A_72_17_EC
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A/72/17 V1705889.docx (English)A/72/17 V1705888.docx (Chinese)
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
Fiftieth session (3-21 July 2017)第五十届会议 (2017年7月3日至21日)
General Assembly大会
Official Records正式记录
Seventy-second session第七十二届会议
Supplement No. 17补编第17号
General Assembly大会
Official Records正式记录
Seventy-second session第七十二届会议
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
Fiftieth session第五十届会议
(3-21 July 2017) United Nations • New York, 2017(2017年7月3日至21日)
Note联合国 2017年,纽约 说明
Symbols of United Nations documents are composed of capital letters combined with figures.联合国文件用英文大写字母附加数字编号。
Mention of such a symbol indicates a reference to a United Nations document.提到这种编号,即指联合国的某一个文件。
Contents目录
Page页次
1.1.
Introduction导言
11
2.2.
Organization of the session会议安排
11
A.A.
Opening of the session会议开幕
11
B.B.
Membership and attendance成员和出席情况
11
C.C.
Election of officers选举主席团成员
32
D.D.
Agenda议程
33
E.E.
Adoption of the report通过报告
54
3.3.
Consideration of issues in the area of electronic commerce审议电子商务领域中的问题
55
A.A.
Finalization and adoption of a model law on electronic transferable records and explanatory notes最后审定并通过电子可转让记录示范法及解释性说明
55
1.1.
Introduction导言
55
2.2.
Article-by-article consideration逐条审议
66
3.3.
Adoption of the UNCITRAL Model Law on Electronic Transferable Records with an Explanatory Note通过《贸易法委员会电子可转让记录示范法及解释性说明》
2118
B.B.
Progress report of Working Group IV 22 4.第四工作组进度报告
19
4.
Consideration of issues in the area of security interests审议担保权益领域的问题
2521
A.A.
Finalization and adoption of a guide to enactment of the UNCITRAL Model Law on Secured Transactions最后审定并通过《贸易法委员会担保交易示范法》颁布指南
2521
1.1.
Preface and general part (A/CN.9/914, paras.1-20)序言和总论部分(A/CN.9/914,第1-20段)
2522
2.2.
Chapter I. Scope of application and general provisions (A/CN.9/914, paras. 21-76)第一章 适用范围和一般条文(A/CN.9/914,第21-76段)
2622
3.3.
Chapter II. Creation of a security right (A/CN.9/914/Add.1, paras. 1-36)第二章 担保权的设定(A/CN.9/914/Add.1,第1-36段)
2723
4.4.
Chapter III. Effectiveness of a security right against third parties (A/CN.9/914/Add.1, paras. 37-53)第三章 担保权对抗第三方的效力(A/CN.9/914/Add.1,第37-53段)
2925
5.5.
Chapter IV. Registry system (A/CN.9/914/Add.2, paras. 1-58 and A/CN.9/914/Add.3, paras. 1-82)第四章 登记处制度(A/CN.9/914/Add.2,第1-58段,A/CN.9/914/Add.3,第1-82段)
3025
6.6.
Chapter V. Priority of a security right (A/CN.9/914/Add.4, paras. 1-80)第五章 担保权的优先权(A/CN.9/914/Add.4,第1-80段)
3126
7.7.
Chapter VI. Rights and obligations of the parties and third-party obligors (A/CN.9/914/Add.5, paras. 1-51)第六章 当事人与第三方承付人的权利和义务(A/CN.9/914/Add.5,第1-51段)
3126
8.8.
Chapter VII. Enforcement of a security right (A/CN.9/914/Add.5, paras. 52-96)第七章 对担保权的强制执行(A/CN.9/914/Add.5,第52-96段)
3227
9.9.
Chapter VIII. Conflict of laws (A/CN.9/914/Add.6, paras. 1-58)第八章 法律冲突(A/CN.9/914/Add.6,第1-58段)
3328
10.10.
Chapter IX. Transition (A/CN.9/914/Add.6, paras. 59-83)第九章 过渡(A/CN.9/914/Add.6,第59-83段)
3530
11.11.
Adoption of the Guide to Enactment of the UNCITRAL Model Law on Secured Transactions通过《贸易法委员会担保交易示范法颁布指南》
3630
B.B.
Possible future work in the area of security interests担保权益领域今后可能开展的工作
3832
5.5.
Consideration of issues in the area of micro, small and medium-sized enterprises: progress report of Working Group I审议微型、小型和中型企业领域的问题:第一工作组进度报告
4034
6.6.
Consideration of issues in the area of international dispute settlement审议国际争议解决领域的问题
4235
A.A.
Progress report of Working Group II第二工作组进度报告
4235
B.B.
Possible future work in the area of international dispute settlement国际争议解决领域今后可能开展的工作
4336
7.7.
Consideration of issues in the area of insolvency law: progress report of Working Group V审议破产法领域的问题:第五工作组进度报告
4739
8.8.
Legal developments in the area of public procurement and infrastructure development公共采购和基础设施发展领域的法律制定工作
4941
9.9.
Endorsement of texts of other organizations: the Uniform Rules for Forfaiting of the International Chamber of Commerce赞同其他组织的法规:《国际商会福费廷统一规则》
5042
10.10.
Technical assistance to law reform法律改革技术援助
5142
11.11.
UNCITRAL regional presence贸易法委员会的区域存在
5344
A.A.
Regional Centre for Asia and the Pacific亚洲及太平洋区域中心
5344
B.B.
Proposals for the establishment of other regional centres关于建立其他区域中心的提议
5445
12.12.
Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts促进可确保贸易法委员会法规统一解释和适用的方式方法
5646
13.13.
Status and promotion of UNCITRAL legal texts贸易法委员会各项法规的现状和推广
5848
A.A.
General discussion一般性讨论
5848
B.B.
Functioning of the transparency repository透明度存储处的运作
5848
C.C.
International commercial arbitration moot competitions国际商事仲裁模拟辩论赛
6150
1.1.
Willem C. Vis International Commercial Arbitration Moot维斯国际商事仲裁模拟辩论赛
6150
2.2.
Madrid Commercial Arbitration Moot 20172016年马德里商事仲裁模拟辩论赛
6151
3.3.
Mediation and negotiation competition调解和谈判辩论赛
6251
D.D.
Bibliography of recent writings related to the work of UNCITRAL与贸易法委员会工作有关的近期著述目录
6251
14.14.
Coordination and cooperation协调与合作
6352
A.A.
General概述
6352
B.B.
Reports of other international organizations其他国际组织的报告
6553
1.1.
International Institute for the Unification of Private Law国际统一私法协会
6553
2.2.
Organization for Economic Cooperation and Development经济合作与发展组织
6755
3.3.
United Nations Conference on Trade and Development联合国贸易和发展会议
6856
4.4.
Permanent Court of Arbitration常设仲裁法院
6856
C.C.
International governmental and non-governmental organizations invited to sessions of UNCITRAL and its working groups获邀参加贸易法委员会及其工作组届会的国际政府组织和非政府组织
6957
15.15.
Commemoration of the fiftieth anniversary of UNCITRAL纪念贸易法委员会成立五十周年
7057
A.A.
Statements congratulating UNCITRAL庆贺贸易法委员会的发言
7057
B.B.
Mini-conference organized by Hungary匈牙利组办的微型会议
7259
C.C.
UNCITRAL Congress 2017贸易法委员会2017年大会
7259
16.16.
Role of UNCITRAL in promoting the rule of law at the national and international levels贸易法委员会在促进国内和国际法治方面的作用
8065
A.A.
Introduction导言
8065
B.B.
Summary of experts’ views专家意见概要
8166
C.C.
UNCITRAL comments to the General Assembly贸易法委员会向大会提交的评议
8368
17.17.
Work programme of the Commission委员会的工作方案
8469
A.A.
Current legislative programme当前的立法方案
8569
B.B.
Future legislative programme今后的立法方案
8569
C.C.
Current and possible future activities to support the adoption and use of UNCITRAL texts (support activities)目前和今后可能为支持贸易法委员会法规的通过和使用而开展的活动(支助活 动)
8871
18.18.
Relevant General Assembly resolutions大会的有关决议
8871
19.19.
Other business其他事项
8872
A.A.
Internship programme实习方案
8872
B.B.
Evaluation of the role of the Secretariat in facilitating the work of the Commission评价秘书处在促进委员会工作上发挥的作用
8972
C.C.
Methods of work工作方法
8973
D.D.
Retirement of the Secretary of UNCITRAL and other long-serving members of the UNCITRAL secretariat贸易法委员会秘书和贸易法委员会秘书处其他长年任职人员的退休
9073
20.20.
Date and place of future meetings今后会议的日期和地点
9174
A.A.
Fifty-first session of the Commission委员会第五十一届会议
9174
B.B.
Sessions of working groups工作组的届会
9274
1.1.
Sessions of working groups between the fiftieth and fifty-first sessions of the Commission委员会第五十届和五十一届会议之间的工作组届会
9274
2.2.
Sessions of working groups in 2018 after the fifty-first session of the Commission在委员会第五十一届会议之后于2018年举行的工作组届会
9275
Annexes附件
1.1.
UNCITRAL Model Law on Electronic Transferable Records贸易法委员会电子可转让记录示范法
9476
2.2.
List of documents before the Commission at its fiftieth session委员会第五十届会议收到的文件清单
9981
I.一.
Introduction导言
1.1.
The present report of the United Nations Commission on International Trade Law (UNCITRAL) covers the fiftieth session of the Commission, held in Vienna from 3 to 21 July 2017.联合国国际贸易法委员会(贸易法委员会)本期报告概述委员会于2017年7月3日至21日在维也纳举行的第五十届会议的情况。
2.2.
Pursuant to General Assembly resolution 2205 (XXI) of 17 December 1966, the present report is submitted to the Assembly and is also submitted for comments to the United Nations Conference on Trade and Development (UNCTAD).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(贸发会议)征求意见。
II.二.
Organization of the session会议安排
A.A.
Opening of the session会议开幕
3.3.
The fiftieth session of the Commission was opened by the Under-Secretary-General for Legal Affairs and Legal Counsel of the United Nations, Mr. Miguel de Serpa Soares, on 3 July 2017.2017年7月3日,联合国主管法律事务的副秘书长兼联合国法律顾问Miguel de Serpa Soares先生宣布委员会第五十届会议开幕。
B.B.
Membership and attendance成员和出席情况
4.4.
The General Assembly, in its resolution 2205 (XXI), established the Commission with a membership of 29 States, elected by the Assembly.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个国家增至60个国家。
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), Czechia (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(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)。
5.5.
With the exception of Côte d’Ivoire, Iran (Islamic Republic of), Kenya, Lebanon, Lesotho, Liberia, Malaysia, Mauritania, Nigeria, Sierra Leone and Zambia, all the members of the Commission were represented at the session.除科特迪瓦、伊朗伊斯兰共和国、肯尼亚、黎巴嫩、莱索托、利比里亚、马来西亚、毛里塔尼亚、尼日利亚、塞拉利昂和赞比亚之外,委员会所有成员都派代表出席了本届会议。
6.6.
The session was attended by observers from the following States: Albania, Algeria, Belgium, Bolivia (Plurinational State of), Bosnia and Herzegovina, Croatia, Cyprus, Democratic Republic of the Congo, Dominican Republic, Estonia, Finland, Lao People’s Democratic Republic, Malta, Myanmar, Netherlands, New Zealand, Norway, Portugal, Republic of Moldova, Serbia, Slovakia, South Africa, Sudan, Sweden, Syrian Arab Republic, United Republic of Tanzania and Viet Nam.下列国家派观察员出席了会议:阿尔巴尼亚、阿尔及利亚、比利时、多民族玻利维亚国、波斯尼亚和黑塞哥维那、克罗地亚、塞浦路斯、刚果民主共和国、多米尼加共和国、爱沙尼亚、芬兰、老挝人民民主共和国、马耳他、缅甸、荷兰、新西兰、挪威、葡萄牙、摩尔多瓦共和国、塞尔维亚、斯洛伐克、南非、苏丹、瑞典、阿拉伯叙利亚共和国、坦桑尼亚联合共和国、越南。
7.7.
The session was also attended by observers from the European Union.欧洲联盟也派观察员出席了会议。
8.8.
The session was also attended by observers from the following international organizations:下列国际组织也派观察员出席了会议:
(a)(a)
United Nations system: International Centre for the Settlement of Investment Disputes (ICSID), UNCTAD, United Nations Industrial Development Organization and the World Bank;联合国系统:国际投资争端解决中心(投资争端解决中心)、贸发会议、联合国工业发展组织、世界银行;
(b)(b)
Intergovernmental organizations: Asian-African Legal Consultative Organization, European Bank for Reconstruction and Development (EBRD), International Cotton Advisory Committee, International Institute for the Unification of Private Law (Unidroit), Organization for Economic Cooperation and Development (OECD), Organization for the Harmonization of Business Law in Africa and Permanent Court of Arbitration (PCA);政府间组织:亚非法律协商组织、欧洲复兴开发银行、国际棉花咨询委员会、国际统一私法协会(统法协会)、经济合作与发展组织(经合组织)、非洲统一商法组织、常设仲裁法院;
(c)(c)
Invited non-governmental organizations: Advisory Council of the United Nations Convention for the International Sale of Goods, American Bar Association, American Society of International Law, Asia-Pacific Regional Arbitration Group, Association for the Promotion of Arbitration in Africa (APAA), Association of the Bar of the City of New York, Beijing Arbitration Commission/Beijing International Arbitration Center (BAC/BIAC), Centro de Estudios de Derecho, Economía y Política (CEDEP), Chartered Institute of Arbitrators (CIARB), Comité Maritime International (CMI), Commercial Finance Association, European Law Students’ Association, Factors Chain International and the EU Federation for the Factoring and Commercial Finance Industry (FCI and EUF), Grupo Latinoamericano de Abogados para el Derecho del Comercio International, Hong Kong Mediation Centre (HKMC), Independent Film and Television Alliance, Institute of Law and Technology at Masaryk University, Instituto Iberoamericano de Derecho Concursal (IIDC), International Association of Lawyers, International Association of Restructuring, Insolvency and Bankruptcy Professionals (INSOL International), International Bar Association (IBA), International Chamber of Commerce (ICC), International Institute for Sustainable Development, International Law Institute, International Mediation Institute, International Swaps and Derivatives Association (ISDA), Law Association for Asia and the Pacific, Moot Alumni Association, National Law Center for Inter-American Free Trade, Russian Arbitration Association (RAA), Singapore International Mediation Institute (SIMI), Stockholm Chamber of Commerce Arbitration Institute, Swiss Arbitration Association (ASA), Vienna International Arbitral Centre (VIAC) and World Association for Small and Medium Enterprises.受到邀请的非政府组组织:《联合国国际货物销售合同公约》咨询理事会、美国律师协会、美国国际法协会、亚洲太平洋区域仲裁集团、非洲促进仲裁协会、纽约市律师协会、北京仲裁委员会/北京国际仲裁中心、法律经济及政治研究中心、特许仲裁员协会、国际海事委员会(海事委员会)、商业金融协会、欧洲法律学生协会、国际保理商联合会、欧盟保理和商业金融业联合会、拉丁美洲国际贸易法律师集团、香港调解中心、独立电影和电视联盟、马萨里克大学法律与技术研究所、伊比利亚美洲法律援助协会、国际律师联盟、重组和破产管理专业人员国际协会(破产协会)、国际律师协会,国际商会、可持续发展国际研究所、国际法学会、国际调解研究所、国际掉期及衍生工具协会、亚洲及太平洋法律协会、模拟辩论赛赛友会、美洲自由贸易国家法律中心、俄罗斯仲裁协会、新加坡国际调解研究所、斯德哥尔摩商会仲裁院、瑞士仲裁协会、维也纳国际仲裁中心、世界中小企业协会。
9.9.
The Commission welcomed the participation of international non-governmental organizations with expertise in the main items on the agenda.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.C.
Election of officers选举主席团成员
10.10.
The Commission elected the following officers:委员会选出了下列主席团成员:
Chair: Mr. János Martonyi (Hungary)主席: János Martonyi先生(匈牙利)
Vice-Chairs: Mr. Jorge Roberto Maradiaga (Honduras)副主席: Jorge Roberto Maradiaga先生(洪都拉斯)
Ms. Natalie Y. Morris-Sharma (Singapore)Natalie Y. Morris-Sharma女士(新加坡)
Ms. Kathryn Sabo (Canada)Kathryn Sabo女士(加拿大)
Rapporteur: Mr. Salim Moollan (Mauritius)报告员: Salim Moollan先生(毛里求斯)
D.D.
Agenda议程
11.11.
The agenda of the session, as adopted by the Commission at its 1047th meeting, on 3 July, was as follows:委员会在7月3日第1047次会议上通过的会议议程如下:
1.1.
Opening of the session.会议开幕。
2.2.
Election of officers.选举主席团成员。
3.3.
Adoption of the agenda.通过议程。
4.4.
Commemoration of the fiftieth anniversary of UNCITRAL.纪念贸易法委员会成立五十周年。
5.5.
Micro, small and medium-sized enterprises: progress report of Working Group I.微型、小型和中型企业:第一工作组进度报告。
6.6.
Insolvency law: progress report of Working Group V.破产法:第五工作组进度报告。
7.7.
Technical assistance to law reform.法律改革技术援助。
8.8.
UNCITRAL regional presence.贸易法委员会的区域存在。
9.9.
Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts: CLOUT and digests.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:判例法和摘要集。
10.10.
Status and promotion of UNCITRAL legal texts and the New York Convention:贸易法委员会各项法规以及《纽约公约》的现状和推广:
(a)(a)
General;概述;
(b)(b)
Functioning of the transparency repository;透明度存储处的运作;
(c)(c)
International commercial arbitration moot competitions;国际商事仲裁模拟辩论赛;
(d)(d)
Bibliography of recent writings related to the work of UNCITRAL.与贸易法委员会工作有关的近期著述目录。
11.11.
Coordination and cooperation:协调与合作:
(a)(a)
General;概述;
(b)(b)
Reports of other international organizations;其他国际组织的报告;
(c)(c)
International governmental and non-governmental organizations invited to sessions of UNCITRAL and its working groups.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。
12.12.
Relevant General Assembly resolutions.大会的有关决议。
13.13.
Role of UNCITRAL in promoting the rule of law at the national and international levels.贸易法委员会在促进国内和国际法治方面的作用。
14.14.
International dispute settlement: progress report of Working Group II.国际争议解决:第二工作组进度报告。
15.15.
Possible future work in the area of international dispute settlement:国际争议解决领域今后可能开展的工作:
(a)(a)
Concurrent proceedings;并行程序;
(b)(b)
Code of ethics/conduct for arbitrators;仲裁员道德/行为守则;
(c)(c)
Possible reform of investor-State dispute settlement.投资人与国家间争议解决方面可能的改革。
16.16.
Finalization and adoption of a model law on electronic transferable records and explanatory notes.最后审定并通过电子可转让记录示范法及解释性说明。
17.17.
Electronic commerce: progress report of Working Group IV.电子商务:第四工作组进度报告。
18.18.
Legal developments in the area of public procurement and infrastructure development.公共采购和基础设施发展领域的法律动态。
19.19.
Possible future work in the area of security interests and related topics.担保权益领域今后可能开展的工作及相关主题。
20.20.
Endorsement of texts of other organizations: the Uniform Rules for Forfaiting of the International Chamber of Commerce.赞同其他组织的法规:《国际商会福费廷统一规则》。
21.21.
Work programme of the Commission.委员会的工作方案。
22.22.
Date and place of future meetings.今后会议的日期和地点。
23.23.
Other business:其他事项:
(a)(a)
Internship programme;实习方案;
(b)(b)
Evaluation of the role of the Secretariat in facilitating the work of the Commission.评价秘书处在为委员会工作提供便利上发挥的作用。
24.24.
Progress report of Working Group VI (Security Interests): finalization and adoption of a guide to enactment of the UNCITRAL Model Law on Secured Transactions.第六工作组(担保权益)进度报告:最后审定并通过《贸易法委员会担保交易示范法》颁布指南。
25.25.
Adoption of the report of the Commission.通过委员会的报告。
12.12.
Several delegations expressed concern that agenda item 21 (Work programme of the Commission) had been scheduled for consideration at the end of the second week of the session, which would not allow sufficient time for its consideration before the adoption of the report on 14 July.一些代表团表示了下述关切:议程项目21(委员会的工作方案)安排在会议第二周结束时审议,未留出足够时间在7月14日通过报告之前对其进行审议。
Another concern, shared by some delegations, was that placing that agenda item after agenda item 16 (Finalization and adoption of a model law on electronic transferable records and explanatory notes) did not facilitate the presence in the room of State representatives in charge of the general work programme of UNCITRAL.一些代表团所表达的另一个共同关切是,将该议程项目放在议程项目16(最后审定并通过电子可转让记录示范法及解释性说明)之后,不便于负责贸易法委员会一般工作方案的各国代表出席会议。
The alternative view was that the agenda item was scheduled in a way that would allow the Commission to have the complete information about progress made by all UNCITRAL working groups and views of delegates regarding proposals for future work before the item on the work programme of the Commission was considered.另一种观点是,这一议程项目的安排方式使委员会能够在审议关于委员会工作方案的项目之前全面了解贸易法委员会各工作组所取得的进展以及与会代表就今后工作提出的建议。
13.13.
Acknowledging that rescheduling the consideration of agenda item 21 at the current session of UNCITRAL would interfere with the travel arrangements already made by delegates and observers, the Commission decided to retain the scheduling of agenda items for the current session as announced in the provisional agenda (A/CN.9/894).认识到重新安排贸易法委员会本届会议审议议程项目21的时间将干扰代表和观察员已经作出的旅行安排,委员会决定按临时议程(A/CN.9/894)已公布的本届会议议程项目保持安排不变。
It requested the Secretariat to schedule the consideration of the work programme of UNCITRAL at future sessions in such a way that it would accommodate the presence of relevant representatives of States and allow sufficient time for the consideration of that item.委员会请秘书处在安排今后届会审议贸易法委员会工作方案时顾及各国有关代表的出席并留出足够时间审议这一项目。
The Secretariat was also requested to be in close consultation with the Bureau of UNCITRAL on scheduling agenda items for future sessions.委员会还请秘书处在安排今后届会的议程项目时与贸易法委员会主席团密切协商。
(See also chapter XIX, section C, below.)(另见下文第十九章C节。
E.) E.
Adoption of the report通过报告
14.14.
The Commission adopted the present report by consensus at its1060th meeting, on 14 July, at its 1067th meeting, on 20 July, and at its 1068th meeting, on 21 July 2017.委员会在2017年7月14日第1060次会议、7月20日第1067次会议和7月21日第1068次会议上以协商一致方式通过了本报告。
III.三.
Consideration of issues in the area of electronic commerce审议电子商务领域中的问题
A.A.
Finalization and adoption of a model law on electronic transferable records and explanatory notes最后审定并通过电子可转让记录示范法及解释性说明
1.1.
Introduction导言
15.15.
The Commission recalled that, at its forty-first and forty-second sessions, in 2008 and 2009, respectively, it had received proposals from States for work on electronic transferable records.委员会回顾,委员会分别在2008年和2009年第四十一届和第四十二届会议上收到了各国关于开展电子可转让记录方面工作的建议。
The Commission also recalled that, after preparatory work, the Commission, at its forty-fourth session, in 2011, had mandated its Working Group IV (Electronic Commerce) to undertake work in the field of electronic transferable records.委员会还回顾,在准备工作之后,委员会在2011年第四十四届会议上授权第四工作组(电子商务)开展电子可转让记录领域中的工作。
The Commission further recalled that, from its forty-fifth to its forty-ninth session, from 2012 to 2016, it had considered reports of the Working Group, reaffirming its mandate and endorsing its decision to prepare a model law with explanatory materials.委员会进一步回顾,委员会在2012年至2016年第四十五届至第四十九届会议上审议了工作组的报告,重新确认其任务授权并核可其关于拟订附带解释性材料的示范法的决定。
16.16.
At its current session, the Commission was informed that the Working Group had completed its work on the preparation of a draft model law on electronic transferable records with accompanying explanatory materials at its fifty-fourth session (held in Vienna from 31 October to 4 November 2016).委员会在本届会议上获知,工作组在其第五十四届会议(2016年10月31日至11月4日在维也纳举行)上完成了电子可转让记录示范法草案及随附解释材料的拟订工作。
At that session, the Working Group had requested the Secretariat to revise the draft model law and explanatory materials contained in document A/CN.9/WG.IV/WP.139 and its addenda to reflect the deliberations and decisions at that session and transmit the revised text to the Commission for consideration at its fiftieth session (A/CN.9/897, para. 20).在该届会议上,工作组请秘书处对载于A/CN.9/WG.IV/WP.139号文件及其增编中的示范法草案及解释材料进行修订,以反映该届会议的审议情况和决定,然后将修订案文提交委员会第五十届会议审议(A/CN.9/897,第20段)。
The Commission was further informed that, in accordance with the usual practice of UNCITRAL, the text of the draft model law as recommended by the Working Group had been circulated by the Secretariat to all Governments and relevant international organizations for comment. 17. At the session, the Commission had before it:委员会还获知,按照贸易法委员会的惯例,工作组所建议的示范法草案案文已由秘书处分发给所有政府及相关国际组织征求意见。
(a) the report of Working Group IV (Electronic Commerce) on the work of its fifty-fourth session (A/CN.9/897);17.
(b) a draft model law on electronic transferable records with explanatory notes (A/CN.9/920); (c) compilation of comments by Governments and international organizations on the draft model law and explanatory notes (A/CN.9/921 and Adds.1-3); and (d) a note by the Secretariat on proposed amendments to the draft explanatory notes and additional issues for consideration by the Commission (A/CN.9/922).本届会议上,委员会收到了:(a)第四工作组(电子商务)第五十四届会议工作报告(A/CN.9/897);(b)电子可转让记录示范法草案及解释性说明(A/CN.9/920);(c)各国政府和国际组织关于示范法草案及解释性说明的意见汇编(A/CN.9/921及Add.1-3);(d)秘书处关于对解释性说明草案的拟议修正意见以及供委员会审议的其他问题的说明(A/CN.9/922)。
18.18.
The Commission proceeded with the article-by-article consideration of the draft model law together with the accompanying draft explanatory notes and related amendments proposed by Governments, international organizations and the Secretariat.委员会接下来对示范法草案进行逐条审议,同时一并审议随附解释性说明草案以及各国政府、国际组织和秘书处提出的相关修改意见。
2.2.
Article-by-article consideration Article 1.逐条审议
Scope of application第1条 适用范围
19.19.
It was suggested that an explicit reference to the United Nations Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea (New York, 2008) (the “Rotterdam Rules”) should be inserted in the footnote to draft article 1.会上提出,应当在第1条草案的脚注中加入明确提及《联合国全程或者部分海上国际货物运输合同公约》(2008年,纽约)(《鹿特丹规则》)的内容。
It was recalled that the Rotterdam Rules enabled the use of negotiable electronic transport records and it was added that no other electronic transferable records should be issued under those Rules.回顾说,《鹿特丹规则》支持使用可转让电子运输记录,补充说,根据《鹿特丹规则》不应签发其他任何电子可转让记录。
20.20.
Noting that footnote 1 contained an illustrative list of items that enacting States could decide to exclude from the scope of their law on electronic transferable records while enacting it on the basis of the UNCITRAL model, some delegations did not object to listing transport documents issued under the Rotterdam Rules in footnote 1 as additional sub-item (d).一些代表团注意到脚注1载有颁布国可在其根据贸易法委员会示范法颁布本国关于电子可转让记录的法律时决定排除在此种法律范围之外的项目示例清单,不反对将《鹿特丹规则》下签发的运输单证作为另一分项(d)列入脚注1。
21.21.
In response, it was indicated that one of the goals of the draft model law was to support the implementation of the Rotterdam Rules, and that suggesting an exclusion of the Rotterdam Rules from the scope of application of the draft model law might hinder that goal.对此,会上表示,示范法草案的目标之一是支持《鹿特丹规则》的执行,提议将《鹿特丹规则》排除在示范法草案的适用范围之外可能会妨碍实现这一目标。
It was added that the Rotterdam Rules and the draft model law were generally compatible.补充说,《鹿特丹规则》与示范法草案基本上是兼容的。
It was further indicated that a conflict could arise only with respect to interaction between the Rotterdam Rules and draft article 15, and that such a conflict, if it arose, should be dealt with in that specific context.进一步表示,只有在涉及《鹿特丹规则》与第15条草案之间的相互作用时才有可能出现冲突,而一旦出现这种冲突,应当将其放在这一特定情况下加以处理。
However, it was also noted that other aspects of those two legislative texts could diverge.不过也注意到这两个法规的其他方面有差异。
For instance, it was said that the notion of integrity of an electronic transferable record in the draft model law and the notion of integrity of an electronic transport record in the Rotterdam Rules were different.例如,会上指出,示范法草案中的电子可转让记录的完整性概念与《鹿特丹规则》中的电子运输记录的完整性概念是不同的。
22.22.
It was also suggested that sub-item (c) in footnote 1 should be redrafted to refer to “electronic transferable records without a corresponding paper-based document”, which would eliminate the need to refer to electronic transferable records whose substantive law was medium-neutral, as suggested in paragraph 22 of document A/CN.9/922.会上还提议,脚注1中的分项(c)应当重拟,以提及“无相应纸质单证的电子可转让记录”,从而不需提及实体法规定为媒介中性的电子可转让记录,这是A/CN.9/922号文件第22段所提议的写法。
23.23.
After discussion, the Commission agreed to leave the text of the footnote unchanged and to insert the following paragraph after paragraph 11 of document A/CN.9/920: “The list of possible exclusions provided in the footnote to paragraph 3 is purely illustrative.经过讨论,委员会商定,脚注案文保持不变,并在A/CN.9/920号文件第11段后面插入下面一段:“第3款的脚注中提供的可能除外情形清单纯粹是示例性的。
Other subject matter that could be excluded from the scope of application of the Model Law include transport documents and electronic transport records falling under the scope of application of the United Nations Convention on Contracts for the International Carriage of Goods Wholly or Partly by Sea (New York, 2008) (the ‘Rotterdam Rules’)”.可以排除在《示范法》适用范围之外的其他情形包括属于《联合国全程或者部分海上国际货物运输合同公约》(2008年,纽约)(《鹿特丹规则》)适用范围的运输单证和电子运输记录”。
Draft explanatory notes to article 1 (A/CN.9/920, paras. 1 to 15; A/CN.9/922, paras. 22-23)第1条的解释性说明草案(A/CN.9/920,第1至15段;A/CN.9/922,第22-23段)
24.24.
In addition to the amendments agreed to be made to the draft explanatory notes in connection with footnote 1 to draft article 1 (see para. 23 above), the Commission agreed to redraft paragraph 9 of the draft explanatory notes contained in document A/CN.9/920 as follows: “Paragraph 3 clarifies that the Model Law does not apply to investment securities.除了商定对涉及第1条草案的脚注1的解释性说明作出的修改之外(见上文第23段),委员会商定对载于A/CN.9/920号文件的解释性说明草案第9段改写如下:“第3款澄清《示范法》不适用于投资证券。
The general determination as to which instruments are to be counted as securities is a matter of substantive law.关于哪些票据应算作证券的一般确定属于实体法事项。
The term ‘investment instruments’ is understood to include derivative instruments, money market instruments and any other financial product available for investment.‘投资票据’一词被理解为包括衍生票据、货币市场票据以及其他任何可供投资的金融产品。
The term ‘securities’ does not refer to the use of electronic transferable records as collateral and therefore the Model Law does not prevent the use of electronic transferable records for security rights purposes”.‘证券’一词不是指作为抵押品使用的电子可转让记录,因此,《示范法》并不妨碍为担保权目的而使用电子可转让记录。
25.” 25.
While some support was expressed for the suggestions contained in paragraph 22 of document A/CN.9/922, the prevailing view was that they should not be implemented.虽然对A/CN.9/922号文件第22段中载明的建议表示了一些支持,但普遍认为不应执行这些建议。
It was indicated that adding a reference to medium-neutral substantive law in the draft explanatory notes might add an unnecessary level of complexity, as it was clear that the draft model law could operate only on a functional equivalence basis.会上表示,在解释性说明草案中增加提及媒介中性的实体法的内容,可能会增加不必要的复杂性,因为示范法草案显然只能在功能等同的基础上操作。
26.26.
It was indicated that contractual parties would be free to use in their agreement any source deemed useful and that, therefore, the insertion in the draft explanatory notes of specific text to indicate that possibility, as suggested in paragraph 23 of document A/CN.9/922, was unnecessary.会上表示,订约方可在其协议中自由使用被视为有益的任何来源,因此,没有必要如A/CN.9/922号文件第23段所提议的那样在解释性说明草案中加入一段具体案文指明这种可能性。
Article 2.
Definitions第2条 定义
27.27.
No comment was made with respect to the draft article.未就该条草案发表评论。
Draft explanatory notes to article 2 (A/CN.9/920, paras. 16-21; A/CN.9/922, paras. 24-25)第2条的解释性说明草案(A/CN.9/920,第16-21段;A/CN.9/922,第24-25段)
28.28.
The Commission agreed to replace “the person in control” with “possessor” in the last sentence of paragraph 19 of document A/CN.9/920.委员会商定,将A/CN.9/920号文件第19段最后一句中的“控制人”改为“占有人”。
The Commission also agreed that the substantive comments contained in paragraphs 24 and 25 of document A/CN.9/922 should be reproduced in a footnote to the term “insurance certificates” in paragraph 20 of document A/CN.9/920.委员会还商定,将A/CN.9/922号文件第24和25段中载列的实质性评论列作A/CN.9/920号文件第20段中“保险凭证”一词的脚注。
Article 3.
Interpretation第3条 解释
29.29.
No comment was made with respect to the draft article.未就该条草案发表评论。
Draft explanatory notes to article 3 (A/CN.9/920, paras. 22-27)第3条的解释性说明草案(A/CN.9/920,第22-27段)
30.30.
No comment was made with respect to the accompanying draft explanatory notes.未就随附解释性说明草案发表评论。
Article 4.
Party autonomy and privity of contract第4条 当事人意思自治以及合同相对性
31.31.
It was suggested that the draft model law or explanatory notes should explicitly identify provisions from which derogations by parties were permissible.会上提出,示范法草案或解释性说明应当明确指明允许当事人减损的条款。
The Commission noted that similar suggestions had been discussed in the Working Group and that the conclusion of that discussion was reflected in paragraph 1 of the draft article, which left it to enacting States to identify provisions from which parties could derogate.委员会注意到工作组对类似建议作过讨论,讨论结论反映在该条草案第1款中,即由颁布国来指明当事人可减损的条款。
32.32.
The Secretariat informed the Commission that some States, while considering the adoption of the draft model law, had indicated that they would not enact draft article 4.秘书处告知委员会,有些国家在考虑通过示范法草案时表明其将不颁布第4条草案。
The suggestion was made to monitor legislative enactments, business implementation and judicial application of that article.会上建议监测这一条款的立法颁布情况、企业实施情况以及司法适用情况。
Draft explanatory notes to article 4 (A/CN.9/920, paras. 28-34; A/CN.9/922, para. 26)第4条的解释性说明草案(A/CN.9/920,第28-34段;A/CN.9/922,第26段)
33.33.
No comment was made with respect to the accompanying draft explanatory notes.未就随附解释性说明草案发表评论。
Article 5.
Information requirements第5条 提供信息的要求
34.34.
The consideration of a suggestion to reflect provisions of national law related to the sanctity of private life in the draft article was deferred to a later stage.会议延后审议关于在该条草案中反映关于私人生活神圣不可侵犯的国内法规定的建议。
35.35.
In the subsequent discussion, no support was expressed for inclusion of the proposed amendment to the draft article, because such an amendment would touch upon issues of substantive law and would go beyond the intended scope of the draft model law.在随后的讨论中,会上表示不支持列入对该条草案提出的修改意见,因为这种修改将触及实体法问题,并且将超出示范法草案的预定范围。
The Commission decided to retain the draft article unchanged.委员会决定不作修改保留该条草案。
Draft explanatory notes to article 5 (A/CN.9/920, paras. 35-37)第5条的解释性说明草案(A/CN.9/920,第35-37段)
36.36.
No comment was made with respect to the accompanying draft explanatory notes.未就随附解释性说明草案发表评论。
Article 6.
Additional information in electronic transferable records第6条 电子可转让记录中的其他信息
37.37.
It was suggested that the phrase “as permitted by law” be inserted after the word “information” in the draft article.会上提出,在该条草案“以外的信息”一语“信息”前面插入“法律允许的”的字样。
In response, it was noted that article 1, paragraph 2, of the draft model law precluded the insertion in an electronic transferable record of information not permitted under substantive law.对此指出,示范法草案第1条第2款防止在电子可转让记录中插入实体法所不允许的信息。
Concern was also expressed that the suggested wording could be interpreted as restricting the addition in electronic transferable records of useful information such as automatically generated technical information.会上表示关切,所提议的措词有可能被解释为限制在电子可转让记录中添加有益的信息,如自动生成的技术信息。
38.38.
Some delegations were nevertheless of the view that the draft model law or explanatory notes should impose some restrictions on information that could be added in the electronic transferable records so as not to introduce substantive changes with respect to their paper-based equivalents.不过,有些代表团认为,无论是示范法草案还是解释性说明都应对可能在电子可转让记录中添加的信息规定某些限制,以便不引起与其纸质等同件有关的实质性改变。
The Commission decided to retain the draft article unchanged and address the matter in the draft explanatory notes (see para. 39 below).工作组决定保持该条草案不变,在解释性说明草案中处理这一事项(见下文第39段)。
Draft explanatory notes to article 6 (A/CN.9/920, paras. 38-40)第6条的解释性说明草案(A/CN.9/920,第38-40段)
39.39.
The Commission agreed to explain in paragraph 39 of document A/CN.9/920 that article 1, paragraph 2, of the Model Law would preclude inclusion in an electronic transferable record of additional information not permitted under substantive law.工作组商定,在A/CN.9/920号文件第39段中作出以下解释:《示范法》第1条第2款将防止在电子可转让记录中纳入实体法所不允许的其他信息。
Article 7.
Legal recognition of an electronic transferable record第7条 对电子可转让记录的法律承认
40.40.
No comment was made with respect to the draft article.未就该条草案发表评论。
Draft explanatory notes to article 7 (A/CN.9/920, paras. 41-48; A/CN.9/922, para. 27)第7条的解释性说明草案(A/CN.9/920,第41-48段;A/CN.9/922,第27段)
41.41.
The Commission agreed with the suggestion contained in paragraph 27 of document A/CN.9/922.委员会同意载于A/CN.9/922号文件第27段的建议。
Article 8. Writing第8条 书面形式
42.42.
No comment was made with respect to the draft article.未就该条草案发表评论。
Draft explanatory notes to article 8 (A/CN.9/920, paras. 50-56; A/CN.9/922, paras. 42-47)第8条的解释性说明草案(A/CN.9/920,第50-56段;A/CN.9/922,第42-47段)
43.43.
No comment was made with respect to the accompanying draft explanatory notes.未就随附解释性说明草案发表评论。
Article 9.
Signature第9条 签名
44.44.
No comment was made with respect to the draft article.未就该条草案发表评论。
Draft explanatory notes to article 9 (A/CN.9/920, paras. 50-54 and 57-61; A/CN.9/922, paras. 28 and 42-47)第9条的解释性说明草案(A/CN.9/920,第50-54、57-61段;A/CN.9/922,第28、42-47段)
45.45.
The Commission agreed to insert in paragraph 57 of document A/CN.9/920 the following clarification: “Reference to electronic signatures in article 9 of the Model Law is intended also as reference to electronic seals or other methods used to enable the signature of a person electronically.”委员会商定,在A/CN.9/920号文件第57段中插入以下澄清内容:“《示范法》第9条中对电子签名的提及还意指电子印章或为了以电子方式支持某人的签名而使用的其他方法”。
Article 10.
Requirements for the use of an electronic transferable record第10条 对使用电子可转让记录的要求
46.46.
The Commission agreed that the title of the draft article should read “Transferable documents or instruments”.委员会商定,该条草案标题应改为“可转让单证或票据”。
It was explained that the suggested title was in line with the naming convention of provisions relating to functional equivalence and was clearer to a reader.解释说,所提议的标题与关于功能等同的条款的命名方式一致,对读者来说更为清楚。
No support was expressed for adding the word “exclusive” before the word “control” in paragraph 1 (b) (ii) of the draft article.对于在该条草案第1款(b)项㈡目中“控制”一词前面加上“排他性”一词,会上没有表示支持。
The Commission agreed to replace the phrase “the electronic transferable record” with the phrase “that electronic record” in paragraph 1 (b) (iii) of the draft article to align the draft of that provision with that of paragraph 1 (b) (ii) of the draft article.委员会商定,将该条草案第1款(b)项㈢目中“电子可转让记录”改为“该电子记录”,使该目措词与该条草案第1款(b)项㈡目一致。
47.47.
Concern was expressed that the translation of the definite article “the” in some languages did not convey the intended meaning.对一些语文中定冠词“the”的译法未能表达本来的含意表示关切。
Recognizing that the suggestion raised linguistic rather than substantive issues, the Commission referred the matter to delegates for linguistic consultations together with paragraphs 77 and 78 of the accompanying draft explanatory notes contained in document A/CN.9/920.委员会认识到这一建议涉及语文问题而非实质问题,于是将这一事项连同A/CN.9/920号文件所载随附解释性说明草案第77和78段一并交给与会代表进行语文方面的协商。
48.48.
Further to the linguistic consultations held pursuant to the Commission’s request, the Commission considered two options: (a) to include a qualifier “singular” before the words “electronic transferable record” in paragraph 1 (b) (i) of the draft article; or (b) to insert an appropriate qualifier before the phrase “electronic transferable record” in paragraph 1 (b) (i) in those language versions where the definite article could not be used to appropriately convey the notion of singularity of the electronic transferable record.在根据委员会请求进行语文方面的协商后,委员会审议了两个选项:(a)在该条草案第1款(b)项㈠目“电子可转让记录”前面加上限定语“单一”;或者,(b)在无法使用定冠词的语文文本中在第1款(b)项㈠目“电子可转让记录”前面加上适当限定语,以适当反映电子可转让记录的单一性概念。
For the latter case, the Commission considered adding explanations along the following lines in paragraphs 77 and 78 of the draft explanatory notes contained in document A/CN.9/920:关于后者,委员会审议了按A/CN.9/920号文件所载解释性说明草案第77和78段的下述写法添加解释性说明:
77.77.
The purpose of the provision is to identify the electronic transferable record that is the equivalent of the transferable document or instrument.该规定的目的是指明与可转让单证或票据等同的电子可转让记录。
78.78.
The combination of the article “the” and singular noun in the Arabic, English, French and Spanish language versions of the Model Law suffices to point at the singularity approach.在《示范法》阿拉伯文、英文、法文和西班牙文文本中冠词‘the’与单数名词组合,足以指明单一性办法。
A qualifier is omitted to avoid interpretative challenges.略去限定语是为了避免解释上的困难。
A qualifier could be interpreted as referring to the notion of uniqueness which has been abandoned and could ultimately foster litigation.限定语有可能被解释为是指已被放弃的独一性概念,从而可能最终招致诉讼。
A qualifier is used in the Chinese and Russian language versions of the Model Law because the proper qualifier may be found in those languages to avoid interpretation problems.在《示范法》中文和俄文文本中使用限定语,是因为这两种语文中可以找到适当限定语避免解释上的困难。
All six language versions intend to convey the same notion.所有六种语文文本都意在表达同样概念。
49.49.
Some delegations were of the view that the most desirable solution would be to insert a qualifier in all language versions to avoid any impression that various language versions intended to convey different meaning.一些代表团认为,最可取的解决办法是在所有语文文本中加入一个限定语,以避免造成不同语文文本意在表达不同含义的印象。
It was, however, also recognized by those delegations that the matter had already been extensively discussed in the Working Group and that reopening that discussion in the Commission would not be desirable.然而,这些代表团也认识到,这一事项已在工作组进行了广泛讨论,在委员会重开这一讨论并不可取。
50.50.
Concern was expressed that the proposed wording did not explain in full the meaning of the notion of “singularity”.会上表示关切,所提议的措词未充分解释“单一性”概念的含义。
It was suggested that working group reports and other travaux préparatoires could be used to gather additional information on that notion.会上提出,可以利用工作组报告以及其他准备工作文件来收集关于这一概念的进一步信息。
51.51.
The Commission decided to implement option (b), with the addition of the word “functional” before the word “equivalent” in the proposed revised paragraph 77 (see para. 48 above).委员会决定采纳选项(b),同时在第77段拟议修订案文中在“等同”一词前面加上“功能”一词(见上文第48段)。
(For further consideration of the matter, see paras. 64 and 66 below.)(关于这一事项的进一步审议情况,见下文第64和66段。
Draft explanatory notes to article 10 (A/CN.9/920, paras. 62-86; A/CN.9/922, paras. 29, 30 and 38-41)第10条的解释性说明草案(A/CN.9/920,第62-86段;A/CN.9/922,第29、30、38-41段)
52.52.
The proposal was made to change the second sentence of paragraph 63 of document A/CN.9/920 as follows: “Uniqueness of a transferable document or instrument aims to prevent the circulation of multiple documents or instruments relating to the same performance and thus to avoid the existence of multiple claims for performance of the same obligation.”会上提议对A/CN.9/920号文件第63段第二句修改如下:“可转让单证或票据的独一性旨在防止流通与同一项履约有关的多份单证或票据,从而避免存在关于履行同一义务的多重请求。
The suggestion was accepted.”这项建议被接受。
53.53.
Support was expressed for the proposal to change the third sentence of paragraph 63 of document A/CN.9/920 as follows: “Providing a guarantee of uniqueness in an electronic environment functionally equivalent to an original or authentic document or instrument in the paper world has long been considered a peculiar challenge”.会上表示支持对A/CN.9/920号文件第63段第三句修改如下:“在电子环境下提供功能等同于纸质世界原始或真实单证或票据的独一性保证,长期以来被认为是一项特殊挑战。
The Commission accepted that proposal.”委员会接受了这一建议。
54.54.
The Commission agreed to change the first sentence of paragraph 64 of document A/CN.9/920 as follows: “Uniqueness is a relative notion that poses technical challenges in an electronic environment, as providing an absolute guarantee of non-replicability may not be technically feasible and as the identification of the specific record that is supposed to constitute the equivalent to a corresponding transferable document or instrument is not obvious due to the lack of a tangible medium.”委员会商定,对A/CN.9/920号文件第64段第一句修改如下:“独一性是一个相对概念,在电子环境下提出了技术上的挑战,这是因为,提供不可复制性的绝对保证可能在技术上无法做到,而且由于缺乏有形媒介,对于本应构成相应可转让单证或票据等同件的特定记录的识别并非显而易见。
55.” 55.
The Commission agreed to change the third sentence of paragraph 64 of document A/CN.9/920 as follows: “However, a paper document, as a physical object, is by nature unique and, furthermore, centuries of use of paper in business transactions have provided sufficient information to commercial operators for an assessment of the risks associated with the use of that medium, while practices relating to the use of electronic transferable records are not yet equally well established.”委员会商定,对A/CN.9/920号文件第64段第三句修改如下:“然而,纸张单证作为一种有形物体,理所当然是独一的,而且,千百年来商业交易使用纸张,已经为经商者评估使用此种媒介所带来的风险提供了足够信息,而使用电子可转让记录的惯例尚未完善到同样程度。
56.” 56.
The Commission agreed to change paragraph 65 of document A/CN.9/920 as follows: “Article 10 aims at preventing the possibility of the existence of multiple claims to perform the same obligation by combining two approaches, i.e. ‘singularity’ and ‘control’.” 57.委员会商定,对A/CN.9/920号文件第65段修改如下:“第10条着眼于防止出现就同一项义务提出多重履行请求的可能性,为此将两种做法——即‘单一性’做法和‘控制’做法——结合在一起。
57.
A suggestion was made to delete the words “and ‘control’” in paragraph 67 of document A/CN.9/920.会上提出删除A/CN.9/920号文件第67段中的“和‘控制’”一词。
There was disagreement with the suggested change and the Commission decided to retain the wording unchanged.会上不同意所提议的修改,委员会决定该措词保持不变。
58.58.
The Commission agreed to add the word “also” before the phrase “have an evidentiary value” in the last sentence of paragraph 68 of document A/CN.9/920.委员会商定,在A/CN.9/920号文件第68段最后一句“具有证据价值”一语之前加上“还”一词。
59.59.
After discussion, the Commission agreed to replace the first and the second sentences of paragraph 70 of document A/CN.9/920 as follows: “The definition of ‘electronic transferable record’ does not cover certain documents or instruments which are generally transferable but whose transferability may be limited due to other agreements, for example in the case of straight bills of lading.”经过讨论,委员会商定,将A/CN.9/920号文件第70段第一句和第二句改为以下内容:“‘电子可转让记录’的定义不涵盖某些单证或票据,这些单证或票据一般可转让,但其可转让性因其他协议而受到限制,例如,直交提单即属于此种情形。
60.” 60.
The suggestion was made to redraft the second sentence in paragraph 76 of document A/CN.9/920 as follows: “That requirement implements the requirement of a singular claim.”会上提议对A/CN.9/920号文件第76段第二句重拟如下:“这一要求体现了单一请求的要求。
The alternative view was that the wording should be retained unchanged since the provisions in question aimed at achieving the singularity of the record, not a singularity of claim.”另一种意见是,这一措词应保持不变,因为有关规定旨在实现记录的单一性,而非请求的单一性。
The Commission decided to retain the text unchanged.委员会决定该案文保持不变。
61.61.
The Commission agreed to delete the words “as opposed to other electronic records that are not transferable” in the first sentence of paragraph 77 of document A/CN.9/920.委员会商定,删除A/CN.9/920号文件第77段第一句中的词语“相对于不可转让的其他电子记录”。
Clarification was sought about the second sentence in paragraph 77.会上寻求对第77段第二句作出澄清。
62.62.
The suggestion was made to state clearly, for example in an introductory part to the explanatory notes, that an electronic transferable record confers the same rights and imposes the same obligations as a corresponding transferable document or instrument.会上提议作出以下明确阐述(例如,在解释性说明的导言部分):如同相应的可转让单证或票据,电子可转让记录赋予同样权利并规定同样义务。
63.63.
The Commission heard the suggestion that paragraph 78 of document A/CN.9/920 should be deleted or amended to explain the difference between “singularity” and “uniqueness”.委员会听取了下述建议,即应当删除A/CN.9/920号文件第78段,或者对其作出修改,以解释“单一性”与“独一性”的区别。
The alternative suggestion was to delete the introductory words “unlike other legislation on electronic transferable records,”.另一项建议是删除导入语“与其他关于电子可转让记录法规不同的是,”。
64.64.
The Commission deferred decisions on paragraphs 77 and 78 of document A/CN.9/920 to a later stage until the linguistic issues referred to in paragraph 47 above were resolved.在解决上文第47段提到的语文问题之前,委员会延后就A/CN.9/920号文件第77和78段作出决定。
(For further consideration of the matter, see para. 66 below.)(关于这一事项的进一步审议情况,见下文第66段。
65.) 65.
The suggestion was made to delete paragraph 80 of document A/CN.9/920 or add to it a reference to article 12.会上提出删除A/CN.9/920号文件第80段,或者在其中加入提及第12条的内容。
The Commission agreed to retain the paragraph with a reference to article 12 along the lines of the reference contained in the last part of paragraph 81 of document A/CN.9/920.委员会商定,参照A/CN.9/920号文件第81段结尾部分提及第12条的写法,保留该段并提及第12条。
66.66.
The Commission agreed to revise paragraphs 77 and 78 of the draft explanatory notes to reflect the understanding reached on provisions of draft article 10, paragraph (1) (b) (i) (see para. 51 above).委员会商定,修订解释性说明草案第77和78段,以反映就第10条草案第(1)款(b)项㈠目的规定达成的共识(见第51段)。
67.67.
With respect to the relationship between paragraphs 81 and 119 of the draft explanatory notes as to whether the reliability standard should be characterized as subjective or objective, the suggestion was made to remove the words “or subjective” from paragraph 81.关于解释性说明草案第81段与第119段之间的关系,即可靠性标准应定性为主观的还是客观的,会上提出去掉第81段中的“也是主观的”字样。
It was explained that the same general reliability standard applied to the various articles of the model law and was therefore objective, while the assessment of the reliability of each method was to be carried out in the light of the specific function pursued with that method and was therefore relative.解释说,同样的可靠性一般标准适用于示范法的不同条款,因此是客观的,而对于每一种方法可靠性的评价又需根据此种方法所寻求的具体功能进行,因此又是相对的。
The Secretariat was requested to reflect those points in explanatory notes.会上请秘书处在解释性说明中反映这些考虑。
68.68.
The Commission agreed to remove the words “or subjective” from paragraph 81 of the draft explanatory notes.委员会商定,从解释性说明草案第81段中去掉“也是主观的”字样。
69.69.
The Commission agreed to revise paragraphs 82 and 83 of the draft explanatory notes as follows:委员会商定,对解释性说明草案第82和83段修订如下:
82.82.
