸易法委员会电子签名示范法》(2001年)
265. The Commission took note that the majority of the abstracts published referred to Western European and other States, as indicated in a note by the Secretariat (A/CN.9/840) submitted to the Commission at its forty-eight session, in 2015.265. 委员会注意到,如提交委员会2015年第四十八届会议的秘书处说明(A/CN.9/840)所示,所出版的摘要大多涉及西欧和其他国家。
When compared with the figures provided in that note, a small increase in case law from Eastern European States and a small decrease in case law from African States could be noted.与该说明提供的数字相比,可以注意到来自东欧国家的判例法稍有提高,来自非洲国家的判例法略有下降。
As to the legislative texts reported in CLOUT, the United Nations Sales Convention and the Model Law on Arbitration were still the most represented in the system, although there was an increase of cases concerning the UNCITRAL Model Law on Cross-Border Insolvency and the New York Convention.至于法规判例法所报告的立法案文,《联合国销售公约》和《仲裁示范法》在该系统中的占比仍然最高,不过,涉及《贸易法委员会跨国界破产示范法》和《纽约公约》的判例有所增加。
266. The Commission was informed that eleven new national correspondents had been appointed in the period under review, two of whom replaced previous correspondents, and that the network of national correspondents was composed of 74 experts representing 35 countries.266. 委员会获悉,在审查所涉期间新任命了11名国家通讯员,其中两名取代原来的通讯员,国家通讯员网络由代表35个国家的74名专家组成。
The Commission was also informed that pursuant to a decision taken at its forty-second session, in 2009, the mandate of the current network of national correspondents would expire in 2017 and that States would be requested to appoint and/or reappoint their national correspondents.委员会还获悉,根据2009年第四十二届会议的一项决定,目前国家通讯员网络的任期将于2017年结束,请各国任命并(或)重新任命其国家通讯员。
The Commission noted that since the previous note of the Secretariat (A/CN.9/840), national correspondents had provided approximately 47 per cent of the abstracts published in CLOUT.委员会注意到,自秘书处提交上一份说明(A/CN.9/840)以来,国家通讯员提供的摘要约占法规判例法系统所出版摘要的47%。
This figure was consistent with the figure provided to the Commission at its forty-eighth session in 2015.该数字与提供给委员会2015年第四十八届会议的数字一致。
267. The Commission also heard a short account of the meeting of national correspondents, held in July 2015, at which participants encouraged the Secretariat to increase the UNCITRAL texts available in CLOUT and to initiate cooperation with organizations and institutions dealing with topics pertaining to those texts not yet included in the system so as to identify relevant case law.267. 委员会还听取了关于2015年7月举行的国家通讯员会议的简短介绍,在这次会议上,与会者鼓励秘书处增加法规判例法系统可查到的贸易法委员会法规,并着手与处理尚未纳入系统这些法规所涉议题的组织和机构开展合作,以查明相关的判例法。
268. The Commission commended the continued effort of its secretariat on the promotion of the digests and expressed its appreciation for the new round of updates of the digest of case law relating to the United Nations Sales Convention being finalized.268. 委员会赞扬秘书处继续努力推广摘要集,并表示赞赏正在最后完成对《联合国销售公约》所涉判例法摘要集的新一轮增订。
269. The Commission expressed its appreciation for the functioning of the upgraded CLOUT database and noted with particular interest the cooperation of its secretariat with the United Nations Volunteer programme to populate the database with the full text decisions of the abstracts published in previous years.269. 委员会表示赞赏经过升级的法规判例法数据库的运作,特别感兴趣地注意到秘书处与联合国志愿者方案合作,为该数据库输入前几年发布的摘要所涉各项决定的完整案文。
The Commission also noted with appreciation the performance of the website www.newyorkconvention1958.org (see para. 197 above), and the successful coordination between that website and the CLOUT system.委员会赞赏地注意到网站www.newyorkconvention1958.org的运行情况(见上文第197段),以及该网站与法规判例法系统之间的成功协调。
270. As in previous sessions, the Commission commended the Secretariat for the work on CLOUT, once again taking note of the resource-intensive nature of the system and acknowledging the need for further resources to sustain it.270. 同以往各届会议一样,委员会赞扬秘书处在法规判例法方面开展的工作,再次注意到该系统属于资源密集性质,并确认需要为维持这一系统提供进一步资源。
The Commission thus appealed to all States to assist the Secretariat in its search for available funding at the national level to ensure sustained operability of the system.为此,委员会吁请所有国家协助秘书处在国家一级寻找可用资金,以确保该系统能够持续运作。
XI.十一. 贸易法委员会法规的现状和促进
Status and promotion of UNCITRAL legal texts 271. 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.9/876).271. 委员会以秘书处的一份说明(A/CN.9/876)为基础审议了由委员会工作产生的各项公约和示范法的现状以及《纽约公约》的现状。
The Commission noted with appreciation the information on treaty actions and legislative enactments received since its forty-eighth session.委员会赞赏地注意到自其第四十八届会议以来收到的关于条约行动和立法颁布情况的信息。
272. The Commission also noted the following actions and legislative enactments made known to the Secretariat subsequent to the submission of the Secretariat’s note:272. 委员会还注意到在秘书处说明提交之后秘书处获悉的下述行动和立法颁布情况:
(a) the Mauritius Convention on Transparency — signature by the Netherlands (1 State party);(a) 《毛里求斯透明度公约》——荷兰签署(1个缔约国);
(b) the Model Law on Arbitration— enactment of the Model Law as amended in 2006 in Republic of Korea (2016);(b) 《仲裁示范法》——大韩民国颁布2006年修订的《示范法》(2016年);
(c) UNCITRAL Model Law on International Commercial Conciliation (2002) — enactment in Malaysia (2012).(c) 《贸易法委员会国际商事调解示范法》(2002年)——马来西亚颁布(2012年)。
273. Considering the broader impact of UNCITRAL’s texts, the Commission also took note of the bibliography of recent writings related to the work of UNCITRAL (A/CN.9/874) and the influence of UNCITRAL legislative guides, practice guides and contractual texts as described in academic and professional literature.273. 考虑到贸易法委员会法规的影响越来越广泛,委员会还注意到与贸易法委员会工作有关的最新著作目录(A/CN.9/874),以及学术文献和专业文献所描述的贸易法委员会立法指南、实务指南和合约性文本所产生的影响。
The Commission noted the importance of facilitating a comprehensive approach to the creation of the bibliography and the need to remain informed of activities of non-governmental organizations (NGOs) active in the field of international trade law.委员会注意到便利以综合做法建立著作目录的重要性,以及不断了解活跃于国际贸易法领域非政府组织活动的必要性。
In this regard, the Commission recalled and repeated its request that NGOs invited to the Commission’s annual session donate copies of their journals, reports and other publications to the UNCITRAL Law Library for review.在这方面,委员会回顾并重申其请求,即请受邀参加委员会年会的非政府组织向贸易法委员会法律图书馆捐赠其期刊、报告和其他出版物,以便进行审阅。
The Commission expressed appreciation to all NGOs that donated materials.委员会感谢捐赠材料的所有非政府组织。
The Commission noted, in particular, the addition of current and forthcoming issues of the following journals to the UNCITRAL Law Library collection: b-Arbitra (Belgian Centre for Arbitration and Mediation), Chinese Journal of Private International Law and Comparative Law (CSPIL), International Insolvency Review (INSOL International), Masaryk University Journal of Law and Technology (Institute of Law and Technology, Faculty of Law, Masaryk University), Ports & Harbors (International Association of Ports and Harbors), Revue de l’Arbitrage (Comité Français de l’Arbitrage), World SME News (World Association for Small and Medium Enterprises), and Wuhan University International Law Review (CSPIL).委员会注意到特别是贸易法委员会法律图书馆收藏中增添了下列期刊的本期刊物和即将发行的刊物:《b-Arbitra》(比利时仲裁与调解中心)、《中国国际私法与比较法年刊》(中国国际私法学会)、《国际破产评论》(国际破产从业员协会)、《马萨里克大学法律与技术期刊》(马萨里克大学法学院法律与技术研究所)、《港口与海港》(国际港埠协会)、《仲裁评论》(法国仲裁委员会)、《世界中小企业新闻》(世界中小企业协会)、《武汉大学国际法评论》(中国国际私法学会)。
XII. Coordination and cooperation十二. 协调与合作
A. GeneralA. 概述
274. The Commission had before it a note by the Secretariat (A/CN.9/875) providing information on the activities of international organizations active in the field of international trade law in which the Secretariat had participated since the last note to the Commission (A/CN.9/838).274. 委员会收到了秘书处的一份说明(A/CN.9/875),其中介绍了秘书处自上次向委员会提交说明(A/CN.9/838)以来参加的由活跃于国际贸易法领域的国际组织举办的活动。
The Commission expressed appreciation for the Secretariat engaging with a high number of organizations both within and outside the United Nations system.委员会对秘书处与联合国系统内外众多组织进行接触表示赞赏。
Among others, the Secretariat had participated in the activities of the following organizations: United Nations Conference on Trade and Development, United Nations Department of Economic and Social Affairs, United Nations Economic Commission for Europe, UNEP, UN/ESCAP, United Nations Inter-Agency Cluster on Trade and Productive Capacity, World Bank, APEC, Hague Conference on Private International Law, OECD, Unidroit and WTO.除其他外,秘书处参加了下列组织的活动:联合国贸易和发展会议、联合国经济和社会事务部、联合国欧洲经济委员会、环境规划署、亚太经社会、联合国机构间贸易和生产能力小组、世界银行、亚太经合组织、海牙国际私法会议、经合组织、统法协会、世界贸易组织。
275. By way of example of current efforts, the Commission took note with satisfaction of the coordination activities involving the Hague Conference on Private International Law and Unidroit as well as the activities on the rule of law in those areas of work of the United Nations and other entities that were of relevance for the work of UNCITRAL.275. 作为当前努力的例子,委员会满意地注意到涉及海牙国际私法会议和统法协会的协调活动,以及在联合国及其他实体与贸易法委员会工作有关的工作领域中开展的法治方面的活动。
276. The Commission also noted that the Secretariat participated in expert groups, working groups and plenary meetings with the purpose of sharing information and expertise and avoiding duplication of work in the resultant work products.276. 委员会还注意到秘书处参加了一些专家组、工作组和全体会议,目的是交换信息和专门知识并避免所产生的工作成果出现重复。
The Commission further observed that coordination work often involved travel to meetings of those organizations and the expenditure of funds allocated for official travel.委员会进一步注意到,协调工作经常涉及出差参加这些组织的会议以及为公务旅行拨付经费支出。
The Commission reiterated the importance of such work being undertaken by UNCITRAL as the core legal body in the United Nations system in the field of international trade law and supported the use of travel funds for that purpose.委员会重申贸易法委员会作为联合国系统在国际贸易法领域的核心法律机构开展此类工作的重要性,并支持为此目的使用差旅费。
277. As regards coordination activities with OECD, the Commission noted the importance of a joint project for the promotion of commercial arbitration and UNCITRAL transparency standards through the co-organization of an annual conference for a Euro-Mediterranean Community of International Arbitration followed by a publication of the conference proceedings.277. 关于与经合组织的协调活动,委员会注意到开展一个联合项目以促进商事仲裁和贸易法委员会透明度标准的重要性,具体做法是共同举办一次欧洲——地中海国际仲裁界年度会议,此后发布会议纪要。
It therefore requested the Secretariat to publish the conference proceedings, including electronically and to disseminate it broadly to any interested bodies.因此,委员会请秘书处发布会议纪要,包括以电子方式发布,并向任何相关机构广泛传播。
278. Reference was made to the “Joint proposal on cooperation in the area of international commercial contract law (with a focus on sales)” (A/CN.9/892).278. 会上提到“关于(以销售为重点)在国际商事合同法领域开展合作的联合建议”(A/CN.9/892)。
It was explained that in the last fifty years a number of international governmental and non-governmental organizations had made several significant contributions at the global and regional levels to the progressive unification and harmonization of contract law.解释说,过去五十年来,许多国际政府组织和非政府组织都在全球和区域级别为逐步协调和统一合同法作出了若干重要贡献。
It was added that those legislative efforts were largely complementary but that information on how they related to each other was not always readily available.还补充说,这些立法工作很大程度上互为补充,但其如何互动,这方面的信息并非总是易于得到的。
As a result, different stakeholders interested in adopting, applying or using that vast legislative corpus could face challenges in identifying the relevant texts and placing them in context.因此,那些想要通过、适用或使用这一庞大法律体系的不同利益攸关方可能会在查明相关案文并了解背景情况方面面临挑战。
279. Hence, it was indicated that the proposal aimed at facilitating orientation in the field of uniform contract law, with a focus on sales law, by compiling relevant texts and providing a short illustration thereof, including with respect to their relationship to other texts.279. 因此,会上表示,该建议的目的是以销售法为侧重点,通过汇编相关案文并提供简要说明,包括说明其与其他案文的关系,促进对统一合同法领域的推介。
Thus, it was explained, the resulting guidance text could significantly contribute to the coherent adoption, interpretation and use of uniform texts, and to strengthen their underlying principles, such as freedom of contract.因此,解释说,所产生的指导案文可大大有助于统一法规的一致通过、解释和使用,并加强其基本原则,如契约自由。
It was added that that exercise was intended to be carried out with the involvement of experts and within available resources and that work at the working group level was not envisaged in the near future.补充说,打算在有相关专家参与的情况下、利用现有资源开展此项工作,但未设想近期在工作组一级此开展工作。
280. It was recalled that the Council on General Affairs and Policy of the Hague Conference on Private International Law had welcomed the proposal and that the Governing Council of Unidroit had recommended to the General Assembly of Unidroit inclusion of the project in its Work Programme for the triennium 2017-2019.280. 会上回顾,海牙国际私法会议总务和政策理事会欢迎该建议,统法协会理事会建议统法协会大会将该项目纳入其2017-2019三年期工作方案。
281. After discussion, the Commission approved the “Joint proposal on cooperation in the area of international commercial contract law (with a focus on sales)” and asked the Secretariat to implement the Commission’s decision in coordination with the Hague Conference on Private International Law and with Unidroit and to report periodically on the progress of that work.281. 经过讨论,委员会核准了“关于(以销售为重点)在国际商事合同法领域开展合作的联合建议”,请秘书处与海牙国际私法会议和统法协会协调执行委员会的决定,并定期报告此项工作的进展情况。
282. Having mandated work in the area of international commercial contract law (with a focus on sales), the Commission requested the Secretariat to reflect that decision in its publications programme and take any other measures to ensure future publication of any final text resulting from that work, including electronically and in the six official languages of the United Nations.282. 在授权(以销售为重点)开展国际商事合同法领域的工作之后,委员会请秘书处在其出版物方案中反映此项决定,并采取任何其他措施,确保今后以联合国的六种正式语文发布这项工作所产生的任何最终案文,包括以电子方式发布。
B. Reports of other international organizationsB. 其他国际组织的报告
283. The Commission took note of statements made on behalf of the following international intergovernmental organizations: a summary of which is reported below.283. 委员会注意到代表下列国政府间际组织所作的发言,发言摘要见下文。
1.1. 统法协会
Unidroit 284. The Secretary-General of Unidroit reported on the main activities of Unidroit since the forty-eighth session of UNCITRAL, in 2015.284. 统法协会秘书长报告了统法协会自贸易法委员会2015年第四十八届会议以来开展的主要活动。
The Commission was in particular informed about the following:委员会尤其获悉了下列活动:
(a) Following the completion in 2015 of the UNIDROIT/FAO/IFAD Legal Guide on Contract Farming, developed in partnership with the Food and Agricultural Organization of the United Nations (FAO) and the International Fund for Agricultural Development (IFAD), Unidroit continued to cooperate with its partners in the promotion and implementation of that Guide;(a) 在2015年完成与联合国粮食及农业组织(粮农组织)和国际农业发展基金(农发基金)合作编写的统法协会/粮农组织/农发基金《契约农业法律指南》之后,统法协会继续与其协作伙伴合作推广和实施该《指南》;
(b) The Convention on International Interests in Mobile Equipment (“Cape Town Convention”) continued to attract new accessions, as well as the Aircraft Protocol and the Rail Protocol. The fourth session of the Space Protocol Preparatory Commission was held in December 2015, which approved the regulations for the international registry, as well as the draft Rules of Procedure for the Commission of Experts of the Supervisory Authority (CESAIR) in relation to the Protocol to the Convention on International Interests in Mobile Equipment on Matters Specific to Space Assets. Significant progress was also made on the possible fourth Protocol on matters specific to agricultural, mining and construction equipment, for which two very productive Study Group meetings were held in October 2015 and March 2016, with valuable involvement of UNCITRAL. The preliminary draft Protocol had been submitted to the Governing Council;(b) 《移动设备国际利益公约》(《开普敦公约》)继续吸引更多国家加入,《航空器议定书》和《铁路议定书》也是如此。《空间议定书》筹备委员会第四届会议于2015年12月举行,会议核准了国际登记处条例,以及《移动设备国际利益公约关于空间资产特定事项议定书》监督机构专家委员会议事规则草案。在可能的关于农业、采矿和建筑设备特定事项的第四项议定书方面也取得巨大进展,2015年10月和2016年3月为此举行了两次非常富有成效的研究组会议,贸易法委员会曾为此作出宝贵贡献。议定书草案初稿已提交理事会;
(c) The Governing Council, at its ninety-fifth session, approved the proposed amendments to the Principles of International Commercial Contracts, which aimed at addressing the special needs of long-term contracts and authorized the publication of a new edition, to be known as the “2016 UNIDROIT Principles of International Commercial Contracts”;(c) 理事会第九十五届会议核准了着眼于处理长期合同特殊需要的《国际商事合同通则》拟议修正案,并授权发布新的版本,称作“2016年统法协会《国际商事合同通则》”;
(d) Unidroit was continuing to work with the European Law Institute to adapt the American Law Institute (ALI)/Unidroit Principles of Transnational Civil Procedure (2004) with a view to drafting Europe-specific regional rules;(d) 统法协会还继续与欧洲法律研究所合作,改编美国法学会/统法协会《跨国民事诉讼程序原则》(2004年),以期拟订专门针对欧洲的区域规则;
(e) The Committee on Emerging Markets Issues, Follow-up and Implementation, established to assist with the promotion and implementation of the Unidroit Convention on Substantive Rules for Intermediated Securities (Geneva Convention), was expected to submit the draft Legislative Guide on Principles and Rules capable of enhancing trading in securities in emerging markets in autumn 2016;(e) 为协助推广和实施《统法协会中介证券实体规则公约》(《日内瓦公约》)而设立的新兴市场问题、后续工作和实施情况委员会预期将于2016年下半年提交可实现加强新兴市场证券交易的原则和规则立法指南草案;
(f) The Governing Council of Unidroit, at its ninety-fifth session, considered the draft Triennial Work Programme for the 2017-2019 period. Among the projects that the Governing Council agreed to recommend for adoption by the Unidroit General Assembly at its seventy-fifth session were the preparation of a guidance document on existing texts in the area of international sales law in cooperation with the Commission and the Hague Conference on Private International Law (see also para. 280 above) and a new project to be carried out in cooperation with the Rome-based organizations relating to land investment contracts. It was noted that in considering the work programme, careful consideration was given to avoid any conflict or overlaps with the work of other organizations, in particular the Commission;(f) 统法协会理事会第九十五届会议审议了2017-2019三年期工作方案草案。在理事会商定建议统法协会第七十五届会议通过的项目中,有与贸易法委员会和海牙国际私法会议合作编拟关于国际销售法领域现有案文指导文件(另见上文第280段),以及拟与设在罗马的组织合作开展的与土地投资合同有关的新项目。注意到在审议该工作方案时,曾认真考虑避免与其他组织尤其是贸易法委员会的工作有任何冲突或重叠;
(g) A series of international conferences and lectures were being held to celebrate the ninetieth anniversary of Unidroit.(g) 举办一系列国际会议和演讲,庆祝统法协会九十周年。
2. The Hague Conference on Private International Law2. 海牙国际私法会议
285. A representative of the Permanent Bureau expressed appreciation for the continuing cooperation between The Hague Conference, Unidroit and UNCITRAL on a number of different projects.285. 常设局的代表对海牙会议、统法协会和贸易法委员会之间在几个不同项目上持续合作表示赞赏。
It was noted that, in the context of such cooperation, The Hague Conference had on various occasions shared its expertise in projects of private international law of common interest to the three organizations, and that it was ready to further contribute to other similar projects in the future.会上指出,在这种合作中,海牙会议通过多种机会在三个组织共同感兴趣的国际私法项目中分享了其专长,海牙会议愿意将来为其他类似项目作出进一步贡献。
It was also requested that the Secretariat also take part in projects being conducted by the Hague Conference to provide valuable input.还请秘书处也参与海牙会议正在开展的项目,以提供宝贵的投入。
C. International governmental and non-governmental organizations invited to sessions of UNCITRALC. 获邀参加贸易法委员会届会的国际政府组织和非政府组织
286. At its current session, the Commission recalled that, at its forty-third session, in 2010, it had adopted the summary of conclusions on UNCITRAL rules of procedure and methods of work.286. 在本届会议上,委员会回顾其2010年第四十三届会议通过了关于贸易法委员会议事规则和工作方法的结论概要。
In paragraph 9 of the summary, the Commission had decided to draw up and update as necessary a list of international organizations and NGOs that had been invited to sessions of the Commission.在概要第9段,委员会决定编拟并在必要情况下更新获邀参加委员会届会的国际组织和非政府组织的名单。
The Commission also recalled that since that session the Secretariat had been reporting to the Commission annually about organizations added to the list.委员会还回顾,自该届会议以来,秘书处每年向委员会通报名单上新增的组织。
The Commission also recalled that, at its forty-eighth session, in 2015, it requested the Secretariat, when presenting its oral report on new organizations invited to sessions of UNCITRAL, to provide comments on the manner in which newly invited organizations fulfilled the criteria applied by the Secretariat in making its decision to invite new NGOs.委员会还回顾,其2015年第四十八届会议请秘书处在就获邀参加贸易法委员会届会的新的组织作口头报告时,解释新近获邀的组织如何满足秘书处在决定邀请非政府组织时所适用的标准。
287.
The Commission took note that since its forty-eighth session, in 2015, the following organizations had been added in the list of NGOs invited to sessions of UNCITRAL: ArbitralWomen; European Commerce Registers’ Forum; Florence International Mediation Chamber (FIMC); GSM Association (GSMA);287. 委员会注意到,自其2015年第四十八届会议以来,获邀参加贸易法委员会的非政府组织名单上增添了下列组织:妇女仲裁机构;欧洲商业登记处论坛;佛罗伦萨国际调解协会;GSM协会;国际调解员学院;白俄罗斯工商会国际仲裁法院。
International Academy of Mediators (IAM);
and International Arbitration Court of the Belarusian Chamber of Commerce and Industry (IAC).
One organization, the Commonwealth Association of Law Reform Agencies (CALRAs), was removed from the list upon their request received by the Secretariat on 23 May 2016.根据秘书处于2016年5月23日收到的请求,从名单中去掉了一个组织即英联邦法律改革机构协会。
The Commission noted reasons for the Secretariat’s decision to invite those additional NGOs to sessions of UNCITRAL and its working groups.委员会注意到秘书处决定邀请这些新增的非政府组织参加贸易法委员会及其工作组届会的理由。
It also heard information about NGOs whose requests to be invited to sessions of UNCITRAL and its working groups were rejected and reasons for the rejection.委员会还听取了那些获邀参加贸易法委员会及其工作组届会的请求被拒绝的非政府组织的情况以及拒绝的理由。
288. The Commission also took note that since its forty-eighth session, in 2015, the Caribbean Court of Justice (CCJ), upon its request to the Secretariat of 22 December 2015, was added in the list of intergovernmental organizations invited to sessions of UNCITRAL and its working groups.288. 委员会还注意到,自2015年第四十八届会议以来,加勒比法院在2015年12月22日向秘书处提出请求之后,被添加到获邀参加贸易法委员会及其工作组届会的政府间组织名单。
Other changes made by the Secretariat to the lists of intergovernmental and non-governmental organizations invited to sessions of UNCITRAL and its working groups were editorial, reflecting mainly amendments in the names of the organizations and their acronyms.秘书处对获邀参加贸易法委员会及其工作组届会的政府间组织和非政府组织名单所作的其他改动属于编辑方面的改动,主要反映了组织名称及其缩写的修改。
289. The Commission also took note that, pursuant to General Assembly resolutions 68/106 and 69/115 (para. 8 in both resolutions) and 70/115 (para. 7), all States and invited organizations were reminded, when they were invited to UNCITRAL sessions, about rules of procedure and work methods of UNCITRAL.289. 委员会还注意到,根据大会第68/106和69/115号决议(这两项决议的第8段)以及第70/115号决议(第7段),所有国家和获邀组织在被邀请参加贸易法委员会届会时,都被提醒注意贸易法委员会的议事规则和工作方法。
Such a reminder is effectuated by inclusion in invitations issued to them of a reference to a dedicated web page of the UNCITRAL website where main official documents of UNCITRAL pertaining to its rules of procedure and work methods could be easily accessed.提醒的办法是在向各国家和组织发送的邀请函中提及贸易法委员会网站上的一个专门网页,可在该网页上轻松查阅关于贸易法委员会议事规则和工作方法的主要正式文件。
290. The Commission welcomed the detailed and informative report of the Secretariat presented pursuant to its request at its forty-eighth session, in 2015 (see para. 286 above).290. 委员会欢迎秘书处根据其2015年第四十八届会议的请求提交的详细的说明性报告(见上文第286段)。
It endorsed the decisions of the Secretariat as regards acceptance of new NGOs.委员会核可秘书处关于接受新的非政府组织的决定。
XIII. UNCITRAL regional presence十三. 贸易法委员会的区域存在
291. The Commission had before it a note by the Secretariat on the activities undertaken by its Regional Centre for Asia and the Pacific (“the Regional Centre”) (A/CN.9/877) and heard an oral report by the head of the Regional Centre.291. 委员会收到了秘书处关于亚洲及太平洋区域中心(“区域中心”)所开展活动的说明(A/CN.9/877),并听取了区域中心主任的口头报告。
292. The Commission recognized the tangible progress made, as a result of the regional activities of the Secretariat, in the levels of awareness, adoption and implementation of harmonized and modern international trade law standards, in particular those elaborated by UNCITRAL, and emphasized the growing significance of the Regional Centre in increasing regional contributions to the work of UNCITRAL.292. 委员会认识到由于秘书处开展的区域活动而在对于统一的现代国际贸易法标准,特别是对于贸易法委员会所拟订标准的了解、通过和执行程度方面所取得的切实进展,并强调了区域中心在增进该区域对于贸易法委员会工作的贡献方面发挥的越来越显著的作用。
293.