Unlike other UNCITRAL texts on electronic commerce, the Model Law does not use the term “original” in the provisions that contain the requirements for establishing functional equivalence to the paper-based notion of “original”.与贸易法委员会其他电子商务法规不同的是,《示范法》没有在载有确定与“正本”纸质概念功能等同的要求的条款中使用“正本”一词。
In that respect, it should be noted that article 8 of the UNCITRAL Model Law on Electronic Commerce refers to a static notion of “original”, while electronic transferable records are meant, by their very nature, to circulate.这方面应当注意的是,《贸易法委员会电子商务示范法》第8条提及的“原件”是一个静态概念,而电子可转让记录就其本身性质而言应是流通的。
Therefore, the notion of “original” in the context of electronic transferable records is different from that adopted in other UNCITRAL texts.因此,电子可转让记录语境下的“正本”概念是不同于贸易法委员会其他法规所采用的原件概念的。
With regard to the dynamic notion of “original” in the context of electronic transferable records, article 10, paragraph 1 (b) (iii), of the Model Law refers to integrity of the electronic transferable record as one of the requirements that needs to be fulfilled in order to achieve functional equivalence with a transferable document or instrument.关于电子可转让记录语境下的动态“正本”概念,《示范法》第10条第1款(b)项㈢目提及电子可转让记录的完整性,将其作为实现与可转让单证或票据功能等同所需满足的要求之一,就是为了。
83.83.
Hence, while the notion of “original” of transferable documents or instruments is particularly relevant to prevent multiplicity of claims, the Model Law achieves that goal with the use of the notions of “singularity” and “control” that allow identifying both a specific electronic record as the electronic transferable record to entitle the person in control to claim performance and that is the object of control (see above, paras. 65-67).因此,虽然可转让单证或票据的“正本”概念对于防止多重请求特别重要,但《示范法》为实现这一目标采用了“单一性”和“控制”概念,从而能够既指明某一电子记录是使控制人有权要求履行的电子可转让记录,又可指明该电子记录是控制对象(见上文第65-67段)。
70.70.
Clarification was sought regarding the words “dynamic notion of ‘original’”.会上请求对“动态‘正本’概念”作出澄清。
The attention of the Commission was drawn to the explanation already contained in paragraph 82 of the draft explanatory notes, which could be expanded as necessary.会上提请委员会注意已载于解释性说明草案第82段中的解释,这段解释内容可以视需要加以扩展。
The additional explanation could convey in particular that article 8 of the UNCITRAL Model Law on Electronic Commerce, establishing functional equivalence for the notion of “original”, referred to concepts such as “first generated in its final form”, and was therefore particularly suitable for documents such as contracts whose modification was possible but neither necessary nor frequent.补充解释内容可以特别作出以下表述:《贸易法委员会电子商务示范法》第8条在确定“原件”概念的功能等同时提及诸如“首次以其最终形式生成”这样的概念,因此对某些文件特别合适,例如,可加以修改但既无必要也不经常修改的合同。
The notion of “original” in the draft model law, on the other hand, took into account the fact that, after issuance, the electronic transferable record was necessarily subject to modifications and would not be in its “final form” until presentation.另一方面,示范法草案中的“正本”概念考虑到下述事实:电子可转让记录一经签发一定会作出修改,在出示之前不会成为“最终形式”。
The Commission agreed to insert that clarification in paragraph 82 of the draft explanatory notes.委员会同意在解释性说明草案第82段中加入这一澄清内容。
71.71.
The Commission agreed to implement the suggestion contained in paragraph 30 of document A/CN.9/922.委员会同意执行载于A/CN.9/922号文件第30段所载建议。
Article 11.
Control第11条 控制
72.72.
It was suggested that the title of the draft article should be changed from “Control” to “Possession” to convey the intended purpose of that draft article and to ensure consistency with the naming style of other articles relating to functional equivalence contained in the draft model law.会上提出,该条草案的标题应从“控制”改为“占有”,以表达该条草案本来的用意,并确保与示范法草案中关于功能等同的其他条款的命名风格一致。
In reply, it was noted that the Working Group had decided to highlight the notion of “control” in the title of article 11 because of its novelty and relevance.对此指出,工作组已经决定在第11条的标题中突出“控制”概念,这是其新颖性和相关性使然。
Recalling that discussion of the Working Group, the Commission agreed to retain the title unchanged.委员会回顾了工作组的讨论情况,商定保持该标题不变。
73.73.
It was also suggested that the word “publicly” should be added before the word “identify” in paragraph 1 (b) to stress the need to identify the person in control vis-à-vis concerned parties.会上还提出,在第1款(b)项“指明”一词前面加上“公开”,以强调需要指明相对于其他相关方的控制人。
Concern was raised that the suggestion might have substantive law implications, in particular as regards the role of public registries.会上担心这一建议可能会产生实体法方面的影响,特别是关于公共登记处的作用。
Concern was also expressed that the proposal had never been discussed by the Working Group.会上还对这一建议从未在工作组中讨论表示关切。
The point was made that the suggestion would need to be reconciled with the need to accommodate anonymity and the use of pseudonyms under the draft model law.有一个问题是,这项建议需与示范法草案顾及匿名性的需要以及使用假名相协调。
Support was expressed for retaining the text unchanged with inclusion of additional explanation in the explanatory notes, if necessary, of the issue intended to be addressed with the suggestion.会上表示支持这段案文保持不变,如有必要,可在解释性说明中针对这项建议打算处理的问题列入补充解释。
The Commission agreed to retain the text unchanged.委员会商定保持这段案文不变。
74.74.
It was also suggested that the word “exclusive” should be inserted before the word “control” in paragraph 2 of the draft article to ensure consistency between that paragraph and paragraph 1 (a) of the same article that contained that qualifier.会上还提出,应当在该条草案第2款“控制”一词前面加上“排他”,以确保该款与同一条款载有这一限定语的第1款(a)项保持一致。
The Commission agreed to retain the text unchanged and to add at the end of paragraph 100 of the draft explanatory notes the following sentences: “Transfer of control implies transfer of exclusive control since the notion of ‘control’, similarly to that of ‘possession’, implies exclusivity in its exercise.委员会商定,这段案文保持不变,同时在解释性说明草案第100段结尾处加上下面的句子,“转移控制意味着转移排他控制,因为‘控制’概念类似于‘占有’概念,意味着行使控制的排他性。
The considerations on the joint exercise of control apply also to transfer of control (see above, paras. 92 and 95).”对共同行使控制的考虑也适用于转移控制(见上文第92和95段)。
75.” 75.
Another suggestion was to insert the words “or permits” before the words “the possession” in the chapeau of paragraph 1 of the draft article, to reflect that security rights could be made effective against third parties by various methods, such as by taking possession or control or registering notice of the security right.另一项建议是在该条草案第1款开头语“占有”一词前面加上“或允许”字样,以反映可通过各种方法使担保权取得对抗第三方效力,例如,通过取得占有或控制或者通过登记担保权通知。
It was noted that the same wording “or permits” was used in paragraph 2 of the draft article.会上指出,该条草案第2款使用了同样措词“或允许”。
Recognizing the need to ensure consistency of the draft model law with UNCITRAL texts in the area of security interests, the Commission agreed to change the chapeau of paragraph 1 of draft article 11 as suggested.委员会认识到需要确保示范法草案与贸易法委员会担保权益领域法规保持一致,于是商定,按所提建议修改第11条草案第1款开头语。
The Commission also agreed to add to the draft explanatory notes the following explanations that would accompany the revision made: “This Model Law is not intended to restrict the creation of security rights in transferable documents or instruments.委员会还商定,在解释性说明草案中加入以下解释随附所作修订:“本《示范法》并非意在限制对可转让单证或票据设定担保权。
Thus, the control envisaged under article 11 provides the functional equivalent in those cases where the security rights would be created and made effective against third parties by possession of a paper document or instrument.因此,第11条所设想的控制提供了对于通过占有纸张单证或票据设定担保权并使之取得对抗第三方效力的情形的功能等同。
This Model Law is also not intended to limit the creation of security rights where those rights would be made effective against third parties by their registration in a public registry.”如果担保权是通过在公共登记处登记而取得对抗第三方效力的,本《示范法》也无意限制设定此种担保权。
The Secretariat was requested to ensure that the text was consistent with the UNCITRAL texts in the area of security interests as regards terminology.”会议请秘书处确保这段案文在术语上与贸易法委员会担保权益领域法规一致。
Draft explanatory notes to article 11 (A/CN.9/920, paras. 87-102)第11条的解释性说明草案(A/CN.9/920,第87-102段)
76.76.
In addition to the changes in the draft explanatory notes agreed in conjunction with the proposed amendments to draft article 11 (see paras. 74 and 75 above), the Commission also agreed:除结合对第11条草案提议的修改在解释性说明草案中作出所商定的修改之外(见上文第74和75段),委员会还商定如下:
(a)(a)
To revise paragraph 94 of the draft explanatory notes as follows: “Paragraph 1 (b) requires the person in control of the electronic transferable record to be reliably identified as such.对解释性说明草案第94段修订如下:“第1款(b)项要求以可靠方式指明电子可转让记录的控制人确为其人。
The person in control of an electronic transferable record is in the same legal position as the possessor of an equivalent transferable document or instrument.”电子可转让记录控制人具有与等同的可转让单证或票据占有人同样的法律地位。
;”;
(b)(b)
To replace the second sentence of paragraph 96 of the draft explanatory notes with the following wording: “The use of the services of a third party to exercise exclusive control does not affect exclusivity of control.将解释性说明草案第96段第二句改为以下内容:“使用第三方服务行使排他控制,不影响控制的排他性。
It neither implies nor excludes the possibility that such a third party service provider or any other intermediary is a person in control.这既不意味着也不排除下述可能性:此种第三方服务商或其他任何中间人是控制人。
The person in control is to be determined by the applicable substantive law.”控制人应由适用的实体法来确定。
;”;
(c)(c)
To replace the third sentence of paragraph 102 with the following: “The Model Law does not contain specific provisions on surrender, since paragraph 2, which governs transfer of control as the functional equivalent of transfer of possession and thus of delivery, would apply also to those cases.”将第102段第三句改为以下内容:“《示范法》未载有关于交出的具体规定,因为关于转移控制在功能上等同于转移占有并因此等同于移交的第2款也将适用于这些情。
. Article 12.”。
General reliability standard第12条 可靠性一般标准
77.77.
Several delegations were of the view that some of the circumstances listed in the draft article should be mandatory.若干代表团认为,该条草案列出的某些情形应当是强制性的。
It was explained that, in particular, the assurance of data integrity, the ability to prevent unauthorized access to and use of the system and the security of hardware and software were elements of critical importance for the correct management of electronic transferable records, in particular across borders.解释说,尤其是数据完整性保证、防止擅自进入和使用系统的能力以及硬软件安全性,都是对于正确管理电子可转让记录至关重要的因素,特别是在跨界情况下。
It was added that, for the same reasons, derogations by contracting parties from the standards to determine the reliability of those elements should not be allowed.补充说,出于同样原因,不应允许订约方减损将决定这些因素可靠性的标准。
78.78.
Another suggestion was to insert additional items under paragraph (a) of the draft article that would address reliability of the method in addition to the reliability of the computer system.另一项建议是,在该条草案(a)项中添加一项,这样,除述及计算机系统可靠性之外,还述及方法可靠性。
Specific indicators suggested for inclusion in paragraph (a) included extensive use of the standard, maturity of the technology used and reasonable design of the technology.会上提出可列入(a)项的具体指示数包括:标准的广泛使用、所使用技术的成熟度以及技术的合理设计。
The suggestion was made that, if those provisions were not included in the draft article, they should at least be reflected in the explanatory notes.所提建议是,即使不将这些规定列入该条草案,起码也应在解释性说明中反映这些规定。
79.79.
Views were expressed that those same issues had already been extensively discussed in the Working Group and the result of those deliberations was reflected in the current draft of article 12.会上表达了各种看法,认为这些同样问题已在工作组中作了广泛讨论,这些审议的结果也已反映在第12条目前草案中。
Reopening the discussion of those issues in the Commission would therefore be undesirable.因此,在委员会重开这些问题的讨论并不可取。
80.80.
The Commission decided to retain the draft article unchanged and reflect relevant points in the explanatory notes. (For further consideration of the matter, see paras. 82 to 84 below.)委员会决定,该条草案保持不变,并在解释性说明中反映相关要点(关于这一事项的进一步审议情况,见下文第82至84段)。
Draft explanatory notes to article 12 (A/CN.9/920, paras. 103-120; A/CN.9/922, paras. 29, 31, 32 and 48)第12条的解释性说明草案(A/CN.9/920,第103-120段;A/CN.9/922,第29、31、32、48段)
81.81.
With respect to paragraph 32 of document A/CN.9/922, the Commission agreed to clarify in paragraph 116 of the draft explanatory notes that reference to industry standards should not be interpreted as favouring the industry standards of one sector over those of others, which could be detrimental to supply chain management.关于A/CN.9/922号文件第32段,委员会商定,在解释性说明草案第116段中作出下述澄清:提及业界标准不应解释为厚此薄彼,倾向于某一部门的业界标准,因为这可能有损于供应链管理。
82.82.
The view was expressed that paragraphs 104, 119 and other parts of the draft explanatory notes should highlight such elements as data integrity, access protection and hardware and software security as mandatory or more important for the reliability of electronic transferable records, in particular in the cross-border context.会上认为,解释性说明草案的第104和119段以及其他部分应当强调,诸如数据完整性、访问保护以及硬软件安全性等要素是强制性的,或者对于电子可转让记录的可靠性更重要,特别是在跨界情况下。
A related view was that the explanatory notes could encourage the parties to comply with those elements.一个相关看法是,解释性说明可以鼓励各方遵守这些要素。
83.83.
The alternative view was that no particular element from the illustrative list contained in draft article 12, subparagraph (a), should be highlighted in the explanatory notes as mandatory or more important, as the relevance of each element was circumstantial.另一种观点是,不应在解释性说明中强调第12条草案(a)项所载示例清单中的某一要素是强制性的或者更重要,因为每一要素的相关性取决于具体情况。
The Commission recalled its decisions as regards draft article 4, on party autonomy and privity of contract (see para. 31 above), which left it to enacting States to identify provisions from which derogations by parties would not be permissible.委员会回顾了就关于当事人意思自治及合同相对性的第4条草案作出的决定(见上文第31段),即应由颁布国来指明允许当事人减损的规定。
It was understood that those provisions of article 4 would also be applicable to the list in draft article 12, subparagraph (a).会上的理解是,第4条的这些规定也将适用于第12条草案(a)项中的清单。
84.84.
Some support was expressed for deleting paragraph 119 of the draft explanatory notes.会上对删除解释性说明草案第119段表示了一些支持。
The alternative view was that the paragraph should be retained.另一种看法是,该段应予保留。
The Commission decided to retain the text of paragraph 119 unchanged.委员会决定,第119段案文保持不变。
Article 13.
Indication of time and place in electronic transferable records第13条 在电子可转让记录中指明时间和地点
85.85.
The Commission agreed to revise the draft article as follows: “Where the law requires or permits the indication of time or place with respect to a transferable document or instrument, that requirement is met if a reliable method is used to indicate that time or place with respect to an electronic transferable record.”委员会商定,对该条草案修订如下:“法律要求或允许对可转让单证或票据指明时间或地点的,如果使用了一种可靠方法对电子可转让记录指明时间或地点,即为满足这一要求。
Draft explanatory notes to article 13 (A/CN.9/920, paras. 121-126)第13条的解释性说明草案(A/CN.9/920,第121-126段)
86.86.
No comment was made with respect to the accompanying draft explanatory notes.未就随附解释性说明草案发表评论。
Article 14.
Determination of place of business第14条 营业地的确定
87.87.
The suggestion was made to change the title of the draft article to “Place of business” to better reflect its content.会上提出将该条草案的标题改为“营业地”,以更好地反映其内容。
The Commission agreed with that suggestion.委员会同意这一建议。
88.88.
Doubts were expressed about the scope of the draft article, in particular in the absence of any reference to the place of business in other provisions of the draft model law.会上对该条草案的范围表示了疑问,尤其是示范法草案其他条文未有任何提及营业地之处。
The view was expressed that the determination of the place of business would be relevant with respect to issuance of the electronic transferable record and performance of the obligation contained therein, and that in both of those cases applicable substantive law would determine the place of business.会上认为,确定营业地,对于签发电子可转让记录和履行其中所载明的义务都是相关的,在这两种情况下,均由适用的实体法确定营业地。
Support was expressed for deleting draft article 14 because it might interfere with substantive law.会上表示支持删除第14条草案,因其可能会干扰实体法。
The alternative view was that the draft article was the result of careful consideration by the Working Group and should be retained unchanged.另一种看法是,该条草案是工作组认真审议的结果,应当不作改动加以保留。
89.89.
The Commission agreed to retain the draft article unchanged on the understanding that it might be helpful to States whose substantive law was silent on the determination of the place of business relevant to electronic transferable records.委员会商定不作改动保留该条草案,但有以下理解,即该条草案可能对其实体法未就对于电子可转让记录相关的营业地的确定作出规定的国家有所帮助。
Draft explanatory notes to article 14 (A/CN.9/920, paras. 127-130)第14条的解释性说明草案(A/CN.9/920,第127-130段)
90.90.
No comment was expressed with respect to the accompanying draft explanatory notes.未就随附解释性说明草案发表评论。
Article 15.
Issuance of multiple originals第15条 签发多份正本
91.91.
The suggestion was made to delete the draft article.会上提出删除该条草案。
The point was made that the practice of requiring multiple originals had originated in the paper environment in the light of concerns about loss of the only existing original.所提出的观点是,要求多份正本的做法源于纸张环境,因为担心会丢失存在的唯一正本。
Doubts were expressed about the intent and the meaning of issuance of multiple originals in the electronic environment where such risks did not arise.对在已没有此类风险的电子环境中签发多份正本的意图和意义提出疑问。
It was noted that the Working Group had considered the draft article on the understanding that a business need for the issuance of multiple originals might arise, whereas subsequent consultations on the draft model law had not indicated such a need.会上指出,工作组当初考虑该条草案是基于可能有签发多份正本的商业需要这一理解,而后来有关示范法草案的协商并未表明有此种需要。
92.92.
Another view was that the draft article should be retained unchanged.另一种观点认为,应当不作改动保留该条草案。
It was recalled that the draft model law did not purport to establish substantive rules on the matter (e.g., to permit or prohibit issuance of multiple originals).会上回顾,示范法草案无意就这一事项确立实体法规则(例如,允许或禁止签发多份正本)。
It was added that, where the substantive law allowed issuance of multiple originals, the draft article could be useful in establishing functional equivalence rules.补充说,在实体法允许签发多份正本的情况下,该条草案或许还是有助于确立功能等同规则的。
93.93.
Broad support was expressed for the view that the deletion or retention of the draft article did not change the fact that issuance of multiple originals was possible under draft article 10 of the model law.会上普遍支持下述观点,即删除或保留该条草案并不改变有可能根据示范法第10条草案签发多份正本这一事实。
The question arose as to whether the draft model law and explanatory notes should nevertheless encourage or discourage such a practice.于是产生一个问题:既然如此,示范法草案和解释性说明应当鼓励还是不鼓励这种做法。
It was agreed that the draft model law and explanatory notes should remain neutral on the matter.会上一致认为,示范法草案和解释性说明应当在这一问题上保持中立。
94.94.
The Commission agreed to delete the draft article but to retain most of the comments on issuance of multiple originals in explanatory notes.委员会商定删除该条草案,但在解释性说明中保留关于签发多份正本的大部分评论意见。
Draft explanatory notes to article 15 (A/CN.9/920, paras. 131-136; A/CN.9/922, paras. 33-35)第15条的解释性说明草案(A/CN.9/920,第131-136段;A/CN.9/922,第33-35段)
95.95.
Following the deletion of draft article 15 (see para. 94 above), the Commission agreed to amend paragraphs 131 to 136 of the draft explanatory notes contained in document A/CN.9/920 to read as follows:在删除第15条草案之后(见上文第94段),委员会商定,对载于A/CN.9/920号文件的解释性说明第131至136段修改如下:
131.131.
The possibility of issuing multiple originals of a transferable document or instrument exists in several fields of trade.若干贸易领域存在着可转让单证或票据签发多份正本的可能性。
The Model Law does not affect the continuation of that practice with respect to the use of electronic transferable records in accordance with article 10 of the Model Law when that practice is permitted under applicable law.《示范法》并不影响在适用法律允许这种做法的情况下,按照《示范法》第10条的规定,对电子可转让记录的使用延续这种做法。
Similarly, the Model Law does not prevent the possibility of issuing multiple originals on different media (e.g., one on paper and one in electronic form), where this is permitted under applicable law.同样,在适用法律允许的情况下,《示范法》并不妨碍在不同载体上签发多份正本的可能性(例如,一份正本在纸张上,一份正本为电子形式)。
132.132.
As noted (see above, para. 82), the Model Law does not contain a functional equivalent of the paper-based notion of original. Instead, the functions fulfilled by the original of a transferable document or instrument with respect to requesting performance are satisfied in an electronic environment by the notions of “singularity” and “control” (see above, paras. 65-67).如前所述(见上文第82段),《示范法》未载明“正本”纸质概念的功能等同概念,而是在电子环境下通过“单一性”和“控制”概念来满足可转让单证或票据正本在请求履行方面所实现的功能(见上文第65-67段)。
Hence, the transposition of the practice of issuing multiple original transferable documents or instruments in an electronic environment requires the issuance of multiple electronic transferable records relating to the performance of the same obligation.因此,将可转让单证或票据签发多份正本的做法移植到电子环境,其要求是必须就履行同一项义务签发多份电子可转让记录。
133.133.
However, caution should be exercised when issuing multiple electronic transferable records.不过,在签发多份电子可转让记录时还是应当力行谨慎。
In fact, doing so might lead to multiple claims for the same performance based on the presentation of each original.事实上,这样做会导致凭出示每份正本就同一项履行提出多重请求的可能性。
Moreover, in an electronic environment, the same functions may be pursued as with the issuance of multiple original transferable documents or instruments by selectively attributing control over one electronic transferable record to multiple entities on the basis of the legal rights attributed to each entity (for example, title to property of goods, or security interests).此外,在电子环境下,通过选择性地将对于一项电子可转让记录的控制根据赋予每个实体的法律权利(如货物财产所有权或担保权)分给多个实体,便可实现签发多份可转让单证或票据正本所要实现的同样功能。
In practice, an electronic transferable records management system could, for instance, provide information on multiple claims having different objects relating to the same electronic transferable record.例如,实务中,电子可转让记录管理系统可提供关于包含不同对象但涉及同一项电子可转让记录的多重请求的信息。
134.134.
If substantive law contains an obligation to indicate whether multiple originals have been issued, the electronic transferable record must comply with it in accordance with the information requirements contained in article 10, paragraph 1 (a), of the Model Law.如果实体法载有要求注明是否已签发多份正本的义务,电子可转让记录必须根据《示范法》第10条第1款(a)项载明的信息要求遵守这项义务。
135.135.
Similarly, the Model Law does not specify whether one or all originals must be presented to request the performance of the obligation contained in the electronic transferable record as this matter is determined by applicable law or, where possible, by contractual agreement.同样,《示范法》没有具体规定为请求履行电子可转让记录所载明的义务必须出示一份正本还是所有正本,这一事项由适用法律决定,或者可能的话由合同协议决定。
Article 16.
Endorsement第16条 背书
96.96.
No comment was made with respect to the draft article.未就该条草案发表评论。
Draft explanatory notes to article 16 (A/CN.9/920, paras. 137-141)第16条的解释性说明草案(A/CN.9/920,第137-141段)
97.97.
No comment was made with respect to the accompanying draft explanatory notes.未就随附解释性说明草案发表评论。
Article 17. Amendment第17条 变更
98.98.
No comment was made with respect to the draft article.未就该条草案发表评论。
Draft explanatory notes to article 17 (A/CN.9/920, paras. 142-147)第17条的解释性说明草案(A/CN.9/920,第142-147段)
99.99.
No comment was made with respect to the accompanying draft explanatory notes.未就随附解释性说明草案发表评论。
Article 18.
Replacement of a transferable document or instrument with an electronic transferable record第18条 以电子可转让记录替换可转让单证或票据
100.100.
No comment was made with respect to the draft article.未就该条草案发表评论。
Draft explanatory notes to article 18 (A/CN.9/920, paras. 148-162)第18条的解释性说明草案(A/CN.9/920,第148-162段)
101.101.
The Commission agreed to insert after paragraph 157 of the draft explanatory notes the following sentences: “However, information contained in a transferable document or instrument may have legal value for purposes not related to the functions pursued with transferability.委员会商定,在解释性说明草案第157段之后插入以下语句:“不过,可转让单证或票据所包含的信息可能具有法律价值,但这是就无关转让性所寻求的功能的目的而言。
For instance, a bill of lading may provide evidence of a contract of carriage of goods.举例来说,提单可提供货物运输合同的证据。
The legal status of that information is to be determined by substantive law.该信息的法律地位应由实体法来决定。
Moreover, article 18 does not apply in cases where a second original is deliberately issued on a medium different from that used for the first original.” Article 19.此外,对于使用一种媒介签发第一份正本后故意使用另一种媒介签发第二份正本的情形,第18条不适用。
Replacement of an electronic transferable record with a transferable document or instrument第19条 以可转让单证或票据替换电子可转让记录
102.102.
No comment was made with respect to the draft article.未就该条草案发表评论。
Draft explanatory notes to article 19 (A/CN.9/920, paras. 163-170)第19条的解释性说明草案(A/CN.9/920,第163-170段)
103.103.
No comment was made with respect to the accompanying draft explanatory notes.未就随附解释性说明草案发表评论。
104.104.
It was agreed to add before paragraph 167 of the draft explanatory notes the following guidance on storage and archiving: “The Model Law does not contain specific provisions on storage and archiving.会议商定,在解释性说明草案第167段之前添加关于存储和归档的下述指导意见:“《示范法》未载有关于存储和归档的具体规定。
All applicable retention requirements found in other law, including the law on privacy and data retention, should be complied with.其他法律(包括关于隐私和数据留存的法律)中所有适用的留存要求均应得到遵守。
The notions of storage and archiving may apply to the information contained in the electronic transferable record, but not to the electronic transferable record as such.”存储和归档概念可适用于电子可转让记录所包含的信息,而不是电子可转让记录本身。
(A/CN.9/834, paras. 74 and 75.)”(A/CN.9/834,第74和75段。
Article 20.
Non-discrimination of foreign electronic transferable records第20条 不歧视外国电子可转让记录
105.105.
The suggestion was made that the draft article should be supplemented with the following provision: “The principle of non-discrimination of electronic transferable records may not in itself constitute grounds for recognizing the legal effect, validity or enforceability of foreign electronic transferable records if such records do not meet the criteria determining the reliability of the method used, as set out in article 12.”会上提出以下述条文补充该条草案:“如果某一外国电子可转让记录不能满足第12条所载明的确定所使用的方法可靠性的标准,则不歧视电子可转让记录原则本身不得构成承认外国电子可转让记录的法律效力、有效性或可执行性的理由。
It was indicated that if that suggestion was not accepted by the Commission, the proposed text could be included in the explanatory notes as an alternative.”会上表示,如果这一建议不为委员会所接受,所提议的案文可作为备选案文列入解释性说明。
106.106.
The Commission decided to retain the draft article unchanged.委员会决定不作修改保留该条草案。
(For the consideration of the suggestion in the context of the draft explanatory notes to article 20, see para. 108 below.)(关于结合第20条草案的解释性说明对这一建议进行审议的情况,见下文第108段。
Draft explanatory notes to article 20 (A/CN.9/920, paras. 171-179)第20条的解释性说明草案(A/CN.9/920,第171-179段)
107.107.
The suggestion was made to add to the explanatory notes the following provision: “The underlying domestic criteria concerning acceptance or non-acceptance of electronic transferable records issued or used in a jurisdiction not allowing the issuance and use of such records should not only be made public (transparency) but also be non-discriminatory.会上提出在解释性说明中添加以下内容:“就接受或不接受在不允许签发和使用电子可转让记录的法域中签发或使用的电子可转让记录规定的基本国内标准,不仅应当公诸于众(透明度),而且应当是不歧视性的。
Therefore, the relevant implementing measures in such cases should be objective in nature and also not, in themselves, based ‘solely’ on origin.因此,此种情况下的相关执行措施应当是客观性的,而且其本身不应‘仅’以发端地为依据。
This assumes that acceptance of such records from jurisdictions that do allow their issuance or use would normally not raise these issues.”由此作出的假设是,接受来自确实允许签发或使用此种记录的法域的记录,通常不会引起这些问题。
It was noted that the suggested addition had substantive law implications and would broaden the intended scope of draft article 20.”会上指出,所提议的补充内容涉及实体法,还会扩大第20条草案的预定范围。
For those reasons, the Commission decided not to include the suggested wording in the explanatory notes to article 20.出于这些原因,委员会决定不在第20条的解释性说明中列入所提议的内容。
108.108.
As regards the suggestion to reflect in explanatory notes to article 20 the proposed wording in paragraph 105 above, concern was expressed about including it in its entirety since that text might conflict with paragraph 2 of draft article 20 by dictating a universal answer on how to deal with issues arising from the cross-border use of electronic transferable records.关于在第20条的解释性说明中反映上文第105段中的拟议措辞,会上对将其完全列入表示关切,因为这段案文要求对如何处理跨界使用电子可转让记录所产生的各种问题普遍采用同一种答案,因而可能与第20条草案第2款冲突。
It was explained that paragraph 2 of draft article 20 left those issues for resolution by States on a case-by-case basis.解释说,第20条草案第2款让各国在逐案基础上解决这些问题。
The Commission agreed to include in paragraph 176 of the draft explanatory notes the following wording: “The principle of non-discrimination of electronic transferable records may not in itself constitute a ground for recognizing the legal effect, validity or enforceability of foreign electronic transferable records.”委员会商定,在解释性说明草案第176段中列入以下内容:“不歧视电子可转让记录原则本身不得构成承认外国电子可转让记录的法律效力、有效性或可执行性的理由。
Draft explanatory notes: Introduction (A/CN.9/922, paras. 4-21)解释性说明草案:导言(A/CN.9/922,第4-21段)
109.109.
It was suggested that the second sentence of paragraph 8 of the draft introduction contained in document A/CN.9/922 could be revised as follows: “Article 14, paragraph 3, of the Hamburg Rules may be interpreted as implying the possible use of electronic bills of lading.”会上提议对A/CN.9/922号文件所载导言草案第8段第二句修订如下:“《汉堡规则》第14条第3款可解释为暗示有使用电子提单的可能性。
The Commission agreed with the suggestion.”委员会同意这一建议。
110.110.
The Commission recalled its decision to refer, in paragraph 13 and elsewhere in the explanatory notes where reference was made to medium-neutral electronic transferable records, to electronic transferable records for which substantive law was medium-neutral.委员会回顾其作出的决定,即在解释性说明第13段以及其他凡是提及媒介中性电子可转让记录的段落,提及实体法规定为中性的电子可转让记录。
In line with that decision, the Commission agreed to revise the fourth sentence of paragraph 13 of the proposed introduction to the explanatory notes contained in document A/CN.9/922 as follows: “The Model Law does not apply to electronic transferable records existing only in electronic form, as those records do not need a functional equivalent to operate in the electronic environment.根据这一决定,委员会商定对载于A/CN.9/922号文件的解释性说明的拟议导言第13段第四句修订如下:“《示范法》不适用于仅以电子形式存在的电子可转让记录,因为这些记录不需要功能等同件即可在电子环境下操作。
The Model Law does not affect the medium-neutral substantive law applicable to electronic transferable records”.《示范法》不影响适用于电子可转让记录的媒介中性实体法。
111.” 111.
Subject to the above changes, the Commission approved the insertion of the introduction contained in chapter II, section A (“Proposed introduction”), of document A/CN.9/922, in the explanatory notes.在作出上述改动的前提下,委员会核可在解释性说明中插入A/CN.9/922号文件第二章A节(“拟议导言”)所载导言。
Relationship of the draft model law with other UNCITRAL texts in the area of electronic commerce (A/CN.9/922, paras. 36-53)示范法草案与贸易法委员会电子商务领域其他法规的关系(A/CN.9/922,第36-53段)
112.112.
No support was expressed for adding a passage on the issues raised in paragraphs 42-48 of document A/CN.9/922 to the explanatory notes.会上表示不支持在解释性说明中加入一段关于A/CN.9/922号文件第42-48段所提问题的文字。
The view was expressed that consideration of those issues should be deferred to a working group or should be addressed by enacting States on a case-by-case basis.所提出的看法是,这些问题应委托一个工作组审议,或者应由颁布国在逐案基础上处理。
In the subsequent discussion, no support was expressed for taking up those issues at the working group level.在随后的讨论中,没有对在工作组一级处理这些问题表示支持。
113.113.
It was recalled that the draft model law had been drafted with a focus on electronic transferable records and that no interaction with other UNCITRAL texts in the area of electronic commerce had thoroughly been considered by the Working Group.会上回顾,拟订示范法草案的侧重点是电子可转让记录,至于与贸易法委员会电子商务领域其他法规的互动关系,工作组并未深入彻底地进行审议。
It was explained that different legislative solutions could be justified in the light of the specific focus of each text.解释说,根据每一法规的具体侧重点采取不同立法解决办法,不是不可以。
It was also noted that practices of States in enacting UNCITRAL model laws varied, and it could therefore be undesirable to provide a universally applicable solution.还指出,各国颁布贸易法委员会示范法的做法各不相同,因此,提供一个普遍适用的解决办法并不可取。
114.114.
The Commission left it to the Secretariat, as part of its technical assistance activities, to provide guidance to States on how the UNCITRAL model law on electronic transferable records could interact with other texts of UNCITRAL in the area of electronic commerce on a case-by-case basis.委员会让秘书处作为技术援助活动的一部分向各国提供指导,在逐案基础上说明贸易法委员会电子可转让记录示范法如何与贸易法委员会电子商务领域的其他法规互动。
3.3.
Adoption of the UNCITRAL Model Law on Electronic Transferable Records with an Explanatory Note通过《贸易法委员会电子可转让记录示范法及解释性说明》
115.115.
The Commission, after consideration of the text of the draft model law, adopted the following decision at its 1057th meeting, on 13 July 2017:在审议了示范法草案案文之后,委员会于2017年7月13日在第1057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 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,
Mindful that, while the United Nations Convention on the Use of Electronic Communications in International Contracts (New York, 2005), the UNCITRAL Model Law on Electronic Signatures (2001) and the UNCITRAL Model Law on Electronic Commerce (1996) are of significant assistance to States in enabling and facilitating electronic commerce in international trade, they do not deal or do not sufficiently deal with issues arising from the use of electronic transferable records in international trade,铭记,尽管《联合国国际合同使用电子通信公约》(2005年,纽约)、《贸易法委员会电子签名示范法》(2001年)和《贸易法委员会电子商务示范法》(1996年)大大有助于各国在国际贸易中支持使用并促进电子商务,但它们不足以处理在国际贸易中使用电子可转让记录所产生的问题,
Considering that uncertainties as to the legal value of electronic transferable records constitute an obstacle to international trade,认为电子可转让记录的法律价值不确定性构成了对国际贸易的障碍,
Convinced that legal certainty and commercial predictability in electronic commerce will be enhanced by the harmonization of certain rules on the legal recognition of electronic transferable records on a technologically neutral basis and according to the functional equivalence approach,深信在技术中性基础上、按照功能等同做法统一关于电子可转让记录的法律承认的某些规则,将增进电子商务方面的法律确定性和商业可预测性,
Recalling that, at its forty-fourth session, in 2011, it mandated Working Group IV (Electronic Commerce) to undertake work on electronic transferable records,回顾委员会在其在2011年第四十四届会议上授权第四工作组(电子商务)开展电子可转让记录方面的工作,
Having considered at its fiftieth session, in 2017, a draft model law on electronic transferable records prepared by the Working Group, together with comments on the draft received from Governments and international organizations invited to sessions of the Working Group,在其2017年第五十届会议上审议了工作组拟订的电子可转让记录示范法草案,以及从受邀出席工作组届会的政府和国际组织收到的关于草案的评论意见,
Noting that the draft model law prepared by the Working Group deals with the use of electronic transferable records equivalent to paper-based transferable documents or instruments and does not deal with the use of transferable records existing only in electronic form or transferable records, documents or instruments for which substantive law is medium-neutral,注意到工作组拟订的示范法草案涉及使用等同于纸质可转让单证或票据的电子可转让记录,不涉及使用仅以电子形式存在的可转让记录或者实体法规定为媒介中性的可转让记录、单证或票据,
Believing that an UNCITRAL model law on electronic transferable records will constitute a useful addition to existing UNCITRAL texts in the area of electronic commerce by significantly assisting States in enhancing their legislation governing the use of electronic transferable records, or in formulating such legislation where none currently exists,认为一部关于电子可转让记录的贸易法委员会示范法将构成对电子商务领域贸易法委员会现有法规的有益补充,大力有助于各国加强其关于使用电子可转让记录的立法,或者制订目前尚不存在的此类法规,
1.1.
Adopts the UNCITRAL Model Law on Electronic Transferable Records, annexed to the report of the fiftieth session of the Commission;通过委员会第五十届会议报告附件所载《贸易法委员会电子可转让记录示范法》;
2.2.
Requests the Secretariat to finalize an explanatory note that will accompany the UNCITRAL Model Law on Electronic Transferable Records by reflecting deliberations and decisions at the Commission’s fiftieth session as regards the draft explanatory notes contained in documents A/CN.9/920 and A/CN.9/922;请秘书处最后审定将随附《贸易法委员会电子可转让记录示范法》的解释性说明,其中将反映委员会第五十届会议关于A/CN.9/920和A/CN.9/922号文件所载解释性说明草案的审议情况和决定;
3.3.
Requests the Secretary-General to publish the UNCITRAL Model Law on Electronic Transferable Records together with an explanatory note, including electronically and in the six official languages of the United Nations, and to disseminate it broadly to Governments and other interested bodies;委员会请秘书处以联合国所有正式语文发布附带解释性说明的《贸易法委员会电子可转让记录示范法》,包括以电子方式发布,并向各国政府及其他有关机构广泛传播《示范法》;
4.4.
Recommends that all States give favourable consideration to the UNCITRAL Model Law on Electronic Transferable Records when revising or adopting legislation relevant to electronic transferable records, and invites States that have used the Model Law to advise the Commission accordingly.建议所有国家在修订或通过与电子可转让记录有关的立法时积极考虑《贸易法委员会电子可转让记录示范法》,并请已使用《示范法》的国家向委员会通报相关事宜。
B.B.
Progress report of Working Group IV第四工作组进度报告
116.116.
The Commission recalled that, at its forty-ninth session, in 2016, it had mandated Working Group IV (Electronic Commerce) to take up work on the topics of identity management and trust services as well as of cloud computing upon completion of the work on the draft model law on electronic transferable records.委员会回顾,委员会在其2016年第四十九届会议上授权第四工作组(电子商务)在完成电子可转让记录示范法草案的工作之后着手进行关于身份管理和信任服务以及云计算主题的工作。
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 with respect to their feasibility, in parallel and in a flexible manner and to report back to the Commission so that it could make an informed decision at a future session, including on 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并同时请工作组继续更新并进行关于这两个主题的准备工作,包括关于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,以便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。
117.117.
At its current session, the Commission had before it reports of the Working Group on its fifty-fourth session (A/CN.9/897), held in Vienna from 31 October to 4 November 2016, and on its fifty-fifth session (A/CN.9/902), held in New York from 24 to 28 April 2017.在本届会议上,委员会收到了2016年10月31日至11月4日在维也纳举行的工作第五十四届会议的报告(A/CN.9/897)以及2017年4月24日至28日在纽约举行的第五十五届会议的报告(A/CN.9/902)。
The Commission was informed that, at the fifty-fifth session of the Working Group, there was general agreement on the view that the suggested work on identity management and trust services on the one hand, and on cloud computing on the other, were different in scope and content.委员会获知,在第四工作组第五十五届会议上,对下述意见普遍达成一致:关于身份管理和信任服务的拟议工作与关于云计算的拟议工作无论在范围和内容上都不同。
At the same session of the Working Group, it had been suggested that work on the two topics could continue in parallel, taking into account that differences between the projects on those two topics could lead to their having different rates of development.在工作组同一届会议上提出,关于这两个主题的工作可以继续并行进行,同时考虑到两个项目之间的差异可能造成拟订工作进度不同。
However, at the session, the view had also been reiterated that parallel work on both topics could place excessive demands on the Working Group, in particular at a more advanced stage, to the detriment of the quality of the final products (A/CN.9/902, para. 94).但是,在该届会议上还重申了这样的看法,即关于这两方面主题的并行工作可能给工作组提出过多要求,特别是在进入较高级阶段,从而有损于最后产品的质量(A/CN.9/902,第94段)。
The Commission was also informed that, at the session of the Working Group, various views had been expressed on recommendations for future work (A/CN.9/902, paras. 95 and 96).委员会还获知,在第四工作组的该届会议上,对今后工作建议表达了不同看法(A/CN.9/902,第95和96段)。
118.118.
At the current session, the Commission heard different preferences for continuing work on each topic.在本届会议上,委员会听取了就倾向于继续进行每个主题的工作发表的不同看法。
119.119.
As regards work in the area of cloud computing, the view was expressed that the preparation of a checklist of contractual issues relating to cloud computing, identified by the Working Group as its project in that area, could proceed and be finalized expeditiously on the basis of research already accomplished, given that the content and the structure of the envisaged checklist had already been defined by the Working Group.关于云计算领域的工作,会上表达了这样的看法:关于工作组确定为该领域项目的云计算所涉合同问题清单,鉴于所设想的这一清单的内容和结构已由工作组确定,可以在已完成研究的基础上着手拟订这一清单并尽快最后审定。
It was noted that that work would be of great relevance for commercial operators.会上指出,这项工作对商业运营人意义重大。
The view was expressed that, after completion of that work, the Working Group might consider taking up further projects in that area under the mandate given to it by the Commission during the previous year.会上表示,在完成此项工作后,工作组可以考虑根据委员会去年赋予工作组的任务授权启动这一领域的下一步项目。
The desirability of elaborating substantive rules on cloud computing by UNCITRAL was noted.会上指出由贸易法委员会制订关于云计算实质性规则的可取性。
120.120.
The prevailing view, however, was that it would be premature to discuss further work in that area beyond the preparation of the checklist.但普遍看法是,如果超出拟订该清单的范围讨论这一领域的进一步工作,将是不成熟的。
Some delegations were of the view that no further work in that area by UNCITRAL would be necessary.一些代表团认为,贸易法委员会没有必要在这一领域开展进一步工作。
It was further indicated that, in any work in that area, cooperation would need to be sought with other organizations active in the field, namely the Hague Conference on Private International Law, with respect to the private international law aspects of cloud computing.还表示,在这一领域开展任何工作都需要在云计算所涉及的国际私法方面与活跃于这一领域的其他组织寻求合作,即海牙国际私法会议。
121.121.
While recognizing that cloud computing raised important legal issues, many delegations were of the view that priority should be given to the work of UNCITRAL on legal aspects of identity management and trust services.在认识到云计算提出重大法律问题的同时,许多代表团认为,应当优先考虑贸易法委员会在身份管理和信任服务所涉法律问题方面的工作。
Several delegations stressed that identity management and trust services were foundational to all UNCITRAL texts on electronic commerce and, more generally, to the use of electronic communications.有几个代表团强调,身份管理和信任服务是贸易法委员会所有电子商务法规的根本所在,而且更一般而言,对电子通信的使用也至关重要。
It was indicated that strong commercial interest existed with regard to those topics.会上表示,关于这些主题,存在着强烈的商业兴趣。
Ensuring cross-border reliability and interoperability and recognition of identity management and trust services for trustworthiness of commercial transactions and cross-border trade were thus considered important and urgent.因此,会上认为,为了商业交易和跨界贸易的可信赖性,确保身份管理和信任服务的跨界可靠性和互操作性以及跨界承认,不但重要而且紧迫。
The view was expressed that work on both identity management and trust services should proceed together in the light of a close interaction between those two topics.会上认为,鉴于身份管理与信任服务这两个主题的互动关系密切,这两方面的工作应当放在一起进行。
Drawing on existing regional instruments in that area, such as the European Union regulation on electronic identification and trust services for electronic transactions in the internal market, was considered important.会上认为,借鉴这一领域的现有区域文书也很重要,例如,欧洲联盟关于内部市场电子交易电子身份识别和信任服务条例。
122.122.
It was recognized that work in the area of identity management and trust services was newer and more ambitious, touched upon more sensitive issues, generated greater interest and required, at the current stage, more brainstorming and concretization than work in the area of cloud computing.会上认识到,比起云计算领域的工作,身份管理和信任服务领域的工作更为新颖、也更雄心勃勃,触及更敏感问题,引起更多兴趣,现阶段要求有更多的集思广益并将概念具体化。
Support was expressed for the drafting of a legislative text on identity management and trust services.对拟订一部关于身份管理和信任服务的立法案文表示了支持。
The suggestion was also made to continue discussing scope, key definitions and key principles related to identity management and trust services, since those issues would be relevant to any instrument prepared in that area.还提议继续讨论与身份管理和信任服务有关的范围、关键定义和关键原则,因为这些问题都将与这一领域拟订的任何文书有关。
123.123.
The alternative view was that it would be unfeasible and undesirable for the Working Group to start drafting any text on identity management and trust services before the scope and goals of the work in that area had been clarified.另一种观点是,在明确这一领域工作的范围和目标之前工作组就开始拟订关于身份管理和信任服务的任何案文,都将是不可行和不可取的。
Attention was drawn in particular to the need to clarify the relevance of trust services for identity management.会上特别提请注意需要澄清信任服务对身份管理的意义。
Preference was therefore expressed for continuing to brainstorm, in the Working Group, general issues related to identity management and trust services.因此,会上表示倾向于继续在工作组中就身份管理和信任服务方面的一般问题集思广益。
It was suggested that, once the progress report of the Working Group to the Commission at its next session had been considered, the Commission would be in a better position to give a more concrete mandate to the Working Group as regards its work in that area.会上提出,工作组提交委员会下届会议的进度报告一经审议,将更有利于委员会就工作组今后在这一领域的工作向工作组下达更具体的任务授权。
124.124.
Some delegations did not object to the work in the area of cloud computing proceeding in parallel with the work in the area of identity management and trust services, although doubt was expressed about the utility of the envisaged checklist.一些代表团并不反对与身份管理和信任服务领域的工作并行展开云计算领域的工作,不过对所设想清单的功用表示疑问。
Other delegations favoured prioritizing work in the area of identity management and trust services if the issue of resource constraints in handling work in both areas in parallel would arise.其他代表团提出,如果并行进行这两个领域的工作会产生资源掣肘问题,则倾向于优先进行身份管理和信任服务领域的工作。
Other delegations expressed the view that they would wish to prioritize work in the area of cloud computing if resource constraints were indeed an issue.其他代表团则认为,如果资源掣肘的确是个问题,它们希望优先考虑云计算领域的工作。
125.125.
A suggestion was made to delegate the work in the area of cloud computing to the Secretariat or an expert group so as not to use the Working Group’s resources for detailed deliberations on the checklist.一项建议是授权秘书处或一个专家小组进行云计算领域的工作,以便不占用工作组资源对清单进行具体审议。
The understanding was that, if such an approach were followed, the Working Group would periodically review the progress of the Secretariat with regard to the preparation of the checklist.这里的理解是,如果依照此种做法,工作组将定期审查秘书处拟订清单的进展情况。
126.126.
While some support was expressed for that suggestion, there was also strong support for having the Working Group proceed with the work in that area.虽然对这一建议表示了一些支持,但会上强烈支持在工作组中推进这一领域的工作。
The view was expressed that work on cloud computing would require extensive technical deliberations in the Working Group, in addition to research by the Secretariat, since cloud computing touched on complex issues of cross-border legal relations and various branches of law.会上表示了这样的看法,即除了由秘书处开展研究之外,云计算方面的工作将需要在工作组进行广泛的技术审议,因为云计算涉及复杂的跨界法律关系问题以及不同法律分支。
127.127.
Recognizing that, until the next session of the Commission in 2018, both the Secretariat and the Working Group would be able to handle both projects in parallel, the Commission reaffirmed the mandate given to the Working Group at its forty-ninth session, in 2016 (see para. 116 above).委员会认识到秘书处和工作组都将能够在委员会2018年下届会议之前并行处理这两个项目,于是重申了在2016年第四十九届会议下达给工作组的任务授权(见上文第116段)。
It agreed to revisit that mandate at its next session, in particular if the need arose to prioritize between the topics or to give a more specific mandate to the Working Group as regards its work in the area of identity management and trust services.委员会同意在其下届会议上重新审议这一任务授权,特别是届时如果需要确定这些主题的优先顺序或者就工作组在身份管理和信任服务领域中的工作向工作组下达更具体任务授权的话。
The Secretariat was requested to consider convening expert group meetings as it deemed necessary to expedite the work in both areas and ensure the productive use of conference resources by the Working Group.委员会请秘书处在其认为必要时考虑召集专家组会议,以加快这两个领域的工作,并确保工作组能够有成效地使用会议资源。
States and international organizations were invited to share with the Working Group and the Secretariat their expertise in the areas of work assigned to the Working Group.委员会请各国和国际组织与工作组和秘书处在分配给工作组的工作领域中交流专门知识。
128.128.
The Commission was informed about ongoing work in the field of paperless trade, including the legal aspects of electronic single-window facilities.会议向委员会通报了在无纸贸易领域正在开展的工作,包括电子单一窗口设施所涉及的法律方面。
It was indicated that that work was aimed in particular at exploring the complementarity between the chapters of free trade agreements on electronic commerce and UNCITRAL texts on electronic commerce, with a view to supporting the implementation of those chapters through the adoption of UNCITRAL texts.会上表示,这项工作特别着眼于探索自由贸易协定中电子商务章节与贸易法委员会电子商务法规之间的互补性,以期以通过贸易法委员会法规的方式为执行这些章节提供支持。
IV.四.
Consideration of issues in the area of security interests审议担保权益领域的问题
A.A.
Finalization and adoption of a guide to enactment of the UNCITRAL Model Law on Secured Transactions最后审定并通过《贸易法委员会担保交易示范法》颁布指南
129.129.
The Commission recalled that, at its forty-ninth session, in 2016, it had adopted the UNCITRAL Model Law on Secured Transactions, and had given Working Group VI (Security Interests) two sessions to complete its work on a draft guide to enactment of that Model Law.委员会回顾,委员会在其2016年第四十九届会议上通过了《贸易法委员会担保交易示范法》,并给第六工作组(担保权益)两届会议的时间完成该《示范法》颁布指南草案的拟订工作。
The Commission noted with appreciation that, at its thirtieth and thirty-first sessions, the Working Group had done so.委员会赞赏地注意到,工作组已在其第三十届和第三十一届会议上完成此项工作。
At its current session, the Commission had before it the reports of those sessions of the Working Group (A/CN.9/899 and A/CN.9/904) and the draft guide to enactment (A/CN.9/914 and Adds.1-6).委员会本届会议收到了工作组这两届会议的报告(A/CN.9/899、A/CN.9/904)以及颁布指南草案(A/CN.9/914及增编1-6)。
130.130.
The Commission agreed that the Secretariat should be given a mandate to make the changes to the draft guide to enactment that were approved by the Commission at its current session and necessary consequential editorial changes, avoiding making changes where it was not clear whether they would be editorial or substantive.委员会同意授权秘书处对颁布指南草案作出经委员会本届会议核可的修改,并在编辑上作出必要的相应改动,如果不清楚是编辑上的改动还是实质改动,则应避免作出修改。
The Commission also agreed that the Secretariat should review the entire draft guide to enactment to ensure consistency in the terminology used.委员会还同意由秘书处通审颁布指南草案全文,以确保所用术语前后一致。
131.131.
After considering a recommendation made by the Working Group at its thirty-first session, the Commission decided that a corrigendum should be issued to the Model Law: (a) to refer in article 81, paragraph 5, to paragraphs 3 and 4, and not to paragraphs 1 and 2 (see A/CN.9/904, para. 35); and (b) to add in article 85, paragraph 1, a reference to article 98 (see A/CN.9/904, para. 41).在审议工作组在其第三十一届会议提出的一项建议后,委员会决定,应印发《示范法》更正:(a)在第81条第5款中提及第3和第4款,而不是提及第1和第2款(见A/CN.9/904,第35段);并(b)在第85条第1款中加上提及第98条的内容(见A/CN.9/904,第41段)。
1.1.
Preface and general part (A/CN.9/914, paras. 1-20)序言和总论部分(A/CN.9/914,第1-20段)
132.132.
With respect to paragraph 4, it was agreed that: (a) the purpose of the Model Law should be stated more clearly by reference to wording that was used in the decision of the Commission adopting the Model Law and the relevant General Assembly resolution; and (b) it should clarify that the Model Law had been designed for implementation in States with different legal traditions.关于第4段,会上商定:(a)应当参照委员会关于通过《示范法》的决定以及大会相关决议中使用的措辞,更加明确地阐述《示范法》的目的;并(b)其中应当明确指出,《示范法》是为在法律传统不同的国家加以执行而设计的。
133.133.
In the discussion, a suggestion was made that an additional paragraph should be inserted after paragraph 7 to explain the need to adapt the Model Law in States that already had efficient and modern systems of secured transactions that partially departed from the Model Law.讨论中提出的一项建议是,应当在第7段后面加上一段,以解释在已建立高效、现代担保交易制度而此种制度部分地偏离了《示范法》的国家需要对《示范法》作出调整。
It was stated that, for example, a system based on an ex-ante control of the documents by highly specialized civil servants might lead to the reduction of litigation, avoid delays in States with slow and inefficient judicial systems and facilitate control of money-laundering and abusive contractual clauses between large lenders and small and medium-sized enterprises.会上指出,举例来说,一种基于高度专业化公职人员对文件进行事前管控的制度,有可能导致诉讼减少,避免在司法系统办事缓慢、效率低下的国家出现拖延,并便利管控洗钱行为以及大型放贷机构与中小型企业之间订立的滥权合同条款。
That suggestion did not receive sufficient support.该建议未获充分支持。
It was stated that the Model Law was already sufficiently flexible and that such a paragraph could be interpreted as an open invitation to States to consider adopting the Model Law partly rather than as a whole.会上指出,《示范法》已经十分灵活,这一段可能被解释为公开邀请各国考虑部分通过而并完整通过《示范法》。
134.134.
Subject to the above-mentioned changes, the Commission adopted the preface to and the general part of the draft guide to enactment (A/CN.9/914, paras. 1-20).在作上述修改的前提下,委员会通过了颁布指南草案的序言和总论部分(A/CN.9/914,第1-20段)。
2.2.
Chapter I. Scope of application and general provisions (A/CN.9/914, paras. 21-76)第一章 适用范围和一般条文(A/CN.9/914,第21-76段)
135.135.
With respect to paragraph 28, it was agreed that recommendation 6 in the UNCITRAL Legislative Guide on Secured Transactions (the “Secured Transactions Guide”) was different from article 1, paragraph 4, and thus the reference to that recommendation should be deleted or explained.关于第28段,会议商定,《贸易法委员会担保交易立法指南》(《担保交易指南》)中的建议6与第1条第4款有所不同,因此,应当删除提及该建议的内容或对其加以解释。
136.136.
With respect to paragraph 29, it was agreed that the last sentence should be deleted, as the Model Law did not contain any consumer protection rules. 137. The Commission considered the question of whether paragraph 31 should be revised and complemented by a set of model rules on security rights in attachments to movable and immovable property.关于第29段,会议商定,鉴于《示范法》未载有任何保护消费者的规则,最后一句应予删除。
138.137.
After discussion, the Commission agreed that paragraph 31 should be revised (but not complemented by a set of model provisions) to: (a) draw the attention of legislators to issues relating to attachments in movable and immovable property, referring to the relevant recommendations of the Secured Transactions Guide (see recommendations 21, 41, 43, 87, 88, 164-166 and 184); (b) explain that the Model Law did not address issues relating to security rights in attachments mainly because the general rules applied to security rights in attachments to movable property, and attachments to immovable property involved issues that did not lend themselves to harmonization at the international level;委员会审议了是否应对第31段进行修订并以一套关于动产和不动产附着物担保权的现代规则加以补充的问题。
(c) note that, for that reason, the Secured Transactions Guide essentially deferred to national immovable property law; (d) explain that an attachment to movable property meant a tangible asset that was physically attached to another tangible asset in a manner that did not cause it to lose its separate identity; (e) clarify that a security right might be created in a tangible asset that was an attachment to movable property at the time of creation of the security right or became an attachment subsequently (see recommendation 21);138.
(f) mention that a security right in a tangible asset that was effective against third parties at the time when the asset became an attachment to movable property remained effective against third parties thereafter without any further action (see recommendation 42); (g) note that the rule of “first to register or otherwise make effective against third parties a security right” applied to the various priority competitions discussed in the Secured Transactions Guide, including to a priority competition between a security right in a tangible asset that had become an attachment to movable property and a security right in that movable property (see Secured Transactions Guide, chap. V, para. 115); and (h) recommend that States enact a rule providing that the enforcing secured creditor would be liable for any damage to a movable asset caused by the act of removal of an attachment to movable property other than any diminution in its value attributable solely to the absence of the attachment (see recommendation 166).经过讨论,委员会商定对第31段作出以下修订(但不以一套示范条文加以补充):(a)提请立法人注意动产和不动产附着物的相关问题,同时提及《担保交易指南》的相关建议(见建议21、41、43、87、88、164-166、184);(b)解释:《示范法》之所以未涉及附着物担保权相关问题,主要是因为一般原则适用于动产附着物担保权,而不动产附着物所涉及的问题不易在国际层面协调统一;(c)指出:由于这个原因,《担保交易指南》基本上遵从各国有关不动产的法律;(d)解释:动产附着物是指一种有形资产,其以不会造成丧失自身单独特性的方式在实体上附着于另一有形资产;(e)澄清:有形资产在设定担保权之时即为动产附着物或随后成为附着物的,其上可设定担保权(见建议21);(f)提及:有形资产在其成为动产附着物之时既已具有对抗第三方效力的,其上的担保权无需任何进一步行动此后仍具有对抗第三方效力(见建议42);(g)指出:“先登记者优先或以其他方式使担保权具有对抗第三方效力”的规则适用于《担保交易指南》所讨论的各种优先权之争,包括成为动产附着物的有形资产上的担保权与该动产上的担保权之间的优先权之争(见《担保交易指南》,第五章,第115段);及(h)建议各国颁布一项规则,规定采取强制执行措施的有担保债权人对因拆除附着物的行动而给动产造成的任何损失负有赔偿责任,纯粹由于去除附着物而造成的动产价值的任何缩减除外(见建议166)。
139.139.
With respect to paragraph 40, it was agreed that the last sentence should be deleted, as the question whether a control agreement needed to be in a single document or not was a matter for contract law or the law of evidence.关于第40段,会议商定,由于控制权协议是否需要放在单一文件中的问题属于由合同法或证据法处理的事项,最后一句应予删除。
140.140.
With respect to paragraph 43, it was agreed that examples should be given of assets that, depending on their use, could be characterized as consumer goods, inventory or equipment.关于第43段,会议商定,应当举例说明视其用途可定性为消费品、库存品或设备的资产的实例。
141.141.
With respect to paragraph 44, it was agreed that the second sentence should be placed elsewhere in the draft guide to enactment (possibly in document A/CN.9/914/Add.1, para. 3), as it did not necessarily relate to the definition of the term “grantor”.关于第44段,会议商定,第二句不一定涉及“设保人”的定义,因而可将其移至颁布指南草案的其他地方(或许可将其置于A/CN.9/914/Add.1号文件,第3段)。
142.142.
With respect to paragraph 53, it was agreed that the example at the end of the last sentence should be deleted, as in that example the issuer did not have possession of the document.关于第53段,会议商定,应删除最后一句结尾的实例,因为在该实例中签发人并未占有文件。
143.143.
With respect to paragraph 71, it was agreed that the third and fourth sentences should be more closely aligned with the text approved by the Commission at its last session.关于第71段,会议商定,应当对第三句和第四句加以调整,使之更贴近委员会上一届会议所核准的案文。
144.144.
With respect to paragraph 74, it was agreed that the words “is inspired by” and “based on” in the first sentence should be replaced with more generic wording along the following lines: “follows the approach taken in”.关于第74段,会议商定,第一句中“受……的启发”或“基于”的字样应当改为较为笼统的措辞,写法如下:“沿用在……方面所采取的做法”。
145.145.
Subject to the above-mentioned changes, the Commission adopted chapter I (Scope of application and general provisions) (A/CN.9/914, paras. 21-76).在作出上述修改的前提下,委员会通过了第一章(适用范围和一般条文)(A/CN.9/914,第21-76段)。
3.3.
Chapter II. Creation of a security right (A/CN.9/914/Add.1, paras. 1-36)第二章 担保权的设定(A/CN.9/914/Add.1,第1-36段)
146.146.
It was agreed that paragraph 1 should be revised to encourage States to enact the Model Law as a whole, including the asset-specific rules (in particular those on core commercial assets such as receivables), omitting only rules relating to types of assets that were unlikely to be used as security for credit in those States.关于第1段,会议商定,应当对其加以修订以鼓励各国将《示范法》作为一个整体予以颁布,包括资产特定规则(尤其是有关应收款等核心商业资产的规则),仅略去在这些国家不可能作为信贷担保使用的各类资产。
147.147.
With respect to paragraph 3, it was agreed that it should clarify that: (a) in a general lease, a lessee could only create a security right in its rights under the lease; and (b) in a financial lease, as a result of the priority rules, a lessee could create a security right in the leased asset as a whole and that security right could have priority over the financial lease right of the lessor with respect to which no security right was registered.关于第3段,会议商定,该段应当澄清:(a)在一般性租赁中,承租人只应对其在租赁下的权利设定担保权;及(b)在金融租赁中,基于优先权规则,承租人可对作为整体租赁的资产设定担保权,并且该担保权可享有相对于未办理任何担保权登记的租赁人的金融租赁权的优先权。
It was also agreed that the discussion as to whether the creditor of a receivable had the right to create a security right in a receivable even if it had transferred the receivable was a different matter and should be discussed in a separate paragraph.会议还商定,关于应收款债权人即便已经转让应收款是否仍然有权对应收款设定担保权,这一问题的讨论属于不同事项,应当另辟一段加以讨论。
148.148.
With respect to paragraph 8, it was agreed that the last two sentences should be deleted because the maximum amount for which the security right might be enforced was often set at an extremely high level and thus did not protect grantors from excessive economic commitments.关于第8段,会议商定,最后两句应予删除,因为可强制执行担保权的最高数额通常设在极高水平上,因此不能保护设保人免于作出过多经济承诺。
149.149.
With respect to paragraph 9, it was agreed that it should also reflect the last sentence of recommendation 17 contained in the Secured Transactions Guide (“Any exceptions to these rules should be limited and described in the law in a clear and specific way.”关于第9段,会议商定,该段还应反映《担保交易指南》所载建议17的最后一句(“这些规则的任何例外都应当为数有限,并在法律中加以明确具体的说明”)。
). 150.150.
With respect to paragraph 10, it was agreed that it should include a reference to paragraph 30 of document of A/CN.9/914, which explained that article 1, paragraph 6, implemented recommendation 18 contained in the Secured Transactions Guide.关于第10段,会议商定,该段应列入提及A/CN.9/914号文件第30段的内容,其中作了如下解释:第1条第6款体现了《担保交易指南》所载建议18。
151.151.
With respect to paragraph 14, it was agreed that it should explain: (a) that to avoid giving the secured creditor a windfall, the secured creditor’s right to enforce its security right both in the original encumbered asset and in the proceeds was limited by the amount of the secured obligation outstanding at the time of enforcement (see the Secured Transactions Guide, chap. II, para. 85); and (b) the impact of the absence of a rule along the lines of article 10, paragraph 1, which was discussed in the last sentence.关于第14段,会议商定,该段应作如下解释:(a)为了避免给有担保债权人带来意外收获,有担保债权人对强制执行其在原始设保资产上和收益上的担保权的权利受到在强制执行之时未清偿附担保债务的数额的限制(见《担保交易指南》,第二章,第85段);及(b)缺乏一条与第10条第1款内容相近的规则所造成的影响,这一点在最后一句中论及。
152.152.
With respect to paragraph 15, it was agreed that the reference to a negotiable warehouse receipt that covered new inventory as proceeds of original encumbered inventory should be deleted, as such a warehouse receipt would not constitute proceeds.关于第15段,会议商定,应当删除提及涵盖作为原始设保库存品收益的新增库存品的可转让仓单的内容,因为这类仓单无法构成收益。
It was also agreed that the last sentence should be revised to stipulate that if encumbered assets were described in the security agreement in a comprehensive way (for example, inventory and receivables), those assets would be original encumbered assets, but they could also be proceeds if necessary (as, for example, in the grantor’s insolvency, where a security right would not extend to assets acquired after the commencement of insolvency with respect to the grantor, unless they were proceeds of encumbered assets that belonged to the grantor before the commencement of insolvency; see the Secured Transactions Guide, recommendation 235).会议还商定,应当对最后一句加以修订,以便规定,如果在担保协议中对设保资产作出总括性描述(例如,库存品和应收款),这些资产将是原始设保资产,但在必要时也可以是收益(例如,在设保人破产时,担保权不会延伸至在启动对于设保人的破产程序之后购置的资产,除非这些资产是在启动破产之前属于设保人的设保资产的收益;见《担保交易指南》,建议235)。
153.153.
It was agreed that paragraphs 16 and 17 should also refer to money, as article 10, paragraph 2, applied not only to rights to payment of funds credited to a bank account, but also to money.会议商定,第16和17段还应提及金钱,因为第10条第2款不仅适用于银行账户贷记款受付权,而且还适用于金钱。
It was also agreed that the last sentence of paragraph 17 should be revised to explain that, if the balance in a bank account fell below the amount deposited, subsequent increases were unlikely to be proceeds of the original encumbered assets.还商定,应当对第17段最后一句作出修订,以解释,如果银行账户余额减至低于存款的数额,后增款额不可能成为原始设保资产的收益。
154.154.
It was agreed that the last two sentences of paragraph 20 should be revised to refer to the quantity of the mass, as article 11, paragraph 2, limited the right to a mass by reference to its quantity, and not to its value.关于第20段,会议商定,应当对第20段最后两句加以修订,以提及混集物的数量,因为第11条第2款参照其数量而非其价值限制对混集物的权利。
155.155.
With respect to paragraph 21, it was agreed that it should be revised to explain that the limit of a security right in a product under article 11, paragraph 3, related to value rather than to quantity, because the components of a mass could be counted (such as the number of litres of combined oil in the example in paragraph 20), but such counting was impossible in a product.关于第21段,会上商定,应当对该段加以修订,以解释,第11条第3款对制成物上担保权所作限制涉及的是价值而并非数量,因为混集物构成件可计数(例如,第20段所举实例中混合石油的升数),但制成物无法进行同类计数。
156.156.
It was agreed that paragraph 24 should be revised to explain that an agreement limiting the grantor’s right to create a security right in a receivable did not prevent the security right from being effective.会议商定,应当对第24段加以修订,以解释,对设保人在应收款上设定担保权的权利作出限制的协议不妨碍担保权取得效力。
157.157.
It was agreed that paragraph 28 should be revised to explain the rationale for the limitation of the scope of the rule in article 13, paragraph 1, to the types of receivables listed in article 13, paragraph 3.会议商定,应当对第28段加以修订,以解释将第11条第1款中规则的适用范围限定于第11条第3款所列各类应收款的理由。
158.158.
It was widely felt that paragraph 28 should explain that: (a) the interference with party autonomy under article 13, paragraph 1, was justified, in the case of trade receivables, by the need to promote access to credit with receivables as security, but not in the case of receivables arising from financial contracts (excluded from the Model Law under art. 1, para. 3 (d)) or loan receivables, in which there was a justifiable reason for the debtor of those types of receivables to be able to control who its counter-party would be; and (b) under article 1, paragraph 3 (d), the Model Law applied to a payment right arising upon the termination of all outstanding transactions and, under article 13, paragraph 3 (d), the rule in article 13, paragraph 1, applied to such payment rights in line with the approach taken in article 4, paragraph 2 (b), and article 9, paragraph 3 (d), of the United Nations Convention on the Assignment of Receivables in International Trade (New York, 2001) (the “Assignment Convention”).会上广泛认为,第28段应作如下解释:(a)对于贸易应收款,根据第13条第1款干预当事人意思自治是正当的,因为需要促进以应收款作为担保获取信贷的机会,但是,金融合同所产生的应收款不在此列(根据第1条第3款(d)项将其排除在《示范法》之外),贷款应收款也不在此列,这些类型应收款的债务人能够对谁是其对应方享有控制权是有正当理由的;及(b)根据第1条第3款(d)项,《示范法》适用于所有未决交易终止时产生的付款权,而根据第13条第3款(d)项,第13条第1款中的规则适用于这类付款权,与《联合国国际贸易应收款转让公约》(2001年,纽约)(《转让公约》)第4条第2款(b)项以及第9条第3款(d)项所采取的做法一致。
159.159.
With respect to paragraph 29, it was agreed that the reference to article 14, in parentheses, was unnecessary and should be deleted.关于第29段,会议商定,置于圆括号内提及第14条的内容没有必要,应予删除。
160.160.
With respect to paragraph 30, it was agreed that the reference to an accessory guaranty or suretyship should be qualified, as in some States such a guaranty or suretyship was a personal right that supported rather than secured payment.关于第30段,会议商定,应当对提及附属保证或保证的内容加以限定,因为在有些国家,这类附属保证或保证是一项对人的权利,它为付款提供支持,但不提供担保。
161.161.
It was agreed that paragraph 31 should be revised to explain briefly the reasons why article 14 did not include recommendation 25, subparagraphs (g) and (h), contained in the Secured Transactions Guide.会议商定,应当对第31段加以修订,以简略解释第14条不列入《担保交易指南》所载建议25(g)和(h)项的原因。
162.162.
It was agreed that paragraph 35 should be revised to explain that, under article 16, a security right in a negotiable document extended to the assets covered by the document only if the issuer of the document was in possession of the assets when the security right was created.会议商定,应当对第35段加以修订,以解释,根据第16条,可转让单证上的担保权延伸至单证所涵盖的资产,唯一条件是,单证签发人在担保权设定时占有该资产。
163.163.
Subject to the above-mentioned changes, the Commission adopted chapter II (Creation of a security right) (A/CN.9/914/Add.1, paras. 1-36).在作出上述修改的前提下,委员会通过了第二章(担保权的设定)(A/CN.9/914/ Add.1,第1-36段)。
4.4.
Chapter III. Effectiveness of a security right against third parties (A/CN.9/914/Add.1, paras. 37-53)第三章 担保权对抗第三方的效力(A/CN.9/914/Add.1,第37-53段)
164.164.
It was agreed that paragraph 42 should be revised to explain that the purpose of article 21 was to preserve the priority achieved by the first method of third-party effectiveness.会议商定,应当对第42段加以修订,以解释第21条的目的是保全取得第三方效力的第一种方法所实现的优先权。
165.165.
It was agreed that paragraph 46 should be revised to explain that the price should not be so high as to prevent a consumer from encumbering his or her assets to obtain credit, but not so low either as to dissuade a creditor from entering into the transaction in the first instance because the transaction costs of ensuring and monitoring the third-party effectiveness of its security right would exceed the benefits.会议商定,应当对第46段加以修订,以解释,价格不应定得过高,以至于妨碍消费者为获得信贷而将抵押其资产,但价格也不能定得过低,以至于债权人一开始就不愿订立交易,因为确保和监督其担保权具有第三方效力的交易成本可能会超出其收益。
166.166.
With respect to paragraphs 52 and 53, it was agreed that: (a) the heading should be revised to read along the following lines: “Additional considerations for States parties to certain conventions for negotiable instruments and certificated non-intermediated securities”; (b) paragraph 53 should be revised to read along the following lines: “A State that had enacted the Geneva Uniform Law (or the Bills and Notes Convention) might wish to note that a secured creditor in possession of a negotiable instrument or certificated non-intermediated security might have, in addition to its rights under the Model Law, the rights afforded by the Geneva Uniform Law (or the Bills and Notes Convention) where the instrument or the security contained an endorsement contemplated by the Geneva Uniform Law (or the Bills and Notes Convention)”.关于第52和53段,会议商定:(a)应当对其标题加以修订,修订后的内容大致如下:“某些公约的缔约国在可转让票据和有凭证非中介证券上的其他考虑”;(b)应当对第53段加以修订,修订后的内容大致如下:“已颁布《日内瓦统一法》(或《汇票和期票公约》)的国家不妨注意到,占有可转让票据或有凭证非中介证券的有担保债权人除了其在《示范法》下享有的权利外,还可享有《日内瓦统一法》(或《汇票和期票公约》)所赋予的权利,前提是,所涉票据或证券含有《日内瓦统一法》(或《汇票和期票公约》)所述背书”。
167.167.
Subject to the above-mentioned changes, the Commission adopted chapter III (Effectiveness of a security right against third parties) (A/CN.9/914/Add.1, paras. 37-53).在作出上述修改的前提下,委员会通过了第三章(担保权对抗第三方的效力)(A/CN.9/914/Add.1,第37-53段)。
5.5.
Chapter IV. Registry system (A/CN.9/914/Add.2, paras. 1-58 and A/CN.9/914/Add.3, paras. 1-82)第四章 登记处制度(A/CN.9/914/Add.2,第1-58段,A/CN.9/914/Add.3,第1-82段)
168.168.
With respect to paragraph 2 of document A/CN.9/914/Add.2, it was agreed that the essence of the first sentence of footnote 8 to the Model Law should be reflected to more clearly explain that, if the Model Registry Provisions were enacted in a separate law or other instrument, their enactment and entry into force should be coordinated so that they would enter into force simultaneously with the enactment of the Model Law and at a time when the Registry would be operational.关于A/CN.9/914/Add.2号文件第2段,会议商定,《示范法》脚注8第一句的实质内容应当得到反映,以便更加明确地解释,如果在单独一项法律或其他文书中颁布《登记处示范条文》,就应对其颁布和生效加以协调,以便其与《示范法》的颁布同时生效,并且是在登记处投入运行之时。
169.169.
It was agreed that paragraph 3 of document A/CN.9/914/Add.2 should be revised to make a stronger recommendation for a fully electronic registry system in which notices could be submitted, stored and searched electronically.会议商定,应当对A/CN.9/914/Add.2号文件第3段加以修订,以便更加有力地建议推行完全电子化的登记处系统,从而能够以电子方式提交、储存和查询通知。
170.170.
A suggestion to delete paragraph 17 of document A/CN.9/914/Add.2 in its entirety did not receive support.会上提议完全删除A/CN.9/914/Add.2号文件第17段,但未获支持。
171.171.
With respect to paragraph 19 of document A/CN.9/914/Add.3 and in other parts of the draft guide to enactment where reference was made to an article of the Model Law being “based on” another text, it was agreed that those words should be reviewed for accuracy and perhaps replaced with more general wording.关于A/CN.9/914/Add.3号文件第19段以及颁布指南草案中有下述说法的其他部分——即《示范法》的某一条款是“基于”另一案文,会议商定,应当审视这些措辞以求准确,可能的话,应以较为笼统的措辞取而代之。
172.172.
With respect to paragraph 22 of document A/CN.9/914/Add.3, it was agreed that the statement in the last sentence would not be true in all cases, and thus should be qualified along the following lines: “This option is predicated on the rationale that such a claimant generally may not have been prejudiced by relying on the unauthorized registration.”关于A/CN.9/914/Add.3号文件第22段,会议商定,最后一句中的说法并非在所有情况下都如此,因此,应当以内容大致如下的措辞加以限定:“该选项所基于的理据是,这类求偿人一般不会因依赖于未获授权的登记而受到损害。
173.” 173.
It was agreed that paragraph 34 of document A/CN.9/914/Add.3 should be deleted in its entirety, as it explained an approach that was not taken in the Model Law.会议商定,A/CN.9/914/Add.3号文件第34段应当完全删除,因为它所解释的做法并非是《示范法》采取的做法。
174.174.
With respect to paragraph 42 of document A/CN.9/914/Add.3, it was agreed that the third and fourth sentences should be deleted, and instead the paragraph should: (a) refer to the two situations in which the secured creditor could select a registration period that would be too long or too short as described in paragraph 215 of the UNCITRAL Guide on the Implementation of a Security Rights Registry; and (b) explain that article 24, paragraph 6, would rarely have any effect.关于A/CN.9/914/Add.3号文件第42段,会议商定,第三句和第四句应当删除,该段应:(a)提及《贸易法委员会担保权登记处落实指南》第215段中描述的有担保债权人选择的登记期可能过长或过短这两种情形;及(b)解释:第24条第6款几乎不会有什么影响。
175.175.
Subject to the above-mentioned changes, the Commission adopted chapter IV of the draft guide to enactment (A/CN.9/914/Add.2, paras. 1-58 and A/CN.9/914/Add.3, paras. 1-82).在作出上述修改的前提下,委员会通过了颁布指南草案第四章(A/CN.9/914/Add.2,第1-58段,A/CN.9/914/Add.3,第1-82段)。
6.6.
Chapter V. Priority of a security right (A/CN.9/914/Add.4, paras. 1-80)第五章 担保权的优先权(A/CN.9/914/Add.4,第1-80段)
176.176.
It was agreed that paragraph 74 would be deleted as it provided an explanation of what the Model Law did not address, which was unnecessary.会议商定,第74段应予删除,因其是对《示范法》未涉及内容的解释。
In lieu of paragraph 74, it was agreed that paragraph 73 should include a reference to article 1, paragraph 3 (b), of the Model Law and paragraph 204 of the Supplement on Security Rights in Intellectual Property, to clarify that article 50 would not apply to security rights in intellectual property insofar as it was inconsistent with the law of the enacting State relating to intellectual property.会议商定,应当在第73段而非在第74段中提及《示范法》第1条第3款(b)项以及《知识产权担保权补编》第204段,以澄清,只要第50条与颁布国的知识产权相关法律有不一致之处,该条即不适用于知识产权担保权。
177.177.
With respect to paragraph 78, it was agreed that the reference to the applicable law in the second sentence should be replaced by a reference to “the law of the enacting State” rather than to the law applicable under article 100, as that sentence was not intended to deal with a conflict-of-laws issue.关于第78段,会议商定,应将第二句中提及适用法律的内容改为提及“颁布国法律”,而不是提及根据第100条可予适用的法律,因为该句无意处理法律冲突问题。
178.178.
Subject to the above-mentioned changes, the Commission adopted chapter V of the draft guide to enactment (A/CN.9/914/Add.4, paras. 1-80).在作出上述修改的前提下,委员会通过了颁布指南草案第五章(A/CN.9/914/Add.4,第1-80段)。
7.7.
Chapter VI. Rights and obligations of the parties and third-party obligors (A/CN.9/914/Add.5, paras. 1-51)第六章 当事人与第三方承付人的权利和义务(A/CN.9/914/Add.5,第1-51段)
179.179.
It was agreed that paragraph 1 should be revised to clarify that: (a) chapter VI applied to the rights and obligations of the parties before or after default, while chapter VII applied only to post-default rights and obligations of the parties; and (b) while, under article 3, the provisions of section II of chapter VI were not mandatory, the grantor and the secured creditor could not modify the rights and obligations of the debtor of the receivable or other third-party obligor without its consent, except to the extent provided in the provisions of section II of chapter VI (e.g., art. 63).会议商定,应当对第1段加以修订,以澄清:(a)第六章适用于违约前后当事人的权利和义务,而第七章仅适用于违约后当事人的权利和义务;及(b)根据第3条,第六章第二节的规定不具有强制性,设保人和有担保债权人未经应收款债务人或其他第三方承付人的同意不得变动应收款债务人或其他第三方承付人的权利和义务,除非第六章第二节的条文(如第63条)已有规定。
180. It was agreed that paragraph 6 should be revised to clarify that:180.
(a) any additional cost for returning the encumbered asset to the grantor or a person designated by the grantor would generally be borne by the grantor; (b) whether that cost was reasonable should be subject to the standard of article 4; and (c) while article 54 was a mandatory provision, the allocation of the cost for returning the asset to the grantor or a person designated by the grantor was subject to party autonomy.会议商定,应当对第6段加以修订,以澄清:(a)将设保资产返还给设保人或由设保人指定的某一人的任何额外费用通常将由设保人承担;(b)该项费用是否合理应以第4条中的标准为准;及(c)尽管第54条是一条强制性条文,但将资产返还给设保人或由设保人指定的某一人的费用的分配以不违反当事人意思自治为前提。
181.181.
With respect to paragraph 11, it was agreed that the grantor had a right to request and obtain information from the secured creditor irrespective of the method by which the security right was made effective against third parties, and thus the reference to the contrary in the second sentence should be deleted.关于第11段,会议商定,设保人有权向有担保债权人请求并索取信息,而不论以何种方式使担保权取得对抗第三方的效力,因此,应当删除第二句中内容相反的提及。
182.182.
With respect to paragraph 15, it was agreed that the fourth and fifth sentences, referring to implicit and explicit agreements, should be deleted. It was widely felt that those sentences dealt with a matter of contract law and was not specific to article 57.关于第15段,会议商定,提及默示和明示约定的第四句和第五句应当删除。
普遍认为这些句子涉及合同法事项,并非专门针对第57条。
183.183.
With respect to paragraph 28, it was agreed that: (a) the example referring to successive security rights was very complex and potentially misleading, and should thus be deleted; and (b) the example referring to successive outright assignments should be retained and further clarified.关于第28段,会议商定:(a)提及相继担保权的实例十分复杂,有可能造成误导,因此应当删除;及(b)提及相继彻底转让的实例应当保留,并加以进一步澄清。
184.184.
With respect to paragraph 33, it was agreed that: (a) the example in the third sentence should be revised to refer to successive outright transfers of receivables; and (b) the last sentence should be revised to state that article 63, paragraphs 8 and 9, provided ways for the debtor of the receivable to ensure that it would not make payment to the wrong person in those circumstances.关于第33段,会议商定:(a)应当对第三句中的实例加以修订,以提及应收款相继彻底转让;及(b)应当对最后一句加以修订,以说明,第63条第8和第9款为应收款债务人通过了办法,确保其不致在这些情况下搞错收款人。
185.185.
With respect to paragraph 41, it was agreed that: (a) the reference to the United Nations Convention on International Bills of Exchange and International Promissory Notes (New York, 1988) in the first sentence should be deleted, as paragraph 41 dealt with article 65, paragraph 3, which was based on article 19 of the Assignment Convention; and (b) the last sentence should clarify why the debtor of the receivable should not be able to waive defences based on its incapacity or fraud committed by the secured creditor.关于第41段,会议商定:(a)应删除第一句中提及《联合国国际汇票和国际本票公约》(1988年,纽约)的内容,因为第41段涉及第65条第3款,后者依据的是《转让公约》第19条;及(b)最后一句应澄清,应收款债务人为何不可能够基于其无行为能力或有担保债权人欺诈而放弃抗辩。
186.186.
With respect to paragraph 49, it was agreed that: (a) the last sentence should be replaced with a reference to the discussion in the Secured Transactions Guide (chap. VII, para. 34); and (b) an additional reference should be made to paragraph 37, which dealt with the rights of set-off of the debtor of the receivable (art. 64, para. 1(b)).关于第49段,会议商定:(a)应当把最后一句改为提及《担保交易指南》的论述(第七章,第34段);及(b)应补充提及涉及应收款债务人抵消权的第37段(第64条,第1款(b)项)。
187.187.
Subject to the above-mentioned changes, the Commission adopted chapter VI of the draft guide to enactment (A/CN.9/914/Add.5, paras. 1-51).在作出上述修改的前提下,委员会通过了颁布指南草案第六章(A/CN.9/914/ Add.5,第1-51段)。
8.8.
Chapter VII. Enforcement of a security right (A/CN.9/914/Add.5, paras. 52-96)第七章 对担保权的强制执行(A/CN.9/914/Add.5,第52-96段)
188.188.
With respect to paragraph 58, it was agreed that the phrase “judicial or similar proceedings may not be efficient” should be replaced with the phrase “judicial or similar proceedings may be efficient”.关于第58段,会议商定,“司法程序或类似程序可能没有效率”一语应改为“司法程序或类似程序可能有效率”。
189.189.
With respect to paragraph 59, it was agreed that the discussion of the extrajudicial exercise of post-default rights should be complemented by a reference to article 3, paragraph 3, which dealt with alternative dispute resolution.关于第59段,会议商定,关于以非司法手段行使违约后权利的论述应参照涉及非诉讼争议解决办法的第3条第3款加以补充。
190.190.
With respect to paragraph 67, it was agreed that the first sentence should be revised along the following lines: “Under paragraph 2, the right to terminate enforcement is extinguished once the relevant enforcement process is completed or a third party has acquired rights in the asset.”关于第67段,会议商定,应当对第一句作内容大致如下的修订:“根据第2款,一旦完成相关强制执行程序或第三方获取对资产的权利,终止强制执行的权利即告消灭。
191.” 191.
With respect to paragraph 69, it was agreed that the last sentence should be revised along the following lines: “This is so because the enforcement process has advanced so far that there is no merit in the higher-ranking secured creditor taking over the process.”关于第69段,会议商定,应当对最后一句作内容大致如下的修订:“之所以如此,是因为强制执行进程的进展程度之大,使得没有必要由排序较高的有担保债权人接管该进程。
192.” 192.
It was agreed that paragraph 73 should be revised to explain that, whether it was the grantor or a third person, the person in possession of the encumbered asset was unlikely to raise unfounded objections, as such an objection might expose that person to liability to pay the additional costs incurred by the secured creditor in having to seek judicial assistance.会议商定,应当对第73段加以修订,以解释,不论设保资产占有人是设保人还是第三人,其都不可能提出无根据的反对意见,原因是,这类反对意见可能会让该人承担向不得不寻求司法协助的有担保债权人支付其为此负担的额外费用的责任。
It was widely felt that the risk of a breach of contract would not prevent the debtor or grantor already in breach of contractual obligations from raising unfounded objections.普遍认为,违约风险不会阻止已经违反合同义务的债务人或设保人提出无根据的反对意见。
193.193.
With respect to paragraph 75, it was agreed that: (a) the more important rationale to be set out first was that, if the higher-ranking secured creditor had obtained possession through enforcement, the lower-ranking secured creditor should not be able to obtain possession from the higher-ranking secured creditor and thus interfere with the exercise of the enforcement rights of the higher-ranking secured creditor; and (b) the fifth sentence should include a reference to paragraph 90 (the last sentence of which suggested how States could implement article 81, paragraph 1) and explain that the conclusion reached in that sentence would only be accurate in States that enacted article 81, paragraph 1, as suggested in paragraph 90.关于第75段,会议商定:(a)应当首先提出的更为重要的理据是,如果排序较高的有担保债权人通过强制执行取得占有权,排序较低的有担保债权人就不应从排序较高的有担保债权人的手中取得占有权,从而干扰排序较高的有担保债权人对强制执行权利的行使;及(b)第五句应提及第90段(该段最后一句就各国如何落实第81条第1款提出了建议),并解释,如第90段所述,该句中得出的结论仅在颁布第81条第1款的国家是准确的。
194.194.
It was agreed that paragraph 76 should be revised to: (a) discuss the relationship between the right of the secured creditor to obtain possession and the right of the secured creditor to dispose of an encumbered asset (in particular, that a secured creditor might dispose of an encumbered asset without taking possession); and (b) clarify that article 78 applied also to intangible assets, with respect to which the concept of “possession” had no application.会议商定,应当对第76段加以修订,以便:(a)讨论有担保债权人取得占有权的权利与有担保债权人处分设保资产的权利(尤其是有担保债权人可能在未取得占有权的情况下处分设保资产)之间的关系;及(b)澄清第78条还适用于无形资产,而“占有权”概念不适用于无形资产。
195.195.
It was agreed that paragraph 79 should be revised to refer to: (a) the grantor and other addressees of the notice; and (b) the notice, rather than the proposal, of the secured creditor’s intention to dispose of the encumbered asset extrajudicially.会议商定,应当对第79段加以修订,以提及:(a)设保人和通知的其他收件人;及(b)关于有担保债权人意图以非司法手段处分设保资产的通知,而不是提议。
196.196.
With respect to paragraph 80, it was agreed that the last two sentences should be revised to refer to an organized market related to a type of asset within the scope of the Model Law (e.g., a commodity exchange, rather than to a stock exchange in which intermediated securities would typically be traded that were not within the scope of the Model Law).关于第80段,会议商定,应当对最后两句加以修订,以提及事关《示范法》范围内某类资产的有组织的市场(如商品交易所,而不是提及不在《示范法》范围内的通常交易中介证券的证券交易所)。
197.197.
With respect to paragraph 81, it was agreed that the last sentence should be expanded to include reference to article 81, paragraph 2.关于第81段,会议商定,最后一句应扩展,以包括提及第81条第2款的内容。
198.198.
It was agreed that paragraphs 87 and 88 should be revised to avoid suggesting that the grantor might not have an interest in objecting to the secured creditor’s proposal to acquire the asset in total or partial satisfaction of the secured obligation.会议商定,应当对第87和88段加以修订,以避免暗示设保人可能没有兴趣对有担保债权人获取资产以全部或部分清偿附担保债务的提议提出反对意见。
It was widely felt that, if the encumbered asset’s value was higher than the amount of the secured obligation, the grantor might object in order to claim any surplus.会上普遍认为,如果设保资产的价值高于有担保债务的数额,设保人可能会提出反对以要求获得任何盈余。
It was also generally felt that other addressees of the proposal, such as other secured creditors, might have an interest in objecting irrespective of whether the secured obligation was fully or partially discharged through the acquisition of the encumbered asset by the enforcing secured creditor.还普遍认为,该提议的其他收件人,诸如其他有担保债权人,可能会有兴趣提出反对,而不论采取强制执行措施的有担保债权人是否通过获取设保资产全部或部分清偿有担保债务。
199.199.
Subject to the above-mentioned changes, the Commission adopted chapter VII of the draft guide to enactment (A/CN.9/914/Add.5, paras. 52-96).在作出上述修改的前提下,委员会通过了颁布指南草案第七章(A/CN.9/914/ Add.5第52-96段)。
9.9.
Chapter VIII. Conflict of laws (A/CN.9/914/Add.6, paras. 1-58)第八章 法律冲突(A/CN.9/914/Add.6,第1-58段)
200.200.
It was agreed that paragraph 4 should be revised to clarify that the parties were permitted to select the law applicable to their mutual obligations as article 84 permitted a choice of law, and not because article 84 was non-mandatory.会议商定,应当对第4段加以修订,以澄清,允许当事人选择适用于其相互义务的法律,是因为第84条允许选择法律,而不是因为第84条是非强制性的。
201.201.
It was agreed that paragraph 10 should be revised to clarify that a motor vehicle would always be treated as a mobile asset, irrespective of whether it actually crossed national borders.会议商定,应当对第10段加以修订,以澄清,将始终把机动车辆作为移动资产对待,而不论其是否实际跨越国界。
202.202.
It was agreed that paragraph 24 should explain that, even though under article 91, the applicable law would change as a result of a change in the connecting factor, the third-party effectiveness of a security right could be preserved under article 23 if the law of an enacting State became applicable.会议商定,第24段应当解释,即便根据第91条适用法律因关联因素发生变化而改变,但如果颁布国的法律可予适用,根据第23条仍可保全担保权的第三方效力。
203.203.
It was agreed that paragraph 41 should be revised to clarify that the location of the relevant branch could be easily located in most, but not all, cases.会议商定,应当对第41段加以修订,以澄清,在多数但并非所有情况下,相关分行的所在地是容易确定的。
It was agreed that both paragraphs 41 and 42 should be revised to refer to the different expectations of the parties.会议商定,应当对第41和42段加以修订,以提及当事人的不同期望。
204.204.
With respect to paragraphs 46 and 48, it was agreed that the last sentence should be deleted, as it was either not fully accurate or specific to article 50, which dealt with security rights in intellectual property.关于第46和48段,会议商定,最后一句应当删除,因其不完全准确,也并非专门针对涉及知识产权担保权的第50条。
205.205.
Subject to the above-mentioned changes, the Commission adopted chapter VIII of the draft guide to enactment (A/CN.9/914/Add.6, paras. 1-58).在作出上述修改的前提下,委员会通过了颁布指南草案第八章(A/CN.9/914/ Add.6第1-58段)。
206.206.
In the context of the discussions on article 85, the question was raised whether article 85 or article 86 would apply to electronic negotiable instruments and electronic negotiable documents and thus whether the applicable law would be the law of the location of the asset or of the grantor.在讨论第85条时提出的一个问题是,第85条或第86条是否将适用于电子可转让票据和电子可转让单证,并且,适用法律将因此是资产所在地法律还是设保人所在地法律。
It was widely felt that the answer would depend on whether electronic negotiable instruments and negotiable documents were treated as tangible or intangible assets.会上普遍认为,其答案取决于电子可转让票据和可转让单证被作为有形资产对待还是作为无形资产对待。
207.207.
In that connection, it was noted that negotiable instruments and negotiable documents were listed in the definition of the term “tangible asset” in article 2, subparagraph (ll), of the Model Law as examples of tangible assets, since the Model Law had been prepared against the background of negotiable instruments and negotiable documents in their paper form.会上就此指出,在《示范法》第2条第(ll)项“有形资产”一词的定义中,将可转让票据和可转让单证列作有形资产的实例,因为《示范法》是以纸张形式的可转让票据和可转让单证为背景拟订的。
It was also noted that that the term “possession” was defined in article 2, subparagraph (z), of the Model Law as meaning “the actual possession of a tangible asset”.会上还指出,《示范法》第2条(z)项将“占有”一词定义为是指“对有形资产的实际占有”。
Thus, for specific policy considerations of secured transactions law, the provisions of the Model Law that referred to “possession” of a negotiable instrument or negotiable document (for example, arts. 16, 26, 46 and 49) were meant to apply only to negotiable instruments and negotiable documents in their paper form.因此,就担保交易法的具体政策考虑而言,《示范法》中提及对可转让票据或可转让单证的“占有”的条文(例如,第16、26、46、49条)意在仅适用于纸张形式的可转让票据和可转让单证。
It was also noted that the Model Law did not include definitions of the terms “negotiable instrument” or “negotiable document”, thus leaving their meaning to the law of the enacting State relating to negotiable instruments and negotiable documents, to which the Model Law deferred also for the rights and obligations of a person obligated on a negotiable instrument or the issuer of or other person obligated on a negotiable document (see arts. 68 and 70).还指出,《示范法》未列入术语“可转让票据”或“可转让单证”的定义,从而将这些术语的含义交由颁布国有关可转让票据和可转让单证的法律来处理,而在可转让票据承付人或可转让单证签发人或其他承付人的权利和义务问题上,《示范法》也将遵从颁布国的上述法律(见第68和第70条)。
208. After discussion, it was agreed that, for reasons of clarity:208.
(a) paragraph 65 of document A/CN.9/914 should list negotiable instruments and negotiable documents in their paper form as examples of tangible assets; (b) paragraph 46 of document A/CN.9/914 should list electronic negotiable instruments and negotiable documents as examples of intangible assets; and (c) the draft guide to enactment should clarify that negotiability was left to other laws of the enacting State relating to negotiable instruments and negotiable documents.经过讨论,会议商定,为明确起见:(a)A/CN.9/914号文件第65段应当将纸张形式可转让票据和可转让单证列作有形资产的实例;(b)A/CN.9/914号文件第46段应当将电子可转让票据和电子可转让单证列作无形资产的实例;及(c)颁布指南草案应当澄清,可转让性问题交由颁布国有关可转让票据和可转让单证的其他法律来处理。
209.209.
The Commission next considered the relationship between the UNCITRAL Model Law on Secured Transactions and the UNCITRAL Model Law on Electronic Transferable Records (see chapter III, section A, above, and annex I to the present report).贸易法委员会接下来审议了《贸易法委员会担保交易示范法》与《贸易法委员会电子可转移记录示范法》(见上文第三章,A节,以及本报告附件一)之间的关系。
It was widely felt that the Model Law on Electronic Transferable Records was not intended to revise the substantive provisions of other laws but rather to facilitate the use of transferable documents or instruments in electronic form by providing rules on achieving the functional equivalent of possession.会上普遍认为,《电子可转移记录示范法》并非意在修订其他法律的实质性规定,而是为了通过提供关于实现占有的功能等同的规则而便利使用电子形式的可转让单证或票据。
In particular, it was generally felt that article 11 of the Model Law on Electronic Transferable Records was not intended to change the concept of “possession” under the Model Law on Secured Transactions, which was intended to apply to tangible assets such as negotiable instruments and negotiable documents in paper form.特别是,会上普遍认为,《电子可转移记录示范法》第11条并非意在改变《担保交易示范法》中的“占有”概念,这一概念意在适用于诸如纸张形式的可转让票据和可转让单证之类的有形资产。
Another view was that the plain meaning of article 11 of the Model Law on Electronic Transferable Records made the concept of “control” the functional equivalent of “possession” for the purposes of the Model Law on Secured Transactions.另一种看法是,《电子可转移记录示范法》第11条的本意清楚地表明,就《担保交易示范法》而言,“控制”概念在功能上等同于“占有”。
210.
210. After discussion, it was agreed that paragraph 53 of document A/CN.9/914 should: (a) clarify that the concept of “possession” in the Model Law on Secured Transactions applied only to tangible assets, and thus the provisions of that Model Law that applied specifically to tangible assets did not apply to negotiable instruments and negotiable documents in electronic form, to which the general provisions on general intangible assets of the Model Law would apply as they were movable assets in the sense of article 2, subparagraph (u); and (b) suggest that States that wished to enact both model laws should consider the relationship between them.经过讨论,会议商定,A/CN.9/914号文件第53段应当:(a)澄清《担保交易示范法》中的“占有”概念仅适用于有形资产,因此,《示范法》中具体适用于有形资产的条文不适用于电子形式的可转让票据和可转让单证,对于这些票据和单证,将适用《示范法》关于普通无形资产的一般条文,因为它们属于第2条(u)项含义内的动产;及(b)建议凡是希望颁布这两部示范法的国家考虑它们之间的关系。
10.10.
Chapter IX. Transition (A/CN.9/914/Add.6, paras. 59-83)第九章 过渡(A/CN.9/914/Add.6,第59-83段)
211.211.
With respect to paragraph 69, it was agreed that it should be: (a) revised to clarify that the reference to article 103, paragraph 2, in the first sentence was to article 103, paragraph 1; and (b) placed after, or incorporated in to, paragraph 67, which also dealt with article 103, paragraph 1.关于第69段,会议商定,该段应当:(a)应当加以修订,以澄清,第一句中对第103条第2款的提及是指第103条第1款;及(b)应当置于第67段之后或并入第67段,后者也涉及第103条第1款。
212.212.
It was agreed that paragraph 74 should be deleted in its entirety as it discussed matters dealt with in paragraphs 75 and 77.会议商定,第74段应当完全删除,因其讨论的事项涉及第75和77段。
213.213.
With respect to paragraph 78, it was agreed that the last sentence should be deleted as it could be misleading. 214. It was agreed that paragraph 83 should be revised to emphasize that:关于第78段,会议商定,最后一段应当删除,因其可能误导。
214.
(a) the registry had to be operational before the law entered into force; (b) in determining when the new law would enter into force, States should take into account the criteria set out in subparagraphs (a), (c) and (d) in the third sentence, as well as the novelty of the new law and the complexity of the relevant markets of the enacting State; and (c) the mechanisms to determine the time when the new law should enter into force should be moved from the last sentence of paragraph 83 to paragraph 82, without any reference to specific time periods.会议商定,第83段应当加以修订,以强调:(a)登记处必须在法律生效之前投入运行;(b)在决定新法律何时生效时,各国应当考虑到第三句中(a)、(c)和(d)项所载明的标准以及新法律的新颖之处和颁布国相关市场的复杂性;及(c)应当把确定新法律应何时生效的机制从第83段最后一句移至第82段,而无需提及任何具体时限。
215.215.
Subject to the above-mentioned changes, the Commission adopted chapter IX of the draft guide to enactment (A/CN.9/914/Add.6, paras. 59-83).在作出上述修改的前提下,委员会通过了颁布指南草案第九章(A/CN.9/914/ Add.6,第59-83段)。
11.11.
Adoption of the Guide to Enactment of the UNCITRAL Model Law on Secured Transactions通过《贸易法委员会担保交易示范法颁布指南》
216.216.
At its 1067th meeting, on 20 July 2017, the Commission adopted the following decision:委员会在其2017年7月20日第1067次会议上通过了下述决定:
The United Nations Commission on International Trade Law,联合国国际贸易法委员会,
Recalling 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)号决议设立了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》,
Recalling further that, at its forty-ninth session, in 2016, the Commission adopted the UNCITRAL Model Law on Secured Transactions and that the General Assembly, in its resolution 71/136 of 13 December 2016, recommended the Model Law for use by States,又回顾委员会2016年第四十九届会议通过了《贸易法委员会担保交易示范法》,大会2016年12月13日第71/136号决议建议各国使用《示范法》,
Convinced that the overarching benefits of the Model Law include an increase in access to affordable credit, the facilitation of the development of international trade and greater legal certainty in the exercise of international commercial activities,深信《示范法》的总体惠益包括增加了获得可负担信贷的机会、便利发展国际贸易并提高了开展国际商业活动的法律确定性,
Noting that a number of issues were referred to a draft guide to enactment of the Model Law during the deliberations of the Model Law and that, at its forty-ninth session, in 2016, the Commission agreed to give Working Group VI (Security Interests) up to two sessions to complete its work on the draft guide to enactment and submit it to the Commission for final consideration and adoption at its fiftieth session, in 2017,注意到在审议《示范法》期间已将若干问题交由《示范法》颁布指南草案处理,并且委员会2016年第四十九届会议商定给第六工作组(担保权益)最多两届会议以完成其有关颁布指南草案的工作,并将其提交委员会2017年第五十届会议最后审议并通过,
Noting also that the Working Group devoted two sessions, in 2016 and 2107, to the preparation of the draft guide to enactment, and that, at its thirty-first session, in 2017, the Working Group approved the substance of the draft guide to enactment and decided to submit it to the Commission for final consideration and approval at its fiftieth session,还注意到工作组利用其2016年和2017年两届会议集中拟订颁布指南草案,并且工作组在其2017年第三十一届会议上核准了颁布指南草案的实质内容,并决定将其提交委员会第五十届会议最后审议并核准,
Noting further with satisfaction that the draft guide to enactment provides background and explanatory information that could assist States in revising or adopting legislation relevant to secured transactions on the basis of the Model Law, and thus a guide to enactment of the Model Law would be an extremely important text for the implementation and interpretation of the Model Law,又满意地注意到,颁布指南草案提供了可协助各国以《示范法》为基础修订或通过担保交易相关法规的背景资料和解释性资料,因此,《示范法》颁布指南是有关执行和解释《示范法》的一部极为重要的案文,
Expressing its appreciation to international intergovernmental and non-governmental organizations active in the reform of secured transactions law for their participation in and support for the development of the Model Law and the draft guide to enactment,感谢积极致力于担保交易法改革的国际政府间组织和非政府组织参与并支持拟订《示范法》和颁布指南草案,
Having considered the draft guide to enactment at its fiftieth session, in 2017,经过委员会2017年第五十届会议对颁布指南草案的审议,
Considering that the draft guide to enactment has received sufficient consideration and has reached the level of maturity for it to be generally acceptable to States,认为颁布指南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,
1.1.
Adopts the Guide to Enactment of the UNCITRAL Model Law on Secured Transactions, consisting of the text contained in document A/CN.9/914 and Add.1-6, with amendments adopted by the Commission at its fiftieth session, and authorizes the Secretariat to edit and finalize the text of the Guide to Enactment of the Model Law pursuant to the deliberations of the Commission at that session;通过《贸易法委员会担保交易示范法颁布指南》,其案文包括载于A/CN.9/914号文件及增编1-6的案文和经委员会第五十届会议通过的修订案文,并授权秘书处根据委员会该届会议审议情况编辑并最后审定《示范法颁布指南》的案文;
2.2.
Requests the Secretary-General to publish the Guide to Enactment of the Model Law, including electronically and in the six official languages of the United Nations, and to disseminate it broadly to Governments and other interested bodies;请秘书长以联合国六种正式语文发布《示范法颁布指南》,包括以电子方式发布,并向各国政府及其他有关机构广泛传播;
3.3.
Recommends that all States give favourable consideration to the Model Law, taking also into account the information in the Guide to Enactment, when revising or adopting legislation relevant to secured transactions, and invites States that have used the Model Law to advise the Commission accordingly;建议所有国家在修订或通过担保交易相关法规时积极考虑《示范法》,同时考虑到《颁布指南》中的信息,并邀请已使用《示范法》的国家向委员会通报相关事宜;
4.4.
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;还建议各国视需要在修订有关的立法、行政条例或准则时继续积极考虑《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法规时继续积极考虑《贸易法委员会担保交易立法指南》和《知识产权担保权补编》,并邀请已使用这两部指南的国家向委员会通报相关事宜;
5.5.
Further recommends that all States continue to consider becoming parties to the United Nations Convention on the Assignment of Receivables in International Trade (New York, 2001), the principles of which are also reflected in the Model Law, and the optional annex of which refers to the registration of notices with regard to assignments.进一步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》(2001年,纽约)的缔约国,该《公约》的原则也反映在《示范法》中,该《公约》的任择附件提及对转让通知的登记。
217.217.
The Commission was informed that the Model Law had been made available as a United Nations publication and that the Guide to Enactment would be made available as a separate United Nations publication, as there was no budget to publish both the Model Law and the Guide to Enactment again.委员会获悉,《示范法》已作为联合国出版物提供,由于没有同时再版《示范法》和《颁布指南》的预算,《颁布指南》将作为单独的联合国出版物提供。
It was further noted that the Model Law and the Guide to Enactment would be made available on the UNCITRAL website at different times.会上还注意到,《示范法》和《颁布指南》将在不同时间在贸易法委员会网站上登出。
B.B.
Possible future work in the area of security interests担保权益领域今后可能开展的工作
218.218.
The Commission held a preliminary discussion regarding future work in the area of security interests.委员会就担保交易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 21 (Work programme of the Commission) (see chapter XVII below).初步讨论期间达成的结论已为委员会在审议议程项目21(委员会的工作方案)时重新确认(见下文第十七章)。
219.219.