Strong support was expressed for the various activities undertaken by the Secretariat, which were aimed at: (a) providing capacity-building and technical assistance services to States in the Asia-Pacific region, including to international and regional organizations, and development banks; (b) supporting public, private and civil society initiatives to enhance international trade and development by promoting certainty in international commercial transactions through the dissemination of international trade norms and standards, in particular those elaborated by UNCITRAL; (c) building and participating in regionally-based international trade law partnerships and alliances, including with other appropriate United Nations funds, programmes and specialized agencies; (d) strengthening information, knowledge and statistics through briefings, workshops, seminars, publications, social media, and information and communications technologies, including in regional languages;293. 会上对于秘书处开展的各种活动表示了强有力支持,这些活动旨在:(a)向亚洲太平洋区域各国,包括向国际组织和区域组织以及开发银行提供能力建设和技术援助服务;(b)支持各种旨在增进国际贸易和发展的公共、私人和民间社会倡议,为此通过传播国际贸易规范和标准,特别是贸易法委员会制订的规范和标准,增进国际商业交易的确定性;(c)构建并参加区域范围的国际贸易法方面的伙伴关系和联盟,包括与联合国其他相关基金、方案和专门机构的伙伴关系和联盟;(d)通过情况介绍、讲习班、研讨会、出版物、社会媒体以及信息通信技术,包括以各种区域语文,加强信息、知识和统计工作;(e)为委员会的非立法活动发挥各国与贸易法委员会之间联系渠道作用。
and (e) functioning as a channel of communication between States and UNCITRAL for non-legislative activities of the Commission.
294. The Commission took note of the Secretariat’s plans to participate in the United Nations Partnership Frameworks (Lao People’s Democratic Republic in 2017) and to develop plurennial and systematized regional programmes around three core areas, namely: (a) integrated trade law reforms; (b) the Sustainable Development Goals; and (c) aid-for-trade, pursuing long-term tailor-made capacity-building, in particular in least developed countries, landlocked developing countries and small island developing States in Asia and the Pacific, so as to ensure legal uniformity and general economic stability, and in close cooperation and coordination with institutions active in trade law reform, in the region.294. 委员会注意到秘书处计划参与“联合国伙伴关系框架”(2017年,老挝人民民主共和国),并围绕三个核心领域制订多年期系统化区域方案,即(a)全面贸易法改革;(b)可持续发展目标;(c)贸易援助,与该区域活跃于贸易法改革方面的机构密切合作与协调,推进有针对性的长期能力建设,特别是在亚洲太平洋的最不发达国家、内陆发展中国家以及小岛屿发展中国家,从而确保法律统一性和经济全面稳定。
295. The Regional Centre was encouraged to dedicate more of its resources to promoting UNCITRAL texts in the context of regional economic integration and cooperation frameworks, including, but not limited to, the Association of Southeast Asian Nations (ASEAN) and APEC.295. 委员会鼓励区域中心将更多资源用于在区域经济一体化和合作框架——包括但不限于东南亚国家联盟(东盟)和亚太经合组织——的范围内推介贸易法委员会法规。
296. The Commission requested the Secretariat to actively engage in fundraising activities in order for the Regional Centre to carry out its activities and urged Member States to provide voluntary contributions to the project.296. 委员会请秘书处积极进行筹资活动,以便使区域中心能够开展活动,并促请成员国为该项目提供自愿捐助。
297. The Commission noted that this year marked the fifth year of operation of the Regional Centre.297. 委员会注意到今年是区域中心运作五周年。
The Commission was informed that the Secretariat would engage with relevant stakeholders in the Asia-Pacific region to evaluate the achievements as well as the lessons learned during that period.委员会了解到,秘书处将与亚洲太平洋区域其他利益相关方一道,评价这一期间的成绩以及所吸取的教训。
Such assessment could also be expected to further define the role of the Regional Centre and to develop a regional priority framework for the implementation of strategies and programmes across the region, in order to respond to the specific needs of the region in terms of capacity-building and technical assistance services.这种评价还可望进一步界定区域中心的作用,并为执行全区域战略和方案制订区域优先框架,以便对该区域在能力建设和技术援助服务方面的具体需要作出响应。
298. The Commission noted with appreciation the exchange of letters between the United Nations and China on 16 September 2015, and the subsequent signing on 26 October 2015 of a memorandum of understanding between the United Nations and the Government of the Hong Kong Special Administrative Region of China, for the contribution of a non-reimbursable loan of an expert to the Regional Centre, providing a legal expert to engage in technical cooperation and assistance activities of the Regional Centre.298. 委员会赞赏地注意到2015年9月16日联合国与中国之间换函,随后于2015年10月26日在联合国与中国香港特别行政区政府之间签署了关于向区域中心捐助无偿借用专家的谅解备忘录,为区域中心开展技术合作和援助活动提供一名法律专家。
The Commission expressed its gratitude to the Government of China for its support to the operations of the Regional Centre.委员会对中国政府支持区域中心的运作表示感谢。
299.
The Government of the Republic of Korea stated its continued willingness to support the operation of the Regional Centre, extending its contribution beyond the initial five-year period agreed in 2011, for an additional five-year period covering 2017 to 2021, with an annual financial contribution of $450,000 to the UNCITRAL Trust Fund for Symposia, in addition to the office premises, equipment and furniture which it had already provided.299. 大韩民国政府申明了继续支持区域中心运作的意愿,将2011年商定的初始五年期捐助再展延五年,涵盖2017年至2021年期间,除大韩民国政府已经提供的办公室场所、设备和家具之外,每年还向贸易法委员会专题讨论会信托基金提供45万美元的财政捐助。
The Republic of Korea has also extended its offer to provide a legal expert on a non-reimbursable loan basis to engage in technical cooperation and assistance activities for the coming years.大韩民国政府还展延了在无偿借用基础上提供一名专家以在未来几年当中进行技术合作和援助活动的提议。
The Commission was informed that the Secretariat was formalizing the necessary arrangements for this extension, including the necessary amendments to the Memorandum of Understanding signed on 18 November 2011 between the United Nations, and the Ministry of Justice and the Incheon Metropolitan City of the Republic of Korea.委员会还了解到,秘书处正在为这一展期的必要安排办理手续,包括对2011年11月18日在联合国、大韩民国司法部和仁川市之间签署的谅解备忘录作出必要修正。
300. The Commission expressed its gratitude to the Government of the Republic of Korea for its generous gesture to extend its contribution, allowing for the continued operation of the Regional Centre beyond the initial pilot-project, subject to the relevant rules and regulations of the United Nations and the internal approval process in the United Nations Office of Legal Affairs.300. 委员会对大韩民国政府以慷慨姿态展延其捐助期表示感谢,这使得区域中心能够在初始试点项目之后继续运作,为此需遵守联合国的相关规则并完成在法律事务厅的内部审批过程。
301. The Commission encouraged the Secretariat to continue seeking cooperation, including through formal agreements, with regional stakeholders, including development banks, to ensure coordination and funding for its technical assistance and capacity-building activities and services aimed at promoting the adoption of UNCITRAL texts in the region.301. 委员会鼓励秘书处继续寻求以正式协定等方式与区域各利益相关方合作,包括与各开发银行开展合作,以确保协调,并为其旨在促进该区域通过贸易法委员会法规的技术援助和能力建设活动及服务筹集资金。
302. The Commission recalled the view expressed at previous sessions that, in light of the importance of regional presence for raising awareness of UNCITRAL’s work, and especially for promoting the adoption and uniform interpretation of UNCITRAL texts, and in view of the successful activities of the Regional Centre, further efforts should be made to emulate its example in other regions.302. 委员会回顾了以往届会上表达的看法:鉴于区域存在对增进了解贸易法委员会的工作,特别是对促进通过和统一解释贸易法委员会法规的重要性,同时鉴于该区域中心成功开展的活动,应当作出进一步努力,在其他区域效仿这一例子。
The Secretariat was requested to pursue consultations on the possible establishment of other UNCITRAL regional centres and/or capacity-building centres.委员会请秘书处就可能建立贸易法委员会其他区域中心和(或)能力建设中心进行协商。
While the Secretariat staff were expected to devote some of their time to operating or otherwise assisting regional centres, including through training of project personnel, a balanced approach was recommended by the Commission to ensure that the benefits resulting from the establishment of a regional centre continued to outweigh any cost associated with the time spent by Secretariat staff on such activities.虽然秘书处工作人员可望将其部分时间用于区域中心运作或为其提供其他方面协助,包括项目人员培训,但委员会建议采取一种平衡做法,以确保建立区域中心所产生的收益继续超过秘书处工作人员在此种活动上花费时间所涉及的任何相关成本。
XIV. Role of UNCITRAL in promoting the rule of law at the national and international levels十四. 贸易法委员会在促进国内和国际法治方面的作用
A. IntroductionA. 导言
303. The Commission recalled that the item on the role of UNCITRAL in promoting the rule of law at the national and international levels had been on the agenda of the Commission since its forty-first session, in 2008, in response to the General Assembly’s invitation to the Commission to comment, in its report to the General Assembly, on the Commission’s current role in promoting the rule of law.303. 委员会回顾,大会请委员会在提交大会的报告中,对委员会目前在促进法治方面的作用发表评论,据此,“贸易法委员会在促进国内和国际法治方面的作用”这一项目自2008年第四十一届会议以来一直列在委员会议程上。
The Commission further recalled that since that session, the Commission, in its annual reports to the General Assembly, had transmitted comments on its role in promoting the rule of law at the national and international levels, including in the context of post-conflict reconstruction.委员会还回顾,在该届会议以来提交大会的年度报告中转交了对委员会在促进国内和国际法治方面的作用的评论意见,包括在冲突后重建情况下。
It expressed its conviction that the promotion of the rule of law in commercial relations should be an integral part of the broader agenda of the United Nations to promote the rule of law at the national and international levels.委员会表示确信,在商业关系中促进法治应当是促进国内和国际法治这一更广泛的联合国议程的一个组成部分。
That view had been endorsed by the General Assembly.大会赞同这一看法。
304. At its forty-ninth session, the Commission heard an oral report by the Secretariat on the implementation of the relevant decisions taken by the Commission at its forty-eighth session.304. 委员会第四十九届会议听取了秘书处关于委员会第四十八届会议所作相关决定执行情况的口头报告。
A summary of the report and decisions of the Commission related thereto are contained in section B below.委员会与此有关的报告和决定概要载于下文B节。
305. The Commission recalled that at its forty-third session, in 2010, it had indicated that it considered it essential to maintain a regular dialogue with the Rule of Law Coordination and Resource Group (RoLCRG) through the Rule of Law Assistance Unit and to keep abreast of progress made in the integration of the work of UNCITRAL into United Nations joint rule of law activities.305. 委员会回顾,委员会2010年第四十三届会议认为,通过法治援助股保持与法治协调和资源小组的经常性对话至关重要,而且必须随时了解在贸易法委员会工作融入联合国共同法治活动方面取得的进展。
To that end, it had requested the Secretariat to organize briefings by the Rule of Law Assistance Unit every other year, when sessions of the Commission were held in New York.为此,委员会请秘书处每隔一年在贸易法委员会于纽约举行届会时安排由法治援助股通报情况。
Consequently, briefings had taken place at the Commission’s forty-fifth and forty-seventh sessions.因此,在委员会第四十五届和第四十七届会议上作了通报。
At the current session, the Commission had another rule of law briefing by the Rule of Law Assistance Unit.本届会议期间,委员会安排法治援助股举行了另一次情况通报。
Its summary is contained in section C below.通报会概要见下文C节。
306. The Commission took note of General Assembly resolution 70/118 on the rule of law at the national and international levels, by paragraph 20 of which the General Assembly invited the Commission to continue to comment, in its reports to the General Assembly, on its current role in promoting the rule of law.306. 委员会还注意到大会关于国内和国际法治的第70/118号决议,大会在该决议第20段中请委员会继续在其提交大会的报告中就委员会目前在促进法治方面的作用发表评论意见。
The Commission decided to focus its comments to the General Assembly on practices of States in the implementation of multilateral treaties emanated from the work of UNCITRAL and practical measures to facilitate access to justice in the commercial law context, in particular by MSMEs, in line with paragraph 23 of that resolution.委员会决定,根据该决议第23段,将其提交大会的评论意见侧重于各国执行贸易法委员会工作所产生的多边条约的实际做法以及为促进在商法方面伸张正义,特别是为中小微企业伸张正义而采取的切实措施。
The comments were formulated following a panel discussion with participation of invited experts.在邀请专家进行小组讨论后编拟了评论。
The comments and a summary of the panel discussion are contained in section D below.评论以及小组讨论概要载于下文C节。
B. Implementation of the relevant decisions taken by the Commission at its forty-eighth sessionB. 委员会第四十八届会议所作相关决定的执行情况
307. The Commission recalled that at its forty-eighth session it requested States members of UNCITRAL, its Bureau at the current session and its secretariat to take appropriate steps to ensure that the positive developments related to UNCITRAL are retained and if possible reinforced, in subsequent stages of negotiation, adoption and implementation of the post-2015 development agenda, in particular in the outcome documents of the Addis Ababa Conference and the 2015 Summit and in the indicators that would accompany the Sustainable Development Goals and targets.307. 委员会回顾,委员会第四十八届会议曾请贸易法委员会成员国、该届会议主席团及其秘书处采取适当步骤,确保在2015年后发展议程谈判、通过和执行的随后各阶段,特别是在亚的斯亚贝巴会议的成果文件、2015年峰会以及可持续发展目标和指标的配套指示数中,保持并在可能情况下加强与贸易法委员会有关的积极发展动态。
308.
The Commission noted with satisfaction that States, in paragraph 89 of the outcome document of the Third International Conference on Financing for Development, held in Addis Ababa on 13-16 July 2015 (the Addis Ababa Action Agenda), endorsed the efforts and initiatives of UNCITRAL, as the core legal body within the United Nations system in the field of international trade law, aimed at increasing coordination of and cooperation on legal activities of international and regional organizations active in the field of international trade law and at promoting the rule of law at the national and international levels in that field.308. 委员会满意地注意到,在2015年7月13日至16日于亚的斯亚贝巴举行的第三次发展融资问题国际会议的成果文件《亚的斯亚贝巴行动议程》第89段中,各国赞同贸易法委员会作为联合国系统在国际贸易法领域的核心法律机构作出努力,提出倡议,促使活跃于国际贸易法领域的国际组织和区域组织加强法律活动的协调与合作并在国内和国际上促进这一领域的法治。
The Commission took note that the Addis Ababa Action Agenda was an integral part of the 2030 Agenda for Sustainable Development adopted by States on 25 September 2015.委员会注意到《亚的斯亚贝巴行动议程》是各国于2015年9月25日通过的《2030年可持续发展议程》的一个组成部分。
309. The Commission also took note of its relevance to a number of targets in the 2030 Agenda for Sustainable Development and expressed its appreciation for the new web page of the UNCITRAL website that gave a general idea about the role of UNCITRAL in the 2030 Agenda for Sustainable Development, including as regards the promotion of the rule of law (see para. 254 above).309. 委员会还注意到贸易法委员会对于《2030年可持续发展议程》中的一些指标的相关性,并表示赞赏贸易法委员会网站开辟新网页,全面介绍贸易法委员会在《2030年可持续发展议程》中的作用,包括对于促进法治的作用(见上文第254段)。
310. The Commission endorsed the participation of its secretariat in the work of the Inter-Agency Task Force (IATF) on Financing for Development (FfD), convened by the Secretary-General to: (a) review progress in implementing the Addis Ababa Action Agenda; and (b) advise the intergovernmental follow-up process thereon.310. 委员会赞同其秘书处参加由秘书长召集的发展筹资机构间工作队的工作,其着眼点是:(a)审查《亚的斯亚贝巴行动议程》的执行进展情况;(b)建议就此启动政府间后续进程。
The Commission welcomed the UNCITRAL-related section in the 2016 Inaugural Report of IATF, including the proposed framework for monitoring the progress with the implementation of paragraph 89 of the Addis Ababa Action Agenda.委员会对2016年《发展筹资机构间工作队首份报告》中有关贸易法委员会的一节表示欢迎,其中包括提议建立《亚的斯亚贝巴行动议程》第89段执行进展情况监测框架。
311. Finally, the Commission was informed about efforts made by its secretariat towards reflecting international commercial law concerns in the global indicator framework being developed by the Inter-Agency and Expert Group on Sustainable Development Goal Indicators (IAEG-SDGs).311. 最后,委员会了解到委员会秘书处为在可持续发展目标指示数机构间和专家组正在拟订的全球指标框架中反映国际商法方面的关切而作出的努力。
The Commission called upon States members of the IAEG-SDGs to make sure that the global indicator framework did not overlook areas of work by UNCITRAL.委员会呼吁该专家组成员国确保全球指标框架不要忽视贸易法委员会的工作领域。
312. The Commission reiterated its call to its secretariat to continue exploring synergies and expanding outreach to delegations of States to various United Nations bodies with the view of increasing their awareness of the work of UNCITRAL and its relevance to other areas of work of the United Nations.312. 委员会重申其要求秘书处继续探索发挥协同效应的途径并扩展与各国派驻联合国各机构代表团的联系,以增进他们对贸易法委员会工作以及这些工作对联合国其他工作领域的意义的了解。
Support was expressed for outreach to various bodies of the United Nations system operating at a country level with the mandate to assist with local law reforms, be it in the promotion of the rule of law, development or other context, so that they appropriately factor in their work the promotion of the rule of law in commercial relations generally and UNCITRAL standards in particular.会上表示支持与在国家层面开展活动的其任务授权是协助进行当地法律改革——促进法治、发展或其他方面——的联合国系统各机构扩展联系,以便使这些机构在其工作中适当考虑到在商业关系中促进法治,特别是促进贸易法委员会的标准。
C. Summary of the rule of law briefingC. 法治通报会概要
313. The Director of the Rule of Law Assistance Unit in the Executive Office of the Secretary-General briefed the Commission about developments related to the United Nations rule of law agenda that occurred since the 2014 rule of law briefing in UNCITRAL.313. 秘书长办公厅法治援助股股长向委员会通报了自2014年在贸易法委员会举行法治通报会以来与联合国法治议程有关的进展。
314. The Commission noted the integration of rule of law aspects in target 16.3 of the 2030 Agenda for Sustainable Development, the ongoing work on indicators to that target and the cross-cutting impact of the rule of law on the achievement of the Sustainable Development Goals.314. 委员会注意到法治方面的问题纳入《2030年可持续发展议程》目标16.3、目前正在就该目标各项指标进行的工作,以及法治对实现《可持续发展目标》的全面影响。
It noted that efforts of the Rule of Law Assistance Unit towards broadening a global indicator to target 16.3 to issues of civil justice were unsuccessful and that the indicator would most likely focus on criminal law issues.委员会注意到法治援助股未能将目标16.3的一项全球指标扩展到民事司法问题,该指标将极有可能侧重于刑法问题。
A more comprehensive and contextualized follow-up of progress in the achievement of the Sustainable Development Goals would require the development of additional indicators at the regional and national levels.为了更全面、更切合实际地落实在实现《可持续发展目标》方面所取得的进展,必须在区域和国家各级制订进一步指标。
The national-led processes would play the primary role, as complemented and supported by follow-up and review processes at the global level.国家主导的进程将起主要作用。 全球一级的后续和审查过程将发挥补充和支助作用。
315. The Commission noted that different United Nations entities were implementing initiatives to enhance national capacities for data collection and analysis required to monitor progress with the implementation of the Sustainable Development Goals.315. 委员会注意到,联合国不同实体正在推行各种举措,以加强各国监测《可持续发展目标》执行进展情况所必需的数据收集和分析能力。
The attention of the Commission was brought in particular to two of them:会上特别提请委员会注意其中的两项举措:
(a) The Global Alliance, aimed at promoting effective reporting under Goal 16, comprised of representatives from Member States, civil society and the private sector, and facilitated by the United Nations Development Programme (UNDP), which will coordinate and liaise with other United Nations entities and agencies as required;(a) 全球联盟,其宗旨是促进目标16下的有效报告,由会员国、民间社会和私营部门的代表组成,联合国开发计划署(开发计划署)提供协助,并在必要时负责与联合国其他实体和机构的协调和联络;
and
(b) The initiative of the United Nations Development Group (UNDG) to support the United Nations County Teams (UNCTs) in the implementation of the new agenda, through their respective United Nations Development Assistance Frameworks (UNDAFs).