The Commission recalled that, at its forty-ninth session, in 2016, it had decided that the preparation of a contractual guide on secured transactions and a uniform law text on intellectual property licensing should be retained in its future work programme together with the following topics: (a) whether the Model Law and its Guide to Enactment might need to be expanded to address matters related to secured finance to micro, small and medium-sized enterprises; (b) whether any future work on a contractual guide on secured transactions should include a discussion of contractual issues of concern to such enterprises (e.g., transparency issues);委员会回顾其2016年第四十九届会议曾决定,拟订担保交易合同指南和知识产权许可统一法案文应连同以下议题保留在其今后工作方案中:(a)《示范法》及其《颁布指南》是否需扩展,以处理与微型、小型和中型企业担保融资有关的事项;(b)今后就担保交易合同指南开展的任何工作是否应当包括讨论涉及此种企业的合同问题(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);以及(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。
(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) whether disputes arising from security agreements could be resolved through alternative dispute resolution mechanisms. The Commission also recalled that it had decided that those issues should be considered at a future session on the basis of notes to be prepared by the Secretariat after a colloquium or expert group meeting.委员会还回顾其曾决定应在今后一届会议上以拟由秘书处在一次专题讨论会或专家组会议之后编写的说明为基础审议这些问题。
220.220.
At the current session, the Commission had before it two notes by the Secretariat (A/CN.9/913 and A/CN.9/924) reflecting the deliberations and conclusions of the Fourth International Colloquium on Secured Transactions, which had been held in Vienna from 15 to 17 March 2017.在本届会议上,委员会收到秘书处的两份说明(A/CN.9/913、A/CN.9/924),其中反映了2017年3月15日至17日在维也纳举行的第四次担保交易国际专题讨论会的审议情况和结论。
The Commission took note of the possible future legislative work topics presented in document A/CN.9/913, which included contractual, transactional and regulatory issues related to secured transactions, finance to micro-businesses, warehouse receipts, intellectual property licensing, alternative dispute resolution in secured transactions and real estate financing.委员会注意到A/CN.9/913号文件介绍的今后可能的立法工作议题,其中包括与担保交易有关的合同问题、交易问题和监管问题,微型企业融资,仓单,知识产权许可,担保交易中非诉讼争议解决方式以及不动产融资。
In particular, the Commission noted the desirability and feasibility of work on each topic, as well as the issues possibly to be addressed and the form such work might take.特别是,委员会注意到就每项议题开展工作的可取性和可行性,以及可能处理的问题和此类工作可能采取的形式。
In that connection, the Commission noted that, in view of its limited resources, work could not be undertaken on all possible topics and priorities would thus need to be set.在这方面,委员会注意到,鉴于其资源有限,不可能就所有可能的议题开展工作,因此需要确定优先重点。
221.221.
In addition, the Commission considered a proposal by Australia, Canada, Japan and the United Kingdom (A/CN.9/926) that the Commission should prepare a practice guide for potential users of the Model Law with respect to contractual, transactional and regulatory issues related to secured transactions, as well as financing of micro-businesses.此外,工作组审议了澳大利亚、加拿大、日本和联合王国提出的建议(A/CN.9/926),即委员会应当就与担保交易有关的合同问题、交易问题和监管问题以及微型企业融资,为《示范法》潜在使用者编写一部实务指南。
It was noted that the proposal referred to a number of issues addressed in document A/CN.9/913.会上指出,该建议提到A/CN.9/913号文件述及的一些问题。
222.222.
There was general support in the Commission for the preparation of such a practice guide.会上普遍支持委员会编写这样一部实务指南。
It was stated that the Guide to Enactment of the UNCITRAL Model Law on Secured Transactions, adopted by the Commission at the current session (see section A of the present chapter), was mainly addressed to legislators and not to users of laws implementing the Model Law.会上指出,委员会本届会议通过的《贸易法委员会担保交易示范法颁布指南》(见本章A节)主要面向立法人员,而非《示范法》实施法律的使用者。
In addition, it was said that, to be able to use a law implementing the Model Law to their benefit, parties to transactions, judges, arbitrators, regulators, insolvency administrators and academics would need some guidance with respect to contractual issues, such as the types of secured transactions that were possible under that law, transactional issues such as the valuation of collateral, and regulatory issues such as the conditions under which movable assets were treated as eligible collateral for regulatory purposes.此外还指出,为了能够以对其有益的方式使用《示范法》的实施法律,交易当事人、法官、仲裁员、破产管理人和学术界人士需要在某些方面得到一些指导,在合同问题上,诸如可由此种法律管辖的担保交易类别,在交易问题上,诸如抵押品的估价,在监管问题上,诸如在什么条件下可为监管目的而将动产作为合格抵押品对待。
223.223.
Moreover, it was pointed out that, in many States that had adopted a modern secured transactions law along the lines of the Model Law, users were not able to use it to the full extent and thus obtain access to lower-cost credit.此外,会上指出,在许多已基本按照《示范法》通过一部现代担保交易法的国家,使用者并不能够充分利用这部法律从而获得较低成本信贷。
It was also mentioned that the financing of micro-businesses raised some special issues (for example, with respect to notifications under the Model Law and the enforcement of a security interest).还提到,微型企业的融资提出一些特殊问题(例如,涉及《示范法》规定的通知以及担保权益的执行)。
The proposed practice guide could provide useful guidance on those issues.所提议的实务指南可在这些问题上提供有益的指导。
It was further stressed that the overall value of the Model Law and of other texts prepared by UNCITRAL in the field of security interests would increase if they were complemented by a practice guide; that, it was said, would be the best use of the resources already devoted by the Commission to the preparation of its texts on security interests.进一步强调指出,如果有一部实务指南作为补充,《示范法》以及贸易法委员会在担保交易领域拟订的其他案文的总体价值将得以提升;会上指出,这将最佳利用委员会已为拟订担保交易方面案文投入的资源。
224.224.
At the same time, in view of the limited resources available to the Commission, some doubts were expressed as to whether work on security interests should continue.与此同时,鉴于委员会可用资源有限,会上对是否应当继续进行担保交易方面的工作表示了一些疑问。
It was stated that it might be better to refer the preparation of the proposed practice guide to the Secretariat with the assistance of experts and that the Commission could consider the text thus prepared at a future session.会上指出,不如将所提议实务指南的编写工作交给秘书处,由专家提供协助,委员会可在今后一届会议上审议用这种方式编写的案文。
225.225.
With respect to warehouse receipts, the suggestion was made that the Secretariat should prepare a study on the feasibility and desirability of preparing an international legal standard.关于仓单,会上建议秘书处应当就拟订一部法律标准的可行性和可取性编写一份研究报告。
With respect to intellectual property licensing, the suggestion was made that the Commission might prepare a text on contractual issues, given their importance and the fact that there were gaps in the law relating to them.关于知识产权许可,鉴于合同问题的重要性以及与此有关的法律存在空白,会上建议委员会可编写一部关于这些问题的案文。
With respect to the use of alternative mechanisms to resolve disputes arising in the context of secured transactions, it was suggested that model rules might be prepared to address arbitrability and third-party issues.关于使用非诉讼机制解决担保交易中产生的争议,会上建议可拟订示范规则处理可仲裁性和第三方问题。
Those suggestions did not receive sufficient support for immediate referral to a working group.这些建议均没有获得立即交由一个工作组处理所需要的充分支持。
The Commission was informed that a delegation intended to prepare and submit a study on warehouse receipts for future consideration by the Commission.委员会了解到,有一个代表团打算编写一份关于仓单的研究报告提交委员会今后审议。
226.226.
The Commission took note of possible future coordination and technical assistance work on security interests and related topics (see A/CN.9/924).委员会注意到今后可能就担保权益和相关议题开展的协调和技术援助工作(见A/CN.9/924)。
Recalling its discussion on coordination and cooperation activities in the area of security interests (see chapter XIV, section A, below), the Commission renewed the mandate given to the Secretariat to continue its coordination and cooperation efforts with the European Commission with a view to ensuring a coordinated approach to the issue of the law applicable to third-party effects of transactions in receivables and securities.回顾其关于担保权益领域协调与合作活动的讨论(见下文第十四章,A节),委员会延长了赋予秘书处的任务授权,即继续与欧盟委员会进行协调与合作努力,以期确保对应收款和证券交易的第三方效力的适用法律问题采取协同办法。
That mandate also included coordination and cooperation with international banking regulatory authorities.这一任务授权还包括与国际银行监管机构的协调与合作。
227.227.
After discussion, the Commission decided that a practice guide on secured transactions should be prepared and referred that task to Working Group VI.经过讨论,委员会决定应编写一部担保交易实务指南,并将这项任务交给第六工作组。
It was also agreed that the issues addressed in document A/CN.9/926 and the relevant sections of document A/CN.9/913 should form the basis of that work.会议还商定,A/CN.9/926号文件处理的问题和A/CN.9/913号文件相关章节应构成这项工作的基础。
The Commission further agreed that broad discretion should be accorded to the Working Group in determining the scope, structure and content of the practice guide.委员会进一步商定,应当在决定实务指南的范围、结构和内容方面赋予工作组广泛裁量权。
228.228.
With respect to the time frame, it was generally felt that at the current stage it was premature to fix the number of meetings the Working Group might need to complete its work, but the Commission requested the Working Group to proceed as expeditiously as possible.关于时间范围,普遍认为现阶段确定工作组完成这项工作可能需要召开多少次会议为时尚早,但委员会请工作组尽快着手进行。
It was agreed that the date and place of future meetings of Working Group VI would be discussed under agenda item 22 (Date and place of future meetings).会议商定,关于第六工作组今后会议的日期和地点,将在议程项目22(今后会议的日期和地点)下讨论。
(For further consideration of the matter, see chapter XX below.)(关于这一事项的进一步审议情况,见下文第二十章。
229.) 229.
With respect to the other future work topics discussed in document A/CN.9/913, the Commission decided that, with the exception of real estate financing, those topics should be retained on the Commission’s future work agenda for further discussion at a future session, without assigning any priority to them.关于A/CN.9/913号文件讨论的今后其他工作议题,委员会决定,除不动产融资外,应将这些议题放在委员会今后工作议程上保留,供今后届会进一步讨论,这些议题的先后顺序不予确定。
V.五.
Consideration of issues in the area of micro, small and medium-sized enterprises: progress report of Working Group I审议微型、小型和中型企业领域的问题:第一工作组进度报告
230.230.
The Commission had before it the reports of Working Group I Micro, Small and Medium-sized Enterprises on the work of its twenty-seventh and twenty-eighth sessions (A/CN.9/895 and A/CN.9/900, respectively) outlining progress on the two topics on its current work agenda, each of which involved the preparation of a legislative guide “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” in respect of:委员会收到了第一工作组(中小微企业)第二十七届和第二十八届会议工作报告(分别为A/CN.9/895、A/CN.9/900),其中概要介绍了就其当前工作议程上两个议题取得的进展,两个议题分别涉及“以特别是在发展中经济体减少微型、小型和中型企业整个寿命周期面临的法律障碍为宗旨”拟订关于下列方面的立法指南:
(a)(a)
The creation of a simplified business entity;创建简易企业实体;
(b)(b)
Key principles of business registration.企业登记的关键原则。
231.231.
The Commission noted that Working Group I, at its twenty-seventh session, held in Vienna from 3 to 7 October 2016, had continued its deliberations regarding the creation of a simplified business entity by considering the draft legislative guide on an UNCITRAL limited liability organization (UNLLO) (as set out in A/CN.9/WG.I/WP.99 and Add.1).委员会注意到,2016年10月3日至7日在维也纳举行的第一工作组第二十七届会议继续就创建简易企业实体进行审议,为此审议了(A/CN.9/WG.I/WP.99和Add.1所载)贸易法委员会有限责任组织(贸法委有限责任组织)立法指南草案。
Progress at that session had included discussion of section A, on general provisions (draft recommendations 1 to 6), section B, on the formation of an UNLLO (draft recommendations 7 to 10), and section C, on the organization of an UNLLO (draft recommendations 11 to 13).该届会议上的进展包括讨论关于一般性规定的A节(建议草案1至6)、关于贸法委有限责任组织的组建的B节(建议草案7至10),以及关于贸法委有限责任组织的组织结构的C节(建议草案11至13)。
The Working Group had also heard the presentation of a legislative approach known in France as “Entrepreneur with limited liability” (A/CN.9/WG.I/WP.94), which represented a possible alternative legislative model applicable to micro and small businesses.工作组还听取了关于法国称作“有限责任企业主”的立法办法的介绍(A/CN.9/WG.I/WP.94),这种立法办法代表一种适用于小微企业的可能备选立法模式。
232.232.
The Commission further noted that the Working Group had considered both topics currently on its agenda during its extended twenty-eighth session, held in New York from 1 to 9 May 2017.委员会还注意到,在2017年5月1日至9日于纽约进行的的工作组第二十八届延长会议上,工作组审议了目前在其议程上的这两个议题。
Those deliberations had commenced with a review of the entire consolidated draft legislative guide on key principles of a business registry (A/CN.9/WG.I/WP.101), save for the introductory section and draft recommendation 9 (Core functions of business registries) and its attendant commentary, to which the Working Group had agreed to revert at a future session.这些审议工作先是审查了企业登记处关键原则立法指南草案整个合订本(A/CN.9/WG.I/WP.101),导言部分和建议草案9(企业登记处的核心职能)及其附属评论除外,工作组商定在今后一届会议上再审议这些内容。
The Commission noted that the Working Group had further agreed to again consider the draft legislative guide on key principles of a business registry, as revised, at its twenty-ninth session, to be held in Vienna in 2017, with a view to its possible adoption by the Commission at its fifty-first session, in 2018.委员会注意到,工作组还商定在2017年于维也纳举行的第二十九届会议上再次审议经修订的企业登记处关键原则立法指南草案,以期由委员会在2018年第五十一届会议上视可能予以通过。
With respect to its deliberations regarding the creation of a simplified business entity, the Working Group had continued the work begun at its twenty-seventh session and considered the following recommendations (and related commentary) of the draft legislative guide on an UNLLO: section D, on managers (draft recommendations 14 to 16), section E, on contributions (draft recommendations 17 and 18), and section F, on distributions (draft recommendations 19 to 21).关于围绕创建简易企业实体进行的审议,工作组继续进行在其第二十七届会议上开始的工作,审议了贸法委有限责任组织立法指南草案的以下建议(和相关评注):关于管理人的D节(建议草案14至16)、关于出资的E节(建议草案17和18),以及关于分配的F节(建议草案19至21)。
233.233.
The Commission also noted two proposals that had been made by States at the twenty-eighth session of the Working Group, the first being a proposal on possible future work on contractual networks, which was before the Commission at its current session (A/CN.9/925; see chapter XVII below), and the second being a proposal that the Working Group should attach model provisions on the dissolution and liquidation of micro, small and medium-sized enterprises as an annex to the legislative guide on an UNLLO (A/CN.9/WG.I/WP.104, containing the model provisions in an annex).委员会还注意到有关国家在工作组第二十八届会议上提出的两项建议:第一项是关于今后可能就契约型网络开展工作的建议,已提交委员会本届会议(A/CN.9/925;见下文第十七章);第二项是这样一项建议,即工作组应将关于微型、小型和中型企业解散和清理的示范条文作为贸法委有限责任组织立法指南的附件(A/CN.9/WG.I/WP.104,附件中载有示范条文)。
In respect of the latter proposal, it was noted that the Working Group had agreed that any further consideration of that proposal should first be subject to domestic consultations and considered at a future session of the Working Group in conjunction with its deliberations regarding recommendation 24 (and related commentary) of the draft legislative guide on an UNLLO, regarding issues related to dissolution and winding-up of an UNLLO.关于后一项建议,会上注意到,工作组商定在进一步审议该建议之前应先进行国内协商,应在工作组今后一届会议上结合审议贸法委有限责任组织立法指南关于贸法委有限责任组织的解散和清理的建议24(及相关评注)审议该建议。
234.234.
Several delegations highlighted the importance of the efforts of Working Group I to prepare legal standards aimed at reducing the administrative and legal burdens faced by micro, small and medium-sized enterprises, in particular in the light of the key role that such enterprises played in economies around the world, including in those of developing States.几个代表团强调了第一工作组为拟订旨在减少微型、小型和中型企业面临的行政和法律负担的法律标准所做努力的重要性,尤其是考虑到此类企业在世界各地经济体包括在发展中国家经济体中发挥的关键作用。
Confidence was expressed that the efforts of the Working Group would have a positive impact on such enterprises, and that the role of such norms in establishing a simple and sound system to support such businesses could have key economic benefits.会上表示相信,工作组的努力将对此类企业产生积极影响,此类规范在建立简单而健全的制度以支持此类企业方面的作用能够产生重要的经济效益。
It was further observed that efforts to reduce the obstacles faced by micro, small and medium-sized enterprises were likely to have a positive effect for enterprises of all sizes.进一步指出,旨在减少微型、小型和中型企业面临的障碍的努力有可能对各种规模的企业产生积极影响。
235.235.
After discussion, the Commission commended the Working Group for the progress it had made on the two topics as reported above.经过讨论,委员会对上文报告的工作组在两个议题上取得的进展表示赞许。
In particular, the Commission welcomed the potential completion of the draft legislative guide on key principles of a business registry for possible adoption at the fifty-first session of the Commission.委员会尤其欢迎有可能完成企业登记处关键原则立法指南草案,以便委员会第五十一届会议视可能予以通过。
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 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传播。
VI.六.
Consideration of issues in the area of international dispute settlement审议国际争议解决领域的问题
A.A.
Progress report of Working Group II第二工作组进度报告
236.236.
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.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的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。
237.237.
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).委员会还回顾,委员会2015年第四十八届会议收到了秘书处的答复汇编(A/CN.9/846及增编)。
At the same 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.委员会在同一届会议上商定,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,包括拟订一部公约、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。
At its forty-ninth session, in 2016, the Commission had commended the Working Group for its work on the topic and confirmed that the Working Group should continue its work.委员会2016年第四十九届会议赞扬工作组就这一主题开展的工作,并确认工作组应当继续进行其工作。
238.238.
At the current session, the Commission considered the reports of the Working Group on the work of its sixty-fifth session (A/CN.9/896), held in Vienna from 12 to 23 September 2016, and sixty-sixth session (A/CN.9/901), held in New York from 6 to 10 February 2017.在本届会议上,委员会审议了工作组2016年9月12日至23日在维也纳举行的第六十五届会议的工作报告(A/CN.9/896)和2017年2月6日至10日在纽约举行的第六十六届会议的工作报告(A/CN.9/901)。
The Commission took note of the compromise reached by the Working Group at its sixty-sixth session, which addressed five key issues as a package (A/CN.9/901, para. 52) and expressed support for the Working Group to continue pursuing its work based on that compromise.委员会注意到工作组第六十六届会议达成的折中建议,其中作为一揽子方案处理了五个关键问题(A/CN.9/901,第52段),并表示支持工作组继续在这一折中建议的基础上推进工作。
239.239.
After discussion, the Commission expressed its satisfaction with the progress made by the Working Group and the support provided by the Secretariat.经过讨论,委员会对工作组所取得的进展以及秘书处提供的支持表示满意。
Considering the progress made, the Commission requested the Working Group to complete the work expeditiously.考虑到所取得的进展,委员会请工作组从速完成这项工作。
B.B.
Possible future work in the area of international dispute settlement国际争议解决领域今后可能开展的工作
240.240.
The Commission held a preliminary discussion regarding future work in the area of international dispute settlement.委员会就国际争议解决领域今后的工作举行了初步讨论。
The conclusions reached during that preliminary discussion were reaffirmed by the Commission upon its consideration of agenda item 21 (Work programme of the Commission) (see chapter XVII below).委员会在审议议程项目21(委员会的工作方案)时重新确认了初步讨论期间达成的结论(见下文第十七章)。
241.241.
The Commission recalled that, at its forty-ninth session, in 2016, it had considered three topics for possible future work: concurrent proceedings, the preparation of a code of ethics for arbitrators, and possible reform of the investor-State dispute settlement regime.委员会回顾,委员会在其2016年第四十九届会议上审议了今后可能开展工作的下述三个主题:并行程序、拟订仲裁员道德守则,以及投资人与国家间争议解决制度的可能改革。
At that session, the Commission had decided to retain those topics on its agenda for further consideration.在该届会议上,委员会决定在其议程上保留这些主题供进一步审议。
It had further requested that the Secretariat, within its existing resources, continue to update and conduct preparatory work on all those topics so that the Commission would be in a position to make an informed decision whether to undertake work in any of the topics.委员会还请秘书处在现有资源范围内,继续更新并开展所有这些主题的准备工作,以使委员会能够就是否开展其中任何主题的工作作出知情决定。
242.242.
At its current session, the Commission had before it notes by the Secretariat on possible future work on concurrent proceedings (A/CN.9/915) and ethics (A/CN.9/916) in international arbitration, as well as on possible reforms of investor-State dispute settlement (A/CN.9/917), including a compilation of comments by States and international organizations (A/CN.9/918 and addenda).在本届会议上,委员会收到了秘书处关于今后可能就并行程序开展的工作的说明(A/CN.9/915)、国际仲裁道德守则(A/CN.9/916),以及关于投资人与国家间争议解决方面可能改革的说明(A/CN.9/917),包括国家和国际组织意见汇编(A/CN.9/918和议程)。
The Commission agreed to proceed with the consideration of possible reforms, taking those notes into account.委员会同意继续审议可能的改革,同时考虑到这些说明。
For deliberation purposes it was agreed that the topic of investor-State dispute settlement reform would be considered in a comprehensive manner to also include the topics of concurrent proceedings and ethics.为审议工作之目的,会议商定,关于投资人与国家间争议解决制度改革的主题将以全面综合方式加以审议,其中也可包括并行程序和道德守则主题。
243.243.
At the outset, it was suggested that UNCITRAL should undertake work on investor-State dispute settlement reform as a matter of priority, as there was a need to identify issues in relation to the existing settlement mechanism, to discuss whether those issues needed to be addressed and, if so, to develop any relevant solutions.会议开始时提出,贸易法委员会应当作为一项优先事项开展关于投资人与国家间争议解决制度改革的工作,因为需要确定与现行解决机制有关的各种问题,讨论是否需要处理这些问题,如果需要,拟订任何相关的解决办法。
As a general point, it was stressed that the main objective of that work should be to restore confidence in the overall system.作为一般问题,会上强调,这项工作的主要目标应当是恢复对整个制度的信心。
It was underlined that there was value in multilateral consideration of the issues so as to avoid further fragmentation of the investor-State dispute settlement regime.强调指出,在多边范围审议这些问题有其价值,这样可以避免投资人与国家间争议解决制度的碎片化。
244.244.
However, some doubts were expressed on the desirability and feasibility of UNCITRAL undertaking work on possible investor-State dispute settlement reforms.但是,对于贸易法委员会就投资人与国家间争议解决制度可能的改革开展工作的可取性和可行性表示了疑问。
It was highlighted that there was currently a diverse body of more than 3,000 international investment agreements with significantly different approaches to both substantive investment protection and investor-State dispute settlement mechanisms.强调指出,目前这一体系庞杂,有3,000多项国际投资协定,对于实质性投资保护和投资人与国家间争议解决机制采取的做法大相径庭。
It was underlined that the diversity in approaches to investor-State dispute settlement reflected thoughtful decisions by sovereign States on what approach best suited their particular legal, political, and economic circumstances.强调说,投资人与国家间争议解决方面做法的多样性反映出主权国家就哪些做法最适合本国特殊的法律、政治和经济情况所做的深思熟虑的决定。
It was said that because of those well-founded differences, past attempts to forge a single, multilateral approach to investment treaties had failed (for example, the negotiation of the multilateral agreement on investment under the auspices of OECD).会上指出,正是由于这些差异有很深的根缘,以往针对投资条约打造一种单一多边办法的尝试都失败了(例如,在经合组织主持下进行的多边投资协定谈判)。
In response, it was suggested that, although international investment agreements were not identical to and, indeed, contained differences, they generally followed similar patterns with regard to their structure and were centred around a number of core principles.对此指出,尽管国际投资协定并非相互雷同,而且的确各有差异,但它们在结构上都依循类似格式,并且围绕一些核心原则。
It was stated that reforms to investor-State dispute settlement might enhance consistency in treaty interpretation and application.会上指出,投资人与国家间争议解决制度的改革可以增进条约解释和适用的一致性。
245.245.
In expressing further doubts, it was suggested that the diversity of approaches on investor-State dispute settlement needed to be respected.会上表达了进一步疑问,指出需要尊重投资人与国家间争议解决方法的多样性。
It was pointed out that reform was neither something new nor something that could be pursued only multilaterally, as States had advanced investor-State dispute settlement reform in myriad ways for many years.会上指出,改革既不是什么新鲜事,也不是只能以多边方式推进的事,因为多年来各国一直在以各种各样的方式推进投资人与国家间争议解决制度的改革。
Some States had elected to modify and supplement existing arbitral rules, some had chosen to limit or eliminate access to arbitration, while others had elected to do away with investment treaties altogether.有些国家倾向于修改并补充现有仲裁规则,有些国家倾向于限制或取消对仲裁的使用,而另一些国家则倾向于完全废掉投资条约。
In that context it was suggested that discussions in international forums about approaches to investor-State dispute settlement reform were useful where that work was targeted at empirical research, experience-sharing and capacity-building to help countries identify and implement approaches that best suited their individual circumstances.在这方面,会上提出,在国际论坛上就投资人与国家间争议解决制度改革所采取的方针进行讨论不无益处,因为这方面的工作着眼于实证研究、经验交流和能力建设,有助于各国确定并执行最适合自身情况的办法。
246.246.
It was stated that criticism about investor-State dispute settlement was mainly based on perceptions and that work by UNCITRAL should not be undertaken based on mere perceptions, but on facts.会上指出,投资人与国家间争议解决方面的批评意见主要依据的是主观看法,贸易法委员会不应仅根据主观看法开展工作,而应根据事实开展工作。
In response, it was pointed out that the numerous studies on investor-State dispute settlement were based on empirical data and surveys.对此指出,关于投资人与国家间争议解决的大量研究都是以实证数据和调查为基础的。
247.247.
The prevailing view was that UNCITRAL should undertake work on investor-State dispute settlement reform.普遍看法是,贸易法委员会应当就投资人与国家间争议解决制度的改革开展工作。
Views expressed ranged from those fully supportive of conducting future work on the topic, those generally in favour of having an open-ended discussion at UNCITRAL and those who did not object to proceeding with future work but were cautious about the approach to be undertaken.会上表达了各种各样意见,有的完全支持今后就投资人与国家间争议解决主题开展工作,有的一般赞成在贸易法委员会展开不受限制的讨论,有的不反对推进今后的工作,但对应采取的做法持谨慎态度。
As to the possible method of undertaking work on investor-State dispute settlement reform, the following suggestions were outlined.关于就投资人与国家间争议解决制度改革开展工作可能采取的方法,会上提出的建议概括如下。
248.248.
As a first step, it was stated that work should begin with identifying underlying issues and concerns in order to provide the rationale for any proposed reforms and to proceed with the development of possible solutions.作为第一步,会上指出,这项工作应当首先着手确定基本问题和关切,以便为任何拟议改革提供依据,并进而制订可能的解决办法。
249.249.
It was suggested that work should build on an in-depth analysis and assessment of existing international investment agreements and investor-State dispute settlement mechanisms; it should not simply identify the problems but also ascertain the positive aspects and benefits of the current regime.会上提议,工作应当立足于现有国际投资协定以及投资人与国家间争议解决机制的深入分析和评价;不是简单地找出问题,而是确认现有制度的积极方面和益处。
It was underlined that a wealth of studies already existed from academia, civil society and international organizations that would assist in the consideration of the matter.强调指出,学术界、民间社会和国际组织已经进行了大量丰富的研究,这些研究都将有助于这一事项的审议。
It was further suggested that the work should be fact-driven rather than perception-driven and should aim at outlining the advantages and drawbacks of the different solutions.进一步提出,这项工作应当注重事实而非主观看法,并应当着眼于勾画出不同解决办法的利弊之处。
250.250.
It was stressed that work should be conducted through a Government-led process where States would be able to openly discuss and consider a wide range of issues.会上强调,这项工作应当是一个由政府主导的过程,使各国能够公开讨论并审议广泛问题。
It was noted that investor-State dispute settlement reform was connected with a number of policy issues and that Governments should have a leading role in that process.会上指出,投资人与国家间争议解决制度的改革与一些政策问题相互关联,政府应当在这一过程中发挥主导作用。
In that context, it was also noted that there was a need to take into account that States had different experiences and expectations with regard to the investor-State dispute settlement regime.这方面还指出,需要考虑到在投资人与国家间争议解决制度方面各国有着不同的经验和预期。
The need for Governments to be represented by officials with adequate expertise and experience in negotiating investment treaties or investment chapters in free trade agreements and with exposure to claims related to investor-State dispute settlement was highlighted.强调指出,政府指派出席会议的官员需具备投资条约谈判或者自由贸易协定投资章节谈判方面的充分专门知识和经验,并且处理过投资人与国家间争议解决方面的申诉。
251.251.
While the need for the process to be government-led was highlighted in particular, the need to engage with diverse stakeholders was similarly stressed.在特别强调需由政府主导这一过程的同时,同样强调需要让各方面的利害相关方参与进来。
The participation in the process of intergovernmental organs and organizations (such as UNCTAD, the World Trade Organization (WTO), OECD, ICSID and PCA) and non-governmental organizations that had accumulated a vast amount of experience in that area was underscored.强调了由那些在这一领域积累了大量经验的政府间组织(如贸发会议、世界贸易组织(世贸组织)、经合组织、解决投资争端中心和常设仲裁院)以及非政府组织参与这一进程。
The benefits of involving experts, investors, academia and practitioners were noted.注意到让专家、投资人、学术界和从业人员参与的益处。
252.252.
It was generally agreed that discussion on investor-State dispute settlement reforms should be undertaken without prejudging the outcome and should not exclude any specific options.普遍的一致看法是,关于投资人与国家间争议解决制度改革的讨论应当在不预判结果的情况下进行,而且不应排除任何特定选项。
There was a general preference that work should cover the widest range of issues and possible solutions.普遍倾向于涵盖最广泛的问题和可能的解决办法。
It was generally stated that any investor-State dispute settlement reform should be conducted in a gradual manner.发言中普遍指出,投资人与国家间争议解决方面的任何改革都应以渐进方式进行。
In that context it was stated that work by UNCITRAL should not rush to hasty conclusions about the need for reform or solutions for addressing issues.关于这一点,会上指出,贸易法委员会的工作不应操之过急,就改革必要性或解决问题的办法匆忙下结论。
253.253.
It was also stated that any future work on the topic should be without any prejudice to possible approaches States might wish to adopt in the future.会上还指出,今后关于这一主题开展的的任何工作都不应影响各国今后可能采取的办法。
States had different perspectives, and diversity in approaches should be fully respected.各国有不同观点,应当充分尊重方法的多样性。
It was mentioned that participation of States in the process should not be construed as a commitment to the result of the work.会上提到,一国参与这一进程,不应解释为是对工作成果作出承诺。
254.254.
There was general support that the working group tasked with the topic of investor-State dispute settlement reform should determine the specific issues to be considered.普遍支持让负责投资人与国家间争议解决制度改革主题的工作组确定将要审议的具体问题。
While a few suggested that future work should focus only on the topics of concurrent proceedings and ethics, it was generally felt that work on concurrent proceedings and a code of ethics could form part of the discussions on investor-State dispute settlement reforms.虽有少数人提议今后工作应当仅侧重于并行程序和道德守则的议题,但普遍认为并行程序以及道德守则方面的工作可以构成关于投资人与国家间争议解决制度改革讨论的一部分。
In relation to concurrent proceedings, it was mentioned that work could be considered on guidance to arbitral tribunals and to the manner in which the matter had been addressed in international investment agreements.关于并行程序,会上提到,可以考虑开展工作,就国际投资协定处理这一事项的方式拟订针对仲裁庭的指导意见。
Regarding the topic of ethics, it was highlighted that aspects mentioned in paragraphs 38 and 39 of document A/CN.9/916 would deserve further consideration.关于道德守则主题,强调指出,A/CN.9/916号文件第38和39段中提到的各个方面值得进一步审议。
It was further suggested that work on ethics could address the conduct of various participants in the arbitral process, not just arbitrators.进一步提出,关于道德守则的工作可以涉及仲裁程序不同参与方的行为,而不只是仲裁员。
255.255.
As a possible solution for investor-State dispute settlement reform, a significant number of references were made to the establishment of a permanent multilateral investment court.关于投资人与国家间争议解决制度改革的一种可能的解决办法,发言中大量提到建立一个常设多边投资法院。
It was suggested that, while not being the only possible solution, the idea of a permanent multilateral investment court should be given due consideration.会上提出,虽然常设多边投资法院的构想并非唯一可能的解决办法,但这一想法应当得到适当考虑。
It was suggested that one feature of a permanent multilateral investment court might be a built-in appellate mechanism.会上指出,常设多边投资法院的一个特征或许是内部上诉机制。
In that context, the possibility of establishing regional courts was mentioned.在这方面提到了建立区域法院的可能性。
256.256.
Other topics mentioned for possible discussion by a working group included the appointment or selection of judges or arbitrators, an appeal or review mechanism, the seat of arbitration, applicable law and fees, as well as overall cost of investor-State dispute settlement and the nature and enforcement of awards or judgments.会上提到的可供工作组讨论的其他议题包括法官或仲裁员的指定或挑选、上诉或复审机制、仲裁地、适用法律、收费及投资人与国家间争议解决所涉总费用,以及裁决或判决的性质和执行。
The suggestion was made that it would be useful to consider the role of domestic courts, State-to-State dispute settlement mechanisms and any other means of investment dispute resolution.所提出的一项建议是,不妨考虑国内法院的作用、国与国争议解决机制,以及投资争议解决的其他任何手段。
257.257.
It was mentioned that work on investor-State dispute settlement reform should not be limited to procedural issues relating to investor-State dispute settlement but should encompass a broader discussion on the substantive aspects of international investment agreements, including but not limited to States’ right to regulate, fair and equitable treatment, expropriation and due process requirements.会上提到,投资人与国家间争议解决制度改革的工作不应限于投资人与国家间争议解决的程序问题,而应包括就国际投资协定的实质性方面进行更广泛的讨论,包括但不限于国家监管权、公平公正待遇、征收以及正当程序要求。
Nonetheless, it was stated that work on substantive standards was deemed less feasible than work on the procedural aspects.不过,会上指出,就实质性标准开展工作被认为不如就程序方面开展工作更可行。
258.258.
Considering the above, the prevailing view was that UNCITRAL provided an appropriate multilateral forum to discuss relevant issues in an inclusive and transparent manner, where the interests not only of States but also of other stakeholders could be considered.综上所述,普遍看法是,贸易法委员会提供了以包纳和透明方式讨论相关问题的适当多边论坛,不仅可以考虑到各国的利益,还可以考虑到其他利害相关方的利益。
It was recalled that UNCITRAL had successfully undertaken a reform of investor-State dispute settlement with the preparation of standards on transparency.会上回顾,贸易法委员会拟订透明度准则,已经成功地进行了投资人与国家争议解决制度的一项改革。
259.259.
It was recalled that legislative work by UNCITRAL and its working groups was generally based on consensus.会上回顾,贸易法委员会及其各工作组的立法工作一般是以协商共识为基础的。
It was further recalled that, in accordance with UNCITRAL practice, consensus did not require unanimity, but was instead based on a widely prevailing majority and the absence of a formal objection that would trigger a request for a vote.还回顾,按照贸易法委员会的惯例,协商共识不要求一致通过,而是依据广泛多数以及没有提出正式反对,正式反对将会触发表决请求。
The adoption of an instrument or a text by consensus did not give it any binding nature.以协商一致的方式通过一部文书或案文并不使其具有任何约束性质。
It was stated that efforts should be made to consider all possible options so as to rally the broadest consensus.会上指出,应当作出努力,审议所有可能选项,以争取达成最广泛共识。
260.260.
While a few suggested that Working Group II should be tasked with investor-State dispute settlement reform upon completion of its work on the enforcement of settlement agreements resulting from international commercial conciliation, it was generally felt that it would be preferable to assign that work to another working group so as not to burden Working Group II unduly while it continued to fulfil its mandate.虽有几项发言提出应责成第二工作组在完成其关于执行国际商事调解达成的和解协议的工作之后开展投资人与国家间争议解决制度改革的工作,但普遍认为最好将这一工作指配给另一工作组,以便不使第二工作组在继续执行其任务授权时负担过重。
261.261.
The Commission had a preliminary discussion on the possible dates that could be allocated to a working group tasked with investor-State dispute settlement reform.委员会就分配给负责执行投资人与国家间争议解决制度改革任务的工作组的可能日期进行了初步讨论。
While some expressed a preference for commencing work in 2018 so as to allow for consultations with domestic stakeholders and appropriate consideration of travel-related resources, there was also support for work to be undertaken with priority in 2017.虽然一些发言中表示倾向于2018年启动此项工作,以便能够与国内各利害相关方协商并就旅费相关资源作出适当考虑,但还是支持2017年优先展开这项工作。
(See chapter XX below for the final decision on that matter.)(关于就这一事项作出的最后决定,见下文第二十章。
262.) 262.
The suggestion was made that the Secretariat should look into the possibility of holding working group sessions at locations other than Vienna and New York as a means to increase participation by States and relevant stakeholders.会上提出的一项建议是,秘书处应当研究在维也纳和纽约以外的地点举行工作组届会以此增加各国及利害相关方与会的可能性。
The Secretariat was requested to report back to the Commission on the administrative and financial implications of that suggestion.会议请秘书处以后就这一建议的行政和财务影响向委员会提出报告。
263.263.
Having considered the topics in documents A/CN.9/915, A/CN.9/916 and A/CN.9/917, the Commission decided on the mandate set out below.在审议A/CN.9/915、A/CN.9/916和A/CN.9/917号文件中的主题之后,委员会就下述任务授权作出决定。
264.
264. The Commission entrusted Working Group III with a broad mandate to work on the possible reform of investor-State dispute settlement.委员会赋予第三工作组广泛任务授权,就投资人与国家间争议解决方面的可能改革开展工作。
In line with the UNCITRAL process, Working Group III would, in discharging that mandate, ensure that the deliberations, while benefiting from the widest possible breadth of available expertise from all stakeholders, would be Government-led, with high-level input from all Governments, consensus-based and fully transparent. The Working Group would proceed to:按照贸易法委员会的工作程序,在履行这一任务授权时,第三工作组将确保审议工作由政府主导,各国政府提供高级别投入,基于协商共识,并且完全透明,同时受益于所有利害相关方尽可能最广泛的现有专门知识。
(a) first, identify and consider concerns regarding investor-State dispute settlement; (b) second, consider whether reform was desirable in the light of any identified concerns; and (c) third, if the Working Group were to conclude that reform was desirable, develop any relevant solutions to be recommended to the Commission.工作组将着手:(a)首先,确定并审议与投资人与国家间争议解决有关的关切;(b)其次,根据任何已确定的关切,审议改革是否可取;和(c)再次,如果工作组最后认为改革可取,制定向委员会建议的任何相关解决办法。
The Commission agreed that broad discretion should be left to the Working Group in discharging its mandate, and that any solutions devised would be designed taking into account the ongoing work of relevant international organizations and with a view to allowing each State the choice of whether and to what extent it wished to adopt the relevant solution(s).委员会商定,工作组履行其任务授权应拥有广泛裁量权,任何解决办法的设计均应考虑到相关国际组织正在进行的工作,并着眼于使每一个国家能够选择是否以及在多大程度上希望采用相关解决办法。
265.265.
At the end of the deliberations on the topic of future work in the area of international commercial arbitration, a proposal was made that UNCITRAL should consider preparing model legislative provisions on adjudication.在关于国际商事仲裁领域今后工作这一议题的审议结束时,会上提出一项建议,即贸易法委员会应当考虑拟订关于裁判的示范立法条文。
The proposal was based on experience in the construction industry and legislative developments in a number of jurisdictions that provided for recourse to an “adjudicator” for urgent resolution of disputes through summary proceedings.这项建议依据的是建筑业的经验以及一些法域的立法动态,这些法域就诉诸“裁判人”通过简易程序紧急解决争议作出了规定。
It was said that the introduction of such an adjudicator procedure required a legislative basis, in particular with respect to the enforcement of the interim decision issued by the adjudicator.据指出,引入此种裁判人程序要求有立法依据,特别是在执行裁判人下达的临时决定方面。
Considering the lack of time, the Commission agreed that the proposal could be further presented and considered at its next session, in 2018.考虑到时间不够,委员会同意在2018年委员会下届会议上进一步介绍并审议这一建议。
VII.七.
Consideration of issues in the area of insolvency law: progress report of Working Group V审议破产法领域的问题:第五工作组进度报告
266.266.
The Commission had before it the reports of Working Group V on the work of its fiftieth and fifty-first sessions (A/CN.9/898 and A/CN.9/903, respectively), outlining progress on the following topics on its current work agenda:委员会收到了工作组第五十届和第五十一届会议工作报告(分别为A/CN.9/898、A/CN.9/903),其中概述了工作组目前工作议程下述主题的进展情况:
(a)(a)
Facilitating the cross-border insolvency of multinational enterprise groups, pursuant to a mandate given by the Commission at its forty-third session;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)(b)
Recognition and enforcement of insolvency-related judgments, pursuant to a mandate given by the Commission at its forty-seventh session;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;
(c)(c)
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;企业集团公司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;
(d)(d)
The insolvency treatment of micro, small and medium-sized enterprises, pursuant to a mandate given by the Commission at its forty-seventh session, in 2014, and clarified at its forty-ninth session, in 2016.微型、小型和中型企业破产对待办法,依据是委员会2014年第四十七届会议赋予的一项任务授权,2016年第四十九届会议作了澄清。
267.267.
With respect to the work on enterprise groups, the Commission noted with satisfaction that the Working Group had made significant progress in developing a draft text on that complex and technically challenging topic.关于企业集团方面的工作,委员会满意地注意到工作组制定关于这一复杂且具有技术挑战性主题的案文草案已取得显著进展。
The substance of chapters 2 (arts. 3-11, on cooperation and coordination), 3 (arts. 12-13, on conduct of planning proceedings in the enacting State) and 4 (arts. 14-20, dealing with recognition of foreign planning proceedings and relief) were already well developed.下述章节实质内容的拟订已经充分展开:第2章(关于合作与协调的第3-11条)、第3章(关于颁布国规划程序进行方式的第12-13条)、第4章(涉及承认外国规划程序和救济的第14-20条)。
While the discussion in the Working Group had clarified the policy considerations to be addressed in chapter 5, which addressed the treatment of foreign claims and included optional articles (arts. 22, 22bis and 23), the drafting required some further consideration.虽然工作组的讨论澄清了拟在第5章中处理的政策考虑,其中涉及外国债权的对待办法并包括备选条款(第22、第22之二和23条),但案文措辞仍需作进一步审议。
The Commission also noted that, given the complexity of the subject matter, the text would need to be accompanied by a guide to enactment that not only explained the policy behind the provisions, but also included examples of how the provisions might work in practice.委员会还注意到,鉴于这一主题事项的复杂性,案文将需随附一部颁布指南,其中不仅解释各条款背后的政策考虑,还包括如何在实际中运用各条款的例子。
While it was possible that the draft provisions would be sufficiently developed for consideration and adoption by the Commission in 2018, it was unlikely that the guide to enactment could be completed for consideration at the same time.虽然2018年充分拟订条文草案并提交委员会审议并通过不是没有可能,但颁布指南不可能在同一时间完成供审议。
268.268.
With respect to the work on recognition and enforcement of insolvency-related judgments, the Commission noted with satisfaction the progress that had been made towards the development of a draft model law, as evidenced by the draft text attached as an annex to the report of the fifty-first session (A/CN.9/903).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为拟订一部示范法草案所取得的进展,第五十一届会议报告附件所附案文草案反映了进展情况(A/CN.9/903)。
While a few issues remained to be resolved, including the final definition of the term “insolvency-related judgment”, one of the grounds for refusal of recognition and the relationship between the draft model law and the UNCITRAL Model Law on Cross-Border Insolvency, the Commission noted that the draft text, together with a guide to enactment (which was currently being prepared), might be finalized at the upcoming fifty-second session of the Working Group, in 2017, in time to be circulated to States for comment in anticipation of completion and adoption by the Commission in 2018.虽然尚有几个问题有待解决,其中包括“破产相关判决”的最后定义、拒绝承认的理由之一以及示范法草案与《贸易法委员会跨国界破产示范法》之间的关系,但委员会注意到,案文草案连同一部颁布指南(正在拟订)可能在工作组2017年即将召开的第五十二届会议上最后审定并及时分发给各国征求意见,因此预期委员会将于2018年完成并通过案文草案。
The Commission further noted the steps that had been taken to facilitate close coordination with the Hague Conference on Private International Law, including the Secretariat’s attendance, in February 2017, at the Special Commission on the Recognition and Enforcement of Foreign Judgments.委员会进一步注意到,已经采取步骤促进与海牙国际私法会议的密切协调,包括由秘书处出席2017年2月关于承认和执行外国判决的特别委员会会议。
That coordination had enabled progress on the judgments project of the Hague Conference to be taken into consideration in the draft model law being developed by the Working Group.这一协调使得能够在工作组正在拟订的示范草案中考虑到海牙会议判决书项目所取得的进展。
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.委员会强调确保与海牙会议工作协调的重要性,鼓励秘书处继续在这方面作出努力。
269.269.
On the third 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 that the two texts were consistent in their approaches.关于第三个主题,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进展到足以能够确保这两个案文所采取做法的一致性之前,这项工作还不能提交委员会最后审定并核可。
It was anticipated that if the work on enterprise groups were to be ready for consideration by the Commission in 2018, the text on directors’ obligations could also be submitted for finalization.预期如果企业集团方面的工作到2018年时能够准备就绪供委员会审议,关于公司董事所负义务的案文也可提交供最后审定。
270.270.
The Commission welcomed the initial work that had been done on the topic of insolvency of micro, small and medium-sized enterprises.委员会欢迎就微型、小型和中型企业破产主题进行的初步工作。
It noted in particular that the Working Group had organized, at its fifty-first session, a number of presentations on approaches to micro, small and medium-sized enterprise insolvency and, following those presentations, had held a preliminary discussion on how to approach the topic.委员会特别注意到工作组在其第五十一届会议期间组办了一些关于微型、小型和中型企业破产对待办法的专题介绍,并在此后就如何开展这一主题进行了一次初步讨论。
The Commission further noted that the Working Group had agreed that the UNCITRAL Legislative Guide on Insolvency Law provided an appropriate framework for structuring future work on the topic.委员会进一步注意到,工作组已商定,《贸易法委员会破产法立法指南》提供了构建这一主题今后工作的适当框架。
That work could proceed by examining each of the topics addressed in the Legislative Guide and considering whether the treatment provided was appropriate and necessary for a micro, small and medium-sized enterprise insolvency regime, building upon the brief outline provided in A/CN.9/WG.V/WP.121.为了推进这项工作,可以对《立法指南》中涉及的每一主题进行研究,并在A/CN.9/WG.V/WP.121号文件所提供的概要情况的基础上审议所提供的处理办法是否适合微型、小型和中型企业的破产制度以及是否必要。
Where such treatment was not found to be appropriate, consideration should be given to how it might need to be adjusted to micro, small and medium-sized enterprise insolvency.如此认为此种处理办法不适当,应当考虑如何针对微型、小型和中型企业破产作出必要调整。
In addition, consideration should be given to issues not covered by the Legislative Guide that should nevertheless be addressed in a micro, small and medium-sized enterprise insolvency regime.另外,还应当对未在《立法指南》中涉及,但应当放在微型、小型和中型企业破产制度中处理的问题加以考虑。
The Commission took note that the work might be taken up in 2018 once work on some of the other topics on the current agenda of Working Group V had been finalized.委员会注意到,第五工作组目前议程上其他一些主题的工作一旦最后完成,或许可于2018年启动这项工作。
271.271.
After discussion, the Commission commended the Working Group for the progress that was being made with its current work agenda, in particular for rising to the technical challenge posed by the various topics under consideration and for finding appropriate solutions, as reported above.讨论之后,对于工作组在其目前工作议程上正在取得的进展,特别是如上文所报告的不畏当下审议的各种主题提出的技术挑战而找出适当解决办法,委员会表示赞许。
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 in electronic form 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。
VIII.八.
Legal developments in the area of public procurement and infrastructure development公共采购和基础设施发展领域的法律制定工作
272.272.
The Commission had before it a note by the Secretariat on possible future work in procurement and infrastructure development (A/CN.9/912).委员会收到了秘书处关于采购和基础设施发展领域今后可能开展的工作的说明(A/CN.9/912)。
The Commission recalled its earlier consideration that it would be premature to engage in any type of legislative work on public procurement and infrastructure development, but that in the light of the continued importance of those topics, the Secretariat should (a) continue to monitor developments on suspension and debarment in public procurement and report periodically thereon to the Commission; and (b) consider updating, where necessary, all or parts of the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects (2000), involving experts.委员会回顾其早先的审议,即在公共采购和基础设施发展方面进行任何类型的立法工作时机尚不成熟,但是,鉴于这些主题的持续重要性,秘书处应当(a)继续监测公共采购中暂停和取消资格方面的动态,并定期就此向委员会提出报告;(b)考虑必要时在有专家参与的情况下全部或部分增订《贸易法委员会私人融资基础设施项目立法指南》(2000年)。
273.273.
The Commission noted the importance of suspension and debarment procedures to effective systems of public procurement and in particular the avoidance of corruption.委员会注意到暂停和取消资格程序对于有效的公共采购制度、特别是对于避免腐败的重要性。
It was observed, however, that other organizations, including the United Nations Office on Drugs and Crime (UNODC) and OECD, were engaged in developing guidance on the issues involved.不过,会上指出,包括联合国毒品和犯罪问题办公室(毒品和犯罪问题办公室)以及经合组织在内的其他组织正在制订关于所涉问题的指导意见。
In order to avoid duplication of work, and taking into account that legislative development in UNCITRAL in that area was not considered feasible at present, it was decided that the topic would not be added to the Commission’s agenda in the near future.为避免重复工作,并考虑到贸易法委员会在这一领域的立法制定工作被认为目前尚不可行,会议决定,最近的将来不在委员会议程上增列该主题。
The Secretariat was authorized to conduct a further review of the topic at an appropriate time thereafter and, if that review indicated that legislative work might be desirable and feasible, report to the Commission accordingly.会议授权秘书处此后在适当时候进一步审查这一主题,如果审查表明立法工作可能是可取和可行的,则相应向委员会提出报告。
274.274.
The importance of public-private partnerships to States, particularly developing countries, was also highlighted.会上还强调了公私伙伴关系对各国、特别是对发展中国家的重要性。
The Commission reaffirmed that the mandate to work on that topic should be limited, should not involve a working group, and should involve a Secretariat-led project to update, as necessary, the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects, involving experts.委员会重申,这一专题工作的任务授权应当是有限的,不应动用一个工作组,而应是一个由秘书处主导的项目,在专家参与下,对《贸易法委员会私人融资基础设施项目立法指南》进行必要的增订。
It was also recalled that the Commission had requested the Secretariat to consolidate the provisions of that Legislative Guide with the Model Legislative Provisions on Privately Financed Infrastructure Projects (2003), and noted that the Secretariat-led project included work to consolidate the texts accordingly.还回顾,委员会请秘书处将《立法指南》的条文与《私人融资基础设施项目示范立法条文》(2003年)合并,并注意到秘书处主导的项目包括相应合并这些案文的工作。
The Commission confirmed that the Secretariat should continue to update and consolidate the Legislative Guide and other relevant UNCITRAL materials, and should report further to the Commission, with draft texts as appropriate, at its fifty-first session, in 2018.委员会确认,秘书处应当继续增订、合并《立法指南》及其他相关的贸易法委员会材料,并应向委员会2018年第五十一届会议提出进一步报告并酌情提交起草案文。
275.275.
It was agreed that the Secretariat should also continue to promote the UNCITRAL Model Law on Public Procurement (2011) through activities such as those referred to in documents A/CN.9/905 and A/CN.9/908, which were before the Commission at its current session (see chapters X and XIV of the present report).会议一致认为,秘书处还应继续通过诸如委员会本届会议所收到的A/CN.9/905和A/CN.9/908号文件提及的活动(见本报告第十和第十四章),推广《贸易法委员会公共采购示范法》(2011年)。
276.276.
It was also emphasized that the above-mentioned activities should be undertaken taking into account the resources available to the Secretariat.还强调指出,应当在考虑到秘书处现有资源的情况下开展上述活动。
IX.九.
Endorsement of texts of other organizations: the Uniform Rules for Forfaiting of the International Chamber of Commerce赞同其他组织的法规:《国际商会福费廷统一规则》
277.277.
ICC requested the Commission to consider possible endorsement of the ICC Uniform Rules for Forfaiting.国际商会请委员会考虑视可能赞同《国际商会福费廷统一规则》。
The Commission recalled that it had endorsed a number of ICC texts, such as the Incoterms 2010, the Uniform Rules for Demand Guarantees: 2010 Revision, the Uniform Customs and Practices for Documentary Credits, the Incoterms 2000, the International Standby Practices, the Uniform Rules for Contract Bonds and the Uniform Customs and Practices for Documentary Credits.委员会回顾,委员会曾经赞同国际商会的一些法规,例如,《2010年国际贸易术语解释通则》、《见索即付保函统一规则:2010年修订本》、《跟单信用证统一惯例》、《2000年国际贸易术语解释通则》、《国际备用证惯例规则》、《契约保证单统一规则》、《跟单信用证统一惯例》。
278.278.