The initiative is called MAPS — Mainstreaming, Acceleration and Policy Support: mainstreaming refers to the integration of the 2030 Agenda into national and local plans for development, as well as into budget allocations, and the subsequent crafting of UNDAFs around supporting the implementation of those plans; acceleration refers to the targeting of resources according to the priority areas identified in the mainstreaming process; and policy support refers to the timely assistance from the United Nations to national actors with skills and expertise. The MAPS provides a shared resource for the UNCT’s substantive engagement with governments and partners on the Sustainable Development Goals, paying special attention to the cross-cutting elements of partnerships, data and accountability.(b) 联合国发展集团的举措,通过各自的《联合国发展援助框架》,支持联合国国别小组执行新议程。这个举措称为“纳入主流、加快速度、政策支助”(MAPS):纳入主流是指将《2030年议程》纳入国家和地方发展规划,并纳入预算拨款,以及随后围绕支持这些规划的执行设计《联合国发展援助框架》;加快速度是针对在纳入主流过程中确定的优先领域分配资源;政策支助是指联合国及时为国家行动方提供技能和专门知识方面的援助。MAPS举措为联合国国别小组与政府和合作伙伴在《可持续发展目标》方面进行实质性接触提供共享资源,同时特别注意伙伴关系、数据和问责这些具有全面影响的要素。
316. The Commission was informed that reports of the Secretary-General on United Nations rule of law activities continue illustrating examples of rule of law activities by various United Nations entities that are members of the RoLCRG, including by UNCITRAL in the field of international commercial law.316. 委员会获悉,秘书长关于联合国法治活动的各份报告继续展示联合国各实体(均为法治协调和资源小组成员)法治活动的实例,其中包括贸易法委员会在国际贸易法领域中的法治活动。
317. The Commission expressed appreciation to the Director of the Rule of Law Assistance Unit for the briefing and reiterated its conviction that the implementation and effective use of modern private law standards in international trade are essential for advancing good governance, sustained economic development and the eradication of poverty and hunger.317. 委员会对法治援助股股长介绍情况表示赞赏,重申坚信在国际贸易中贯彻并有效使用现代私法标准对增进良好治理、实现可持续经济发展以及根除贫困和饥馑至关重要。
The promotion of the rule of law in commercial relations should therefore be an integral part of the broader agenda of the United Nations to promote the rule of law at the national and international levels.因此,应当将促进商业关系中的法治作为促进国内或国际法治的更广泛联合国议程的一个组成部分。
The Commission encouraged the Secretary-General to devise effective practical mechanisms to achieve such integration.委员会鼓励秘书长为实现这种整合而制订切实有效的机制。
The Commission looked forward to hearing the progress achieved in that respect at the next rule of law briefing scheduled for the fifty-first session of UNCITRAL, in 2018.委员会期待着在定于2018年贸易法委员会第五十一届会议举行的下次法治通报会上听取在这方面取得的进展。
D. UNCITRAL comments to the General AssemblyD. 贸易法委员会提交大会的评论意见
1. Summary of the panel discussion on practices of States in the implementation of multilateral treaties emanated from the work of UNCITRAL1. 关于各国执行贸易法委员会工作所产生的多边条约实际做法的小组讨论概要
318. The speakers considered the topic timely and important and requiring a further in-depth analysis and follow-ups.318. 发言者认为一主题及时而重要,要求进一步深入分析并跟进。
The undisputed role of UNCITRAL in promoting the rule of law in commercial relations, in particular by reconciling the views and approaches of countries at various levels of development and between different legal systems, was highlighted.会上强调贸易法委员会在促进商业关系中的法治方面的作用毋庸置疑,特别是在调和处于不同发展水平的国家的观点和做法以及不同法律制度之间的观点和做法方面。
319. Speakers referred to various factors influencing the implementation by States of treaties emanating from the work of UNCITRAL, highlighting their distinct features compared to international treaties in other areas of law.319. 发言者提到影响各国执行贸易法委员会工作所产生的条约的各种因素,着重指出这些条约与其他法律领域中的国际条约的不同之处。
In particular, the level and intensity of support by domestic non-State actors (industry and other interest groups), in view of the international landscape and changing economic and technological conditions and business practices, were highlighted.特别是,鉴于国际环境以及变化中的经济和技术状况和商业实务,着重说明了国内非国家行动方(业界及其他相关群体)给予支持的程度和力度。
The need for a dynamic domestic political landscape that may result in a change of policies and priorities, and the competing need to deal with treaties from other branches of law, were also mentioned as factors to be taken into account.作为应当考虑的因素,还提到需要营造一种动态国内政治环境以促成政策和优先重点的改变,并且需要应对其他法律分支的条约的竞争。
The need to reconcile views at federal and State levels was also to be considered in some countries.另外,还认为有必要在某些国家的联邦与州一级调和观点。
320. The importance of local capacity to ratify and implement a treaty mattered since international commercial law treaties tend to be complex and to require expert knowledge for their understanding.320. 当地批准和执行一项条约的能力事关重大,因为国际商法条约往往非常复杂,需要具备专家知识才能理解。
The explanatory notes to treaties, the appropriate participation of a State in treaty-making processes, and the technical assistance provided to a State with treaty implementation were all considered helpful for building such capacity.为条约提供解释性说明,各国适当参与条约拟订过程,以及在条约执行方面为各国提供技术援助,被认为都有助于建立此种能力。
321. Nevertheless, practices of States of signing treaties without being committed to their ratification were noted.321. 不过,会上注意到有些国家采取的做法是签署条约而不致力于批准条约。
For an increase of the level of commitment of States to pursue ratification, it was suggested to expand the number of interested State constituencies beyond the foreign and justice ministries to include finance and trade ministries.为了使各国更多地致力于批准条约,会上提议除外交部和司法部之外,将参与范围扩大到国家其他相关部门,把财政部和贸易部包括进来。
The importance of regional efforts, such as those within APEC, towards achieving commercial law harmonization and unification within a particular region was also emphasized.还强调了区域努力的重要性,例如在亚太经合组织范围内进行的努力,以在某一特定区域实现商法协调和统一。
The establishment of a dedicated forum at the international and regional levels where States can meet to share and discuss experiences regarding implementation of commercial law conventions was recommended.会上建议在国际和区域层级建立专门论坛,使各国能够就商法公约的执行交流、讨论经验。
Such forums could be used for identifying obstacles to ratification and implementation of treaties, and solutions to overcome them, including through possible changes in treaty design and substance.此种论坛可以用来找出在批准和执行条约方面的障碍以及克服这些障碍的办法,包括对条约的设计和实质内容作出可能的调整。
Those processes could be informative, not only with respect to already concluded treaties but also to possible future ones.这些办法都是可以参照的,不仅对已订立的条约如此,对今后可能订立的条约也是如此。
322. The importance for effective implementation of treaties of achieving their uniform interpretation and application was noted.322. 会上指出统一解释和适用条约对于有效执行条约的重要性。
Speakers recognized the role of CLOUT and digests (see chapter X above) in that respect.发言者认识到法规判例法和摘要在这方面的作用(见上文第十章)。
Reference was made to the international commitment of States under international commercial law treaties to interpret them with due regard to their international character and the need to promote uniformity in their application and the observance of good faith in international trade.会上提到,各国在国际商法条约下的国际承诺是在适当考虑到这些条约的国际性质的情况下对其作出解释,并且需要在适用这些条约时促进统一性并在国际贸易中遵守诚信。
These commitments presuppose the autonomous interpretation of those treaties rather than their interpretation in light of domestic law and concepts, except when the latter would be acceptable or mandatory under the treaty itself.这些承诺的前提是对这些条约作出自主的解释,而不是根据国内法和国内概念对其作出解释,除非后者在条约本身之下是可接受的或强制性的。
323. It was noted that unjustified resort to domestic concepts or concepts of any other preferred law in order to resolve interpretative problems that might arise under the international commercial law treaties defeated the very purpose of these instruments, namely the creation of a uniform law aimed at the creation of legal certainty and the removal of legal barriers in international trade.323. 会上指出,为了解决国际商法条约中可能出现的解释问题而在没有根据的情况下求助于国内概念或者其他任何所属意法律的概念,将破坏这些文书本身的目的,即创建一种旨在营造法律确定性并消除国际贸易中法律障碍的统一法律。
They might lead to a battle of interpretation trends, and jeopardized the universal acceptability of international commercial law treaties (prompting parties to opt out from the application of a treaty to avoid giving the other party the competitive advantage of reliance on its domestic interpretation of that treaty).这些做法可能导致解释走向之争,削弱国际商法条约的普遍可接受性(促使当事人选择不适用某一条约,以避免因对方依赖于本国对该条约的解释而使其具有竞争优势)。
The notion of a treaty being a neutral law to which parties can resort when they wish to avoid the application of the domestic law of any of the contracting parties would thus be undermined.这样一来就损害了使条约成为一种中性法律的初衷,因为当事人本来是可以在希望避免适用任何缔约方的国内法律时求助于一项条约的。
Damage to the predictability and reliability of law which a treaty meant to create, and increased transaction costs would as a result be inevitable.其结果是,对一项条约本应提供的可预测性和可依赖性造成损害,以及交易成本增加,都是不可避免的。
324. A solution to the disruptive effects of the homeward and outwards trends in interpretations of international commercial law instruments might be achieved by changing the background assumptions and conceptions that justified such trends.324. 通过改变背景假想和概念,或许可以解决国际商法文书解释方面的内向和外向趋势所产生的破坏性影响,因为背景假想和概念是此种内向和外向趋势的依据所在。
To that end, the study of international commercial law standards in law schools, as a distinct autonomous layer of rules that may be applicable to a particular commercial transaction, was considered necessary.为此,认为有必要对法学院中的国际商法标准进行研究,因为这些标准属于可适用于特定商业交易的独特、自主规则层面。
325. Finally, the debate emphasized the importance of coordination and cooperation among rule-formulating bodies in the field of international commercial law, to avoid conflicting rules and interpretations, and to benefit from comparative advantages of agencies involved by using their respective expertise more efficiently.325. 最后,辩论强调国际商法领域的规则制定机构开展协调与合作的重要性,以避免产生相互冲突的规则和解释,并通过更高效地利用各机构的专门知识而受益于这些机构的比较优势。
It was noted that the pool of entities relevant to rule formulating in the field of international trade has increased and now includes multilateral development banks and other international financial institutions.会上指出,涉足国际贸易领域规则制定工作的实体总数有所增加,现在包括了多边开发银行和其他国际金融机构。
326. Suggestions were made for the coordination and cooperation among relevant entities to become more structured and institutionalized.326. 会上就相关机构之间的协调与合作更加条理化和制度化提出了建议。
The current modus operandi was based largely on the good will of secretariats of the respective entities, which was not sufficient to ensure a clear division of labour and strategic work planning in the long run.当前的操作方法在很大程度上依赖于各实体秘书处的善意,但长期而言这一点不足以确保明确的分工和制定战略性工作计划。
Examples were given of recent successful cooperation between UNCITRAL, the Hague Conference and Unidroit in the area of international contracts law (see paras. 278-282 above).举例介绍了贸易法委员会、海牙会议和统法协会最近在国际合同法领域的成功合作(见上文第278-282段)。
A similar level of cooperation should be achieved in other areas.其他领域应当实现类似程度的合作。
In particular an acute need seemed to exist in the area of security interests/secured transactions, which involved at least six organizations.尤其是,担保权益/担保交易领域似乎存在着这种迫切需要,至少涉及六个组织。
327. Suggestions were made for monitoring conventions emanated from the work of UNCITRAL, based on already existing examples under other treaties.327. 会上建议基于其他条约下已经存在的实例,对贸易法委员会工作所产生的公约加以监测。
Distinct features of international commercial law instruments (e.g. party autonomy provisions) would require particular attention, for example through reporting on the use of the texts by private parties, courts and other relevant stakeholders, in addition to reports by States on the status of ratification and implementation of their respective international obligations under those treaties.对于国际商法文书的独特之处(如当事方意思自治条款)需要给予特别关注,例如,除各国报告批准状况以及各自在这些条约下履行国际义务的情况外,还要报告私人当事方、法院和其他相关利益攸关方使用这些法规的情况。
328. In ensuing discussions, a point was made that another factor influencing ratification of treaties was the level of complexity of treaties: examples were given of treaties that failed because of their excessive ambition, despite subsequent efforts of States to rectify their scope, structure and substance.328. 在随后的讨论中,会上指出,影响批准条约的另一个因素是条约的复杂程度:举例介绍了有些条约因为目标过高而失败的情况,即使各国随后作出努力修改其范围、结构和实质内容也在所难免。
Improving coordination was considered important but the efforts should not be limited to inter-secretariat cooperation: the indispensable role of State members of various rule-formulating entities was not to be underestimated.会上认为加强协调固然重要,但相关努力不应局限于秘书处之间的合作:各规则制定实体成员国发挥着不可或缺的作用,不容低估。
329. Support was expressed for the idea that the quality of the texts depended on the quality of delegations.329. 会上表示支持这样的看法,即案文的质量取决于代表团的质量。
However, it was recalled that it was not for international organizations to dictate how States should compose their delegations.不过,会上提醒,各国代表团由哪些人组成,并非由国际组织决定。
330. A question was raised as to whether case law referred to in CLOUT was intended to have any effect as precedent.330. 会上询问,法规判例法中提到的判例法是否意在具有任何先例效力。
In response, the speakers unanimously emphasized that CLOUT cases and digests could never displace the value of precedent under applicable domestic law.对此,发言者一致强调,法规判例法中的判例和摘要集决不能取代所适用国内法下的先例效力。
However, they were an important source of information for courts and arbitral tribunals, in particular because they could indicate prevailing trends and, for that reason, might be considered persuasive in interpreting international commercial law standards emanated from the work of UNCITRAL.不过,这些判例和摘要集对于法院和仲裁庭而言是重要的信息来源,尤其是因为它们能够表明当下的趋势,因此,在解释贸易法委员会工作所产生的国际商法标准时可能被认为具有说服力。
331. There was general support for holding rule of law panel discussions at future sessions.331. 会上普遍支持在今后届会上举行法治问题小组讨论。
The Secretariat was requested in composing future rule of law panels to ensure a balanced representation of common and continental systems of law.会议请秘书处确定今后的法治问题讨论小组成员,确保成员构成平衡地代表普通法体系和大陆法体系。
2. Summary of the panel discussion on practical measures to facilitate access to justice in the commercial law context, in particular by MSMEs2. 关于特别便利中小微企业获得商法方面司法救助的实际措施的小组讨论摘要
332. The Rule of Law Declaration, in particular its UNCITRAL-related provisions, was recalled in conjunction with the topic of the discussion.332. 会上结合所讨论的议题,回顾了《法治宣言》,尤其是与贸易法委员会有关的条款。
UNCITRAL was praised for removing legal obstacles to international trade by harmonizing international commercial law while carefully promoting the principle of party autonomy, without infringing on domestic systems and political or social values of States, and reconciling interests of various groups.会上赞扬贸易法委员会通过统一国际商法同时谨慎地倡导当事方意思自治原则,在不侵犯各国国内制度以及政治或社会价值观的情况下,消除影响国际贸易的法律障碍,并调和了不同群体的利益。
It was also stated that the recent example of Working Group III (ODR) (see chapter V above) demonstrated how the working methods of UNCITRAL respected the rule of law.还指出,第三工作组(网上解决)最近的例子(见上文第五章)表明贸易法委员会的工作方法是如何尊重法治的。
333. The role of ODR in the electronic commerce environment was touched upon, with reference to the UNCITRAL Technical Notes on Online Dispute Resolution adopted by the Commission at the current session (see para. 217 above).333. 会上述及网上解决在电子商务环境中的作用,同时提到委员会本届会议通过的《贸易法委员会关于网上争议解决的技术指引》(见上文第217段)。
The Technical Notes on Online Dispute Resolution, although not a normative text, were considered to provide an important reference to both ODR providers and users that currently operate under divergent rules.《关于网上解决的技术指引》虽然不是一部规范性案文,但被认为为目前使用纷杂规则的网上解决机构和用户提供了重要参照。
Being the first international document on the subject, they were expected to be widely used by practitioners and thus harmonize the field of ODR.《指引》是关于这一主题的第一部国际文书,可望为从业人员广泛使用,从而使网上解决领域实现协调统一。
334. Speakers referred to the current practices of States to facilitate access to justice, often assisted by intergovernmental and non-governmental organizations active on such issues as mobile courts, electronic justice and informal justice mechanisms.334. 发言者提到各国目前便利司法救助的做法,通常是在政府间组织和非政府组织的协助下,积极致力于移动法院、电子司法和非正式司法机制等问题。
Particular attention was paid to existing and emerging means to facilitate access to justice by MSMEs recognizing that they often carry the heavier burden in dysfunctional justice systems in the commercial law context.特别注意到在便利中小微企业获得司法救助方面现有的和正在出现的办法,认识到在司法系统不能在 商法环境下正常运作的情况下中小微企业承受着更重的负担。
Higher transaction costs, problems with access to qualified affordable legal aid, imbalance of power and means in disputes involving larger economic operators and State officials, and corruption were cited as examples of particular issues faced by MSMEs in access to justice.关于中小微企业求助司法所面临的特殊问题,会上举出的例子包括交易成本较高、难以获得合格且负担得起的司法援助、在涉及较大规模经济运营人和国家官员的争议中力量和手段失衡,以及腐败。
335. According to the representative of IDLO, a need existed to build increased judicial capacity to handle commercial disputes, especially those involving MSMEs, to increase judicial training generally, especially in least developed countries, and to assist MSMEs with drafting contracts and handling disputes.335. 国际发展法组织的代表指出,需要建设更强的司法能力,以处理商事争议,尤其是涉及中小微企业的商事争议,全面增加司法培训,尤其是在最不发达国家的司法培训,并协助中小微企业起草合同和处理争议。
Examples were given of such activities in a number of countries in which IDLO operates.举例介绍了在国际发展法组织运作的一些国家开展的此类活动。
336. The existence of various types of MSMEs (differing in size and structure) facing different issues was also recognized.336. 还认识到存在着不同类别(规模和结构不同)、面临不同问题的中小微企业。
MSMEs, depending on the legal and socioeconomic environment in which they operate, might face a variety of disputes and difficulties, and might thus require different tools to address them.中小微企业经营所处的法律以及社会经济环境不同,可能面临各种不同的争议和困难,因此可能需要不同手段来应对。
337. Attempts to create uniform solutions for resolving disputes involving MSMEs were questioned.337. 会上对试图制定统一的解决办法解决涉及中小微企业的争议提出疑问。
It was also recalled that the many available dispute resolution mechanisms, each with its advantages and disadvantages, were more or less advisable, depending on the particular circumstances of a dispute and the parties involved.还回顾说,许多可用的争议解决机制各有自身的优缺点,或多或少具有可取性,取决于所涉争议和当事方的具体情况。
No such mechanism was therefore equally suitable for all disputes for all MSMEs.因此,没有一种机制是适和所有中小微企业的所有争议的。
A dispute resolution method should be fit for the dispute and the parties involved; not the other way around.一种争议解决办法应当适合某一争议和所涉当事方,否则行不通。
However the parties themselves, especially MSMEs are seldom in a position to assess their disputes and select the most suitable resolution technique on a case-by-case basis.不过,当事方自身,尤其是中小微企业,很少能够对其争议加以评估并逐案选择最合适的解决办法。
Disputants are often pushed towards one method or another by various factors and actors (e.g. a legal counsel, court officer, development assistance entities).争议方往往被各种因素和行为方(如法律顾问、法警、发展援助实体等)左右,被迫采用这种或那种办法。
338. It was suggested that neutral dispute profiling or an early case assessment tool might resolve that problem.338. 会上指出,中立的争议剖析或早期案件评估工具或许可以解决这个问题。
The purpose of such an algorithm-based tool would be to assist private parties in commercial disputes in the choice of the method of dispute settlement most appropriate to the dispute, taking into account time, costs, location, language, applicable law and other considerations.此种基于算法的工具着眼于协助商事争议的私人当事方选择最合适的争议解决办法,在此过程中考虑到时间、成本、地点、语言、适用法和其他因素。
Building such a tool would require extensive interdisciplinary and multicultural research that would also require an analysis of socioeconomic influences and sociocultural contexts.构建此种工具要求进行广泛的多学科和多文化研究,而这种研究也要求对社会经济影响以及社会文化背景进行分析。
UNCITRAL, professional organizations and universities were invited to consider the desirability and feasibility of such a project, which might result in a tangible facilitation of access to justice, in particular by MSMEs.会议请贸易法委员会、各专业组织和大学考虑此类项目的可取性和可行性,通过此种项目很有可能在便利司法救助特别是便利中小微企业求助司法方面取得切实成果。
3. Comments by the Commission3. 委员会的评论意见
339. The Commission expressed its appreciation to the panellists for their statements and welcomed further discussion of the novel issues that they had raised at the 2017 Congress (see chapter XVI below).339. 委员会表示赞赏讨论小组成员的发言,并欢迎在2017年贸易法委员会大会上进一步讨论他们提出的新问题(见下文第十六章)。
340. The Commission recalled that, at its forty-seventh session, in 2014, it considered its role in promoting the rule of law by facilitating access to justice, and at its forty-eighth session, in 2015, it considered the role of its multilateral treaty processes in promoting and advancing the rule of law.340. 委员会回顾,在2014年第四十七届会议上曾审议贸易法委员会在通过便利司法救助促进法治方面的作用,在2015年第四十八届会议上曾审议多边条约进程在促进和推动法治方面的作用。
The Commission noted that issues raised, and its comments conveyed to the General Assembly, in those years were relevant to the subtopics that were discussed during the rule of law panel discussion at the current session.委员会注意到这些年提出的问题以及转呈大会的评论意见与本届会议期间法治问题小组讨论期间所讨论的分议题是相关的。
341. Specifically on the subtopic of practices of States in the implementation of multilateral treaties emanated from the work of UNCITRAL, the Commission noted with appreciation that its views as conveyed to the General Assembly at its previous session were again supported by empirical evidence presented by the panellists.341. 特别是关于各国在执行贸易法委员会工作所产生多边条约方面的做法这一分议题,委员会赞赏地注意到上届会议上转呈大会的委员会意见再次得到讨论小组成员提出的实证证据的支持。
In particular, the reported practices of States supported the view that the quality of implementation of treaties emanating from the work of UNCITRAL often depended on the quality of treaty-making processes, including the level and quality of participation by States and other interested stakeholders in UNCITRAL’s rule-formulating work.尤其是,所报告的各国做法支持以下观点,即贸易法委员会工作所产生条约的执行质量往往取决于条约制订过程的质量,包括各国以及其他利益攸关方对贸易法委员会规则制定工作的参与度和参与质量。
The Commission reiterated, for consideration by the General Assembly, the conclusions reached at its previous session when discussing issues related to its treaty processes that required attention.委员会重申在其上届会议讨论需要关注的与条约进程相关的问题时达成的结论,供大会审议。
342. On the subtopic of the panel discussion on practical measures to facilitate access to justice in the commercial law context, in particular by MSMEs, the Commission recalled the comments conveyed to the General Assembly in the report on the work of its forty-seventh session.342. 关于小组讨论的分主题——特别便利中小微企业获得商法方面司法救助的实际措施,委员会回顾其第四十七届会议工作报告中转呈大会的评论意见。
The Commission reiterated the view expressed at that session that its work was relevant to all dimensions of access to justice (normative protection, capacity to seek remedy, and capacity to provide effective remedies).委员会重申该届会议上表达的观点,即其工作涉及司法救助的各个方面(规范性保护、寻求救济的能力,以及提供有效救济的能力)。
It drew the attention of the General Assembly to the fact that, at the current session of the Commission, UNCITRAL had enlarged the spectrum of its standards in the area of commercial dispute settlement by adopting the UNCITRAL Technical Notes on Online Dispute Resolution (see para. 217 above), which were particularly useful for the resolution of low-value cross-border disputes in an electronic commerce environment, and thus to MSMEs.委员会提请大会注意以下事实,即随着贸易法委员会在本届会议上通过《贸易法委员会关于网上解决的技术指引》(见上文第217段),贸易法委员会扩展了其在商事争议解决领域的标准的范围,该《指引》对于解决电子商务环境中的低价值跨境争议特别有用,因而对于中小微企业特别有用。
XV. Work Programme of the Commission十五. 委员会的工作方案
343. The Commission recalled its agreement to reserve time for discussion of the Commission’s overall work programme as a separate topic at each Commission session, as a tool to facilitate effective planning of its activities.343. 委员会回顾其同意保留时间,作为委员会每届会议的单独主题讨论委员会的全面工作方案,以此促进委员会活动的有效规划。
344. The Commission took note of the documents prepared to assist its discussions on this topic (A/CN.9/878, further documents referred to therein and proposals submitted thereafter).344. 委员会注意到为协助委员会讨论这一主题而编写的文件(A/CN.9/878,该文件中提到的其他文件以及此后提交的各项建议)。
It noted that those documents addressed UNCITRAL’s main activities, i.e. legislative development and activities designed to support the effective implementation, use and understanding of UNCITRAL texts (collectively referred to as “support activities”).委员会注意到这些文件述及贸易法委员会的主要活动,即立法制定工作以及旨在支持有效执行、使用和理解贸易法委员会法规的活动(合称“支助活动”)。
345. The Commission also took note of the progress of its Working Groups and regarding support activities reported earlier in the session (see chapters III to XIV of this report).345. 委员会还注意到各工作组的进度,以及本届会议早些时候所报告的支助活动取得的进展(见本报告第三至十四章)。
A. Legislative developmentA. 立法制定工作
346. As regards current and future legislative activity, the Commission decided as follows.346. 关于当前和今后的立法活动,委员会决定如下。
1.1. 中小微企业
MSMEs
347. The Commission recalled the summary of its discussion on planned and future work in the area of MSMEs (see paras. 219-224 above).347. 委员会回顾了关于中小微企业领域计划中和未来工作的讨论情况概要(见上文第219-224段)。
After discussion, it reaffirmed the mandate given to Working Group I to work on (a) key principles in business registration, and (b) legal questions surrounding the creation of a simplified business entity, both of which aimed at reducing the legal obstacles faced by MSMEs throughout their life cycle and, in particular, those in developing economies.经过讨论,委员会确认了了赋予第一工作组的任务授权是开展下述方面的工作:(a)企业登记关键原则;(b)围绕创建简易企业实体的法律问题,这两个方面都以特别是在发展中经济体减少中小微企业整个寿命周期面临的法律障碍为宗旨。
2.2. 仲裁和调解
Arbitration and conciliation 348. The Commission noted that it had finalized and adopted the 2016 UNCITRAL Notes on Organizing Arbitral Proceedings (see paras. 157 and 158 above).348. 委员会注意到,委员会最后审定并通过了《2016年贸易法委员会关于安排仲裁程序的说明》(见上文第157、158段)。
The Commission recalled the summary of its discussion of the ongoing and possible future work in the area of arbitration and conciliation (see paras. 162-165 and 174-195 above).委员会回顾了关于仲裁和调解领域进行中和未来可能开展的工作的讨论情况概要(见上文第162-165、174-195段)。
349. After discussion, the Commission reaffirmed the mandate given to Working Group II to work on the preparation of an instrument dealing with enforcement of international commercial settlement agreements resulting from conciliation (see para. 165 above).349. 经过讨论,委员会重申赋予第二工作组的任务授权是着手拟订一部涉及调解所产生国际商事和解协议的执行的文书(见上文第165段)。
350. The Commission, in its final debates on the work programme, also reaffirmed the decision to retain the topics of (a) concurrent proceedings, (b) code of ethics/conduct for arbitrators, and (c) possible work on reform of investor-State dispute settlement system, on its agenda for further consideration at its next session.350. 在就工作方案进行最后辩论时,委员会还重申了在其议程上保留下述主题供委员会下届会议进一步审议的决定:(a)并行程序,(b)仲裁员的道德(行为)守则,(c)可能就投资人与国家间争议解决机制改革开展的工作。
It further requested that the Secretariat, within its existing resources, continue to update and conduct preparatory work on all the topics so that the Commission would be in a position to make an informed decision whether to mandate its Working Group II to undertake work in any of the topics, following the current work on the enforcement of settlement agreements resulting from conciliation (see para. 195 above).委员会进一步请秘书处在其现有资源范围内继续提供关于所有这些主题的最新情况并进行准备工作,使委员会能够作出知情决定:在完成目前关于调解所产生和解协议的执行的工作之后,是否授权第二工作组就其中任何一项主题开展工作(见上文第195段)。
351. In addition, it was agreed that the Working Group should be referred to as Working Group II (Dispute Settlement), as the scope of its work was not necessarily limited to arbitration and conciliation.351. 另外,委员会还商定,该工作组应当改称为第二工作组(争议解决),因其工作范围不一定限于仲裁和调解。
3. Online dispute resolution3. 网上争议解决
352. In light of the finalization and adoption of the UNCITRAL Technical Notes on Online Dispute Resolution (see para. 217 above), the Commission agreed that no future legislative activity should be planned on the topic.352. 鉴于最后审定并通过了《贸易法委员会关于网上争议解决的技术说明》(见上文第217段),委员会商定,不应就该主题计划任何未来的立法活动。
4. Electronic commerce4. 电子商务
353. The Commission recalled the summary of its discussion of the ongoing and future work in the area of electronic commerce (see paras. 225 to 237 above).353. 委员会回顾了关于电子商务领域进行中和未来工作的讨论情况概要(见上文第225-237段)。
After discussion, it reaffirmed the mandate given to Working Group IV to complete the preparation of the draft Model Law on Electronic Transferable Records and the accompanying explanatory note, and to consider the topics of identity management and trust services as well as of cloud computing upon completion of work on the draft Model Law (see para. 235 above).经过讨论,委员会确认赋予第四工作组的任务授权是完成电子可转让记录示范法草案及其随附解释说明的拟订工作,并在完成示范法草案的工作之后审议身份管理和信任服务主题以及云计算主题(见上文第235段)。
5. Insolvency5. 破产
354. The Commission recalled the summary of its discussion of the ongoing and future work in the area of insolvency (see paras. 241-247 above).354. 委员会回顾了关于破产领域进行中和未来工作的讨论情况概要(见第241-247段)。
After discussion, it reaffirmed the mandate given to Working Group V to continue work on the following three topics: (a) facilitating the cross-border insolvency of multinational enterprise groups; (b) obligations of directors of enterprise group companies in the period approaching insolvency; and (c) recognition and enforcement of insolvency-related judgments (see para. 241 above).经过讨论,委员会重申了赋予第五工作组的任务授权是继续就下列三个主题开展工作:(a)便利跨国企业集团跨境破产;(b)企业集团公司董事在临近破产期间所负义务;(c)承认和执行与破产有关的判决(见上文第241段)。
In addition, the Commission recalled the mandate given to Working Group V related to insolvency of MSMEs (see para. 246 above).此外,委员会还回顾了赋予第五工作组的与中小微企业破产有关的任务授权(见上文第246段)。
6. Security interests6. 担保权益
355. The Commission noted that it had finalized and adopted the UNCITRAL Model Law on Secured Transactions (see para. 119 above) and recalled the summary of its discussion on the ongoing, planned and possible future work in the area of security interests (see paras. 120-128 above).355. 委员会注意到,委员会最后审定并通过了《贸易法委员会担保交易示范法》(见上文第119段),并回顾了关于担保权益领域进行中、计划中和未来可能开展的工作的讨论情况概要(见上文第120-128段)。
356. After discussion, the Commission reaffirmed the mandate given to Working Group VI to complete its work on the preparation of the draft Guide to Enactment during its next two sessions and submit the draft Guide to Enactment for consideration and adoption by the Commission at its next session (see para. 122 above).356. 经过讨论,委员会重申赋予第六工作组的任务授权是在工作组下两届会议期间完成颁布指南草案的拟订工作,并将颁布指南草案提交委员会下届会议审议并通过(见上文第122段)。
It was reaffirmed that, if the Working Group completed its work in less than two sessions, it could use the time remaining to discuss its future work in a session or in a colloquium to be organized by the Secretariat.委员会重申,如果工作组不用两届会议即完成其工作,工作组可以使用剩余时间在一届会议上或者在由秘书处举办的专题讨论会上讨论其未来工作。
It was further agreed that the Secretariat could seek, within its existing resources, to hold a colloquium to discuss future work on security interests (see para. 122 above) in addition to the two sessions devoted to Working Group VI.委员会还商定,除了专门分配给第六工作组的两届会议之外,秘书处还可以在其现有资源范围内设法举办一次专题讨论会,讨论担保权益方面今后的工作(见上文第122段)。
357.