It was noted that the objective of the Uniform Rules for Forfaiting was to facilitate, without recourse, financing of receivables arising from international trade transactions by providing a new set of rules applicable to forfaiting transactions.会上指出,《福费廷统一规则》的目的是通过提供一套适用于福费廷交易的新规则,促进国际贸易交易所产生应收款的无追索权融资。
The Commission further noted that forfaiting transactions were covered by the Assignment Convention and the UNCITRAL Model Law on Secured Transactions, and that the Uniform Rules complemented and were consistent with the provisions of the Convention and the Model Law.委员会还注意到,《转让公约》和《贸易法委员会担保交易示范法》涵盖福费廷交易,《统一规则》是对该《公约》和《示范法》所载条文的补充,并与这些条文相一致。
279.279.
Taking note of the usefulness of the Uniform Rules in facilitating international trade, the Commission, at its 1059th meeting, on 14 July 2017, adopted the following decision:委员会注意到《统一规则》对促进国际贸易的有益作用,在2017年7月14日第1059次会议上通过了下述决定:
The United Nations Commission on International Trade Law,联合国国际贸易法委员会,
Expressing its appreciation to the International Chamber of Commerce for transmitting to it the Chamber’s Uniform Rules for Forfaiting, which were approved by the Chamber’s Banking Commission in November 2012 and adopted by the Chamber’s Executive Board in December 2012, with effect from 1 January 2013,赞赏国际商会向其转呈《国际商会福费廷统一规则》,该规则由国际商会银行委员会于2012年11月核准,由国际商会执行委员会于2012年通过,自2013年1月1日起生效,
Congratulating the International Chamber of Commerce on having made a further contribution to the facilitation of international trade by providing a new set of rules applicable to forfaiting transactions,祝贺国际商会通过提供一套适用于福费廷交易的新规则,又一次为促进国际贸易作出贡献,
Noting that the Uniform Rules for Forfaiting constitute a valuable contribution to the facilitation of international receivables financing and thus international trade,注意到《福费廷统一规则》是对促进国际应收款融资并因而对促进国际贸易作出的宝贵贡献,
Also noting that the Uniform Rules for Forfaiting complement a number of international trade law instruments, including the United Nations Convention on the Assignment of Receivables in International Trade (New York, 2001) and the UNCITRAL Model Law on Secured Transactions,还注意到《福费廷统一规则》补充了一些国际贸易法文书,其中包括《联合国国际贸易中应收款转让公约》(2001年,纽约)和《贸易法委员会担保交易示范法》,
Commends the use of the Uniform Rules for Forfaiting, as appropriate, in forfaiting transactions.建议在福费廷交易中酌情使用《福费廷统一规则》。
X.十.
Technical assistance to law reform法律改革技术援助
280.280.
The Commission had before it a note by the Secretariat (A/CN.9/905) on technical cooperation and assistance activities undertaken since the last report to the Commission in 2016 (A/CN.9/872).委员会收到了秘书处关于自2016年向委员会提交上次报告(A/CN.9/872)以来开展技术合作与援助活动的说明(A/CN.9/905)。
The Commission stressed that technical cooperation and assistance continued to be an important part of the Secretariat’s activities aimed at ensuring that the legislative texts developed and adopted by the Commission were enacted or adopted by States and applied and interpreted in a uniform manner so as to promote the basic goal of harmonization of international trade law.委员会强调,技术合作与援助仍然是秘书处活动的一个重要组成部分,其目的是确保委员会所制定和通过的法规立法案文为各国颁布和通过并以统一方式加以适用和解释,从而促进统一国际贸易法这一基本目标。
Such technical assistance and cooperation activities enabled the Secretariat to provide States with information, including technical information, about the enactment of UNCITRAL texts, as well as with drafting assistance, practical experience of enactment, and information and advice on the interpretation and implementation of texts.这种技术援助与合作活动使秘书处能够向各国提供关于颁布贸易法委员会法规的信息,包括技术信息,同时附带起草援助、实际颁布经验,以及法规解释和执行方面的信息和建议。
The Commission acknowledged that the development of legislative texts was only the first step in the process of trade law harmonization and that technical cooperation and assistance activities were vital to the further use, adoption and interpretation of those legislative texts.委员会承认,制定立法案文只是统一贸易法过程的第一步,技术合作与援助活动对于这些立法案文的进一步使用、通过和解释至关重要。
The Commission expressed its appreciation for the work undertaken by the Secretariat in that regard.委员会对秘书处在这方面开展的工作表示赞赏。
281.281.
The Commission noted that the continuing ability to respond to requests from States and regional organizations for those activities was dependent upon the availability of funds to meet associated costs.委员会注意到,能否继续响应各国和各区域组织对这些活动的请求,取决于是否有资金支付相关费用。
With respect to the UNCITRAL Trust Fund for Symposia, the Commission acknowledged the contribution by the Republic of Korea in support of participation in the Asia-Pacific Economic Cooperation (APEC) Ease of Doing Business project (as noted in A/CN.9/905, paras. 18 and 67).关于贸易法委员会专题讨论会信托基金,委员会对大韩民国为支持参与亚洲太平洋经济合作组织(亚太经合组织)经商便利项目所作的贡献(如A/CN.9/905,第18和67段所述)表示感谢。
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,尽管秘书处为寻求新捐款作出种种努力,但贸易法委员会专题讨论会信托基金所能支配的资金非常有限。
Accordingly, requests for technical cooperation and assistance activities continued to be considered very carefully and the number of such activities was limited.因此,对于各种技术合作与援助活动请求仍然要非常认真考虑,此类活动的数量有限。
Of late, they had mostly been carried out on a cost-share or no-cost basis.近来,这些活动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 and 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.委员会还鼓励秘书处在提供技术援助时寻求与各国际组织开展合作并建立伙伴关系,包括通过各区域办事处以及双边援助提供者。
The Commission 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.委员会呼吁所有国家、国际组织和其他相关实体促进此种合作,并采取任何其他举措最大限度地在法律改革中使用贸易法委员会的相关标准。
282.282.
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 for technical cooperation and assistance activities.委员会再次呼吁所有国家、国际组织和其他有关实体考虑向贸易法委员会专题讨论会信托基金提供捐款,可能的话采用多年期捐款形式,或提供专门用途捐款,以便于进行规划并使秘书处能够满足越来越多的技术合作和援助活动请求。
283.283.
The Commission appealed to the relevant bodies of the United Nations system, organizations, institutions and individuals to make voluntary contributions to UNCITRAL Trust Fund for travel assistance to developing countries.委员会呼吁联合国系统相关机构、各组织、机构和个人向为发展中国家提供旅费补助的贸易法委员会信托基金提供自愿捐款。
The Commission noted that resources had been provided to El Salvador, Honduras and Sri Lanka to attend the forty-ninth session of the Commission and to Armenia, Côte d’Ivoire and Sierra Leone to attend sessions of working groups II, IV and VI.委员会注意到为萨尔瓦多、洪都拉斯和斯里兰卡出席委员会第四十九届会议提供了资源,并为亚美尼亚、科特迪瓦和塞拉利昂出席第二、第四和第六工作组届会提供了资源。
284.284.
With regard to the dissemination of information on UNCITRAL work and texts, the Commission noted the important role played by the UNCITRAL website (www.uncitral.org) and the UNCITRAL Law Library.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。
The Commission welcomed the Library’s inclusion on the UNCITRAL website of a new feature highlighting the role of UNCITRAL in supporting the Sustainable Development Goals.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,突出介绍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 had also been welcomed by the General Assembly.委员会回顾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准则开发此种功能。
In that 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开发了“贸易法委员会有何新动向?”、“Tumblr微博”,并在LinkedIn上为贸易法委员会开辟一席之地。
Finally, recalling the General Assembly resolutions commending the website’s six-language interface, the Commission requested the Secretariat to continue to provide, on the website, UNCITRAL texts, publications, and related information in a timely manner and in the six official languages of the United Nations.最后,委员会回顾大会一些决议赞扬该网站使用六种语文界面,请秘书处继续在该网站上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。
XI.十一.
UNCITRAL regional presence贸易法委员会的区域存在
A.A.
Regional Centre for Asia and the Pacific亚洲及太平洋区域中心
285.285.
The Commission had before it a note by the Secretariat on the activities undertaken by its Regional Centre for Asia and the Pacific (A/CN.9/910) and a note by the Secretariat on technical cooperation and assistance (A/CN.9/905, part II) that incorporated the activities undertaken in the region covered by the Regional Centre, and heard an oral report by the Head of the Regional Centre.委员会收到了秘书处关于亚洲及太平洋区域中心开展的活动的说明(A/CN.9/910)和秘书处关于技术合作和援助的说明(A/CN.9/905,第二部分),其中纳入了在该区域中心所涵盖区域开展的活动,并听取了区域中心主任的口头报告。
286.286.
The Commission acknowledged the noticeable progress, made as a result of the regional activities of the Secretariat through the Regional Centre, in terms of awareness, adoption and implementation of UNCITRAL texts in Asia and the Pacific.委员会承认,由于秘书处通过该区域中心开展区域活动,亚洲及太平洋在了解、通过和执行贸易法委员会法规方面取得了显著进展。
287.287.
Strong support was expressed for the various activities undertaken by the Secretariat and the Regional Centre, which were aimed at:会上对秘书处及该区域中心开展的各项活动表示强烈支持,这些活动着眼于:
(a)(a)
Providing capacity-building and technical assistance services to States in Asia and the Pacific, including to international and regional organizations and development banks.向亚洲及太平洋区域国家提供能力建设和技术援助服务,包括向国际和区域组织以及开发银行提供援助。
The Commission emphasized that key goal and how such efforts were also positively impacting the regional contributions to the work of UNCITRAL;委员会强调这一关键目标,着重说明这些努力如何也积极影响到对贸易法委员会工作的区域贡献;
(b)(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;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)(c)
Building and participating in regional international trade law partnerships and alliances, including with other appropriate United Nations funds, programmes and specialized agencies, and furthering the establishment of such partnerships.构建并参加区域范围国际贸易法伙伴关系和联盟,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,并促进建立此种伙伴关系。
The Commission noted with appreciation the participation, as a non-resident agency, in the efforts of the United Nations to deliver as one in the Lao People’s Democratic Republic-United Nations Partnership Framework 2017-2021, in the United Nations Development Assistance Framework (UNDAF) Papua New Guinea 2018-2022 and in the United Nations Pacific Strategy 2018-2022.委员会赞赏地注意到作为一个非驻地机构参与了联合国一体行动的下述努力:老挝人民民主共和国与联合国2017-2021年伙伴关系框架、联合国发展援助框架(联发援框架)2018-2022年巴布亚新几内亚项目,以及2018-2022年联合国太平洋战略。
The Commission also welcomed the agreement on collaboration with the Asian Development Bank aimed at reforming arbitration laws in the South Pacific, focusing on assistance towards accession to the Convention on the Recognition and Enforcement of Foreign Arbitral Awards, done at New York on 10 June 1958 (New York Convention);委员会还欢迎与亚洲开发银行的旨在改革南太平洋仲裁法的合作协定,其侧重点是为加入1958年在纽约订立的《承认及执行外国仲裁裁决公约》《纽约公约》提供援助;
(d)(d)
Strengthening information, knowledge and statistics through briefings, workshops, seminars, publications, social media and information and communications technologies, including in regional languages;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,包括使用各种区域性语文,加强信息、知识和统计工作;
(e)(e)
Functioning as a channel of communication between States in the region and the Secretariat.发挥该区域各国与秘书处沟通渠道的作用。
The Commission reiterated the suggestion, made at its forty-seventh session, that States designate focal points in charge of coordinating with the Regional Centre, on non-legislative regional activities of the Secretariat.委员会再次重申其第四十七届会议提出的建议,即各国应指定负责在秘书处非立法性区域活动方面与该区域中心进行协调的联络点。
The Commission further recommended the Secretariat to continue enhancing its communication with States in the region.委员会进一步建议秘书处继续加强其与区域各国的沟通。
288.288.
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 in the region to provide voluntary contributions to the project.委员会请秘书处积极进行筹资活动,以便使该区域中心能够开展活动,并促请该区域成员国为该项目提供自愿捐助。
289.289.
The Commission was informed that the Secretariat had completed the necessary arrangements for the extension of the support given by the Government of the Republic of Korea for the operation of the Regional Centre, covering an additional five-year period, from 2017 to 2021, 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.委员会了解到,秘书处已完成将大韩民国政府支持区域中心运作的期限自2017年至2021年再展延5年的必要安排,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。
The Government of the Republic of Korea extended its offer for 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.除大韩民国政府已经提供的办公室场所、设备和家具之外,大韩民国政府展延了对贸易法委员会专题讨论会信托基金每年450,000美元捐款的提议。
The Republic of Korea also extended its offer to provide the non-reimbursable loan of a legal expert to engage in technical cooperation and assistance activities for the coming years.大韩民国政府还展延了提供一名无偿借用的专家以在未来几年当中进行技术合作与援助活动的提议。
The Commission expressed its gratitude to the Government of the Republic of Korea for the generous gesture to extend its contribution, making possible the continued operation of the Regional Centre.委员会感谢大韩民国政府以慷慨姿态展延其捐助期,从而使区域中心能够继续运作。
290.290.
The Commission noted with appreciation the extension by the Government of Hong Kong, China, of the arrangement to contribute a non-reimbursable loan of a legal expert to the Regional Centre to engage in technical cooperation and assistance activities for a second year.委员会赞赏地注意到中国香港政府将向区域中心提供一名法律专家以进行技术合作与援助活动的无偿借用捐助安排展延一年。
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。
B.B.
Proposals for the establishment of other regional centres关于建立其他区域中心的提议
291.291.
The Commission heard a statement by Cameroon recalling the commitment of the country, through the Chair of the forty-ninth session of the Commission, to seeking to develop the interest of African States in UNCITRAL and to enhancing their participation in its activities.委员会听取了喀麦隆的发言,其中回顾该国通过委员会第四十九届会议主席致力于寻求增进非洲国家对贸易法委员会的兴趣并加强这些国家对委员会活动的参与。
In that context, the Commission welcomed the announcement by Cameroon that it was in the process of accession to and ratification of the United Nations Convention on Contracts for the International Sale of Goods (Vienna, 1980) (United Nations Sales Convention), the Rotterdam Rules, the United Nations Convention on the Use of Electronic Communications in International Contracts (New York, 2005), and the United Nations Convention on Transparency in Treaty-based Investor-State Arbitration (New York, 2014) (Mauritius Convention on Transparency).在这方面,委员会欢迎喀麦隆宣布该国已进入加入和批准《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》、《鹿特丹规则》、《联合国国际合同使用电子通信公约》(2005年,纽约)和《联合国投资人与国家间基于条约仲裁透明度公约》(2014年,纽约)《毛里求斯透明度公约》的程序。
The Commission also noted with appreciation that the fiftieth anniversary of UNCITRAL had been celebrated in a well-attended event in Cameroon, entitled “UNCITRAL at 50 and arbitration in Africa”.委员会还赞赏地注意到喀麦隆举行了一次贸易法委员会五十周年庆祝活动,许多人出席了这次活动,活动主题是“贸易法委员会五十周年和仲裁在非洲”。
292.292.
The Commission was advised that Cameroon proposed to host an UNCITRAL regional centre for Africa, subject to the relevant rules and regulations of the United Nations and the internal approval process of the Office of Legal Affairs of the Secretariat.委员会获悉,喀麦隆提议按照联合国相关规则和条例以及秘书处法律事务厅内部核准程序,担任贸易法委员会非洲区域中心的东道国。
The objectives of the regional centre would be to contribute to the interest of relevant stakeholders in the region in the work of the Commission and to promote the adoption, use and understanding of UNCITRAL texts in Africa.区域中心的目标将是增进该区域各利害相关方对委员会工作的兴趣,并促进非洲通过、使用和认识贸易法委员会法规。
293.293.
The Commission expressed its gratitude to the Government of Cameroon for its proposal.委员会感谢喀麦隆政府所作提议。
The Commission noted that the specific offer received from the Government of Cameroon was for a pilot project under which its ministries of justice, trade, finance and foreign affairs had pledged to contribute to the establishment and operation of an UNCITRAL regional centre for Africa that would rely entirely on extrabudgetary resources and would be inspired by the model followed for the establishment of the UNCITRAL Regional Centre for Asia and the Pacific.委员会注意到,从喀麦隆政府收到的具体提议是针对某一试点项目,对于该项目,喀麦隆司法、贸易、财政和外交事务各部均已承诺将为贸易法委员会非洲区域中心的设立和运行提供捐助,该中心将完全依赖预算外资源,并将借鉴设立贸易法委员会亚洲及太平洋区域中心所依循的模式。
The Commission approved the establishment of the UNCITRAL Regional Centre for Africa in Cameroon, subject to the relevant rules and regulations of the United Nations and the internal approval process of the Office of Legal Affairs.委员会核准在遵守联合国相关规则和条例以及法律事务厅内部核准程序的前提下,在喀麦隆设立贸易法委员会非洲区域中心。
The Secretariat was requested to take the necessary steps for the establishment of the UNCITRAL Regional Centre for Africa and to keep the Commission informed of developments, including its funding and budget situations.委员会请秘书处为设立贸易法委员会非洲区域中心采取必要步骤,并向委员会通报进展情况,包括其筹资和预算情况。
294.294.
The Commission’s attention was also drawn to its statements at previous sessions about the importance of a regional presence for raising awareness of the work of UNCITRAL and, particularly, for promoting the adoption and uniform interpretation of UNCITRAL texts.会上还提请委员会注意以往届会上的发言提到区域存在对于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。
In view of the successful activities of the Regional Centre for Asia and the Pacific, further efforts should be made to establish an UNCITRAL presence in other regions.鉴于亚洲及太平洋区域中心成功开展的活动,应当作出进一步努力,在其他区域确立贸易法委员会的存在。
295.295.
The Bahrain Chamber for Dispute Resolution advised that the Government of Bahrain was actively pursuing the establishment, subject to the relevant rules and regulations of the United Nations and the internal approval process of the Office of Legal Affairs, of an UNCITRAL regional centre for the Middle East and North Africa in that State to increase familiarity with UNCITRAL texts and their level of adoption and use in the region.巴林争议解决会所告知,巴林政府正在积极争取按照联合国相关条例和规则以及法律事务厅的内部核准程序,在该国设立贸易法委员会中东和北非区域中心,以增进该区域对贸易法委员会法规的了解以及通过和使用这些法规的程度。
The objectives of the proposed regional centre would be to provide technical assistance to States on the adoption, use and understanding of UNCITRAL texts, to coordinate with international and regional organizations on trade law reform projects in the region, to coordinate communication between States in the region and UNCITRAL and its secretariat, and to build and participate in appropriate regional partnerships and alliances, including with other United Nations bodies.所提议的区域中心的目标是就通过、使用和理解贸易法委员会法规向各国提供技术援助,就该区域的贸易法改革项目与国际组织和区域组织进行协调,协调该区域各国与贸易法委员会及其秘书处之间的联络,并建立和参加适当的区域性伙伴关系和联盟,包括与联合国其他机构的伙伴关系和联盟。
296.296.
The Commission expressed its gratitude to the Government of Bahrain for its proposal.委员会感谢巴林政府所作提议。
The Commission noted that the specific offer received from the Government of Bahrain was for a pilot project under which the Bahrain Chamber for Dispute Resolution, in cooperation with other government authorities, had pledged to contribute to the establishment and operation of an UNCITRAL regional centre for the Middle East and North Africa that would rely entirely on extrabudgetary resources and would be inspired by the model followed for the establishment of the UNCITRAL Regional Centre for Asia and the Pacific.委员会注意到,从巴林政府收到的具体提议是针对某一试点项目,对于该试点项目,巴林争议解决会所协同其他政府主管部门,已承诺 将为贸易法委员会中东和北非区域中心的设立和运行提供捐助,该中心将完全依赖预算外资源,并将借鉴设立贸易法委员会亚洲及太平洋区域中心所依循的模式。
The Commission approved the establishment of the UNCITRAL Regional Centre for Middle East and North Africa in Bahrain, subject to the relevant rules and regulations of the United Nations and the internal approval process of the Office of Legal Affairs.贸法会核准在遵守联合国相关规则和条例以及法律事务厅内部核准程序的前提下,在巴林设立贸易法委员会中东和北非区域中心。
The Secretariat was requested to take the necessary steps for the establishment of the UNCITRAL Regional Centre for the Middle East and North Africa and to keep the Commission informed of developments, including its funding and budget situations.委员会请秘书处为设立贸易法委员会中东和北非区域中心采取必要步骤,并向委员会通报进展情况,包括其筹资和预算情况。
XII.十二.
Promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts促进可确保贸易法委员会法规统一解释和适用的方式方法
297.297.
The Commission considered document A/CN.9/906, on promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts, which provided current information on the system for collecting and disseminating information on court decisions and arbitral awards relating to UNCITRAL texts (CLOUT) and the digests of case law.委员会审议了关于促进可确保贸易法委员会法规统一解释和适用的方式方法的A/CN.9/906号文件,其中提供了贸易法委员会法规相关法院判决和仲裁裁决信息收集和传播系统(判例法系统)以及判例法摘要集的最新情况。
298.298.
As in previous sessions, the Commission commended the Secretariat for its work on CLOUT and noted with appreciation the increasing number of UNCITRAL legislative texts that were available in the system.与前几届会议一样,委员会赞扬秘书处就法规判例法开展的工作,并赞赏地注意到该系统涉及的贸易法委员会立法案文越来越多。
As at the date of document A/CN.9/906, 179 issues of compiled case-law abstracts had been prepared, dealing with 1,661 cases.截至A/CN.9/906号文件的日期,已编写179期判例法摘要汇编,涉及1,661个判例。
At the date of the oral report to the Commission, that number had arisen to 180 issues for a total of 1,771 cases.截至向委员会作口头报告之日,该数字已增加到180期,共有1,771个判例。
The cases related to the following texts:这些判例涉及下列法规:
• 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,纽约)和经1980年4月11日《议定书》修正的《国际货物销售时效期限公约》(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• 《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)
• Electronic Communications Convention• 《电子通信公约》
• UNCITRAL Model Law on International Commercial Arbitration (1985) as amended in 2006• 《贸易法委员会国际商事仲裁示范法》(1985年),2006年修正
• UNCITRAL Model Law on International Credit Transfers (1992)• 《贸易法委员会国际贷记划拨示范法》(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)
299.299.
The Commission took note that there were no meaningful changes in respect of figures provided at its forty-ninth session, in 2016, as to the jurisdictions contributing abstracts to CLOUT.委员会注意到,就为法规判例法提供摘要的法域而言,与2016年第四十九届会议上提供的数字相比变化不明显。
The Commission also took note that the majority of the abstracts published referred to countries in the Group of Western European and other States.委员会还注意到,出版的摘要多数涉及西欧组国家及其他国家。
With regard to the legislative texts available in the system, the United Nations Sales Convention and the UNCITRAL Model Law on International Commercial Arbitration were still the most reported, although there had been a modest but continuous increase of cases concerning the UNCITRAL Model Law on Cross-Border Insolvency and the New York Convention.关于该系统涉及的立法案文,《联合国销售公约》和《贸易法委员会国际商事仲裁示范法》仍然是涉及最多的,不过,涉及《贸易法委员会跨国界破产示范法》和《纽约公约》的判例不断略有增加。
300.300.
The Commission was informed that the Secretariat had coordinated a new round of appointments of national correspondents for the period 2017-2022.委员会获悉,秘书处对2017-2022年期间国家通讯员新一轮任命进行了协调。
The Commission further noted that in the period reviewed in document A/CN.9/906, national correspondents had provided approximately 53 per cent of the abstracts published in CLOUT.委员会还注意到,在A/CN.9/906号文件所审查期间,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53%。
Although the contribution from the national correspondents was large, it was observed that the materials had mainly been prepared by a small number of correspondents, while the majority had been unable to contribute for the entire duration of their mandate.虽然国家通讯员供稿比例很高,但注意到这些材料主要由少数通讯员编写,而多数通讯员在整个任务期间未能供稿。
301.301.
The Commission expressed its appreciation for the publication of the updated digest of case law relating to the United Nations Sales Convention on the UNCITRAL website in English and Arabic.委员会表示赞赏在贸易法委员会网站上以英文和阿拉伯文出版最新的《联合国销售公约》判例摘要集。
The Commission acknowledged that translation of the digest into the other official languages of the United Nations was ongoing.委员会确认,将摘要集译成联合国其他正式语文的工作正在进行当中。
302.302.
The Commission noted with satisfaction the performance of the website www.newyorkconvention1958.org, the continuous efforts to improve its content and accessibility on all electronic supports, and the successful coordination between that website and CLOUT.委员会还满意地注意到网站www.newyorkconvention1958.org的运作情况、其旨在改进关于所有电子支持的内容和易读性的持续努力以及该网站与法规判例法之间的成功协调。
303.303.
The Commission was informed that, in order for CLOUT to remain consistent with its original purpose, reach higher volumes of users and provide those users with extensive information on the interpretation of UNCITRAL texts, a further strengthening or reorganization of the system should be explored.委员会获悉,为了使法规判例法始终保持其最初宗旨,扩大用户量,并向这些用户提供关于贸易法委员会法规解释的广泛信息,应当探索进一步加强或重组该系统。
In that regard, it was noted that CLOUT was established at a time in which the desired information on the interpretation of UNCITRAL texts was available to a limited extent.在这方面,会上指出,法规判例法系统建立之时所需要的贸易法委员会法规解释方面的信息只能在有限范围内获得。
At the same time, a wealth of well-established commercial and non-commercial legal resources had been developed, both online and on paper, on domestic and international case law, including case law that applied UNCITRAL texts, which had greatly facilitated access to legal information worldwide.与此同时,无论是网上还是纸面,关于国内和国际判例法,包括关于适用贸易法委员会法规的判例法,已经发展了大量丰富而完善的商业性和非商业性法律资源,从而极大地便利了在全世界范围获得法律信息。
It would thus be timely for the Commission to consider the most appropriate way forward for the system.因此,委员会对最适合这一系统向前发展的方向进行审议正当其时。
In that respect, while reaffirming the Secretariat’s mandate to coordinate CLOUT and the preparation of digests, the Commission noted that the Secretariat, after consulting with CLOUT national correspondents, might provide more detailed information on possible ways to approach that matter for the Commission’s consideration at its future sessions.在这方面,委员会重申秘书处在协调法规判例法和编写摘要集工作方面的任务授权,同时指出,秘书处经与法规判例法国家通讯员协商,不妨就处理这一事项的可能办法提供更详细的信息,供委员会今后届会审议。
304.304.
The Commission also heard an oral report of the meeting of national correspondents.委员会还听取了国家通讯员会议的口头报告。
The Commission was informed that the Secretariat had given a presentation of document A/CN.9/906, which had provided the opportunity to brief the newly appointed national correspondents on the structure and functioning of the CLOUT system and on their responsibilities as national correspondents.委员会获悉,秘书处对A/CN.9/906号文件作了介绍,借此机会向新任国家通讯员简要介绍了法规判例法系统的结构和运作以及其作为国家通讯员的职责。
Moreover, information had been provided on how the UNCITRAL secretariat promoted the uniform application of UNCITRAL texts, including by collaborating with Unidroit and the Hague Conference on Private International Law.此外,介绍了贸易法委员会秘书处如何促进贸易法委员会法规的统一适用,包括与统法协会和海牙国际私法会议的协作。
Ways to further improve the performance of the CLOUT system in order to reach an increasingly higher volume of users had also been discussed at the meeting.这次会议讨论了为使用户量不断扩大而进一步改进法规判例法系统运作的方法以便。
It was noted that those exchanges of views would further continue in order to involve those correspondents who could not attend the meeting, and would inform the Secretariat’s notes on the subject for consideration at future Commission sessions.会上指出,这些意见交流将继续下去,以使未能出席会议的通讯员参与其中,而且这些意见交流将反映在秘书处关于这一主题的说明中,供委员会今后届会审议。
XIII.十三.
Status and promotion of UNCITRAL legal texts贸易法委员会各项法规的现状和推广
A.A.
General discussion一般性讨论
305.305.
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.9/909).委员会以秘书处的一份说明(A/CN.9/909)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-ninth session.委员会赞赏地注意到自其第四十九届会议以来收到的关于条约行动和立法颁布情况的信息。
306.306.
The Commission also noted the following actions and legislative enactments made known to the Secretariat subsequent to the submission of the Secretariat’s note:委员会还注意到在秘书处的说明提交之后向秘书处通报的下述行动和立法颁布情况:
(a)(a)
Mauritius Convention on Transparency — signature by Cameroon (3 States parties);《毛里求斯透明度公约》——喀麦隆签署(3个缔约国);
(b)(b)
United Nations Sales Convention — accession by Fiji (86 States parties);《联合国销售公约》——斐济加入(86个缔约国);
(c)(c)
Electronic Communications Convention — accession by Fiji (8 States parties).《电子通信公约》——斐济加入(8个缔约国)。
307.307.
The Commission expressed appreciation to the General Assembly for the support it provided to UNCITRAL in its activities and in particular in its distinct role in furthering the dissemination of international commercial law.委员会感谢大会对贸易法委员会的活动特别是贸易法委员会在促进传播国际商法方面的独特作用所提供的支持。
In particular, the Commission referred to the long-established practice of the General Assembly, upon acting on UNCITRAL texts, to recommend to States to give favourable consideration to UNCITRAL texts and to request the Secretary-General to publish UNCITRAL texts, including electronically, in the six official languages of the United Nations, and take other measures to disseminate UNCITRAL texts as broadly as possible to Governments and all other relevant stakeholders.尤其是,委员会提到大会的长期惯例,即在就贸易法委员会法规采取行动时建议各国积极考虑贸易法委员会法规并请秘书长以联合国六种正式语文发布贸易法委员会法规,包括以电子方式发布,并采取其他措施尽可能广泛地向各国政府和其他所有相关利害关系方传播贸易法委员会法规。
B.B.
Functioning of the transparency repository透明度存储处的运作
308.308.
The Commission recalled that, under article 8 of the UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration (Transparency Rules), the repository of published information under the Transparency Rules (transparency repository) was to be established.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》)第8条,将需设立根据《透明度规则》所公布信息的存储处(透明度存储处)。
309.309.
The Commission further recalled that, at its forty-sixth session, in 2013, it had expressed its strong and unanimous opinion that the UNCITRAL secretariat should fulfil the role of the transparency repository.委员会又回顾,委员会2013年第四十六届会议表示了强烈的一致意见,即贸易法委员会秘书处应当履行透明度存储处职能。
It had been said that the United Nations, as a neutral and universal body, and its Secretariat, as an independent organ under the Charter of the United Nations, should be expected to undertake the core functions of a transparency repository as a public administration directly responsible for the servicing and proper operation of its own legal standards.会上指出,作为中立和普遍机构的联合国和作为《联合国宪章》下独立机关的联合国秘书处理当履行透明度存储处的核心职能,成为一个直接负责自身法律标准维护服务和适当施行的公共管理机构。
310.310.
The Commission also recalled that, at its forty-seventh session, in 2014, the Secretariat had reported on steps taken in respect of the transparency repository function to be performed.委员会还回顾,在2014年第四十七届会议上,秘书处报告了所采取的与拟履行的透明度存储处职能有关的步骤。
311.311.
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.委员会进一步回顾,委员会2015年第四十八届会议重申其强烈的一致意见,即委员会秘书处应当履行透明度存储处职能,并且应当建立和运行透明度存储处,初期作为试点项目。
It also recalled that the General Assembly, in its resolution 70/115, had 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.大会第70/115号决议请秘书长根据《透明度规则》第8条的规定,通过委员会秘书处建立和运行根据《透明度规则》所公布信息的存储处,初期作为试点项目,直至2016年底,完全由自愿捐款提供资金。
312.312.
The Commission noted that the General Assembly, in its resolution 71/135, on the report of the Commission on the work of its forty-ninth session, had requested the Secretary-General to continue with the pilot project until the end of 2017, to be funded entirely by voluntary contributions.委员会注意到大会在其关于委员会2016年第四十九届会议工作报告的第71/135号决议中请秘书长继续维持这一完全由自愿捐款提供资金的试点项目,直至2017年底。
313.313.
The Commission noted with appreciation that the Secretariat had received a grant from the Fund for International Development (OFID) of the Organization of the Petroleum Exporting Countries in the amount of $125,000 and funding by the European Commission in the amount of 100,000 euros, which would allow the secretariat of the Commission to operate the pilot project until the end of 2017.委员会赞赏地注意到,秘书处收到来自石油输出国组织国际发展基金的125,000美元赠款和欧盟委员会的100,000欧元资金,这使得委员会秘书处能够将试点项目运行到2017年底。
314.314.
The Commission recalled that a legal officer had been hired in April 2016 to operate the transparency repository.委员会回顾,2016年4月雇用了一名法律干事运行透明度存储处。
The Commission noted that the Secretariat had received an increased 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 (the UNCITRAL transparency standards).委员会注意到,秘书处收到的有关《透明度规则》的询问增加,秘书处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(贸易法委员会透明度标准)开展能力建设活动的次数也稳步增加。
The Commission was further informed that a number of educational activities had taken place and that the UNCITRAL transparency standards were included in several academic programmes, including moots such as the Willem C. Vis International Commercial Arbitration Moot, the Frankfurt Investment Arbitration Moot Court, the Foreign Direct Investment International Arbitration Moot and the IBA-VIAC Mediation and Negotiation Competition.委员会还获悉开展了一些教育活动,贸易法委员会透明度标准也已列入若干教学方案,其中包括维斯国际商事仲裁模拟辩论赛、法兰克福投资仲裁模拟仲裁庭、外国直接投资国际仲裁模拟辩论赛以及国际律师协会/维也纳国际仲裁中心的调解和谈判辩论赛。
As a result, more than 3,800 students became familiar with the UNCITRAL transparency standards.通过这些活动,已有3,800多名学生接触到贸易法委员会透明度标准。
315.315.
The Commission was informed about the launch of a new 18-month project under the overall project “Open regional fund — legal reform”, conducted by the Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ), upon appointment by the Federal Ministry for Economic Cooperation and Development of Germany (BMZ).委员会获悉,经德国联邦经济合作与发展部(联邦经济合作部)任命,德国国际合作公司在“开放区域基金——法律改革”总项目下启动了一个新的18个月项目。
Among the main aims of the project was the promotion of the UNCITRAL transparency standards in South-Eastern Europe.该项目的主要目标之一是在东南欧推广贸易法委员会透明度标准。
316.316.
The Commission noted that, overall, and partly as a result of the promotional activities, the trend in investor-State dispute settlement was moving towards transparency.委员会注意到,总体来看,作为推广活动的部分结果,投资人与国家间争议解决的趋势正在朝着透明度方向发展。
The Commission also noted that, after ratification by Mauritius, Canada and Switzerland (listed in chronological order of ratification), the Mauritius Convention on Transparency would enter into force on 18 October 2017.委员会还注意到,在毛里求斯、加拿大和瑞士(按批准时间排列)批准《毛里求斯透明度公约》后,该公约将于2017年10月18日生效。
None of the ratifying States had made reservations and, as a result, the Transparency Rules were now part of the investor-State dispute settlement regime created by investment treaties concluded by those three States.批准公约的国家无一作出保留,所以,《透明度规则》现在是这三个国家缔结的投资条约所创建的投资人与国家间争议解决制度的组成部分。
Thus, the Transparency Rules would apply on a unilateral basis, under all treaties concluded by those States, if the claimant agreed to their application (i.e., 35 treaties for Canada, 28 treaties for Mauritius and 114 treaties for Switzerland).因此,在这些国家缔结的所有条约(即加拿大35项条约,毛里求斯28项条约,瑞士114项条约,)下,只要申请人同意适用,《透明度规则》将在单方面基础上适用。
The Commission also noted that 16 other States had signed the Mauritius Convention on Transparency.委员会还注意到,另有16个国家签署了《毛里求斯透明度公约》
317.317.
The Commission was informed that the UNCTAD International Investment Agreement Navigator database contained 60 treaties that had been concluded after 1 April 2014.委员会获悉,贸发会议国际投资协定浏览器数据库载入了2014年4月1日后缔结的60项条约。
Of those treaties, 46 offered investors the possibility of initiating arbitration according to the UNCITRAL Arbitration Rules (with new article 1, paragraph 4, as adopted in 2013) and thereby incorporating the Transparency Rules.其中46项条约为投资人提供了根据《贸易法委员会仲裁规则》(新增2013年通过的第1条第4款)提起仲裁的可能性,从而纳入了《透明度规则》。
In addition, about 50 per cent of those treaties established elements of transparency for arbitral proceedings not conducted under the UNCITRAL Arbitration Rules.此外,这些条约约有一半还为不是根据《贸易法委员会仲裁规则》进行的仲裁程序确立了透明度要素。
Only 14 treaties excluded the application of the Transparency Rules, half of which foresaw some elements of transparency, either the publication of documents, access to hearings or the possibility of third parties submitting submissions, inspired by the Transparency Rules.只有14项条约排除适用《透明度规则》,其中的一半受《透明度规则》启发,设想了一些透明度要素,或是公布文件,准许出席庭审,或是第三方可提交材料。
318.318.
With respect to the budget situation of the transparency repository, the Commission was informed about the financial commitment of the European Commission to continue supporting the operation of the transparency repository until 2020, through the provision of an additional 300,000 euros.关于透明度存储处的预算状况,委员会获悉,欧盟委员会作出捐资承诺,将再捐助300,000欧元继续支持透明度存储处运作到2020年。
The grant agreement had been signed on 13 December 2016.赠款协定已于2016年12月13日签订。
The Commission expressed its appreciation to the European Commission for its renewed commitment to providing funding that would allow the Secretariat to continue operating the transparency repository.委员会对欧盟委员会再次承诺提供资金使得秘书处能够继续运行透明度存储处表示感谢。
319.319.
The Commission was informed that the Secretariat was currently in contact with OFID regarding the obtaining of renewed funding.委员会获悉,秘书处目前正在就再次获得资金与欧佩克国际发展基金联系。
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,委员会再次呼吁所有国家、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。
320.320.
The Commission was informed that, with the recent provision of funds from the European Commission, and taking into account the pending decision by OFID to continue funding, as well as possible new commitments, the secretariat would be able to continue operating the transparency repository until the end of 2020.委员会获悉,在欧盟委员会最近提供资金后,同时考虑到欧佩克国际发展基金将就继续提供资金作出决定以及可能收到新的承诺,秘书处将能够继续运行透明度存储处,直至2020年底。
321.321.
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.经讨论后,委员会重申其强烈的一致意见,即委员会秘书处应当履行透明度存储处职能,并且应当继续运行透明度存储处。
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 2020, 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,作为完全由自愿捐款提供资金的试点项目继续运行所公布信息存储处,直至2020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,向委员会和大会通报试运行透明度存储处资金和预算状况的动态。
C.C.
International commercial arbitration moot competitions国际商事仲裁模拟辩论赛
1.1.
Willem C. Vis International Commercial Arbitration Moot维斯国际商事仲裁模拟辩论赛
322.322.
It was noted that the Association for the Organization and Promotion of the Willem C. Vis International Commercial Arbitration Moot had organized the Twenty-fourth Moot, the oral arguments phase of which had taken place in Vienna from 7 to 13 April 2017.会上注意到,维斯国际商事仲裁模拟辩论赛组织和促进协会筹办了第二十四届模拟辩论赛,2017年4月7日至13日在维也纳进行了口头辩论阶段。
It was also noted that the best team in oral arguments had been the University of Ottawa (Canada).还注意到,口头辩论的优胜队是渥太华大学(加拿大)。
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-fourth Moot were based on the United Nations Sales Convention.第二十四届模拟辩论赛各参赛队所讨论的法律问题以《联合国销售公约》为基础。
323.323.
The representative of the Vis Moot recalled the historical background of the Vis Moot and mentioned that it was one of the remarkable educational events in the area of international trade law.维斯模拟辩论赛的代表回顾了维斯辩论赛的历史背景,并提到这是国际贸易法领域引人注目的教育活动之一。
The significant contribution of Michael L. Sher to the Vis Moot was reiterated, and it was recalled that the idea of the Moot had emanated from the UNCITRAL twenty-fifth anniversary Congress.会上重申了Michael L. Sher对维斯模拟辩论赛的显著贡献,并回顾,模拟辩论赛的设想源自贸易法委员会二十五周年纪念大会。
An update on the competition was provided: 338 teams from 76 countries had participated in the 2017 Vis Moot, comprising some 2,000 students, 1,000 arbitrators and 700 coaches.会上提供了这次辩论赛的最新情况:共有来自76个国家的338支赛队参加了2017年维斯模拟辩论赛,其中包括约2,000名学生、1,000名仲裁员和700名教练。
Reiterating the role of the Vis Moot in fostering international trade law and promoting standards in international arbitration, it was stressed that the Vis Moot had also contributed to increasing cultural diversity and improving the gender balance in international arbitration.会上重申了维斯模拟辩论赛对增进国际贸易和推广国际仲裁标准的作用,强调指出,维斯模拟辩论赛还有助于增加文化多样性并改善国际仲裁方面的性别比例。
324.324.
It was mentioned that an improved gender balance had been demonstrated by the increased participation of female students in recent Vis moots.会上提到,更多女学生参与近些年的维斯模拟辩论赛,证明了性别比例的改善。
It was further mentioned that the following year would mark the twenty-fifth anniversary of the Vis Moot and that the UNCITRAL Arbitration Rules would be used.进一步提到,明年将纪念维斯模拟辩论赛二十五周年,将使用《贸易法委员会仲裁规则》。
The oral arguments phase of the Twenty-fifth Vis Moot would be held in Vienna from 23 to 29 March 2018.第二十五届维斯模拟辩论赛口头辩论阶段将于2018年3月23日至29日在维也纳举行。
Lastly, the representative expressed appreciation to the Commission for its continued support of the Vis Moot.最后,这位代表表示感谢委员会对维斯模拟辩论赛给予持续的支持。
325.325.
It was also noted that the Vis East Moot Foundation had organized the Fourteenth Willem C. Vis (East) International Commercial Arbitration Moot, which had been co-sponsored by the Commission, the East Asia Branch of CIARB and many law firms based in Hong Kong, China.会上还注意到,维斯东方模拟辩论赛基金会筹办了第十四届维斯(东方)国际商事仲裁模拟辩论赛,此次辩论赛由委员会、英国特许仲裁员协会东亚分会和设在中国香港的多家律师事务所协办。
The final phase had taken place in Hong Kong from 26 March to 2 April 2017.最后阶段于2017年3月26日至4月2日在香港举行。
A total of 125 teams from 31 jurisdictions had participated and the best team in oral arguments had been the West Bengal National University of Juridical Sciences (India).共有来自31个法域的125支赛队参加,口头辩论的优胜队是西孟加拉国立法理学大学(印度)。
The Fifteenth Vis (East) Moot would be held in Hong Kong from 11 to 18 March 2018.第十五届维斯(东方)模拟辩论赛将于2018年3月11日至18日在中国香港举行。
2.2.
Madrid Commercial Arbitration Moot 20172016年马德里商事仲裁模拟辩论赛
326.326.
It was noted that Carlos III University of Madrid had organized the Ninth International Commercial Arbitration Competition in Madrid from 3 to 7 April 2017, which had been co-sponsored by the Commission.会上注意到,马德里卡洛斯三世大学于2017年4月3日至7日在马德里举办了第九届国际商事仲裁辩论赛,委员会为其协办方。
Legal issues addressed by the teams had related to an international sale of goods to which the United Nations Sales Convention, the New York Convention and the rules of arbitration of the Madrid Court of Arbitration were applicable.各赛队讨论的法律问题涉及国际货物销售,《联合国销售公约》、《纽约公约》和马德里仲裁法院仲裁规则为适用法律。
A total of 23 teams from 11 jurisdictions had participated in the Madrid Moot 2017, which had been held in Spanish.共有来自11个法域的23支赛队参加了以西班牙语举行的2017年马德里模拟辩论赛。
The best team in oral arguments was Pontificia Universidad Católica del Perú (Peru).口头辩论的优胜队是秘鲁天主教大学(秘鲁)。
The Tenth Madrid Moot would be held from 16 to 20 April 2018.第十届马德里模拟辩论赛将于2018年4月16日至20日举行。
3.3.
Mediation and negotiation competition调解和谈判辩论赛
327.327.
It was noted that the third mediation and negotiation competition organized jointly by IBA and VIAC, with the support of the Commission, would take place in Vienna from 10 to 14 July 2017.会上注意到,在委员会的支持下由国际律师协会和维也纳国际仲裁中心联合筹办的第三届调解和谈判辩论赛将于2017年7月10日至14日在维也纳举行。
Legal issues to be addressed by the teams had been those addressed at the Twenty-fourth Willem C. Vis International Commercial Arbitration Moot (see para. 322 above).各赛队将讨论的法律问题是已在第二十四届维斯国际商事仲裁模拟辩论赛上讨论过的问题(见上文第322段)。
A total of 33 teams from 15 jurisdictions had registered to participate.共有来自15个法域的33支赛队登记参赛。
D.D.
Bibliography of recent writings related to the work of UNCITRAL与贸易法委员会工作有关的近期著述目录
328.328.
The Commission recalled that the UNCITRAL Law Library specialized in international commercial law.委员会回顾,贸易法委员会法律图书馆专长于国际贸易法。
Its collection featured important titles and online resources in that field in the six official languages of the United Nations.馆藏包括这一领域联合国六种正式语文的重要书目和网上资源。
In 2016, library staff had responded to approximately 490 reference requests from more than 45 countries and had hosted researchers from more than 22 countries.2016年,图书馆工作人员对来自超过45个国家的约490项查询请求作出了回应,并接待了超过22个国家的研究人员。
329.329.
Considering the broader impact of UNCITRAL texts, the Commission took note of the bibliography of recent writings related to the work of UNCITRAL (A/CN.9/907) and the influence of UNCITRAL legislative guides, practice guides and contractual texts as described in academic and professional literature.考虑到贸易法委员会法规更加广泛的影响,委员会注意到与贸易法委员会工作有关的最新著述目录(A/CN.9/907)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、实用指南及合约文本所产生的影响。
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 active in the field of international trade law.委员会注意到为采取综合方法建立著述目录提供便利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的活动的必要性。
In that regard, the Commission recalled and repeated its request that non-governmental organizations 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,即受邀请参加委员会年会的非政府组织应向贸易法委员会法律图书馆提供其期刊、报告和其他出版物赠本,以供审阅。
The Commission expressed appreciation to all non-governmental organizations that had donated materials.委员会向所有提供赠阅材料的非政府组织表示感谢。
The Commission noted, in particular, the addition to the UNCITRAL Law Library collection of current and forthcoming issues of the journals Revue camerounaise de l’arbitrage (APAA) and Islamic Capitals and Cities (Organization of Islamic Capitals and Cities), as well as a great number of books, yearbooks and other publications from the Arab Society of Certified Accountants, CEDEP, the Centre for Transnational Law at the University of Cologne (Germany), the International Rail Transport Committee, the China International Economic and Trade Arbitration Commission, the International Institute for Conflict Prevention and Resolution, the Club of Arbitrators of the Milan Chamber of Arbitration, the Council of the Notariats of the European Union, the European Consumer Centres Network, the European Commerce Registers’ Forum, the European Law Institute (ELI), EUF, FCI, the International Federation of Consulting Engineers, the Fondation pour le droit continental, the International Commercial Arbitration Court at the Chamber of Commerce and Industry of Ukraine, the International Law Association, INSOL Europe, INSOL International, ISDA, the International Women’s Insolvency and Restructuring Confederation, the Stockholm Chamber of Commerce and the Kuala Lumpur Regional Centre for Arbitration.委员会特别注意到贸易法委员会法律图书馆馆藏增添了下列期刊的当期刊物和即将发行的刊物:《喀麦隆仲裁评论》(非洲仲裁促进协会)、《伊斯兰国家首都与城市》(伊斯兰国家首都与城市组织),以及阿拉伯注册会计师协会、法权研究中心、科隆大学跨国法律中心(德国)、国际铁路运输委员会、中国国际经济和贸易仲裁委员会、国际预防和解决冲突研究所、米兰仲裁所仲裁员俱乐部、欧洲联盟公证处理事会、欧洲消费者中心网络、欧洲商业登记处论坛、欧洲法律研究所、欧盟保理和商业金融联合会、保理商联号国际、国际咨询工程师联合会、大陆法基金会、乌克兰工商会国际商事仲裁法院、国际法协会、欧洲破产协会、国际破产协会、国际掉期及衍生工具协会、国际妇女破产和重组联合会、斯德哥尔摩商会和吉隆坡区域仲裁中心提供的大量书籍、年鉴和其他出版物。
The Commission also took note of a large monographic donation by the publisher C.H. Beck.委员会还注意到C.H. Beck出版社提供的大量赠阅专著。
XIV.十四.
Coordination and cooperation协调与合作
A.A.
General概述
330.330.
The Commission had before it a note by the Secretariat (A/CN.9/908) 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.9/875).委员会收到了秘书处的一份说明(A/CN.9/908),其中介绍了秘书处自上次向委员会提交说明(A/CN.9/875)以来参加的由活跃于国际贸易法领域的国际组织开展的活动。
The Commission expressed appreciation for the Secretariat engaging with a high number of organizations and entities, 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和实体进行接触表示赞赏。
Among others, the Secretariat had participated in the activities of the following organizations: the Hague Conference on Private International Law, Unidroit, the European Commission, the United Nations Inter-Agency Cluster on Trade and Productive Capacity, the Office of the United Nations High Commissioner for Human Rights, UNODC, OECD, the Economic Commission for Europe, UNCTAD, the World Bank, the International Law Institute and WTO.除其他外,秘书处参加了下列组织的活动:海牙国际私法会议、统协会、欧盟委员会、联合国机构间贸易和生产能力小组、联合国人权事务高级专员办事处、毒品和犯罪问题办公室、经合组织、联合国欧洲经济委员会、贸发会议、世界银行、国际法学会、世贸组织。
331.331.
The Commission took particular note with satisfaction of the coordination activities involving the Hague Conference on Private International Law and Unidroit.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。
It was mentioned that the Secretariat could pursue further cooperation with the Hague Conference with regard to its judgments project (see para. 268 above) so that developments, including the up-to-date draft text, could be shared with the relevant working groups of the Commission.会上提到,秘书处可进一步推动在判决项目方面与海牙会议的合作(见上文第268段),以便可与委员会各相关工作组分享有关动态,包括最新的案文草案。
It was said that having such information would greatly assist the work of the working groups in considering how the projects interacted and in ensuring that there was no overlap or duplication of work.会上指出,掌握这类信息将大大有助于工作组考虑项目之间的相互关系并确保工作没有重叠或重复。
332.332.
The Commission also noted that the coordination work of the Secretariat concerned topics currently being considered by the working groups, as well as topics related to texts already adopted by the Commission, and that the Secretariat had 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.委员会还注意到,秘书处的协调活动涉及各工作组正在审议的议题和与委员会已通过案文有关的议题,为交流信息和专业知识,并避免在所产生的工作成果方面重复工作,秘书处参加了各种专家组会议、工作组会议和全体会议。
333.333.
The Commission heard an oral report on the preparation of a guidance document in the area of international commercial contract law (with a focus on sales).委员会还听取了关于编拟国际商业合同法(重点是销售)领域指导文件的口头报告。
It was recalled that, over the previous few decades, UNCITRAL, the Hague Conference on Private International Law and Unidroit, as well as a number of other entities, including at the regional level, had drawn up various legislative and non-legislative instruments in the area of international commercial contract law.会上回顾,过去数十年来,贸易法委员会、海牙国际私法会议和统法协会以及其他一些实体,包括在区域一级,在国际商业合同法领域制定了各种立法和非立法文书。
It was added that, given the number of instruments in place, it would be beneficial to provide guidance in order to identify the relevance and impact of each instrument and their relationship with other legal instruments.补充说,鉴于现有文书的数目,提供指导以查明每部文书的相关性和影响及其与其他法律文书的关系将很有益处。
In that light, at its forty-ninth session, the Commission had approved the “Joint proposal on cooperation in the area of international commercial contract law (with a focus on sales)” and had 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.鉴于此,委员会第四十九届会议核准了“关于在国际商业合同法(重点是销售)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。
334.334.
It was indicated that work had started by identifying experts who, in a personal capacity, could assist in preparing a draft text, tentatively in the form of a legal guide, to be circulated for validation to stakeholders and, eventually, to be presented to the Commission.会上指出,这项工作已经启动,确定了一些专家,这些专家可以个人身份协助编写一份暂定为法律指南形式的案文草案,以便分发给各利益攸关方确认,并最终提交委员会。
It was explained that the goal of the suggested legal guide was to assist in identifying, understanding and applying uniform instruments.会上解释说,所提议法律指南的目标是协助查明、理解并适用统一的文书。
It was added that the legal guide would be aimed at explaining the relationship between different instruments and the fundamental features of each of them, rather than focusing on their details.补充说,法律指南旨在解释不同文书之间的关系,以及每项文书的基本特征,而非侧重于细节问题。
It was reiterated that the legal guide would have no normative character and would not contain an interpretation of relevant rules, but rather would provide basic information on existing instruments and include illustrations for the benefit of different legal actors, such as judges, arbitrators, legislators and legal counsels.会上重申,法律指南将不具有规范性,并且不会载有相关规则的解释,而是提供现有文书的基本信息,并纳入一些方便不同法律行为方使用的示例,如法官、仲裁员、立法者和法律顾问。
It was also indicated that special attention was being paid to minimizing the budgetary impact of the suggested work.会上还表示,正在特别注意尽量减少所建议工作的预算影响。
335.335.
The Commission took note of the progress made on the preparation of a guidance document on international commercial contract law (with a focus on sales) and encouraged the Secretariat to continue its collaboration with the Hague Conference on Private International Law and Unidroit on the project.委员会注意到编写国际商业合同法(重点是销售)指导文件所取得的进展,并鼓励秘书处就此项目继续与海牙国际私法会议和统法协会合作。
336.336.