It also reaffirmed the decision to retain on its future work agenda the preparation of a contractual guide on secured transactions and a uniform law text on intellectual property licensing (see para. 124 above) and to also add to its future work agenda the following topics: (a) the question whether the Model Law and the draft Guide to Enactment might need to be expanded to address matters related to secured finance to MSMEs; (b) the question whether any future work on a contractual guide on secured transactions should discuss contractual issues of concern to MSMEs (e.g. transparency issues); (c) any question that might not have already been addressed in the area of warehouse receipt financing (e.g. the negotiability of warehouse receipts); and (d) the question whether disputes arising from security agreements could be resolved through ADR mechanisms (see para. 125 above).357. 委员会还重申其决定:把拟订关于担保交易的合同指南和拟订关于知识产权许可的统一法案文这一项目放在委员会今后工作议程上保留(见上文第124段);并在委员会今后工作议程上增列下述主题:(a)《示范法》和颁布指南草案是否可能需要加以扩展,以述及中小微企业担保融资的相关事项;(b)今后就关于担保交易的合同指南开展的任何工作是否应当讨论关系到中小微企业的合同问题(如透明度问题);(c)仓单融资领域任何可能尚未处理的问题(如仓单的流通性);(d)是否能够通过非诉讼争议解决机制解决担保协议所产生的争议的问题(见上文第125段)。
7. Public procurement and infrastructure development7. 公共采购和基础设施发展
358. As regards possible work in the areas of public procurement and infrastructure development, the Commission took note of the proposals set out in document A/CN.9/889.358. 关于可能在公共采购和基础设施发展领域开展的工作,委员会注意到A/CN.9/889号文件中提出的建议。
As regards public-private partnerships (PPPs), the Commission recalled its instructions to the Secretariat at the forty-eighth session to continue to follow developments in PPPs to advance preparations should the topic eventually be taken up, and to report further to the Commission at the current session.关于公私营伙伴关系,委员会回顾其在第四十八届会议上指示秘书处继续跟踪公私营伙伴关系方面的发展动态,一旦最终正式启用这一主题即着手进入准备工作,秘书处可以向委员会本届会议提出进一步报告。
359. The view was expressed that the proposed future work on public procurement as well as on PPPs as set out in document A/CN.9/889 did not deserve work at the working group level and that there was no longer the need to retain those topics on the agenda of the Commission.359. 会上认为,A/CN.9/889号文件中阐明的拟议今后在公共采购以及在公私营伙伴关系方面开展的工作并不值得在工作组一级展开工作,因此已经不再有必要将这些主题保留在委员会议程上。
In support of that view, it was stated that issues relating to PPPs were dealt with by other organizations, the topics were not ripe enough for harmonization as relevant practices were still developing and that resources available should be allocated to more urgent ongoing work, including the preparation of the Congress (see chapter XVI below).这一意见的支持者指出,与公私营伙伴关系有关的问题已经在由其他组织处理,这些主题尚未成熟到加以协调统一的程度,因为相关做法仍在发展当中,现有资源应当分配给其他更为迫切的进行当中的工作,包括贸易法委员会大会的筹备工作(见下文第十六章)。
Concerns were also expressed with regard to the feasibility of work.对这项工作的可行性表示了关切。
Accordingly, it was suggested that the topics could be set aside for the time being and revisited when concrete subjects of interest and feasible projects were identified.因此,建议不妨暂时搁置这一议程,待到确定了具体关注点和可行项目再重新考虑这一主题。
360. On the other hand, it was argued that the topic of PPPs should be retained on the agenda of the Commission particularly due to its importance for developing countries.360. 另一方面,会上坚持认为应当将公私营伙伴关系主题保留在委员会议程上,特别是因为这一主题对发展中国家的重要性。
It was mentioned that quite a number of infrastructure development projects in those countries were conducted in the framework of PPPs and that work by UNCITRAL could provide ample guidance.会上提到,这些国家有相当多的基础设施发展项目是在公私营伙伴关系框架内进行的,委员会开展这方面的工作可以提供充分指导。
It was suggested that work could focus on specific topics relating to PPPs including those mentioned in document A/CN.9/889 and that updating of the 2000 UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects with the assistance of experts could be a starting point, and might offer an opportunity to better identify specific topics for possible future work.会上提出,这项工作可以侧重于与公私营伙伴关系有关的具体主题,包括A/CN.9/889号文件中提到的那些主题,而且,在专家协助下增订2000年《贸易法委员会私人融资基础设施项目立法指南》也不失为一个起点,可以提供机会更好地确定今后可能开展的工作的具体主题。
In that context, differing views were expressed on whether the work should be carried out at the working group level.在这方面,对于是否应在工作组一级展开工作发表了不同看法。
361. As regards the proposal for future work on the topic of suspension and debarment in public procurement, it was suggested that the Secretariat should continue to monitor developments in that field and should report periodically thereon to the Commission.361. 关于就今后在公共采购方面开展关于暂停资格和取消资格主题的工作提出的建议,会上提出,秘书处应当继续监测这一领域的发展动态,并定期向委员会就此提出报告。
362. After discussions, it was generally felt that the topics relating to public procurement and infrastructure development were of continued importance, while it would be premature to engage in any type of legislative work.362. 经过讨论,普遍认为,与公共采购和基础设施发展有关的主题仍然具有重要性,不过就此进行任何类型立法工作尚不成熟。
It was agreed that the Secretariat should continue to monitor developments in those areas, particularly with regard to suspension and debarment in public procurement.会上一致认为,秘书处应当继续监测这些领域的发展动态,特别是公共采购中暂停资格和取消资格方面的动态。
With regard to PPPs, it was agreed that the Secretariat should consider updating where necessary all or parts of the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects, involving experts.关于公私营伙伴关系,会上一致认为,秘书处应当考虑在有专家参与的情况下对《贸易法委员会私人融资基础设施项目立法指南》的全部或部分进行必要的增订。
Finally, it was agreed that the Secretariat should also continue to promote UNCITRAL texts in the area of public procurement, most importantly the Model Law on Public Procurement (2011).最后,会上一致认为,秘书处还应当继续在公共采购领域促进贸易法委员会的法规,最重要的是《公共采购示范法》(2011年)。
In that context, it was highlighted that the above-mentioned activities should be undertaken taking into account the resources available to the Secretariat.在这方面强调指出,应当在考虑到秘书处现有资源的情况下开展上述各项活动。
8. Possible colloquium on updating development on commercial fraud8. 可能举办关于商业欺诈方面最新动态的专题讨论会
363. The Commission considered a proposal by the Institute of International Banking Law & Practice and the International Law Institute to hold a two-day colloquium for updating developments on commercial fraud. It was suggested that the colloquium could provide the opportunity for experts to discuss developments and the successes and adequacy of efforts to combat commercial fraud.363. 委员会审议了国际银行法及实践学会和国际法学会提出的举办为期两天的商业欺诈方面最新动态专题讨论会的建议,会上提出,专题讨论会可以为专家提供机会,讨论在打击商业欺诈方面的发展动态和所取得的成功以及所作努力的充分性。
It was further suggested that areas for discussion could include revisiting the Secretariat informational note “Recognizing and Preventing Commercial Fraud: Indicators of Commercial Fraud”.进一步提出,讨论范围不妨包括重温秘书处的情况说明:“认识和预防商业欺诈——商业欺诈的标志”。
Lastly, it was suggested that the colloquium should be conducted in cooperation with the United Nations Office on Drugs and Crime (UNODC), if possible.最后,建议在可能情况下与联合国毒品和犯罪问题办公室(毒品和犯罪问题办公室)合作举办这次专题讨论会。
364. In response, it was questioned whether the topic of commercial fraud required additional consideration by the Commission, particularly as it dealt with criminal aspects and as the “Recognizing and Preventing Commercial Fraud: Indicators of Commercial Fraud” published by the Secretariat in 2013 was still relevant.364. 对此提出的问题是,是否有必要由委员会进一步审议商业欺诈问题,因为这个主题涉及刑事方面,而且秘书处2013年发布的“认识和预防商业欺诈——商业欺诈的标志”仍然没有失去意义。
After discussion, it was agreed that no resources should be allocated for that purpose.经过讨论,会上一致认为,不应为此目的分配任何资源。
The Commission, however, requested the Secretariat to liaise with the Institute of International Banking Law & Practice and the International Law Institute, should those organizations consider holding a conference to address those topics, which might be reported to the Commission at a future session.但是,委员会请秘书处与国际银行法及实践学会和国际法学会联系——如果这些组织考虑举办一次会议处理这些问题的话,并可以在今后届会上就此向委员会报告。
9. Allocation of conference resources9. 会议资源分配
365. With regard to the two weeks of conference time that were available due to the conclusion of work in the area of ODR by Working Group III, the Commission agreed that the Secretariat should consider allocating the two weeks for additional work by Working Group II in the second half of 2016 and by Working Groups I and V in the first half of 2017.365. 关于第三工作组完成网上解决领域的工作之后腾出两周会议时间,委员会一致认为,秘书处应当考虑将这两周时间分配给2016年下半年第二工作组的额外工作和2017年上半年第一和第五工作组的额外工作。
The Secretariat was requested to consider all possible options, including possibly sharing of the one-week session by two different Working Groups, which might facilitate discussion of the relevant topics and having back-to-back sessions.委员会请秘书处考虑所有可能的选项,包括可能情况下由两个不同工作组合用一周的届会,这样可能便于讨论相关问题并举行背靠背届会。
The Secretariat was further requested to explore the possibility of holding a colloquium to discuss future work on secured transactions. (For the dates agreed to be allocated to Working Groups I, II and V before the fiftieth session of the Commission, in 2017, see para. 394 below.)委员会还请秘书处探索举办一次专题讨论会讨论今后在担保交易方面开展工作的可能性(关于商定在委员会2017年第五十届会议之前分配给第一、第二和第五工作组的会议日期,见下文第394段)。
B. Support activitiesB. 支助活动
366. The Commission expressed its appreciation for the support activities described in documents A/CN.9/872, A/CN.9/873, A/CN.9/874, A/CN.9/875, A/CN.9/876, A/CN.9/877, A/CN.9/882 and A/CN.9/883, as considered earlier in the current session (see chapters X to XIV of this report).366. 委员会对A/CN.9/872、A/CN.9/873、A/CN.9/874、A/CN.9/875、A/CN.9/876、A/CN.9/877、A/CN.9/882和A/CN.9/883号文件中所说明的支助活动表示赞赏,本届会议早些时候审议了这些文件(见本报告第十至十四章)。
367. The Commission recalled that it had emphasized the importance of support activities and the need to encourage such activities at the global and regional levels through the Secretariat, through the expertise available in the Working Groups and the Commission, through member States and through partnering arrangements with relevant international organizations, as well as promoting increased awareness of UNCITRAL’s texts in these organizations and within the United Nations system.367. 委员会回顾,委员会曾强调支助活动的重要性,并强调需通过秘书处、通过各工作组和委员会掌握的专门知识、通过各成员国以及通过与相关国际组织的伙伴关系安排,在全球和区域各级鼓励此种活动,同时在这些组织中以及在联合国系统范围内促进对贸易法委员会法规的了解。
After discussion, the Commission reaffirmed its request to the Secretariat to continue with those activities to the extent that its resources permitted.经过讨论,委员会重申其请求秘书处在资源允许限度内继续开展这些活动。
XVI. Congress 2017十六. 2017年大会
368. The Commission recalled its instruction to the Secretariat to commence preparations for a Congress to commemorate UNCITRAL’s fiftieth anniversary.368. 委员会回顾曾指示秘书处筹备一次大会,以庆祝贸易法委员会五十周年。
The Commission heard that the Secretariat had established a dedicated web page to publicise the event, and that a Call for Papers had been issued and posted on the web page in June 2016.委员会获悉,秘书处已专设一个网页宣传该活动,征文通知已于2016年6月发出并刊载于该网页。
369. It was noted that the Congress would be held during the first week of the Commission’s fiftieth session in 2017, from 4-6 July, in Vienna.369. 会上注意到此次大会将于2017年委员会第五十届会议第一周即7月4日至6日在维也纳举行。
370. The objectives of the Congress, it was recalled, were to discuss technical issues and to raise awareness of UNCITRAL and its potential to support cross-border commerce.370. 会上回顾,此次大会的目标是讨论技术问题,并提高对贸易法委员会及其支持跨境商务的潜在作用的认识。
The Commission noted that it had been proposed by consulted stakeholders that the Congress could seek to identify new areas of research and potential legislative activity for UNCITRAL, including (but not limited to): the development of the cross-border digital economy; finance in international trade; access to global supply chains and inputs (credit, transport, infrastructure); exploitation of global public goods;委员会注意到,被征求意见的利益相关方提议,此次大会将寻求查明贸易法委员会新的研究领域以及有可能开展立法活动的领域,包括(但不限于):跨境数字经济的发展;国际贸易融资;全球供应链和投入的利用(信贷、运输、基础设施);全球公共货物的利用;气候争议和资源争议等部门的争议解决。
and dispute resolution in sectors such as climate disputes, and resource disputes. 371. The Commission heard that, in addition, consulted stakeholders suggested that the Congress would consider ways to enhance UNCITRAL’s role in coordinating and cooperating in relevant work of other organizations, including in treaty-making and methods of legal harmonization.371. 委员会获悉,除此之外,被征求意见的利益相关方建议,此次大会将审议如何加强贸易法委员会就其他组织的相关工作进行协调与合作方面的作用,其中包括在条约订立和实现法律统一的方法方面。
In that regard, the hope was expressed that participants would present ongoing commercial legal reform activities at the national and regional level, and discuss potential contributions to support trade law reform.在这方面,会上表示希望与会者将介绍国家和区域级别正在进行的商法改革活动,并讨论有可能作出哪些贡献以支持贸易法改革。
372. The Secretariat was urged to set a flexible and broad-ranging agenda, which would include an overview of UNCITRAL’s existing and historical activities, and to take active steps to identify possible speakers and themes for discussion.372. 促请秘书处确定一个灵活而广泛的议程,其中将包括概要介绍贸易法委员会当前和历史上开展的活动,并采取积极步骤确定可能的发言者和讨论主题。
The potential sensitivity of some possible topics, it was noted, indicated that a careful consideration of scope and manner of presentation would be necessary.会上指出,可能讨论的一些专题或许比较敏感,这表明有必要认真考虑专题介绍的范围和方式。
373. It was also noted that States would be consulted on the draft programme through the note verbale once the Call for Papers had closed, in the autumn of 2016.373. 会上还指出,征文通知于2016年秋截止时,即应通过普通照会就方案草案征求各国意见。
XVII. Relevant General Assembly resolutions十七. 大会的有关决议
374. The Commission took note of General Assembly resolution 70/115 of 14 December 2015 on the report of the United Nations Commission on International Trade Law on the work of its forty-eighth session, adopted on the recommendation of the Sixth Committee.374. 委员会似宜注意大会2015年12月14日根据第六委员会的建议通过的关于贸易法委员会第四十八届会议工作报告的第70/115决议。
XVIII.十八. 其他事项
Other business A. Entitlement to summary recordsA. 获得简要记录的权利
375. The Commission recalled that at its forty-fifth session, in 2012, it decided, while not relinquishing its entitlement to summary records under General Assembly resolution 49/221, to request that digital recordings continue to be provided at its forty-sixth and forty-seventh sessions, in 2013 and 2014, on a trial basis, in addition to summary records, as was done for the forty-fifth session.375. 委员会回顾其2012年第四十五届会议决定,在不放弃委员会根据大会第49/221号决议获得简要记录的权利的同时,请继续按第四十五届会议的做法,在委员会2013年和2014年的第四十六届和第四十七届会议上,除提供简要记录之外,还在试行基础上提供数字录音。
The Commission also recalled that, at its forty-seventh and forty-eighth sessions, in 2014 and 2015, respectively, the Commission assessed the experience of using digital recordings and on the basis of that assessment decided to prolong the practice of providing to UNCITRAL digital recordings in parallel with summary records.委员会还忆及,委员会分别在2014年第四十七届会议和2015年第四十八届会议上评估了使用数字录音的经验,并在这一评估的基础上,决定延长在向贸易法委员会提供数字录音的同时也提供简要记录的做法。
376. At the current session, the Commission again assessed its experience with the use of digital recordings in the United Nations generally and in UNCITRAL specifically, on the basis of an oral report by the Secretariat.376. 委员会在本届会议上根据秘书处的口头报告,再次评估了整个联合国系统特别是贸易法委员会使用数字录音的经验。
The Commission’s attention was brought to General Assembly resolution 70/9 on the pattern of conferences.委员会注意到大会关于会议时地分配办法的第70/9号决议。
In that resolution, the General Assembly noted the increased use of digital recordings by intergovernmental bodies, including UNCITRAL and the United Nations Industrial Development Organization, and requested the Secretary-General to continue to report to the General Assembly in that regard.大会在该决议中注意到贸易法委员会和联合国工业发展组织等政府间机构增加了数字录音的使用,请秘书长继续向大会报告这方面的情况。
At the same time, the Assembly reiterated that the further expansion of transition from verbatim and summary records to digital recordings of meetings in the six official languages of the Organization as a cost-saving measure would require consideration, including of its legal, financial and human resources implications, by the General Assembly and full compliance with the relevant resolutions of the Assembly.大会同时重申,作为一项节费措施进一步推进从联合国六种正式语文的会议逐字记录和简要记录向数字录音过渡须经大会审议,包括所涉法律、财务和人力资源问题,且须完全符合大会相关决议。
377. In light of that resolution, in particular its paragraph 90 that stressed that verbatim and summary records remained the only official records of the meetings of United Nations bodies, the Commission was of the view that the transition from summary records to digital recordings of UNCITRAL meetings in the six official languages of the Organization was not currently possible.377. 鉴于此项决议,特别是其中第90段强调指出逐字记录和简要记录仍然是联合国机构会议仅有的正式记录,委员会认为目前不可能实现贸易法委员会会议从联合国六种正式语文的简要记录向数字录音的过渡。
The Commission requested the Secretariat to prolong the practice of providing to UNCITRAL digital recordings in parallel with summary records and was assured that there were no technical obstacles for that.委员会请秘书处延长在向贸易法委员会提供数字录音的同时也提供简要记录的做法,并确保这方面不存在技术障碍。
The Commission reiterated its view that summary records would have to be provided to the Commission until no obstacles existed to making the transition from summary records to digital recordings.委员会重申其观点,即在确定自简要记录向数字录音过渡不存在任何障碍之前,必须向委员会提供简要记录。
The Commission requested the Secretariat to inform the Commission when developments as regards the use of digital recordings in the United Nations so warrant.委员会请秘书处在联合国使用数字录音取得进展时向委员会通报情况。
B. Internship programmeB. 实习方案
378. The Commission recalled the considerations taken by its secretariat in selecting candidates for internship and noted with satisfaction the continuing positive implications of changes introduced in 2013 and 2014 in the United Nations internship programme (selection procedures and eligibility requirements) on the pool of eligible and qualified candidates for internship from under-represented countries, regions and language groups.378. 委员会回顾了秘书处在遴选实习人选时的考虑因素,满意地注意到2013年和2014年对联合国实习方案所做的改动(遴选程序和实习生资格)对来自任职人员不足的国家、区域和语文群体的合格实习生人选储备库持续产生的积极影响。
379. The Commission was informed that, since the Secretariat’s oral report to the Commission at its forty-eighth session, in July 2015, twelve new interns had undertaken an internship with the UNCITRAL secretariat in Vienna.379. 委员会获悉,自2015年7月秘书处向委员会第四十八届会议作口头报告以来,有12名新实习生在维也纳贸易法委员会秘书处实习。
Most interns were coming from developing countries and countries in transition.大多数实习生来自发展中国家和转型国家。
C. Evaluation of the role of the Secretariat in facilitating the work of the CommissionC. 评价秘书处在促进委员会工作方面所起的作用
380. The Commission recalled that at its fortieth session, in 2007, it had been informed of the programme budget for the biennium 2008-2009, which listed among the expected accomplishments of the Secretariat “facilitating the work of UNCITRAL”.380. 委员会忆及,2007年第四十届会议曾听取了2008-2009两年期方案预算,其中在秘书处的预期成绩中列入了“促进贸易法委员会的工作”。
The performance measure for that expected accomplishment was the level of satisfaction of UNCITRAL with the services provided, as evidenced by a rating on a scale ranging from 1 to 5 (5 being the highest rating).对该预期成绩的业绩衡量是贸易法委员会对所提供服务的满意度,以1至5的评定等级表中的评分(5分为最高评分)作为佐证。
At that session, the Commission had agreed to provide feedback to the Secretariat.委员会在该届会议上同意向秘书处提供反馈意见。
381. From the fortieth session until the forty-fifth session of the Commission, in 2012, the feedback was provided by States attending the annual sessions of UNCITRAL in response to the questionnaire circulated by the Secretariat by the end of the session.381. 从委员会第四十届会议起,直至2012年第四十五届会议,参加贸易法委员会年度届会的国家对秘书处在届会结束时分发的调查表作了答复,提供反馈意见。
That practice had changed since the Commission’s forty-fifth session, in 2012, partly because of the need to solicit more responses: instead of an in-session questionnaire, the Secretariat started circulating to all States closer to the start of an annual session of the Commission a note verbale with the request to indicate, by filling-in the evaluation form enclosed to the note verbale, their level of satisfaction with the services provided to UNCITRAL by the UNCITRAL secretariat during a given session.自2012年委员会第四十五届会议起,这种做法有所变化,部分原因是需要征得更多答复: 秘书处一改在届会期间分发调查表的做法,开始在委员会年度届会开幕前不久向所有国家发送普通照会,其中请各国填写普通照会所附的评价表,表明其对贸易法委员会秘书处为贸易法委员会某届会议所提供服务的满意程度。
As regards the forty-eighth session of UNCITRAL such a note verbale was circulated to all Member States of the United Nations on 27 May 2016 and the period covered was indicated from the start of the forty-eighth session of UNCITRAL (29 June 2015).对于贸易法委员会第四十八届会议,于2016年5月27日向联合国所有会员国发送了此类普通照会,其中指明所涵盖时间段起自贸易法委员会第四十七届会议开幕时(2015年6月29日)。
382. The Commission was informed that the request by a note verbale and an additional request during the current session of UNCITRAL had elicited 17 responses and that the level of satisfaction with the services provided to UNCITRAL by the UNCITRAL secretariat, as indicated in those responses, remained high (10 States that responded gave 5 out of 5 and 7 States that responded gave 4 out of 5).382. 委员会获悉,通过普通照会发出的请求加上贸易法委员会本届会议期间另外提出的请求共征得17份答复,这些答复显示,对贸易法委员会秘书处向贸易法委员会提供服务的满意度依然很高(满分为5分,有10个答复国打了5分,7个答复国打了4分)。
The Commission heard that States in their statements to the Sixth Committee of the General Assembly on the report of the Commission often included their views on the work of the UNCITRAL secretariat in servicing the Commission.委员会获悉,各国就委员会报告向大会第六委员会所作的说明中常常会包含其对贸易法委员会秘书处在服务委员会方面所做工作的意见。
Such statements did not lend themselves to easy quantitative assessment.但很难根据这些说明进行定量分析。
383. The Commission took note of the concern that the level of responses to the request for evaluation remained low.383. 委员会注意到,对评价请求的答复率仍然很低。
There was general agreement that receiving feedback from more States about the UNCITRAL secretariat’s performance would be necessary to allow for a more objective evaluation of the role of the Secretariat, as was required for budgetary and other purposes.普遍意见是,需要有更多国家就贸易法委员会秘书处的业绩提供反馈,才能更客观地评价秘书处的作用,而这对预算和其他方面工作都很必要。
384. The Commission expressed appreciation to the Secretariat for its work in servicing UNCITRAL, highlighting in particular the quality of documents produced and responsiveness to requests of the Commission.384. 委员会感谢秘书处为服务贸易法委员会所做的工作,特别强调了所编写文件的质量以及对委员会请求的及时响应。
D. Methods of workD. 工作方法
385. The Commission had before it proposals by delegations of Israel, Switzerland and the United States regarding its methods of work.385. 委员会收到了以色列、瑞士和美国代表团就委员会工作方法提出的建议。
When introducing their proposals, the proponents referred to the insufficient representation of States during the discussion of policy issues at annual sessions of UNCITRAL.在介绍其建议时,支持者提到贸易法委员会年度届会政策问题讨论期间各国代表性不充分的问题。
They expressed their view that some adjustments in the planning and organization of annual sessions of UNCITRAL could facilitate the participation of States, especially from small States, not only during those parts of a session at which specific texts were reviewed for finalization and adoption, but also during more general policy discussions.他们认为,如果对贸易法委员会年度届会的规划和组织做一些调整,可促进各国特别是小国的参与,不仅参与会议期间审议具体案文以供最后审定和通过的部分,而且参与更广泛的政策讨论。
Advance planning for more structured discussions, a clearer scheduling of agenda items, and the allotment of specific time periods for their consideration were brought forward as possible steps to be considered to that end.为此提出可供考虑的措施包括,就更有条理的讨论提前作出处规划、为议程项目制订更明确的时间表,以及为议程项目的审议划定具体时间段。
386. Considering that the proposals were made available late in the session, a number of delegates reserved their position until they had had a chance to consult further.386. 由于会议后期才拿到这些建议,一些代表保留立场,待有机会进一步磋商。
Concerns were expressed that the proposals failed to take into account various considerations that would impact their implementation, including the applicable rules on utilization of conference services, and on simultaneous distribution of documents in the six official languages of the United Nations.会上关切地指出,这些建议未考虑到将会影响其付诸实施的各种因素,其中包括在利用会议服务方面的可适用规则,以及以联合国六种正式语文同步分发文件所适用的规则。
The implementation of some proposals, such as the earlier election of the bureau of the Commission and the earlier nomination of members of delegations to sessions of UNCITRAL, was considered to be within the exclusive prerogative of States, rather than practices that could be changed by the Secretariat or the Commission itself.至于其中一些建议的执行,如提早选出委员会主席团以及尽早提名出席贸易法委员会届会代表团的成员,都被认为属于各国的专属特权,这些做法都不是秘书处或委员会本身所能改变的。
Agreement on some of those issues necessitated consultations among States in regional groups.要就一些问题达成一致,各区域组各国之间必须展开磋商。
It was considered equally inappropriate or impractical to assume that the Secretariat should exercise much discretion as regards the removal, addition or prioritizing of agenda items and pre-allotting time for their consideration.而假设秘书处应当就议程项目的增减、优先顺序的确定或者提前分配审议时间行使很大的裁量权,同样是不恰当、不切实际的。
Retaining flexibility was considered essential especially in the light of sovereign rights of States to speak and to make proposals at United Nations meetings.特别是考虑到各国在联合国会议上发言和提出建议属于国家主权方面的权利,会上认为有必要保留灵活性。
387. Regarding the proposal that introduction of issues by the Secretariat during the sessions should be dispensed with to expedite deliberations by the Commission, at least in respect of issues already discussed in documents before the Commission, the proponents were urged to consider the point of view of various delegations, including those that did not work with the English version of documents (and therefore would appreciate a detailed introduction by the Secretariat, particularly in case of late issuance of documents), or that could not afford to participate in working groups, but still wished to have a say in the finalization of texts by the Commission.387. 对于另一项建议,即届会期间应省却秘书处对议题的介绍,以加快委员会的审议,至少对委员会所收到文件中已作讨论的议题应当省却介绍,会上促请该建议的支持者考虑各代表团的意见,包括那些不以英文本文件作为工作文件(因而会赞赏秘书处提供详细介绍,特别是在文件晚发的情况下)的代表团的意见,或者那些负担不起参加工作组的费用但仍希望在委员会最后审定案文时发表意见的代表团的意见。
While the importance of taking those considerations into account was generally acknowledged, a widely shared view was also expressed that annual sessions of the Commission should not be used as substitutes for additional working group sessions.在普遍认可有必要考虑这些因素的同时,还表达了一种普遍共识,即委员会的年度届会不应被用来替代工作组的额外届会。
It was recalled that texts submitted by working groups for adoption by the Commission were expected to be sufficiently mature to avoid protracted discussion, especially at more than one annual session of the Commission.会上回顾,工作组提交供委员会通过的案文理应达到十分成熟的程度,以避免延长讨论时间,特别是避免多次放在委员会年度届会上讨论。
388. Regarding the work programme of the Commission, the value of suggestions that might be made by experts on topics considered by working groups was acknowledged.388. 对于委员会的工作方案,会上确认专家就工作组审议的专题提出建议的价值。
However, the prevailing view was that the discussion of future work by the Commission should be scheduled for decisions to take place at the end of each session of the Commission.然而,普遍看法是,委员会讨论未来工作的时间安排应便于在每届会议结束时作出决定。
Such decisions should not be made within the working groups or during the finalization of texts submitted to the Commission.这样的决定不应在工作组范围内或者在最后审定提交委员会的案文期间作出。
As to the duration of Commission sessions, preference was expressed for holding shorter sessions (i.e. to avoid three-week sessions).至于委员会届会的会期,会上表示倾向于将届会时间缩短一些(即避免开三周届会)。
However, it was widely acknowledged that the workload of the Commission might justify flexibility, including the possibility of holding three-week sessions.但普遍确认,委员会的工作量可能要求有一定灵活性,包括开三周届会的可能性。
It was recalled that the Commission usually had a chance to approve the timing and duration of its next session one year in advance.会上回顾,委员会通常有机会提前一年核准其下一届会议的时间和会期。
389. About the use of online platforms by the Secretariat for intersessional consultations among States, a reservation was expressed, as States themselves should have a chance to consider how those platforms would work in compliance with various applicable rules of the United Nations.389. 关于秘书处利用在线平台供各国进行闭会期间磋商的问题,会上表示了保留意见,因为各国自当有机会考虑这些平台该如何运行才符合联合国的各种适用规则。
The scarcity of resources available to the UNCITRAL secretariat, including the lack of dedicated resources for IT specialists and IT services, was recalled.会上回顾,贸易法委员会秘书处的可用资源十分匮乏,包括缺乏专门用于信息技术专家和信息技术服务资源。
390. Some support was expressed for continuing the discussion of the proposals at a future session.390. 一些代表团表示支持在今后届会上继续讨论这些建议。
The prevailing view was that the issues raised in the proposals were more appropriate for informal discussion among States, and between States and the Secretariat.但普遍意见认为,建议中提出的问题更适合各国之间以及各国与秘书处之间进行非正式讨论。
391. After discussion, the Commission decided to take note of the proposals and invited States to consult informally, among themselves and with the Secretariat, on possible follow-up.391. 经过讨论,委员会决定注意到这些建议,并请各国在彼此之间以及与秘书处就可能的后续行动进行非正式磋商。
Should any issue require a formal decision by the Commission, it could be brought to its attention at a future session.如果有任何问题需要委员会作出正式决定,可在今后届会上提请委员会注意。
The Secretariat was invited to consider any technical adjustment to the provisional agenda and any other administrative measure within its control, to facilitate participation of all States during the entire duration of the session.会议请秘书处考虑对临时议程和在其控制范围内的任何其他管理措施作出任何技术调整,以促进所有国家在整个届会期间参与。
The Secretariat was reminded of the desirability of avoiding United Nations official holidays, if possible, when scheduling sessions.会上提醒秘书处在安排届会时间时最好尽量避开联合国的法定假日。
XIX. Date and place of future meetings十九. 今后会议的日期和地点
392. At its thirty-sixth session, in 2003, the Commission agreed that: (a) working groups should normally meet for a one-week session twice a year; (b) extra time, if required, could be allocated from the unused entitlement of another working group provided that such arrangement would not result in the increase of the total number of 12 weeks of conference services per year currently allotted to sessions of all six working groups of the Commission; and (c) if any request by a working group for extra time would result in the increase of the 12-week allotment, it should be reviewed by the Commission, with proper justification being given by that working group regarding the reasons for which a change in the meeting pattern was needed.392. 委员会在2003年第三十六届会议上商定如下:(a)各工作组一般应每年举行两届会议,每届会议为期一周;(b)如果需要额外时间,可以从另一个工作组未使用的配额中拨给,条件是此种安排不会超出目前分配给委员会所有六个工作组届会的每年会议服务12周这一总数;(c)如果某一工作组对额外时间的任何请求超出12周的分配量,应当由委员会加以审查,该工作组应就为何需要改变会议安排办法提出正当理由。
A. Fiftieth session of the CommissionA. 委员会第五十届会议
393. The Commission approved the holding of its fiftieth session in Vienna from 3 to 21 July 2017.393. 委员会核可于2017年7月3日至21日在维也纳举行第五十届会议。
The Commission confirmed that UNCITRAL Congress 2017 would be held in conjunction with its fiftieth session from 4 to 6 July 2017 (see para. 369 above).委员会确认,将结合委员会第五十届会议于2017年7月4日至6日举行2017年贸易法委员会大会(见上文第369段)。
B. Sessions of working groupsB. 工作组届会
1. Sessions of working groups between the forty-ninth and fiftieth sessions of the Commission1. 委员会第四十九届和第五十届会议之间各工作组的届会
394. The Commission approved the following schedule of meetings for its working groups:394. 委员会核准了各工作组的下述会议时间安排:
(a) Working Group I (MSMEs) would hold its twenty-seventh session in Vienna, from 3 to 7 October 2016, and the twenty-eighth session in New York, from 1 to 9 May 2017;(a) 第一工作组(中小微企业)将于2016年10月3日至7日在维也纳举行第二十七届会议,2017年5月1日至9日在纽约举行第二十八届会议;
(b) Working Group II (Dispute Settlement) would hold its sixty-fifth session in Vienna, from 12 to 23 September 2016 (13 September is a United Nations official holiday in Vienna), and its sixty-sixth session in New York, from 6 to 10 February 2017;(b) 第二工作组(争议解决)将于2016年9月12日至23日在维也纳举行第六十五届会议(9月13日是维也纳的联合国例假),2017年2月6日至10日在纽约举行第六十六届会议;
(c) Working Group IV (Electronic Commerce) would hold its fifty-fourth session in Vienna, from 31 October to 4 November 2016, and its fifty-fifth session in New York, from 24 to 28 April 2017;(c) 第四工作组(电子商务)将于2016年10月31日至11月4日在维也纳举行第五十四届会议,2017年4月24日至28日在纽约举行第五十五届会议;
(d) Working Group V (Insolvency Law) would hold its fiftieth session in Vienna, from 12 to 16 December 2016, and its fifty-first session in New York, from 10 to 19 May 2017;(d) 第五工作组(破产法)将于2016年12月12日至16日在维也纳举行第五十届会议,2017年5月10日至19日在纽约举行第五十一届会议;
(e) Working Group VI (Security Interests) would hold its thirtieth session in Vienna, from 5 to 9 December 2016, and its thirty-first session in New York, from 13 to 17 February 2017.(e) 第六工作组(担保权益)将于2016年12月5日至9日在维也纳举行第三十届会议,2017年2月13日至17日在纽约举行第三十一届会议。
2. Sessions of working groups in 2017 after the fiftieth session of the Commission2. 委员会第五十届会议之后各工作组2017年的届会
395. The Commission noted that tentative arrangements had been made for working group meetings in 2017 after its fiftieth session, subject to the approval by the Commission at that session:395. 委员会注意到,已就委员会第五十届会议之后各工作组2017年的会议作出暂定安排,但需委员会该届会议予以核准:
(a) Working Group I (MSMEs) would hold its twenty-ninth session in Vienna from 2 to 6 October 2017;(a) 第一工作组(中小微企业)将于2017年10月2日至6日在维也纳举行第二十九届会议;
(b) Working Group II (Dispute Settlement) would hold its sixty-seventh session in Vienna from 11 to 15 September 2017;(b) 第二工作组(仲裁和调解)将于2017年9月11日至15日在维也纳举行第六十七届会议;
(c) Working Group IV (Electronic Commerce) would hold its fifty-sixth session in Vienna from 16 to 20 October 2017;(c) 第四工作组(电子商务)将于2017年10月16日至20月3日在维也纳举行第五十六届会议;
(d) Working Group V (Insolvency Law) would hold its fifty-second session in Vienna from 20 to 24 November 2017;(d) 第五工作组(破产法)将于2017年11月20日至24日在维也纳举行第五十二届会议;
(e) Working Group VI (Security Interests) would hold its thirty-second session in Vienna from 11 to 15 December 2017.(e) 第六工作组(担保权益)将于2017年12月11日至15日在维也纳举行第三十二届会议。
396. The Secretariat has reserved conference services in Vienna during the week of 27 November to 1 December 2017 for a session of Working Group III or another working group or other conference needs of UNCITRAL.396. 秘书处在维也纳预留2017年11月27日至12月1日一周会议服务,用于第三工作组或另一工作组举行一届会议或者用于满足贸易法委员会的其他会议需要。
Annex I附件一
Technical Notes on Online Dispute Resolution《关于网上争议解决的技术指引》
Section I — Introduction第一节 — 导言
Overview of online dispute resolution网上争议解决办法概述
1. In tandem with the sharp increase of online cross-border transactions, there has been a need for mechanisms for resolving disputes which arise from such transactions.1. 随着网上跨境交易迅猛增加,需要建立针对此类交易所产生的争议的解决机制。
2. One such mechanism is online dispute resolution (“ODR”), which can assist the parties in resolving the dispute in a simple, fast, flexible and secure manner, without the need for physical presence at a meeting or hearing.2. 其中一种机制是网上争议解决(网上解决),网上解决可协助当事人以简单、快捷、灵活和安全的方式解决争议,而无需亲自出席会议或听讯。
ODR encompasses a broad range of approaches and forms (including but not limited to ombudsmen, complaints boards, negotiation, conciliation, mediation, facilitated settlement, arbitration and others), and the potential for hybrid processes comprising both online and offline elements.网上解决包括多种办法和形式(包括但不限于监察员、投诉局、谈判、调解、调停、协助下调解、仲裁及其他),以及采用既含网上部分又含非网上部分的混合程序的可能性。
As such, ODR represents significant opportunities for access to dispute resolution by buyers and sellers concluding cross-border commercial transactions, both in developed and developing countries.因此,不论是在发达国家还是发展中国家,网上解决都为订立跨境商业交易的买卖双方寻求解决争议提供了重要机会。
Purpose of the Technical Notes《技术指引》的目的
3. The purpose of the Technical Notes is to foster the development of ODR and to assist ODR administrators, ODR platforms, neutrals, and the parties to ODR proceedings.3. 《技术指引》的目的是促进网上解决办法的发展,并协助网上解决管理人、网上解决平台、中立人以及网上解决程序各方当事人。
4. The Technical Notes reflect approaches to ODR systems that embody principles of impartiality, independence, efficiency, effectiveness, due process, fairness, accountability and transparency.4. 《技术指引》反映了对网上解决系统采取的方针,这些方针体现了公正、独立、高效、实效、正当程序、公平、问责和透明原则。
5. The Technical Notes are intended for use in disputes arising from cross-border low-value sales or service contracts concluded using electronic communications.5. 《技术指引》着眼于使用电子通信订立的跨境低价值销售或服务合同所产生的争议。
They do not promote any practice of ODR as best practice.《技术指引》并不倡导以任何网上解决做法作为最佳做法。
Non-binding nature of the Technical Notes《技术指引》不具约束性
6. The Technical Notes are a descriptive document. They are not intended to be exhaustive or exclusive, nor are they suitable to be used as rules for any ODR proceeding.6. 《技术指引》是一项说明性文件,既不着眼于具有穷尽性或排他性,也不适合用作任何网上解决程序的规则。
They do not impose any legal requirement binding on the parties or any persons and/or entities administering or enabling an ODR proceeding, and do not imply any modification to any ODR rules that the parties may have selected.《技术指引》并不提出对当事人或者对管理网上解决程序或者使之得以进行的任何人和(或)任何实体具有约束力的任何法律要求,也不意味着对当事人可能选用的任何网上解决规则作任何修改。
Section II — Principles第二节 — 原则
7. The principles that underpin any ODR process include fairness, transparency, due process and accountability.7. 任何网上解决过程所依据的原则应当包括公平、透明、正当程序和问责。
8. ODR may assist in addressing a situation arising out of cross-border e-commerce transactions, namely the fact that traditional judicial mechanisms for legal recourse may not offer an adequate solution for cross-border e-commerce disputes.8. 网上解决可有助于处理由于跨境电子商务交易而产生的一种情形,即法律追索方面的传统司法机制可能没有为跨境电子商务争议提供适足解决办法。
9. ODR ought to be simple, fast and efficient, in order to be able to be used in a “real world setting”, including that it should not impose costs, delays and burdens that are disproportionate to the economic value at stake.9. 网上解决应当简单、快捷、高效,以便能够在“真实的现实环境”中加以使用,其中包括,网上解决不应造成与所涉经济价值不相称的费用、延迟和负担。
透明
Transparency 10. It is desirable to disclose any relationship between the ODR administrator and a particular vendor, so that users of the service are informed of potential conflicts of interest.10. 可取的做法是,披露网上解决管理人与特定卖方之间的任何关系,以使服务使用人了解潜在的利益冲突。
11. The ODR administrator may wish to publish anonymized data or statistics on outcomes in ODR processes, in order to enable parties to assess its overall record, consistent with applicable principles of confidentiality.11. 网上解决管理人似应本着所适用的保密原则,公布关于网上解决过程结果的匿名数据或统计数字,以使当事人能够评价其全面记录。
12. All relevant information should be available on the ODR administrator’s website in a user-friendly and accessible manner.12. 所有相关信息均应以用户相宜、便于查询方式放在网上解决管理人的网站上。
Independence独立性
13. It is desirable for the ODR administrator to adopt a code of ethics for its neutrals, in order to guide neutrals as to conflicts of interest and other rules of conduct.13. 可取的做法是,网上解决管理人对其中立人采用职业道德守则,以便就利益冲突以及其他行为守则向中立人提供指导。
14. It is useful for the ODR administrator to adopt policies dealing with identifying and handling conflicts of interest.14. 网上解决管理人不妨采用针对利益冲突调查和处理的内部政策。
专长
Expertise 15. The ODR administrator may wish to implement comprehensive policies governing selection and training of neutrals.15. 网上解决管理人似应实行关于中立人选择和培训的全面政策。
16. An internal oversight/quality assurance process may help the ODR administrator to ensure that a neutral conforms with the standards it has set for itself.16. 内部监督/质量保证程序可有助于网上解决管理人确保中立人遵守其自律标准。
Consent同意
17. The ODR process should be based on the explicit and informed consent of the parties.17. 网上解决过程应当以取得各方当事人的明确、知情同意为基础。
Section III — Stages of an ODR proceeding第三节 — 网上解决程序各阶段
18. The process of an ODR proceeding may consist of stages including: negotiation; facilitated settlement; and a third (final) stage.18. 网上解决程序的过程可由各个阶段组成,其中包括:谈判、协助下调解、第三(最后)阶段。
19. When a claimant submits a notice through the ODR platform to the ODR administrator (see section VI below), the ODR administrator informs the respondent of the existence of the claim and the claimant of the response.19. 申请人通过网上解决平台向网上解决管理人提交通知(见下文第六节),网上解决管理人即向被申请人通知申请事宜,并向申请人通知答复事宜。
The first stage of proceedings — a technology-enabled negotiation — commences, in which the claimant and respondent negotiate directly with one another through the ODR platform.程序的第一阶段——技术导引下谈判——随即启动,在这一阶段中,申请人和被申请人经由网上解决平台直接相互谈判。
20. If that negotiation process fails (i.e. does not result in a settlement of the claim), the process may move to a second, “facilitated settlement” stage (see paras. 40-44 below).20. 如果谈判过程未果(即未能就申请事宜达成和解),程序可进入第二阶段,即“协助下调解”阶段(见下文第40-44段)。
In that stage of ODR proceedings, the ODR administrator appoints a neutral (see para. 25 below), who communicates with the parties in an attempt to reach a settlement.在网上解决程序的这一阶段,网上解决管理人指定一位中立人(见下文第25段)与各方当事人沟通,以图达成和解。
21. If facilitated settlement fails, a third and final stage of ODR proceedings may commence, in which case the ODR administrator or neutral may inform the parties of the nature of such stage.21. 如果协助下调解未果,可以启动网上解决程序的第三阶段即最后阶段, 在这种情况下,网上解决管理人或中立人可向当事人告知这一阶段的性质。
Section IV — Scope of ODR process第四节 — 网上解决过程的范围
22. An ODR process may be particularly useful for disputes arising out of cross-border, low-value e-commerce transactions.22. 网上解决过程可能特别有助于解决跨境、低价值电子商务交易所产生的争议。
An ODR process may apply to disputes arising out of both a business-to-business as well as business-to-consumer transactions.网上解决过程可适用于企业对企业交易以及企业对消费者交易所产生的争议。
23. An ODR process may apply to disputes arising out of both sales and service contracts.23. 网上解决过程可适用于销售合同和服务合同所产生的争议。
Section V — ODR definitions, roles and responsibilities, and communications第五节 — 网上解决的定义、作用和职责以及通信
24. Online dispute resolution, or “ODR”, is a “mechanism for resolving disputes through the use of electronic communications and other information and communication technology”.24. 网上争议解决或称“网上解决”是“借助电子通信以及其他信息和通信技术解决争议的一种机制”。
The process may be implemented differently by different administrators of the process, and may evolve over time.这一过程可以由不同的程序管理人以不同方式执行,并可能随时间演变。
25. As used herein a “claimant” is the party initiating ODR proceedings and the “respondent” the party to whom the claimant’s notice is directed, in line with traditional, offline, alternative dispute resolution nomenclature.25. 此处所使用的“申请人”是提起网上解决程序的当事人,“被申请人”是被发给申请人通知的当事人,这与传统的、非网上、非诉讼争议解决办法的用语一致。
A neutral is an individual that assists the parties in settling or resolving the dispute.中立人是协助当事人调解争议或解决争议的个人。
26. ODR requires a technology-based intermediary.26. 网上解决要求有一个基于技术的中间环节。
In other words, unlike offline alternative dispute resolution, an ODR proceeding cannot be conducted on an ad hoc basis involving only the parties to a dispute and a neutral (that is, without an administrator).换言之,与非网上的非诉讼争议解决办法不同的是,网上解决程序是不可能在只有争议当事人和中立人(即没有管理人)的情况下专门实施的。
Instead, to permit the use of technology to enable a dispute resolution process, an ODR process requires a system for generating, sending, receiving, storing, exchanging or otherwise processing communications in a manner that ensures data security.相反,为了允许使用技术手段,从而能够进行争议调解程序,网上解决过程要求必须有一套以确保数据安全的方式生成、发送、接收、存储、交换或以其他手段处理通信的系统。
Such a system is referred to herein as an “ODR platform”.这种系统在此处称作“网上解决平台”。
27. An ODR platform should be administered and coordinated.27. 网上解决平台应当是加以管理和协调的。
The entity that carries out such administration and coordination is referred to herein as the “ODR administrator”.执行此种管理和协调功能的实体在此处称作“网上解决管理人”。
The ODR administrator may be separate from or part of the ODR platform.网上解决管理人可以独立于网上解决平台,也可以是平台的组成部分。
28. In order to enable ODR communications, it is desirable that both the ODR administrator and the ODR platform be specified in the dispute resolution clause.28. 为了能够进行网上解决方面的通信,可取的做法是,在争议解决条款中具体指明网上解决管理人和网上解决平台。
29. The communications that may take place during the course of proceedings have been defined as “any communication (including a statement, declaration, demand, notice, response, submission, notification or request) made by means of information generated, sent, received or stored by electronic, magnetic, optical or similar means.”29. 程序进行过程中可能发生的通信已定义为“以借助电子手段、电磁手段、光学手段或类似手段生成、发送、接收或存储信息的方式进行的任何通信(包括陈述、声明、要求、通知、答复、提交书、通知书或请求)”。
30. It is desirable that all communications in ODR proceedings take place via the ODR platform.30. 可取的做法是,网上解决程序中的所有通信都经由网上解决平台进行。
Consequently, both the parties to the dispute, and the ODR platform itself, should have a designated “electronic address”.因此,争议双方,以及网上解决平台本身,都应当有一个指定的“电子地址”。
The term “electronic address” is defined in other UNCITRAL texts.“电子地址”一词已在贸易法委员会其他法规中界定。
31. To enhance efficiency it is desirable that the ODR administrator promptly:31. 为提高效率,可取的做法是,网上解决管理人迅速:
(a) Acknowledge receipt of any communication by the ODR platform;(a) 确认任何通信已为网上解决平台收到;
(b) Notify parties of the availability of any communication received by the ODR platform;(b) 通知当事人网上解决平台收到的任何通信可供检索;以及
and
(c) Keep the parties informed of the commencement and conclusion of different stages of the proceedings.(c) 将程序不同阶段的启动和终结事宜随时告知当事人。
32. In order to avoid loss of time, it is desirable that a communication be deemed to be received by a party when the administrator notifies that party of its availability on the platform; deadlines in the proceedings would run from the time the administrator has made that notification.32. 为避免时间损失,可取的做法是,管理人通知一当事人可在平台上检索某一通信之时,视为该当事人收到该通信的时间;程序截止时间将自管理人发出该通知之时起算。
At the same time, it is desirable that the ODR administrator be empowered to extend deadlines, in order to allow for some flexibility when appropriate. Section VI — Commencement of ODR proceedings同时,可取的做法是,网上解决管理人应有权延长最后期限,以便酌情留出一定灵活余地。 第六节 — 网上解决程序的启动
33. In order that an ODR proceeding may begin, it is desirable that the claimant provide to the ODR administrator a notice containing the following information:33. 为了可以开始网上解决程序,可取的做法是,由申请人向网上解决管理人发送一份载有下列内容的通知:
(a) The name and electronic address of the claimant and of the claimant’s representative (if any) authorized to act for the claimant in the ODR proceedings;(a) 申请人和受权在网上解决程序中代表申请人行事的申请人代表(如果有的话)的名称和电子地址;