The Commission also heard an oral report on coordination activities relating to security interests.委员会还听取了关于担保权益相关协调活动的口头报告。
It was recalled that, at its forty-ninth session, in 2016, it had renewed the mandate of the Secretariat to continue its coordination efforts in the area of security interests and given a mandate to the Secretariat to update the joint publication UNCITRAL, Hague Conference and Unidroit Texts on Security Interests and to reflect that decision in its publications programme.会上回顾,委员会在其2016年第四十九届会议延长了秘书处关于继续开展担保权益领域协调工作的任务授权,并赋予秘书处一项任务授权,增订《贸易法委员会、海牙会议和统法协会担保权益案文》联合出版物并在其出版物方案中反映这项决定。
The Commission requested the Secretariat to continue those efforts and to update the joint publication in order to include further recently adopted texts on security interests.委员会请秘书处继续开展这些工作,增订联合出版物,以便纳入最近通过的关于担保权益的更多案文。
The Commission asked the Secretariat to reflect that request in its publications programme and to 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,包括以电子方式公布。
337.337.
The Commission noted with appreciation the efforts of the Secretariat in coordinating and cooperating with a number of other organizations active in the area of security interests.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 for effective insolvency and creditor/debtor regimes contained in the Insolvency and Creditor Rights 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《破产和债权人权利标准》所载世界银行关于有效破产和债权人/债务人制度的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 met with representatives of the European Commission and had discussed further coordination efforts, including a joint expert group meeting, with a view to ensuring a coordinated approach to the law applicable to the third-party effects of transactions in receivables and securities.此外,注意到秘书处会见了欧盟委员会代表,讨论了进一步的协调努力,包括举行联合专家组会议,以期确保对适用于应收款和证券交易第三方效力的法律采取协调一致的办法。
It was further noted that the Secretariat had attended the first meeting of governmental experts on a draft protocol to the Convention on International Interests in Mobile Equipment (Cape Town Convention) on matters specific to agricultural, construction and mining equipment, 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.会上还注意到秘书处出席了《移动设备国际权益公约》(《开普敦公约》)农业、建筑和采矿设备特定事项议定书草案政府专家第一次会议,以期确保避免重复努力,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 and 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合组织进行协调,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。
338.338.
The Commission observed that coordination work often involved travel to meetings of the different organizations concerned and the use of funds allocated for official travel.委员会注意到,协调工作经常涉及出差参加不同组织的会议以及使用为公务旅行拨付的经费。
The Commission reiterated the importance of such work being undertaken by UNCITRAL as the core legal body in the United Nations system in the field of international trade law and supported the use of travel funds for that purpose.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。
B.B.
Reports of other international organizations其他国际组织的报告
339.339.
The Commission took note of statements made on behalf of the following international and regional organizations.委员会注意到代表下列国际组织和区域组织所作的发言。
1.1.
International Institute for the Unification of Private Law国际统一私法协会
340.340.
The Secretary-General of Unidroit reported on the main activities of Unidroit since the forty-ninth session of UNCITRAL, in 2016.统法协会秘书长报告了统法协会自贸易法委员会2016年第四十九届会议以来开展的主要活动。
In particular, the Commission was informed about the activities set out below. (a) Cape Town Convention特别向委员会通报了下述活动。
(a)
341.《开普敦公约》 341.
The Cape Town Convention continued to attract new accessions, with 73 States parties.《开普敦公约》继续吸引新的国家加入,有73个缔约国。
Similarly, the Aircraft Protocol now had 67 States parties, while the recent ratification of the Protocol to the Cape Town Convention on Matters Specific to Railway Rolling Stock (Rail Protocol) by Gabon, and its signature by France, Sweden and the United Kingdom had put it firmly on the path towards further ratification and entry into force.同样,《航空器议定书》目前已有67个缔约国,加蓬最近批准了《开普敦公约关于铁道机车车辆特定事项的议定书》(《铁道议定书》),法国、瑞典和大不列颠及北爱尔兰联合王国签署该《议定书》后,该《议定书》朝着更多国家批准和生效迈出坚实的步伐。
342.342.
The Ratification Task Force for the Rail Protocol (in which Unidroit participated in as co-chair of the Rail Preparatory Committee), had met several times in the previous 12 months to monitor progress and identify strategic partners.批准《铁道议定书》工作队(统法协会作为铁路筹备委员会共同主席参加了该工作队)在过去12个月曾数次开会,以监测进展情况并物色战略伙伴。
343.343.
The committee of governmental experts entrusted with the preparation of a draft protocol to the Cape Town Convention on matters specific to agricultural, construction and mining equipment had held its first meeting from 20 to 24 March 2017.受托拟订《开普敦公约》农业、建筑和采矿设备特定事项议定书草案的政府专家委员会于2017年3月20日至24日举行了首次会议。
The meeting had been attended by 126 representatives from 48 Governments (30 Unidroit member States and 18 non-member States), six regional and intergovernmental organizations, including an observer from UNCITRAL, and four international non-governmental organizations.出席会议的有来自48个国家政府(统法协会30个成员国和18个非成员国)、六个区域和政府间组织(包括贸易法委员会的一名观察员)和四个国际非政府组织的126名代表。
344.344.
The committee had made good progress in reviewing the preliminary draft text provided by the study group.政府专家委员会在审查研究小组提交的初步案文草案方面取得了良好进展。
The most debated issues had been:
(a) the scope of the protocol in relation to agricultural, construction and mining equipment; (b) how the protocol should address interests arising out of the association of such equipment with immovable property; and (c) the amendment procedure for the protocol, with particular regard to the Harmonized System codes of the World Customs Organization, contained in the annexes to the preliminary draft protocol.争论最多的问题是:(a)农业、建筑和采矿设备议定书的范围;(b)议定书应如何处理此类设备与不动产连在一起所产生的权益;(c)议定书的修正程序,特别涉及该议定书初步案文附件所载世界海关组织《协调制度》的编码。
345.345.
Most of the text proposed by the study group had been adopted by the committee.政府专家委员会通过了研究小组提议的大多数案文。
The committee hoped that it would be able to finalize the draft protocol at its second meeting, scheduled to take place in Rome from 2 to 4 October 2017.政府专家委员会希望能够在定于2017年10月2日至4日在罗马举行的第二次届会议上审定该议定书草案。
(b)(b)
Transnational civil procedure — formulation of regional rules跨国民事诉讼程序——拟订区域规则
346.346.
Against the background of the American Law Institute /Unidroit Principles of Transnational Civil Procedure, which had been adopted in 2004, Unidroit continued to work with ELI to adapt those Principles to the specificities of European regional legal cultures, with a view to drafting Europe-specific regional rules.在2014年通过《美国法学会/统法协会跨国民事诉讼程序原则》这一背景下,统法协会继续与欧洲法律研究所合作,按照欧洲区域法律文化的特点改编该《原则》,以期拟订专门针对欧洲的区域规则。
347.347.
The steering committee and co-reporters of working groups had met in Vienna in November 2016 and in Rome in April 2017.指导委员会和工作组共同报告员于2016年11月在维也纳开会并于2017年4月在罗马开会。
The project had also been presented at the ELI Annual Assembly held in Ferrara, Italy, from 7 to 9 September 2016.在2016年9月7日至9日于意大利弗拉拉举行的欧洲法律研究所年度大会上也介绍了该项目。
Unidroit and ELI had confirmed their estimate of substantial completion of the project by 2018.统法协会和欧洲法律研究所确认预期到2018年大体完成该项目。
(c)(c)
Legislative guide on principles and rules capable of enhancing trading in securities in emerging markets关于能够加强新兴市场证券交易的原则和规则的立法指南
348.348.
The Committee on Emerging Markets Issues, Follow-up and Implementation, established to assist with the promotion and implementation of the 2009 Geneva Convention on Substantive Rules for Intermediated Securities, had held its third meeting in Rome on 12 and 13 December 2016, at which it had reviewed in detail the comments received on the draft legislative guide circulated earlier in 2016.为协助推广和落实2009年《日内瓦中介化证券实质性规则公约》而成立的新兴市场问题、后续工作和实施情况委员会于2016年12月12日和13日在罗马举行了第三次会议,详细审查了就2016年初分发的立法指南草案收到的评论意见。
Following the meeting, a videoconference had been held on 16 January 2017 to review the revised draft legislative guide, which had later been circulated again for comment.这次会议之后,2017年1月16日举行了一次视频会议,审查随后分发征求意见的立法指南修订草案。
349.349.
The Committee had held its fourth meeting in Beijing on 29 and 30 March 2017, at the invitation of the China Securities Regulatory Commission.该委员会应中国证券监督管理委员会邀请2017年3月29日和30日在北京举行了第四次会议。
It had been jointly hosted by the China Securities Depository and Clearing Corporation Ltd.会议由中国证券登记结算有限责任公司共同主办。
350.350.
On the first day, an open colloquium had been held on the theme “Enhancing and ensuring legal certainty in both current and future holding systems”.第一天举行了主题为“强化并确保当前与未来持有体系的法律确定性”的公开专题讨论会。
On the second day, building upon the discussions during the colloquium, the members and observers of the Committee, as well as other States and organizations, had reviewed in detail the draft legislative guide on intermediated securities.第二天,在专题讨论会讨论的基础上,委员会成员和观察员以及其他国家和组织详细审查了中介化证券立法指南草案。
The draft legislative guide, as revised, had been adopted by the Unidroit Governing Council at its ninety-sixth session, held in Rome from 10 to 12 May 2017.统法协会理事会在2017年5月10日至12日于罗马举行的第九十六届会议(上通过了经修订的立法指南草案。
The guide was being edited and would be published later in 2017.指南正在编辑当中,将于2017年晚些时候发布。
(d)(d)
Cooperation on international sales law关于国际销售法的合作
351.351.
The secretariats of Unidroit, UNCITRAL and the Hague Conference on Private International Law had continued their exploratory work on the preparation of a guidance document on existing texts in the area of international sales law (see also paras. 333 and 334 above).统法协会、贸易法委员会和海牙国际私法会议秘书处继续就拟订一份关于国际销售法领域现有法规的指导文件开展探讨性工作(另见上文第333、334段)。
(e)(e)
Cultural property文化财产
352.352.
Unidroit had a long-standing history of cooperation with the United Nations Educational, Scientific and Cultural Organization (UNESCO) in the area of cultural property.统法协会有着在文化财产领域与联合国教育、科学及文化组织(教科文组织)合作的长期历史。
The 1995 Convention on Stolen or Illegally Exported Cultural Objects had 40 States parties, following the recent accessions of Bosnia and Herzegovina, the Lao People’s Democratic Republic and Tunisia.波斯尼亚和黑塞哥维那、老挝人民民主共和国和突尼斯最近加入1995年《关于被盗或非法出口文物的公约》后, 该公约现有40个缔约国。
Cooperation had intensified with UNESCO and the other organizations participating in the task force on the implementation of Security Council resolution 2199.统法协会加强了与教科文组织和参与执行安全理事会第2199号决议工作队的其他组织的合作,该决议谴责伊拉克和叙利亚阿拉伯共和国发生的毁坏文化遗产的行为。
(f)(f)
Private law and agriculture私法和农业
353.353.
Unidroit was pursuing its cooperation with the Rome-based organizations of the United Nations system for food and agriculture.统法协会继续与设在罗马的联合国系统粮食和农业组织合作。
After the adoption of the Unidroit/ Food and Agriculture Organization of the United Nations (FAO)/ International Fund for Agricultural Development Legal Guide on Contract Farming, the three organizations had devised a series of promotional and follow-up activities.在通过了统法协会/联合国粮食及农业组织(粮农组织)/国际农业发展基金《契约农业法律指南》之后,这三个组织设计了一系列推广和后续活动。
In that context, the Unidroit and FAO secretariats were currently preparing a legislative study on contract farming with a view to assisting in the development of a favourable legal framework in that area of importance for food security.在这方面,统法协会和粮农组织秘书处目前正在编写拟订一份契约农业立法研究报告,以期在这一关系到粮食安全的领域制定有利的法律框架。
Another follow-up activity was the preparation of a legal guide on agricultural land investment contracts, the scope and structure of which had been discussed at the first meeting of the working group, from 3 to 5 May 2017.另一项后续活动是编写农业土地投资合同法律指南,2017年5月3日至5日举行的工作组第一次会议讨论了法律指南范围和结构。
The first draft chapters would be considered at the next meeting, in late 2017.2017年晚些时候举行的下一次会议将审议前几章草案。
2.2.
Organization for Economic Cooperation and Development经济合作与发展组织
354.354.
The OECD representative outlined some of the recent work of the Organization relevant to that of UNCITRAL, particularly relating to arbitration and investment dispute settlement.经合组织的代表概述了该组织最近与贸易法委员会工作有关的一些工作,特别是与仲裁和投资争议解决有关的工作。
Issues pertaining to differences between commercial arbitration and investment arbitration, with regard to the role of appointing authorities, and to multiple investment treaty claims against a Government by shareholders of the same company for the same injury, were presented as examples of issues discussed at OECD, which provided important background for investment policymakers considering questions relating to dispute settlement.关于经合组织所讨论的议题提供了一些例子,如与商事仲裁与投资仲裁之间在指定当局的作用方面的差异有关的问题,以及与同一公司股东就同一损害对政府提起多项投资条约索赔有关的问题,这些问题为考虑争议解决问题的投资决策者提供了重要背景。
In addition, the experience of OECD in updating the thousands of existing double tax treaties was mentioned.此外,提到经合组织在更新数千份现行双重征税条约方面的经验。
The conclusion by 68 jurisdictions of the Multilateral Convention to Implement Tax Treaty Related Measures to Prevent Base Erosion and Profit Shifting in June 2017, which allowed Governments to update the many existing bilateral tax treaties in a single process, was highlighted, along with its possible relevance for reform of the many investment treaties.重点介绍了68个法域于2017年6月订立《实施税收协定相关措施以防止税基侵蚀和利润转移的多边公约》,该《公约》使政府能够在单一程序中更新多部现行双边税收条约,还重点介绍了《公约》对改革许多投资条约的意义。
In conclusion, the current work of OECD at its investment round tables, in which a wide range of OECD, Group of 20 and other Governments participated, was presented.最后介绍了经合组织投资圆桌会议目前的工作,经合组织和二十国集团国家以及其他国家的政府广泛参与了这项工作。
It was noted that, as an intergovernmental forum that had met every six months since 2011 to discuss investment treaties, the round table had fostered an informative dialogue between Governments, enriched with input from stakeholders and experts.据指出,作为2011年以来每六个月举行会议讨论投资条约的政府间论坛,圆桌会议在利益攸关方和专家提供投入的情况下,促进了政府间涉略丰富信息的对话。
Lastly, it was mentioned that the current agenda of the round table addressed: (a) the balance between investor protection and Governments’ right to regulate; (b) the societal benefits and costs of investment treaties; and (c) arbitrators, adjudicators and appointing authorities.最后,提到目前的圆桌会议议程涉及:(a)投资人保护与政府监管权之间的平衡、(b)投资条约的社会效益和成本,以及(c)仲裁员、裁判人和指定当局。
The OECD representative reaffirmed the continued interest of OECD in cooperating with UNCITRAL.经合组织的代表重申,经合组织继续对与贸易法委员会进行合作抱有兴趣。
3.3.
United Nations Conference on Trade and Development联合国贸易和发展会议
355.355.
The representative of UNCTAD presented the World Investment Report 2017: Investment and the Digital Economy, launched on 7 June 2017.贸发会议的代表介绍了2017年6月7日推出的《2017年世界投资报告:投资和数字经济》。
Some of the main foreign direct investment trends at the global and regional levels were presented, as well as the latest trends in international investment policymaking.介绍了全球和区域层面一些主要的外国直接投资趋势,以及国际投资决策方面的最新趋势。
With respect to the latter it was noted that, in 2016, the number of international investment agreements had continued to grow, as had the number of known treaty-based investor-State dispute settlement cases.关于后者,据指出,2016年国际投资协定的数目继续增加,已知的基于条约的投资人与国家争议解决案件也是如此。
356.356.
It was noted that, since 2010, UNCTAD had focused its work on the reform of international investment agreements to make them more conducive to sustainable development and that many of the new international investment agreements included reform elements that preserved the right to regulate, while maintaining investor protection, and improved investor-State dispute settlement, while fostering responsible investment.据指出,自2010年以来,贸发会议的工作重点是改革国际投资协定,使之更有利于可持续发展,许多新的国际投资协定包含改革要素,即在继续实行投资人保护的同时维持监管权,以及改进投资人与国家间争议解决办法,同时促进负责任的投资。
It was stated that the World Investment Report 2017, in which the need to modernize existing old-generation international investment agreements had been emphasized, contained an analysis of 10 policy options that States could adapt and adopt in line with their specific reform objectives.据指出,《2017年世界投资报告》强调需要更新现有老一代国际投资协定,其中载有十个政策选项,各国可按照其具体改革目标对这些选项加以调整并通过。
Among those reform options, engaging multilaterally was particularly underscored.在这些改革选项中,特别强调了多边参与。
It was stated that multilateral engagement established a common understanding and that it would be the most efficient way to address the inconsistencies, overlaps and development challenges of today’s international investment agreement regime.据指出,多边参与确立了共同理解,这将是处理当今国际投资协定制度的不一致、重叠和发展挑战的最有效方式。
However, it was also stated that such an approach would also be the most challenging avenue for international investment agreement reform.不过还指出,这种做法对于国际投资协定改革而言也是最具挑战性的途径。
357.357.
The Mauritius Convention on Transparency, which fostered greater application of the Transparency Rules to international investment agreements concluded prior to 1 April 2014, was mentioned as an example of a possible multilateral approach.作为可能采取的多边办法的一个例子,提到《透明度毛里求斯公约》,该《公约》有利于更多地将《透明度规则》适用于2014年4月1日之前订立的国际投资协定。
It was stated that future international investment agreement reform actions could draw upon the process of multilateral negotiations that had led to the Transparency Rules and the Mauritius Convention on Transparency, and the Convention’s opt-in mechanism.据指出,未来的国际投资协定改革行动可以借鉴促成《毛里求斯透明度公约》的多边谈判进程以及该《公约》的选择适用机制。
358.358.
At the end of the presentation, some high-level UNCTAD events were highlighted, including the annual international investment agreements conference (to be held in Geneva from 9 to 11 October 2017), at which discussions would be held on how to modernize existing old-generation international investment agreements, and the regional conference on international investment policies (to be held in Baku on 24 and 25 October 2017), at which discussions would be held on the latest developments and key challenges in international investment policies for economies in transition and assistance would be provided to policymakers in devising and reforming international investment policies.介绍结束时,着重说明了贸发会议的一些高级别活动,其中包括:年度国际投资协定会议(2017年10月9日至11日在日内瓦举行),将就如何使现有老一代国际投资协定现代化举行讨论,以及国际投资政策区域会议(2017年10月24日和25日在巴库举行),将就转型期经济体国际投资政策的最新动态和主要挑战举行讨论,并为决策者提供国际投资政策设计和改革方面的援助。
4.4.
Permanent Court of Arbitration常设仲裁法院
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The representative of the Court made a statement providing a summary of its work during the period 2016-2017, including an update of the Court’s provision of registry support in a number of different international arbitration and conciliation proceedings and its experience with the operation of the UNCITRAL Arbitration Rules, including its role as the appointing authority.常设仲裁院的代表作了发言,总结了常设仲裁院2016-2017年期间的工作,其中包括介绍常设仲裁院在一些不同的国际仲裁和调解程序中提供登记处支助的最新情况,以及其使用《贸易法委员会仲裁规则》的经验,包括其作为指定当局的作用。
Noting the Court’s experience in investment arbitration and with tribunals with a permanent or long-term character, and recognizing the numerous reforms being proposed in the area of investment dispute settlement, the Court’s role in assisting its member States in designing and implementing efficient and fair dispute resolution proceedings was underscored.注意到常设仲裁院在投资仲裁以及在使用永久或长期仲裁庭方面的经验,并认识到在投资争议解决领域提出多项改革,因此强调了常设仲裁院在协助成员国设计和实施高效而公平的争议解决程序方面的作用。
It was further stated that, while the Court took no view on the desirability of particular reforms, it stood ready to support any new approaches to the present system of investment arbitration at the technical level.还指出,虽然常设仲裁院不就特定改革是否可取持任何意见,但随时准备在技术层面支持对现行投资仲裁制度采取任何新的做法。
C.C.
International governmental and non-governmental organizations invited to sessions of UNCITRAL and its working groups获邀参加贸易法委员会及其工作组届会的国际政府组织和非政府组织
360.360.
The Commission recalled that, at its forty-third session, in 2010, it had adopted the summary of conclusions on the UNCITRAL rules of procedure and methods of work.委员会回顾,委员会在其2010年第四十三届会议上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 that summary, the Commission had decided to draw up and update as necessary a list of international organizations and non-governmental organizations with which UNCITRAL had long-standing cooperation and which had been invited to sessions of the Commission.在概要第9段,委员会决定编拟并在必要情况下更新与贸易法委员会长期合作以及获邀参加委员会届会的国际组织和非政府组织的名单。
The Commission also recalled that, further to its request to restructure the information about such organizations, the Secretariat had adjusted the online presentation of information concerning intergovernmental and non-governmental organizations invited to sessions of UNCITRAL and its working groups and the modality of communicating such information to States, and that the adjustments made had been to the satisfaction of the Commission.委员会还回顾,根据其调整此类组织相关信息结构的要求,秘书处调整了网上列示的获邀参加贸易法委员会及其工作组届会的政府间组织和非政府组织的信息以及向各国发送此类信息的方式,所作调整让委员会感到满意。
361.361.
The Commission also recalled that, at its forty-eighth session, in 2015, it had requested the Secretariat, when presenting its oral report on the topic of organizations invited to sessions of UNCITRAL, to provide comments on the manner in which invited organizations fulfilled the criteria applied by the Secretariat in making its decision to invite non-governmental organizations.委员会还回顾,委员会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组织这一议题作口头报告时,解释获邀组织如何满足秘书处在决定邀请非政府组织时所适用的标准。
The Commission further recalled that, at its forty-ninth session, in 2016, it had welcomed the detailed and informative report presented by the Secretariat pursuant to that request.委员会还回顾,委员会在其2016年第四十九届会议上欢迎秘书处根据该请求提交的内容翔实的报告。
362.362.
The Commission noted that, since its forty-ninth session, the Energy Community had been added to the list of international intergovernmental organizations invited to sessions of UNCITRAL and that the following organizations had been added in the list of international non-governmental organizations invited to sessions of UNCITRAL: Arbitrators’ and Mediators’ Institute of New Zealand Inc. BAC/BIAC, HKMC, IIDC, RAA, and SIMI.委员会注意到,自其第四十九届会议以来,已在获邀参加贸易法委员会届会的国际政府间组织名单中增列能源共同体入,并已在获邀参加贸易法委员会届会的国际非政府组织名单中增列下列组织:新西兰仲裁员和调解员协会、北京仲裁委员会/北京国际仲裁中心、香港调解中心、伊比利亚美洲破产法研究所、俄罗斯仲裁协会、新加坡国际调解研究所。
The Commission noted the reasons for the Secretariat’s decision to invite those additional international non-governmental organizations 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国际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 non-governmental organizations whose requests to be invited to sessions of UNCITRAL and its working groups had been rejected and reasons for the rejection.委员会还听取了关于那些希望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。
363.363.
The Commission also noted that, pursuant to General Assembly resolutions 68/106 and 69/115 (para. 8 in both resolutions), 70/115 (para. 7) and 71/135 (para. 9), all States and invited organizations were reminded, when they were invited to UNCITRAL sessions, about the rules of procedure and methods of work of UNCITRAL.委员会还注意到,根据大会第68/106和第69/115号决议(这两项决议的第8段)、第70/115号决议(第7段)和第71/135号决议(第9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 was effectuated by inclusion in invitations issued to them of a reference to a dedicated page of the UNCITRAL website where the main official documents of UNCITRAL pertaining to its rules of procedure and work methods could be easily accessed.提醒的办法是在向其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,该网页上可容易地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。
364.364.
The Commission welcomed the report of the Secretariat on international governmental and non-governmental organizations invited to sessions of UNCITRAL and its working groups, but requested the Secretariat to provide the relevant information in writing for future sessions.委员会欢迎秘书处关于获邀参加贸易法委员会及其工作组届会的国际政府组织和非政府组织的报告,但请秘书处为今后会议提供书面的相关信息。
XV.十五.
Commemoration of the fiftieth anniversary of UNCITRAL纪念贸易法委员会成立五十周年
A.A.
Statements congratulating UNCITRAL庆贺贸易法委员会的发言
365.365.
States from all regions joined in applauding the outstanding contribution of UNCITRAL to a better international legal order.所有区域的国家赞扬贸易法委员会为建立更好的国际法律秩序而作出的杰出贡献。
Throughout the session, the Commission heard further messages of congratulation from States and long-standing delegates to UNCITRAL, emphasizing its achievements and contributions to the development of the international law of trade.整个会议期间,委员会听取了各国和常驻贸易法委员会代表的进一步贺词,其中强调了委员会所取得的成就及其对发展国际贸易法的贡献。
366.366.
At the 1068th meeting of the Commission, the Secretariat informed the Commission that a message had been received from the Prime Minister of the Russian Federation on the occasion of the fiftieth session of UNCITRAL.在委员会第1068次会议上,秘书处告知委员会,在贸易法委员会举行第五十届会议之际收到了俄罗斯联邦总理的贺电。
The Secretary of UNCITRAL read out the message to the Commission.贸易法委员会秘书向委员会宣读了贺电。
367.367.
It was observed that, in the period to 1966, the focus of the international legal community — including the International Law Commission — had been on public international law.会上指出,直到1966年,这段期间国际法律界的侧重点——包括国际法委员会的侧重点——一直是国际公法。
Consequently, there had been no United Nations-led systematic approach to developing substantive legal rules of a private international law character to govern international trade.因此,在制定管辖国际贸易的具有国际私法性质的实体法律规则方面,当时并没有联合国主导的系统做法。
The proposal of Hungary to the General Assembly at its nineteenth session to establish UNCITRAL had subsequently been welcomed by the General Assembly as an opportunity for considering the challenges in international trade law and trading relations that had arisen as a result of the significant technological and social changes over the previous century.匈牙利向大会第十九届会议提出了建立贸易法委员会的建议,大会后来欢迎这项建议提供了一个审视百年来由于技术和社会巨变而在国际贸易法和贸易关系方面提出的挑战的机会。
368.368.
The Commission’s attention was drawn to the major achievements of UNCITRAL in issuing conventions, model laws, legislative guides and other texts over its 50 years of existence.会上提请委员会注意贸易法委员会问世五十年来在制定公约、示范法、立法指南及其他法规方面取得的主要成就。
States acknowledged the success, in a variety of areas of international trade law, of UNCITRAL texts including the New York Convention, the United Nations Sales Convention, the UNCITRAL Arbitration Rules and the texts on insolvency, secured transactions and electronic commerce.各国对于在国际贸易法多个领域贸易法委员会法规所取得的成功给予承认,其中包括:《纽约公约》、《联合国销售公约》、《贸易法委员会仲裁规则》,以及破产、担保交易和电子商务方面的法规。
It was recalled that UNCITRAL had issued recommendations to Governments and international organizations concerning the legal value of computer records back in 1985, demonstrating innovative legal thinking at a time when e-commerce was an entirely new, and little understood, topic.会上回顾,1985年,当电子商务还是一个全新的、几乎不为人们了解的主题时,贸易法委员会发布就计算机记录的法律价值向各国政府和国际组织提出的建议,展示了法律方面的创新思维。
That intellectual leadership underpinned the wide acceptance of later UNCITRAL texts on e-commerce and others.这种学术思想上的领先地位为广泛接受贸易法委员会后来关于电子商务的法规及其他法规提供了支撑点。
369.369.
It was noted that the benefits of the highly regarded UNCITRAL texts also accrued in their effective implementation and use in practice, and States enumerated the many UNCITRAL texts that they had enacted domestically.会上指出,贸易法委员会法规受到高度评价,其益处还通过在实践中有效实施和使用这些法规逐渐显现出来,各国罗列了本国颁布的多个贸易法委员会法规。
370.370.
The development potential of UNCITRAL texts was noted to be reflected in many of the Sustainable Development Goals.会上提出,贸易法委员会法规的发展潜能反映在多项《可持续发展目标》中。
Predictable, stable and balanced legal frameworks, such as those promoted by UNCITRAL, enabled and increased trust between trading partners, which in turn allowed the potential benefits of international trade to be realized.诸如贸易法委员会所倡导的可预测、稳定和平衡的法律框架使得能够建立并增进贸易伙伴之间的互信,进而得以实现国际贸易的潜在益处。
In other words, people prospered because those benefits allowed trading partners to minimize their legal risks and to resolve disputes in a fair, efficient and speedy manner.换言之,人民兴旺发达,正是因为这些益处使得贸易伙伴能够将其法律风险降至最低并以公平、高效和迅捷方式解决争议。
371.371.
In addition, it was underscored that the benefits of such an international legal order extended beyond those well-understood economic benefits to improved peace and security — themselves key elements of the United Nations agenda.另外,会上强调,这样一种国际法律秩序的益处超出这些为人熟知的经济惠益,进而增进和平与安全——其本身就是联合国议程的关键要素。
Peace and security required a solid legal grounding and a common understanding of the principles of law in a variety of fields, so that States were enabled to support a business environment and cooperation and thus to foster development.和平与安全要求有坚实的法律基础并对各个领域的法律原则达成共识,这样才能使各国为企业环境与合作提供支持,从而促进发展。
372.372.
It was also observed that an increasingly economically interdependent world required not just a harmonized but also a modernized legal framework for the facilitation of international trade and investment.会上还指出,经济上日趋相互依存的世界不仅要求对便利国际贸易和投资的法律框架进行协调统一,还要使之现代化。
Here, too, the sustainability of developments from social, environmental and economic perspectives were crucial for meeting today’s challenges, and the demonstrated willingness of UNCITRAL to balance human and economic needs was welcomed in that regard.在这方面,从社会、环境和经济方面考虑发展的可持续性对于应对当今挑战也是至关重要的,为此,对于贸易法委员会显示出乐于平衡人的需要和经济需要表示了欢迎。
It was added that UNCITRAL had proved itself adept at meeting past and present challenges, also in cooperation with other international and regional organizations active in international trade law reform.补充说,贸易法委员会已证明其还能与积极进行国际贸易法改革的其他国际和区域组织合作,灵活应对以往和当下挑战。
373.373.
In that connection, it was observed that the fiftieth anniversary offered an opportunity to look to the future.在这方面,会上指出,五十周年提供了展望未来的机会。
Many delegates and observers appreciated that ideas for possible future work were considered during the Commission session.许多代表和观察员赞赏在委员会届会期间对今后可能开展的工作的设想进行审议。
374.374.
The contributions of all participants in the UNCITRAL law-making process were recognized.会议表彰贸易法委员会立法过程所有参与者作出的贡献。
The achievements of the eight secretaries of UNCITRAL to date were acknowledged.会议对迄今为止贸易法委员会八任秘书取得的成绩给予肯定。
It was noted that the efforts of the Secretariat in supporting the Commission and its working groups, the devotion of considerable resources by States and the expertise of international observer organizations had all played a considerable part in ensuring the success of UNCITRAL.会上指出,秘书处为支持委员会及其各工作组所作的努力、各国投入的大量资源以及国际观察员组织的专门知识都对确保贸易法委员会的成功起到了相当重要的作用。
That success, it was emphasized, was founded on the practical value of UNCITRAL texts, the development process of which had ensured the provision of commercially realistic texts that could and would function well in domestic use.强调指出,这种成功是以贸易法委员会法规的实用价值为基础的,其拟订过程确保了提供商业上现实可行、能够并且将在国内使用中发挥良好作用的法规。
It was also emphasized that the limited resources of UNCITRAL also indicated a need for cooperation with other rule-formulating agencies and development institutions.还强调,贸易法委员会的资源有限还表明有必要与其他制定规则的机构以及发展机构开展合作。
375.375.
In addition, it was recalled that UNCITRAL had been established to provide countries at all levels of development with a voice in the development of its legal texts.此外,会上还回顾,建立贸易法委员会是为了在其法律规则的制定过程中为处于所有发展水平的国家提供话语权。
States, including developing countries, were pleased to observe that they had been able to provide officers of the Commission and its working groups, and had benefited not only from being able to contribute to legislative development, but also from enacting and using the resulting texts.包括发展中国家在内的各国高兴地指出,它们能够为委员会及其各工作组提供主席团成员,不仅受益于能够为立法制定过程作出贡献,而且还受益于颁布和使用所产生的法规。
Further benefits had been provided to an entire generation of lawyers in terms of training, experience and practical implementation of rules in the field of international trade law.律师有整整一代人还在国际贸易法领域规则的培训、经验以及实际执行方面进一步受益。
UNCITRAL was urged to continue its efforts to facilitate the participation of all member States in its meetings, so as to ensure the continued worldwide acceptance of its texts.会议促请贸易法委员会继续努力为所有成员国参加贸易法委员会会议提供便利,以确保其法规继续在全世界范围被接受。
B.B.
Mini-conference organized by Hungary匈牙利组办的微型会议
376.376.
The Commission heard that, on 3 July 2017, Hungary had held a mini-conference at the Vienna International Centre to celebrate the fiftieth annual session of UNCITRAL.委员会获知,匈牙利于2017年7月3日在维也纳国际中心举行了一次微型会议,庆祝贸易法委员会第五十次年会。
The Commission recalled that the Government of Hungary made the proposal to the nineteenth session of the General Assembly that had resulted in the establishment of UNCITRAL by means of resolution 2205 (XXI).委员会回顾,匈牙利政府向大会第十九届会议提出建议,由此促成依照第2205 (XXI)号决议设立了贸易法委员会。
Hungary had proposed the inclusion of an item on the agenda of that session entitled “Consideration of steps to be taken for progressive development in the field of private international law with a particular view to promoting international trade”.匈牙利当时提议在该届会议议程上列入一个项目,题为“审议特为促进国际贸易起见逐渐发展国际私法所应采取之步骤。
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At the mini-conference, the relationship between UNCITRAL and Hungary, pitfalls and challenges in the international unification of private law and the United Nations Sales Convention as a source of inspiration for the new Hungarian contractual liability were discussed.在微型会议上讨论了贸易法委员会与匈牙利的关系、私法国际统一方面的隐忧和挑战,以及以《联合国销售公约》作为新的匈牙利合约责任的启迪来源。
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The Commission expressed its appreciation for the mini-conference.委员会对微型会议表示赞赏。
C.C.
UNCITRAL Congress 2017贸易法委员会2017年大会
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The Commission recalled its instruction to the Secretariat to organize a Congress to commemorate its fiftieth anniversary, and heard that the Congress had taken place from 4 to 6 July 2017.委员会回顾其指示秘书处组办纪念贸易法委员会成立五十周年大会,并获知已于2017年7月4日至6日举行大会。
The Commission was informed that the programme and other materials for the Congress were available on the UNCITRAL website.委员会获悉,为大会准备的日程及其他材料可查阅贸易法委员会网站。
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At the Congress, which had been entitled “Modernizing International Trade Law to Support Innovation and Sustainable Development”, the question of how trade law reform based on the modern, fair and harmonized rules of UNCITRAL could contribute to the 2030 Agenda for Sustainable Development had been examined.大会以“实现国际贸易法现代化,支持创新和可持续发展”为标题,审查了在贸易法委员会的现代、公平和统一规则基础上进行贸易法改革如何对《2030年可持续发展议程》作出贡献。
In that regard, the Commission’s attention was drawn to the Addis Ababa Action Agenda of the Third International Conference on Financing for Development, in which States had 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 by 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.在这方面,会上提请委员会注意第三次发展融资问题国际会议的《亚的斯亚贝巴行动议程》,各国在其中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和采取的举措,目的是加强活跃于国际贸易法领域的国际组织和区域组织在法律活动上的协调与合作,并在国内和国际上促进这一领域的法治。
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The Commission heard that the Congress had provided an opportunity for the first in-depth look into the past and future of UNCITRAL since 2007.委员会获知,大会提供了自2007年以来第一次深入审视贸易法委员会的过去和未来的机会。
It was reported that the event had succeeded in bringing together delegates and experts who had worked with UNCITRAL for decades and new and young participants with an interest in the work of UNCITRAL.报告说,这一活动成功地将数十年来一直与贸易法委员会携手合作的代表和专家以及对贸易法委员会工作抱有兴趣的新来者和年轻参与者汇聚在一起。
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It was noted that one of the aims of the Congress had been to raise awareness of issues that the Commission might wish to take into account in considering its work programme at a future time, including topics for possible future research, how UNCITRAL developed and updated legislative texts and how to encourage the effective use and implementation of such texts.会上指出,大会的目的之一是增进对委员会今后审议其工作方案时似应考虑的问题的认识,其中包括今后可能研究的主题,贸易法委员会如何拟订并更新立法案文,以及如何鼓励有效使用和执行此类法规。
Some participants submitted policy and proposed research papers and had been able, through brief presentations, to encourage other participants to read those papers and consider the issues raised.一些与会者提交了政策及拟议研究文件,并能够通过简要介绍鼓励其他与会者阅读这些文件并考虑所提出的问题。
The quality of the interventions from speakers, moderators and other participants had been recognized as excellent.发言者、主持人以及其他与会者发言的优异质量得到承认。
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The Congress had also elicited innovative ideas for modernizing international trade law in a sustainable manner.大会还征集了对于以可持续方式实现国际贸易法现代化的新颖构想。
It was observed that the articulation of ideas for the future was precisely what such a Congress should achieve — in other words, the Congress had been much more than a celebratory event.据认为,阐明对未来的设想恰恰是这一大会应当达至的结果——换言之,大会远不止是一次庆祝活动。
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The Legal Counsel had opened the Congress by emphasizing the importance of international cooperation and trade to the United Nations agenda, particularly the 2030 Agenda for Sustainable Development.法律顾问在宣布大会开幕时强调了国际合作和贸易对于联合国议程,特别是对于《2030年可持续发展议程》的重要性。
In addition to congratulating UNCITRAL on its achievements, he had acknowledged the transparent, inclusive and multilingual manner in which its texts were developed, and had welcomed the opportunity it provided for developing countries to have a voice in that process.除庆贺贸易法委员会所取得的成就外,他确认应以透明、包纳和多语文方式拟订贸易法委员会法规,并欢迎贸易法委员会为发展中国家提供机会,使其在这一进程中享有话语权。
The comment echoed the overarching goal of the 2030 Agenda to “leave no one behind”.这一意见已经反映在《2030年议程》“不落下任何人”这一首要目标中。
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The Minister of Justice of Austria, the country that had hosted UNCITRAL for nearly 40 years, had congratulated UNCITRAL on its fiftieth anniversary and recalled the proposal of Hungary that had led to the establishment of the Commission, in 1966.作为近四十年来贸易法委员会的东道方,奥地利司法部祝贺贸易法委员会成立五十周年,并回顾了促成1966年建立委员会的匈牙利建议。
He recognized that UNCITRAL had met the need for progressive development of private international law in international trade, had allowed the enormous technological and social changes over recent decades to be accommodated in the resulting legal frameworks and had taken the lead through dialogue to bring many divergent views together.他承认贸易法委员会满足了对于逐步发展国际贸易方面国际私法的需要,使得近几十年来技术和社会方面的巨大变化得以在所产生的法律框架中得到考虑,并且贸易法委员会发挥主导作用,以对话方式汇聚多方面不同意见。
He had welcomed the emphasis on modernization of those frameworks and on sustainability, which remained a necessity in the current times of enormous environmental, economic and social challenges.他欢迎将重点放在这些框架的现代化以及可持续性上,后者依然是应对当前环境、经济和社会方面巨大挑战的一个必要条件。
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During the first session of the Congress, distinguished speakers from a variety of regions and organizations had presented international regional and national perspectives on the achievements of UNCITRAL and its potential contributions to sustainable development (including economic growth, development and institution-building).在大会第一次会议上,来自不同区域和组织的重要发言者从国际、区域和国家角度阐述了对于贸易法委员会的成就以及贸易法委员会可能对可持续发展(包括经济增长、发展和体制建设)作出的贡献的看法。
The speakers had voiced ongoing commitment to UNCITRAL, described as one of the most influential organs in legal harmonization, and had encouraged nations to join together to support its work, described as a “masterpiece of global hope and security”.发言者表达了对贸易法委员会的持续承诺,形容贸易法委员会是法律协调统一方面最有影响力的机关之一,并鼓励各国协力支持其工作,形容这项工作是“全球希望和安全的一项杰作”。
Points raised included the importance of reducing barriers to access to international commercial markets and of enhancing trade and economic growth, and so improving peoples’ well-being in all countries, and in developing countries in particular.所提出的要点包括,务必减少国际商业市场准入障碍,务必增进贸易和经济增长,从而改善所有国家特别是发展中国家人民的福祉。
In addition, the Commission’s major and positive effect on the rule of law and in improving international trade and cooperation, the importance of recognizing the anti-globalization movement and the pernicious effect of corruption on international trade had been emphasized.另外,还强调了委员会在法治以及加强国际贸易与合作方面的重要而积极作用、认清反全球化运动的重要性,以及腐败对于国际贸易的有害影响。
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The benefits of cooperation and coordination and the positive contributions of UNCITRAL to a collaborative approach had also been highlighted.还强调了合作与协调的益处以及贸易法委员会对协作方法作出的积极贡献。
Examples included the Commission’s work on anti-corruption with UNODC (custodian of the United Nations Convention against Corruption) and the support given to other international bodies such as the World Bank in its reform activities in insolvency and secured transactions and to EBRD in its legal transition work, in which UNCITRAL texts had served as models for national legislative reform.给出的例子包括委员会与毒品和犯罪问题办公室(《联合国反腐败公约》监护机构)在反腐败方面的工作,以及给予其他国际机构的支持,例如,支持世界银行进行破产和担保交易方面的改革活动,以及支持欧洲复兴和开发银行进行其法律过渡工作,贸易法委员会法规在这项工作中成为国家立法改革的范本。
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Key emerging themes had included the “convening power of UNCITRAL”, a phrase repeated throughout the Congress.新出现的关键主题包括“贸易法委员会的召集力”,这是整个大会期间一再重复的词语。
The phrase reflected that UNCITRAL provided a learning space in which people could gain an understanding of the questions to be addressed and of the experience of others, so as to develop the law of international trade in a way that would be fit for purpose.它所反映的是,贸易法委员会提供了一个学习空间,人们可以在此了解要处理的问题以及其他人的经验,以便以一种适合目的的方式制定国际贸易法。
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In a keynote speech opening the afternoon sessions on 4 July, the benefits to one system from the use of UNCITRAL texts had been outlined, demonstrating the importance of creativity in law-making, the benefits and challenges of increased human interaction in cross-border commerce and the importance of the rule of law in supporting that commerce.在7月4日下午会议开始的主旨发言中,概要说明了使用贸易法委员会法规给某一制度带来的益处,展示了立法创新的重要性、跨界商务人员互动增加带来的惠益和挑战,以及法治对支持这种商务的重要性。
International cooperation and coordination, once again, had been identified as key drivers of success.会上再次确认国际合作与协调是取得成功的关键能动因素。
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During the first panel of the Congress, the qualitative and quantitative benefits in the use of model laws, including empirical research demonstrating a large and positive impact of UNCITRAL texts on dispute settlement, the challenges raised in the interpretation of model law-based provisions and success factors for model laws, and the need for, and impact and functions of, model laws at the regional level, had been considered.在大会第一专题小组会议期间,审议了使用示范法在量和质的方面带来的益处,其中包括实证研究表明贸易法委员会法规对于解决争议产生的大量而积极的影响,基于示范法条款的解释所提出的挑战和示范法的成功因素,以及区域一级对于示范法的需要及其影响和功能。
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A second panel had addressed the process of UNCITRAL law-making in corporate insolvency, transport of goods by sea and secured transactions, and the benefits of the participation of both delegates from States and experts in legislative development.第二专题小组讨论了贸易法委员会在公司破产、海上货物运输以及担保交易方面的立法过程,以及各国代表和专家参与立法制定工作的益处。
The challenges of achieving broad and consistent representations in UNCITRAL work had also been noted.还注意到在实现贸易法委员会工作广泛和一致代表性方面的挑战。
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A subsequent panel had considered the relationship between multilateral and regional organizations, and whether their work reinforced each other’s or created tension.随后举行的专题小组会议审议了多边和区域组织之间的关系,以及它们的工作是相辅相成还是造成紧张。
The similarities between law reform at the multilateral and regional levels had been noted, and it had been observed that transferability of solutions between systems should be assumed — and, indeed, that attempts to impose one region’s or system’s solution might be counterproductive.会上注意到多边一级和区域一级法律改革的相似性,并指出,应当假定解决办法在不同制度之间的可转移性——的确,试图强加某一区域或制度的解决办法可能适得其反。
The benefits of an empirically based approach had been highlighted, and the power of UNCITRAL to convene participants had again been recognized as key.着重说明了基于实证办法的益处,并再次确认贸易法委员会召集与会者的权力是关键。
Ongoing challenges relating to disengagement in some regions and retaining consistent expert presence in some working groups had been noted, and UNCITRAL had been urged to engage in interactive regional engagement in response.注意到在某些区域缺乏参与方面以及一些工作组在保持专家参与连贯性方面持续面临的挑战,并促请贸易法委员会针对这些挑战进行互动性区域参与。
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Opportunities and challenges in the use of UNCITRAL models had also been discussed.还讨论了在使用贸易法委员会示范法方面的机会和挑战。
While the success of UNCITRAL in bridging impasses and finding middle ground had been noted, so had the challenges that nonetheless remained.虽然注意到贸易法委员会成功突破僵局并找出折中办法,但依然存在诸多挑战。
Examples included unexpected interpretations of texts and the use of options and guidance rather than legislative text and variations in enactment, which had all led to divergence in practice.例子包括对法规的意外解释、使用备案和指导意见而非立法案文,以及颁布时作出变更,所有这些都导致实践当中出现差异。
On the other hand, the role of UNCITRAL in promoting consistency in terminology as an aid to understanding had been a positive step, although linguistic issues would remain considerable.另一方面,贸易法委员会为协助理解而在促进术语一致性方面发挥的作用是一个积极步骤,不过语文上的问题仍然相当大。
The growing interaction between investment law and foreign direct investment also brought into play the need to balance the interests of the private and public sectors and the importance of stable legal frameworks.投资法律与外国直接投资之间日渐加强的相互作用也显示出需要平衡公私营部门的利益并重视稳定的法律框架。
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The first day had concluded with a moderated exchange of views by former secretaries and Chairs of UNCITRAL and the Commission’s current Secretary.第一天会议结束时,贸易法委员会前任秘书和前任主席以及委员会现任秘书进行了主持下的意见交流。
They had discussed the comparative advantage of UNCITRAL in law reform in terms of its multilingualism and inclusiveness and had agreed that, despite the Commission’s limited resources, pursuing cooperative approaches would remain critical.他们讨论了贸易法委员会以其多语种和包纳性而在法律改革方面占有相对优势,一致认为,尽管委员会资源有限,寻求合作办法依然至关重要。
It had been added that the influence of UNCITRAL could not always be measured and that success criteria went far beyond the domestic enactment of UNCITRAL texts.补充说,贸易法委员会的影响力并非总能衡量,成功标准远不止在国内颁布贸易法委员会法规。
Indeed, it had been considered that even failures could be instructive and lead to new and creative solutions.的确,他们认为,即使失败也不无益处,可能由此产生新的、有创造性的解决办法。
It had been further agreed that there was no perfect system of working groups and that the Commission’s willingness to adapt its structure to meet the challenges it faced was another factor underpinning its achievements.还一致认为,没有完美无缺的工作组系统,而委员会乐于调整自身结构以应对它所面临的种种挑战,是贸易法委员会取得成就的另一个基本因素。
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The second day had started with a session on the topic “Developments in the law of international trade and commerce: integrated systems to support cross-border trade”.第二天以主题为“国际贸易和商业法律动态:支持跨界贸易的综合系统”的会议开始。
Stressing the importance of existing UNCITRAL texts on electronic commerce, several suggestions had been made to build upon that solid platform.在强调贸易法委员会现有电子商务法规重要性的同时,就扩展这一坚实平台提出若干建议。
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The day’s first panel had been devoted to legal issues arising from digital contracts and digital property.该日第一专题小组专注于数字合同和数字财产所产生的法律问题。
Reference had been made to smart goods, whose software component, including periodic access to updates, was essential for proper use.会上提到智能货物,其软件组成部分(包括定期访问更新)对正常使用至关重要。
Another example cited was that of electronic enforcement, which could significantly impact upon remedies for non-performance.所列举的另一个例子是电子执行,电子执行可能对不履行方面的救济产生重大影响。
It had been noted that the legal aspects of those emerging issues was yet to be fully explored.会上指出,这些新出现问题所涉及的法律方面尚未充分探讨。
Another set of questions related to the relationship between the notion of ownership, itself subject to different definitions, and control over data, including for privacy and data protection purposes.另一组问题涉及所有权概念(其本身受限于不同定义)与数据控制(包括为隐私和数据保护目的的控制)两者之间的关系。
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During the second panel, various aspects of the use of distributed ledgers based on blockchain technology (DLT), including cryptocurrencies and smart contracts, had been discussed.第二专题小组会议期间讨论了使用基于链条式技术的分布式账本(DLT)所涉及的各个方面,包括加密货币和智能合同。
It had been indicated that several of those aspects could be addressed in existing legislative texts inspired by the principle of technological neutrality, and a “fitness check” of UNCITRAL texts might indicate that they were better able to accommodate modern tools than was in fact appreciated.会上表示,其中若干方面可能已在本着技术中性原则制定的现行法规中涉及,对贸易法委员会法规进行“健康检查”可以表明它们更能够比实际预期包纳现代工具。
However, matters related to the delocalized nature of certain distributed ledgers could pose additional challenges to legal notions based on geographical location.然而,与某些分布式账本的无固定所在地性质有关的事项可能会给基于地域所在地的法律概念带来进一步挑战。
It had been added that ongoing efforts aimed at dealing with legal and regulatory issues pertaining to distributed ledgers would benefit from closer coordination and that UNCITRAL could be in a position to do so effectively.补充说,目前旨在处理分布式账本方面法律和监管问题的努力将受益于更紧密的协调,而贸易法委员会有条件在这方面发挥有效作用。
It had been concluded that UNCITRAL should monitor developments in the field.会议的结论是,贸易法委员会应当监测这一领域的动态。
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The third panel had dealt with transport, trade facilitation and payments.第三专题小组涉及运输、贸易便利和支付。
With respect to payments, it had been indicated that business practices had changed significantly since the adoption of the UNCITRAL Model Law on International Credit Transfers (1992) and that the preparation of a new legislative text could bring significant benefits, for instance with respect to supporting regulatory mechanisms, promoting financial inclusion and stability and implementing monetary policies more effectively.关于支付,会上表示,自通过《贸易法委员会国际贷记划拨示范法》(1992年)以来,商业实务已经发生重大变化,拟订一部新法规可以带来显著益处,例如,支持监管机制、促进金融普惠和稳定,以及更有效地执行货币政策。
Examples of issues to be considered included: liability allocation, including for fraud and error; authentication of parties and security of transfers; finality of settlements; and recognition of multilateral clearing.可审议问题的例子包括:赔偿责任分配,包括对欺诈和差错的赔偿责任;当事人认证和划拨担保;清算的终局性;以及承认多边清算。
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With respect to trade facilitation, reference had been made to the importance of UNCITRAL texts, namely the Electronic Communications Convention and the Model Law on Electronic Transferable Records, in implementing provisions on electronic commerce and paperless trade facilitation contained in free trade agreements.关于贸易便利,提到贸易法委员会法规——即《电子通信公约》和《电子可转让记录示范法》——对于执行载于自由贸易协定中关于电子商务和无纸贸易便利化的规定的重要性。
In particular, it had been indicated that the possibility of dematerializing bills of lading and similar commercial documents could greatly support interoperability for business-to-business and business-to-Government electronic exchanges at the national and international levels.特别是,会上表示,提单以及类似商业文件实现非实物化的可能性可极大地支持国家一级和国际一级企业对企业和企业对政府电子交换的互操作性。
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It had also been suggested that UNCITRAL could consider preparing a uniform legal regime for logistics contracts, which were distinct from traditional carriage of goods or warehousing contracts, and some aspects of which were already successfully dealt with in the Rotterdam Rules.会上还提出,贸易法委员会可以考虑为物流合同建立统一法律制度,物流合同不同于传统货物运输或仓储合同,其中某些方面已经在《鹿特丹规则》中成功地加以处理。
It had further been noted that, while most existing legislative provisions on electronic commerce were transactions-oriented, the platform model was currently prevalent in the digital economy.进一步指出,虽然关于电子商务的大多数现行立法条文都是以交易为导向的,但平台模式现在盛行于数字经济。
Accordingly, it had been suggested that UNCITRAL should consider preparing dedicated legislative provisions for electronic platforms, dealing with issues such as the relationship between platform operators and users, including allocation of liability, and decentralized reputational systems.因此,会上提出,贸易法委员会应当考虑拟订关于电子平台的专门立法条文,处理诸如平台营运人与使用者之间关系(包括赔偿责任分配)以及分管式声誉计分系统等问题。
401.401.