(b) The name and electronic address of the respondent and of the respondent’s representative (if any) known to the claimant;(b) 申请人所了解的被申请人以及被申请人代表(如果有的话)的名称和电子地址;
(c) The grounds on which the claim is made;(c) 提出申请的依据;
(d) Any solutions proposed to resolve the dispute;(d) 为解决争议提出的任何办法;
(e) The claimant’s preferred language of proceedings;(e) 申请人首选的程序语文;以及
and
(f) The signature or other means of identification and authentication of the claimant and/or the claimant’s representative.(f) 申请人和(或)申请人代表的签名或其他身份识别和认证手段。
34. ODR proceedings may be deemed to have commenced when, following a claimant’s communication of a notice to the ODR administrator, the ODR administrator notifies the parties that the notice is available at the ODR platform.34. 申请人将通知发送给网上解决管理人后,网上解决管理人通知各方当事人可在网上解决平台检索该通知之时,可视为网上解决程序启动的时间。
35. It is desirable that the respondent communicate its response to the ODR administrator within a reasonable time of being notified of the availability of the claimant’s notice on the ODR platform, and that the response include the following elements:35. 可取的做法是,被申请人在被通知可在网上解决平台检索申请人通知的合理时限内向网上解决管理人发送其答复,并且该答复包括下述内容:
(a) The name and electronic address of the respondent and the respondent’s representative (if any) authorized to act for the respondent in the ODR proceedings;(a) 被申请人和受权在网上解决程序中代表被申请人行事的被申请人代表(如果有的话)的名称和电子地址;
(b) A response to the grounds on which the claim is made;(b) 就提出申请的依据的答复;
(c) Any solutions proposed to resolve the dispute;(c) 为解决争议提出的任何办法;
(d) The signature or other means of identification and authentication of the respondent and/or the respondent’s representative;(d) 被申请人和(或)被申请人代表的签名和或其他身份识别和认证手段;以及
and
(e) Notice of any counterclaim containing the grounds on which the counterclaim is made.(e) 载明反请求所依据的理由的任何反请求通知。
36. As much as is possible, it is desirable that both the notice and response be accompanied by all documents and other evidence relied upon by each party, or contain references to them.36. 可取的做法是,通知和答复尽量多地附具每方当事人所依赖的所有文件和其他证据,或者载明这些文件和证据的出处。
In addition, to the extent that a claimant is pursuing any other legal remedies, it is desirable that such information also be provided with the notice.此外,如果申请人还在寻求其他任何法律救济,可取的做法是,还应随通知提供此种信息。
Section VII — Negotiation第七节 — 谈判
37. The first stage may be a negotiation, conducted between the parties via the ODR platform.37. 第一阶段可以是当事人之间经由网上解决平台进行谈判。
38. The first stage of proceedings may commence following the communication of the respondent’s response to the ODR platform and:38. 程序第一阶段的启动时间可以是在被申请人的答复发至网上解决平台之后,并且:
(a) Notification thereof to the claimant;(a) 该答复的通知已发给申请人,或者
or
(b) Failing a response, the lapse of a reasonable period of time after the notice has been communicated to the respondent.(b) 不作答复的,通知发给被申请人后的一段合理时间内。
39. It is desirable that, if the negotiation does not result in a settlement within a reasonable period of time, the process proceed to the next stage.39. 可取的做法是,谈判未在合理时限内达成和解的,程序进入下一阶段。
第八节 — 协助下调解
Section VIII — Facilitated settlement 40. The second stage of ODR proceedings may be facilitated settlement, whereby a neutral is appointed and communicates with the parties to try to achieve a settlement.40. 网上解决程序第二阶段可以是协助下调解,在这一阶段指定一位中立人,由其与各方当事人沟通,设法达成和解。
41. That stage may commence if negotiation via the platform fails for any reason (including non-participation or failure to reach a settlement within a reasonable period of time), or where one or both parties to the dispute request to move directly to the next stage of proceedings.41. 如果经由平台的谈判由于任何原因(包括未参加或者未在某一合理时限内达成和解)未果,或者争议一方或双方请求直接进入程序下一阶段,这一阶段即可启动。
42. Upon commencement of the facilitated settlement stage of proceedings, it is desirable that the ODR administrator appoint a neutral, and notify the parties of that appointment, and provide certain details about the identity of the neutral as described in paragraph 46 below.42. 程序的协助下调解阶段启动时,可取的做法是,由网上解决管理人指定一位中立人,通知各方当事人该指定事宜,并提供下文第46段所说明的关于中立人身份的某些具体情况。
43. In the facilitated settlement stage, it is desirable that the neutral communicate with the parties to try to achieve a settlement.43. 在协助下调解阶段,可取的做法是,中立人与各方当事人沟通,设法达成和解。
44. If a facilitated settlement cannot be achieved within a reasonable period of time, the process may move to a final stage.44. 未能在合理时限内实现协助下和解的,程序可以进入最后阶段。
Section IX — Final stage第九节 — 最后阶段
45. If the neutral has not succeeded in facilitating the settlement, it is desirable that the ODR administrator or neutral informs the parties of the nature of the final stage, and of the form that it might take.45. 中立人协助调解未成功的,可取的做法是,网上解决管理人或中立人向当事人告知最后阶段的性质以及这一阶段可能采取的形式。
Section X — Appointment, powers and functions of the neutral第十节 — 中立人的指定、权力和职能
46. To enhance efficiency and reduce costs, it is preferable that the ODR administrator appoint a neutral only when a neutral is required for a dispute resolution process in accordance with any applicable ODR rules.46. 为提高效率和降低成本,可取的做法是,网上解决管理人仅在按照适用的网上解决规则需要为争议解决程序提供中立人时指定中立人。
At the point in an ODR proceeding at which a neutral is required for the dispute resolution process, it is desirable that the ODR administrator “promptly” appoint the neutral (i.e., generally at the commencement of the facilitated settlement stage of proceedings).在需要为争议解决程序提供中立人的网上解决程序的时间节点,可取的做法是,网上解决管理人“迅速”指定中立人(即一般在程序的协助下调解阶段启动之时)。
Upon appointment, it is desirable that the ODR administrator promptly notify the parties of the name of the neutral and any other relevant or identifying information in relation to that neutral.一经指定,可取的做法是,网上解决管理人迅速将中立人的姓名以及与该中立人有关的其他任何相关信息或身份识别信息通知当事人。
47. It is desirable that neutrals have the relevant professional experience as well as dispute resolution skills to enable them to deal with the dispute in question.47. 可取的做法是,中立人拥有使其能够处理有关争议的相关专业经验和争议解决技巧。
However, subject to any professional regulation, ODR neutrals need not necessarily be qualified lawyers.然而,在遵守任何专业条例的前提下,网上解决中立人不一定必须是有资格律师。
48. With regard to the appointment and functions of neutrals, it is desirable that:48. 关于中立人的指定和职能,可取的做法是:
(a) The neutral’s acceptance of his or her appointment operates to confirm that he or she has the time necessary to devote to the process;(a) 中立人接受对其指定,即为确认其可专门为进行程序而投入必要时间;
(b) The neutral be required to declare his or her impartiality and independence and disclose at any time any facts or circumstances that might give rise to likely doubts as to his or her impartiality or independence;(b) 要求中立人就其公正性和独立性作出声明,并随时披露或许导致对其公正性和独立性产生可能的疑问的任何事实或情形;
(c) The ODR system provides parties with a method for objecting to the appointment of a neutral;(c) 网上解决系统为当事人提供对中立人的指定提出反对的方法;
(d) In the event of an objection to an appointment of a neutral, the ODR administrator be required to make a determination as to whether the neutral shall be replaced;(d) 在对中立人的指定提出反对的情况下,要求网上解决管理人就是否替换中立人作出裁定;
(e) There be only one neutral per dispute appointed at any time for reasons of cost efficiency;(e) 为成本效益起见,不论何时,每次争议只应指定一名中立人;
(f) A party be entitled to object to the neutral receiving information generated during the negotiation period;(f) 一方当事人有权对中立人接收谈判期间产生的信息提出反对;并且
and
(g) If the neutral resigns or has to be replaced during the course of the ODR proceedings, the ODR administrator be required to appoint a replacement, subject to the same safeguards as set out during the appointment of the initial neutral.(g) 如果中立人在网上解决程序过程中辞职或者被替换,要求网上解决管理人指定一名替换人,但需符合指定初始中立人期间所规定的同样保障条件。
49. In respect of the powers of the neutral, it is desirable that:49. 关于中立人的权力,可取的做法是:
(a) Subject to any applicable ODR rules, the neutral be enabled to conduct the ODR proceedings in such a manner as he or she considers appropriate;(a) 在不违反任何适用的网上解决规则的前提下,使中立人能够以其认为适当的方式进行网上解决程序;
(b) The neutral be required to avoid unnecessary delay or expense in the conduct of the proceedings;(b) 要求中立人在进行程序时避免不必要的延迟或费用;
(c) The neutral be required to provide a fair and efficient process for resolving disputes;(c) 要求中立人为解决争议提供公平、高效的程序;
(d) The neutral be required to remain independent, impartial and treat both parties equally throughout the proceedings;(d) 要求中立人在程序全过程中保持独立、公正,平等对待双方当事人;
(e) The neutral be required to conduct proceedings based on such communications as are before the neutral during the proceedings;(e) 要求中立人根据中立人在程序期间收到的通信进行程序;
(f) The neutral be enabled to allow the parties to provide additional information in relation to the proceedings;(f) 使中立人能够允许当事人提供与程序相关的补充信息;并且
and
(g) The neutral be enabled to extend any deadlines set out in any applicable ODR rules for a reasonable time.(g) 使中立人能够将任何适用的网上解决规则中载明的任何最后期限展延一段合理时间。
50. While the process for appointment of a neutral for an ODR proceeding is subject to the same due process standards that apply to that process in an offline context, it may be desirable to use streamlined appointment and challenge procedures in order to address the need for ODR to provide a simple, time-, and cost-effective alternative to traditional approaches to dispute resolution.50. 虽然为网上解决程序指定中立人的程序须符合非网上环境下此种程序所适用的同样的正当程序标准,但可取的做法是,使用简化的指定和质疑程序,以顾及对于网上解决以简单、省时且具成本效益的办法替代传统争议解决办法的需要。
Section XI — Language第十一节 — 语文
51. Technology tools available in ODR can offer a great deal of flexibility regarding the language used for the proceeding.51. 网上解决可利用的技术工具能够为程序所使用的语文提供极大灵活性。
Even where an ODR agreement or ODR rules specify a language to be used in proceedings, it is desirable that a party to the proceedings be able to indicate in the notice or response whether it wishes to proceed in a different language, so that the ODR administrator can identify other language options that the parties may select.即使网上解决协议或网上解决规则指明了程序使用的语文,可取的做法是,程序的一方当事人仍然能够在通知或答复中表示其希望以另一种语文进行程序,以使网上解决管理人能够确定可供当事人选择的其他语文。
Section XII — Governance第十二节 — 管理
52. It is desirable for guidelines (and/or minimum requirements) to exist in relation to the conduct of ODR platforms and administrators.52. 可取的做法是,订有关于网上解决平台和网上解决管理人行为的准则(和(或)最低限要求)。
53. It is desirable that ODR proceedings be subject to the same confidentiality and due process standards that apply to dispute resolution proceedings in an offline context, in particular independence, neutrality and impartiality.53. 可取的做法是,网上解决程序须符合非网上环境下争议解决程序所适用的同样的保密标准和正当程序标准,特别是在独立性、中立性和公正性方面。
54.
Annex II附件二
Guidance Note on Strengthening United Nations Support to States, Upon Their Request, to Implement Sound Commercial Law Reforms《关于加强联合国根据请求对各国支助以落实健全商法改革的 指导意见说明》
A. About this Guidance NoteA. 关于本《指导意见说明》
1. This Guidance Note provides the guiding principles and framework for strengthening United Nations support to States, upon their request, to implement sound commercial law reforms on the basis of internationally accepted standards.1. 本《指导意见说明》提供关于加强联合国根据请求对各国支助以在国际公认标准的基础上落实健全商法改革的指导原则和框架。
It is framed within the United Nations mandate to promote higher standards of living, full employment, and conditions of economic and social progress and development, as well as solutions of international economic, social and related problems.《指导意见说明》是根据联合国任务授权编拟的,着眼于提高生活水平,促进全面就业,改善经济和社会进步和发展条件,并推动国际经济、社会及相关问题的解决。
It is a contribution to the implementation of the international development agenda and General Assembly resolutions calling for: (a) enhanced technical assistance and capacity-building in the international commercial law field; (b) better integration of the work in that field in the broader agenda of the United Nations; (c) greater coordination and coherence among the United Nations entities and with donors and recipients; (d) greater evaluation of the effectiveness of such activities;指导意见说明是对落实国际发展议程和联合国决议的贡献,其中要求:(a)增进国际商法领域技术援助和能力建设;(b)在更广泛的联合国议程中更好地整合这一领域的工作;(c)增进联合国各实体之间以及与捐助方和受援方的协调和一致性;(d)进一步评价此种活动的效果;(e)采取措施提高能力建设活动的效果;(f)将各国的观点置于联合国援助方案的核心位置。
(e) measures to improve the effectiveness of capacity-building activities;
and (f) placement of national perspectives at the centre of United Nations assistance programmes.
2.
This Guidance Note is relevant to all United Nations departments, offices, funds, agencies and programmes as well as other donors that deal with: (a) mobilizing finance for sustainable development; (b) reducing or removing legal obstacles to the flow of international trade and achieving international and/or regional economic integration; (c) private sector development; (d) justice sector reforms;2. 本《指导意见说明》与联合国所有的部、办事处、基金、机构和方案以及其他捐助方下述方面的活动有关:(a)为可持续发展筹集资金;(b)减少或消除影响国际贸易流动的法律障碍并实现国际和(或)区域经济整合;(c)私营部门发展;(d)司法部门改革;(e)增加经济体应对经济危机的弹性;(f)良好治理,包括公共采购改革和电子政务;(g)提高贫困者地位;(h)通过教育防止和打击经济犯罪(如商业欺诈、伪造和造假);(i)从根源上处理经济因素所引发的冲突;(j)处理冲突后经济恢复问题;(k)处理内陆国家国际贸易通道具体问题;(l)在国内落实国际商法及相关领域中的国际义务。
(e) increasing the resilience of economies to economic crisis;
(f) good governance, including public procurement reforms and e-governance;
(g) empowerment of the poor;
(h) preventing and combating economic crimes through education (e.g. commercial fraud, forgery and falsification);
(i) addressing the root causes of conflicts triggered by economic factors;
(j) addressing post-conflict economic recovery problems;
(k) addressing specific problems with access to international trade by landlocked countries;
and (l) domestic implementation of international obligations in the field of international commercial law and related areas.
B. Guiding principlesB. 指导原则
1. The United Nations work in the field of international commercial law as an integral part of the broader agenda of the United Nations1. 联合国国际商法领域工作作为联合国更广泛议程的一个组成部分
3. The establishment of sound rules furthering commercial relations is an important factor in economic development.3. 确立健全规则促进商业关系,是经济发展的一个重要因素。
This is because commercial decisions are taken not in isolation but in the context of all relevant factors, including the applicable legal framework.这是因为商业决定不是孤立地作出的,而是结合所有相关因素作出的,其中包括适用的法律框架。
4. The modern and harmonized international commercial law framework is the basis for rule-based commercial relations and an indispensable part of international trade, bearing in mind the relevance of domestic law and domestic legal systems in this regard.4. 现代统一国际商法框架是基于规则的商业关系的基础,也是国际贸易不可或缺一个部分,同时铭记这方面的国内法和国内法律体系的相关性。
In reducing or removing legal obstacles to the flow of international trade, especially those affecting developing countries, it also contributes significantly to universal economic cooperation among all States on a basis of equality, equity, common interest and respect for legality, to the elimination of discrimination in international trade and, thereby, to peace, stability and the well-being of all peoples.在减少或消除影响国际贸易流动的法律障碍方面,特别是在减少或消除影响发展中国家的这些法律障碍方面,这一框架还大大有助于所有国家在平等、公平、共同利益和尊重合法性的基础上的普遍经济合作,有助于消除国际贸易中的歧视现象,从而有助于促进世界各国人民的和平、稳定与福祉。
The implementation and effective use of such frameworks are also essential for advancing good governance, sustained economic development and the eradication of poverty and hunger.这种框架的执行和有效使用也是增进良好治理、可持续经济发展以及铲除贫困和饥馑的关键。
Accordingly, they may contribute to the achievement of the purposes of the United Nations Charter and those specified in the United Nations General Assembly resolution 2205 (XXI) of 17 December 1966 on the establishment of the United Nations Commission on International Trade Law (UNCITRAL).因此,它们可有助于实现《联合国宪章》和大会1966年12月17日关于设立联合国国际贸易法委员会(贸易法委员会)的第2205 (XXI)号决议所规定的宗旨。
5. For these reasons, the United Nations work in the field of international commercial law should be better integrated, where and as necessary, at the headquarters and country levels in United Nations operations in development, conflict-prevention, post-conflict-reconstruction and other appropriate contexts.5. 出于这些原因,联合国国际商法领域的工作在必要情况下应当在总部和国别各级更好地整合到联合国在发展、预防冲突、冲突后重建和其他适当方面的工作中。
2. United Nations assistance to States, upon their request, with the assessment of local needs for commercial law reforms and their implementation2. 联合国根据请求协助各国评估当地商法改革需要及其落实情况
6. Commercial law constantly evolves in response to new business practices and global challenges.6. 商业法律随着新的商业实务和全球挑战而不断变化发展。
This necessitates the implementation of commercial law reforms that keep pace with those developments.这就要求实施商法改革,跟上这些发展。
States often request assistance with the assessment of the need for commercial law reforms and their implementation.各国往往请求协助评估商法改革需要及其落实情况。
7. To achieve better integration of the United Nations work in the field of international commercial law in the broader agenda of the United Nations, United Nations entities operating on the ground should be able to respond to such requests.7. 为在更广泛联合国议程中更好地整合联合国在国际商法领域的工作,在实地开展业务的联合国各实体应能够对此类请求作出响应。
For that, they should be aware of standards, tools and expertise readily available in the United Nations system in the field of international commercial law.为此,它们应当注意到联合国系统在国际商法领域所提供的现成标准、工具和专门知识。
Guiding principle 5 below provides sources of information about such standards, tools and expertise and section C of this Guidance Note illustrates steps that may need to be taken to assist States with the assessment and implementation of commercial law reforms.下文指导原则5提供关于此类标准、工具和专门知识的信息来源,本《说明》C节说明协助各国评估和落实商法改革可能需要采取的步骤。
8. United Nations entities should promote the harmonization of the local legal framework regulating commercial relations with internationally accepted commercial law standards, where appropriate.8. 联合国各实体应当酌情促进规范商业关系的本国法律框架与国际公认商法标准的接轨。
Such harmonization would: (a) facilitate recognition, protection and enforcement of contracts and other binding commitments; (b) make commercial law more easily understandable to commercial parties; (c) promote uniform interpretation and application of international commercial law frameworks; and (d) provide legal certainty and predictability in order to enable parties to commercial transactions to take commercially reasonable decisions.这样的接轨将:(a)便利对合同和其他有约束力承诺的承认、保护和执行;(b)使商法更容易为商业当事人所理解;(c)促进国际商法框架的统一解释和适用;(d)提供确定性和可预测性,以使商业交易当事人能够作出商业上合理的决定。
9. States also often request assistance with the assessment of the effectiveness of their mechanisms for adjudicating disputes and enforcing binding commitments in the context of trade and investment, in particular commercial arbitration and alternative dispute resolution mechanisms (jointly referred to in this Guidance Note as ADR).9. 各国还经常请求协助评估其贸易和投资方面的争议裁决机制以及有约束力承诺的执行机制的效果,特别是商事仲裁和非诉讼争议解决机制(在本《指导意见说明》中统称为非诉讼争议解决机制)。
In this context, United Nations entities should be aware of the applicable internationally accepted standards, compliance with which may help to ensure that such mechanisms operate on the basis of internationally recognized norms and are easily accessible, affordable, efficient and effective.在这方面,联合国各实体应注意到适用的国际公认标准,遵守这些标准可能有助于确保此类机制在国际公认规范的基础上运作,而且易于利用、负担得起、效率高且有实效。
Where ADR is promoted by a State as an option to seeking adjudication of commercial disputes in a neutral forum, United Nations entities should be aware that court reforms may be needed so as to equip the judiciary to efficiently and effectively support ADR.在一国促进以非诉讼争议解决机制作为一种选项寻求在中立诉讼地裁决商事争议的情况下,联合国各实体应注意可能需要开展法院改革,使司法机关具备高效率、富有成效地支持非诉讼争议解决机制的条件。
3. United Nations role in assisting States, upon their request, to implement holistic and properly coordinated commercial law reforms3. 联合国在根据请求协助各国落实通盘考虑、适当协调的商法改革方面的作用
10. Laws and regulations governing commercial relations and the accompanying institutional framework are not purely technical matters.10. 涉及商业关系的法律和条规以及相应的体制框架并不是纯粹技术事项。
They embody particular policy preferences.它们体现了某种政策倾向。
They can produce political and social impacts, including gender-unbalanced impacts, in addition to the obvious, economic impacts.除明显经济效应之外,它们还有可能产生政治和社会方面的效应,包括产生性别失衡效应。
11. Commercial law reforms should therefore involve close consultation and coordination among all relevant stakeholders, including non-governmental organizations (representing the general public), lawyers, legislators, judges, arbitrators and other legal practitioners, such as officials responsible for drafting legislation.11. 因此,商法改革应当包括与所有利害相关方的密切协商和协调,其中包括非政府组织(代表公共大众)、律师、立法者、法官、仲裁员和其他法律从业人员,如负责起草立法的官员。
In particular, the close link between policymaking and law-making and institutional reforms needs to be ensured.特别是,有必要确保决策、立法和体制改革之间的密切联系。
12. Commercial law reform is strongly linked to international legal obligations.12. 商法改革与国际法律义务有很大关系。
Involvement of international experts may be desirable to ensure consistency between domestic law and international obligations where risks of creating gaps or conflicts between the two exist.在国内法和国际义务之间可能产生差距或发生冲突时,国际专家的参与可能是可取的,有助于确保两者之间的一致性。
United Nations entities should also support and encourage cooperation and exchanges of good practices between States as an important means of promoting sound commercial law reform.联合国各实体还应当支持和鼓励各国之间开展合作并交流良好做法,以此作为促进健全商法改革的一个重要手段。
13. The proper coordination among United Nations entities themselves and between them and other donors, as well as domestic governmental departments, engaging in reform efforts should also be achieved.13. 还应当实现联合国各实体自身及其与其他捐助方和参与改革工作的国内政府部门的妥善协调。
The results of coordination and cooperation gained at the country level must be preserved at the headquarters level and vice versa.国家一级协调与合作所产生的结果必须在总部一级得到维护,反之亦然。
Such coordination is essential in order to avoid duplication of efforts and promote efficiency, consistency and coherence in the modernization and harmonization of international commercial law.此种协调至关重要,有助于避免重复工作,并提高国际商法现代化和协调的效率、一致性和连贯性。
4. United Nations support to States, upon their request, with building local capacity to effectively implement sound commercial law reforms4. 联合国根据请求支助各国构建本国有效落实健全商法改革的能力
14. Adequate local capacity to enact, enforce, implement, apply and interpret sound commercial law frameworks is necessary for the expected benefits of rule-based commercial relations and international trade to accrue.14. 为了使基于规则的商业关系和国际贸易产生预期好处,各国必须在颁布、执行、落实、适用和解释健全的商法框架方面建立起完备能力。
Often States request international assistance with building the required local capacity.各国通常请求提供国际援助,构建本国的必要能力。
15. The effective way to provide such assistance is through technical cooperation, training and capacity-building sessions aimed at strengthening local expertise to draw on readily available international standards, tools and expertise for carrying out commercial law reforms at the country level.15. 提供此类援助的有效方式是着眼于加强本国专才,提供技术合作、培训和能力建设课程,从而借鉴现成的国际标准、工具和专门知识在国家一级开展商法改革。
United Nations entities should support the organization of those and similar activities and facilitate participation of local experts therein.联合国各实体应当为安排这些活动和类似活动提供支助,并促进当地专家参与这些活动。
16.
In addition, active participation of domestic governmental and non-governmental stakeholders in international legislative forums such as UNCITRAL (see guiding principle 5) (at the level of both working groups and the Commission) can significantly contribute to the understanding of the benefits of using international legal instruments to facilitate commercial law reform.16. 此外,国内的政府和非政府利害相关方积极参与国际立法论坛,如贸易法委员会(见指导原则5)(包括工作组和委员会两级),可极大地增进对利用国际法律文书促进商法改革的益处的认识。
Such participation can allow stakeholders to gain familiarity with the drafting of international commercial law and the different modalities which can be later used domestically. It can also serve as a platform for exchange of best practices with counterparts from a wide and diverse professional and geographical background.这种参与可使利害相关方熟悉国际商法的起草和随后可用于国内的各种方式,还可作为与具有广泛而多样的专业和地域背景的对应方交流最佳做法的平台。
Close coordination of a State position in various regional and international rule-formulating bodies active in the field of international commercial law helps to avoid the appearance of conflicting rules and interpretations in those bodies.密切协调一国在活跃于国际商法领域的各区域和国际规则制定机构中的立场,有助于避免在这些机构中出现规则和解释相互矛盾的情形。
All efforts should therefore be made by United Nations entities to support States in their endeavours to achieve representation of their position in a sustained and coordinated manner in UNCITRAL and other regional and international rule-formulating bodies active in the field of international commercial law.因此,联合国各实体应当尽一切努力,支持各国努力以持续和协调的方式在贸易法委员会以及活跃在国际商法领域的其他区域和国际规则制定机构表达其立场。
17. Achieving transparent, consistent and predictable outcomes in jurisprudence on commercial law matters in compliance with the relevant international obligations of States is important for rule-based commercial relations.17. 在商法事项裁定中实现透明、一致和可预测的结果,使之符合各国相关的国际义务,对于构建基于规则的商业关系至关重要。
Judges, arbitrators, law professors and other legal practitioners play primary roles in this regard.法官、仲裁员、法学教授以及其他法律从业人员在这方面发挥着首要作用。
Their capacity to interpret international commercial law standards in a way that would promote uniformity in their application and the observance of good faith in international trade should also be a continuous concern.他们是否有能力通过国际商法标准的解释促进这些标准的统一运用以及在国际贸易中遵守诚信原则,也应当是一个持续关注的问题。
There are tools specifically designed by the United Nations for such purposes (see guiding principle 5).联合国专门为此目的设计了工具(见指导原则5)。
United Nations entities should promote their development and use.联合国各实体应促进此类工具的开发和使用。
5. UNCITRAL is the core legal body in the United Nations system in the field of international commercial law and as such should be relied upon by United Nations entities in their support to States, upon their request, to implement sound commercial law reforms5. 贸易法委员会是联合国系统国际商法领域的核心法律机构,因此,联合国各实体在根据请求支助各国落实健全商法改革时应当倚重贸易法委员会
18. UNCITRAL is the law-making body of the United Nations system in the field of international commercial law.18. 贸易法委员会是联合国系统国际商法领域的法律制定机构。
It is an intergovernmental forum composed of Member States elected by the General Assembly.它是由经大会选举产生的成员国组成的政府间论坛。
Its composition is representative of the various geographic regions and the principal economic and legal systems.其组成代表着各个地域以及各主要经济和法律体系。
Additionally, intergovernmental organizations, professional associations and other non-governmental organizations with observer status participate in its work.除此之外,拥有观察员地位的政府间组织、专业协会和其他非政府组织也参与其工作。
19. UNCITRAL standards represent what the international community considers at a given time to be the best international practice for regulating certain commercial transactions.19. 贸易法委员会的标准代表了国际社会在某一特定时期所认可的对某些商业交易进行规范的最佳国际实践。
They equip States with models and guidance to support sound commercial law reforms at lower costs.这些标准为各国提供示范法和指导意见,用以支持以较低成本进行健全的商法改革。
Reliance on such standards enhances the quality of enacted legislation in the long run and builds the confidence of the private sector, including foreign investors, in the ease of doing business in a country that adheres to them.从长远看,依赖此种标准可增进所颁布法规的质量,并使包括外国投资人在内的私营部门对容易在遵守这些标准的国家做生意抱有信心。
20. Most standards are adaptable to local circumstances and needs of commercial parties.20. 大多数标准都可以根据本国具体情况以及商业当事人的需要加以调整。
A particular feature of UNCITRAL model laws and similar instruments issued by other international organizations is that they can be used by States as a basis or inspiration for legislation that forms part of commercial law reform: they can be adapted to domestic circumstances, and States can select which provisions are most relevant to their legal systems.贸易法委员会示范法和其他国际组织发布的类似文书都有一个独特之处,那就是它们可作为各国商法改革中立法的依据或对立法起到启发作用:可根据国内情况对其加以调整,各国也可选择哪些条款与其法律制度最为相关。
21.
In addition to internationally accepted commercial law standards, UNCITRAL provides readily available technical assistance, capacity-building and other tools, such as CLOUT, digests of case law, databases related to the implementation of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, done at New York, on 10 June 1958 (the New York Convention), and other databases and publications, that aim to facilitate the understanding and use of those standards and to disseminate information about modern legal developments, including case law, in the international commercial law field.21. 除国际公认的商法标准之外,贸易法委员会还以方便获取的方式提供技术援助、能力建设和其他工具,如法规判例法、判例法摘要、与执行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》(《纽约公约》)有关的数据库,以及其他一些数据库和出版物,其目的是促进理解和使用这些标准并传播关于国际商法领域包括判例法在内的现代立法动态。
Those tools are in particular indispensable in training judges, arbitrators, law professors and other legal practitioners on commercial law matters and to the legal empowerment of people in general.在对法官、仲裁员、法学教授以及其他法律从业人员商法问题培训中以及在对普通民众普及法律知识方面,这些工具尤其不可或缺。
22.
The areas covered by UNCITRAL work are: (a) contracts (international sale of goods, international transport of goods, electronic commerce); (b) international commercial and investment dispute settlement (arbitration, conciliation, online dispute resolution (ODR) and investor-State dispute resolution); (c) public procurement and privately financed infrastructure projects; (d) international payments;22. 贸易法委员会工作涵盖的领域包括:(a)合同(国际货物销售、国际货物运输、电子商务);(b)国际商事和投资争议解决(仲裁、调解、网上争议解决以及投资人与国家间争议解决);(c)公共采购以及私人融资基础设施项目;(d)国际支付;(e)破产法;(f)担保权益;(g)商业欺诈;(h)创建有利于中小微型企业的法律环境。
(e) insolvency law;
(f) security interests;
(g) commercial fraud;
and (h) developing an enabling legal environment for micro-, small and medium-sized enterprises.
C. Operational frameworkC. 工作框架
23. Sections below illustrate steps that may need to be taken by United Nations entities that are requested by States to assist with the assessment and implementation of commercial law reforms.23. 下面各节说明收到各国请求的联合国各实体协助评估和落实商法改革可能需要采取的步骤。
1. Legal framework1. 法律框架
24. States may request technical assistance and capacity-building with their commercial law reform efforts, in particular with identification of local needs for commercial law reforms, with enactment of a law or with updating and modernizing existing rules on a particular commercial law subject.24. 各国可以请求为其商法改革工作提供技术援助和能力建设方面的帮助,特别是在查明本国对商法改革的需要、颁布一部法律或者增订关于某一商法课题的现有规则并使之现代化方面。
In response, the United Nations should endeavour to assist States with the following, bearing in mind that reform of the legal framework should remain a process which is country led, country owned and country managed:作为回应,联合国应努力在下列方面为各国提供协助,同时铭记法律框架的改革应是由国家主导、国家作主、国家管理的进程。
(a) Preparing a structured workplan that would identify the goals and objectives of the different steps for commercial law reform (for both providing assistance and taking reform measures), set up a schedule, develop strategies to address the weaknesses or inadequacies of the different legislative norms or practices, appoint appropriate focal points to coordinate a specific reform initiative and allocate resources;(a) 制定一项条理清晰的工作计划,该工作计划将查明商法改革不同步骤的目标和宗旨(包括提供援助和采取改革措施方面)、制定时间表、针对不同立法规范或实践存在的缺点或不足制定战略,指定适当的联络点协调具体改革举措,以及划拨资源;
(b) Assessing the general commercial law framework and the status of its implementation in the State, e.g.: (i) whether the State is party to fundamental conventions in the commercial law field (e.g. the New York Convention), which will be conducive to other commercial law reforms; (ii) if yes, the status of their implementation; (iii) if not, measures to be taken to consider becoming a party; and (iv) whether the local commercial law framework is otherwise compliant with internationally accepted commercial law standards;(b) 评估国家的基本商法框架及其实施情况,例如:㈠该国是否加入了商法领域的基本公约(如《纽约公约》),这些公约将有利于其他商法改革;㈡如果已经加入,这些公约的实施情况如何;㈢如果没有加入,拟采取哪些措施以考虑加入这些公约;㈣本国商法框架在其他方面是否也符合国际公认的商法标准;
(c) In the context of a particular commercial law reform:(c) 在特定商法改革方面:
(i) Identifying an applicable internationally accepted commercial law standard and related readily available tools and expertise designed to facilitate its enactment;㈠ 查明适用的国际公认商法标准以及旨在便利颁行此种标准的易于获得的相关工具和专门知识;
(ii) Identifying all stakeholders relevant to the commercial law reform, including domestic reform constituencies, international experts, various donors working in the same or related field, etc., and appropriate focal points in each entity to coordinate a specific reform, in order to facilitate proper consultations with them, where necessary;㈡ 查明与商法改革有关的所有利害相关方,其中包括国内改革的相关部门、国际专家、同一领域或相关领域的各种捐助方以及每个实体负责协调具体改革的适当联络点,以促进与其进行适当协商;
(iii) Preparing a comprehensive legislative package to accompany the adoption of a new law (e.g. other necessary laws, regulations, guidance and/or codes of conduct) and ensuring the proper expert assessment of the legislative package before the law is adopted.㈢ 配合新法律的通过出台一揽子综合立法(如其他必要法律、条例、指导意见和(或)行为守则),并确保在通过某一法律之前对一揽子立法进行适当的专家评估。
2. State institutions involved in commercial law reforms2. 参与商法改革的国家机构
25. States may request technical assistance and capacity-building, in particular as regards:25. 各国可以请求提供技术援助和能力建设方面的帮助,特别是在下述方面:
(a) Development of capacity in various State institutions (parliamentary committees, ministries of justice, trade and economic development, public procurement agencies, monitoring and oversight bodies) to handle commercial law reforms and implement commercial law framework. Technical assistance and capacity-building in such cases may take the form of: (i) raising awareness of readily available internationally accepted commercial law standards, and tools and expertise designed to facilitate understanding, enactment and implementation of those standards; (ii) circulating texts of the relevant standards;(a) 发展各种国家机构(议会委员会、司法部、贸易和经济发展部、公共采购机构、监测和监管机构)进行商法改革并推行商法框架的能力。这些方面的技术援助和能力建设可以采取下述形式:㈠增进对于广泛使用的国际公认商法标准以及为便利理解、颁布和执行这些标准而提供的工具和专门知识的了解;㈡分发相关标准的文本;㈢组办介绍会或培训;㈣为汇集本国商法问题专才的努力提供支持,例如,帮助建立商法专家国家中心或者关于商法问题的国家研究中心和国家数据库;㈤为本国专家负责任地不间断参加制订商法标准的国际和区域活动提供便利;
(iii) organizing briefings or training;
(iv) supporting efforts to centralize local expertise on commercial law issues, for example through the establishment of a national centre of commercial law expertise or national research centre and national databases on commercial law issues;
and (v) facilitating responsible and continuous representation of local experts in international and regional commercial law standard-setting activities;
(b) Building capacity of local judges, arbitrators and other legal practitioners to better understand internationally accepted commercial law standards, apply them in a uniform way and achieve a better quality of judgments and awards. Means of assistance may include: (i) raising awareness of readily available international tools designed to facilitate understanding and uniform interpretation and application of internationally accepted commercial law standards; (ii) supporting the establishment of a mechanism for collecting, analysing and monitoring national case law related to internationally accepted commercial law standards and collecting relevant statistics, e.g. on the speed of adjudication and enforcement; (iii) supporting continuous learning courses for judges and inclusion in the curricula of such courses of the relevant readily available international tools referred to above;(b) 发展本国法官、仲裁员和其他法律从业人员的能力,使其能够更好地理解国际公认的商法标准,以统一方式适用这些标准并提高判决和裁决质量。援助方式可以包括:㈠增进对于为便利理解和统一解释和适用国际公认商法标准而广泛提供的国际工具的了解;㈡支持建立机制以收集、分析和监测关于国际公认商法标准的国家判例法并收集关于判决和执行速度等方面的相关统计数字;㈢支持不断举办面向法官的进修班并在此种进修班的课程中包括上述广泛提供的相关国际工具;㈣组办有专家参加的本国司法培训;㈤增进对国际司法学术讨论会的了解并便利本国法官参加这些学术讨论会;
(iv) organizing local judicial training with the participation of experts;
and (v) raising awareness about international judicial colloquiums and facilitating participation of local judges therein;
(c) The establishment and functioning of arbitration and conciliation centres.
Means of assistance may include: (i) attracting readily available expertise for the establishment of, and support to, such centres; (ii) facilitating access to the ADR and ODR mechanisms in those centres, for example by raising public awareness about them; (iii) organizing training for separate groups of ADR practitioners with the involvement of relevant experts to assist these mechanisms to become more responsive to the rights and needs of intended end users (e.g. arbitrators on uniform application and interpretation of international commercial standards; mediators and conciliators on conflict resolution skills;(c) 建立仲裁和调解中心并使之发挥作用。援助方式可以包括:㈠为建立和支持此种中心而广泛吸纳专业人才;㈡为使用这些中心提供的非诉讼争议解决机制和网上争议解决机制提供便利,例如,在公众中广泛宣传这些机制;㈢在有关专家的参与下面向非诉讼争议解决办法从业人员组办分类培训,以协助这些机制对预期终端使用者的权利和需要作出更有效的反应(例如,仲裁员培训涉及国际商业标准的统一适用和解释;调停员和调解员培训涉及冲突解决技巧;网上争议解决机构的培训涉及电子环境的特定问题);㈣通过法院改革及其他措施处理司法机关在为非诉讼争议解决机制和网上争议解决机制提供适当支助方面的作用问题。
and ODR providers on issues specific to e-environment);
and (iv) addressing through court reforms and other measures the role of the judiciary in providing appropriate support to ADR and ODR mechanisms.
3. Private sector, academia and general public3. 私营部门、学术界和公众
26. States may request assistance with:31. 各国可请求在下列方面提供援助:
(a) Raising public awareness, in particular among micro-, small and medium-sized enterprises and individual entrepreneurs, about internationally accepted commercial law standards, the readily available tools designed to facilitate their understanding and use, and commercial opportunities linked thereto (e.g. e-commerce, cross-border trade, access to domestic and foreign public procurement markets, access to credit, viable options for recovery in case of financial difficulties). Assistance in such cases may take the form of: (i) translation of those standards into local languages; (ii) creation of readily available local databases of those standards with links to their international source and supporting tools; and (iii) dissemination of information about those standards by other means;(a) 增进公众特别是中小微企业以及个体企业主对于国际公认商法标准、广泛提供的旨在便利理解和使用这些标准的工具以及与之相关的商业机会的了解(例如,电子商务、跨境贸易、国内和国外公共采购市场准入、信贷机会、财政困难情况下恢复经济的可行办法)。这些方面的援助可以采取下述形式:㈠将这些标准译成本国语文;㈡创建这些标准的易于使用的本国数据库和与其国际来源和辅助工具的链接;㈢以其他方式传播有关这些标准的信息;
(b) Supporting community-based institutions that contribute to economic activity, empowerment of the poor, private sector development, access to justice, legal education and skills-building, such as chambers of commerce, bar associations, arbitration and conciliation centres, legal information centres and legal aid clinics;(b) 支持可促进经济活动、加强贫困者地位、私营部门发展、诉诸司法、法律教育和培养技能的基于社区的机构,如商会、律师协会、仲裁和调解中心、法律信息中心和法律援助讲习班;
(c) Maintaining regular dialogue with non-governmental organizations that represent various segments of society (e.g. consumers, local communities, end users of public services, individual entrepreneurs, micro-, small and medium-sized enterprises and academia) as regards their views on measures required to improve the commercial law framework in the State;(c) 与代表社会不同部分(如消费者、当地社区、公共服务终端使用者、个体企业主、中小微企业和学术界)的非政府组织保持经常对话,听取它们对于采取必要措施改善本国商法框架的意见;
(d) Assisting members of academia with developing local legal doctrine on commercial law issues in line with internationally prevailing ones, in particular by facilitating establishment of, or participation in, existing regional and international exchange platforms, including electronic ones;(d) 协助学术界成员参照国际普遍适用原则制订本国商法问题法律原则,特别是促进建立并参与现有的区域和国际交流平台,包括电子平台;
(e) Educating people on international commercial law issues and increasing their awareness of basic rights and obligations arising from commercial relations as directly relevant to entrepreneurship (e.g. start-up and management of business) and employment opportunities. Means of achieving that include assistance with: (i) including international commercial law subjects in curricula of schools, vocational and technical training courses and universities; (ii) organizing moot competitions and sponsoring participation of local student teams in relevant international moot competitions; and (iii) raising awareness about international courses on international commercial law matters and facilitating participation of interested individuals therein;(e) 对民众进行国际商法问题教育,增进其对商业关系产生的与创业(如企业开办和管理)直接相关的基本权利和义务以及就业机会的了解。为此可采取的方式包括提供下述方面的援助:㈠在学校、职业和技术培训班和大学教材中列入国际商法课程;㈡组办模拟竞赛并为本国学生队参加相关国际模拟竞赛提供赞助;㈢增进对国际商法事项国际课程的了解并为有兴趣的个人参加这些课程提供便利;
and
(f) Building capacity of various actors in informal justice systems and ADR (e.g. village elders) to use mediation and conciliation skills in accordance with internationally accepted standards and to better understand international commercial law standards, apply them in a uniform way and achieve a better quality of decisions.(f) 协助非正式司法系统以及非诉讼争议解决机制的各个参与方(如乡村长者)发展能力,使其能够根据国际公认的标准运用调停和调解技能并更好地理解国际商法标准,以统一方式运用这些标准并提高决定的质量。
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The UNCITRAL secretariat is interested in learning about experience with the implementation of this Guidance Note. It can be contacted on all issues addressed in this Guidance Note, including as regards provision of assistance with the identification of local needs for commercial law reforms, implementation of commercial law reforms and training on commercial law issues in countries in which the United Nations operates and across the United Nations system.贸易法委员会秘书处愿意了解本《指导意见说明》推行过程中的经验。可以就本《指南意见说明》中述及的所有问题与秘书处联系,包括提供援助查明本国对商法改革的需要,落实商法改革,并在联合国工作所涉国家以及整个联合国系统提供商法问题培训。
Annex III附件三
List of documents before the Commission at its forty-ninth session委员会第四十九届会议文件一览表
Symbol文号
Title or description标题或说明
A/CN.9/859A/CN.9/859
Provisional agenda, annotations thereto and scheduling of meetings of the forty-ninth session第四十九届会议临时议程、临时议程说明和会议时间安排
A/CN.9/860A/CN.9/860
Report of Working Group I (MSMEs) on the work of its twenty-fifth session第一工作组(中小微企业)第二十五届会议工作报告
A/CN.9/861A/CN.9/861
Report of Working Group II (Arbitration and Conciliation) on the work of its sixty-third session第二工作组(仲裁和调解)第六十三届会议工作报告
A/CN.9/862A/CN.9/862
Report of Working Group III (Online Dispute Resolution) on the work of its thirty-second session第三工作组(网上解决争议)第三十二届会议工作报告
A/CN.9/863A/CN.9/863
Report of Working Group IV (Electronic Commerce) on the work of its fifty-second session第四工作组(电子商务)第五十二届会议工作报告
A/CN.9/864A/CN.9/864
Report of Working Group V (Insolvency Law) on the work of its forty-eighth session第五工作组(破产法)第四十八届会议工作报告
A/CN.9/865A/CN.9/865
Report of Working Group VI (Security Interests) on the work of its twenty-eighth session第六工作组(担保权益)第二十八届会议工作报告
A/CN.9/866A/CN.9/866
Report of Working Group I (MSMEs) on the work of its twenty-sixth session第一工作组(中小微企业)第二十六届会议工作报告
A/CN.9/867A/CN.9/867
Report of Working Group II (Arbitration and Conciliation) on the work of its sixty-fourth session第二工作组(仲裁和调解)第六十四届会议工作报告
A/CN.9/868A/CN.9/868
Report of Working Group III (Online Dispute Resolution) on the work of its thirty-third session第三工作组(网上解决争议)第三十三届会议工作报告
A/CN.9/869A/CN.9/869
Report of Working Group IV (Electronic Commerce) on the work of is fifty-third session第四工作组(电子商务)第五十三届会议工作报告
A/CN.9/870A/CN.9/870
Report of Working Group V (Insolvency Law) on the work of its forty-ninth session第五工作组(破产法)第四十九届会议工作报告
A/CN.9/871A/CN.9/871
Report of Working Group VI (Security Interests) on the work of its twenty-ninth session第六工作组(担保权益)第二十九届会议工作报告
A/CN.9/872A/CN.9/872
Technical cooperation and assistance技术合作与援助
A/CN.9/873A/CN.9/873
Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts促进确保统一解释和适用贸易法委员会法规的方式方法
A/CN.9/874A/CN.9/874
Bibliography of recent writings related to the work of UNCITRAL与贸易法委员会工作相关的近期著述书目
A/CN.9/875A/CN.9/875
Coordination activities协调活动
A/CN.9/876A/CN.9/876
Status of conventions and model laws各公约和示范法现状
A/CN.9/877A/CN.9/877
UNCITRAL regional presence — Activities of the UNCITRAL Regional Centre for Asia and the Pacific贸易法委员会的区域存在:贸易法委员会亚洲及太平洋区域中心的活动
A/CN.9/878A/CN.9/878
Work programme of the Commission委员会的工作方案
A/CN.9/879A/CN.9/879
Settlement of commercial disputes: Revision of the UNCITRAL Notes on Organizing Arbitral Proceedings解决商事争议:对《贸易法委员会关于安排仲裁程序的说明》的修订
A/CN.9/880A/CN.9/880
Settlement of commercial disputes: Possible future work on ethics in international arbitration解决商事争议:今后可能在国际仲裁道德准则方面开展的工作
A/CN.9/881A/CN.9/881
Concurrent proceedings in international arbitration投资仲裁的并行程序
A/CN.9/882 and Add.1A/CN.9/882及Add.1
Technical assistance to law reform — Compilation of comments by States on a draft guidance note on strengthening United Nations support to States to implement sound commercial law reforms法律改革技术援助——关于加强联合国对各国支助以落实健全商法改革的指导说明草案各国评论汇编
A/CN.9/882/Add.1/Corr.1A/CN.9/882/Add.1/Corr.1
Technical assistance to law reform — Compilation of comments by States on a draft guidance note on strengthening United Nations support to States to implement sound commercial law reforms — Corrigendum法律改革技术援助——关于加强联合国对各国支助以落实健全商法改革的指导说明草案各国评论汇编
A/CN.9/883A/CN.9/883
Technical assistance to law reform — Draft guidance note on strengthening United Nations support to States, upon their request, to implement sound commercial law reforms法律改革技术援助——关于加强联合国根据请求对各国支助以落实健全商法改革的指导说明草案
A/CN.9/884 and Adds.1-4A/CN.9/884及Adds.1-4
Draft Model Law on Secured Transactions担保交易示范法草案
A/CN.9/885 and Adds.1-4A/CN.9/885及Adds.1-4
Draft Guide to Enactment of the draft Model Law on Secured Transactions担保交易示范法草案颁布指南草案