Applying modern technologies to the question of the credit economy, it had been considered at the Congress how DLT might affect many aspects of secured transactions, including the substantive rules, the infrastructure and the practices.关于运用现代技术解决信贷经济问题,大会审议了分布式账本技术如何影响到担保交易的诸多方面,其中包括实体规则、基础设施和实务。
One issue that had been raised was whether the rules of the UNCITRAL Model Law on Secured Transactions that applied to equity securities should also apply to cryptocurrencies and tokens that were similar to equity securities.所提出的一个问题是,《贸易法委员会担保交易示范法》中适用于股权证券的规则是否也应适用于与股权证券类似的加密货币和令牌。
DLT might minimize a number of risks, such as that of unauthorized registrations, for which the Model Law provided comprehensive and complex rules.分布式账本技术有可能将一些风险降至最低程度,如未经许可登记的风险,《示范法》针对此种风险提供了全面而复杂的规则。
DLT also had the potential to facilitate the indexing of registrations against unique identifiers of grantors that might be allocated by and maintained in DLT systems, reducing the risk that registrations would be found seriously misleading.分布式账本技术还具有便利根据分布式账本系统可能分配并保持的设保人的独一标识实现登记指数化的潜在可能性,从而减少登记造成严重误导的风险。
From the practical standpoint, DLT applications had the potential to facilitate the monitoring of encumbered assets, preventing their misuse and connecting those assets with other applications that facilitated their disposal (e.g., supply chain systems).从实用角度看,分布式账本技术应用程序有可能便利监测设保资产,防止其滥用,并将这些资产与其他便利其处分的应用程序(如供应链系统)连接起来。
Enforcement of security rights could also be streamlined while preserving the balance between the rights of secured creditors, grantor and third parties affected by enforcement.在简化担保权执行的同时,还可在有担保债权人权利、设保人权利和受执行影响第三方权利之间保持平衡。
Finally, DLT introduced a number of new questions in relation to the intersection of secured transactions and prudential regulation, including whether cryptocurrencies and equity-like tokens would qualify as eligible collateral allowing banks to reduce capital charges.最后,分布式账本技术引入了一些新的问题,涉及担保交易与审慎监管之间的交叉,包括加密货币和类似股权的令牌是否有资格成为合格抵押品而让银行减少资本收费。
402.402.
Enhancing coordination between secured transactions law and prudential regulation had been noted as an essential element for fostering access to credit in a safe and sound financial environment.会上指出,加强担保交易法与审慎监管之间的协调是促进在安全和健康的金融环境下获取信贷的一项基本条件。
In particular, the panel had highlighted that a lack of coordination between those two branches of the law undermined the effectiveness of secured transactions law reforms in broadening financial inclusion and might raise financial stability concerns.特别是,专题小组强调,这两个法律分枝之间缺乏协调破坏了在扩展金融普惠方面进行担保交易改革的效能,并有可能引起金融稳定方面的担忧。
In fact, while the UNCITRAL Model Law on Secured Transactions facilitated the use of any movable assets as collateral, capital requirements were sceptical of the ability of non-financial assets to effectively reduce risk.事实上,虽然《贸易法委员会担保交易示范法》促进使用任何动产作为抵押品,但在资本要求上仍然对非金融资产能否有效减少风险持怀疑态度。
Hence, asset-based lending tended to develop outside regulated banking activities.因此,基于资产的放贷往往在受监管的银行活动以外发展。
It had been suggested UNCITRAL should promote a dialogue and inter-institutional cooperation with the Basel Committee on Banking Supervision and other relevant organizations, so as to develop guidance on compatible use of their tools.会上建议贸易法委员会应当促进与巴塞尔银行监督委员会以及其他相关组织的对话和机构间合作,以便制订关于兼容使用其工具的指导意见。
The overarching aim should be to facilitate the extension of secured credit, including through domestic banking systems, in order to reduce the cost of borrowing and promote financial stability.首要目标应当是促进提供有担保信贷,包括通过国内金融系统,以降低借贷成本并促进金融稳定性。
403.403.
The subsequent sessions on insolvency law had commenced with a short panel discussion on the work undertaken by UNCITRAL on insolvency law to date, including the lessons learned not only from the range of harmonization techniques used in the texts completed by Working Group V (e.g., model law, legislative guide and practice guide), but also from the degree of complexity of the topics pursued and their relevance to the different participants in the process.接下来举行关于破产法的会议,首先是一次关于贸易法委员会迄今在破产法方面开展的工作的专题小组简短讨论,包括从各方面汲取的经验教训,不仅涉及第五工作组所完成法规中使用的各种统一协调法律的方法(如示范法、立法指南和实务指南),还涉及所研究主题的复杂程度以及这些主题对于这一过程不同参与方的相关性。
404.404.
A second panel had introduced proposals on the following: a model law approach to resolving sovereign insolvency; the need to incorporate, in insolvency regimes for micro, small and medium-sized enterprises, provisions on both corporate and personal insolvency; a global recognition regime for the resolution of financial institutions; and addressing various issues arising from the intersection of insolvency proceedings and arbitration.第二专题小组就下述方面提出建议:解决主权破产的示范法办法;在微型、小型和中型企业破产制度中需要纳入关于公司破产和个人破产的规定;针对金融机构破产的全球承认制度;以及处理由于破产程序与仲裁交叉而产生的种种问题。
405.405.
A third panel had extended the discussion to include the following: the development of a framework for asset tracing and recovery; the unification of private international law rules to resolve conflict and achieve consistency in cross-border insolvency judgments; the possibility of developing a convention on various aspects of cross-border insolvency; an approach to resolving sovereign insolvency involving the use of arbitration and conciliation; an approach to resolving transnational corporate collapse through recognition of the right of corporations (at their inception) to select and register the insolvency law that would apply to resolve future financial difficulty; and formulation of choice-of-law rules to facilitate certainty and avoid conflict in cross-border bank insolvencies.第三专题小组扩大讨论范围后包括以下议题:制订资产追查和收回框架;统一国际私法规则以解决跨界破产判决的冲突并实现一致性;就跨界破产各个方面制订一部公约的可能性;一种使用仲裁和调解解决主权破产的方法;一种通过承认公司(在初建时)有权选择并登记将适用于解决未来财务困难的破产法来解决跨国公司瓦解的方法;制订法律冲突规则以促进确定性并避免跨界银行破产方面的冲突。
The participants had concluded that there remained much work to be done in the field, and had once again highlighted the importance of cooperation in achieving successful outcomes.与会者最后认为这一领域仍有大量工作要做,并再次强调合作取得成功结果的重要性。
406.406.
The third day of the Congress had started with consideration of the topic of dispute settlement.大会第三天首先审议争议解决问题。
The first panel had been a round-table discussion on possible reforms of the investor-State dispute settlement regime, and had prompted three topics for discussion: issues related to the current investor-State dispute settlement regime; adjustments and improvements to that regime; and, finally, the possible creation of a multilateral investment court.第一专题小组是关于投资人与国家间争议解决制度可能改革的圆桌讨论,并提出三个议题供讨论:投资人与国家间争议解决现行制度所涉及的问题;对这一制度的调整和改进;最后,可能设立一个多边投资法院。
The panel had debated various recently developed solutions to the issues identified.专题小组就最近针对所确定的这些问题提出的各种解决办法进行了辩论。
The adoption of the Transparency Rules by an increasing number of stakeholders, as well as the forthcoming entry into force of the Mauritius Convention on Transparency, had also been mentioned as positive developments.会上提到,越来越多的利益相关方通过《透明度规则》,以及《毛里求斯透明度公约》即将生效,都是积极的发展变化。
407.407.
The second panel had focused mainly on commercial arbitration, and had considered three main issues: whether there was a need for further regulation or whether the time had come for deregulation; issues faced when regulating in a multilateral context, such as the inherent tensions in any harmonization project, and how UNCITRAL had sought to strike a balance through its working methods and the different types of instruments it has developed; and the spillover from investor-State arbitration into commercial arbitration.第二专题小组主要侧重于商事仲裁,并审议了三个主要问题:是否有必要进一步规范,或者是否到了取消规范的时候;在进行多边一级规范时所面临的问题,例如,任何协调统一项目本身存在的压力,以及贸易法委员会如何设法通过其工作方法以及贸易法委员会已制定的不同类型文书来保持平衡;投资人与国家间仲裁对商事仲裁的外溢效应。
Topics of interest for possible work mentioned during the panel discussion had included the question of combining arbitration and conciliation, parallel proceedings and adjudication.小组讨论期间提到可能开展工作的令人感兴趣的主题,包括仲裁与调解相结合问题、并行程序以及裁判。
408.408.
The third panel, on new frontiers in dispute settlement, had covered developments in the field of online dispute resolution and solutions of a technological nature to enhance access to justice.第三专题小组与争议解决方面新的领域有关,涉及网上争议解决领域的动态,以及为加强诉诸司法而制定技术性解决办法。
A proposal on developing bilateral treaties on commercial arbitration had also been introduced.还介绍了一项拟订商事仲裁双边条约的建议。
409.409.
During the afternoon of the third day, the use, implementation and effective understanding of UNCITRAL texts in practice had been addressed.第三日下午讨论了在实践当中使用、执行和有效认识贸易法委员会法规。
The first panel had considered the tools that UNCITRAL and cooperating entities had issued to support the better understanding of its texts on dispute settlement: guides on the New York Convention, the 2012 Digest of Case Law on the Model Law on Arbitration and the ASA toolbox for promoting the 2016 UNCITRAL Notes on Organizing Arbitral Proceedings.第一专题小组审议了贸易法委员会及协作实体为支持更好地了解贸易法委员会关于争议解决的法规而发布的各种工具:《纽约公约》指南、2012年《仲裁示范法判例法摘要》,以及瑞士仲裁协会为促进《贸易法委员会关于仲裁程序安排的说明》而制作的工具箱。
410.410.
Participants at the Congress had then considered the issue of implementing the United Nations Sales Convention and had discussed aspects of promoting the adoption, use and uniform interpretation of that Convention.大会与会者接下来审议《联合国销售公约》的执行问题,并讨论了促进通过、使用和统一解释该《公约》所涉及的各个方面。
At a general level, it had been indicated that a dynamic interpretation of the Convention was necessary to ensure its continuing relevance for evolving business practices.在一般层面上,会上表示,对该《公约》的动态解释是确保其继续在不断演变的商业实务中发挥作用所必需的。
It had been noted that a number of existing legal mechanisms promoted that dynamic interpretation, but that more specific guidance, possibly in the form of a model law, could also be beneficial.会上指出,一些现有法律机制促进了这种动态解释,但如果提供更具体的指导,可能的话采用示范法形式,可能也不无益处。
A case study had examined issues related to the possible adoption of the Convention at the national level, and had concluded that the provisions of the Convention were generally compatible with all legal traditions and economic systems, and should therefore be adopted universally.一项专题研究审查了与可能在国家一级通过该《公约》有关的各种问题,并得出结论,认为该《公约》的规定与所有法律传统和经济制度基本兼容,因此应当普遍通过该《公约》。
411.411.
Another case study had highlighted the influence of certain fundamental notions of the Convention on the development of contract law at the national level, suggesting that smaller jurisdictions might be more open to the influence of uniform and international law texts. Other suggestions had been to fill gaps in legal education at the undergraduate level and to develop rules and practices specific to cross-border sales and not strictly connected with national law.另一项专题研究着重说明了该《公约》的某些基本概念对国家一级合同法发展产生的影响,其中提出,较小法域可能对统一的国际法文书的影响持更开放的态度;其他建议着眼于填补大学本科法律教育空白,并制订与国内法无严格关联的跨界销售具体规则和做法。
Yet another participant had stressed the importance of extending the number of languages in which guidance on the United Nations Sales Convention was available, to the benefit of legal actors, commercial operators and, in particular, small and medium-sized enterprises that were unaware of contractual agreements in foreign languages and under foreign law.还一位与会者强调了以更多语种提供关于《联合国销售公约》指导意见的重要性,以使法律工作者、商业运营人以及特别是微型、小型和中型企业受益,这些企业不了解根据外国法律、用外文写成的合同协定。
412.412.
At the penultimate session, the challenges of keeping UNCITRAL texts up to date had been considered, using public procurement and public-private partnerships as an example.在接下来的会议中,以公共采购和公私伙伴关系为例,审议了保持贸易法委员会法规不断更新所面临的挑战。
The challenges of working in a dynamic area of law (common to most UNCITRAL topics), the amount of time necessary to develop an UNCITRAL legislative text and the importance of evaluating the effectiveness of those texts in practice had all been highlighted.在动态法律领域中开展工作的挑战(——这是大多数贸易法委员会主题经常遇到的挑战)、制订一部贸易法委员会法规所需要的时间量,以及评价这些法规在实践当中的效能的重要性,所有这些都在会议上着重加以说明。
Participants had highlighted areas of possible improvement in the UNCITRAL Model Law on Public Procurement to reflect new developments, and had discussed whether or not they indicated that the Model Law itself should be amended.与会者着重指出了为反映新的变化发展而可对《贸易法委员会公共采购示范法》作出改进的方面,并讨论了这些改进方面是否表明《示范法》本身应当加以修正。
The risks of reopening issues that had proved challenging in achieving consensus, of some States seeking to impose their solutions (echoing comments made earlier in the Congress) and the benefits of complementing texts through providing supplemental materials, up-to-date guidance and interpretation had all been noted.重新讨论已证明极难取得共识的问题以及某些国家试图强加其解决办法(呼应大会早些时候提出的评论意见)所带来的风险,以及通过提供补编材料、最新指导意见和释义来补充法规所带来的益处,所有这些都在会上提到。
Examples of the use of the Model Law in practice had been recognized as underscoring the need to take into account experience in regional reform and when enacting the text domestically when seeking to harmonize systems worldwide.会议认识到,实践中使用《示范法》的例子突出说明需要在寻求统一全球各种制度时考虑到区域改革的经验以及国内颁布该法规的经验。
No easy answers had been found to the questions of how to preserve the UNCITRAL knowledge base when working groups completed their work, although the potential to harness modern technology to preserve discussion and continuity had been raised.关于各工作组完成其工作后如何保持贸易法委员会的知识基础,这个问题找不到简单答案,不过提出有可能利用现代技术保持讨论和连续性。
413.413.
During the final session, participants had considered the coordination and cooperation function of UNCITRAL, and how knowledge-gathering and knowledge dissemination could be enhanced through more in-depth and systematized cooperation, despite the different structures, membership and working modalities of the rule-formulating agencies.在最后会议期间,与会者审议了贸易法委员会的协调和协作功能,以及如何通过更深入、更系统的合作加强知识收集和知识传播,尽管各规则制定机构在结构、成员以及工作方式上各不相同。
It had been noted that they all faced a common challenge: persuading the intended beneficiaries of their work of its value, since none had enforcement power.会上指出,所有这些机构都面临一个共同挑战:说服预期受益人相信其工作的价值,因为它们无一享有执行权。
414.414.
The importance of legal infrastructure on trade and investment at the regional level by reference to the Asia-Pacific region had been highlighted, and the Congress had heard about the variety of international models used and their benefits for the region and events improving the understanding of those models.会上以亚太区域为例,强调了区域一级法律基础设施对于贸易和投资的重要性,大会还听取了所使用的各类国际模式及其给该区域带来的益处,以及增进对这些模式的了解的各种活动。
The potential of the Global Legal Information Network a multilingual and worldwide resource tool for the assimilation of laws — had also been discussed, and participants had been urged to support and raise awareness of the Network.还讨论了全球法律信息网的潜力,这是一种为实现法律同化而创建的多语种、全球性资源,大会促请与会者支持这一网络并增加对其了解。
415.415.
The panel had discussed various mechanisms to disseminate and preserve the value of the work of UNICTRAL, and concluded that one of them, discussed for some time in UNCITRAL circles, would be for UNCITRAL to survey and report annually on international, regional and some domestic reforms in international trade law in an annual publication.专题小组讨论了为传播和保持贸易法委员会工作的价值而使用的各种机制,最后指出,其中一种已在贸易法委员会圈内谈论一段时间的机制是,贸易法委员会每年对国际贸易法方面的国际改革、区域改革以及某些国内改革进行调查并在一份年度出版物中提出报告。
416.416.
In closing the Congress, the Secretary of UNCITRAL had thanked all the participants for their commitment and enthusiasm and had encouraged further study of the new concepts in international commerce that had been discussed during the Congress, the discussions of how existing solutions and instruments might already meet many new challenges, and the conclusion that wider promotion and adoption would further contribute to the successes of UNCITRAL.大会结束时,贸易法委员会秘书感谢所有与会者作出的承诺和表现出的热情,鼓励对大会期间所讨论的国际商业方面的新概念进行进一步研究,对现有解决办法和文书如何可能已在应对诸多新的挑战进行讨论,并得出结论认为更广泛地推广和通过这些文书将进一步促进贸易法委员会取得成功。
He had been pleased to hear the widespread view that the Commission had a major and exciting role to play in the years to come.他高兴地听到,普遍认为委员会将在今后发挥重大和令人激动的作用。
417.417.
The Commission had also heard that other events were organized in connection with the Congress.委员会还听取了结合大会举办的其他活动的情况。
The first was a side event on contractual networks, organized by Italy to provide an overview of its proposal for consideration by Commission at its current session (A/CN.9/925; see chapter XVII below) regarding possible future work by UNCITRAL on contractual networks.首先是意大利组织的一次关于合同网络的配套活动,概要介绍了意大利提交委员会本届会议审议的关于贸易法委员会今后可能开展合同网络方面的工作的建议(A/CN.9/925;见下文第十七章)。
At that event, the main features of a contractual network, which could be considered as bridging the gap between contract law and company law, had been briefly outlined, and representatives of the private sector in Italy had provided examples of contractual networks intended to facilitate the internationalization of local businesses, mainly micro, small and medium-sized enterprises.在这次活动上概要说明了合同网络的主要特征——或许可以认为此种网络填补了合同法与公司法之间的空白,而意大利私营部门代表提供了旨在促进当地企业国际化的合同网络实例,其中主要是微型、小型和中型企业。
In that regard, the success story of a contractual network aiming to facilitate access by Italian businesses to the Indian market and establish partnerships with local businesses had been presented in detail.在这方面,详细介绍了某一合同网络着眼于促进意大利企业进入印度市场并与当地企业建立伙伴关系的成功事例。
418.418.
The topics of other side events had been “Integrating sustainability considerations into international commercial law reform” (such as inclusive competitiveness and access to global supply chains, the business and human rights legal framework in the UNCITRAL context and environmental issues, climate change and UNCITRAL texts) and “The potential contribution of the digital economy to the sustainability agenda” (including free flow of information and implications for UNCITRAL works on e-commerce, uniform law on electronic contracts as a step forward in the elimination of barriers in electronic commerce and improving cooperation in cross-border insolvency issues by means of blockchain technology).其他配套活动的主题是“将可持续性考虑纳入国际商法改革”(如包容性竞争和进入全球供应链、贸易法委员会工作中涉及的商业和人权方面法律框架,以及环境问题、气候变化与贸易法委员会法规)和“数字经济对可持续性议程的潜在贡献”(包括信息自由流动和对贸易法委员会电子商务方面工作的影响、以电子合同方面统一法律作为第一步消除电子商务障碍,并借助链条式技术改进跨界破产问题合作)。
419.419.
The Commission welcomed the report of the Congress and congratulated UNCITRAL on the event.委员会欢迎大会的报告并祝贺贸易法委员会举办这一活动。
The structure and breadth of the sessions, it was noted, had enabled an enriching discussion that would benefit the participants, and future deliberations in UNCITRAL.会上指出,各次会议的结构和广度使得能够进行丰富的讨论,从而给与会者以及贸易法委员会未来的审议工作带来益处。
420.420.
The Commission requested the Secretariat to prepare and publish the proceedings of the Congress and selected materials presented for consideration at the Congress.委员会请秘书处编写并出版大会议事记录以及某些提交大会审议的材料。
XVI.十六.
Role of UNCITRAL in promoting the rule of law at the national and international levels贸易法委员会在促进国内和国际法治方面的作用
A.A.
Introduction导言
421.421.
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 Assembly, on the Commission’s current role in promoting the rule of law.委员会回顾,大会请委员会在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议,据此,自委员会2008年第四十一届会议以来,“贸易法委员会在促进国内和国际法治方面的作用”这一项目一直列在委员会的议程上。
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,自该届会议以来,委员会在提交大会的年度报告中转交了就委员会在促进国内和国际法治方面的作用发表的评议,包括在冲突后重建的国情下。
It had 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。
422.422.
At its fiftieth session, the Commission took note of General Assembly resolution 71/148, on the rule of law at the national and international levels, in paragraph 22 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.委员会第五十届会议注意到关于国内和国际法治的大会第71/148号决议,大会在其中第22段请委员会继续在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议。
The Commission decided to focus its comments to the General Assembly on ways and means to further disseminate international law to strengthen the rule of law from the perspective of the areas of work of UNCITRAL, in line with paragraph 26 of that resolution.委员会决定根据该决议第26段的规定,在其提交给大会的评议中,重点从贸易法委员会各工作领域的角度介绍进一步传播国际法以加强法治的方式方法。
In formulating its comments to the General Assembly on the topic, the Commission was assisted by the views of experts summarized in section B below.委员会在就这一专题拟订其提交大会的评议时,得到了专家意见的帮助,这些专家意见摘要载于下文B节。
423.423.
The Commission requested the Secretariat to consider informing the Commission in writing about relevant developments related to topics on which the Commission would be expected to provide comments to the General Assembly under the agenda item at future sessions.委员会请秘书处考虑以书面形式通报委员会预计在今后委员会各届会议本议程项目下向大会提交评议的有关专题的相关发展情况。
424.424.
The Commission heard a statement about role of UNCITRAL in promoting the rule of law.委员会听取了关于贸易法委员会在促进法治方面的作用的发言。
Reference was made in particular to its work towards enhancing the effectiveness of settlement of international and regional commercial disputes, compiling best practices and ensuring acceptance and uniform interpretation of international commercial law.特别提到了贸易法委员会开展的工作,这些工作旨在加强解决国际和区域商事争议的效率,汇编最佳做法,以及确保国际商法获得接受和统一解释。
The importance of the transparency, objectivity and inclusiveness of the Commission was considered to be a major contributor to its continued success in strengthening the rule of law at the national and international levels.委员会保持透明度、客观性和包容性的重要意义被认为是有助于委员会在加强国内和国际法治方面继续取得成功的一个主要因素。
B.B.
Summary of experts’ views专家意见概要
425.425.
Experts shared experiences regarding the dissemination of international commercial law in the national, bilateral, regional and international contexts, highlighting the role of State and non-State institutions in that respect.关于在国家、双边、区域和国际背景下传播国际商法,专家们交流了经验,强调了国家和非国家机构在这方面的作用。
The role of national legislators in using international commercial law while implementing national commercial law reform and the role of judges in applying and interpreting international commercial law in a uniform way were highlighted in particular.特别强调了在实施国内商法改革的同时国家立法者在使用国际商法方面发挥的作用,以及法官在适用和统一解释国际商法方面发挥的作用。
426.426.
Specific reference was made to the importance of outreach in dissemination activities to micro, small and medium-sized enterprises, as they often lacked access to professional legal advice and faced difficulties in ensuring the contractual balance and the need to cut transaction costs to stay competitive.具体提到了针对中型、小型和微型企业开展外联宣传活动的重要性,认识到这些企业往往无从获得专业法律咨询,面临困难而难以确保合同平衡,并需要削减交易的费用以保持竞争力。
Means of dissemination of international contract law to that particular audience could include model contracts for small firms or standard clauses based on internationally accepted standards and their translation into local languages by chambers of commerce or other professional associations.向这一特定群体传播国际合同法的手段可包括以国际公认标准为基础的小型公司示范合同或标准条款,以及由商会或其他专业协会将其翻译成当地语言。
427.427.
The speakers were unanimous in underscoring the role of education for all relevant actors, in particular youth and legal practitioners, on international commercial law.发言者们一致强调了对所有相关行动方特别是青年和法律从业人员开展国际商法教育的作用。
Organization of courses, training sessions and other similar events, such as Vis Moot competitions, and reviews of international commercial law developments in publications, were considered traditional but still very effective and indispensable ways of disseminating international commercial law.举办课程、培训班和其他类似活动,例如维斯模拟辩论赛,以及在出版物中评论国际商法的发展情况,被认为是传播国际商法时所采用的传统的但却是仍然非常有效和不可缺少的方式。
The relevance of CLOUT and digests to judicial training was emphasized.强调了法规判例法和摘要集对司法培训的相关重要性。
428.428.
Specific examples were provided on the use of UNCITRAL texts in technical assistance, legal diagnostics, ranking, benchmarking, assessment methodologies and similar tools implemented by multilateral institutions in partnerships with UNCITRAL.提供了具体事例,介绍在技术援助、法律诊断、名次排序、基准对照、评估方法以及多边机构与贸易法委员会合伙实施的类似工具中关于贸易法委员会法规的使用情况。
UNCITRAL partners in those activities valued UNCITRAL texts, model laws in particular, for provisions readily transposable to national legislation and for verifiable targets for policy implementation.贸易法委员会在这些活动中的合作伙伴重视贸易法委员会法规,特别是示范法,其中的规定可现成转而适用于国家立法,政策执行中也有可核查的目标。
429.429.
The Commission was also informed about recent examples of UNCITRAL texts being used to devise information technology solutions for implementing commercial law reform, in particular electronic public procurement portals.委员会还获悉,最近使用贸易法委员会法规的事例是将之用于设计信息技术解决办法来实施商法改革,特别是电子公共采购门户网站。
The dialogue established between the legal and information technology communities through the EBRD UNCITRAL Public Procurement Initiative helped to explain to developers of those solutions policy considerations embedded in the 2011 UNCITRAL Model Law on Public Procurement.法律界与信息技术界之间通过“欧洲复兴开发银行/贸易法委员会公共采购倡议”建立的对话,有助于向这些解决办法的开发人员解释2011年《贸易法委员会公共采购示范法》内含的政策考虑因素。
As a result, transparency standards of the Model Law were expected to underlie the Open Contracting Data Standard used globally for electronic public procurement.因此,《示范法》的透明度标准预计将作为全球用于电子公共采购的《公开合同订约数据标准》的基础。
The value of the Model Law was also highlighted in the context of accession by States to the WTO Agreement on Government Procurement and implementation of regional instruments in the area of public procurement.还结合各国加入世贸组织《政府采购协定》和公共采购领域区域文书的实施,强调了《示范法》的价值。
430.430.
The Commission was also informed about current trends in legal research technology and challenges faced by international intergovernmental organizations in adopting them.委员会还获悉了法律研究技术的目前趋势和政府间国际组织在采用这些技术方面所面临的挑战。
Examples of information technology-based solutions employed by Governments and private entities for expediting legal research, including cross-border research, facilitating contract drafting and achieving consistent results in jurisprudence were provided.发言中举例介绍了各国政府和私营实体为加快法律研究,包括跨国界研究,便利合同起草和实现统一的判例结果而采用的以信息技术为基础的解决办法。
431.431.
The lack of financial and human resources, in particular dedicated information technology resources, and long-term budget sustainability were cited as the main challenges faced by international intergovernmental organizations in becoming innovative developers of legal research technology.缺乏财力和人力资源,尤其是专门的信息技术资源,以及预算的长期可持续性,这些被认为是政府间国际组织成为法律研究技术创新开发者的主要挑战。
The need to adhere to the principle of multilingualism made the implementation of innovative solutions in the United Nations system particularly difficult.遵守多语种原则的必要性造成在联合国系统内实施创新办法特别困难。
432.432.
The digital divide was cited as another major challenge faced by a United Nations body that might be mandated to reach all jurisdictions or specifically target countries with no or limited Internet access or where most users used mobile devices.发言中列举数码鸿沟是联合国这一机构面临的另一个重大挑战,因为这一机构担负着可能向所有法域普及或具体针对没有或只有有限互联网设施或其中多数用户使用移动设备的国家的任务。
Without pre-existing commercial models that addressed the particular needs of that group of end users, development of a suitable solution by a United Nations body would require greater information technology expertise and costs.如无既有的商业模式解决这类最终用户的特殊需求,那么由联合国一个机构制定适当的解决办法将需要更多的信息技术专门知识和成本费用。
433.433.
The UNCITRAL partnership on the New York Convention Guide was cited as an example of successful partnering of a United Nations body with external partners where the external partners provided resources and skills for information technology innovation while the UNCITRAL secretariat offered substantive expertise, reputation and the infrastructure to provide translations into six languages.发言中列举了贸易法委员会《纽约公约指南》伙伴关系,这是联合国一个机构与外部合作方成功结成伙伴关系的一个实例,外部合作伙伴提供信息技术创新的资源和技能,而贸易法委员会秘书处则提供实质性专门知识、声望和六种语文翻译的基础设施。
There were, however, also examples of projects that had intended to be international in outreach but had subsequently failed, producing a significant negative impact on end users and jeopardising their trust in future similar projects.然而,也有一些例子是项目的初衷是达到外联范围国际化,但随后没有成功,对最终用户产生了严重的负面影响,并损害了他们对今后类似项目的信任。
Any partnership or project with external partners would thus need to address reputational risks, issues of long-term sustainability or at least preservation and a mechanism for perpetual access and ownership by a United Nations body.因此,凡与外部合作方的任何伙伴关系或项目,都将需要解决声望风险问题、长期可持续性或至少维持关系的问题,需要有一个机制实现由联合国一个机构长久参与和主导。
434.434.
The Commission expressed appreciation to experts for their valuable input to the discussion of that agenda item and requested the Secretariat to reflect the main points made by experts in the report of the Commission. C. UNCITRAL comments to the General Assembly委员会感谢专家们对讨论这一议程项目发表的宝贵意见,并请秘书处在委员会的报告中反映专家们提出的要点。
C.
贸易法委员会向大会提交的评议
435.435.
The Commission recalled that collection and dissemination of information concerning international trade law was listed among the functions of UNCITRAL in General Assembly resolution 2205 (XXI) and, at its first session, had been envisaged as a permanent aspect of the work of the Commission, in particular to avoid wasteful duplication of effort and of result and to ensure effective coordination among all concerned.委员会回顾,收集和传播国际贸易法的信息被列为大会第2205 (XXI)号决议所规定的贸易法委员会的职能之一,并在委员会第一届会议上设想作为委员会工作的一项长久内容,特别是为了避免工作和结果的浪费重复,以及为了确保有关各方之间的有效协调。
436.436.
The Commission recognized that dissemination of international trade law, in addition to being a stand-alone function of UNCITRAL, was also inherently present in its other functions, such as the function of coordinating the work of organizations active in the field of international trade law and encouraging cooperation among them and the function of promoting wider use of UNCITRAL texts and their uniform interpretation and application.委员会认识到,传播国际贸易法,除作为贸易法委员会的一项单独职能外,也是贸易法委员会其他职能中的内在特征,例如协调在国际贸易法领域活动的各组织的工作并鼓励它们之间的合作的职能,以及推动更广泛地使用贸易法委员会的法规及其统一的解释和适用的职能。
The Commission also considered that it made an important contribution to the dissemination of texts of other organizations that were of relevance to its work, in particular by endorsing them for use or adoption.委员会还认为,对于与贸易法委员会工作相关的其他组织的法规,尤其是通过认可其使用或通过,委员会为这些法规的传播作出了重要贡献。
437.437.
The Commission decided therefore to bring to the General Assembly’s attention the deliberations and decisions at the current session under other agenda items of relevance to the topic (see chapters IX-XV and XVIII of the present report).因此,委员会决定,提请大会注意本届会议上在与本专题相关的其他议程项目下所作的审议和决定(见本报告第九至十五章和第十八章)。
438.438.
The Commission recognized the role of States, the General Assembly, international organizations invited to sessions of UNCITRAL, other UNCITRAL partners, UNCITRAL methods of work, documentation and publications in the dissemination of international commercial law.委员会认识到各个国家、大会、受邀参加贸易法委员会届会的国际组织、贸易法委员会其他伙伴、贸易法委员会工作方法、文件和出版物对于传播国际商法所起的作用。
The Commission also recognized the role of regular reviews of the work of UNCITRAL in the Repertory of Practice of United Nations Organs, the United Nations Juridical Yearbook and other United Nations and non-United Nations publications, and the importance of enhancing cooperation with academia, which the Commission had highlighted at its forty-fifth session, in 2012.委员会还认识到《联合国各机关惯例汇编》、《联合国法律年鉴》和其他联合国和非联合国出版物中定期审查贸易法委员会工作的作用,以及与学术界加强合作的重要性,委员会在其2012年第四十五届会议上就此作了强调。
439.439.
The Commission expressed appreciation to the Advisory Committee on the United Nations Programme of Assistance in the Teaching, Study, Dissemination and Wider Appreciation of International Law for reflecting international trade law within the framework of activities conducted under the Programme pursuant to the request made by UNCITRAL in its early years.委员会表示感谢联合国国际法教学、研究、传播和广泛了解协助方案咨询委员会根据贸易法委员会早年提出的请求而在该方案进行的活动范围内反映国际贸易法。
440.440.
While recalling achievements in the dissemination of international commercial law, the Commission recognized the need for constant adaptation of its dissemination practices to new issues and requested the Secretariat to consider the improvements in its dissemination practices suggested at the Congress and by the experts (see section B above).在回顾国际商法传播工作的成就时,委员会也认识到传播工作需要不断适应新的问题,委员会请秘书处考虑按贸易法委员会大会和专家们的建议改进贸易法委员会的传播工作(见上文B节)。
A specific call was made for removing obstacles to innovative dissemination practices faced by the United Nations.提出了具体呼吁以消除联合国面临的妨碍创新式传播做法的障碍。
The proliferation of online tools designed to assist with international commercial law reform but not representing internationally agreed commercial law standards was cited as a new challenge to the implementation of the UNCITRAL mandate.发言中列举了为协助国际商法改革而设计的但并不代表国际商定的商法标准的网上工具层出不穷,认为这对落实贸易法委员会的职权是一个新的难题。
441.441.
The Commission reiterated the need for better integration of its work in the broader agenda of the United Nations.委员会重申需要更好地将其工作融入更广泛的联合国议程。
The Commission was of the view that achieving that result would in itself contribute to further dissemination of international commercial law to strengthen the rule of law.委员会认为,实现这一结果本身将有助于进一步传播国际商法以加强法治。
To that end, the Commission recommended that the Secretariat should take additional steps towards dissemination across the United Nations system, in particular to legal advisers, of the Guidance Note on Strengthening United Nations Support to States, Upon Their Request, to Implement Sound Commercial Law Reforms, endorsed by the Commission at its 2016 session.为此,委员会建议,秘书处应采取进一步步骤,以便在整个联合国系统特别是向法律顾问传播经委员会2016年届会议核可的《加强联合国根据请求支持各国实施稳健商法改革的指导说明》。
XVII.十七.
Work programme of the Commission委员会的工作方案
442.442.
The Commission recalled its agreement to reserve time for discussion of its overall work programme as a separate topic at each session, in order to facilitate the effective planning of its activities.委员会回顾曾商定保留时间,作为每届会议的单独议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。
443.443.
The Commission took note of the documents prepared to assist its discussions on the topic (A/CN.9/911, the documents referred to therein and two proposals submitted separately, namely, A/CN.9/923 and A/CN.9/925).委员会注意到为协助其讨论本议题而编写的文件(A/CN.9/911,其中提到的文件,以及单独提交的两份建议,即A/CN.9/923和A/CN.9/925)。
A.A.
Current legislative programme当前的立法方案
444.444.
The Commission took note of the progress of its working groups as reported earlier in the session (see chapters III to VII of the present report), and confirmed the programme of current legislative activities as set out in table 1 of document A/CN.9/911.委员会注意到本届会议早些时候报告的各工作组的进展情况(见本报告第三章至第七章),并确认了A/CN.9/911号文件表1所载列的当前立法活动方案。
B.B.
Future legislative programme今后的立法方案
445.445.
Recalling the importance of a strategic approach to the allocation of resources to, inter alia, legislative development, and its role in setting the work programme of UNCITRAL, especially as regards the mandates of working groups, the Commission recalled that it had considered proposals for possible future legislative development earlier in the session.委员会回顾特别对立法制定工作资源分配采取战略性方针的重要性,以及其在制定贸易法委员会工作方案特别是在确定各工作组任务授权方面的作用,并回顾其曾在本届会议早些时候审议关于今后可能开展的立法制定工作的建议。
It proceeded to review its provisional decisions on those proposals, as follows.委员会进而审查了其关于这些建议的临时决定,具体如下。
446.446.
As regards e-commerce, the Commission confirmed that Working Group IV should continue with its ongoing projects on the contractual aspects of cloud computing and on legal issues related to identity management and trust services (see also para. 127 above).关于电子商务,委员会确认,第四工作组应继续开展当前关于云计算所涉合同问题以及关于与身份管理和信任服务有关的法律问题的项目(另见上文,第127段)。
447.447.
The Commission confirmed that Working Group III should undertake work on the possible reform of investor-State dispute settlement, including questions of concurrent proceedings in the field of investment arbitration and code of ethics in international arbitration.委员会确认第三工作组应就投资人与国家间争议解决方面可能的改革开展工作,包括投资仲裁领域同时进行的程序和国际仲裁道德准则等问题。
In so doing, the Working Group should identify and consider concerns regarding investor-State dispute settlement and whether reform was desirable; if so, it should develop solutions to be recommended to the Commission (see also para. 264 above).为此,工作组应查明并审议有关投资人与国家间争议解决的关切以及改革是否可取;如果可取,工作组应制定解决办法以推荐给委员会(另见上文,第264段)。
448.448.
As regards procurement and infrastructure development, the Commission confirmed that the Secretariat (with the assistance of experts) should continue to update and consolidate the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects and associated texts, and should report further to the Commission, with draft texts as appropriate, at its fifty-first session, in 2018.关于采购和基础设施开发,委员会确认,秘书处(在专家协助下)应继续增订并合并《贸易法委员会私人融资基础设施项目法律指南》和相关案文,并在委员会2018年第五十一届会议上进一步向委员会报告情况,并酌情提供案文草案。
The Commission also decided not to include the question of suspension and debarment in its agenda for the time being. (See also paras. 273 and 274 above.)委员会还决定暂时不将暂停和取消资格问题列入其议程(另见上文,第273和274段)。
449.449.
As regards secured transactions, the Commission confirmed that a practice guide on the topic should be prepared to address contractual, transactional and regulatory issues arising in the context of secured transactions, as well as finance to micro-businesses, and referred that task to Working Group VI (see also para. 227 above).关于担保交易,委员会确认,应编写一份关于该议题的实务指南,以处理担保交易所产生的合同问题、交易问题和监管问题,以及微型企业融资,并将这项任务交付第六工作组(另见上文,第229段)。
450.450.
The Commission also heard two further proposals for legislative development.委员会还听取了关于立法制定工作的另两项建议。
451.451.
Firstly, the Government of Italy presented a proposal on possible future work on contractual networks (A/CN.9/925).首先,意大利政府就今后可能就契约型网络开展工作提出一项建议(A/CN.9/925)。
452.452.
It was explained that the proposal sought to support the current work of Working Group I on business registration and the creation of a simplified business entity.据解释,该建议寻求支持第一工作组当前关于企业登记和创建简易企业实体的工作。
The proposal envisaged research into ways to allow business activity prior to the creation of a legal personality and into the determination of corporate structure, allowing businesses to access credit and government facilities.该建议设想研究如何在建立法律人格之前允许开展企业活动并研究确定公司结构,从而使企业能够获取信贷和利用政府便利条件。
The objective would be to allow such businesses to form networks and contract with larger companies in supply chains as a network.目标是允许此类企业组建网络,并作为网络与供应链中的大公司订立合同。
The proponents stated that the intention was to conduct further research to identify solutions, with initial results to be presented to the Commission at its fifty-first session, in 2018.支持者指出,意图是开展进一步研究以找出解决办法,初步结果将提交委员会2018年第五十一届会议。
453.453.
Support was expressed for the proposal as set out in document A/CN.9/925, recognizing the importance of the topic to micro, small and medium-sized enterprises in particular, and it was suggested that Working Group I could undertake the research set out in the proposal.有与会者表示支持 A/CN.9/925号文件所载建议,认识到该议题尤其对于中小微企业非常重要,建议第一工作组可以开展该建议所述的研究。
454.454.
An alternative view was that, while the proposal was supported in principle, it was not currently appropriate to refer the work concerned to Working Group I. In support of that view, it was stated that further study and a consideration of the many questions that the proposal raised should first be undertaken, and that the solutions should not necessarily be confined to micro, small and medium-sized enterprises (and consequently, if referred to a working group, need not be undertaken necessarily by Working Group I).另一种观点是,虽然原则上支持该建议,但目前将相关工作交付第一工作组并不合适。 支持该观点者指出,应先开展进一步研究并审议该建议提出的许多问题,解决办法不一定局限于中小微企业(因此,如果交付给一个工作组,不一定由第一工作组开展这项工作)。
455.455.
The Commission expressed its thanks to the Government of Italy for the proposal.委员会感谢意大利政府提出该建议。
It also welcomed the willingness of the proponents to conduct additional research to develop the proposal further, so that it could come before the Commission in 2018 for decisions on whether the work should go forward and, if so, in what capacity.委员会还欢迎支持者表示愿意开展更多研究,以进一步编拟该建议,以便在2018年提交委员会,由委员会决定是否应继续开展工作,如果是的话,以何种方式开展工作。
456.456.
CMI presented a proposal on possible future work on cross-border issues related to the judicial sale of ships (A/CN.9/923).海事委员会就今后可能开展关于强制拍卖船舶相关跨境问题的工作提出了一项建议(A/CN.9/923)。
457.457.
The proponents explained the nature of judicial sales addressed in the proposal, and issues that were preventing the transfer of vessels with clean title.支持者解释了该建议所述强制拍卖的性质,以及妨碍转让清洁所有权船舶的问题。
Recalling that over 95 per cent of world trade took place using transport by sea and that, in current times of financial difficulty, there were increasing failures by ship owners, unable to obtain additional financing, to pay debts as they fell due.回顾世界上95%以上的贸易是利用海上运输进行的,而且在当前财政困难时期,有越来越多不能获得额外融资支付到期债务的船主破产。
In addition, the scale and worldwide nature of the concerns were highlighted.此外,强调这种关切范围很广,具有世界性。
458.458.
It was explained that a variety of debts would arise as a result of the operation of a ship, and that non-payment thereof would give rise to maritime claims that enabled creditors to arrest a vessel for non-payment, with an eventual order for judicial sale of the vessel.据解释,运营一艘船舶将产生各种债务,而不偿还此类债务将导致海事索赔,使债权人能够因不偿还债务而扣押船舶,最终是一纸强制拍卖船舶的命令。
The outcome of such a sale should be to transfer clean title to the purchaser of the vessel, but in some jurisdictions, courts did not recognize and enforce that outcome when the order for the judicial sale emanated from another jurisdiction.此种拍卖的结果应是向船舶的买主转移清洁所有权,但在有些法域,如果强制拍卖发生在另一法域,法院不承认、不执行上述结果。
The consequences of that failure included difficulties for the purchaser in re-registering such vessels and trading freely with them, as well as the exposure of such purchasers to claims against prior owners for undisclosed liabilities.这种不承认和不执行的后果包括买主不能够重新办理船舶登记,不能够自由买卖船舶,并且可能因为未曾披露的负债,买主会遭受针对前船主的索赔。
The risks of a failure to obtain clean title depressed the price fetched by vessels through judicial sale by as much as half their value and led to a cascading set of problems in a number of sectors, including reluctance by financial institutions to lend, lower repayments to creditors and an inability for ship owners to obtain funding.不能够获得清洁所有权的风险使船舶通过强制拍卖可实现的价格降低多达其价值的一半,并导致许多部门出现一连串问题,包括金融机构不愿意借贷,对债权人偿还率较低,以及船主不能够获得供资。
Those problems resulted in serious loss in economic value and a reduction in the state and maintenance of the world fleet.这些问题造成经济价值的严重损失,以及全世界船舶的状况和维护下降。
459.459.
The proponents also explained that a short, self-contained instrument along the lines of the New York Convention could provide a solution to those issues.支持者还解释说,一部简短的、自成一体的与《纽约公约》精神相一致的文书可以解决这些问题。
In essence, it would ensure that prior claimants would look to ship sale proceeds and previous ship owners to settle their claims, and clean title to vessels would be transferred and recognized across borders.实质上,这样做将确保前期求偿人依靠船舶拍卖收益和前船主解决其债权,转移的是船舶的清洁所有权,这种所有权将得到跨境承认。
460.460.
It was observed, in considering the proposal, that the concerns were highly relevant to UNCITRAL and to world trade.在审议该建议时指出,相关关切与贸易法委员会和世界贸易高度相关。
The pernicious consequences of the current situation included the hindering of the flow of cargo, the destruction of value and assets and unnecessary legal action, which compromised the industry and world trade because vessels unable to trade clogged ports.当前状况的有害后果包括货物的流动受到妨碍,价值和资产受到毁损,以及不必要的法律诉讼,这些后果损害了工业和世界贸易,因为不能够买卖的船舶充斥港口。
For all those reasons, and those set out in document A/CN.9/923, UNCITRAL was requested to take up the proposal.由于所有这些原因,以及A/CN.9/923号文件所述的原因,请贸易法委员会接纳该建议。
461.461.
A view was expressed that the proposal might be better addressed in an organization specializing in maritime matters, such as the International Maritime Organization (IMO).有与会者认为,由一专门处理海洋事务的组织如国际海事组织(海事组织)处理该建议可能更好些。
The view was further expressed that the problem, while a legitimate concern, might not have broad enough support from enough States in UNCITRAL and that it should not be taken up by a working group at the present time in the light of the full complement of issues currently assigned to those groups.还有与会者指出,该问题虽然是一个立法问题,但可能不会在贸易法委员会得到足够国家的足够支持,考虑到目前已经分配给各工作组足够的补充问题,现时不应由某个工作组处理该问题。
462.462.
It was recalled that CMI had also presented its proposal to IMO and the Hague Conference on Private International Law, but that neither organization had placed it on its work programme.回顾海事委员会也向海事组织和海牙国际私法会议提出建议,但这两个组织均未将其列入工作方案。
However, CMI had been invited to present additional information in respect of the matter for possible future discussion in those organizations in due course.不过,已邀请海事委员会就此事提供补充信息,以便这些组织今后视可能适时进行讨论。
463.463.
There was support for the view that UNCITRAL was well placed to resolve the private international law issues raised by the proposal in a technical and non-politicized environment and it was observed that, in discussions at the Hague Conference on Private International Law, a number of delegations had expressed the view that the proposal would be best taken up by UNCITRAL.有与会者支持以下观点,即贸易法委员会很适合在一种技术环境而非政治化环境中解决该建议提出的国际私法问题,还指出,在海牙国际私法会议的讨论中,许多代表团认为最好由贸易法委员会处理该建议。
It was also considered doubtful that the proposal fell within the mandate of IMO, given its focus on public international law and on more technical issues relating to safety and the protection of the environment.还认为该建议是否属于海事组织的任务授权范围令人怀疑,因为海事组织的重点是国际公法,以及与安全和保护环境有关的更具技术性的问题。
464.464.
A number of delegations supported the proposal and expressed their interest in taking it up, subject to the availability of working group resources and any necessary consultation with other organizations.一些代表团支持这一建议,并表示对采纳该建议有兴趣,前提是工作组拥有资源并且与其他组织进行必要的协商。
While swift resolution of the questions raised by the proposal was encouraged, the Commission agreed that additional information in respect of the breadth of the problem would be useful and that the proposal could be reconsidered by the Commission at a future session.虽然鼓励迅速解决该建议提出的问题,但委员会一致认为就该问题的广度提供更多信息是有益的,委员会可在今后一届会议上再次审议该建议。
It was therefore suggested that CMI might seek to develop and advance the proposal by holding a colloquium so as to provide additional information to the Commission and allow it to take an informed decision in due course.因此,建议海事委员会可通过举办一次专题讨论会,寻求拓展和推动该建议,以便向委员会提供补充信息,使委员会能够在适当时候作出知情决定。
465.465.
The Commission thanked CMI for its proposal and noted the importance of the issues raised.委员会感谢海事委员会的建议,并注意到所提出问题的重要性。
It decided not to refer the proposal to a working group at the present time but agreed that UNCITRAL, through its secretariat, and States would support and participate in a colloquium to be initiated by CMI to discuss and advance the proposal.委员会决定现时不将该建议交付某一工作组,但商定贸易法委员会(通过其秘书处)和各国将支持并参加由海事委员会发起的专题讨论会,以讨论和推动这项建议。
The Commission agreed to revisit the matter at a future session.工作组商定在今后届会上再次审议这一问题。
C.C.
Current and possible future activities to support the adoption and use of UNCITRAL texts (support activities)目前和今后可能为支持贸易法委员会法规的通过和使用而开展的活动 (支助活动)
466.466.
The Commission recalled 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.委员会回顾了支助活动的重要性,并回顾需要鼓励通过秘书处、通过工作组和委员会现有的专门知识、通过成员国以及通过与相关国际组织的伙伴安排而在全球和区域范围开展此类活动。
It also recalled the importance of promoting increased awareness of UNCITRAL texts among those organizations and within the United Nations system.还回顾促进这些组织和联合国系统提高对贸易法委员会各项法规的认识的重要性。
467.467.
The Commission took note of the reports on support activities before it at its current session (listed in document A/CN.9/911), notably technical cooperation and assistance activities undertaken by the Secretariat, including through the UNCITRAL website; the promotion of ways and means of ensuring a uniform interpretation and application of UNCITRAL legal texts; and coordination activities (A/CN.9/905, A/CN.9/906 and A/CN.9/908).委员会注意到本届会议收到的关于支助活动的报告(在A/CN.9/911号文件中列出),特别是秘书处包括通过贸易法委员会网站开展的技术合作和援助活动;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和协调活动(A/CN.9/905、A/CN.9/906和A/CN.9/908)。
468.468.
In concluding the agenda item, it was emphasized that all the above-mentioned activities should be undertaken taking into account the extent of the resources available to the Secretariat.在最后审议本议程项目时,强调应当在考虑到秘书处现有资源程度的情况下开展上述各项活动。
XVIII.十八.
Relevant General Assembly resolutions大会的有关决议
469.469.
The Commission took note of General Assembly resolutions 71/135, on the report of UNCITRAL on the work of its forty-ninth session, 71/136, on the UNCITRAL Model Law on Secured Transactions, 71/137, on the 2016 UNCITRAL Notes on Organizing Arbitral Proceedings, and 71/138, on the Technical Notes on Online Dispute Resolution, adopted upon the recommendation of the Sixth Committee.委员会注意到大会关于贸易法委员会第四十九届会议工作报告的第71/135号决议、关于《贸易法委员会担保交易示范法》的第71/136号决议、关于《贸易法委员会关于安排仲裁程序的说明》的第71/137号决议以及关于《关于网上争议解决的技术指引》的第71/138号决议,所有这些决议均系根据第六委员会的建议而通过。
XIX.十九.
Other business其他事项
A.A.
Internship programme实习方案
470.470.
The Commission recalled the considerations taken by its secretariat in selecting candidates for internships 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 internships from underrepresented countries, regions and language groups.委员会回顾了秘书处在遴选实习人选时的考虑因素,并满意地注意到2013年和2014年对联合国实习方案所做的改动(遴选程序和资格要求)对任职人员比例不足的国家、区域和语种中符合资格条件的实习生人选储备库持续产生的积极影响。
471.471.
The Commission was informed that, since the Secretariat’s oral report to the Commission at its forty-ninth session, in July 2016, 19 new interns had undertaken an internship with the UNCITRAL secretariat in Vienna.委员会获悉,自2016年7月秘书处向委员会第四十九届会议作口头报告以来,有19名新实习生在维也纳贸易法委员会秘书处进行实习。
Most of them had come from developing countries and countries in transition, with two coming from the least developed countries.这些实习生多数来自发展中国家和转型期国家,其中两名来自最不发达国家。
472.472.
The Commission was informed, however, that the large majority of applications were received from the Group of Western European and other States.但是委员会获悉,收到的绝大多数申请都来自西欧和其他国家组。
In particular, the Secretariat faced difficulties in attracting candidates from Africa and Latin America and candidates with fluent Arabic language skills.特别是,秘书处在吸引来自非洲和拉丁美洲的人选以及通晓阿拉伯语技能的人选方面面临困难。
473.473.
States and observer organizations were requested to bring the possibility of applying for internships at the UNCITRAL secretariat to the attention of interested persons who met those specific requirements.已请各国和观察员组织提请符合这些具体要求的感兴趣者注意申请在贸易法委员会秘书处实习的可能性。
Taking into account that internships at the United Nations were unpaid, States and observer organizations were invited to consider granting scholarships to potential interns.考虑到在联合国实习没有报酬,请各国和观察员组织考虑向潜在的实习生提供奖学金。
B.B.
Evaluation of the role of the Secretariat in facilitating the work of the Commission评价秘书处在促进委员会工作上发挥的作用
474.474.
The Commission recalled that, at its fortieth session, in 2007, it had been informed of the programme budget for the biennium 2008-2009, which had listed “facilitating the work of UNCITRAL” among the expected accomplishments of the Secretariat.委员会回顾,委员会2007年第四十届会议曾听取了2008-2009两年期方案预算,其中在秘书处的预期成绩中列入了“促进贸易法委员会的工作”。
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).此预期成绩的业绩衡量指标是贸易法委员会对所提供服务的满意度,以1至5分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。
475.475.