A/CN.9/886A/CN.9/886
Draft Model Law on Secured Transactions — Compilation of comments担保交易示范法草案——评论意见汇编
A/CN.9/887 and Add.1A/CN.9/887及Add.1
Draft Model Law on Secured Transactions — Compilation of comments担保交易示范法草案——评论意见汇编
A/CN.9/888A/CN.9/888
Online dispute resolution for cross-border electronic commerce transactions — Technical Notes on Online Dispute Resolution跨境电子商务交易网上争议解决—— 关于网上争议解决的技术指引
A/CN.9/889A/CN.9/889
Possible future work in procurement and infrastructure development今后可能在采购和基础设施发展领域开展的工作
A/CN.9/890A/CN.9/890
Settlement of commercial disputes: presentation of a research paper on the Mauritius Convention on Transparency in Treaty-based Investor-State Arbitration as a possible model for further reforms of investor-State dispute settlement解决商事争议:介绍一篇关于《投资人与国家间基于条约仲裁透明度毛里求斯公约》可能作为投资人与国家间争议 解决进一步改革的模式的研究论文
A/CN.9/891A/CN.9/891
Legal Issues Related to Identity Management and Trust Services与身份管理和信托服务有关的法律问题
A/CN.9/892A/CN.9/892
Joint proposal on cooperation in the area of international commercial contract law (with a focus on sales)关于在国际商事合同法(重点是销售)领域开展合作的联合建议
A/CN.9/893A/CN.9/893
Settlement of commercial disputes: Proposal received from the Swiss Arbitration Association解决商事争议:从瑞士仲裁协会收到的建议
1 Pursuant to General Assembly resolution 2205 (XXI), the members of the Commission are elected for a term of six years. Of the current membership, 29 were elected by the Assembly at its sixty-seventh session, on 14 November 2012, one was elected by the Assembly at its sixty-seventh session, on 14 December 2012, 23 were elected by the Assembly at its seventieth session, on 9 November 2015, five were elected by the Assembly at its seventieth session, on 15 April 2016, and two were elected by the Assembly at its seventieth session, on 17 June 2016. By its resolution 31/99, the Assembly altered the dates of commencement and termination of membership by deciding that members would take office at the beginning of the first day of the regular annual session of the Commission immediately following their election and that their terms of office would expire on the last day prior to the opening of the seventh regular annual session following their election.1 根据大会第2205 (XXI)号决议,委员会成员经选举产生,任期六年。在现任成员中,29个由大会第六十七届会议于2012年11月14日选出,1个由大会第六十七届会议于2012年12月14日选出,23个由大会第七十届会议于2015年11月9日选出,5个由大会第七十届会议于2016年4月15日选出,2个由大会第七十届会议于2016年6月17日选出。大会在其第31/99号决议中,改变了成员资格的开始和终止日期,决定所有当选成员国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,其任期应于它们当选后第七届年度常会开幕前的最后一天届满。
2 Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), paras. 194 and 332.2 《大会正式记录,第六十八届会议,补编第17号》(A/68/17),第194和332段。
3 United Nations publication, Sales No. E.09.V.12.3 联合国出版物,出售品编号:E.09.V.12。
4 General Assembly resolution 56/81, annex.4 大会第56/81号决议,附件。
Also available as United Nations publication, Sales No. E.04.V.14.另有联合国出版物,出售品编号:E.04.V.14。
5 United Nations publication, Sales No. E.11.V.6.5 联合国出版物,出售品编号:E.11.V.6。
6 United Nations publication, Sales No. E.14.V.6.6 联合国出版物,出售品编号:E.14.V.16。
7 Official Records of the General Assembly, Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 163.7 《大会正式记录,第六十九届会议,补编第17号》(A/69/17),第163段。
8 Ibid., Seventieth Session, Supplement No. 17 (A/70/17), paras. 214 and 216.8 同上,《第七十届会议,补编第17号》(A/70/17),第214、216段。
9 Ibid., Fifty-fourth Session, Supplement No. 17 (A/54/17), paras. 351-353 and 380. At its forty-fourth session, in 2011, the Commission recalled that the issue of arbitrability should be maintained by the Working Group on its agenda (ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 203).9 同上,《第五十四届会议,补编第17号》(A/54/17),第351-353段。在2011年第四十四届会议上,委员会回顾,可仲裁性问题应当放在该工作组议程上保留(同上,《第六十六届会议,补编第17号》(A/66/17),第203段)。
10 General Assembly resolution 56/81, annex.10 大会第56/81号决议,附件。
Also available as United Nations publication, Sales No. E.04.V.14.另有联合国出版物,出售品编号:E.04.V.14。
11 United Nations publication, Sales No. E.09.V.12.11 联合国出版物,出售品编号:E.09.V.12。
12 United Nations publication, Sales No. E.11.V.6.12 联合国出版物,出售品编号:E.11.V.6。
13 United Nations publication, Sales No. E.14.V.6.13 联合国出版物,出售品编号:E.14.V.6。
14 Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), paras. 194 and 332.14 《大会正式记录,第六十八届会议,补编第17号》(A/68/17),第194和332段。
15 For the reports of those sessions of the Working Group, see A/CN.9/796, A/CN.9/802, A/CN.9/830, A/CN.9/836, A/CN.9/865 and A/CN.9/871.15 工作组这几届会议的报告见A/CN.9/796、A/CN.9/802、A/CN.9/830、A/CN.9/836、A/CN.9/865、A/CN.9/871。
16 Official Records of the General Assembly, Seventieth Session, Supplement No. 17 (A/70/17), para. 214.16 《大会正式记录,第七十届会议,补编第17号》(A/70/17),第214段。
17 A/CN.9/886, A/CN.9/887 and A/CN.9/887/Add.1.17 A/CN.9/886、A/CN.9/887、A/CN.9/887/Add.1。
18 Official Records of the General Assembly, Seventieth Session, Supplement No. 17 (A/70/17), para. 216.18 《大会正式记录,第七十届会议,补编第17号》(A/70/17),第216段。
19 Ibid., para. 217.19 同上,第217段。
20 United Nations publication V.12-51563.20 联合国出版物V.12-51563。
21 UNCITRAL Yearbook, vol. XXVII: 1996, part three, annex II.21 《贸易法委员会年鉴》,第XXVII卷:1996年,第三部分,附件二。
22 Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), para. 130.22 《大会正式记录,第六十八届会议,补编第17号》(A/68/17),第130段。
23 Ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 128.23 同上,《第六十九届会议,补编第17号》(A/69/17),第128段。
24 Ibid., Seventieth Session, Supplement No. 17 (A/70/17), para. 15.24 同上,《第七十届会议,补编第17号》(A/70/17),第15段。
25 Ibid., para. 133.25 同上,第133段。
26 Ibid.26 同上。
27 UNCITRAL Yearbook, vol. XXVII: 1996, part three, annex II.27 《贸易法委员会年鉴》,第XXVII卷:1996年,第三部分,附件二。
28 Official Records of the General Assembly, Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 129.28 《大会正式记录,第六十九届会议,补编第17号》(A/69/17),第129段。
29 Ibid.29 同上。
30 Ibid., Seventieth Session, Supplement No. 17 (A/70/17), para. 135.30 同上,《第七十届会议,补编第17号》(A/70/17),第135段。
31 Ibid., para. 142.31 同上,第142段。
32 Ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), annex I.32 同上,《第六十八届会议,补编第17号》(A/68/17),附件一。
33 Ibid., para. 80.33 同上,第80段。
34 Ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 108.34 同上,《第六十九届会议,补编第17号》(A/69/17),第108段。
35 Ibid., Seventieth session, Supplement No. 17 (A/70/17), para. 161.35 同上,《第七十届会议,补编第17号》(A/70/17),第161段。
36 Ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), annex I.36 同上,《第六十八届会议,补编第17号》(A/68/17),附件一。
37 General Assembly resolution 70/115 of 14 December 2015, para. 2.37 大会2015年12月14日第70/115号决议,第2段。
38 Official Records of the General Assembly, Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 130.38 《大会正式记录,第六十九届会议,补编第17号》(A/69/17),第130段。
39 Ibid., Seventieth Session, Supplement No. 17 (A/70/17), para. 144.39 同上,《第七十届会议,补编第17号》(A/70/17),第144段。
40 Ibid., paras. 145-147.40 同上,第145-147段。
41 Ibid., paras. 148-151.41 同上,第148-151段。
42 Ibid., para. 268.42 同上,第268段。
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, Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 111-117.44 《大会正式记录,第六十九届会议,补编第17号》(A/69/17),第111-117段。
45 United Nations, Treaty Series, vol. 1489, No. 25567.45 联合国,《条约汇编》,第1489卷,第25567号。
46 Official Records of the General Assembly, Seventieth Session, Supplement No. 17 (A/70/17), para. 352.46 《大会正式记录,第七十届会议,补编第17号》(A/70/17),第352段。
47 Ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 257.47 同上,《第六十五届会议,补编第17号》(A/65/17),第257段。
48 Ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), para. 321; reiterated ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 134; and ibid., Seventieth Session, Supplement No. 17 (A/70/17), paras. 220, 225, and 340.48 《大会正式记录,第六十八届会议,补编第17号》(A/68/17),第321段;重申于同上,《第六十九届会议,补编第17号》(A/69/17),第134段,以及同上,《第七十届会议,补编第17号》(A/70/17),第220、225、340段。
49 See a Proposal for a Directive of the European Parliament and of the Council on single-member private limited liability companies, European Commission, Brussels, 9.4.2014 (COM (2014) 212 final). The European Commission had previously considered the Proposal for a Council Regulation on the Statute for a European private company (COM (2008) 396)), but that proposal was officially withdrawn (Annex to the Communication on “Regulatory Fitness and Performance (REFIT): Results and Next Steps”, COM (2013) 685, 2.10.2013).49 见关于欧洲议会和理事会关于单一成员有限责任私人公司指令的建议,欧盟委员会,2014年4月9日,布鲁塞尔(COM (2014) 212 final)。欧盟委员会以前曾审议关于欧洲私营公司章程理事会条例的建议(COM (2008) 396),但该建议被正式撤回(关于“适度监管与业绩:成果和今后的步骤”的信函附件,COM (2013) 685, 2013年10月2日)。
50 E.g. General Assembly resolution 70/115, paras. 16, 19 and 21.50 例如,大会第70/115号决议,第16、19、21段。
51 Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 238.51 《大会正式记录,第六十六届会议,补编第17号》(A/66/17),第238段。
52 Ibid., Seventieth Session, Supplement No. 17 (A/70/17), para. 228.52 同上,《第七十届会议,补编第17号》(A/70/17),第228段。
53 Ibid.53 同上。
54 Ibid., para. 358.54 同上,第358段。
55 Ibid., para. 354.55 同上,第354段。
56 Ibid., para. 358.56 同上,第358段。
57 Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 240.52 57 同上,《第六十六届会议,补编第17号》(A/66/17),第240段。
58 Available at www.unescap.org/resources/framework-agreement-facilitation-cross-border-paperless-trade-asia-and-pacific.58 查阅网址:www.unescap.org/resources/framework-agreement-facilitation-cross-border- paperless-
59 Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 259.59 《大会正式记录,第六十五届会议,补编第17号》(A/65/17),第259段。
60 Ibid.60 同上。
61 Ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 155.61 同上,《第六十九届会议,补编第17号》(A/69/17),第155段。
62 Ibid., para. 156.62 同上,第156段。
63 United Nations publication, Sales No. E.05.V.10.63 联合国出版物,出售品编号:E.05.V.10。
64 Available from www.uncitral.org/uncitral/about/SDGs/Sustainable_Development_Goals.html.64 查阅网址:www.uncitral.org/uncitral/about/SDGs/Sustainable_Development_Goals.html。
65 Official Records of the General Assembly, Seventieth Session, Supplement No. 17 (A/70/17), para. 247.65 《大会正式记录,第七十届会议,补编第17号》(A/70/17),第247段。
66 General Assembly resolutions 69/115, para. 21; and 70/115, para. 21.66 大会第69/115号决议,第21段;第70/115号决议,第21段。
67 Available from http://uncitral.tumblr.com.67 查阅网址:http://uncitral.tumblr.com。
68 Available from www.linkedin.com/company/uncitral.68 查阅网址:www.linkedin.com/company/uncitral。
69 General Assembly resolutions 61/32, para. 17; 62/64, para. 16; 63/120, para. 20; 69/115, para. 21;69 大会第61/32号决议,第17段;第62/64号决议,第16段;第63/120号决议,第20段;第69/115号决议,第21段;第70/115号决议,第21段。
and 70/115, para. 21.
70 Official Records of the General Assembly, Seventieth Session, Supplement No. 17 (A/70/17), para. 248.70 《大会正式记录,第七十届会议,补编第17号》(A/70/17),第248段。
71 Ibid., paras. 251-252.71 同上,第251-252段。
72 United Nations, Treaty Series, vol. 1511, No. 26119.72 联合国,《条约汇编》第1511卷,第26119号。
73 Ibid., vol. 1511, No. 26121.73 同上,第1511卷,第26121号。
74 Ibid., vol. 1695, No. 29215.74 同上,第1695卷,第29215号。
75 Ibid., vol. 2169, No. 38030, p. 163.75 同上,第2169卷,第38030号,第163页。
76 General Assembly resolution 60/21, annex.76 大会第60/21号决议,附件。
77 Official Records of the General Assembly, Forty-seventh Session, Supplement No. 17 (A/47/17), annex I.77 《大会正式记录,第四十七届会议,补编第17号》(A/47/17),附件一。
78 General Assembly resolution 51/162, annex.78 大会第51/162号决议,附件。
79 General Assembly resolution 52/158, annex.79 大会第52/158号决议,附件。
80 General Assembly resolution 56/80, annex.80 大会第56/80号决议,附件。
81 Official Records of the General Assembly, Seventieth Session, Supplement No. 17 (A/70/17), para. 253.81 《大会正式记录,第七十届会议,补编第17号》(A/70/17),第253段。
82 Ibid., Sixty-fourth Session, Supplement No. 17 (A/64/17), para. 370.82 同上,《第六十四届会议,补编第17号》(A/64/17),第370段。
83 The Convention has not yet entered into force; it requires three States parties for entry into force.83 《公约》尚未生效;需要有3个缔约国才能生效。
84 The legislation amends previous legislation based on the unamended Model Law.84 该立法修正了此前基于未经修订的《示范法》的立法。
85 General Assembly resolution 57/18, annex. See also Official Records of the General Assembly, Fifty-seventh Session, Supplement No. 17 (A/57/17), annex I.85 大会第57/18号决议,附件。另见《大会正式记录,第五十七届会议,补编第17号》(A/57/17),附件一。
86 Ibid., Seventieth Session, Supplement No. 17 (A/70/17), para. 264.86 同上,《第七十届会议,补编第17号》(A/70/17),第264段。
87 See Conclusions and recommendations adopted by the Council of March 2016, para. 23, available from www.hcch.net/en/governance/council-on-general-affairs.87 见理事会2016年3月通过的结论和建议,第23段,查阅网址:www.hcch.net/en/ governance/council-on-general-affairs。
88 See Unidroit Governing Council, Summary of the Conclusions, 95th Session, Rome, 18-20 May 2016, C.D. (95) Misc. 2, para. 18, available from www.unidroit.org/english/governments/councildocuments/2016session/cd-95-misc02-e.pdf.88 见统法协会理事会,第九十五届会议结论摘要,2016年5月18日至20日,罗马,C.D.(95) Misc. 2,第18段,查阅网址:www.unidroit.org/english/governments/councildocuments/2016session/
89 Official Records of the General Assembly, Sixty-fifth Session, Supplement No. 17 (A/65/17), annex III.89 《大会正式记录,第六十五届会议,补编第17号》(A/65/17),附件三。
90 Ibid., Seventieth Session, Supplement No. 17 (A/70/17), para. 280.90 同上,《第七十届会议,补编第17号》(A/70/17),第280段。
91 For the decision of the Commission to include the item on its agenda, see Official Records of the General Assembly, Sixty-second Session, Supplement No. 17 (A/62/17), part two, paras. 111-113. 92 General Assembly resolutions 62/70, para. 3; 63/128, para. 7; 64/116, para. 9;91 大会第62/70号决议,第3段;第63/128号决议,第7段;第64/116号决议,第9段;第65/32号决议,第10段;第66/102号决议,第12段;第67/97号决议,第14段;第68/116号决议,第14段;第69/123号决议,第17段。
65/32, para. 10;
66/102, para. 12;
67/97, para. 14;
68/116, para. 14;
and 69/123, para. 17.
93 Official Records of the General Assembly, Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), para. 386;92 关于委员会将本项目列入议程的决定,见《大会正式记录,第六十二届会议,补编第17号》(A/62/17),第二部分,第111-113段。
ibid., Sixty-fourth Session, Supplement No. 17 (A/64/17), paras. 413-419; ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), paras. 313-336; ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 299-321; ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), paras. 195-227;93 《大会正式记录,第六十三届会议,补编第17号》和更正(A/63/17和Corr.1),第386段;同上,《第六十四届会议,补编第17号》(A/64/17),第413-419段;同上,《第六十五届会议,补编第17号》(A/65/17),第313-336段;同上,《第六十六届会议,补编第17号》(A/66/17),第299-321段;同上,《第六十七届会议,补编第17号》(A/67/17),第195-227段;同上,《第六十八届会议,补编第17号》(A/68/17),第267-291段;同上,《第六十九届会议,补编第17号》(A/69/17),第215-240段;同上,《第七十届会议,补编第17号》(A/70/17),第318-324段。
ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), paras. 267-291;
ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 215-240;
and ibid., Seventieth Session, Supplement No. 17 (A/70/17), paras. 318-324.
94 Resolutions 63/120, para. 11;
64/111, para. 14; 65/21, paras. 12-14; 66/94, paras. 15-17; 67/89, paras. 16-18;94 第63/120号决议,第11段;第64/111号决议,第14段;第65/21号决议,第12-14段;第66/94号决议,第15-17段;第67/89号决议,第16-18段;第68/106号决议,第12段;第69/115号决议,第12段;第70/115号决议,第11段。
68/106, para. 12;
69/115, para. 12;
and 70/115, para. 11.
95 Official Records of the General Assembly, Seventieth Session, Supplement No. 17 (A/70/17), paras. 300-301.95 《大会正式记录,第七十届会议,补编第17号》(A/70/17),第300-301段。
96 Ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 335.96 同上,《第六十五届会议,补编第17号》(A/65/17),第335段。
97 Ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), paras. 199-210; and ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 229-233.97 同上,《第六十七届会议,补编第17号》(A/67/17),第199-210段;同上,《第六十九届会议,补编第17(A/69/17),第229-233段。
98 Ibid., Seventieth Session, Supplement No. 17 (A/70/17), para. 300.98 同上,《第七十届会议,补编第17号》(A/70/17),第300段。
99 General Assembly resolution 69/313.99 大会第69/313号决议。
100 General Assembly resolution 70/1, para. 40.100 大会第70/1号决议,第40段。
101 Official Records of the General Assembly, Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 284.101 《大会正式记录,第六十九届会议,补编第17号》(A/69/17),第284段。
102 General Assembly resolution 67/1.102 大会第67/1号决议。
103 Ibid., para. 8.103 同上,第8段。
104 Official Records of the General Assembly, Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 234-240.104 《大会正式记录,第六十九届会议,补编第17号》(A/69/17),第234-240段。
105 Ibid., Seventieth Session, Supplement No. 17 (A/70/17), paras. 318-324.105 同上,《第七十届会议,补编第17号》(A/70/17),第318-324段。
106 Ibid., para. 324.106 同上,第324段。
107 Ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 240.107 同上,《第六十九届会议,补编第17号》(A/69/17),第240段。
108 Ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), para. 310.108 同上,《第六十八届会议,补编第17号》(A/68/17),第310段。
109 Ibid., Seventieth Session, Supplement No. 17 (A/70/17), para. 363.109 同上,《第七十届会议,补编第17号》(A/70/17),第363段。
110 United Nations publication, Sales No. E.01.V.4 (A/CN.9/SER.B/4).110 联合国出版物,出售品编号:E.01.V.4(A/CN.9/SER.B/4)。
111 Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), annex I.111 《大会正式记录,第六十六届会议,补编第17号》(A/66/17),附件一。
112 Ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 263-265.112 同上,《第六十九届会议,补编第17号》(A/69/17),第263-265段。
113 Ibid., Seventieth Session, Supplement No. 17 (A/70/17), para. 365.113 同上,《第七十届会议,补编第17号》(A/70/17),第365段。
114 Ibid., para. 366.114 同上,第366段。
115 www.uncitral.org/uncitral/en/commission/colloquia/50th-anniversary.html.115 www.uncitral.org/uncitral/en/commission/colloquia/50th-anniversary.html。
116 Official Records of the General Assembly, Sixty-seventh Session, Supplement No. 17 (A/67/17), para. 249.116 《大会正式记录,第六十七届会议,补编第17号》(A/67/17),第249段。
117 Ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 271-276; and ibid., Seventieth Session, Supplement No. 17 (A/70/17), paras. 368-370.117 同上,《第六十九届会议,补编第17号》(A/69/17),第271-276段;同上,《第七十届会议,补编第17号》(A/70/17),第368-370段。
118 Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 328-330; ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), para. 344; and ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 277 and 278.118 同上,《第六十六届会议,补编第17号》(A/66/17),第328-330段;同上,《第六十八届会议,补编第17号》(A/68/17),第344段;同上,《第六十九届会议,补编第17号》(A/69/17),第277、278段。
119 Ibid., Seventieth Session, Supplement No. 17 (A/70/17), para. 372.119 同上,《第七十届会议,补编第17号》(A/70/17),第372段。
120 Ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part one, para. 243.120 同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第243段。
121 A/62/6 (Sect. 8) and Corr.1, table 8.19 (d).121 A/62/6 (Sect.8)和Corr.1号文件,表8.19(d)。
122 Official Records of the General Assembly, Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 275.122 《大会正式记录,第五十八届会议,补编第17号》(A/58/17),第275段。
123 The order of the list of approaches or forms in brackets is presented in increasing order of formality, reflecting the approach taken in the description of commonly-used, methods for settling disputes contained in UNCITRAL’s Legislative Guide on Privately Financed Infrastructure Projects (2000), available at www.uncitral.org/uncitral/uncitral_texts/procurement_infrastructure.html.1 括号内所列办法或形式清单按正式程度顺延排列,反映了《贸易法委员会私人融资基础设施项目立法指南》(2000年)(查阅网址:www.uncitral.org/uncitral/uncitral_texts/procurement_
Furthermore, the terms are illustrative only, relative formality may vary from system to system, and relevant processes in some jurisdictions may be known by more than one of the terms contained in the list itself.
124 E.g. the United Nations Convention on Contracts for the International Sale of Goods (Vienna, 1980), article 7.53 例如,《联合国国际货物销售合同公约》(1980年,维也纳),第7条。
United Nations, Treaty Series, vol. 1489, No. 25567.联合国,《条约汇编》,第1489号,第25567号。
Also available at www.uncitral.org/uncitral/en/uncitral_texts/sale_goods/1980CISG.html.也可查阅www.uncitral.org/uncitral/en/uncitral_texts/sale_goods/
125 For the up-to-date list of the UNCITRAL standards, see www.uncitral.org/uncitral/en/uncitral_texts.html.54 关于贸易法委员会标准的最新清单,见www.uncitral.org/uncitral/en/uncitral_texts.html。
126 www.uncitral.org/uncitral/en/case_law.html.55 www.uncitral.org/uncitral/en/case_law.html。
127 www.uncitral.org/uncitral/en/case_law/digests.html.56 www.uncitral.org/uncitral/en/case_law/digests.html。
128 United Nations, Treaty Series, vol. 330, No. 4739.57 联合国,《条约汇编》,第330号,第4739号。
Also available at www.uncitral.org/uncitral/en/uncitral_texts/arbitration/NYConvention.html.也可查阅www.uncitral.org/uncitral/en/ uncitral_
129 www.uncitral.org/uncitral/en/uncitral_texts/arbitration/NYConvention.html.58 www.uncitral.org/uncitral/en/uncitral_texts/arbitration/NYConvention.html。
130 E.g. the recurrent publication on the judicial perspective on cross-border insolvency cases (www.uncitral.org/uncitral/uncitral_texts/insolvency/2011Judicial_Perspective.html), the Practice Guide on Cross-Border Insolvency Cooperation (www.uncitral.org/uncitral/en/uncitral_texts/insolvency/2009PracticeGuide.html), and Promoting confidence in electronic commerce: legal issues on international use of electronic authentication and signature methods (www.uncitral.org/pdf/english/texts/electcom/08-55698_Ebook.pdf).59 例如,关于从司法角度审视跨国界破产案例的经常性出版物(www.uncitral.org/uncitral/ uncitral_texts/insolvency/2011Judicial_Perspective.html)、《跨国界破产合作实务指南》(www.uncitral.org/uncitral/en/uncitral_texts/insolvency/2009PracticeGuide.html)、《增进对电子商务的信心:国际使用电子认证和签名方法的法律问题》(www.uncitral.org/pdf/ english/texts/electcom/08-55698_Ebook.pdf)。
131 New areas of work may be added.
For the most updated list, please contact the UNCITRAL secretariat at the addresses indicated in the end of this Guidance Note or check the UNCITRAL website (www.uncitral.org).60 例如,关于从司法角度审视跨国界破产案例的经常性出版物(www.uncitral.org/uncitral/ uncitral_texts/insolvency/2011Judicial_Perspective.html)、《跨国界破产合作实务指南》(www.uncitral.org/uncitral/en/uncitral_texts/insolvency/2009PracticeGuide.html)、《增进对电子商务的信心:国际使用电子认证和签名方法的法律问题》(www.uncitral.org/pdf/ english/texts/electcom/08-55698_Ebook.pdf)。
132 In this regard, please consult in particular the UNCITRAL CLOUT system that relies on a network of national correspondents designated by those States that are parties to a Convention, or have enacted legislation based on a Model Law, emanated from the work of UNCITRAL, or the New York Convention www.uncitral.org/uncitral/en/case_law/national_correspondents.html.61 在这方面,请特别参阅依赖于国家通信员网络的贸易法委员会法规判例法系统www.uncitral.org/uncitral/en/case_law/national_correspondents.html,指定国家通信员的国家要么加入了某一公约,要么基于贸易法委员会工作所产生的一部示范法或者基于《纽约公约》颁布了立法。
133 See e.g. www.cisg.law.pace.edu/vis.html.62 例如,见www.cisg.law.pace.edu/vis.html。
134 See e.g. www.itcilo.org/en/training-offer/turin-school-of-development-1.63 例如,见www.itcilo.org/en/training-offer/turin-school-of-development-1。