The Commission was informed that the request for evaluation of the role of the Secretariat in servicing UNCITRAL since the start of its forty-ninth session (27 June 2016) had elicited 14 responses, and that the level of satisfaction with the services provided to UNCITRAL by the UNCITRAL secretariat, as indicated in those responses, remained generally high (seven States had given 5 out of 5, four States had given 4 out of 5, two States had given 3 out of 5, and one State had given 1 out of 5).委员会获悉,在请求评估秘书处自贸易法委员会第四十九届会议以来(2016年6月27日)为贸易法委员会提供服务所发挥的作用之后,收到了14份答复,这些答复表明,贸易法委员会秘书处向贸易法委员会提供的服务的满意程度总体上保持在较高水平(在总分5分中,7个国家给出了5分,4个国家给出了4分,2个国家给出了3分,一个国家给出了1分)。
476.476.
The Commission took note of the concern that the level of responses to the request for evaluation remained low and that it was essential to receive feedback, for budgetary and other purposes, about the UNCITRAL secretariat’s performance from more States for a more objective evaluation of the role of the Secretariat.委员会注意到对请求评估的答复率仍然很低所表示的关切,为预算和其他目的,需要收到更多国家对贸易法委员会秘书处工作情况的反馈意见后,才能更客观地评估秘书处的作用。
477.477.
The Commission expressed its appreciation to the Secretariat for its work in servicing UNCITRAL.委员会感谢秘书处为贸易法委员会提供服务的工作。
C.C.
Methods of work工作方法
478.478.
Delegates recalled their statements regarding scheduling of agenda items, in particular agenda item 21, made upon the adoption of the agenda of the session (see para. 12 above).代表们回顾其在通过会议议程时就议程项目特别是议程项目21的时间安排所作的发言(见上文第12段)。
In addition, it was suggested that clustering related issues and consolidating items on possible future work on which the decision of the entire Commission, rather than experts in a particular field, was required, would help in better organizing UNCITRAL sessions.此外,据建议,将相关问题集中起来,以及将那些需要整个委员会而不是某一特定领域专家作出决定的今后可能开展工作的项目合并起来,将有助于更好地安排贸易法委员会的各届会议。
479.479.
The Secretariat was requested to seek the views of States on the draft provisional agenda as early as possible before the next UNCITRAL session.请秘书处在贸易法委员会下届会议之前尽早向各国征求对临时议程草案的意见。
It was understood that, in finalizing the provisional agenda, the Secretariat would seek to take those comments into account.据理解,在最后确定临时议程时,秘书处将力求将这些意见考虑在内。
480.480.
Delegates also recalled statements made under other agenda items requesting the Secretariat not to repeat in their oral reports to the Commission the content included in the Secretariat’s written reports to the Commission and to replace, as and where appropriate, in particular, regarding agenda items 11 (c) and 12, oral reports by the Secretariat with written reports to be issued before the session (see also paras. 364 and 423 above).代表们还回顾了在其他议程项目下所作的发言,要求秘书处不要在其向委员会作的口头报告中重复那些已在秘书处致委员会的书面报告中列入的内容,并在适当情况下,特别是关于议程项目11(c)和12,把秘书处的口头报告改为将在会议之前印发的书面报告(另见上文第364和423段)。
A view was expressed that written reports would facilitate consultations on important issues within and among States before the session.据认为,书面报告将可为国家内和国家间在会议前就重要的问题进行磋商提供便利。
However, it was generally felt that it should be left to the Secretariat to achieve the right balance between written and oral methods of communication of necessary information to the Commission.然而,会上普遍认为,应当由秘书处决定如何适当平衡向委员会传递必要信息的书面和口头方法。
481.481.
The view was also expressed that States should have confidence in the Secretariat’s ability to organize UNCITRAL sessions in the best way, taking into account various considerations.另据认为,各国对秘书处的能力应有信心,相信其能考虑到各种因素而以最佳方式组织安排贸易法委员会的各届会议。
The extensive experience of the Secretariat in the organization of UNCITRAL meetings and its ability to reconcile various competing considerations was emphasized.发言强调了秘书处在组织安排贸易法委员会会议方面的广泛经验和协调兼顾各种不同相竞考虑因素的能力。
D.D.
Retirement of the Secretary of UNCITRAL and other long-serving members of the UNCITRAL secretariat贸易法委员会秘书和贸易法委员会秘书处其他长年任职人员的退休
482.482.
The Commission noted that its Secretary, Renaud Sorieul, having reached the age of retirement, was scheduled to leave the United Nations Secretariat on 31 October 2017.委员会注意到其秘书Renaud Sorieul已届退休年龄,预定2017年10月31日告别联合国秘书处。
Mr. Sorieul had served as a member of the Secretariat since 1989 and as Secretary of the Commission and Director of the International Trade Law Division of the Office of Legal Affairs since 2008.Sorieul先生自1989年起在秘书处任职,2008年起担任委员会秘书兼法律事务厅国际贸易法处处长。
The Commission saluted Mr. Sorieul’s major contribution to achieving the goals of UNCITRAL, which, as had been stated by the General Assembly, was the core legal body within the United Nations system in the field of international trade law.委员会赞扬Sorieul先生对实现贸易法委员会的目标而作出的重大贡献,按大会所称,贸易法委员会是联合国系统内在国际贸易法领域的核心法律机构。
It was acknowledged that Mr. Sorieul had strongly supported the work of the Commission and had built enduring foundations for its ongoing projects and future endeavours.感谢Sorieul先生为委员会的工作提供了强有力的支持,并为委员会正在进行的各个项目和今后的工作奠定了长久的基础。
The time during which Mr. Sorieul had served as Secretary of the Commission had been a most productive one and, under his leadership, the secretariat of the Commission had made essential contributions to that work, despite the limited resources available to it.Sorieul先生担任委员会秘书期间委员会取得了丰硕成果,在Sorieul先生领导下,尽管可用的资源有限,但委员会秘书处为委员会的工作作出了必不可少的贡献。
The Commission expressed its appreciation to Mr. Sorieul for his 28 years of exemplary United Nations service, for his outstanding contribution to the process of modernization, unification and harmonization of international trade law, and for his efforts towards expanding the presence of UNCITRAL around the world.委员会表示感谢Sorieul先生28年来在联合国堪作表率的任职,感谢他对国际贸易法的现代化、统一和协调进程作出的杰出贡献,并感谢他努力扩大贸易法委员会在世界各地的影响。
483.483.
The Commission also took note of the retirement of two long-standing members of its secretariat, Mr. Timothy Lemay, Principal Legal Officer, and Mr. Spyridon Bazinas, Senior Legal Officer.委员会还注意到秘书处的两名多年资历成员——特等法律干事Timothy Lemay先生和高级法律干事Spyridon Bazinas先生年老退休。
The Commission expressed its appreciation to those two staff members for their essential support to the activities of UNCITRAL and its secretariat.委员会表示感谢这两名工作人员对贸易法委员会及其秘书处活动的重要支持。
XX.二十.
Date and place of future meetings 484. At its thirty-sixth session, in 2003, the Commission had agreed that:今后会议的日期和地点
484.
(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.委员会2003年第三十六届会议商定:(a)各工作组一般应每年举行两次会议,每次会议为期一周;(b)如果需要额外时间,可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导致目前分配给委员会所有六个工作组的届会每年会议服务12周这一总数增加;以及(c)如果某一工作组对额外时间的任何请求会导致12周的分配量增加,就应由委员会加以审查,该工作组则应就为何需要改变会议安排办法给出适当的理由。
At the current session, the Commission noted that all working groups would meet for two one-week sessions before its fifty-first session, in 2018, except for Working Group IV (Electronic Commerce), which would meet only for one one-week session that would take place in New York in the first half of 2018.在本届会议上,委员会注意到,所有工作组将在委员会2018年第五十一届会议之前举行两次为期一周的会议,第四工作组(电子商务)除外,该工作组只举行一次一周会议,2018年上半年在纽约举行。
485.485.
The Commission took note of General Assembly resolutions on the pattern of conferences promulgating policies as regards six significant holidays (Orthodox Good Friday, Yom Kippur, the Day of Vesak, Diwali, Gurpurab and Orthodox Christmas), on which the United Nations Headquarters and the Vienna International Centre remained open but United Nations bodies were invited to avoid holding meetings.委员会注意到大会关于会议时地分配办法的各项决议,其中公布了关于重大节日(东正教耶稣受难节、赎罪日、卫塞节、排灯节、古鲁那纳克诞辰日、东正教圣诞节)的政策,这些节日期间联合国总部和维也纳国际中心仍将办公,但请联合国机构避免在这些节日举行会议。
The Commission noted that the policies had become effective at United Nations Headquarters on 1 January 2017 and would become effective at the Vienna International Centre on 1 January 2018.委员会注意到,该政策已于2017年1月1日在联合国总部生效,并将于2018年1月1日在维也纳国际中心生效。
Accordingly, dates proposed by the Secretariat for sessions of UNCITRAL working groups in the second half of 2017 in Vienna were not affected by those policies.因此,秘书处就贸易法委员会工作组2017年下半年在维也纳的届会提议的日期不受这些政策的影响。
The Commission agreed to take into account those policies as far as possible when considering the dates of its future meetings.委员会同意在考虑今后会议日期时尽量考虑到这些政策。
A.A.
Fifty-first session of the Commission委员会第五十一届会议
486.486.
The Commission approved the holding of its fifty-first session in New York from 25 June to 13 July 2018 (it was noted that the United Nations Headquarters would be closed on 4 July 2018).委员会核准2018年6月25日至7月13日在纽约举行其第五十一届会议(注意到联合国总部2018年7月4日不办公)。
The Secretariat was requested to consider shortening the duration of the session by one week if the expected workload of the session would justify doing so.在该届会议预期工作量允许的情况下,请秘书处考虑将会期缩短一周。
B.B.
Sessions of working groups工作组的届会
1.1.
Sessions of working groups between the fiftieth and fifty-first sessions of the Commission委员会第五十届和五十一届会议之间的工作组届会
487.487.
The Commission approved the following schedule of meetings for its working groups:委员会核准了各工作组的下述会议时间安排:
(a)(a)
Working Group I (Micro, Small and Medium-sized Enterprises) would hold its twenty-ninth session in Vienna, from 16 to 20 October 2017, and the thirtieth session in New York, from12 to 16 March 2018;第一工作组(中小微企业)将于2017年10月16日至20日在维也纳举行第二十九届会议,2018年3月12日至16日在纽约举行第三十届会议;
(b)(b)
Working Group II (Dispute Settlement) would hold its sixty-seventh session in Vienna, from 2 to 6 October 2017, and its sixty-eighth session in New York, from 5 to 9 February 2018;第二工作组(争议解决)将于2017年10月2日至6日在维也纳举行第六十七届会议,2018年2月5日至9日在纽约举行第六十八届会议;
(c)(c)
Working Group III (Investor-State Dispute Settlement Reform) would hold its thirty-fourth session in Vienna, from 27 November to 1 December 2017, and its thirty-fifth session in New York, from 23 to 27 April 2018;第三工作组(投资人与国家间争议解决的改革)将于2017年11月27日至12月1日在维也纳举行第三十四届会议,2018年4月23日至27日在纽约举行第三十五届会议;
(d)(d)
Working Group IV (Electronic Commerce) would hold its fifty-sixth session in New York, from 16 to 20 April 2018;第四工作组(电子商务)将于2018年4月16日至20日在纽约举行第五十六届会议;
(e)(e)
Working Group V (Insolvency Law) would hold its fifty-second session in Vienna, from 18 to 22 December 2017, and its fifty-third session in New York, from 7 to 11 May 2018;第五工作组(破产法)将于2017年12月18日至22日在维也纳举行第五十二届会议,2018年5月7日至11日在纽约举行第五十三届会议;
(f)(f)
Working Group VI (Security Interests) would hold its thirty-second session in Vienna, from 11 to 15 December 2017, and its thirty-third session in New York, from 30 April to 4 May 2018.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,2018年4月30日至5月4日在纽约举行第三十三届会议。
488.488.
The Commission noted that two remaining days of reserved conference services for UNCITRAL in Vienna in 2017 would be used for an expert meeting on public-private partnerships (see chapter VIII above).委员会注意到,贸易法委员会2017年维也纳预留会议服务剩余两日将用于举办一次关于公私伙伴关系的专家会议(见上文第八章)。
489.489.
The Secretariat was requested to inform States about changes in the dates of sessions announced in the provisional agenda sufficiently in advance to allow consultation with States’ representatives in affected working groups.会议请秘书处充分提前通知各国临时议程所公布会议日期的变化,以便与受影响工作组的各国代表协商。
2.2.
Sessions of working groups in 2018 after the fifty-first session of the Commission在委员会第五十一届会议之后于2018年举行的工作组届会
490.490.
The Commission noted that the following tentative arrangements had been made for working group meetings in 2018 after its fifty-first session, subject to the approval by the Commission at that session, and that those dates included Gurpurab (23 November 2018).委员会注意到,已经就委员会第五十一届会议之后各工作组2018年的会议作出暂定安排,但需委员会该届会议予以核准,还注意到这些日期中包括古鲁那纳克诞辰日(2018年11月23日)。
The Commission requested the Secretariat to explore whether an alternative week in the second half of 2018 could be found for a session of Working Group IV (Electronic Commerce) in Vienna that would not include a significant holiday, and decided to consider the matter further at its next session:委员会请秘书处研究2018年下半年能否在维也纳为第四工作组(电子商务)安排另一周时间,其中将不包括重大节日,并决定在其下届会议上进一步审议该事项:
(a)(a)
Working Group I (Micro, Small and Medium-sized Enterprises) would hold its thirty-first session in Vienna from 24 to 28 September 2018;第一工作组(中小微企业)将于2018年9月24日至28日在维也纳举行第三十一届会议;
(b)(b)
Working Group II (Dispute Settlement) would hold its sixty-ninth session in Vienna from 10 to 14 September 2018;第二工作组(争议解决)将于2018年9月10日至14日在维也纳举行第六十九届会议;
(c)(c)
Working Group III (Investor-State Dispute Settlement Reform) would hold its thirty-sixth session in Vienna, from 8 to 12 October 2018;第三工作组(投资人与国家间争议解决的改革)将于2018年10月8日至12日在维也纳举行第三十六届会议;
(d)(d)
Working Group IV (Electronic Commerce) would hold its fifty-seventh session in Vienna from 19 to 23 November 2018;第四工作组(电子商务)将于2018年11月19日至23日在维也纳举行第五十七届会议;
(e)(e)
Working Group V (Insolvency Law) would hold its fifty-fourth session in Vienna from 10 to 14 December 2018;第五工作组(破产法)将于2018年12月10日至14日在维也纳举行第五十四届会议;
(f)(f)
Working Group VI (Security Interests) would hold its thirty-fourth session in Vienna from 26 to 30 November 2018.第六工作组(担保权益)将于2018年11月26日至30日在维也纳举行第三十四届会议。
Annex I附件一
UNCITRAL Model Law on Electronic Transferable Records贸易法委员会电子可转让记录示范法
CHAPTER I. GENERAL PROVISIONS Article 1.第一章 一般规定
Scope of application第1条 适用范围
1.1.
This Law applies to electronic transferable records.本法适用于电子可转让记录。
2.2.
Other than as provided for in this Law, nothing in this Law affects the application to an electronic transferable record of any rule of law governing a transferable document or instrument including any rule of law applicable to consumer protection.除本法中另有规定的,本法中的规定概不影响对电子可转让记录适用任何管辖可转让单证或票据的法律规则,其中包括适用于消费者保护的任何法律规则。
3.3.
This Law does not apply to securities, such as shares and bonds, and other investment instruments, and to […].本法不适用于股票和债券等证券,以及其他投资票据,亦不适用于[……]。
Article 2.
Definitions第2条 定义
For the purposes of this Law:在本法中:
“Electronic record” means information generated, communicated, received or stored by electronic means, including, where appropriate, all information logically associated with or otherwise linked together so as to become part of the record, whether generated contemporaneously or not;“电子记录”系指通过电子手段生成、传送、接收或存储的信息,该信息可酌情包括在逻辑上有联系或者以其他方式共同链接,从而成为该记录一部分的一切信息,不论其是否同时生成。
“Electronic transferable record” is an electronic record that complies with the requirements of article 10;“电子可转让记录”是符合第10条的要求的电子记录。
“Transferable document or instrument” means a document or instrument issued on paper that entitles the holder to claim the performance of the obligation indicated in the document or instrument and to transfer the right to performance of the obligation indicated in the document or instrument through the transfer of that document or instrument.“可转让单证或票据”系指在纸张上签发的,使持有人有权要求履行单证或票据中指明的义务,并且有权通过转让该单证或票据而转让其中指明的要求履行义务的权利的单证或票据。
Article 3.
Interpretation第3条 解释
1.1.
This Law is derived from a model law of international origin.本法源于有国际渊源的示范法。
In the interpretation of this Law, regard is to be had to the international origin and to the need to promote uniformity in its application.在解释本法时,应考虑到这种国际渊源以及促进统一适用本法的必要性。
2.2.
Questions concerning matters governed by this Law which are not expressly settled in it are to be settled in conformity with the general principles on which this Law is based.与本法所管辖事项有关的问题,在本法中未明确解决的,应依照本法所依据的一般原则加以解决。
Article 4.
Party autonomy and privity of contract第4条 当事人意思自治以及合同相对性
1.1.
The parties may derogate from or vary by agreement the following provisions of this Law: […].当事人可通过协议减损或改变本法的下列规定:[……]。
2.2.
Such an agreement does not affect the rights of any person that is not a party to that agreement. Article 5.凡不是此种协议当事人的,该协议概不影响其权利。
Information requirements第5条 提供信息的要求
Nothing in this Law affects the application of any rule of law that may require a person to disclose its identity, place of business or other information, or relieves a person from the legal consequences of making inaccurate, incomplete or false statements in that regard.本法中的规定概不影响适用任何可能要求某人披露其身份、营业地或其他信息的法律规则,也不免除某人就此作出不准确、不完整或虚假说明的法律后果。
Article 6.
Additional information in electronic transferable records第6条 电子可转让记录中的其他信息
Nothing in this Law precludes the inclusion of information in an electronic transferable record in addition to that contained in a transferable document or instrument.本法中的规定概不妨碍在电子可转让记录中纳入可转让单证或票据所包含信息以外的信息。
Article 7.
Legal recognition of an electronic transferable record第7条 对电子可转让记录的法律承认
1.1.
An electronic transferable record shall not be denied legal effect, validity or enforceability on the sole ground that it is in electronic form.不得仅以电子可转让记录的电子形式为由而否定其法律效力、有效性或可执行性。
2.2.
Nothing in this Law requires a person to use an electronic transferable record without that person’s consent.本法中的规定概不要求某人在未予同意的情况下使用电子可转让记录。
3.3.
The consent of a person to use an electronic transferable record may be inferred from the person’s conduct.可根据某人的行为推断其是否同意使用电子可转让记录。
CHAPTER II. PROVISIONS ON FUNCTIONAL EQUIVALENCE Article 8.第二章 关于功能等同的规定
Writing第8条 书面形式
Where the law requires that information should be in writing, that requirement is met with respect to an electronic transferable record if the information contained therein is accessible so as to be usable for subsequent reference.法律要求信息应为书面形式的,就电子可转让记录而言,如果其中所包含的信息能够调取供日后查用,即为满足这一要求。
Article 9.
Signature第9条 签名
Where the law requires or permits a signature of a person, that requirement is met by an electronic transferable record if a reliable method is used to identify that person and to indicate that person’s intention in respect of the information contained in the electronic transferable record.法律要求或允许由某人签名的,如果使用了一种可靠方法识别该人身份并表明该人对电子可转让记录所包含信息的意图,该要求即由电子可转让记录得到满足。
Article 10.
Transferable documents or instruments第10条 可转让单证或票据
1.1.
Where the law requires a transferable document or instrument, that requirement is met by an electronic record if:法律要求可转让单证或票据的,如果符合下列条件,该要求即由电子记录得到满足:
(a)(a)
The electronic record contains the information that would be required to be contained in a transferable document or instrument; and该电子记录包含必须被载入可转让单证或票据的信息;并且
(b)(b)
A reliable method is used:采用了一种可靠方法:
(i)
To identify that electronic record as the electronic transferable record;指明该电子记录为单一电子可转让记录;
(ii)
To render that electronic record capable of being subject to control from its creation until it ceases to have any effect or validity; and使得该电子记录能够自其生成至其不再具有任何效力或有效性期间被置于控制之下;并且
(iii)
To retain the integrity of that electronic record.㈢ 保全该电子记录的完整性。
2.2.
The criterion for assessing integrity shall be whether information contained in the electronic transferable record, including any authorized change that arises from its creation until it ceases to have any effect or validity, has remained complete and unaltered apart from any change which arises in the normal course of communication, storage and display.完整性的评价标准应是,除正常传送、存储和显示过程中出现的任何改动之外,电子可转让记录所包含的信息,包括自其生成至其不再具有任何效力或有效性期间产生的任何经授权的改动,是否仍然完整且未被更改。
Article 11.
Control第11条 控制
1.1.
Where the law requires or permits the possession of a transferable document or instrument, that requirement is met with respect to an electronic transferable record if a reliable method is used:法律要求或允许占有可转让单证或票据的,就电子可转让记录而言,如果使用了一种可靠方法,即为满足这一要求,该方法:
(a)(a)
To establish exclusive control of that electronic transferable record by a person; and证明某人对该电子可转让记录享有排他控制;并且
(b)(b)
To identify that person as the person in control.指明该人为控制人。
2.2.
Where the law requires or permits transfer of possession of a transferable document or instrument, that requirement is met with respect to an electronic transferable record through the transfer of control over the electronic transferable record.法律要求或允许转移对可转让单证或票据占有的,就电子可转让记录而言,转移对电子可转让记录的控制,即为满足这一要求。
CHAPTER III.第三章 电子可转让记录的使用
USE OF ELECTRONIC TRANSFERABLE RECORDS Article 12. General reliability standard第12条 可靠性一般标准
在第9条、第10条、第11条、第13条、第16条、第17条、第18条中:
(a)
For the purposes of articles 9, 10, 11, 13, 16, 17 and 18, the method referred to shall be: (a) As reliable as appropriate for the fulfilment of the function for which the method is being used, in the light of all relevant circumstances, which may include:从所有相关情形来看,所提及方法对于使用该方法所要实现的功能既应适当,也应可靠,相关情形可包括:
(i)
Any operational rules relevant to the assessment of reliability;与评价可靠性有关的任何运行规则;
(ii)
The assurance of data integrity;数据完整性保证;
(iii)
The ability to prevent unauthorized access to and use of the system;㈢ 防止擅自进入和使用系统的能力;
(iv)
The security of hardware and software;硬软件安全性;
(v)
The regularity and extent of audit by an independent body;㈤ 独立机构审计的经常性和范围;
(vi)
The existence of a declaration by a supervisory body, an accreditation body or a voluntary scheme regarding the reliability of the method;㈥ 监督机构、资格鉴定机构或自愿方案就该方法可靠性作出声明;
(vii)
Any applicable industry standard; or㈦ 任何适用的业界标准;或者
(b)(b)
Proven in fact to have fulfilled the function by itself or together with further evidence.该方法本身或结合进一步证据,应事实上被证明已履行功能。
Article 13.
Indication of time and place in electronic transferable records第13条 在电子可转让记录中指明时间和地点
Where the law requires or permits the indication of time or place with respect to a transferable document or instrument, that requirement is met if a reliable method is used to indicate that time or place with respect to an electronic transferable record. Article 14.法律要求或允许对可转让单证或票据指明时间或地点的,如果使用了一种可靠方法对电子可转让记录指明时间或地点,即为满足这一要求。
Place of business第14条 营业地
1.1.
A location is not a place of business merely because that is:所在地仅因其为以下地点之一,不成为营业地:
(a)(a)
Where equipment and technology supporting an information system used by a party in connection with electronic transferable records are located; or系一方当事人使用的与电子可转让记录有关的信息系统支持设备和技术的地点;或者
(b)(b)
Where the information system may be accessed by other parties.系其他当事人可进入该信息系统的地点。
2.2.
The sole fact that a party makes use of an electronic address or other element of an information system connected to a specific country does not create a presumption that its place of business is located in that country.仅凭一方当事人使用与某一特定国家相关联的信息系统的电子地址或其他组成部分,不能推定其营业地位于该国。
Article 15.
Endorsement第15条 背书
Where the law requires or permits the endorsement in any form of a transferable document or instrument, that requirement is met with respect to an electronic transferable record if the information required for the endorsement is included in the electronic transferable record and that information is compliant with the requirements set forth in articles 8 and 9.法律要求或允许对可转让单证或票据作任何形式背书的,就电子可转让记录而言,如果背书所要求的信息被纳入电子可转让记录,并且该信息符合第8条和第9条所载明的要求,即为满足这一要求。
Article 16. Amendment第16条 变更
Where the law requires or permits the amendment of a transferable document or instrument, that requirement is met with respect to an electronic transferable record if a reliable method is used for amendment of information in the electronic transferable record so that the amended information is identified as such.法律要求或允许变更可转让单证或票据的,就电子可转让记录而言,如果使用了一种可靠方法变更电子可转让记录中的信息,使得经变更的信息本身得以识别,即为满足这一要求。
Article 17.
Replacement of a transferable document or instrument with an electronic transferable record第17条 以电子可转让记录替换可转让单证或票据
1.1.
An electronic transferable record may replace a transferable document or instrument if a reliable method for the change of medium is used.如果媒介转换使用一种可靠方法,电子可转让记录可替换可转让单证或票据。
2.2.
For the change of medium to take effect, a statement indicating a change of medium shall be inserted in the electronic transferable record.为使媒介转换产生效力,应在电子可转让记录中加入一则注明媒介转换的说明。
3.3.
Upon issuance of the electronic transferable record in accordance with paragraphs 1 and 2, the transferable document or instrument shall be made inoperative and ceases to have any effect or validity.电子可转让记录根据第1款和第2款一经签发,可转让单证或票据即应归于无效,不再具有任何效力或有效性。
4.4.
A change of medium in accordance with paragraphs 1 and 2 shall not affect the rights and obligations of the parties.根据第1款和第2款转换媒介,不得影响当事人的权利和义务。
Article 18.
Replacement of an electronic transferable record with a transferable document or instrument第18条 以可转让单证或票据替换电子可转让记录
1.1.
A transferable document or instrument may replace an electronic transferable record if a reliable method for the change of medium is used.如果媒介转换使用一种可靠方法,可转让单证或票据可替换电子可转让记录。
2.2.
For the change of medium to take effect, a statement indicating a change of medium shall be inserted in the transferable document or instrument.为使媒介转换产生效力,应在可转让单证或票据中加入一则注明媒介转换的说明。
3.3.
Upon issuance of the transferable document or instrument in accordance with paragraphs 1 and 2, the electronic transferable record shall be made inoperative and ceases to have any effect or validity.可转让单证或票据根据第1款和第2款一经签发,电子可转让记录即应归于无效,不再具有任何效力或有效性。
4.4.
A change of medium in accordance with paragraphs 1 and 2 shall not affect the rights and obligations of the parties.根据第1款和第2款转换媒介,不得影响当事人的权利和义务。
CHAPTER IV.第四章 电子可转让记录的跨境承认
CROSS-BORDER RECOGNITION OF ELECTRONIC TRANSFERABLE RECORDS Article 19. Non-discrimination of foreign electronic transferable records第19条 不歧视外国电子可转让记录
1.1.
An electronic transferable record shall not be denied legal effect, validity or enforceability on the sole ground that it was issued or used abroad.不得仅以电子可转让记录在国外签发或使用为由而否定其法律效力、有效性或可执行性。
2.2.
Nothing in this Law affects the application to electronic transferable records of rules of private international law governing a transferable document or instrument.本法中的规定概不影响对电子可转让记录适用管辖可转让单证或票据的国际私法规则。
Annex II附件二
List of documents before the Commission at its fiftieth session委员会第五十届会议收到的文件清单
Symbol文号
Title or description标题或说明
A/CN.9/894A/CN.9/894
Provisional agenda, annotations thereto and scheduling of meetings of the fiftieth session第五十届会议临时议程、临时议程说明和会议日程安排
A/CN.9/895A/CN.9/895
Report of Working Group I (Micro, Small and Medium-sized Enterprises) on the work of its twenty-seventh session第一工作组(微型、小型和中型企业)第二十七届会议工作报告
A/CN.9/896A/CN.9/896
Report of Working Group II (Dispute Settlement) on the work of its sixty-fifth session第二工作组(争议解决)第六十五届会议工作报告
A/CN.9/897A/CN.9/897
Report of Working Group IV (Electronic Commerce) on the work of its fifty-fourth session第四工作组(电子商务)第五十四届会议工作报告
A/CN.9/898A/CN.9/898
Report of Working Group V (Insolvency Law) on the work of its fiftieth session第五工作组(破产法)第五十届会议工作报告
A/CN.9/899A/CN.9/899
Report of Working Group VI (Security Interests) on the work of its thirtieth session第六工作组(担保权益)第三十一届会议工作报告
A/CN.9/900A/CN.9/900
Report of Working Group I (Micro, Small and Medium-sized Enterprises) on the work of its twenty-eighth session第一工作组(微型,小型和中型企业)在第二十八届会议工作报告
A/CN.9/901A/CN.9/901
Report of Working Group II (Dispute Settlement) on the work of its sixty-sixth session第二工作组(争议解决)第六十六届会议工作报告
A/CN.9/902A/CN.9/902
Report of Working Group IV (Electronic Commerce) on the work of its fifty-fifth session第四工作组(电子商务)第五十五届会议工作报告
A/CN.9/903A/CN.9/903
Report of Working Group V (Insolvency Law) on the work of its fifty-first session第五工作组(破产法)第五十一届会议工作报告
A/CN.9/904A/CN.9/904
Report of Working Group VI (Security Interests) on the work of its thirty-first session第六工作组(担保权益)第三十一届会议工作报告
A/CN.9/905A/CN.9/905
Technical cooperation and assistance技术合作与援助
A/CN.9/906A/CN.9/906
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.9/907A/CN.9/907
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.9/908A/CN.9/908
Coordination activities协调活动
A/CN.9/909A/CN.9/909
Status of conventions and model laws各公约和示范法现状
A/CN.9/910A/CN.9/910
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.9/911A/CN.9/911
Work programme of the Commission委员会的工作方案
A/CN.9/912A/CN.9/912
Possible future work in procurement and infrastructure development今后可能在采购和基础设施开发领域开展的工作
A/CN.9/913A/CN.9/913
Possible future legislative work on security interests and related topics关于担保权益和相关议题今后可能开展的立法工作
A/CN.9/914 and Adds.1-6A/CN.9/914 及Adds.1-6
Draft guide to enactment of the UNCITRAL Model Law on Secured Transactions贸易法委员会担保交易示范法颁布指南草案
A/CN.9/915A/CN.9/915
Possible future work in the field of dispute settlement: concurrent proceedings in international arbitration争议解决领域今后可能开展的工作:国际仲裁的并行程序
A/CN.9/916A/CN.9/916
Possible future work in the field of dispute settlement: ethics in international arbitration争议解决领域今后可能开展的工作:国际仲裁道德准则
A/CN.9/917A/CN.9/917
Possible future work in the field of dispute settlement: reforms of investor-State dispute settlement争议解决领域今后可能开展的工作:投资人与国家间争议解决领域的改革
A/CN.9/918 and Adds.1-9A/CN.9/918 及Adds.1-9
Settlement of commercial disputes: investor-State dispute settlement framework — compilation of comments解决商事争议:投资人与国家间争议解决框架——意见汇编
A/CN.9/919A/CN.9/919
Endorsement of texts of other organizations: International Chamber of Commerce Uniform Rules for Forfaiting赞同其他组织的法规:《国际商会福费廷统一规则》
A/CN.9/920A/CN.9/920
Draft model law on electronic transferable records with explanatory notes电子可转让记录示范法草案及解释性说明
A/CN.9/921 and Adds.1-3A/CN.9/921 及Adds.1-3
Draft model law on electronic transferable records: compilation of comments by Governments and international organizations电子可转让记录示范法草案:政府和国际组织意见汇编
A/CN.9/922A/CN.9/922
Draft model law on electronic transferable records with explanatory notes: proposed amendments to the draft explanatory notes and additional issues for consideration by the Commission电子可转让记录示范法草案及解释性说明:对解释性说明草案的拟议修正意见以及供委员会审议的其他问题
A/CN.9/923A/CN.9/923
Proposal of the Comité Maritime International for possible future work on cross-border issues related to the judicial sale of ships国际海事委员会就司法拍卖船舶相关跨境议题今后可能开展的工作提出的建议
A/CN.9/924A/CN.9/924
Possible future coordination and technical assistance work on security interests and related topics今后可能就担保权益和相关议题开展的协调和技术援助工作
A/CN.9/925A/CN.9/925
Possible future work by UNCITRAL on contractual networks: proposal of the Government of Italy贸易法委员会今后可能就契约型网络开展的工作:意大利政府的建议
A/CN.9/926A/CN.9/926
Possible future work on security interests: proposal for a practice guide to the UNCITRAL Model Law on Secured Transactions — proposal of the Governments of Australia, Canada, Japan and the United Kingdom of Great Britain and Northern Ireland关于担保交易今后可能开展的工作:关于《贸易法委员会担保交易示范法》实务指南的建议——澳大利亚、加拿大、日本和大不列颠及北爱尔兰联合王国政府的建议
11
Pursuant to General Assembly resolution 2205 (XXI), the members of the Commission are elected for a term of six years.根据大会第2205 (XXI)号决议,委员会成员经选举产生,任期六年。
Of the current membership, 29 were elected by the Assembly on 14 November 2012, at its sixty-seventh session, one was elected by the Assembly on 14 December 2012, at its sixty-seventh session, 23 were elected by the Assembly on 9 November 2015, at its seventieth session, five were elected by the Assembly at its seventieth session, on 15 April 2016, and two were elected by the Assembly on 17 June 2016, at its seventieth session.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。
By its resolution 31/99, the Assembly altered the dates of commencement and termination of membership by deciding that members would take office at the beginning of the first day of the regular annual session of the Commission immediately following their election and that their terms of office would expire on the last day prior to the opening of the seventh regular annual session following their election.大会在其第31/99号决议中改变了成员资格的迄止日期,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,任期应于其当选后委员会第七届年度常会开幕前的最后一天届满。
22
Official Records of the General Assembly, Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), para. 335; and ibid., Sixty-fourth Session, Supplement No. 17 (A/64/17), para. 338. 3《大会正式记录,第六十三届会议,补编第17号》及增编(A/63/17及Corr.1),第335段;同上,《第六十四届会议,补编第17号》(A/64/17),第338段。
3
Ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), paras. 245-247 and 250; and ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 232-235.同上,《第六十五届会议,补编第17号》(A/65/17),第245-247、250段;同上,《第六十六届会议,补编第17号》(A/66/17),第232-235段。
44
Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 238.同上,《第六十六届会议,补编第17号》(A/66/17),第238段。
55
For the reports of the Working Group on the work of those sessions, see A/CN.9/737, A/CN.9/761, A/CN.9/768, A/CN.9/797, A/CN.9/804, A/CN.9/828, A/CN.9/834, A/CN.9/863, A/CN.9/869 and A/CN.9/897.关于工作组这些届会的工作报告,见A/CN.9/737、A/CN.9/761、A/CN.9/768、A/CN.9/797、A/CN.9/804、A/CN.9/828、A/CN.9/834、A/CN.9/863、A/CN.9/869、A/CN.9/897。
66
Official Records of the General Assembly, Sixty-seventh Session, Supplement No. 17 (A/67/17), para. 90; ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), para. 230; ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 149; ibid., Seventieth Session, Supplement No. 17 (A/70/17), para. 231; and ibid., Seventy-first Session, Supplement No. 17 (A/71/17), para. 226.《大会正式记录,第六十七届会议,补编第17号》(A/67/17),第90段;同上,《第六十八届会议,补编第17号》(A/68/17),第230段;同上,《第六十九届会议,补编第17号》(A/69/17),第149段;同上,《第七十届会议,补编第17号》(A/70/17),第231段;同上,《第七十一届会议,补编第17号》(A/71/17),第226段。
77
General Assembly resolution 63/122, annex.大会第63/122号决议,附件。
88
General Assembly resolution 51/162, annex.大会第51/162号决议,附件。
99
General Assembly resolution 60/21, annex.大会第60/21号决议,附件。
1010
General Assembly resolution 56/80, annex.大会第56/80号决议,附件。
1111
General Assembly resolution 51/162, annex.大会第51/162号决议,附件。
1212
Official Records of the General Assembly, Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 238.《大会正式记录,第六十六届会议,补编第17号》(A/66/17),第238段。
1313
A/CN.9/920.A/CN.9/920。
1414
A/CN.9/921 and addenda.A/CN.9/921及增编。
1515
Official Records of the General Assembly, Seventy-first Session, Supplement No. 17 (A/71/17), para. 235.《大会正式记录,第七十一届会议,补编第17号》(A/71/17),第235段。
1616
Regulation No. 910/2014 of the European Parliament and of the Council of 23 July 2014 on electronic identification and trust services for electronic transactions in the internal market and repealing Directive 1999/93/EC.欧洲议会和欧盟理事会2014年7月23日关于内部市场电子交易电子身份识别和信任服务的第910/2014号条例,该条例撤销第1999/93/EC号指令。
1717
United Nations publication, Sales No. E.17.V.I.联合国出版物,出售品编号:E.17.V.I。
1818
Official Records of the General Assembly, Seventy-first Session, Supplement No. 17 (A/71/17), paras. 119 and 122.《大会正式记录,第七十一届会议,补编第17号》(A/71/17),第119、122段。
1919
General Assembly resolution 71/136.大会第71/136号决议。
2020
United Nations publication, Sales No. E.09.V.12.联合国出版物,出售品编号:E.09.V.12。
2121
Official Records of the General Assembly, Seventy-first Session, Supplement No. 17 (A/71/17), para. 98.《大会正式记录,第七十一届会议,补编第17号》(A/71/17),第98段。
2222
General Assembly resolution 56/81, annex.大会第56/81号决议,附件。
2323
United Nations publication, Sales No. E.14.V.6.联合国出版物,出售品编号:E.14.V.6。
2424
United Nations publication, Sales No. E.11.V.6.联合国出版物,出售品编号:E.11.V.6。
2525
General Assembly resolution 43/165, annex.大会第56/81号决议,附件。
2626
General Assembly resolution 56/81, annex.大会第56/81号决议,附件。
Also available as United Nations publication, Sales No. E.04.V.14.也作为联合国出版物提供,出售品编号:E.04.V.14。
2727
United Nations publication, Sales No. E.09.V.12.联合国出版物,出售品编号:E.09.V.12。
2828
United Nations publication, Sales No. E.11.V.6.联合国出版物,出售品编号:E.11.V.6。
2929
United Nations publication, Sales No. E.14.V.6.联合国出版物,出售品编号:E.14.V.6。
3030
United Nations publication, Sales No. E.17.V.1.联合国出版物,出售品编号:E.17.V.1。
3131
Official Records of the General Assembly, Seventy-first Session, Supplement No. 17 (A/71/17), para. 122.《大会正式记录,第七十一届会议,补编第17号》(A/71/17),第122段。
3232
For the reports of those sessions of the Working Group, see A/CN.9/899, and A/CN.9/904.关于工作组这几届会议的报告,见A/CN.9/899、A/CN.9/904。
3333
A/CN.9/904, para. 135.A/CN.9/904,第135段。
3434
Official Records of the General Assembly, Seventy-first Session, Supplement No. 17 (A/71/17), para. 121.《大会正式记录,第七十一届会议,补编第17号》(A/71/17),第121段。
3535
Official Records of the General Assembly, Seventy-first Session, Supplement No. 17 (A/71/17), paras. 124 and 125.《大会正式记录,第七十一届会议,补编第17号》(A/71/17),第124、125段。
3636
Ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), para. 321; ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 134; ibid., Seventieth Session, Supplement No. 17 (A/70/17), paras. 220, 225 and 340; and ibid., Seventy-first Session, Supplement No. 17 (A/71/17), para. 219.同上,《第六十八届会议,补编第17号》(A/68/17),第321段;同上,《第六十九届会议,补编第17号》(A/69/17),第134段;同上,《第七十届会议,补编第17号》(A/70/17),第220、225、340段;同上,《第七十一届会议,补编第17号》(A/71/17),第219段。
3737
For example, General Assembly resolution 70/115, paras. 16 and 21.例如,大会第70/115号决议,第16、21段。
3838
Official Records of the General Assembly, Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 129.《大会正式记录,第六十九届会议,补编第17号》(A/69/17),第129段。
3939
Ibid., Seventieth Session, Supplement No. 17 (A/70/17), para. 135.同上,《第七十届会议,补编第17号》(A/70/17),第135段。
4040
Ibid., para. 142. 41同上,第142段。
41
Ibid., Seventy-first Session, Supplement No. 17 (A/71/17), para. 165.同上,《第七十一届会议,补编第17号》(A/71/17),第165段。
4242
Ibid., paras. 174-195.同上,第174-195段。
4343
Ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 259.同上,《第六十五届会议,补编第17号》(A/65/17),第259段。
4444
Ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 155.同上,《第六十九届会议,补编第17号》(A/69/17),第155段。
4545
Ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 259.同上,《第六十五届会议,补编第17号》(A/65/17),第259段。
4646
Ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 156.同上,《第六十九届会议,补编第17号》(A/69/17),第156段。
4747
Ibid., Seventy-first Session, Supplement No. 17 (A/71/17), para. 246.同上,《第七十一届会议,补编第17号》(A/71/17),第246段。
4848
General Assembly resolution 52/158, annex.大会第52/158号决议,附件。
4949
United Nations publication, Sales No. E.05.V.10.联合国出版物,出售品编号:E.05.V.10。
5050
Official Records of the General Assembly, Seventy-first Session, Supplement No. 17 (A/71/17), para. 361.《大会正式记录,第七十一届会议,补编第17号》(A/71/17),第361段。
5151
United Nations publication, Sales No. E.01.V.4.联合国出版物,出售品编号:E.01.V.4。
5252
Official Records of the General Assembly, Seventy-first Session, Supplement No. 17 (A/71/17), paras. 359, 360 and 362.《大会正式记录,第七十一届会议,补编第17号》(A/71/17),第359、360、362段。
5353
A/CN.9/912, para. 6.A/CN.9/912,第6段。
5454
Official Records of the General Assembly, Fifty-eighth Session, Supplement No. 17 (A/58/17), paras. 18-21 and annex I.《大会正式记录,第五十八届会议,补编第17号》(A/58/17),第18-21段和附件一。 55
55
Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 192 and annex I.同上,《第六十六届会议,补编第17号》(A/66/17),第192段和附件一。
5656
General Assembly resolution 56/81, annex.大会第56/81号决议,附件。
Also available as United Nations publication, Sales No. E.04.V.14.还作为联合国出版物提供,出售品编号:E.04.V.14。
57
57 United Nations publication, Sales No. E.17.V.1.联合国出版物,出售品编号:E.17.V.1。
5858
Official Records of the General Assembly, Seventieth Session, Supplement No. 17 (A/70/17), para. 247.《大会正式记录,第七十届会议,补编第17号》(A/70/17),第247段。
5959
General Assembly resolutions 69/115, para. 21; 70/115, para. 21; and 71/135, para. 23.大会第69/115号决议,第21段;第70/115号决议,第21段;第71/135号决议,第23段。
6060
Available from http://uncitral.tumblr.com.查阅网址:http://uncitral.tumblr.com。
6161
Available from www.linkedin.com/company/uncitral. 62 General Assembly resolutions 61/32, para. 17;查阅网址:www.linkedin.com/company/uncitral。
62/64, para. 16;62
63/120, para. 20; 69/115, para. 21; 70/115, para. 21; and 71/135, para. 23.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;第71/135号决议,第23段。
6363
United Nations, Treaty Series, vol. 330, No. 4739.联合国,《条约汇编》,第330卷,第4739号。
6464
Official Records of the General Assembly, Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 212.《大会正式记录,第六十九届会议,补编第17号》(A/69/17),第212段。 65
65
United Nations, Treaty Series, vol. 1489, No. 25567.联合国,《条约汇编》,第1489卷,第25567号。
6666
General Assembly resolution 60/21, annex.大会第60/21号决议,附件。
6767
General Assembly resolution 69/116, annex.大会第69/116号决议,附件。
6868
United Nations, Treaty Series, vol. 1511, No. 26119.联合国,《条约汇编》,第1511卷,第26119号。
6969
Ibid., vol. 1511, No. 26121.同上,第1511卷,第26121号。
7070
Ibid., vol. 1695, No. 29215.同上,第1695卷,第29215号。
7171
Ibid., vol. 2169, No. 38030, p. 163.同上,第2169卷,第38030号,第163页。
7272
United Nations publication, Sales No. E.08.V.4.联合国出版物,出售品编号:E.08.V.4。
7373
Official Records of the General Assembly, Forty-seventh Session, Supplement No. 17 (A/47/17), annex I.《大会正式记录,第四十七届会议,补编第17号》(A/47/17),附件一。
7474
General Assembly resolution 51/162, annex.大会第51/162号决议,附件。
7575
General Assembly resolution 52/158, annex.大会第52/158号决议,附件。
7676
General Assembly resolution 56/80, annex.大会第56/80号决议,附件。
7777
Official Records of the General Assembly, Sixty-eighth Session, Supplement No. 17 (A/68/17), annex I.《大会正式记录,第六十八届会议,补编第17号》(A/68/17),附件一。
7878
Ibid., para. 80.同上,第80段。
7979
Ibid., para. 79.同上,第79段。
8080
Ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 108.同上,《第六十九届会议,补编第17号》(A/69/17),第108段。
8181
Ibid., Seventieth Session, Supplement No. 17 (A/70/17), para. 161.同上,《第七十届会议,补编第17号》(A/70/17),第161段。
8282
Ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), annex II.同上,《第六十八届会议,补编第17号》(A/68/17),附件二。
83
83 Ibid., Seventieth Session, Supplement No. 17 (A/70/17), para. 264.同上,《第七十届会议,补编第17号》(A/70/17),第264段。 84
84
Ibid., Seventy-first Session, Supplement No. 17 (A/71/17), para. 281.同上,《第七十一届会议,补编第17号》(A/71/17),第281段。
8585
United Nations (New York, 2012).联合国(2012年,纽约)。
8686
Official Records of the General Assembly, Seventy-first Session, Supplement No. 17 (A/71/17), paras. 127 and 128.《大会正式记录,第七十一届会议,补编第17号》(A/71/17),第127、128段。
8787
Ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 305.同上,《第六十五届会议,补编第17号》(A/65/17),第305段。
8888
Ibid., annex III.同上,附件三。
8989
Ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 292.同上,《第六十六届会议,补编第17号》(A/66/17),第292段。
9090
Ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), para. 178.同上,《第六十七届会议,补编第17号》(A/67/17),第178段。
9191
Ibid., Seventieth Session, Supplement No. 17 (A/70/17), para. 280.同上,《第七十届会议,补编第17号》(A/70/17),第280段。
9292
Ibid., Seventy-first Session, Supplement No. 17 (A/71/17), para. 290.同上,《第七十一届会议,补编第17号》(A/71/17),第290段。 93 查阅网址:www.uncitral.org/pdf/english/texts/electcom/computerrecords-e.pdf。
9394
Available from www.uncitral.org/pdf/english/texts/electcom/computerrecords-e.pdf. 94 Official Records of the General Assembly, Seventieth Session, Supplement No. 17 (A/70/17), para. 366.《大会正式记录,第七十届会议,补编第17号》(A/70/17),第366段。
9595
General Assembly resolution 69/313, annex.大会第69/313号决议。
9696
Details on the speakers and sessions may be found in the Congress programme, available on the UNCITRAL website.发言者和各次会议详细情况载于大会日程,可查阅贸易法委员会网站。
9797
Official Records of the General Assembly, Forty-seventh Session, Supplement No. 17 (A/47/17), annex I.《大会正式记录,第四十七届会议,补编第17号》(A/47/17),附件一。
9898
Ibid., Seventy-first Session, Supplement No. 17 (A/71/17), paras. 159-160.同上,《第七十一届会议,补编第17号》(A/71/17),第159-160段。
9999
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;第70/118号决议,第20段。
100
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, para. 113.关于委员会将本项目列入议程的决定,见《大会正式记录,第六十二届会议,补编第17号》(A/62/17),第二部分,第113段。
100
General Assembly resolutions 62/70, para. 3;
63/128, para. 7;
64/116, para. 9;
65/32, para. 10;
66/102, para. 12;
67/97, para. 14;
68/116, para. 14; 69/123, para. 17; and 70/118, para. 20. 101101
Official Records of the General Assembly, Sixty-third Session, Supplement No. 17 and corrigendum (A/63/17 and Corr.1), para. 386; ibid., Sixty-fourth Session, Supplement No. 17 (A/64/17), para. 419; ibid., Sixty-fifth Session, Supplement No. 17 (A/65/17), para. 334; ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), para. 320; ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), para. 195; ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), para. 267; ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), para. 215; ibid., Seventieth Session, Supplement No. 17 (A/70/17), paras. 294 and 318; and ibid., Seventy-first Session, Supplement No. 17 (A/71/17), para. 303.《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419段;同上,《第六十五届会议,补编第17号》(A/65/17),第334段;同上,《第六十六届会议,补编第17号》(A/66/17),第320段;同上,《第六十七届会议,补编第17号》(A/67/17),第195段;同上,《第六十八届会议,补编第17号》(A/68/17),第267段;同上,《第六十九届会议,补编第17号》(A/69/17),第215段;同上,《第七十届会议,补编第17号》(A/70/17),第294和318段;以及同上,《第七十一届会议,补编第17号》(A/71/17),第303段。
102 General Assembly resolutions 63/120, para. 11; 64/111, para. 14;102
65/21, para. 12;
66/94, para. 15;
67/89, para. 16;
68/106, para. 12; 69/115, para. 12; 70/115, para. 11; and 71/135, para. 13.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段;第66/94号决议,第15段;第67/89号决,第16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;以及第71/135号决议,第13段。
103103
www.ppi-ebrd-uncitral.com.www.ppi-ebrd-uncitral.com。
104104
http://standard.open-contracting.org.http://standard.open-contracting.org。
105105
http://newyorkconvention1958.org.http://newyorkconvention1958.org。
106106
Official Records of the General Assembly, Twenty-third Session, Supplement No. 16 (A/7216), paras. 29 and 30.《大会正式记录,第二十三届会议,补编第16号》(A/7216),第29和30段。
107107
Ibid., Sixty-seventh Session, Supplement No. 17 (A/67/17), paras. 179-181.同上,《第六十七届会议,补编第17号》(A/67/17),第179-181段。
108108
Ibid., Seventy-first Session, Supplement No. 17 (A/71/17), para. 262 and annex II.同上,《第七十一届会议,补编第17号》(A/71/17),第262段和附件二。
109109
Ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), para. 310.同上,《第六十八届会议,补编第17号》(A/68/17),第310段。
110110
Ibid., paras. 294 and 295.同上,第294和295段。
111111
See also table 2, entitled “Summary of mandated and possible future legislative activity”, in document A/CN.9/911.另见A/CN.9/911号文件题为“已授权开展的和今后可能开展的立法活动概要”的表2。
112112
See Official Records of the General Assembly, Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 263-265.见《大会正式记录,第六十九届会议,补编第17号》(A/69/17),第263-265段。
113113
See also ibid., Sixty-sixth Session, Supplement No. 17 (A/66/17), paras. 328-330; ibid., Sixty-eighth Session, Supplement No. 17 (A/68/17), paras. 343 and 344; ibid., Sixty-ninth Session, Supplement No. 17 (A/69/17), paras. 277 and 278; ibid., Seventieth Session, Supplement No. 17 (A70/17, paras. 371 and 372); and ibid., Seventy-first Session, Supplement No. 17 (A/71/17), paras. 378 and 379.另见同上,《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343和344段;同上,《第六十九届会议,补编第17号》(A/69/17),第277和278段;同上,《第七十届会议,补编第17号》(A/70/17),第371和372段;以及同上,《第七十一届会议,补编第17号》(A/71/17),第378和379段。
114114
Ibid., Sixty-second Session, Supplement No. 17 (A/62/17), part one, para. 243.同上,《第六十二届会议,补编第17号》(A/62/17),第一部分,第243段。
115115
A/62/6 (Sect. 8) and Corr.1, table 8.19 (d).A/62/6(第8节)以及Corr.1,表8.19 (d)。
116116
Official Records of the General Assembly, Fifty-eighth Session, Supplement No. 17 (A/58/17), para. 275. 117 The enacting jurisdiction may consider including a reference to:《大会正式记录,第五十八届会议,补编第17号》(A/58/17),第275段。
1
(a) documents and instruments that may be considered transferable, but that should not fall under the scope of the Model Law; (b) documents and instruments falling under the scope of the Convention Providing a Uniform Law for Bills of Exchange and Promissory Notes (Geneva, 1930) and the Convention Providing a Uniform Law for Cheques (Geneva, 1931); and (c) electronic transferable records existing only in electronic form.颁布法域似可考虑列入提及下列各项的内容:(a)可视为可转让、但不应属于《示范法》范围的单证和票据;(b)属于《统一汇票本票法公约》(1930年,日内瓦)和《统一支票法公约》(1931年,日内瓦)范围的单证和票据;以及(c)仅以电子形式存在的电子可转让记录。
1182
The enacting jurisdiction may consider which provisions of the Model Law, if any, the parties may derogate from or vary by agreement.颁布法域似可考虑当事人可通过协议减损或改变《示范法》的哪些规定。